Law and Society Commons^™

The Texas Standards For Appellate Conduct: An Annotated Guide And Commentary, Gina M. Benavides, Joshua J. Caldwell

St. Mary's Journal on Legal Malpractice & Ethics

The legal profession is bound by ethical rules that govern and guide our conduct and actions as lawyers. One of the under-appreciated, but profoundly important set of guidelines is the Texas Standards for Appellate Conduct. These Standards serve as an excellent practice guide for appellate practitioners and appellate courts and as a model code of conduct for the Bar as a whole.

The goal of this Article is to dissect the Texas Standards for Appellate Conduct and provide useful commentaries for the readers to better appreciate and understand each element of the Standards. The commentaries provide direct case examples and …

"Dirty" Experts: Ethical Challenges Concerning, And A Comparative Perspective On, The Use Of Consulting Experts, David S. Caudill

St. Mary's Journal on Legal Malpractice & Ethics

U.S. attorneys often hire consulting experts who potentially never get named as testifying experts. The same practice is evident in Australia, where the colloquial distinction is between a “clean” and a “dirty” expert, the latter being in the role of a consultant who is considered a member of the client’s “legal team.” A “clean” expert named as a witness is then called “independent,” signaling that he or she is not an advocate. In contrast to the U.S. discourse concerning consulting and testifying experts, focused on discovery issues, the conversation in Australia betrays immediate ethical concerns that both (i) explain why …

Better Briefs, Lydia Fearing

St. Mary's Journal on Legal Malpractice & Ethics

Abstract forthcoming

Uncharted Waters? Legal Ethics And The Benefit Corporation, Joseph Pileri

St. Mary's Journal on Legal Malpractice & Ethics

Corporate law norms are reflected in lawyers’ ethical duties. The enactment of benefit corporation legislation across the country signals a legislative acknowledgment that corporate law can serve as a public, rather than a merely private, ordering mechanism. Benefit corporations expressly adopt a public benefit as a legal purpose of the enterprise. While many have written about this important development with respect to corporate fiduciary law, this essay is the first to explore the professional and ethical responsibility of lawyers representing benefit corporations. In the last century, as scholars and courts drove an understanding of corporate law that elevated the interests …

Keep Suing All The Lawyers: Recent Developments In Claims Against Lawyers For Aiding & Abetting A Client’S Breach Of Fiduciary Duty, Katerina P. Lewinbuk

St. Mary's Journal on Legal Malpractice & Ethics

Lawyers have increasingly become subject to liability under various legal theories, ranging from traditional legal malpractice or negligence liability claims to various third-party actions. Most recently, state and federal courts across the country have recognized attorney liability for aiding and abetting a client’s breach of fiduciary duty. This Article will address the current status of the cause of action for a lawyer’s aiding and abetting her client’s breach of fiduciary duty, explain the commonalities and distinguish nuances as outlined by particular states, examine recent decisions by federal courts that have recognized the cause of action, and culminate in its conclusion …

The Right To An Independent Judiciary And The Avoidance Of Constitutional Conflict: The Burger Court’S Flawed Reasoning In Chandler V. Judicial Council Of The Tenth Circuit And Its Unfortunate Legacy, Joshua E. Kastenberg

St. Mary's Journal on Legal Malpractice & Ethics

In 1970, the United States Supreme Court issued Chandler v. Judicial Council of the Tenth Circuit in which five Justices determined that the federal courts of appeals possessed an administrative authority to manage the district court judges within an appellate court’s respective circuit. The decision enabled the Tenth Circuit to decide the fitness of a judge to preside over cases without a formal motion from a litigant. Although Congress had enabled the courts of appeals to oversee basic judicial functions (such as temporarily assigning district court judges to overworked districts), Congress did not intend to grant the power to remove …

The Limited Duties Of Lawyers To Protect The Funds And Property Of Nonclients, Vincent R. Johnson

St. Mary's Journal on Legal Malpractice & Ethics

Issues arise daily in law practice about the duties owed by lawyers to nonclients with respect to funds or property entrusted to them. In resolving those issues, care must be exercised when interpreting state versions of Model Rule 1.15, the American Bar Association’s pattern ethics rule on safekeeping of funds and property. Otherwise, a lawyer’s duties to third persons may too readily encroach on the performance of obligations owed to clients, as well as on the legitimate interests of lawyers themselves.

As numerous authorities have recognized, lawyers are obliged to protect the property interests of third persons only if they …

It’S A Trap! The Ethical Dark Side Of Requests For Admission, Colin Flora

St. Mary's Journal on Legal Malpractice & Ethics

Due largely to an overlap of authority between disciplinary bodies charged with supervising the professional conduct of attorneys and the authority of courts to supervise litigation, the ethical ramifications of routine discovery abuses often pass without comment. That is because disciplinary authorities routinely defer to courts to police litigation behavior despite courts frequently rejecting the role of enforcers of professional rules. A further contributing factor to unethical conduct becoming routine practice in discovery are ill-defined parameters and a dearth of guidance. One tool in particular, requests for admission, has gone overlooked in the literature and caselaw, but poses unique ethical …

Reforming Recusal Rules: Reassessing The Presumption Of Judicial Impartiality In Light Of The Realities Of Judging And Changing The Substance Of Disqualification Standards To Eliminate Cognitive Errors, Melinda A. Marbes

St. Mary's Journal on Legal Malpractice & Ethics

In recent years, high profile disqualification disputes have caught the attention of the public. In each instance there has been an outcry when a presiding jurist was asked to recuse but declined. Unfortunately, even if the jurist explains his refusal to recuse, the reasons given often are unsatisfying and do little to quell suspicions of bias. Instead, litigants, the press, and the public question whether the jurist actually is unbiased and doubt the impartiality of the judiciary as a whole. This negative reaction to refusals to recuse is caused, at least in part, by politically charged circumstances that cause further …

Ethics And The “Root Of All Evil” In Nineteenth Century American Law Practice, Michael Hoeflich

St. Mary's Journal on Legal Malpractice & Ethics

This Article discusses the bifurcated notions on the purpose of working as an attorney—whether the purpose is to attain wealth or whether the work in and of itself is the purpose. This Article explores the sentiments held by distinguished and influential nineteenth-century lawyers—particularly David Hoffman and George Sharswood—regarding the legal ethics surrounding attorney’s fees and how money in general is the root of many ethical dilemmas within the arena of legal practice. Through the texts of Hoffman and Sharswood, we find the origins of the ethical rules all American attorneys are subject to in their various jurisdictions.

Alternative Business Structures: Good For The Public, Good For The Lawyers, Jayne R. Reardon

St. Mary's Journal on Legal Malpractice & Ethics

There has been a shift in consumer behavior over the last several decades. To keep up with the transforming consumer, many professions have changed the way they do business. Yet lawyers continue to deliver services the way they have since the founding of our country. Bar associations and legal ethicists have long debated the idea of allowing lawyers to practice in “alternative business structures,” where lawyers and nonlawyers can co-own and co-manage a business to deliver legal services. This Article argues these types of businesses inhibit lawyers’ ability to provide better legal services to the public and that the legal …

Electronic Social Media: Friend Or Foe For Judges, M. Sue Kurita

St. Mary's Journal on Legal Malpractice & Ethics

The use of electronic social communication has grown at a phenomenal rate. Facebook, the most popular social networking website, has over 1,968,000,000 users—a number that has exponentially grown since its inception in 2004. The number of judges accessing and using electronic social media (ESM) has also increased. However, unlike the general population, judges must consider constitutional, ethical, technical, and evidentiary implications when they use and access ESM. The First Amendment forbids “abridging the freedom of speech” and protects the expression of personal ideas, positions, and views. However, the American Bar Association’s Model Code of Judicial Conduct and the Texas Code …

Conflicts Of Interest For Former Law Firm Clerks Turned Lawyers, Daniel Haley

St. Mary's Journal on Legal Malpractice & Ethics

There is no consensus for how the legal profession should treat a lawyer who has a conflict that arises from their time working as a law clerk while in law school. The majority of states allow a lawyer to be screened from participation if there is a conflict that arises from work they performed while still in law school. Nonetheless, not all states have adopted the Model Rules, and not all states that have adopted them accept and apply their rules uniformly. Clerkships are beneficial to both the student and the potential employer, and to limit these educational experiences due …

Professional Responsibility Of The Criminal Defense Lawyer Redux: The New Three Hardest Questions, Todd A. Berger

St. Mary's Journal on Legal Malpractice & Ethics

In 1966, Professor Monroe Freedman authored Professional Responsibility of the Criminal Defense Lawyer: The Three Hardest Questions, a work that occupies an important place in the cannon of legal ethics. Freedman believed that the three hardest questions facing a criminal defense attorney relate to whether it is ethical to discredit a truthful witness; whether it is proper to knowingly allow a client to testify falsely; and whether a lawyer may provide a client with legal advice when the lawyer suspects the client may use that advice to commit a crime. Beyond Freedman’s queries there are other important, yet largely unaddressed, …

The Ambulance Chasing Epidemic In Texas, Ronald Rodriguez

St. Mary's Journal on Legal Malpractice & Ethics

Barratry and solicitation of professional employment is illegal and unethical. The Texas Disciplinary Rules of Professional Conduct define barratry as ethical misconduct and a serious crime. Unfortunately, for citizens and law-abiding attorneys of Texas, the criminal and ethical prohibitions against barratry have rarely been enforced. Consequently, barratry continues to proliferate rapidly throughout South Texas. For lawyers who engage in this unethical practice, the potential for large financial gain proves irresistible given the virtually nonexistent risk of prosecution. The lack of robust and successful prosecutions has created an optimal environment for barratry to proliferate. This Article discusses the current barratry epidemic …

Am I A “Licensed Liar”?: An Exploration Into The Ethic Of Honesty In Lawyering . . . And A Reply Of “No!” To The Stranger In The La Fiesta Lounge, Josiah M. Daniel Iii

St. Mary's Journal on Legal Malpractice & Ethics

After hearing for the first time the lawyer-disparaging phrase, “licensed liar,” the author investigated its significance. This article presents the question of those two words’ meaning and explains how the author reached the conclusion that, as applied to attorneys, the phrase is an unmerited epithet. The phrase is known and utilized in nonlegal texts in fields such as fiction, poetry, literary criticism, and journalism, but the two words are absent from legal texts. The author’s discovery of the phrase in various criticisms of lawyers in other publications illuminates and confirms that the phrase constitutes the pejorative allegation that an attorney …

Responding To Judicial And Lawyer Misconduct: Analyzing A Survey Of State Trial Court Judges, Peter M. Koelling

St. Mary's Journal on Legal Malpractice & Ethics

While reported cases or incidents may give us insight into the interpretation of Rule 2.15 of the Model Code of Judicial Conduct, they do not give us a sense of how often judges undertake the obligation to act under the rule. The Judicial Division of the American Bar Association developed a survey to explore the interpretation and the implementation of Rule 2.15 of the Model Code of Judicial Conduct, and to determine how and in what manner state trial court judges responded to ethical violations by lawyers and other judges. The survey looked back over a ten-year period and was …

The Impact Of Technological Developments On The Rules Of Attorney Ethics Regarding Attorney–Client Privilege, Confidentiality, And Social Media, Pamela A. Bresnahan, Lucian T. Pera

St. Mary's Journal on Legal Malpractice & Ethics

This article focuses on the development of the law of ethics and technology. Emphasis is placed on how technological developments have affected the rules and means by which lawyers practice law and certain ethical pitfalls that have developed hand-in-hand with technological advancements. Topics examined include: (1) the ways by which electronic communication has increased the potential for the attorney–client privilege to be waived and the resulting impact on the present-day practice of law; (2) the effect of social media on lawyers’ ethical obligations, including counseling clients regarding the client’s use of social media and the lawyer’s own use of social …

Clearing The Smoke: The Ethics Of Multistate Legal Practice For Recreational Marijuana Dispensaries, Eric Mitchell Schumann

St. Mary's Journal on Legal Malpractice & Ethics

With many firms practicing in multiple states, a lawyer could represent a marijuana dispensary in a legalized state while practicing in a state, like Texas, which continues to criminalize the drug. This raises a question of whether Texas attorneys who make the bold attempt to assist a company that sells marijuana violate the rules of professional responsibility.

In Section II, this Comment examines the background of the criminalization of marijuana and looks into the movement to liberalize the laws surrounding it. Section III analyzes the rules of professional conduct in Texas and in Colorado to determine what a lawyer in …

Personal Jurisdiction In Legal Malpractice Litigation, Cassandra Burke Robertson

St. Mary's Journal on Legal Malpractice & Ethics

Lawyers are increasingly engaging in multi-jurisdictional practice—and their representation is increasingly giving rise to cross­-jurisdictional malpractice actions. Over the years, courts have issued divergent and contradictory opinions about whether out-of-state attorneys representing clients only on out-of-state matters can constitutionally be subject to personal jurisdiction in the client’s home state. The Supreme Court’s recent opinions in Daimler v. Bauman and Walden v. Fiore do little to settle this question and, in fact, may raise more questions than they answer. Nevertheless, the Supreme Court’s new personal jurisdiction jurisprudence offers an opportunity for courts to adopt a more cohesive analysis of personal jurisdiction …

Is Litigation Counsel Who Also Engages In Competitive Decision-Making Wrong For The Part?, David Hricik

St. Mary's Journal on Legal Malpractice & Ethics

In-house counsel wear different hats, and are often involved in business decisions regarding products, marketing, and other strategic issues. It was in this context that courts began to adopt protective orders that precluded in-house counsel who provided their clients advice with “competitive decision-making” from having access to information from a competitor disclosed in discovery. Prosecution bars present numerous issues for courts and counsel. It may be that because of prosecution counsel’s knowledge of the technology that her service as trial counsel would lead to cost savings and other benefits to her client. However, due to the myriad problems that arise …

Intra Law Firm Communications Regarding Questionable Attorney Conduct., Evan King, Jeffrey A. Parness

St. Mary's Journal on Legal Malpractice & Ethics

When questions are raised regarding a law firm attorney's representation of a firm client, the questioned attorney often wishes to seek legal counsel. A conferral will often benefit the attorney, the firm, and the client. Conferences regarding questioned conduct should be encouraged, not discouraged. To encourage these beneficial conferrals, a broad attorney-client communication privilege and a broad work-product protection (or privilege) should be available. Availability should not be dependent upon whether in-house, outside, or other legal counsel is employed. While earlier federal precedents were split regarding the availability of the attorney-client communication privilege in the in-house counsel setting, increasingly therein …

Disqualifying Defense Counsel: The Curse Of The Sixth Amendment, Keith Swisher

St. Mary's Journal on Legal Malpractice & Ethics

Lawyer disqualification—the process of ejecting a conflicted lawyer, firm, or agency from a case—is fairly routine and well-mapped in civil litigation. In criminal cases, however, there is an added ingredient: the Sixth Amendment. Gideon, which is celebrating its fiftieth anniversary, effectively added this ingredient to disqualification analysis involving indigent state defendants although it already existed in essence for both federal defendants and defendants with the wherewithal to retain counsel. Once a defendant is entitled to counsel, the many questions that follow include whether and to what extent conflicts of interest—or other misconduct—render that counsel constitutionally ineffective. Most cases and commentary …

Online Legal Advice: Ethics In The Digital Age, Paige A. Thomas

St. Mary's Journal on Legal Malpractice & Ethics

The rise of the Internet changed the way initial interactions between lawyers and prospective clients happen. Unfortunately, a host of problems concerning privacy rights and consumer usage have emerged. In this digital age, where immediacy and response time are driving factors in an attorney’s online presence, the approach to establish an attorney-client relationship is far more informal. Due to the quick rise of the Internet and social media, the Model Rules of Professional Conduct do not offer a clear answer for attorneys using social media. An inherent danger lies in off-the-cuff remarks, made on the Internet—a platform generally associated with …

Proof Of Exoneration In Legal Malpractice Cases: The Peeler Doctrine And Its Limits In Texas And Beyond., John G. Browning, Lindsey Rames

St. Mary's Journal on Legal Malpractice & Ethics

This article examines the requirements of "actual innocence" or exoneration as a prerequisite for bringing a claim of legal malpractice against a criminal defense attorney. It analyzes the public policy underpinnings and differing approaches taken in those jurisdictions that have adopted an "actual innocence" requirement. To illustrate the way in which this comparatively recent phenomenon has developed, the Article views the exoneration doctrine through the prism of Texas law, analyzing the doctrine's emergence in Peeler v. Hughes & Luce and discussing how it has expanded over the years. Yet even as this "actual innocence" doctrine has expanded in Texas, recent …

The Qualified Privilege Of Texas Lawyers To Defend Their Reputations., Clement J. Hayes

St. Mary's Journal on Legal Malpractice & Ethics

The technology-based society of the twenty-first century offers vast Internet resources that afford individuals easy access to information and means of communication. As a result, people spend substantial time online. Some Internet sites, such as Facebook, Twitter, Yelp, Angie's List and Google, provide consumers an online forum for sharing experiences and opinions. This development, while in many respects beneficial, is not without its drawbacks.

Characterizing Ghostwriting., Debra Lyn Bassett

St. Mary's Journal on Legal Malpractice & Ethics

It is well known that legal services are costly and that existing pro bono services are inadequate to help every individual who would benefit from legal assistance. Compounding this unmet need are various restrictions on the types of clients and types of cases that qualify for pro bono services. For example, Legal Services Corporation lawyers may not represent undocumented individuals, and may not undertake a representation in an abortion, desegregation, or assisted suicide matter. One attempt to mitigate this unmet need is ghostwriting. Analogous to presidential speechwriting, ghostwriting in the legal context occurs when a lawyer drafts a pleading or …

The Role Of Ethics Audits In Improving Management Systems And Practices: An Empirical Examination Of Management-Based Regulation Of Law Firms, Susan Saab Fortney

St. Mary's Journal on Legal Malpractice & Ethics

For decades, legal malpractice experts have urged lawyers to implement risk management measures. To assist law firms in doing so, legal malpractice insurers have provided audit services and self-audit materials. Under the Australian regulatory regime, incorporated legal practices are required to complete a self-assessment process and to report on the firm’s compliance with ten objectives of sound law practice. Using management-based principles, this Article discusses steps to take to encourage ethics audits “to merge good ethics and good business” in the U.S.

Navigating The Pitfalls Of Implicit Bias: A Cognitive Science Primer For Civil Litigators, Nicole E. Negowetti

St. Mary's Journal on Legal Malpractice & Ethics

Cognitive science has revealed that past experiences and prior assumptions, even those of which we are not conscious, greatly influence how humans perceive the world. Emerging research has demonstrated that attorneys and judges, like everyone else, are the products of their gender, ethnicity, race, and socioeconomic status. As a consequence, legal decision-making is susceptible to the subtle influences of implicit bias. Effective and ethical client advocacy requires an attorney to understand how her own implicit biases will affect her interactions with clients. An attorney should also acknowledge that implicit biases may affect a judge’s interpretation of her client’s story and …

“Payability” As The Logical Corollary To “Collectibility” In Legal Malpractice, Daniel D. Tostrud

St. Mary's Journal on Legal Malpractice & Ethics

The collectibility requirement as part of the legal malpractice plaintiff’s affirmative case is well-established and regarded by most courts as a critical part of the plaintiff’s proof of proximate causation. Conversely, where the legal malpractice plaintiff was the defendant in the underlying lawsuit, to be successful in the malpractice suit, the plaintiff must prove that it had a meritorious defense that would have made a difference to the outcome of the case had the lawyer properly asserted and pursued the defense. Prompted by the conflicting opinions of two federal courts on this issue, courts have begun to discuss whether the …