1-6
7-12
13-18
19-24
25-30
31-36
37-42
43-48
49-54
55-60
61-66
67-72
73-78
79-84
85-90
91-96
97-102
103-108
109-114
115-120
121-126
127-132
133-138
139
1-6
7-12
13-18
19-24
25-30
31-36
37-42
43-48
49-54
55-60
61-66
67-72
73-78
79-84
85-90
91-96
97-102
103-108
109-114
115-120
121-126
127-132
133-138
139
SUBORDINATE LAWYER
A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted
at the direction of another person.
A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in
accordance with a supervisory lawyer's reasonable resolution of an arguable question of
professional duty.
[1]Although a lawyer is not relieved of responsibility for a violation by the fact that the
lawyer acted at the direction of a supervisor, that fact may be relevant in determining whether a
lawyer had the knowledge required to render conduct a violation of the Rules. For example, if a
subordinate filed a frivolous pleading at the direction of a supervisor, the subordinate would not be
guilty of a professional violation unless the subordinate knew of the document's frivolous character.
[2]When lawyers in a supervisor-subordinate relationship encounter a matter involving
professional judgment as to ethical duty, the supervisor may assume responsibility for making the
judgment. Otherwise a consistent course of action or position could not be taken. If the question
can reasonably be answered only one way, the duty of both lawyers is clear and they are equally
responsible for fulfilling it. However, if the question is reasonably arguable, someone has to decide
upon the course of action. That authority ordinarily reposes in the subordinate lawyer’s supervisor,
another lawyer who has primary responsibility for the representation, or a lawyer who has authority
to resolve such matters on behalf of the firm, and a subordinate may be guided accordingly. For
example, if a question arises whether the interests of two clients conflict under Rule 1.7, the
supervisor's reasonable resolution of the question should protect the subordinate professionally if
the resolution is subsequently challenged.
See Rule 1.0(i)
PROPOSED RULE 5.3
RESPONSIBILITIES REGARDING NONLAWYER ASSISTANTS
comparable managerial authority in a law firm shall make reasonable efforts to ensure that
the firm has in effect measures giving reasonable assurance that the nonlawyer’s conduct is
compatible with these Rules;
nonlawyer shall make reasonable
efforts to ensure that the person's conduct is compatible with these Rules; and
violation of these Rules if engaged in by a lawyer and if:
involved; or
which the person is employed or has direct supervisory authority over the
nonlawyer, and
consequences can be avoided or mitigated but fails to take reasonable
remedial action.
[1] Lawyers generally employ nonlawyers in their practice, including secretaries,
investigators, law student interns, and paraprofessionals. Such employees act for the lawyer in
rendition of the lawyer's professional services. A lawyer should give such employees appropriate
instruction and supervision concerning the ethical aspects of their employment, particularly
regarding the obligation not to disclose information relating to representation of the client, and
should be responsible for their work product. The measures employed in supervising nonlawyers
should take account of the fact that they do not have legal training and are not subject to
professional discipline.
and “Law Firm” See Rule 1.0(d)
“Knows”See Rule 1.0(f)
“Partner”See Rule 1.0(h)
“Reasonable”See Rule 1.0(i)
PROPOSED RULE 5.4
PROFESSIONAL INDEPENDENCE OF A LAWYER
provide for the payment of money, over a reasonable period of time after the
lawyer's death, to the lawyer's estate or to one or more specified persons;
pursuant to the provisions of Rule 1.17, pay to the estate or other representative of that
lawyer the agreed-upon purchase price;
plan, even though the plan is based in whole or in part on a profit-sharing arrangement;
(4) a lawyer may share a court-awarded fee with a client represented in the matter for
the fee was awarded or with a non-profit organization which employed or retained the lawyer in the
matter for which the fee was awarded;
(5) a lawyer who is a full-time employee of a client may share a legal fee with the client
to the extent necessary to reimburse the client for the actual cost to the client of permitting the
lawyer to represent another client while continuing in the full-time employ of the client with
whom the fee will be shared; and
calculated by reference to a reasonable percentage of the fee paid to the lawyer by the
client referred to the lawyer by the intermediary organization.
consist of the practice of law.
legal services for another to direct or regulate the lawyer's professional judgment in rendering such
legal services.
limited liability company authorized to practice law for a profit, if:
(1) anonlawyer owns any interest therein, except that a fiduciary representative of the
of a lawyer may hold the stock or ownership interest of the lawyer for a reasonable time during
administration; or
nonlawyer is a member of the governing board or an officer thereof; or
nonlawyer has the right to direct or control the professional judgment of a lawyer.
[1] The provisions of this Rule largely express the traditional limitations on sharing fees
and the co-ownership of law practices bynonlawyers. These limitations are to protect the lawyer's
prohibition against fee splitting with nonlawyers. These are situations in which there is little risk of
harm resulting from lay attempts to interfere with the independent professional judgment of the
lawyer.
[2] Where someone other than the client pays the lawyer's fee or salary, or recommends
employment of the lawyer, that arrangement does not modify the lawyer's obligation to the client.
As stated in paragraph (c), such arrangements must not interfere with the lawyer's professional
judgment.
See Rue 1.0(d)
“Partner”See Rule 1.0(h)
“Reasonable”See Rule 1.0(i)
PROPOSED RULE 5.5
UNAUTHORIZED PRACTICE OF LAW
lawyer shall not:
profession in that jurisdiction; or
practice of law.
[1] The definition of the practice of law is established by law and varies from one
jurisdiction to another. Whatever the definition, limiting the practice of law to members of the bar
protects the public against rendition of legal services by unqualified persons.
[2]Paragraph (b) does not prohibit a lawyer from employing the services of
paraprofessionals and delegating functions to them, so long as the lawyer supervises the delegated
work and retains responsibility for their work. See Rule 5.3. Likewise, it does not prohibit lawyers
from providing professional advice and instruction to nonlawyers whose employment requires
knowledge of law; for example, claims adjusters, employees of financial or commercial institutions,
social workers, accountants and persons employed in government agencies. In addition, a lawyer
may counsel nonlawyers who wish to proceed pro se.
[3] A lawyer does not assist the unauthorized practice of law if he or she advises a client
with respect to whether an activity constitutes the unauthorized practice of law, accepts an
unsolicited referral of a client from a person whose prior involvement in the matter constituted the
unauthorized practice of law, or defends a person against charges that he or she has engaged in the
unauthorized practice of law.
PROPOSED RULE 5.6
RESTRICTIONS ON RIGHT TO PRACTICE
after termination of the relationship, except an agreement concerning benefits upon
retirement; or
settlement of a controversy between private parties.
[1] An agreement restricting the right of a lawyer to practice after leaving a firm not only
limits the lawyer’s professional autonomy, but also limits the freedom of clients to choose a lawyer.
Paragraph (a) prohibits such agreements except for restrictions incident to provisions concerning
retirement benefits for service with the firm.
[2] Paragraph (b) prohibits a lawyer from agreeing not to represent other persons in
connection with settling a claim on behalf of a client.
[3] This Rule does not apply to prohibit restrictions that may be included in the terms of the
sale of a law practice pursuant to Rule 1.17.