Self-Dealing, Conflicts of Interest, and the Model Rules: What Attorneys Need to Know

Cynthia R. Mullins | Baldwin Rise

Cynthia R. Mullins is an experienced business law, human resources, higher education professional and public arbitrator. She is CEO & Founder of Baldwin Rise, a firm dedicated to holistic and human centered learning and development. She is an international legal counsel and chief human resources officer for a management consultancy and leads human resources and compliance webinars to national audiences.

Cynthia is a management adjunct faculty member at the University of Bridgeport and La Salle University. She is guest faculty lecturer and coach for Women in Leadership programs at Antioch University. Also, she conducts leadership training for the Department of Justice – Bureau of Prisons and provides advisory and coaching services to organizations that empower women working in sports.

Cynthia holds a J.D. from University of Connecticut School of Law; M.S. in business ethics and compliance from Cambridge College; B.A. in political science from University of Connecticut; certified human resources professional designation from SHRM; coaching certificate from Columbia University; human resource management certificate from Duke University; and negotiation mastery certification from Harvard Business School.

I. Understanding attorney self-dealing | 1:00pm – 1:20pm

• Definition and key examples of self-dealing as an ethics violation
• How self-dealing undermines fiduciary duties and client trust
• The evolution of legal ethics: From simple documentation to complex fiduciary obligations

II. Conflicts of interest and the Model Rules | 1:20pm – 1:40pm

• Model Rule 1.7 and how it governs conflicts of interest
• Recognizing personal interest conflicts and their ethical implications
• Best practices for identifying conflicts during client intake and matter evaluation
• Ethical strategies for declining representation when conflicts arise

III. Core ethics rules related to self-dealing | 1:40pm – 2:00pm

• Key provisions in the Model Rules
• Model Rule 1.8(a): Business transactions with clients – permissible scenarios and safeguards
• Model Rule 1.8(b): Prohibition on misuse of client information

Break | 2:00pm – 2:10pm

IV. Navigating jurisdictional variations | 2:10pm – 2:30pm

• How different states adopt, modify, or enforce the Model Rules
• Implications for attorneys practicing in multiple jurisdictions
• Examples of variation in conflict and self-dealing enforcement

V. Consequences of self-dealing violations | 2:30pm – 2:50pm

• Disciplinary actions: Suspension, disbarment, and criminal penalties
• Potential for civil liability due to breach of fiduciary duty
• Reputational damage and its impact on long-term career prospects

VI. Addressing and reporting ethical violations | 2:50pm – 3:10pm

• Attorneys’ duty to report misconduct under Model Rule 8.3
• Practical steps for reporting self-dealing and ensuring ethical whistleblowing
• Building internal safeguards to prevent self-dealing within firms
• Fostering a culture of compliance through training and accountability measures