Ethical Compliance for Attorneys: Safeguarding Your Law License

Steve Herman | Fishman Haygood LLP

Steve Herman is a past president of the Louisiana Association for Justice, a fellow of the International Academy of Trial Lawyers, a member of the American Law Institute, a former president of the National Civil Justice Institute, and the Immediate Past President of the New Orleans Bar Association. The author of America and the Law: Challenges for the 21st Century, Mr. Herman teaches an advanced torts seminar on class actions at Loyola Law School and an advanced civil procedure course in complex litigation at Tulane. Mr. Herman served for six years as a Lawyer Chair for one of the Louisiana Attorney Disciplinary Board Hearing Committees and currently serves on the Louisiana State Bar Association Rules of Professional Conduct Committee. He was, among other things, one of two Court-appointed Lead Counsel for Plaintiffs in the BP Oil Spill / Deepwater Horizon Litigation.

I. General comments regarding: Disciplinary rules and proceedings | 1:00pm – 1:15pm

II. Model rule 1.15 – safekeeping property | 1:15pm – 1:30pm

• Managing client funds and trust accounts
• Common violations and how to avoid them
• Maintenance of the file

III. Model rule 1.4 – communication | 1:30pm – 1:45pm

• Failing to keep clients informed or respond to inquiries
• Documenting communication and managing expectations
• How poor communication becomes an ethical issue

IV. Model rules 3.3, 3.4, 4.1, & 8.4(c) – truthfulness and misconduct | 1:45pm – 2:00pm

• False statements to clients, courts, and third parties
• The line between zealous advocacy and ethical violations
• Real examples of sanctions for dishonesty

Break | 2:00pm – 2:10pm

V. Model rule 1.16 – declining or terminating representation | 2:10pm – 2:25pm

• Improper withdrawal, abandonment, and unfinished business
• Steps to protect clients and yourself when ending representation
• Handling termination in high-conflict situations

VI. Model rule 1.5 – fees | 2:25pm – 2:40pm

• Written fee agreements and billing transparency
• Resolving disputes without triggering complaints

VII. Model rules 7.1-7.5 – communications about legal services | 2:40pm – 2:55pm

• Avoiding misleading claims and improper testimonials
• Using the term “specialist” and promoting credentials
• Ethics of social media and targeted advertising

VIII. Model rule 8.1 – bar admission and disciplinary matters | 2:55pm – 3:10pm

• Failing to respond to inquiries from disciplinary authorities
• When to self-report and how to handle allegations
• Why silence makes everything worse