Legal Ethics and Professional Responsibility Commons^™

Sanctioning Lawyer-Criminals, John J. Lee

Faculty Articles

Until now there has been relatively little consideration given to disciplinary agencies’ sanctioning of lawyers who commit or are convicted of crimes, so called “lawyer-criminals.” This is likely because most assume that these offenders make up a tiny percentage of disciplinary cases. It also may explain why jurisdictions continue to employ disparate approaches regarding what types of criminal conduct warrant professional intervention, the appropriate sanctions to impose on lawyer-criminals, and whether lawyers convicted of certain offenses should be automatically excluded from practice.

This Article makes three primary contributions to the discourse on reforming professional lawyer regulation to protect the public …

Parity In Practice: The Defender's Duty To Ethically Use Ai, Mason R. Clark

Faculty Articles

This white paper provides a framework for ethical and practical AI use across all types of criminal defense practice, grounded in the ABA Model Rules of Professional Conduct and best practices as described by practitioners, academics, and other experts. While AI tools can meaningfully improve efficiency and expand analytical capacity, those benefits are highly contingent on tool selection, implementation, and oversight. The white paper also recognizes that cost, access to training, and institutional resources remain significant barriers — particularly for solo practitioners, small firms, and under-resourced public defense offices — and discusses AI throughout as a set of tools whose …

Recusal Reform: Treating A Justice's Disqualification As A Legal Issue, Michael J. Broyde, Hayden H. Hall

Faculty Articles

This article addresses the pressing issue of recusal in the U.S. Supreme Court. It critiques the current practice of Supreme Court Justices deciding individually whether to recuse themselves from cases, highlighting the flaws and potential biases inherent in this practice. The authors advocate for a reform where initial recusal decisions are made by individual Justices but then are subject to review by the Supreme Court as a whole.

The article offers several arguments to support this proposal. First, the authors explore the evolution of recusal laws, focusing on the significant amendments to 28 U.S.C. § 455 in 1948 and 1974. …

Pro Bono Publico Versus Pro Bono Presidential, S. I. Strong

Faculty Articles

In March and April 2025, the Trump Administration issued a series of executive orders directed at various law firms that had represented clients or undertaken actions with which the President disagreed. Those executive orders imposed various sanctions capable of destroying the firms financially. The Administration also threatened numerous other law firms with similar types of executive orders.

Although a few law firms challenged the executive orders in court, the majority of firms targeted by the President entered into informal settlement agreements whereby the firms promised to provide between $40 million and $125 million worth of free “pro bono legal services” …

Teaching Client Counseling In The Shadow Of Homelessness, Gregory Zlotnick

Faculty Articles

Working with clients at risk of or experiencing, homelessness teaches personal and professional humility like few other experiences in law school or the practice of law. Yet such sensitive work also provides an opportunity for law students to develop both a keener understanding of their own professional identity-with its capacities and limitations and critical counseling skills. This essay draws upon experiences gained in three distinct law school projects that work with clients at risk of or experiencing, homelessness.

After providing a brief overview of each project, the essay will explore methods used for training and supervising students during their counseling …

What Lawyers Could Learn From The Corporate Practice Of Medicine, Melissa D. Mortazavi

Faculty Articles

Proponents of the United States’ domestic experiments in non-lawyer ownership (NLO) of legal practice justify them in terms of increasing “access to justice.” But what if opening ownership of legal practice to investment capital only exacerbates market failures (leading to further consolidation and increased costs to clients), while also compromising professional autonomy and fiduciary duty? The legal profession must be clear-eyed about who are the real winners and losers of such a shift and avoid being blinded by wishful thinking. Prominent legal scholars have repeatedly touted NLO as a solution to the access to justice crisis. However, there is scant …

An Unreliable Reporter, Jon J. Lee

Faculty Articles

As part of the legal profession’s tradition of self-regulation, attorneys have an ethical obligation to ensure that those within it are fit to practice. Given the gravity associated with accusing another lawyer of misconduct, it is not surprising that many are reticent to speak up. But what would happen if attorneys were pressured to vigorously pursue sanctions against their opponents, even if those sanctions may be unwarranted? President Trump’s recently-issued memorandum arguably does just that, mandating the Attorney General to seek court and disciplinary sanctions for lawyers and law firms that appear to violate ethics rules. This Essay explains how …

A New Approach To Attorney Regulation, Jon J. Lee

Faculty Articles

For more than half a century, jurisdictions have relied on threats of disciplinary sanctions—sticks—to try to coerce attorneys to act in an ethical manner. In doing so, they have focused their efforts on establishing minimum standards of practice and sanctioning only those attorneys who fall well short of them. By crafting general rules that apply to all attorneys, however, jurisdictions have ignored the considerable differences that attorneys face as a result of their practice settings, years of experience, or individual identities. Furthermore, jurisdictions have struggled to establish clear standards to guide attorneys regarding their obligations—precisely because the settings in which …

Abolish The Mpre, Michael Ariens

Faculty Articles

In nearly every jurisdiction, applicants to the bar must pass the Multistate Professional Responsibility Examination (MPRE). Its purpose, according to its owner, the National Conference of Bar Examiners (NCBE), is "to measure candidates' knowledge and understanding of established standards related to the professional conduct of lawyers." It does test whether an examinee has kept in short-term memory the rules and exceptions that make up part of the understanding of what it means to serve as a lawyer. However, success (or initial failure) on the MPRE has not been correlated with ethical conduct or misconduct. For example, the Texas Board of …

When Machines Can Be Judge, Jury, And Executioner: Justice In The Age Of Artificial Intelligence (Book Review), Stacy Fowler

Faculty Articles

In When Machines Can Be Judge, Jury, and Executioner, former federal judge Katherine Forrest raises concerns over the pervasive use of artificial intelligence (AI) in the American justice system to produce risks and need assessments (RNA) regarding the probability of recidivism for citizens charged with a crime. Forrest’s argument centers on AI’s primary focus on utilitarian outcomes when assessing liberty for individual citizens. This approach leads Forrest to the conclusion that in its current form, AI is “ill-suited to the criminal justice context.” Forrest contends that AI should instead be programmed to focus on John Rawl’ 'concept of justice as …

Ethics By Appointment: An Empirical Account Of Obscured Sanctioning In Mdl Cases, Roger Michalski

Faculty Articles

Ethical norms in litigation are policed through overlapping regulatory regimes. One of these regimes is internal to litigation and split into different components, including Federal Rules of Civil Procedure 11, 26(g), and 37; Federal Rule of Appellate Procedure 38; 28 U.S.C. §§ 1927 and 1447(c); as well as courts’ inherent authority to sanction litigants and attorneys. In the standard narrative, these tools provide immediate corrections to unethical conduct, unlike bar sanctions or derivative malpractice actions that are delayed and uncertain. Together, these tools aim to effectuate the goal of Federal Rule of Civil Procedure 1: to make sure parties cooperate …

Where Neutrality Stops And Reality Begins: Why Considering Identity Is Vital To Lead And Class Counsel Selection, Melissa Mortazavi

Faculty Articles

When courts consider a choice of class or lead counsel in multidistrict litigation ("MDL') or class action suits, they often follow the idea of a neutral partisan model. Such a model idealizes lawyer conduct as a blank conduit for client interests. In theory, lawyers should be able to bring their legal expertise absent any personal experiences, individualized identity, and morality outside of practice. But the reality is that neither lawyers nor their clients can fully divorce their identities or moral viewpoints from the legal system. This Essay argues that an identity-blind choice of class or lead counsel, grounded in a …

Rage Against The Machine: Who Is Responsible For Regulating Generative Artificial Intelligence In Domestic And Cross-Border Litigation?, S. I. Strong

Faculty Articles

In 2023, ChatGPT—an early form of generative artificial intelligence (AI) capable of creating entirely new content—took the world by storm. The first shock came when ChatGPT demonstrated its ability to pass the U.S. bar exam. Soon thereafter, the world learned that ChatGPT was being used by both lawyers and judges in actual litigation.

Some within the legal community find the use of generative AI in civil and criminal litigation entirely unproblematic. Others find generative AI troubling as a matter of due process and procedural fairness due to its propensity not only to misinterpret legitimate legal authorities but to create fictitious …

Ethical Lawyering: The Role Of Honor, Conscience, And Codes (Reviewing Michael S. Ariens, The Lawyer’S Conscience: A History Of American Lawyer Ethics), Vincent R. Johnson

Faculty Articles

Michael Ariens’ new book, The Lawyer’s Conscience: A History of American Lawyer Ethics, is a monumental work, rooted in his decades of excellent scholarship in the fields of attorney professional responsibility and legal history. The Lawyer’s Conscience captures the great sweep and key features of the roughly 250-year period in American legal ethics running from colonial times to the present day. Richly detailed and vividly presented, the story takes the reader on a grand tour of the landmark events and changing ideas that have defined the aspirations, responsibilities, and accountability of members of the American legal profession.

Private Sanctions, Public Harm?, Jon J. Lee

Faculty Articles

The legal profession has a secret. In response to widespread public distrust in the profession’s ability to regulate itself, state disciplinary authorities have undertaken modest efforts over the last several decades to make their activities more transparent. They have opened up their formal proceedings, publicized the identities of sanctioned attorneys, and shared information about their work online. But at the same time, most have quietly continued to resolve cases of ostensibly “minor” and “isolated” misconduct through the use of private sanctions, keeping the identities of disciplined attorneys—and their misconduct—hidden from view. This Article provides the first comprehensive scholarly contribution on …

The Appearance Of Appearances, Michael Ariens

Faculty Articles

The Framers argued judicial independence was necessary to the success of the American democratic experiment. Independence required judges possess and act with integrity. One aspect of judicial integrity was impartiality. Impartial judging was believed crucial to public confidence that the decisions issued by American courts followed the rule of law. Public confidence in judicial decision making promoted faith and belief in an independent judiciary. The greater the belief in the independent judiciary, the greater the chance of continued success of the republic.

During the nineteenth century, state constitutions, courts, and legislatures slowly expanded the instances in which a judge was …

The Fall Of An American Lawyer, Michael Ariens

Faculty Articles

John Randall is the only former president of the American Bar Association to be disbarred. He wrote a will for a client, Lovell Myers, with whom Randall had been in business for over a quarter-century. The will left all of Myers’s property to Randall, and implicitly disinherited his only child, Marie Jensen. When Jensen learned of the existence of a will, she sued to set it aside. She later filed a complaint with the Iowa Committee on Professional Ethics and Conduct. That complaint was the catalyst leading to Randall’s disbarment.

Randall had acted grievously in serving as Lovell Myers’s attorney. …

Anti-Discrimination Ethics Rules And The Legal Profession, Michael Ariens

Faculty Articles

“Reputation ought to be the perpetual subject of my Thoughts, and Aim of my Behaviour. How shall I gain a Reputation! How shall I Spread an Opinion of myself as a Lawyer of distinguished Genius, Learning, and Virtue.” So wrote twenty-four-year-old John Adams in his diary in 1759. He had been a licensed lawyer for just three years at that time and had already believed himself to be hounded by “Petty foggers” and “dirty Dablers in the Law”—unlicensed attorneys who, Adams claimed, fomented vexatious litigation for the fees they might earn.

Adams believed his embrace of virtue, along with genius …

Catching Unfitness, Jon J. Lee

Faculty Articles

Bias and prejudice are pervasive in the legal profession. Yet only relatively recently has there been a recognition among those in the profession that it is imperative to sanction attorneys who manifest bias and prejudice through harassment and discriminatory acts. Even then, it took decades for the ABA to adopt Model Rule 8.4(g) to proscribe such misconduct, and its reception by states has been lukewarm at best to antagonistic at worst. This recent controversy leads to an even more fundamental question: How can the legal profession effectively regulate the multitude of ways in which an attorney may commit misconduct, given …

The Informed Consent Doctrine In Legal Malpractice Law, Vincent R. Johnson

Faculty Articles

The doctrine of informed consent is now deeply embedded into the law of legal ethics. In legal malpractice litigation, the doctrine holds that a lawyer has a duty to disclose to a client material information about the risks and alternatives associated with a course of action. A lawyer who fails to make such required disclosures and fails to obtain informed consent is negligent, regardless of whether the lawyer otherwise exercises care in representing a client. If such negligent nondisclosures cause damages, the lawyer can be held accountable for the client's losses.

Shifting the focus of a legal malpractice action from …

Model Rule 8.4(G) And The Profession's Core Values Problem, Michael Ariens

Faculty Articles

Model Rule 8.4(g) declares it misconduct for a lawyer to "engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination on the basis of race, sex, religion, national origin, ethnicity, disability, age, sexual orientation, gender identity, marital status or socioeconomic status in conduct related to the practice of law." The American Bar Association (ABA) adopted the rule in 2016, in large part to effectuate the third of its four mission goals: Eliminate Bias and Enhance Diversity. The ABA adopted these goals in 2008, and they continue to serve as ABA's statement of its mission.

A …

Lawyers, Mistakes, And Moral Growth (Reviewing Mike H. Bassett, The Man In The Ditch: A Redemption Story For Today), Vincent R. Johnson

Faculty Articles

In the literature of legal ethics, relatively little is said about the psychic turmoil that lawyers face while anticipating or defending a grievance, malpractice claim, or criminal charge. Even less is said about how lawyers who are found guilty of violating professional standards should go about rebuilding their reputations and personal lives after such proceedings have run their course, often with embarrassing results having been made public. Against this bleak backdrop, a dazzlingly introspective and hopeful book about lawyers and their mistakes-and about their suffering and possible moral growth-has been published.

Judges And The Deregulation Of The Lawyer's Monopoly, Jessica Steinberg, Anna Carpenter, Colleen Shanahan, Alyx Mark

Faculty Articles

In a revolutionary moment for the legal profession, the deregulation of legal services is taking hold in many parts of the country. Utah and Arizona, for instance, are experimenting with new regulations that permit nonlawyer advocates to play an active role in assisting citizens who may not otherwise have access to legal services. In addition, amendments to the Rules of Professional Conduct in both states, as well as those being contemplated in California, now allow nonlawyers to have a partnership stake in law firms, which may dramatically change the way capital for the delivery of legal services is raised as …

Testing Privilege: Coaching Bar Takers Towards "Minimum Competency" During The 2020 Pandemic, Afton Cavanaugh

Faculty Articles

The year 2020 was challenging for the bar exam. The longstanding argument that the bar exam is not a fair measure of the minimum competence of someone to practice law was cast into harsh relief and the truth-that the bar exam tests the privilege of its examinees-became startlingly apparent. Not only did 2020 kick off with a devastating global pandemic, but we also saw the rage against systemic racial injustice reach a boiling point just as we were charged with staying in our homes to avoid contracting COVID-19. With a pandemic raging, overt White supremacy on the rise, and racial …

The Proposed Rules On Advertising And Solicitation, Vincent R. Johnson

Faculty Articles

This article addresses the rule proposal appearing as ballot item E for the State Bar of Texas rules vote February 2 to March 4, 2021. The proposed rules dealing with lawyer advertising and solicitation seek to clarify, simplify, and modernize this area of the law, while nevertheless continuing to endorse principles and practices that have proved to be sound.

Double Standards: An Empirical Study Of Patent And Trademark Discipline, Jon J. Lee

Faculty Articles

Our legal system is built on the foundation that lawyers have a number of coexisting and sometimes conflicting duties — to their clients, to others who might be affected by their practice, and to the effective and equitable administration of justice. While most lawyers fulfill these duties ethically, invariably some fail to live up to these expectations. For this reason, all states have created disciplinary authorities to regulate and sanction lawyer misconduct. The United States Patent and Trademark Office (“USPTO”) is one of the few agencies to have developed its own disciplinary system for policing the conduct of trademark attorneys …

Incivility As Identity, Melissa Mortazavi

Faculty Articles

Incivility can undermine the legal profession’s work and effectiveness. However, existing scholarship, focused on explaining lawyer incivility as an overextension of zealous advocacy, poor training, or a business-driven model of lawyering, has misconceived a key facet of incivility. Prevailing wisdom largely neglects that lawyers use incivility to react and position themselves within the sociopolitical norms of society in which they live. Civility (or the lack thereof) in the legal profession, may be less about clients and economic pressures than about lawyers affirming their political, class, and gender identities. Once the legal profession recognizes that civility is significantly about lawyers affirming …

A Lesson In Civility, David A. Grenardo

Faculty Articles

The inherent importance of civility in the legal profession necessitates teaching civility by law schools. This Article demonstrates how civility applies to advocacy and the practice of law, the efficiency of our justice system, lawyer well-being, obtaining a job and professional identity formation, and public confidence in the legal system. The Article can assist courts, attorneys, and professors in understanding civility and its significance. Most critically, this Article provides a turnkey lesson plan for law schools on civility that professors can employ in a variety of classes including, among others, Professional Responsibility, Civil Procedure, and Constitutional Law. Teaching law students …

Code Of Silence, Melissa Mortazavi

Faculty Articles

To read the literature on professional responsibility is to inhabit a world focused on what is said explicitly about what it means to be a lawyer: the aspirations of the canons, the commands of the Model Rules of Professional Responsibility, the clarifications of court and ethics opinions, and the guidance of the Restatement. However, it often neglects what is not said: spaces where silence reigns. This article takes a different approach; it listens to the taciturn. This article draws insight from when the bar chooses to be silent in the face of widely known violations of the law of lawyering. …

Law Schools Harm Genizaros And Other Indigenous People By Misunderstanding Aba Policy, Bill Piatt, Moises Gonzales, Katja Wolf

Faculty Articles

Law schools justifiably seek to enroll a diverse student body in order to enrich the academic experience and environment, and to provide attorneys who will serve all segments of our society. American law schools enjoy the constitutional right to maintain such diversity. Indeed, accreditation standards promulgated by the American Bar Association ("ABA") require it. The Association of American Law Schools carries a similar mandate.

In seeking to create a diverse student body, law schools offer applicants the opportunity to identify their backgrounds. There generally is no "diversity police" checking on the accuracy of the self-identification as a member of a …