Analysis of Breach of Ethics and Legal Practitioner Responsibilities

This report analyzes a case involving a breach of legal ethics by a legal practitioner, Mr. Steele, and its impact on his client, Mr. Smith. It examines the relevant legal principles, including the Rules of Professional Conduct and case law such as B & Anor V Secretary Of State For The Home Department & Anor, and Orchard v S E Electricity Bd. The report highlights Mr. Steele's negligence in failing to attend court and provide necessary documents, leading to a conflict of interest and a negative outcome for Mr. Smith. It discusses the contravention of legal ethics, focusing on conflict of interest and the importance of fiduciary duties, and explores the legal practitioner's role in avoiding ethical violations, including the duty to avoid negligence, maintain proper communication, and manage client trust accounts. The report also outlines the duties of a legal practitioner in cases of ethical breaches, referencing the Model Rules of Professional Conduct UK, and the penalties imposed by courts, as well as relevant case law like Harley v McDonald and Aib Group (Uk) Plc (Appellant) V Mark Redler & Co Solicitors (Respondent). The conclusion emphasizes the importance of ethical conduct, honesty, and integrity in the legal profession.

Running head: BREACH OF ETHICS
Breach of Ethics
Name of the Student
Name of the University
Author Note

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BREACH OF ETHICS
1. The relevant Act, regulation, common law principle and case law:
Rules of Professional Conduct of the UK are the code of conduct for ethics that has been
governing the rules of professional conduct.
In B & Anor V Secretary Of State For The Home Department & Anor [2012] Ewhc
37701 it was held by the Court that an advocate is at the authority to carry on various ethical
responsibilities in relation to practical law. It is essential on the part of the legal practitioner to
divide the concerned ethical responsibilities that he is ought to provide to the Court and to his
client. In case of breach of ethical obligations on the part of the advocate the client is at the
authority to bring civil proceedings against him. For instance, an action for negligence can be
bought against the legal practitioner for breach of ethics.
In Orchard v S E Electricity Bd [1987] QB 565, 5712 it was held that the there has been
conflict of interests between the client and the legal practitioner. The legal practitioner is at the
obligation to act in good faith by disclosing his interests associated with the matter. Therefore in
the present scenario, it can be observed that Mr. Smith was negligent on his part as he did not
attend the court proceedings on time and did not produce the relevant documents required for the
purpose of the case. Mr. Smith even failed to attend the extensions. Therefore, it is obvious that
the order was passed on the favor of Mr. Dan due to negligence on the part of Mr. Smith.
Therefore, it can be advised to Mr. Smith that he should present an application to the High Court
of FSM for further appeal. However, it can also be seen that there has been conflict of interests
between Mr. Smith and his legal practitioner. Therefore, in such cases the legal practitioners are
1 [2012] Ewhc 3770.
2 [1987] QB 565, 571.

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BREACH OF ETHICS
liable for breach of ethics on the part of their client. Therefore, in the present case study it can be
stated that due to negligence on the part of Mr. Smith his solicitor Mr. Steele is also equally
liable.
2. Contravention of Legal Ethics:
A professional code of legal ethics is written and is purely based on the nature of the
profession. In this regard it is important on the part of the professionals to adhere of the specific
requirements of such written professional code of legal ethics. The code of legal ethics can be
breached in different ways however; the most important among them are as a result of conflict of
interests, pressure of clients and confidentiality3. However, in the given case study it can be
observed that a breach of legal ethics has taken place on the ground of conflict of interest.
It is evident that a lawyer is bound to provide fiduciary duties to his client along with all
the relevant responsibilities4. In this regard, the advocate should avoid conflict of interests which
may arise between him and his client in the course of business. However, conflicts of interests
usually arise when legal and disciplinary actions occur. In breach of ethics, conflict of interests
can be resolved when both the client and the advocate works accordingly5. It is important on the
part of both the client and the advocate to balance two different public interests. In this regard,
the client must have confidence upon his lawyer and at the same time the advocate must have the
freedom to give instructions to his client regarding the case.
3. Role of the legal practitioner in order to avoid ethical contravention:
3 Hill, Lousie Lark. "The Preclusion of Nonlawyer Ownership of Law Firms: Protecting the Interest of Clients of
Protecting the Interest of Lawyers." Cap. UL Rev. 42 (2014): 907.
4 Throop, C. Jason. "Moral moods." Ethos 42.1 (2014): 65-83.
5 Toohey, Timothy J. "Beyond Technophobia: Lawyers’ Ethical and Legal Obligations to Monitor Evolving
Technology and Security Risks." Richmond Journal of Law & Technology 21.3 (2015): 9.

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BREACH OF ETHICS
It can be noted here that legal practitioners are at the responsibility to maintain the license
in order to act according to the Rules of Professional Conduct of the UK. Since time
immemorial, the Rules of Professional Conduct has been establishing appropriate standards of
legal ethics in order to develop professional responsibility of the legal practitioners6. According
to the Rules of Professional Conduct the solicitors are at the duty to avoid the most common
breaches of legal ethics7. In this regard, it is worth noting that the legal practitioners should avoid
negligence to the highest priority. However, in this regard it is important on the part of the
attorneys to involve themselves in effective communication. It is essential that lawyers should
bound themselves to reasonable contract and therefore is liable to keep their clients updated and
well informed about the case involved by explaining each and every detail of the matter which
would prove to be beneficial for the purpose of their case. Secondly, it is crucial that advocates
should maintain trust accounts of their clients in such a way so that they are distinct from their
regular personal accounts. In case of violation on this part, the legal practitioners shall be equally
liable. Thirdly, it is important that legal practitioners should act keeping in mind the principles of
their profession. Solicitors should not mislead their clients and should not act fraudulently.
Fourthly, legal practitioners are not acquainted with the power of malpractice. However, in some
cases, such claims are often difficult to prove and the legal practitioners are at the risk to get sued
on this ground if reasonable care is not taken in this regard. Therefore, it is worth mentioning
that the person in dispute has an opportunity to bring a claim against the legal authority if there
has been breach of legal ethics on the part of such authority. In this regard, it is noteworthy to
mention here that in case of negligence, the immunity is an important exception where the
liability is the rule as stated in Aib Group (Uk) Plc (Appellant) V Mark Redler & Co Solicitors
6 Dellinger, Myanna. "Rethinking Force Majeure in Public International Law." Pace L. Rev. 37 (2016): 455.
7 Hazelwood, Kristin J. "Technology and Client Communications: Preparing Law Students and New Lawyers to
Make Choices That Comply with the Ethical Duties of Confidentiality, Competence, and Communication." Miss.
LJ83 (2014): 245.

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BREACH OF ETHICS
(Respondent) [2014] Uksc 58 - 05/11/148. Therefore in the present scenario it can be stated that
Mr. Steele could have avoided the contravention of legal ethics on his part by maintaining a
proper communication with his client. He was at the duty to explain the provisions and the
procedures involved in the matter directly to his client however; being a specialist in his field he
failed to provide appropriate solution to his client.
4. Duties of a legal practitioner on breach of legal ethics:
It can be stated that since time immemorial, the profession of a legal practitioner has been
defined as an honorable profession. The conduct of such legal practitioners is regulated by the
legal profession by applying a set of binding rules. According to the Model Rules of Professional
Conduct UK various rules are depicted in order to safeguard the rights of the legal practitioners
in case of breach of legal ethics9. According to Rule 1 it is essential on the part of the legal
practitioners to represent the cases of the clients with enthusiasm. Rule 2 denotes that lawyers
have a social responsibility towards their clients and the court of justice in which the matter is
operating. According to Rule 3 lawyers are required to explore their services by ensuring the
ideals of justice. In this regard, Rule 4 states that legal practitioners working within firms are at
the liability to uphold the integrity of their profession and therefore any misconduct in this regard
shall be reported10.
However, the Model Rules of Professional Conduct UK Rule 6 clearly addressed the
importance of communication on the part of a legal practitioner regarding his services11. In the
8 [2014] Uksc 58 - 05/11/14
9 Nersessian, David. "Business Lawyers as Worldwide Moral Gatekeepers: Legal Ethics and Human Rights in
Global Corporate Practice." Geo. J. Legal Ethics 28 (2015): 1135.
10 Fortney, Susan Saab. "The Role of Ethics Audits in Improving Management Systems and Practices: An Empirical
Examination of Management-Based Regulation of Law Firms." . Mary's J. on Legal Malpractice & Ethics 4 (2014):
112.
11 Houseman, Alan W. "To Establish Justice for All: The Past and Future of Civil Legal Aid in the United States."
(2015): 325.

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BREACH OF ETHICS
present case study it can be observed that Mr. Steele from the beginning informed Mr. Smith that
he was in expert in dealing with cases regarding negligence. Therefore, it can be stated that Mr.
Steele has provided wrong information regarding his services and thereby has committed
misconduct on his part. In this regard, it is worth noting that Mr. Steele has violated the conduct
of Rule 1 and Rule 7.1 of the Model Rules of Professional Conduct UK. In Harley v McDonald12
it was held that negligence on the part of the legal practitioner by causing delay can result into
professional misconduct. In this case it has held by the Court that negligence and delay can
constitute professional misconduct and in some cases the reputation of such profession can be at
stake. It was also held that acting with insufficient knowledge can cause serious disrepute to the
profession. According to the Model Code of Professional Conduct, on breach of ethical duties on
the part of the legal practitioners it is believed that advocates are adequately knowledgeable and
therefore possesses the capability to defend their clients under any circumstances. In this regard,
it can be mentioned that the only breach of legal ethics that can occur on the part of the legal
practitioners is regarding the overriding duties to the Court. However, such overriding duties
have been interpreted by the Courts from time to time in a weak manner and therefore the codes
of professional ethics are applied in cases where a legal practitioner acts dishonestly.
5. Penalty imposed by the Courts:
The national standards for ethical conduct governing legal practitioners have been first
adopted by the American Bar Association in 190813. In this context, Canon banned a number of
legal practitioners from practicing law and at the same time cancelled their licenses. However,
such provisions updated by the Canons were adopted by the Higher Courts of different states in
12 Pc 10 Apr 2001.
13 Prentice, Robert A. "Behavioral ethics: Can it help lawyers (and others) be their best selves." Notre Dame JL
Ethics & Pub. Pol'y 29 (2015): 35.

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BREACH OF ETHICS
order to control the professional conduct of legal practitioners. In this regard, it was ruled by the
Court in Arthur Hall v Simons [2000] 3 WLR 543 14 that it is unconstitutional on the part of the
States to ban legal practitioners from practicing law and at the same time cancelling their
licenses. It was held in this case that the states are not at the authority to impose ban on the
advertisement of an advocate. However, few weeks after the decision a new set of rules was
adopted by the Model Code of Professional Conduct which was earlier replaced on action of the
Canons. It can be emphasized that since time immemorial, legal practitioners have professionally
trained themselves in the art of persuasion in order to provide efficient solution to the clients who
need legal assistance15.
It is worth mentioning that legal practitioners are at the liability to act in the best interests
of their clients. The principle of honesty and integrity is followed by the legal professionals of all
countries. The MBA Code has been allowing a legal professional to breach the confidentiality of
a client for the purpose of collecting required fees16. However, in some states such provisions are
defined to be illegal and therefore, the national codes states that it is the duty of a lawyer to act
honestly and in the best interests of the clients.
In the present scenario, it can be observed that Mr. Steel advertised to Mr. Smith that he
is expert in his professional field and therefore he can provide him with appropriate solution. In
this regard, it can be stated that Mr. Steele has caused misconduct of his profession by wrongly
advertising his professional skills to Mr. Smith. Therefore, the Courts of Federal States of
14 [2000] 3 WLR 543
15 Tuan, Nien-Tsu, and Corrinne Shaw. "Consideration of ethics in systemic thinking." Systemic Practice and Action
Research29.1 (2016): 51-60.
16 Huang, Peter H. "How improving decision-making and mindfulness can improve legal ethics and
professionalism." JL Bus. & Ethics 21 (2015): 35.

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BREACH OF ETHICS
Micronesia are at the authority to cancel the license of Mr. Steele however, they cannot impose
ban on the advertisement of his professional skills.

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BREACH OF ETHICS
References:
Aib Group (Uk) Plc (Appellant) V Mark Redler & Co Solicitors (Respondent) [2014] Uksc 58 -
05/11/14.
Arthur Hall v Simons [2000] 3 WLR 543.
B & Anor V Secretary Of State For The Home Department & Anor [2012] Ewhc 3770.
Dellinger, Myanna. "Rethinking Force Majeure in Public International Law." Pace L. Rev. 37
(2016): 455.
Fortney, Susan Saab. "The Role of Ethics Audits in Improving Management Systems and
Practices: An Empirical Examination of Management-Based Regulation of Law Firms." . Mary's
J. on Legal Malpractice & Ethics 4 (2014): 112.
Harley v McDonald PC 10 APR 2001.
Harley V Mcdonald; Glasgow Harley (A Firm) V Mcdonald: Pc 10 Apr 2001.
Hazelwood, Kristin J. "Technology and Client Communications: Preparing Law Students and
New Lawyers to Make Choices That Comply with the Ethical Duties of Confidentiality,
Competence, and Communication." Miss. LJ83 (2014): 245.
Hill, Lousie Lark. "The Preclusion of Nonlawyer Ownership of Law Firms: Protecting the
Interest of Clients of Protecting the Interest of Lawyers." Cap. UL Rev. 42 (2014): 907.
Houseman, Alan W. "To Establish Justice for All: The Past and Future of Civil Legal Aid in the
United States." (2015): 325.
Huang, Peter H. "How improving decision-making and mindfulness can improve legal ethics and
professionalism." JL Bus. & Ethics 21 (2015): 35.
Nersessian, David. "Business Lawyers as Worldwide Moral Gatekeepers: Legal Ethics and
Human Rights in Global Corporate Practice." Geo. J. Legal Ethics 28 (2015): 1135.
Orchard v S E Electricity Bd [1987] QB 565, 571.
Prentice, Robert A. "Behavioral ethics: Can it help lawyers (and others) be their best
selves." Notre Dame JL Ethics & Pub. Pol'y 29 (2015): 35.
Throop, C. Jason. "Moral moods." Ethos 42.1 (2014): 65-83.
Toohey, Timothy J. "Beyond Technophobia: Lawyers’ Ethical and Legal Obligations to Monitor
Evolving Technology and Security Risks." Richmond Journal of Law & Technology 21.3 (2015):
9.

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BREACH OF ETHICS
Tuan, Nien-Tsu, and Corrinne Shaw. "Consideration of ethics in systemic thinking." Systemic
Practice and Action Research29.1 (2016): 51-60.