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Rule 1-400 Advertising and
Solicitation
(A) For purposes of this rule, "communication" means any message
or offer made by or on behalf of a member concerning the
availability for professional employment of a member or a law firm
directed to any former, present, or prospective client, including
but not limited to the following:
(1) Any use of firm name, trade name, fictitious name, or other
professional designation of such member or law firm; or
2) Any stationery, letterhead, business card,
sign, brochure, or other comparable written material describing
such member, law firm, or lawyers; or
(3) Any advertisement (regardless of medium) of
such member or law firm directed to the general public or any
substantial portion thereof; or
(4) Any unsolicited correspondence from a
member or law firm directed to any person or entity.
(B) For purposes of this rule, a "solicitation"
means any communication:
(1) Concerning the availability for professional employment of a
member or a law firm in which a significant motive is pecuniary
gain; and
(2) Which is:
(a) delivered in person or by
telephone, or
(b) directed by any means to a person known to
the sender to be represented by counsel in a matter which is a
subject of the communication.
(C) A solicitation shall not be made by or on
behalf of a member or law firm to a prospective client with whom
the member or law firm has no family or prior professional
relationship, unless the solicitation is protected from abridgment
by the Constitution of the United States or by the Constitution of
the State of California. A solicitation to a former or present
client in the discharge of a member's or law firm's professional
duties is not prohibited.
(D) A communication or a solicitation (as
defined herein) shall not:
(1) Contain any untrue statement; or
(2) Contain any matter, or present or arrange
any matter in a manner or format which is false, deceptive, or
which tends to confuse, deceive, or mislead the public; or
(3) Omit to state any fact necessary to make
the statements made, in the light of circumstances under which they
are made, not misleading to the public; or
(4) Fail to indicate clearly, expressly, or by
context, that it is a communication or solicitation, as the case
may be; or
(5) Be transmitted in any manner which involves
intrusion, coercion, duress, compulsion, intimidation, threats, or
vexatious or harassing conduct.
(6) State that a member is a "certified
specialist" unless the member holds a current certificate as a
specialist issued by the Board of Legal Specialization, or any
other entity accredited by the State Bar to designate specialists
pursuant to standards adopted by the Board of Governors, and states
the complete name of the entity which granted certification.
(E) The Board of Governors of the State Bar
shall formulate and adopt standards as to communications which will
be presumed to violate this rule 1-400. The standards shall only be
used as presumptions affecting the burden of proof in disciplinary
proceedings involving alleged violations of these rules.
"presumption affecting the burden of proof" means that presumption
defined in Evidence Code sections 605 and 606. Such standards
formulated and adopted by the Board, as from time to time amended,
shall be effective and binding on all members.
(F) A member shall retain for two years a true
and correct copy or recording of any communication made by written
or electronic media. Upon written request, the member shall make
any such copy or recording available to the State Bar, and, if
requested, shall provide to the State Bar evidence to support any
factual or objective claim contained in the communication.
[Publisher's Note: Former
rule 1-400 (D)(6) repealed by order of the Supreme Court effective
November 30, 1992. New rule 1-400 (D)(6) added by order of the
Supreme Court effective June 1, 1997.]
Standards:
Pursuant to rule 1-400(E) the Board of
Governors of the State Bar has adopted the following standards,
effective May 27, 1989, unless noted otherwise, as forms of
"communication" defined in rule 1-400(A) which are presumed to be
in violation of rule 1-400:
(1) A "communication" which contains guarantees, warranties, or
predictions regarding the result of the representation.
(2) A "communication" which contains
testimonials about or endorsements of a member unless such
communication also contains an express disclaimer such as "this
testimonial or endorsement does not constitute a guarantee,
warranty, or prediction regarding the outcome of your legal
matter."
(3) A "communication" which is delivered to a
potential client whom the member knows or should reasonably know is
in such a physical, emotional, or mental state that he or she would
not be expected to exercise reasonable judgment as to the retention
of counsel.
(4) A "communication" which is transmitted at
the scene of an accident or at or en route to a hospital, emergency
care center, or other health care facility.
(5) A "communication," except professional
announcements, seeking professional employment for pecuniary gain,
which is transmitted by mail or equivalent means which does not
bear the word "Advertisement," "Newsletter" or words of similar
import in 12 point print on the first page. If such communication,
including firm brochures, newsletters, recent legal development
advisories, and similar materials, is transmitted in an envelope,
the envelope shall bear the word "Advertisement," "Newsletter" or
words of similar import on the outside thereof.
(6) A "communication" in the form of a firm
name, trade name, fictitious name, or other professional
designation which states or implies a relationship between any
member in private practice and a government agency or
instrumentality or a public or non-profit legal services
organization.
(7) A "communication" in the form of a firm
name, trade name, fictitious name, or other professional
designation which states or implies that a member has a
relationship to any other lawyer or a law firm as a partner or
associate, or officer or shareholder pursuant to Business and
professions Code sections 6160-6172 unless such relationship in
fact exists.
(8) A "communication" which states or implies
that a member or law firm is "of counsel" to another lawyer or a
law firm unless the former has a relationship with the latter
(other than as a partner or associate, or officer or shareholder
pursuant to Business and professions Code sections 6160-6172) which
is close, personal, continuous, and regular.
(9) A "communication" in the form of a firm
name, trade name, fictitious name, or other professional
designation used by a member or law firm in private practice which
differs materially from any other such designation used by such
member or law firm at the same time in the same community.
(10) A "communication" which implies that the
member or law firm is participating in a lawyer referral service
which has been certified by the State Bar of California or as
having satisfied the Minimum Standards for Lawyer Referral Services
in California, when that is not the case.
(11) (Repealed. See rule 1-400(D)(6) for the
operative language on this subject.)
(12) A "communication," except professional
announcements, in the form of an advertisement primarily directed
to seeking professional employment primarily for pecuniary gain
transmitted to the general public or any substantial portion
thereof by mail or equivalent means or by means of television,
radio, newspaper, magazine or other form of commercial mass media
which does not state the name of the member responsible for the
communication. When the communication is made on behalf of a law
firm, the communication shall state the name of at least one member
responsible for it.
(13) A "communication" which contains a
dramatization unless such communication contains a disclaimer which
states "this is a dramatization" or words of similar import.
(14) A "communication" which states or implies
"no fee without recovery" unless such communication also expressly
discloses whether or not the client will be liable for costs.
(15) A "communication" which states or implies that a member is
able to provide legal services in a language other than English
unless the member can actually provide legal services in such
language or the communication also states in the language of the
communication (a) the employment title of the person who speaks
such language and (b) that the person is not a member of the State
Bar of California, if that is the case.
(16) An unsolicited "communication" transmitted
to the general public or any substantial portion thereof primarily
directed to seeking professional employment primarily for pecuniary
gain which sets forth a specific fee or range of fees for a
particular service where, in fact, the member charges a greater fee
than advertised in such communication within a period of 90 days
following dissemination of such communication, unless such
communication expressly specifies a shorter period of time
regarding the advertised fee. Where the communication is published
in the classified or "yellow pages" section of telephone, business
or legal directories or in other media not published more
frequently than once a year, the member shall conform to the
advertised fee for a period of one year from initial publication,
unless such communication expressly specifies a shorter period of
time regarding the advertised fee.
(Amended by order of Supreme Court, operative
September 14, 1992. Standard (5) amended by the Board of Governors,
effective May 11, 1994. Standards (12) - (16) added by the Board of
Governors, effective May 11, 1994. Standard (11) repealed June
1, 1997)
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