module one regulation of the legal profession introduction legal ethics are the rules of professional conduct for practicing attorneys these rules govern the conduct of attorneys with regard to all aspects of legal practice including dealings with clients the court and third parties the goals of these rules are to ensure the integrity of the legal profession and to specify the responsibilities of a lawyer as a representative of the client as an officer of the legal system and as a public citizen having special responsibility for the quality of justice the standards and requirements of legal ethics stem from a combination of statutory provisions and norms that have been widely adopted in the legal profession sources of legal ethics include the American Bar Association's Model Rules of Professional Conduct directives from state courts guidelines of State Bar associations and the opinions of ethics experts while there's widespread uniformity among states regarding legal ethics the specifics of the rules Professional Conduct are determined by each jurisdiction the Model Rules for Professional Conduct are the most important source of the rules governing lawyers across the country they have been adopted in whole or in part by the high courts or Bar Association's of almost all states admission requirements to qualify for admission to a State Bar most states require that candidates have graduated college or completed most of the requirements to earn an undergraduate degree likewise most states require candidates to have graduated from a law school approved by the American Bar Association though some states provide alternative pathways to admission candidates who meet the education requirements are eligible to sit for the bar examination each state administers the bar exam for eligible candidates and it is usually administered by a committee of the state's highest court each state has its own procedures but generally the exams consists of two parts administered over a two day period traditionally the first part was the multi-state bar exam developed by the National Conference of Bar Examiners a uniform test that tests knowledge of shared common law principles certain widely adopted model codes as well as constitutional law the second part is a state specific exam which tests the candidates knowledge of the laws rules and regulations in effect in that state most states however have now adopted the uniform bar examination which is a standardized exam testing nationwide legal principles in place of the state law specific exam aspiring attorneys must also pass the multi-state Professional Responsibility exam which tests knowledge and understanding of legal ethics and the professional responsibilities of practicing lawyers some states grant permission to members in good standing of other states without requiring the bar exam if they can demonstrate a specified time of legal practice and other criteria before being admitted aspiring attorneys must undergo a character and fitness evaluation and interview the candidate must submit personal information regarding educational and employment history and residential and financial information the candidate must also answer questions about academic infractions and disciplinary measures criminal history and provide character references candidates with criminal histories may still be admitted to practice law though admission may be denied especially if the committee finds evidence of the history of dishonesty such as crimes involving fraud or misappropriation of funds a current history of untreated mental health related problems or ongoing alcohol and substance abuse issues failure to be honest and candid in the character and fitness questionnaire an interview is considered grounds for denial of admission most states require post admission continuing legal education for practicing lawyers to remain a member of the bar in good standing a lawyer must complete the periodic continuing legal education requirements adopted in the state of admission unauthorized practice of law admission to a State Bar and to practice law in that jurisdiction non lawyers and lawyers who are not admitted to practice in the jurisdiction may not practice law generally speaking the practice of law means the application of legal principles and judgments that require the knowledge and skill of a person trained in law to advance the interests and objectives of another party each jurisdiction has its own definition of what types of conduct would be considered the practice of law these typically include a giving advice or counsel to others as to their rights and responsibilities under the law B drafting or completing legal documents or agreements affecting someone else's legal rights C representing someone else before a court or other formal adjudicative body ND negotiating legal rights or responsibilities on behalf of another note that serving in a neutral capacity as a mediator or arbitrator is allowed for a non lawyer even though legal expertise may be required likewise some states allow non lawyers to represent someone in small claims courts and in certain administrative proceedings restrictions on practicing law only limit conduct undertaken on behalf of another person anyone may represent oneself in a legal setting including in court people working under the supervision of licensed lawyers may also undertake certain legal services without bar admission the supervising lawyer is responsible to ensure that those conducting the law related services meet the standards of ethics and professional responsibilities applicable to lawyers thus the lawyer will be responsible for any violations by those under supervision if she instructs or ratifies the conduct of the non lawyer paralegals are non lawyer legal professionals who are qualified by education training or work experience to perform specifically designated substantive legal work for which a lawyer is responsible they are employed by lawyers law firms and government agencies and perform legal services such as legal research drafting of legal documents interviewing clients and witnesses summarizing documents analyzing court records and performing administrative functions for a law office a paralegal may not perform services which are considered to constitute the practice of law and may not establish the attorney-client relationships set legal fees give independent legal opinions or advice to a client or represent a client before a court unless authorized by the court attorneys are admitted to practice law under the auspices of the highest court in each jurisdiction a lawyer may only practice law in a state in which she has been admitted to practice should a lawyer be admitted in one jurisdiction and seek to practice in another state she must seek permission in the second jurisdiction at the discretion of the court an attorney who has good standing in another state may be granted the right to practice on a temporary basis for a specific matter arising in another jurisdiction this is known as pro hac vice admission and it is generally granted if the attorney has a prior relationship with the client or is a specialist in a particular area of law such temporary practice must be undertaken in association with a lawyer who is admitted to practice in that jurisdiction who must actively participate in the matter states may require that the local lawyer vouch for the pro hac vice attorney and sign all papers connected to the case at issue lawyers admitted on a pro hac vice basis are expected to familiarize themselves with the local rules of Professional Responsibility in the state of temporary practice and are subject to local state law and the Disciplinary jurisdiction of the State Bar professional misconduct as the goal of legal ethics and the rules of Professional Responsibility is to maintain the integrity of the legal profession any violation or attempt to violate the rules of professional conduct or to knowingly assist or induce another to do so is considered professional misconduct professional misconduct may be the basis for initiating a disciplinary process against a lawyer lawyers also have the obligation to the legal profession to inform the appropriate authorities if they know that other lawyers have committed professional misconduct if the conduct in question raises substantial questions regarding the lawyers honesty this may manifest itself in a pattern of conduct that makes clear that the lawyer is not meeting her obligations under the professional rules however the obligation to report professional misconduct does not require a disclosure of confidential information which is related to the representation of a client jurisdictions have established different standards for determining under which circumstances the obligation to report professional misconduct applies in one case during the course of the discovery process preceding litigation an attorney being sued by another attorney from his law firm uncovered what he believed to be fraudulent conduct on the part of the plaintiff which amounted to professional misconduct the court held that as a lawyer the defendant had an obligation to report the misconduct despite the fact that there was no absolute certainty as to the misconduct since the defendant had more than mere suspicion that it constituted professional misconduct note that professional misconduct goes beyond violations of the formal rules of professional conduct the model rules outlined several categories of actions which could be considered misconduct including conduct that involves dishonesty or fraud is prejudicial to the administration of justice or is a criminal act that reflects adversely and the lawyer's honesty trustworthiness or fitness as a lawyer likewise harassment or discrimination related to the practice of law on the basis of race sex religion national origin ethnicity disability age sexual orientation gender identity marital status or socioeconomic status is considered professional misconduct legal malpractice lawyers have the duty to provide representation which requires the legal knowledge skill thoroughness and preparation reasonably necessary for legal representation as well as reasonable diligence and promptness in representing a client if a lawyer violates these duties this can give rise to professional disciplinary measures and may constitute legal malpractice which can be the basis of civil liability if a lawyer fails to exercise such ordinarily reasonable skill and knowledge and this breach of Duty causes the client to suffer damages the client can recover damages from the lawyer for negligent breach of Duty proof of this element generally requires the use of expert testimony to explain the attorneys special professional standard of care and what might constitute a breach of that standard a client can only sue a lawyer for malpractice if the client suffers an adverse outcome stemming from the misconduct the client as the plaintiff must prove that he would have prevailed in the underlying case absent the attorneys negligence the plaintiff must demonstrate that the had the lawyer used ordinarily reasonable legal skill and knowledge the outcome of the representation would have been different successfully showing negligence and causation can be difficult because there may be legitimate alternative strategies that a reasonably prudent lawyer might employ under a given set of circumstances the outcome of a case is never guaranteed and simply failing to choose the best course of action is generally not enough to be considered negligence so courts must ask whether the lawyers conduct and decisions were within the range of reasonable alternatives from the perspective of a reasonable careful and prudent lawyer and whether reasonable care was exercised in making these decisions unprofessional and irresponsible malpractice such as missing deadlines failure to appear at court hearings failing to take action within the statute of limitations or serious miss reading of applicable law are most likely to give rise to successful malpractice lawsuits note also that in addition to negligence breach of contract and breach of fiduciary duty can be grounds for malpractice actions sanctions and discipline the most lenient form of discipline is an admonition or reprimand an admonition is a letter from a state disciplinary board to the lawyer which states the facts forming the evidentiary basis for the finding of misconduct and the specific rule or standard that the lawyer violated although the admonition letter is private and does not limit a lawyer's right to practice it may be considered by the board or a court if there is a subsequent finding of misconduct so it increases the risk of more serious sanctions in the future when the violation is deemed to merit broader publicity and awareness the admonition may be published in a suitable medium such as the Journal of the State Bar or a local newspaper for more serious infractions the lawyers right to practice law may be suspended for periods ranging from a few months to several years suspended attorneys may be required to pass a legal ethics examination before being readmitted to the bar during suspension the lawyer may not hold himself out as one who is entitled to practice law and may be required to inform existing clients of the suspension in appropriate circumstances the suspension may be stayed for a probationary period during which the attorney may be required to ameliorate any harm from the violation or to undergo counseling or monitoring related to personal issues connected to an ethics violation the most severe form of discipline a lawyer conveys is disbarment which is the permanent revocation of an attorneys license to practice law disbarment has such far-reaching personal consequences for a lawyer that it's usually reserved for the most egregious and repeated violations of legal ethics examples of the types of conduct which might lead to disbarment include the intentional misappropriation of client funds practicing law while under suspension a demonstrated long-standing pattern of failing to perform legal services for clients in breach of fiduciary duty demanding sexual relations with the client as a condition of professional representation and violation of a court order related to the practice of law in addition the commission of crimes involving the intent to deceive to fraud steel or suborn of oral statements or commission of an offense involving moral turpitude may merit disbarment especially if the crimes are related to the practice of law note that while this apartment involves permanent removal from practicing law some states permit sparked attorney to petition the court for readmission after a period of time generally after several years have past readmission is a lengthy process and highly discretionary disbarred attorneys must demonstrate that they have fully complied with the disbarment order have the requisite character and fitness to practice law and that it would be in the public interest to reinstate the attorney to the practice of law a disciplinary investigation typically begins with a complaint against a lawyer the complaint may be from a client an adversary or a judge a designated investigator will examine the facts and will issue a report to the Disciplinary Board or grievance committee appointed by the state High Court along with a recommendation after the Disciplinary Board reviews the report it may dismiss the matter request an additional investigation or issue a letter of advisement or private admonition to the lawyer if the board concludes that more severe public sanctions are called for it may authorize formal disciplinary hearings before the court the lawyer will receive notice of the proceedings and a statement outlining the allegations the wire will then have the opportunity to submit a reply disputing any allegations along with the names of witnesses and copies of documents that may support the lawyers version of events the court will then make a final determination based on the pleadings and the testimony of witnesses where appropriate in making the determination the court must consider the nature of the misconduct any aggravating or mitigating circumstances the appropriate sanctions per the applicable rules and the applicable case law and precedents the court imposes disciplinary measures in the manner best calculated to protect the public maintain the honor and integrity of the profession and to deter others from committing similar misconduct in our next module we'll look at the attorney-client relationship how it is formed and the duties attorneys owe to their clients