MPRE

A judge is presently serving on a state intermediate appellate court. This court, in opinions written by her, has decided several controversial cases in which the court has held that the Fourteenth Amendment to the United States Constitution does not guarantee due process protection to state prison inmates who are disciplined by prison authorities for violating the prison's rules of conduct. The judge is now a candidate for election to a vacancy on the state supreme court. She is vigorously opposed by several organizations concerned with the conditions under which prisoners are incarcerated in the state's prison. The judge is scheduled to be interviewed on television and has been informed that questions will be asked of her concerning those decisions and her attitude on the subject of prisoners' rights. Which of the following is proper for the judge to say during the interview? (A) "I believe that the issues raised by the organizations opposing me are appropriate matters for legislative consideration." (B) "In my opinion, incarceration for the commission of a crime carries with it a loss of civil liberties in prison discipline proceedings." (C) "I am convinced I was right in those cases and will make the same decision in similar cases in the future." (D) All of the above are proper.

(A) "I believe that the issues raised by the organizations opposing me are appropriate matters for legislative consideration."

A law firm, a professional corporation with five lawyer shareholders, employs twenty-five additional lawyers. Which of the following is proper? (A) Employees who are members of the bar are not made shareholders until they have been with the law firm ten years. (B) An office manager, who is not a member of the bar, is executive vice president of the law firm. (C) A widow, whose husband was a lawyer shareholder in the law firm until his death two years ago, continues to hold her husband's shares in the law firm, distributed in his estate, until their child completes a law school education. (D) For the first two years of employment, new associates of the law firm must have all of their work approved by a supervisor who is not a lawyer.

(A) Employees who are members of the bar are not made shareholders until they have been with the law firm ten years.

During the trial of an age discrimination lawsuit, both the judge and the attorney referenced the plaintiff's age and political affiliation multiple times in closing argument and jury instructions. The judge stated that "while members of an older generation may be more sensitive to being passed over for promotions, the law does not allow for actual discrimination." He also stated that individuals of the plaintiff's political party might face additional challenges in the particular field, which tends to be composed mostly of members of an opposing political party, and that this fact may have made the plaintiff feel alienated by his peers. Is it proper for the judge to reference the plaintiff's age and political affiliation in the above-referenced manner? (A) No, as to both age and political affiliation (B) Yes, as to both age and political affiliation (C) Yes, as to age only (D) Yes, as to political affiliation only

(A) No, as to both age and political affiliation

A college student was arrested very late one night for attempted robbery. When he arrived at the police station, he called his uncle, who was an attorney. The uncle specialized in trusts and estates law, and had never practiced criminal law. The uncle went to the police station, where he represented himself as his nephew's attorney. He was ushered back to a room where two officers were interrogating his nephew. The uncle told the police officers that he was his nephew's attorney, and then he instructed his nephew not to speak any further. The nephew protested, explaining to his uncle that the officers had promised to speak to the district attorney if he would explain what had happened, but the uncle was insistent. The next morning, the uncle called a local criminal defense attorney, who visited the nephew and agreed to take over his representation. Is the uncle subject to discipline for his representation of his nephew? (A) No, because a referral to or consultation with another attorney would have been impractical under the circumstances. (B) No, because an attorney need not have knowledge of or competence in criminal defense in order to represent a criminal defendant. (C) Yes, because an attorney may not represent a family member without informed consent. (D) Yes, because the uncle did not possess the legal knowledge and skill reasonably necessary for the representation.

(A) No, because a referral to or consultation with another attorney would have been impractical under the circumstances.

An attorney represented an incarcerated, indigent criminal defendant on a pro bono basis. At their initial meeting, the defendant was extremely fidgety. The defendant explained that she was a smoker but had not had a cigarette since being imprisoned because she had no money to buy cigarettes in the facility. The attorney gave the defendant $50 to buy cigarettes without securing from the defendant a promise to repay the money. Nevertheless, the defendant subsequently did repay the attorney. Was the attorney's loan to his client proper? (A) No, because an attorney may not provide financial assistance to a client for the client's living expenses. (B) No, because an attorney must take steps to ensure that a client will repay any monetary advances made by the attorney before making such an advance. (C) Yes, because an attorney may provide financial assistance to an indigent client. (D) Yes, because the defendant repaid the money to the attorney.

(A) No, because an attorney may not provide financial assistance to a client for the client's living expenses.

In an attempt to grow her business, a newly licensed attorney accepted nearly all cases brought to her. After a few months, her workload became so heavy that she did not have sufficient time to devote to the cases, and she subsequently hired a paralegal and a secretary to alleviate some of the work. She also telephoned each of her clients and informed them that her secretary and paralegal would complete much of the legal legwork because she simply did not have time to do so herself. The attorney subsequently missed a major deadline, and a client filed a malpractice suit against her. During discovery, the attorney stated that her paralegal was responsible for tracking deadlines and that her excessive workload prevented her from being able to work full-time on each case herself. Were the attorney's actions with regard to managing her workload proper? (A) No, because she had a duty to manage her workload more effectively. (B) No, because the attorney did not inform her clients in writing that her staff would take on some of the work. (C) Yes, because it was not possible for the attorney to work on all details of each case in light of her workload. (D) Yes, because the attorney adequately supervised her staff.

(A) No, because she had a duty to manage her workload more effectively.

A well-known defense attorney met with a criminal defendant regarding representation of the defendant in a highly publicized case. During the meeting, the attorney told the defendant, who was indigent, that she would represent him if he agreed to grant her movie rights regarding the representation. The client agreed to these terms, and the attorney provided him with a written consent form setting forth the terms of the representation and advising him to seek independent counsel. The attorney met with the defendant several days later, at which time he returned a signed copy of the written consent form. He told her that he had not consulted with another attorney. The attorney succeeded in obtaining an acquittal at trial and began shopping a movie based on the case to television studios shortly thereafter. Were the attorney's actions in securing the movie rights based on the case proper? (A) No, because the attorney negotiated for movie rights prior to the conclusion of the representation. (B) No, because the defendant did not obtain independent legal counsel before signing the consent form. (C) Yes, because the defendant signed a written consent form after being advised of his right to seek independent counsel. (D) Yes, because the attorney negotiated for movie rights as a replacement for fees.

(A) No, because the attorney negotiated for movie rights prior to the conclusion of the representation.

A prominent politician contacted a well-respected and successful lawyer about representing her in a divorce action. During the initial consultation, the politician revealed that she was having an affair. At the conclusion of the consultation, the lawyer declined to represent her. The politician responded, "Good. I only wanted to make sure you couldn't represent my husband." Shortly afterwards, the lawyer, in order to discredit the politician, revealed to a reporter that the politician was having an affair. Is the lawyer subject to discipline? (A) No, because the lawyer did not owe a duty of confidentiality to the politician. (B) No, because the lawyer declined to represent the politician. (C) Yes, because the lawyer revealed information learned from a consultation with a prospective client. (D) Yes, because the lawyer revealed the politician's affair in order to discredit her

(A) No, because the lawyer did not owe a duty of confidentiality to the politician.

A woman had a meeting with an attorney to discuss the attorney's possible representation of her in a divorce. They discussed the facts and circumstances of the divorce, as well as the attorney's fees. At the conclusion of the meeting, the woman told the attorney that she looked forward to working with him. The attorney sent her home with a representation agreement, which he told her to sign and return to him with the discussed retainer. Later that day, the woman's husband, who was a senior manager of a large corporation, asked the attorney to represent him. The attorney realized that he might be able to get other business from the husband and agreed to represent him. When the wife returned the signed representation agreement, the attorney informed her that he was now representing her husband. Is the attorney's representation of the husband proper? (A) No, because the wife had discussed the facts and circumstances of her divorce with the attorney. (B) No, because the attorney gave the wife a representation agreement to sign. (C) Yes, because the wife and the attorney did not enter into an attorney-client relationship. (D) Yes, because the wife had not paid a retainer when the attorney agreed to represent the husband.

(A) No, because the wife had discussed the facts and circumstances of her divorce with the attorney.

An attorney represented an incorporated delivery business in a negligence lawsuit stemming from an accident involving a driver employed by the business. The attorney was selected and directed by the president and sole shareholder of the business. After interviewing another employee who witnessed the accident, the attorney engaged in sexual relations with this witness-employee. The attorney did not discuss his professional responsibility obligations regarding sexual relations with the witness-employee. Is the attorney subject to discipline for engaging in sexual relations with the witness-employee? (A) No, because the witness-employee did not supervise, direct, or regularly consult with the attorney concerning the delivery business's legal matters. (B) No, because the conflict of interest arising from sexual relations with a client does not apply when the client is an entity rather than an individual. (C)Yes, because the attorney engaged in a sexual relationship with an employee of the attorney's client. (D) Yes, because the attorney did not seek the informed consent of the witness-employee before engaging the sexual relations

(A) No, because the witness-employee did not supervise, direct, or regularly consult with the attorney concerning the delivery business's legal matters.

An attorney is engaged by a testator to prepare a codicil to a will, which was drafted by another lawyer who is now deceased. The testator, who is a new client, has been referred to the attorney by another client, whom the attorney has represented in a variety of business transactions in the past, and currently represents in negotiations to purchase land as an investment. The testator is, in fact, the aunt of the referring client. In discussing her testamentary desires with the attorney, the testator reveals that she has changed her mind about leaving any property to her niece, who in the will is named as the residuary beneficiary and otherwise would be entitled to her aunt's property under the laws of intestate succession, but she instead wishes to leave her entire estate to a charity. The attorney, upon learning the scope of the changes to the testator's existing will, suggests that the testator draft a new will, but otherwise follows her directions in drafting the will. The attorney does not give and the testator does not ask for the lawyer's advice regarding the advisability of any of her actions. The attorney's fee is paid in full by the testator. The attorney does not reveal the substance of the will to the niece or otherwise discuss his representation of the aunt in this matter. Is the attorney subject to discipline for drafting the aunt's will? (A) No, because there is not a conflict of interest between the attorney's two clients. (B) No, because the aunt left her estate to charity. (C) Yes, because the niece recommended the attorney to her aunt. (D) Yes, because the aunt disinherited her niece, who is a current client of the attorney.

(A) No, because there is not a conflict of interest between the attorney's two clients.

A defendant, who has been indicted for auto theft, is represented by an attorney. The prosecutor reasonably believes that the defendant committed the offense, but, because of the defendant's youth, it is in the interest of justice to permit him to plead guilty to the lesser offense of "joy-riding" in return for an agreement by the prosecutor to recommend probation. The prosecutor has so advised the attorney, but the attorney told the prosecutor she would not plea bargain and would insist on a jury trial. The attorney informed the defendant of the prosecutor's offer and advised the defendant not to accept it. The defendant followed the attorney's advice. The attorney is a candidate for public office, and the prosecutor suspects that the attorney is insisting on a trial of the case to secure publicity for herself. Which of the following would be improper for the prosecutor? (A) Send a member of his staff who is not a lawyer to consult with the defendant. (B) Move the trial court to dismiss the indictment and accept a new complaint charging the offense of "joy-riding." (C) Proceed to trial on the indictment and prosecute the case vigorously. (D) All of the above would be improper.

(A) Send a member of his staff who is not a lawyer to consult with the defendant.

A corporation has applied to a bank for a $900,000 loan to be secured by a lien on the corporation's inventory. The inventory, consisting of small items, constantly turns over. The security documents are complex and if improperly drawn they could result in an invalid lien. The bank has approved the loan on the condition that the corporation and the bank jointly retain an attorney to prepare the necessary security instruments and that the corporation pays the attorney's fees. Both the corporation and the bank gave informed consent in writing to the attorney's representation of both parties. This arrangement is customary in the city in which the attorney's law office and the bank are located. It is obvious to the attorney that he can adequately represent the interests of both the corporation and the bank. Is it proper for the attorney to prepare the security documents under these circumstances? (A) Yes, because both the bank and the corporation have given their informed consent to the arrangement. (B) Yes, because the arrangement is customary in the community. (C) No, because the attorney's fees are being paid by the corporation, not the bank. (D) No, because the corporation and the bank have differing interests.

(A) Yes, because both the bank and the corporation have given their informed consent to the arrangement.

A sole practitioner was appointed to represent a criminal defendant on appeal. A recently admitted lawyer who shared office space with the sole practitioner agreed to write the brief if the sole practitioner would pay him one-half of the statutory fee. The defendant agreed to the arrangement in writing, after full consultation. The recently admitted lawyer entered an appearance as co-counsel for the defendant and, with the sole practitioner's knowledge, applied for and received several extensions of time to file the brief. Subsequently, the appellate court dismissed the appeal for failure to pursue the appeal. A third lawyer was later appointed to represent the defendant, whose conviction was affirmed after the appeal was reinstated. Is the sole practitioner subject to discipline? (A) Yes, because he neglected the defendant's case. (B) Yes, because he shared fees with the recently admitted lawyer. (C) No, because the defendant agreed in writing to the co-counsel arrangement. (D) No, because the affirmance by the appellate court indicated that the defendant's appeal was without merit.

(A) Yes, because he neglected the defendant's case.

A certified public accountant has proposed to an attorney, a recognized specialist in the field of tax law, that she and the attorney form a partnership for the purpose of providing clients with tax-related legal and accounting services. Both the accountant and the attorney have deserved reputations of being competent, honest, and trustworthy. The accountant further proposes that the announcement of the proposed partnership, the firm stationery, and all public directory listings clearly state that the accountant is a certified public accountant and that the attorney is a lawyer. Is the attorney subject to discipline if he enters into the proposed partnership with the accountant? (A) Yes, because one of the activities of the partnership would be providing legal services to clients. (B) Yes, because the attorney would be receiving fees paid for other than legal services. (C) No, because the partnership will assure to the public high-quality services in the fields of tax law and accounting. (D) No, if the attorney is the only person in the partnership who gives advice on legal matters.

(A) Yes, because one of the activities of the partnership would be providing legal services to clients.

A business attorney entered into a partnership with a certified public accountant. The partnership provided legal and other assistance to clients in connection with business and tax planning, tax filings, and other personal and corporate business matters. The accountant performed only work that she was authorized to perform as a certified public accountant. The attorney made reasonable efforts to ensure that the accountant did not interfere with the attorney's compliance with his professional obligations as a lawyer. Is the attorney subject to discipline? (A) Yes, because some of the activities of the partnership consisted of the practice of law. (B) Yes, because lawyers may not form partnerships with non-lawyers. (C) No, because the accountant performed only work that she was authorized to perform as a certified public accountant. (D) No, because the attorney made reasonable efforts to ensure that the accountant did not interfere with the attorney's compliance with his professional obligations as a lawyer.

(A) Yes, because some of the activities of the partnership consisted of the practice of law.

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 for entering into this retainer agreement? (A) Yes, because the attorney agreed to a fee contingent on the outcome of a criminal case. (B) Yes, because a lawyer may not acquire a proprietary interest in a client's property. (C) No, because the charges against the defendant were dismissed. (D) No, because the retainer agreement was in writing

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

An attorney represented the plaintiff in an automobile accident case. Two weeks before the date set for trial, the attorney discovered that there was an eyewitness to the accident. The attorney interviewed the witness. Her version of the accident was contrary to that of the plaintiff and, if believed by the trier of fact, would establish that the plaintiff was at fault. The witness told the attorney that she had not been interviewed by defense counsel. The witness also told the attorney that she was uncomfortable with testifying and that she had been thinking about taking a vacation to Europe the following week. The attorney told the witness that, since no one had subpoenaed her yet, she had no obligation to appear. He told her that trials were very difficult for witnesses and suggested that she take the vacation so that she would be unavailable to testify. Is the attorney subject to discipline? (A) Yes, because the attorney asked the witness to leave the jurisdiction. (B) Yes, because the attorney did not subpoena the witness knowing she was an eyewitness. (C) No, because the witness had not been subpoenaed by the defense. (D)No, because the attorney did not offer the witness any inducement not to appear at the trial

(A) Yes, because the attorney asked the witness to leave the jurisdiction.

An attorney regularly appears before a trial court judge who is running for reelection in six months. Over the past year, the attorney has noticed that the judge has become increasingly ill-tempered on the bench. Not only is the judge abrupt and critical of lawyers appearing before him, he is also rude and abusive to litigants. On more than one occasion, the judge has thrown his gavel across the courtroom in a fit of temper. The judge's conduct on the bench is often the subject of discussion whenever a group of lawyers meets. Some lawyers are automatically filing requests for judicial substitution whenever a case in which they are to appear is assigned to the judge. The attorney discussed the matter with her law partners, who rarely make court appearances. The attorney's law partners suggested that she, too, file a request for judicial substitution whenever one of her cases is assigned to the judge. In addition, the attorney and her law partners discussed the possibility of reporting the judge to the appropriate disciplinary authority but are concerned that this would alienate the other judges to whom their cases are assigned. The attorney has reluctantly started filing for substitution of the judge in every one of her cases to which the judge is assigned, but she has taken no further action. Is the attorney subject to discipline? (A) Yes, because the attorney failed to inform the appropriate authorities about the judge's conduct. (B) Yes, because, by filing automatic requests for substitution of the judge, the attorney undermined public confidence in the administration of justice. (C) No, because the attorney has a duty to represent her clients zealously. (D) No, because the judge is running for re-election and may not be re-elected.

(A) Yes, because the attorney failed to inform the appropriate authorities about the judge's conduct.

As required by a purchase agreement, a consumer and a retailer submitted a dispute to an arbitration panel. The consumer and retailer each named an attorney to be a partisan member of the panel and together those two panel members chose the third member of the panel. After listening to both sides, the panel ruled 2-1 in favor of the retailer, with the panel member named by the consumer voting in favor of the consumer. Without seeking the consent of the retailer, the consumer employed the attorney he had appointed to the panel to challenge the arbitration of the dispute. Is it proper for the attorney to accept this employment? (A) Yes, because the attorney served as a partisan member of the three-member arbitration panel. (B) Yes, because the attorney voted against the decision reached by the panel. (C) No, because the retailer did not consent to the attorney's subsequent representation of the consumer with regard to the arbitrated matter. (D) No, because the attorney personally and substantially participated as a member of the arbitration panel.

(A) Yes, because the attorney served as a partisan member of the three-member arbitration panel.

An attorney, who is corporate counsel for a company, is investigating a possible theft ring in the parts department of the company. The attorney knows that an employee has worked in the parts department for a long time and believes that the employee is a suspect in the thefts. The attorney believes that if the employee were questioned, she would not answer truthfully if she knew the real purpose of the questions. The attorney plans to question the employee and falsely tell her that she is not a suspect and that her answers to the questions will be held in confidence. Is the attorney subject to discipline if she so questions the employee? (A) Yes, because the attorney's conduct involves misrepresentation. (B) Yes, unless the attorney first advises the employee to obtain counsel to represent her. (C) No, because no legal proceedings are now pending. (D) No, because the attorney did not give legal advice to the employee.

(A) Yes, because the attorney's conduct involves misrepresentation.

Attorney Alpha represents a plaintiff in a personal injury action against a defendant, who is represented by Attorney Beta. Alpha had heard that the defendant was anxious to settle the case and believed that Beta had not informed the defendant of a reasonable settlement offer made by Alpha. Alpha instructed Alpha's non-lawyer investigator to tell the defendant about the settlement offer so Alpha could be sure that Beta does not force the case to trial merely to increase Beta's fee. The investigator talked to the defendant as instructed. Is Alpha subject to discipline? (A) Yes, because the defendant was represented by counsel. (B) Yes, because Alpha was assisting the investigator in the unauthorized practice of law. (C) No, because the investigator is not a lawyer. (D) No, if Alpha reasonably believed Beta was not keeping the defendant informed.

(A) Yes, because the defendant was represented by counsel.

A judge of the city's trial court has served for many years as a director of a charitable organization that maintains a camp for disadvantaged children. The organization has never been involved in litigation. The judge has not received any compensation for her services. The charity has decided to sponsor a public testimonial dinner in the judge's honor. As part of the occasion, the local bar association intends to commission and present to the judge her portrait at a cost of $4,000. The money to pay for the portrait will come from a "public testimonial fund" that will be raised by the City Bar Association from contributions of lawyers who are members of the association and who practice in the courts of the city. Is it proper for the judge to accept the gift of the portrait? (A) Yes, because the gift is incident to a public testimonial for the judge. (B) Yes, because the judge did not receive compensation for her services to the charitable organization. (C) No, because the cost of the gift exceeds $1,000. (D) No, because the funds for the gift are contributed by lawyers who practice in the courts of the city.

(A) Yes, because the gift is incident to a public testimonial for the judge.

The owner of undeveloped real property entered into a contract to sell the property to an investor. The investor's obligation to purchase the property was conditioned on the title to the property being marketable. A lawyer employed by the investor investigated the validity of the seller's title to the property and reported to the investor that there was a cloud on the seller's title, which made the property unmarketable. As a consequence, on the date set for closing, the investor did not tender the purchase price. On that date, due to independent economic events, the fair market value of the property was less than the purchase price. Subsequently, it was uncovered that the lawyer misread a key document and the seller had clear title to the property. Is the lawyer subject to discipline? (A) Yes, because the lawyer failed to competently investigate the validity of the seller's title to the property. (B) Yes, because the seller suffered an economic loss when the buyer refused to complete the sale. (C) No, because due to the drop in the fair market value of the property, the investor did not suffer an economic loss in foregoing the purchase of the property. (D) No, because the lawyer's error was not intentional.

(A) Yes, because the lawyer failed to competently investigate the validity of the seller's title to the property.

A lawyer has just joined a professional corporation engaged solely in the practice of law. The lawyer is a salaried associate and is not a member or shareholder of the professional corporation. A partner's spouse, who is not a lawyer, is vice president of the corporation and office manager. All of the other officers are lawyers in the firm. All of the corporate shares are held by lawyers in the corporation, except for ten shares held by the executor under the will of a lawyer-member who died one month previously and whose will is now being probated. The lawyer knows that the partner's spouse is an officer and not a lawyer. Is the lawyer subject to discipline? (A) Yes, because the partner's spouse is an officer of the corporation. (B) Yes, if a non-lawyer holds the stock as the executor of the will of the deceased member. (C)No, because the lawyer is a salaried employee and not a member or shareholder of the corporation. (D)No, if the partner's spouse does not participate in any decision regarding a client or a client's case.

(A) Yes, because the partner's spouse is an officer of the corporation.

A judge is one of three trustees of a trust for the educational benefit of her grandchildren. The trust owns 5,000 shares of stock in an oil company. The stock has been selling for the past year at $10.00 per share. The oil company is suing an oil refining company for breach of an oil refining agreement, and the case is assigned to the judge for trial. The judge believes that she can be fair and impartial. Must the judge disqualify herself from the case? (A) Yes, because the trust has more than a de minimis financial interest in the oil company. (B) Yes, unless the outcome of the lawsuit is unlikely to affect the value of the stock. (C) No, unless the judge personally owns stock in either party to the litigation. (D) No, because the judge believes she can remain impartial.

(A) Yes, because the trust has more than a de minimis financial interest in the oil company.

Four years ago, an attorney represented a husband and wife, both high school teachers, in the purchase of a new home. Since then, the attorney prepared their tax returns and drafted their wills. Recently, the husband called the attorney and told her that he and his wife had decided to divorce, but wanted the matter to be resolved amicably. The 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 in which there are no minor children. The husband asked if the attorney would agree to work with them to prepare a financial settlement agreement that could be presented to the divorce court, reminding the 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, the attorney wrote to the couple separately, and advised each that he or she might be better off with separate lawyers, but that the 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. The attorney advised that if a conflict developed, or if either party was dissatisfied or uncomfortable about continuing with the joint representation, the attorney would withdraw and would not represent either party from that point forward, forcing them to start all over again with separate lawyers. Finally, the attorney cautioned the husband and wife that she would be representing both of them equally, that she 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 the husband and wife signed their individual copy of the letter, consenting to the joint representation, and returned them to the attorney. Was it proper for the attorney to accept the representation on these terms? (A) Yes, because there was little risk that the interests of either the husband or wife would be materially prejudiced if no settlement was reached. (B) Yes, because the attorney had previously represented the husband and wife in their joint affairs. (C) No, because the attorney conditioned representation upon receiving a waiver of client confidentiality. (D) No, unless the attorney advised both the husband and wife, in writing, that they should seek independent counsel before agreeing to enter into the financial settlement on the terms proposed.

(A) Yes, because there was little risk that the interests of either the husband or wife would be materially prejudiced if no settlement was reached.

For many years, an attorney has served as outside counsel to a corporation. Shortly after a change in management, the attorney discovered what she reasonably believed to be a material misstatement in a document she had drafted that the attorney was about to file on the corporation's behalf with a government agency. The attorney advised the corporation's Board of Directors that filing the document was probably criminal. However, the Board disagreed that there was any material misstatement and directed the attorney to proceed with the filing. When the attorney indicated her intention to resign, the corporation argued that a resignation at this time would send a signal that there was a problem with the filing. The corporation urged the attorney to continue the representation, but offered to use in-house counsel to complete the work on the filing. Although she does not know for certain that filing the document is illegal, the attorney reasonably believes that it is. In any event, the attorney is personally uncomfortable with the representation and wants to withdraw. May the attorney withdraw from her representation of the corporation? (A) Yes, because withdrawal is permitted but not required when a client insists on conduct that the lawyer reasonably believes, but does not know, will be criminal. (B) Yes, because withdrawal is required when a client insists on conduct that the lawyer reasonably believes, but does not know, will be criminal. (C) No, if the corporation is correct that withdrawal would breach confidentiality by sending a signal that the filing is problematic. (D) No, if the attorney's withdrawal as outside counsel might affect the corporation's ability to complete the filing in a timely fashion.

(A) Yes, because withdrawal is permitted but not required when a client insists on conduct that the lawyer reasonably believes, but does not know, will be criminal.

A corporation hired a law firm to handle all of its corporate work. The firm had not previously represented a corporation on an ongoing basis, but decided that it wanted to attract additional corporate clients. Accordingly, the partners handling the corporation's work began a practice of giving to all lawyers in the firm, on a monthly basis, detailed descriptions of the work they were doing for the corporation for the purpose of illustrating what the firm could do for corporate clients. One of the partners mentioned this practice to the corporation's management, and the corporation complained that its confidences had been violated. Was it proper for the partners to give detailed descriptions of the work being done for the corporation to other lawyers in the firm? (A) Yes, because, absent client instructions to the contrary, lawyers may discuss client information with other lawyers in the firm. (B) Yes, because lawyers may discuss client information with other lawyers in the firm, regardless of client instructions to the contrary, so long as the disclosure does not disadvantage the client. (C) No, because sharing the information increased the risk that it might be improperly disclosed to third parties outside the firm. (D) No, because lawyers may not disclose client information, even to other firm lawyers, unless the disclosure is in furtherance of the representation.

(A) Yes, because, absent client instructions to the contrary, lawyers may discuss client information with other lawyers in the firm.

An attorney filed an action on behalf of a client for breach of contract. In fact, the client had no legal basis for the suit but wanted to harass the defendant. In order to induce the attorney to file the action, the client made certain false statements of material fact to the attorney, which the attorney included in the complaint filed against the defendant. At the trial of the case, the client took the stand and testified as set forth in the complaint. The trial court ordered judgment for the client. After entry of judgment, the client wrote the attorney a letter marked "Confidential," in which the client admitted that she had lied to the attorney and had testified falsely in the case. Upon complaint of the defendant, who claimed the attorney had knowingly used false testimony in the case, disciplinary proceedings were instituted against the attorney. Is it proper for the attorney to use the client's letter to the attorney in the attorney's defense in the disciplinary proceedings? (A) Yes, if it is necessary to do so in order to protect the attorney's rights. (B) Yes, because the client had committed a fraud on the court in which the case was tried. (C) No, because the attorney learned the facts from the client in confidence. (D) No, if disclosure by the attorney could result in the client's prosecution for perjury.

(A) Yes, if it is necessary to do so in order to protect the attorney's rights.

An attorney is a lawyer for a city and advises the city on all tort claims filed against it. The attorney's advice is limited to recommending settlement and the amount thereof. If a claim is not settled and suit is filed, defense of the suit is handled either by lawyers for the city's insurance carrier or by outside counsel specially retained for that purpose. In connection with any notice of claim and before suit is filed, the attorney arranges for an investigator to call upon the claimant at the claimant's home and, with no one else present, to interview the claimant and endeavor to obtain a signed statement of the claimant's version of the facts. The claimant has filed a notice of claim against the city. The attorney has sent an investigator to interview the claimant. Is the attorney subject to discipline for arranging an interview with the claimant? (A) Yes, if the claimant was known by the attorney to be represented by counsel. (B) Yes, if the statement taken is later used to the claimant's disadvantage. (C) No, because the claimant had not filed suit at the time of the interview. (D) No, because the attorney would not be representing the city in any subsequent litigation on the claimant's claim.

(A) Yes, if the claimant was known by the attorney to be represented by counsel.

An attorney has recently started her own law firm with four other lawyers as associates. The law firm has moved into offices in a new building that is owned by a bank. The attorney has borrowed heavily from the bank to finance her new law firm. In addition, the bank provides the law firm with accounting services through its computer. At the bank's suggestion, an employee of the bank, who is not a lawyer, serves as a part-time office manager for the law firm without compensation from the firm. The duties of the office manager are to advise the firm generally on fees and time charges and on program matters for the computer services, and to consult with the attorney on accounting and billing practices to ensure solvency. Is the arrangement with the bank proper? (A) Yes, unless secrets or confidences of clients may be disclosed to the bank. (B) Yes, because the office manager is paid by the bank. (C) No, because a non-lawyer will be advising the law firm on fees and time charges. (D) No, because the bank will be involved in the practice of law.

(A) Yes, unless secrets or confidences of clients may be disclosed to the bank.

Attorney Alpha represents a defendant in an action for personal injuries. Alpha, pursuant to the defendant's authorization, made an offer of settlement to Attorney Beta, who represents the plaintiff. Beta has not responded to the offer, and Alpha is convinced that Beta has not communicated the offer to the plaintiff. State law authorizes a defendant to move for a settlement conference and to tender an offer of settlement. If such a motion is made and the offer is rejected by the plaintiff and the eventual judgment does not exceed the amount of the offer, the plaintiff must bear all costs of litigation, including reasonable fees, as determined by the court, for the defendant's counsel. Alpha, with the defendant's consent, filed a motion requesting a settlement conference, tendered an offer to settle for $25,000, and served copies of the motion and tender on Beta and on the plaintiff personally. Is Alpha subject to discipline for serving the plaintiff with a copy of the motion and tender? (A) Yes, unless service of copies of the motion and tender on the plaintiff were authorized by statute or rule of court. (B) Yes, unless Alpha first informed Beta of Alpha's intention to serve copies of the motion and tender on the plaintiff. (C) No, because the decision to accept or reject a settlement offer rests with the client. (D) No, because the motion and tender became public documents when they were filed in court.

(A) Yes, unless service of copies of the motion and tender on the plaintiff were authorized by statute or rule of court.

Attorney advertises on the local television station. In the advertisements, a professional actor says: "Do you need a lawyer? Call Attorney - her address is 512 Main Street and her telephone number is area code 555-555-5555. Her fees might be lower than you think." Is the advertisement proper? (A) Yes. (B) No, unless Attorney's fees are lower than those generally charged in the area where she practices. (C) No, because she used a professional actor for the television advertisement. (D) No, if she makes a charge for the initial consultation.

(A) Yes.

An attorney was retained to represent a client charged with assault. The attorney interviewed several of the client's friends and colleagues in a search of character witnesses. In one such interview, the client's secretary revealed that the client, who was a banker, often skirted legal and ethical lines. After the client was acquitted, the attorney's friend called to congratulate him. The attorney mentioned that it might not be long before the client found himself in legal trouble again, and he told his friend about the conversation with the client's secretary. Was the attorney's action in revealing what he learned from the client's secretary proper? (A)No, because the attorney was bound by the duty of confidentiality. (B) No, because the conversation with the secretary was protected by attorney-client privilege. (C) Yes, because the attorney's representation of the client had concluded. (D) Yes, because the conversation was not protected by the attorney-client privilege

(A)No, because the attorney was bound by the duty of confidentiality.

A partner in a law firm was a witness to an assault that occurred in his neighborhood. The partner will likely have to testify in the civil action brought by the victim of the assault for damages. An associate at the partner's firm has agreed to represent the victim in the assault action. Is the associate subject to disqualification? (A)No, because there is no conflict of interest. (B)No, because the action is not a criminal case. (C)Yes, because the partner is likely to be called as a witness. (D)Yes, because the possibility of the partner being called as a witness creates a conflict that is imputed to the associate.

(A)No, because there is no conflict of interest.

An attorney was subpoenaed by a grand jury and asked questions regarding the whereabouts of her client. The attorney considered whether the lawyer-client privilege applied to the revelation of this information. Determining that it was more likely than not that the privilege did not apply, the attorney answered the grand jury questions. Is the attorney subject to discipline for disclosing her client's whereabouts? (A)Yes, because the attorney failed to assert a claim that the lawyer-client privilege applied. (B)Yes, because an attorney may not reveal the whereabouts of her client. (C)No, because the attorney determined that it was more likely than not that the lawyer-client privilege did not apply. (D)No, because the duty of confidentiality does not apply when an attorney is called as a witness.

(A)Yes, because the attorney failed to assert a claim that the lawyer-client privilege applied.

An attorney represents the defendant, a prominent businessman, in a civil paternity suit brought by a plaintiff, who was formerly the defendant's employee. Blood tests did not exclude the defendant's paternity, and the case is being tried before a jury. The result turns on questions of fact. The defendant has steadfastly denied that he had sexual relations with the plaintiff, while the plaintiff has testified that they had sexual relations while on business trips and in her home. The trial has generated great public interest and is closely followed by the news media. When the plaintiff completed her testimony, the attorney was interviewed by a newspaper reporter. Which of the following statements, if believed by the attorney to be true, would be improper for the attorney to make? (A) "As stated in our pleadings, we expect to prove that other men could be the father of the plaintiff's child." (B) "We have scientific medical tests proving that the defendant is sterile." (C) "We have been unable to locate several people whose testimony will be helpful to us, and I implore them to contact me immediately." (D) None of these statements is improper.

(B) "We have scientific medical tests proving that the defendant is sterile."

An attorney, who represented a plaintiff, received a check from the defendant payable to the attorney's order in the sum of $10,000 in settlement of the plaintiff's claim against the defendant. The plaintiff had previously paid the attorney a fee, so no part of the $10,000 was owed to the attorney. Which of the following would not be proper? (A) Endorse the check and send it to the plaintiff. (B) Deposit the check in the attorney's personal bank account and send the attorney's personal check for $10,000 to the plaintiff. (C) Deposit the check in a Clients' Trust Account, advise the plaintiff, and forward a check drawn on that account to the plaintiff. (D) All of the above would be proper.

(B) Deposit the check in the attorney's personal bank account and send the attorney's personal check for $10,000 to the plaintiff.

An attorney represented a client on a minor personal injury claim against an uninsured motorist. The attorney represented the client on a 30% contingent fee basis. Pursuant to a negotiated settlement in the amount of $2,000, the driver agreed to send the attorney a $100 check, made payable to the attorney, in each of the ensuing twenty months. Which of the following dispositions of each monthly check would be improper for the attorney? (A) Endorse the check and immediately forward it to the client, with a request that the client pay the attorney $30. (B) Deposit the check into her office account and immediately write the client a check for $70 from that account. (C) Deposit the check into a separate account established for the client and immediately request the client to pay the attorney $30. (D) Deposit the check into a trust account in which funds belonging to all the attorney's clients are deposited and immediately write the client a check for $70 and herself a check for $30 from that account.

(B) Deposit the check into her office account and immediately write the client a check for $70 from that account.

An attorney represented an actor in a contract dispute with the producer of a play. During the dispute, the attorney and the actor had a brief sexual relationship. Prior to engaging in sexual relations, the attorney informed the actor that the attorney was prohibited from having sex with a client. The actor dismissed the attorney's concerns, saying that it didn't matter. Sexual relations between the two terminated before the dispute was resolved. The dispute was resolved to the satisfaction of the actor. Was the attorney's action regarding the relationship proper? (A) No, because an attorney may not engage in a sexual relationship with a client. (B) No, because a client may not waive a conflict stemming from a sexual relationship with the attorney. (C) Yes, because the client consented to the sexual relationship despite knowledge of the prohibition. (D)Yes, because the contractual dispute was resolved to the satisfaction of the client after the sexual relationship with the attorney terminated

(B) No, because a client may not waive a conflict stemming from a sexual relationship with the attorney.

An attorney worked at a law firm that encouraged its attorneys to provide at least 100 hours of pro bono service per year. The attorney typically surpassed this goal. Last year, however, the attorney was involved in a long, complex trial, and he did not provide any pro bono service. The attorney did not make any contributions to nonprofit legal organizations during the year. Would the attorney's failure to provide pro bono services or to contribute to nonprofit legal organizations subject him to discipline? (A) No, because the Model Rules allow pro bono hours exceeding the 50-hour minimum to be carried forward to subsequent years. (B) No, because the Model Rules indicate only that an attorney should aspire to perform 50 hours of pro bono services annually. (C) Yes, because the Model Rules require an attorney to provide a minimum of 50 hours of pro bono legal services each year. (D)Yes, because the Model Rules require an attorney to either render a minimum of 50 hours of pro bono legal services each year or make a monetary contribution to nonprofit legal organizations in lieu of such service.

(B) No, because the Model Rules indicate only that an attorney should aspire to perform 50 hours of pro bono services annually.

An attorney filed a motion for summary judgment on behalf of his client despite knowledge of directly adverse case law from the highest court in the state. Since the issuance of that decision, however, courts in other states had reached the opposite conclusion. In the motion, the attorney cited the decisions from other states but did not mention the decision from the state's highest court. The opposing attorney filed a brief in opposition to the motion for summary judgment that did not cite the decision from the state's highest court. The court did not hold oral argument but granted summary judgment based on the briefs. Were the attorney's actions in not disclosing the decision of the state's highest court proper? (A) No, because the attorney was required to disclose the decision in his initial brief supporting the motion for summary judgment. (B) No, because the attorney was required to disclose the decision after the opposing counsel failed to disclose it. (C) Yes, because an attorney does not have a duty to disclose cases that are adverse to his client's position. (D) Yes, because disclosure of the case would violate the attorney's duty to zealously advocate his client's position

(B) No, because the attorney was required to disclose the decision after the opposing counsel failed to disclose it.

An attorney practices law in a state that has experienced a business recession and where several banks have failed and others are severely pressed to preserve their solvency. The attorney maintains a Clients' Trust Account in a bank and that account is insured by the Federal Deposit Insurance Corporation against losses up to $100,000. The attorney also maintains his regular office account in the same bank and that account is insured to $100,000. During a particularly busy time, the attorney's bookkeeper told the attorney that the balance in the Clients' Trust Account had increased to $150,000. The bookkeeper noted that the office account had a balance of $30,000. Which of the following courses of action by the attorney would be proper? (A) Leave the Clients' Trust Account as is if the balance is likely to decrease to less than $100,000 within the next ten days. (B) Open another Clients' Trust Account in another bank within the state, and transfer some funds to the second Clients' Trust Account to maintain a fully insured balance in both accounts. (C) Open another Clients' Trust Account in a bank situated in another state, which is not experiencing bank failures, and transfer some funds to the second Clients' Trust Account to maintain a fully insured balance in both accounts. (D) Temporarily transfer $50,000 from the Clients' Trust Account to the office account so the balance in both accounts is fully within insured limits.

(B) Open another Clients' Trust Account in another bank within the state, and transfer some funds to the second Clients' Trust Account to maintain a fully insured balance in both accounts.

An attorney represented a plaintiff in litigation that was settled, with the plaintiff's approval, for $25,000. The attorney received a check in that amount from the defendant, payable to the attorney's order. The attorney endorsed and deposited the check in the attorney's Clients' Trust Account. The attorney promptly notified the plaintiff and billed him $5,000 for legal fees. The plaintiff disputed the amount of the fee and wrote the attorney, stating, "I will agree to pay $3,000 as a reasonable fee for the work you did, but I will not pay anything more than that." Based on the above facts, which of the following actions is proper for the attorney to take? (A) Retain the entire $25,000 in the attorney's Clients' Trust Account until the fee dispute is settled. (B) Send the plaintiff $20,000, transfer $3,000 to the attorney's office account, and retain $2,000 in the attorney's Clients' Trust Account until the dispute is settled. (C) Send the plaintiff $20,000 and transfer $5,000 to the attorney's office account. (D) None of the above is proper.

(B) Send the plaintiff $20,000, transfer $3,000 to the attorney's office account, and retain $2,000 in the attorney's Clients' Trust Account until the dispute is settled.

A rising second-year law school student was employed as a summer intern at a law firm. The intern attended a deposition of a client who was represented by an associate attorney of the firm. The associate cautioned the intern not to discuss any aspect of the deposition with anyone. The intern discussed his own personal observations of the client's demeanor and his own conclusions about the client's truthfulness with his roommate, which did not result in any harm to the client. Of the following, which would likely provide the associate with the best defense to a disciplinary action based on the intern's actions? (A) The intern only discussed his own personal observations and conclusions with his roommate. (B) The associate cautioned the intern not to discuss any aspect of the deposition with anyone. (C) The intern was not a licensed attorney. (D) The client did not suffer harm as a consequence of the intern's conversation with his roommate.

(B) The associate cautioned the intern not to discuss any aspect of the deposition with anyone.

An attorney decided to accept a case although a verdict in favor of his client would cause his own property to decrease substantially in value. The attorney explained the situation to the client, and the client consented in writing to the representation. After the court ruled against the attorney, the client filed a complaint with the disciplinary board alleging that the attorney should not have accepted the case. By what standard should the attorney's action be judged to determine whether he violated the conflict-of-interest rules? (A) The attorney must have honestly believed that he could provide competent and diligent representation to the client. (B) The attorney must have reasonably believed that he could provide competent and diligent representation to the client. (C) The client must have believed that the attorney could provide competent and diligent representation to him. (D) The attorney must have provided competent and diligent representation to the client.

(B) The attorney must have reasonably believed that he could provide competent and diligent representation to the client.

An attorney is a senior partner at a law firm in which there are 50 lawyers. The firm pays each of its lawyers a fixed annual salary. In addition, at year's end, each lawyer receives a bonus from the profits of the firm in the proportion that the annual salary of each bears to the total of the fixed annual salaries of all lawyers. The attorney plans to introduce a new management plan under which the firm's non-lawyer office administrator would have general charge of all business matters but would not participate in any decisions involving legal judgment. The administrator would be paid a fixed annual salary and would be included as a participant in the firm's bonus plan on the same basis as the lawyers in the firm. This would usually yield a bonus of approximately one-fourth to one-third of the administrator's total annual compensation. The amount paid to the administrator will not exceed the compensation commonly paid to law office administrators within the local legal community. Is it proper for the attorney to institute such a plan? (A) Yes, because the amount paid to the administrator does not exceed the compensation commonly paid to law office administrators within the local legal community. (B) Yes, because an employee of the firm may be compensated based on the profits of the firm. (C) No, because the administrator's bonus is computed on the same basis as those of the lawyers in the firm. (D) No, because the administrator's compensation is derived from the legal fees of the firm's lawyers

(B) Yes, because an employee of the firm may be compensated based on the profits of the firm.

An attorney accepted a libel case, though he had no experience in that type of action and had little knowledge related to the issues involved. He informed his client of his inexperience but promised to work with a fellow competent attorney to handle the claim effectively. He received the client's written consent acknowledging this fact and allowing the attorney to proceed with the representation. The attorney then called his friend, a fellow attorney who had graduated at the top of her law school class but who likewise had no libel experience or knowledge herself, for advice on how to proceed. The friend provided good advice on general litigation techniques, and the attorney heeded this advice but took no other action. Would the attorney's representation of the client subject him to discipline? (A) Yes, because he lacked the knowledge or experience to successfully represent the client. (B) Yes, because he lacked the knowledge or experience to competently represent the client. (C) No, because he consulted his friend on the matter. (D) No, because the client consented in writing to the representation.

(B) Yes, because he lacked the knowledge or experience to competently represent the client.

An attorney litigated a non-jury case before a judge. After losing the case, the attorney filed an appeal arguing that the judge misapplied the law. After also losing the appeal, the attorney, attending a continuing legal education class, stood up and made a statement to everyone present that the judge, identifying her by name, "is crazy. She has some sort of mental disorder. She is not fit to sit on the bench." Is the attorney subject to discipline for this statement? (A) Yes, because it was a statement affecting an individual's professional reputation that reflected a reckless disregard for the truth. (B) Yes, because it reflected a reckless disregard for the truth about the qualifications or integrity of a judge. (C) No, because the attorney was among fellow attorneys rather than the general population or the media. (D) No, because his statement was based on the judge's misapplication of the law.

(B) Yes, because it reflected a reckless disregard for the truth about the qualifications or integrity of a judge.

An attorney represented ten plaintiffs in a case against a railroad in which the plaintiffs were injured when a train derailed. The railroad offered the attorney a $500,000 lump sum settlement for the ten plaintiffs. The attorney allocated the $500,000 among the ten plaintiffs with the amount paid each plaintiff dependent on the nature and extent of that plaintiff's injuries. The attorney reasonably believed the division was fair to each plaintiff. The railroad would not settle any of the claims unless all were settled. The attorney told each plaintiff the total amount the railroad was prepared to pay, the amount that the individual would receive, and the basis on which that amount was calculated. The attorney did not tell any plaintiff the amount to be received by any other plaintiff. The attorney believed that if she revealed to each plaintiff the amount of each individual settlement, it might jeopardize the settlement. Each of the plaintiffs agreed to his or her settlement amount and was satisfied with that amount. Is the attorney subject to discipline for entering into this settlement? (A) Yes, because the attorney was aiding the lawyer for the railroad in making a lump sum settlement. (B) Yes, because no individual plaintiff knew the amount to be received by any other plaintiff. (C) No, because disclosing all settlements to each plaintiff might have jeopardized the entire settlement. (D) No, because the attorney reasonably believed that the division was fair and each plaintiff agreed to his or her settlement and was satisfied with the amount.

(B) Yes, because no individual plaintiff knew the amount to be received by any other plaintiff.

An attorney represents ten plaintiffs who were injured when a train operated by a railroad was derailed. The railroad has offered the attorney a $500,000 lump-sum settlement for the ten plaintiffs. The attorney has determined a division of the $500,000 among the ten plaintiffs with the amount paid each plaintiff dependent on the nature and extent of that person's injuries. The attorney believes the division is fair to each plaintiff. The railroad will not settle any of the claims unless all are settled. The attorney has told each plaintiff the total amount the railroad is prepared to pay, the amount that the individual will receive, and the basis on which that amount was calculated. The attorney has not told any plaintiff the amount to be received by any other plaintiff. The attorney believes that if he reveals to each plaintiff the amount of each settlement, there is danger that some plaintiffs will think that they are not getting enough in relation to the amounts others will receive and the entire settlement will be upset. Each of the plaintiffs has agreed to his or her settlement. Is the attorney subject to discipline if he effects such a settlement? (A) Yes, because the attorney is aiding the lawyer for the railroad in making a lump-sum settlement. (B) Yes, because no individual plaintiff knows the amount to be received by any other plaintiff. (C) No, if to disclose all settlements to each plaintiff might jeopardize the entire settlement. (D) No, if the amount received by each plaintiff is fair and each plaintiff is satisfied.

(B) Yes, because no individual plaintiff knows the amount to be received by any other plaintiff.

An attorney was retained by a passenger on a bus who had been injured in a collision between the bus and a truck. The passenger paid the attorney a retainer of $1,000 and agreed further that the attorney should have a fee of 25% of any recovery before filing suit, 30% of any recovery after suit was filed but before judgment, and 35% of any recovery after trial and judgment. The attorney promptly called the lawyer for the bus company and told him she was representing the passenger and would like to talk about a settlement. The attorney made an appointment to talk to the lawyer for the bus company but did not keep the appointment. The attorney continued to put off talking to the lawyer for the bus company. Meanwhile, the passenger became concerned because she had heard nothing from the attorney. The passenger called the attorney's office but was told she was not in and would not call back. The passenger was told not to worry because the attorney would look after his interests. After ten months had passed, the passenger went to a different attorney for advice. The different attorney advised the passenger that the statute of limitations would run in one week and, with the passenger's consent, immediately filed suit for him. The first attorney, upon the passenger's demand, refunded the $1,000 the passenger had paid. Is the first attorney subject to discipline? (A) Yes, unless her time was completely occupied with work for other clients. (B) Yes, because she neglected the representation of the passenger. (C) No, because the passenger's suit was filed before the statute of limitations ran. (D) No, because she returned the $1,000 retainer to the passenger.

(B) Yes, because she neglected the representation of the passenger.

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? (A) Yes, because the client and not the attorney suggested this arrangement. (B) 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. (C) No, because the attorney should not limit the scope of the representation based on the client's ability to pay. (D) No, because the scope of the representation may not be limited in a criminal case.

(B) 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 practices law in the same community as a lawyer who is running for election as a state judge. The attorney has frequently observed the judicial candidate's courtroom demeanor in litigated cases. Based on those experiences, the attorney believes that the judicial candidate does not have a proper judicial temperament. A local news reporter asked the attorney how he would rate the candidate, and the attorney responded in good faith that he believed the candidate was unsuited for the bench and lacked the proper judicial temperament for a judge. A local newspaper with a wide circulation quoted the attorney's remarks. Were the attorney's remarks proper? (A) Yes, because the attorney was not seeking judicial office. (B) Yes, because the attorney believed the candidate was unsuited for the bench. (C) No, because the remarks serve to bring the judiciary into disrepute. (D) No, because a lawyer should not publicly comment on candidates for judicial office.

(B) Yes, because the attorney believed the candidate was unsuited for the bench.

A client approached an attorney to represent her in a products liability case because the attorney claimed to be a specialist in products liability actions. He told the client that the National Council on Products Liability had certified him as a specialist in products liability resolution, even though he had lost half of the 100 products liability actions he had taken. The client consented to representation in writing after this discussion. The attorney lost the case on a technicality that would have been known to any specialist in products liability, though a general practice attorney would not have recognized the issue. The entire case was lost based on this error. After demonstrating that she suffered damages, would the client be likely to recover in a civil liability action against the attorney? (A) Yes, because the attorney lost her case. (B) Yes, because the attorney deviated from the applicable standard of care for products liability attorneys. (C) No, because the attorney did not deviate from the applicable standard of care of a general attorney. (D) No, because the client consented to the representation in writing after full disclosure.

(B) Yes, because the attorney deviated from the applicable standard of care for products liability attorneys.

An attorney was engaged to create a trust for a client. The attorney, working to acquire an LL.M. in taxation, had taken several advanced tax law classes. The attorney did not advertise her advanced knowledge of the tax law because she had not been certified as a tax specialist by a state-approved or ABA-accredited organization, and the client was not aware that the attorney had any training in tax law. The trust created by the attorney ran afoul of tax provisions that a lawyer with her special knowledge of the tax law should have been able to avoid. As a consequence, the settlor incurred a tax liability that he otherwise would not have incurred. May the attorney be subject to civil liability to the settlor? (A)Yes, because the attorney could not disclaim her possession of specialized knowledge of the tax law. (B) Yes, because the attorney failed to exercise the special skill in tax law that she possessed. (C) No, because the client was not aware and therefore did not rely on the attorney's special tax training. (D) No, because the attorney did not hold herself out as a tax specialist.

(B) Yes, because the attorney failed to exercise the special skill in tax law that she possessed.

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 ensue if the warning was not heeded. The jury found in favor of the manufacturer. Is the attorney subject to discipline? (A) Yes, because the attorney called the wife as a witness and she gave perjured testimony. (B) Yes, because the attorney failed to take reasonable remedial action after he realized that the wife had given perjured testimony. (C) No, because the jury apparently disbelieved the wife's testimony. (D) No, because the attorney did not rely on the wife's testimony once he discovered the perjury.

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

An attorney in his capacity as part-time assistant county attorney represented the county in a criminal non-support proceeding against a husband. This proceeding concluded with an order directing the husband to pay or be jailed. The husband refused to pay. The attorney, pursuant to applicable rules, is permitted to maintain a private law practice. The wife has discovered some assets of the husband. The attorney now has accepted employment from the wife to maintain a civil action against the husband to recover out of those assets arrearages due to the wife under the wife's support decree. The attorney did not obtain consent from the county attorney or from the husband to represent the wife in the civil action. Is the attorney subject to discipline for accepting employment in the wife's civil action against the husband? (A) Yes, because the attorney did not obtain the husband's consent to the representation. (B) Yes, because the attorney had personal and substantial responsibility in the first proceeding. (C) No, because the attorney's responsibility in his public employment has terminated. (D) No, because the attorney is representing the wife's interests in both the criminal and the civil proceedings.

(B) Yes, because the attorney had personal and substantial responsibility in the first proceeding.

An attorney was employed as a lawyer by the state Environmental Control Commission (ECC) for ten years. During the last two years of her employment, the attorney spent most of her time in the preparation, trial, and appeal of a case involving the discharge by a corporation of industrial effluent into a river in the state. The judgment in the case, which is now final, contained a finding of a continuing and knowing discharge of a dangerous substance into a major stream by the corporation and assessed a penalty of $25,000. The governing statute also provides for private actions for damages by persons injured by the discharge of the effluent. The attorney recently left the employment of ECC and went into private practice. Three landowners have brought private damage actions against the corporation. They claim their truck farms were contaminated because they irrigated them with water that contained effluent from dangerous chemicals discharged by the corporation. The corporation has asked the attorney to represent it in defense of the three pending actions. Is the attorney subject to discipline if she represents the corporation in these actions? (A) Yes, unless the judgment in the prior case is determinative of the corporation's liability. (B) Yes, because the attorney had substantial responsibility in the matter while employed by ECC. (C) No, because the attorney has acquired special competence in the matter. (D) No, if all information acquired by the attorney while representing ECC is now a matter of public record.

(B) Yes, because the attorney had substantial responsibility in the matter while employed by ECC.

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 for 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? (A) 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. (B) Yes, because the attorney has not concluded the representation of the plaintiff. (C) No, because the defamation lawsuit is a civil and not a criminal matter. (D) No, because the attorney recommended that the plaintiff first seek independent advice before entering into the arrangement.

(B) Yes, because the attorney has not concluded the representation of the plaintiff.

An attorney is a well-known, highly-skilled litigator. The attorney's practice is in an area of law in which the trial proceedings are heard by the court without a jury. In an interview with a prospective client, the attorney said, "I make certain that I give the campaign committee of every candidate for elective judicial office more money than any other lawyer gives, whether it's $500 or $5,000. Judges know who helps them get elected." The prospective client did not retain the attorney. Is the attorney subject to discipline? (A) Yes, if the attorney's contributions are made without consideration of candidates' merits. (B) Yes, because the attorney implied that she receives favored treatment from judges. (C) No, if the attorney's statements were true. (D) No, because the prospective client did not retain the attorney.

(B) Yes, because the attorney implied that she receives favored treatment from judges.

An attorney was approached by a husband and a wife who had decided to dissolve their marriage. They had no children and had worked out a tentative mutual property settlement. They did not want to retain separate lawyers because they hoped to save money and believed that working with one attorney was more likely to result in a reasonably amicable dissolution. Before coming to the attorney, they had drafted and each had signed a written agreement not to run up the costs and increase the adversarial nature of the dissolution by retaining separate lawyers. The attorney believed that he was able to provide competent and diligent representation to both the husband and the wife. The attorney consulted with both independently concerning the implications of the common representation, including the advantages and risks involved and the effect on their respective attorney-client privileges. The attorney reduced the disclosures to writing in the form of a written retainer agreement and gave them each several days to consult independent legal counsel if they so desired. The husband and the wife each chose not to consult independent counsel. After six months of reasonably amicable negotiations, the wife announced that she had changed her mind about the representation and had decided to retain her own lawyer. However, after the husband and the attorney insisted that she was obligated to adhere to her prior written agreement, she reluctantly agreed to abide by it. The attorney was then able to draft a property settlement agreement satisfactory to both parties. Is the attorney subject to discipline for his conduct in the representation? (A) Yes, because the attorney should not have undertaken to represent both the husband and the wife in the first place. (B) Yes, because the attorney insisted that the wife not hire another lawyer. (C) No, because both the husband and the wife initially consented to all aspects of the representation. (D) No, because the husband and the wife independently made the agreement that neither would retain separate counsel.

(B) Yes, because the attorney insisted that the wife not hire another lawyer.

An attorney is a member of the bar and a salaried employee of a bank's trust department. As part of his duties, he prepares a monthly newsletter concerning wills, trusts, estates, and taxes that the bank sends to all of its customers. The newsletter contains a recommendation to the customer to review his or her will in light of the information contained and, if the customer has any questions, to bring the will to the bank, where the attorney will review the customer's will and answer the customer's legal questions. The bank provides the attorney's services to its customers for no charge. Is the attorney subject to discipline for the foregoing? (A) Yes, because by sending out the newsletter the attorney is giving legal advice to persons who are not his clients. (B) Yes, because the attorney is assisting the bank in the unauthorized practice of law. (C) No, because no charge is made for the attorney's advice. (D) No, because the attorney is a member of the bar.

(B) Yes, because the attorney is assisting the bank in the unauthorized practice of law.

An attorney is representing a defendant on a charge of armed robbery. The defendant claims that the prosecution witness is mistaken in her identification. The defendant has produced a witness who will testify that the defendant was in another city 500 miles away when the robbery occurred. The attorney knows that the witness is lying, but the defendant insists that the witness be called on the defendant's behalf. Is the attorney subject to discipline if she calls the witness? (A) Yes, unless, before calling the witness, the attorney informs the court of her belief. (B) Yes, because the attorney knows the witness will be testifying falsely. (C) No, unless the attorney relies on the alibi defense in her argument before the jury. (D) No, because the defendant has insisted that the witness be called on the defendant's behalf.

(B) Yes, because the attorney knows the witness will be testifying falsely.

An attorney represented a landlord in a variety of matters over several years. An elderly widow living on public assistance filed suit against the landlord alleging that the landlord withheld without justification the security deposit on a rental unit that she vacated three years ago. She brought the action for herself, without counsel, in small claims court. The attorney investigated the claim and learned that it was legally barred by the applicable statute of limitations, although the plaintiff's underlying claim was meritorious. The attorney told the landlord of the legal defense, but emphasized that the plaintiff's claim was just and that, in all fairness, the security deposit should be returned to her. The attorney told the landlord: "I strongly recommend that you pay the plaintiff the full amount with interest. It is against your long-term business interests to be known in the community as a landlord who routinely withholds security deposits even though the tenant leaves the apartment in good condition. Paying the claim now will prevent future headaches for you." Was the attorney's conduct proper? (A) Yes, if the landlord did not object to the attorney's advice and paid the plaintiff's claim. (B) Yes, because the attorney may refer to both legal and non-legal considerations in advising a client. (C) No, unless the attorney's engagement letter informed the landlord that his advice on the matter would include both legal and non-legal considerations. (D) No, because in advising the landlord to pay the full claim, the attorney failed to represent zealously the landlord's legal interests.

(B) Yes, because the attorney may refer to both legal and non-legal considerations in advising a client.

An attorney represented a client in negotiating a large real estate transaction. The buyer, who purchased the real estate from the client, has filed suit against both the client and the attorney, alleging fraud and violation of the state's unfair trade practices statute. The attorney had advised the client by letter against making the statements relied on by the buyer as the basis for the buyer's claim. The attorney and the client are each represented by separate counsel. In responding to a deposition under subpoena, the attorney wishes to reveal, to the extent the attorney reasonably believes necessary to defend herself, confidential information imparted to the attorney by the client that will be favorable to the attorney but damaging to the client. Is it proper for the attorney to reveal such information? (A) Yes, unless the client objects to the disclosure. (B) Yes, because the attorney may reveal such information to defend herself against a civil claim. (C) No, unless criminal charges have also been brought against the attorney. (D) No, because the disclosure will be detrimental to the client.

(B) Yes, because the attorney may reveal such information to defend herself against a civil claim.

Leaving an airport, an attorney who primarily practices criminal law shared a cab with a medical doctor. The cab was involved in a collision, and the doctor was seriously injured while the attorney was only shaken up. The attorney accompanied the doctor to the hospital in the ambulance. The doctor believed that she was dying and asked the attorney to prepare a simple will for her. The attorney told the doctor, "I have never prepared a will, but hope that I can remember the basics from law school." The attorney then complied with the doctor's request. The doctor signed the will, and the two paramedics in the ambulance signed as witnesses. Was it proper for the attorney to prepare the will? (A) Yes, unless the attorney omitted some required formality that rendered the will invalid. (B) Yes, because the attorney provided legal services that were reasonably necessary under the circumstances. (C) No, unless the doctor waived the attorney's malpractice liability. (D) No, because the attorney did not have the skill required for the representation.

(B) Yes, because the attorney provided legal services that were reasonably necessary under the circumstances.

A client telephoned an attorney who had previously represented him. The client described a problem on which he needed advice and made an appointment for the following week to discuss the matter with the attorney. Prior to the appointment, the attorney performed five hours of preliminary research on the client's problem. At the end of the appointment the client agreed that the attorney should pursue the matter and agreed to a fee of $100 per hour. The client then gave the attorney a check for $5,000 to cover the five hours already worked and as an advance on additional fees and expenses. The attorney gave the check to the office bookkeeper with directions to deposit the check into the client trust account and immediately transfer $3,000 to the general office account to cover the five hours of research already conducted plus the 25 additional hours she would spend on the matter the following week. At that time, the attorney reasonably believed that she would spend 25 additional hours on the case. The bookkeeper followed these directions. The next week, the attorney worked diligently on the matter for 23 hours. Reasonably believing that no significant work remained to be done on the matter, the attorney directed the bookkeeper to transfer $200 from the general office account to the client trust account. The attorney then called the client and made an appointment to discuss the status of the matter. Is the attorney subject to discipline? (A) Yes, because the attorney accepted legal fees in advance of performing the work. (B) Yes, because the attorney transferred funds for unearned fees to the general office account. (C) No, because the attorney transferred the $200 owed to the client from the general office account to the client trust account. (D) No, because the attorney reasonably believed that she would spend 25 additional hours on the case

(B) Yes, because the attorney transferred funds for unearned fees to the general office account.

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 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 filed an appeal 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. The attorney refused, because she was confident that there was no reversible error in the trial and that the appeal was without merit. 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, because the attorney's percentage under the fee contract increased after appeal. (B) Yes, because the client directed the attorney to accept the settlement offer. (C) No, because the decision whether to settle or defend an appeal is a tactical matter for the attorney to determine. (D) No, because evaluation of the merits of an appeal requires the exercise of independent professional judgment.

(B) Yes, because the client directed the attorney to accept the settlement offer.

An attorney has been representing a client in a matter in litigation. During protracted pre-trial proceedings, the client complained bitterly about the time and expense involved and insisted that the attorney take steps to terminate the pre-trial proceedings. The attorney believes that to do so would jeopardize the client's interests and has so informed the client. The attorney believes that the case cannot be adequately prepared for trial without further pre-trial proceedings that will require an additional six months' delay and involve further expense. The client insists that the attorney forego any further pre-trial proceedings and set the case for trial at the earliest available date. There are several other competent lawyers who are willing to undertake the representation. Is it proper for the attorney to ask leave of the court to withdraw? (A) Yes, because a lawyer may discontinue representation in a civil case at any time before trial. (B) Yes, because the client's conduct makes it unreasonably difficult for the attorney to represent the client effectively and competently. (C) No, because the attorney must follow the client's instructions. (D) No, unless the client consents to the attorney's withdrawal.

(B) Yes, because the client's conduct makes it unreasonably difficult for the attorney to represent the client effectively and competently.

A recently graduated attorney began a plaintiffs' 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 particular legal and factual circumstances. The attorney's only experience at the time the commercial was filmed was in moot court. As a result of airing the commercial, the attorney received several significant cases. Is the attorney subject to discipline? (A) Yes, because the commercial created an unjustified expectation about the results that could be achieved in court. (B) Yes, because the commercial implied that the attorney had successfully argued a case to a jury. (C) No, because commercial speech is protected under the First Amendment. (D) No, because the commercial contained an express disclaimer about the results a client could expect.

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

An attorney has been retained to defend an adult charged with a sex offense involving a minor. The attorney believes that, in order to win the case, she must keep parents of minor children off the jury. The attorney instructed her investigator as follows: "Visit the neighborhood of those prospective jurors on the panel with minor children. Ask the neighbors if they know of any kind of unusual sex activity of the prospective juror or any member of the family. This talk will get back to the prospective jurors, and they will think of excuses not to serve. But don't under any circumstances talk directly with any prospective juror or member of the family." Is the attorney subject to discipline for so instructing her investigator? (A) Yes, unless the prospective jurors investigated are, in fact, selected to serve on the jury in the case. (B) Yes, because the investigation is intended to harass prospective jurors and members of their families. (C) No, if the matters inquired into might be relevant to a prospective juror's qualifications to serve in the case. (D) No, because no prospective juror was directly contacted.

(B) Yes, because the investigation is intended to harass prospective jurors and members of their families.

A woman applied for a fellowship after completing her graduate degree. The woman asked a state trial court judge to provide a letter of recommendation for her application. In the judge's letter, which was written on his official judicial letterhead, the judge explained that he, as the woman's godfather, had known her for her entire life. He went on to describe her work ethic and explained that she had shown a strong commitment to the issues supported by the fellowship for years. Were the judge's actions in writing the letter of recommendation proper? (A) No, because a judge may not provide a letter of recommendation on official letterhead. (B) No, because a judge may serve as a reference only for former employees. (C) Yes, because a judge may use official letterhead for a personal reference letter. (D)Yes, because there are no restrictions on the use of official letterhead for reference letters.

(C) Yes, because a judge may use official letterhead for a personal reference letter.

A judge, prior to her recent appointment to the federal court, had been an outspoken and effective opponent of the racial segregation policies of a foreign country's government. As part of its worldwide tour, the foreign government's national soccer team scheduled a soccer match with a team in this country. Several civil rights groups have applied to the judge for an order enjoining the playing of the proposed match. The matter is now pending. Only legal issues are presented. The judge, after painstaking consideration, has privately concluded that she cannot decide the legal questions without bias against the representatives of the foreign government. However, no one has made a motion to disqualify the judge. Must the judge recuse herself in the pending matter? (A) Yes, unless the judge believes she has greater expertise than other judges on the court in legal issues involving racial segregation. (B) Yes, because the judge believes that she cannot be impartial. (C) No, because the only issues presented for decision are legal questions. (D) No, because none of the interested parties has moved to disqualify the judge.

(B) Yes, because the judge believes that she cannot be impartial.

A judge in a state criminal trial court wishes to serve as guardian of her father, who has been declared incompetent. Accepting the responsibilities of the position would not interfere with the performance of the judge's official duties. Although the position in all likelihood would not involve contested litigation, it would be necessary for the judge to prepare and sign various pleadings, motions, and other papers and to appear in civil court on her father's behalf. Would it be proper for the judge to undertake this guardianship? (A) Yes, unless the judge receives compensation for her services as guardian. (B) Yes, because the position involves a close family member and will not interfere with the judge's performance of her judicial duties. (C) No, because the position will require the judge to appear in court. (D) No, because the position will require the judge to prepare and sign pleadings, motions, and other papers.

(B) Yes, because the position involves a close family member and will not interfere with the judge's performance of her judicial duties.

A prosecutor was assigned to try a criminal case against a defendant, who was charged with robbery of a convenience store. The defendant denied any involvement, contending he was home watching television with his mother on the night in question. At the trial, a customer at the convenience store testified that he had identified the defendant in a police lineup and provided other testimony connecting the defendant to the crime. In addition, the prosecutor entered into evidence a poor-quality videotape of the robbery as recorded by the store surveillance camera. The jury convicted the defendant of the crime charged. Unknown to the defendant's court-appointed lawyer, the customer had first identified another person in the police lineup and selected the defendant only after encouragement by the detective. The prosecutor was aware of these facts but did not notify the defendant's counsel, who made no pre-trial discovery request to obtain this information. Is the prosecutor subject to discipline? (A) Yes, unless the jury could make its own identification of the defendant from the videotape. (B) Yes, because this information tended to negate the defendant's guilt. (C) No, because the defendant's counsel made no pre-trial discovery request to obtain this information. (D) No, unless it is likely that the jury would have acquitted the defendant had it known that the customer first identified someone else.

(B) Yes, because this information tended to negate the defendant's guilt.

An attorney was retained by a client to represent the client in defense of an action brought against the client by the plaintiff. In order to obtain ample time for settlement negotiations, the attorney immediately requested and obtained from opposing counsel a stipulation extending the client's time to answer the complaint until ten days after receipt of written demand from the opposing counsel. Four months later, no settlement had been reached, and on May 1, the opposing counsel wrote the attorney demanding that an answer be filed within ten days. When no answer was filed by May 15, the opposing counsel had a default judgment entered in favor of the plaintiff. The attorney was away on a two-month vacation when the opposing counsel's letter was received in her office. When the attorney returned on June 15, she promptly moved to have the default set aside, and her motion was granted. Is the attorney subject to discipline? (A) Yes, unless she makes restitution to the client for any loss sustained by the client. (B) Yes, if she did not make provision for the handling of her pending cases while she was away. (C) No, because the default judgment was set aside. (D) No, unless she knew that the opposing counsel had demanded that an answer be filed within ten days.

(B) Yes, if she did not make provision for the handling of her pending cases while she was away.

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 non-lawyer administrative assistant. The administrative assistant is paid a regular monthly salary and a year-end bonus of 1% of the law firm's net income from fees. Organizationally, the administrative assistant reports to the managing partner of the law firm. The partner deals with all issues related to the law firm's supervision of the practice of law. Is it proper for the partner to participate in the law firm's use of the administrative assistant's services in this fashion? (A) Yes, unless the administrative assistant has access to client files. (B) Yes, if the administrative assistant does not control the professional judgment of the lawyers in the firm. (C) No, because the law firm is sharing legal fees with a non-lawyer. (D) No, because the law firm is assisting a non-lawyer in the unauthorized practice of law.

(B) Yes, if the administrative assistant does not control the professional judgment of the lawyers in the firm.

A state does not require lawyers to participate in continuing legal education courses. Three lawyers, recently admitted to practice, formed a law partnership in that state. As they considered what expenses the partnership would pay on behalf of each lawyer, a majority decided that the firm would not pay for continuing legal education courses since they were not required by their state. One of the lawyers, who wanted reimbursement for continuing legal education courses, angrily said, "Fine. I won't attend any continuing legal education courses." Is it proper for the lawyer to refuse to attend any continuing legal education courses? (A) Yes, unless the state offers free continuing legal education courses. (B) Yes, if the lawyer independently undertakes continuing study and education in the law. (C) No, because the lawyer cannot maintain competence without attending continuing legal education courses. (D) No, unless the lawyer obtains malpractice insurance.

(B) Yes, if the lawyer independently undertakes continuing study and education in the law.

An attorney regularly represented oil companies that supported drilling in the state in which he lived and worked. The attorney diligently represented his clients and did not let his personal beliefs interfere with his ability to represent them, even though he was morally opposed to drilling. He also belonged to a nonprofit legal services agency organized to represent the residents of cities and towns affected by hazardous environmental agents in any legal action based on the effects of those agents. The group also raised community awareness on the dangers of drilling on various segments of the community, including children. The attorney attended all of the group's meetings and events but abstained from voting on all matters related to the organization's mission and objectives. Is the attorney subject to discipline for his involvement with the agency? (A) No, because he did not serve as a director or an officer of the agency. (B)No, because he did not knowingly participate in decisions incompatible with his obligation to his clients or the agency's clients. (C) Yes, because the agency's efforts might have an adverse effect on the attorney's clients. (D)Yes, because the attorney knowingly participated in an agency whose efforts might have an adverse effect on the attorney's clients.

(B)No, because he did not knowingly participate in decisions incompatible with his obligation to his clients or the agency's clients.

An attorney and a prospective client met to discuss whether the attorney would represent the client in a contractual dispute. During the conversation, the potential plaintiff spoke to the attorney about her litigation objectives and how much she would be able to pay the attorney. As they were wrapping up the meeting, the client noticed a picture of the attorney's teenaged son on the wall. The client confided in the attorney that she had a son the same age, but she had given him up for adoption because she was an unwed teenager when he was born. She told the attorney that no one except her family knew about the adoption, and she asked the attorney to keep it confidential. Is the information about the client's pregnancy protected by the attorney-client privilege? (A) No, because the woman had not retained the attorney when the conversation took place. (B)No, because the communication was not relayed for legal advice. (C) Yes, because the woman had a reasonable expectation that she had established an attorney-client relationship with the attorney. (D) Yes, because the woman had a reasonable expectation that she had established an attorney-client relationship with the attorney, and she stated that the communication was confidential.

(B)No, because the communication was not relayed for legal advice.

After a high-profile defendant was acquitted of murder, the prosecutor met with the media on the courthouse steps. When asked whether he was satisfied with the verdict, the prosecutor responded: "No; he got away with murder." Is the attorney subject to discipline with regard to addressing the media? (A) No, because he was responding to a media inquiry. (B)No, because the trial was over at the time of the statement. (C)Yes, because the prosecutor made an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication. (D) Yes, because the prosecutor made an extrajudicial statement about the guilt or innocence of the defendant.

(B)No, because the trial was over at the time of the statement.

(AA sole practitioner who specialized in family law shared office space with a sole practitioner who specialized in criminal law. Since they frequently referred matters to one another, they decided to formalize this arrangement by entering into a reciprocal referral agreement under which they each agreed to refer matters that fit within their respective specialties to each other. They agreed that the arrangement would remain in effect for one year, at which point they would review it. The agreement did not prohibit either attorney from referring cases to other attorneys, and neither hesitated to recommend a different attorney whom they believed would better handle a particular case. When making referrals to each other, neither attorney informed clients of their agreement. Were the attorneys' actions regarding the referral agreement proper? (A) No, because reciprocal referral agreements are prohibited by the Model Rules of Professional Conduct. (B)No, because they did not inform clients of the arrangement. (C) Yes, because the arrangement was not exclusive. (D) Yes, because the arrangement did not provide for either attorney to be paid for referring clients.

(B)No, because they did not inform clients of the arrangement.

An attorney, who was recently admitted to the bar, has been appointed by the court as counsel for an indigent defendant charged with a felony. After consulting with the defendant and attempting for two days to prepare the case for trial, the attorney became convinced that he lacked the knowledge and experience to represent the defendant effectively. Which of the following would NOT be proper for the attorney? (A) Request permission of the court to withdraw from representing the defendant because the attorney knows that he is not competent to handle the case. (B) Request the court to appoint experienced co-counsel and grant a continuance to enable co-counsel to prepare the case. (C) Explain the circumstances to the defendant and, if the defendant consents, proceed to represent him alone to the best of his ability. (D) None of the above would be proper.

(C) Explain the circumstances to the defendant and, if the defendant consents, proceed to represent him alone to the best of his ability.

An attorney was employed by an insurance company as a lawyer solely to handle fire insurance claims. While so employed, she investigated a fire loss claim of a claimant against the insurance company. The attorney is now in private practice. The claim has not been settled and the claimant consults the attorney and asks the attorney either to represent him or refer him to another lawyer for suit on the claim. Which of the following would be proper for the attorney to do? (A) Represent the claimant. (B) Refer the claimant to an associate in her law firm, provided the attorney does not share in any fee. (C) Give the claimant a list of lawyers who the attorney knows are competent and specialize in such claims. (D) None of the above is proper.

(C) Give the claimant a list of lawyers who the attorney knows are competent and specialize in such claims.

A new client has asked his attorney to write a letter recommending his nephew for admission to the bar. The client has told his attorney that he has no direct contact with his nephew, but that his sister (the nephew's mother) has assured him that the nephew is industrious and honest. Which of the following would be proper for the attorney? (A) Write the letter on the basis of the client's assurance. (B) Write the letter on the basis of the client's assurance if the attorney has no unfavorable information about the nephew. (C) Make an independent investigation and write the letter only if the attorney is thereafter satisfied that the nephew is qualified. (D) All of the above would be proper

(C) Make an independent investigation and write the letter only if the attorney is thereafter satisfied that the nephew is qualified.

Attorney Alpha is recognized as an expert in securities regulation law. A corporation retained Alpha's law firm to qualify the corporation's stock for public sale. After accepting the matter, Alpha decided that he preferred to spend his time on cases with larger fee potential, so he assigned responsibility for the corporation matter to Attorney Beta, an associate in Alpha's office who had recently been admitted to the bar. Beta protested to Alpha that he, Beta, knew nothing about securities regulation law and that he had too little time to prepare himself to handle the corporation's matter competently without substantial help from Alpha. Alpha responded, "I don't have time to help you. Everyone has to start somewhere." Alpha directed Beta to proceed. Was Alpha's conduct proper in this matter? (A) Yes, because as a member of the bar, Beta is licensed to handle any legal matter. (B) Yes, because Alpha may withdraw from a case if work on it would cause him unreasonable financial hardship. (C) No, because Alpha knew Beta was not competent to handle the matter, and Alpha failed to provide supervision adequate to protect the client's interests. (D) No, because the corporation had not given Alpha permission to assign Beta to work on the matter.

(C) No, because Alpha knew Beta was not competent to handle the matter, and Alpha failed to provide supervision adequate to protect the client's interests.

Attorney Alpha, a partner in the law firm of Alpha & Beta, was retained by the plaintiff in a personal injury action. The jury rendered a verdict in favor of the defendant, and Alpha filed an appeal on the plaintiff's behalf. Alpha reviewed the trial transcript and wrote the brief. The brief stated, "It is uncontroverted that the defendant failed to signal before turning left into the intersection." In fact, a witness called by the defendant testified that the defendant did signal before turning. Alpha was aware of this testimony, having read it while reviewing the trial transcript. Three days before the appeal was scheduled to be argued in the state's intermediate appellate court, Alpha suffered a heart attack. Attorney Beta, one of Alpha's partners, agreed to argue the appeal. Beta knew nothing about the case and had no opportunity to confer with Alpha. In preparing for the argument, Beta read Alpha's brief thoroughly and read as much of the trial transcript as was possible in the limited time available, but did not read the witness's testimony. In oral argument, Beta stated to the court, "Your honors, as stated in our brief, it is uncontroverted that the defendant failed to signal before turning left into the intersection." Beta assumed that Alpha's statement in the brief to that effect was correct. Is Beta subject to discipline for making this statement during oral argument? (A) Yes, because the statement was false. (B) Yes, because Beta did not know whether or not the statement was true. (C) No, because Beta did not know that the statement was false. (D) No, because all Beta did was truthfully recount the statement made by Alpha in the brief.

(C) No, because Beta did not know that the statement was false.

An attorney filed a personal injury suit on behalf of a plaintiff against a defendant. The defendant was personally served with process. The attorney knows that the defendant is insured by an insurance company and that a different attorney has been retained by the insurance company to represent the defendant. No responsive pleading has been filed on behalf of the defendant, and the time for filing expired over ten days ago. Is the plaintiff's attorney subject to discipline if he proceeds to have a default judgment entered? (A) Yes, because he knew that an attorney had been retained by the insurance company to represent the defendant. (B) Yes, because he failed to extend professional courtesy to another lawyer. (C) No, because he is properly representing his client's interests. (D) No, because any judgment will be satisfied by the insurance company.

(C) No, because he is properly representing his client's interests.

A home builder employed an attorney to draft a contract of sale for a house the builder had constructed. The builder sold the house to a buyer who assumed a personally significant debt in order to purchase the house. After the sale, a friend of the builder's told the attorney that the builder, in violation of the law, had built the house on a landfill. The attorney contacted the builder and urged the builder to discuss the matter with the buyer. Although the builder admitted to the criminal act, the builder refused. The lawyer took no further action. Subsequently, although the landfill did not represent a health threat, the buyer had to sell the house for less than half of what he had paid for it. Is the attorney subject to discipline for failing to reveal the builder's criminal action to the buyer? (A) Yes, because the client had used the attorney's services in furtherance of a crime. (B) Yes, because the crime resulted in substantial injury to the financial interests of the buyer. (C) No, because of the duty of confidentiality. (D) No, because, at the time that the attorney learned of the crime, it had already occurred

(C) No, because of the duty of confidentiality.

A company's president telephoned his city's best-known employment attorney and asked her 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, she immediately commenced the representation. A few days later, during a meeting with the president, the attorney first revealed the amount of her customary hourly fee and then explained that the company would also be responsible for reimbursing her expenses. The president responded that her fee was higher than he had expected but that he would be happy for the company to pay it, given her excellent work to date. Although the attorney intended to follow up with a confirming letter, she never did so. For several more months, she assisted the company in resolving its employment dispute. Afterward, she sent the company a bill accurately reflecting her hourly fee and expenses, which were reasonable. Is the attorney subject to discipline? (A) Yes, because she did not disclose the basis of her fee before commencing the representation. (B) Yes, because she did not confirm her fee agreement in writing. (C) No, because she disclosed the basis of her fee within a reasonable time after commencing the representation. (D) No, because she was not required to advise the client of her customary hourly fee, unless requested to do so.

(C) No, because she disclosed the basis of her fee within a reasonable time after commencing the representation.

In an attorney's closing statement to the court in a bench trial, the attorney said, "Your honor, I drive on the street in question every day and I know that a driver cannot see cars backing out of driveways as the one did in this case. I believe that my client was not negligent, and I ask you to so find." Was the attorney's closing argument proper? (A) Yes, if the attorney was speaking truthfully and not trying to deceive the court. (B) Yes, because the rules of evidence are very liberal when the trial is before a judge without a jury. (C) No, because the attorney asserted his personal knowledge of facts in issue. (D) No, if there is no other evidence in the record about the facts asserted by the attorney.

(C) No, because the attorney asserted his personal knowledge of facts in issue.

After both parties had completed the presentation of evidence and arguments, the judge took under advisement a case tried without a jury. The case involved a difficult fact issue of causation and a difficult issue of law. After the case was under advisement for several weeks, the plaintiff's attorney heard rumors that the judge was having difficulty determining the issue of factual causation and was uncertain about the applicable law. Immediately after hearing these rumors, the attorney telephoned the judge, told her of the rumors he had heard, and asked the judge if she would like to reopen the case for additional evidence and briefing from both parties. Thereafter the judge reopened the case for further testimony and requested supplementary briefs from both parties. Was it proper for the attorney to communicate with the judge? (A) Yes, because both parties were given full opportunity to present their views on the issues in the case. (B) Yes, because the attorney did not make any suggestion as to how the judge should decide the matter. (C) No, because the attorney communicated with the judge on a pending matter without advising opposing counsel. (D) No, because the attorney caused the judge to reopen a case that had been taken under advisement.

(C) No, because the attorney communicated with the judge on a pending matter without advising opposing counsel.

An attorney was at a party talking with his friend when the friend confessed that while serving as trustee of a now defunct charitable trust, she had embezzled funds from the trust. The attorney urged the friend, who was also a lawyer, to set matters straight, but otherwise took no action. The friend did not take any remedial action. Was the attorney's conduct proper? (A) Yes, because the friend was serving as a trustee rather than an attorney at the time that the friend embezzled the funds, so the friend's conduct did not constitute a violation of the Model Rules of Professional Conduct. (B)Yes, because the attorney did not learn of his friend's misconduct as a legal representative. (C) No, because the attorney failed to inform the appropriate authority that another lawyer had embezzled trust funds. (D) No, because the friend failed to take remedial action

(C) No, because the attorney failed to inform the appropriate authority that another lawyer had embezzled trust funds.

An attorney represented a husband and wife in the purchase of a business financed by contributions from their respective separate funds. The business was jointly operated by the husband and wife after acquisition. After several years, a dispute arose over the management of the business. The husband and wife sought the attorney's advice, and the matter was settled on the basis of an agreement drawn by the attorney and signed by the husband and wife. Later, the wife asked the attorney to represent her in litigation against the husband based on the claim that the husband was guilty of fraud and misrepresentation in the negotiations for the prior settlement agreement. Is it proper for the attorney to represent the wife in this matter? (A) Yes, if all information relevant to the litigation was received by the attorney in the presence of both the husband and wife. (B) Yes, if there is reason to believe the husband misled both wife and the attorney at the time of the prior agreement. (C) No, because the attorney had previously acted for both parties in reaching the agreement now in dispute. (D) No, unless the husband is now represented by independent counsel.

(C) No, because the attorney had previously acted for both parties in reaching the agreement now in dispute.

An attorney agreed to represent a client in a lawsuit. The attorney and the client executed the attorney's preprinted retainer form that provides, in part: "The client agrees to pay promptly the attorney's fee for services. In addition, the client and the attorney agree to release each other from any and all liability arising from the representation. The client agrees that the attorney need not return the client's file prior to receiving the client's executed release. Upon full payment, the attorney will return the file to the client." Although the attorney recommended that the client consult independent counsel before signing the retainer agreement, the client chose not to do so. The attorney reasonably believes that his fee is fair and that the quality of his work will be competent. Is the attorney's retainer agreement with the client proper? (A) Yes, because the attorney furnished consideration by agreeing to return the client's file. (B) Yes, because the attorney reasonably believes that his fee is fair and that the quality of his work will be competent. (C) No, because the attorney is attempting to limit his liability for malpractice. (D) No, because the attorney uses a pre-printed form for all retainers.

(C) No, because the attorney is attempting to limit his liability for malpractice.

An attorney is employed by a client who is a fugitive from justice under indictment for armed robbery. The attorney, after thorough legal research and investigation of the facts furnished by the client, reasonably believes the indictment is fatally defective and should be dismissed as a matter of law. The attorney advised the client of his opinion and urged the client to surrender. The client told the attorney that she would not surrender. The attorney informed the district attorney that he represented the client and that he had counseled her to surrender but that she refused to follow his advice. The attorney has not advised his client on how to avoid arrest and prosecution and does not know where she is hiding. Is the attorney subject to discipline if he continues to represent the client? (A) Yes, because the client is engaging in continuing illegal conduct. (B) Yes, because the client refused to accept the attorney's advice and surrender. (C) No, because the attorney is not counseling the client to avoid arrest and prosecution. (D) No, because the attorney reasonably believes the indictment is defective.

(C) No, because the attorney is not counseling the client to avoid arrest and prosecution.

A judge and an attorney were formerly law partners and during their partnership acquired several parcels of real property as co-tenants. After the judge was elected to the trial court in the county, she remained a co-tenant with the attorney, but left the management of the properties to the attorney. The judge's term of office will expire soon and she is opposed for re-election by two members of the bar. The attorney, who has not discussed the matter with the judge, intends to make a substantial contribution to her campaign for re-election. The judge is one of fifteen judges sitting as trial court judges in the county. Is the attorney subject to discipline if he contributes $10,000 to the judge's re-election campaign? (A) Yes, if the attorney frequently represents clients in cases tried in the trial court of the county. (B) Yes, because the judge and the attorney have not discussed the matter of a campaign contribution. (C) No, if the contribution is made to a campaign committee organized to support the judge's re-election. (D) No, because the attorney and the judge have a long-standing personal and business relationship.

(C) No, if the contribution is made to a campaign committee organized to support the judge's re-election.

A county law prohibits stores from selling alcoholic beverages before noon on Sundays. Failure to comply is a misdemeanor punishable by a fine of $150. An attorney was hired by a client who owns several liquor stores. The client asked the attorney whether any store owners had been prosecuted for violating the law and whether the fine could be imposed for every sale on a Sunday before noon or only for every Sunday on which alcohol was sold before noon. The client also asked what he could do to minimize the risk that he would be detected. The attorney accurately told the client that the fine could only be imposed for each Sunday on which he sold alcoholic beverages before noon, not for each transaction, and that no one had been prosecuted under the law as yet. She also told him that she thought it would be improper to advise him about how to avoid detection. The client thanked the attorney for the information and hung up. Several weeks later, the attorney learned that the client had begun to open his store for business on Sundays at 9 a.m. Is the attorney subject to discipline? (A) Yes, because the attorney reasonably should have known that the information she gave the client would encourage him to violate the law. (B) Yes, because the attorney did not discourage her client from breaking the law. (C) No, because the attorney merely gave the client her honest opinion about the consequences that were likely to result if he violated the law. (D) No, because the lawyer and the client could have discussed the best way to avoid detection under the criminal law.

(C) No, because the attorney merely gave the client her honest opinion about the consequences that were likely to result if he violated the law.

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? (A) Yes, because the owner knowingly agreed to continue the discussions without his own lawyer being present. (B) Yes, because the attorney did not present the owner with any documents to sign during the meeting (C) No, because the attorney negotiated with the owner after learning that the owner was represented by a lawyer in the matter. (D) No, because the attorney failed to ascertain whether the owner was represented by a lawyer before beginning the negotiation session.

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

A client hired an attorney to file a lawsuit against the client's former employer for wrongful discharge. The attorney filed the suit in federal district court based upon three grounds. It turned out that a unanimous U.S. Supreme Court decision had recently eliminated the third ground as a theory available to plaintiffs in wrongful discharge cases. The opposing attorney filed a motion alleging that the complaint was based upon a theory (the third ground) that is no longer supported by existing law and cited the new decision. Within ten days after the filing of the complaint, the attorney withdrew the third ground and continued with the litigation. Is the attorney subject to litigation sanction? (A) Yes, unless the attorney discussed the adverse legal authority with the client before filing the complaint. (B) Yes, because the attorney should have cited the U.S. Supreme Court decision in the complaint. (C) No, because the attorney withdrew the third ground within ten days after filing the complaint. (D) No, unless the attorney knew or should have known of the recent decision when the complaint was filed.

(C) No, because the attorney withdrew the third ground within ten days after filing the complaint.

An attorney is representing the plaintiff in a personal injury case on a contingent fee basis. The client is without resources to pay for the expenses of the investigation and the medical examinations necessary to prepare for trial. The client asked the attorney to pay for these expenses. The attorney declined to advance the funds but offered to guarantee the client's promissory note to a local bank in order to secure the funds needed to cover those expenses. The client has agreed to reimburse the attorney in the event she incurs liability on the guaranty. Is the attorney subject to discipline if she guarantees the client's promissory note? (A) Yes, because the attorney is lending her credit to the client. (B) Yes, because the attorney is helping to finance litigation. (C) No, because the funds will be used for trial preparation. (D) No, because the attorney took the case on a contingent fee basis.

(C) No, because the funds will be used for trial preparation.

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. Is the attorney subject to discipline for the announcement? (A) Yes, because the mailing included persons who had not been his clients. (B) Yes, because his service as governor is unrelated to his ability as a lawyer. (C) No, because the information in the announcement was true. (D) No, because all of the information was already in the public domain.

(C) No, because the information in the announcement was true.

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 claim of a client of the attorney's when a legal assistant negligently misplaced the client's file and suit was not filed within the time permitted by law. Which of the following correctly states the attorney's professional responsibility? (A) The attorney is subject to civil liability and is also subject to discipline on the theory of respondeat superior. (B) The attorney is subject to civil liability or is subject to discipline at the client's election. (C) The attorney is subject to civil liability but is NOT subject to discipline unless the attorney failed to supervise the legal assistant adequately. (D) The attorney is NOT subject to civil liability and is NOT subject to discipline if the attorney personally was not negligent.

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

An attorney is skilled in trying personal injury cases. The attorney accepted the representation of a plaintiff in a personal injury case on a contingent fee basis. While preparing the case for trial, the attorney realized that the direct examination and cross-examination of the medical experts would involve medical issues with which the attorney was not familiar and, as a consequence, the attorney might not be able to represent the plaintiff competently. Without informing the plaintiff, the attorney consulted a second attorney, who is both a lawyer and a medical doctor and who is a recognized specialist in the care and treatment of injuries of the type sustained by the plaintiff. The two attorneys agreed that the second attorney would participate in the trial to the limited extent of conducting the direct examination and cross-examination of the medical experts and that the original attorney would divide the fee in proportion to the services performed and the responsibility assumed by each. Was the arrangement between the two attorneys proper? (A) Yes, because the fee to be paid by the plaintiff was not increased by reason of the second attorney's association. (B) Yes, because the fee would be divided in proportion to the services performed and the responsibility assumed by each. (C) No, because the plaintiff was not advised of the association of the second attorney. (D) No, unless, upon conclusion of the matter, the original attorney provides the plaintiff with a written statement setting forth the method of determining both the fee and the division of the fee with the second attorney

(C) No, because the plaintiff was not advised of the association of the second attorney.

Under a state law, the court's appointment of lawyers as special masters in certain proceedings is discretionary with the court. A judge decided to appoint special masters in all such proceedings, regardless of their nature and complexity, and decided that compensation for such appointees would be at a reasonable hourly rate. The judge believed that this practice would ensure competent and impartial handling of every proceeding. The judge further decided to use published law directories to compile a list of qualified prospective appointees. Is the judge's proposed practice proper? (A) Yes, because it results in competent and impartial handling of the proceedings. (B) Yes, because the appointees will be compensated at a reasonable hourly rate. (C) No, because the practice may result in unnecessary appointments. (D) No, because the judge cannot use law directories to compile a list of qualified prospective appointees.

(C) No, because the practice may result in unnecessary appointments.

Attorney Alpha represents a wife in a marriage dissolution proceeding that involves bitterly contested issues of property division and child custody. The husband is represented by Attorney Beta. After one day of trial, the husband, through Beta, made a settlement offer. Because of the husband's intense dislike for Alpha, the proposed settlement requires that Alpha 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 wants to accept the offer, and Alpha believes that the settlement offer made by the husband is better than any award the wife would get if the case went to judgment. Is it proper for Alpha to agree that Alpha will not represent the wife in any subsequent proceeding? (A) Yes, because the restriction on Alpha is limited to subsequent proceedings in the same matter. (B) Yes, if Alpha believes that it is in the wife's best interests to accept the proposed settlement. (C) No, because the proposed settlement would restrict Alpha's right to represent the wife in the future. (D) No, unless Alpha believes that the wife's interests can be adequately protected by another lawyer in the future.

(C) No, because the proposed settlement would restrict Alpha's right to represent the wife in the future.

An attorney represents a famous politician in an action against a newspaper for libel. The case has attracted much publicity, and a jury trial has been demanded. After one of the pretrial hearings, as the attorney left the courthouse, news reporters interviewed her. In responding to the questions, the attorney truthfully stated that the judge upheld their right to subpoena the reporter involved and question the reporter on her mental impressions when she prepared the article. The attorney named the reporter involved. Is the attorney subject to discipline for making this statement? (A) Yes, because the attorney identified a prospective witness in the case. (B) Yes, because prospective jurors might learn of the attorney's remarks. (C) No, because the statement relates to a matter of public record. (D) No, because the trial has not commenced.

(C) No, because the statement relates to a matter of public record.

A criminal defendant who was to be a witness at his own trial told his publicly provided attorney that he intended to testify that he was not at the scene of the crime. The attorney, without knowledge of the defendant's whereabouts at the time of the crime but reasonably believing, based on other evidence, that such testimony would be a lie, counseled the defendant about his obligation to testify truthfully. At trial, even though the defendant indicated that he had not had a change of heart, the attorney called the defendant as a witness, and the defendant testified that he was not at the scene of the crime. Is the attorney subject to discipline for permitting the defendant to testify about his whereabouts at the time of the crime? (A) Yes, because the attorney reasonably believed that the client was going to lie. (B) Yes, because the attorney has a duty of candor toward the tribunal. (C) No, because the witness was a criminal defendant. (D) No, because the attorney was publicly provided.

(C) No, because the witness was a criminal defendant.

Attorney, recently admitted to practice, opened an office near a residential neighborhood and published the following advertisement in the local newspaper. COUPON Get Acquainted With Your Neighborhood Lawyer A. Attorney Suite 2 - 1100 Magnolia Avenue Sunshine City, State 01000 Telephone: (555) 555-5555 In order to acquaint you with our services, we are offering a one-hour consultation to review your estate plans, including your wills, trusts, and similar documents, all at the nominal cost of $25 to anyone presenting this coupon. Call now for an appointment. Is Attorney subject to discipline? (A) Yes, because Attorney is soliciting business from persons with whom Attorney had no prior relationship. (B) Yes, because Attorney requires the use of a coupon. (C) No, if Attorney provides the services described for the fee stated. (D) No, unless Attorney is seeking business from persons who are already represented by a lawyer.

(C) No, if Attorney provides the services described for the fee stated.

An attorney represents a plaintiff in a medical malpractice case. The attorney's contract with the client provides for a contingent fee of 20% of the recovery by settlement and 30% if the case is tried, with a total fee not to exceed $50,000. The attorney associated a second attorney, a sole practitioner, in the case, with the client's written consent and after full disclosure of the fee agreement between the two lawyers. The second attorney is both a medical doctor and a lawyer and is well qualified by experience and training to try medical malpractice cases. The fee agreement between the two attorneys reads as follows: "The total fee in this case is 20% of recovery by settlement and 30%, if tried, with a maximum fee of $50,000. The first attorney will help with discovery and will be the liaison person with the client. The second attorney will prepare the case and try it if it is not settled. The two attorneys will divide the fee, 40% to the first attorney and 60% to the second, sole practitioner attorney." Are the two attorneys subject to discipline for their agreement for division of the fee? (A) Yes, unless the client's consent is in writing. (B) Yes, because the first attorney will not try the case. (C) No, if the division of the fee between the two attorneys is in proportion to actual work done by each. (D) No, because the total fee does not differ from that contracted for by the first attorney with the client.

(C) No, if the division of the fee between the two attorneys is in proportion to actual work done by each.

A plaintiff and a defendant are next-door neighbors and bitter personal enemies. The plaintiff is suing the defendant over an alleged trespass. Each party believes, in good faith, in the correctness of his position. Each is represented by their own attorney. After the plaintiff had retained his attorney, he told her, "I do not want you to grant any delays or courtesies to the defendant or his lawyer. I want you to insist on every technicality." The plaintiff's attorney has served the defendant's attorney with a demand to answer written interrogatories. The defendant's attorney, because of the illness of his secretary, has asked the plaintiff's attorney for a five-day extension of time within which to answer them. Is the plaintiff's attorney subject to discipline if she grants the opposing attorney's request for a five-day extension? (A) Yes, because she is acting contrary to her client's instructions. (B) Yes, unless she first informs the plaintiff of the request and obtains his consent to grant it. (C) No, unless granting the extension would prejudice the plaintiff's rights. (D) No, because the defendant's attorney was not at fault in causing the delay.

(C) No, unless granting the extension would prejudice the plaintiff's rights.

While presiding over the trial of a highly publicized antitrust case, a judge received in the mail a lengthy letter from a local attorney. The letter discussed the law applicable to the case. The judge knew that the attorney did not represent either party. The judge read the letter and, without mentioning its receipt to the lawyers in the pending case, filed the letter in his general file on antitrust litigation. Later, after reading the trial briefs, the judge concluded that the attorney's letter better explained the law applicable to the case pending before him than either of the trial briefs. The judge followed the attorney's reasoning in formulating his decision. Was it proper for the judge to consider the attorney's letter? (A) Yes, because the judge did not initiate the communication with the attorney. (B)Yes, if the attorney did not represent any client whose interests could be affected by the outcome. (C) No, unless the judge, prior to rendering his decision, communicated its contents to all counsel and gave them an opportunity to respond. (D) No, because the attorney is not of record as counsel in the case.

(C) No, unless the judge, prior to rendering his decision, communicated its contents to all counsel and gave them an opportunity to respond.

A defendant, who has been indicted for auto theft, is represented by an attorney. The prosecutor reasonably believes that the defendant committed the offense, but, because of the defendant's youth, it is in the interest of justice to permit the defendant to plead guilty to the lesser offense of "joy-riding" in return for an agreement by the prosecutor to recommend probation. The prosecutor has so advised the attorney, but the attorney told the prosecutor she would not plea bargain and would insist on a jury trial. The attorney informed the defendant of the prosecutor's offer and advised the defendant not to accept it. The defendant followed the attorney's advice. The attorney is a candidate for public office, and the prosecutor suspects that the attorney is insisting on a trial of the case to secure publicity for herself. Assume for the purposes of this question that the defendant was tried, convicted, and sentenced to prison for two years. Must the prosecutor report to the disciplinary authority his suspicions about the attorney's conduct in the case? (A) Yes, because the defendant suffered a detriment from the attorney's refusal to plea bargain. (B) Yes, if the attorney in fact received widespread publicity as a result of the trial. (C) No, unless the prosecutor has knowledge that the attorney's refusal to plea bargain was due to personal motives. (D) No, if the attorney zealously and competently represented the defendant at the trial.

(C) No, unless the prosecutor has knowledge that the attorney's refusal to plea bargain was due to personal motives.

An attorney, with her client's approval, settled a claim against a defendant for $60,000. The settlement agreement provided that one-half would be paid by the defendant's primary insurance carrier, and one-half by a co-insurer. The attorney's agreed fee was 30% of the amount of the settlement. The attorney received the primary insurance carrier's check for $30,000 and a letter from the co-insurer advising that its check would be sent in two weeks. The attorney promptly advised the client and deposited the $30,000 in her Clients' Trust Account. The client demanded that the attorney send him the entire $30,000 and take her fee out of the funds to be received from the co-insurer. Which of the following would not be proper for the attorney? (A) Send the client $30,000. (B) Send the client $21,000 and retain $9,000 in her Clients' Trust Account. (C) Send the client $21,000 and transfer $9,000 to her personal account. (D) All of the above would be proper.

(C) Send the client $21,000 and transfer $9,000 to her personal account.

A defendant was on trial for the murder of a victim killed during a barroom brawl. In the course of closing arguments to the jury, the prosecutor said, "The defendant's whole defense is based on the testimony of a witness who said that the victim attacked the defendant with a knife before the defendant struck him. No other witness testified to such an attack by the victim. I don't believe the witness was telling the truth, and I don't think you believe him either." Was the prosecutor's statement proper? (A) Yes, if the prosecutor accurately stated the testimony in the case. (B) Yes, if the prosecutor, in fact, believed the witness was lying. (C) No, because the prosecutor alluded to the beliefs of the jurors. (D) No, because the prosecutor asserted his personal opinion about the witness's credibility.

(D) No, because the prosecutor asserted his personal opinion about the witness's credibility.

An attorney represented a criminal defendant in a murder case. The attorney's client told the attorney that he wanted to testify in his own defense. The attorney tried to dissuade his client from testifying, in part because although he had no evidence to support it, he suspected that the client's version of the events was fabricated. The attorney also believed that the jury would not believe his client. The client insisted, however, that he testify. The attorney told his client that he would call the client to the stand but reminded him that he was under oath and that it was imperative that he answer all questions truthfully. At trial, the client testified in his own defense, and the prosecution subsequently impeached the defendant's testimony. Was the attorney's action in allowing his client to testify proper? (A) No, because the attorney reasonably believed that his client's testimony would be false. (B) No, because the attorney was required to take remedial measures. (C) Yes, because the attorney did not know that the client's testimony would be false. (D) Yes, because an attorney is required to respect a criminal defendant's decision to testify

(C) Yes, because the attorney did not know that the client's testimony would be false.

A farmer asked his attorney to draft a letter in connection with a loan transaction. The letter issued by the attorney stated that the farm equipment to be pledged by the farmer to the lender to secure the loan was not subject to prior liens. The letter did not indicate that the attorney had relied on the farmer's statement to that effect and had not performed, as custom would require, a search of the relevant public records. Such a search would have revealed that the farmer's statement was false. At the farmer's direction, the attorney, unaware that the farmer had misinformed him as to the existence of the liens, sent the letter to the lender, who relied on it in making the loan. Subsequently, the farmer defaulted on the loan and, due to the prior liens, the lender was unable to recoup the outstanding balance owed by the farmer on the loan. Is the lawyer likely subject to civil liability to the lender? (B) No, because the lender was not the attorney's client. (B) No, because the attorney relied on his client's statement. (C) Yes, because the attorney failed to comply with his duty of care with regard to the letter. (D) Yes, because, by issuing the letter, the attorney became a guarantor of the loan.

(C) Yes, because the attorney failed to comply with his duty of care with regard to the letter.

An author engaged an attorney to represent him in a copyright infringement action. The representation agreement contained a provision that required the parties to submit all disputes, including malpractice disputes, to arbitration. The attorney did not discuss this provision with the author, nor did he advise him to seek independent counsel with regard to it. The infringement action was successful, and no dispute arose between the author and the attorney. Consequently, the provision was not enforced. The applicable jurisdiction recognizes the validity of arbitration in this context. Is the attorney subject to discipline? (A) No, because the validity of arbitration is recognized by the applicable jurisdiction. (B) No, because the provision was not enforced. (C) Yes, because the attorney failed to inform the author as to the scope and effect of the arbitration section of the representation agreement. (D) Yes, because the attorney failed to advise to the author to seek independent counsel with regard to the arbitration section of the representation agreement

(C) Yes, because the attorney failed to inform the author as to the scope and effect of the arbitration section of the representation agreement.

An elderly client hired an attorney to amend his will to provide the client's nephew with a specific tract of heavily wooded property that he knew the nephew loved to use for hunting. The wooded property was one of many tracts of land on a vast stretch of property owned by the client. After the client died, the nephew discovered that the tract of land actually left to him was a patch of rocky shore abutting a large lake two plots down from the wooded property. The error occurred because the attorney had mistakenly listed the incorrect address for the property that the client sought to transfer to his nephew. The nephew, having been told by his grandfather that he would receive the wooded property, filed an action to have the wooded property transferred to him. During the estate proceedings, the court held that there was insufficient evidence to establish that the client intended to transfer the wooded property to the nephew. They instead awarded him the rocky land abutting the lake. The nephew filed a negligence action against the attorney. The attorney moved to dismiss the nephew's claim and argued that he owed no duty to the nephew. Would the nephew be entitled to file such a claim under a negligence theory? (A) No, because the attorney did not owe a duty to the nephew. (B)No, because the attorney did not represent the nephew. (C) Yes, because the attorney knew that his client wanted the will to provide the nephew with the wooded property. (D) Yes, because the attorney breached a duty to his client

(C) Yes, because the attorney knew that his client wanted the will to provide the nephew with the wooded property.

An attorney represented the defendant in an aggravated assault action. While the client was in jail, he was attacked by another inmate and received a concussion. The attorney had his client immediately evaluated by a physician to ensure that the concussion did not impact the defendant's ability to recount the events of the assault. Hours before the client was to testify, the physician called the attorney to tell him that the concussion did not cause any memory problems but that a secondary psychiatric opinion noted that the defendant did have a personality disorder. The psychiatrist noted that the disorder would not affect the client's decision-making process or ability to recount events, but it should be treated with intensive, in-patient therapy as soon as possible to improve quality of life. The attorney believed that the trial would end in the next day or two if they proceeded, and because he had a trial-heavy few months after the trial in question, he did not want to delay the trial further by immediately sending his client for treatment. He was confident that delaying treatment for a few days would not harm his client and that the client was competent to testify, as the trial was nearly over. The attorney therefore waited to tell his client about the diagnosis until after the trial was complete. Is the attorney subject to discipline for withholding this information from the client? (A) No, because the attorney did not believe that the delay would harm the client. (B) No, because the attorney followed the correct process for evaluating a client's mental status. (C) Yes, because the attorney withheld the information to serve his own interests. (D) Yes, because the attorney withheld information relating to a psychiatric diagnosis.

(C) Yes, because the attorney withheld the information to serve his own interests.

A trial court judge had instructed his court clerk and his secretary that one of them should be present in the office during working hours to answer the telephone. One day, however, the secretary was out sick. The judge was in his office when his court clerk was at lunch, and when the telephone rang, the judge answered it. The call was from a lawyer in a case presently pending before the judge. The lawyer was calling to attempt to reschedule a pretrial conference set for the next day because of a sudden family emergency. The lawyer had tried to call opposing counsel on the case, but she was not answering his calls. The judge agreed to reschedule the pretrial conference for the following week. When the judge's court clerk returned from lunch, the judge instructed the clerk to contact opposing counsel to inform her of the telephone call and the fact that the pretrial conference had been rescheduled. Did the judge act properly? (A) No, because the judge participated in an ex parte communication. (B) No, because there was still time for the calling lawyer to notify opposing counsel in order to reach agreement on rescheduling the pretrial conference. (C) Yes, because the ex parte communication was for scheduling purposes only and did not deal with substantive matters or issues. (D) Yes, because there was no one else in the office to take the lawyer's call.

(C) Yes, because the ex parte communication was for scheduling purposes only and did not deal with substantive matters or issues.

During a conversation among friends in his home, an attorney called into question whether a candidate for the office of attorney general met the statutory requirements. Specifically, the attorney stated that he had heard a rumor that the candidate had not been licensed to practice law in the state for the requisite number of years mandated by statute. When asked whether he had investigated this matter, the attorney replied that he didn't need to check the facts, it had to be true. The candidate had, in fact, been licensed to practice law for the statutorily required time period. Is the attorney subject to discipline? (A) No, because the statement did not concern a current member of the judiciary or a candidate for judicial office. (B) No, because the statement was not made in a public forum. (C) Yes, because the false statement was made with a reckless disregard for its truth or falsity. (D)Yes, because the statement concerned a candidate for public office.

(C) Yes, because the false statement was made with a reckless disregard for its truth or falsity.

The chair of one of a state's political parties approached a law firm's senior partner, who was very active within that party, about representing the political party in litigation opposing a ballot measure backed by the state's opposing party. A junior partner at the firm was an active member of the opposing party and had contributed substantial time and money toward getting the measure on the ballot. The firm had never previously represented any political party or organization. After discussing the matter with the firm's management, who were all aware of the junior partner's involvement with getting the measure on the ballot, the senior partner decided to represent the political party. Is the senior partner's representation of the state's political party proper? (A) No, because one of the firm's partners has a conflict of interest. (B) No, because the junior partner's conflict of interest would be imputed to the other partners. (C) Yes, because the junior partner's conflict of interest would not be imputed to the other partners. (D) Yes, because there is no conflict of interest

(C) Yes, because the junior partner's conflict of interest would not be imputed to the other partners.

(AAn attorney represented a client who the attorney reasonably believed had a severe mental disorder affecting her ability to make rational personal and business decisions. Rather than consulting a physician or other mental healthcare professional about how to deal with his client, the attorney sought the advice of another attorney, who specialized in representing other attorneys in malpractice actions, about his professional obligations to his client. During his discussions with the other attorney, the attorney disclosed information that the client had revealed to him. Was the attorney's disclosure of information learned from his client proper? (A) No, because the disclosed information was acquired during the course of the attorney's representation of the client. (B) No, because the lawyer failed to consult a physician or mental healthcare professional first. (C) Yes, because the lawyer may disclose this information to obtain advice regarding his professional obligations. (D) Yes, because the lawyer for a client under a disability must disclose information necessary for protective action

(C) Yes, because the lawyer may disclose this information to obtain advice regarding his professional obligations.

(A)An attorney who maintained a solo law practice entered into substantive discussions with a law firm about joining the firm. As part of these discussions, the attorney revealed the identities of her clients, their status as current or former clients, and the matters for which she represented them. The purpose of these revelations, which did not compromise the attorney-client privilege or otherwise prejudice the clients, was to detect conflicts of interest that would arise from the attorney joining the firm. The attorney did not seek the informed consent of her clients before making these revelations. Due to an inability to resolve a potential conflict of interest, the attorney did not join the law firm. Were the attorney's revelations proper? (A) No, because the attorney did not seek the informed consent of her clients before making these revelations. (B) No, because the attorney did not join the law firm. (C) Yes, because the purpose of the revelations was to detect conflicts of interest that would arise from the attorney joining the law firm. (D) Yes, because the duty of confidentiality does not apply to disclosures to another attorney of information relating to the representation of a client.

(C) Yes, because the purpose of the revelations was to detect conflicts of interest that would arise from the attorney joining the law firm.

An attorney admitted to the bar never practiced law, but instead took a job as a financial planner. After several years as a successful financial planner, one of the attorney's clients accused him of lying to her about the entities in which her funds had been invested. The attorney admitted that he had lied to the client but argued he had been acting in her best interest because she was overly risk averse. The attorney pointed out that the client had actually made more money for her than she would have made otherwise. The client filed a negligence action against the attorney and reported him to the local disciplinary commission. Would the attorney's actions as a financial planner subject him to discipline? (A) No, because he was not engaged in the practice of law. (B) No, because the client did not suffer any harm. (C)Yes, because he engaged in conduct involving dishonesty. (D) Yes, because the client filed a negligence action against the attorney

(C)Yes, because he engaged in conduct involving dishonesty.

An attorney and her client met to discuss a discovery request from the opposing party. One item requested was a computer disk that contained evidence of the client's fraudulent behavior. The defendant told her attorney that if the attorney turned over the disk, the client would go "straight to jail." The attorney told the client that her words were protected by attorney-client privilege, and therefore, he would not reveal what she just stated. The attorney told the client to destroy the disk because the attorney was afraid that if he saw the information included on the disk, he might have to withdraw from representing her. Would the attorney's advice to his client subject him to discipline? (A) No, unless the client actually destroyed the disk. (B) No, because the attorney did not know if the disk included any relevant information. (C)Yes, because the attorney counseled the client to destroy the disk. (D)Yes, because the attorney did not report the information to the appropriate legal authority.

(C)Yes, because the attorney counseled the client to destroy the disk.

An attorney represented a police officer in an action brought against the officer for violation of the plaintiff's constitutional rights at the time of the plaintiff's arrest. In the attorney's closing arguments, the attorney honestly stated, "As you, members of the jury, do, I believe in the Constitution of the United States. I also believe that my client did not violate any of the plaintiff's rights arising from that Constitution. I know my client personally, and I believe that he is a good police officer who would never violate a person's constitutional rights." Is the attorney subject to discipline for this statement? (A) No, because the attorney honestly stated his beliefs. (B) No, because the statements were made in the attorney's closing arguments. (C)Yes, because the statements were based on the attorney's personal beliefs. (D) Yes, because an attorney may not comment on the culpability of a civil litigant

(C)Yes, because the statements were based on the attorney's personal beliefs.

An attorney is a candidate for a judicial office that has been occupied by an incumbent for six years. The attorney has conducted a thorough investigation of the incumbent's personal and professional life. Assuming that all factual statements are accurate, which of the following statements is improper for the attorney to make during the campaign? (A) "The incumbent has been reversed by the appellate courts more than any other judge in the state during the preceding two years." (B) "The incumbent was publicly censured by the state Judicial Qualification Commission on one occasion for his overbearing conduct in court." (C) "The incumbent was given a poor rating for judicial temperament in a county bar association poll." (D) "During the previous year, the average sentence in armed robbery cases tried in the incumbent's court was 3.5 years, and in murder cases was 8.2 years. If I am elected, I won't be soft on crime."

(D) "During the previous year, the average sentence in armed robbery cases tried in the incumbent's court was 3.5 years, and in murder cases was 8.2 years. If I am elected, I won't be soft on crime."

An attorney was formerly employed by an insurance company as a lawyer solely to handle fire insurance claims. While so employed, she investigated a fire loss claim of a claimant against the insurance company. The attorney is now in private practice. The original claim was settled. One year after the attorney left the employ of the insurance company, the claimant slipped and fell in the insurance company's office. The claimant now asks the 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 the attorney to do? (A) Refuse to discuss the matter with the claimant. (B) Represent the claimant. (C) Give the claimant a list of lawyers who the attorney knows are competent and specialize in such claims. (D) All of the above are proper.

(D) All of the above are proper.

Alpha and Beta are members of the bar in the same community but have never practiced together. Beta is a candidate in a contested election for judicial office. Beta is opposed by Delta, another lawyer in the community. Alpha believes Beta is better qualified than Delta for the judiciary and is supporting Beta's candidacy. Which of the following would be proper for Alpha to do? (A) Solicit public endorsements for Beta's candidacy by other attorneys in the community who know Beta, including those who are likely to appear before Beta if Beta becomes a judge. (B) Solicit contributions to Beta's campaign committee from other attorneys in the community, including those who are likely to appear before Beta if Beta becomes a judge. (C) Publicly oppose the candidacy of Delta. (D) All of the above would be proper

(D) All of the above would be proper

An attorney wants to make it easier for her clients to pay their bills for her fees. Which of the following would NOT be proper for the attorney? (A) Accept bank credit cards in payment of the attorney's fees. (B) Allow clients to pay the attorney's fees in monthly installments. (C) Arrange for clients to obtain bank loans for the purpose of paying the attorney's fees. (D) If a case is interesting, suggest that the client give the attorney publication rights concerning the case as partial payment of the fee.

(D) If a case is interesting, suggest that the client give the attorney publication rights concerning the case as partial payment of the fee.

Attorney represented Client in a personal injury action against the driver of the car in which Client was injured while a passenger. The personal injury action was settled, and Attorney received a check in the amount of $10,000 payable to Attorney. Attorney deposited the check in her Clients' Trust Account. One day later, Attorney received a letter from Bank, which had heard of the settlement of the personal injury lawsuit. Bank informed Attorney that Client had failed to make his monthly mortgage payments for the last three months and demanded that Attorney immediately release $900 of the proceeds of the settlement to Bank or Bank would institute mortgage foreclosure proceedings against Client. Attorney informed Client of Bank's letter. Client responded: "I don't care what Bank does. The property is essentially worthless, so let Bank foreclose. If Bank wants to sue me, I'll be easy enough to find. I don't think they'll even bother. You just take your legal fees and turn the rest of the proceeds over to me." Is Attorney subject to discipline if she follows Client's instructions? (A) Yes, if Client does not dispute the $900 debt to Bank. (B) Yes, because Attorney knew that client was planning to force Bank to sue him. (C) No, unless Attorney had reason to believe that Client would not have sufficient funds to pay any subsequent judgment obtained by Bank. (D) No, because Bank has no established right to the specific proceeds of Client's personal injury judgment.

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

An attorney is a well-known tax lawyer and author. During congressional hearings on tax reform, the attorney testified to her personal belief and expert opinion on the pending reform package. She failed to disclose in her testimony that she was being compensated by a private client for her appearance. In her testimony, the attorney took the position favored by her client, but the position was also one that the attorney believed was in the public interest. Was it proper for the attorney to present this testimony without identifying her private client? (A) Yes, because the attorney believed that the position she advocated was in the public interest. (B) Yes, because Congress is interested in the content of the testimony and not who is paying the witness. (C) No, because a lawyer may not accept a fee for trying to influence legislative action. (D) No, because a lawyer who appears in a legislative hearing should identify the capacity in which the lawyer appears.

(D) No, because a lawyer who appears in a legislative hearing should identify the capacity in which the lawyer appears.

A judge needed to obtain a loan to be secured by a second mortgage on his house. A bank offered him a loan at a very favorable interest rate. The vice president at the bank told the judge: "Frankly, we normally don't give such a large loan when the security is a second mortgage, and your interest rate will be 2% less than we charge our other customers. But we know that your salary is inadequate, and we are giving you special consideration." Is it proper for the judge to accept the loan? (A) Yes, if the judge does not act in any case involving the bank. (B) Yes, if the bank is not likely to be involved in litigation in the court on which the judge sits. (C) No, unless the same terms are available to all judges in the state. (D) No, because the amount of the loan and the interest rate were not available to persons who were not judges.

(D) No, because the amount of the loan and the interest rate were not available to persons who were not judges.

An assistant district attorney was in charge of the presentation before a grand jury of evidence that led to an indictment charging 32 defendants with conspiracy to sell controlled drugs. Shortly after the grand jury returned the indictments, the attorney resigned as assistant district attorney and became an associate in the law office of a sole practitioner. At the time of such association, the sole practitioner was the attorney for one of the indicted co-defendants. Is it proper for the former sole practitioner to continue to represent the co-defendant? (A) Yes, if the associate attorney does not reveal to the former sole practitioner any confidence or secret learned while an assistant district attorney. (B) Yes, because a public prosecutor must make timely disclosure to the defense attorney of any exculpatory evidence. (C) No, unless the associate attorney agrees not to participate in the representation of the co-defendant. (D) No, because the associate attorney had substantial responsibility for the indictment of the co-defendant.

(D) No, because the associate attorney had substantial responsibility for the indictment of the co-defendant.

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? (A) Yes, because the client, without having been requested by the attorney to do so, voluntarily made the loan. (B) Yes, because the court ruled that the note had been discharged as a gift. (C) No, because a lawyer may never accept a loan from a client. (D) No, because the attorney did not comply with the requirements for entering into a business transaction with a client.

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

An attorney placed an associate recently admitted to the bar in complete charge of the work of the paralegals in the attorney's office. That work consisted of searching titles to real property, an area in which the associate had no familiarity. The attorney instructed the associate to review the searches prepared by the paralegals, and thereafter to sign the attorney's name to the required certifications of title if the associate was satisfied that the search accurately reflected the condition of the title. This arrangement enabled the attorney to lower office operating expenses. The attorney told the associate that she should resolve any legal questions that might arise and not to bother the attorney because he was too busy handling major litigation. Is it proper for the attorney to assign the associate this responsibility? (A) Yes, if the paralegals are experienced in searching titles. (B) Yes, because the attorney is ultimately liable for the accuracy of the title searches. (C) No, unless it enables the attorney to charge lower fees for title certification. (D) No, because the attorney is not adequately supervising the work of the associate.

(D) No, because the attorney is not adequately supervising the work of the associate.

A client, during a conference with her attorney in his office about the client's pending divorce, threatened to kill her husband, from whom she was separated. Based on his knowledge of the client, the attorney believed his client's threat to be credible. The attorney took no action to warn the client's husband. Shortly thereafter, the client shot her husband, seriously wounding him. Is the attorney subject to discipline for his failure to warn his client's husband? (A) Yes, because the attorney had a duty to warn his client's husband. (B) Yes, because the attorney's failure to warn the client's husband was the cause of the husband's harm. (C) No, because, since the client's husband did not die, the client did not accomplish her threat. (D) No, because the attorney owed his client a duty of confidentiality.

(D) No, because the attorney owed his client a duty of confidentiality.

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 probably affects the trust provisions in a will she prepared for a testatrix two years ago. The attorney has not represented the testatrix since she drew the will. Is the attorney subject to discipline if she calls the testatrix and advises her of the new IRS ruling and the need to revise the will? (A) Yes, if the attorney has any reason to believe that the testatrix has another lawyer. (B) Yes, because the attorney would be soliciting legal business from a person who is not a current client. (C) No, provided the attorney does not thereafter prepare a new will for the testatrix. (D) No, because the testatrix is a former client of the attorney.

(D) No, because the testatrix is a former client of the attorney.

An attorney prepared a will for a client and acted as one of the subscribing witnesses to the client's execution of the will. The will left all of the client's estate to the client's son. Later, at the client's request, the attorney prepared a second will for the client and acted as one of the subscribing witnesses to the client's execution of the second will. The second will left one-half of the client's estate to the son and the other one-half to the client's housekeeper. The client died and the housekeeper has offered the second will for probate. If the son requests the attorney to represent him in opposing probate of the second will on the grounds of fraud and undue influence, is it proper for the attorney to do so? (A) Yes, because after the client's death, the attorney may represent the son. (B) Yes, because the son is a beneficiary under both wills. (C) No, because an attorney guarantees the validity of a will that she prepares. (D) No, because the attorney would be taking a position adverse to a will she prepared and witnessed

(D) No, because the attorney would be taking a position adverse to a will she prepared and witnessed

An attorney was retained by a woman to advise her in negotiating a separation agreement with her husband. The husband, who was not a lawyer, had decided to act on his own behalf in the matter. The attorney never met or communicated with the husband during the negotiations. After several months, the woman advised the attorney that the parties had reached agreement and presented him with the terms. The attorney prepared a proposed agreement that contained all of the agreed-upon terms. The attorney mailed the proposed agreement to the husband, with a cover letter stating: "As you know, I represent your wife in this matter and I do not represent your interests. I enclose two copies of the separation agreement that I have drafted in accordance with my client's directions. Please read the agreement and, if it meets with your approval, sign both copies before a notary and return them to me. I will then have your wife sign them and will furnish you with a fully executed copy." Is the attorney subject to discipline? (A) Yes, because the attorney did not suggest that the husband seek the advice of independent counsel before signing the agreement. (B) Yes, because the attorney directly communicated with an unrepresented person. (C) No, because the attorney acted only as a scrivener. (D) No, because the attorney's letter did not imply that the attorney was disinterested and the attorney did not give legal advice to the husband.

(D) No, because the attorney's letter did not imply that the attorney was disinterested and the attorney did not give legal advice to the husband.

An attorney's standard retainer contract in divorce cases provides for the payment of a fee of one-third of the amount of alimony or property settlement secured by the attorney. The attorney declines to represent clients who do not agree to this arrangement. Is the attorney's standard retainer contract proper? (A) Yes, because clients often prefer to pay a lawyer a fee based on the outcome of the case. (B) Yes, if a fee of one-third is not excessive. (C) No, because a lawyer may not acquire a proprietary interest in a cause of action. (D) No, because the fee is contingent.

(D) No, because the fee is contingent.

An attorney had been employed as an assistant prosecutor in the district attorney's office during the time that an investigation of a defendant was being conducted by that office. The attorney took no part in the investigation and had no knowledge of the facts other than those disclosed in the press. Two months ago, the attorney left the district attorney's office and formed a partnership with a second attorney. Last week, the defendant was indicted for offenses allegedly disclosed by the prior investigation. The defendant asked the first attorney to represent him. The first attorney declined to do so, but suggested the second attorney. Is the second attorney subject to discipline if she represents the defendant? (A) Yes, because the first attorney was employed in the district attorney's office while the investigation of the defendant was being conducted. (B) Yes, unless the district attorney's office is promptly notified and consents to the representation. (C) No, unless the first attorney participates in the representation or shares in the fee. (D) No, because the first attorney had no responsibility for or knowledge of the facts of the investigation of the defendant

(D) No, because the first attorney had no responsibility for or knowledge of the facts of the investigation of the defendant

Four years ago, a judge in a state court of general jurisdiction heard a civil case in which the plaintiff prevailed and secured a judgment for $50,000, which was sustained on appeal. Since then, the judge has resigned from the bench and returned to private practice. The defendant has filed suit to enjoin enforcement of the judgment on the grounds of extrinsic fraud in its procurement. The plaintiff has now asked the former judge to represent her in defending the suit to enjoin enforcement. Is it proper for the former judge to accept the representation of the plaintiff in this matter? (A) Yes, because the former judge would be upholding the decision of the court. (B) Yes, if the plaintiff's conduct of the first trial will not be in issue. (C) No, unless the former judge believes the present suit is brought in bad faith. (D) No, because the former judge had acted in a judicial capacity on the merits of the original case

(D) No, because the former judge had acted in a judicial capacity on the merits of the original case

A judge, prior to her appointment to the probate court, was a partner in a law firm. The law firm had an extensive probate practice. At the time of the judge's appointment, the law firm had pending before the court to which the judge was appointed numerous matters in which requests were being made for allowances for attorney's fees. When the judge left the law firm, she was paid a cash settlement. She has no further financial interest in any matter handled by the law firm. The judge is now being asked to rule on these requests for allowances for attorney's fees. Is it proper for the judge to rule on these requests? (A) Yes, because the judge has no financial interest in the outcome of these cases. (B) Yes, if these requests are not contested. (C) No, unless the judge notes on the record in each case her prior association with the law firm. (D) No, because the judge was associated with the law firm when these matters were pending.

(D) No, because the judge was associated with the law firm when these matters were pending.

While working on a complex matter for a client, an attorney in a law firm identified a particularly difficult issue of law that could prove decisive in the dispute. The attorney had not encountered this issue before and was uncertain of its effect. The attorney called his partner and asked her for assistance. Was it proper for the attorney to consult with his partner? (A) No, unless the total fee is not increased by the consultation. (B) No, because the client's consent was not previously obtained. (C) Yes, unless the attorney identified the client to his partner. (D) Yes, because the two attorneys are partners in the same firm.

(D) Yes, because the two attorneys are partners in the same firm.

A state court judge has presided over the pre-trial proceedings in a case involving a novel contract question under the Uniform Commercial Code. During the pre-trial proceedings, the judge has acquired considerable background knowledge of the facts and law of the matter and, therefore, is particularly well qualified to preside at the trial. Shortly before the trial date, the judge discovered that his brother owns a substantial block of stock in the defendant corporation. He determined that his brother's financial interests would be substantially affected by the outcome of the case. Although the judge believed he would be impartial, he disclosed to the parties, on the record, his brother's interest. Is it proper for the judge to hear the case? (A) Yes, because the judge is particularly well qualified to preside at the trial. (B) Yes, because the judge believes his judgment will not be affected by his brother's stockholding. (C) No, because disqualification based on a relative's financial interest cannot be waived. (D) No, unless after proper proceedings in which the judge did not participate all parties and their lawyers consent in writing that the judge may hear the case

(D) No, unless after proper proceedings in which the judge did not participate all parties and their lawyers consent in writing that the judge may hear the case

An attorney was retained by a defendant to represent him in a paternity suit. The defendant's aunt believed the suit was unfounded and motivated by malice. The aunt sent the attorney a check for $1,000 and asked the attorney to apply it to the payment of the defendant's fee. The aunt told the attorney not to tell the defendant of the payment because, "The defendant is too proud to accept gifts, but I know he really needs the money." Is it proper for the attorney to accept the aunt's check? (A) Yes, if the aunt does not attempt to influence the attorney's conduct of the case. (B) Yes, if the attorney's charges to the defendant are reduced accordingly. (C) No, because the aunt is attempting to finance litigation to which she is not a party. (D) No, unless the attorney first informs the defendant and obtains the defendant's consent to retain the payment.

(D) No, unless the attorney first informs the defendant and obtains the defendant's consent to retain the payment.

An attorney has tried many contested cases before a certain judge up for reelection. The attorney believes the judge is lacking both in knowledge of the law and in good judgment and that a different attorney would make an excellent judge. The attorney wishes to defeat the judge and assist the other attorney in getting elected. The attorney intends to contribute $5,000 to the other attorney's campaign. Is it proper for the attorney to do so? (A) Yes, the attorney may give $5,000 to the other attorney personally for his campaign. (B) Yes, if the attorney's contribution to the other attorney is made anonymously. (C) No, because the attorney is practicing before the court to which the other attorney seeks election. (D) No, unless the attorney gives the $5,000 to a committee formed to further the other attorney's election.

(D) No, unless the attorney gives the $5,000 to a committee formed to further the other attorney's election.

A client retained an attorney to appeal his criminal conviction and to seek bail pending appeal. The agreed-upon fee for the appearance on the bail hearing was $100 per hour. The attorney received $1,600 from the client, of which $600 was a deposit to secure the attorney's fee and $1,000 was for bail costs in the event that bail was obtained. The attorney maintained two office bank accounts: a fee account, in which all fees collected from clients were deposited and from which all office expenses were paid, and a clients' trust account. The attorney deposited the $1,600 in the clients' trust account the week before the bail hearing. She expended six hours of her time preparing for and appearing at the hearing. The effort to obtain bail was unsuccessful. Dissatisfied, the client immediately demanded return of the $1,600. What should the attorney do with the $1,600? (A) Transfer the $1,600 to the fee account. (B) Transfer the $600 to the fee account and leave $1,000 in the clients' trust account until the attorney's fee for the final appeal is determined. (C)Transfer $600 to the fee account and send the client a $1,000 check on the clients' trust account. (D) Send the client a $1,000 check and leave $600 in the clients' trust account until the matter is resolved with the client.

(D) Send the client a $1,000 check and leave $600 in the clients' trust account until the matter is resolved with the client.

An attorney places an advertisement in the local newspaper that includes only true information. For which, if any, of these statements is the attorney subject to discipline? (A) My credentials are: B.A., magna cum laude, Eastern College; J.D., summa cum laude, State Law School; LL.M., Eastern Law School. (B) My offices are open Monday through Friday from 9:00 a.m. to 5:00 p.m., but you may call my answering service twenty-four hours a day, seven days a week. (C) I speak modern Greek fluently. (D) The attorney is not subject to discipline for any of these statements.

(D) The attorney is not subject to discipline for any of these statements.

An attorney successfully represented a woman charged with operating a house of prostitution. Subsequently, a famous politician who was charged with soliciting a prostitute within the alleged brothel sought to hire the attorney to represent him. The woman told the attorney that she did not object to his representation of any of the men charged with solicitation, but she refused to sign a written statement to that effect because she no longer wanted to be linked to the charges in any written document. Would it be proper for the attorney to accept the politician as a client? (A) No, because the attorney represented the woman previously. (B) No, because the politician's claim is substantially related to the matter in which the attorney represented the woman. (C) Yes, because the attorney received the woman's informed oral consent. (D) Yes, although the attorney did not receive the woman's informed consent in writing

(D) Yes, although the attorney did not receive the woman's informed consent in writing

An attorney represented a client in an action against the client's former partner to recover damages for breach of contract. During the representation, the client presented the attorney with incontrovertible proof that the former partner had committed perjury in a prior action which 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 of the implication that might be drawn from the former close personal and business relationship between the client and the former partner. Would it be proper for the attorney to fail to disclose the perjury to the tribunal? (A) No, because the information is unprivileged. (B) No, because the attorney has knowledge that the former partner perpetrated a fraud on the tribunal. (C) Yes, because neither the client nor the attorney was involved in the prior action. (D) Yes, because the attorney believes that the disclosure would be detrimental to the client's best interests.

(D) Yes, because the attorney believes that the disclosure would be detrimental to the client's best interests.

An attorney's recorded radio advertisement stated: "For a fee of $600, I will represent a party to a divorce that does not result in a court trial of a contested issue of fact." The attorney had the advertisement prerecorded and approved by the appropriate bar agency for broadcast. A client, who had previously agreed with her husband to an uncontested dissolution of their marriage, heard the broadcast and called on the attorney in his office. The client told the attorney that she had heard the broadcast and asked the attorney to represent her. The attorney agreed to represent the client. Because of the nature of the parties' property, the attorney spent more time on the tax aspects of the case than the attorney anticipated. The time expended by the attorney, if charged at a reasonable hourly rate, would have resulted in a fee of $2,000. After the decree was entered, the attorney billed the client for $2,000. Is the attorney subject to discipline? (A) No, because the attorney's fee was a reasonable charge for the time expended. (B) No, because the attorney, when the representation was accepted, did not anticipate the tax problems. (C) Yes, unless the client pays the fee without protest. (D) Yes, because the attorney charged a fee in excess of the advertised fee.

(D) Yes, because the attorney charged a fee in excess of the advertised fee.

Two friends were involved in a car accident and hired an attorney to represent them as co-parties in a claim for damages related to the accident. Each client provided the attorney with the minimum amount he would be willing to accept to settle the case. The clients suggested vastly different amounts. The attorney received a large settlement offer that met the individual requirements of each party, though each party would receive significantly different amounts in the settlement. He called both clients into his office separately to discuss settlement. Both clients immediately consented in writing to the agreement, though neither was aware of the amount received by the other. The attorney then accepted the offer on behalf of both of the clients. The clients met for dinner the following night to celebrate their win, and during dessert, one of the clients disclosed to the other the amount he had received in the settlement. The other client, who received a far smaller settlement, immediately called the attorney to express his dissatisfaction with the settlement. The attorney responded by saying that he accepted the amount his client had told him was acceptable. Would the attorney's actions regarding the settlement subject him to discipline? (A) No, because he did not accept an amount below each client's specified amount. (B) No, because both clients consented in writing to the settlement. (C) Yes, because the parties received different amounts in the settlement. (D) Yes, because the attorney did not disclose the extent of both settlement offers to both clients.

(D) Yes, because the attorney did not disclose the extent of both settlement offers to both clients.

After working for several years in the civil division of a state attorney general's office, an attorney left the attorney general's office and joined a private law firm. The law firm represented a defendant in the appeal of his criminal conviction, which had been obtained by the criminal division of the attorney general's office while the attorney was employed in the civil division. The attorney was assigned to the team representing the defendant. The attorney did not seek the consent of the attorney general's office to the attorney's participation in the firm's representation of the defendant. Is the attorney's participation in the firm's representation of the defendant in an appellate action proper? (A) No, because the attorney did not obtain the attorney general's consent prior to his representation of the defendant. (B) No, because the defendant's conviction was obtained by the attorney general's office while the attorney worked there. (C) Yes, because the attorney did not acquire confidential government information about the client while working at the attorney general's office. (D) Yes, because the attorney did not participate in the defendant's conviction while working at the attorney general's office.

(D) Yes, because the attorney did not participate in the defendant's conviction while working at the attorney general's office.

An attorney represented a plaintiff in the plaintiff's action for defamation against a defendant. After the defendant's lawyer had filed and served an answer, the attorney, at the plaintiff's direction, hired a licensed private investigator and instructed him to attempt to interview the defendant without revealing his employment. The investigator succeeded in interviewing the defendant privately and obtained an admission from the defendant that the statements she had made were based solely on unsubstantiated gossip. Is the attorney subject to discipline for obtaining the statement from the defendant in this matter? (A) No, because the attorney was following the plaintiff's instructions. (B) No, because the statement obtained was evidence that the defendant's allegations were unfounded. (C) Yes, because the attorney should have interviewed the defendant personally. (D) Yes, because the attorney instructed the investigator to interview the defendant.

(D) Yes, because the attorney instructed the investigator to interview the defendant.

An attorney participates in a prepaid legal services plan providing legal services to the plan's members. The attorney is not involved in the solicitation of persons to become members, but he does manage the plan for the plan's sponsor. In this role, the attorney acts to ensure that the plan sponsor adheres to the rules governing lawyer advertising and solicitation. Employees of the plan's sponsor, none of whom are attorneys, do solicit by phone individuals to become members of the plan, but they do not target persons who are known to need legal services in a particular matter. Is the attorney subject to discipline? (A) No, because the attorney is not involved in the solicitation of persons to become members of the plan. (B) No, because the attorney acts to ensure that the plan sponsor adheres to the rules on lawyer advertising and solicitation. (C) Yes, because employees of the plan's sponsor engage in real-time solicitation. (D) Yes, because the attorney manages the legal services plan

(D) Yes, because the attorney manages the legal services plan

A member of the bar is a candidate for judicial office in an election. The candidate personally asked several of his friends to contribute $1,000 each to kick off his campaign. After the candidate's friends made the contributions, the candidate, who was elated by the support, formed a committee to collect more contributions. The candidate then turned over the contributions to the committee and began campaigning in earnest. Is the candidate subject to discipline? (A) No, because the candidate turned over the funds to his committee. (B) No, unless the committee includes lawyers likely to practice before the candidate. (C) Yes, unless none of the original contributors was a lawyer. (D) Yes, because the candidate personally solicited funds.

(D) Yes, because the candidate personally solicited funds.

An attorney met with a client on a Monday morning about the client's pending divorce. The client told the attorney that if his wife did not agree to a property settlement by the end of the week, he "was going to kill [her]." The attorney thought his client was simply being dramatic but was concerned because he knew that his client already owned a gun and had made similar statements before. The attorney worried that the client might be serious about the threat and decided that, if the case had not settled by Friday, he would call the client's wife and warn her. The client shot his wife on Thursday. Is the attorney subject to discipline for not disclosing the client's threat to kill his wife? (A) Yes, because the attorney reasonably believed that the client was going to harm his wife if the case did not settle. (B) Yes, because the attorney owed a duty of fairness to the wife as the other party in the civil action. (C) No, because the threat was not imminent since the client claimed he would kill his wife at the end of the week if a settlement was not reached. (D)No, because the attorney had no obligation to disclose information he thought was necessary to prevent future bodily harm.

(D)No, because the attorney had no obligation to disclose information he thought was necessary to prevent future bodily harm.

An attorney opened a trust account at a local bank into which she deposited a check from a client that constituted an advance payment for future services to be rendered by the attorney. Subsequently, the attorney received an engagement fee from another client, which the attorney also deposited into the account. The engagement fee represented payment to the attorney for accepting the case, being available to handle the case, and agreeing not to represent another party in the case. The fee did not require the attorney to perform specific legal services. The attorney maintained records related to all account transactions in accordance with the state rules of professional conduct, which were identical to the ABA Model Rules of Professional Conduct, but she did not pay bank service charges on the account from her own funds. Is the attorney subject to discipline with regard to her actions concerning the trust fund account? (A) No, because the attorney properly maintained the records related to the account. (B) No, because the attorney maintained a trust fund account to keep her property separate from her client's property. (C) Yes, because the attorney failed to pay the bank service charges on the account from her own funds. (D)Yes, because the attorney did not keep her client's property separate from her own property.

(D)Yes, because the attorney did not keep her client's property separate from her own property.

An attorney represented a client as a plaintiff in a personal injury matter under a standard contingent fee contract. The client agreed to settle the case for $1,000,000, from which funds the attorney would receive $250,000. The client informed the attorney that she planned to take $25,000 of the settlement funds and spend the money purchasing lottery tickets. The attorney told the client that he disagreed with this plan and encouraged the client to take some classes on investing money. The client agreed to take the classes, but still insisted on playing the lottery. The attorney received the check for $1,000,000 three days before the client was to attend the investing classes. The attorney held the check for one week, giving the client at least a few days of classes. The attorney then informed the client of the receipt of the funds, disbursed the funds according to the agreement, and also furnished the client with an accounting. The attorney told the client that he had delayed notice to allow time for the client to come to her senses. The client laughed and said, "I guess your plan worked, because these classes have convinced me to invest my money in the stock market instead of playing the lottery." Is the attorney subject to discipline? (A) Yes, because the attorney had a duty to promptly notify the client of the receipt of the $1,000,000. (B) Yes, because the attorney gave unsolicited advice about non-legal matters. (C) No, because the client did not object to the withholding of the notice and funds. (D) No, because the attorney acted in the client's best interest.

Yes, because the attorney had a duty to promptly notify the client of the receipt of the $1,000,000.