“The Power of Professionalism:” An Attorney’s Take on the Nexus Between Professionalism and Personal Success

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Professionalism serves as a constant in the legal profession but its potential benefits remain untapped. Among practicing attorneys, professionalism vacillates in between a theoretical concept and the more mundane aspect of working in a law firm environment. We study the topic in law school, abide by the Model Rules of Professional Conduct in our careers, are warned by our bosses of the consequences of acting in a manner not deemed professional. But can embracing professionalism elevate us in our own careers? Can professionalism uplift the legal community as a whole? Can professionalism serve as an omnipotent guidepost to attorneys across the spectrum?

Gregory Gallopoulos, Senior Vice President, General Counsel and Corporate Secretary for General Dynamics and selected keynote speaker for the upcoming 13th Annual SuperConference, seems to thinks so. In his speech entitled “The Power of Professionalism” that addresses in-house attorneys across the country at the SuperConference, Mr. Gallopoulos plans to explore the nexus between professionalism and personal success. In doing so, he simultaneously reframes professionalism from an abstract notion to a philosophy encompassing the hallmarks of law, as well as brings a sense of vigor back to the legal field.

In an interview with me regarding his speech, Mr. Gallopoulos explicated on professionalism, its upsides and consequences and how he envisions the legal industry. He identified key attributes of a professional in the legal industry as one who renders objective and independent counsel, free of barriers. The professional in her legal capacity is one with a mastery of legal knowledge and an adherence to ethical standards that are more rigorous than the norms.

In his analysis of how an attorney can embrace professionalism. Mr. Gallopoulos stressed the commerce-dominated world the attorney inhabits. He theorized that the legal professional must act intentionally in the interest of the law over monetary and ancillary factors. Moreover, the legal professional must constantly ensure her own independence– while attorneys owe a duty of loyalty to their clients, they cannot be dominated by their clients’ interests. Rather, they must strive to be objective and render advice based on the situational circumstances.

If the attorney is successful in doing so, she will enact the role of a professional as opposed to just an employee. Mr. Gallopoulos distinguished the two based on the professional’s obligations to the ethical standards of the profession that transcend employee duties. For instance, the professional’s advice cannot be tied to the employer-employee relationship if it is truly objective and independent. Instead, the lawyer’s obligation to the legal system supersedes that to his workplace.

Mr. Gallopoulos argued that the benefits are twofold in that attorneys who conduct themselves professionally empower themselves in the workplace. By providing objective and independent counsel and assisting others, an attorney can gain stature that leaves her qualified, in turn safeguarding her job security. Secondly, the attorney can also earn personal success when acting in a professional manner. Mr. Gallopoulos stressed the personal satisfaction that comes from contributing to the profession and earning the approval of one’s peers.  He also established the common sense argument that the sought-after attorney is one who has impeccable judgment– that which is independent and objective.

But there are difficulties associated with acting in a professional capacity and Mr. Gallopoulos acknowledged this. The reality is that the world may not be prepared to hear independent and objective advice, regardless of whether these attributes may be the essence of the profession. However, Mr. Gallopoulos suggested that the competent lawyer can provide counsel to her clients with a sense of empathy that displays a commitment to assisting the client.

The question of whether professionalism serves a purpose in the contemporary legal setting still remains.  Mr. Gallopoulos readily pointed out that though it is far too easy to focus on pension plans and billable hours, the law is more than a means of earning livelihood. In his interactions with young attorneys, many of whom appear unhappy practicing law, he has noticed a failure to make professionalism a priority which would have provided them with a sense of contentment. In today’s evolving legal profession which has been affected by the failing economy, he urges attorneys to take the road less travelled and maintain professionalism, thereby contributing to the legal profession as a whole. In his portrait of professionalism, he depicted a structured legal profession that will flourish when its own thinking and methodology is shared and promoted by attorneys alike.

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Broad Advance Waivers of Future Conflicts and Galderma Re: Rules of Professional Conduct

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Lawyers sometimes doubt the effectiveness of advance waivers of future conflicts, particularly when the waiver is broad and does not specify potential adverse parties or representations. The recent trend nationally, however, is to enforce such waivers, at least where the client is sophisticated and has independent counsel evaluate the waiver.

One recent important decision evidencing this trend is Galderma Laboratories, LP v. Actavis Mid Atlantic LLC, Case No. 3:12-cv-2038 (N.D. Tex. Feb. 21, 2013). This column examines the enforceability of advance waivers of future conflicts, particularly in Galderma.

As-Needed Conflict Waivers. Ordinarily lawyers seek conflict waivers when a disqualifying conflict – a conflict that must be resolved for a representation to continue – has arisen. Then, as discussed in my October 2012 column “Resolving a Conflict of Interest,” the Missouri Rules of Professional Conduct normally require the lawyer to obtain an affected client’s “informed consent confirmed in writing” to assume or maintain the conflicted representation. See, e.g., Mo. S. Ct. R. 4-1.7(b)(4).

For an as-needed conflict waiver to be effective, the lawyer must adequately address three aspects with each affected client: (1) the circumstances giving rise to the conflict; (2) the risks created by those circumstances; and (3) reasonably available alternatives to the conflicted representation.

Advance Waivers of Future Conflicts. When a lawyer seeks an advance consent to future conflicts, instead of an as-needed waiver of a present conflict, uncertainty about future circumstances and risks complicate obtaining a client’s informed consent. The lawyer and client must speculate who may be adverse or what representations may arise, and there is an increased likelihood the conflict that actually does arise was not previously considered.

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Warning to in-house Counsel: Be Careful When Responding to Demand Letters

Drinker Biddle & Reath LLP‘s Jerrold J. Wohlgemuth recently had an article, Warning to in-house Counsel: Be Careful When Responding to Demand Letters, featured in The National Law Review:

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It’s a common occurrence: counsel sends a demand letter to an employer explaining the basis for his/her client’s claim of discrimination or wrongful discharge, and threatening to sue, but offering to discuss settlement in advance of filing a complaint.  In-house counsel responds by explaining why the claim has no merit, but expressing a willingness to discuss settlement, with the understanding that in the event of litigation the correspondence would be inadmissible under Evidence Rule 408 as a communication concerning settlement.  It says so right in the Rule:  “a statement made during compromise negotiations about the claim” is inadmissible “to prove or disprove the validity or amount of a disputed claim.”  But the U.S. District Court for the District of New Jersey has reminded us that is not always the case.

In its recent decision in Bourhill v. Sprint Nextel Corp., the District Court affirmed the decision of the magistrate judge allowing the plaintiff in his cross-motion for summary judgment to rely on a portion of in-house counsel’s response to a demand letter.  In that case, the demand letter first described the factual basis for the contention that the employee’s discharge was unlawful under the New Jersey Law Against Discrimination, and then set forth counsel’s position that while he believed the case had merit, his client was willing to avoid litigation if the matter could be resolved by means of an “adequate compensatory settlement.”  In-house counsel wrote a two paragraph response under the subject line caption “Confidential/For Settlement Purposes Only.”  In the first paragraph in-house counsel denied that the discharge was unlawful and explained in factual detail that it had been made for legitimate non-discriminatory reasons.  The second paragraph expressed an interest in discussing an amicable resolution and requested a specific demand.  In the ensuing litigation, plaintiff’s counsel relied on the letter as an exhibit in his cross-motion for summary judgment, and defense counsel moved to strike.

Before moving on to discuss the decision of the magistrate judge it is important to recognize that in-house counsel responded in the normal, customary fashion when responding to a demand letter of this type.  It is the magistrate judge’s decision, and the subsequent decision of the District Court discussed in the next part, that should give every in-house counsel pause when responding to any demand letter.

The magistrate judge granted the defendant’s motion to strike with respect to the second paragraph inasmuch as it clearly invited plaintiff’s counsel to make an offer to settle, but denied it as to the first.  In this regard, the magistrate judge determined that the two parts of the letter were not “logically connected” and could therefore be evaluated separately because the first was addressed to the merits of the claim articulated in the demand letter while the second concerned the offer to compromise.  The magistrate judge then found that the first paragraph did not implicate Rule 408 because it did not “contain an actual compromise or a suggestion of a genuine willingness to resolve the dispute.”

On appeal, defense counsel argued that the letter should be read in its entirety as a response to the settlement inquiry, that the first paragraph was designed to make clear that the company did not place a high monetary value on the claim, and that public policy requires that the parties be free to express their positions in settlement communications without fear they will be used to prove liability.  The District Court did not disagree, but affirmed the decision of the magistrate judge based on the conclusion that he had simply made a finding of fact – that the paragraphs were not “logically connected” – which could not be overturned on appeal.

This is not the first time a court has determined that a portion of a communication otherwise covered by Rule 408 may be admitted into evidence because it did not directly address the subject of settlement.  But the decision should serve as a reminder to in-house counsel to be extremely careful when responding to demand letters, to avoid including any facts, statements or admissions that could be difficult to explain in litigation and to make clear in each paragraph that it has been written in response to the demand letter for the limited purpose of exploring the possibility of settlement.

©2013 Drinker Biddle & Reath LLP

Supreme Court of Texas to Federal Circuit: Don’t Mess with Texas but Feel Free to Mess with Texas Patent Attorneys; SCOTUS May Weigh In on “Arising-Under” Jurisdiction

Recently an article about Texas Patent Attorneys by Adam Auchter Allgood and Paul Devinsky of McDermott Will & Emery appeared in The National Law Review:

In a 5-3 decision, the Supreme Court of Texas, while specifically stating that it is not bound by the holdings of the U. S. Court of Appeals for the Federal Circuit, has relied on the Federal Circuit opinions in Immunocept (IP Update, Vol. 10, No. 10)and Air Measurement (IP Update, Vol. 14, No. 8) in determining that the federal courts possesses exclusive jurisdiction for state malpractice claims “arising-under” underlying patent matters. Minton v. Gunn, 355 S.W.3d 634, 653 (Supr. Ct. Tex., Dec. 16, 2011) (Green, J.) (Guzman, J., dissenting, joined by Medina, J. and Willett, J.). This decision is now at the U.S. Supreme Court as the subject of a petition for cert.

Minton is only one of a series of cases to explore the “arising under” jurisdiction of the Federal Circuit. The statute 28 U.S.C. §1338, which provides the federal courts with exclusive jurisdiction for any civil action “arising under” federal law relating to patents, has come under extensive scrutiny lately by the Federal Circuit. In several cases in which attorney malpractice was alleged in connection with patent procurement or enforcement, Circuit Judge O’Malley has taken the opportunity to present her views on the limits of the jurisdiction of the Federal Circuit to hear such disputes which are grounded in state law. For example, Judge O’Malley has dissented from the dismissal of a petition seeking an en banc review of the 2010 precedential Federal Circuit opinion in Davis v. Brouse McDowell, L.P.A. (see IP Update, Vol. 13, No. 3), which found federal jurisdiction over a legal malpractice action involving missed deadlines in which no patent actually issued. Recent cases in which Judge O’Malley has aired her view on this jurisdictional issue include the following:

  • Memorylink Corp. v. Motorola, Inc., Case No. 10-1533 (Fed. Cir., April 11, 2012) (per curiam order) (O’Malley, J., dissenting from the denial of the petition for rehearing en banc)
  • Minkin v. Gibbons, P.C., Case No. 11-1178 (Fed. Cir., May 4, 2012) (Reyna, J. (O’Malley, J., concurring in the result and conceding that under controlling Federal Circuit case law, the Federal Circuit is compelled to hear the case; but explaining why, in her view, it is not “proper” to do so)
  • Landmark Screens, LLC v. Morgan, Lewis, & Bockius, LLP, Case No. 11-1297 (Fed. Cir., April 23, 2012) (Clevenger, J.) (O’Malley, J., concurring and urging en banc consideration of the jurisdictional issue)
  • Byrne v. Wood, Herron & Evans, LLP, Case No. 11-1012 (Fed. Cir. March 22, 2012) (per curiam) (O’Malley, J., concurring in the Court’s opinion on the malpractice claim that address the issue on appeal, while noting that controlling Federal Circuit authority “compels us to do so”; but also pointing out the “federalism considerations” that mitigate against doing so)
  • USSPS, Ltd. v. Avery Dennison Corp., Case No. 11-1525 (Fed. Cir., April 17, 2012) (per curiam) (O’Malley, J., joined by Mayer, J., concurring while voicing what she regards as “significant” federalism concerns that are raised by the Federal Circuit’s exercise of jurisdiction over “these purely state laws claims”)

While Judge O’Malley, a former federal district judge who presided over more than 100 patent and trademark cases, continues to follow the binding Federal CircuitDavis precedent, it is clear that she feels that it is an incorrect application of Supreme Court case law. Both state and federal courts are applying the four-part standard enumerated by the Supreme Court in 2005 in Grable, 545 U.S. 308, for the general “arising-under” jurisdiction of §1331 to the specific patent section of §1338. In Judge O’Malley’s view federal question jurisdiction, as discussed in Grable, exists if resolving a federal issue is necessary to resolution of the state-law claim; the federal issue is actually disputed; the federal issue is substantial; and federal jurisdiction will not disturb the balance of federal and state judicial responsibilities.

Malpractice cases involving patents usually are one of two varieties involving either patent prosecution errors or non-asserted defenses during infringement litigation. Judge O’Malley tends to disagree with the application of the third Grable factor since most of the issues underlying malpractice claims are case-specific, factual inquiries and require only application, not interpretation of federal patent law and would have little or no bearing on other cases. As to the fourth factor, Judge O’Malley asserts that malpractice cases do not implicate any underlying patent rights themselves. Any patent issue that is decided will only inform the state law standards of causation or damages and would not have binding effect on other patent cases.

The majority in Minton (as well as controlling Federal Circuit case law) however, rely on the argument that a “case within a case” exists in malpractice claims, since patent issues must be analyzed in order for the plaintiff to prove a proximate causal connection that the harm or loss would not have occurred without the attorney’s malpractice. The Minton Court (like Federal Circuit precedent) is based on the rational that litigants benefit from judges who are familiar and experienced with complicated patent rules and that there is a strong federal interest in the uniform application of patent laws.

Practice Note: With the Texas Supreme Court decision in Minton currently teed up before the U.S. Supreme Court, Judge O’Malley may find her desired Federal Circuiten banc review bypassed as the issue may receive direct consideration by the Supreme Court. Certiorari briefs are currently being filed with the Supreme Court (Docket No. 11-1118). On April 26, Memorylink also filed a petition for cert to the Supreme Court drawing on Judge O’Malley’s dissent in Memorylink v. Motorola, arguing that by asserting jurisdiction on state law malpractice claims, the Federal Circuit is disturbing the appropriate balance between state and federal courts.

© 2012 McDermott Will & Emery

Pennsylvania Adopts Significant Tort Reform Eliminating Joint and Several Liability: Fair Share Act Signed into Law

The National Law Review recently published an article by Meredith N. Reinhardt of Drinker Biddle & Reath LLP regarding Tort Law Reform in Pennsylvania:

In our June 2011 Newsletter, we discussed the status of important pending legislation in Pennsylvania (the Fair Share Act) designed to eradicate the common law doctrine of joint and several liability.  As of the date of that article, the Pennsylvania House of Representatives approved the Fair Share Act (H.B. 1), and the Act was before the Pennsylvania Senate for consideration.  After extensive debate, the Senate ultimately approved a bill substantively identical to H.B. 1.

On June 28, 2011, Governor Tom Corbett signed the Fair Share Act into law, effective immediately.  The Fair Share Act, (42 Pa. Cons. Stat. § 7102), provides for proportionate share liability among joint tortfeasors and eliminates the common law doctrine of joint and several liability in all but a few limited situations.  Under the new law, each defendant is liable for “that proportion of the total dollar amount awarded as damages in the ratio of the amount of that defendant’s liability to the amount of liability attributed to all defendants and other persons to whom liability is apportioned under subsection (a.2).”  42 Pa. Cons. Stat. § 7102(a.1)(1).  Joint and several liability still applies where there is an intentional misrepresentation, an intentional tort, a claim under section 702 of the Hazardous Sites Cleanup Act, a violation of section 497 of the Liquor Code or where a defendant is liable for 60% or greater of the total liability apportioned to all parties.  42 Pa. Cons. Stat. § 7102(a.1)(3).

The Fair Share Act is a significant victory for product manufacturers, insurance companies and other businesses who are often hauled into litigation because of their “deep pockets” even if they might be only minimally liable.  Reactions from these groups has been overwhelmingly positive.  Pennsylvania Chamber of Business and Industry Vice President Gene Barr commented that the Fair Share Act “restores fairness and predictability to the state’s legal system, encouraging business investment and job growth.”1 The Chairman of the Insurance Agents & Brokers of Pennsylvania further praised the new law:  “The act is a win for consumers, businesses and the insurance industry, which all carry the financial burdens of such a litigious environment.”2

Conclusion

As a practical matter, passage of the Fair Share Act will likely decrease the frequency “deep pocket” defendants with minimal liability are brought into litigation.  Even if such defendants are joined in litigation, the Fair Share Act will reduce the possibility of inequitable judgments.  As time passes, product manufacturers, insurance companies and other business who are often co-defendants in various litigations will continue to see the benefits of this significant tort reform.


 

1 Press Release, Gov. Corbett signs Chamber members’ No. 1 lawsuit abuse reform priority (June 28, 2011) (on file with author and available at: http://www.pachamber.org/www/news/press_releases/2011/Gov%20Corbett%20signs%20Chamber%20members%20No%201%20lawsuit%20abuse%20reform%20priority.php)

 

2 Press Release, IA&B applauds Pennsylvania lawsuit-abuse reform (June 28, 2011) (on file with author and available at:  http://www.iabgroup.com/press_center/releases/2011/06_28_tort_reform.html).


©2012 Drinker Biddle & Reath LLP

NY City Bar White Collar Crime Institute

The National Law Review is pleased to bring you information about the inaugural White Collar Crime Institute, on Monday, May 14, 2012 from 9 a.m. to 5 p.m. in New York City, NY.

This excellent review of developments in criminal and regulatory enforcement has been organized by our White Collar Criminal Law Committee, chaired John F. Savarese of Wachtell Lipton Rosen & Katz. Our program will feature keynote addresses by Preet Bharara, United States Attorney for the Southern District of New York, and Eric Schneiderman, Attorney General of the State of New York. The panels on key legal and strategic issues will include senior government officials, federal judges, academics, general counsel of leading New York based corporations and financial institutions, and top practitioners in the field. We have crafted the program to maximize their value for white collar practitioners and corporate counsel.

Plenary sessions will focus on:
  • Providing perspectives of top general counsel concerning the challenges they confront in this new era of expanded corporate prosecutions
  • Discussions of the increasing importance of media coverage in these cases and its impact on prosecutorial decision-making.

Break-out sessions will address:

  • Techniques for winning trials
  • Ethical issues presented by white-collar corporate investigations
  • Trends in white-collar sentencing, and
  • The special challenges of handling cross-border investigations.

NY City Bar White Collar Crime Institute

The National Law Review is pleased to bring you information about the inaugural White Collar Crime Institute, on Monday, May 14, 2012 from 9 a.m. to 5 p.m. in New York City, NY.

This excellent review of developments in criminal and regulatory enforcement has been organized by our White Collar Criminal Law Committee, chaired John F. Savarese of Wachtell Lipton Rosen & Katz. Our program will feature keynote addresses by Preet Bharara, United States Attorney for the Southern District of New York, and Eric Schneiderman, Attorney General of the State of New York. The panels on key legal and strategic issues will include senior government officials, federal judges, academics, general counsel of leading New York based corporations and financial institutions, and top practitioners in the field. We have crafted the program to maximize their value for white collar practitioners and corporate counsel.

Plenary sessions will focus on:
  • Providing perspectives of top general counsel concerning the challenges they confront in this new era of expanded corporate prosecutions
  • Discussions of the increasing importance of media coverage in these cases and its impact on prosecutorial decision-making.

Break-out sessions will address:

  • Techniques for winning trials
  • Ethical issues presented by white-collar corporate investigations
  • Trends in white-collar sentencing, and
  • The special challenges of handling cross-border investigations.

NY City Bar White Collar Crime Institute

The National Law Review is pleased to bring you information about the inaugural White Collar Crime Institute, on Monday, May 14, 2012 from 9 a.m. to 5 p.m. in New York City, NY.

This excellent review of developments in criminal and regulatory enforcement has been organized by our White Collar Criminal Law Committee, chaired John F. Savarese of Wachtell Lipton Rosen & Katz. Our program will feature keynote addresses by Preet Bharara, United States Attorney for the Southern District of New York, and Eric Schneiderman, Attorney General of the State of New York. The panels on key legal and strategic issues will include senior government officials, federal judges, academics, general counsel of leading New York based corporations and financial institutions, and top practitioners in the field. We have crafted the program to maximize their value for white collar practitioners and corporate counsel.

Plenary sessions will focus on:
  • Providing perspectives of top general counsel concerning the challenges they confront in this new era of expanded corporate prosecutions
  • Discussions of the increasing importance of media coverage in these cases and its impact on prosecutorial decision-making.

Break-out sessions will address:

  • Techniques for winning trials
  • Ethical issues presented by white-collar corporate investigations
  • Trends in white-collar sentencing, and
  • The special challenges of handling cross-border investigations.

NY City Bar White Collar Crime Institute

The National Law Review is pleased to bring you information about the inaugural White Collar Crime Institute, on Monday, May 14, 2012 from 9 a.m. to 5 p.m. in New York City, NY.

This excellent review of developments in criminal and regulatory enforcement has been organized by our White Collar Criminal Law Committee, chaired John F. Savarese of Wachtell Lipton Rosen & Katz. Our program will feature keynote addresses by Preet Bharara, United States Attorney for the Southern District of New York, and Eric Schneiderman, Attorney General of the State of New York. The panels on key legal and strategic issues will include senior government officials, federal judges, academics, general counsel of leading New York based corporations and financial institutions, and top practitioners in the field. We have crafted the program to maximize their value for white collar practitioners and corporate counsel.

Plenary sessions will focus on:
  • Providing perspectives of top general counsel concerning the challenges they confront in this new era of expanded corporate prosecutions
  • Discussions of the increasing importance of media coverage in these cases and its impact on prosecutorial decision-making.

Break-out sessions will address:

  • Techniques for winning trials
  • Ethical issues presented by white-collar corporate investigations
  • Trends in white-collar sentencing, and
  • The special challenges of handling cross-border investigations.

NY City Bar White Collar Crime Institute

The National Law Review is pleased to bring you information about the inaugural White Collar Crime Institute, on Monday, May 14, 2012 from 9 a.m. to 5 p.m. in New York City, NY.

This excellent review of developments in criminal and regulatory enforcement has been organized by our White Collar Criminal Law Committee, chaired John F. Savarese of Wachtell Lipton Rosen & Katz. Our program will feature keynote addresses by Preet Bharara, United States Attorney for the Southern District of New York, and Eric Schneiderman, Attorney General of the State of New York. The panels on key legal and strategic issues will include senior government officials, federal judges, academics, general counsel of leading New York based corporations and financial institutions, and top practitioners in the field. We have crafted the program to maximize their value for white collar practitioners and corporate counsel.

Plenary sessions will focus on:
  • Providing perspectives of top general counsel concerning the challenges they confront in this new era of expanded corporate prosecutions
  • Discussions of the increasing importance of media coverage in these cases and its impact on prosecutorial decision-making.

Break-out sessions will address:

  • Techniques for winning trials
  • Ethical issues presented by white-collar corporate investigations
  • Trends in white-collar sentencing, and
  • The special challenges of handling cross-border investigations.