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L1, L2, and L3 are former in-house attorneys who were fired by the firms that employed them. They each want to sue their respective former employers.
L1 represented an entertainment company. She alleges she was fired because her employer thought she had taken too much maternity leave. She wants to bring a claim for discrimination based on sex.
L2 represented a technology company. She alleges she was fired for refusing to sign a materially misleading registration statement for the offering of securities. She wants to bring a claim for retaliatory discharge.
L3 represented a medical device company. He alleges he was fired because he threatened to inform a government agency that the company planned to distribute to hospitals defective kidney dialysis machines. The defects put patients using the machines at risk of uremic poisoning, which could cause death or serious injury.
L3’s employer did not use his services in connection with the distribution of these machines, but he learned of the defects from an employee who confided in him because the employee considered him trustworthy. L3 also wants to bring a claim for retaliatory discharge.
Each lawyer wants to know what they may disclose: (i) confidentially, to their employment counsel; (ii) publicly, in the complaint or other proceedings necessary to prove their claims; and (iii) publicly, to respond to defenses their former employers might raise to their claims.
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Does an attorney assist in the unauthorized
practice of law in violation of California Rule
of Professional Conduct 1-300 when he or she
uses the services of an outsourcing firm to perform
research and drafting services on behalf of a
client? When, if at all, is an attorney ethically
obligated to inform the client of the attorney's
arrangement with an outsourcing company? May
an attorney rely on an outsourcing firm to supply
substantive expertise in matters in which the
attorney has only limited experience? How, if
at all, do the rules for outsourcing differ depending
on whether the firm to which the work is outsourced
is an out-of-state or foreign-national enterprise? |
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Lana Lawyer has a plaintiff’s personal injury
practice. She does not maintain an internet web
site and does not otherwise engage in advertising.
However, her e-mail address is published on the
State Bar of California membership records website
accessible to the public. |
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Is an attorney ethically compelled
to waive the work-product protection if the attorney’s
interests differ from the former client’s
interests? |
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May
an attorney condition delivery of copies of
significant documents in the client's file
to the client on the client's prior payment
of the copying expense when the representation
has not been terminated? |
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May
an attorney who acts as a Good Samaritan at
an accident scene ethically give his business
card to one of the people involved in the accident
for reasons other than enlisting legal business? |
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May
a lawyer employed by a public agency which
represents clients in civil or criminal cases
accept a compensation bonus pursuant to a county-wide
bonus program (hereafter "bonus program")
that ties the bonus, either in whole or in
part, to savings achieved in the agency's budget? |
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May
an attorney ethically withhold from a client
the attorney's uncommunicated work product
relating to that client's representation? |
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A.
When attorneys who do not work in the same
firm or share an office together regularly
discuss cases and clients, are these attorneys
acting in an "of counsel" status?
B. What must such an attorney do if he or she recognizes that representation
of a potential client is adverse to a person or situation which another
attorney discussed with him or her?
C. Finally, can one of these attorneys refer cases to the other when
the referring attorney has a conflict of interest? |
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What
are an attorney's ethical obligations following
receipt of notice by the adverse party that
the attorney's recently-filed pleading is not
legally justified? |
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A
criminal defendant is charged with having two
prior serious felony convictions pursuant to
Cal. Pen. Code §667. Pursuant to that
section, conviction of the instant offense
will carry a minimum indeterminate sentence
of 25 years to life. Is it appropriate for
an attorney whose office has represented the
client on one of the alleged priors to represent
the client on the instant case? |
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A
law firm has represented a client charged with
a serious felony. The client was convicted.
Later, the client is killed and another person
is charged with his murder. May the law firm
ethically represent the accused murderer? Does
it matter that the deceased client was convicted
of a crime of violence and his accused murderer
claims the killing was in self defense? Does
it matter that the law firm has no confidential
information from the deceased client which
might be of help in defending his accused murderer? |
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To
what extent may a member of the State Bar of
California advise or assist a client with respect
to an advoidance of existing and identifiable
creditors' rights and a protection of the client's
assets? |
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May
an attorney use a personalized direct mailing
to communicate with a prospective client who
has been arrested, where the attorney obtained
the prospective client's name, address and
arrest information through public records documenting
that arrest? |
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What
obligations, if any, are imposed by the Rules
of Professional Conduct of the State Bar of
California upon an attorney who obtains knowledge
that another attorney has committed a violation
of such Rules, which violation raises a substantial
question as to the violating attorney's honesty,
trustworthiness, or fitness as an attorney? |
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May
a member of the State Bar act both as attorney
for the personal representative of a probate
estate and as real estate broker for the sale
of that estate's property, and receive fees
from the estate in both capacities? |
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Son
meets with the attorney in the attorney's office,
without Father being present, and attempts
to retain the attorney to draft a will for
Father with the prime beneficiary being the
Son. Alternatively, Daughter brings Mother
to the attorney's office, explains that she
has been caring for Mother for the past ten
years, and states that Mother now wants to
make a new will which cuts out the other children.
Mother appears to be competent, but is apparently
dependant upon Daughter for day to day care.
While Daughter is still in the office, Mother
consents to Daughter's proposed plan. What
are the attorney's ethical duties when the
proposed beneficiary asks the attorney to prepare
the will? |
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An
Attorney represents an Executor in the probate
of an estate. During the course of representation,
the Attorney learns that the Executor has taken
estate funds for personal use and intends to
conceal the misappropriation in an accounting
to be filed with the court. What are the duties
of the Attorney upon discovery of the misappropriation? |
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Attorney
represents a Client in a criminal proceeding.
During a meeting between Attorney and Client
in Attorney's office, Attorney discloses
to Client that a codefendant has agreed to
cooperate with the prosecution and provide
information which will incriminate Client.
Upon learning of the foregoing, Client becomes enraged. Client opens
a brief case, displays a handgun and tells Attorney: "I've had it
with that lying scum. I know how to use this and I'm going to take care
of him once and for all." Client hurriedly departs Attorney's office.
Based upon Attorney's knowledge of Client, Attorney believes that Client
intends to seriously injure or kill the informant.
May Attorney disclose Client's intentions or otherwise warn the authorities
or informant of the apparent danger? |
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Attorney
has been hired by Law Firm to act as an expert
witness in case #1, a matter being handled
by Law Firm. Later, Attorney represents Client
in Case #2, a litigation matter wholly unrelated
to case #1. The party who opposes Client in
case #2 is represented by Law Firm.
Must Attorney disclose to Client the Attorney's relationship with Law Firm?
Does it make any difference whether case #2 is a litigation or a transactional
matter?
Assume Attorney is a member of Law Firm X. If Client is represented by
a lawyer from X, but not by Attorney, must anyone make a disclosure? |
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An
attorney has been retained to represent an
executor in the probate of an estate. The attorney
is or will be compensated according to statutorily
determined probate fees.
Part of the probate estate includes real property which the attorney is
instructed to sell. As a result, the attorney contacts a real estate broker
to list the property for sale. However, the attorney demands that the broker
pay the attorney a "referral" fee in return for the attorney's
agreement to retain the broker. The broker's fee to the attorney is not
disclosed to the executor or the court.
1. May the attorney ethically demand the payment of the referral fee by
the broker as a prerequisite to retention of the broker?
2. To what extent is the attorney's receipt of a referral fee affected
by disclosure of the fee to either the executor or the court? |
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After
a Law & Motion hearing, responding party
("A") prepares a proposed order and
sends it to moving party ("B") for
approval as to form. "B" does not
approve the order, but sends to "A" an
alternative proposed order for approval as
to form.
Instead of approving the alternative order, "A" sends both proposed
orders to the court, along with a letter arguing why its order should be
adopted by the court, and further arguing why the court should change the
ruling it made at the hearing. The letter and orders are delivered to the
court by hand, but delivered to "B" by mail. The court adopts "A's" proposed
order before "B" receives the correspondence.
Does "A's" correspondence to the court violate any ethical rules? |
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When
confidential or privileged records are subpoenaed
to court and mistakenly delivered to a party,
may the receiving attorney examine and copy
such records? |
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May
a law firm, who frequently represents a particular
insurance company, accept a referral fee for
referring to another attorney a plaintiff who
is moving against an insured of the insurance
company? Does acceptance of a referral fee
under these circumstances constitute a conflict
of interest ? |
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May
an attorney, selected by the insurer to represent
the insured client, continue to represent the
insurer after the insured client elects to
be represented by independent counsel due to
a "reservation of rights letter" received
from the insurer? |
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Is
it misleading for two attorneys who are not
in a partnership to share legal stationery,
letterhead and an advertising sign? May they
use a common name or trade name? |
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May
referring attorney receive a referral fee if
this attorney has done no work on the case? |
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May
an attorney interview an employee of opposing
party when he knows opposing party is represented
by counsel? |
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May
an attorney pay an expert witness on a contingent
fee basis? |
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Upon
withdrawal, must an attorney make all papers
and property in the client's case file available
to the client? |
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May
an attorney who had represented husband in
the property settlement portion of a dissolution
case later represent the wife in the spousal-support
portion of that same case? What type of consent
is required in such a situation? Is the attorney
who is questioning this conduct "threatening
prosecution" within the meaning of rule
7-104? |
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May
an attorney form a partnership with a non-attorney
if the partnership is to practice law? May
the non-attorney use the attorney's legal stationery?
Is it proper for this attorney to be the promoter
of a tax shelter scheme? |
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Does
assistance in the selection, preparation and
filing of court pleadings, etc. by a non-lawyer
constitute the unauthorized practice of law?
May an attorney associate with this non-lawyer? |
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Where
an attorney is approached by opposing attorney's
client, must he notify the opposing attorney
before communicating with the opposing client? |
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When
the attorney for a fiduciary is aware of the
fiduciary's misfeasance or malfeasance, what
is the attorney's duty? |
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May
a defense attorney speak with plaintiff's attending
physician in medical malpractice case without
informing plaintiff's attorney? |
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Does
an attorney have a duty to disclose to the
court the fact that a nonparty witness has
committed perjury? |
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May
an entity of nonlawyers provide paralegal counseling
and drafting services to the public? |
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If
an attorney agreed to represent an indigent
client for no fee, may the attorney begin billing
the client for future (and/or past) legal fees
when he discovers that the client is not in
fact indigent? |
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May
an attorney mail advertisements directly to
non-clients? When is advertising by mail permitted
under rule 2-101 of the California Rules of
Professional Conduct? |
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May
an attorney form a partnership with laypersons
for the purpose of assisting clients file small
claims court actions? |
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Does
an attorney have a duty to disclose altered
evidence? |
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Must
an attorney comply with opposing counsel's
request that the two parties to the action
not communicate? |
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May
an attorney ethically collect finance charges
on past due receivables from clients? May an
attorney ethically participate in a credit
card plan providing financing of legal fees? |
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May
an attorney represent a party against another
if that opposing party is a shareholder in
a corporation which the attorney represents? |
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May
a law firm continue to represent a client if
the client brings a malpractice suit against
a former partner of the firm? Would signing
a waiver of conflict agreement effectively
waive any potential conflict? |
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May
an attorney contact the opposing party's commanding
officer knowing that the party is represented
by counsel? |
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If
a workers compensation insurance carrier is
represented by counsel, must claimant contact
the counsel before speaking with the insurance
carrier? |
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Is
a fee arrangement in a criminal matter proper
which provides that the attorney may automatically
withdraw from the case upon the client's failure
to comply with a fee payment schedule? |
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May
an attorney for defendant in a Small Claims
Court action contact the plaintiff and inform
him that he may be sued in Municipal or Superior
Court unless the Small Claims action is dropped? |
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Must
an attorney (retained by an insurance company
to defend the insured) inform the insured of
facts which may lead insured to bring action
against the insurance company? |
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May
a law employee of a law corporation use the
corporation letterhead? May an attorney directly
contact a party represented by counsel? |
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May
a District Attorney's office contact a parent
regarding child support arrearages when this
parent may be represented by counsel in an
unrelated criminal action being prosecuted
by this same office? May such contact be made
once the criminal case is concluded? |
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In
view of Bates and Jacoby, can a legal clinic
list the names of its members in advertisements? |
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May
an attorney pursue aspects of litigation which
his client opposes and may attorney initiate
conservatorship proceedings for his own client? |
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Is
an attorney-client relationship established
when an attorney briefly consults with an individual
and learns no secrets or confidences of the
client? |
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May
members of the Bar Committee overseeing a lawyer
referral service receive referrals from this
service? May their associates receive such
referrals? |
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In
light of Bates, what attorney advertising is
permissible? |
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What
are a client's rights to his case file when
his attorney has been discharged and the legal
fees have not been paid? |
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May
a private attorney accept an unsolicited gratuity
offered by a client whom the attorney had represented
while working for a legal services program? |
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May
an attorney serve as both City Attorney and
Coastal Commissioner? Is it necessary for the
attorney to abstain from commission votes which
affect the city? |
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May
a County Counsel represent one group of county
officials against another group of county officials?
(Revised - Same question presented) |
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Is
direct contact with an adverse party (for collection
purposes only) permissible if the adverse party
had been represented by counsel at trial? |
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Is
a law firm entitled to any of the (hourly)
fee generated by an attorney who has since
left the law firm? |
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May
an attorney who is married to (and law partner
of) a City Council member defend parties prosecuted
by the City Attorney? |
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Does
a nonprofit senior citizens center qualify
as a group legal services organization? May
it advertise? |
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May
an attorney defend a partner who had been sued
by the attorney's former client over the same
issue? If this defense is successful, will
it have an adverse effect on another one of
the attorney's clients? |
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May
a nonprofit legal services center advertise
the availability of paralegal help for its
clients? |
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May
an attorney charge interest on unpaid attorney's
fees? |
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What
are the permissible activities of a free legal
services program regarding: advertising, acceptance
of a "fee generating" case referrals
to outside counsel? |
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May
an attorney make an arrangment with an insurance
broker whereby broker pays the attorney a retainer
fee and broker refers clients to attorney?
(A) May an attorney, retained by parent company,
provide legal services to a subsidiary of the
parent? What results if the parent and subsidiary
are owned by one shareholder? |
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When
client owes attorney a debt, may attorney satisfy
this debt by withdrawing unrelated monies held
by attorney in client's trust account? |
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May
an attorney quote a fee schedule to an association
to whom he provides group legal services? |
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May
an attorney directly or indirectly solicit
employment from individuals who have an interest
in litigation similar to his client's interest?
May an attorney accept employment of parties
referred to him by his client? |
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May
an attorney write a bi-weekly column for a
local newspaper generally discussing legal
topics if attorney's bi-line includes "Attorney" designation? |
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May
an attorney participate in a group legal services
program where all participants pay a fee and
receive discounts on legal services and other
goods and services as well? |
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May
a law firm represent both Dr. A (in a suit
prosecuted by attorney B) and attorney B in
an unrelated matter? |
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May
a corporate house counsel render legal advice
to corporate employees concerning personal
legal problems, or to parties who are co-defendants
with the corporation? |
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May
an attorney assist in the development of a
consumer protection entity which would: 1)
act as a referral agency to local attorneys;
and 2) advance cost of litigation for clients
in appropriate cases? |
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May
a California attorney list the address of a
Tijuana branch office on his letterhead? |
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Is
it proper to have a sign (in front of a building
wherein a number of unassociated attorneys
practice) which lists attorneys' names together
as if they were associated with one another? |
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May
a church publish the fact that a local attorney
is available to draft wills? |
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May
a private non-legal business concern, as part
of a "package" of products and services
it provides, offer to provide legal services
to customers at reduced rates? |
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May
an attorney leaving a law firm send announcements
to clients of the former law firm? |
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May
ethical complaint against an individual attorney
include attorney's firm in the complaint? |
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May
an out-of-town law firm share a local telephone
directory listing with a local firm? |
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May
Bar Association advertise seeking attorneys
interested in being included on County Counsel
attorney referral list? |
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May
attorney's business card include a symbol? |
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May
prepaid group legal services plan include attorneys'
individual names in advertisements? |
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May
an attorney advertise for tax and bookkeeping
help for his law office if ad states he has
many clients who need this service? |
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What
constitutes an unconscionable or unreasonable
fee? |
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May
attorneys allow a local newspaper to do a "human
interest" story on them? |
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May
an attorney operate a separate business as
a tax preparer and advertise this fact? |
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May
an attorney who had been employed by a law
firm representing wife, now represent husband
after leaving the firm? |
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What
is the permissible size, location and content
of a law firm's sign; what is the propriety
of sharing office space with non-lawyers; and
what is the propriety of an "Of Counsel" designation
on a law firm's sign? |
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May
an attorney represent clients who have or may
have claims against the city while at the same
time representing the city in an unrelated
matter? |
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May
attorney provide free legal services to clients
referred by a local bank? |
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May
a seminar announcement list a participating
attorney's qualifications? May attorney use
his firm's letterhead when distributing class-related
information? |
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May
a corporation pay some or all of its customers'/employees'
legal fees? May a law firm discount services
to clients referred by this corporation when
this corporation pays a monthly retainer fee
to firm? |
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May
an attorney offer to donate his legal services
to a nonprofit organization which would auction
these services in order to raise money for
charitable purposes? |
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May
an attorney combine his two careers as insurance
broker and lawyer? |
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May
an attorney form a partnership with a CPA and
may each draw a salary and percentage of the
profits? May a CPA be employed on a salaried
basis by an attorney? |
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May
attorneys participate in lecture or seminar
series at local college? May these seminars
be advertised? |
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May
an attorney represent a former client in a
criminal case where the complaining witness
in this case is another former client? |
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May
an attorney represent one former client against
another former client? |
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May
an attorney represent a corporation against
a party when the attorney had originally been
retained by the party and another person solely
for the purpose of forming the corporation? |
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May
a law firm represent a creditor against the
firm's former client? |
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May
a law firm have itself listed in a classified
directory issued by the Chamber of Commerce?
Is it proper for the firm to pay for this listing? |
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May
an attorney use the designation "J.D." or "Doctor" on
business cards? |
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In
a legal clinic setting, what is proper regarding
solicitation, screening and donation policies? |
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May
a prosecutor express to a local newspaper his
personal opinion regarding the sentencing of
a convict? |
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May
an attorney (on a retainer fee basis) perform
group legal services for members of a credit
union? |
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May
an attorney participate in a credit card plan
as a means of enabling clients to pay fees? |
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May
a certified law clerk use a business card identifying
himself as such? |
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May
an attorney write legal editorials for a local
newspaper so long as this attorney does not
identify himself as an attorney? |
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Must
attorney obtain his client's consent before
arranging for another attorney to make a limited
court appearance for client? |
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May
law students comment in writing on Environmental
Impact Reports and make appearances before
the city and county in order to provide "input" on
these reports? |
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Is
sponsoring a coffee-hour for people who may
become clients a form of indirect solicitation? |
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May
a non-lawyer prepare inheritance tax forms
for the general public? |
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Must
a Lawyer Referral Panel inform callers that
the fee these callers pay is split between
the service and the attorney? Should referral
service's cut of this fee be only proportionate
to work done? |
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May
an attorney have a listing in the Yellow Pages
of a Naval Air Station telephone directory? |
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May
a law student present oral and written materials
to a State Commission? |
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May
union officials who have a close working relationship
with an attorney pass out attorney's business
cards for the purpose of referring clients
to this attorney? |
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May
an attorney be retained by a union in order
to handle its members' legal problems (this
attorney plans to charge no more than the minimum
Bar Fee Schedule)? |
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May
an attorney be listed in a "City Directory" which
lists businesses geographically? |
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May
a college (which trains legal secretaries and
medical assistants) use the name and picture
of an attorney/faculty member as part of its
advertising? |
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May
an attorney/author (who is publishing a book)
include information other than his name in:
1) the biography that will appear on the book
jacket, and 2) the marketing brochure to promote
the book? |
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May
an attorney refuse to proceed with a case until
he is paid? |
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May
a law firm donate merchandise to a nonprofit
organization which will sell this merchandise
to raise money? |
| |
What
is the permissible size and content of any
attorney's sign? |
| |
May
an attorney accept employment from a client
when it is unclear whether this client's former
attorney has been discharged? |
| |
May
an attorney's name appear on the letterhead
of a civic organization which the attorney
represents? |
| |
May
attorneys who share office space represent
adverse parties? |
| |
What
is the propriety of a sign advertising an attorney's
office? |
| |
May
credit cards be used as a means of paying legal
fees? |
| |
Is
it undignified to include a drawing of a hand
on an attorney's business cards and stationery? |
| |
May
a client use credit cards pay for legal fees? |
| |
May
an attorney place his/her business cards in
a public place? |
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May
educational degrees be included in announcements? |
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May
an attorney rent office space to a lay person?
May the lay person's name appear on the law
office door? |
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