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Editor's Note:

"RPC" denotes an ethics opinion that was adopted prior to July 24, 1997, under the superseded 1985 Rules of Professional Conduct. "FEO" denotes a "Formal Ethics Opinion" adopted under the Rules of Professional Conduct as comprehensively revised on July 24, 1997, and on February 27, 2003. See the editor's note that precedes the Rules, supra, for background on the 1997 and 2003 revisions of the Rules. The editor's note also explains the effect of the adoption and amendment of the Rules on ethics opinions promulgated under the 1985 Rules and the 1997 and 2003 versions of the Rules.

Academic Degrees

Advertising and solicitation, see ADVERTISING AND SOLICITATION

Doctor designation, use by lawyer with Juris Doctor degree RPC 507 FEO 5

Advancing Funds to Clients

See also COSTS AND EXPENSES OF REPRESENTATION

Bail bond RPC 173

Class action RPC 124

Computer tablet, lawyer may loan to client for use related to representation 15 FEO 3

Court reporter fees 13 FEO 3

Criminal fines RPC 76

Recording costs RPC 47

Rental car, 01 FEO 7

Trust accounting for electronic transfer 13 FEO 3

Advertising and Solicitation

See also INTERNET, MAILINGS, TRADE NAME

Address requirement

-Leased office address, use of 12 FEO 6

-Promotional merchandise, omitting address on 12 FEO 14

-text message must include 17 FEO 1

-URL use of in lieu of street address 17 FEO 3

Bankruptcy, television advertising RPC 161

Barter Exchange, advertising participation in 10 FEO 4

"Best lawyers," characterization as in advertising for lawyer referral service RPC 135

Branding of firm owner's name and likeness 06 FEO 20

Brochure RPC 98

Business cards 07 FEO 4

Class action solicitation letter 04 FEO 5

Client endorsements 07 FEO 4

Cold calls to solicit professional employment RPC 20

Combined legal experience 04 FEO 7

Comparison of size of firm RPC 20

Corporate officers or employees, soliciting professional employment from RPC 6

Daily discount or group coupons, participation in website that offers 11 FEO 10

Departing lawyer, solicitation of clients by lawyers remaining with firm RPC 200

Directory on Internet, participating in RPC 241

Distribution of advertising material by brokerage firm RPC 98

Doctor designation, use by lawyer with Juris Doctor degree RPC 5 07 FEO 5

Dramatizations

-in television advertisement RPC 164, 00 FEO 6, 10 FEO 9

-stock photographs, disclaimer not required if not misleading 10 FEO 9

Employment of nonlawyer to represent Social Security claimants, disclosure in advertising 05 FEO 2

Experience, advertising for employment in practice areas in which lawyer has no 10 FEO 6

Fees and costs, misrepresentation regarding payment of  04 FEO 8, 10 FEO 10

Fees, solicitation of from third parties 98 FEO 14

Firm owner, sale of surname and likeness to firm 06 FEO 20

Gifts for referrals 07 FEO 4

Gifts to clients 07 FEO 4

Hotel hospitality suite, law firm hosting RPC 14607 FEO 4

Intermediary used to solicit prospective client RPC 20

Internet

-advertising on RPC 239, RPC 241, 00 FEO 1, 00 FEO 3, 09 FEO 16, 11 FEO 10

-daily discount or group coupons, participation in website that offers 11 FEO 10

-judge, connecting with on professional networking website 14 FEO 8

-judge, endorsements/recommendations on professional networking website 14 FEO 8

-keyword advertising, selecting another lawyer’s name as keyword 10 FEO 14

-online legal matching service 04 FEO 1, 13 FEO 10

-professional networking website, accepting and soliciting endorsements/recommendations for 12 FEO 8, 14 FEO 8

-responding to inquiries on message board on 00 FEO 3

-websites RPC 239, 00 FEO 1, 09 FEO 16, 11 FEO 8

-URL use of in lieu of street address 17 FEO 3

Jury verdict record, advertising of on Web page 00 FEO 1, 09 FEO 16

Jury verdicts 99 FEO 7, 00 FEO 1, 09 FEO 16

Keyword advertising, selecting another lawyer’s name as keyword 10 FEO 14

Lawyer referral services, see LAWYER REFERRAL SERVICES

Legal directories, see LEGAL DIRECTORIES

Leased office address, use in advertising 12 FEO 6

Letterhead, see LETTERHEAD

Likeness of retired or deceased lawyer, use in firm advertisements 06 FEO 20

Live chat support services, use on website 11 FEO 8

Mailings

-address of lawyer required on direct mail 97 FEO 6

-advertising notice required at beginning of body of letter 07 FEO 15

-client endorsements 07 FEO 4

-envelope, extraneous statements on 06 FEO 607 FEO 15

-insignias in return address 07 FEO 15

-mottos in return address 07 FEO 15

-incorporators of business, letter soliciting business must contain advertising disclosure RPC 242

-limitations on mailings to persons known to need legal services in a particular matter RPC 98

-promotional materials  04 FEO 2, 15 FEO 3

Membership in an organization with self-laudatory title 03 FEO 3, 07 FEO 14, 09 FEO 1610 FEO 11

Million Dollar Advocates Forum, advertising membership in 03 FEO 3, 09 FEO 16, 10 FEO 11

Networking organizations, lawyer participation in 06 FEO 7

Networking website, accepting and soliciting endorsements/recommendations for 12 FEO 8, 14 FEO 8

Newcomers listed by Chamber of Commerce, solicitation of RPC 26

Non-equity firm lawyer, designation as “partner” 15 FEO 9

Nonlawyer employee representing Social Security claimants, disclosure of 05 FEO 2

Nonlawyer, hiring to hold educational seminars 08 FEO 6

Online legal matching service 04 FEO 1

“Partner” designation used for non-equity firm lawyer 15 FEO 9

Partner in partnership, soliciting professional employment from RPC 6

Photographs, dramatization disclaimer not required for stock photographs 10 FEO 9

Prior professional relationship with prospective client RPC 98, 00 FEO 9, 15 FEO 7

Professional networking website, accepting and soliciting endorsements/recommendations for 12 FEO 8, 14 FEO 8

Promotional merchandise in targeted direct mail solicitation letter 04 FEO 2, 15 FEO 3

Promotional merchandise, omitting office address on 12 FEO 14

“Reasonable prices”, advertisement of 13 FEO 9

Recommendations on professional networking website, accepting and soliciting 12 FEO 8, 14 FEO 8

Referrals

-advertising with intent to refer 10 FEO 6

-gifts for 07 FEO 4

Remote call forwarding telephone number RPC 217, 12 FEO 6

Remote consultations 10 FEO 10

Search engine company's keyword advertising, use of 10 FEO 14

Seminars on law for members of public RPC 36, RPC 98, 07 FEO 4, 08 FEO 6

Settlement record, advertising 99 FEO 7, 00 FEO 1, 09 FEO 16

Social functions RPC 14607 FEO 4

Solicitation

-autodialed recorded message to potential client 06 FEO 17

-text messaging distinguished 17 FEO 1

-business cards 07 FEO 4

-class action, letters to prospective members of 04 FEO 5

-computer tablet in direct mail solicitation 15 FEO 3

-definition of 17 FEO 1

-departing lawyer's clients, guidelines for lawyers remaining with firm RPC 200

-employee contacting clients of former employer 09 FEO 3

-guidelines for lawyer leaving a firm RPC 98

-live chat support services, use on website 11 FEO 8

-prior business relationship and in-person solicitation 15 FEO 7

-text messaging  17 FEO 1

Specialization, see SPECIALIZATION

Super Lawyers, advertising listing in 07 FEO 14, 09 FEO 16

Telephone number listing, misrepresentation of local presence RPC 217

Telephoning

-autodialed recorded message to potential client 06 FEO 17

-client endorsements 07 FEO 4

-free legal information, recorded telephone message from for-profit company, participation in RPC 115

Television

-bankruptcy advertisements RPC 161

-dramatizations RPC 164

-misrepresentation in ad by implying early settlement 00 FEO 6

Testimonials 07 FEO 4, 12 FEO 1

-recommendations on professional networking website, accepting and soliciting 12 FEO 8, 14 FEO 8

Text messaging  17 FEO 1

Tip club, lawyer participation in 06 FEO 7

Trade name, misleading  04 FEO 9

Trade name, website URL is 05 FEO 8

URL, misleading 05 FEO 14

URL adrdress, use of in lieu of physical address  17 FEO 3

Verdict record, advertising  00 FEO 1, 09 FEO 16

Virtual law practice 05 FEO 10, 12 FEO 6

Web page, see ADVERTISING, Internet

Alimony

Fee agreement, obtaining interest in client's support payments RPC 187

Past due alimony, collection of RPC 2

Alternative Dispute Resolution

Arbitration, partner as arbitrator RPC 138

Collaborative resolution process in domestic cases 02 FEO 1

Conflict

-consultation with lawyer as prospective mediator disqualifies 10 FEO 8

-lawyer-mediator’s preparation of contract for parties to mediation prohibited 12 FEO 2

Fee agreement condition, see FEE AGREEMENTS

Mandatory arbitration of fee disputes, see FEE AGREEMENTS and FEES

Arbitration

See ALTERNATIVE DISPUTE RESOLUTION

Attorney General Staff Lawyers

See GOVERNMENT LAWYERS

Automobile Accident Representation

See INSURANCE REPRESENTATION

Bankruptcy Practice

See also CONFLICTS

Advertising on television RPC 161

Corporation in bankruptcy, representation of bankruptcy estate and trustee in civil action 97 FEO 7

Disclosing confidential information about debtor's property after chapter 7 case is closed 98 FEO 20

Foreclosure, trustee on deed of trust filing motion to set aside automatic stay RPC 46

Joint representation of spouses in Chapter 13

-effect of disappearance of one spouse 00 FEO 2

-effect of divorce 07 FEO 7

Recommending services of a third party to bankruptcy client 05 FEO 7

Representing debtor when lender is current client 09 FEO 11

Trustee on deed of trust, resignation to represent lender seeking removal of automatic stay RPC 90

Billing

See FEE AGREEMENTS, FEES, COSTS AND EXPENSES OF REPRESENTATION

Business Activities

See also MULTIDISCIPLINARY PRACTICE

Accounting practice and law practice combined 00 FEO 9

Adoption agency 14 FEO 10

Fees or commissions for law-related services 10 FEO 13

Financial planning services RPC 238

Financial products, sale to legal client of 01 FEO 9

Law related services RPC 238, 10 FEO 13

Network lawyer for company that provides litigation and administrative support services 12 FEO 10

Real estate brokerage RPC 49, RPC 201 

Candor Toward Tribunal

See also COMMUNICATION WITH JUDGES

Adverse evidence, disclosure in disability hearing before Social Security administrative law judge RPC 230, 98 FEO 1

Alias, disclosure of client alias in workers' compensation action 08 FEO 1

Attribution when using written work of another 08 FEO 14

Citizenship status, reporting to ICE 09 FEO 5

Clerk’s error dismissing criminal charge, disclosure of 11 FEO 12

Client identity, disclosure of see DISCLOSURE OF CLIENT IDENTITY

Client perjury in deposition RPC 203

Consent judgment, submission to court that includes false information 99 FEO 16

Driving record, disclosure of on application for limited driving privilege 98 FEO 5

Fee petition, attorney must disclose discounted hourly rate 01 FEO 1

Filing notice of appeal although client may be deported 11 FEO 3

Insured’s absence, misleading court about 10 FEO 1

Misrepresentation of prior record level in sentencing proceeding 03 FEO 5

Motion for appropriate relief, lawyer’s duty when advancing claims previously made by pro se defendant 16 FEO 2

Pro se defendant, lawyer’s duty when advancing claims made in motion for appropriate relief 16 FEO 2

Pro se litigant, assisting without making an appearance or disclosing assistance 08 FEO 3

Child Custody and Support

Child support enforcement, no client-lawyer relationship between government lawyer and custodial parent 10 FEO 5

Contingent fees RPC 2

Fee agreement, obtaining interest in client's support payments RPC 187

Past due amounts, collection of RPC 2, RPC 155

City Councilman, Lawyer Serving As

See PUBLIC OFFICIAL, LAWYER SERVING AS

Civility

See PROFESSIONALISM AND COURTESY

Client Funds and Property

See also FEES, FILES OF CLIENT

Abandoned funds RPC 89, RPC 149, RPC 226

Assignment of interest in settlement proceeds to finance company 00 FEO 4

Cashing check for client RPC 4

Disbursement

-against deposited items in reliance upon bank's funding schedule 06 FEO 8

-against funds credited to trust account by ACH transfer or electronic funds transfer 13 FEO 13

-of client funds subject to a perfected medical lien prohibited 17 FEO 4

-of client funds without client's consent prohibited RPC 75

-of estate assets in trust account upon request of personal representative, not held to pay disputed legal fee 11 FEO 13

-of tort claim settlement upon deposit of provisionally credited funds 01 FEO 3

-to medical providers in absence of lien 01 FEO 11

-to pay firm for advancing expenses 13 FEO 3

Disputed fees

-fees previously paid and transferred to operating account 13 FEO 9

-funds that may be retained in trust account to pay explained 11 FEO 13

-transfer from trust account to lawyer upon certain conditions 06 FEO 16

Division of fee with former firm 03 FEO 11

Dormancy fee on unclaimed funds, charging 06 FEO 15

Escheating funds RPC 89, RPC 149

Files, see FILES OF CLIENT

Financing litigation 00 FEO 04

Purchasing money order for client RPC 4

Recording costs, depositing client's funds for RPC 47

Stolen trust account funds, duty when third party responsible 15 FEO 6

Trust accounts, see TRUST ACCOUNTS

Client-Lawyer Relationship

Child support enforcement, no relationship between government lawyer and custodial parent 10 FEO 5

Role of lawyer appointed to represent child in custody case 12 FEO 9

Insurance defense, no relationship with insured who cannot be located 10 FEO 1

Clients

See FORMER CLIENTS, PROSPECTIVE CLIENTS

Collections

See also FEES

Collection agency, use permitted RPC 7

Common Representation

See MULTIPLE REPRESENTATION

Communication with Adverse Parties

See also COMMUNICATIONS WITH WITNESSES

Adoption, communication with biological parent by lawyer representing adoption agency and adopting parents 14 FEO 10

Agent of lawyer

-instructing fraud investigator to interview employees of opposing party 99 FEO 10

-use of private investigator to communicate with represented party 03 FEO 4

Attorney general staff lawyer representing state on death sentence appeal, receipt of letter from defendant RPC 233

Authorized by law RPC 219, 11 FEO 15

Child represented by GAL and attorney advocate RPC 249

Child who is prosecuting witness in criminal case RPC 61, 09 FEO 7

Corporate legal counsel appearing in case as corporate manager RPC 128

Criminal representation

-interviewing child who is prosecuting witness in abuse or molestation case RPC 61, 09 FEO 7

-interviewing codefendants RPC 93

-investigation by prosecution, interviewing employees of corporate target 99 FEO 10

District attorney with represented criminal defendant RPC 30

Elected officials RPC 132, RPC 202

-government employees and 05 FEO 5

Email, responding to email in which opposing party is copied 12 FEO 7

Employee’s email communications on employer’s email system, review of 12 FEO 5

Employees of represented opposing party RPC 67, 99 FEO 10

Evidence, proffering when gained during prohibited communication with represented party 03 FEO 4

Former employees of represented opposing party RPC 81, 97 FEO 2

Government employees RPC 132, 05 FEO 5

Guardian ad litem in child neglect or abuse proceeding

-communication with child represented by attorney advocate and              RPC 249

-lawyer as, direct communication with represented person 02 FEO 8

-nonlawyer as, communication with parent 06 FEO 19

Insurance litigation, see INSURANCE REPRESENTATION

Letter from represented criminal defendant, receipt by member of attorney general's staff RPC 233

Mental health problem of opposing counsel 03 FEO 2

Opposing parties, communications between RPC 119

Providing confession of judgment to unrepresented adverse party RPC 165, 15 FEO 1

Providing pleadings to unrepresented adverse party 02 FEO 6, 15 FEO 1, 15 FEO 2

Public records, communication with adverse government official who is custodian of RPC 219, 11 FEO 15

“Reply All” email function, use of when responding to email copying opposing party 12 FEO 7

Settlement negotiations, communications between opposing parties RPC 119

Tester/undercover investigator, lawyer may not use to communicate with represented person 14 FEO 9

Threatening criminal prosecution 98 FEO 19

Threatening immigration prosecution 05 FEO 3

Undercover officer planted in jail cell of represented criminal defendant 97 FEO 10

Unrepresented adverse party, see PRO SE REPRESENTATION

Unrepresented uninsured motorist, communication with after uninsured motorist carrier has elected to defend in the name of defendant RPC 193

Witness who is adverse party in unrelated litigation 04 FEO 4

Communication with Client

Discovery materials in criminal case, providing to incarcerated client 13 FEO 2

Nonlawyer field representative meeting with prospective client to obtain representation contract 12 FEO 11

Potential malpractice, duty to disclose to client 15 FEO 4

Social media, advising client about 14 FEO 5

Communication with Judges

Administrative and scheduling matters, ex parte communications with judge about 97 FEO 3

Attorney general staff lawyer RPC 122

Disability hearing before Social Security administrative law judge, withholding adverse evidence in RPC 230, 98 FEO 1

Elected official with adjudicatory authority RPC 132

Ex parte communications

-administrative or scheduling matter 97 FEO 3

-authorized by law 01 FEO 15

-disclosures to judge prior to 98 FEO 12

-ex parte order, seeking RPC 237

-proposed order, submission to judge 97 FEO 5

-written communications 98 FEO 13, 03 FEO 17

Professional networking website, interaction with judge on 14 FEO 8

Communication with Jurors

Questionnaire, sending to prospective jurors RPC 214

Communication with Witnesses

See also COMMUNICATION WITH ADVERSE PARTIES

Adverse party is witness in unrelated litigation 04 FEO 4

Authorized by law, deposition as 10 FEO 5

Child witness in molestation or abuse criminal case

-interviewing without consent of prosecutor RPC 61

-interviewing without parental consent 09 FEO 7

Custodial parent in child support enforcement action 10 FEO 5

Employees of represented opposing party RPC 67, 97 FEO 2, 99 FEO 10

Former employees of represented opposing party RPC 81, 97 FEO 2

Government employees RPC 132, 05 FEO 5

Guardian ad litem, prohibition on communication with represented person does not apply to lawyer acting solely as 06 FEO 19

Heirs of estate, estate lawyers communication with 07 FEO 1

Lawyer for witness, consent required RPC 87

Pathologist who performed autopsy on plaintiff's decedent RPC 184

Physician providing treatment in Workers' Compensation case RPC 224

Physician who treated opposing party RPC 162, RPC 180

Prosecuting witness in criminal action, seeking cooperation on plea agreement and settling civil claim against defendant RPC 225

Prosecuting witness in criminal case RPC 61

Subpoenas

-containing misrepresentations RPC 236, 10 FEO 2, 14 FEO 7

-health care providers covered by HIPAA 14 FEO 4

-out of state records 10 FEO 2, 14 FEO 7

-records custodian 99 FEO 2

Tester/undercover investigator, lawyer may not use to communicate with represented person 14 FEO 9

Competence

Associating another lawyer to ensure 10 FEO 6

Mental impairment of firm lawyer, responding to 13 FEO 8

Potential malpractice, duty to disclose to client 15 FEO 4

Social media, advising client about 14 FEO 5

Confidentiality

See also DISCLOSURE (IN GENERAL), SCREENING

Alias, disclosure of client alias in workers' compensation action 08 FEO 1

Attorney-client privilege, review of employee’s email prohibited if protected by 12 FEO 5

Authorization to disclose, see DISCLOSURE (IN GENERAL)

Case management, settlement and litigation policies, protected as confidential information of former corporate client  12 FEO 4

Cellular telephone, communication of confidential information on RPC 215

Child abuse and neglect, reporting  RPC 120, RPC 175

Clerk’s error dismissing criminal charge, disclosure of  11 FEO 12

Client assets, disclosure of, see BANKRUPTCY PRACTICE

Client contraband, disclosure to authorities  07 FEO 2

Client identity, see DISCLOSURE OF CLIENT IDENTITY

Clients’ electronic files, storage on vendor’s computers accessible via Internet  08 FEO 5, 11 FEO 6

Collaborative resolution process, participation in notwithstanding disclosure requirements  02 FEO 1

Computer records, conditions for storing on software vendor’s computers  11 FEO 6

Corporate client

-disclosure of information by former in-house counsel to support wrongful discharge claim  00 FEO 11

-disclosure of information pursuant to SEC regulations  05 FEO 9

Contagious disease of client  RPC 117

Cordless telephone, communication of confidential information on RPC 215

Cross examination of  former client  03 FEO 14, 10 FEO 3

Deceased client, disclosure of confidences of in a will contest proceeding  02 FEO 7

Deceased client, disclosure of confidential information to personal representative of estate  RPC 206

Disclaimer of client-lawyer relationship to avoid duty  RPC 244

Disclosure in suit to collect fee  04 FEO 6

Disclosure of confidences

-by mortgagor to trustee in foreclosure may create bar to adverse representation 13 FEO 5

-in suit to collect fee 04 FEO 6

-of parent seeking representation for minor 05 FEO 4

Driving record, withholding and disclosing information about in court  98 FEO 5

Electronic mail

-communication of confidential information by  RPC 215

-employee’s email on employer’s email system, review of 12 FEO 5

Employee of lawyer, see EMPLOYEES OF LAWYERS

Erroneous deed benefiting client  RPC 12

Estates, see ESTATES

Evidence of crime  RPC 221, 07 FEO 2

Execution on judgment for unpaid legal fees, financial information of former client may not be disclosed to sheriff  16 FEO 4

Fees, disclosure of information about insured's representation in bills submitted to insurer's auditor  98 FEO 10, 99 FEO 11

Financial information of former client, lawyer may not disclose to assist sheriff with execution on judgment for unpaid legal fees 16 FEO 4

Former employee of lawyer, see EMPLOYEES OF LAWYERS

Fraud upon tribunal by former client  99 FEO 15

Health information of client or third party  06 FEO 10

Implied authorization to disclose, see DISCLOSURE (IN GENERAL)

Ineffective assistance of counsel claim, disclosure of confidential information in response to 11 FEO 16

IRS Form 1099 disclosure  RPC 23

Insured, disclosure of information about representation in bills submitted to insurer's auditor  98 FEO 10

Internet, storing client files on computers accessible via  08 FEO 5, 11 FEO 6

LAP support groups  01 FEO 5

Lawyers moving between firms, disclosure of conflict information for 10 FEO 12

Mentoring, protecting client confidential information 14 FEO 1

Metadata, duty to prevent disclosure of and prohibition of use of 09 FEO 1

Mentoring law students and new lawyers, protecting client confidential information while 14 FEO 1

Minor client

-disclosure of confidential information to parents  98 FEO 18

-disclosure of confidential information of parent seeking representation of  05 FEO 4

Mistake in closing documents  RPC 12

Multiple representation  RPC 153, 06 FEO 1, 07 FEO 7

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services  07 FEO 12

Prospective client, duty to  RPC 246, 06 FEO 14

Providing an accounting of disbursements to medical lienholders in personal injury cases  03 FEO 15

Real estate transaction, see REAL ESTATE TRANSACTIONS

Recycling waste paper  RPC 133

Settlement agreement

-disclosure of terms to former lawyer asserting claim for fee division 13 FEO 12

-representation of similar claimants after  RPC 179, 03 FEO 9

Software as a service, conditions for use with electronic client files 11 FEO 6

Spouses, receipt of confidential information from prohibits subsequent representation of spouse in domestic action RPC 32

Successor counsel, discussing former client’s appellate criminal case with 15 FEO 5

Waste paper, disposal of  RPC 133

Wrongful termination claim of former in-house counsel, disclosure of employer’s information to support  00 FEO 11

Will contest proceeding, disclosure of deceased client's confidences in 02 FEO 7

Conflicts of Interest

See also FORECLOSURES, IMPUTED DISQUALIFICATION, MULTIPLE REPRESENTATION

Administrator, see PERSONAL REPRESENTATIVES OF ESTATES

Adoption agency, financial interest in while representing adopting couples 14 FEO 10

Adverse party, preparation of pleading for pro se  02 FEO 6, 09 FEO 12

Advisory committee for hospital, service on RPC 100

Attorney general staff lawyers, see GOVERNMENT LAWYERS

Bankruptcy

-representation of debtor when lender is current client  09 FEO 11

-representation of husband and wife in joint Chapter 13 after divorce  07 FEO 7

-representation of remaining spouse in joint Chapter 13 petition after other spouse disappears  00 FEO 2

Bidding at tax foreclosure sale conducted by attorney  06 FEO 5

Board of trustees of nonprofit hospital, lawyer's service on, bringing suit against hospital  RPC 160

Bureau of Indian Affairs, prosecutor for representing criminal defendants in state and federal court  RPC 72

Business transaction with client, sale of financial products as  01 FEO 9

Computer based conflict checking system  09 FEO 9

Consent 

-bankruptcy representation of debtor when lender is current client  09 FEO 11

-revocation of 07 FEO 11

-to multiple representation, effect of one client's revocation of 07 FEO 11

-when failure to timely object to former lawyer conflict constitutes 11 FEO 2

Consultation with lawyer as prospective mediator  10 FEO 8

Cross examination of current client  10 FEO 3

Cross examination of former client  03 FEO 14, 10 FEO 3

Deed of Trust

See also FORECLOSURES

-common representation of lender and trustee  04 FEO 3, 08 FEO 11, 14 FEO 2

-disqualification from representing trustee and secured creditor in contested proceeding  04 FEO 3, 14 FEO 2

-spouse and paralegal own  interest in closely-held corporate trustee, lawyer may not represent beneficiary in contested foreclosure of 11 FEO 5

-to secure client's fee, foreclosure on  08 FEO 12

Disclaimer of client-lawyer relationship in advance does not prevent conflict  RPC 244

District attorneys, see PROSECUTORS

Divorce, see DIVORCE

Domestic relations, see DOMESTIC RELATIONS

Employment, negotiating for with firm that represents adverse party 16 FEO 3

Escrow agreement, waiver of future conflict  99 FEO 8

Estate, see ESTATES

Estate planning

- joint representation of husband and wife  RPC 229

- joint representation of trusts and fiduciaries  RPC 144

Execution sale, purchase of client's property at  RPC 24

Executor, see PERSONAL REPRESENTATIVES OF ESTATES

Foreclosure, see FORECLOSURES, CONFLICTS OF INTEREST, Deed of Trust

Former clients, see FORMER CLIENTS

Former employee of opposing counsel, effect of hiring, see EMPLOYEES OF LAWYERS

Future conflicts of interest  RPC 168, 07 FEO 11

General contractor and surety, representation of 03 FEO 1

Government lawyers, see GOVERNMENT LAWYERS

Guardian ad litem, lawyer appointed as  04 FEO 11

Guardian of minor child

-child/father conflict of interest  RPC 163

-lump sum settlement, representation of parents individually and as guardians  RPC 109

Incompetency proceeding, representation of respondent when spouse is former client  98 FEO 16

Indemnifying liability carrier for unpaid liens of medical providers RPC 228

Insurance representation, see INSURANCE REPRESENTATION

Joint representation in bankruptcy

-representation of remaining spouse after other spouse disappears 00 FEO 2

-representation of husband and wife in bankruptcy after divorce  07 FEO 7

Judge as client, appearance before 97 FEO 1

Judge as family member, appearance before  05 FEO 1

Law related service, referral to  10 FEO 13

Lateral lawyer, screening of  12 FEO 4

Lawyer as public official, see PUBLIC OFFICIAL, LAWYER SERVING AS

Lawyer as witness, see WITNESS, LAWYER AS

Lawyers moving between firms, disclosure of conflict information for 10 FEO 12

Legal services lawyers, representation of adverse interests by  99 FEO 3

Limited legal services programs’ limited conflict duties under Rule 6.5 inapplicable to consultations with members of nonprofit organization  14 FEO 6

Mediation

-consultation with lawyer as prospective mediator  10 FEO 8

-lawyer-mediator’s preparation of contract for parties to mediation 12 FEO 2

Minor client

-appointment of guardian, child/father conflict of interest  RPC 163

-lump sum settlement, representation of parents individually and as guardians  RPC 109

-representation in court approval of settlement while paid by insurer RPC 167

-representation of parent and minor child  RPC 123

Nonconsentable conflicts

-commercial real estate loan closing 13 FEO 14

Nonprofit organization, duty to screen for conflicts when advising 14 FEO 6

Opposing law firm, negotiating for employment with  2016 FEO 3

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services  07 FEO 12

Partition proceedings  09 FEO 8

Partner's suit against public body upon which lawyer serves  02 FEO 2

Payment by third party

-representation of minor in court approval of settlement while paid by insurer  RPC 167

Personal representative, seeking removal of  02 FEO 3

Pilot and passenger in private airplane crash, simultaneous representation RPC 28

Police organization, simultaneous representation of criminal defendants RPC 60

Potential malpractice, duty to withdraw due to 15 FEO 4

Preparation of

-affidavit and confession of judgment for unrepresented adverse party  09 FEO 12

-legal documents at request of another  03 FEO 7, 06 FEO 11

-pleadings for unrepresented opposing party 15 FEO 1

-power of attorney for principal upon request of prospective attorney-in-fact  03 FEO 7

-waiver of right to notice of foreclosure for unnrepresented borrower 15 FEO 2

Prosecutors, see PROSECUTORS

Prospective clients, see PROSPECTIVE CLIENTS

Prospective client, duty of confidentiality may prevent adverse representation  RPC 246

Public defenders, see PUBLIC DEFENDERS

Public official as client, appearance before public body on which client serves  RPC 143

Real estate transactions, see REAL ESTATE TRANSACTIONS

Reciprocal referral agreements, participation in 11 FEO 4

Referral fees

-acceptance of from investment advisor  99 FEO 1

-acceptance of from financing company 06 FEO 2

Referral to law related service  10 FEO 13

Relatives

-married clients, pilot and passenger in private airplane crash RPC 28

-married lawyers  RPC 11

Representing condominium association against unit owner  RPC 97

School board

-in-house counsel serving as administrative hearing officer in disciplinary matters,  07 FEO 10

-representation on criminal forfeitures  RPC 54

-roles of school board lawyers in administrative proceedings  08 FEO 2

Screening, see SCREENING

Settlement

-multiple representation, parent and child  RPC 109

-participation in confidential settlement agreement, representation of clients with similar claims after  03 FEO 9

-restricting a lawyer’s practice  RPC 179

Spouses, representing one in a domestic matter after previously representing both spouses in several matters  15 FEO 8

Tax foreclosure sale, county tax attorney bidding at  06 FEO 5

Waiver

-for failure to object to conflict of former lawyer  11 FE0 2

-of objection to future conflict  RPC 168, 07 FEO 11

Workers’ compensation, see WORKERS’ COMPENSATION

Consent

See CONFIDENTIALITY, CONFLICTS OF INTEREST.

Informed consent to multiple representation in real estate closing, requirements for 13 FEO 4

Nonconsentable conflicts

-commercial real estate loan closing 13 FEO 14

Contingent Fees

Alimony, see ALIMONY

Child Support, see CHILD SUPPORT

Court awarded fee, collecting both  02 FEO 4

Definition of  RPC 158

Division of in departure provision of law firm employment agreement  08 FEO 8

Fixed amount for representation and costs, forfeiture to lawyer of amount in excess of costs  RPC 149, RPC 158

Flat fee including costs and fine RPC 158

Hourly rate charge in addition to  RPC 235

Medical payments insurance, contingent and sliding fees for collection of  RPC 35, RPC 174

Medical insurance reimbursement and gross recovery, collecting fee on both  RPC 231

Settlements, see SETTLEMENTS

Structured settlements  RPC 141

Corporate Representation

See also COMMUNICATION WITH ADVERSE PARTIES, COMMUNICATION WITH WITNESSES

Board of directors, duty of lawyer-director when board decision results in unauthorized practice of law  07 FEO 3

Conflicts of interest

-hiring lawyer who previously represented adverse corporation 12 FEO 4

-representing condominium association against unit owner  RPC 97

Disclosure of confidential information pursuant to SEC regulations 05 FEO 9

Executive director of public interest law organization engaged in wrongful conduct, duty of lawyer when 13 FEO 9

In-house counsel

-disclosure of confidential information by to support personal claim against former employer  00 FEO 11

-other clients, representation of while serving as in-house counsel RPC 9, RPC 151

Public interest law organization 13 FEO 9

Wrongful termination claim of in-house counsel  00 FEO 11

Costs and Expenses of Representation

See also ADVANCING FUNDS TO CLIENTS, FINANCING LITIGATION

Advancing costs

-class action  RPC 124

-computer tablet, lawyer may loan to client for use related to representation 15 FEO 3

-court reporter 13 FEO 3

-deposition, unconditional release to client  06 FEO 18

-medical records, unconditional release to client  RPC 79

-rental car  01 FEO 7

Barter exchange, advance payment by cash or credit card required for  10 FEO 4

Court reporting service, selection of  RPC 102

Fixed charge for representation and costs  RPC 149, RPC 158

Dormancy fee on unclaimed funds, charging  06 FEO 15

Litigation expenses

-advance payment of  RPC 51, 13 FEO 3

-financing of by client's assignment of prospective settlement proceeds  00 FEO 4

-lawyer obtaining loan to fund litigation costs  06 FEO 12

-loan to personal injury client  RPC 80

-paying with barter dollars  10 FEO 4

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services  07 FEO 12

Real estate costs, establishing interim account for  05 FEO 11

Remote consultations, charging flat amount for  10 FEO 10

Storage of file and retrieval, charging client for  98 FEO 9

Trust accounts, see TRUST ACCOUNTS

County Attorneys

See GOVERNMENT LAWYERS

County Commissioner, Lawyer Serving As

See PUBLIC OFFICIAL, LAWYER SERVING AS

Court-Appointed Lawyers

See also PUBLIC DEFENDERS

Capital case, lawyer's lack of competence RPC 199

Indigent client offers payment, responsibilities when RPC 52

Notice of appeal, filing to preserve client's rights although without merit 08 FEO 17

Substitution of counsel RPC 58

Successor counsel, discussing former client’s appellate criminal case with 15 FEO 5

Withdrawal, charging for a motion allowing 07 FEO 8

Courtesy

See PROFESSIONALISM AND COURTESY

Creditors of Client

Finance company

-secured interest in settlement proceeds 00 FEO 4

-referring client to 06 FEO 2

Liens

-accounting  to medical lienholders in personal injury case 03 FEO 15

-disbursement of settlement proceeds to pay RPC 125, 2017 FEO 4

-lawyer's retaining lien prohibited, 06 FEO 18

-medical providers' liens, payment without client's consent  RPC 752017 FEO 4

-medical providers, payment in absence of  lien 01 FEO 11

Settlement funds

-payment of medical providers from RPC 69,2017 FEO 4

-withholding from client in absence of medical lien 01 FEO 11

Criminal Representation

See also PROSECUTORS

Bond, lending money to client for  RPC 173

Calendar call, paralegal appearing for lawyer  00 FEO 10

Candor to court in sentencing proceeding  03 FEO 5

Capital case

-court-appointed lawyer's lack of competence  RPC 199

-stand-by defense counsel  RPC 198

Child witness in molestation or abuse criminal case

-interviewing without consent of prosecutor  RPC 61

-interviewing without parental consent 09 FEO 7

Client contraband, taking possession or disclosing to authorities 07 FEO 2

Client file, turning over to criminal defendant’s successor appellate counsel 15 FEO 5

Communications by government investigators with employees of corporate target  99 FEO 10

Confidentiality, discussing former client’s appellate criminal case with successor counsel 15 FEO 5

Defendant, representation on habitual felon charge when previously prosecuted  03 FEO 14

Discovery, providing defendant with during representation 13 FEO 2

Driving record, disclosure of  98 FEO 5

Evidence of crime, taking possession of RPC 221, 07 FEO 2

Fees  RPC 158

Forfeitures  RPC 54

Government lawyer's oversight of investigator's communications with employees of corporate target  99 FEO 10

Ineffective assistance of counsel claim, responding to 11 FEO 16

Legal defense fund  98 FEO 14

Motion for appropriate relief, lawyer’s duty when advancing claims previously made by pro se defendant 16 FEO 2

Order for arrest, asking for when defendant detained by ICE 13 FEO 6

Plea agreements

-disclosure of material terms  RPC 152

-waiver of allegation of ineffective assistance of counsel  RPC 129

-waiver of allegation of prosecutorial misconduct  RPC 129

-waiver of appellate and post-conviction rights  RPC 129

Pro se defendant, lawyer’s duty when advancing claims made in motion for appropriate relief 16 FEO 2

Prosecuting witness

-representing criminal defendant when prosecuting witness is current client  10 FEO 3

-seeking cooperation on plea agreement and settling civil claim against defendant  RPC 225

Public official, defense of criminal defendants while serving as, RPC 63, 07 FEO 16

Release/dismissal agreements 13 FEO 1

Sentencing proceeding, misrepresentation of prior record level at 98 FEO 503 FEO 5

Settlement of civil claim, including agreement not to report to law enforcement  08 FEO 15

Stand-by defense counsel in capital case  RPC 198

Threatening criminal prosecution   98 FEO 19

Undocumented alien, advising that deportation may avoid conviction 11 FEO 3

Deceased Lawyers

Files of clients RPC 16

Disabled Client

Ed. Note: This heading refers to clients with diminished capacity in general.

See also CONFIDENTIALITY

Custody/visitation, role of lawyer appointed to represent child 12 FEO 9

Guardian, seeking appointment of guardian for client  RPC 157

Guardian ad litem, lawyer appointed as  04 FEO 11

Incompetent client

-seeking appointment of guardian RPC 157

Incompetency proceeding

-representation of respondent in  98 FEO 16

Power of attorney, preparation upon request of prospective attorney-in-fact  03 FEO 7

Disappearance of Client

Filing complaint after RPC 223

Insurance carrier, representation of after insured disappears 10 FEO 1

Withdrawal upon 03 FEO 16

Disbarred Lawyer

Employment of 98 FEO 7

Discharge of Lawyer

Files of client, see FILES OF CLIENT

Disclosure (In General)

See also CANDOR TOWARD TRIBUNAL, CONFIDENTIALITY, DISCLOSURE OF CLIENT IDENTITY

Accounting for disbursements to medical lienholders in personal injury cases  03 FEO 15

Adverse evidence, withholding in disability hearing  RPC 230, 98 FEO 1

Agreement  in civil settlement not to report to law enforcement 08 FEO 15

Alias, disclosure of client alias in workers' compensation action  08 FEO 1

Audit of real estate trust account by title insurer  08 FEO 13

Authorization to disclose confidential information  RPC 12

Child abuse, reporting to county department of social services RPC 120, RPC 175

Citizenship status of opposing party, disclosure to ICE  09 FEO 5

Clerk’s error dismissing charge, disclosure of  11 FEO 12

Client assets, disclosure of after chapter 7 bankruptcy case is closed 98 FEO 20

Client contraband, disclosure of location to authorities  07 FEO 2

Contagious disease of client, reporting to public health authority RPC 117

Correcting erroneous claims and statements of law or facts in previous pro se filing, lawyer’s duty in motion for appropriate relief 16 FEO 2

Death of client during settlement negotiations RPC 182

Deceased client, disclosure of confidences of in will contest proceeding  02 FEO 7

Deceased client, disclosure of confidential information of  RPC 206

Disability hearing, withholding adverse medical evidence,  RPC 230

Driving record, disclosure of on application for limited driving privilege  98 FEO 5

Estate, confidential information of, see ESTATES

Fees, disclosure necessary in suit to collect  04 FEO 6

Files, material in, see FILES OF CLIENT

Fraud upon tribunal

-by former client  99 FEO 15

-in consent judgment based on false information from client                       99 FEO 16

Hiring law firm, disclosure of client identities to detect conflicts 10 FEO 12

Impaired firm lawyer, disclosure to clients and State Bar  13 FEO 8

Implied authorization to disclose confidential information  RPC 12, 15 FEO 5

Ineffective assistance of counsel claim, responding to 11 FEO 16

Information of parent seeking representation for minor child  05 FEO 4

Lawyers moving between firms, disclosure of client identities to detect conflicts  10 FEO 12

Legal malpractice, rebuttal of client's assertions in action against liability carrier that employed lawyer  RPC 62

Liability carrier for lawyer, disclosure of client information to in anticipation of claim  RPC 77

Mentoring, protecting client confidential information 14 FEO 1

Metadata, duty to prevent disclosure of and prohibition of use of 09 FEO 1

Minor client, disclosure of confidential information to parents  98 FEO 18, 05 FEO 4

Opposing counsel's mental health problem  03 FEO 2

Potential malpractice, duty to disclose 15 FEO 4

Receipt of inadvertently disclosed documents from opposing party RPC 252

Recorded conversations, see RECORDED CONVERSATIONS

Reporting out, as permitted by SEC regulations  05 FEO 7

Settlement of civil action that includes agreement not to report to law enforcement  08 FEO 15

Subpoena to witness  RPC 236, 14 FEO 7

Successor counsel, discussing former client’s appellate criminal case with 15 FEO 5

Tape recording opposing counsel  RPC 171

Wrongful termination claim, disclosure of corporate information to support  00 FEO 11

Disclosure of Client Identity

Alias, disclosure of client alias in worker compensation action  08 FEO 1

Demand letter RPC 21

False identity, client testifying under  RPC 33

Liability carrier for lawyer, disclosure of client's identity to in anticipation of claim RPC 77

Discovery for Litigation

Citizenship status of opposing party, discovery request seeking 09 FEO 5

Metadata, duty to prevent disclosure of and prohibition of use of 09 FEO 1

Providing defendant with during representation 13 FEO 2

Disqualification

See also CONFLICTS OF INTEREST

Imputed disqualification, see IMPUTED DISQUALIFICATION

Instructing client to consult other lawyers to disqualify RPC 181

Multiple representation, see MULTIPLE REPRESENTATION

Prosecutors, see PROSECUTORS

Public officials, see PUBLIC OFFICIALS

Witness, lawyer as, see WITNESS, LAWYER AS

District Attorneys

See PROSECUTORS

Division of Fees

Between lawyer and nonlawyer

-in barter exchange program 10 FEO 4

-in Social Security disability case 03 FEO 10

-in tax appeal 13 FEO 7

-network lawyer for company providing litigation and administrative support services 12 FEO 10

Between lawyers in different firms

-referral fees RPC 205, 10 FEO 6

-retirement benefits RPC 13

-with former firm 03 FEO 11

-with former lawyer, disclosure of settlement terms to facilitate 13 FEO 12

Between lawyers in same firm

-upon departure 08 FEO 8, 12 FEO 12

Public interest law corporation, charging of fees by 13 FEO 9

Divorce

See DOMESTIC RELATIONS

Domestic Relations

Alimony, see ALIMONY

Child custody, see CHILD CUSTODY

Child support, see CHILD SUPPORT

Collaborative resolution process, participation in notwithstanding mandatory withdrawal prior to court proceedings 02 FEO 1

Confidentiality, see CONFIDENTIALITY

Conflicts of interest

-bankruptcy, representation of husband and wife after divorce 07 FEO 7

-consultation with lawyer as prospective mediator 10 FEO 8

-former client, representation of spouse in action against former domestic relations client RPC 42

-partner's former firm represented opposing party RPC 45

-preparing pleading for unrepresented adverse party 02 FEO 6, 15 FEO 1, 15 FEO 2

-spouses, representing one in a domestic matter after previously representing both spouses in several matters  15 FEO 8

Custody/visitation, role of lawyer appointed to represent child 12 FEO 9

Estate planning, joint representation of husband and wife RPC 229

Fee agreement, obtaining interest in client's support payments to secure fee RPC 187

Fee agreement, promissory note secured by interest in marital property as fee payment RPC 186

Former client

-representation of spouse in action against former domestic relations client RPC 42

Imputed disqualification, see IMPUTED DISQUALIFICATION

Income, presentation of consent judgment based on false information about received from client 99 FEO 16

Instructing client to consult with other lawyers to disqualify RPC 181

Social media, advising client about 14 FEO 5

Spouses, receipt of confidential information from prohibits subsequent representation of spouse in domestic action RPC 32

Duty to Report

Ed. Note: This heading refers to the reporting of lawyer misconduct unless otherwise indicated.

Child abuse perpetrated by client to department of social services RPC 120, RPC 175

District attorney's duty to report defense lawyer RPC 30

Fraudulent general warranty deed, reporting lawyer's preparation of RPC 17

Impaired firm lawyer 13 FEO 8

LAP support groups, no duty to report 01 FEO 5

Mental health professional, sexual impropriety, agreement not to report to appropriate licensing authority RPC 159

Opposing counsel's mental health problem 03 FEO 2

Release of settlement proceeds without satisfying conditions precedent RPC 127

Remedial measures by lawyer irrelevant to reporting requirement RPC 17

Settlement with lawyer prohibiting disclosure of misconduct RPC 84

Employees of Lawyers

See also NONLAWYERS and TEMPORARY LAWYERS

Bail Bondsman RPC 1

Bonus RPC 147

Compensation of nonlawyer representing Social Security claimants 05 FEO 6

Contacting clients of former employer 09 FEO 3

Contracting with outside company to administer law office 01 FEO 2, 03 FEO 6

Confidentiality, effect of hiring former employee of opposing counsel RPC 176

Delegation of tasks to nonlawyers, standard for RPC 70, RPC 216, 99 FEO 6, 02 FEO 9, 12 FEO 11

Depositions, role of paralegal in RPC 183

Disbarred lawyer 98 FEO 7

Division of fees

-percentage bonus as RPC 147

-with nonlawyer employee representing Social Security claimants 05 FEO 6

Field representatives, use of to obtain representation contracts 12 FEO 11

Former employee of opposing counsel, hiring RPC 74, RPC 176

Gifts from court reporting service RPC 102

Independent contractor, using services of RPC 216, 99 FEO 6

Investigator RPC 1

Management firm, contracting with to administer law office 01 FEO 2, 03 FEO 6

Negotiating with claims adjustors RPC 70

Nonlawyer representing Social Security claimants 05 FEO 2, 05 FEO 6

Public interest law corporations, employment of lawyers and nonlawyers to provide services 13 FEO 9

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

Part-time employees RPC 1

Secretary who is also real estate agent RPC 88

Signing lawyer's name to pleadings 06 FEO 13

Supervision of

-conflicts of interest RPC 102

-independent paralegal searching real estate titles 99 FEO 6

-employee negotiating with claims adjustors RPC 70

- paralegal appearing at calendar call 00 FEO 10

-paralegal closing a residential real estate transaction 99 FEO 1301 FEO 4, 01 FEO 8, 02 FEO 9, Authorized Practice 2002-1

-paralegal signing lawyer's name to pleadings 06 FEO 13

-tester/undercover investigator in investigation involving misrepresentation 14 FEO 9

-unemployment hearing, nonlawyer appearing for party at 09 FEO 10

Title abstract services RPC 29, 99 FEO 6

Witness in litigation RPC 19, RPC 213

Employment of Opposing Counsel

See EMPLOYEES OF LAWYERS

Escheat of Client Property

Charity, donating client funds to without consent RPC 149

Trust funds RPC 89

Escrow Accounts

See also TRUST ACCOUNTS

Conflict of interest absent, representation of party after resignation as escrow agent 98 FEO 11

Disbursement of escrowed funds, dispute over RPC 66

Dispute over disbursement, representation of one party pursuant to waiver of future conflict 99 FEO 8

Guidelines for maintaining RPC 66

Real estate transactions

-disbursement of escrowed funds RPC 66

Resignation as escrow agent to represent obligor or obligee 98 FEO 11

Estates

Administrators, see PERSONAL REPRESENTATIVES OF ESTATES

Authority to act, drafting estate documents at request of third party 06 FEO 11

Checking account for, maintaining in accord with fiduciary account requirements in Rule 1.15  2017 FEO 2

Confidential information of deceased client, disclosure in a will contest proceeding 02 FEO 7

Confidential information of deceased client, disclosure to personal representative RPC 206

Confidential information, disclosure to substitute personal representative RPC 195

Conflicts of interest

-defending former personal representative against claim brought by estate RPC 137

-personal representative, representing in individual and official capacities RPC 22

-seeking to remove co-executor of an estate 99 FEO 4

Decedent's confidential information, disclosure to personal representative RPC 206

Executors, see PERSONAL REPRESENTATIVES OF ESTATES

Financial products, sale to client as part of estate plan 01 FEO 9

Heirs, duty to when filing wrongful death action for estate 07 FEO 1

Identity of client, lawyer represents estate as entity and personal representative in official capacity RPC 137, 07 FEO 1

Multiple representation RPC 144

Personal representatives, see PERSONAL REPRESENTATIVES OF ESTATES

Principal, drafting documents for at the request of a third party 06 FEO 11

Seeking removal of personal representative 02 FEO 3

Spouses, joint representation in estate planning RPC 229

Witness, lawyer as RPC 142

Ex Parte Communications

See COMMUNICATIONS WITH JUDGES

See also COMMUNICATIONS WITH ADVERSE PARTIES, COMMUNICATIONS WITH WITNESSES

Family Law

See ALIMONY, CHILD SUPPORT, DOMESTIC RELATIONS

Fee Agreements

See also CONTINGENT FEES, FEES, RETAINER AGREEMENTS

Advance fees, guidelines for 08 FEO 10

Alternative dispute resolution, requiring in fee dispute RPC 107

Court awarded fee and contingent fee, collection of both 02 FEO 04

Fee schedule for services provided by public interest law organization, inclusion in retainer agreement 13 FEO 9

Fee sharing with nonlawyer/claimant's representative in Social Security case 03 FEO 10

Finance charges, advance agreement not required if allowed by law 12 FEO 3

Guidelines for fees paid in advance 08 FEO 10

Hourly billing, guidelines for agreement based on 07 FEO 13

Minimum fees earned upon payment 08 FEO 10

Model provisions for 08 FEO10

Nonrefundable retainers, see RETAINER AGREEMENTS

Nonlawyer field representative obtaining from prospective client 12 FEO 11

Renegotiation, increase in hourly rate RPC 166

Security for fee, see FEES

Settlements, see SETTLEMENTS

Support payments of domestic client, obtaining interest in to secure legal fee RPC 187

Fees

See also COLLECTIONS, CONTINGENT FEES, COSTS AND EXPENSES OF REPRESENTATION, DIVISION OF FEES, FEE AGREEMENTS

Acceptance of referral fee from investment advisor 99 FEO 1

Advance payment of RPC 50, RPC 158, 97 FEO 4, 00 FEO 5, 05 FEO 13, 08 FEO 10

Arbitration of fee dispute, purpose of mandatory requirement RPC 222

Assignment of client's judgment as payment or security for fee RPC 134

Barter exchange, participation in 10 FEO 4

Brokerage company, offering client  access to as payment option  2018 FEO 4

Client-lawyer relationship created by collecting fee 06 FEO 14

Contingent fee and court awarded attorney fee, collecting both 02 FEO 4

Collection of

-collection agency, use permitted RPC 7

-disclosure of confidential information to collect 04 FEO 616 FEO 4

-foreclosure on deed of trust, 08 FEO 12

Commission for law related services 10 FEO 13, 14 FEO 10

Court petition for, disclosure of discounted legal fees in 01 FEO 1

Credit card, payment by 97 FEO 9, 09 FEO 4               

Deed of trust to secure fee, initiating foreclosure on 08 FEO 12

Definitions of 08 FEO 10

Disclosure of settlement terms to resolve fee dispute with former lawyer 13 FEO 12

Disputed fees

-explanation of funds that may be retained in trust account to pay 11 FEO 13

-fees previously paid and transferred to operating account 13 FEO 9

-transfer from trust account to lawyer upon certain conditions 06 FEO 16

Division of fees

-with departed lawyer 12 FEO 12

-with former lawyer 13 FEO 12

-with lawyer for referral RPC 148, 10 FEO 6

-with nonlawyer

-barter exchange program 10 FEO 4

-company providing litigation and administrative support services 12 FEO 10

-group coupon website company 11 FEO 10

-nonprofit public interest law corporation 13 FEO 9

-percentage bonus paid to employee RPC 147

-representing Social Security claimants 05 FEO 6

-tax appeal 13 FEO 7

Duty to return fees due to lawyer’s potential malpractice 15 FEO 4

Duty to return fees to third party payor 05 FEO 12

Earned upon receipt RPC 50, 97 FEO 4, 00 FEO 5, 08 FEO 10

Electronic transfer, payment of fees by RPC 247

Fee agreement, see FEE AGREEMENTS

Fee dispute resolution program of the State Bar

-alternative fee dispute resolution process of public interest law organization included in fee agreement 13 FEO 9

-charging for time expended to participate in 00 FEO 7

-disputed fees, transfer to lawyer after dismissal of petition 06 FEO 16

Finance charge on 98 FEO 3, 12 FEO 3

Flat fees 97 FEO 4, 00 FEO 5, 08 FEO 10

Hourly billing, guidelines for 07 FEO 13

Insurer's billing guidelines, compliance with 98 FEO 17

Judgment, assignment of as payment for legal fee RPC 134

Legal defense fund 98 FEO 14

Medical payments insurance, prohibition on contingent and sliding fees for collection of RPC 35, RPC 174

Minimum fees earned upon payment 08 FEO 10

Minor plaintiff, court approval of settlement, compensation of minor's lawyer paid by carrier RPC 167

Mixed fee based on hourly rate and contingent fee RPC 235

Nonrefundable fees RPC 158, 00 FEO 5, 08 FEO 10

Nonrefundable retainers, see RETAINER FEES

Proceeds from client's medical payments insurance and gross recovery, collecting fee on both RPC 231

Recovering legal fees from opposing party RPC 196

Referral fees, see DIVISION OF FEES BETWEEN LAWYERS

Refund of

-advance fee RPC 158, 00 FEO 5, 08 FEO 10

-client's appeal bond, application to fees RPC 37

-flat fee 97 FEO 4, 00 FEO 5, 08 FEO 10

-prepaid fee RPC 106, 08 FEO 10, 13 FEO 9

-to third party payor 05 FEO 12

-unearned fee 05 FEO 13, 08 FEO 10

Remote consultation, fee for 10 FEO 10

Reused work product, billing for RPC 190

Security for fee

-confession of judgment RPC 222

-promissory note and deed of trust in domestic case RPC 186, 08 FEO 12

-retaining file prohibited as 06 FEO 18

Sliding fee for collecting proceeds from insured's medical payments liability insurance RPC 174

Solicitation of, from third parties 98 FEO 14

Third party payors 98 FEO 14, 05 FEO 12

Trust account, client funds on deposit in

-not designated for payment of legal fees, may not be retained in account as disputed fees 11 FEO 13

-paid to lawyer as fee although disputed, upon certain conditions 06 FEO 16

Withdrawal, charging client for motion to allow 07 FEO 8

Fiduciary Accounts

See TRUST ACCOUNTS

Files of Client

Access to by incarcerated defendant 13 FEO 2

Access to by lawyer who departs firm  RPC 227

Computer based conflict checking system 09 FEO 9

Co-party, release of file to RPC 245

Correspondence with insurance carrier, surrendering copies to insured RPC 92

Costs of copying and retrieving, charging to client 98 FEO 9

Deceased lawyer's files RPC 16, 12 FEO 13

Deposition transcript, unconditional release to client upon termination of representation  06 FEO 18

Disbarred lawyer’s files 12 FEO 13

Discovery, providing defendant with during representation 13 FEO 2

Disposing of closed files, guidelines RPC 16, RPC 209, 09 FEO 9

Documents, releasing original documents to client upon termination of representation  RPC 169

Electronic files, storage on vendor’s computers accessible via Internet 08 FEO 5, 11 FEO 6

Electronic mail (email), retention of  02 FEO 5, 13 FEO 15

Electronic storage of RPC 234, 13 FEO 15

Guardian, release of client's file to 98 FEO 16

Internet, storing client files on website accessible by 08 FEO 5, 11 FEO 6

Medical records obtained during case evaluation, unconditional release to client upon termination of representation RPC 79

Missing lawyer’s files 12 FEO 13

Multiple representation

-delivery of file upon termination of representation RPC 178

-delivery of information entrusted to lawyer by other client  RPC 153

New lawyer hired by client, providing information to RPC 153, 15 FEO 3

Original documents, delivery to client RPC 178

Partners and managing lawyers duties relative to files of suspended, disbarred, missing lawyer of firm 12 FEO 13

Photocopies of documents in file, lawyer's responsibility for cost upon termination of representation RPC 169, RPC 178

Recycling office waste paper RPC 133

Storage of

-on website accessible by Internet 08 FEO 5, 11 FEO 6

-retrieval, charging client for 98 FEO 9

Successor counsel, providing defendant’s appellate criminal file to 15 FEO 5

Suspended lawyer’s files 12 FEO 13

Termination of representation

-delivery of file to client RPC 178

-format of file delivered to client 13 FEO 15

-photocopies of documents in file, lawyer's responsibility for cost upon termination of representation RPC 169

-surrender of deposition transcript upon 06 FEO 18

Title notes, releasing to client RPC 169, RPC 227

Financing Litigation

Financing company taking interest in litigation 00 FEO 4

Lawyer obtaining loan for 06 FEO 12

Referring client to financing company 06 FEO 22017 FEO 4

Foreclosures

Bankruptcy, see BANKRUPTCY

County attorney bidding on real property at tax foreclosure sale 06 FEO 5

Confidential information, disclosure to trustee by unsophisticated debtor, consequences of 13 FEO 5

Deed of trust, common representation of lender and trustee on 04 FEO 3, 14 FEO 2

Disqualification from representing lender in contested foreclosure when spouse and paralegal own interests in closely held corporate trustee 11 FEO 5

Disqualification from representing trustee and secured creditor in contested proceeding 14 FEO 2

Foreclosing deed of trust on client’s property 08 FEO 12

Multiple representation

-of lender and trustee in ancillary action 04 FEO 3

-of lender and trustee in contested foreclosure is nonconsentable conflict 14 FEO 2

Real estate owned (REO) property

-representation of buyer 06 FEO 3

-representation of buyer and lender 13 FEO 4

-representation of lender 13 FEO 4

Role of trustee, duty to explain to unsophisticated debtor 13 FEO 5

Spouse and paralegal own interest in closely-held corporate trustee, lawyer may not represent lender in contested foreclosure 11 FEO 5

Trustee, lawyer as

-disqualification from representing lender after acting as trustee and obtaining confidential information from borrower 13 FEO 5

-disqualification not imputed to other lawyers of firm 08 FEO 11

-filing motion to set aside automatic stay in bankruptcy RPC 46

-preparing work-out agreement RPC 90

-representation of beneficiary on other matters while serving as 08 FEO 11

-resignation to represent lender RPC 90, 13 FEO 5

-responsibilities and limitations on, comprehensive guidelines RPC 82

-service as after representing seller RPC 3

-suing former debtor after foreclosure is complete RPC 64

Waiver of right to notice of foreclosure, preparing for unnrepresented borrower 15 FEO 2

Former Clients

Ed. Note: This heading refers primarily to conflicts of interest.

See also FILES OF CLIENT

Borrower in real estate transaction, service as trustee in foreclosure against RPC 3

Client who pays consultation fee is former client 06 FEO 14

Confidential settlement agreement, representation of similar claimants after participation in 03 FEO 9

Consultation with lawyer as prospective mediator 10 FEO 8

Corporate client, case management, settlement and litigation policies protected as confidential information of former 12 FEO 4

Criminal defendant, discussing former client’s appellate criminal case with successor counsel 15 FEO 5

Employee contacting clients of former employer 09 FEO 3

Escrow dispute, waiver of future conflict 99 FEO 8

Estate, defending former personal representative against claim brought by estate RPC 137

Failure to object to former lawyer’s representation of adverse party, when delay constitutes waiver of objection 11 FEO 2

File

-delivery of information entrusted to lawyer by other client RPC 153

-retention of email correspondence 02 FEO 5

-successor counsel, providing defendant’s appellate criminal file to 15 FEO 5

Lateral hire, restrictions on representation adverse to formerly represented organization 12 FEO 4

Mediation, prior consultation with lawyer as prospective mediator 10 FEO 8

Medical malpractice claim against RPC 27

Multiple representation, see MULTIPLE REPRESENTATION

Objection to representation of adverse party, when delay constitutes waiver of objection 11 FEO 2

Screening lateral hire as to matters involving former corporate client 12 FEO 4

Spouses, representing one in a domestic matter after previously representing both spouses in several matters 15 FEO 8

Frivolous Claims and Contentions

Motion for appropriate relief, lawyer’s duty when advancing claims previously made by pro se defendant 16 FEO 2

Notice of appeal, filing although client may be deported 11 FEO 3

Pro se defendant, lawyer’s duty when advancing claims made in motion for appropriate relief 16 FEO 2

Government Lawyers

Attorney general staff lawyers

-judicial consultations prohibit representation in appeal RPC 122

-representation of adverse interests RPC 55

Communications with judges RPC 122

Conflicts of interest

-appellate representation of county does not prohibit suit against county on unrelated matters RPC 131

-attorney general staff lawyers RPC 55

-county attorney acting as guardian ad litem in child abuse case RPC 14

-county attorney bidding on real property at tax foreclosure sale 06 FEO 5

-school board, representation on criminal forfeitures RPC 54

-sheriff's department, representation of prohibits representation of criminal defendants RPC 73, 07 FEO 16

Cross-examination of former client 03 FEO 14

District attorneys, see PROSECUTORS

Imputed disqualification

-representation of sheriff's department disqualifies other members of firm from representing criminal defendants RPC 73, 07 FEO 16

Law firm for county, partner's election to board of county commissioners does not disqualify RPC 130

Oversight of investigation and communications with employees of corporate target 99 FEO 10

Pro bono legal services provided by 14 FEO 3

Public officials, see PUBLIC OFFICIAL, LAWYER SERVING AS

School board lawyers

-in-house counsel serving as administrative hearing officer in disciplinary matters 07 FEO 10

-representation on criminal forfeitures RPC 54

-roles of school board lawyers in administrative proceedings 08 FEO 2

Tester/undercover investigator, use of by government lawyer 14 FEO 9

Unauthorized practice of law in quasi-judicial proceeding before local government, government lawyer's response to 07 FEO 3

Guardians

Conflicts of interest, see CONFLICTS OF INTEREST

Child represented by GAL and attorney, communication with RPC 249

Custody/visitation, role of lawyer appointed to represent child 12 FEO 9

Direct communication with represented GAL 02 FEO 8

Disabled clients, see DISABLED CLIENTS

Guardian ad litem in child neglect or abuse proceeding

-lawyer serving as GAL for incompetent parent 04 FEO 11

-prohibition on communication with represented person does not apply to lawyer acting solely as 06 FEO 19

-prohibition on communication with represented person does not apply to nonlawyer serving as 06 FEO 19

Incompetent client, see DISABLED CLIENT

Minors, child/father conflict of interest RPC 163

Revealing confidential information to parents of minor client 98 FEO 18

Seeking to remove guardian ad litem 06 FEO 9

Imputed Disqualification

Attorney general staff lawyer RPC 122

Firm member's service on board of trustees of nonprofit hospital, filing suit against hospital RPC 160

Former partner jointly represented spouses, subsequent representation of spouse in domestic action RPC 32

Government lawyers, see GOVERNMENT LAWYERS

Judge related to firm lawyer, appearance before 05 FEO 1

Law clerk, conflicts of not imputed 10 FEO 12

Legal services lawyers, representation of adverse interests by 99 FEO 3

Partner's former firm represented opposing party RPC 45

Partner serving as public official, see PUBLIC OFFICIAL, LAWYER SERVING AS

Screening later hire to avoid 12 FEO 4

Trustee for foreclosure, see FORECLOSURES

Incompetent Client

See DISABLED CLIENTS

Indigent Persons

Court-appointed lawyers, see COURT-APPOINTED LAWYERS

Pro se representation, see PRO SE REPRESENTATION

In-House Counsel

See CORPORATE REPRESENTATION

Insurance Representation

Advising insured and insurer on settlement value of case 03 FEO 12

Arbitration, in-house legal counsel for carrier, representation of insured RPC 151

Audited legal bills, disclosure of information about insured's representation in bills submitted to insurer's auditor 98 FEO 10, 99 FEO 11

Billing guidelines of insurance carrier 98 FEO 17

Communication with adverse insurance carrier RPC 39

Communication with adverse party RPC 15

Communication with defendant/insured in personal injury action prior to carrier's appointment of lawyer to represent RPC 194

Conflicts of interest

-audited legal bills 98 FEO 10

-bad faith action against insurer for failure to pay liability claim, simultaneous representation of insured and claimant RPC 207

-billing, compliance with carrier's requirements and guidelines 98 FEO 17

-demanding carrier settle within policy limits on behalf of insured RPC 91

-dismissal of insured's counterclaim RPC 103

-indemnifying liability carrier for unpaid liens of medical providers RPC 228

-in-house counsel for carrier, representation of insured and carrier RPC 151

-insured's compulsory counterclaim, representation on RPC 172

-minor plaintiff, court approval of settlement, compensation of minor's lawyer paid by carrier RPC 167

-personal injury victim and medical insurance carrier with subrogation agreement, simultaneous representation RPC 170

-plaintiff's offer to limit insured's liability in exchange for admission of liability RPC 112

-plaintiff's offer to limit insured's liability in exchange for consent to amend complaint RPC 111

-settlement advice and 03 FEO 12

-suing insured while defending other persons insured by same carrier RPC 56

-underinsured motorist carrier, representation of carrier in name of underinsured motorist RPC 110

-underinsured motorist carrier, representation of insured, carrier, and same carrier relative to underinsured motorist coverage carried by plaintiff RPC 177

-uninsured motorist carrier, representation of insured, carrier, and same carrier relative to uninsured motorist coverage carried by plaintiff RPC 154

Correspondence with carrier, surrendering copies to insured RPC 92

Declaratory judgment action

-representation of carrier and insured as coplaintiffs RPC 59, RPC 151

-representation of insured during pendency of carrier's declaratory judgment action against insured RPC 140

Duty to insured RPC 92

Fees

-contingent and sliding fees for collecting proceeds from insured's medical payments liability insurance RPC 35, RPC 174

-disclosure of information about insured's representation in bills submitted to insurer's auditor 98 FEO 10, 99 FEO 11

Insured’s disappearance, representation of insurance carrier after 10 FEO 1

Interpleader, in-house legal counsel for carrier filing action for allocation of settlement proceeds RPC 151

Medical payments insurance,

-prohibition on contingent and sliding fees for collection of RPC 35, RPC 174

-proceeds from policy and gross recovery, collecting fee on both RPC 231

Minor, representation of in court approval of settlement RPC 167

Multiple representation

-disclosure of information to employer and workers' compensation carrier 06 FEO 1

-in-house legal counsel for carrier, representation of insured and carrier RPC 151

-representation of carrier and insured in declaratory judgment action RPC 59

-representation of insured, carrier, and same carrier relative to underinsured motorist coverage carried by plaintiff RPC 177

-representation of insured, carrier, and same carrier relative to uninsured motorist coverage carried by plaintiff RPC 154, RPC 177

-representation of insured during pendency of carrier's declaratory judgment action against insured RPC 140

-representation of personal injury victim and medical insurance carrier with subrogation agreement RPC 170

Settlement advice to multiple clients 03 FEO 12

Subrogation claim, in-house legal counsel for carrier, representation of carrier and insured RPC 151

Uncooperative insured, following carrier’s instructions while representing 99 FEO 14, 10 FEO 1

Uninsured and underinsured motorist coverage

-communication with represented defendant by lawyer for underinsured motorist carrier RPC 110

-communication with unrepresented defendant after uninsured motorist carrier has elected to defend in the name of defendant RPC 193

-in-house legal counsel for carrier, appearing as attorney for uninsured motorist to defend UIM claim RPC 151

-representation of insured, carrier, and same carrier relative to uninsured motorist coverage carried by plaintiff RPC 154

-representation of insured, insurer, and uninsured motorist carrier RPC 177

-underinsured motorist, UIM action pending, withdrawal of lawyer appointed by motorist's liability carrier upon payment of policy limits RPC 156

-uninsured motorist, withdrawal from representation of RPC 8

Waiver of affirmative defense by insured, insured's consent required RPC 118

Internet

See also ADVERTISING AND SOLICITATION

Advertising RPC 239, RPC 241, 00 FEO 1, 00 FEO 3

Client files, storing on website accessible by clients 08 FEO 5

Cloud Computing, law firm may utilize provided firm uses reasonable care to safeguard confidential client information 11 FEO 6

Daily discount or group coupons, participation in website that offers 11 FEO 10

Directory of lawyers, participating in RPC 241

Jury verdict record, advertising on Web page 00 FEO 1, 09 FEO 16

Keyword advertising, selecting another lawyer’s name as keyword 10 FEO 14

Live chat support services on website 11 FEO 8

Network lawyer for company providing litigation and administrative support services 12 FEO 10

Online banking, law firm may utilize provided firm uses reasonable care to safeguard client information and property 11 FEO 7

Online legal matching service 04 FEO 1, 13 FEO 10

Professional networking website

-endorsements/recommendations, accepting and soliciting 12 FEO 8, 14 FEO 8

-judge, connecting with 14 FEO 8

Search engine company's keyword advertising, use of 10 FEO 14

Social media, advising client about 14 FEO 5

Software as a service, law firm may utilize provided firm uses reasonable care to safeguard confidential client information 11 FEO 6

URL for firm website is trade name 05 FEO 8

Virtual law practice and unbundled legal services 05 FEO 10, 12 FEO 6

Website, URL need not include identifying information 05 FEO 14

Investigators

See also EMPLOYEES OF LAWYERS

Communication with represented party through investigator 03 FEO 4

Hiring bail-bondsman as part-time investigator RPC 1

Tester/undercover investigator, lawyer may supervise investigation involving misrepresentation under certain conditions 14 FEO 9

Joint Representation

See MULTIPLE REPRESENTATION

Judges

See also, COMMUNICATION WITH JUDGES

Administrative hearing officer for school board, subsequent representation in same matter 07 FEO 10

Client, appearance before judge who is 97 FEO 1

Family member, appearance before judge who is 05 FEO 1

Professional networking website, interaction with judge on 14 FEO 8

Jurors

Questionnaire, sending to prospective jurors RPC 214

Law Firms

See also MULTIDISCIPLINARY PRACTICE, PARTNERSHIPS

Advertising or holding out as RPC 116

Agreements addressing lawyer departure or dissolution of firm, see RESTRICTIVE COVENANTS

Bona fide law firm, holding out as practicing in RPC 116

Departure of lawyer, agreement for division of fees upon 12 FEO 12

Disqualification imputed to members, see IMPUTED DISQUALIFICATION, SCREENING

Dissolution

-responsibilities of lawyers upon RPC 48, RPC 98, RPC 200

-valuing effect of lawyer's departure in firm agreement 07 FEO 6

Employment agreements, division of contingent fees in upon departure 08 FEO 8

Employment, negotiating for with firm that represents adverse party 16 FEO 3

Fee division, see DIVISION OF FEES

Hiring new lawyer, checking for conflicts when 10 FEO 12

Impaired firm lawyer, responsibilities as to 13 FEO 8

Management company, contracting with to administer law office 01 FEO 2, 03 FEO 6

Merger negotiations, agreement not to solicit lawyers from other firm during  17 FEO 5

Name of firm

-owner's surname, sale to law firm for use in 06 FEO 20

-retired lawyers, see RETIRED LAWYERS

Non-equity firm lawyer, designation as “partner” 15 FEO 9

Nonprofit public interest law corporation, supervision issues within 13 FEO 9

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

“Partner” designation used for non-equity firm lawyer 15 FEO 9

Partnership of professional corporations 04 FEO 13

Sale of 98 FEO 6

Sharing office space and expenses, question of bona fide partnership RPC 116

Supervisory and management lawyers, responsibilities for impaired lawyer 13 FEO 8

Law Related Services

Adoption agency 14 FEO 10

Financial services and products, receiving fee or commission for 10 FEO 13

Mediation

-consultation with lawyer as prospective mediator disqualifies 10 FEO 8

-lawyer-mediator’s preparation of contract for parties to mediation prohibited 12 FEO 2

Network lawyer for company providing litigation and administrative support services 12 FEO 10

Rules of Professional Conduct govern lawyer's conduct with respect to provision of RPC 238

Lawyer as Witness

See WITNESS, LAWYER AS

Lawyer Client Relationship

Child support enforcement agency lawyer does not have client-lawyer relationship with custodial parent 10 FEO 5

Client's decision-making authority

-exclusive authority to settle RPC 145

-plaintiff's offer to limit insured's liability in exchange for consent to amend complaint RPC 111

-settlement funds, disbursement of RPC 125

-termination of real estate closing upon instruction of buyer 08 FEO 7

Constructive discharge of lawyer RPC 223

“Covering” a court proceeding as a favor to another lawyer, client-lawyer relationship arising from 99 FEO 12

Creation of relationship 10 FEO 1

Disclaimer of

-communications via internet message board requires 00 FEO 3

-in advance of initial conference RPC 244

-live chat support services on website requires 11 FEO 8

-seller representation when preparing a deed in real estate closing 04 FEO 10

Execution of adoption pleadings prepared by another as accommodation for social service agency RPC 139

Fee, payment creates 06 FEO 14

Field representatives, use of to obtain representation contracts 12 FEO 11

Financial institutions RPC 121

Incompetent client, see DISABLED CLIENT

Limiting objectives of representation RPC 240

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

Potential malpractice, duty to disclose/withdraw 15 FEO 4

Pro se litigant, see PRO SE REPRESENTATION

Service as guardian ad litem, no lawyer-client relationship 04 FEO 11

Waiver of affirmative defense, client's consent required RPC 118

Lawyer Referral Services

Advertising

-characterization of participating lawyers as the "best" RPC 135

-requirements RPC 135

Barter exchange is not referral service 10 FEO 4

Network lawyer for company providing litigation and administrative support services 12 FEO 10

Participation

-in general RPC 10

-more than one lawyer required RPC 94

-online legal matching service 04 FEO 1, 13 FEO 10 

Legal Aid Agencies

See also INDIGENT PERSONS

Nonprofit public interest law corporation 13 FEO 9

Pro se representation, see PRO SE REPRESENTATION

Representation of adverse interests by lawyers with Legal Services of NC 99 FEO 3

Legal Assistants

See EMPLOYEES OF LAWYERS

Legal Directories

Internet directory RPC 241

Online legal matching service 04 FEO 1, 13 FEO 10

Out-of-state lawyers working in North Carolina law firm RPC 68

Letterhead

"Corresponding lawyer," listing out-of-state lawyer as RPC 31

Leased office address, use of 12 FEO 6

Non-equity firm lawyer, designation as “partner” 15 FEO 9

Nonlawyers listed on RPC 126

Organization with self-laudatory name, listing membership on letterhead 10 FEO 11

Out-of-state lawyers RPC 25

“Partner” designation used for non-equity firm lawyer 15 FEO 9

Person not affiliated with firm, use by prohibited 11 FEO 9

Liens

See CREDITORS OF CLIENT

Limited Representation

“Covering” a court proceeding as a favor to another lawyer, client-lawyer relationship arising from 99 FEO 12

Disclaimer of client-lawyer relationship in advance RPC 244

Ghostwriting pleadings and other documents RPC 114, 08 FEO 3

Limited legal services programs’ limited conflict duties under Rule 6.5 inapplicable to consultations with members of nonprofit organization 14 FEO 6

Limiting objectives of representation RPC 240

Limiting representation to buyer while preparing deed in real estate transaction 04 FEO 10

Network lawyer for company that provides litigation and administrative support services 12 FEO 10

Property damage claim, declining to represent plaintiff although representing plaintiff on related personal injury claim RPC 240

Unbundled legal services 05 FEO 10

Litigation

See TRIAL CONDUCT AND PRACTICE

Loans

See also ADVANCING FUNDS TO CLIENTS

Costs and expenses of litigation, see COSTS AND EXPENSES OF REPRESENTATION

Personal injury client, lending money to RPC 80

Mailings

See also ADVERTISING AND SOLICITATION

Envelope, extraneous statements on 06 FEO 6, 07 FEO 15

Incorporators of business, letter soliciting representation must contain advertising disclosure RPC 242

Newcomers on list of Chamber of Commerce RPC 26

Malpractice

Duties to client upon discovery of 15 FEO 4

Mediation

See ALTERNATIVE DISPUTE RESOLUTION

Medical Expenses

See CREDITORS OF CLIENT

Mentoring

Confidential and privileged information, limitations on disclosure of to law student and new lawyer protégés 14 FEO 1 

Misconduct

Affixing excess tax stamps on recorded deed 01 FEO 12

Attribution when using written work of another 08 FEO 14

Citizenship status, reporting to ICE 09 FEO 5

Duty to report misconduct of lawyer, see DUTY TO REPORT

Keyword advertising on internet, selecting another lawyer’s name as keyword 10 FEO 14

Misrepresentation of prior record level in sentencing proceeding 03 FEO 5

Notary public, compliance with applicable laws when acting as 00 FEO 8

Settlement of civil action that includes agreement not to report to law enforcement 08 FEO 15

Subpoena, misuse of RPC 236, 10 FEO 2, 14 FEO 7

Tester/undercover investigator, lawyer may supervise investigation involving misrepresentation in pursuit of public interest 14 FEO 9

Threatening immigration prosecution 05 FEO 3

Threats involving the criminal justice system 98 FEO 19, 08 FEO 15

Multidisciplinary Practice

See also BUSINESS ACTIVITIES, LAW FIRMS

Accounting and legal services offered by same firm 00 FEO 9

Adoption agency, representing adopting couples while owning financial interest in 14 FEO 10

Financial products, sale to legal client 01 FEO 9

Network lawyer for company that provides litigation and administrative support services 12 FEO 10

Multiple Representation

Adoption, representing agency and adopting parents 14 FEO 10

Bankruptcy, joint representation of husband and wife in Chapter 13 00 FEO 2

Claimants in personal injury case RPC 251

Commercial real estate loan closing, representation of borrower and lender as nonconsentable conflict 13 FEO 14

Confidentiality

-disclosure of information entrusted to lawyer by other client RPC 153

-disclosure of information to employer and workers' compensation carrier 06 FEO 1

Consent to, effect of one client's revocation of 07 FEO 11

Estate matters, see ESTATES

Family law, joint consultation with lawyer as prospective mediator 10 FEO 8

File of client, delivery upon termination of representation RPC 178

General contractor and surely, representation of 03 FEO 1

Insurance representation, see INSURANCE REPRESENTATION

Joint consultation with lawyer as prospective mediator 10 FEO 8

Nonconsentable multiple representation 13 FEO 14

Parent and child RPC 109, RPC 123

Real estate transactions, see REAL ESTATE TRANSACTIONS

Representing criminal defendant when prosecuting witness is current client 10 FEO 3

School board and administration

-roles of school board lawyers in administrative proceedings before the board 08 FEO 2

Spouses for estate planning RPC 229

Spouses, representing one in a domestic matter after previously representing both spouses in several matters  15 FEO 8

Workers’ compensation death benefits, representing multiple claimants for 01 FEO 6

Nonlawyers

See also EMPLOYEES OF LAWYERS, UNAUTHORIZED PRACTICE OF LAW

Educational seminars, employing nonlawyers to present 08 FEO 6

Employees contacting clients of former employer 09 FEO 3

Employing nonlawyer to represent Social Security claimants 05 FEO 2

Fee sharing with nonlawyer/claimant's representative in Social Security case 03 FEO 10, 05 FEO 6

Field representatives, use of to obtain representation contracts 12 FEO 11

Hiring bail-bondsman as part-time investigator RPC 1

Independent title abstractor, using services of RPC 216

Letterhead stationery

-nonlawyers listed on RPC 126

-use by nonlawyer not affiliated with firm prohibited 11 FEO 9

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

Paralegal

-appearing at calendar call for lawyer 00 FEO 10

- signing lawyer's name to pleading 06 FEO 13

-supervision of residential real estate closing by 99 FEO 13, 01 FEO 4, 01 FEO 8, 02 FEO 9

Prosecutor's administrative assistant, supervision of plea negotiations by RPC 152

Public interest law organization, employment of nonlawyers to provide services 13 FEO 9

Real estate closing, paralegal’s role in 99 FEO 13, 02 FEO 9

Real estate closing, nonlawyer's role in Authorized Practice Advisory 2002-1

Social service agency, execution of adoption papers as accommodation for RPC 139

Supervision of an independent paralegal 99 FEO 6

Supervision of lawyer by nonlawyer manager of nonprofit public interest law organization 13 FEO 9

Tax appeal, sharing fee with nonlawyer 13 FEO 7

Tester/undercover investigator, lawyer may supervise investigation involving misrepresentation under certain conditions 14 FEO 9

Unemployment hearing, supervision of nonlawyer at 09 FEO 10

Notary Public

Lawyer as

-notarizing documents in proceedings in which lawyer appears RPC 136

-compliance with applicable laws 00 FEO 8

Of Counsel Designation

Guidelines for designation RPC 34, RPC 85

Out-of-state lawyer RPC 25, RPC 34

Out-of-town lawyer RPC 85

Out-of-State Lawyers

Legal directory listing, see LEGAL DIRECTORIES

Letterhead, see LETTERHEAD

Paralegals

See EMPLOYEES OF LAWYERS

Partnerships

See also LAW FIRMS

Advertising or holding out as RPC 116

Forming law partnership of professional corporations 04 FEO 13

“Partner” designation used for non-equity firm lawyer 15 FEO 9

Sharing office space and expenses RPC 116

Payment

See FEE AGREEMENTS, FEES

Perjury

See also CANDOR TOWARD TRIBUNAL

Client perjury in deposition, response to RPC 203

Criminal representation

-false identity, client testifying under RPC 33

Disclosure of client's criminal record RPC 33

Driving record, withholding information about 98 FEO 5

Personal Injury Representation

See also TRIAL CONDUCT AND PRACTICE

Advancing funds to client, see ADVANCING FUNDS TO CLIENTS

Automobile accident representation, see INSURANCE REPRESENTATION

Communications with adverse parties, see COMMUNICATIONS WITH ADVERSE PARTIES

Communications with witnesses, see COMMUNICATIONS WITH WITNESSES

Contingent fees, see CONTINGENT FEES

Disbursement of settlement funds

-in reliance on bank's funding schedule 06 FEO 8

-upon deposit of funds provisionally credited to trust account 01 FEO 3

-see also CREDITORS OF CLIENT

Insurance representation, see INSURANCE REPRESENTATION

 

Medical liens, see CREDITORS OF CLIENT

Medical records

-obtaining out of state records 10 FEO 2, 14 FEO 7

-subpoenaing from health care provider covered by HIPAA 14 FEO 4

- subpoenaing from records custodian 99 FEO 2

Multiple representation, see MULTIPLE REPRESENTATION

Social media, advising client about 14 FEO 5

Personal Representatives of Estates

Checking account, maintenance of in compliance with requirements for fiduciary accounts in Rule 1.15  17 FEO 2

Confidential information, disclosure of deceased client's confidences in a will contest proceeding 02 FEO 7

Confidential information, disclosure to substitute personal representative RPC 195

Conflicts of interest

-co-executor, seeking to remove 99 FEO 4

-former personal representative, defending against claim brought by estate formerly represented by lawyer RPC 137

-personal representative, representing in individual and official capacities RPC 22

-personal representative, seeking removal of 02 FEO 3

Physicians

See also CREDITORS OF CLIENT, COMMUNICATION WITH WITNESSES

Prepaid Legal Services

Disclosure in fee petition 01 FEO 1

Participation in

-plan owned by member of lawyer's family RPC 71

-plan that does not satisfy Rules of Professional Conduct 06 FEO 4

Solicitation RPC 71

Pro Bono Legal Services

 Government lawyers 14 FEO 3

Pro Se Representation

Assisting pro se litigant without making an appearance or disclosing assistance 08 FEO 3

Communications with unrepresented prospective defendant in personal injury action RPC 194

Confession of judgment, preparation for unrepresented adverse party RPC 165

Ghostwriting for pro se litigant 08 FEO 3

Indigent persons, assistance from legal aid agency RPC 114

Motion for appropriate relief, lawyer’s duty when advancing claims previously made by pro se defendant 16 FEO 2

Preparation of pleading for adverse pro se party 02 FEO 6, 09 FEO 12, 15 FEO 1

Prosecutor, communication with unrepresented person charged with traffic infraction RPC 189

Stand-by defense counsel in capital case, duties of RPC 198

Uninsured motorist, communication with after uninsured motorist carrier has elected to defend in name of defendant RPC 193

Unrepresented heir of estate, communication with 07 FEO 1

Unrepresented insured, communication with to present settlement demands RPC 15

Unrepresented prospective defendant in personal injury action, communications with RPC 194

Waiver of right to notice of foreclosure, preparing for unnrepresented borrower 15 FEO 2

Professional Corporations

See LAW FIRMS

Professionalism and Courtesy

Calendar call, responsibility to lawyer who fails to appear RPC 208

Confidential information of third parties, protecting 06 FEO 10

Default, notifying opposing lawyer prior to obtaining an entry of RPC 212

Employee’s email communications on employer’s email system, review of 12 FEO 5

Impaired lawyer, duties of other firm lawyers as to 13 FEO 8

Mentoring, importance of and limitations on 14 FEO 1

Metadata, prohibition on use of 09 FEO 1

Receipt of inadvertently disclosed documents from opposing party RPC 252

Recording conversation with opposing counsel RPC 171

Subpoenas to health care providers covered by HIPAA 14 FEO 4

Prosecutors

See also CRIMINAL REPRESENTATION

Child witness in molestation or abuse case

-interviewing without consent of prosecutor RPC 61

-interviewing without parental consent 09 FEO 7

Communication with unrepresented person charged with a traffic infraction RPC 189

Conflicts of interest

-school board, service on RPC 95

Dismissal

-of charges against incarcerated person, duty to notify appropriate authorities RPC 197

-of DWI when suppression order eliminates evidence of 09 FEO 15

ICE, defendant detained by, seeking order for arrest when 13 FEO 6

Ineffective assistance of counsel claim, requesting confidential client information from defense counsel to respond to 11 FEO 16

Investigation oversight, communication with employees of corporate target during 99 FEO 10

Nonlawyer assistant, see NONLAWYERS

Order for arrest, asking for when defendant detained by ICE 13 FEO 6

Plea agreement and negotiation

-charitable contribution as condition of RPC 204

-disclosure of material terms RPC 152

-waiver of allegation of prosecutorial misconduct RPC 129

-waiver of appellate and post-conviction rights RPC 129

Release/dismissal agreement offered by prosecutor to convicted person 13 FEO 1

Scheduling cases, using discretion of prosecutor to coerce a plea agreement RPC 243

Sentencing proceeding, misrepresentations to court 03 FEO 5

Undercover officer planted in jail cell of represented criminal defendant 97 FEO 10

Prospective Clients

Consultation fee, payment creates client-lawyer relationship 06 FEO 14

Consultation with lawyer as prospective mediator 10 FEO 8

Duties to prospective clients, in general 03 FEO 8

Live chat support services, use on website may create client-lawyer relationship 11 FEO 8

Prospective client, duty of confidentiality may prevent adverse representation RPC 246

Public Defenders

See also CRIMINAL REPRESENTATION

Conflicts of interest

-codefendants RPC 65

-school board, service on RPC 105

Funds of client RPC 4

Multiple representation RPC 65

Public Interest Law Organization

Nonlawyer management of 13 FEO 9

Public Official, Lawyer Serving As

Conflicts of interest

- cross examination of law enforcement officer by defense lawyer who is elected official RPC 63, 07 FEO 16

-partner's suit against governing body upon which lawyer serves RPC 53, 02 FEO 2

-suing nonprofit hospital when partner serves on board of trustees RPC 160, see also 02 FEO 2

Defense of criminal defendants while serving as county commissioner or city council member RPC 63, 07 FEO 16

District attorney, see PROSECUTORS

Disqualification of lawyer/commissioner from representation of criminal defendants RPC 73

Election to county board of commissioners of partner of firm that represents county, effect RPC 130

Government employee, lawyer as, see GOVERNMENT LAWYERS

Imputed disqualification

-defense of criminal defendants while partner is serving as county commissioner RPC 63, RPC 73, 07 FEO 16

Prosecutor, see PROSECUTORS

School board, representation of while serving as county commissioner RPC 63

Unauthorized practice of law in quasi-judicial proceeding before local government body, response to 07 FEO 3

Publicity, Trial

Civil trial 98 FEO 4

Real Estate Transactions

See also FORECLOSURES, UNAUTHORIZED PRACTICE OF LAW

Affixing excess tax stamps on recorded deed 01 FEO 12

Approved attorney lists of lenders RPC 57

Audit of real estate trust account by title insurer 08 FEO 13

Brokerage owned by lawyers RPC 49

Closings

-costs, establishing interim account for 05 FEO 11

-disbursements against provisional credit RPC 191

-disbursements, following lender's instructions RPC 44

-discontinued upon buyer's instructions 08 FEO 7

-duties when lawyer believes title company engaged in unauthorized practice of law 09 FEO 2

-mortgage brokerage owned by lawyers, closing transactions brokered by RPC 248

-placing title insurance in spouse’s title insurance agency 09 FEO 14

- presence of attorney 99 FEO 13, 01 FEO 4, 01 FEO 8, 02 FEO 9, Authorized Practice Advisory 2002-1

-recording before disbursement upon lender's instructions RPC 44

-recording costs, payment for deposited in trust account RPC 47

-recording discontinued upon buyer's instructions 08 FEO 7

-supervising paralegal 99 FEO 1301 FEO 401 FEO 802 FEO 9

-upon deposit of loan check that lender's agreement purports to make certified RPC 232

-witness closings 98 FEO 8

Commercial real estate loan closings, representation of multiple parties in 13 FEO 14

Commissioner for sale in partition proceeding, service as after representing party 09 FEO 8

Conditional delivery of deed 07 FEO 9

Conditional delivery of trust account checks to real estate agent before depositing loan proceeds and recording RPC 44, RPC 78

Confidentiality, client's lien affidavit RPC 113

Conflicts of interest

-borrower and lender, representation of both in residential transaction RPC 210, 13 FEO 4

-borrower's lawyer rendering opinion to lender RPC 101, RPC 121, RPC 210, 13 FEO 4

-buyer and developer, representation of both in residential transaction 97 FEO 8

-buyer and seller, representation of both in residential transaction RPC 210, 97 FEO 8, 13 FEO 4

-closing transaction brokered by agency with which lawyer is a realtor RPC 201

-closing transaction brokered by relative of closing lawyer RPC 188

-closing transaction brokered by secretary who is also real estate agent RPC 88

-commercial real estate loan closings, representation of multiple parties in 13 FEO 14

-developer who is regular client, representation of buyer in residential transaction 97 FEO 8

-foreclosed property sale by lender, representation of seller and buyer 13 FEO 4

-mortgage brokerage owned by lawyers, closing transactions brokered by RPC 248

-partition proceeding, lawyer for party to partition proceeding serving as commissioner for sale 09 FEO 8

-real estate brokerage owned by lawyers, closing transactions brokered by RPC 49

-rendering title opinion

- for buyer’s policy when representation limited to seller 13 FEO 4

-upon property in which lawyer has a beneficial interest RPC 83

-when lawyer owns stock in title insurance agency RPC 185

-title insurance agency

-exclusive referral arrangement 11 FEO 4

-placing insurance with spouse’s 09 FEO 14

-trustee and lender, common representation in dispute with borrower 04 FEO 3

Deed, preparation of without representing seller 04 FEO 10

Deed of trust, obtaining cancellation from lender after payoff 99 FEO 5

Disbursement

-against provisional credit to trust account RPC 86, RPC 191

-of closing funds after buyer instructs not to disburse 99 FEO 9, 07 FEO 9, 08 FEO 7

Disbursement of closing funds after buyer instructs not to disburse 99 FEO 9, 08 FEO 7

Earnest money, receipt prior to closing RPC 86

E-recording 05 FEO 11

Escrow accounts, see ESCROW ACCOUNTS

Foreclosures, see FORECLOSURES

HUD Settlement Statement, misrepresentation of disbursements on RPC 86

Independent title abstractor, using services of RPC 216

In-house counsel to lender, preparation of closing documents by RPC 40

Lender, exclusive representation of RPC 40, RPC 41

Lender's preparation of closing documents RPC 41

Mortgage brokerage owned by lawyers, representation as closing agent or to certify title prohibited RPC 248

Network lawyer for company that provides landlord/tenant and foreclosure support services 12 FEO 10

Obtaining canceled deed of trust following residential real estate closing 99 FEO 5

Paralegal, supervising in residential closing 99 FEO 13, 01 FEO 4, 01 FEO 8, 02 FEO 9

Partition proceeding, service as commissioner after representing party to 09 FEO 8

Provisional credit to trust account upon deposit of lender check, disbursement against RPC 86, RPC 191

Realtor/lawyer, closing transactions brokered by agency with which lawyer is a realtor RPC 201

Rescission, closing lawyer's representation of buyer in action for 07 FEO 9

Secretary who is also real estate agent RPC 88

Seller

-closing lawyer's representation of and receipt of fee from RPC 86

-preparation of deed without representation of 04 FEO 10

Tax Foreclosure 06 FEO 5

Tax stamps, affixing excess stamps on recorded deed 01 FEO 12

Title agency

-ownership of 99 FEO 6

-placing title insurance in spouse’s title insurance agency 09 FEO 14

Title notes

-access to by lawyer who departs firm RPC 227

-releasing to client RPC 169, RPC 227

Title search

-tacking onto existing title insurance policy RPC 99, 09 FEO 17

-title abstract service RPC 29

Trust account

-audit by title insurer 08 FEO 13

-disbursement against provisional credit to RPC 86, RPC 191

-disbursement in reliance on bank's funding schedule 06 FEO 8

-interim account for closing costs 05 FEO 11

 Witness closings 98 FEO 8

Recorded Conversations

Illegal tape recording, use in trial RPC 192, RPC 220

Opposing counsel, recording conversation with RPC 171

Reporting Professional Misconduct

See DUTY TO REPORT

Restrictive Covenants

Buyout agreement, valuing effect of lawyer's departure in 07 FEO 6

Division of fees in agreement upon lawyer’s departure from firm 12 FEO 12

Employment agreement restricting right to practice 01 FEO 10, 08 FEO 8

Merger negotiations, agreement not to solicit lawyers from other firm during 17 FEO 5

Settlement agreement restriction on lawyer's representation of similarly situated claimants RPC 179, 03 FEO 9

Retainer Agreements

See RETAINER FEES

Retainer Fees

Nonrefundable retainers RPC 50, RPC 158, 97 FEO 4, 00 FEO 5, 08 FEO 10

Nonprofit public interest law organization, collection of 13 FEO 9

Retired Lawyers

Division of fees with, see DIVISION OF FEES BETWEEN LAWYERS

Name of firm RPC 13

Restricting practice, agreement with RPC 13

Screening

Duties to prospective clients, in general 03 FEO 8

Lawyers as new associates, screening of 10 FEO 12, 12 FEO 4

Timing 10 FEO 12

Secretaries

See EMPLOYEES OF LAWYERS

Service of Process

Evade, advising a client to 98 FEO 2

Settlements

Advising multiple clients about 03 FEO 12

Client's exclusive authority to settle RPC 145

Conditions imposed upon

-agreement not to report to law enforcement authorities 08 FEO 15

-agreement not to report sexual misconduct of mental health professional to licensing authorities RPC 159

-agreement not to reveal confidential information 03 FEO 9

-conditional delivery of settlement proceeds, lawyer's duty upon receipt of proceeds RPC 127

-employment agreement with lawyer, lawyer's approval of client's settlement RPC 145

-restriction on lawyer's representation of similarly situated claimants against opposing party RPC 179

-settlement with lawyer prohibiting disclosure of lawyer's misconduct RPC 84

Conflicts of interest

-minor plaintiff, court approval of settlement, compensation of minor's lawyer paid by carrier RPC 167

Contingent fee, structured settlement RPC 141

Creditors of client, see CREDITORS OF CLIENT

Criminal law, release/dismissal agreements 13 FEO 1

Decision-making authority of client, disbursement of settlement proceeds RPC 125

Disbursing proceeds

-as directed by client RPC 69

-upon deposit of funds provisionally credited to trust account 01 FEO 3

-see also, CREDITORS OF CLIENT

Disclosure of client's death during negotiations RPC 182

Disclosure of settlement terms to former lawyer to resolve claim for fee division 13 FEO 12

Financing company, referring client to 06 FEO 2

Lien, withholding settlement proceeds to pay RPC 69, RPC 125

Lump sum settlement, representation of parent and child RPC 109

Medical providers' liens, payment of RPC 69, RPC 125

Misconduct, duty to report

-agreement not to report sexual misconduct of mental health professional to licensing authorities RPC 159

-check disbursement in violation of agreement RPC 127

Negotiation of, communication with adverse party, see COMMUNICATIONS WITH ADVERSE PARTIES

Plea agreement, cooperation on in conjunction with RPC 225

Providing pleadings to unrepresented adverse party 15 FEO 1

Release/dismissal agreements, offer by prosecutor in criminal case 13 FEO 1

Representation of clients with similar claims after participation in a confidential settlement agreement for another client 03 FEO 9

Sealing settlement agreement involving municipality, cooperation of plaintiff's attorney RPC 179

Structured settlement, contingent fee RPC 141

Threatening criminal prosecution to obtain advantage in civil matter 98 FEO 19

Social Media

See also ADVERTISING AND SOLICITATION

Advising civil litigation client about 14 FEO 5

Solicitation

See ADVERTISING AND SOLICITATION

Specialization

Advertising specialty RPC 43

Designation of RPC 43

Subpoenas

For production of documents without hearing, deposition or trial 08 FEO 4

Health care provider covered by HIPAA 14 FEO 4

Misuse of subpoena process RPC 236, 10 FEO 2, 14 FEO 7

Obtaining out of state records 10 FEO 214 FEO 7

Records Custodian 99 FEO 2

Temporary Lawyers

Contracting with lawyers from independent placement service RPC 38

Leasing lawyers from nonlawyer company RPC 104

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

Termination of Representation

See FILES OF CLIENT, WITHDRAWAL FROM REPRESENTATION

Trade Name

See ADVERTISING AND SOLICITATION

Departed firm owner's surname used in firm name 06 FEO 20

Implying affiliation with financial planning company 04 FEO 9

Misleading URL 05 FEO 14

URL for firm website is trade name 05 FEO 8

Trial Conduct and Practice

See also CANDOR TOWARD TRIBUNAL, COMMUNICATION WITH ADVERSE PARTIES, COMMUNICATION WITH JUDGES, COMMUNICATION WITH JURORS, COMMUNICATION WITH WITNESSES, CRIMINAL REPRESENTATION, DISCOVERY FOR LITIGATION, PERSONAL INJURY REPRESENTATION

Attribution when using written work of another 08 FEO 14

Calendar call

-paralegal appearing for lawyer at 00 FEO 10

-responsibility to opposing lawyer who fails to appear RPC 208

Default, notifying opposing lawyer prior to obtaining an entry of RPC 212

Filing notice of appeal although client may be deported. 11 FEO 3

Filing suit after the statute of limitations has run 03 FEO 13

Frivolous claim, resisting incompetency petition as 98 FEO 16

Illegal tape recording, use of RPC 192

Insufficient evidence, duty to dismiss DWI charge 09 FEO 15

Judge who is client, appearance before 97 FEO 1

Judge who is family member, appearance before 05 FEO 1

Misrepresentation of prior record level in sentencing proceeding 03 FEO 5

Notice of appeal, filing although client may be deported 11 FEO 3

Notice of appeal in court-appointed juvenile case, filing to preserve client's rights although lawyer does not believe appeal has merit 08 FEO 17

Obtaining medical records 99 FEO 2

Offensive tactics, avoiding at calendar call RPC 208

Pro se litigant, see PRO SE REPRESENTATION

Providing pleadings to unrepresented adverse party 15 FEO 1

Publicity in civil trial 98 FEO 4

Representation of absent respondent in dependency proceeding 03 FEO 16

Social media, advising civil litigation client about 14 FEO 5

Statute of limitations, filing suit after elapsed 03 FEO 13

Subpoena

-for production of documents without hearing, deposition or trial 08 FEO 4

-health care provider covered by HIPAA 14 FEO 4

-out of state records, 14 FEO 7

-process, misuse of RPC 236, 99 FEO 2, 10 FEO 2, 14 FEO 7

Tester/undercover investigator, lawyer may supervise investigation involving misrepresentation if done in pursuit of public interest 14 FEO 9

Threats involving criminal justice system 98 FEO 19

Trust Accounts

See also CLIENT FUNDS AND PROPERTY, ESCROW ACCOUNTS

Abandoned funds RPC 89, RPC 149, RPC 226

-dormancy fee on 06 FEO 15

Advance payments deposited in trust account

-fees RPC 50, RPC 158, 05 FEO 13

-litigation costs RPC 51, 13 FEO 3

-recording costs RPC 47

Audit of real estate trust account by title insurer 08 FEO 13

Bank, selection of and Y2K considerations 98 FEO 15

Business account, linking for purpose of determining interest or service charges RPC 150

Cashing check for client RPC 4

Chargebacks from credit card payments, protection against 97 FEO 9

Client's funds for costs, depositing in RPC 47, RPC 51, 13 FEO 3

Commingling

-by bank for interest accrual or service charge assessment RPC 150

-credit card account that avoids 09 FEO 4

Conditional delivery of trust account checks before depositing loan proceeds RPC 78

Costs, deposited in RPC 158, 13 FEO 3

Costs of closings, establishing interim account for 05 FEO 11

Credit card, accepting fees paid by RPC 247, 97 FEO 9, 09 FEO 4

Digital records for 01 FEO 14

Disbursement against funds credited to trust account by ACH transfer or electronic funds transfer 13 FEO 13

Disbursement in reliance on bank's funding schedule 06 FEO 8

Disputed fees

-explanation of which funds that may be retained in trust account to pay 11 FEO 13

-transfer from trust account to lawyer upon certain conditions 06 FEO 16

Division of fee with former firm 03 FEO 11

Dormancy fee on unclaimed funds 06 FEO 15

E-recording, interim account for costs of 05 FEO 11

Escheat of abandoned funds RPC 89, RPC 149

Estate checking account , maintaining in accord with requirements for fiduciary accounts in Rule 1.15 17 FEO 2

 

Lien on funds deposited in, see CREDITORS OF CLIENT

Nonprofit public interest law corporation, legal fees collected by 13 FEO 9

Nonrefundable retainer fees RPC 50

Online banking 11 FEO 7

Out-of-state trust accounts RPC 96

Personal representative, maintenance of estate checking  account  in accord with fiduciary account requirements in Rule 1.15 17 FEO 2

Provisional credit

-disbursement against RPC 86, RPC 191, 01 FEO 3

-disbursement in reliance on bank's funding schedule 06 FEO 8

Purchasing money order for client RPC 4

Real estate closing, disbursement against provisional credit RPC 191

Records

-documenting the handling of trust funds RPC 86

-retaining CD-ROM with digital images of trust account checks 01 FEO 14

Selecting a bank, Y2K considerations 98 FEO 15

Settlement funds, disbursement without consent of client prohibited RPC 75

Stolen trust account funds, duty when third party responsible 15 FEO 6

Third party advancing legal fees for client, refunding advance fees to when representation ends 05 FEO 12

Title insurer, audit of real estate trust account by 08 FEO 13

Trustee on Deed of Trust

See also FORECLOSURES

Foreclosure, representation in purchase of foreclosed property 06 FEO 3

Spouse and paralegal own interest in closely-held corporate trustee, lawyer may not represent lender in contested foreclosure 11 FEO 5

Unauthorized Practice of Law

Disbarred lawyer, employment in law office 98 FEO 7

Duty to report lawyer assisting title company engaged in 09 FEO 2

Field representatives, use of to obtain representation contracts 12 FEO 11

Insurance company, representation of insured and others by lawyer who is employee of, guidelines RPC 151

Network lawyer for company providing litigation and administrative support services 12 FEO 10

Nonlawyer's role in real estate closing Authorized Practice Advisory 2002-1

Nonprofit public interest law corporation 13 FEO 9

Outsourcing

-clerical or administrative tasks 11 FEO 14

-legal support services 07 FEO 12

Paralegal

-appearing at calendar call for lawyer 00 FEO 10

-closing residential real estate transaction for lawyer 99 FEO 13, 01 FEO 4, 01 FEO 8, 02 FEO 9

-signing lawyer's name to pleadings 06 FEO 13

Quasi-judicial proceeding

-representation by nonlawyer at Authorized Practice Advisory 2006-1

-duties of lawyer relative to representation by nonlawyer at 07 FEO 3

Real estate closing, participation in when title prepared by another 98 FEO 8, 09 FEO 2

Seminars on law for members of public conducted by nonlawyer 08 FEO 6

Unemployment hearing, supervision of nonlawyer at 09 FEO 10

Unbundled Legal Services

Virtual law practice and 05 FEO 10

Underinsured Motorist

See INSURANCE REPRESENTATION

Waivers

See CONFIDENTIALITY, CONFLICTS OF INTEREST

Web Page

See ADVERTISING AND SOLICITATION

Withdrawal from Representation

Client's disappearance, withdrawal upon RPC 223, 03 FEO 16, 10 FEO 1

Charging client for motion to withdraw 07 FEO 8

Files, return upon, see FILES OF CLIENT, TERMINATION OF REPRESENTATION

Frivolous claim, upon GAL insisting on filing 06 FEO 9

Lawyer's duties when client revokes consent to conflict 07 FEO 11

Partition proceeding, obtaining client’s consent to withdraw to serve as commissioner 09 FEO 8

Potential malpractice, duty to withdraw due to 15 FEO 4

Uninsured motorist represented by lawyer retained by insurance carrier RPC 8

Witnesses

See COMMUNICATIONS WITH WITNESSES

Witnesses, Lawyer As

Child support enforcement action, member of AG’s office as witness 10 FEO 5

Employee of lawyer as witness, see EMPLOYEES OF LAWYERS

Estate matters RPC 142

Lawyer serving as advocate and witness when lawyer is the litigant 11 FEO 1

Necessary witness, determination within trial court’s discretion 12 FEO 15

Opposing party, witness for RPC 207

Withdrawal, in criminal case RPC 221

Workers' Compensation

Alias of client, disclosure of 08 FEO 1

Communications with adverse party RPC 67

Communication with represented claimant through private investigator 03 FEO 4

Communication with treating physician RPC 224

Disclosure of settlement terms to former lawyer asserting claim for fee division 13 FEO 12

Division of fee with former firm or lawyer 03 FEO 11, 13 FEO 12

In-house legal counsel for carrier, representation of carrier and insured RPC 151

Multiple representation of claims for death benefits 01 FEO 6

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