ETHICS ISSUES FACING TRUST AND ESTATE LAWYERS - McGuireWoods

Ethics Issues Facing Trust and Estate Lawyers Hypotheticals and Analyses ABA Master

McGuireWoods LLP T. Spahn (5/9/17)

ETHICS ISSUES FACING TRUST AND ESTATE LAWYERS

Hypotheticals and Analyses*

Thomas E. Spahn McGuireWoods LLP

* These analyses primarily rely on the ABA Model Rules, which represent a voluntary organization's suggested guidelines. Every state has adopted its own unique set of mandatory ethics rules, and you should check those when seeking ethics guidance. For ease of use, these analyses and citations use the generic term "legal ethics opinion" rather than the formal categories of the ABA's and state authorities' opinions -- including advisory, formal and informal. ______________________ ? 2017 McGuireWoods LLP. McGuireWoods LLP grants you the right to download and/or reproduce this work for personal, educational use within your organization only, provided that you give proper attribution and do not alter the work. You are not permitted to re-publish or re-distribute the work to third parties without permission. Please email Thomas E. Spahn (tspahn@) with any questions or requests.

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Ethics Issues Facing Trust and Estate Lawyers Hypotheticals and Analyses ABA Master

McGuireWoods LLP T. Spahn (5/9/17)

Hypo No.

TABLE OF CONTENTS

Subject

Page

Trust and Estate Planning: Defining the Client and the Representation

1 Unsolicited Communications from a Prospective Client ........................ 1 2 Identifying the Clients in a Multigenerational Family Setting ................. 12 3 Identifying the Client When Representing a Closely Held

Corporation or Its Owners ......................................................................... 15 4 Defining the End of a Relationship ........................................................... 18 5 Lawyers' Retention of Documents as Evidence of a Continuing

Relationship ................................................................................................ 27

Trust and Estate Planning: Joint Representations

6 Joint Representations: Creation .............................................................. 30 7 Joint Representations: Loyalty Issues .................................................... 46 8 Prospective Consents ................................................................................ 56 9 Joint Representations: Information Flow Duties in the Absence

of an Agreement ......................................................................................... 62 10 Joint Representations: Information Flow Duties Under an

Agreement to Keep Secrets ....................................................................... 96 11 Joint Representations: Information Flow Duties Under a "No

Secrets" Agreement ................................................................................... 103 12 Joint Representations: Privilege Ramifications in a Later Dispute

among Jointly Represented Clients .......................................................... 113

Trust and Estate Planning: Conflicts of Interest between Clients

13 Representation Adverse to a Current Estate Planning Client ................ 132

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Ethics Issues Facing Trust and Estate Lawyers Hypotheticals and Analyses ABA Master

McGuireWoods LLP T. Spahn (5/9/17)

Hypo No. 14

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Subject

Page

Estate Planning Representation Involving a Current Client in an Unrelated Matter ......................................................................................... 133

Estate Planning Representation Involving a Current Client in a Related Matter ............................................................................................. 136

Estate Planning Representation Involving a Former Client: General Rule................................................................................................ 140

Representation Adverse to a Former Estate Planning Client ................. 143

Estate Planning Representation Involving a Former Client on a Related Matter ............................................................................................. 148

Fees Paid by a Non-Client.......................................................................... 152

Trust and Estate Planning: Conflicts between Clients and Lawyers

20 Clients' Gifts to Lawyers: General Rule................................................... 162

21 Clients' Gifts to Lawyers: Imputation of Disqualification....................... 171

22 Lawyers Preparing Documents in Which They Are Named as Executor or Trustee .................................................................................... 175

23 Lawyers Maintaining Control Over Clients' Estate Planning Changes....................................................................................................... 181

24 Dealing with Clients Who Have Diminished Capacity ............................. 184

25 Ability to Refrain from Providing Material Facts to a Client with Diminished Capacity .................................................................................. 193

26 Preparing Trust and Estate Documents for a Client with Borderline Testamentary Capacity............................................................ 195

27 Taking Directions from an Impaired Client's Fiduciary ........................... 197

28 Limiting Liability to Trust and Estate Clients ........................................... 201

29 Selling Law-Related Services .................................................................... 206

30 Agreement to Maintain the Confidentiality of Certain Trust and Estate Techniques ...................................................................................... 218

31 File Ownership ............................................................................................ 221

32 File Ownership if Clients Have Not Paid Lawyers ("Retaining

Liens")

253

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Ethics Issues Facing Trust and Estate Lawyers Hypotheticals and Analyses ABA Master

McGuireWoods LLP T. Spahn (5/9/17)

Hypo No.

Subject

Page

Trust and Estate Planning: UPL and MJP

33 Nonlawyers (Such as Bank Employees)................................................... 266 34 Assisting UPL Violations ........................................................................... 270 35 Nonlawyer Staff (Such as Paralegals)....................................................... 277 36 Paralegals: Attorney-Client Privilege Issues........................................... 290 37 In-House Lawyers Representing the Client/Employer's

Executives ................................................................................................... 294 38 In-House Lawyers Representing Their Client/Employer's

Customers ................................................................................................... 300 39 Multijurisdictional Practice: Relationship to the Lawyers' Home

State ............................................................................................................. 308 40 Multijurisdictional Practice: Lawyers' National Reputation ................... 318 41 Multijurisdictional Practice: Practice in Federal Tribunals .................... 321 42 Multijurisdictional Practice: Lawyers' Limiting Their Practice to

"Federal" Matters........................................................................................ 328

Trust and Estate Planning: Confidentiality and Privilege

43 General Confidentiality Duties .................................................................. 335 44 Background Facts about Representations and Communications ......... 337 45 Client Demeanor ......................................................................................... 342

Trust and Estate Planning: Document Preparation

46 Effect of a Client's Agents' Presence........................................................ 345 47 Waiver Impact of Disclosed Privilege Communications to a

Client's Agent.............................................................................................. 363 48 Effect of a Lawyers' Agents' Presence ..................................................... 366 49 Privilege Protection for Communications To and From Lawyers

Providing Non-Legal Services ................................................................... 374 50 Draft Documents......................................................................................... 377 51 Expectation of Disclosure.......................................................................... 381

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Ethics Issues Facing Trust and Estate Lawyers Hypotheticals and Analyses ABA Master

McGuireWoods LLP T. Spahn (5/9/17)

Hypo No. 52 53 54 55

Subject

Page

Metadata ...................................................................................................... 386

Duty to Disclose an Adversary's Document Error ................................... 420

Relying on Independent Contractors........................................................ 423

Outsourcing ................................................................................................ 432

Liability for Estate Planning Work

56 Liability to Non-Clients for Negligence..................................................... 443 57 Liability to Non-Clients for Intentional Torts ............................................ 474 58 Liability for Failing to Inform Former Clients of Changes in the

Law............................................................................................................... 476

Trust and Estate Administration: Conflicts of Interests

59 Identifying the Client .................................................................................. 480 60 Conflicts of Interest Caused by a Lawyer's Role as Executor or

Representation of an Executor.................................................................. 485 61 Fiduciaries' Lawyers' Duties to Beneficiaries .......................................... 490 62 Joint Representations in Estate Administration ...................................... 500 63 Effect of a Joint Representation in Estate Administration...................... 503 64 Representing a Person Who is Both an Executor and a

Beneficiary .................................................................................................. 506

Trust and Estate Administration: Privilege and Work Product Issues

65 Ex Parte Communications ......................................................................... 512 66 Witness-Advocate Rule.............................................................................. 515

Trust and Estate Administration: Other Issues

67 Duration of the Confidentiality Duty and Attorney-Client Privilege ....... 518 68 Ownership of the Confidentiality Duty/Attorney-Client Privilege

after a Decedent's Death: General Rule ................................................... 520

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