---
kind: "section"
citation: "37 C.F.R. § 11.118"
title: "37"
number: "11.118"
heading: "Duties to prospective client."
url: "https://uscodex.org/cfr/37/11.118"
---

# §11.118. Duties to prospective client.

- (a) A person who consults with a practitioner about the possibility of forming a client-practitioner relationship with respect to a matter is a prospective client.
- (b) Even when no client-practitioner relationship ensues, a practitioner who has learned information from a prospective client shall not use or reveal that information, except as [§ 11.109](/cfr/37/11.109.md) would permit with respect to information of a former client.
- (c) A practitioner subject to [paragraph (b)](#b) of this section 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 practitioner received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in [paragraph (d)](#d) of this section. If a practitioner is disqualified from representation under this paragraph, no practitioner in a firm with which that practitioner is associated may knowingly undertake or continue representation in such a matter, except as provided in [paragraph (d)](#d) of this section.
- (d) When the practitioner has received disqualifying information as defined in [paragraph (c)](#c) of this section, representation is permissible if:
  - (1) Both the affected client and the prospective client have given informed consent, confirmed in writing; or
  - (2) The practitioner 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
    - (i) The disqualified practitioner is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
    - (ii) **Written notice is promptly given to the prospective client.**

## Notes

### Amendments

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28466, May 26, 2021]

### Source

Source: 78 FR 20201, Apr. 3, 2013, unless otherwise noted.

### Authority

Authority: 5 U.S.C. 500; 15 U.S.C. 1123; 35 U.S.C. 2(b)(2), 32, 41; Sec. 1, Pub. L. 113-227, 128 Stat. 2114.

### Source

Source: 69 FR 35452, June 24, 2004, unless otherwise noted.

### Amendments

[78 FR 20201, Apr. 3, 2013, as amended at 86 FR 28466, May 26, 2021]