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[PMBR 03-1] State does not require lawyers to participate in continuing legal education courses. Attorney's Alpha, Beta, and Gamma, all lawyers recently admitted to practice, formed a law partnership in State. As they considered what expenses the partnership would pay on behalf of each lawyer, a majority decided that the firm would not pay for continuing legal education courses since they were not required by State. Gamma, who wanted reimbursement for continuing legal education courses, angrily said, "Fine. I won't attend any continuing legal education courses." Is it proper for Gamma to refuse to attend any continuing legal education courses?
1. Yes, unless the state offers free continuing legal education courses.
2. No, because Gamma cannot maintain competence without attending continuing legal education courses.
3. Yes, if Gamma independently undertakes continuing study and education in the law.
4. No, unless Gamma obtains malpractice insurance.
Client, a new client of Attorney, has asked Attorney to write a letter recommending Client's nephew for admission to the bar. Client has told Attorney that he has no direct contact with the nephew, but that Client's sister (the nephew's mother) has assured Client that the nephew is industrious and honest. Which of the following would be proper for Attorney? I. Write the letter on the basis of Client's assurance. II. Write the letter on the basis of Client's assurance if Attorney has no unfavorable information about the nephew. III. Make an independent investigation and write the letter only if Attorney is thereafter satisfied that the nephew is qualified.
1. I and II, but not III
2. I, II, and lII
3. I and III, but not II
4. III only
Alpha is a member of the bar in State First and is also licensed as a stockbroker in State Second. In his application for renewal of his stockbroker's license in State Second, Alpha knowingly filed a false financial statement. Is Alpha subject to discipline in State First for so doing?
1. Yes, but only if he is first convicted of a criminal offense in State Second.
2. No, because his action was not in his capacity as an attorney.
3. No, because his action was not in State First.
4. Yes, because his actions involve dishonesty or misrepresentation.
Attorney is a sole practitioner whose practice is largely in the areas of tax, wills, 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 represented Testatrix since she drafted the will. Is Attorney subject to discipline if she calls Testatrix and advises her of the new IRS ruling and the need to revise the will?
1. No, provided Attorney does not thereafter prepare a new will for Testatrix.
2. Yes, because Attorney would be soliciting legal business from a person who is not a current client.
3. Yes, if Attorney has any reason to believe that Testatrix has another lawyer.
4. No, because Testatrix is a former client of Attorney.
Deft retained Attorney to appeal Deft's criminal conviction and to seek bail pending appeal. The agreed upon fee for the appearance on the bail hearing was $50 per hour. Attorney received $800 from Deft of which $300 was a deposit to secure Attorney's fee and $500 was for bail costs in the event that bail was obtained. Attorney maintained two office bank accounts: a "Fee Account," in which all fees were deposited and from which all office expenses were paid, and a "Clients' Fund Account." Attorney deposited the $800 in the "Clients' Fund Account" the week before the bail heating. Attorney expended six hours of time on the bail hearing. The effort to obtain bail was unsuccessful. Dissatisfied, Deft immediately demanded return of the $800. It is now proper for Attorney to:
1. transfer $300 to the "Fee Account" and leave $500 in the "Clients' Fund Account" until Attorney's fee for the final appeal is determined.
2. transfer the $800 to the "Fee Account."
3. send Deft a $500 check and leave $300 in the "Clients' Fund Account" until the matter is resolved with Deft.
4. transfer $300 to the "Fee Account" and send Deft a $500 check on the "Clients' Fund Account."
Judge Alpha has been assigned to try a criminal prosecution by State against Deft. Ten years prior, Alpha, while serving as a deputy attorney general in State, initiated an investigation of Deft for suspected criminal conduct. The investigation did not establish any basis for prosecution. None of the matters previously investigated is involved in or affects the present prosecution. Is it proper for Judge Alpha to try the case?
1. No, if Alpha had substantial responsibility in initiating the previous investigation of Deft.
2. Yes, unless Alpha might be prejudiced against Deft because of the prior investigation.
3. Yes, because none of the matters previously investigated is involved in or affects the present case.
4. No, if Alpha had substantial responsibility in determining that the previous investigation did not establish any basis for prosecution.
Attorney represented Landlord in a variety of matters over several years. Plaint, an elderly widow living on public assistance, filed suit against Landlord alleging that Landlord withheld, without justification, the security deposit on a rental unit that Plaint vacated three years ago. She brought the action for herself, without counsel, in small claims court. Attorney investigated the claim and learned that it was legally barred by the applicable statute of limitations, although Plaint's underlying claim was meritorious. Attorney told Landlord of the legal defense, but emphasized that Plaintiffs claim was just and that, in all fairness, the security deposit should be returned to Plaint. Attorney told Landlord: "I strongly recommend that you pay Plaint the full amount with interest. It is against your long-term business interests to be known in the community as a landlord who routinely withholds security deposits even though the tenant leaves the apartment in good condition. Paying the claim now will prevent future headaches for you." Was Attorney's conduct proper?
1. Yes, if Landlord did not object to Attorney's advice and paid Plaint's claim.
2. No, unless Attorney's engagement letter informed Landlord that Attorney's advice on the matter would include both legal and non-legal considerations.
3. No, because in advising Landlord to pay the full claim, Attorney failed to represent zealously Landlord's legal interests.
4. Yes, because Attorney may refer to both legal and non-legal considerations in advising a client.
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, trusts, estates, and taxes, which Bank sends to all of its customers. The newsletter contains a recommendation to the customer to review his or her will in light of the information contained and, if the customer has any questions, to bring the will to 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. Yes, because Attorney is giving legal advice to persons who are not his clients.
2. No, because Attorney is a member of the bar.
3. Yes, because Attorney is aiding Bank in the unauthorized practice of law.
4. No, because no charge is made for Attorney's advice.
Alpha & Beta is a large firm that employs over I00 lawyers. Attorney Gamma was recently admitted to practice and was hired as a new associate of Alpha & Beta. Gamma was working late one night when he received a telephone call from his cousin Able. Able said that he was calling from the police station where he had just been arrested for possession of cocaine with intent to distribute. He was permitted to make only one phone call and Gamma was the only lawyer he knew. Gamma responded that he had no criminal law experience and that Alpha & Beta did not handle criminal cases. Nevertheless, Able pleaded with Gamma to come to the police station and see what he could do to get Able out on bail. Gamma replied that he would do what he could. Gamma went to the police station and using what information he recalled from his criminal law and procedure courses attempted to get Able released on bail. However, as a result of his inexperience, Gamma was unable to secure Able's release that night. The next morning, Gamma found an experienced criminal lawyer for Able, who obtained Able's release within one hour. Was Gamma's conduct proper?
1. No, because Gamma did not have the requisite level of competence to accept representation in the case.
2. Yes, because neither referral nor consultation was practical under the circumstances.
3. Yes, because Gamma was a close relative of Able.
4. No, because Gamma had no special training or experience in criminal cases.
Attorney wants to make it easier for her clients to pay their bills for her fees. Which of the following would be proper for Attorney? I. Accept bank credit cards in payment of Attorney's fees. II. Arrange for clients to obtain bank loans for the purpose of paying Attorney's fees. III. If a case is interesting, suggest that the client give~ Attorney publication rights concerning the case as partial payment of the fee.
1. II only
2. Neither I, II, nor III
3. I, II, and III
4. I and II, but not III
Attorney practices law in a state that has experienced a business recession and where several banks have failed and others are severely pressed to preserve their solvency. Attorney maintains a Clients' Trust Account in Bank and that account is insured by the Federal Deposit Insurance Corporation against losses up to $100,000. Attorney also maintains his regular office account in the same bank and that account is insured to $100,000. During a particularly busy time, Attorney's bookkeeper told Attorney that the balance in the Clients' Trust Account had increased to $150,000. The bookkeeper noted that the office account had a balance of $30,000. Which of the following courses of action by Attorney would be proper? I. Leave the Clients' Trust Account as is if the balance is likely to decrease to less than $100,000 within the next ten days. II. Open another Clients' Trust Account in another bank and transfer some funds to the second Clients' Trust Account to maintain a fully insured balance in both accounts. III. Temporarily transfer $50,000 from the Clients' Trust Account to the office account so the balance in both accounts is fully within insured limits.
1. I only
2. II and/II, but not I
3. II only
4. I and II, but not III
Law Firm, a professional corporation with five lawyer shareholders, employs twenty-five additional lawyers. Which of the following is (are) proper? I. Employees who are members of the bar are not made shareholders until they have been with Law Firm ten years. 1I. Manager, who is the office manager but not a member of the bar, is executive vice president of Law Firm. III. Widow, whose husband was a lawyer shareholder in Law Firm until his death two years ago, continues to hold husband's shares in Law Firm, distributed in his estate, until their child completes a law school education.
1. I, II, and III
2. I and II, but not III
3. I and III, but not II
4. I only
Attorney, who was recently admitted to the bar, has been appointed by the court as counsel for Deft, an indigent defendant charged with a felony. After consulting with Deft and attempting for two days to prepare the case for trial, Attorney became convinced that he lacked the knowledge and experience to represent Deft effectively. Which of the following would be proper for Attorney? I. Request permission of the court to withdraw from representing Deft because Attorney knows that he is not competent to handle the case. II. Request the court to appoint experienced co-counsel and grant a continuance to enable co-counsel to prepare the case. III. Explain the circumstances to Deft and, if Deft consents, proceed to represent Deft alone to the best of Attorney's ability.
1. I, II, and III
2. I only
3. II and III, but not I
4. I and II, but not III
While an assistant district attorney, Attorney Alpha was in charge of the presentation before a grand jury of evidence that led to an indictment charging thirty-two defendants with conspiracy to sell controlled drugs. Shortly after the grand jury returned the indictments, Alpha resigned as assistant district attorney and became an associate in the law office of Attorney Beta, a sole practitioner. At the time of such association, Beta was the attorney for Deft, one of the indicted co-defendants. Is it proper for Attorney Beta to continue to represent Deft?
1. Yes, if Alpha does not reveal to Beta any confidence or secret leaned while an assistant district attorney.
2. Yes, because a public prosecutor must make timely disclosure to the defense attorney of any exculpatory evidence.
3. No, unless Alpha agrees not to participate in the representation of Deft.
4. No, because Alpha had substantial responsibility for the indictment of Deft.
Attorney filed an action on behalf of Client for breach of contract. In fact, Client had no legal basis for the suit, but wanted to harass Defendant. In order to induce Attorney to file the action, Client made certain false statements of material fact to Attorney, which Attorney included in the complaint filed against Defendant. At the trial of the case, Client took the stand and testified as set forth in the complaint. The trial court ordered judgment for Client. After entry of judgment, Client wrote Attorney a letter marked "Confidential," in which Client admitted that she had lied to Attorney and had testified falsely in the case. Upon complaint of Defendant, who claimed Attorney had knowingly used f31sc testimony in the case of Client v. Defendant, disciplinary proceedings were instituted against Attorney. Is it proper for Attorney to use Client's letter to Attorney in Attorney's defense in the disciplinary proceedings?
1. No, if disclosure by Attorney could result in Client's prosecution for perjury.
2. Yes, if it is necessary to do so in order to protect Attorney's rights.
3. Yes, because Client had committed a fraud on the court in which the case was tried.
4. No, because Attorney learned the facts from Client in confidence.
Judge is presently serving on a state intermediate appellate court. This court, in opinions written by her, has decided several controversial cases in which the court has held that the Fourteenth Amendment to the United States Constitution does not guarantee due process protection to state prison inmates who are disciplined by prison authorities for violating the prison's rules of conduct. Judge is now a candidate for election to a vacancy on the state supreme court. She is vigorously opposed by several organizations concerned with the conditions under which prisoners are incarcerated in the state's prison. Judge is scheduled to be interviewed on television and has been informed that questions will be asked of her concerning those decisions and her attitude on the subject of prisoners' rights. Which of the following is it proper for Judge to say during the interview? I. "I believe that the issues raised by the organizations opposing me are appropriate matters for legislative consideration." II. "In my opinion, incarceration for the commission of a crime carries with it a loss of civil liberties in prison discipline proceedings." III. "I am convinced I was right in those eases and will make the same decision in similar cases in the future."
1. I, II, and III
2. II only
3. I and II, but not III
4. I only
Assume the claim has not been settled and Claimant consults Attorney and asks Attorney either to represent him or refer him to another lawyer for suit on the claim. Which of the following would be proper for Attorney to do? I. Refuse to discuss the matter with Claimant. II. Represent Claimant. III. Refer Claimant to an associate in her law firm, provided Attorney does not share in any fee. IV. Give Claimant a list of lawyers who Attorney knows are competent and specialize in such claims.
1. I and II, but not III or IV
2. I only
3. I and IV, but not II or iii
4. I and III, but not II or IV
Attorney was formerly employed by Insurance Company as a lawyer solely to handle fire insurance claims. While so employed she investigated a fire loss claim of Claimant against Insurance Company. Attorney is now in private practice. Assume that the original claim was settled. One year after Attorney left the employ of Insurance Company, Claimant slipped and fell in Insurance Company's office. Claimant now asks Attorney to represent him or refer him to another lawyer for suit on the "slip and fall" claim. Which of the following would be proper for Attorney to do? I. Refuse to discuss the matter with Claimant. II. Represent Claimant. III. Give Claimant a list of lawyers who Attorney knows are competent and specialize in such claims.
1. I and II, but not III
2. I only
3. I and III, but not II
4. I, II, and III
Client has retained Attorney to represent Client in a contract suit. Attorney's retainer agreement provided that Attorney's fees would be based on a fixed hourly rate, payable at the end of each calendar month. Two months before trial, Client fell behind in the payment of Attorney's monthly billing for fees. Attorney included the following statement on Attorney's last billing to Client: "Your account is more than thirty days past due. If amounts due are not paid promptly in accordance with our agreement, I will terminate the representation. If you cannot pay the amount due, I will accept an assignment of your cause of action as security for your fee to me." Two weeks after the last billing, Attorney telephoned Client and told Client that Attorney would withdraw from representing Client if the bill was not paid within forty-eight hours or adequate security given for its payment. If the bill remains unpaid or unsecured after forty-eight hours, it would be proper for Attorney to: I. Upon notice to Client, move the court for permission to withdraw. II. Turn Client's file over to another experienced lawyer in town and notify Client that Attorney no longer represents Client. III. Accept an assignment of Client's cause of action as security for Attorney's fee.
1. I and II, but not 1II
2. I, II, and 11I
3. I only
4. II only
Attorney's advertisement in the local newspaper includes the following information, all of which is tree: I. Attorney, B.A., magna cum laude, Eastern College; J.D., summa cum laude, State Law School; LL.M., Eastern Law School. II. My offices are open Monday through Friday from 9:00 a.m. to 5:00 p.m., but you may call my answering service twenty-four hours a day, seven days a week. III. I speak modem Greek fluently. For which, if any, of these statements is Attorney subject to discipline?
1. I, II, and III
2. Neither I, II, nor III
3. I and II, but not III
4. III only
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 one-week 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 a proper 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. II and III, but not I
2. I only
3. I and II, but not III
4. I, I1, and II
The law firm of Alpha and Beta has a radio commercial that states: "Do you have a legal problem? Are you being sued? Consult Alpha and Beta, licensed attorneys at law. Initial conference charge is $25 for one hour. Act now and protect your interests. Call at 1234 Main Street; telephone area code (101 ) 123-4567. Are Alpha and Beta subject to discipline for the commercial?
1. Yes, because the radio broadcast may encourage litigation.
2. Yes, because the qualifications of the lawyers are not stated.
3. No, if all the statements in the radio broadcast are true.
4. No, unless the radio broadcast is heard outside the state in which they are licensed.
Attorney Alpha represents Client, the plaintiff in a medical malpractice case. Alpha's contract with Client provides for a contingent fee of 20�,4 of the recovery by settlement and 30% if the case is tried, with a total fee not to exceed $50,000. Alpha associated with Attorney Beta, a sole practitioner, in the case, with Client's written consent and after full disclosure of the fee agreement between Alpha and Beta. Beta is both a medical doctor and a lawyer and is well qualified by experience and training to try medical malpractice cases. The fee agreement between Alpha and Beta reads as follows: "The total fee in this case is 20% of recovery by settlement and 30%, if tried, with a maximum fee of $50,000. Alpha will help with discovery and will be the liaison person with Client. Beta will prepare the case and try it if it is not settled. Alpha and Beta will divide the fee, 40% to Alpha and 60% to Beta." Are Alpha and Beta subject to discipline for their agreement for division of the fee?
1. Yes, unless Client's consent is in writing.
2. No, if the division of the fee between Alpha and Beta is in proportion to actual work done by each.
3. No, because the total fee does not differ from that contracted for by Alpha with Client.
4. Yes, because Alpha will not try the case.
Attorney Alpha was retained by Client to incorporate Client's business, which previously had been operated as a sole proprietorship. Alpha noticed in Client's file copies of some correspondence from Client to Attorney Beta concerning the possibility of Beta's incorporating Client's business. Alpha questioned Client to make certain that any attorney-client relationship between Beta and Client had been terminated. Client told Alpha, "It certainly has been terminated. When I discussed the matter with Beta six months ago he asked for a retainer of $1,000, which I paid him. He did absolutely nothing after he got the money, even though I called him weekly, and finally, last week when I again complained, he returned the retainer. But don't say anything about it because Beta is an old friend of my family." Is Alpha subject to discipline if she does not report her knowledge of Beta's conduct to the appropriate authority?
1. No, if Client was satisfied by Beta's return of the retainer.
2. No, unless Client agrees that Alpha may report the information.
3. Yes, if Alpha believes Beta clearly was guilty of professional misconduct.
4. Yes, unless Alpha believes Beta does not usually neglect matters entrusted to him.
Alpha & Beta, a general partnership, is a litigation firm practicing in State, it hires new law school graduates as associates. These new lawyers are largely left to their own resources to practice law. The law firm accepts many small litigation matters and assigns them to the associates for training purposes. No senior partners are assigned to supervise this work. It is assumed that if an associate needs help on a case, he or she will seek the guidance of a more senior attorney. Client retained Alpha & Beta to pursue a claim for breach of contract against City. Associate, a first year associate, was assigned Client's case. Associate failed to comply with the applicable 30-day notice requirement for filing a complaint against City, and Client lost the chance to recover $5,000 owed to Client by City. When the complaint was dismissed for failure to comply with the notice requirement, Associate instead told Client that the case was dismissed on the merits. Which of the following statements are correct? I. The law firm of Alpha 8: Beta is subject to discipline for failure to supervise Associate. II. The individual partners of Alpha & Beta are subject to discipline for failure to make reasonable efforts to establish a system providing reasonable assurance that all lawyers in the firm comply with the roles of professional conduct. III. Associate, an unsupervised subordinate lawyer, is subject to discipline for making misrepresentations to Client. IV. Both the law firm of Alpha & Beta and Associate are subject to civil liability for Client's loss.
1. I, III, and IV, but not II
2. II and IV, but not I or III
3. II, III, and IV, but not I
4. I, II, III, and IV
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. Plaintiff had previously paid Attorney a fee so no part of the $I0,000 was owed to Attorney. Which of the following would be proper? 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. Ill. Deposit the check in a Clients' Trust Account, advise Plaintiff, and forward a check drawn on that account to Plaintiff.
1. I only
2. I and III, but not II
3. III only
4. I, II, and III
Attorney Alpha has tried many contested cases before Judge Gamma. Alpha believes the judge is lacking both in knowledge of the law and in good judgment and that Attorney Beta would make an excellent judge. Alpha wishes to defeat Judge Gamma and assist Beta in getting elected. Alpha intends to contribute $5,000 to Beta's campaign. Is it proper for Alpha to do so?
1. No, because Alpha is practicing before the court to which Beta seeks election.
2. Yes, if Alpha�s contribution to Beta is made anonymously.
3. Yes, Alpha may give $5,000 to Beta personally for his campaign.
4. No, unless Alpha gives the $5,000 to a committee formed to further Beta's election.
Attorney represented Seller in negotiating the sale of his ice cream parlor. Seller told Attorney in confidence that, although the business was once very profitable, recent profits have been stable but modest. As the negotiations proceeded, Buyer appeared to be losing interest in the deal. Hoping to restore Buyer's interest, Attorney stated, "The ice cream business is every American's dream: happy kids, steady profits, and a clear conscience." Buyer bought the ice cream parlor but was disappointed when his own profits proved to be modest. Is Attorney subject to discipline?
1. Yes, because Attorney exaggerated the profitability of the business.
2. No, because Attorney represented Seller, not Buyer.
3. No, because Attorney's statement constitutes acceptable puffing in negotiations.
4. Yes, because Attorney made a false statement of fact to Buyer.
Attorney Alpha was retained by Passenger, a passenger on a bus, who had been injured in a collision between the bus and a truck. Passenger paid Alpha a retainer of $1,000 and agreed further that Alpha should have a fee of 25% of any recovery before filing suit, 30% of any recovery after suit was filed but before judgment, and 35% of any recovery after trial and judgment. Alpha promptly called the lawyer for the bus company and told him she was representing Passenger and would like to talk about a settlement. Alpha made an appointment to talk to the lawyer for the bus company but did not keep the appointment. Alpha continued to put off talking to the lawyer for the bus company. Meanwhile, Passenger became concerned because she had heard nothing from Alpha. Passenger called Alpha's office but was told Alpha was not in and would not call back. Passenger was told not to worry because Alpha would look after her interests. After ten months had passed, Passenger went to Attorney Beta for advice. Beta advised Passenger that the statute of limitations would run in one week and, with Passenger's consent, immediately filed suit for Passenger. Alpha, upon Passenger's demand, refunded the $1,000 Passenger had paid. Is Alpha subject to discipline?
1. Yes, unless Alpha's time was completely occupied with work for other clients.
2. No, because Alpha returned the $1,000 retainer to Passenger.
3. Yes, because Alpha neglected the representation of Passenger.
4. No, because Passenger's suit was filed before the statute of limitations ran.
Attorney Alpha filed a personal injury suit on behalf of Plaintiff against Defendant. Defendant 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 knew that Beta had been retained by Insco to represent Defendant.
2. No, because any judgment will be satisfied by Insco.
3. Yes, because Alpha failed to extend professional courtesy to another lawyer.
4. No, because Alpha is properly representing her client's interests.
Attorney is a candidate in a contested election for judicial office. Her opponent, Judge, is the incumbent and has occupied the bench for many years. The director of the state commission on judicial conduct, upon inquiry by Attorney, erroneously told Attorney that Judge had been reprimanded by the commission for misconduct in office. Attorney, who had confidence in the director, believed him. in fact, Judge had not been reprimanded by the commission; the commission had conducted hearings on Judge's alleged misconduct in office and, by a three to two vote, declined to reprimand Judge. Decisions of the commission, including reprimands, are not confidential. Is Attorney subject to discipline for publicly stating that Judge had been reprimanded for misconduct?
1. Yes, because Judge had not been reprimanded.
2. Yes, because the official records of the commission would have disclosed the truth.
3. No, because Attorney reasonably relied on the director's information.
4. No, because Judge was a candidate in a contested election.
Attorney is a we/l-known, highly skilled litigator. Attorney's practice is in an area of law in which the trial proceedings are heard by the court without a jury. In an interview with a prospective client, Attorney said, "I make certain that I give the campaign committee of every candidate for elective judicial office more money than any other lawyer gives, whether it's $500 or $5,000. Judges know who helped them get elected." The prospective client did not retain Attorney. Is Attorney subject to discipline?
1. No, if Attorney's statements were true.
2. Yes, because Attorney implied that Attorney receives favored treatment by judges.
3. Yes, if Attorney's contributions are made without consideration of candidates' merits.
4. No, because the prospective client did not retain Attorney.
Judge is presiding in a case that has, as its main issue, a complicated point of commercial law. The lawyers have not presented the case to Judge's satisfaction, and Judge believes she needs additional legal advice. Judge's former partner in law practice, Attorney, is an expert in the field of law that is at issue. Attorney has no interest in the case. Is it proper for Judge to consult Attorney?
1. Yes, because Attorney has no interest in the case.
2. No, unless Judge informs the parties of Attorney's identity and the substance of Attorney's advice, and asks for their responses.
3. No, unless all parties in the case first give their written consent to Judge's consultation with Attorney.
4. Yes, if Judge believes that Attorney's advice is needed to serve the interests of justice.
After both parties had completed the presentation of evidence and arguments, Judge took under advisement a case tried in Judge's court without a jury in which Attorney had represented Plaintiff. The case involved a difficult fact issue of causation and a difficult issue of law. After the case was under advisement for several weeks, Attorney heard rumors that Judge was having difficulty determining the issue of factual causation and was uncertain about the applicable law. Immediately after heating these rumors, Attorney telephoned Judge, told Judge of the rumors Attorney had heard, and asked if Judge would like to reopen the case for additional evidence and briefing from both parties. Thereafter Judge reopened the case for further testimony and requested supplementary briefs from both parties. Was it proper for Attorney to communicate with Judge?
1. Yes, because Attorney did not make any suggestion as to how Judge should decide the matter.
2. No, because Attorney communicated with Judge on a pending matter without advising opposing counsel.
3. No, because Attorney caused Judge to reopen a case that had been taken under advisement.
4. Yes, because both parties were given full opportunity to present their views on the issues in the case.
Trustco, a trust company, entered into the following arrangement with Attorney, a lawyer newly admitted to the bar. Trustco would provide Attorney with free office space in the building in which Trustco had its offices. If a customer of Trustco contacted Trustco about a will, an officer of Trustco, who is not a lawyer, would advise the customer and help the customer work out the details of the will. The customer would be informed that the necessary documents would be prepared by Trustco's staff. The completed documents would be submitted by an officer of Trustco to the customer for execution. Attorney, in accordance with a memorandum from Trustco's trust officer detailing the plan, would prepare the necessary documents. Attorney would never meet with the customer and would not charge the customer for these services. Attorney would be free to engage in private practice, subject only to the limitation that Attorney could not accept employment adverse to Trustco. Is Attorney subject to discipline for entering into the arrangement with Trustco?
1. No, because Attorney is not charging the customer for his services.
2. No, because Attorney is not giving advice to Trustco's customers.
3. Yes, because Attorney is restricting his right to practice.
4. Yes, because Attorney is aiding Trustco in the practice of law.
Attorney represented Husband and Wife in the purchase of a business financed by contributions from their respective separate funds. The business was jointly operated by Husband and Wife after acquisition. After several years, a dispute arose over the management of the business. Husband and Wife sought Attorney's advice, and the matter was settled on the basis of an agreement drawn by Attorney and signed by Husband and Wife. Later, Wife asked Attorney to represent her in litigation against Husband based on the claim that Husband was guilty of fraud and misrepresentation in the negotiations for the prior settlement agreement. Is it proper for Attorney to represent Wife in this matter?
1. No, unless Husband is now represented by independent counsel.
2. Yes, if all information relevant to the litigation was received by Attorney in the presence of both Husband and Wife.
3. Yes, if there is reason to believe Husband misled both Wife and Attorney at the time of the prior agreement.
4. No, because Attorney had previously acted for both parties in reaching the agreement now in dispute.
Alpha and Beta are members of the bar in the same community but have never practiced together. Beta is a candidate in a contested election for judicial office. Beta is opposed by Delta, another lawyer in the community. Alpha believes Beta is better qualified than Delta for the judiciary and is supporting Beta's candidacy. Which of the following would be proper for Alpha.'? I. Solicit public endorsements for Beta's candidacy by other attorneys in the community who know Beta, including those who are likely to appear before Beta if Beta becomes a judge. II. Solicit contributions to Beta's campaign committee from other attorneys in the community, including those who are likely to appear before Beta if Beta becomes a judge. III. Publicly oppose the candidacy of Delta.
1. I and II, but not III
2. I, II, and III
3. l only
4. I and III, but not II
Attorney advertises on the local television station. In the advertisements, a professional actor says: "Do you need a lawyer? Call Attorney, her telephone number is 555-555-5555. Her fees might be lower than you think." Attorney approved the prerecorded advertisement and is keeping in her office files a copy of the recording of the actual transmission and a record of when each transmission was made. Is the advertisement proper?
1. No, unless Attorney's fees are lower than those generally charged in the area where she practices.
2. No, if she makes a charge for the initial consultation.
3. No, because she used a professional actor for the television advertisement.
4. Yes.
Deft, who has been indicted for auto theft, is represented by Attorney. Prosecutor reasonably believes that Deft committed the offense, but, because of Deft's youth, it is in the interest of justice to permit Deft to plead guilty to the lesser offense of �joy-riding' in return for an agreement by Prosecutor to recommend probation. Prosecutor has so advised Attorney, but Attorney told Prosecutor she would not plea-bargain and would insist on a jury trial. Attorney informed Deft of Prosecutor's offer and advised Deft not to accept it. Deft followed Attorney's advice. Attorney is a candidate for public office, and Prosecutor suspects that Attorney is insisting on a trial of the case to secure publicity for herself. Which of the following would be proper for Prosecutor? I. Send a member of his staff who is not a lawyer to consult with Deft, II. Move the trial court to dismiss the indictment and accept a new complaint charging the offense of �joy-riding.' III. Proceed to trial on the indictment and prosecute the case vigorously.
1. II only
2. II and III, but not I
3. III only
4. I and II, but not Iii
Deft, who has been indicted for auto theft, is represented by Attorney. Prosecutor reasonably believes that Deft committed the offense, but, because of Deft�s youth, it is in the interest of justice to permit Deft to plead guilty to the lesser offense of �joy-riding' in return for an agreement by Prosecutor to recommend probation. Prosecutor has so advised Attorney, but Attorney told Prosecutor she would not plea-bargain and would insist on a jury trial. Attorney informed Deft of Prosecutor's offer and advised Deft not to accept it. Deft followed Attorney's advice. Attorney is a candidate for public office, and Prosecutor suspects that Attorney is insisting on a trial of the case to secure publicity for herself. Assume for the purposes of this question ONLY that Deft was tried, convicted, and sentenced to prison for two years. Must Prosecutor report to the disciplinary authority his suspicions about Attorney's conduct of the case?
1. No, if Attorney zealously and competently represented Deft at the trial.
2. Yes, if Attorney in fact received widespread publicity as a result of the trial.
3. Yes, because Deft suffered a detriment from Attorney's refusal to plea bargain.
4. No, unless Prosecutor has knowledge that Attorney's refusal to plea bargain was due to personal motives.
Driver consulted Attorney and asked Attorney to represent Driver, who was being prosecuted for driving while intoxicated in a jurisdiction in which there is an increased penalty for a second offense. Driver told Attorney that his driver's license had been obtained under an assumed name because his prior license had been suspended for driving while under the influence of alcohol. Driver asked Attorney not to disclose Driver's true name during the course of the representation and told Attorney that, if called as a witness, he would give his assumed name. Attorney informed Driver that, in order properly to defend the case, Attorney must call Driver as a witness. Attorney called Driver as a witness and, in response to Attorney's question "what is your name?" Driver gave his assumed name and not his true name. Is Attorney subject to discipline?
1. Yes, if Driver committed a felony when he obtained the driver's license under an assumed name.
2. No, unless Driver's true name is an issue in the proceeding.
3. No, because Attorney's knowledge of Driver's true name was obtained during the course of representation.
4. Yes, because Attorney knowingly used false testimony.
Attorney represents Client, a plaintiff in a personal injury action. Wit was an eyewitness to the accident. Wit lives about 500 miles distant from the city where the case will be tried. Attorney interviewed Wit and determined that Wit's testimony would be favorable for Client. Wit asked Attorney to pay Wit, in addition to the statutory witness fees while attending the trial, the following: I. Reimbursement for actual travel expenses while attending the trial. II. Reimbursement for lost wages white present at the trial. III. An amount equal to 5% of any recovery in the matter. If Attorney agrees to pay Wit the above, for which, if any, is Attorney subject to discipline?
1. I, II, and Iii
2. III only
3. Neither I, II, nor III
4. II and III, but not I
Judge is a judge of the trial court in City. Judge has served for many years as a director of a charitable organization that maintains a camp for disadvantaged children. The organization has never been involved in litigation. Judge has not received any compensation for her services. The charity has decided to sponsor a public testimonial dinner in Judge's honor. As part of the. occasion, the local bar association intends to commission and present to Judge her portrait at a cost of $4,000. The money to pay for the portrait will come from a "public testimonial fund" that will be raised by the City Bar Association from contributions of lawyers who are members of the association and who practice in the courts of City. Is it proper for Judge to accept the girl of the portrait?
1. Yes, because Judge did not receive compensation for her services to the charitable organization.
2. No, because the funds for the girl are contributed by lawyers who practice in the courts of City.
3. Yes, because the girl is incident to a public testimonial for Judge.
4. No, because the cost of the girl exceeds $1,000.
Attorney, who had represented Testator for many years, prepared Testator's will and acted as one of the two subscribing witnesses to its execution. The will gave 10% of Testator's estate to Testator's housekeeper, 10% to Testator's son and sole heir, Son, and the residue to charity. Upon Testator's death one year later, Executor, the executor named in the will, asked Attorney to represent him in probating the will and administering the estate. At that time Executor informed Attorney that Son had notified him that he would contest the probate of the will on the grounds that Testator lacked the required mental capacity at the time the will was executed. Attorney believes that Testator was fully competent at all times and will so testify, if called as a witness. The other subscribing witness to Testator's will predeceased Testator. Is it proper for Attorney to represent Executor in the probate of the will?
1. Yes, because Attorney is the sole surviving witness to the execution of the will.
2. No, because Attorney will be representing an interest adverse to Testator's heir at law.
3. No, because Attorney will be called to testify on a contested issue of fact.
4. Yes, because Attorney's testimony will support the validity of the will.
Attorney represented Buyer in a real estate transaction. Due to Attorney's negligence in drafting the purchase agreement, Buyer was required to pay for a survey that should have been paid by Seller, the other party to the transaction. Attorney fully disclosed this negligence to Buyer, and Buyer suggested that he would be satisfied if Attorney simply reimbursed Buyer for the entire cost of the survey. Although Buyer might have recovered additional damages if a malpractice action were filed, Attorney reasonably believed that the proposed settlement was fair to Buyer. Accordingly, in order to forestall a malpractice action, Attorney readily agreed to make the reimbursement. Attorney drafted a settlement agreement, and it was executed by both Attorney and Buyer. Was Attorney's conduct proper?
1. No, because Attorney settled a ease involving liability for malpractice while the matter was still ongoing.
2. Yes, because Attorney reasonably believed that the proposed settlement was fair to Buyer.
3. Yes, if Attorney advised Buyer in writing that Buyer should seek independent representation before deciding to enter into the settlement agreement.
4. No, unless Buyer was separately represented in negotiating and finalizing the settlement agreement.
Plaintiff and Defendant are next-door neighbors and bitter personal enemies. Plaintiff is suing Defendant over an alleged trespass. Each party believes, in good faith, in the correctness of his position. Plaintiff is represented by Attorney Alpha, and Defendant is represented by Attorney Beta. After Plaintiff had retained Alpha, he told Alpha "I do not want you to grant any delays or courtesies to Defendant or his lawyer. I want you to insist on every technicality." Alpha has served Beta with a demand to answer written interrogatories. Beta, because of the illness of his secretary, has asked Alpha for a five-day extension of time within which to answer them. Is Alpha subject to discipline if she grants Beta's request for a five-day extension?
1. No, because Beta was not at fault in causing the delay.
2. No, unless granting the extension would prejudice Plaintiff's rights.
3. Yes, unless Alpha first informs Plaintiff of the request and obtains Plaintiff's consent to grant it.
4. Yes, because Alpha is acting contrary to her client's instructions.
Judge and Attorney were formerly law patters and during their partnership acquired several parcels of real property as co-tenants. After Judge was elected to the trial court in County, she remained a cotenant with Attorney, but left the management of the properties to Attorney. Judge's term of office will expire soon and she is opposed for reelection by two members of the bar. Attorney, who has not discussed the matter with Judge, intends to make a substantial contribution to Judge's campaign for reelection. Judge is one of fifteen judges sitting as trial court judges in County Is Attorney subject to discipline if Attorney contributes $10,000 to Judge's reelection campaign?
1. No, because Attorney and Judge have a long-standing personal and business relationship.
2. No, if the contribution is made to a campaign committee organized to support Judge's reelection.
3. Yes, if Attorney frequently represents clients in cases tried in the trial court of County.
4. Yes, because Judge and Attorney have not discussed the matter of a campaign contribution.
Witness was subpoenaed to appear and testify at a state legislative committee hearing. Witness retained Attorney to represent her at the hearing. During the hearing, Attorney, reasonably believing that it was in Witness's best interest not to answer, advised Witness not to answer certain questions on the grounds that Witness had a constitutional right not to answer. The committee chairperson directed Witness to answer and cautioned her that refusal to answer was a misdemeanor and that criminal prosecution would be instituted if she did not answer. Upon Attorney's advice Witness persisted in her refusal to answer. Witness was subsequently convicted for her refusal to answer. Is Attorney subject to discipline?
1. Yes, because his advice to Witness was not legally sound.
2. No, if Attorney reasonably believed Witness had a legal right to refuse to answer the questions.
3. No, if the offense Witness committed did not involve moral turpitude.
4. Yes, because Witness, in acting on Attorney's advice, committed a crime.
Pros, an elected prosecutor in City, plans to run for reelection in six months. Last year two teenage girls were kidnapped from a shopping center and sexually assaulted. The community was in an uproar about the crime and put pressure on Pros to indict and convict the assailant. Four months ago, Deft was arrested and charged with the crimes. The trial is scheduled to begin next week. Pros met with the police chief last week to review the evidence in the case. At that time, Pros first learned that, before they were interviewed by the detective in charge of sexual assault crimes, the two victims had been tape-recorded discussing the case between themselves in an interview room. Reviewing the tape, Pros realized that the girls' descriptions of the assailant differed significantly in terms of height, weight, and hair color. When officially interviewed, however, their descriptions matched almost perfectly. Deft's appointed counsel was busy handling large caseload of indigent defendants and neglected to seek access to the prosecution's investigative file. Pros was virtually certain that Deft's counsel was unaware of the tape recording. Given the other evidence in the case, Pros reasonably believed that the girls accurately identified Deft as their assailant. Pros did not reveal the existence of the tape to defense counsel. Is Pros subject to discipline?
1. No, unless Deft's counsel submitted a request for all mitigating or exculpatory evidence before the start of trial.
2. Yes, because the tape raises a legitimate question about the victims' eyewitness identification of Deft as the assailant.
3. No, because under the adversary system of criminal justice, it is expected that each party will marshal the evidence best supporting its own position.
4. Yes, unless Pros reasonably believed that the girls accurately identified Deft as their assailant.
Attorney Alpha currently represents Builder, a building contractor who is the plaintiff in a suit to receiver for breach of a contract to build a house. Builder also has pending before the zoning commission a petition to re-zone property Builder owns. Builder is represented by Attorney Beta in the zoning matter. Neighbor, who owns property adjoining that of Builder, has asked Alpha to represent Neighbor in opposing Builder's petition for re-zoning. Neighbor knows that Alpha represents Builder in the contract action. Is it proper for Alpha to represent Neighbor in the zoning matter?
1. No, if there is a possibility that both matters will be appealed to the same court.
2. Yes, because one matter is a judicial proceeding and the other is an administrative proceeding.
3. Yes, if there is no common issue of law or fact between the two matters.
4. No, because Alpha is currently representing Builder in the contract action.

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