道德意见241

Financial Penalty Imposed on Departing Lawyer Who Engages in Legal Practice in D.C. Area

合伙协议规定，如果合伙人离开合伙企业，在华盛顿地区从事法律业务，那么从合伙人的资本金融账户中支付资金的时间最多可延迟五年. 这样的协议违反了规则5.6(a) in imposing a penalty for opening a potentially competing practice.

适用的规则

• 规则5.6(a) (Restrictions on Right to Practice Law)

调查

询问者寻求关于延迟从合伙人的资本金融账户支付资金的适当性的意见，当合伙人离开合伙企业并在哥伦比亚特区从事法律业务时.

合伙协议规定，退出的合伙人有权从其资本财务账户中获得自退出之日起的第一个财政季度的最后一天开始的五年期间的无息付款. It limits payments, 然而, in the following circumstances:

如果根据本协议标题为“退任合伙人的付款”的章节，退任合伙人有权在65岁之前获得付款，则退任合伙人在哥伦比亚大都会区从事私人澳门赌场官网执业, such payments shall be delayed until the earlier of (i) the date such Terminated Partner attains age 65, (ii)上述被终止合伙人停止从事私人澳门赌场官网执业之日，或(iii)根据本协议中标题为“退出合伙人的付款”的部分，该等付款计划开始之日起5年后.”

Inquirer seeks an opinion whether this provision violates 规则5.6(a).

讨论

规则5.6提供了:

A lawyer shall not participate in offering or making
(a)限制澳门赌场官网在关系终止后执业权利的合伙或雇佣协议, except an agreement concerning benefits upon retirement; . . .

第5条执行部分用语.6 — “restricts the right of a lawyer to practice” — is identical to the language of the predecessor Code provision, 博士2 - 108 (A).

The Committee has frequently been asked to define the scope of firms’ authority to limit, through partnership or employment agreements, competition by lawyers who depart the firm. 意见181, the Committee engaged in a thorough review of the purposes of the former Code provision, 判例法分析, ABA opinions and prior Committee decisions. 它的结论是，这些决定“表明了对限制性[就业]协议的普遍敌意，并说服本委员会应仔细审查它面前的任何此类协议。.“原因有两个:一是保护客户自己选择澳门赌场官网的能力，二是使澳门赌场官网能够在职业生涯中取得进步. The changing nature of the bar and the practice of law in the District of Columbia, which is characterized by significant growth in the size of the bar, the opening of branches of out-of-town firms and relaxation of rules concerning solicitation and advertising, all reinforce the need for limiting restrictions on lawyer mobility.

委员会以前曾两次认为，雇用和合伙协议对在竞争或可能竞争的公司执业施加直接的经济处罚，相当于禁止对执业权利的限制. 意见书65, the Committee held that former 博士2 - 108 (A) prohibited an employment agreement requiring that, 离开后两年, 离职的澳门赌场官网向前律所支付该律所以前代理的客户净收入的40%. 在意见194中, 委员会认为，如果离职合伙人在12个月内开展任何竞争性业务，则将未实现应收账款的付款减半的规定是不允许的. These decisions are consistent with 灰色v. 马丁, 663 P.2d 1285(或. 1983), twice cited by the Committee (Opinions 181 and 194), 法院拒绝执行合伙协议中的条款，该条款取消了合伙人有权获得的报酬，如果澳门赌场官网在三个指定的县中的任何一个执业.

相比之下, financial arrangements that do not penalize a lawyer for competing do not run afoul of 规则5.6. 第221号意见, 委员会审议了一家从事原告人身伤害诉讼的澳门赌场官网事务所所使用的一项协议，该协议规定了在澳门赌场官网离开该事务所时未解决的案件中潜在或有费用的分配.¹ 委员会认为，在某种程度上，这项安排仅仅是为了根据所完成的工作建立公平的分配办法, the agreement was permissible; an excessive share to the firm would, 然而, amount to a restriction on the right to practice.

The Committee has upheld only one sort of restriction on the right to practice. 这些是对离职澳门赌场官网招揽离职所客户的合理限制，但并非绝对限制. 第77和97号意见, 委员会支持雇佣协议，该协议禁止澳门赌场官网离开公司时向公司的客户招揽业务, where the associate was free to mail announcements short of direct solicitation. 委员会认识到，在每一种情况下，该规则都对前澳门赌场官网获得客户的能力构成限制, 但认为对现有客户的招揽引起了特别关注，至少有必要对这种招揽的方式进行监管. As the Committee has often determined, 然而 (看,e.g., 意见181和221), even in the case of direct solicitation of a firm’s clients, where problems of interference in ongoing relationships are most sensitive, a firm may impose only the most narrow of restrictions.

这里的协议违反了规则5.6. 对离职澳门赌场官网施加的经济处罚除了限制业务和使事务所免受潜在竞争之外，没有其他目的. The agreement plainly discourages a partner from competing against the former firm, or even representing clients at all, 如果合伙人在华盛顿地区从事法律工作，则强制合伙人放弃支付最多5年的费用.

One might argue that here the agreement provides for delay in payment rather than its elimination or diminution, so is not nearly so onerous as in other cases. Even putting aside the possibly significant sums at stake and the cost to the lawyer of the delay, the provision’s broad application undoubtedly serves as a deterrent to opening a competing practice. 因此，它代表了对执业权利的限制，以限制竞争，甚至是公司潜在的未来客户. 如果被终止合伙人停止私人澳门赌场官网执业，限制也自动终止，这一事实加强了这一结论.

委员会的结论是，如果合伙人在华盛顿地区从事法律业务，则合伙协议将其资本金融账户中本应支付的款项延迟五年支付，这是规则5所禁止的.6. 

调查没有. 92-7-20
通过:1993年9月21日

1. 例如, 协议规定，如果客户在澳门赌场官网离职前两年聘用该澳门赌场官网事务所，并在离职后一年内解决, the firm would receive 75% of the fee. 如果澳门赌场官网在离职前一年才聘请澳门赌场官网事务所，而案件在离职后的两到三年内没有得到解决, the firm would receive 55% of the fee.