Formal Ethics Opinions Subject Index

Accountant, lawyer as, 1EG, 41

Advancement of client's living expenses by lawyer, personal injury cases, 34

Adverse party, communications with, 69, 93

Advertising, 2, 4, 5; see also Announcement cards

accountancy services, 41
announcements regarding availability as consultant, 51
campaign for non-judicial office, 32
collection agency, 7
credit card acceptance, 99
direct mail, 83
endorsements and testimonials, 83
guidelines, 76, 83
history of ethics rules concerning, 76
insurance company employment, 11
limitation or concentration of area of practice, 76
misleading, 76
newsletters by lawyers, 74
newspaper, publication of professional cards, 10
notifying clients about new laws, 42
publicity, 83
reference to experience, 51, 76
reference to former government service, 37
reference to law school or honors, 51
referral services, 83
relationship with financial institution, 24
signs or shingles, 35, 83, 89
solicitation, 83
specialty designation, 4, 5, 51, 76, 83
statements to media concerning litigation, 31
telephone directory listing, 15, 83
use of letterhead in correspondence, 30

Advocate, conflict with accountancy services, 41

Announcement cards

availability to act as consultant, 51
dissolution of firm, 49
expertise designation, 4, 5, 51, 83
guidelines, 49, 51, 83
new associations, 49
office location, 49
partnership, 6, 49
reference to former government service, 37
reference to prior experience, 51
specialty designation, 4, 5, 51, 83
withdrawal from firm, 49

Acquiring An Ownership Interst In A Client,109

Appearance of impropriety, 88, 89

Articles, writing, 3, 83

Assistants and employees who are not licensed lawyers, 61, 84

Associates

announcement cards, 49
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
use of term, 8, 9, 50, 89

Attorney-client privilege, 60

adverse party's employee, 69, 93
lawyer practicing other profession from law office, 98

Attorney-client relationship

employment of attorney by intermediary, 11, 17, 23, 87
termination by client, 40
withdrawal by attorney, 59

Attorney's fees. See Fees

Attorney's lien, 82

Broker, real estate, attorney as, 39, 98

Business cards

dual professions, 1EG
for non-lawyer employees, 84
publication in newspaper, 10
specialty, 2EG, 83

Business transactions with client, 98

Business ventures of lawyer. See Dual professions

Campaign activities, 32, 33

Campaign fund contributions, 33

Candidates for non-judicial office, activities, 32, 33

Cellular telephones, client confidentiality, 90

Child support, contingent fees for collecting, 67

City council member, attorney as, 14, 18

Civil claim, release in exchange for dismissal of criminal charges, 62

Civil proceedings, use of subpoenas, 86

Client

loyalty to, 43, 91
relationship with. See Attorney-client relationship
right to select own counsel, 40

Client's funds, missing client, 95

Client's papers, attorney's retaining lien, 82

Client Property

Client's property held by lawyer, third party interest, 94
Assertion of Attorney's Charging Lien and Taking Security Interest in Client Property to Protect Fees, 110

Collection agency

assignment of claim for attorney's fees, 20
attorney in same office space, 7
use of name or signature on summons, 25

COLTAF accounts, 95

Communications

intercepting, 90
newsletter, 74
recording, 22
revealing client's confidences, 60
statements concerning pending litigation, 31
to potential witnesses, 65
with adverse party or party's employee, 69
with government officials, 93
with insurance adjuster or company, 73
with jurors after verdict, 70
with person represented by lawyer, 73
with represented persons during criminal investigations, 96
with treating physicians, 71

Compensation for interest of deceased or withdrawing partner, 53

Competency in area of law, 76

Complaint against attorney, grievance, 56, 85

Confidences or secrets of client, 60, 75

modern communications technology, 90
office sharing, 89

Confidentiality walls, 88, 97

Conflict of interest

attorney as witness, 57
city councilman handling municipal cases, 14
confidentiality walls, 88, 97
dual occupations, 98
elected official representing clients in same jurisdiction, 14
financial interest in case, 57
former government lawyer, case against former employer, 57
insurance lawyer representing insured in settlement, 23
lawyer as part-time judge, 45
multiple clients, 57, 58, 68
municipal attorney representing defendant, 46
office sharing, 89
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
service on board of public entity, 97
suit against former client, 57
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

Conversations, 112

Conversion of contingent fee to another fee calculation upon termination of case, 100

Cordless telephones, client confidentiality, 90

Corporation, as member of law firm, 55

Court-appointed attorney, fees, 16

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
release of civil claim in exchange for dismissal, 62
representing more than one defendant, 57

Criminal charges

dismissal in exchange for release of civil claim, 62
threatening in civil case, 56

Death, sale of deceased lawyer's practice, 53

Delegation of work to non-lawyer assistants, 61

Delinquent account for attorney's fees, interest/finance fee, 66

Direct mail advertising, 83

Discharge of attorney by client, 40

Disqualification

of advocate/witness, 78
imputed or vicarious, 78, 88

Dissolution of marriage, 47, 68

Divorce, representing both parties, 47, 68

Dual compensation, estate proceedings, 21

Dual professions, 98

accountant, 1EG, 41
article writing, 3
broker, 26, 39, 98
city council member, 14, 18
collection agency, 7
CPA, 41
employed by municipality, 46
employed part-time as judge, 45
financial institution, 24
insurance, 11
judges, 1, 2, 45
part-time judge, 45
public office, 28
real estate broker/agent, 26, 39, 98
title insurance agent, 98
traffic offenses disposition clinic, 63

Dual representation. See Conflict of interest; Multiple clients; Representation

Duty to disclose mistakes in real estate closing, 80

Election campaign

by judge, 33
by lawyer, 32, 33
contributions, 33
endorsements, 32, 33

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

Endorsements and testimonials in advertising, 83

Errors in real estate closing, duty to disclose, 80

Estate

attorney for and fiduciary in same firm, 21
deceased attorney's practice, 53
fees based on size of estate, 16
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 contacts with government officials, 93

Ex parte interview of plaintiff's treating physician, 71

Executor of estate, 21

Expert, announcement card, 4, 5, 51, 83

Facsimile machines, client confidentiality, 90

Feeder operations

accountancy, 41
collection agency, 7
estate planning services, 87
living trust marketing packages, 87
real estate brokerage, 39
real estate closing company, 17
second occupation of lawyer, 98
title insurance agency, 36

Fees

agreement, 66
assignment of claim to collection agency, 20
attorney's lien, 82
based on size of estate, 16
charging less than customary, 19
collection, 20, 82
contingent
cases other than personal injury, 100
child support or spousal maintenance, 67
conversion clauses, 100
medical-legal consulting firm, 77
court-appointed attorney, 16
credit card acceptance, 99
division of, 38, 53
division with non-lawyers, 12, 54, 63, 87
estate planning in collaboration with non-lawyer, 87
estate proceedings, 16, 21
finance charges, 66
foreclosure proceeding, 54, 72
guardian ad litem, 16
interest on delinquent accounts, 66
lawsuit to collect, 20
malpractice claim settlement, 85
past-due accounts, 66
payment for client files of retiring lawyer, 53
payment to witness, 44

of previous lawyer, 40, 53
recommended by Bar Association, 19
recovery in foreclosure for lender's in-house counsel, 72
referrals, 38
retainer from non-lawyer employer, 63
sale of legal practice, 53
splitting with client in foreclosure, 54
splitting with non-lawyer, 87
suit to collect, 20

Fiduciary, fees for acting as and for representing estate, 21

Files of clients

attorney's retaining lien on, 82
transfer to successor lawyer, 53

Financial interest in transaction, conflict of interest, 57

Firm. See Law firm

Foreclosure, attorney's fees for, 54, 72

Fraud upon the tribunal, 60

Funds of client held by lawyer, third party interest, 94

Funds of missing clients, 95

Good will, sale of in connection with legal practice, 53

Government official or employee

announcement card upon resuming private practice, 37
ex parte contacts with, 93
spouse-lawyer representing adverse interest, 75
suit against former employer after government service, 57

Grievance complaint, withdrawal as condition of settlement of malpractice suit, 56, 85

Group advertising, 83

Guardian ad litem, fees, 16

Guardian of minor, representation by insurer's attorney, 23

Harassing jurors, 70

Husband and wife

divorcing, same attorney representing both, 47, 68
married lawyers representing differing interests, 52, 75

Impartiality of judiciary, relationships with attorneys, 13

In-house counsel, recovery of attorney's fees, 72

In-person solicitation, 83

Influence

of the court, 13, 14, 46
of governmental body, 48, 97

Insurance

plaintiff's lawyer communicating with defendant's insurance company, 73
representation of insured, 43, 91

Intangible assets of legal practice, sale of, 53

Interest charged on delinquent fees, 66

Intermediaries between lawyer and client, 12, 17, 23, 29

Investigation of jurors, 70

Judges

dual professions, 1, 2, 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

Law firm

confidentiality wall around partner or associate, 88, 97
married members in different firms representing differing interests, 52
name. See Name of firm
representation of estate and acting as fiduciary, 21

Law school, reference in announcement, 51

Lawsuits. See Litigation

Legal aid for the poor, 59

Legal assistants, 61

business cards or letterhead, 84
representing clients, 79

Legal clinic, use of term, 83

Legal Services Corporation, termination, 59

Legal services programs, reduction or termination of funding, 59

Letterhead

"associates," 8, 9
dual professions, 1EG, 2
nonlawyer employees listed, 84
office sharing, 89
solicitations for organization, 30
specialty, 2EG, 83
use in correspondence, 30
use in election campaign, 32

Litigation

against client for recovery of fees, 20
against former clients, 57
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's fees, 20

Living trust packages, 87

Low-income persons' legal aid, 59

Loyalty to client, 43, 60, 88, 91

Malpractice suit

grievance complaint in connection with, 56
settlement and release, 85

Married attorney couple representing differing interests, 52, 75

Media, statements concerning complaint or trial, 31, 83

Medical-legal consulting firms charging contingent fees, 77

Merger of partnership and professional corporation, 55

Minimum fee schedule, 19

Missing client's funds, 95

Mistakes in real estate closing, duty to disclose, 80

Modern communications technology, preserving confidences of client, 90

Multiple clients

conflict of interest, 57, 58, 68
water rights in same river system, 58

Municipal attorney, defense of client in municipal court, 46

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
sole practitioner's practice after death or retirement, 53

Negligence, professional (malpractice), 56, 85

New laws, notifying clients, 42

Newsletters by lawyers, 74

Newspaper

advertising, 10, 76, 83
statements concerning pending litigation, 31

Non-lawyer employees, business cards, 84