Ethics Opinion 235

注册有限责任合伙/有限责任公司

Members of the District of Columbia Bar may practice in the District of Columbia as partners and associates of a law firm headquartered outside the District that is organized under the law of a state as a "registered limited liability partnership" or as a "limited liability company." In any such case the formal name under which the law firm's District of Columbia office practices must include the words "registered limited liability partnership" or "limited liability company," as the case may be, not merely the abbreviation "L.L.P." or "L.L.C.," as the case may be, as the last words of its name.

Applicable Rules

• Rule 1.4(b) (Communication)
• Rule 1.8(g) (Prospective Limitation of Liability)
• Rule 5.4(b) (Professional Independence of a Lawyer)
• Rule 7.1(a) (Communications Concerning a Lawyer's Services)
• Rule 7.5(b) (Firm Names and Letterheads)

Inquiry

In this Opinion we deal with two similar inquiries.

其中一个询问者是德克萨斯州的一家澳博app事务所(“德州事务所”)。, 根据《澳博app下载网》(以下简称“德州法案”)，该公司目前是一家普通合伙企业。. 该公司在哥伦比亚特区和其他地方设有办事处. 德州公司正在考虑根据最近修订的德州法案，在德州法律下注册为“注册有限责任合伙企业”. 根据修订后的《澳博app》，德州公司将继续是普通合伙企业. For our purposes the significant consequence of the Texas Firm's registration as a "registered limited liability partnership" is that the Texas Act as amended purports to limit in certain material respects the personal liability of a partner for legal malpractice committed by another partner or employee of the Texas Firm. Specifically, 修订后的德州法案第15条包括新的第(2)款, (3) and (4), which read in their entirety as follows:

(二)登记有限责任合伙企业的合伙人对合伙企业因过失引起的债务和义务不承担个人责任, omissions, negligence, incompetence, or malfeasance committed in the course of the partnership business by another partner or a representative of the partnership not working under the supervision or direction of the first partner at the time the errors, omissions, negligence, incompetence or malfeasance occurred, unless the first partner:

(a)直接参与其中的错误的具体活动, omissions, negligence, incompetence or malfeasance were committed by the other partner or representative; or

(b) had notice or knowledge of the errors, omissions, negligence, 另一合伙人或代表在发生时的不称职或渎职行为.

(三)第(二)款不影响合伙人对除第(二)款规定的原因以外的其他原因引起的合伙企业债务和义务承担连带责任。.
(四)第(二)款不影响合伙企业资产对合伙企业债务的责任.

In summary, the above-quoted provisions of the Texas Act purport to absolve a partner (the "First Partner") from personal liability for the legal malpractice of another partner or employee of the Texas Firm if the First Partner:

(一)不是实施渎职行为的人的主管;
(b) was not directly involved in the activity in which the malpractice was committed by the other person; and
(三)在渎职行为发生时并不知悉.

如上文引用的经修订的《澳博app》第15条第(4)款所述, the Texas Firm as an entity remains fully liable, and all of the assets of the Texas Firm (capital, billed and unbilled receivables from clients, malpractice insurance proceeds, etc.)，不受任何限制，以满足任何法律上的过失责任.

经修订的德克萨斯州法案要求，注册有限责任合伙企业的名称必须包含“注册有限责任合伙企业”或缩写“L”.L.P." as the last words or letters of its name. 德州法案还要求这种伙伴关系“必须进行”, if reasonably available, at least $100,000美元的责任保险，旨在涵盖“上文引用的第15条新第(2)段所述的责任类型”.

The Texas Firm inquires whether, 如果它成为德克萨斯州法案下的“注册有限责任合伙企业”, 它被允许以其目前的公司名称通过其哥伦比亚特区办事处执业, 后面加上“注册有限责任合伙企业”或缩写“L”.L.P." as the last words or letters of its name.

The other inquirer is a Colorado-based law firm ("the Colorado Firm") that proposes to reorganize itself as a "limited liability company" under the law of Delaware The Colorado Firm advises us that Delaware and several other states have recently enacted legislation permitting a law firm or other professional firm to practice as a "limited liability company." We are advised that under those newly enacted state laws a limited liability company is not a corporate entity but is in substance a partnership having personal liability limitation features that are substantially the same as the personal liability limitations in those states' existing professional corporation statutes. 通常，这些有限责任公司法规要求澳博app事务所的名称包括“有限责任公司”或缩写“L”.L.C." as the last words or letters of its name.

The Colorado Firm inquires whether, 如果它成为特拉华州法律规定的“有限责任公司”, 它被允许以其目前的公司名称通过其哥伦比亚特区办事处执业, 后面加上“有限责任公司”或缩写“L”.L.C." as the last words or letters of its name.

Our research discloses that there are certain differences throughout the country between and among the various "limited liability partnership" statutes and the various "limited liability company" statutes (enacted and proposed, 包括一项拟议的“有限责任合伙”法律，该法律在本意见通过之日由哥伦比亚特区议会审议。). Therefore, in the interests of clarity and simplicity, 我们将参照德克萨斯公司和德克萨斯法案来处理这些问题, 在理解本指南将具有普遍适用性的情况下, 并可为哥伦比亚特区以外根据州法律组织的其他类似位置的澳博app事务所所依赖, 从而在很大程度上避免了本委员会就这一问题发表进一步意见的需要.

Discussion

正如我们经常指出的那样，本委员会的管辖权只涉及法律道德问题. 因此，我们对本次调查必然涉及的一般法的重要问题不发表意见.g., 哥伦比亚特区或其他地方的法院是否会赋予《澳博app》所载的责任限制域外效力, 或者德克萨斯州法院本身对这种责任限制条款的效力和影响).

我们认为，出于法律道德的考虑，德州律所可以通过其哥伦比亚特区办事处以其目前的律所名称执业, 但公司名称后面须加上“注册有限责任合伙企业”字样," not merely the abbreviation "L.L.P.," as the last words of its name.

Basically, 修订后的《澳博app》所载的法律过失责任限制在实质上与常见的责任限制相同, 并已被法律界和公众所接受, 在全国许多专业公司章程中, including the District of Columbia. Indeed, 《澳博app》的责任限制略窄于《澳博app下载网》(see D.C. Code § 29-611) and in many other professional corporation statutes throughout the country in that mere knowledge of the malpractice of another is not a basis for personal liability under those statutes, whereas under the Texas Act it is.

As the movement toward incorporation of law firms, and the consequent diminution in partners' (or, more precisely, stockholders') personal liability, developed in the 1970's, 指导原则仍然是11月27日303号正式意见中最初确立的原则, 美国澳博app协会道德与职业责任常设委员会(1961年):在道德上允许以公司形式从事法律工作，前提是:

(一)向委托人提供法律服务的澳博app必须对委托人承担个人责任.
(2)对组织内其他澳博app的责任限制，必须向委托人明确说明.”

通常，上述两项法律道德要求都已在各州的专业公司法规中明确规定. In particular, 这些法规(包括《澳博app》)实际上毫无例外地不能免除澳博app对其渎职行为的个人责任, 并要求注册澳博app事务所的名称包括“专业公司”或“专业协会”或缩写“P”.C." or "P.A.或者一些类似的澳博app事务所企业地位的标志. Consistent therewith, 哥伦比亚特区职业责任法典DR 2-102(B), which was in effect through December 31, 1990, 但专业法团或专业协会的名称可包含缩写“P”.C." or "P.A."

在《澳博app下载网》中，没有字面上确切的继承者来取代之前的DR 2-102(B), but Rule 5.第4(b)款明确重申了现在已得到广泛确定和接受的原则，即“澳博app可在合伙或其他形式的组织中执业”. . . .《澳博app下载网》术语部分将澳博app事务所“合伙人”定义为合伙企业的成员或专业公司的股东.

Thus, it is now beyond doubt that D.C. Rules 1.4(b) and 7.1(a) are satisfied by use of the abbreviation "P.C." or "P.A." in the case of an incorporated law firm. Further, D.C. Rule 1.8(g) (which proscribes prospective limitation of malpractice liability) is not violated if the individual lawyer who committed the malpractice remains personally liable to the client in all events, 如果客户知道澳博app事务所其他没有涉及渎职行为的澳博app的个人责任限制. The Texas Act satisfies those conditions. 

In summary, we conclude that it is ethically permissible for the District of Columbia office of the Texas Firm to practice as partners and associates of a Texas "registered limited liability partnership" because the limitation of liability under the Texas Act in substance is not broader than the limitation of liability contained in section 11 of the District of Columbia Professional Corporation Act:

“个人仅对其所犯的任何疏忽或错误行为或不当行为负个人责任和责任, or by any individual under his supervision and control. . . .” (D.C. Code § 29-611 (1981 ed.))

德克萨斯澳博app事务所告知我们，根据《澳博app下载网》的允许，它打算仅使用“L”.L.P.的缩写，并询问是否使用首字母“L.L.P." is permissible in the District of Columbia, 或者，更具描述性的“注册有限责任合伙”是否符合道德要求.

我们的结论是，至少在目前，缩写“L”.L.P." is not sufficient, and that the Texas Firm's name must include the words "registered limited liability partnership" as part of its name so that clients will be more likely to be alerted to and comprehend the limited liability features of that form of organization. “注册有限责任合伙”的概念(以及“有限责任公司”的概念)对哥伦比亚特区的公民来说并不熟悉, 包括哥伦比亚特区许多经验丰富的澳博app. There may come a time in the not too distant future when, either by District of Columbia Council action, or otherwise, the implications of the abbreviation "L.L.P.，就像历史上更常见的缩写“P”一样容易理解.C." or "P.A.,但在那个时候到来之前，我们不打算批准在哥伦比亚特区使用这个缩写. (We note that the abbreviations "L.L.P." and "L.L.C.尤其不恰当，因为它们与缩写“L”非常相似.L.B.,在20世纪70年代之前的几十年里，公众和客户都认为这是对拥有法律学位的人的描述。.

We are not unmindful of District of Columbia Rule 7.5(b), 其中规定“在一个以上司法管辖区设有办事处的澳博app事务所可以在每个司法管辖区使用相同的名称?, . . . ." Nevertheless, 我们认为，本技术规则并不适用于哥伦比亚特区客户被误导或受到伤害的风险.

The foregoing holding applies to the identification of the Texas Firm on whatever written material emanates from its District of Columbia office and/or from its lawyers who are based in the District of Columbia office: for example, but not by way of limitation, stationery, envelopes, The Legal Register, Martindale-Hubbell, business cards, professional announcements, brochures, and media advertisements. 上述情况的唯一例外是白色和黄色电话簿中未付的行项目清单, 由于篇幅和格式的限制，我们认为使用首字母“L”.L.P." is tolerable.

Further, when faced with the inevitable inquiries from clients, 德州律所必须口头或书面提供一份德州法案责任限制特征的简明英文摘要. We believe that for this purpose it would suffice to describe the limited liability features of the Texas Act in substantially the form set forth above in this Opinion immediately following the quoted provisions of amended section 15 of the Texas Act.

As indicated above, the fundamental principle on which this Opinion rests is that the limitation of liability under the Texas Act in substance is not broader than the limitation of liability that currently appears in section 11 of the District of Columbia Professional Corporation Act. We believe that in some states it is not completely clear on the face of the particular state's limited liability partnership statute or the state's limited liability company statute whether the limitation of liability in those statutes in substance is not broader than the District of Columbia Professional Corporation Act limitation of liability. 本委员会的职能不是解释可能与各种澳博app事务所分析和试图遵守本意见有关的众多州法律. We suggest that, if a relevant state statute is not clear on its face, a law firm would be well advised to seek an opinion from local counsel on the issue whether the limitation of liability in the jurisdiction is in substance not broader than the District of Columbia limitation of liability, 如有必要，在适当的情况下，在组织文件(合伙证书)中予以澄清和确认, statement of organization, etc.)，正是在这种情况下，澳博app事务所的个别成员的个人责任是有限的.

Inquiry Nos. 92-9-32 and 92-11-47
Approved: February 16, 1993