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Professional Responsibility -
ANSWER
The New York Rules of Professional Conduct (RPC) were adopted by the Appellate Divisions
of the New York State Supreme Court in 2009 and are published as Part 1200 of the Joint
Rules of the Appellate Division (22 NYCRR 1200). Other statutes and court rules governing
attorney conduct include: New York Judiciary Law, art. 15; the Rules of the Chief Administra-
tor of the Courts (22 NYCRR Parts
118, 130, 137); and the Joint Rules of the Appellate Division (22 NYCRR Parts 1205, 1210,
1215, 1220 1300, 1400, 1500).
Interpretive resources of the RPC include the New York State Bar Association Comments
(non-binding comments and suggestions about how the RCP should be interpreted [see
www.nysba.org]) and ethics opinions issued by the New York State Bar Association (see
www.nysba.org), the New York County Lawyer's Association (see www.nycla.org), and the
Association of the Bar of the City of New York (see www.nycbar.org). The Commercial and
Federal Litigation Section of the New York State Bar Association has also issued "Social Me-
dia Ethics Guidelines" to address the evolving interplay of social media communications and
RPC, particularly in the areas of attorney advertising, furnishing legal advice, use of evi-
dence, communications with clients, and the researching of social media profiles of prospec-
tive or sitting jurors (see www.nysba.org/Social Media Guidelines/).
The Lawyer-Client Relationship: Scope of representation and allocation of authority between
client and lawyer: Rules of Professional Conduct (22
NYCRR 1200.0) rule 1.2 (e) - (g) -
ANSWER
A lawyer may exercise his or her professional judgment to waive or fail to assert a client's
right or position, but he or she should accede to reasonable requests of opposing counsel
(e.g., scheduling matters, continuances or other small favors) as long as a client's rights are
not prejudiced. A lawyer may refuse to participate in conduct the lawyer believes to be un-
1
,lawful. Lawyers should avoid offensive tactics and should treat persons involved in the legal
process with courtesy and consideration. While a lawyer must abide by a client's decisions
on objectives, a lawyer is not obligated to play "hardball."
The Lawyer-Client Relationship: Communication with client: RPC rule 1.4 (a) (1) (iii) -
ANSWER
A lawyer must promptly inform the client of material developments, including settlement or
plea offers. It is the client's right to decide whether to accept a settlement offer or plea bar-
gain.
The Lawyer-Client Relationship: Withdrawal: RPC rule 1.16 (b) (4) -
ANSWER
A lawyer must withdraw from representation of a client when the lawyer knows or reasona-
bly should know that the client is bringing the action, conducting the defense, asserting a
petition, or taking other steps merely for the purpose of harassing or maliciously injuring any
person.
Privilege and Confidentiality: Professional obligation of
confidentiality: RPC rule 1.6 (a), (c) -
ANSWER
A lawyer must maintain client confidence. Confidential information is information from any
source gained during or relating to the representation that is protected by the attorney- cli-
ent privilege, that is likely to be embarrassing or detrimental to a client if disclosed, or that
the client has requested be kept confidential. A lawyer must also exercise reasonable care to
prevent the lawyer's employees and associates from disclosing this confidential information.
A lawyer may not knowingly reveal confidential information or use such information to harm
the client, help the lawyer or help a third person. Disclosure of confidential information is
permitted if the client consents, or if disclosure is impliedly authorized to advance the best
interest of the client and is either reasonable under the circumstances or is customary in the
professional community.
2
, Privilege and Confidentiality: Exceptions to confidentiality: RPC rule 1.6 (b) -
ANSWER
A lawyer may disclose confidential information to prevent reasonably certain death or sub-
stantial bodily harm, prevent the client from committing a crime, to withdraw an opinion
based on false information that is being relied upon by a third person or is being used to fur-
ther a crime or fraud, to secure legal advice about compliance with the Rules, to defend the
lawyer against an accusation of wrongful conduct, or to collect a fee.
Conflicts of Interest: Current clients: RPC rule 1.7 -
ANSWER
A lawyer cannot represent a person or entity when a current or former client or the lawyer
personally has differing interests — interests that will adversely affect either the judgment or
loyalty of the lawyer to the client. Notwithstanding the existence of a current conflict of in-
terest, a lawyer may represent a client if the lawyer reasonably believes that he or she can
provide competent representation, the representation is not prohibited by law and does not
involve a claim by one client against another client represented by the lawyer in the same
litigation or other proceeding before a tribunal, and both affected clients give informed con-
sent, confirmed in writing.
Conflicts of Interest: Current clients: Former clients: RPC rule 1.9 -
ANSWER
A lawyer who has formerly represented a client in a matter may not represent another per-
son in the same or substantially related matter in which that person's interests are materially
adverse to the interest of the former client, unless the former client gives informed consent,
confirmed in writing. The same rule applies if a law firm with which the lawyer formerly was
associated had previously represented a client whose interests are materially adverse to the
person the lawyer now seeks to represent and about whom the lawyer or any lawyer in the
firm had acquired material confidential information.
Conflicts of Interest: Sexual relations with clients: RPC rule
1.8 (j) -
ANSWER
3
Professional Responsibility -
ANSWER
The New York Rules of Professional Conduct (RPC) were adopted by the Appellate Divisions
of the New York State Supreme Court in 2009 and are published as Part 1200 of the Joint
Rules of the Appellate Division (22 NYCRR 1200). Other statutes and court rules governing
attorney conduct include: New York Judiciary Law, art. 15; the Rules of the Chief Administra-
tor of the Courts (22 NYCRR Parts
118, 130, 137); and the Joint Rules of the Appellate Division (22 NYCRR Parts 1205, 1210,
1215, 1220 1300, 1400, 1500).
Interpretive resources of the RPC include the New York State Bar Association Comments
(non-binding comments and suggestions about how the RCP should be interpreted [see
www.nysba.org]) and ethics opinions issued by the New York State Bar Association (see
www.nysba.org), the New York County Lawyer's Association (see www.nycla.org), and the
Association of the Bar of the City of New York (see www.nycbar.org). The Commercial and
Federal Litigation Section of the New York State Bar Association has also issued "Social Me-
dia Ethics Guidelines" to address the evolving interplay of social media communications and
RPC, particularly in the areas of attorney advertising, furnishing legal advice, use of evi-
dence, communications with clients, and the researching of social media profiles of prospec-
tive or sitting jurors (see www.nysba.org/Social Media Guidelines/).
The Lawyer-Client Relationship: Scope of representation and allocation of authority between
client and lawyer: Rules of Professional Conduct (22
NYCRR 1200.0) rule 1.2 (e) - (g) -
ANSWER
A lawyer may exercise his or her professional judgment to waive or fail to assert a client's
right or position, but he or she should accede to reasonable requests of opposing counsel
(e.g., scheduling matters, continuances or other small favors) as long as a client's rights are
not prejudiced. A lawyer may refuse to participate in conduct the lawyer believes to be un-
1
,lawful. Lawyers should avoid offensive tactics and should treat persons involved in the legal
process with courtesy and consideration. While a lawyer must abide by a client's decisions
on objectives, a lawyer is not obligated to play "hardball."
The Lawyer-Client Relationship: Communication with client: RPC rule 1.4 (a) (1) (iii) -
ANSWER
A lawyer must promptly inform the client of material developments, including settlement or
plea offers. It is the client's right to decide whether to accept a settlement offer or plea bar-
gain.
The Lawyer-Client Relationship: Withdrawal: RPC rule 1.16 (b) (4) -
ANSWER
A lawyer must withdraw from representation of a client when the lawyer knows or reasona-
bly should know that the client is bringing the action, conducting the defense, asserting a
petition, or taking other steps merely for the purpose of harassing or maliciously injuring any
person.
Privilege and Confidentiality: Professional obligation of
confidentiality: RPC rule 1.6 (a), (c) -
ANSWER
A lawyer must maintain client confidence. Confidential information is information from any
source gained during or relating to the representation that is protected by the attorney- cli-
ent privilege, that is likely to be embarrassing or detrimental to a client if disclosed, or that
the client has requested be kept confidential. A lawyer must also exercise reasonable care to
prevent the lawyer's employees and associates from disclosing this confidential information.
A lawyer may not knowingly reveal confidential information or use such information to harm
the client, help the lawyer or help a third person. Disclosure of confidential information is
permitted if the client consents, or if disclosure is impliedly authorized to advance the best
interest of the client and is either reasonable under the circumstances or is customary in the
professional community.
2
, Privilege and Confidentiality: Exceptions to confidentiality: RPC rule 1.6 (b) -
ANSWER
A lawyer may disclose confidential information to prevent reasonably certain death or sub-
stantial bodily harm, prevent the client from committing a crime, to withdraw an opinion
based on false information that is being relied upon by a third person or is being used to fur-
ther a crime or fraud, to secure legal advice about compliance with the Rules, to defend the
lawyer against an accusation of wrongful conduct, or to collect a fee.
Conflicts of Interest: Current clients: RPC rule 1.7 -
ANSWER
A lawyer cannot represent a person or entity when a current or former client or the lawyer
personally has differing interests — interests that will adversely affect either the judgment or
loyalty of the lawyer to the client. Notwithstanding the existence of a current conflict of in-
terest, a lawyer may represent a client if the lawyer reasonably believes that he or she can
provide competent representation, the representation is not prohibited by law and does not
involve a claim by one client against another client represented by the lawyer in the same
litigation or other proceeding before a tribunal, and both affected clients give informed con-
sent, confirmed in writing.
Conflicts of Interest: Current clients: Former clients: RPC rule 1.9 -
ANSWER
A lawyer who has formerly represented a client in a matter may not represent another per-
son in the same or substantially related matter in which that person's interests are materially
adverse to the interest of the former client, unless the former client gives informed consent,
confirmed in writing. The same rule applies if a law firm with which the lawyer formerly was
associated had previously represented a client whose interests are materially adverse to the
person the lawyer now seeks to represent and about whom the lawyer or any lawyer in the
firm had acquired material confidential information.
Conflicts of Interest: Sexual relations with clients: RPC rule
1.8 (j) -
ANSWER
3
