道德意见226

Service by Lawyer in Private Practice as In-House Counsel and Real Estate Broker

私人执业的澳博app可以兼职, 为客户提供受薪内部法律顾问, while continuing to represent that client in his private practice, so long as he complies fully with applicable 职业行为准则 in both capacities. He may also serve as a licensed real estate broker for a client, 按小时收费, 只要他作为经纪人的工作不会导致他违反专业行为规则，只要他清楚地向受影响的当事人披露他的行为能力，并在他作为经纪人和澳博app代表两个关联方进行交易时获得知情同意.

适用的规则

• 规则1.7(b)(可放弃的利益冲突)
• 规则1.7(c)(2) (Compliance with Other 规则 as Condition of Waivability of Conflicts of Interest)
• 规则7.1(a) (False or Misleading Communications 关于 Legal Services)

调查

The inquirer is a lawyer engaged in private practice representing an affiliated group of real estate partnerships, 公司, and entities organized under a single operating company (for purposes of this opinion, “XYZ公司”). There are approximately 60 such related entities for which the inquirer performs legal services, 所有这些都有实质性的共同所有权. (在某些情况下, the percentage of ownership by the common individual owners varies, and in some cases the entities are ventures including partners not otherwise affiliated with XYZ Company.) The inquirer represents XYZ and affiliated entities chiefly in real estate transactional matters. 询问者表示他完全遵守规则1.处理涉及XYZ与关联实体之间的冲突或潜在利益冲突的偶然业务.

XYZ公司最近要求咨询澳博app作为其区域运营公司的兼职员工提供某些“内部”服务——现在由咨询澳博app作为外部顾问提供服务, 担任地区总法律顾问. 询问者会的, 然而, also continue to represent XYZ and affiliated entities on transactional matters as outside counsel. While the inquirer would conduct his work as Regional General Counsel out of his own law offices, he would use separate business cards and letterhead and maintain separate files. 询问者声明，在没有披露其作为运营公司内部法律顾问的角色并获得规则1所要求的同意的情况下，他不会在XYZ区域运营公司有利益的任何交易中代表XYZ附属实体.7(b)及(c). He also recognizes that in some such matters, he might be barred by 规则1.第7(a)条或规则1.7(c)(2) from undertaking representation of the XYZ-affiliated entity.

询问者询问，在这种情况下，他是否可以在兼职期间继续代表XYZ公司及其附属实体进行房地产交易, salaried in-house lawyer for XYZ's regional operating company.

应客户XYZ公司的要求, the inquirer has also become licensed as a real estate broker in Maryland. (The inquirer is a member of the bar of Maryland as well as the District of Columbia 酒吧). He has been asked by XYZ Company to serve as broker of record in connection with third-party leasing, sale and property management activities engaged in by a Maryland entity affiliated with XYZ. 以这种身份, he would supervise associate brokers and licensed salespersons, 这是马里兰州法律规定的.

询问者会的 be compensated for his brokerage services by XYZ's Maryland affiliate on an hourly-fee basis, and would not receive commissions or any other compensation based on the value or success of any transaction. 询问者也可能在某些交易中为XYZ附属公司提供法律服务，在这些交易中，他还担任XYZ马里兰附属公司的记录经纪人. 在任何情况下, 然而, 询问者作为记录经纪人收取的费用是否与他为XYZ的马里兰附属公司提供法律服务收取的费用相同. 询问者在一项交易中担任另一XYZ附属公司的法律顾问，同时他也是XYZ马里兰附属公司的记录经纪人, he would disclose his brokerage role to the affiliated company and comply with the provisions of 规则1.如果有任何潜在的利益冲突.

The inquirer's activities as broker of record would be performed principally in the offices of XYZ's Maryland affiliate, 独立于询问者的澳博app事务所. He would use separate stationery, business cards and telephone listings as a broker.

询问者询问他以上述方式提供房地产经纪服务是否符合《澳博app》.¹

讨论

1. 担任内部法律顾问

There is no per se bar to a lawyer serving as in-house counsel to a business entity, 在兼职的基础上, while continuing to represent that entity and affiliated entities as outside counsel on a fee-for-service basis. 当然, the lawyer must comply with all provisions of the 职业行为准则 in both capacities.

特别是, 重要的是要确保没有客户或第三方对澳博app的角色及其作为客户雇员的身份产生误导. 规则7.1(a)²  询问者计划采取的步骤, 如上所述(分开信头和名片), 等.)应该走得更远，以确保遵守规则7.1(a). 澳博app应谨慎地肯定地披露他作为内部和外部澳博app的双重身份，只要这一事实对另一个客户或第三方很重要.

The inquirer must also take care to comply fully with the provisions of 规则1.7(利益冲突). 因此，正如询问者所认识到的，根据规则1.7(b), 他可能无法在XYZ的区域运营公司与潜在利益冲突的交易中担任其他实体(包括XYZ附属实体)的法律顾问, without the consent of both parties after full disclosure of the possible conflict. 甚至可能出现这样的情况:在某一特定交易中，澳博app代表另一方对XYZ的区域运营公司造成的不利后果非常严重，以至于澳博app自己可能会得出结论，认为他有能力热心地代表另一方(如规则1所要求的).3)会妥协. In such a case, representation of the other party—even with consent—would be improper. 规则1.7(c)(2); Opinion No. 94.

2. 房地产经纪人的角色

The 职业行为准则 erect no bar to a lawyer engaging in another business, 与他或她的法律业务分开, 只要澳博app从事其他业务不违反本规则的适用规定. E.g.规则1.3 (duty of zealous representation); 1.7(b)(4) (professional judgment adversely affected by lawyer's responsibility to third party or lawyer's own financial interests; 1.8(a)(与客户的交易). 此外, where the inquirer is performing both professional roles (lawyer and broker) with respect to a single transaction, 我们认为，他应该遵守《澳博app》的适用规定，无论他在该交易的特定方面戴的是哪一种“帽子”.³

在任何交易中，询问者代表一个实体担任记录经纪人，代表一个相关实体担任澳博app, he should take special care to ensure that there has been full disclosure of his dual roles to all affected parties. 规则7.1(a). We also believe that, to assure full compliance with 规则1.7(b), 询问者应在特定交易中以澳博app和经纪人的身份获得相关实体的知情同意, 由于相关实体之间的潜在利益冲突和询问者在经纪费用方面的经济利益所产生的潜在利益冲突. 虽然这种经济利益并不像询问者根据交易的完成和交易的价值收取经纪佣金那样重要, we believe that the inquirer should obtain informed consent before proceeding.

调查没有. 91-8-35
1992年3月17日通过

1. The inquirer has made the same inquiry of the Committee on 法律道德 of the Maryland State 酒吧. We do not address any question as to the rules in Maryland or, 如果发生冲突, 无论是马里兰州还是民主党.C. 规则应该适用.
2. 规则7.第1(a)条规定“澳博app不得就其澳博app或澳博app的服务作出虚假或误导性的通知,，而沟通是虚假和误导的，如果, 在其他事物之外, it “omits a fact necessary to make the statement considered as a whole not materially misleading.”
3. 美国澳博app协会正式意见328(1972年6月)更进一步, 认为从事其他职业的澳博app必须以其其他职业身份遵守法律道德标准，只要该其他职业“与法律相关，澳博app从事该职业的工作将涉及”, 不可分地, 法律实务.“我们在这里没有触及这个更广泛的问题, 而仅仅认为《澳博app》适用于澳博app以另一种职业身份以及以澳博app身份在同一交易或事项中行事的行为. 我们注意到, 然而, 对于询问者来说，确保客户和第三方不会被误导，不知道他是作为房地产经纪人还是作为澳博app提供服务，这一点很重要.