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. An attorney represented a client in an action against the cli- ent's former business partner to recover damages for breach of contract. During the representation, the client presented the attorney with incontrovertible proof that the partner had committed perjury in a prior action that was resolved in the partner's favor. Neither the attorney nor the client was involved in any way in the prior action. The attorney believes that it would be detrimental to the client's best interests to reveal the perjury because implications

(A) No, because the attorney believes that the disclosure would be detrimental to the client's best interests.

. An attorney represented the wife in an acrimonious divorce proceeding involving issues of property division and child custody. After one day of trial, the husband, through his lawyer, made a settlement offer. The proposed settlement required that the wife's attorney agree not to represent the wife in any subsequent proceeding, brought by either party, to modify or enforce the provisions of the decree. The wife wanted to accept the offer, and her attorney reasonably believed that it was in the wife's best interest to do so because the settlement offer was better than any potential award to the wife resulting from the case going to judgment. Consequently, the attorney recommended to the wife that she accept the offer.

(B) No, because the proposed settlement restricted the attorney's right to represent the wife in the future

An attorney has a highly efficient staff of paraprofessional legal assistants, all of whom are graduates of recognized legal assistant educational programs. Recently, the statute of limitations ran against a client's claim when a legal assistant negligently misplaced the client's file and suit was not filed within the time permitted by law

(C) The attorney is subject to civil liability but is NOT subject to discipline unless the attorney failed to adequately supervise the legal assistant.

. An attorney and her client entered into a written retainer and hourly fee agreement requiring the client to pay $5,000 in advance of any services rendered by the attorney and requir- ing the attorney to return any portion of the $5,000 that was not earned. The agreement further provided that the attorney would render monthly statements and withdraw her fees as billed

(C) No, because the attorney's failure to withdraw her fees as billed resulted in an impermissible commingling of her funds and the client's funds.

An attorney was engaged under a general retainer agreement to represent a corporation involved in the uranium industry. Under the agreement, the attorney handled all of the corpo- ration's legal work, which typically involved regulatory issues and litigation.

(C) No, because the attorney failed to disclose that he was appearing and testifying in a representative capacity.

An attorney represents a company that produces chemical products. Some of the waste products of the company's manufacturing processes are highly toxic and are reason- ably certain to cause substantial bodily harm if disposed of improperly. The president of the company recently informed the attorney that a new employee mistakenly disposed of the waste products in the ground behind the company plant, an area that is part of the source of the city's water supply. The attorney advised the president that, although the con- duct was not criminal, the company could be civilly liable for negligence in lawsuits brought by any persons harmed by the waste products. The attorney advised the president to immediately report the problem to city authorities. Fearful of adverse publicity, the president declined to do so. The attorney further advised the president that she believed the president's decision was immoral. The president continued to decline to report the matter. The attorney then informed the president that she was withdrawing from the represen- tation and would inform the authorities herself. Immediately after withdrawing, the attorney reported the company's con- duct to the authorities. Is the attorney subject to discipline?

(C) No, because the attorney reasonably believed that the company's disposal of the waste products was reason- ably certain to cause substantial bodily harm.

. An attorney who had represented a client for many years pre- pared the client's will and acted as one of the two subscribing witnesses to its execution. The will gave

(C) No, because the attorney will be called to testify on a contested issue of fact.

. An experienced oil and gas developer asked an attorney to represent him in a suit to establish the developer's owner- ship of certain oil and gas royalties. The developer did not have available the necessary funds to pay the attorney's reasonable hourly rate for undertaking the case and pro- posed instead that, if he prevailed in the lawsuit, he would pay the attorney 20% of the first year's royalties recovered in the suit. Twenty percent of the first year's royalties would likely exceed the amount that the attorney would have received from charging his regular hourly rate. The attorney accepted the proposal. Is the attorney subject to discipline?

(D) No, because the attorney may contract with the devel- oper for a reasonable contingent fee.

1. An attorney has a highly efficient staff of paraprofessional legal assistants , all of whom are graduates of recognized legal assistant educational programs. Recently, that statute of limitations ran against a client's claim when a legal

Attorney is subject to civil liability because the mistake was made by his office.

A wife retained an attorney to advise her in negotiating a sep- aration agreement with her husband. Even though he knew that his wife was represented by the attorney, the husband, who was not a lawyer, refused to obtain counsel and insisted on acting on his own behalf throughout the protracted nego- tiations. The attorney never met or directly communicated in any way with the husband during the entire course of the negotiations. After several months, the wife advised the attor- ney that the parties had reached agreement and presented the attorney with the terms. The attorney then prepared a proposed agreement that contained all of the agreed-upon terms.

(D) No, because the attorney's letter did not imply that the attorney was disinterested.

An attorney represented a client who was the plaintiff in a personal injury action. The personal injury action was settled, and the attorney received a check in the amount of $10,000 payable to the attorney. The attorney deposited the check in her clients' trust account. One day later, the attorney received a letter from a bank, which had heard of the settlement of the personal injury lawsuit. The bank informed the attorney that the client had failed to make his monthly mortgage payments for the last three months and demanded that the attorney immediately release $900

(D) No, because the bank has no established right to the specific proceeds of the client's personal injury judgment.

An attorney has experienced several instances in which cli- ents failed to pay their fees in a timely manner when it was too late in the representation to withdraw without prejudicing the clients. To avoid a recurrence of this situation, the attor- ney has drafted a stipulation of consent to withdraw if fees are not paid according to the fee agreement. She proposes to have all clients sign the stipulation at the outset of the rep- resentation. Clients will be provided an opportunity to seek independent legal advice before signing the stipulation.

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

. An attorney is a general practitioner with extensive experi- ence in personal injury litigation. The attorney has also han- dled legal malpractice cases, but does not hold herself out to be experienced in such cases. A man contacted the attorney by telephone and asked her to represent him in a legal mal- practice case that he wanted to file against the lawyer who had handled his divorce.

(D) No, because the attorney had no legal obligation to accept the man's case.

. A law firm has 300 lawyers in 10 states. It has placed the supervision of all routine administrative and financial matters in the hands of a nonlawyer administrator. The administrator is paid a regular monthly salary and a year-end bonus of 1% of the law firm's net income from fees. Organizationally, the administrator reports to the managing partner of the law firm. This partner deals with all issues related to the law firm's supervision of the practice of law. The administrator has access to client files but does not have control over the pro- fessional judgment of the lawyers in the firm.

(D) Yes, because the administrator does not control the pro- fessional judgment of the lawyers in the firm.

1. A man who has been arrested and charged w/ aggravated battery hires an attorney recommended to him by his brother. Neither the accused nor his brother knows that the attorney plans to run for public office and is always interested in getting as much publicity

A. Yes, because the attorney did not convey the offer of a lesser charge to her client.

1. A plaintiff and a defendant are locked in a bitter commercial dispute. A partner at a well- established law firm is representing the plaintiff. A newly admitted attorney is representing the defendant, who has filed a counterclaim against the plaintiff, alleging that the plaintiff is the real wrongdoer, having stolen the defendant's trade secrets and engaged in unfair competition.

. No, because the partner acted in a manner consistent with his duty to represent his client zealously within the bounds of the law.

Solo practitioners Alpha and Beta share office space. Each of them has organized her practice as a professional corporation. The sign on their office door reads:

1. C. No, even though alpha and beta believe that they can effectively represent their respective clients.

An attorney, who was well known in the community for previously representing a celebrity in a high-profile murder case, regularly served as a guest speaker at various legal seminars. At a criminal law seminar, he presented a hypothetical in which he never named his high-profile former client but outlined all the facts relevant to the murder case. Many of the facts he referenced were widely known among the general population, and many of the participants in the seminar rightly assumed that the attorney was talking about his celebrity client. Were the attorney's actions with regard to disclosure improper?

A. Yes, because the attorney presented facts that allowed the participants to identify the client.

1. The state in which a tax attorney practices levies an annual tax on trusts for the benefit of minors. Tax returns must be filed, and the taxes must be paid, by March 15;

A. Yes, even though the March 15 deadline has not yet passed.

1. A farmer asked an attorney to represent him in an eminent domain proceeding in which the state sought to obtain a right-of-way across the farmer's land.

B. Yes, because she did not consult the farmer about associating the specialist.

. An attorney represented a plaintiff in a civil suit against a defendant, who was also represented by a lawyer. In the course of developing the plaintiff's case, the attorney discov- ered evidence that she reasonably believed showed that the defendant had committed a crime. The attorney felt that the defendant's crime should be reported to local prosecutorial authorities. After full disclosure, the plaintiff consented to the attorney's doing so. Without advising the defendant's lawyer, the attorney informed the local prosecutor of her findings, but she sought no advantage in the civil suit from her actions. The defendant was subsequently indicted, tried, and acquitted of the offense. Was the attorney's disclosure to prosecutorial authorities proper?

A) Yes, because the attorney reasonably believed that the defendant had committed a crime.

1. A judge presides over a state trial court. Every six years, trial judges in the state must stand as candidates in a partisan public election to determine whether they will retain their positions.

A. Establish a campaign committee that will solicit reasonable contributions for the judge's campaign.

1. Two years ago, when a couple divorced in State A, the court awarded the wife custody of the three children and ordered the husband to pay wife $3,000 per month in child support and alimony payments.

A. No, as long as $5,100 is a reasonable fee for the work he did.

1. In a medical malpractice trial, a woman's estate alleges that the defendant surgeon negligently failed to remove a cancerous tumor . The estate's lawyer will be calling three witnesses to testify on the estate's behalf.

A. No, because it is improper to make a contingency fee arrangement with an expert witness.

1. A lawyer runs a television ad. In the ad, he appears in an expensive suit which he otherwise never wears and is surrounded by law books which he does not own or use since he does all his legal research online

A. No, because the advertisement was truthful and not misleading.

1. A potential client consulted an attorney, hoping to hire her to represent him as plaintiff in a medical malpractice action against his doctor. Without mentioning the doctors name, the client described the alleged acts of malpractice and said that they happened more than two years ago.

A. No, because the attorney did what a reasonably prudent lawyer would do in the circumstances---decline to represent the potential client and suggest that he consult other counsel

1. A judge was appointed to the bench after a lengthy career as a prosecutor in a small community. The judge had little experience with civil cases and was concerned

A. No, because the judge did not tell the parties she was going to call the law professor.

1. A law firm represented an oil company in a merger transaction in which the oil company acquired all of the assets of a smaller petroleum company in exchange for a specified amount of capital stock of the oil company. The law firm's work for the oil company was limited to the antitrust and securities law issues raised by the merger, and the firm lawyers who worked on the matter

A. No, because the merger matter and the discrimination case are unrelated matters and because the law firm did not gain confidential information from the oil company that would be material in the discrimination case.

1. During the first three years as an attorney, a prestigious trial judge was a member of a civil law firm that specialized in civil litigation. While working at that law firm, the trial judge handled family law cases exclusively.

A. No, because the trial judge practiced law with the partner when the present case was filed.

1. An attorney limits her law practice to the representation of the plaintiffs in actions for medical malpractice. She has developed a standard employment contract to use with all clients who desire a contingent fee arrangement.

A. The clause is proper

1. The State Bar and the State University are joint sponsors of the Sate Continuing Legal Education Foundation. The purpose of the foundation is to provide continuing legal education to lawyers and judges in the state. Its board of directors is composed

A. The judge may serve on the board of directors if it does not interfere with her judicial duties.

1. A judge serves on a state trial court that has nine other judges. Her husband is a life insurance salesman for a large life insurance company.

A. Yes, because acceptance of the prize cannot reasonably be perceived as undermining the judge's integrity or impartiality

1. A lawyer assigned his secretary to manage his client trust account. The lawyer gave the secretary extensive, detailed instructions about the kinds of records to keep,

A. Yes, because he did not adequately supervise the secretary

1. A full time judge lives in state A. Her father lives in a retirement home in State B. The judge's father told her that several of his friends in the retirement home had employed an attorney to write wills for them

A. Yes, because she received information indicating a substantial likelihood that the attorney has violated a legal ethics rule

. An established law firm located in a state capital focused mainly on litigation, but it also provided legal services related to lobbying. The firm created a lobbying department and hired a former state legislator, who was not an attorney, to head this department. The former legislator received as compensation a percentage of the fees from all services provided to clients that he brought to the firm, including any legal services, but he did not direct the professional judgment of the attorneys in his department, nor was he made a partner.

No, because attorneys may not share fees with non-lawyers, as provided by this agreement.

. An attorney worked in the legal department of a public utility company and represented that company in litigation. The company was sued by a consumer group which alleged that the company was guilty of various acts in violation of its charter. Through its general counsel, the company instruct- ed the attorney not to negotiate a settlement but to go to trial under any circumstances since a precedent needed to be established. Although the company's defense could be supported by a good faith argument, the attorney believed that the case should be settled if possible. Must the attorney withdraw as counsel in this case?

B. No,because the company's defense can be supported by a good faith argument.

An attorney is properly certified as a specialist in family relations law by a national organization accredited by the American Bar Association. On his website, the attorney identifies himself as a "Certified Specialist in Elder Law," but he does not identify the certifying organization. In addition, on the website, the attorney states that he does not provide representation in criminal law matters.

No, because the attorney may exclude areas of the law from his practice.

An attorney representing a client in a divorce action sought to recover attorney's fees and other litigation costs from the opposing party as permitted by statute. After presenting evidence that the client was entitled to recover such fees and costs, the attorney called himself to testify about the nature and value of legal services he had rendered in the case.

No, because the attorney may testify as to the nature and value of the legal services rendered in the case.

An attorney, a newly licensed sole practitioner, opened a trust account at a local bank into which she deposited a check from a client that constituted an advance payment for future legal services to be rendered by the attorney. Subsequently, the attorney also deposited her own funds into the account in order to pay bank service charges on the account. The attorney did not deposit into the trust account an engagement fee received from another clien

No, because the attorney properly kept her client's property separate from her own property and maintained the necessary records.

1. A clerical employee asked an attorney to represent her without charge in an employment dispute. The employee believed that she had been denied a promotion because of her age. After interviewing the employee, the attorney suggested that she file a complaint with the city's human rights

No, because the attorney properly limited the representation to advising the employee how to represent herself in an administrative action.

1. An attorney and her client entered into a written retainer and hourly fee agreement requiring the client to pay $5,000 in advance of any services rendered by the attorney and requiring the attorney to return any portion of the $5,000 that was not earned.

No, because the attorney required an advance payment against her fee.

1. A concerned environmentalist hired a lawyer to obtain preliminary and permanent injunctions against a highway construction project that would require draining and filling certain wetlands

C. $11,000

1. A young associate was assisting a senior partner in writing the reply brief in an appeal for one of the partner's clients. In doing the legal research, the associate discovered a recent case from the controlling jurisdiction that had not been cited

C. No, because the associate should abide by the partner's resolution of the matter.

1. A district court judge heard through the "courthouse grapevine" that the district attorney was investigating corrupt practices in the courts and that the investigation focused on some as yet unascertained time in the past.

C. No, because the judge's disclosures to the retired attorney dealt with past crimes.

1. During his second year in law school, a law student's wife divorced him, as a result of which he suffered serious emotional imbalance.

C. Now, the professor may support the law student's re-petition because she believes that he has regained his emotional balance.

1. A car owner is insured under an auto liability policy issued by a nationally known insurance company. The policy requires the insurance company to provide a lawyer to defend the car owner, and it requires the car owner to cooperate in the defense.

C. Promptly seek the court's permission to withdraw from the matter, without revealing the car owner's confidential statement to anyone.

1. A lawyer represents a client who is a writer and producer of Broadway stage plays. This morning the client telephoned the lawyer with great news-a famous actor has agreed to star in his new stage play. The client stated that with this famous actor in the lead, the play is certain to be a long-runner blockbuster.

C. Yes, because the lawyer profited by $5,000 from trading on her client's confidential information. She can be ordered to disgorge her profit to her client.

1. The state bar association has established a peer counseling program where lawyers who are addicted to alcohol or other drugs can receive confidential counseling from other lawyers. The bar association 's ethics rule on confidential information provides

C. Yes, even if the lawyer objects.

1. A swimming coach was charged with assault of another coach. The swimming coach hired a criminal attorney to defend him. Subsequently, the swimming coach pleaded not guilty and was released on his own recognizance,

C. Yes, provided that the swimming coach proves by a preponderance of evidence that he did not commit the assault on the opposing coach.

1. A lawyer handles plaintiff's mass tort cases. When he wants to make a settlement offer, he always does so in writing and sends a copy

C. Yes, unless opposing counsel knows that he is sending the letter to the defendant and consents to his doing so.

1. Continuously since 1910, the law firm of Alpha & Beta has practiced under that name. The founders of the firm are long dead. No partner named Beta now practices with the firm.

C. Yes, unless the firm name would be misleading.

1. A law student is applying for admission to the State A Bar. When the law student was in high school, he and his parents lived in State B. His next door neighbor was an attorney admitted to practice in State B

D. She should state what she knows about the law student, including mention of his burglary conviction.

1. A defendant asked a lawyer to defend him in a criminal case in which the defendant was charged with running a gambling operation. The defendant was known in the community as a wealthy person, but one who seldom kept his word and seldom paid his bills.

D. The lawyer is not subject to discipline because all of his described conduct was proper.

An attorney was contacted by a family member of an individual who was near death to prepare a will. After speaking briefly with the individual, the attorney drafted a document and oversaw its execution. After the death of the testator, the validity of the will was successfully challenged. The attorney was then sued for malpractice based on her alleged negligence.

Did she act with the competence and diligence normally exercised by lawyers in similar circumstances?

1. A client hired a lawyer to do the legal work in connection with a complex public securities offering. The lawyer agreed to do the work for a set hourly fee. The lawyer did a great deal of legal research, prepared numerous memoranda of fact and law, and drafted most of the documents needed for the public offering.

D. All of the papers, even though the client fired the lawyer

1. A client retained a lawyer to appeal his criminal conviction and seek bail pending appeal. They agreed on a fee of $200 an hour for the appearance on the bail hearing. The client paid the lawyer $2,000, $500 of which was for bail costs if the lawyer could obtain bail.

D. No, because she should write the client a $800 check and keep $1200 in the clients Fund Account until the dispute is resolved.

1. An attorney represented a landlord in a dispute with her longtime tenant, who had recently decided not to renew his lease. The landlord wanted to retain the security deposit to pay for extensive damage to the carpeting

D. No, because the landlord and tenant spoke to each other directly.

1. A patent attorney focuses her practice on patents that involve genetically engineered medicines. Representatives of a bioengineering firm had a preliminary conversation with the attorney about representing the bioengineering firm in a patent infringement action against a pharmaceutical corporation.

D. No, because the prior conversation between the attorney and the bioengineering firm's representatives did not involve confidential information.

1. For the past five years, an attorney has represented an art dealer in the sale of many valuable paintings. One of the major transactions occurred three years ago, when the art dealer sold a landscape purportedly painted by Vincent van Gogh

D. Refuse to represent the art dealer in the present transaction

1. An attorney represented a client indicted for criminally defrauding persons seeking financial investment advice. The client confided to the attorney that he had committed the fraud. The attorney had not represented the client during the time that the client was fraudulently obtaining money in the investment advice scheme.

No, because the attorney's services were not used in furtherance of the client's fraud.

A recently licensed attorney attended a fundraising event for a local judge running for reelection. The attorney attended the event to network with fellow attorneys and judges in the area. The attorney had a chance to speak with the judge for a long time, and was impressed with her. On his way out of the event, he stopped by the table being staffed by the judge's campaign committee and made a donation to support her reelection efforts. Two weeks later, the judge won her bid for reelection, and her staff posted an opening for a law clerk position....

No, because the attorney's contribution was not for the purpose of securing an appointment.

1. An attorney has experienced several instances in which his clients failed to pay their fees in a timely manner when it was too late in the representation to withdraw without prejudicing the clients.

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

A defendant was convicted of the murder of a celebrity. One year after the conviction, a man came into a police station in a different state and confessed to the murder of the celebrity. A prosecutor in that jurisdiction questioned the man after obtaining a copy of the case file. The

No, because a prosecutor is not subject to discipline if he makes a good-faith, independent judgment that new evidence does not require action

. A sole practitioner who specialized in family law shared office space with a criminal defense attorney. When the family law attorney's clients required legal representation in a criminal matter, he referred them to the criminal defense attorney.

No, because attorneys may not imply that they practice in a partnership when that is not the case.

. An attorney represented a father in a custody dispute with his ex-wife regarding their child. As a result of the custody proceeding, the father lost custody of his child. Subsequently, the father sued the attorney, asserting that the attorney failed to diligently represent him in the proceeding because she had taken on too many clients. At trial, the attorney seeks to disclose information she acquired from her client regarding his finances as evidence that he is suing because he is upset about the significant support payments he has to make.

No, because her client's finances are not relevant to the dispute.

1. Before his appointment to the federal bench, a judge had been active in the local chapter of a civil rights organization devoted to racial equality and had been a mentor to many local civil rights lawyers ]. After two years on the bench, the judge was assigned to preside over a complaint alleging that the plaintiff

No, because on these facts the judge's impartiality cannot reasonably be questioned.

. The beneficiary of an estate, who was indigent, met with an attorney about the possibility of representing him in a dispute over his share of the estate. The attorney's secretary attended the meeting to take notes. After discussing the matter with the beneficiary, the attorney stated that she could not take the case because her reasonable fee would exceed the amount of the potential recovery. Later, the attorney learned from another attorney that the second attorney had agreed to represent the beneficiary. The attorney discussed the beneficiary's position with the second attorney, advising the lawyer of what she believed were some weaknesses in the case.

No, because she breached a duty of confidentiality she owed to the beneficiary.

An employee contacted a newly licensed attorney about pursuing an appeal with respect to the denial of a workers' compensation claim. The attorney explained to the employee her lack of experience in handling such a matter, promised nevertheless to provide the employee with competent representation, and offered to represent the employee for a lower fee than other lawyers that the employee had approached about handling the matter.

No, because the attorney achieved the necessary level of competence prior to the appeal.

A union offered a group legal services plan for its members. An attorney seeking to generate more income contacted the union about becoming a provider of legal services through the plan. The attorney met face-to-face with a plan representative and discussed the attorney's participation in the plan, including the services the attorney would render and the compensation to be received. The union decided not to use the attorney's services. Is the attorney subject to discipline for this conduct?

No, because the attorney did not directly contact the union members who would be using the attorney's legal services.

1. A woman w as injured in a car accident and contacted an attorney about potential representation in a civil suit against the driver of the other car. The attorney met with the woman and informed her about his fee structure . The attorney charged a $1,000 retainer

No, because the attorney did not obtain the woman's signature on the written contingent fee agreement.

1. An attorney, her husband, and several friends agreed to share the expense of purchasing four season tickets for the state university's upcoming football season and then to divide the tickets among themselves.

No, because the attorney did not receive the funds in connection with a client representation.

An attorney represented an employee in a discrimination action against her employer. The employer filed a motion to dismiss the action as untimely. The attorney, in critically assessing the situation, determined that it was more likely than not that the judge would grant the employer's motion because there was not a current factual basis for the employee's position, but he reasonably believed that critical factual evidence could be developed during discovery in support of the employee's position. The attorney unsuccessfully contested the motion.

No, because the attorney expected to develop critical factual evidence that would support the client's position during discovery.

. An attorney represented a buyer in the purchase of a restaurant. The contract, which was drafted by the seller's lawyer, specified that a portion of the purchase price ($25,000) was to be held in escrow by the attorney until certain conditions were satisfied, including the transfer of a liquor license. The attorney received a check from the buyer for $25,000 of the purchase price. The attorney placed the check in the trust account that he maintained for his clients' funds. Pursuant to the terms of the contract, the attorney timely filed the documents necessary to transfer the liquor license from the seller to the buyer. Upon learning from the proper local authorities that the transfer of the license had been approved, the attorney transferred $25,000 from the trust account to the seller. The seller did not ask and the attorney did not provide the seller with an accounting of the funds.

No, because the attorney failed to place the $25,000 in a separate escrow account.

1. An experienced oil and gas developer asked an attorney to represent him in a suit to establish the developer's ownership of certain oil and gas royalties.

No, because the attorney may contract with the developer for a reasonable contingent fee.

1. An attorney represented a client who was a plaintiff in a personal injury action. The personal injury action was settled, and the attorney received a check in the amount of $10,000 payable to the attorney. The attorney deposited the check in her clients' trust account. One day later, the attorney received a letter from the bank

No, because the bank has no established right to the specific proceeds of the clients personal injury judgment

. A stock clerk employed at a warehouse witnessed, but was otherwise not involved in, an accident between a truck and a car. The accident occurred while the driver of the truck was backing into the loading dock at the warehouse. The driver of the car sued the corporate owner of the warehouse and the truck driver, who was also an employee of the corporation, alleging that the truck driver's negligence was the cause of the accident. The attorney hired to represent the corporation in this lawsuit learned that the stock clerk had witnessed the accident, and he interviewed the clerk. The clerk's version of the accident did not correspond with the truck driver's version, and in several details, it supported the car driver's explanation of the event. The attorney told the clerk not to discuss the accident with anyone, particularly the driver of the car or his attorney, unless contacted by either of them.

No, because the clerk was a warehouse employee.

. An attorney represented a defendant in a personal injury case. Opposing counsel approached the attorney and offered to drop the case in exchange for a $5,000 settlement from the defendant. The attorney, eager to finish the case before trial and honestly believing that the client would be happy with the settlement, agreed on the spot.

No, because the client did not ratify the settlement agreement.

1. A personal injury attorney hired a client development company to develop client leads by checking public records and undertaking other lawful research activities to learn the identities and addresses of potential plaintiffs in personal injury actions.

No, because the company's representatives did not communicate directly with potential plaintiffs or recommend the attorney's services.

A husband contacted his friend, a lawyer, about obtaining a divorce. The friend was aware that the husband's spouse was a lawyer who served as general counsel for a corporation. During the initial meeting about the divorce at the friend's office, the husband revealed that he and his wife had not filed tax returns for several years. At the conclusion of the meeting, the friend declined to represent the husband. The following week, the friend had a casual conversation with the couple's daughter, during which she confided in the friend, "You know, my parents have not filed tax returns for several years." The friend has not further discussed the couple's failure to file tax returns with either the husband or the wife.

No, because the duty of confidentiality applies with regard to information learned from a prospective client.

1. A defendant retained an attorney to defend him in a criminal prosecution for tax evasion. At the time the attorney was retained, the defendant was not able to pay the attorney's fee of $20,000 but believed he would be able to dos so within a year.

No, because the fee and the terms of the promissory note and mortgage were fair and reasonable, and the attorney urged the defendant to seek independent legal counsel.

1. At the first status conference in a civil case, the trial judge disclosed on the record that the defendant's lawyer was the personal attorney for the judge's brother, but said that he believed he could be fair and impartial in the matter and was willing to serve on the case.

No, because the judge remained in the courtroom while the parties conferred with their lawyers at counsel table about the disqualification.

. An attorney accepted a client in a medical malpractice action but was nervous that the client was prone to filing malpractice actions. After explaining his apprehension to the client, the client suggested that they enter into a written agreement limiting the attorney's own malpractice liability to a specified amount. They entered into such an agreement after the client sought the counsel of a partner at the attorney's firm who was not involved in the case.

No, because the partner who reviewed the agreement is a member of the attorney's firm.

1. A lawyer is representing a client who is being tried for murder. During the trial, the prosecution calls the ex-wife as a witness. To the lawyer's surprise, the prosecution asks the ex-wife whether the defendant ever admitted to her that he had committed the murder.

No, because there was no time to consult with the client about whether or not to object to the ex-wife's testimony.

1. A partner in a law firm was elected to the state legislature for a term of four years. During that time, she took a leave of absence from the firm, intending to return to the firm if she was not reelected

No, because they continued to use her name while she served in the state legislature.

An attorney took his grandmother out to dinner. Over dessert, the attorney asked his grandmother if she had updated her will recently. The grandmother stated that she had not, and the attorney offered to draft a new will for her. They met the following day and drafted a will in which she bequeathed to the attorney a rare book collection, which he had always admired, as well as a sizeable monetary gift. She left the remainder of her estate to her son and a charitable organization.

Yes, because an attorney may solicit or prepare a will that gives a substantial gift to the attorney if the client is a family member.

An attorney represented a client in a suit against the client's former employer. Counsel for the employer approached the attorney with a settlement offer. Because the attorney was unable to reach her client despite due diligence before the offer was set to expire, the attorney accepted it on her client's behalf. The attorney honestly believed that the client would have accepted the offer if the client had known about it. When the attorney told her client about the offer the following day, she did not initially mention that she had already accepted the offer on behalf of her client. The client told the attorney that the offer sounded great, and she accepted it. Upon hearing this news, the attorney stated, "Thank goodness, because I already did!"

Yes, because an attorney may be disciplined for a violation of the Model Rules of Professional Conduct regardless of whether the client was harmed by the violation.

1. An attorney represented a client in a business matter. The client gave the attorney $1,000 to cover filing fees and other expenses related to the representation. The attorney deposited the $1,000 in his

Yes, because all advances for expenses should be deposited in the clients' trust account and withdrawn only as expenses are incurred.

An attorney represented a small business owner who was sued by a former employee following the employee's termination. After the attorney tried unsuccessfully to engage the opposing counsel in a settlement discussion, the owner told her attorney that she believed the parties could settle the lawsuit if their attorneys were not involved and that she planned to invite the former employee to lunch to discuss a settlement.

Yes, because an attorney may advise a client with regard to communication by a client directly with an opposing party.

1. A newly admitted attorney was employed by a law firm specializing in personal injury law. Her supervisor, an experienced lawyer, told her that he had retained a private investigator who was not a lawyer to interview prospective jurors in an automobile accident case, and

Yes, because she knowingly assisted the investigator in an ex parte contact with a prospective juror.

1. An attorney represented a client who was the plaintiff in a personal injury case. The attorney's fee was to be 25% of the gross recovery. While the case was pending, a creditor with an $80,000 judgment against the client obtained a valid lien

Yes, because she paid settlement proceeds to the client in knowing disregard of the lien.

1. A law firm has 3000 lawyers in 20 states. It has placed the supervision of all routine administrative and financial matter in the hands of a nonlawyer administrator.

Yes, because the administrator does not control the professional judgment of the lawyers in the firm.

An attorney, acting on behalf of a wealthy client, entered into negotiations to purchase land from its owner. Solely in order to forestall the seller from raising the asking price due to the client's financial resources, the client instructed the attorney not to reveal that she was acting on behalf of a client. Adhering to these instructions, the attorney entered into a contract in her own name to purchase the land from its current owner. Prior to the closing date, the client told the attorney that he no longer wanted the land. The attorney informed the owner, who then sold the land to another buyer at a price below the contract price. The seller sued the attorney for expectation damages based on the attorney's breach of the contract.

Yes, because the attorney did not reveal that she was acting on behalf of a client.

1. After a lengthy bench trial, a judge took the case under advisement. In due course, she decided to rule in favor of the plaintiff. Because neither party had submitted proposed findings of fact

Yes, because the attorney did not send a copy of the proposed findings of fact and conclusions of law to the defendant's lawyer.

. A business owner retained an attorney to represent him in a suit against a former employee. The business owner specifically instructed the attorney not to agree to a delay in starting the trial. The former employee's lawyer, unaware of this instruction, approached the business owner's attorney about delaying the start of the trial. Despite his client's contrary instruction, the attorney agreed to the delay.

Yes, because the attorney had apparent authority to agree to the delay.

1. An attorney represented a buyer in connection with the purchase of a parcel of commercial real estate. The buyer orally authorized the attorney to agree to pay up to $10 million but preferred a sales price between $7.5 and $8.5 million.

Yes, because the attorney's conduct fell within generally accepted conventions in negotiation.

. An attorney represented a shopkeeper who was trying to sell his business, and was approached by an interested buyer. The attorney told the potential buyer that she believed the opportunity to purchase the business would be brief because the business was being offered at a very low price. In fact, the attorney believed that the business was priced too high, and that the shopkeeper would have difficulty selling it for that reason.

Yes, because the attorney's statement did not constitute a statement of fact.

1. An attorney represented a plaintiff in a breach of contract action. The contract contained a provision that awarded the prevailing party legal fees from the opposing party. After the jury found in favor of the plaintiff, the attorney filed a motion for legal fees with an affidavit that truthfully stated that the client had paid the attorney $10,000 in legal fees for the representation. The fees were based upon an hourly rate of $200 for pretrial work and an hourly rate of $300 for work performed during the trial.

Yes, because the attorney's testimony related to the nature and value of his legal services in the case.

. An established attorney who truthfully advertised that he would only accept estate and trust matters hired a newly licensed attorney as an associate. The proposed employment agreement contained a non-compete provision. This provision would have prohibited the associate, if justifiably discharged, from practicing estates and trusts law within a 25-mile radius of the attorney's office for four months. The state's highest court has upheld a similar non-compete agreement between an architect and an architectural firm. The associate refused to consent to the provision, and the attorney agreed to drop it from the employment agreement that was entered into by the two lawyers.

Yes, because the proposed non-compete provision would have restricted the right of the associate to practice law after termination of the associate's employment.

An associate at an insurance defense law firm worked on many automobile accident claims on behalf of an insurance company under the supervision of a partner. As part of that work, she performed extensive legal research that was incorporated into memoranda filed by the partner, who attended hearings on the matter. All research projects were based on assignments from the partner, and it was not necessary that the associate reviewed the files, so she never did. After the partner left the firm, the insurance company terminated its relationship with the firm. The firm then agreed to represent a different insurance company in a case involving a dog bite in which the opposing party was insured by the former-client insurance company. Is it proper for the firm to represent the new insurance company?

Yes, because the dog bite matter is not substantially related to the previous automobile accident cases

1. A judge was in his chambers at 7:30a.m. when the telephone rang. Because neither his clerk nor his secretary had arrived yet, the judge answered the telephone and identified himself. The caller, one of the attorney's scheduled to appear in that morning's oral argument, stated that he could not attend the hearing

Yes, because the ex parte communication was for scheduling and administrative purposes only.

. As part of a routine conflict check conducted upon the hiring of new personnel, a law firm learned that an attorney who was joining the firm as a lateral associate had previously represented an insurance company in an ongoing reinsurance contract dispute with another insurance company, the firm's second biggest client.

Yes, because the firm screened the attorney from its representation of its client and notified the attorney's former client of what was being done.

. A judge nearing the end of her term heard the morning docket calls on behalf of her sick colleague. Among the morning's items was a motion to extend the time for discovery. An attorney for each party was present, and each attorney had signed the motion, agreeing to the extension of time. The judge granted the extension.

Yes, because the former judge had not substantially participated in the case as a judge.

A trial court judge serves as the president of a not-for-profit charitable organization that provides relief to victims of natural disasters. It is unlikely that the organization will be engaged in proceedings that would ordinarily come before the judge or the court of which the judge is a member. As president, the judge receives reasonable compensation that is commensurate with the judge's service as president.

Yes, because the judge may not engage in the fundraising activities on behalf of the not-for-profit organization as described in these facts.

The owner of real property who entered into a contract to sell the property employed a lawyer to conduct a title search. The lawyer's properly performed search revealed a cloud on the seller's title that rendered the property unmarketable. The lawyer provided this information to the buyer. As a consequence, the buyer refused to complete the sale. Has the lawyer violated the rules of professional conduct?

Yes, because the lawyer failed to obtain the seller's consent before revealing the information to the buyer.

1. A law firm decided to use an outside computer company to manage its documents. The firm's managing partner believed that the use of such outside companies was consistent with the general law firm practice.

Yes, because the managing partner did not take reasonable measures to ensure that the company selected was competent to protect confidential client information.

An attorney at a law firm was hired to represent a client involved in a car accident. After reading the police report, the attorney realized that a partner in his law firm was a witness to the accident. The attorney interviewed the partner and concluded that the partner's version of the accident significantly undermined his client's position. Consequently, although the attorney did not plan to call the partner to testify, the attorney anticipated that the opposing party was likely to do so. Had the partner rather than the attorney been asked by the client to represent her, the partner would have been required by the conflict rules to decline. Is the attorney subject to disqualification from representing the client?

Yes, because the partner could not have represented the client.

An attorney acting as a mediator in a child custody dispute properly explained his role to each of the parents involved in the dispute, how that role differed from that of a lawyer for a litigant, and that the lawyer-client privilege did not apply. Through the attorney's mediation efforts, the parents settled their dispute and came to a custody agreement that was approved by the court. Subsequently, the mother, wanting to modify the terms of the custody agreement, employed a partner at the attorney's law firm to handle the matter. The partner immediately gave written notice to the father and to the court of her employment by the mother, but she did not seek the approval of either. The attorney who served as a mediator was timely screened from participation in the matter and did not receive any part of the fee from this representation.

Yes, because the partner timely notified the father and the court in writing of her representation of the mother, and the firm properly dealt with the attorney who had acted as a mediator

1. A state probate court judge has been asked to serve on the board of directors of a public interest group seeking to improve the law primarily through litigation exclusively in federal courts.

Yes, because the position would not interfere with performance of the judge's judicial duties.

At a local restaurant, a justice of the peace notices another customer sitting at a table next to the table at which the justice of the peace is sitting. The justice of the peace does not know the other customer. After that customer leaves, the waiter for the table at which the justice of the peace is sitting complains to the justice of the peace that the customer at the next table had left without paying his bill. Assuming that the justice of the peace is herself not under a duty to report the customer's behavior to the police, is the justice of the peace nevertheless subject to discipline as a judicial official for her failure to take any action with respect to the attorney?

Yes, because there was a substantial likelihood that the attorney committed a theft.

1. A tax lawyer and a wills and estates lawyer formed a law firm together as a general partnership. The two lawyers agreed to split profits equally.

Yes, because the wills and estates lawyer is a general partner of the tax lawyer.

An attorney who practiced in a partnership with another attorney agreed to represent a pedestrian in a personal injury action against the driver of an automobile. The written representation agreement, signed by both the attorney and the client, provided that the attorney's fee would be contingent on the success of the litigation and spelled out the manner in which the fee would be calculated, the various anticipated expenses for which the client was liable, and that such expenses would be deducted before the contingency fee was calculated.

Yes, because, at the conclusion of the case, the attorney failed to provide the client with a written statement stating the outcome and showing the method of determining the client's portion of the recovery.