Chapter 1

Lawyers, Legal Assistants, and the Regulation of the Legal Profession

A Legal Ethics Genealogy

• 1850s Alabama Judge George Sharswood’s lectures lead to the book, Professional Ethics

• 1887 Alabama Bar Association Code of Ethics• 1908 ABA Canons of Professional Ethics• 1969 ABA Model Code of Professional

Responsibility• 1983 ABA Model Rules of Professional Conduct• 1997 ABA Ethics 2000 Commission created• 2002 ABA House of Delegates conclude voting

on the Ethics 2000 recommendations

The ABA Model Code vs. The ABA Model Rules

The ABA Model Code of Professional Responsibility

Adopted by the ABA in 1969

Replaced the ABA Canons of Professional Ethics (1908)

Has a structure of Canons, Ethical Considerations, and Disciplinary Rules

The ABA Model Rules of Professional Conduct

Adopted by the ABA in 1983

Replaced the ABA Model Code of Professional Responsibility

Has a structure of Rules and Comments

Has some rules that are substantively different than the Model Code

Ethics 2000 What is It?

• The name of the process designed to examine and recommend changes to the ABA Model Rules of Professional Conduct

What was the Process?• 1997 – The Ethics 2000 Commission was appointed• 2000 – The Ethics 2000 Commission issued its first report• 2001 – The Ethics 2000 Commission issued its second report• 2002 – The ABA House of Delegates completed its voting on accepting

or rejecting the Ethics 2000 commission’s recommendations

Why does it Matter?• Eventually, jurisdictions that used the ABA Model Rules are likely to

adopt the Ethics 2000 changes• Paralegals working in jurisdictions that will adopt the Ethics 2000

changes will need to adjust their actions accordingly• For example, the Ethics 2000 version of MR 1.10 has an accepted

Comment that allows for the screening of paralegals in order to prevent imputed disqualification of the law firm

Jurisdictions and Their Sources of Attorney Ethics RulesRules Based Upon the ABA Model CodeIowaNew YorkOhioOregonPuerto RicoTennessee (prior to March 1, 2003)

Rules Not Based Upon the ABA Model Code or ABA Model RulesCaliforniaMaine

Rules Based Upon the ABA Model RulesEverywhere else

Types of Attorney Discipline

Private Reprimand– This might protect the attorney’s name from

being disclosed

Short Suspension – Usually, the attorney’s reinstatement is

automatic after the suspension

Significant Suspension– Usually, the attorney needs to apply for

reinstatement

Disbarment– Disbarment is not always permanent (Florida

has a five year disbarment option)

The Arguments For and Against the Clinton Disbarment

For Disbarment A lawyer lied under

oath This lawyer was also

the president The Ark. Disc.

Comm. Recommended disbarment

Against Disbarment The president never lied The president’s under oath

statements concerned his private life The president was acting as a client,

not as a lawyer

Understanding Legal Ethics

Professional Ethics Case Law

Rules of Professional Ethics

Ethics Opinions

How to Brief a Case Facts

What are the key facts important to the case’s resolution?What carries the “story” forward?

IssueWhat is the legal conflict presented?What does the court need to resolve?What are the key facts that make the issue come alive?What legal conflict needs to be created if none is presented?

HoldingWhat is the answer to the issue, or issues?

ReasoningWhat is the court’s explanation for its decision?What rule of law, or ethics rule, is being applied?What key facts are discussed in the reasoning?

DecisionWhat is the court’s conclusion?