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Lawyer has represented Client for the past fifteen years. Lawyer's representation of Client has been limited to matters of taxation, and he has no real experience as a litigator. Client is sued by X. Lawyer, with Client's consent, associated with Trier, a litigator of special skill and great repute in the legal community. X, who has brought suit for $100,000, offered to settle the case out-of- court for $40,000. Lawyer thinks that the settlement offer is reasonable and that Client should accept. Trier, however, believes that he can win the case and that Client should take his chances and go to trial. Which of the following is it proper for Lawyer and Trier to do?
1. Both Trier and Lawyer should inform Client of their respective opinions and lawyer, as Client's original counsel, should settle the matter irrespective of Client's wishes.
2. Trier should yield to Lawyer, who has represented Client for fifteen years.
3. Both Trier and Lawyer should inform Client of their opinions and allow Client to make the decision.
4. Lawyer should yield to Trier's expertise and refuse the offer of settlement.
Client has requested that Attorney represent him in a medical malpractice case against Doctor. At the initial conference, Attorney said he felt that negligence could be established and that "the case is worth between $40,000 and $60,000." Attorney did not explain that, on the one hand, the case might be settled, but on the other hand it could go through trial and appeal. Attorney and Client agreed to a contingent fee of one-third of the amount recovered. Attorney wrote a demand letter to Doctor. Soon thereafter, Adjuster, a representative of Doctor's insurance company, offered $40,000 to settle the case. Attorney turned down the offer, but said he would take $50,000. One week later, Attorney settled the case for $45,000 with Client's approval. Is it proper for Attorney to collect a fee of $ 15,000?
1. Yes, because the parties agreed upon a one-third contingent fee at the time the relationship was formed.
2. Yes, if one-third contingent fees are customary in the jurisdiction.
3. No, because the amount is not reasonable based upon the time expended.
4. No, because Attorney failed to explain to Client that the case might be settled with a small expenditure of time and effort.
Client retained Attorney to institute an action against Deft for breach of contract. The retainer agreement provided for a nonrefundable retainer tee of $1,000, which Client paid, and a charge of $50 per hour for services rendered in connection with the matter. Attorney spent eight hours preparing a complaint for filing, reviewing Client's files, and making an independent investigation of some facts in Client's case. Attorney became convinced that Client's recollection of the facts was faulty and that Client would not prevail in a lawsuit. The statute of limitations will run on Client's claim in one week. Attorney wishes to withdraw without filing suit. Client insists that Attorney at least file the complaint in the matter before withdrawing. Is Attorney subject to discipline if she files the complaint for Client?
1. Yes, because Attorney was convinced that Client would not prevail in a lawsuit.
2. No, because Attorney had accepted a retainer before she was convinced that Client would not prevail in a lawsuit.
3. No, unless the action was filed merely to harass the defendant.
4. Yes, if Client's story to Attorney was, in fact, untrue.
Client retained Attorney to institute an action against Deft for breach of contract. The retainer agreement provided for a nonrefundable retainer tee of $1,000, which Client paid, and a charge of $50 per hour for services rendered in connection with the matter. Attorney spent eight hours preparing a complaint for filing, reviewing Client's files, and making an independent investigation of some facts in Client's case. Attorney became convinced that Client's recollection of the facts was faulty and that Client would not prevail in a lawsuit. The statute of limitations will run on Client's claim in one week. Attorney wishes to withdraw without filing suit. Client insists that Attorney at least file the complaint in the matter before withdrawing. Is it proper for Attorney to withdraw without filing the suit?
1. Yes, because the matter is not yet pending before a tribunal.
2. Yes. if Attorney reasonably believes that Client's recollection is faulty.
3. No. unless Client's rights are adequately protected.
4. No, because Attorney had accepted a retainer to represent Client.
Attorney is a sole practitioner with a litigation, probate, and corporate practice. He has represented Corporation for a long period of time and receives from it an annual retainer of $5,000. In addition, he regularly bills Corporation for time he expends on Corporation's problems. Union has begun an organizing drive against Corporation. Corporation has sought advice from Attorney concerning the steps it can legally take to prevent recognition of a labor union, and wants a reply as soon as possible. Attorney, who has had no experience in labor law, has contacted Specialist without the knowledge of Corporation. Specialist has prepared a careful opinion letter, and billed Attorney $2,500 for his opinion letter and a conference designed to help Attorney respond to specific problems that might arise. Attorney spent about ten hours of his own time on the problem, copied Specialist's letter on his own stationery, and sent it to Corporation. Attorney billed Corporation $3,500. Was it proper for Attorney to accept employment concerning the labor problem?
1. Yes, if he could have become competent on the matter eventually.
2. No, unless Attorney handled the matter without charging a fee beyond the retainer.
3. No, unless he obtained Corporation's consent to associate with Specialist on the problem.
4. Yes, because he was on an annual retainer.
Insurance Company, as required by its liability insurance policy, provided a lawyer to represent insured, the named defendant in a collision case brought by Nonresident. The lawyer is Jones. who is often employed by Insurance Company to represent its insureds. Nonresident's suit seeks damages in an amount that is four times the maximum amount recoverable under the policy. Insured also suffered personal injury and property damage in the collision. With regard to a possible counterclaim by Insured against Nonresident, Jones should:
1. File it for insured without consulting him if Jones believes that it will aid in the disposition of the claim against insured.
2. Not mention it to insured because it would appear that Jones is soliciting insured's business.
3. Withdraw from the case because of a possible conflict.
4. inform insured that he has a possible counterclaim and that he should consult an attorney of his choice about it.
Insurance Company, as required by its liability insurance policy, provided a lawyer to represent insured, the named defendant in a collision case brought by Nonresident. The lawyer is Jones. who is often employed by Insurance Company to represent its insureds. Nonresident's suit seeks damages in an amount that is four times the maximum amount recoverable under the policy. Insured also suffered personal injury and property damage in the collision. Jones, in his investigation of the claim against insured, found that Nonresident was uninsured, thereby making likely a claim by Insured against insurance Company under the Uninsured Motorist coverage of Insured's policy. Jones should:
1. Seek information to establish that Insured cannot recover from insurance Company.
2. Bring to the attention of insurance Company information already in his file establishing a defense to insured's potential claim.
3. Send copies of his entire file to Insurance Company and insured.
4. Take no action that will jeopardize Insured's claim under the Uninsured Motorist coverage.
Attorney is representing Client in the dissolution of Corporation, in which Client has a 50% interest. Lawyer is representing Jones, who owns the other 50% interest. While the litigation concerning Corporation was in progress, Attorney and his partner had a serious disagreement. Attorney proposes to ask Lawyer to represent him in that matter. Is Attorney subject to discipline for making the request?
1. Yes, unless Attorney associates with co-counsel of Client's choosing in the corporate dissolution litigation.
2. No, the corporate litigation that Lawyer is handling for Jones is unrelated to Attorney's partnership dissolution.
3. Yes, because a lawyer may not enter into a business relationship that will affect his judgment on a client's matters.
4. No, if Client consents to Lawyer representing Attorney after the matter has been fully explained to him.
Attorney has agreed to represent Client in a personal injury case. Client, however, does not have any funds with which to pay Attorney. Which of the following is proper for Attorney to do? I Lend Client a weekly stipend while he is recuperating. II Arrange for an intensive medical examination in preparation for trial and pay for the examination, billing Client the amount that Attorney has paid as a disbursement.
1. I only
2. Neither I nor 11
3. II only
4. Both I and 11
Client, an unmarried person with no children, retained Lawyer to prepare her will. She instructed Lawyer to make several specific charitable bequests and to divide the residue of her estate, one-half to her sister Jane, and one- half to Lawyer's husband Lawrence. Client and Lawrence are siblings. Is Lawyer subject to discipline if she draws the will as requested?
1. Yes, unless Client gives informed consent to the drawing of the instrument.
2. Yes, because a lawyer cannot draw a will for a client leaving a bequest to her husband.
3. No.
4. Yes. unless Lawyer has advised Client in writing to seek the advice of a disinterested lawyer.
Poe consulted Attorney for advice about bringing an action to quiet Poe's title to Blackacre. Poe does not disclose any of the tracts on which the claim is based or the name of the potential defendant and holder of record title. Attorney informs Poe that she will consider the matter and then advise Poe whether she will represent him. Attorney then searched the records, which disclose that Client, a long-standing client of Attorney, is the holder of record title to Blackacre. Attorney immediately advises Poe that she will not represent him. Poe, through another lawyer, sues to quiet title. Is it proper for Attorney to represent Client?
1. No, because after Poe had consulted Attorney on the matter, Attorney could not accept any case adverse to the interest of Poe in the same matter
2. No, because Attorney ascertained the name of the holder of title as a result of Poe's inquiry.
3. Yes, because Attorney acquired no disqualifying information from Poe.
4. Yes, because Client was prior in time to Poe.
Attorney is a member of Law Firm, and has been retained by Client to pursue a personal injury claim against Corporation because of the defective manufacture of Corporation's widgets. After Attorney accepted the case, he learned that Lawyer, who is also employed by Law Firm, represented Corporation two years ago when Smith sued Corporation for a defect in a product that performed functions similar to widgets. That suit has been settled, and no one in Law Firm is currently working on any matter for Corporation. Is it proper for Attorney to withdraw from representing Client?
1. No, if Lawyer does not participate in the case and does not share in the fee.
2. Yes, because Client and Corporation have different interests.
3. Yes, unless Client gives written consent to continue the employment after full disclosure.
4. No, if Client and Corporation both consent to Attorney's continued employment after full disclosure.
Attorney and Lawyer are partners. Client retained Attorney to represent him in litigation, and paid a retainer. Attorney and Client have had a disagreement' and Client has discharged Attorney. Client now seeks to hire Lawyer to handle the litigation. Is it proper for Lawyer to accept the
1. No, because Client has discharged Attorney.
2. No, if Lawyer does not feel that Client has a meritorious case.
3. Yes, because Client has paid a retainer.
4. employment?
5. Yes, if the disagreement between Attorney and Client concerned trial tactics.
While L was a law student, he was employed by Attorney and worked on legal matters concerning Attorney's client, ABC. L had access to confidential information with respect to ABC's operations. Once he passed the bar, L became associated with Lawyer X. Y has asked Lawyer X to represent him in litigation against ABC. Who may properly represent Y in this matter?
1. X only, but he may not consult with L
2. Either X or L
3. Neither X nor L
4. X only, and he may consult with L
Four years ago, Alpha was a judge in a state court of general jurisdiction and heard the civil case of Plaintiff against Defendant in which Plaintiff prevailed and secured a judgment for $50,000, which was sustained on appeal. Since then Alpha has resigned from the bench and retuned to private practice. Defendant has filed suit to enjoin enforcement of the judgment on the grounds of extrinsic fraud in its procurement. Plaintiff has now asked Alpha to represent Plaintiff in defending against the suit to enjoin enforcement. Is it proper for Alpha to accept the representation of Plaintiff in this matter?
1. No, unless Alpha believes the present suit is brought in bad faith.
2. Yes, if Alpha's conduct of the first trial will not be in issue.
3. Yes, because Alpha would be upholding the decision of the court.
4. No, because Alpha had acted in a judicial capacity on the merits of the original case.
Attorney Alpha received a $60,000 settlement of a tort case in which he represented Client. The check was payable to Alpha, attorney for Client. He deposited the check in his clients' interest bearing account. Approximately one week later, he drew a check to himself for his agreed contingent fee of $20,000. Approximately six months later, Client called and asked about the status of his case. Alpha informed him that he had received the settlement check and immediately sent him the total amount of the settlement check plus interest earned minus Alpha's fee. Is Alpha subject to discipline because of his conduct?
1. No, because Client's funds were kept segregated and earned interest which accrued to Client's benefit.
2. Yes, because he paid himself a contingent fee before he paid Client.
3. Yes, because he did not promptly notify Client of the receipt of funds that Client was entitled to receive.
4. No, because his conduct was negligent, not intentional.
Client has hired Attorney to represent him in the purchase of a home. A statute in the jurisdiction requires that every deed of real property recite the actual amount of consideration paid for the property. Client and Seller have negotiated a total price of $90,000 for the real property and two rugs that have a replacement value of $1,000. In order to keep the tax assessment of the property down, Client has insisted that Attorney prepare a purchase and sale agreement showing a price of $75,000 for the real property and $15,000 for the personal property, and a deed showing the $75,000 price. Under these circumstances,
1. Attorney has the right to withdraw from employment, but is not required to do so.
2. Attorney is required to withdraw from employment and not communicate with Client any further in the matter.
3. Attorney may not withdraw from employment unless his mental or physical condition renders it difficult for him to carry out the employment effectively, or Client knowingly assents to the termination of employment.
4. Attorney is required to withdraw from employment and take reasonable steps to avoid foreseeable prejudice to the rights of Client.
Client called Attorney and asked him to handle a malpractice case against Doctor. Attorney asked when the alleged malpractice took place and found that the statute of limitations was going to expire in two days. He therefore obtained information about the essential elements of the claim from Client and immediately filed a complaint. After the case was filed. Attorney made further investigations and now believes in good faith that Client does not have a case that is warranted under existing law. Was it proper for Attorney to file a complaint before independently investigating the merits of the case?
1. Yes, unless Client was negligent in failing to supply essential facts to Attorney.
2. No, if in fact the claim was frivolous.
3. No, if one purpose of the action was to embarrass Doctor.
4. Yes, because a prompt filing was necessary to prevent the expiration of the statute of limitations.
Client called Attorney and asked him to handle a malpractice case against Doctor. Attorney asked when the alleged malpractice took place and found that the statute of limitations was going to expire in two days. He therefore obtained information about the essential elements of the claim from Client and immediately filed a complaint. After the case was filed. Attorney made further investigations and now believes in good faith that Client does not have a case that is warranted under existing law. May Attorney, after his independent investigation of the facts, ask leave of court to withdraw as counsel for Client?
1. No, if Client did not insist that Attorney act illegally.
2. No. unless Client agrees that Attorney may withdraw.
3. Yes, unless the claim can be supported by a good faith argument for extension, modification, or reversal of existing law.
4. Yes, if Attorney in good faith disagreed with Client.
Attorney is employed in the legal department of Electco, a public utility company, and represents that company in litigation. Electco has been sued by a consumer group that alleges Electco is guilty of various acts in violation of its charter. Through its general counsel, Electco has instructed Attorney not to negotiate a settlement but to go to trial under any circumstances since precedent needs to be established. Attorney believes the case should be settled if possible. Should Attorney withdraw as counsel in the case?
1. No, because as an employee, Attorney is bound by the instructions of the general counsel.
2. Yes, if Electco is controlling Attorney's judgment in settling the case.
3. No, if Electco's defense can be supported by a good faith argument.
4. Yes, because a lawyer should endeavor to avoid litigation.
Lando, the owner of a commercial building at 99 State Street, and Tenans. a retail tenant in the building, jointly approach Attorney' who has represented them separately on unrelated matters in the past, and ask her to mediate a dispute they have concerning their rights and obligations under their lease. Attorney undertakes the task, but is unsuccessful in helping the parties resolve their differences and ceases her efforts to mediate. Lando then approaches Attorney and asks her to bring an action for declaratory judgment to determine the rights and obligations of Lando and Tenans under the lease. May Attorney properly accept the employment'?
1. Yes, if she never received any confidential information from Tenans.
2. Yes, because she never established an client-client relationship with Tenans.
3. No, because she has a conflict of interest with her former client Tenans.
4. No, because her role as an intermediary precludes her exclusive representation of either party with respect to the dispute.
Patient, a competent adult, sued Doctor for medical malpractice. Patient is represented by Attorney Alpha, and Doctor is represented by Attorney Beta. The claimed negligence was the failure of Doctor to inform Patient fully of all the significant risks involved in an operation performed by Doctor on Patient. Before the operation, Patient told Doctor: "Don't tell me anything about the operation that will upset me any more than I am now." Before suit was filed, Patient informed Alpha of his statement to Doctor, and both Patient and Alpha have admitted to Beta that such a statement was made. Doctor is outraged and emotionally distressed by the lawsuit. Doctor believes that the suit is groundless, but that the filing of it will damage her reputation. Doctor is insisting that Beta file suit on her behalf against Alpha, asserting that Alpha has intentionally and maliciously inflicted severe emotional distress on Doctor. Is Beta subject to discipline if Beta files suit against Alpha?
1. Yes, unless Beta believes that filing the suit may help in the settlement of Patient's claim against Doctor.
2. No, if Beta believes that Patient will lose in the suit against Doctor.
3. Yes, unless Beta can make a good faith argument that Doctor has a claim for relief against Alpha.
4. No, because Beta filed the suit at Doctor's insistence.
Attorney represents Client in State X. An issue of law that has not been decided in State X controls the outcome of the case. Both sides submitted briefs on that issue to the trial judge, who has taken the case under advisement for decision. After briefs were submitted, a case presenting the precise issue of law was decided in State Y. If the decision in the case in State Y was against the position advocated by Attorney' must he advise the court of the decision?
1. No, because the case is already under advisement by the judge.
2. No, because the decision is not controlling in State X.
3. Yes, because an attorney should inform the court about relevant precedent.
4. Yes, because it might affect the outcome of the case.
The court has issued a preliminary injunction against Client. ordering him not to violate a non-competition agreement he signed with Plaintiff Attorney has advised Client not to obey the injunction. It is proper for Attorney to give that advice if he believes that:
1. The preliminary order might be reversed on appeal.
2. it would be economically unsound for Client to comply.
3. Client understands the consequences and is willing to take the risk.
4. The injunction is invalid. and an enforcement action is an appropriate way to test its validity.
Client has hired Attorney, his regular attorney to collect a debt under a written instrument in which Debtor has agreed to pay the reasonable attorney's fees involved in its collection. As part of the case, Attorney will be required to testify on behalf of Client concerning the reasonable value of his services in collecting the debt. Is it proper for Attorney to represent Client in the case?
1. No, if Attorney is a witness only on the issue of the reasonable value of the attorney's fees.
2. Yes, because he is the regular lawyer of Client. It would be a hardship to obtain special counsel.
3. Yes, because even in a contested case, a lawyer may be called as a witness to testify to the value of his services.
4. No. because Attorney has a direct interest in the case.
Attorney has recently assumed the office of District Attorney. About a month prior to assuming office, the grand jury indicted "Drifter" for the rape of Mary Jones. In the past four years, Drifter has been indicted for rape on three occasions, but has been acquitted each time. The police are convinced that Drifter is a sexually dangerous person and are eager to see that he is convicted. Attorney has reviewed the grand jury minutes and believes there is credible evidence to support the charge. Which of the following is the proper course for Attorney to take with respect to the charge?
1. Dismiss the indictment if he believes the jury will acquit Drifter.
2. Proceed with trial because there is credible evidence to support the charge.
3. Dismiss the indictment if the witnesses before the grand jury manifested ill will toward Drifter.
4. Proceed with trial because a grand jury indictment was obtained.
Mary was raped. After looking through police photographs, she identified Ralph, a third-year law student. as her assailant. The police arrested Ralph. and warned him of his Miranda rights. He decided to represent himself pro se. The police obtained a blood sample from Ralph, which was compared with the blood on the victim's clothing. Despite the fact that the comparison of the blood samples was inconclusive, District Attorney presented the case to the grand jury, which indicted Ralph. District Attorney then: I. Asked Ralph to waive a preliminary hearing. II. Failed to deliver to Ralph a copy of the blood test. District Attorney is subject to discipline because of
1. I only
2. II only
3. Both I and II
4. Neither I nor II
Alpha represents Defendant in bitter and protracted litigation. Alpha, at Defendant's request, has made several offers of settlement to Plaintiff's lawyer, Beta, all of which have been rejected. During a week's recess in the trial, Alpha and Plaintiff were both present at a cocktail party. Plaintiff went over to Alpha and said, "Why can't we settle that case for $50,000? This trial is costing both sides more than it's worth." Which of the following is allowed as a response by Alpha? I. "I can't discuss the matter with you." II. "If that's the way you feel, why don't you and Defendant get together?" III. "I agree. We already have made several offers to settle this matter."
1. Both I and II, but not III
2. Both II and III, but not I
3. I,II, and III
4. I only
29. Alpha represents Defendant in bitter and protracted litigation. Alpha, at Defendant's request, has made several otters of settlement to Plaintiff's lawyer, Beta, all of which have been rejected. The following day, Alpha telephoned Beta and told him that Plaintiff was willing to settle the case for $50,000. Alpha further stated that Defendant had authorized a $50,000 settlement. Is Alpha's conduct in telephoning Beta proper?
1. No, because the information came directly from an adverse party represented by counsel.
2. No, because only Beta. the attorney of record for Plaintiff. has the authority to make a settlement offer.
3. Yes, because it is the duty of an attorney to seek to avoid litigation.
4. Yes. because it is the duty of an attorney to use any lawful means to protect his client's proper interests.
Attorney Able represents Landlord in a lawsuit with Tenant in which Tenant. who is represented by Attorney Baker, is suing for damages to his leasehold improvements caused by the defective condition of Landlord's sprinkler pipes. Attorney Able has hired Expert to appraise the damage to Tenant's property. Without informing Attorney Baker, Attorney Able and Expert went to Tenant's property. When Tenant answered the door, Attorney Able said to him, "Expert and I would like to inspect the property to determine the damage caused by the sprinkler pipes. You do not have to let us in, but if you don't, we can get a court order allowing us to inspect." Tenant reluctantly permitted the inspection. Is Attorney Able subject to discipline because of his conduct?
1. No. because he did not seek information from Tenant.
2. Yes, because he had not obtained Attorney Baker's permission to make the inspection.
3. No, because he did not discuss the case with Tenant.
4. Yes, because he had not obtained Attorney Baker's consent to talk to Tenant.
Plaintiff has brought suit against A and B as joint tortfeasors. A has hired Lawyer to represent him. Lawyer visited B, who had not at that time hired a lawyer, and questioned him concerning issues of liability. Was the action of Lawyer proper?
1. No, if there is any possibility that the information could be used against B.
2. Yes, because B was not represented by counsel.
3. Yes, because B was a co-defendant.
4. No, unless B was first advised that the information could be used to his disadvantage.
Attorney, a partner in the XYZ law firm, is representing Hilda as plaintiff in an automobile tort case involving an intersection accident against Dominic. Attorney directs Associate to interview Witt, an eyewitness to the accident, about the status of the traffic lights at the time of the accident. Associate cannot find win, but instead reports back to Attorney that he has interviewed win and win was not in a position to see the accident and therefore should not be called. When the case is tried, Dominic's attorney calls Witt, who testifies that Hilda went through a red light. Attorney is unable to cross-examine Witt effectively because he is unprepared. The jury finds for the defendant. Dominic. Is Attorney subject to discipline?
1. No. because a partner is not responsible for the professional misconduct of a subordinate unless he directs the subordinate to commit the act of misconduct.
2. Yes, because the incompetence of Associate is imputed to him.
3. Yes, because he did not make reasonable efforts to ensure that Associate conformed to the Rules of Professional Conduct.
4. No, because he was unaware of Associate's misconduct at a time when its consequences could be avoided.
Which of the following agreements made by Attorney is improper?
1. Attorney has included Secretary in her profit-sharing plan to which she contributes 10% of the fees earned by the firm.
2. When Attorney employed Associate, she promised to pay Associate's mother and sole heir, a non-lawyer, 20% of any legal fee resulting from legal work originated by Associate if Associate died during the course of his employment and the fee had not been collected at that time.
3. Attorney has hired Appraiser for an eminent domain case and agreed to pay him 20% of the fee that she collected.
4. For the purpose of completing unfinished business, Attorney has purchased the law practice of Lawyer, now deceased, and has promised to pay Lawyer's executor 20% of any fees collected from that practice.
Attorney Able has joined with Baker, an accountant, and Charlie, an insurance agent, to provide complete estate planning services for his clients. Attorney draws the necessary legal documents, Baker provides the necessary financial information, and Charlie analyzes insurance needs and provides for the necessary life insurance. Each bills the client for the services that she or he rendered. Is Attorney subject to discipline for entering into this arrangement?
1. Yes, because he has associated with non-lawyers in a business venture.
2. Yes, because he has formed a partnership with non-lawyers in which his activity consists of the practice of law.
3. No, because the relationship between Able, Baker, and Charlie is not a partnership.
4. No, because Able is not engaging in the practice of law and can therefore associate himself in a business venture with non-lawyers.
Smith is a member of the bar of State Y. He has represented Jones, a resident of State Y, for a number of years. Jones and his wife moved to State X because Mrs. Jones was in poor health. When Mrs. Jones died, Jones came back to State Y for about a week for Mrs. Jones's funeral, and asked Smith to perform the following tasks: I. Probate the estate of Mrs. Jones; II. Draw a new will for Jones; and III. Prepare a purchase and sale agreement for the purchase of a condominium located in State X. Which of the above-described tasks may Smith properly perform?
1. II only
2. I, II and III
3. II and III, but not I
4. III only
Attorney is a member of the bar and a salaried employee of the trust department of Bank. As part of his duties, he prepares a monthly newsletter concerning wills, trust, estates, and taxes, which Bank sends to all its customers. The newsletter contains a recommendation to the customer to review his or her will in light of the information contained therein and, if the customer has any questions, to bring the will to Bank's trust department where the trust officer will answer any questions without charge. The trust officer is not a lawyer. If the trust officer is unable to answer the customer's questions, the trust officer refers the customer to Attorney. Is Attorney subject to discipline for the foregoing?
1. No, because Attorney is a member of the bar.
2. Yes. because Attorney is aiding Bank in the unauthorized practice of law.
3. No, because no charge is made for Attorney's advice.
4. Yes, because Attorney is giving legal advice to persons who are not his clients.
Attorney is employed by a title insurance company that acts as escrow agent for real estate closings. Attorney prepares a deed for the seller, the mortgage and mortgage note for the lender, collects the cash required from the buyer, records the instruments, disburses the proceeds and the instruments, and issues a title insurance policy. Is Attorney subject to discipline for these activities?
1. Yes, unless ail parties are fully informed and consent.
2. Yes, because the title insurance company is engaged in the unauthorized practice of law.
3. No, unless one of the parties to the transaction other than the title insurance company believes that Attorney is acting as its lawyer.
4. No, if the title insurance company was acting to insure the adequacy of the title it was insuring.
Lawyer is a practicing attorney in the city of Metropolis. which has a population of one million. Lawyer's practice is almost exclusively devoted to immigration law. Lawyer is entering into a contract to employ Associate, a recent law school graduate. The contract provides that Associate will not engage in the following activities for one year after the termination of his employment with Lawyer: I. Practice law in Metropolis. II. Practice immigration law. III. Represent any clients who were clients of Lawyer while he was working for Lawyer. Which of those provisions is(are) improper?
1. II only
2. I,II, and III
3. I only
4. I and II
A commercial airliner has crashed at a local airport. Over 100 people either have been killed or injured. Lawyer has successfully tried several personal injury cases. It is Proper for him to: I. Suggest to a doctor whom he sees on a social basis that Doctor recommend Lawyer to those victims of the crash whom Doctor is treating. II. Place an ad in the local newspaper detailing his experience in personal injury litigation. III. Tell a prospective client who was injured in the crash and who has consulted him of his record in personal injury cases.
1. Both II and III
2. II only
3. I,II and III
4. III only
Attorney was an active trial lawyer who spent a great deal of time talking with lawyers about the activities of their colleagues in the legal profession. He was therefore a knowledgeable source of rumor and gossip. Attorney entered into an agreement with Columnist, the gossip columnist for the local newspaper, by which he agreed to provide stories and leads to Columnist free of charge and Columnist agreed to give honest publicity to Attorney's victories as a trial lawyer. Did Attorney act properly?
1. No, because Attorney is engaged in advertising.
2. Yes. because an attorney may bargain for publicity as long as the information is truthful.
3. NO, because an attorney may not give consideration for favorable publicity.
4. Yes, because he did not pay for the publicity.
Attorney is a sole practitioner whose practice is largely in the areas of tax, wills and estates, and trusts. Attorney learned of a new internal Revenue Service(IRS) regulation that probably affects the trust provisions in a will she prepared for Testatrix two years ago. Attorney has not heard from Testatrix since she drew the will. Is Attorney subject to discipline if she advises Testatrix of the new IRS ruling?
1. Yes, if Attorney has any reason to believe that Testatrix has another lawyer.
2. No, provided Attorney does not thereafter prepare a new will for Testatrix.
3. No, because Attorney believes that it may affect the will she drew for Testatrix.
4. Yes, because Attorney would be soliciting legal business from a specific person.
In 1960, Joan Alpha and Robert Baker formed a partnership to practice law under the firm name of "Alpha & Baker" in State X. William Clark became a partner in 1970 and is in full-time practice with the firm. Gerald Ford. a person with the same name as the ex-president, became a partner in 1980 and left the firm(which was still practicing under the firm name of Able & Baker) in 1985. Alice Delta. who is licensed to practice law in State Y only and is in charge of the firm's newly opened office in State Y, became a partner in the firm in 1987. In 1988, Joan Alpha died, and Robert Baker became the Commissioner of Revenue in State X and now practices law with the firm only on a sporadic basis. Which of the following is an appropriate firm name in 1989 in both State X and State Y?
1. Alpha & Baker
2. None of the above
3. Alpha, Clark & Ford
4. Clark & Delta
During the trial of a case by Attorney Alpha, Attorney Beta took shelter in a tavern from an unexpected rainstorm. While in the tavern, Attorney Beta saw Attorney Alpha having a drink with a juror on the case Attorney Alpha was trying. Attorney Beta should:
1. Caution Alpha and the juror not to talk further to each other.
2. Explain Beta's involvement in the case and reprimand Alpha for drinking in a public place with a juror.
3. Keep this knowledge confidential.
4. inform the appropriate disciplinary authority.
Lawyer is subject to discipline for his actions in which of the following cases: I. Lawyer is the owner of a restaurant that serves alcoholic beverages. He has instructed his employees not to serve minors and to require proper identification from young patrons. Juvenile, a minor using false identification, obtained a drink from Waitress. As the owner of the premises, Lawyer was convicted of serving alcoholic beverages to a minor. II. Lawyer is very friendly with the police chief in his town. When Lawyer's son was stopped by an officer on the police force and arrested for driving while intoxicated, Lawyer called the chief and persuaded him not to prosecute.
1. Case I only
2. Both case I and case II
3. Neither case I nor case II
4. Case II only
Attorney has resigned as an attorney for the State Tax Commission. I. He has sent a professional announcement indicating that he is opening a law office to a group of businessmen in the vicinity of his office. II. In that announcement, he identified himself as a former employee of the State Tax Commission, and III. Stated that he believed that the best way to achieve positive results in administrative hearings is to maintain a good rapport with government agencies. His conduct is subject to discipline:
1. Because of action II.
2. Because of action III.
3. Because of action I.
4. Because of actions I and III.
Judge, a member of the trial court of Sunset County, was named executor in the will of an uncle, A. Judge had handled A's legal affairs prior to his appointment to the bench. Judge has filed A's will for probate, and S, A's son, has entered an appearance to contest the will. The case is scheduled for trial before Jurist, also a member of the bench of the trial court of Sunset County and a friend of Judge's. Is it proper for Judge to function as executor of A's estate?
1. No, because upon becoming a judge, Judge was required to wind-up his non- judicial legal activities.
2. No, because the action is brought in the court on which he sits.
3. No, because he would be involved in an adversary proceeding before a friend.
4. Yes, because Judge may act as executor for family members after becoming a judge.
Which of the following activities would be proper for the judge? Attorney has a summer home next to Judge's summer home. Attorney and Judge are both ardent fishermen and fish together frequently. During the winter. they attend many sports events together. Judge's wife is giving a birthday party on the occasion of Judge's fiftieth birthday. Attorney has been invited. Judge is a candidate for reelection. Judge has three children in private colleges simultaneously. Which of the following payments can Attorney properly make to Judge? I. A $250 contribution to Judge personally for his reelection campaign II. A $250 contribution to Judge's campaign committee for his reelection campaign III. A $100 birthday gift IV. A loan of $1,000 to help him with college expenses
1. I, II, III, and IV
2. II and III
3. None
4. I, II, and III
Judge was a member of a national civic association when she was young, and has a desire to help the local branch in the state where she now resides and serves as a member of the probate court bench. The local organization has been named as a defendant in three tort cases in another jurisdiction. The organization successfully defended in all three actions, but each is now on appeal. I. Attend a fund-raising banquet as a paying guest II. Serve as an unpaid member of the board of directors III. Solicit funds for the construction of a local headquarters for the organization
1. II only
2. Both I and II
3. I only
4. I, II, and III
Jurist is a member of a court of civil appeals in State X. She firmly believes that the court of appeals is understaffed, and proposes to testify before a legislative committee concerning legislation to increase the number of judgeships in that court. Her life-long friend has been indicted for income tax evasion, and she desires to testify in his behalf as a character witness. It is improper for the judge to:
1. Testify in neither proceeding.
2. Testify voluntarily as a character witness.
3. Testify before the legislative committee.
4. Testify in either proceeding.
Judge is presently a member of the highest court of State X and is a candidate for reelection. While a member of that court, she wrote a controversial opinion which found state constitutional authority for the state to restrict its funding of abortions. A newspaper reporter has asked her for an interview in order to question her about the abortion issue. Which of the following statements might she properly make in response to a pertinent question? I. Whether abortions will be paid for out of state funds is a matter that properly may be decided by the state legislature. II. If elected, I will continue to write judicial decisions that narrowly construe the rights of a woman to an abortion. III.I believe that abortion is morally wrong.
1. I and II
2. I, II and II
3. I only
4. II only

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