of Ethics Online Collection: None
THE CODE OF PROFESSIONAL RESPONSIBILITY of the American Bar Association was adopted by the Wisconsin Supreme Court as the standards of ethical conduct governing the practice of law in this state, effective January 1, 1970. In addition to the disciplinary rules published herewith, reference should be made to the Ethical Considerations which explain and supplement the disciplinary rules. These Ethical Considerations are published in full in Volume V of Martindale-Hubbell legal directory; Volume 43 Wisconsin Reports, 2nd series; Volume 29 Wisconsin Statutes Annotated, or may be obtained from the State Bar office or from the American Bar Association.
CODE OF PROFESSIONAL RESPONSIBILITY
DISCIPLINARY RULES
CANON 1
A Lawyer Should Assist in Maintaining the Integrity and
Competence of the Legal Profession
DR 1-101. Maintaining Integrity and Competence of the Legal
Profession
(A) A lawyer is subject to discipline if he has made a materially
false statement in, or if be has deliberately failed to disclose
a material fact requested in connection with, his application
for admission to the bar.
(B) A lawyer shall not further the application for admission to the bar of
another person known by him to be unqualified in respect to character, education,
or other relevant attribute.
DR 1-102. Misconduct
(A) A lawyer shall not:
(1) Violate a Disciplinary Rule, or the Attorneys Oath.
(2) Circumvent a Disciplinary Rule through actions of another.
(3) Engage in illegal conduct involving moral turpitude.
(4) Engage in conduct involving dishonesty, fraud, deceit, or misrepresentation.
DR 1-103. Disclosure of Information to Authorities
(A) A lawyer possessing unprivileged knowledge of a violation
of DR 1-102 shall report such knowledge to a tribunal or other
authority empowered to investigate or act upon such violation.
(B) A lawyer possessing unprivileged knowledge or evidence concerning another
lawyer or a judge shall reveal fully such knowledge or evidence upon proper
request of a tribunal or other authority empowered to investigate or act upon
the conduct of lawyers or judges.
CANON 2
A Lawyer Should Assist the Legal Profession in Fulfilling Its
Duty to Make Legal Counsel Available
DR 2-101. Publicity in General
(A) A lawyer shall not prepare, cause to be prepared, use,
or participate in the use of, any form of public communication
that contains professionally self-laudatory statements calculated
to attract Jay clients; as used herein, 11 public communication" includes,
but is not limited to, communication by means of television,
radio, motion picture, newspaper, magazine, or book.
(B) A lawyer shall not publicize himself, his partner, or associate as a lawyer
through newspaper or magazine advertisements, radio or television announcements,
display advertisements in city or telephone directories, or other means of
commercial publicity, nor shall be authorize or permit others to do so in his
behalf except as permitted under DR 2-103. This does not prohibit
limited and dignified identification of a lawyer as a lawyer as well as by
name:
(1) In political advertisements when his professional status is germane to
the political campaign or to a political issue.
(2) In public notices when the name and profession of a lawyer are
required or authorized by law or are reasonably pertinent for a purpose other
than the attraction of potential clients.
(3) In routine reports and announcements of a bona fide business,
civic, professional, or political organization in which be serves as a director
or officer.
(4) In and on legal documents prepared by him.
(5) In and on legal textbooks, treatises, and other legal publications, and
in dignified advertisements thereof.
(C) A lawyer shall not compensate or give any thing of value to representatives
of the press, radio, television, or other communication medium in anticipation
of or in return for professional publicity in a news item.
DR 2-102. Professional Notices, Letterheads, Offices, and
Law Lists
(A) A lawyer or law firm shall not use professional cards,
professional announcement cards, office signs, letterheads,
telephone directory listings, law lists, legal directory listings,
or similar professional notices or devices, except that the
following may be used if they are in dignified forms:
(1) A professional card of a lawyer identifying him by name and as a lawyer,
and giving his addresses, telephone numbers, the name of his law firm, and
any information permitted under DR 2-105. A professional card of a
law firm may also give the names of members and associates. Such cards may
be used for identification but may not be published in periodicals, magazines,
newspapers, or other media.
(2) A brief professional announcement card stating new or changed
associations or addresses, change of firm name, or similar matters pertaining
to the professional office of a lawyer or law firm, which may be mailed to
lawyers, clients, former clients, personal friends and relatives. It shall
not state biographical data except to the extent reasonably necessary to identify
the lawyer or to explain the change in his association, but it may state the
immediate past position tion of the lawyer. It may give the Dames and dates
of predecessor firms in a continuing line of succession. It shall not state
the nature of the practice except as permitted under DR 2-105.
(3) A sign on or near the door of the office and in the building directory
identifying the law office. The sign shall not state the nature of the practice,
except as permitted under DR 2-105.
(4) A letterhead of a lawyer identifying him by name and as a lawyer and giving
his addresses, telephone numbers, the name of his law firm, and any information
permitted under DR 2-105. The letterhead of a law firm may also give the names
of members and associates, and names and dates relating to deceased and retired
members. A lawyer may be designated "Of counsel" on a letterhead
if be has a continuing relationship with a lawyer or law firm, other than as
a partner or associate. A lawyer or law firm may be designated as "General
counsel" or by similar professional reference on stationery of a client
if be or the firm devotes all of his or its professional time in the representation
of that client or the stationery with such designated is of a specialized executive
type and is confined to use on legal matters of that client and only by the
lawyer who is so designated thereon.
(5) A listing of the office of a lawyer or law firm in the alphabetical and
classified sections of the telephone directory or directories for the geographical
area or areas in which the lawyer resides or maintains offices or in which
a significant part of his clientele resides and in the city directory of the
city in which his or the firm's office is located; but the listing may give
Only the name of the lawyer or law firm, the fact he is a lawyer, addresses,
and telephone numbers. The listing shall not be in distinctive form or type.
A law firm may have a listing in the firm name separate from that of its members
and associates. The listing in the classified section shall not be under a
heading or classification other than " Attorneys" or "Lawyers," except
that additional headings or classifications descriptive of the types of practice
referred to in DR 2-105 are permitted.
(6) A listing in a reputable law list or legal directory giving brief biographical
and other informative data. A law-list or directory is not reputable if its
management or contents are likely to be misleading or injurious to the public
or to the profession. A law list is conclusively established to be reputable
if it is certified by the American Bar Association as being in compliance with
its rules and standards. The published data may include only the following:
name, including name of law firm and names of professional associates; addresses
and telephone numbers; one or more fields of law in which the lawyer or law
firm concentrates; a statement that practice is limited to one or more fields
of law; a statement that the lawyer or law firm specializes in a particular
field of law or law practice but only if authorized under DR 2-105 (A) (1);
date and place of birth; date and place of admission to the bar of state and
federal courts; schools attended, with dates of graduation, degrees, and other
scholastic distinctions; public or quasi-public offices; military service;
posts of honor; legal authorships; legal teaching positions; memberships, offices,
committee assignments, and section memberships in bar associations; memberships
and offices in legal fraternities and legal .societies; technical and professional
associations and societies; foreign language ability; names and addresses of
references, and, with their consent, names of clients regularly represented.
(B) A lawyer in private practice shall not practice under a trade name, a name
that is misleading as to the identity of the lawyer or lawyers practicing under
such name, or a firm name containing names other than those of one or more
of the lawyers in the firm, except that the name of a professional corporation
or professional association may contain "P. C." or "P. A." or
similar symbols indicating the nature of the organization, and if otherwise
lawful a firm may use as, or continue to include in, its name, the name or
names of one or more deceased or retired members of the firm or of a predecessor
firm in a continuing line of succession. A lawyer who assumes a judicial, legislative,
or public executive or administrative post or office shall not permit his name
to remain in the name of a law firm or to be used in professional notices of
the firm during any significant period in which be is not actively and regularly
practicing law as a member of the firm, and during such period other members
of the firm shall not use his name in the firm name or in professional notices
of the firm.
(C) A lawyer shall not bold himself out as having a partnership with one or
more other lawyers unless they are in fact partners.
(D) A partnership shall not be formed or continued between or among lawyers
licensed in different jurisdictions unless all enumerations of the members
and associates of the firm on its letterhead and in other permissible listings
make clear the jurisdictional limitations on those members and associates of
the firm not licensed to practice in all listed jurisdictions; however, the
same firm name may be used in each jurisdiction.
(E) A lawyer who is engaged both in the practice of law and another profession
or business shall not so indicate on his letterhead, office sign, or professional
card, nor shall he identify himself as a lawyer in any publication in connection
with his other profession or business.
(F) Nothing contained herein shall prohibit a lawyer from using or permitting
the use, in connection with his name, of an earned degree or title derived
therefrom indicating his training in the law.
DR 2-103. Recommendation of Professional Employment
(A) A lawyer shall not recommend employment, as a private practitioner, of
himself, his partner, or associate to a non-lawyer who has not sought his advice
regarding employment of a lawyer.
(B) Except as permitted under DR 2-103 (C), a lawyer shall not compensate or
give anything of value to a person or organization to recommend or secure his
employment by a client, or as a reward for having made a recommendation resulting
in his employment by a client.
(C) A lawyer shall not request a person or organization to recommend employment,
as a private practitioner, of himself, his partner, or associate, except that
be may request referrals from a lawyer referral service operated, sponsored,
or approved by a bar association representative of the general bar of the geographical
area in which the association exists and may pay its fees incident thereto.
(D) A lawyer shall not knowingly assist a person or organization that recommends,
furnishes, or pays for legal services to promote the use of his services or
those of his partners or associates. However, he may cooperate in a dignified
manner with the legal service activities of any of the following, provided
that his independent professional judgment is exercised in behalf of his client
without interference or control by any organization or other person:
(1) A legal aid office or public defender office.
(a) Operated or sponsored by a duly accredited law school.
(b) Operated or sponsored by a bona fide non-profit community organization.
(c) Operated or sponsored by a governmental agency.
(d) Operated, sponsored, or approved by a bar association representative of
the general bar of the geographical area in which the association exists.
(2) A military legal assistance office.
(3) A lawyer referral service operated, sponsored, or approved by a bar association
representative of the general bar of the geographical area in which the association
exists.
(4) A bar association representative of the general bar of the geographical
area in which the association exists.
(5) Any other non-profit organization that recommends, furnishes, or pays for
legal services to its members or beneficiaries, but only in those instances
and to the extent that controlling constitutional interpretation at the time
of the rendition of the services requires the allowance of such legal service
activities, and only if the following conditions, unless prohibited by such
interpretation, are met:
(a) The primary purposes of such organization do not include the rendition
of legal services.
(b) The recommending, furnishing, or paying for legal services to its members
is incidental and reasonably
related to the primary purposes of such organization.
(c) Such organization does not derive a financial benefit from the rendition
of legal services by the lawyer.
(d) The member or beneficiary for whom the legal services are rendered, and
not such organization, is recognized as the client of the lawyer in that matter.
(e) A lawyer shall not accept employment when be knows or it is obvious
that the person who seeks his services does so as a result of conduct prohibited
under this Disciplinary Rule.
DR 2-104. Suggestion of Need of Legal Services
(A) A lawyer who has given unsolicited advice to a layman
that he should obtain counsel or take legal action shall not
accept employment resulting from that advice, except that:
(1) A lawyer may accept employment by a close friend, relative, former client
(if the advice is germane to the former employment), or one whom the lawyer
reasonably believes to be a client.
(2) -A lawyer may accept employment that results from his participation in
activities designed to educate laymen to recognize legal problems, to make
intelligent selection of counsel, or to utilize available legal services if
such activities are conducted or sponsored by any of the officers or organizations
enumerated in DR 2- 103 (D) (1) through (5), to the extent and under the conditions
prescribed therein.
(3) A lawyer who is furnished or paid by any of the offices or organizations
enumerated in DR 2-103 (D) (1), (2), or (5) may represent a member or beneficiary
thereof, to the extent and under the conditions prescribed therein.
(4) Without affecting his right to accept employment, a lawyer may speak publicly
or write for publication on legal topics so long as he does not emphasize his
own professional experience or reputation and does not undertake to give individual
advice.
(5) If success in asserting rights or defenses of his client in litigation
in the nature of a class action is dependent upon the joinder of others, a
lawyer may accept, but shall not seek, employment from those contacted for
the purpose of obtaining their joinder.
DR 2-105. Limitation of Practice
(A) A lawyer shall not bold himself out publicly as a specialist
or as limiting his practice, except as permitted under DR 2-102
(A) (6) or as follows:
(1) A lawyer admitted to practice before the United States Patent Office may
use the designation "Patents," "Patent Attorney," or "Patent
Lawyer" , or any combination of those terms, on his letterhead and office
sign. A lawyer engaged in the trademark practice may use the designation "Trademarks," "Trademark
Attorney," or "Trademark Lawyer," or any combination of those
terms, on his letterhead and office sign, and a lawyer engaged in the admiralty
practice may use the designation "Admiralty ... .. Proctor in Admiralty," or "Admiralty
Lawyer," or any combination of those terms, on his letterhead and office
sign.
(2) A lawyer may permit his name to be listed in lawyer referral service offices
according to the fields of law in which he will accept referrals.
(3) A lawyer available to act as a consultant to or as an associate of other
lawyers in a particular branch of law or legal service may distribute to other
lawyers and publish in legal journals a dignified announcement of such availability,
but the announcement shall not contain a representation of special competence
or experience. The announcement shall not be distributed to lawyers more frequently
than once in a calendar year, but it may be published periodically in legal
journals.
DR 2-106. Fees for Legal Services
(A) A lawyer shall not enter into an a agreement for, charge,
or collect an illegal or clearly excessive fee.
(B) A fee is clearly excessive when, after a review of the facts, a lawyer
of ordinary prudence would be left with a definite and firm conviction that
the fee is in excess of a reasonable fee. Factors to be considered as guides
in determining the reasonableness of a fee include the following:
(1) The time and labor required, the novelty and difficulty
of the questions involved, and the skill requisite to perform
the legal service properly.
(2) The likelihood, if apparent to the client, that the acceptance of the particular
employment will preclude other employment by the lawyer.
(3) The fee customarily charged in the locality for similar legal services.
(4) The amount involved and the results obtained.
(5) The time limitations imposed by the client or by the circumstances.
(6) The nature and length of the professional relationship with the client.
(7) 'Me experience, reputation, and ability of the lawyer or lawyers performing
the services.
(8) Whether the fee is fixed or contingent.
(C) A lawyer shall not enter into an arrangement for, charge, or collect a
contingent fee for representing a defendant in a criminal case.
DR 2-107. Division of Fees Among Lawyers
(A) A lawyer shall not divide a fee for legal services
with another lawyer who is not a partner in or associate of
his law firm or law office, unless:
(1) The client consents to employment of the other lawyer after a full disclosure
that a division of fees will be made.
(2) The division is made in proportion to the services performed and responsibility
assumed by each.
(3) The total fee of the lawyers does not clearly exceed reasonable compensation
for all legal services they rendered the client.
(B) This Disciplinary Rule does not prohibit payment to a former partner or
associate pursuant to a separation or retirement agreement.
DR 2-108. Agreements Restricting the Practice of a Lawyer
(A) A lawyer shall not be a party to or participate in
a partnership or employment agreement with another lawyer that
restricts the right of a lawyer to practice law after the termination
of a relationship created by the agreement, except as a condition
to payment of retirement benefits.
(B) In connection with the settlement of a controversy or suit, a lawyer shall
not enter into an agreement that restricts his right to practice law.
DR 2-109. Acceptance of Employment
(A) A lawyer shall not accept employment on behalf of a
person if he knows or it is obvious that such person wishes
to:
(1) Bring a legal action, conduct a defense, or assert a position in litigation,
or otherwise have steps taken for him, merely for the purpose of harassing
or maliciously injuring any person.
(2) Present a claim or defense in litigation that is not warranted under existing
law, unless it can be supported by good faith argument for an extension, modification,
or reversal of existing law.
DR 2-110. Withdrawal from Employment
(A) In general.
(1) -If permission for withdrawal from employment is required
by the rules of a tribunal, a lawyer shall not withdraw from
employment in a proceeding before that tribunal without its
permission.
(2) In any event, a lawyer shall not withdraw from employment until he has
taken reasonable steps to avoid foreseeable prejudice to the rights of his
client, including giving due notice to his client, allowing time for employment
of other counsel, delivering to the client all papers and property to which
the client is entitled, and complying with applicable laws and rules.
(3) A lawyer who withdraws from employment shall refund promptly any part of
a fee paid in advance that has not been earned.
(B) Mandatory withdrawal.
A lawyer representing a client before a tribunal, with its permission if required
by its rules, shall withdraw from employment, and a lawyer representing a client
in other matters shall withdraw from employment, if:
(1) Ile knows or it is obvious that his client is bringing the legal action,
conducting the defense, or asserting a position in the litigation, or is otherwise
having steps taken for him, merely for the purpose of harassing or maliciously
injuring any person.
(2) Ile knows or it is obvious that his continued employment will result in
violation of a Disciplinary Rule.
(3) His mental or physical condition renders it unreasonably difficult for
him to carry out the employment effectively.
(4) He is discharged by his client.
(C) Permissive withdrawal.
If DR 2_110 (B) is not applicable, a lawyer may not request permission to withdraw
in matters pending before a tribunal, and may not withdraw in other matters,
unless such request or such withdrawal is because:
(1) His client:
(a) Insists upon presenting a claim or defense that is not warranted under
existing law and cannot be supported by good faith argument for an extension,
modification, or reversal of existing law.
(b) Personally seeks to pursue an illegal course of conduct.
(c) Insists that the lawyer pursue a course of conduct that is illegal or that
is prohibited under the Disciplinary Rules.
(d) By other conduct renders it unreasonably difficult for the lawyer to carry
out his employment effectively.
(e) Insists, in a matter not pending before a tribunal, that the lawyer engage
in conduct that is contrary to the judgment and advice of the lawyer but not
prohibited under Disciplinary Rules.
(f) Deliberately disregards an agreement or obligation to the lawyer as to
expenses or fees.
(2) His continued employment is likely to result in violation of a Disciplinary
Rule.
(3) His inability to work with co-counsel indicates that the best interests
of the client likely will be served by withdrawal.
(4) His mental or physical condition renders it difficult for him to carry
out the employment effectively.
(5) His client knowingly and freely assents to termination of his employment.
(6) He believes in good faith, in a proceeding pending before a tribunal, that
the tribunal will find the existence of other good cause for withdrawal.
CANON 3
A Lawyer Should Assist in Preventing the Unauthorized
Practice of Law
DR 3-101. Aiding Unauthorized Practice of Law
(A) A lawyer shall not aid a non-lawyer in the unauthorized
practice of law.
(B) A lawyer shall not practice law in a jurisdiction where to do so would
be in violation of regulations of the profession in that jurisdiction.
DR 3-102. Dividing Legal Fees with a Non-Lawyer
(A) A lawyer or law firm shall not share legal fees with
a non-lawyer, except that:
(1) An agreement by a lawyer with his firm, partner, or associate may provide
for the payment of money, over a reasonable period of time after his death,
to his estate or to one or more specified persons.
(2) A lawyer who undertakes to complete unfinished legal business of a deceased
lawyer may pay to the estate of the deceased lawyer that proportion of the
total compensation which fairly represents the services rendered by the deceased
lawyer.
(3) A lawyer or law firm may include non-lawyer employees in a retirement plan,
even though the plan is based in whole or in part on a profitsharing arrangement.
DR 3-103. Forming a Partnership with a Non-Lawyer
(A) A lawyer shall not form a partnership with a non-lawyer
if any of the activities of the partnership consist of the
practice of law.
CANON 4
A Lawyer Should Preserve the Confidences and Secrets of a Client
DR 4-101. Preservation of Confidences
and Secrets of a Client
(A) "Confidence" refers to information protected
by the attorney-client privilege under applicable law, and "secret" refers
to other information gained in the professional relationship
that the client has requested to be held inviolate or the disclosure
of which would be embarrassing or would likely to be detrimental
to the client.
(B) Except when permitted under DR 4-101 (C), a lawyer shall not knowingly:
(1) Reveal a confidence or secret of his client.
(2) Use a confidence or secret of his client to the disadvantage of the client.
(3) Use a confidence or secret of his client for the advantage of himself or
of a third person, unless the client consents after full disclosure.
(C) A lawyer may reveal:
(1) Confidences or secrets with the consent of the client or clients affected,
but only after a full disclosure to them.
(2) Confidences or secrets when permitted under Disciplinary Rules or required
by law or court order.
(3) The intention of his client to commit a crime and the information necessary
to prevent the crime.
(4) Confidences or secrets necessary to establish or collect his fee or to
defend himself or his employees or associates against an accusation of wrongful
conduct.
(D) A lawyer shall exercise reasonable care to prevent his employees, associates,
and others whose services are utilized by him from disclosing or using confidences
or secrets of a client, except that a lawyer may reveal the information allowed
by DR 4-101 (C) through an employee.
CANON 5
A Lawyer Should Exercise Independent Professional Judgment on Behalf of a Client
DR 5-101. Refusing Employment When the Interests of the Lawyer May Impair His Independent Professional Judgment
(A) Except with the consent of his client after full disclosure,
a lawyer shall not accept employment if the exercise of his professional
judgment on behalf of his client will be or reasonably may be
affected by his own financial, business, property, or personal
interests.
(B) A lawyer shall not accept employment in contemplated or pending litigation
if he knows or it is obvious that he or a lawyer in his firm ought to be called
as a witness, except that be may undertake the employment and he or a lawyer
in his firm may testify:
(1) If the testimony will relate solely to an uncontested matter.
(2) If the testimony will relate solely to a matter of formality and there
is no reason to believe that substantial evidence will be offered in opposition
to the testimony.
(3) If the testimony will relate solely to the nature and value of legal services
rendered in the case by the lawyer or his firm to the client.
(4) As to any matter, if refusal would work a substantial hardship on the client
because of the distinctive value of the lawyer or his firm. as coun
sel in the particular case.
DR 5-102. Withdrawal as Counsel When the Lawyer Becomes a Witness
(A) If, after undertaking employment in contemplated or pending litigation,
a lawyer learns or it is obvious that he or a lawyer in his firm ought to be
called as a witness on behalf of his client, be shall withdraw from the conduct
of the trial and his firm, if any, shall not continue representation in the
trial, except that he may continue the representation and be or a lawyer in
his firm may testify in the circumstances enemurated in DR 5-101 (B) (1) through
(4).
(B) If, after undertaking employment in contemplated or pending litigation,
a lawyer learns or it is obvious that be or a lawyer in his firm may be called
as a witness other than on behalf of his client, he may continue the representation
until it is apparent that his testimony is or may be prejudicial to his client.
DR 5-103. Avoiding Acquisition of Interest in Litigation
(A) A lawyer shall not acquire a proprietary interest in
the cause of action or subject matter of litigation be is conducting
for a client, except that he may:
(1) Acquire a lien granted by law to secure his fee or expenses.
(2) Contact with a client for a reasonable contingent fee in a civil case.
(B) While representing a client in connection with contemplated or pending
litigation, a lawyer shall not advance or guarantee financial assistance to
his client, except that a lawyer may advance or guarantee the expenses of litigation,
including court costs, expenses of investigation, expenses of medical examination,
and costs of obtaining and presenting evidence, provided the client remains
ultimately liable for such expenses.
DR 5-104. Limiting Business Relations with a Client
(A) A lawyer shall not enter into a business transaction
with a client if they have differing interests therein and
if the client expects the lawyer to exercise his professional
judgment therein for the protection of the client, unless the
client has consented after full disclosure.
(B) Prior to conclusion of all aspects of the matter giving rise to his employment,
a lawyer shall not enter into any arrangement or understanding with a client
or a prospective client by which be acquires an interest in publication rights
with respect to the subject matter of his employment or proposed employment.
DR .5-105. Refusing to Accept or Continue Employment if the
Interests of Another Client May Impair the Independent Professional
Judgment of the Lawyer
(A) A lawyer shall decline proffered employment if the exercise
of his independent professional judgment in behalf of a client
will be or is likely to be adversely affected by the acceptance
of the proffered employment, except to the extent permitted under
DR 5-105 (C).
(B) A lawyer shall not continue multiple employment if the exercise of his
independent professional judgment in behalf of a client will be or is likely
to be adversely affected by his representation of another client, except to
the extent permitted under DR 5-105 (C).
(C) In the situations covered by DR 5-105 (A) and (B), a lawyer may represent
multiple clients if it is obvious that he can adequately represent the interests
of each and if each consents to the representation after full disclosure of
the possible effect of such representation on the exercise of his independent
professional judgment on behalf of each.
(D) If a lawyer is required to decline employment or to withdraw from employment
under DR 5-105, no partner or associate of his or his firm may accept or continue
such employment.
DR .5-106. Settling Similar Claims of Clients
(A) A lawyer who represents two or more clients shall not
make or participate in the making of an aggregate settlement
of the claims of or against his clients, unless each client
has consented to the settlement after being advised of the
existence and nature of all the claims involved in the proposed
settlement, of the total amount of the settlement, and of the
participation of each person in the settlement.
DR 5-107. Avoiding Influence by Others Than the Client
(A) Except with the consent of his client after full disclosure,
a lawyer shall not:
(1) Accept compensation for his legal services from one other than his client.
(2) Accept from one other than his client any thing of value related to his
representation of or his employment by his client.
(B) A lawyer shall not permit a person who recommends, employs, or pays him
to render legal services for another to direct or regulate his professional
judgment in rendering such legal services.
(C) A lawyer shall not practice with or in the form of a professional corporation
or association authorized to practice law for a profit, if:
(1) A non-lawyer owns any interest therein, except that a fiduciary representative
of the estate of a lawyer may bold the stock or interest of the lawyer for
a reasonable time during administration;
(2) A non-lawyer is a corporate director or officer thereof; or
(3) A non-lawyer has the right to direct or control the professional judgment
of a lawyer.
(D) A lawyer who is regularly employed shall not accept professional employment
if such professional employment will conflict with the interests of, or the
lawyer's loyalty to, his employer, except in compliance with Disciplinary Rule
(DR) 5-101 (A) and with the prior consent of the employer.
CANON 6
A Lawyer Should Represent a Client Competently
DR 6-101. Failing to Act Competently
(A) A lawyer shall not:
(1) Handle a legal matter which he knows or should know that he is not competent
to handle, without associating with him a lawyer who is competent to handle
it.
(2) Handle a legal matter without preparation adequate in the circumstances.
(3) Neglect a legal matter entrusted to him. DR 6-102. Limiting Liability
to Client
(A) A lawyer shall not attempt to exonerate himself from or limit his liability
to his client for his personal malpractice.
CANON 7
A Lawyer Should Represent a Client Zealously Within the Bounds of the
Law
DR 7-101. Representing a Client Zealously
(A) A lawyer shall not intentionally:
(1) Fail to seek the lawful objectives of his client through reasonably available
means permitted by law and the Disciplinary Rules, except as provided by DR
7-101 (B). A lawyer does not violate this Disciplinary Rule, however, by acceding
to reasonable requests of opposing counsel which do not prejudice the rights
of his client, by being punctual in fulfilling all professional commitments,
by avoiding offensive tactics, or by treating with courtesy and consideration
all persons involved in the legal process.
(2) Fail to carry out a contract of employment entered into
with a client for professional services, but be may withdraw
as permitted under DR 2-110, DR 5-102, and DR 5-105.
(3) Prejudice or damage his client during the course of the professional relationship,
except as required tinder DR 7-102 (B).
(B) In his representation of a client, a lawyer may:
(1) Where permissible, exercise his professional judgment to waive or fail
to assert a right or position of his client.
(2) Refuse to aid or participate in conduct that he believes to be unlawful,
even though there is some support for an argument that the conduct
is legal.
DR 7-102. Representing a Client Within the Bounds of the Law
(A) In his representation of a client, a lawyer shall not:
(1) File a suit, assert a position, conduct a defense, delay a trial or take
other action on behalf of his client when be knows or when it is obvious that
such action would serve merely to harass or maliciously injure another.
(2) Knowingly advance a claim or defense that is unwarranted under existing
law, except that be may advance such claim or defense if it can be supported
by good faith argument for an extension, modification, or reversal of existing
law.
(3) Conceal or knowingly fail to disclose that which he is required by law
to repeal.
(4) Knowingly use perjured testimony or false evidence.
(5) Knowingly make a false statement of law or fact.
(6) Participate in the creation or preservation of evidence when be knows or
it is obvious that the evidence is false.
(7) Counsel or assist his client in conduct that the lawyer knows to be illegal
or fraudulent.
(8) Knowingly engage in other illegal conduct or conduct contrary to a Disciplinary
Rule.
(B) A lawyer who receives information clearly establishing that:
(1) His client has, in the course of the representation, perpetrated a fraud
upon a person or tribunal shall promptly call upon his client to rectify the
same, and if his client refuses or is unable to do so, be shall reveal the
fraud to the affected person or tribunal.
(2) A person other than his client has perpetrated a fraud upon a tribunal
shall promptly reveal the fraud to the tribunal.
DR 7-103. Performing the Duty of Public Prosecutor or Other Government
Lawyer
(A) A public prosecutor or other government lawyer shall not institute or cause.
to be instituted criminal charges when be knows or it is obvious that the charges
are not supported by probable cause.
(B) A public prosecutor or other government lawyer in criminal litigation shall
make timely disclosure to counsel for the defendant, or to the defendant if
he has no counsel, of the existence of evidence, known to the prosecutor or
other government lawyer, that tends to negate the guilt of the accused, mitigate
the degree of the offense, or reduce the punishment.
DR 7-104. Communicating With One of Adverse Interest
(A) During the course of his representation of a client
a lawyer shall not:
(1) Communicate or cause another to communicate on the subject of the representation
with a party be knows to be represented by a lawyer in that matter unless he
has the prior consent of the lawyer representing such other party or is authorized
by law to do so.
(2) Give advice to a person who is not represented by a lawyer, other than
the advice to secure counsel, if the interests of such person are or have a
reasonable possibility of being in conflict with the interests of his client.
DR 7-10-5. Threatening Criminal Prosecution
(A) A lawyer shall not present, participate in presenting,
or threaten to present criminal charges solely to obtain an
advantage in a civil matter.
DR 7-106. Trial Conduct
(A) A lawyer shall not disregard or advise his client to
disregard a standing rule of a tribunal or a ruling of a tribunal
made in the course of a proceeding, but be may take appropriate
steps in good faith to test the validity of such rule or ruling.
(B) In presenting a matter to a tribunal, a lawyer shall disclose:
(1) Legal authority in the controlling jurisdiction known to him to be directly
adverse to the position of his client and which is not disclosed by opposing
counsel.
(2) Unless privileged or irrelevant, the identities of the clients be represents
and of the persons who employed him.
(C) In appearing in his professional capacity before a tribunal, a lawyer shall
not:
(1) State or allude to any matter that he has no reasonable basis to believe
is relevant to the case or that will not be supported by admissible evidence.
(2) Ask any question that be has no reasonable basis to believe is relevant
to the case and that is intended to degrade a witness or other person.
(3) Assert his personal knowledege of the facts in issue, except when testifying
as a witness.
(4) Assert his personal opinion as to the justness of a cause, as to the credibility
of a witness, as to the culpability of a civil litigant, or as to the guilt
or innocence of an accused; but be may argue, on his analysis of the evidence,
for any position or conclusion with respect to the matters stated herein.
(5) Fail to comply with known local customs of courtesy or practice of the
bar or a particular tribunal without giving to opposing counsel timely
notice of his intent not to comply.
(6) Engage in undignified or discourteous conduct which is degrading to a tribunal.
(7) Intentionally or habitually violate any established rule of procedure or
of evidence.
DR 7-107. Trial Publicity
(A) A lawyer participating in or associated with the investigation
of a criminal matter shall not make or participate in making
an extrajudicial
statement that a reasonable person would expect to be disseminated by means
of public communication and that does more than state without elaboration:
(1) Information contained in a public record.
(2) That the investigation is in progress.
(3) The general scope of the investigation including a description of the offense
and, if permitted by law, the identity of the victim.
(4) A request for assistance in apprehending a suspect or assistance in other
matters and the information necessary thereto.
(5) A warning to the public of any dangers.
(B) A lawyer or law firm associated with the prosecution or defense of a criminal
matter shall not, from the time of the filing of a complaint, infor
mation, or indictment, the issuance of an arrest warrant, or arrest until the
commencement of the trial or disposition without trial, make or participate
in making an extrajudicial statement that a reasonable person would expect
to be disseminated by means of public communication and that relates to:
(1) The character, reputation, or prior criminal record (including arrests,
indictments, or other charges of crime) of the accused.
(2) The possibility of a plea of guilty to the offense charged or to a lesser
offense.
(3) The existence or contents of any confession, admission, or statement given
by the accused or his refusal or failure to make a statement.
(4) The performance or results of any examinations or tests or the refusal
or failure of the accused to submit to examinations or tests.
(5) The identity, testimony, or credibility of a prospective witness.
(6) Any opinion as to the guilt or innocence of the accused, the evidence,or
the merits of the case.
(C) DR 7-107 (B) does not preclude a lawyer during such period from announcing:
(1) The name, age, residence, occupation, and family status of the accused.
(2) If the accused has not been apprehended, any information necessary to aid
in his apprehension or to warn the public of any dangers be may present.
(3) A request for assistance in obtaining evidence.
(4) The identity of the victim of the crime.
(5) The fact, time, and place of arrest, resistance, pursuit, and use of weapons.
(6) The identity of investigating and arresting officers or agencies
and the length of the investigation.
(7) At the time of seizure, a description of the physical evidence seized,
other than a confession, admission, or statement.
(8) The nature, substance, or text of the charge.
(9) Quotations from or references to public records of the court in the case.
(10) The scheduling or result of any step in the judicial proceedings.
(11) That the accused denies the charges made against him.
(D) During the selection of a jury or the trial of a criminal matter, a lawyer
or law firm associated with the prosecution or defense of a criminal matter
shall not make or participate in making an extrajudicial statement that a reasonable
person would expect to be disseminated by means of public communication and
that relates to the trial, parties, or issues in the trial or other matters
that are reasonably likely to interfere with a fair trial, except that he may
quote from or refer without comment to public records of the court in the case.
(E) After the completion of a trial or disposition without trial of a criminal
matter and prior to the imposition of sentence, a lawyer or law firm associated
with the prosecution or defense shall not make or participate in making an
extrajudicial statement that a reasonable person would expect to be disseminated
by public communication and that is reasonably likely to affect the imposition
of sentence.
(F) The foregoing provisions of DR 7-107 also apply to professional disciplinary
proceedings and juvenile disciplinary proceedings when pertinent and consistent
with other law applicable to such proceedings.
(G) A lawyer or law firm associated with a civil action shall not during its
investigation or litigation make or participate in making an extrajudicial
statement, other than a quotation from or reference to public records, that
a reasonable person would expect to be disseminated by means of public communication
and that relates to:
(1) Evidence regarding the occurrence or transaction involved.
(2) The character, credibility, or criminal record of a party, witness, or
prospective witness.
(3) The performance or results of any examinations or tests or the refusal
or failure of a party to submit to such.
(4) His opinion as to the merits of the claims or defenses of a party, except
as required by law or administrative rule.
(5) Any other matter reasonably likely to interfere with a fair trial of the
action.
(H) During the pendency of an administrative proceeding, a lawyer or law firm
associated therewith shall not make or participate in making a statement, other
than a quotation from or reference to public records, that a reasonable person
would expect to be disseminated by means of public communication if it is made
outside the official course of the proceeding and relates to:
(1) Evidence regarding the occurrence or transaction involved.
(2) The character, credibility, or criminal record of a party, witness, or
prospective witness.
(3) Physical evidence or the performance or results of any examinations or
tests or the refusal or failure of a party to submit to such.
(4) His opinion as to the merits of the claims, defenses, or positions of an
interested person.
(5) Any other matter reasonably likely to interfere with a fair bearing.
(I) The foregoing provisions of DR 7-107 do not preclude a lawyer from replying
to charges of misconduct publicly made against him or from participating in
the proceedings of legislative, administrative, or other investigative bodies.
(J) A lawyer shall exercise reasonable care to prevent his employees and associates
from making an extrajudicial statement that be would- be prohibited from making
tinder DR 7-107.
DR 7-108. Communication with or Investigation of jurors
(A) Before the trial of a case a lawyer connected therewith
shall not communicate with or cause another to communicate
with anyone be knows to be a member of the venire from which
the jury will be selected for the trial of the case.
(B) During the trial of a case:
(1) A lawyer connected therewith shall not communicate with or cause another
to communicate with any member of the jury.
(2) A lawyer who is not connected therewith shall not communicate with or cause
another to communicate with a juror concerning the case.
(C) DR 7-108 (A) and (B) do not prohibit a lawyer from communicating with veniremen
or jurors in the course of official proceedings.
(D) After discharge of the jury from further consideration of a case with which
the lawyer was connected, the lawyer shall not ask questions of or make comments
to a member of that jury that are calculated merely to harass or embarrass
the juror or to influence his actions in future jury service.
(E) A lawyer shall not conduct or cause, by financial support or otherwise,
another to conduct a vexatious or harassing investigation of either a venireman
or a juror.
(F) All restrictions imposed by DR 7-108 upon a lawyer also apply to communications
with or investigations of members of a family of a venireman or a juror.
(G) A lawyer shall reveal promptly to the court improper conduct by a
venireman or a juror, or by another toward a venireman or a juror or a member
of his family, of which the lawyer has knowledge.
DR 7-109. Contact with Witnesses
(A) A lawyer shall not suppress any evidence that he or
his client has a legal obligation to reveal or produce.
(B) A lawyer shall not advise or cause a person to secrete himself or to leave
the jurisdiction of a tribunal for the purpose of making him unavailable as
a witness therein.
(C) A lawyer shall not pay, offer to pay, or acquiesce in the payment of compensation
to a witness contingent upon the content of his testimony
or the. outcome of the case. But a lawyer may advance, guarantee, or acquiesce
in the payment of:
(1) Expenses reasonably incurred by a witness in attending or testifying.
(2) Reasonable compensation to a witness for his loss of time in attending
or testifying.
(3) A reasonable fee for the professional services of an expert witness.
DR 7-110, Contact with Officials
(A) A lawyer shall not give or lend any thing of value to a judge, official,
or employee of a tribunal.
(B) In an adversary proceeding, a lawyer shall not communicate, or cause another
to communicate as to the merits of the cause with a judge or an official before
whom the proceeding is pending, except:
(1) In the course of official proceedings in the cause.
(2) In writing if he promptly delivers a copy of the writing to opposing counsel
or to the adverse party if be is not represented by a lawyer.
(3) Orally upon adequate notice to opposing counsel or to the adverse party
if be is not represented by a lawyer.
(4) As otherwise authorized by law.
CANON 8
A Lawyer Should Assist in Improving the Legal System
DR 8-101. Action as a Public Official
(A) A lawyer who holds public office shall not:
(1) Use his public position to obtain, or attempt to obtain, a special advantage
in legislative matters for himself or for a client under circumstances where
he knows or it is obvious that such action is not in the public interest.
(2) Use his public position to influence, or attempt to influence, a tribunal
to act in favor of himself or of a client.
(3) Accept any thing of value from any person when the lawyer knows or it is
obvious that the offer is for the purpose of influencing his action as
a public official.
DR 8-102. Statements Concerning Judges and Other Adjudicatory Officers
(A) A lawyer shall not knowingly make false statements of fact concerning
the qualifications of a candidate for election or appointment to a judicial
office.
(B) A lawyer shall not knowingly make false accusations against a judge or
other adjudicatory officer.
CANON 9
A Lawyer Should Avoid Even the Appearance of Professional Impropriety
DR .9-101. Avoiding Even the Appearance of Impropriety
(A) A lawyer shall not accept private employment in a matter
upon the merits of which be has acted in a judicial capacity.
(B) A lawyer shall not accept private employment in a matter in which AftL
he bad substantial responsibility while be was a public employee.
(C) A lawyer shall not state or imply that he is able to influence improperly
or upon irrelevant grounds any tribunal, legislative body, or public
official.
DR 9-102. Preserving Identity of Funds and Property of a Client
(A) All funds of clients paid to a lawyer or law firm, other than advances
for costs and expenses, shall be deposited in one or more identifiable bank
accounts maintained in the state in which the law office is situated and no,
funds belonging to the lawyer or law firm shall be deposited therein except
as follows:
(1) Funds reasonably sufficient to pay bank charges may be deposited therein.
(2) Funds belonging in part to a client and in part presently or potentially
to the lawyer or law firm must be deposited therein, but the portion belonging
to the lawyer or law firm may be withdrawn when due unless the right of the
lawyer or law firm to receive it is disputed by the client, in which event
the disputed portion shall not be withdrawn until the dispute is finally resolved.
(B) A lawyer shall:
(1) Promptly notify a client of the receipt of his funds, securities, or other
properties.
(2) Identify and label securities and properties of a client promptly upon
receipt and place them in a safe deposit box or other place of safekeeping
as soon as practicable.
(3) Maintain complete records of all funds, securities, and other properties
of a client coming into the possession of the lawyer and render appropriate
accounts to his client regarding them.
(4) Promptly pay or deliver to the client as requested by a client the funds,
securities, or other properties in the possession of the lawyer which the client
is entitled to receive.
Definitions
As used in the Disciplinary Rules of the Code of
Professional Responsibility:
(1) "Differing interests" include every interest that will adversely
affect either the judgment or the loyalty of a lawyer to a client, whether
it be a conflicting, inconsistent, diverse, or other interest.
(2) "Law Firm" includes a professional legal corporation.
(3) "Person" includes a corporation, an association, a trust, a partnership,
and any other organization or legal entity.
(4) "Professional legal corporation" means a corporation, or an association
treated as a corporation, authorized by law to practice law for profit.
(5) "State" includes the District of Columbia, Puerto Rico, and other
federal territories and possessions.
(6) "Tribunal" includes all courts and all other adjudicatory bodies.
(7) "A Bar association representative of the general bar" includes
a bar association of specialists as referred to in DR 2-105 (A) (1).
