Ethics & Professional Responsibility

“Tea Leaves,” Manu Sankerms (CC-BY-SA 2.0)

The ARDC recently released its 2019 Annual Report. The tale it tells is a familiar one – declines in investigations and prosecutions, the latter down to 44. (For some reason, my search of the ARDC’s website only brings up 42.) The Illinois Supreme Court entered 96 sanctions limiting or removing Illinois lawyers’ right to practice. That number is higher than the complaints filed partly because the cases ARDC files can be litigated for a year or more before reaching the Court, and partly because some matters are filed directly with the
Continue Reading Reading the Tea Leaves: ARDC Annual Report

The Illinois State Bar Association’s Board of Governors approved three new Professional Conduct Advisory Opinions on May 15 during its regularly scheduled Board meeting.

The opinions address the duties of an in-house counsel when confronted with conduct that may be harmful to his or her employer; the prohibition on a lawyer threatening criminal charges to gain an advantage in a civil matter; and the propriety of a firm name of “X and Y” when one of the named lawyers has changed careers and no longer practices law.

Opinion 20-02

Opinion 20-02 relates to the duties of an in-house counsel when
Continue Reading ISBA Board of Governors Approves Three Ethics Opinions

The ISBA has approved an ethics opinion that says recent law school graduates who have not yet taken the bar exam can perform many of the services normally performed by licensed first-year associates as long as they are being properly supervised by a licensed lawyer.

The Illinois Supreme Court earlier this month announced that the Illinois bar exam, originally scheduled for July 28-29, has been rescheduled to September 9-10 due to the ongoing COVID-19 pandemic. ISBA Advisory Opinion No. 20-01, which was approved on May 5, interprets the Illinois Rules of Professional Conduct to allow recent law school graduates to
Continue Reading ISBA Ethics Advisory Opinion Discusses the Types of Legal Services Recent Law School Graduates Awaiting Bar Exam Can Perform Under Supervision of Licensed Lawyer

It’s been a hard and confusing time for so many, in so many ways, that it almost seems like folly to write a blog post sorting out the ethics of the difficulties of practicing law. We’re all trying to survive out here, not really thinking about Rule 3.2. Not even ethics lawyers; your correspondent has been quite honestly grappling with a kind of analysis paralysis, trying to figure out the best way to contribute to the life of a profession on lockdown. For starters, it makes sense to look at the Illinois regulatory environment right now.
Getting a
Continue Reading Catching Up With Where We’re Going

“Closed,” Steve Snodgrass (CC-BY-2.0)

by Jim Doppke

Sometimes when I read about ever-accelerating innovations in legal tech, I come across articles about apps and programs dating from a few years ago. Not every one of them took off, of course, or even got up and running. I recently came across an article about an app that would have connected lawyers to other lawyers. The creators said that they would determine whether the lawyers involved were “being investigated” by the ARDC. I don’t know what ultimately happened to that app, but I know one thing: it could never
Continue Reading Unfounded

The Illinois Attorney Registration and Disciplinary Commission (ARDC) is accepting comments for its “Intermediary Connecting Services Proposal,” which it has submitted to the Illinois Supreme Court.

The proposed Rules are available online. Comments may be emailed to information@iardc.org.

The proposed regulations would address for-profit matching services, market inefficiencies, and the uncertainty in the Rules of Professional Conduct that may discourage lawyers from expanding their advertising capabilities.

“The ARDC’s proposal seeks to:

Amend Rule of Professional Conduct 7.2. Proposed amendments to Rule 7.2 would guide Illinois lawyers in their participation and payments to intermediary connecting services. Lawyers would be
Continue Reading Illinois ARDC Accepting Comments for “Intermediary Connecting Services Proposal”

RSMD’s Jim Doppke addressed first-year law students at Loyola University School of Law on Monday, January 27, 2020, concerning civility in the legal profession — and what it means in the character and fitness process. Jim has represented and advised many applicants to the Illinois Bar, and he was pleased to bring his experience to bear at his alma mater. He looks forward to making a similar presentation to Loyola’s evening and weekend students on Saturday, February 1.
Continue Reading RSMD’s Jim Doppke Addresses Loyola 1Ls on Civility, Character & Fitness

The new year is well underway, and lawyers are already looking ahead, planning and executing and looking to grow. One thing our firm always does at this time of year is look around at the regulatory environment. We analyze what we’ve seen and heard, what our experiences have been, and what data – especially the data representing we know about ARDC’s enforcement efforts over the past year – can tell us.
It can be hard to tell exactly when we know the number of formal disciplinary complaints that the Administrator of the ARDC has filed during a given calendar year.
Continue Reading Closing the Books on 2019?

RSMD’s Jim Doppke will address the Chicago Bar Association Professional Responsibility Committee at 12:00 p.m. on Thursday, January 16. He’ll discuss limited scope representation agreements, which the Illinois Supreme Court formally introduced as part of its 2013 amendment of Rule 13. But what’s the state of the law now? Jim will examine current views on the benefits and pitfalls of limited scope, and he’ll provide thoughts about best limited scope practices for 2020 and beyond.
Continue Reading RSMD’s Jim Doppke at CBA 1/16/20: Limited Scope Agreements

On November 20, Mary Robinson and Sari Montgomery gave presentations to the Chicago Bar Association’s Unauthorized Practice and Multidisciplinary Practice Committee. Sari addressed the rules and pitfalls of cross-border practice, in particular reviewing scenarios involving states bordering Illinois. Mary addressed the operation of law-related businesses, including tax and immigration consulting services, heir finder and genealogical businesses, and foreclosure surplus fund distribution entities.
RSMD’s lawyers are always pleased to give presentations to groups of all sizes, and to help raise awareness of developing professionalism issues. If your organization has a need for an in-depth ethics discussion, please contact the firm to
Continue Reading RSMD Lawyers Discuss UPL at CBA

“Garden Fence,” George Tan
by Jim Doppke
Since my earlier post relating to Rule 5.4 and the several new proposals that call for its modification, a new one has arisen: the October 4, 2019 report of the Arizona Task Force on the Delivery of Legal Services, which suggests (among many other things) that Rule 5.4 be eliminated entirely.

I previously focused on the question of how we have been enforcing the Rule in recent years; the Arizona report, fascinatingly, reaches back to the origins of Rule 5.4 as part of its analysis of whether the Rule should continue to
Continue Reading Protection From What?

The Illinois Judicial Ethics Committee (IJEC), a joint committee of the Illinois State Bar Association, the Chicago Bar Association, and the Illinois Judges Association, has released answers to Frequently Asked Questions (FAQs) as a resource for judges and attorneys seeking election or retention to judicial positions in Illinois.

The resource provides answers to common practical and ethical questions asked by judicial candidates. Recognizing that many candidates may be unfamiliar with the provisions of the Illinois Code of Judicial Conduct and Illinois Election Code that govern judicial elections, the FAQs are designed to help those who plan to run for judicial
Continue Reading Illinois Judicial Ethics Committee Releases FAQs as a Resource for Judicial Candidates

Sari Montgomery was pleased to participate in a panel discussion, “Liar, Liar: Managing Truth and Lies in Law Firms,” at Holland & Knight’s General Counsel Summit on September 27. Also on the panel were CNA’s Tracy Kepler, Holland & Knight’s Colin Smith, and certified forensic analyst Andy Jacobs. The summit, and Sari’s panel, provided practical insights into risk management at firms employing up to 250 lawyers.
Sari also recently moderated a presentation to the Association of Professional Responsibility Lawyers (APRL) on dishonesty in the practice of law. In Illinois, most of the disciplinary complaints that the ARDC files each year
Continue Reading Sari Montgomery a Featured Panelist at Holland & Knight’s General Counsel Summit

“No Admittance,” Eva Critescu (CC-BY-2.0)
by Jim Doppke
A recent blog post by Brian Faughnan concerning potential changes to Tennessee’s disciplinary system highlighted disbarment and reinstatement – what they mean, and whether and how lawyers can return to practice after discipline. Faughnan discusses a proposal to create permanent disbarment in his state, and to lengthen times within which certain lawyers can seek reinstatement. Thankfully, no such proposal appears to be on the horizon here, meaning that even lawyers receiving the ultimate penalty of disbarment can petition to be reinstated after five years have elapsed from the effective date
Continue Reading Reinstatement: Small Change, Still Tough

by Jim Doppke
In my last post, I wrote about In re Karavidas, the ways in which it changed attorney regulation in Illinois, and how it can be seen as the foundation for future reform efforts. The profession – in Illinois and elsewhere – is beginning the discussion of “re-regulation,” and asking how we can change regulation in the future to best meet the needs of an innovating landscape while also protecting the public from ethical violations. I’ll have some viewpoints on that in coming posts; but for now I’d like to focus on the present
Continue Reading My Impression Now: Data on Rule 5.4

“Change,” Ben Chun (CC BY-SA 2.0)
by Jim Doppke
As I prepare to attend the #MAKELAWBETTER conference tomorrow, I reflect on the all the talk of innovation in law – talk we sorely need. The ethics and professional responsibility realm should be, and often is, at the forefront of the discussion. As we ponder changes in methods, we should also ponder changes in norms and standards. The Illinois ethical landscape should change with the changing times, too. We have the fifth-largest active attorney population in the United States, and as Prof. Daniel B. Rodriguez pointed out at
Continue Reading Innovation Foundation

Ethics & Professional Responsibility Blogs