The Top 11 of 2021

Welcome to the year’s final Friday!  You’re just in time for the Top 11 in 2021.[1]

I started Ethical Grounds six years ago.  My intent was to blog on issues related to the Rules of Professional Conduct. And that’s what I did: posted updates on things like tech competence, trust accounting, conflicts & confidences, and the perils of communicating with represented persons.

It’s interesting how a blog on legal ethics & professional responsibility has evolved.  I don’t remember anything about the day of my first ever post.  But I guarantee you that I woke up that morning not ever having heard of “lawyer wellness” or “attorney well-being.”

Flash-forward: of 2021’s eleven most-viewed posts, six involve wellness.

Looking at the other posts on the list, part of me is sad that two are about lawyers who are no longer with us.  However, I take comfort in knowing that we’re keeping their memories alive.

Not to mention that I know how mad Joan would be if I spent one more second sad.

Finally, many thanks to each of you who supports the blog.  I’ve said it before and I’ll say it again: there is nothing I like more about this job than interacting and building relationships with readers.

Enjoy the weekend and all the best in 2022.

Happy New Year!

The Top 11 in 2021

  1. Remembering Joan Wing
  2. Lawyer Wellness & Zoom Fatigue
  3. Wellness Wednesday: Compassion Fatigue
  4. Five for Friday #233: Remembering Judge Peter Hall
  5. Vermont Supreme Court Suspends Lawyer for Improper Use & Disclosure of Information Relating to the Representation of Current & Former Clients
  6. Lawyer’s Incivility Factors in Substantially Reduced Fee Award
  7. ABA Issues Guidance on a Lawyer’s Obligations Involving Language Access
  8. Unauthorized Practice or Work-From-Anywhere? An encouraging update from New York
  9. Emotional Regulation and the Power of “What’s Important Now?”
  10. A lesson from my Dad, Nandi, and the Foo Fighters: Experience Awe
  11. How NOT to sue for your fee

Legal Ethics

[1] The top 11 honors my mom.  Whether planning for a ride or to get together, she’ll suggest that we meet, for example, at “6:28.”  Because why is 6:30 any better or more deserving than 6:28?  Indeed!

Sanctions imposed for lawyer’s failure to cite to controlling & adverse authority.

I’ve worked in the Professional Responsibility Program a long time. I’ve screened, investigated, and prosecuted hundreds of disciplinary complaints and responded to thousands of ethics inquiries. I don’t recall a single complaint or inquiry involving Rule 3.3(a)(2) the Vermont Rules of Professional Conduct. Indeed, but for a random trivia question, I don’t think I’ve ever even mentioned the rule at a CLE or seminar.

The rule states:

  • “a lawyer shall not fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel.”

Yesterday, the ABA Journal posted Judge slams Davis Wright for failing to mention settled, adverse case law, orders $40K in sanctions In a nutshell, lawyers representing a hospital asked a court to issue an injunction to prevent medical workers from striking. Under settled law, the court did not have the jurisdiction to do so.  As such, the court issued this order in which it imposed sanctions after concluding that the lawyers knowingly failed to disclose controlling authority that was adverse to their client. 

I understand that the absence of evidence isn’t necessarily evidence of absence.  Still, given the numbers in the opening paragraph, failing to disclose controlling authority doesn’t appear to be a significant issue in Vermont.  Nevertheless, the story is instructive.

According to the opinion, when ordered to show cause as to why a sanction shouldn’t issue, the lawyers argued

  • “that although in hindsight they could have done more to alert the Court of binding, contrary precedent, their actions are not sanctionable because they were merely arguing for an ‘extension’ of existing caselaw and were unable to identify any case ‘on all fours’ with the underlying facts here.”

The next line:

  • “This explanation is meritless.”

It goes without saying that intentionally failing to disclose controlling authority is a problem.  As stated in Comment [4] to Rule 3.3: “legal argument based on a knowingly false representation of law constitutes dishonesty toward the tribunal.”  Further, as is clear from today’s story, it’s no excuse that, surely, the other side will cite to the authority that you failed to mention.[1]

But my practical takeaway is this: don’t slice it too thin when confronted with questions such as “is this case on point?” or “is it adverse to our position?” Better to face a challenge head on than, as happened here, to have a court write this about you:

  • “It is not credible to believe this was merely an inadvertent omission. Additionally, [the lawyer’s] post-hoc argument, where he pieces together bits from his earlier memo to argue he indirectly alerted the Court to the jurisdictional issues, is unconvincing.”

As always, be careful out there.

sanctions

[1] Surely you didn’t think I could let that sentence pass without thinking of this.

Monday Morning Honors #242

Merry Monday!

Friday’s questions are here. The answers follow today’s Honor Roll.

And speaking of honors, congrats to those who read this post and who knew that a Gestetner is a type of copying machine.  Ah, the sweet smell of the old days!

Honor Roll

 

Answers

Question 1

 A comment to one of the Rules of Professional Conduct addresses “gifts to lawyers.”  Per the comment, can a lawyer ethically accept a gift from a client?

  • A.  No.
  • B.  Yes, but only if the client’s matter has ended and the client is a “former client.”
  • C.  Yes, if the transaction meets general standards of fairness.  V.R.Pr.C. 1.8, Comment 6.
  • D.  It doesn’t matter what the comment says. No client would ever give a gift to a lawyer.

Question 2

 True story: my microphone wasn’t working too well during a CLE I presented via Zoom this morning.  I didn’t discuss this issue during the CLE, but let’s pretend that I did.

Due to a bad mic, attendees would’ve heard the following clipped phrase: “significant risk . . . responsibilities to another client or former client . . . materially limits the representation.”

What concept was I discussing?

Conflicts of Interest.  Specifically, a concurrent conflict of interest as defined by V.R.Pr.C. 1.7(a)(2).

Question 3

Fill in the blank.

“A lawyer who receives a document relating to the representation of the lawyer’s client and knows or reasonably should know that the document was inadvertently sent shall promptly __________.”

  • A.  destroy the document.
  • B.  segregate the document.
  • C.  return the document to the sender.
  • D.  notify the sender.   

 The question uses the exact language of V.R.Pr.C. 4.4(b).  Comments 2 and 3 are important.  Also, please review my post Duties Associated with Inadvertent Receipt & Production.

 Question 4

 This one might be too difficult.  But, as a reward to the lawyers who sat through the trust accounting seminar that I did for the VBA’s Bankruptcy Section this morning, here it is:

Lawyer called me with an inquiry.  I replied “they escheat to the state. Check out the State Treasurer’s website for more information.”

Using context clues, what does “they” refer to?

Abandoned trust funds.  Meaning, the lawyer knows who the funds belong to, but cannot locate the person.

Question 5

Family gatherings can make for the best holiday stories!

I’ve referenced many television shows on this blog. Perhaps none more than a 90s sitcom.

There’s an episode in which much of the action takes place at the home of one of the main character’s parents, where everyone has gathered to celebrate a holiday.  In real life, the holiday falls on December 23.

A particular item is integral to celebrating the holiday.  One of the main character’s relatives is a big fan of the item. He likes it because it doesn’t require any decorations, isn’t as distracting as tinsel, and the aluminum has an amazing strength-to-weight ratio.

Question:            Name the holiday and the item.

Bonus:                 I mentioned Christmas cards in the introduction.  Well, in the same episode, the haracter whose family hosted the celebration gave out holiday cards in which he invited recipients to donate to a charity.  Name the charity.

The show is Seinfeld, the holiday is Festivus, and the itme is George’s father’s Festivus Pole.

 George’s fake charity:  The Human Fund (Money for people)

 Congrats to the Honor Roll member who is a verified donor and who sent me this picture:

 IMG_4091

 We are everywhere!

Five for Friday #242

Welcome to Friday and the 242nd legal ethics quiz.

I don’t have a new story this week.  Instead, I’m going to revise one that I shared a few years ago.

In the summer of 2019, I came across an advisory ethics opinion that the Texas State Bar issued in 1958.  The opinion concluded that:

  • “It is improper for an attorney to send Christmas cards to his clients which indicate that he is an attorney at law either on the cards or their envelopes.”

Yes. In fact, the opinion addressed the impropriety of sending a Christmas card that identified the sender as the recipient’s attorney.  It went on:

  • “If the Christmas cards and the envelope merely stated the name of the sender without any reference to his being an attorney, the sending thereof would not violate the Canons of Ethics of the State Bar.”

I remember chuckling as I thought “wow, the things that we thought were important in 1958.” Today, it makes me laugh to envision this scenario:

  •  Client: did you see the card we got from Mike Kennedy?
  • Client’s spouse: Who is Mike Kennedy?
  • Client: I don’t know.
  • Client’s spouse: Is there any contact info?
  • Client: Yes, an email address. I’ll send one.

(Client opens laptop)

  • Client’s email to MK: Thank you for the card. But who are you and how did you get our address?
  • MK’s reply: You’re welcome. I’m not allowed to answer.
  • Client’s reply: Stop contacting us!  You’ll be hearing from our lawyer!!
  • MK’s reply: That’s what makes this so difficult.

Anyhow, the profession’s views on legal ethics & professional responsibility have evolved since 1958. I’m aware of no clamor to sanction lawyers who send holiday (or other) cards to clients in which they identify themselves as lawyers.  As we approach 2022, our task is to continue to evolve.

There’s a theory in coaching that once a team stops looking for ways to improve, it stops improving. What’s comfortable and works well for the team today will someday be stale.

Legal ethics and professional responsibility are no different.  It’s likely that every single one of us is doing something today that makes sense now.  But, years from now, we’ll look back and wonder why we ever did it this way.

Yes, legal ethics and professional responsibility have evolved since 1958.  But now is no time to think we’ve figured it all out.  For 2022, let’s resolve to continue to look to improve.  To consider and to embrace change that makes the legal profession healthier.

Onto the quiz!

the-quiz

Rules

  •  Open book, open search engine, text-a-friend.
  • Exception:  Question 5.  We try to play that one honest.
  • Unless stated otherwise, the Vermont Rules of Professional Conduct apply
  • Team entries welcome, creative team names even more welcome.
  • E-mail answers to michael.kennedy@vermont.gov
  • I’ll post the answers & Honor Roll on Monday
  • Please consider sharing the quiz with friends & colleagues
  • Share on social media.  Hashtag it – #fiveforfriday

Question 1

 A comment to one of the Rules of Professional Conduct addresses “gifts to lawyers.”  Per the comment, can a lawyer ethically accept a gift from a client?

  • A.  No.
  • B.  Yes, but only if the client’s matter has ended and the client is a “former client.”
  • C.  Yes, if the transaction meets general standards of fairness.
  • D.  It doesn’t matter what the comment says. No client would ever give a gift to a lawyer.

Question 2

 True story: my microphone wasn’t working too well during a CLE I presented via Zoom this morning.  I didn’t discuss this issue during the CLE, but let’s pretend that I did.

Due to a bad mic, attendees would’ve heard the following clipped phrase: “significant risk . . . responsibilities to another client or former client . . . materially limits the representation.”

What concept was I discussing?

Question 3

This the text of one of the Rules of Professional Conduct.  Fill in the blank.

“A lawyer who receives a document relating to the representation of the lawyer’s client and knows or reasonably should know that the document was inadvertently sent shall promptly __________.”

  • A.  destroy the document.
  • B.  return the document to the sender.
  • C.  notify the sender.
  • D.  A or B.

 Question 4

This one might be too difficult.  But, as a reward to the lawyers who sat through the trust accounting seminar that I did for the VBA’s Bankruptcy Section this morning, here it is:

Lawyer called me with an inquiry.  I replied “they escheat to the state. Check out the State Treasurer’s website for more information.”

What does the “they” in my response refer to?

Question 5

Family gatherings can make for the best holiday stories!

I’ve referenced many television shows on this blog. Perhaps none more than a 90s sitcom.

On the show, there’s an episode in which much of the action takes place at the home of one of the main character’s parents, where everyone has gathered to celebrate a holiday. In real life, the holiday falls on December 23.

A particular item is integral to celebrating the holiday.  One of the main character’s relatives is a big fan of the item. He likes it because it doesn’t require any decorations, isn’t as distracting as tinsel, and the aluminum has an amazing strength-to-weight ratio.

Question:  Name the holiday and the item.

Bonus:  I mentioned Christmas cards in the introduction. Well, in the same episode, the character whose family hosted the celebration gave out holiday cards in which he invited recipients to donate to a fake charity.  Name the fake charity.

Logan Lucky and how to avoid neglecting client matters for 20 years.

I watched Logan Lucky last month.  I loved it but am not sure whether it’s a caper or a heist.  I was leaning towards “heist,” but then I found this review.  If a source such as The Atlantic considers it a caper, who am I to disagree?

Anyhow, over their careers, the Logan brothers have developed the “Top Ten Rules For Robbing Banks.”  Here’s a still from the movie:

Logan Lucky 10 rules

The 10th is relevant to today’s post.  If the picture is too small, #10 is “Hang Up And Know When To Walk Away.”

Keep that in mind as you read on.

When it comes to bizarre attorney discipline cases, I’ve investigated, prosecuted, and blogged about my fair share. This one is in a category of its own.  A category that I don’t know what to name or how to describe.

Last week, the Louisiana Supreme Court suspended a lawyer for a year and a day.  A tweet from Massachusetts Assistant Bar Counsel David Kluft alerted me to the opinion.[i]

The case involved two counts.  The first paragraph related to Count I might make you wonder if there’s a typo.

  • “In 1991, Joseph Duplessis, Sr. and his three brothers hired respondent to handle an employment discrimination lawsuit against their employer. According to Mr. Duplessis, their legal matter appeared to be progressing until Hurricane Katrina in 2005. Thereafter, respondent failed to return Mr. Duplessis’ telephone calls or otherwise keep him informed of the status of the case. When respondent did speak to Mr. Duplessis, she offered what he considered to be excuses as to why the case had not progressed. In 2011, respondent sent discovery requests to the defendant but received no response. She never confirmed that the defendant was served with the discovery requests and never filed a motion to compel the defendant to respond.”

There’s no typo.  The lawyer served the discovery requests twenty years after being retained. Alas, that didn’t get the matter back on track. Thus, in 2015, the client filed a disciplinary complaint against the lawyer. Formal disciplinary proceedings followed.

Count II is as strange.  It alleges that the lawyer neglected another client’s matter for 20 years. If I’m reading the opinion correctly, it appears as the second client’s timeline was:

  • 1994: hired lawyer
  • 1995: lawyer filed lawsuits on client’s behalf in state & federal court
  • 1995: federal case dismissed for lack of jurisdiction
  • 1997: lawyer served discovery requests in state court action
  • 1998: lawyer filed a motion to set the matter for trial
  • 2002: client filed a disciplinary complaint against lawyer
  • 2004: lawyer was sanctioned by Louisiana disciplinary authorities
  • 2004: client continued to retain lawyer
  • 2012: client filed another disciplinary complaint against lawyer
  • 2016: lawyer filed a motion to compel responses to discovery requests served in 2001, 2004, 2007, 2010, and 2013.  It was the first motion filed, by either party since lawyer’s 1998 motion to set the matter for trial.

Wow.

As I blogged in June, a lawyer has a duty to provide a client with candid legal advice. The duty includes giving the client legal advice that the client does not want to receive.  Or, as stated in Comment [1] to V.R.Pr.C. 2.1:

  • “A client is entitled to straightforward advice representing the lawyer’s honest assessment. Legal advice often involves unpleasant facts and alternatives that a client may be disinclined to confront.  In presenting advice, a lawyer endeavors to sustain a client’s morale and may put advice in as acceptable a form as honesty permits. However, a lawyer should not be deterred from giving candid legal advice by the prospect that the advice will be unpalatable to the client.”

In the opinion suspending the lawyer, the Louisiana Supreme Court wrote:

  • “We do not minimize the significance of the delay in respondent’s resolution of the two legal matters at issue, which resulted in harm to her clients. Nevertheless, we recognize that respondent did not cause her clients to lose a right or remedy in their legal matters.”

In other words, it appears that neither of the lawyer’s clients had much of a case.  Among other factors, this mitigated against a longer suspension.

I don’t know how it’s possible that the lawyer’s clients’ cases languished for so long.  Therefore, I will not comment on the fact that they did.  Rather, the neglect aside, I’ll reemphasize June’s post on V.R.Pr.C. 2.1.

The duty to render candid legal advice includes informing a client of their prospects.  Might the client fire you upon receiving bad news?  Yes.  But at least you won’t end up starring in a caper that ends with your law license suspended.

Hang up and know when to walk away.

[i] Here’s to bald bar counsels!

Wellness (every)Day: emotional regulation and the power of “what’s important now?”

In July 2017, I posted W.I.N. Your 3-Feet of Influence.  I shared how a basketball team that I coached used “W.I.N.” – What’s Important Now? – as a tool to focus our energies on the things that we could control. The post was this blog’s most read in 2017. Ever since, I’ve used both this space and CLE podiums to argue that the “W.I.N.” mindset could lead to a healthier, more civil profession.

Wellness

My pitch is best reflected in this video on Emotional Intelligence. I recorded it in conjunction with 2020’s Well-Being Week in Law.  It includes mention of how we need to understand (1) that we will experience negative emotions; and (2) that it is okay to acknowledge that we are experiencing them.  From there, I argued that employing “what’s important now” when confronted with a negative emotion can improve emotional IQ.

Having long been interested in the topic and its connection to attorney wellness, I was pleased yesterday to find Law Practice Today’s Emotional Regulation: What It Is and Why Lawyers Need It.

I recommend the article.

Here is the opening paragraph:

  • “Law schools and legal employers are struggling to meet the growing demands for lawyers who possess not only the intellectual capability to perform the demanding work of a lawyer, but also the emotional intelligence to perform that work with interpersonal skills, while also maintaining a sense of well-being. Lawyer well-being and lawyer performance – two critical issues that historically have seemed antithetical to one another.”

True.  Historically, we’ve made the choice binary.  Fortunately, that’s changing.  The article goes on:

  • “In today’s legal climate, well-being and performance are less of an ‘either/or’ and more of ‘both/and’ leaving both law schools and legal employers scrambling to find how to teach both emotional and substantive skills. Many firms, other legal employers, and law schools are beginning to teach emotional intelligence (EI or EQ) and emotional regulation (ER). While you may have heard of emotional intelligence, emotional regulation is a relative newcomer to the vernacular. Emotional regulation is a component of emotional intelligence. Together, EQ and ER can help lawyers improve their well-being, heighten their interpersonal skills, and build fulfilling and successful careers.”

I love the premise.  Wellness is not inconsistent with performance.  Rather, wellness is an aspect of competence.  And, when confronted with a negative aspect of the profession, focusing on what’s important now is a critical aspect of wellness.

In other words, something will happen today that causes negative emotions.  A client will be angry. Opposing counsel will refuse to extend a deadline. A judge will be short with you. You cannot control how they impacted you and it is okay to acknowledge that they impacted you negatively. But, for your own well-being, before responding, try to pause and consider “what’s important now?”

Again, please consider reading the entire article. It presents a compelling argument that emotional regulation – or what’s important now? – is a powerful and productive response to the stress and anxiety all too prevalent in the profession.

Oh.  Yes, I’m aware that today is Thursday.  But wellness is important even when it isn’t Wednesday.

Related Posts

Ontario Court Addresses Tech Competence as a Tool to Increase Court Access.

Before we start, here’s an old-fashioned challenge.  “Old-fashioned” in the sense that you are not allowed to do any research or to ask for assistance.

What is a Gestetner?

Anyone who  emails me the correct answer will receive a spot on the next #fiveforfriday Honor Roll in Legal Ethics.

19gadnnsbbmz0jpg

Last week on his LawSites blog, Robert Ambrogi posted Ontario Court Lays Down the Law on Technology Competence and Video ProceedingsThe post recounts a discovery dispute that resulted in this order.

In short, Plaintiff’s counsel wanted to conduct in-person witness “examinations.”  Ambrogi reports that an “examination” is the equivalent of a deposition.  Defense counsel objected to appearing in-person, asking instead to proceed remotely.

The order summarizes the competing arguments.

Plaintiff’s counsel, who is in Toronto, argued that “that he has gone to a Toronto Blue Jays game with thousands of fans. Society is opening and he should be able to examine for discovery in person. He adds that in his view it is the ‘best’ method to conduct an examination well and properly.”

Meanwhile, the Ottawa-based defense countered that “we are in the fourth wave of the pandemic. While some parts of society are re-opening with appropriate precautions, the defendants prefer not to get together in an examiners’ office with the parties opposite, staff, and the crowd of other counsel, parties, and witnesses often there for other cases.”

In the end, the court sided with the defense, ordering that, absent an agreement to appear in-person, the examinations would be done remotely.  In reaching its conclusion, the court made several observations on how tech competence can increase access.  For example,

  • “Arrangements so that litigants do not have to take a full day off work; drive downtown and pay $40 or more for parking; or take the bus for 90 minutes each way; are real savings that promote participation and access to justice.  If a lawyer can avoid travel and waiting time because she is working at her desk until she signs-on to a virtual examination or hearing, transaction costs are decreased for clients. Avoiding paying a lawyer to come to Toronto or to go to another place is also\significant cost savings for a client through virtual proceedings. Lawyers can participate in proceedings in multiple locations on the same day virtually. The increase in efficiency in their practices is substantial.”

Next, the court conceded that there are risks associated with virtual proceedings. Specifically, participants’ unfamiliarity with technology, off-screen coaching, and an informal setting that is not as likely to result in a “solemnity for the process.”

Nevertheless, noting that technology continues to evolve in helpful ways, the court concluded that, even when the pandemic ends, we shouldn’t necessarily “just go back to the way it was.” Doing so “assumes that the ‘good old days’ were actually good.”

Finally, and as Ambrogi reported, here’s where the court laid down the law on tech competence and court access:

  • “As to the balance of convenience and any other relevant matters, [Plaintiff’s counsel] submitted that just because virtual procedures are ‘easier and more convenient’ does not overcome the presumption that examination in person is the best way to examine a witness. Au contraire I say. Efficiency, affordability, and enhanced access to justice trump counsels’ comfort and presumptions every time. With the current pace of change, everyone has to keep learning technology. Counsel and the court alike have a duty of technological competency in my respectful view.”

Then, after noting that more experienced attorneys might not be as familiar with technology as newer lawyers, the court stated:

  • “Technological change affects everyone. Once upon a time, I had to learn how to use a Gestetner (Google it) and then a fax machine. I do not accept that in person is just ‘better’. It can be in some cases. But if counsel just prefers it because he or she is more comfortable with it, ought we to reject the printer because I liked my Gestetner (and Word Perfect for that matter)? The balance of convenience favours easier and more convenient processes with accompanying cost savings.”

There you have it. Competence includes tech competence, and tech competence can increase access.

Who’d have thunk it?

Monday Morning Answers: #241

Merry Monday!

Friday’s questions are here. The video version of today’s answers is here.  It’s about 12 minutes long and includes a bit more explanation than follows below.  Otherwise, the answers follow today’s Honor Roll.  Congrats (and thank you) to all who entered!

Honor Roll

  • Karen Allen, Karen Allen Law
  • Matthew Anderson, Pratt Vreeland Kennelly Martin & White
  • Alberto Bernabe, Professor of Law, University of Illinois Chicago
  • Penny Benelli, Dakin & Benelli
  • Andrew Delaney, Martin Delaney & Ricci
  • Heather Devine, Tarrant, Gillies, Shems
  • Robert Grundstein
  • Glenn Jarrett, Jarrett & Luitjens
  • Keith Kasper, McCormick, Fitzpatrick, Kasper & Burchard
  • Elizabeth Kruska, Immediate Past-President, Vermont Bar Association Board of Managers
  • John Leddy, McNeil, Leddy & Sheahan
  • Jack McCullough, Project Director, Mental Health Law Project, Vermont Legal Aid
  • Jeffrey Messina, Messina Law
  • Hal Miller, First American Title Insurance, Hawaii Agency State Counsel
  • Keith Roberts, Darby Kolter & Roberts
  • Jonathan Teller-Elsberg, Sheehey Furlong & Behm
  • The Honorable John Valente, Vermont Superior Judge
  • Jason Warfield, J.D.
  • Thomas Wilkinson, Cozen O’Connor

Answers

Question 1

 I often refer to the 7 Cs of Legal Ethics.  Professor Alberto Bernabe, a regular member of the Honor Roll, uses a similar construct.  He suggests that students in his Professional Responsibility class remember the “bad grades.”  That is, the Cs, a D, and an F.

Professor Bernabe’s Cs are the same as mine.  The “F” is for “fiduciary.” 

What duty does the “D” stand for?

DILIGENCE.  V.R.Pr.C. 1.3

Question 2

 Prospective Client contacted Lawyer seeking representation in a matter in which Prospective Client’s interests are materially adverse to the interests of one of Lawyer’s former clients.  The new matter is substantially related to the matter in which Lawyer represented Former Client.  However, Lawyer does not remember anything about the representation of Former Client and no longer has access to the file.

Which is most accurate?

  • A.  Because the matters are substantially related to each other, Lawyer is presumed to have received confidential information from Former Client.
  • B.  Because the matters are substantially related to each other, Former Client will not be required to disclose confidences in order to protect them.
  • C.  A & B.  Here’s a video in which I discuss this concept.
  • D.  Whether Lawyer can represent Prospective Client necessarily turns on how long ago the representation of Former Client ended.

Question 3

 Lawyer called me with an inquiry. I listened, then replied: “I wouldn’t call without permission. I understand your point about the matter not yet being in litigation. But the rule isn’t limited to matters that are in litigation. It applies to any matter.”

What’s the topic of the rule I referenced?

COMMUNICATION WITH A REPRESENTED PERSON.  V.R.Pr.C. 4.2

Question 4

 What type of conflict is less likely to be imputed to other lawyers in the same firm as the conflicted lawyer?

  • A.  a conflict between a former client & current client
  • B.  a conflict between current clients
  • C.  a conflict arising from a personal interest of the disqualified lawyer.  See, V.R.Pr.C. 1.10(a).
  • D.  Trick question.  In VT, all conflicts are imputed to others in the same firm.

Question 5

Some people like question 5 to be about pop culture. Others don’t.  Today it’s a bit of both.

Rule 1.2(d) prohibits a lawyer from assisting or advising a client to commit a crime.  The rule draws no distinction between state & federal crimes or between crimes that the government enforces more or less vigorously than others.  As such, the rule used to cause concern for Vermont lawyers representing clients involved in a particular industry.  So much concern that, several years ago, we amended the rule. 

As amended, a new comment clarifies that a lawyer may assist and advise a client on the scope, validity, and meaning of Vermont law that governs a particular product, as long as the lawyer also advises the client as to the potential consequences of the conduct under federal law and policy.

Question:   What industry or product?

Bonus:  Name the celebrity whose famous holiday song uses the product in a rhyme with the holiday.

Double Bonus:   Name the other product that the celebrity uses to rhyme with both the first product and the holiday in a version of the song.  The second product doesn’t raise concerns about Rule 1.2(d) or assisting/advising a client to commit a crime, but it might have during prohibition.

Cannabis/Marijuana is the product.

 Adam Sandler:  The Hanukkah Song

 Gin & Tonic. (marijuanukkak, gin & tonikkah)

adam-sandler-600x450

Five for Friday #241: Sporcle & Prime Numbers

Welcome to Friday and the 241st legal ethics quiz.

I’m way behind today!  And what I’m about to share is probably a story that should remain untold.  So, a good idea would be to skip straight to the quiz.

But where would the fun be in that! Not to mention, I’m in the mood to write and I’m struck by a story that, in a way, incorporates “241.” It’s the story of a strange fascination and an epic fail.

Earlier this week, I posted on the health benefits and importance of awe.  For whatever reason, I’m fascinated by number theory. Every now and then I try to learn more about it. Whenever I do, I’m awed by the mathematical knowledge of people who lived thousands of years ago.  It’s crazy to me that they were able to figure out the things that they did.

Anyhow, the study of prime numbers is a basic component of the field of number theory. Until recently, I thought I had a solid grasp of its fundamentals. So, it was with much confidence that I hit “start” on a 1-minute Sporcle quiz that challenged the brave to click on as many prime numbers as possible without clicking a non-prime.

My first click?  “1.”

The game ended. My score was 0%.

Hold up.  Something must be off.  My mouse must not have been on the “1.”  NBD. I’ll play again.

Again, first click, “1.”

Again, 0%.

Ok.  Now things aren’t just “off.”  Sporcle must be broken.  What a pain.  Whatever.  I’ll try once more.  This time, I’ll click very deliberately and slowly on “1”, to help Sporcle properly register my answer.

The third time wasn’t the charm.  Another 0%.  And it made me mad!

After all, I’m a budding number theorist! I mean, I’m aware that I went to public school and had to retake calculus my freshman year in college.  But it’s not like I never took any math.  Even I know that a prime number is a number that is evenly divisible by both 1 and itself.  And, while perhaps too lawyerly of an argument, it’s beyond dispute that 1 is evenly divisible by both 1 and itself.  Therefore, it’s a prime number.

Still, I didn’t play again.  Why waste my time with a stupid game that didn’t know what it was talking about? Instead, I googled “prime numbers,” eagerly anticipating finding the proof I’d need to cut & paste into a snarky email to Sporcle.

Most of you know what happened next.  Because you’re smarter than I.

The truth I sought doesn’t exist.  As it turns out, 1 is not a prime number.

Wait What

Apparently, a prime number is any number that is evenly divisible by both 1 and exactly one other whole number. Or, as stated in Scientific American,

  • “the reason for 1 not being considered prime is the fundamental theorem of arithmetic, which states that every number can be written as a product of primes in exactly one way. If 1 were prime, we would lose that uniqueness. We could write 2 as 1×2, or 1×1×2, or 1594827×2. Excluding 1 from the primes smooths that out.”

Umm, yeah. Leave me alone.

Armed with my new knowledge, a rational next step would’ve been to return to Sporcle, start the quiz anew, and not click on “1.” Instead, I did what any self-respecting Seinfeld fan would’ve done upon learning that it wasn’t Sporcle, it was me:  I broke up with Sporcle.  Maybe I should dump number theory too.  After all, when it comes to improving my wellness via intellectual growth, I might do best by sticking to my commitment to learn how to make bread.

Anyhow, how’s all this connect to “241?”

Via my new mnemonic.

If I ever find myself in a trivia contest that challenges players to identify the lowest prime number, I’ll remember to substitute 2 for 1.

241.

Onto the quiz!

Rules

  •  Open book, open search engine, text-a-friend.
  • Exception:  Question 5.  We try to play that one honest.
  • Unless stated otherwise, the Vermont Rules of Professional Conduct apply
  • Team entries welcome, creative team names even more welcome.
  • E-mail answers to kennedy@vermont.gov
  • I’ll post the answers & Honor Roll on Monday
  • Please consider sharing the quiz with friends & colleagues
  • Share on social media.  Hashtag it – #fiveforfriday

Question 1

I often refer to the 7 Cs of Legal Ethics.  Professor Alberto Bernabe, a regular member of the Honor Roll, uses a similar construct.  He suggests that students in his Professional Responsibility class remember the “bad grades.”  That is, the Cs, a D, and an F.

Professor Bernabe’s Cs are the same as mine.  The “F” is for “fiduciary.”

What duty does the “D” stand for?

Question 2

Prospective Client contacted Lawyer seeking representation in a matter in which Prospective Client’s interests are materially adverse to the interests of one of Lawyer’s former clients.  The new matter is substantially related to the matter in which Lawyer represented Former Client.  However, Lawyer does not remember anything about the representation of Former Client and no longer has access to the file.

Which is most accurate?

  • A.  Because the matters are substantially related to each other, Lawyer is presumed to have received confidential information from Former Client.
  • B.  Because the matters are substantially related to each other, Former Client will not be required to disclose confidences in order to protect them.
  • C.  A & B.
  • D.  Whether Lawyer can represent Prospective Client necessarily turns on how long ago the representation of Former Client ended.

Question 3

Lawyer called me with an inquiry. I listened, then replied: “I wouldn’t call without permission. I understand your point about the matter not yet being in litigation. But the rule isn’t limited to matters that are in litigation. It applies to any matter.”

What’s the topic of the rule I referenced?

Question 4

What type of conflict is less likely to be imputed to other lawyers in the same firm as the conflicted lawyer?

  • A.  a conflict between a former client & current client
  • B.  a conflict between current clients
  • C.  a conflict arising from a personal interest of the disqualified lawyer
  • D. Trick question.  In VT, all conflicts are imputed to others in the same firm.

Question 5

Some people like question 5 to be about pop culture. Others don’t.  Today, and in the spirit of the holidays, it’s a bit of both.

Rule 1.2(d) prohibits a lawyer from assisting or advising a client to commit a crime.  The rule draws no distinction between state & federal crimes or between crimes that the government enforces more or less vigorously than others.  As such, the rule used to cause concern for Vermont lawyers representing clients involved in a particular industry.  So much concern that, several years ago, we amended the rule.

As amended, a new comment clarifies that a lawyer may assist and advise a client on the scope, validity, and meaning of Vermont law that governs a particular product, as long as the lawyer also advises the client as to the potential consequences of the conduct under federal law and policy.

Question:            What industry or product?

Bonus:  Name the celebrity whose famous holiday song uses the product in a rhyme with the holiday.

Double Bonus:   Name the other product that the same celebrity uses to rhyme with both the holiday and the first product in one version of the song.  The second product isn’t associated with Rule 1.2(d) or assisting/advising a client to violate a crime, although perhaps it was during prohibition.

Important Update on “Don’t Switch Sides” and Analyzing Former Client Conflicts.

Last week I posted a video in which I urged lawyers not to get lost in the language of V.R.Pr.C. 1.9(a).  Rather, when analyzing whether a conflict of interest exists between a prospective client and a former client, remember a simple concept:  don’t switch sides.

In both the video and a presentation that I did earlier this week at Vermont Law School, I argued that the idea “don’t switch sides” is, and long has been, the rule.

For example, with emphasis added, here’s the final sentence of Comment [2] to the current version of Rule 1.9:

  • “The underlying question is whether the lawyer was so involved in the matter that the subsequent representation can be justly regarded as a changing of sides in the matter in question.”

And, stated more eloquently than “don’t switch sides,” here’s Resolution #8 of David Hoffman’s 50 Resolutions for Professional Deportment. Issued in 1836, Hoffman’s resolutions are among the earliest evidence of rules applied to lawyers’ conduct.

  • “It is a poor apology for being found on the opposite side that the present cause is but the ghost of the former cause.”

Indeed, it is!

Anyhow, in the video, I used something that had happened at that day’s basketball practice to explain why I think Rule 1.9 can be summarized as “don’t switch sides.”  I forgot to include an important component of the analysis.

It’s not uncommon for lawyers to ask: “Mike, is it okay to switch sides if I don’t remember anything about the former client or their matter?”

Short answer: no.  If the new matter is substantially related to the prior matter, we will presume that the lawyer received confidential information while representing the former client and we will not put the former client to the “Hobson’s Choice” of having to disclose confidences to protect them.

For a bit more, here’s a video update.