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Calendars
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Formal Ethics Opinion Subject Index
Subject Index
Numbers refer to opinions
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Acquisition of ownership interest in client ... 109,110
Advancement of client’s living expenses by lawyer, personal injury cases ... 34
Adverse party, communications with ... 69, 93
Advertising
credit card acceptance ... 99
direct mail ... 83
endorsements and testimonials ... 83
guidelines ... 76, 83
history of ethics rules concerning ... 76
insurance company employment ... 11
internet-based ... 122
limitation or concentration of area of practice ... 76
misleading ... 76
networking organizations ... 106
newsletters by lawyers ... 74
online listing directory ... 122
publicity ... 83
reference to experience ... 76
referral services ... 83, 106, 122
relationship with financial institution ... 24
relationship with other law firm ... 106
signs or shingles ... 83
solicitation ... 83
specialty designation ... 76, 83
statements to media concerning litigation ... 31
telephone directory listing ... 83
use of letterhead in correspondence ... 81
See also Announcement cards
Advocate, conflict with accountancy services ... 98
Alternative Dispute Resolution ... 115
Announcement cards
guidelines ... 83
specialty designation ... 83
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Appeal, obligation to pursue ... 114
Appearance of impropriety ... 88, 89
Articles, writing ... 83
Assistants and employees who are not licensed lawyers ... 61, 84
Associates
confidentiality wall ... 88
definition ... 50
distinguished from partners ... 50
letterhead ... 8, 9
name of firm ... 8, 9, 89
office space renting ... 9, 50
office space sharing ... 8, 50, 89
use of term ... 8, 9, 50, 89
Attorney-client privilege
adverse party’s employee ... 69, 93
billing statements ... 107
lawyer practicing other profession from law office ... 98
waiver by inadvertent disclosure ... 108
Attorney-client relationship
employment of attorney by intermediary ... 11, 17, 23, 87
ownership interest in client ... 109, 110
pro bono ... 117
temporary lawyers ... 105, 121
termination by client ... 40, 104
withdrawal by attorney ... 59
Attorney fees ... see Fees
Attorney’s lien ... 82, 110
Audit of legal bills ... 107
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Billing guidelines for insurance defense attorneys ... 107
Billing judgment rule ... 109
Bribery of witness ... 103
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Broker, real estate, attorney as ... 98
Business cards, for non-lawyer employees ... 84
Business transactions with client ... 98, 109
Business ventures of lawyer ... see Dual professions
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Campaign activities ... 33
Campaign fund contributions ... 33
Candor, of attorney departing from firm ... 116
Cellular telephones, client confidentiality ... 90
Charging lien ... 110
Child support, contingent fees for collecting ... 67
City council member, attorney as ... 14
Civil claim, release in exchange for dismissal of criminal charges ... 62
Client
consent and third-party auditors ... 107
loyalty to ... 43, 91
organization as ... 120
ownership interest in ... 109, 110
prospective ... 117
relationship with ... see Attorney-client relationship
right to select own counsel ... 40, 104, 116
uncooperative ... 114
under disability ... 115
Client-investment portfolios ... 109
Client’s funds, missing client ... 95
Client’s papers
attorney’s retaining lien ... 82
surrender of upon terminating representation ... 104, 116
Client’s property held by lawyer
attorney’s charging lien or security interest ... 110
surrender of upon terminating representation ... 104, 116
third-party interest ... 94
Collaborative law ... 115
Collection agency
assignment of claim for attorney fees ... 20
use of name or signature on summons ... 25
Colorado Legal Services ... 117
COLTAF accounts ... 95
Communications
with adverse party or party’s employee ... 69
with authorized constituents of organization-client ... 120
with government officials ... 93
with insurance adjuster or company ... 73
intercepting ... 90
with jurors after verdict ... 70
newsletter ... 74
with person represented by lawyer ... 73, 111
with potential witnesses ... 65
with represented persons during criminal/regulatory investigations ... 96
revealing client’s confidences ... 60, 108
for second opinion ... 111
statements concerning pending litigation ... 31
surreptitious recording of ... 112
with treating physicians ... 71
Compensation of non-expert witness in civil action ... 103
Competency in area of law ... 76, 106, 111
Complaint against attorney, grievance ... 56, 85
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Confidential information
inadvertent disclosure of ... 108, 119
metadata and ... 119
misleading witness into disclosing ...102
modern communications technology ... 90, 108
office sharing ... 89
pro bono cases ... 117
referral services ... 106
surreptitious recording ... 112
third-party audits of bills ... 107
Confidentiality walls ... 88
Conflict of interest
attorney as witness ... 57
city councilman handling municipal cases ... 14
collaborative or cooperative law ... 115
confidentiality walls 88, 97
dual occupations ... 98
elected official representing clients in same jurisdiction ... 14
errors by attorney ... 113
financial interest in case ... 57
former government lawyer handling case against former employer ... 57
insurance company attorney representing insured in damages settlement ... 23
insurer and insured ... 107
lawyer as part-time judge ... 45
multiple clients ... 57, 58, 68
municipal attorney representing defendant ... 46
office sharing ... 89
ownership interest in clients ... 109
person represented by lawyer ... 111
pro bono case ... 117
referral service ... 106
representing both parties in divorce ... 47, 68
representing buyer and seller ... 17, 68
representing governmental body ... 48
representing lender and borrower ... 29
representing partnership in drafting partnership agreement ... 68
second opinion ... 111
service on board of public entity ... 97
suit against former client ... 57
temporary lawyer ... 105
title opinion by lender’s lawyer ... 12
“wall” around partner or associate ... 88, 97
water rights case ... 58
witness and advocate ... 57
Contingent fee
cases other than personal injury ... 100
for collecting child support or spousal maintenance ... 67
conversion clause in fee agreement ... 100
conversion to alternate fee upon termination of case ... 100
medical-legal consulting firm ... 77
Contraband ... 60
Cordless telephones, client confidentiality ... 90
Corporation, as member of law firm ... 55
Credit cards, payment for legal services ... 99
Criminal case
discovery ... 65
evidence seen or possessed by lawyer ... 60
incriminating physical evidence ... 60
pre-trial interview of potential witness ... 65, 102
recording of conversations and statements ... 112
release of civil claim in exchange for dismissal by prosecutor ... 62
representing more than one defendant ... 57
Criminal charges
dismissal in exchange for release of civil claim ... 62
threatening in civil case ... 56
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Delegation of work to non-lawyer assistants ... 61
Delinquent account for attorney fees, interest or finance fee ... 66
Dependency and neglect cases ... 114
Direct mail advertising ... 83
Disability, client under ... 115
Discharge of attorney by client ... 40
Disclosure
of billing statements to insurers or auditors ... 107
of confidential documents ... 108
of errors of attorney ... 113
of errors in real estate closing ... 80
of metadata ... 119
of outsourced legal services ...121
Disqualification
of advocate/witness ... 78
imputed or vicarious ... 78, 88
Dissolution of law firm ... 116
Dissolution of marriage ... see Divorce
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Divorce, representing both parties ... 47, 68
Documents
electronic ... 119
inadvertent disclosure of ... 108
returning to client after terminating representation ... 104, 116
Domestic lawyers ... 121
Dual professions ... 98
broker ... 26, 98
city council member ... 14
employed by municipality ... 46
employed part-time as judge ... 45
financial institution ... 24
insurance ... 11
judges ... 45
part-time judge ... 45
public office ... 28
real estate broker/agent ... 98
title insurance agent ... 98
traffic offenses disposition clinic ... 63
Dual representation ... see Conflict of interest, Multiple clients, Representation
Duty to disclose mistakes ... 80, 113
Duty to disclose potential conflicts of interest ... 109
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Election campaign
by judge ... 33
by lawyer ... 33
contributions ... 33
endorsements ... 33
Electronic documents ... 119
Employees who are not lawyers ... 61, 84
Employment of attorney
by another business or agency ... see Dual professions
by client previously represented by another attorney ... 40
by lay (non-law) agency ... 12, 17, 23, 29
by lender, recovery of attorney’s fees in foreclosure ... 72
changing firms, use of confidentiality wall ... 88
prepaid legal services ... 81
solicitation of employment ... see Solicitation of clients
temporary attorney ... 105
Endorsements and testimonials in advertising ... 83
Equality interest in clients ... 109
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Errors, duty to disclose ... 80, 113
Estate
planning services, collaboration with non-lawyer ... 87
sale of assets ... 26
Ethical violations, lawyer’s duty to report ... 64
Evidence, incriminating, observed or possessed by lawyer ... 60
Ex parte communications during criminal/regulatory investigations ... 96
Ex parte communications with represented person ... 111
Ex parte contacts with government officials ... 93
Ex parte interview of plaintiff’s treating physician ... 71
Executor of estate ... see Estate, Personal representative
Expert witnesses, payment of fees ... 103
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Facsimile machines, client confidentiality ... 90, 108
Feeder operations
estate planning services ... 87
living trust marketing packages ... 87
real estate closing company ... 17
second occupation of lawyer ... 98
Fees
advance ... 109
agreement ... 66, 104
assignment of claim to collection agency ... 20
attorney’s lien ... 82, 110
auditors of bills ... 107
billing guidelines ... 107
collection ... 20, 82, 110
contingent
cases other than personal injury ... 100
child support or spousal maintenance ...
conversion clauses ... 100
medical-legal consulting firm ... 77
credit card acceptance ... 99
disclosure of billing statements ... 107
disputes ... 118
division of ... 38, 106, 121
division with non-lawyers ... 12, 54, 63, 87
dual practice ... 98
estate planning in collaboration with non-lawyer ... 87
finance charges ... 66
foreclosure proceeding ... 54
interest on delinquent accounts ... 66
lawsuit to collect ... 20
malpractice claim settlement ... 85
ownership interest in lieu of ... 109, 110
past-due accounts ... 66
payment to witness ... 103
of previous lawyer ... 40
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Fees, cont...
reasonable ... 106, 121
recovery in foreclosure when lender’s in-house counsel is used ... 72
referral ... 38, 106
retainer from non-lawyer employer ... 63
security interest in client property ... 110
splitting with client in foreclosure ... 54
splitting with non-lawyer ... 87, 105
suit to collect ... 20
temporary lawyer ... 105
third-party auditors of bills ... 106
Files of clients
attorney’s retaining lien on ... 82
returning to client after terminating representation ... 104, 116
Financial interest in transaction, conflict of interest ... 57
Firm ... see Law firm
For-profit lawyer referral services ... 106
Foreclosure, attorney fees for ... 54, 72
Foreign lawyers ... 121
Four-Way Agreement ... 115
Fraud upon the tribunal ... 60
Funds of client held by lawyer, third-party interest ... 94
Funds of missing clients ... 95
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Government official or employee
ex parte contacts with ... 93
suit against former employer after leaving government service ... 57
Grievance complaint, withdrawal as condition of settlement of malpractice suit ... 56, 85
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Grievance mediation ... 56, 85
Group advertising ... 83
Guardian of minor, representation by insurer’s attorney ... 23
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Harassing jurors ... 70
Husband and wife
divorcing, same attorney representing both ... 47, 68
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Impartiality of judiciary, relationships with attorneys ... 13
In-house counsel, recovery of attorney fees ... 72
In-person solicitation ... 83
Inadvertent disclosure of confidential information ... 108, 119
Independent judgment
and investing in client ... 109
and referral services ... 107
and third-party audits of bills ... 107
Influence
of the court ... 13, 14, 46
of governmental body ... 48, 97
Informed consent, disclosure of billing statements ... 107
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Insurance
audits of defense attorneys’ bills ... 107
plaintiff’s lawyer communicating with defendant’s insurance company ... 73
representation of insured ... 43, 91, 107
Intake process for pro bono clients ... 117
Interest charged on delinquent fees ... 66
Inter-firm referrals ... 106
Intermediaries between lawyer and client ... 12, 17, 23, 29
Internet-based marketing ... 122
Intimidating witnesses ... 103
Investigation of jurors ... 70
Investment in clients ... 109
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Judges
dual professions ... 45
election campaigns ... 33
lawyers employed part-time as ... 45
office sharing with attorney ... 13
relationship with attorney ... 13, 14
Juror communications, after verdict ... 70
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Law firm
attorney’s departure from ... 116
confidentiality wall around partner or associate ... 88, 97
dissolution of ... 116
inter-firm referrals ... 106
name ... see Name of firm
network of ... 106
supervision of temporary attorney ... 105
Lawsuits ... see Litigation
Legal aid for the poor ... 59
Legal assistants
business cards or letterhead ... 84
representing clients ... 79
Legal clinic, use of term ... 83
Legal service organizations ... 106, 107
Legal services, unbundled ... 101
Legal Services Corporation, termination ... 59
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Legal services programs, reduction or termination of funding ... 59
Letterhead
“associates” ... 8, 9
non-lawyer employees listed ... 84
office sharing ... 89
Lien, attorney’s ... 82, 110
Limited legal services ... 101
Litigation
against client for recovery of fees ... 20
against former clients ... 57
avoidance by collaborative or cooperative law ... 115
by former government lawyer against former employer ... 57
lawyer advancing funds to client ... 34
representing more than one client ... 57
statements to press concerning ... 31
to collect attorney fees ... 20
Living trust packages ... 87
Low-income persons’ legal aid ... 59
Loyalty to client ... 43, 60, 88, 91
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Malpractice suit
grievance complaint in connection with ... 56
settlement and release ... 85
Marketing, internet-based ...122
Media, statements concerning complaint or trial ... 31, 83
Mediation ... 56, 85
Medical-legal consulting firms charging contingent fees ... 77
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Merger of partnership and professional corporation ... 55
Metadata ... 119
Missing client funds ... 95
Mistakes, duty to disclose ... 80, 113
Modern communications technology, preserving confidences of client ... 90
Multiple clients
conflict of interest ... 57, 68
water rights in same river system ... 58
Municipal attorney, defense of client in municipal court ... 46
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Name of firm
advertising guidelines ... 83, 89
"associates" ... 8, 9, 50, 89
legal clinic ... 83
member holding public office ... 28
office space renting ... 9, 50, 89
office space sharing ... 8, 50, 89
Negligence, professional (malpractice) ...56, 85
Networking organizations ... 106
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Newsletters by lawyers ... 74
Newspaper
advertising ... 76
statements concerning pending litigation ... 31
Non-lawyer employees, business cards ... 84
Not-for-profit lawyer referral services ... 106
Note suit, recovery of attorney fees for lender's in-house counsel ... 72
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Occupation in addition to lawyer ... see Dual professions
Office location, in premises of client ... 24
Office space
"associates"... 8, 9, 50
judge and lawyer in same suite .. 13
lawyer conducting second occupation from law office ... 98
renting ... 9, 89
sharing ... 8, 89
sharing by judge and attorney ... 13
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Online listing directory ... 122
Opposing counsel contacting witness ... 65, 102
Organization as client ... 120
Outsourcing ... 121
Ownership interest in client, acquiring ... 109, 110
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Parent and child, dependency and neglect case ... 114
Partner
confidentiality wal l... 88, 97
distinguished from associate ... 50
as witness in lawsuit ... 57, 78
Partnership
agreement drafting ... 68
announcement card ... see Announcement cards
with non-lawyer ... 87
professional corporation as member ... 55
representation for agreement drafting ... 68
Payment
for legal services with credit cards ... 99
to witness ... 103
Pecuniary interest in case ... 34, 57
Personal influence on the court, appearance of ... 13, 14
Personal injury cases
advancement of client's living expenses by lawyer ... 34
ex parte communications with plaintiff's physician ... 71
medical-legal consulting firms charging contingent fees ... 77
Physician-patient privilege ... 71
Placement agencies for temporary attorneys ... 105
Practice of law
dual professions ... 11, 98
restrictions in settlement agreements ... 92
unauthorized ... see Unauthorized practice of law
while holding public office ... 28
Pre-trial interview of witness ... 65, 102
Pre-trial publicity ... 31, 83
Prepaid legal service plans ... 106
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Prepaid legal services ... 81
Press conferences or releases concerning litigation ... 31, 83
Privilege
attorney-client ... 60, 69
attorney-work product ... 104
physician-patient ... 71
psychologist-client ... 71
Privileged information
billing statements ... 107
inadvertent disclosure of ... 108
misleading witness into disclosing ... 102
work-product ... 107
Pro bono programs ... 117
Pro se litigants ... 101
Professional corporation, as partner in law firm ... 55
Property of client held by lawyer, third-party interest ... 94
Prosecutor
pre-trial interview of witness ... 65
public, duties ... 62
relationship with judge ... 13
release-dismissal agreements ... 62
Psychologist-client privilege ... 71
Public office, practicing law ... 28, see also Conflict of interest
Public prosecutor
duties ... 62
Publications ... see Advertising, Articles, Newspaper
Publicity ... 31, 83
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Real property
attorney as broker ... 98
document preparation ... 17
duty to disclose mistakes in closing ... 80
representation of buyer and seller ... 17, 68
sale by attorney as executor of estate ... 26
security interest in client property ... 110
title insurance, lawyer's role ... 38, 98
Recording conversations or statements ... 112
Referral fees ... 38, 76, 106
Referral services
advertising ... 83, 106, 122
definition and scope ... 106
Referrals
improper ... 29, 38, 63, 106
inter-firm ... 106
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Release and settlement of malpractice claim ... 85
Release-dismissal agreements by public prosecutor ... 62
Reporting ethical violations ... 64
Representation
both parties in divorce ... 47
lender and borrower ... 29
limited ... 101
multiple clients ... 57
of organization ... 120
pro bono ... 117
use of legal assistants ... 79
See also Attorney-client relationship; Conflict of interest
Restriction of lawyer's right to practice in settlement agreements ... 92
Retaining lien ... 82
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Second opinion ... 111
Security interest in client's property ... 110
Services
unbundled ... 101
second opinions ... 111
Settlement
agreements restricting lawyer's right to practice ... 92
reached in mediation ... 56, 85
and release, malpractice suit ... 85
through collaborative or cooperative law ... 115
Signature, on summons prepared by client or collection agency ... 25
Signs or shingles ... 83, 89
Solicitation of clients
by sending newsletters ... 74
guidelines ... 83
relationship with financial institution ... 24
See also Advertising; Feeder operations
Solicitation of votes ... 33
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Specialty designation, advertising guidelines ... 83
Spousal maintenance, contingent fees for collecting ... 67
Spouses
divorcing, representation of husband and wife ... 47, 68
Stationery ... see Letterhead
Stock, in client corporation ... 109
Subpoenas
in criminal proceedings ... 102
Summons, name or signature ... 25
Superseding lawyer ... 40
Supreme Court Disciplinary Counsel, reporting ethical violations to ... 64
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Talk shows ... 83
Tampering with witnesses ... 103
Telephone
directory listing ... 83
intercepting conversations ... 90
Temporary lawyers ... 105, 121
Termination of attorney-client relationship ... 40, 59, 100
collaborative or cooperative law ... 115
dissolution of law firm or departure of attorney ... 116
surrender of client's papers ... 104, 116
Testimonials and endorsements in advertising ... 83
Testimony
of lawyer/partner ... 57, 78
payment of fees to witness ... 103
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Third-party audit of legal bills ... 107
Third-party interest in client's property held by lawyer ... 94
Title insurance
lawyer as agent ... 98
referral fee in connection with ... 38
Title opinion by lender's lawyer... 12
Trade name ... 50, 83
Traffic clinic for disposition of traffic offenses, lawyer employed by ... 63
Transactions with clients ... 109
Trust account ... 95, 118
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Unauthorized practice of law
aiding ... 11, 17, 25, 63, 79
by insurance company ... 11
collection agency or client-prepared summons ... 25
estate planning ... 87
legal assistants ... 61, 79
and outsourcing ... 121
real estate sale service company ... 17
traffic clinic ... 63
Unbundled legal services ... 101
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Value of equity interest as fees ... 109
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Wall of confidentiality around partner or associate to avoid disqualification ... 88, 97
Water rights litigation, representation of multiple clients ... 58
Withdrawal from representation
when firm disbands or attorney departs ... 116
when funding is terminated ... 59
Witness
compensation of non-expert witness in civil action ... 103
intimidation of ... 103
lawyer/partner as ... 57, 78
misleading a non-party witness by use of subpoena ... 102
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Witness, cont
opposing counsel contacting ... 65, 102
payment to ... 103
potential ... 65
pre-trial interview ... 65
subpoena in criminal proceeding ... 102
Witness fees ... 103
Work product, retention by attorney after representation ... 104
Writing articles for publication ... 83
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