Professional Responsibility Exam - Multiple Choice Questions

he dichotomy between a business and a profession: A Described law as a business. B Viewed consumers as capable of making informed purchases of legal services. C Justified the exclusive right of lawyers to practice law. D Rejected the idea that lawyers are America's governing class.

C Justified the exclusive right of lawyers to practice law.

The perspectives on professionalism in the readings reflect all of the following views except: A Only the business-profession dichotomy explains lawyers' high ethical standards. B The business-profession dichotomy is no longer persuasive. C Most lawyers continue to believe in the business-profession dichotomy. D The business-profession dichotomy is not necessary to high ethical standards.

C Most lawyers continue to believe in the business-profession dichotomy.

An attorney is the managing partner at a small law firm. The attorney believes that technology will be increasingly important in the delivery of affordable legal services and hires a nonlawyer to manage the law office's technology services. This person is given the title of Chief Technology Strategist. The Chief Technology Strategist does not participate in any decisions involving legal judgment. The firm pays the Chief Technology Strategist a fixed salary that is larger than the salaries of some of the associate lawyers and larger than the salaries of all of the other nonlawyer staff. The Chief Technology Strategist is included as a participant in the firm's year-end profit-sharing plan along with the lawyers and other nonlegal staff who work at the firm. Is the attorney subject to discipline? A Yes, because legal fees are used to fund the year-end profit-sharing plan. B Yes, because the Chief Technology Strategist makes more money than some of the lawyers in the law firm. C No, because the Chief Technology Strategist may be included in the firm's year-end profit sharing arrangement. D No, because the attorney reasonably believes that the year-end profit sharing plan is necessary in order to attract top talent and deliver competent services to clients.

C No, because the Chief Technology Strategist may be included in the firm's year-end profit sharing arrangement.

Mary Ellen has been general counsel over many years for the Warthogs, a minor league baseball team, and she's done a bang-up job. The Warthogs are sold without notice, and the new owner fires Mary Ellen because "women don't belong in baseball." Mary Ellen refuses to leave her office and insists on writing and submitting memos to management on grievances referred to her by the ballplayers, who like and respect Mary Ellen. At the same time, Mary Ellen brings an action against the Warthogs for breach of contract, unlawful discharge, and employment discrimination. Mary Ellen is: 1. Subject to discipline for continuing to perform legal services by writing and submitting memos on grievances referred to her by the ballplayers. 2. Subject to discipline for commencing a lawsuit against the Warthogs. 3. Not subject to discipline because her refusal to accept discharge was reasonable under the circumstances. 4. Not subject to discipline because the action of the new owner was clearly prompted by employment discrimination.

1. Subject to discipline for continuing to perform legal services by writing and submitting memos on grievances referred to her by the ballplayers.

Client is a business with international affairs selling widgets; the attorney in question specializes in patents within the United States; and the client is currently involved in a potential merger that would shift all ownership to a foreign corporation located in Germany. The client wants to retain the attorney to assist with the other attorneys finalizing the merger to ensure the patents are properly transferred to the German company. The client and the attorney created a retained agreement that set out the means which would accomplish the client's objectives. The client was fully advised. Is it proper for the attorney to enter into this relationship under Rule 1.2? 1. Yes 2. No

1. Yes

Anne Attorney and Lawrence Lawyer have been friends since their days at law school classmates. Recently, when she has met with him during the work day, she has smelled alcohol on his breath. She has noticed him being nasty and abusive to colleagues, adversary lawyers, and even, on occasion, to clients. She recently litigated a case against him where his performance failed to meet even minimum standards as a matter of competence. Anne then recommended to Larry that he seek help from the bar's lawyer assistance program for his alcohol problem. Larry angrily refused. Worried that any further action might jeopardize her longstanding friendship with Larry, Anne does nothing. Is Anne subject to discipline? 1. Yes, because Anne failed to inform the appropriate authorities about Larry's conduct. 2. Yes, because Anne did not ask the client in her recent case whether the client wanted her to inform the authorities. 3. No, because Anne suggested Larry seek help from a lawyer assistance program. 4. No, because Anne reasonably feared that Larry would end their friendship if she reported him.

1. Yes, because Anne failed to inform the appropriate authorities about Larry's conduct.

Lincoln & Fordham has represented Center Manufacturing in its transactional work. The SEC begins an investigation of Center Manufacturing. Lincoln & Fordham explains to Center that it cannot represent it in the SEC investigation. Center obtains other counsel. Nonetheless, from time to time, Center asks Lincoln & Fordham about issues that arise in the SEC matter and Lincoln & Fordham provides answers. Does Center have a lawyer-client relationship with Center for purposes of the SEC investigation? 1. Yes, because Lincoln & Fordham has answered Center's questions. 2. Yes, because Lincoln & Fordham previously represented Center in its transactional work. 3. No, because Lincoln & Fordham made clear it was not representing Center. 4. No, because Center has other counsel in the matter.

1. Yes, because Lincoln & Fordham has answered Center's questions.

A seller was engaged in negotiations to sell his interest in a large tact of land to a buyer who was unrepresented in the transaction. Before the seller went out of town for a few days, he told the buyer to call his attorney if the buyer had any questions about the property. The buyer called the seller's attorney, responded that, based on his experience handling real estate transactions in the neighborhood, the buyer would be getting a lot of property for the price. At the time the attorney spoke to the buyer, the attorney knew that there was a defect in the title and that the buyer's attempt to purchase the seller's interest in the tract would not result in the buyer's acquisition of any interest in the property. Relying on the attorney's assurance, the buyer agreed to make the purchase. Shortly after the sale closed, the buyer discovered that his acquisition was worthless. Is the attorney subject to discipline? 1. Yes, because the attorney knowingly made false representations of fact to the buyer. 2. Yes, because the attorney implied that his opinion regarding the value of the property was a disinterested opinion. 3. No, because the attorney's statement that the buyer would be getting a lot of property for the money was a statement of opinion regarding the value of the property. 4. No, because the buyer was not a client of the attorney.

1. Yes, because the attorney knowingly made false representations of fact to the buyer.

A recently licensed attorney works as a new associate at a large law firm in the mergers & acquisitions group. The attorney was working late one night when he received a telephone call from his cousin. The cousin said that he was calling from the police station because he had just been arrested for possession of cocaine with intent to distribute. He was permitted to make only one phone call, and the attorney was the only one he knew. The attorney responded that he had no criminal law experience and that his firm did not handle criminal cases. Nevertheless, the cousin pleaded with the attorney to come to the police station and see what he could do to get him out on bail. The attorney replied that he would do what he could. The attorney went to the police station and used what information he recalled from his criminal law and procedure courses to attempt to get his cousin released on bail. However, as a result of his inexperience, the attorney was unable to secure his cousin's release that night. The next morning, the attorney found an experienced criminal lawyer for his cousin, who obtained his release within one hour. Was the attorney's conduct proper? 1. Yes, because neither referral to another lawyer nor consultation with another lawyer was practical under the circumstances. 2. Yes, because the attorney was a close relative. 3. No, because the attorney had no special training or experience in criminal cases. 4. No, because the attorney did not have the requisite level of competence to accept representation in the case.

1. Yes, because neither referral to another lawyer nor consultation with another lawyer was practical under the circumstances.

An attorney represented a client in an action against a manufacturer of a drain cleaner. The client's complaint alleged that the manufacturer's product exploded in use and caused serious and permanent injuries. The jury agreed and awarded the client $5,000,000 in actual damages and an additional $5,000,000 in punitive damages. The manufacturer paid the judgment. The attorney made this recovery the cornerstone of an aggressive television advertising campaign. In these ads, a voice-over discussed the $10,000,000 recovery obtained in the client's case. The client praised the attorney's legal skills in an on-camera statement, saying that no one would work harder on a case than the attorney. The client prepared the on-camera statement in response to the attorney's request, but without any further involvement by the attorney, and the client believed it to be entirely true. The attorney runs the ad in the jurisdiction in which the attorney is licensed and archives a copy in compliance the regulatory bar rules. Is the attorney subject to discipline? 1. Yes, because the advertisement is likely to create an unjustified expectation about the results the attorney will be able to achieve and is therefore misleading. 2. Yes, because the attorney's advertisement contains a client testimonial. 3. No, because the client prepared the entire statement without any involvement by the attorney. 4. No, because the result obtained in the client' case was reported accurately, and the plaintiff believed that everything she said about the attorney was true.

1. Yes, because the advertisement is likely to create an unjustified expectation about the results the attorney will be able to achieve and is therefore misleading.

An attorney entered into a written retainer agreement with a defendant in a criminal case. The defendant agreed in writing to transfer title to her automobile to the attorney if the attorney successfully prevented her from going to prison. Later, the charges against the defendant were dismissed. Is the attorney subject to discipline? 1. Yes, because the attorney agreed to a fee contingent on the outcome of a criminal case. 2. Yes, because a lawyer may not acquire a proprietary interest in a client's property. 3. No, because the charges against the defendant were dismissed. 4. No, because the retainer agreement was in writing.

1. Yes, because the attorney agreed to a fee contingent on the outcome of a criminal case.

An attorney has been general counsel for many years for a minor league baseball team, and she has received glowing employment reviews each year. The team is sold without notice, and the new owner fires the attorney, because "women don't belong in baseball." The attorney refuses to leave her office and insists on writing and submitting memos to management on grievances referred to her by the ballplayers, who like and respect the attorney. At the same time, the attorney brings an action against the team for breach of contract, unlawful discharge, and employment discrimination. Is the attorney subject to discipline? 1. Yes, because the attorney continued to perform legal services by writing and submitting memos on grievances referred to her by the ballplayers. 2. Yes, because the attorney brought a lawsuit against the team. 3. No, because the attorney's refusal to accept discharge was reasonable under the circumstances. 4. No, because the action of the new owner was clearly prompted by employment discrimination.

1. Yes, because the attorney continued to perform legal services by writing and submitting memos on grievances referred to her by the ballplayers.

An attorney hired a recent law school graduate as an associate. For the first six months, the associate was assigned to draft legal documents that the attorney carefully reviewed and revised before filing. However, shortly after the associate was admitted to the bar, the attorney went on vacation the following week and assigned to the associate the representation of the landlord in a housing case that was going to trial while the attorney was away. The associate had never conducted or observed a trial before and, having never previously worked on any housing cases, was unfamiliar with the relevant law and procedure. While the associate did not believe that there was enough time to learn everything and prepare for trial, the associate was reluctant to decline the assignment. Before the trial began, the associate met with the landlord and disclosed that this would be the associate's first trial; the landlord did not object. Although the associate prepared diligently, the landlord lost the trial. Is the attorney subject to discipline? 1. Yes, because the attorney did not ensure that the associate was competent to conduct the trial without the attorney. 2. Yes, because the landlord lost the trial. 3. No, because the attorney could reasonably assume that, having been admitted to the bar, the associate was capable of conducting the trial. 4. No, because the landlord did not object to the associate's representation.

1. Yes, because the attorney did not ensure that the associate was competent to conduct the trial without the attorney.

The court appoints an attorney to represent a teenage girl seeking court permission to obtain an abortion without the consent of her parents. The attorney believes that abortion is murder and asks the court to release him from the appointment. The attorney advises the court that the attorney cannot do a competent job for the client given the attorney's personal beliefs. Is the attorney subject to discipline? 1. Yes, because the court appointed the attorney and a court appointment is one of the rare situations in which a lawyer has a duty to accept a case. 2. No, because the attorney did not believe that he could provide competent representation to a client.

2. No, because the attorney did not believe that he could provide competent representation to a client.

An attorney is handling a high-stakes insurance case for a client. The contingency fee contract, signed two months ago, provides that the attorney will receive one-third of the recover and that attorney would bear the cost of all fees and expenses. Fearing a large verdict and anxious to settle, the insurance company offers the attorney $6 million dollars to settle all claims. After consultation with the client, the attorney accepts the settlement offer. The attorney soon receives a check for the full $6 million and deposits the check in the trust account. After talking with friends, the client becomes unhappy that the attorney will receive so much money for so little work and challenges the fee. Subsequently, the attorney issues a check to the client for $4 million and transfers the balance to the office operating account. The attorney brings an action against the client to fix the fee. The attorney takes the stand and testifies about the difficulty of the case, the hours of work, and that, because the client has a severe drug and alcohol problem, the work was made unusually difficult. Upon objection by the client's new counsel, the court rules the attorney's testimony relevant and admissible. Is the attorney subject to discipline? 1. Yes, because the attorney transferred contested fund to the operating account. 2. Yes, because the attorney sued the client to fix the fee. 3. No, because a one-third contingency fee is per se reasonable. 4. No, because the court found that the testimony was relevant and admissible.

1. Yes, because the attorney transferred contested fund to the operating account.

A New York office of a law firm represented a broadcasting company bidding for radio waves from the Federal Communication while the law firm's Washington office represented another client that was bidding for the same radio waves. The New York lawyers did not communicate with the Washington lawyers and each team kept separate files. The law firm accepted the two representations because the award of the radio waves would occur at a public auction decided by a transparent government process. Before accepting the matters, each client was informed of the other representation and consented to allow the different legal team to represent the other company. The consent of each client was confirmed in a writing. But the law firm did not warn the clients to seek the advice of independent legal counsel before consenting to the conflict. The law firm reasonably believed it could competently and diligently represent each client. May one law firm represent the two companies bidding for radio waves under the Model Rules? 1. Yes, because the law firm informed each client of the other representation and obtained informed consent, confirmed in writing, from the clients. 2. Yes, because the matter involves a federal agency and the conflicts rules do not apply in this context of federal administrative law. 3. No, because the law firm did not inform the clients to seek advice of independent legal counsel before consenting to the conflict. 4. No, because the conflicts of the legal teams were imputed to each other and presented a directly adverse conflicts in a contest for radio waves at a government auction.

1. Yes, because the law firm informed each client of the other representation and obtained informed consent, confirmed in writing, from the clients.

A health care lawyer wanted to leave a large law firm and join a health care boutique law firm. The lawyer approached a local firm and the managing partner was very interested in hiring the health care lawyer. At first, they discussed salary, but the lawyer was concerned that there may be too many conflicts of interests in the practice of the big firm health care lawyer. The large law firm and the boutique were on opposite sides of many cases. Thus, the managing partner of a boutique asked the health care lawyer to share a list of clients and general information about the representation. The partner told the lawyer not to disclose any information that was protected by the attorney-client privilege or information that could injure the clients. The health care lawyer shared the information without obtaining the clients' consent and the boutique hired the lawyer. Was the health care lawyer's disclosure of confidential information of large law firm clients consistent with the Model Rules? 1. Yes, because the lawyer did not disclose information protected by the attorney client privilege or information that was adverse to the client of the big law firm. 2. Yes, because the lawyer had made the decision to leave the large law firm. 3. No, because the lawyer failed to obtain the consent of the large law firm clients. 4. No, because the large law firm and the boutique law firm were on opposite sides of many cases.

1. Yes, because the lawyer did not disclose information protected by the attorney client privilege or information that was adverse to the client of the big law firm.

A lawyer represented a client who was in financial distress. The client had asked the lawyer if one of his buildings burned down, whether the insurance company would pay the policy proceeds promptly and in what amount. The client confided in the lawyer that he had thought about arson as a way to bring some cash into the business. The client felt guilty about it and the lawyer informed him that arson was a serious crime and the chances of getting caught were high. The client assured the lawyer that he would not turn to arson and the lawyer reasonably believed that this crime was unlikely to take place. The lawyer did not take any action regarding this information and did not inform any outside party. The lawyer continued to represent the client. Was the lawyer's conduct consistent with the Model Rules? 1. Yes, because the lawyer did not have a reasonable belief that the client would be involved in arson. 2. Yes, because the lawyer may never reveal a client's statements about a future crime or fraud. 3. No, because the lawyer may disclose the possible arson to the authorities. 4. No, because lawyer was required to withdraw from the representation once he learned about the client proposed involvement in arson.

1. Yes, because the lawyer did not have a reasonable belief that the client would be involved in arson

An attorney is a sole practitioner whose practice is largely in the areas of tax, wills, estates, and trusts. The attorney learned of a new Internal Revenue Service (IRS) regulation that may impact the trust provisions in a will the attorney prepared for a client two years ago. The attorney has not represented the client since drafting the will. Worried about the impact on the trust, the attorney calls the client and tells the client about the new IRS ruling and the need to revise the will. Is the attorney subject to discipline? 1. Yes, because the attorney would be soliciting legal business from a person who is not a current client. 2. No, because the client is a former client of the attorney.

2. No, because the client is a former client of the attorney.

Four years ago, Attorney represented Husband and Wife, both high school teachers, in the purchase of a new home. Since then, Attorney prepared their tax returns and drafted their wills. Recently, Husband called Attorney and told her that he and Wife had decided to divorce, but wanted the matter to be resolved amicably. Husband stated that they were planning to file and process their own divorce case, utilizing the state's new streamlined divorce procedure, applicable in "no-fault" cases where there are no minor children. Husband asked if Attorney would agree to work with them to prepare a financial settlement agreement that could be presented to the divorce court, reminding Attorney that the couple's assets were modest and that they wanted to "split it all down the middle." After considering the risks of a conflict of interest arising in this limited representation, Attorney wrote to the couple separately, and advised each that he or she might be better off with separate lawyers, but that Attorney would assist with the financial settlement agreement, charging an hourly fee of $140 per hour, provided that they were in complete agreement and remained so. Attorney advised that if a conflict developed, or if either party was dissatisfied or uncomfortable about continuing with the joint representation, Attorney would withdraw and would not represent either party from that point forward, forcing them to start all over again with separate lawyers. Finally, Attorney cautioned Husband and Wife that Attorney would be representing both of them equally, would not and could not favor one or the other, and that their separate communications to her could not be kept confidential from the other party. Both Husband and Wife signed their individual copy of the letter, consenting to the joint representation, and returned them to Attorney. Was it proper for Attorney to accept the representation on these terms? 1. Yes, because there was little risk that the interests of either Husband or Wife would be materially prejudiced if no settlement was reached. 2. Yes, because Attorney had previously represented Husband and Wife in their joint affairs. 3. No, because Attorney conditioned representation upon receiving a waiver of client confidentiality. 4. No, unless Attorney advised both Husband and Wife, in writing, that they should seek independent counsel before agreeing to enter into the financial settlement on the terms proposed.

1. Yes, because there was little risk that the interests of either Husband or Wife would be materially prejudiced if no settlement was reached.

A real estate lawyer was approached by a seller of a single family home and asked to represent both the buyer and the seller. The price had been set. The inspection was complete and the home passed all tests. No open issues existed other than funding the transaction and preparing the closing documents. The lawyer explained the advantages and disadvantages in having one lawyer represent both parties including the possible loss of the attorney-client privilege. The clients gave informed consent confirmed in writing and the lawyer reasonably believed that she could represent the buyer and the seller competently and diligently. The lawyer had no prior connection to the clients and the matter was unlikely to end in litigation. 1. Yes, because under these facts the conflict had been properly managed by the lawyer and through informed consent of the clients. 2. Yes, because lawyers can always represent buyers and seller of real estate because the matter is a transaction and not litigation. 3. No, because the lawyer did not warn the clients to seek the advice of independent legal counsel before consenting to the conflict. 4. No, because representing a buyer and seller is a directly adverse conflict that is nonconsentable.

1. Yes, because under these facts the conflict had been properly managed by the lawyer and through informed consent of the clients.

For years, Attorney Bono has used TIAA CREF for his investment accounts. However, Bono has become increasingly dissatisfied with CREF's customer service. He's heard that Morgan Stanley has great customer service, and his client, Larry Mullen, Jr., is a wealth management/investment advisor at Morgan Stanley. Bono has represented Larry in his estate planning matters for the past 7 years, including a rewrite of Larry's will last month. Is it proper for Bono to use Larry as his investment advisor and move his accounts to Morgan Stanley? 1. Yes. 2. No.

1. Yes.

Attorney Alpha represents Def in a murder prosecution. Def admits to Alpha that he killed the victim but claims that he acted in self-defense. Based on other conversations with Def, Alpha reasonably believes that Def committed the murder but is lying about acting in self-defense. Def wants to testify at trial to explain his claim of self-defense. Under the Rules, Alpha 1. must permit Def to testify. 2. must refuse to allow Def to testify 3. has discretion to permit Def to testify. 4. has discretion to permit Def to testify but only if he limits Def's testimony to a narrative statement.

1. must permit Def to testify.

Lawrence Lawyer receives a fax from Anne Adversary Attorney. Lawrence quickly realizes that Anne has mistakenly sent him a document containing confidential client information. Under the Rules, Lawrence must: 1. notify Anne. 2. notify Anne and return the document without keeping a copy. 3. notify Anne and refuse to read the document. 4. read the document without notifying Anne.

1. notify Anne.

Kimber has been practicing law for two years as a general practitioner. As her first malpractice case, she undertakes to represent Shaun in a medical malpractice case against Dr. Christian Troy. She spends almost no time preparing the case, and her research and trial work fall far below the reasonably prevailing norms for lawyers in the area. The jury finds against Shaun. Shaun subsequently files a disciplinary complaint against Kimber and also sues in negligence for legal malpractice. In the disciplinary proceeding against Kimber, the regulatory bar will most likely: 1. prevail, because Kimber represented Shaun in a manner that did not meet the prevailing local norms for general practitioners. 2. prevail, provided the Bar proves that Shaun's doctor was in fact liable for malpractice. 3. prevail, provided the Bar proves that, but for Kimber's incompetence, Shaun would have won his medical malpractice case. 4. not prevail, if Kimber can show her level of competence was at least equal to that of other attorneys in the area with only two years of experience.

1. prevail, because Kimber represented Shaun in a manner that did not meet the prevailing local norms for general practitioners.

An attorney is an associate at a law firm working on a pro bono case for a non-profit civil liberties group. The attorney sends emails to all publicly identifiable former employees of a large company accused of pregnancy discrimination asking if the attorney can represent them on behalf of the civil liberties group. Is the attorney subject to discipline? 1. Yes 2. No

2. No

An in-house lawyer for an oil company visited a rancher couple at their home. The couple owned some property the oil and gas company wanted to lease. The lawyer did not ask the couple whether they had hired a lawyer to represent their interests in leasing oil gas interests, but it turned out that no lawyer represented the couple. The oil company lawyer said, "I am here to make you and my company wealthy once we find oil and develop your land. We have the same interests at heart." The lawyer presented a company lease to the couple and went over the details of the clauses. The contract clearly stated that the lease was prepared by the lawyer for the oil company. When the couple asked the lawyer about whether they would receive tax benefits from the lease, the lawyer said you will need to ask your tax attorney or accountant about how this affects your taxes. Which aspect of the lawyer's conduct in meeting with the couple violated the Model Rules? 1. The lawyer did not ask the couple whether they were represented by an attorney before presenting the lease to them. 2. The lawyer began his negotiations by stating, "I am here to make you and my company wealthy once we find oil on your property. We have the same interests at heart." 3. The lawyer presented the couple with an oil and gas lease and went over the details of the clauses. 4. The lawyer refused to answer the couple's questions about how their taxes would be affected by the oil and gas lease.

2. The lawyer began his negotiations by stating, "I am here to make you and my company wealthy once we find oil on your property. We have the same interests at heart."

Alpha and Beta practiced law under the firm name of Alpha & Beta. When Beta died, Alpha did not change the firm name. Thereafter, Alpha entered into an arrangement with another attorney, Gamma. Gamma pays Alpha a certain sum each month for office space, for use of Alpha's law library, and for secretarial services. Alpha and Gamma each have their own clients, and neither participates in the representation of the other's clients or shares in fees paid. On the entrance to the suite of offices shared by Alpha and Gamma are the words "Law Firm of Alpha, Beta & Gamma." Is Alpha subject to discipline? 1. Yes, because Beta was deceased when Alpha made the arrangement with Gamma. 2. Yes, because Gamma is not a partner of Alpha. 3. No, because Alpha and Beta were partners at the time of Beta's death. 4. No, because Gamma is paying a share of the rent and office expenses.

2. Yes, because Gamma is not a partner of Alpha.

Client telephoned attorney, described a problem about which he needed advice and made an appointment for the following week to discuss the matter with attorney. Prior to the appointment, attorney performed 5 hours of preliminary research on client's problem. At the end of the appointment, client agreed that attorney should pursue the matter, agreed to a fee of $100 per hour, and gave attorney a check for $5,000 to cover the 5 hours already worked and $4,500 as an advance payment on further fees and expenses. Attorney gave the check to the office bookkeeper with the directions to "Deposit the check in the Clients' Trust Account and immediately transfer $3,000 to our Office Operating Account to cover the 5 hours of research already conducted plus the 25 additional hours I'll spend on it next week." At that time, attorney reasonably believed that attorney would spend 25 additional hours on the case. The bookkeeper followed these directions. The next week, attorney worked diligently on the matter for 23 hours. Reasonably believing that no significant work remained to be done on the matter, attorney directed the bookkeeper to transfer $200 from the Office Operating Account to the Clients' Trust Account. Attorney then called client and made an appointment to discuss the status of the matter. Is attorney subject to discipline? 1. Yes, because attorney accepted legal fees in advance of performing the work. 2. Yes, because attorney transferred funds for unearned fees to the Office Operating Account. 3. No, because attorney transferred the $200 owed to client from the Office Operating Account to the Clients' Trust Account. 4. No, because attorney reasonably believed that attorney would spend 25 additional hours on the case.

2. Yes, because attorney transferred funds for unearned fees to the Office Operating Account.

An attorney is widely regarded as an exceptionally competent practitioner in the field of criminal law. A client of the attorney became the subject of a grand jury investigation in a matter that could result in a felony indictment. The client lacked sufficient funds to pay for the attorney's services beyond the grand jury stage, so the client asked the attorney to provide limited representation for a flat fee. Under the proposed arrangement, the attorney would advise the client concerning the grand jury investigation, but the representation would end when an indictment was returned or the grand jury decided not to indict. The attorney fully advised the client of the practical and legal aspects of the client's proposal, and the representation commenced with the client's consent. Was the attorney's conduct proper? 1. Yes, because the client and not the attorney suggested this arrangement. 2. Yes, because the attorney and the client may agree to limit the scope of the representation so long as the limitation is reasonable under the circumstances. 3. No, because the attorney should not limit the scope of the representation based on the client's ability to pay. 4. No, because the scope of the representation may not be limited in a criminal case.

2. Yes, because the attorney and the client may agree to limit the scope of the representation so long as the limitation is reasonable under the circumstances.

An attorney is widely regarded as an exceptionally competent practitioner in the field of criminal law. A client of the attorney became the subject of a grand jury investigation in a matter that could result in a felony indictment. The client lacked sufficient funds to pay for the attorney's services beyond the grand jury stage. He asked the attorney to provide limited representation for a flat fee. Under the arrangement he proposed, the attorney would advise the client concerning the grand jury investigation, but the representation would end when an indictment was returned or the grand jury decided not to indict. The attorney fully advised the client of the practical and legal aspects of the client's proposal. Is it proper for the attorney to accept this limited representation? 1. Yes, because the client and not the attorney suggested this arrangement. 2. Yes, because the attorney and the client may agree to limit the scope of the representation so long as the limitation is reasonable under the circumstances. 3. No, because the attorney should not limit the scope of the representation based on the client's ability to pay 4. No, because the scope of the representation may not be limited in a criminal case.

2. Yes, because the attorney and the client may agree to limit the scope of the representation so long as the limitation is reasonable under the circumstances.

An attorney represented a client who was injured when the television antenna he was attempting to erect in his yard came in contact with a power line. As part of its defense, the manufacturer of the antenna claimed that the antenna came with a warning label advising against erecting the antenna near power lines. The client told the attorney that he had not seen a warning label. The client's wife told the attorney that she had kept the antenna and the box it came in and that she saw no warning label anywhere. When called by the attorney as witnesses, both the client and his wife testified that they had never seen a warning label. After their testimony, but while the trial was still in progress, the attorney learned from the wife's sister that there indeed had been a warning label on the box, but that the wife had removed and destroyed it. When the attorney confronted the wife with her sister's statement, the wife admitted destroying the label but insisted that her husband knew nothing about it. The attorney continued the trial, but made no reference to the absence of a warning label in his summation to the jury. Instead, the attorney argued that the warning label, even if seen, was insufficient to advise his client of the serious consequences that would ensure if the warning was not heeded. The jury found in favor of the manufacturer. Is the attorney subject to discipline? 1. Yes, because the attorney called the wife as a witness and she gave perjured testimony. 2. Yes, because the attorney failed to take reasonable remedial action after he realized that the wife had given perjured testimony. 3. No, because the jury apparently disbelieved the wife's testimony. 4. No, because the attorney did not rely on the wife's testimony once he discovered the perjury.

2. Yes, because the attorney failed to take reasonable remedial action after he realized that the wife had given perjured testimony.

An attorney represents the plaintiff in a defamation lawsuit. Both the plaintiff and the defendant are well-known public figures, and the lawsuit has attracted much publicity. The attorney has been billing the plaintiff at an agreed-upon hourly fee for his services. Recently the plaintiff suggested that, rather than paying hourly, she would like to assign the attorney the media rights to a book and movie based on her lawsuit as full payment of services rendered from that point until the end of the litigation. The attorney responded that he would consider it, but that the plaintiff should first seek independent advice as to whether such an arrangement would be in her best interest. The attorney knew that, in the unlikely event that the lawsuit was settled quickly, the media rights might be worth more than he would have earned on an hourly fee basis. Is the attorney subject to discipline if he agrees to the plaintiff's offer? 1. Yes, because the attorney knew that, in the unlikely event that the lawsuit was settled quickly, the media rights might be worth more than he would have earned on an hourly fee basis. 2. Yes, because the attorney has not concluded the representation of the plaintiff. 3. No, because the defamation lawsuit is a civil and not a criminal matter. 4. No, because the attorney recommended that the plaintiff first seek independent advice before entering into the arrangement.

2. Yes, because the attorney has not concluded the representation of the plaintiff.

An attorney represented a respondent in proceedings instituted by a child protection services agency to establish the paternity of a child and to recover past-due child support. The mother of the child had refused to file a complaint, had refused to retain a lawyer, and in fact had asked that the agency not file any action whatsoever. However, state law permitted the agency to commence paternity and support proceedings in its own name in such circumstances. The attorney contacted the mother without the knowledge or consent of the agency or its lawyers. The attorney identified himself to the mother as "an officer of the court" and told the mother that he was investigating the matter. Based upon what she told him, the attorney prepared and the mother signed an affidavit truthfully stating that the respondent was not the father of the child. Is the attorney subject to discipline? 1. Yes, because the attorney acted without the knowledge or consent of the agency or its lawyers. 2. Yes, because the attorney implied that he was disinterested in the matter. 3. No, because all of the attorney's statements to the mother were true. 4. No, because the attorney did not give the mother legal advice.

2. Yes, because the attorney implied that he was disinterested in the matter.

A recently graduated attorney began a plaintiff's personal injury practice, but was having a difficult time attracting clients. The attorney hired an advertising agency to prepare a television commercial in which the attorney appeared to be arguing a case before a jury. In the commercial, the jury brought back a large award for the attorney's client. The voice-over stated that results would vary depending upon the particular legal and factual circumstances. The attorney's only experience at the time the commercial was filmed was in moot court in law school. As a result of airing the commercial, the attorney received several significant cases. Is the attorney subject to discipline? 1. Yes, because the commercial created an unjustified expectation about the results that could be achieved in court. 2. Yes, because the commercial implied that the attorney had successfully argued a case to a jury. 3. No, because commercial speech is protected under the First Amendment. 4. No, because the commercial contained an express disclaimer about the results a client could expect.

2. Yes, because the commercial implied that the attorney had successfully argued a case to a jury.

A lawyer who specialized in patent litigation was asked to represent a client in a patent infringement case against a former client. The lawyer obtained confidential information from the prospective client in order to determine whether a conflict existed. The lawyer called an outside lawyer expert in conflicts of interest to ask for an opinion. The lawyer disclosed the confidential information of the prospective client in order to obtain legal advice on the conflict of interest. The lawyer did not obtain the consent of the prospective client for the hiring of the expert or disclosure of information to the expert. Was the lawyer's conduct consistent with the Model Rules? 1. Yes, because the lawyer did not owe a duty of confidentiality to the prospective client. 2. Yes, because the lawyer disclosed the information in order to secure legal advice about compliance with the conflicts of interest rules. 3. No, because the lawyer did not obtain the prospective client's consent to disclose the information to the outside lawyer expert. 4. No, because lawyer did not obtain the prospective client's consent to hire the outside lawyer expert.

2. Yes, because the lawyer disclosed the information in order to secure legal advice about compliance with the conflicts of interest rules.

A lawyer is drafting a will for a 25-year-old man who was diagnosed with cancer in drafting a will. The man developed severe depression because of the diagnosis and confided in the lawyer that he planned to commit suicide. Suicide was not a crime in the State in which the lawyer and man lived. The lawyer asked the man to consider mental health counselling and the man refused. The lawyer asked the man to share his feelings with his parents and the man refused. The man planned to leave all of his property to his parents. Because of details provided by the man to the lawyer, the lawyer reasonably believed that the man was certain to commit suicide. Therefore, the lawyer shared this information with the man's parents who intervened to save the man's life. Was the lawyer's conduct consistent with the Model Rules? 1. Yes, because the lawyer owed a duty to the man's parents, his sole beneficiaries. 2. Yes, because the lawyer reasonably believed that disclosure was necessary to prevent reasonably certain death. 3. No, because the man refused the lawyer's suggestions that he should share his feeling with his parents. 4. No, because suicide was not a crime in the state in which the man and lawyer lived.

2. Yes, because the lawyer reasonably believed that disclosure was necessary to prevent reasonably certain death.

A woman hires a lawyer for advice on whether she can take her share of the marital estate and flee the country. No children are involved and no court proceeding is pending. The lawyer informs the woman that under state law the client is entitled to take her share of the assets. The woman informs the client that she will initially move to a cabin along the Canadian border and subsequently travel to Canada with her funds. The woman takes all of the assets including those belonging to her husband and disappears. The lawyer knows where the woman is located and, in fact, she calls the lawyer and tells him that the temptation to take all of the assets was present, so she decided to do it. The lawyer informed the woman that she had committed a crime and fraud against the husband. The lawyer is contacted by the police because the client's husband obtained the woman's telephone records. The police ask the lawyer whether he knows the whereabouts of the woman client. The lawyer voluntarily disclosed the location of the woman because he believed that the disclosure would prevent or mitigate the harm to the husband's assets. Was it proper for the lawyer to disclose the location of the client under the Model Rules? 1. Yes, because the client's acts and statements were not protected by the attorney-client privilege. 2. Yes, because the lawyer reasonably believed that disclosure would prevent or mitigate the harm to the husband's assets. 3. No, because disclosure would violate the lawyer's duty of confidentiality to the woman. 4. No, because the client had committed a crime and it was now a past crime, not a continuing crime.

2. Yes, because the lawyer reasonably believed that disclosure would prevent or mitigate the harm to the husband's assets.

A managing partner discovered that an associate in the law firm had overbilled a client for work done over one year ago. The associate, who had carefully hidden the overbilling, resigned and admitted his transgressions. The law firm had controls in place to monitor billing practices, but the associate found a way to change the electronic records in the file. Since the client had not recently given work to the law firm, the managing partner chose not to inform the client or to take any other action. Is the managing partner's conduct subject to discipline? 1. Yes, because it took over a year for the managing partner to discover the overbilling. 2. Yes, because the managing partner failed to take reasonable remedial measures in order to mitigate the consequences of the associate's conduct once she knew that the firm had overbilled the former client. 3. No, because the client was a former client of the firm. 4. No, because the managing partner was not responsible for the associate's violation of the Model Rules

2. Yes, because the managing partner failed to take reasonable remedial measures in order to mitigate the consequences of the associate's conduct once she knew that the firm had overbilled the former client.

L&C represents Intel for immigration matters related to its plant in Israel. Chipper, Inc. has asked L&C to represent it in a billion dollar patent infringement claim against Intel. In its retainer, Intel waived its right to object to future conflicts. Is that waiver effective here? 1. Yes, because sophisticated clients can waive their right to object to future conflicts. 2. Yes, unless the conflict is non-consentable. 3. No, because clients cannot waive their right to object to future conflicts. 4. No, because the conflict results in direct adversity or the attorney's material limitation.

2. Yes, unless the conflict is non-consentable.

Which of the following URL's are likely to be approved as a trade name for use by an attorney or law firm? 1. www.weneversettle.com 2. www.druginjurylawyers.com 3. www.ialwayswin.com 4. www.supertaxlawyer.com 5. None of the above. 6. All of the above.

2. www.druginjurylawyers.com

Jennifer Lawrence has been practicing law for three years, handling a variety of matters, including a few criminal cases. She is outspoken and takes many controversial public positions, including participation in a campaign to apply the death penalty in connection with all crimes committed with a gun. A criminal court judge has just appointed Jennifer to represent Bradley Cooper, an indigent defendant, in a prosecution for armed robbery. Jennifer is reluctant to handle the case because of her declared prejudice against criminals who resort to the use of deadly weapons. Which of the following steps may Jennifer take? (I.) Accept the appointment and represent Bradley as competently as she is able. (II.) Ask the judge to relieve her of the appointment because it is repugnant to her to represent a criminal charged with armed robbery. (III.) Ask the grievance committee or ethics hotline of the local bar association whether she may take the case under the circumstances. 1. I only. 2. I and II. 3. II and III. 4. III only

3. II and III.

Attorney Alpha currently represents Builder, a building contractor who is the plaintiff in a suit to recover for breach of a contract to build a house. Builder also has a petition pending before the zoning commission to rezone property Builder owns. Builder is represented by Attorney Beta in the zoning matter. Neighbor, who owns property adjoining that of Builder, has asked Alpha to represent Neighbor in opposing Builder's petition for rezoning. Neighbor knows that Alpha represents Builder in the contract action. May Alpha represent Neighbor in the zoning matter? 1. Yes, if there is no common issue of law or fact between the two matters. 2. Yes, because one matter is a judicial proceeding and the other is an administrative proceeding. 3. No, because Alpha is currently representing Builder in the contract action. 4. No, if there is a possibility that both matters will be appealed to the same court.

3. No, because Alpha is currently representing Builder in the contract action.

Lawyer Def represented a defendant in a products liability lawsuit involving an automobile. In settlement negotiations, Lawyer Def and Lawyer Pl (representing plaintiff) were emailing proposals back and forth. Lawyer Def received a proposal in an email from Lawyer Pl. Lawyer Def reasonably believed that Lawyer Pl send the proposal inadvertently, because it was only half finished, full of typos, and included obvious grammatical errors. Without notifying his automobile company client, Lawyer Def informed Lawyer Pl that it looked like Lawyer Pi sent the email inadvertently. Did Lawyer Def violate any of the Model Rules? 1. Yes, because Lawyer Def did not notify his client about the decision to inform Lawyer Pl of the apparent error. 2. Yes, unless Lawyer Def discovered useful information on the draft proposal. 3. No, because Lawyer Def promptly informed Lawyer Pl about the inadvertent disclosure of the letter. 4. No, because Lawyer Def has a duty of zealous representation, which precludes him from informing Lawyer Pl.

3. No, because Lawyer Def promptly informed Lawyer Pl about the inadvertent disclosure of the letter.

An attorney experienced several instances when clients failed to pay their fees in a timely manner, but it was too late in the representation to withdraw without prejudicing the clients. To avoid a recurrence of this situation, the attorney added to the engagement agreement a provision that reads: "The attorney will withdraw immediately from the representation in the above named matter for any failure to remit fees reasonably billed to the client." The attorney requires all clients to sign this engagement letter at the outset of the representation. Is the attorney's conduct proper? 1. Yes, because an attorney may withdraw when the financial burden of continuing the representation would be substantially greater than the parties anticipated at the time of the agreement. 2. Yes, because the clients consented to the withdrawal in the stipulation. 3. No, because a client's failure to pay fees when due may be insufficient in itself to justify withdrawal. 4. No, because the clients are not provided an opportunity to seek independent legal advice before signing the engagement letter.

3. No, because a client's failure to pay fees when due may be insufficient in itself to justify withdrawal.

An attorney's practice is limited to personal injury cases, and the attorney's website provides that the practice is limited to personal injury cases, including medical malpractice. The attorney frequently blogs, using the same website, about current medical malpractice issues. After visiting the attorney's website, the parents of a premature baby asked the attorney to represent them in medical malpractice case against the doctor who delivered their baby. After a 30-minute interview, the attorney told the parents that the attorney was too busy to take the case, and offered to refer the parents to another lawyer who regularly practiced in the field. The attorney reminded the parents that they should see another lawyer promptly, before the statute of limitations expired. This advice satisfied the standard of care in the community for prospective clients. Although the consultation meeting was free, the parents were upset at wasting their time. The parents did not contact another lawyer until eight months later, when they learned that the statute of limitations on their claim had expired. In fact, the parents had a meritorious medical malpractice claim. Is the attorney subject to civil liability? 1. Yes, because the attorney falsely advertised availability for medical malpractice cases. 2. Yes, because the attorney did not advise the parents as to the date the statute of limitations would expire. 3. No, because the attorney did not breach any duty owed to the parents. 4. No, because the attorney offered to refer the parents to another medical malpractice lawyer.

3. No, because the attorney did not breach any duty owed to the parents.

A company's president asked the jurisdiction's best-known employment attorney to represent the company in a dispute that had just arisen with the company's chief financial officer. The attorney, who had never previously represented the company, agreed. At the president's insistence, the attorney immediately commenced the representation. A few days later, during a meeting with the president, the attorney first revealed the amount of the customary hourly fee and then explained that the company would also be responsible for reimbursing all expenses. The president responded that the fee was higher than expected but that the company would be happy to pay it, given the attorney's excellent work to date. Although the attorney intended to follow up with a confirming letter, the attorney never did so. For several more months, the attorney assisted the company in resolving its employment dispute. Afterward, the attorney sent the company a bill accurately reflecting the hourly fee and expenses, which were reasonable. Is the attorney subject to discipline? 1. Yes, because the attorney did not disclose the basis of the fee before commencing the representation. 2. Yes, because the attorney did not confirm her fee agreement in writing. 3. No, because the attorney disclosed the basis of the fee within a reasonable time after commencing the representation. 4. No, because the attorney was not required to advise the client of the customary hourly fee, unless requested to do so.

3. No, because the attorney disclosed the basis of the fee within a reasonable time after commencing the representation.

An attorney represented a real estate developer who was trying to buy several properties. The attorney arranged a meeting with an owner of two large parcels of land, hoping to arrange a sale to the developer. When the attorney scheduled this meeting, he neither knew nor asked whether the owner was represented by counsel in the matter. Shortly after the meeting began, the owner disclosed that he had retained counsel to assist in the sale of the two parcels of land, but that his lawyer could not be present that day. He further stated that he would be meeting with his lawyer the next day. The attorney asked the owner if they could talk anyway, and stated that he wouldn't ask the owner to sign anything until his lawyer had a chance to look over anything they discussed. The owner, an experienced businessman and negotiator, agreed to continue as suggested, and a tentative agreement was soon worked out. Was the attorney's conduct proper? 1. Yes, because the owner knowingly agreed to continue the discussions without his own lawyer being present. 2. Yes, because the attorney did not present the owner with any documents to sign during the meeting. 3. No, because the attorney negotiated with the owner after learning that the owner was represented by a lawyer in the matter. 4. No, because the attorney failed to ascertain whether the owner was represented by a lawyer before beginning the negotiation session.

3. No, because the attorney negotiated with the owner after learning that the owner was represented by a lawyer in the matter.

An attorney with a very busy practice is known for charging fees much lower than the local standard. The attorney is able to afford these fees by advertising for free on Twitter and Facebook and by requiring all prospective clients, after being represented by independent counsel, to sign a contract waiving all possible malpractice claims. Because of these waivers, the attorney does not carry malpractice insurance. Is the attorney subject to discipline? 1. Yes, because the attorney advertises on Facebook and Twitter. 2. Yes, because the attorney's fees are lower than the local standard. 3. No, because the clients are represented by independent counsel in agreeing to the liability waiver. 4. No, because attorneys are required to carry malpractice insurance.

3. No, because the clients are represented by independent counsel in agreeing to the liability waiver.

An attorney served two four-year terms as the state's governor immediately prior to reopening his law office in the state. The attorney printed and mailed an announcement of his return to private practice to members of the bar, previous clients, and personal friends whom he had never represented. The printed announcement stated that the attorney had reopened his law office, gave his address and telephone number, and added that he had been the state's governor for the past eight years. The outside envelope for the mailing displayed the phrase "Advertising Material." Is the attorney subject to discipline for the announcement? 1. Yes, because the mailing included persons who had not been his clients. 2. Yes, because his service as governor is unrelated to his ability as a lawyer. 3. No, because the information in the announcement was true. 4. No, because the announcement does not display the words "Advertising Material."

3. No, because the information in the announcement was true.

A law firm represented one large bank (Large Bank) and several small banks in the state. Because the Large Bank generated significant business for the lawyers, the firm would always ask new small bank clients to consent to future conflicts of interest that may arise with other clients including the Large Bank. The clause in the standard retention agreement stated: "The small bank agrees not to disqualify the law firm from representing any other client of the firm when a conflict arises. The small bank agrees to obtain new counsel for any matter related to the conflict of interest. And, if the small bank chooses to terminate its relationship with the law firm, the law firm will return all fees on any matters that have not been completed." May the law firm use the advance consent agreement to address conflicts with small bank clients under the Model Rules? 1. Yes, because the law firm used a written agreement to address the future conflict of interest and such agreements were used in the corporate client context. 2. Yes, because law firms may use advance consent agreements to address conflicts among clients in the same industry. 3. No, because the language of the advance consent clause is too open ended and applies to all future conflicts that may arise with a small bank client. 4. No, unless the small bank client has the clause reviewed by independent legal counsel before signing the engagement agreement.

3. No, because the language of the advance consent clause is too open ended and applies to all future conflicts that may arise with a small bank client.

A real estate lawyer was approached by two large corporate clients, one a seller of an industrial plant and one seeking to buy the plant. The corporations wanted the lawyer to represent each of them in negotiating the price and terms of the transaction, drafting the documents, and in closing the transaction. The lawyer knew the parties were sophisticated and capable of making informed decisions. But the lawyer knew there were many conflicts in how this agreement could be drawn and the property closed and was uncertain as to whether he could represent both clients. The lawyer was not able to have a reasonable degree of confidence that she could deliver competent and diligent representation to the corporate clients. The management of the two corporations agreed to waive the conflicts and have one lawyer represent both entities in the sale and negotiation of the price and terms of the deal. As sophisticated clients and experienced users of legal services, they explicitly took all of the risk to protect themselves in the transaction. 1. Yes, because the corporate clients' consent to the conflict was executed by experienced users of legal services. 2. Yes, because the lawyer knew that the corporate clients were capable of making informed decisions. 3. No, because the lawyer did not have a degree of confidence that she could deliver competent and diligent representation to both clients because of the complexity of the transaction. 4. No, because attorneys may never represent buyer and seller of real estate in the same transaction.

3. No, because the lawyer did not have a degree of confidence that she could deliver competent and diligent representation to both clients because of the complexity of the transaction.

A lawyer represented a client selling a small business operated by a family. The business sold unique toys to children and had a significant following in the local community. The business operated at a reasonable profit, but nothing extraordinary for businesses in this price range. The client offered the business for sale on an as-is basis. A potential buyer who was not represented by counsel approached the lawyer to negotiate a purchase price. In a negotiation, the lawyer provided the last year's financial statements. The lawyer offered to provide earlier information if the purchaser wanted it, but did not provide it because the seller did not ask and the prior year was slightly more profitable than the earlier years. The lawyer stated, "It is a dream of every mother and father to operate such a business that makes kids happy and makes an attractive profit on your investment." The buyer purchased the business. Later, when the buyer examined the financials, the buyer complained that the lawyer misled him into believing that the business was highly profitable. Did the lawyer violate the Model Rules in negotiating the sale of the business with the buyer? 1. Yes, because the lawyer did not provide the buyers with earlier financial statements that would have shown a lower profit for the business. 2. Yes, because the lawyer negotiated the sale of the business with an unrepresented buyer without advising the buyer to obtain independent representation. 3. No, because the lawyer's verbal statements about the value of the business were statements in negotiation relating to value that are not considered to represent a material fact. 4. No, because since the business was offered for sale on an as-is basis, the rules regarding misrepresentation are inapplicable.

3. No, because the lawyer's verbal statements about the value of the business were statements in negotiation relating to value that are not considered to represent a material fact.

Two nineteen year old teenagers, Able and Baker, were arrested for vandalizing a park sign. The crime was a felony that carried potential jail time, but in all probability, a prosecutor would seek misdemeanor charges against the two teenagers. Able was a model student with no prior involvement in prior crimes, while Baker had been convicted of several drug charges in the past. Therefore, the two teenagers were likely to have different plea bargaining and sentencing options. However, because both teenagers were under the age of 21 years old they would be able to expunge and seal any convictions once they turned 21 years old. 1. Yes, because both teenagers could expunge and seal any convictions once they turned 21 years old. 2. Yes, because in all probability the prosecutor would seek misdemeanor charges against the two teenagers. 3. No, unless both Able and Baker gave informed consent confirmed in writing to the joint representation. 4. No, because the matter involved a criminal case with two prospective clients with different prior criminal histories.

3. No, unless both Able and Baker gave informed consent confirmed in writing to the joint representation.

An attorney advertises during a popular podcast on the local public radio station. In the advertisements, a professional actor says: "Do you need a lawyer? Visit attorney at www.wakeforestlawyer.com. The fees might be lower than you think." As required by the regulatory bar, the attorney received approval for the URL trade name and the text of the prerecorded advertisement, and also as required by the regulatory bar, is maintaining a copy of the recording of the actual transmission and a record of when each transmission was made. Is the attorney's conduct proper? 1. No, because the attorney uses the phrase "[t]he fees might be lower than you think." 2. No, because the attorney used a professional actor in the ad. 3. Yes, because the ad is in compliance with the Rules. 4. Yes, because once the regulatory bar has approved a trade name, an attorney may say anything in the attorney's ads.

3. Yes, because the ad is in compliance with the Rules.

A client, who was an inventor, retained an attorney to help the client file a patent. The client told the attorney that time was of the essence because there were competitors with similar ideas. The attorney and the client signed a retainer agreement that set forth the attorney's hourly rate and agreed that the attorney would bill the client monthly. After spending significant time researching the client's potential patent, the attorney concluded that the client had a reasonable chance of success. The attorney sent a bill to the client, but through no fault of client's, the bills were not delivered (and were not returned to the attorney). During the six months that the attorney was not paid, the attorney did no further work on the client's potential patent. In month seven, the client called the attorney and asked if the patent had been awarded. The attorney explained that the attorney had not worked on the patent during the past six months because the client's bill was outstanding. The client hand-delivered a check that same day. Upon receiving the client's check, the attorney resumed work on the patent. The attorney checked and saw that no one had filed a similar or identical patent during the past six months. The attorney filed the patent application and took the necessary steps so that the client could issue her invention with the label "patent pending." Is the attorney subject to discipline? 1. No, because a client cannot compel an attorney to work without payment. 2. No, because the client did not sustain any harm as a result of the attorney's action. 3. Yes, because the attorney did not work on the client's patent for six months. 4. Yes, because the attorney did not seek permission from a tribunal to withdraw from the representation.

3. Yes, because the attorney did not work on the client's patent for six months.

An attorney represents a client in large lawsuit in which the client is being sued by an injured party for failure to warn. Various settlements offers have been rejected by both sides, and the case is scheduled to go to trial next month. For the last few weeks, the client has disagreed with almost every tactical decision that the attorney has made. The attorney told the client that the attorney didn't like the way the client was behaving and recommended that the client get another lawyer. The client was upset at the suggestion and accused the attorney of trying to get out of the case. Reasonably believing that he could no longer work effectively with the client, the attorney sought the client's permission to withdraw from the representation, and the client reluctantly agreed. After giving the client sufficient notice to obtain replacement counsel, the attorney requested the court's permission to withdraw from the litigation, but the court denied the request. The attorney, still reasonably believing that the attorney is unable to continue, sent the client an email stating that the attorney will not be representing the client. Is the attorney subject to discipline? 1. No, because the client agreed to the withdrawal, and the attorney gave the client sufficient notice to obtain replacement counsel. 2. No, because the client made it unreasonably difficult for the attorney to carry out the representation, and the attorney belief about this was reasonable. 3. Yes, because the court denied the attorney's request to withdraw. 4. Yes, because the attorney's withdrawal would cause material prejudice to the client, given the trial schedule.

3. Yes, because the court denied the attorney's request to withdraw.

Walter White, an attorney, represents Jesse. In support of Jesse's case, Walter has to argue to a trial court that a provision of the state's law is unconstitutional. Walter also represents Hank in a totally unrelated matter. In support of Hank's case, Walter has to argue to another trial court judge in the same jurisdiction that the same statute that is at issue in Jesse's case is constitutional. Walter's action are: 1. impermissible because no lawyer can competently argue contradictory positions on the same legal issue. 2. impermissible because a lawyer may not be of record at the same time in two cases relying on contradictory positions. 3. proper. 4. proper only if Walter first informs both judges that he is advocating completely contradictory positions.

3. proper.

Attorney was formerly employed by Insurance Company as a lawyer solely to handle fire insurance claims. While so employed she investigated a fire loss claim of Claimant against Insurance Company. Attorney is now in private practice. Assume that the original claim was settled. One year after Attorney left the employ of Insurance Company, Claimant slipped and fell in Insurance Company's office. Claimant now asks Attorney to represent him or refer him to another lawyer for suit on the "slip and fall" claim. Which of the following would be proper for Attorney to do? (I) Refuse to discuss the matter with Claimant. (II) Represent Claimant. (III) Give Claimant a list of lawyers who Attorney knows are competent and specialize in such claims. 1. I only. 2. I and II, but not III. 3. I and III, but not II. 4. I, II, and III.

4. I, II, and III.

During protracted pretrial proceedings, Client complained bitterly about time and expense involved and insisted that Attorney take steps to terminate pretrial proceedings. Attorney believes that the case cannot be adequately prepared for trial without further pretrial proceedings that will require an additional six months delay and further expense. The retainer states that the client has the final say on the costs of the matter. Should Attorney follow the client's instructions? 1. Yes, because lawyers must follow client instructions. 2. Yes, because lawyers and clients may agree to limit the scope of representation. 3. No, because lawyers may never limit the scope of representation. 4. No, because lawyers may not agree to limit the representation under these circumstances.

4. No, because lawyers may not agree to limit the representation under these circumstances.

An attorney decided to obtain a master's degree in taxation, but lacked the funds required for tuition and expenses. The attorney consulted one of his clients, a wealthy banker, for advice about obtaining a loan. To the attorney's surprise, the client offered the attorney a personal loan of $10,000. The attorney told the client that he would prepare the required note without charge. Without further consultation with the client, the attorney prepared and signed a promissory note bearing interest at the current bank rate. The note provided for repayment in the form of legal services to be rendered by the attorney to the client without charge until the value of the attorney's services equaled the principal and interest due. The note further provided that if the client died before the note was fully repaid, any remaining principal and interest would be forgiven as a gift. The attorney mailed the executed note to the client with a transmittal letter encouraging the client to look it over and call with any questions. The client accepted the note and sent the attorney a personal check for $10,000, which the attorney used to obtain his master's degree. A month after the degree was awarded, the client was killed in a car accident. The attorney had not rendered any legal services to the client from the date of the note's execution to the date of the client's death. Thereafter, in an action brought by the client's estate to recover on the note, the court ruled that the note was discharged as a gift. Was the attorney's conduct proper? 1. Yes, because the client, without having been requested by the attorney to do so, voluntarily made the loan. 2. Yes, because the court ruled that the note had been discharged as a gift. 3. No, because a lawyer may never accept a loan from a client. 4. No, because the attorney did not comply with the requirements for entering into a business transaction with a client.

4. No, because the attorney did not comply with the requirements for entering into a business transaction with a client.

An attorney represented the CEO of a large energy company who was subpoenaed to appear and testify before a congressional oversight committee. During the hearing, the attorney, reasonably believing that it was in the CEO's best interest not to answer, advised the CEO not to answer certain questions on the grounds that CEO had a constitutional right not to answer. The chair of the committee directed the CEO to answer and cautioned the CEO that a refusal to answer was a crime. The CEO refused to answer, based on the attorney's advice. The CEO was subsequently convicted for refusing to answer. Is the attorney subject to discipline? 1. Yes, because the advice to the CEO was not legally sound. 2. Yes, because the CEO, in acting on the attorney's advice, committed a crime. 3. No, because the offense the CEO committed did not involve moral turpitude. 4. No, because the attorney reasonably believed the CEO had a legal right to refuse to answer the questions.

4. No, because the attorney reasonably believed the CEO had a legal right to refuse to answer the questions.

A criminal defense lawyer represented a man charged with murder and was held in prison without bail. The victim's body had not yet been discovered and the lawyer asked the client confidentially about his involvement in the crime. The client informed the lawyer about his involvement in the crime and the client detailed how this event had occurred. The lawyer felt sorry for the victim's family and wanted to disclose the location of the body to give the family closure, but the lawyer also knew that disclosure could provide forensic evidence that would link the client to the crime. The authorities were expending significant funds in trying to find the victim's body. However, the client did not wish to cooperate and instead wanted to take his chance at trial. May the lawyer anonymously disclose the location of the body? 1. Yes, because the client was involved in a crime. 2. Yes, because the client's discussion of the past crime was not protected by the attorney-client privilege. 3. Yes, because the client did not want to cooperate with the authorities and the information related to a past crime. 4. No, because the duty of confidentiality protects all information provided to the lawyer by the client.

4. No, because the duty of confidentiality protects all information provided to the lawyer by the client.

An attorney's standard engagement letter in divorce cases provides for the payment of a fee of one-third of the amount of the property settlement secured by the attorney. The attorney declines to represent clients who do not agree to this arrangement. Is the attorney's conduct proper? 1. Yes, because clients often prefer to pay a lawyer a fee based on the outcome of the case. 2. Yes, because a fee of one-third is per se reasonable in contingency fee cases. 3. No, because a lawyer may not acquire a proprietary interest in a cause of action. 4. No, because the fee is contingent.

4. No, because the fee is contingent.

A wills and estates lawyer had accepted so many pending will drafting matters that when a prospective client approached the lawyer to inquire about a will drafting representation, the lawyer had to inform the client that he would need a month to complete a draft of a will. The lawyer would not consider representations where such a delay would prejudice the client's interest, such as where the client was clearly near death. And, even after finding delay was not inappropriate in the client's individual case, the lawyer always would obtain the client's informed consent to the delay. Does the lawyer's approach to delay in preparing wills for new clients violate the lawyer's duty of diligence to the client? 1. Yes, because a delay of one month is per se unreasonable for a wills and estates lawyer given that no one really knows when one is going to die. 2. Yes, because the lawyer needs to stop accepting new representations until his delay is reduced so that he can promptly work on client matters. 3. No, because the lawyer has no duty of diligence in a nonlitigation representation. 4. No, because the lawyer analyzes the prospective representation to determine whether the month delay would prejudice the client's interests and then obtains the client's informed consent to the delay.

4. No, because the lawyer analyzes the prospective representation to determine whether the month delay would prejudice the client's interests and then obtains the client's informed consent to the delay.

A lawyer in a law firm overheard his nonlawyer assistant talking on the telephone about a law firm matter. The lawyer heard the assistant disclose confidential client information during the telephone call. The assistant's conversation drifted to other personal topics that made the lawyer suspect that the other person on the call was not a law firm employee. The lawyer did not ask his nonlawyer assistant but asked several lawyers whether they had ever witnessed any similar incidents with this nonlawyer assistant and she received no information that would make her believe there was an ongoing problem. The lawyer continued to casually monitor the assistant's phone calls and did not notice any new improper conversations. The lawyer decided not to confront the assistant and instead chose to view this as an isolated incident. The lawyer never notified the client about the possible breach of confidential information by the law firm. Was the lawyer's conduct in this situation consistent with the Model Rules? 1. Yes, because the lawyer conducted an investigation about other possible breaches of confidential information. 2. Yes, because the assistant appeared to have only one possible breach of confidentiality in her employment. 3. No, because the lawyer did not notify the client to inform the client of the breach of confidentiality. 4. No, because the lawyer possessed knowledge that a potential breach of confidential information occurred by the assistant and the lawyer did not confront the paralegal to be sure that the breach of confidentiality did not have adverse consequences for the client and that such a breach would not happen again.

4. No, because the lawyer possessed knowledge that a potential breach of confidential information occurred by the assistant and the lawyer did not confront the paralegal to be sure that the breach of confidentiality did not have adverse consequences for the client and that such a breach would not happen again.

A prisoner confessed to committing a crime for which another person was convicted and imprisoned. The prisoner informed the warden, who informed the prosecutor about the location of a weapon used in the crime. The prosecutor knew that the prisoner was not represented by counsel at the time of his discussions with the warden. The information was new, credible, and material because the prosecutor knew that the prisoner had information only someone close to the crime could have known. This information created a reasonable likelihood that the person convicted of the crime did not commit the offense. The conviction of the person had taken place in a neighboring jurisdiction, so the prosecutor informed the person's lawyer about the new evidence, and assumed that would be sufficient to address the situation. The person's lawyer was still representing the person on a collateral attack on the conviction. Were the prosecutor's efforts to remedy the possible wrongful conviction consistent with the Model Rules? 1. Yes, because the prosecutor took steps to remedy the possible wrongful conviction by informing the person's lawyer. 2. Yes, because the possible wrongful conviction did not occur in the prosecutor's jurisdiction. 3. No, because the warden received the information from a prisoner who was not represented by counsel. 4. No, because the prosecutor did not inform the court or other authority in the jurisdiction where the person was convicted.

4. No, because the prosecutor did not inform the court or other authority in the jurisdiction where the person was convicted.

A prosecutor was prosecuting a case against a criminal defendant accused of robbing a jewelry store. The police had obtained a hat worn by the individual who robbed the store and left behind at the scene. A forensic test of the hair follicles in the hat did not match the hair of the defendant. The test results tended to negate the guilt of the accused. The defendant's attorney did not ask for the results of the forensic test. Therefore, the prosecutor did not disclose this evidence because it was possible that the forensic test had been compromised. The defendant was acquitted by a jury and went free. Was the prosecutor's decision not to disclose the forensic evidence to the defendant consistent with the Model Rules? 1. Yes, because the prosecutors have no duty to disclose physical evidence to the defendant. 2. Yes, because the defendant's attorney did not ask for the results of the forensic test. 3. No, because the prosecutor had a duty to drop the charges when she received the results of the forensic test. 4. No, because the prosecutor had an obligation under the Model Rules to disclose the test results to the defendant.

4. No, because the prosecutor had an obligation under the Model Rules to disclose the test results to the defendant.

An attorney closed her law practice when she became a state senator. A bank, one of the senator's former private clients, asked her, as its senator, to try to persuade a state agency to grant the bank a license to open a new branch bank. While the bank's request was pending before the agency, the senator wrote a letter on her legislative letterhead to the agency's chair, asserting that the branch would satisfy a local business need and urging that the bank's application be granted. The senator neither sought nor received any compensation from the bank for her efforts. Eventually the agency granted the bank's application, in part because of the senator's efforts. Is the senator subject to discipline? 1. Yes, because the senator used her public position to attempt to influence the agency on behalf of the bank. 2. Yes, because the agency granted the bank's application in part due to the senator's efforts. 3. No, because the senator's letter to the agency's chair did not express an opinion about the law. 4. No, because the senator acted on behalf of the bank as a constituent and not as a client.

4. No, because the senator acted on behalf of the bank as a constituent and not as a client.

Harlon Ross, an attorney, is handling a high-stakes insurance case for David Epstein. The contingency fee contract, signed two months ago, provides that Ross will receive one-third of the recovery after reimbursement of expenses. Fearing a large verdict and anxious to settle, the insurance company offers Ross $6 million dollars. After consultation with Epstein, Ross accepts and soon receives a check for the full amount. Ross deposits the check in his trust account. After talking with friends, one of whom is a 3L at WFU Law School, Epstein is unhappy that Ross will receive so much money for so little work, and he challenges the fee. Subsequently, Ross issues a check to Epstein for $4 million and transfers the balance to his office operating account. Ross brings an action against Epstein to fix his fee. He takes the stand and testifies about the difficulty of the case, the hours of work, and that, because Epstein has a severe drug and alcohol problem, his work was made unusually difficult. Upon objection by Epstein's new counsel, the court rules Ross's testimony relevant and admissible. Ross is subject to discipline for: (I.) charging an excessive fee (II.) suing Epstein for his fee. (III.) refusing to revise his fee on Epstein's request. (IV.) basing his fee on a contingency. 1. I only 2. II only 3. III and IV 4. None of the above.

4. None of the above.

An attorney, who is a certified elder law specialist, entered into a partnership with a certified financial planner. The partnership provided legal and other assistance to clients in connection with issues related to aging. The attorney did not allow the certified financial planner to interfere with the attorney's independent legal judgment. The financial planner performed only work that she was authorized to perform as a certified financial planner. Is the attorney subject to discipline? 1. No, because it is in the best interests of the attorney's clients to receive coordinated advice about both legal services and financial planning. 2. No, because the attorney did not allow the certified financial planner to interfere with the attorney's independent legal judgment. 3. Yes, because the attorney's clients are more subject to undue influence if they receive their legal services and financial planning at the same time. 4. Yes, because the attorney formed a partnership with a certified financial planner and some of the activities of this partnership consisted of the practice of law.

4. Yes, because the attorney formed a partnership with a certified financial planner and some of the activities of this partnership consisted of the practice of law.

Two years ago, Attorney Anna was employed by State's Department of Transportation (DOT) to search title to several tracts of land. Anna has not been employed by DOT during the last year. Recently, DOT instituted proceedings to condemn a tract, owned by Owner, for a new highway route. Owner asked Anna to represent her in obtaining the highest amount of compensation for the condemnation. Owner's tract is one of the tracts on which Attorney searched title two years ago. Anna remembers that Engineer, a DOT engineer, once drafted a confidential memorandum advising against running a new highway across Owner's land because of potential adverse environmental impact. Because of this information, Anna believes it is possible to prevent the condemnation of Owner's land or to increase the settlement amount. It is proper for Anna to: 1. represent Owner on the issue of damages only and not disclose the information that might prevent the condemnation. 2. represent Owner and attempt to prevent the condemnation by using the information about the adverse environmental impact. 3. refuse to represent Owner, but disclose to Owner theinformation about the adverse environmental impact. 4. refuse to represent Owner and not disclose the information about the adverse environmental impact.

4. refuse to represent Owner and not disclose the information about the adverse environmental impact.

Client Omar retained Lawyer McNulty to appeal his criminal conviction and seek bail pending appeal. They agreed on a $200/hour fee for the appearance on the bail hearing. Omar paid McNulty $2,000, $500 of which was for the bail costs if McNulty could obtain bail. McNulty maintained an Operating Account and a Client Trust Account. McNulty deposited the $2,000 in the Client Trust Account the week before the bail hearing. McNulty spent six hours of time on the bail hearing, but not succeed in obtaining bail. Dissatisfied, Omar immediately demanded that McNulty return the $2,000. It is proper for McNulty to: 1. leave $2,000 in the Trust Account until the fee dispute is resolved. 2. transfer $1,200 to the Operating Account and leave $800 in the Client's Trust Account until the lawyer's fee for the final appeal is determined. 3. transfer $1,200 to the Operating Account and send Omar an $800 check from the Client's Trust Account. 4. send Omar an $800 check from the Client's Trust Account and leave $1,200 in the Client's Trust Account until the fee dispute is resolved.

4. send Omar an $800 check from the Client's Trust Account and leave $1,200 in the Client's Trust Account until the fee dispute is resolved.

Don Draper, an attorney, is the managing partner in a very busy law firm that is known for charging fees much lower than the local standard. Draper is able to afford these fees by advertising on Facebook and by requiring all of his prospective clients to sign a contract waiving all possible malpractice claims. Relying on these contracts, Draper does not carry malpractice insurance. Draper is subject to discipline: (I.) Because he advertises via Facebook. (II.) Because his fees are lower than the local standard. (III.) If his clients are not represented by independent counsel in agreeing to liability waiver. (IV.) Because he does not carry malpractice insurance and the Model Rules require him to carry such insurance. 1. I and II. 2. I and III. 3. I and IV. 4. II only. 5. III only.

5. III only.

Attorney Alpha, a member of the bar, placed a printed flyer in the booth of each artist exhibiting works at a county fair. The face of the flyer contained the following information: "I, Alpha, am an attorney, with offices in 800 Bank Building, telephone (555) 555-5555. I have a J.D. degree from State Law School and an M.A. degree in fine arts from State University. My practice includes representing artists in negotiating contracts between artists and dealers and protecting artists' interests. You can find me in the van parked at the fair entrance." All factual information on the face of the flyer was correct. There was a retainer agreement on the back of the flyer. At the entrance to the fair, Alpha parked a van with a sign that read "Alpha-Attorney at Law." For which, if any, of the following is Alpha subject to discipline? 1. Placing copies of the flyer in the booth of each artist. 2. Including a retainer agreement on the back of the flyer. 3. Parking the van with the sign on it at the fair entrance. 4. 1 & 2 5. All of the above. 6. None of the above.

6. None of the above.

Which of the following is true? A Leading legal ethics experts have not always believed that legal ethics could be taught. B Research finds that law students' altruism increases during law school. C Bar associations have always required law schools to provide training in legal ethics. D Research indicates that moral development ends after adolescence.

A Leading legal ethics experts have not always believed that legal ethics could be taught.

All of the following are traditional elements of professionalism except: A Representing clients as zealously as possible within the bounds of the law. B Expertise that is inaccessible to nonlawyers. C Putting the public good above self-interest. D Significant autonomy from government and market regulation.

A Representing clients as zealously as possible within the bounds of the law.

Which, if any, of the following sources of authority is not binding on lawyers? A Restatement of the Law Governing Lawyers. B Case law on malpractice. C Criminal law. D The Sarbanes-Oxley regulations on practice before the SEC.

A Restatement of the Law Governing Lawyers.

A client is a citizen of a foreign country known for corruption. The client asks an attorney with whom he previously had no professional relationship to help the client purchase an expensive apartment with cash. During a meeting to discuss the details of this purchase, the client tells the attorney that the client would like to structure the purchase so that it would be very difficult if not impossible for someone to find out that the client purchased the property. When the attorney asked why, the client winked and said "I don't like the government knowing what I am doing." The attorney agreed to accept the representation and said that he would structure the transaction so that the client was the sole shareholder in a corporation which owned another corporation which purchased the apartment with cash. This corporate structure made it extremely difficult for anyone to determine the client's identity as the purchaser of the property. The client had stolen the funds that would be used to purchase the apartment. Is the attorney subject to discipline? A Yes, because Rule 1.16(a) requires a lawyer to reject representation if the representation will result in violation of law. Here, the attorney helped his client conceal assets, which is a violation of 18 U.S.C. § 1956 because the assets were the proceeds of a crime. B No, because it is not illegal to create a corporation and thus the attorney may set up a corporation that owns another corporation that purchases real estate.

A Yes, because Rule 1.16(a) requires a lawyer to reject representation if the representation will result in violation of law. Here, the attorney helped his client conceal assets, which is a violation of 18 U.S.C. § 1956 because the assets were the proceeds of a crime.

An attorney represented a company on transactional matters. After the U.S. Securities and Exchange Commission (SEC) advised the company that it was the subject of an investigation, the company asked the attorney if the attorney would represent it in the SEC investigation. The attorney declined to do so and the company retained other counsel. Nonetheless, from time to time, the company's representatives asked the attorney legal questions about the SEC investigation and the attorney provided off-the-cuff answers. Does the attorney have a lawyer-client relationship with the company for purposes of the SEC investigation? A Yes, because the attorney answered company's questions when the attorney knew or reasonably should have known that the company would reasonably rely on the attorney's answers. B Yes, because the attorney previously represented company in its transactional work. C No, because the attorney declined to represent company in the SEC investigation. D No, because company did not pay the attorney to represent it in the SEC matter.

A Yes, because the attorney answered company's questions when the attorney knew or reasonably should have known that the company would reasonably rely on the attorney's answers.

An attorney is a certified specialist in family law and a partner in a law firm that practices family law exclusively. The attorney was working very late one night when she received a telephone call from one of her clients who had been arrested and was currently in jail. The client told the attorney that he was claustrophobic and begged the attorney to try to get the client released on bail. The attorney advised the client that the attorney did not have any criminal law expertise and did not handle criminal cases. The client said that he had now used his one free phone call and pleaded with the attorney to come to the police station and see what the attorney could do to get the client out on bail. Because the attorney lived relatively close to the police station and the client was distraught, the attorney went to the police station to try to secure the client's release. As a result of the attorney's lack of experience, the attorney was unable to secure the client's release. The next morning, the attorney found an experienced criminal lawyer who obtained the client's release within one hour. Was the attorney's conduct proper? A Yes. Neither referral to another lawyer nor consultation with another lawyer was practical under the circumstances. B Yes. The attorney did not charge the client for his services. C No. The attorney did not have the legal knowledge and skill necessary to handle this criminal case. D No. The attorney was not able to secure the client's release on bail.

A Yes. Neither referral to another lawyer nor consultation with another lawyer was practical under the circumstances.

An attorney represented a client who was injured in a car accident while driving a car. The attorney negotiated and the client signed a settlement agreement with the client's insurance company in which the client provided a general release of all of the client's "personal injury protection" or PIP benefits. After this settlement agreement was signed, the client received an additional medical bill that the insurance company normally would have had to pay as part of the client's PIP insurance benefits. The attorney concluded that she had been negligent in drafting the settlement agreement because a competent lawyer would not have had the driver sign a general release of PIP benefits, but would have listed the specific medical bills (PIP benefits) covered by the release. The attorney disclosed the negligence to the driver, and said that if the driver agreed to settle this malpractice claim, the attorney would reimburse the driver for the new medical bill and for any future medical bills. The attorney reasonably believed that this proposed settlement was fair to the driver. The attorney advised the driver, in writing, to seek independent representation before entering this settlement agreement and gave the driver time to retain independent counsel. The driver did not retain independent counsel, but did sign the settlement agreement. Was the attorney's conduct proper? A Yes. The attorney advised the driver in writing to seek independent representation before entering the settlement agreement and gave the driver time to retain independent counsel. B Yes. The attorney initiated the settlement discussions with the client. C No. The attorney, rather than another lawyer, drafted the agreement that settled the driver's potential malpractice claim. D No. The driver was not independently represented when signing this agreement with the attorney.

A Yes. The attorney advised the driver in writing to seek independent representation before entering the settlement agreement and gave the driver time to retain independent counsel.

An inventor retained an attorney to help the client file a patent. The inventor told the attorney that time was of the essence because there were competitors with similar ideas. The attorney and the inventor signed a retainer agreement that set forth the attorney's hourly rate and agreed that the attorney would bill the inventor monthly. After spending significant time researching the client's potential patent, the attorney concluded that the inventor had a reasonable chance of success. The attorney sent a bill to the client, but through no fault of client's, the bills were not delivered (and were not returned to the attorney). During the six months that the attorney was not paid, the attorney did no further work on the investor's potential patent. In month seven, the inventor called the attorney and asked if the patent had been awarded. The attorney explained that the attorney had not worked on the patent during the past six months because the client's bill was outstanding. The inventor hand-delivered a check that same day. Upon receiving the investor's check, the attorney resumed work on the patent. The attorney checked and saw that no one had filed a similar or identical patent during the past six months. The attorney filed the patent application and took the necessary steps so that the inventor could issue her invention with the label "patent pending." Is the attorney subject to discipline? A Yes. The attorney did not work on the investor's patent for six months. B Yes. The attorney did not seek permission from a tribunal to withdraw from the representation. C No. A client cannot compel an attorney to work without payment. D No. The client did not sustain any harm as a result of the attorney's action.

A Yes. The attorney did not work on the investor's patent for six months.

The ABA Model Rules of Professional Conduct are: A Binding on all jurisdictions. B Models which jurisdictions can accept, reject, or modify. C Relevant only to members of the ABA. D The only legal standards governing lawyer conduct.

B Models which jurisdictions can accept, reject, or modify.

Alpha is an associate at Lincoln & Center, working on a pro bono case for the ACLU, solicits clients for litigation to challenge the requirement of sterilization for pregnant mothers in order to continue receiving Medicaid. Has Alpha committed a disciplinary violation? A Yes B No

B No

In answering this question, consider Restatement § 14(2), Rule 6.2, and the case that follows. The court advises an attorney that the court plans to appoint the attorney to represent a teenage girl seeking court permission to obtain an abortion without the consent of her parents. The attorney believes that abortion is murder and asks the court not to appoint him to represent the teenage girl. The attorney advises the court that the attorney cannot do a competent job for the client given the attorney's personal beliefs. Is the attorney subject to discipline? A Yes, because an attorney should not seek to avoid a court appointment. B No, because the attorney did not believe that he could provide competent representation to a client.

B No, because the attorney did not believe that he could provide competent representation to a client.

An attorney represents a client in a divorce suit in which she seeks primary custody of her children. The client instructs the attorney not to use evidence of her spouse's adultery. The attorney informs the client that evidence of adultery would be very helpful in gaining primary custody and avoiding joint custody. The client continues to insist that the attorney not introduce evidence of spouse's adultery. If the attorney follows the client's instructions and the court denies the client primary custody and instead awards joint custody, can the client succeed in a legal malpractice action against the attorney? A Yes, because the attorney breached a duty to the client when the attorney failed to introduce evidence that would be helpful. B No, because the attorney followed the client's instructions.

B No, because the attorney followed the client's instructions.

All of the following are elements of the dominant conception of the lawyer's role except: A Role morality. B The public good. C Extreme partisanship. D Moral non-accountability.

B The public good.

An attorney is a specialist in the field of e-discovery. The plaintiff in a complex lawsuit retained the attorney to work with the plaintiff's trial counsel to frame its e-discovery requests and responses. After being fully advised, the client signed the attorney's retainer agreement which specified that the attorney's representation would be limited to advice about e-discovery matters. Is it the attorney's conduct proper? A Yes. The client initiated the request for limited representation. B Yes. A lawyer may limit the scope of the representation so long as the limitation is reasonable under the circumstances and the client gives informed consent. C No. The plaintiff was not independently represented in making the agreement. D No. The attorney was required to work directly with the plaintiff rather than working with the plaintiff's trial counsel.

B Yes. A lawyer may limit the scope of the representation so long as the limitation is reasonable under the circumstances and the client gives informed consent.

A client retained an attorney to recover for a personal injury. In the retainer agreement signed by the client and the attorney, the client agreed to cooperate fully and pay the attorney a contingent fee computed as a percentage of the amount of recovery after expenses: 25 percent if settled before trial, 30 percent if settled before verdict, 35 percent after verdict, and 40 percent after appeal. The attorney's representation of the client in the matter extended over a three-year period, during which time the attorney advanced a large amount for litigation expenses. After trial, the client obtained a jury verdict for an amount larger than either the attorney or the client had anticipated. However, the defendant appealed client's favorable verdict based on questions of evidence and the measure of damages. Meanwhile, the defendant made an offer of settlement for approximately the amount the attorney had originally projected as reasonable to expect. The client, who was hard pressed financially, directed the attorney to accept the offer and settle. Confident that there was no reversible error in the trial and that the appeal was without merit, the attorney refused the settlement. The attorney reasonably believed that the appeal was filed solely to gain negotiating advantage in settlement negotiations. Is the attorney subject to discipline? A Yes. The attorney's percentage under the fee contract increased after appeal. B Yes. The attorney did not comply with the client's direction to accept the settlement offer. C No. The decision whether to settle or defend an appeal is a tactical matter for the attorney to determine. D No. Evaluation of the merits of an appeal requires an attorney to exercise independent professional judgment.

B Yes. The attorney did not comply with the client's direction to accept the settlement offer.

An attorney is a partner in a law firm that performs a variety of legal tasks for clients. This law firm recently hired an associate who had just graduated from law school, passed the bar exam and been admitted as a lawyer. Since joining the law firm, the associate has worked exclusively on trusts and estates matters under the supervision of a firm partner with expertise. After another lawyer unexpectedly left the law firm, the attorney told the associate the firm was short-handed and that associate would have to try a case the following week. The associate protested, stating that she had never seen a trial, had not taken the evidence course or trial advocacy in law school, and did not feel prepared. The attorney told the associate that the "sink or swim" method of learning had worked just fine when the attorney was a young lawyer. The attorney told the associate that he would not ask for an extension because the client wanted to go to trial soon. The associate prepared diligently but many of her questions were in an improper form and the judge repeatedly sustained the evidentiary objections that the opposing counsel raised during the associate's direct examinations and cross-examinations. As a result, the associate was not able to introduce key pieces of evidence. After a two-day trial, the jury returned a verdict in favor of the opposing party. Is the attorney subject to discipline? A Yes. The attorney should not have selected an associate from the trusts and estates department. B Yes. The attorney's "sink or swim" method of associate training did not represent "reasonable efforts" to put in place measures that give reasonable assurance that all lawyers in the firm conformed to the duty of competence. C No. It is impossible to know whether the associate's trial conduct caused the jury verdict in favor of the opposing party. D No. The associate was able to telephone the attorney for advice during the lunchtime and other breaks during in the trial.

B Yes. The attorney's "sink or swim" method of associate training did not represent "reasonable efforts" to put in place measures that give reasonable assurance that all lawyers in the firm conformed to the duty of competence.

An attorney represented a client who was convicted of murder. In preparing for the sentencing phase of the case, the attorney investigated potential mitigation evidence. The attorney spoke with the client and five of his family members who described the client's childhood and mental condition as normal. The attorney also consulted with mental health experts who did not offer helpful mitigation evidence. The attorney was aware that the prosecution was planning to introduce evidence of the client's previous convictions for a violent rape, as well as a juvenile record. The attorney did not examine the files of the earlier cases. If the attorney had done so, the attorney would have discovered mitigating evidence of schizophrenia, organic brain damage, alcoholism, and serious childhood problems and there is a reasonable probability that this evidence would have persuaded the jury to impose a life sentence. Instead, the client was sentenced to death. Afterward, the client filed a post-conviction motion claiming that the attorney provided ineffective assistance of counsel. Should the client's verdict be overturned because he received ineffective assistance of counsel? A Yes. The attorney failed to provide zealous representation to the client. B Yes. The attorney's conduct was unreasonable and it prejudiced the client. C No. The attorney's interviews with the client and the client's family members did not indicate the existence of mitigating evidence. D No. It is not certain that the additional evidence would have changed the jury's decision.

B Yes. The attorney's conduct was unreasonable and it prejudiced the client.

An attorney who graduated two years ago is trying to develop a personal injury practice, but struggling to find new clients. The attorney hires a marketing firm to prepare a website featuring flashy photos of the attorney addressing a judge, arguing a case before a judge, and shaking hands with satisfied-looking clients. The website includes a disclaimer stating that results will vary depending upon the particular legal and factual circumstances. The attorney has never actually appeared in court. Once the website went live, the attorney began receiving numerous appointments from new clients. Is the attorney subject to discipline? A Yes. The website created an unjustified expectation about the results that could be achieved in court. B Yes. The website implied that the attorney had appeared in court when in fact the attorney had not. C No. Commercial speech is protected under the First Amendment. D No. The website contained an express disclaimer about the results a client could expect.

B Yes. The website implied that the attorney had appeared in court when in fact the attorney had not.

A transactional attorney regularly advises closely-held corporations on tax and corporate issues. An acquaintance asked the attorney if they could meet to discuss a legal matter. The attorney agreed. During their 30-minute conversation, the acquaintance told the attorney that a relative had died and named the acquaintance the executor of the relative's estate. The acquaintance asked the attorney to represent him. The attorney advised the acquaintance that the attorney did not have experience and was too busy to do the work necessary to become competent. The attorney offered to refer acquaintance to another lawyer who regularly practiced in the field and advised the acquaintance that he should see another lawyer promptly because there might be deadlines he should follow as the executor. The acquaintance did not contact another lawyer until eight months after meeting with the attorney. At that time, the acquaintance learned that his method of interacting with the estate's creditors had created a complicated, expensive situation for the estate, including a significant amount of money in legal fees to reverse the errors. If the acquaintance had received legal advice, the acquaintance would not have committed these expensive errors. Is the attorney subject to civil liability? A Yes. The attorney should not have agreed to meet with the acquaintance unless the attorney was prepared to accept his case. B Yes. The attorney did not advise the acquaintance of a specific date by which he should consult a lawyer. C No. The attorney did not violate any duty owed to the acquaintance. D No. The acquaintance declined the attorney's offer to refer the acquaintance to a lawyer with expertise.

C No. The attorney did not violate any duty owed to the acquaintance.

An attorney represented a client in connection with the client's divorce. The attorney and the client had several disagreements about the tactics to use and the client stopped paying the attorney. After a few weeks, the client decided he would be better off with another lawyer and told the attorney he was fired. After giving the client sufficient notice to obtain replacement counsel, the attorney requested the court's permission to withdraw from the divorce litigation, but the court denied the request. The attorney continued with his representation of the client. Is the attorney subject to discipline? A Yes. The attorney had a mandatory duty to cease the representation because he was discharged by the client. B Yes. The attorney's representation of the client will result in an unreasonable financial burden on the attorney. C No. The attorney was required to remain in the case after the court denied the attorney permission to withdraw. D No. The attorney's withdrawal would have caused material prejudice to the client.

C No. The attorney was required to remain in the case after the court denied the attorney permission to withdraw.

An attorney has been asked to represent an inventor who wants to bring a multimillion dollar lawsuit for patent infringement. Although the attorney reasonably believes that he is capable of conducting the lawsuit competently, he does not have sufficient insurance coverage in the event of malpractice. The attorney asks the client to sign an agreement to an upper limit of $20 million on the attorney's potential malpractice liability. The attorney shows the client the proposed agreement and fully discusses the consequences of including such a provision in the retainer agreement. The attorney also recommends that the client consult independent counsel before signing the retainer agreement, but the client decides to sign the agreement without doing so, explaining that he did not want to pay the legal fees to have another lawyer review this agreement. The limitation of liability agreement is not prohibited by law in the client's jurisdiction. Is the attorney's conduct proper? A Yes. Agreement is not prohibited by law in the client's jurisdiction. B Yes. The client gave informed consent the agreement was in writing, and the client was told of the advisability of consulting independent counsel. C No. The client did not consult independent counsel before signing the agreement. D No. A lawyer may not make an agreement limiting malpractice liability to a client.

C No. The client did not consult independent counsel before signing the agreement.

In the United States, the predominant, although not exclusive, authority for lawyer regulation is: A The legislature. B The executive. C The judiciary. D The state bar association.

C The judiciary.

A criminal defense attorney decides to use publicly available police report data for contacting former clients who might need legal representation. The lawyer sends the following text message to all former clients with cell phone numbers available, whether from the lawyer's records or the police records: Do you need a lawyer? Police records show you were arrested last night. I have represented you before, and I am available to help you. Reply to this text anytime 24/7 for more information. Is the attorney subject to discipline for contacting former clients by text in this way? Correct! Show All Answers A Yes, if the attorney has any reason to believe that the former client has another lawyer. B Yes, because the attorney would be soliciting legal business from a person who is not a current client. C No, because solicitation by text is always permissible. D No, because the attorney is soliciting former clients.

D No, because the attorney is soliciting former clients.

An attorney had represented a client, who was a developer, for more than a year on a large complicated development project. The attorney recently became concerned about the adequacy of the disclosures that the client planned to make to regulatory agencies and to individuals who soon would be signing contracts with the client. The attorney advised the client that the attorney thought the client's disclosures might be viewed as fraudulent and asked the client to issue supplemental disclosures. The client refused, saying that it did not think its disclosures were fraudulent and that it was a business risk that the client was willing to take. After thinking about this answer, the attorney decided that because of this fundamental disagreement, the attorney did not want to continue representing the client. Accordingly, the attorney notified the client that the attorney was resigning from the representation and that the client should hire another lawyer. The attorney agreed to work with the client's new lawyer to protect the client's interests. After receiving the attorney's letter, the client called the attorney and said that the client refused to accept the attorney's resignation. The client stated that the client would be materially prejudiced if the attorney resigned because the client would have to pay to educate another lawyer on everything that had happened to date and because the attorney's departure might put the development project at risk because people would wonder why the attorney had left. The attorney resigns anyway. Is the attorney subject to discipline? A Yes. The resignation would have a material adverse effect on the interests of the client. B Yes. The attorney did not have actual knowledge that the client was engaged in criminal or fraudulent conduct. C No. Permission of a tribunal was not required. D No. The attorney and the client had a fundamental disagreement about how much disclosure was necessary.

D No. The attorney and the client had a fundamental disagreement about how much disclosure was necessary.

Lester is a member of a 100 person firm specializing in products liability. In 2005, Lester represented a motorcycle manufacturer sued by a purchaser who was seriously injured by an alleged defective design. The case was settled in 2007 after extensive discovery. In 2013, Lester is approached by a person injured on the same model of motorcycle. The victim asked Lester to represent him. It is proper for Lester to represent the victim. TRUE FALSE

FALSE