Ethics Opinion 216

少数股权公司对公司股东的诉讼代理

Applicable Rule

• Rule 1.13(a) (Organization as Client.)

A and B were each 50% shareholders of C, 根据马里兰州法律组织的在哥伦比亚特区经营业务的封闭公司.

C与U有银行业务关系，U也分别向a和B提供个人贷款. A and B have defaulted on their loan payments to U. C has filed an action in the District of Columbia against U, alleging a wrongful termination of the banking relationship.

Following the filing of C's action against U, U obtained a judgment against A and, as the result of a Sheriff's execution sale, U became the owner of A's 50% interest in C. A, however, maintains that he is still President of C, since C's two shareholders, B和U陷入僵局，需要多数投票才能罢免他. 由于股东僵局，U已向马里兰州法院提起诉讼，要求解散C. This action is still pending.

B的遗孀继承了B对C的权益，她希望维持C对U的诉讼. U, of course, wishes to discontinue the action. 本次质询的问题是C的公司澳门赌场官网是否, retained when C was controlled by A and B, may continue to represent C in its action against U, now one of its 50% shareholders, and in U's action to dissolve C.

Discussion
The Inquiry is governed by Rule 1.哥伦比亚特区职业行为准则第13条. Under Rule 1.13(a), “一个组织雇用或聘请的澳门赌场官网代表该组织通过其正式授权的组成部分行事.这条规则体现了公司聘请澳门赌场官网的既定原则, 或被任何其他组织认可为独立的法律实体, represents the entity. 如前《澳门赌场官网》第5-18条所述, 公司或类似实体雇用或聘用的澳门赌场官网应效忠于该实体，而不是股东, director, officer, employee, representative, or other person connected with the entity." See Opinion 159 (1985); Opinion 186 (1987); Egan v. McNamara, 467 A.2d 733, 738 (D.C. Ct. of App. 1983).

代表公司的澳门赌场官网代表公司实体，而不是公司的个人股东或其他成员，这一原则即使在股东与公司实体发生冲突时也适用. Courts have generally held, therefore, 公司的澳门赌场官网不丧失代表公司对其成员提起诉讼的资格. See, e.g., Bobbitt v. Victorian House, Inc., 545F. Supp. 1124 (N.D. Ill. 1982); Dalrymple v. National Bank and Trust Co. of Traverse City, 615 F. Supp. 979 (W.D. Mich. 1985); U.S. Industries, Inc. v. Goldman, 421 F. Supp. 7 (S.D.N.Y. 1976); Wayland v. Shore Lobster & Shrimp Corp., 537 F. Supp. 1220 (S.D.N.Y. 1982). 有时，当少数人持股公司的股东合理地认为他们与公司的澳门赌场官网有私人澳门赌场官网-客户关系时，可能需要不同的结果. See, e.g., Rosman v. Shapiro, 653 F. Supp. 1441 (S.D.N.Y. 1987); In re Brownstein, 288 Or. 83, 602 P.2d 655 (1979); In re Banks, 283 Or. 459, 584 P.2d 284 (1978). This is not such a case, however, since under the circumstances U, the bank, 不能合理地相信它与C的澳门赌场官网有私人澳门赌场官网-客户关系.

由于C公司的澳门赌场官网没有被剥夺继续代表C公司与其50%股东之一进行诉讼的资格, 问题是澳门赌场官网如何在代理中履行他的道德义务. On the one hand, 公司澳门赌场官网对公司负有忠诚的义务, as distinct from its owners and managers, 他或她的行为必须符合公司作为一个实体的最大利益.

On the other hand, 澳门赌场官网通常必须遵循正式任命或选出的代表公司行事的人的指示. See, e.g., Financial General Bankshares, Inc. v. Metzger, 523 F. Supp. 744, 764 ( D. D.C. 1981), vacated for lack of jurisdiction, 680 F.2d 768 (D.C. Cir. 1982) (". . . both practically and theoretically, the corporate attorney should consider himself as representing the entity interests articulated by those in current control of the management"); ABA Informal Opinion 1056 (1968); Comment, Conflicts of Law in the Legal Profession, 94 Harv. L. Rev. 1244, 1336 (1981). Rule 1.第13条明确承认澳门赌场官网“通过其正式授权的组成部分”代表一个组织，如公司.评论[4]进一步指出，“当组织的组成部分为其做出决策时。, 这些决定通常必须被澳门赌场官网接受，即使其效用或审慎性值得怀疑."

The difficulty here is that the corporation's President, A, may continue to hold office only because of the shareholder deadlock; moreover, because of his own dispute with U, A可能有理由无视公司的利益，决定公司在其与U. These difficulties notwithstanding, 公司的澳门赌场官网可以继续接受A的指示，直到有关公司控制权的争议由法院或当事各方解决为止. If, however, 澳门赌场官网应该确信A的决定明显违反了A自己对公司的信义义务, 澳门赌场官网可能被迫向法院寻求关于谁控制公司的指导, 公司内没有更高的权威可以让澳门赌场官网求助. Throughout the representation, 澳门赌场官网必须继续认识到公司的利益必须是至高无上的，他必须注意在当前股东之间的纠纷中保持中立, B and U, and between A and U. See 美国澳门赌场官网协会意见86(1932)(“作为公司的法律顾问[澳门赌场官网]必须避免参与股东之间可能存在的关于公司控制权的任何争议或事实分歧”), quoted with approval in Financial General Bankshares, Inc. v. Metzger, 523 F. Supp. at 765.

Inquiry 90-1040 
January 15, 1991