Federal district courts have inherent authority to regulate the conduct of attorneys who appear before them, including the authority to disqualify an attorney based on conflicts of interest or ethical violations. This authority includes enforcing rules of professional conduct, such as the state's version of the Model Rules of Professional Conduct, as adopted by the local rule of the federal district court.
(a) A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless:(1) the transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client;(2) the client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel on the transaction; and(3) the client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer's role in the transaction, including whether the lawyer is representing the client in the transaction.
(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).
(A) A judge shall not initiate, permit, or consider ex parte communications, or consider other communications made to the judge outside the presence of the parties or their lawyers, concerning a pending or impending matter, except as follows:(1) When circumstances require it, ex parte communication for scheduling, administrative, or emergency purposes, which does not address substantive matters, is permitted, provided:(a) the judge reasonably believes that no party will gain a procedural, substantive, or tactical advantage as a result of the ex parte communication; and
(b) A lawyer shall not solicit professional employment by live person-to-person contact when a significant motive for the lawyer’s doing so is the lawyer’s or law firm’s pecuniary gain, unless the contact is with a:
(1) lawyer;
(2) person who has a family, close personal, or prior business or professional relationship with the lawyer or law firm; or
(3) person who routinely uses for business purposes the type of legal services offered by the lawyer.
[3] With regard to paragraph (b), it is not improper to pay a witness's expenses or to compensate an expert witness on terms permitted by law. The common law rule in most jurisdictions is that it is improper to pay an occurrence witness any fee for testifying and that it is improper to pay an expert witness a contingent fee.
(a) A lawyer shall hold property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property. Funds shall be kept in a separate account maintained in the state where the lawyer's office is situated, or elsewhere with the consent of the client or third person. Other property shall be identified as such and appropriately safeguarded. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of [five years] after termination of the representation.
(e) When in the course of representation a lawyer is in possession of property in which two or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute.
Reversal
Some people will see an appeal to their self-interest as ugly and ignoble. They actually prefer to be able to exercise charity, mercy, and justice, which are their ways of feeling superior to you: When you beg them for help, you emphasize their power and position. They are strong enough to need nothing from you except the chance to feel superior. This is the wine that intoxicates them. They are dying to fund your project, to introduce you to powerful people provided, of course, that all this is done in public, and for a good cause (usually the more public, the better). Not everyone, then, can be approached through cynical self-interest. Some people will be put off by it, because they don't want to seem to be motivated by such things. They need opportunities to display their good heart.
Authority: The shortest and best way to make your fortune is to let people see clearly that it is in their interests to promote yours. (Jean de La Bruyere, 1645-1696)
Image: A Cord that Binds. The cord of mercy and gratitude is threadbare, and will break at the first shock. Do not throw such a lifeline. The cord of mutual self-interest is woven of many fibers and cannot easily be severed. It will serve you well for years.
Arian Jessa Mercado
Self-interest is the lever that will move people. Once you make them see how you can in some way meet their needs or advance their cause, their resistance to your requests for help will magically fall away. At each step on the way to acquiring power, you must train yourself to think your way inside the other person's mind, to see their needs and interests, to get rid of the screen of your own feelings that obscure the truth. Master this art and there will be no limits to what you can accomplish.
When Khan took the city of Kaifeng, after a long siege, and decided to massacre its inhabitants (as he had in other cities that had resisted him), Ch'u-Ts'ai told him that the finest craftsmen and engineers in China had fled to Kaifeng, and it would be better to put them to use. Kaifeng was spared. Never before had Genghis Khan shown such mercy, but then it really wasn't mercy that saved Kaifeng. Ch'u-Ts'ai knew Khan well. He was a barbaric peasant who cared nothing for culture, or indeed for anything other than warfare and practical results. Ch'u-Ts'ai chose to appeal to the only emotion that would work on such a man: greed.
When the Mongols invaded China in the twelfth century, they threatened to obliterate a culture that had thrived for over two thousand years. Their leader, Genghis Khan, saw nothing in China but a country that lacked pasturing for his horses, and he decided to destroy the place, leveling all its cities, for "it would be better to exterminate the Chinese and let the grass grow." It was not a soldier, a general, or a king who saved the Chinese from devastation, but a man named Yelu Ch'u-Ts'ai. A foreigner himself, Ch'u-Ts'ai had come to appreciate the superiority of Chinese culture. He managed to make himself a trusted adviser to Genghis Khan, and persuaded him that he would reap riches out of the place if, instead of destroying it, he simply taxed everyone who lived there. Khan saw the wisdom in this and did as Ch'u-Ts'ai advised.
A key step in the process is to understand the other person's psychology. Is he vain? Is he concerned about his reputation or his social standing? Does he have enemies you could help him vanquish? Is he simply motivated by money and power?
Japan and Holland were vastly different cultures, but each shared a timeless and universal concern: self-interest. Every person you deal with is like another culture, an alien land with a past that has nothing to do with yours. Yet you can bypass the differences between you and him by appealing to his self-interest. Do not be subtle: You have valuable knowledge to share, you will fill his coffers with gold, you will make him live longer and happier. This is a language that all of us speak and understand.
In the sixteenth century, Portugues missionaries tried for years to convert the people of Japan to Catholicism, while at the same time Portugal had a monopoly on trade between Japan and Europe. Although the missionaries did have some success, they never got far among the ruling elite; by the beginning of the seventeenth century, in fact, their proselytizing had completely antagonized the Japanese emperor Ieyasu. When the Dutch began to arrive in Japan in great numbers, Ieyasu was much relieved. He needed Europeans for their know-how in guns and navigation, and here at last were Europeans who cared nothing for spreading religion the Dutch wanted only to trade. Ieyasu swiftly move to evict the Portuguese. From then on, he would only deal with the practical-minded Dutch.
Most people never succeed at this, because they are completely trapped in their own wants and desires. They start from the assumption that the people they are appealing to have a selfless interest in helping them. They talk as if their needs mattered to these people who probably couldn't care less. Sometimes they refer to larger issues: a great cause, or grand emotions such as love and gratitude. They go for the big picture when simple, everyday realities would have much more appeal. What they do not realize is that even the most powerful person is locked inside needs of his own, and that if you make no appeal to his self-interest, he merely sees you as desperate or, at best, a waste of time.
Keys To Power
In your quest for power, you will constantly find yourself in the position of asking for help from those more powerful than you. There is an art to asking for help, an art that depends on your ability to understand the person you are dealing with, and to not confuse your needs with theirs.
