Rule 1.10.Imputed Disqualification: General Rule
(a)While lawyers are associated in a firm, none of them shall
knowingly represent a client when any one of them practicing alone would
be prohibited from doing so by Rule 1.7, 1.8 (c), 1.9 or 2.2.
(b)When a lawyer has terminated an association with a firm, the
firm is not prohibited from thereafter representing a person with
interests materially adverse to those of a client represented by the
formerly associated lawyer and not currently represented by the firm,
unless:
(1)the matter is the same or substantially related to that in
which the formerly associated lawyer represented the client; and
(2)any lawyer remaining in the firm has information protected
by Rules 1.6 and 1.9(c) that is material to the matter.
(c)A disqualification prescribed by this rule may be waived by
the affected client under the conditions stated in Rule 1.7.
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ANNOTATIONSCOMMENT
Definition of "Firm"
For purposes of the Rules of Professional Conduct, the term "firm"
includes lawyers in a private firm, and lawyers in the legal department
of a corporation or other organization, or in a legal services
organization. Whether two or more lawyers constitute a firm within this
definition can depend on the specific facts. For example, two
practitioners who share office space and occasionally consult or assist
each other ordinarily would not be regarded as constituting a firm.
However, if they present themselves to the public in a way suggesting
that they are a firm or conduct themselves as a firm, they should be
regarded as a firm for the purposes of the Rules. The terms of any
formal agreement between associated lawyers are relevant in determining
whether they are a firm, as is the fact that they have mutual access to
information concerning the clients they serve. Furthermore, it is
relevant in doubtful cases to consider the underlying purpose of the
Rule that is involved. A group of lawyers could be regarded as a firm
for purposes of the rule that the same lawyer should not represent
opposing parties in litigation, while it might not be so regarded for
purposes of the rule that information acquired by one lawyer is
attributed to the other.
With respect to the law department of an organization, there is
ordinarily no question that the members of the department constitute a
firm within the meaning of the Rules of Professional Conduct. However,
there can be uncertainty as to the identity of the client. For example, it may
not be clear whether the law department of a corporation represents a
subsidiary or an affiliated corporation, as well as the corporation by which
the members of the department are directly employed. A similar question can
arise concerning an unincorporated association and its local affiliates.
Similar questions can also arise with respect to lawyers in legal
aid. Lawyers employed in the same unit of a legal service organization
constitute a firm, but not necessarily those employed in separate units.
As in the case of independent practitioners, whether the lawyers should
be treated as associated with each other can depend on the particular
rule that is involved, and on the specific facts of the situation.
Where a lawyer has joined a private firm after having represented
the government, the situation is governed by Rule 1.11(a) and (b); where
a lawyer represents the government after having served private clients,
the situation is governed by Rule 1.11(c)(1). The individual lawyer
involved is bound by the Rules generally, including Rules 1.6, 1.7 and
1.9.
Different provisions are thus made for movement of a lawyer from
one private firm to another and for movement of a lawyer between a
private firm and the government. The government is entitled to
protection of its client confidences and, therefore, to the protections
provided in Rules 1.6, 1.9 and 1.11. However, if the more extensive
disqualification in Rule 1.10 were applied to former government lawyers,
the potential effect on the government would be unduly burdensome. The
government deals with all private citizens and organizations and, thus,
has a much wider circle of adverse legal interests than does any private
law firm. In these circumstances, the government's recruitment of
lawyers would be seriously impaired if Rule 1.10 were applied to the
government. On balance, therefore, the government is better served in
the long run by the protections stated in Rule 1.11.
Principles of Imputed Disqualification
The rule of imputed disqualification stated in paragraph (a) gives
effect to the principle of loyalty to the client as it applies to
lawyers who practice in a law firm. Such situations can be considered
from the premise that a firm of lawyers is essentially one lawyer for
purposes of the rules governing loyalty to the client, or from the
premise that each lawyer is vicariously bound by the obligation of
loyalty owed by each lawyer with whom the lawyer is associated.
Paragraph (a) operates only among the lawyers currently associated in a
firm. When a lawyer moves from one firm to another, the situation is
governed by Rules 1.9(b) and 1.10(b).
Rule 1.10(b) operates to permit a law firm, under certain
circumstances, to represent a person with interests directly adverse to
those of a client represented by a lawyer who formerly was associated
with the firm. The Rule applies regardless of when the formerly
associated lawyer represented the client. However, the law firm may not
represent a person with interests adverse to those of a present client
of the firm, which would violate Rule 1.7. Moreover, the firm may not
represent the person where the matter is the same or substantially
related to that in which the formerly associated lawyer represented the
client and any other lawyer currently in the firm has material
information protected by Rules 1.6 and 1.9(c).
COMMITTEE COMMENT
This rule and the comments to this rule are identical to amended
Model Rule 1.10 (amended at the February 1989 Mid-year ABA meeting).
ANNOTATION
Annotator's note.
Rule 1.10 is similar to
DR 5-105 as it
existed prior to the 1992 repeal and reenactment of the Code of
Professional Responsibility.
Relevant cases construing
that provision have
been included in the annotations to Rule 1.7.
The purpose of this rule and rule 1.9 is to protect a client's confidential
communications with his attorney. Funplex Partnership v. FDIC, 19 F. Supp.2d 1202
(D. Colo. 1998).
When an attorney associates with a law firm, the principle of loyalty to the client
extends beyond the individual attorney and applies with equal force to the other
attorneys practicing in the firm. People ex rel. Peters v. District Court, 951 P.2d 926 (Colo.
1998).
The rule of imputed disqualification can be considered from the premise that
a firm of attorneys is essentially one attorney for purposes of the rules governing loyalty to
the client, or from the premise that each attorney is vicariously bound by the obligation of
loyalty owed by each lawyer in the firm. People ex rel. Peters v. District Court, 951 P.2d 926
(Colo. 1998).
And the rule of imputed disqualification applies with equal force to court-appointed
attorneys. People ex rel. Peters v. District Court, 951 P.2d 926 (Colo. 1998).
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