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Our Risk Outlook 2014 Highlighted Failure to Act With Integrity or Ethics, Coursework Example

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Risk	Case Reference (British) of the Risk Explain why this case is a reference	Relevant SRA Code (USE 2019 NOT 2011)	Link to the source of the case
Predatory litigation against third parties	Myers v. Elman, 1939 A.C. 282 (1939): In this case, the solicitor appealed against an order related to the contribution of the other party’s legal costs. This was done after the clerk has filed a statement in the law court, and he was sure the statement was misleading. The appeal was successful. The court made a ruling citing that the plaintiff was compelling the court to order the solicitor pay costs related to his negligence and misconduct.	2 (uphold public trust)	Retrieved from https://swarb.co.uk/myers-v-elman-hl-1939/. On December 8, 2020.
Abuse of the litigation process	White Industries (QLD) Pty Limited -v- Flower and Hart (1998) 156 ALR 169: The case is applicable because it highlights abuse of process through maintenance or proceedings in place of the client with no prospect of success.	3 (independence)	Retrieved from https://legalhelpdesklawyers.com.au/2014/07/14/white-industries-qld-pty-ltd-v-flower-hart-a-firm-federal-court-of-australia-14-july-1998/). On December 8, 2020.
Taking unfair advantage	Tombling v Universal Bulb Co: CA 1951 [1951] 2 TLR 28. In this case, the judge ruled out that the counsel has a duty to his client to defend his case and make an honest endeavor to succeed. He must not take advantage of the client or, in any way, manipulate the client to mislead the court process for his gain.	1.2 (work for the interest of the client and avoid conflict of interest)	Retrieved from https://swarb.co.uk/tombling-v-universal-bulb-co-ca-1951/. On December 6, 2020.
Misleading the Court Solicitors	Regina v. Rochford, 2010 E.W.C.A. Crim 1928 (2010). In this case, the defendant’s lawyer had filed a defense statement for contempt according to the defendant’s point. The judge felt that the application was inadequate since it was the solicitor’s duty to comply with the statutory duty to make sure the defense statement is made according to the requirement stated in section 6A. During the trial, the judges mentioned that the solicitor brought forward defense, which was not mentioned in the defense statement, which means he, together with the client, wanted to mislead the court.	1.4 (provide actual information)	Retrieved from https://www.casemine.com/judgement/uk/5b46f1f02c94e0775e7ee6c2. On December 8, 2020.
Excessive litigation Excessive	Nienstedt v. Wetzel, 651 P.2d 876, 133 Ariz. 348, 133 Ariz. App. 348 (Ct. App. 1982). The judge argues that the appellant’s (Manfred Wetzel) purpose was to subject Nienstedts to excessive litigation expenses. This case applies as the reference because his use of legal processes was not reasonably justifiable for advancing the appellant’s interest.	5 (With Integrity)	Retrieved from https://www.casemine.com/judgement/us/591490b1add7b0493457b1f0. On December 8, 2020.
Predatory litigation involving clients	Tyrrell v The Bank Of London And Sir J v Shelley And Others: HL February 27, 1862. In this case, the solicitor secretly arranged to benefit from the client’s acquisition process by obtaining 50% of the beneficial interest from the owner. The solicitor secretly profited from the transaction meant for the purchase. This source/case is applicable because the solicitor profited from the client’s purchase, and it was done secretly.	7 (best interest of each client)	Retrieved from https://swarb.co.uk/tyrrell-v-the-bank-of-london-and-sir-j-v-shelley-and-others-hl-27-feb-1862/. On December 8, 2020.
Conducting knowingly unwinnable cases	Nazeer v Solicitors Regulation Authority \| [2019] EWHC 37 …: The case is applicable as a reference because it explains the unwinnable case. Mr. Dunlop argued that the first respondent as the Compliance Officer was responsible for the company’s general management. In carrying out his task, he drafted various letters and emails, but this amounted to unbundled services in the unwinnable cases.		Retrieved from https://www.casemine.com/judgement/uk/5c3edb002c94e01e59b51e73. On December 8, 2020.

Ethical Requirement	Case Example of this being violated
Professional Integrity	Drum v. Bleau, Fox & Associates, 132 Cal. Rptr. 2d 602, 107 Cal. App. 4th 1009 (Ct. App. 2003). In this case, the plaintiff was presented for legal malpractice. The solicitor was expected to act with integrity by protecting the client’s interest but failed (https://casetext.com/case/drum-v-bleau-fox-associates).
Independence	Northern Pipeline Constr. Co. v. Marathon Pipe Line Co., 458 U.S. 50, 102 S. Ct. 2858, 73 L. Ed. 2d 598, (1982). In the case, the judge said, “The judges both of the supreme and inferior courts shall hold their offices during good behavior.” The reference applies because it explains how the solicitors should uphold good behaviors while undertaking their office tasks not to breach their independence (https://scholar.google.com/scholar_case?case=17768408304219861886&q=breach+of+independence+by+lawyers&hl=en&as_sdt=2006).
Free of Conflict of Interest	Arthur Hall v Simons [2000] 3 WLR 543: This case is applicable as a reference because it discusses how the introduction of wasted costs jurisdiction created a risk of conflict of interest for the advocates. In this case, the solicitors relied on the immunity rule, which relates to advocacy in negligence claim breaching their duty of care (http://www.e-lawresources.co.uk/cases/Arthur-Hall-v-Simons.php).
Confidentiality	Douglas v. DynMcDermott Petroleum Operations Co., 144 F.3d 364 (5^th Cir. 1994): The case involved an in-house attorney who gave out information to DOE to substantiate her claim the client was discriminated against. This process was unethical because ethical rules do not allow an attorney or any solicitor to disclose the client’s information without her consent. The case was dismissed based on ethical misconduct (https://casetext.com/case/douglas-v-dynmcdermott-petroleum-operations).

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