伦理意见236
在有限的情况下，允许在破产程序中为了收取费用而泄露客户的机密和秘密
澳门赌场官网可以为收取费用而泄露委托人的机密和秘密，但仅限于在诉讼过程中披露, is as narrow as possible and there is a good-faith expectation of more than a 微量允许 复苏.
适用的规则
- 规则1.6(d)(5) (Divulging Client Confidences And Secrets)
调查
The inquirer presents the following situation. 他的公司被一位加州居民聘用，为他提供服务，并向他收取费用. Upon threat of a collection action, the client began to make monthly payments. The client subsequently filed a petition for bankruptcy seeking to discharge, 在其他债务中, the debt to the inquiring law firm. 这份请愿书使该公司无力收回所欠费用. The bankruptcy is being treated as a “no asset” proceeding. 询盘公司已被指示不要向受托人提交索赔证明，这是不大可能的, if the proceeding continues in this form, that the firm will recover any of its fee which is still outstanding.
结果是 of its representation of the client, 本所有理由相信，客户就其资产和负债的性质向破产法庭所作的陈述可能不准确或不完整. 这些信息是基于在陈述过程中提供的信息，尽管其中一些信息也有公开记录. 询问者问是否, as part of an effort to collect its fees, 可以通过破产法庭的程序进行披露, the information in the firm’s possession regarding the client’s assets.
讨论
规则1.第6(d)(5)款规定:
A lawyer may use or reveal client confidences or secrets . . . 在澳门赌场官网为收取澳门赌场官网费而提起的诉讼中所必需的最低限度.
这是关于客户信息保密的一般规则的一个有限但公认的例外. 它基于“信义关系的受益人不得利用信义关系损害受托人利益的原则”.规则1.评论[24]1 The exception has been applied to bankruptcy proceedings. 例如, 马里兰州澳门赌场官网协会解释了相应的《澳门赌场官网》章节，允许澳门赌场官网根据《澳门赌场官网》的规定，就可能涉及客户机密和秘密的破产遗产支付的费用和支出申请免税额. Committee On Ethics of the Maryland State 酒吧 Association Opinion 83-19 (9/27/82). 洛杉矶县澳门赌场官网协会(Los Angeles County 酒吧 Association)已经决定，在破产案件中代表客户并被客户解雇的澳门赌场官网可以向破产法庭提出费用索赔，并提起诉讼，要求宣布其债务不可免除. Ethics Committee of the Los Angeles County 酒吧 Association Opinion 452 (11/21/88).
对规则1的注释.我们强调，任何披露都应尽可能缩小范围，澳门赌场官网应寻求使用“约翰·多伊”诉状, 不公开诉讼, 和/或保护令，尽可能避免不必要的信息披露. Id. 另请参阅 “Annotated 教授示范规则essional Conduct” at 88 (“. . . 澳门赌场官网必须尽一切可能避免不必要地披露与代理有关的信息, to limit disclosure to those having the need to know it, 并获得保护令或作出其他安排，以尽量减少披露的风险.”). Moreover, disclosure is not permitted in non-fee proceedings. 参见Florida 酒吧 v. 球, 406 So. 2d 459(佛罗里达州. 1981年)(澳门赌场官网因向收养机构披露客户未支付澳门赌场官网费因而可能存在财务风险而被停职); 纳尔逊事件, 327 N.W.2d 576,578 -79(明尼苏达州. 1982) (ethical violation where attorney, 后续费用争议, reported client’s alleged tax violations to state authorities).
询问者就收取其费用所建议的行动方针2 is permitted under the governing Rule assuming several conditions are met.3 第一个, 只要建议的披露是由澳门赌场官网在澳门赌场官网发起的诉讼中或在正在进行的法律诉讼的背景下进行的, it is properly considered to be part of an “action instituted by the lawyer.” In the absence of any specific authority to the contrary, 委员会认为，这种措辞只限制了在正式程序范围内的披露.4 第二个, the proposed disclosure to the bankruptcy court must be as narrow as possible, providing only the minimal information necessary to establish or collect a fee. 除了, 如果可能的话, the inquirer should use protective orders, 不公开诉讼, 约翰·多伊的诉状, 和/或其他适当的机制来保护客户的身份和利益.
最后，询问者必须有一个善意的期望，收回超过一 微量允许 amount of the outstanding fee. 必须强调的是，规则中的例外只适用于试图“建立或收取”费用的情况. 它不允许出于任何其他原因泄露客户的机密或秘密. This includes an effort to bring a potential fraud to the attention of the court, salutary as the underlying policy concern may be. Cf. 纳尔逊的事，上书. 结果是, if, 不管出于什么原因, the lawyer does not have a reasonable expectation of more than a 微量允许 复苏, the disclosure would violate the rule.
总而言之, 规则1规定的反对泄露客户机密的一般规则的公认但狭窄的例外.6(d)(5)允许在有限的情况下披露与破产程序中设立或收取费用的行动有关的信息.
调查没有. 92-10-36
通过:1993年2月9日
1. 参见大炮v. U.S. 音响有限公司., 532 F.2d 1118,1120(第7卷. 1976) (permits fee collection action to proceed based on this exception to attorney-client privilege); Nakasian v. Incontrade公司., 409 F. 增刊. 1220, 1224 (S.D.N.Y. 1976) (attachment of client funds facilitated by use of confidential information permissible); ABA Center for Prof. 分别地.,伊斯兰教纪元. 教授示范规则. Conduct (1991) at 88 (“A lawyer entitled to a fee is permitted . . . 以证明在收取诉讼中所提供的服务”)和第96条(引用Cannon v. U.S. 音响集团).
2. 调查和本意见均未直接涉及为收取费用而可能披露的客户机密和秘密的性质.
3. This Committee does not decide factual questions; we therefore express no opinion regarding the underlying facts here.
4. The earlier version of 规则1.6(d)(5), which is found in DR 4-101(C)(4), 允许澳门赌场官网披露“[c]为确立或收取澳门赌场官网费，或为自己或其雇员或同事在受到不法行为指控时进行辩护所必需的机密或秘密”.规则1的历史.6 does not explain this change in language.
