Your client—be it a large corporation, a small business, or an individual—asks you for advice on whether certain activities are legal or not. You review the facts. You review the applicable law. You advise it’s a gray area. But the client continues its activities and wants you to condone them. You become exceedingly uncomfortable that the activities may not be legal after all. What do you do? What should you do? What are your affirmative obligations and duties under the rules of professional conduct? Join us for this program to learn about the recent guidance the ABA’s Standing Committee on Ethics and Professional Responsibility has provided (Formal Opinion 491) when faced with situations when you have reason to believe your client may be involved in illegal activities. The informed questions you ask your client may just help you sleep better at night.
Key topics to be discussed:
Overview of the 2020 ABA Ethics Opinion 491 titled “Obligations Under Rule 1.2(d) to Avoid Counseling or Assisting in a Crime or Fraud in Non-Litigation Settings”
Rule 1.2(d) triggers duty to investigate a client’s actions to avoid assisting the client in committing a crime or fraud
The intersection between the rules governing representing an organization and the obligations of lawyers under Rule 1.2(d)
The bounds of the necessary investigative steps that must be taken by a lawyer faced with concerns over the legality of a client’s conduct
Date / Time: September 14, 2021
12:00 pm – 1:00 pm Eastern
11:00 am – 12:00 pm Central
10:00 am – 11:00 am Mountain
9:00 am – 10:00 am Pacific
Choose a format:
Live Video Broadcast/Re-Broadcast: Watch Program "live" in real-time, must sign-in and watch program on date and time set above. May ask questions during presentation via chat box. Qualifies for "live" CLE credit.
On-Demand Video: Access CLE 24/7 via on-demand library and watch program anytime. Qualifies for self-study CLE credit. On-demand versions are made available 5 business days after the original recording date and are viewable for up to one year.
Stacy Gerber Ward | von Briesen & Roper, s.c.
Stacy Gerber Ward is a Shareholder, Leader of the Government Enforcement and Corporate Investigations Section, and Co-Chair of the Health Law Section. Stacy represents clients facing government enforcement matters, conducts internal investigations to respond to government investigations, and litigates government related issues. In the health care area, Stacy assists clients with an array of health care transactional and operational issues. She is certified in health care compliance by the Compliance Certification Board and helps clients evaluate and respond to compliance related matters, design and implement compliance programs, conduct compliance reviews, and advise on disclosure obligations. Stacy has more than 14 years of experience serving as an Assistant United States Attorney for the Eastern District of Wisconsin and served as the Deputy Chief of the Civil Division.
Joseph Russell | von Briesen & Roper, s.c.
Joe Russell is a Shareholder in the Litigation and Risk Management Practice Group of von Briesen & Roper, s.c. He has broad experience in commercial, constitutional and environmental matters in federal and state trial and appellate courts and arbitrations in Wisconsin and throughout the United States. In addition to his courtroom practice, Joe represents corporations, management and individuals in connection with government investigations (both federal and state), enforcement actions, internal investigations and liability reviews. The subjects of these investigations and reviews range from fraud to data breaches to sexual misconduct. Joe serves as the firm’s Ethics Counsel and he also serves as Chair of the Wisconsin lawyer regulation system’s Board of Administrative Oversight, which monitors the fairness, effectiveness and efficiency of the attorney regulation system in Wisconsin.
Christopher Avallone | von Briesen & Roper, s.c.
Chris Avallone is an attorney in the Litigation and Risk Management Practice Group of von Briesen & Roper, s.c. Chris represents a diverse group of clients in complex civil lawsuits, governmental investigations, and appeals. Chris is experienced in all aspects of litigation—seeking early resolution through pre-suit negotiation, filing or responding to complaints, conducting discovery efficiently, briefing pre and post-trial issues, working with experts, trying cases, and pursuing or defending appeals. Before joining von Briesen, Chris served as a law clerk to Justice Shirley Abrahamson of The Wisconsin Supreme Court.
I. Obligations Under Rule 1.2(d) to Avoid Counseling or Assisting in a Crime or Fraud in Non-Litigation Settings | 12:00pm – 12:15pm
II. Rule 1.2(d) triggers duty to investigate a client’s actions to avoid assisting the client in committing a crime or fraud | 12:15pm- 12:30pm
III. The intersection between the rules governing representing an organization and the obligations of lawyers under Rule 1.2(d) | 12:30pm – 12:45pm
IV. The bounds of the necessary investigative steps that must be taken by a lawyer faced with concerns over the legality of a client’s conduct | 12:45pm – 1:00pm