UP COLLEGE OF LAW, D2017

LEGAL
PROFESSION
NOTES ON THE CODE OF
PROFESSIONAL RESPONSIBILITY
BY RUBEN AGPALO

Castro | Del Rosario | Desquitado | Digao

Fumar | Gonzales | King | Malit | Mallari
Manuel | Salazar | Soco | Tolentino
Tristeza | Velasco | Vinluan
CHAPTER I. THE LAWYER AND SOCIETY - “amicus curiae” – an experienced and impartial attorney
invited by the court to appear and help in the disposition of
A. INTRODUCTORY issues submitted to it.
- “bar” – legal profession
DEFINITIONS - “bench” – judiciary
- “Legal ethics” – embodiment of all principles of morality and
refinement that should govern the conduct of every member of PRELIMINARY
the bar; the branch of moral science which treats of the duties - A practicing lawyer is constantly confronted with conflicting
which an attorney owes to the court, his client, his colleagues loyalties which he must reconcile.
in the profession, and to the public. - He should no nothing which may tend to lessen in any degree
- “lawyer” – that class of persons who by license are officers of the public confidence in the fidelity, honesty and integrity of
the court and who are empowered to appear, prosecute, and the legal profession.
defend and on whom peculiar duties, responsibilities and - Hence, professional standards serve as the lawyer’s chart and
liabilities are devolved by law as a consequence. compass to resolve difficult questions of duty and help
o Those who pass the Shari’a Bar are not entitled to be minimize ethical delinquencies.
called “attorneys”, unless they have also been - In 1917, the Philippine Bar Association adopted as its own,
admitted to the Philippine Bar. Canons 1-32 of the Canons of Professional Ethics of the
- “counsel de parte” – is an attorney retained by a party litigant, American Bar Association.
usually for a fee, to prosecute or defend his cause in court.  - In 1946, it again adopted as its own, Canons 33-47 of the ABA.
implies freedom of choice either on the part of the attorney to - A sense of identity and the necessity of restating the canons to
accept or decline the employment, or on the part of the litigant conform with present-day realities and reflect the local
to continue or terminate the retainer at any time customs, traditions and practices of the bar dictate that the
- “counsel de oficio” – attorney appointed by the court to Philippine Bar formulates its own Code.
defend an indigent defendant in a criminal action. no - Hence, in 1980, the IBP proposed the Code of Professional
other choice by the litigant than the acceptance of whoever Responsibility, which was passed to the SC for approval. It was
is appointed as his counsel promulgated by the Supreme Court on June 21, 1988.
- “attorney of record” – attorney whose name, together with his - The Code consists of 22 Canons and 77 Rules, which are divided
address, is entered in the record of a case as the designated into four chapters, namely:
counsel of the party litigant in the case, and to whom judicial o The Law and Society
notices relative thereto are sent. o The Lawyer and the Legal Profession
- “of counsel” – experienced lawyer, who is usually a retired o The Lawyer and the Courts
member of judiciary, employed by law firms as consultant o The Lawyer and the Clients.

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 - The Code establishes norms of conduct and ethical standards NATURE OF OFFICE OF ATTORNEY
for all lawyers, including those in the government service, to - He occupies a quasi-judicial office because he is in fact an
observe in their professional, official, and private capacities. officer of the court.
- The Code is binding upon all lawyers and failure to live up to - As an officer of the court, he is subject to the disciplinary
any of its provisions is a ground for disciplinary action. authority of the court and to its orders and directives with
- Its inculcation must begin with the student and end with the respect to his relation to the court as well as to his client. 
judge, for student, lawyer, and judge alike must have a Continuous accountability
thorough understanding and appreciation of the true meaning - Court scrutinizes his transactions with his client and protects
and purpose of the standards of professional conduct. the client form undue disadvantages.

PRACTICE OF LAW AS A PROFESSION PRIVILEGES OF ATTORNEY

- Primary characteristics which distinguish the legal profession - A lawyer has the privilege and right to:
from business are: o Practice law during good behavior before any judicial,
a. “A duty of public service, of which emolument is a quasi-judicial or administrative tribunal
by-product, and in which one may attain the o Be immune, in the performance of his obligation to his
highest eminence without making much money” client, from liability to a third person insofar as he does
b. A relation as officer of the court to the not materially depart from his character as a quasi-
administration of justice judicial officer.
c. A relation to client in the highest degree fiduciary  His statements, if relevant to the case, are
d. A relation to colleagues at the bar characterized by absolutely privileged regardless of their
candor, fairness, and unwillingness to resort to defamatory tenor and of the presence of
current business methods of advertising and malice
encroachment on their practice, or dealing directly  He can speak freely and courageously in the
with their clients. course of judicial proceedings without the risk
- These characteristics make the law a noble profession, and the of incurring a criminal prosecution or an action
privilege to practice it is bestowed only upon individuals who for damages.
are competent intellectually, academically and morally. o Protest, in a respectful language, any unwarranted
- Its basic ideal is to render service and to secure justice for treatment of a witness or any unjustified delay in the
those who seek its aid. administration of justice
- Lawyers must at all times conduct themselves in their o In passing the bar exams, he has first grade civil service
professional and private dealings with honesty and integrity in eligibility for any position in the classified service in the
a manner beyond reproach. government the duties which require knowledge of
law; or second grade civil service eligibility for any
 other gov’t position which does not prescribe NECESSITY OF REPRESENTATION BY COUNSEL.
proficiency in law as a qualification - In a democratic and civilized country where the rights of a
- These privileges and rights are designed to encourage a lawyer person are determined in accordance with established rules,
to be courageous and fearless in the prosecution or defense of the employment of a person acquainted with those rules
his client’s cause. becomes a necessity both to the litigants and to the court.
- Only a lawyer, who by mental and moral fitness previously
DUTIES OF OFFICE, GENERALLY ascertained possesses the required training in law, can
- The lawyer has the duty to: properly and effectively extend such assistance.
o Maintain allegiance to the Republic of the Philippines - There can be no fair hearing unless a litigant is represented or
o Support the Constitution and obey the law assisted by counsel.
o To observe and maintain the respect due the courts - To exact from the attorney his faithful devotion to his client’s
and its officers cause, the SC subjects him to disciplinary action and
o To counsel such actions only as he believes to be administrative liability for his failure to properly attend to the
honestly debatable under the law interests of his client.
o To employ such means only as consistent with truth
and honor NEED FOR, AND RIGHT TO, COUNSEL
o Never to mislead the judge by an artifice or false - A party litigant needs the assistance of counsel in all
statement of fact or law proceedings, administrative, civil or criminal. As he isn’t a
o Preserve the secrets of his client lawyer, he is ignorant of the substantive and procedural laws
o Etc. which are applied to resolve disputes.
- BASICALLY THE CODE OF PROFESSIONAL RESPONSIBILITY. - And even if he is a lawyer, his personal and at times emotional,
involvement may adversely affect his handling of the case, to
PUBLIC VERSUS PRIVATE AND PERSONAL DUTIES his prejudice. Hence, even lawyers, who are parties in a case,
- Three-fold capacity in which an attorney operates need the guiding hand of counsel.
o Faithful assistant of the court - Constitutional rights (right to remain silent; have competent
o Trusted agent of his client counsel preferably of his choice; any confession made in
o Self-employed businessman violation of such provision shall be inadmissible in evidence
- Public duty – obey the law, aid in the administration of justice against him” importance of the presence of counsel in
- Private duty – his obligation to faithfully represent the interest any police investigation, so as to ensure that it conforms to
of his client the dictates of the privilege against self-incrimination. Notice!
- Personal obligation – what he owes to himself - Right to counsel absolute, immutable, and never subject
to waiver. Otherwise, there would be a grave denial of due
process.
 e. If the incompetence, ignorance or inexperience of
WHEN APPEARANCE BY COUNSEL NOT OBLIGATORY counsel is so great and the error committed as a
- In the municipal trial court, a party may conduct his litigation in result thereof is so serious that the client is
person or with the aid of an agent or friend appointed by him prejudiced and denied his day in court, the litigation
for the purpose of an attorney. may be reopened to give the accused another
- In the RTC and appellate courts, a party in a civil suit may either change to present his case.
conduct his litigation personally or by attorney unless the party f. Where the failure of the defense to present its
is a juridical person. evidence is due to the absences of the counsel, the
- In administrative proceedings, the right to counsel is not accused should be given another chance to present
indispensable to due process. If a respondent had chosen to evidence.
represent himself without the assistance of counsel, he could g. When the accused has persistently disavows
not later claim that he had been denied due process. knowledge of the lawyer who allegedly assisted him
- It must be emphasized however, that the fact that a person in the taking of his extrajudicial admission during
may conduct his own litigation in person does not detract from custodial investigation and the lawyer has failed to
the necessity or diminish the importance of assistance of show his role therein, the confession is not
counsel. admissible in evidence
- Applies only in civil and administrative cases. The rule does not h. The accused’s confession given to a prosecutor
apply in criminal cases involving grave and less grave offenses. without the assistance of a counsel is inadmissible
as well.
CONSEQUENCES OF DENIAL OF RIGHT TO COUNSEL i. When the trial court conducts hearing even in the
- Denial of right to counsel has the following consequences: absence of the counsel for the accused, any
a. Admission of guilt, including receipts he signed for decision of conviction shall be null and void,
items which are inculpatory in nature, are not warranting a new trial
admissible in evidence
b. If the judgment of conviction had become final, it WAIVER OF RIGHT TO COUNSEL IN CRIMINAL PROCEEDINGS
may still be recalled - Right to counsel of an accused is absolute or immutable.
c. If it was found that his lawyer was not really a - However, his option to secure the services of counsel de parte
lawyer, he is still entitled to have his conviction set is not absolute. The trial court may restrict his option to retain
aside and a new trial undertaken a counsel de parte if the accused insists on an attorney he
d. Resolution of the Court of Appeals dismissing an cannot afford, or the chosen counsel is not a lawyer, or the
appeal for failure to file the appellant’s brief may be attorney declines to represent the accused for a valid reason,
recalled and the appeal reinstated, if the “lawyer” in which case the court should appoint a counsel de oficio to
failed to file it represent him.
 - Section 1© of Rule 115 provides that “Upon motion, the which society has entrusted the administration of law and the dispensing
accused may be allowed to defend himself in person when it of justice.
sufficiently appears to the court that he can properly protect
the rights without the assistance of counsel.”
o Implies that the accused may waive his right to
counsel. But if he cannot sufficiently protect his rights
without the assistance of such, the court should advise
him to secure a counsel de parte or, if he cannot or
refuses to do so, the court should appoint a counsel de
oficio.
- The denial of due process cannot be successfully invoked
where a valid of waiver of rights has been made.
- However, the right to counsel during custodial investigation
may not be waived except in writing and in the present and
assistance of counsel, otherwise his confession during such
investigation will not be admissible in evidence.

B. UPHOLDING THE CONSTITUTION AND OBEYING

THE LAW

CANON 1 - A LAWYER SHALL UPHOLD THE CONSTITUTION, OBEY THE

LAWS OF THE LAND AND PROMOTE RESPECT FOR LAW AND LEGAL
PROCESSES.

Society has entrusted to the legal profession the administration of law

and the dispensing of justice. This requires lawyers to be in the
forefront in the observance and maintenance of the rule of law and the
preservation of its democratic institutions and liberties.

For a lawyer is the servant of the law and belongs to a profession to

Rule 1.01 – A lawyer shall not engage in unlawful conduct A lawyer shall not, for any corrupt motive or interest, encourage any
suit or proceeding or delay any man’s cause.
A lawyer shall not engage in unlawful, dishonest, immoral or deceitful
conduct.

- A lawyer shall make himself an exemplar for others to

emulate with respect to the duty to uphold the Constitution.
- Unlawful conduct – act or omission which is against the law
- Dishonest act – act of lying or cheating
- Immoral or deceitful conduct – one that involves moral
turpitude, anything done contrary to justice, modesty or
good morals.

Rule 1.02 – A lawyer shall not counsel illegal activities

A lawyer shall not counsel or abet activities aimed at defiance of the

law or at lessening confidence in the legal system.

- He shouldn’t subvert the law by counseling or assisting

in activities which are in defiance of the law.
- He should not promote an organization known to be
violating the law nor assist in a scheme which he knows is
dishonest.
- He should not allow his services to be engaged by an
organization whose members are violating the law, to
defend them when they get caught.
- An example would be the anomalous election of IBP Officers
in 1989 where the SC nullified its results after finding that
the election was characterized by electioneering activities
and extravagance on the part of the candidates.

Rule 1.03 – A lawyer shall not encourage lawsuits

 Rule 1.04 – A lawyer shall not encourage amicable settlement
- A lawyer owes to society and to the court the duty not to stir
up litigation. A lawyer shall encourage his clients to avoid, end or settle a controversy
- Unprofessional acts which come within the prohibition: if it will admit of a fair settlement.
a. Volunteering advice to bring lawsuit, except in rare
cases where ties of blood, relationship or trust
make it his duty to do so - Useful function of a lawyer not only to conduct litigation
b. Hunting up defects in titles or other causes of but to avoid it where possible, by advising settlement, or
action and informing thereof in order to be withholding suit.
employed to bing suit or collect judgment - He should be a mediator for concord and a conciliator for
c. Employing agents or runners for like purposes compromise rather than an instigator of controversy and a
d. Paying reward to those who bring or influence predator of conflict.
the bringing of such cases to his office
e. Remunerating policemen, court or prison officials,
C. MAKING LEGAL SERVICES AVAILABLE
physicians, hospital attaches or others who may
succeed under the guise of giving disinterested CANON 2 - A LAWYER SHALL MAKE HIS LEGAL SERVICES AVAILABLE IN
friendly adviace AN EFFICIENT AND CONVENIENT MANNER COMPATIBLE WITH THE
f. Searching for unknown heirs and soliciting their INDEPENDENCE, INTEGRITY AND EFFECTIVE-NESS OF THE PROFESSION.
employment of him
g. Initiating a meeting of the members of club and
inducing them to organize and contest legislation
under his guidance  Necessity of representation by counsel AND right to council in
h. Purchasing notes to collect them by litigation at a all judicial proceedings and, at times, administrative
profit proceedings → gives rise to CORRELATIVE DUTY on the part of
i. Furnishing credit reports in expectation of possible the legal profession TO MAKE LEGAL SERVICES AVAILABLE in a
employment EFFICIENT and CONVENIENT MANNER to those who NEED such
j. Agreeing with a purchaser of future interests to services → CANON 2 and its implementing rules makes such
invest therein in consideration of his services. duty CLEAR and SPECIFIC
- Purpose of the prohibition – prevent ambulance chasing   → IBP Committee that DRAFTED the code explained: person
solicitation of almost any kind of legal business by laymen who needs legal services should be able to find a qualified
employed by an attorney for the purpose or by the attorney lawyer
himself. o responsibility of the bar to make such services available
o wide gap between NEED and SATISFACTION because…
 1) poverty → inability to pay ;)
  2) ignorance → NEED of legal services and to…
WHERE to find competent and dependable o Render public service
lawyer
 **FEAR of delays, legal technicalities, and
overreaching and overcharging lawyers
 THUS, profession should use METHODS, compatible
with ethics and dignity TO BRING THE SERVICES of its
members to those ACTUALLY CAUGHT UP IN
LITIGATION/NEED of LEGAL ADVICE to AVOID litigation

Rule 2.01 - A lawyer shall not reject the cause of the defenseless

A lawyer shall not reject, except for valid reasons, the cause of the
defenseless or the oppressed.

 stems from one of OBLIGATIONS INCIDENT to STATUS and

PRIVILEGES of being a lawyer REPRESENT the POOR
and OPPRESSED (prosecution of claims/defense of rights)
o “even if the lawyer does not accept a case, he shall not
refuse to render legal advice to the person concerned if
only to the extent necessary to safeguard the latter’s
rights”
 DUTY of a lawyer to ACCEPT cause of defenseless and
oppressed EMPOWERS COURTS to REQUIRE HIM to
RENDER professional services to any party in any case (if the
party is w/o means to employ a lawyer, services of lawyer are
necessary to protect rights and secure ends of justice) or TO
DESIGNATE him as COUNSEL DE OFICIO for an accused if the
latter is UNABLE to EMPLOY a COUNSEL DE PARTE
o Counsel de officio and counsel de parte lawyer
assigned to render effective legal services; if he fails or
neglects to do so, subjected to disciplinary sanction
 Each lawyer should welcome assignment OPPORTUNITY
 o Show practice of law is a PROFESSION present clients) because EXTENDING SUCH LEGAL ADVICE will
o Demonstrate efficient discharge of duties not CREATE AND ESTABLISH an attorney-client relationship
depend upon payment or amount of fees between them may INVOLVE
 IBP in performance of its PUBLIC RESPONSIBILITY to
render FREE LEGAL SERVICES to the POOR and OPPRESSED
IBP Committee on LEGAL AID has ESTABLISHED LEGAL
AID OFFICES throughout the country
o OBJECTIVE: provide and make available ON A
NATIONWIDE BASIS legal services in favor of
POOR SEGMENT of SOCIETY
o OPERATION of these legal aid offices basic
policy: “legal aid is not a matter of charity”
means for correction of a social imbalance that
may often lead to injustice public responsibility
of the bar spirit of public service should
underlie in all legal aid offices

Rule 2.02 - A lawyer shall not refuse to render legal services

In such cases, even if the lawyer does not accept a case, he shall
not refuse to render legal advice to the person concerned if only
to the extent necessary to safeguard the latter’s rights.

 Lawyer MAY REFUSE to ACCEPT cause of defenseless or the

oppressed for VALID REASONS when he is NOT in a
POSITION to CARRY OUT the WORK EFFECTIVELY or
COMPETENTLY
 NONETHELESS, “even if the lawyer does not accept a case, he
shall not refuse to render legal advice to the person
concerned if only to the extent necessary to safeguard the
latter’s rights” such as advising him preliminary steps to take
until he secures own counsel HOWEVER, he should
REFRAIN from giving such legal advice if reason if conflict of
interests (bet him and prospective client or prospective and
 VIOLATION of rule prohibiting a lawyer from representing Rule 2.04 – A lawyer shall not charge lower rates to attract business
conflicting interests (unless circumstances so warrant)

Rule 2.03 - A lawyer shall not solicit legal business A lawyer shall not charge rates lower than those customarily prescribed
unless the circumstances so warrant.
A lawyer shall not do or permit to be done any act designed primarily to
solicit legal business.
 Unethical practice of INDIRECT SOLICITATION of legal business
OFFERING LOWER RATES that that prescribed by others
 Law PROHIBITS lawyers from soliciting cases for PURPOSE of for SIMILAR WORKS of SERVICE
GAIN either…  To DISCOURAGE MALPRACTICE
o Personally  Rule PROHIBITS COMPETITION (in matter of charging
o Through paid agents or brokers professional fees for the purpose of attracting clients IN FAVOR
 Makes the act malpractice of the lawyer who offers lower rates)
 The rule PROHIBITS LEGAL TOUTING  Rule does NOT PROHIBIT a lawyer from charging a REDUCED FEE
 Among those that FALL under the prohibition would be… or NONE AT ALL to an indigent or to a person who would have
o Lawyer who recommends employment of self, partner, difficulty paying the fee usually charged for such services
associate, or member of legal staff to a NON-LAWYER
who has NOT SOUGHT his advice RE EMPLOYMENT of a
LAWYER D. USE OF TRUE AND FAIR INFORMATION IN MAKING
o Compensate and gives ANYTHING OF VALUE to a person KNOWN LEGAL SERVICES
or organization to RECOMMEND or SECURE his
EMPLOYMENT OF A CLIENT
o Compensate and gives ANYTHING OF VALUE to a person
or organization AS REWARD for having made a CANON 3 - A LAWYER IN MAKING KNOWN HIS LEGAL SERVICES SHALL
recommendation RESULTING IN HIS EMPLOYMENT BY A USE ONLY TRUE, HONEST, FAIR, DIGNIFIED AND OBJECTIVE
CLIENT INFORMATION OR STATEMENT OF FACTS.
 Lawyer who agrees with non-lawyer to divide attorney’s fees
paid by clients supplied or solicited by the nonlawyer
guilty of MALPRACTICE (form of solicitation of cases) Lawyer can NOT ADVERTISE his TALENT; REASONS…

 General rule: a lawyer can not advertise his talent as a

shopkeeper advertises his wares (inflexible rule)
o Reasons:
 Lawyer member of honorable profession
  Primary purpose is to render public service o Corruption of public officials
and help secure justice o Attacks on marital stability
 Renumeration is a mere incident o Encourage lawyers to engage in overreaching,
o Make lawyer radically DIFFERENT from a shopkeeper, overcharging, underrepresentation, and
trader, manufacturer, money lender primordial aim misrepresentation
= private gain; principal tool ADVERTISING…to SELL o Doubtlessly increase lawsuit and result in needless
PRODUCT or SERVICE litigation and inciting to strife otherwise peaceful
 To allow a lawyer to advertise his talent or skill citizens
is TO COMMERCIALIZE THE PRACTICE OF LAW
LOWER the profession in PUBLIC
CONFIDENCE and LESSEN INABILITY to render Proper or permissible advertising or solicitation
efficiently that high character of service which
every member of the bar is called  NOT ALL TYPES OF ADVERTISING ARE PROHIBITED; NOT MALUM
 Origin: practices in the Inns of Court of England young IN SE
men, in the early days of the bar, came to Inns of Court in  What makes advertising or solicitation improper?
England to STUDY in order to become barristers practically EMPLOYMENT of METHODS incompatible with the
ALL SONS of WELL-TO-DO parents who DID NOT have to TRADITIONAL DIGNITY of a lawyer AND maintenance of correct
WORRY about EARNING A LIVING and who TRADITIONALLY professional standards or the USE OF ARTIFICIAL MEANS to
LOOKED DOWN on all forms of trade and competition augment the publicity that normally results from what a lawyer
regarded law as primarily a FORM OF PUBLIC SERVICE does CLEAR DELINEATION in that regard
gaining livelihood was but a SECONDARY CONSIDERATION  Canons of profession tell the BEST ADVERTISING POSSIBLE for a
attitude became a recognized custom and tradition of lawyer is…A WELL-MERITED REPUTATION for PROFESSIONAL
legal profession brought to the US and then to the Philippines CAPACITY and FIDELITY TO TRUST which must be EARNED as the
 As a result of RECOGNITION OF PRACTICE OF LAW PRIMARLY AS OUTCOME OF CHARACTER AND CONDUCT
A FORM OF PUBLIC SERVICE legal profession acquired a o Good and efficient service to CLIENT as well as to the
certain TRADITIONAL DIGNITY COMMUNITY has a way of PUBLICIZING itself
 Proscription against advertising and solicitation AIMS to and CATCHING PUBLIC ATTENTION.
PRESERVE that DIGNITY o PUBLICITY NORMAL BY-PRODUCT of EFFECTIVE
 NEGATIVE EFFECTS OF ADVERTISING: SERVICE which is RIGHT and PROPER
o Advertising INESCAPABLY INVOLVES self-praise or o A good and reputable lawyer NEEDS NO ARTIFICIAL
puffing if permitted, conscientious and ethical STIMULUS to generate it and to magnify his success 
will unavoidably be a the mercy of the braggart easily sees the DIFFERENCE BETWEEN a…
o Advertising may also lead to ASSERTION OF  Normal by-product of able service aaaand
FRAUDULENT CLAIMS  The unwholesome result of propaganda

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 (canons of profession enumerate…) EXCEPTIONS to the RULE  Fact of listings in other reputable law
AGAINST ADVERTISING AND SOLICITATION and DEFINE THE lists
EXTENT to which they are undertaken TWO BROAD  Names and addresses of references
CATEGORIES  Names of CLIENTS REGULARLY
o EXPRESSLY ALLOWED REPRESENTED, with their written
o NECESSARILY IMPLIED FROM RESTRICTIONS consent
 Examples (pp. 33 – 36)  Law list must be REPUTABLE and published
o 1) Publication in REPUTABLE LAW LISTS in a manner PRIMARILY FOR THAT PURPOSE
consistent with standards of conduct imposed by the  Cannot be a mere supplemental feature of a
canons, of BRIEF BIOLOGICAL AND INFORMATIVE DATA paper, magazine, trade journal or periodical
 Such data must not be misleading which is PUBLISHED PRINCIPALLY for other
 May include only… purposes for that reason, a LAWYER may
 Lawyer’s name NOT PROPERLY PUBLISH his BRIEF
 Names of professional associates BIOGRAPHICAL and INFORMATIVE DATA in a
 Addresses daily paper, magazine, or society program 
 Telephone numbers NOR permit his name to be published in a law
 Cable addresses list…the conduct, management or contents of
 Branches of law practiced which are calculated or likely to DECEIVE OR
 Date and place of birth INJURY the public or the bar or to LOWER THE
 Date of admission to the bar DIGNITY OR STANDING OF THE PROFESSION
 Schools attended with dates of o 2) USE of an ORDINARY SIMPLE PROFESSIONAL CARD
graduation  Statement of name
 Degrees and other educational  Name of law firm connected with
distinction  Address
 Public or quasi-public offices  Telephone number
 Posts of honor  Special branch of law practiced
 Legal authorships o 3) PUBLICATION of a SIMPLE ANNOUNCEMENT of the
 Legal teaching positions OPENING or a LAW FIRM or of CHANGES IN
 Membership and offices in bar PARTNERSHIP, associates, firm name or office
associations and committees thereof address…being for the convenience of the profession
 Membership in legal and scientific o 4) LISTED IN TELEPHONE DIRECTORY…NOT under a
societies and legal fraternities designation of a special branch of law
o 5) A lawyer engaged in a particular branch of law and
available to act as an associate of other lawyers in that

11
specific branch of legal service may SEND TO LOCAL o 6) SEEKING OF APPOINTMENT in a PUBLIC OFFICE
LAWYER ONLY and PUBLISH in a LOCAL LEGAL (which can be filled up ONLY BY A LAWYER) is NOT
JOURNAL…a brief and dignified announcement of his solicitation within the meaning of the proscription
AVAILABILITY to SERVE OTHER LAWYERS in connection o 7) ADVERTISEMENT, in a dignified manner, seeking full-
therewith  time position as counsel for a CORPORATION
 announcement or representation  distinction between…application for such
should be in A FORM WHICH DOES NOT position w/c would take lawyer out of general
constitute a statement or practice (permitted) VS application to handle a
representation of SPECIAL EXPERIENCE particular matter while continuing general
or EXPERTNESS and practice (proscribed)
 NO REFERENCE to his supposed o **NOT IMPROPER for lawyer…
QUALIFICATIONS  8) to permit his name to be published in a law
 may NOT BE sent to persons who journal in connection with an account of a legal
are NOT LAWYERS matter of current interest, in which he is acting
 cannot be published in any publication counsel
other than in a law list or local legal  9) in a foreclosure proceeding to advertise for
journal sale, over his name, the property involved 
 nor can it be carried on his letterhead incidental part of professional service
 **When is a particular service specialized? o 10) ACTIVITY of an ASSOCIATION for the purpose of
Depends upon the EXTENT TO WHICH IT IS LEGAL REPRESENTATION as a MODE OF EXPRESSION
AVAILABLE FROM MEMBERS OF THE BAR and MEANINGFUL ACCESS TO COURTS protected
 e.g. a patent, trademark and copyright by constitution
practice is specialized legal service but o 11 the PROFFER of FREE LEGAL SERVICES to the
NOT A SERVICE of preparing brief or INDIGENT, eve when broadcast over the radio or
rendering legal opinion (the other being tendered through circulation of printed matter to the
a normal service of a general general public defense of indigents citizens
practitioner without compensation carried throughout the country
 fact that lawyer is engaged in a by lawyers representing legal aid societies not only
specialized service DOES NOT EXEMPT with approval but with commendation of those
HIM from complying with the rules and acquainted with the work
ethics of the profession NOR does it  the rule of proscribing advertising or solicitation of business is
justify the solicitation of employment AIMED AT COMMERCIALIZATON OF THE PROFESSION (and has
from one lawyer to another on a to do with the effort to obtain remunerative business)
reciprocal basis
  NEVER AIMED at a situation in which a group of lawyers will furnish free legal advice to its
announce that they are willing to devote some of their time members
and energy to the interests of indigent citizens.  Giving of advice on legal matters through a newspaper column,
radio, television broadcast is IMPROPER
o Cannot be undertaken by a layman because the service
Writing legal articles constitutes a practice of law
o Cannot be undertaken by lawyer because work involves
 An attorney “may WITH PROPRIETY write articles for INDIRECT ADVERTISING, VIOLATION of CONFIDENTIAL
publications in which he gives information upon the law; but HE RELATION of ATTORNEY AND CLIENT, and a breach of
SHOULD NOT ACCEPT EMPLOYMENT FROM SUCH traditional standards of the profession
PUBLICATIONS TO ADVISE INQUIRIES in respect to their
o **writing a column in a newspaper sooner or
individual rights” late WILL VIOLATE ETHICAL PRINCIPLES readers
 WITHIN THE PRESCRIPTION OF THIS CANON… don’t
o Lawyer may properly write and sell for publication want a general discussion but something practical they
ARTICLES OF A GENERAL NATURE ON LEGAL SUBJECTS can apply to their own experience which is what
o Send upon request his picture for publication with the publishers will make sure that they get…and a lawyer
article in a law journal answering that is apt to follow what he thinks his
o Or submit for publication to a bar association journal an readers want to hear about and to answer the personal
unsolicited article on a legal subject problem he sees behind the questions
 What should be guarded against is…the violation of ethical
principles concerning:
o A) improper advertising by a lawyer Engaging in business or other occupation
o B) giving of legal advice to one with whom no attorney-
client relationship exists  NOT UNCOMMON to combine law practice with some other
o C) aiding of a layman to engage in unauthorized practice lawful occupation
of law  Fact that one is a lawyer DOES NOT PRECLUDE HIM FROM
 **e.g. lawyer may not… ENGAGING in business NOT NECESSARILY IMPROPER
 counsel for a banker’s association  IMPROPRIETY arises when BUSINESS is of such nature or in such
 write a legal bulletin to be issued to the manner as to be INCONSISTENT with lawyer’s duties as a
member member of the bar…
 allow his name to be carried in a  Such INCONSISTENCY arises when business is one that will
magazine representing that he is an READILY LEND ITSELF as a MEANS of procuring
attorney for a named organization and professional employment for him cloak for indirect
solicitation
 To AVOID SUCH INCONSISTENCIES, always desirable and
usually necessary that lawyer KEEPS BUSINESS IN WHICH HE IS
 ENGAGED IN…SEPARATE AND APART FROM HIS PRACTICE OF with causes in which the lawyer has been or is engaged
THE LAW…must, in any event, conduct it with due observance
of the standards of conduct required of him as a lawyer
 MUST MAKE IT CLEAR TO CLIENT IF HE IS ACTING AS A LAWYER
or IN ANOTHER CAPACITY
 Businesses so closely related to the practice of law…may readily
become means of indirect solicitation:
o Adjustment of claims
o Incorporating of companies
o Handling of matters before governmental commissions
and boards and in government offices
o Collection agency
o Real estate brokerage
o Insurance agency
o Mortgage service
o Tax service
o Consultancy
 **If any of these and similar business and the lawyer’s law
practice are CONDUCTED IN THE SAME OFFICE, the public could
NOT be expected to distinguish his dual capacities and know
when he is acting as a lawyer or a layman.

Rule 3.01 - A lawyer shall not use false statements regarding his
qualification or service

A lawyer shall not use or permit the use of any false, fraudulent,
misleading, deceptive, undignified, self-laudatory or unfair statement or
claim regarding his qualifications or legal services.

 he should not resort to indirect advertisements such as

o furnishing or inspiring newspaper comments
o procuring his photograph to be published in connection
 o or concerning the manner of their conduct, magnitude legal
of interest involved, importance of the lawyer’s
position AND OTHERS LIKE SELF-LAUDATION
(other examples of improper advertising or solicitation) <pp. 38-39>

o use of card: “as a notary, he can <do this and that

for you>, as a lawyer <he can do this and that for
you>. Come or write to him…Offers free
consultation and is willing to help the poor”
o causing to be published in newspaper the ff ad:
“marriage license….consultation on matter free to
poor. Everything confidential. Legal assistance
service.”
o Distribution of a diary or appointment book which
has an attorney’s card printed on the cover
o Or of a circular concerning specific fields of law in
which a lawyer will engage in
o Or containing a digest of laws on a particular
subject with lawyer’s name and address
o Posing for photos of incidents connected with case
lawyer is handling photos to be used as
illustrations in a newspaper article securing
photos with name, address and vocation…to be
published by paying cost thereof;
o Or newspaper’s repeated publication of a
laudatory announcement regarding the attorney
o Procuring a lawyer’s name to be written in an
automobile insurance or other policy… WITH
DIRECTION to the insured to contact attorney incase
of accident (or other real probable liability under the
policy)
o Using in his letterhead the phrase “remedial law”
o Subscribing to a booklet as the condition for
the inclusion of his biography therein
o Furnishing credit reports to an agency in return for
promise of future employment” and offering free
 services to an association with expectation of ultimately be admitted or held out as a member
profiting thereby
o Accompanying an announcement of the opening or
transferring of a law office with statement that
members INTEND TO SPECIALIZE IN CERTAIN TYPES OF
LEGAL WORK
o Announcing retirement of a lawyer from a gov’t office
with statement telling resumption of practice of law
describing his experience and EXTOLLING HIS ABILITY
o Publishing a professional card in a newspaper
o Requesting business from other lawyers seeking
employment…
o a newspaper ad “secret marriage. Php560 for valid
marriage…info on guam divorce…free books…
immigration…visa…call marivic”
 above illustrations IMPROPER ADVERTISING
OR SOLICITIATION in unmistakeable terms…
 where to draw the line? There are always honest differences of
opinion as to WHAT IS IDEAL or IMPROPER in advertising or
solicitation question of good faith and good taste 
common sense and spirit of fairness, if no judicial guideline,
should be RELIED UPON in determining the question

Rule 3.02 - A lawyer shall not use false or misleading firm name

In the choice of a firm name, no false, misleading or assumed name

shall be used. The continued use of the name of a deceased partner is
permissible provided that the firm indicates in all its communications
that said partner is deceased.

 partnership among lawyers ins common

 in the formation of partnership non-lawyer should
  in group of lawyers should hold themselves as lawyers if o Reason: public office is a public trust
not partnership actually exists
 DECEASED PARTNER, keep name as long as communication
indicate partner is deceased reason of keeping name: all
partners by their joint efforts over a period of years
contributed to the goodwill attached to the firm name
this GOODWILL is disturbed by a change in firm name
every time a partner dies
 Name of law firm need not identify individual
members of the firm
 Continued use of firm name after death of partner NOT
A DECEPTION
 Filipino lawyers cannot practice law under the name of a
foreign law firm (dacanay vs baker and mckenzie: local firm
associated with baker…highest quality to multinational
businesses…)  UNETHCIAL because foreign law firm can
NOT practice here  use of their firm name in Phils ins
unethcial

Rule 3.03 - A partner who accepts public office should withdraw

from the firm; exception

Where a partner accepts public office, he shall withdraw from the

firm and his name shall be dropped from the firm name unless the
law allows him to practice law concurrently.

 Purpose of rule:
o PREVENT LAW FIRM from using his name to attract
legal business
o To avoid suspicion of undue influence
 General rule: appointment or election of attorney in gov’t
office DISQUALIFIES him from engaging in PRIVATE PRACTICE
of law
  Perform duties with highest degree of  APPEARANCE – arguing case and filing a
responsibility, integrity, loyalty and efficiency pleading on behalf of a client (filing a formal
and EXCLUSIVE FIDELITY motion, plea or answer
 Preserve the public trust in a public office o Senator or congressman
 Avoid conflict of interests or possibility thereof  CAN NOT FILE PLEADINGS
 Assure people of impartiality in the  CAN NOT allow his name to appear in such
performance of public functions pleadings BY ITSELF or AS PART OF A FRIM
 Promote public welfare NAME under the signature of another qualified
 Public officials ABSOLUTELY PROHIBITED from engaging in lawyer (bec signature of an agent amounts to a
PRIVATE PRACTICE OF LAW or GIVING PROFESSIONAL ADVICE signing by “non-qualified” senator or
TO CLIENTS as members of the bar congressman) by such act “APPEARS”
o Judges and other officials or employees of the courts before a court or quasi-judicial or
o Office of the solicitor general and of other administrative body
government prosecution offices violation of constitutional prohibition 
o President, vice-president, and members of the cabinet what is prohibited directly is prohibited
and their deputies and assistants indirectly
o Members of constitutional commissions  Name should accordingly be dropped from firm
o Civil service officers or employees WHOSE DUTIES AND name…of whch he is name partner, whenever
RESPONSIBILITIES require that their entire time be at firm files pleading on behalf of client.
the disposal of the government  LOCAL CHIEF EXECUTIVES (governors, city and
o **when any one of these officials is appointed or municipal mayors) CAN NOT ENGAGE in the
elected and has qualified…he CEASES, as a general rule, PRACTICE LAW
to engage in the private practice of law and HIS RIGHT o Under LGC, prohibited from practicing their profession
TO PRACTICE IS SUSPENDED DURING HIS TENURE OF or engaging in any occupation OTHER than the exercise
OFFICE of their functions a LOCAL CHIEF EXECUTIVE
 LAWYER MEMBER OF LEGISLATURE NOT  MEMBERS OF SANGGUNIAN may engage in the practice
ABSOLUTELY PROHIBITED of law EXCEPT
o Only prohibited from appearing as “counsel before any o Not appear as counsel before any court in any civil
court of justice or before the electoral tribunals, or case…wherein LGU or any office, agency, or
quasi-judicial and other administrative bodies” (1987 instrumentality of the gov’t is the ADVERSE PARTY
more restrictive than 1973 constitution) o NOT appear as counsel in any CRIMINAL CASE…wherein
o What is prohibited? APPEARANCE in court and other the officer or employee of the national or local gov’t is
bodies accused of an offense committed in relation to his office
o NOT COLLECT ANY FEE for their appearance in
ADMINISTRATIVE PROCEEDINGS involving the LGU
of which he is an official
 o NOT use property or personnel of government EXCEPT corporate) lawyer who violates rule or makes possible
when sanggu member concerned is defending the illegal practice of law by layman is LIABLE FOR CONTEMPT and
interest of the gov’t may be DISCIPLINED, SUSPENDED or DISBARRED for
 CIVIL SERVICE OFFICER OR EMPLOYEE whose duty or misconduct as an officer of the court
responsibility does NOT REQUIRE his entire time to be at the  LEGAL REMEDIES to suppress the unauthorized practice of law
disposal of the government may NOT ENGAGE in the o Petition for injunction
PRIVATE PRACTICE of LAW WITHOUT the written permit from o Petition for declaratory relief
the head of the department concerned with the permit, o Petition for contempt of court
he can engage in the practice of law o Petition for disqualification
 GOV’T OFFICIAL who, by express mandate of law, are o Complaints for disbarment
PROHIBITED from practicing law EVEN WITH THE o Aaaand criminal complaints for estafa (as mentioned
CONSENT OF THE DEPARTMENT CONCERNED…MAY NOT earlier)
ENGAGE in the practice of law **he may, in an isolate o ****Any of these proceedings may be initiated by
case, act as counsel for a RELATIVE or CLOSE FAMILY FRIEND AGGRIEVED or INTERESTED PARTY or by a BAR
 DISBARRED ATTORNEY until his readmission or a SUSPENDED ASSOCIATION
LAWYER during his suspension PROHIBITED from engaging o with reference to APPEARANCE of an ATTORNEY who,
in the practice of law by virtue of his gov’t position, is DISQUALIFD from
o Any such person who practices law or assumes to be engaging in the private practice of law, ADVERSE PARTY
a lawyer contempt of court punishable by MAY ASK FOR DISQUALIFICATION
FINE, IMPRISONMENT, or BOTH (discretion of court)
 Fact that a person SIGNS a COURT PLEADING as an agent of a Rule 3.04 - A lawyer shall not seek media publicity
litigant or HOLDS HIMSELF out as a lawyer in association with
a duly licensed attorney will NOT EXEMPT HIM from liability
A lawyer shall not pay or give anything of value to representatives of
for unauthorized practice he cannot do INDIRECTLY what
he cannot do DIRECTLY. the mass media in anticipation of, or in return for, publicity to attract
 Unauthorized practice of person assuming to be attorney causes legal business.
damage (even if successful in litigation) ESTAFA
 GOV’T OFFICIAL forbidden to practice law may be held
CRIMINALLY LIABLE for doing so  media publicity as a NORMAL BY-PRODUCT of EFFICIENT LEGAL
 Officer or employee of civil service, without written permit of SERVICE NOT IMPROPER
dept. head concerned administratively liable  what’s improper? Lawyer resorts to ADROIT PROPAGANDA to
 ETHICS of legal profession FORBID ATTORNEY from permitting secure media publicity for the purpose of attracting legal
his professional services or his name to be used in business
UNAUTHORIZED PRACTICE OF LAW by lay agency (personal or  PURPOSE: prevent lawyers from GAINING UNFAIR ADVANTAGE
over others through the use of GIMMICKRY, PRESS
AGENTRY or OTHER ARTIFICIAL MEANS
  ALSO PROHIBITS…making indirect publicity gimmick CANON 5 - A LAWYER SHALL KEEP ABREAST OF LEGAL DEVELOPMENTS,
o Furnishing or inspiring newspaper comments PARTICIPATE IN CONTINUING LEGAL EDUCATION PROGRAMS, SUPPORT
o Procuring his photo to be published in connections with EFFORTS TO ACHIEVE HIGH STANDARDS IN LAW SCHOOLS AS WELL AS
cases he is handling
IN THE PRACTICAL TRAINING OF LAW STUDENTS AND ASSIST IN
o Making a courtroom scene to attract the attention of
newspapermen DISSEMINATING INFORMATION REGARDING THE LAW AND
Or arranging for the purpose of an interview with him by media people JURISPRUDENCE.

E. PARTICIPATING IN LEGAL DEVELOPMENT Rule 5.01 Continuing Legal Education

 Lawyers in the active practice of law and JUDGES…should put

this to heart
CANON 4 - A LAWYER SHALL PARTICIPATE IN THE DEVELOPMENT OF
 BOUNDEN DUTY OF COUNSEL in ACTIVE PRACTICE to KEEP
THE LEGAL SYSTEM BY INITIATING OR SUPPORTING EFFORTS IN LAW
ABREAST of…
REFORM AND IN THE IMPROVEMENT OF THE ADMINISTRATION OF o Decisions of SC
JUSTICE. o Changes in the law
 IMPERATIVE that JUDGES should be conversant with…
o basic legal principles
 Not a STRICT duty but a DUTY that flows from lawyer’s SENSE o Changes in the law
OF RESPONSIBILITY o Latest decisions and precedents
 Improvement can not be done by dreaming in a vacuum   Active practice of law and service in judiciary REQUIRE
lawyer must RECOGNIZE that LAW IS PART OF A VAST SOCIAL continuous study and research on law form beginning to end
NETWORK whether he likes it or not, he has to interact  If neglect/fail to do so can not competently and diligently
with the rest of society thus NEED for lawyer to discharge obligations as lawyer and judge; May be susceptible
TRANSCEND THE NARROW LIMITS OF TECHNICAL LAW to mistakes
 Law and social fabric intricately woven…legal  Legal education should be a CONTINUING CONCERN
profession cannot afford to CONFINE ITSELF TO NARROW  After admission to practice, lawyer incurs a 3-FOLD OBLIGATION
st
LIMITS of TECHNICAL LEGAL QUESTIONS o 1 - owes it TO HIMSELF… to continue improving his
 Lawyer must BROADEN OUT and CONTINUE TO GROW…in knowledge of the law
nd
KNOWLEDGE and COMPETENCE…in order to be able to make o 2 - owes it TO HIS PROFESSION…to take an active
law SOCIALLY RESPONSIVE interest in the maintenance of high standards of legal
obligation
 rd
o 3 – owes it TO THE LAY PUBLIC…to make the law a
part of its social consciousness
 o ** in the discharge of such duties, he must see to it that  A public prosecutor is quasi-judicial officer who represents the
his activities do not develop into solicitation of legal sovereignty whose obligation is to govern impartially
business or popularity-hunting  As a public prosecutor, the primary goal is not to reach conviction of
 CONTINUING LEGAL EDUCATION is REQUIRED of MEMBERS of the accused to but to ensure that justice prevail through any
the IBP to ENSURE that throughout their career, legitimate means
o they keep abreast with LAW AND JURISPRUDENCE,  Prosecutor should maintain the impartiality of his office, and should
o maintain the ethics of the profession and strictly adhere to conduct that would protect the same from being a
o enhance the standards of the practice of law pawn of political wills
 IBP to achieve such purpose…
o Members of the IBP not exempt under Rule 7… ROLE OF PRIVATE PROSECUTOR
o Shall complete every 3 years
o At least 36 hours of continuing legal education  The role of the private prosecutor is to represent the offended party
activities in a civil action for the recovery of civil liability arising from a crime,
o With appropriate penalties if they fail to do so NOT to seek punishment for the crime
In accordance with Rules on MCLE  The offended party and the private prosecutor can intervene in the
criminal proceedings in order to demand civil liability except in the
following cases:
1. When the crime does not give rise to a civil liability
F. APPLICABILITY OF CODE TO GOVERNMENT
2. When the offended party has waived his right to civil liability or to
LAWYERS institute a separate civil action
3. When the offended party has instituted a separate civil action

CANON 6 - THESE CANONS SHALL APPLY TO LAWYERS IN GOVERNMENT INTERVENTION OF PRIVATE LAWYER SUBJECT TO PROSECUTOR’S
CONTROL
SERVICE IN THE DISCHARGE OF THEIR OFFICIAL TASKS.
 For courts which have their own prosecutors (unlike municipal
courts), when the active conduct of the trial is turned over by the
 Code applies to lawyers in government service because they do not prosecutor to a private prosecutor, any evidence presented during
shed their obligations upon assuming public office – in fact their at that time cannot be used as evidence for the criminal
moral transgressions are more severely magnified in the public eye proceedings IF the public prosecutor AND his assistant AND a
because of their double obligation as public servants and lawyers special authorized counsel are all absent
 Government lawyers may be held administratively liable for breach  However, private prosecutors may be authorized in writing by the
of Code Chief of the Prosecution Office to conduct legitimate criminal trials
when the public prosecutor is unavailable
 Offended party cannot take a stand opposite to that of the public during his tenure as a public official, except on behalf of this same
prosecutor and neither can he revive a case dismissed upon motion public office he once held
of the latter

WHEN PUBLIC PROSECUTOR SHOULD TAKE OVER HANDLING OF CASE

 Public prosecutor should not allow criminal proceedings to be

hijacked by private prosecutors into becoming trials purely for the
satisfaction of private malice

Rule 6.02 - A lawyer in the government service shall not use his public
position to promote his private interest

A lawyer in the government service shall not use his public position to
promote or advance his private interests, nor allow the latter to
interfere with his public duties.

 If law allows a government lawyer to practice, he must not use

public position for gains in his private practice
 If the law does not allow him to practice, he must not be a silent
partner in a firm, and must not receive attorney’s fees for securing
businesses for an associate
 He must not even give the image that his public and private
functions interfere or benefit each other

Rule 6.03 – Former official may not accept certain employment

A lawyer shall not, after leaving government service, accept
engagement or employment in connection with any matter in which he
had intervened while in said service.

After leaving government service, a lawyer cannot accept ANY

employment connected with any matter he may have intervened in
20
CHAPTER II. THE LAWYER AND THE LEGAL 6. Possess the educational qualifications
7. Pass the bar examinations
PROFESSION

A. UPHOLDING INTEGRITY OF PROFESSION

CANON 7 - A LAWYER SHALL AT ALL TIMES UPHOLD THE INTEGRITY AND

DIGNITY OF THE LEGAL PROFESSION AND SUPPORT THE ACTIVITIES OF
THE INTEGRATED BAR.

 Apart from doing the bar proud by dispensing of their duties with
diligence and integrity, lawyers should also actively support
activities of the IBP and should not limit himself to the payment of
dues #pushthelimit #hardsell
 The IBP seeks to foster justice, integrity, learning, competence,
public service, cordiality etc.

Rule 7.01 – A person shall make no false statement in his application for
admission to the bar

A lawyer shall be answerable for knowingly making a false statement or

suppressing a material fact in connection with his application for
admission to the bar.

 Every student applying for admission into the practice of law must
be:
1. A citizen of the Philippines
2. A resident of the Philippines
3. At least 21 years of age
4. A person of good moral character
5. Free of charges involving moral turpitude
21
8. In fulfilment of other requirements which the SC may deem fit
to impose

CITIZENSHIP AND RESIDENCE (because aliens can’t maintain

allegiance to Philippines and to our administration of justice)

GOOD MORAL CHARACTER

 Continued standard even after the bar because, is a ground not

just for non-admission to the bar, but also for cancellation of
license
 Requirement maintains high moral standard and dignity of the
legal profession
 Moral character refers to the objective reality of what a
person actually is, as opposed to what people perceive him to be
o Basic honesty
o Deference to moral norms
o Loss of good moral character does not necessarily hinge upon
committing a crime

EDUCATIONAL QUALIFICATIONS

 Public policy requires education and degree of proficiency for

proper practice of law and for proper protection of life, liberty,
and property
 Applicant must have completed the following in an authorized
university or school:
1. 4-year high school course
2. Bachelor’s degree for arts or science (focus on political science,
logic, English, Spanish, history, economics)
3. Bachelor’s degree in law (with civil, commercial, remedial,
criminal, public int’l, private int’l, political, labor, social
legislation, medical, taxation law and legal ethics)

DISCLOSURE OF INVOLVEMENT IN ANY CRIMINAL CASE

 Ensure that applicant is of good moral character

22
 Whether or not a crime imputed upon the applicant involves moral  But mere sex without any impediments to marriage, and having a
turpitude is up to the SC to decide child out of wedlock is not grossly immoral and does not warrant
 Concealment of a crime, even if it is not one involving moral discipline UNLESS lawyer disowns child or refuses to support him or
turpitude, makes the applicant morally unfit to become a lawyer her
CONVICTION OF CRIME INVOLVING MORAL TURPITUDE
Rule 7.02 - A lawyer shall not support unqualified applicant to the bar
 Essentially any crime with fraud or deceit inherently contrary to
conduct, honesty, or morality involve moral turpitude
A lawyer shall not support the application for admission to the bar of  Results in suspension or disbarment
any person known by him to be unqualified in respect to character,
education, or other relevant attribute. COMMISSION OF FRAUD OR FALSEHOOD
 Administrative disciplines for frauds committed in private affairs
 Shows lawyer’s unfitness to be trusted with the legal business
 Must not execute a certificate of good moral character in favour of  Includes false deeds of sale, simulated contracts, falsification of
an applicant whom he knows has not lived up to such standard power of attorney, etc.
 Volunteer information and cooperate in investigations concerning
anomalies among bar candidates
B. LAWYER’S RELATION WITH OTHER LAWYERS

Rule 7.03 – A lawyer shall always conduct himself ethically and

morally A lawyer shall not engage in conduct that adversely reflects CANON 8 - A LAWYER SHALL CONDUCT HIMSELF WITH COURTESY,
on his fitness to practice law, nor shall he, whether in public or FAIRNESS AND CANDOR TOWARD HIS PROFESSIONAL COLLEAGUES,
private life, behave in a scandalous manner to the discredit of the AND SHALL AVOID HARASSING TACTICS AGAINST OPPOSING COUNSEL.
legal profession.

 Lawyer should be an exemplar for others to emulate GROSSLY immoral

 No acts or omissions against the law  Seduction, concubinage, bigamy = ALL BAD
 No acts contrary to justice, modesty or good morals
 No acts of depravity in private or social duties

GROSS IMMORALITY REFLECTIVE OF UNFITNESS TO PRACTICE

 Personal immorality in private relations with the opposite sex

(#heteronormative) puts his moral character in doubt
 For an act to justify suspension and disbarment, act must be
In general.
Membership in the bar imposes upon lawyers certain obligations to
one another, which makes the practice of law a profession:
1) Observance of honorable, candid, and courteous dealings
with other lawyers;
2) Fidelity to known and recognized customs and practices of
the bar.
Candor, fairness and truthfulness. one gentleman to another.
A lawyer should not ignore recognized customs and practices of the
bar. He has a duty to restrain clients from improprieties and to
terminate his relation with client who persists in wrongdoing.
A lawyer should not avoid performance of an agreement that was
made fairly. If status quo of a pending case was agreed upon to be
preserved, a lawyer should not disturb or change the status quo
without informing court and counsel. Excusable unpreparedness or
absence of counsel during trial of a case should not be taken
advantage of by a lawyer; nor should a lawyer make use of secrets of
the opposing party acquired through inadvertence for his or client’s
benefit. If a lawyer has a family relationship with counsel for the
opposing party, he should withdraw from case if he inadvertently
gets information about the opposing party.
A lawyer who thinks a case is weak may not criticize the lawyer who
accepts it, much less attribute to him evil motive for taking up the
client’s cause.
A lawyer may accept employment to compel another lawyer to honor
the just claim of a layman. His action toward such end, as writing a
letter of demand to the lawyer, is not unethical since it is mere honest
effort to serve the interest of the client.

Rule 8.01 – A lawyer shal use temperate language

A lawyer shall not, in his professional dealings, use language which is

abusive, offensive or otherwise improper.

His arguments, written or oral, should be gracious to both the court and
the opposing counsel, and be of such words used to properly address
 A lawyer should not steal another lawyer’s client nor induce the client
“Do as adversaries do in law: strive mightily but eat and drink as to retain him by promise of better service, good result or reduced fees
friends.” Whatever may be the ill-feelings between the clients for his services. Neither should he disparage another, make
should not influence counsel in their conduct and demeanor toward
each other, and that lawyers should scrupulously avoid all
personalities and personal history or personal peculiarities and
idiosyncrasies of the other.

The fact that one lawyer conducts himself improperly does not
relieve another from professional obligation in relation with him,
which should enable the erring lawyer to realize the impropriety of
his actions.
Unjustified recriminations and offensive personalities between
lawyers detract from the dignity of the legal profession and
constitute highly unprofessional conduct subject to disciplinary
action.

“The highest reward that can come to a lawyer is the esteem of his
professional brethren.”
Rule 8.02 - A lawyer shall not encroach upon the business of another

A lawyer shall not, directly or indirectly, encroach upon the

professional employment of another lawyer; however, it is the right
of any lawyer, without fear or favor, to give proper advice and
assistance to those seeking relief against unfaithful or neglectful
counsel.

Efforts, direct or indirect, in any way to encroach upon the

professional employment of another lawyer, are unworthy of a
lawyer.
comparisons or publicize his talent as a means to further his law Association as a colleague in a case.
practice. A client’s proffer of assistance of additional counsel should not be
regarded as evidence of want of confidence but the matter should
It is, however, the right of a lawyer, without fear or favor, to give proper be left to the determination of the client.
advice to those seeking relief against unfaithful or neglectful counsel. A A lawyer retained as additional counsel (second lawyer) should first
lawyer may accept employment to handle a matter previously handled communicate with the original counsel (first lawyer) before making
by another lawyer, provided that the other lawyer has been given notice an appearance in a case. Should the first lawyer object, the second
of termination of service. lawyer should decline association, but if the first lawyer is relieved,
second lawyer may come into the case.
The notice will enable the lawyer to be changed (first lawyer) to assert
and protect his rights to compensation that he can claim or possess. When there is conflict of opinions between two lawyers jointly
Without such notice, the replacing (second) lawyer shall only appear associated in a case, the client should decide. The client’s decision
once he has obtained conformity or has, at the very least, given should be accepted unless the nature of the difference makes it
sufficient notice of contemplated substitution to the first lawyer. impracticable for the lawyer whose judgment has been overruled to
cooperate effectively. In this event, it is the lawyer’s duty to ask client to
A lawyer’s appearance in the case without notice to the first lawyer relieve him/her.
amounts to an improper encroachment upon the professional
employment of the original counsel.
C. PREVENTING UNAUTHORIZED PRACTICE OF LAW
Negotiation with opposing party.
A lawyer should not, in the absence of the adverse party’s counsel,
interview the adverse party and question him as to the facts of the CANON 9 - A LAWYER SHALL NOT, DIRECTLY OR INDIRECTLY, ASSIST IN
case even if the adverse party was willing to do so. Neither should a THE UNAUTHORIZED PRACTICE OF LAW.
lawyer sanction the attempt of his client to settle a litigated matter
with the adverse party without the consent nor knowledge of the
latter’s counsel. In general.
Canon 9 requires that a lawyer should know what practice of law is,
who are entitled to practice, and what constitutes unauthorized
practice.
Practice of law, generally. cannot be said to be engaged in the practice of profession as a
The term “practice of law” is incapable of exact definition, and lawyer.
whether a particular activity comes within the meaning of the term
depends upon the circumstances of the case. The court, however, Characteristics of term “practice of law.”
has laid down general principles and doctrines to explain the The term “practice of law” implies customarily or habitually holding
meaning and scope of the term. oneself out to the public as a lawyer, for compensation as a source
of livelihood or in consideration of his services. Appearance as
Generally, to engage in the practice of law is to do any acts counsel in one occasion is not conclusive as determinative of
characteristic of the legal profession. It includes any activity, in or engagement in the practice of law. An isolated appearance,
out of court that requires the application of law, legal principle, however, may amount to practice in relation to the rule that
practice or procedure, and calls for legal knowledge, training and prohibits some persons from engaging the exercise of the legal
experience. It is not limited to the conduct of cases in court, but profession, such as that in the Art. VI, Sec. 14 of the 1987
includes legal advising and counseling, and preparation of legal Constitution.
instruments and contracts by which legal rights are secured.
Representation before the court.
In the practice of the legal profession, a lawyer engages in three The practice of law as customarily understood is the rendering of
principal types of professional work: service to a person, natural or juridical, in a court of justice on any
1) Providing legal advise and instruction to clients to inform matter pending therein through its various stages and in accordance
them of their rights and obligations; with established rules of procedure. It includes:
2) Preparing for clients documents requiring knowledge of legal
1) Appearance before the court
principles not possessed by laymen;
2) Preparation and filing of pleadings, motions, memoranda or
3) Appearing for clients before public tribunals that posses
briefs for an action or proceeding in court
power and authority to determine the rights of life, liberty
3) Conduct of litigation, such as:
and property according to law, in order to assist in the a. Determination of procedural steps to be taken
proper interpretation and enforcement of law. b. Examination of witness
c. Presentation of evidence or exhibits
Engaging in the practice of law presupposes the existence of an 4) General management and control of proceedings in court
attorney-client relationship; where a lawyer undertakes an activity
requiring knowledge of law but involves no attorney-client Representation before other agencies.
relationship, such as teaching law or writing books/legal articles, he The appearance before any quasi-judicial, administrative or
legislative agency, which includes interpretation and application of
 laws and presentation of evidence to establish certain facts, Persons entitled to practice law, generally.
constitutes practice of law. Only those who are competent, honorable and reliable may practice
law, and every lawyer must pursue only the highest standards in the
The service to prepare and prosecute a just claim before a quasi- practice of his calling.
judicial or administrative agency is as legitimate as the service
rendered in court in arguing a cause. The character of the service, Any person who has been duly licensed as a member of the bar in
and not the place where it is performed, is the decisive factor in the accordance with the statutory requirements, and who is in good
question of whether the service constitutes a practice of law. and regular standing is entitled to practice law.

Activity outside of court. Two basic requirements that must be complied with before a
The practice of law also includes work performed outside of court, person can engage in the practice of law:
such as giving of legal advice on a large variety of subjects, and 1) Must have been admitted to the bar, which involves various
preparation and execution of legal instruments covering an extensive phases consisting of:
field of business and trust relations and other affairs. No valid a. Furnishing satisfactory proof of educational, moral,
distinction can be drawn between that part of the work of a lawyer and other qualifications;
involving appearance in court, and that of a lawyer drafting legal b. Passing the bar examinations;
c. Taking the lawyer’s oath before the Supreme Court;
instruments in his office.
d. Signing the roll of attorneys and receiving from the
Supreme Court clerk of court a certificate of the
In Cayetano vs. Monsod, particularly J. Padilla’s dissent sums up the license to practice.
criteria determinative of engaging in the practice of law:
1) Habituality – more than an isolated appearance 2) After admission to the bar, must remain in good and regular
2) Compensation – for rendering of professional legal services standing– a continuing requirement, which means that a
3) Application of law, legal principle, practice or procedure – lawyer must:
calls for legal knowledge, training or experience a. Remain a member of the Integrated Bar of the
4) Attorney-client relationship –existence of which is necessary Philippines (IBP);
to claim practice of law b. Regularly pay all IBP membership dues and other
lawful assessments, as well as the annual privilege tax;
c. Faithfully observe the rules and ethics of the legal
profession;
d. Be continually subject to judicial disciplinary control.
 These rules were designed to admit only those who are adequately Constitution. No court or court-martial can deny a lawyer without
prepared mentally and morally to discharge the duties of an valid statutory limitation or grounds for disqualification, the right to
attorney, and to exclude to perform those who cannot live up to its appear before it in representation of a client. A quasi-judicial or
exacting standards. administrative agency cannot restrict privilege to practice law by
imposing discriminatory conditions, nor by requiring the passing of
Right and privilege to practice. an examination that is not sanctioned by law to be able to appear
The practice of law is not a natural, property or constitutional right, before such agency. In this sense, the practice of law is a right that
but a mere privilege. It is not a right granted to any one who cannot be lightly or capriciously restricted or taken away.
demands it, but a privilege to be extended or withheld in the
exercise of a sound judicial discretion. It is in a nature of a franchise Practice without admission.
conferred only for merit, and which must be earned by hard study, To a certain extent, some persons not duly licensed to practice are
learning, and good conduct. It is a privilege accorded only to those allowed limited representation on behalf of others. A layman of
who measure up to certain rigid standards of mental and moral good repute for probity and ability is permitted by the Supreme
fitness, which are neither dispensed with nor lowered after Court to appear for another, but only in the municipal or
admission to the bar. metropolitan trail court; and he cannot, even in a single occasion,
represent another in any other court, nor can he be appointed by
As an officer of the court, he is continually accountable to the court any court other than a municipal trial court, to aid a defendant in his
for the manner in which he exercises the privilege of practicing law, defense, in the absence of authority from the Supreme Court.
which should be suspended or terminated if he is no longer fit or
safe to be entrusted with the responsibilities and obligations of a These are the rules for a layman in representing another in court:
lawyer. 1) A layman should confine his work to non-adversary
contentions, and should not undertake purely legal work
Although the practice of law is a privilege, a lawyer cannot be (such as cross-examination of witnesses or presentation of
prevented from practicing law except for valid reasons. As long as a evidence);
2) A layman should not render representation habitually (see
lawyer is in good behavior, he cannot be deprived of the privilege;
previous paragraph), as habitually is a condition of a valid
unless he commits misconduct ascertained and declared by court
practice of law;
judgment after due process. 3) A layman should not charge or collect attorney’s fees, as
there cannot exist an attorney-client relationship.
The state cannot exclude a lawyer from practicing law for reasons
that contravene the due process or equal protection clause of the
 A layman who engages in practice of law may be held liable for A lawyer’s responsibilities and qualifications are individual, hence his
unauthorized practice. relation to a client is personal and his responsibility is direct.
Intervention by any lay agency, personnel or corporate, between
Right of party to represent himself. lawyer and the client is forbidden. He should avoid all relations
An individual may be permitted to manage, prosecute and defend his which direct the performance of his duties by or in the interest of
own actions, but his representation on behalf of himself is not such intermediary.
considered to be a practice of law. “One does not practice law by
acting for himself any more than he practices medicine by rendering A lawyer’s employment should not include the rendering of legal
first aid to himself.” services to members of an organization in respect to their individual
affairs; however, a charitable society rendering aid to the indigent is
In criminal cases involving grave and less grave offenses, a layman not an intermediary within the meaning of the rule.
must always appear with counsel; he cannot conduct his own
defense, as his right to counsel may not be waived without Preventing unauthorized practice of law.
violating his right to due process of law. Public policy requires that the practice of law be limited to those
individuals found duly qualified in education and character. The
A juridical person must always appear in court represented by a permissive right conferred on the lawyer is an individual and limited
duly licensed member of the bar, except in the municipal trial court privilege subject to withdrawal if he fails to maintain proper
where a layman may represent it. standards of moral and professional conduct. The purpose is to
protect the public, the court, the client, and the bar from
Practice by corporation. incompetence and dishonesty of those unlicensed to practice law
A corporation or juridical entity cannot engage in the practice of law and not subject to the disciplinary control of the court.
in representation of others, but may hire an attorney to attend to The law makes it a misbehavior on the part of a lawyer to aid a layman
and conduct its own legal business or affairs. in the unauthorized practice of law. A person not admitted to the bar
may not hold himself out to the public as engaged in the practice of
Intervention of intermediary. law, either alone or as associated with a practicing attorney under a
A lawyer’s duty not to assist, directly or indirectly in the firm name. (US v. Ney (1907)
unauthorized practice of law prohibits him from allowing an
intermediary to intervene in the performance of his professional
obligations.
Rule 9.01 - A lawyer shall not delegate legal work to non-lawyers retirement plan, even if the plan is based in whole or in part, on a
profitable sharing arrangement.
A lawyer shall not delegate to any unqualified person the performance
of any task which by law may only be performed by a member of the
Bar in good standing.

A lawyer should not delegate to a layman any work that involves the
application of law, such as:
1) The computation and determination of the period within
which to appeal and adverse judgment;
2) Examination of witnesses and presentation of evidence.

A lawyer may employ secretaries, investigators, detectives, and

researchers, as long as they are not involved in the practice of law,
such as not writing of pleadings, appearing in court, etc. He may also
employ law students to do lawyer’s work, such as examination of
case laws, finding and interviewing witnesses, examining court
records, delivering papers, and other similar matters.

Rule 9.02 - A lawyer shall not divide fees with non-lawyers

A lawyer shall not divide or stipulate to divide a fee for legal services
with persons not licensed to practice law, except:
a) Where there is a pre-existing agreement with a partner or associate
that, upon the latter’s death, money shall be paid over a reasonable
period of time to his estate or to persons specified in the agreement; or
b) Where a lawyer undertakes to complete unfinished legal business of
a deceased lawyer; or
c) Where a lawyer or law firm includes non-lawyer employees in a
Generally, a lawyer shall not divide or stipulate to divide a fee
for legal services with persons not licensed to practice law, The first two exceptions to the rule represent compensation for legal
which is a necessary consequence of the rule against layman service rendered by the deceased lawyer during his lifetime, which is
from practicing law; however, there are three exceptions: paid to his estate or heirs. Impropriety arises where the effect of the
1) Where there is a pre-existing agreement with a partner or arrangement is to make the estate or heir a member of the
associate that, upon the latter’s death, money shall be paid partnership along with the surviving partners, or where the estate or
over a reasonable period of time to his estate or to persons heir is to receive a percentage of fees that may be paid from future
specified in the agreement. business of the deceased lawyer’s clients. Such fees no longer
2) Where a lawyer undertakes to complete unfinished or represent compensation for past services of the deceased lawyer.
legal business of a deceased lawyer.
3) Where a lawyer or law firm includes non-lawyer employees The third exception to the rule does not involve, strictly speaking, a
in a retirement plan, even if the plan is based in whole or in division of legal fees with non-lawyer employees. The retirement
part, on profit-sharing arrangement. benefits in the form of pension represent additional deferred wages or
compensation for past services of the employees.
CHAPTER III. THE LAWYER AND THE COURTS  A lawyer is obliged to observed the rules of
procedure and not to misuse them to defeat the
A. LAWYER OWES CANDOR AND FAIRNESS TO THE ends of justice
COURT • Lawyer’s conduct: Truthfulness, Frankness, Candor and
Fairness
 Should not suppress material and vital facts
CANON 10 - A LAWYER OWES CANDOR, FAIRNESS AND GOOD FAITH TO  Volunteer development which renders issue
THE COURT. raised moot and academic
 Disclose to the court any decision (though it be
adverse to his position), which was not considered
Lawyer’s duties to court, generally in deciding the case
• As an officer of the court, a lawyer’s first duty is to the • HOWEVER, he can make proper arguments in support of
administration of justice any legal point even if he is not convinced of its inherent
• His conduct ought to and must always be scrupulously soundness; he is under no duty to obligation to suggest
observant of the law and ethics of the profession arguments against his position
• He is an instrument to advance the ends of justice; His • His personal belief in the soundness of his cause is
primary responsibility is to uphold the cause of justice irrelevant!
• Should there be conflict, he should resolve it against
his client and in favor of the court Rule 10.01 - A lawyer shall not do any falsehood
• He must not render service that will disrespect the
A lawyer shall not do any falsehood, nor consent to the doing of any in
judicial office
Court; nor shall he mislead, or allow the Court to be misled by any
• Utmost good faith and punctilio de honor must be observed
artifice.

A lawyer should be candid and truthful

• If not, administration of justice will suffer as a result
• The oath he swore embodies the fundamental duties of a
• SC says:
lawyer, which he must honor
 Courts are entitled to expect only complete honesty
 Conduct himself to the best of his knowledge and
from lawyers
discretion with all good fidelity to the court and his
 Candor is the very essence of honorable
client
membership in the legal profession

30
  Use honorable and truthful means in conducting a
case • Rules of procedure offer opportunities and means for delay
 Never seek to mislead the court by an artifice or
false statement of fact or law, or by concealing the
truth
• A lawyer must not make false allegations in a pleading

Rule 10.02 - A lawyer shall not knowingly misquote or misrepresent

A lawyer shall not knowingly misquote or misrepresent the contents of

paper, the language or the argument of opposing counsel, or the text of
a decision or authority, or knowingly cite as law a provision already
rendered inoperative by repeal or amendment, or assert as a fact that
which has not been proved.

SC says:
 Judicial decisions applying or interpreting the laws or the
Constitution shall form part of the legal system of the
Philippines
 Duty of courts, judges and lawyers to reproduce such
decisions to the letter (or, verbatim)
 This prevents the loss of proper and correct meaning, which
could be misleading

Rule 10.03 - A lawyer shall not misuse the rules of procedure

A lawyer shall observe the rules of procedure and shall not misuse them
to defeat the ends of justice.

31
 • They should not be used as such, for they are instruments
in the speedy and efficient administration of justice
• A lawyer should not use his knowledge of law to
harass a party or misuse judicial processes
 Ex: Arguing a case that has been repeatedly
rebuffed; Filing petitions to frustrate final
and executory judgment
• Courts must guard themselves against schemes that
prolong attempts to end controversies
• SC expresses disapproval of those who intentionally
misread laws to circumvent around or violate them, for
it put lawyers in public distrust

B. OBSERVING AND MAINTAINING RESPECT DUE

THE COURTS AND JUDICIAL OFFICERS

CANON 11 - A LAWYER SHALL OBSERVE AND MAINTAIN THE

RESPECT DUE TO THE COURTS AND TO JUDICIAL OFFICERS AND
SHOULD INSIST ON SIMILAR CONDUCT BY OTHERS.

Respect due to courts

• A lawyer must observe and maintain the respect due to
the courts of justice and judicial officers
• He must conduct himself with courtesy toward judges
and with propriety toward the courts
• The respectful attitude maintains the supreme
importance of the judicial office and guarantees the
stability of their institution

32
 • Duty to observe respect also applies to those who choose to Rule 11.01 - A lawyer shall appear in proper attire
enter the profession A lawyer shall appear in court properly attired.

Obeying court orders

• Barong Tagalog or coat and tie
• Court orders must be respected especially by lawyers
• Respect begins with the lawyer’s outward physical
 Respect and consideration should be extended to
appearance in court
the judicial branch of government
• Sloppy or informal attire adversely reflects on the lawyer
 Not because of the incumbents, but because of the
and demeans the dignity and solemnity of court
authority that vests in them
proceedings
• It may happen that counsel possesses greater knowledge
of the law than the judge who presides the court
Rule 11.02 - A lawyer shall be punctual
 Still, discipline and self-restraint are necessary for
the orderly administration of justice
A lawyer shall punctually appear at court hearings.
 The decisions of the judge must be obeyed
because he is the tribunal appointed to decide
• Willful disregard = flagrant misconduct; may subject to • He owes the court and his client the duty to punctually
punishment for contempt as well as disciplinary sanction appear at court proceedings
• Inexcusable absence from, or repeated tardiness in,
Defending judges from unjust criticism attending a pre-trial or hearing may subject the lawyer
• It is the attorney’s duty to defend a judge from unfounded to disciplinary action and may prejudice his client
criticism or groundless personal attack
• Outside the court, a judge lacks power to defend himself Rule 11.03 - A lawyer shall abstain from offensive language or behavior
against unfounded criticism and clamor
A lawyer shall abstain from scandalous, offensive or menacing language
• If a judge’s decision is challenged in a higher court, he is
or behavior before the Courts.
barred from seeking a reversal of his action and the lawyer
is required to refrain from making the judge appear as a
party suing against the adverse ruling
• A lawyer’s language must be in keeping with the dignity of
the legal profession: forceful but dignified, emphatic but
respectful
 His arguments should be that as addressed
from one gentleman to another
  Use of abusive language constitutes disrespect to • If judge starts the insult, the lawyer will retort to such
the dignity of the court of justice impudence as well
• BUT he may use strong language to drive home a point
 Fear of provoking displeasure must not deter him Upholding court’s authority and dignity
from objecting to illegal or erroneous judicial • A lawyer should seek to preserve faith in the courts and
decisions, rulings, acts or conduct help build and not destroy the high esteem and regard
• He should be courageous, fair and circumspect; he pleads, toward them
not dictate • In upholding the court’s dignity and authority, he avoids
 Should not assail without basis the personal mistrust in the administration of justice, strengthening the
integrity of a judge, or attribute motives not foundation of the judicial power
supported by the record or material to the case
• The employment of disrespectful language and behavior Rule 11.04 - A lawyer shall not attribute to a judge improper motives
serves no useful purpose A lawyer shall not attribute to a Judge motives not supported by the
• Under no circumstance is the use of threatening words record or have no materiality to the case.
justified
 “A lawyer may think highly of his intellectual
endowment. That is his privilege. And he may suffer • A lawyer must not make hasty accusations against the judge
frustration at what he feels is other’s lack of it. That without cogent and valid ground
is his misfortune... He should give allowance to the • The rule allows criticism as long as it is supported by the
fact that judges are but men; and men are record or is material to the case
encompassed by error, fettered by fallibility.”  He may expose shortcomings and indiscretions of
• He who uses such language betrays disrespect to the court, courts and judges
disgraces the bar and invites the exercise by the court of its  He should dissect with detachment flaws and
disciplinary power inconsistencies of doctrinal pronouncements in law
journals
A judge should be courteous to lawyer to merit respect
• Duty to observe respect not one-way Rule 11.05 - A lawyer shall submit grievances to proper authorities
• A judge should also be courteous to counsel, especially the A lawyer shall submit grievances against a Judge to the proper
young and inexperienced
authorities only.
 • A lawyer may file against administrative complaints (only Rule 12.01 - A lawyer should come to court adequately prepared
after proper circumspection) against erring judges, but it
must be filed with the Supreme Court A lawyer shall not appear for trial unless he has adequately prepared
• SC has administrative supervision over all courts and power himself on the law and the facts of his case, the evidence he will adduce
to discipline judges of lower courts and the order of its preferences. He should also be ready with the
• Filing unfounded and frivolous charges + use of offensive original documents for comparison with the copies.
language = harassing the judge
• Lawyer must exhaust other judicial remedies first when a
judge has gravely erred • The rule must be read in relation to Rule 18.02 which
requires that: “A lawyer shall not handle any legal matter
without adequate preparation”.
A. SSISTING THE COURT IN SPEEDY AND EFFICIENT • This is important because: without adequate preparation,
ADMINISTRATION OF JUSTICE the lawyer may not be able to effectively assist the court in
the speedy and efficient administration of justice, nor can
he serve his client with his competence and diligence.
CANON 12 - A LAWYER SHALL EXERT EVERY EFFORT AND CONSIDER IT • Being prepared is an obligation which the lawyer owes to
HIS DUTY TO ASSIST IN THE SPEEDY AND EFFICIENT ADMINISTRATION the court and to his clients.
OF JUSTICE.
Rule 12.02 - A lawyer shall not file multiple actions

Duty to assist in the administration of justice A lawyer shall not file multiple actions arising from the same cause.
• As an officer of the court, a lawyer is part of the machinery
in the administration of justice.
• Thus, Canon 12 enjoins him to exert every effort and • A lawyer should not file pointless petitions that would only
consider it his duty to assist in the speedy and efficient add to the workload of the courts. For while he owes entire
administration of justice. devotion to the interest of is client, he should not forget
• How? Examples: inform the court, within 30 days, of the that he is an officer of the court, bound to assist in the
death of his client in a pending case, so that such person speedy and efficient administration of justice.
may be substituted by his heirs; inform the court of any • A lawyer shall not resort to forum shopping
change of his address  Forum shopping- the improper practice of going
from one court to another in the hope of
securing a favorable relief in one court to which
another court has denied or the filing of
repetitious suits or
 proceedings in different courts concerning forum shopping, then the case will be dismissed
substantially the same subject matter. It can also be with prejudice). The lawyer and the party may also
defined as the act of party against whom an be punished with direct or indirect contempt of
adverse judgment has been rendered in one forum, court.
of seeking another or instituting two or more  It is also the duty of the lawyer to temper the
actions or proceedings grounded on the same client’s propensity to litigate, i.e. to check whether
cause on the supposition that one or the other the litigation is useless or not and to determine
would make a favorable disposition. whether or not is intended merely to harass or to
 Test to determine forum shopping: whether the injure the opposite party or to work oppression or
elements of litis pendentia are present or whether a wrong.
final judgment in one case will amount to res
judicata in the other. Simply put, determine Rule 12.03 - A lawyer shall file his pleadings within the period
whether there are identity of parties or interests
represented rights asserted and relief sought in A lawyer shall not, after obtaining extensions of time to file pleadings,
different tribunals. memoranda or briefs, let the period lapse without submitting the same
 Certification against forum shopping- purpose: to or offering an explanation for his failure to do so.
enable the the court to determine WON there is
forum shopping. Said requirement is based on Sec.
5 of the Rule 7 of the ROC. • It is the lawyer’s duty to ensure that pleadings are filed
 The rule applies to quasi-judicial bodies such as timely. It would constitute negligence if he fails to file the
the NLRC or the Labor Arbiter. same within the original or extended period of filing.
 The rule requires personal knowledge by the party • Such negligence constitutes a breach of duty to both the
executing the same and the lone signing plaintiff or court and the client.
petitioner cannot be presumed to have personal • The lawyer should also explain to the court why he failed to
knowledge file the said documents on the prescribed date. It is
 Sanctions for violation of the rule on forum imperative that the lawyer initiate such explanation even
shopping: failure to file the certificate results in the before an adverse decision is rendered or until he is
dismissal of the complaint or petition without required to show cause why no disciplinary action should be
prejudice. (If the petitioner actually employed taken against him for such negligence.
Rule 12.04 - A lawyer shall not delay nor impede execution of judgment Rule 12.06 - A lawyer shall not assist a witness during recess
A lawyer shall not unduly delay a case, impede the execution of a
judgement or misuse Court processes. A lawyer shall not knowingly assist a witness to misrepresent himself or
to impersonate another.

• Basis: lawyer’s oath, it is the lawyer’s duty to delay no man

for money or malice. • Purpose: Avoid any suspicion that the lawyer is coaching the
• The lawyer shall not se procedural rules to delay the witness what to say during the resumption of the
execution of judgment. Procedural rules are precisely examination.
designed to accomplice the speedy and efficient
administration of justice.
• Litigation is not a game of technicalities.
• It is also the responsibility of the lawyer to discourage
appellate review if he is honestly convince of the futility of
an appeal in a civil suit, he should not hesitate to inform his
disappointed client that most likely the verdict would not
be altered.
 Why is it wrong to do so? Because he would only
plant false hopes in the client’s mind, increase the
burden on appellate tribunals, prolong litigation
unnecessarily and expose his client to useless
expenses of suit.

Rule 12.05 - A lawyer shall not talk to a witness during recess

A lawyer shall refrain from talking to his witness during a break or

recess in the trial, while the witness is still under examination.
 • The lawyer should avoid any action as may be
misinterpreted as an attempt to influence the witness
what to say in court.

Rule 12.07 - A lawyer shall not harass a witness

A lawyer shall not abuse, browbeat or harass a witness nor needlessly

inconvenience him.

• It is the duty of the lawyer to always treat adverse

witnesses and suitors with fairness and due
consideration.

Rule 12.08 - A lawyer shall avoid testifying in behalf for a client

A lawyer shall avoid testifying in behalf of his client, except:
a) on formal matters, such as the mailing, authentication or custody of
an instrument, and the like, or
b) on substantial matters, in cases where his testimony is essential
to the ends of justice, in which event he must, during his testimony,
entrust the trial of the case to another counsel.

• Why is it prohibited? The question is one of propriety

rather than of competency. The underlying reason is that
the lawyer would perform the dual capacity of being a
witness and at the same time an advocate.
 The function of the witness is to tell facts, while
the function of an advocate is that of a partisan.
  It would be difficult for the lawyer to disassociate employment, but on the judge not to sit in a case unless he
his relation ot his client as an attorney and his is both free from bias and from the appearance thereof
relation to the party as a witness .

D. AVOIDING IMPROPRIETY THAT TENDS TO

INFLUENCE THE COURT

CANON 13 - A LAWYER SHALL RELY UPON THE MERITS OF HIS CAUSE

AND REFRAIN FROM ANY IMPROPRIETY WHICH TENDS TO INFLUENCE,
OR GIVES THE APPEARANCE OF INFLUENCING THE COURT

• Improper acts which give the appearance of influencing the

court to decide a case in a particular way lessen the
confidence of the public in the impartial administration of
justice and should be avoided.

Rule 13.01 - A lawyer shall not extend hospitality to a judge

A lawyer shall not extend extraordinary attention or hospitality to, nor

seek opportunity for cultivating familiarity with Judges.

• Lawyers and judges alike should avoid the common practice

of being godfather to each other’s children
• A lawyer must discharge his duty with a self-respecting
independence; he should avoid market attention uncalled
for by personal relations of the parties
• The responsibility is not on the lawyer to refuse
 or improper
Rule 13.02 - A lawyer shall not publicly discuss pending cases

A lawyer shall not make public statements in the media regarding a

pending case tending to arouse public opinion for or against a party.

• The restriction does not prohibit issuance of statements

by public officials who are duty bound to do so
• But statement of facts that are likely to create an
adverse public reaction must be avoided
• Picketing (it being a form of public expression) must not be
held to influence a court to decide a case in a particular
way
• It is the responsibility of the lawyers of the picketers
to advise them proper decorum in court

Criticism of pending and concluded litigation

• Pending:
 Comments may impugn partiality of a judge
 Court must be shielded from embarrassment
or influence
• Concluded:
 Ruling becomes public property; judge may
be subject to criticism as any other public
official
 Lawyer enjoys wider latitude of comment on
or criticism of judge’s decision or actuation

Limitations on right to criticize

• All such criticism shall be bona fide, not indecent
  Wide chasm between fair criticism, and abuse and
slander
 Publication that seeks to embarrass the court
destroys public confidence; gross violation of duty
to respect courts
• Where by law or SC resolution, disciplinary actions against
judges and lawyers must be confidential until final
adjudication, they should not be given publicity by the
press
• Respect for the judiciary cannot be had if persons are
permitted to scorn court resolutions adopted for good
purposes

Right and duty of lawyer to criticize courts

• Rule not intended to prevent criticism of judicial acts of a
judge
• Whether the law is wisely or badly enforced is a subject fit
for proper comment
• Courts and judges are not sacrosanct; they should expect
critical evaluation of their performance

Rule 13.03 - A lawyer shall not invite judicial interference

A lawyer shall not brook or invite interference by another branch or

agency of the government in the normal course of judicial proceedings.

• To invite interference from another government branch

or agency would endanger the independence of the
judiciary
CHAPTER IV. THE LAWYER AND THE CLIENT the services are to be performed

A. CREATION OF ATTORNEY-CLIENT RELATIONSHIP

CANON 14 - A LAWYER SHALL NOT REFUSE HIS SERVICES TO THE NEEDY.

Lawyer as an advocate, generally

Primary task of a lawyer->be an advocate:
• Def: represent a party litigant in court
• How: as counsel, public prosecutor, defense counsel
• Gen Rule: Private practitioner is not obligated ti acr as
counsel for any person whu may wish to become his
client
• Exception: Public prosecutor cannot choose. (This is the
essence of Canon 14.)
 Emphasizes: lawyer’s public responsibility of
rendering legal services to the needy.
 Thus the Gen Rule in this canon becomes: Accepting
employment to the poor. Refusal is the exception.
 Rationale: The poor hesitate to obtain the services
of counsel because of lack of money. Helping the
needy is also an objective of the IBP.

Nature of attorney-client relationship (ACR for brevity).

History in Roman law concepts:
• Location conduction operarum (contract of lease of
services): a person lets his services for compensation and
another hires them without reference to the object which
 • Mandato (contract of agency): a friend on whom unblemished personal record
reliance could be placed makes a contract in his name
but gives up all that he gained by the contract to the
person who requested him.

Modern day understanding:

• Lawyer is more than a mere agent/ servant because he
possess special powers of trust and confidence reposed
on him by his client
• Lawyer: independent as a judge (powers are entirely
different from and superior to those of an ordinary
agent)
• Lawyer: officer of the court
• ACR:
• strictly personal, highly confidential, fiduciary
• Why is it this way? -> Only by characterizing it like this
that a person would be encouraged to repose his
confidence in an attorney
• Based on: hypothesis that abstinence from seeking
legal advice in a good cause is an evil which is fatal to
the administration of justice
• Most of the rules in the legal profession originate from ACR
• ACR demands from the lawyer: sense of commitment to
the ideals of the legal profession and a strength of
character to resist temptations that deviate from existing
norms

Pitfalls from both sides:

• Engaging in the practice of law is to tread a narrow path
• Lawyer’s only safe guide: high moral principle
• His best shield; clear conscience and an
 • Reward: esteemed reputation varying degrees within limits.)-> deviation from such:
disciplinary measures by the court
Relation is strictly personal
• Court or administrative tribunal cannot but recognize its Rules of protective relation
creation on the faith of the client’s word • Protection of personal, confidential and fiduciary relation in
• It should not be established as the result of fear or ACR is for public interest.
deception • How: client will trust atty more-> important in the
• Underlies prohibition against: advertising or solicitation administration of justice
of employment • Injunctive rules to be followed, the lawyer should:
• Delegation in favour of another attorney without the 1. Exert his best effort and learning in the protection
client’s consent is prohibited and interest of his client
• Terminates upon: the death of lawyer or client, when client 2. Promptly account for any fund or property
wants to ( with or without cause) entrusted by or received for his client
• Note: cannot terminate upon attorney’s sole discretion 3. Not to purchase or acquire any property or
(client or the court’s consent needed) interest of his client in litigation
• Lawyer should not adopt the client’s problems-> he must 4. Forever to keep inviolate his client’s secrets or
have a sense of “vicarious detachment”-> better for lawyer confidence and not to abuse them
not to appear as counsel for relatives or people he is close 5. Not to represent a party whose interest is adverse
to-> else, he should look for another lawyer for them who to that of his client even after termination of the
can detach himself relation
• Penalty for not adhering to the aforementioned:
Relation is fiduciary and confidential disciplinary and administrative liability
• Demands from a atty.: undivided allegiance, conspicuous
and high degree of good faith, disinterestedness, candor, Concept of term “retainer”
fairness, loyalty, fidelity and absolute integrity in all his • ACR begins from the times an attorney is retained.
dealings and transactions; and an utter renunciation of • 2 Concepts which it may refer to:
every personal advantage in any way woth the interest of 1. Act of a client which he engages in the services of
his client an attorney to render legal advice
• Responsibilities to client should be reconciled with his 2. Or to defend or prosecute his cause in court
duties to the court. (Each requires fidelity and loyalty in • Either:

40
 1. General retainer: purpose is to secure beforehand • Ex of implied: atty. Appears on behalf of a party without the
the services of an attorney for any legal problem latter interposing any objection thereto
that may afterward arise
2. Special retainer: has reference to a particular case Employment of law firm
or service • Equivalent to a retainer of the member thereof even if
• May also refer to a “retaining fee” only one of them is consulted; employ one= employ the
 preliminary fee paid to insure and secure his future whole firm. Why? Member acts in the interest of the firm,
services, to remunerate him from being deprived, all info obtained can be communicated to the other
by being retained by one party, is neither made nor members of the firm
received in consideration for the services • One professional advice is sought, relation is established
contemplated • Death of a partner handling the case= does not
 Purpose: prevent undue hardship on the part of the extinguish the relationship with the firm
atty. Resulting from the rigid observance of the rule • Firm’s negligence is binding on the client
forbidding him from acting as counsel for the other
party after he has been retained by or has given Who can employ attorney
professional advice to the opposite party • Gen Rule: any person who has the legal capacity to contract
can employ an atty.
Necessity of retainer • Minor can gain capacity through his guardian ad litem
• Purpose: to have power to act as counsel • An agent clothes by his principal with the power to deal
• “contract of employment” that may be express or implied with the latter’s property has the authority to engage the
• A form or ratification services of an attorney as counsel for the principal
• Who else: executor or administrator or trustee, wife
Sufficiency of professional employment (except those involving conjugal property), board of
• Employment: essential feature of ACR directors of a corp (but they can delegate to this power to
• Written agreement: best proof to show relation but no real their corporate atty. Or a single stockholder)
form is necessary
• Sufficient: establish the professional relation through
proving the advice and assistance of the atty was sought
and rendered-> may be express or implied

41
Rule 14.01 - A lawyer shall not decline to represent unpopular clients b) Atty’s duty to “counsel or maintain such
actions or proceedings only as to appear to
A lawyer shall not decline to represent a person solely on account of the him to be just and such defences only as he
latter’s race, sex, creed or status of life, or because of his own opinion believes to be honestly debatable under the
regarding the guilt of said person. law.
c) He’s not to encourage either the
commencement or the continuance of an
• He should not decline. Just look at history, there were any
action of proceeding, or delay any man’s
lawyers who were recognized for their distinguished and
cause, for any corrupt motive or interest
sacrificial services.
d) He “must decline to conduct a civil cause or
• This rule makes it ethically easy for a lawyer to take the
to make a defense when convinced that it’s
defense of an accused whom he knows, or the public knows
intended to merely harass or injure the
is guilty of the crime.
opposite party or to work oppression or
 How can a lawyer take a case which he does not
wrong.
believe in? A) Well, it’s not good or bad until the
3. So if he were to take a bad civil suit, it will either
judge determines it to be so. B) It’s the free choice
be to exert his best efforts toward a compromise
of the lawyer.
or, if unsuccessful, to advice his client to confess
• Easier to apply this in criminal cases than in civil cases
judgment.
1. Criminal cases: BRD requirement and it’s “improper
4. He will also invite disciplinary action by the court if
for a lawyer ti assert in argument his personal
he will cause delay in the disposition of
belied in his client’s innocence or in the justice of
unmeritorious cases-> clog court dockets
his cause.”
2. Civil cases: (rules of legal ethics enjoin a lawyer
Rule 14.02 - A lawyer shall not decline appointment by the court or by
from taking a bad case.
IBP
a) Atty’s signature in every pleading
constitutes a certification that there’s good A lawyer shall not decline, except for serious and sufficient cause, an
cause to support it and that it’s not appointment as counsel de oficio or as amicus curiae, or a request from
interposed for delay and a willful violation the Integrated Bar of the Philippines or any of its chapters for rendition
of such rule may subject him to disciplinary of free legal aid.
action.
 • ACR may also be created by being a counsel de oficio for a • Accused in turn may suffer from ineffective assistance
poor or indigent litigant-> lawyer has the same duties to the
indigent client as to the paying client Rule 14.03 - A lawyer may refuse to represent indigent on valid
• Gen Rule: Court may assign a counsel de oficio for an grounds A lawyer may not refuse to accept representation of an
indigent client. indigent client unless:
• Exception: In criminal cases where having a counsel is not a a) he is in no position to carry out the work effectively or competently;
right of the accused b) he labors under a conflict of interest between him and the
• In criminal cases: prospective client or between a present client and the
 The indigent defendant MUST ASK for counsel to be prospective client;
assigned with a counsel de oficio.
 Court may not assign a counsel de oficio to defend
an accused and require such counsel to proceed Gen Rule: A lawyer is not oblige to act as counsel for any person who
with trial when the accused has previously may wish to become his client. He has the right to decline
manifested his desire to secure services of a counsel employment.
de parte. • Exceptions:
 Accused’s conviction cannot be set aside on the sole 1. A lawyer shall not refuse his services to the needy.
ground that said counsel was not of his own choice. 2. Can’t refuse because of: race, sex, creed or status of life, or
 On appeal: same thing court must assign. If the guy/ because of his opinion of guilty of the person
girl isn’t in prison: court doesn’t have to assign 3. Can’t (except for serious and sufficient cause), an
unless it was requested within 10 days from the appointment as counsel de o. ficio or as amicus curiae or a
receipt of the notice to file the appellant’s brief and request from the IBP or any of its chapters for rendition of
the right thereto is established by affidavit of free legal aid
poverty. 4. Gov. lawyers has to represent any branch of gov unless he is
disqualified to act as counsel-> else, he will be held
Frequent appointment of same counsel is discouraged administratively liable
• Burden of an atty’s regular practice 5. Sol gen. must cannot just exercise his discretion in throwing
• Possibility of the compensation fir counsel de oficio being out gov cases. He must present the court with what he
considered as a source of income which is not envisioned by considers could legally uphold the best interest of the gov.
the rule He should work in towards the best interest of justice in
• Counsel may be overburdened deciding cases where diff gov. agencies are on opposing
sides.-> Gov. office adversely affected by the position of
the
 Sol. Gen., if it still believes in the merit of its case, appear prospective client.
on its own behalf through its legal officer or representative.

Rule 14.04 - A lawyer shall observe the same standard for all clients.

A lawyer who accepts the cause of a person unable to pay his

professional fees shall observe the same standard of conduct governing
his relations with paying clients.

• Purpose of the legal profession: render public service

and secure justice for those who seek its aid.
• Gaining of livelihood: only a secondary consideration

B. CANDOR AND FAIRNESS IN DEALINGS WITH

CLIENTS

CANON 15 - A LAWYER SHALL OBSERVE CANDOR, FAIRNESS AND

LOYALTY IN ALL HIS DEALINGS AND TRANSACTIONS WITH HIS CLIENTS.

• Canon flows from the nature of attorney-client relationship

which is strictly personal, highly confidential and fiduciary.

Rule 15.01 - A lawyer shall ascertain possible conflict of interest

A lawyer, in conferring with a prospective client, shall ascertain as soon

as practicable whether the matter would involve a conflict with another
client or his own interest, and if so, shall forthwith inform the
 • It is the duty of the lawyer to disclose and explain to a protected by the rule on privileged communication even if
prospective client all circumstance of his relations to
the parties and any interest in or connection with the
controversy.
• The disclosure if more for the protection of the lawyer
than that of the client. If for instance, a lawyer conceals
the fact that the adverse party used to be his client, the
new client may have reason to suspect, n case of an
unfacorable judgment, tha the circumstance prevented
him from the full discharge of his duty.
• It is the duty of the lawyer to decline professional
employment even though how attractive the fee
offered may be if he would violate any of the rules fo
the legal profession.
• The lawyer is prohibited from accepting clients who
may adversely affect any interest of his former
clients.
• The same prohibition applies in cases where he
intervened while in the government service.
• Why? The lawyer would find it difficult to disassociate
his relation to his former client.

Rule 15.02 - A lawyer shall preserve the secrets of a prospective

client A lawyer shall be bound by the rule on privilege
communication in respect of matters disclosed to him by a
prospective client.

• Note that the rule concerns communication of the

lawyer and a prospective client.
• Matters disclosed by a prospective client to a lawyer are
 the prospective client does not thereafter retain the lawyer Effects of termination of relation.
or the latter declines the employment.
 Why? So that the prospective client would have the freedom to  Termination of the relation provides no justification for a lawyer
discuss whatever he wishes with the lawyer without fear that to represent an interest in conflict with that of the former
what he tells the lawyer will not be divulged nor used against client. The client’s confidence, once reposed, cannot be
divested by the expiration of the professional employment. A
him.
lawyer owes loyalty to his client even after the relation has
terminated.
 It is not good practice to permit him to defend in another
C. PROHIBITION AGAINST REPRESENTING case other persons against his former client.
CONFLICTING INTERESTS
Materiality of confidential information.
Rule 15.03 – A lawyer shall not represent conflicting interests
 The attorney-client relationship precludes a lawyer from
A lawyer shall not represent conflicting interests except by written
accepting employment from the client’s adversary either in the
consent of all concerned given after a full disclosure of the facts. same case or in a different but relation action. The prohibition is
irrespective of whether or not the lawyer has acquired
confidential information from his former client.
 A lawyer who represents a party and at the same time handles  If the prohibition is made to depend upon whether or not the
the legal problems of the opposing party, whether the cases lawyer has acquired confidential information, it will call for an
are related or not, violates the rule against representation of investigation of that question. A client may then be afraid to
conflicting interests. consult or make a full disclosure of facts to him.
 The test to determine whether there is a conflict of interest is
probability, not certainty of conflict. Foundation of, and reason for, the rule.
o e.g. conflict between interest of the estate and  The rule is founded on the principles of public policy and
creditors of the estate good taste. The lawyer has a duty to represent his client with
 Prohibition applies even if the conflict pertains to the lawyer’s undivided fidelity and to maintain inviolate the client’s
private activity or in the performance in a non-professional confidence as well as from the injunction forbidding the
capacity, and his presentation as a lawyer regarding the same examination of a lawyer as to any of the privileged
subject matter. communications of his client.
o e.g. representation as an accountant of a firm and as  The attorney-client relationship is one of trust and confidence.
the lawyer of another firm A lawyer’s knowledge of things connected to his client’s case is
considered sacred and must be guarded with care.
  The rule is designed to prevent the lawyer from fraud and present controversy is related, directly or indirectly to the
being put in a position where he may be required to choose subject matter of the previous litigation in which he appeared
between conflicting duties and to protect himself from for the former client. But he can properly act as counsel for a
unfounded suspicion of professional misconduct. new client, with full disclosure to the latter, against a former
client in a matter wholly unrelated to that of the previous
Opposing clients in same or related suits. employment, there being in that instance no conflict of
 A lawyer who appears for opposing clients in the same/related interests.
actions puts himself in an awkward position where he will have  What a lawyer owes his former client is to maintain inviolate
to contend on behalf of one client that which he will have to the client’s confidence or to refrain from doing anything which
oppose on behalf of the other client. He cannot give will injuriously affect him in any matter in which he previously
disinterested advice to both clients. He will be called upon to represented him. Having appeared for a party opposed to the
use confidential information against one client in favor of the probate of a will, he may not go to the opposite side and
other. champion its cause against his former client.
o e.g. husband and wife in a matrimonial action, creditor
and debtor in a recovery suit Conflicting duties.
 Even though the opposing clients consent to the lawyer’s dual  A lawyer may not undertake to discharge conflicting duties as
representation, the lawyer should retire from the case when his he may represent antagonistic interests.
clients cannot settle the case amicably. He cannot discharge the o lawyer cannot accept employment as an advocate in
duty of undivided fidelity of his clients without undermining the any matter upon the merits of which he has previously
confidential relations of the attorney and client. intervened as a public official
o he should not, after resignation, accept professional
Opposing clients in unrelated actions. employment in connection with any matter he has
 A lawyer should keep inviolate the client’s confidence and investigated or passed upon before
should avoid the appearance of treachery and double dealing so
that the litigants can be encouraged to trust their secrets to Attorney’s interest versus client’s interest.
their lawyers. The nature or conditions of his respective  An attorney should not put himself in a position where self-
retainers with his clients will affect the performance of his duty interest tempts him to do less than his best for his client. The
of undivided fidelity to both clients. His defeated client might possibility of conflict between self-interest and that of his
accuse him of disloyalty or partiality in favor of the successful client exists which may affect the performance of his duty of
client. undivided fidelity to his client

New client against former client. Rule applicable to law firm.

 A lawyer is forbidden from representing a subsequent client  If a lawyer is disqualified, his law firm is also disqualified from
against a former client only when the subject matter of the appearing as counsel in a case of conflict of interests,
because
 employment of the law firm is equivalent to a retainer of the 1. Did the lawyer change or have the opportunity to
members thereof. change his previous position as counsel for a party in
championing the cause of the new client?
Limitations on general rule. 2. Did the new client suffer prejudice?
 Where no conflict of interest exists. Lawyer’s right to be paid for services rendered in favor of his former
o Once the conflict of interest ceases, the prohibition no client may be affected by the representation of conflicting interests only
longer applies (e.g. administrator in estate of deceased
if the 2 matters are related and the former client objected to such
wife, subsequently administrator of deceased husband)
representation.
 Where clients knowingly consent.
o Disclosure should include a thorough explanation of
the nature and the extent of the conflict and the Rule 15.04 – A lawyer may act as mediator
possible adverse effects of dual representation, such as
the possible revelation or use of confidential A lawyer may, with the written consent of all concerned, act as
information. mediator, conciliator or arbitrator in settling disputes.
o Common representation with their advice is sometimes
advisable because the lawyer is in a better position to
work out an acceptable settlement of their difference
because of his knowledge of the law and his reputation for fidelity may
o A lawyer may not be allowed to represent conflicting
interests even if both parties agree, where there is a make it easy for the disputants to settle their differences amicably. But
conflict between the attorney’s interest and that of a the lawyer shall not act as counsel for any of them.
client, or a private client against the government.
 Where no true attorney-client relationship exists. D. CANDID ADVICE AND LAWFUL PERFORMANCE OF
o Exception: lawyer’s secretary, stenographer or clerk; DUTIES
they acquired confidential information because of the
nature of their work (even if no attorney-client
Rule 15.05 - A lawyer shall give candid advice on merits of case
relationship)
A lawyer when advising his client, shall give a candid and honest opinion
Effects of representation of conflicting interests. on the merits and probable results of the client’s case, neither
 Professional misconduct which subjects the lawyer to overstating nor understating the prospects of the case.
disciplinary action
 Lawyer may also be disqualified from representing the new
client upon petition of his former client When clients asks about the probable cause of his contemplated or
 2 questions: (If yes to both, setting aside of adverse judgment
pending litigation, the lawyer:
against new client is justified)
 Should study the cause, obtain full knowledge about it
before giving an opinion
  Client is usually a layman in law: so lawyer should What lawyers should do:
explain the in a candid and honest manner • Maintain such actions or proceedings that appear to him as
 Counsel should advice their clients against making just and raise defences which he believes to be honestly
untenable and inconsistent claims. Lawyers are not mere debatable in law
employees who must unquestionably do the bidding of the • Represent his client within the bounds of law- “A lawyer is
client, however unreasonable. Counsel must counsel. not a gun for hire.”
 If civil suit is devoid of merit: lawyer should inform and • Don’t prosecute patently frivolous and meritless appeals or
dissuade the client from filing the case in the first instance institute clearly groundless actions
or in the second instance, to compromise rather than • Thou shall not use a “false claim”-> the worst thing ever->
traverse the incontrovertible. will foster popular prejudice against lawyers as a class,
 If meritorious and ripe for adjudication: lawyer should deprive those who use it of public esteem (only
refrain from making bold and confident assurances of unscrupulous and desperate lawyers use this in order to
success. A lawyer who guarantees the successful outcome succeed in winning his client’s cause.)
of a litigation is under a heavy pressure to employ any • No client no matter how powerful is entitled to receive
means to win the case, a trying situation indeed. nor should any lawyer render a service or advice involving
 He must not state or imply that he’s able to influence any disloyalty to the law.->Else, the lawyer would invite and
judge or public official merit stern and just condemnation.
• He must observe and advice his client to observe the
Rule 15.06 - A lawyer shall not undertake influence-peddling statute of the law, though until a statute shall have been
construed and interpreted by competent jurisdiction, he is
A lawyer shall not state or imply that he is able to influence any public free and entitled to advice as to its validity and as to what
official, tribunal or legislative body. he conscientiously believes to be its just meaning and
extent.
A lawyer would find his highest honor in a deserved reputation for
Agpalo basically says it’s unethical. fidelity to public trust and to public duty, as an honest man and as a
patriotic and loyal citizen.
Rule 15.07 - A lawyer shall not impress upon clients compliance with law
A lawyer shall impress upon his client compliance with the laws and
principles of fairness.
Rule 15.08 - A lawyer shall make clear whether he is acting in another
capacity

A lawyer who is engaged in another profession or occupation

concurrently with the practice of law shall make clear to his client
whether he is acting as a lawyer or in another capacity.

• A practicing lawyer may lawfully engage in any other lawful

occupation or business.
• He is under no greater obligation to the party than a
person not an attorney would be.
• He should make clear to his client whether he is acting as
a lawyer or in another capacity (esp. if the occupation is
related to the practice of law.)
• Reason: Certain ethical considerations governing attorney-
client relationship may be operative in one and not in the
other.
CHAPTER V. LAWYER AS TRUSTEE OF CLIENT’S -The prohibition is entirely independent of any fraud that might have
PROPERTY intervened. No fraud need be shown and no excuse will be heard.
Prohibition is made absolute to avoid such inquiry.

Application of rule
CANON 16 - A LAWYER SHALL HOLD IN TRUST ALL MONEYS AND -4 elements: a) there must be attorney-client relationship; b) the
PROPERTIES OF HIS CLIENT THAT MAY COME INTO HIS POSSESSION. property or interest of client must be in litigation; c) the atty. takes part
as counsel in the case; and d.) the atty. by himself or through another
purchases such property or interest during the pendency of the
Effects of fiduciary relations, generally litigation.
-Position of attorney enables him to put client under his power, and -The presence of all 4 elements makes lawyer’s acquisition of client’s
opens attorney to the temptation to avail himself undue advantages, property in litigation violative of the law.
bargains and gratuities by taking advantage of client. -Any scheme which has the effect of circumventing the law comes
-The highly fiduciary and strictly confidential relationship between within the prohibition. EX. Purchase by wife of atty. for the estate of a
attorney and client is to remove all such temptation and to prevent decedent.
everything of that kind from being done for the protection of the client.
Where rule inapplicable
Dealings with client closely scrutinized -When one of the elements is absent. EX. Where the sale took place
-The court will protect the client from any undue disadvantage resulting before it became involved in the suit; where atty. at time of purchase
from any situation in which he and his attorney may stand unequal; was not counsel in the case; where the property purchased was not
courts must be vigilant for client’s protection. involved in litigation.
-Business transactions between attorney and client are disfavored and -Prohibition is not applicable to a contract for attorney’s gees
discouraged—rule is founded on public policy because by virtue of his contingent upon outcome of litigation. Why? Because there is a
office, attorney can easily take advantage of client. distinction between purchasing property in litigation as a way for lawyer
-However, lawyer is not barred from dealing with his client but the to abuse client’s confidence/litigate on his account, and agreeing in his
business transaction must be characterized with utmost honesty and professional capacity to accept compensation contingent on result of
good faith. Measure of good faith is a higher standard than that litigation.
required in business dealings. Burden of proof upon attorney to show
fairness of transaction. Effect of prohibited purchase
-Atty. may be disciplined for such misconduct.
Purchase of client’s property in litigation -Transaction is void ab initio, public policy does not permit compromise
-Expressly prohibited by law. Rests on considerations of public policy or ratification of prohibited contract even after the atty.-client
and interest, and is intended to curtail greed of lawyer or any undue relationship has ceased.
influence over client.

50
Purchase of choses in action (meaning: A right to personal things of report promptly the money of his client that has come into his
which the owner has not the possession, but merely a right of action for possession.
their possession)
-Is it improper? Agpalo says apply the ‘spirit’ of the rule. While there is Rule 16.03 - A lawyer shall deliver funds to client, subject to his lien
yet no litigation at the time the assignment took place, litigation is its
primary reason. Also, by resorting to such, atty. has placed himself in
A lawyer shall deliver the funds and property of his client when due or
the category of voluntary litigant for a profit, which renders conduct
imp-roper. upon demand. However, he shall have a lien over the funds and may
-However, atty. may properly acquire choses in action not in his apply so much thereof as may be necessary to satisfy his lawful fees and
professional capacity, but as a legitimate investment. disbursements, giving notice promptly thereafter to his client. He shall
also have a lien to the same extent on all judgements and executions he
Rule 16.01 - A lawyer shall account for client’s funds has secured for his client as provided for in the Rules of Court.

A lawyer shall account for all money or property collected or received

for or from the client. -Generally, failure to return client’s money upon demand gives
presumption that atty. has misappropriated it for his own use.
-This provision assumes that the client agrees with the lawyer as to the
-The lawyer hold such money or property of his client in trust, and is amount of atty.’s fees and as to the application of the client’s fund to
under obligation to make a prompt accounting thereof. His failure to pay his lawful fees and disbursement, in which case he may deduct
make an accounting or to return the money if the purpose for which what is due him and remit the balance to his client, with full disclosure.
the money is intended has failed, constitutes blatant disregard of Rule Need client’s consent! Otherwise, lawyer has no authority, and should
16.01. return the money to his client, without prejudice to his filing a case to
-Money received from a person who is not his client is also held by atty. recover unsatisfied fees.
in trust, and he is under obligation to account for it.
-However, if duly authorized, an atty. may cash a money order Rule 16.04 - A lawyer shall not borrow from, nor lend money to, client
belonging to chis client and retain part of it in payment of his fees. A lawyer shall not borrow money from his client unless the client’s
interests are fully protected by the nature of the case or by independent
Rule 16.02 - A lawyer shall not commingle client’s funds advice. Neither shall a lawyer lend money to a client except, when in the
interest of justice, he has to advance necessary expenses in a legal
A lawyer shall keep the funds of each client separate and apart from his
matter he is handling for the client.
own and those of others kept by him.

51
-Keep funds of each client separate and apart from his own. Should not -Prohibition from borrowing money from client is intended to prevent
use client’s money for personal purposes without consent. Should lawyer from taking advantage of his influence over client.

52
-Prohibition from lending money to client EXCEPT when in interest of
justice, he has to advance necessary legal expense, is intended to assure
the lawyer's independent professional judgment, for if the lawyer
acquires financial interest in the outcome of the case, the free exercise
of his judgment may be adversely affected. Meaning, there’s an
additional stake in outcome of the case for the lawyer, which may make
him consider his own recovery rather than that of his client. violation
of duty of undivided fidelity to client’s cause.
CHAPTER VI. LAWYER'S DUTY OF ENTIRE - Prejudice the rights of the litigant
DEVOTION TO CLIENT'S CAUSE

CANON 17 - A LAWYER OWES FIDELITY TO THE CAUSE OF HIS CLIENT

AND HE SHALL BE MINDFUL OF THE TRUST AND CONFIDENCE REPOSED
IN HIM.

GENERAL RULE
- Lawyer must act either as adviser or advocate for the client
- The client is entitled to the benefit of any and every remedy
and defense that is authorized by law of the land and he may
expect his lawyer to assert every remedy or defense
- The court as guardian of the legal profession also expects a
lawyer to employ all the energies at his command

EXCEPTION
 When lawyer declines employment, SUBJECT
TO THE PROVISIONS OF CANON 14
 NOTE: Personal views, fear of judicial disfavour,
or public unpopularity ARE NOT GROUNDS FOR
EXCEPTION

PURPOSE
- To protect public interest: to serve the ends of justice
- To do honor to the bar
- And help maintain the respect of the community to the legal
profession

EFFECTS IF NEGLECTED
- Will cause delay in the administration of justice
CANON 18 - A LAWYER SHALL SERVE HIS CLIENT WITH final disposition of the whole subject matter of
COMPETENCE AND DILIGENCE. litigation

In General
- DUTY TO SERVE WITH COMPETENCE AND DILIGENCE & DUTY
TO SAFEGUARD CLIENT’S INTEREST
>>>> To serve with competence and diligence
- A lawyer who accepts employment agrees to serve
with competence and diligence ; to be prompt and
diligent in the performance of his obligations
- Every case deserves his full attention, skill and
competence, regardless of its importance and w/n
he accepts it for a fee
- NOTE that the diligence required is ORDINARY
DILIGENCE, and a lawyer is not expected to
exercise EXTRAORDINARY DILIGENCE
- Impliedly, he represents that:
1. He possesses the requisite degree of
learning, skill, and ability necessary to
practice his profession (QUALIFICATIONS)
2. He will exert his best JUDGMENT in
the prosecution or defense of the
litigation
3. He will exercise reasonable and ordinary
care and DILIGENCE in the use and
application of his skill and knowledge
4. He will take such step as will
adequately SAFEGUARD his CLIENT’S
INTEREST

TO SAFEGUARD CLIENT’S INTEREST

- When does duty begin (reckoning pt.)? - From
the moment he is employed (i.e. retainer)
- When does duty end (reckoning pt.)? – to the
 - FAILURE of client to pay atty fees DOES NOT warrant Rule 18.02 - A lawyer shall not handle a case without adequate
the lawyer’s abandoning the case preparation

Rule 18.01 - To render service only when qualified to do so A lawyer shall not handle any legal matter without adequate
preparation.
A lawyer shall not undertake a legal service which he knows or should
know that he is not qualified to render. However, he may render such
service if, with the consent of his client, he can obtain as collaborating - Lawyer has a duty to review the case and conduct thorough and
counsel a lawyer who is competent on the matter. intensive study and preparation
- Effects if observed: Lawyer has a higher chance to win the case.
Even if he does not win, he would gain the respect of his
- Applicable in cases where the lawyer’s field of specialization is adversary and the courts. He will also accord fealty to one of the
not relevant to the client’s needs ideas expressive of law as a profession – learning.
EXCEPTION is when, with CLIENT’S CONSENT, he obtains - Effects if NOT observed: distracts the administration of justice
as collaborating counsel a lawyer who is competent on by skewing the merits heavily on the adverse party and mislead
the subject matter the court into rendering an unjust judgment; discredits the bar;
cast doubts on a lawyer’s intellectual honesty and capacity;
PRETZY’S OBITER disciplinary action or contempt of court.
Canon 2 v Canon 18: Canon 2 GENERAL RULE is that the lawyer Preparation of Pleadings
should not decline from rendering legal services for the defenseless - Pleading: a document embodying the result of his work
/ indigents and furnishing the basis on which to judge his
EXCEPTION is CANON 18 when the lawyer is not competence.
qualified and other VALID reasons (e.g. conflicting - In this document, he must thoroughly discuss the issues
schedules, when date of trial is same as another case) raised
EXCEPTION to Exception is when, with CLIENT’S - He should not suppress nor distort material and vital
CONSENT, he obtains as collaborating counsel a facts
lawyer who is competent on the subject - He should not omit relevant and consequential
matter, or Canon 2.02, when the lawyer is information
ordered to render service only to the extent of - He must specify the specific amounts claimed for the
safeguarding the latter’s interest (i.e. proper assessment of docket fees and also for the
Procedural steps to take) courts to obtain jurisdiction over said claims
Interviewing witnesses in favour of his client
- What is a witness? A witness is the human
instrumentality through which the law and its ministers,
 the judges and the lawyers, endeavours to ascertain the - Ordinary diligence is required. NOT EXTRAORDINARY
truth and to dispense justice to the contending parties. DILIGENCE.
- It is his duty to interview them in advance to guide him - Effects if not observed: Client may be declared in default;
in the management of the litigation prescription ; lawyer may be subjected to disciplinary action.
- But he should warn the client to be truthful in admitting - Diligence required depends upon the circumstances.
his conference with the lawyer when asked during 1. Pre-Trial stage. The lawyer must ensure that the client
cross-examination. (I think this is in re. coaching attends pre-trial so that they may not be declared in
witnesses) default.
2. In cases where it is impracticable to continue representing
Interviewing witnesses against his client the client (e.g. conflicts with trial schedules of various
- A lawyer may interview prospective witnesses for the cases),
opposing side in any civil or criminal action without the o If conflict may be remedied, MOVE or ask the
consent of the opposing counsel or party ; he may do so court FOR POSTPONEMENT
even though they are under subpoena for the opposing o If conflict cannot be remedied, he should a) inform
side the client of his predicament and b) ask that he be
- BUT he should avoid any suggestion calculated to allowed to withdraw so that the client may hire
induce the witness to suppress or deviate from the another lawyer
truth or affect his free conduct when on the witness 3. In cases where the client refuses to cooperate, he should
stand ask the court to be discharged from his responsibility.
EXCEPTION: an adverse party who will attend the trial as a Without court approval, he is still considered as counsel.
witness IS NOT CONSIDERED A WITNESS under this canon. Non-performance or difficulty or impossibility in performing
Why? A lawyer is forbidden from communicating upon the DOES NOT release him from his obligation.
subject of controversy with the opposing party 4. Adoption of mail system for timely reception of judicial
EXCEPTION TO EXCEPTION: When the adverse party is notices. Service of notice by registered mail is complete
interviewed with his counsel upon actual receipt thereof by the addressee. If he fails to
claim mail within 5 days from date of first notice of the
Rule 18.03 - A lawyer shall not neglect the matter entrusted to him postmaster, service shall take effect at the expiration of
A lawyer shall not neglect a legal matter entrusted to him, and his such time.
5. If lawyer changed his address, it is his duty to inform the
negligence in connection there with shall render him liable.
court, give notice, and ask that his new address be recorded
in the court’s records. Otherwise, non-reception of judicial
notices because it was sent to his old address DOES NOT
- The lawyer must take the procedural steps which, in his WARRANT a reopening of the litigation and he may be
judgment, will best serve or advance the interests of his client declared in default.
6. If client dies, the lawyer should inform the court and his must present all fair and honourable means, including all
client’s legal representatives so that they may substitute his the mitigating circumstances permitted by law to save his
client. Effect if not done: binds his client as well as the client from an unrighteous conviction.
latter’s heirs of adverse judgment rendered by the court 12. Standard of duty required of counsel de officio. He must
7. If clerk of court is negligent. The clerk of court calendars the exert best efforts for an indigent client. Must not just be a
cases for pre-trial and schedules appeals. In case of clerk’s perfunctory function. Lawyer must provide an efficient and
negligence, it is the lawyer’s duty to inform the court of the truly decisive legal assistance, no matter how guilty or evil
clerk’s negligence. He may procure court order or invoke he appears to be. He must not ask to be released from his
contempt power of the court to compel the clerk to act, so obligation for any TRIVIAL REASON (e.g. Ledesma v
that the administration of justice will not suffer delay. Climaco, where lawyer was not allowed to be excused due
8. Duty to keep client fully informed. The client is entitled to to his appointment as an election registrar)
full disclosure of the mode or manner by which his interest Standard of duty when counsel intends to plead guilty. Must be made
is defended or why certain steps are taken or omitted. The voluntarily by the accused, with full awareness of its consequences.
lawyer should inform his client regarding developments in
Duty of defense counsel to: a) acquaint himself with the records of the
the case, such as adverse court decision so that the client
may decide to appeal or not within the reglementary appeal case, b) confer with the accused re. his account of the events, c) advise
period. The lawyer should not provide erroneous him of his constitutional rights, d) thoroughly explain to him the
information regarding the status of the case. consequences of a plea of guilty, and e) see to it that the prescribed
9. Standard of duty required of defense counsel in GENERAL. procedure is strictly followed and disclosed in the court records.
He must not put a witness on the stand whom he knows
will give a false testimony and commit perjury. He should Rule 18.04 –
not distort facts. He should not cause the transfer of the
case to another court sala where he believes a more
favourable judgment may be rendered by the judge. He A lawyer shall keep the client informed of the status of his case and shall
must ensure that judgment should be rendered based on respond within a reasonabl e ti me to cl i ent’ s r equ es t for i nf ormati
merits, and not based on appeals to misery etc. (fallacies) on.
10. Standard of duty required of defense counsel IN CIVIL
SUITS. The lawyer may decline to handle civil suit if he is
convinced that the suit is intended only to injure the other CANON 19 - A LAWYER SHALL REPRESENT HIS CLIENT WITH ZEAL
party. WITHIN THE BOUNDS OF THE LAW.
11. Standard of duty required of defense counsel IN CRIMINAL
SUITS. The lawyer, whether he is counsel de officio or ex
parte, must render effective legal assistance REGARDLESS of
his personal opinion as to the guilt of his client. The lawyer -While lawyer’s zeal in the task of advocacy is commendable and his
persistence in the discharge of his responsibility is understandable, it
should not amount to obstinacy nor should it be carried
beyond the limits of sobriety and decorum.
 Prosecuting or defending matrimonial cases
Rule 19.01 - A lawyer shall employ only fair and honest means -What is unethical is the lawyer’s participation in any collusion between
the parties. He must also avoid any act which may invite suspicion of
A lawyer shall employ only fair and honest means to attain the lawful collusion.
-What if lawyer has confidential information from client not in
objectives of his client and shall not present, participate in presenting or
collusion, the disclosure of which may defeat the action for dissolution
threaten to present unfounded criminal charges to obtain an improper
of marriage, which the client wants? State interest vs. client’s interest.
advantage in any case or proceeding.
Lawyer owes court honesty and candor; to client, the duty to lawfully
secure for him what he desires. Solution: lawyer should favor
-Honorable means, those consistent with truth and honor. He should solution which will best serve all his loyalties, by declining the
abstain from all offensive personality and advance no fact prejudicial to professional employment or terminating the professional
the honor/reputation of a party unless required by the justice of the relationship.
cause with which he is charged.
-In espousing client’s cause, a lawyer should not state his personal belief Rule 19.02 - A lawyer shall rectify a client’s fraud
to the soundness of his case. Why? Because his personal belief has no
bearing on the case. Also, if expression of belief were allowed, it would A lawyer who has received information that his client has, in the course
give improper advantage to older/better-known lawyers whose opinion of the representation, perpetrated a fraud upon a person or tribunal,
carries more weight. shall promptly call upon the client to rectify the same, and failing which
he shall terminate the relationship with such client in accordance with
Duty to restrain client from impropriety the Rules of Court.
-A lawyer should restrain client from doing those things which himself
ought not to do, particularly with reference to conduct towards the
court, judicial officer, witness, etc. If client persists, lawyer should
-In the event the client fails or refuses to rectify the fraud, the lawyer is
terminate their relation.
required to terminate the relationship. He may not volunteer the
information concerning the client’s commission of fraud to anybody, as
Technical defense
it will violate his obligation to keep client’s secrets.
-The negative defense of lack of knowledge or information as permitted
by the rules must be used with sincerity or good faith; it must neither
be used to confuse the adverse party as to what allegations are really Rule 19.03 - A lawyer shall not allow his client to dictate on the law
put in issue, nor employed to delay the litigation.
A lawyer shall not allow his client to dictate the procedure on handling
the case.
-A lawyer is not a gun for hire or an errand-boy at the beck and call of
his client.
-While it is the lawyer’s duty to comply with the client’s lawful request,
he should resist and never follow any unlawful instruction of his client.
Client should yield to lawyer in matters of law, not the other way
around.
-Lawyer cannot escape responsibility for urging questionable
defenses/suits or filing a pleading with contemptuous allegations, by
saying that he was only following his client’s instructions.
-Lawyer’s duty to court is not secondary to that of his client. No client
has a right to demand counsel to be illiberal, or that he do anything
therein repugnant to his own sense of honor and propriety. Lawyer
must judge for himself!
CHAPTER VII. AUTHORITY OF THE LAWYER  Extent of authority of a lawyer when acting on behalf of his
client outside of court: measured by the same test as that
A.IN GENERAL which is applied to an ordinary agent.
 Lawyer representing a client in court: MORE than an agent and
Power to bind client, generally. has powers different from and superior to those of an ordinary
 General authority if the lawyer: to do on behalf of his client such agent. WHY? He’s an officer of the court with right and
acts as are necessary or incidental to the prosecution or privileges and duties PECULIAR ONLY to a lawyer.
management of the suit entrusted to him or the
accomplishment of its purpose for which he was retained Collection of claims.
 Scope of authority: matters of ordinary procedure only  Atty. Retained by a creditor to enforce a claim: has the authority
 Employment by itself: confers upon the attorney no implied or to take all necessary steps to collect it. (Ex. Sending a letter of
apparent authority to bind the client on SUBSTANTIAL MATTERS demand requiring payment of the obligation within a specified
(i.e. cause of action, claim or demand sued upon the subject period or filing the corresponding action in court in the event of
matter of litigation) the debtor’s refusal to pay.)
 Substantial matters: cannot be novated, compromised, settled,  Also authorized to: release debtor from his obligation upon
surrendered or destroyed without the client’s consent or full payment thereof in cash and to issue a receipt therefor.
authority-> TEST on WON lawyer can deal with substantial  Client’s remedy when he has not received the amount due him:
matters rests on a WRITTEN AGREEMENT or a SPECIAL not against the obligor (already discharged from his obligation)
AUTHORITY but against the attorney who holds the money in TRUST for his
benefit.
Attorney as agent of client.  Lawyer has no authority to (unless given special authority):
 Atty-client relationship: greatly similar to an agency thus, 1. Discharge his client’s claim for less than the amount
general rules on ordinary agency apply to this relation thereof or for the full amount in kind
 As an agency these hold true: 2. Encash or endorse a check or draft payable to his client
1. Client is bound by the act or omission of its attorney or deliver the proceeds of a claim to a person other
within the scope of his authority. than to his client.
2. A lawyer signing an appeal bond or a notice on behalf of
a client is acting as agent of client (and can lawfully act Acceptance of service of summons.
on his behalf in any matter in which the client has a  Gen. Rule: An attorney has no power to receive or accept on
right or interest to be protected. behalf of his client the service of summons in his bare
professional capacity.-> He is not, in the absence of other
 circumstances indicated the contrary, an AGENT within the - Here, it doesn’t mean that the one who got
meaning of the rule authorizing service of summons upon an delegated now has an atty-client relation with the
agent of a corporation. client
 Ex. A foreign corporation without any agent or officer in this - Neither of them owes the other any obligation
country other than its counsel who is also its sole - Thus, client is not liable for the fees of the
representative for setting claims sued for a sum of money and associate counsel hired by the lawyer in the
damages, the service of summons made upon its counsel binds absence of an agreement to that effect.
the corporation because. 2. Another lawyer can be made to appear on behalf of the
original lawyer in court (presumed to be empowered to
Delegation of authority. act in that capacity)
 Since the atty-client relationship: one of utmost trust, lawyers  Delegation is prohibited to a: layman-> any work which involves
CAN’T just: the study of law or its application, such as the computation and
1. Simply delegate the confidence and authority without determination of the period within which to appeal an adverse
the client’s express or implied consent judgement.
2. Assign a contract of professional services still to be - WHY? These involve the practice of law which may
rendered in favour of another lawyer without the be undertaken ONLY BY A LAWYER.
client’s conformity
 But, client can always ratify an unauthorized delegation or the B. AUTHORITY TO APPEAR
circumstances of the professional employment may furnish
sufficient basis to assign the retainer, including the authority Generally
implied therefrom.  A lawyer may not represent another in court unless retained or
authorized by the court
 His authority to appear for a client commences only from
Delegation of legal work.
the time he is retained by the client or his agent.
 It’s the CONFIDENCE reposed on the lawyer that can’t be  The authority continues until the termination of the
delegated (without the client’s consent) and NOT the WORK. litigation unless revoked or withdrawn by the client.
 Implied powers of delegation:  No written authority from the client is necessary for a lawyer
1. Delegation to associate or assistant attorney, under his to represent him in court.
supervision and responsibility, part or the whole of the
legal work required to be performed in the prosecution Appearance
or defense of the client’s cause  “Appearance” – coming into court as a party either as a plaintiff
or as a defendant and asking relief

60
  Thereafter, a lawyer for either party may enter his appearance appearance is presumed to be with the previous knowledge and
in any form consent of the litigant whose representation he assumes until
o By filing a pleading/motion the contrary is shown.
o By attending a hearing in court o Mere denial that one didn’t authorize an attorney to
 Appearance as counsel is a voluntary submission to the court’s appear for him, in the absence of a compelling reason,
jurisdiction by a lawyer to represent and plead the cause of is insufficient to overcome the presumption (esp. if the
another denial comes after an adverse judgment)
 The formal method of entering an appearance in a case pending o The appearance of a second attorney does not
in court is to deliver to the clerk of court a written direction authorize the presumption that the first attorney has
asking him to enter his name as counsel for a party and been withdrawn (litigant just employed additional
requesting that copies of notices be sent to him at his address counsel)
with a copy of his appearance furnished the adverse party
o Without formal appearance, counsel is not generally Presumption disputable.
entitled to notice  Presumption that an attorney is duly authorized to manage a
litigation is a disputable one and may be overcome by a clear
General and special appearance. evidence to the contrary.
 General appearance – any action on the part of defendant or his o e.g. litigant is incompetent, foreigner with no
counsel, except to object solely to the jurisdiction of the court knowledge that a lawyer is representing him
over the person of the defendant  Authority of an attorney to appear in a case may be challenged
o “special” – jurisdiction over the person in not expressly by the party adversely affected by the attorney’s
impugned or if impugned other relief is sought (still representation. (could be the client himself)
general)
o Voluntary submission to the jurisdiction of the court Disclosure of authority.
over the person of the defendant and takes place of or  Presiding judge may require him who assumes the right to
cures any defect in the service of summons upon him appear in the case to produce or prove his authority and to
 Special appearance – seeks to contest solely the jurisdiction of disclose, whenever pertinent to any issue, the name of the
the court over the person of the defendant and which seeks person who employed him, based on motion of either party and
no relief other than the dismissal of the action exclusively on on reasonable ground shown
that ground  Failure to present such authority from the client when his
authority to appear is challenged gives rise to the inference that
Presumption of authority. he has no such authority.
 A lawyer is presumed to be properly authorized to represent
any cause in which he appears in all stages of the litigation and
no written authority is required to authorize him to appear.
His
61
Effects of unauthorized appearance. c) He fails to promptly repudiate the assumed
 A party who has not authorized an attorney to represent him is authority
not bound by the attorney’s appearance in the case nor by the
judgment rendered therein. C. CONDUCT OF LITIGATION
 If the unauthorized appearance is willful, the attorney may be Summary: The counsel has an implied authority only with regard to the
cited for contempt as an officer of the court who has direction and management of all the procedural matters of the suit.
misbehaved in his official transactions and can be discipline for
Matters relating to the substantive portion of the litigation and the
professional misconduct.
 For his professional protection, an attorney should enter into a rights of the client shall be left to his own discretion unless counsel is
written retainer or secure from his client a written authority to given authority of there is ratification.
represent him in court.
Client
Ratification of unauthorized appearance.
 Cause of Action
 Unauthorized appearance of an attorney in a case may be
ratified by the patty concerned either expressly or impliedly.  Claim/Demand sued upon
Ratification retroacts to the date of the attorney’s first  Subject Matter of the litigation
appearance and validates the action taken by him and removes  Right to dismiss, settle, or waive his cause
the taint of impropriety in the attorney’s conduct as an officer o Includes renunciation of part or all of the proceeds of a
of the court. favourable judgment
o Express ratification – assertion by the client that he
- Even without notice to or even in disregard of
has authorized the attorney or that he is confirming
his authority to represent him in the case his counsel
o Implied ratification – where a party, with knowledge of - Limitations:
the fact that an attorney has been representing him in a  Bad faith/Fraud of client
case, accepts the benefit of the representation or fails  Contrary to law, PP, PO, Morals, GC
to promptly repudiate the same. Absence of any  Compromise of his rights
renders implied ratification inoperative:
o Why? The essence of a compromise is that the client
a) The party represented by the attorney is of
age/competent, or if suffers from disability, has must give up some of his rights in consideration of the
a duly appointed guardian or legal same act on the part of the other party.
representative o The authority to compromise cannot be lightly
b) The party/guardian is aware of the attorney’s presumed
representation
 o A compromise executed by counsel without special are to be offered. The order of trial
authority or consent on the part of the client is depends on the courts, not a matter
unenforceable (may be ratified by client) between the parties
 Confession of Judgment  Prosecution and management of the suit
o Examples: deliberate refusal to make a defense; express  Exclusive management of the procedural aspect of the
withdrawal of an opposition to a claim litigation, including the enforcement of the rights and remedies
 Dismissal of action of his client
o Dismissal with prejudice – lawyer has no authority  Making admissions of facts
without client’s consent o General Rule: Admissions made by counsel are imputed
 A dismissal with prejudice – adjudication of the to and are conclusive against the client
action upon its merits o Exceptions:
o Dismissal without prejudice – attorney has implied - Where the lawyer oversteps his authority
power - Upon a showing of palpable mistake
 Ex. Client’s repeated failure to appear at the o Limitations:
hearing - limited to the action in which he is retained
- limited to matters of judicial procedure
Lawyer
ex. No admission re: client’s cause, i.e.
 All matters of ordinary judicial procedure/procedural questions damages, plea of guilty
o A lawyer who has been retained to prosecute or defend  Entering into Stipulations
an action has the implied authority to determine what o General Rule: A stipulation is binding upon the client.
procedural steps to take which will serve the best The fact that the client never authorized his attorney to
interests of his client make a particular statement does not detract from its
Examples: binding effect.
- What action/pleading to file, where to file - Stipulations/admissions must be in writing and
- Theory of the case signed by the accused and his counsel
- Defenses to raise o Exceptions:
- Proof/witness - When the client is allowed to withdraw
 But a lawyer may stipulate only as to therefrom with the consent of the other party
facts but not as to the manner the facts
 - When the court, upon showing of palpable  in both cases, the attorney-client relationship is
mistake, permits him to withdraw from the terminated by operation of law
stipulation - the right to be notified through a counsel may be waived
- When what the lawyer agreed is that a witness, either by the attorney or by the client.
if presented in court, would testify as stated by
Notice to one as notice to other counsel; exceptions
the adverse attorney.
- Gen Rule: If a party appears by two or more attorneys of
D. MATTERS IMPUTED TO CLIENT record, notice to one attorney is notice to the others as well as
Knowledge acquired by attorney to the client.
o Regardless if they belong to the same firm or not
- Doctrine of imputed knowledge: assumption that an attorney,
o If all lawyers were given notices the earliest date
who has notice of matters affecting his client, has
of receipt thereof is the starting point from which the
communicated the same to his principal in the course of
reglementary period to comply with what is required is
professional dealings
to be counted.
o Applies regardless of whether or not the lawyer
- EXCEPTIONS:
actually communicated to the client
o 1. Where either by agreement or proper manifestation
o The attorney and his client being one juridical person
of one of the attorneys is expressly designated as one to
Notice to counsel as notice to client whom service is to be made
o 2. Where it is admittedly clear that one is a leading
- the law requires that a service of any written notice shall be counsel
made upon his attorney, unless service upon the party himself is
required by the court Exceptions to the rule that notice to counsel is notice to client
- purpose of the rule is maintain a uniform procedure calculated
- Corollary principle: notice to the client is not a notice in law
to place in competent hands the orderly prosecution of the
- This rule may be relaxed if the strict application may foster
case and the same has beneficial effect upon the prompt
dangerous collusion to the detriment of justice
dispensation of justice.
o Would be easy for the lawyer to sell his client’s right
- Service of notice is to be made to the counsel of record
down the river by alleging that he forgot every process
- Exceptions to notices binding to the client:
of the court affecting his client because he was busy, a
o the lawyer is already dead
notice to such irresponsible lawyer is not binding upon
o qualified for appointment as Asst. provincial fiscal
his client..
 o Notice may be served upon the party if there is - GEN RULE: Service of pleadings motions, notices, orders,
uncertainty as to who the counsel of the party is. judgments and other papers shall be made either personally or
Mode of service of notice by mail.

delivering personally a
copy to the party’s
counsel

asking its receipt be acknowledged (by his

leaving it in his office
clerk)

office is not known

by leaving a copy in his
residence (form 8:00 am if no person is found in his
PERSONAL SERVICE
– 6:00 pm) with a person of sufficient age and discretion residing therein
office

he has no office

ordered by the court

service to a party (not to
** service to the party his counsel) is not a valid service
not represented by
counsel
 management of the litigation and in procedural technique, and
he cannot be heard to complain that the result might have been
Service of registered mail different had his lawyer proceeded differently. negligence
o Deposit to post office of counsel binds the client
o Sealed envelope o May result to an unfavourable judgment against the
o Plainly addressed to the party or his counsel at his office client
(if known), otherwise in his residence (if known) o Presupposes the existence of attorney-client
o With postage fully prepaid relationship
o With instructions to postmaster to return the mail to o (see page 271-273 for the list of mistakes and
the sender after 10 days if undelivered negligence binding upon the client)
o *if no registry service available in locality, service may - Relief from the effects of a judgment will not be granted to a
be done by ordinary mail. party who lost a remedy due to the fault of his counsel, unless
When is personal service complete? counsel can show excusable negligence or accident on his part
o Upon actual delivery as well as a good cause or defense on the client’s part.
o Ordinary mail expiration of 10 days after maiing - The mistake of counsel in the conduct of the proceedings as a
o Registered mail actual receipt by the addressee, result of his ignorance, inexperience or incompetence does not
or after 5 days from date he received notice of the constitute a ground for new trial
postmaster (whichever is earlier) - A client who suffers prejudice by reason of his counsel’s
Evidence of notice certification of the postmaster inexcusable negligence
o May file an action for damages against him
Personal service preferred; explanation required
o Disbarment proceeding
Sec. 11, Rule 13 of the ROC: “Whenever practicable, the service and  Both actions can proceed independently
filing of pleadings and other papers shall be done personally. Except Exceptions to the rule
with respect to papers emanating from the court, a resort to other
modes must be accompanied by a written explanation why the - error committed by the counsel is purely technical in nature which
service or filing was not done personally. A violation of this Rule may does not affect substantially the client’s cause.
be cause to consider the paper not filed.”
- attorney’s departure from procedure may be forgiven where it does
Mistake or negligence of counsel binding upon client not appear to have impaired substantial rights.

- GEN RULE: the client is bound by his counsel’s conduct,

negligence and mistake in handling the case, or in the
- it is not sufficient that a counsel has been grossly negligent to justify a
new trial; it must be shown that the client has good and meritorious
claim or defense and that the client is not himself guilty of the same

Includes:

- cases where reckless or gross negligence of counsel deprives the client

of due process of law

- when application of the rule results to the outright deprivation of

one’s property through a technicality

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CHAPTER VIII. COMPENSATION OF ATTORNEY 2. Rendition by the lawyer of services to the client

A. RIGHT TO ATTY’S FEES

CANON 20 - A LAWYER SHALL CHARGE ONLY FAIR AND REASONABLE

FEES.

Generally.
- Compensation of a lawyer should be mere incident of the
practice of law
- The primary purpose is to RENDER PUBLIC SERVICE
- Because he is an officer of the court charged with the duty of
assisting the court render impartial justice, what he may collect
as his fees is ALWAYS subject to judicial control
- He must remember that practice of law is a PROFESSION and
not a business to take large profits
- Must avoid controversies concerning compensation
- They may file judicial actions for the recovery of their fees but it
must be righteous and well founded

Right to protection for counsel fees

- A lawyer is entitled to judicial protection against injustice,
imposition or fraud on the part of his client
- Court’s duty is not alone to see that lawyer acts in a proper and
lawful manner byt also to see that a lawyer is paid his just fees

Requisites for right to accrue

1. Existence of atty-client relationship
- There’s professional contract, express or implied, between a
lawyer and his client
Written agreement
- This is not necessary to establish client’s obligation to pay
atty’s fees. As long as he is honestly and in good faith trying
to serve and represent his client’s interest, latter is bound to
pay him
- Acts of acceptance is equivalent to a prior engagement
- Client’s oibligation to pay attorney’s fees arises from the
INANIMATE CONTRACT OF facis ut des (I do and you give)
which is based on the principle that no one shall unjustly
enrish himself at the expense of another

Quantum meruit
- If lawyer is employed without an agreed price for his
service, courts will fix amount based on quantum meruit
(the amount which his services merit)
- There MUST be an acceptance of the benefits by one sought
to be charged for the services rendered as reasonably to
notify him that the lawyer performing the task is expecting
to be paid compensation
- This is a device to prevent undue enrichment based on
the equitable postulate that it is unjust for a person to
retain benefit without paying for it
- Atty’s fees are also fixed on the basis of quantum meruit
basis when the amount stipulated in the written agreement
is found to be unconscionable or where the client dismissed
his counsel before the termination of the case or the latter
withdrew for valid reasons

Who is liable for atty’s fees

- General Rule: Only the client who engaged the services
of counsel either personally or through an authorized
agent is liable for the attorney’s fees
 - Exceptions: A person who accepts the benefits of the legal
representation impliedly agrees to pay the lawyer’s service for Liability of assignee
he may not unjustly enrich himself at the expense of the lawyer
- Since assignee usually steps into the shoes of the assignor and
- No obligation to compensate in the absence of an express or
acquires all of the latter’s rights and obligations, he may be held
implied contract
liable for counsel fees.
- Examples:
- It also gives him the right to intervene in the matter of fixing
o Party who was not privy to the employment contract or
the amount of fees which may be a proper charge against the
who did not authorize the lawyer’s retainer is not liable
judgment rendered in the action
for counsel fees
o Party to an action who disauthorized the lawyer to
appeal an adverse judgment may not be held liable for Liability in labor cases
atty’s fees for the successful prosecution of the appeal - Atty’s fees in labor cases may not be more than what the law
taken on behalf of other interested parties provides and they may not be checked off from any amount
o Legatee named in a will who pleaded for its allowance due the employees without their written consent
may not be required to contribut to the fees of the - Examples:
lawyer who succeeded in having the will disapproved o It is but just and fair that the lawyer who represented
o A client cant be held liable for the fees of a lawyer the struggling members of the union to benefits for
whose services were engaged by another on his behalf all employees be paid his just fees by all those who
without his authority, in the absence of ratification or received such benefit
estoppel o If company grants same labor benefits to supervising
employees as those awarded to non-supervisory
Liability of persons benefited by counsel’s services workers not because of the special efforts of the
latter’s lawyer but because of the company’s policy of
- General Rule: A person who had no knowledge of, or objected
non-discrimination, the lawyer is not entitled to claim
to, the lawyer’s representation may not be held liable for atty’s
atty’s fees from the supervisors for the benefits they
fees even if it redounded to his benefit
received
- Objection must be raised before and not after beneficial
services by the lawyer
- The liability is based on equity Liability in derivative suits
- Exception: Employment of a private lawyer to represent a - Where the professional services of counsel are beneficial to
government entity by an official who has no authority in law to the corporation, the counsel fees may be properly charged
do so since the benefits secured by the legal representation against corporation funds
cannot take the place of the law and will not create an - Any stockholder on behalf of the corporation may oppose the
obligation of the part of the gov’t entity to pay the private grant of the said fees
lawyer for his services
Liability in receivership proceedings - In upholding the will, atty is simply serving the departed owner
- The assets under receivership may be liable for the fees of a of the estate and in effect serving the estate
lawyer employed by a receiver to help him in the discharge - But estate may not be liable for counsel fees for services
of his duties rendered to annul a will at the request od the executor; only
- But the atty’s fees in a receivership proceeding are personal the executor may be liable personally
obligations of the defendant and may not be paid out of the - The benefit of the legal rep is the difference between what they
funds in the hands of the receiver unless services by the lawyer would receive without a will and what they would have received
have redounded to the benefit of the receivership or of the under the will
plaintiff who asked for the appointment of the receiver - Rejection is not a valid ground to deny compensation to
the lawyer as his services proved beneficial to the estate
Liability in trusteeship or guardianship proceedings
- General rule: trustee may be indemnified out of the trust Who are entitled to or to share in atty’s fees
estate for his expenses in rendering and proving his accounts - General Rule: lawyers who jointly represent a common client
and for the counsel fees in connection therewith for a given fee, without an agreement as to the division of
- Court may determine WON a trustee may be allowed expenses fees, share equally as they are special partners for a special
for atty’s fees and permitted to charge the same against the purpose
trust estate - If several lawyers separately employed by a client dont have
- Same rule applies in a guardianship proceedings express agreement as to amount of fees, each will be entitled to
- Property of ward may be lawfully answer for counsel fees of the no more than what his services actually performed are
lawyer employed by the guardian reasonably worthy
- No assets of the ward may be spent without the prior approval - Court may award atty’s fee against the proceeds of a judgment
of the guardianship court may apportion the amount among the collaborating lawyers
based on a division of service
Liability in estate proceedings - Improper for atty to receive compensation for merely
- Atty may not hold the estate directly liable for his fees. The recommending another lawyer to his client
liability for pay,net rests on the ecevutor or administrator who
may either seek reimbursement from the state if he has Non-lawyer not entitled to fees
already paid them or include them in his account with due - A non-lawyer cannot recover atty’s fee even if there is a law
notice to all parties interested authorizing him to represent a litigant in court because it
- To hold estate ultimately liable for atty’s fees requires: requires the existence of an atty-client relationship
o That the person to whom the services were rendered
was at the time the executor or administrator
o And the services were rendered in that capacity

70
Restrictions on some lawyers to charge fees - If he is forced to resign, he may lose his right to fees earned
- A lawyer acting in a fiduciary capacity must not place himself in therein
such a position as to make his interests antagonistic with those - If withdrawal is with the client’s written conformity, it is
of his principal presumed that he and his client have agreed to terminate
- Applied even in the absence of an express statutory provision his services
- This operates to: - Withdrawal without the client’s written consent but it was for a
o Restrict the right or to justifiable cause made after due notice to the client, the lawyer
o Limit the amount of atty’s fees which the lawyer may may recover the reasonable worth of his services up to the date
collect of his withdrawal

Right of counsel de oficio to fees Representation of adverse interests

- Counsel de oficio cannot charge government nor the indigent - Simultaneous representation by a lawyer of opposing parties to
litigant for his professional services because it will violate a controversy, in the absence of the client’s consent to the dual
constitutional restriction against taking of property without due representation made after full disclosure of the facts, negates
process of law lawyer’s right to receive compensation from both of them
- WHY? He willingly assumed when he took his oath as a lawyer - Dual representation is improper fi atty’s fees for services
that he will reder free legal services whenever required by the rendered by the lawyer in that dual capacity is also improper
court to do so
- In ROC, there’s token compensation: Lawyer’s right unaffected by client’s conduct
o In light felonies, it must P30-50 - A client cannot, in the absence of the lawyer’s fault, deprive the
o In grave felonies, P100 lawyer of his just fees already earned
o Grave other than capital, P200 - Client cannot deprive his lawyer of what is justly duehim as
o Capital offense, P500 atty’s fees unless lawyer waives such right

Attorney’s conduct affecting his right to fees Attorney’s discharge by client

- The right to recover from his client may be negated by - Discharge without a valid cause before the conclusion of the
misconduct on his part, such as carelessness or negligence, litigation doesn't negate the lawyer’s right to recover payment
misrepresentation, abuse of the client’s confidence or o If there’s no express written agreement as to fees,
unfaithfulness lawyer may only be entitled to recover the reasonable
value of his services up to the time he was dismissed
Withdrawal of counsel from the case o If there’s express written agreement and fee is:
- The withdrawal which prejudices the client negates his right to
compensate for services rendered because it constitutes breach

71
  Absolute and reasonable, then if discharged Client’s compromise of action
without justifiable cause will be entitled for Client has no right to compromise or waive so much of his knowledge
the full amount
claim secured through the efforts of his lawyers as would prejudive the
 Contingent and dismissed before conclusion of
action, may recover reasonable value of his stipulated fee, whether absolute or contingent, and the adverse party
services thus rendered has no right to accept such compromise or waiver unqualifiedly
** If contingency occurs or client prevents its
occurrence by dismissing, he is entitled to the
full amount agreed B. CONTRACT FOR ATTORNEY’S FEES
** Lawyer should question his discharge
otherwise he will be allowed recovery only on a Generally
quantum meruit basis - Contract of professional services may either be
o Oral
o Written
 If with cause, it will not necessarily deprive the lawyer of his
- The fee stipulated may be:
right to be paid
o Absolute
o Contingent
Client’s dismissal of action o May be a fixed percentage of the amount recovered in
- Client may dismiss action even without consent of counsel but the action
he may not deprive his counsel of what is due him as atty’s fees - Contract may call for a downpayment or provide for fee per
for services rendered appearance, per piece of work or on an hourly basis
o If dismissal is in good faith, may recover only reasonable - Written retainer > oral contract WHY?
worth of his service except when fee is contingent in 1. In case of controversy as to the question of fees, written
which case there will be no recovery controls the amount
o If dismissal is in bad faith and wants to defraud lawyer, 2. In case of dismissal of the lawyerby the client before the
lawyer is entitled to the full amount stipulated in a valid conclusion of the litigation without justifiable cause, atty
written constract or in the absence of contract, it will entitled to the full amount stipulated in the written
just be based on quantum meuit agreement. Without it, he can only recover the reasonable
- Lawyer’s consent to the dismissal doesn't necessarily negate his worth of his services up to the date of his dismissal
right to compensate unless such consent amounts to a waiver
Kinds of retainer: GENERAL and SPECIAL
1. General retainer or retaining fee
 – Fee paid to a lawyer to secure his future services as general - Exception: If nullity is due to want of authority on the part of
counsel for any ordinary legal problem that may arise in the one of the contracting parties or to some irregularity in its
routinary business of the client and referred to him for legal formal execution or to the unreasonable amount of fees fixed,
action lawyer can recover what is justly due him for his services on
– Clients pay lawyers fixed retainer fee monthly (depends the basis of quantum meruit.
with their agreement) o WHY? Because the services are legitimate and while
– These fees are paid WON the cases referred to the lawyer contract will not be enforced because of its formal
– WHY? Because it is a compensation for lost opportunity defects, the rule against unjust enrichment will entitle
since lawyer is deprived of the opportunity to render service the lawyer to recover the reasonable worth of his
– PURPOSE: insure and secure future service for a particular services
cases and to prevent undue hardship on the part of an atty
– These are in addition to what the client has agreed to pay Effect of unconscionability of amount
him for services which he has been employed to perform
- Courts may properly modify or disregard a contract of
2. Special retainer
professional services whenever the fee therein fixed is
- Fee for a specific case handled or special services rendered by
unreasonable
the lawyer for a client
- Basis why courts should interfere:
o Provision of law that states that “atty shall be entitled
**Counsel fee vs atty’s fee to have and recover from his client no more than a
- Atty’s fee is part of the damages which the court may award in reasonable compensation for his services”
favor of the prevailing party o Provision of law stating that “a written contract for
services shall control amount to be paid unless found by
Validity of Contracy the court to be unreasonable”
- A contract of professional services becomes the law between o Because a lawyer is an officer of the court charged
the parties when stipulations therein are not contrary to law, with the duty of assisting the court to administer
good morals, good customs, public policy or public order impartial justice
- Example of a null and void contract: A disqualified judge enters - Effect of unconscionability of amount: it will render the
into a professional contract; agreement stipulating an amount contract INVALID and it will not preclude recovery; it will only
which is more than what a law has authorized justify the court to fix the reasonable worth of the lawyer’s
service on the basis of quantum meruit
Effect of nullity of contract Contingent fee contract
- General Rule: Nullity which results from illegality of the - This is a contract between a lawyer and client in which the
object precludes a lawyer from recovering his fees lawyer’s professional fee, usually a fixed percentage of
what may be recovered in the action, is made to depend
upo the success of the litigation
 - A much higher compensation is allowed since there’s also the Construction of professional contract
risk that the lawyer will not get anything - General Rule: To adopt such construction as would be more
- This contract is under the supervision and scrutiny of the court favorable to the client even if it would work prejudice to the
to protect clients from unjust charges. Courts may reduce lawyer
amount if it’s unreasonable even if the lawyer manifests - BASIS:
conformity. WHY? Because when he took his oath, he o Because of the inequality in situation between an atty
submitted himself to the authority of the court and subjects who knows the technivalities of law and his status as an
professional fees to judicial control officer of the court on the one hand and a client who
- Must be in writing, without which, they can only recover on usually is ignorant of the vagaries of the law on the
the basis of quantum meruit other hand
- If there’s initial fee, it’s will be a retaining fee independednt of - A lawyer who prepares such contract is presumed to have
or in addition to the contingent fee. It can still be contingent as seized up the entire situation before entering into the
long as the bulk is dependent upon the successful outcome of agreement. He can’t complain that the fee mutually fixed is
the action disproportionate to the work called for in the contract
- A contingent fee contract is often the only way by which a poor - Words inserted by a client in his own handwriting are to be
litigant may have his right enforced by a lawyer. But it’s also for taken in his favor because it is presumed that it was made
the benefit of the lawyer because he is allowed much higher for his benefit
compensation that what he would be entitled if the fee is - A contract of professional services is interpreted in accordance
absolute with its terms and in favor of the greatest reciprocity of
Validity of contingent fee interest
- Generally valid and binding unless obtained by fraud ,
imposition or suppression of facts or the fee is clearly
excessive as to amount to an extortion C. MEASURE OF COMPENSATION
Effect of agreement to pay litigation expenses Rule 20.01 - Guidelines in determining amount of fees
- The rules of the profession forbid a lawyer from agreeing to pay
or bear the expenses of litigation but he may, in good faith,
A lawyer shall be guided by the following factors in determining his fees:
advance the expenses as a matter of convenience but subject to
reimbursement a) The time spent and the extent of the services rendered or required;
- PURPOSE; To prevent a lawyer from acquiring an interest in b) The novelty and difficulty of the questions involved;
the litigation and avoid conflict of interests between him and c) The importance of the subject matter;
his client d) The skill demanded;
e) The probability of losing other employment as a result of
acceptance of the proffered case;
f) The customary charges for similar services and the schedule of fees concluding the litigation without fault on his part.
of the IBP chapter to which he belongs;
g) The amount involved in the controversy and the benefits resulting
to the client form the service;
h) The contingency or certainty of compensation;
i) The character of the employment, whether occasional or established;
and
j) The professional standing of the lawyer.

General Rule: Where there is a valid written contract fixing the fees, the
contract is conclusive as to the amount of compensation.

Exception: Unless both the attorney and the client expressly or impliedly
set aside the contract and submit the question of reasonableness of the
amount of fees for the court to resolve on quantum meruit basis

Quantum meruit – as much as a lawyer deserves

The court will fix the amount of attorney’s fees on quantum meruit
basis in any of the following instances:
a. The agreement as to counsel fees is invalid for
some reason other than the illegality of the object
of performance;
b. The amount stipulated in the contract is
unconscionable;
c. No agreement as to fees exists between the parties;
d. The client rejects the amount fixed as unconscionable
and is found to be so; and
e. Some act or event has precluded the lawyer from
The nullity of a contract will preclude a lawyer from recovering
compensation for services rendered only if such invalidity proceeds
from the illegality of the object of performance or of the service
performed. Otherwise, he may recover on quantum meruit basis.

Unconscionable fee – that amount which, under the circumstances

surrounding the case, constitutes an over exaggeration of the worth of
the lawyer’s services

What is unconscionable depends upon the circumstances of each case;

there is no hard and fast rule. Example: what is a reasonable amount
in a hard-fought litigation may be unreasonable in a simple collection
case.

If a lawyer presents a claim for more than the amount fixed in the
contract and the client not only rejects such claim but also questions
the reasonableness of the amount fixed therein, both of them are
deemed to have impliedly disregarded the contract and placed
themselves in the position as though there is no express stipulation as
to the attorney’s fees.

If there is an acquiescence by the lawyer of his discharge, he may be

entitled to recover his fees merely on quantum meruit basis,
notwithstanding the existence of a written agreement for so long as he
never questioned it. However, if there is a valid written agreement as
to fees and the lawyer’s discharge is unlawful or in bad faith, he will be
entitled to the full amount so agreed.
The value of the lawyer’s services is in large measure determined by the upon
nature, quality and quantity of such services. The importance and value
of his services should be measured and considered as a whole.

The time employed is not in itself an appropriate basis for fixing the
amount of compensation, but length of employment may mean more
work and lesser opportunity for other profitable retainers.

The skill, experience, and standing of a lawyer bear a direct proportion

to the amount of attorney’s fees to which he may be entitled for his
services.

Generally speaking, the bigger the size or value of the interest or

property involved in a litigation the higher the attorney’s fee is.

The loss of opportunity for other employment on the part of a lawyer

who accepts a retainer is taken into consideration in fixing the amount
of the lawyer’s fee.

Test case. Where several actions or possible disputes involve an

identical question and one case is litigated as a test case, the value in
controversy in all the actions should bear its appropriate proportion to
the amount due as fees to the lawyer who prosecuted the test case. A
test case is usually litigated with energy and diligence because the
resolution of the other actions is made to depend on the favorable
outcome of the test case.

The fact that a lawyer, in spite of his efforts, failed to secure for his
client what he desires does not, however, deprive him of the right to
recover compensation for his services except when the fee agreed
is contingent. A lawyer whose fee is contingent assumes the risk of not secure
getting paid for his services.

The legislature may by law prescribe the limit of the amount of

attorney’s fees which a lawyer may charge his client.

Rule 20.02 - A lawyer shall be entitled to fees based on work

performed A lawyer shall, in cases of referral, with the consent of
the client, be entitled to a division of fees in proportion to work
performed and responsibility assumed.

It is improper for a lawyer to receive compensation for merely

recommending another lawyer to his client for it would tend to
germinate the evils of commercialism and to destroy the proper
appreciation of professional responsibility.

It is only when, in addition to the referral, he performs legal service

that he will be entitled to a fee.

Rule 20.03 - A lawyer shall not receive fee from another without
client's consent

A lawyer shall not, without the full knowledge and consent of the
client, accept any fee, reward, costs, commission, interest, rebate or
forwarding allowance or other compensation whatsoever related to
his professional employment from anyone other than the client.

General rule: A lawyer should receive compensation for his services in

a case only from his client and not from another person. This is to
the lawyer’s wholehearted fidelity to the client’s cause; there should independent civil action
be no room for suspicion.

A corollary of the foregoing rule is the principle that whatever a lawyer

receives from the opposite party in the service of his client belongs to
the client.

Rule 20.04 - A lawyer shall avoid controversies with clients concerning

his fees

A lawyer shall avoid controversies with clients concerning his

compensation and shall resort to judicial action only to prevent
imposition, injustice of fraud.

Suits to collect fees should be avoided, and only where the

circumstances imperatively require should a lawyer resort to lawsuit to
enforce payment of his fees.

He may take judicial action to protect his right to fees either a) in the
main action where his services were rendered or b) in an independent
civil suit against his client.

D. PROCEDURE TO RECOVER FEES

 Petition to recover fees should be filed as an incident to the
main action. It cannot be availed of if the client recovers
nothing in the main action. Why? The question of fees cannot
be determined until after the main litigation has been decided
and the subject of recovery is at the disposition of the court
 Enforcement through main action is preferable than an
  Cases where the lawyer can recover fees through successful party in prosecuting or defending, through counsel, his
an independent civil action: cause in court. The latter, on the other hand, refers to the
o The court trying the main action in which the compensation for the counsel’s services.
lawyer’s services were rendered dismissed the
client’s action or awarded nothing to the client
o The court that decided the main litigation had
no jurisdiction over the action or had already
lost it
o The person liable for attorney’s fees is not a party in
the main action
o The court reserved to the lawyer the right to
file a separate civil suit for the recovery of his
fees
o The services for which the lawyer seeks payment
were rendered in connection with a matter not in
litigation
 An independent civil action for recovery of atty’s fees is
subject to the usual procedural requirements as an ordinary
suit
 The court having jurisdiction to try the main action has
also jurisdiction to pass upon the question of fees
 The persons who are entitled to or must pay the fees have
the right to be heard upon the question of their propriety
or amount -> necessity of a hearing.

E. ATTORNEY’S FEES AS DAMAGES

The attorney’s fee which a court may, in proper cases, award to a

winning litigant is, strictly speaking, an item of damages. It differs
from that which a client pays his counsel for the latter’s professional
services. The former is an indemnity for damages sustained by the
 induce the prosecutor to prosecute, or that the action was filed by a
The fee as an item of damages belongs to the party litigant and not to desire to vex or humiliate him.
his lawyer. It forms part of his judgment recoveries against the losing 5) When the action is clearly unfounded;
party. - The action must be so untenable as to amount to gross
and evident bad faith.
However, the two concepts of attorney’s fees are similar in other 6) When defendant acted in gross and evident bad faith;
respects. They both require, as a prerequisite to their grant, the - This is a corollary of the general principle that everyone must,
intervention of or the rendition of professional services by a lawyer. in the performance of his duties, observe honesty and good faith and of
Both fees are also subject to judicial control and modification. the rule that any one guilty of fraud in the discharge of his obligations
shall be liable for damages.
General rule: Attorney’s fees in the concept of damages are not 7) In actions for support;
recoverable. It is not the fact of winning alone but the attendance of - The person obliged to give support is also obliged to pay such
any of the special circumstances and, in the case of a public litigant, attorney’s fees as may be necessary to enable the person entitled
the existence of the right to private counsel that justify the award of thereto to enforce his rights.
attorney’s fees as damages in favor of the prevailing party. 8) In cases of recovery of wages;
- The court may grant attorney’s fees in favour of household
Exceptions to the rule (attorney’s fees in the concept of damages may helpers, laborers, and skilled workers.
be awarded in the ff circumstances): 9) In actions for indemnity under workmen’s compensation and
1) When there is agreement; employee’s liability laws;
2) When exemplary damages are awarded; - The Workmen’s Compensation Act expressly authorized the
- Exemplary damages are awarded by way of example for award of attorney’s fees in favour of employees in workmen’s
the public good as warranted by the circumstances of the case. compensation cases, but PD 442 repealed this Act and replaced the
3) When defendant’s action or omission compelled plaintiff to compensation scheme with a state insurance system under the
litigate; administration of the Employees Compensation Commission. Such
- To justify the award of attorney’s fees, the act or omission of circumstance, however, does not mean that an employee who appeals
the other party must be in gross bad faith. from an adverse ruling of the Commission may no longer be entitled to
4) In criminal cases of malicious prosecution; an award of attorney’s fees for the Civil Code expressly allows the grant
- To entitle a party to recover such fees, he must not only show of attorney’s fees in such cases.
that he was acquitted in the criminal action but must also prove that the 10) In a separate civil action arising from a crime;
person who charged him knowingly made a false statement of facts to
- An offended party may recover damages arising from a crime unless the text thereof plainly shows the case comes within one of the
against the offender either in the criminal proceeding itself or in a exceptions.
separate civil action filed for the purpose. But he may be granted
attorney’s fees only in a separate civil action to recover all items of In the absence of a showing that the trial court abused its discretion,
damages or in a civil suit to enforce the subsidiary civil liability adjudged the grant of attorney’s fees or the denial thereof may not be disturbed
in the criminal proceedings. on appeal. However, the appellate court may, in the exercise of its
11) When at least double costs are awarded; discretion, award attorney’s fees or increase or reduce the amount
- Double costs are usually awarded in favor of the winning party thereof whenever the law and the circumstances so warrant.
where the action or appeal is frivolous. A frivolous action or appeal is
one which presents no justiciable question or is so readily recognizable The claim for attorney’s fees in the concept of damages and the
as devoid of merit on its face that there is little prospect of succeeding. ground relied upon must be pleaded. In other words, the claim must
12) When the court deems it just and equitable; not only be alleged; the existence of the factual basis and the amount
- To justify such award, there should be factual, legal or equitable thereof must also be proved.
justification which should appear on record. A mere statement by the
court that it deems it just and equitable is insufficient. For it is settled that the award of attorney’s fees is the exception rather
13) When a special law so authorizes. than the rule; hence, the trial court should make findings of fact and
law, which would bring the case within the exception and justify the
Their purpose is to lessen unnecessary litigation, as a plaintiff would award.
rather think twice before instituting a clearly unfounded suit.

To entitle a party to recover attorney’s fees as an item of damages, he

must not only show that the case falls under any of the exceptions; he
must have employed and, in the case of a public litigant, must show his
right to employ a private counsel as well. A successful litigant who
prosecuted his action without the assistance of counsel is not entitled to
the award of attorney’s fees.

The award of attorney’s fees is essentially discretionary with the trial

court. The decision should state the reason why the award is made,
CHAPTER IX. PRESERVATION OF CLIENT’S - However, some privileged communications lose this character
CONFIDENCE by some supervening act done pursuant to the purpose of the
communication.
o Examples: communication intended by the client to be
sent to a third person through his attorney, contents of
CANON 21 - A LAWYER SHALL PRESERVE THE CONFIDENCE AND a pleading prepared by an attorney based on the
SECRETS OF HIS CLIENT EVEN AFTER THE ATTORNEY-CLIENT RELATION IS communication after the pleading is filed
TERMINATED Reason for the Rule

- Adequate legal representation requires a full disclosure of

the facts by the client to his attorney.
Duty to preserve client’s confidence
- The purpose of the privilege is to encourage a client to make full
- It is the duty of an attorney to “maintain inviolate the disclosure to his attorney and to place unrestricted confidence
confidence, and at every peril to himself, to preserve the secret in him in matters affecting his rights or obligations.
of his client.” - It is founded proceeds on the premise that the benefits derived
o This duty involves the application of rules of evidence therefrom justify the risk that unjust decisions may sometimes
and of professional ethics needed to safeguard the result from the suppression of relevant evidence. = public policy
client’s confidence. - It is also to preserve the confidential and trust relation
- This rule makes the confidential communication between the which exists between attorney and client.
attorney and client privileged. Neither of them can be - Information secured is sacred to the employment to which it
compelled to disclose any privileged communication. pertains, and to permit it to be used in the interest of the
- This rule applies to matters disclosed to him by prospective attorney and other persons or, worse, in the interest of the
clients. adverse party.

Duration of Duty Requisites of the privilege

- This duty is perpetual. It outlasts his professional employment 1. Legal advice of any kind
and even the death of the client. This professional confidence is 2. This is sought from an attorney
not divested by these events. 3. The attorney does this in his professional capacity
- After the severance of the relation, he may not: 4. It is with respect to communications relating to that purpose
1. Do anything which will injuriously affects his former client 5. The client makes it in confidence.
2. Disclose or use against him any knowledge of 6. It permanently protects such communication.
information acquired by virtue of his professional - This may be waived
relationship.
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 - If all of them are present, there is evidentiary privilege. discloses the information to no third person other than one
- The question of privilege is for the court to determine and may reasonably necessary for the transmission of the information or
not be passed upon in advance by the appellate court in a the accomplishment of the purpose for which it was given.
certiorari proceeding. - When a third person overhears the conversation, the privilege is
- The nature, circumstances and conditions of the questions or not necessarily destroyed but the third person is not covered by
answers determine if the privilege should be granted. the privilege.
- The party who asserts the privilege has the burden of proof to
establish it.
Form or mode of communication

Relation of attorney and client - The privilege embraces not only oral or written statements but
actions, signs or other means of communication.
- The person from whom legal advice is sought must be an - The only question is whethere they have been intended to be
attorney. However, if a person poses as a lawyer for some part of the communication.
ulterior purpose and a client confides to him confidential - A communication may be transmitted by any form of agency
communications in reliance upon the supposed relations of (ex: messenger, interpreter)
attorney and client, it is privileged.
- A communication not within the attorney-client relation is not
privileged. Persons entitled to claim privilege
- When a person solicits professional employment and volunteers
information to a lawyer, it is not a confidential communication - It applies to the attorney and his client as well as to the
within the meaning of the privilege. attorney’s secretary, stenographer or clerk with reference to
any fact acquired in such capacity.
- It also applies to any other agent of transmitting the
Confidentiality communication.
- An expert needed for effective consultation is also covered.
- The client must intend the communication to be confidential. - The fact that a person to whom the privilege extends will be
The mere relation does not automatically assume confidential presented as a witness does not, however, render a
nature. communication, otherwise privileged and acquired by him, not
- The essence of the veil of secrecy is because it is to seek legal privileged.
advice from his attorney as to his rights or obligations. - The privilege is intended primarily for the protection of the
- A confidential communication refers to information transmitted client and incidentally in consideration for the oath and honor
by voluntary act of disclosure between attorney and client in of the attorney.
confidence and by means which, so far as the client is aware,

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Application of rule Unprivileged matters

- It may either be privileged or unprivileged within the meaning - Any communication that lacks any element is generally
of the evidentiary rule against compelling the disclosure of not privileged.
privileged communications. This is only important when a - The communication must have been transmitted by a client
lawyer is called to be a witness but he must still give importance to an attorney for the purpose of seeking legal advice.
to propriety and ethics. - Papers given to an attorney for custodial purposes normally
aren’t covered by the character of privileged communication.
- The privilege does not, as a rule, attach to communications
Privileged matters concerning the creation of the attorney-client relationship and
the name of the client.
- The work product of a lawyer, such as his effort, research and
thought, contained in his files is privileged.
Rule 21.01 - A lawyer shall not reveal client’s confidence.
- The purchase of the practice and goodwill of a deceased
attorney by another lawyer not his partner may likely involve a
violation of that rule. A lawyer shall not reveal the confidences or secrets of his client except:
- A document privileged upon delivery to an attorney retains its a) When authorized by the client after acquianting him of
privileged character in the hands of the client. the consequences of the disclosure;
- A distinction should be drawn between a crime or fraud b) When required by law;
already committed by a client on the one hand and a crime or c) When necessary to collect his fees or to defend himself, his
fraud being committed or is about to be committed on the
employees or associates or by judicial action.
other hand. If it is about to be committed, it is not covered by
the privilege.
o The litigation should not have commenced.
o A third person should not be implicated. - The rule also applies to matters disclosed to the lawyer by a
o An attorney should not be employed for a future prospective client.
criminal transaction. - A lawyer may not disclose information other than what may be
o It should not be for the prosecution of a lawyer for a necessary to prosecute or defend his client’s cause. A lawyer
criminal offense. must not send files to the opposing party showing the weakness
- The privilege extends to non-disclosure of the name of the of the case.
client if it will implicate the client or where the disclosure - Only the client can destroy the privilege.
would open the client to civil liability. - If a client after his testimony confides to his counsel that he
- Relevant statements made in pleading or in open court are has committed perjury, it then involves a balancing of loyalties.
absolutely privileged regardless of their defamatory tenor. Either he owes it to the profession and the public to bring the
knowledge to the prosecuting authorities or he should endeavor
to rectify it together with the client. This conflict may be
 reconciled by confining the disclosure to unprivileged - The client may waive either personally or through his attorney.
communications or to those exceptions to the privilege. But when it involves the attorey’s relation with his client, only
- Loyalty to the court also consists of the steadfast maintenance the client may waive it. A lawyer may not waive it as an excuse
of principles which the courts themselves have evolved for the to justify his disclosure or use, in favor of a third party, of his
effective administration of justice, one of the most firmly client’s secrets.
established of which is the preservation undisclosed of the - The waiver cannot be partial.
client’s confidences communicated to the lawyer in his
professional capacity.
- Unless the revelation by a lawyer of his client’s confidence falls Disclosure to protect attorney’s rights
under any of the exceptions, it constitutes a breach of trusts
sufficient to warrant imposition of disciplinary sanction against - The privileged relation exists only for lawful and honest
him. purposes. It cannot shield wrongdoings.
- Article 209 of the RPC (revelation of secrets) is distinct from - If the attorney is accused by his client or a third party
the disbarment proceedings against an erring lawyer. of misconduct, he may disclose the truth.
- He may do what is needed as is necessary to protect his rights.

Exceptions to rule against disclosure of client’s secrets

Communications as to crime
1. When authorized by the client after acquainting him of the
consequences of the disclosure - The privileged communication between attorney and client may
2. When required by law be a shield of defense as to crimes already committed. He may
3. When necessary to collect his fees or to defend himself, confess guilt and be covered by the privilege.
his employees or associates or by judicial action - The protection though does not extend to those made in
4. When it refers to the commission of a contemplated crime or contemplation of a crime or perpetuation of a fraud.
the perpetuation of a fraud - The privilege cannot be used as a weapon of offense to enable a
person to carry out a contemplated crime against society. The
law does not make a law office a nest of vipers in which to
Client’s waiver of privilege hatch crimes of frauds.
- The one alleging that the communication is not privileged must
- Since the privilege is intended primarily for the client’s show prima facie evidence that ithas some foundation in fact.
protection, only the client can waive it. The exception is when it - However, if a client not knowing a contemplated action to be
is with regard to the attorney’s secretary, stenographer or clerk wrong or having some doubt in that respect makes it privileged.
because the attorney’s consent is necessary.
It is the duty of an attorney to divulge the communication of his client
as to his announced intention to commit a crime to the proper A lawyer may disclose the affairs of a client of the firm to partners or
authorities. His duty to the public obliges him to disclose it. associates thereof unless prohibited by the client.

Rule 21.02 - A lawyer shall not use client’s secrets without his consent
A lawyer shall not, to the disadvantage of his client, use information
acquired in the course of employment, nor shall he use he same to his
own advantage or that of a third person, unless the client with full
knowledge of the circumstances consents thereto.

- The revelation by a lawyer of the client’s confidence or secret without

his consent is improper but when it is done to benefit the lawyer or a
third person without the client’s consent is more reprehensible because
it strikes deeply against the attorney-client relationship.

- The profession will suffer by the loss of confidence in the lawyer.

Rule 21.03 - A lawyer shall not give information from his files

A lawyer shall not, without the written consent of his client, give
information from his files to an outside agency seeking such
information for auditing, statistical, bookkeeping, accounting, data
processing, or any similar purpose.

- The work product of a lawyer is included in privileged matters.

- The purchase of the goodwill of a deceased attorney by another
lawyer may likely involve a violation of such rule.

Rule 21.04 - A lawyer may disclose affairs of client to partners

 In the discharge of his professional duties to a client, a lawyer may avail
- The rule is that the professional employment of a law firm is of clerical aid from certain individuals. The information they encounter
equivalent to the retainer of the members thereof even is privileged.
though only one of them is consulted; conversely, the
employment of one member of a law firm is generally Rule 21.06 - A lawyer shall avoid indiscreet conversation about client’s
considered as employment of the law firm. affairs
- The disclosure is not to a third person because members
of associates in the law firm are considered as one
A lawyer shall avoid indiscreet conversation about a client’s affairs even
person.
with members of his family.
Rule 21.05 - A lawyer shall adopt measures against disclosures of
client’s secrets
- This rule is intended to better preserve the client’s confidences
and secrets.
A lawyer shall adopt such measures as may be required to prevent
those whose services are utilized by him, from disclosing or using Rule 21.07 - A lawyer shall not reveal his having been consulted
confidences or secrets of the client.
A lawyer shall not reveal that he has been consulted about a particular
case except to avoid possible conflict of interest.
 - The disclosure and the lawyer’s opinion for a prospective client
creates a relationship even if he does not eventually accept the
employment.
He should ascertain as soon as practicable whether the matter would
involve a conflict of interest with his other client or his own. If so, he
should not allow himself to be employed with the prospective client.
CHAPTER X. TERMINATION OF AUTHORITY, But insofar as the court and the adverse party are concerned, the
CHANGE OF COUNSEL AND ATTORNEY’S LIEN severance of the relation of attorney and client is not effective until a
notice of discharge by the client or a manifestation clearly indicating
A. TERMINATION OF COUNSEL’S AUTHORITY that purpose is filed with the court and a copy thereof served upon the
adverse party. Before that formality is complied with, any judicial
notice sent to counsel is binding upon the client.
CANON 22 - A LAWYER SHALL WITHDRAW HIS SERVICES ONLY FOR
GOOD CAUSE AND UPON NOTICE APPROPRIATE IN THE The duty of the lawyer, upon being informed by his client that his
CIRTUMSTANCES. services have been dispensed with, is to file a notice of withdrawal with
the client's conformity.

A client has the absolute right to discharge his attorney at any time EFFECT OF DISCHARGE OF ATTORNEY: He cannot pretend to continue
with or without cause or even against his consent. The existence or representing his client. However, if he reappears as counsel, it is
non- existence of a just cause is important only in determining the presumed that he has been reemployed by the client.
right of an attorney to compensation for services rendered.
DEATH OR INCAPACITY OF CLIENT: As the relation of attorney and client
The client's loss of confidence in his lawyer deprives the relation of that is personal and one of agency, it terminates upon the death of the
special element of trust which furnishes the basis of the client's right to client. Thereafter, the attorney loses his standing in court to represent
dismiss him. the deceased client or the latter's estate, unless he is retained by the
administrator, executor or legal representative of the deceased client.
LIMITATIONS ON CLIENT'S RIGHT: The attorney may, in the discretion of
the court, intervene in the case to protect his right to fees. A client may The relation of attorney and client also terminates upon the incapacity
not be permitted to abuse his right to discharge his counsel as an excuse or incompetency of a client during the pendency of the litigation, the
to secure repeated extensions of time to file a pleading or to indefinitely reason being that the client loses the legal capacity to contract or to
avoid a trial. control the subject matter of the action.

It shall be the duty of the attorney to inform the court promptly of the
NECESSITY OF NOTICE OF DISCHARGE: No formal notice of discharge by
death, incapacity or incompetency of his client and to give the name
the client to his lawyer is necessary. Any act of the client indicating an
and residence of his executor, administrator, guardian or other legal
unmistakable purpose to terminate the relation is sufficient.
representative.
 withdrawal in court. He must serve a copy of his petition upon his client
Rule 22.01 – A lawyer shall withdraw only for good cause

A lawyer may withdraw his services in any of the following cases:

a) When the client pursues an illegal or immoral course of conduct in
connection with the matter he is handling;
b) When the client insists that the lawyer pursue conduct violative of
these canons and rules;
c) When his inability to work with co-counsel will not promote the best
interest of the client;
d) When the mental or physical condition of the lawyer renders it
difficult for him to carry out the employment effectively;
e) When the client deliberately fails to pay the fees for the services or
fails to comply with the retainer agreement;
f) When the lawyer is elected or appointed to public office; and
g) Other similar cases.

He may not withdraw or be permitted to withdraw as counsel in a case

if such withdrawal will work injustice to a client or frustrate the ends of
justice.

A lawyer may retire at any time from any action or special proceeding
with the written consent of his client filed in court and copy thereof
served upon the adverse party. If no new counsel has entered his
appearance, the court may, in order to prevent a denial of a party's right
to assistance of counsel require that the lawyer's withdrawal be held in
abeyance.

PROCEDURE FOR WITHDRAWAL: The lawyer must file a petition for

and the adverse party at least three days before the date set for
hearing. He should moreover present his petition well in advance of
the trial of the action to enable to client to secure the services of
another lawyer. If the application is filed under circumstances that do
not afford a substitute counsel sufficient time to prepare for trial, the
court may deny his application and require him to conduct the trial.

Until his withdrawal shall have been approved, the lawyer remains
counsel of record. Any notice served upon him is notice to and binding
upon the client.

DEATH OF ATTORNEY: A contract of professional employment

terminates upon the death of an attorney. But the death of a partner
in a law firm does not severe the professional employment between
the law firm and the client. Neither does the dissolution of a law firm
in itself bring about that result.

ACCEPTANCE OF INCOMPATIBLE OFFICE: A lawyer's qualification to

public office operates to terminate the existing attorney-client
relationship. The court does not, however, take judicial notice of the
appointment or election of an attorney to a public office. In the
absence of a withdrawal or manifestation to that effect, the court
may still regard him as the counsel of record upon whom written
notice may be served which will bind the client.
B. CHANGE OR SUBSTITUTION OF COUNSEL chance to have his right to attorney’s fees be preserved and
Change of counsel protected

1) client discharges attorney with or without cause: no consent or Defective substitution and effects thereof
notice to lawyer needed, nor court approval
- A defective substitution is one which lacks any of the requisites
2) attorney may initiate move by withdrawing his appearance with
for a valid substitution.
written consent of client or with leave of court on some
- It does not effect a change of counsel; nor constitute an
justifiable ground
appearance of new lawyer, both of whom shall be deemed
3) substitution of counsel in the form of application for that
counsel of record; pleadings filed by the new lawyer
purpose: constitutes an appearance of the substituting counsel
deemed effective
and is a polite way of effecting change; compliance with
formalities is necessary since it involves ethical considerations Employment of additional counsel
Requirements for substitution - Client has right to as many lawyers as he can afford. Client’s
proffer of assistance of additional counsel should not be
1) written application for substitution
regarded as evidence of want of confidence.
2) written consent of client
- Professional courtesy requires that a lawyer retained as
3) written consent of attorney to be substituted
collaborating counsel should at least communicate with counsel
of record before entering his appearance and should decline
**in case written consent of attorney cannot be secured, proof
association if objectionable to original counsel.
of service of notice of application upon attorney to be
- But if first lawyer is relieved by client, another lawyer may come
substituted. into the case
** in case of death of original attorney, additional requirement
of verified proof of death necessary C. ATTORNEY’S LIEN
usually initiated by substituting counsel hence the need to
obtain conformity of original lawyer or at least notice to original Rule 22.02 – A lawyer’s withdrawal or discharge shall be without
lawyer of substitution prejudice to his attorney’s lien
consent of original lawyer or notice requirement is designed
to afford the lawyer the opportunity to protect his right to A lawyer who withdraws or is discharged shall, subject to a retainer lien,
attorney’s fees. If he gives consent, it is presumed he has immediately turn over all papers and property to which the client is
settled that question. If not, he can ask in same action that his entitled, and shall cooperate with his successor in the orderly transfer of
the matter, including all information necessary for the proper handling PROPERTY TO WHICH LIEN ATTACHES: The general, possessory or
of the matter. retaining lien of an attorney attaches to all property, papers, books,
documents or securities of the client that lawfully come to the lawyer
professionally or in the course of his professional employment, not
The law creates in favor of a lawyer a lien not only upon the funds, necessarily in connection with a particular case but any case or matter
documents and papers of his client which have lawfully come into his handled for the client.
possession until what is due him has been paid (retaining lien) but also WHEN LIEN ATTACHES: The retaining lien attaches from the moment
a lien upon all judgments for the payment of money and executions the attorney lawfully obtains and retains possession of the funds,
issued in pursuance of such judgments rendered in the case wherein his documents and papers of the client.
services have been retained by the client (charging lien).
BOND FOR RETURN OF DOCUMENTS: The court may require the
A retaining lien is a general lien for the balance of the account due to surrender of the lien upon the client’s posting of an adequate bond or
the attorney from his client for services rendered in all matters which he security to guarantee payment of the lawyer’s fees.
may have handled for the client, regardless of their outcome. A charging
lien is a special lien in a particular case and presupposes that a favorable If the papers or documents have been improperly or illegally taken from
judgment has been secured for the client in that case. the custody of the attorney, his lien is not lost thereby, unless by his act
or omission he waives his right thereto.
NATURE AND ESSENCE OF RETAINING LIEN
SATISFACTION OF LIEN: The lawyer may lawfully apply the client’s funds
A retaining lien is a passive right and cannot be actively enforced. The in satisfaction of his claim. All that is required is for the lawyer to send
inconvenience that may cause the client as a result of the retaining lien his client an accounting. But where the client dispute’s the amount, he
exercised by the attorney is the reason and essence of the lien. Such should file an action in court to fix the amount of fees.
inconvenience or disadvantage may induce the client to pay the lawyer
and his fees and disbursements. NATURE AND ESSENCE OF CHARGING LIEN

REQUISITES FOR VALIDITY A charging lien is a special lien. It is a charge upon the thing which is
(1) attorney-client relationship protected in equity. It presupposes that the attorney has secured a
(2) lawful possession by the lawyer of the client's funds, documents and favorable money judgment for his client.
papers in his professional capacity
(3) unsatisfied claim for attorney's fees or disbursements REQUISITES FOR VALIDITY
(1) attorney-client relationship ASSIGNMENT OF CHARGING LIEN: It may be transferred (i.e. to the
(2) attorney has rendered services surviving partners if the lawyer dies).
(3) money judgment favorable to the client has been secured in the
action
(4) attorney has a claim for attorney’s fees or advances
(5) statement of his claim has been duly recorded in the case with
notice thereof served upon the client and the adverse party

A copy of the claim is served upon the client to give him the opportunity
to object. A copy is also served upon the adverse party so that he may
preserve the attorney’s fees and take cognizance of the claim of the
lawyer.

TO WHAT CHARGING LIEN ATTACHES: Payment of money and the

executions issued in pursuance of such judgment. It does not attach to
property or land in litigation. But he cannot have preference over and
better right than the judgment creditor in the payment of his
professional fees. (This means that: a legitimate debt of his client will be
paid first before his lien attaches).

EFFECTS OF CHARGING LIEN: The lien gives the lawyer the right to
collect a certain amount from out of the judgment or award rendered
in favor of his client.

The lien survives the death of the client and need not therefore be
enforced in the proceeding for the settlement of the client’s estate.

EXTINGUISHMENT OF CHARGING LIEN: It is extinguished when the

client loses the action.

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