Preamble: a Lawyer’s Responsibilities
[1] A lawyer, as a member of the legal profession, is a representative of clients,
an officer of the legal system and a public citizen having special responsibility for the
quality of justice.
[2] As a representative of clients, a lawyer performs various functions. As
advisor, a lawyer provides a client with an informed understanding of the client’s
legal rights and obligations and explains their practical implications. As advocate, a
lawyer zealously asserts the client’s position under the rules of the adversary system.
As negotiator, a lawyer seeks a result advantageous to the client but consistent with
requirements of honest dealings with others. As an evaluator, a lawyer acts by
examining a client’s legal affairs and reporting about them to the client or to others.
[3] In addition to these representational functions, a lawyer may serve as a third
party neutral, a nonrepresentational role helping the parties to resolve a dispute or
other matter. Some of these Rules apply directly to lawyers who are or have served
as third-party neutrals. See, e.g., Rules 1.12 and 2.4. In addition, there are Rules that
apply to lawyers who are not active in the practice of law or to practicing lawyers
even when they are acting in a nonprofessional capacity. For example, a lawyer who
commits fraud in the conduct of a business is subject to discipline for engaging in
conduct involving dishonesty, fraud, deceit or misrepresentation. See Rule 8.4.
[4] In all professional functions a lawyer should be competent, prompt and
diligent. A lawyer should maintain communication with a client concerning the
representation. A lawyer should keep in confidence information relating to
representation of a client except so far as disclosure is required or permitted by the
Rules of Professional Conduct or other law.
[5] A lawyer’s conduct should conform to the requirements of the law, both in
professional service to clients and in the lawyer’s business and personal affairs. A
lawyer should use the law’s procedures only for legitimate purposes and not to harass
or intimidate others. A lawyer should demonstrate respect for the legal system and
for those who serve it, including judges, other lawyers and public officials. While it
is a lawyer’s duty, when necessary, to challenge the rectitude of official action, it is
also a lawyer’s duty to uphold legal process.
[6] As a public citizen, a lawyer should seek improvement of the law, access to
the legal system, the administration of justice and the quality of service rendered by
the legal profession. As a member of a learned profession, a lawyer should cultivate
knowledge of the law beyond its use for clients, employ that knowledge in reform of
the law and work to strengthen legal education. In addition, a lawyer should further
the public’s understanding of and confidence in the rule of law and the justice system
because legal institutions in a constitutional democracy depend on popular
participation and support to maintain their authority.
[6A] It is also the responsibility of those licensed as officers of the court to use
their training, experience, and skills to provide services in the public interest for
which compensation may not be available. It is the responsibility of those who
manage law firms to create an environment that is hospitable to the rendering of a
reasonable amount of uncompensated service by lawyers practicing in that firm.
Service in the public interest may take many forms. These include but are not limited
to pro bono representation of persons unable to pay for legal services and assistance
in the organized bar’s efforts at law reform. An individual lawyer’s efforts in these
areas is evidence of the lawyer’s good character and fitness to practice law, and the
efforts of the bar as a whole are essential to the bar’s maintenance of professionalism.
To help monitor and quantify the extent of these activities, and to encourage an
increase in the delivery of legal services to persons of limited means, Illinois
Supreme Court Rule 756(f) requires disclosure with each lawyer’s annual registration
with the Illinois Attorney Registration and Disciplinary Commission of the
approximate amount of his or her pro bono legal service and the approximate amount
of qualified monetary contributions. See also Committee Comment (June 14, 2006)
to Illinois Supreme Court Rule 756(f).
[6B] The absence from the Illinois Rules of a counterpart to ABA Model Rule 6.1
regarding pro bono and public service should not be interpreted as limiting the
responsibility of lawyers to render uncompensated service in the public interest.
Rather, the rationale is that this responsibility is not appropriate for disciplinary rules
because it is not possible to articulate an appropriate disciplinary standard regarding
pro bono and public service.
[7] Many of a lawyer’s professional responsibilities are prescribed in the Rules-2
of Professional Conduct, as well as substantive and procedural law. However, a
lawyer is also guided by personal conscience and the approbation of professional
peers. A lawyer should strive to attain the highest level of skill, to improve the law
and the legal profession and to exemplify the legal profession’s ideals of public
service.
[8] A lawyer’s responsibilities as a representative of clients, an officer of the legal
system and a public citizen are usually harmonious. Thus, when an opposing party
is well represented, a lawyer can be a zealous advocate on behalf of a client and at
the same time assume that justice is being done. So also, a lawyer can be sure that
preserving client confidences ordinarily serves the public interest because people are
more likely to seek legal advice, and thereby heed their legal obligations, when they
know their communications will be private.
[9] In the nature of law practice, however, conflicting responsibilities are
encountered. Virtually all difficult ethical problems arise from conflict between a
lawyer’s responsibilities to clients, to the legal system and to the lawyer’s own
interest in remaining an ethical person while earning a satisfactory living. The Rules
of Professional Conduct often prescribe terms for resolving such conflicts. Within
the framework of these Rules, however, many difficult issues of professional
discretion can arise. Such issues must be resolved through the exercise of sensitive
professional and moral judgment guided by the basic principles underlying the Rules.
These principles include the lawyer’s obligation zealously to protect and pursue a
client’s legitimate interests, within the bounds of the law, while maintaining a
professional, courteous and civil attitude toward all persons involved in the legal
system.
[10] The legal profession is largely self-governing. Although other professions
also have been granted powers of self-government, the legal profession is unique in
this respect because of the close relationship between the profession and the
processes of government and law enforcement. This connection is manifested in the
fact that ultimate authority over the legal profession is vested largely in the courts.
[11] To the extent that lawyers meet the obligations of their professional calling,
the occasion for government regulation is obviated. Self-regulation also helps
maintain the legal profession’s independence from government domination. An
independent legal profession is an important force in preserving government under
law, for abuse of legal authority is more readily challenged by a profession whose
members are not dependent on government for the right to practice.
[12] The legal profession’s relative autonomy carries with it special
responsibilities of self-government. The profession has a responsibility to assure that
its regulations are conceived in the public interest and not in furtherance of parochial
or self-interested concerns of the bar. Every lawyer is responsible for observance of
the Rules of Professional Conduct. A lawyer should also aid in securing their
observance by other lawyers. Neglect of these responsibilities compromises the
independence of the profession and the public interest which it serves.-3
[13] Lawyers play a vital role in the preservation of society. The fulfillment of
this role requires an understanding by lawyers of their relationship to our legal
system. The Rules of Professional Conduct, when properly applied, serve to define
that relationship.
SCOPE
[14] The Rules of Professional Conduct are rules of reason. They should be
interpreted with reference to the purposes of legal representation and of the law itself.
Some of the Rules are imperatives, cast in the terms “shall” or “shall not.” These
define proper conduct for purposes of professional discipline. Others, generally cast
in the term “may,” are permissive and define areas under the Rules in which the
lawyer has discretion to exercise professional judgment. No disciplinary action
should be taken when the lawyer chooses not to act or acts within the bounds of such
discretion. Other Rules define the nature of relationships between the lawyer and
others. The Rules are thus partly obligatory and disciplinary and partly constitutive
and descriptive in that they define a lawyer’s professional role. Many of the
Comments use the term “should.” Comments and the Preamble and Scope do not add
obligations to the Rules but provide guidance for practicing in compliance with the
Rules.
[15] The Rules presuppose a larger legal context shaping the lawyer’s role. That
context includes court rules and statutes relating to matters of licensure, laws
defining specific obligations of lawyers and substantive and procedural law in
general. The Comments are sometimes used to alert lawyers to their responsibilities
under such other law.
[16] Compliance with the Rules, as with all law in an open society, depends
primarily upon understanding and voluntary compliance, secondarily upon
reinforcement by peer and public opinion and finally, when necessary, upon
enforcement through disciplinary proceedings. The Rules do not, however, exhaust
the moral and ethical considerations that should inform a lawyer, for no worthwhile
human activity can be completely defined by legal rules. The Rules simply provide
a framework for the ethical practice of law.
[17] Furthermore, for purposes of determining the lawyer’s authority and
responsibility, principles of substantive law external to these Rules determine
whether a client-lawyer relationship exists. Most of the duties flowing from the
client-lawyer relationship attach only after the client has requested the lawyer to
render legal services and the lawyer has agreed to do so. But there are some duties,
such as that of confidentiality under Rule 1.6, that attach when the lawyer agrees to
consider whether a client-lawyer relationship shall be established. See Rule 1.18.
Whether a client-lawyer relationship exists for any specific purpose can depend on
the circumstances and may be a question of fact.
[18] Under various legal provisions, including constitutional, statutory and
common law, the responsibilities of government lawyers may include authority-4
concerning legal matters that ordinarily reposes in the client in private client-lawyer
relationships. For example, a lawyer for a government agency may have authority on
behalf of the government to decide upon settlement or whether to appeal from an
adverse judgment. Such authority in various respects is generally vested in the
attorney general and the state’s attorney in state government, and their federal
counterparts, and the same may be true of other government law officers. Also,
lawyers under the supervision of these officers may be authorized to represent several
government agencies in intragovernmental legal controversies in circumstances
where a private lawyer could not represent multiple private clients. These Rules do
not abrogate any such authority.
[19] Failure to comply with an obligation or prohibition imposed by a Rule is a
basis for invoking the disciplinary process. The Rules presuppose that disciplinary
assessment of a lawyer’s conduct will be made on the basis of the facts and
circumstances as they existed at the time of the conduct in question and in
recognition of the fact that a lawyer often has to act upon uncertain or incomplete
evidence of the situation. Moreover, the Rules presuppose that whether or not
discipline should be imposed for a violation, and the severity of a sanction, depend
on all the circumstances, such as the willfulness and seriousness of the violation,
extenuating factors and whether there have been previous violations.
[20] Violation of a Rule should not itself give rise to a cause of action against a
lawyer nor should it create any presumption in such a case that a legal duty has been
breached. In addition, violation of a Rule does not necessarily warrant any other
nondisciplinary remedy, such as disqualification of a lawyer in pending litigation.
The Rules are designed to provide guidance to lawyers and to provide a structure for
regulating conduct through disciplinary agencies. They are not designed to be a basis
for civil liability. Furthermore, the purpose of the Rules can be subverted when they
are invoked by opposing parties as procedural weapons. The fact that a Rule is a just
basis for a lawyer’s self-assessment, or for sanctioning a lawyer under the
administration of a disciplinary authority, does not imply that an antagonist in a
collateral proceeding or transaction has standing to seek enforcement of the Rule.
Nevertheless, since the Rules do establish standards of conduct by lawyers, a
lawyer’s violation of a Rule may be evidence of breach of the applicable standard of
conduct.
[21] The Comment accompanying each Rule explains and illustrates the meaning
and purpose of the Rule. The Preamble and this note on Scope provide general
orientation and are instructive and not directive. The Comments are intended as
guides to interpretation, but the text of each Rule is authoritative.
RULE 1.0: TERMINOLOGY
(a) “Belief” or “believes” denotes that the person involved actually supposed the fact in
question to be true. A person’s belief may be inferred from circumstances.
(b) “Confirmed in writing,” when used in reference to the informed consent of a person,
denotes informed consent that is given in writing by the person or a writing that a lawyer promptly
transmits to the person confirming an oral informed consent. See paragraph (e) for the definition
of “informed consent.” If it is not feasible to obtain or transmit the writing at the time the person
gives informed consent, then the lawyer must obtain or transmit it within a reasonable time
thereafter.
(c) “Firm” or “law firm” denotes a lawyer or lawyers in a law partnership, professional
corporation, sole proprietorship or other association authorized to practice law; or lawyers
employed in a legal services organization or the legal department of a corporation or other
organization.
(d) “Fraud” or “fraudulent” denotes conduct that is fraudulent under the substantive or
procedural law of the applicable jurisdiction and has a purpose to deceive.
(e) “Informed consent” denotes the agreement by a person to a proposed course of conduct
after the lawyer has communicated adequate information and explanation about the material risks
of and reasonably available alternatives to the proposed course of conduct.
(f) “Knowingly,” “known,” or “knows” denotes actual knowledge of the fact in question. A
person’s knowledge may be inferred from circumstances.
(g) “Partner” denotes a member of a partnership, a shareholder in a law firm organized as a
professional corporation, or a member of an association authorized to practice law.
(h) “Reasonable” or “reasonably” when used in relation to conduct by a lawyer denotes the
conduct of a reasonably prudent and competent lawyer.
(i) “Reasonable belief” or “reasonably believes” when used in reference to a lawyer denotes
that the lawyer believes the matter in question and that the circumstances are such that the belief
is reasonable.
(j) “Reasonably should know” when used in reference to a lawyer denotes that a lawyer of
reasonable prudence and competence would ascertain the matter in question.
(k) “Screened” denotes the isolation of a lawyer from any participation in a matter through the
timely imposition of procedures within a firm that are reasonably adequate under the circumstances
to protect information that the isolated lawyer is obligated to protect under these Rules or other
law.
(l) “Substantial” when used in reference to degree or extent denotes a material matter of clear
and weighty importance.
(m) “Tribunal” denotes a court, an arbitrator in a binding arbitration proceeding or a legislative
body, administrative agency or other body acting in an adjudicative capacity. A legislative body,
administrative agency or other body acts in an adjudicative capacity when a neutral official, after
the presentation of evidence or legal argument by a party or parties, will render a binding legal
judgment directly affecting a party’s interests in a particular matter.
(n) “Writing” or “written” denotes a tangible or electronic record of a communication or
representation, including handwriting, typewriting, printing, photostating, photography, audio or
video recording and electronic communications. A “signed” writing includes an electronic sound,
symbol or process attached to or logically associated with a writing and executed or adopted by a
person with the intent to sign the writing.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 1.1: COMPETENCE
A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.
RULE 1.2: SCOPE OF REPRESENTATION AND ALLOCATION OF AUTHORITY BETWEEN CLIENT AND LAWYER
(a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client’s decisions concerning the objectives of representation and, as required by Rule 1.4, shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client’s decision whether to settle a matter. In a criminal case, the lawyer shall abide by the client’s decision, after consultation with the lawyer, as to a plea to be entered, whether to waive jury trial and whether the client will testify. (b) A lawyer’s representation of a client, including representation by appointment, does not constitute an endorsement of the client’s political, economic, social or moral views or activities. (c) A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. (d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may (1) discuss the legal consequences of any proposed course of conduct with a client, (2) counsel or assist a client to make a good-faith effort to determine the validity, scope, meaning or application of the law, and (3) counsel or assist a client in conduct expressly permitted by Illinois law that may violate or conflict with federal or other law, as long as the lawyer advises the client about that federal or other law and its potential consequences. (e) After accepting employment on behalf of a client, a lawyer shall not thereafter delegate to another lawyer not in the lawyer’s firm the responsibility for performing or completing that employment, without the client’s informed consent.
RULE 1.3: DILIGENCE
A lawyer shall act with reasonable diligence and promptness in representing a client.
RULE 1.4: COMMUNICATION
(a) A lawyer shall: (1) promptly inform the client of any decision or circumstance with respect to which the client’s informed consent, as defined in Rule 1.0(e), is required by these Rules; (2) reasonably consult with the client about the means by which the client’s objectives are to be accomplished; (3) keep the client reasonably informed about the status of the matter; (4) promptly comply with reasonable requests for information; and (5) consult with the client about any relevant limitation on the lawyer’s conduct when the lawyer knows that the client expects assistance not permitted by the Rules of Professional Conduct or other law. (b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.
RULE 1.5: FEES
(a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses. The factors to be considered in determining the reasonableness of a fee include the following: (1) the time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly; (2) the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer; (3) the fee customarily charged in the locality for similar legal services; (4) the amount involved and the results obtained; (5) the time limitations imposed by the client or by the circumstances; (6) the nature and length of the professional relationship with the client; (7) the experience, reputation, and ability of the lawyer or lawyers performing the services; and (8) whether the fee is fixed, contingent, or some type of retainer. (b) The scope of the representation and the basis or rate of the fee and expenses for which the client will be responsible shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation, except when the lawyer will charge a regularly represented client on the same basis or rate. Any changes in the basis or rate of the fee or expenses shall also be communicated to the client. (c) Nonrefundable fees and nonrefundable retainers are prohibited. Any agreement that purports to restrict a client’s right to terminate the representation or that unreasonably restricts a client’s right to obtain a refund of unearned or unreasonable fees is prohibited. (d) Common Types of Fee Agreements (1) Fixed Fees: A fixed fee, also described as a “flat” or “lump-sum” fee, is a sum of money paid by a client to the lawyer to provide a specific service for a fixed amount. The fixed amount constitutes complete payment for the performance of the described services and may be paid in whole or in part in advance of the lawyer providing those services. A fixed fee may not be deposited in the lawyer’s client trust account. (2) Contingent Fees: A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by paragraph (c) or other law. A contingent fee agreement shall be in a writing signed by the client and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation and other expenses to be deducted from the recovery; and whether such expenses are to be deducted before or after the contingent fee is calculated. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination. (3) Engagement Retainers: An engagement retainer, also described as a “general,” “classic,” or “true” retainer, is a fixed sum of money paid by a client to the lawyer to ensure a lawyer’s availability during a specified period of time or for a specified matter. Funds received as an engagement retainer are earned when paid and immediately become property of the lawyer, regardless of whether the lawyer ever actually performs any services for the client. A lawyer is compensated separately for any legal services actually rendered by the lawyer. Funds received as an engagement retainer may not be deposited into a client trust account. (4) Security Retainers: A security retainer, also referred to as a “security payment retainer,” describes funds paid to the lawyer intended to secure payment of fees and expenses for future services and costs the lawyer is expected to perform or incur. Funds received as a security retainer remain the property of the client and, therefore, must be deposited in a client trust account and kept separate from the lawyer’s own property until the lawyer applies the retainer to charges for services that are actually rendered. The term “security retainer” should be used in any written agreement describing the retainer. (5) Special Purpose Retainers: A special purpose retainer, also referred to as an “advance payment retainer,” describes funds paid to the lawyer intended by the client to be present payment to the lawyer in exchange for the commitment to provide legal services in the future and may be used only when necessary to accomplish some purpose for the client that cannot be accomplished by using a security retainer. Ownership of a special purpose retainer passes to the lawyer immediately upon payment and is generally the lawyer’s property and, therefore, may not be deposited in the lawyer’s client trust account. An agreement for a special purpose retainer shall be in a writing signed by the client that uses the term “special purpose retainer” to describe the retainer, and states the following: (i) the special purpose for the special purpose retainer and an explanation as to why it is advantageous to the client; (ii) that the retainer will not be held in a client trust account, that it will become the property of the lawyer upon payment, and that it will be deposited in the lawyer’s general account; (iii) the manner in which the retainer will be applied for services rendered and expenses incurred; (iv) that any portion of the retainer that is not earned or required for expenses will be refunded to the client; and (v) that the client has the option to employ a security retainer, provided, however, that if the lawyer is unwilling to represent the client without receiving a special purpose retainer, the agreement must so state and provide the lawyer’s reasons for that condition. (e) A lawyer shall not enter into an arrangement for, charge, or collect: (1) any fee in a domestic relations matter, the payment or amount of which is contingent upon the securing of a divorce or upon the amount of alimony or support, or property settlement in lieu thereof; or (2) a contingent fee for representing a defendant in a criminal case. -2- (f) A division of a fee between lawyers who are not in the same firm may be made only if: (1) the division is in proportion to the services performed by each lawyer, or if the primary service performed by one lawyer is the referral of the client to another lawyer and each lawyer assumes joint financial responsibility for the representation; (2) the client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing; and (3) the total fee is reasonable.
RULE 1.6: CONFIDENTIALITY OF INFORMATION
(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, or the disclosure is permitted by paragraph (b) or required by paragraph (c). (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: (1) to prevent the client from committing a crime in circumstances other than those specified in paragraph (c); (2) to prevent the client from committing fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer’s services; (3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client’s commission of a crime or fraud in furtherance of which the client has used the lawyer’s services; (4) to secure legal advice about the lawyer’s compliance with these Rules; (5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer’s representation of the client; (6) to comply with other law or a court order; or (7) to detect and resolve conflicts of interest if the revealed information would not prejudice the client. (c) A lawyer shall reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary to prevent reasonably certain death or substantial bodily harm. (d) Information received by a lawyer participating in a meeting or proceeding with a trained intervener or panel of trained interveners of an approved lawyers’ assistance program, or in an intermediary program approved by a circuit court in which nondisciplinary complaints against judges or lawyers can be referred, shall be considered information relating to the representation of a client for purposes of these Rules. (e) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.
RULE 1.7: CONFLICT OF INTEREST: CURRENT CLIENTS
(a) Except as provided in paragraph (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: (1) the representation of one client will be directly adverse to another client; or (2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyer’s responsibilities to another client, a former client or a third person or by a personal interest of the lawyer. (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a lawyer may represent a client if: (1) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client; (2) the representation is not prohibited by law; (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (4) each affected client gives informed consent.
RULE 1.8: CONFLICT OF INTEREST: CURRENT CLIENTS: SPECIFIC RULES
(a) A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless: (1) the transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client; (2) the client is informed in writing that the client may seek the advice of independent legal counsel on the transaction, and is given a reasonable opportunity to do so; and (3) the client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer’s role in the transaction, including whether the lawyer is representing the client in the transaction. (b) A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent, except as permitted or required by these Rules. (c) A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client. For purposes of this paragraph, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual with whom the lawyer or the client maintains a close, familial relationship. (d) Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation. (e) A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation, except that: (1) a lawyer may advance court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matter; and (2) a lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client. (f) A lawyer shall not accept compensation for representing a client from one other than the client unless: (1) the client gives informed consent; (2) there is no interference with the lawyer’s independence of professional judgment or with the client-lawyer relationship; and (3) information relating to representation of a client is protected as required by Rule 1.6. (g) A lawyer who represents two or more clients shall not participate in making an aggregate settlement of the claims of or against the clients, or in a criminal case an aggregated agreement as to guilty or nolo contendere pleas, unless each client gives informed consent, in a writing signed by the client. The lawyer’s disclosure shall include the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement. (h) A lawyer shall not: (1) make an agreement prospectively limiting the lawyer’s liability to a client for malpractice unless the client is independently represented in making the agreement; or (2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith. (i) A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client, except that the lawyer may: (1) acquire a lien authorized by law to secure the lawyer’s fee or expenses; and (2) contract with a client for a reasonable contingent fee in a civil case. (j) A lawyer shall not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced. (k) While lawyers are associated in a firm, a prohibition in the foregoing paragraphs (a) through (i) that applies to any one of them shall apply to all of them.
RULE 1.9: DUTIES TO FORMER CLIENTS
(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent
another person in the same or a substantially related matter in which that person’s interests are
materially adverse to the interests of the former client unless the former client gives informed
consent.
(b) A lawyer shall not knowingly represent a person in the same or a substantially related
matter in which a firm with which the lawyer formerly was associated had previously represented
a client
(1) whose interests are materially adverse to that person; and
(2) about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that
is material to the matter; unless the former client gives informed consent.
(c) A lawyer who has formerly represented a client in a matter or whose present or former firm
has formerly represented a client in a matter shall not thereafter:
(1) use information relating to the representation to the disadvantage of the former client
except as these Rules would permit or require with respect to a client, or when the information
has become generally known; or
(2) reveal information relating to the representation except as these Rules would permit or
require with respect to a client.
RULE 1.10: IMPUTATION OF CONFLICTS OF INTEREST: GENERAL RULE
(a) While lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by Rules 1.7 or 1.9, unless the prohibition is based on a personal interest of the prohibited lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm. (b) When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless: (1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and (2) any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9(c) that is material to the matter. (c) A disqualification prescribed by this Rule may be waived by the affected client under the conditions stated in Rule 1.7. (d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by Rule 1.11 and with former judges, arbitrators, mediators or other third party neutrals is governed by Rule 1.12. (e) When a lawyer becomes associated with a firm, no lawyer associated in the firm shall knowingly represent a person in a matter in which that lawyer is disqualified under Rule 1.9 unless the personally disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. Adopted July 1, 2009, effective January 1, 2010.
RULE 1.11: SPECIAL CONFLICTS OF INTEREST FOR FORMER AND CURRENT GOVERNMENT OFFICERS AND EMPLOYEE
(a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government: (1) is subject to Rule 1.9(c); and (2) shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives its informed consent to the representation. (b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this Rule. (c) Except as law may otherwise expressly permit, a lawyer having information that the lawyer knows is confidential government information about a person acquired when the lawyer was a public officer or employee may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person. As used in this Rule, the term “confidential government information” means information that has been obtained under governmental authority and which, at the time this Rule is applied, the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom. (d) Except as law may otherwise expressly permit, a lawyer currently serving as a public officer or employee: (1) is subject to Rules 1.7 and 1.9; and (2) shall not: (i) participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives its informed consent; or (ii) negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted by Rule 1.12(b) and subject to the conditions stated in Rule 1.12(b). (e) As used in this Rule, the term “matter” includes: (1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties, and (2) any other matter covered by the conflict of interest rules of the appropriate government agency. Adopted July 1, 2009, effective January 1, 2010.
RULE 1.12: FORMER JUDGE, ARBITRATOR, MEDIATOR OR OTHER THIRD PARTY NEUTRAL (a) Except as stated in paragraph (d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding give informed consent. (b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer. (c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless: (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule. (d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party. Adopted July 1, 2009, effective January 1, 2010.
RULE 1.13: ORGANIZATION AS CLIENT
(a) A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents. (b) If a lawyer for an organization knows that an officer, employee or other person associated with the organization is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the organization, or a crime, fraud or other violation of law that reasonably might be imputed to the organization, and that is likely to result in substantial injury to the organization, then the lawyer shall proceed as is reasonably necessary in the best interest of the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so, the lawyer shall refer the matter to higher authority in the organization, including, if warranted by the circumstances, to the highest authority that can act on behalf of the organization as determined by applicable law. (c) Except as provided in paragraph (d), if (1) despite the lawyer’s efforts in accordance with paragraph (b) the highest authority that can act on behalf of the organization insists upon or fails to address in a timely and appropriate manner an action or a refusal to act, that is clearly a crime or fraud, and (2) the lawyer reasonably believes that the crime or fraud is reasonably certain to result in substantial injury to the organization, then the lawyer may reveal information relating to the representation whether or not Rule 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the organization. (d) Paragraph (c) shall not apply with respect to information relating to a lawyer’s representation of an organization to investigate an alleged crime, fraud or other violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged crime, fraud or other violation of law. (e) A lawyer who reasonably believes that he or she has been discharged because of the lawyer’s actions taken pursuant to paragraphs (b) or (c), or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the organization’s highest authority is informed of the lawyer’s discharge or withdrawal. (f) In dealing with an organization’s directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when the lawyer knows or reasonably should know that the organization’s interests are adverse to those of the constituents with whom the lawyer is dealing. (g) A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provisions of Rule 1.7. If the organization’s consent to the dual representation is required by Rule 1.7, the consent shall be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders. Adopted July 1, 2009, effective January 1, 2010.
RULE 1.14: CLIENT WITH DIMINISHED CAPACITY
(a) When a client’s capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client. (b) When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial or other harm unless action is taken and cannot adequately act in the client’s own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian. (c) Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client’s interests.
Adopted July 1, 2009, effective January 1, 2010.
RULE 1.15: GENERAL DUTIES REGARDING SAFEKEEPING PROPERTY
(a) A lawyer must not, even temporarily, use funds or property of clients or third persons for the lawyer’s own purposes without authorization. (b) A lawyer must hold funds or property of clients or third persons that is in the lawyer’s possession in connection with a representation separate from the lawyer’s own funds or property. All such funds must be deposited in one or more separate and identifiable interest- or dividend bearing client trust accounts maintained at an eligible financial institution in the state where the lawyer’s office is situated, or elsewhere with the informed consent of the client or third person. A client trust account means an IOLTA account as defined in Rule 1.15C(b), or a separate, interest bearing non-IOLTA client trust account established to hold the funds of a client or third person as provided in Rule 1.15C(c). Other, tangible property must be identified as such and appropriately safeguarded. Each client trust account must be maintained only in an eligible financial institution selected by the lawyer in the exercise of ordinary care. (c) A lawyer may deposit the lawyer’s own funds in a client trust account for the sole purpose of paying bank service charges or minimum balance requirements on that account, but only in an amount necessary for that purpose. (d) A lawyer must deposit in a client trust account funds received to secure payment of legal fees and expenses, to be withdrawn by the lawyer only as fees are earned and expenses are incurred. A lawyer must deposit in the lawyer’s general account or other account belonging to the lawyer funds received as a fixed fee, an engagement retainer, or a special purpose retainer, as described in Rule 1.5. (e) Upon receiving funds or property in which a client or third person has an interest, a lawyer must promptly notify the client or third person. Except as stated in this Rule or otherwise permitted by law or by agreement with the client, a lawyer must promptly deliver to the client or third person any funds or property that the client or third person is entitled to receive. Upon request by the client or third person, a lawyer must promptly render a full accounting regarding such funds or property. (f) When in the course of representation a lawyer is in possession of funds or property in which two or more persons (one of whom may be the lawyer) claim interests, the funds or property must be kept separate by the lawyer until the dispute is resolved. The lawyer must promptly distribute all portions of the funds or property as to which the interests are not in dispute. (g) Withdrawals from a client trust account must be made only by check payable to a named payee or by electronic transfer and not by cash. No check may be made payable to “cash.” No withdrawal of cash may be made from a deposit to a client trust account or by automated teller or cash dispensing machine.
Adopted July 1, 2009, effective January 1, 2010; amended July 1, 2011, effective September 1, 2011; amended April 7, 2015, eff. July 1, 2015; amended Mar. 1, 2023, eff. July 1, 2023.
RULE 1.15A: REQUIRED RECORDS
(a) For each client matter, complete records of client trust account funds and other property
must be kept by the lawyer and must be preserved for a period of seven years after termination of
the representation.
(b) Maintenance of complete records of client trust accounts requires that a lawyer:
(1) prepare and maintain receipt and disbursement journals for all client trust accounts
required by this Rule containing a record of deposits to and withdrawals from client trust
accounts specifically identifying the date, source, and description of each item deposited and
the date, payee, client matter, and purpose of each disbursement. In addition, for each
electronic transfer, the journals should include the name of the person authorizing transfer
and the financial institution and account number to or from which funds were transferred;
(2) prepare and maintain contemporaneous ledger records for all client trust accounts
showing, for each separate trust client or beneficiary, the source of all funds deposited; the
date of each deposit; the names of all persons for whom the funds are or were held; the
amount of such funds; the dates, descriptions, and amounts of charges or withdrawals; and
the names of all persons to whom such funds were disbursed;
(3) maintain copies of all accountings to clients or third persons showing the
disbursement of funds to them or on their behalf, along with copies of those portions of
clients’ files that are reasonably necessary for a complete understanding of the financial
transactions pertaining to them;
(4) maintain all client trust account checkbook registers, check stubs, bank statements,
records of deposit, and checks or other records of debits;
(5) maintain copies of all retainer and compensation agreements with clients;
(6) maintain copies of all bills rendered to clients for legal fees and expenses;
(7) prepare and maintain three-way reconciliation reports of all client trust accounts on at
least a quarterly basis; and
(8) make appropriate arrangements for the maintenance of the records in the event of the
closing, sale, dissolution, or merger of a law practice.
Records required by this Rule may be maintained by electronic, photographic, or other media
provided that printed copies can be produced and the records are readily accessible to the lawyer.
(c) A three-way reconciliation consists of the following steps:
(1) The first step is to take the balance in the checkbook register at the end of the
reconciliation period and compare it with the adjusted bank statement balance for that period.
The bank statement balance is adjusted by adding deposits not yet credited and subtracting
any checks or other debits not yet posted to the account.
(2) The second step in the reconciliation is to add together the ending balances of all
client ledgers.
(3) The third step in the reconciliation is to subtract the disbursements journal balance
from the receipts journal balance by (i) taking the ending figure calculated for the previous
period, (ii) adding the receipts journal balance for the period in question, and (iii) subtracting
the disbursements journal balance for that period.
All three balances (figures from the check register, client ledgers, and receipts/disbursement
journals) must agree with the adjusted bank statement balance.
Adopted Mar. 1, 2023, eff. July 1, 2023.
RULE 1.16: DECLINING OR TERMINATING REPRESENTATION
(a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where
representation has commenced, shall withdraw from the representation of a client if:
(1) the representation will result in violation of the Rules of Professional Conduct or other
law;
(2) the lawyer’s physical or mental condition materially impairs the lawyer’s ability to
represent the client; or
(3) the lawyer is discharged.
(b) Except as stated in paragraph (c), a lawyer may withdraw from representing a client if:
(1) withdrawal can be accomplished without material adverse effect on the interests of the
client;
(2) the client persists in a course of action involving the lawyer’s services that the lawyer
reasonably believes is criminal or fraudulent;
(3) the client has used the lawyer’s services to perpetrate a crime or fraud;
(4) the client insists upon taking action that the lawyer considers repugnant or with which
the lawyer has a fundamental disagreement;
(5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer’s
services and has been given reasonable warning that the lawyer will withdraw unless the
obligation is fulfilled;
(6) the representation will result in an unreasonable financial burden on the lawyer or has
been rendered unreasonably difficult by the client; or
(7) other good cause for withdrawal exists.
(c) A lawyer must comply with applicable law requiring notice to or permission of a tribunal
when terminating a representation. When ordered to do so by a tribunal, a lawyer shall continue
representation notwithstanding good cause for terminating the representation.
(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably
practicable to protect a client’s interests, such as giving reasonable notice to the client, allowing
time for employment of other counsel, surrendering papers and property to which the client is
entitled and refunding any advance payment of fee or expense that has not been earned or incurred.
The lawyer may retain papers relating to the client to the extent permitted by other law.
Adopted July 1, 2009, effective January 1, 2010.
RULE 1.17: SALE OF LAW PRACTICE
A lawyer or a law firm may sell or purchase, and the estate of a deceased lawyer or the guardian
or authorized representative of a disabled lawyer may sell, a law practice, including good will, if
the following conditions are satisfied:
(a) The seller ceases to engage in the private practice of law in the geographic area in which
the practice has been conducted;
(b) The entire practice is sold to one or more lawyers or law firms;
(c) The seller gives written notice to each of the seller’s clients regarding:
(1) the proposed sale;
(2) the client’s right to retain other counsel or to take possession of the file; and
(3) the fact that the client’s consent to the transfer of the client’s files will be presumed
if the client does not take any action or does not otherwise object within ninety (90) days
of receipt of the notice.
If a client cannot be given notice, the representation of that client may be transferred to the
purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may
disclose to the court in camera information relating to the representation only to the extent
necessary to obtain an order authorizing the transfer of a file.
(d) The fees charged clients shall not be increased by reason of the sale.
Adopted July 1, 2009, effective January 1, 2010.
RULE 1.18: DUTIES TO PROSPECTIVE CLIENT
(a) A person who consults with a lawyer about the possibility of forming a client-lawyer
relationship with respect to a matter is a prospective client.
(b) Even when no client-lawyer relationship ensues, a lawyer who has learned information
from a prospective client shall not use or reveal that information, except as Rule 1.9 would permit
with respect to information of a former client.
(c) A lawyer subject to paragraph (b) shall not represent a client with interests materially
adverse to those of a prospective client in the same or a substantially related matter if the lawyer
received information from the prospective client that could be significantly harmful to that person
in the matter, except as provided in paragraph (d). If a lawyer is disqualified from representation
under this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly
undertake or continue representation in such a matter, except as provided in paragraph (d).
(d) When the lawyer has received disqualifying information as defined in paragraph (c),
representation is permissible if:
(1) both the affected client and the prospective client have given informed consent, or
(2) the lawyer who received the information took reasonable measures to avoid exposure
to more disqualifying information than was reasonably necessary to determine whether to
represent the prospective client; and that lawyer is timely screened from any participation in
the matter and is apportioned no part of the fee therefrom.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 2.1: ADVISOR
In representing a client, a lawyer shall exercise independent professional judgment and render
candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations
such as moral, economic, social and political factors, that may be relevant to the client’s situation.
Adopted July 1, 2009, effective January 1, 2010.
RULE 2.3: EVALUATION FOR USE BY THIRD PERSONS
(a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone
other than the client if the lawyer reasonably believes that making the evaluation is compatible
with other aspects of the lawyer’s relationship with the client.
(b) When the lawyer knows or reasonably should know that the evaluation is likely to affect
the client’s interests materially and adversely, the lawyer shall not provide the evaluation unless
the client gives informed consent.
(c) Except as disclosure is authorized in connection with a report of an evaluation, information
relating to the evaluation is otherwise protected by Rule 1.6.
Adopted July 1, 2009, effective January 1, 2010.
RULE 2.4: LAWYER SERVING AS THIRD-PARTY NEUTRAL
(a) A lawyer serves as a third-party neutral when the lawyer assists two or more persons who
are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between
them. Service as a third-party neutral may include service as an arbitrator, a mediator or in such
other capacity as will enable the lawyer to assist the parties to resolve the matter.
(b) A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer
is not representing them and shall explain to them the difference between the lawyer’s role as a
third-party neutral and a lawyer’s role as one who represents a client.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.1: MERITORIOUS CLAIMS AND CONTENTIONS
A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless
there is a basis in law and fact for doing so that is not frivolous, which includes a good-faith
argument for an extension, modification or reversal of existing law. A lawyer for the defendant in
a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may
nevertheless so defend the proceeding as to require that every element of the case be established.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.2: EXPEDITING LITIGATION
A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of
the client.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.3: CANDOR TOWARD THE TRIBUNAL
(a) A lawyer shall not knowingly:
(1) make a false statement of fact or law to a tribunal or fail to correct a false statement of
material fact or law previously made to the tribunal by the lawyer;
(2) fail to disclose to the tribunal legal authority in the controlling jurisdiction known to
the lawyer to be directly adverse to the position of the client and not disclosed by opposing
counsel; or
(3) offer evidence that the lawyer knows to be false. If a lawyer, the lawyer’s client, or a
witness called by the lawyer, has offered material evidence and the lawyer comes to know of
its falsity, the lawyer shall take reasonable remedial measures, including, if necessary,
disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of
a defendant in a criminal matter, that the lawyer reasonably believes is false.
(b) A lawyer who represents a client in an adjudicative proceeding and who knows that a
person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to
the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the
tribunal.
(c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding,
and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6.
(d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to
the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are
adverse.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.4: FAIRNESS TO OPPOSING PARTY AND COUNSEL
A lawyer shall not:
(a) unlawfully obstruct another party’s access to evidence or unlawfully alter, destroy or
conceal a document or other material having potential evidentiary value. A lawyer shall not
counsel or assist another person to do any such act;
(b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a
witness that is prohibited by law;
(c) knowingly disobey an obligation under the rules of a tribunal, except for an open refusal
based on an assertion that no valid obligation exists;
(d) in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent
effort to comply with a legally proper discovery request by an opposing party;
(e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or that
will not be supported by admissible evidence, assert personal knowledge of facts in issue except
when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility
of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or
(f) request a person other than a client to refrain from voluntarily giving relevant information
to another party unless:
(1) the person is a relative or an employee or other agent of a client; and
(2) the lawyer reasonably believes that the person’s interests will not be adversely affected
by refraining from giving such information.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.5: IMPARTIALITY AND DECORUM OF THE TRIBUNAL
A lawyer shall not:
(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by
law;
(b) communicate ex parte with such a person during the proceeding unless authorized to do so
by law or court order;
(c) communicate with a juror or prospective juror after discharge of the jury if:
(1) the communication is prohibited by law or court order;
(2) the juror has made known to the lawyer a desire not to communicate; or
(3) the communication involves misrepresentation, coercion, duress or harassment;
or
(d) engage in conduct intended to disrupt a tribunal.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.6: TRIAL PUBLICITY
(a) A lawyer who is participating or has participated in the investigation or litigation of a
matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know
will be disseminated by means of public communication and would pose a serious and imminent
threat to the fairness of an adjudicative proceeding in the matter.
(b) Notwithstanding paragraph (a), a lawyer may state:
(1) the claim, offense or defense involved and, except when prohibited by law, the identity
of the persons involved;
(2) information contained in a public record;
(3) that an investigation of a matter is in progress;
(4) the scheduling or result of any step in litigation;
(5) a request for assistance in obtaining evidence and information necessary thereto;
(6) a warning of danger concerning the behavior of a person involved, when there is reason
to believe that there exists the likelihood of substantial harm to an individual or to the public
interest; and
(7) in a criminal case, in addition to subparagraphs (1) through (6):
(i) the identity, residence, occupation and family status of the accused;
(ii) if the accused has not been apprehended, information necessary to aid in
apprehension of that person;
(iii)the fact, time and place of arrest; and
(iv) the identity of investigating and arresting officers or agencies and the length of the
investigation.
(c) Notwithstanding paragraph (a), a lawyer may make a statement that a reasonable lawyer
would believe is required to protect a client from the substantial undue prejudicial effect of recent
publicity not initiated by the lawyer or the lawyer’s client. A statement made pursuant to this
paragraph shall be limited to such information as is necessary to mitigate the recent adverse
publicity.
(d) No lawyer associated in a firm or government agency with a lawyer subject to paragraph
(a) shall make a statement prohibited by paragraph (a).
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.7: LAWYER AS WITNESS
(a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary
witness unless:
(1) the testimony relates to an uncontested issue;
(2) the testimony relates to the nature and value of legal services rendered in the case; or
(3) disqualification of the lawyer would work substantial hardship on the client.
(b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer’s firm is
likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9.
Adopted July 1, 2009, effective January 1, 2010.
RULE 3.8: SPECIAL RESPONSIBILITIES OF A PROSECUTOR
The duty of a public prosecutor is to seek justice, not merely to convict. The prosecutor in a
criminal case shall:
(a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable
cause;
(b) make reasonable efforts to assure that the accused has been advised of the right to, and the
procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;
(c) not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such
as the right to a preliminary hearing;
(d) make timely disclosure to the defense of all evidence or information known to the
prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection
with sentencing, disclose to the defense and to the tribunal all unprivileged mitigating information
known to the prosecutor, except when the prosecutor is relieved of this responsibility by a
protective order of the tribunal;
(e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence
about a past or present client unless the prosecutor reasonably believes:
(1) the information sought is not protected from disclosure by any applicable privilege;
(2) the evidence sought is essential to the successful completion of an ongoing
investigation or prosecution; and
(3) there is no other feasible alternative to obtain the information;
(f) except for statements that are necessary to inform the public of the nature and extent of the
prosecutor’s action and that serve a legitimate law enforcement purpose, refrain from making
extrajudicial comments that pose a serious and imminent threat of heightening public
condemnation of the accused and exercise reasonable care to prevent investigators, law
enforcement personnel, employees or other persons assisting or associated with the prosecutor in
a criminal case from making an extrajudicial statement that the prosecutor would be prohibited
from making under Rule 3.6 or this Rule.
(g) When a prosecutor knows of new, credible and material evidence creating a reasonable
likelihood that a convicted defendant did not commit an offense of which the defendant was
convicted, the prosecutor shall:
(1) promptly disclose that evidence to an appropriate court or authority, and
(2) if the conviction was obtained in the prosecutor’s jurisdiction,
(i) promptly disclose that evidence to the defendant unless a court authorizes delay,
and
(ii) undertake further reasonable investigation, or make reasonable efforts to cause an
investigation, to determine whether the defendant was convicted of an offense that the
defendant did not commit.
(h) When a prosecutor knows of clear and convincing evidence establishing that a defendant
in the prosecutor’s jurisdiction was convicted of an offense that the defendant did not commit, the
prosecutor shall seek to remedy the conviction.
(i) A prosecutor’s judgment, made in good faith, that evidence does not rise to the standards
stated in paragraphs (g) or (h), though subsequently determined to have been erroneous, does not
constitute a violation of this rule.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 3.9: ADVOCATE IN NONADJUDICATIVE PROCEEDINGS
A lawyer representing a client before a legislative body or administrative agency in a
nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and
shall conform to the provisions of Rules 3.3(a) through (c), and 3.4(a) through (c).
Adopted July 1, 2009, effective January 1, 2010; amended November 23, 2009, effective January 1,
2010.
RULE 4.1: TRUTHFULNESS IN STATEMENTS TO OTHERS
In the course of representing a client a lawyer shall not knowingly:
(a) make a false statement of material fact or law to a third person; or
(b) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or
fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.
Adopted July 1, 2009, effective January 1, 2010.
RULE 4.2: COMMUNICATION WITH PERSON REPRESENTED BY COUNSEL
In representing a client, a lawyer shall not communicate about the subject of the representation
with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer
has the consent of the other lawyer or is authorized to do so by law or a court order.
Adopted July 1, 2009, effective January 1, 2010.
RULE 4.3: DEALING WITH UNREPRESENTED PERSON
In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall
not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should
know that the unrepresented person misunderstands the lawyer’s role in the matter, the lawyer
shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal
advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or
reasonably should know that the interests of such a person are or have a reasonable possibility of
being in conflict with the interests of the client.
Adopted July 1, 2009, effective January 1, 2010.
RULE 4.4: RESPECT FOR RIGHTS OF THIRD PERSONS
(a) In representing a client, a lawyer shall not use means that have no substantial purpose other
than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that
violate the legal rights of such a person.
(b) A lawyer who receives a document or electronically stored information relating to the
representation of the lawyer’s client and knows that the document or electronically stored
information was inadvertently sent shall promptly notify the sender.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 5.1: RESPONSIBILITIES OF PARTNERS, MANAGERS, AND SUPERVISORY
LAWYERS
(a) A partner in a law firm, and a lawyer who individually or together with other lawyers
possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure
that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform
to the Rules of Professional Conduct.
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable
efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.
(c) A lawyer shall be responsible for another lawyer’s violation of the Rules of Professional
Conduct if:
(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct
involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law firm in which
the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows
of the conduct at a time when its consequences can be avoided or mitigated but fails to take
reasonable remedial action.
Adopted July 1, 2009, effective January 1, 2010.
RULE 5.2: RESPONSIBILITIES OF A SUBORDINATE LAWYER
(a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer
acted at the direction of another person.
(b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts
in accordance with a supervisory lawyer’s reasonable resolution of an arguable question of
professional duty.
Adopted July 1, 2009, effective January 1, 2010.
RULE 5.3: RESPONSIBILITIES REGARDING NONLAWYER ASSISTANCE
With respect to a nonlawyer employed or retained by or associated with a lawyer:
(a) a partner, and a lawyer who individually or together with other lawyers possesses
comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm
has in effect measures giving reasonable assurance that the person’s conduct is compatible with
the professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable
efforts to ensure that the person’s conduct is compatible with the professional obligations of the
lawyer; and
(c) a lawyer shall be responsible for conduct of such a person that would be a violation of the
Rules of Professional Conduct if engaged in by a lawyer if:
(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct
involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law firm in which
the person is employed, or has direct supervisory authority over the person, and knows of the
conduct at a time when its consequences can be avoided or mitigated but fails to take
reasonable remedial action.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 5.4: PROFESSIONAL INDEPENDENCE OF A LAWYER
(a) A lawyer or law firm shall not share legal fees with a nonlawyer, except that:
(1) an agreement by a lawyer with the lawyer’s firm, partner, or associate may provide for
the payment of money, over a reasonable period of time after the lawyer’s death, to the lawyer’s
estate or to one or more specified persons;
(2) a lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer
may, pursuant to the provisions of Rule 1.17, pay to the estate or other representative of that
lawyer the agreed-upon purchase price;
(3) a lawyer or law firm may include nonlawyer employees in a compensation or retirement
plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and
(4) a lawyer may share court-awarded legal fees with a nonprofit organization that
employed, retained or recommended employment of the lawyer in the matter.
(b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the
partnership consist of the practice of law.
(c) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render
legal services for another to direct or regulate the lawyer’s professional judgment in rendering such
legal services.
(d) A lawyer shall not practice with or in the form of a professional corporation or association
authorized to practice law for a profit, if:
(1) a nonlawyer owns any interest therein, except that a fiduciary representative of the
estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during
administration;
(2) a nonlawyer is a corporate director or officer thereof or occupies the position of similar
responsibility in any form of association other than a corporation; or
(3) a nonlawyer has the right to direct or control the professional judgment of a lawyer.
Adopted July 1, 2009, effective January 1, 2010.
RULE 5.5: UNAUTHORIZED PRACTICE OF LAW; MULTIJURISDICTIONAL
PRACTICE OF LAW
(a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal
profession in that jurisdiction, or assist another in doing so.
(b) A lawyer who is not admitted to practice in this jurisdiction shall not:
(1) except as authorized by these Rules or other law, establish an office or other systematic
and continuous presence in this jurisdiction for the practice of law; or
(2) hold out to the public or otherwise represent that the lawyer is admitted to practice law
in this jurisdiction.
(c) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended
from practice in any jurisdiction, may provide legal services on a temporary basis in this
jurisdiction that:
(1) are undertaken in association with a lawyer who is admitted to practice in this
jurisdiction and who actively participates in the matter;
(2) are in or reasonably related to a pending or potential proceeding before a tribunal in
this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by
law or order to appear in such proceeding or reasonably expects to be so authorized;
(3) are in or reasonably related to a pending or potential arbitration, mediation, or other
alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out
of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is
admitted to practice and are not services for which the forum requires pro hac vice admission;
or
(4) are not within paragraphs (c)(2) or (c)(3) and arise out of or are reasonably related to
the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice.
(d) A lawyer admitted in another United States jurisdiction or admitted or otherwise authorized
to practice in a foreign jurisdiction, and not disbarred or suspended from practice in any
jurisdiction or the equivalent thereof, may provide legal services through an office or other
systematic and continuous presence in this jurisdiction that:
(1) are provided to the lawyer’s employer or its organizational affiliates and are not services
for which the forum requires pro hac vice admission; or
(2) are services that the lawyer is authorized by federal or other law or rule to provide in
this jurisdiction.
(e) For purposes of paragraph (d), the foreign lawyer must be a member in good standing of a
recognized legal profession in a foreign jurisdiction.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016.
RULE 5.6: RESTRICTIONS ON RIGHT TO PRACTICE
A lawyer shall not participate in offering or making:
(a) a partnership, shareholders, operating, employment, or other similar type of agreement that
restricts the right of a lawyer to practice after termination of the relationship, except an agreement
concerning benefits upon retirement; or
b) an agreement in which a restriction on the lawyer’s right to practice is part of the settlement
of a client controversy.
Adopted July 1, 2009, effective January 1, 2010.
RULE 6.2: ACCEPTING APPOINTMENTS
A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for
good cause, such as:
(a) representing the client is likely to result in violation of the Rules of Professional Conduct
or other law;
(b) representing the client is likely to result in an unreasonable financial burden on the lawyer;
or
(c) the client or the cause is so repugnant to the lawyer as to be likely to impair the client
lawyer relationship or the lawyer’s ability to represent the client.
Adopted July 1, 2009, effective January 1, 2010.
RULE 6.3: MEMBERSHIP IN LEGAL SERVICES ORGANIZATION
A lawyer may serve as a director, officer or member of a not-for-profit legal services
organization, apart from the law firm in which the lawyer practices, notwithstanding that the
organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not
knowingly participate in a decision or action of the organization:
(a) if participating in the decision or action would be incompatible with the lawyer’s
obligations to a client under Rule 1.7; or
(b) where the decision or action could have a material adverse effect on the representation of
a client of the organization whose interests are adverse to a client of the lawyer.
Adopted July 1, 2009, effective January 1, 2010.
RULE 6.4: LAW REFORM ACTIVITIES AFFECTING CLIENT INTERESTS
A lawyer may serve as a director, officer or member of an organization involved in reform of
the law or its administration notwithstanding that the reform may affect the interests of a client of
the lawyer. When the lawyer knows that the interests of a client may be materially benefitted by a
decision in which the lawyer participates, the lawyer shall disclose that fact but need not identify
the client.
Adopted July 1, 2009, effective January 1, 2010.
RULE 6.5: NONPROFIT AND COURT-ANNEXED LIMITED LEGAL SERVICES
PROGRAMS
(a) A lawyer who, under the auspices of a program sponsored by a nonprofit organization or
court, provides short-term limited legal services to a client without expectation by either the lawyer
or the client that the lawyer will provide continuing representation in the matter:
(1) is subject to Rules 1.7 and 1.9(a) only if the lawyer knows that the representation of the
client involves a conflict of interest; and
(2) is subject to Rule 1.10 only if the lawyer knows that another lawyer associated with the
lawyer in a law firm is disqualified by Rule 1.7 or 1.9(a) with respect to the matter.
(b) Except as provided in paragraph (a)(2), Rule 1.10 is inapplicable to a representation
governed by this Rule.
Adopted July 1, 2009, effective January 1, 2010.
RULE 7.1: COMMUNICATIONS CONCERNING A LAWYER’S SERVICES
A lawyer shall not make a false or misleading communication about the lawyer or the lawyer’s
services. A communication is false or misleading if it contains a material misrepresentation of fact
or law, or omits a fact necessary to make the statement considered as a whole not materially
misleading.
Adopted July 1, 2009, effective January 1, 2010.
RULE 7.2: ADVERTISING
(a) Subject to the requirements of Rules 7.1 and 7.3, a lawyer may advertise services through
written, recorded or electronic communication, including public media.
(b) A lawyer shall not give anything of value to a person for recommending the lawyer’s
services except that a lawyer may
(1) pay the reasonable costs of advertisements or communications permitted by this Rule;
(2) pay the usual charges of a legal service plan or a not-for-profit lawyer referral service;
(3) pay for a law practice in accordance with Rule 1.17; and
(4) refer clients to another lawyer or a nonlawyer professional pursuant to an agreement
not otherwise prohibited under these Rules that provides for the other person to refer clients or
customers to the lawyer, if
(i) the reciprocal referral agreement is not exclusive, and
(ii) the client is informed of the existence and nature of the agreement.
(c) Any communication made pursuant to this Rule shall include the name and office address
of at least one lawyer or law firm responsible for its content.
Adopted July 1, 2009, effective January 1, 2010.
RULE 7.3: SOLICITATION OF CLIENTS
(a) A lawyer shall not by in-person, live telephone or real-time electronic contact solicit
professional employment when a significant motive for the lawyer’s doing so is the lawyer’s
pecuniary gain, unless the person contacted:
(1) is a lawyer; or
(2) has a family, close personal, or prior professional relationship with the lawyer.
(b) A lawyer shall not solicit professional employment by written, recorded or electronic
communication or by in-person, telephone or real-time electronic contact even when not otherwise
prohibited by paragraph (a), if:
(1) the target of the solicitation has made known to the lawyer a desire not to be solicited
by the lawyer; or
(2) the solicitation involves coercion, duress or harassment; or
(3) the solicitation seeks representation of the respondent in a case brought under any law
providing for an ex parte protective order for personal protection when the solicitation is made
prior to the respondent having been served with the order.
(c) Every written, recorded or electronic communication from a lawyer soliciting professional
employment from anyone known to be in need of legal services in a particular matter shall
include the words “Advertising Material” on the outside envelope, if any, and at the beginning
and ending of any recorded or electronic communication, unless the recipient of the
communication is a person specified in paragraphs (a)(1) or (a)(2).
(d) Notwithstanding the prohibitions in paragraph (a), a lawyer may participate with a prepaid
or group legal service plan operated by an organization not owned or directed by the lawyer that
uses in-person or telephone contact to solicit memberships or subscriptions for the plan from
persons who are not known to need legal services in a particular matter covered by the plan.
Adopted July 1, 2009, effective January 1, 2010; amended Oct. 15, 2015, eff. Jan. 1, 2016; amended
July 17, 2020, eff. immediately.
RULE 7.4: COMMUNICATION OF FIELDS OF PRACTICE AND SPECIALIZATION
(a) A lawyer may communicate the fact that the lawyer does or does not practice in particular
fields of law.
(b) The Supreme Court of Illinois does not recognize certifications of specialties in the practice
of law, nor does it recognize certifications of expertise in any phase of the practice of law by any
agency, governmental or private, or by any group, organization or association. A lawyer admitted
to engage in patent practice before the United States Patent and Trademark Office may use the
designation “Patent Attorney” or a substantially similar designation.
(c) Except when identifying certificates, awards or recognitions issued to him or her by an
agency or organization, a lawyer may not use the terms “certified,’’ “specialist,’’ “expert,’’ or any
other, similar terms to describe his qualifications as a lawyer or his qualifications in any
subspecialty of the law. If such terms are used to identify any certificates, awards or recognitions
issued by any agency, governmental or private, or by any group, organization or association, the
reference must meet the following requirements:
(1) the reference must be truthful and verifiable and may not be misleading in violation of
Rule 7.1;
(2) the reference must state that the Supreme Court of Illinois does not recognize
certifications of specialties in the practice of law and that the certificate, award or recognition
is not a requirement to practice law in Illinois.
Adopted July 1, 2009, effective January 1, 2010.
RULE 7.5: FIRM NAMES AND LETTERHEADS
(a) A lawyer shall not use a firm name, letterhead or other professional designation that
violates Rule 7.1. A trade name may be used by a lawyer in private practice if it does not imply a
connection with a government agency or with a public or charitable legal services organization
and is not otherwise in violation of Rule 7.1.
(b) A law firm with offices in more than one jurisdiction may use the same name or other
professional designation in each jurisdiction, but identification of the lawyers in an office of the
firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction
where the office is located.
(c) The name of a lawyer holding a public office shall not be used in the name of a law firm,
or in communications on its behalf, during any substantial period in which the lawyer is not
actively and regularly practicing with the firm.
(d) Lawyers may state or imply that they practice in a partnership or other organization only
when that is the fact.
Adopted July 1, 2009, effective January 1, 2010.
RULE 8.1: BAR ADMISSION AND DISCIPLINARY MATTERS
An applicant for admission to the bar, or a lawyer in connection with a bar admission
application or in connection with a disciplinary matter, shall not:
(a) knowingly make a false statement of material fact; or
(b) fail to disclose a fact necessary to correct a misapprehension known by the person to have
arisen in the matter, or knowingly fail to respond to a lawful demand for information from an
admissions or disciplinary authority, except that this Rule does not require disclosure of
information otherwise protected by these Rules or by law.
Adopted July 1, 2009, effective January 1, 2010.
RULE 8.2: JUDICIAL AND LEGAL OFFICIALS
(a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless
disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory
officer or public legal officer, or of a candidate for election or appointment to judicial or legal
office.
(b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions
of the Code of Judicial Conduct.
Adopted July 1, 2009, effective January 1, 2010.
RULE 8.3: REPORTING PROFESSIONAL MISCONDUCT AND TRANSFER TO
DISABILITY INACTIVE STATUS
(a) A lawyer who knows that another lawyer has committed a violation of Rule 8.4(b) or Rule
8.4(c) shall inform the appropriate professional authority.
(b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial
conduct that raises a substantial question as to the judge’s fitness for office shall inform the
appropriate authority.
(c) This Rule does not require disclosure of information otherwise protected by the attorney
client privilege or by law or information gained by a lawyer or judge while participating in an
approved lawyers’ assistance program or an intermediary program approved by a circuit court in
which nondisciplinary complaints against judges or lawyers can be referred.
(d) A lawyer who has been disciplined (including resignation in lieu of discipline or the
equivalent) or transferred to disability inactive status as a result of an action brought before any
body other than the Illinois Attorney Registration and Disciplinary Commission shall report that
fact to the Commission.
Adopted July 1, 2009, effective January 1, 2010; amended Mar. 29, 2024, eff. Apr. 1, 2024.
RULE 8.4: MISCONDUCT
It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce
another to do so, or do so through the acts of another.
(b) commit a criminal act that reflects adversely on the lawyer’s honesty, trustworthiness, or
fitness as a lawyer in other respects.
(c) engage in conduct involving dishonesty, fraud, deceit, or misrepresentation.
(d) engage in conduct that is prejudicial to the administration of justice.
(e) state or imply an ability to influence improperly a government agency or official or to
achieve results by means that violate the Rules of Professional Conduct or other law.
(f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules
of judicial conduct or other law. Nor shall a lawyer give or lend anything of value to a judge,
official, or employee of a tribunal, except those gifts or loans that a judge or a member of the
judge’s family may receive under Canon 3, Rule 3.13, of the Illinois Code of Judicial Conduct of
2023. Permissible campaign contributions to a judge or candidate for judicial office may be made
only by check, draft, or other instrument payable to or to the order of an entity that the lawyer
reasonably believes to be a political committee supporting such judge or candidate. Provision of
volunteer services by a lawyer to a political committee shall not be deemed to violate this
paragraph.
(g) present, participate in presenting, or threaten to present criminal or professional
disciplinary charges to obtain an advantage in a civil matter.
(h) enter into an agreement with a client or former client limiting or purporting to limit the
right of the client or former client to file or pursue any complaint before the Illinois Attorney
Registration and Disciplinary Commission.
(i) avoid in bad faith the repayment of an education loan guaranteed by the Illinois Student
Assistance Commission or other governmental entity. The lawful discharge of an education loan
in a bankruptcy proceeding shall not constitute bad faith under this paragraph, but the discharge
shall not preclude a review of the lawyer’s conduct to determine if it constitutes bad faith.
(j) engage in conduct in the practice of law that the lawyer knows or reasonably should know
is harassment or discrimination on the basis of race, color, ancestry, sex, religion, national origin,
ethnicity, disability, age, sexual orientation, gender identity, gender expression, marital status,
military or veteran status, pregnancy, or socioeconomic status. This paragraph does not limit the
ability of a lawyer to accept, decline, or, in accordance with Rule 1.16, withdraw from a
representation. This paragraph does not preclude or limit the giving of advice, assistance, or
advocacy consistent with these Rules.
(k) if the lawyer holds public office:
(1) use that office to obtain, or attempt to obtain, a special advantage in a legislative matter
for a client under circumstances where the lawyer knows or reasonably should know that such
action is not in the public interest;
(2) use that office to influence, or attempt to influence, a tribunal to act in favor of a client;
or
(3) represent any client, including a municipal corporation or other public body, in the
promotion or defeat of legislative or other proposals pending before the public body of which
such lawyer is a member or by which such lawyer is employed.
Adopted July 1, 2009, effective January 1, 2010; amended May 25, 2022, eff. immediately; amended
Dec. 30, 2022, eff. Jan. 1, 2023; amended May 30, 2024, eff. July 1, 2024.
RULE 8.5: DISCIPLINARY AUTHORITY; CHOICE OF LAW
(a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the
disciplinary authority of this jurisdiction, regardless of where the lawyer’s conduct occurs. A
lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this
jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A
lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction
for the same conduct.
(b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the rules
of professional conduct to be applied shall be as follows:
(1) for conduct in connection with a matter pending before a tribunal, the rules of the
jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and
(2) for any other conduct, the rules of the jurisdiction in which the lawyer’s conduct
occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of
that jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if
the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably
believes the predominant effect of the lawyer’s conduct will occur.
Adopted July 1, 2009, effective January 1, 2010.
We need your consent to load the translations
We use a third-party service to translate the website content that may collect data about your activity. Please review the details in the privacy policy and accept the service to view the translations.