Created by: Neil Savage, JD Legal Publications Editor/Indexer 17812 28th Ave NE Seattle, WA 98155-4006 206-367-9312 Index of Subjects Advertising and solicitation Chat room advertising, 8.13(a) Generally, 1.07 Email, 1.08(a)-(c) First Amendment cases and, 8.13(b) Websites, 1.08(a), (c) Additional guidance, 11.07(b) Advisory (ethics) opinions, 11.07(a)-(b) Aiding and abetting Criminal liability, 8.03(b), 9.04(b) Tort liability, 9.06(b) Alternative dispute resolution (ADR) options, 4.02(a) Ancillary business, 8.12(b), 12.08(a)-(c) Appeal forgotten, 5.05(a) Arbitrators, former clients and, 7.39(b) Authority and control in client-lawyer relationship Allocation of authority (chart), 3.01(c) Another lawyer, 3.04(a) Apparent authority, 3.05(b) Client consultation, 3.05(c) Client control, 3.02(a)-(d) Lawyer authority, 3.03(a)-(b), 3.04(a) Delegated discretion, 3.04(e) Experts, 3.04(b) External authority, 3.05(b) Generally, 3.01(a)-(c), 3.05(a) Informed consent, 3.04(d) Scope of representation, 3.05(a), 3.04(d) Short representation, 3.04(c) Reasonable-scope limitations, 3.04(d) Spheres of authority, 3.01(b) Tactics, control of, 3.01(a) Bias in the courtroom Generally, 8.09(a) Judicial responsibility, 10.02(a)-(b) Candor to the tribunal 291
292 Red Flags Case citation, 8.08(a) Conviction record, 8.08(b) Witness whereabouts, 8.08(c) Charts in this text Advertising, First Amendment cases and, 8.13(b) Allocation of client-lawyer authority, 3.01(c) Breach of fiduciary duty, 5.04(e) Confidentiality, 6.01(d), 6.06(a)-(b) Exceptions to confidentiality, privilege, and work-product immunity, 6.06(a)-(b) Ineffective assistance of counsel, 5.04(b) Legal sources of some common limits of the law, 8.01 Malpractice, 5.04(e) Privileged information exceptions, 6.06(a)-(b) Organizational representation, disclosures to employees, 7.30(g) Screening, 7.35(c), (e) Third parties, tort liability to, 9.06(d) Work-product immunity, 6.05(d), 6.06(a)-(b) Written fee agreements, rules requiring, 2.03 Class actions Fees, 2.06(a) Generally, 1.22(a)-(b) Client Accommodation clients, 1.28(a)-(b) Appointment of, see Court-appointed client Class actions, 1.22(a)-(b) Death of, 1.20(a)-(b) Derivative clients, 1.27 Diminished capacity, client with, 1.21, 12.04(a)-(b) Entity as, see Entity as client Family members, 1.13, 7.24(b), 7.32(b), 7.34(c) Family-owned businesses, 1.18(c) Five C s (the 5 C s), 1.01 Former clients, see Former clients Guardian as, 1.21 Identifying, importance of, 1.01 Identity change, 1.20(d) Imputation, see Imputation of law firm Insurance company as, 1.17(a) Insured as, 1.17(a)-(b) Joint clients, see Joint clients Officers and employees, 1.18(b)-(c), 1.19(a)-(b), 8.10(c) Organizational client, 1.18(b)-(c), 1.19(b), 1.20(c) Organizational entity as, see Organizational entity Prospective, see Prospective clients Relationship with, see Client-lawyer relationship Third-person payments, effect of, 1.16
Unrepresented parties, 1.12 Client business Expanding client enterprise, 12.02(a)-(b) Investing in, 12.01(a)-(b) Client-lawyer relationship Authority in, see Authority and control in client-lawyer relationship Consensual, 1.03(b) Control in, see Authority and control in client-lawyer relationship Court appointment, see Court-appointed client Disclaimers, 1.06(a) Disengagement letter, 1.24 Engagement letter, see Engagement letter Establishing, generally, 1.01 Five C s (the 5 C s), 1.01 Good faith, duty of, 1.03(b) Obligations, 1.01 Third parties, obligations to, see Third parties Third-person payments, effect of, 1.16 Code provisions, 11.04(a)-(b) Collection of fees, 2.13, 12.07(b) Competence obligation Common knowledge (obvious duty), 5.04 Diligence, see Diligence obligation Fiduciary duty, see Fiduciary duty Generally, 5.01(a)-(b), 5.04 How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Level of competence, 5.02(a) Reasonable competence and diligence, 5.01(b) Standard of care, 5.02(b) Timely filing, see Timely filing Unprivileged disclosure, 5.04(c) Concurrent clients Direct-adversity conflicts, 7.25(a)-(b) Divorce and dissolution, 7.24(a), 7.34(c) Family members, 1.13, 7.24(b), 7.32(b), 7.34(c) Joint clients, see Joint clients Thrust upon conflict, 1.18(a), 7.25(a) Confidentiality obligation Beginning of, 6.02(b) Changing firms, 1.29(a) Chart, 6.01(d), 6.06(a)-(b) Client dishonesty or fraud, 6.09(g), 6.12(a)-(c) Client identity, 6.04(c), 6.11(b) Conflicts of law and jurisdiction, 6.13(a)-(d) Court order as exception, 6.12(a)-(c) Index of Subjects 293
294 Red Flags End of, 6.02(b) Exceptions, see Exceptions to confidentiality Express or implied authorization as exception, 6.07(a)-(g) Former clients, see Former clients Financial harm exception, 6.09(a) Generally, 6.03(b)-(c) How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Imputed clients, 1.29(a)-(b) Joint clients, see Joint clients Lawyer self-defense exception, 6.10(a)-(d) Law as exception, 6.12(a)-(c) Media, 6.03(a) Privileged information, distinguished, 6.01(a)-(c), 6.04(a)-(b) Prospective clients, 1.05(c), (d), 6.02(a)-(b) Public documents, 6.04(c) Scope of, 6.03(b)-(c) Seeking advice as exception, 6.11(a)-(c) Substantial relationship test, 7.34(d) Threatened serious bodily harm as exception, 6.08(a)-(g) Unprivileged disclosure, 5.04(c) Use of information for other purposes, 6.03(b), 9.10(b) Waiver, informed consent and, 4.05(a)-(b), 6.07(g) Conflicts of interest Business deals with clients, 7.12(a)-(c) Check for, 7.06-7.07(c), 9.02 Concurrent clients, see Concurrent clients Consentable conflicts, 7.02, 7.10(a)-(b) Contingent fees and, 2.08(d) Control systems for, 7.06-7.07(c), 9.02 Corporate buyouts, 1.18(a) Database, 7.07(a)-(b) Direct-adversity conflicts, 7.25(a)-(b) Disengaging from the client, effect of, 7.34(b) Divorce and dissolution, 7.24(a), 7.34(c) Entities as clients, see Entities as clients Financial assistance to clients, 7.16(a)-(b) Former clients, see Former clients Former government lawyers, 7.38(a)-(b) Family members, 1.13, 7.24(b), 7.32(b), 7.34(c) Generally, 7.03-7.04 Gifts from client, 7.13, 9.10(a) Identifying and resolving conflicts, generally, 7.03-7.04, 7.07(c), 7.08 Identifying conflicts, systems for, 7.06-7.07(c), 9.02 Imputation, see Imputation of law firm Informed consent, 4.06(a)-(c), 7.09(a)-(b)
Index of Subjects 295 Issue conflicts, 7.29(a)-(b) Joint clients, see Joint clients Limiting liability for malpractice, 7.17 Loyalty obligation, 7.01 Media rights, 7.14(a)-(b) Nonconsentable conflicts, 7.02, 7.10(a)-(b) Organizational entity, see Organizational entity Personal conflicts, 7.21 Personal interests, 7.11 Personal relationships, 7.20 Proprietary interests in the subject matter of litigation, 7.15(a)-(b) Recognizing conflicts, 7.08 Response to conflicts, 7.08 Settlements, aggregate, 7.18(a)-(b) Sexual relationships with clients, 7.19(a)-(b) Substantially related transaction, 7.34(f) Third-party conflicts, 7.07(a)(2), 7.32(a)-(d) Thrust upon conflict, 1.18(a), 7.25(a) Waiver, informed consent and, 4.06(a)-(c), 7.09(a)-(b) Conflicts of law in confidentiality, privilege, and work-product immunity, 6.13(a)-(d) Contact with represented and unrepresented persons Client s employees, 8.10(c), (e) Ex parte contact with judges and jurors, 8.11(a) Expert for the opposing side, 8.11(b) Former employees of represented organizations, 8.10(b) Generally, 8.10(g) Government lawyers, 8.10(e)-(f) Lawyer s permission, 8.10(a) Other side s employees, 8.10(d)-(e) Regulation of, 8.10(g) Represented organizations, 8.10(b), (e) Scared defendant, 8.10(f) Contempt, 8.07 Contingent fee Bank accounts as, 7.14(a)-(b) Conflicts of interest, 2.08(d) Generally, 2.08 House as, 7.14(a)-(b) Informed consent, 4.07 Media rights as, 7.14(a)-(b) Modifications, 2.04(a)-(b), 2.05(b) Negative, 2.08(c) Reasonable, 2.08(b) Windfall, 2.05(b), 2.08(a) Court-appointed client Involuntary, 1.02(a)
296 Red Flags Court-mandated, 1.02(b) Criminal acts Aiding and abetting, 8.03(b), 9.04(b) Committed in the past, 8.03(b)\ Criminal law, generally, 9.04(b) Fundraising for client, 9.04(a) Generally, 8.03(c), 9.04(b) Immigration compliance, 8.03(b) Ponzi schemes, 8.03(a) Threat of criminal prosecution, 8.03(a) Professional obligations, 8.03(c) Criminal defense Appeal forgotten, 5.05(a) Co-defendants, 7.27(a)-(b) Ineffective assistance of counsel, 5.04(b), 9.08 Joint defendants, 7.27(a)-(b) Plea bargaining, 4.04(a)-(b), 7.18(a)-(b) Diligence obligation Common knowledge (obvious duty), 5.04 Competence, see Competence obligation Fiduciary duty, see Fiduciary duty Forgotten appeal, 5.05(a) Generally, 5.03(a)-(b), 5.04 How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Legal and factual research, 5.04(b) Reasonable diligence and promptness, 5.03 (b) Timely filing, see Timely filing Diminished capacity, client with, 1.21, 12.04(a)-(b) Disciplinary enforcement Failure to consult with others about ethics concerns, 9.01 Fee forfeiture, 9.11(a)-(b) Disqualification, 9.09(a)-(c) Generally, 9.03 Grounds for discipline, 9.03 How to avoid trouble, 5.06(b), 9.13 Ineffective assistance of counsel, 9.08 Malpractice, see Malpractice Misrepresentation, see Fraud and misrepresentation Procedural (court) sanctions, 9.12(a)-(b) Undue influence, 9.10(c) Disclaimers, 1.06(a), 1.07 Disclosure and communication obligations Alternative dispute resolution (ADR) options, 4.02(a) Candor, see Candor to the tribunal Confidentiality, see Confidentiality obligation
Index of Subjects 297 Discovery abuse, see Discovery abuse Dishonesty, deceit, or misrepresentation, 5.06(b) Duty to communicate, 4.02, 4.02(c) Duty to inform, 4.02(b) Generally, 4.01, 4.03(b), 4.07 How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Informed consent, see Informed consent List of communications, 4.02(d) Organizational representation, disclosures to employees, 7.30(g) Plea bargaining, 4.04(a)-(b), 7.18(a)-(b) Privileged information, see Privileged information Settlement offers, 4.04(a)-(b), 7.18(a)-(b) Discovery abuse Damaging documents, 8.06(a) Late discovery, 9.12(a) Regulation of, 8.06(b) Disengagement letter, 1.24 Dishonesty, deceit, or misrepresentation, 5.06(b) Disqualification, 9.09(a)-(c) Divorce and dissolution, 7.24(a), 7.34(c) Engagement (retainer) letter Fees and, 2.02(a) Generally, 1.03(a), 1.04 Non-engagement letter, 1.05(b) Entity as client, see Organizational entity Exceptions to confidentiality, privilege, and work-product immunity, 6.11(a)-(c) Chart, 6.06(a)-(b) Client fraud, 6.09(g), 6.12(a)-(c) Conflicts of law and jurisdiction, 6.13(a)-(d) Court orders, 6.12(a)-(c) Express or implied authorization, 6.07(a)-(g) Financial harm, 6.09(a) Generally, 6.06(a)-(b) Law, 6.12(a)-(c) Lawyer self-defense, 6.10(a)-(d) Threatened serious bodily harm, 6.08(a)-(g) Seeking advice, 6.11(a)-(c) Ex parte contact Judicial responsibility, 10.03(a)-(b) With judges and jurors, 8.11(a) Expenses, 2.02, 2.02(a) Expert testimony Need for, 11.08(a) Relying on, 11.08(c) Selecting an expert, 11.08(b)
298 Red Flags Failure to consult with others about ethics concerns, 9.01 Family members, 1.13, 7.24(b), 7.32(b), 7.34(c) Fee Agreements, see Fee agreements Class action fees, 2.06(a) Collection, 2.13, 12.07(b) Contingent, see Contingent fee Disputed, 2.08(a), 2.14 Engagement letter and, 2.02(a) Expenses, 2.02, 2.02(a) Failure to pay, 8.02(a)-(b) Fiduciary limits, 2.02(c), 2.04(b) Flat, 2.09(a)-(b) Forfeiture, 9.11(a)-(b) Generally, 2.01 Hourly, 2.07(a)-(b) Judicial supervision, 2.06(b) Lien on client files to secure payment, 8.02(b) Modifications, 2.04(a)-(b), 2.05(b) Outsourced work, 2.02(b) Reasonable, 2.02, 2.07(b), 2.08(b), 2.09(b), 2.12(b) Retainer, see Retainers Shifting, 2.05(c) Splitting (sharing), 2.12(a)-(b), 4.07 Termination, fees on, 2.11(a)-(b) Trust accounts, 2.14 Unpaid fees, 12.07(a)-(b) Windfall, 2.05(b), 2.08(a), 2.12(a) Fee agreements Contingent, see Contingent fee Contracts, 2.01, 2.02(c), 2.05(c) Fiduciary limits, 2.02(c), 2.04(b) Initial agreement, 2.02(a) Judicial supervision, 2.06(b) Modifications, 2.04(a)-(b), 2.05(b) Retainer, see Retainers Statutory limits, 2.05(a) Written, rules requiring (chart), 2.03 Fiduciary duty Breach of, 5.04(d), 5.04(e), 9.07(b) Client control in client-lawyer relationship, 3.02(a)-(d) Client s fiduciary duties, 1.27 Competence, see Competence obligation Confidentiality, see Confidentiality obligations Diligence, see Diligence obligation Disclosure, see Disclosure and communication obligations
Index of Subjects 299 Fee agreements, fiduciary limits on, 2.02(c), 2.04(b) How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Investing in a client business, 12.01(a)-(b) Loyalty obligation, 7.01 Five C s (the 5 C s), 1.01 Former clients Actual awareness of client information, 7.37 Arbitrators, 7.39(b) Changing firms, 1.29(a) Conflicts of interest, generally, 7.07(a)(3), 7.08 Confidentiality, generally, 1.23, 7.34 Disengaging from the client, effect of, 7.34(b) Family members, 7.34(c) Inside (general) counsel, 7.34(e) Judges, 7.39(b) Mediators, 7.39(a)-(b) Peripheral participation in former-client case, 7.36(a)-(b) Screening, 7.35(a)-(e) Substantially related transaction, 7.34(f) Substantial relationship test, 7.34(d) Withdrawal to take conflicting representation, 7.34(a) Fraud and misrepresentation Boilerplate assertions, 9.05(b) Client lies to IRS agent, 8.04(e) Exception to confidentiality, privilege, and immunity, 6.09(g), 6.12(a)-(c) Generally, 6.09(g), 6.12(a)-(c), 8.04(d), 9.05(c) Tax advice, liability as tax preparer, 8.04(a) Identity and purpose of surveillance, 8.04(b) Mediation, 8.04(f) Negotiations, 8.04(c) Professional obligations, 8.04(d) Regulation of deceit, 9.05(c) Settlement based on, 9.05(a) Frivolous lawsuits and advocacy Last-minute suits, 8.05(a) Regulation of, 8.05(b) Fundraising for client, 9.04(a) Gifts from client, 7.13, 9.10(a) Government lawyers Contact with represented persons, 8.10(e)-(f) Former government lawyers, conflicts and, 7.38(a)-(b) Grounds for discipline, 9.03 Imputation of law firm Actual awareness of client information, 7.37 Generally, 7.05
300 Red Flags Confidentiality, 1.29(a)-(b) Joint-client conflicts, 7.31(b) Peripheral participation in former-client case, 7.36(a)-(b) Personal conflicts, 7.21 Screening chart, 7.35(e) Shared office space, 1.29(b) Changing firms, 7.31(a) Ineffective assistance of counsel, 5.04(b), 9.08 Informed consent Authority and control in client-lawyer relationship, 3.04(d) Confidentiality waiver, 4.05(a)-(b), 6.07(g) Conflict waiver, 4.06(a)-(c), 7.09(a)-(b) Contingent fees, 4.07 Disclosure, see Disclosure and communication obligations Fee splitting (sharing), 4.07 Generally, 4.03(a), 4.07 Obtaining, 4.03(b) Reasonably adequate information, 4.03(b) Settlement offers, 4.04(a)-(b), 7.18(a)-(b) Written confirmation of, 4.03(a), (b) Insurance defense Confidential policy defense, 7.34(b) Insurance company as client, 1.17(a) Insured as client, 1.17(a)-(b) Joint clients in, 1.17(a) Litigation strategy, 7.33(a) Settlement, 7.35(c) Understanding the tripartite relationship, 7.36(d) Joint clients Boiler-plate joint defense agreement, 7.23(a) Business ventures, 7.28(b) Competing for scarce resources, 7.28(d) Confidentiality, generally, 7.23(a)-(b) Conflicts of interest, generally, 7.22 Cooperative venture, 12.05(a) Co-parties, generally, 7.26 Criminal defense, 7.27(a)-(b) Divorce and dissolution, 7.24(a), 7.32(b) Dual professional difficulties, 12.05(b) Family members, 1.13, 7.24(b), 7.32(b) Generally, 1.15, 7.22, 7.26, 7.28(e) Imputation of law firm, 7.31(b) Insurance defense, 1.17(a) Organizational clients, 1.19(b), 7.30(g) Real estate transactions, 7.28(a) Transactions, generally, 7.28(e)
Wills, 7.28(c) Judges and judicial responsibility Appearance of impropriety, 10.04(d) Bias, judicial, 10.02(a)-(b) Campaigns and campaigning, 10.04(c), 10.05(a)-(b) Competence, 10.01(a)-(c) Diligence, 10.01(a)-(c) Disqualification, see Judicial disqualification and recusal Duty to sit, 10.01(a) Ex parte communications, 10.03(a)-(b) Fairness, 10.02(b) Former clients, 7.39(b) Generally, 10.01(c) Impartiality, 10.02(b) Impropriety, 10.04(d) Judicial opinions, 11.06(a)-(b) Judicial speech, 10.05(b) Mediation, coerced, 10.01(b) Recusal, see Judicial disqualification and recusal Settlement, coerced, 10.01(b) Judicial disqualification and recusal See also Judges and judicial responsibility Appearance of impropriety, 10.04(d) High school classmate, 10.04(a) Previous commitment, 10.04(b) Campaign influence, 10.04(c) Impropriety, 10.04(d) Judicial opinions, 11.06(a)-(b) Lawyer codes, 11.03(a) Loss of contractual rights Gifts from client, 7.13, 9.10(a) Undue influence, 9.10(c) Use of information for other purposes, 6.03(b), 9.10(b) Loyalty obligation Generally, 7.01 Conflicts of interest, see Conflicts of interest Malpractice Chart, 5.04(e) Ineffective assistance of counsel, 9.08 Limiting liability for malpractice as conflict of interest, 7.17 Tort liability, 9.07(b) Media Rights as contingent fee, 7.14(a)-(b) Trial publicity, 8.14(a) Mediators Coerced mediation, 10.01(b) Index of Subjects 301
302 Red Flags Former clients and, 7.39(a)-(b) Lying to, 8.04(f) Mental health of lawyers The disconnect, 12.10(a) Law and life, 12.10(b) Misrepresentation, see Fraud and misrepresentation Multidisciplinary practice, 8.12(b), 12.08(a)-(c) Multiple clients, see Joint clients Negotiation ethics, 8.04(c) Organizational entity Accommodation clients, 1.28(a)-(b) Bankruptcy of company, 1.20(c) Constituents, 1.18(b)-(d), 1.19(a)-(b), 7.30(a)-(f) Corporate buyouts, 1.18(a) Disclosures to employees, 7.30(g) Family-owned businesses, 1.18(c) Generally, 1.18(b)-(d) Identity change, 1.20(d) Insurance company, 1.17(a) Joint clients, 1.19(b), 7.30(g) Officers, employees, and members, 1.18(b)-(d), 1.19(a)-(b), 7.30(a)-(f), 8.10(c) Privileged information, 6.04(f)-(g), 6.05(d) Subsidiaries, 1.18(c)-(d), 7.30(c) Third parties, obligations to, see Third parties Outsourcing work, 2.02(b) Plea bargaining, 4.04(a)-(b), 7.18(a)-(b) Practice restrictions Agreements that restrict the right to practice law, 8.12(a) Ancillary business, 8.12(b), 12.08(a)-(c) Multidisciplinary practice, 8.12(b), 12.08(a)-(c) Multijurisdictional practice, 8.12(c) Privileged information Boilerplate labeling, 6.04(d) Client dishonesty or fraud, 6.09(g), 6.12(a)-(c) Client identity, 6.04(c), 6.11(b) Client-lawyer (attorney-client) privilege, 6.04(b) Chart of exceptions, 6.06(a)-(b) Conflicts of law and jurisdiction, 6.13(a)-(d) Court order as exception, 6.12(a)-(c) Distinguished from confidentiality obligation, 6.01(a)-(c), 6.04(a)-(b) Exceptions, see Exceptions to confidentiality Express or implied authorization as exception, 6.07(a)-(g) Financial harm exception, 6.09(a) Generally, 6.04(b) Law as exception, 6.12(a)-(c) Lawyer self-defense exception, 6.10(a)-(d)
Organizational entity privilege, 6.04(f)-(g), 6.05(d) Public documents, 6.04(c) Scope of, 6.04(b) Seeking advice as exception, 6.11(a)-(c) Threatened serious bodily harm as exception, 6.08(a)-(g) Underlying facts not protected, 6.04(c), (e) Unprivileged disclosure, 5.04(c) Work-product, see Work-product immunity Prospective clients Advertising, see Advertising Beauty contests, 1.05(c) Casual advice, 1.05(a), 1.09(a) Competent advice and, 1.05(a), 1.05(d) Confidentiality obligations to, 1.05(c), (d), 6.02(a)-(B) Consulting lawyers, 1.10 Disclaimers, 1.06(a), 1.07 Duties to, legal, 1.05(a), 1.05(d) Email, 1.08(a)-(c) Family members, 1.13, 7.24(b), 7.32(b), 7.34(c) Know when to say no, 1.09(b) Joint clients, 1.13, 1.15, 1.17(a), 1.19(b) Legal advice, 1.06(b), 1.08(a), 1.09(a) Legal information, 1.06(b) Legal services hotline, 1.14(a) Limited-term pro bono services, 1.14 Non-engagement letter, 1.05(b) Referral fees, 1.11 Rejecting, 1.05(a) Relationship with, establishing, see Client-lawyer relationship Social gatherings, 1.09(a)-(b) Speeches, 1.06(a)-(b) Third-person payments, effect of, 1.16 Unrepresented parties, 1.12 Volunteering for a nonprofit, 1.14(b) Website advertising, 1.08(a), (c) Referral fees, 1.11 Researching the law governing lawyers Advisory (ethics) opinions, 11.07(a)-(b) Basic resources, 11.03(a)-(d) Code provisions, 11.04(a)-(b) Finding all relevant rules, 11.04(a)-(b) Generally, 11.01(a)-(b) Identifying all of the consequences, 11.05(b) Issue spotting (spotting all of the red flags), 11.02(a)-(b) Judicial opinions, 11.06(a)-(b) Lawyer codes, 11.03(a) Index of Subjects 303
304 Red Flags On-line resources, 11.03(d) Overlapping remedies, recognizing Restatement, 11.03(b) Treatises, 11.03(c) Discovering additional guidance, 11.07(b) Restatement, 11.03(b) Retainer letter, see Engagement letter Retainers (fees) Generally, 2.10 General retainers, 2.10(b) Nonrefundable, 2.10(a) Special retainers, 2.10(b) Sarbanes-Oxley Chart: Sarbanes-Oxley and Model Rule 1.13, 8.16(c) Obligations of lawyers, 8.16(b) Settlement Coerced, 10.01(b) Conflicts of interest in aggregate settlements, 4.04(a)-(b), 7.18(a)-(b) Fraud, settlement based on, 9.05(a) Informed consent, 4.04(a)-(b), 7.18(a)-(b) Insurance defense, 7.35(c) Small amount of, tort liability for, 9.07(a) Sexism in the courtroom, 8.09(a) Sharing office space, 1.29(b) Social gatherings, 1.09(a)-(b) Solicitation, see Advertising and solicitation Speeches, 1.06(a)-(b) Statute of limitations missed, 5.06(a) Successor counsel New client, 12.03(a) Collaborative lawyer alternative, 12.03(b) Supervisory and subordinate lawyers Supervising discovery, 12.09(a) When to defer to another lawyer s judgment, 12.09(b) Tax laws and regulations, 8.16(a) Termination Fees on, 2.11(a)-(b) Wrongful, 8.02(e) Third parties, obligation to Accommodation clients, 1.28(a)-(b) Beneficiaries, 1.26(b), 9.06(a) Chart, 9.06(d) Client s fiduciary duties, 1.27 Derivative clients, 1.27 Generally, 1.25, 1.26(a), 9.06(c) Third-party reliance on disclosure, 1.26(a), (b)
Tort liability, 9.06(a)-(d) Triangular relationships, 12.06(a)-(b) Third-party influence Effect of, 7.32(d) Triangular relationships, 12.06(a)-(b) Timely filing Appeal forgotten, 5.05(a) Generally, 5.04(a) How to avoid even more trouble, 5.06(b) How to respond to your error, 5.06(c) Statute of limitations missed, 5.06(a) Third-party payments Effect of, generally, 1.16, 7.32(a), (c) Insurance defense, see Insurance defense Triangular relationships, 12.06(a)-(b) Tort liability Malpractice and, 9.07(b) To clients, 9.07(a)-(b) To third parties, 9.06(a)-(d) Treatises, 11.03(c) Trial publicity, 8.14(a) Triangular relationships, 12.06(a)-(b) Trust accounts, 2.14 Undue influence, 9.10(c) Volunteering for a nonprofit, 1.14(b) Website advertising, 1.08(a), (c) Wills, misguided, 12.04(a) Withdrawal from representation Discretionary, 8.02(c) Failure to pay fees, 8.02(a)-(b) Fees on termination, 2.11(a)-(b) Generally, 8.02(a) Legal grounds for, 8.02(d) Lien on client files to secure payment, 8.02(b) To take conflicting representation, 7.34(a) Wrongful termination, 8.02(e) Work-product immunity Chart, 6.05(d), 6.06(a)-(b) Client dishonesty or fraud, 6.09(g), 6.12(a)-(c) Conflicts of law and jurisdiction, 6.13(a)-(d) Court order as exception, 6.12(a)-(c) Exceptions, see Exceptions to confidentiality Express or implied authorization as exception, 6.07(a)-(g) Financial harm exception, 6.09(a) Generally, 6.05(b) Law as exception, 6.12(a)-(c) Lawyer self-defense exception, 6.10(a)-(d) Index of Subjects 305
306 Red Flags Reports, 6.05(a) Seeking advice as exception, 6.11(a)-(c) Test for determining, 6.05(a) Threatened serious bodily harm as exception, 6.08(a)-(g) Waiver, effect of, 6.05(c), 6.07(g) Witness, lawyer as involuntary, 8.15(a)