PRQsALL

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

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

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

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

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

a) LSC and IOLTA

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?

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

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?

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

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?

c) Environmental consulting

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

A) 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.

Client hires Attorney in high-profile murder case in which Client is the defendant. Client is unable to pay the fee, but offers Attorney full media and literary rights in exchange for representation. Attorney agrees, but specifically states in contract that no media or literary rights shall be used by Attorney until the case concludes. Is Attorney subject to discipline?

A) 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.

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. As the only lawyer in the township with expertise in this area,she has represented most of the parties who buy and sell commercial real estate there. As a result, most of her clients pose potential conflicts of interest with other current, former, or future clients, so Attorney has a standard "waiver of future conflicts" form that explains conflicts of interest that typically arise in commercial real estate transactions, and she asks every client to sign it at the commencement of representation. Client is a major landholder in the township, who inherited extensive tracts of farmland from his family, who in previous generations were some of the original settlers in the area. Over the years, Client has sold off dozens of small parcels of farmland to neighboring farmers or small businesses such as honey processors, taxidermists, a hardware store, and a veterinarian. Client has also bought properties at times that were adjacent to his existing landholdings. Client has always used other lawyers for these transactions in the past, and in each previous instance, the other party had separate counsel. Client now wants to hire Attorney to sell a parcel to a real estate developer. Buyer (the developer) is also a client of Attorney on unrelated matters, but the Buyer has hired another lawyer to handle this particular matter. Client and Buyer have had a good working relationship in the past and have consummated a few transactions that went smoothly. When Client meets with Attorney to review and sign a retainer for this representation, Attorney includes with the retainer her standard "waiver of future conflicts" form, without additional oral explanation except to mention that she represents Buyer in an unrelated matter. Client reads the form and signs it. As the negotiations for the sale to the developer proceed, an unforeseen conflict emerges between Client's interests and the unrelated matters for which Attorney has represented the developer, as one will significantly affect the road traffic for the other. Is Attorney's standardized "waiver of future conflicts," signed by Client, likely to be effective in this situation?

A) 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.

Client and her estranged husband have lived separately for several years. Client faces charges for involvement in an armed robbery. Client retains Attorney to represent her in the armed robbery case. Client's estranged husband learns that Client faced criminal charges and looks up her attorney's information in the local court records. Client's estranged husband then contacts Attorney and asks to make a payment for CLient's representation because he feels guilty for leaving her several years before. Attorney accepts payment from Client's estranged husband. Is Attorney subject to discipline?

A) yes, attorneys are required to obtain informed consent from the client before accepting payment from a third party.

Client is represented by a lawyer in a law firm for a malpractice suit against a doctor. Client incurred significant medical bills and expenses after a surgery went unusually wrong. Attorney, who works in the same law firm as the lawyer representing Client, offered to give Client a set amount of money each month until the case ended. Client could then repay this attorney with his recovery from the lawsuit. Is attorney subject to discipline?

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

Attorney Albert worked at Ricks, Sawyer & Thompson for 5 years and specialized in real estate. During the last 3 years, Albert has worked intensively on Client's Callahan's properties and 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 apartment complex. 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 right of way.

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

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

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

Lawyer Laura worked at Abel and 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 and disputes that arose related to them. Before leaving the Abel and Bentley firm, Lawyer Laura handled a new real estate deal for Client Cain that facilitated the erection of a new apartment complex. Lawyer Laura now works at the Davis & Eldridge firm. One of her first assignments is a case in which a client Seth, a new client of the first, is suing Cain over a disputed right of way through the very property that now holds the new apartment complex- Seth and Cain are neighbors. Can Laura represent Client Seth against her former client, Cain?

A. Lawyer Laura may represent Client Seth if client Cain consents in writing to her doing so.

A client retained an attorney to represent him in two cases: a criminal case and a divorce case. The attorney required that the client pay a retainer fee for the family law case, which billed at the attorney's hourly rate. The attorney then arranged for the client to pay him based on a contingency fee for the criminal case. The attorney and the client both signed the combined contract, which detailed each fee arrangement for each case, and the attorney's representation began. Are the attorney's actions proper?

A. No, as attorneys cannot charge a contingent fee for representing a defendant in a criminal case.

A client met with an attorney to discuss certain financial decisions that the client was considering making in the future. The attorney discussed the pros and cons of making the decisions, but did not give a recommendation to the client. The client went on to make the financial decisions and ultimately came under investigation by the IRS for tax fraud. Is the attorney subject to discipline?

A. No, because an attorney may analyze and give an opinion about the likely consequences of a client's conduct.

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 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 already made renovations to the hotel to ensure that no accidents 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 the client's permission to talk to the media. Opposing counsel is standing nearby waiting for his turn to talk, and he expresses no object to the first lawyer giving interviews like this, or to the lawyer's comments. Were the lawyer's statements proper?

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

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

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

An 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 he other associate used to represent at his previous firm, and the attorney suspects it is a substantially related matter. The firm has done nothing to screen the other associate from the matter. No one ever discusses it with the attorney, and the attorney does not know all the facts of the situation. Later, the client sues the firm for malpractice due to the conflict of interest, and reports the matter to the state disciplinary authority. Which of the following is true regarding the attorney's involvement in the situation?

A. 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. The partner believes the opposing party will want to settle the claim quickly for a modest sum, and will not bother to investigate issues such as the statute of limitations or the factual support for either side. The attorney follows the partner's instructions and drafts the pleadings, without checking the statute of limitations for this particular claim or conducting her own investigation into the facts of the case. Opposing counsel, however, is upset over the frivolous claim and reports the attorney to the state bar. Which of the following is correct regarding the attorney's situation?

A. 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 interest, even though the attorney can find no statute to support this assertion. The attorney has brought this to the attention of her supervising partner, who rebuked her for questioning his authority and insisted that she do as he said. He assures her that the defendants will settle before trial anyway, so the bogus claim merely gives some psychological leverage during settlement negotiations, and cannot do any harm. Moreover, the partner says that the attorney may not last long at the firm if she cannot follow instructions, which seemed to be a threat of termination. At a preliminary hearing, however, the judge confronts the attorney about the unsupportable claim, and she concedes that no statutory duty exits. The judge is irate and considers reporting the attorney to the state bar disciplinary authority. Which of the following is correct regarding the attorney's situation?

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

An attorney is a fifth-year associate at a large frim, and is responsible for supervising the work of a first-year associate. The attorney, however, now spends most if time in Singapore, trying to open a satellite office for the frim there to service one of its major corporate clients. He has not inquired into the associate's compliance with the Rules of Professional conduct in over eighteen months, as they mostly communicate by e-mail regarding pending cases and assignments. To the best of his knowledge, though, the attorney believes the associate is following the rules, and he knows that the associate has attended two Legal Ethics CLE courses in the last year. Unbeknownst to the attorney, the new associate has been overbilling hours and has been neglecting certain client mattes. Which of the following is true regarding the attorney's situation?

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

An attorney is a partner in a medium-size firm. Another partner at the firm, the managing partner, is responsible for implementing policies and procedures to detect and resolve conflicts of interest, to account for client funds and property, to identify dates by which actions must occur in pending matters, and to ensure that inexperienced lawyers receive proper supervision. The managing partner, however, now spends most of his time in Singapore, trying to open a satellite office for the firm there to service one of its major corporate clients. The managing partner is rarely at the home office and has completely neglected the implementation of ethical policies in the firm, so that minimal safeguards or procedures are in place. One for the new associates has committed several serious violations of professional responsibilities in the last few months, including an egregious conflict-of-interest problem and several missed deadlines for filing responsive pleadings. The attorney knew nothing about the violations and was not directly supervising the associate, and tires not to meddle in any of the managing partner's responsibilities, including the implementation of ethical policies and procedures. Which of the following is correct?

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

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

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

An attorney is a partner in a newer law firm that has no effective measures in place to ensure that lawyers in the firm conform to the Rules of Professional Conduct. An associate at the firm violates the rule, and the state bar investigates the policies and 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?

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

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

A. 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 or conduct legal research about possible defenses. Nevertheless, 95 percent of the cases end in pleas bargains without going to trial, so the attorney tells herself that her neglect of case development makes no difference. Her supervisor at the Public Defender office is aware of the unreasonable caseloads of all the attorneys who work there, but the supervisor wants the attorneys to increase their caseloads in order to provide representation to more indigent defendants, even if that means doing minimal work on each case. Which of the following is true regarding the ethical situation facing the attorney and her supervisor?

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

An attorney is a new associate at a law firm, and the managing partner assigns her a new case, in which the firm will represent two co-plaintiffs in a personal injury case. The attorney is concerned that a conflict of interest could arise between the two plaintiffs, and suggest that the firm should represent only one of them. When she discusses this with the managing partner, the managing partner disagrees, because the interest of the two plaintiffs seems perfectly aligned, and they can have each sign an informed consent form waiving the conflict up front. Both admit the question is a close on in terms of the ethical rules for conflict of interest, but the managing partner insists that they proceed. Which of the following is true regarding this situation?

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

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

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

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

A. 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 attorney would be civilly or criminally liable.

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

A. 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 clients are aware, and the relationship is not exclusive.

An attorney is a partner in a law firm, and owns $100,000 worth of stock in Conglomerate Corporation, the names defendant in a new antitrust suit. The attorney's total compensation from the firm is around $15 million per year, including bonuses, and his net worth is around $500 million. His home is worth about $7 million and the attorney inherited it, so the property is unencumbered y any mortgage or liens. The attorney works in a specialized area of law at the firm and does not have much interaction with the other lawyers, except at parties and occasional partners' meetings. Another lawyer in the firm seeks to represent the plaintiffs in the antitrust action against Conglomerate Corporation, which is not a client or the firm. Would it be proper for the firm to represent the plaintiff in litigation against Conglomerate Corporation?

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

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

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

A client, age eighteen, is facing criminal charges of sex with a minor, based on his sexual relationship with his thirteen-year-old girlfriend who lives in the same tenement building. The relevant statute has strict liability for perpetrators--that is, no mens rea or scienter element--and places the victim's age cutoff for the most serious grade of felony at age fourteen. It is indisputable in the case that the defendant had a sexual relationship with the victim when she was thirteen, but the victim claims she wanted the relationship and willingly consented to the sexual contact with her boyfriend. A state psychologist examined the victim and included in his report that she was emotionally mature for her age and was making relationship decisions in the same way as an adult. Even though the attorney is certain that the trial court will convict the client, he believes there is a slight chance that he could convince an appellate court to take a loose view of the age-of-consent provision in the statute, either on substantive due process grounds or simply as a matter of progressive statutory construction. Attorney believes that many thirteen-year-olds, and even younger, are sexually active nowadays and that the criminal laws should reflect the changing values of society. The attorney agrees, therefore, to take the client's case and to use it as a test case to try to change the law of sexual consent in the appellate courts. 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?

A. 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.

A law school suffers from deep divisions among its faculty. One group of the faculty dislikes the Dean and wants to force his resignation with a vote of no confidence and pressure of the Board of Trustees. The other group is loyal to the Dean and resents their disloyal colleagues, whom they consider unprofessional. The controversy surrounding the law school's Dean overlaps with faculty divisions over hiring practices, tenure, and whether the school should try to emulate top-tier law schools in order to boost their national rankings, or if they should focus instead exclusively on pedagogy and preparing the students for practice of law after graduation. The divisions are so great that each faction has threatened to quit, or take other drastic action that would imperil the school's existence, if they side does not prevail. The Board of Trustees obtain an agreement from both factions on the faculty that they will hire an attorney to function as a third-party neutral to attempt to broker a compromise between the factions on the faculty. The attorney is an alumnus of the law school and offers to serve in this capacity without charging legal fees. He claims that he is not representing the Board, the Dean, or either side of the balkanized faculty. He begins to schedule private conferences with each faculty group, the Dean, and the Board, as well as meetings attended by representatives for each faction of the faculty to have deliberations and consider possible compromises. The attorney also insists that he is not an arbitrator or mediator because no litigation over the dispute is pending or even contemplated at this point. Is it proper for the attorney to serve in this capacity?

A. 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 or other matter that has arisen between them.

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. Assuming 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 the trial?

A. 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 if 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?

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

An attorney 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, but the client now wants to modify the will to disinherit her only daughter, who disobeyed the client's wishes by marrying outside their nationality. The daughter is also a lawyer and is married to a lawyer, and the estate is substantial. The client's two sons are both working as manual laborers and they struggle financially. In the past, there had been some tension between the brothers and their sister, although the relationships seem to be cordial now. The attorney believes that disinheriting the daughter will ensure that the daughter rand her husband will contest the will after the client's death, and will rupture the tenuous relationship between the siblings. The client did not ask for the attorney's advice about disinheriting the daughter, she just insisted on it. The attorney initiated a debate about it, explaining that he believed it could be against the client's best interest and would cause unnecessary acrimony between her children. Was it proper for the attorney to initiate such advice when the client did not ask for it?

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

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, 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. The attorney strongly encourages nearly all of her clients to accept a plea bargain, because taking one case to trial will mean that the public defender's office must turn away about two dozen indigent clients. The attorney and her colleagues believe that it is better for her defendants to have a little representation rather than none at all, and that most defendants would lose at trial anyway. Does the attorney have an ethical problem, under the Rules of Professional Conduct?

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

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. The diner was very crowded, so it was difficult for patrons to find a table to sit and eat. After ordering his sandwich at the counter, the attorney noticed two jurors from his own trial standing with their food, waiting for a free table. One of the jurors asked the attorney if they could share a table with him when one became available. The attorney agreed, but reminded them that they could not talk about the case. The three sat together and ate their sandwiches. The two jurors talked most of the time, getting to know each other--discussing their children, their jobs, and their pets. The attorney did not participate in the conversation except to answer their questions about how many children he had, and whether he owned any pets. Another juror form the trial was at the diner, and noticed the attorney sitting with the other two jurors, which he reported to the judge when court reconvened. Could the attorney be subject to discipline for sharing a table with the jurors during a lunch break?

A. 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.

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

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

An attorney has represented his client in the past on various transactional matters. They have always operated under an oral agreement about the fees, and they have never had a dispute over fees in the past- the attorney would send the client a bill, and the client would pay it. Recently, the client contacted the attorney by phone about representing him as a plaintiff in a personal injury lawsuit. The attorney agreed, and then explained that he woulld charge a contingent fee in the case, so that the client did not have to worry about how much tme his attorney had to put into the case, as the client would still receive the same share of whatever amount they won. Given their long history of working together, the attorney offers to set the contingent fee below the rate charged by other attorneys in the area, and they agree over the phone on a 25% contingent fee for the attorney, after costs and expenses. They never formalize this agreement in writing, though at the end of the case, after they prevail and win a large verdict, the attorney sends the client a written statement about keeping 25% of the award for his fee. The client is very happy with the outcome of the case and they have no dispute over this fee. Would the attorney be subject to discipline in a situation like this?

A. Yes, because contingent fees must always be formalized in writing at the beginning of representation.

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 indications of multiple sclerosis, and she has scheduled appointments with specialists for more testing. She has been struggling with several symptoms that usually result from this condition. Does the attorney have any ethical obligations toward her clients, at least related to her possible condition?

A. 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

An attorney represents a client, who lost his criminal appeal and is now serving a life sentence in a federal penitentiary. The client confesses to the attorney that he (the client) committed a murder for which a jury incorrectly convicted another (innocent) man. The client says he is happy that someone else took the fall for that crime and that he will never tell anyone. The attorney lectures the client about the morality of this situation, allowing an innocent man to face life imprisonment or even capital punishment for a crime that the client committed, and pleads with the client to reveal the truth. Was it proper for the attorney to bring morality into his consultation with the client, and to sermonize on this pint for a few moments?

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

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

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

An attorney is properly certified as an immigration law specialist by a state bar organization that provides official certifications. In her advertisements, the attorney describes herself as a "Certified Specialist in Immigration Law" without identifying the certifying organization. The attorney also mentions that she speaks Spanish and Portuguese (besides English), and that her fees are very affordable. Could the attorney be subject to discipline for making such statements in her advertisements?

A. Yes, because she failed to identify the certifying organization.

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 asked the client directly whether that is true. The client affirmed that he had no prior criminal record, and the judge sentenced him leniently, giving his six month's probation. Yet 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?

A. Yes, because the attorney must not allow his client to offer evidence that knows to be false to a tribunal.

The attorney represented a client in a misdemeanor criminal matter involving minor vandalism. The attorney interviewed the victim, who incurred the 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. The amount involved was substantial, and the attorney realized that the client could face much more serious charges for extortion. The attorney never discussed this with the client, and the client gladly accepted a plea bargain offer for a few months' probation on the misdemeanor vandalism charge. Several years later, the client died in a car accident, and the property owner became a business-world celebrity when he published a book about how businesses transform neighborhoods. A reporter eventually found the attorney and interviewed him about the vandalism incident, several years prior, that had damaged the property owner's building at the time. The attorney explained that the incident was actually part of a larger extortion operation and that he business owner had handled the matter nobly. Should the attorney be subject to discipling of this disclosure?

A. 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.

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

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

A lawyer is engaged in civil litigation. 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 (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?

A. 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.

An attorney represents Congolomerate 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. Conglomerate offers to settle the matter quietly, but the plaintiff rejects the settlement offer. The attorney then files a counterclaim against plaintiff, alleging libel and slander of Conglomerate Corporation, vexatious litigation, and tortious interference with contract, for which he demands millions of dollars in damages. The attorney and plaintiff's counsel both know these counterclaims lack any real basis in fact, but will be costly for plaintiff to defend. The attorney uses the counterclaims as leverage in reopening the settlement negotiations, offering to withdraw the counterclaims if plaintiff will accept a new, slightly high settlement offer. The plaintiff calculates the cost of defending against the counterclaims and the difference between the settlement offer and the expected damages if plaintiff wins at trial, and reluctantly agrees to accept the terms of the offer. Could the attorney be subject to discipline for filing the counterclaims?

A. Yes, because there is no factual basis for the claims, and the lawyer did not bring them in good faith.

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

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

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?

A. Yes, the Rules of Professional Conduct permit a lawyer to advise employees of a client to refrain from giving information to another party, for the employees may identify their interests with those of the client.

An attorney worked for several years for a fed. gov. agency in regulatory enforcement. Big Firm then hired the attorney for a substantially higher salary, and the attorney accepted the position and left her gov. position. One of the attorney's first assigned cases at Big Firm was a new action by the client against Conglomerate Corporation and learned confidential gov. information about the entity during the litigation. The gov. agency gives its informed consent, confirmed in writing, to the representation. Is the attorney nevertheless subject to disqualification in the client's matter against the attorney's former employer?

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

An attorney agreed to represent a plaintiff in a personal injury lawsuit, and the next day agreed to represent a defendant in litigation where the defendant faces vicarious liability. Only after the attorney has conducted some investigation of the case, and has obtained confidential information from each client, does the attorney discover that the plaintiff client is actually suing another of the attorney's clients, under a theory of vicarious liability. The two clients are actually adverse parties in the same litigation. Must the attorney withdraw from representing both clients?

A. yes, a lawyer shall withdraw from the representation of a client if the representation will result in violation of the rules of professional conduct.

An attorney is a litigator and represents a client in a civil lawsuit in which the client is the defendant. The attorney explains the general strategy and prospects of success, and consults the client on tactics that are likely to result in significant expense, such as the hiring of experts or jury consultants. At the same time, the attorney believes their best shot at winning the case will be to elicit an admission from the plaintiff during cross-examination when the plaintiff testifies at trial. More specifically, the attorney plans to elicit a mild, relatively innocuous admission during the first round of cross-examination, expecting opposing counsel to rehabilitate the witness on re-direct examination. The attorney then plans a short, direct, re-cross consisting of three yes-or-no questions that should elicit a devastating admission from the plaintiff, which opposing counsel is probably not anticipating. Attorney has not discussed this plan for cross and re-cross with client. Even if the re-cross does not go as well as the attorney hopes, they might prevail in the case by several other ways. Is it proper for the attorney to leave the client out to the planning for the cross-examination and re-cross of the plaintiff?

A. yes, because a lawyer ordinarily will not be expected to describe trial or negotiation strategy in detail.

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 a 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?

A. 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 of incidental administrative responsibility that did not affect the merits.

An insurer retained an attorney to represent it in a matter, and requested a retainer agreement that limited the representation to matters related to the insurance coverage. The insurance was a homeowner's policy for damage to the policyholder's residential real estate, and included a rider for premises liability. The incident that triggered the claim, however, involved the brutal murder of a woman and her two young children across the street from the house in a neighbor's driveway. Due to the limited scope of his representation, however, the attorney ignored the horrific deaths and the fact that the known killer had escaped conviction on a technicality. In a cool and calculated matter, the attorney focused his work exclusively on the property damage from the incident and the premises liability, and obtained a favorable outcome for the insurer. Was it proper for the attorney to limit the scope of his representation in this way?

A. yes, when an insurer retains a lawyer to represent an insured, the representation may be limited to matters related to the insurance coverage; a limited representative may be appropriate because the client has limited objectives for the representation.

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

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

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

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

Lindsey is a single mother working as a cashier in a 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 lease regarding conditions in the apartment parking lot. She meets wiht a lawyer for a free initial consultation, but realizes she connot possibly afford the lawyer's fees, so she leaves and starts planning to move home with her parents. Lindsey also discusses her problems with one or two of her friendly customers. To he surprise, the lawyer calls her the next day and offers to represent her free of charge, and she returns to the office and signs a 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 and offered to pay all the fees for the lawyer's representation of Lindsey, on the condition that Lindsey never know about it. Richard wants to keep Lindsey in the neighborhood so that he might someday win her affections. Under the Model Rules, how should the lawyer handle this situation?

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

A client hired an attorney to represent her in a litigation matter. At the end of the first day of trial, the client is unhappy with her lawyer's performance in the courtroom and informs the attorney that she is firing him and will find another lawyer. The attorney wants to continue representing this client until the end of the trial. May the client discharge the attorney after a trial has begun?

B. Yes, a client has a right to discharge a lawyer at any time, with or without cause, subject to liability for payment for the lawyer's services.

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

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

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

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

An attorney is representing the plaintiffs in a class action lawsuit over a mass tort, and the case has become surprisingly complex and time-consuming. The federal court has scheduled a five-week trial for the case, and the trial is coming up next week, meaning that the attorney must work long hours on trial preparation from now until then. The attorney has about twenty other open cases with other clients, but none of them have motions due until after the upcoming class action trial, so the attorney has been focusing exclusively on the class action suit and has been temporarily ignoring the other cases. The attorney has not commenced discovery on the other cases or responded to recent discovery requests, because they do not even have scheduled trial dates yet, and there is nothing new to report to clients about the other case, so the attorney has not been in touch with them for the last two or three months. Could the attorney be subject to discipline for procrastinating about these other cases?

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

An attorney represented a large corporation as a defendant in a toxic tort action. The matter had received little media attention and the corporate officers who retained the attorney emphasized the need to be discreet as long as possible, so that the pending litigations would have a minimal effect on stock prices. The representation necessitated that the attorney interview some of the employees involved in the incident that gave rise to the litigation, including some of the lowest-level unskilled laborers. A few of these individuals, as well as their co-workers whom the lawyer did not interview, asked the lawyer for details about what was happening with the case. The lawyer felt that they had a right to know about the case as it could affect the company, and their jobs, so he explained who the plaintiffs were, how strong the evidence appeared to be on each side, and the potential liability the company was facing. Could the attorney be subject to discipline for sharing this information with the company employees.

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

An attorney 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 the 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, and that the client did not intend to flee the jurisdiction, but was confident that he could stand trial and clear his name of all charges. 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?

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

A prosecutor in a felony drug case addressed a group of reporters outside the District Attorney's office. In response to questions about the specific questions 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.

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

A client, who happened to be a judge, hired an attorney to represent her in her divorce proceeding against her husband, who is guilty of marital infidelity. Their fee agreement stipulates that the attorney would bill the client every month for the work performed in the previous 30 days. After 2 months of representation, the attorney has sent the client 2 bills, and has received no payments. Is it proper for the attorney to seek to withdraw from the case on the basis of unpaid fees?

B. Yes, because a lawyer may withdraw if the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled.

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 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?

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

An attorney represented a client in litigation over a breach of contract. After jury selection but before the closing arguments of trial the following Monday, the opposing party contacted the attorney with a settlement offer. The attorney, an experienced litigator, was familiar with opposing counsel from previous cases, and knew that opposing counsel always follows up an initial settlement offer with a better offer a day or two later. Therefore, the attorney declined the offer immediately, knowing from experience that a better offer was forthcoming. When the attorney met his client at the courthouse the following Monday for the first day of trial, he mentioned that he was encouraged by the opposing party's initial offer the previous week, which he had declined, because it meant that a more generous offer was on the way any time. The client was surprised that his attorney had not consulted with him about the offer, but he accepted the attorney's explanation for declining it and agreed they would wait for the next offer. As both parties and their lawyers took their places in the courtroom, the opposing counsel passed a note to the attorney with a new settlement offer, and just as the attorney expected, it was much more generous. The attorney and his client agreed to settle the case right then, and avoided the inconvenience of going through the whole trial. Is the attorney subject to discipline?

B. Yes, because a lawyer who receives from opposing counsel an offer of settlement in a civil controversy must promptly inform the client of its substance prior to taking any action.

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

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

An attorney agreed over the phone to represent a client, and began working on the case immediately. The client came into the office 2 weeks later sign the representation agreement. At the same time, the attorney gave the client a written statement of the hours worked so far and requested immediate payment for that portion of the fee, plus a $10,000 retainer up front against which the lawyer would draw fees as the representation proceeded. The fee arrangement was complicated. In addition, to the hourly fee for the time he had already worked, the agreement called for an hourly rate of $150 per hour for any work done before trial. If the case were to go to trial, the hourly fee would be $250 per hour for the entire trial phase and any appeals. The agreement also stipulated that it incorporated by reference any oral agreements regarding additional fees and expenses. The client signed the agreement. Then the lawyer explained orally that in addition to the hourly fees and the non-refundable retainer, he would take 25% contingent fee of any money that the other side had to pay the client as a result of the representation, whether in damages, as there were claims and cross-claims in the case, or n court-ordered attorneys' fees. The client agreed, and they shook hands to confirm their oral agreement. Finally, the agreement authorized the lawyer to have full discretion to accept or reject any settlement offers without prior approval from the client, although no such offers occurred. The case proceeded through the discovery phase and went to trial. On the last day of the trial, before closing arguments, it appeared that the client might win a large verdict. The client became resentful about the prospect of sharing this with the lawyer, and fired the lawyer during a recess before closing arguments. The client returned to the courtroom alone, waived his right to closing argument, and still won a significant verdict. The client now refuses to pay the lawyer the contingent fee or even the hourly fees for the last day of trial, because the client claims the attorney performed incompetently that day. The attorney has threatened to sue the client to obtain the fees. Could the attorney be subject to discipline?

B. Yes, because all contingent fee agreements must be in writing, not merely oral agreements incorporated by reference.

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 could 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 form the appellate courts. Was it improper for the attorney to ask the clerk to pass his concerns along to the Director?

B. 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 to do so by law or court order.

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. All of the overseas subsidiary's sales occur in the United States, but all its products and supplies it purchases overseas, and half the employees are foreigners. A dispute with the IRS over the matter has been going on for several years. The attorney never took a tax course in law school and has no practice experience in the area. The attorney needs more clients, so he agrees to take the case and to conduct the necessary study to provide adequate representation. The client agrees to those terms, and the attorney undertakes the representation. A few months later, due to a change in which political party controlled the White House, the IRS abruptly dropped the case against the client, so the client receives a satisfactory resolution to the matter. Would the attorney be subject to discipline for undertaking this representation?

B. 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 not training or experience in the field.

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. At the settlement conference, when the other parties pressed the lawyer about why his client seemed so inflexible about a settlement amount for dissolving the partnership, the lawyer said that his client was having personal financial problems. Counsel for one of the other partners asked, "Like what? Perhaps the other partners could do something to help, and it would make it easier to resolve the partnership breakup." The lawyer then explained that everyone in the room must keep the following information completely confidential, and went on to explain that his client was on the verge of bankruptcy due to a gambling problem. He also explained, in a hushed tone, that the client had even assigned his equity share in the partnership to a business rival of the partnership in order to pay off a personal loan. The others were shocked, with a mixture of sympathy for their partner's gambling problem, and alarm at the implications of their main market rival owning a significant share of the existing partnership. One of the other attorneys, however, checked the terms of the original partnership agreement, and informed the rest that equity interest in the company were unassignable without a majority vote of the other partners, making the assignment legally void. Could the lawyer be subject to discipline for the disclosure he made at the settlement conference?

B. 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 the New York office, the firm transferred her to its office in San Diego, California. The attorney then applied for admission to the California bar under a reciprocity arrangement, and the state bar admitted her without make her re-take the bar exam. After practicing in California for three years, somehow the New York state bar learned that the attorney had made false statements on her original bar application about misdemeanor arrests during college. The New York bar informed the California state disciplinary authority about this problem, and the California state bar commenced disciplinary proceedings against the attorney in California. Can the attorney be subject to discipline in California for false statements made on her bar application in another state?

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

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 a duty to take remedial measures to correct the false testimony, such as disclosing the falsehood to the court?

B. 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.

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

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

Attorney Adams is a busy litigator, but she is also a single mother of two young children. She has to pick her children up from daycare every weekday bay 4 P.M. As a result, whenever she is scheduling hearings, conferences, settlement negotiations, or trial dates, she simply refuses to schedule anything in the late afternoon, as that could easily 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, as she is available for hearings, trials and other litigation-related meetings only in the mornings and early afternoons, and otherwise must seek postponements. Could Attorney Adams be subject to sanctions for managing her schedule in this way?

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

An attorney advertised in a local newspaper. His advertisement reads, "I never charge more than $200 per hour for any type of legal work, and for simple legal problems such as uncontested divorces or name changes, I charge even less." The attorney once had a particular complicated, tedious case in another jurisdiction for which he charged $250 per hour, but he does not expect such a case to arise in the future, though his fee would be higher if it did. The attorney's advertisement fails to state that some other lawyers in the community charge substantially lower fees. The advertisement includes a pencil drawing of an unrealistically handsome, but generic-looking judge sitting behind the bench in a courtroom with a gavel in his hand. Could the attorney be subject to discipline for this advertisement?

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

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. The witness reluctantly agrees. Was it proper for the attorney to offer to pay the expenses for a favorable witness to undergo the trouble of testifying at the trial?

B. Yes, because it is proper to pay a witness's expenses, as long as the attorney does not offer to pay the witness an inducement to provide favorable testimony.

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 said he would truthfully corroborate the client's version of the events. As a result, the attorney explains he cannot represent the client at the trial, but his partner at the firm (a two-lawyer partnership) could represent the client instead. The client retained the attorney's partner to represent her in the litigation. Is this arrangement proper?

B. Yes, because 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.

A lawyer received a court appointment to represent an indigent criminal defendant in a complex case involving felony money laundering, counterfeiting, tax fraud, and other aspects of organized crime. The lawyer tried to refuse the appointment, explaining to the judge that she was handling too many other cases right then, and that she had never before handled a complex criminal case. The judge ignored her concerns and ordered her to take the case. The lawyer reluctantly took the case and did a minimal amount of work on it—no more than she would normally do for a simple misdemeanor matter, apparently as a type of protest. Ultimately, the prosecutor needed her client to agree to testify against another more important member of the same criminal conspiracy, and offered her client a surprisingly favorable (lenient) plea deal. The client was very pleased with the outcome of the matter and grateful to the lawyer who represented him. Could the lawyer be subject to discipline, based on these facts?

B. Yes, because she did not act with reasonable diligence in representing the client.

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

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

A client hired an attorney to handle a transactional matter. The client, a billionaire, wants to devote several million dollars to philanthropy. There are several alternative ways to achieve the client's goals-incorporating a (c) charitable corporation, establishing a private foundation, creating a charitable trust, operating a nonprofit unincorporated association, or simply donating the money to an existing charity of some kind. Each alternative has different pros and cons regarding immediate tax benefits for the donor versus tax deductions for subsequent contributors, permissible activities for the charitable entity, donor control versus independence, eligibility for government grants, and administrative costs related to accounting and record keeping. The attorney does not discuss all of these details with the client, though, because the client said at the outset that he trusted his attorney's judgement, and the attorney believed the client would ind the details tiresome and confusing. The attorney set up a private foundation for the client because this seemed to provide his client with the greatest immediate tax benefits and the highest degree of control in the long term. The downside was that the private foundation option involved burdensome paperwork and reporting to the IRS every year, imposed annual spend-down requirements, and limited the tax benefits for any other philanthropists who wanted to donate to the foundation later. The attorney believed the pros outweighed the cons in this case, but the client was unhappy because he wanted to start something that would grow and attract other wealthy philanthropists who might get involved, and the administrative costs drained some of the funds that the client had hoped would go directly to charitable causes. Could the attorney be subject to discipline for how he handled the matter?

B. Yes, because the Rules of Professional Conduct require a lawyer to consult with the client about the means to be used to accomplish the client's objectives.

An attorney is active within a new political movement and she has represented several members of the movement, who faced arrest or criminal charges for protesting and picketing. The attorney learns that police have arrested one of the prominent leaders of the movement for trespassing on private property during a protest, but that the movement leader is already out on bail. In response, the attorney calls the leader and offers to represent him in his case free of charge, explaining that she has experience representing other members of the movement in similar cases. The leader agrees to have the attorney represent him on pro bono basis. The attorney wants to represent the leader because she admires him, but also because she believes it will generate terrific publicity for the firm's practice. Was it proper for the attorney to make this telephone solicitation?

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

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 attorney confronted the CFO, but this proved unfruitful, and then he proceeded up the corporate chain of command, eventually going to the Chief Executive Officer and the Board of Directors. The officers and directors refused to address the problem because they thought it would send their stock prices into a freefall and make the corporation vulnerable to a hostile takeover from corporate raiders. Would it now be proper for the attorney to become a whistleblower and reveal the problem to the relevant government authorities?

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

An attorney has a busy transactional practice and frequently must handle client funds, either for making commercial purchases, sales, leases, dispute settlements, or other transfers. The attorney faithfully deposits client money in a separate trust account and does not commingle the funds with his own, except that he deposits enough of his own money in the account to cover the monthly bank service charges. He also put $1,000 in the account when he opened it and left it there, as a buffer in case there were any accounting errors, so the clients would never experience inconvenience due to the account being inadvertently overdrawn. The attorney keeps complete, accurate records of all deposits and withdrawals for seven full years, after which he destroys the records to preserve client confidentiality. Is the attorney acting improperly?

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

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. The will stated that the entire estate would pass to the children. After the client died, the wife claimed her statutory share, which in this jurisdiction was 50 percent of the estate, in spite of the instruction in the will. 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 or recommend measures to circumvent the problem. Could the frustrated children have a viable claim against the attorney for legal malpractice?

B. Yes, because the client's intention was clear on the ace of will, and the lawyer therefore could be liable to the heirs even though they are not clients

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

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

During a 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 gave him a handwritten note, folded into a square, to pass along to the judge. The clerk gave the note 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?

B. Yes, because the lawyer communicated ex parte with a judge during the proceeding, without being authorized to do so by law or court order.

A client intends to purchase a parcel of real estate, and retained an attorney to analyze the seller's title to the property. The attorney requests information from the seller regarding the seller's original acquisition of the property, and obtains additional information form the local tax assessors and title registry. 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 prospective purchaser of the property and insists that he showed the attorney his documents about the original acquisition of the parcel with the understanding that the attorney would not say anything unfavorable. May the attorney inform the prospective purchaser of his opinion about the title?

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

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

B. 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.

An attorney represents a client, who wants to sell his business. A prospective purchaser has required from the client an evaluation of the business' solvency, detailing its current liabilities, potential labilities, revenue, and assets. The client provides the attorney with documents pertaining to each of these issues, and explains to the attorney in confidence that he has often understated the earnings of the business in order to avoid paying taxes on the business profits. Now he is concerned that the prospective purchase will undervalue the profitability of the business and refuse to pay an appropriate price to purchase it. He asks the attorney to adjust the earnings figures upward by 25 percent, the same amount by which the client falsely lowered them in the corporate records, in order to portray the business accurately to the potential purchaser. The attorney finds this objectionable and prepares a report based on what he records actually say regarding the earnings, and gives the evaluation directly to the purchaser. When the client learns about his, he explains to the prospective purchaser over the phone what happened. Despite the low reported earnings, the purchaser pays the client's asking price for the business, because of the client's truthful representations over the phone. Could the attorney be subject to discipline for his conduct in this matter?

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

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 is an ex parte proceeding, so opposing counsel is not present. The attorney knows that the ex-husband has not been physically abusive to the client in over two years, and that he has been faithfully attending an anger-management support group during that time that appears to have produced genuine results. At the same time, the client is fearful that the ongoing custody battle will push her ex-husband over the edge, and that the abuse she endured in the past will resume. 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 occurred and the ex-husband's faithful participation in an anger management program?

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

B. 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 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 sever 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 a death penalty) and were unacceptable to the client. Were the defense lawyer's statements proper?

B. 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.

Client consults with Attorney regarding a criminal case in which client is the D. 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?

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

A court orders that a particular client should receive child support from her ex-husband. The client's ex-husband stopped making child support payments 12 months ago. The client hires an attorney to handle the enforcement of child support against the client's ex-husband. The attorney agrees to take the case on a contingency basis because the client cannot afford to hire an attorney since she has not been receiving child support from her ex-husband. The client also asks the attorney to pay her court costs, as she cannot afford those either. The attorney prepares a contract that states the attorney will only be paid for his representation if the client prevails on the enforcement motion, but that court costs will be reimbursed by the client within 30 days of the finalization of the case regardless of whether the client prevails. Is the attorney's conduct proper?

B. yes, because attorneys may accept cases on a contingency basis in domestic relations issues if the case is merely to enforce a prior order, and attorneys may pay for court costs for clients.

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

B. 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.

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?

C) "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 services for the wrong reasons or out of self-interest, rather than acting in the public interest.

Husband and wife decide to divorce, and reach an agreement to share the same lawyer in order to save money. They hire Attorney to represent each of them in Family Court for the dissolution of marriage. Attorney explains that there is an obvious conflict of interest here, but Husband and Wife insist, and sign informed consent forms waiving the conflict and their rights to assert any future claims related to the conflict. husband and Wife have no children, and have always kept separate bank accounts. Each purchased their own car from the money in their own bank account and each car's title is in only one name. They live in an apartment whose lease is expiring soon, so there is no real property to divide. Would it be proper for Attorney to represent both in the divorce?

C) 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.

Comment 16 to Rule 1.7(b)(2) describes 3 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?

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

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

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

Attorney began her career as a prosecutor at the District Attorney's office. During her tenure as a prosecutor, she brought charges against an individual suspected of sending ricin, a deadly toxin, in an envelope to a 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 was 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. Attorney resigned from the DA's office, partly out of humiliation over this case and went into private practice. Eighteen months later, the accused ind. decides to sue the government over wrongful arrest, slander, libel, and wrongful prosecution over the case in which he obtained an acquittal. Attorney feels that her superiors at the D.A.'s office had pressured her to press charges in order to satisfy the public uproar over the ricin letters, despite having 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?

C. No, a lawyer who has prosecuted an accused person could not properly represent the accused n a subsequent civil action against the government concerning the same transaction.

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

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

A client repeatedly calls an attorney to discuss her pending divorce case. The client wants above-guideline child support, alimony, and a large percentage of the estate, even though the parties have only been married two years. The attorney has continuously given his honest opinion about what he believes the client is eligible to receive, and what he believes she may receive in the divorce based on his experience. The client has recently become angry with the attorney because she is unhappy with his opinion. She has even asked, "Are you working for me or my husband?" In an effort to keep the client happy, the attorney begins to tell the client what he believes she is eligible to receive when she asks, but simply states "the court will decide" when the client asks the attorney what he believes she will receive. Are the attorney's actions proper?

C. 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, received an appointment to mediate the divorce case between a husband and wife. The case settled in mediation and the divorce became final soon after. A year later, the husband sought to retain the attorney to represent him in a modification suit against his ex-wife. The attorney accepted the case and sent a letter to the ex-wife advising her that her ex-husband had retained him to represent him in a modification suit. Are the attorney's actions proper?

C. 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.

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 latter 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?

C. 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.

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

C. 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 the 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 nonpayment for shipments of merchandise. The legal secretary's husband hires another firm to represent his store in the lawsuit, and his lawyer asks the court to disqualify the legal secretary's firm because of her position there. Should the firm be subject to disqualification?

C. 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 fees as agreed. The attorney from the Model Rules state is aware that the other attorney will share his part of the fees with non-lawyers in the D.C. office; in fact, the D.C. lawyer's firm has accountants who hold an ownership share in that firm. Is the non-D.C. attorney subject to discipline for indirectly sharing legal fees with non-lawyers, given that he practices in a state that forbids fee sharing with non-lawyers?

C. 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.

The Supreme Court in a state adopted a new rule that doubled the number of continuing legal education hours each lawyer must complete every year in order to maintain a license to practice law in the state. The fifty-hour annual CLE requirement was the highest of any state in the nation. A legal aid lawyer challenged the new rule on constitutional grounds, claiming that it was unduly burdensome to poverty lawyers, given the high cost of the CLE course, and therefore could leave more poor citizens without representation. Is the legal aid lawyer likely to prevail in this challenge?

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

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 because the attorney failed to timely file, 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?

C. No, attorneys 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 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 United States Patent and Trademark Office in Washington D.C., either by correspondence or by traveling to appear there in patent proceedings. A relevant federal statue states that non-lawyers may represent patent applicants before the USPTO. The attorney does no other legal work for clients - if clients need representation for family law matters, employment matters, incorporating businesses, or personal injury suits, Attorney refers them to outside counsel. All the Attorney's clients, however, are located in states where the firm has its office, and Attorney is unlicensed there. Is the Attorney subject to discipline?

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

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 proper Miranda warnings, and the prosecution has several witnesses who either saw the crime or hear the defendant discussing his plans to commit the crime beforehand. The police properly obtained all necessary warrants during their investigation and arrest, and the defendant's actions clearly meet the elements in the statute. The lawyer explains to the defendant that he has almost zero chance of an acquittal, given the evidence against him and the fact that the Supreme Court has repeatedly upheld the penal code provision that furnished the basis of the charges in the case. In fact, the attorney cannot imagine any viable defense to raise at trial. Does the attorney have an obligation to ask the court for permission to withdraw from the representation?

C. 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.

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 the conduct took place in his home state, the client resided in that state, and the representation took place entirely within his home state. The lawyer's conduct would have violated the rules in either of the jurisdiction where he had a license to practice law, because it involved commingling client funds with his own money, and the state 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, were the misconduct aurally 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?

C. 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, an attorney explains that he handles most areas of personal injury law, and then displays in large, bold letters: "I DO NOT REPRESENT CLIENTS IN CRIMINAL MATTERS OR DIVORCE MATTERS - PLEASE FIND ANOTHER LAWYER IF YOU ARE FACING CRIMINAL CHARGES RO NEED TO LEAVE YOUR SPOUSE." Is it improper for a lawyer to make such a statement in his website or advertising materials?

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

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

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

An attorney is representing a client who is a notorious celebrity-turned-criminal. The attorney is confused about whether he may publicly disclose information the 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. The 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. The attorney tries to use a hypothetical to explain the problem, but given the client's national reputation and celebrity status, the other lawyer knows immediately who the client is, and can easily surmise the nature of the confidential information. Is the attorney subject to discipline for disclosing confidential information about the client?

C. 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 asked 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 (using the actor's legal name as it appeared in the pleadings, rather than his stage name or the character for which the actor was most famous), 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 was 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?

C. 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 is dating a woman whose sister works as a nurse in a hospital emergency room. The attorney gives the nurse, his girlfriend's sister, a stack of his business cards and law firm brochures, and offers to payer her $200 for any client who hires him because of her referrals, with the understanding that she will not refer patients to any other lawyers. The nurse recommends several patients per month to the attorney for representation in personal injury claims, and one or two per month actually hire the attorney to represent them. Is such an arrangement proper?

C. 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.

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 Workers 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 ruled 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 office. The attorney represents the injured worker, the client, and the employer is Manufacturer. All the parties involved giver 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?

C. 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 percent chance of winning, and it will depend on an extraordinarily lopsided jury, a strongly partisan judge whose political leanings go in their favor, as well as a mediocre lawyer representing the other side. Otherwise, all things being equal, the attorney advises the client that he is about 85 percent certain that they will not prevail. The client is willing to take risks, however, and urges the attorney to take the matter. The attorney reluctantly agrees, on the condition that he can charge a somewhat higher fee than usual, and files the lawsuit. Could the attorney be subject to discipline for bringing a frivolous claim?

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

During his closing argument at a bench trial, an attorney makes the following statement 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 or try to take advantage of another person unfairly. In fact, I am doing this case on a pro bono basis because I feel so strongly about the justness of his cause." All of these statements were truthful-the attorney had known the client since childhood and had represented him many times, the attorney admired the client's integrity, and the attorney had offered to handle this case without charging any fee because he believed so strongly that the client was on the right side. Was it proper for the attorney to make these comments during closing arguments?

C. 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.

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 (the only ones besides the attorney at the meeting) 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?

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

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

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

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; if the attorney did not win the case at which the expert testified, no fee would be due. The attorney would have to pay the expert witness only if his testimony was compelling enough to produce a favorable outcome in the case. The attorney thought that this would give the expert an incentive to prepare more thoroughly for trial, and that it would be fairer to the client, who would be left bankrupt if they lost at trial and would have trouble paying the expert's fee anyway. Would it be proper for the attorney to hire the expert witness under such terms?

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

An attorney is a partner in a seven-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 that client expressly forbade the attorney form telling anyone in his firm anything about this case. Nevertheless, at the weekly meeting of the partners, as everyone discussed their pending cases, the attorney explained the client's case and solicited input form the partners. One partner had an ingenious suggestion that would have been very helpful to the client's case. The attorney mentioned to the client in their next phone call that one of his partners had made a brilliant suggestion that could turn the case in the client's favor. The client was upset that the attorney had discussed the case with anyone else. Was it proper for the attorney to discuss the case with others at his firm?

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

An attorney 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 asks 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 previous consultation. The firm decides to undertake the representation of the victim as well. The firm will carefully screen 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, neither lawyer will receive 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?

C. 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.

Attorney worked for several years for a federal government agency in regulatory enforcement. Big firm then hired the attorney for a substantially higher salary, and the attorney accepted the position and left her government position. One of the attorney's first assigned cases at Big Firm was a new action by the client against the same government agency for which the attorney had previously worked, 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, but instead worked exclusively on enforcement litigation matters. Is the attorney subject to disqualification in the client's matter against the attorney's former employer?

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

An attorney worked for several years for a federal gov. agency in regulatory enforcement. Big Firm then hired the attorney for a substantially higher salary, and the attorney accepted the position and left her government position. One of the attorney's first assigned cases at Big Firm was a new action by the client against Conglomerate Corporation. the attorney had worked on an enforcement against Conglomerate Corporation and 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 not 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's matter against the attorney's former employer?

C. No, because the attorney does not have confidential gov. information about Conglomerate that she knows is confidential gov. information.

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

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

An attorney represented a client in a contention litigation matter, at the end of which the attorney received a settlement check for an agreed-upon amount from the opposing part ($100,000). The client had agreed to the amount but was unsatisfied and blamed the lawyer for the disappointing settlement amount. The attorney called the client to inform her that the check had arrived, and explained that he would forward the amount minus his fees and the expenses, which constituted half of the amount (the jury consultants and experts in the case had turned out to be very expensive). The client was furious and said that the expenses should have been included in the attorney's contingent fee, and that the attorney was not entitled to the original contingent fee in any case because the case had never gone to a verdict and had settled for a mediocre amount. Pursuant to their retainer agreement, the client and attorney agreed to schedule arbitration over the disputed fees and expenses as soon as possible, which realistically would be three or four months later. In the meantime, the attorney kept the money in the client trust account until they could resolve the dispute. Was this proper?

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

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

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

A criminal defense lawyer represented a defendant in a criminal prosecution. The defendant had given an incriminating confession to the police during his first interrogation, but the police had never given him Miranda warnings. At the beginning of questioning, the defendant had stated that he wanted his lawyer and did not want to answer any questions without his lawyer present. The police said they would let him talk to his lawyer later, but for now, he had to answer some questions. The interrogators even threatened him with physical injury if he refused to confess, so he confessed under coercion. The confession should have been inadmissible at trial due to the lack of Miranda warnings, the questioning without his lawyer present, and the physical coercion. Nevertheless, the lawyer did not inquire about the circumstances of the confession and did not other objecting to its admission at trial. The jury convicted the defendant, largely on the evidence of the illegal confession. The defendant retained a different lawyer on appeal, who raised the problem with the confession, but the appellate courts affirmed the conviction, until he had exhausted his remedies. The defendant then sued his original lawyer form prison for legal malpractice, claiming that he suffered significant damages due to the lawyer's negligence, given that he was unsuccessful in having his conviction overturned. Assuming the jurisdiction follows the majority rule and the Restatement of the Law Governing Lawyers, could the lawyer be liable for legal malpractice?

C. No, because the client was unable to convince an appellate court overturn his conviction

An attorney represented a client in tort litigation against a pharmaceutical company over injuries allegedly resulting from one of the company's drugs. During a pretrial hearing about the admissibility of certain evidence, the court ruled against the attorney and ordered the evidence was inadmissible at trial. The attorney then contacted a reporter from a prominent newspaper and gave him a lengthy interview explaining the case, discussing the upcoming trial, and giving the reporter the very evidence that the court had held should be inadmissible at the trial. The newspaper ran the story on the same day that jury selections began for the trial. Opposing counsel moved to disqualify the attorney due to misconduct in the matter, that is, the public disclosure of the inadmissible material in an attempt to taint the jury pool. The court agreed to disqualify the attorney on the eve of the trial. Another firm was already representing the client as co-counsel, so that firm agreed to continue with the trial work alone. The attorney filed an interlocutory appeal, which he lost at the appellate court and appealed to the Supreme Court. Delaying the trial with this interlocutory appeal was clearly against the client's interest, but was necessary for the attorney to continue to handle this big case. Is it proper for the attorney to recommend to the client that they appeal his disqualification, if it is not clearly in the client's interest to do so?

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

An attorney served as in-house counsel for a corporation, and uncovered illegal actions take 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 manger 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 insulated 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?

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

Attorney is a busy litigator. During one scheduling conference with the judge and opposing counsel, Attorney asked for a continuance (postponement) 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 that it will not fall on her anniversary, when she has dinner plans in the early evening. In that instance, which was not the same matter or client as the first instance, the lawyer for the other party complained about rescheduling for such a trivial reason, but the judge agreed to reschedule the hearing for a month later. Was it improper for Attorney to seek these postponements?

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

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

C. 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.

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 asks 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 employs Attorney who has a reputation in the community for her advocacy against legalized abortion. Neither the clinic nor the opposing party (the municipal zoning authority)provided written consent to a conflict of interest. Should the firm be subject to disqualification in this case?

C. 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 and the personal beliefs of the lawyer will not materially limit the representation by others in the firm.

A husband and wife are attending court-order mediation with an attorney, who is serving as the neutral mediator. The husband has retained counsel, but the wife has not. During mediation, the wife asks the mediator for his advice, and asks whether he believes that the husband's offer is a "good deal" for her. The attorney explains that his position as mediator only allows him to facilitate the negotiating process. The wife continues to seek the attorney's advice about the settlement proposals the husband makes. The attorney finally tells the wife what she is getting is a decent percentage of the estate and that he believes it to be a "good deal" for her. The attorney also informs the wife again that he does not represent her and that anything he says is merely general information, not legal advice. Are the attorney's actions proper?

C. 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 as one who represents a client.

While preparing for a trial over workplace discrimination, the plaintiff's lawyer contacts the owner and chief executive officer (CEO) of the defendant corporation and interviews her about the day-to-day operations of the company and the chain of command for addressing personal complaints. The owner/CEO is not personally involved in the matter of the pending litigation—she actually never met the plaintiff warehouse worker who claims to be the victim of workplace discrimination, she is not on the witness list to testify at trial, and nobody has suggested that she was responsible for the wrongdoing. Even so, she has the power to settle the case or stipulate to a judgment amount, so the plaintiff's lawyer talks to her directly. The lawyer does this without permission from the corporation's attorney, whom the company's general counsel hired; general counsel is an employee three steps below the CEO in the organization chart. Was this communication by the plaintiff's lawyer proper?

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

A state legislature enacted a statute that doubled the number of continuing legal education hours each lawyer must complete every year in order to maintain a license to practice law in the state. The fifty-hour annual CLE requirement was the highest of any state in the nation. A legal aid lawyer challenged the new rule on constitutional grounds, claiming that it was unduly burdensome to poverty lawyers, given the high cost of CLE course, and therefore could leave more poor citizens without representation. In the alternative, the lawyer claimed that it violated the separation of powers. Is the legal aid lawyer likely to prevail in this challenge?

C. No, the state courts have exclusive inherent authority to regulate the lawyers practicing in their jurisdiction

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 Adams 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 Adams 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. Attorney Adams 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 of her concerns, even though she approaches him several times about the matter. How must Attorney Adams proceed?

C. 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 notify the company's Board of Directors.

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

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

A lawyer who has previously done only residential real estate closing 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 (stocks, bonds, and commodity shares), and an art collection. The elderly client has had children with each of his three wives over the years. Concerned about being responsible for a case with such high stakes and conceptual difficulty, the lawyer includes in the representation agreement a provision that limits his ability for any tax consequences or contested inheritance issues, which are unfamiliar to him. At the same time, he does not try to limit his liability for the portions of the representation that pertain to the real estate, as he knows that area well - the limitations on liability apply only to specific areas. The lawyer informed the client in writing of the advisability of "seeking a second opinion" before signing the representation agreement, but the client consulted with no other lawyers and signed the document, along with giving oral consent to the provisions limiting liability on certain points. The client added a codicil to the will explaining that under no circumstances should the executor of the estate (the client's eldest son) or any heirs sue the lawyer for malpractice. The lawyer competently handled the disposition of all the real property within the client's estate except for one small parcel of commercial property, for which he made a mistake with recording the transfer. He also surprised himself by dealing with the tax issues (estate and capital gains tax) properly, after a few weeks of research and consultation with other attorneys. Unfortunately, the lawyer made some serious errors with the federal reporting and notification requirements that applied to some of the client's securities, which later resulted in penalties assessed on the estate. In addition, the lawyer arranged for temporary storage of the art collection in a storage rental facility, without climate controls, and the most valuable paintings sustained damage. What adverse consequences could the lawyer face for his mistakes?

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

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 a defense counsel for their son, agreeing to cover all fees and expenses. The criminal charges in this case allow for jail time or hefty fines as potential punishments. The prosecution offers a plea bargain- a $2,000 fine, a few hours of community service and 6 month's probation, but no jail time. Aaron, the defendant, is thrilled, but his parents insist that Lawyer Lucas decline the plea bargin and go to trial, which Lucas is certain will result in a conviction and a short term jail sentence. The parents believe a short jail term will be good for their son and teach him a lesson, and paying the $2, 000 fine on top of the lawyer's fees will force them to forego their vacation plans that year. A loud argument ensues in the conference room between the parents and Aaron over the best course of action. How should Lawyer Lucas proceed?

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

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 motions 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, and 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?

C. 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.

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 either started his own consulting practice nearby or was working for a nearby competitor. Each scenario, 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 may even 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 the brief time since the events had unfolded. The former employee answers the phone, and after the lawyer identifies himself as counsel for the business client, the former employee 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 form 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?

C. 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.

An attorney worked for several years for a federal gov. agency in regulatory enforcement. The attorney was involved in several enforcement matters against Conglomerate Corporation. Big Firm has always represented Conglomerate Corporation in all its litigation and regulatory compliance matters. The attorney made a good impression on the Big Firm partners when serving as opposing cousel in the same litigation. At the end of a deposition of Conglomerate Corporation's executives during the discovery phase of an enforcement proceeding, Big Firm partners approached the attorney privately and asked if the attorney would be interested in leaving the agency for a position at Big Firm. The attorney explained that they would have to match his current salarty at th gov. agency in order for hi to consider the proposal. Big Firm then scheduled an employment interview with the attorney, at the end of which they offered to double his salary if he 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 Firm's client were complete, in order to avoid the appearance of a conflict of interest. The mattes dragged on for another year, however, and Big Firm eventually withdrew its offer. Is the attorney subject to discipline?

C. 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 and substantially.

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 client believes that the manufacturer has knowingly sold defective products to other customers as well, and wants the attorney to include a claim for "civil RICO" (accusing the manufacturer of racketeering) as part of the lawsuit. In addition, the client discussed reporting the manufacturer to various government regulatory agencies to try to get the company in trouble with them, as this might overwhelm the defendant with simultaneous litigation on several fronts, and might even bring out otherwise undiscoverable information about the manufacturer's wrongdoing. The attorney reluctantly adds the civil RICO claim to the complaint and is not surprised when the judge strikes the claim at the request of the defendant. The attorney declines to notify government agencies about the manufacturer, and suggest that the client do that on her own, writing complaint letters to whatever agencies she has in mind. The attorney proceeds with the tort litigation and prevails, winning a favorable verdict for the plaintiff. Was it proper for the attorney to decline to pursue the regulatory attack against the manufacturer?

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

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. On the eve of trial, Attorney mentions to Client that the opposing party will actually take the stand to testify in the case. Client instructs Attorney to bring up the time that Client won another lawsuit against the opposing party during cross-examination, merely to make the opposing party get upset. He assures Attorney that the opposing party will lose his temper on the stand, and will at least lose credibility before the jury, and may even slip and say something that would undermine his position in the case. Attorney simply refuses to bring up a matter merely to provoke an outburst from the opposing party during trial. 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?

C. 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.

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

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

An attorney practice 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 percent of the firm's total net revenue each year. In years when the attorney wins several large cases, the paralegal receives higher wages, and in years when the attorney has no big wins, the paralegal receives almost nothing. The paralegal does not bring clients to the firm, but does participate in judgments about which clients to represent, how to structure contingent fee arrangements, and how much to seek in damages after a verdict, as these matters directly affect the paralegal's income as well as the attorney's. Is the attorney subject to discipline for this arrangement?

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

A criminal court found that 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?

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

An attorney has represented a client on various small matters in the past. The client not needs representation for a more substantial matter involving a business transaction. During a phone call, the attorney agrees to represent the client at a slightly higher hourly rate, given the complexity of the matter, and when they meet to discuss the transaction in more detail, the attorney double-checks with the client about the fee arrangement verbally, explaining it carefully and answering any questions the client may have. The attorney and the client never formalize the fee arrangement in writing, but the attorney does send printed bills to the client periodically. Eventually, the client starts to feel that the representation is costing too much, and objects to one of the bills. Was it permissible for the attorney to have an oral agreement over hourly fees, without putting the fee agreement into writing?

C. Yes, because even though it is always preferable to have fee agreements in writing, it is not required in this type of case.

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?

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

An attorney represents a client who is a defendant in a criminal matter. The defendant faces felony charges. The attorney is very experienced in handling this type of case, and knows from experience that defendants receive acquittals far more often in jury trials than in bench trials, at least with this type of case. The client, however, does not want to incur the legal fees involved in jury selection (voir dire, etc.), and cannot really afford it, so the client tells his attorney that he does not want a jury trial, but rather a bench trial. The attorney is convinced that his client is innocent of the crimes charged, and that a bench trial is likely to result in a wrongful conviction in this particular case, given some of the evidentiary issues. The attorney postponses notifying the court that the defendant will waive his right to a jury trial, in hopes of changing the client's mind. The court schedules jury selection, and the attorney appears and participates in the voir dire without telling his client, because he still hopes and believes that he will change his client's mind about the issue. On the first day of trial, the client arrives in court and is shocked to see a jury seated. The defendant stands and objects loudly to the jury and explains that he wants to waive his right to a jury trial and have a bench trial instead. The judge refuses to dismiss the jury at this point, informing the defendant that his opportunity to request a bench trial has passed. The trial proceeds and the jury acquitted the client of all charges, as the attorney had expected, and to the apparent dismay of the judge, who would have ruled to convict if it were up to him. Is the attorney subject to discipline in this situation?

C. Yes, because in a criminal case, the lawyer shall abide by the client's decision, after consultation with the lawyer, as to whether to waive the right to a jury trial.

An attorney agreed to represent a client as plaintiff in a patent infringement lawsuit. The attorney was part of a partnership that specialized in intellectual property law. the attorney prepared, and the client signed, a written fee agreement that specified the attorney would receive a tiered contingent fee in the case: 25% if the case settled before trial, 30% if they went to trial and won, and 35% if the case went up on appeal and they prevailed in the appellate stage. In addition, the agreement specified that the contingent fee would come from total award before court costs and other expenses out of his own pocket, either along the way as expenses arose during the proceedings, or from the client's share of the award after the attorney received his contingent fee. The attorney never revealed that his partnership agreement required him to share his part of the fees with three other partners in the firm, or that his fees would go toward a general firm operating budget from which the partnership paid the salaries of non-lawyer staff, such as paralegals and secretaries. The attorney obtained a favorable settlement before trial. He telephoned Client with the good news, and explained that he would deduct his 25% contingent fee , as they had agreed, and would sent Client the remainder of the settlement funds. At that time, there were no outstanding unpaid expenses or court costs. The client was glad to hear the news, and the attorney promptly sent the client a check for 75% of the total amount received from the other party. The attorney and the client had no other contract except to exchange holiday greeting cards. Were the attorney's actions improper?

C. Yes, because the attorney failed to provide the client with a written statement stating the outcome of the matter and showing the remittance to the client and the method of its determination.

An attorney represented a client in litigation over a breach of contract. After a long period of discovery, as the rial date approaches, the two parties make a new attempt at settlement negotiations, with each party's lawyer acting as representative. The client is the plaintiff in the case, and has told the attorney on several occasions that she will not consider any settlement offer less than $100,000. The client is a sophisticated business owner who has weathered litigation many times in the past, including litigation over a breach of contract term. Based on her experience, the client has made an informed estimate that her chances of winning a $250,000 verdict at trial are almost exactly 50%, and that trial expenses are likely to be around $50,000 whether she wins or loses, and from there she derived her reserve amount of $100,000. The attorney met with the client the evening before Attorney would meet with opposing counsel for negotiations, and the client reiterated her reserve amount to the attorney, adding, "do not even call me if the opposing party offers less than $100,000-I will accept it, and I want you to simply decline lowball offers." The next day, the client leaves on a business trip, and the attorney heads to the settlement negotiation meeting, where opposing counsel offers $90,000 to settle plus a written apology from the defendant to Client for breaching their contract. May Attorney reject this offer without first consulting with Client?

C. Yes, because the client has previously indicated that the proposal will be unacceptable and has authorized the lawyer to reject the offer.

An attorney represented a client, who was a defendant in a criminal prosecution. The client's trial ended in a conviction and a life sentence. After all possible appeals were complete, the attorney's representation of the client ended. The attorney sent the client a letter, which the client received in prison, explaining that his representation was now ending and providing a detailed accounting of all billing matters. No outstanding bills remained. Several years later, the attorney met with some former law school classmates at an alumni event, and they swapped stories drinks about some of their cases over the years. The attorney mentioned the client, but only by first name, and explained how the guilty verdict felt like a failure on his part even though he knew the client was guilty because the client's friends and family members had all witnessed the crime and told the attorney privately what they had seen. Could the attorney be subject to discipline for disclosing confidential client information?

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

Miranda and her 2 sisters, Lisa and Nancy, all received injuries in a car accident last year. Because they did not have enough money to get separate attorneys, they decided to consent to using the same lawyer, Joseph. After months of trial preparation, the defense counsel approached Joseph with a settlement offer. Miranda sustained severe injuries, but fortunately Lisa and Nancy only received a few bumps and bruises. Joseph believed that the settlement offer was a reasonable offer and that it would be in the clients' best interest to accept it because of how all-consuming and costly trial can be. Even so, Joseph also knew that Miranda would be a hard sell on accepting a settlement offer because she believes she could get a larger judgment if she presented her case in front of a jury. If Joseph obtains consent form both Nancy and Lisa to accept the D's settlement offer, will he be subject to discipline or accepting the offer w/out first discussing it with Miranda?

C. 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 is representing two French restaurants located across the street from each other; the restaurants are bitter rivals and have sued each other in the past, using other lawyers. They are the only French restaurants in that area, so they compete for the same customers -their menus, décor, and prices are very similar. The owners were childhood friends who became sworn enemies as adults when one started a restaurant to compete with the other. Attorney represents one French restaurant in a dispute with its landlord, and the other French restaurant in a lawsuit by a former employee who claims she was wrongfully terminated for discriminatory reasons. When each French restaurant learns that Attorney represents the other, they both express deep dismay and some sense of betrayal, given that each is the other's worst enemy. One of the French restaurants believes Attorney has a conflict of interest and complains to the state bar. The other French restaurant, when it loses its lawsuit with its former employee, sues Attorney claiming that he had a conflict of interest in the representation. Does Attorney have a conflict of interest here?

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

An attorney worked for several years for a federal government agency in regulatory enforcement. Big Firm then hired the attorney for a substantially higher salary, and the attorney accepted the position and left his government position. One of the attorney's first assigned cases at Big Firm was a new action by the client against the same gov. agency for which the attorney had previously worked, defending against an enforcement action that the attorney had initiated while at the agency. 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, but instead worked exclusively on enforcement litigation matters. The gov. agency refuses to consent to the attorney 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 attorney's former employer?

D. No, as long as the 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.

As he left work one evening, an attorney was approaching his car in the parking garage when he noticed two men arguing near a car at the far end of that floor of the garage. He could not hear what they were arguing about, but could hear occasional profanities and insults, and one of them shouting, "I warned you!" Then he saw that the men began to fistfight. A few other people by this point had stopped to watch in the parking garage and someone called the police, who arrived within five minutes. By that point, one of the men who had been fighting was bloody and could not walk away from the fight on his own. The police took the men into custody and the other witnesses quickly dispersed, so the police took a statement from the attorney, the only witness who remained. The officer turned to his partner, who was standing near the squad car with its driver door open, and shouted that one of the witnesses was actually a lawyer, which prompted a snide remark from the other officer. One of the arrestees in the car overheard this exchange and asked the officer to get the attorney's business card so that he could hire him. May the attorney represent the arrestee in the criminal or civil proceedings that follow?

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

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

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

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

D. 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, where the attorney worked, handled the representation of the client in the infringement case, pursuant to the client's written consent. Will the two partners at Big Firm 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.

D. 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.

A client fired an attorney after the attorney had completed 80% of the work involved in the representation. The client refuses to pay any of the fees that were in the original agreement at the beginning of representation. The client also demands that the attorney turn over all papers and documents relating to the representation. Must the attorney immediately return the client's documents regardless of the fees owed?

D. No, because a lawyer may retain papers relating to the client to the extent permitted by law.

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

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

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 the 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?

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

An attorney has been practicing for five years, but on her application to the bar five years earlier, she had stated that she had attended a particular private high school, when in fact she had attended a public high school. An unhappy client recently filed a grievance against the attorney, which was frivolous, but the state disciplinary authority had to conduct a routine, preliminary inquiry into the matter in order to make a determination that the compliant merited dismissal. The disciplinary board member assigned to the case had attend the elite private high school from which the attorney claimed to have graduated, and made a mental note of the attorney's high school when he did a cursory review of her bar admission files. He thought it was strange that he had never seen or heard her name at any alumni or reunion functions, as they had supposedly graduated the same year and the classes were small. On a hunch, the board member checked the alumni lists for the school and discovered that the attorney had lied on her application to the bar five years earlier. When asked about this issue, the attorney said she could not be subject to discipline now for the misstatement she made several years ago, and that the board lacked jurisdiction because it was unrelated to the current grievance compliant. Is she correct?

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

An attorney receives a report from a psychologist that provides the psychologist's professional opinion that the client is unstable. The psychologist's report indicates that the client believes himself to be perfectly sane, and that the client has indicated he will cause harm if the psychologist submits a report stating the client is not stable and sane. The attorney chooses not to provide the report to his client when he receives it. Is the attorney subject to discipline?

D. No, because immediately providing the report to the client may cause harm to the client.

Halfway through a trial, an attorney can tell that his client is going to lose. The opposing party successfully impeached the attorney's only favorable witness, and the judge has already told the parties that he plans to follow the state's model jury instructions for this type of case, which effectively preclude the legal theory that the attorney had made the centerpiece of his case. During a lunchtime break, the client turns to the attorney and tearfully asks if they still have any chance of winning. The attorney does not want to make her cry and feels very awkward about the situation, so in order to spare her feelings, he assures the client that they still have a good chance of prevailing. The attorney is representing the client on a contingent fee basis, so he knows it will not cost the client any more in legal fees to finish the trial. At the same time, there is still an open settlement offer on the table from the other party, albeit a very small, unsatisfying settlement, which the client could accept at any time if she wants to terminate the litigation. Is it proper for the attorney to feign confidence in order to protect the client's feelings?

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

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

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

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 lawsuit. The lawyer never responds. Eventually, many months later, 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?

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

An attorney used to work at Big Firm, and 3 years ago moved laterally to Medium Firm. One of the attorney's former colleagues at Big Firm also left and started a solo practice. While working at Big Firm, the solo received an 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 to the story. The first attorney's current firm, Medium Firm, represents Kingpin Publishers, and solo represents himself. Another publisher is interested in acquiring the solo's book or movie script, and is funding the litigation expenses for the solo, even though it is not a client and does not yet have any ownership rights over the story. 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-reviewing and indexing a single deposition transcript before the client's trial-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, and the two are already living together. The attorney at Medium Firm, who is representing Kingpin Publishers, is in a sexual relationship with another lawyer at his own firm, and both are working in some capacity on the case. The executives at Kingpin Publishers have informed the first attorney that if his firm wins this case, they will hire Medium Firm for all their future legal work, which could be very lucrative in the long term.. The solo has just filed a motion to disqualify the first attorney and the rest of Medium Firm from representing Kingpin Publishers in the case, alleging simply that there is a conflict of interest. Does Medium Firm have a disqualifying conflict of interest in representing Kingpin Publishers in this particular litigation?

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

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 (the bookstore) has been on the verge of bankruptcy for the last two or three years. The facts and law of the present litigation, however, make it a close case-the attorney believes, accurately, that his client has at best a 50 percent chance of winning at trial. At the client's urging, the attorney files frequent motions asking for more time in discovery, more time to respond to the opposing party's motions, and a postponement of the trial date to allow more time to prepare and locate the necessary expert witnesses. 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. The judge has an overcrowded docket, and is always glad to grant postponements or more time on various responses. Is it proper for the attorney to take this "time is on our side" approach to litigation?

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

An attorney worked for several years for a federal government agency in regulatory enforcement. Big Firm then hired the attorney for a substantially higher salary, and the attorney accepted the position and left her government position. One of the attorney's first assigned cases at 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. 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, but instead worked exclusively on enforcement litigation matters. The government agency gives informed consent, confirmed in writing, to the representation. Is the attorney nevertheless subject to disqualification in the client's matter against the attorney's former employer?

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

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

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

A large corporation was under investigation by the government regulatory agency over possible violations of securities laws. The corporation hired an attorney to represent it in the matter, and authorized the attorney to make a full internal investigation to discover the merits of the accusations. The attorney discovered that a high-level manager had falsified quarterly earnings reports, a clear violation of the law that could expose the corporation to devastating sanctions and civil liability. The attorney proceeded up the corporate chain of command, eventually going to the Chief Executive Officer and the Board of Directors. The officers and directors refused to address the problem because they thought it would send their stock prices into a freefall and make the corporation vulnerable to hostile takeover from corporate raiders. Would it now be proper for the attorney to become a whistleblower and reveal the problem to the relevant government authorities?

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

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

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

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 and testify for an hour or two. The witness reluctantly agreed. Was it proper for the attorney to offer to pay a favorable witness to undergo the trouble of testifying at the trial?

D. 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.

A small firm employs several associates who work under the supervision of the partners, as well as three clerical staff. The most recently hired associate has a complicated situation with his license to practice law. The associate graduated from an accredited law school, successfully passed the state bar exam, and applied for admission to the bar, believing he had met all the eligibility requirements. He had no criminal record or history of academic misconduct, or any other problems meeting the traditional character and fitness requirements. The state bar approved his application and he attended his swearing-in ceremony. The state legislature, however, had recently passed a statute creating the option of a legislative veto for lawyers seeking admission to practice law in the state. The sponsors of the enactment had stated that its purpose was to prevent the grown children of illegal immigrants from becoming lawyers, even though the bar applicant might be a United States citizen "just because the happened to be born here." The associate was born in Arizona one month after his parents had moved there illegally form a country in Central America. A staff member of the relevant legislative committee flagged the associate's name from a list of recent bar licensees, along with three others in his situation. During a special session of the legislature, the state legislature exercised the equivalent of a legislative veto, narrowly passing a special act that permanently disbarred the associate and the others for the sole reason that their parents were illegal aliens. The associate received official notice of his disbarment form the Office of Legislative Counsel, not from the state bar. This occurred one week after the associate's swearing-in ceremony by the state bar, and two days after he started working at the firm. A notice of the disbarments appeared in the next issue of the state bar journal, but most of the firm was unaware of the situation, except for one managing partner in whom the associate had confided. Could the partners at the firm be subject to discipline for employing the associate as an attorney, despite challenging any such discipline in court?

D. 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 entered into an exclusive reciprocal arrangement with a local advertiser, in which the lawyer agreed to advertise her firm solely through that advertising agency, for normal market rates, and the advertising agency agreed not to take any other law firms in the region as clients. The agency ran newspaper and billboard ads based on information supplied by the lawyer, which included a claim that the lawyer was a certified specialist in immigration law, as certified by the state bar association itself. While the certification was legally valid, the lawyer had not handled a single immigration case since obtaining the certification some time ago, and has not kept abreast of major changes in immigration law in the meantime. Given the extensiveness and complexity of recent changes in the law, the attorney would no longer be able to provide competent representation in immigration matters without extensive research and study. Last week, the lawyer happened to drive by two cars on the shoulder of the road that had been in a minor collision. The attorney pulled over, got out of her car, and approached one of the drivers who were waiting for a tow truck. Handing the driver her business card, the attorney offered to represent her in any litigation over the accident, and assured her that she would charge a fair rate, and the driver gladly took it and said she might have seen one of the lawyer's advertisements. The attorney was not aware at the time that he driver was an immigrant from Europe who was in the country on a temporary work visa. The driver visited the attorney a few days later for an initial consultation, but decided not to retain the lawyer for representation because the driver's insurer had already settled the matter. Was it proper for the lawyer to offer to represent the driver in this way?

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

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 the nonpayment for shipments of merchandise. The legal secretary's husband hires another firm to represent his store in the lawsuit, and his lawyer asks the court to disqualify the legal secretary's firm because of her position there. Should the firm be subject to disqualification?

D. No, because the legal secretary is not a lawyer, so the Rules of Professional Conduct do not apply to her personal conflicts of interest.

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

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

After obtaining a favorable verdict at trial, a client asked the court to award attorney's 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 time sheets 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?

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

A government agency contacts an attorney, who works as in-house counsel for Corporation, and request 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 Corporation to significant regulatory enforcement sanctions, and if the information became public, would adversely affect 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?

D. 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

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 accepts 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 a good relationship. Is the attorney subject to discipline?

D. 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 worked for a Big Firm in their intellectual property department, specializing in patent applications and 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. Attorney worked in the Washington, D.C. 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 sharing documents and files between lawyers there. It is possible for lawyers at Big Firm to access the networks of other satellite offices, however, with a special login that most lawyers never use. Attorney has never accessed the files of the Dallas office except for one trademark case four years ago. Attorney did not make partner at Big Firm, so he left and went to work for a small plaintiff's firm in Kansas. One of Attorney's first case assignments was the same truck accident case in which Big Firm was defending trucking Company; Attorney's 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. Is Attorney subject to disqualification in this matter?

D. 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.

A client fired an attorney after two weeks of representation, long before the matter was complete. Client had prepaid a large refundable retainer, against which the attorney was to draw his fees as the representation went on. The client therefore has fully paid her fees up to that point to the attorney. The attorney is very upset about the client discharging him without cause and believes it is unfair and wrongful. The attorney refuses to return the remainder of the fees, and refuses to turn over any documents from the representation to the client. Is it proper for the attorney to take this course of action, if indeed the client had no good reason to discharge him?

D. No, it is improper for an attorney to retain either the unused funds or the documents.

Lawyer worked for law firm and represented Client. Sometime after the conclusion of the case, Lawyer left Law firm. Potential Client consults with Firm after Lawyer left and discusses a potential case with Attorney, another attorney at the firm. Potential Client's interests would be materially adverse to those of client. Attorney accepts Potential Client's case. Is Attorney subject to discipline?

D. No, prior attorneys' knowledge is not imputed unless the matter is the same or substantially related and another lawyer in the firm has information that is material to the matter.

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 the prosecutor already held a press conference in which she shared that the defendant had refused 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 trail, 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 no 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?

D. 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.

An attorney has been practicing law for two years, and has represented some law school graduates in their appeals before the bar when the Board of Law Examiners had denied the applications for licenses on character or fitness grounds. A former law school classmate who was a first-year student when the attorney was a third-year student visits the attorney in his office. The former classmate was on law review and graduated near the top of the class, but now he expresses concern about the character portion of the bar application. "I need you to represent me before the Board of Law Examiners," the former classmate said. The attorney asks the classmate to explain the problem. The classmate then explains a history of heroin addiction in college, which led to a criminal conviction and a period of incarceration; but a successful rehabilitation program enabled the student to beat this addiction and live drug-free throughout law school. The classmate does not want to disclose this on the bar application. The attorney declines to represent the former student, and later receives a call from the bar examiners inquiring about his former classmate's character and fitness. The attorney then recounts everything the classmate said about the pas addiction and criminal conviction. Was the attorney's conduct proper in this situation?

D. No, the former classmate here was a prospective client, and the attorney owed a duty of confidentiality, even though no representation occurred.

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 from a long prison sentence, no matter what. Just before the close of evidence, the lawyer raised a defense of entrapment. The defendant had not been the target of a sting operation, and there was no evidence that the police had offered any inducement to commit the crime, which was an aggravated assault on a family member. The prosecutors immediately objected that the defense counsel should have raised this earlier, and the judge quickly dismissed the claim as unfounded and told the lawyer to move on. He next tried stalling, and told the judge he could prove someone else committed the crime if there could be more time. This was a complete fabrication, and the judge asked sever searching questions, but the lawyer was insistent. They judge denied the request for more time. Then the lawyer claimed that he also wanted to challenge the constitutionality of the assault statute itself, claiming the Second Amendment's right to bear arms implied a right to assault people with a weapon under a wide range of circumstances. The judge laughed and agreed to give him two weeks to brief the issue in order to preserve it for appeal. The next day, the lawyer held a press conference, in which he claimed the judge was biased and that it was clear that someone else had committed the crime and had framed his client.

D. 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.

Ms. Kramer met with a lawyer to discuss a physical assault by her estranged husband, who had broken into the house of Ms. Kramer's fried, where Ms. Kramar was now living o avoid contact with her husband, and had assaulted her, leaving minor injuries and damaging some of her personal property. The lawyer agreed to represent her in seeking a restraining order against her estranged husband. The next day, upon hearing about this meeting, the estranged husband appeared in the lawyer's office, also seeking representation in the same matter. Mr. Kramer expressed his desire for reconciliation and asked the lawyer to represent him in mediation with his estranged wife, and to defend him at the restraining order hearing. The lawyer accepted a retainer fee from Mr. Kramer and agreed to represent him, just as he had done with Ms. Kramer. Both the husband and wife were aware that the same lawyer represented them and proceeded with scheduling a hearing and mediation meetings, but neither signed paperwork actually consenting to the joint representation. Ms. Kramer is unhappy that the husband hired her lawyer, but she feels she cannot do anything about it. What sanction could the lawyer face because of this dual representation?

D. 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.

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 previously case 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?

D. Yes, because a judge who was a member of a multi member 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.

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?

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

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

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 then stood up, shouted, and with a heave overturned the conference table around which the lawyers, court reporter, and deponent were sitting. Notes, cell phones, and open briefcases flew across the room, and the stenographer's equipment tumbled to the floor. The attorney and the client gathered their things and stormed out of the room. A few days later, the attorney called opposing counsel and halfheartedly apologized, and agreed to reschedule the deposition if opposing counsel would agree to behave himself this time. Opposing counsel reported the attorney to the state bar for disciplinary authority. Could the attorney be subject to discipline for the way in which he disrupted the deposition?

D. Yes, because the duty to refrain from disruptive conduct applies to any proceeding of a tribunal, including a deposition.

An attorney is notorious personal injury lawyer, widely feared by defendant corporations and insurers who must defend claims. The attorney reaches on exceptionally favorable settlement for his client, a structured settlement paying several hundred million dollars over the period of five years. The defendant has lost cases to the attorney on several occasions, and wants to avoid dealing with him in the future. The defendant demands, as a condition of settlement, that the attorney will not represent any other clients in the future in tort actions related to this defendant or even to similar businesses in that jurisdiction. The attorney's contingent fee will be large enough for him to retire comfortably to a private tropical island and never need to work again, so he is amendable to this condition of the settlement. Is the attorney subject to discipline for this agreement?

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

Lucille Bluth hires an attorney Wayne Jarvis to represent her and her family in a complex federal case involving the family business and charges of securities fraud and racketeering. Early in the representation, Lucille and the lawyer, Wayne, start dating and become sexually involved, to he consternation of the rest of the family. Lucille and Wayne rationalize the relationship by saying that they each have "needs" that their new romantic partner meets, and they have even discussed marriage as an eventuality. Is the lawyer subject to discipline for this relationship?

D. 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.

An attorney agrees to represent a client in a divorce proceeding against her husband. The client is particularly concerned about obtaining her fair share of the martial property or assets- as must as possible, in fact-as well as a suitable level of child support for their children. The client agrees to pay the attorney his usual flat fee for divorce cases, $5,000, but also offers to pay him 10% of whatever he wins in terms of payments and distribution of assets, on top of his usual fee. After a protracted, acrimonious divorce proceeding, the attorney obtains a settlement worth approximately $2 million for the client. Is the attorney subject to discipline in this scenario?

D. yes, because the attorney entered into an arrangement for a fee in a domestic relations matter, the amount of which was contingent upon the amount of alimony, support, or property settlement.

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?

a) 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?

a) 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?

a) 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.

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?

a) 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.

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?

a) 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.

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?

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

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. Halfway through trial, the opposing party unexpectedly makes a settlement offer that one client wants to accept. The other client prefers to decline, as he believes that a favorable jury verdict is a certainty and will be much higher. Attorney strongly encourages them to accept the settlement offer, which he believes is generous, given his perception that their chances for a favorable jury verdict are slim. Unable to reach a consensus on whether to accept the settlement offer, one of the clients revokes his consent to the conflict 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?

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

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?

a) 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.

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?

a) 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.

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?

a) 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.

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?

a) 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.

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?

a) 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?

a) 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.

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?

a) 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.

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?

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

An attorney represented a seller in a business transaction involving industrial equipment. When the deal was complete, the purchaser sent the attorney a check for $7,000, the 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?

a) 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.

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?

a) 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 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?

a) 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 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?

a) 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.

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?

a) 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.

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?

a) 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 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?

a) 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.

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?

a) 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.

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.

Big Firm represents hundreds of corporate clients out of a dozen offices in different states. The firm has no formal procedures in place to check for clients at the outset of representation for new clients, but the managing partner of the firm has an incredible memory and has never failed to spot a potential conflict of interest in the past. Attorney agrees to represent a new corporate client that owns many subsidiaries, and checks with the managing partner, who assured Attorney there are no potential conflicts. After the new corporate client had disclosed a substantial amount of confidential information, it emerged that some of its subsidiaries were directly adverse to other clients of Big Firm. Attorney was completely unaware of the potential conflicts at the time he agreed to the representation, despite asking the corporate client a few questions about the opposing parties in pending litigation it might have. Will Attorney be subject to discipline for not declining representation in this case?

a) Yes, because ignorance caused by a 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.

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?

a) 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.

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?

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

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?

a) 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 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?

a) 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.

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?

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

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?

a) Yes, because she knowingly made a false statement of material fact on her application for admission to the state bar.

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?

a) Yes, because the advertisement it misleading.

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?

a) 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?

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

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?

a) Yes, because the name is misleading if there are no lawyer associates working for Attorney.

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?

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

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?

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

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?

a) Yes, because the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer.

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?

a) 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.

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?

a) 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 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?

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

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?

a) 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.

Parent retains Attorney to represent Defendant, who is Parent's 16-year-old child accused of shoplifting. Because Parent is paying for his services and because Defendant is a minor, Attorney generally communicates with Parent about the proceedings, options for disposing of the case, and other case-related issues. After speaking with Parent about a plea deal that would allow Defendant to do several community service hours and have the case dismissed, Parent advises Attorney that Defendant will take the deal. Attorney contacts the prosecutor who sends the paperwork for Defendant to complete and then cancels the court appearance, advising the Court that a plea deal has been reached. Are Attorney's actions proper?

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

Attorney has always practiced exclusively in the area of business transactional work and has no litigation experience. Client has used Attorney's services on a number of occasions related to her business transactions. In one instance, Attorney prepared a detailed non-compete agreement for client to use with a nationally known mathematician whom Client hired to work on Client's predictive coding algorithms. The mathematician, however, left Client's firm and began working for Client's main business rival, apparently in violation of the non-compete agreement. Client asked Attorney to bring an enforcement action against the mathematician. Attorney declined to represent Client in the litigation, and reminded Client that their previous retainer agreement over the non-compete agreement specifically stated that Attorney's representation would include only the drafting and related transactional work, and would not include litigation to enforce or nullify the non-compete agreement. Would Attorney be subject to discipline for including this provision in his agreement to represent Client?

a)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.

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). Conglomerate Corporation owns or co-owns numerous subsidiaries and affiliates in unrelated industries. Attorney's retainer agreement limits his representation exclusively to the SEC and FTC regulatory matters. Victim hires Attorney to represent him in a personal injury suit against Subsidiary Corporation, partly owned by Conglomerate Corporation, over a slip and fall accident in Subsidiary's parking lot. Is it proper for Attorney to represent Victim in a tort action against an affiliate or subsidiary of his other client, Conglomerate Corporation?

a)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.

The Workers' Union at a manufacturing plant is having annual collective bargaining negotiations with the Management. Wages and benefits are not in dispute this year, as the parties reached an agreement in the previous year's collective bargaining about a five-year schedule for wages and benefits that was acceptable to both the Union and Management. The sole issue in dispute this year is hiring: the Workers' Union wants the plant to hire five or six new assembly line workers so that there will be more efficiency and more flexibility for workers requesting days off or changes in their shifts. The Management wants to hire fewer new workers, perhaps two at most, in order to keep payroll costs down and their stock share prices high. The Union and Management agree to hire Attorney, an experienced labor lawyer at an outside firm, to facilitate the collective bargaining negotiations. Neither side is currently expecting a breakdown in bargaining that would lead to litigation. Would it be proper for Attorney to have both the Union and the Management as clients while facilitating the negotiations?

a)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

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. Attorney's new firm has recently decided to represent Plaintiffs in a lawsuit against Conglomerate, and the cause of action arises from a new consumer protection statute that the state legislature passed in its last session. Attorney had left the previous firm before the new lawsuit began, and will not work on the new lawsuit at all. Would it be proper for Attorney's new firm to represent the Plaintiffs in an action that is directly adverse to Conglomerate Corporation?

a)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.

Two successful business partners hired Attorney to help with the dissolution of the partnership, as the two partners no longer want to work together. Attorney was very concerned about the obvious conflict of interest, but the partners insisted that they did not want to complicate matters unnecessarily by hiring separate counsel, and that they were already in complete agreement about how to divide the business. They even signed informed consent statements acknowledging and waiving the conflict. Each partner believed it would be in both of their best interest to use only one lawyer to dissolve the business. The matter was purely transactional at this point, and did not involve any anticipated litigation before a tribunal. One partner had already mentioned to Attorney that he might need his legal services in setting up a new business, as well as handling some estate planning issues for him. Attorney still believed that dual representation was not a good idea, given the complexity of the business and the debatable future value of some of the patents, goodwill, and other intellectual property involved, and because one partner contributed a much larger share of the startup funds years before. The partner who mentioned hiring Attorney to do estate-planning work wanted the dissolution to include assigning his proceeds from the business to his heirs. Attorney proceeded with the dual representation and the dissolution appeared to proceed smoothly. Is Attorney subject to discipline for representing both partners?

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

Client hired Attorney to represent her in a personal injury lawsuit in which Client is the plaintiff. After an initial consultation and two meetings to review the main evidence in case and to discuss the nature of the claims, Attorney drafted the initial pleadings, served the opposing party, and filed the pleadings in the appropriate court. Attorney did not allow Client to review the pleadings before filing them, and afterward, Client expresses disappointment that she did not have the opportunity to review the pleadings beforehand and make suggested edits, given that it is her case and that Attorney is working for her. 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?

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

Client hires Attorney to represent her in business litigation. Another lawyer in the firm, unknown to Attorney, approaches Client with a proposal for an unrelated business transaction, the sale of a parcel of real estate adjacent to the lawyer's own land. Client agrees to sell the other lawyer in the firm the parcel of real estate for a reasonable price. The lawyer is not involved at all in the representation of client and works exclusively in the estate-planning department of the firm, rather than in 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?

a)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.

Attorney represents Defendant in a criminal case in which Defendant is accused of assault causing bodily injury. Defendant details the events that led to the charge to Attorney. Attorney believes Defendant is not guilty and has defeated such charges against other clients in the past. Defendant asks Attorney to get him the best possible plea deal and explains that he does not want to take the case to trial. Attorney contacts Prosecutor who offers Defendant a reasonable settlement, but it requires the Defendant to serve jail time. 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?

a)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.

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. The client's particular approach puts it in the gray area around "fair use" and "composite works ofart" under prevailing copyright law, and no court has yet ruled on the precise issue, though the question has been the subject of seventeen lengthy law review articles in the last two years, reaching a range of different conclusions. No litigation is pending and Client has not yet undertaken any activity that could constitute a copyright infringement; he is seeking reassurance before proceeding that he would not face liability for copyright infringement. Because Client primarily wants a memoranda of law answering his hypothetical legal question, he asks Attorney to limit his research and writing to two hours of billable time. Attorney agrees, spends an hour reading and an hour writing, and gives the Client a short memoranda. 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?

a)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.

Attorney represents Client, a wealthy executive, for the first time in a divorce case. Attorney learns that Client intends to purchase and develop several parcels of land in an undeveloped area on the outskirts of the city. Attorney also represents Physician in an estate planning matter. Attorney and Physician have a longstanding relationship. Attorney mentions the parcels of land that are for sale on the outskirts of the city, which Client brought to Attorney's attention. Attorney recommends that Physician also try to buy one of the parcels of land as an investment for the estate, knowing that the area will soon see development and the property values will increase. Even in the short term, Attorney knows that Physician could probably make a quick profit by buying a parcel and selling it to Client when Client gets around to purchasing the parcels. 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?

a)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.

Three co-owners of a successful startup business hire Attorney to help with working out the financial reorganization of their enterprise. Attorney seeks to resolve potentially adverse interests by developing the parties' mutual interests. In assenting to represent all the parties as clients simultaneously, Attorney agrees to adjust the relationship between clients on an amicable and mutually advantageous basis. The clients each provide written consent to the potential conflicts of interest. Is it proper for Attorney to represent three clients with potentially adverse interests in a negotiated transaction?

a)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.

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. Attorney also represents Buyer in unrelated litigation over custody of his children after a divorce. Buyer and Seller are not litigating against each other, and that Attorney represents each in completely unrelated matters. Must Attorney obtain informed consent from each client to undertake representation of Seller in the negotiations over the sale of the business?

a)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 by 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.

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. Attorney also represents Buyer in unrelated litigation over custody of his children after a divorce. Buyer and Seller are not litigating against each other, and that Attorney represents each in completely unrelated matters. Must Attorney obtain informed consent from each client to undertake representation of Seller in the negotiations over the sale of the business?

a)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 by 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.

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. Attorney was not involved in the case at all; another associate at the firm represented Victim in the lawsuit. Big Firm, which has offices in several states, is defending the trucking company in the personal injury lawsuit brought by Victim. Attorney's small firm has a single office and a computer network that allows the five lawyers there to share documents and files from all their cases with each other. Any lawyer in the firm could access all of the other lawyers' documents, which saved time as lawyers could copy and paste from various motions and pleadings that other lawyers had drafted previously on unrelated matters. Every Thursday afternoon, there was a mandatory meeting of the lawyers in the firm, in which they discussed whether to accept the cases of new potential clients, and they discussed how the pending litigation of each lawyer was proceeding. The lawyers exchanged advice and suggestions for one another's cases. Attorney did not make partner at the small firm, so he left and went to the Kansas satellite office of Big Firm instead. Big Firm assigned Attorney to work on the trucking company case, the same case in which his previous firm represented the opposing party. Attorney had not worked previously on the case and had heard about it only in passing during the weekly litigation meetings at his previous firm, and now remembers almost nothing from the conversations. Should Attorney be subject to disqualification from defending the trucking company?

a)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.

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. They approached Attorney to work out the details of the joint venture and draft the necessary legal documents. Attorney would provide common representation to both as clients in the matter. As part of obtaining informed consent from the clients regarding potential conflicts, Attorney explains that all information would be shared, even information that otherwise would have been confidential information in a normal representation with a single client. Attorney explains he will have to withdraw if one client decides that some matter material to the representation should be kept from the other. The energy drink maker, however, has a secret formula for the drinks, and the DVD kiosk owner has a trade-secret method of tracking the distribution and stocking of the DVDs in the kiosks minute-by-minute. Neither wanted the other to discover their trade secrets, but Attorney may eventually possess the secrets as part of his document review for the joint venture. Neither client actually needs to know the trade secrets of the other, however, in order to proceed with the joint venture. Attorney concludes that failure to disclose one client's trade secrets to another client would not adversely affect the representation in this case, and agrees to keep that information confidential with the informed consent of both clients. Is Attorney's conduct proper?

a)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.

Attorney represents Client in a civil matter, and ha s represented Client several times before. Client and Attorney purchase a piece of property together, with an appraisal value of $4 million. Each contributes fifty percent to the purchase price. Client received a five percent interest in the property and Attorney receives a ninety-five percent interest in the property. Attorney received a greater interest in the property as payment for representing Client for several traffic citations recently, with the total fees being around $2000, but the value of the representation is far less than the value of the additional interest Attorney received in the property. Client was represented by independent legal counsel for the property purchase. Is Attorney subject to discipline?

a)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.

Three individuals hire Attorney to represent them as co-defendants in a tort action. Attorney tells them that there could be a potential conflict of interest if he represents all three of them, and that they will need to sign informed consent forms, which they do. The three individuals have common goals and interests in the litigation, so they do not hesitate to sign the forms or inquire further about the implications of the potential conflicts. No further discussion occurs about the issue, and Attorney proceeds with the representation. 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?

a)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.

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. The two brothers hire their family's lawyer, Attorney, to represent them. Though the brothers get along reasonably well, there are a number of topics they avoid discussing, especially related to family matters and the inheritance, and who is to blame for some lost clients and damaged equipment in the recent past. Attorney explains the potential for conflicts of interest in the common representation and asks if they are willing to sign a waiver to the conflicts. One asks the lawyer privately about the issue of confidentiality and privileged information, because it is possible that litigation could emerge within the family later over various issues -the inheritance, control of the business, liability for business losses, and even a marital dispute. Does the common representation have implications for the attorney-client privilege?

a)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.

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. Attorney offers to research the matter for a few hours and write a formal legal memoranda for Client about filing extensions. Even so, off the top of his head, Attorney can assure the Client over the phone that it is indeed possible to apply for an extension and that the IRS routinely grants them if they receiving the application for extension before the regular deadline. Attorney practices in the area of tax law and is familiar with the rules. Client thanks the Attorney and says that he is satisfied with the "short answer," and that he does not want Attorney to do any more research or writing about it, but rather to send a bill for the phone call. Attorney agrees and bills Client for the telephone conversation, and conducts no further research on the matter. Is it proper for Attorney to limit his representation to a single telephone call like this?

a)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.

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. A trial within a trial

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

a. 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.

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

a. Most pay more than $300 per hour

Attorney represents Client in a drug trafficking case. Client asks Attorney to deliver a package to a friend of Client. Client tells Attorney that the package contains illegal drugs but assures Attorney he will not reveal that Attorney made the delivery if police discover that the transfer was made. Attorney advises that he will not participate in the transfer. Attorney does not advise the Court of Client's request and remains Client's attorney on the drug trafficking case. Are Attorney's actions improper?

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

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?

a. 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.

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?

a. 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.

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?

a. 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.

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

a. Steadily increasing

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

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

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. The case did not involve an insanity defense or a defense of diminished capacity. The psychologist who evaluated Client spoke privately to Attorney, and explained that Client was indeed competent to stand trial, but that in his opinion, Client also suffered from delusional narcissism, paranoia, and oppositional-defiant syndrome. The psychologist pleaded with Attorney not to tell Client about this diagnosis, because the disclosure could harm the client, triggering an episode of paranoia in which the client would suspect that everyone around him was conspiring to institutionalize him, and he would become uncooperative at trial and mistrustful of his own lawyer. Attorney told Client that the psychologist had deemed him competent to stand trial and did not disclose the rest of the psychologist's assessment. Was it proper for Attorney to conceal the psychologist's diagnosis from Client?

a. 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.

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. Attorney suspects the girlfriend is lying to protect Client, and that they rehearsed an alibi story without working through the fine details together. Attorney lectures both Client and his girlfriend about the wrongfulness of perjury and the fact that they do not have to testify at all, as well as the hazard of having their stories crumble under rigorous cross-examination. Is it permissible, under the Rules of Professional Conduct, for Attorney to call Client and his girlfriend as witnesses during trial?

a. 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.

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?

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

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?

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

Client is an inexperienced drug dealer and consults with Attorney about the legal ramifications of his business. Without explicitly endorsing or encouraging Client in his criminal enterprise, Attorney conducts research at Client's request about various drug laws and sentencing guidelines. Attorney writes a detailed memorandum of law explaining that certain threshold quantities of drugs, according to the relevant statutes, create a presumption of "intent to distribute" or trigger a significant sentencing enhancement. Similarly, Attorney explains that statutes and sentencing guidelines impose higher-grade charges and severe sentencing enhancements if a drug dealer brings a firearm to a transaction. Client mulls over the information and decides to change his business model from bulk sales of narcotics to selling smaller quantities in more individual transactions, such that each sale constitutes only the lowest-level misdemeanor. Client also instructs all his subordinates to avoid carrying firearms and instead to refill pepper spray devices with hydrochloric acid, which they spray in the face of their opponents in any altercation, causing severe disfigurement. Is it proper for Attorney to provide such legal advice to Client?

a. 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.

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. Her good relationship with her sister had ended, because of an intense argument over Christmas presents, even before Client married and had children, and Client had been free from substance abuse since she married, and was now managing her mental health issues very well. Her sister knew many of her darkest secrets. Attorney located the sister, explained that Client was fighting for custody of her children, and that he expected the ex-husband's lawyer to call her to testify at the hearing about Client's former troubles. Attorney pleaded with her to show some consideration for the years of good relationship and good memories she shared with Client, and to refuse to betray her sister's confidence and reveal all her dark secrets. The sister felt deeply moved by this entreaty and agreed to stay out of the litigation. Was Attorney's conduct proper?

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

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. Attorney strongly encourages nearly all of her clients to accept a plea bargain, because taking one case to trial will mean that the public defender's office must turn away about two dozen indigent clients. Attorney and her colleagues believe that it is better for defendants to have a little representation rather than none at all, and that most defendants would lose at trial anyway. Does Attorney have an ethical problem, under the Rules of Professional Conduct?

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

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?

a. 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.

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?

a. 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 should handle the appeal process.

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. A college student who operated a radical political blog wrote a blog post saying that the billionaire is "the real face of international terrorism" because the student strongly disagreed with the candidate's foreign policy commitments involving military force. The blog post also called the candidate "another Hitler," who would probably bring "another Holocaust in the nation of Africa." The insults deeply hurt the billionaire candidate's feelings, so he filed a defamation suit against the student blogger, who had not even bothered to spell the billionaire's name correctly. He also vowed that if he were to win the election, he would seek to revoke the citizenship of the blogger, who was born in the United States, and have him deported as an illegal alien to "some hostile nation, such as France." The student immediately filed a motion to dismiss under the state's anti-SLAPP statute, requested a stay of discovery, and asked that the billionaire should have to pay the student's legal costs and fees. Could the billionaire suffer all these adverse results for his defamation suit?

a. 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.

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. The trial was to start the following week. At the end of the hearing, the opposing counsel asked the court to have the record sealed in the upcoming trial, and to have reporters banned from the courtroom. He explained that the testimony at trial would necessarily reveal some of his client's trade secrets, and it was important to the client to keep the trial records sealed. The judge was amenable to this suggestion and asked Attorney if he had any objections. Attorney tried to call Client, but Client did not answer his phone right then. Attorney could not think of a compelling reason for Client to oppose the motion, so he agreed, and the judge set the matter for a sealed-record trial. Client never returned Attorney's call, and Attorney did not explain what had transpired until they arrived at the court for the first day of trial. Client was dismayed because he had planned to use this litigation as a test case for subsequent litigation over the same type of issue, but Attorney explained that it would now be difficult to get the judge to reverse course on this point. Is Attorney subject to discipline in this case?

a. 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.

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?

a. 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.

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?

a. Yes, because it was apparent to the client that the acceptance of the particular employment will preclude other employment by the lawyer.

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. Attorney lives in a state that allows "reasonable" fees, and he makes a written fee agreement with Client for an additional $100 fee per hour, on top of whatever fees the Treasury Regulations allow in their case. If the Client provides written informed consent, could Attorney be subject to discipline for this fee agreement?

a. Yes, because state rules about legal fees are subject to limitations by applicable law, such as government regulations regarding fees in certain tax matters.

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?

a. 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 was a new law school graduate, and had recently moved to a new town and opened a practice there. Client met with Attorney to discuss representation in a rather simple personal injury lawsuit against the town's largest company and major employer, with the municipal government and local hospital added as co-defendants. Client explained that she had already gone to consultations with every other plaintiff's firm in the town, and that each one declined her case because it presented conflicts of interest for them, as many of their other clients worked for, or were under the ownership or control of, either the town's largest company, the city government, or the local hospital. Attorney quickly realized that he was probably the only lawyer in town who could represent Client in this action, as he was too new in town to have any conflicts of interest. The other potential clients of the lawyer were all domestic relations cases that presented few hurdles with conflicts of interest. Attorney offered to represent Client for four times his usual fee, which would be 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, but she reluctantly agreed because she felt she had no real choice. Attorney did memorialized their agreement in writing. Is Attorney subject to discipline for this fee agreement?

a. Yes, because the fee is unreasonably high and is merely exploiting the client's predicament.

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?

a. Yes, because the testimony relates to an uncontested issue.

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. Conglomerate Chemical Company was not a party in the litigation in Nicaragua, and the Nicaraguan court rejected Conglomerate Chemical Company's attempt to intervene in the case. Nevertheless, at the end of the case, the Nicaraguan court was confused and entered a billion-dollar judgment against Conglomerate Chemical Company, which had manufactured the pesticide, rather than Conglomerate Corporation, which had participated in the lawsuit. Attorney and his partner then brought an action to enforce the judgment against Conglomerate Chemical Company in Texas courts. Conglomerate Corporation, which actually participated in the litigation, is now judgment proof. The trial court dismissed the enforcement action because Conglomerate Chemical Company was not a party to the litigation that ended in the judgment that Attorney sought to execute. 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?

a. 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.

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 representation0 is considered terminated as of the date and time of the call. Client advises that she intends to retain another attorney prior to the hearing. After receiving the call from Client, Attorney schedules another matter for Monday, does not appear at the hearing, and does nothing further on the case. Is Attorney subject to discipline?

a. 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. Most clients meet her only for a few minutes before their plea bargaining session, and she emphatically insists with her clients that they accept the prosecutor's second or third offer for a deal. When her cases go to trial, she must waive voire dire entirely, and often does no factual investigation or case research - yet she still wins acquittals in many cases because she is very gifted at destroying the credibility of hostile witnesses during cross-examination. 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?

a. Yes, if she cannot fulfill her ethical duties, she must not continue representation of her current clients.

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?

a. Yes, it is proper to compensate an expert witness on terms permitted by law.

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?

a. Yes, the ethical duty to take remedial measures when a client offers false statement applies when the lawyer is representing a client in an ancillary proceeding conducted pursuant to the tribunal's adjudicative authority, such as a deposition.

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?

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

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

b) Conflict of interest

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

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

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

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

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

b) 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.

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

b) Interest On Lawyers' Trust Accounts

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

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

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?

b) 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?

b) 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 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?

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

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?

b) 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?

b) 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?

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

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?

b) The board of directors or similar governing body

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?

b) 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?

b) 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.

In 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?

b) 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.

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

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

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?

b) 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.

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?

b) 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?

b) 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

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?

b) 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 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?

b) 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.

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?

b) 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 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?

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

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?

b) 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.

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?

b) 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.

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?

b) 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

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?

b) 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 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?

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

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?

b) 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.

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?

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

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?

b) 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?

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

After practicing for two years, an attorney enrolled in an 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?

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

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?

b) 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?

b) Yes, because she did not notify the client soon enough.

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?

b) 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.

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?

b) 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 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?

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

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?

b) Yes, because the requirement that certain communications be marked "Advertising Material" does not apply to communications sent in response to requests of potential clients.

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?

b) 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?

b) 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 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?

b) 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 sends a solicitation letter to a prospective 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?

b) 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.

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?

b) 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.

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?

b) 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?

b) Yes, the prosecutor shall seek to remedy the conviction.

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?

b)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.

Business Manager and Shift Supervisor, who worked at a customer service call-center, became co-defendants in a lawsuit by a disgruntled former employee. The plaintiff claimed to have been the victim of gender discrimination in the form of a hostile work environment, as well as intentional and negligent infliction of emotional distress related to the same factual allegations about her treatment at the workplace. Business Manager hired Attorney to represent both himself and the Shift Supervisor, who had been the plaintiff's direct superior. Based on Business Manager's initial investigation and review of the personnel files of the plaintiff and the Shift Manager, he believes the allegations are baseless and that the suit will end in a dismissal or summary judgment before trial. Shift Supervisor had a spotless work history, but the plaintiff had numerous interpersonal conflicts with her peers, was frequently late for work or missed work completely, and was the subject of several customer complaints. From his consultations with the defendants, Attorney understood that both Business Manager and Shift Supervisor were equally targets of the complaints. Business Manager and Shift Supervisor both gave Attorney written informed consent to the potential conflicts of interest in having Attorney represent both of them. Business Manager obtained tentative permission to have the business cover the legal fees for Attorney. Near the end of the discovery phase, however, plaintiff produced numerous inappropriate love letters to her from Shift Supervisor, many with explicit sexual overtures, and a few that sounded threatening based on her lack of response to previous letters. In addition, several co-workers of plaintiff gave depositions explaining that they had witnessed Shift Supervisor engaging in inappropriate and unwanted touching of plaintiff on many occasions. Several also testified that Shift Supervisor would often accost her for ten or fifteen minutes outside, before she could reach her workstation, and that this was the cause of her tardiness for work. Business Manager had never heard about any of these problems before. Moreover, during depositions the plaintiff explained that she always had very little contact with Business Manager and had no direct complaints about his treatment of her, and acknowledged that she had never complained to Business Manager about Shift Supervisor's harassment of her. She disclosed that Business Manager was a co-defendant only because her attorney believed it was necessary to name someone from upper management in the lawsuit in order to trigger the legal protections of Title VII and other anti discrimination laws. Business Manager then revoked his consent to the conflict of interest, explaining that he wanted separate representation from Shift Supervisor. Trial was due to begin two weeks later. Would it be proper for Attorney to continue representing either Shift Supervisor or Business Manager, but withdraw from representing the other?

b)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.

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. The relevant state office, along with the general contractor, hire Attorney to represent them in a lawsuit against the subcontractor. The state client and the private party each provide written informed consent to potential conflicts of interest in the form of a waiver. Is it proper for Attorney to represent both the government and a private party at the same time?

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

Attorney has been representing Client in a simple adoption of an orphan from Zimbabwe. Corporation then hires Attorney to defend it against a defective -products lawsuit brought by Victim, whom Attorney does not represent. During the discovery phase of litigation, before trial, Victim's lawyers disclose the list of witnesses they plan to call to support Victim's claims of injuries and the scope of damages. Attorney notices that Client, for whom he has been handling an adoption matter, is going to 8 testify at trial in support of Victim's claims, against Corporation. Client is still unaware that Attorney is representing Corporation, and Client is merely testifying as a friend of Victim about Victim's character traits of caution and care, and the suffering Victim has endured since the incident with Corporation's defective product. Attorney was not aware that Client even knew Victim, and unsurprisingly did not obtain consent from Client, Corporation, or Victim about this issue. Is Attorney subject to disqualification in this case?

b)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 obtained a successful outcome in Client's matter, and Client was grateful. Client sent Attorney a gift basket that year as a holiday gift, containing high-quality fresh fruit, sample-size jars of gourmet fruit preserves, and a few other delicacies. The gift basket cost Client $50. Is it proper for Attorney to accept this gift, or must Attorney refuse it?

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

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. Most of Attorney's work consists of sending demand letters, and most cases never actually result in the filing of a suit. Bank, a small local bank, retains Attorney to handle a particular claim against a customer for non-payment of a loan. Attorney has not represented any clients against Bank. Attorney includes in his contract for services a clause in which Bank waives any conflicts that may arise in the future -conflicts that involve Attorney representing clients against Bank for issues regarding failure to investigate claims of fraud or unauthorized use of bankcards. Is Attorney's conduct proper?

b)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.

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 called Husband at a phone number provided by Wife. Attorney discussed the conflict with Husband and Husband advised that he was not opposed to Attorney representing Wife. Attorney then accepted the case and filed the enforcement. Is Attorney subject to discipline?

b)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.

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. The client had hired a prostitute to seduce the former employer in a room with hidden cameras, then showed the embarrassing photographs to his former employer and demanded monthly payments of $500, which the employer paid, not wanting to destroy his marriage. The prostitute subsequently died of a drug overdose. The client's former employer eventually tired of making the monthly blackmail payments, and went to the police about the matter. The client is now worried that he will face charges for blackmail, which would violate his parole and result in a lengthy incarceration. Client retained the only copies of the photographs, as he merely showed them to the former employer a year ago in order to extort the payments. After the client explained all this to his attorney, he gave the attorney the documents and instructed the attorney to destroy them or hide them so that the police could not find them. Attorney put the photos in a folder marked ATTORNEY WORK PRODUCT -PRIVILEGED AND CONFIDENTIAL, and sent the folder to a secret overseas document storage service in the Caymans. The police obtained an arrest warrant for the client based on the former employer's affidavit, and at trial, the prosecutor obtained a conviction based on the employer's testimony and the bank records showing the monthly transfers. Is the attorney subject to discipline?

b)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.

Defendant was indigent and received court-appointed defense counsel, Attorney, in his felony larceny case. Defendant insisted that he was completely innocent and that he would not accept any plea bargains, because he wanted an opportunity to prove his innocence at trial. When Defendant told Attorney his expectations, Attorney explained that there is a special type of plea called an "Alford Plea," in which a defendant may agree to accept a conviction while still contesting his guilt or maintaining his innocence. Defendant refused, and told Attorney, "Do not even contact me with offers from the prosecutor for a guilty plea. I will not plead guilty, but will prove my innocence in a court of law!" The prosecutor indeed made several plea offers, and each time Attorney presented the offer to Defendant, who rejected it and reminded Attorney that he did not want to be bothered with any offers to "make a deal." Defendant's hard line proved effective as a negotiating strategy, and eventually the prosecutor called Attorney to say they would reduce the charges to a misdemeanor and the sentence to "time served" if Defendant would plead guilty. Attorney thought this was a ridiculously generous offer but simply rejected it without consulting his client. Client proceeded to trial and the jury convicted him, ad 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?

b)Yes, because the client has previously indicated that the proposal will be unacceptable and has authorized the lawyer to reject the offer.

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 government agencies. They have already agreed that each individual will contribute exactly one-third of the startup funds for the venture, each will own a one-third share, each will have equal control over the Board, and each agrees to indemnify the others for a one-third share of any personal liability related to the joint venture. They have also agreed that they will have no non-compete agreements. The joint venture will hire managers, marketers, and other employees to operate the business. The three individuals are co-owners of a patent that could potentially be very lucrative when they bring it to market, and have known each other and worked together for a long time. The attorney cannot find any current areas of conflict between them,though he knows that it is technically possible that some unforeseen conflict could arise in the future. The shared objectives and goals of the group lead Attorney to conclude that no conflicts of interest are present and that it would be counterproductive to try to convince each member of the group to sign an informed consent form acknowledging that conflicts of interest exist and that Attorney may still represent everyone at once. May Attorney trust his professional judgment and proceed without obtaining separate consent forms from each person in the joint venture?

b)Yes, because the mere possibility of subsequent harm does not itself require disclosure and consent.

Attorney sued Company on behalf of Client in a personal injury matter. During the protracted litigation that ensued, Conglomerate bought Company. Attorney was already representing Conglomerate in a regulatory compliance matter before a federal administrative agency. Assuming this development was unforeseeable at the outset of representing Client against Company, will Attorney have the option to withdraw from one of the representations in order to avoid the conflict?

b)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.

Two sisters are co-tenants of a house that they inherited from their father. They want to sell the house and hire Attorney to handle the real estate transaction. Attorney explains the potential for conflicts of interest in detail, and each sister readily agrees to provide written informed consent in the form of a waiver of future conflicts of interest. After a long period, they finally find a buyer who is interested in the house, but the buyer wants to impose several onerous conditions on the purchase, and engages in unreasonably protracted negotiations over the purchase price. The sisters themselves cannot agree on whether to accept any of the buyer's proposals, further dooming the negotiations. Eventually, one sister becomes frustrated with Attorney over the prolonged, hitherto unsuccessful negotiations, and fires Attorney. The other sister wants Attorney to continue the representation. With regard to the sister who seeks to discharge Attorney, may she do so?

b)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 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?

b. 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?

b. Conflicts of interest

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

b. More than half

Attorney explains to Client that certain features of Client's business proposal would constitute money laundering under current federal statutes. Attorney explains the statute in detail, and explains why the course of action would meet the statutory definition of money laundering. Attorney explains the various monitoring and reporting mechanisms that federal enforcement agencies have in place to detect money laundering, in an attempt to convince Client that he would not escape arrest and prosecution if he proceeds. Client absorbs the information and uses it to structure a more elaborate money-laundering scheme that exploits some ambiguity in the statute and the reporting requirements to make his enterprise much more difficult to detect, and complicates enforcement and prosecution efforts against him. Attorney's advice turned out to be incredibly useful to Client in avoiding detection and expanding his criminal enterprise. Is Attorney a party to Client's course of action?

b. 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.

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?

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

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. On a few occasions, Attorney even re-filed a motion after the court ruled on the motion in the government's favor, merely to make the government lawyer spend the time filing objections or replies based on the court's previous ruling on the same issue. The government lawyers filed a complaint against Attorney with the state bar authorities, but the state disciplinary authority decided not to pursue the matter, in part because it was in federal court and involved exclusively federal issues. Could Attorney also face sanctions or penalties under federal law, if the state bar rejected the complaint?

b. 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.

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. After she returns to her office from the courthouse, Attorney calls her client to notify him about the trial postponement. Client is upset about the postponement because he wanted the matter resolved as quickly as possible, and he accuses Attorney of putting her own scheduling needs ahead of his interests. Attorney explains that they have not lost anything through the postponement, and that Attorney will now have more time to prepare for the trial, so the delay is probably advantageous for Client's case, both from a strategic and a preparation standpoint. Client accepts Attorney's answer but still feels disappointed that Attorney did not ask him first, in which case he would have expressed his will to contest the postponement. Is Attorney in compliance with her ethical duties under the Rules of Professional Conduct?

b. 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

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." Attorney takes the pistol and throws it down the closest storm gutter on the street, and they can hear the gun clanging against concrete as it tumbles deep down into the storm sewer. Attorney says, "It is late and you are too upset to talk. Go home and clean yourself up, and do your laundry - you are a mess. We can discuss this tomorrow morning when you are in a better frame of mind." Client goes home to shower and launder his clothes, and Attorney returns to his office and resumes his work on the brief he was writing. Was Attorney's conduct a violation of his ethical duties?

b. Yes, because Attorney concealed or obstructed the police's access to potential evidence by disregarding 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 couple had taken the wife's elderly mother into their home, and needed to be able to help manage her assets and finances as her situation deteriorated. Attorney proposed a flat fee for his legal services, which was reasonable, and the couple agreed. At the close of their meeting, Attorney said he would formalize their fee arrangement in a written document and send them a copy, but a sudden crisis in another unrelated case distracted him, so he forgot to prepare a written fee agreement. Eventually, Attorney drafted and filed the necessary documents to place the elderly mother under the legal custodial care of the couple, including a brief probate proceeding. When the matter reached its conclusion, Attorney sent the couple a bill. 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?

b. 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.

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. Attorney tries to dissuade Client, but Client insists. Attorney believes the recipient of the documents will probably realize they are fraudulent before irreparable harm happens to the recipient. Client is willing to sign a private document for Attorney in which Client takes full responsibility for the fraud and states that Attorney was merely following orders and is not blameworthy in the matter. Would it be improper for Attorney to acquiesce, and draft and deliver the documents according to Client's instructions?

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

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." Attorney shot back that the judge was completely out of line, that the judge should have retired years ago; Attorney also made a mildly obscene gesture at the judge. Eventually, both calmed down and apologized to each other profusely. 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?

b. 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. Thousands of documents stored in electronic format on Conglomerate's computers and servers would arguably fall under this request for production. Attorney proposes to opposing counsel that they produce the requested documents in electronic form on a set of compact discs, and the opposing counsel readily agrees. Long before the litigation began, Attorney began using software to scrub the metadata from documents - electronically embedded information about the name of the user whose computer created the document, the date and time of creation, redlined changes from each stage of editing, and comments that other readers added to the document before it took its final form. Proposed contracts, letters to business partners, and correspondence with opposing counsel are all free from embedded metadata. 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?

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

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. Husband barely remembered Attorney, in fact, and the previous representation has no bearing on the current divorce or marital property. Wife then told Attorney, in confidence, that Husband had a homosexual affair last year with a man at his health club, and this was a major factor in her deciding to file for divorce. She explains that it is very important to her that Husband's affair be a centerpiece in the divorce proceedings, as this will give her closure and will help both her parents and her grown children to understand why she felt compelled to end the marriage. Attorney believes her, but finds this allegation unsavory, and does not want to embarrass Husband, especially given that Husband is a former client. Attorney halfheartedly files the divorce petition without any mention of the affair, stipulates to the Husband's request for a sealed record without discussing this move with Wife, and resolves the matter as discreetly as possible. 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?

b. 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.

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?

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

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. Attorney practices corporate transactional law and not litigation. The news media reported that jury selection would begin the following Monday in the protestor's prosecution. Attorney waited outside the courthouse where prospective jurors were reporting for jury service, and a long line formed at the metal detectors for entering the courthouse. Attorney waited in line and started conversations with the prospective jurors in front of him and behind him in the line, during which he explained that he was a lawyer and that the case against the protestor was ridiculous from a legal standpoint. He told them that he hoped the jury would follow the laws of the state and acquit the protestor. Once Attorney made it through the security line, he walked out of the courthouse and got back in the security line again, and had similar conversations with more prospective jurors. During voir dire, the prosecutor asked the prospective jurors if anyone had spoken to them directly about the case, and three people mentioned their conversations with a lawyer in the security line waiting to get into the building. 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?

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

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. Attorney explained that he would handle the case for $2000, but would do a maximum of ten hours of work on the case. Attorney expected the case to settle before trial, so ten hours seemed like a reasonable amount of time to draft a demand letter, file the pleadings, and conduct some preliminary discovery, at which point the matter would probably resolve itself in a settlement. Client agreed and they formalized this agreement in writing. Unfortunately, the matter did not settle, and Attorney had already spent ten hours on the case three months before the trial date. Attorney explained that his representation in the matter had terminated and withdrew from the case. Would Attorney be subject to discipline in a situation like this?

b. 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.

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?

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

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 school's student handbook also strictly forbids use of the school's wireless computer network, which provides the only Internet access inside the building, during class sessions unless the professor permits it. Client visited a social networking site during a class session, and when the professor discovered it, he had the student arrested for violating the state's Computer Fraud and Abuse Act, which imposes civil and criminal penalties for unauthorized use of a government computer network. Client, the student, hires Attorney to represent him. Attorney is shocked that the police and prosecutor are involved in such a ridiculous case, and is reasonably certain a judge would dismiss the charges before trial. The prosecutor calls Attorney and explains that the District Attorney regards this as an important test case and wants to bring it to trial, but they will offer a plea bargain of only twenty years in prison if the student will plead guilty and accept responsibility. Attorney blurts out a profanity and hangs up on the prosecutor. He does not even mention the offer to Client, out of fear that it would upset him, and instead drafts a motion to dismiss. The court grants the motion and dismisses the charges against Client. Is Attorney subject to discipline?

b. 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 reject the offer.

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. The other lawyer, a well-known litigator and courtroom advocate, will handle the actual trial, but Attorney will handle nearly all of the discovery, settlement negotiations, and pre-trial motions. The case settles the day before the trial was to begin, so the other lawyer did not have to do anything except his usual trial preparation. Attorney had agreed beforehand with the other lawyer to divide the fees in half between them, and that Attorney would take full responsibility for the representation as a whole. Client had agreed to this beforehand, in writing. Attorney sends Client the expected bill at the resolution of the matter, with half the fee going to Attorney and half the fee going to the other lawyer. Could Attorney, or the other lawyer, be subject to discipline for this fee arrangement?

b. 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.

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. The trial was to start the following week. At the end of the hearing, the opposing counsel asked the court to have the record sealed in the upcoming trial, and to have reporters banned from the courtroom. He explained that the testimony at trial would necessarily reveal some of his client's trade secrets, and it was important to the client to keep the trial records sealed. The judge was amenable to this suggestion and asked Attorney if he had any objections. Attorney tried to call Client, but Client did not answer his phone right then. Attorney could not think of a compelling reason for Client to oppose the motion, so he agreed, and the judge set the matter for a sealed-record trial. Three hours later, Client returned Attorney's call, and Attorney explained what had transpired. Client was dismayed because he had planned to use this litigation as a test case for subsequent litigation over the same type of issue, but Attorney explained that it would now be difficult to get the judge to reverse course on this point. Was it proper for Attorney to agree to the request without obtaining Client's prior consent?

b. 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.

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. The judge in the case orders the parties to participate in a "caucused mediation" to encourage a settlement before trial. Attorney begins the mediation by declaring that his client is unwilling to compromise at all, even though Client had told him that they might settle the case for a reasonable amount. Attorney overstates the strength of Clients case and grossly understates the strength of the opposing party's position in what everyone knows is a close case. Attorney is merely posturing or bluffing in an effort to obtain a more favorable settlement for his client. Due to Attorney's hardline approach, the mediation drags on for several sessions spanning several days, and ultimately proves to be futile, so the parties schedule a trial. Is Attorney potentially subject to discipline for this approach in court-ordered mediation?

b. 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 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?

b. Yes, because the advocate-witness prohibition does not apply to pro se litigants who are attorneys.

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. As the discovery phase winds to a close and the court sets a trial date, Attorney learns that Client misused Attorney's services in the past to perpetrate fraud by having Attorney submit falsified documents to government entities and to insurance companies. Attorney is furious and yells at Client, using profanity. Attorney then petitions the court to let him withdraw from the representation, stating the reasons in general terms that do not betray specific client confidences. Client strongly objects to Attorney withdrawing from the representation, because the trial is only two months away, and all the other litigation firms in the city have conflicts of interest that prevent them from taking a case against the large manufacturer. It is indisputable that the withdrawal is materially prejudicial to Client, who may have to proceed into the trial pro se or have to find a new lawyer from out of town. 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?

b. 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 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. Client's family is trying to have Client institutionalized involuntarily, and Client is fighting this, wanting instead to live semi-independently in a group home. With the help of a social worker, Client has hired Attorney to defend him against the legal proceedings to have Client institutionalized permanently. Having researched this type of case, Attorney knows that case precedents give Client a small chance of prevailing in regular state court, but a good chance of prevailing if Attorney can change the venue to family court or probate court. Attorney has not discussed with Client his decision to seek a change of venue that would be more favorable to Client under that jurisdiction's recent appellate decisions. Switching venue, however, will mean traveling much further (more than an hour) to the proceedings. Is it proper for Attorney to leave Client out of this decision entirely?

b. Yes, fully informing the client according to the usual ethical standards may be impracticable, because the client suffers from diminished capacity.

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. Three months into the negotiations, the parties are very close to a final agreement. Attorney has been conducting the negotiations without Client present, checking in with Client from time to time. One day, the other party presents a detailed proposal that would resolve all remaining issues, and would give each side most of what it wants, but also requires a few concessions from each party. Attorney calls Client immediately and gives a brief overview of the new proposal, hitting most of the highlights and carefully explaining the bottom-line concerning the final buyout price to complete the merger. Client gives Attorney consent to consummate the agreement. Could Attorney be subject to discipline for how he handled the final agreement?

b. 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.

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?

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

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?

c) 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.

What is the Legal Services Corporation?

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

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?

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

After law school, Attorney worked for two years as a judicial clerk for a federal district judge. A few months before her clerkship was to end, Attorney applied for positions at several law firms in the area and interviewed with them for a position as an associate. All of these firms had matters pending before the federal district court, but Attorney did not tell the firms that she was aware that they had some matters on her judge's docket, and the interviewers at the firms did not bring up that they were appearing regularly before the judge that currently employed Attorney as a clerk in chambers. In each case, however, the employers were impressed that Attorney had obtained a judicial clerkship and asked her general questions about how she liked her experience at the courthouse. Attorney submitted to each firm a recommendation letter written on her behalf from the judge before whom they had pending matters. The judge knew that Attorney was interviewing with these firms and did not object or correct her about it at all. Is Attorney subject to discipline for seeking employment with firms that have pending matters before the judge for whom she works as a clerk?

c) 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.

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?

c) 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.

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?

c) 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.

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?

c) 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 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?

c) 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.

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?

c) 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?

c) 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?

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

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?

c) 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.

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?

c) 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.

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?

c) 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 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?

c) 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.

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?

c) 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.

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?

c) 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.

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?

c) 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.

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?

c) 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?

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

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?

c) 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

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?

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

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?

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

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?

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

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?

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

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?

c) 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?

c) 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?

c) 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?

c) No, because the statement is true.

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?

c) 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?

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

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?

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

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).

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

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?

c) 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.

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?

c) 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?

c) 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.

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?

c) 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.

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?

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

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?

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

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. Client is very upset about this, but the partnership agreement clearly permits involuntary buyouts by a majority vote of the other shareholders. Client hires Attorney to represent him in the buyout transaction, to review the necessary documents and provide legal counsel about it. No litigation is under consideration yet. Attorney's sister is also a lawyer in that city, at another firm, and the sister represents the other shareholders in the partnership. Attorney did not disclose that her sister represented the other partners, as she and her sister are not close and rarely speak, and the matter is unlikely to turn into litigation. Is Attorney, or the other lawyers in her firm, subject to disqualification in this matter?

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

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. Both candidates claimed victory and each accused the opposing candidate of voter fraud and violations of various election rules. There is potential for litigation if the two cannot agree as to a winner in the election, with one or the other conceding. Attorney is a prominent lawyer in the community and has previously represented each candidate in various legal matters. Both candidates would like to hire Attorney to represent them in negotiating a resolution to the election. Each candidate fully understands their adverse interests and the potential conflicts of interest for Attorney, but each is willing to provide written informed consent in order to have Attorney represent them both in facilitating the negotiations. May Attorney represent both candidates in this negotiation?

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

Attorney spent several years working for Big Firm in its business litigation division. While there, Attorney represented Client in an action against Conglomerate Corporation alleging unfair trade practices and antitrust violations. Attorney eventually left Big Firm and accepted a position at a federal regulatory agency. There, Attorney's first assignment was to bring an enforcement action against Conglomerate Corporation for violating antitrust laws and unfair trade practice laws. Attorney obtained written informed consent from his previous Client to pursue a related matter against Conglomerate, but not from the agency itself or from Conglomerate Corporation. Is it proper for Attorney to represent the government in an enforcement action against his prior opponent, if the matter is substantially related?

c)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.

Two co-plaintiffs in a personal injury lawsuit hired Attorney to represent them in the matter. The litigation promised to become very complex, with multiple issues pertaining to liability and multiple potential defendants. Attorney had each client sign a detailed "waiver of present and future conflicts of interest" form and carefully explained the specific types of conflicts that can arise between co-plaintiffs in tort litigation, such as indemnification claims, cross-claims, adversarial positions in response to counterclaims from defendants or third-party interveners, and so on. In addition, Attorney encouraged both clients to consult with separate lawyers for consenting to the conflicts, and both did so. Moreover, both plaintiffs were themselves lawyers and were very familiar with the potential conflicts of interest that could arise from this common representation. Attorney reasonably believed that she would be able to provide competent and diligent representation to each affected client. As the trial date approached, a counter-claim by one of the defendants forced one plaintiff to file a cross-claim for indemnification against the other. 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?

c)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 worked for Big Firm for several years, during which he represented Conglomerate Corporation on several matters. At the beginning of representation in each matter, Attorney obtained written informed waiver of future conflicts of interest from Conglomerate Corporation, specifically including the possibility that Attorney might later represent the government in unrelated matters adverse to Conglomerate Corporation. Attorney eventually left Big Firm and went to work for Federal Regulatory Agency, in its enforcement and litigation division. On behalf of Federal Regulatory Agency, Attorney then brought an enforcement action against Conglomerate Corporation for some very recent regulatory violations. The new matter was mostly unrelated to any previous work Attorney performed for Conglomerate Corporation. Is Attorney subject to disqualification in this matter?

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

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. Attorney also recommends Sister appoint Attorney as the executor of the will because of his knowledge in this field. Attorney explains to Sister the role of the executor and the pay the executor of the estate will receive, and discussed alternative executor choices with her. Attorney recommends Sister seek independent legal counsel regarding the issue of the executor. Sister does so, and then she asks Attorney to list him as executor in the will. Is Attorney subject to discipline?

c)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 represents Company in a civil suit. During Attorney's representation of Company, Attorney begins a sexual relationship with Receptionist at Company. Receptionist's only duties are to answer the phone, route calls, take messages, and prepare outgoing mailings at Company. Receptionist has no authority in decision-making at the Company. Receptionist's only communication with Attorney as an employee of the company is when he calls Company and Receptionist routes his call to the person with whom Attorney wishes to speak. Is Attorney subject to discipline?

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

Husband and Wife wanted to hire Attorney to prepare their wills. Before the formalities of representation were final, husband spoke with Attorney privately by phone and disclosed that Husband had been having an affair, and that his mistress might be pregnant. Husband forbid Attorney to tell Wife about this. Attorney realizes there could be potential conflicts of interest between husband and wife about the wills, distribution of assets, potential challenges to the will by offspring from outside the marriage, and potential claims for child support against Husband's estate. Would it be proper for Attorney to proceed with representing Husband and Wife in preparing their wills?

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

Attorney represented Client in a residential real estate transaction. At the same time, Attorney agreed to represent the defendant in a large class-action lawsuit, an alcoholic beverage maker that understated the alcohol content of its products on its labels, leading to numerous cases of inadvertent intoxication, liver damage from continuous consumption, and a few deaths from over consumption that led to alcohol poisoning. Client was an unnamed member of the plaintiff class in the class-action lawsuit against the alcohol producer. Attorney did not inform Client that he was representing the defendant in the class-action lawsuit or seek consent from Client or from the alcohol producer. Plaintiffs' counsel in the class action lawsuit discovered this situation, and asked the court to disqualify Attorney from representing the defendant. Should Attorney be subject to disqualification under such circumstances?

c)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.

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. None of Attorney's work for Client has involved information about the Client's finances or assets. As a result, Attorney did not know anything about the average income, assets, or insurance of Client's business, or even for Client personally, except that he has duly incorporated the business under state law. On a wholly unrelated matter, Victim approached Attorney seeking representation for a lawsuit over damage to Victim's expensive car in a parking lot when Client negligently scraped Victim's car while trying to back out of a parking space with his own vehicle. During the initial interview, Victim gave very few details about the accident or the scope of damages, except to identify Client as the intended defendant and that the incident involved a scraped fender in a restaurant parking lot. The attorney believed there was no significant risk that the representation of Client would materially limit the Attorney's responsibilities to Victim, and vice-versa. The attorney's representation of Client involved only the drafting of a few standard documents for Client's business, and Victim's claim did not relate to the business at all, but to Client's conduct outside of work while driving his personal car in a parking lot. Because the attorney believed there was no conflict here, he did not seek consent from either party, although he mentioned to Victim that he had drafted some documents for Client's business, and Client would obviously learn about the representation of Victim when Attorney filed the lawsuit. May an attorney proceed with representing Victim in this case?

c)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 unrelated.

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. None of Attorney's work for Client has involved information about the Client's finances or assets. As a result, Attorney did not know anything about the average income, assets, or insurance of Client's business, or even for Client personally, except that he has duly incorporated the business under state law. On a wholly unrelated matter, Victim approached Attorney seeking representation for a lawsuit over damage to Victim's expensive car in a parking lot when Client negligently scraped Victim's car while trying to back out of a parking space with his own vehicle. During the initial interview, Victim gave very few details about the accident or the scope of damages, except to identify Client as the intended defendant and that the incident involved a scraped fender in a restaurant parking lot. The attorney believed there was no significant risk that the representation of Client would materially limit the Attorney's responsibilities to Victim, and vice -versa. The attorney's representation of Client involved only the drafting of a few standard documents for Client's business, and Victim's claim did not relate to the business at all, but to Client's conduct outside of work while driving his personal car in a parking lot. Because the attorney believed there was no conflict here, he did not seek consent from either party, although he mentioned to Victim that he had drafted some documents for Client's business, and Client would obviously learn about the representation of Victim when Attorney filed the lawsuit. May an attorney proceed with representing Victim in this case?

c)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 unrelated.

Attorney previously represented Client in securing environmental permits to build a shopping center. State and federal agencies granted the necessary permits. Construction of the shopping center, however, did not begin immediately, because demolishing the outdated structures on the land and clearing the debris exhausted Client's initial supply of investment funds. Attorney's representation of Client ended once the environmental permits were securely in hand. Two years later, Client found another investor and was ready to begin construction. In the meantime, the residents of the neighborhoods around the shopping center had turned against the project, out of concerns for the increase in traffic and litter that it could bring to the area, as well as the flooding of adjacent yards that would result from the rainwater runoff from a new parking lot. The "Not In My Back Yard Association" (NIMBY Assoc.) formed and learned that the rezoning of the property by municipal authorities to permit a shopping center was still pending, with an upcoming public hearing on the schedule. NIMBY Assoc. hired Attorney to represent the neighbors in opposing the rezoning on the basis of environmental considerations. Would it be proper for Attorney to represent the neighbors in this matter?

c)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.

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. Attorney's total compensation from the firm is around $120,000 per year, including bonuses, and his stock holdings in Conglomerate are his most valuable asset besides his home, which is worth about $300,000 but Attorney has very little equity in it. Attorney supervises, at least indirectly, all the associates in the firm. 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?

c)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.

Client manufactures a new generation of magnetic-resonance imaging machines for medical diagnostics in hospitals. The machines sell for nearly one million dollars apiece. Three years ago, Client hired Attorney to draft a Purchase and Sale Contract for Client to use whenever Client sells one of the devices to a hospital. Attorney's representation of Client ended after drafting a model contract, and Attorney has done no legal work for Client since. Last week, Hospital Administrator hired Attorney to handle a dispute with the manufacturer of one of its high-end diagnostic machines. Attorney quickly learns that the faulty device is one of Client's magnetic-resonance imaging machines, and that the Hospital Administrator consummated the purchase by signing one of the contacts that Attorney had drafted. Hospital Administrator merely seeks to rescind the contract and return the machine for a full refund; the hospital has not yet incurred damages due to the faulty machine, but the device is unusable and was very expensive. Would it be proper for Attorney to represent Hospital Administrator in this case?

c)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.

Attorney seeks to represent a class of plaintiffs in a class-action lawsuit over lethal effects of a popular energy drink. The class action will have three named plaintiffs and approximately two thousand unnamed plaintiffs. After the class action lawsuit is underway, Attorney has the opportunity to represent another plaintiff in a personal injury case over a traffic accident, and the defendant is one of the unnamed members of the class action lawsuit over energy drinks. Must Attorney obtain written consent of the unnamed class member before representing the second client in suing the unnamed class member?

c)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.

Attorney agrees to represent a group of three individuals in the same matter, a business transaction. Their interests are not directly adverse. Attorney has represented each of the clients in separate matters previously, and is already working under a retainer to do legal work for each under the same hourly rates. Two of the clients are currently traveling overseas, but everyone agrees to the representation by conference call. Attorney explains potential conflicts of interest that could arise in common representation, and all clients consent orally to the common representation despite the potential conflicts. Attorney proceeds with working on their matter for three weeks until all the clients are back from traveling and can sign written consent forms. By that time, Attorney has completed 50 hours of work, and has acquired significant confidential information by and about each of the three clients. Would Attorney be subject to discipline for performing this legal work before obtaining written consent to the conflict by each conflict?

c)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

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. During this representation, Attorney learned extensive private financial information about Businesswoman, but the representation ended at the resolution of the tax case. Several years later, after the termination had ended, the husband of the Businesswoman filed for divorce. Attorney was the only lawyer the husband knew, so he retained Attorney to represent him in the divorce against Businesswoman. Businesswoman's lawyer moves to have Attorney disqualified from representing the husband, but Attorney claims that the matters were not substantially related enough to merit disqualification. Is Attorney correct?

c)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 represents several clients in various matters before the Federal Trade Commission. In one proceeding, the FTC adopts a new interpretation of a recently enacted statute about unfair trade practices, and this becomes the rule of the case. Attorney has some new clients who are at the beginning stages of an FTC inquiry of their business pertaining to the requirements of the unfair trade practices statute. Without mentioning the identity of the other client or the exact nature of the proceedings, Attorney informs the new clients that the FTC has just adopted a particular interpretation that could be very favorable to the new clients in their interactions with the agency, as long as the clients conduct certain internal audits and record keeping. Is Attorney subject to discipline for sharing with new clients this information he learned during the representation of the other client?

c)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.

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. The two matters are unrelated. In the second case, Attorney anticipates that the defendant automobile manufacturer will argue that extensive federal safety regulations of automobiles, which require certain safety features and specifications, should preempt state tort law and therefore prevent a state court from adjudicating the case. On the other hand, many undocumented immigrants have relied upon federal preemption of state law in challenging onerous state penal statutes targeted at illegal immigrants. If Attorney prevails in his preemption argument in the vehicle manufacturing defect case, and on appeal creates precedent against federal preemption of state law, the precedent would probably be unfavorable to Attorney's other client, Undocumented Immigrant. The state legislature has several bills pending that would impose criminal sanctions on landlords who lease apartments to undocumented aliens, drivers who transport undocumented aliens to work sites, and contractors who hire subcontractors that employ undocumented aliens. 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?

c)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.

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. Two of the individuals were to provide most of the initial funds for the startup; two others were experienced inventors who were to provide new product designs; two others had expertise in business management and were to serve as managers; and two had proven records in high-end sales and marketing. They have not yet resolved the allocation of ownership shares, bonuses for managers, whether to have anti-compete agreements for each participant, whether patents will belong solely to the joint venture or partly to the inventors themselves, and whether sales reps will work on salary or commissions. Each individual says that she wants whatever terms would be best for the joint venture overall, rather than what would be most beneficial for each one individually. The shared objectives and goals of the group lead Attorney to conclude that no conflicts of interest are present and that it would be counterproductive to try to convince each member of the group to sign an informed consent form acknowledging that conflicts of interest exist and that Attorney may still represent everyone at once. May Attorney trust his professional judgment and proceed without obtaining separate consent forms from each person in the joint venture?

c)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.

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. The firm was not timely in implementing screening measures and became subject to disqualification. Attorney was at the firm during this time, but was not involved in the matter and did not learn any confidential information about Client. Attorney left that firm and went to work at another firm. It turned out that Attorney's new firm is representing Client instead -Client hired the new firm after the previous firm was subject to disqualification. The new firm has no measures in place to screen Attorney from participation in the matter, though Attorney is not in fact participating in the representation. Will the new firm be subject to disqualification now, because Attorney joined the firm from another firm that was subject to disqualification?

c)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. Attorney then left that position and went to work for a federal regulatory agency, the Equal Employment Opportunity Commission. The EEOC is sometimes an adverse party to the municipality where Attorney once worked. Even when not involved in the same matter or litigation, their goals and interests are often adverse, as the city attorneys are usually arguing for limitations on employer liability in discrimination cases, while the EEOC generally seeks to expand protections for workers against discrimination by employers. At her new position, Attorney has no assignments that are the same cases or matters in which she participated as a city attorney, but there are a number of cases pending in the office that are adverse to the interests of her former employer, and some in which they are opposing parties in the same litigation. 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?

c)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.

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. In one case, erosion has moved the boundary back on the property owner's lot to the point where his house is now clearly on the public access portion, and he seeks a declaratory judgment that erosion cannot jeopardize the private ownership of a building and its curtilage. Current public trust doctrine in the state would suggest that the property owner has lost all the value in his property, so he needs to seek a change or exception to the current law. The other case involves a property owner whose lots had always been separated from the beach by a small public park, but erosion has eliminated the park and given him water access from his property, which has greatly increased the value of his land under current public trust doctrine. The state government, however, is seeking a declaratory judgment in his case, arguing for an exception or change to the current law that would rob the owner of the windfall he received due to the erosion. 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?

c)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.

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. The website is very lucrative for its operator, and Client has become a multimillionaire by founding and operating the site. Client is concerned about potential criminal charges or civil lawsuits over the website. Attorney explains to Client how he could use a series of dummy limited liability corporations, mail forwarding addresses, and offshore bank accounts in order to avoid detection. Each of the steps of the process Attorney describes is technically legal -creating the corporate entities, purchasing real mail-forwarding services, and opening bank accounts in Belize. Attorney decides not to charge Client for this advice session, but bills Client for other transactional work performed. Is Attorney subject to discipline?

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

Attorney represented Defendant in a criminal case involving serious felony charges. Defendant rejected all proffered plea bargains from the prosecutor, and insisted upon a jury trial, and he then expressed his desire to testify at his trial to assert his innocence. Attorney knew that it would be a disaster for Defendant to testify. First, Defendant initially confessed to the crime, but Attorney managed to have the confession excluded due to a technical defect in the Miranda warnings; Attorney believed that the otherwise excluded confession will become admissible for impeachment purposes if Defendant took the stand and tried to assert a contradictory version of the facts. Defendant also has a long record of prior convictions involving fraud and embezzlement, which also would otherwise be inadmissible at trial, but will become admissible to impeach Defendant's credibility if Defendant actually testifies. Even worse, Attorney has confidential information that Defendant committed several related crimes to those charged in the case, and the prosecutor would probably be able to elicit testimony implicating Defendant in additional crimes if Defendant waives his Fifth Amendment rights and insists on taking the stand. Attorney knows the prosecutor in the case is notorious for aggressive cross-examination of witnesses at trial, and even teaches special training courses to other litigators on how to conduct merciless, devastating cross-examination. Finally, Defendant is not very articulate; he constantly uses street slang, gratuitous profanity, and incorrect grammar when speaking, which combined with his odd mannerisms, would be very alienating for most jurors. Attorney angrily explains all of this to Defendant, and then reminds Defendant that he already rejected several generous plea offers, insisted on a jury trial in a case where a bench trial would have been more strategic, and now is about to lose any chance of winning at trial due to his insistence about testifying. Attorney ends by saying, "There is no way I will allow you to testify in this case; it would be malpractice on my part." 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?

c)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.

Husband hired Attorney to represent him in a divorce; the husband and wife had three adult children. Husband was quite upset when he met with Attorney, because his wife had filed for divorce and he felt deeply betrayed. The couple had a prenuptial agreement that clearly delineated the division of assets in case of divorce, and child custody is not an issue as the children are in their twenties. As part of his routine consultation questions, Attorney asked if there had been any marital infidelity on the part of either the husband or wife. Husband admitted to Attorney that he once had an affair many years ago, that the wife never discovered, and that he wanted to keep secret, if possible. He then speculated that he had no idea if his wife had ever had an affair, then became very emotional as he considered the possibility. Within minutes, he had convinced himself that his wife had been having affairs with other men for years, though he never knew it, and that the three children were probably not even his offspring. Attorney had already looked at Husband's photograph of his children, and their resemblance to their father (Husband) was remarkable. Attorney finds repugnant the idea of subjecting the adult children to paternity tests, which would probably traumatize them unnecessarily, regardless of the result. Attorney also believes that accusing the wife of infidelity would be imprudent, as it will ensure that the family would discover Husband's previous affair, which otherwise might not happen. Without the accusations of infidelity, all the issues of the divorce would come under the prenuptial agreement and not be in dispute. Attorney insists on limiting his representation to the divorce, and wants to include in the retainer agreement that there will be no accusations of infidelity or paternity testing of the children, unless the other side initiates in this regard. After Husband calms down, he agrees to Attorney's conditions of representation. Is it proper for Attorney to insist on such conditions of representation?

c)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.

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?

c. "The skill requisite to perform the legal service properly."

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

c. 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

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?

c. 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 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. Attorney has already completed three rounds of job interviews with Big Firm and is now simply waiting for their answer, which he hopes will be an offer of employment. Rather that notify the client that an unforeseen conflict of interest has possibly emerged, Attorney simply slows down his work on the case, because if the job offer comes through, he will have to transfer Client's case to another lawyer anyway, and if he does not receive an offer, the potential conflict disappears and he can proceed with the litigation. Attorney thus waits until the last possible day to respond to any filings or discovery requests, and frequently calls the opposing party asking for more time, which they always grant. 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?

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

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. Attorney believed that his client had no legal obligation to produce the records in question, because they included important trade secrets and were not relevant or material to the current litigation in any way. Attorney openly refused to produce the records and explained his position to the judge. The judge disagreed and ordered Attorney to bring the records to the courtroom the next day. Attorney did not obey the judge's order. Apart from any potential contempt-of-court sanctions, could Attorney be subject to discipline for violating the Rules of Professional Conduct?

c. 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.

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 friendship had ended, because of an intense argument over Christmas presents, even before Client married and had children, and Client had been free from substance abuse since she married, and was now managing her mental health issues very well. Her former friend knew many of her darkest secrets. Attorney located the former friend, explained that Client was fighting for custody of her children, and that he expected the ex-husband's lawyer to call her to testify at the hearing about Client's former troubles. Attorney pleaded with her to show some consideration for the years of good friendship and good memories she shared with Client, and to refuse to betray her former friend's confidence and reveal all her dark secrets. The former friend felt deeply moved by this entreaty and agreed to stay out of the litigation. Was Attorney's conduct proper?

c. 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.

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?

c. 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?

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

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. Associate Attorney discovers that the suit he was directed to file is frivolous and there are no facts to support the claim. Associate Attorney discusses his concerns with Supervising Attorney. Supervising Attorney directs Associate Attorney to file the suit and indicates that he expects it will settle prior to trial. Following Supervising Attorney's direction, Associate Attorney files the suit. Are Associate Attorney's actions proper?

c. 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 attorney works.

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 evidence would have been somewhat exculpatory for the defendant, but the lawyer would have to take the witness stand briefly during the trial to authenticate the document or explain how he received it. The document was a hotly contested piece of evidence in the case, but was not the only evidence pointing toward the defendant's innocence or guilt. The prosecutor wanted the court to disqualify the lawyer from representing the defendant if he testified about the letter. 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?

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

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. Client saw the victim early in the evening on the date when the rape occurred, but he has a solid alibi, supported by multiple credible witnesses, that he was nowhere near the scene where the rape occurred at the time that it happened, and no DNA tests link Client to the rape. The only evidence against Client, in fact, is the victim's memory of seeing him early that evening and feeling uncomfortable around him, as if she could sense that he was a sexual predator. Her rapist wore a mask, so she could not identify his face, but he was the same height and build as Client, so she is convinced he is the perpetrator. Despite the weakness of the evidence against him and his airtight alibi, Client is furious about the false accusation and wants to teach the victim a lesson. He informs Attorney that he plans to take the stand and testify that the victim has a reputation among his friends for being promiscuous, that when he saw her that evening she was wearing provocative clothing, and that he believes she was "asking to be raped." Attorney finds this repugnant, but he believes Client is truly innocent of the rape in this case, and will probably receive an acquittal with or without this testimony attacking the victim's character and reputation. 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?

c. 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 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." She is confused about whether that means that the defendant knew that he was committing the act, or that the defendant knew he was doing something illegal at the time. She called Attorney hoping for some clarification. Attorney practiced real estate law and had never handled a criminal case, but he vaguely remembered something about this from his first-year law school course in criminal law. 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?

c. No, because he communicated with a juror about a pending 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. 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?

c. 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 usual safety personnel were also on strike, so there was a substantial risk of an explosion at the refinery if the protestors engaged in vandalism, and a risk for injuries to the protestors. At midnight, the management called in Attorney to ask if it would be legal for them to call in a private security force and have all the picketers arrested and removed from scene, or if federal labor laws and Free Speech laws protected their right to protest. Attorney initially suggested that they simply remove the protestors from the hazardous areas of the compound, but the management believed that the protesters on the sidewalk would simply migrate over to the same areas to fill the gaps from those removed, and then pose an ongoing safety risk. Attorney knew nothing about protester rights or the rights of striking workers, because all of his legal work up to that point has involved reviewing contracts with suppliers and distributors for the refinery. Attorney tried to call one or two lawyers he knew who might know the answer, but nobody answered his calls given the late hour. Attorney then guessed that it would be fine for the management to remove the picketers by force, and advised accordingly. Unfortunately, during the ensuing scuffle with the private security force, several workers and security offers received serious injuries, and it turned out that Attorney's advice about labor laws was incorrect given the special circumstances surrounding the collective bargaining. 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?

c. 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.

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?

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

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?

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

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. Thousands of documents stored in electronic format on Conglomerate's computers and servers would arguably fall under this request for production. Attorney proposes to opposing counsel that they produce the requested documents in electronic form on a set of compact discs, and the opposing counsel readily agrees. After receiving the production request, Attorney began using software to scrub the metadata from documents - electronically embedded information about the name of the user whose computer created the document, the date and time of creation, redlined changes from each stage of editing, and comments that other readers added to the document before it took its final form. 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?

c. 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.

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?

c. 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.

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?

c. 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.

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?

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

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?

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

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

c. Real Estate

Can a contingent fee be unreasonably high?

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

A state bar adopted a new ethical rule for lawyers that forbid contingent fees higher than 30%. Attorney agrees to represent Client in a tort case that is in federal court due to diversity jurisdiction. Attorney and Client form a written fee agreement that provides for a 33% contingent fee, which is still legal in most jurisdictions. Is Attorney subject to discipline for this contingent fee agreement?

c. 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.

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. She needed a new lawyer immediately as the trial date was now only ten days away. Attorney agreed to represent her for a much higher fee than he would customarily charge, which was also much higher that the customary fee for legal services in that locality. Client was upset about the seemingly exorbitant fee, and she said that she felt that Attorney was exploiting her predicament. Attorney carefully explained that the fee agreement was hourly, and client would be responsible for all costs and expenses in addition to the hourly fees, and would even have to reimburse Attorney for in-house expenses such as photocopying. Attorney never memorialized the agreement in writing; it was merely an oral agreement for fees, and Attorney commenced his representation. Attorney did not prevail at trial and Client had to pay the plaintiff an enormous amount of damages. Was Attorney's conduct proper?

c. Yes, because the reasonableness of a fee depends in part upon the time limitations imposed by the client or by the circumstances.

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?

d) 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.

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,

d) 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.

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?

d) 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.

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?

d) 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 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?

d) 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.

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?

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

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?

d) 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.

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?

d) 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.

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?

d) 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, 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?

d) 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.

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

d) 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 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?

d) 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?

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

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?

d) 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.

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?

d) 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.

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?

d) 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.

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?

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

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?

d) 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.

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?

d) 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?

d) 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?

d) 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.

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?

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

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?

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

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?

d) 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.

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?

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

A 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?

d) 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 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?

d) 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?

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

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?

d) 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.

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?

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

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?

d) 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.

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?

d) 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?

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

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?

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

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?

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

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. Conglomerate's lawyers, that is, Attorney's previous firm, moves to disqualify Attorney's new firm from representing Client. The partners at Attorney's new firm were unaware that Attorney's previous employer represented Conglomerate, and the partners at her new firm first learned of this when they received the motion to disqualify their firm. The firm immediately implemented screening procedures to keep Attorney from working on the case or receiving or sharing any confidential information about the case or about Conglomerate's other legal matters. The firm provided notice to opposing counsel about the screening procedures and plans to provide periodic certifications of compliance as well. Should Attorney's new firm be subject to disqualification under these facts?

d) Yes, because the new firm did not implement the screening procedures soon enough.

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?

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

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?

d)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.

Attorney represents Client in a civil suit. Client and Attorney often discuss their hunting trips and have gone hunting together on several occasions. Client tells Attorney he is purchasing a piece of property for hunting with five other people and asks Attorney if he would like to go in on the purchase. Attorney tells Client he would like to join in the purchase and he provides Client with a check for his portion of the purchase price. Is Attorney subject to discipline?

d)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 represents Client, a non-relative of Attorney, in legal matters and has done so for many years. Client retains Attorney to prepare a will for Client. Client asks Attorney to include in the will a substantial amount of money be given to Attorney as a gift of appreciation for Attorney's years of service, though not as any form of payment for services rendered. Attorney asks Client to seek independent legal counsel prior to including the gift in the will. Upon obtaining advice from independent legal counsel, Client asks Attorney to proceed with the will as directed. Attorney includes the gift in the will. Is Attorney subject to discipline?

d)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

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. Attorney agrees to represent Client in filing a breach of contract claim against Construction Company over a commercial development project. Big Firm is representing Construction Company, and the firm's lawyers drafted the contract that forms the basis of Client's complaint. Client claims that Construction Company breached a particular provision of the contract that is arguably ambiguous; Construction Company is confident that its conduct falls within the contractual language in that provision. Is it proper for Attorney to undertake representation of Client in this case?

d)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.

Attorney specializes in intellectual property law, and regularly represents both inventors and venture capitalists in tech startup businesses. Even though Attorney represents only one or the other side in each transaction, she may represent an inventor in one contract with a venture capitalist and represent that venture capitalist in drafting agreements with other inventors. Attorney has drafted a standardized "waiver of future conflicts" form that she asks all clients to sign along with their retainer agreement at the beginning of representation. The waiver of conflicts form explicitly consents to representation despite any and all conflicts of interest that might arise regarding Attorney's past, present, or future clients. When an actual conflict of interest or adverse relationship exists between clients at the outset of representation, Attorney carefully explains the situation to new clients and encourages them to seek advice from other counsel about signing the waiver. When no present conflicts are apparent, but only hypothetical potential conflicts are at issue, Attorney merely says that the form is for hypothetical, potential conflicts of interest that probably will not arise in the current transaction. Is Attorney's standardized "waiver of future conflicts," when signed by new clients, likely to be effective in this situation?

d)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.

Attorney previously represented Client in securing environmental permits to build a shopping center. State and federal agencies granted the necessary permits. Construction of the shopping center, however, did not begin immediately, because demolishing the outdated structures on the land and clearing the debris exhausted Client's initial supply of investment funds. Attorney's representation of Client ended once the environmental permits were securely in hand. Two years later, Client found another investor, overcame neighborhood opposition to the construction, obtained favorable rezoning for the parcel, and constructed the shopping center. Several business tenants moved in and operated in the shopping center. Eighteen months later, one of the tenants, an organic pet food store, was unable to pay rent for her unit for two consecutive months, so the property manager commenced eviction proceedings. Tenant hired Attorney to represent her in the eviction proceedings, but the shopping center's lawyer filed a motion to have Attorney disqualified due to the substantial relationship between his previous work in securing environmental permits for the building and the present legal dispute with one of the shopping center tenants. Is Attorney subject to disqualification from representing Tenant?

d)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.

Attorney represents Defendant in a murder case. At trial, the jury convicted Defendant and sentenced him to death, and the appellate courts upheld the conviction as well as the sentence. Attorney has now offered to file a habeas corpus petition in federal court in order to appeal the case to the United States Supreme Court, if necessary. Defendant, however, has developed terminal cancer, and does not expect to live another six months. Defendant tells Attorney to drop the appeals because even if they won, Defendant would not live long enough to enjoy his freedom. Defendant does not terminate the representation, however, because he wants Attorney to handle his estate planning matters while he is on death row, and he has some administrative complaints in progress against the prison where he is living. Attorney is passionately opposed to the death penalty and believes his client is innocent, so he files the habeas petition anyway. While the habeas petition is making its way through the federal appellate process, Defendant succumbs to his illness and dies in prison. Is Attorney subject to discipline for filing the habeas petition, despite the client's reservations?

d)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.

Client is the leader of a radical religious group that protests at the funerals of soldiers who died tragic combat deaths overseas. The protests are not against the war, however, but against society's increasing tolerance of homosexuality and gay marriage. Client and his followers stand outside the funerals as grieving family members arrive, and they hold large picket signs emblazoned with hateful sayings against homosexuals, some of which use shocking language. They also hold signs indicating they are happy that American soldiers die frequently, because they believe these deaths validate their point that the country is on the wrong course morally, and has become evil by being more tolerant. The group heckles those attending the funerals, but then disperses once the funeral ceremony starts. The group receives regular national media coverage because of the intentionally sensational and shocking nature of their protests. Client now faces a tort lawsuit by the father of a deceased soldier whose funeral the group picketed; the plaintiff claims intentional and negligent infliction of emotional distress. Client is certain that his First Amendment rights trump such subjective-harm tort claims, and has a recent Supreme Court case supporting his position. Client asks Attorney to represent him in the matter. Attorney reluctantly agrees to take the case and the trial court gives an unfavorable verdict against Client. 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?

d)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.

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?

d. "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?

d. "Whether the fee will involve cash payments or the exchange of goods or services."

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?

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

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

d. 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.

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?

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

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. Instead, Attorney focused on a few outlier cases that supported his side, and dismissively referred to all the contrary authority, discussed at length in the opposing party's brief, as "easily distinguishable from the present case on factual grounds." No objective reader would have thought that Attorney presented a fair, even-handed exposition of the law relevant to the case, and no objective reader would have found Attorney's brief convincing. Has Attorney violated an ethical duty by writing such a one-sided brief?

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

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. Client insisted that Attorney file an appeal before he missed the deadline, and agreed that Attorney could withdraw from the case without Client's objection if he would simply file the appeal and provide Client with the opportunity to pursue the appeal pro se or with another lawyer. Attorney presented a "no-merit" letter to the appellate court explaining that his client was appealing his conviction but that Attorney could see no merit in the appeal. Was Attorney's conduct proper, according to the United States Supreme Court?

d. 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.

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. Attorney did no investigation before filing the pleadings to provide independent verification of Client's version of the story, because he thought that discovery would bring to light the necessary facts to reveal the truth of the matter. Similarly, Attorney submitted as evidence the various documents client provided to him, without doing his own assessment of the authenticity of the evidence so that he could vouch for the evidence himself. It turned out, as the other side submitted its evidence, that Client's account of what happened was full of fabrications, and some of the evidence was invalid. Attorney did not know the Client was being untruthful, but he neglected to make any efforts to verify Client's story before presenting it in court. Could Attorney be subject to discipline for undermining the integrity of the adjudicative process?

d. 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.

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. The partners in his firm eventually insisted that Attorney seek professional help, so he enrolled in an outpatient rehab program and a twelve-step support group for painkiller addicts. The supervising psychiatrist in the outpatient program expressed concern about Attorney's complete dependence on the painkillers and his diminished ability to function physically or mentally. He advised Attorney to take a leave of absence from work, because he did not believe Attorney could competently fulfill his obligations to his clients. This same concern had prompted Attorney's partners to insist that he seek professional help. Just before enrolling in the outpatient program, a new client had approached Attorney about representing her in a tax dispute with the Internal Revenue Service. Attorney had handled such cases before, but it was not his specialty. Client is so desperate that he tells 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?

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

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?

d. 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 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. Client had agreed to sell the cow to another rancher, and received payment, but before delivery of the cow to the purchaser, Client claims the cow became pregnant. Client now wants to renege on the agreement because delivering a pregnant cow to the purchaser would be like giving the purchaser one animal (the expected calf) for free, which he cannot afford to do. Client wants Attorney to assert a mistake of fact defense to the oral contract, claiming that neither he nor the purchaser knew or could have known that the cow was pregnant at the time of sale or would somehow become pregnant in the short time between payment and delivery. Attorney conducts some research on prior court decisions and concludes that mistake of fact claims usually lose in scenarios like this. Worse, in his various discussions with Client, the story has changed a little each time, so that Attorney now suspects Client either is lying or is so confused that he will not be a credible witness at trial. Attorney would like to withdraw before filing an answer to the lawsuit asserting a defense of mistake of fact, because he knows they will probably not win, and he is not even sure now if his client is telling the truth. Client insists that Attorney should file the answer before withdrawing from the case, so that Client does not miss the deadline and face a default judgment, but does not mind if he must find another lawyer to handle the discovery and trial phase. Would it be improper for Attorney to file the answer to the pleadings, asserting a mistake of fact defense?

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

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. The court docket had Client's hearing scheduled for one month later. Four days after filing his appearance, Attorney received a phone call from Client saying she no longer wanted him to represent her, because she wanted to represent herself instead. She offered no reason for discharging Attorney, and conceded that he had done nothing wrong. Attorney tried to persuade her to change her mind, but she was insistent, so Attorney said he would send her all the documents from her case. Attorney then drafted a letter acknowledging the termination of representation, and sent it along with copies of the court documents he had pertaining to Client's case. The letter returned three days later to Attorney, marked "Undeliverable: Not At This Address." Concerned, Attorney tried calling Client, but her phone number was no longer in service. Attorney even tried visiting her apartment, but no one answered the door. Attorney did receive, however, a postcard reminder from the clerk at the housing court about the upcoming hearing. On the date of the hearing, Attorney decided he should appear in person to notify the judge that Client had discharged him and that he was withdrawing from the case. Attorney arrived at housing court, but Client never appeared. When the clerk called Client's case, Attorney stood and explained to the judge that Client had fired him a few weeks prior, and that he needed the court to approve his withdrawal from representation. The judge refused to permit Attorney to withdraw from the case and ordered him to proceed with the representation, because otherwise a default judgment would enter against the tenant for failure to appear. The hearing then proceeded as scheduled, in Client's absence, with Attorney presenting the same defense for nonpayment of rent that he would have presented even if Client had not discharged him. 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?

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

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 judge and the litigation client both give written informed consent to the representation despite the potential conflicts of interest. Even so, the judge is trying to keep the divorce quiet until after the upcoming elections, because this occurs in a state with elected judges. The judge therefore refuses to disclose to the parties in the personal injury case that counsel for one side is from the same firm as the lawyer representing the judge in his pending divorce. Neither Attorney nor his partner can reveal to opposing counsel in the personal injury case that their firm represents the judge, due to their duty of confidentiality. The judge believes he will be unbiased in the personal injury case, despite the fact that he is the client of a partner of one of the lawyers in the case, so the judge does not need to disqualify himself from the case. 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?

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

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 has filed a preliminary notice of appeal, but briefs in the appeal are not due for several months, and oral argument will not occur until two or three months thereafter. Yesterday, Attorney received court appointments to handle last-minute appeals in three high-profile death penalty cases, in which the executions are on the schedule for the next few weeks. Attorney also took on a complex class-action suit by prisoners against the state Department of Corrections, which if successful would pay the Attorney several million dollars in statutory legal fees. Given the urgency of the death-penalty cases and the potential fees from the class action suit, Attorney decides to transfer Client's appeal of his life sentence to another competent lawyer, who is glad to take on the case. Client refused to grant Attorney permission to withdraw as counsel, though. Attorney mailed a letter to Client explaining that he was withdrawing from the case, and included all documents and papers relating to the representation; Attorney also filed the appropriate notice with the appellate court. Is Attorney subject to discipline for withdrawing from the case over Client's objection?

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

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. Although neither Attorney nor Client have made any affirmative representations to the court about following the court's order, it is clear to Attorney that the court and the opposing party are under the impression that both parties are complying with the court's order, and are relying upon that fact in the ongoing proceedings. Client did not use Attorney's services in any way to make the transfers, and Attorney did not recommend it or know about it until after it occurred. 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?

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

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. At the resolution of the matter, Attorney sent Client a bill that included Attorney's agreed-upon fee, as well as a reasonable fee for three hours of work performed by the expert attorney for research and a brief memorandum. Attorney reduced his own fee by the same amount, so that Client's total bill was the same. Client had been unaware that he would have to pay the other lawyer as well, but reluctantly agreed and paid the bill. Could Attorney be subject to discipline for this additional fee?

d. 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.

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. Nevertheless, Attorney agreed to take Client's case and to do the research necessary to get up to speed on the law in that area. As Attorney began researching the area, she found it terribly confusing, and eventually called a friend from law school for help, another lawyer in the area. The other lawyer had an impressive familiarity with the law of regulatory takings, and offered to join Attorney as co-counsel in the case in exchange for an even split in the fees. Attorney agreed to this arrangement privately with the other lawyer, though Client was not aware of it, and together they achieved exactly the result that Client sought in the case. 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?

d. Yes, because before a lawyer retains or contracts with other lawyers outside the lawyers 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.