道德意见305

行业协会代表的道德考量

行业协会的代表权则不适用, 没有更多的, create an attorney-client relationship with each member of the association; particular circumstances of a representation, 然而, 是否可以与一个或多个成员建立靠谱的滚球平台-客户关系.

When counsel for a trade association is asked to represent a client in a matter adverse to a member of that trade association, 靠谱的滚球平台必须考虑是否 事实上的 靠谱的滚球平台与客户之间存在关系, as well as whether the prospective representation would be impaired by the lawyer’s existing representation of the trade association.

适用的规则

• 规则1.6(信息保密)
• 规则1.7(利益冲突)
• 规则1.13(机构作为客户)
• 规则1.16(拒绝或终止代表)

调查

行业协会的激增，尤其是在华盛顿特区.C., has led to inquiries regarding a lawyer’s ethical responsibilities to the trade associations she represents and, 也, 致协会成员.¹ 主要关注的是在何种情况下，代表行业协会的靠谱的滚球平台可能进行不利于行业协会成员的代理.

讨论

规则1.13(a) states that “A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents.对规则1的评论.第13条进一步指出，“本评论规定的义务同样适用于非法人社团.对规则1的评论[13].7补充道:“代表……的靠谱的滚球平台 . . . 行业协会或其他组织类型的客户被视为代表该特定实体, 而不是它 . . . 成员或其他选民.’”当时是一家行业协会的靠谱的滚球平台, 不, 仅仅通过或通过这种表现, 与每个成员建立靠谱的滚球平台-客户关系.²

这一观点在其他地方得到了广泛认可. 看到 美国靠谱的滚球平台协会道德操守小组. No. 92-365(7月6日, 解释《靠谱的滚球平台》的可比条款(1983年), amended 1991); Oregon 靠谱的滚球平台操守行动. No. 1991-27年(代表行业协会的靠谱的滚球平台可以在不向协会披露或未经协会同意的情况下，就与该协会的工作无关的事项，代表该协会的一名成员反对另一名成员).³ 然而，这种方法并不能结束分析. 仍需考虑到靠谱的滚球平台被要求对其所代表的行业协会的一个或多个成员不利的情况.

1. 不利于委员的陈述

在一般情况下, the lawyer for a trade association is not prohibited from representing the association in a manner adverse to a member or members. 对规则1的评论[13].7; D.C. 靠谱的滚球平台操守行动. No. 216. 行业协会损害会员利益的情形, 对规则1的注释[8].第13条为行业协会的靠谱的滚球平台提供指导:

的re are times when the organization’s interest may be or become adverse to those of one or more of its constituents. 在这种情况下，靠谱的滚球平台应向任何选民提供意见, 靠谱的滚球平台认为谁的利益与组织的利益相抵触, 利益冲突或潜在的利益冲突, 靠谱的滚球平台不能代表这样的选民, 并且这样的人可能希望获得独立的代表. . . .

参见影子岛公司. v. 美国安格斯协会., No. [j] .中国机械工程，1987,vol . 1, vol . 1, vol . 1.D. Mo. 9月. 22, (不禁止靠谱的滚球平台事务所在会员提起的诉讼中继续代表行业协会，而该协会是靠谱的滚球平台事务所唯一认可的客户). 除了, 因为会员不是协会靠谱的滚球平台的客户, 靠谱的滚球平台通常可以自由地代表利益对其不利的无关当事人. 对规则1的评论[13].7.

在某些情况下, 然而, 靠谱的滚球平台可被视为代表会员个人, 尽管没有正式的靠谱的滚球平台-委托人关系. 对规则1的注释[14].7. 另请参阅 纽约市靠谱的滚球平台协会(“ABCNY”)道德操守. No. 1999-01. “总的来说, representation may be implied where on the facts there is a reasonable belief by the constituent that there is individual as well as collective representation.对规则1的评论[14].7，引用美国靠谱的滚球平台协会道德操行. No. 92-365. 那么，阈值查询就是是否应该合理地将成员视为a 事实上的 靠谱的滚球平台委托人.

2. 与协会成员的靠谱的滚球平台-客户关系

“[D]确定个别会员是否以及在何种程度上已成为客户，需要仔细审查公司与行业协会的关系和代表的所有情况.美国靠谱的滚球平台协会道德操守. No. 92-365. 没有明确约定的，可以建立靠谱的滚球平台-委托人关系, 并且“不依赖于费用的支付[或] . . . 在正式合同执行后.” 西屋电气加热器. 集团. v. 科麦奇公司., 580 F.1311,1317(第7章.), cert. 否认, 439 U.S. 955 (1978). What is most important is whether the member of the trade association disclosed confidential information to the association’s lawyer, 以及周围的环境和期望. 美国靠谱的滚球平台协会道德操守小组. No. 92-365. 参见威斯汀豪斯, 580 F.2d在1319-1320; 格鲁伊克推测v. Jonathan Logan公司., 653 F.2d 746,749(第2d卷. 1981).

In 威斯汀豪斯, 这个问题的主要案例, the law firm for a trade association 也 represented a party in litigation adverse to some of the association’s members. 受影响的会员要求取消该公司的资格. 的se members had previously submitted information to the firm in connection with legislative efforts on behalf of the association, with the understanding that all material would be kept confidential and in the belief that the firm was acting on the members’ behalf. Although the court expressly declined to create a per se rule that a lawyer for a trade association represents every member of the association, 它取消了该靠谱的滚球平台事务所的资格，因为协会成员有理由相信，他们是在向代表他们个人行事的靠谱的滚球平台事务所提交机密信息.

关于行业协会代表权的意见, 美国靠谱的滚球平台协会道德与职业责任委员会 威斯汀豪斯 as well as its previous conflict analysis with respect to the representation of corporations and partnerships. 美国靠谱的滚球平台协会道德操守小组. No. 92-365; 另请参阅 abny道德操守. 1999-01, 引用 美国靠谱的滚球平台协会道德操守小组. 95-390. 的 factors considered by the ABA Committee included whether the lawyer involved had affirmatively assumed a duty of representation to the member of a trade association; whether the member had separate representation; whether the lawyer represented the member before commencing its representation of the association; and whether the member relied upon the lawyer’s representation of its individual interests. 除了, the Committee commented that the size of the trade association may bear on the reasonableness of any member’s expectation of representation; for example, it is more likely to be unreasonable for a member of a large association to expect that the association’s attorney represents its individual interests.

If, 根据上述分析, 靠谱的滚球平台的结论是，协会的个人成员应被视为靠谱的滚球平台事务所的客户, 靠谱的滚球平台必须考虑是否存在利益冲突.⁴ 如果新的代理要求靠谱的滚球平台在同一件事上提出两个相反的立场, 然后规则1.7(a)禁止该陈述. 在其他情况下，适用规则为规则1.第7(b)条规定，靠谱的滚球平台不得就下列事项代表客户:

(一)该事项涉及特定当事人，该客户在该事项中采取的立场与另一客户在同一事项中采取的立场相反，即使该客户未被代理或由不同的靠谱的滚球平台代理;

(2)该等代理将受到或可能受到另一客户代理的不利影响;

(3) representation of another client will be or is likely to be adversely affected by such representation; or

(4)靠谱的滚球平台代表委托人作出的专业判断将受到或合理可能受到靠谱的滚球平台对第三方的责任或利益或靠谱的滚球平台自身财务状况的不利影响, 业务, 财产, 或者个人兴趣.

规则1.6 .(信息保密).也可能牵涉到(推定取消资格). Cf. 威斯汀豪斯, 580 F.2d at 1321(参考《靠谱的足球滚球平台》的可比规则). 克服冲突，继续进行逆向代理, 靠谱的滚球平台必须披露这个问题，并获得会员和潜在客户的同意, 按照规则1.7(c).⁵

3. 丧失代表权

即使与该成员不存在靠谱的滚球平台-客户关系, the lawyer must determine whether the representation would be materially impaired by her representation of the trade association. 根据规则1的评论[14].7、陈述(没有知情同意)是不恰当的，如果:

(a)不利事项与, 或实质上与…相关, 靠谱的滚球平台代表组织客户所处理的事情. (原文如此)

(b) during the course of representation of the organization client the lawyer has in fact acquired confidences or secrets (as defined in 规则1.6(b))组织客户或其附属机构或组成部分的信息，这些信息可能被用来对组织客户或其附属机构或组成部分不利, or

(c) such representation seeks a result that is likely to have a material adverse effect on the financial condition of the organization client.

参见格鲁伊克推测, 653 F.750度2d; abny道德操守. No. 1999-01. In 格鲁伊克推测，第二巡回法院通过了以下案文:

通常情况下，只要诉讼的主题事项与公司代表协会的事项范围足够相关，从而造成原告不会得到有力代表或被告会获得不公平优势的现实风险，就会要求取消资格.

格鲁伊克推测, 653 F.750度2d. 这个测试包括仔细分析靠谱的滚球平台与会员的关系和交易，以及会员与协会的关系和交易. 例如, a member’s disclosure of confidential information relevant to the association’s matter undertaken by the attorney may be a basis for disqualification. Id.⁶ 的 格鲁伊克推测 court affirmed the disqualification of a law firm that represented a trade association in collective bargaining negotiations. 的 firm 也 represented a former executive of one of the association’s members in a breach of employment contract dispute. 运用“实质关系”检验, 法院的结论是, 在准备集体谈判时, 靠谱的滚球平台事务所很可能了解到该成员的政策或做法与该高管的解雇有关, 因此，初审法院并没有滥用其自由裁量权来取消靠谱的滚球平台事务所的资格. 格鲁伊克推测, 653 F.750度2d.⁷ Cf. 影子岛, 1987 WL 17337, *4(靠谱的滚球平台事务所不被禁止在会员提起的诉讼中继续代表行业协会，但由于该协会是靠谱的滚球平台事务所唯一认可的客户，因此不存在对两个客户分裂忠诚的危险).

另外, 如果潜在客户所寻求的结果可能对行业协会的财务产生重大不利影响，则该事项不得进行. 看到 对规则1的注释[16].7. 以财务困难为由取消资格是适当的 北星酒店集团. v. 中城酒店协会., 118 F.R.D. 109 (D. 明尼苏达州. 1987), 公司代表酒店经理起诉拥有酒店的合伙企业. 的 firm already represented two development partnerships whose general partner was 也 the general partner of the hotel partnership. Because any judgment against the hotel partnership would have a financial impact on the two development partnerships represented by the firm, 法院以“财务困境”引发的冲突为由取消了该公司的资格.” 118 F.R.D. at 112-13; 另请参阅 美国靠谱的滚球平台协会道德操守小组. No. 92 - 365,讨论 北星酒店集团.

If the analysis demonstrates that the lawyer’s representation of the trade association will materially limit its representation of the prospective client, then the lawyer may only accept or continue the representation by obtaining the consent of the trade association and the prospective client, 按照规则1.7(c). 看到 对规则1的注释[1].(16)“靠谱的滚球平台不应接受代理，除非代理能够胜任, 及时, 没有不当的利益冲突, 最后.”).

结论

代表行业协会的靠谱的滚球平台则不然, 没有更多的, 代表协会的成员. 当被要求代表客户在一个问题上，靠谱的滚球平台会对协会成员不利, 然而, 靠谱的滚球平台必须考虑相关的事实和情况，以确定会员是否有理由相信其与靠谱的滚球平台之间存在靠谱的滚球平台-客户关系. 如果是这样的话, the lawyer may accept the new representation only with the consent of both the prospective client and the member. 如果与该会员之间不存在靠谱的滚球平台-客户关系，但由于新代理的主体与其行业协会的代理之间存在实质性关系，靠谱的滚球平台的代理将受到损害, 或者新事件是否可能对协会造成财务上的不利影响, 然后，只有在客户和行业协会同意的情况下，代理才能进行.

调查没有. 00-6-15
通过日期:2001年1月16日

1. A trade association is “an association of 业务 organizations having similar problems and engaged in similar fields formed for mutual protection, 交换思想和统计数据，维护行业内的标准.《靠谱的滚球平台》1493年第6版. 1990). 参见Nat 'l Muffler经销商协会.公司. v. 美国，440美元.S. 472, 483 n.15(1979)(注意到商务部将行业协会定义为“非营利组织”, 合作, 自愿, organization of 业务 competitors designed to assist its members and its industry in dealing with mutual 业务 problems.’”)(引文省略).
2. 本意见涉及行业协会, 这里讨论的原则可能适用于其他类型的组织. 见规则1.13.
3. 靠谱的滚球平台代表行业协会从会员处获得的信息受靠谱的滚球平台-客户特权保护，并受规则1的保密要求的约束.6; 然而, it is the trade association that holds the privilege, not the member. 将[3]注释到规则1.13; D.C. 靠谱的滚球平台操守行动. No. 269. 如下所述, 然而, 可能出现的情况是，成员, 通过靠谱的滚球平台的“作为或不作为”, 有理由相信靠谱的滚球平台是单独代表的吗, 在这种情况下，规则1的保密要求.保护会员和行业协会的通讯. 看到维.C. 靠谱的滚球平台操守行动. No. 269 n.6.
4. If the firm’s representation of the trade association has concluded when the hypothetical new matter is presented, 该协会是他的前客户, 规则1.9将控制:
  曾在某一事项中代表客户的靠谱的滚球平台，此后不得在同一事项或实质性相关事项中代表另一人，如果该人的利益与前客户的利益有重大不利关系，除非前客户在咨询后同意.
5. 规则1.如果每个潜在受影响的客户在充分披露可能的冲突的存在和性质以及该等代理的可能的不利后果后同意该等代理，则允许在“冲突”下进行代理.对规则1的评论[19].第7条载列披露的规定:
  充分披露要求披露各方及其利益和立场，以使每个潜在客户能够就是否继续进行预期的代理作出充分知情的决定. . . . 充分披露还要求客户了解可能的额外费用, 带来的不便, and other disadvantages that may arise if an actual conflict of position should later arise and the lawyer be required to terminate the representation.
  的 Terminology section of the 规则 defines “consent” as “a client’s uncoerced assent to a proposed course of action, 在就有关事项与靠谱的滚球平台协商后.”
6. 格鲁伊克推测 and other cases refer to the trade association member in such a situation as a “ vicarious” or “derivative” client. 正如ABCNY专业和司法道德委员会所指出的那样, 这样的名字对分析没有帮助. abny道德操守. 1999-01.
7. 关于该司法管辖区中“实质相关”检验的讨论，请参见规则1.9、布朗v. 哥伦比亚特区. 分区调整，486 A.2d 37 (D.C. 1984年)(全体会议).