Part II of Materials

An attorney was part of a partnership before he dies. He left his nephew as his sole heir. The partnership agreement, as written, provides that the firm should pay the certain amounts to the nephew. Those amounts are $210,000, for the attorney's share of the firm's assets; a $500,000 death benefit, provided for all shareholders in the partnership; and $17,500 for fees that the attorney earned on recent cases, but had not yet received. Under the Model Rules, which of the following represents the most that the firm may properly pay to the decedent's nephew?

$727,500, for the attorney's share of the firm's assets, his uncollected fees, and the death benefit.

For purposes of attorney work product protection, which of the following is NOT likely to create an objectively and subjectively reasonable "anticipation" of litigation:

A client who has a history of being extraordinarily litigious.

An attorney accepted a position on the state Commission on Judicial Conduct, a division of the judicial branch that investigates complaints of misconduct by judges and brings disciplinary actions when a violation of the Code of Judicial Conduct has occurred. The attorney was surprised by the wide range of rules that regulate the conduct of judges, as well as the variety of complaints that the Commission had to investigate each year. Which of the following activities violated the Code of Judicial Conduct?

A judge's clerk did Internet research about alternative methods for toxic mold remediation in homes in a case in which one of the parties alleged, among other things, that the opposing party failed to mitigate damage from toxic mold. The clerk wrote a memorandum for the judge about her research, and the judge did not disclose to the parties or their counsel that the clerk had done this research.

An attorney practices corporate securities law in a Wall Street firm. The attorney is also one of three owners of a financial forecasting consulting firm, Trends Tomorrow, which employs several well-known economists and financial analysts... complaints emerge that Trends Tomorrow has been leaking confidential client information to the press... The attorney faces disciplinary charges for these violations, but the attorney claims that the complaining clients need to show that the disclosures provided were inadequate to apprise them of the fact that the Rules of Profession Conduct for lawyers would not apply to Trends Tomorrow. Who has the burden of proof on this issue?

Attorney has the burden of proof to show that the lawyer haas taken reasonable measures under the circumstances to communicate the desired understanding.

The DOJ brought an antitrust suit against Conglomerate Corporation. Giant Company separately sued Conglomerate, mostly alleging the same facts that the DOJ had alleged in its case, and Giant sought parallel relief... Giant Company and the DOJ formally agreed that the DOJ would use documents only in litigation against Conglomerate Corporation. Later, however, in the government's case, Conglomerate Corporation sought discovery of Giant Company's work product, that is, the documents that Giant's attorney had shared with the DOJ. How should the court rule on this discovery request?

Both Giant Company and the DOJ may properly assert Giant's work-product protection for the documents, under the common-interest doctrine.

An attorney owns his own firm in a small town, and hires an associate as a junior lawyer to help with the growing caseload. The employment agreement stipulates that the associate cannot practice law in that small town after leaving the attorney's firm. Which of the following is true regarding this arrangement?

Both the attorney and the associate are subject to discipline for such an agreement.

An attorney is a fifth-year associate at a large firm, hoping to make partner in the next two or three years. She supervises the first-year associates at the firm. She learns that the most recently hired associate recently shredded some evidence that would have undermined a client's case, and then told the judge and opposing party that the missing documents had been in a briefcase that went missing when a burglar broke into the associate's car. The attorney knows this is not true and discusses it with the senior litigation partner, who finds the story amusing. Neither reports the associate's deception to the judge or opposing party. Which of the following statements is true regarding this situation?

Both the attorney and the litigation partner are subject to discipline for not taking action to correct the associate's false statements and misconduct.

Prosecutors from the Department of Justice began an antitrust investigation into Conglomerate Corporation, and the DOJ began questioning some of Conglomerate's business customers. Conglomerate's attorney prepared a memorandum analyzing the antitrust implications... Some Conglomerate employees received subpoenas to testify before a grand jury that was investigating the same antitrust issues in their industry... [the attorney] interviewed the employees herself and prepared a debriefing memorandum. Would the attorney's two memoranda described above come under the protection of the work product doctrine?

Both the lawyer's memorandum analyzing the contract form and the lawyer's debriefing memorandum were prepared in anticipation of litigation, because a grand jury proceeding is itself litigation.

An attorney has expertise in launching new businesses. His undergraduate major was entrepreneurship, and he has numerous connections amongst investment bankers, and venture capitalists in the area. Entrepreneurs seek him out to incorporate their new businesses and help them find loans and equity investors for startup. The attorney drafts articles of incorporation and bylaws. He handles name registration with the Secretary of State, arranges meetings with local commercial bankers and investors, and helps write business plans and market analysis in anticipation of these meetings. Which of the following is true regarding the attorney's activities?

Both the legal services (incorporating) and the law-related services (writing business plans and arranging investor meetings) would be subject to the requirements of the Rules of Professional Conduct.

Two clients, an entrepreneur and a venture capitalist, jointly consulted an attorney about establishing a business. The two clients had not yet agreed on the confidentiality of their separate communications with the attorney. The entrepreneur later sent the attorney a confidential memorandum... The venture capitalist knew that the entrepreneur had sent the memorandum but did not know its contents. Eventually, the joint representation ended. Two years later, the venture capitalist filed suit against the entrepreneur... Each hired a new lawyer. The venture capitalist then requested a copy of the memorandum... the entrepreneur responded that this was a privileged communication... How should the court rule on this discovery issue?

In this litigation, the memorandum from the entrepreneur to his previous attorney is not privileged and is therefore discoverable.

An experienced attorney has an office in State X, and she is duly licensed to practice in that state. The attorney's office is in a city on the border of State Y, and the attorney does not have a license to practice there... the attorney rents a small office space, hires non-lawyer clerical staff, and otherwise prepares premises for the general practice of law at a branch-office location in State Y. Is it permissible for the attorney to open the branch office in State Y?

It is impermissible because she does not have a license to practice in State Y and she has established an office or other systematic and continuous presence in this jurisdiction for the practice of law.

An experienced attorney has an office in State X, and she is duly licensed to practice in that state. The attorney's office is in a city on the border of State Y, and the attorney does not have a license to practice there. The attorney represents a regulated utility, which operates a power plant in State X near the border with State Y... Occasionally, the utility also has issues relating to compliance with the environmental and permitting laws of State Y because of those same activities. Is it permissible for the for the attorney to travel to State Y to deal with governmental officials regarding regulatory issues arising out of the utility's activities?

It is permissible because the legal issues arise out of or relate closely to the attorney's practice in a jurisdiction in which the lawyer is admitted to practice.

An experienced attorney has an office in State X, and she is duly licensed to practice in that state. The attorney's office is in a city on the border of State Y, and the attorney does not have a license to practice there. The attorney represents a regulated utility, which operates a power plant in State X near the border with State Y... the utility asks the attorney to handle its new rate applications in several other states, but in none of these states does the attorney have a license to practice law... Is it permissible for the attorney to conduct those activities in the other states on behalf of the utility?

It is permissible because the legal issues arise out of or relate to the attorney's practice in a jurisdiction in which the lawyer has a license to practice.

An attorney could not find a full-time job after law school, so instead he works on a contract basis for other firms. The attorney also signs up with a legal temp-work agency, a company owned by nonlawyers that places lawyers in temporary assignments at law firms that need an extra associate on a short-term basis... Through this temp-work agency, the attorney receives a three-month assignment at Big Firm conducting document review as part of litigation discovery. The firm pays the attorney $75 per hour, and it pays the temp-work agency a placement fee of 7% on whatever the attorney earns. Big Firm, in turn, passes the attorney's $100/hour fees and the 7% placement fee through to its clients as an item on the client's bill. Is this arrangement proper?

It is proper for Big Firm to pay the placement fee to the agency, to pass the fees through to the clients, and to pay the attorney's hourly rate out of the fees it receives from clients.

During the sentencing phase of a criminal trial, the judge grew concerned that the prosecutor expressed uncertainty about the number of the defendant's prior convictions. The judge instructed her clerk to search the court's electronic docket and archives to determine the defendant's criminal case history and to expand the search to other jurisdictions if their records were accessible from the clerk's computer.... The judge intended to follow appropriate procedures for taking judicial notice of any of these facts that might bear on the defendant's sentence. Was the clerk's search proper, according to the Code of Judicial Conduct?

It was appropriate for the clerk to review the court dockets and archives for the defendant's other proceedings but not to review the court records that were under seal.

An attorney represented a criminal defendant charged with murder. During their consultations, the client informed the attorney that he had committed another murder, but that someone else - an innocent bystander - was standing trial for that crime... Which of the following is true, regarding the attorney's ethical obligations in this situation?

It would be permissible for the attorney to urge his own client to come forward and confess to this other murder to save the innocent person accused of it, even though such advice would be contrary to his own client's legal interests.

An attorney wrote a confidential email to a client offering legal advice on a tax matter. The client had sought the attorney's legal opinion on the question... When the IRS later brought an enforcement action against the client, the government lawyers sought discovery of this email, hoping to find useful evidence about the defendant's financial activities and whether the defendant had knowingly violated the tax code. Can the government lawyers obtain the email through discovery?

Neither the attorney nor the client would have to disclose or testify about any of its contents.

An attorney works exclusively as aa contract lawyer for other firms that need extra help for big cases, whether in pre-trial document review or in background research and writing of briefs. She has no direct contact with the clients of these firms, and she does not participate in important decisions about any of the matters for which she performs legal tasks. Can the attorney avoid being subject to discipline if a firm uses her contract work in a way that constitutes misconduct, either regarding clients or before a tribunal, assuming she either knows or could have known about the misconduct?

No, a contract lawyer has a duty to comply with the requirements of the Rules of Professional Conduct, notwithstanding that the lawyer acted at the direction of another person.

An attorney had struggled all through law school with the sheer amount of reading and memorization, and then she had struggled to establish a successful law practice because everything took so much time and acumen. She advertised heavily as a personal injury plaintiff's lawyer... Her advertising was so prevalent that when police stopped her vehicle for speeding violations, the officer would immediately recognize her as the lawyer from the advertisements, and sometimes this helped her avoid receiving a ticket. One personal injury client presented an unusually complicated problem... During subsequent settlement negotiations with a corporate defendant, Giant Company, the attorney did not disclose that her client had already died... Was it permissible for the attorney to delay disclosure of the client's death during the initial stages of settlement negotiations?

No, a lawyer engaged in settlement negotiations of a pending personal injury lawsuit in which the client was the plaintiff cannot conceal the client's death; she must promptly notify opposing counsel and the court of the material fact.

An attorney knows that his opposing counsel has a reputation for refusing to settle cases and forcing lawsuits to go to trial, to impose the full costs of litigation on the opposing party... the attorney finds a close friend of the opposing party, and he asks the close friend to communicate an informal settlement offer to the opposing party directly, bypassing the other lawyer... Opposing counsel is furious and reports the attorney for misconduct. The attorney claims that he did not communicate with opposing counsels' client. Instead, the friend did, so the prohibitions on contact with other parties would not apply. Is the attorney correct?

No, a lawyer may not make a communication prohibited by the Rules through the act of another, such as the friend in this case.

A prosecutor was conducting a plea negotiation with a defendant and his lawyer. During the plea negotiation, the prosecutor told the defendant and his counsel that there was an eyewitness to the alleged crime, who could identify the defendant as the perpetrator. This was not the case - the prosecutor was just bluffing, and the defense counsel suspected it was not true and decided to wait on deciding anything until he could depose or interview the witness himself. Was it permissible for the prosecutor to bluff like this during a plea negotiation, if no harm resulted?

No, a lawyer shall not knowingly make a false statement of material fact or law to a third person.

An attorney was representing Conglomerate Corporation, a large employer, in labor negotiations with the employee's union. The union had demanded, among other things, better coverage for birth control and abortions under the employee health insurance plan. The attorney told the union's lawyers that adding this benefit would cost the company an additional $142.37 per employee per quarter, but the attorney knew that it would in fact cost only $30 per employee... Under the Model Rules, was it permissible for the attorney to make this false statement to a third party?

No, a lawyer shall not knowingly make a false statement of material fact to a third person.

An attorney developed expertise regarding the area of legal ethics and legal malpractice. Another firm hired the attorney to testify as an expert in an adjudication about the reasonableness of the firm's fees... the attorney had to answer questions that forced him to disclose some unfavorable information about the client of the firm that had hired him as an expert... If he had been representing the client directly, the disclosures would have clearly violated his duty of confidentiality. The answers were a setback to the interests of the party that had hired him, and the lawyers and their client were upset. Could the attorneys be subject to discipline for his actions while testifying as an expert witness?

No, a lawyer testifying as as expert is not providing law-related services and does not have a client-lawyer relationship with the party that has hired him.

An attorney had supervisory responsibilities for a new lawyer at her firm, but she had her own cases and clients to handle... The associate needed more oversight and direction than she received, and she committed several serious ethical violations. The supervising attorney had no way of knowing about these because the associate was always careful to cover up her mistakes or blame others when something went wrong. Could the supervising attorney avoid responsibility for the associate's ethical violations even if she did not direct, ratify, or have knowledge of the associate's misdeeds?

No, an attorney having direct supervisory authority over another lawyer must make reasonable efforts to ensure that the other lawyer conforms to the ethical rules, even apart from the supervising attorney directing, ratifying, or even knowing about a specific violation.

An attorney sees a friend at a high school reunion. The friend asks the attorney for advice about a potential civil lawsuit... The friend lives too far away from the attorney for the attorney to handle the case... The attorney later talks to his own wife about the friend's lawsuit. Wife discusses the suit with her own friend. The friend discovers that several people know about his potential suit and is upset, as he believed that the attorney should not have spoken about his potential case to others. Is the attorney subject to discipline?

No, an attorney owes no duties or protections, including protections against disclosing information about potential lawsuits, to persons who communicate with attorneys without any expectation of forming a a client-attorney relationship.

A client repeatedly calls an attorney to discuss her pending divorce case. The client wants above-guideline child support, alimony, and a large percentage of the estate, even though the parties have only been married two years. The attorney has continuously given his honest opinion... The client has recently become angry with the attorney because she is unhappy with his opinion... The attorney begins to tell the client what he believes she is eligible to receive when she asks, but simply states "the court will decide" when the client asks the attorney what he believes she will receive. Are the attorney's actions proper?

No, an attorney should give his honest opinion about the case when asked, even if the opinion is unsatisfactory to the client.

An attorney in a state that has adopted the Model Rules in their current form enters into a fee-sharing agreement with a lawyer admitted in Washington, D.C., which permits fee sharing with non-lawyers and multidisciplinary practices. They collaborate on a case and divide the fees as agreed. The attorney from the Model Rules state is aware that the other attorney will share his part of the fees with non-lawyers in the D.C. office; in fact, the D.C. lawyer's firm has accountants who hold an ownership share in that firm. Is the non-D.C. attorney subject to discipline for indirectly sharing legal fees with non-lawyers, given that he practices in a state that forbids fee sharing with non-lawyers?

No, as long as the first attorney shares fees only with another attorney, it does not matter if the other attorney shares fees with non-lawyers as permitted by his home jurisdiction.

Attorney Stevenson, from Tiny Firm, brings in a lawyer from Giant Firm to work on a complex litigation matter, and they agree to share fees... the fee division between Attorney Stevenson and the other lawyer is proportionate to the services performed by each lawyer, and the client agreed in writing beforehand to the arrangement, including the share each lawyer would receive. The total fee is reasonable... Attorney Stevenson deposits the total sum in his firm bank account (its operating account, not a client trust account), and after confirming that the funds are available from the bank, he sends a check to the other lawyer with his share of the fees. Are Attorney Stevenson's actions proper, as described here?

No, because Attorney Stevenson should have deposited the other lawyer's share of the fees in a trust account, separate from his own funds.

An attorney worked for a corporation as its in-house counsel. Hostility breaks out between the Chief Executive Officer (CEO) and the Chief Financial Officer (CFO), with each threatening to sue the other over allegations of slander, libel, trespass to chattel, and so on. Does this personal clash between top managers present the attorney with a conflict of interest?

No, because a lawyer employed by an organization represents the organization acting through its duly authorized constituents, so the lawyer represents neither of these officers individually.

A client hires an attorney to help with the legal documents necessary to liquidate most of his investments so that he can use the cash to fund a new business venture. The client explains that he plans to quit his regular job to start a new career working from home as a "day trader," buying and selling stocks online every day in hopes of making large profits. The client has no experience or training in finance or investments, but he attended a seminar that featured testimonials from others who claimed to have made millions as day traders. The attorney thinks this is a foolish idea, but the client does not ask the attorney for his advice. Does the attorney have an ethical duty to caution the client against his seemingly reckless decision?

No, because a lawyer is not expected to give advice until asked by the client.

An attorney works for a firm that handles residential real estate closings. The firm also provides title insurance, as part of the legal representation it offers to clients, but for an additional fee. Non-lawyers also provide title insurance in that state, for comparable prices. A prospective client met with the attorney for an initial consultation about their anticipated purchase of a home... the prospective client asked if the person who had referred her to the attorney had obtained title insurance through the firm, and how much they had paid for it. Would it be permissible for the attorney to share this information with the prospective client without first obtaining the other client's consent?

No, because a lawyer is subject to the duty of confidentiality, as well as the other ethical rules, with respect to the provision of law-related services, that are not distinct from the lawyer's provision of legal services to clients.

An attorney represented the client, who was suing his former employer over wrongful discharge. The former employee claimed that the termination was necessary because the job involved high-level security clearance, and the employer learned that the client had a prior felony conviction that he had not disclosed on his job application... During a preliminary hearing, the judge asked the attorney if it was true that the client had a prior conviction and if so, what was the crime. The attorney conceded that the client had a grand larceny conviction in that jurisdiction and had served a two-year jail sentence, which was a matter of public record.... Did the attorney violate his duty of confidentiality to the client by making this admission?

No, because a lawyer may be impliedly authorized to admit a fact that cannot properly be disputed or to make a disclosure that facilitates a satisfactory conclusion to a matter.

An attorney had a license to practice law in two jurisdictions... The attorney committed serious professional misconduct in his home state and received a public reprimand from the state disciplinary authorities... The lawyer's conduct would have violated the rules in either of the jurisdictions where he had a license to practice law... the state disciplinary authority in the neighboring state (where he also practice) then commenced disciplinary proceedings against him as well. In the end, the neighboring state bar suspended his license for six months in that state, a much more severe sanction than the public reprimand he received in his home state... The attorney claims that the neighboring state has no jurisdiction... He also objects that the second punishment raises double jeopardy concerns. Is the attorney correct?

No, because a lawyer may be subject to the disciplinary authority of two jurisdictions for the same conduct if it occurred entirely within one state.

An attorney had a license to practice law in two jurisdictions - his home state where he lived and had his main office, and a neighboring state where he represented several clients each year. The attorney committed serious professional misconduct in his home state, and received a public reprimand from the state disciplinary authorities. All of the conduct took place in his home state, the client resided in the state, and the representation took place entirely within his home state. The lawyer's conduct would have violated the rules in either of the jurisdictions where he had a license to practice law, because it involved commingling client funds with his own money, and the states had nearly identical rules concerning this activity. After the attorney received a public reprimand in his home state, where the misconduct occurred, the state bar disciplinary authority in the neighboring state (where he also practiced) then commenced disciplinary proceedings against him as well. Ultimately, the neighboring state bar suspended his license for six months in that state, a much more severe sanction than the public reprimand he received in his home state, where the misconduct actually occurred. The attorney claims that the neighboring state bar has no jurisdiction over conduct that occurred entirely outside of the state. He also objects that the second punishment raises double jeopardy concerns. Is the attorney correct?

No, because a lawyer may be subject to the disciplinary authority of two jurisdictions for the same conduct, and may receive different sanctions in each state.

An attorney represents a client before an Administrative Law Judge in a regulatory enforcement matter. The Administrative Law Judge orders the attorney to disclose whether the client was informed by counsel about the regulatory requirements in question before the violation occurred. The client forbids the attorney to answer the question. The attorney initially objects, but the Administrative Law Judge insists. Could the attorney be subject to discipline such confidential client information to the Administrative Law Judge?

No, because a lawyer may comply with an order to reveal information relating to the representation of a client by a court or by another tribunal or government entity claiming authority pursuant to other law to compel the disclosure.

An attorney surreptitiously recorded a conversation with a potential witness without the other person's knowledge or consent. State law permits recording of conversations when at least one of the participants consents, which would include the attorney in this case... Even if the attorney did not violate state or federal laws by recording this conversation, could the attorney be subject to discipline for failing to disclose a material fact to a third person?

No, because a lawyer may electronically record a conversation without the knowledge of the other party to the conversation without violating the Model Rules, if the recording is not otherwise illegal.

A certain attorney made an informal agreement with Physician that would refer clients to each other when the situation seemed appropriate. They did not pay each other any money for referrals, but the relationship was explicitly reciprocal - the attorney referred patients who needed medical examinations to Physician, and when Physician had patients needing legal representation, he referred them to the attorney... each agreed not to refer clients to others... They always inform their clients when making such referrals that they have a reciprocal relationship. Is such an arrangement proper?

No, because a lawyer may not agree to refer clients to another lawyer or nonlawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer, if the relationship is exclusive.

An attorney works at a large firm and sees almost daily violations or potential violations of the Rules of Professional Conduct, though nearly all of them are minor and cause no harm or injury to the clients, third parties, or anyone else. For example, some lawyers represent co-defendants in cases where conflicts could arise at some point in the litigation... In other instances, certain lawyers seem to do minimal research on their cases or sometimes neglect client matters for weeks at a time, but again there has not been a case that was particularly serious. Does the attorney have a duty to report these violations to the state disciplinary authority?

No, because a lawyer must report only those offenses that a self-regulating profession must vigorously endeavor to prevent; if a lawyer were obliged to report every violation of the rules, the failure to report any violation would itself be a professional offense.

A client hired an attorney to represent him in a simple real estate matter. When the attorney asked some standard questions about the financial arrangements for the sale and purchase of the property, the client was somewhat evasive on a few points, but provided the information necessary to complete the legal work for the transaction. The attorney also heard from a friend that the client frequently cavorted with prostitutes. The attorney finds that client rather suspicious and has many unanswered questions, but none surround the transaction that occasioned the representation. Does the attorney have an ethical duty to inquire into the affairs of a suspicious client?

No, because a lawyer ordinarily has no duty to initiate investigation of a client's affairs or to give advice that the client has indicated is unwanted.

An attorney agreed to represent an applicant to the state bar... which had tentatively denied her application for making false statements on her bar application... The client (bar applicant) explains the entire situation to her attorney, including some self-incriminatory information... The attorney did not disclose the latest information, which would have made it much clearer to the board that the applicant lacked the character and fitness to practice law. Could the attorney be subject to discipline for this action?

No, because a lawyer representing an applicant for admission to the bar, or a subject of a disciplinary action, comes under the rules applicable to the client-lawyer relationship, including the duty of confidentiality.

An insurance company retained an attorney to represent one of its policyholders (i.e., an insured) against a lawsuit. The insurance company that hired the attorney requires its counsel to follow its own litigation management guidelines... The litigation management guidelines include the requirement of a third-party audit of legal bills... in this instance the attorney finds that the guidelines require tactical moves that are adverse to the insured's interests... Should the attorney comply with the insurer's litigation management guidelines?

No, because a lawyer shall exercise independent professional judgment, and the insurer's litigation management guidelines in this instance materially impair the lawyer's professional judgment.

An attorney is dating a woman whose sister works as a nurse in a hospital emergency room. The attorney gives the nurse, his girlfriend's sister, a stack of his business cars and law firm brochures, and offers to pay her $200 for any clients who hire him because of her referrals, with the understanding that she will not refer patients to any other lawyers... Is such an arrangement proper?

No, because a lawyer shall not give anything of value to a person for recommending the lawyer's services, with certain exceptions not applicable here.

In his advertisements, an attorney, who practices in California, states, "CERTIFIED SPECIALIST IN CALIFORNIA LAW." The attorney is referring to the fact that he passed the California Bar Exam, not to any other official certification beyond admission to the California bar. According to the Model Rules of Professional Conduct, is such a statement proper in a lawyer's advertisement?

No, because a lawyer shall not state or imply that a lawyer is a certified specialist in a specific field of law without being a certified specialist by an official certifying organization in that state, and without including the name of the certifying organization in the advertisement.

An attorney was the District Attorney for a local prosecutor's office, and she had several subordinate lawyers working under her authority and oversight. This office had a series of appeals from defendants they prosecuted, and in several cases, the appellate courts reversed the convictions over Brady violations, that is, withholding exculpatory material evidence from defense counsel. Is the District Attorney immune to discipline for these violations?

No, because a series of reversed convictions over Brady violations from the same office indicates a lack of training or supervision regarding the ethical duties of prosecutors.

An attorney specializes in helping his business clients obtain business loans from commercial lenders. While assisting one client in obtaining an unusually large commercial loan from Big Bank, the attorney noticed a clause in the loan contract by which the borrower promised that its attorney would not seek to obtain similar loans for other parties from Big Bank's primary market competitor in that state. The clause required evidence of a contractual agreement by the attorney - whether with Big Bank or with the client - to this effect... The contract provision seemed harmless to the attorney, though it would be enforceable. Is it proper for the attorney to sign off on these loan documents for this client, including this clause in the contract?

No, because an attorney must not make an agreement restricting the attorney's right to practice.

An attorney agrees to buy the successful law firm of a fellow lawyer who recently succumbed to terminal cancer. The sale includes the office building, the library and furnishings, and the good will of the firm, and conforms to the provisions of Rule 1.17. The purchasing attorney pays $100,000, the agreed-upon purchase price, to the executor of the deceased lawyer's estate, but the executor is not a lawyer. The funds for the purchase came from the contingent fees in a recent personal injury case won by the purchasing attorney. Was this transaction improper?

No, because an attorney purchasing the firm of a deceased lawyer may pay the executor the agreed-upon purchase price.

A client hired an attorney to represent her in a burglary charge. During a meeting with the attorney and with the understanding that any information would be confidential, the client advised the attorney about a murder she committed. A wrongfully-accused man was presently on trial for that same murder... Soon thereafter, the attorney discovered that a jury had convicted an innocent man for the murder the client had committed and confessed to the attorney... The attorney contacted the District Attorney's office that handled the murder trial and left an anonymous tip stating that the client confessed to committing the murder. Was the attorney's conduct proper?

No, because attorneys cannot disclose client representation information and the death had already occurred, therefore, the disclosure would not prevent certain death or substantial bodily injury.

An attorney represents a plaintiff in a civil suit. The defendant also has representation, but he contacts the attorney to negotiate a settlement agreement. The attorney advises the defendant that he cannot discuss the case with the defendant because the defendant has representation by counsel. Defendant faxes the attorney a letter stating that he waives the rule restricting the attorney from communicating... Upon receipt of the fax, the attorney contacts the defendant and discusses a settlement agreement. Are the attorney's actions proper?

No, because attorneys may not communicate with represented persons unless the attorney representing that person permits the attorney to communicate with the represented person.

An attorney brought a class action lawsuit against Conglomerate Corporation and was remarkably effective in her efforts, mostly because she was brilliant about forum shopping. After discovery, Conglomerate realized they needed to settle the case before trial. Conglomerate offered a very generous settlement to the plaintiff class... Conditions of the settlement included... an agreement with this attorney limiting venue and forum options in future cases against Conglomerate... Is this agreement proper, under the Model Rules?

No, because even limiting the attorney's ability to shop for forum or venue in future cases for other plaintiffs would be an impermissible restriction on the attorney's ability to practice law.

An attorney represented a plaintiff in a claim against Conglomerate Corporation and was remarkably effective in her efforts, mostly because she hired Professor Stevenson as an expert witness. After the deposition of Stevenson, Conglomerate realized they needed to settle the case before trial. Conglomerate offered a very generous settlement to the plaintiff... Conditions of the settlement included... an agreement by the attorney never to use Professor Stevenson again as an expert witness in a case against Conglomerate... Assume for this question that Professor Stevenson is not a licensed attorney in this jurisdiction. Is this agreement proper, under the Model Rules?

No, because even limiting the attorney's ability to use a specific expert witness against his defendant would be an impermissible restriction on the attorney's ability to practice law.

An attorney volunteered for a judge's reelection campaign because he hoped to receive court appointments. He drives the judge from campaign stop to campaign stop without receiving any compensation... The judge wins re-election, and then shows his gratitude to the attorney by frequently appointing him to represent indigent defendants at the state's expense. The appointments turn out to be lucrative and to generate substantial fees for the attorney. Could the attorney be subject to discipline for soliciting funds for a judge with such self-interested motives?

No, because for the purpose of this rule, the term "political contribution" does not include uncompensated services.

An attorney represented a plaintiff in a wrongful death case arising out of a prison riot, which included many claims and cross-claims. The case ended in settlement. The defendant's settlement offer included two conditions:... second, that the attorney give defendant counsel her entire file to keep under seal, meaning the attorney could not keep copies of her own work product in the case. She would have to turn over her own personal notes and internal memoranda in the file from her interns and associates. Would it be proper for the attorney to agree to this as a condition of a large monetary settlement for her client?

No, because forfeiting the attorney's own work product in the case could restrict her future practice of law in similar cases.

An attorney suspects that another lawyer in his firm has violated the Rules of Professional Conduct in a rather serious matter, but has no first-hand knowledge of the situation - his suspicion rest on the fact that the other lawyer seems to be acting paranoid and evasive, and a number of strange coincidences have occurred in his cases. Does the attorney who suspects something seriously wrong is afoot have a duty to report the other lawyer to the state bar disciplinary authority?

No, because he does not have actual knowledge of the violation.

An attorney has been practicing for five years, but on her application to the bar five years earlier, she had stated that she had attended a particular private high school, when in fact she had attended a public high school. An unhappy client recently filed a grievance against the attorney, which was frivolous, but the state disciplinary authority had to conduct a routine, preliminary inquiry into the matter in order to make a determination that the compliant merited dismissal. The disciplinary board member assigned to the case had attended the elite private high school... On a hunch, the board member checked the alumni lists for the school and discovered that the attorney had lied on her application to the bar five years earlier. When asked about this issue, the attorney said she could not be subject to discipline now for the misstatement she made several years ago, and that the board lacked jurisdiction because it was unrelated to the current grievance compliant. Is she correct?

No, because if a person makes a material false statement in connection with an application for admission, it may be the basis for subsequent disciplinary action if the person is admitted.

An attorney faced a grievance over a client complaint regarding his neglect of the client's matter. The attorney knew that he had never formally agreed to represent the client, but instead had met with the client once, determined that he had a conflict of interest, and he had refused to represent the potential client by both oral and written communication. The client failed to hire another lawyer, and mistakenly (unreasonably) believed that the attorney she had met with was, in fact, representing her... he did not respond to the state bar when the disciplinary authorities requested a formal response from him... The board then commenced disciplinary proceedings against the attorney for failing to respond to its requests in the case it had dismissed. Was the attorney's refusal to respond permissible in this case?

No, because in connection with a disciplinary matter, a lawyer must not knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority.

Halfway through a trial, an attorney can tell that his client is going to lose... The client turns to the attorney and tearfully asks if they still have any chance of winning. The attorney does not want to make her cry... he assures the client that they still have a good chance of prevailing... there is still an open settlement offer on the table from the other party... Is it proper for the attorney to feign confidence in order to protect his client's feelings?

No, because in representing a client, a lawyer shall render candid advice.

An attorney received from the opposing party $150,000 as a settlement for the attorney's client. Before the attorney could disburse the funds to the client, a third-party judgment creditor with a court-ordered lien against the client contacts the lawyer demanding disgorgement of the client's funds to satisfy the amount of the judgment, from a matter in which the lawyer did not represent the client. The client instructs the attorney to give the money to the client immediately and not give anything to the third-party judgment creditor... the third-party judgment creditor has a valid court order to execute on the client's assets. The attorney did as the client instructed him to do, disbursing the funds promptly to the client, and informed the judgment creditor to take the matter up with the client directly. Did the attorney act properly?

No, because in this type of situation, the lawyer must refuse to surrender the property to the client until the claims are resolved.

A newly appointed judge finds herself assigned to a court in a rural agricultural area, so the court has many cases related to farm ownership and foreclosures, government regulation and subsidies for agriculture, and so on. The judge has lived her entire life in a major urban center, and she is unfamiliar with this area of law and the economic realties faced by individuals and firms in the farming industry. To learn more background for upcoming cases that are not yet assigned, the new judge spends some of her weekends and evenings reading articles and blogs online. Does the background research violate the CJC?

No, because judges may do background reading to become better informed.

An attorney describes his areas of practice in his advertisements as "real estate" and "personal injury," but his state bar requires that lawyers use the less descriptive terms "property law" and "tort law" instead. Could the attorney be subject to discipline for using these more descriptive terms instead of the verbiage prescribed by the state bar?

No, because lawyers have a First Amendment right to use verbiage that is accurate and descriptive in their advertisements, assuming the statements are not misleading.

An attorney is a partner in a seven-lawyer firm. The client retained the attorney to handle his workers' compensation matter. Yet the attorney did not discuss with the client that he would normally disclose to the other partners in the firm some of the details about his cases and clients.... One partner had an ingenious suggestion that would have been quite helpful to the client's case. The attorney mentioned it to the client... The client was upset that the attorney had discussed the case with anyone else. Is the client correct that the attorney should not have discussed the case with the others at the firm?

No, because lawyers in a firm may disclose to each other information relating to a client of the firm, unless the client has instructed that certain information be available only to specified lawyers.

An attorney is a partner in a seven-lawyer firm. A client retained the attorney to handle his worker's compensation matter. The attorney did discuss with the client that he would normally disclose to the other partners in the firm some of the details... the client expressly forbade the attorney for telling anyone in his firm anything about his case.... The client was upset that the attorney had discussed the case with anyone else. Was it proper for the attorney to discuss the case with the others at the firm?

No, because lawyers in a firm may not disclose to each other information relating to a client of the firm if the client has instructed that particular information be confined to specified lawyers.

An attorney practices commercial real estate law in the state capitol, but also provides legislative lobbying services for some clients, especially for firms seeking lucrative government contracts... one of the attorney's other clients faces charges of securities fraud and hires the attorney to handle his appeal, which includes arguing that the mandatory minimum sentences are unconstitutional. The criminal defendant signs a written waiver... the attorney fails to obtain a similar waiver from the private prison client on whose behalf he lobbied for the mandatory sentencing laws. If the attorney is successful in having mandatory sentencing laws declared unconstitutional on behalf of his criminal client, will he be subject to discipline for the conflict of interest with his lobbying client?

No, because lobbying is a law-related service that a non-lawyer could do, and is distinct from the lawyer's legal services, according to the retainer, so the conflict of interest rules do not apply.

An attorney practice personal injury law, representing plaintiffs on a contingent fee basis. The attorney employs a paralegal to assist with the preparing documents for litigation. The paralegals' salary arrangement is 10 percent of the firm's total net revenue each year. In years when the attorney wins several large cases, the paralegal receives higher wages, and in years when the attorney has no big wins, the paralegal receives almost nothing. The paralegal does not bring clients to the firm, and does not participate in judgments about which clients to represent, or about how to handle the cases. Is the attorney subject to discipline for this arrangement?

No, because non-lawyers may participate in a firm compensation plan based on overall profit sharing.

An attorney was an immigrant from a country that permits polygamy - men can have up to four wives. The attorney had two wives, which his religion permitted, as did the laws of his homeland. Nevertheless, his multiple marriages constituted bigamy in the American jurisdiction where he practiced law, and eventually a court convicted him of bigamy and imposed a fine. Could the attorney be subject to professional discipline for committing this illegal act?

No, because offenses concerning personal morality, such as bigamy and comparable offenses, have no specific connection to fitness for the practice of law.

A business owner hires an attorney to enforce a non-compete against a former executive at the client's technology firm... The client explains that the former executive has already asserted that the non-compete agreement is invalid under a recent decision from the state Supreme Court and is filing an action for a declaratory judgment to challenge the non-compete agreement preemptively... The attorney decides that the first step is to call the former employee... The attorney asks him to have his own lawyer contact him so that they can discuss potential settlement for the dispute. Has the attorney acted properly?

No, because one can easily infer from these facts and circumstances that the attorney indeed knew the former employee had representation.

A client had a confidential conversation with his attorney seeking legal advice. The client died a few weeks later. The client had pending litigation at the time of his conversation with the attorney, and the opposing party seeks disclosure of the conversation, because opposing counsel believes the client had instructed the attorney to accept the opposing party's settlement offer, up to a certain amount. The attorney is continuing the claim on behalf of the client's estate, and he refuses to settle or disclose the contents of the conversation. Should the court compel the attorney to reveal whether the client wanted to settle the case before he died?

No, because privilege normally survives the death of the client.

Conglomerate Corporation has several offices around the state. After receiving a few employee complaints about workplace discrimination from one office, Conglomerate's officers asked the company's attorney to advise them about potential liability in the matter. The attorney conducted a careful investigation... she sent the memorandum to all sixty-two HR managers in Conglomerate's offices nationwide. When litigation eventually ensued, the plaintiffs sought discovery of the attorney's memorandum, but Conglomerate attorney asserted attorney-client privilege. Is Conglomerate's position correct?

No, because sending the memorandum to so many employees who had no connection to the matter waived the privilege.

Howard Hamlin is a partner at the law firm Hamlin, Hamlin, & McGill (HHM). HHM's computer network automatically inserts the firm's "Hamlindigo Blue" logo and letterhead into every email sent from the firm's email accounts, as well as a legal disclaimed at the end of every email... Attorney Hamlin believes that every email sent by anyone at the firm to anyone outside the firm not be subject to discover, under the doctrine of attorney-client privilege, because each email automatically includes this disclaimer under the sender's signature line. Is Hamlin correct?

No, because sending the memorandum to so many employees who had no connection to the matter waived the privilege.

Attorney has a firm in a state in which the attorney lacks a license to practice law. Attorney's legal work, however, consists entirely of representing local investors before the United States Patent and Trademark Office in Washington, D.C.... The attorney does no other legal work for clients... All of Attorney's clients, however, are located in the state where the firm has its office, and Attorney is unlicensed there. Is Attorney subject to discipline?

No, because she is spending more time there than in her home state where she holds a license, despite this being a temporary arrangement.

While representing a client, an attorney learned confidential information about the client's previous marriage and divorce, which occurred many years before in another country. Before the attorney could conclude the matter, the client terminated the representation... the now-former client became a well-known celebrity, and her prior marriage and divorce received widespread public attention in that region... the state bar interviewed the attorney about his career and his greatest achievements. One question pertained to the representation of the client who became a celebrity... The former client had never authorized the attorney to discuss her legal matters, but the Model Rules provide a "generally known" exception to the duty of confidentiality to former clients. Would that exception apply to the attorney's disclosure of the marriage and divorce during the interview?

No, because the "generally known" exception does not apply to disclosures by the attorney about former clients.

An experienced litigator became a judge. In her previous litigation practice, she would regularly search online to learn more about the opposing party, opposing counsel, and even jurors. She sometimes found useful information on opposing parties' websites or on social media. Now serving as a judge, she visits the website of the corporate defendant in one of her cases, to learn more background about the company and its products and pricing. In this instance, the judge did not find any information on the company's website that seemed useful in understanding the issues in the pending case. The judge did not do any online research about the other party (the plaintiff) in the case. Was the judge's research proper?

No, because the Code of Judicial Conduct prohibits judges from conducting online research to gather information about a party or juror in a pending case, even if the research yields no useful information.

An experienced litigator became a judge. In her previous litigation practice, she would regularly search online to learn more about the opposing party, opposing counsel, and even jurors... Now serving as a judge, she visits the website of the corporate defendant in one of her cases... In this instance, the judge did not find any information on the company's website that seemed useful in understanding the issues in the pending case. The judge did not do any online research about the other party (the plaintiff) in the case. Was the judge's research proper?

No, because the Code of Judicial Conduct prohibits judges from conducting online research to gather information about a party or juror in a pending case, even if the research yields no useful information.

An attorney identified himself on his letterhead as a "Certified Trial Specialist by the National Board of Trial Advocacy." The attorney's state has no lawyer certification program of its own, besides admission to the bar. Is it inherently misleading, and therefore improper, for the attorney to list a certification if it did not come from an organization that an appropriate state authority has authorized?

No, because the Supreme Court has held that such statements are merely "potentially misleading" and that it would violate the First Amendment for states to prohibit such statements completely.

An attorney hires three new associates upon their graduation from law school in a neighboring state. The associates passed the bar in the neighboring state, but they are still unlicensed in the attorney's state. The associates confine their work to conducting research, reviewing documents, and attending meetings with witnesses in support of the attorney, who is responsible for all the litigation. The research done by the associates, however, is far beyond the capabilities of a paralegal or a typical law student associate. Is the attorney subject to discipline for this arrangement?

No, because the associates merely conduct delegated work under the attorney's supervision, for which the attorney is ultimately responsible.

After a hurricane damaged hundred of homes in a southeastern state, an attorney, who practices in that state, sent letters to a dozen homeowners in the affected area offering to represent them in their insurance claims arising out of the storm damage. Each letter was handwritten and personalized, and the attorney addressed each envelope by hand so that recipients would perceive it as a personal letter and would be more likely to open it and read it. At the top of the letter itself, the attorney wrote by hand the words "Advertising Material." Were the attorney's actions proper?

No, because the attorney did not include the phrase "Advertising Material" on the outside of the envelope.

A large corporation was under investigation by a government regulatory agency over possible violations of securities law. The corporation hired an attorney to represent it in the matter, and authorized the attorney to make a full internal investigation to discover the merits of the accusations. The attorney discovered that a high-level manager had falsified quarterly earnings reports, a clear violation of the law that could expose the corporation to devastating sanctions and civil liability. The attorney confronted the officer involved, but this proved unfruitful, and then he proceeded up the corporate chain of command... Would it now be proper for the attorney to become a whistleblower and reveal the problem to the relevant government authorities?

No, because the attorney has a duty of confidentiality to the corporation, and the attorney hired the attorney to defend the organization against a claim arising out of an alleged violation of law.

An attorney spends about one hour per week, on Monday mornings, calling local small business proprietors who routinely hire lawyers for lease and contract issues, and offers over the phone to provide legal services to them for a competitive (that is, low) fee. Does this activity by the attorney violate the Model Rules?

No, because the attorney is calling individuals who routinely use for business purposes the type of legal services offered by the lawyer.

A certain attorney is a fifth-year associate at a large national law firm. As a senior associate, the attorney can attend business meetings of the firm, but cannot vote on any decisions... When a paralegal in a separate practice group for the attorney violates the rules and the state disciplinary authority investigates the firm's ethical compliance measures, will the attorney be subject to discipline?

No, because the attorney is not a partner nor in a comparable managerial position to implement such measures, nor does it appear that the paralegal was under the attorney's direct supervision.

An attorney had many years of experience in handling personal injury litigation, and in a certain case, the attorney represented a plaintiff in litigation over injuries sustained in a car accident... the attorney interviewed each of the eyewitnesses of the accident, and afterward wrote a memorandum summarizing what each witness said... The statements contained no mental impressions of the attorney, only facts communicated by the witnesses... Opposing counsel... sought discovery of the witness statements... Unsurprisingly, the attorney objected that these documents were attorney work-product doctrine. Should the court compel the production of the witness statements?

No, because the attorney prepared the witness statements on behalf of the plaintiff in anticipation of the litigation.

An attorney specializes in employment law, especially employer-provided benefits, as well as healthcare law. After Congress passes sweeping legislative reform for the regulation of employer-sponsored healthcare plans, the attorney sent a letter to her former business clients offering to help them sort through the changes in employee benefit plans that the new laws would require. Nowhere did the attorney indicate that these letters were advertising materials. Could the attorney be subject to discipline for sending these letters?

No, because the attorney sent the letters only to former clients.

An attorney represented a client in a contention litigation matter, at the end of which the attorney received a settlement check for an agreed-upon amount from the opposing party ($100,000)... The attorney called the client to inform her that the check had arrived, and explained that he would forward the amount minus his fees and expenses... The client was furious and said that the expenses should have been included in the attorney's contingent fee... the client and attorney agreed to schedule arbitration over the disputed fees and expenses as soon as possible, which realistically would be three or four months later. In the meantime, the attorney kept the money in the client trust account until they could resolve the dispute. Was this proper?

No, because the attorney should have paid the client $50,000 immediately and held only the remainder until the dispute was resolved.

The corporate officers of a large hospital were trying to decide whether to provide free HBO and Showtime (and other subscription cable channels) to all the televisions in the patient rooms. Corporate counsel participated in these meetings due to his familiarity with the pricing of these channels and what other hospitals in the area were doing in this regard.... the opposing party requests disclosure of the comments and discussion in this meeting. The hospital's corporate counsel objects that this meeting was privileged communication because of the participation of the attorney in the meeting. Is he correct?

No, because the attorney was participating as a business advisor in this meeting, not providing legal services.

A client was with three friends in a car when a police officer stopped the vehicle. During the stop, the police officer found cocaine and marijuana in the vehicle. The prosecutor charged the client for possession of a controlled substance. The prosecutor did not charge anyone for possessing marijuana, though it was illegal to possess such a substances in the jurisdiction where the vehicle was stopped. The attorney knows the client uses marijuana. The client has expressed that he has never used cocaine but that he knows a friend that was in the car uses it. The client takes a drug test at the attorney's recommendation. The drug test shows the client negative for controlled students, but positive for marijuana. The attorney wants to use the drug test to show it was unlikely that the cocaine found in the car belonged to the client. Nevertheless, providing the drug test to the prosecutor would reveal that the client tested positive for marijuana and might lead to charges based on the marijuana found in the vehicle at the time of the stop. The attorney asks this client if he can show the prosecutor the drug test as evidence that he client did not show cocaine around the time of the finding and that the cocaine likely did not belong to the client. The client tells the attorney he can share the result with the prosecutor. Did the attorney act properly?

No, because the client must give informed consent and the attorney did not make the client aware of the risks and reasonable alternatives.

A government entity provides grants to a legal aid office that represents indigent individuals. The government entity requires reporting of the names of clients, brief factual summaries, and the type of representation involved for all matters where the government entity's funds provided the financial support for the representation. An attorney works for the legal aid office... Most of his clients are uneducated and unsophisticated, so he does not explain to them how the finances work for the legal aid office or that he must disclose their information. Is it proper for the attorney to represent legal aid clients without obtaining their informed consent to the disclosures required by the funding agency?

No, because the client names, basic facts, and types of cases are confidential information, and require client authorization for disclosures.

In a state with elected judges, a certain candidate (the challenger) for the state supreme court sought to unseat an incumbent justice. The president of a coal company in that state set up a nonprofit organization to advocate for the removal of the incumbent justice, and contributed millions of dollars to this entity, which ran an extensive advertising campaign criticizing the incumbent justice. Even though the president did not give this money directly to the challenger, the campaign was effective, and the challenger won the election... contributions to the nonprofit by the coal company president exceeded the total amount of all other campaign contributions in that election. Shortly thereafter, a lawsuit involving the coal company... came up for review... The other party had petitioned for recusal by the newly seated justice, given that the coal company's executive had contributed millions of dollars... but the justice did not recuse himself.... Was it proper for the new justice to participate in the decision in this case?

No, because the coal company's disproportionate campaign contributions created an impermissible appearance of bias, even if the justice was in fact unbiased.

A small firm employs several associates who work under the supervision of the partners, as well as three clerical staff. The most recently hired associate has a complicated situation with his license to practice law... The state bar approved his application... The state legislature, however, had recently passed a statute creating the option of a legislative veto for lawyers seeking admission to practice law in the state... purpose was to prevent the grown children of illegal immigrants from becoming lawyers, even though the bar applicant might be a United States citizen... The associate received official notice of his disbarment from the Office of Legislative Counsel, not from the state bar... most of the firm was unaware of the situation, except for one managing partner in whom the associate had confided. Could the partners at the firm be subject to discipline for employing the associate as an attorney, despite challenging any such discipline in court?

No, because the courts have inherent power to regulate the legal profession, and the legislature's action could not survive a court challenge.

An attorney represented a client in tort litigation against a pharmaceutical company over injuries allegedly resulting from one of the company's drugs. During the pretrial hearing about the admissibility of certain evidence, the court ruled against the attorney and ordered that the evidence was inadmissible at trial. The attorney then contacted a reporter from a prominent newspaper... giving the reporter the very evidence that the court had held should be inadmissible at the trial... Opposing counsel moved to disqualify the attorney... The court agreed to disqualify the attorney on the eve of the trial. Another firm was already representing the client as co-counsel, so that firm agreed to continue with the trial work alone. The attorney filed an interlocutory appeal.... Delaying the trial with this interlocutory appeal was clearly against the client's interest... Is it proper for the attorney to recommend to the client that they appeal his disqualification, if it is not clearly in the client's interest to do so?

No, because the decision to appeal should turn entirely on the client's interest.

An attorney prepared the policy manuals for a corporate client, an insurance company. The manuals guide the client's claims adjusters about claims reporting procedures, such as assigning counsel, closing files, reporting bad-faith claims, maintaining records, settlement authority, and so forth. These attorney-drafted policies served the purpose of facilitating the rendition of competent claims handling by the insurer's employees. When a litigation opponent requests production of these manuals during pre-trial discovery, would they come under attorney-client privilege?

No, because the documents were not part of rendering legal advice, but rather for the employees to use in processing claims, and they were not confidential enough to create privilege.

An attorney represented a personal injury plaintiff in a lawsuit... the attorney met with several people, neighbors and friends of the client, asking about the incident that injured the client, as well as the client's character and past behavior. One of the client's neighbors told the attorney several disturbing stories about wild parties at the client's house... Later, at trial, the defendant sought to compel the attorney to disclose the information conveyed by the client's neighbors. The attorney objected that this information falls under the attorney-client privilege and is therefore inadmissible. Is the attorney correct in this assertion?

No, because the information did not come from the client, and therefore attorney-client privilege does not apply.

An attorney practices personal injury law in a small town. One of the judges who regularly presides over the attorney's cases is celebrating his twenty-fifth year on the bench, and the judge's friends and family have planned a banquet honoring the judge... Many of the invitees are planning to bring a congratulations card or small congratulatory gift to the banquet. The personal injury attorney purchased a $250 silver-encased commemorative watch as a gift for the judge... the next day the judge made a public report of the gift. Was it improper for the attorney to give this watch to the judge?

No, because the judge publicly reported the gift the very next day.

An attorney entered into an exclusive reciprocal arrangement with a local advertiser... Last week, the lawyer happened to drive by two cars on the shoulder of the road that had been in a minor collision. The attorney pulled over, got out of her car, and approached one of the drivers who were waiting for a tow truck. Handing the driver her business card... the driver gladly took it and said she might have seen one of the lawyer's advertisements... The driver visited the attorney a few days later for an initial consultation, but decided not to retain the lawyer for representation because the driver's insurer had already settled the matter. Was it proper for the lawyer to offer to represent the driver in this way?

No, because the lawyer approached the driver in person at the scene of the accident and offered to represent her.

A trial judge is going through a divorce, and he hired an attorney to represent him. The attorney's law firm partner is representing another client who is appearing before the same judge in his personal injury lawsuit. The judge and the litigation client both give written informed consent to the representation... the judge is trying to keep the divorce quiet until after the upcoming elections.... The judge therefore refuses to disclose to the parties in the personal injury case that counsel for one side is from the same firm as the lawyer representing the judge in his pending divorce.... The Code of Judicial Ethics does require, however, that the judge disclose the representation to the litigants appearing before him, which the judge has refused to do at this time. Can the attorney continue representing the judge in his divorce?

No, because the lawyer must withdraw from the representation of the judge under these circumstances.

An attorney made substantial financial contributions to the reelection campaign of an elected judge. The judge wins reelection and shows his gratitude to the attorney by frequently appointing him to represent indigent defendants at the state's expense... The attorney especially admired the fact that the judge had attended Harvard Law School and that the judge was an active member of the Federalist Society. Could the attorney be subject to discipline for accepting these appointments?

No, because the lawyer's motivation was a sincere political or personal support for the judge's candidacy, not a design to receive court appointments.

A husband and wife are both attorneys in Puerto Rico, though they attended law school in Florida. They have practiced in Puerto Rico for ten years and have a license to practice there. Last year, they moved to Florida, where the wife took the state bar exam and gained admission to the Florida bar. They have now opened a law office in Florida with both of their names listed on the firm letterhead, followed by the phrase "Attorneys at Law." The husband confines his practice exclusively to Puerto Rican clients who are living in Florida or are visiting there; the wife handles all other legal matters. Is it proper for them to use such letterhead?

No, because the letterhead reveals that the wife is aiding her husband in the unauthorized practice of law.

An attorney served as in-house counsel for a corporation, and uncovered illegal actions taken by a particular senior manager (not the Chief Executive Officer or any comparable officer or director, but an individual with decision-making authority and several direct subordinates in the organization).... The attorney summoned the nerve to confront the senior manager... the senior manager's initial response was to be dismissive, saying that he was unaware of any laws or regulations that he might have violated. The attorney walked away... and returned to the manager, and patiently explained to him the relevant laws and regulations that the manager had violated. The senior manager begrudgingly accepted the attorney's advice and took all necessary measures to rectify the wrongdoing and prevent any long-term repercussions. The senior manager also insulted the attorney, called him incompetent for not bringing up the matter earlier, and suggested that the attorney's incompetence was due to the attorney's ethnic background. Could the attorney be subject to discipline for not referring the matter of the illegal actions to a higher authority in the corporation?

No, because the manager took the lawyer's advice.

An attorney agreed to represent an underage client in a legal matter. The client was fifteen years old, and the youth's parents were present at the consultations and other meetings with the attorney. Would the presence of the parents during confidential communications between the attorney and the underage client waive the protection of attorney-client privilege for the conversation?

No, because the parents are there to facilitate the representation on behalf of their minor child.

The plaintiff and the defendant in a lawsuit run into each other in the supermarket and start discussing their case without their lawyers present.... The plaintiff volunteers to withdraw his case if the defendant will withdraw his counterclaims and pay whatever filing fees are involved in such a voluntary dismissal. Later, when each party reports this to their respective lawyers, the plaintiff's lawyer is very upset. The plaintiff mentioned that the defendant said his own lawyer (defense counsel) had helped give him the idea by asking at their first consultation, "Why haven't you and the plaintiff simply resolved this on your own, without resorting to litigation?" The plaintiff's lawyer reports the defendant's lawyer for misconduct, claiming that opposing counsel merely used his client as an agent to communicate with the plaintiff without the latter's lawyer present. Is the defendant's lawyer subject to discipline, based on these facts?

No, because the parties to a matter may communicate directly with each other without their lawyers being present or consenting to the conversation.

A former employee is suing Conglomerate Corporation. The employee claims that Conglomerate fired him as retaliation for uncovering internal corruption at the company... the employee had several email exchanges with Conglomerate's in-house counsel about the problems he had uncovered and the consequences for reporting them... Conglomerate's lawyers assert that these conversations are privileged, because the emails were between a Conglomerate employee and its corporate counsel. Would the emails come under the protection of attorney-client privilege, given these facts?

No, because the privilege belongs to the client, and the plaintiff here owns the privilege.

Two codefendants stood trial on an arson charge, each represented by separate counsel. The first defendant, through his attorney, offered to tell the prosecutor about some valuable eyewitnesses that would help the prosecution's case... The prosecutor declined the offer and continued with the prosecution of both defendants. The first defendant, who had offered to make the disclosures, died unexpectedly in a violent prison fight. The prosecutor then called the deceased defendant's attorney and asked him to disclose whatever information he had about these additional witnesses... The attorney was unsure about whether attorney-client privilege applied, but the prosecutor insisted it did not apply after the defendant's death. Is the prosecutor correct?

No, because the prosecutor declined the offer of disclosure at the time, and the privilege survives the client's death.

An attorney faced disciplinary action over a client grievance. The disciplinary tribunal asked the attorney several probing questions about her handling of client funds. The attorney had, in fact, used some client funds to pay off a gambling debt... The attorney, therefore, invokes her Fifth Amendment privilege against self-incrimination and refuses to answer the questions. The disciplinary tribunal then determines that it lacks substantial evidence that the attorney mishandled client funds, but it commences disciplinary proceedings over the attorney's refusal to answer some of its questions. Could the attorney be subject to discipline for refusing to answer the questions in this scenario?

No, because the rules requiring attorney candor to disciplinary authorities are subject to the provisions of the Fifth Amendment of the United States Constitution and corresponding provisions of state constitutions.

Attorney McLemore grew up in a family that spoke the Wichita language in the home. Her law practice advertisements prominently stated that she spoke Wichita, and that she can represent Wichita clients. Unfortunately, Attorney McLemore was the last known native speaker of the Wichita language. Was it improper for Attorney McLemore to include this language ability in her advertisements?

No, because the statement is true.

Conglomerate Corporation had an accident occur at one of its chemical manufacturing facilities - a large explosion killed several workers and injured many others... the general counsel obtained statements from employees and other witnesses about what happened, memorializing the statements in written form. Later, the family of an employee killed in the accident sued Conglomerate, and the plaintiffs' interrogatories included a demand for the contents of the written statements taken by the corporate general counsel. Must Conglomerate Corporation disclose the statements taken by its attorney after the accident?

No, because the statements are communications protected by the attorney-client privilege.

An attorney made substantial financial contributions to the reelection campaign of an elected judge. The judge wins reelection and shows his gratitude to the attorney by frequently appointing him to serve as referee or mediator in situations where the attorney received no compensation except reimbursement for travel expenses. The attorney made the donations because he hoped to receive such appointments, but he received no fees as a result. Could the attorney be subject to discipline for accepting these appointments?

No, because the term "government legal engagement" does not include mostly uncompensated services.

Three attorneys open a new firm (a partnership) together. They drafted the partnership agreement themselves, without hiring another lawyer to represent them, and none of them gave informed consent, confirmed in writing, to the conflicts of interest that might arise as a result of drafting their own partnership agreement and trying to represent their own interests at the same time. The partners decided to call the firm "City of Houston Litigation Center"... Their advertising, brochures, and signage contain no disclaimers disavowing any connection with the Houston municipal government.... Are the actions of the attorneys described here proper, according to the Model Rules of Professional Conduct?

No, because their trade name includes a geographical name without express statements that they are not a public agency or subdivision of government.

A judge attended a social event - a birthday party - with around thirty other individuals at the home of a lawyer who was a longtime acquaintance of the judge. The lawyer who hosted party in his home had a pending case before the judge.... the lawyer and the judge did not engage in any substantial conversation during the party, and neither the judge nor the lawyer discussed the pending case itself with anyone at the party... Was it improper for the judge to attend the social event, given that it occurred at the home of a lawyer who had a case pending before the judge?

No, because there were no ex parte communications about the pending matter, and it was a social event attended by thirty people.

Big Bank routinely hired lawyer as outside counsel on various matters, and it required each one to sign an Outside Counsel Agreement (OCG) as part of its contract of engagement for legal representation. Big Bank's OCG included the following provision... As attorney has an opportunity to work as outside counsel for Big Bank on a specific matter, but she is concerned about this provision. Would it be proper for the attorney to accept this OCG by contractual agreement?

No, because this agreement impermissibly restrains the attorney's right to practice.

Conglomerate Corporation routinely hires outside counsel for legal matters, and it requires the lawyers to sign an Outside Counsel Agreement (OCG) that contains the following provision:... Is it proper for Conglomerate's in-house counsel to require outside counsel to agree to this provision in the OCG?

No, because this agreement impermissibly restrains the attorney's right to practice.

A government agency contacts an attorney, who works as in-house counsel for Corporation, and requests a report about some of Corporation's activities that come under the agency's regulatory jurisdiction... he learns the information requested by the agency will subject Corporate to significant regulatory enforcement sanctions, and if the information became public, would adversely affect Corporation's share price... compliance with the request is voluntary... The managers and directors of Corporation instruct the attorney not to submit the report until the agency issues a subpoena... May the attorney prepare the report and submit it to the agency at this time?

No, because when a lawyer knows or reasonably should know that the evaluation is likely to affect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent.

An attorney represents a client before a government agency that enforces securities regulations. As part of the representation, the attorney must prepare an opinion concerning the legality of the securities registered for sale under the securities laws, for submission to the government agency, which requires such reporting. The client authorizes the attorney to prepare the written opinion, but insists that the attorney exclude any mention of a particular business loss the client's company incurred recently... the attorney prepares the written opinion without the information... The report does not mention that it excludes some unfavorable information. The attorney prepares the written opinion and gives it to the client, who submits it to the agency. Is it proper for the attorney to follow the client's instructions in preparing this report?

No, because when a lawyer's report categorically excludes certain issues or sources, then the lawyer must describe in the report any such limitations that are material to the evaluation in the report.

An attorney was representing a client in a probate matter. The representation mostly occurred within the attorney's home state, where the client also lived. One asset of the probated estate, however, was an account receivable from a debtor in a neighboring state;... The attorney filed a pro hac vice appearance in the neighboring state... During the proceedings, the lawyer committed an act that constituted a violation of the ethical rules in his home state, but not in the neighboring state where he was appearing in a proceeding; the state had different rules in this regard. Could the attorney be subject to discipline in his home state for violating its rules before a tribunal in the neighboring state?

No, because whenever a lawyer's conduct relates to a proceeding pending before a tribunal, the lawyer shall be subject only to the rules of the jurisdiction in which the tribunal sits.

In anticipation of trial over workplace discrimination, a plaintiff's lawyer contacts several current managers of the defendant corporation and interviews them about the day-to-day operations of the company and the chain of command for addressing personnel complaints. These managers supervise employees, address interpersonal problems between workers, filed complaints, and consult with the firm's in-house counsel about personnel matters that seem serious. The lawyer does this without permission from the defendant's attorney. Was this proper?

No, consent of the company's attorney is always necessary for communication with a present constituent of the organization who supervises, directs, or regularly consults with the organization's attorney concerning the matter.

Conglomerate Corporation hired outside counsel to represent the organization in a lawsuit, but part way through the representation, Conglomerate's managers decided to fire the attorney and hire someone else with more experience. Conglomerate's former attorney then sued the organization for her unpaid legal fees for the representation up to that point. Conglomerate's new lawyer subpoenaed the attorney's time sheets for the billable hours he claimed to have worked for Conglomerate, because the organization believed the attorney was overbilling. The attorney claimed that the time sheets came under attorney-client privilege and refused to disclose them. Is the attorney correct?

No, documents and information about billable hours, scheduling, and so forth are not privileged.

A law professor has a tenured faculty position at her institution. She learns of serious ethical misconduct by another law professor on her faculty who is a licensed lawyer in that state, but who engages exclusively in law teaching. The professor who learned of the problem believes she has no duty to report her colleague to the bar, as neither of them are practicing law, though both have law licenses. Is she correct?

No, if a lawyer knows of professional misconduct of another licensed lawyer, even a non-practicing lawyer, must report it where it raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness as a lawyer.

An attorney practiced as an in-house counsel within Conglomerate Corporation. She learned of serious ethical misconduct there by a fellow employee who was also a licensed lawyer, but who was employed by the Conglomerate in a nonlegal position as a technical writer... Would it be permissible for the attorney to refrain from reporting the employee's misconduct to the bar?

No, if a lawyer knows of professional misconduct of another licensed lawyer, even a non-practicing lawyer, must report it where it raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness as a lawyer.

An attorney represented a powerful but controversial politician. A prosecutor was seeking an indictment of the attorney's client, so the attorney located a young woman who volunteered to befriend the prosecutor at social event and exchange phone numbers... the young woman would call the prosecutor and engage in lurid sexual conversations over the phone, while the attorney was recording the conversations... the laws of that state required the knowledge and consent of only one participant to record a conversation. The attorney then sent the prosecutor a copy of the recordings... he stopped pursuing the indictment of the attorney's client. Was it permissible for the attorney to record these phone conversations, under these circumstances?

No, if a lawyer records a conversation with no substantial purpose other than to embarrass or burden a third person, the lawyer has violated Rule 4.4.

A soda company had a delivery truck that collided with a school bus full of children on a field trip. The soda company's distribution manager wrote a report of the accident and provided it to the company's litigation counsel. The manager did not share the report with anyone except the attorney. When the lawsuits from the injured children begin against the company, one of the plaintiffs requests the distribution manager's report. Will a court order the attorney or the company to produce the report during discovery?

No, it is privileged communication from a client to a lawyer.

The chief financial officer of Investors' Club, a private investment trust, is under suspicion for converting $100,000 of Investors' Club's assets for personal use. The other responsible corporate officers of Investors' Club, acting on the trust behalf, retain an attorney to recover the money from the chief financial officer. At the same time, they direct the attorney not to reveal the loss, or file a lawsuit, until she has first exhausted other collection efforts. Given the restrictions, would it be a conflict of interest for the attorney to proceed with the representation?

No, it would certainly be proper for the attorney to represent Investors' Club, and in doing so she must proceed in the manner directed.

An attorney surreptitiously recorded a conversation with a potential witness without the other person's knowledge or consent. The potential witness asked the attorney at the beginning of the conversation if the attorney was recording it, and the attorney assured her that he was not, even though he was in fact recording it. State law permits recording of conversations when at least one of the participants consents, which would include the attorney in this case... Assuming the attorney did not violate state or federal laws by recording this conversation, were the attorney's actions proper given these facts?

No, lawyer who records a conversation without the consent of a party to that conversation may not represent that he is not recording the conversation.

An attorney served as the director of the Environmental Enforcement Division of the state Attorney General's office, which brought legal actions against polluters in the state... all the lawyers had many years of experience as litigators in that field... It turned out, however, that one of the lawyers committed some ethical violations... When these violations received attention in a local new station expose, the lawyer resigned in disgrace, and the Attorney General took the position that the director of the Environmental Enforcement Division is not responsible for the actions of this individual lawyer, whom he described as a "bad apple" in the Division. Is he correct?

No, lawyers having comparable managerial authority in a government agency must make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the agency or department conform to the Rules of Professional Conduct.

Big Firm engages in aggressive affirmative action in its hiring. It runs ad soliciting applications from minorities and women, and even though they sometimes interview non-minority applicants, they have decided internally to hire only women and minorities for the next five years. Currently, anti-discrimination laws would not require such a practice. has the firm violated the MRPC?

No, lawyers may implement initiatives aimed at recruiting, hiring, retaining, and advancing diverse employees without violating the Model Rules.

An attorney represents a large corporate defendant in a tort action over a defective product line... the company decides to settle the matter quietly... the attorney asks for three conditions in the settlement...The attorney recognizes that there can be no restrictions placed on the lawyers right to practice law... the conflict of interest rules would already prohibit the attorney from using any information learned in a representation against the client... the condition in the settlement overlaps with other disclosure restraints that the Model Rules impose on the other lawyer... It seemed appropriate, therefore, to the attorney for this defendant to ask for settlement conditions that recognize the lawyer's previous bad behavior. Is the attorney correct?

No, prohibiting the lawyer from using any information learned in the representation is an impermissible restriction on the lawyer's right to practice.

An inexperienced attorney represented an insurance company in a wrongful-death lawsuit. The plaintiff was the widow of the deceased... The widow was a pro se litigant.... State law required that settlements of a wrongful death claim by a personal representative must have approval from a tribunal. The widow and the insurance company's claims manager eventually agreed on a settlement amount... The widow, knowing that the attorney represented the interests of the insurance company, asked the attorney why the documents were necessary... The attorney responded... Was the attorney's conduct improper, under the Model Rules?

No, so long as the unrepresented person understands that the lawyer represents an adverse party and is not representing the person, the lawyer may prepare documents that require the person's signature and explain the lawyer's own view of the meaning of the document or the underlying legal obligations.

An attorney represented Conglomerate Corporation in negotiating with an office supplies company for a bulk discount on regular monthly purchases. When the supplier refused to go any lower, the attorney said threateningly that he could pick up the phone at any time and get three of their competitors to beat the supplier's current price. The attorney had no reason to think this... hoping to leverage the supplier into a lower price. Under the Model Rules, was it impermissible for the attorney to make this false statement to a third party?

No, such remarks are merely posturing or puffing, and are not statements upon which parties would justifiably rely, so they are not false statements of material fact.

An attorney worked as in-house counsel ta Conglomerate Corporation. Conglomerate had a problem with lawyers who left its legal department to work for its supplies... Worse, the lawyers could also make strategic use of their knowledge of Conglomerate's internal procurement practices... General Counsel for Conglomerate started including in its contracts with all new in-house counsel a prohibition on departing lawyers who work for Conglomerate's corporate vendors, either as in-house counsel or with a law firm representing the vendor, from contacting any of Conglomerate's employees. Is this agreement proper, under the Model Rules?

No, the agreement imposes an impermissible restriction on lawyers' ability to practice law.

An attorney worked as in-house counsel at Conglomerate Corporation. Her employment agreement with Conglomerate Corporation that she would not, following her employment there, represent any client in litigation against Conglomerate.... In other words, the contractual provision merely mirrored the duties a lawyer in that situation would have under the conflicts of interest rules. Would this agreement be enforceable, if the attorney left Conglomerate Corporation and then represented a client who had a contract claim against the company?

No, the agreement places an impermissible restriction on the attorney's ability to practice law, and it goes beyond the constraints of the conflict of interest rules.

Attorney Barrett was the managing partner at a small law firm. Barrett hired Cooper, an ordained minister who had been unemployed, as a legal assistant at the firm. Cooper's main job at the firm, however, was to bring in new clients... The firm paid for Cooper to complete a certification course to become a hospital chaplain, which gave Cooper chaplain's access to emergency areas of hospitals to visit accident victims and their families. He would offer to pray with them, but he would also give them a business card from Barrett's firm... Cooper also recruited clients from the local church where he serves as a "biblical counselor." Is it proper for the firm to pay Cooper bonuses for bringing fee-generating clients to the firm?

No, the arrangement constitutes an improper sharing of fees with a nonlawyer.

An insurance company routinely hired outside counsel to represent its policyholders in litigation under the liability policy. An inexperienced attorney worked for the firm... The firm's partners charged the policyholders fees for the representation even though the insurer was already paying their legal fees;... their fee arrangements violated state insurance laws... The inexperienced acted as the partners directed him to do and charged clients these fees that were illegal and unreasonable, but at one point he raised concerns about the practice with one of the partners. The partner said he would check into it. Would the safe harbor provision of Model Rule 5.2(b) absolve the attorney of a duty to research the fee issue?

No, the attorney had a duty to research the issue himself and would have discovered that the fees were clearly illegal and unreasonable.

An attorney had included false statements on his application for admission to the bar, but the lies went undetected, so the attorney obtained his license and began to practice law.... At one point, the attorney represented a seller in a business transaction... To complete the transaction, the purchaser sent the attorney aa check for the agreed-upon purchase price, with a letter directing the attorney to forward the money to the seller... The client was traveling at the time and asked the attorney to hold the funds until he returned from his trip... did not yet have a client trust account... so he deposited the check in his own bank account temporarily. As soon as the check cleared, the attorney wrote a check to the client for the full amount, which the client picked up in person. Did the attorney act properly regarding the funds?

No, the attorney had an obligation to hold the funds in a separate account from the attorney's own property.

While preparing for trial over workplace discrimination, the plaintiff's attorney contacts an entry-level, night-shift worker in the company's off-site warehouse, who supposedly told the frequent, shocking sex jokes that led to the "hostile environment" claim by female workers that became the subject of the pending lawsuit. The attorney did this without the permission of the company's lawyer... Was the communication by the plaintiff's attorney proper?

No, the attorney may not communicate with the constituent of a represented organization (opposing party) whose act or omission in connection with the matter may be imputed to the organization for purposes of civil liability.

A client consults an attorney about the client's indictment for the crimes of theft and unlawful possession of stolen goods. Applicable law treats possession of stolen goods as a continuing offense. The client is still hiding the stolen items in a secret place, and the client asks the attorney about in which client can continue to hold onto the stolen goods. During the conversation, the client describes the present location of the stolen items. The prosecutor then tries to subpoena the attorney to testify about the location of the stolen goods. Would attorney-client privilege apply to the conversation, if the client's crime is still ongoing?

No, the crime-fraud exception defeats attorney-client privilege for this conversation, as the crime is still ongoing.

An attorney represented Conglomerate Corporation. An officer of Conglomerate Corporation communicated in confidence with the attorney about deals between Conglomerate and one of its creditors, Big Bank. Conglomerate later declared bankruptcy... Then the attorney became a necessary witness in the litigation between Big Bank and Conglomerate's bankruptcy trustee... Big Bank's lawyer responded that former officers and directors of a corporation cannot claim privilege after control of the corporation has passed to a bankruptcy trustee. Should the court side with the officer in this situation?

No, the officer cannot assert privilege because he was not a client of the attorney in the representation.

A client confidentially delivered his own business records to his attorney, who specializes in tax matters, to obtain the attorney's legal advice about taxes. The business records were routine bookkeeping files, not prepared for obtaining legal advice. When the IRS eventually brought an enforcement action against the client and sought production of the business records that the client had provided to the attorney, the attorney asserted that attorney-client privilege protected them from disclosure. Is the attorney correct?

No, the records gain no privileged status by the fact that the client delivered them to the attorney to obtain legal advice.

While preparing for a trial over workplace discrimination, the plaintiff's lawyer contacts the owner and chief executive officer (CEO) of the defendant corporation and interviews her... The owner/CEO is not personally involved in the matter of the pending litigation... Even so, she has the power to settle the case or stipulate to a judgment amount, so the plaintiff's lawyer talks to her directly. The lawyer does this without permission from the corporation's attorney... Was this communication by the plaintiff's lawyer proper?

No, the rules prohibit a lawyer communicating with the constituent of a represented organization (opposing party) who has authority to obligate the organization with respect to the matter.

Big Firm handles employee litigation, including workplace harassment suits. Nevertheless, the managing partners at Big Firm have decided they will not take on clients with claims based on same-sex harassment, because they believe the law is still developing and juries return unpredictable verdicts in such cases. Has the firm violated the MRPC?

No, the rules that prohibit harassment and discrimination by lawyers do not limit the ability of a lawyer to accept, decline or withdraw from a representation.

A litigation attorney worked for several years for the Office of the Attorney General in his state, but then left to work for Big Firm. At Big Firm, the attorney exclusively handled litigation for Conglomerate Corporation, one of Big Firm's most important clients... Big Firm made no effort to screen the attorney from any cases, though it would conduct customary conflict checks... The attorney customarily starts negotiations or regular mediations by downplaying Conglomerate's willingness to compromise. In the alternative, the attorney might overstate, or sometimes strategically understate, the strengths or weaknesses of Conglomerate's litigation position. Are such statements, which might otherwise be permissible in regular mediation or direct negotiations, improper during a caucused mediation?

No, the same standards that apply to lawyers engaged in negotiations also apply to them in the context of caucused mediation, because parties cannot waive, even by mutual consent, the protections against false statements of material fact during negotiations.

A defendant accused of bank robbery hired an attorney. The attorney interviewed a bank teller, who witnessed the robbery. The attorney memorialized the conversation in a written memorandum that qualified as work product.... the same teller testified for the prosecution, and the attorney cross-examined the bank teller by quoting from the teller's... memorandum... the prosecutor demanded a copy... the attorney objected that the document was attorney work product and therefore not subject to discovery. Is the attorney correct?

No, when the attorney chose to ask the teller questions with direct reference to the memorandum, it waived work-product immunity for the portion of the memorandum discussing the teller's story, and any other parts of the document that are necessary to place all the testimony fairly into context.

An experienced attorney regularly represented Conglomerate Corporation as its outside litigation counsel. One of Conglomerate's employees filed a lawsuit against the company as he employer.... Upon review, the attorney for Conglomerate saw that some of the employee's e-mails have the heading "Attorney-Client Confidential Communication." Under the Model Rules of Professional Conduct, does the attorney for Conglomerate have an ethical duty to notify the employee's lawyer that the employer has accessed this correspondence?

Notwithstanding a local court order to the contrary, the Model Rules do not independently impose an ethical duty to notify opposing counsel of the receipt of private, potentially privileged e-mail communications between the opposing party and his or her counsel.

An attorney obtained a license to practice law in the state where she attended law school. After a few years, the attorney took a job in a neighboring state, moved there, and obtained a license to practice law in her new state. She kept her original license in her former state, but went on inactive status there to avoid burdensome annual bar membership fees... Then the attorney sends letters to all her former clients in her former state... She travels about once per week to her home state and meets with clients in a library study room at the law school she attended... Which of the following is true?

Only the supervising lawyer is subject to discipline, because he encouraged his subordinate to solicit out-of-state clients in a state where he is unlicensed, but the attorney can still practice law there.

An attorney hired a second-year law student as a clerk. The law student is unlicensed. The attorney has the law student perform a variety of tasks. Which of the following tasks, if performed by the law student, would mean that the attorney is subject to discipline?

Reaching settlement agreements with insurance companies before the attorney indeed filed any lawsuit in the matter.

An attorney represented a client in a license-revocation hearing before an administrative law judge. At one point, the government lawyer asked the client a question about a confidential communication with the client's attorney, and the attorney objected... The administrative law judge overruled the attorney and ordered the client to answer the question... On appeal, the attorney claims that the ALJ wrongly overruled his objection and that privilege should in fact apply.... In subsequent unrelated litigation with another party, opposing counsel seeks to introduce the client's testimony at the administrative hearing that disclosed the information, and the attorney again objects that the original communications were privileged... What is the result?

The appellate tribunal is incorrect that privilege cannot reattach even if the disclosure was in response to an incorrect ruling by another tribunal, and the disclosure did not waive privilege for subsequent litigation.

The attorney has switched to cloud computing, meaning that their firm pays a monthly fee to store all their spreadsheets and documents in an internet-based database or archive. This protects information and case documents from being lost whenever a computer at the firm crashes; the cloud service automatically creates an online backup for every file. According to the Rules of Professional Conduct, which of the following is true?

The attorney and his firm have an affirmative duty to make reasonable efforts to ensure that the cloud service is secure against computer hacking or other invasive access to clients' confidential information.

An insurance company retained an attorney to defend both the insured employer and one of its employees, whose conduct is at issue and for which the employer might be vicariously liable... the employee recounts some facts about the incident that are self-incriminating... It appeared to the attorney that the insurance company could have a contractual right to deny coverage for the employee's conduct, and the employer could invoke scope-of-employment principles... What would the ethical rules require the attorney to do under these circumstances?

The attorney cannot disclose the information to anyone, and must withdraw from representing the employer, the employee, and the insurer.

A certain client applied for a bank loan from Bib Bank based on a security interest in farm land and farm machinery. Big Bank required an opinion letter at the time of closing from the client's attorney... The client's attorney provided the opinion letter... Unknown to the attorney, a third-party had already acquired adverse possession rights in the property. The third party has also incurred unpaid bills that resulted in mechanics' liens on the property. All this occurred after the date of the preliminary title report. Which of the following is correct, based on these facts?

The attorney did not violate a duty of care to Big Bank by relying as stated in the opinion letter solely on the preliminary title report and not conducting any other investigation.

An attorney is a second-year associate at a law firm with no supervisory responsibilities. He learns that another second-year associate is working on a case in which the client is suing a company that the other associate used to represent at his previous firm, and the attorney suspects it is substantially related matter. The firm has done nothing to screen the other associate from the matter. No one ever discusses it with the attorney, and the attorney does not know all the facts of the situation. Later, the client sues the firm for malpractice due to the conflict of interest, and reports the matter to the state disciplinary authority. Which of the following is true regarding the attorney's involvement in the situation?

The attorney does not have disciplinary liability for the conduct of the other associate, because he is neither a partner nor in a supervisory position, and did not participate in the violations directly.

A certain client applied for a loan from a Big Bank based on a security interest in farm machinery that the client claims to own. Big Bank required that all borrowers provide an opinion letter at the time of closing from the borrower's lawyer... The client asked his attorney to provide the required opinion... Unfortunately, the attorney had in fact made no effort to verify the facts stated by checking courthouse records... he would have seen that the public records indicated several liens superior to Big Bank's security interest. Which of the following is correct, given these facts?

The attorney failed to conduct the investigation described in the opinion letter and therefore violated his duty of care.

Professor Stevenson was walking along through a high-crime neighborhood late at night, carrying his brief case, which contained copies of confidential and privileged correspondence between Professor Stevenson and his attorney. Robbers mugged Professor Stevenson and ran off with his brief case, which they soon discarded when they discovered that it contained no cash or valuables. The police recovered the brief case, but to identify its owner, they opened it and read the documents.... Professor Stevenson and his attorney claim attorney-client privilege protects the documents from admission as evidence in any criminal proceedings, but the prosecution claims privilege disappeared when the police had a good reason to inspect the contents of a lost brief case. Which side is correct?

The attorney is correct that privilege would still apply, and the documents are inadmissible.

The attorney is an associate at a small firm, and her supervising partner instructs her to draft pleadings in a case for a client. The supervising partner knows that the statute of limitations has already run on the claim, and that the client had virtually no factual evidence to support the claim in any case. The partner believes the opposing party will want to settle the claim quickly for a modest sum, and will not bother to investigate issues such as the statute of limitations or the factual support for either side. The attorney follows the partner's instructions and drafts the pleadings, without checking the statute of limitations for this particular claim or conducting her own investigation into the facts of the case. Opposing counsel, however, is upset over the frivolous claim and reports the attorney to the state bar. Which of the following is correct regarding the attorney's situation?

The attorney is probably not responsible for asserting a frivolous claim, and the fact that she was just following orders could support her defense that she was unaware that the claim was frivolous.

An attorney is an associate in a litigation firm representing plaintiffs. In her current case, her supervising partner instructs her to assert that the defendant had an affirmative statutory duty to protect the plaintiff's interests, even though the attorney can find no statute to support this assertion. The attorney has brought this to the attention of her supervising partner, who rebuked her for questioning his authority... Moreover, the partner says that the attorney may not last long at the time if she cannot follow instructions... the judge confronts the attorney about the unsupportable claim... The judge is irate and considers reporting the attorney to the state bar disciplinary authority. Which of the following is correct regarding the attorney's situation.

The attorney is responsible for asserting a frivolous claim, despite the fact that her supervising partner insisted that she do it and threatened her with termination.

An attorney is a fifth-year associate at a large firm, and is responsible for supervising the work of a first-year associate... He has not inquired into the associate's compliance with the Rules of Professional Conduct in over eighteen months, as they mostly communicate by e-mail... To the best of his knowledge, though, the attorney believes the associate is following the rules... Unbeknownst to the attorney, the new associate has been over-billing hours and has been neglecting certain client matters. Which of the following is true regarding the attorney's situation?

The attorney is subject to discipline as a lawyer having direct supervisory authority over another lawyer who failed to make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct, even though there was no direction, ratification, or knowledge of the violation.

An attorney is a partner in a medium-size firm. Another partner at the firm, the managing partner, is responsible for implementing policies and procedures to detect and resolve conflicts of interest.... The managing partner, however, now spends most of his time in Singapore... The managing partner is rarely at the home office and has completely neglected the implementation of ethical policies in the firm... One of the new associates has committed several serious violations of professional responsibilities... The attorney knew nothing about the violations and was not directly supervising the associate... Which of the following is true?

The attorney is subject to discipline as a partner in the firm for failing to make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.

A natural disaster struck a certain attorney's city and destroyed his office, including his records of his client trust accounts. What must the attorney do in response, to satisfy his ethical obligations to keep records of such accounts?

The attorney must attempt to reconstruct the records from available sources.

A highly experienced attorney represented Big Bank as the financer in a home sale... Under the terms of the transaction, the buyer was to pay the legal fees of the attorney. The buyer wrote an email to the attorney stating, "I have several questions about legal issues in the house purchase on which you are representing me." ... several phone conversations with the attorney in which the buyer made similar statements. What is the attorney's ethical duty in this situation, regarding the buyer?

The attorney must inform the buyer that the attorney represents only Big Bank, and that the buyer should not rely on the attorney to protect the buyer's interests in the transaction.

A natural disaster struck a certain attorney's city and destroyed his office, including many documents of intrinsic value belonging to clients. Which of the following would be one of the attorney's ethical duties as a result?

The attorney must make reasonable efforts to reconstruct documents of intrinsic value for both current and former clients, or to obtain copies of the documents that come from an external source.

A natural disaster struck a certain attorney's city and destroyed his office, including many documents of intrinsic value belonging to clients, that serve no useful purpose to the client or former client, or for which there are electronic copies. Which of the following would be one of the attorney's ethical duties as a result?

The attorney need not notify either current or former clients about lost documents that have no intrinsic value.

An attorney worked for a corporation as in-house counsel. The attorney discovered that the Chief Financial Officer falsified the corporation's quarterly earnings report to prop up the firm's share price, as the CFO's compensation is partly in stock opinions... The attorney believes, with good reason, that the violation will result in substantial injury to the organization... The attorney confronted the Chief Financial Officer, but this proved unfruitful, and then the Chief Financial Officer discharged the attorney. What should the attorney do in his situation?

The attorney should proceed as the lawyer deems necessary to assure that the organization's highest authority knows about the circumstances of the lawyer's discharge.

A recent law school graduate obtained her law license and spent several months searching for a job. Eventually, she went to work for a medium-sized corporation as in-house counsel... The newly licensed attorney was the first lawyer to work as in-house counsel at this corporation. After seven months, the attorney discovered that the Chief Financial Officer had falsified the corporation's quarterly earnings report to help boost the firm's share price... the attorney feared that the corporation would eventually face severe regulatory fines or civil liability for false earning reports. Whaat should the attorney do in this situation?

The attorney should start with the Chief Financial Officer, then take the matter up the chain of command in the organization if necessary, eventually bringing the matter to the board of directors if nobody in management will address the problem.

An attorney represented a client who had an explosive temper... the attorney received notice that the judge in the case had refused to qualify the attorney's expert witness to testify at trial. Without the expert, the client's case was unlikely to prevail... the attorney emailed the client and explained the setback in highly technical terms... A nonlawyer would have been unlikely to understand the conclusion - that the disqualification of the expert meant the client would lose the case and should withdraw or settle immediately. Based on the Model Rules, which of the following is true?

The attorney violated his ethical duty to the client by providing purely technical legal advice that would be unhelpful to a nonlawyer.

An attorney represented a client who was a potential defendant in a personal injury lawsuit. The victim of the accident has threatened the client with litigation unless the client can convince the victim's lawyers that the client is not at fault.... The client authorized the attorney to produce a large batch of documents... she overlooked one confidential memorandum by the client to the attorney that was in the bath of documents produced... the attorney was not negligent, but the mistake occurred nonetheless. As soon as the attorney discovered her mistake, she reasserted privilege on behalf of the client for that document. The victim's lawyer claims that the attorney waived privilege by disclosing it, even inadvertently. Which side is correct?

The attorney who made the inadvertent disclosure, without negligence, can properly reassert privilege.

An attorney is a licensed lawyer in a New England state, but has an office and represents clients exclusively in a southern state. The attorney confines her practice to immigration law, representing foreign-born clients in immigration hearings... There is often some question about whether the marriage is valid under local state law, which is a prerequisite for obtaining certain types of visas. Which of the following is correct?

The attorney's could be subject to discipline for the unauthorized practice of law in this southern state.

A wealthy client invited his attorney to visit the client's lavish home, so that they could update the client's will and other planning instruments.... a few others were present during their conversation about the client's estate planning issues: the client's longtime business partner, the client's new girlfriend, a housekeeper, one of the client's grown children, and the client's personal physician.... Two individuals would be necessary to witness the execution of an updated will, so the attorney was glad to have others present.... No one present was a party to the anticipated litigation... the attorney wrote personal notes about the meeting, including who was present and what each person had said... Which of the following would apply to the attorney's notes and mental recollections about the conversation with the client and others that were present?

The attorney's ethical duty of confidentiality to the client.

An attorney had a series of private meetings with a client about incorporating the client's new business venture as an LLC. The attorney kept careful notes of these discussions. Which of the following is true regarding these notes about the conversations between the attorney and the client?

The attorney's notes would come under the protection of the attorney's duty of confidentiality but not the work product doctrine.

An attorney represented Conglomerate Corporation, and she made a confidential report to Conglomerate's CEO, describing Conglomerate's contractual relationship with Supplier Systems, a large vendor. The attorney advised the CEO that Conglomerate could terminate its contract with Supplier without facing any liability. The CEO then sent a confidential memorandum to Conglomerate's purchasing manager... Months later, Conglomerate finds itself in litigation over a related matter, and the opposing party seeks discovery of what the attorney reported to the Conglomerate CEO... opposing counsel responds that Conglomerate waived privilege by sharing crucial aspects of the report with the purchasing manager, while asking for a business judgment. How is the court likely to rule?

The attorney's report to the CEO would remain privileged notwithstanding that CEO shared it with the purchasing manager.

A President appointed an experienced circuit court judge to fill a vacancy on the U.S. Supreme Court. During the Senate confirmation hearings, a committee member asked the candidate if he supported a textualist or originalist approach to interpreting statutes and the Constitution. How should the candidate respond?

The candidate may discuss his jurisprudence or views on statutory or Constitutional interpretation, but he should not indicate how he would rule on a specific upcoming case.

A President appointed an experienced circuit court judge to fill a vacancy on the U.S. Supreme Court. During the Senate confirmation hearing, a committee member asked the candidate if he would overturn Roe v. Wade if he had an opportunity to do so, or if he would uphold Roe v. Wade due to stare decisis. How should the candidate respond.

The candidate should refuse to commit beforehand to ruling a specific way on any given case.

An attorney specializes in estate planning. Besides being a lawyer, she is a certified public accountant (CPA). One of her clients hires her to prepare a will and handle the panning for a complex estate... The client asks the attorney to prepare her tax returns for the current year, given that the attorney is handling all the estate planning, and already has all the documentation about the finances and assets of client. The attorney agrees... Five Years later, the same client runs for Congress... a reporter asks the attorney how much the client paid in taxes in the year that the attorney prepared the tax returns. The attorney answers the question in detail... the attorney defends her action by explaining that the amount of taxes paid that year was information derived solely from her work as a CPA, under a separate retainer with due disclosures, and not as a lawyer. Who is correct here - the client, or the attorney?

The client is correct because the circumstances were such that the non-legal accounting services were not distinct from the legal services attorney was providing at the time.

An attorney sometimes recorded his interviews with clients, after obtaining permission from the client, especially when the client was recounting a long narrative about events that transpired, which had given rise to litigation. The opposing party in one lawsuit sought discovery of the recording of the client's narrative of the events to the attorney. Which of the following is most likely to result in the recording being discoverable?

The client played the recording at home for his friend to get his advice and input.

An attorney had a series of private meetings with a client about the subject matter of the representation. The attorney kept careful notes of these discussions. Sometime later, an opposing party in litigation moved to compel production of these notes. Which of the following is most likely to be a reason that the attorney would try claiming that they are attorney work product, rather than asserting attorney-client privilege for these notes?

The client's friend had been present during the conversations.

The police arrested Professor Stevenson and would not permit him to communicate directly with his attorney. Professor Stevenson asked his longtime friend and confidant, Sisyphus, to convey to his attorney that the attorney should not permit the police to search Professor Stevenson's home. Later, the prosecution calls the friend to testify about the contents of the message he related from Stevenson to his attorney. The attorney claims this information is privileged. How should the court rule?

The contents of the message transmitted through the friend are privileged and therefore both undiscoverable and inadmissible at trial, because the friend was acting as an agent of the client.

A small independent soda company had a delivery truck that collided with a school bus full of children on a field trip. The company's owner and the driver, who were co-defendants in the first lawsuit over the incident, met with their litigation attorney - the owner agreed to pay the fees for representing them both... The driver eventually filed a cross-claim against the owner for indemnification if the driver must pay damages to the plaintiff. At that point, the plaintiff sought to depose the attorney's accident investigator to discover what admissions the co-defendants made in the previous conversation. The owner objected. How is the court likely to rule?

The conversation comes under the protection of attorney client privilege because at the time it occurred, the driver and owner were both clients and the investigator was there to assist the attorney.

A client consulted with his attorney privately about how to wire funds to an offshore bank account legally, in a manner that would not violate tax laws or draw the attention of federal regulators. The attorney was not aware at the time that his client was engaged in illegal activity, and though he merely wanted a secure investment. Later, however, the client became the target of a federal prosecution on corruption charges. The prosecution subpoenaed the attorney to answer questions about the conversation with the client regarding wire transfers to offshore accounts. The attorney objected that this was a privileged communication between the client and the attorney. How is the court likely to rule?

The conversation is not privileged because of the client's illegal purpose in seeking the information.

An attorney handled the estate planning for an elderly client, which included the creation of a spendthrift trust, with the client's grandchildren as the beneficiaries... The client has now died, and the attorney who drafted the trust document for the client serves as the trustee. The beneficiaries, ages 21-23, have sued, seeking larger and more frequent disbursements from the trust. During discovery, the plaintiffs request production of all documents relating to the creation of the trust... The attorney, now the trustee, claims that these communications come under the protection of attorney-client privilege. How should the court rule?

The court should compel disclosure because attorney-client privilege normally does not apply in disputes between trustees and beneficiaries.

An attorney agreed to represent a plaintiff who sustained serious injuries three months earlier when she fell through a defective staircase on the defendant's premises... The defendant's lawyer, however, had visited the accident scene immediately after the accident and took photographs. Two weeks later, the defendant completely rebuilt the staircase... the plaintiff's attorney sought production of defense counsel's photographs of the scene, and defense counsel objected... How should the court rule?

The court should compel production of the photographs because there is no other way for the plaintiff to establish the condition of the staircase at the time of the accident.

An attorney represented a client in litigation. During the discovery phase of the matter, the opposing party sought to discover communications from a meeting that the attorney had previously organized to prepare for the case... The attorney resisted discovery based on the work product doctrine. The opposing party countered that the presence of other parties besides the attorney, the client, and their necessary agents waived the privilege. How should the court rule?

The court should deny discovery because the work product doctrine protects the information from disclosure.

An attorney agreed to represent a plaintiff who sustained serious injuries three months earlier when she fell through a defective staircase on the defendant's premises. The defendant's lawyer visited the accident scene immediately and took photographs... By that time, the defendant had completely rebuilt the staircase, adding additional handrails, bannisters, and other safeguards... the plaintiff's attorney sought production of defense counsel's photographs of the scene, and defense counsel objected that the photographs were non-discoverable attorney work product... The plaintiff's delay in securing counsel was due to her injuries and hospitalization, which were not her fault. How should the court rule?

The court should deny the motion because the photos depict a completely different staircase than the one that caused the accident, so they are no more helpful than photos the plaintiff could take now.

As part of its CJC, a state has adopted a rule prohibiting judicial candidates from personally soliciting campaign contributions. Disregarding this rule, a candidate running for a judicial seat in that state signed and sent a mass-mailing requesting that the recipients give financial support to her campaign. She also posted the letter online. The state bar brought a disciplinary action against the candidate for violating the no-solicitation rule. The candidate responded by claiming that the prohibition violated her First Amendment rights to free speech. When she seeks judicial review of her claim, how should the court rule?

The court will hold that the First Amendment allows the state to prohibit in-person solicitations by judges as well as campaign fund-raising letters.

A state legislature enacted a statute governing the license of attorneys and discipline for practitioners. The preamble to the statute asserts "field preemption" over the regulation of lawyers in that jurisdiction, thereby abolishing all prior rules and codes of the state bar. A lawyer comes under discipline under the new law and contests the legal validity of the enactment itself. What is the result?

The court will hold the law invalid because the judiciary has inherent power to regulate the attorneys who practice in its courts.

An attorney represented a defendant in a personal-injury action. The client made a confidential communication to the attorney concerning the circumstances of the accident. Later, in the judicial proceedings, the attorney was conducting direct examination of the client, and the client testified about the occurrence... When the plaintiff's lawyer began his cross-examination of the client, he asked whether the defendant's testimony was consistent with the account she previously gave to her attorney in confidence. The defendant's attorney objects that privilege applies to this conversation, but the plaintiff's lawyer asserts that the defendant waived privilege by discussing the same things in her court testimony. Which one is correct?

The defendant's attorney is correct that his client did not waive attorney-client privilege by testifying regarding the same facts at trial.

A small independent soda company had a delivery truck that collided with a school bus full of children on a field trip. The company's owner and the driver, who were co-defendants in the first lawsuit over the incident, met with their litigation attorney - the owner agreed to pay the fees for representing them both... The driver eventually filed a cross-claim against the owner for indemnification if the driver must pay damages to the plaintiff. At that point, the driver sought to depose the attorney's accident investigator to have him testify about the admissions the owner made in previous conversation. The owner objected. How is the court likely to rule?

The deposition can go forward, and the investigator's disclosures will be admissible, because the driver and the owner are not adverse parties in the litigation.

A federally-recognized tribe of Native Americans, the Jicarilla Apache Nation, brought an action against the Department of the Interior for mismanagement of tribal trust funds, in violation of federal statutes. During discovery, the plaintiffs requested production of certain government documents, but the government had a plausible claim that the documents in question came under the protection of attorney-client privilege. The plaintiffs countered that the fiduciary exception to privilege applied in this case because of the trust relationship between the United States government and the Native American tribes. How should the court rule?

The fiduciary exception to the attorney-client privilege does not apply to the general trust relationship between the United States and the Indian tribes.

An attorney made a lateral move to Small Firm. The managing partner had the attorney sign an employment contract on his first day, which included a provision under which the attorney agreed that upon leaving employment, he would pay his former employer ninety-five percent of any attorney fees earned in a contingent-fee settlement from any Small Firm clients who might allow follow the attorney when he left. The attorney worked for Small Firm for seven years, then left to start his own practice... the client chose to follow the attorney to his new firm, to continue the representation... The managing partner immediately notified the attorney that he had a contractual obligation to pay Small Firm... What is the proper result in this case?

The insurer should send the check to the attorney's new firm as loss payee, and the attorney should send no money at all to Small Firm.

A judge presided over a controversial, high-profile jury trial of a county clerk who engaged in civil disobedience and refused to issue marriage licenses to gay couples, even after receiving a court order to do so... the jury decided to engage in nullification and acquitted the county clerk of all charges. In shock, the judge chastised the jury for not honoring their oath to uphold the law, and for allowing their political views to influence their verdict in the case. Under the Code of Judicial Conduct, which of the following is true?

The judge could be subject to discipline for criticizing the jurors for their decision.

A judge has investments in a Felicity Mutual Fund, a large mutual fund that invests in "blue chip" stocks of well-established, large corporations that offer lower risk than other stocks. A case arises on the judge's docket involving Intec, a large company whose stocks are currently among those in the Felicity Mutual Fund's portfolio. Lawyers for the opposing party file a motion for the judge to recuse or disqualify herself because of these investments. Which of the following describes what the Code of Judicial Conduct would require of the judge in this circumstance?

The judge does not need to disqualify herself, because the stock holdings in Intec are indirect investments made through a mutual fund.

A traffic accident led to litigation. At trial, one of the witnesses explained that dense tree foliage blocked the visibility of drivers from seeing traffic that was turning their land from a side street. After court adjourned for the day, the judge checked the accident scene on Google Earth and discovered that the entire area had retail and commercial development along both sides of the road. Few, if any, trees remained in the area. Did the judge violate the Code of Judicial Conduct?

The judge's Internet search violated CJC Rule 2.9(c) because this is an adjudicative fact.

A partner gives an associate the typed notes from a previous client interview conducted by the partner, and the associate has the task of drafting a complaint for a personal injury lawsuit based on the allegations in the notes. The associate has no direct contact with the client, and does not really have any way to verify whether the notes represent everything discussed in the interview (the notes are not a transcript) or whether the allegations are factually accurate, truthful, or tell the complete story. The associate completes the task as assigned, drafting the pleadings based on the notes. The associate then submits the drafted complaint to the partner for review. Later, the pleadings turn out to be frivolous, based on complete falsehoods. Which of the following is true regarding the associate attorney's role in drafting the complaint?

The lack of opportunity for the associate to investigate or verify facts on her own will be a relevant factor for the state disciplinary authority in deciding whether to discipline the associate.

A lawyer who has previously done only residential real estate closings agreed to represent a new client in a complex estate planning matter for a client who owns numerous residential and commercial properties... the lawyer includes in the representation agreement a provision that limits his liability for any tax consequences or contested inheritance issues... The lawyer competently handled the disposition of all the real property within the client's estate except for one small parcel of commercial property... the lawyer made some serious errors with the federal reporting and notification requirements... later resulted in penalties assessed on the estate. In addition, the lawyer arranged for temporary storage of the art collection in a storage rental facility, without climate controls, and the most valuable paintings sustained damage. What adverse consequences could the lawyer face for his mistakes?

The lawyer could face both disciplinary action (for taking a matter for which he lacked competence and for neglect) and could be liable in tort under a bailment theory for the damaged artwork, and could face personal sanctions from the government for his erroneous reporting about the securities.

An attorney had a series of private meetings with a client about the subject matter of the representation. The attorney kept careful notes of these discussions, along with the attorney's reflection and concerns... an opposing party in litigation moved to compel production of these notes. Which of the following is most likely to be a reason that the attorney would assert attorney-client privilege for these notes, rather than claim they are attorney work product?

The need and hardship exception.

An attorney represented a defendant in a personal-injury action. The client made a confidential communication to the attorney concerning the circumstances of the accident.... The defendant declared, "I have testified exactly as I told attorney two days after this awful accident occurred. I explained to my attorney then that the skid marks made by the plaintiff's care were 200 feet long, and I have said the same things here.". The plaintiff's attorney then proceeds to ask questions about the discussions with her attorney, and the defendant's attorney objected that privilege applies to this conversation. The plaintiff's lawyer insisted that the defendant waived privilege by discussing the same things in her court testimony. Which one is correct?

The plaintiff's lawyer is correct that the defendant opened the door referencing the previous privileged conversations at trial, thereby waiving privilege for the prior conversation.

An attorney had a series of private meeting with a client about the subject matter of the representation. The attorney kept careful notes of these discussions, along with some of the attorney's reflections and ideas. Sometime later, an opposing party in litigation moved to compel production of these notes. Which of the following is most likely to be a reason that the attorney would assert attorney-client privilege for these notes, rather than claim they are attorney work product?

The representation pertained to an employee manual that the attorney was drafting for the client's business.

An attorney works at the state Public Defender office. Due to their insufficient funding and the overwhelming number of indigent defendants in her city, her caseload is so great that she cannot do adequate investigation... Her supervisor at the Public Defender office is aware of the unreasonable caseloads of all the attorneys who work there, but the supervisor wants the attorney to increase their caseloads in order to provide representation to more indigent defendants, even if that means doing minimal work on each case. Which of the following is true regarding the ethical situation facing the attorney and her supervisor?

The supervisor could be subject to discipline for not ensuring that a subordinate attorney can manage her workload, even if that means not assigning the lawyer any more cases for now.

An attorney is a new associate at a law firm, and the managing partner assigns her a new case, in which the firm will represent two co-plaintiffs in a personal injury case. The attorney is concerned that a conflict of interest could arise... When she discusses this with the managing partner, the managing partner disagrees... the managing partner insists that they proceed. Which of the following is true regarding this situation?

The supervisor's reasonable resolution of the question should protect the subordinate professionally if the resolution subsequently faces a challenge.

Three law partners have decided to incorporate their firm instead of continuing as a partnership, as their malpractice insurer has offered them a lower rate on their premiums if they incorporate and thereby reduce some of their join liability. They also want to make a clearer track for associates to become shareholders after reaching certain performance benchmarks. The articles of incorporation provide that when a shareholder dies, a fiduciary representative of the estate may hold stock in the corporation for a reasonable time during administration of the estate before transferring it to the heirs. Which of the following may the partners properly do as they incorporate?

They may provide, as stated, that when a shareholder dies, a fiduciary representative of the estate may hold stock in the corporation for a reasonable time during administration of the estate before cashing out the shares and transferring the funds to the heirs.

The attorney represents a sophisticated business client in a litigation matter. The attorney wants to hire an outside non-lawyer investigator/paraprofessional to help find and develop evidence and witnesses for the case. Client agrees, but wants the attorney to hire a particular outside company with whom Client has close business dealings and a long history. The attorney would normally have used a different firm that is more familiar to him. Which of the following is correct, according to the Model Rules and the accompanying comments?

Where the client directs the selection of a particular non-lawyer service provider outside the firm, the lawyer ordinarily should agree with the client concerning the allocation of responsibility for monitoring as between the client and the lawyer.

An attorney is a partner in a newer law firm that has no effective measures in place to ensure that lawyers in the firm conform to the Rules of Professional Conduct. An associate at the firm violates the rules, and the state bar investigates the policies and procedures in place at the firm. The state disciplinary authority has determined that the first attorney is subject to discipline for his failure to take reasonable measures to ensure conformity with the rules. Because of this determination and the subsequent sanction, which of the following is true?

Whether a lawyer may be liable civilly or criminally for another lawyer's conduct is a question of law beyond the scope of the rules; the determination of a violation does not automatically man that the partner attorney would be civilly or criminally liable.

A certain attorney made an informal agreement with Physician that would refer clients to each other when the situation seemed appropriate. They did not pay each other any money for referrals, but the relationship was explicitly reciprocal - the attorney referred patients who needed medical examinations to Physician, and when Physician had patients needing legal representation, he referred them to the attorney... each was free to refer clients to others... They always inform their clients when making such referrals that they have a reciprocal relationship. Is such an arrangement proper?

Yes, a lawyer may agree to refer clients to another lawyer or a nonlawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer, assuming clients are aware, and the relationship is not exclusive.

An attorney made an informal agreement with a physician that they would refer clients to each other when the situation seemed appropriate. They did not pay each other any money for referrals, but the relationship was explicitly reciprocal - the attorney referred patients who needed medical examinations to the physician, and when the physician had patents needing legal representation, he referred them to the attorney. The relationship was not explicitly exclusive - each was free to refer clients to others - but it happened that neither had similar reciprocal relationships with anyone else. They always informed their clients when making such referrals that they had a reciprocal relationship. Is such an arrangement proper?

Yes, a lawyer may agree to refer clients to another lawyer or non-lawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer, as long as clients are aware and the relationship is not exclusive.

An attorney worked for Big Firm for three years, and thereafter he took several of Big Firm's clients with him to start his own firm... Big Firm threatened litigation over the attorney's actions, but it did not follow through on the threats. The attorney then advertised on local billboards that he was a former Big Firm lawyer who would provide affordable legal services to working-class clients... A certain new client hired an attorney to represent him in a divorce proceeding and gave him several thousand dollars... The attorney deposited the money in his client trust account... Was this arrangement proper?

Yes, a lawyer may deposit funds from the client into a trust account and withdraw funds only as billable fees or expenses accrue.

An attorney had struggled all through law school with the volume of reading and memorization, and then she had struggled to establish a successful law practice because everything took so much time and acumen.... Conglomerate Corporation hired the attorney to represent it in a lawsuit in which it was the defendant... the attorney had told the plaintiff that the Board of Directors for her client, Conglomerate, had formally disapproved any settlement for more than fifty thousand dollars, even though Conglomerate's Board of Directors had in fact authorized a much higher settlement amount. Was it improper for the attorney to make such untruthful statements during settlement negotiations?

Yes, a lawyer must take care not to convey communications regarding the client's position, which otherwise would not count as statements of fact, in language that converts them, even inadvertently, into false factual representations.

Local police obtained photographs from partygoers, and the photographs showed minors from the local high school consuming beer and engaging in sexual activity at a recent drinking party. The police forwarded the photographs to the local prosecutor... in hopes of shocking the minors' parents into dealing with underage drinking, the prosecutor showed them photos of their children drinking and engaging in sexual activity at the party. All the parents saw all the photos, including those of other parents' children drinking, some unclothed and others partially clothed, at the party. Could the prosecutor be subject to discipline for his zealous advocacy against underage drinking?

Yes, a lawyer shall not use means that have no substantial purpose other than to embarrass or burden a third person.

An attorney faced disciplinary action over a client grievance. The disciplinary tribunal asked the attorney several probing questions about her handling of client funds. The attorney had, in fact, used some client funds to pay off a gambling debt... The attorney, therefore, simply refuses to answer the questions, without offering any explanation... it commences disciplinary proceedings over the attorney's refusal to answer some of its questions. The attorney now claims she was merely exercising her Fifth Amendment right to refrain from self-incriminating statements. Could the attorney be subject to discipline for refusing to answer the questions in this scenario?

Yes, a person relying on such constitution protections in response to a question must do so openly and not use the right of nondisclosure as a justification afterward for failure to comply with the rules requiring disclosures to the disciplinary authorities.

A lawyer represents the defendant in litigation over a car accident. The plaintiff who was driving the other car, was a childhood friend and neighbor of the lawyer - they still keep in touch. As the defendant's lawyer has known the plaintiff since childhood, he calls the plaintiff, who has retained counsel as well, to see if they can resolve the case without going to trial. Is the lawyer subject to discipline for calling his lifelong friend?

Yes, as a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has consent of the other lawyer or is authorized to do so by law or a court order.

An attorney lived in State A, but she had a license to practice in adjacent State B, where she worked for a law firm... A business owner who lived and worked in State B hired the attorney to help enforce a non-compete agreement against a former employee at their technology firm... The former employee lived in State A... The attorney decided that the first step would be to call the former employee and ask whether he has found another job yet or has started his own business. The attorney assumed that the former employee would not have retained counsel yet... the former employee answered that his own lawyer assured him that recent changes in state law made the previous agreement void... The attorney asked him to have his own lawyer contact him, so that they could discuss settlement options for the dispute, and then ended the call. Did the attorney acted properly?

Yes, as the prohibition on communications with a represented person only applies in circumstances where the attorney knows that the person is in fact represented in the matter under discussion.

A business owner hires a lawyer hoping to enforce a non-compete agreement against a former employee at their technology firm... The employee left the company on bad terms about three weeks ago... The lawyer decides that the first step is to call the former employee... the former employer says that his own lawyer says that the recent changes in state law make the previous agreement void... The lawyer asks him to have his own lawyer contact him so that they can discuss possible settlement for the dispute. Has the lawyer acted properly?

Yes, as the prohibition on communications with a represented person only applies in circumstances where the lawyer knows that the person is in fact represented in the matter to be discussed, and this means that the lawyer has actual knowledge of the fact of the representation.

After graduation from law school, an attorney had taken and passed the bar exam in two neighboring states, and she then had a license to practice law in each state. Her primary office was in her home state where he she lived... Seven years into her career, the attorney committed serious professional misconduct in her home state, and she received a public reprimand occurred entirely in her home state... The lawyer's conduct would have violated the rules in either of the jurisdictions where she had a license to practice law... the disciplinary authority in the neighboring state bar suspended her from the practice of law for one year in that state... The attorney appealed this suspension... She also contends that the second punishment raises double jeopardy concerns. Did the state bar in the neighboring state indeed have the legal authority to suspend her license there, if the alleged misconduct occurred entirely in the attorney's home state, and she had already received a punishment for it?

Yes, attorneys may be subject to the disciplinary authority of two jurisdictions for the same conduct and may receive different sanctions in each state.

A client retains an attorney to handle a criminal matter. The client delivers a retainer check to the attorney on Friday afternoon. The retainer check will only cover the work the attorney anticipates he will begin and complete the following Monday. Because the following Monday is a banking holiday, if the attorney deposits the retainer check into his client trust account on Friday afternoon, he will not have access to the funds until Tuesday. The attorney deposits the retainer check into his business checking account and pays himself on Friday before the firm closes with those funds. Is the attorney subject to discipline?

Yes, attorneys shall deposit amounts paid in advance into a client trust account and the attorney shall not withdraw the funds until fees are earned or expenses are incurred.

An attorney pays $1,000 per month for a billboard advertisement for his firm, $2,000 per month for a few radio commercials, $3,000 per month for Internet advertising, and $4,000 per month for newspaper and magazine advertisements. The total amount for advertising is $10,000. At the same time, the attorney's average total income from legal fees is $15,000 per month. Is it permissible for the attorney to spend such sums on advertising?

Yes, because a lawyer may advertise services through written, recorded, or electronic communication, including public media and may pay the reasonable costs of such advertisements or communications.

An attorney represented a seller in a business transaction involving industrial equipment. When the deal was complete, the purchaser sent the attorney a check for $7,000... The attorney notified his client immediately that the check had come in. The client was traveling at the time, and asked the attorney to hold the funds until he returned from his trip. The attorney... did not yet have a client trust account at any banks in the area, so he deposited the check in the client trust account in the neighboring state, where he had practiced until recently. He told the client that the funds would be in a separate client trust account, and explained that it would be out of state, and the client consented. As soon as the check cleared, the attorney wrote a check to the client for the full amount from the client trust account, which the client picked up in person. Did the attorney act properly in this case?

Yes, because a lawyer may deposit client funds in an out-of-state client trust account if the client gives informed consent to this arrangement.

An attorney represented a large corporation as a defendant in a toxic tort action... the corporate officers who retained the attorney emphasized the need to be discreet as long as possible... The representation necessitated that the attorney interview some of the employees involved in the incident that gave rise to the litigation... The lawyer felt that they had a right to know about the case as it could affect the company, and their jobs, so he explained who the plaintiffs were, how strong the evidence appeared to be on each side, and the potential liability the company was facing. Could the attorney be subject to discipline for sharing this information with the company employees?

Yes, because a lawyer may not disclose to company employees any information relating to the representation except for disclosures explicitly or impliedly authorized by the organizational client in order to carry out the representation.

An attorney agreed to prepare a will for a client, a wealthy widow with three grown children... the client now wants to modify the will to disinherit her only daughter, who disobeyed the client's wishes by marrying outside their nationality.... The attorney believes that disinheriting the daughter will ensure that the daughter and her husband will contest the will after the client's death, and will rupture the tenuous relationship between the siblings. The client did not ask for the attorney's advice about disinheriting the daughter, she just insisted on it. The attorney initiated a debate about it, explaining that he believed it could be against the client's best interest and would cause unnecessary acrimony between her children. Was it proper for the attorney to initiate such advice when the client did not ask for it?

Yes, because a lawyer may offer unsolicited advice to a client when doing so appears to be in the client's interest.

A church retains an attorney to challenge a new zoning regulation that would prohibit the church from constructing a new, expanded sanctuary on its property, attached to the existing church... The attorney agrees to take the case and then split any court-awarded legal fees with the church if they prevail. They win a favorable judgment; the court declares the regulation unconstitutional and awards legal fees, which the attorney shares with the church. Is the fee sharing proper?

Yes, because a lawyer may share court-awarded legal fees with a nonprofit organization that retains the lawyer in a matter.

In anticipation of a hearing before a federal agency in Washington D.C., an attorney travels to a Washington suburb in Virginia from her own state to meet with her client (from her home state), interview witnesses, and review relevant documents. The attorney makes weekly trips there over the course of a year, and spends most of her workweek there each time (four or five days), as the agency hearing pertains to a complex antitrust matter. The attorney solicits no new clients there, but works only on the matter for the client from her home state, but is nonetheless unlicensed in Virginia. Is the attorney's conduct proper?

Yes, because a lawyer rendering services in a foreign jurisdiction on a temporary basis does not violate the rules merely by engaging in conduct in anticipation of a proceeding or hearing in a jurisdiction in which the lawyer is authorized to practice law.

An attorney solicits campaign contributions on behalf of an elected judge who is running for reelection. The judge wins reelection and shows his gratitude to the attorney by frequently appointing him to represent indigent defendants at the state's expense... The fees from the appointments are disappointing, though, and the attorney later realizes that the fees earned from these appointments were not equal to the time the attorney spent soliciting the contributions. Could the attorney be subject to discipline for accepting these appointments?

Yes, because a lawyer shall not accept a government legal engagement or an appointment by a judge if the lawyer makes a political contribution or solicits political contributions for the purpose of obtaining that type of legal engagement or appointment.

An attorney discovers that a partner at his own firm has violated the Rules of Professional Conduct by failing to disclose adverse binding precedent to a tribunal, and by depositing client funds into his own bank account instead of a client trust account. Does the attorney have a duty to report the partner from his own firm to the state bar disciplinary authority?

Yes, because a lawyer who knows of a violation of the Rules that raises serious questions about the other attorney's honesty must report it to the state disciplinary authority.

The attorney hires a nationally known internet-marketing specialist, a tech guru, to help develop the firm's reputation and attract new clients. The Internet specialist has made millions on previous tech startups, while the attorney is relatively unknown and has been practicing for only two years. The tech guru demands certain terms in the contract that require the attorney to confer with the tech guru about accepting clients that were former clients of the tech guru, in order to avoid conflicts of interest. The attorney must also clear any litigation positions, approaches, or strategies that pertain to intellectual property or Internet marketing liability with the tech guru, to avoid positions that would jeopardize the guru's other business. Is the attorney subject to discipline for this arrangement?

Yes, because a non-lawyer has a contractual right to direct or control the professional judgment of the lawyer.

An attorney practices personal injury law, representing plaintiffs on a contingent fee basis. The attorney employs a paralegal to assist with the preparing documents for litigation. The paralegals' salary arrangement is 10 percent of the firm's total net revenue each year. In years when the attorney wins several large cases, the paralegal receives higher wages, and in years when the attorney has no big wins, the paralegal receives almost nothing. The paralegal does not bring clients to the firm, but does participate in judgments about which clients to represent, how to structure contingent fee arrangements, and how much to seek in damages after a verdict, as these matters directly affect the paralegal's income as well as the attorney's. Is the attorney subject to discipline for this arrangement?

Yes, because a non-lawyer has a right to influence the professional judgement of the lawyer under this arrangement.

A state bar pro bono program arranges for lawyers to volunteer at police stations and county lockups to give limited-scope representation to arrestees who plan to proceed pro se, advising them mostly on their pre-trial rights (the right to remain silent, to have court-appointed counsel at trial, and so on)... a local prosecutor receives a case assignment involving a pro se defendant. At the outset of the plea negotiation session, must the prosecutor ask the defendant if he has already received legal advice on a limited basis from a volunteer lawyer, and if so, refrain from further discussions until he has conferred with the other lawyer?

Yes, because any prosecutor in that situation has reason to believe that the unrepresented defendant received limited-scope legal services on some portions of the case.

The parents of an autistic child submitted a complaint to a vaccine manufacturer, claiming that its early childhood inoculation for Mumps-Measles-Rubella had caused the child's autism... Its in-house counsel investigated the complaint, and eventually concluded that the matte posed no legal issues for the company, because of a federal statute that shield vaccine manufacturers... The attorney wrote a legal memorandum to the company's management describing his research and conclusions... If the parents of the child later file a lawsuit anyway, would the facts that the attorney's memorandum included be discoverable, and admissible at a subsequent trial?

Yes, because attorney-client privilege does not apply to underlying facts, even if those facts were under discussion in an otherwise privileged communication.

An attorney calls his friend, a close personal acquaintance, who was recently arrested for driving while intoxicated. The attorney advises that he saw the friend's arrest on the local police news and offers to represent his friend for the attorney's usual fee for handling such cases. The friend hires the attorney to represent him on the case. Are the attorney's actions proper?

Yes, because attorneys can solicit professional employment from family members, close personal friends, and persons with whom the attorney had a previous professional relationship.

An attorney made substantial financial contributions to the reelection campaign of an elected judge. The judge wins reelection and shows his gratitude to the attorney by frequently appointing him to represent indigent defendants at the state's expense... The attorney claims that he made the donations not because he hoped to receive such appointments, but because he honestly believed that the judge was the best candidate for the position, though he could not explain why... the attorney gave more than every other lawyer or law firm in the judge's district. Could the attorney be subject to discipline for accepting these appointments?

Yes, because contributions that in the aggregate are substantial in relation to other contributions by lawyers or law firms, made for the benefit of an official in a position to influence award of a government legal engagement, and followed by an award of the legal engagement to the contributing or soliciting lawyer or the lawyer's firm would support an inference that the purpose of the contributions was to obtain the engagement.

A criminal court found that a lawyer had engaged in domestic violence against his partner, and convicted the lawyer of misdemeanor-level batter, for which he served a six-month term of probation. Could the attorney be subject to professional discipline as well?

Yes, because crimes of violence indicate a lack of the character traits required for law practice.

An attorney represented a father at a child support modification hearing before a judge. During the hearing, the attorney made repeated disparaging references to the fact that the mother was indigent and receiving legal services at no charge. Could the attorney be subject to a public reprimand for these comments?

Yes, because discrimination against persons based on their source of income or acceptance of free or low-cost legal services would be examples of discrimination based on socioeconomic status.

An attorney represents a client who went through a divorce several years ago in another state, and the divorce resulted in a court order for child support and spousal maintenance. The client then moved to the attorney's state, started a new career in politics, and formed new relationships. She has kept her previous divorce a secret... Recently, she hired her attorney to handle various legal matter, which included issuing a press release about her withdrawal from a political campaign... he mentioned the client's previous marriage and divorce. Did the attorney violate the duty of confidentiality?

Yes, because even disclosures of information contained in the public record must have client authorization.

A criminal defendant received a death sentence after his murder conviction... a court-appointed lawyer representing the defendant at state expense, had already been representing the defendant in an earlier manslaughter (noncapital) case, which he was handling on a pro bono basis... the attorney filed a motion alleging newly discovered evidence of innocence... A state statute prohibited state-appointed capital counsel from representing a capital defendant in a noncapital proceeding at state expense. Can the attorney avoid disqualification because he is handling the noncapital case pro bono?

Yes, because extending the statute to pro bono representation of the capital defendant in other cases would constitute an impermissible restriction on the right to practice law.

An attorney agreed to write a recommendation letter for admission to the bar on behalf of the law student who had worked for him part-time throughout law school...On one occasion, the student intern had confided in the attorney that she had faced academic discipline for plagiarism on a law school seminar paper, and that she was very ashamed of herself about the incident and had accepted a failing grade in the class... The attorney did not mention this incident at all in his "character and fitness" recommendation to the state bar, because he felt it was out of character and did not represent the way the student normally behaved at the workplace... Could the attorney who wrote the favorable recommendation be subject to discipline for filing to mention or address the incident?

Yes, because he did not disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter in connection with an admission to the state bar.

An attorney represented a female client, the wife in a marriage-dissolution action. The husband had retained a lawyer at Boutique Firm to represent him. Meeting without either lawyer present, the wife and husband negotiated the outlines of an agreement providing for property division and child support. The wife then brought the husband to the attorney's office to have the agreement reduced to writing. The attorney welcomed both the wife and the husband and engaged in a discussion of provisions of the agreement with both the husband and wife. Has the attorney violated the Model Rules?

Yes, because he met with a represented opposing party without opposing counsel being present.

An attorney hired Receptionist because of her good looks and because her brother was in the attorney's college fraternity, but he did not check into her background at all or ask for references... three months later, there arose a problem with funds missing from client trust accounts... at this point the attorney learns that Receptionist has an arrest record for theft and embezzlement on several occasions in the past. The attorney lectures Receptionist about it but allows her to keep her job because nobody can prove her guilty... When additional complaints arise over misappropriated client trust funds, would the attorney be subject to discipline?

Yes, because he was negligent in the hiring and supervision of nonlawyer employees.

An attorney was renting law-office space from an individual property owner. At one point, the attorney was late with his rent, and he soon received a letter from another lawyer, who was representing the property owner... The attorney visited his property owner in person, without the prior consent of the property owner's lawyer... Was it proper for the attorney to do this?

Yes, because he was visiting the property owner as a tenant, not as the representative of another party.

In anticipation of a round of settlement negotiations over a business partnership breakup, a client authorized his lawyer to disclose that the client was having personal financial troubles, but added that the lawyer should "leave it at that—don't elaborate too much." ... when the other parties pressed the lawyer about why his client seemed so inflexible about a settlement amount for dissolving the partnership, the lawyer said that his client was having personal financial problems... The lawyer then explained that everyone in the room must keep the following information completely confidential, and went on to explain that his client was on the verge of bankruptcy due to a gambling problem.... He also explained, in a hushed tone, that the client had even assigned his equity share in the partnership to a business rival of the partnership in order to pay off a personal loan... One of the other attorneys, however, checked the terms of the original partnership agreement, and informed the rest that equity interest in the company were unassignable without a majority vote of the other partners, making the assignment legally void. Could the lawyer be subject to discipline for the disclosure he made at the settlement conference?

Yes, because he went beyond what the client had authorized him to disclose, thus breaching his duty of confidentiality to the client.

An attorney obtained admission to the bar in New York and practiced there for two years. She worked for Big Firm, which has offices in five states and a few locations overseas... the firm transferred her to its office in San Diego, California. The attorney then applied for admission to the California bar under a reciprocity arrangement, and the state bar admitted her without make her re-take the bar exam. After practicing in California for three years, somehow the New York state bar learned that the attorney had made false statements on her original bar application about misdemeanor arrests during college. The New York bar informed the California state disciplinary authority about this problem, and the California state bar commenced disciplinary proceedings against the attorney in California. Can the attorney be subject to discipline in California for false statements made on her bar application in another state?

Yes, because if a person makes a material false statement in connection with an application for admission, it may be relevant in a subsequent admission application or disciplinary proceeding elsewhere.

An attorney served as general counsel for a municipal auditing and enforcement bureau, which monitored the internal affairs and expenditures of the municipal government. The attorney discovered that the head of the bureau engaged in selective enforcement and self-dealing, and he suspected that bribery had occurred in a few instances... the attorney then needed to proceed up the chain of command. Can the attorney, now serving as general counsel for a government bureau, report wrongdoing to anyone higher within that municipality?

Yes, because if the action or failure to act involves the head of a bureau, either the department of which the bureau is a part, or the relevant branch of government may be the client for purposes of the Rules of Professional Conduct.

An attorney represents a corporation. One of the corporation's delivery trucks, driven by a corporation employee, had a tragic accident with a school bus full of children, and many children died.... the corporation's attorney visited the truck driver in the hospital and interviewed him about the accident. The attorney did not explain that he was not representing the driver, or that the driver should retain his own lawyer. The unsophisticated driver may have assumed that his employer's lawyer was also looking out for his (the driver's) interests. The driver made some incriminating admissions to the lawyer about being slightly intoxicated at the time of the accident and having been careless while driving. He also admitted that at the time of the accident, he had taken the corporate delivery truck off its assigned route to attend to some personal business for about twenty minutes. Could the attorney be subject to discipline in this case?

Yes, because in dealing with an organization's employees, the lawyer should explain the identity of the client when the lawyer should reasonably know that the organization's interests are adverse to those of the employee with whom the lawyer is dealing.

An attorney represents a client, who lost his criminal appeals and is now serving a life sentence in a federal penitentiary. The client confesses to the attorney that he (the client) committed a murder for which a jury incorrectly convicted another (innocent) man.... The attorney lectures the client about the morality of this situation... and pleads with the client to reveal the truth. Was it proper for the attorney to bring morality into his consultation with the client, and to sermonize on this point for a few moments?

Yes, because in rendering advice, a lawyer may refer not only to law but to other considerations such as moral factors.

An attorney made and distributed bumper stickers advertising for his firm that simply provided a catchy phone number: 1-800-LAWYER-1. The phone number rolled over to the attorney's office phone. The bumper stickers included no other information. Could the attorney be subject to discipline for such an advertisement?

Yes, because it does not include the name and office address of at least one lawyer or law firm responsible for its content.

An attorney faced a disciplinary action over accusations that she had neglected a client matter and had not communicated enough with the client. The state disciplinary authority requested a written account of her version of what happened... At the conclusion of the hearing, the disciplinary tribunal decided that the client complaint was without merit... it also concluded that the attorney had answered one question during the hearing untruthfully... The tribunal therefore filed a separate grievance against the attorney for the misrepresentations. Could the attorney be subject to discipline for incidental misrepresentations to the grievance committee if the same committee had decided that the underlying case had no merit and issued a dismissal?

Yes, because it is a separate professional offense for a lawyer to knowingly make a misrepresentation or omission in connection with a disciplinary investigation of the lawyer's own conduct.

An attorney knew about another lawyer's involvement in an illegal money laundering enterprise, although the money laundering was unrelated to the other lawyer's law practice or representing of clients. Eventually, when federal law enforcement officials bring criminal charges against the other lawyer, who is part of another firm, the first attorney's awareness of the situation becomes evident. Could the attorney who knew of the wrongdoing and ignored it be subject to discipline?

Yes, because it is a violation of the Rules of Professional Conduct to fail to report serious fraud or criminal activity by another lawyer.

Attorney Stevenson's law firm is simply "The Law Offices of Attorney Stevenson, Esq." Attorney Stevenson specializes in courtroom litigation. His website address is www.mytrialattorney.com. He selected this domain name and registered it so that he could use it for his law firm's website. Is this website address/domain name proper for Attorney Stevenson's law firm?

Yes, because it is not misleading, and a lawyer or law firm may also use a distinctive website address or comparable professional designation.

An attorney advertised in a local newspaper. His advertisement reads, "I never charge more than $200 per hour for any type of legal work, and for simple legal problems such as uncontested divorces or name changes, I charge even less." The attorney once had a particular complicated, tedious case in another jurisdiction for which he charged $250 per hour... Could the attorney be subject to discipline for this advertisement?

Yes, because it is not true that he never charges more than $200 per hour.

While cross-examining a Hispanic witness during a trial, a defense attorney grew frustrated at the witnesses' evasive answers, and finally asked the witness if "his people" or others "in his community" regularly lie under oath on the witness stand.... Could the attorney be subject to discipline for this question?

Yes, because it is professional misconduct for a lawyer in the course of representing a client to say things that manifest bias or prejudice based upon race or national origin.

A judge asks the two lawyers in a case to help him conduct some first-hand investigation of the facts. At the judge's request, the plaintiff's lawyer and the defendant's lawyer together drive the judge to the location where the accident occurred that became the subject of the litigation and allowed the judge to take measurements and photographs of the scene from different angles... Could the lawyers be subject to discipline for this conduct?

Yes, because it is professional misconduct for a lawyer to assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.

An attorney faced prosecution for failing to file tax returns over a five-year period. The attorney worked for a legal aid clinic and never charged clients any legal fees, as the clinic provided free representation to the indigent. The attorney received a modest salary from the legal aid clinic, the funds for which came from the state's IOLTA program and from a federal Legal Services Corporation (LSC) grant. Could the attorney face suspension of his license to practice law?

Yes, because it is professional misconduct for a lawyer to commit a criminal act that reflects adversely on the lawyer's honesty.

After practicing for two years, an attorney enrolled in an L.L.M. program at a local law school, taking night classes. During his second semester, the attorney faced academic discipline for plagiarism in a seminar paper; the school permitted him to graduate, but he received a failing grade in the class and had to make up the credits with another course. As the attorney already has a license to practice law in the jurisdiction, could he be subject to discipline if the state disciplinary authorities learned of the plagiarism?

Yes, because it is professional misconduct for an attorney to engage in conduct involving dishonesty, fraud, deceit, or misrepresentation.

After a long, distinguished career as a solo practitioner in a major city, an elderly attorney agrees to join a newer law firm on the condition that the firm would pay $1000 per month after the attorney's death to his sister, who is 74 years old, until her death. The attorney's sister is not a lawyer. The firm agrees to this arrangement, in addition to making the attorney a partner with a 15% share in the firm. Is this arrangement proper?

Yes, because it is the payment of money over a reasonable period after the lawyer's death to a specified person.

A local furniture store decided to make a low-budget television commercial telling customers that the store was having its best clearance sale ever. The owner of the store lived next door to a state trial judge, who had held his judicial seat for twenty years and was well-known in the community. At the request of the furniture store owner, the judge agreed to appear in his judicial robe in the television commercial, recommending the store and its owner to the viewers. Could the judge be subject to discipline for this commercial, under the Code of Judicial Conduct?

Yes, because it violated the Code of Judicial Conduct for a judge to appear in judicial robes in business advertising.

An attorney outsources complicated legal research to a firm that exclusively provides background legal research for lawyers. Her newest corporate client is a nationwide business with branches operating in all fifty states, so the corporate client needs information about its legal responsibilities regarding a certain issue in every state - a state-by-state survey. The attorney calls herself a sole practitioner. Could the attorney be subject to discipline for failing to inform the corporate client that she plans to outsource the 50-state survey to a research firm?

Yes, because lawyers must not misrepresent their partnership with others or other organizations.

An attorney in a small partnership decided it was time to retire. The partnership agreement had clear provisions for the retirement of partners, in which the partnership would buy out the retirement partner's share, including an hourly prorated amount for work on matters that were still pending and had not yet generated divisible fees. The retirement provisions also provided a substantial pension for the retiring partner, purchase of a single-term life insurance policy, and separate payments from an annuity. A condition of these retirement benefits was that the partner permanently leave the practice of law. Is this condition proper?

Yes, because restrictions on the right to practice law are permissible as a condition of retirement benefits.

An attorney is representing a corporate client on a variety of litigation matters. The attorney receives a subpoena (compulsory process) for information and a document relating to one of her corporate clients. The attorney promptly produces the information and document required by the subpoena, and then informs the client. Could the attorney be subject to discipline for this action?

Yes, because she did not consult first with the client before making the disclosure.

An attorney received a small settlement check from a client for the opposing party on Christmas Eve, late in the afternoon. All the support staff at the firm had already gone home for the day, due to the impending holiday, and the firm was to stay closed until January 2. Attorney was rushing to catch a flight to Europe, where she planned to spend the holidays with her family. On January 2, when attorney returned and the office reopened, attorney promptly notified the client that the check had arrived. Could the attorney be subject to discipline for her actions in this case?

Yes, because she did not notify the opposing party soon enough.

An attorney works for a state-operated legal aid clinic, which under a state statute counts as a social service agency. The state has a mandatory reporting law for child abuse... The attorney met with a prospective client and her child to discuss potential representation at a welfare termination hearing... the attorney had to decline the case. Nevertheless, it was evident during the interview that the prospective client's child was the subject of serious physical abuse... The attorney wanted to talk to the mother about it, but the attorney has been unable to reach her since declining to represent her. Must the attorney report the prospective client for child abuse?

Yes, because state law requires the disclosure, and a lawyer may reveal information relating to the representation of a client to the extent the lawyer has a reasonable belief that it is necessary to comply with other law.

An attorney uses an outside billing service to track client billing and send bills to clients each month. The attorney keeps track of his time, and submits computerized reports by e-mail to the billing company at the end of each workday about how much time he spent on which tasks for which client. The billing company calculates the monthly totals and sends detailed bills to clients on the attorney's behalf. The attorney found this outside billing company online, visited their website, downloaded their app, and used their online lawyer registration form to create an account with the company. At one point in setting up the account and downloading the app, the attorney had to click on an "I accept the terms and conditions" of a long user agreement that he attorney scrolled through quickly, without reading. Clients are not aware that the attorney uses and outside billing service until they receive their bills. Has the attorney violated his ethical duties to his clients?

Yes, because submitting the client names, time worked, and tasks involved constitutes a disclosure of confidential information for which clients must provide informed consent beforehand.

A litigation attorney from Big Firm was representing Conglomerate Corporation as the defendant in a civil matter. The attorney learned that the opposing party had hired an expert witness to support their claims, so she decided to initiate an ex parte contact with the expert witness.... opposing counsel had asked the expert not to discuss the case with the inquiring lawyer. Nevertheless, the attorney persisted and eventually persuaded the witness to tell him some of his ides and conclusions so far about the case. Was it proper for the attorney to convey to the opposing party's expert witness that he must speak to her?

Yes, because the Model Rules do not establish an automatic bar to lawyers initiating contact with the opposing parties' experts.

Conglomerate Corporation routinely hires outside counsel for legal matters, and it requires the lawyers to sign an Outside Counsel Agreement (OCG) that contains the following provision:... Would it be improper for an attorney to enter into this agreement, if it includes this OCG provision?

Yes, because the OCG provision creates an impermissible restraint on the attorney's right to practice law.

An accountant advised Professor Stevenson to consult a lawyer about a legal problem involving complex questions of tax accounting.... he asks his accountant to accompany him to a consultation with his attorney so that the accountant can explain the nature of Professor Stevenson's legal matter to the attorney... Would attorney-client privilege still protect these consultations against subsequent discovery by government lawyers in a tax enforcement action against Professor Stevenson?

Yes, because the accountant is acting as the client's agent in this scenario, just as if he were a foreign language interpreter.

Conglomerate Corporation was a defendant in multi-district litigation, and a plaintiff's attorney represented many different plaintiffs in these related cases against Conglomerate. The attorney and Conglomerate reached a settlement agreement for one group of claimants. The settlement was generous toward those plaintiffs, but it included an agreement by the attorney to withdraw as counsel from representing the other plaintiffs in related cases who had not yet settled their claims. Is the attorney correct in believing it would be improper to sign this agreement with this group of plaintiffs?

Yes, because the agreement would be an impermissible restriction on the right to practice law.

An attorney is active within a new political movement and she has represented several members of the movement, who faced arrest or criminal charges for protesting and picketing. The attorney learns that police have arrested one of the prominent leaders of the movement... the movement leader is already out on bail... the attorney calls the leader and offers to represent him in his case free of charge... The leader agrees to have the attorney represent him on a pro bono basis... Was it proper for the attorney to make his telephone solicitation?

Yes, because the attorney did not charge for providing these legal services.

An attorney has a busy transactional practice and frequently must handle client funds, either for making commercial purchases, sales, leases, dispute settlements, or other transfers. The attorney faithfully deposits client money in a separate trust account and does not commingle the funds with his own, except that he deposits enough of his own money in the account to cover the monthly bank service charges. The attorney keeps complete, accurate records of all deposits and withdrawals for a full year, after which he destroys the records to preserve client confidentiality. Is the attorney acting improperly?

Yes, because the attorney did not keep records for a long enough period.

An attorney employs an experienced legal assistant to manage administrative matters in the firm, including the client trust accounts. The attorney provided the legal assistant with detailed instructions about client trust accounts... The attorney also sent the legal assistant to attend CLE courses and workshops... Due to the legal assistant's thorough training, competence, and experience, the attorney reviewed the client account books cursorily once a year during the annual review of the employee. Eventually, an audit by the state disciplinary authority revealed numerous discrepancies in the bookkeeping... The attorney had no actual knowledge of the discrepancies or problems regarding the client trust accounts. Is the attorney subject to discipline?

Yes, because the attorney did not make reasonable efforts to ensure that the legal assistant's conduct was compatible with the professional obligations of a lawyer.

Client, a large auto dealer, retains an attorney to represent him in a bankruptcy case. The attorney's firm represents a bank, through which the client has several large loans that covered loans for the dealership. The loans are all contained in the bankruptcy. The attorney is concerned about whether there is a conflict, so he contacts a lawyer friend of his. While explaining his dilemma, the attorney tells Friend the name of the dealer. Is the attorney subject to discipline?

Yes, because the attorney disclosed more than what details were necessary to accomplish his purpose.

Small Firm is considering hiring Attorney, who currently works for Big Firm, in a lateral move. Attorney is a transactional lawyer, so none of the information he possesses is "privileged" in that it was not in anticipation of litigation. In order to check for conflicts of interest, Attorney discloses to Small Firm the clients he has represented while at Big Firm. This includes the names of persons and issues involved in the matters, as well as names and issues for matters handled by other lawyers in the firm about which Attorney had overheard or otherwise acquired some confidential information. Small Firm uses the information solely for checking about potential conflicts of interest before making an offer of employment to Attorney. Attorney did not ask any of the clients for authorization to disclose the representation or the nature of the issues involved in their matters. Was it proper for Attorney to disclose this confidential information without the consent of the clients?

Yes, because the attorney disclosed the information solely to detect and resolve conflicts of interest arising from the lawyer's change of employment.

Big Bank hires outside counsel to handle its mortgage foreclosure cases against borrowers who are in default. An attorney agrees to handle a matter for Big Bank, but the engagement contract between the attorney and Big Bank specifies that the attorney may not represent clients in the future who have adversarial claims against Big Bank, and that the attorney agrees to disqualification in any case in which Big Bank would be the opposing party in litigation. The attorney recognized that this term would be unenforceable in court, and he accepted the appointment as outside counsel. Were the attorney's actions improper under the Model Rules of Professional Conduct?

Yes, because the attorney has entered into an employment agreement that restricts his right to represent future clients who sue Big Bank or whom Big Bank sues.

An attorney worked for a corporation as in-house counsel. The attorney discovered that the Chief Financial Officer falsified the corporation's quarterly earnings report... The attorney knows that these misrepresented earnings appeared in the filings to the Securities and Exchange Commission... The attorney thus reasonably believes that the violation is reasonably certain to result in substantial injury to the organization. The attorney confronted the CFO, but this proved unfruitful, and then he proceeded up the corporate chain of command... The officers and directors refused to address the problem because they thought it would send their stock prices into a freefall... Would it now be proper for the attorney to become a whistleblower and reveal the problem to the relevant government authorities?

Yes, because the attorney has exhausted all other reasonable avenues to address the problem internally, so the lawyer may reveal information relating to the representation whether or not Rule 1.6 permits such disclosure.

An attorney has a license to practice in the state in which his firm operates. He hires as an associate, a law school friend who does not have a license in the state... The attorney gives the associate attorney only simple cases that require mostly scrivener's work (paperwork)for the clients... Any clients whose matters seem to require actual litigation go to the attorney; the associate handles only non-litigation forms and filings for clients. Is the attorney subject to discipline for this arrangement?

Yes, because the attorney is assisting another person in the unlicensed practice of law in his jurisdiction.

A client retains his attorney, who has represented the client in the past, to represent him in litigation in another state, where the attorney is unlicensed... The attorney files a pro hac vice appearance in the matter, which the local court accepts, and begins preparing for trial there... the attorney never explained the licensing requirement and that he would need permission from the court there to handle the case. Then the attorney prevailed in the matter on behalf of the client, kept his agreed-upon contingent fee, and gave the client the remaining proceeds and unused retainer funds. Which of the following is true?

Yes, because the attorney is merely facilitating the collection agency in the unauthorized practice of law.

An attorney is a joint-owner of a collection agency. Whenever the agency's initial efforts to collect prove unsuccessful, the staff at the agency sends the delinquent debtor a demand letter on the attorney's law firm letterhead, threatening to commence litigation if the matter does not reach a resolution within 30 days. The attorney authorized the staff at the agency to send these demand letters, but the attorney is too busy to review all the letters on behalf of the attorney's firm. Will the attorney be subject to discipline for authorizing these letters?

Yes, because the attorney is merely facilitating the collection agency in the unauthorized practice of law.

A certain attorney is a friend of Blogger, who operates a successful local blog about events, news, and gossip about their city. Blogger includes posts about local judges and well-known lawyers. The attorney has a secret agreement with Blogger. The attorney passes along tips to Blogger in the form of courthouse gossip... Blogger, in turn, covers the attorney's successful cases in glowing terms and recommends the attorney to his readers... The attorney occasionally purchases a small, inexpensive advertisement on the site... Could the attorney be subject to discipline?

Yes, because the attorney provides something of value to Blogger in exchange for recommending his services.

An attorney has a busy transactional practice and frequently must handle client funds, either for making commercial purchases, sales, leases, dispute settlements, or other transfers. The attorney faithfully deposits client money in a separate trust account and does not commingle the funds with his own, except that he deposits enough of his own money in the account to cover the monthly bank service charges. He also put $1,000 in the account when he opened it and left it there, as a buffer in case there were any accounting errors... The attorney keeps complete, accurate records of all deposits and withdrawals for seven full years, after which he destroys the records to preserve client confidentiality. Is the attorney acting improperly?

Yes, because the attorney should not have deposited the $1,000 buffer from his own funds in the account.

An attorney earned her Juris Doctor degree from a prestigious law school and easily passed the state bar exam, gaining admission to the bar in her home state. She worked for three years for a legal aid clinic... At the end of her third year at the clinic, the attorney decided to start her own firm... As soon as she ended her employment at the legal aid clinic, she sent a certified letter to most of the lawyers in her geographic area describing her experience and explaining that she was starting her own firm and intended to specialize in low-dollar consumer protection... The letter concluded by offering to handle such cases for other lawyers if the other lawyers did not want to invest their time on such low-dollar matters. Were the attorney's actions proper?

Yes, because the attorney's statements were not false or misleading and the letter was an appropriate announcement of the opening of her new firm and her intent to specialize in certain areas of law.

An attorney met a small business proprietor in a social event, and the proprietor mentioned that he routinely hires lawyers for lease and contract issues.... the proprietor called the next day to engage the attorney to provide these types of legal services... the attorney noticed some serious discrepancies and legal issues... he sent the client an email explaining that he might face regulatory fines and even criminal sanctions if the client did not resolve the matter immediately. The client sent a reply email directing the attorney to shred the entire contents of that box of filing, and he did so.... law enforcement sough to compel disclosure of the emails... The attorney claimed attorney-client privilege for the private email communications he had with his client. Should a court compel the production of the emails?

Yes, because the communications, though confidential, were in furtherance of committing a crime or fraud.

An attorney represented a client in a misdemeanor criminal matter involving minor vandalism. The attorney interviewed the victim, who incurred the property damage... The property owner explained to the attorney that the client had been demanding "protection money"... the vandalism followed his refusal... the attorney realized that the client could face much more serious charges for extortion. The attorney never discussed this with the client, and the client gladly accepted the plea bargain... Several years later, the client dies in a car accident... A reporter eventually found the attorney and interviewed him about the vandalism incident... The attorney explained that the incident was actually part of a larger extortion operation and that the business owner had handled the matter nobly. Should the attorney be subject to discipline for this disclosure?

Yes, because the confidentiality rule applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source.

Conglomerate Corporation has several overseas facilities, and a mid-level manager at one of these locations bribed local government officials to obtain lucrative government contracts... An internal corporate investigation of the matter ensured... in-house General Counsel sent written inquiries to the wrongdoer's counterparts in each of its overseas branches, asking whether similar payments or bribes were occurring elsewhere... the Department of Justice lawyers sought discovery of all the original written responses to these internal inquiries. The corporate directors and General Counsel refused, claiming that the information was privileged. Should Conglomerate Corporation be able to resist production of these documents as privileged?

Yes, because the corporate directors requested the information from the in-house attorney, and the information was work-related, and was necessary for obtaining legal advice.

A firm specializing in sports law represented several professional athletes as clients. The state disciplinary authorities suspended and eventually disbarred one of the associates at the firm, but the disciplinary action did not implicate the rest of the firm (the lawyer's misconduct had occurred completely outside the scope of his duties there). The firm retained he disbarred lawyer as a sports agent for some of the athletes who were clients of the firm. The disbarred lawyer would draft contracts for the athletes and negotiate deals for the firm's clients with their sports teams or with companies seeking the athlete's product endorsement. Could the partners at the firm be subject to discipline for facilitating the disbarred lawyer in the unauthorized practice of law?

Yes, because the disbarred lawyer is engaging in the unauthorized practice of law by drafting and negotiating contracts for the firm's clients.

An attorney represented a client, who was a defendant in a criminal prosecution. The client's trial ended in a conviction and a life sentence. After all possible appeals were complete, the attorney's representation of the client ended... Several years later, the attorney met with some former law school classmates at an alumni event, and they swapped stores over drinks about some of their cases over the years. The attorney mentioned the client, but only by first name, and explained how the guilty verdict felt like a failure on his part even though he knew the client was guilty because the client's friends and family witnessed the crime and told the attorney privately what they had seen. Could the attorney be subject to discipline for disclosing confidential client information?

Yes, because the duty of confidentiality continues after the client-lawyer relationship has terminated.

An attorney discovers that another lawyer has been stealing clients' funds, but he cannot prove it, as he learned about it from another party who was involved and who has since disappeared... the other lawyer admitted it privately but said he would deny it if there was any attempt to expose the matter. Does the attorney who knows about the violation, but was unlikely to be able to prove it, have a duty to report the violation to the state disciplinary authority?

Yes, because the duty to report misconduct depends upon the seriousness of the potential offense and not the quantum of evidence of which the lawyer is aware.

A client who spoke only Spanish hired a local attorney who spoke English and no other languages. The client used an interpreter to communicate an otherwise privileged message to the attorney. The interpreter was an acquaintance of the client. The opposing party later tried to have the interpreter testify at trial about the contents of the conversation he interpreted. The attorney objected that the information falls under the protection of attorney-client privilege. Is the attorney correct?

Yes, because the interpreter acted as an agent of the client in facilitating the provision of legal services.

An attorney heard from one of his clients in county jail that the client's cellmate did not have a lawyer, so the attorney sent a message offering to represent him, and the cellmate agreed and hired the attorney... The attorney hired a private financial forensics investigator to assess the client's potential criminal liability.... Later, the prosecutor subpoenaed the private financial forensics investigator to testify at the criminal proceedings against the client, and the investigator refused to answer any questions about the conversation with the defendant. Would attorney-client privilege apply to the investigator's private conversation with the attorney's client?

Yes, because the investigator was acting as an agent of the attorney, and the conversation was a confidential communication with a client for the purpose of obtaining legal services.

An attorney had been practicing for many years, and he is now representing a client who is a notorious celebrity turned criminal in a criminal case involving drug charges. The attorney is confused about whether he may publicly disclose information that he learned in confidence from his client if the information is already a matter of public record... Seeking clarification, the attorney calls another lawyer who specializes in lawyer malpractice... The attorney tries to use a hypothetical to explain the problem, but given the client's national reputation and celebrity status, the other lawyer knows immediately who the client is... Is the attorney subject to discipline for disclosing confidential information about his client?

Yes, because the lawyer revealed more client information than was necessary to secure legal advice about the lawyer's compliance with the Rules.

Conglomerate Corporation's recent litigation has received unfavorable media attention, so the corporate directors have hired a public relations firm (Afflatus, Inc.) to handle media relations and help boost the company's image... The attorney opened his presentation with a declaration that the meeting was confidential, and that some of the information shared would be privileged. A few months later, the opposing party learns that this meeting occurred and seeks discovery of the PowerPoint slides the attorney used in the presentation to the public relations firm. Given these facts, would these the slides be discoverable at trial?

Yes, because the public relations firm is not the client.

Attorney Stevenson's sister is a dentist. Attorney Stevenson telephones his sister and explains that his firm is not doing well, that he needs more cases, and asks his sister to use him as her lawyer for any malpractice actions she faces or any collection actions against patients who do not pay their bills. Attorney Stevenson's sister finds this request annoying and makes no promises, but she agrees to keep it in mind. Was it proper for Attorney Stevenson attorney to make such a telephone solicitation?

Yes, because the recipient of the solicitation has a family relationship with the lawyer.

An attorney lives in the border town of Nashua, New Hampshire, which is a forty-five-minute drive from Boston, Massachusetts. The attorney took the Massachusetts bar exam and passed it, and now seeks admission to the bar in that state, as she has a job offer form a firm in Boston and plans to commute there every day from her home in New Hampshire. The state bar of Massachusetts has a rule that lawyers must be residents of the state in order to obtain a license to practice law there on a regular basis, so it declines her application to the bar. When the attorney challenges this decision in federal court, will she prevail?

Yes, because the residency requirement violates the Privileges and Immunities Clause of the U.S. Constitution.

An attorney wants to retire from practice due to a chronic illness, and he decides to sell his practice to another lawyer. The sale agreement complies with the Model Rules... the attorney stipulates that he will not resume the practice of law in that jurisdiction, even if medical breakthroughs cure his chronic illness and restore him to perfect health... it is foreseeable that the attorney would recover and want to return to the practice of law in a few years. Is it proper for the attorney and his buyer to include this provision of the sales agreement for the law firm?

Yes, because the rule against restrictions on the right to practice does not apply to the sale of a law practice.

An attorney agrees to join a new firm as one of its shareholders, and to merge his practice with that of the new firm. The shareholder agreement includes a provision that if the attorney retires from the firm and begins collecting the firm's retirement benefits, he cannot practice law with another firm, government entity, or as a solo practitioner. The firm is concerned that the attorney will want to represent clients occasionally in his retirement, and that he may steal some clients from the firm. Is this agreement proper?

Yes, because the rule against restrictions on the right to practice have an exception for agreements concerning benefits upon retirement.

The client intends to purchase a parcel of real estate, and retained the attorney to analyze the seller's title to the property. The attorney requests information from the seller regarding the seller's original acquisition of the property, and also obtains information from the local tax assessors and title registry. The attorney concludes that the seller does not have clear title to the property, and informs seller of this opinion when the seller asks him about it. The seller forbids the attorney to disclose the information to the prospective purchaser of the property and insists that he showed the attorney his documents about the original acquisition of the parcel with the understanding that the attorney would not say anything unfavorable. May the attorney inform the prospective purchaser of his opinion about the title?

Yes, because the seller does not have a client-lawyer relationship with the attorney.

After a bizarre accident that received heavy media coverage, the victims took the unusual step of sending written notices to every plaintiff's firm in the area stating that the victims did not want to hear from any lawyers about the matter. Attorney received the notice and promptly forgot about it, because he had not yet seen any of the media coverage about the accident...He sent a letter to the victims expressing condolences for their suffering and offering to provide legal services if they decided to file a claim over the incident. The victims read the letter, changed their minds, and agreed to have Attorney represent them. A lawyer at another plaintiff's firm, who had also received the notice from the victims, learned that Attorney was representing the victims... The lawyer filed a grievance against Attorney with the state disciplinary authorities. Should Attorney be subject to discipline for the way in which he offered to represent the victims?

Yes, because the target of the solicitation has made known to the lawyer a desire not to receive such solicitations.

A prosecutor was bringing charges against a defendant charged with serious domestic violence. When he met the defendant's victim-girlfriend at the courthouse, she volunteered personal information... The prosecutor and the victim exchanged phone numbers... The next day, he texted her asking, "Are you the kind of girl that likes secret contact with an older married elected DA ... Two days later, he texted again... Could the prosecutor be subject to suspension of his license for these texts?

Yes, because the texts constitute sexual harassment of the victim

The client wants to sell a parcel of commercial real estate, and he hired the attorney to represent him in the matter. As part of the representation, the client asked the attorney to prepare a thoroughly researched opinion memorandum concerning the title of the property, for the information of a prospective purchaser and the purchaser's prospective lender. The attorney gave the title opinion to the client, who gave it to the prospective purchaser, who in turn submitted it to the prospective lender. The prospective lender received and reviewed the attorney's title opinion, but was not aware that the lawyer who prepared the title opinion represented the seller of the property rather than the buyer. Could the attorney be subject to discipline for failing to disclose explicitly in the memorandum what party he represents and that he has a duty of loyalty and confidentiality to the seller?

Yes, because the title opinion should identify the person by whom the lawyer is retained, and should make this clear not only to the client under examination, but also to others to whom the results are to be made available.

Attorney Stevenson works in-house as General Counsel for Conglomerate Corporation. Conglomerate's Chief Financial Officer (CFO) resigned suddenly... Conglomerate's Board of Directors asked Attorney Stevenson to serve temporarily as the acting Chief Financial Officer, until they could find a permanent replacement to fill the position... An opposing party in antitrust litigation against the corporation seeks to compel production... Are the documents discoverable at trial?

Yes, because these are business communications, not legal advice from the lawyer to the client.

An attorney represented criminal defendants, and he received court appointments for indigent defendants... The attorney had a crude sense of humor and progressive views about sexuality, and he often made crude sexual jokes to his female clients... The clients normally brushed off these comments, even though they later reported that they felt uncomfortable... Could the attorney be subject to discipline and face suspension for these comments and jokes?

Yes, because these comments can constitute sexual harassment and could be prejudicial to the administration of justice.

An attorney represented a small business owner in litigation against a former employee, who was a Canadian immigrant. During the bench trial, the attorney cross-examined the former employee on the witness stand, and after two of her answers turned to the judge and asked, "Are you going to believe an alien or a U.S. Citizen?" Could the attorney be subject to suspension for these comments?

Yes, because this is discrimination based on national origin.

An attorney represents a client, who wants to sell his business. A prospective purchaser has required from the client an evaluation of the business' solvency, detailing its current liabilities, potential liabilities, revenue, and assets... [the client] explains to the attorney in confidence that he has often understated the earnings of the business... He asks the attorney to adjust the earnings figures upward by 25 percent... The attorney finds this objectionable and prepares a report based on what the records actually say regarding the earnings, and gives the evaluation directly to the purchaser... Despite the low reported earnings, the purchaser pays the client's asking price for the business, because of the client's truthful representation over the phone. Could the attorney be subject to discipline for his conduct in this matter?

Yes, because under no circumstances is the lawyer permitted to knowingly make a false statement of material fact or law in providing an evaluation for a third party.

A client consults an attorney about the client's indictment for the crimes of theft and unlawful possession of stolen goods. Applicable law treats possession of stolen goods as a continuing offense. The client is still hiding the stolen items in a secret location, and the client asks the attorney about how the client might lawfully return the stolen items. The prosecutor then tries to subpoena the attorney to testify about conversation. Would attorney-client privilege apply to the conversation, if the client's crime is still ongoing?

Yes, confidential communications about ways in which Client might lawfully return the stolen goods to their owner are privileged.

In anticipation of trial, a plaintiff's lawyer contacts several former employees of the defendant corporation and interviews them about the day-to-day operations of the company and the chain of command for addressing complaints. The lawyer does this without permission from the defendant's attorney. Was this proper?

Yes, consent of the organization's lawyer is not required for communication with a former constituent of the organization that is a represented opposing party.

A litigation attorney from Big Firm was representing Conglomerate Corporation as the defendant in a civil matter... she decided to initiate an ex parte contact with the expert witness retained to testify for the opposing party, without first obtaining permission from the opposing counsel... the attorney told the witness that he had to speak to the attorney, under the requirement of law... She was just bluffing... Was it improper for the attorney to convey to the opposing party's expert witness that he must speak to her?

Yes, during an ex parte contact, a lawyer may not convey the message, directly or indirectly, that the witness must speak to the lawyer.

An attorney worked as an entry-level prosecutor. She did not have a supervisory position or title in her office hierarchy, but merely worked on her assigned cases under the direction and oversight of the higher-ranked lawyers in the office... a case arose involving an issue that was important to her... at one point, the attorney leading the prosecution was in one room negotiating a plea arrangement with the first defendant, and the lawyer assisting her was negotiating with the other defendant at the same time in the next room. The state's main witness against the two defendants was a third co-conspirator who had become an informant in exchange for a favorable plea that involved no jail time. The lawyer assisting in the case lied to the second defendant and denied that the state's witness had agreed to a deal... The lead attorney reminded him that this violated the ethical rules, but she took no further action, because she was only an entry-level prosecutor, at the same rank as the lawyer assisting on the case. Could the attorney, as lead prosecutor on the case, be subject for the ethical violations in this case?

Yes, even if a lawyer is not a partner or other general manager, she directly supervises the work of the other lawyer as lead prosecutor in this proceeding.

An attorney works for a mid-size law firm that employs two or three law students every year as summer associates... While researching a central issue in the case, the summer associate discovered an older Supreme Court decision that was unfavorable to their client. The summer associate decided not to tell anyone about the case, as the opposing party seemed to have overlooked it in their briefs... Opposing counsel admitted he had been negligent in doing legal research on the matter, and the attorney recounted the story about the summer associate hiding the case from him. Is the attorney now subject to discipline for what the summer associate did?

Yes, even though he was unaware of the violation at the time, the attorney ratified the summer associate's conduct after he learned about it.

An attorney specializes in criminal defense work. His advertising, signage, and firm brochures offer a service that other lawyers in his city do not provide - the attorney promises to post bail or bond for any client who cannot afford the amount of his bail or bond. Could the attorney be subject to discipline for such an advertisement offer?

Yes, given the coercion and duress inherent in the client's incarceration, using the promise of securing the client's release from custody as an inducement to engage the lawyer would be improper.

Walter White conferred confidentially with his attorney, Saul Goodman, about how to resolve a specific legal problem. Attorney Goodman suggested shredding documents and hiring some thugs to beat up the other party in the matter, leaving them with a warning to stay away from Walter White. White, the client, proceeds with this plan... the prosecutor seeks disclosure of any conversations he had with his attorney... Predictably, Attorney Goodman argues that the conversation comes under the protection of attorney-client privilege. Is the prosecutor correct to demand disclosure?

Yes, given these facts, the crime-fraud exception to attorney-client privilege would potentially apply.

An attorney sends a solicitation letter to a prospective client. The recipient of the letter opens it and reads it, but the person does not respond. The attorney then sends a follow-up letter to the prospective client. Could the attorney be subject to discipline for sending the second letter?

Yes, if after sending a letter or other communication as permitted by the Rules, the lawyer receives no response, any further effort to communicate with the recipient of the communication may violate the provisions of Rules.

A President appointed an experienced circuit court judge to fill a vacancy on the U.S. Supreme Court. During the Senate confirmation hearings, a committee member asked the candidate about his personal beliefs about abortion. The candidate explained that he thought women had aa right to make decisions about their own bodies, and that a fetus is not a person under the law. Was it proper for the candidate to give this answer to the committee?

Yes, if he does not say how he would rule in any specific case, the candidate can discuss his views on legal and political issues.

Conglomerate Corporation has a rule for in its legal department against "side hustles," that is, its lawyers working cases for private clients on the side, even on a pro bono basis. The rule, which it embodied in its employment contract with all the in-house attorneys who work there when General Counsel was targeting a certain employee in the legal department, for purely personal reasons, and needed to create an excuse to fire the lawyer. Is this rule proper?

Yes, it is a universally recognized exception to the rule against restrictions on lawyer's right to practice law that corporate legal departments can require that in-house counsel confine their entire practice of law to the organization's legal affairs.

An attorney was the managing partner at a firm. The firm had current, up-to-date network security, firewalls, password protection, email encryption, and so on. As managing partner, the attorney would revisit this issue every year in January... One January, a vendor was installing new software and discovered that the firm had suffered a significant data breach the previous summer that went unnoticed.... the vendor explained to the managing partner that there was no reason for such events to go unnoticed, because low-cost products and services were available to monitor for data breaches. Could the firm, or at least the managing partner, be subject to discipline for failing to monitor for any breaches in data security?

Yes, lawyers must employ reasonable efforts to monitor the technology and office resources connected to the internet, external data sources, and external vendors providing services relating to data and the use of data.

An associate worked at Big Firm. Even though she had only recently graduated from law school, the associate had earned the respect of the partners at the firm, and she was involved in several projects for multiple lawyers and clients... she realized that she could not devote enough attention to each client's issues... She approached the partner who was her mentor at the firm and explained her concerns, and he responded that she was just experiencing a learning curve... and that she should stop complaining.... she overlooked an important case related to her issue... Big Firm has a managing partner and a committee of senior partners. Could the partner who was her mentor be subject to disciplinary action for the associate's mistake?

Yes, partners and others in a supervisory role at a firm are responsible to monitor the workload of their subordinate attorneys.

A client consults an attorney about the client's indictment for the crimes of theft and unlawful possession of stolen goods. Applicable law treats possession of stolen goods as a continuing offense. The client is still hiding the stolen items in a secret place. The prosecutor then tries to subpoena the attorney to testify about the conversations with the client regarding the charges and the legal proceedings. Would attorney-client privilege apply to the conversations, if the client's crime is still ongoing?

Yes, privilege covers the confidential communications between the attorney and the client regarding the indictment for theft and possession.

A client kept in his files an old memorandum that the client had prepared for his attorney during an earlier representation by the attorney. After some time, the client takes the memorandum to another lawyer, in confidence, to obtain legal services on a different matter. The memorandum qualified as a privileged communication in the earlier matter. While in the hands of the new lawyer, does the memorandum remain under the protection of privilege?

Yes, privilege still applies to the document due to its originally privileged nature.

An attorney who had only recently graduated from law school, and she received a job offer from a newly-elected County Attorney, after volunteering for his campaign... The County Attorney soon began a series of highly-publicized attacks, including lawsuits and investigations, against political rivals on the County Board and County Courts... There was no factual support for the allegations... the County Attorney assigned the case to the new attorney... The court denied the motion to amend the complaint and dismissed the original complaint for having no basis in fact or law... In her hearing before the disciplinary committee, the attorney claimed that she was too inexperienced to know that the racketeering charges in her case had no basis in fact or law... Could she be subject to discipline despite these mitigating factors?

Yes, regardless of the directions of her superiors or her inexperience, she had a duty not to bring a frivolous proceeding or assert a frivolous issue in litigation.

An attorney had recently graduated from law school and entered the practice of law. After a federal clerkship, he went to work for Big Firm, which paid the highest associates' salaries in the state. A partner at Big Firm gave the attorney an assignment to represent the teenage daughter of one Big Firm's most important clients, a billionaire social media entrepreneur... the daughter had given the police a friend's driver's license and identified herself as the friend, who had a similar appearance. The friend... was unaware that she was the named defendant in a misdemeanor criminal case...The attorney spoke to the prosecutor and convinced her to dismiss the case, but the attorney never told her about the misidentification of his client... Despite the attorney's efforts to reassure the friend's parents that the state dropped the charges, the friend's parents contacted the prosecutor's office in hopes of removing the arrest from their daughter's record. When the prosecutor realized what had transpired, he reported the attorney to the state bar disciplinary authorities. Could the attorney, as an inexperienced new associate at Big Firm, be subject to discipline for this matter?

Yes, regardless of the directions the attorney received from the partner at Big Firm or from the client, he is subject to discipline for failing to disclose a material fact to a tribunal when disclosure was necessary to avoid assisting a criminal or fraudulent act by a client.

An attorney received a client referral by email from a friend who worked as a nurse in a nearby emergency room. The client called the attorney's office the same day that the attorney received her friend's email about this potential client. The representation of this new client yielded a favorable outcome... the attorney sent her friend a fancy fruit basket, that cost around $150, with a card thanking the friend for the lucrative referral. Was it proper for the attorney to give such a gift to a non-lawyer for referring a client to her?

Yes, the Model Rules permit a lawyer to give nominal gifts, such as an item that might be a holiday gift item, in appreciation to a person for referring a prospective client.

An attorney received a client referral by email from a friend who worked as a nurse in a nearby emergency room. The client called the attorney's office the same day that the attorney received her friend's email about this potential client. The representation of this new client yielded a favorable outcome... the attorney sent her friend a collectible Star Wars statute (plastic figurine) worth about $20... Accompanying the figurine was a thank you card expressing appreciation and promising to send Star Wards collectible figurines every time the friend referred a client to the attorney. Did the attorney act improperly in this instance?

Yes, the Model Rules prohibit gifts offered or given in consideration of any promise, agreement or understanding that such a gift would be forthcoming or that referrals would be made or encouraged in the future.

In his advertisements and firm brochures, an attorney describes his many years of experience litigating in a specific area of commercial real estate litigation, without claiming to be a specialist or an expert. He does not mention any official certification. Is it permissible for the attorney to boast of his years of experiencing practicing in a specific area, even though some readers might infer from this that he is an expert or a certified specialist?

Yes, the Supreme Court has held that state bars cannot prohibit lawyers from describing their years of experience with certain types of cases, assuming the information is truthful.

An attorney is a notorious personal injury lawyer, widely feared by defendant corporations and insurers who must defend claims. The attorney reaches one exceptionally favorable settlement for his client... The defendant has lost cases to the attorney on several occasions, and wants to avoid dealing with him in the future. The defendant demands, as a condition of settlement, that the attorney will not represent any other clients in the future in tort actions related to this defendant or even to similar businesses in that jurisdiction... Is the attorney subject to discipline for this agreement?

Yes, the agreement violates the rules, but the attorney probably does not care about being subject to discipline if he plans to leave the practice of law.

An attorney specialized in criminal defense work, and at one point she agreed to represent a client who was multiple charges for gang-related criminal activities... The attorney visited her client in the hospital to discuss a pending plea offer from the prosecutor... Unbeknownst to them, however, a doctor was eavesdropping on their conversation... Armed with this new evidence, the prosecutor revoked the pending plea offer... The attorney argued that her conversation with her client came under attorney-client privilege and was therefore inadmissible at trial. Is the attorney correct in this assertion?

Yes, the attorney and the defendant were reasonable in believing that the conversation was confidential.

An experienced attorney has an office in State X, and she is duly licensed to practice in that state. The attorney's office is in a city on the border of State Y, and the attorney does not have a license to practice there... the attorney rents a small office space, hires nonlaawyer clerical staff, and otherwise prepares premises for the general practice of law at a branch-office location in State Y. Apart from the issues raised by opening the new branch office, was it improper for the attorney to represent residents of State Y in her office in State X?

Yes, the clients are coming to the attorney in her office in the state where she has a license to practice law.

An attorney's client was a member of a drug cartel that imported and distributed illegal narcotics. The client promised the other cartel members that the client would provide anyone in the cartel with legal representation whenever the need arose. The client then offered the attorney a generous monthly retainer if the attorney would stand ready to provide legal services... the client told the attorney the identities of the other cartel members. The client continued the cartel operations for some time after this communication. Would government lawyers, in a subsequent law enforcement action, be able to compel the attorney to disclose the identities of the other cartel members?

Yes, the crime-fraud exception renders non-privileged the communications between the client and the attorney, including identification of the client's confederates.

An attorney settled a legal malpractice claim by agreeing to make monthly payments to the former client for five years, which would add up to the full settlement amount. The attorney put forth his car as security for the obligation... the attorney left the jurisdiction with his car, leaving no forwarding address, so the former client (who was now a holder of the security interest in the car) could not locate the attorney or the car for more than one year... the state bar received a complain about the matter and commenced disbarment proceedings against the attorney. Can the attorney face disbarment over a crime for which there was never any charges filed?

Yes, the fact that the respondent has not been criminally charged or convicted of this offense is not important for purposes of lawyer discipline.

The chief financial officer of Investors' Club, a private investment trust, is under suspicion for converting $100,000 of Investors' Club's assets for personal use... Although the matter is not yet in litigation, would it be improper for the attorney to proceed with dual representation, of both the organization and the chief financial officer in this matter, if both consent?

Yes, the interests of Investors' Club and the chief financial officer are so adverse that even informed consent of both would not permit their common representation by Lawyer in the matter.

A client met with an attorney for a free consultation, and explained that she had met with two other lawyers for consultations and that she planned to hire one of the three to provide the legal services necessary to set up her professional business. The attorney needed to make a good impression on the client, so he mentioned a few prominent accountants and physicians in town whom the attorney had represented and helped with incorporating their partnerships or practice groups. These former clients had never explicitly authorized the attorney to disclose his representation of them in these matters. The client hired the attorney, and the attorney provided the legal services necessary to set up her business. Unfortunately, a dispute arose between the client and the attorney over the fees, and this fee dispute turned into litigation between the attorney and the client. In order to support his client his claims and defenses in the fee dispute, the attorney had to disclose to the tribunal exactly what he did for the client and the complexity of the issues involved, which necessarily involved the disclosure of confidential information. Was it proper for the attorney to disclose this confidential information about the client merely to prevail in a fee dispute?

Yes, the lawyer may reveal information relating to the representation to establish a claim in a fee dispute between the lawyer and the client.

An attorney agreed to represent a client who suffered from severe mental illness that had resulted in his institutionalization. The client complained that the staff mistreated her and wanted the attorney to litigate. At the end of this litigation, the court appointed a family member as the legal guardian for the client and her assets.... the attorney agreed to represent the interests of the client in the property... The client's legal guardian participates in the conversations between the attorney and the client... Would attorney-client privilege still apply to these communications, if the guardian is present or serves as an intermediary?

Yes, the legal guardian is necessary for rendering legal services to the client, and functions as the client's agent in this scenario.

An attorney worked with a partner who developed a chronic debilitating medical condition... the partner could not cope with giving up on her career, and she kept practicing... Under Model Rule 1.16, the partner had a duty to decline or withdraw from representation for clients... On the other hand, up to know no clients had suffered serious prejudice... Does the attorney who observes these developments have a duty to report her partner for misconduct under Rule 8.3?

Yes, the partner's lack of fitness has evidenced itself through a pattern of conduct that makes clear the lawyer is not meeting her obligations under the Model Rules.

An attorney owns his own law practice, and he represents clients if he believes in their cause. He regularly defends racists and hate groups against criminal charges and lawsuits, because he shares their philosophy and identifies with their racist views. Is it permissible for the attorney to advocate on behalf of racists and hate groups in litigation, if he supports their cause on a personal level?

Yes, the rules prohibiting discrimination and harassment by lawyers not preclude legitimate advice or advocacy the lawyer provides to clients who are openly engaging in such conduct.

An attorney practices law in two adjacent states, as he has a license to practice in each. He lives near the border and can easily serve clients in each jurisdiction. The two states have different rules about attorney disclosures of confidential client information... The attorney did indeed disclose confidential client information to save someone's life (the client was planning a murder and the attorney notified the authorities and warned the potential victim), but this occurred in the state that forbids such disclosures under these circumstances. The client files a grievance against the attorney in both states, and both state bars commence disciplinary proceedings over the same incident... The attorney objects that the state cannot impose a sanction on him for conduct that the state's rules would have required. Is the state bar correct?

Yes, the state bar should apply the rules of the jurisdiction in which the lawyer's conduct occurred.

A certain attorney worked at Big Firm, and she was supervising a new associate lawyer there. During a negotiation for the sale of a company, in which Big Firm represented the seller, the associate informed the buyer's lawyers that certain assets of the company had no liens or other encumbrances on them, and that she had verified this herself. This was a misrepresentation... The supervising attorney, who was part of the conversation when the associate made the misrepresentation, did not correct her... Instead, the supervising attorney lectured the associate about the misrepresentation privately the next day... the supervising attorney instructed the associate to watch for a good opportunity to bring up the mistake and clarify the matter for the buyer. The associate never did so. Could the supervising attorney be subject to discipline for failing to correct the resulting misapprehension by the buyer?

Yes, the supervising attorney had a duty to take affirmative steps to correct the misrepresentation of the other party, sometime before the consummation of the purchase.

The law school casebook industry was heavily consolidated... an attorney for East Publishing Company debriefed the witnesses and wrote memoranda of those interviews in anticipation of the potential indictment of East Publishing, and the anticipated civil suits that could follow... Five years later, some plaintiffs... sought discovery of the non-opinion work-product portions of the attorney's debriefing memoranda... they can show that the witnesses in question were no longer able to remember some of the events to which they testified at the previous grand jury proceeding. Should a court order the attorney to produce the memorandum?

Yes, this situation falls under the need-and-hardship exception to the work product doctrine.

A judicial clerk researched alternative methods of toxic mold remediation in homes having mold problems and wrote a memo about her findings for the judge to consider in a case. The defendant alleged, among other things, that the plaintiff in a toxic mold case before that judge had failed to mitigate damages. Has the judge violated the CJC?

Yes, this violates Rule 2.9(c) of the Code of Judicial Conduct, because the clerk is conducting the research on behalf of the judge.

An attorney was a partner at Big Firm, which represented Conglomerate Corporation in their corporate merger negotiations with Giant Company. Big Firm had state-of-the-art network firewalls... Nevertheless, one Friday evening some hackers managed to breach Big Firm's networks and access client information and partner emails, for purposes of engaging in insider trading.... law enforcement managed to apprehend the hackers over the weekend, before they had a chance to review the stolen information and share useful data or engage in illegal stock trades. The clients suffered no losses or adverse effects, but they could have. The partners maintain that they should not be subject to discipline... Are they correct?

Yes, unauthorized access to, or disclosure of client information does not constitute a violation of the Model Rules if the lawyer has made reasonable efforts to prevent the access or disclosure.

A litigation attorney from Big Firm was representing Conglomerate Corporation as the defendant in a civil matter. The attorney learned that the opposing party had hired an expert witness to support their claims, so she decided to initiate an ex parte contact with the expert witness... The attorney introduced herself by name, but she did not mention that she was a lawyer or that she had any relationship with the case... The expert was willing to answer her questions because he was unaware that she was opposing counsel... The expert revealed information to the attorney that was useful for her representation of her client. Could the attorney be subject to discipline for discussing the matter with the expert without discussing her relationship to the case?

Yes, when a lawyer contacts any witness, lay or expert, actual or potential, the lawyer must not knowingly leave the witness in ignorance of the lawyer's relationship to the case that gives occasion to the contact.

Which of the following is NOT one of the elements of the work product doctrine?

anticipation of litigation applies to almost any legal work performed for a client, because litigation could eventually arise over any contract, will, or property disposition.

An employee of Conglomerate Corporation retained an attorney to advise her about a potential claim against her employer.... Conglomerate Corporation's written internal policy states that the company has a right of access to all employees' computers and e-mail files, including those relating to employees' personal matters.... The attorney expects the employee will sometimes use her computer at work to communicate with the lawyer. Does the attorney have an affirmative ethical duty to warn the employee about the risks this practice entails?

the attorney has an ethical obligation to warn the client not to communicate about the matter via her work computer through any email account, and a duty to refrain from emailing the client's workplace email account or responding to emails from the client's workplace email account.

An attorney faced criminal sanctions for having over two thousand unpaid traffic and parking tickets, and several instances of failure to appear for jury duty. Could the attorney be subject to professional discipline for these minor offenses?

yes, because a pattern of repeated offenses, even ones of minor significance when considered separately, can indicate indifference to legal obligation.