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Client, a famous rock star, consulted Attorney, a copyright expert, about suing Baker for infringement of Client's copyright on a song client wrote last year about Client's life. Attorney quoted Client an estimated fee for the representation. Client responded, "I hate to pay that kind of money. Would you be willing to accept the literary rights to my life story as your fee?" Attorney agreed with the understanding that Client would pay all expenses of the proposed litigation other than Attorney's fee. Attorney suggested that Client have Client's regular lawyer approve the literary rights contract. Was it proper for Attorney to make the agreement with Client?
1. No, because the amount of Attorney's compensation is unrelated to the services rendered.
2. No, because the agreement was made prior to the conclusion of the Attorney's representation of client.
3. Yes, because Client initiated the proposed agreement.
4. Yes, because Attorney suggested that client obtain independent legal advice before entering into the contract.
Judge Alpha has recently resigned from the state trial court bench. While she was a judge and supervising activity in cases pending before Judge Beta, who was on vacation, Alpha entered an administrative order changing the courtroom in which the case of Able v. Baker was to be tried. After trial and appeal, the case was remanded for a new trial. The plaintiff in Able v. Baker has now decided to change lawyers and has asked Alpha to try the case. Will Alpha be subject to discipline if she tries this case on behalf of the plaintiff?
1. Yes, because Alpha would try the case before a judge of the court on which Alpha previously sat.
2. No, because Alpha did not act as a judge with respect to a substantial matter or on the merits of the case.
3. No, because any information that Alpha learned about the case while acting as a judge was a matter of public record.
4. Yes, because Alpha acted officially as a judge with respect to an aspect of the case.
Although licensed to practice law in State, Attorney Alpha does not practice law but works as an investment broker. Alpha could have elected inactive status as a member of the bar, but chose not to do so. Recently, in connection with a sale of worthless securities, Alpha made materially false representations to Victim, an investment customer. Victim sued Alpha for civil fraud, and a jury returned a verdict in Victim's favor. Alpha did not appeal. Is Alpha subject to discipline?
1. Yes, because Alpha's conduct was fraudulent.
2. No, unless the standard of proof in State is the same in lawyer disciplinary cases and civil cases.
3. Yes, because Alpha was pursing a non-legal occupation while an active member of the bar.
4. No, because Alpha was not convicted of a crime.
Client was an experienced oil and gas developer. Client asked Attorney for representation in a suit to establish Client's ownership of certain oil and gas royalties. Client did not have available the necessary funds to pay Attorney's reasonable hourly rate for undertaking the case. Client proposed instead to pay Attorney an amount in cash equal to 20% of the value of the process received from the first year royalties client might recover as a result of the suit. Attorney accepted the proposal and took the case. Is Attorney subject to discipline?
1. No, because Client rather than Attorney proposed the fee arrangement.
2. Yes, because the agreement gave Attorney a proprietary interest in Client's cause of action.
3. Yes, unless the fee Attorney receives does not exceed that which Attorney would have received by charging a reasonable hourly rate.
4. No, because Attorney may contract with Client for a reasonable contingent fee.
Attorney has been hired by Client to represent Client in a civil commitment proceeding initiated by the state. Client is not undergoing psychiatric evaluation to determine whether civil commitment should be ordered. Client told Attorney that Client intends to commit suicide as soon as the tests are completed, and Attorney believes that Client will carry out this threat. Suicide and attempted suicide are crimes in the state. Is it proper for Attorney to disclose Client's intention to the authorities?
1. No, unless Attorney knows that Client has attempted suicide in the past.
2. Yes, because the information concerns future crime and is not protected by the attorney-client evidentiary privilege.
3. Yes, because the information concerns a future crime that is likely to result in Client's imminent death.
4. No, because disclosure would aid the state in its civil commitment case against Client.
While employed as deputy prosecuting Attorney, Attorney prepared, signed, and filed criminal complaints against Able and Baker arising out of a barroom brawl in which both were injured. Attorney represented the state at Able's arraignment and in plea negotiations with Able's lawyer. The criminal charge against Baker was dropped. Thereafter, Attorney left public employment and went into private practice. Baker then retained Attorney to bring a civil action against Able for injuries Baker sustained in the barroom brawl. Is Attorney subject to discipline for accepting the representation of Baker?
1. No, unless Attorney reasonably believed that Able was the only party who bore criminal responsibility for the incident.
2. Yes, because Attorney, while deputy prosecutor, prepared, signed, and filed criminal complaints against Able and Baker.
3. No, if Attorney's participation was limited to the arraignment and plea negotiations with Able.
4. Yes, unless Able consents after full disclosure.
Attorney agreed to represent Able, a client, in bringing a lawsuit. Attorney and Able executed Attorney's preprinted retained from that provides, in part: "The client agrees to pay promptly Attorney's fees for services. In addition, the client and attorney agree to release each other from any and all liability arising from the representation. The client agrees that Attorney need not return the client's file prior to receiving the client's executed release. Attorney agrees to return the client's file promptly upon receipt of all fees owed and of the client's executed release." During their initial meeting, Attorney recommended that Able consult independent counsel before signing the retainer agreement, but Able chose not to do so. Attorney reasonably believes that his fee is fair and that the quality of his work will be competent. Is Attorney's retainer agreement with Able proper?
1. Yes, because Attorney reasonably believes that his fee is fair and that the quality of his work will be competent.
2. No, because Attorney uses a preprinted form for all retainers.
3. Yes. because Attorney furnished consideration by agreeing to release Able from liability and to return Abel's files.
4. No, because Attorney is attempting to limit prospectively his liability for malpractice.
Attorney represents Corp, a defendant in a product liability case. Engineer, a Corp employee nearing retirement, was likely to be a key witness in the case, as she had been in charge of all of Corp's product safety testing during the relevant period. Engineer had been very critical of Corp's safety testing procedures during that period and had repeatedly complained that the product at issue had not been adequately tested. Engineer's views were reduced to writing and were well known to many employees of Corp. Because of the early stage of the case, however, plaintiff s counsel was not yet aware of Engineer's existence or her views. Aware of Engineer's views, Attorney approached Corp's officials and recommended that it offer Engineer a special package of severance benefits if she would retire immediately and move to the Bahamas. Attorney believed that if Engineer accepted this offer, she would be beyond the subpoena power of the court in which the suit against Corp was pending. Corp adopted Attorney's recommendation and made the offer. Engineer accepted it. Attorney did not disclose Engineer's identity to plaintiff s counsel. Is Attorney subject to discipline?
1. No, because Engineer's views were reduced to writing and are well known to many other employees of Corp.
2. Yes, because Attorney caused Engineer to leave the jurisdiction of the court for the purpose of making her unavailable as a witness.
3. Yes, because opposing counsel had not yet had a reasonable opportunity to learn of Engineer's views.
4. No, unless there was a pending request for Engineer's testimony at the time the retirement offer was made to Engineer
Attorney represented Client in a personal injury action against the driver of the car in which Client was injured while a passenger. The personal injury action was settled, and Attorney received a check in the amount of $10,000 payable to Attorney. Attorney deposited the check in her Clients' Trust Account. One day later, Attorney received a letter from Bank, which had heard of the settlement of the personal injury lawsuit. Bank informed Attorney that Client had failed to make his monthly mortgage payments for the last three months and demanded that Attorney immediately release $900 of the proceeds of the settlement to Bank or Bank would institute mortgage foreclosure proceedings against Client. Attorney informed Client of Banks' letter. Client responded: "I don't care what Bank does. The property is essentially worthless, so let Bank foreclose. If Bank wants to sue me, I'll be easy enough to find. I don't think they'll even bother. You just take your legal fees and turn the rest of the proceeds over to me." Is Attorney subject to discipline if she follows Client's instructions?
1. Yes, because Attorney knew that Client was planning to force the Bank to sue him.
2. No, because Bank has no established right to the specific proceeds of Client's personal injury judgment.
3. No, unless Attorney had reason to believe that Client would not have sufficient funds to pay any subsequent judgment obtained by Bank.
4. Yes, if Client does not dispute the $900 debt to Bank.
Attorney was engaged under a general retainer agreement to represent Corp, a corporation involved in the uranium industry. Under the agreement, Attorney handled all of Corp's legal work, which typically involved regulatory issues and litigation. Corp told Attorney that a congressional committee was holding hearings concerning the extent of regulation in the copper industry. Because Corp was considering buying a copper mine during the next fiscal year, Corp wanted Attorney to testify that the industry was over regulated. Attorney subsequently testified before the relevant congressional committee. Attorney registered his appearance under his own name and did not disclose that he was appearing on behalf of a client. Afterward, Attorney billed Corp for fees and expenses related to his testimony. Was Attorney's conduct proper?
1. Yes, because the Attorney-client evidentiary privilege prevented disclosure of the identity of his client to this context.
2. No, because Attorney accepted compensation in return for his testimony.
3. No, because Attorney failed to disclose that he was appearing and testifying in a representative capacity.
4. Yes, because the duty of confidentiality prevented Attorney from disclosing the identity of his client.
Judge is one of three trustees of a trust for the educational benefit of her grandchildren. The trust owns 5,000 shares of stock in Big Oil Company. The stock has been selling for the past year at $10.00 per share. Big Oil is suing Oil Refining Company for breach of an oil refining agreement. and the case is assigned to Judge for trial. Judge believes that she can be fair and impartial. Should Judge disqualify herself from the case?
1. No, unless Judge personally owns stock in either party to the litigation.
2. Yes, because the trust has more than a de minimis financial interest in Big Oil Company.
3. No, because Judge believes she can remain impartial.
4. Yes, unless the outcome of the lawsuit is unlikely to affect the value of the stock.
For many years, Attorney has served as outside counsel to Corp, a corporation. Shortly after a chance in management, Attorney discovered what she reasonably believed to be a material misstatement in a document she had drafted that Attorney was about to file on Corp's behalf with a government agency. Attorney advised Corp's Board of Directors that filing the document was probably criminal. However, the Board disagreed that there was any material misstatement and directed Attorney to proceed with the filing. When Attorney indicated her intention to resign, Corp argued that a resignation at this time would send a signal that there was a problem with the filing. Corp urged Attorney to continue the representation, but offered to use in-house counsel to complete the work on the filing. Although she does not know for certain that fling the document is illegal, Attorney reasonably believes that it is. In any event, Attorney is personally uncomfortable with the representation and wants to withdraw. May Attorney withdraw from her representation of Corp?
1. No, if Attorney's withdrawal as outside counsel might affect Corp's ability to complete the filing in a timely fashion.
2. Yes, because withdrawal is required when a client insists on conduct that the lawyer reasonably believes, but does not know, will be criminal.
3. Yes, because withdrawal is permitted but not required when a client insists on conduct that the lawyer reasonably believes, but does not know, will be criminal.
4. No, if Corp is correct that withdrawal would breach confidentiality by sending a signal that the filing is problematic.
Ten years ago voters in Cityboro passed a referendum authorizing creation of an open-space district. The referendum also approved the sale of bonds for the purpose of acquiring open land pursuant to the Cityboro Open Space Act. A few months after the referendum was passed, Cityboro officials interviewed Attorney to determine if she would be suitable to represent Cityboro in land acquisition and condemnation proceedings pursuant to its open-space program. At that time, the acquisition program was still in a conceptual stage and no specific acquisitions had yet been planned. Cityboro officials discussed with Attorney their general plans for proceeding, for litigation and for prior acquisitions, as well as Attorney's qualifications. After a two-hour discussion, Attorney declined to represent Cityboro and left the interview. Two years later' a group calling itself BLOC(Build Less on Corners) retained Attorney and brought suit to enjoin Cityboro officials from exercising powers and disbursing public funds to execute the open-space program. The BLOC suit alleged that the Open Space Act was unconstitutional. Cityboro requested Attorney to withdraw. Must Attorney withdraw?
1. Yes, because Cityboro officials interviewed Attorney for the purpose of obtaining legal representation.
2. Yes, unless BLOC waives objection to the potential conflict of interest.
3. No, because at the time of the interview the acquisition program was still in a conceptual stage and no acquisitions had been planned.
4. No, because Attorney declined to represent Cityboro.
Attorney Alpha, a partner in the law firm of Alpha & Beta, was retained by Plaint, the plaintiff in a personal injury action against Deft. The jury rendered a verdict in favor of Deft, and Alpha filed an appeal on Plaint's behalf Alpha reviewed the trial transcript and wrote the brief The brief stated, "It was uncontroverted that Deft failed to signal before turning left into the intersection." In fact, Wit, a witness called by Deft, testified that Deft did signal before turning. Alpha was aware of this testimony, having read it while reviewing the trial transcript. Three days before the appeal was scheduled to be argued in the state's intermediate appellate court, Alpha suffered a heart attack. Attorney Beta, one of Alpha's partners, agreed to argue the appeal. Beta knew nothing about the case and had no opportunity to confer with Alpha. In preparing for the argument, Beta read Alpha's brief thoroughly and read as much of the trial transcript as was possible in the limited time available, but did not read Wit's testimony. In oral argument, Beta stated to the court, "Your honors, as stated in our brief, it is uncontroverted that Deft failed to signal before turning left into the intersection." Beta assumed that Alpha's statement in the brief to the effect was correct. Is Beta subject to discipline for making this statement during oral argument?
1. No, because all Beta did was to truthfully recount the statement made by Alpha in the brief.
2. No, because Beta did not know that the statement was false.
3. Yes, because the statement was false.
4. Yes, because Beta did not know whether or not the statement was true.
Judge needed to obtain a loan to be secured by a second mortgage on his house. Bank offered him a loan at a very favorable interest rate. The vice-president at Bank told Judge: ''Frankly, we normally don't give such a large loan when the security is a second mortgage, and your interest rate will be 2% less than we charge our other customers. But we know that your salary is inadequate. and we are giving you special consideration." Is it proper for the Judge to accept the loan?
1. No, unless the same terms are available to all judges in the state.
2. No, because the amount of the loan and interest rate were not available to persons who were not judges.
3. Yes, if Bank is not likely to be involved in litigation in the court on which Judge sits.
4. Yes, if Judge does not act in any case involving Bank.
Law firm has 300 lawyers in 10 states. It has placed the supervision of all routine administrative and financial matters in the hands of Admin, a non-lawyer. Admin is paid a regular monthly salary and a year-end bonus of 1% of Law Firm's net income from fees. Organizationally, Admin reports to Attorney, who is the managing partner of Law Firm. Attorney deals with all issues related to Law Firm's supervision of the practice of law. Is it proper for Attorney to participate in Law Firm's use of Admin's services in this fashion?
1. Yes, unless Admin has access to client files.
2. Yes' if Admin does not control the professional judgment of the lawyers in the f rm.
3. No, because Law Firm is sharing legal fees with a non-lawyer.
4. No, because Law Firm is assisting a non-lawyer in the unauthorized practice of law.
Attorney experienced several instances when clients failed to pay their fees in a timely manner, but it was too late in the representation to withdraw without prejudicing the clients. To avoid a recurrence of this situation, Attorney has drafted a stipulation of consent to withdraw if fees are not paid according to the fee agreement. She proposes to have all clients sign the stipulation on the outset of the representation. Is it proper for Attorney to use the stipulation to withdraw from representation whenever a client fails to pay fees?
1. Yes, because the clients consented to the withdrawal in the stipulation.
2. No, because a client's failure to pay fees when due may be insufficient in itself to justify withdrawal.
3. Yes, because a lawyer may withdraw when the financial burden of continuing the representation would be substantially greater than the parties anticipated at the time of the fee agreement.
4. No, unless clients are provided an opportunity to seek independent legal advice before signing the stipulation.
Attorney was retained by Defendant to represent him in a paternity suit. Aunt, Defendant's aunt. believed the suit was unfounded and motivated by malice. Aunt sent attorney a check for $1,000 and asked Attorney to apply it to the payment of Defendant's fee. Aunt told Attorney not to tell Defendant of the payment because "Defendant is too proud to accept gifts, but I know he really needs the money." Is it proper for Attorney to accept Aunt's check?
1. Yes, if Aunt does not attempt to influence Attorney's conduct of the case.
2. No, unless Attorney first informs Defendant and obtains Defendant's consent to retain the payment.
3. No, because Aunt is attempting to finance litigation to which she is not a party.
4. Yes, if Attorney's charges to Defendant are reduced accordingly.
Attorney has a highly efficient staff of paraprofessional legal assistants, all of whom are graduates of recognized legal assistant educational programs. Recently, the statute of limitations ran against a claim of a client of Attorney's when a legal assistant negligently misplaced Client's file and suit was not filed with the time permitted by law. Which of the following correctly states Attorney's professional responsibility? Attorney is subject to civil liability but is NOT subject to discipline unless
1. Attorney is subject to civil liability and is also subject to discipline on the theory of respondent superior.
2. Attorney failed to supervise the legal assistant adequately.
3. Attorney is subject to civil liability or is subject to discipline at Client's election.
4. Attorney is NOT subject to civil liability and is NOT subject to discipline if Attorney personally was not negligent.
Attorney represented Plaint, who sued Deft for injuries Plaint sustained in a car accident. Prior to trial, Attorney interviewed Wit, who stated she had observed Deft drinking heavily before the accident. Unfortunately, on the eve of trial, Wit informed Attorney that Wit was ill and could not testify at trial. Attorney tried but could not obtain a continuance. As a result, Plaint's direct case rested solely on Plaint's testimony that Deft was speeding and that Deft's car crossed the middle line and hit Plaint's car. Deft testified that he was driving safely in compliance with all rules and that the accident was entirely Plaint's fault. On cross examination, Attorney asked Deft, "Isn't it a fact that you were drinking prior to the accident?" Deft answered that he had not consumed alcoholic beverages on the day of the accident. In summation to the jury, Attorney stated: "Ladies and gentlemen of the jury, you and I know that Deft lied when he stated that he had not consumed alcoholic beverages on the day of the accident. We know that he was impaired." On which of the following grounds, if any, is Attorney subject to discipline? I Attorney's question to Deft implying that Deft had consumed alcoholic beverages when Attorney knew that he could not offer evidence of Deft's drinking. II Attorney's statement to the jury asserting that Attorney knew that Deft was drunk when no evidence in the record supported this allegation. III Attorney's statement asserting a personal belief that Deft was drunk and lying.
1. I and II, but not III
2. I, II, and III
3. II and III, but not I
4. Neither I,II, nor III
Pros, a prosecutor, was assigned to try a criminal case against Deft. who was charged with robbery of a convenience store. Deft denied any involvement, contending he was home watching television with his mother on the night in question. At the trial, Wit, a customer at the convenience store, testified that he had identified Deft in a police line-up and provided other testimony connecting Deft to the crime. In addition, Pros entered into evidence a poor-quality videotape of the robbery as recorded by the store surveillance camera. The jury convicted Deft of the crime charged. Unknown to Deft's court-appointed lawyer, Wit had first identified another person in the police line-up and selected Deft only after encouragement by the detective. Pros was aware of these facts but did not notify Deft's counsel who made no pretrial discovery request to obtain this information. Is Pros subject to discipline?
1. Yes, unless the jury could make its own identification of Deft from the videotape.
2. No, because Deft's counsel made no pretrial discovery request to obtain this information.
3. No,unless it is likely that the jury would have acquitted Deft had it known that Wit first identified someone else.
4. Yes, because this information tended to negate Deft's guilt.
Attorney and Client entered into a written retainer and hourly fee agreement that required Client to pay $5~000 that was not earned. The agreement further provided that Attorney would render monthly statements and withdraw her fees as billed. The agreement was silent as to whether the $5,000 advance was to be deposited in Attorney's Clients' Trust Account or in a general account. Attorney deposited the entire fund in her Clients' Trust Account, which also contained the funds of other persons that had been entrusted to Attorney. Thereafter, Attorney rendered monthly progress reports and statements for services to Client after services were rendered, showing the balance of the Client's fee advance. However, Attorney did not withdraw any of the $5,000 advance until one year later when the manner was concluded to Client's complete satisfaction. At that time, Attorney had billed Client reasonable legal fees of $4,500. Attorney wrote two checks on her Clients' Trust Account: one to herself for $4,500, which she deposited in her general office account, and one for $500 to Client. Was Attorney's conduct proper?
1. No, because Attorney required an advance payment against her fee.
2. Yes, because Attorney rendered periodic and accurate billings.
3. No, because Attorney's failure to withdraw her fees as billed resulted in an impermissible commingling of her funds and Client's funds.
4. Yes, because Attorney deposited the funds in her Clients' Trust Account.
Attorney Alpha, a member of the bar, placed a printed flyer in the booth of each artist exhibiting works at a county fair. The face of the flyer contained the following information: "1, Alpha, am an attorney, with offices in 800 Bank Building, telephone(555) 555-5555. I have a J.D. degree from State Law School and an M.A. degree in fine arts from State University. My practice including representing artists in negotiating contracts between artists and dealers and protecting artists' interesting. You can find me in the van parked at the fair entrance." All factual information on the face of the flyer was correct. There was a retainer agreement on the back of the flyer. At the entrance to the fair, Alpha parked a van with a sign that read "Alpha - Attorney at Law." For which, if any, of the following is Alpha subject to discipline? I Placing copies of the flier on the booth of each artist. II including a retainer agreement on the back of the flyer. III Parking the van with the sign on it at the fair entrance.
1. III only
2. I and II, but not III
3. I,II, and III
4. Neither I,II, nor III
Attorney Alpha and Beta had been political opponents. Alpha was elected to the state legislature after a bitter race in which Beta managed the campaign of Alpha's opponent. Alpha had publicly blamed Beta at that time for what Alpha reasonably believed were illegal and unethical campaign practices and later had publicly objected to Beta's appointment as a judge. Alpha represented Client in a widely publicized case tried in Judge Beta's court. At the conclusion of the trial, Beta ruled against Alpha's Client. Alpha then held a press conference and said, "All that you reporters have to do is check your files and you will know what I think about Judge Beta's character and fitness." Is Alpha subject to discipline for making this statement?
1. Yes, if Alpha's statement might lessen confidence in the legal system.
2. No, if Beta had equal access to the press.
3. No, because Alpha reasonably believed that the statements about Beta were true.
4. Yes, because Alpha's past accusations were unrelated to Beta's legal knowledge.
Judge, a judge in a criminal trial court of State, wishes to serve as guardian of her father, who has been declared incompetent. Accepting the responsibilities of the position would not interfere with the performance of Judge's official duties. Although the position in all likelihood would not involve contested litigation, it would be necessary for Judge to prepare and sign various pleadings, motions, and other papers and to appear in civil court on her father's behalf. Would it be proper for Judge to undertake this guardianship?
1. No, because the position will require Judge to appear in court.
2. Yes, unless Judge receives compensation for her services as guardian.
3. Yes, because the position involves a close family member and will not interfere with Judge's performance of her judicial duties.
4. No, because the position will require Judge to prepare and sign pleadings, motions, and other papers.
Client hired Attorney Alpha to file a lawsuit against Client's former employer, Corp, for wrongful discharge. Alpha filed the suit in federal district court based upon three grounds. It turned out that a unanimous U.S. Supreme Court decision had recently eliminated the third ground as a theory available to plaintiffs in wrongful discharge cases. Attorney Beta, who represents Corp, filed a motion alleging that the complaint was based upon a theory(the third ground) that is no longer supported by existing law and cited the new decision. Within ten days after the filing of the complaint. Alpha withdrew the third ground and continued with the litigation. Is Alpha subject to litigation sanction?
1. Yes, unless Alpha discussed the adverse legal authority with Client before filing the complaint.
2. No, unless Alpha knew or should have known of the recent decision when the complaint was filed.
3. Yes, because Alpha should have cited the US Supreme Court decision in the complaint.
4. No, because Alpha withdrew the third ground within ten days after filing the complaint.
Attorney, who represented Plaintiff, received a check from Deft payable to Attorney's order in the sum of $10,000 in settlement of plaintiff's claim against Deft. What may Attorney do? I. Endorse the check and send it to Plaintiff II. Deposit the check in Attorney's personal bank account and send Attorney's personal check for $10,000 to Plaintiff III Deposit the check in a Clients' Funds Account, advise Plaintiff, and forward a check drawn on that account to Plaintiff.
1. I only
2. I, II, and III
3. III only
4. Both I and III, but not II
Attorney Alpha is representing several claimants in an action against Defendant for injuries resulting from a multi-vehicle accident. Attorney beta, representing Defendant's insurance company, has offered to settle all the claims for $100,000, leaving it to Alpha to distribute the money among his clients as Alpha thinks proper under the circumstances. Under which of the following circumstances is it proper for Alpha to accept the offer of settlement? I At the time of his employment, Alpha obtained from each client an authorization to settle without further consultation. II The total sum is reasonable, and Alpha divides it equally among his clients. III All the clients are informed of each client's claim, the offered settlement, and Alpha's proposed distribution, and all agree.
1. III only
2. I only
3. Both I and III, but not II
4. II only
Which of the following arguments to a jury in a criminal case by a defense attorney is improper? I "I am confident that when you retire to the jury room, you will find my client innocent." II "There is not a shred of credible evidence upon which to find my client guilty." III "You must agree with me that witness A did not tell the truth."
1. II and III
2. I, II, and III
3. III only
4. I and II
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. No, if the title insurance company was acting to ensure the adequacy of the title it was insuring.
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. Yes, unless all parties are fully informed and consent.
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. No, unless B was first advised that the information could be used to his disadvantage.
3. Yes, because B was a co-defendant.
4. Yes, because B was not represented by counsel.
The legislature of State X has been forced to decrease funding to all state-supported agencies due to legislation that has reduced the level of taxation, thereby decreasing available state funds. Judge, the Chief Justice of the highest court of State X, has been informed that three of the ten support personnel employed by that court will have to be laid off due to decreased funding. The lay- offs are scheduled to be made on the basis of seniority, with the result that all of the affected employees are black. Judge believes that their termination will place the state in violation of federal affirmative action guidelines applicable to the state due to its acceptance of federal funds to promote certain judicial programs. Judge has contacted the state Attorney general and has asked for the appointment of special counsel to challenge the validity of the terminations. Is Judge's action proper?
1. No, because a judge has an obligation to respect and comply with the law in order to avoid the appearance of impropriety in his activities.
2. No, because a judge may not engage in the practice of law.
3. Yes, because a judge may engage in activities that are intended to improve the administration of justice.
4. Yes. but only it the decrease in funding in fact diminished the quality of the services provided by the legal system.
Attorney is a sole practitioner. She has employed Law Student, who has recently completed his second year of law school, as a summer clerk. Attorney has scheduled a vacation trip to Europe for two weeks. The day before she was to leave on the trip, Client called and requested that Attorney promptly prepare an irrevocable trust for the benefit of his minor son which will terminate when his son reaches age 25. Because she is unable to prepare it prior to her departure, Attorney outlined the provisions of the trust to Law Student and told him to prepare the instrument and supervise its execution. Is Attorney subject to discipline because of this conduct?
1. Yes, because she is aiding the unauthorized practice of law.
2. Yes, unless the trust faithfully carries out Client's wishes.
3. No, because a lawyer may delegate legal tasks to a non-lawyer if the lawyer is ultimately responsible for the product.
4. No, if Client is informed that Law Student is preparing the trust and consents to the procedure.
Lawyer and Client entered into an employment contract concerning Lawyer's compensation for handling Client's personal injury litigation. The agreement provides that: I Lawyer shall receive as compensation one-third of the amount recovered. II Lawyer shall have the right to settle the case in good faith without approval of Client. III Client may discharge Lawyer only after giving Lawyer 30 days notice of termination. Which of the provisions of the contract is(are) not proper?
1. III only
2. II and III
3. I, II, and III
4. II only
Attorney represented Baker in a claim involving a breach of Baker's employment contract. The case was settled without suit being filed. The proceeds of the settlement were paid directly to Baker, who subsequently paid Attorney in full for Attorney's fee and expenses. Thereafter' Attorney did no other work for Baker. Baker is now being audited by the internal Revenue Service(IRS). The IRS has asked Attorney for details of the settlement, including the amount claimed for each item of damage and the amounts paid for the items. Attorney reported the request to Baker who told Attorney not to provide the information to the IRS. Is it proper for Attorney to furnish the information to the IRS?
1. No, because Baker told Attorney not to provide the information.
2. Yes, because Attorney no longer represents Baker.
3. Yes, if the intonation does not involve Attorney's work product.
4. No, unless Attorney believes the disclosure would be beneficial to Baker.
Client has requested that Attorney bring suit against Defendant, a person intensely disliked by Client, on a valid claim on which the statute of limitations has expired. Is Attorney subject to discipline if she brings such a suit?
1. No, because the statute of limitations is an affirmative defense.
2. Yes, because Attorney is aware that Client's primary motive is to harass Defendant.
3. Yes, because Attorney should not bring a lawsuit unless there is a reasonable probability of success.
4. No,if Client insisted that she bring the action.
Attorney Alpha has been employed as an assistant prosecutor in the district attorney's office during the time that an investigation of Deft was being conducted by that office. Alpha took no part in the investigation and had no knowledge of the facts other than those disclosed in the press. Two months ago, Alpha left the district Attorney's office and formed a partnership with Attorney Beta. Last week, Deft was indicted for offenses allegedly disclosed by the prior investigation. Deft asked Alpha to represent him. Alpha declined to do so, but suggested Beta. Is Beta subject to discipline if Beta represents Deft?
1. Yes, unless the district Attorney's office is promptly notified and consents to the representation.
2. No, because Alpha had no responsibility for or knowledge of the facts of the investigation of Deft.
3. No, nless Alpha participates in the representation or shares in the fee.
4. Yes, because Alpha was employed in the district Attorney's office while the investigation of Deft was being conducted.
Attorney Alpha filed a personal injury suit on behalf of Plaintiff against Defendant, who was personally served with process. Alpha knows that Defendant is insured by Insco and that Attorney Beta has been retained by Insco to represent Defendant. No responsive pleading has been filed on behalf of Defendant, and the time for filing expired over ten days ago. Is Alpha subject to discipline if Alpha proceeds to have a default judgment entered?
1. Yes, because Alpha failed to extend professional courtesy to another lawyer.
2. No, because any judgment will be satisfied by Insco.
3. No, because Alpha is properly representing her client's interests.
4. Yes, because Alpha knew that Beta had been retained by Insco to represent Defendant.
Attorney has recently assumed the office of District Attorney. About a month prior to assuming office, the grand jury indicted Drifler for the rape of Mary Jones. In the past four years, Drifler 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 the witnesses before the grand jury manifested ill will toward Drifler.
2. Dismiss the indictment if she believes the jury will acquit Drifler.
3. Proceed with trial because a grand jury indictment was obtained.
4. Proceed with trial because there is credible evidence to support the charge.
Attorney and insurance Agent are good friends and members of the same golf club. Attorney specializes in complex estate planning and has a large group of clients. Insurance Agent specializes in the sale of large insurance policies for the purpose of paying estate taxes. Each is highly competent in her field. Attorney and insurance Agent entered into an agreement whereby Attorney would recommend insurance Agent exclusively when it was necessary for a client to buy life insurance in the implementation of an estate plan, and insurance Agent would recommend Attorney exclusively when it was necessary for one of her insurance clients to obtain estate planning services. Attorney retained all of the fees earned in her estate planning work and did not share them in any way with insurance Agent. Insurance Agent likewise retained all of the commissions earned in the sale of insurance. Has Attorney acted properly in entering into this arrangement?
1. Yes, because she did not improperly share her fees with a non-lawyer.
2. Yes, because she has not entered into a partnership with a non-lawyer in which she is engaged in the practice of law.
3. No, because she gave consideration to induce one to recommend her to perform legal services.
4. No, because an attorney may not enter into a business arrangement with a non-lawyer.
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. No, because she has a conflict of interest with her former client Tenans.
2. Yes, if she never received any confidential information from Tenans.
3. Yes, because she never established an Attorney-client relationship with Tenans.
4. No, because her role as an intermediary precludes her exclusive representation of either party with respect to the dispute.
Leaving an airport, Attorney, who primarily practices criminal law, shared a cab with Doctor, a medical doctor. The cab was involved in a collision, and Doctor was seriously injured, while Attorney was only shaken up. Attorney accompanied Doctor to the hospital in the ambulance. Doctor believed that she was dying and asked Attorney to prepare a simple will for her. Attorney told Doctor, "I have never prepared a will, but hope that I can remember the basics from law school." Attorney then complied with Doctor's request, Doctor signed the will, and the two paramedics in the ambulance signed as witnesses. Was it proper for Attorney to prepare the will?
1. No, unless Doctor waived Attorney's malpractice liability.
2. No, because Attorney did not have the skill required for the representation.
3. Yes, because Attorney provided legal services that were reasonably necessary under the circumstances.
4. Yes, unless Attorney omitted some required formality that rendered the will invalid.
Attorney Alpha, a sole practitioner, recently suffered a heart attack and was advised she could not return to work for six months. Alpha delivered all of her clients' files to Beta, who is also a sole practitioner. Beta agreed to review each client's file promptly, take any action necessary to protect each client's interests, and treat the information in the files as confidential. Alpha and Beta did not agree on the fees to be charged by Beta. Alpha then wrote to her clients, advising each client that the client's file had been delivered to Beta for review and for any action necessary to protect the client's interests, and that the client was free to select another lawyer. Alpha knows Beta is a competent attorney. Beta did not accept the file of any person whose interests were, or could be, adverse to the interests of any of Beta's clients. Was it proper for Alpha to deliver the files to Beta for review?
1. No, because Alpha's agreement with Beta did not specify the fees to be charged by Beta.
2. Yes, because Beta agreed to treat the information in the files as confidential.
3. Yes, because Alpha knows that Beta is competent to protect the clients' interests.
4. No, because Alpha did not obtain the prior consent of each client whose file was delivered to Beta.
Attorney represents Bank in its commercial loan transactions. Corp has applied to Bank for a loan of $900,000 to be secured by a lien on Corp's inventory. The inventory, consisting of small items, constantly turns over. The security documents are complex and if improperly drawn could result in an invalid lien. Bank has approved the loan on the condition that Attorney prepare the necessary security instruments and that Corp pay Attorney's fees. This arrangement is customary in the city in which Attorney's law office and Bank are located. It is obvious to Attorney that he can adequately represent the interests of both Corp and Bank. After Corp and Bank consulted with other lawyers, each consented in writing to the representation. Is it proper for Attorney to prepare the security documents under these circumstances?
1. Yes, because the arrangement is customary in the community.
2. Yes, because Bank and Corp have given their informed consent to the arrangement.
3. No, because Attorney's fees are being paid by Corp, not Bank.
4. No, because Corp and Bank have differing interests.
Attorney, representing Client, with Client's approval settled a claim against Defendant for $60,000. The settlement agreement provided that one-half would be paid by Insco, Defendant's primary insurance carrier, and one-half by Sureco, a co-insurer. Attorney's agreed fee was 30% of the amount of the settlement. Attorney received Insco's check for $30,000 and a letter from Sureco advising that its check would be sent in two weeks. Attorney promptly advised Client and deposited the $30,000 in her Client Trust Account. Client demanded that Attorney send him the entire $30,000 and take her fee out of the funds to be received from Sureco. Which of the following would now be Proper for Attorney? I Send Client $30,000 II Send Client $21,000 and retain $9,000 in her Client Trust Account III Send Client $21,000 and transfer $9,000 to her personal account
1. I and II, but not III
2. I, II, and III
3. I only
4. I and III, but not II
Three years ago. in a contested marriage dissolution proceeding, Father was awarded custody of the parties' child. Mother has recently remarried. On Mother's behalf Attorney Alpha has filed a motion requesting that the decree be modified and Mother be awarded custody of the child. A copy of the motion has been served on Father's lawyer of record. Judge is a newly appointed judge sitting in Domestic Relations Court to whom Mother's motion will be assigned for hearing. Attorney Alpha met Judge at a bar association meeting. Judge said to Alpha, "You have practiced heavily in the family law area for a long time. I want to do some reading in the custody area. Would you be willing to give me a list of the best writings on the subject?" Is it proper for Attorney Alpha to supply Judge with the requested list of writings on the subject of custody?
1. Yes, because the matter has not yet been assigned to Judge for hearing.
2. No,unless Alpha sends Father's lawyer of record a copy of the list and the cover letter to Judge.
3. No, because Alpha is not a disinterested expert.
4. Yes, if Alpha lists both articles that are favorable and articles that are unfavorable to Mother's position.
Attorney is a candidate for a judicial office that has been occupied by incumbent for six years. Attorney has conducted a thorough investigation of incumbent's personal and professional life. Assume all factual statements are accurate. Which of the following statements is it proper for Attorney to make during the campaign? I "Incumbent has been reversed by the appellate courts more than any other judge in the state during the preceding two years." II "Incumbent was publicly censured by the state Judicial Qualification Commission on one occasion for his overbearing conduct in court." III "Incumbent was given a poor rating for judicial temperament in a county bar association poll." IV ,'During the previous year, the average sentence in armed robbery cases tried in incumbent's court was 3.5 years, and in murder cases was 8.2 years. If I am elected, I won't be soft on crime."
1. I and II, but not III or IV
2. I, II, and IV, but not III
3. I, II, and III, but not IV
4. I only
Attorney Alpha is recognized as an expert in securities regulation law. Corp, a corporation, retained Alpha's law firm to quality Corp's stock for public sale. After accepting the matter, Alpha decided that he preferred to spend his time on cases with a larger fee potential, so he assigned responsibility for the Corp matter to Attorney Beta. an associate in Alpha's office who had recently been admitted to the bar. Beta protested to Alpha that he, Beta, knew nothing about securities regulation law and that he had too little time to prepare himself to handle the Corp matter competently without substantial help from Alpha. Alpha responded, "I don't have time to help you. Everyone has to start somewhere." Alpha directed Beta to proceed. Was Alpha's conduct proper in this material?
1. No, because Corp had not given Alpha permission to assign Beta to work on the matter.
2. Yes, because Alpha may withdraw from a case if work on it would cause him unreasonable financial hardship.
3. No, because Alpha knew Beta was not competent to handle the matter, and Alpha failed to provide supervision adequate to protect the client's interest.
4. Yes, because as a member of the bar, Beta is licensed to handle any legal matter.
Attorney was retained to represent Client in an effort to recover damages for Client arising out of an automobile collision in State X in which Client sustained minor property damage. In State X, contributory negligence, rather than comparative negligence. is the existing law. The other party to the collision was Utility Company, a corporation Client intensely disliked as a result of several utility bill disputes over a period of years. Client told Attorney, "I hate that outfit. I want you to take this case to court and wring every penny out of them that you can." Attorney filed suit against Utility Company. Utility Company's lawyer requested a meeting with Attorney to discuss settlement. Attorney refused and pushed the claim to early trial. Was Attorney's action in refusing to discuss settlement with Utility Company's attorney proper?
1. No, because it was unreasonable to refuse to discuss settlement.
2. Yes, because no insurance company was involved.
3. Yes, if Attorney followed Client's instructions
4. No,if the refusal to discuss settlement was solely to harass Utility Company.

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