道德意见273

Ethical Considerations of Lawyers Moving From One Private Law Firm to Another

* [NOTE: 看到 how Opinion 273 has been substantively affected by the amendments to the D.C. 规则 of Professional Conduct that became effective on February 1, 2007]

Lawyers who depart one law firm for another, 那些澳门赌场官网事务所, must be attentive to ethical concerns arising from such changes in affiliation. 最重要的是, 客户档案必须提供给继续代理客户的澳门赌场官网或澳门赌场官网事务所, 客户必须收到适当的通知，通知他们的澳门赌场官网在专业关系上的变化, 利益冲突调查必须由新澳门赌场官网事务所根据新澳门赌场官网目前和以前的陈述进行.

适用的规则

• 规则1.4(沟通)
• 规则1.7 (Conflict of Interest: General Rule)
• 规则1.8(i) (Conflict of Interest: Prohibited Transactions)
• 规则1.10(b) (Imputed Disqualification: General Rule )
• 规则1.16(d) (Declining or Terminating Representation)
• 规则7.5(a) (Firm Names and Letterheads)
• 规则8.4 (c)(行为)

调查

澳门赌场官网在事务所之间不断增加的流动产生了许多道德问题，这些问题是澳门赌场官网协会道德顾问经常询问的主题. 这些问题, 本意见所述, principally concern communications and relations with clients, possession and custody of files, 利益冲突, confidentiality and recruitment of legal and other personnel.

讨论

Communications and Relations With Clients

在这方面，澳门赌场官网事务所道德顾问最常被问及的问题是，即将离职的澳门赌场官网在离职前可能与澳门赌场官网事务所的客户进行了哪些沟通. 通常, 计划更换澳门赌场官网事务所的澳门赌场官网会希望有曾经为其提供专业服务的客户陪同他/她前往新的澳门赌场官网事务所, and may want to make arrangements to that end before the actual departure.

Under the 规则 of Professional Conduct, 负责客户事务的澳门赌场官网有义务通知该澳门赌场官网的客户他/她的离职计划以及该澳门赌场官网可能的新合作关系, and to advise the client whether the lawyer will be able to continue to represent it. Rule of Professional Conduct 1.4, “交流,规定澳门赌场官网有义务让客户了解“某一事件的现状”，并“在合理必要的范围内解释某一事件，以允许客户就代理作出知情决定。.“在大多数情况下, 在代理过程中，澳门赌场官网关系的改变对委托人来说是重要的, as it could affect such client concerns as billing arrangements, the adequacy of resources to support the lawyer’s work for the client, 利益冲突. 看,e.g., D.C. 澳门赌场官网操守行动. 221 (1991); D.C. 澳门赌场官网操守行动. 181 (1987); D.C. 澳门赌场官网操守行动. 97 (1980). 协议 North Carolina 澳门赌场官网操守行动. RPC 200 (1995); Oregon 澳门赌场官网操守行动. 1991-70 (1991); Illinois 澳门赌场官网操守行动. 84-13 (1985).

因此，不仅规则1.4 require the lawyer to communicate his prospective change of affiliation to the client, 但这种沟通必须在离职前充分进行，以使客户有足够的机会考虑是否要继续由离职的澳门赌场官网代理, 如果不是, to make other representation arrangements.

如果离职的澳门赌场官网不打算在离职后继续担任代理澳门赌场官网，也有必要提前沟通, 作为规则1.16(d)要求澳门赌场官网, when terminating a representation, to give “reasonable notice to the client”, and to allow “time for employment of other counsel . . . .(本讨论假定根据规则1，离职澳门赌场官网的退出是适当的.16(a)及(b).)¹

澳门赌场官网在与客户的沟通中应包括变更隶属关系的事实和日期, and whether the lawyer wishes to continue the representation. 澳门赌场官网还应准备好向客户提供有关新事务所的足够信息(如费用和人员配备)，使客户能够在知情的情况下决定是否继续由澳门赌场官网在新事务所代理. 客户还需要被告知影响其在新公司代理的任何利益冲突事项. Any communication which exceeds that required by ethical rules—for example, 主动要求客户离开澳门赌场官网目前的事务所，加入新事务所的澳门赌场官网，可能会违反合伙人法规定的澳门赌场官网义务(对于离职的合伙人)。, 公司法(适用于专业公司的股东)和雇员义务普通法(适用于作为公司雇员的澳门赌场官网). For example, solicitation of clients by a departing partner (i.e., 超出中立地告知客户澳门赌场官网计划离职和新的合作关系的行为可能违反合伙人对其他合伙人的信托义务，并可能构成对澳门赌场官网事务所业务关系的侵权干涉. 看,e.g., Adler, 酒吧ish, Daniels, Levin & Creskoff v. 爱普斯坦, 393 A. 2d 1175 (Pa. 1978); 格劳伯，莫伦，丹尼特 & 霍洛维茨v. 莫斯科维茨, 653 N.E. 2d 1179 (N.Y. 1995). Under partnership or other law, a departing lawyer may also be obliged to inform the lawyer’s firm, at or around the time the lawyer so notifies clients, of his/her planned departure from the firm. (客户或澳门赌场官网事务所是否首先被告知澳门赌场官网的离职计划似乎没有道德意义.)

We note these other legal considerations without commenting on their applicability, as they are not questions of ethics law. 在道德原则要求的沟通和违反其他法律规定的澳门赌场官网义务的沟通之间可能存在一个模糊的区域. Because we cannot opine on the nature and limits of such other law, we can do no more than note that such a hazy border exists.

文件及其他文件

离开一家律所去其他地方执业的澳门赌场官网通常会有兴趣随身携带文件和其他文件. These documents may relate directly to client representations, such as litigation pleadings, fact memoranda or transactional materials. Or they may be of a more general nature, such as name and address lists, general research memoranda or correspondence unrelated to specific client representations. May the departing lawyer take these materials with him/her when the lawyer leaves the firm?

This question is only partially answered by the 规则 of Professional Conduct. 关于客户档案——与客户代理有关的材料，首先要问的是，在澳门赌场官网改变关系后，谁将继续代理客户. 这项调查很重要，因为如果关系的改变涉及到一个代理的终止(无论是由即将离职的澳门赌场官网), or by the lawyers he/she leaves behind), then the lawyer(s) terminating a relationship must “surrender. . . papers and property to which the client is entitled . . . (规则一).16(d)), 这意味着客户文件必须保留或转移给将继续代理的澳门赌场官网. 另请参阅 D.C. 澳门赌场官网操守行动. 168 (1986) (decided under DR 2-110(A)(2), the predecessor of 规则1.16(d)). 协议 犹他州澳门赌场官网职业道德行动. 132 (1993); Oregon 澳门赌场官网操守行动. 1991-70 (1991).

在此过程中与客户关系被终止的澳门赌场官网或澳门赌场官网事务所是否因提供法律服务而欠钱, 对客户档案的留置权在哥伦比亚特区是非常有限的. Under Rule of Professional Conduct 1.8(i):

澳门赌场官网可以取得和执行法律授予的留置权，以确保澳门赌场官网费或费用, but a lawyer shall not impose a lien upon any part of 一个客户端’s files, except upon the lawyer’s own work product, and then only to the extent that the work product has not been paid for. This work product exception shall not apply when the client has become unable to pay, 或者扣留澳门赌场官网的工作成果会给客户带来无法弥补的伤害的重大风险.

另请参阅 D.C. 澳门赌场官网操守行动. 250(1994)(“我们似乎很清楚，保留客户档案留置权现在在哥伦比亚特区非常不受澳门赌场官网, that the work product exception permitting such liens should be construed narrowly, 澳门赌场官网只有在例外情况明确适用且符合澳门赌场官网经济利益的情况下，才能对与前客户有关的工作成果主张留置权 . . . ‘clearly outweigh the adversely affected interests of his former client.’”)D.C. 澳门赌场官网操守行动. 59(未标明日期的)). 因此, 只有在最狭窄的情况下，才能对客户档案主张留置权，即对客户有能力支付的未付工作产品主张留置权，并且主张留置权不会对客户造成不可弥补的损害.²

终止代理的澳门赌场官网保留客户档案中的文件副本并不是不道德的, 尽管这些文件(如前客户的任何文件)包含规则1下的机密或秘密信息.6) would need to continue to be accorded the status and protection due them. We have previously opined that a law firm may, 以它为代价, make and retain copies of documents that it is obligated to provide to a former client. D.C. 酒吧 Opinions 168 (1986) and 250 n.2 (1994).

Other questions of ownership of files 相对于 一个客户端, 以及即将离职的澳门赌场官网与其前澳门赌场官网事务所之间的文件和其他书面材料的所有权问题, are not governed primarily by the 规则 of Professional Conduct. 一些所有权和控制问题可以通过参考个人财产的成文法和普通法规则来解决. And, where the departing lawyer is a partner, partnership law principles would be relevant. Our Committee does not opine on such questions of law. 不过, a lawyer should think carefully about whether the lawyer may take such materials with him/her, because a lawyer’s removal or copying, 未经公司同意, of materials from a law firm that do not belong to the lawyer, that are the property of the law firm, and that are intended to be used by the lawyer in his new affiliation, 可能构成不诚实, which is professional misconduct under 规则8.4(c).

利益冲突

When a lawyer departs one firm to affiliate with another, conflict of interest issues are raised for both firms. For the firm that the lawyer joins, conflict of interest concerns are raised whether the lawyer arrives with or without clients. The relevant 规则 of Professional Conduct are 1.10(b)和1.7. For the lawyer who arrives without clients, 澳门赌场官网在原事务所所做的工作可能会影响新事务所代理客户的能力. 规则1.10(b) extends a variation of the “former client” provisions of 规则1.9 to the new firm by prohibiting it from representing a person in a matter:

哪个是一样的, 或与该澳门赌场官网先前所代理的某一客户的利益与当事人有重大不利关系，且该澳门赌场官网实际上已获得受规则1保护的有关当事人的信息有关的事项.6 [保密] that is material to the matter.

The Rule applies a four-part conjunctive test for disqualification based on the newly arrived lawyer’s former legal work: (1) the lawyer must have formerly represented the client; (2) the new matter must be the same as or substantially related to the prior representation; (3) the position of the prospective new client must be adverse to that of the former client; and (4) the lawyer must actually (not just imputedly) have learned information confidential to the former client which is material to the new representation. One notable feature of the Rule is that it leaves open the possibility that a lawyer, 例如，在一件事情中只涉及到外围事务(如准备一份关于法律问题的研究备忘录)的助理。, would not subject his new law firm to a disqualification under 规则1.10(b)因为该澳门赌场官网在代理过程中未获知任何委托人的秘密.

正如我们在D.C. 酒吧 Opinion 174 (1986) (decided under the former Code of Professional Conduct), 一个公司被取消资格的利益冲突不能通过将其先前的代理造成冲突的澳门赌场官网从一件事中剔除来解决. The affected former client may, 然而, consent to the new law firm’s representation of the new client (规则1.10(d)), and might seek such screening as a condition to its consent. 参见Brown v. 哥伦比亚特区. 分区调整, 486 A.2d 37, 48-49 (D.C. 1984年)(全院开庭)讨论规则1中使用的“实质相关”一词的含义.10.

对于陪同澳门赌场官网去新事务所的客户，则呈现出一种不同的冲突场景. The new firm must treat each of those representations as new ones for it, testing its ability to undertake those representations against the requirements of 规则 1.7和1.9.

最后, 澳门赌场官网离开的事务所在澳门赌场官网离开时成为前客户的人的代理方面受到道德约束. 根据规则1.9和1.10(c), 律所不得在与前关联澳门赌场官网在律所代理客户的事务相同或实质相关的事务中代表与前客户的利益有重大不利关系的人. The firm also has continuing obligations under 规则1.6 to preserve the confidences of its former clients.

保密

前的客户, whether they become so because a representation has been completed, 因为客户终止了关系，或者因为澳门赌场官网离开了代理澳门赌场官网所在的事务所, are entitled to the same protection of secrets and confidences as current clients. 看到 规则1.6(f). 所以, where a lawyer who departs one firm for another, leaving the representation of certain clients with the former firm, 该澳门赌场官网必须确保他/她继续防范未经授权使用或披露受规则1保护的信息.6. Where the lawyer brings files of a former client to the new law firm, care must be taken not to reveal confidential information in those files to others, including the lawyer’s new professional colleagues.

Efforts to Interest Other Lawyers or Staff in Changing Firms

澳门赌场官网事务所道德顾问经常面临的另一个问题是，即将离职的澳门赌场官网是否可能, 出发前, recruit lawyers or non-lawyer personnel to accompany the lawyer to the new firm. We believe that this issue is resolved primarily, 如果不是全部, under law other than ethics law, such as the common law of interference with business relations and fiduciary obligations.³

澳门赌场官网事务所名称

最后, 如即将离任的澳门赌场官网行名称及/或其信笺上出现该名澳门赌场官网的名字，该澳门赌场官网行应怎样做? The answer is found in 规则7.5(a), which prohibits the use of a firm name or letterhead which is false or misleading. Where a lawyer has departed one firm to practice elsewhere, 如果澳门赌场官网事务所继续在对外交流的书面材料中使用该澳门赌场官网的名字，显然会造成误导. 看到 规则7.5, 评论[1]:“使用与公司或公司前任无关的澳门赌场官网的名字会产生误导.”

调查没有. 97-1-1
通过:1997年9月17日

1. 离职澳门赌场官网和原事务所均不愿在澳门赌场官网离职后继续代理客户, 负责代理的澳门赌场官网必须确保完全退出代理的行为符合职业行为准则.16. 最重要的是, 此类退出必须能够在不对客户利益产生重大不利影响的情况下完成. . . . 规则1.16(b).
2. 在哥伦比亚特区，保留对客户档案的留置权的可用性比美国澳门赌场官网协会职业行为示范规则要窄得多. ABA模型规则1.8(j)(1)允许澳门赌场官网“获得法律授予的留置权，以确保澳门赌场官网费或费用”和ABA示范规则1.16(d)允许澳门赌场官网, when terminating a relationship with 一个客户端, to “retain papers relating to the client to the extent permitted by other law.”
3. 在极端情况下, 离职澳门赌场官网是否采用欺骗及/或不诚实手段诱使其他澳门赌场官网事务所人员离职, the lawyer’s conduct might run afoul of 规则8.4(c), 根据该法律，澳门赌场官网“从事涉及不诚实的行为”是职业上的不端行为, 欺诈, 欺骗, 或歪曲.” Recruiting activity, 然而, would not ordinarily constitute an ethics violation.