Second Department made it mandatory for all prospective attorneys to attend Orientation to the Profession program. Part of the program included the lecture attendance, while the other part was to read the program materials. I attended the lecture on February 10, 2012. The whole event lasted for approximately 4 hours. If I was to sum up the whole event in one sentence, it would be as follows: “Attorney regulation is so extensive, that it is impossible for a single attorney to be aware of all ethical requirements and the rules of professional conduct.” This conclusion is supported by the numerous ethical opinions (see e.g. NY State Bar, NY City Bar, NY County Bar), committees and violators. While it is difficult to keep track of all of the requirements, it is helpful to sketch main highlights and hopefully keep in line with the rules.
- Rules of Professional Conduct have been formally adopted by all judicial departments of New York under 22 NYCRR part 1200.
- Statement of Client’s Rights. Every attorney with a NY office must post the statement. 22 NYCRR 1210.1.
- Letter of Engagement Rules cover scope of representation and fees. 22 NYCRR 1215.
- Contingent fees. In writing (RPC 1.5(c)). Prohibited in criminal cases (RPC 1.5(d)(1)). Limited in domestic relations (RPC 1.5(d)(5)).
- “Non-refundable” labels prohibited (RPC 1.5(d)(4)), “minimum fee” label limited use (Cooperman, Brenner, Heller)
- Fee sharing / referral limited. RPC 1.5(g); Aiello.
- Fee disputes. 22 NYCRR 137.
- Client communication concerning: material developments (RPC 1.4), settlement/plea agreements (RPC 1.2), response time (RPC 1.4(a)(4), Wachs, Rossbach) and opposing counsel communication.
- Adverse party communication. RPC 4.2.
- Ex parte communication. RPC 3.5(a).
- Attorney-client privilege. CPLR 4503(a).
- Confidentiality of Information. RPC 1.6.
- Funds and records. RPC 1.15.
- Banking. Attorney Trust/Special/Escrow account (RPC 1.15(b), (e); 22 NYCRR 1300.1(a)). IOLA unsegregated interest bearing checking account (Judiciary Law Sec. 497). Office business account (RPC 1.15(d)(1)(i)).
- Biennial registration. Judiciary Law 468-a; 22 NYCRR 118.1.
- Office requirements. Judiciary Law 470; Lichtenstein; Cheshire Academy; Fordan’s Estate.
