Annotated Model Rules of Professional Conduct, Tenth Edition

by Ellen J. Bennett (Editor), Helen W. Gunnarsson (Editor)

Overview

An essential resource on lawyer ethics - revised and updated: The Annotated Model Rules of Professional Conduct is the ABA's definitive single-volume resource for information about how courts, disciplinary bodies, and ethics committees apply the lawyer ethics rules. The Tenth Edition incorporates all of the amendments the ABA has made to the Model Rules of Professional Conduct through February 2023 -including the 2020 amendments to Model Rule 1.8, permitting limited financial assistance to indigent clients under certain circumstances. This edition adds an annotation to Rule 1.0 (Terminology) and discussion of ethics issues relating to remote work, virtual law practice, fees paid in cryptocurrency, and recent efforts by some states to allow limited practice by nonlawyers.

Comprehensive and authoritative: Each chapter begins with the rule and its comment, a link to charts comparing each state's rule with the Model Rule, and then presents a detailed discussion of how the rule has been applied. The book gives citations to thousands of court cases, ethics opinions, law review articles, and internet resources, as well as treatises, the Restatement (3rd) of the Law Governing Lawyers, and the legislative history of the Model Rules.

For all jurisdictions and practice settings: All state jurisdictions base their ethics rules on the ABA Model Rules of Professional Conduct.

• Most federal courts use a variant of either the Model Rules or the home state's version of the Model Rules as the basis for lawyer discipline.
• Most specialty tribunals exercising their own disciplinary powers also look to the ethics rules, whether or not they have formally adopted them.
• State and federal courts constantly turn to the ethics rules when deciding disqualification motions, motions for sanctions, motions to suppress, motions to quash, and disputes over fees and fee division, discovery, class certification, and pro hac vice admission status.
Suits involving lawyer malpractice and breach of fiduciary duty now routinely invoke the ethics rules, sometimes even in the jury instructions.

Product Details

ISBN-13:	9781639052899
Publisher:	American Bar Association
Publication date:	07/18/2023
Sold by:	Barnes & Noble
Format:	eBook
Pages:	950
File size:	2 MB

About the Author

Helen W. Gunnarsson is an associate counsel for the American Bar Association’s Center for Professional Responsibility in Chicago, where she is a member of the team that reports, writes, and edits articles and chapters on lawyer ethics and professionalism for the ABA/BNA Lawyers’ Manual On Professional Conduct, a joint publication of the American Bar Association and Bloomberg BNA.  Before joining the ABA, she was a freelance contributing writer on substantive and timely law practice topics for the Illinois State Bar Association, pioneering ISBA’s nightly e-mail case digests and other e-mail newsletters and writing the LawPulse feature in the Illinois Bar Journal, ISBA’s flagship monthly publication, from its inception in 2001 and most of the IBJ’s cover stories from late 2005 through February, 2012. She was an online CLE presenter for MentorCLE.com and has trained employers in anti-harassment practices. 

Helen has published extensively and is a frequent presenter on lawyer ethics and the business of law. Her professional experience includes nearly ten years as an administrative law judge for the Illinois Human Rights Commission as well as positions as an assistant state’s attorney for Peoria County, a solo practitioner and special assistant state’s attorney in Galesburg, IL, and a Reginald Heber Smith staff attorney for West Central Illinois Legal Assistance (now part of Prairie State Legal Services) in Galesburg. She is a graduate of Northwestern Universityand the University of Illinois College of Law.

Table of Contents

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

ABA Center for Professional Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

ABA Standing Committee on Ethics and Professional Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . xi

ABA Commission on Evaluation of Professional Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xii

Chair’s Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

ABA Commission on Evaluation of the Rules of Professional Conduct . . . . . . . . . . . . . . . . . . . . . . xvi

Chair’s Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xvii

Preamble and Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

RULES

1.0 Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Client-Lawyer Relationship

1.1 Competence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

1.2 Scope of Representation and Allocation

of Authority between Client and Lawyer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

1.3 Diligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

1.4 Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

1.5 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

1.6 Confidentiality of Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  123

1.7 Conflict of Interest: Current Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  161

1.8 Conflict of Interest: Current Clients: Specific Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  185

1.9 Duties to Former Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  207

1.10 Imputation of Conflicts of Interest: General Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  221

1.11 Special Conflicts of Interest for Former and

Current Government Officers and Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  231

1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral . . . . . . . . . . .  247

1.13 Organization as Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257

1.14 Client with Diminished Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  279

1.15 Safekeeping Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  293

1.16 Declining or Terminating Representation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  313

1.17 Sale of Law Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333

1.18 Duties to Prospective Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  341

Counselor

2.1 Advisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353

2.2 Intermediary [Deleted 2002] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  363

2.3 Evaluation for Use by Third Persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  365

2.4 Lawyer Serving as Third-Party Neutral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  373

Advocate

3.1 Meritorious Claims and Contentions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  383

3.2 Expediting Litigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  393

3.3 Candor Toward the Tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  399

3.4 Fairness to Opposing Party and Counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  419

3.5 Impartiality and Decorum of the Tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  433

3.6 Trial Publicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  445

3.7 Lawyer as Witness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  455

3.8 Special Responsibilities of a Prosecutor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  469

3.9 Advocate in Nonadjudicative Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  481

Transactions with Persons Other Than Clients

4.1 Truthfulness in Statements to Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  485

4.2 Communication with Person Represented by Counsel . . . . . . . . . . . . . . . . . . . . . . . . .  495

4.3 Dealing with Unrepresented Person . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 519

4.4 Respect for Rights of Third Persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  529

Law Firms and Associations

5.1 Responsibilities of Partners, Managers, and Supervisory Lawyers . . . . . . . . . . .  543

5.2 Responsibilities of a Subordinate Lawyer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  551

5.3 Responsibilities Regarding Nonlawyer Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  555

5.4 Professional Independence of a Lawyer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  567

5.5 Unauthorized Practice of Law; Multijurisdictional Practice of Law . . . . . . . . . .  581

5.6 Restrictions on Right to Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609

5.7 Responsibilities Regarding Law-Related Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  623

Public Service

6.1 Voluntary Pro Bono Publico Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  633

6.2 Accepting Appointments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  641

6.3 Membership in Legal Services Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  651

6.4 Law Reform Activities Affecting Client Interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  657

6.5 Nonprofit and Court-Annexed Limited Legal Services Programs . . . . . . . . . . . .  661

Information about Legal Services

7.1 Communications Concerning a Lawyer’s Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  665

7.2 Communications Concerning a Lawyer’s Services: Specific Rules . . . . . . . . . . .  687

7.3 Solicitation of Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  705

7.4 Communication of Fields of Practice and Specialization [Deleted 2018] . . . .  719

7.5 Firm Names and Letterheads [Deleted 2018] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  721

7.6 Political Contributions to Obtain Government

Legal Engagements or Appointments by Judges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 723

Maintaining the Integrity of the Profession

8.1 Bar Admission and Disciplinary Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  729

8.2 Judicial and Legal Officials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  741

8.3 Reporting Professional Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  751

8.4 Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  761

8.5 Disciplinary Authority; Choice of Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  809

ABA Commission on Multijurisdictional Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  819

ABA Standing Committee on Ethics and Professional Responsibility . . . . . . . . . . . . . . . . . . . . . .  821

Correlation Tables A and B:

Related Sections in the ABA Model Code of Professional Responsibility . . . . . . . . . . . . . . . . . . .  823

Amendments to the Model Rules of Professional Conduct (by Rule) 1983–2020 . . . . . . . . . .  837

Amendments to the Model Rules of Professional Conduct (by Date) 1983–2020 . . . . . . . . . . 840

Table of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  841

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  915