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Professional Responsibility

Ch. 4 The Lawyers Duty of


Confidentiality
George W. Conk
Adjunct Professor of Law & Senior
Fellow
Stein Center for Law & Ethics
Room 409
212-636-7446
gconk@law.fordham.edu
April 7, 2015
C. 4 Lawyer's Duty of
Confidentiality

FR Evid 501 Privilege

The common law as interpreted by


United States courts in the light of
reason and experience governs a
claim of privilege unless any of the
following provides otherwise:
- the United States Constitution;
- a federal statute; or
- rules prescribed by the Supreme
Court.
But in a civil case, state law governs
privilege regarding a claim or defense
for which state law supplies the rule of
C. 4 Lawyer's Duty of
Confidentiality

Two evidentiary and testimonial


privileges against disclosure FRE 502

Attorney client privilege


- protection of confidential
communications between attorney
and client
Work-product privilege
Tangible material or intangible
equivalent prepared in anticipation of
litigation or trial
The privilege belongs to the
client
C. 4 Lawyer's Duty of
Confidentiality

Attorney Client Privilege

1) protects communications

2) between privileged persons

3) in confidence

4) for the purpose of providing legal


assistance

C. 4 Lawyer's Duty of
Confidentiality

Work-Product Privilege
A barrier to discovery
Not a rule of evidence

C. 4 Lawyer's Duty of
Confidentiality

Work Product Privilege


FRCvP Rule 26

A limitation on discoverable material


Documents and tangible things
prepared in anticipation of litigation
or for trial
May be overcome on showing of
substantial hardship
Court must protect against disclosure of
the mental impressions, conclusions,
opinions, or legal theories of a party's
attorney or other representative
C. 4 Lawyer's Duty of
Confidentiality

Privileges are in derogation of


search for truth

1) Party asserting privilege has the


burden of proof that either
- the communication is between
attorney and advice-seeking client or
agent OR
- it is attorney work product (notes,
impressions, legal theories not
facts)
AND it has not been disclosed to a
stranger to the representation
C. 4 Lawyer's Duty of
Confidentiality

Q. 4-1 Client leaving dirty picture show


What is the proper finding for the disciplinary
committee? P.316
(A) The lawyer violated no duties
because the information about the
clients whereabouts was not
protected by the attorney-client
privilege.
(B) The lawyer violated the duty of
confidentiality because the
information was privileged.
C. 4 Lawyer's Duty of
Confidentiality

Q. 4-1 Client leaving dirty picture show


What is the proper finding for the disciplinary
committee?
(C) The lawyer violated the duty of
confidentiality because the
information was related to the
representation and was not covered
by any of the exceptions.
(D) The lawyer violated no duties
because the information was not
secretit was
known by the woman who was with his
client at the time.
C. 4 Lawyer's Duty of
Confidentiality

Model Rule 1.6: Confidentiality of


Information

(a) A lawyer shall not reveal


information relating to the
representation of a client unless
the client gives informed
consent,
the disclosure is impliedly
authorized in order to carry out
the representation or
the disclosure is permitted by
paragraph (b).
C. 4 Lawyer's Duty of
Confidentiality

10

Restatement 60 A Lawyer's Duty to Safeguard


Confidential Client Information

(1) During and after


representation of a client:
(a) the lawyer may not use or
disclose confidential client
information if there is a
reasonable prospect that doing so
will adversely affect a material
interest of the client or
the client has instructed the
lawyer not to use or disclose such
information
C. 4 Lawyer's Duty of
Confidentiality

11

Restatement 60 A Lawyer's Duty to Safeguard


Confidential Client Information

61 Using or Disclosing Information to


Advance Client Interests

A lawyer may use or disclose


confidential client information when
the lawyer reasonably believes that
doing so will advance the interests
of the client in the representation.
C. 4 Lawyer's Duty of
Confidentiality

12

Q. 4-2, p. 317 Must the lawyer produce the


surveillance tape?
(A) No, because it is privileged.
(B) No, because to do so would
violate Lawyers duty of
confidentiality.
(C) Yes, because the information is
not privileged and the lawyer must
turn over non-privileged information
if a lawful demand is made.
(D) Yes, because even though the
information is privileged, the Lawyer
must comply with a discovery
C. 4 Lawyer's Duty of
Confidentiality

13

M.R.P.C. 1.6 (b) (6)

(b) A lawyer may reveal


information relating to the
representation of a client to the
extent the lawyer reasonably
believes necessary:

(6) to comply with other law or a


court order.
C. 4 Lawyer's Duty of
Confidentiality

14

Exceptions to Confidentiality Lawyer's Duties


to a Client Restatement 61-67

- to advance client interests (61)


- with consent (62)
- when required by law (63)
- in self-defense by attorney (64)
- in a fee dispute (65)
- to prevent death or serious bodily
harm (66)
C. 4 Lawyer's Duty of
Confidentiality

15

Q. 4-3, p. 324 Is this a good


deal?

How is this communication to be


treated?

(A) As privileged, because the client


was speaking in confidence to the
lawyer.

(B) Not privileged, because the client


was not seeking legal advice, and
C. 4 Lawyer's Duty of
Confidentiality

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Q. 4-3, p. 324 Is this a good


deal?

(C) Privileged, if the dominant intent


is to seek legal advice, and within the
duty of confidentiality.
(D) Privileged, if there was any intent
to seek legal advice, but not
protected by the duty of
confidentiality as its disclosure would
not injure the client
C. 4 Lawyer's Duty of
Confidentiality

17

Protected
Communications
Between attorney (or agent)
and client

C. 4 Lawyer's Duty of
Confidentiality

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The communications
requirement
Communications (Not facts)
are privileged

C. 4 Lawyer's Duty of
Confidentiality

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Communications between whom?

Attorney and client or clients


agents within the scope of the
representation of the client
- shareholders?
- directors?
- officers
- control group?
- employees
- experts/consultants
C. 4 Lawyer's Duty of
Confidentiality

20

Q. 4-4 P. 330 Can the lawyer refuse to testify


that he saw the former client skiing?
(A) No, because the information is not a
communication and therefore is not
protected by the privilege.
(B) No, because the attorney no longer
represents the client.
(C) Yes, because turning over the
information could subject the lawyer to
discipline for violating Model Rule 1.6.
(D) Yes, because the privilege means
that the lawyer cannot be forced to
testify against his client.
C. 4 Lawyer's Duty of
Confidentiality

21

In re County of Erie (2007), p. 307

Should the privilege of attorney


client confidentiality be broader or
narrower for public entities?
To prevail plaintiffs needed to show
an intentional tort i.e. that the
County had a policy of invasive strip
searches.
Shouldnt the centrality of that issue
lead to disclosure of all relevant
communications between County
lawyers and officials?
C. 4 Lawyer's Duty of
Confidentiality

22

NJRE 504 Atty Client Privilege

The privilege shall be claimed by


the lawyer unless otherwise
instructed by the client or his
representative

The privilege may be claimed by


the client in person, or if
incompetent or deceased, by his
C. 4 Lawyer's Duty of
Confidentiality

guardian or personal

23

Disclosure to someone other than the


privileged persons lawyer* is a waiver

Unless
- Disclosure was inadvertent
- privilege holder took reasonable
measure to prevent disclosure
- privilege holder took reasonable
steps to rectify disclosure
* or agents of lawyer
C. 4 Lawyer's Duty of
Confidentiality

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Common interest agreement

Parties who agree share


confidential information
pursuant to a common defense
or litigation strategy or in a
common matter have not waived
confidentiality thereby.
C. 4 Lawyer's Duty of
Confidentiality

25

Upjohn v. United States (1981)

The attorney-client privilege is the


oldest of the privileges for
confidential communications known
to the common law.
Its purpose is to encourage full and
frank communication between
attorneys and their clients and
thereby promote broader public
interests in the observance of law
and administration of justice
C. 4 Lawyer's Duty of
Confidentiality

26

Upjohn warning ABA White Collar


Crime Section

I am a lawyer for Corporation A. I


represent only Corporation A, and I
do not represent you personally.
I am conducting this interview to
gather facts in order to provide legal
advice for Corporation A. This
interview is part of an investigation
to determine the facts and
circumstances of X in order to advise
Corporation A how best to proceed.
C. 4 Lawyer's Duty of
Confidentiality

27

Upjohn warnings - ABA

Your communications with me are


protected by the attorney client
privilege. But the attorney client
privilege belongs solely to Corporation
A, not you. That means Corporation A
alone may elect to waive the attorney
client privilege and reveal our
discussion to third parties. Corporation
A alone may decide to waive the
privilege and disclose this discussion to
such third parties as federal or state
agencies, at its sole discretion, and
C. 4 Lawyer's Duty of
Confidentiality

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Upjohn warning, contd

In order for this discussion to be


subject to the privilege, it must be kept
in confidence. In other words, with the
exception of your own attorney, you
may not disclose the substance of this
interview to any third party, including
other employees or anyone outside of
the company. You may discuss the facts
of what happened but you may not
discuss this discussion.
Do you have any questions?
Are you willing to proceed?
C. 4 Lawyer's Duty of
Confidentiality

29

Upjohn v. United States (1981), p. 332

Who holds the privilege?

Why does the court reject the control


group test as too narrow?

What options do the prosecutors


have after Upjohn?

C. 4 Lawyer's Duty of
Confidentiality

30

Upjohn v. United States (1981), p. 332

Arent the questionnaires the most


efficient way for the prosecutors
office to get what it needs?
What was the Magistrates error
regarding the work product privilege?

C. 4 Lawyer's Duty of
Confidentiality

31

Sharing within an organization

Disclosures regarding a legal matter


of the entity
Among its agents or privileged
persons
Who reasonably needs to know in
order to act for the corporation
Do not waive the attorney client
privilege of confidentiality
C. 4 Lawyer's Duty of
Confidentiality

32

Restatement 3rd LGL: 73 The Privilege for


an Organizational Client

When a client is a corporation,


unincorporated association,
partnership, trust, estate, sole
proprietorship, or other forprofit or not-for-profit
organization, the attorney-client
privilege extends to a
communication that:
C. 4 Lawyer's Duty of
Confidentiality

33

Restatement 3rd LGL: 73 The Privilege for


an Organizational Client

(1) otherwise qualifies as


privileged under 68-72;
(2) is between an agent of the
organization and a privileged
person as defined in 70;
(3) concerns a legal matter of
interest to the organization; and

C. 4 Lawyer's Duty of
Confidentiality

34

Restatement 3rd LGL: 73 The Privilege for


an Organizational Client

(4) is disclosed only to:


(a) privileged persons as defined
in 70; and
(b) other agents of the
organization who reasonably
need to know of the
communication in order to act
for the organization.

C. 4 Lawyer's Duty of
Confidentiality

35

Only clients are


protected
When they seek legal advice
for themselves

C. 4 Lawyer's Duty of
Confidentiality

36

In re G.J.Subpoena(4th Cir. 2005) p. 340

We represent the company. These


conversations are privileged, but the
privilege belongs to the company
and the company decides whether to
waive it. You are free to consult with
your own lawyer at any time.
"We can represent [you] until such
time as there appears to be a conflict
of interest, [but] . . . the attorneyclient privilege belongs to AOL and
AOL can decide whether to keep it or
waive it.
C. 4 Lawyer's Duty of
Confidentiality

37

In re G.J.Subpoena(4th Cir. 2005) p. 340

(1) the asserted holder of the


privilege is or sought to become
a client
(2) the person to whom the
communication was made
(a) is a member of the bar of a
court, or his subordinate and
(b) in connection with this
communication is acting as a
lawyer
C. 4 Lawyer's Duty of
Confidentiality

38

In re G.J.Subpoena(4th Cir. 2005) p. 340

(3) the communication relates to


a fact of which the attorney was
informed
(a) by his client
(b) without the presence of
strangers
c) for the purpose of securing
primarily either (i) an opinion on
law or (ii) legal services or (iii)
C. 4 Lawyer's Duty of
Confidentiality

39

In re G.J.Subpoena(4th Cir. 2005) p. 340

and not

(d) for the purpose of


committing a crime or tort; and

(4) the privilege has been

(a) claimed and

(b) not waived by the client.


C. 4 Lawyer's Duty of
Confidentiality

40

In re G.J.Subpoena(4th Cir. 2005) p. 340

The joint defense privilege protects


communications between parties
who share a common interest in
litigation.
To allow persons with a common
interest to "communicate with their
respective attorneys and with each
other to more effectively prosecute
or defend their claims."
Some joint strategy reqd
C. 4 Lawyer's Duty of
Confidentiality

41

Is the communication
privileged?
Disclosures to non-lawyer
agents of the representation
In re New York Renu p. 347
Report of special master
C. 4 Lawyer's Duty of
Confidentiality

42

Renu Moisture-Loc privilege


claims

Two email chains


1) Corp and Exec to CEO, General
Counsel and Hill & Knowlton PR firm
Denied
2) Corp exec to CEO re need to seek
legal advice from GC Sustained
3) Hill and Knowlton suggest
mechanism for redemption of
defective items Denied
C. 4 Lawyer's Duty of
Confidentiality

43

`Kovel doctrine Disclosure to


non-lawyers is protected IF

1) Communications predominant
purpose is to seek legal advice
2) Disclosure limited to those with
need to know advice of counsel
3) State privilege law applies in
diversity or FTCA case
4) Communication to non lawyer
must be necessary to promote
the lawyers effectiveness
C. 4 Lawyer's Duty of
Confidentiality

44

Is communication with a PR firm


`necessary to the representation?

1) NO a media campaign is not a


litigation strategy Haugh v. Schroder
(2003)
2) Foreign language company needed
help from PR firm Copper Market Antitrust Lit (2001)
3) PR firm helped counsel create an
atmosphere to influence prosecutor In
Re. G.J. (2003)
4) NY waiver unless disclosure
absolutely necessary to lawyers
C. 4 Lawyer's Duty of
Confidentiality

45

Q. 4-5 p. 352 Expectation of


confidentiality

Is the negative information obtained by the


law firm protected by the attorney-client
privilege?
(A) Yes
(B) No

C. 4 Lawyer's Duty of
Confidentiality

46

U.S. v. Hatcher (2003) p. 330

Because the inmates and their


lawyers were aware that the
conversations were being
recorded they had no reasonable
expectation of privacy

C. 4 Lawyer's Duty of
Confidentiality

47

Waiver of the privilege

Intentional relinquishment of
a known right
Forfeiture
C. 4 Lawyer's Duty of
Confidentiality

48

Which of the following is correct?


Q. 4-6, p. 357

(A) The report is not privileged,


because the law firm was acting as a
factual investigator, and so the legal
advice requirement of the privilege
is not met.
(B) The corporation waived any
privilege by disclosing the report to
the Department of Justice.
C. 4 Lawyer's Duty of
Confidentiality

49

Which of the following is correct?


Q. 4-6, p. 357

(C) There was no waiver, because the


corporation was forced to turn over
the report to the Department of
Justice, in order to avoid a criminal
prosecution.
(D) The private parties cannot take
advantage of the waiver, because it
was not a general waiver, and the
Department agreed to keep the
disclosure confidential.
C. 4 Lawyer's Duty of
Confidentiality

50

Development of F.R. Evid,. 502


limitations on waiver of
privilege

Pre-rule case law:

1) only intentional disclosure is a


waiver

2) careless disclosure and no


retrieval = waiver

3) any inadvertent disclosure is a


C. 4 Lawyer's Duty of
Confidentiality

51

Fed. R. Evidence 502


Limitations on Waiver of Attorney Client
and Work Product Privileges

a) In a federal proceeding or to a
federal office or agency
b) inadvertent disclosure
c) in a state proceeding
d) federal court order may limit
waiver by disclosure
e) party agreement binds only
parties unless incorporated in a court
order
C. 4 Lawyer's Duty of
Confidentiality

52

FRE 502 Inadvertent Disclosure


not a waiver if

the disclosure is inadvertent;


the holder of the privilege or
protection took reasonable steps to
prevent disclosure; and
the holder promptly took reasonable
steps to rectify the error, including (if
applicable) following Federal Rule of
Civil Procedure 26(b)(5)(B).
C. 4 Lawyer's Duty of
Confidentiality

53

FRCP 25(b)(5)(B)

(B)Information Produced. If
information produced in discovery is
subject to a claim of privilege or of
protection as trial preparation
material, the party making the claim
may notify any party that received
the information of the claim and the
basis for it.
C. 4 Lawyer's Duty of
Confidentiality

54

FRCP 25(b)(5)(B)

After being notified, a party must


promptly return, sequester, or
destroy the specified information and
any copies it has; must not use or
disclose the information until the
claim is resolved;
C. 4 Lawyer's Duty of
Confidentiality

55

FRCP 25(b)(5)(B)

must take reasonable steps to


retrieve the information if the party
disclosed it before being notified; and
may promptly present the
information to the court under seal
for a determination of the claim. The
producing party must preserve the
C. 4 Lawyer's Duty of
Confidentiality

information until the claim is

56

Q.4-7 p. 366 Has the defendant waived the


privilege by producing the emails in the prior
litigation?
(A) No, because there has been no
showing that any waiver was intentional.
(B) No, because the court order protects
against a waiver in any subsequent
litigation.
(C) Yes, because the order in the previous
case cannot bind a person who was not a
party in that case.
(D) Yes, because the order was entered in
the absence of agreement between the
C. 4 Lawyer's Duty of
Confidentiality

57

The Crime Fraud


Exception
to the Attorney Client
Privilege

C. 4 Lawyer's Duty of
Confidentiality

58

In re Grand Jury Investigation (Schroeder)


(11th Cir.1987)

1) a prima facie showing that


- the client was engaged in criminal
or fraudulent conduct when he
sought the advice of counsel
- that he was planning such conduct
when he sought the advice of
counsel, or
- he committed a crime or fraud
subsequent to receiving the benefit
of counsel's advice
C. 4 Lawyer's Duty of
Confidentiality

59

In re Grand Jury Investigation (Schroeder)


(11th Cir.1987)

Second, there must be a showing


that the attorney's assistance was
obtained in furtherance of the
criminal or fraudulent activity or was

closely related to it.


.
C. 4 Lawyer's Duty of
Confidentiality

60

Professional Responsibility

Ch. 4 The Lawyers Duty of


Confidentiality - part 2
George W. Conk
Adjunct Professor of Law & Senior
Fellow
Stein Center for Law & Ethics
Room 409
212-636-7446
gconk@law.fordham.edu
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

61

The Crime Fraud Exception

Attorneys knowledge irrelevant

Applies only when attorney is being


used in future or ongoing scheme

Triggered by clients communication


of intent to defraud or commit crime

C. 4 Lawyer's Duty of
Confidentiality

62

82 Client Crime or Fraud

No privilege if client :
(a) consults a lawyer for the
purpose, later accomplished, of
obtaining assistance to engage
in a crime or fraud or aiding a
third person to do so, or
(b) regardless of the client's
purpose at the time of
consultation, uses the lawyer's
advice or other services to
engage in or assist a crime or
C. 4 Lawyer's Duty of
Confidentiality

63

Q. 4-8, p. 373 Crime-fraud exception


to the duty to maintain confidences

A) Neither is privileged because both


statements are evidence of crie of
fraud.
B) Both are privileged because they
are part of request for legal advice
C) first is privileged, second is not
because it was made to further a
crime or fraud
D) Second statement is privileged if
Joe abandons his plan to destroy
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

64

Basics of the Duty of


Confidentiality
MRPC 1.6

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

65

Q. 4-9, p. 376 triggering the duty


under RPC 1.9 former and prospetive
clients

Subject to discipline?

A) Yes Smith was a client

B) Yes Smith was a prospective


client

c) No - Smith was not a

client

D) No - information was not


dispositive

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

66

Q. 4-10, p. 381 Scope of info w/i the


duty of confidentiality

A) No it is not privileged info


B) No - because the former partner
committed fraud on the tribunal
C) Yes because neither client nor
attorney was involved
D) Yes because disclosure would be
detrimental to the client

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

67

Q. 4-11, p. 386 info unrelated to the


representation

A) Yes he is an officer of the court


B) Yes he is impeding state access
to evidence
C) No because he did not represent
or advise the client re the prior
crimes
D) No the info was obtained in the
course of the representation
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

68

Q. 4-12, p. 387 to prevent death or


serious injury

A) No he had a duty to disclose


B) No he was permitted to disclose
to prevent a death
C) Yes because he cause death of
his cliet
D) Yes because death was not
reasonably certain

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

69

Q. 13, p. 362 destroying evidence

A) No lawyer has no duty to sit


silently while client commits a crime
B) No the information was not
privileged as advice was not sought
on that issue
C) No because disposing of a
weapon could lead to death or
serious bodily harm
D) Yes - because there is no
exception to the duty of
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

70

Q. 14, p. 362 client threatens suicide


May attorney disclose the fact to
authorities?

A) Yes because a future crime is not


protected by Attorney-client privilege
B) Yes because disclosure might
prevent clients death
C) No unless atty knows there have
been prior attempts
D) No because disclosure would aid
state in civil commitment
proceedings
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

71

Q. 4-13, p. 372 Self protection is


attorney disclosure permitted?

A) Yes unless client objects


B) Yes because an attorney has a
right of self-defense
C) No unless criminal charges have
been brought against the attorney
D) No because disclosure will harm
the client

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

72

Confidentiality
Definitions and black-letter
rules

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

73

Confidential information NY definition


Confidential information consists of
information gained during or relating
to the representation of a client,
whatever its source, that is (a)
protected by the attorney-client
privilege, (b) likely to be
embarrassing or detrimental to the
client if disclosed, or (c) information
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

74

Confidential information NY definition

Confidential information
does not ordinarily include (i) a
lawyers legal knowledge or legal
research or
(ii) information that is generally
known in the local community or in
the trade, field or profession to which
the information relates.
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

75

Model Rule 1.6: Confidentiality of


Information

(a) A lawyer shall not reveal


information relating to the
representation of a client unless
the client gives informed
consent,
the disclosure is impliedly
authorized in order to carry out
the representation or
the disclosure is permitted by
paragraph (b).
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

76

Rule 1.6 (b) exceptions to Confidentiality


of Information

(b) A lawyer may reveal


information relating to the
representation of a client to the
extent the lawyer reasonably
believes necessary:

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

77

Rule 1.6 (b) exceptions to Confidentiality


of Information
(1) to prevent reasonably certain
death or substantial bodily harm

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

78

Rule 1.6 (b) exceptions

(2) to prevent the client from


committing a crime or fraud that
is reasonably certain to result in
substantial injury to the financial
interests or property of another
and in furtherance of which the
client has used or is using the
lawyer's services;
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

79

Rule 1.6 (b) exceptions to Confidentiality


of Information
(3) to prevent, mitigate or rectify
substantial injury to the financial
interests or property of another that
is reasonably certain to result or has
resulted from the client's commission
of a crime or fraud in furtherance of
which the client has used the
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

80

Rule 1.6 (b) exceptions to Confidentiality


of Information

(4) to secure legal advice


about the lawyer's
compliance with these Rules

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

81

Rule 1.6 (b) exceptions to Confidentiality


of Information
(5) to establish a claim or defense on
behalf of the lawyer in a controversy
between the lawyer and the client
to establish a defense to a criminal
charge or civil claim against the
lawyer based upon conduct in which
the client was involved, or to respond
to allegations in any proceeding
concerning the lawyer's
representation of the client; or
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

82

Rule 1.6 (b) exceptions to Confidentiality


of Information

(6) to comply with other law


or a court order.

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

83

Restatement 60 A Lawyer's Duty to Safeguard


Confidential Client Information

(1) During and after


representation of a client:
(a) the lawyer may not use or
disclose confidential client
information if there is a
reasonable prospect that doing so
will adversely affect a material
interest of the client or
the client has instructed the
lawyer not to use or disclose such
information
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

84

Restatement 60 A Lawyer's Duty to Safeguard


Confidential Client Information

61 Using or Disclosing Information to


Advance Client Interests

A lawyer may use or disclose


confidential client information when
the lawyer reasonably believes that
doing so will advance the interests
of the client in the representation.

Ch. 4 Lawyer's Duty of


Confidentiality Part 2

85

M.R.P.C. 1.6 (b) (6)

(b) A lawyer may reveal


information relating to the
representation of a client to the
extent the lawyer reasonably
believes necessary:

(6) to comply with other law or a


court order.
Ch. 4 Lawyer's Duty of
Confidentiality Part 2

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Exceptions to Confidentiality Lawyer's Duties


to a Client Restatement 61-67

- to advance client interests (61)


- with consent (62)
- when required by law (63)
- in self-defense by attorney (64)
- in a fee dispute (65)
- to prevent death or serious bodily
harm (66)
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Rule 1.18 Duties to Prospective Client


(a) A person who discusses with
a lawyer the possibility of
forming a client-lawyer
relationship with respect to a
matter is a prospective client.

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Rule 1.18 Duties to Prospective Client


(b) Even when no client-lawyer
relationship ensues, a lawyer who
has had discussions with a
prospective client shall not use or
reveal information learned in the
consultation, except as Rule 1.9
would permit with respect to
information of a former client.
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Rule 1.18 Duties to Prospective Client


(c) A lawyer subject to
paragraph (b) shall not
represent a client with interests
materially adverse to those of a
prospective client in the same or
a substantially related matter if
the lawyer received information
from the prospective client that
could be significantly harmful to
that person in the matter, except
as provided in paragraph (d)
[screening].
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Rule 1.18 Duties to Prospective Client


If a lawyer is disqualified from
representation under this
paragraph, no lawyer in a firm
with which that lawyer is
associated may knowingly
undertake or continue
representation in such a matter,
except as provided in paragraph
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R. 1.9 Duties to former clients

(c) A lawyer who has formerly


represented a client in a matter
or whose present or former firm
has formerly represented a
client in a matter shall not
thereafter:

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R. 1.9 Duties to former clients

(1) use information relating to


the representation to the
disadvantage of the former
client except as these Rules
would permit or require with
respect to a client, or when the
information has become
generally known; or
(2) reveal information relating to
the representation except as
these Rules would permit or
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R. 3.3 Candor Toward the Tribunal


(b) A lawyer who represents a client
in an adjudicative proceeding and
who knows that a person intends to
engage, is engaging or has engaged
in criminal or fraudulent conduct
related to the proceeding shall take
reasonable remedial measures,
including, if necessary, disclosure to
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Q. 4-14 p. 403 Lawyer self-protection


Is it proper for Attorney to reveal such
information?
(A) Yes, unless Client objects to the
disclosure.
(B) Yes, because Attorney may reveal
such information to defend herself
against a civil claim.
(C) No, unless criminal charges have
also been brought against Attorney.
(D)No, because the disclosure will be
detrimental to Client.
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