Opinion ID: 1744998
Heading Depth: 1
Heading Rank: 14

Heading: transactions with persons other than clients

Text: RULE 4.1 Truthfulness in Statements to Others In the course of representing a client a lawyer shall not knowingly: (a) make a false statement of material fact or law to a third person; or (b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6. COMMENT: Misrepresentation A lawyer is required to be truthful when dealing with others on a client's behalf, but generally has no affirmative duty to inform an opposing party of relevant facts. A misrepresentation can occur if the lawyer incorporates or affirms a statement of another person that the lawyer knows is false. Misrepresentations can also occur by failure to act. Statements of Fact This Rule refers to statements of fact. Whether a particular statement should be regarded as one of fact can depend on the circumstances. Under generally accepted conventions in negotiation, certain types of statements ordinarily are not taken as statements of material fact. Estimates of price or value placed on the subject of a transaction and a party's intentions as to an acceptable settlement of a claim are in this category, and so is the existence of an undisclosed principal except where nondisclosure of the principal would constitute fraud. Fraud by Client Paragraph (b) recognizes that substantive law may require a lawyer to disclose certain information to avoid being deemed to have assisted the client's crime or fraud. The requirement of disclosure created by this paragraph is, however, subject to the obligations created by Rule 1.6. CODE COMPARISON: Rule 4.1(a) is substantially similar to DR 7-102(A)(5), which states that In his representation of a client, a lawyer shall not ... knowingly make a false statement of law or fact. With regard to Rule 4.1(b), DR 7-102(A)(3) provides that a lawyer shall not conceal or knowingly fail to disclose that which he is required by law to reveal. RULE 4.2 Communication with Person Represented by Counsel In representing a client, a lawyer shall not communicate about the subject of the representation with a party the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized by law to do so. COMMENT: This Rule does not prohibit communication with a party, or an employee or agent of a party, concerning matters outside the representation. For example, the existence of a controversy between a government agency and a private party, or between two organizations, does not prohibit a lawyer for either from communicating with nonlawyer representatives of the other regarding a separate matter. Also, parties to a matter may communicate directly with each other and a lawyer having independent justification for communicating with the other party is permitted to do so. Communications authorized by law include, for example, the right of a party to a controversy with a government agency to speak with government officials about the matter. In the case of an organization, this Rule prohibits communications by a lawyer for one party concerning the matter in representation with persons having a managerial responsibility on behalf of the organization, and with any other person whose act or omission in connection with that matter may be imputed to the organization for purposes of civil or criminal liability or whose statement may constitute an admission on the part of the organization. If an agent or employee of the organization is represented in the matter by his or her own counsel, the consent by that counsel to a communication will be sufficient for purposes of this Rule. Compare Rule 3.4(f). This Rule also covers any person, whether or not a party to a formal proceeding, who is represented by counsel concerning the matter in question. CODE COMPARISON: This Rule is substantially identical to DR 7-104(A)(1). RULE 4.3 Dealing with Unrepresented Person In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. COMMENT: An unrepresented person, particularly one not experienced in dealing with legal matters, might assume that a lawyer is disinterested in loyalties or is a disinterested authority on the law even when the lawyer represents a client. During the course of a lawyer's representation of a client, the lawyer should not give advice to an unrepresented person other than the advice to obtain counsel. CODE COMPARISON: There is no direct counterpart to this Rule in the Code. DR 7-104(A)(2) provides that a lawyer shall not [g]ive advice to a person who is not represented by a lawyer, other than the advice to secure counsel.... RULE 4.4 Respect for Rights of Third Persons In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person. COMMENT: Responsibility to a client requires a lawyer to subordinate the interests of others to those of the client, but that responsibility does not imply that a lawyer may disregard the rights of third persons. It is impractical to catalogue all such rights, but they include legal restrictions on methods of obtaining evidence from third persons. CODE COMPARISON: DR 7-106(C)(2) provides that a lawyer shall not ask any question that he has no reasonable basis to believe is relevant to the case and that is intended to degrade a witness or other person. DR 7-102(A)(1) provides that a lawyer shall not take ... action on behalf of his client when he knows or when it is obvious that such action would serve merely to harass or maliciously injure another. DR 7-108(D) provides that after discharge of the jury... the lawyer shall not ask questions or make comments to a member of that jury that are calculated merely to harass or embarrass the juror.... DR 7-108(E) provides that a lawyer shall not conduct... a vexatious or harassing investigation of either a venireman or a juror.