Law Commons^™

Technology And Client Communications: Preparing Law Students And New Lawyers To Make Choices That Comply With The Ethical Duties Of Confidentiality, Competence, And Communication, Kristin J. Hazelwood

Law Faculty Scholarly Articles

That the use of technology has radically changed the legal profession is beyond dispute. Through technology, lawyers can now represent clients in faraway states and countries, and they can represent even local clients through a “virtual law office.” Gone are the times in which the lawyer’s choices for communicating with clients primarily involve preparing formal business letters to convey advice, holding in-person client meetings in the office, or conducting telephone calls with clients on landlines from the confines of the lawyer’s office. Not only do lawyers have choices about how to communicate with their clients, but they also frequently choose …

Something Bad In Your Briefs, Richard H. Underwood

Law Faculty Scholarly Articles

In a profession heavily driven by writing, plagiarism is an ethical issue that plagues the legal community. The legal profession generally views plagiarism as unethical, but often sends mixed messages by condemning it in some settings, but not others. In this short Commentary, Professor Underwood discusses the ethical implications of plagiarism in legal writing.

Making Stuff Up, Richard H. Underwood

Law Faculty Scholarly Articles

Beginning with an article in this Journal almost thirty years ago, Professor Underwood continues to research and write about legal ethics and litigation. In this Commentary, he offers a witty look at several cases where, in his opinion, the judge allowed improper arguments to the jury.

Expecting Too Much And Too Little Of Lawyers, Eugene R. Gaetke

Law Faculty Scholarly Articles

The regulation of lawyers' behavior remains a controversial topic. Over the past hundred years, the organized bar has engaged in a number of efforts to generate rules governing lawyers' conduct. Still, prominent lawyers and jurists, the public media, and legal scholars perceive an ongoing decline in the profession's ethics.

Bar leaders tend to respond to the problem by calling for greater "professionalism" among practicing lawyers. Drawing on professional images from earlier times, they urge lawyers to look beyond the rules and to be more virtuous, selfless, independent of clients, and dedicated to justice.

A number of commentators go further. These …

The Ethical Obligation Of Transactional Lawyer To Act As Gatekeepers, Rutheford B. Campbell Jr., Eugene R. Gaetke

Law Faculty Scholarly Articles

Recent examples of managerial misconduct at major corporations have called into question the adequacy of the gatekeeper role provided by transactional lawyers representing corporations. That role is governed by Model Rule 1.13(b), which obligates the lawyer for a corporation to take remedial action if the lawyer knows that corporate managers are engaged in actions that amount to a "violation of a legal obligation" to the corporation or that are unlawful and likely to result in substantial injury to the corporation. In addition, Model Rule 1.2(d) forbids a lawyer from lending assistance to any action by corporate managers "that the lawyer …

What Gets Judges In Trouble, Richard H. Underwood

Law Faculty Scholarly Articles

I wrote this article to collect some cautionary material about “what gets judges in trouble.” I wanted something I could offer to our state judges, practitioners, and my legal ethics students. While I have never been a judge, and while I have never worked for a judicial conduct organization, I have been a law professor for almost twenty-five years and the chairman of a state bar association ethics committee for fourteen. I am not the kind of person who would refrain from holding forth just because I may not know what I am talking about.

When I started out, I …

What I Think That I Have Learned About Legal Ethics, Richard H. Underwood

Law Faculty Scholarly Articles

In this short piece I want to say a few things that other academics teaching legal ethics may find disturbing. I say this because I believe that I may be swimming against the current academic fashion. Of course, it is possible that I do not have a very good handle on the current academic fashion. I hope I am not setting up a straw person to knock down, but I may be. If I am, I am sure someone will call me to task. What I am going to say is this: contrary to popular belief (among practitioners, at least) …

Administrative Adjudication In Kentucky: Ethics And Unauthorized Practice Considerations, Richard H. Underwood

Law Faculty Scholarly Articles

This article is an extended version of a presentation I made at a training course for hearing officers sponsored by the Office of the Attorney General, Division of Administrative Hearings. In my original presentation, I was asked to focus on the ethics of the administrative adjudicator. I was asked to answer some specific questions, which I will include here for the reader's benefit. In this more complete treatment, I would also like to discuss the ethics of lawyers and other representatives appearing before administrative agencies.

The Kentucky Courts had begun to "judicialize" the administrative hearing process in the early 1970's, …

The Professional And The Liar, Richard H. Underwood

Law Faculty Scholarly Articles

Many individuals in society think that all lawyers are liars. Some think lawyers are allowed to lie. Regrettably, some American lawyers apparently think so too. In the United States there has been, and continues to be, a troubling lack of professional consensus when it comes to litigating a case. Indeed, lawyers who are neither corrupt nor insensitive have been accused of arguing that the elicitation of false testimony, and the use of it, is a professional responsibility. Fairness also calls for some acknowledgment that even the most cunning, zealous, and successful of trial lawyers have agonized over such moral choices. …

Renewed Introspection And The Legal Profession, Eugene R. Gaetke

Law Faculty Scholarly Articles

As the twentieth century draws to a close, the legal profession again immersed in a process of self-assessment, reflection, and reform. Operating on several fronts, various constituent elements of the bar have recently completed or have underway significant projects relating to the law of lawyering.

Two efforts stand out in particular. For more than a decade, the American Law Institute has labored in the production of a new Restatement of the Law Governing Lawyers, and the organization stands now on the brink of that monumental work's publication. Equally significant, the American Bar Association has again undertaken a comprehensive review of …

Kentucky Law Survey: Professional Responsibility, William H. Fortune

Law Faculty Scholarly Articles

This article is a survey of recent Kentucky ethics cases and Kentucky Bar Association ethics opinions. The cases and opinions selected are those of general application but special interest.

The Role Of Ethics And Unauthorized Practice Opinions In Regulating The Practice Of Law In Kentucky, William H. Fortune

Law Faculty Scholarly Articles

The purpose of this article is to discuss the role of ethics and unauthorized practice opinions in regulating the practice of law, with suggestions for clarification and improvement.

The Kentucky Bench and Bar, the quarterly journal of the Kentucky Bar Association ("KBA"), prints "Advisory Ethics Opinions" and "Unauthorized Practice Opinions" over the signatures of the respective chairs of the Ethics and Unauthorized Practice of Law ("UPL") Committees. This article describes: 1) how ethics and unauthorized practice opinions are generated; 2) the legal effect of the opinions; 3) the relationship of ethics opinions to attorney discipline; 4) the Board of Bar …

Perjury: An Anthology, Richard H. Underwood

Law Faculty Scholarly Articles

Professor Underwood takes an in-depth look at the occurrence of perjury from ancient Rome to the O.J. Simpson trial. This journey through time provides insight into the motives of perjurers, the difficulties involved in catching them; and the alarming frequency with which they succeed, unchastised.

"X-Spurt" Witnesses, Richard H. Underwood

Law Faculty Scholarly Articles

In this article the author pulls together a history of expert witnesses in common law systems. Various issues are explored regarding expert witness testimony, including: the historical underpinnings of the practice, how Daubert controls that issue in modern times, rules of evidence, psychological science, and professional ethics.

"Show And Tell": An Analysis Of The Scope Of The Attorney-Client Waiver Standards, Roberta M. Harding

Law Faculty Scholarly Articles

As today's society becomes increasingly litigious, document productions, a major discovery tool, are growing larger. One inevitable consequence of this phenomenon is the increased risk that communications protected by the attorney-client privilege may be inadvertently disclosed. Privileged communications may also be disclosed to an adversary under more questionable circumstances: specifically, the intentional, strategic disclosure of privileged information favorable to the disclosing party's position.

In any case involving the disclosure of privileged information, the court must initially decide whether the privilege is waived. To resolve this threshold issue courts apply one of the three waiver tests. If a court decides that …

Risk Management For Lawyers, William H. Fortune, Dulaney O’Roark

Law Faculty Scholarly Articles

Lawyers are under siege. We have become objects of scorn, ridicule, and occasional hatred. If you take your child to the Stephen Spielberg movie Jurassic Park, be prepared for the cheers when the cloned Tyrannosaurus Rex gobbles the lawyer—not a bad guy at all—cowering in the outhouse. In San Francisco a client burst into a California law firm and killed eight and wounded six persons before taking his own life. In response, the president of the California bar linked lawyer-bashing to hate crimes and prevailed on the Miller Brewing Company to withdraw a television commercial depicting a "lawyer-roping rodeo" …

False Witness: A Lawyer's History Of The Law Of Perjury, Richard H. Underwood

Law Faculty Scholarly Articles

From Cain to Potiphar's Wife to the pig and chicken laws of the Lex Salica of Clovis I, Professor Underwood examines the role of the false witness throughout history. Take a voyage extraordinaire and encounter some of history's most notorious perjurers.

Money Laundering And Lawyers, Eugene R. Gaetke, Sarah N. Welling

Law Faculty Scholarly Articles

The federal government has recently enacted money laundering laws to track and discourage the use of money generated by crime. Because some of that money is used to pay legal fees, the laws have a direct impact on lawyers. The laws increase the risk of prosecution for lawyers, inhibit some methods of fee payment, and make some cases less attractive financially. Generally, the laws make law practice more complicated and risky.

The laws have been criticized for their impact on criminal defense lawyers. Critics have raised three broad objections. The first objection is constitutional. Critics have also objected to the …

Part-Time Prosecutors And Conflicts Of Interest: A Survey And Some Proposals, Richard H. Underwood

Law Faculty Scholarly Articles

For many jurisdictions, the need for part-time prosecutors is a reality that will continue into the foreseeable future. The daunting task of balancing a private practice with prosecutorial duties is made all the more difficult by the lack of a coherent set of guidelines for minimizing the impact of conflicts of interest. What is needed is a set of guidelines flexible enough to permit attorneys to balance the part-time prosecutor's dual practice yet concrete enough to protect the system and its participants from conflicts of interest. Of prime importance in establishing any such system is the need for a clear …

Confessions Of An Ethics Chairman, Richard H. Underwood

Law Faculty Scholarly Articles

This article responds to the critics of state bar ethics committees. Indirectly, it raises some questions about the need, or at least the extent of the need, for yet another law-related cottage industry (the for hire legal ethics consultant). It also provides some friendly advice for those well-meaning types in every jurisdiction who are perennially "reforming" or "energizing" their bar associations and demanding for the "membership" a dazzling new array of services. It discusses practical problems that have gone unmentioned in the limited literature, just as it takes issue with many of the assertions that have been made in that …

Lawyers As Officers Of The Court, Eugene R. Gaetke

Law Faculty Scholarly Articles

Lawyers like to refer to themselves as officers of the court. Careful analysis of the role of the lawyer within the adversarial legal system reveals the characterization to be vacuous and unduly self-laudatory. It confuses lawyers and misleads the public. The profession, therefore, should either stop using the officer of the court characterization or give meaning to it. This Article proposes certain modifications of the existing rules of professional responsibility that would bring lawyers' actual obligations more in line with those suggested by the label of officer of the court.

Why Kentucky Should Adopt The Aba's Model Rules Of Professional Conduct, Eugene R. Gaetke

Law Faculty Scholarly Articles

In 1983, after six years of drafting and lively debate, the American Bar Association adopted the Model Rules of Professional Conduct as its most recent statement of the ethical norms of the legal profession. Shortly thereafter the ABA forwarded the rules to the states for consideration and possible adoption as binding ethical principles. As of this writing, a number of states have adopted the Model Rules, in full or in substantial form, and several more have proposals for such adoption pending before their supreme courts

The Kentucky Supreme Court presently awaits the state bar association's recommendation regarding the Model Rules' …

Taking And Pursuing A Case: Some Observations Regarding "Legal Ethics" And Attorney Accountability, Richard H. Underwood

Law Faculty Scholarly Articles

This Article addresses some of the potential liabilities that may arise from an attorney's decision to decline, refer, undertake, continue or discontinue the prosecution of a civil action. This Article suggests that counsel's obligations to his or her client, adversary, and fellow members of the bar, as well as to the judiciary and the justice system, can be balanced without subjecting attorneys to liability. This balance can be attained, however, only if potential problems are spotted and minimal precautions are taken.

Legal Ethics And Class Actions: Problems, Tactics And Judicial Responses, Richard H. Underwood

Law Faculty Scholarly Articles

Perhaps no procedural innovation has generated more controversy than the class action. As Professor Arthur Miller has observed, debate over “class action problem[s]” has raged at several different levels. For example, opponents and proponents of class actions disagree on whether such actions produce socially desirable results in an economical fashion and whether an already overburdened judiciary can handle the additional supervisory demands of the class action. Recently, a somewhat more ideological dialogue has addressed the merit of publicly funded class actions. Such questions arise only indirectly in the context of class action litigation. However, a certain hostility toward class actions …

Adversary Ethics: More Dirty Tricks, Richard H. Underwood

Law Faculty Scholarly Articles

In this article the author provides a primer on the more common forms of cheating employed by trial lawyers. Another purpose is to suggest that there are antidotes that may be administered to curb these abuses, assuming that trial attorneys are alert enough to invoke them, and trial judges are willing to apply them.

Curbing Litigation Abuses: Judicial Control Of Adversary Ethics—The Model Rules Of Professional Conduct And Proposed Amendments To The Rules Of Civil Procedure, Richard H. Underwood

Law Faculty Scholarly Articles

This Article addresses the effectiveness of recent developments and proposals related to abusive litigation, and discusses them in the context of recent opinions illustrating the power of the trial judge to control the excesses of the adversary system. It rejects the countersuit as a time-consuming and costly means of controlling litigation abuses, and concludes that “tinkering changes” in the rules of procedure cannot bring about true reform. It is urged here that the burden resulting from abuse of litigation can only be relieved by changes which foster stronger judicial control of adversarial ethics, and greater judicial involvement in the pretrial …

The Doctor And His Lawyer: Conflicts Of Interest, Richard H. Underwood

Law Faculty Scholarly Articles

This Article will not survey and catalog all available cases dealing with the "insurance counsel's tightrope." Instead, it will focus on the identification and resolution of conflicts of interest that may arise at various stages of the litigation of a medical malpractice action in which a lawyer has been retained to represent the interests of both the physician policy-holder and his insurance carrier. Many of the problems examined are applicable to all insurance defense litigation, and the combination of large claims and complex issues presented in medical malpractice cases, together with the distrust of lawyers shared by many doctors, provides …

Solicitation And The Uncertain Status Of The Code Of Professional Responsibility In Kentucky, Eugene R. Gaetke

Law Faculty Scholarly Articles

In 1969 the Kentucky Supreme Court adopted the American Bar Association's Code of Professional Responsibility as the disciplinary rules binding upon attorneys practicing in the state. The Court adopted the Code as an apparent attempt to provide the Kentucky bench and bar the certainty and guidance offered by a codification of the frequently subjective and occasionally nebulous body of law known as legal ethics. The Court used particular language in its rule adopting the Code, however, which renders uncertain the precise status of the Code in Kentucky. As a result, a conscientious practitioner in Kentucky cannot confidently look to the …

Kentucky Law Survey: Professional Responsibility, Eugene R. Gaetke, Rebecca G. Casey

Law Faculty Scholarly Articles

In the face of persistent criticism of the legal profession, from within as well as without, the Kentucky Supreme Court exhibits a certain degree of ambivalence toward issues of professional responsibility. This ambivalence manifests itself in two ways.

First, the Court's treatment of different categories of professional misconduct seems at times unjustifiably inconsistent. The Court reacts to certain misconduct in an almost uniformly harsh manner, evincing the attitude of a strict disciplinarian for the practicing bar. Occasionally, however, the Court responds to various other kinds of equally gross misconduct with apparently undue leniency. In such cases the Court seems to …

Presuming Lawyers Competent To Protect Fundamental Rights: Is It An Affordable Fiction?, Robert G. Lawson

Law Faculty Scholarly Articles

This article explores the ramifications of Wainwright v. Sykes, a case decided before the Supreme Court of the United States in 1977. The broad question before the Court in Sykes concerned the extent to which state prisoners should have access to federal court by use of the writ of habeas corpus. The narrow issue before the Court concerned the impact on a prisoner's claim for habeas relief of procedural defaults (such as a failure to object to evidence, a failure to perfect an appeal, etc.) that occur in the state proceeding under attack. In considering these important issues Justice …