{"id":358003,"date":"2016-04-04T10:46:18","date_gmt":"2016-04-04T15:46:18","guid":{"rendered":"https:\/\/ability-fl-prod.internetbrands.com\/ability-law\/hirealawyer\/choosing-the-right-lawyer\/ethics-and-professional-responsibility.html"},"modified":"2023-09-20T11:00:41","modified_gmt":"2023-09-20T16:00:41","slug":"ethics-and-professional-responsibility","status":"publish","type":"page","link":"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/ethics-and-professional-responsibility.html","title":{"rendered":"What Are Legal Ethics and Professional Responsibility?"},"content":{"rendered":"\n<div class=\"wp-container-core-columns-is-layout-9d6595d7 fl-sectionWithSidebar fl-container fl-flex fl-flex-wrap fl-gap30\">\n<div class=\"fl-page-articles fl-section-main fl-section-main-full-width\"><h1 class=\"fl-no-margin-top\">What Are Legal Ethics and Professional Responsibility?<\/h1>\n\n<section class=\"fl-gutenberg-byline\">\n    <div class=\"fl-gutenberg-byline-content\">\n                    By <a href=\"https:\/\/www.findlaw.com\/company\/our-team\/susan-buckner-j-d\/\">Susan Buckner, J.D.<\/a> | Legally reviewed by <a\n                href=\"https:\/\/www.findlaw.com\/company\/our-team\/melissa-bender-esq\/\">Melissa Bender, Esq.<\/a>\n                | Last updated\n        <time>\n                            September 20, 2023\n                    <\/time>\n    <\/div>\n\n    \n    <details class=\"fl-gutenberg-byline-toggle fl-gutenberg-byline-legally-reviewed\">\n        <summary>\n            <i class=\"fl-gutenberg-byline-icon\" aria-hidden=\"true\"><\/i>\n            Legally Reviewed\n        <\/summary>\n\n        <div class=\"fl-gutenberg-byline-toggle-content\">\n            <p><em>This article has been written and reviewed for legal accuracy, clarity, and style by <a href=\"https:\/\/www.findlaw.com\/company\/our-team.html\">FindLaw\u2019s team of legal writers and attorneys<\/a> and in accordance with <a href=\"https:\/\/www.findlaw.com\/company\/company-history\/editorial-policy.html\">our editorial standards<\/a>.<\/em><\/p>\n\n        <\/div>\n    <\/details>\n\n    <details class=\"fl-gutenberg-byline-toggle fl-gutenberg-byline-fast-checked\">\n        <summary>\n            <i class=\"fl-gutenberg-byline-icon\" aria-hidden=\"true\"><\/i>\n            Fact-Checked\n        <\/summary>\n\n        <div class=\"fl-gutenberg-byline-toggle-content\">\n            <p><em>The last updated date refers to the last time this article was reviewed by FindLaw or one of our <a href=\"https:\/\/www.findlaw.com\/company\/our-team\/contributing-authors.html\">contributing authors<\/a>. We make every effort to keep our articles updated. For information regarding a specific legal issue affecting you, please <a href=\"https:\/\/lawyers.findlaw.com\/?fli=bylinelink\" target=\"_blank\" rel=\"noopener\">contact an attorney in your area<\/a>.<\/em><\/p>\n\n        <\/div>\n    <\/details>\n<\/section>\n\n\n<div class=\"fl-key-takeaways fl-mb30\" data-testid=\"fl-key-takeaways\">\n    <div class=\"fl-card-content\">\n        <div class=\"fl-card-body fl-card-bg-teal fl-flex fl-flex-column\">\n                            <h2 class=\"fl-card-title fl-h2 fl-no-margin\">Key Takeaways<\/h2>\n                        <p>Legal ethics and professional responsibility are the rules that govern how lawyers must act when representing clients, interacting with courts, and conducting their business. When attorneys violate these rules, state bar associations can investigate, discipline them, or even suspend their license.<\/p>\n\n        <\/div>\n    <\/div>\n<\/div>\n\n\n<p>These ethical and professional standards cover issues like competence, communication, confidentiality, fees, and conflicts of interest to ensure clients are treated fairly.<\/p>\n<p>This article reviews some of the rules of professional conduct that attorneys must obey and the ethical requirements for attorneys in and out of court. You&#8217;ll also learn what to do if your attorney doesn&#8217;t follow these rules.<\/p>\n<p>When it&#8217;s time to find legal representation, you want a good, honest lawyer. If this wasn&#8217;t your experience, legal advice is available. A <a href=\"https:\/\/lawyers.findlaw.com\/legal-malpractice\/\" target=\"_blank\" rel=\"noopener\">legal malpractice attorney<\/a> near you can address concerns you may have about your current or previous attorney.<\/p>\n<h2>Rules of Professional Conduct<\/h2>\n<p>The <a href=\"https:\/\/www.americanbar.org\/\" target=\"_blank\" rel=\"noopener\">American Bar Association<\/a> (ABA) regulates the entire legal profession. It establishes the legal and ethical obligations attorneys owe to their clients, the courts, and the public at large. The ABA also issues ethics opinions amid questions about interpretations of the rules.<\/p>\n<p>Even in law school, budding attorneys agree to abide by the ABA&#8217;s\u00a0<a href=\"http:\/\/www.americanbar.org\/groups\/professional_responsibility\/publications\/model_rules_of_professional_conduct.html\" target=\"_blank\" rel=\"noopener\">Model Rules of Professional Conduct<\/a>. Every\u00a0<a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/state-bar-associations.html\">state bar association<\/a>\u00a0except California has adopted the Model Rules.\u00a0<a href=\"http:\/\/rules.calbar.ca.gov\/Rules\/RulesofProfessionalConduct.aspx\" target=\"_blank\" rel=\"noopener\">California has its own code<\/a>, which resembles the ABA&#8217;s but has a slightly different format.<\/p>\n<p>The Rules of Professional Conduct define advocacy and representation, hourly and contingent fee agreements, and attorney-client privilege. The rules also explain the attorney&#8217;s conduct toward the court, other lawyers, and the public in general. The rules clarify attorney discipline and reporting misconduct.<\/p>\n<p>The most important rules for the client-lawyer relationship:<\/p>\n<ul>\n<li><b>Competence:\u00a0<\/b>The lawyer must have the <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/what-are-the-professional-requirements-for-becoming-a-lawyer.html\">legal education<\/a>, knowledge, and skill necessary to represent their client adequately. The lawyer must use their best professional judgment when advising a prospective client about their legal matter.<\/li>\n<li><b>Scope of representation:\u00a0<\/b>The lawyer must abide by the client&#8217;s decisions regarding the course of the case. The lawyer may advise the client of all possible outcomes and recommend certain courses of action, but the decision to settle or plead must be the client&#8217;s.<\/li>\n<li><b>Communication:<\/b>\u00a0The lawyer must keep the client reasonably informed about all matters that require the client&#8217;s consent or action. The lawyer shall answer all questions and explain all matters so that the client can make informed decisions about their case.<\/li>\n<li><b>Fees\u00a0<\/b>must be reasonable<b> <\/b>and calculated according to the guidelines laid out in the ABA&#8217;s or state&#8217;s rules.<\/li>\n<li><b>Advertising and solicitation\u00a0<\/b>must follow ABA guidelines. The association has strict rules about when and how an attorney may solicit new clients. Attorney referrals and fee-sharing are also restricted by the bar to protect clients&#8217; interests.<\/li>\n<\/ul>\n<h3>Ethical Conduct<\/h3>\n<p>The Model Rules of Professional Conduct can only define required behavior. Legal ethics \u2014 how an attorney carries out client representation \u2014 depends on the individual lawyer&#8217;s character. An attorney must always act in the client&#8217;s interests, but that does not mean they are acting ethically. Some common ethical breaches may happen when the lawyer and the client believe the lawyer&#8217;s conduct is acceptable.<\/p>\n<ul>\n<li><b>Conflicts of interest:\u00a0<\/b>An attorney should not represent two clients <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/what-is-an-attorney-conflict-of-interest.html\">whose interests oppose one another<\/a>. An example is a divorce attorney who represents both parties during the divorce. If the parties give informed consent to the conflict, the representation can continue, but each party should have separate counsel.<\/li>\n<li><b>Failing to communicate:\u00a0<\/b>Attorneys are busy, like everyone else. Some cases, like <a href=\"https:\/\/www.findlaw.com\/injury\/accident-injury-law\/stages-of-a-personal-injury-case.html\">personal injury cases<\/a>, go for long periods where nothing happens. Attorneys are still responsible for checking in with their clients and returning phone calls and emails.<\/li>\n<li><b>Commingling\u00a0funds:\u00a0<\/b>Attorneys have a <a href=\"https:\/\/www.findlaw.com\/smallbusiness\/business-laws-and-regulations\/breach-of-fiduciary-duty.html\">fiduciary duty<\/a> to separate client trust accounts from business funds. Failing to do so is commingling funds. This can be intentional but may also be due to carelessness and mismanagement.<\/li>\n<li><b>Breach of\u00a0confidence:\u00a0<\/b>Attorneys must keep <a href=\"https:\/\/www.findlaw.com\/injury\/torts-and-personal-injuries\/breach-of-confidence.html\">confidential information<\/a> between themselves and the client. If a third party overhears discussions, even in the law office, it may be an ethical violation.<\/li>\n<\/ul>\n<h3>Disciplinary Actions<\/h3>\n<p>Not all ethical violations are harmful or intended to hurt a client. However, that doesn&#8217;t mean the attorney won&#8217;t face consequences. Clients go to attorneys expecting professional services.<\/p>\n<p>If you believe your attorney has not acted professionally, you should contact the disciplinary office of your state bar association. <span style=\"font-size: revert;color: initial\">Each state has its own <\/span><a style=\"font-size: revert\" href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/where-can-i-file-a-complaint-against-my-lawyer.html\">disciplinary authority<\/a><span style=\"font-size: revert;color: initial\">\u00a0over professional misconduct. Even if it was a momentary lapse \u2014 for instance, someone in the lobby overheard your conversation with the lawyer while the door was open \u2014 the bar wants to hear about it.<\/span><\/p>\n<p>You can also consider filing a <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/legal-malpractice.html\">legal malpractice lawsuit<\/a>\u00a0if your attorney&#8217;s misconduct harmed you or your case. A legal malpractice suit, like other malpractice suits, requires that the attorney&#8217;s negligence in some way caused you financial or physical harm. In a civil or criminal case, this can mean you lost your case or suffered a worse outcome because of your attorney&#8217;s actions.<\/p>\n<p>You can\u00a0<a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/researching-attorney-discipline.html\">find out if an attorney has had any disciplinary proceedings<\/a>\u00a0before you hire them. Each state bar has an attorney listing that will give you an attorney&#8217;s \u201cvital statistics,&#8221; such as their bar admission date, the courts where they may practice, and any disciplinary action or suspensions.<\/p>\n<h2>Frequently Asked Questions About Legal Ethics<\/h2>\n<p>Attorneys are not the only legal professionals who must abide by rules of conduct. Whenever you consult anyone for <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/do-you-need-a-lawyer\/what-is-legal-advice.html\">legal advice<\/a>, they must follow certain restrictions set by state and federal laws. Here are some common questions about other legal service providers.<\/p>\n<h3>Are judges required to follow any rules of conduct?<\/h3>\n<p>Yes. Every state has its own code of judicial conduct for judges presiding over courts. These codes affect <a href=\"https:\/\/www.findlaw.com\/litigation\/legal-system\/court-systems-judges-and-the-law.html\">elected and appointed judges<\/a>, magistrates, and the employees of courthouses who work for judges, such as clerks and judicial assistants. Codes of judicial conduct are similar to legal rules of conduct.<\/p>\n<p>The state&#8217;s legal system determines the judicial rules of conduct, but each jurisdiction has its own court rules. Court rules apply to specific documents, court orders, and appearances.<\/p>\n<h3>Do mediators and arbitrators have rules of conduct?<\/h3>\n<p>Most arbitrators follow the rules set by the <a href=\"https:\/\/www.adr.org\/\" target=\"_blank\" rel=\"noopener\">American Arbitration Association<\/a> (AAA). Binding arbitration rules are similar to court rules, and most courts have accepted AAA rules as acceptable to all parties.<\/p>\n<p>Mediation is a <a href=\"https:\/\/www.findlaw.com\/adr\/mediation\/mediation-vs-arbitration-vs-litigation-whats-the-difference.html\">less formal process than arbitration<\/a>, and mediators generally set their own rules of conduct. They follow the same rules of confidentiality and communication as attorneys and arbitrators. As third-party neutrals, mediators should not do any fact-finding or make any legal determination in the case.<\/p>\n<h3>What about non-lawyers who provide legal assistance?<\/h3>\n<p>Federal and state law and the ABA prohibit the unauthorized practice of law. Paralegals, legal document assistants, and other quasi-legal professionals may only practice under the supervision of an attorney. They may also provide legal information. <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/do-you-need-a-lawyer\/types-of-free-legal-services.html\">Public service clinics<\/a> that provide legal assistance should either have attorneys on staff or include disclaimers stating that they do not provide legal advice.<\/p>\n<p>Legal services fall into a gray area. A non-lawyer may not offer advice or opinions on a legal matter. They can assist a client in finding answers about the matter. For instance, a paralegal can help a client find a divorce packet online and explain the financial declaration. The paralegal cannot tell the client what <a href=\"https:\/\/www.findlaw.com\/family\/divorce\/checklist-dividing-marital-property.html\">assets and debts<\/a> to put in the declaration unless an attorney is available to review the document.<\/p>\n<h3>What responsibilities do in-house attorneys have? What about prosecutors?<\/h3>\n<p>Attorneys who work for a corporation have the same responsibilities to their clients as private attorneys. The difference is that the client is the company rather than one person. A <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/choosing-the-right-lawyer\/what-does-a-corporate-lawyer-actually-do.html\">corporate attorney<\/a> must keep client confidences for the entire business. Any conflict of interest may include former clients of the company or of the attorney.<\/p>\n<p>A <a href=\"https:\/\/www.findlaw.com\/hirealawyer\/do-you-need-a-lawyer\/what-does-a-government-lawyer-really-do.html\">prosecutor<\/a> has some special responsibilities. As the lawyer serving the public interest in a criminal case, they owe a special duty of candor and truthfulness to the opposing party. Prosecutors must manage trial publicity to avoid prejudice to the defendant.<\/p>\n<h2>Ethical Concerns About Your Attorney? Get Legal Advice<\/h2>\n<p>If you&#8217;re a former client and have concerns about the actions of your previous attorney, you should discuss them with a legal malpractice attorney. They can determine if your attorney&#8217;s conduct fell below the required standard of care and explain your options for reporting the issue to the state bar.<\/p>\n<p>If you&#8217;re unsure where to start, FindLaw&#8217;s directory of <a href=\"https:\/\/lawyers.findlaw.com\/legal-malpractice\/?fli=dcta\" target=\"_blank\" rel=\"noopener\">legal malpractice attorneys<\/a> can connect you to a legal advisor who can answer your questions. Because your state bar association&#8217;s rules are relevant, your attorney should be licensed in your state. Enter your city or ZIP code to find contact and ratings information for legal experts near you. Then, reach out for guidance and next steps.<\/p>\n\n\n<div class=\"was-this-helpful\">\n    <div\n            class=\"was-this-helpful__question-container\"\n            aria-labelledby=\"was-this-helpful__question\"\n            role=\"group\"\n    >\n        <span\n                id=\"was-this-helpful__question\"\n                class=\"was-this-helpful__question fl-text-lg-bold\"\n        >Was this helpful?<\/span>\n        <button\n                class=\"was-this-helpful__button fl-text-sm\"\n                aria-label=\"Yes\"\n                value=\"yes\"\n        >\n            <span class=\"was-this-helpful__button-text fl-text-bold\">Yes<\/span>\n            <i class=\"was-this-helpful__button-icon\">\n                <svg width=\"22\" height=\"22\" viewBox=\"0 0 22 22\" fill=\"none\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\">\n                    <g id=\"thumbs-up\" clip-path=\"url(#clip0_604_3418)\">\n                        <path id=\"Vector\"\n                           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     class=\"fl-radio-button-field-input\"\n                                type=\"radio\"\n                                name=\"negative-feedback\"\n                                value=\"Other\"\n                        >\n                        <label\n                                class=\"fl-radio-button-field-label fl-text-sm was-this-helpful__radio-label\"\n                                for=\"was-this-helpful__radio-button--negative-other\"\n                        >Other<\/label>\n                    <\/div>\n                <\/fieldset>\n            <\/div>\n            <div class=\"was-this-helpful__form-buttons-container\">\n                <button\n                    class=\"was-this-helpful__feedback-button was-this-helpful__feedback-button--positive at-feedback-submit fl-button secondary\"\n                    type=\"submit\"\n                >\n                    <span class=\"fl-button-content\">Submit<\/span>\n                    <i\n                        class=\"fa fa-angle-right medium\"\n                        aria-hidden=\"true\"\n                    ><\/i>\n                <\/button>\n                <button\n                    class=\"was-this-helpful__feedback-button was-this-helpful__feedback-button--cancel fl-button primary disabled\"\n                    type=\"reset\"\n                >\n                    <span class=\"fl-button-content\">Cancel<\/span>\n                    <i\n                        class=\"fa fa-times-circle medium\"\n                        aria-hidden=\"true\"\n                    ><\/i>\n                <\/button>\n            <\/div>\n        <\/form>\n    <\/div>\n    <div class=\"was-this-helpful__thank-you-message\" role=\"status\">\n        <i class=\"was-this-helpful__thank-you-message-icon fa fa-check\"><\/i>\n        <p class=\"was-this-helpful__thank-you-message-text\" aria-live=\"polite\"><\/p>\n    <\/div>\n<\/div>\n<\/div>\n\n\n\n<div class=\"fl-section-sidebar\"><div class=\"fl-editors-summary\" data-testid=\"fl-editors-summary\">\n    \n    <div class=\"fl-editors-summary-content\" data-testid=\"fl-editors-summary-content\">\n                    <h2>Can I Solve This on My Own or Do I Need an Attorney?<\/h2>\n                <div class=\"fl-editors-summary-content-main\" data-testid=\"fl-editors-summary-content-main\">\n            \n        <\/div>\n        <ul class=\"fl-list-style-none\">\n                            <li data-testid=\"fl-editors-summary-content-item\">\n                    <i class=\"fa fa-check medium fl-editors-summary-content-item-icon\" aria-hidden=\"true\"><\/i>\n                    A malpractice attorney can address concerns about another attorney&#8217;s conduct\n\n                <\/li>\n                            <li data-testid=\"fl-editors-summary-content-item\">\n                    <i class=\"fa fa-check medium fl-editors-summary-content-item-icon\" aria-hidden=\"true\"><\/i>\n                    An attorney can 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