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Oh *!?#@
I Got a Grievance
Attorney Discipline in Ohio
Presented by
Jane K. Gleaves, Esq.
Gov. Bar
Rule V
Allegations of violations of the Rules of
Professional Conduct + the Judicial Canons
Driven by grievances
May be brought by Ohio Disciplinary
Counsel or the Certified Grievance
Committee of a local bar association
Heard by the Board of Professional Conduct
Oh *!?#@,
I got a
grievance
Letter of
INQUIRY
Confidential
Copy of grievance
2 weeks to respond
RESPOND!!
INVESTIGATION
Includes:
Response from attorney/judge
Documents, court files +
witness statements
Determination of probable cause
Send copy to
attorney/judge
1
Review response
2
File with summary of
investigation + response
3
3-member panel of the
Board determines whether
there is probable cause to
file the complaint publicly
Does probable cause
exist to file a complaint?
The process of determining
whether probable cause exists can
take up to 6 months
Confidentiality
Grievant given immunity
Dismissed + confidential
if not certified
During that
6 Months
Complaint is
certified +
made public
Case is made public +
assigned to a different
3-member panel
Hearing within
150 DAYS
HEARING
Rules of
Evidence
Clear +
Convincing
Issues: Facts,
Violations
+ Sanctions
Panel Can
Dismiss
Board
Deliberates
Panel
Reports to
Board
Dismiss
Recommend
findings of fact,
conclusions of
law + a sanction
OR
Show cause order
Briefs filed
Oral argument set
Court not bound by Board’s
recommendation
Sanction Issues
Cooperation Restitution
Remorse/
Attitude
Harm to
Client
Pattern of
Misconduct
Mitigating
Factors
Absence of prior disciplinary record
Absence of dishonest or selfish motive
Timely good faith effort to make restitution
Full + free disclosure in disciplinary process
Character or reputation
Imposition of other sanctions
Chemical dependence or mental disability
Sanction Spectrum
Private
Reprimand
Public
Reprimand
Term
Suspension
Indefinite
Suspension
Permanent
Disbarment
Anywhere from
for a case that is
prosecuted
1-2 YEARS
STATISTICS
71Complaints Filed
with the Board
1385Total Dismissals
After Initial Review
2138Total Investigations
3523 Total Grievances
Statewide
Most
Common
Grievances
Neglect/failure to protect client’s interest
Failure to maintain funds in trust
Excessive Fee
Trial Misconduct
Judicial Misconduct
26%
12%
9%
7%
7%
Takeaways
Communicate with clients1
Answer a letter of inquiry2
Cooperate with the process3
Jane K. Gleaves
Kegler Brown Hill + Ritter
jgleaves@keglerbrown.com
keglerbrown.com/gleaves
614-462-5484
THE AKRON BAR ASSOCIATION’S
GRIEVANCE COMMITTEE:
A SNAPSHOT OF OUR PROCESS
The Akron Bar Association maintains a Certified
Grievance Committee in accordance with Gov.
Bar R V, Section 5.
The Grievance Committee investigates
allegations of misconduct by, and mental illness,
alcohol and other drug abuse, or disorder
affecting attorneys who reside or maintain their
principal office in Summit County. We use the
address with which the attorney is registered
with the Supreme Court to determine
jurisdiction.
The Grievance Committee does not investigate
allegations of misconduct by judicial officers
(including magistrates), officers and members of
the Board of Trustees of the Bar Association
and members of the Grievance Committee and
its Investigative Subcommittee. Grievances
against any of these individuals are referred to
the Office of Disciplinary Counsel.
As required by Gov. Bar R. V, Section 6, the Bar
Association has Bar Counsel who has been certified
by Disciplinary Counsel.
In the past, Bar Counsel was a contract position.
Currently, it is a full-time staff position.
Bar Counsel supervises the receipt and investigation
of grievances and the prosecution of formal
complaints before the Board of Professional Conduct
and the Supreme Court.
Grievances must be in writing and may be submitted
by mail, fax or in person.
E-mail submissions are not accepted.
Upon receipt, Bar Counsel reviews the grievance and
determines whether it contains any allegations, which
if proven, would constitute professional misconduct
under the Ohio Rules of Professional Conduct.
No allegations of professional misconduct: Bar
Counsel sends a “dismissed on intake” letter to the
grievant with an appropriate explanation as to why no
investigation will be opened. A copy of the letter and
of the grievance are sent to the attorney.
If there appears to be allegations of misconduct, Bar
Counsel has the discretion to resolve the matter (i.e.
call the attorney and ask that he or she contact the
client, return the file, etc.) or assign it for investigation.
If assigned for investigation, Bar Counsel notifies both
the grievant and respondent (attorney being
investigated) of the Investigative Subcommittee
member who will be investigating the grievance.
The respondent will be provided a copy of the
grievance and asked to provide a written response as
well as evidence of malpractice insurance or the
communication required by Prof. Cond. R. 1.4, a copy
of the fee agreement, if any, and proof that the
grievant’s retainer was deposited in the respondent’s
IOLTA.
The respondent also is provided with a form that he or
she can use to request that we not provide his or her
written response to the grievant (however, the
investigator verbally can summarize the response to
the grievant).
We also advise the respondent that failure to provide a
response and/or cooperate with the investigation is, in
and of itself, a violation of the Ohio Rules of
Professional Conduct and Gov. Bar R. V.
Once the respondent has provided a response to the
grievance, the investigator contacts both the grievant
and respondent, generally by telephone, and clarifies
any questions regarding the grievance and/or the
response.
The investigator also reviews the case docket,
pleadings and any other documents provided by the
parties and then prepares written findings and
recommendation to the full Investigative
Subcommittee.
The investigation at this point is of a screening nature
to determine if there is probable cause for the
Grievance Committee to conduct a more thorough
investigation.
The Investigative Subcommittee will refer the matter to
the Grievance Committee for further investigation or
recommend the Grievance Committee dismiss the
grievance, either outright or with a referral to Fee
Arbitration.
If the matter is referred to the Grievance Committee for
further investigation, Bar Counsel appoints a three
member panel consisting of two attorneys and one lay
person. The chair of the panel has received the certified
grievance training from the Office of Disciplinary Counsel
as required by Gov. Bar R. V so that he or she can
represent the Bar Association before the Board of
Professional Conduct if a complaint is filed.
The panel conducts face to fact interviews of the grievant
and the respondent with a court reporter present. The
panel also might collect additional information and
documentation and interview other parties as it deems
appropriate.
The panel will prepare written findings and
recommendations to the full Grievance Committee.
If the panel believes that there is substantial credible
evidence of misconduct and that the Bar Association
will be able to meet the burden of proof of clear and
convincing evidence, it will recommend filing a
complaint against the respondent with the Board of
Professional Conduct. Otherwise, the panel will
recommend dismissal, either outright or with referral to
Fee Arbitration.
If the Grievance Committee votes to dismiss a
grievance, either upon the recommendation of the
Investigative Subcommittee or a panel, Bar Counsel
prepares a dismissal letter with an appropriate
explanation as to why the grievance was dismissed. A
copy of the letter is sent to the respondent.
When the Bar Association dismisses a grievance, the
grievant is informed of his or her right to have that
decision reviewed by sending a request to the Board
of Professional Conduct. The Board then will ask the
Office of Disciplinary Counsel (or if Disciplinary
Counsel has a conflict, another certified grievance
committee) to review the file in its entirety, including
the findings of the Investigative Subcommittee and/or
the Grievance Committee.
The standard for this review is abuse of discretion or
error of law.
If the Grievance Committee votes to file a complaint,
the chair of the panel and Bar Counsel work together
to draft the complaint.
Bar Counsel sends respondent a Notice of Intent to
File along with a copy of the complaint and advises
the respondent that he or she has at least 14 days
from receipt of the Notice to provide a response to the
complaint as drafted.
Bar Counsel and the panel chair review respondent’s
response, if any, and may revise the complaint
accordingly.
If significant changes are made to the complaint,
another Notice of Intent to File is sent to respondent
along with a copy of the revised complaint.
Once Bar Counsel and the panel chair are satisfied
with the complaint, it is submitted to the Board of
Professional Conduct along with a Summary of
Investigation (exhibits including the grievance, the
response, transcripts of the interviews, dockets,
pleadings and other documents and information
supporting the allegations contained in the complaint).
If respondent has waived determination of probable
cause, then the Summary of Investigation is omitted.
A three member Probable Cause Panel reviews the
complaint and summary of investigation. The
Probable Cause Panel may certify the complaint in its
entirety, dismiss it in its entirety or dismiss it in part, in
which case, the complaint is returned to the Bar
Association to be revised accordingly.
Up until the certification of the complaint by the
Probable Cause Panel, all proceedings are
confidential and only the respondent can waive that
confidentiality. Once the complaint is filed with the
Board of Professional Conduct, the matter becomes
public record.
Unauthorized Practice of Law:
A bar to admission ?
Jonathan Coughlan
Coughlan Law Firm LLC
81 Mill Street
Columbus, Ohio 43230
614-934-5677
Purpose of UPL
Prohibition
• “protect the public against
incompetence, divided
loyalties, and other
attendant evils that are
often associated with
unskilled representation.”
Cleveland Bar Assn. v.
CompManagement, Inc.,
104 Ohio St.3d 168, 2004-
Ohio-6506
For example --
• Kentucky lawyer
• Properly licensed in
Kentucky
• Working on Kentucky
legal matters
• Only for Kentucky
clients
• At Ohio firm with
Kentucky clients
• From firm’s Cincinnati
office
• While living in
Cincinnati
UPL?
This Photo by Unknown Author is licensed under CC BY
Or…. What about…..
• Washington DC lawyer
• Partner in DC Firm
• Engaged in Federal Regulatory
Practice
• All large corporate clients
• Working for 6 months from Mom’s
house in Cleveland
• Not working on any Ohio matters
• Nor for any Ohio Corporations
UPL?This Photo by Unknown Author is licensed under CC BY-ND
OR.. How about….
• Lawyer licensed in Texas & NY
• Represents clients in both
jurisdictions
• On Tax matters – both state and
federal
• Wife takes a job in Toledo (M.D.)
• Works on client matters from
Toledo home
• Travels to Texas office
occasionally
•UPL?
This Photo by Unknown Author is licensed under CC BY
And, finally……
• Indiana Lawyer
• Works out of Cincinnati
law firm
• On Indiana legal
matters
• For Indiana clients
• Occasionally, assists
Ohio licensed partner
on Ohio matters under
her supervision
• Lives and works during
the evenings in Ohio
home
This Photo by Unknown Author is licensed under CC BY-NC-ND
Rule 5.5 (b)
• A lawyer not admitted in Ohio
shall not:
(1) Establish an office or other
systematic and continuous
presence in Ohio for the
practice of law;
(2) Hold out to the public or
otherwise represent the
lawyer is admitted to practice
law in Ohio
This Photo by Unknown Author is licensed under CC BY-SA
Rule 5.5 (c)
• Lawyer duly licensed in another state may provide legal services on a
temporary basis in this jurisdiction if one or the following apply:
• In association with an Ohio lawyer who participates in the matter;
• Reasonably related to proceeding before tribunal in Ohio or another
state and if the lawyer, or the person lawyer is assisting, is authorized
by law or order to appear or reasonably expects to be so authorized;
• Related to pending/potential mediation, arbitration, ADR, in Ohio or
another state, and services reasonably related to lawyer’s practice
• Lawyer engages in negotiations, investigations, or other nonlitigation
activities that are reasonably related to lawyer’s practice in home
state
• PHEW!
ALL of these possibilities are
contingent on one requirement ---
-
TEMPORARY
This Photo by Unknown Author is licensed under CC BY-SA
First question --
• Does representing
out-of-state clients in
non-Ohio matters
from an Ohio location
constitute practicing
law in Ohio?This Photo by Unknown Author is licensed under CC BY
Gov. Bar R. VII
§2
The rendering of
legal services for
another by any
person not admitted
to practice in Ohio is
UPL
This Photo by Unknown Author is licensed under CC BY-ND
So, in Ohio…
The answer to the
question is YES -- it
is UPL for an
licensed out-of-state
lawyer to work on
their home
jurisdiction matters
while physically in
Ohio…
This Photo by Unknown Author is licensed under CC BY
And, there are
a series of
exceptions to
Gov. Bar Rule
VII § 2….. The
relevant one
here is Rule
5.5
This Photo by Unknown Author is licensed under CC BY-NC-ND
Brings us back to 5.5 (c)
• Lawyer duly licensed in another state may provide legal services on a
temporary basis in this jurisdiction if one or the following apply:
• In association with an Ohio lawyer who participates in the matter;
• Reasonably related to a proceeding before a tribunal in Ohio or another state
and if the lawyer, or the person lawyer is assisting, is authorized by law or
order to appear or reasonably expects to be so authorized;
• Related to pending/potential mediation, arbitration, ADR, in Ohio or another
state, and services reasonably related to lawyer’s practice
• Lawyer engages in negotiations, investigations, or other nonlitigation
activities that are reasonably related to lawyer’s practice in home state
Specific cases
– In re Egan
• Egan worked at Cincy law firm
from 2002 – 2013
• Limited her practice to Kentucky
matters
• 2008 – applied for admission on
motion
• Denied – did not have 5 years
practicing in another
jurisdiction
• 2015 – applied to take 2016
Ohio bar exam
In re Egan
• Lawyer testified she had no idea she
might be engaged in UPL until she met
with counsel to assist with her application
• And the Cincy bar association lawyers
who interviewed her were equally
unaware this might be an issue so they
approved her application
• C & F board found that lawyer had
engaged in UPL – rec’d admission be
denied
• Noting that the “temporary” exception in
5.5(c) did not apply, the Court found she
engaged in UPL
Due to
exemplary
character and
professional
reputation
She was allowed
to sit for the Feb.
2018 exam
So, had to wait from 2015
until Feb 2018
• Not because she engaged in
some questionable conduct in
a single legal matter
• Not because she represented
an Ohio client when she
wasn’t licensed in Ohio
• Not because she had some
legitimate character issues –
truthfulness, or reliability or
trustworthiness
• Not because she had a
substance issue
• NOPE – just because her office
was located in Cincinnati
Another case – Texas/NY Tax Lawyer
• 2014 --Moved to Toledo because of wife’s new
position
• Continuing to represent clients in Texas & NY
• 2016 -- Decided to offer Tax Clinic at Law
School
• 2016 Sought admission on motion to Ohio bar
• Had requisite 5 years in another jurisdiction
• BUT what was the one difference between his
circumstances and Egan’s?This Photo by Unknown Author is licensed under CC BY-NC-ND
Rule 5.5 (b)
• A lawyer not
admitted in Ohio shall
not – establish an
office to other
systematic and
continuous presence
in Ohio for the
practice of law
This Photo by Unknown Author is licensed under CC BY-SA-NC
His actions violated
the “Boots on the
ground” rule just as
much as Egan’s
BOTH represented
clients from their
home jurisdiction &
both did so from an
Ohio location
This Photo by Unknown Author is licensed under CC BY-NC
Latest case …
Alice A. Jones
2009 --Licensed in Kentucky
2009- 2015 Worked in Kentucky
2/2015 – her firm was acquired by Dinsmore
10/2015 – applied to take Ohio bar
11/2015 – moved to Cincy, worked in Cincy
office
ONLY worked on Kentucky matters for
Kentucky clients
Cincy Bar Association approved her application
Alice A.
Jones
05/2016 – C & F requested supplemental affidavit
11/2016 – C & F hearing panel appointed
04/2017 – C & F hearing held
08/2017 – Admission denied, order confirmed only
issue was her physical presence in Ohio, requested
an affidavit saying – ceasing practice in Ohio and only
engaging in services of a paralegal.
Jones refused to abandon Kentucky clients and
submit an affidavit with a faulty premise
(that she did not fit under 5.5 (c))
And since C & F
order in Aug.
2017
04/2018 – Supreme Court issued show cause order
07/2018 – Case argued to Supreme Court
Since 2015 Jones has –
Worked exclusively on Kentucky matters
Traveled to Kentucky to work on client matters
Maintained Dinsmore’s Kentucky address and phone #,
business cards & professional profile on firm’s website
Jones’
argument – in
compliance
with 5.5 (c)
Lawyer duly licensed in another state
may provide legal services on a
temporary basis in this jurisdiction if:
Reasonably related to proceeding before
a tribunal in Ohio or another state and if
the lawyer, or the person lawyer is
assisting, is authorized by law or order
to appear in such proceeding or
reasonably expects to be so authorized;
Temporary
because her
application
has been
pending this
whole
time….
This Photo by Unknown Author is licensed under CC BY-SA-NC
So, which is it?
• Is she an out-of-state lawyer who
established an office with a
systematic and continuous
presence in Ohio for the practice
of law?
OR
• Is she temporarily providing
services related to pending or
potential proceedings before a
tribunal in another jurisdiction
where the lawyer is authorized to
appear?
The End
Jonathan E. Coughlan
Coughlan Law Firm LLC
81 Mill St. Suite 300
Columbus, Ohio 43230
614-934-5677
SWITCHING
Law Firms:
Walking the Tight Rope
Presented by
Chris Weber
Opinion 99-414
RPC 5.6
No restrictive
covenants
Permissible Planning
ACTIONS
Obtain office space, supplies,
equipment
Financing
Prepare list of clients expected
to leave the firm
Inform clients
WHOto Notify
RPC 1.4
Inform clients
RPC 7.3a
In person/phone/real
time electronic
Ohio’s
GUIDE
Clients with whom lawyer had
“significant personal contacts”
“Determined from
prospective of client”
“Who at firm represents you”
Fred Siegel
CASE
Buckingham
CASE
WHENto Notify
HOWto Notify
Joint Letter
from law firm and
departing lawyer
Date of departure
Status of matter
Whom to contact
for file transfer
Client options
Fee on deposit
Address A/R
No Joint Letter?
Separate letter – RPC 1.4
Don’t disparage
Cover same
contents
Don’t encourage
clients to sever ties
with the firm
Client
FILE
Cooperate with transfer
Bear expense to copy
Don’t hold hostage
RPC 1.5
Fees
Firm DON’Ts
Don’t disparage
Don’t restrict access to records
Don’t refuse to provide new
contact info
DO monitor departing
lawyer’s emails
Lawyer DON’Ts
Don’t take client lists
Don’t take firm property/records
Don’t take firm’s financial data
ODC v.
Robinson
CASE
Cleve. Bar v.
Azman
CASE
Additional Client Considerations
Confidentiality Change of
Counsel
Refund
Unearned Fees
RPC 1.6
Disclosure for
conflict purposes
SIDESwitching
RPC 1.10
Chris Weber
Kegler Brown Hill + Ritter
cweber@keglerbrown.com
keglerbrown.com/weber
614-462-5415
Presented by
Jason Beehler
WHOis the client?
Is there a
Roger
Don
Bert
Pete
Share
Upon death or dissolution of a Member, the other
Members shall have the option to purchase; if the
other Members exercise such option to purchase,
then the affected Member or the personal
representative of the estate of the deceased Member
shall sell all of the Company Units owned by the
Seller. The Purchaser shall exercise such option, if at
all, by written notice of exercise delivered to the
Seller within one hundred eighty (180) days after the
occurrence of the Triggering Event. The purchase
price and terms of payment for such purchase shall
be as provided in Sections 10.5, 10.6, and 10.7 below.
RPC 1.7
Conflicts
A lawyer’s acceptance or continuation
of representation of a client creates a
conflict of interest if either:
Representation of client will be directly
adverse to another current client; OR
There’s substantial risk the lawyer’s
ability to consider, recommend, or carry
out an appropriate course of action for
that client will be materially limited by
lawyer’s responsibilities to another
client, a former client, a third person or
by the lawyer’s own personal interests
CRITICAL
Questions
Difference in interests between the client
and lawyer or between two clients exists
or is likely to arise?
Whether this difference in interests will
materially interfere with the lawyer’s
independent professional judgment?
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
RPC 1.7
Conflicts
Even if clients consent, can’t
accept representation if either:
Prohibited by law; OR
One client will be asserting a claim
against another in the same
proceeding
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
Will the
check clear?
ACCEPT
representation
REJECT
representation
Competent +
diligent
representation
to each client
Legal knowledge, skills,
thoroughness, prep
Dedication to client interests
Ability to “see it through”
to conclusion
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
Informed
consent
confirmed in
writing
Aware of relevant circumstances
Reasonably foreseeable adverse
effects of conflict
Highly fact specific
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
Not prohibited
by division (c)
Is it prohibited by law?
Is one party asserting claim
against another?
Usually arises in litigation,
not transactional
Is there a
RPC 1.7
Conflicts
Depending on the
circumstances, a material
limitation conflict may be
present
CRITICAL
Questions
Difference in interests between the client
and lawyer or between two clients exists
or is likely to arise?
Whether this difference in interests will
materially interfere with the lawyer’s
independent professional judgment?
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
IMPORTANCE
of an Engagement Letter
“We understand that our
clients are Don Draper,
Bertram Cooper, Roger
Sterling + Pete Campbell”
Define scope
Avoid “Re: Legal
Representation”
Define what you’re
doing
Define what you’re
NOT doing
RPC 1.7
Conflicts
Whether the lawyer may
properly request a client to
waive conflicts that might arise
in the future is subject to the
test of division (b)
Shall not accept/continue
representation unless:
Competent +
diligent
representation
to each client
Informed
consent,
confirmed in
writing
Not prohibited
by division (c)
RPC 1.7
Conflicts
The effectiveness of such
waivers is generally determined
by the extent to which the
client reasonably understands
the material risks that the
waiver entails
Sophisticated client
Particular type of conflict
With which the client
is already familiar
Unsophisticated client
General/open-ended waiver
Limited explanation
RPC 1.7
Conflicts
A lawyer cannot represent
multiple parties to a
negotiation whose interests are
fundamentally antagonistic,
regardless of their consent
Are they
How would
you tell
Sophisticated client(s)
Agree on key terms
All over but the drafting
Problem
RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
YOU
Don, just send me an
email while we’re on the
phone, confirming that
it’s okay we proceed
without your lawyer.
RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
RPC 1.7
Conflicts
The rule applies even though the
represented person initiates or
consents to the communication. A
lawyer must immediately terminate
communication with a person if,
after commencing communication,
the lawyer learns that the person is
one with whom communication is
not permitted by this rule
Can you discuss
with in-house
counsel
RPC 4.2
Represented Person
A lawyer shall not communicate
about the subject of the
representation with a person the
lawyer knows to be represented by
another lawyer in the matter, unless
the lawyer has the consent of the
other lawyer or is authorized to do
so by law or a court order
From: Other party’s lawyer
To: Other party
cc: You
Subject: Why we will destroy the other side
Dear So-and-so:
The other party is weak, but they will get weaker. Their Board is
starting to revolt. We will have a huge opportunity to buy for
pennies if we wait two weeks. I would recommend cooling
negotiations for now. Let’s move when they start to circle the
drain.
Sincerely,
Other party’s lawyer
RPC 4.4Respect for Third Parties
A lawyer who receives a
document or ESI relating to the
representation of the lawyer’s
client and knows or reasonably
should know that the document
or ESI was inadvertently sent
shall promptly notify the sender
From: Other party’s lawyer
To: Other party
cc: You
Subject: Why we will destroy the other side
ATTORNEY CLIENT PRIVILEGED COMMUNICATION
Dear So-and-so:
The other party is weak, but they will get weaker. Their Board is
starting to revolt. We will have a huge opportunity to buy for
pennies if we wait two weeks. I would recommend cooling
negotiations for now. Let’s move when they start to circle the
drain.
Sincerely,
Other party’s lawyer
Do you have to
stop reading?
Do you have to
delete it?
RPC 4.4Respect for Third Parties
Where a lawyer is not required
by applicable law to do so, the
decision to voluntarily return
such a document or delete ESI is
a matter of professional
judgment ordinarily reserved to
the lawyer
From: Me
To: Other party
Subject: Inadvertent communication
Dear Other party’s lawyer:
This morning you inadvertently copied me on what appeared to
be a privileged communication with your client. As soon as I
realized what it was, I stopped reading it and permanently
deleted all copies from all of my electronic mailboxes. If the
communication was intended for me, please re-send it.
Sincerely,
Me
CLIENT
(seller)
We would be willing to
have some of the deal
money paid by way of an
earnout provision.
YOU
Paying some of the
purchase price through
an earnout is a non-
starter.
Problem
RPC 4.1
Truthfulness
In the course of representing a client,
a lawyer shall not knowingly do either
of the following:
Make a false statement of material fact
or law to a third person
Fail to disclose a material fact when
disclosure is necessary to avoid
assisting in an illegal or fraudulent act
by a client
YOU
I don’t think an earnout
is going to work.
YOU
Earnouts come with all
kinds of problems on the
back end that I want to
avoid for my client.
Try again.
CLIENT
(CFO)
Find us tax savings. We’ll
pay you 30% of whatever
you save us.
Fee issue
RPC 1.5
Fees + Expenses
A fee may be contingent on the
outcome of the matter for which the
service is rendered:
Shall be in writing signed by client +
lawyer, explain terms
Lawyer must prepare closing
statement
RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
YOU
We spent three hours
and found one (lawful)
change that will save you
$3 million.
YOU
Please make our
$990,000 check out to
Kegler Brown Hill +
Ritter, LPA.
Excessive
RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
CLIENT
(CFO)
Find us tax savings. We’ll
pay you 5% of whatever
you save us.
YOU
We spent 40 hours ($12k
of billable hours) and
found one change that
will save you $1 million.
YOU
Please make our $50,000
check out to Kegler
Brown Hill + Ritter, LPA.
Excessive
RPC 1.5
Fees + Expenses
A lawyer shall not make an
agreement for, charge, or collect an
illegal or clearly excessive fee. To
determine if reasonable:
Time and labor, difficulty, skills
required
Amount involved, results obtained,
experience of lawyer, etc.
Real estate deal
Real estate deal
Opposing counsel sends it back
No redlines
“Looks good. Thanks.”
Problem
RPC 3.4Fairness to opposing counsel
This is all about litigation – no
faking evidence, concealing
evidence, disobeying the court, etc.
RPC 4.1
Truthfulness
In the course of representing a client,
a lawyer shall not knowingly do either
of the following:
Make a false statement of material fact
or law to a third person
Fail to disclose a material fact when
disclosure is necessary to avoid
assisting in an illegal or fraudulent act
by a client
RPC 4.1
Truthfulness
[1] A lawyer is required to be
truthful when dealing with others
on a client’s behalf.
RPC 4.1
Misconduct
It is professional misconduct for a
lawyer to do any of the following:
(c) Engage in conduct involving
dishonesty, fraud, deceit, or
misrepresentation
Jason H. Beehler
Kegler Brown Hill + Ritter
jbeehler@keglerbrown.com
keglerbrown.com/beehler
614-462-5452

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2018 Ethics Symposium- Akron Bar

  • 1.
  • 2. Oh *!?#@ I Got a Grievance Attorney Discipline in Ohio Presented by Jane K. Gleaves, Esq.
  • 3. Gov. Bar Rule V Allegations of violations of the Rules of Professional Conduct + the Judicial Canons Driven by grievances May be brought by Ohio Disciplinary Counsel or the Certified Grievance Committee of a local bar association Heard by the Board of Professional Conduct
  • 4. Oh *!?#@, I got a grievance
  • 6. Confidential Copy of grievance 2 weeks to respond RESPOND!!
  • 7. INVESTIGATION Includes: Response from attorney/judge Documents, court files + witness statements Determination of probable cause
  • 8.
  • 11. File with summary of investigation + response 3
  • 12. 3-member panel of the Board determines whether there is probable cause to file the complaint publicly
  • 13. Does probable cause exist to file a complaint? The process of determining whether probable cause exists can take up to 6 months
  • 14. Confidentiality Grievant given immunity Dismissed + confidential if not certified During that 6 Months
  • 16. Case is made public + assigned to a different 3-member panel
  • 18. HEARING Rules of Evidence Clear + Convincing Issues: Facts, Violations + Sanctions Panel Can Dismiss
  • 21. Show cause order Briefs filed Oral argument set Court not bound by Board’s recommendation
  • 23. Mitigating Factors Absence of prior disciplinary record Absence of dishonest or selfish motive Timely good faith effort to make restitution Full + free disclosure in disciplinary process Character or reputation Imposition of other sanctions Chemical dependence or mental disability
  • 25. Anywhere from for a case that is prosecuted 1-2 YEARS
  • 27. 71Complaints Filed with the Board 1385Total Dismissals After Initial Review 2138Total Investigations 3523 Total Grievances Statewide
  • 28. Most Common Grievances Neglect/failure to protect client’s interest Failure to maintain funds in trust Excessive Fee Trial Misconduct Judicial Misconduct 26% 12% 9% 7% 7%
  • 29. Takeaways Communicate with clients1 Answer a letter of inquiry2 Cooperate with the process3
  • 30. Jane K. Gleaves Kegler Brown Hill + Ritter jgleaves@keglerbrown.com keglerbrown.com/gleaves 614-462-5484
  • 31. THE AKRON BAR ASSOCIATION’S GRIEVANCE COMMITTEE: A SNAPSHOT OF OUR PROCESS
  • 32. The Akron Bar Association maintains a Certified Grievance Committee in accordance with Gov. Bar R V, Section 5. The Grievance Committee investigates allegations of misconduct by, and mental illness, alcohol and other drug abuse, or disorder affecting attorneys who reside or maintain their principal office in Summit County. We use the address with which the attorney is registered with the Supreme Court to determine jurisdiction.
  • 33. The Grievance Committee does not investigate allegations of misconduct by judicial officers (including magistrates), officers and members of the Board of Trustees of the Bar Association and members of the Grievance Committee and its Investigative Subcommittee. Grievances against any of these individuals are referred to the Office of Disciplinary Counsel.
  • 34. As required by Gov. Bar R. V, Section 6, the Bar Association has Bar Counsel who has been certified by Disciplinary Counsel. In the past, Bar Counsel was a contract position. Currently, it is a full-time staff position. Bar Counsel supervises the receipt and investigation of grievances and the prosecution of formal complaints before the Board of Professional Conduct and the Supreme Court.
  • 35. Grievances must be in writing and may be submitted by mail, fax or in person. E-mail submissions are not accepted. Upon receipt, Bar Counsel reviews the grievance and determines whether it contains any allegations, which if proven, would constitute professional misconduct under the Ohio Rules of Professional Conduct.
  • 36. No allegations of professional misconduct: Bar Counsel sends a “dismissed on intake” letter to the grievant with an appropriate explanation as to why no investigation will be opened. A copy of the letter and of the grievance are sent to the attorney. If there appears to be allegations of misconduct, Bar Counsel has the discretion to resolve the matter (i.e. call the attorney and ask that he or she contact the client, return the file, etc.) or assign it for investigation.
  • 37. If assigned for investigation, Bar Counsel notifies both the grievant and respondent (attorney being investigated) of the Investigative Subcommittee member who will be investigating the grievance. The respondent will be provided a copy of the grievance and asked to provide a written response as well as evidence of malpractice insurance or the communication required by Prof. Cond. R. 1.4, a copy of the fee agreement, if any, and proof that the grievant’s retainer was deposited in the respondent’s IOLTA.
  • 38. The respondent also is provided with a form that he or she can use to request that we not provide his or her written response to the grievant (however, the investigator verbally can summarize the response to the grievant). We also advise the respondent that failure to provide a response and/or cooperate with the investigation is, in and of itself, a violation of the Ohio Rules of Professional Conduct and Gov. Bar R. V.
  • 39. Once the respondent has provided a response to the grievance, the investigator contacts both the grievant and respondent, generally by telephone, and clarifies any questions regarding the grievance and/or the response. The investigator also reviews the case docket, pleadings and any other documents provided by the parties and then prepares written findings and recommendation to the full Investigative Subcommittee.
  • 40. The investigation at this point is of a screening nature to determine if there is probable cause for the Grievance Committee to conduct a more thorough investigation. The Investigative Subcommittee will refer the matter to the Grievance Committee for further investigation or recommend the Grievance Committee dismiss the grievance, either outright or with a referral to Fee Arbitration.
  • 41. If the matter is referred to the Grievance Committee for further investigation, Bar Counsel appoints a three member panel consisting of two attorneys and one lay person. The chair of the panel has received the certified grievance training from the Office of Disciplinary Counsel as required by Gov. Bar R. V so that he or she can represent the Bar Association before the Board of Professional Conduct if a complaint is filed. The panel conducts face to fact interviews of the grievant and the respondent with a court reporter present. The panel also might collect additional information and documentation and interview other parties as it deems appropriate.
  • 42. The panel will prepare written findings and recommendations to the full Grievance Committee. If the panel believes that there is substantial credible evidence of misconduct and that the Bar Association will be able to meet the burden of proof of clear and convincing evidence, it will recommend filing a complaint against the respondent with the Board of Professional Conduct. Otherwise, the panel will recommend dismissal, either outright or with referral to Fee Arbitration.
  • 43. If the Grievance Committee votes to dismiss a grievance, either upon the recommendation of the Investigative Subcommittee or a panel, Bar Counsel prepares a dismissal letter with an appropriate explanation as to why the grievance was dismissed. A copy of the letter is sent to the respondent.
  • 44. When the Bar Association dismisses a grievance, the grievant is informed of his or her right to have that decision reviewed by sending a request to the Board of Professional Conduct. The Board then will ask the Office of Disciplinary Counsel (or if Disciplinary Counsel has a conflict, another certified grievance committee) to review the file in its entirety, including the findings of the Investigative Subcommittee and/or the Grievance Committee. The standard for this review is abuse of discretion or error of law.
  • 45. If the Grievance Committee votes to file a complaint, the chair of the panel and Bar Counsel work together to draft the complaint. Bar Counsel sends respondent a Notice of Intent to File along with a copy of the complaint and advises the respondent that he or she has at least 14 days from receipt of the Notice to provide a response to the complaint as drafted. Bar Counsel and the panel chair review respondent’s response, if any, and may revise the complaint accordingly.
  • 46. If significant changes are made to the complaint, another Notice of Intent to File is sent to respondent along with a copy of the revised complaint. Once Bar Counsel and the panel chair are satisfied with the complaint, it is submitted to the Board of Professional Conduct along with a Summary of Investigation (exhibits including the grievance, the response, transcripts of the interviews, dockets, pleadings and other documents and information supporting the allegations contained in the complaint). If respondent has waived determination of probable cause, then the Summary of Investigation is omitted.
  • 47. A three member Probable Cause Panel reviews the complaint and summary of investigation. The Probable Cause Panel may certify the complaint in its entirety, dismiss it in its entirety or dismiss it in part, in which case, the complaint is returned to the Bar Association to be revised accordingly. Up until the certification of the complaint by the Probable Cause Panel, all proceedings are confidential and only the respondent can waive that confidentiality. Once the complaint is filed with the Board of Professional Conduct, the matter becomes public record.
  • 48. Unauthorized Practice of Law: A bar to admission ? Jonathan Coughlan Coughlan Law Firm LLC 81 Mill Street Columbus, Ohio 43230 614-934-5677
  • 49. Purpose of UPL Prohibition • “protect the public against incompetence, divided loyalties, and other attendant evils that are often associated with unskilled representation.” Cleveland Bar Assn. v. CompManagement, Inc., 104 Ohio St.3d 168, 2004- Ohio-6506
  • 50. For example -- • Kentucky lawyer • Properly licensed in Kentucky • Working on Kentucky legal matters • Only for Kentucky clients • At Ohio firm with Kentucky clients • From firm’s Cincinnati office • While living in Cincinnati UPL? This Photo by Unknown Author is licensed under CC BY
  • 51. Or…. What about….. • Washington DC lawyer • Partner in DC Firm • Engaged in Federal Regulatory Practice • All large corporate clients • Working for 6 months from Mom’s house in Cleveland • Not working on any Ohio matters • Nor for any Ohio Corporations UPL?This Photo by Unknown Author is licensed under CC BY-ND
  • 52. OR.. How about…. • Lawyer licensed in Texas & NY • Represents clients in both jurisdictions • On Tax matters – both state and federal • Wife takes a job in Toledo (M.D.) • Works on client matters from Toledo home • Travels to Texas office occasionally •UPL? This Photo by Unknown Author is licensed under CC BY
  • 53. And, finally…… • Indiana Lawyer • Works out of Cincinnati law firm • On Indiana legal matters • For Indiana clients • Occasionally, assists Ohio licensed partner on Ohio matters under her supervision • Lives and works during the evenings in Ohio home This Photo by Unknown Author is licensed under CC BY-NC-ND
  • 54. Rule 5.5 (b) • A lawyer not admitted in Ohio shall not: (1) Establish an office or other systematic and continuous presence in Ohio for the practice of law; (2) Hold out to the public or otherwise represent the lawyer is admitted to practice law in Ohio This Photo by Unknown Author is licensed under CC BY-SA
  • 55. Rule 5.5 (c) • Lawyer duly licensed in another state may provide legal services on a temporary basis in this jurisdiction if one or the following apply: • In association with an Ohio lawyer who participates in the matter; • Reasonably related to proceeding before tribunal in Ohio or another state and if the lawyer, or the person lawyer is assisting, is authorized by law or order to appear or reasonably expects to be so authorized; • Related to pending/potential mediation, arbitration, ADR, in Ohio or another state, and services reasonably related to lawyer’s practice • Lawyer engages in negotiations, investigations, or other nonlitigation activities that are reasonably related to lawyer’s practice in home state • PHEW!
  • 56. ALL of these possibilities are contingent on one requirement --- - TEMPORARY This Photo by Unknown Author is licensed under CC BY-SA
  • 57. First question -- • Does representing out-of-state clients in non-Ohio matters from an Ohio location constitute practicing law in Ohio?This Photo by Unknown Author is licensed under CC BY
  • 58. Gov. Bar R. VII §2 The rendering of legal services for another by any person not admitted to practice in Ohio is UPL This Photo by Unknown Author is licensed under CC BY-ND
  • 59. So, in Ohio… The answer to the question is YES -- it is UPL for an licensed out-of-state lawyer to work on their home jurisdiction matters while physically in Ohio… This Photo by Unknown Author is licensed under CC BY
  • 60. And, there are a series of exceptions to Gov. Bar Rule VII § 2….. The relevant one here is Rule 5.5 This Photo by Unknown Author is licensed under CC BY-NC-ND
  • 61. Brings us back to 5.5 (c) • Lawyer duly licensed in another state may provide legal services on a temporary basis in this jurisdiction if one or the following apply: • In association with an Ohio lawyer who participates in the matter; • Reasonably related to a proceeding before a tribunal in Ohio or another state and if the lawyer, or the person lawyer is assisting, is authorized by law or order to appear or reasonably expects to be so authorized; • Related to pending/potential mediation, arbitration, ADR, in Ohio or another state, and services reasonably related to lawyer’s practice • Lawyer engages in negotiations, investigations, or other nonlitigation activities that are reasonably related to lawyer’s practice in home state
  • 62. Specific cases – In re Egan • Egan worked at Cincy law firm from 2002 – 2013 • Limited her practice to Kentucky matters • 2008 – applied for admission on motion • Denied – did not have 5 years practicing in another jurisdiction • 2015 – applied to take 2016 Ohio bar exam
  • 63. In re Egan • Lawyer testified she had no idea she might be engaged in UPL until she met with counsel to assist with her application • And the Cincy bar association lawyers who interviewed her were equally unaware this might be an issue so they approved her application • C & F board found that lawyer had engaged in UPL – rec’d admission be denied • Noting that the “temporary” exception in 5.5(c) did not apply, the Court found she engaged in UPL
  • 64. Due to exemplary character and professional reputation She was allowed to sit for the Feb. 2018 exam
  • 65. So, had to wait from 2015 until Feb 2018 • Not because she engaged in some questionable conduct in a single legal matter • Not because she represented an Ohio client when she wasn’t licensed in Ohio • Not because she had some legitimate character issues – truthfulness, or reliability or trustworthiness • Not because she had a substance issue • NOPE – just because her office was located in Cincinnati
  • 66. Another case – Texas/NY Tax Lawyer • 2014 --Moved to Toledo because of wife’s new position • Continuing to represent clients in Texas & NY • 2016 -- Decided to offer Tax Clinic at Law School • 2016 Sought admission on motion to Ohio bar • Had requisite 5 years in another jurisdiction • BUT what was the one difference between his circumstances and Egan’s?This Photo by Unknown Author is licensed under CC BY-NC-ND
  • 67. Rule 5.5 (b) • A lawyer not admitted in Ohio shall not – establish an office to other systematic and continuous presence in Ohio for the practice of law This Photo by Unknown Author is licensed under CC BY-SA-NC
  • 68. His actions violated the “Boots on the ground” rule just as much as Egan’s BOTH represented clients from their home jurisdiction & both did so from an Ohio location This Photo by Unknown Author is licensed under CC BY-NC
  • 69. Latest case … Alice A. Jones 2009 --Licensed in Kentucky 2009- 2015 Worked in Kentucky 2/2015 – her firm was acquired by Dinsmore 10/2015 – applied to take Ohio bar 11/2015 – moved to Cincy, worked in Cincy office ONLY worked on Kentucky matters for Kentucky clients Cincy Bar Association approved her application
  • 70. Alice A. Jones 05/2016 – C & F requested supplemental affidavit 11/2016 – C & F hearing panel appointed 04/2017 – C & F hearing held 08/2017 – Admission denied, order confirmed only issue was her physical presence in Ohio, requested an affidavit saying – ceasing practice in Ohio and only engaging in services of a paralegal. Jones refused to abandon Kentucky clients and submit an affidavit with a faulty premise (that she did not fit under 5.5 (c))
  • 71. And since C & F order in Aug. 2017 04/2018 – Supreme Court issued show cause order 07/2018 – Case argued to Supreme Court Since 2015 Jones has – Worked exclusively on Kentucky matters Traveled to Kentucky to work on client matters Maintained Dinsmore’s Kentucky address and phone #, business cards & professional profile on firm’s website
  • 72. Jones’ argument – in compliance with 5.5 (c) Lawyer duly licensed in another state may provide legal services on a temporary basis in this jurisdiction if: Reasonably related to proceeding before a tribunal in Ohio or another state and if the lawyer, or the person lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized;
  • 73. Temporary because her application has been pending this whole time…. This Photo by Unknown Author is licensed under CC BY-SA-NC
  • 74. So, which is it? • Is she an out-of-state lawyer who established an office with a systematic and continuous presence in Ohio for the practice of law? OR • Is she temporarily providing services related to pending or potential proceedings before a tribunal in another jurisdiction where the lawyer is authorized to appear?
  • 75. The End Jonathan E. Coughlan Coughlan Law Firm LLC 81 Mill St. Suite 300 Columbus, Ohio 43230 614-934-5677
  • 76.
  • 77. SWITCHING Law Firms: Walking the Tight Rope Presented by Chris Weber
  • 78.
  • 79.
  • 82. Permissible Planning ACTIONS Obtain office space, supplies, equipment Financing Prepare list of clients expected to leave the firm Inform clients
  • 86. Ohio’s GUIDE Clients with whom lawyer had “significant personal contacts” “Determined from prospective of client” “Who at firm represents you”
  • 91. Joint Letter from law firm and departing lawyer
  • 92. Date of departure Status of matter Whom to contact for file transfer Client options Fee on deposit Address A/R
  • 93. No Joint Letter? Separate letter – RPC 1.4
  • 94. Don’t disparage Cover same contents Don’t encourage clients to sever ties with the firm
  • 95. Client FILE Cooperate with transfer Bear expense to copy Don’t hold hostage
  • 96.
  • 98. Firm DON’Ts Don’t disparage Don’t restrict access to records Don’t refuse to provide new contact info DO monitor departing lawyer’s emails
  • 99. Lawyer DON’Ts Don’t take client lists Don’t take firm property/records Don’t take firm’s financial data
  • 102. Additional Client Considerations Confidentiality Change of Counsel Refund Unearned Fees
  • 106. Chris Weber Kegler Brown Hill + Ritter cweber@keglerbrown.com keglerbrown.com/weber 614-462-5415
  • 108.
  • 109.
  • 113. Upon death or dissolution of a Member, the other Members shall have the option to purchase; if the other Members exercise such option to purchase, then the affected Member or the personal representative of the estate of the deceased Member shall sell all of the Company Units owned by the Seller. The Purchaser shall exercise such option, if at all, by written notice of exercise delivered to the Seller within one hundred eighty (180) days after the occurrence of the Triggering Event. The purchase price and terms of payment for such purchase shall be as provided in Sections 10.5, 10.6, and 10.7 below.
  • 114. RPC 1.7 Conflicts A lawyer’s acceptance or continuation of representation of a client creates a conflict of interest if either: Representation of client will be directly adverse to another current client; OR There’s substantial risk the lawyer’s ability to consider, recommend, or carry out an appropriate course of action for that client will be materially limited by lawyer’s responsibilities to another client, a former client, a third person or by the lawyer’s own personal interests
  • 115. CRITICAL Questions Difference in interests between the client and lawyer or between two clients exists or is likely to arise? Whether this difference in interests will materially interfere with the lawyer’s independent professional judgment?
  • 116. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 117. RPC 1.7 Conflicts Even if clients consent, can’t accept representation if either: Prohibited by law; OR One client will be asserting a claim against another in the same proceeding
  • 118. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 120. Competent + diligent representation to each client Legal knowledge, skills, thoroughness, prep Dedication to client interests Ability to “see it through” to conclusion
  • 121. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 122. Informed consent confirmed in writing Aware of relevant circumstances Reasonably foreseeable adverse effects of conflict Highly fact specific
  • 123. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 124. Not prohibited by division (c) Is it prohibited by law? Is one party asserting claim against another? Usually arises in litigation, not transactional
  • 126. RPC 1.7 Conflicts Depending on the circumstances, a material limitation conflict may be present
  • 127. CRITICAL Questions Difference in interests between the client and lawyer or between two clients exists or is likely to arise? Whether this difference in interests will materially interfere with the lawyer’s independent professional judgment?
  • 128. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 129. IMPORTANCE of an Engagement Letter “We understand that our clients are Don Draper, Bertram Cooper, Roger Sterling + Pete Campbell”
  • 130. Define scope Avoid “Re: Legal Representation” Define what you’re doing Define what you’re NOT doing
  • 131.
  • 132.
  • 133. RPC 1.7 Conflicts Whether the lawyer may properly request a client to waive conflicts that might arise in the future is subject to the test of division (b)
  • 134. Shall not accept/continue representation unless: Competent + diligent representation to each client Informed consent, confirmed in writing Not prohibited by division (c)
  • 135. RPC 1.7 Conflicts The effectiveness of such waivers is generally determined by the extent to which the client reasonably understands the material risks that the waiver entails
  • 136. Sophisticated client Particular type of conflict With which the client is already familiar
  • 138. RPC 1.7 Conflicts A lawyer cannot represent multiple parties to a negotiation whose interests are fundamentally antagonistic, regardless of their consent
  • 141. Sophisticated client(s) Agree on key terms All over but the drafting
  • 142.
  • 143.
  • 145. RPC 4.2 Represented Person A lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order
  • 146. YOU Don, just send me an email while we’re on the phone, confirming that it’s okay we proceed without your lawyer.
  • 147. RPC 4.2 Represented Person A lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order
  • 148. RPC 1.7 Conflicts The rule applies even though the represented person initiates or consents to the communication. A lawyer must immediately terminate communication with a person if, after commencing communication, the lawyer learns that the person is one with whom communication is not permitted by this rule
  • 149. Can you discuss with in-house counsel
  • 150. RPC 4.2 Represented Person A lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order
  • 151.
  • 152. From: Other party’s lawyer To: Other party cc: You Subject: Why we will destroy the other side Dear So-and-so: The other party is weak, but they will get weaker. Their Board is starting to revolt. We will have a huge opportunity to buy for pennies if we wait two weeks. I would recommend cooling negotiations for now. Let’s move when they start to circle the drain. Sincerely, Other party’s lawyer
  • 153. RPC 4.4Respect for Third Parties A lawyer who receives a document or ESI relating to the representation of the lawyer’s client and knows or reasonably should know that the document or ESI was inadvertently sent shall promptly notify the sender
  • 154. From: Other party’s lawyer To: Other party cc: You Subject: Why we will destroy the other side ATTORNEY CLIENT PRIVILEGED COMMUNICATION Dear So-and-so: The other party is weak, but they will get weaker. Their Board is starting to revolt. We will have a huge opportunity to buy for pennies if we wait two weeks. I would recommend cooling negotiations for now. Let’s move when they start to circle the drain. Sincerely, Other party’s lawyer
  • 155. Do you have to stop reading?
  • 156. Do you have to delete it?
  • 157. RPC 4.4Respect for Third Parties Where a lawyer is not required by applicable law to do so, the decision to voluntarily return such a document or delete ESI is a matter of professional judgment ordinarily reserved to the lawyer
  • 158. From: Me To: Other party Subject: Inadvertent communication Dear Other party’s lawyer: This morning you inadvertently copied me on what appeared to be a privileged communication with your client. As soon as I realized what it was, I stopped reading it and permanently deleted all copies from all of my electronic mailboxes. If the communication was intended for me, please re-send it. Sincerely, Me
  • 159. CLIENT (seller) We would be willing to have some of the deal money paid by way of an earnout provision.
  • 160. YOU Paying some of the purchase price through an earnout is a non- starter.
  • 162. RPC 4.1 Truthfulness In the course of representing a client, a lawyer shall not knowingly do either of the following: Make a false statement of material fact or law to a third person Fail to disclose a material fact when disclosure is necessary to avoid assisting in an illegal or fraudulent act by a client
  • 163. YOU I don’t think an earnout is going to work.
  • 164. YOU Earnouts come with all kinds of problems on the back end that I want to avoid for my client. Try again.
  • 165.
  • 166. CLIENT (CFO) Find us tax savings. We’ll pay you 30% of whatever you save us.
  • 168. RPC 1.5 Fees + Expenses A fee may be contingent on the outcome of the matter for which the service is rendered: Shall be in writing signed by client + lawyer, explain terms Lawyer must prepare closing statement
  • 169. RPC 1.5 Fees + Expenses A lawyer shall not make an agreement for, charge, or collect an illegal or clearly excessive fee. To determine if reasonable: Time and labor, difficulty, skills required Amount involved, results obtained, experience of lawyer, etc.
  • 170. YOU We spent three hours and found one (lawful) change that will save you $3 million.
  • 171. YOU Please make our $990,000 check out to Kegler Brown Hill + Ritter, LPA.
  • 173. RPC 1.5 Fees + Expenses A lawyer shall not make an agreement for, charge, or collect an illegal or clearly excessive fee. To determine if reasonable: Time and labor, difficulty, skills required Amount involved, results obtained, experience of lawyer, etc.
  • 174. CLIENT (CFO) Find us tax savings. We’ll pay you 5% of whatever you save us.
  • 175. YOU We spent 40 hours ($12k of billable hours) and found one change that will save you $1 million.
  • 176. YOU Please make our $50,000 check out to Kegler Brown Hill + Ritter, LPA.
  • 178. RPC 1.5 Fees + Expenses A lawyer shall not make an agreement for, charge, or collect an illegal or clearly excessive fee. To determine if reasonable: Time and labor, difficulty, skills required Amount involved, results obtained, experience of lawyer, etc.
  • 179.
  • 180.
  • 182. Real estate deal Opposing counsel sends it back No redlines “Looks good. Thanks.”
  • 184. RPC 3.4Fairness to opposing counsel This is all about litigation – no faking evidence, concealing evidence, disobeying the court, etc.
  • 185. RPC 4.1 Truthfulness In the course of representing a client, a lawyer shall not knowingly do either of the following: Make a false statement of material fact or law to a third person Fail to disclose a material fact when disclosure is necessary to avoid assisting in an illegal or fraudulent act by a client
  • 186. RPC 4.1 Truthfulness [1] A lawyer is required to be truthful when dealing with others on a client’s behalf.
  • 187. RPC 4.1 Misconduct It is professional misconduct for a lawyer to do any of the following: (c) Engage in conduct involving dishonesty, fraud, deceit, or misrepresentation
  • 188. Jason H. Beehler Kegler Brown Hill + Ritter jbeehler@keglerbrown.com keglerbrown.com/beehler 614-462-5452