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Bell/Gaerte: 3 things to know about ethical responsibility for others’ conduct

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Bell Gaerte 3 thingsMuch has already been written about the recent Matter of Anonymous that was issued by the Indiana Supreme Court April 11. 6 N.E.3rd 903 (Ind. 2014). In this case, the respondent was found to have violated the Indiana Rules of Professional Conduct, including Rule 7.1, for making “a false or misleading communication about the lawyer or the lawyer’s services” due to various testimonials, settlements and verdicts that appeared on a website. 6 N.E.3rd at slip op. 6.

While that seems fairly standard, what made this case stand out from a more run-of-the-mill disciplinary advertising decision was that the “settlements, verdicts, or testimonials” on the website were not the respondent’s. Id. at 3. Instead, the website was run by an organization that entered into a license agreement with the respondent and whose website identified the respondent as the organization’s exclusive source for legal services in Indiana. Id. at 2.

The website posted the organization’s results and provided testimonials like the organization “changed my life in a big way and my family received our fair share or justice.” Id. at 3. The Anonymous decision noted that while none of these communications “related to the Respondent, the website did not disclose that they did not relate to Respondent.” Id. The court reasoned that “the average viewer could not differentiate between Respondent and the statements about [the organization] on the [organization’s] website and that Respondent is therefore responsible for objectionable content on the website.” Id. at 6 (brackets added). (Read more about the case and the attorney disciplined.)

This is not the only time someone in Indiana has been disciplined for the conduct of another. Here are three things to know about the ethical responsibility for the conduct of others.

1. Local counsel can be responsible for co-counsel’s statement in a pleading

In Matter of M.W., 777 N.E.2d 714, 717 (Ind. 2002), the respondent was found to have violated Rule 8.2 of the Indiana Rules of Professional Conduct for making statements “with reckless disregard as to the truth or falsity concerning the integrity of a three-judge panel of the Court of Appeals.” Specifically, the court took issue with statements made in a footnote in a petition to transfer. Id. at 716-7.
 

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James J. Bell also provides his unique insights to life and the law as The Amateur Life Coach at www.iclef.org. Videos 2 and 5 relate to the issues discussed here.

However, the respondent did not make the statements in the footnote. Specifically, the court noted that “the language of the footnote was not authored by the respondent but by an out-of-state co-counsel.” Matter of M.W., 782 N.E.2d 985, 987 (Ind. 2003). In making this ruling, the court cited to the fact that the signing and filing the brief at issue constituted “joint responsibility pursuant to Indiana Admission and Discipline Rule 3(2)(d).” Id. Therefore, a lawyer can be held ethically responsible for the statements of co-counsel in a pleading.

2. An attorney is responsible for the actions of his or her staff

Let’s say your secretary posts something confidential on Facebook, your bookkeeper bungles the accounting on your trust account or the private investigator you hired has a penchant for interviewing represented people about the matter for which they are represented. If these three people were lawyers, your secretary would have violated Rule 1.6 of the Indiana Rules of Professional Conduct, your bookkeeper may have violated Rule 1.15 of the Indiana Rules of Professional Conduct and your investigator would have violated Rule 4.2 of the Indiana Rules of Professional Conduct.

Good thing they are not lawyers. If the Disciplinary Commission calls you, can you successfully argue, “It was not me, it was them?” Maybe. Under Rule 5.3 of the Indiana Rules of Professional Conduct, a lawyer with “managerial authority” “shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person’s conduct is compatible with” the Rules of Professional Conduct. So, if you can show your “reasonable efforts” to supervise your staff, you should be able to avoid ethical responsibility for the actions of your staff.

3. An attorney is responsible for the actions of his or her marketing agent

So now we have to come back to advertising. Without going into too much detail regarding the advertising rules, the rules don’t allow you to talk about past performance, make references to results or give testimonials. (Although Rule 7.2 does allow an attorney to boast that he or she has malpractice insurance, which is always a big selling point with clients.) So what is a marketing agent supposed to do besides gouge his or her eyes out?

I am not sure. However, you could see how a trained marketing agent, who wants to exercise his or her talents, would feel restrained by these Rules of Professional Conduct and may feel inclined to ignore the rules at your peril. Under Rule 5.3, you are responsible for the marketing agent’s actions. Many grievances have been issued when the marketing agent runs afoul of these rules and the supervising attorney is asleep at the switch. If you hire a marketing agent to do your ads, make sure you make the final call on what is produced.•

__________

James J. Bell and K. Michael Gaerte are attorneys with Bingham Greenebaum Doll LLP. They assist lawyers and judges with professional liability and legal ethics issues. They also practice in criminal defense and are regular speakers on criminal defense and ethics topics. They can be reached at jbell@bgdlegal.com or mgaerte@bgdlegal.com. The opinions expressed are those of the authors.

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  1. @ President Snow, like they really read these comments or have the GUTS to show what is the right thing to do. They are just worrying about planning the next retirement party, the others JUST DO NOT CARE about what is right. Its the Good Ol'Boys - they do not care about the rights of the mother or child, they just care about their next vote, which, from what I gather, the mother left the state of Indiana because of the domestic violence that was going on through out the marriage, the father had three restraining orders on him from three different women, but yet, the COA judges sent a strong message, go ahead men put your women in place, do what you have to do, you have our backs... I just wish the REAL truth could be told about this situation... Please pray for this child and mother that God will some how make things right and send a miracle from above.

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  3. Perhaps the lady chief justice, or lady appellate court chief judge, or one of the many female federal court judges in Ind could lead this discussion of gender disparity? THINK WITH ME .... any real examples of race or gender bias reported on this ezine? But think about ADA cases ... hmmmm ... could it be that the ISC actually needs to tighten its ADA function instead? Let's ask me or Attorney Straw. And how about religion? Remember it, it used to be right up there with race, and actually more protected than gender. Used to be. Patrick J Buchanan observes: " After World War II, our judicial dictatorship began a purge of public manifestations of the “Christian nation” Harry Truman said we were. In 2009, Barack Obama retorted, “We do not consider ourselves to be a Christian nation.” Secularism had been enthroned as our established religion, with only the most feeble of protests." http://www.wnd.com/2017/02/is-secession-a-solution-to-cultural-war/#q3yVdhxDVMMxiCmy.99 I could link to any of my supreme court filings here, but have done that more than enough. My case is an exclamation mark on what PJB writes. BUT not in ISC, where the progressives obsess on race and gender .... despite a lack of predicate acts in the past decade. Interested in reading more on this subject? Search for "Florida" on this ezine.

  4. Great questions to six jurists. The legislature should open a probe to investigate possible government corruption. Cj rush has shown courage as has justice Steven David. Who stands with them?

  5. The is an unsigned editorial masquerading as a news story. Almost everyone quoted was biased in favor of letting all illegal immigrants remain in the U.S. (Ignoring that Obama deported 3.5 million in 8 years). For some reason Obama enforcing part of the immigration laws was O.K. but Trump enforcing additional parts is terrible. I have listed to press conferences and explanations of the Homeland Security memos and I gather from them that less than 1 million will be targeted for deportation, the "dreamers" will be left alone and illegals arriving in the last two years -- especially those arriving very recently -- will be subject to deportation but after the criminals. This will not substantially affect the GDP negatively, especially as it will take place over a number of years. I personally think this is a rational approach to the illegal immigration problem. It may cause Congress to finally pass new immigration laws rationalizing the whole immigration situation.

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