FL professional conduct Flashcards

1
Q

admission to legal profession

A

the FL supreme court regulates admission to FL bar

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2
Q

requirements for admission (CAKE!)

A
  • character: DRTH- diligence, reliability, trustworthiness, honesty; automatically discharged if you are felon, disbarred or suspended
  • age: at least 18 yo
  • knowledge: must pass bar exam, complete practice with professionalism course within 12 mos of admission, complete 3 elective basic CLE programs during initial 3 yr reporting cycle
  • education: must attend accredited school
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3
Q

regulation following admission

A
  1. duty to report: a lawyer must report another lawyer’s misconfuct where it raises a substantial question as to the lawyer’s honesty/trustworthiness to practice law unless info learned in confidence
  2. liability for unrelated conduct: a lawyer might be disciplined for conduct unrelated to practice o law
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4
Q

practice of law: law firms and law firm names

A
  • lawyers practicing in a firm have a special rules for confidentiality and conflict
  • lawyers sharing office space arent usually treated as firm, but they will be treated as law firm if they hold themselves out as a law firm
  • law firm names may not be misleading
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5
Q

practice of law: pro bono work

A
  • pro bono is not mandatory
  • annual reporting of pro bono services is mandatory
  • under rules of professional conduct, lawyers should provide at least 20 hrs of services to the poor or contribute at least $350
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6
Q

practice of law: association with non-lawyers

A
  • a lawyer may not arrange a practice in a way that compromises the lawyers professional independence
  • non-lawyers cannot be partners with lawyers nor can non-lawyers own an interest in a law firm, serve as an officer of a law firm, or direct or control a lawyer’s professional judgment
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7
Q

practice of law: fee sharing

A
  • a lawyer may not share legal fees with non-lawyers except for the ESPN-B exceptions
    1. estates for work done before death
    2. sale of dead, disabled, or disappeared lawyers
    3. pensions paid to retired firm lawyers
    4. non-profit organizations sharing court awarded fees
    5. bonuses paid to firm staff
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8
Q

practice of law: responsibility for the conduct of other lawyers in the firm

A
  • lawyer one responsible for lawyer 2 if:
    1. lawyer 1 orders lawyer 2 conduct or knowingly ratifies it OR
    2. lawyer 1 has supervisory authority over lawyer 2, knows ofthe conduct when it can be remedied, but fails to take reasonable remedial action
  • subordinate lawyer may rely on orders from a supervising atty if its is a rreasonable resolution of an arguable question of professional duty
  • partners must make reasonable measures to ensure lawyers and non-lawyers comply with the rules
  • lawyers and law firms are responsible for the misconduct of non-lawyer assistants, inclduing secretaries, law clerks, and paralegals
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9
Q

unauthorized practice of law

A
  • the practice of law involves exercise of legal professional judgment
  • confduct likely to involve unauthorized practiced of law if it involved giving legal advise or performing services tailored to address the specific needs of an individial client
  • a licened fl lawyer may not practice in a state where the lawyer is not admitted
  • fl lawyer may not assist another in unauthorized practice (except for assisting pro se litigants and certified legal interns)
  • penalties for unauthorized practice may include civil penalties, criminal penalties, and professional discipline

ex: filing pleasings on behalf of client, but not providing general advise to landlords about fl eviction law at a seminar or giving a lecture

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10
Q

fees: communicating fees to clients

A
  • NEW CLIENTS: lawyer must communicate the basis/rate of the fee, preferably in writing, upon commencement of the representation
  • OLD CLIENTS: Lawyers need not communicate fees if a basic understanding already exists regarding the basis/rate of the fee

Attorney’s fees can be paid by another party but the client must be informed that the fees are being paid by someone else.

Confidential – The Attorney must keep the case confidential b/t the buyer (client) and the Attorney. He cannot disclose anything about the case unless client consents.

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11
Q

fee: reasonableness of the fee

A
  • fees must not be illegal, prohibited, or clearly excessive (costs charged must also be reasonable)
  • a fee is excessive when a lawyer of ordinary prudence would have a definite and firm conviction that the fee exceeds a reasonable fee to such a degree that it constitutes over-reaching
  • factors to consider in determining whether a fee is reasonable (ERRANT PLANS)
    1. experience
    2. reputation
    3. results
    4. ability
    5. novelty
    6. time and labor
    7. precluded
    8. limits
    9. amounts
    10. normal fees
    11. skill required
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12
Q

fee: advances (Retainer)

A
  • lawyer may ask for all/portion of fee as “Advance” or “retainer” before starting work on a matter
  • any amounts received must be placed in a client trust account from which the lawyer may withdraw sums as the work is performed and client is billed
  • if the attorney quits (or is fired) the. lawyer must return to the client all outstanding amounts
    distinguish an advance from an availability retainer:
  • advance is prepayment for performance of specific services to be rendered
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13
Q

contingent fees

A
  • payment of which depends on the results obtained for the client
    requires
    1. in writing
    2. signed by client AND all participating lawyers
    3. states percentage payable to lawyer in event of settlement, trial, or appeal
    4. states whether expenses deducted from recovery and if so whether they come out before/after calculation of fee
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13
Q

contingent fees

A
  • payment of which depends on the results obtained for the client
    requires
    1. in writing
    2. signed by client AND all participating lawyers
    3. states percentage payable to lawyer in event of settlement, trial, or appeal
    4. states whether expenses deducted from recovery and if so whether they come out before/after calculation of fee
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14
Q

extra contingency requirements in tort cases involving personal injury

A
  1. contract must state client has read and understand statement of client’s rights
  2. client must get signed copy of statement
  3. statement musy syaye client can cancel within 5 business days of entering into it
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15
Q

extra contingency requirements in medical liability cases

A
  1. provide client with oral and written notice of the fl constitution fee limit provision
  2. inform client that (unless waived) client must receive at least 70% of the first $250,000 of all damages received, exclusive of costs; client must get 90% of all damages in excess of $250,000, exclusive of costs
  3. any wayver made by client must be in writing and under oath, in form provided under the Rules
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16
Q

prohibited contingency fee arrangements

A
  • criminal cases and domestic relations cases where outcome contingent on securign divorce, alimony, support, or property settlement
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17
Q

prohibited contingency fee arrangements

A
  • criminal cases and domestic relations cases where outcome contingent on securign divorce, alimony, support, or property settlement
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18
Q

contingency fee caps

A

fees that exceed these caps are presumed to be excessive
before filing answer or demand:
* 33.3% of recovery up to $1 million
* 30% of recovery over $1 million
after filing answer or demand:
* 40% of recovery up to $1 million
* 30% of recovery between $1-2 million
* 20% of recovery over $2 million

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19
Q

division of fees

A
  • within firm, lawyers may share fees in any way they wish
    for lawyer NOT in the same firm:
  • in cases involving personal injury tort claims, 75% goes to the lawyer with 25% authority
  • in other cases, any reasonable division allowed provided either
    1. the division is proportionate to the work performed ot
    2. there is a written agreement with the client that the lawyers assumed joint responsibility for the matter
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20
Q

advertisements and solicitation

A
  • advertisements: public communications targeted to broad audience (any written/spoken communication seeking legal employment, including social media)
  • solicitation: communication targeted to a specific group or specific individual requiring specific legal needs (subject to greater regulations because of fears of overreaching and invasion of privacy)
  • all solicitation is advertising but not all advertising is solicitation
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21
Q

advertismeent: general requirements

A

general requirements
1. name of at least one lawyer or name of firm responsible for ad or the location of the practice
2. filed with fl bar at least 20 days before dissemination
3. maintain copy of ad for 3 yrs after last dissemination

general content requirements
* any characterizations of quality must be objectively verifiable
* any statements regarding areas of practice must be true
* it cannot state or imply fl bar approval
* it may not use celebrity endorsements or testimonials
* all statements about fees must disclose client’s liability for expenses
* lawyer must honor advertised fee for at least 90 days unless ad provides otherwise
* if claiming to be board ceritfied must be certified:
1. by the fl bar
2. by an organization named in ad thats accredited by fl bar or
3. by another state bar named in ad that applies standards reasonably comparable to florida’s

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22
Q

advertisements: special rules

A
  • advertisements may not be false, misleading, or deceptive
  • an advertisement violates this rule if any of these apply
    1. it contains a material misrepresentation of the law
    2. it implies existence of material non-existent fact
    3. it fails to disclose material information necessary to prevent it from being false or misleading
    4. it contains unverifiable references to past successes or results
    5. it promises future success or specific results
    6. it states or implies lawyer can achieve results by means that violate RPC or other law
    7. it compares lawyers services with others, unless claims can be substantiated
    8. it contains testimonial that is false, written or drafted by lawyer, paid for, or doesnt include disclaimer that prospective client may not obtain the same/similar results
    9. it uses a government title unless clarified with modifying terms such as “former” or “Retired”
    10. it uses language that characterizes a lawyer’s skill, experience, reputation, or record, except for terms that are objectively verifiable
  • advertising rules apply to lawyers admitted in fl, to lawyers in other jurisidictions whose ads target floridians, and to ads run as referral services
  • the ad rules DO NOT apply to lawyer communications with family members or to other lawyers as well as to announcement cards mailed to friends, relatives, current clients, and former clients telling them lawyer has changed associations or address
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23
Q

special rules for specific media

A
  • visual portrayals: dramatizations permitted if they contain prominant notice stating “DRAMATIZATIONS, NOT AN ACTUAL EVENT”
  • tv and radio: no recognizable voice/image except that of local tv/radio personality as long as there’s no endorsement or testimonial
  • email: no unsolicited emails to prospective clients unless they comply with solicitation rules, include bona fide office location, and begin the subject with “advertisement”
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24
Q

solicitation: exceptions for pecuniary gain

A
  • family members
  • current and former clients
  • pro-bono solicitation
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25
Q

solicitation: general requirements

A
  • marked as “Advertisement” on envelope and inside (or subject line of email)
  • accompanied by written statement with information about lawyer’s or firm’s training and experience
  • if fee contract included, must be marked SAMPLE in red ink and “do not sign” in a large font.
  • must not resemble an official legal document
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26
Q

solicitation: requirements for written solicitation triggered by specific occurence

A
  • first sentence must say “if you have already retained a lawyer for this matter, please disregard this letter/email”
  • must state who will handle the matter
  • must state how lawyer learned of prospective client’s needs for legal services
  • any envelope must no reveal nature of client’s legal problem
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27
Q

specific solicitation prohibitions

A
  • in personal injury and wrongful death cases, may not send written communications unless accident occurred more than 30 days prior to mailing
  • may not send solicitation on specific matter if lawyer knows recipient is already represented by counsel in the matter
  • may not solicit if the recipient has requested not to be solicited
  • may not solicit if recipient is physically or emotionally incapable of using reasoned judgment in hiring lawyer
  • may not contact respondent named in an injunction for protection when lawyer knows or has reason to know respondent has not been served with notice of process
28
Q

lawyer referral services

A
  • a lawyer cannot accept referrals from a lawyer referral service UNLESS the service:
    1. does not engage in prohibited solicitation
    2. receives no fee that would violate the division of fees rules
    3. does not refer clients to unauthorized practitioners of law
    4. carries at least $100,000 in professional liability insurance
    5. furnishes quarterly information to the fl bar about members and employees
    6. responds within 15 days to bar counsel inquiries
    7. does not imply endorsements by the fl bar
    8. uses its legal or registered name in all public communications
    9. identifies itself as a lawyer referral service and states the lawyer pay to participate in the service
29
Q

lawyer directories

A
  • lawyer cannot advertise in a directory UNLESS the directory:
    1. does not engage in prohibited solicitation
    2. receives no fee that would violate the division of the fee rules
    3. does not list unauthorized practitioners of law
    4. responds within 15 days to bar counsel inquiries
    5. does not imply endorsement by the fl bar
    6. uses its legal or registered name in all public communications
    7. identifies itself as a lawyer directory service
30
Q

attorney-client relationship

A
  • lawyer’s key duties= loyalty and confidentiality
  • lawyer’s key roles= fiduciary (relationship of utmost trust and confidence) and agent (empowered to act on client’s behalf that legally binds client)
31
Q

attorney-client relationship= formation of relationship

A

test= reasonable expectation of the client

32
Q

attorney-client relationship: prospective clients

A

lawyer must keep client confidences learned in initial meeting, even if representation does not go forward

33
Q

lawyer-client relationship: diminished capacity

A
  • lawyer must maintain a normal relationship to the extent reasonably possible
  • if that is not possible, the lawyer may seek appointment of a guardian
34
Q

lawyer-client relationship: scope, objectives, and means of representation

A
  • client controls the scope and objectives of representation
  • lawyer controls the means or tactics used in the representation (with client consultation)
  • laywer and client can negotiate the scope of representation if limits are reasonable and client gives informed consent after consultation
  • client decisions: whether to settle a civil case (although settlement made with apparent authority is binding) and in criminal cases, whether to testify or accept or enter a plea arrangement
  • lawyer may not counsel or assist clients in conduct lawyer knows or reasonably should know is either criminal or fraudulent, though lawyer may discuss legal consequences of any proposed course of action with the client

lawyer has duty to inform client of settlemtn offer
if a settlemtn offer stops firms from bringing lawsuits to def in the future, this is a bar to access to the courts, which is fundamental right. unfair.

35
Q

conflicts of interest

A
  • identify client
  • is there a conflict?
  • if there is a conflict, is it consentable?
36
Q

current client conflicts

A

a lawyer must NOT represent a person if
(1) the representation is directly adverse to a current client or
(2) the representation is materially limited by the lawyer’s obligation to a current client, unless conflict is consentable
* direct adversity: the clients would be on opposite sides
* material limitation: the representation presents a substantial risk that the representation will be materially limited by the lawyer’s responsibilities to another client, a former client, a third person, or the lawyer’s own personal interest
* consentability: 4-part test- lawyer can represent new client if
1. lawyer reasonably believes lawyer can provide competent and diligent representation to each affected client;
2. representation not prohibited by law
3. lawyer will not assert a position adverse to one client when representing two or more clients in the same proceeding before a tribunal and
4. each client gives consent after consultation that is confirmed in writing or clearly stated on the record at a hearing

37
Q

former client conflicts

A
  • representations materially adverse to a former client in the same or substantially related matter are prohibited absent informed consent
  • same or substantially related matter: where two legal matters involve the same transaction or legal dispute
  • a lawyer may not use confidential information against a former client or otherwise reveal such information (unless it beocmes generally known)
38
Q

business transaction with clients

A
  • transaction terms must be fair and reasonable, fully disclosed in writing
  • must advise client to seek independent counsel in writing
  • client must consent in writing
  • literary and media rights: lawyer cannot negotiate for/acquire literary/media rights relating to the representation of a client before the conclusion of all aspects of the matter than gave rise to the representation
  • soliciting gifts: lawyer may not solicit any gift unless lawyer related to the client

in trusts, attorney cannot create an instruement in which they will be substantial beneficiary of. (its like a gift)

39
Q

business transaction with clients: third party influence on professional judgment

A
  • general rule: third parties cannot direct representation or interfere with a lawyer’s professional judgment or other duties to client, including loyalty and confidentiality
  • a lawyer may not accept payment for representation from someone other than the client unless
  1. client gives informed consent
  2. there is no interference with independent professional judgment or with client-lawyer relationship and
  3. confidentiality is protected
40
Q

business transaction with clients: organization as client

A
  • general rule: the organization is the client, not any of its officers, directors, or employees
  • lawyer may represent organization and its constitutents as long as their interests are aligned
  • lawyeer must not mislead a constituent of the organization into thinking lawyer represents the constitutent with the lawyer does not
41
Q

imputed disqualification

A
  • conflicts imputed to lawyers within same firm= if a lawyer is tainted by a conflict, every lawyer in the firm is tained by the conflict and is disqualified
  • non-lawyer’s conflicts not imputed= if a non-lawyer in the firm is tainted by a conflit, the conflict is not imputed to lawyer’s in the firm, but the non-lawyer must be screened from participation

switching firms:
* the lawyer’s old firm: when a lawyer leaves a firm, the old firm may not represent persons if
1. their interests are materially related to those of clients of the lawyer who left
2. the two matters are the same or substantially related and
3. any lawyer remaining in the firm has acquired confidential information about the former client
* the lawyer’s new firm
* same rules as above, but switch “old firm” to new firm

42
Q

duties and obligations to client: duty of competence

A
  • duty of competence: new lawyers can become competent through preparation and joining up with counsel; a client cannot consent to less than competent representation
43
Q

duties and obligations to client: duty of communication

A
  • duty of communication: a lawyer must:
    1. keep the client reaosnably informed as to the status of the matter
    2. promptly reply to all requests for information and
    3. convey all settlement or offers promptly, unless client agrees otherwise
44
Q

duties and obligations to client: duty of diligence

A

duty of diligence: lawyers are expected to be zealous on behalf of the client, but this does not require offensive tactics

45
Q

duties and obligations to client: duties to prospecitve clients

A
  • duties to prospective clients: the lawyer must keep the confidences and treat the prospective client as a former client for conflicts purposes
46
Q

duties and obligations to client: safeguarding client property

A
  • safeguarding client property: do not commingle client property !
    1. keep client/third party/two or more people’s interest in funds/property, fee dispute amounts, and advances in client trust account
    2. short term funds belonging to client and third parties must be in IOTA account (interest of trust account payable to fl bar)
47
Q

duties and obligations to client: duty of confidentiality and attorney-client privilege

A
  • attorney client privilege: a testimonial privilege applies in proceedings before a tribunal where a lawyer is asked to testify or produce evidence about a client communication
  • applies to confidential communication between attorney and client made for purpose of seeking/giving legal advise
  • only client can waive privilege
  • privilege lasts indefinitely
  • exceptions
    1. future crime/fraud
    2. disputes between lawyer and client
  • duty of confidentiality: applies in wider range of situations to protect all info relating to representation of a client, from any source
  • exceptions:
    1. client gives informed consent
    2. disclosure impliedly authorized to carry out representation
    3. mandatory disclosure situations- disclosure REQUIRED to prevent
  • death or substantial bodily harm
  • client from committing a crime
    4. permissive disclosure situations- disclosure allowed to
  • serve the client’s best interest (unless client refuses)
  • establish a claim or defense in dispute between lawyer and client
  • establish defense to criminal charge or civil claim against the lawyer based on the conduct
  • respond to allegations in any proceeding concerning the lawyers representation
  • comply with the rules of professional conduct
48
Q

obligations to third persons, adverse parties, and the courts

A
  • a lawyer may not lie or misrepresent a situation
  • a lawyer may not assist a client’s crime or fraud
  • a lawyer does not always have to reveal everythign the lawyer knows
  • puffing in negotiations is permissible
49
Q

obligations to third persons, adverse parties, and the courts : communication with represented persons

A
  • a lawyer must NOT communicate with a person known to be represented by counsel, unless either
    1. the opposing lawyer consents or
    2. the communication is authorized by law
50
Q

obligations to third persons, adverse parties, and the courts : communication with the constituents of a represented organization

A
  • absent consent from the represented organization’s lawyer, a lawyer may not communicate with any of the organization’s employees that fall into any three categories
    1. employees who exercise managerial authority in the matter
    2. any employee in the organization alleged to have committed the wrongful act at issue OR
    3. the employees who have authority to make decisions about the course of litigation
  • note that consent of the organization’s lawyer is not required for contact with former employees of the organization
51
Q

obligations to third persons, adverse parties, and the courts : communication with unrepresented persons

A
  • a lawyer may talk to unrepresented persons, but may need to clarify the lawyer’s role
  • a lawyer who receives a document sent inadvertently must prompty notify the sender
52
Q

obligations to third persons, adverse parties, and the courts : repsect for rights of adverse parties

A
  • lawyer may not bring a frivolous argument
  • laweyer should make efforts to pursue litigation consistent with the client’s interest
  • lawyer must not
    1. obstruct access to evidence
    2. alter or destory evience or
    3. fabricate evidence, or counsel another to do so
53
Q

obligations to third persons, adverse parties, and the courts : repsect for rights of adverse parties

A
  • lawyer may not bring a frivolous argument
  • laweyer should make efforts to pursue litigation consistent with the client’s interest
  • lawyer must not
    1. obstruct access to evidence
    2. alter or destory evience or
    3. fabricate evidence, or counsel another to do so
54
Q

obligations to third persons, adverse parties, and the courts : candor to the tribunal

A
  • do not lie to the tribunal!
    lawyer must
    1. correct false statements of material fact
    2. correct false evidence
  • must refuse to offer evidence the lawyer knows to be false
  • must correct false evidence when discovered
  • may refuse to offer evidence the lawyer reasonably believes to be false
  • disclose controlling legal authority directly adverse to client’s position
  • not allow a client to testify falsely (persuade client not to lie, refuse to offer testimony, elicit only truthful parts of the testimony)
  • take reasonable remedial steps to correct client perjury
  • inform tribunal of all material facts in ex-parte proceeding
    3. the duty of candor continues beyond the proceeding, unclear for how long
55
Q

obligations to third persons, adverse parties, and the courts : communication with judge/official

A
  • in adversary proceeding, lawyer must not communciate with a judge/official before whom proceeding is pending as to merits of matter, except
    1. in the official proceeding
    2. in writing, with a copy promptly delivered to opposing counsel
    3. orally, upon giving notice to opposing counsel; or
    4. as otherwise authorized by law
56
Q

obligations to third persons, adverse parties, and the courts : trial publicity

A

an attorney may be disciplined if statements create a substantial likelihood of materially prejudicing adjudicative proceedings

57
Q

obligations to third persons, adverse parties, and the courts : special duties of prosecutors

A
  • cannot knowingly prosecute a charge without probable cause
  • cannot seek waiver of improtant pre-trial rights from an unrepresented accused
  • must make timely disclosure of evidence negating guilt or mitigating an offense
  • with regard to sentencing, must disclose to defense and tribunal unprivileged mitigating information, unless protective order relieves this obligation
58
Q

withdrawal: mandatory withdrawal

A
  • 5 situations when lawyer must withdraw from representation
    1. continuing the representation will result in vilation of the rules of professional conduct/other law
    2. laywers physical or mental impairment mentally impairs the ability to represent the client
    3. lawyer is discharged by the client
    4. client persists in criminal or fraudulent courses of action
    5. lawyer’s services are used to commit crime or fraud
59
Q

withdrawal: permissive

A

5 situations when lawyer may withdraw
1. no material adverse effect on the client
2. client insists upon course of action that is repugnant, imprudent, or with which lawyer has a fundamental disagreement
3. client does not pay fees after reasonable warning that the lawyer will withdraw
4. the representation imposes an unreasonable financial burden on the lawyer or is rendered unreasonably difficult by the client
5. other good cause

60
Q

professionalism: oath of admission

A
  • pledge to support US and FL constitutions
  • respect for courts and judicial officers
  • never seek to mislead judge or jury by any aritfice or false statement
  • pledge fairness, integrity, and civility to opposing parties and counsel
  • abstain from all offensive personality
61
Q

professionalism: fl bar creed of professionalism

A
  • in professional private life uphold dignity of law and judicial system
  • further the profession’s devotion to public service and the public good
  • adhere to spirit and letter of code of ethics
  • abstain from rude, disruptive, disrespectful, and abusive behavior
  • act at all times with dignity, decency, courtesy
  • respect time and commitment of others
62
Q

profesionalism: fl bar ideals and goals

A
  • commitment to serve others
  • usign knowledge to promote fair and just results
  • endeavoring always to enhance one’s knowledge and skills
63
Q

professionalism: rules regulating fl bar

A
  • lawyer may not violate rules/knowingly assist another in doing so
  • lawyer may not engage in dishonesty, fraud, deceit, misrepresentation
  • lawyer may not willfully refuse to pay child support
  • lawyer may not enagge in sexual conduct with client that exploits/adversely affects client’s interest/attorney-client relationship
64
Q

professionalism: decisions of fl supreme court

A
  • fl supreme court decisions dictate part of professionalism standard of community
  • fl supreme court annoucned that in defining unprofesional conduct, it will look to substantial or repeated violations of these standards
65
Q

punitive damages

A
  • Punitive Damages – are only recoverable for intentional misconduct or Gross negligence. In FL Punitive Damages are capped at 3 times Compensatory or 500,000.
  • If motivated by Financial Gain then the cap is 4 times compensatory or 2 million.
  • If an intentional tort or drugs or alcohol involved then there is no cap.
66
Q

attorney’s fees

A
  • Generally each party must pay their own fees.
  • However, in Florida by statute Attorney’s fees can be awarded in certain cases where manufacturers or Sellers defraud or Breach K.
67
Q

lending clients money

A
  • A lawyer is not allowed to lend their clients money except in specific circumstances, such as
  • advancing the costs and expenses of the litigation. (allows courts to remain open to everyone regardless of financial status by allowing a lawyer to front the fees for a client whom the lawyer believes has a valid case)