[textbook]Traversing the Ethical Minefield Problems, Law, and Professional Responsibility by Susan R. Martyn (z-lib.org)(1) (1)

but does specify a lawyer’s obligations and protections against retaliation (as in Wadler)
within it. Violations can result in discipline by the SEC, including disbarment. 14
The Bounds of the Law and Client Advocacy
Proposals for additional lawyer regulation will likely heighten the debate about the
appropriate scope of client advocacy. 15 Taken together, these requirements remind lawyers
that neither they nor their clients are exempt from general legal requirements, some of
which create limitations on client advocacy. This is not an unfamiliar role, as lawyers have
always been in the business of advising clients to avoid illegality. We probably should be
most wary of these efforts, however, when the government seeks to make lawyers agents of
its law enforcement efforts. On the other hand, we probably should welcome limits on
advocacy when they seek to provide a fair and accessible justice system.
This chapter sheds light on additional examples of these legal limits on client advocacy
that can ensnare an unenlightened lawyer. These bodies of law create the potential for
criminal, civil, disciplinary, or procedural sanctions. We begin by considering a variety of
procedural rules and inherent powers that provide the basis for monetary sanctions against
lawyers who file frivolous lawsuits or evade discovery obligations. We then turn to consider
limitations imposed on lawyers by laws that prohibit bias, such as civil rights provisions and
the Americans with Disabilities Act (ADA). Near the end of the chapter, we focus on
additional professional rules that prohibit or limit communication with judges, jurors, and
represented and unrepresented persons. We also examine the rule that limits lawyers from
appearing as witnesses in clients’ cases. Okay?
Problems
14-1. Martyn & Fox’s real estate department is helping Express Construction develop a
shopping center in Montgomery County. The vote will be close. Martyn & Fox is asked by
Express to buy a table at the Lincoln Day dinner “to smooth the skids.”
14-2. Client hires Martyn & Fox to get back her $25,000 retainer from her former
lawyer. Client explains: “That bum charged me $10,000 for incompetent work and stole
the rest of my $15,000 from his client trust account.” Martyn writes a demand letter to
Client’s former lawyer that includes the following:
“My hope is to avoid a criminal charge and an ethics investigation against you. If you do not return my client’s
$25,000 within 14 days, it is likely my client will file a criminal and a disciplinary complaint.”
14-3. Martyn & Fox’s client, an alleged drug dealer, brings an $11,000 cash retainer
into the office. “You’ll keep this confidential, right?” the client asks.
B. Frivolous Claims Model Rules 3.1, 3.4 Federal Rule of Civil Procedure 11
429