There is absolutely no guarantee or warranty that these are the latest or correct version of the Kentucky Rules of Professional Conduct.
See the Kentucky Supreme Court web site for the current version. This is provided for information only.
In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client's situation.
(a) A lawyer may only act as intermediary between clients if:
(1) the lawyer consults with each client concerning the implications of the common representation, including the advantages and risks involved, and the effect on the attorney-client privileges, and obtains each client's consent to the common representation;
(2) the lawyer reasonably believes that the matter can be resolved on terms compatible with the clients' best interests, that each client will be able to make adequately informed decisions in the matter and that there is little risk of material prejudice to the interests of any of the clients if the contemplated resolution is unsuccessful; and
(3) the lawyer reasonably believes that the common representation can be undertaken impartially and without improper effect on other responsibilities the lawyer has to any of the clients.
(b) While acting as intermediary, the lawyer shall consult with each client concerning the decisions to be made and the considerations relevant in making them, so that each client can make adequately informed decisions.
(c) A lawyer shall withdraw as intermediary if any of the clients so requests, or if any of the conditions stated in paragraph (a) is no longer satisfied. Upon withdrawal, the lawyer shall not continue to represent any of the clients in the matter that was the subject of the intermediation.
(a) A lawyer may undertake an evaluation of a matter affecting a client for the use of someone other than the client if:
(1) the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client; and
(2) the client consents after consultation.
(b) Except as disclosure is required in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6.
A lawyer shall not knowingly bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established.
A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client.
(a) A lawyer shall not knowingly:
(1) make a false statement of material fact or law to a tribunal;
(2) fail to disclose a material fact to the tribunal when disclosure is necessary to avoid a fraud being perpetrated upon the tribunal;
(3) fail evidence that the lawyer knows to be false. If a lawyer has offered material evidence and comes to know of its falsity, the lawyer shall take reasonable remedial measures.
(b) The duties stated in paragraph (a) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6.
(c) A lawyer may refuse to offer evidence that the lawyer reasonably believes is false.
(d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer which will enable the tribunal to make an informed decision, whether or not the facts are adverse.
(e) The obligation of the advocate under these rules is subordinate to such constitutional requirements as may be announced by the courts.
A lawyer shall not:
(a) Unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act;
(b) Knowingly or intentionally falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;
(c) Knowingly or intentionally disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists;
(d) In pretrial procedure, knowingly or intentionally make a frivolous discovery request or deliberately fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party;
(e) In trial, knowingly or intentionally allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused;
(f) Present, participate in presenting, or threaten to present criminal or disciplinary charges solely to obtain an advantage in any civil or criminal matter.
A lawyer shall not:
(a) Seek to influence a judge, juror, prospective juror or other official by means prohibited by law;
(b) Communicate ex parte with such a person as to the merits of the cause except as permitted by law; or
(c) Engage in conduct intended to disrupt a tribunal.
(a) A lawyer shall not make an extrajudicial statement that a reasonable person would expect to be disseminated by means of public communication if the lawyer knows or reasonably should know that it will have a substantial likelihood of materially prejudicing an adjudicative proceeding
(b) A statement referred to in paragraph (a) ordinarily is likely to have such an effect when it refers to a civil matter triable to a jury, a criminal matter, or any other proceeding that could result in incarceration, and the statement relates to:
(1) the character, credibility, reputation or criminal record of a party, suspect in a criminal investigation or witness, or the identity of a witness, or the expected testimony of a party or witness;
(2) in a criminal case or proceeding that could result in incarceration, the possibility of a plea of guilty to the offense or the existence or contents of any confession, admission, or statement given by a defendant or suspect or that person's refusal or failure to make a statement;
(3) the performance or results of any examination or test or the refusal or failure of a person to submit to an examination or test, or the identity or nature of physical evidence expected to be presented;
(4) any opinion as to the guilt or innocence of a defendant or suspect in a criminal case or proceeding that could result in incarceration;
(5) information the lawyer knows or reasonably should know is likely to be inadmissible as evidence in a trial and would if disclosed create a substantial risk of prejudicing an impartial trial; or
(6) The fact that a defendant has been charged with a crime, unless there is included therein a statement explaining that the charge is merely an accusation and that the defendant is presumed innocent until and unless proven guilty.
(c) Notwithstanding paragraphs (a) and (b)(1-5), a lawyer involved in the investigation or litigation of a matter may state without elaboration:
(1) the general nature of the claim or defense;
(2) the information contained in a public record;
(3) that an investigation of the matter is in progress, including the general scope of the investigation, the offense or claim or defense involved and, except when prohibited by law, the identity of the persons involved;
(4) the scheduling or result of any step in litigation;
(5) a request for assistance in obtaining evidence and information necessary thereto;
(6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest; and
(7) In a criminal case:
(i) the identity, residence, occupation and family status of the accused;
(ii) if the accused has not been apprehended, information necessary to aid in apprehension of that person;
(iii) the fact, time and place of arrest; and
(iv) the identity of investigating and arresting officers or agencies and the length of the investigation.
(a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness except where:
(1) the testimony relates to an uncontested issue;
(2) the testimony relates to the nature and value of legal services rendered in the case; or
(3) disqualification of the lawyer would work substantial hardship on the client.
(b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9.
The prosecutor at all stages of a proceeding shall:
(a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause;
(b) make reasonable efforts to assure that the accused has been advised of the right to, and the procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;
(c) make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to the tribunal all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal.
In the course of representing a client a lawyer shall not knowingly make a false statement of material fact or law to a third person.
In representing a client, a lawyer shall not communicate about the subject of the representation with a party the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized by law to do so.
In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding.
In representing a client, a lawyer shall not knowingly use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or knowingly use methods of obtaining evidence that violate the legal rights of such a person.
(a) A partner in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.
(c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional Conduct only if:
(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a partner in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
(a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person.
(b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty.
With respect to a nonlawyer employed or retained by or associated with a lawyer:
(a) a partner in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person's conduct is compatible with the professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person's conduct is compatible with the professional obligations of the lawyer; and
(c) a lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer only if:
(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a partner in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
(a) A lawyer or law firm shall not share legal fees with a nonlawyer, except that:
(1) an agreement by a lawyer with the lawyer's firm, partner, or associate may provide for the payment of money, over a reasonable period of time after the lawyer's death, to the lawyer's estate or to one or more specified persons;
(2) a lawyer who undertakes to complete unfinished legal business of a deceased lawyer may pay to the estate of the deceased lawyer that proportion of the total compensation which fairly represents the services rendered by the deceased lawyer; and
(3) a lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and
(4) a lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit- sharing arrangement.
(b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law.
(c) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer's professional judgment in rendering such legal services.
(d) A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if:
(1) a nonlawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration; or
(2) a nonlawyer has the right to direct or control the professional judgment of a lawyer.
A lawyer shall not:
(a) practice law in a jurisdiction where doing so violates the regulation of the legal profession in that jurisdiction; or
(b) assist a person who is not a member of the bar in the performance of activity that constitutes the unauthorized practice of law.
A lawyer shall not participate in offering or making:
(a) a partnership or employment agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
(b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a controversy between private parties.
A lawyer is encouraged to voluntarily render public interest legal service. A lawyer is encouraged to accept and fulfill this responsibility to the public by rendering a minimum of fifty (50) hours of service per calendar year by providing professional services at no fee or a reduced fee to persons of limited means, and/or by financial support for organizations that provide legal service to persons of limited means. Donated legal services may be reported on the annual dues statement furnished by the Kentucky Bar Association. Lawyers rendering a minimum of fifty (50) hours of donated legal services shall receive a recognition award for such service from the Kentucky Bar Association.
A lawyer should not seek to avoid appointment by a tribunal to represent a person except for good cause, such as:
(a) representing the client is likely to result in violation of the Rules of Professional Conduct or other law;
(b) representing the client is likely to result in an unreasonable financial burden on the lawyer; or
(c) the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer's ability to represent the client.
A lawyer may serve as a director, officer or member of a legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization
(a) if participating in the decision would be incompatible with the lawyer's obligations to a client under Rule 1.7; or
(b) where the decision could have a material adverse effect on the representation of a client who will be served by lawyers provided by the organization whose interests are adverse to a client of the lawyer.
A lawyer may serve as a director, officer or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially affected by a decision in which the lawyer participates, the lawyer shall disqualify himself from the matter
For purposes of Rule 7, the following definitions shall apply:
(1) "Advertise" or "advertisement" means to furnish any written, printed or broadcast information or any other communication containing an attorney's name or other identifying information, except the following:
(a) A professional card of an attorney identifying the attorney by name and as a lawyer, and giving address(es), telephone number(s), fax number(s), and e-mail address(es), but no other information. A professional card of a law firm may also give the names of members and associates, and jurisdictions in which the lawyer is licensed to practice.
(b) A public service broadcast announcement identifying the sponsor as a lawyer or law firm, by name, address(es), telephone number(s), but no other information.
(c) A professional announcement stating new or changed associations or addresses or change of firm name. It shall not state biographical data except to the extent necessary to identify the lawyer or to explain the change in his or her association, but it may state the immediate past position of the lawyer and jurisdictions in which the lawyer is licensed to practice. It may give the names and dates of predecessor firms in a continuing line of succession.
(d) A regularly published professional directory.
(e) A sign on or near the law office and in the building directory identifying the law office and containing only the information specified in subsection (a) of this section.
(f) A letterhead of a lawyer containing addresses, telephone numbers, fax numbers, e-mail addresses, the name of the law firm, associates, and the jurisdictions in which the lawyer is licensed to practice. A letterhead of a law firm may also give the names of members and associates, and names and dates relating to deceased and retired members. A lawyer may be designated “Of Counsel” on a letterhead if there is a continuing relationship with a lawyer or law firm, other than as a partner or associate. A lawyer or law firm may be designated “General Counsel” or by similar professional reference on stationery of a client if the lawyer or the firm devotes a substantial amount of professional time in the representation of that client. The letterhead of a law firm may give the names and dates of predecessor firms in a continuing line of succession.
(g) Any communication by a lawyer to third parties that is further distributed by a third party who is not in any way controlled by the lawyer, and for which distribution the lawyer pays no consideration, shall be exempt from all the provisions of these Rules except Rule 7.10.
(h) Communication to, for or on behalf of an existing client shall not be included within the definition herein. It is not the intention of the Rules to designate such communications performed in the regular course of representation of an existing client as advertising.
(i) The inclusion of any truthful information pertaining to national certification by an organization qualifying under Peel v. Attorney Registration and Disciplinary Commission of Illinois , 110 S.Ct. 2281 (1990), shall not disqualify a communication otherwise exempt under these Rules.
(2) "Legal Services" means the practice of law as defined in SCR 3.020.
(3) “Commission” when used in SCR 3.130(7) means Attorneys’ Advertising Commission.
(1) There shall be created an Attorneys’ Advertising Commission which shall perform such functions in regulating attorney advertising as prescribed in these Rules.
(2) The Commission shall consist of nine (9) persons appointed by the President and approved by the Board of Governors. Each Commission member shall be appointed for a term of three years, with terms so established that the terms of the Commission members shall be staggered. Vacancies for unexpired terms shall be filled in the same manner as original appointees, but the appointees shall hold office only to the end of the unexpired term. No member may serve more than two (2) terms in succession, and may be removed at any time by a majority vote of the Board.
(3) Each Commission member shall be a citizen of the United States, licensed to practice law in the Courts of the Commonwealth.
(4) The Commission shall be provided with sufficient administrative assistance from the Director as from time to time may be required.
(5) The Commission shall have general responsibilities for the implementation of this Rule. In discharging its responsibilities the Commission shall have authority to:
(a) Issue and promulgate regulations and such forms as may be necessary, subject to prior approval by the Board. Each member of the Association shall be given at least sixty (60) days advance notice of any proposed regulations and an opportunity to comment thereon. Notice may be given by publication in the state journal of the Kentucky Bar Association.
(b) Report to the Board at its last meeting preceding the Annual Convention of the Association, and otherwise as required, on the status of advertising with such recommendations or forms as advisable.
(c) Delegate to an employee of the Kentucky Bar Association the authority to approve advertisements on its behalf submitted pursuant to Rule 7.05(2).
(d) Hold hearings, conduct investigations, subpoena witnesses and documents and administer oaths or delegate this authority to a Commission member or a hearing officer who shall proceed in the name of the Commission.
(e) Seek out violations of these Rules and resolve the violations under Rule 7.06(4).
(6) A quorum to do business in meetings of the Commission shall consist of not fewer than two (2) of its members in attendance; provided, however, that one member, or a hearing officer appointed by the Commission, may conduct hearings and in an emergency where a quorum is unavailable one member may issue a notice of proposed disapproval under Rule 7.06.
(1) A lawyer who advertises a fee for routine services and accepts the employment must perform such services for the amount advertised. In addition, a detailed description of what services are included in the “routine services” must be supplied to the Commission with each advertisement and to each prospective client who requests such a description. If the client is required to pay court costs and/or case expenses in addition to the attorney’s fee, the advertisement shall state in all capital letters, “COURT COSTS MAY BE REQUIRED.”
(2) No advertisement shall describe a fee or fees as “reasonable.”
No attorney may advertise unless the attorney complies with either SCR 3.130, Rule 7.05 (1) or (2).
(a) An attorney may employ the following in an advertisement:
(1)
(2)
(4)
(5)
(6)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
(23)
(24)
(25)
(26)
(b) Simultaneously with the publication of any advertisement under this subsection, the attorney shall mail to the Commission, c/o the Director of the Kentucky Bar Association, three (3) copies of the advertisement, or if by radio or television, a fair and accurate representation of the advertisement plus three (3) copies of a typed transcript of the words spoken. Any advertisement mailed or delivered to an individual addressee or addressees, shall be mailed to the Commission. A list of all persons or firms or groups to whom the advertisement has been sent shall be maintained in the principal office in Kentucky of the advertising lawyer or firm for a period of two (2) years and shall be made available for inspection by authorized representatives of the Commission at any reasonable time.
(2) Three (3) copies of a fair and accurate representation of any advertisement that does not qualify under Rule 7.05(a) shall be delivered to the Commission, c/o the Director, at the Director’s office, during normal office hours on a work day, at the same time the advertisement is used or published. The fair and accurate representation of a broadcast media advertisement shall include appropriate video cassette or audio cassette copies along with a typed transcript of the advertisement. A filing fee of $50.00 for each advertisement filed under this subsection shall accompany each filing and the thirty (30) day period in which the Commission must respond shall not begin until the filing fee has been received by the Commission c/o the Director at the Director’s office. In the event the Commission or any member thereof, or their designee, does not issue a notice of proposed disapproval under Rule 7.06 by the end of the 30th day following receipt of such advertisement and filing fee, the advertisement shall be deemed approved. No approval so obtained shall constitute a defense against charges made under this rule or any other rule if the advertisement shall be subsequently determined to contain false, misleading, or deceptive information.
(3) An advertisement which has been approved may be used so long as it contains no false, misleading, or deceptive information, provided there is no change in these rules which causes the advertisement not to comply therewith, and provided there is no withdrawal of approval pursuant to Rule 7.06(3).
(1) In the event the Commission finds that there are reasonable grounds to believe that an advertisement, other than an advertisement which has previously been approved, and which approval has not been withdrawn, or has previously been deemed approved under Rule 7.05(2), does not comply with the requirements of this rule, it or its designee shall immediately issue a notice in writing of proposed disapproval setting forth the factual and legal basis for the proposed disapproval. In the notice of proposed disapproval, an opportunity shall be provided for a hearing before one or more of its members or a hearing officer appointed by the Commission and for the filing of a brief. After consideration of any information submitted to it, the Commission shall issue its final decision in writing within 60 days. It shall be the duty of the Commission to seek informal resolution prior to issuing a formal decision. In arriving at such decision, the Commission shall consider modification of the advertisement or the disapproval decision.
(2) In the event the Commission has issued a notice of proposed disapproval and has further determined that the publication of the advertisement may be contrary to the public interest, it or its designee shall notify the attorney whose advertisement is under consideration and the Director of the Association. The Director may upon receiving such notification bring an action in compliance with this Rule.
(3) If an advertisement is subsequently discovered to be false, misleading or deceptive, the Commission or its designee may notify the advertising attorney and all prior approval of such advertisement shall be deemed not to apply to subsequent use thereof.
(4) If the Commission determines that any advertisement either fails to meet the requirements of Rule 7.05(1) or has not been approved under Rule 7.05(2) the Commission shall make a determination whether the violation can be dealt with administratively, or can be presumed to be intentional. The Commission shall deal with administrative violations. Intentional violations are those which represent (1) failure to follow these rules, (2) a manifest indifference to these Rules, or (3) a pattern of repeated disregard for these rules. Intentional violators shall be referred to the Inquiry Commission.
(1) Any person aggrieved by a notice of proposed disapproval or final decision of the Commission pursuant to Rule 7.06 may appeal to the Board by filing with the Board, c/o Director, notice of review accompanied by a supporting brief on the merits, within thirty (30) days after the date of the notice of proposed disapproval or final decision. Filing shall be made either by deposit in the United States mail, postage prepaid, or by delivery to the Office of the Director. The Director may file a brief within thirty (30) days thereafter in support of the Commission’s decision. Review by the Board shall be on the record before the Commission, and shall be decided at the Board’s next meeting after receipt of all briefs and the decision shall be rendered within thirty (30) days thereafter.
(2) Any person aggrieved by a decision of the Board may file a notice of review with the clerk of the Supreme Court within thirty (30) days after the Board’s decision is rendered stating reasons for review accompanied by a supporting brief on the merits of the case. The matter shall proceed as an original action and copies of all papers shall be served pursuant to Civil Rule 5. The Director may file a brief within thirty (30) days thereafter in support of the Board’s decision. Thereafter, the Court shall enter such orders or opinions as it deems appropriate on the entire record.
(3) The standard of review on all appeals shall be that the decision of the Commission shall be affirmed unless the Commission has erred as a matter of law, has made clearly erroneous findings on issues of material fact, or has exercised its discretion in an arbitrary or capricious manner.
The records of the Commission shall be available for inspection and copying at the offices of the Bar Association at reasonable times and upon reasonable notice. Any expense incurred shall be borne by the requesting party.
(1) No lawyer directly or indirectly through another person shall, in-person or by live telephone, initiate contact or solicit professional employment from a prospective client with whom the lawyer has no family or direct prior professional relationship. This Rule shall not be interpreted to prevent discussions of employment arising out of personal appearances at lectures and seminars by an attorney which result in inquiries from prospective clients or inquiries initiated by persons who may become prospective clients at the time of any other incidental contact not designed or intended by the attorney to solicit employment.
(2) A lawyer shall not solicit professional employment from a prospective client even when not otherwise prohibited by paragraph (1) if:
(a) the prospective client has made known to the lawyer a desire not to be solicited by the lawyer; or
(b) the solicitation involves coercion, duress or harassment.
(3) Every written or recorded communication from a lawyer soliciting professional employment from a prospective client known or reasonably believed to be in need of legal services in a particular matter, and with whom the lawyer has no family or prior professional relationship, shall conform to Rule 7.1 and, in addition must contain the words “THIS IS AN ADVERTISEMENT” prominently displayed in type at least as large as the type in the body of the letter, and the envelope or container in which such communication is transmitted shall contain the word “ADVERTISEMENT” in print at least as large as the name of the addressee on the side of the container upon which the address appears, and in the event of recorded telephone contact shall first state the language “THE FOLLOWING IS AN ADVERTISEMENT” and shall state at the end of the communication the language “THIS RECORDED TELEPHONE CALL HAS BEEN AN ADVERTISEMENT.”
(4) A communication pursuant to Rule 7.09(3) shall be sent to those prospective clients who have been involved in a disaster as defined in SCR Rule 3.130(7.60) Article III (1) only after thirty (30) days have elapsed from the occurrence of the disaster.
If a lawyer is found to have illegally or unethically solicited a client for which compensation is paid or payable, all fees arising from such transaction shall be deemed waived and forfeited and shall be returned to the client. A civil action for recovery of such fees may be brought in a court of competent jurisdiction.
(1) A lawyer shall not make a false, deceptive or misleading communication about the lawyer or the lawyer's service. A communication is false, deceptive or misleading if it
(a) contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading; or
(b) is likely to create an unjustified expectation about results the lawyer can achieve, or states or implies that the lawyer can achieve results by means that violate the rules of professional conduct or other law; or
(c) compares the lawyer's services with other lawyers' services, unless the comparison can be factually substantiated.
(2) No approval of an advertisement obtained under Rule 7.05 shall constitute a defense to charges brought under this rule if the advertisement shall subsequently be found to have violated this rule.
(1) A lawyer may advertise legal services through communications in compliance with these Rules.
(2) A lawyer shall not give anything of value to a non-lawyer for recommending the lawyer's services, except that a lawyer may pay the reasonable cost of advertising or communication permitted by this Rule.
(3) Any communication made pursuant to this Rule shall include the name of at least one lawyer licensed in Kentucky, or law firm any of whose members are licensed in Kentucky, responsible for its contents.
(4) Communication by a lawyer with a person or entity with whom that lawyer has a family or prior professional relationship or in response to an inquiry from any person or entity seeking information, shall be exempt from the provisions of these Rules, with the exception of Rule 7.1.
(5) If a law firm advertises a particular legal service on television or on radio and a lawyer in the firm appears on screen or on air to present the advertising message, the lawyer appearing on screen must be the lawyer who will actually perform the service advertised unless the advertisement discloses that the service may be performed by others in the firm.
The Commission may require the statement “THIS IS AN ADVERTISEMENT” for any advertisement that may not be perceived as a quest for clients because of the format, manner of presentation or medium. If the statement if required it shall be spoken in all audio advertisements, shall be in color and size print equal to the lawyer’s or firm’s name and visually present for as long as the lawyer’s or firm’s name.
A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. A lawyer who concentrates in, limits his or her practice to, or wishes to announce a willingness to accept cases in a particular field may so advertise or publicly state in any manner otherwise permitted by these Rules. Any such advertisement or statement shall be strictly factual and shall not contain any form of the words "certified", "specialist", "expert", or "authority." A lawyer shall not state or imply that the lawyer is a specialist except as follows:
(1) a lawyer admitted to engage in patent practice before the United States Patent and Trademark Office may use the designation "Patent Attorney" or a substantially similar designation; and
(2) a lawyer certified by an appropriate governmental agency in admiralty practice may use the designation "Admiralty", "Proctor in Admiralty", or a substantially similar designation.
(3) a lawyer may communicate the fact that he or she has achieved a national certificate by an organization qualifying under Peel v. Attorney Registration and Disciplinary Commission of Illinois, 110 S.Ct. 2281 (1990), by clearly identifying the certification and the organization that has conferred the distinction, and such communication may occur only for so long as the lawyer remains so certified and in good standing with the organization.
(a) A lawyer shall not use a firm name, letterhead or other professional designation that violates Rule 7.15.
(b) A law firm with offices in more than one jurisdiction may use the same name in each jurisdiction, but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located.
(c) The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any period in which the lawyer is not actively and regularly practicing with the firm.
(d) Lawyers may state or imply that they practice in a partnership or other organization only when that is the fact.
Article I. Purpose and Policy
(1) It is the purpose of the Kentucky Disaster Response Plan to:
(a) Address the problems that occur when lawyers and non-lawyers, who are not subject to the disciplinary jurisdiction of the Kentucky Bar Association and the Kentucky Supreme Court, engage in the provision of legal services, legal advice, and outright solicitation of persons and their families affected by a disastrous event.
(b) Provide information to the public regarding the availability of legal services, as well as information regarding the legal rights available to persons affected by disasters.
(c) Monitor the conduct of all attorneys, both members and non-members of the Kentucky Bar Association, and thereby deter violations of the rules of ethical conduct and the rules of the Kentucky Bar.
(d) Inform the public of the levels of conduct required of members of the Bar and notify the public that it is improper for attorneys to solicit employment either in person or through runners, agents, solicitors, or others in such a manner as to create direct contact between the attorney seeking such employment and the potential claimant.
(2) It is the policy of the Association to encourage and promote the highest ethical standards among attorneys practicing within its borders. Realizing the emotional distress and grief that are inevitable immediately following a catastrophe, the Kentucky Disaster Response Plan is established to facilitate the handling of these situations in a manner that best protects the interests of the persons involved as well as the legal community.
Article II. Disaster Defined
(1) For the purposes of the Kentucky Disaster Response Plan, a "Disaster" shall mean the type of emergency or disaster that draws persons to solicit clients. This includes, but is not limited to, air crash, major fire, explosion, sea disaster, hazardous material contamination, flood, landslide, major rail or traffic accident, earthquake, or other circumstances resulting in substantial loss of life, substantial personal injury, or substantial property damage.
(2) It shall be the responsibility of the immediate Past President of the Kentucky Bar Association or the Executive Director of the Kentucky Bar Association, or their designee, to identify a Disaster.
Article III. Mass Disaster Task Force
The Kentucky Mass Disaster Task Force, hereinafter called the "Task Force" is hereby established.
(1) There shall be created from the Kentucky Bar Association membership a sufficient number of "units" within the discretion of the Board of Governors of the Kentucky Bar Association to provide disaster services as contemplated herein.
(2) A unit of the Task Force shall consist of at least one member of the Board of Governors or House of Delegates of the Kentucky Bar Association; one member of the Court of Justice; and one or more additional designees to each unit as appointed by the Immediate Past President of the Kentucky Bar Association.
Article IV. Duties and Responsibilities
(1) The Task Force shall meet upon learning of an identified Disaster and shall establish a "legal service information center."
(2) The Task Force shall be provided with printed literature identifying the purpose of the Task Force, a press release identifying the unit of the Task Force, and any additional materials and equipment that the Immediate Past President of the Kentucky Bar Association, the Executive Director of the Kentucky Bar Association or the unit members themselves believe necessary to accomplish their purpose.
(3) The units of the Task Force shall be prepared to inform affected persons that:
(a) Legal services are available to persons affected by Disasters;
(b) Persons and entities who sustain damage by reason of the wrongful conduct of another may be entitled to recover damages;
(c) "Statutes of Limitations" exist which apply to various causes of action within the Commonwealth of Kentucky and, in certain circumstances, to Federal causes of action. Further, any person or entity believing he or she has been damaged by the wrongful acts of another should seek legal advice to determine the applicable statute of limitations. Finally, only those persons who have been admitted to practice law in the Commonwealth of Kentucky and those persons who are lawfully associated with them in practice may appear and present claims within the Courts of the Commonwealth of Kentucky;
(d) No person affected by a Disaster is obligated by law to furnish statements regarding the occurrence to investigators, insurance agents and adjusters, attorneys, or other members of the public, with the exception of those persons who have observed conduct that may be identified as "criminal activity." Such persons are obligated to furnish information pertaining to criminal activity to lawfully constituted legal authorities;
(e) The persons affected should make a diligent effort to observe all conditions pertaining to the Disaster, and to make such appropriate records or notations as necessary in the circumstances to memorialize their recollections of the Disaster;
(6) If there are witnesses to the Disaster, it may be important to obtain the names, addresses, and telephone numbers of those witnesses, and to retain them for future reference; and
(7) Decisions regarding most legal matters and legal claims (other than those involving the life or health of a person requiring immediate attention for the preservation of such life or health) are generally decisions that are better made after reasonable and thoughtful consideration and after consultation with the appropriate professionals, including attorneys. Further, the information furnished by the unit shall include a notice that Kentucky law does not certify specialties of practice; that the members of the unit and their partners, associates, members of their firms, and other lawyers associated with them are not permitted to accept employment for the provision of legal services arising out of any damages claimed as a result of the Disaster; and that the service provided by the unit is for informational purposes only and that each person or entity interested in legal services should seek the advice of private counsel selected by that person or entity.
(4) The Task Force shall investigate to determine if runners, attorneys, or others have been soliciting or attempting to solicit victims, relatives of victims, or others as clients. The Task Force shall designate from its members a person to receive any complaints or inquiries concerning suspected improper solicitation. Such person shall, as soon as is reasonably practicable, furnish such information to the Executive Director of the Kentucky Bar Association or his designee.
(5) The Task Force shall be subject to the following restrictions:
(a) No member of the Task Force shall offer other specific legal advice to anyone regarding the Disaster, nor shall he refer a person to a particular lawyer or law firm. Upon inquiry and to the extent necessary to respond, a member of the Task Force may refer a person to other agencies or groups for information or assistance.
(b) No member of the unit assigned to a particular Disaster, nor any of his partners, members of his firm, associates, or other lawyers associated with the member shall be permitted to accept any employment relating to any matter arising out of that Disaster.
(6) The Task Force shall not issue any news releases or make any public statements on behalf of the Kentucky Bar Association without the specific prior approval of the Executive Director of the Kentucky Bar Association.
Article V. Expenses
The reasonable expenses incurred by each unit member of the Task Force in training and providing services as contemplated herein, as well as the cost of the equipment and supplies necessary to provide the service shall be deemed to be valid expenses of the Kentucky Bar Association. These funds shall be paid from the General Fund of the Kentucky Bar Association unless the same expenses shall be deferred from IOLTA funds of the Kentucky Bar Association, funds obtained from private sources, grants or donations or from funds otherwise appropriated by the Kentucky General Assembly, including discretionary funds of the Governor of Kentucky or other elected officials. Each unit of the Task Force shall be authorized when necessary to obtain such secretarial and clerical assistance as appropriate in the circumstances of the particular Disaster.
An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:
(a) knowingly make a false statement of material fact; or
(b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, except that this rule does not require disclosure of information otherwise protected by Rule 1.6.
(a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office.
(b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Code of Judicial Conduct.
It is professional misconduct for a lawyer to:
(a) violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;
(b) commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects;
(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;
(d) state or imply an ability to influence improperly a government agency or official; or
(e) knowingly assist a judge or judicial officer in conduct that is a violation of applicable Rules of Judicial Conduct or other law.
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