Show Me Your License and Registration: Reasons to be Concerned About In-House Bar Admissions
Greater New York Chapter of Association of Corporate Counsel’s Annual Ethics CLE Program
The document discusses California statutes regarding the unauthorized practice of law (UPL). It notes that the Rules of Professional Conduct prohibit aiding anyone in UPL and practicing law in a jurisdiction where it is prohibited. The Business and Professions Code states that only active members of the State Bar can practice law in California, and outlines penalties for practicing without authorization, such as suspension or disbarment. The statutes also govern the work of paralegals, legal document assistants, and define UPL as using legal knowledge to advise or represent others without proper credentials. Violations of these statutes constitute a misdemeanor.
Informality and formality in administrative lawtaratoot
This document discusses the differences between formal and informal procedures in administrative law. It begins by introducing formal procedures like adjudication and rulemaking, which resemble court procedures. However, it notes most administrative decisions are made informally. It then distinguishes formal procedures, which are more legalistic and constrained, from informal ones where administrators have more discretion. Examples of informal procedures include advisory opinions and memoranda. The document discusses how formal procedures are generally required for adjudication, while rulemaking can be informal. It analyzes several Supreme Court cases that address these issues.
This document provides an overview of administrative rulemaking procedures in the United States. It begins by defining what constitutes a rule and the different types of rules. It then describes the key rulemaking procedures established by the Administrative Procedure Act (APA), including informal notice-and-comment rulemaking, formal rulemaking, and hybrid rulemaking. The document outlines the steps involved in both informal and formal rulemaking and discusses key Supreme Court cases that have shaped administrative rulemaking, such as Vermont Yankee Nuclear Power Corp. v. Natural Resources Defense Council. It concludes by covering negotiated rulemaking as an alternative procedure to notice-and-comment rulemaking established by the Negotiated Rulemaking Act of 1990.
This document discusses elements of an administrative hearing. It begins by noting that administrative adjudication is subject to due process requirements under the 5th and 14th Amendments regarding liberty and property rights. It then distinguishes rulemaking from adjudication, noting that due process is not required for rulemaking but may be for actions affecting individuals. The rest of the document outlines the adjudication process, including notice requirements, filing an answer, pre-hearing conferences to simplify issues, and administrative hearings presided over by independent administrative law judges.
This document discusses procedural fairness in the context of administrative law. It covers several key topics:
1) Sources of procedural fairness obligations, including the Charter, Canadian Bill of Rights, common law, and statutes.
2) Key Supreme Court of Canada cases that have shaped the modern understanding of procedural fairness, including Nicholson, Baker, and Knight.
3) Factors considered in determining whether and to what extent procedural fairness applies in a given case, such as the nature of the decision, statutory context, and importance to individuals affected.
4) Examples of specific procedural protections, such as the right to a hearing, right to provide oral submissions, and right to respond to allegations.
letter was sent as objection for non inclusion of advocates as judicial member of copyright Board, The implementation of new Copyright rules the recommendation suggested by Sanjeev chaswal advocate has been accepted by the Ministry of HRD for inclusion of advocates as Judicoial member of the Copyright board
Judicial remedies are means by which a court enforces rights and imposes penalties. There are two main types of judicial remedies available in Uganda:
1. Prerogative orders (mandamus, prohibition, certiorari) which address improper exercises of power by public authorities. They compel authorities to fulfill duties, prevent unlawful actions, or nullify unlawful decisions.
2. Ordinary orders which include injunctions to stop unlawful acts, declaratory judgments to clarify legal positions, damages in limited cases, habeas corpus to remedy illegal detention, and judicial review which allows courts to review the legality of decisions based on grounds like illegality, irrationality, and procedural impropriety. Judicial review ensures public authorities follow
This document discusses two aspects of information in administrative law: agencies' ability to gather information and citizens' ability to access information held by government agencies. It covers topics like investigations, compelled testimony, sunshine laws, freedom of information statutes, privacy issues, and exemptions. The goal is to empower agencies while also providing checks on government through transparency requirements.
The document discusses California statutes regarding the unauthorized practice of law (UPL). It notes that the Rules of Professional Conduct prohibit aiding anyone in UPL and practicing law in a jurisdiction where it is prohibited. The Business and Professions Code states that only active members of the State Bar can practice law in California, and outlines penalties for practicing without authorization, such as suspension or disbarment. The statutes also govern the work of paralegals, legal document assistants, and define UPL as using legal knowledge to advise or represent others without proper credentials. Violations of these statutes constitute a misdemeanor.
Informality and formality in administrative lawtaratoot
This document discusses the differences between formal and informal procedures in administrative law. It begins by introducing formal procedures like adjudication and rulemaking, which resemble court procedures. However, it notes most administrative decisions are made informally. It then distinguishes formal procedures, which are more legalistic and constrained, from informal ones where administrators have more discretion. Examples of informal procedures include advisory opinions and memoranda. The document discusses how formal procedures are generally required for adjudication, while rulemaking can be informal. It analyzes several Supreme Court cases that address these issues.
This document provides an overview of administrative rulemaking procedures in the United States. It begins by defining what constitutes a rule and the different types of rules. It then describes the key rulemaking procedures established by the Administrative Procedure Act (APA), including informal notice-and-comment rulemaking, formal rulemaking, and hybrid rulemaking. The document outlines the steps involved in both informal and formal rulemaking and discusses key Supreme Court cases that have shaped administrative rulemaking, such as Vermont Yankee Nuclear Power Corp. v. Natural Resources Defense Council. It concludes by covering negotiated rulemaking as an alternative procedure to notice-and-comment rulemaking established by the Negotiated Rulemaking Act of 1990.
This document discusses elements of an administrative hearing. It begins by noting that administrative adjudication is subject to due process requirements under the 5th and 14th Amendments regarding liberty and property rights. It then distinguishes rulemaking from adjudication, noting that due process is not required for rulemaking but may be for actions affecting individuals. The rest of the document outlines the adjudication process, including notice requirements, filing an answer, pre-hearing conferences to simplify issues, and administrative hearings presided over by independent administrative law judges.
This document discusses procedural fairness in the context of administrative law. It covers several key topics:
1) Sources of procedural fairness obligations, including the Charter, Canadian Bill of Rights, common law, and statutes.
2) Key Supreme Court of Canada cases that have shaped the modern understanding of procedural fairness, including Nicholson, Baker, and Knight.
3) Factors considered in determining whether and to what extent procedural fairness applies in a given case, such as the nature of the decision, statutory context, and importance to individuals affected.
4) Examples of specific procedural protections, such as the right to a hearing, right to provide oral submissions, and right to respond to allegations.
letter was sent as objection for non inclusion of advocates as judicial member of copyright Board, The implementation of new Copyright rules the recommendation suggested by Sanjeev chaswal advocate has been accepted by the Ministry of HRD for inclusion of advocates as Judicoial member of the Copyright board
Judicial remedies are means by which a court enforces rights and imposes penalties. There are two main types of judicial remedies available in Uganda:
1. Prerogative orders (mandamus, prohibition, certiorari) which address improper exercises of power by public authorities. They compel authorities to fulfill duties, prevent unlawful actions, or nullify unlawful decisions.
2. Ordinary orders which include injunctions to stop unlawful acts, declaratory judgments to clarify legal positions, damages in limited cases, habeas corpus to remedy illegal detention, and judicial review which allows courts to review the legality of decisions based on grounds like illegality, irrationality, and procedural impropriety. Judicial review ensures public authorities follow
This document discusses two aspects of information in administrative law: agencies' ability to gather information and citizens' ability to access information held by government agencies. It covers topics like investigations, compelled testimony, sunshine laws, freedom of information statutes, privacy issues, and exemptions. The goal is to empower agencies while also providing checks on government through transparency requirements.
Judicial review is a process that allows courts to review administrative decisions and determine their legality. It differs from an appeal, which considers the merits of the decision rather than just its legality. There are three main grounds for judicial review: illegality, irrationality, and procedural impropriety. The procedure for judicial review involves applying for leave from the High Court and then a full hearing if leave is granted. If successful, remedies include prerogative orders like mandamus, prohibition, and certiorari that compel or prevent actions or quash decisions.
LDPs are legal document preparers who are certified by state courts or bar associations to assist self-represented litigants by preparing legal documents without attorney supervision. To become certified in Arizona requires passing a test, paying fees, submitting to a background check, and being approved by the state Supreme Court's Certification and Licensing Board of Directors. Once certified, LDPs must include their certification number on all documents and cannot provide legal advice, though they can explain how to fill out forms. LDPs must complete 10 hours of continuing legal education annually, including 1 hour of ethics. Violations of the rules can result in discipline like suspension or revocation of certification.
The document discusses principles of natural justice that must be followed in disciplinary proceedings against government employees in India according to the country's constitution. It outlines that employees have the right to reasonable opportunity as defined by case law, including knowing the charges against them, accessing documents, cross-examining witnesses, and presenting a defense. The principles of natural justice that must be followed are the rights to an unbiased hearing and judge, and for justice to manifestly appear to have been done. Speaking orders are also required.
This document discusses the statutory authority that agencies derive from legislation passed by Congress. It explains that agencies must act within the specific grants of authority given by statutes and that exceeding this scope of authority is considered ultra vires. Statutes may give single agencies authority or multiple agencies authority over different aspects of the same law. Statutes often use vague language, giving agencies significant discretion in interpretation, which can be influenced by both technical and political factors. Court cases set precedent on reviewing agency actions and interpretations to ensure they do not exceed statutory authority.
Canons of Judicial Conduct: Virginia CommonwealthChuck Thompson
Learn how to get any judge removed from any case. Read this to see if the judge has made any violations in your case. Chances are very high they have. http://www.gloucestercounty-va.com Visit us for real solutions to today's issues.
Judicial review refers to the process by which courts exercise control over the findings and interpretations of governmental agencies. It is not explicitly mentioned in the Constitution but was established in Marbury v. Madison. Judicial review allows courts to determine the meaning of legislation and invalidate unconstitutional statutes. It provides guidance to agencies and acts as a check on administrative overreach. There are two major aspects - access to review, governed by concepts like ripeness, standing, and mootness, and the scope of review, regarding how much deference courts give to agency actions.
2015 Fall Conference: Public Meeting, Admin and HR-Brickisoswo
This document provides a summary of common meeting and employment issues under Iowa law. It discusses requirements for open meetings, including what constitutes a meeting, notice requirements, and procedures for electronic meetings and closed sessions. It also addresses issues related to public sector employment such as conducting background checks, using criminal histories in hiring decisions, performance evaluations, discipline, and termination. The document advises thorough documentation to support all personnel decisions.
The document discusses the rule against bias in administrative decision making. It defines bias as a preconceived opinion or predisposition that prevents impartial judgment of a case based solely on evidence. The rule aims to ensure decisions are made impartially and seen to be made impartially. Several types of potential bias are outlined, including personal, pecuniary, subject matter, and preconceived notion biases. Exceptions to the rule like the doctrine of necessity are also discussed. Overall, the document provides an in-depth overview of the rule against bias in administrative law.
This document discusses licensing in administrative law. It begins by defining licenses as permits that allow certain regulated activities. It then provides examples of many common licenses issued by the government, from drivers' licenses to broadcast licenses. The main purposes of licensing are to control public resources, allocate limited resources fairly, ensure competence in complex/dangerous fields, and maintain public order. Licensing procedures can vary depending on the license, with denial/revocation typically requiring formal adjudication under the APA. The document concludes by summarizing several relevant court cases related to licensing.
The document discusses the meaning and scope of professional misconduct by advocates in India. It begins by stating that advocacy is a noble profession that must be regulated. Professional misconduct refers to unacceptable or dishonorable conduct by an advocate. The Advocates Act of 1961 describes provisions for punishing professional and other misconduct. The State Bar Council has powers to investigate complaints and refer cases to disciplinary committees, which can reprimand, suspend, or remove advocates from the roll. The document then discusses the code of conduct and duties prescribed for advocates, as well as examples of professional misconduct. It outlines the constitution and powers of disciplinary committees to conduct hearings and issue punishments.
Mandatory Continuing Legal Education (MCLE) requires all members of the bar to complete at least 36 hours of continuing education every 3 years. The MCLE Commission is composed of 5 members including a retired Supreme Court justice and nominees from the Integrated Bar of the Philippines, the Philippine Judicial Academy, and law schools. Many government officials and legal professionals are exempted from MCLE such as senators, judges, prosecutors, and law professors. The Code of Judicial Conduct provides guidelines for judges' independence, integrity, impartiality, and competence. It aims to ensure public trust in the judiciary.
This document discusses enforcement of administrative policy through various mechanisms and sanctions. It outlines factors that affect regulatory compliance, such as the clarity of rules and assigned responsibilities. It then describes the nature of administrative sanctions, including license suspension/revocation, fines, cease and desist orders, criminal prosecution, economic sanctions like liens, and civil suits. The document provides examples of how different agencies utilize these sanctions and enforcement methods to encourage compliance with administrative regulations.
What is Judicial Review Sprott Lab Rels June 16 2012lgarib
Judicial review allows courts to review administrative decisions like arbitration awards to ensure they were made correctly according to the proper legal process and standards. The court examines the entire decision making process but does not redecide the case merits. Grounds for judicial review include procedural errors, errors of fact or law, and decisions found to be unreasonable. Remedies can include quashing the decision or remitting it back for a rehearing.
The document discusses theories of adjudication, specifically examining two approaches: the descriptive dimension which looks at how judges actually decide cases, and the normative dimension which focuses on how judges ought to decide cases. It covers American legal realists like Oliver Wendell Holmes who argued that law is defined by what courts actually do rather than theories or principles. Realists believe judges are influenced by numerous factors beyond just legal rules. The document also discusses legal scholars like Llewellyn, Frank, and Cardozo and their views on judicial discretion, precedent, and a judge's role in lawmaking.
Judicial review a power point presentation (1)awasalam
This document provides an overview of writs and judicial review in Sri Lanka. It begins by defining writs as forms of command issued by courts, and lists the main prerogative writs: certiorari, prohibition, mandamus, quo warranto, and habeas corpus. It then discusses the nature and historical development of these prerogative remedies. The document outlines key cases related to writ jurisdiction and judicial review in Sri Lanka. It concludes by explaining the common grounds for judicial review via writ of certiorari: lack of jurisdiction, violating natural justice, errors on the face of the record, and unreasonableness.
The document summarizes the legal profession act of Malaysia which governs the admission to and regulation of the legal profession. It outlines the three stages for entry including qualifications, being called to the bar, and obtaining a practicing certificate. It also describes the requirements and process for qualified persons and articled clerks to enter the profession. The document then discusses the disciplinary process and penalties for advocates and solicitors who violate professional standards.
Agency discretion refers to the power of administrative agencies to make choices among different policy options when applying laws to individual cases. Some level of discretion is necessary because laws may not address every situation. Safeguards against abuse of discretion include constitutional protections, statutes that define an agency's mission, and political and judicial oversight. Courts generally uphold an agency's discretion but will intervene if the agency's actions are deemed arbitrary, capricious or an abuse of power based on the circumstances of the case.
This document provides an overview of administrative law regarding public employment. It discusses the constitutional protections that apply to public employees, including protections under the 1st, 4th, and 14th Amendments. It outlines the development of due process protections for public employees through key Supreme Court cases like Board of Regents v. Roth and Cleveland Board of Education v. Loudermill. It also discusses other legal protections for public employees, such as protections for political expression, privacy, and against discrimination.
The document discusses arbitration in Korea. It provides details on the Korea Arbitration Act, which governs both domestic and international arbitrations in Korea and is based on the UNCITRAL Model Law. It also discusses the Korean Commercial Arbitration Board (KCAB), the main arbitral institution in Korea. Recent developments include plans to establish the Seoul International Dispute Resolution Center and Korea's first major investor-state arbitration case. Korean courts generally provide strong support for arbitration and enforcement of foreign arbitral awards.
Single Asset Real Estate Cases (Series: Ethical Issues in Real Estate-Based B...Financial Poise
Anyone involved in the field of creditors rights on a matter involving an LLC that exists solely to hold the principal asset has surely seen the play where, the night before property is scheduled to be sold at a foreclosure auction, the debtor files bankruptcy. For those not familiar with the process, doing so invokes the “Automatic Stay”, which prohibits the secured lender from foreclosing on the property. The debtor then attempts to make their case to the court for reorganization. But is failing to pay your mortgage really something bankruptcy was meant to solve? If the bank was going to agree to a loan modification, wouldn’t the parities have worked something out by the time the sheriff sale was set? The bankruptcy code recognizes this and therefore has a section devoted to dealing with this specific kind of bankruptcy—the Single Asset Real Estate (“SARE”) case. The goal of this episode is to look into ethical issues surrounding these matters.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/single-asset-real-estate-cases-2020/
The document discusses the Code of Responsibility for lawyers in the Philippines. It provides definitions for key concepts like "good moral character" and outlines the code's 22 canons. It also describes how lawyers can be disciplined or disbarred for violating the code through lack of good moral character or negligence in handling client's cases. Specifically, it summarizes a case where a lawyer was suspended for 1 year for negligence that led to the dismissal of a client's petition before the Supreme Court and failing to inform clients of the dismissal for 3 years.
Judicial review is a process that allows courts to review administrative decisions and determine their legality. It differs from an appeal, which considers the merits of the decision rather than just its legality. There are three main grounds for judicial review: illegality, irrationality, and procedural impropriety. The procedure for judicial review involves applying for leave from the High Court and then a full hearing if leave is granted. If successful, remedies include prerogative orders like mandamus, prohibition, and certiorari that compel or prevent actions or quash decisions.
LDPs are legal document preparers who are certified by state courts or bar associations to assist self-represented litigants by preparing legal documents without attorney supervision. To become certified in Arizona requires passing a test, paying fees, submitting to a background check, and being approved by the state Supreme Court's Certification and Licensing Board of Directors. Once certified, LDPs must include their certification number on all documents and cannot provide legal advice, though they can explain how to fill out forms. LDPs must complete 10 hours of continuing legal education annually, including 1 hour of ethics. Violations of the rules can result in discipline like suspension or revocation of certification.
The document discusses principles of natural justice that must be followed in disciplinary proceedings against government employees in India according to the country's constitution. It outlines that employees have the right to reasonable opportunity as defined by case law, including knowing the charges against them, accessing documents, cross-examining witnesses, and presenting a defense. The principles of natural justice that must be followed are the rights to an unbiased hearing and judge, and for justice to manifestly appear to have been done. Speaking orders are also required.
This document discusses the statutory authority that agencies derive from legislation passed by Congress. It explains that agencies must act within the specific grants of authority given by statutes and that exceeding this scope of authority is considered ultra vires. Statutes may give single agencies authority or multiple agencies authority over different aspects of the same law. Statutes often use vague language, giving agencies significant discretion in interpretation, which can be influenced by both technical and political factors. Court cases set precedent on reviewing agency actions and interpretations to ensure they do not exceed statutory authority.
Canons of Judicial Conduct: Virginia CommonwealthChuck Thompson
Learn how to get any judge removed from any case. Read this to see if the judge has made any violations in your case. Chances are very high they have. http://www.gloucestercounty-va.com Visit us for real solutions to today's issues.
Judicial review refers to the process by which courts exercise control over the findings and interpretations of governmental agencies. It is not explicitly mentioned in the Constitution but was established in Marbury v. Madison. Judicial review allows courts to determine the meaning of legislation and invalidate unconstitutional statutes. It provides guidance to agencies and acts as a check on administrative overreach. There are two major aspects - access to review, governed by concepts like ripeness, standing, and mootness, and the scope of review, regarding how much deference courts give to agency actions.
2015 Fall Conference: Public Meeting, Admin and HR-Brickisoswo
This document provides a summary of common meeting and employment issues under Iowa law. It discusses requirements for open meetings, including what constitutes a meeting, notice requirements, and procedures for electronic meetings and closed sessions. It also addresses issues related to public sector employment such as conducting background checks, using criminal histories in hiring decisions, performance evaluations, discipline, and termination. The document advises thorough documentation to support all personnel decisions.
The document discusses the rule against bias in administrative decision making. It defines bias as a preconceived opinion or predisposition that prevents impartial judgment of a case based solely on evidence. The rule aims to ensure decisions are made impartially and seen to be made impartially. Several types of potential bias are outlined, including personal, pecuniary, subject matter, and preconceived notion biases. Exceptions to the rule like the doctrine of necessity are also discussed. Overall, the document provides an in-depth overview of the rule against bias in administrative law.
This document discusses licensing in administrative law. It begins by defining licenses as permits that allow certain regulated activities. It then provides examples of many common licenses issued by the government, from drivers' licenses to broadcast licenses. The main purposes of licensing are to control public resources, allocate limited resources fairly, ensure competence in complex/dangerous fields, and maintain public order. Licensing procedures can vary depending on the license, with denial/revocation typically requiring formal adjudication under the APA. The document concludes by summarizing several relevant court cases related to licensing.
The document discusses the meaning and scope of professional misconduct by advocates in India. It begins by stating that advocacy is a noble profession that must be regulated. Professional misconduct refers to unacceptable or dishonorable conduct by an advocate. The Advocates Act of 1961 describes provisions for punishing professional and other misconduct. The State Bar Council has powers to investigate complaints and refer cases to disciplinary committees, which can reprimand, suspend, or remove advocates from the roll. The document then discusses the code of conduct and duties prescribed for advocates, as well as examples of professional misconduct. It outlines the constitution and powers of disciplinary committees to conduct hearings and issue punishments.
Mandatory Continuing Legal Education (MCLE) requires all members of the bar to complete at least 36 hours of continuing education every 3 years. The MCLE Commission is composed of 5 members including a retired Supreme Court justice and nominees from the Integrated Bar of the Philippines, the Philippine Judicial Academy, and law schools. Many government officials and legal professionals are exempted from MCLE such as senators, judges, prosecutors, and law professors. The Code of Judicial Conduct provides guidelines for judges' independence, integrity, impartiality, and competence. It aims to ensure public trust in the judiciary.
This document discusses enforcement of administrative policy through various mechanisms and sanctions. It outlines factors that affect regulatory compliance, such as the clarity of rules and assigned responsibilities. It then describes the nature of administrative sanctions, including license suspension/revocation, fines, cease and desist orders, criminal prosecution, economic sanctions like liens, and civil suits. The document provides examples of how different agencies utilize these sanctions and enforcement methods to encourage compliance with administrative regulations.
What is Judicial Review Sprott Lab Rels June 16 2012lgarib
Judicial review allows courts to review administrative decisions like arbitration awards to ensure they were made correctly according to the proper legal process and standards. The court examines the entire decision making process but does not redecide the case merits. Grounds for judicial review include procedural errors, errors of fact or law, and decisions found to be unreasonable. Remedies can include quashing the decision or remitting it back for a rehearing.
The document discusses theories of adjudication, specifically examining two approaches: the descriptive dimension which looks at how judges actually decide cases, and the normative dimension which focuses on how judges ought to decide cases. It covers American legal realists like Oliver Wendell Holmes who argued that law is defined by what courts actually do rather than theories or principles. Realists believe judges are influenced by numerous factors beyond just legal rules. The document also discusses legal scholars like Llewellyn, Frank, and Cardozo and their views on judicial discretion, precedent, and a judge's role in lawmaking.
Judicial review a power point presentation (1)awasalam
This document provides an overview of writs and judicial review in Sri Lanka. It begins by defining writs as forms of command issued by courts, and lists the main prerogative writs: certiorari, prohibition, mandamus, quo warranto, and habeas corpus. It then discusses the nature and historical development of these prerogative remedies. The document outlines key cases related to writ jurisdiction and judicial review in Sri Lanka. It concludes by explaining the common grounds for judicial review via writ of certiorari: lack of jurisdiction, violating natural justice, errors on the face of the record, and unreasonableness.
The document summarizes the legal profession act of Malaysia which governs the admission to and regulation of the legal profession. It outlines the three stages for entry including qualifications, being called to the bar, and obtaining a practicing certificate. It also describes the requirements and process for qualified persons and articled clerks to enter the profession. The document then discusses the disciplinary process and penalties for advocates and solicitors who violate professional standards.
Agency discretion refers to the power of administrative agencies to make choices among different policy options when applying laws to individual cases. Some level of discretion is necessary because laws may not address every situation. Safeguards against abuse of discretion include constitutional protections, statutes that define an agency's mission, and political and judicial oversight. Courts generally uphold an agency's discretion but will intervene if the agency's actions are deemed arbitrary, capricious or an abuse of power based on the circumstances of the case.
This document provides an overview of administrative law regarding public employment. It discusses the constitutional protections that apply to public employees, including protections under the 1st, 4th, and 14th Amendments. It outlines the development of due process protections for public employees through key Supreme Court cases like Board of Regents v. Roth and Cleveland Board of Education v. Loudermill. It also discusses other legal protections for public employees, such as protections for political expression, privacy, and against discrimination.
The document discusses arbitration in Korea. It provides details on the Korea Arbitration Act, which governs both domestic and international arbitrations in Korea and is based on the UNCITRAL Model Law. It also discusses the Korean Commercial Arbitration Board (KCAB), the main arbitral institution in Korea. Recent developments include plans to establish the Seoul International Dispute Resolution Center and Korea's first major investor-state arbitration case. Korean courts generally provide strong support for arbitration and enforcement of foreign arbitral awards.
Single Asset Real Estate Cases (Series: Ethical Issues in Real Estate-Based B...Financial Poise
Anyone involved in the field of creditors rights on a matter involving an LLC that exists solely to hold the principal asset has surely seen the play where, the night before property is scheduled to be sold at a foreclosure auction, the debtor files bankruptcy. For those not familiar with the process, doing so invokes the “Automatic Stay”, which prohibits the secured lender from foreclosing on the property. The debtor then attempts to make their case to the court for reorganization. But is failing to pay your mortgage really something bankruptcy was meant to solve? If the bank was going to agree to a loan modification, wouldn’t the parities have worked something out by the time the sheriff sale was set? The bankruptcy code recognizes this and therefore has a section devoted to dealing with this specific kind of bankruptcy—the Single Asset Real Estate (“SARE”) case. The goal of this episode is to look into ethical issues surrounding these matters.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/single-asset-real-estate-cases-2020/
The document discusses the Code of Responsibility for lawyers in the Philippines. It provides definitions for key concepts like "good moral character" and outlines the code's 22 canons. It also describes how lawyers can be disciplined or disbarred for violating the code through lack of good moral character or negligence in handling client's cases. Specifically, it summarizes a case where a lawyer was suspended for 1 year for negligence that led to the dismissal of a client's petition before the Supreme Court and failing to inform clients of the dismissal for 3 years.
The document discusses the ethical and liability risks for lawyers who do not use computer-assisted legal research (CALR) technology such as Westlaw and LexisNexis. While there is no direct rule requiring the use of CALR, the standard of competent legal practice implies that lawyers must use tools that allow for thorough, efficient research. Failure to research issues adequately could lead to ethics violations, malpractice claims, or sanctions. As CALR has become ubiquitous and courts increasingly rely on it, not using these tools risks a lawyer failing to meet the standard of competent legal representation according to evolving practices.
Valuing Real Estate Assets (Series: Ethical Issues in Real Estate-Based Bankr...Financial Poise
As the expression goes, the value of real estate is in the eye of the beholder. Ultimately, the value is whatever the market is willing to pay. While income producing properties, particularly with credit worthy tenants, may be fairly routine to value based on current rate of return demands in the market, non-income producing properties may be more speculative. For example, even the most seasoned appraiser may struggle with finding comparative sales for a property. A landowner might see their property value go up exponentially “if only” the city council will allow for a zoning variance. Many an owner believes their property is in the “path of progress”, but when? Is it reasonable to value a property “as stabilized” if it is only forty percent leased? These are the types of questions we will consider.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/valuing-real-estate-assets-2020/
Hot Off the Presses: Recent Cases & Decisions (Series: Legal Ethics - Best Pr...Financial Poise
This webinar is for the lawyer -or anyone else- who wants to brush up on the latest issues and strategies to be aware of regarding legal ethics and best practices. The panelists discuss recent and important case law in the area and explain how those decisions can have real-world impact on the situations you may be involved in. Among others, the panel will address the following Model Rules of Professional Conduct: Rule 1.7-Conflict of Interest: Current Clients; Rule 1.8-Conflict of Interest: Current Clients: Specific Rules; Rule 3.8 - Special Responsibilities of a Prosecutor; and Rule 4.4(a) Respect for Rights of Third Persons.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/recent-cases-decisions-2021/
Kegler Brown's annual seminar on professional responsibility was presented on Friday, October 18, 2019 at the Columbus Bar Association (CBA). This year's seminar featured guest speaker, Kent Markus, who is a part of the Bar and General Counsel at the CBA, showcased an overview of the disciplinary system featuring an in-depth flowchart along with practical tips and best practices.
A panel discussion Q+A about topics ranging from advisory opinions, recent ethics developments, identifying issues, and the duty to report, were all covered by Kegler Brown litigators Jane Gleaves and Jason Beehler.
Moderator, Chris Weber discussed ways to navigate Ohio's Advocate-Witness rule, and his personal recommendations for best practices.
Mooting involves simulating a court hearing where participants research and argue legal issues. The procedure imitates real courts with oral arguments presented to a judge. Mooting enhances advocacy, legal research, and writing skills and allows students to demonstrate these abilities to potential employers. It can be challenging but rewarding. Some tips for mooting include engaging with the judge, asking for clarification of questions, applying legal principles to facts, being familiar with referenced materials, and managing time based on judicial intervention.
This document outlines 10 unique ethical issues facing in-house counsel. It discusses issues such as ensuring compensation complies with rules prohibiting business transactions with clients without proper disclosures and consent. It also addresses maintaining independent professional judgment, licensing requirements, developing competence in diverse legal topics, avoiding unauthorized practice of law, identifying the client, separating legal and business advice, privilege considerations, obligations to report legal and ethical violations up the corporate ladder, and resources for further guidance.
Insider Lease Agreements (Series: Ethical Issues in Real Estate-Based Bankrup...Financial Poise
It is a common play in real estate to create a separate operating entity to serve as a tenant and execute a lease between the owner of the property and himself. Typically, this happens in assets which serve as a real estate-based business, such as a retail property. The structure enables the operator to reduce the taxable income of the business and also provide a liability shield for the property owner. This arrangement can lead to some ethical issues should the property owner become distressed. For example, is the lease amount above market and therefore being used to inflate the property valuation? Is rent actually being paid? Is there a proper lease in place or just an internal handshake? Attorneys need to understand the set-up in order to know what is in bounds and what is outside the lines. This webinar looks at this leasing structure and examines the issues that may arise.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/insider-lease-agreements-2020/
ethics and duties of counsel presentationKauselyaRaju
The document discusses the Bar Council, which was established to properly manage the affairs of the Malaysian Bar. The Bar Council consists of the immediate past president, vice president, state bar committee chairs and members, and elected members. It has the power to manage the Malaysian Bar's funds and affairs. The Bar Council can make rules, answer legal questions, review legislation, represent members, award scholarships, hire staff, acquire premises, communicate with other bars, conduct legal proceedings, invest funds, borrow money, and exercise other powers. The document also discusses the privileges of advocates and solicitors, complaints against lawyers, and the need for legal ethics to regulate the profession and maintain public confidence. It notes ethics are taught in law schools but there are
The document compares legal ethics between the United States and European Union. It finds that while client confidentiality and loyalty are important in both systems, there are key differences in how lawyers are regulated. The US follows a common law approach with more formal ethical rules while EU countries follow civil law with more general standards. The EU also allows for more liberal practices like multijurisdictional partnerships and non-lawyer ownership of law firms through reforms like the UK Legal Services Act. In contrast, US state-based licensing restricts multistate and multidisciplinary practice.
Auto Injury Litigation From Start to Finish (Ethics)Woodrow Glass
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Show Me Your License and Registration: Reasons to be Concerned About In-House Bar Admissions
1. 1
Show Me Your License and Registration:
Reasons to Be Concerned About
In-House Bar Admissions
By: Ronald J. Levine and Leah Loeb*
The Ethics CLE Program
ASSOCIATION OF CORPORATE COUNSEL
GREATER NEW YORK CHAPTER
ANNUAL ETHICS CLE PROGRAM
NOVEMBER 10, 2009
Herrick, Feinstein LLP
2 Park Avenue
New York, New York 10016
212-592-1400
www.herrick.com
* Ronald J. Levine (rlevine@herrick.com/212-592-1424) is Co-Chair of Herrick,
Feinstein LLP’s Litigation Department; Leah Loeb (lloeb@herrick.com) is not yet
admitted to the bar.
2. 2
Introduction
An in-house counsel who is not admitted to the bar of the state in which he or she
works must consider the implications of being unlicensed to practice in that state. The
in-house counsel may face criminal, ethical, and privilege problems if he or she does not
earn admission.
Of course, the situation can often be rectified by a limited admission as an in-
house counsel in the states that permit such admission, or by waiving in for full
admission. Unfortunately, in some states, the in-house counsel may have to take the
state’s bar examination.
Moreover, even if a supervisor in a corporate legal department is admitted to the
bar, he or she cannot ignore the status of those under the supervisor’s direction. The
supervisor has a responsibility to monitor the admission of the attorneys under his or her
direction. Importantly, supervisors have a recognized ethical duty to ensure that
subordinate lawyers conform to the Rules of Professional Conduct.1
This article discusses the major reasons to be mindful of bar admissions — for
yourself and your colleagues. These questions should be considered if an in-house
counsel is not admitted to the bar in the state in which he or she is practicing, or
otherwise is not paying attention to the state’s bar admission rules:
1. Is the In-House Counsel Committing a Crime?
2. Is the In-House Counsel violating the State's Disciplinary Rules?
1
See N.Y. Rule of Prof’l Conduct, Rule 5.1 (providing that a lawyer with management responsibility shall
make reasonable efforts to ensure that other lawyers in the office conform to the Rules, and a lawyer with
direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the supervised
lawyer conforms to the Rules).
3. 3
3. Does the Attorney-Client Privilege Apply to the In-House Counsel's
Communications?
4. Does the Attorney Work Product Doctrine Apply to the In-House Counsel's
Communications?
5. Can the In-House Counsel Provide Legal Advice to Third Persons?
6. Will the Advice of Counsel Defense Be Available in Future Litigations?
7. Can the In-House Counsel Appear in Court?
Authorized practice as an in-house counsel can occur in at least three ways: (1)
general admission through application to the bar or reciprocity through admission on
motion; (2) pro hac vice status on discrete matters; and (3) a limited in-house counsel
license (where permitted).
Cleary it is each state’s goal to protect “the public against rendition of legal
services by unqualified persons.”2
A state court can therefore regulate attorneys within
its jurisdiction and can subject its attorneys to discipline for unethical practices.
Historically, to effectively do so, attorneys licensed in one state could not freely engage
in legal practice in another state. However, with so many attorneys – both in-house and
outside – engaging in national practices, the concept of a “national” license, with limited
state registration requirements, has gained greater acceptance.
The Association of Corporate Counsel (ACC)3
has been at the forefront of efforts
to pass in-house counsel limited licensing rules to allow attorneys admitted in one
jurisdiction to safely practice in another jurisdiction. ACC encourages legislators and
judges to understand that this license is practical and necessary in view of the modern-
day national practice of law, that it will improve legal practice by allowing out-of-state
2
Model Rule of Prof’l Conduct R. 5.5, cmt. 2.
3
ACC has an excellent resource which, among other things, provides the status of multi-jurisdictional bar
admissions in the various states: http://www.acc.com/advocacy/keyissues/mjp.cfm.
4. 4
sophisticated and specialized practitioners to contribute to that state’s bar, and that it will
not compromise the efficacy and integrity of practice. Advocates of the exception have
pointed out that the consumer protections typically provided by the standard bar rules are
generally unnecessary for in-house attorneys and their corporate client – their only client.
Unfortunately, many states, including New York, do not have special licenses for
in-house attorneys. And, there are in-house counsel in New York who have not gone
through the steps required for admission, which may require taking the New York bar
examination. Consideration of the following questions demonstrates the risks and
uncertainties surrounding practicing without a New York license. These issues
underscore the importance of ACC’s efforts toward state adoption of limited licensing
rules.4
1. Is the In-House Counsel Committing a Crime?
In-house counsel, working in a given jurisdiction without admission to that state’s
bar, may be engaging in the unauthorized practice of law. Each state defines the
“unauthorized practice” differently, yet companies should be aware that unauthorized
practice may subject their in-house counsel to sanctions including criminal and civil
penalties, disbarment, other ethical sanctions, and adverse reputational effects.
In New York, under N.Y. Jud. Law § 4785
and N.Y. Rules of Professional
Conduct, Rule 5.5, persons providing legal counsel and engaged in a client relationship
4
In this article, we focus on New York law, with some reference to New Jersey, our neighbor; however,
because each state has its own unique bar admission rules, in-house counsel should of course inquire and
follow the rules adopted in the states in which they are working.
5
N.Y.Jud. Law § 478 states, “It shall be unlawful for any natural person to practice or appear as an
attorney-at-law or as an attorney and counselor-at-law for a person other than himself in a court of
record in this state, or to furnish attorneys or counsel or an attorney and counsel to render legal
services, or to hold himself out to the public as being entitled to practice law as aforesaid, or in any other
manner, or to assume to be an attorney or counselor-at-law, or to assume, use, or advertise the title of
lawyer, or attorney and counselor-at-law, or attorney-at-law or counselor-at-law, or attorney, or
5. 5
are required to gain to the New York bar either through examination or reciprocity. This
is because the A.B.A. Model Rule 5.5(d) permitting a limited license for corporate
counsel has not been adopted. Importantly, persons who practice in violation of §478
are guilty of a misdemeanor.6
It should be noted that the New York Bar Association had proposed a Rule
consistent with Model Rule 5.5(d) providing that an attorney admitted and in good
standing in another state could provide legal services if the services “are provided to the
lawyer’s employer or its organizational affiliates and are not services for which the forum
requires pro hac vice admission.” The Bar proposal, which was not adopted in the 2009
revised rules, was supported by a Comment which stated: “The lawyer’s ability to
represent the employer outside the jurisdiction in which the lawyer is licensed generally
serves the interests of the employer and does not create an unreasonable risk to the client
and others because the employer is well situated to assess the lawyer’s qualifications and
the quality of the lawyer’s work.”
Thus, an in-house counsel who works in New York and is not admitted to the
New York bar should be aware of the implications of not being admitted. Indeed, even if
the unlicensed in-house lawyer seldom engages in actual legal work, such counsel may be
“engaged in the practice of law.”7
For example, in Spivak v. Sachs, the Court of Appeals
dismissed a California attorney’s claims for legal fees finding that he practiced law in
counselor, or attorney and counselor, or equivalent terms in any language, in such manner as to convey
the impression that he is a legal practitioner of law or in any manner to advertise that he either alone or
together with any other persons or person has, owns, conducts or maintains a law office or law and
collection office, or office of any kind for the practice of law, without having first been duly and
regularly licensed and admitted to practice law in the courts of record of this state, and without having
taken the constitutional oath.”
6
N.Y. Jud. Law § 485. See also ABA/BNA Lawyers’ Manual on Prof’l Conduct, Vol. 20, Number 8.
7
Spivak v. Sachs, 16 N.Y.2d 163, 136 N.Y.S.2d 953 (1965); People of the State of N.Y. v. Alfani, 227
N.Y. 334 (1919); Ginsburg v. Fahrney, 45 Misc.2d 777, 258 N.Y.S.2d 43 (Sup. Ct., N.Y. Co. 1965).
6. 6
New York without a license and was therefore not eligible to collect fees. The defendant
argued that he did not “practice” in New York but merely offered services in an “isolated
incident.” The court disagreed and found that offering legal advice and assistance
regarding divorce, pending litigation, and custody over a two-week period was the
unauthorized practice in New York.
Additionally, merely having a physical office in the jurisdiction may constitute
“unauthorized practice,” even when advising only on federal or foreign law.8
On the other hand, an in-house counsel who comes into New York on an
occasional basis may not be in violation of the state’s rules. The Spivak court
recognized that with the “numerous multi-State transactions and relationships of modern
times, we cannot penalize every instance in which an attorney from another State comes
into our State for conferences or negotiations relating to a New York client and a
transaction somehow tied to New York.”9
Thus, in some cases, a very limited practice
has been authorized.10
2. Is the In-House Counsel violating the State's Disciplinary Rules?
The New York Rule of Professional Conduct, Rule 5.5, is quite clear: “A lawyer
shall not practice law in a jurisdiction in violation of the regulation of the legal profession
8
Servidone v. St. Paul Fire and Marine Insurance Co., 911 F. Supp. 560 (N.D.N.Y. 1995) (finding that
maintaining an office in New York as a sole practitioner when unlicensed is “unauthorized practice” even if
only advising on federal contract law).
9
Spivak, 16 N.Y.2d at 168 (citing Appell v. Reiner, 43 N.J. 313 (1964)).
10
E.g., El Gemayel v. Seaman, 72 N.Y.2d 701, 536 N.Y.S.2d 406 (1988) (holding that plaintiff attorney
can recover fees and did not engage in unauthorized practice when he was licensed in Lebanon and the
legal work was done in Lebanon; his telephone calls to New York and one meeting in New York were
“incidental and innocuous”); Williamson v. Quinn Construction Corp., 537 F.Supp. 613 (S.D. N.Y. 1982)
(allowing appearance of an out-of-state counsel before an arbitration panel when the client authorized the
separate representation by the out-of-state firm); see Spanos v. Skouras Theatres Corp., 364 F.2d 161 (2d
Cir. 1965) (permitting a non-New York admitted lawyer to collect fees for his work in a federal antitrust
action that lasted six years; yet limiting the holding to this case only; noting that “we in no way sanction a
practice whereby a lawyer not admitted to practice by a state maintains an office there and holds himself
out to give advice to all comers on federal matters”).
7. 7
in that jurisdiction.” Similarly, an out-of-state lawyer practicing in New York is subject
to New York professional conduct rules.11
Indeed, an attorney engaging in unauthorized
practice could be subject to penalty in both the state of licensure and the state where the
attorney violated the rules of multi-jurisdictional practice.
New Jersey has tried to accommodate in-house counsel who do not want to be
burdened by the New Jersey bar exam. The state adopted an in-house counsel limited
license.12
Unfortunately, the New Jersey system for licensing in-house counsel has been
criticized as being onerous, and extremely time-consuming.13
3. Does the Attorney-Client Privilege Apply to the In-House Counsel's
Communications?
By way of background, courts have long recognized that in-house lawyers deserve
the same treatment as outside lawyers for purposes of the attorney-client privilege.14
The
Restatement 3d of the Law Governing Lawyers comments that, “inside legal counsel to a
corporation or similar organization is fully empowered to engage in privileged
communications,”15
and this principle is well-settled in New York.16
It is also
noteworthy that the leading attorney-client privilege case involved in-house counsel:
Upjohn Co. v. United States.17
However, only certain communications between an attorney and his or her client
are covered by the attorney-client privilege. The communication must be confidential
11
See N.Y. Rules of Prof’l Conduct, Rule 8.5.
12
N.J. Court Rule 1:27-2.
13
Letter from Ass’n of Corp. Counsel to Am. Bar Ass’n (Oct. 10, 2007) available at
http://www.acc.com/vl/public/PolicyStatement/upload/ACCCommentLetterReABAModelRuleforRegistrat
ionofInHouse.pdf (the registration system has become the bane of the in-house bar in the state).
14
E. Epstein, The Attorney-Client Privilege and the Work-Product Doctrine, ABA Section of Litigation, 5th
Ed., 2007, at 199 et seq.
15
Restatement (Third) of the Law Governing Lawyers, § 72, note e.
16
E.g. Rossi v. Blue Cross and Blue Shield, 73 N.Y.2d 588, 542 N.Y.S.2d 508 (1989); Nicolo v.
Greenfield, 163 A.D.2d 837, 558 N.Y.S. 2d 371 (4th
Dep’t 1990).
17
449 U.S. 383 (1981).
8. 8
and for the purpose of obtaining legal advice. It will only apply where the counsel is
performing legal, as opposed to business, duties.18
The privilege may not apply when a
lawyer is acting as a political advisor, public relations specialist, accountant, investment
advisor, or other non-lawyer roles. When confronted with a situation where a lawyer is
engaged in a mixed legal-business communication, courts will apply the “primary
purpose” test to determine whether the attorney-client privilege should be available. 19
Admission to the bar is significant in determining whether the privilege applies to
communications involving an attorney. The courts have held that mere graduation from a
law school is not enough to claim the privilege; admission to the bar is required.20
“[O]ne element of the attorney-client privilege is that the ‘attorney’ must actually be
admitted to the bar of a state or federal court . . . . Although, the privilege has been
extended to cover communications with an attorney's subordinate, . . . the privilege
requires that there be a communication intended to reach, either directly or indirectly, an
attorney admitted to practice. Thus, in the absence of an excusable mistake of fact, even
if all the other requirements of the privilege are met, communications between a ‘client’
and an unadmitted law school graduate are not privileged even where the putative
‘attorney’ has passed the bar examination.” 21
And, admission to the bar of the state in which the in-house counsel is practicing
may be a factor that a court will consider in determining whether services were legal for
the purposes of the privilege. For example, in Allendale Mut. Ins. Co. v. Bull Data
18
Sackman v. The Liggett Group, Inc., 920 F. Sup. 357, 365 (E.D. N.Y. 1996).
19
Thomas E. Spahn, Business Lawyers: Listen Up, ABA Section of Business Law, Volume 14, Number 5
(May/June 2005).
20
See Malletier v. Dooney & Bourke, 2006 U.S. Dist. LEXIS 87096 (S.D.N.Y. 2006); A.I.A. Holdings,
S.A. v. Lehman Bros., Inc., 2002 U.S. Dist. LEXIS 20107 (S.D.N.Y. 2002).
21
A.I.A. Holdings, S.A. v. Lehman Bros. Inc., Id.
9. 9
Systems, Inc., in determining whether communications with two attorneys identified on
privilege logs were protected, the court concluded that it was “doubtful that either was
acting as a lawyer in the communications” because neither was a member of the legal
department, and neither was licensed to practice in the state where the corporation was
located.22
Fortunately for those who are not admitted to the specific state’s bar, there is
precedent upholding the privilege where the in-house lawyer is representing the lawyer’s
corporate employer in a state in which the lawyer is not licensed. Georgia-Pacific
Plywood Co. v. United States Plywood Corp.,23
for example, addressed the issue of
whether the attorney-client privilege applies to communications with an in-house counsel
who was not licensed in New York, the venue of the litigation. The court, Judge Irving
R. Kaufman, held that the privilege applied and stated that “if a person is authorized ‘to
practice law in any state or nation the law of which recognizes a privilege against
disclosure of confidential communications between client and lawyer,’ that person is a
lawyer within the privilege.”24
The court also observed that “[s]ince corporate counsel
will often be required to spend a great deal of time in different localities, the client may
be deprived of the security of the attorney-client privilege unless counsel devotes himself
almost entirely to studying for bar examinations.”25
Similarly, in Panduit Corp. v.
Burndy Corp., the court stated, “[w]hile it appears that defendant’s house counsel is not
22
152 F.R.D. 132, 138 (N.D. Ill. 1993).
23
18 F.R.D. 463 (S.D.N.Y. 1956).
24
Id. at 466.
25
Id. at 465–66.
10. 10
admitted to practice law in the state of his employment, Connecticut, he is admitted to the
bar of New York. This is sufficient for the purpose of the attorney-client privilege.”26
4. Does the Attorney Work Product Doctrine Apply to the In-House
Counsel's Communications?
Of equal concern, the in-house counsel should consider whether his or her work
will be covered by the work product doctrine. This doctrine protects work created in
anticipation of litigation by a party or by or for the party’s representative (including the
other party’s attorney, consultant, surety, indemnitor, insurer, or agent).27
Similar to the
analysis above, the attorney work product doctrine will apply to work produced by
admitted in-house lawyers so long as the work was related to litigation and not of a
business nature.28
Here again, an in-house counsel needs to be concerned about bar
admission to justify the application of the doctrine.29
5. Can the In-House Counsel Provide Legal Advice to Third Persons?
New York attorneys with full admission can provide legal advice to clients
outside their employment so long as the practice is permitted by the employer. In New
Jersey, the limited license allows its holder to work exclusively for the one
organization/employer noted in the license application. As discussed below, for attorneys
in New York who are not members of the New York bar, and corporate attorneys in New
Jersey who have a limited license, the attorney cannot represent third persons unless the
attorney is admitted pro hac vice.
26
172 U.S.P.Q. 46, 47 (N.D. Ill. 1971).
27
Fed. R. Civ. P. 26(b)(3).
28
See Rossi v. Blue Cross and Blue Shield, 73 N.Y.2d 588, 542 N.Y.S.2d 508 (1989) (holding that
memoranda prepared by defendant’s in house counsel was protected from disclosure by the work product
doctrine); Gulf Ins. Co. v. Transatlantic Reinsurance Co., 13 A.D.3d 278, 788 N.Y.S.2d 44 (1st
Dep’t.
2004).
29
See A.I.A. Holdings, S.A. v. Lehman Bros., Inc.
11. 11
In New Jersey, should employment terminate, Court Rule 1:27-2 provides that the
limited license lapses within ninety days. However, in June 2009 and in light of the
current economic situation, the Supreme Court relaxed this time frame and temporarily
granted holders of the limited license one year to find a new job without having to
reapply for the license. The temporary allowance requires that in-house counsels notify
the Court of an employment change within ninety days of that change. This relaxed rule
remains in effect until further notice.30
6. Will the Advice of Counsel Defense Be Available in Future Litigations?
Bar admission may also be important if the client seeks to assert an advice of
counsel defense. Generally, parties are entitled to assert the advice of in-house counsel
defense in the same way they may assert the advice of outside counsel defense.31
Here
again, in-house counsel who is not admitted should consider whether this defense will be
available to provide his or her employer the required protection.
7. Can the In-House Counsel Appear in Court?
In New York, an in-house counsel admitted to the state’s bar may of course
appear in court. If the attorney is practicing in another jurisdiction and is not admitted in
New York, he or she may appear pro hac vice. New Jersey in-house counsel, authorized
under the limited license, may appear for their clients and pro hac vice.32
30
N.J. BOARD OF BAR EXAMINERS, Notice to the Bar: Amendments to Supreme Court Supplemental
Administrative Determinations Regarding In-House Counsel Licensure Pursuant to Rule 1:27-2 (June
2009), at http://www.judiciary.state.nj.us/notices/2009/n090608a.pdf.
31
E.g. EchoStar Commc’n Corp., 448 F.3d 1294 (Fed. Cir. 2006) (“Whether counsel is employed by the
client or hired by outside contract, the offered advice or opinion is advice of counsel or an opinion of
counsel. Use of in-house counsel may affect the strength of the defense, but it does not affect the legal
nature of the advice.”)
32
N.J. Court R.1:27-2(d). “In-house counsel shall not appear as Attorney of Record for his or her
employer, its parent, subsidiary, affiliated entities or any of their constituents in any case or matter pending
before the courts of this State, except pursuant to R. 1:21-1(c) and R. 1:21-2.” Id.
12. 12
Conclusion
In summary, corporate legal departments are encouraged to remain cognizant of
these issues and require state bar licensing and compliance of all their staff. Many states
have adopted in-house licensing rules, yet the rules are not uniform, and many other
states have not recognized the need for this license at all. While multi-jurisdictional
practice rules remains a murky area, in-house counsel can best protect themselves by
earning admission to the bar in the state in which they practice.