Pro Res Flash Cards

What historical development necessitated the creation of IOLTA programs around the country?

Congress imposed burdensome restrictions on the activities of entities receiving LSC funds

The Comment to Rule 1.11, "Special Conflicts of Interest for Former & Current Government Officers & Employees" offers several policy interests that the rule seeks to balance. Which of the following is NOT one of the state policy interests?

"If experience in government service makes lawyers excessively marketable thereafter in the private sector, or results in excessive financial rewards for lawyers with government experience once they enter the private sector, lawyers may enter government service for the wrong reasons or out of self-interest, rather than acting in the public interest."

Which of the following is NOT one of the factors listed by the Rules of Professional Conduct that lawyers should use in determining the reasonableness of a fee?

"the client's financial situation or ability to pay"

Which of the following IS one of the factors listed by the Rules of Professional Conduct that lawyers should use in determining the reasonableness of a fee?

"the skill requisite to perform the legal service properly"

Which of the following is NOT one of the factors listed by the Rules of Professional Conduct that lawyers should use in determining the reasonableness of a fee?

"when the fee will actually be due"

Which of the following is NOT one of the factors listed by the Rules of Professional Conduct that lawyers should use in determining the reasonableness of a fee?

"whether the fee will involve cash payments or the exchange of goods or services"

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

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

What is the difference between a static contingent fee and a sliding contingent fee?

A static fee has a fixed percentage rate, while a sliding fee has the percentage increase with either how long the case takes or the amount of the recovery.

Legal malpractice lawsuits require proving that the plaintiff would have prevailed but for the lawyer's negligence, and proving damages. As mentioned in class, which of the following is necessary to prove these elements of a typical malpractice action?

A trial within a trial

Attorney Albert worked at Ricks, Sawyer, & Thompson for 5 years in specialized in real estate during the last 3 years Albert has worked intensively on client Callahan's properties in disputes that arose. Before leaving Ricks, Sawyer, & Thompson Albert handled a new real estate deal for Callahan that resulted in the erection of a new complex Albert now works at Friedman & Grisley and receives a new case assignment Albert discovers that the new client, Raymond Bradley, is a small business owner located next to Callahan's apartment complex and is suing Callahan for a disputed or right of way.

Albert may represent Bradley if Callahan consent in writing to him doing so.

The ABA Comment to Model Rule 1.7 (entitled "Conflict of Interest: Current Client") mentions a few reasons that, absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly unrelated. Which of the following, though probably true, is NOT one of the reasons identified in the Comment?

Any time that the lawyer bills for the matter would simultaneously go to both clients, meaning the lawyer inevitably will engage in double billing and receive double fees for every hour worked on the case.

Attorney normally does business transactional work for clients, and has done so for a decade. One of Attorney's clients recently injured another driver in a car accident, and he asked Attorney to defend him in the personal injury lawsuit over the incident. Attorney has never taken a case to trial, but took trial advocacy courses in law school, and has served as second chair on other lawyer's commercial litigation trials. Attorney would like to keep the client and would not mind expanding his practice into a new area. Which of the following would be an improper course of action?

Attorney could refer his client to another lawyer and charge the other lawyer a substantial referral fee.

As mentioned in class, what is currently the most frequently alleged malpractice error in Law Professional Liability claims?

Conflicts of interest

Attorney practices corporate securities law in a Wall Street firm. Attorney is also one of three owners of a financial forecasting consulting firm, Trends Tomorrow, which employs several well-known economists and financial analysts. Attorney refers clients to this firm when they need consultants to advise them about the timing of new stock offerings, projections for share price and profit forecasts, and so on. Attorney duly discloses to clients before referring them that she is a part owner of the consulting firm and that they are free to shop around and hire other consultants if they prefer; she also explains that the Trends Tomorrow is not a law firm and provides only financial forecasting services. Trends Tomorrow is located in the building next door to Attorney's Wall Street firm, and when clients go there, Trends Tomorrow explains as part of their service contract that they provide no legal services. Eventually, complaints emerge that Trends Tomorrow has been leaking confidential client information to the press, and that the consulting firm appears to have conflicts of interest, advising competing clients about strategies to encroach on each others' market share. Attorney faces disciplinary charges for these violations, but Attorney claims that the complaining clients need to show that the disclosures provided were inadequate to apprise them of the fact that the Rules of Professional Conduct for lawyers would not apply to Trends Tomorrow. Who has the burden of proof on this issue?

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

Attorney is a licensed lawyer in a New England state, but has an office and represents clients exclusively in a southern state. Attorney confines her practice to immigration law, representing foreign- born clients in immigration hearings. A relevant federal statute permits nonlawyers to appear as representatives for immigrants when they appear before the immigration agency. Many of Attorney's clients have applied for a spousal visa after marrying an American citizen, and some clients had a Notary Public from their home country or an un-ordained lay minister from their home church conduct their wedding ceremony. In addition, some were previously married and divorced in their home country, where such transactions are informal and have no official documentation. There is often some question about whether the marriage is valid under local state law, which is a prerequisite for obtaining certain types of visas. Which of the following is correct?

Attorney is probably subject to discipline for the unauthorized practice of law in this southern state.

Attorney serves as the lawyer for a corporation and also is a member of its board of directors. Which of the following is true regarding this situation?

Attorney must advise the other board members that in some circumstances, matters they discuss at board meetings while Attorney is there as a fellow director would not be protected by the attorney-client privilege in later litigation; and that conflict of interest considerations might require Attorney's recusal as a director, or might require Attorney to decline representation of the corporation in a matter

Client owns a partnership share of a closely-held business, and the other partners vote to impose an involuntary buy-out of Client in order to remove him from the firm. Is Attorney, or the other lawyers in her firm, subject to disqualification in this matter?

Attorney would be subject to disqualification, but ordinarily the other lawyers in her firm would not be subject to disqualification.

Attorney obtained a license to practice law in the state where she attended law school. After a few years, Attorney took a job in a neighboring state, moved there, and obtained a license to practice law in her new state. She kept her original license, in her former state, but went on inactive status there in order to avoid the burdensome annual bar membership fees in a state where she no longer practiced. Eventually, her new firm loses its anchor clients and recommends that Attorney drum up some new business among her former clients. Attorney sends letters to all of her former clients in her former state, offering to represent them in any new legal matters they have, or in updating wills or contracts that she previously did for them. She travels about once per week to her home state and meets with clients in a library study room at the law school she attended. A few of her former clients refer her to friends or relatives who become new clients, and Attorney's new employer is thrilled. Which of the following is true?

Both Attorney and her supervising lawyer are subject to discipline because she is on inactive status in her home state, but is soliciting clients and handling their matters there regularly.

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

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

An Attorney is a fifth-year associate at a large firm, hoping to make partner in the next two or three years. She supervises the first-year associates at the firm. She learns that the most recently hired associate recently shredded some evidence that would have undermined a client's case, and then told the judge and opposing party that the missing documents had been in a briefcase that went missing when a burglar broke into the associate's car.

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

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

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

What is the basic difference between a prosecutor's duties under Brady v. Maryland and the duties under MRPC 3.8?

Brady requires prosecutors to turn over all material exculpatory information, while the Model Rules require prosecutors to turn over any information that tends to negate guilt of the accused or mitigate the offense, which is more inclusive.

Attorney specializes in estate planning. Besides being a lawyer, she is a certified public accountant. One of her clients hires her to prepare a will and handle the planning for a complex estate, which will involve creating two charitable trusts and other maneuvers for avoiding hefty estate taxes. The estate planning in this case involves some transfers to create the trusts in the current calendar year, which will be reportable on the current year tax returns. Client asks Attorney to prepare her tax returns for the current year, given that Attorney is handling all the estate planning, and already has all the documentation about the finances and assets of Client. Attorney agrees to prepare the returns as a C.P.A., and creates a separate retainer agreement with the client for the preparation of the tax returns, one that complies with all IRS requirements for tax preparers, and that stipulates this retainer shall be for accounting work, not legal services. Five years later, Client runs for Congress, and during a contentious campaign, a reporter asks Attorney how much Client paid in taxes in the year that Attorney prepared the tax returns. Attorney answers the question in detail. Client complains that this constitutes a breach of lawyer confidentiality, but Attorney defends her actions by explaining that the amount of taxes paid that year was information derived solely from her work as a C.P.A., under a separate retainer with due disclosures, and not as a lawyer. Who is correct here - Client, or Attorney?

Client is correct because the circumstances were such that the non-legal accounting services were not distinct from the legal services Attorney was providing at the time

Which of the following is NOT one of the most common alleged violations among grievances filed against attorneys in Texas?

Conflict of interest

What is the most frequently occurring enforcement mechanism for the rules regarding conflicts of interest?

Disqualification from representation at the request of the opposing party in litigation

Which of the following is one of the listed "law-related services" found in the official Comment to Rule 5.7, related to lawyers providing such services?

Environmental consulting

Which of the following best describes the first five steps, in order, of the Texas disciplinary process?

Filing of grievance with the Office of Chief Disciplinary Counsel, Classification, Response, Just Cause Determination, Election of Forum

Attorney represents Mr. Sharp in several contract dispute cases regarding services for which Mr. Sharp was paid but which were not provided. The local District Attorney's office recently indicted Mr. Sharp on offenses related to a financial investments fraud run by Mr. Sharp. Mr. Sharp retains Attorney for representation for his criminal case as well. During a meeting that Attorney had with Mr. Sharp to discuss his criminal case, Mr. Sharp tells the attorney in confidence about some financial transactions he made recently that are the cause of the criminal charges. Specifically, Mr. Sharp advises that he solicited and accepted money from Ms. Mayfield, a 75-year-old widow, for a financial investment company that did not exist. Mr. Sharp explained that his construction business ran into financial troubles and he used this scheme to obtain money to pay his construction company's expenses. Mr. Sharp explained that he would not do this again. What may Attorney do in this situation?

He cannot disclose the information because the client retained the attorney to represent him on the matter and the details provided are confidential.

What is the role of the Board of Disciplinary Appeals in Texas?

If an attorney facing a grievance does not elect a trial in district court, the judgment of an evidentiary panel may be appealed to the Board of Disciplinary Appeals, and an appeal from the Board of Disciplinary Appeals may be taken to the Supreme Court of Texas.

How does a contingent fee work, outside of plaintiff's personal injury cases?

In contract litigation, sometimes the lawyer's fee depends on the amount saved, rather than the award; in some stock offerings, fees depend on capital generated

Suppose the lawyer knows at the outset that the case is a sure winner - is a contingent fee proper?

In theory, a disciplinary board could conclude that a contingent fee is unreasonably high in a case involving zero risk for the lawyer, if such a case existed

"IOLTA" is an acronym for which of the following?

Interest On Lawyers' Trust Accounts

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

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

As mentioned in class, how many major malpractice insurers report that they have paid LPL claims over $100 million?

More than half

Which of the following is true about conflicts of interest, according to the Model Rules of Professional Conduct?

Most conflicts are waivable by clients, but only if the clients provide informed consent in writing, and there are three types of conflicts that are nonconsentable

As mentioned in class, what is currently the average hourly rate for defense counsel in legal malpractice claims?

Most pay more than $300 per hour

Client retains Attorney, who has represented Client in the past, to represent him in litigation in another state, where Attorney is unlicensed. The matter requires some knowledge of the law of the state where the trial will occur. Attorney files a pro hac vice appearance in the matter, which the local court accepts, and begins preparing for trial there. Attorney and Client never discuss the particulars of filing a pro hac vice appearance; nor did they discuss why it would be necessary. Client never asked if Attorney could practice law in the other jurisdiction, and Attorney never explained the licensing requirement and that he would need permission from the court there in order to handle the case. Attorney prevailed in the matter on behalf of the client, kept his agreed-upon contingent fee, and gave the client the remaining proceeds and unused retainer funds. Which of the following is true?

It was improper for Attorney to fail to disclose to Client that he was unlicensed in the other state and would need to file a pro hac vice appearance, especially given that the matter required some knowledge of local laws.

Most funding for legal aid clinics in the United States comes from which of the following sources?

LSC and IOLTA

What is the Legal Services Corporation?

LSC is a quasi-government corporation that receives an annual budget apportionment from Congress, which it then distributes to other entities around the country

Lawyer Laura worked at the Able & Bentley firm for 5 years and specialized in real estate during the last 3 years. Lawyer Laura has worked extensively on client Cain's properties in disputes that arose related to them. Before leaving the firm Laura handled a new real estate deal for client Cain that facilitated the erection of a new apartment complex. Lawyer Laura now works at Davis and Eldridge firm one of her first assignment in a case in which client set a new client of the first is suing cane over disputed right of way through the very property that now holds the new apartment complex. Seth and Cain are neighbors can lower represent clients set against her former client Cain?

Lawyer Laura may represent clients set if client came consent in writing to her doing so.

Of all the grievances filed against Texas attorneys each year, what are the most common alleged violations?

Neglect, failure to communicate, and improper behavior surrounding withdrawal or termination of representation

An attorney spent several years working for the state office of the attorney general in its environmental litigation division. While there, the attorney began a case against the scrap metal facility for burying toxic materials on the ground. The attorney then left government service and went to work for big firm. There the attorney began representing a group of neighboring land owners in a lawsuit against the same scrap metal facility over the same burying of toxic material as it had polluted groundwater and had migrated to adjacent properties underground. Is it proper for the attorney to represent these plaintiffs?

No a lawyer who has pursued a claim on behalf of the government may not pursue the same claim on behalf of the later private client after the lawyer has left government service except when authorized to do so by the government agency.

An attorney worked for several years for a federal government agency in regulatory enforcement. Big Firm then hire the attorney for substantially higher salary and the attorney accepted the position an left his government position. One of the attorneys first assigned cases that big firm was a new action by the client against the same government agency for which the attorney had previously worked. Defending against an enforcement action that the attorney had initiated while at the agency. While at the agency that the attorney had not been involved with the review and promulgation of any new regulations including the one at issue in the client's challenge but instead worked exclusively on enforcement litigation matters. The government agency refuses to consent to the attorneys representing the client who is the adverse party to the agency in this matter and seeks to disqualify big firm from representing the client. Is big firm subject to disqualification in the client's matter against the attorneys former employer?

No as long as big firm screens the attorney in time from any participation in the matter and provides the agency with prompt written notice about the screening measures in effect.

An attorney work for several years for a federal government agency in regulatory enforcement. Big firm then hire the attorney for substantially higher salary in the attorney accepted the position in left her government position. One of the attorneys first assigned case at big firm was a new action by the client against the same government agency for which the attorney had previously worked. The defense will involve challenging the constitutionality of a new regulation that the agency had recently promulgated. While at the agency the attorney had not been involved with the review and promulgation of any new regulations including the one at issue in the client's challenge. The government agency gives informed consent confirming in writing to the representation. Is the attorney nevertheless subject to disqualification in the client's matter against the attorneys former employer?

No because the appropriate government agency gave its informed consent confirmed in writing to the representation.

Attorney work for several years as a federal government agency in regulatory enforcement big firm then hire the attorney for substantially higher salary and the attorney accepted the position and left her government position one of the attorneys first assign cases that big firm was a new action by the client against the same government agency for which the attorney had previously worked. While at the agency the attorney had not been involved with the review in promulgation of any new regulations including the one at issue in the client's challenge. Is the attorney subject to disqualification in the client's matter against the attorneys former employer?

No because the attorney did not participate personally in substantially in the matter as a public officer or employee.

An attorney worked for several years for a federal government agency in regulatory enforcement. Big firm then hire the attorney for substantially higher salary and the attorney accepted the position and left her government position. One of the attorneys first assign cases at big firm with a new action by the client against conglomerate Corporation. The attorney had worked on an enforcement against conglomerate Corporation an learned confidential government information about the entity during the litigation but the attorney does not know and has no reason to know that the information is confidential government information. The attorney is under the reasonable impression that all the information she learned about conglomerate Corporation is now public information. The government agency gave its informed consent confirmed in writing to the representation is the attorney nevertheless subject to disqualification in the client matter against the attorneys of former employer?

No because the attorney does not have confidential information about conglomerate that she knows is confidential government information.

Attorney spent several years working for Big Firm in its business litigation division Is it proper for Attorney to represent the government in an enforcement action against his prior opponent, if the matter is substantially related?

No, a lawyer who has pursued a claim on behalf of a private client may not pursue the claim on behalf of the government, unless the appropriate government agency gives its informed consent, confirmed in writing.

Attorney represents Client in a civil suit. Client and Attorney often discuss their hunting trips and have gone hunting together on several occasions. Is Attorney subject to discipline?

No, attorneys are allowed to enter into fair and reasonable business transactions with clients as long as the client is informed in writing of the benefit of seeking advice from independent counsel and gives informed consent, in writing and signed by the client, of the transaction details.

Attorney, a partner at a law firm, prepares a will for Sister. In the will, Sister directs Attorney to receive a substantial part of her estate. Is Attorney subject to discipline?

No, attorneys are not prohibited from including gifts to themselves in a will prepared by an attorney for a person related to the attorney, even if the gift is substantial.

Attorney worked for Big Firm in their intellectual property Department specializing in patent applications in patent enforcement as well as some trademark disputes for clients unbeknownst to attorney the regular litigation Department at big firm undertook representation of a trucking company in defending against a personal injury lawsuit over a roadway accident involving one of the trucks. He worked in the Washington DC office of big firm near the United States Patent and Trademark office and the litigators handling the truck accident are in the firm's Dallas office each office of Big Firm has its own local computer network for sharing documents and files between lawyers there is it possible for lawyers at big firm to access the networks of other satellite offices however with a special login that most lawyer's never used. Attorney has never access the files of the Dallas office except for one trademark case 4 years ago attorney did not make partner at Big Firm so he left and went to work for a small plaintiffs firm in Kansas one of attorneys first case assignments was the same truck accident case in which big firm was defending trucking company attorneys new firm represents plaintiff in the case attorney was not aware of the case or that big firm represented trucking company until the new firm assigned him to the case as second chair on the litigation. Attorney subject disqualification in this matter.

No if a lawyer while with one firm acquired no knowledge or information relating to a particular client of the firm and that lawyer later joined another firm neither the lawyer individually nor the second firm are disqualified from representing another client in the same or a related matter even though the interests of the 2 clients conflict.

Attorney works for a firm she also describes herself as an outspoken advocate for the rights of unborn children. that is she passionately favors legal restrictions on abortion. A local abortion clinic asked the firm to represent it in litigation over recent zoning measures that would significantly limit its hours of operation and therefore the number of clients the clinic could accept. the firm agrees to the representation. Attorney firmly refuses to have any part in the representation, and though no formal screening measures are in place everyone else in the firm avoids discussing the case with her or around her because they are afraid of receiving another lecture about the wrongfulness of abortion. Early in the litigation the judge considers disqualifying the firm because it employees attorney who has a representation in the community for her advocacy against legalized abortion. Neither the clinic nor the opposing party provided written consent to a conflict of interest should the firm be subject to disqualification in this case?

No the firm should not be disqualified where one lawyer in a firm could not effectively represent a given client because of strong political beliefs, but that lawyer will do no work on the case in the personal beliefs of the lawyer will not materially limit the representation by others in the firm.

While preparing for trial, Client tells Attorney that he intends to lie on the witness stand. Attorney tries to dissuade him, but Client insists. May Attorney allow Client to take the stand and conduct direct examination of Client as a witness under these circumstances?

No, Attorney must either disclose the contemplated perjury to the tribunal, or have the client testify in a narrative mode without direct examination.

Client hired Attorney to handle several real estate transactions, and once the representation was underway, Client explains that the transactions are all part of a money laundering scheme and that the money ultimately is being used to fund terrorist activities. May Attorney continue with the representation, if each individual transaction appears to be technically legal?

No, Attorney must withdraw from representation if the client demands that the lawyer engage in conduct that is illegal

While preparing for a trial over workplace discrimination, the plaintiff's lawyer contacts an entry-level, night shift worker in the company's off-site warehouse, who supposedly told the frequent, shocking sex jokes that led to the "hostile environment" claim by female workers that became the subject of the pending lawsuit. The lawyer did this without the permission of the company's lawyer, even though he suspects the company's lawyer would have allowed it if he had asked. The warehouse worker has no supervisory authority, has never been to the corporate offices, has no authority to bind the company, and is now on suspension (unpaid leave) while the company does its own internal investigation of the allegations. Was the communication by the plaintiff's lawyer proper?

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

A lawyer knows that his opposing counsel has a reputation for refusing to settle cases and forcing lawsuits to go to trial, in order to impose the full costs of litigation on the opposing party. Cultivating this reputation serves as a deterrent to other would-be litigants against opposing counsel's clients. In order to avoid a rebuff by opposing counsel, the lawyer finds a close friend of the opposing party, and asks the close friend to communicate an informal settlement offer to the opposing party directly, bypassing the other lawyer. The opposing party is delighted to hear the offer and readily agrees to settle the case. Opposing counsel is furious and reports the lawyer for misconduct. The lawyer claims that he did not communicate with opposing counsels' client, but rather the friend did, so the prohibitions on contact with other parties would not apply. Is the lawyer correct?

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

A municipal election for a seat on the city council was very close one year, resulting in a run-off election that was ever closer. May Attorney represent both candidates in this negotiation?

No, a lawyer may not represent multiple parties to a negotiation whose interests are fundamentally antagonistic to each other, even in a negotiation.

After law school, Attorney worked for two years as a judicial clerk for a federal district judge. Is Attorney subject to discipline for seeking employment with firms that have pending matters before the judge for whom she works as a clerk?

No, a lawyer serving as a law clerk to a judge, other adjudicative officer, or arbitrator may negotiate for private employment in the manner described here.

The Supreme Court in a state adopted a new rule that doubled the number of CLE hours each lawyer must complete every year in order to maintain a license to practice law...A legal aid lawyer challenged the new rule on Constitutional grounds....Is the legal aid lawyer likely to prevail in this challenge?

No, as state courts have inherent authority to impose reasonable regulations on the lawyers practicing in their jurisdiction.

Attorney began her career as a prosecutor at the district attorney's office during her 10 years a prosecutor she brought charges against an individual suspected of sending ricin a deadly toxin in an envelope too prominent politician apparently in an unsuccessful attempt to assassinate the public official. The jury found the evidence too attenuated and acquitted the defendant shortly thereafter another person who is a member of a terrorist organization confessed to sending the ricin and provided extensive evidence of his plot to kill the politician to make a political statement. Ernie resigned from the district attorney's office partly out of humiliation over this case and went into private practice. 18 months later the accused individual decides to sue the government over wrongful arrest slander libel in a wrongful prosecution over the case in which he obtained an acquittal. Feels that her superiors at the D.A.'s office had pressured her into press charges in order to satisfy the public uproar over the rice and letters despite having gained scanty evidence that the accused individual was actually guilty attorney offers to represent the accused individual in his lawsuit against the government partly to make amends or atone for her role in what she now views as an abuse of government power and a great injustice would it be proper for attorney to handle this case given her good intentions?

No, a lawyer who his provide prosecuted an accused person could not properly represent the accused in a subsequent civil action against the government concerning the same transaction.

Two co-plaintiffs in a personal injury lawsuit hired Attorney to represent them in the matter. Will the written, informed consent to potential conflicts that each client signed be effective in this situation, so that Attorney does not have to withdraw from the representation?

No, advance consent cannot be effective if the circumstances that materialize in the future are such as would make the conflict nonconsentable, such as the assertion of a claim by one client against another client represented by the lawyer in the same litigation

Attorney sees Friend at high school reunion. Friend asks Attorney for advice about a possible civil lawsuit Friend is considering hiring an attorney to file. Attorney gives Friend general information about the area of law and about the particular kind of lawsuit an attorney will most likely file for Friend. Friend lives too far away from Attorney for Attorney to handle the case, and Friend is planning to hire an attorney near his residence to handle the lawsuit. Attorney later talks to his own wife about Friend's lawsuit. Wife discusses the suit with her own friend. Friend discovers that several people know about his potential suit and is upset, as he believed that Attorney was not allowed to speak about his potential case to others. Is Attorney subject to discipline?

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

A client repeatedly calls an attorney to discuss her pending divorce case. The client wants above-guildline child support, and a large percentage of the estate even though they were married only two years. The attorney repeatedly tells the client what he honestly believes she will receive but she is not happy. He eventually states "the court will decide". Are the attorney's actions proper?

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

An attorney, who often serves as a court-appointed mediator, was appointed to mediate the divorce case between a husband and wife. The case settled in mediation and the divorce was finalized soon after. A year later, the husband sought to retain the attorney to represent him in a modification suit against his wife. The attorney accepted the case and sent a letter to the wife advising her that the attorney had been retained by the former husband to represent him in a modification suit. Are the attorney's actions proper?

No, an attorney who previously served as a third-party neutral is required to obtain informed consent, confirmed in writing, form all parties to the proceeding prior to representing a party in a suit connected to the previous matter

An attorney, who often serves as a court-appointed mediator, received an appointment to mediate a divorce case. The divorce settled, and a year later the attorney took a case from the husband to sue his ex-wife. Is this proper?

No, an attorney who previously served as a third-party neutral is required to obtain informed consent, confirmed in writing, from all parties to the proceeding prior to representing a party in a suit connected to the previous matter.

Attorney worked for Big Firm for several years, during which he represented Conglomerate Corporation on several matters. The new matter was mostly unrelated to any previous work Attorney performed for Conglomerate Corporation. Is Attorney subject to disqualification in this matter?

No, as long as the appropriate government agency gives its informed consent, confirmed in writing.

Years ago, as a law student, the attorney worked on a case for the client during a law firm internship. Now, the attorneys firm is representing the defendant in a lawsuit in which the client is the plaintiff. The client's new lawyer moves to disqualify the attorneys firm from the representation when it learned at the attorney work for another firm on behalf of the client when the attorney was still a law student. Is the attorneys firm subject to disqualification in this case?

No, as long as the firm screens the attorney from any personal participation in the matter to avoid communication to others in the firm of confidential information that both the non-lawyers and the firm have a legal duty to protect.

A legal secretary in a law firm is married to the owner of an independent retail clothing store. The firm undertakes representation of a clothing wholesaler who is suing the same independent clothing store over non-payment for shipment of merchandise. The legal secretaries husband hires another firm to represent his store in the lawsuit and his lawyers asked the court to disqualify the legal secretaries firm because of her position there should be firm be subject to disqualification.

No, as long as the firm screens the legal secretary from any involvement in the case or from access to any confidential information about the case.

An attorney in a state that has adopted the model rules in their current form enters into a fee-sharing agreement with a lawyer admitted in Washington, D.C., which permits fee sharing with non-lawyers and multidisciplinary practices. They collaborate on a case and divide the fee as agreed even though attorney knows D.C. lawyer will share his fee with his firm, some of which are accountants. Is this wrong?

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

Attorney represents Company in a civil suit. Is Attorney subject to discipline?

No, attorneys are only restricted from having relationships with members of an organization who are directly or are regularly involved with the attorney concerning the organization's legal matters.

Parent retains Attorney to represent Defendant, who is Parent's 16-year-old child accused of shoplifting. Are Attorney's actions proper?

No, attorneys are required to continue a normal relationship with their client as much as possible, even if the client has diminished capacity.

Attorney represents Client, a non-relative of Attorney, in legal matters and has done so for many years. Is Attorney subject to discipline?

No, attorneys may include substantial gifts to themselves when preparing a will for a client if directed by a client, as long as the client receives advice from independent legal counsel and the gift is not solicited by the receiving attorney.

Husband and Wife wanted to hire Attorney to prepare their wills. Would it be proper for Attorney to proceed with representing Husband and Wife in preparing their wills?

No, because Attorney cannot violate the duty of confidentiality to Husband, which would be necessary in order obtain informed consent from Wife

Attorney works for a mid-size law firm that employs two or three law students every year as summer associates. The manager of the student associates assigns one of them to work on Attorney's pending antitrust case, in addition to assignments for other lawyers at the firm. While researching an important issue in the case, the summer associate discovered an older Supreme Court decision that was unfavorable to their client. The summer associate decided not to tell anyone about the case, as the opposing party seemed to have overlooked it in their briefs. Attorney was not aware of any of this. The hearing went well for their side, and the associate never said a word about "burying" that Supreme Court case he had found. After winning at the hearing, Attorney complimented the summer associate for his fine work and rewarded him by treating him to lunch at an expensive restaurant. The judge's clerks, however, found the case, and the judge queried the lawyers about how they could have missed it. Opposing counsel admitted he had been negligent in doing legal research on the matter, and summer associate then recounted how he hid the case from Attorney. Is Attorney now subject to discipline for what the summer associate did?

No, because Attorney did not know about the associate's conduct at the time it occurred, or while submitting briefs, or even when the hearing began

Attorney is a fifth-year associate at a large national law firm. As a senior associate, Attorney can attend business meetings of the firm, but cannot vote on any decisions. Attorney is aware that the firm has no measures in effect that would give reasonable assurance that the paralegals are observing the confidentiality and conflict of interest rules that are part of the professional obligations of lawyers. Attorney mistakenly believes, however, that the rules apply only to the lawyers in the firm, not to the clerical staff of paralegals. When a paralegal in a separate practice group from Attorney violates the rules and the state disciplinary authority investigates the firm's ethical compliance measures, will Attorney be subject to discipline?

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

Attorney has a firm in a state in which the attorney lacks a license to practice law. Attorney's legal work, however, consists entirely of representing local inventors before the U.S. patent and trademark office in D.C., either by correspondence or by traveling to appear there in patent proceedings. The attorney does no other legal work from his clients. Is he subject to discipline?

No, because Attorney is providing services authorized by federal law, which preempts state licensing requirements.

Attorney is representing a group of plaintiffs in a mass tort claim, and he hopes to obtain class certification so that it will become a class action lawsuit. Attorney sends letters to hundreds of potential class members inviting them to testify as witnesses. All the statements in the letter are accurate and are not coercive. Even so, he does not designate the letters as "advertising material" on the outside because each recipient is a potential class member of a lawsuit that is already underway, but not yet certified as a class action. Could Attorney be subject to discipline for sending these letters?

No, because Rule 7.3's restrictions do not apply to contacting potential class members as witnesses, so long as those contacts are appropriate and comport with the Model Rules

An attorney is a criminal defense lawyer. The court has appointed him to represent a defendant who has already given a full confession of the burglary to the police, after receiving several Miranda warnings....The lawyer explains to the defendant that he has almost zero chance of an acquittal, given the evidence against him ...Does the attorney have an obligation to ask the court for permission to withdraw from the representation?

No, because a lawyer for the defendant in a criminal proceeding may nevertheless so defend the proceeding as to require that every element of the case be established.

Client hired Attorney to represent Client in a litigation matter, but after he filed the notice of representation and the initial pleadings in the case, the opposing party hired Big Firm to represent it. Is it proper for Attorney to stall the progress of the case for a while, to allow time for the conflict either to disappear or for him to need to transfer the case to some other lawyer?

No, because a lawyer has a duty to make reasonable efforts to expedite litigation consistent with the interests of the client.

Attorney submitted a brief to the court arguing against the opposing party's motion for summary judgment. In his brief, Attorney never mentioned specific cases that were controlling authority in that jurisdiction and that were adverse to Attorney's position, because the opposing party's brief already discussed all adverse controlling authority. Has Attorney violated an ethical duty by writing such a one-sided brief?

No, because a lawyer in an adversary proceeding is not required to present an impartial exposition of the law.

An attorney worked for a corp. as in-house counsel. The CEO and CFO threaten to sue each other over allegations of slander, libel, trespass to chattel, and so on. Does this present a conflict of interest for the attorney?

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

A client hires an attorney to help with the legal docs necessary to liquidate most of his investments so that he has cash to fund a new business venture, a day trader. The attorney thinks this is a foolish idea. Does the attorney have an ethical duty to caution the client against his seemingly reckless decision?

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

An attorney, an associate at Big Firm, applied for a patent for a client and successfully obtained the patent. Three years later, another party sued the client for allegedly infringing on one of their patents. The attorney was a necessary witness in the patent infringement matter, and planned to testify on behalf of the client that the client had successfully obtained a patent to the invention in dispute. Two partners at Big Firm handled the representation of the client in the infringement case, pursuant to the client's written consent. Will the two partners at Big Frim be subject to disqualification from representing the client in the patent infringement case, if the attorney will be a witness about the original patent application?

No, because a lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness.

Attorney represented Client, who was suing his former employer over wrongful discharge. The former employer claimed that the termination was necessary because the job involved high-level security clearance, and the employer learned that Client had a prior felony conviction that Client had not disclosed on his job application. The phrasing of the question on the job application was confusing and a subject of dispute in the case. The former employer also claimed that they would have needed to terminate Client regardless of whether he was untruthful on his job application, because his prior conviction disqualified him from the necessary security clearance. During a preliminary hearing, the judge asked Attorney if it was true that Client had a prior conviction, and if so, what was the crime. Attorney conceded that Client had a grand larceny conviction in that jurisdiction and had served a two-year jail sentence, which was a matter of public record. Attorney then explained that their theory of the case was that the employer never clearly asked about prior convictions, and that the conviction actually did not disqualify client from the necessary security clearance for his position, but rather than this was a mere pretext for a racially discriminatory termination. Did Attorney violate his duty of confidentiality to Client by making this admission?

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

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

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

On his website attorney put, "I DO NOT REPRESENT CLIENTS IN CRIMINAL MATTERS OR DIVORCE MATTERS - PLEASE FIND ANOTHER LAWYER IF YOU ARE FACING CRIMINAL CHARGES OR NEED TO LEAVE YOUR SPOUSE." Is this improper?

No, because a lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law.

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

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

During trial, the plaintiffs complained that Attorney's client had not fully complied with certain production requests during discovery. The judge ordered Attorney to produce the specific records. Apart from any potential contempt-of-court sanctions, could Attorney be subject to discipline for violating the Rules of Professional Conduct?

No, because a lawyer may disobey an order from a tribunal when the lawyer has made an open refusal based on an assertion that no valid obligation exists.

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

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

An attorney suspects that another lawyer in his firm has violated the Rules in a rather serious matter, but has no first-hand knowledge of the situation - his suspicion rests on the fact that the other lawyer seems to be acting paranoid and evasive, and a number of strange coincidences have occurred in his cases. Does the attorney have a duty to report the suspicious lawyer?

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

Client hired Attorney to represent her in litigation over the custody of her children following a divorce. Client was concerned about her former best friend, in whom she had confided for many years about her struggles with substance abuse and mental illness. The former friend felt deeply moved by this entreaty and agreed to stay out of the litigation. Was Attorney's conduct proper?

No, because a lawyer may not request a person other than a client to refrain from voluntarily giving relevant information to another party, except for certain cases that do not apply here.

Attorney has always practiced exclusively in the area of business transactional work and has no litigation experience. Would Attorney be subject to discipline for including this provision in his agreement to represent Client?

No, because a lawyer may reasonably limit the scope of the representation, by informed agreement with the client, at the beginning of the representation, and refusing to do litigation is a typical limitation on the scope.

An attorney is representing a client who is a notorious celebrity-turned-criminal. The attorney is confused about whether he may publicly disclose information that he learned in confidence from his client if the information is already a matter of public record, and his research indicates there is a split of authority on this question. Is the attorney subject to discipline for disclosing confidential information about his client?

No, because a lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary to secure legal advice about the lawyer's compliance with the Rules of Professional Conduct, even when the lawyer lacks implied authorization to make the disclosure.

An attorney represented a newspaper publisher in a defamation case brought by a popular actor. A radio talk show invited the attorney to participate in their afternoon program and respond to calls from the radio listeners. The first caller aske the attorney to explain the case involving the superhero that the popular actor had played in a recent film. The attorney explained that the actor, and the legal name of the publisher the attorney represented. He also explained that the lawsuit was over alleged defamation by the newspaper, and that the newspaper planned to raise an affirmative defense of truth, that is, it would attempt to show that the stories it printed about the actor were factually accurate, even if they were unflattering. The attorney also mentioned that the actor owns a home and a business in the state, which is a matter of public record, and this is why the case is in the courts in that state. Did the attorney violate the Rules of Professional conduct by making these statements on a radio talk show program?

No, because a lawyer may state the claim, the defense involved, the identity of the persons involved, and matters in the public record.

An attorney represented a seller in a business transaction involving industrial equipment. When the deal was complete, the purchaser sent the attorney a check for $7,000, the agreed-upon purchase price, with a letter directing the attorney to forward the money to his client (the seller). The attorney notified his client immediately that the check had come in. The client was traveling at the time, and asked the attorney to hold the funds until he returned from his trip. The attorney had only recently opened his own firm and did not yet have a client trust account at any banks in the area, so he deposited the check in his own bank account temporarily. As soon as the check cleared, the attorney wrote a check to the client for the full amount, which the client picked up in person. Did the attorney act properly in this case?

No, because a lawyer must hold property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property

Client was an indigent defendant and received court-appointed counsel for his trial. The trial ended in a conviction. Attorney served as his appointed counsel in the case. Client wanted to appeal his conviction, but Attorney reasonably believes that there is no merit to an appeal. Was Attorney's conduct proper, according to the United States Supreme Court?

No, because a lawyer must prepare a brief referring to anything in the record that might arguably support the appeal, and leave it to the appellate court to decide whether the appeal is truly frivolous.

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

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

Client hired Attorney to represent him in litigation, and explained to Attorney his version of the incident that gave rise to the dispute with the other party. Attorney took notes on the account that Client provided, and drafted pleadings that alleged the facts as alleged by Client. Could Attorney be subject to discipline for undermining the integrity of the adjudicative process?

No, because a lawyer need not have personal knowledge of matters asserted in pleadings, for litigation documents ordinarily present assertions by the client, and not assertions by the lawyer.

A client hired an attorney to represent him in a simple real estate matter. The client seems evasive when asked questions, but gives all the necessary information. Attorney hears that clients frequently cavorts with prostitutes. Does the attorney have an ethical duty to inquire into the suspicious affairs of the client?

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

Attorney agrees to buy the successful law firm of a fellow attorney who recently succumbed to terminal cancer. The sale includes the office building, the library and furnishings, and the good will of the firm, and conforms to the provisions of Rule 1.7. The purchasing attorney pays $100,000, the agreed-upon purchase price, to the executor of the deceased attorney's estate, but the executor is not a lawyer. The funds for the purchase came from the contingent fees in a recent personal injury case won by the purchasing attorney. Was this transaction improper?

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

An attorney agreed to represent an applicant to the state bar - a recent law school graduate - in her hearing before the state bar admissions board, which had tentatively denied her application for making false statements on her bar application. The board formally requests the applicant and her attorney make full disclosures about the events in question to help resolve the matter. The client (bar applicant) explains the entire situation to her attorney, including some self-incriminatory information - it turned out that the applicant's misbehavior had been much more serious than the board was aware. The attorney did not disclose this new information, which would have made it much clearer to the board that the applicant lacked the character and fitness to practice law. Could the attorney be subject to discipline for this action?

No, because a lawyer representing an applicant for admission to the bar, or representing a lawyer who is the subject of a disciplinary inquiry or proceeding, is governed by the rules applicable to the client-lawyer relationship, including the duty of confidentiality.

A corporation consents to having the attorney who serves as its in-house counsel represent the corporation's officers and directors on matters related even tangentially to the company. The consent came by a vote of the shareholders. Can an attorney be subject to discipline for representing both a corporation and its officers or directors individually?

No, because a lawyer representing an organization may also represent any of its directors or officers, if the shareholders give consent

Attorney represented Client in a residential real estate transaction. Should Attorney be subject to disqualification under such circumstances?

No, because a lawyer seeking to represent an opponent in a class action does not typically need the consent of an unnamed member of the class whom the lawyer represents in an unrelated matter.

An insurance company retained Attorney to represent one of its policyholders (i.e., an insured) against a lawsuit. The insurance company that hired Attorney requires its retained counsel to follow its own litigation management guidelines, designed to monitor the fees and costs of the lawyers the insurer retains. The litigation management guidelines include the requirement of a third-party audit of legal bills. Although the guidelines usually serve the interests of both the insured and the insurer by keeping litigation costs low and expediting the resolution of the case, in this instance Attorney finds that the guidelines require tactical moves that are adverse to the insured's interests. The insurer claims that the insured impliedly consented to the guidelines by agreeing contractually in the insurance policy to "cooperate" during litigation. The insurance company hired Attorney for the case. Should Attorney comply with the insurer's litigation management guidelines?

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

Lawyer witnesses fight. Guys get arrested, one of them, while in the squad car asks for business card so he can hire attorney. May the attorney represent the arrestee in the criminal or civil proceedings that follow?

No, because a lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness.

An attorney is dating a woman whose sister works as a nurse in a hospital emergency room. The attorney gives the nurse, his girlfriend's sister, a stack of business cards and $200 for every referral. Is this proper?

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

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

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

Defendant was facing charges for a high-profile crime, and he was the subject of constant negative media coverage, strongly presuming Defendant's guilt. Attorney was the criminal defense lawyer representing Defendant. When a reporter asked Attorney for a comment on the case, Attorney replied, "The only one guilty of anything here is the media." Was Attorney's comment proper?

No, because a lawyer should not publicly express any opinion as to the guilt or innocence of a defendant or suspect in a criminal case or proceeding that could result in incarceration.

Client committed perjury on the witness stand during his trial, but Attorney did not know it at the time. Client won his case and there was no appeal of the verdict. Client boasts to Attorney after the representation ends that he successfully lied to the court and won the case as a result. Does Attorney have an ethical duty to remonstrate with the client or disclose to the tribunal that the perjury occurred?

No, because a lawyer's duty to take remedial measures after perjury occurs, continue only to the conclusion of the proceeding.

Attorney works as a prosecutor and brings charges against a defendant. Attorney clearly has probable cause for alleging that the defendant committed the crime, but he also doubts that a judge or jury will find that the evidence satisfies the standard of "beyond a reasonable doubt." Attorney brings the case anyway, and the defendant wins an acquittal. Has Attorney acted improperly, under the Rules of Professional Conduct?

No, because a prosecutor may bring charges as long as the prosecutor knows the charges are supported by probable cause

Ms. Mathis hired Attorney to represent her in a burglary charge. During a meeting with Attorney and with the understanding that any information would be confidential, Ms. Mathis advised Attorney about a murder she committed in which another person was on trial. Eventually, Attorney was able to negotiate a plea deal for Ms. Mathis on her burglary charge. Shortly after the plea deal was reached and Attorney's representation of Ms. Mathis concluded, Attorney discovered that the person who was on trial for the murder to which Ms. Mathis admitted was found guilty by a jury and sentenced to life in prison without the possibility of parole. Attorney contacted the District Attorney's office that handled the murder trial and left an anonymous tip stating that Ms. Mathis confessed to committing the murder. Was Attorney's conduct proper?

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

A prosecutor sees the backlog of prosecutions coming from his office and feels concern about whether all the cases will come to trial in time to comply with the Speedy Trial Act. In order to expedite some of the simpler cases, the prosecutor asks arrestees to waive their right to a pre-trial hearing, which saves up to a week due to scheduling complications, and allows the defendants' cases to come to trial sooner. Because most of the defendants in these cases are unrepresented by counsel, the prosecutor explains that they have a right to a preliminary hearing, but that defendants without a lawyer usually accomplish little or nothing at such hearings, and that the defendant will have a full trial at which to argue his innocence. He also explains that if the defendant believes he can win an acquittal, waiving a preliminary hearing might bring about the defendant's moment of freedom a bit sooner. Nearly all the defendants without representation agree to waive their preliminary hearings, which relieves some of the pressure on the local criminal docket and makes this more manageable for everyone. Is the prosecutor behaving properly in this regard?

No, because a prosecutor must not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing

Client is on trial for a theft case. Witness was with Client at the time police state that Client committed the crime at a location far from the crime scene. Client chooses to take the case to trial. For Witness's attendance at trial, Attorney pays Witness a lump sum amount. Are Attorney's actions proper?

No, because a witness cannot be paid to attend and testify at a hearing or trial.

Attorney had been representing Client in a purely transactional matter, drafting incorporation documents for Client's business as well as other commercial lease and sale agreements. Damage to Victim's expensive car that Client negligently scraped Victim's car

No, because absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly related

An attorney was a state hearing officer for the Workers Compensation Board. The attorney left that position and opened his own law firm, primarily representing parties before the state Worker's Compensation Board. One of the cases is the final rehearing of a case in which the attorney had presided as hearing officer at an initial preliminary hearing and rule on preliminary matters, but the attorney left the Board without issuing any final decision in the case and the Board transferred the matter to another hearing officer. The attorney represents the injured worker, the client, and the employer is Manufacturer. All the parties involved give informed consent, confirmed in writing, for the attorney to represent the client. Is the attorney subject to discipline for representing the client in this matter?

No, because all the parties involved provided informed written consent to the representation, despite the obvious conflicts of interest at stake

A client asked an attorney to represent him in a lawsuit. The attorney conducts some preliminary research and quickly discovers that the lawsuit is a very long shot. In fact, based on the attorney's survey of the existing judicial decisions in very similar cases, the attorney estimates that they have only a 15% chance of winning...The client is willing to take risks, and urges the attorney to take the matter. The attorney reluctantly agrees, on the condition that he can charge a somewhat higher fee. Could the attorney be subject to discipline for bringing a frivolous claim?

No, because an action is not frivolous even though the lawyer believes that the client's position ultimately will not prevail.

Attorney represents Client in a drug trafficking case. Client asks Attorney to deliver a package to a friend of Client. Are Attorney's actions improper?

No, because an attorney is not required to decline or withdraw from cases unless the client demands that the attorney engage in illegal conduct

Associate Attorney works at a law firm. The Supervising Attorney, who is a partner at the law firm, directs Associate Attorney to prepare a petition for a civil case. Associate Attorney contacts the client and discusses the facts of the case. Following Supervising Attorney's direction, Associate Attorney files the suit. Are Associate Attorney's actions proper?

No, because an attorney is responsible for any violations, including the filing of frivolous suits, even if directed to file such suit by a partner of the firm at which the attorney works

A would-be judge asked his former law school classmate, a practicing lawyer, to write a recommendation letter for him as part of his application and vetting process for a judicial appointment. The attorney obliged and wrote a glowing recommendation, entirely favorable, even though he personally knew that his friend (the one seeking to be a judge) was an alcoholic. Was is proper for the attorney to write such a letter?

No, because assessments by lawyers are relied on in evaluating the professional or personal fitness of persons being considered for appointment to judicial office, so expressing honest and candid opinions on such matters contributes to improving the administration of justice.

Attorney injured his back and leg badly in a car accident. In the aftermath, Attorney became chemically dependent on prescription pain medications. This addiction progressed until it began to affect Attorney's relationships and work habits. Attorney privately that he is considering shredding documents to hide some of his tax fraud from the IRS, which Attorney says he should not do, but worries that Client might do it anyway. May Attorney undertake the representation?

No, because at the moment, physical or mental condition materially impairs the lawyer's ability to represent the client.

During his closing argument at a bench trial, an attorney makes the following statements to the judge: "Your Honor, I know this client, because we grew up together and I have represented him in various legal matters for years. I know that he is an honest person who would never lie...." Was it proper for the attorney to make these comments during closing arguments?

No, because at trial, a lawyer shall not assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, or the credibility of a witness.

During opening arguments in a criminal trial before a jury, an attorney, who was representing the defendant, closed his statements by declaring, "my client is innocent; I know it in my heart. By the end of trial I am confident that you will agree with me that this is an innocent man." Are such comments proper for a defense lawyer to make during a trial.

No, because at trial, a lawyer shall not state a personal opinion as to the guilt or innocence of the accused.

Attorney represents Plaintiff in a civil suit. Defendant is also represented, but contacts Attorney to negotiate a settlement agreement. Attorney advises Defendant that he cannot discuss the case with Defendant because Defendant is represented by counsel. Defendant faxes Attorney a letter stating that he waives the rule restricting Attorney from communicating with Defendant while Defendant is represented. Upon receipt of the fax, Attorney contacts Defendant and discusses a settlement agreement. Are Attorney's actions proper?

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

Attorney works in a law firm with other attorneys. Attorney is handling a case for Client, and Client instructs Attorney not to share any of the case details or any of Client's personal details or information with other attorneys in the firm. While preparing for a hearing, Attorney goes to another attorney in the firm and discusses the case. Attorney advises the attorney with whom he discusses the case that Client would prefer that other attorneys in the firm not be involved in the case. Attorney uses the information and guidance provided by the other attorney to successful win the hearing. Are Attorney's actions proper?

No, because attorneys shall not discuss a client's case with other attorneys of the firm handling the client's case if instructed by a client not to do so.

Attorney, a solo practitioner who recently passed the bar exam, accepts Client's case for a flat fee of $3,000.00. Attorney's contract includes a statement in underlined and bold print that states the entire fee is non-refundable regardless of the outcome of the case or whether Client continues to retain Attorney through the finalization of the case. After several weeks with no movement on the case by Attorney, Client fires Attorney and hires other counsel to represent him on this case. Client sends a request in writing for reimbursement of the retainer. Attorney responds to Client by stating the funds are non-refundable and refuses to refund Client. Are Attorney's actions proper?

No, because attorneys shall refund unused portions of an advanced payment of fees and provide client with a detailed listing of fees deducted from the advanced payment, regardless of how long the attorney represents the client

A famous professional athlete faced charges for allegedly murdering his wife and her male companion one evening outside their Beverly Hills home. The defendant assembled a legal "dream team" of the five most famous criminal defense lawyers from around the country. One of the lawyers was in possession of a handwritten letter from one of the murder victims saying that a drug cartel had been making death threats against the victim for a few weeks. The defendant insisted that this would work a substantial hardship on him, because this particular lawyer was the only criminal defense lawyer in the county with an undefeated record - he had obtained acquittals in hundreds of criminal trials and had never lost a case. Should the court side with the defendant in this case and allow the lawyer to continue as part of his defense team?

No, because disqualification of the lawyer would not work substantial hardship on the client.

Three years into the litigation in a complex antitrust lawsuit, it became necessary to have the attorney, who alone represented the defendant corporation, testify as a witness at the trial. The attorney had been present at a private meeting between his client and an industry rival, at which they allegedly discussed a price-fixing scheme, and the testimony of the two rivals contradicted each other. The question of what occurred at the meeting was a hotly contested issue in the case, but was only one of many issues in the protracted, extremely complex litigation. The opposing party moved to disqualify the attorney from representing his client after the attorney took the stand to testify. Should the court disqualify the attorney from representation or from testifying as a witness?

No, because disqualification of the lawyer would work substantial hardship on the client.

Do state IOLTA programs violate the Takings Clause of the United States Constitution?

No, because even though the programs constitute a governmental taking, the Supreme Court has held that the compensation owed to an individual client is zero

Attorney represents Client, who is a defendant in a prosecution for rape. Client turned down several other experienced criminal defense lawyers who offered to take the case and hired Attorney to represent him. Attorney believes the court will allow him to withdraw from the case and that Client could easily hire one of the other lawyers to take over the representation. Is it improper for Attorney to withdraw from the representation, if he agrees with the objectives Client is pursuing (acquittal), but disagrees with the actions Client plans to take?

No, because even where the lawyer agrees with the overall objectives of the client, a lawyer may withdraw from a case if the client insists upon taking action that the lawyer considers repugnant.

Attorney is an Assistant U.S. Attorney (federal prosecutor) working for the Department of Justice, and he must prosecute the defendants arrested in a high-profile sting operation against a terrorist cell. Attorney faces tremendous political and media pressure to win convictions at any cost. Attorney argues with his supervisor that he is not subject to local ethics rules, as he is litigating exclusively in federal court in cases involving federal law, and that he should therefore be immune from state bar disciplinary proceedings. Is Attorney correct?

No, because federal statute, as well as Department of Justice regulations, subject federal prosecutors to the ethics rules of the state where such attorney engages in that attorney's duties

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

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

Attorney received a call from his cousin, who lives in another city, one evening after work. The cousin was serving on a jury in a misdemeanor criminal case, and deliberations were set to begin the following morning. The cousin explained that part of the jury instructions focused on whether the defendant committed the act "knowingly." Given that there was no time for him to research the subject, or to create an agreement for representation, and the fact that he had very limited information, Attorney offered the best explanation he could. Was it proper for Attorney to answer her question under these circumstances?

No, because he communicated with a juror about a pending case.

An attorney served as in-house counsel for a corporation, and uncovered illegal actions taken by a particular senior manager (not the Chief Executive Officer or any comparable officer or director, but an individual with decision-making authority and several direct subordinates in the organization). The senior manager had a reputation for being arrogant and unreasonable, and he and the attorney had clashed on several occasions and were barely on speaking terms. At the same time, the senior manager was exceptional in his area of expertise and was an asset to the company despite his unpleasant demeanor. The attorney summoned the nerve to confront the senior manager about the problem as graciously as possible, and the senior manager's initial response was to be dismissive, saying that he was unaware of any laws or regulations that he might have violated. The attorney walked away from the conversation discouraged and planned to take the matter up with the corporate officers, and perhaps the board of directors. Before doing so, he reconsidered and returned to the manager, and patiently explained to him the relevant laws and regulations that the manager had violated. The senior manager begrudgingly accepted the attorney's advice and took all necessary measures to rectify the wrongdoing and prevent any long-term repercussions. The senior manager also insulted the attorney, called him incompetent for not bringing up the matter earlier, and suggested that the attorney's incompetence was due to the attorney's ethnic background. Could the attorney be subject to discipline for not referring the matter of the illegal actions to a higher authority in the corporation?

No, because if the circumstances involve a constituent's innocent misunderstanding of law and subsequent acceptance of the lawyer's advice, the lawyer may reasonably conclude that the best interest of the organization does not require that the matter be referred to higher authority

At a press conference about the prosecution of a notoriously vice-prone celebrity, the prosecutor stated that the District Attorney's office had filed charges against the celebrity for shoplifting and drug possession. The prosecutor then said he had no further comments and took no further questions. Was it proper for the prosecutor to disclose such information about the case to reporters?

No, because in a criminal case, it is presumptively prejudicial for a prosecutor to state publicly that a defendant has been charged with a crime, unless he includes a statement explaining that the charge is merely an accusation and that the defendant is presumed innocent until and unless proven guilty.

Attorney defended Client in a criminal proceeding that attracted low-level media attention on the local evening news and a few local-interest blogs. One of these bloggers called Attorney at his office and asked for a quote about Client's case. Attorney stated that a member of the local clergy, as well as the Principal of the local high school, would testify as to Client's good character and volunteer activities. Was it proper for Attorney to discuss such things with a blogger?

No, because in a criminal matter, it is presumptively prejudicial for a lawyer to make extrajudicial statements about the expected testimony of a party or witness.

Attorney worked as in-house counsel for a petroleum refinery. One day, after weeks of stalemate in a round of collective bargaining, the refinery workers decided to go on strike to demand higher wages and more vacation time. The workers abandoned their workstations and picketed on the sidewalk in front of the building. Late in the evening, some of the picketers moved their protests onto the refinery compound, including some hazardous areas. The refinery was subject to substantial liability both to the injured individuals and faced fines from the federal labor board. Should Attorney be subject to discipline in this situation?

No, because in an emergency a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral to or consultation or association with another lawyer would be impractical.

An attorney faced a grievance over a client complaint regarding his neglect of the client's matter. The attorney knew that he had never actually agreed to represent the client, but instead had met with the client once, determined that he had a conflict of interest, and he had refused to represent the potential client by both oral and written communication. The client failed to hire another lawyer, and mistakenly (unreasonably) believed that the attorney she had met with was, in fact, representing her. Because he knew the case was without merit, he did not respond to the state bar when the disciplinary authorities requested a formal response from him. Ultimately, the client withdrew her complaint and the disciplinary authorities dismissed the grievance as frivolous. The board then commenced disciplinary proceedings against the attorney for failing to respond to its requests in the case it had dismissed. Was the attorney's refusal to respond permissible in this case?

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

Halfway through a trial, an attorney can tell that his client is going to lose. During a break, the client asks if they are going to win. Is it proper for the attorney to feign confidence in order to protect his client's feelings?

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

Attorney has advertisement placards on the sides of public transportation buses in his city. The signs read, "If your home suffered storm damage this year, you are entitled to full recovery! Call us now!" Attorney represents clients in claims against their homeowner insurance companies, who often deny claims for storm damage, at least initially. Attorney often wins at least a small settlement, if not full recovery costs, for his clients. Is this advertisement proper?

No, because it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading

An attorney located a witness who could corroborate his client's story. The witness, however, was afraid of retaliation from others if she testified, and did not want to be involved. The witness also lives 1,000 miles away and works as a waitress, so she cannot afford the travel expenses and lodging, and cannot afford to miss work, because she receives no wages if she does not work. The attorney offers to pay all the witness's expenses. The attorney then pays for airfare and pays to put the witness in one of the nicest hotels in the city, and pays for all of the witness's dining bills at expensive downtown restaurants. Was it proper for the attorney to offer to pay the expenses for a favorable witness to undergo the trouble of testifying at trial?

No, because it is improper to pay an occurrence witness any fee for testifying.

Partly out of a desire to impress a potential client during an initial consultation, and partly to reassure a potential client who was visibly upset about her pending criminal charges, the attorney said that he knew the judge in the case. He explained that they were close friends, former law school classmates, and that he could talk to the judge privately and "take care of the problem." Is it permissible for a lawyer to make such a claim to a potential client?

No, because it is professional misconduct for a lawyer to state or imply an ability to influence improperly a judge or to achieve results by means that violate the Rules of Professional Conduct or other law

A patient of a well-known doctor suffers complications after her surgery, and believes she is the victim of medical malpractice. The patient writes to a lawyer, describing a medical malpractice suit that the patient is contemplating, and she inquires about retaining the lawyer to represent her in the suit. The lawyer never responds. Eventually, many months layer, the statute of limitations expires for her claim. The patient then files a legal malpractice lawsuit against the attorney due to the failure to file a claim on the original case on time. Could the lawyer be liable for malpractice to the patient?

No, because it was not reasonable for the patient to have relied upon the lawyer, as the lawyer never communicated to the patient.

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

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

An attorney is a partner in a sever-lawyer firm. A client retained the attorney to handle his workers' compensation matter. The attorney did discuss with the client that he would normally disclose to the other partners in the firm some of the details about his cases and clients, and the client expressly forbade the attorney from telling anyone in his firm anything about his case. Nevertheless...the attorney explain the client's case and solicited input from the partners. Was it proper for the attorney to discuss the case with the others at the firm?

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

Attorney is a partner in a seven-lawyer firm. Client retained Attorney to handle his workers' compensation matter. Attorney did not discuss with Client that he would normally disclose to the other partners in the firm some of the details about his cases and clients. At the weekly meeting of the partners, as everyone discussed their pending cases, Attorney explained Client's case and solicited input from the partners. One partner had an ingenious suggestion that would have been very helpful to Client's case. Attorney mentioned to Client in their next phone call that one of his partners had made a brilliant suggestion that could turn the case in Client's favor. Client was upset that Attorney had discussed the case with anyone else. Is Client correct that Attorney should not have discussed the case with the others at the firm?

No, because lawyers in a firm may, in the course of the firm's practice, disclose to each other information relating to a client of the firm, unless the client has instructed that particular information be confined to specified lawyers.

A nonlawyer social worker contacts Attorney asking for advice about how to help poor tenants in the neighborhood in disputes with landlords over housing code violations and unreturned security deposits. The social worker also needs guidance about how to appeal an adverse decision from a welfare agency against one of her constituents. Attorney provides extensive advice on specific procedures the tenants can follow to have a court hold their rent in escrow until the landlords remedy the housing code violations, and explains how to file claims for unreturned security deposits plus treble damages. Attorney does none of the legal work, but explains to the social worker exactly what to do, and is available to answer follow-up questions by the social worker about how to complete the relevant legal forms and documents. Attorney coaches the social worker on how to represent her constituent at an administrative hearing as a nonlawyer representative. The landlord even meets with one of the social worker's constituents and explains how to proceed as a pro se defendant against a landlord in an eviction action. Several landlords trace the chain of excellent advice back to Attorney and file a grievance with the state bar, accusing Attorney of assisting others (especially the social worker) in practicing law without a license. Is Attorney subject to discipline?

No, because lawyers may provide professional advice and instruction to nonlawyers whose employment requires knowledge of the law, including social workers.

Attorney specializes in tax law, and primarily represents individuals and entities defending themselves against enforcement claims by the IRS. Attorney has a successful practice, but she would like to attract even more clients. She identifies potential clients, those facing enforcement proceedings, from public records and filings. She sends each one the following email: "ADVERTISING MATERIAL: Do you have problems with the IRS? I specialize in defending individuals and entities against tax evasion and delinquency claims, and I have decades of experience. For free information, visit my website or reply to this email. Advertising material." Is the tax lawyer subject to discipline for this email?

No, because lawyers may represent that they specialize in particular fields of law

Attorney practices commercial real estate law in the state capitol, but also provides legislative lobbying services for some clients, especially for firms seeking lucrative government contracts. For example, working on a retainer, Attorney successfully lobbied his state legislature to privatize most of its prison system, and to give his client the contract to operate the private prisons. His client continues to pay the retainer and Attorney continues to lobby for longer statutory minimum sentences for crimes, so that the private prisons remain full. Attorney uses a separate retainer agreement for lobbying work, which specifies that he is not representing the client as their lawyer, but only as a lobbyist, and is not providing legal advice or legal services under their agreement. Meanwhile, one of attorney's other clients faces charges of securities fraud and hires Attorney to handle his appeal, which includes arguing that the mandatory minimum sentences are unconstitutional. The criminal defendant signs a written waiver of the potential conflict of interest the Attorney has over the mandatory sentencing issue, but the Attorney fails to obtain a similar waiver from the private prison client on whose behalf he lobbied for the mandatory sentencing laws. If Attorney is successful in having mandatory sentencing laws declared unconstitutional on behalf of his criminal client, will he be subject to discipline for the conflict of interest with his lobbying client?

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

Attorney obtained a successful outcome in Client's matter, and Client was grateful. Is it proper for Attorney to accept this gift, or must Attorney refuse it?

Yes, a lawyer may accept a simple gift such as a present given at a holiday or as a token of appreciation.

An attorney used to work at Big Firm, and three years ago moved laterally to Medium Firm. One of the attorney's former colleagues at Big Firm also left and stated a solo practice. While working at Big Firm, the solo received and assignment of literary rights from one of his clients about the client's high-profile case, immediately after the end of the case and the conclusion of the representation. That client also assigned any remaining literary rights to Kingpin Publishers in exchange for a hefty payment. The solo is now suing Kingpin Publishers to establish exclusive literary rights in the story. The first attorney's current firm, Medium Firm, represents Kingpin Publishers, and the solo represents himslef. Another publish is interested in acquiring the solo's book or movie script and is funding the litigation expenses for solo...The case that gave rise to the literary rights occurred while both the solo and the first attorney were working together at Big Firm. The attorney performed some preliminary work on the case but the lawyer who is now the solo actually represented the client at trial. A paralegal at Big Firm is currently engaged to an editor at Kingpin Publishers...The attorney at Medium Firm is in a sexual relationship with another lawyer at his own firm, and both are working in some capacity on the case.....Does Medium Firm have a disqualifying conflict of interest in representing Kingpin Publishers?

No, because neither the attorney nor Medium Firm have any disqualifying conflict of interest in this case.

An attorney practices personal injury law, representing plaintiffs on a contingent fee basis. The attorney employs a paralegal to assist with preparing documents for litigation. The paralegal's salary arrangement is 10% of the firm's total net revenue each year. Is this wrong?

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

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

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

A business owner hires a lawyer to enforce a non-compete agreement against a former executive at the client's technology firm. According to the client, a rumor started going around just this past week that the former executive had either started his own business nearby or was consulting for a nearby competitor; if true, either scenario could violate the non-compete agreement. The client explains that the former executive has already asserted that the non-compete agreement is invalid under a recent decision from the state Supreme Court, and is filing an action for a declaratory judgment to challenge the non-compete agreement preemptively, though the client is unsure whether his company received proper service yet about the lawsuit. The lawyer decides that the first step is to call the former employee and ask him whether he has found another job yet or has started his own business. The former employee answers the phone, explains that he has started his own rival company, and that he believes the non-compete agreement is invalid under state law. The lawyer asks him to have his own lawyer contact him so that they can discuss possible settlement for the dispute. Has the lawyer acted properly?

No, because one can easily infer from these facts and circumstances that the lawyer actually knew the former employee had representation

An attorney represents a client in a commercial litigation matter against a small independent bookstore. It is known in the local business community that the opposing party has been on the verge of bankruptcy for the last two or three years....The attorney keeps filing motions for more time in discovery....the attorney thinks that the opposing party may have to close down and file for bankruptcy soon, which would make the opposing party's claims moot. Is it proper for the attorney to take this "time is on our side" approach to litigation?

No, because realizing financial or other benefit from otherwise improper delay in litigation is not a legitimate interest of the client.

Attorney agreed to represent Client, a foreign national living in the United States. Client explained to Attorney that he was a business owner who owned and operated several small grocery stores catering to immigrants from Client's home country. Nothing seemed suspicious to Attorney until they were about to consummate a deal on the purchase of a small parcel of commercial real estate, and Client insisted on paying with cash, arriving at the closing with duffle bags containing bundles of twenty dollar bills. The parties completed the sale and title transferred to one of Client's businesses, 7777777 LLC. Attorney was then suspicious that Client might somehow be laundering money through such transactions. Would it be proper for Attorney to inform the FBI about the transaction without Client's consent?

No, because the Rules of Professional Conduct do not mandate that a lawyer perform a gatekeeper role in this context, and mandatory reporting of suspicion about a client is in conflict with the duty of confidentiality.

An attorney works for a firm where another lawyer is representing the defendant in a personal injury lawsuit. The other lawyer has represented the defendant for a long time on unrelated non litigation matters but the personal injury lawsuit is a new case. The victim the plaintiff in the same personal injury lawsuit was a college classmate of the attorney and he asked the attorney to represent him in the litigation. The attorney has not learned any confidential information yet about the defendant from his fellow associate at the firm nor has the attorney learned any confidential information from the victim during their preliminary consultation. The firm decides to undertake the representation of the victim as well. The firm will carefully screened the attorney and lawyer from one another forbidding them to discuss the case with each other or anyone else in the office and ensuring that they do not have access to each other's files for the case. In addition and neither lawyer will receive a bonus from the fees received for this litigation. Under the Rules of Professional Conduct is it proper for the attorney to represent the victim given the circumstances?

No, because the Rules of Professional Conduct impute the conflict of the other lawyer to the attorney and screening procedures do not apply to conflicts between current clients

An attorney is a new associate at a law firm, and the managing partner assigns her a new case, in which the firm will represent two co-plaintiffs in a personal injury case. The attorney is concerned that a conflict of interest could arise between the two plaintiffs, and suggests that the firm should represent only one of them. The managing partner disagrees.

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

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

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

An attorney hires three new associates upon their graduation from law school in a neighboring state. The associates passed the bar in the neighboring state, but they are still unlicensed in the attorney's state. The associates confine their work to doing research, reviewing documents, and attending meetings with witnesses in support of the attorney, who is responsible for all the litigation. Is the attorney subject to discipline?

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

After a hurricane damaged hundreds of homes in a southeastern state, and attorney sent out letters to affected homeowners. He handwrote and addressed the letters and wrote "advertising material" on the top of the letter. Is this proper?

No, because the attorney did not include the phrase "advertising material" on the outside of the envelope.

A large corp. was under investigation by a gov. regulatory agency over possible violations of securities law. They hired an OUTSIDE lawyer to investigate their company. He finds that a high-level manager falsified records. Takes it up the chain of authority, they do nothing, can he turn whistleblower?

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

An attorney specializes in employment law. Congress passes new legislation. Attorney sends a letter to her former business clients offering to help them sort through the changes. Could the attorney be subject to discipline?

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

Attorney's brother is a physician. Attorney calls his brother and explains that his firm is not doing well, that he needs more cases, and asks his brother to use him as his lawyer for any medical malpractice actions he faces or any collection actions against patients who do not pay their bills. Attorney's brother finds this request annoying and reminds Attorney that he has asked him on several occasions not to pester him to use Attorney as his lawyer. Was it proper for Attorney to make such a telephone solicitation?

No, because the call involves contact with someone who has made known to the lawyer a desire not to be solicited by the lawyer

While conducting research on a litigation matter, Attorney finds a very new case from the highest court in a neighboring jurisdiction that is directly adverse to his client's legal position in the case. The issue presents a case of first impression in Attorney's own jurisdiction, where the case is taking place. The opposing party did not mention the case in its briefs, and Attorney realizes that the opposing party's lawyer has been recycling his firm's briefs for this type of case for several years without updating his research. Does Attorney have an ethical duty to disclose the unfavorable authority precedent to the court?

No, because the case is not controlling authority in that jurisdiction.

A client was with three friends in a car when a police officer stopped the vehicle. During the stop, the police officer found cocaine and marijuana in the vehicle. The prosecutor charged the client for possession of a controlled substance...The client takes a drug test at the attorney's recommendation. The drug shows the client negative for controlled substances, but positive for marijuana. The client tells the attorney he can share the results with the prosecutor. Did the attorney act properly?

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

A government entity provides grants to a legal aid office that represents indigent individuals. The government entity requires reporting of the names of clients, brief factual summaries, and the type of representation involved for all matters where the government entity's funds provided the financial support for the representation....Is it proper for the attorney to represent legal aid clients without obtaining their informed consent to the disclosures required by the funding agency?

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

Attorney agreed to defend Client in a lawsuit over the breach of an oral agreement to sell a particular breeding cow, which turned out to be already pregnant at the time the parties made their agreement. Would it be improper for Attorney to file the answer to the pleadings, asserting a mistake of fact defense?

No, because the client's defense has some basis in fact and law, even if it seems improbable in both regards.

After much effort, an attorney located a witness who could fully corroborate his client's story and could impeach the testimony of the opposing party's star witness. The witness however, was afraid of retaliation from others if she testified, and did not want to be involved. The attorney offered the witness $10,000 to appear at the trial for one afternoon...Was it proper for the attorney to offer to pay a favorable witness to undergo the trouble of testifying at trial?

No, because the common law rule in most jurisdictions is that it is improper to pay an occurrence witness any fee for testifying apart from expenses.

Attorney agreed to represent a tenant in an eviction proceeding in housing court. Client was facing eviction for nonpayment of rent. Attorney formalized his representation agreement with Client, and filed an appearance in the local housing court, where the eviction was on the docket. Ultimately, the court ruled in favor of the landlord and ordered the eviction of the tenant. Was it improper for Attorney to represent Client at the hearing after Client had discharged him?

No, because the court refused to grant Attorney leave to withdraw from the case, despite the Client's attempt to discharge the lawyer.

A small firm employs several associates who work under the supervision of the partners, as well as three clerical staff. The most recently hired associate has a complicated situation with his license to practice law. He qualified under all the normal requirements to practice law however, the legislature just passed a law to disbar any attorney whose parents were illegal immigrants. Attorney was flagged so he told the managing partners at his firm. Could the partners at the firm be subject to discipline for employing the associate as an attorney, despite challenging any such discipline in court?

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

An attorney represented a client in tort litigation against a pharmaceutical company over injuries allegedly resulting from one of the company's drugs. The court ruled certain evidence as inadmissible so the attorney met with a reporter and had them run an article with the evidence the day of jury selection. He was disqualified, and encouraged the client to appeal his disqualification even though it would not be in the client's best interests. Is this proper?

No, because the decision to appeal should be based entirely on the client's interests.

A prosecutor discovers a single item of evidence that partly undermines the state's case against a criminal defendant - the state's star witness in the case, the prosecutor learns, had a suspension from high school for an instance of egregious plagiarism. The prosecutor believes this is not material in that it would not change the outcome of the case, because the incident occurred ten years ago and the witness is now an undercover police officer-informant. In fact, the prosecutor believes it is trivial, and he is correct that the item would not fall under the duty of disclosure set forth by the U.S. Supreme Court in Brady v. Maryland. At the same time, the defense lawyer in the case has a reputation for making much ado about nothing, prolonging trials unnecessarily with tedious minutia. Prosecutor decides to keep the information about the high school suspension to himself and let defense counsel discover it on his own if he wants. Is this action proper for the prosecutor to take?

No, because the evidence tends to negate the guilt of the accused.

Client hired Attorney to represent him in a criminal matter. Client faces charges over corporate fraud that he perpetrated two years before when he was the Chief Financial Officer of a large, publicly traded corporation. Attorney learns during his interviews with Client that the fraud will have some far-reaching consequences for investors and another large corporation in the area, consequences that the prosecution and regulatory authorities have overlooked so far. Attorney realizes that if he discloses this information now, he could prevent substantial injury to the financial interests or property of innocent people, and that harm is reasonably certain to result otherwise. According to the Model Rules of Professional Conduct, may Attorney disclose the information in order to prevent this substantial injury to the financial interests of others?

No, because the exception that permits disclosure to prevent substantial financial harm to others does not apply when a person who has committed a crime or fraud thereafter employs a lawyer for representation concerning that offense.

Client hired lawyer to defend him in a criminal matter regarding the murder of Client's girlfriend. During Attorney's interviews and investigation for this case, he learns that Client has also been committing identity theft and credit card fraud, obtaining credit cards in the names of other individuals, and running up charges on the cards without paying the bills, so that the individuals whose names are on the cards will have to pay instead. Attorney urges Client to stop this practice, and Client merely laughs at him. Attorney continues his representation of Client and wins an acquittal on the murder charge. The representation is now over. May Attorney warn some of the individuals in whose names Client has obtained credit cards, according to the Model Rules of Professional Conduct?

No, because the exception that permits disclosure to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another applies only when the client has used or is using the lawyer's services in furtherance of the crime or fraud.

Attorney explains to Client that certain features of Client's business proposal would constitute money laundering under current federal statutes. Is Attorney a party to Client's course of action?

No, because the fact that a client uses advice in a course of action that is criminal or fraudulent of itself does not make a lawyer a party to the course of action.

An internet marketing company, GlomOn, advertises "daily deals" and permits users to receive frequent email notifications of daily deals that might interest them. GlomOn makes arrangements with local businesses to offer goods or services at discount rates to GlomOn subscribers. After a certain number of subscribers purchase a particular daily deal, GlomOn splits the proceeds with the local business, and the purchaser receives a code or electronic voucher with an expiration date. Attorney decides to use GlomOn to find new clients, and offers an online deal for $400 off a client's legal fees if they retain Attorney. Attorney honors these commmitments and resists the urge to raise his rates for GlomOn clients in order to offset the $400 rebate, so his GlomOn advertisements are not misleading in any way. GlomOn costs Attorney more than other internet advertisers. In fact, because GlomOn promotes Attorney's message to a large number of subscribers, and because GlomOn handles the processing of payments from the coupon purchasers, nearly the entire fee paid by GlomOn customers actually goes to GlomOn, not to Attorney. Could Attorney be subject to discipline for marketing his legal services through GlomOn in this way?

No, because the fee is reasonable, given the services that GlomOn provides to advertisers

Attorney made substantial financial contributions to the reelection campaign of an elected judge. The judge won reelection, and showed his gratitude to Attorney by frequently appointing him to represent indigent defendants at the state's expense. Attorney made the donations not because he hoped to receive such appointments, but because he honestly believed that the judge was the best candidate for the position. Attorney especially admired the fact that the judge had attended Harvard Law School and that the judge was an active member of the Federalist Society. Could Attorney be subject to discipline for accepting these appointments?

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

Client is represented by a lawyer in a law firm for a malpractice suit against a doctor. Is Attorney subject to discipline?

Yes, attorneys cannot provide financial assistance to their clients and this rule applies to other attorneys in the firm.

Attorney represents the family members of one of several people who died when a section of a sports arena collapsed. Attorney sent an investigator to talk to the property management company that operated the arena, and that conversation led the investigator to a former employee of the management company, who explained that he had lost his job for insisting that the property managers address some structural problems and maintenance issues in the part of the arena that eventually collapsed. The disgruntled former employee gave the investigator copies of reports he had submitted to his employer, the property managers. Later, the lawyers representing the property management company and the sports arena owners learned that this investigator had talked to their former employee, and asked the court to disqualify Attorney from representing the plaintiffs in the case. They based their motion for disqualification on the ex parte communication with their former employee and taking receipt of a copy of the internal reports about the arena's maintenance problems. Under the Rules of Professional Conduct, should the court grant the motion to disqualify Attorney?

No, because the former employee is no longer working for the property management company, and the reports are not privileged.

An attorney entered into an exclusive reciprocal arrangement with a local advertiser. The ad said he was an immigration specialist even though he never did any immigration work after getting his certification.... Then he stopped by an accident and gave out his card to one of the drivers. Was this proper?

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

Attorney represents a chemical manufacturer. A regional vice-president recently informed Attorney that there was an unfortunate chemical spill that released hundreds of gallons of toxic substances into a stream that ran into the town's nearby water supply reservoir. The spill occurred because a newly hired employee turned the wrong valve during a training exercise at the plant. Attorney explained that the corporation could face civil liability in either tort actions or regulatory actions by governmental entities at the state and federal levels, and urged the vice-president to report the spill immediately, if it was still unreported. The vice-president replied that they could not afford the negative publicity and the impact it would have on their share prices. He reminded Attorney that the upper management of the company received most of its compensation in the form of preferred stocks and options, so it seemed unfair to penalize them through a loss in share price, when the fault was some recently hired manual laborer. Attorney explained that he would have to withdraw from representation and would report the incident to the necessary public health officials, which he did, despite the vice-president insisting that this was confidential information. Is Attorney subject to discipline?

No, because the lawyer believed the company's disposal of waste products was likely to cause serious injury to others

Attorney represents a small business in an enforcement action brought by the National Labor Relations Board over violations of the laws protecting unionized workers. Attorney meets with the employees of his client, in groups of four or five at a time, and explains that there is litigation pending, that government lawyers are representing the NLRB, and that they should simply decline to discuss the case with anyone, especially lawyers from the government. Was it proper for Attorney to ask the employees not to talk to the other party?

No, because the lawyer could not reasonably believe that the employees' interests will not be adversely affected by refraining from giving such information.

Attorney represented Client as the plaintiff in a personal injury lawsuit and won a large settlement for Client. Attorney had represented Client on a contingent fee basis, with an agreement at the outset of representation to charge 30% of the total winnings or settlement amount. Client was very good-looking, and Attorney offered at the end of representation to discount his fee by another 10% if Client would pose for a photograph with Attorney for use in printed advertisements, with a quote by Client that truthfully expressed gratitude to Attorney for providing excellent representation in the case. The advertisement did not include any disclaimer explaining that not all of Attorney's clients were as attractive as the client who appeared in the photo. The advertisement also included a promise from Attorney "to provide the same type of excellent legal representation to you [the reader] as well." Was this advertisement proper?

No, because the lawyer effectively offered money to the client by giving a discount on the earned legal fees in exchange for appearing in the advertisement

A trial judge is going through a divorce, and he hired Attorney to represent him. Attorney's law firm partner is representing another client who is appearing before the same judge in his personal injury lawsuit. The Code of Judicial Ethics does require, however, that the judge disclose the representation to the litigants appearing before him, which the judge has refused to do at this time. Can Attorney continue representing the judge in his divorce?

No, because the lawyer is obligated to withdraw from the representation of the judge under these circumstances.

An attorney had a license to practice law in two jurisdictions - his home state where he lived and had his main office, and a neighboring state where he represented several clients each year. The attorney committed serious professional misconduct in his home state, and received a public reprimand from the state disciplinary authorities. He received a much harsher punishment in the neighboring state. He objects to the second punishment and raises double jeopardy concerns. Is the attorney correct?

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

Attorney solicits campaign contributions on behalf of an elected judge who is running for reelection. Attorney engaged in the solicitation of contributions for the judge's reelection campaign because he hoped to receive court appointments. The judge won reelection, but never rewarded Attorney by appointing him to represent indigent defendants at the state's expense. Could Attorney be subject to discipline for soliciting funds for a judge with such self-interested motives?

No, because the lawyer never received or accepted any appointments after soliciting the contributions

Husband and wife decide to divorce, and reach an agreement to share the same lawyer in order to save money. Would it be proper for Attorney to represent both in the divorce?

No, because the representation involves the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal

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

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

During the discovery phase of business litigation, Conglomerate Corporation receives a discovery request asking for "all documents, memoranda, emails, or other internal correspondence related to the transaction that is the subject of this dispute." Attorney represents Conglomerate Corporation. Proposed contracts, letters to business partners, and memoranda between managers all have their embedded metadata erased. Was it proper for Attorney to scrub the metadata from electronic documents before delivering them to the other party in response to a discovery request?

No, because the main reason for scrubbing metadata is to conceal information that might be useful to an opposing party or tribunal in the present litigation.

An attorney served as in-house council for a corp., and uncovered illegal actions taken by a particular senior manager. The manager is an a-hole. The attorney confronts him, manager is dismissive. Attorney confronts him again and the manager agrees to fix his mistake. Could the attorney be subject to discipline for not referring the matter to a higher authority?

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

Attorney previously represented Client in securing environmental permits to build a shopping center. Would it be proper for Attorney to represent the neighbors in this matter?

No, because the matters are "substantially related," as there is a substantial risk that confidential factual information that would normally have been obtained in the prior representation would materially advance the client's position in the subsequent matter, such as detailed reports about the potential environmental impact of constructing the shopping center.

A lawyer is representing the defendant in a highly publicized trial. On his way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. The lawyer explains that his client has a perfectly clean criminal record, while the state's star witness is already serving time on a felony drug conviction. In his personal opinion, he says, the client is innocent and should receive an acquittal, but he does not explain the defense theory of the case. The lawyer declares that he has his client's permission to talk to the media, which is true, and that the prosecution expressed no objection to him giving interviews like this on the courthouse steps in previous cases. Were the lawyer's statements proper?

No, because the official Comment to the Model Rules says that expressing an opinion about a party's guilt or innocence, or about the criminal record of a party or witness, is more likely than not to have a material prejudicial effect on a proceeding.

Plaintiff and defendant run into each other in the supermarket and start discussing the case. They are shocked at how long it's taking and how expensive it has become. They agree to settle the case right there. The plaintiff's council is irate and blames the defense council because he said in their initial consultation that P and D should just try to work this out on their own. Is he subject to discipline?

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

Attorney is a managing partner in a law firm, and owns $100,000 worth of stock in Conglomerate Corporation, the named defendant in a new antitrust suit. Would it be proper for the firm to represent the plaintiffs in litigation against Conglomerate Corporation?

No, because the personal interest of the firm's managing partner in Conglomerate is so great, relative to his earnings and assets, that there is a significant risk of materially limiting the representation of the plaintiffs in their cause of action against Conglomerate.

Attorney represents Client in a civil litigation matter. As they prepare for trial, at which Client will testify as a witness on his own behalf, Attorney realizes that Client is probably not going to tell the truth, even though Client insists he will be completely truthful. Attorney believes there is some chance that Client is indeed telling the truth, but he is about 70% certain that Client is being untruthful, despite Client's protestations. Does Attorney have an ethical duty to try to prevent Client from presenting testimony that Attorney believes is probably false?

No, because the prohibition against offering false evidence only applies if the lawyer knows that the evidence is false, and a lawyer's reasonable belief that evidence is false does not preclude its presentation to the trier of fact.

A prosecutor brought charges against a defendant for rape and murder, but only one witness could link the defendant to the crime, and that witness disappeared mysteriously while the defendant was out on bail awaiting trial. The prosecutor's case collapsed and the defendant won an easy acquittal, even though the defendant had confessed to the murder. The confessional turned out to be inadmissible because the police erred in failing to read the defendant all of his rights before taking his confession, which he later recanted. The prosecutor now has some evidence - less than probable cause but enough to be worth a try - that the defendant committed check fraud, so he brings charges in hopes that the attenuated charges will stick this time, and the dangerous murderer will be off the streets, regardless of the reason. Is the prosecutor in compliance with his ethical duties as a lawyer?

No, because the prosecutor in a criminal case shall refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause

Attorney heard that an acquaintance from law school, now also a lawyer, was the subject of a recent grievance before the state disciplinary authority for live telephone solicitation of prospective clients. Attorney called his acquaintance and offered to represent him in his hearing before the grievance committee, for a fee of $400 per hour, higher than the usual rate for such representation. Attorney's motivation was primarily for pecuniary gain, not concern for his former classmate. Could Attorney himself be subject to discipline for making this live telephone solicitation of his law school classmate?

No, because the prospective client is also a lawyer

An attorney faced disciplinary action over a client grievance. The disciplinary tribunal asked the attorney several probing questions about her handling of client funds. The attorney actually used some client funds to pay off a gambling debt, so she is less worried about a temporary suspension of her law license than about potential criminal charges for embezzlement. The attorney, therefore, invokes her Fifth Amendment privilege against self-incrimination and refuses to answer the questions. The disciplinary tribunal then determines that it lacks substantial evidence that the attorney mishandled client funds, but commences disciplinary proceedings over the attorney's refusal to answer some of its questions. Could the attorney be subject to discipline for refusing to answer the questions in this scenario?

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

Attorney practices in a small town in a rural area. His law firm's sign reads, "HOME TOWN ATTORNEY." Attorney's entire practice consists of representing local townsfolk. Other lawyers and law firms in the town use more traditional designations, listing the named partners on their signage and advertising. Could Attorney be subject to discipline for using this designation for his law firm?

No, because the sign is not misleading or untruthful, and a law firm may use a trade name instead rather than lawyers' personal names

Attorney grew up in a family that spoke the Maori language in the home. His law practice advertisements prominently state that he speaks Maori and can represent Maori-speaking clients. No Maori speakers live within 2000 miles of where Attorney practices. Is it improper for Attorney to include this language ability in his advertisements?

No, because the statement is true.

Attorney made substantial financial contributions to the reelection campaign of an elected judge. The judge won reelection, and Attorney thereafter received court appointments to represent indigent defendants at the state's expense, and over time these appointments turned out to be lucrative in terms of generating high legal fees. All appointments were made on a rotational basis from a list compiled without regard to political contributions. Attorney made the donations because he hoped to receive such appointments, and became wealthy as a result. Could Attorney be subject to discipline for accepting these appointments?

No, because the term "government legal engagement" does not include appointments made on a rotational basis from a list compiled without regard to political contributions

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

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

After obtaining a favorable verdict at trial, a client asked the court to award attorneys' fees which was permissible under relevant law. An attorney had represented the client throughout the litigation and now had to testify as a witness about the fees he had charged during the representing, authenticating, explaining, and justifying both the billable hours recorded on the timesheets and the lodestar rate for his legal services. Was it improper for the attorney to testify as a witness in the same proceeding in which he had represented a party as trial counsel?

No, because the testimony relates to the nature and value of legal services rendered in the case.

Attorney's law firm is simply "The Law Offices of [Attorney's name], Esq." Attorney specializes in courtroom litigation. He sees himself as a savior to his clients, who really appreciate his help. His website address is www.mytrialattorney.org. Attorney selected this domain name and registered it so that he could use it for his law firm's website. Is this website address/domain name proper for Attorney's law firm?

No, because the use of ".org" as the ending of the domain name suggests that the firm is a charitable legal aid clinic, so it is misleading

Client, a convicted felon, is serving a thirty-year sentence in prison. Client discharged the lawyer who lost his criminal trial, and recently hired Attorney to handle his appeal in federal circuit court. Attorney also filed the appropriate notice with the appellate court. Is Attorney subject to discipline for withdrawing from the case over Client's objection?

No, because the withdrawal of representation in this case presents no material adverse effect on the interests of the client

Attorney is a busy litigator. During one scheduling conference with the judge and opposing counsel, Attorney asked for a continuance of a particular hearing until a later date because she planned to be on vacation in Europe during that time. The judge and the opposing counsel agreed. On another occasion, three months later, Attorney asks another judge to reschedule a hearing so it will not fall on her anniversary...Was it improper for attorney to seek these postponements?

No, because there are occasions when a lawyer may properly seek a postponement for personal reasons.

A lawyer is representing the defendant in a highly publicized civil trial between two celebrities. On his way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. The lawyer explains that his client has agreed to take a polygraph test proving that he is telling the truth about the disputed matter, but that the opposing party has refused to take a polygraph test, which suggests that the other person is hiding something. The lawyer has his client's permission to talk to the media. Opposing counsel is standing nearby waiting for his turn to talk, and he expresses no objection to the first lawyer giving interviews like this, or to the lawyer's comments. Were the lawyer's statements proper?

No, because there is a presumption of prejudicial effect on the proceedings when a lawyer comments publicly about the performance or results of any examination or test or the refusal or failure of a person to submit to an examination or test.

Attorney seeks to represent a class of plaintiffs in a class-action lawsuit over lethal effects of a popular energy drink. Must Attorney obtain written consent of the unnamed class member before representing the second client in suing the unnamed class member?

No, because when a lawyer represents a class of plaintiffs in a class-action lawsuit, unnamed members of the class are not clients of the lawyer for purposes of conflicts rules; the lawyer does not need to get the member's consent before representing a client suing the person in an unrelated matter.

A lawyer is representing the defendant in a highly publicized criminal trial. On his way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. The lawyer explains that his client is still considering whether to enter a guilty plea to lesser charges, as the prosecutor's offer is still open, and that they are waiting to see how jury selection goes before deciding whether to plead guilty or proceed to trial. The lawyer also explains that his client has never actually confessed to the crime charged, despite several lengthy interviews with the police and the client's admitting that he was near the scene of the crime when it occurred. The lawyer has his client's permission to talk to the media, and the prosecution has expressed no objection to him giving interviews like this on the courthouse steps in previous cases. Were the lawyer's statements proper?

No, because there is a presumption of prejudicial effect on the proceedings when a lawyer comments publicly about the possibility of a guilty plea, or a party's refusal to confess to a crime

Client is an indigent criminal defendant and Attorney is his court-appointed counsel. The trial is taking place in a rural county where only a handful of lawyers practice law. Before appointing Attorney to represent Client, the court had tried to appoint five other local criminal defense lawyers, one after the other, but each was unable to provide representation due either to a conflict of interest or because their current caseload would have precluded them from providing competent representation. In fact, Attorney was the last lawyer on the court appointments list. Unfortunately, Attorney also needed to serve as a witness during part of the trial, in order to authenticate a piece of evidence, and the authenticity of the evidence was a matter of dispute in the case. In addition, Attorney realized that his testimony would radically contradict the testimony of his own client, though Attorney still believed he could obtain an acquittal by impeaching the prosecution's star witness. May Attorney continue to represent Client and testify as a witness in this matter?

No, because there is likely to be substantial conflict between the testimony of the client and that of the lawyer, so the representation involves a conflict of interest that requires compliance with the conflicts rules

During litigation, a judge issued an order that the parties could not transfer any assets out of the jurisdiction. Two weeks later, Attorney learns from Client's spouse that Client has transferred hundreds of thousands of dollars to secret offshore bank accounts in the Cayman Islands. Would it be proper for Attorney to do nothing and say nothing about the matter at this time, in order to protect the client's confidential information?

No, because this is a circumstance where failure to make a disclosure is the equivalent of an affirmative misrepresentation.

Client manufactures a new generation of magnetic-resonance imaging machines for medical diagnostics in hospitals. Would it be proper for Attorney to represent Hospital Administrator in this case?

No, because under the Rules of Professional Conduct, a lawyer could not properly seek to rescind on behalf of a new client a contract drafted on behalf of the former client.

A trial attorney agreed to represent a client in a high-profile criminal case, and asked at the outset for the client to give the attorney literary rights to write a book or screenplay about the case after its conclusion, in lieu of part of the attorney's normal fees. The client refused, so the attorney represented the client for his normal hourly rate. The evidence in the case was very unfavorable to the client, so the trial ended in a conviction and the client hired a different lawyer to represent him on appeal. At some point, the client told his appellate lawyer that the trial attorney had requested literary rights in the case at the outset of the representation. The appellate lawyer believed this was a violation of the Rules of Professional Conduct, and reported the trial attorney to the state disciplinary authority. When disciplinary proceedings commenced, the trial attorney maintained that he had not actually violated the Rules of Professional conduct, because the client had refused to grant him literary rights related to the case. He maintained that even if he had attempted to violate the Rules, he was unable to achieve his goals and therefore no actual violation occurred. Is the trial attorney correct?

No, because under the Rules, even an attempt to violate the Rules of Professional Conduct independently constitutes professional misconduct

Client hired Attorney to represent him in suing his employer for wrongful termination. Attorney proposed a fee arrangement that made the fees contingent on the outcome, and included in the fee agreement that Attorney would advance the costs of litigation. Attorney lost the case at trial, and Client then refused to pay back the costs that Attorney had advanced beforehand. Can Attorney force Client to repay the litigation costs that Attorney advanced to him?

No, because under the fee agreement, the client was only obligated to repay the attorney if they won the case.

Attorney has applied to make a lateral move from her firm to Big Firm, and has already gone through the first two of three rounds of interviews for the position. Is it proper for Attorney to undertake representation of Client in this case?

No, because when a lawyer has discussions concerning possible employment with an opponent of the lawyer's client, or with a law firm representing the opponent, such discussions could materially limit the lawyer's representation of the client.

A government agency contacts an attorney, who works as in-house counsel for Corporation, and requests a report about some of Corporation's activities that come under the agency's regulatory jurisdiction. As the attorney begins to investigate the matter to prepare the report, he learns that the information requested by the agency will subject the Corporation to significant regulatory enforcement sanctions, and if the information became public, would adversely affect the Corporation's share price. At this point, the agency has not issued a subpoena and compliance with the request is voluntary, although the agency could compel the disclosure eventually. The managers and directors of Corporation instruct the attorney not to submit the report until the agency issues a subpoena, in order to buy some time to mitigate their regulatory violations. May the attorney prepare the report and submit it to the agency at this time?

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

Attorney agrees to represent a group of three individuals in the same matter, a business transaction. Would Attorney be subject to discipline for performing this legal work before obtaining written consent to the conflict by each conflict?

No, it was not feasible to obtain or transmit the writing at the time the client gives informed consent, so the lawyer could obtain or transmit it within a reasonable time thereafter.

An attorney represents a client before a government agency that enforces securities regulations. As a part of the representation, the attorney must prepare an opinion concerning the legality of the securities registered for sale under the securities laws, for submission to the government agency, which requires such reporting....The attorney prepares the written opinion without the information the client asked him to withhold....The attorney prepares the written opinion and gives it to the client, who submits it to the agency. Is it proper for the attorney to follow the client's instructions in preparing this report?

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

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

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

Client hired Attorney to represent him in a divorce proceeding and custody battle over Client's children. At one point, Client explains to Attorney that if he loses custody of the children to his estranged spouse, he has detailed plans to murder the spouse and make it look like a suicide, so that he can regain custody of his children. Attorney believes that Client could plausibly carry out this plan successfully, and Attorney is reasonably certain that Client will indeed lose custody of the children in the current proceeding. May Attorney immediately warn the estranged spouse, the tribunal, or the police about Client's plan?

No, because whenever practicable, the lawyer should first seek to persuade the client to take suitable action to obviate the need for disclosure.

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

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

A client consults with an attorney, a solo practitioner, about a family law issue. The attorney has never practiced family law, but has spent his years as an attorney practicing strictly construction litigation issues. The attorney accept the case, as he is only handling a few construction litigation cases at this time and could use the money this case will bring to his practice. The attorney believes he can get advice on how to handle the case from attorneys in the area who practice family law, and with whom he has good relationships. Is the attorney subject to discipline?

No, even when a lawyer does not have to have prior experience to practice in a specific area of law, a lawyer can represent clients as long as they are able to provide competent representation.

Attorney made a lateral move to another firm in the same city where he already practiced. Attorney sent letters to area residents and businesses, whom he knew to be in need of legal services, announcing that he had gone to work for a new firm and had a new office address. The letter stated that he was excited about the new opportunities he would have at this firm to provide excellent legal representation to new clients in the city. Nowhere on the letter or envelope did Attorney include the words "Advertising Material." Could Attorney be subject to discipline for sending these letters?

No, general announcements by lawyers, including changes in personnel or office location, do not constitute communications soliciting professional employment from a client

Attorney specializes in intellectual property law, and regularly represents both inventors and venture capitalists in tech startup businesses. Is Attorney's standardized "waiver of future conflicts," when signed by new clients, likely to be effective in this situation?

No, if the consent is general and open-ended, then the consent ordinarily will be ineffective, because it is not reasonably likely that the client will have understood the material risks involved

An attorney interviewed an expert witness whom he thought he might hire to testify at a client's trial. The attorney explained he was meeting with several expert witnesses and would hire the one who he thought would seem most persuasive to the jury. The expert witness offered to work on a contingent fee basis...Would it be proper for the attorney to hire the expert witness under such terms?

No, it is improper to pay the expert witness a contingent fee.

A lawyer is representing the defendant in a personal injury trial between a celebrity plaintiff and a famous hotel, where the plaintiff claims to have suffered injuries due to unsafe conditions. On the way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. The lawyer explains that his client has already made renovations to the hotel to ensuer that no accident happen in the future, even though they do not admit liability in the present case. He also explains that if his client loses, his insurance company will simply pay the damages, and lawsuits like this make everyone's insurance premiums go up. The lawyer has his client's permission to talk to the media. Opposing counsel is standing nearby waiting for his turn to talk, and he expresses no objection ot the first lawyer giving interviews like this, or to the lawyer's comments. Were the lawyer's statements proper?

No, it violates the Model Rules for a lawyer to make public statements about information that the lawyer knows or reasonably should now is likely to be inadmissible as evidence in a trial and that would, if disclosed create a substantial risk of prejudicing an impartial trial.

Businesswoman hired Attorney to represent her in a tax dispute with the government, in which the government accused her of hiding assets in overseas accounts and failing to report income from certain obscure investments. Is Attorney correct?

No, matters are "substantially related" if there is a substantial risk that confidential factual information that would normally have been obtained in the prior representation would materially advance the client's position in the subsequent matter, such as personal financial information.

Attorney is representing two French restaurants located across the street from each other...Does attorney have a conflict of interest

No, simultaneous representation in unrelated matters of clients whose interests are not only economically adverse, such as...does not ordinarily constitute a conflict of interest and thus may not require consent of the respective clients

A lawyer is representing the defendant in a highly publicized trial. On his way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. They lawyer explains that the prosecutor already held a press conference in which she shared that the defendant had refuse to take a polygraph test, and that DNA tests had confirmed the defendant's guilt. The lawyer explains that polygraph tests are inadmissible due to their unreliability, and that the DNA results are in dispute and will be the subject of expert testimony at trial. He adds that the sleazy prosecutor has a habit of holding such press conferences to prejudice the proceedings before every criminal trial, and that it merely reveals that the prosecutor's cases are too weak to win on the merits without such stunts. His client, he says, is now guilty until proven innocent, which is a shame considering the serious criminal charges in the case. He also mentions that the state's star witness is a dangerous convicted felon who is testifying in exchange for early release from prison. Were the defense lawyer's statements proper?

No, such responsive statements should be limited to contain only such information as is necessary to mitigate undue prejudice created by the statements made by others.

Client hired Attorney to represent him in a criminal matter. Client faces charges for abducting a young girl from her home three months ago. Attorney learns from Client that Client indeed abducted the girl, that the girl is probably still alive and hidden in a secluded location, and that the child was left alone, locked in a car trunk, with some food and water two weeks ago when police arrested Client. Client refuses to disclose the location of the girl to authorities. There is a chance that someone may happen upon the car where the girl is trapped and help her. Does Attorney have a duty to disclose the location of the girl to authorities or the parents in order to save the girl's life? (Answer according to the Model Rules of Professional Conduct, NOT the Texas rules governing this situation).

No, the Rules of Professional Conduct do not require the lawyer to reveal the client's misconduct or the girl's location.

A client retained an attorney to represent him in a car accident case. The client sought to recover $5,000 for damage to his vehicle and a few medical expenses the client incurred because of the accident. The attorney failed to timely file a lawsuit for the client before the statute of limitations ran. After realizing that the suit was barred...The attorney sent the client a letter with a check for $20,000 and an agreement for the client to sign and return. The agreement stated that keeping the $20,000 check constituted acceptance of the agreement and that acceptance of the agreement included releasing the attorney for any malpractice claims against the attorney. Is the attorney's conduct proper?

No, the attorney must advise the client of the importance of obtaining advice of independent counsel and provide reasonable time for the client to obtain such counsel prior to settling a claim or potential claim for malpractice

Attorney represents several clients in various matters before the Federal Trade Commission. Is Attorney subject to discipline for sharing with new clients this information he learned during the representation of the other client?

No, the conflict of interest rules do not prohibit uses that do not disadvantage the client, so a lawyer who learns a government agency's interpretation of trade legislation during the representation of one client may properly use that information to benefit other clients.

A husband and wife are attending court ordered mediation with an attorney, who is serving as a neutral mediator. The husband is represented but the wife is not. The wife repeatedly asks the mediator for advice. He eventually says that she is getting a good deal. Is this proper?

No, the lawyer should decline to advise her, and instead explain more carefully the difference between the lawyer's role as a third-party neutral and a lawyer's role that would represent her.

Attorney previously represented Client in securing environmental permits to build a shopping center. Is Attorney subject to disqualification from representing Tenant?

No, the matters are not substantially related because they do not involve the same transaction or legal dispute, and the confidential information Attorney learned in the process of securing environmental permits prior to construction would not relate to the nonpayment of rent by a tenant a few years later, after the shopping center is operational.

On the same day, Attorney agrees to represent Undocumented Immigrant in a visa- revocation matter, as well Victim in a tort action (product defect) against an automobile manufacturer. Does the fact that advocating a legal position on behalf of one client might create precedent adverse to the interests of the other client create a conflict of interest, for which the lawyer must obtain consent from each client?

No, the mere fact that advocating a legal position on behalf of one client might create precedent adverse to the interests of a client represented by the lawyer in an unrelated matter does not create a conflict of interest.

While preparing for trial over workplace discrimination, the plaintiff's lawyer contacts the owner and CEO of the defendant corp. and interviews her about the day-to-day operations of the company without permission from their lawyer. The CEO knows nothing about the relevant facts of the case but does have authority to settle. Was this communication proper?

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

At a press conference about the prosecution of an accused serial killer, the prosecutor stated that the police arrested the defendant at the scene of one of the crimes soon after the crime occurred, at 11 pm on Saturday. Was it proper for the prosecutor to disclose such information about the case to reporters?

Yes, because a lawyer in a criminal case may state the fact, time, and place of arrest.

A group of several individuals seeking to form a joint venture asked Attorney to represent them in drafting the necessary documents and making the necessary filings with government agencies. May Attorney trust his professional judgment and proceed without obtaining separate consent forms from each person in the joint venture?

No, the situation is likely to limit materially Attorney's ability to recommend or advocate all possible positions that each might take because of his duty of loyalty to the others; representing the group's overall interests in effect forecloses alternatives that would otherwise be available to the client.

A state legislature enacted a statute that doubled the number of CLE hours each lawyer must complete ever year in order to maintain a license to practice law in the state. A legal aid lawyer challenged the new rule on constitutional grounds claiming that it was unduly burdensome to poverty lawyers...In the alternative, the lawyer claimed it violated the separation of powers. Is the legal aid lawyer likely to prevail in this challenge?

No, the state courts have exclusive inherent authority to regulate the lawyers practicing in their jurisdiction. (THIS SEEMS WRONG)

Attorney worked at Big Firm, which was disqualified from representing Client in a case because one of the other lawyers at the firm had a conflict of interest regarding a former client, and this conflict was imputable to the entire firm. Will the new firm be subject to disqualification now, because Attorney joined the firm from another firm that was subject to disqualification?

No, there is no doctrine of double-imputation that would impute a purely imputed conflict from Attorney onto the other lawyers in the new firm.

Attorney worked for several years as a city attorney for a large municipality in its employment litigation division, defending the municipality against employment- related lawsuits from city employees, including discrimination claims. Must the EEOC screen Attorney from such cases in the same way that a private firm would need to do under the Rules of Professional Conduct?

No, when a lawyer is employed by a city and subsequently is employed by a federal agency, the latter agency is not required to screen the lawyer.

Which of the following is NOT one of the reasons that a conflict of interest might be "nonconsentable" under the Rules of Professional Conduct?

One or more clients pay the lawyer lower fees than the other(s).

Which of the following is NOT in the list of "law-related services" found in the official Comment to Rule 5.7, related to lawyers providing such services?

Photocopying the transcripts of depositions and hearings

Attorney hired a second-year law student as a clerk. The law student is not licensed. Attorney has the law student perform a variety of tasks. Which of the following tasks, if performed by the law student, would mean that Attorney is subject to discipline?

Reaching settlement agreements with insurance companies before Attorney actually files any lawsuit in the matter.

As mentioned in class, what is currently the practice area generating the largest number of Law Professional Liability claims?

Real estate

An attorney is a fifth-year associate at a large firm, and is responsible for supervising the work of a first-year associate. The attorney, however, now spends most of his time in Singapore, trying to open a satellite office for the firm there to service on of its major corporate clients. Unbeknownst to the attorney the first year is overbilling.

The attorney is subject to discipline as a lawyer having direct supervisory authority over another lawyer who failed to make reasonable efforts to ensure that the other lawyer conforms with the Rules.

An attorney works as in-house counsel for a large international corporation and has daily contact with higher-level executives and managers. One day, a senior executive mentions casually to the attorney that he has offered lucrative stock options, worth millions of dollars, to a foreign government official who has agreed to give the firm an exclusive contract to provide certain goods and services to the foreign state. The executive seems to think this is normal and good for the company, but the attorney believes it constitutes bribery of foreign officials, which would violate the Foreign Corrupt Practices Act, and could subject the company to enormous fines and penalties. The attorney explains her concerns to the executive, including her concern that he could face personal criminal charges in addition to bringing liability on the corporation, and she reminds him that she represents the corporation, not him personally. The executive is dismissive of her concerns, even though she approaches him several times about the matter. How must the attorney proceed?

She should approach the executive's immediate corporate superior, advising those next up the chain of authority to stop the transaction and take appropriate actions against the executive involved

Attorney Adams is in house counsel for a large international Corporation and has daily contact with higher-level executives and managers. One day a senior executive mentions casually to attorney atoms that he is offered lucrative stock options to a foreign government official who has agreed to give the firm in exclusive contract to provide certain goods and services to the foreign state. The executive seems to think this is a good in normal for the company but Adams believes that constitutes bribery of foreign officials which would violate the foreign corrupt practices act. And could subject the company to enormous fines and penalties. The executive is dismissive of her concerned even though she approaches him several times about the matter how must attorney Adams precede?

She should approach the executives immediate corporate superiors advising those Next up the chain of authority to stop the transaction and take appropriate actions against the executive involved.

Comment 16 to Rule 1.7(b)(2) describes three examples of "conflicts that are nonconsentable because the representation is prohibited by applicable state law." Which of the following is NOT one of the examples of conflicts that are nonconsentable because the representation is prohibited by applicable state law?

State hate crime statutes prohibit a lawyer who shares the same protected status as the victim from representing the defendant in the criminal proceeding

As mentioned in class, what is currently the trend for the number of malpractice claims?

Steadily increasing

What is wrong with charging a contingent fee in a criminal case, according to the ABA Model Rules of Professional Conduct?

The Comments to the Model Rules do not articulate a clear rationale for this prohibition, but it is a longstanding tradition

What is currently the requirement under the Rules of Professional Conduct regarding lawyers having liability insurance for legal malpractice claims?

The Model Rules do not require lawyers to have malpractice insurance, but many states require disclosure to clients if the lawyer is uninsured.

Which of the following most accurately describes the Model Rules' treatment of in- person solicitations of prospective clients by lawyers and live telephone solicitations by lawyers?

The Rules treat live telephone solicitations the same as in-person solicitations

In Texas, which entity determines what constitutes the unauthorized practice of law in this state?

The Unauthorized Practice of Law Commission (UPC), subject to review by the Texas courts

Attorney is 60 years old and owns his own firm. He hires New Partner, a younger lawyer, to help manage the growing caseload. The partnership agreement provides that after Attorney retires, at age 65, the firm will pay him $5000 per month as a benefit as long as Attorney does not re-enter law practice anywhere. Which of the following is true regarding this partnership agreement?

The agreement is proper, according to the Rules of Professional Conduct.

The attorney had switched to cloud computing, meaning that their firm pays a monthly fee to store all their spreadsheets and documents in an Internet-based database or archive. This protects client information and case documents from being lost whenever a computer crashes.

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

An attorney is a second-year associate at a law firm with no supervisory responsibilities. He learns that another second-year associate is working on a case in which the client is suing a company that the other associate used to represent at his previous firm, and the attorney suspects it is a substantially related matter. No one ever discusses the case nor screens the attorney.

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

The attorney is an associate at a small firm, and her supervising partner instructs her to draft pleadings in a case for a client. The supervising partner knows that the statute of limitations has already run on the claim, and that the client had virtually no factual evidence to support the claim in any case. However, the partner believes the opposing party will want to settle the claim quickly for a modest sum.

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

An attorney is an associate in a litigation firm representing plaintiffs. In her current case, her supervising partner instructs her to assert that the defendant had an affirmative statutory duty to protect the plaintiff's interests, even though the attorney can find no statute to support this assertion. The senior partner tells her that it is a bogus claim but that the other side will likely settle quickly.

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

At a press conference about the prosecution of an accused serial killer, the prosecutor stated that the defendant was single and lived with his mother in a particular apartment complex in the city, and that the defendant worked as a butcher. Was it proper for the prosecutor to disclose such information about the case to reporters?

Yes, because a lawyer in a criminal case may state the identity, residence, occupation, and family status of the accused.

An attorney is a partner in a medium size firm. Another partner at the firm, the managing partner, is responsible for implementing policies and procedures to detect and resolve conflicts of interest, to account for client funds, and property, to ensure that inexperienced lawyers receiver proper supervision. The managing partner now spends most of his time in Singapore.

The attorney is subject to discipline as a partner in the firm for failing to make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm follow the rules.

An attorney worked for a corporation as in-house counsel. The attorney discovered that the Chief Financial Officer falsified the corporation's quarterly earnings report in order to prop up the firm's share price, as the CFO's compensation is partly in stock options. The attorney knows that these misrepresented earnings appeared in the filings to the Securities and Exchange Commission, and will eventually result in severe regulatory fines or civil liability for the corporation. The attorney thus reasonably believes that the violation is reasonably certain to result in substantial injury to the organization. The Chief Financial Officer hired the attorney, and he directly supervises the attorney in the organizational chain of command. The attorney confronted the Chief Financial Officer, but this proved unfruitful, and then the Chief Financial Officer discharged the attorney. What should the attorney do in this situation?

The attorney should proceed as the lawyer reasonably believes necessary to assure that the organization's highest authority is informed of the lawyer's discharge.

An attorney worked for a corporation as in-house counsel. The attorney discovered that the Chief Financial Officer (CFO) falsified the corporation's quarterly earnings report in order to prop up the firm's share price, as the CFO's compensation is partly in stock options. The attorney knows that these misrepresented earnings appeared in the filings to the Securities and Exchange Commission, and will eventually result in severe regulatory fines or civil liability for the corporation. What should the attorney do in this situation?

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

According to the official Comment to Rule 1.13 of the Model Rules of Professional Conduct, when it is reasonably necessary to enable the organization to address the matter in a timely and appropriate manner, a lawyer must refer the matter to higher authority. This includes, if warranted by the circumstances, the highest authority that can act on behalf of the organization under applicable law. Ordinarily (unless applicable law specifies otherwise), which of the following would be an organization's highest authority to whom a lawyer might refer the matter?

The board of directors or similar governing body

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

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

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

The determination of an ethical violation does not automatically mean that the attorney would be civilly or criminally liable.

The American Liberties Foundation, a tax-exempt 501(c)3 nonprofit corporation, hired Celebrity Attorney to represent a class of defendants who want to eliminate federal decency standards that prohibit frontal nudity and pornographic sex scenes on broadcast television, as promulgated and enforced by the Federal Communications Commission. Celebrity Attorney prevailed in the case, winning the class members the right to broadcast pornography to school-age children on broadcast television in the afternoon. The court also awarded substantial attorney fees to the prevailing party in the case. Celebrity Attorney shares the fees with the American Liberties Foundation, and gives 85% of the fees to the nonprofit. Which of the following is true about this action by Celebrity Attorney?

The fee-sharing arrangement with the nonprofit entity is proper

Attorney has a license to practice law in New York, but she is living in Texas and is practicing law in Texas out of her own firm office in Huntsville. What is the position of state bar regarding this situation?

The jurisdiction of the State Bar of Texas does not permit it to take disciplinary action for any violation of the Texas Disciplinary Rules against any person who is not licensed to practice law in Texas or who is not specially admitted by a Texas court for a particular proceeding

A partner gives an associate the typed notes from a previous client interview conducted by the partner, and the associate has the task of drafting a complaint for a personal injury lawsuit based on the allegations in the notes. The associate has no direct contact with the client, and does not really have any way to verify whether the notes represent everything discussed in the interview, or whether the allegations are factually accurate. Attorney submits claim, turns out allegations were frivolous.

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

An attorney works at the state Public Defender office. Due to their insufficient funding and the overwhelming number of indigent defendants in her city, her caseload is so great that she cannot do adequate investigation into any of her client's cases. Her supervisor is aware of her overwhelming caseload but insists she take on more cases.

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

Lindsey is a single mother working as a cashier in the liquor store she is behind on her rent and her landlord has provided written notice of his intent to evict her from her apartment. A complicating factor in the eviction is that the landlord did not fully honor the terms of the least regarding conditions in the apartment parking lot. She meets with the lawyer for free initial consultation but realizes she cannot possibly afford the lawyer's fees so she leaves and start planning to move home with her parents. To her surprise the lawyer called her the next day and offers to represent her free of charge and she returns to the office in science or retainer to this effect. Unbeknownst to Lindsey a regular customer at the liquor store Richard is infatuated with her and having learned of her plight Richard contacted the lawyer in offered to pay all the fees for the lawyer's representation of Lindsay on the condition that Lindsay never know about it. Wants to keep Lindsay in the neighborhood so that he might someday win her affections under the model rules how should the lawyer handle this situation?

The lawyer absolutely cannot represent Lindsey without obtaining her written consent even though she would receive free legal help in the lawyer would represent her diligently.

A lawyer who has previously done only residential real estate closings agreed to represent a new client in a complex estate planning matter for a client who owns numerous residential and commercial properties. The estate assets also include numerous securities and an art collection....The lawyer competently handled the disposition of all the real property within the client's estate except for one small parcel of commercial property...What adverse consequences could the lawyer face for his mistake?

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

Unable to find a convincing defense for his criminal client, the defense lawyer began to think about desperate measures. He felt an overwhelming duty to rescue his client form a long prison sentence, no matter what....Did a TON of things wrong...

The lawyer could face discipline for the press conference, for raising the entrapment defense, for the request to have additional time, and for raising the constitutional claim.

A lawyer represents one of his former college roommates in litigation over a dissolved business partnership. The client had formed a business partnership with another of their college classmates after graduation, and the dissolved partnership is now the subject of an acrimonious legal dispute. After an incident regarding an attempted ex parte contact, the judge sternly admonished both lawyers against contacting the judge or the opposing party about the case without the other lawyer present. Now, however, the ten-year reunion for their graduating class is two months away, and the lawyer and the opposing party (the other classmate) are both on the Alumni Association's reunion committee. The lawyer calls the opposing party to discuss arrangements for the upcoming reunion banquet, but does not mention the pending litigation at all. Opposing counsel overhears his client talking to the lawyer and reports it to the judge, accusing the lawyer of violating the Model Rules by talking to his client without his consent. Is the lawyer subject to sanctions of discipline for talking to the opposing party, represented by counsel, without opposing counsel present?

The lawyer is not subject to sanctions or discipline because the communication was about a matter outside the representation

Mrs. Kramer met with a lawyer to discuss a physical assault by her estranged husband, who had broken into the house of Mrs. Kramer's friend, where Mrs. Kramer was now living to avoid contact with her husband, and had assaulted her, leaving minor injuries and damaging some of her personal property. The husband appeared in the lawyers office the next day. What sanction could the lawyer face because of this dual representation?

The lawyer is subject both to discipline and to disqualification for violating the Model Rules, as the parties are directly adverse in the same proceeding.

Aaron a college sophomore is facing criminal charges related to a drunk driving accident the previous night to his great relief Aaron's parents visit the firm of lawyer Lucas and retain him as defense counsel for their son agreeing to cover all fees and expenses criminal charges in this case allow for jail time or hefty fines as potential punishments. The prosecution offers a plea bargain a 2000 dollar fine a few hours of community service and 6 months probation but no jail time air in the defendant is thrilled but his parents insist that lawyer Lucas decline the plea bargain and go to trial which Lucas's certain will result in a conviction in a short jail sentence. The parents believe the short jail term will be good for their son and teach him a lesson and paying the $2000 fine on top of the lawyers' fees will force them to forgo their vacation plans that year. A loud argument ensues in the conference room between the parents in the air and over the best course of action how should Lawyer Lucas precede?

The lawyer must follow the decision of Aaron who is his real client and except the police he should have explained to the parents in advance that they could not control the case even if they paid his fees.

n Texas, an attorney facing discipline can elect whether to have his complaint tried before an evidentiary panel or in district court. Which of the following best describes the attorney's tradeoff in making this election decision?

The lowest form of sanction, a private reprimand, is available only if the complaint is before an evidentiary panel; but a jury is available only in district court, as are many of the evidentiary exclusions and procedural protections of court adjudications.

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

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

How does enforcement of the rules pertaining to safeguarding client funds or property differ from enforcement of other professionalism or disciplinary rules?

Unlike its reactive enforcements of other rules, the state bar actively audits firms to catch violations of the rules about handling client funds

The attorney represents a sophisticated business client in a litigation matter. The attorney wants to hire an outside non-lawyer investigator/paraprofessional to help find and develop evidence and witnesses for the case. The client wants to hire a company he is familiar with.

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

An attorney is a partner in a newer law firm that has no effective measures in place to ensure that lawyers in the firm conform to the Rules of Professional conduct.

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

An attorney represented Small Business Associates while working at big firm her first law firm after law school. When the attorney did not make partner at the firm she ended her employment there and started her own new firm? The attorney took some of her clients with her including Small Business Associates whom she continues to represent big firm no longer has Small Business Associates as a client. Firm then agrees to represent Conglomerate Corporation in a trademark infringement case against Small Business Associates the first such case that the latter has ever faced. Can big firm represent Conglomerate Corporation in a case against its former client Small Business Associates?

Yes as long as the matter is not the same or substantially related to that in which the attorney formally represented the client; and no lawyer remaining in the firm has a confidential information about Small Business Associates from when the attorney represented them at that firm.

Big firm then scheduled an employment interview with the attorney at the end of which they offered to double his salary if you left the agency and accepted a position at big firm. The attorney decided to postpone making a decision until the pending agency enforcement matters against big firms client were complete. In order to avoid the appearance of a conflict of interest. The matters dragged on for another year however and a big firm eventually withdrew its offer is the attorney subject to discipline.

Yes because a lawyer currently serving as a public officer or employee shall not negotiate for private employment with any person who is involved as a party or as a lawyer for a party in a matter in which the lawyer is participating personally an substantially.

Client hired Attorney to represent her federal court litigation, defending against antitrust enforcement actions by the Federal Trade Commission and the Department of Justice. Attorney adopts a "quagmire" strategy, burying the government lawyers in several dozen motions to limit or compel discovery, to compel admissions or stipulations, to limit the admissibility of certain evidence or witness testimony, and so on. Could Attorney also face sanctions or penalties under federal law, if the state bar rejected the complaint?

Yes, a federal statute authorizes federal courts to require a lawyer to pay all the excess costs, expenses, and legal fees incurred because of the lawyer "unreasonably and vexatiously" multiplying the proceedings

An attorney worked for several years for federal government agency in regulatory enforcement. Big firm then hire the attorney for substantially higher salary in the attorney accepted the position and left her government position. One of the attorneys first assigned cases that big firm was a new action by the client against conglomerate Corporation. The attorney had worked on enforcement against conglomerate Corporation and learned confidential government information about the entity during the litigation. The government agency gives it informed consent confirmed in writing to the representation. Is the attorney nevertheless subject to disqualification in the client's matter against the attorneys former employer?

Yes the attorney has confidential government information about a person acquired while working for the government agency and therefore may not represent a private client whose interests are adverse to the person in the matter in which the information could be used to the material disadvantage of that person.

Attorney represented husband 20 years ago in a divorce with the husband's 1st wife. Husband is a well-known local celebrity a retired professional athlete who became a semi successful actor in an outspoken advocate of a radical political cause. Recently husband's 3rd wife approached attorney asking him to represent her in obtaining a divorce from husband there are no children from the marriage in the distribution of assets will follow the terms of a carefully drafted prenuptial agreement between husband and his third wife which husband new lawyer drafted for them. Husband long ago provided written informed consent for future conflicts of interest if attorney represented another party with adverse interests to husband attorney does not believe that any confidential information learned from representing husband 20 years ago and his first divorce will be relevant to the pending third divorce on the other hand there is regular media coverage of husbands trysts and on and off sexual relationship with various actresses and female socialites in the area in marital infidelity could trigger certain exception clauses in the prenuptial agreement can attorney use the information about the husband's recent indiscretions in representing the third wife?

Yes the fact that a lawyer has once served a client does not preclude the lawyer from using generally known information about that client when later representing another client.

Lucille Bluth hires attorney Wayne Jarvis to represent her and her family in a complex federal case involving the family business in charges of securities fraud and racketeering. Early in the representation, Lucille in the lawyer Wayne start dating and become sexually involved. Is the lawyer subject to discipline for this relationship?

Yes unless the sexual relationship predates the beginning of legal representation the lawyer absolutely cannot represent a client with whom he has such a relationship.

Business Manager and Shift Supervisor, who worked at a customer service call- center, became co-defendants in a lawsuit by a disgruntled former employee. Would it be proper for Attorney to continue representing either Shift Supervisor or Business Manager, but withdraw from representing the other?

Yes, Attorney can probably continue representing Shift Supervisor but not Business Manager, given the nature of the conflict, the fact that Business Manager revoked consent because of a material change in circumstances, the expectations of Shift Supervisor, and so on.

Two clients agree to representation by the same Attorney in a civil action, and both provide written informed consent to the potential conflicts of interest. Assuming there are no other special circumstances in this situation and that the court would not prohibit withdrawal, must the Attorney withdraw from representation?

Yes, Attorney must petition the court to withdraw from representing both clients.

Attorney agreed to represent plaintiff in a lawsuit. Attorney was in the middle of a three-week trial at the time, however, so he did not start working on the new client's case immediately. By the time Attorney began investigating the case and drafting the pleadings, he discovered to his horror that he had already missed the statute of limitations for filing the lawsuit. Attorney files the pleadings anyway, knowing that the other party will file a motion to dismiss the case based on the statute of limitations within a month or so. Must Attorney withdraw from representation at this point?

Yes, Attorney must terminate the representation and must notify the client promptly of his malpractice

A subcontractor on a highway construction project negligently damaged the General Contractor's equipment and simultaneously inflicted property damage on a state building storing the equipment. Is it proper for Attorney to represent both the government and a private party at the same time?

Yes, The Rules of Professional Conduct do not strictly prohibit a lawyer from jointly representing a private party and a government agency

Two separate clients hired Attorney, signing their retainer agreements one week apart, on unrelated matters, though both involve property owners' rights under the state's common law doctrine of public trust for beaches, which guarantees public access to beaches up to the vegetation line on the shore. Does this situation present a conflict of interest that would require Attorney to obtain informed consent, in writing, from both clients in order to proceed with the representation?

Yes, a conflict of interest exists if there is a significant risk that a lawyer's action on behalf of one client will materially limit the lawyer's effectiveness in representing another client in a different case, as when a decision favoring one client will create a precedent likely to seriously weaken the position taken on behalf of the other client

Attorney has been representing Client in a simple adoption of an orphan from Zimbabwe. Corporation hires Attorney to defend it against a defective-products. Attorney notices that Client is going to testify at trial in support of Victim's claims against Corporation. Is attorney subject to disqualification?

Yes, a directly adverse conflict may arise when a lawyer is required to cross-examine a client who appears as a witness in a lawsuit involving another client, as when the testimony will be damaging to the client who is represented in the lawsuit

Attorney agreed to represent Client in a litigation matter. During their discussions of the case, Attorney mentioned to client that one of the points in the litigation seemed to involve a novel question of law, for which Attorney may need to seek advice from another lawyer with more expertise in that area. Could Attorney be subject to discipline for this additional fee?

Yes, a division of a fee between lawyers who are not in the same firm may be made only if the client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing.

An attorney made an informal agreement with a physician that they would refer clients to each other when the situation seemed appropriate. They did not pay each other any money for referrals, but the relationship was explicitly reciprocal, not exclusive, and they always informed their clients. Is such an arrangement proper?

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

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

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

Attorney represented client in a criminal matter. Client had a history of mental illness, and the court ordered a psychological examination to determine if Client would be competent to stand trial. Was it proper for Attorney to conceal the psychologist's diagnosis from Client?

Yes, a lawyer may be justified in delaying transmission of information when the client would be likely to react imprudently to an immediate communication, including a psychiatric diagnosis of a client when the examining psychiatrist indicates that disclosure would harm the client.

A client hires an attorney to represent him in a divorce proceeding, and gives the attorney a $10,000 retainer to cover all legal fees and expenses in the case. The attorney deposited the money in his client trust account, to be withdrawn by the lawyer only as the fees were earned or expenses incurred. Was this arrangement proper?

Yes, a lawyer may deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred

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

Yes, a lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client.

Attorney represents Conglomerate Corporation in a regulatory compliance matter, drafting documents for Conglomerate to file with the Securities and Exchange Commission and the Federal Trade Commission regarding executive salaries (for the SEC) and product market share (for the FTC's antitrust inquiry). Is it proper for Attorney to represent Victim in a tort action against an affiliate or subsidiary of his other client, Conglomerate Corporation?

Yes, a lawyer who represents a corporation or other organization does not, by virtue of that representation, necessarily represent any constituent or affiliated organization, such as a parent or subsidiary, and the lawyer for an organization may provide representation adverse to an affiliate in an unrelated matter.

Attorney has taken on many new clients recently, and is having trouble managing her time and meeting deadlines, though she has not missed any deadlines yet in any client matter. At one pre-trial hearing, opposing counsel asks for a two-month postponement of the previously scheduled trial, to Attorney's great relief. Attorney readily agrees, because the postponement will enable her to attend to other urgent client matters and will give her more time to prepare for the trial. Is Attorney in compliance with her ethical duties under the Rules of Professional Conduct?

Yes, a lawyer's duty to act with reasonable promptness does not preclude the lawyer from agreeing to a reasonable request for a postponement that will not prejudice the lawyer's client.

An attorney faced disciplinary action over a client grievance. The disciplinary tribunal asked the attorney several probing questions about her handling of client funds. The attorney actually used some client funds to pay off a gambling debt, so she is less worried about a temporary suspension of her law license than about potential criminal charges for embezzlement. The attorney, therefore, simply refuses to answer the questions, without offering any explanation. The disciplinary tribunal then determines that it lacks substantial evidence that the attorney mishandled client funds, but commences disciplinary proceedings over the attorney's refusal to answer some of its questions. The attorney now claims she was merely exercising her Fifth Amendment right to refrain from self-incriminating statements. Could the attorney be subject to discipline for refusing to answer the questions in this scenario?

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

Attorney left Big Firm to open his own practice. He decided to give it a grandiose name, and called it "The Law Firm of America." He hopes someday to have offices in all fifty states. Could Attorney be subject to discipline for using this name for his firm?

Yes, a trade name may be used by a lawyer in private practice only if it does not imply a connection with a government agency

Can a contingent fee be unreasonably high?

Yes, and reasonableness is measured at the time of making the contingent fee agreement, not after the fee is due.

A lawyer represents the defendant in litigation over a car accident. The plaintiff who was driving the other car, was a childhood friend and neighbor of the lawyer- they still keep in touch. The plaintiff is represented by council but the attorney calls him directly to see about settling. Is the lawyer subject to discipline for calling his lifelong friend?

Yes, as a lawyer shall not communicate about the subject of the representation with a person the lawyer knows is represented by another lawyer.

An attorney was a judge but has left that job and joined Big Firm. Another lawyer at Big Firm represents the client in a case on the docket at the same court where the attorney worked as a judge. In fact, as a judge the attorney ruled on some of the pretrial motion in the case, mostly evidentiary motions. The firm has screening measures in place to screen the attorney from any participation in the matter. The attorney will receive no part of the fee from the matter, an timely notice went to the parties about the screening measures in place. The other parties, however, did not provide informed written consent to Big Firm's representation of the client. Is it proper for the other lawyer at Big Firm to continue representing the client in this matter

Yes, as long as Big Firm also provides timely notice to the appropriate tribunal as well, so that the tribunal may ascertain compliance with screening measures.

The Workers' Union at a manufacturing plant is having annual collective bargaining negotiations with the Management. Would it be proper for Attorney to have both the Union and the Management as clients while facilitating the negotiations?

Yes, as long as both clients provide written informed consent, common representation is permissible where the clients' interests generally align, even though there is some difference in interest among them, so a lawyer may seek an agreement between them on an amicable and mutually advantageous basis

An attorney is a partner in a law firm in owns $100,000 worth of stock in Conglomerate Corporation, the named defendant in a new antitrust suit. The attorneys total compensation from the firm is around $15 Million per year including bonuses. The attorney works in a specialized area of law at the firm in does not have much interaction with the other lawyers except at parties and occasional partners meeting. Another lawyer in the firm seeks to represent the plaintiffs in the antitrust action against Conglomerate Corporation which is not a client of the firm would it be proper for the firm to represent the plaintiffs in litigation against Conglomerate Corporation.

Yes, as long as the attorney is not involved in the representation there will be no imputation of the attorneys conflict of interest to the other lawyers in the firm because it is the attorneys personal interest and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm.

Attorney recently moved laterally to a new firm. Attorney's previous firm represented Conglomerate Corporation and Attorney occasionally worked on some of Conglomerate's legal matters. Would it be proper for Attorney's new firm to represent the Plaintiffs in an action that is directly adverse to Conglomerate Corporation?

Yes, as long as the new firm screens Attorney from the case, and provides written notice to Conglomerate about its screening procedures, as well as periodic certifications that the firm is indeed following the screening procedures regarding Attorney.

A business hires a lawyer to enforce a non-compete agreement against a former employee. The CEO believes that the former employee has started up a competing company and that he has forgotten about the non-compete. Attorney calls the former employee and identifies himself. Former employee says that his attorney believes that the non-compete is void. The lawyer asks him to have his own lawyer contact him to discuss a possible settlement. Has the lawyer acted properly?

Yes, as the prohibition against communications with a represented person only applies in circumstances where the lawyer knows that the person is in fact represented in the matter discussed. This means the lawyer must have actual knowledge of the fact of representation.

A business owner hires a lawyer hoping to enforce a non-compete agreement against a former employee at their technology firm. According to the client, a rumor started going around just this past week that the former employee had either started his own business nearby or was working for a nearby competitor, either of which, if true, could violate the non-compete agreement. The employee left the client's company on bad terms about three weeks ago. The client provides a copy of the non-compete agreement, and speculates that the former employee may have forgotten about the agreement (which he signed fifteen years ago), and would probably be oblivious to the fact that he is violating it. The lawyer decides that the first step is to call the former employee and ask him whether he has found another job yet or has started his own business. The lawyer assumed that the former employee would not have retained counsel yet to challenge the non-compete agreement, given the client's comments about him, and how recently the events unfolded. The former employee answers the phone, explains that he has started his own rival company, and that he believes the non- compete agreement is invalid under state law. When the lawyer asks why it would be invalid, the former employee says that his own lawyer says that recent changes in state law make the previous agreement void, and that they plan to challenge the agreement in court. The lawyer asks him to have his own lawyer contact him so that they can discuss possible settlement for the dispute. Has the lawyer acted properly?

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

Client and her estranged husband have lived separately for several years. Client faces charges for involvement in an armed robbery. Is Attorney subject to discipline?

Yes, attorneys are required to obtain informed consent from the client before accepting payment from a third party

Attorney handles claims against banks for many clients for issues regarding the failure of banks to investigate in a timely manner claims of fraud or unauthorized use of bankcards. Is Attorney's conduct proper?

Yes, attorneys can include waiver clauses for future conflicts in their contracts if the clients are aware of the waiver and the types of future representations that may arise are limited and detailed in the contract.

Client hires Attorney in high-profile murder case in which Client is the defendant. Is Attorney subject to discipline?

Yes, attorneys cannot make an agreement with a client giving the lawyer media and/or literary rights in exchange for representation before the conclusion of the case.

Client consults with attorney regarding a criminal case in which Client is the defendant attorney previously represented Client's friend who is a co-defendant in the current case in another matter. Attorney does not believe that the previous representation of Client's friend will disable him from providing competent and diligent services to Client and the parties are not making any claims against each other may attorney represent client in this case.

Yes, attorneys may represent conflicting parties as long as both clients give informed consent and both parties confirm their consent in writing.

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

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

Attorney represented Husband in a divorce case against Wife. Several years later, Wife contacted Attorney regarding filing an enforcement against Husband for Husband's failure to pay child support. Attorney then accepted the case and filed the enforcement. Is Attorney subject to discipline?

Yes, attorneys shall obtain informed consent, confirmed in writing, if representing a person in a case in which that person's interests would be materially adverse to a previous client's interests.

Attorney responded to a distressed call from Client asking that he meet him immediately on the street behind Attorney's office. Attorney rushes downstairs to meet Client outside his building. Client is very distraught and has blood splattered on his clothes, hands, and face, and is holding a pistol. Client stammers, "You will not believe what just happened." Was Attorney's conduct a violation of his ethical duties?

Yes, because Attorney concealed or obstructed the police's access to potential evidence by discarding the gun, and he counseled Client to destroy the evidence on his clothes.

Attorney met with potential clients, a husband and wife, about seeking legal guardianship and power-of-attorney for the wife's elderly mother, who was suffering from early-stage senile dementia. The bill included Attorney's flat fee, as the couple had agreed, plus administrative filing fees and court costs, which were accurate and reasonable. Is Attorney subject to discipline for his actions?

Yes, because Attorney did not explain to the clients that they would be responsible for administrative fees and court costs in addition to his legal fees.

Attorney employs an experienced legal assistant to manage administrative matters in the firm, including the client trust accounts. Attorney provided the legal assistant with detailed instructions about client trust accounts, including the specific kinds of records to keep, what funds to deposit there, and under what circumstances to withdraw funds. Attorney also sent the legal assistant to attend CLE courses and workshops on IOLTA accounts and managing firm records. Due to the legal assistant's thorough training, competence, and experience, Attorney reviewed the client account books cursorily once a year during the annual review of the employee. Eventually, an audit by the state disciplinary authority revealed numerous discrepancies in the bookkeeping regarding the IOLTA accounts and some prohibited commingling of client funds with the firm's funds. Attorney had no actual knowledge of the discrepancies or problems regarding the client trust accounts. Is Attorney subject to discipline?

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

Two successful business partners hired attorney to help with the dissolution of the partnership, as the partners no longer want to work together. Is attorney subject to discipline for representing both partners?

Yes, because Attorney did not reasonably believe that he would be able to provide competent and diligent representation to each affected client

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

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

Attorney is a criminal defense lawyer, and he represents Client, who is facing charges for burglary of a private residence. Client has asserted an alibi - he claims that on the evening of the burglary, he was 100 miles away on a romantic getaway with his girlfriend. Attorney interviews Client's girlfriend, who recounts a similar story about being on a romantic getaway, but a few details do not match Client's account, such as what they ordered for dinner when they stopped at a restaurant, and whether they had to stop for gas along the way. Is it permissible, under the Rules of Professional Conduct, for Attorney to call Client and his girlfriend as witnesses during trial?

Yes, because Attorney does not know with certainty that they are lying, he must allow Client to testify, and it is permissible to call the girlfriend as a witness as well.

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

Yes, because Attorney is essentially facilitating the collection agency in the unauthorized practice of law.

Attorney is a friend of Blogger, who operates a successful local blog about events, news, and gossip about their city. Blogger includes posts about local judges and well- known lawyers. Attorney and Blogger have a secret agreement. Attorney passes along tips to Blogger in the form of courthouse gossip regarding local lawyers and judges, or even about big cases. Blogger, in turn, covers Attorney's successful cases in glowing terms and recommends Attorney to his readers. Blogger's website is so successful that he earns approximately $50,000 in advertising revenue from the site. Attorney occasionally purchases a small, inexpensive advertisement on the site, which merely gives Attorney's name, address, phone number, and areas of practice. Could Attorney be subject to discipline?

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

Attorney recently earned her Juris Doctor degree from a prestigious law school and easily passed the state bar exam, gaining admission to the bar in her home state. She worked for three years for a legal aid clinic that provided free legal services for indigent clients. At the end of her third year at the clinic, Attorney decided to start her own firm, representing primarily low-income clients who were ineligible for free services at the legal aid clinic, but who also rarely could afford the fees of most attorneys. She sent a certified letter to most of the lawyers in her geographic area describing her experience and explaining that she was starting her own firm and intended to specialize in low-dollar consumer protection cases, simple divorces, adoptions, name changes, and landlord-tenant disputes. The letter concluded by offering to handle such cases for other lawyers if the other lawyers did not want to invest their time on such low-dollar matters. She did not notify the legal aid clinic that she planned to leave or that she had sent this letter. Were Attorney's actions proper?

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

Client calls Attorney to ask if it is possible to apply for an extension on filing his annual tax returns, if the deadline for filing returns is still two weeks in the future. Is it proper for Attorney to limit his representation to a single telephone call like this?

Yes, because Client's objective is limited to securing general information about the law the client needs in order to handle a common and typically uncomplicated legal problem, so the lawyer and client may agree that the lawyer's services will be limited to a brief telephone consultation.

A client, age eighteen, is facing criminal charges of sex with a minor, based on his sexual relationship with his thirteen-year-old girlfriend...State psychologist examined the victim and included in his report that she was emotionally mature for her age...Attorney agree to take the client's case and to use it as a test case....Is it proper for the attorney to make a defense in a criminal case that goes against the clear statutory verbiage and established case precedent?

Yes, because a claim or argument is not frivolous if the lawyer is making a good-faith argument for modification or reversal of existing law.

An attorney is representing plaintiffs in a class action lawsuit over a mass tort, and the case has become surprisingly complex and time-consuming....The attorney has about 20 other open cases with other clients, but none of them have motions due until after the class action trial, so the attorney has been focusing exclusively on the class action suit and has been temporarily ignoring the other cases. Could the attorney be subject to discipline for procrastinating about these other cases?

Yes, because a client's interests can be adversely affected by the passage of time, and unreasonable delay can cause a client needless anxiety.

An attorney spent several years working on the state intermediate appellate court as one of its nine justices in a state in which such judges run for election in the general elections every four years. When the attorney ran for re-election, she lost, and needed to return to private practice. The client wants the attorney to represent her in her appeal of a state trial verdict. The case previous came up on appeal before the state intermediate appellate court, but the attorney was not on the panel that decided the case. The state Supreme Court subsequently reversed the decisions of both the appellate court and the trial court, and remanded the case for a new trial. The new trial resulted in an unfavorable verdict for the client, so she wants to appeal the case again. Would it be proper for the attorney to represent her in this matter?

Yes, because a judge who was a member of a multimember court, and thereafter left judicial office to practice law is not prohibited from representing a client in a matter pending in the court, but in which the former judge did not participate

Attorney promotes himself on his website and through other advertisements as a "Patent Attorney." He is admitted to engage in patent practice before the United States Patent and Trademark Office, but he does not mention this on his website or in his advertisements - he simply states that he is a "Patent Attorney." Is it proper for him to use this designation without the name of the U.S. Patent and Trademark Office being clearly identified in the communication as the certifying organization

Yes, because a lawyer admitted to engage in patent practice before the United States Patent and Trademark Office may use the designation "Patent Attorney" or a substantially similar designation without further clarification.

Attorney represents an alternative energy firm that is lobbying the state legislature to provide subsidies for companies that develop wind, solar, or geothermal energy sources. When appearing before a legislative committee, Attorney discloses that he represents the company, and submits reports from his client about the efficiency of his client's products and the savings that could accrue to the public if more people used their products. The reports also purported that the company was having trouble staying in business and could not survive without a large government grant or subsidy. Attorney knew, however, that many of these figures were inaccurate, and that in fact the company was making a handsome profit on products that were less efficient than fossil fuel sources of energy. Is it improper for Attorney to submit such documents to a legislative committee?

Yes, because a lawyer appearing before a legislative body in a nonadjudicative proceeding shall conform to the same standards of candor and honesty that are expected of lawyers in a courtroom

A law school suffers from deep divisions among its faculty. One group thinks the Dean should resign the other group thinks she should stay... obvious South Texas issues.... An alumnus attorney agrees to work with both sides as a neutral party. Is it proper for the attorney to serve in this capacity?

Yes, because a lawyer can serve as a third party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute.

Attorney was a well-known criminal defense lawyer, and he agreed to represent Client, a celebrity who is a defendant in a high-profile murder case. Attorney filed the proper notice with the court and the prosecutor's office that he was representing Client. Attorney also filed a motion to exclude Client's confession that he gave to the police on the night of the murder while Client was somewhat intoxicated, in which he concedes the intoxication and contends that this nullifies the voluntariness of the confession for Fifth Amendment purposes. The news media thereby learned that Attorney was representing Client, and news commentators began to speculate that Client must be guilty if he hired such a notorious defense lawyer. Client was furious that anyone knew that he had hired a lawyer, which he claims was confidential. Was it proper for Attorney to make these disclosures without Client's express authorization?

Yes, because a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation, except to the extent that the client's instructions or special circumstances limit that authority.

A client hired a lawyer to represent her In bringing a lawsuit against a manufacturer over a defective product that was very expensive. The attorney regularly represents plaintiffs in product liability cases....The attorney reluctantly adds the civil RICO claim to the complaint and is not surprised when the judge strikes that claim at the request of the defendant. The attorney declines to notify government agencies about the manufacturer, and suggests that the client do that on her own...Was it proper for the attorney to decline to pursue the regulatory attack against the manufacturer?

Yes, because a lawyer is not bound to press for every advantage that might be realized for a client.

After Attorney has been representing Client in a transactional matter for six months, Client asks Attorney to draft and deliver some documents that Attorney knows are fraudulent. Would it be improper for Attorney to acquiesce, and draft and deliver the documents according to Client's instructions?

Yes, because a lawyer is required to avoid assisting the client, for example, by drafting or delivering documents that the lawyer knows are fraudulent.

An attorney works in a partnership with one other lawyer. A client wants the attorney to represent her in litigation over a contract dispute, because the attorney helped negotiate the contract. In fact, the attorney was the only other party in the room when the client and the other party reached a final agreement on the terms and signed the contract. The attorney explains that he will probably have to testify as a witness at the client's trial, as the dispute involves the parties' intention regarding a certain ambiguous provision of the contract. The attorney said he would truthfully corroborate the client's version of the event's. As a result, the attorney explains, he cannot represent the client at the trial, but his partner at the firm could represent the client instead. The client retained the attorney's partner to represent her in the litigation. Is this arrangement proper?

Yes, because a lawyer may act as advocate in trial in which another lawyer in the lawyer's firm is likely to be called as a witness.

265. Attorney pays $1000 per month for a billboard advertisement for his firm, $2000 per month for a few radio commercials, $3000 per month for internet advertising, and $4000 per month for newspaper and magazine advertisements. The total amount for advertising is $10,000. Attorney's average total income from legal fees is $15,000 per month. Is it permissible for Attorney to spend such sums on advertising?

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

Attorney is a litigator and finds it helpful to talk to jurors after a trial concludes to see what they thought about the performance of the lawyers in the case. AAssuming the judge has not forbidden talking to jurors and the jurors are willing to talk to him, is it proper for Attorney to have conversations with jurors in their homes, a week after trial?

Yes, because a lawyer may communicate with a juror after the discharge of the jury, but must respect the desire of the juror not to talk with the lawyer.

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

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

Client is an inexperienced drug dealer and consults with Attorney about the legal ramifications of his business. Is it proper for Attorney to provide such legal advice to Client?

Yes, because a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law.

An attorney represented a large corp. as a defendant in a toxic tort action. While interviewing low level employees he was asked about the case. He revealed the facts, the plaintiff, the strengths of their case, etc. Could the attorney be subject to discipline?

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

The attorney hires a nationally known internet-marketing specialist, a tech guru, to help develop the firm's reputation and attract new clients. The internet specialist has made millions on previous tech startups, while the attorney is relatively unknown and has only been practicing for two years. The specialist demands certain terms to avoid his former clients. Is this wrong?

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

An attorney was representing a client in a criminal matter. At the bail hearing, the prosecutor told the court that the defendant was a flight risk, and asked the court either to confine to defendant until trial or to set bail at $15,000. When it was the attorney's turn to speak, he assured the judge that the client had a medical condition that would prevent him from leaving the area...The attorney knew however, that the client already had plane tickets to Venezuela, a non-extradition country, and that the client had already fully recovered from his serious medical condition. Is the attorney subject to discipline for making these statements to the court?

Yes, because a lawyer may not knowingly make a false statement of fact or law to a tribunal

An attorney agreed to prepare a will for a client, a wealthy widow with three grown children. An earlier will divided her estate equally between her children. Now she wants to disinherit her only daughter. Attorney knows that daughter will contest the will, and that she already has a strained relationship with brothers. Is it proper for the attorney to initiate unwarranted advice when the client did not ask for it?

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

Client hired Attorney to represent her in litigation over the custody of her children following a divorce. Client was concerned about her older sister, in whom she had confided for many years about her struggles with substance abuse and mental illness. The sister felt deeply moved by this entreaty and agreed to stay out of the litigation. Was Attorney's conduct proper?

Yes, because a lawyer may request that a relative of the client refrain from voluntarily giving relevant information to another party.

Holy Trinity Church retains Attorney to challenge a new zoning regulation that would prohibit the church from constructing a new, expanded sanctuary on its property, attached to the existing church. The church cannot afford to pay Attorney, and it is seeking only a declaratory judgment (that the regulation is invalid) rather than money damages. Attorney agrees to take the case and then split any court-awarded legal fees with the church if they prevail. They win a favorable judgment; the court declares the regulation unconstitutional and awards legal fees, which Attorney shares with the church. Is the fee sharing proper?

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

A judge lost his temper with Attorney and spoke very abusively to him in open court, in front of a jury, using profanity and calling Attorney "an embarrassment to the profession and a menace to his own clients." Opposing counsel reported Attorney to the state bar disciplinary authority, but did not report the judge, before whom opposing counsel appears regularly. Could Attorney be subject to discipline?

Yes, because a lawyer may stand firm against abuse by a judge but should avoid reciprocation; the judge's default is no justification for similar dereliction by an advocate

During the discovery phase of business litigation, Conglomerate Corporation receives a discovery request asking for "all documents, memoranda, emails, or other internal correspondence related to the transaction that is the subject of this dispute." Attorney represents Conglomerate Corporation. Was it proper for Attorney to scrub the metadata from electronic documents that could potentially be subject to a discovery or production request in future litigation?

Yes, because a lawyer may take measures to eliminate metadata from documents that could later fall into the hands of an opposing party.

Client hired Attorney to represent her in a personal injury lawsuit in which Client is the plaintiff. Was it proper for Attorney to draft the pleadings based on conversations with the plaintiff and file the documents without first having the plaintiff review them?

Yes, because a lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation.

A prosecutor in a felony drug care addressed a group of reporters outside the District Attorney's office. In response to questions about the specific case underway, the prosecutor explained that the judge had consolidated the trials of three co-defendants into a single proceeding and had postponed the proceeding until the next summer, four months away. Was it proper for the prosecutor to disclose such details about the case to reporters?

Yes, because a lawyer may tell reporters the scheduling or result of any step in litigation.

Attorney represented Husband in a transactional matter twenty years ago, which involved incorporating a small business that Husband later sold to an acquaintance. The proceeds from the sale went to fund college tuition for Husband's grown children. Wife recently retained Attorney to represent her in a divorce action against Husband. Husband and wife both provided Attorney with informed consent, confirmed in writing, waiving any conflicts of interest. Ultimately, Wife accepts the settlement recommended by Attorney, but is deeply disappointed that the affair has been kept secret, and the family will not believe her about it. Is Attorney subject to discipline for handling the matter in this way?

Yes, because a lawyer must act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client's behalf.

Client explains to Attorney that he is operating an illegal website where users can anonymously upload and download pirated music and videos, in violation of copyright laws and other anti-piracy statutes. Is Attorney subject to discipline?

Yes, because a lawyer must avoid assisting a client in fraudulent or criminal activity, which includes suggesting how the wrongdoing might be concealed.

An attorney works as a public defender. The office is always underfunded, meaning they cannot afford to hire enough staff attorneys, and the current attorneys all carry an overload of cases. The attorney feels that she is unable to provide full representation to each client....Does the attorney have an ethical problem, under the Rules of Professional Conduct?

Yes, because a lawyer must control her workload so that each matter can be handled competently.

Attorney works as a public defender. The office is always under-funded, meaning they cannot afford to hire enough staff attorneys, and the current attorneys all carry an overload of cases. Attorney feels that she is unable to provide full representation to each client, as she must conduct about seven plea bargaining sessions for different clients per weekday, and usually meets the clients for the first time about fifteen minutes before each plea bargain session. Each plea bargain takes about an hour, with short breaks in between. Does Attorney have an ethical problem, under the Rules of Professional Conduct?

Yes, because a lawyer must control her workload so that each matter can be handled competently.

While conducting research on a litigation matter, an attorney finds a very new case from the highest court in his jurisdiction that is directly adverse to his client's legal position in the case. The opposing party did not mention the case in its briefs, and the attorney realizes that the opposing party's lawyer has been recycling his firm's briefs for this type of case for several years without updating his research. Does the attorney have an ethical duty to disclose the unfavorable binding precedent to the court?

Yes, because a lawyer must disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel.

In preparation for trial, Attorney and Client sat down together to go over Client's upcoming testimony. Client mentioned, as he recounted his version of the facts, something that Attorney knew would constitute an admission of fault on a critical point in the case. Attorney interrupted Client and said, "If you admit that, you will have forfeited your entire case." Client nods to show his comprehension of what Attorney said. Client testified at trial and changed his story significantly, carefully omitting the statement that Attorney had identified as a legal admission of guilt. Did Attorney violate the Rules of Professional Conduct in preparing Client for his testimony in this way?

Yes, because a lawyer must not counsel another person to conceal a matter with evidentiary value.

In anticipation of a hearing before a federal agency in Washington D.C. an attorney travels to a Washington suburb in Virginia from her own state to meet her client (from her home state), interview witnesses, and review relevant documents. She spends most of the time preparing for the case working in Virginia. Is her conduct proper even though she is not licensed to practice in Virginia?

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

Attorney testified before a state legislative committee about the need for the state to privatize its dysfunctional prison system. Attorney said he was there to testify as a concerned citizen of the state and a taxpayer, and Attorney did in fact believe that prison privatization was smart public policy. Attorney did not disclose that he was representing Alcatraz Incorporated, the largest private prison company in the country, which hoped to secure the lucrative contracts to operate the state's prisons after the legislature votes to privatize them. Was it improper for Attorney to neglect to disclose his representation of the private prison company?

Yes, because a lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity

Attorney represents Defendant in a murder case. Is Attorney subject to discipline for filing the habeas petition, despite the client's reservations?

Yes, because a lawyer shall abide by a client's decisions concerning the objectives of representation and shall consult with the client as to the means by which they are to be pursued.

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

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

An attorney represents criminal defendants. One day, a client appeared in the attorney's office and explained that he had been blackmailing his former employer for the last year. Is the attorney subject to discipline?

Yes, because a lawyer shall not assist a client in conduct that the lawyer knows is criminal or fraudulent, such as destroying evidence when there is a pending criminal investigation.

A client is aware that he is under investigation for student loan fraud. A friend who works at the courthouse tips off the client that a magistrate issued a warrant to search the client's home for evidence the next day in the early morning. In a panic, the client calls his attorney, whom he has retained to represent him during the investigation and any prosecution that follows, and asks what he should do. The attorney informs him that the agents executing the warrant will surely seize any computers and hard drives that they will find, and that the client should probably wipe and reformat all his drives or dispose of his computers, that he should probably smash his cell phone, and that he might want to go on a long vacation immediately. Is the attorney subject to discipline for this advice?

Yes, because a lawyer shall not counsel or assist another person to destroy or conceal a document or other material having potential evidentiary value.

Attorney must testify briefly at Client's trial about a point that is uncontested but necessary as an antecedent point for the issues in the case. Attorney testified to facts that he believed were true at the time he testified. Later, before the conclusion of the proceedings, Client discharges Attorney, and then informs Attorney of previously unknown facts that compel the conclusion that Attorney's testimony was incorrect. Does Attorney have a duty to take remedial measures to rectify the false statements?

Yes, because a lawyer shall not fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer

An attorney was upset when he lost a high-stakes bench trial. When friends and acquaintances asked him about it in the following weeks, he would bitterly complain that the judge must have received a bribe from the opposing party, because there was no way that a reasonable judge could have ruled against the attorney's own client, given the evidence in the case. The attorney has no reason to think that the judge accepted a bribe except that he was shocked when he lost the case. Could the attorney be subject to discipline for making such comments?

Yes, because a lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge.

In Texas, state trial judges are elected by popular vote. A well-known liberal- progressive judge is running for reelection. An attorney who is a staunch conservative is campaigning for the opposing candidate from the other party. At a campaign rally, the attorney declares that the liberal judge (seeking reelection) is completely unqualified and incompetent to serve in the judiciary, and that he is an activist judge who uses his court to push a particular political and social agenda. The judge graduated from a prestigious law school, was formerly a partner at a large law firm, and is active in the state bar. He does, however, give consistently lenient sentences to criminal defendants who are black or Hispanic, and has always ruled in favor of unions when he adjudicated cases involving collective bargaining agreements. The judge learns of these remarks by the attorney and files a grievance. Could the attorney be subject to discipline?

Yes, because a lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge.

Police arrested several protestors who were advocating a cause that Attorney strongly supported. One of the protestors had a violent altercation with police, and she was facing criminal charges. None of the individuals with whom Attorney spoke ended up on the jury in the case. The prosecutor eventually determined Attorney's identity and filed a grievance with the state disciplinary authority. Could Attorney be subject to discipline?

Yes, because a lawyer shall not seek to influence a judge, juror, or even a prospective juror.

Attorney represents Client before an Administrative Law Judge in a regulatory enforcement matter. The Administrative Law Judge orders Attorney to disclose whether Client had received legal counsel about the regulatory requirements in question before the violation occurred. Client forbids Attorney to answer the question. Should Attorney object and try to assert various claims that the order is not authorized by law, or that the information is not relevant to the proceeding, or that the information is covered by the attorney-client privilege?

Yes, because a lawyer should assert on behalf of the client all nonfrivolous claims that the order is not authorized by other law or that the information sought is protected against disclosure by the attorney-client privilege or other applicable law.

Client asked Attorney to defend him in a small litigation matter. Client explained that he had very limited funds available, and wondered if Attorney could handle the case for $2000. Attorney's usual hourly rate is $200. Would Attorney be subject to discipline in a situation like this?

Yes, because a lawyer should not enter into an agreement whereby services are to be provided only up to a stated amount when it is foreseeable that more extensive services probably will be required, unless the situation is adequately explained to the client.

During a personal injury trial, the court took a lunchtime recess for an hour. The plaintiff's lawyer from the case walked across the street from the courthouse to a familiar diner to buy lunch...One of the jurors asked the attorney if they could share a table with him...the attorney did not participate in conversation...Could the attorney be subject to discipline for sharing a table with the jurors during a lunch break?

Yes, because a lawyer should not have any ex parte social contact with jurors during a proceeding, even if they do not discuss the case.

Attorney defended Client in a criminal proceeding that attracted low-level media attention on the local evening news and a few local-interest blogs. A semi-retired reporter for the local evening news called Attorney at his office and asked for a quote about Client's case. Attorney stated that Client had no prior criminal record and that they planned to put on a rigorous defense, and he hoped the prosecutor would drop all the charges before trial. Was it improper for Attorney to make these statements?

Yes, because a lawyer should not make extrajudicial comments about the criminal record of a party during a criminal matter.

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

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

Client is a second-year law student at a state law school. Client's Professional Responsibility professor forbid the use of the Internet by students during class sections. The court grants the motion and dismisses the charges against Client. Is Attorney subject to discipline?

Yes, because a lawyer who receives from opposing counsel a proffered plea bargain in a criminal case must promptly inform the client of its substance unless the client has previously indicated that the proposal will be acceptable or unacceptable or has authorized the lawyer to accept or to reject the offer.

Attorney represents Client in patent infringement litigation. Client is a longtime business rival of the opposing party, and has successfully sued the opposing party before over an unrelated matter. The opposing party still loses his temper whenever someone brings up the previous lawsuit he lost, because he felt it was completely unfair and he nearly went bankrupt over it, and his marriage even failed due to the stress from the case and the burdensome verdict. Client believes Attorney has a duty to provide zealous advocacy and to pursue every advantage for Client's interests. Would it be proper for Attorney to refuse to bring up the prior unrelated lawsuit during his cross-examination, despite Client's instructions to do so?

Yes, because a lawyer's duty to act with reasonable diligence does not require the use of offensive tactics or preclude the treating of all persons involved in the legal process with courtesy and respect.

Client is the leader of a radical religious group that protests at the funerals of soldiers who died tragic combat deaths overseas. After the case, reporters interview Attorney asking how he could represent such a client and Attorney states during the interviews that he did not necessarily endorse the client's religious, social, moral, or political views, but was merely providing representation. Are Attorney's actions proper in this case?

Yes, because a lawyer's representation of a client does not constitute an endorsement of the client's political, economic, social, or moral views or activities.

An attorney practices personal injury law, representing plaintiffs on a contingent fee basis. The attorney employs a paralegal to assist with preparing documents for litigation. The paralegal's salary arrangement is 10% of the firm's total net revenue each year. But she does participate in judgments about which clients to take, how to structure fee arrangements, and how much to seek in damages. Is this wrong?

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

An attorney faced criminal sanctions for having over 200 unpaid traffic and parking tickets, and several instances of failure to appear for jury duty. Could the attorney be subject to professional discipline for these minor offenses?

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

Client hires Attorney to represent her in business litigation. Must the lawyer nevertheless advise the client in writing of the desirability of seeking the advice of independent legal counsel, and obtain written informed consent from the client before proceeding with the purchase?

Yes, because a prohibition on conduct by an individual lawyer under the conflicts of interest rules would automatically apply to all lawyers associated in a firm with the personally prohibited lawyer, even if the first lawyer is not personally involved in the representation of the client.

Three lawyers open a new firm (a partnership) together and call it "The Houston Litigation Center," named after the city where they practice. Their advertising, brochures, and signage contain no disclaimers disavowing any connection with the Houston municipal government or with the Houston City Attorney's Office, which is a department of the municipal government. Could they be subject to discipline for using this name?

Yes, because a trade name may be used by a lawyer in private practice only if it does not imply a connection with a government agency or subdivision of government

Attorney represents Client in a civil matter. Client's case went to trial and Client lost. Client wished to appeal the matter. Attorney did not file an appeal because there was no agreement that the attorney would handle the appeal. The period of time in which Client could file an appeal expired and no appeal was filed. Is attorney subject to discipline?

Yes, because an attorney must discuss the possibility of an appeal prior to relinquishing responsibility for a client's case if there were no prior discussions regarding whether or not the attorney would handle the appeal process.

Miranda and her sisters, Lisa and Nancy, all received injuries in a car accident last year. They decided to consent to the same lawyer, Joseph. There was a settlement offer, but Miranda would be a hard sell. If Joseph gets consent from the others to accept the defendants settlement offer, will he be subject to discipline for accepting the offer without first discussing it with Miranda?

Yes, because an attorney must inform and obtain written consent from each client about all the material terms of the settlement before accepting any settlement offer on behalf of multiple clients.

Attorney advertises his services on billboards in a major city, emblazoned with the logo, "LOWEST LEGAL FEES IN THE CITY!" The billboard contains the firm's name, address, phone number, and website, but no disclaimers or qualifications about the claim regarding the legal fees they charge. Approximately 10,000 lawyers practice in that city, and a legal aid clinic provides free legal services for homeless or indigent clients. The location of the billboards happens to be on roads with very high frequency of accidents and traffic fatalities, so the billboards are often visible to those who have just had an accident. Could Attorney be subject to discipline for these billboards?

Yes, because an unsubstantiated comparison of the lawyer's services or fees with the services or fees of other lawyers may be misleading if presented with such specificity as would lead a reasonable person to conclude that the comparison can be substantiated.

A billionaire business owner decided to run for high-level public office. The billionaire candidate's platform includes a strong commitment to use military force, if necessary, to protect international human rights in foreign nations, especially rights for women, children, and grown men. Could the billionaire suffer all these adverse results for his defamation suit?

Yes, because anti-SLAPP ("strategic litigation against public participation") statutes are very common and often impose such penalties on public figures who file defamation suits

A state bar adopted a new ethical rule for lawyers that forbid contingent fees higher than 30%. Is Attorney subject to discipline for this contingent fee agreement?

Yes, because applicable state law may impose limitations on contingent fees, such as a ceiling on the percentage allowable, or may require a lawyer to offer clients an alternative basis for the fee.

An attorney calls his friend, a close personal acquaintance, who was recently arrested for DWI. He sees the arrest on the news and offers to represent his friend for his usual fee. Is this proper?

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

Attorney represents Defendant in a criminal case in which Defendant is accused of assault causing bodily injury. Attorney refuses the offer and tells Defendant they are taking the case to trial because Prosecutor did not offer ideal plea. Is Attorney subject to discipline?

Yes, because attorneys shall abide by client decisions regarding plea deals, regardless of the attorney's opinion about the guilt or innocence of the defendant.

Attorney gave a consultation to Client, who wanted Attorney to represent him in a regulatory takings case over changes in zoning and land use rules that interfered with Client's intended use of his property. Attorney was a recent law school graduate, and had her own small law firm. She had never handled a regulatory takings case before, which she explained to Client. Attorney's bill to Client at the end of the representation was exactly what they had agreed in the retainer, and Client paid. Attorney then split the amount with the other lawyer who helped her. Is Attorney subject to discipline in this situation?

Yes, because before a lawyer retains or contracts with other lawyers outside the lawyer's own firm to provide or assist in the provision of legal services to a client, the lawyer should ordinarily obtain informed consent from the client and must reasonably believe that the other lawyers' services will contribute to the competent and ethical representation of the client

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

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

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

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

Attorney agrees to represent Client, and obtains Client's written consent to divide the fees with a lawyer in another state, as the trial will occur in the other jurisdiction, but most of the discovery and pre-trial work will occur in the state where Client and Attorney reside. Could Attorney, or the other lawyer, be subject to discipline for this fee arrangement?

Yes, because division of a fee between lawyers who are not in the same firm may be made only if the division is in proportion to the services performed by each lawyer, if they do not assume joint responsibility for it.

An attorney represented a client in an action for replevin. After the filing of the case, but before the court had sent any notices about the docket number, the attorney spoke to a clerk at the courthouse, and inquired whether the case had received an assignment yet to a judge. The clerk said it was still unassigned. The attorney then asked the clerk to mention to the Director of Judicial Administration, who was also the Chief Presiding Judge, that they should not assign the case to a particular judge, who was notorious for having a bias against parties like the attorney's client, and who had an extraordinarily high reversal rate from the appellate courts in replevin cases. The clerk said he would mention the conversation to the Director, which he did. The Director said she coul not accommodate special requests from lawyers regarding case assignments, but when it came time to assign the case, she assigned the case to another judge merely to avoid another embarrassing reversal from the appellate courts. Was it improper for the attorney to ask the clerk to pass his concerns along to the Director?

Yes, because during a proceeding a lawyer may not communicate ex parte with persons serving in an official capacity in the proceeding, such as judges, masters, or jurors, unless authorized o do so by law or court order.

Attorney represents Client in a litigation matter. Client was not present during the last pre-trial hearing at which the lawyers argued about whether certain experts on each side could testify at trial. Was it proper for Attorney to agree to the request without obtaining Client's prior consent?

Yes, because during a trial, when an immediate decision must be made, the exigency of the situation may require the lawyer to act without prior consultation, as long as the lawyer promptly informs the client of actions the lawyer has taken on the client's behalf.

An attorney has her own firm and works as a sole practitioner. She has been practicing law for about twenty years, and is now in her mid-40s. Recently, though, a routine visit to her doctor revealed implications of multiple sclerosis, and she has scheduled appointments with specialists for more testing....Does attorney have any ethical obligations toward her clients, at least related to her possible condition?

Yes, because each sole practitioner must prepare a plan that designates another lawyer to review client files, notify each client of the lawyer's death or disability, and determine whether there is a need for immediate protective action.

Client hired Attorney to represent him in litigation because of Attorney's reputation for being the meanest, most aggressive litigator in town. Client is the defendant and Attorney bills by the hour. Is Attorney potentially subject to discipline for this approach in court-ordered mediation?

Yes, because even if the statements were not material facts, lawyers must make reasonable efforts to expedite litigation consistent with the interests of the client.

Attorney represents Client in a litigation matter. Client was not present during the last pre-trial hearing at which the lawyers argued about whether certain experts on each side could testify at trial. Is Attorney subject to discipline in this case?

Yes, because even when an immediate decision must be made during trial, and the exigency of the situation may require the lawyer to act without prior consultation, the lawyer must promptly inform the client of actions the lawyer has taken on the client's behalf.

A client asks an attorney to represent him in a complex corporate taxation matter regarding the taxable earnings of an overseas corporate subsidiary that pays its American employees by direct deposits to bank accounts in the United States. The attorney never took a tax course in law school and has no experience in this area...Would the attorney be subject to discipline?

Yes, because expertise in a particular field of law is a requirement in circumstances where the nature of the matter is complex and specialized, and the lawyer has no training or experience in the field.

Client hired Attorney to research the legality of a musical "mash-up," a sound recording that includes brief sound clips and samples from many other artists' commercial recordings. Given that the client's objective was limited to securing general information about the law the client needs, was it improper for Attorney to agree to this limitation on the scope of representation up front?

Yes, because given the complexity of the subject and the uncertainty about this particular point of law, two hours was not a reasonable amount of time to yield advice upon which the client could rely.

An attorney agreed to write a recommendation letter for admission to the bar on behalf of the law student who had worked for him part-time throughout law school. The student had behaved appropriately, and in compliance with the ethical rules for lawyers and law firms, at all times during her employment. On one occasion, the student intern had confided in the attorney that she had faced academic discipline for plagiarism on a law school seminar paper, and that she was very ashamed of herself about the incident and had accepted a failing grade in the class. She took an overload of courses the following semester to make up for the lost credits from the course she failed. The attorney did not mention this incident at all in his "character and fitness" recommendation to the state bar, because he felt it was out of character and did not represent the way the student normally behaved at the workplace. He also assumed the student would report it herself or that the bar would inquire about the failing grade on her law school transcript. The bar admissions board eventually learned about the incident only from the law school administration, which turned over the student's disciplinary records. Could the attorney who wrote the favorable recommendation be subject to discipline for filing to mention or address the incident?

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

Attorney has a license to practice in the state in which his firm operates. He hires as an associate a law school friend who does not have a license in the state, but holds a license to practice in a neighboring state with similar laws and precedents. Attorney gives the associate attorney only simple cases that require mostly scrivener's work (paperwork) for the clients, but he allows the associate to interview clients and to prepare and file client forms and paperwork. About once a week, Attorney checks with the associate and asks how his work is going, and the associate always says everything is fine, and occasionally asks questions about local laws or rules. Any clients whose matters seem to require actual litigation go to Attorney; the associate handles only non-litigation forms and filings for clients. Is Attorney subject to discipline for this arrangement?

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

An attorney represented a client in a prosecution for murder, and the prosecutor was seeking the death penalty. The trial was not going well, and the judge had not sequestered the jury, so the attorney sent his secretary to visit some of the jurors in their homes one evening, bringing them cookies and talking to them about the seriousness of sentencing a fellow human being to death. The secretary did not say she worked for the attorney, but instead introduced herself as a member of an advocacy group that seeks to abolish the death penalty, and she left pamphlets about abolishing the death penalty in each juror's home. Could the attorney be subject to discipline for this activity?

Yes, because he was communicating ex parte with the jurors through the secretary during the proceeding.

Attorney hired Receptionist because of her good looks and because her brother was in Attorney's college fraternity, but he did not check into her background at all or ask for references. Receptionist had access to all files, records, and accounts in the firm, and three months later, there arose a problem with funds missing from client trust accounts. Circumstantial evidence pointed to Receptionist as the culprit, and at this point Attorney learns that Receptionist has an arrest record for theft and embezzlement on several occasions in the past. Attorney lectures Receptionist about it but allows her to keep her job because nobody can prove her guilty - the firm does not keep the type of records that would enable anyone to prove where the missing funds went. When additional complaints arise over misappropriated client trust funds, would Attorney be subject to discipline?

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

In anticipation of a round of settlement negotiations over a business partnership breakup, a client authorized his lawyer to disclose that the client was having personal financial troubles, but added that the lawyer should "leave it at that—don't elaborate too much." The lawyer was to attend the settlement conference without the client....Lawyer told everyone client had a gambling problem...Could lawyer be subject tot discipling for the disclosure he made at the settlement conference?

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

An attorney obtained admission to the bar in New York and practiced there for two years. She worked for Big Firm, which has offices in five states and a few locations overseas. After her two years in N.Y. she was transferred to San Diego. She was admitted to the CA bar and practiced for 3 years when the NY bar found out she had made false statements on her original bar application about a misdemeanor arrest during college. Can the attorney be subject to discipline in CA for her false statements made on her NY application?

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

A witness testified on a client's behalf at trial. That evening, when the attorney was reviewing exhibits and documents to prepare for the next day of trial, he noticed a document that completely negated the witness' testimony from earlier that day. The testimony was material evidence in the case. The witnesses left the jurisdiction after his testimony concluded, and he is no longer available to correct the false statements. The opposing party's lawyer waived his opportunity to cross-examine the witness because the testimony was unfavorable to his side and he was eager to move on to a more favorable witness. Does the attorney have such a duty to take remedial measures to correct the false testimony, such as disclosing the falsehood to the court?

Yes, because if a witness called by the lawyer has offered material evidence, and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.

Attorney Adams is a busy litigator, but she is also a single mother of two young children.....She refuses to schedule anything in the late afternoon, as that could run into the time when she must pick up her children. The result is that her cases tend to stretch out over a long period...Could Attorney Adams be subject to sanctions for managing her schedule in this way?

Yes, because it is not proper for a lawyer to fail routinely to expedite litigation solely for the convenience of the advocates.

An organizational client requested that its lawyer investigate allegations of wrongdoing. The lawyer conducted interviews in the course of that investigation of the organization's employees and managers. It turned out that the alleged wrongdoing involved only one employee, whom the corporation promptly terminated. After the resolution of the matter, the lawyer wrote a series of blog posts about the amusing anecdotes he heard during his interviews, revealing the pettiness of internal politics in the organization, the low morale in certain departments, and a few of the office romances that had ended badly. Did the lawyer violate his duty of confidentiality to his client?

Yes, because if an organizational client requests its lawyer to investigate allegations of wrongdoing, interviews made in the course of that investigation between the lawyer and the client's employees come under the client-confidentiality rules.

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

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

Big Firm represents hundreds of corporate clients out of a dozen offices in different states. Has no formal procedures in place to check of clients....it emerged that some subsidiaries were directly adverse to other clients of Big Firm. Will Attorney be disciplined for declining representation in this case?

Yes, because ignorance caused by failure to institute reasonable procedures, appropriate for the size and type of firm and practice, will not excuse a lawyer's violation of the Rules regarding conflicts of interest

Client is a defendant in a criminal prosecution, and Attorney is his court-appointed defense lawyer. Client wants to testify at his own trial, despite Attorney's recommendations that he not do so. As they are preparing for trial, Attorney asks Client what he plans to say on the stand. Client's story seems suspicious to Attorney - he has serious doubts about its veracity - but Client insists that he is telling the truth, and Attorney is not sure. Does Attorney have an ethical duty to allow Client to give this improbable testimony at trial?

Yes, because in a criminal case, a lawyer cannot refuse to offer the testimony of a client where the lawyer reasonably believes but does not know that the testimony will be false; unless the lawyer knows that the testimony will be false, the lawyer must honor the client's decision to testify.

An attorney represents a corp. One of the corp.'s delivery trucks has an accident with a school bus. The corp.'s attorney's visit the driver in the hospital to prep for the impending lawsuits but don't explain that he was not representing the driver. Driver reveals that he was drunk. Could the attorney be subject to discipline?

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

An attorney represents a client, who lost his criminal appeals and is now serving a life sentence in a federal penitentiary. The client confesses that he murdered someone that another man was convicted of killing. The attorney lectures him about the morality of this situation. Was it proper for the attorney to bring up morality?

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

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

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

An attorney faced a disciplinary action over accusations that she had neglected a client matter and had failed to communicate adequately with the client. The state disciplinary authority requested a written account of her version of what happened, and asked her ten or twelve probing questions during the hearing. At the conclusion of the hearing, the disciplinary tribunal decided that the client complaint was without merit and cleared the attorney of all charges in that regard. At the same time, it also concluded that the attorney had answered one question during the hearing untruthfully, and had made a minor misrepresentation regarding dates in her written statement to the board. The tribunal therefore filed a separate grievance against the attorney for these misrepresentations. Could the attorney be subject to discipline for incidental misrepresentations to the grievance committee if the same committee had decided that the underlying case had no merit and issued a dismissal?

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

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

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

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

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

An attorney advertised in a local newspaper. His ad reads, "I never charge more than $200 per hour for any type of legal work, and for simple legal problems, such as uncontested divorces or name changes, I charge even less." He has charged $250 for a particularly hard case, and would again if the situation arose. Is he subject to discipline?

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

While cross-examining a Hispanic witness during a trial, a defense attorney grew frustrated at the witnesses' evasive answers, and finally asked the witness if "his people" or others "in his community" regularly lie under oath on the witness stand. The prosecutor immediately objected and the judge sustained the objection, so the attorney withdrew the question. The witness then stated that he did not feel offended by the question because he understood that the lawyer was simply ignorant and relying on stereotypes. Three of the jurors were also Hispanic. Could the attorney be subject to discipline for this question?

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

A judge asks the two lawyers in a case to help him conduct some first-hand investigation of the facts. At the judge's request, the plaintiff's lawyer and the defendant's lawyer together drive the judge to the location where the accident occurred that became the subject of the litigation, and allowed the judge to take measurements and photographs of the scene from different angles. They also accompanied the judge to interview several witnesses at their homes, off the record. Both lawyers felt awkward about this, but they were afraid to contradict or confront the judge, out of respect for the judicial office. Could the lawyers be subject to discipline for this conduct?

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

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

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

A trial attorney knew he cannot have ex parte communications with the judge in his case, but he wanted to explain a point about the case to the judge without opposing counsel present. The attorney happened to attend an alumni reception at his law school, and one of his former classmates mentioned to him that the she would be having lunch with the judge the next day. The attorney explained his case to his former classmate and asked her to explain a particular point to the judge privately during the lunch, and she agreed to do it as a favor. Could the attorney be subject to discipline in this case?

Yes, because it is professional misconduct for a lawyer to violate or attempt to violate the Rules of Professional Conduct through the acts of another

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

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

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

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

Attorney specialized in aviation law and airline litigation. Client sought to have Attorney represent her smaller airline in a high-stakes antitrust action against the four largest national airlines. The matter was likely to go on for more than two years. Attorney explained that taking the case would present him with a conflict of interest against the largest airlines in the country, and possibly with their affiliates, suppliers, contractors, and subsidiaries as well, which would severely limit Attorney's ability to represent any other clients in his area of specialty for a long time. He would have to seek to withdraw from representing a few existing clients, which was feasible, and would have to decline numerous future cases and matters. Client insisted on having Attorney handle her case, however, due to his specialized knowledge of the field. Attorney then offered to represent Client for quadruple his usual fee, or five times the fees customarily charged in the locality for regular legal services. In addition, Attorney explained that Client would have to pay a large retainer sum up front, against which Attorney would draw fees. Finally, Client would have to reimburse Attorney for every penny of expenses and costs incurred in-house, such as photocopies and telephone calls, plus any costs and expenses incurred from outside services providers such as court reporters or experts. Client was astonished at the exorbitant fees, which she realized would quickly run into hundreds of thousands or millions of dollars, but she reluctantly agreed because she felt she had no real choice. Attorney memorialized their agreement in writing, and obtained client's signature on it. Was the fee agreement reasonable, according to the Rules of Professional Conduct?

Yes, because it was apparent to the client that the acceptance of the particular employment will preclude other employment by the lawyer

Attorney outsources complicated legal research to a firm that exclusively provides background legal research for lawyers. Client is a nationwide business with branches operating in all fifty states, so he needs information about his legal responsibilities regarding a particular issue in every state - a state-by-state survey. Attorney represents himself as a sole practitioner. Could Attorney be subject to discipline for failing to inform Client that he plans to outsource the 50-state survey to a research firm?

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

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

Yes, because she did not notify the client soon enough.

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

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

An attorney is properly certified as an immigration law specialist by a state bar organization that provides official certifications. She advertises as a "Certified Specialist in Immigration Law" without identifying the certifying organization. Is the attorney subject to discipline?

Yes, because she failed to identify the certifying organization.

A recent law school graduate has applied for admission to the bar in her home jurisdiction. The application forms ask applicants to list all arrests and convictions for misdemeanors or felonies. The graduate had two minor convictions for underage drinking or possession of alcohol when she was in high school, eight years earlier, and her attorney told her at the time that the state would expunge her records when she turned 18, meaning she would never have to report the convictions. In addition, she had one arrest in college where a shop owner mistakenly thought she was a shoplifter who had visited the store the day before, but the district attorney had not pressed charges once it became obvious that this was a case of misidentification. On her bar application, the applicant did not report the convictions from high school or the arrest from college, because she thought the earlier convictions were no longer on her record, and she had cleared herself of all wrongdoing after the arrest, resulting in dropped charges. Nevertheless, the state bar discovered the convictions and arrest during its comprehensive criminal background check, which it conducts for all applicants. The state bar admissions board denied her application, and filed a grievance against the applicant for making a false statement on her application. Did the applicant violate the Model Rules of Professional Conduct in this case?

Yes, because she knowingly made a false statement of material fact on her application for admission to the state bar.

Attorney works for a state-operated legal aid clinic, which under a state statute counts as a social service agency. The state has a mandatory reporting law for child abuse, which statutorily requires employees of social service agencies to report any instances of child abuse they discover among their clients or constituents. Attorney met with a prospective client and her child to discuss possibly representation at a welfare termination hearing. The prospective client did not meet the agency's guidelines to be eligible for free legal representation, however, so Attorney had to decline the case. Nevertheless, it was evident during the interview that the prospective client's child was the subject of serious physical abuse - a black eye, cigarette burns on her arms and neck, bruises on the backs of her legs, and a demeanor of cowering in fear around adults. Attorney wanted to talk to the mother about it, but has been unable to reach her since declining to represent her. Must Attorney report the prospective client for child abuse?

Yes, because state law requires the disclosure, and a lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary to comply with other law

A new federal Treasury Regulation provides that attorneys who prevail in tax cases on behalf of their clients against the Revenue Service are entitled to attorneys' fees at the fixed rate of $100 per hour, not to exceed $100,000. If the Client provides written informed consent, could Attorney be subject to discipline for this fee agreement?

Yes, because state rules about legal fees are subject to limitations by applicable law, such as government regulations regarding fees in certain tax matters.

An attorney uses an outside billing service to track client billing and send bills to clients each month. The attorney keeps track of his time, and submits computerized reports by email to the billing company at the end of each workday about how much time he spent on which tasks for which clients...Clients are not aware that the attorney uses an outside billing service until they receive their bills. Has the attorney violated his ethical duties to his clients?

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

Attorney practices law in Texas, and he runs advertisements in local newspapers and journals that say, "HIRE THE BEST LAWYER!" The advertisement does not explicitly claim that Attorney is the best lawyer in the state, but it does include Attorney's website address, which is www.bestlawyerintexas.com. Is such an advertisement improper?

Yes, because the advertisement it misleading

Attorney normally represents Client in commercial litigation matters, but in one particular case, Attorney had to testify as a witness during the trial, so he arranged for another firm to represent Client during the trial at which Attorney testified. Client prevailed at trial, and the opposing party filed an appeal. Attorney's testimony from the trial is not an issue in the appeal; instead, the appeal focuses on the apportionment of fault and certain guarantees in a commercial contract. The firm that handled the trial did not do appellate work and ended their termination of Client after the trial ended in a favorable verdict. May Attorney represent Client in the appeal, even though Attorney testified at the trial?

Yes, because the advocate-as-witness rule generally applies only to representation during the trial, unless the lawyer's testimony is an issue on appeal.

Attorney is representing himself in his divorce proceeding. Would it be proper, under the advocate-witness rule, for Attorney to testify as a witness on his own behalf in the proceeding in which he represents himself?

Yes, because the advocate-witness prohibition does not apply to pro se litigants who are attorneys

An attorney is active within a new political movement and she has represented several members of the movement. The leader is arrested. Attorney contacts the leader and offers to do the work for free in the hopes it will drive more clients to her office. Is this proper?

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

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

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

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

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

An in-house attorney learns that the CFO falsified an earnings report. He knows the SEC will find out and it will be disastrous for the corporation. He talks to the CFO, and up the chain to the board but they don't want to do anything about it. Would it be proper from the attorney to become a whistleblower?

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

An attorney represented a client in a criminal prosecution. The client agreed to a plea bargain, and the case moved on to a sentencing hearing. The prosecution's pre-sentencing report to the judge erroneously indicates that the client has no prior convictions, and the trial judge aske the client directly whether that is true...The attorney had represented the client previously in another jurisdiction in a criminal matter, and he knew that the pre-sentencing report was erroneous. Before adjourning, the judge asked the attorney if he had anything else to say. Could the attorney be subject to discipline if he does not correct the judge's misperception about the client's criminal record?

Yes, because the attorney must not allow his client to offer evidence that he knows to be false to a tribunal.

Defendant was indigent and received court-appointed defense counsel, Attorney, in his felony larceny case. Client proceeded to trial and the jury convicted him, and he received the maximum possible sentence for the crimes charged. Was it proper for Attorney to reject the final plea bargain offer without informing the client?

Yes, because the client has previously indicated that the proposal will be unacceptable and has authorized the lawyer to reject the offer.

An attorney agreed to draft a will for a new client who wanted to leave his entire estate to his children, but wanted to disinherit his estranged wife entirely...It should have been foreseeable to the attorney at the time of drafting that the will would not be sufficient to overcome the wife's claim to her statutory share, but he did not explain this to the client...Could the frustrated children have a viable claim against the attorney for legal malpractice?

Yes, because the client's intention was clear on the face of the will, and the lawyer therefore could be liable to the heirs even though they are not clients.

An attorney represented a client in a misdemeanor criminal matter involving minor vandalism. The attorney interviewed the victim, who incurred property damage, hoping to learn more about the value of the damage and how frequently vandalism occurs in that neighborhood. The property owner explained to the attorney that the client had been demanding "protection money" from him and other business owners in the neighborhood for a long time, and that the vandalism followed his refusal to continue paying the protection money....Several years later the client died....A reporter eventually found the attorney and interviewed him about the vandalism incident...The attorney explaining that the incident was actually part of a larger extortion operation and that the business owner handled the matter nobly. Should the attorney be subject to discipline for this disclosure?

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

A firm specializing in sports law represented several professional athletes as clients. The state disciplinary authorities suspended and eventually disbarred one of the associates at the firm, but the disciplinary action did not implicate the rest of the firm. The firm retained the disbarred lawyer as a sports agent for some of the athletes who were clients of the firm. The disbarred lawyer would draft contracts and negotiate deals for the firm's clients. Is this wrong?

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

At attorney represented a client, who was a defendant in a criminal prosecution. The client's trial ended in a conviction and a life sentence. After all possible appeals were complete, the attorney's representation of the client ended. Several years later, the attorney met with some former law school classmates at an alumni event, and they swapped stories over drinks about some of their cases over the years. The attorney mentioned the client, but only by first name...Could the attorney be subject to discipline for disclosing confidential client information?

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

A client is struggling through a deposition, during which opposing counsel is subjecting him to intense questioning. The attorney, who represents the client, tries objecting a few times in order to break the opposing counsel's momentum, but it was to no avail....The attorney flipped the table, and stormed out...a few days later, the attorney called opposing counsel and halfheartedly apologized...Could the attorney be subject to discipline for the way in which he disrupted the deposition?

Yes, because the duty to refrain from disruptive conduct apples to any proceeding of a tribunal, including a deposition.

An attorney discovers that another lawyer has been stealing clients' funds, but he cannot prove it, as he learned about it from another party who was involved and who has since disappeared. He has some evidence, but not enough to prove that the other lawyer stole the clients' funds. When he confronted the other lawyer, the other lawyer admitted it privately but said he would deny it if there was any attempt to expose the matter. Does the attorney who knows about the violation, but could probably never prove it, have a duty to report the violation to the state disciplinary authority?

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

Attorney was a new law school graduate, and had recently moved to a new town and opened a practice there. Attorney did memorialized their agreement in writing. Is Attorney subject to discipline for this fee agreement?

Yes, because the fee is unreasonably high and is merely exploiting the client's predicament.

During the trial, the judge overruled an objection by one of the attorneys. The attorney felt that the judge had made a fundamental error and had ignored a clear provision of the official Rules of Evidence. Court adjourned for the day a few minutes later, and the judge retreated to his chambers. The attorney approached the judge's clerk, who was still in the courtroom, and give him a handwritten note to pass along to the judge. The note thanked the judge for recently inviting the attorney to the judge's home, along with sixty other people from the legal community, for a holiday party. It also said that the judge had made a mistaken ruling on the attorney's objection that day, and referred the judge to the relevant provision of the Rules of Evidence. Could the attorney be subject to discipline for his actions?

Yes, because the lawyer communicated ex parte with a judge during the proceeding, without being authorized to do so by law or court order.

Attorney is representing a client who is a notorious celebrity-turned-criminal in a criminal case involving drug charges. Attorney is confused about whether he may publicly disclose information that he learned in confidence from his client if the information is already a matter of public record, and his research indicates there is a split of authority on this question. Attorney calls another lawyer who specializes in lawyer malpractice and lawyer disciplinary matters to seek advice about what course of action would comply with the Rules of Professional Conduct. The other lawyer, an expert in legal ethics, agrees to provide an opinion and to keep the conversation a secret. Attorney tries to use a hypothetical to explain the problem, but given the client's national reputation and celebrity status, the other lawyer knows immediately who the client is, and can easily surmise the nature of the confidential information. In addition, Attorney mentions that his client is secretly a bisexual and has been having an affair with both the male and female hosts of a nationally televised morning talk show, though neither of them is aware that the other is having an affair with the same person. Is Attorney subject to discipline for disclosing confidential information about his client?

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

Three individuals plan to form a joint venture and ask Attorney to represent them in drafting the necessary documents and making the necessary filings with the government agencies. May Attorney trust his professional judgment a proceed without obtaining separate consent forms from each person in the joint venture?

Yes, because the mere possibility of subsequent harm does not itself require disclosure and consent

Attorney left Big Firm to open his own practice. Not wanting to sound alone and isolated, he decided to call it "[Attorney's Name] & Associates," even though he had no lawyers working for him. Nevertheless, he did have a receptionist and a paralegal. Could Attorney be subject to discipline for using this name for his firm?

Yes, because the name is misleading if there are no lawyer associates working for Attorney

Attorney's new firm agrees to represent Client in an action against Corporation, which Attorney's previous law firm has represented for many years, and continues to represent in the present matter. Should Attorney's new firm be subject to disqualification under these facts?

Yes, because the new firm did not implement the screening procedures soon enough.

Client sought to have Attorney represent her as the defendant in a litigation matter. Client had previously retained another lawyer in the same matter, but two weeks before trial was to begin, the opposing counsel had moved to have her lawyer disqualified due to her lawyer having a conflict of interest with the opposing party, who was the lawyer's former client. Was Attorney's conduct proper?

Yes, because the reasonableness of a fee depends in part upon the time limitations imposed by the client or by the circumstances.

Attorney's brother is a physician. Attorney calls his brother and explains that his firm is not doing well, that he needs more cases, and asks his brother to use him as his lawyer for any medical malpractice actions he faces or any collection actions against patients who do not pay their bills. Attorney's brother finds this request annoying and makes no promises. Was it proper for Attorney to make such a telephone solicitation?

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

After a hurricane damaged hundreds of homes in a southeastern state, Attorney received requests for information about legal representation from several affected homeowners. Attorney wrote back, offering to represent them in their insurance claims arising out of the storm damage. Each letter was handwritten and personalized, and Attorney addressed each envelope by hand so that recipients would perceive it as a personal letter and would be more likely to open it and read it. At the top of the letter itself, Attorney wrote by hand the words "Advertising Material." Were Attorney's actions proper?

Yes, because the requirement that certain communications be marked "Advertising Material" does not apply to communications sent in response to requests of potential clients

An attorney lives in the border town of Nashua, New Hampshire, which is a forty five minute drive from Boston, Mass. The attorney took the Mass. Bar and passed. She plans to live in New Hampshire and commute to work in Mass. New Hampshire has a state law against this. Could the attorney challenge this law and win?

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

Attorney wants to retire from practice due to a chronic illness, and decides to sell his practice to another lawyer. The sale agreement complies with the Model Rules regarding the sale of a law practice. As part of the sale agreement, however, Attorney stipulates that he will not resume the practice of law in that jurisdiction, even if medical breakthroughs cure his chronic illness and restore him to perfect health. The purchaser of the firm is aware that research for a cure of Attorney's illness is well underway, and is concerned because it is foreseeable that Attorney would recover and want to return to the practice of law in a few years. Is it proper for Attorney and his buyer to include this provision of the sales agreement for the law firm?

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

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

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

A lawyer is engaged in civil litigation. On his way into the courthouse on the day of jury selection, reporters gather around the lawyers hoping for comments. The lawyer explains that the unrelated criminal trial happening at the courthouse that day is far more important, and he expresses regret that he is not involved in that case at all. He states that he believes the criminal case should result in an acquittal because the police (who are testifying as witnesses in the case) violated the defendant's civil liberties, and because the relevant penal statute itself, which furnished the basis for charges in the case, violates the Bill of Rights. His own civil case, he says, is a brief matter scheduled for a one-day trial, so he hopes to observe the closing arguments tomorrow in the important criminal case in the other courtroom. Were the lawyer's statements proper?

Yes, because the rule limiting trial publicity applies only to lawyers who are, or who have been involved in the investigation or litigation of a case.

Client intends to purchase a parcel of real estate, and retained an attorney to analyze the seller's title to the property....The attorney concludes that the seller does not have clear title to the property, and informs the seller of this opinion when the seller asks him about it. The seller forbids the attorney to disclose the information to the prospective purchaser of the property...May the attorney inform the prospective purchase of his opinion about the title?

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

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

Yes, because the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer

Attorney was a criminal defense lawyer and she represented Client, who was a defendant in a criminal prosecution. The prosecution called Attorney to the witness stand to authenticate a piece of evidence, which Attorney was willing to do because the authenticity of the evidence was not really in dispute; Attorney planned to use alibi evidence to defeat the charges against Client, which would make this piece of evidence relatively unimportant to the case. May Attorney testify in this manner in a case in which she represents the defendant?

Yes, because the testimony relates to an uncontested issue.

A client wants to sell a parcel of commercial real estate, and he hired an attorney to represent him in the matter. As part of the representation, the client asked his attorney to prepare a thoroughly researched opinion memorandum concerning the title of the property, for the information of a prospective purchaser and the purchaser's prospective lender...Could the attorney be subject to discipline for failing to disclose explicitly in the memorandum what party he represents and that he has a duty of loyalty and confidentiality to the seller?

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

While preparing for a trial over workplace discrimination among a company's sales force and marketing department, the plaintiff's lawyer contacts some night shift workers in the company's offsite warehouse to learn about the day-to-day operations of the company, and hoping to hear some revealing gossip about the management and human resources department. The lawyer does this without permission from the defendant's attorney, and if asked, the company's lawyer would have forbid it and would have told the warehouse workers not to talk to the plaintiff's lawyer at all. Was this communication by the plaintiff's lawyer proper?

Yes, because the warehouse workers are not involved in the matter, do not report directly to the firm's in-house counsel, and lack authority to bind the organization in the matter.

An attorney represents Conglomerate Corporation in a lawsuit against the company brought by an individual plaintiff. The lawsuit could bring very bad publicity to Conglomerate Corporation and could adversely affect its stock share price. Attorney files counterclaim against plaintiff....Attorney and plaintiff's counsel know these counterclaims lack basis in fact, but will be costly for plaintiff to defend. The attorney uses the counterclaims as leverage in reopening the settlement negotiations. Could the attorney be subject to discipline for filing the counterclaims?

Yes, because there is no factual basis for the claims, and the lawyer did no bring them in good faith.

Attorney and his partner sued Conglomerate Corporation in a Nicaraguan court for injuries sustained by local farmers from the toxic effects of a pesticide made by Conglomerate Chemical Company, a closely held affiliate of Conglomerate Corporation. Both companies have headquarters in Texas. Attorney then appealed the decision, still hoping to execute the billion-dollar judgment against the wrong legal entity. Are Attorney and his partner subject to discipline for bringing a frivolous action and appeal?

Yes, because they pursued the attempt to execute a foreign judgment in the United States against a company that had not participated in the litigation.

An attorney represents a client, who wants to sell his business. A prospective purchaser has required from the client an evaluation of the business' solvency...The client provides the attorney in confidence that he has often understated the earnings of the business....He asks the attorney to adjust the earnings figures upward by 25%...The attorney finds this objectionable and prepares a report based on what the records actually say...and gives the evaluation directly to the purchaser. Despite the low reported earnings, the purchaser pays the client's asking price for the business...Could attorney be subject to discipline for his conduct in this matter?

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

Attorney represents Client, a wealthy executive, for the first time in a divorce case. Attorney did not mention to Physician that Client was the individual planning to purchase and develop the parcels, or reveal anything about his representation of Client. Is Attorney subject to discipline?

Yes, because using information gleaned from representation of a client to the disadvantage of the client violates the lawyer's duty of loyalty, even when the lawyer uses the information to benefit a third person, such as another client.

Attorney has represented Client on a number of matters. Most recently, Attorney has represented Client in a litigation matter against the city's largest manufacturer. The manufacturer, whom Attorney is suing on behalf of Client, is both the city's largest employer and the largest purchaser of goods and services from small businesses in the area. The court is willing to postpone the trial by three weeks to give Client time to find a new lawyer or prepare to represent himself. Is it proper for Attorney to withdraw from representation in this case, if the court has no objection?

Yes, because withdrawal is permissible if the client misused the lawyer's services in the past, even if the withdrawal would materially prejudice the client.

Attorney sued Company on behalf of Client in a personal injury matter. During matter, Conglomerate bought Company. Attorney was already representing Conglomerate in another matter. Development was unforeseeable. Will Attorney have option to withdraw from one of the representations in order to avoid the conflict?

Yes, but Attorney must seek court approval where necessary and take steps to minimize harm to the clients, and must continue to protect the confidences of the client from whose representation the lawyer has withdrawn

Three co-owners of a successful startup business hire Attorney to help with working out the financial reorganization of their enterprise. Is it proper for Attorney to represent three clients with potentially adverse interests in a negotiated transaction?

Yes, common representation is permissible where the clients' interests generally align, even though there is some difference in interest among them, so Attorney may pursue an agreement on an amicable and mutually advantageous basis.

In anticipation of trial, a plaintiff's lawyer contacts several FORMER employees of the defendant corporation without getting permission from the opposing counsel. Was this proper?

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

Attorney agreed to represent Seller, who wishes to sell her business to Buyer, a sale already bogged down in protracted negotiations over sale price, outstanding liabilities, and certain trade secrets. Must Attorney obtain informed consent from each client to undertake representation of Seller in the negotiations over the sale of the business?

Yes, directly adverse conflicts can also arise in transactional matters, and when a lawyer agrees to represent the seller of a business in negotiations with a buyer represented but the lawyer, not in the same transaction but in another, unrelated matter, the lawyer cannot undertake the representation without the informed consent of each client

Two sisters are co-tenants of a house that they inherited from their father. With regard to the sister who seeks to discharge Attorney, may she do so?

Yes, each client in the common representation has the right to discharge the lawyer as stated in Rules of Professional Conduct and the accompanying Comments.

Attorney works for a mid-size law firm that employs two or three law students every year as summer associates. The manager of the student associates assigns one of them to work on Attorney's pending antitrust case, in addition to assignments for other lawyers at the firm. While researching an important issue in the case, the summer associate discovered an older Supreme Court decision that was unfavorable to their client. The summer associate decided not to tell anyone about the case, as the opposing party seemed to have overlooked it in their briefs. Attorney was not aware of any of this until they were on a break during their hearing. The hearing was going well for their side, and the associate boasted to Attorney about "burying" that Supreme Court case he had found. Attorney said, "Well, you should have told me about it at the time, but there is no point in bringing it up now, as it appears opposing counsel overlooked it and the hearing is going our way." The judge's clerks, however, found the case, and the judge queried the lawyers about how they could have missed it. Opposing counsel admitted he had been negligent in doing legal research on the matter, and Attorney recounted the story about the summer associate hiding the case from him. Is Attorney now subject to discipline for what the summer associate did?

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

An insurance company hired Attorney to represent one of its policyholders. The insurance company requires periodic updates and detailed billing statements about the matter from Attorney, as part of its agreement to provide representation for its insured. In addition, the insurance company requires Attorney to submit detailed billing statements to a third-party auditor, designated and paid by the insurance company. Client is unaware of these reporting requirements and did not provide explicit consent to either of them. The third-party auditor receives no information except the name and policy number of the client and the time spent by Attorney on various tasks necessary for the representation. Could Attorney be subject to discipline for disclosing confidential information?

Yes, even though the policyholder impliedly authorized the Attorney to provide updates and billing statements to the insurance company, submitting the bills to the third-party auditor constitutes an unauthorized disclosure of confidential information.

Attorney represents Client in a guardianship proceeding. Client is an adult with Down's Syndrome and has an IQ far below average, in the "mental retardation" range of the DSM-IV. Is it proper for Attorney to leave Client out of this decision entirely?

Yes, fully informing the client according to the usual ethical standards may be impracticable, because the client suffers from diminished capacity.

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

Yes, given the coercion and duress inherent in the client's incarceration, using the promise of securing the client's release from custody as an inducement to engage the lawyer would be a violation of Rule 7.3(b)(2).

Attorney worked for a small plaintiffs' firm in Dallas, Texas. The firm undertook the representation of Victim, who suffered severe injuries in a traffic accident with a large truck, allegedly due to the truck driver's negligence. Should Attorney be subject to disqualification from defending the trucking company?

Yes, if a lawyer has general access to files of all clients of a law firm and regularly participates in discussions of their affairs, it creates an inference that such a lawyer in fact is privy to all information about all the firm's clients, and the burden of proof should rest upon the firm whose disqualification is sought.

276. client, with the designation "Advertising Material" printed on the outside of the envelope. The recipient of the letter opens it and reads it, but does not respond. Lawyer then sends a follow-up letter to the prospective client, again with the designation "Advertising Material" printed on the outside of the envelope. Could Attorney be subject to discipline for sending the second letter?

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

Attorney represents Client in a family law matter. A hearing is set for Monday. On the Wednesday prior to the scheduled hearing, Client calls Attorney and advises that Client no longer wants to be represented by Attorney and that Attorney's representation is considered terminated as of the date and time of the call. Is Attorney subject to discipline?

Yes, if representation has begun, attorney is required to withdraw from the case and take reasonable steps to mitigate consequences to client if discharged by client.

Attorney works as a public defender, and she feels completely overwhelmed. Her caseload is so heavy that she has started to double-book two or more trials for the same day, counting on one or more of them to resolve in a plea-bargain agreement before trial. It is now clear to her that she cannot meet the basic ethical obligations required of her in representation of her existing clients. Must Attorney withdraw from representing some of her current clients?

Yes, if she cannot fulfill her ethical duties, she must not continue representation of her current clients.

Attorney has a private practice in a large rural township, and she specializes in commercial real estate transactions, such as the sale and lease of farmland, stables, granaries, and mills. Is Attorney's standardized "waiver of future conflicts," signed by Client, likely to be effective in this situation?

Yes, if the client agrees to consent to a particular type of conflict with which the client is already familiar, then the consent ordinarily will be effective with regard to that type of conflict

Attorney represented Defendant in a criminal case involving serious felony charges. Defendant understands this to mean that he has no choice, so he gives up and does not testify. The trial went well and the jury acquitted Defendant of all charges. Would Attorney be subject to discipline under these circumstances?

Yes, in a criminal case, the lawyer shall abide by the client's decision, after consultation with the lawyer, as to whether the client will testify.

An attorney represented a client in her divorce and custody case. The client's husband had been abusive, so she asked the attorney to obtain a temporary restraining order against her ex-husband. At the hearing for the temporary restraining order application, does the attorney have an affirmative duty to disclose the length of time since the last abuse ocured and the ex-husband's faithful participation in an anger management program?

Yes, in an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.

A producer of popular energy drinks and the owner of a popular chain of video-rental kiosks wanted to undertake a joint venture to distribute energy drinks and DVD rentals through the same kiosks. Is Attorney's conduct proper?

Yes, in limited circumstances like this, it would be appropriate for the lawyer to proceed with the representation when the clients have agreed, after being properly informed, that the lawyer will keep certain information confidential.

After much effort, Attorney located an expert witness who could substantiate his client's claims and could refute the testimony of the opposing party's expert witness. The expert witness, however, demanded a large retainer fee to review the case documents and a fee of $1000 per hour of courtroom time. Was it proper for Attorney to agree to pay the expert witness a princely sum to testify at the trial?

Yes, it is proper to compensate an expert witness on terms permitted by law.

Client paid his legal fees to Attorney in cash. The total fees were $11,100, and Client paid Attorney in bundles of twenty-dollar bills. The Internal Revenue Code, 26 U.S.C. § 6050, requires that lawyers disclose, through Form 8300, the identities of clients, amounts, and payments dates of all cash fees in excess of $10,000. Client already forbid Attorney to disclose the information to the IRS. Must Attorney disclose Client's name, the amount, and the dates of payment on Form 8300?

Yes, the Internal Revenue Code supersedes the Rules of Professional Conduct regarding the duty of confidentiality, so the lawyer should make such disclosures as are necessary to comply with the law, after informing the client

An attorney represents a small business in a contract dispute with one of its suppliers. The attorney meets with the employees of his client, in groups of four or five at a time, and explains that there is litigation pending, that Big Firm is representing, the supplier, and that they should simply decline to discuss the case with anyone, especially lawyers from Big Firm. Was it proper for the attorney to ask the employees not to talk to the other party?

Yes, the Rules of Professional Conduct permit a lawyer to advise employees to of a client to refrain from giving information to another party, for the employees may identify their interests with those of the client.

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

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

An attorney is a notorious personal injury lawyer, widely feared by defendant corporations and insurers who must defend claims. The attorney reaches one exceptionally favorable settlement for his client, a structured settlement paying several hundred million dollars over a period of five years. The defendant demands, as part of the settlement, that the attorney not represent other plaintiffs against him in the future. The attorney agrees, buys an island and retires. Is the attorney subject to discipline for this agreement?

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

Attorney represents Client in a civil matter, and has represented Client several times before. Client and Attorney purchase a piece of property together, with an appraisal value of $4 million. Is Attorney subject to discipline?

Yes, the business transaction must be fair and reasonable even when the client obtains representation by independent legal counsel, though representation by counsel will be a factor in determining the fairness of the transaction.

During a deposition, Client gives testimony that Attorney, who is representing Client, knows is false. Does Attorney have an affirmative duty to take remedial measures to correct the false statements offered by Client?

Yes, the ethical duty to take remedial measures when a client offers false statements applies when the lawyer is representing a client in an ancillary proceeding conducted pursuant to the tribunal's adjudicative authority, such as a deposition.

An attorney was a judge for several years. Near the end of her tenure as a judge, she functioned in the role of the chief administrative judge in that court, assigning cases to the other judges and supervising their work, and had only a limited docket of her own trials. The attorney then left the bench and opened her own law practice. The attorney agrees to represent the client in a matter in the same courthouse where the attorney formerly served as a judge. The attorney even remembers the case, but only the names of the parties and the nature of the action, because she assigned it to the trial judge who currently has the case on his docket, but the attorney had no other involvement in the matter. The client's previous lawyer in the matter was subject to disqualification at the motion of the opposing party due to a conflict of interest. Is it proper for the attorney to represent the client in this matter?

Yes, the fact that a former judge exercised administrative responsibility in a court does not prevent the former judge from acting as a lawyer in a matter where the judge had previously exercised remote or incidental administrative responsibility that did not affect the merits.

A client met with an attorney for a free consultation, and explained that she had met with two other lawyers for consultations and that she planned to hire one of the three to provide the legal services necessary to set up her professional business. The attorney...mentioned a few prominent accountants and physicians in town whom the attorney had represented and helped with incorporating their partnerships or practice groups....The attorney had to disclose to the tribunal exactly what he did for the client and the complexity of the issues involved, which necessarily involved disclosure of confidential information. Was it proper for the attorney to disclose this confidential information about the client merely to prevail in a fee dispute?

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

A prosecutor in New York is engaged in plea bargain negotiations with a defendant and defense counsel. The defendant offers to confess to a much more serious crime, committed several years ago in California, if the prosecutor will drop the current charges, which will put the defendant in danger of retaliation from his gang once he is in prison. The prosecutor agrees, and the defendant confesses to a notorious armored car robbery in California ten years earlier that made national news, and for which another man had been convicted and was serving his sentence. The defendant describes the crime with sufficient detail that the prosecutor doubts that he could be fabricating the story. Does the prosecutor have any ethical duties about what to do with this information?

Yes, the prosecutor must promptly disclose that evidence to an appropriate court or authority

A prosecutor receives a call from a crime lab about some DNA samples that someone had misplaced years before in a freezer at the lab. The DNA related to one of the prosecutor's former cases. Someone at the crime lab had checked the files and realized that the defendant in the case had been convicted of rape and murder, and was serving a life sentence in prison, but that the DNA evidence absolutely exonerates the defendant and points instead to the victim's cousin as the perpetrator. Does the prosecutor have specific ethical duties about what to do regarding this information?

Yes, the prosecutor shall seek to remedy the conviction.

An attorney practices law in two adjacent states, as he has a license to practice in each. He lives near the border and can easily serve clients in each jurisdiction. The two states have different rules about attorney disclosures of confidential client information - one state requires disclosures of client confidences whenever necessary to save a third party from death or serious bodily injury, while the other state forbids disclosures even under these circumstances. The attorney did indeed disclose confidential client information in order to save someone's life (the client was planning a murder and the attorney notified the authorities and warned the potential victim), but this occurred in the state that forbids such disclosures under these circumstances. The client files a grievance against the attorney in both states, and both state bars commence disciplinary proceedings over the same incident. The state bar of the other state, which would have required disclosure in this situation under its own rules, nevertheless reprimands the attorney for making the disclosure in violation of the rules in the state where the incident occurred. The attorney objects that the state cannot impose a sanction on him for conduct that the state's rules would have required. Is the state bar correct?

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

Husband hired Attorney to represent him in a divorce; the husband and wife had three adult children. After Husband calms down, he agrees to Attorney's conditions of representation. Is it proper for Attorney to insist on such conditions of representation?

Yes, the terms upon which representation is undertaken may exclude specific means that might otherwise be used to accomplish the client's objectives, such as actions that the lawyer regards as repugnant or imprudent.

Three years after prosecuting a defendant and obtaining a conviction for murder, another individual comes to the police station and confesses to committing the very murder for which the defendant is already serving time. The defendant always maintained his innocence and the basis of his conviction was an identification (in a lineup) by a single eyewitness. The person now confessing to the crime also fits the description given by the eyewitness and had a plausible motive for committing the murder. Does the prosecutor have a duty report this to the convicted defendant's lawyer?

Yes, when a prosecutor knows of new, credible and material evidence creating a reasonable likelihood that a convicted defendant in his jurisdiction did not commit an offense of which the defendant was convicted, the prosecutor shall promptly disclose that evidence to the defendant unless a court authorizes delay, and undertake further investigation, or make reasonable efforts to cause an investigation, to determine whether the defendant was convicted of an offense that the defendant did not commit

A lawyer is representing the defendant in a highly publicized criminal trial. On his way into the courthouse on the day of jury selection, reporters gather around the lawyer hoping for comments. The lawyer explains that the prosecutor already held a press conference in which she shared that the defendant had refused to take a polygraph test, that DNA tests had confirmed the defendant's guilt and that the defendant had refused several offers of guilty pleas. To set the record straight before trial, the defense lawyer explains that his client had actually agreed to take a polygraph test but that none had occurred. He adds that defense experts would testify about problems with the DNA tests, and that the plea offers had all been the same (a life sentence instead of the death penalty) and were unacceptable to the client. Were the defense lawyer's statements proper?

Yes, when prejudicial statements have been publicly made by others, responsive statements may have the salutary effect of lessening any resulting adverse impact on the adjudicative proceeding.

Three individuals hire Attorney to represent them as co-defendants in a tort action. Could Attorney be obligated to withdraw from representation later in the litigation, if the clients gave written consent to the shared representation at the outset?

Yes, when representation of multiple clients in a single matter is undertaken, the information must include the implications of the common representation, including possible effects on loyalty, confidentiality and the attorney-client privilege and the advantages and risks involved.

Attorney represents Client in a transactional matter, a complex business merger. The parties have agreed in advance, by contract, to engage in good-faith negotiations, but that if an agreement does not emerge within six months, either party can abandon the deal and cease negotiations. Could Attorney be subject to discipline for how he handled the final agreement?

Yes, when there is time to explain a proposal made in a negotiation, the lawyer should review all important provisions with the client before proceeding to an agreement, and the facts suggest that Attorney did not necessarily explain all the concessions that Client would have to make.

Two brothers work together in a family landscaping business, and each is a named defendant in a lawsuit over a broken sewage pipe on a client's property where the brothers were digging holes to plant new trees. Does the common representation have implications for the attorney-client privilege?

Yes, with regard to the attorney-client privilege, the prevailing rule is that, as between commonly represented clients, the privilege does not attach, and lawyers should assume that if litigation eventuates between the clients, the privilege will not protect any such communications.

Attorney is representing a group of plaintiffs in a mass tort claim, and he hopes to obtain class certification so that it will become a class action lawsuit. Attorney sends letters to hundreds of potential class members inviting them to join the lawsuit and inquiring about whether they would be willing to join as a named party in the action. He does not designate the letters as "advertising material" on the outside because each recipient is a potential class member of a lawsuit that is already underway, but not yet certified as a class action. Could Attorney be subject to discipline for sending these letters?

a) Yes, because if plaintiffs' counsel's goal is to seek to represent the putative class member directly as a named party to the action or otherwise, the provisions of Rule 7.3 apply