HOW TO BUILD AND MANAGE SUCCESS

KIRK C. STANGE, ESQ.*

* Special thanks to Rachel Schafer & Daniel Mooney for helping prepare these materials.

I. Client Intake: Initial Contact Tips

Client intake is the first step in starting a divorce action. The first contact with a

potential client over the phone is your first opportunity to ascertain key information about

the case. Before the initial consultation, the following information should generally be

obtained: caller’s full name and address, the opposing party’s full name and address, the

name of the opposing party’s attorney if known, the status of the case if it is already in

progress, and the referral source.1 An easy way to ensure that important information is

recorded from every inquiry over the phone is by having a conflicts software program or

an established call form that any office staff member can use in order to properly record

all required information.2 If you use a call form, this can be an online template that a

member of your office staff fills out while on a phone call with a potential client.3 A

critical part of this initial screening process should include a conflicts check.4 With

conflicts software being easy to obtain law firms should really have conflicts software or

other safeguards to ensure that there are no conflicts.

After the initial phone contact with a potential client, an in-person interview

should be scheduled if the case is one in which the firm is interested in representing the

individual. For many individuals, this will be their first time in a law office seeking

representation and your office should take every step to ensure that their first impression

is of a welcoming environment.5 The initial interview is important for both the potential

client and you as an attorney in determining whether your practice is a good fit for their

needs and if they feel comfortable trusting you to take their case.6

Individuals who are seeking legal representation in a divorce action are often

coming to your office with emotions of embarrassment or anger towards their marital

                                                            1 CLIENT INTAKE, DIV MA-CLE 1-1 2Improving Client Intake, Business of Law Best Practice (visited Feb. 13, 2015)http://www.lexisnexis.com/law-firms/pdf/practice-management-improving-client-intake.pdf. 3Id. 4Id. 5Tida Wasch, The Initial Divorce Interview: What Do I Do?(Nov. 17, 2008) http://www.lexisnexis.com/legalnewsroom/lexis-hub/b/commentary/archive/2008/11/17/the-initial-divorce-interview-_2d002d00_-what-do-i-do_3f00_.aspx. 6Id.

situation and nerves about the entire divorce process.7 During this initial interview, an

attorney should act in a supportive counselor role and listen to the concerns that the

potential client has while taking note of facts that will be important for the case in the

future.8 At this first meeting, it is important to allow the client to direct the

conversation.9 The attorney should explain to the potential client the need for candor and

the confidentiality of this meeting.10 Potential clients may be hesitant at first to open up

about sensitive issues in their marriage or other personal issues surrounding their divorce,

but by allowing them to direct the conversation this allows them to start to build a trust

relationship with you and increases the likelihood that they will be truthful and open

about their case.11 Once you have received all of the necessary information from the

potential client, you can wrap-up the meeting by asking the individual if they are ready to

proceed or if they need more time to make a decision.12

If after the initial consultation the individual is ready to hire your firm, you should

discuss in detail with the client your firm’s fee structure, the filing fees and any required

initial deposit.13 The client should also be informed of the first steps in filing their divorce

proceeding and what information or forms you will need from them to proceed.14

There are several key things to remember before walking into an initial meeting

with a potential client. Go into the initial with the right mindset. Go in with the psyche

that you are going to impress this potential client and get them to hire your firm if you are

looking for new business in which to grow your firm. Don’t go into an initial thinking

that you can fully comprehend everything that is happening in a case in an initial

consultation. Don’t go into the initial with the mindset that you are there to dispense free

legal advice. You shouldn’t be giving advice until you’ve been hired. Generally avoid

going into price discussions at the very beginning of the initial, if at all possible. Instead,

                                                            7Id. 8Id. 9Id. 10Id. 11Id. 12Id. 13Id. 14Id.

go into prices at the end of the initial after you have gathered enough facts to intelligently

answer the question, especially if you are billing hourly because initial deposits do not

represent what the total fees would likely be. In response to client questions don’t give

stonewall/dodge the question answers like, “I just can’t give an estimate.” “I can’t tell

you if you we can get you that result.” “I can’t tell you how long this case will last for

sure.” Instead, make them understand why these questions are tough and by doing so,

you end up answering a lot of their questions without giving them the definitive answer

that may not be accurate. These types of answers satisfy clients and then make them

want to hire your firm. After all, you are educating them on the process when they have

very little idea.

Make sure you close in an initial if you are looking for new business. Don’t just

listen to them, ask questions and then not ask if they want to hire your firm. You need to

tell them about your firm. You need to be confident that you offer good services.

Closing means that you need to ask if they’d like to work with your firm. Always stress

that you can file their case right away if this is a concern to them. You just have to make

sure you follow through and file quickly if this is what you promised. Know that, in most

circumstances, potential clients do not come back later to hire you. Thus, you want to try

and get them to hire you during the first meeting if you can.

Make sure you do these things: Be likeable, be trustworthy and make sure the

client respects you by showing knowledge. Be tastefully humorous, but know the

boundaries. You don’t want to offend the client, but a little tasteful humor where

appropriate can help to lighten up the mood a little bit. Dress appropriately for the initial

consultation. This means doing little things like shining shoes, having clothes pressed, tie

on straight and consider accessories like cuff links or handkerchiefs. Additionally, make

sure to give the client an appropriate handshake when you meet them.

The following are relevant selections of the Missouri Rules of Professional

Conduct as it relates to client intake and initial interviews:

Missouri Rule 4 – 1.2: Scope of Review15

(a) A lawyer shall abide by a client’s decisions concerning the objectives of

representation, subject to Rule 4-1.2(c), (f) and (g), and shall consult with the

client as to the means by which they are to be pursued. A lawyer shall abide by a

client’s decision whether to accept an offer of settlement of a matter in a criminal

case, the lawyer shall abide by the client’s decision, after consultation with the

lawyer, as to a plea to be entered, whether to waive jury trial and whether the

client will testify.

Missouri Rule 4 – 1.18: Duties to Prospective Client16

(a) A person who discusses with a lawyer the possibility of forming a client-lawyer

relationship with respect to a matter is a prospective client.

(b) Even when no client-lawyer relationship ensues, a lawyer who has had

discussions with a prospective client shall not use or reveal information learned in

the consultation, except as Rule 4- 1.9 would permit with respect to information

of a former client.

(c) A lawyer subject to Rule 4 – 1.18(b) shall not represent a client with interests

materially adverse to those of a prospective client in the same or a substantially

related matter if the lawyer received information from the prospective client that

could be significantly harmful to that person in the matter, except as provided in

Rule 4 – 1.18(d).

(d) When the lawyer has received disqualifying information as defined in Rule 4 –

1.18(c), representation is permissible if:

(1) Both the affected client and the prospective client have given informed

consent, confirmed in writing, or:                                                             15 Mo. Sup. Ct. R. 4‐1.2 16 Mo. Sup. Ct. R. 4‐1.18 

(2) The lawyer who received the information took reasonable measures to avoid

exposure to more disqualifying information than was reasonably necessary to

determine whether to represent the perspective client and the disqualified

lawyer is timely screened from any participation in the matter.

Missouri Rule 4 – 1.7: Conflict of Interest: Current Clients17

(a) Except as provided in Rule 4 – 1.7(b), a lawyer shall not represent a client if the

representation involves a concurrent conflict of interest. A concurrent conflict of

interest exists if:

(1) The representation of one client will be directly adverse to another client; or

(2) There is a significant risk that the representation of one or more clients will be

materially limited by the lawyers responsibilities to another client, a former

client, or a third person or by a personal interest of the lawyer.

(b) Notwithstanding the existence of a concurrent conflict of interest under Rule 4 –

1.7(a), a lawyer may represent a client if:

(1) The lawyer reasonably believes that that the lawyer will be able to provide

competent and diligent representation to each affected client;

(2) The representation is not prohibited by law;

(3) The representation does not involve the assertion of a claim by one client

against another client represented by the lawyer in the same litigation or other

proceeding before a tribunal; and

(4) Each affected client gives informed consent, confirmed in writing.

A. Dealing With Substantive Questions During Initial Consultations

There are some common reasons some attorneys struggle with getting a client to

hire them after the initial meeting. You have to get the client talking at the beginning of

the initial. You need them to open up and tell their story. Like Oprah Winfrey, Jimmy

Fallon or whoever your favorite interviewer is, you have to get potential clients talking.

                                                            17 Mo. Sup. Ct. R. 4‐1.7 

You then need to show empathy and develop a bond. This has to go on for the first

portion of the initial consultation. Otherwise, there is no bond. If there is no bond, they

will not hire your firm.

Attorneys are sometimes inclined to give potential clients a family law CLE. This

is not your role in the initial. You need to let them talk about 80% of the time for the first

part of the initial. They need to tell their story. You need to listen and show empathy. If

you do most of the talking, you will struggle. You will say something that offends them.

You also don't show that you're a good listener.

Your initial cannot turn into the potential client peppering you with questions

where they are looking for concrete and definitive answers where they want you to

predict the future or give legal advice when you haven’t been hired. If this happens,

you're likely in trouble. You need to answer their question when it comes but most

questions in the beginning, you need to get more information and get the client talking

first. Then, when you have enough information to answer, that's when you mirror, show

empathy, give the legal standard and analyze from one hand and the other hand. These

are IRAC answers (Issue, Rule, Analysis, Conclusion), which will be discussed more

below.

Stonewalling is giving short and crass answers to questions, which comes off as a

politician dodging the question. Classic stonewalling is saying things like: "I can't

guaranty," "I don't know for sure," "I am not a counselor," "It's up to the judge," "It

depends." While a lot of this is true, you have to answer the questions without

stonewalling. You have to give IRAC answers. In the “C” part of the answer, you might

be able to say it depends. But "if it depends" is the first thing that falls out of your

mouth, it's a short and crass answer that sounds like you are dodging their question. If

you dodge questions, you will struggle.

During initial consultations, potential clients will often ask direct questions where

they seek definitive answers to their questions. For example, they often want to know

what is going to happen. They will want you to predict the future. They want certainty.

Of course, giving certainty to a potential client is virtually impossible during an initial

meeting. How can an attorney know what a judge or jury is going to do for sure after one

meeting? In some instances, the case might not even be filed yet. Discovery likely

hasn’t been done. There may have been no depositions taken. Without the benefit of all

of this, and figuratively having a crystal ball, how can an attorney give that certainty that

the potential client wants?

The reality is that an attorney really cannot predict future events with any level of

exact accuracy in the vast majority of situations during an initial meeting. From a

practical standpoint, it’s inappropriate for an attorney to give legal advice before (a) the

client has retained the law firm; and (b) until the attorney really feels comfortable that

they have gathered enough facts. At the same time, if the attorney simply says carte

blanche that they cannot answer the question, most of the potential clients will walk away

unsatisfied and will not hire the law firm.

So, how does an attorney deal with these direct questions in an initial when they

come? The answer is IRAC. IRAC stands for Issue, Rule, Analysis and

Conclusion. Most attorneys learned about IRAC in law school or when they were

studying for their bar examination. The reality is the same approach works during initial

consultations.

(a) State the Issue – Make sure you understand the question the individual is

asking by repeating it back to them, asking for verification and showing empathy.

(b) State the Rule – Without giving legal advice, make sure you explain the rule

(statute, case law or otherwise) in a general sense.

(c) Give Some Analysis – Explain the pros and cons of the client’s case, in a

general sense, based on the limited information you have.

(d) Give a Conclusion – Based on the limited facts you may have during the

initial meeting, you can give some general conclusions about what you see based on what

you know at that time. However, this has to be done with the disclaimer that things could

change as more facts become evident, discovery is conducted, you get some feedback

from the court along the way, etc.

Attorneys who give IRAC answers during initial consultations generally do very

well. IRAC answers show that the attorney is willing to engage with the potential client

without giving legal advice, dodging questions or naysaying. It also shows that the

attorney is listening empathetically, knows the law and has the ability to analyze the case

in a thoughtful manner.

When you address an issue related the client’s question, you want to “mirror”

back to them to make sure you understand the client’s question. Instead of saying, "What

I am hearing you say is you want 50/50 custody," shift to, "You want 50/50 custody?" A

lot of attorneys can sound almost robotic the way they say, "What I am hearing you say

is..." If you feel like a robot when you say this, shift to something simpler: "You want to

save the marriage?" "You want the house, is that right?" The point is that you are

mirroring back to them what they said. This forces you to listen. It also shows the client

you listened. But don't sound like a robot or parrot here. "What I am hearing you say

is..." is really just a training wheel way of mirroring. Some of you will need the training

wheels at the beginning. But, eventually, the training wheels can come off and you can

mirror in the shortened way.

Do not over-promise to potential clients to get business. While painting an overly

optimistic view might result in more clients on the front-end, this can result in client

complaints on the back-end. Keep in mind that professional lawyers don’t over promise.

Rather, they give realistic appraisals through IRAC answers and never promise anything

that cannot be delivered. Otherwise, they will end up with an unhappy client when the

case is over.

At the same time, do not think you are going to convert a client in an initial

consultation to your point of view on a particular topic. For example, if the potential

client wants 50/50 custody in a child custody case, that's what they want. An initial

meeting is not the time to try and convince them that what they want is all-wrong.

Additionally, if you have a client who wants the house, do not try and convince them in

the initial that they shouldn’t want it. You want to mirror and show empathy regarding

their goals. You also want to go back to giving IRAC answers. However, you don’t

want to let the initial consultation turn into a debate session with the potential client. If

you go here, the initial will turn into a debate between you and the potential client in most

instances versus a meeting where you get a new client. Further, ask yourself this: “In an

initial consultation, are you really in a position where you know enough to be telling a

client that what they want, they should not want?” This comes off to many clients as

self-righteous and judgmental.

On another note, pulling out your fee agreement before the client says they want

to hire your firm will scare a client. At the end, you have to talk about fees. But that fee

agreement should not be seen until that client says they are hiring you. If you start

showing them the agreement, and all the clauses, when the client has not committed to

hiring you, it comes off as pushy or presumptive. Once the client says they want to hire

you, then you should pull the fee agreement out and start going through it with the client.

On fees, keep it simple and clear when the discussion about the cost begins. If/when they

say they want to hire your firm, then fill out the fee agreement, explain it, leave the room

and let the client take as much time as they need to review and sign it. In most instances,

let your fee agreement speak for itself as much as possible. If the client has questions

about the fee agreement, you obviously want to go through their questions with them and

answer them.

B. Additional Tips for Initial Consultations

Below are some additional tips:

You must feel the pain of the potential client. You have to show that you

care and want to help. If you come off robotic and bored, you will not be

successful. You need to mirror their goals back to them and show empathy

during that initial meeting.

When an attorney is not experiencing success with potential clients, they

often assume that clients do not have the money, especially when this is

the cited reason by many potential clients. To succeed in the initial

consultation room, an attorney has to be optimistic about the client’s

ability to secure the funds to procure representation. Often, a client will

simply tell an attorney they don’t have the money because it’s the easiest

reason to give for why they are not hiring the firm.

Attorneys that come off as in-demand often do very well in the initial

consultation room with potential clients. Attorneys who appear over-

eager, and almost desperate, can struggle. It’s important to project

confidence in the initial consultation room.

Attorneys who do most of the talking and who give too much legal

explanation can struggle in the initial consultation room. Instead of giving

a family law CLE, or coming off like a professor, develop a bond and

listen to the potential client. It’s important to know that some legal

explanation is obviously necessary, but going into mundane details simply

to show the potential client how much you know can sometimes

overwhelm and detract from developing that bond and rapport.

When the initial begins, you need to let the client talk uninterrupted for a

long time if this is what they wish to do. Engage in active listening

techniques, like: "What I am hearing you say is X....right? Don't just take

over the initial by peppering them with questions during the first half or

giving them a CLE lecture on family law. You need to let the potential

client talk and explain their situation before you start weighing in and

asking a lot of questions. Generally, if you are talking more than the client

out of the gates, and without listening to their situation, you are making a

mistake.

Sometimes, it’s okay to answer a direct question with a clarifying

question, or by reframing, by saying “Why do you want 50/50 custody?”

or “Why is getting the house important to you?” Ultimately, you can then

give an appropriate IRAC answer after getting enough information and

understanding the potential client’s goals. Sometimes, the client just feels

good that you are listening and will not seek a specific answer.

Do not use the word "specialize" or "expert" in an initial or on the

phone. This is arguably against the Rules of Professional Conduct and

you may open yourself up to a bar complaint. We "focus" our practice on

X area of law. We have "limited" our practice to X area of law. We have

lots of "experience" in X area of law. These are good things to say, if true,

but you generally avoid saying "specialize" or "expert" with potential

clients.

C. Initial Consultation Etiquette

In the initial consultation room, sitting at the head of the table usually works well.

Here are some other tips:

Make sure you ask the client if they need a drink.

Make sure the blinds are open and the clients get a nice view.

Pull the chair out for the potential client.

If the potential client begins to cry, give them a tissue. Show that you are

feeling their pain.

If the client needs time to deliberate on whether to hire your firm, leave

the room and let them do so.

Let them use your phone if need be to talk to friends, family members or

other trusted advisors.

If the potential client wants to bring others in the initial consultation room,

generally, this should be discouraged as it can cause attorney-client

privilege and confidentiality to be waived. Minimally, the potential client

needs to be warned of the risk.

Listen, lean forward and show you are engaged.

Body language shows a lot about engagement without saying a word.

Be personable and address the situation as if this is someone you know

and care about.

Ask simple questions and take notes as they explain their story.

Be empathetic and use phrases such as, “I’m here to help you in this tough

time.”

The client needs to know they can trust you. The first step in trust is

showing genuine concern.

Answer all of their questions to the best of your ability. Some potential

clients may never have had to hire a lawyer before. They need to start

from square one.

Show your experience and use phrases such as, “We’ve seen cases like

this before. I know we can help you.” or “We have a lot of experience

with these types of cases.”

Give them a brief “game plan” and tell them your next steps and what you

need from them. Don’t use legal jargon and make sure to clearly explain

the next steps. Don’t go into too much detail at first, but be confident in

what needs to be done.

Don’t use “retain” or “retention” or “execute.” These words are confusing

and sometimes sound expensive or very long-term. Instead of “Would

you like to retain today?” use “Are you interested in starting to work with

us today?”

Don’t rush the appointment if they do not want to establish a partnership

today. Instead, ask if you can follow-up tomorrow.

D. From the Perspective of the Potential Client

These are questions to keep in mind during the initial phone call or meeting. This

is what the potential client is thinking, so if you can answer these questions, they will feel

more comfortable in selecting you as an attorney.

Do their values align with mine?

Do they understand my case and clearly outline what the next steps should

be?

Will they tell me the truth or just what I want to hear?

Will I be able to get in contact with my attorney within a reasonable

amount of time if I have a question?

Am I comfortable talking about a personal situation with them?

Do they have experience handing similar cases?

Ultimately, it’s your clients’ job to decide whether the service you provide is

worth the fee you’ve quoted. It’s your job, however, to assist clients in understanding

what resources they have available so they can make an informed decision when they’re

determining whether to move forward with your assistance.

Samples

CLIENT INTAKE SHEET PLEASE NOTE: All new clients shall receive one free sixty-minute consultation. If the initial consultation lasts more than an hour, the client will be billed at $175 per hour. New Client: Prior Client: File Number: Date Form Completed: Client Information Name: S.S.#:______________ DOB:______ Address: ____________________________________________________________________________ City, State, Zip: _______________________________________________________________________ Home Telephone: Work Telephone: Cell:_____________________ What’s the best number to contact you? _____________ Can we contact you by mail at the above stated Address Yes No If No, where may we contact you by mail:____________________________________________________ Email:____________________________________ Can we send you bills at the above-mentioned e-mail Yes No If not, where should bills be forwarded to you:_________________________________ Employer Name: _____________________________________________________________________ Employer Address: ____________________________________________________________________ Emergency Contact(s): (Name) (Relationship) (Telephone) ____________________________________________________________________________________ ____________________________________________________________________________________ Marital Status: Single Married __________Divorced ________ Date Date

Separated _________ Date Case Name/ Number: County of Marriage (or where children live): _______ Originating Attorney: __________________________________________________________________ Type of Case:____________________________ (i.e., Divorce, Modification, Contempt) Prior litigation, if any: _________________________________________________________________ ____________________________________________________________________________________ Other Party To Action (i.e. Spouse, Ex-Spouse, Ex-Significant Other) Name: S.S.#: DOB:______________Address: _________________________________________________________ City, State, Zip:__________________________________________________________ Home Telephone: Work Telephone: Employer Name: _____________________________________________________________________ Employer Address: ____________________________________________________________________ ____________________________________________________________________________________

Children Full Name/Date of Birth/SSN (for each one):________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Referred By: Individual ___________ Attorney ___________________ Other __________ Questions for the Attorney: ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ FOR OFFICE USE ONLY Initial And Date The Following Items When Completed:

Conflict Check: Fee Agreement: Engagement Letter: Docket Entered: Statute Of Limitations/Time Deadline:

INITIAL CHECKLIST

1.  OPENING   

2.  INFORMATION GATHERING PHASE (WHY IS THE CLIENT HERE?): 

 

 

 

 

 

 

 

 

       3.  ASK QUESTIONS  (DISCOVER CLIENT GOALS):  

 

 

 

 

   

 

 

 

4.  GIVE A GAME‐PLAN 5.  HOW MUCH DO YOU KNOW ABOUT OUR FIRM?  6.  HOW MUCH DO YOU KNOW ABOUT OUR FEE STRUCTURE?   7.  ASK IF THEY WANT TO WORK WITH US TODAY? 

   

 

II. Conflict Checks

A. AVOIDING CONFLICTS OF INTEREST

Conflicts of interest can pose a serious problem if not properly handled from the

start of a lawyer-client relationship. A conflicts search is a necessary part of any practice.

All attorneys need to have conflict of interest software, or other appropriate measures,

that screens whether the firm has a conflict of interest. If your firm does not have conflict

software, or other appropriate safety measures in place, they are playing with fire.

There are several kinds of inexpensive conflict of interest software available that

any lawyer can purchase and implement. The process of checking for conflicts starts

during the first contact with a prospective client. This usually occurs on the phone when a

prospective client contacts your firm for the first time. Your firm should have a process in

place for gathering the necessary information to conduct a proper conflicts check. As part

of the initial phone interview, you should only obtain as much information as appears

reasonably necessary for the purpose of obtaining disqualifying information.18

It is important for paralegals, legal staff and all attorneys to be familiar with the

systems used to collect and store information gathered over the phone by prospective

clients. This generally includes gathering the person’s full name, address, opposing

party’s name and address as well as the name of the other party’s attorney if they have

retained counsel. After obtaining this basic information you should run a conflicts check

through your software before engaging in further consultation with the potential client. It

                                                            18Missouri Supreme Court Rule 4-1.18. cmt. 4.

is vital to avoid representing clients that have a conflict of interest. However, in some

circumstances the conflict can be waived by the individuals with a conflict waiver.

RULE 4-1.7: Conflict of Interest: Current Clients19 (a) Except as provided in Rule 4-1.7(b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if:

(1) the representation of one client will be directly adverse to another client; or

(2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyer's responsibilities to another client, a former client, or a third person or by a personal interest of the lawyer. (b) Notwithstanding the existence of a concurrent conflict of interest under Rule 4-1.7(a), a lawyer may represent a client if:

(1) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client;

(2) the representation is not prohibited by law; (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (4) each affected client gives informed consent, confirmed in writing. Loyalty to a current client prohibits undertaking representation directly adverse to that client without that client's informed consent. Thus, absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly unrelated. The client as to whom the representation is directly adverse is likely to feel betrayed, and the resulting damage to the client-lawyer relationship is likely to impair the lawyer's ability to represent the client effectively.

In addition, the client on whose behalf the adverse representation is undertaken

reasonably may fear that the lawyer will pursue that client's case less effectively out of

deference to the other client; i.e., that the representation may be materially limited by the

lawyer's interest in retaining the current client.

                                                            19 Missouri Supreme Court Rule 4-1.7. 

Similarly, a directly adverse conflict may arise when a lawyer is required to cross-

examine a client who appears as a witness in a lawsuit involving another client, as when

the testimony will be damaging to the client who is represented in the lawsuit.

On the other hand, simultaneous representation in unrelated matters of clients whose

interests are only economically adverse, such as representation of competing economic

enterprises in unrelated litigation, does not ordinarily constitute a conflict of interest and,

thus, may not require consent of the respective clients.20

The analysis for current conflicts of interest is to determine who the clients are that

have a conflict, determine if the conflict is able to be waived by consent, and analyze

discuss with the attorney whether you can provide competent and diligent representation

as required by the Rules of Professional Conduct.21 If there is a concern on whether or

not competent and diligent work can be done in representing the client, the attorney

should stop and not proceed with representation. If you and the attorney are able to

provide competent and diligent representation, you can proceed by consulting with the

client to discuss their options, including waiving the conflict by consent if they chose to

do so. The attorney should obtain informed consent in writing. If there is more than one

client with a conflict, you must obtain written consent from both of them, especially if

one party’s case could be materially limited by the attorney’s representation of another

conflicted client. Informed consent denotes the client’s agreement for the course of

conduct after a full and adequate explanation by the attorney. Informed consent requires

that each affected client be aware of the relevant circumstances and of the material and

                                                            20Missouri Supreme Court Rule 4-1.7. cmt. 6. 21Missouri Supreme Court Rules 4-1.1, 4-1.3

reasonably foreseeable ways that the conflict could have adverse effects on the interests

of that client.22 The information required depends on the nature of the conflict and the

nature of the risks involved. When representation of multiple clients in a single matter is

undertaken, the information must include the implications of the common representation,

including possible effects on loyalty, confidentiality, and the attorney-client privilege and

the advantages and risks involved.23

In addition to current clients, the paralegal and lawyer still has a duty to former

clients as far as conflicts of interest are concerned. Former clients can give informed

consent in writing to release the lawyer of the conflict surrounding the former client’s

case.24 The rules proscribe this situation as occurring when the lawyer or their paralegals

learned relevant information through representation of the former client as well as the

position of the new client being materially adverse to those of the former client.25

RULE 4-1.9: Duties to Former Clients26 (a) A lawyer who has formerly represented a client in a matter shall not

thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.

(b) A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client:

(1) whose interests are materially adverse to that person; and

                                                            22Missouri Supreme Court Rule 4-1.0(e) 23Missouri Supreme Court Rule 4-1.7. cmt. 18.

24 Missouri Supreme Court Rule 4.1-9(b) 25Id. 26 Missouri Supreme Court Rule 4.1-9. 

(2) about whom the lawyer had acquired information protected by Rules 4-1.6 and 4-1.9(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing.

(c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:

(1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client or when the information has become generally known; or (2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.

Matters are "substantially related" for purposes of Rule 4-1.9 if they involve the

same transaction or legal dispute or if there otherwise is a substantial risk that

confidential factual information as would normally have been obtained in the prior

representation would materially advance the client's position in the subsequent matter.27

For example, a lawyer who has represented a businessperson and learned extensive

private financial information about that person may not then represent that person's

spouse in seeking a dissolution of marriage or divorce. This extends to the firm under,

including the paralegals, who obtained information during the course of the lawyer’s

representation of the client.28

Information that has been disclosed to the public or to other parties adverse to the

former client ordinarily will not be disqualifying. Additionally, information acquired in a

prior representation may have been rendered obsolete by the passage of time, a

circumstance that may be relevant in determining whether two representations are

substantially related.

                                                            27Id. 28Id.

A former client is not required to reveal the confidential information learned by

the lawyer or the lawyer’s legal staff in order to establish a substantial risk that the lawyer

has confidential information to use in the subsequent matter. A conclusion about the

possession of such information may be based on the nature of the services the paralegal

and lawyer provided the former client and information that would in ordinary practice be

learned by a lawyer providing such services.29

The Rules of Professional Conduct in Missouri are equally applicable to

paralegals. Therefore, when a paralegal leaves one firm and goes to a different firm in the

same field of practice, they should take measures to ensure that any client information

learned through the previous employment is still protected. Some considerations for this

scenario are:

First, the client previously represented by the former firm must be reasonably

assured that the principle of loyalty to the client is not compromised. Second, the rule

should not be so broadly cast as to preclude other persons from having reasonable choice

of legal counsel. Third, the rule should not unreasonably hamper paralegals from seeking

new employment and taking on new clients after having left a previous position.

It should be recognized that today paralegals work in firms and often move

around between employers. While not all, some paralegals choose to limit their work to

one area of the law in order to gain a focus. If the concept of imputation were applied

with unqualified rigor, the result would be radical curtailment of the opportunity of

paralegals to move from one office setting to another and of the opportunity of clients to

                                                            29Id. cmt. 3. 

change firms or lawyers they hire.30 Rule 4-1.9(b) operates to disqualify the paralegal

only when the paralegal involved has actual knowledge of information protected by Rules

4-1.6 and 4-1.9(c). Thus, if a paralegal while with one firm acquired no knowledge or

information relating to a particular client of the firm, and that paralegal later joined

another firm, neither the paralegal individually nor the second firm is disqualified from

representing another client in the same or a related matter even though the interests of the

two clients conflict. See Rule 4-1.10(b) for the restrictions on a firm once a paralegal has

terminated association with the firm.31 The same rule for informed consent of current

clients is the same as would apply for this issue.32

As an example in, State ex rel. Diane Thompson v. Dueker, where a client met

with an attorney at a law firm approximately four-years earlier for a paid, thirty-minute,

initial divorce consultation, but did not retain the law firm, that law firm was not

prohibited from later representing the opposing party four-years later on a motion to

modify.33

B. MAINTAINING CLIENT CONFIDENTIALITY

Confidentiality is an important ethical duty that all lawyers and paralegals must

abide by and take seriously. The Missouri Rules of Professional Conduct require that, “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

                                                            30Id. cmt. 4. 31Id. cmt.5. 32Missouri Supreme Court Rule 4-1.7. 33State ex rel. Diane Thompson v. Dueker, 346 S.W.3d 390 (Mo. App. 2011). 

the representation, or the disclosure is permitted by Rule 4-1.6(b).”34As previously

mentioned, this cloak of confidentiality applies to paralegals as well as other staff

members working within the firm. Notice that there are some exceptions where a lawyer

or paralegal is allowed to disclose information that they reasonably believe necessary

under Rule 4-1.6(b). However, these exceptions are that the lawyer or paralegal “may”

disclose, not that they have to.35 Therefore, these disclosures are not necessary even if

you think that it is reasonably necessary to disclose to prevent death or other bodily harm.

Additionally, remember that you also have an ethical duty to maintain the confidence of

things you learn about prospective clients. As an example, all information you learn

during an initial consultation must be kept confidential even if no attorney-client

relationship is ever formed between the attorney you work for and the prospective

client.36 Paralegals also have ongoing duties of confidentiality after the attorney-client

relationship has ended.

RULE 4-1.6: CONFIDENTIALITY OF INFORMATION37 (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 Rule 4-1.6(b). (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:

(1) to prevent death or substantial bodily harm that is reasonably certain to occur;

(2) to secure legal advice about the lawyer's compliance with these Rules;

(3) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal

                                                            34Missouri Supreme Court Rule 4-1.6. 35Id. 36Missouri Supreme Court Rule 4-1.18. 37 Missouri Supreme Court Rule 4-1.6. 

charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client; or

(4) to comply with other law or a court order. RULE 4-1.18: DUTIES TO PROSPECTIVE CLIENT38 (a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client. (b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a prospective client shall not use or reveal information learned in the consultation, except as Rule 4-1.9 would permit with respect to information of a former client. (c) A lawyer subject to Rule 4-1.18(b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in Rule 4-1.18(d). If a lawyer is disqualified from representation under Rule 4-1.18(c), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in Rule 4-1.18(d). (d) When the lawyer has received disqualifying information as defined in Rule 4-1.18(c), representation is permissible if:

(1) both the affected client and the prospective client have given informed consent, confirmed in writing, or:

(2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client and the disqualified lawyer is timely screened from any participation in the matter.

                                                            38 Missouri Supreme Court Rule 4-1.18.

RULE 4-1.9: DUTIES TO FORMER CLIENTS39 (c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:

(1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client or when the information has become generally known; or (2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.

III. Client Intake: Initial Interview and Interview Strategies

Much of this was covered in the “Client Intake: Initial Contact” section at the

beginning of the presentation. However, one of the most important components of a law

firm is client intake. This is especially true for law firms that need repetitive and volume

based business.

During initial meetings, the potential clients come in and tell their tale. They are

looking for an attorney who will listen, show empathy and give them a general game-

plan. Most of these clients also have specific goals for what they’d like to accomplish. In

a family law case, for example, a client may want a specific result, like fifty-fifty

custody, the house, child support or maintenance, etc.

Instead of listening and showing empathy, many attorneys become the naysayer.

They begin telling the potential client that what they want, they shouldn’t want (or that it

will never happen). So, take the client who wants fifty-fifty custody. Then begin trying to

talk to the client out of this goal. Start explaining why they should want something

different, that it will never happen, etc.

                                                            39 Missouri Supreme Court Rule 4-1.9. 

Obviously, an attorney will ultimately have to give a client a reasonable

assessment of what the possibilities might be for a case. This involves going through

best-case, worst-case and middle-level scenarios after all the facts have been obtained

and the variables assessed.

The reality, however, is that the attorneys who want to naysay (during an initial

meeting) almost always singularly focus on the worst-case scenarios. They don’t spend

much time talking about the best-case and middle-case scenarios. They don’t outline

potential strategies and the pros and cons. They don’t give IRAC based answers (Issue,

Rule, Analysis, and Conclusion). Instead, they just try to talk the potential client out of

wanting what they want – when they’ve just met the potential client and there is no

rapport.

In initial consultations, lots of variables aren’t even known. The attorney might

not know what judge this case would be before. The attorney might not know who

opposing counsel might be. The attorney can’t know the entire story or factual scenario in

an initial meeting even if it’s a lengthy initial consultation.

Maybe in some cases, the potential client’s goals are so outlandish that an

attorney might need to become a naysayer. But in most cases, this is just not the case. At

the end of the day, attorneys who simply naysay and look pessimistic in initial

consultations don’t have many clients. On the other hand, attorneys who listen, show

empathy, show relative confidence in their abilities and who give a reasonable

assessment (after making sure they know all the variables) have lots of business.

Missouri Rules of Professional Conduct

Missouri Rule 4 - 1.2: Scope of Representation40

(a) A lawyer shall abide by a client’s decisions concerning the objectives of

representation, subject to Rule 4 – 1.2(c), (f) and (g), and shall consult with the

client as to the means by which they are to be pursued. A lawyer shall abide by a

client’s decision whether to accept an offer of settlement of a matter. In a criminal

case, the lawyer shall abide by the client’s decision, after consultation with the

lawyer, as to a plea to be entered, whether to waive jury trial and whether the

client will testify.

(b) A lawyer’s representation of a client, including representation by appointment,

does not constitute an endorsement of the client’s political, economic, social or

moral views or activities.

(c) A lawyer may limit the scope of representation if the client gives informed

consent in a writing signed by the client to the essential terms of the

representation and the lawyer’s limited role. Use of a written notice and consent

form substantially similar to that contained in the comment to this Rule 4 – 1.2

creates the presumptions:

(1) The representation is limited to the lawyer and the services described in the

form, and

(2) The lawyer does not represent the client generally or in any matters other than

those identified in the form.

(d) The requirement of a writing signed by the client does not apply to:

                                                            40 Mo. Sup. Ct. R. 4‐1.2.  

(1) An initial consultation with any lawyer, or

(2) Pro bono services provided through a nonprofit organization, a court-annexed

program, a bar association, or an accredited law school.

(3) Services provided by a not-for-profit organization funded in whole or in part

by the Legal Services Corporation established by 42 USC Sec. 2996b.

(e) An otherwise unrepresented party to whom limited representation is being

provided or has been provided is considered to be unrepresented for the purposes

of communication under Rule 4 – 4.2 and Rule 4 – 4.3 except to the extent the

lawyer acting within the scope of limited representation provides other counsel

with a written notice of a time period within which other counsel shall

communicate only with the lawyer of the party who is otherwise self-represented.

(f) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the

lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal

consequences of any proposed course of conduct with a client and may counsel or

assist a client to make a good faith effort to determine the validity, scope,

meaning or application of the law.

(g) When a lawyer knows that a client expects assistance not permitted by the Rules

of Professional Conduct or other law, the lawyer shall consult with the client

regarding the relevant limitations on the lawyer’s conduct.

Missouri Rule 4 – 1.4: Communication

(a) A lawyer shall:

(1) Keep the client reasonably informed about the status of the matter;

(2) Promptly comply with reasonable requests for information; and

(3) Consult with the client about any relevant limitation on the lawyer’s conduct

when the lawyer knows the client expects assistance not permitted by the

Rules of professional conduct or other law.

(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the

client to make informed decisions regarding the representation.

A lawyer shall explain a matter to the extent reasonably necessary to permit the

client to make informed decisions regarding the representation.

 

A. Welcoming Environment

Your law office should be a welcoming environment. Your office is often a

client’s first time in a law office. The client is assessing the firm from the moment they

step in the office for whether your firm is right for them. A welcoming environment to

clients and potential clients can instill trust in the firm.

When lawyers start a law firm, the decision about what type of furniture and

decoration is a big one. Lawyers inherently have a tendency to chase the shiny objects.

Thus, most lawyers want to the most impressive furniture possible right out the gates. It

is easy to go overboard.

It is not good for business to have clients and potential clients coming into an

office and be turned off by what they see. It definitely is not helpful if the furniture is

worn down, out-of-date and sends the message of a law firm that is not first-rate.

At the same time, inexpensive furniture can be purchased for a law firm at a

reasonable cost if the law firm is smart about it. There are lots of stores where nice

furniture can be purchased inexpensively. Furniture can also be purchased online or

through second-hand stores.

Unless funds are limited, the reality is that most law firm needs to ensure that they

save enough money for other important matters, including marketing, salaries and other

overhead. For most law firms, it isn’t wise to over-extend and purchase office furniture

on credit.

At the end of the day, no matter the temptation, stay within your budget with the

office furniture. You can always upgrade later when there are more funds available.

Remember to make sure the office is comfortable, and not off-putting to clients and

potential clients.

B. Strategies Review

Let’s review initial interview strategies. First, be supportive by acting in the

counselor role. This is done by listening to their concerns while you take notes.

Second, allow the client to direct the conversation. Build trust by allowing the

potential client to open up as they become more comfortable. Realize that it may take

several meetings to build enough trust for the client to open up and tell you everything.

Third, gather the facts important for the case. While you are interviewing the new

client, explain attorney-client confidentiality and the need for candor. This will hopefully

ensure the client of your professional requirements and build trust.

Finally, wrap-up the meeting at the conclusion. Ask the potential client if they are

ready to proceed.

IV. Sealing the Deal and Starting

It is important to close in the initial meeting if you are seeking new business. You

need to tell the potential client about the firm. A client wants to know who they are

hiring. When closing the deal, be confident that you offer good services. Always stress

that you can file their case right away if this is a concern. Closing means that you ask if

they’d like to work with your firm. Know that most potential clients do not come back

later to hire you.

A. Missouri Rules of Professional Conduct

Missouri Rule 4-7.1: Communication Concerning a Lawyer’s Services41

A lawyer shall not make a false or misleading communication about the lawyer or the

lawyer’s services. A communication is false if it contains a material misrepresentation of

fact or law.

Missouri Rule 4-7.4 Communication of Fields of Practice and Specialization42

                                                            41 Mo. Sup. Ct. R. 4‐7.1 

A lawyer may communicate the fact that the lawyer does or does not practice in

particular fields of law. Any such communication shall conform to the requirements of

Rule 4-7.1. Except as provided by Rule 4-7.4(a) and (b), a lawyer shall not state or imply

that the lawyer is a specialist unless the communication contains a disclaimer that neither

the Supreme Court of Missouri nor the Missouri Bar reviews or approves certifying

organizations or specialist designations.

(a) A lawyer admitted to engage in patent practice before the United States Patent and

Trademark Office may use the designation “patent attorney” or a substantially similar

designation;

(b) A lawyer engaged in admiralty practice may use the designation “admiralty,”

“proctor in admiralty” or a substantially similar designation.

Ultimately, under both rules, this is the reason why lawyers should not advertise

themselves as experts or specialists in a field. This is arguably violative of the Rules of

Professional Conduct and is best to avoid. We "focus" our practice on X area of law. We

have "limited" our practice to X area of law. We have lots of "experience" in X area of

law. These are good things to say, if true, but it’s generally best to avoid using the words

"specialize" or "expert" from your vocabulary in initial consultations or in your

marketing materials.

B. Fee Discussion

If you are running a law firm, potential clients are going to ask what it will cost to

obtain the services of your law firm. Before those calls come, you want to have a

                                                                                                                                                                                 42 Mo. Sup. Ct. R. 4‐7.4 

standard rate schedule put together that you use for all clients. This is especially true if

you are in a service area of the law where repeat business is important.

Do an analysis of the budget of your law firm. What are your expenses? What is

your overhead? How much business do you need to do in order to meet your expenses

and overhead, plus have the standard of living you want for yourself and your employee?

In other words, if you bill hourly, and collect an initial deposit, have a standard

rate schedule for those initial deposits that you use in every single case. Likewise, if you

are in an area of law where flat-fees are possible and ethical, put together a standard rate

schedule for those flat-fees. Of course, the standard rate schedule might vary based on the

attorneys in your firm, but still have a standard rate schedule put together for each

attorney nonetheless and have them stick with it.

Don’t make the mistake of having a garage sale mentality where you wheel and

deal with every potential client about the prices. Don’t take less than what you have

budgeted for your standard rates simply because times may be slow and you feel as if you

need the case.

At the end of the day, if you want to be financially successful, you need a

standard rate schedule. You need to stick with that standard rate schedule in easily 99%

of the cases. If the client doesn’t have the funds to cover your standard rates, you are

better to decline the representation versus taking an amount that is less than what you

have budgeted for the kind of case at issue.

If you create standard rates and stick with it, before long, you will have a solid list

of clients willing and able to pay the fees you need in order to make your law firm work.

On the other hand, if you make your law firm a garage sale or flea market, you will end

up spending lots of time on cases in which you are not being fairly compensated for the

work you are doing. This will ultimately put your firm in a poor financial position.

Further, this only results in a downward spiral to the bottom where you have lots

of work, but yet you are running your law firm in the red. Then, when that good case

comes into your office, you wont have the time to spend on that client because you are

burning lots of time on a case in which you knocked down your fees too low simply to

get the case. Also, once the word gets out that you negotiate on your fees, you can expect

that most potential clients are going to take a lot of your time trying to get you to lower

your price because you did it for some other person they know.

At the end of the day, if the client really wants you and your law firm to represent

them, most will obtain the funds necessary to secure your representation at your standard

rate schedule. If they do not, you’re better not to have the case.

Missouri Rule 1.5 deals with fees and agreements with clients.43

Rule 1.5: Fees

(a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee

or an unreasonable amount for expenses. The factors to be considered in

determining the reasonableness of a fee include the following:

(1) The time and labor required, the novelty and difficulty of the question

involved, and the skill requisite to perform the legal service properly;

(2) The likelihood, if apparent to the client, that the acceptance of the particular

employment will preclude other employment by the lawyer;

(3) The fee customarily charged in the locality for similar legal services;

                                                            43 Mo. Sup. Ct. R. 4‐1.5.  

(4) The amount involved and the results obtained;

(5) The time limitations imposed by the client or by the circumstances;

(6) The nature and length of the professional relationship with the client;

(7) The experience, reputation, and ability of the lawyer or lawyers performing

the service; and

(8) Whether the fee is fixed or contingent

(b) The scope of the representation and the basis or rate of the fee and expenses for

which the client will be responsible shall be communicated to the client,

preferably in writing, before or within a reasonable time after commencing the

representation, except when the lawyer will charge a regularly represented client

on the same basis or rate. Any charges in the basis or rate of the fee or expenses

shall also be communicated to the client.

(c) A fee may be contingent on the outcome for the matter for which the service is

rendered, except in a matter in which a contingent fee is prohibited by Rule 4-

1.5(d) or other law. A contingent fee agreement shall be in a writing signed by the

client and shall state the method by which the fee is to be determined, including

the percentage or percentages that shall accrue to the lawyer in the event of

settlement, trial or appeal; and whether such expenses are to be deducted before or

after the contingent fee is calculated. The agreement must clearly notify the client

of any expenses for which the client will be liable whether or not the client is the

prevailing party. Upon conclusion of a contingent fee matter, the lawyer shall

provide the client with a written statement stating the outcome of the matter and,

if there is a recovery, showing the remittance to the client and the method of its

determination.

(d) A lawyer shall not enter into an arrangement for, charge, or collect:

(1) Any fee in a domestic relations matter, the payment or amount of which is

contingent upon the securing of a divorce or upon the amount of alimony or

support, or property settlement in lieu thereof; or

(2) A contingent fee for representing a defendant in a criminal case.

(e) A division of a fee between lawyers who are not in the same firm may be made

only if:

(1) The division is in proposition to the services performed by each lawyer or

each lawyer assumes joint responsibility for the representation;

(2) The client agrees to the association and the arrangement is confirmed in

writing; and

(3) The total fee is reasonable.

C. Explain to the client the first steps in the action

It is important to explain the legal process to your client. Keeping them in the dark

will not create much trust between the attorney and client. Tell them what they need to do

to get ready and what documents or other evidence they can provide.

While giving them the game plan, don’t use legal jargon and make sure to clearly

explain the steps. Don’t go into much detail at first, but be confident in what needs to be

done.

V. Tips for Making the Phone Ring & Increasing Referrals

A. When Business is Down, Advertise More

If you are running a law firm, at times, it can feel a lot like a roller coaster ride. At

times, business can be going well – and you can literally fell like you are flying high. At

other times, business can be down. It can seem like you were doing everything the same,

but all of a sudden the roller coaster can feel like it has come to a screeching halt.

When business is down and money is low, many law firms can have a tendency to

advertise less. They think it’s wise to tighten the belt in these times. The thought is that

money needs to be conserved to pay for salaries and expenses. On a lot of levels, that

makes sense on a cursory level. And, certainly, law firms should rack up debt to advertise

or miss important financial obligations to advertise.

It is also important when business is down to analyze what is taking place within

your law firm. Are things being run differently? Are employees following the policies

and procedures in place you have for client intake and retentions? Are you and your

employees networking effectively? Oftentimes, taking a critical assessment of what is

taking place can go a long way toward finding the source of the problem. In some

instances, it might even be a personnel problem that needs to be addressed.

But to the extent possible, if business is down, advertise more. Yes, you want to

do this responsibly. Yes, you cannot spend what you don’t have. Yes, you don’t want to

rack up lots of debt. Yes, you also want to spend smartly by having a cohesive and smart

advertising plan.

But if business is down, spending less on advertising usually compounds the

problem. If you do this, you will continue the nose dive down the roller coaster ride. If

you spend less on advertising, for example, the calls will likely decrease. If the calls

decrease, your new cases will decrease. If your new cases decrease, you’ll be tempted to

downsize your office space, let employees go and ultimately, some law firms end up

closing shop.

At the end of the day, if business is down, you have to beat yourself out of the

funk. You have to stimulate your law firm’s economic growth. You do so by spending

more advertising dollars in a shrewd and well though-out manner. So, when business is

down, consider looking for ways to advertise more.

B. Importance of getting Potential Clients in Quickly

When a potential client contacts your law firm to come in for an appointment,

responding quickly is vitally important. Most potential clients are contacting multiple law

firms when they are in need of legal services. The reality is that the law firm that is most

responsive is often the law firm that gets the client.

So, what are you doing in your law firm to streamline your intake process? Is an

individual or individuals taking these calls as they come and setting the potential client up

quickly for an appointment?

If your law firm is doing this, you’re in good shape. If your law firm is not doing

this, and potential clients are hitting voice mail and are awaiting long period of time for a

call back, it can be problematic for the success of your law firm.

Most potential clients don’t like hitting voice mail. If they hit voice mail, they are

looking for a call back quickly. Most potential clients also don’t like waiting for a return

call. While lawyers can often find this difficult when they are in court or attending to

other matters, responding to potential clients quickly is critically important for most law

firms.

If you can get potential clients in the same day, this is optimum and will likely set

your law firm apart. But sometimes that isn’t possible – even as it relates to the potential

clients schedule. The reality is that when a potential client calls, you want to be able to

call them back the same day. You then want to get them in within 48 – hours at the latest.

If you are any less efficient than this, look for ways to increase efficiency at your

law firm. The firms that succeed have great procedures in place to deal with potential

client calls. The firms that are struggling generally do not.

C. Advertisements with Photo, Logo and Slogan

Lots of law firms advertise in magazines or newspapers of various kinds. A

common law firm magazine or newspaper article will consist of a photo of the firm, with

the firm’s logo and a slogan or catch phrase of some kind. Of course, after this, the

advertisement usually has the address and phone number of the law firm. The areas of

practice are also a common staple.

These catch-phrases can vary by practice area. But, often times, the

advertisements contain the words aggressive, talent, skilled, knowledge, experience or

various other adjectives. These advertisements are often so generic in many respects,

most newspapers or magazines can easily and quickly put together sample ad for a law

firm quickly just by using a template.

While marketing and advertising is a good thing if you want to grow your

practice, these types of advertisements generally do not stand out. They are predictable. It

doesn’t draw many into giving the advertisement a long look. It may help in terms of

overall branding if the advertisements are run frequently. But in terms of really drawing

people into the advertisement itself, the likelihood is that this isn’t happening because

there is nothing particularly special or different about the advertisement.

Instead of advertisements with a photo, logo, and slogan, what other ways can you

separate your law firm with your advertising? If you are going to be running newspaper

or magazine advertisements, strive to be different. Look for ways in which you can

separate yourself from your competition.

One way of many potential ways to do this is to offer information to individuals.

Information can drive readers into the advertisement. It can cause somebody to find

something that is useful to them. So, article based advertisements is one potential way to

be different. Some advertisements do so much with imagery, for example, that the

advertisement is unique and stands out.

But there are other possibilities as well if you and your law firm are creative. How

can you make your magazine or newspaper articles special?

D. The Mistake of Advertising Based on Being Affordable

With lots of law firms and attorneys trying to jumpstart their business, one of the

most popular approaches many take to get new business is to advertise based on

providing affordable or cost-effective representation. Many new or small law firms think

this is a quick pathway for success. Why not undercut all the other law firms based on

price?

Certainly, law firms have to charge a reasonable fee for their services based on

the market. However, from a marketing perspective, advertising based on providing

affordable or cost-effective representation is a mistake for many different reasons.

When quality prospective clients are looking for legal help in an important area of

their life, most clients want representation that is diligent, competent, communicative and

which puts them in the best possible position for a favorable result. While quality clients

certainly want the bill to be fair and reasonable based on their case, advertising based on

being “affordable” or “cost-effective” doesn’t give the potential client a great deal of

confidence in the level of legal services being offered.

Even if a law firm tries to use adjectives such as “quality,” “exceptional” or

“excellent” next to the words “affordable” or “cost-effective,” the strategy is still not a

pathway for success. What sticks out is that the lawyer doesn’t think highly enough of the

services such that they’ve had to lower their price compared to other law firms. This

sends the wrong message.

Instead of advertising based on being affordable or cost-effective, how can you

show potential clients that you have the skill and knowledge to put them in a good

position for a favorable result? How about showing how can you help make the client’s

life better? From a customer service standpoint, what does your law firm have to offer?

What awards have your law firm or lawyers received? What continuing education

seminars have your lawyers taught at? What have your lawyers published? What kinds

of internet reviews and client testimonials does your law firm have?

These are the places you want to go with your advertising versus advertising

based on being affordable or cost-effective. Even if you get clients with this type of

advertising, you are setting your firm up for complaints on the back-end because your

law firm’s definition of what is “affordable” and “cost-effective” might be different form

that of the potential clients who are attracted to this advertising approach.

At the end of the day, all law firms need quality clients that can afford to pay for

the legal services provided. Law firms that advertise based on being affordable or cost-

effective normally do not do well in this regard. On the other hand, law firms that

advertise based on the skill and experience they have often had an abundance of paying

clients.

E. Should you Highlight a Free Consultation?

Many law firms do free consultations. For many law firms, the thought is that if

you offer free consultation, the law firm stands to get more business because it helps get

clients in the door. In other words, many make the “free consultation” the central piece of

their marketing plan

One can debate the wisdom of free initial consultations in the first place. Some

would argue that free consultations simply results in lots of potential clients looking for

free legal advice. Some would argue that quality potential clients will be happy to pay a

consultation fee, just like they would ordinarily pay a fee for seeing a doctor or dentist in

most circumstances. On the other hand, some argue that like lowering taxes, if you offer

free consultations, you are essentially stimulating the economy of your law firm by

making an initial meeting risk-free for a potential client.

No matter the competing arguments, many law firms ultimately choose to do free

initial consultations. Some law firms do free initial consultations across the board. Other

law firms may limit it to one-free initial consultation for sixty or thirty-minutes for

example.

Regardless, if you are doing free consultations, it’s probably still wise not to

overly highlight the phrase “free initial consultation” on your webpage and

advertisements. In other words, when potential clients call, you can tell them that you do

a consultation as a courtesy to them. You can also explain that the consultation is risk-

free because there is no cost to the client. You might also explain that you do

complimentary consultations on your webpage and advertisements in a more subtle way

that doesn’t make it the primary theme.

However, the “free consultation” shouldn’t be your selling point in terms of

getting your phone to ring in the first place. In other words, from a marketing perspective,

the phrase “free consultation” probably shouldn’t be plastered in bold font on your

webpage or advertisements in the most visible place. It shouldn’t be the first thing a

potential client sees on your webpage or advertisements. Put another way, the “free

consultation” shouldn’t be your major selling point or marketing plan.

If you make it such, the reality is that you may well end up attracting the lower

quality potential clients who are not serious about proceeding with a case or who are

seeking free legal advice. Overly emphasizing “free consultations” might also cause a

potential client to think that the attorney or law firm is not in demand.

However, if you want to offer free consultation as a courtesy to clients, and to

help stimulate new business, that may be a strategy that works for some law firms. But

for most, just don’t make the phrase “free consultation” the central piece of your law firm

webpage or advertisements. If you do so, it is likely counter-productive.

F. What Are You Doing With Your Law Firm Facebook Page?

Facebook is totally engrained in society at this point. It’s where people keep in

touch. It’s where people socialize, get news, comment and engage in conversation. Like it

or not, Facebook is part of the fabric of society at this point.

Many law firms have Facebook pages. For many law firms, an employee may

have set up a page for the firm. In some instances, a marketing company may have set it

up for the law firm. Many law firm Facebook pages have some photos, the address and

maybe a splattering of random information.

The information on the Facebook page is often very infrequent. It often contains

information from third-party news source relative to the area of the law in which the law

firm practices. In some instances, there could be photos of employees or a lot of duplicate

content from the webpage. But the posting is almost always infrequent and simply

encourages individuals to contact them for an appointment when the people who like the

page are simply friends, family members and employees.

Is this an effective way to use a law firm Facebook page? Is there more a law firm

can do with a Facebook page? Or is maintenance of the law firm Facebook page pretty

useless and of minimal importance? These are the questions many ask.

The reality is, as said above, that Facebook is engrained in the fabric of society at

this point. A law firm Facebook page can be put too much better use. Versus doing the

things referenced above, how about the following?

What about trying to get the general public in the area in which you live to like

your Facebook page? What about putting your blog articles on the Facebook page written

by your firm on it multiple times a week (versus articles from third-party news sources)?

What about making important announcements on your Facebook page like law firms

might have formerly done with a press release? What about making your Facebook page

like law firms might have formerly done with a press release? What about making your

Facebook an online community gathering center where clients and potential clients can

get information about your area of law comment and engage in conversation?

If you are about to do this, your Facebook page can be a major part of the

marketing of your law firm. The Facebook pace can actually generate business. It can

also replace the old newsletter or bulletin you used to send in the mail or by e-mail.

The reality is law firms who succeed online get Facebook marketing. The law

firms who are trying to succeed online, but are not, do not get the importance.

G. Social Networking is the New Search Engine

Many law firms spend a significant amount of time and money trying to enhance

their search engine placement. When people search for an attorney in their field, they

want to be at the top of the search results. Many law firms understand that ranking at the

top of a search engine for key terms can result in significant leads.

Many firms also spend a lot of money on pay-per click advertising. This is

particularly true for law firms who are looking for an instant shot in the arm. For many,

the benefits are not as significant as they think when compared to the cost. However, pay-

per-click advertisement is still something many law firms try, especially when they are

having problems achieving a high-ranking organically.

The reality is with so many firms now having webpages, it is difficult in most

areas of the law to rank on page one. Unless somebody has a webpage with a significant

amount of assets, it is hard for most law firms. It is also difficult for many law firms to

spend the money on pay-per-click advertising to be on page one in the paid search given

the cost.

Additionally, many of the search engines have made many algorithm changes in

terms of how webpages rank. These algorithm changes can come quickly and without a

lot of notice. One day, a law firm is ranking on page one. Another day, the search engines

don’t like the optimization strategy of a law firm and the firm is kicked back multiple

pages.

What’s the solution? The solution for many is to look to social networking. Social

networking works. There are many social networking sites out there. There are many

different options law firms can look at to market their firm. In many respects, consumers

now spend as much or more time in social networking webpages versus doing searches

on the major search engines. Social networking is also free in many respects.

If you are looking to market your firm, what is your social networking strategy?

Do you have one? Social networking is becoming the new search engine. This trend is

only going to continue.

H. Tips for Increasing Referrals

Advertising to generate new leads is important to any law firm. For law firms that

are budget-limited, referrals can still be an important source in bringing in new business.

Referrals can ultimately help a law firm rise from the ground-up to where it can reach a

point where paying to advertise is viable.

Even when a law firm is doing well enough to advertise, continued new business

from referrals is still helpful. Referral business can also result in easier client

relationships. For example, if a client has been referred to you and your law firm from a

former client, friend or family member, there can be a greater level of trust out of the

gates.

Below are some tips you might utilize to help increase referrals:

1. Develop relationships with attorneys who practice in other areas of law than you

do. These relationships can be invaluable in terms of passing business back and

forth. So, if you are a criminal attorney, develop relationships with a personal

injury attorney for example and refer business back and forth.

2. Carry you business cards with you everywhere. When you are out and about at

business functions, social events and even in court, you never know when

somebody is going to ask you for your business card.

3. Do great work for the clients you presently have. If you do great work for these

clients, they will inevitably tell their friends, family members and contacts about

you.

4. Survey your clients during and after their case concludes. If any of your present

clients are unhappy about any facet of their representation, this will give you the

opportunity to remedy it, if possible, to help increase more referrals.

5. Participate in as many activities as possible on a professional or personal level.

The more individuals you are coming in contact with in your daily life, this will

inevitably result in more referrals.

6. Become excellent at maintaining your social media accounts and keep in contact

with past acquaintances. If you are friends and networking contacts with people

from school, prior jobs and prior organizations, this will invariably result in more

referrals.

I. Do Referral Groups Work?

Lots of attorneys opt to join a referral group. There are lots of them out there.

Some are through established organizations. Some are through more informal

associations.

The idea is that the participants will pass referrals to each other. In some groups,

the number of individuals allowed by profession is limited. In other groups, multiple or

unlimited members of the same profession can join.

At the end of the day, passing referrals to others who refer back to you is a

positive thing. However, joining a referral group with a fee for attending, and an

attendance policy, often leads to a lot of wasted time, money and effort.

Many in these referral groups will pass cold leads. In other words, the lead is

lukewarm on hiring an attorney in the first place. Often, the leads are real, but are not

going to generate a lot of money.

In other words, is attending a referral group for months or years, and spending

significant money, worth obtaining a few traffic tickets or simple wills? Is it worth

attending a referral group only to get a personal injury case that isn’t very good in the

first place? Maybe you don’t even practice in these areas? So, don’t referral groups

almost encourage you to become a general practitioner if you want to make a buck?

If some circumstances, maybe a rare attorney here or there gets that home run

lead from a referral. Most of the time that just isn’t the case. Most of the time, the time,

energy, and money spent would be put to better use through other avenues.

If you talk to lots of attorneys who regularly attend a referral group, the reality is

most are struggling. That’s why they joined the referral group from the start. Most the

attorneys who are drowning in money and business, on the other hand, are so busy

working up their cases that they don’t have time to regularly attend a referral group.

Versus spending the time and money in a referral group, it might be better to

develop a coherent marketing strategy that regularly brings in the type of business you

want. And instead of attending a referral group, a circle of attorneys and other

professionals who do not practice in the same area might be useful as well.

But instead of showing up every Wednesday at 7 am, or noon, to meet other

struggling business owners, it’s probably better to skip the meeting and spend that

valuable time and money elsewhere.

While getting out and meeting people at social networking events, or informal

lunch meetings, is often a good way to spend your time, structured referral groups

generally are not.

J. More Tips

For more tips on how to build and manage success, you can visit:

https://lawfirmpracticemanagementadvice.com