Professional Conduct Rules
Attorney conduct is governed by state Rules of Professional Conduct — based on the ABA Model Rules but varying by state. These rules define what attorneys must do, what they cannot do, and what discipline results when they cross the line. Here we cover the rules most relevant to our investigations.
Competence
New York Rules of Professional Conduct / ABA Model Rules
Rule 1.1 violations occur when attorneys take on matters they lack the knowledge, skill, or preparation to handle. Common violations include: newly admitted attorneys handling complex immigration, lit…
Diligence
New York Rules of Professional Conduct / ABA Model Rules
Rule 1.3 violations occur when attorneys neglect client matters, fail to pursue cases with reasonable promptness, or allow matters to stagnate without adequate reason. Common violations include: attor…
Communication
New York Rules of Professional Conduct / ABA Model Rules
Rule 1.4 violations are among the most commonly reported in every state bar's annual discipline statistics. Attorneys who do not return phone calls, fail to update clients on case status, neglect to t…
Safekeeping Property (Client Funds)
New York Rules of Professional Conduct / ABA Model Rules
Rule 1.15 violations — mishandling client funds — are among the most serious ethics violations in the profession. The rule requires attorneys to maintain client funds in separate IOLTA (Interest on La…
Communications Concerning a Lawyer's Services
New York Rules of Professional Conduct / ABA Model Rules
Rule 7.1 governs attorney advertising and all communications about the attorney's services. Violations include: using AI-generated photographs to misrepresent the attorney's appearance; claiming exper…
Misconduct
New York Rules of Professional Conduct / ABA Model Rules
Rule 8.4 is the profession's general misconduct rule — the catchall that covers conduct not addressed by more specific rules. Subsection (b) reaches criminal conduct that reflects on fitness to practi…
New York Judiciary Law §470 — Physical Office Requirement
New York State
New York Judiciary Law §470 has been interpreted by the New York Court of Appeals to require that any attorney admitted in New York maintain a genuine, physical office for the transaction of law busin…
Declining or Terminating Representation
New York Rules of Professional Conduct / ABA Model Rules
Rule 1.16 governs how attorneys must withdraw from representation when they cannot continue ethically or effectively. Permissive withdrawal is allowed in circumstances including client misconduct, fai…
Candor Toward the Tribunal
New York Rules of Professional Conduct / ABA Model Rules
Rule 3.3 imposes a duty of candor on attorneys toward courts, arbitrators, and other tribunals. Attorneys cannot make false statements of fact or law to a tribunal, cannot cite cases that do not exist…
Reporting Professional Misconduct
New York Rules of Professional Conduct / ABA Model Rules
Rule 8.3 — sometimes called the 'snitch rule' — imposes a duty on attorneys to report serious misconduct by other attorneys to the appropriate disciplinary authority. The duty applies when the attorne…
Has Your Attorney Violated One of These Rules?
The Ethics Reporter investigates attorney misconduct and helps clients understand their rights. If you believe your attorney violated professional conduct rules, we can help.