MPRE | Plus Educa

Introducción
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Juego

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I. Regulation of the Legal Profession (1)

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Regulation of the legal profession is largely based on the concept of self-gover- nance and independence.

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The ultimate authority over the profession is largely vested in the courts (the highest court of the jurisdiction).

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Lawyers are subject to the Rules of Professional Conduct and disciplinary authority of the jurisdiction where the lawyer is admitted to practice [MR 8.5(a)].

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Applicants for admission to the bar, and lawyers in connection with a bar admission application or a disciplinary matter, must not knowingly make a false statement of material fact, fail to disclose a fact necessary to correct a misapprehension, or know- ingly fail to respond to a lawful demand for non-confidential information [MR 8.1]. This rule applies to non-lawyer applicants as well as lawyers [MR 8.1, cmt. [1]].

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Subject to the Fifth Amendment, states may require more disclosure from applicants for a law license than employers may require in a job application.
a. Bar applications often contain questions not permitted by constitutional or employment law in job applications, such as those asking about treatment for chemical dependency and mental illness, records of arrests not leading to convictions, and whether the applicant has been a party to any lawsuit.

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Applicants sign the bar application under penalty of perjury.

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A lawyer who writes a letter of recommendation for a bar candidate or who is asked by bar authorities for information about a bar candidate is subject to the same Rule [MR 8.1, cmt. [3]].

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However, a lawyer who knows of derogatory information about a bar candi- date cannot disclose that information if it is confidential information protected under Rule 1.6, which prevents a lawyer from revealing information relating to the representation of a client unless the client gives informed consent

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (1) to prevent reasonably certain death or substantial bodily harm;

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (2) to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another, and in furtherance of which the client has used or is using the lawyer’s services;

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (3) to prevent, mitigate, or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client’s commission of a crime or fraud in furtherance of which the client has used the lawyer’s services;

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (4) to secure legal advice about the lawyer’s compliance with these Rules;

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer’s representation of the client; or

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The disclosure is impliedly authorized in order to carry out the representation, or the lawyer reasonably believes it is necessary [MR 1.6(b)]: (6) to comply with other law or a court order.

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The duty of candor also applies to reinstatement petitions, which are treated like admission proceedings.

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Violating Rule 8.1 when making an application can result in disciplinary action after the bar candidate is admitted to the bar, including a suspension or revocation of the license to practice law, as well as the denial or voidance of admission [MR 8.1, cmt. [1]].

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Rule 8.1 further requires correction of any prior misstatement that the bar candidate may have made, and affirmative clarification of any prior misunderstanding on the part of the admissions or disciplinary authority of which the bar candidate becomes aware [Id.].

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A candidate for admission may claim the privilege against self-incrimination as a ground for lawfully refusing to disclose confidential information to the extent protected by Rule 1.6. The candidate for admission must claim the privilege openly, and may not use the right of nondisclosure defensively as the reason for not complying with this Rule.

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The candidate for admission must claim the privilege openly, and may not use the right of nondisclosure defensively as the reason for not complying with this Rule.

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It is generally held that the right to invoke the privilege applies only when the attorney is threatened with criminal prosecution; the mere possibility of discipline by the state bar is not sufficient justification.

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Rule 8.4 is a catchall provision permitting discipline for serious misconduct not specified elsewhere in the Rules. a. Rule 8.4 occasionally fills in a gap when no other Rule is applicable. Under Rule 8.4, it is professional misconduct for a lawyer to: violate or attempt to violate the Rules, knowingly assist or induce another to do so, or do so through the acts of another [MR 8.4(a)]; Any violation of the Rules, or any attempt to do so, is a violation of Rule 8.4(a), so a charge under Rule 8.4(a) should accompany almost any other charge in a disciplinary complaint. A lawyer does not violate Rule 8.4, however, if that lawyer refuses to comply with a legal obligation, including one of the Rules, in the good- faith belief that no valid obligation exists, even if the lawyer is proven wrong in a challenge to the law or Rule [MR 8.4, cmt. [4]].

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Under Rule 8.4, it is professional misconduct for a lawyer to: violate or attempt to violate the Rules, knowingly assist or induce another to do so, or do so through the acts of another [MR 8.4(a)];

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Any violation of the Rules, or any attempt to do so, is a violation of Rule 8.4(a), so a charge under Rule 8.4(a) should accompany almost any other charge in a disciplinary complaint.

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A lawyer does not violate Rule 8.4, however, if that lawyer refuses to comply with a legal obligation, including one of the Rules, in the good- faith belief that no valid obligation exists, even if the lawyer is proven wrong in a challenge to the law or Rule [MR 8.4, cmt. [4]].

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Similarly, Rule 8.4(a) does not prohibit a lawyer from advising a client concerning action the client is legally entitled to take; that is to say, the client does not thereby become the lawyer’s agent in a violation of the Rules [MR 8.4, cmt. [1]].

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commit a criminal act that reflects adversely on the lawyer’s honesty, trustwor- thiness, or fitness as a lawyer [MR 8.4(b)];
(1) Criminal acts or dishonest conduct need not be related to the practice of law to constitute a violation of Rule 8.4.

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Fraud means conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive [MR 1.0(d)].

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This does not include merely negligent misrepresentation or negligent failure to apprise another of relevant information [MR 1.0(d); cmt. [5]].

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It is not necessary for anyone to have suffered damages or relied on the misrepresentation or failure to inform [Id.].

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engage in conduct that is prejudicial to the administration of justice [MR 8.4(d)];

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I. Regulation of the Legal Profession (2)

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state or imply an ability to influence improperly a government agency or official or
to achieve results by means that violate the Rules or other law [MR 8.4(e)]; or

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knowingly assist a judge or judicial officer in conduct that is a violation of the
applicable rules of judicial conduct or other law [MR 8.4(f)].

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A lawyer is under an obligation under Rule 8.1(b) to respond truthfully to requests for information relative to disciplinary proceedings against himself or against other lawyers after admission [MR 8.1(b)].

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It is a separate disciplinary offense to lie or to refuse to cooperate in an investi- gation of a lawyer’s own conduct.

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The lawyer would have the right to claim the privilege against self-incrimination and to refuse to disclose confidential information to the extent protected by Rule 1.6.

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Disciplinary action can be imposed for failure to cooperate with the disciplinary authorities even if no substantive violations are found.

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A lawyer admitted to practice in a jurisdiction is subject to the Rules of Professional Conduct of that jurisdiction, regardless of where the lawyer’s conduct occurs [MR 8.5(a)].

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A lawyer not admitted in a jurisdiction is also subject to the Rules of Professional Conduct of that jurisdiction if the lawyer provides or offers to provide any legal services in that jurisdiction [Id.].

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A lawyer may be subject to discipline in both the lawyer’s home jurisdiction and another jurisdiction for the same conduct [Id.].

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The lawyer’s conduct in connection with a matter pending before a tribunal will be subject to the rules of the jurisdiction where the tribunal sits, unless the rules of the tribunal provide otherwise [MR 8.5(b)(1)].
a. A tribunal means a court, an arbitrator in a binding arbitration proceeding, or a legislative body, administrative agency, or other body acting in an adjudica-
tive capacity, meaning that a neutral official will render a binding legal judgment directly affecting a party’s interests in a particular matter after the presentation of evidence or legal argument by a party or parties [MR 1.0(m)].

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For any other conduct, the lawyer will be subject to the rules of the jurisdiction where the lawyer’s conduct occurred, unless the predominant effect of the conduct is in a different jurisdiction, in which case the rules of that jurisdiction will be applied [MR 8.5(b)(2)].
a. However, the lawyer will not be subject to discipline if the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of his conduct will occur [Id.].
b. When a lawyer’s conduct involves significant contacts with more than one jurisdiction, it may not be clear initially whether the predominant effect of the lawyer’s conduct will occur in a jurisdiction other than the one in which the conduct occurred [MR 8.5, cmt. [5]].

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As long as the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect will occur, the lawyer will not be subject to discipline under this Rule [Id.].
a. In determining a lawyer’s reasonable belief with respect to conflicts of interest under Rule 8.5(b)(2), a written agreement between the lawyer and client that reasonably specifies a particular jurisdiction as within the scope of that para- graph may be considered if the agreement was obtained with the client’s informed consent confirmed in the agreement [Id.].

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A lawyer who has knowledge of a violation of the Rules that raises a question as to any lawyer’s honesty, trustworthiness, or fitness as a lawyer must inform the appro- priate professional authority [MR 8.3(a)].
a. The Rule requires the self-reporting of disciplinary violations.
b. The obligation to report another lawyer exists regardless of any supervisory
authority over the offending lawyer.

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A lawyer must inform the appropriate authority when the lawyer has knowledge that a judge has violated the applicable rules of judicial conduct, thus raising a question as to the judge’s fitness for office [MR 8.3(b)].

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Disclosure of information learned while serving as a member of a lawyer assistance program, including programs for substance abuse or mental health problems, is not required [MR 8.3(c)].
(a) Without such confidentiality, lawyers and judges may hesitate to seek assistance from these programs, which may then result in additional harm to their professional careers and injury to their clients and the public [MR 8.3, cmt. [5]].
(b) The Rules do not otherwise address the confidentiality of information received by a lawyer or judge participating in an approved lawyer assistance program; such an obligation, however, may be imposed by the Rules of the program or other law [Id.].

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A report is not required where it would involve disclosure of confidential
information otherwise protected by Rule 1.6 [MR 8.3, cmt. [2]].

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However, a lawyer should encourage a client to consent to disclosure where doing so would not substantially prejudice the client’s interests [Id.].

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Similarly, the duty to report past professional misconduct does not apply to a lawyer retained to represent another lawyer whose professional conduct is in question. Such a situation is governed by the Rules appli- cable to the client-lawyer relationship [MR 8.3, cmt. [4]].

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A lawyer may not assist another person in the unauthorized practice of law [MR 5.5, cmt. [1]].

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A lawyer may employ the services of paraprofessionals and delegate functions to them, as long as the lawyer supervises and retains responsibility for their work [MR 5.5, cmt. [2]].

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A lawyer may delegate tasks to those who are non-lawyers without being in viola- tion of the Rules so long as the lawyer maintains a direct relationship with the client, supervises the delegated work, and retains complete professional responsi- bility for the work.

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However, ultimately, the lawyer is responsible for the negligence or malfea- sance of any non-lawyer employee that the lawyer knew or should have known about and monitored

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A lawyer may provide professional advice and instruction to a non-lawyer whose employment requires knowledge of law (e.g., claims adjusters, employees of financial or commercial institutions, social workers, accountants, and persons employed in government agencies) [MR 5.5, cmt. [3]].

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In addition, a lawyer may counsel non-lawyers who wish to proceed pro se [Id.].

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However, a non-lawyer cannot appear in court for a lawyer.

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Each state has specific rules permitting limited practice by a law student that is supervised by a licensed lawyer.

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A law school graduate who has not passed the bar or who has not been admitted to practice in any jurisdiction, however, may be guilty of the unauthorized practice of law if he gives legal advice or holds himself out as a member of a bar [MR 5.5(b)(2)].

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Likewise, a lawyer may be guilty of the unauthorized practice of law if he continues to practice law while on suspended status for non-payment of bar dues or non-compliance with continuing legal education requirements.

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A lawyer may work as a paralegal or law clerk during such period.

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The nature and extent of activities in which a suspended or disbarred lawyer may engage, however, depends on state law.

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I. Regulation of the Legal Profession (3)

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A lawyer may not practice law, or assist another in doing so, in violation of the regu- lation of the legal profession in the applicable jurisdiction [MR 5.5(a)].

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A lawyer who is not admitted in a jurisdiction may not [MR 5.5(b)]:
a. establish an office or other systematic and continuous presence in that jurisdic- tion for the practice of law; or
b. hold out to the public or otherwise represent that the lawyer is admitted to prac- tice in that jurisdiction.

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A lawyer admitted to practice in another U.S. jurisdiction, and in good standing in the jurisdiction in which the lawyer is admitted, may provide legal services on a temporary basis in another jurisdiction that [MR 5.5(c)]:
a. are undertaken in association with a lawyer who is admitted to practice in that jurisdiction and who actively participates in the matter;
b. are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reason- ably expects to be so authorized;
c. are in or reasonably related to a pending or potential arbitration, mediation, or other alternative resolution proceeding in this or another jurisdiction, if the
services arise out of or are reasonably related to the lawyer’s practice in a juris- diction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or
d. arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice.

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A lawyer admitted in another United States jurisdiction or in a foreign jurisdiction, and not disbarred or suspended from practice in any jurisdiction or the equivalent thereof, or a person otherwise lawfully practicing as an in-house counsel under the laws of a foreign jurisdiction, may provide legal services through an office or other systematic and continuous presence in this jurisdiction that[MR 5.5(d)]:

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A lawyer or law firm may not share fees with non-lawyers, except that a. an agreement by a lawyer with the lawyer’s firm, partner, or associate may provide for the payment of money to the lawyer’s estate over a reasonable period of time after the lawyer’s death;

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A lawyer or law firm may not share fees with non-lawyers, except that b. a lawyer who buys a practice from a deceased, disabled, or disappeared lawyer may pay the purchase price to the lawyer’s estate or to another repre- sentative of the lawyer;

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A lawyer or law firm may not share fees with non-lawyers, except that c. a lawyer or firm may include non-lawyer employees in a compensation or retire- ment plan, even if based on a profit-sharing arrangement; and

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A lawyer or law firm may not share fees with non-lawyers, except that d. a lawyer may share court-awarded legal fees with a nonprofit organization that
employed, retained, or recommended employment of the lawyer in the matter.

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A lawyer may not form a partnership or other business entity with a non-lawyer if any of the business’s activities consist of the practice of law [MR 5.4(b)];

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A lawyer may not allow a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate his professional judgment in rendering legal services [MR 5.4(c)];

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A lawyer may not practice with or in the form of a professional corporation or association
authorized to practice law for a profit, if [MR 5.4(d)]:
(a) a non-lawyer owns an interest therein, except that a fiduciary repre- sentative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration;
(b) a non-lawyer is a corporate director or officer or occupies a posi- tion of similar responsibility in any form of association other than a corporation; or
(c) a non-lawyer has the right to direct or control the professional judg- ment of a lawyer.

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Law-related services are services that might reasonably be performed in conjunction with and, in substance, are related to the provision of legal services and not prohibited as the unauthorized practice of law when provided by a non- lawyer [MR 5.7(b)].
(1) Law-related services include, among other things, providing title insur- ance, financial planning, accounting, trust services, real estate coun- seling, legislative lobbying, economic analysis, social work, psychological counseling, tax preparation, and patent, medical, or environmental consulting [MR 5.7, cmt. [9]].

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A lawyer who is providing law-related services is subject to the Rules if the law- related services are provided [MR 5.7(a)]:
(1) in circumstances that are not distinct from the lawyer’s provision of legal services to clients; or
(2) by a separate entity controlled or owned by the lawyer individually or with others, unless the lawyer takes reasonable measures to ensure that persons obtaining law-related services know that they are not obtaining legal services and are not protected by the client-lawyer relationship.

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Partners and supervising attorneys must make reasonable efforts to establish internal policies and procedures to provide reasonable assurance that all attor- neys in their employ comply with the ethical rules [MR 5.1(b); MR 5.1, cmt. [2]].

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The precise measures required to fulfill these obligations depend on the structure and the work of the firm, but should include procedures designed to detect and resolve conflicts of interest, identify dates by which actions must be taken in pending matters so that deadlines are not missed, account for client funds and property, and ensure that inexperienced lawyers are properly supervised [MR 5.1, cmt. [2]].

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In a small firm that does not practice in areas where ethical problems frequently arise, an informal program is sufficient [MR 5.1, cmt. [3]].

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In a larger firm, particularly one practicing in areas involving difficult ethical
problems, a formal structure is required [Id.].
(1) This could include referring ethics problems to an ethics committee or to a senior partner [Id.].

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Supervising attorneys are personally responsible for subordinates’ ethical viola- tions if they order or ratify the subordinates’ work [MR 5.1(c)(1)].

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Rule 5.3 imposes a parallel obligation on a partner or managing or supervisory lawyer to ensure that non-lawyers employed or retained by, or associated with, the lawyer or law firm conduct themselves in a manner compatible with the professional obligations of the lawyer [MR 5.3(a), (b)].

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A lawyer is responsible for overseeing the work of his non-lawyer assistants and is subject to discipline if [MR 5.3(c)]:
(1) the lawyer orders or ratifies wrongdoing; or
(2) the lawyer is a partner in the law firm in which the person is employed
or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

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All firms, whether large or small, are urged to comply with the Rules by encour- aging continuing legal education in ethics and encouraging an ethical atmo- sphere in the firm [MR 5.1, cmt. [3]].

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Following a supervisor’s orders is not a defense for a subordinate lawyer. The subordinate’s own ethical duties remain [MR 5.1, cmt. [8]; MR 5.2(a)].

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However, where a subordinate acts in accordance with a supervisory lawyer’s reasonable resolution of an arguable question of professional duty, the subordi- nate does not violate the Rules [MR 5.2(b)].

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A lawyer may not agree to participate in any partnership or employment agree- ment that restricts the lawyer’s right to practice after termination of the relation- ship, other than an agreement concerning benefits upon retirement [MR 5.6(a)].
(1) This provision effectively prohibits lawyers from making any non-competi- tion agreements, other than an agreement under which retirement bene- fits will be forfeited if a lawyer enters into competition after leaving his former firm [MR 5.6, cmt. [1]].
(2) Thus, non-competition agreements, even if limited to a short time, to a
particular locality, or to clients of the firm are prohibited.

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A lawyer is also prohibited from making an agreement in which a restriction on the lawyer’s right to practice is part of the settlement of a client contro- versy [MR 5.6(b)].
(1) However, the Rule does not prohibit restrictions that are included in the terms of the sale of a law practice [MR 5.6, cmt. [3]].

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An attorney may be subject to litigation sanctions for such things as pursuing a non-meritorious claim, or failing to respond to a discovery order.
b. Sanctions can include suspension and probation, among other things.

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II. The Client-Lawyer Relationship (1)

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Whether a client-lawyer relationship exists is determined through principles of
substantive law [MR Scope, cmt. [17]].
a. The existence of a client-lawyer relationship for any specific purpose may be a
question of fact and depend on the circumstances [Id.].

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Most of the duties flowing from the client-lawyer relationship attach only after the client has requested the lawyer to render legal services and the lawyer has agreed to do so [Id.].

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When forming a client-lawyer relationship, there is no prerequisite that a lawyer share or endorse the client’s political, economic, social, or moral views or activities [MR 1.2(b)].

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However, a lawyer may not represent a client if [MR 1.16(a)]:
a. the representation would violate the Rules or other law; or
b. the lawyer’s physical or mental condition would materially impair the lawyer’s ability to represent the client.

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A lawyer should not accept representation in a matter unless it can be performed competently, promptly, without improper conflict of interest, and to completion [MR 1.16, cmt. [1]].

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The client decides the objectives of the representation. These may include [MR 1.2(a)]:
(1) in a civil case, whether to settle the matter; and

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The client decides the objectives of the representation. These may include [MR 1.2(a)]:
(2) in a criminal case (after consulting with the lawyer), whether to enter a plea, whether to waive a jury trial, and whether the client will testify.

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The lawyer ordinarily has the right to determine the technical and legal tactical means by which the objectives of the relationship will be pursued, but he has the obligation to consult with the client concerning those means [MR 1.2, cmt. [2]].

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Conversely, a lawyer will generally defer to the client questions about the expense to be incurred and concern for third persons who might be adversely affected [Id.].

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Where a client and lawyer disagree, the lawyer should consult with the client to seek a mutually acceptable resolution [Id.].
(1) The Rules do not specify how a conflict should be resolved if an agree- ment cannot be reached.
(2) If resolution efforts are unavailing and the lawyer has a fundamental disagree- ment with the client, the lawyer may withdraw from the representation, or the client may resolve the disagreement by discharging the lawyer [Id.].

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Because the client-lawyer relationship is a contractual relationship, it is consen- sual in nature, and the attorney, in consultation with the client and with the client’s consent, can limit the scope of the representation [MR 1.2(c)].

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A lawyer and a client may agree to limit the scope of the representation if the limitation is reasonable under the circumstances [Id.].

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A limitation on the scope of representation would not be considered reasonable if the time allotted by the lawyer to handle the matter was not sufficient to yield advice upon which the client could rely [MR 1.2, cmt. [7]].
(1) Although an agreement for a limited representation does not exempt a lawyer from the duty to provide competent representation, the limitation is a factor to be considered when determining the legal knowledge, skill, thor- oughness, and preparation reasonably necessary for the representation [Id.].

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The client-lawyer relationship is contractual in nature: the client is the principal, and the attorney is the agent.

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Therefore, the client has the ultimate authority to determine the purposes to be served by the representation [MR 1.2, cmt. [1]].

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The lawyer must consult with the client as required by Rule 1.4(a)(2) and may take such action as is impliedly authorized to carry out the representation [Id.].

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When a client has diminished capacity to make decisions regarding the repre- sentation because of minority, mental impairment, or other reason, the lawyer should strive to maintain a normal client-lawyer relationship with the client as far as reasonably possible [MR 1.14(a)].

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The lawyer has the same obligation to treat the client with attention and respect and should, as far as possible, accord the represented person the status of client, particularly in maintaining communication [MR 1.14, cmt. [2]].

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If the person has no guardian or legal representative, the lawyer often must act de facto as guardian.

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When a legal representative has been appointed by the client, the lawyer will ordinarily look to the representative for decisions on behalf of the client [MR 1.14, cmt. [4]]. If a legal representative has not been appointed, the lawyer should see to such an appointment where it would serve the client’s best interests [MR 1.14, cmt. [7]].

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In many circumstances, however, appointment of a legal representative may be expensive or traumatic for the client. Evaluation of these consid- erations is a matter of professional judgment on the lawyer’s part [Id.].

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If the lawyer represents the guardian as distinct from the ward, and learns that the guardian is acting adversely to the ward’s interests, the lawyer may have an obligation to prevent or rectify the misconduct [MR 1.14, cmt. [4]].

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The lawyer may take reasonably necessary protective action, including consulting with others who have the ability to take action to protect the client or seeking the appointment of a guardian ad litem, conservator, or guardian, when the lawyer reasonably believes that the client has diminished capacity and cannot adequately act in the client’s own interests [MR 1.14(b)].

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If the lawyer seeks the appointment of a legal representative for the client, the lawyer is impliedly authorized to make the necessary disclosures, even when the client directs the lawyer to the contrary [MR 1.14(c)].

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Nevertheless, given the risks of disclosure, the lawyer may only disclose information about the client to the extent reasonably neces- sary to protect the client’s interests when consulting with other individuals or entities or seeking the appointment of a legal represen- tative [MR 1.14, cmt. [8]].

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The lawyer should determine whether it is likely that the person or entity consulted will act adversely to the client’s interests before discussing matters related to the client [Id.].

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Rules of procedure in litigation generally provide that minors or persons suffering mental disability must be represented by a guardian or next friend if they do not have a general guardian [MR 1.14, cmt. [7]].

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II. The Client-Lawyer Relationship (2)

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However, disclosure of the client’s disability can adversely affect the client’s interests [MR 1.14, cmt. [8]].

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A lawyer may not counsel a client to engage, or assist a client to engage, in criminal or fraudulent conduct [MR 1.2(d)].

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However, a lawyer may discuss the legal consequences of any proposed course of conduct and may counsel or assist a client to make a good-faith effort to determine the validity, scope, meaning, or application of the law [Id.].

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The fact that the client uses the lawyer’s advice in a criminal or fraudulent course of conduct does not make the lawyer a party to the course of action, as long as the lawyer has not assisted the client in committing the crime or fraud [MR 1.2, cmt. [9]].

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If the lawyer becomes aware of the client’s fraudulent or criminal course of action, the lawyer must avoid assisting the client [MR 1.2, cmt. [10]].

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A lawyer may not continue assisting a client in conduct that the lawyer originally believed to be legally proper but then discovers is criminal or fraudulent. The lawyer must withdraw from the representation of the client [Id.].

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The lawyer is not permitted to reveal the client’s wrongdoing, except where permitted by Rule 1.6. However, the lawyer is required to avoid furthering the purpose, for example, by suggesting how it might be concealed.

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It is possible that withdrawal alone may be insufficient. It may be necessary for the lawyer to give notice of withdrawal and disaffirm any opinion, document, or affirmation that was unknowingly put forth by the lawyer in the belief that they were legally proper [Id.].

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In extreme cases, substantive law might require a lawyer to disclose informa- tion relating to the representation to avoid being deemed to have assisted the client’s crime or fraud.

10 / 20

When a lawyer knows that a client expects assistance not permitted by the Rules or other law, the lawyer must consult with the client regarding the rele- vant limitations on the lawyer’s conduct [MR 1.2, cmt. [13]].

11 / 20

A lawyer’s representation of a client ordinarily continues until the completion of the matter [MR 1.16, cmt. [1]].

12 / 20

However, there are two types of premature termination of the relationship: manda- tory withdrawal and optional withdrawal.

13 / 20

Even if there is good cause to terminate the representation, the lawyer may have to continue representing a client if ordered to do so by a court [MR 1.16(c)].
a. The court’s approval or notice will likely be required if the lawyer is representing the client in pending litigation.

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Upon terminating representation, the lawyer must take steps to protect the client’s interests [MR 1.16(d)].
a. The lawyer must give the client reasonable notice and time to retain other counsel [Id.].

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The lawyer must also return client papers and any unearned portion of prepaid fees [Id.].
(1) However, the lawyer may retain papers as security for a fee only to the
extent permitted by law [Id.].

16 / 20

The lawyer’s duty of confidentiality continues after withdrawal [MR 1.6, cmt. [20]].
(1) If a lawyer is asked by the court to explain a withdrawal that is based on the client’s insistence on the performance of fraudulent conduct, the lawyer should merely state that professional considerations or an irreconcilable conflict with the client requires termination of employment [MR 1.16, cmt. [3]].

17 / 20

Withdrawal is mandated when [MR 1.16(a)]:
(1) the representation will result in violation of the law or the Rules;
(a) This most commonly occurs when the client insists upon the lawyer’s participation in a course of fraudulent conduct.
(b) However, the client’s mere suggestion of fraudulent conduct is not sufficient grounds for mandatory withdrawal because the lawyer may be able to explain the ethical violation and dissuade the client from his suggested course of conduct [MR 1.16, cmt. [2]].

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Withdrawal is mandated the lawyer’s physical or mental condition materially impairs his ability to represent the client; or
(a) This ground for withdrawal may include problems with drugs, alcohol, or depression.

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Withdrawal is mandated the lawyer is discharged.
(a) The attorney-client relationship is terminable at will by the client, with or without cause, subject to liability for payment for the lawyer’s services [MR 1.16, cmt. [4]].
1) If the termination results in breach of contract, then the attorney may be entitled to recover damages.

20 / 20

If a client discharges appointed counsel, the appointing authority may decide that a successor appointment is unjustified, leaving the client to represent himself. The client should be warned of this potential conse- quence before appointed counsel is discharged [MR 1.16, cmt. [5]].

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II. The Client-Lawyer Relationship (3)

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A lawyer may withdraw from representation if withdrawal can be accomplished without material adverse effect on the interests of the client;

2 / 34

A lawyer may withdraw from representation if the client persists in a course of action involving the lawyer’s services that the lawyer reasonably believes is a criminal or fraudulent course of action;
1) Note that this is different from when a lawyer furthers his client’s crime or fraud, in which case withdrawal is mandatory.

3 / 34

A lawyer may withdraw from representation if the client has used the lawyer’s services to perpetrate a crime or fraud;

4 / 34

A lawyer may withdraw from representation if the client insists upon taking action that the lawyer considers repug- nant or with which the lawyer fundamentally disagrees;

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A lawyer may withdraw from representation if the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer’s services (e.g., fees) and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled;

6 / 34

A lawyer may withdraw from representation if the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or
1) The client’s refusal to accept the lawyer’s advice on questions, such as whether the client should testify at trial or whether a particular settlement offer should be accepted, is not a sufficient ground for withdrawal when the withdrawal would harm the client.
2) However, the client’s refusal to accept advice coupled with threats and accusations against the lawyer may render the representation “unreasonably difficult.”

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A lawyer may withdraw from representation if other good cause for withdrawal exists.

8 / 34

A lawyer or a law firm may sell or buy a law practice, or an area of a law prac- tice, including goodwill, if the following conditions are satisfied [MR 1.17(a)–(c)]:
(1) the seller ceases all private practice of law, or will no longer practice law in the same geographical and/or substantive area;
(2) the entire practice, or an entire area of the practice, is sold to one or more lawyer(s) or group(s); and
(3) the seller notifies all clients in a writing that includes the following information:
(a) the proposed sale;
(b) the client’s right to obtain other counsel or take possession of his file; and
(c) notice that the client’s consent to the transfer of representation will be presumed if the client does not take any action or object within 90 days of receipt of the notice.
1) If a client cannot be notified, his case will not be transferred to
the new owner without a court order.
b. The fees charged to the clients cannot increase as a result of the sale [MR 1.17(d)].

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The client-lawyer relationship is contractual in nature: the client is the principal, and the attorney is the agent.

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11 / 34

In communicating with clients, lawyers must [MR 1.4(a)]:
a. keep the client promptly informed of any decision or circumstance to which the client must provide informed consent;
b. reasonably consult with the client about means by which to accomplish the client’s objectives;
c. keep the client reasonably informed about the status of the matter;
d. promptly comply with reasonable requests for information; and
e. consult with the client about any limitations of the lawyer’s conduct when the
lawyer is aware that the client expects assistance not authorized by the Rules.

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A lawyer must explain a matter to the extent reasonably necessary to permit the client to make informed decisions about the representation [MR 1.4(b)].

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In some circumstances, a lawyer may be justified in delaying transmission of infor- mation when the client would be likely to react imprudently to an immediate commu- nication (e.g., when disclosing a psychiatric diagnosis of a client would harm the client) [MR 1.4, cmt. [7]].
a. However, a lawyer may not withhold information to serve the interest or conve- nience of the lawyer [Id.].

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A lawyer cannot charge unreasonable fees. Rule 1.5(a) sets forth eight factors to consider in determining whether a fee is reasonable, including [MR 1.5(a)]:
(1) the time and labor required, the novelty and difficulty of the questions
involved, and the skill requisite to perform the legal service properly;
(2) the likelihood that acceptance of this representation will preclude the lawyer from accepting other employment;
(3) the customary fee in the locale for this kind of work;
(4) the amount involved and results obtained;
(5) the time limitations imposed by the client or by the circumstances;
(6) the nature and length of the professional relationship with the client;
(7) the lawyer’s experience, reputation, and ability; and
(8) whether the fee is fixed or contingent.

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A contingent fee requires the client to pay a fee (or a bonus) only if there is a favorable outcome [MR 1.5(c)].

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A contingent fee agreement must be in writing and must state the method by which the fee is to be determined [Id.].
(1) The writing must include the method of fee calculation, and indicate court fees and other costs to be paid by the client [Id.].

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A lawyer may advance court costs and other expenses of litigation, the repay- ment of which may be contingent on the outcome of the matter [MR 1.8(e)(1)].
(a) Under such an arrangement, if the client loses the case, the lawyer
absorbs the costs and expenses.

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A lawyer representing an indigent client may pay court costs and
expenses of litigation on behalf of the client [MR 1.8(e)(2)].

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Upon conclusion of a contingent fee matter, the lawyer must provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination [MR 1.5(c)].

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Contingent fees are not permitted in domestic relations matters where the payment, or amount thereof, is contingent upon the securing of a divorce, or upon the amount of alimony, support, or a property settlement. Contingent fees are also prohibited when representing a defendant in a criminal case [MR 1.5(d)].

21 / 34

A fee can be divided between lawyers who are not in the same firm only if
[MR 1.5(e)]:
(1) the division is in proportion to the services performed by each lawyer or each lawyer assumes joint responsibility for the representation;
(2) the client agrees to the arrangement in writing; and
(3) the total fee is reasonable.

22 / 34

This arrangement facilitates the association of more than one lawyer in a matter in which neither alone could serve the client [MR 1.5, cmt. [7]].
(1) The division of fees is most often used in contingent fee cases in which the division is between a referring lawyer and a trial specialist [Id.].

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The lawyers are jointly responsible for financial and ethical responsibility for the
representation as if the lawyers were associated in a partnership [Id.].

24 / 34

A lawyer must explain to new clients the fee and how it will be calculated, preferably in writing, before or within a reasonable time after the representation begins [MR 1.5(b)].
(1) The lawyer must also promptly communicate any fee changes to the client [Id.].

25 / 34

Any expenses for which the client will be charged must also be reasonable
[MR 1.5(a)].
(1) A lawyer can seek reimbursement for the cost of services or expenses,
such as copying or telephone charges, either by charging a reasonable

amount to which the client has agreed to in advance, or by charging an amount that reasonably reflects the cost incurred by the lawyer [MR 1.5, cmt. [1]].

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When developments occur during the representation that render an earlier esti- mate substantially inaccurate, such as changed circumstances or other good cause, a revised estimate should be provided to the client.

27 / 34

A lawyer should not enter into an agreement whereby services are to be provided only up to a stated amount when it is foreseeable that more extensive services would likely be required, unless he adequately explains the situation to the client. Otherwise, the client would have to bargain for further assistance in the midst of a proceeding or transaction [MR 1.5, cmt. [5]].

28 / 34

A lawyer should not establish a fee arrangement that may put the client at a disadvantage if circumstances change during the course of the representation.
(1) A modification of a fee agreement during the course of the representation presumptively shows fraud by the attorney, unless the client consents to the change based on full disclosure and adequate consideration.

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A lawyer may collect a fee in advance in the form of a retainer, but unless the advance payment is a true retainer to reserve services, the lawyer must return any unearned portion [MR 1.5, cmt. [4]].

30 / 34

If a lawyer, by agreeing to represent a client, has foreclosed himself from other valuable legal work, then he has the right to ask for a nonrefundable retainer.
(a) This arrangement is reasonable as long as the attorney clearly
explains to the client that the retainer is nonrefundable.

31 / 34

Courts are increasingly invalidating nonrefundable retainers as violative of public policy and Rule 1.16(d), which requires the lawyer, upon termina- tion of representation, to refund any advance payment of fee that has not been earned [MR 1.16(d)].
(a) The concern is that a nonrefundable retainer may interfere with the client’s right to discharge the lawyer.

32 / 34

A lawyer may collect a fee through a credit card or by arranging a bank loan for a client.
a. The lawyer may take an interest-bearing promissory note for a fee.
b. If local law permits, a lawyer may obtain a lien upon a potential recovery to secure the payment of a fee.

33 / 34

A lawyer may receive property as a payment for services, as long as the payment does not involve acquisition of a proprietary interest in the cause of action or subject matter of the litigation.
a. However, a fee paid in property may be subject to additional scrutiny because such fees have the essential qualities of a business transaction with the client [MR 1.5, cmt. [4]].

34 / 34

In the event of a fee dispute, a lawyer should consider submitting to mediation or an established fee arbitration service [MR 1.5, cmt. [9]].
b. The law may also prescribe a procedure for determining a lawyer’s fee [Id.].
(1) The lawyer entitled to the fee and the lawyer representing the other party concerned with the fee should comply with the prescribed procedure [Id.].

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III. Client Confidentiality (1)

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What is the legal origin of the attorney-client privilege?

It is a modern invention created by corporate law firms to hide financial records.

It is a contractual agreement that must be signed and notarized every year.

It is a concept from the law of evidence, also known as the testimonial privilege.

It is a constitutional amendment that applies only to the President of the United States.

The attorney-client privilege, sometimes referred to as the testimonial privilege, is a concept from the law of evidence. The attorney-client privilege applies in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client [MR 1.6, cmt. [3]]. The general rule is that where matters are communicated by a client to his attorney in professional confidence, the attorney may not at any time after-wards be called upon or permitted to disclose the communications in testimony.

2 / 16

What is the necessary "purpose" of a communication for it to be privileged?

Socializing and building a personal friendship with the lawyer.

Planning a future business venture that does not require any legal work.

Discussing general political trends or the current state of the economy.

Obtaining legal advice or legal services.

The attorney-client privilege only applies in the context of an adjudication and protects confidential communications between the client, his representatives, the client’s attorney, and the attorney’s representatives when those communications are made for the purpose of obtaining legal advice or legal services and when the client has not waived the privilege.

3 / 16

What happens if a third party is knowingly present during the conversation?

The privilege remains intact as long as the third party is a close friend.

The lawyer must ask the third party to sign a lifetime silence contract.

The privilege is doubled because more people can testify to the truth.

The communication is not covered by the attorney-client privilege.

The communication must be intended to be confidential. If the communication was knowingly made in the presence of third parties, it is not covered by the privilege.

4 / 16

Who can be present during a communication without breaking its confidentiality?

Those to whom the disclosure is made or those necessary for transmission.

Any person who happens to be standing in the same hallway at the time.

Anyone the client has ever met, as long as they promise not to tell anyone.

The opposing party's legal assistant or a member of the local news media.

If the communication was not intended to be disclosed to third persons other than those to whom the disclosure is made, or those reasonably necessary for the transmission of the communication, then it is confidential. Thus, if the communication goes astray or is overheard by an eavesdropper, the communication is still confidential because it was not intended to be disclosed.

5 / 16

Which individuals can be present without breaking the attorney-client privilege?

Law clerks, paralegals, and secretaries who work for the lawyer.

Members of the local media who promise to keep the information secret.

Friends of the lawyer who are interested in learning about the law.

Any person who is currently visiting the law office for a different case.

The privilege extends to communications made in the presence of individuals who work for the lawyer, such as law clerks, paralegals, and secretaries, whose work is necessary to allow the lawyer to perform his duties.

6 / 16

What types of communication are protected under the attorney-client privilege?

Spoken words, written words, and even certain acts or gestures.

Any communication that is recorded by a professional video crew.

Only verbal statements made while the client is under a physical oath.

Only words that are written down in a formal, notarized contract.

Communications include spoken and written words as well as acts or gestures to call the attorney’s attention to some physical object.

7 / 16

Is information a lawyer gets from a random witness protected by attorney-client privilege?

No, the privilege does not extend to information from third parties or witnesses.

Only if the lawyer pays the witness a fee to keep the information confidential.

Yes, but only if the witness is related to the lawyer by blood or marriage.

Yes, everything a lawyer hears while working on a case is automatically privileged.

The privilege does not extend to information obtained by a lawyer from witnesses or third parties unless those witnesses or third parties are representatives of the client. However, such communications are still protected from pretrial discovery.

8 / 16

When is a consultation with a lawyer NOT protected by the attorney-client privilege?

When the lawyer is representing a client in a pro bono case.

When the lawyer is acting as a business advisor, friend, or confidant.

When the lawyer is charging more than their usual hourly rate.

When the lawyer is working from a home office instead of a firm.

Consultation of a lawyer in the role of business advisor, friend, or confidant, or for some purpose other than legal advice, is not within the privilege. Even if the lawyer is consulted in his professional capacity, state-ments made to him that are not related to legal advice or legal services are not protected by the privilege.

9 / 16

Which of the following is an example of a "preexisting" document that do not become privileged merely because they are handed over to a lawyer?

A formal legal opinion drafted by the law firm's senior partner for the client.

A letter written directly to a lawyer seeking advice on a current lawsuit.

Inter-company memos or leases created before the legal dispute arose.

A set of notes taken by the client during a private meeting with their attorney.

Preexisting written documents, such as contracts, leases, or inter-company memos, do not become privileged merely because they are handed over to a lawyer.

10 / 16

Who is the official "holder" of the attorney-client privilege?

The lawyer is the holder, as they are the legal expert in the relationship.

The judge is the holder and decides when the privilege should be used.

The state bar association holds the privilege for all citizens in the state.

The client is the holder of the privilege.

The client is the holder of the privilege and thus may assert the privilege to refuse to disclose attorney-client communications, thereby preventing his attorney from disclosing any information relating to the protected communications. The lawyer is also presumed to have authority to claim the privilege on his client’s behalf and, in fact, must claim the privilege unless the client has waived it and authorized disclosure. If the client is not competent to claim the privilege, it may be claimed or waived by a guardian or conservator if the client is alive, or by his personal representative if he is deceased.

11 / 16

How long does the attorney-client privilege typically last?

The privilege ends as soon as the client stops paying their monthly legal fees.

The privilege only lasts as long as the lawyer is actively practicing law.

The privilege continues indefinitely unless waived by the client.

The privilege expires exactly ten years after the legal matter is closed.

The privilege continues indefinitely (unless waived by the client), even after the lawyer-client relationship is terminated or after the client’s death.

12 / 16

When is a communication NOT protected by the attorney-client privilege?

When the lawyer and client disagree on the best legal strategy.

When the purpose is to plan or perpetrate a future crime or fraud.

When the lawyer's fee is paid by a third party instead of the client.

When the client admits to having committed a crime in the distant past.

The privilege does not protect communications when the purpose of the communication is to plan or perpetrate a future crime or fraudulent act, the privilege will not arise. (b) However, communications regarding past crimes or frauds made for the purpose of defending a client are within the privilege.

13 / 16

Who holds the power to waive the attorney-client privilege after a client dies?

The executor, administrator, or personal representative of the estate.

Any blood relative of the deceased who is mentioned in the will.

The judge who is presiding over the probate of the deceased's assets.

The lawyer who originally represented the deceased client.

The privilege does not protect communications when The executor, administrator, or personal representative possesses
the consent and waiver rights formerly vested in the client.

14 / 16

Why is a lawyer's testimony generally not privileged in a will contest?

The attorney-client privilege automatically expires the moment a will is signed.

A will is considered a public contract that anyone in the state can edit.

Lawyers are required by law to read all wills aloud in a public town square.

It is unlikely the testator intended instructions to stay secret after death.

The privilege does not protect communications when In a will contest, however, the testimony of the lawyer who drew up the will is not privileged—no person can claim the privilege on the testator’s behalf, and it is unlikely that the testator intended his
instructions concerning his will to remain confidential after his death.

15 / 16

Why does the attorney-client privilege not apply when a lawyer authenticates a document?

Because any document touched by a lawyer automatically becomes a public record.

Because the lawyer is acting more like a witness than a lawyer in that moment.

Because the lawyer is required to charge a separate "witness fee" for the service.

Because the document is assumed to be a forgery unless the lawyer proves otherwise.

The privilege does not apply when the lawyer authenticates a document, because the lawyer is acting more like a witness than a lawyer, and the client is presumed to have waived any privilege.

16 / 16

What is the status of communications when multiple clients consult a lawyer together?

The statements are privileged as long as they concern a common legal problem.

The statements are only privileged if the clients are related by blood or marriage.

The statements are only privileged if each client pays a separate retainer fee.

The statements are automatically public because more than one person heard them.

When more than one client consults with a lawyer regarding a common legal problem, statements made among the clients and lawyer are privileged, except where a later dispute arises between the clients. In that case, the communications are no longer privileged, and the lawyer is permitted to disclose the communications.

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III. Client Confidentiality (2)

1 / 21

What is the "triggering" condition for work product protection?

The lawyer must be paid a "protection fee" by the client for each document.

The materials must be filed with the court clerk before the trial starts.

The materials must be prepared in anticipation of litigation.

The materials must be written in a language that the opposing side cannot read.

The work product doctrine generally protects from discovery any records of statements or interviews, and other tangible items prepared in anticipation of litigation.

2 / 21

Under what condition can an opposing party obtain protected work product?

By proving that the lawyer who wrote the materials has since retired from the law.

By asking the judge for a general "fairness waiver" during the first week of trial.

By showing a substantial need and an inability to get the equivalent elsewhere.

By paying a court-mandated fee to the lawyer who originally prepared the notes.

Materials prepared in anticipation of litigation or for trial may be obtained only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of the case and is unable to obtain their substantial equivalent without undue hardship [Fed. R. Civ. P. 26(b)(3)(A)].

3 / 21

What is included in the category of "Opinion Work Product"?

A lawyer's general office calendar and billing records for the month.

A lawyer’s mental impressions, conclusions, opinions, or legal theories.

A client's original birth certificate and social security card.

A list of all the books the lawyer has read during their legal career.

Even if disclosure of work product is ordered, documents reflecting the lawyer’s mental impressions, conclusions, opinions, or legal theories are not discoverable without some exceptional circumstance requiring their production [Fed. R. Civ. P. 26(b)(3)(B)].

4 / 21

Does an "inadvertent" production of a document always waive the privilege?

Generally no, unless the producing party's conduct was exceptionally careless.

Only if the opposing lawyer promises to show the document to the local media.

No, but the lawyer must pay a "clumsiness fine" to the court to keep the privilege.

Yes, the law strictly follows the "once seen, never forgotten" rule for all evidence.

Work product protection is waived when it is disclosed in a manner that materially increases the likelihood that an adversary will obtain the information. a. While an inadvertent production of a privileged work product document generally does not waive the privilege, there is an exception to that rule if the producing party’s conduct was so careless as to suggest that he was not concerned with the protection of the privilege. Courts will examine the reasonableness of the precautions taken to prevent inadvertent disclosure.

5 / 21

When is a disclosure permitted without the client's "informed consent"?

When the opposing counsel asks for the information during a friendly lunch.

When the disclosure is impliedly authorized to carry out the representation.

When the lawyer is feeling overwhelmed and needs to vent to a stranger.

When the lawyer believes the information would make a great story for a book.

Generally, a lawyer cannot reveal information relating to the representation of a client, including information protected by the attorney-client privilege under appli- cable law, unless the client gives informed consent or the disclosure is impliedly authorized in order to carry out the representation [MR 1.6(a)].
a. This obligation includes disclosures that do not in themselves reveal protected information but could reasonably lead to the discovery of such information by a third person [MR 1.6, cmt. [4]].

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What does this trust encourage a client to do?

Hide important documents from the lawyer to save on legal fees.

Wait until the very last minute to tell the lawyer the truth about a case.

Communicate openly with their lawyer and seek legal help.

Share the lawyer's private advice with the opposing party's family.

The purpose of this Rule is to contribute to the trust that is the hallmark of the lawyer-client relationship, which encourages clients to seek legal assistance and to communicate openly with their lawyers [MR 1.6, cmt. [2]].

7 / 21

How does the duty of confidentiality differ from the attorney-client privilege?

It expires as soon as the trial begins, whereas the privilege lasts forever.

It only applies to written words, while the privilege applies only to spoken ones.

It only covers information that the client specifically labels as "Top Secret."

It applies to all information relating to the representation from any source.

The duty of confidentiality differs from the attorney-client privilege in that it applies not only to matters communicated in confidence by the client, but also to all information relating to the representation from any source [MR 1.6, cmt. [3]]. This also includes information acquired before the lawyer was retained that relates to the representation.

8 / 21

What is a lawyer's specific duty regarding unauthorized access to client information?

A lawyer is only responsible if they personally leave a file in a public park.

A lawyer must make reasonable efforts to prevent unauthorized access.

A lawyer must guarantee that no hacker will ever be able to see a file.

A lawyer must delete all electronic records every night to ensure safety.

A lawyer must also make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client [MR 1.6(c)]. This provision requires a lawyer to act competently to safeguard information relating to the representation of a client against unauthorized access by third parties and against inadvertent or unauthorized disclosure by the lawyer or other persons who are subject to the lawyer’s supervision [MR 1.6, cmt. [18]].

9 / 21

What acts as a defense for a lawyer when an unauthorized access happens?

Proving that the leaked information was already known to the public.

Showing that they offered the client a full refund for their legal fees.

Showing that the hacker was eventually caught by the local police.

Proving that they made reasonable efforts to prevent the access.

The unauthorized access to, or the inadvertent disclosure of, information relating to the representation of a client does not constitute a violation of Rule 1.6(c) if the lawyer has made reasonable efforts to prevent the access or disclosure [Id.].

Factors to be considered in determining the reasonableness of the lawyer’s efforts include, but are not limited to [Id.]:
(1) the sensitivity of the information;
(2) the likelihood of disclosure if additional safeguards are not employed;
(3) the cost of employing additional safeguards;
(4) the difficulty of implementing the safeguards; and
(5) the extent to which the safeguards adversely affect the lawyer’s ability to represent clients.

10 / 21

What is the lawyer prohibited from doing "thereafter" regarding the matter?

Representing any other client in any legal matter whatsoever.

Speaking to the former client without a judge being present.

Charging the former client for any storage fees for their old files.

Revealing or using information relating to the former representation.

The duty of confidentiality survives the lawyer-client relationship. Unless the former client consents after consultation, a lawyer who has formerly represented a client, or whose present or former firm has formerly represented a client, in a matter must not thereafter [MR 1.9(c)]:

11 / 21

What can a lawyer use when representing a new client against a former one?

The former client's personal medical history and private secrets.

Financial records that were sealed by a court order years ago.

Information about the former client that is generally known.

Private emails the former client sent during their previous case.

Use confidential information relating to the representation to the disadvantage of the former client, except as the Rules would permit or require with respect to a client; or 1) However, the fact that a lawyer has once served a client does not preclude the lawyer from using generally known information about that client when later representing another client [MR 1.9, cmt. [8]]. Thus, regardless of how the information became generally known, it is no longer protected by the attorney-client privilege or the duty of confidentiality. (b) reveal confidential information relating to the representation except as the Rules would permit or require with respect to a client.

12 / 21

When is a lawyer permitted to reveal client information to opposing counsel and court?

Whenever the opposing counsel asks a direct question in a friendly tone.

Only if the lawyer is certain the information will be kept a secret.

Only if the lawyer is paid a "disclosure bonus" by the client's family.

When the revelation will further the client's case.

A lawyer may also reveal matters to opposing counsel and to the court if those revelations will further the client’s case (e.g., to admit a fact that cannot properly be disputed or to make a disclosure that facilitates a satisfactory conclusion to a matter) [Id.].

13 / 21

Is a lawyer generally allowed to share a client's secrets with other lawyers in their own firm?

No, unless the other lawyers sign a separate confidentiality agreement for that specific case.

Yes, they may communicate confidential information to other lawyers in the same firm.

No, they must keep the information strictly to themselves and never tell a colleague.

Only if the other lawyers are senior partners with at least twenty years of experience.

A lawyer may communicate confidential information to other lawyers in the same firm, unless the client specifically instructs otherwise [Id.].

14 / 21

Is a lawyer required to disclose information to prevent death or substantial bodily harm?

Yes, a lawyer is legally mandated to report any potential physical injury.

Yes, but only if the threat involves the use of a high-powered firearm.

Only if the lawyer is certain the victim is an important public official.

No, the disclosure is permitted but not required under this rule.

Disclosure is permitted—but not required—in the following situations: to prevent reasonably certain death or substantial bodily harm [MR 1.6(b)(1)]; Death or substantial bodily harm is reasonably certain to occur if it will be suffered imminently or if there is a present and substantial threat that a person will suffer such harm at a later date if the lawyer fails to take action necessary to eliminate the threat [MR 1.6, cmt. [6]].

15 / 21

What can a lawyer do besides "preventing" a financial injury?

They may also disclose to mitigate or rectify the substantial injury.

They can help the client hide the money in a different country's bank.

They can ask the court to give them a portion of the stolen property.

They can only watch and wait until the injury has already occurred.

Disclosure is permitted—but not required—in the following situations: in order to prevent, mitigate, or rectify substantial injury to the financial interests or property of another when a client uses the lawyer’s services in furtherance of a crime or fraud [MR 1.6(b)(2), (3)];
(1) Although this provision does not require the lawyer to reveal the client’s misconduct, the lawyer may not counsel or assist the client in conduct the lawyer knows is criminal or fraudulent [MR 1.6, cmt. [7]]. (2) This provision does not apply when a person is accused of or has committed an illegal or fraudulent act and thereafter employs a lawyer for representation concerning that conduct [MR 1.6, cmt. [8]].

16 / 21

Why is a lawyer permitted to reveal confidential information to another lawyer?

To help the other lawyer find more clients for their own private practice.

To vent about a difficult client during a social gathering or a holiday party.

To secure legal advice about complying with the Rules of Professional Conduct.

To ensure that both lawyers are charging the same hourly rate for similar cases.

Disclosure is permitted—but not required—in the following situations: c. to secure legal advice about the lawyer’s compliance with these Rules [MR 1.6(b)(4)];

17 / 21

When is a lawyer allowed to disclose client information for their own benefit?

To protect the lawyer’s ability to assert claims or defenses on their own behalf.

To help a friend who is suing the same client in a completely unrelated matter.

To prove to their family that they are working on important and famous cases.

To improve the lawyer's public reputation after losing a very high-profile case.

Disclosure is permitted—but not required—in the following situations: d. to protect the lawyer’s ability to assert claims and defenses on his own behalf [MR 1.6(b)(5)];
(1) Where a legal claim or disciplinary charge alleges complicity of the lawyer in the conduct of a client or a former client or other misconduct of the

lawyer involving representation of the client or a former client, the lawyer may respond to the extent the lawyer reasonably believes necessary to establish a defense [MR 1.6, cmt. [10]].

18 / 21

What are the two main conditions that allow for this permissive disclosure?

To comply with other law or a valid court order.

To ensure the lawyer is not invited to serve on a jury in the future.

To help the judge write a more accurate summary of the legal case.

To provide the local media with a more interesting story about the trial.

Disclosure is permitted—but not required—in the following situations: to comply with other law or a court order [MR 1.6(b)(6)];

19 / 21

What must a lawyer do if another law appears to require the disclosure of client information?

The lawyer must ignore the other law and follow the ethics rules instead.

The lawyer must resign from the case to avoid a conflict of laws.

The lawyer must discuss the matter with the client.

The lawyer must immediately turn over the files to the government.

Other law(s) may require that a lawyer disclose information about a client. Whether such a law supersedes this Rule is a question of law beyond the scope of these Rules. When disclosure of information relating to the representation appears to be required by other law, the lawyer must discuss the matter with the client [MR 1.6, cmt. [12]]. If, however, the other law supersedes this Rule and requires disclosure, this Rule permits the lawyer to make such disclosures as are necessary to comply with the law [Id.].

20 / 21

What is the primary purpose of revealing information when a lawyer changes jobs?

To help the new firm decide which clients are the most profitable to keep.

To detect and resolve potential conflicts of interest at the new firm.

To allow the new firm to charge the client a higher administrative fee.

To prove to the new employer that the lawyer has high-profile clients.

To detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client

21 / 21

At what point in the process are firms permitted to disclose this information?

Whenever a lawyer feels that a conflict might eventually happen in the future.

As soon as a lawyer sends an initial resume or an inquiry to a new firm.

Only once substantive discussions regarding the new relationship have occurred.

Only after the merger or the new association has been officially finalized.

This provision recognizes that lawyers in different firms may need to disclose limited information to each other to detect and resolve conflicts of interest, such as when a lawyer is considering an association with another firm, or two or more firms are considering a merger [MR 1.6, cmt. [13]]. Under these circumstances, lawyers and law firms are permitted to disclose limited information, but only once substantive discussions regarding the new relationship have occurred [Id.].

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/20

IV. Conflicts of Interest (1)

1 / 20

What are the two primary situations that create a conflict of interest?

Representing a client who pays by check and another who pays with a credit card.

Having a client who lives in a different city or a client who speaks a different language.

Working on two different cases that are scheduled for the same day next year.

Direct adversity to another client or a material limitation on the representation.

A lawyer must not represent a client if the representation is directly adverse to another client or materially limited by the responsibilities to another client, a former client, a third party, or by the lawyer’s own interests, unless [MR 1.7]:

2 / 20

What is the first requirement for representing a client despite a conflict of interest?

The lawyer must reasonably believe they can provide competent and diligent representation.

The lawyer must be the highest-paid attorney in their specific geographic region.

The lawyer must obtain a signed letter of recommendation from the presiding judge.

The lawyer must have at least twenty years of experience in the specific field of law.

The lawyer reasonably believes he will be able to provide competent and diligent representation to each affected client;
Reasonably believes denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable [MR 1.0(i)].
Reasonable when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer [MR 1.0(h)].
The representation is not prohibited by law;
The representation does not involve the assertion of a claim by one client against another client represented by the same lawyer in the same litigation or other proceeding before a tribunal; and
Each client gives informed consent in writing.

3 / 20

What must be included in the consultation for common representation?

A list of all other lawyers in the city who could handle the case instead.

A guarantee that the lawyer will achieve a perfect result for every client.

A breakdown of the lawyer's personal household expenses and monthly budget.

An explanation of the implications, advantages, and risks involved.

When representation of multiple clients in a single matter is under- taken, the consultation shall include explanation of the implications of the common representation and the advantages and risks involved [MR 1.7, cmt. [18]].

4 / 20

What happens if a lawyer's duty of confidentiality prevents necessary disclosures for a conflict waiver?

The lawyer may proceed as long as they promise to be fair to everyone.

The lawyer may be unable to obtain a valid consent from the clients.

The lawyer must ignore the duty of confidentiality to save the representation.

The lawyer can ask the judge to make the decision for the clients instead.

In some cases, the lawyer’s duty of confidentiality may make it impossible for the lawyer to make the disclosures necessary for one of the clients to make an informed decision, and so the lawyer may be unable to obtain a valid consent [MR 1.7, cmt. [19]]. A lawyer may ask a client to waive conflicts in advance if the client is an experienced user of the legal services involved and is reasonably informed of the risks [MR 1.7, cmt. [22]].

5 / 20

How does client consent affect the prohibition of representing opposing parties in litigation?

Consent completely overrides the conflict and allows the representation to proceed.

Consent allows the lawyer to represent both parties, but they cannot charge a fee.

Consent is only required if the litigation involves more than one million dollars.

The prohibition applies regardless of whether the clients give their consent.

A lawyer may not represent opposing parties in the same litigation, regardless of the clients’ consent [MR 1.7, cmt. [23]].

6 / 20

What is the recommended course of action for a lawyer regarding multiple criminal defendants?

A lawyer should ordinarily decline to represent more than one co-defendant.

A lawyer should always represent as many co-defendants as possible to save costs.

A lawyer should only represent multiple defendants if they all belong to the same family.

A lawyer should alternate between defendants, representing one at a time each week.

Because of the grave potential for a conflict when a lawyer represents multiple defendants in a criminal case, a lawyer should ordinarily decline to represent more than one co-defendant [Id.].

7 / 20

When is common representation of persons with similar interests considered proper?

If the lawyer reasonably believes the risk of adverse effect is minimal and everyone consents.

Whenever the lawyer needs to maximize their billable hours for the month.

Only if the lawyer is representing more than five people at the same time.

If the parties are friends and promise never to argue about the legal fees.

Common representation of persons having similar interests is proper if the lawyer reasonably believes that the risk of adverse effect is minimal, and all persons have given their informed consent to the multiple representations.

8 / 20

What is required before a lawyer can make an aggregate settlement for multiple clients?

A majority of the clients must vote in favor of the settlement for it to pass.

The lawyer must decide how to divide the money based on who needs it most.

The lawyer only needs to get approval from the client with the largest claim.

Each client must consent in writing after a consultation.

Where a lawyer represents two or more clients, the lawyer may not make an aggregate settlement of the claims of or against the clients or, in a criminal case, make an aggregated agreement as to guilty or pleas, unless each client consents in writing after consultation [MR 1.8(g)]. The lawyer’s disclosure to the clients must include the existence and nature of all claims or pleas involved, and the participation of each person in the settlement [Id.].

9 / 20

What is the core prohibition regarding a client's confidential information?

A lawyer must share the information with the court even if it hurts the client.

A lawyer is required to sell the information to the highest bidder after the case ends.

A lawyer must not use it to the disadvantage of the client without consent.

A lawyer must not store the information in a digital format or on a cloud server.

A lawyer must not use confidential information obtained from a client to the disadvantage of that client unless the client gives informed consent, or as permitted elsewhere in the Rules [MR 1.8(b)]. This Rule applies when the confidential information obtained from the client is used to benefit either the lawyer or a third party, such as another client or business associate of the lawyer [MR 1.8(b), cmt. [5]].

10 / 20

What is the general rule regarding a lawyer soliciting gifts from a client?

A lawyer is encouraged to ask for gifts to supplement their legal fees.

A lawyer shall not solicit any substantial gift from a client.

A lawyer may solicit any gift as long as it is worth less than $10,000.

A lawyer may solicit a gift if the client is currently in a good mood.

A lawyer shall not solicit any substantial gift from a client [MR 1.8(c)]. A lawyer cannot prepare the instrument giving himself or his relative a substantial gift from a client, including a testamentary gift, unless the lawyer or other recipient is related to the client [Id.]. This Rule does not prohibit a lawyer from accepting an unsolicited gift from a client if the transaction meets general standards of fairness [MR 1.8, cmt. [6]].

11 / 20

What is the financial standard for the gifts allowed under the pro-bono legal service rule to indigent client?

The gifts must be worth at least ten thousand dollars to be considered helpful.

The gifts must exceed the total amount of the lawyer's annual salary.

The gifts can be of any value as long as the lawyer can afford them.

The gifts must be "modest" in nature.

A lawyer representing an indigent client pro bono, a lawyer representing an indigent client pro bono through a nonprofit legal services or public interest organization and a lawyer representing an indigent client pro bono through a law school clinical or pro bono program may provide modest gifts to the client for food, rent, transportation, medicine and other basic living expenses [MR 1.8(e)(3)].

However, the lawyer may not [Id.]: (1) promise, assure, or imply the availability of such gifts prior to retention or as an inducement to continue the client-lawyer relationship after retention; (2) seek or accept reimbursement from the client, a relative of the client or anyone affiliated with the client; and (3) publicize or advertise a willingness to provide such gifts to prospective clients. c. Financial assistance under this Rule may be provided even if the representation is eligible for fees under a fee-shifting statute [Id.].

12 / 20

When is a lawyer prohibited from negotiating literary or media rights to a client's story?

Only if the lawyer is planning to write the screenplay themselves.

Only if the story is intended to be made into a major motion picture.

Prior to the conclusion of the representation.

At any time, even after the case has been completely closed for years.

A lawyer may not obtain or negotiate literary or media rights to a portrayal or account regarding a pending representation prior to the conclusion of the repre- sentation [MR 1.8(d)].
(1) However, it is permissible to obtain as a fee a percentage of independent literary material that is the subject of the representation [MR 1.8, cmt. [9]].

13 / 20

What must a lawyer do before an aggregate settlement offer can be accepted?

Wait until the judge gives a hint about which way the trial is going.

Inform each client about all the material terms of the settlement.

Decide which client deserves the most money and distribute it accordingly.

Consult with the opposing counsel to see if they think the deal is fair.

Before any settlement offer or plea bargain is made or accepted on behalf of multiple clients, the lawyer must inform each client about all the material terms of the settlement, including what the other clients will receive or pay if the settlement or plea offer is accepted [MR 1.8(g)].

14 / 20

What is the general rule regarding sexual relations between a lawyer and a client?

A lawyer may not have sexual relations with a client.

A lawyer can start a relationship only after the first court appearance.

A lawyer may have a relationship if they provide a discount on legal fees.

A lawyer is permitted to date a client if the opposing counsel agrees.

A lawyer may not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced [MR 1.8(j)].

15 / 20

What is a lawyer prohibited from doing regarding a former client?

Charging a new client a higher hourly rate than they charged the former client.

Sending a holiday card to a new client if the former client did not receive one.

Representing a new person in the same or a substantially related matter with adverse interests.

Ever representing a different person in any legal matter for the rest of their career.

A lawyer who has formerly represented a client in a matter may not thereafter represent another person in the same or a substantially related matter in which that person’s interests are materially adverse to the interests of the former client unless the former client consents in writing after consultation [MR 1.9(a)].

16 / 20

Unless the former client consents after consultation, a lawyer may not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated has previously represented a client [MR 1.9(b)]: a. whose interests are materially adverse to that person; and b. about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that is material to the matter.

17 / 20

When is a lawyer permitted to use a former client’s information to their disadvantage?

Whenever the lawyer is bored and wants to share a story at a dinner party.

If the lawyer believes the former client was "difficult" during the case.

Only if the information is used to help a family member of the lawyer.

When the information has become generally known.

A lawyer who has formerly represented a client in a matter or whose present or former
firm has formerly represented a client in a matter may not thereafter [MR 1.9(c)]:
a. use information relating to the representation to the disadvantage of the former client except as the Rules permit or require with respect to a client, or when the information has become generally known; or
b. reveal information relating to the representation except as the Rules permit or
require with respect to a client.

The scope of a matter for purposes of this Rule may depend on the facts of a particular situation or transaction. When a lawyer has been directly involved in a specific transaction, subsequent representation of other clients with materially adverse interests clearly is prohibited [MR 1.9, cmt. [2]].

18 / 20

What is the "underlying question" when determining if a lawyer can represent a new client against a former one?

Whether the former client has already hired a more expensive lawyer for their defense.

Whether the lawyer has moved their physical office to a different floor in the same building.

Whether the lawyer is charging the new client more than they charged the previous one.

Whether the representation can be justly regarded as a "changing of sides" in the matter.

On the other hand, a lawyer who recurrently handled a type of problem for a former client is not precluded from later representing another client in a wholly distinct problem of that type even though the subsequent representation involves a position adverse to the prior client [Id.]. The underlying question is whether the lawyer was so involved in the matter that the subsequent representation can be justly regarded as a changing of sides in the matter in question [Id.].

19 / 20

What excludes a person from being classified as a "prospective client"?

Speaking to a lawyer who has been practicing for less than five years.

Failing to pay a consultation fee before the first introductory phone call.

Communicating information unilaterally without a reasonable expectation of a relationship.

Having a legal problem that is too small for the lawyer to find interesting.

A person who consults with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter is a [MR 1.18(a)].
a. Not all persons who communicate information to a lawyer are entitled to protec- tion under this rule. A person who communicates information unilaterally to a lawyer, without any reasonable expectation that the lawyer is willing to discuss the possibility of forming a client-lawyer relationship, is not a “prospective client” [MR 1.18, cmt. [2]].

20 / 20

Does a lawyer owe a duty of confidentiality to someone if they never actually hire the lawyer?

Only if the prospective client paid a consultation fee for the initial meeting.

Only if the lawyer specifically promised to keep the conversation a secret.

Yes, a lawyer must not use or reveal information learned from a prospective client.

No, the duty of confidentiality only begins once a formal contract is signed.

Even when no client-lawyer relationship ensues, a lawyer who has learned information from a prospective client may not use or reveal that information, except as Rule 1.9 would permit with respect to information of a former client [MR 1.18(b)].

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/23

IV. Conflicts of Interest (2)

1 / 23

When is a lawyer disqualified from representing a client due to a consultation with a prospective client?

If the prospective client mentioned the name of any other lawyer in the city.

If they received information that could be significantly harmful to the prospective client.

Only if the lawyer agreed to work for free during the initial consultation.

Whenever the lawyer finds the prospective client's story to be slightly boring.

Such an attorney may not represent a client with interests adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except if either of the following applies [MR 1.18(c), (d)]:
(1) both the affected client and the prospective client have given informed consent, confirmed in writing; or
(2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client, and both of the following apply:
(a) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee; and
(b) written notice is promptly given to the prospective client. b. This also applies to any lawyer in a firm with which that lawyer is associated

2 / 23

How can a lawyer avoid acquiring information that might disqualify them from other cases?

By limiting the initial consultation to only what is necessary to decide on the matter.

By asking the prospective client to speak as quickly as possible to save time.

By refusing to look at any physical documents provided by the prospective client.

By recording the entire consultation and posting it on the firm's public website.

In order to avoid acquiring disqualifying information from a prospective client, a lawyer considering whether to undertake a new matter should limit the initial consultation to only such information as reasonably appears necessary for that purpose [MR 1.18, cmt. [4]]. The lawyer may also condition a consultation with a prospective client on the person’s informed consent that no information disclosed during the consultation will prohibit the lawyer from representing a different client in the matter [MR 1.18, cmt. [5]].

Even in the absence of such agreement, the lawyer is not prohibited from representing a client with interests adverse to those of the prospective client in the same or a substantially related matter unless the lawyer has received from the prospective client information that could be significantly harmful if used in the matter [MR 1.18, cmt. [6]].

3 / 23

What is the "general rule" regarding the disqualification of a single attorney in a firm?

When one attorney is disqualified, the whole firm is also disqualified.

Disqualification never extends to other members of the same law firm.

The firm can continue as long as the disqualified attorney works from home.

Only the attorney’s direct supervisor is disqualified from the matter.

As a general rule, when one attorney is disqualified, the whole firm is also disqualified. Imputed disqualification is based on a presumption that all partners and associates in a firm know about all cases. The knowledge of one lawyer working on a case is “imputed” to all the others while that lawyer is at the firm [MR 1.10, cmt. [2]].

4 / 23

How is a lawyer’s knowledge of client secrets viewed when they are part of a firm?

Lawyers in firms are presumed to have shared their knowledge with one another.

Knowledge is considered strictly private and never shared between colleagues.

The law assumes lawyers forget all confidential information at the end of each day.

Each lawyer is assumed to only know about the cases they personally billed.

When a lawyer leaves or joins a firm, the key to analyzing whether a firm is disqualified because of a conflict of interest is to determine who knows what. Think of knowledge as a contaminant. Lawyers in firms are presumed to have contaminated each other with their knowledge.

5 / 23

What is the primary question to resolve regarding conflicts when a lawyer leaves a firm?

Whether the departing lawyer took all the confidential knowledge with them.

Whether the departing lawyer returned their office keys and laptop to the firm.

Whether the firm has already replaced the departing lawyer with a new associate.

Whether the departing lawyer is moving to a firm with a better reputation.

Thus, when a lawyer leaves a firm, the question is whether he took all of the contaminant with him, or whether other lawyers are actually contaminated with the departing lawyer’s knowledge.

6 / 23

What is the standard for determining if a personal conflict stays with just one lawyer?

Whether there is a significant risk of materially limiting the representation by others.

Whether the lawyer with the conflict is willing to take a temporary pay cut.

Whether the conflict has been reported on the local evening news.

Whether the other lawyers in the firm personally like the client being represented.

Imputed disqualification does not apply under certain circumstances. a. If the prohibition is based on a personal interest of the disqualified lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm, other lawyers in the firm will not be precluded from representing the client [MR 1.10(a)(1)].

7 / 23

What is the timing requirement for taking protective measures to avoid imputation?

The measures are only required if the opposing party files a formal complaint.

The measures can be taken at any time before the final trial begins.

The measures must be taken promptly.

The measures must be taken exactly thirty days after the lawyer is hired.

Imputed disqualification does not apply under certain circumstances. Nor will imputed disqualification apply where the prohibition is based upon Rules 1.9(a) or (b) and arises out of the disqualified lawyer’s association with a prior firm, provided the following measures are promptly taken [MR 1.10(a)(2)]:
(1) the disqualified lawyer must be timely screened from any participation in the matter;
(2) the screened lawyer must not be apportioned any part of the fee;
(3) written notice must be given to any affected former client to enable the former client to ascertain compliance with the provisions of this Rule; and
(4) the screened lawyer and a partner of the firm must provide to the former client certifications of compliance with these Rules and with the screening procedures, at reasonable intervals upon the former client’s written request, and upon termination of the screening procedures.

8 / 23

When is a firm generally allowed to represent a client adverse to a former lawyer's client?

Only if the former client signs a document stating they no longer need a lawyer.

As soon as the former lawyer starts their own solo practice.

After the lawyer who handled that client has terminated their association with the firm.

Only if the firm changes its physical location to a different city.

Imputed disqualification does not apply under certain circumstances. When a lawyer has terminated an association with a firm, the firm is not prohib- ited from representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless [MR 1.10(b)]:
(1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and
(2) any lawyer remaining in the firm possesses protected confidential infor- mation that is material to the matter.

9 / 23

Does a lawyer's status as a "necessary witness" automatically disqualify their entire firm?

Only if the lawyer’s testimony is expected to last for more than three full days.

Only if the lawyer is testifying for the prosecution in a high-profile criminal case.

No, imputed disqualification does not apply if a lawyer is disqualified only as a witness.

Yes, the "witness-advocate" rule always forces the entire firm to withdraw.

Imputed disqualification does not apply under certain circumstances. Imputed disqualification does not apply if the lawyer is being disqualified because he is a necessary witness unless the testifying lawyer would also be disqualified from the representation due to a conflict of interest [MR 3.7, cmt. [7]].

10 / 23

Why are waivers of imputed disqualification considered "rare" in practice?

The cost of filing a waiver paperwork is too expensive for most clients.

Most lawyers forget to ask their clients for permission to continue the case.

The law requires a unanimous vote from the firm’s partners to accept a waiver.

Few clients are willing to let their former lawyer represent their adversary.

Imputed disqualification does not apply under certain circumstances. The affected client may waive the disqualification under the conditions stated in Rule 1.7 [MR 1.10(c)]. (1) Such circumstances are rare because few clients are willing to let their former lawyer now represent their adversary.

11 / 23

What is the exception regarding a lawyer obtaining a proprietary interest in a case?

A requirement that the client names the lawyer as the sole heir in their will.

A contract allowing the lawyer to keep all the profits from a client's business.

A deed to the client's house given as a "thank you" gift before the trial.

A lien authorized by law to collect the lawyer's fee.

Except for a lien (authorized by law) to collect his fee or a reasonable contingency fee (in a civil case), a lawyer may not obtain a proprietary interest in the subject matter of litigation [MR 1.8(i)].

12 / 23

What is the first requirement for a lawyer to enter a business transaction with a client?

The terms must be fair, reasonable, and fully disclosed in writing to the client.

The transaction must be approved by a majority vote of the local bar association.

The terms must be written in Latin to ensure they are legally binding

The lawyer must provide a verbal summary of the deal during a lunch meeting.

A lawyer must not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless [MR 1.8(a)]:
a. the transaction and terms must be fair and reasonable to the client and fully disclosed in writing in a manner reasonably understandable by the client;
b. the client must be given a reasonable opportunity to seek the independent advice of another lawyer; and
c. the client must give informed consent in writing.

13 / 23

What must be protected regarding the lawyer's professional behavior?

The lawyer should prioritize the third party's goals to ensure future payments.

There must be no interference with the lawyer's independent professional judgment.

The lawyer must provide the third party with weekly progress reports.

The lawyer must allow the third party to sit in on every private meeting.

Many third-party conflicts occur when the third party pays the lawyer to represent the client. Rule 1.8(f) provides a specific rule on this type of conflict. A third party may pay for a client’s representation only if [MR 1.8(f)]: a. the client gives informed consent; b. there is no interference with the lawyer’s independent professional judgment or with the client-lawyer relationship; and c. confidentiality is preserved.

14 / 23

What is the standard for a former government lawyer's prior involvement in a matter?

The lawyer must have "personally and substantially" participated in it.

The lawyer must have merely worked in the same building where the file was kept.

The lawyer must have discussed the matter at least once during a lunch break.

The lawyer must have been the highest-ranking official in the entire agency.

A former government lawyer can join a firm that has clients with direct conflicts with the government agency, and about which the attorney possesses protected infor- mation. However, the lawyer is prohibited from representing a client in connection with a matter in which the lawyer has personally and substantially participated as a public officer or employee unless the government agency gives written informed consent [MR 1.11(a)]. A lawyer who had such personal involvement will be disqualified even if the new representation is not adverse to the government [MR 1.11, cmt. [3]].

15 / 23

What other rules might expand the definition of a "matter" for a government lawyer?

The guidelines found in a standard dictionary for the word "matter."

The conflict of interest rules of the specific government agency involved.

The rules of the local homeowners association where the lawyer lives.

The terms and conditions of the lawyer's personal mobile phone contract.

Personal involvement does not include general supervisory authority over the matter; for example, a district attorney who supervises an office of 50 lawyers would be disqualified only with respect to those cases the district attorney handled personally. As used in this Rule, the term includes [MR 1.11(e)]: (1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter involving a specific party or parties; and (2) any other matter covered by the conflict of interest rules of the appropriate government agency.

16 / 23

Can a law firm handle a case that a newly hired former government lawyer personally worked on?

No, the entire firm is permanently "contaminated" by the lawyer's prior service.

Only if the government agency agrees to pay half of the firm's legal fees.

Yes, but only if the lawyer resigns from the firm before the trial begins.

Yes, provided the former government lawyer is effectively screened from the matter.

Other lawyers in the former government lawyer’s new firm may handle matters the former government lawyer participated in while in public service. The only restrictions are that [MR 1.11(b)]: a. the former government lawyer must be effectively screened from any participa- tion in the matter;
(1) The lawyer must not communicate any confidential government informa- tion to the lawyers working on the case. (a) Confidential government information means information that has been obtained under governmental authority and which the govern- ment is prohibited by law from disclosing to the public or has a legal privilege not to disclose, and which is not otherwise available to the public [MR 1.11(c)].
(2) This Rule operates only when the lawyer has actual knowledge of the information. The Rule does not operate with respect to information that merely could be imputed to the lawyer [MR 1.11, cmt. [8]].

17 / 23

What is the financial restriction regarding a screened former government lawyer?

They are required to donate 10% of their total annual salary back to the government.

They must work for free until the firm recovers the cost of hiring them.

They cannot receive any year-end bonuses from the firm for the first five years.

They must not be apportioned any part of the fee from the specific matter.

The former government lawyer must not be apportioned any part of the fee; and (1) The lawyer is not prohibited from receiving a salary or partnership share established by prior independent agreement, but he may not receive compensation directly relating to the fee in the matter in which the lawyer is disqualified [MR 1.11, cmt. [6]].

18 / 23

What is the primary purpose of giving written notice to the government agency?

To invite the agency to participate in the new client's legal strategy.

To enable the agency to ascertain compliance with the screening and fee provisions.

To provide a list of all the other clients the law firm currently represents.

To ask the agency for permission to hire the former government lawyer.

Written notice must be promptly given to the appropriate government agency to enable it to ascertain compliance with the provision of this Rule. (1) This notice must be given as soon as practicable after the need for screening becomes apparent but need not be given prematurely so that the client might be injured or the lawyer might lose the job offer [MR 1.11, cmt. [7]].

19 / 23

How is a new government agency treated when a lawyer moves to it from a different agency?

The new agency is exempt from all conflict of interest rules due to public service.

The new agency is treated like a client for the purposes of the conflict rules.

The new agency is treated as a neutral observer with no legal interests.

The new agency is considered the same legal entity as the previous agency.

If the lawyer is switching from one government agency to another government agency, the new agency is treated like a client for the purposes of the Rule [MR 1.11, cmt. [5]].

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What is the restriction for a lawyer who moves from private practice to a government position?

They must work for the government for at least five years before handling any private-sector cases.

They may not participate in a matter in which they were personally and substantially involved.

They must immediately drop all their current cases and give the files to the Governor.

They are prohibited from speaking to any of their former law firm colleagues for one year.

A lawyer currently serving as government attorney may not participate in a matter in which he was personally and substantially involved while in the private sector [MR 1.11(d)(2)].

21 / 23

What is a current government lawyer prohibited from doing regarding future jobs?

Negotiating for private employment with a party in a matter they are personally and substantially involved in.

Speaking to any former law school classmates who currently work at private firms.

Applying for any job in the private sector while still receiving a government paycheck.

Attending a general legal career fair hosted by the local bar association.

Nor can the lawyer negotiate for private employment with anyone in whose matter he is presently personally and substantially involved, except that a law clerk to a judge, other adjudicative officer, or arbitrator may negotiate for private employment, but only after notifying the judge or other adjudicative officer [Id.].

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What level of prior involvement as a judge triggers a conflict for a lawyer in private practice?

Simply being a judge in the same courthouse where the matter was filed.

Attending a general judicial conference where the legal topic was discussed.

Participating personally and substantially in the matter.

Hearing a rumor about the case while eating lunch in the judges' dining room.

A lawyer may not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or as a law clerk to such a person, or as an arbitrator, mediator, or other third-party neutral, unless all parties give informed consent, confirmed in writing [MR 1.12(a)].

23 / 23

How can a law firm avoid imputed disqualification when hiring a former judge or clerk?

By having the former judge work under a different name for the firm.

By requiring all other lawyers in the firm to take a "neutrality oath."

By screening the disqualified lawyer and providing prompt written notice.

By ensuring the judge only works on cases in different states.

No lawyer in a firm associated with a lawyer disqualified from a representation under this Rule can undertake or continue representation in the matter unless [MR 1.12(c)]:
a. the disqualified lawyer is screened from any participation in the matter and is apportioned no part of the fee; and b. written notice is promptly given to the parties and any appropriate tribunal so that it may ensure compliance with the provisions of this Rule. This Rule does not prevent an arbitrator selected as a partisan of a party in a multimember arbitration panel from subsequently representing the party [MR 1.12(d)].

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V. Competence, Legal Malpractice, and other Civil Liability

1 / 14

How should a lawyer maintain their knowledge of changes in the law?

By asking clients to explain any new regulations they have heard about.

By waiting for a court to sanction them for using an outdated rule.

Through continuing legal education and self-education.

By relying on the legal knowledge they gained during law school.

A lawyer should always keep up-to-date about changes in the law through continuing legal education and self-education [MR 1.1, cmt. [8]].

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What are the four essential components of "competent representation"?

Friendship with the judge, a low hourly rate, and a large library.

Legal knowledge, skill, thoroughness, and preparation.

Intelligence, speed, wealth, and a large office staff.

A high win-loss record, expensive clothing, and a law degree.

The Rules require a lawyer to provide competent representation to a client [MR 1.1]. Competent representation requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation [Id.]. In order to be competent, a lawyer must do factual and legal research into a client’s problem [MR 1.1, cmt. [5]].

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Which of the following is a fundamental skill required for legal competence?

Memorizing the contact information of every local judge to improve the candor.

Analyzing precedent, evaluate evidence, drafting legal documents and identify legal issues.

Providing personal financial investment advice to clients or third parties involved in the representation.

Developing complex social media marketing strategies to offer better legal services.

Fundamental skills necessary for competence include the ability to analyze precedent, evaluate evidence, draft legal documents, and identify legal issues and problems [MR 1.1, cmt. [2]]. Even newly admitted attorneys should have these skills.

Factors used to assess the sufficiency of a lawyer’s knowledge and skill include [MR 1.1, cmt. [1]]:
(1) the relative complexity and specialized nature of the matter;
(2) the lawyer’s general experience;
(3) the lawyer’s training and experience in the field in question;
(4) the preparation and study the lawyer is able to give the matter; and
(5) whether it is feasible to refer the matter to, or associate or consult with, a lawyer of established competence in the field.

4 / 14

In what circumstances is the knowledge of a general practitioner sufficient for a lawyer to be considered competent?

Only if the lawyer has been practicing law for more than thirty consecutive years.

Only when the client explicitly waives the right to a specialist in writing.

In some legal cases where specialized expertise is not required.

When the lawyer is charging a fee that is lower than the local market average.

In some cases, a lawyer need only have the knowledge of a general practi- tioner in order to be competent [Id.]. A lawyer can provide adequate representation in a wholly novel field through necessary study [MR 1.1, cmt. [2]].

5 / 14

When is a lawyer permitted to provide assistance in a matter where they lack the ordinary skill or knowledge?

In an emergency where referral or consultation is impractical.

Only if the lawyer has previously failed the bar exam in that specific subject.

Whenever the lawyer wants to gain experience in a new field of law.

If the client is willing to pay a significantly higher fee for the risk.

In an emergency, a lawyer may give advice or assistance to a client in need, even if he lacks the skill or knowledge ordinarily required, and referral to or consultation with another lawyer is impractical [MR 1.1, cmt. [3]]. The lawyer should limit his emergency assistance to that reasonably necessary under the circumstances [Id.].

6 / 14

What are the three primary options for a lawyer who determines they are not initially competent to handle a representation?

Charge a lower fee, work only on weekends, or ask a family member for informal legal advice.

Decline or withdraw, take action to become competent, or associate with competent counsel.

Delay the case indefinitely, guess the legal strategy, or wait for the opposing side to settle.

Hire a non-lawyer expert, use a generic legal template, or ask the client to do the research.

If the lawyer is not competent to handle the representation, he may: (1) decline or withdraw from the representation; (2) take action to make himself competent to handle the representation; or (3) associate with competent counsel.

7 / 14

What must a lawyer obtain before retaining or contracting with lawyers outside their own firm?

A copy of the outside lawyer's original law school transcripts and grades.

Informed consent from the client to involve the outside lawyers.

A special permit from the local bar association for each outside lawyer.

A written guarantee of a successful outcome from the outside firm.

Before a lawyer retains or contracts with other lawyers outside the lawyer’s own firm to provide or assist in the provision of legal services to a client, the lawyer should obtain informed consent from the client and must reasonably believe that the other lawyers’ services will contribute to the competent and ethical representation of the client [MR 1.1, cmt. [6]]. The client’s consent to representation when an attorney is not competent does not release the attorney from the duty of competence.

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What is the mandatory standard of conduct for a lawyer regarding the timing and effort of a representation?

A lawyer must work at the maximum possible speed regardless of accuracy.

A lawyer must act with reasonable diligence and promptness.

A lawyer should only act when the client sends a formal written reminder.

A lawyer is permitted to delay a matter if they have more important clients.

A lawyer must act with reasonable diligence and promptness in representing a client [MR 1.3].

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What type of "advocacy" is expected of a lawyer when representing a client?

Zeal in advocacy upon the client’s behalf.

Advocacy only when the client provides an extra cash bonus.

Passive observation of the legal proceedings in court.

Advocacy that prioritizes the lawyer's personal reputation.

A lawyer should act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client’s behalf [MR 1.3, cmt. [1]]. A competent lawyer may nevertheless act incompetently in his representation of a client and be subject to civil liability for malpractice. However, violation of a Rule does not automatically give rise to a cause of action against a lawyer, nor does it create a presumption that a legal duty has been breached [MR, Scope [20]].

10 / 14

Is a lawyer required to pursue every possible legal advantage for a client?

Yes, a lawyer must pursue every single minor technicality to be considered ethical.

Only if the opposing counsel is known to be less experienced than the lawyer.

No, a lawyer is not bound to press for every advantage that might be realized.

Only if the client provides a written list of every advantage they want to be pursued.

A lawyer is not bound to press for every advantage that might be real- ized for a client and will have discretion regarding the means by which a matter should be pursued [Id.].

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Under what condition may a lawyer agree to a postponement request?

Whenever the lawyer wants to take a personal vacation from the case.

If the postponement will not prejudice the lawyer's client.

Only if the lawyer is offered a financial incentive by the other side.

If the judge explicitly orders the lawyer to stop working on the matter.

A lawyer’s duty to act with reasonable promptness, however, does not preclude the lawyer from agreeing to a reasonable request for a postponement that will not prejudice his client [MR 1.3, cmt. [3]].

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Which of the following is a specific area a lawyer should especially attend to for professional diligence?

Delegating all client communications to a third-party answering service.

Increasing the number of clients regardless of the time required for each.

Charging a higher fee for cases that require more than one month of work.

Controlling his workload to ensure each matter can be handled competently.

A lawyer should especially attend to [MR 1.3, cmts. [2]-[4]]: a. controlling his workload; b. avoiding unreasonable delay and procrastination; c. filing within the statutes of limitations; and d. carrying representation through to completion and ensuring clients know when representation has ended.

13 / 14

Is a violation of the Rules of Professional Conduct a basis for civil liability per se?

Only if the lawyer is practicing in a state that follows the Model Rules strictly.

No, a violation is not a basis for civil liability per se according to the Rules.

Only if the lawyer has already been disbarred by the state supreme court.

Yes, any rule violation automatically entitles a client to a cash settlement.

Although a violation of the Rules is not a basis for civil liability per se, a violation may nonetheless be some evidence of an attorney’s negligence in a malpractice suit brought under tort law principles [MR, Scope [20]]. Even if the violation of a Rule is not negligence per se, courts may allow expert testimony regarding the standards established by the Rules in formulating the stan- dard of care relevant to a particular cause of action.

14 / 14

What is required for a lawyer to prospectively limit their liability for malpractice?

The lawyer must provide the client with a 50% discount on all legal fees.

The lawyer must file a special disclosure form with the state supreme court.

The client must be independently represented in making the agreement.

The client must sign a document stating they have a high school education.

A lawyer cannot make an agreement prospectively limiting his liability to a client for malpractice unless the client is independently represented in making the agreement [MR 1.8(h)(1)]. The lawyer cannot settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking, and is given a reasonable opportunity to seek, the advice of independent legal counsel in connection with the matter [MR 1.8(h)(2)]. Legal malpractice actions are now standard throughout the profession; therefore, many lawyers carry malpractice insurance.

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VI. Litigation and other forms of Advocacy (1)

1 / 26

What is the primary requirement for a lawyer to bring or defend a legal proceeding?

The opposing party must agree that the legal issue is worth discussing.

The client must be willing to pay all court costs and legal fees in advance.

There must be a basis in law or fact that is not frivolous.

The lawyer must be certain that they will win the case at the trial level.

A lawyer may not bring or defend a proceeding, or assert or controvert an issue, unless there is a basis in law or fact for doing so that is not frivolous [MR 3.1].

2 / 26

When is a legal action considered "frivolous"?

If the lawyer believes there is less than a 50% chance of winning the case in court.

If the client is unable to pay the full legal fee before the first motion is filed.

If the opposing counsel has already successfully won a similar case in the past.

If the lawyer cannot make a good-faith argument on the merits or for a change in law.

An action is frivolous if the lawyer is unable to either make a good-faith argument on the merits of the action taken or support the action taken by a good-faith argument for an extension, modification, or reversal of existing law [MR 3.1, cmt. [2]].

3 / 26

Is a claim considered frivolous if the lawyer believes the client will not ultimately win?

Yes, because filing a case that might lose is a waste of the court's resources.

Only if the lawyer expresses their doubt to the judge during the initial hearing.

Yes, a lawyer should only take cases that they are 100% certain to win.

No, as long as the lawyer is informed and can make good-faith arguments.

Even if the lawyer believes that the client will not ultimately prevail, a claim is not frivolous as long as the lawyer is informed about the facts of his client’s case and the applicable law, and is able to make good-faith arguments in support of his client’s position [Id.].

4 / 26

Is filing a lawsuit considered frivolous if the facts are not yet fully substantiated?

Only if the lawyer cannot find at least one eyewitness to testify immediately.

No, an action is not frivolous merely because facts have not been fully substantiated.

Yes, because courts require absolute certainty before a case can be officially opened.

Yes, a lawyer must have every piece of evidence in hand before filing any document.

Filing an action or asserting a defense on behalf of a client is not frivolous merely because the facts have not yet been fully substantiated or because discovery is needed to develop evidence [Id.].

5 / 26

To what types of cases does this specific non-frivolous exception apply?

Criminal cases and cases that could result in incarceration.

Any civil lawsuit involving a contract dispute between two corporations.

Divorce proceedings where the parties are arguing over marital property.

Traffic ticket hearings where the only possible penalty is a small fine.

It is not frivolous for the defendant’s lawyer in a criminal case, or in a case that could result in incarceration, to require the prosecution to establish every element of the case [MR 3.1]. A lawyer’s obligations under this Rule are subordinate to federal or state constitutional law that entitles a defendant in a criminal matter to the assistance of counsel in presenting a claim that would otherwise be prohibited by this Rule [MR 3.1, cmt. [3]].

6 / 26

What is the general duty of a lawyer regarding the speed of a legal proceeding?

A lawyer is required to ignore all court deadlines if the client is busy.

A lawyer must make a reasonable effort to expedite litigation.

A lawyer should delay the case as much as possible to increase billable hours.

A lawyer must finish every case within six months regardless of its complexity.

A lawyer must make a reasonable effort to expedite litigation consistent with his client’s interests [MR 3.2].

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What is the standard for determining if a delay is unethical?

Whether the judge has a reputation for being impatient with lawyers.

Whether the lawyer is being paid a flat fee or an hourly rate.

Whether the client has specifically asked the lawyer to be slow.

Whether the delay is used purely to frustrate the opponent.

A lawyer must not delay litigation to frustrate an opposing party’s attempt to obtain rightful redress [MR 3.2, cmt. [1]]. The standard for determining the reasonableness of a lawyer’s efforts is whether a competent lawyer acting in good faith would regard the course of action as having some substantial purpose other than delay [Id.].

8 / 26

Is a financial benefit gained from an improper delay considered a "legitimate interest" of the client?

No, realizing a financial or other benefit from an improper delay is not legitimate.

Yes, a lawyer must do whatever is necessary to save the client as much money as possible.

Only if the client is a small business that would otherwise go bankrupt during the trial.

Only if the lawyer shares the financial benefit with the client by lowering their legal fees.

Realizing a financial or other benefit from an otherwise improper delay in litigation is not a legitimate interest of the client [Id.].

9 / 26

When is it considered "proper" for a lawyer to seek a postponement?

When there are legitimate personal reasons for the request.

Whenever the lawyer wants to extend a holiday weekend by a few days.

Every time the lawyer has a conflicting social engagement with friends.

Only when the lawyer has not yet been paid their full retainer by the client.

While there may be occasions when it is proper for a lawyer to seek a postpone- ment for personal reasons, delay should not be permitted merely for the conve- nience of the advocates [Id.].

10 / 26

What is a lawyer strictly prohibited from doing when communicating with a tribunal?

Presenting a legal theory that has not yet been tested in a higher court.

Quoting a statute that was passed less than one year ago.

Arguing for a result that the lawyer personally finds unpleasant.

Knowingly making a false statement of material fact or law.

A lawyer may not knowingly make a false statement of material fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;

11 / 26

Is a lawyer in an adversary proceeding required to present an impartial exposition of the law?

Yes, the lawyer must present both sides of every argument with equal weight.

Only if the judge specifically requests a neutral report on the legal issues.

Only if the lawyer is being paid by both parties to the legal dispute.

No, the lawyer is not required to be impartial but must not mislead the court.

Although a lawyer in an adversary proceeding is not required to present an impartial exposition of the law or to vouch for the evidence submitted in a cause, the lawyer must not allow the tribunal to be misled by false statements of law, fact, or evidence that the lawyer knows to be false [MR 3.3, cmt. [2]].

12 / 26

What is a lawyer's duty when they know of controlling law that hurts their client's case?

They should keep it secret and hope the judge does not find it.

They must disclose it if the opposing counsel has failed to do so.

They are only required to disclose it if the judge asks them directly.

They must immediately withdraw from the case to avoid the issue.

A lawyer may not knowingly fail to disclose to a tribunal controlling legal authority known to the lawyer to be directly adverse to the client’s position and not disclosed by opposing counsel; or
(1) The legal authority must be controlling in the jurisdiction [MR 3.3, cmt. [4]].
(2) The authority must be directly adverse [Id.]. A case that is adverse on a closely related issue need not be cited under this Rule. (a) Moreover, this Rule does not prevent a lawyer from arguing that the adverse precedent should be overruled.
(3) The duty does not arise until opposing counsel has failed to cite the authority [Id.]. (a) If a lawyer argues first or submits briefs simultaneously with opposing counsel, she has no obligation at that time to cite the adverse prec- edent. The duty only arises after she has seen that it has not been cited by opposing counsel.

13 / 26

What is the absolute prohibition regarding a lawyer and false evidence?

A lawyer may not knowingly offer evidence that they know to be false.

A lawyer is allowed to offer false evidence if the client insists on it in writing.

A lawyer must only offer evidence that has been verified by a private investigator.

A lawyer can offer false evidence as long as they tell the opposing party later.

A lawyer may not knowingly offer evidence that the lawyer knows to be false. If a lawyer has offered material evidence and the lawyer comes to know of its falsity, the lawyer must take reasonable remedial measures, including, if necessary, disclosure to the tribunal [MR 3.3(a)(3)].

14 / 26

What is the first step a lawyer should take if they know a client intends to testify falsely?

Inform the judge of the client's intent before the trial even begins.

Seek to persuade the client that the evidence should not be offered.

Withdraw from the case without speaking to the client about the issue.

Immediately report the client to the police for attempted perjury.

If a lawyer knows that the client intends to testify falsely or wants the lawyer to introduce false evidence, the lawyer should seek to persuade the client that the evidence should not be offered [MR 3.3, cmt. [6]].

15 / 26

What must a lawyer do if attempts to persuade a client not to use false evidence are ineffective?

The lawyer must ask the jury for permission to present the evidence anyway.

The lawyer must let the client decide whether to proceed with the lie.

The lawyer must offer the evidence but cross-examine their own client.

The lawyer must refuse to offer the false evidence.

If the lawyer’s statements are ineffective and the lawyer continues to represent the client, the lawyer must refuse to offer the false evidence [Id.].

16 / 26

What is a lawyer permitted to do if only part of a witness's testimony will be false?

Refuse to call the witness entirely, even if they have useful true information.

Call the witness to testify, but only for the truthful portions.

Ask the witness to lie about everything to ensure the story is consistent.

Allow the witness to tell the whole story and let the jury figure out what is false.

If only a portion of a witness’s testimony will be false, the lawyer may call the witness to testify but may not elicit or otherwise permit the witness to present the testimony that the lawyer knows is false [Id.].

17 / 26

How can a lawyer’s "knowledge" that evidence is false be established?

It can only be established if the lawyer signs a written confession.

It must be proven by at least two independent eyewitnesses.

It requires a direct admission from the client recorded on video.

It can be inferred from the circumstances of the case.

A lawyer’s knowledge that the evidence is false can be inferred from the circumstances [MR 3.3, cmt. [8]].

18 / 26

How should a lawyer handle "doubts" regarding the truthfulness of a client's evidence?

The lawyer must immediately report any slight suspicion to the judge.

The lawyer must assume the client is lying until proven otherwise.

The lawyer should resolve doubts about veracity in favor of the client.

The lawyer should refuse to present any evidence that isn't 100% certain.

Thus, although a lawyer should resolve doubts about the veracity of testimony or other evidence in favor of the client, the lawyer cannot ignore an obvious falsehood [Id.].

19 / 26

When do the duties of candor toward the tribunal officially end?

They end the moment the lawyer receives their final payment.

They terminate only if the lawyer switches to a different law firm.

These duties terminate at the conclusion of the proceeding.

They last forever, even decades after the case has been closed.

These duties terminate at the conclusion of the proceeding, and apply even if compli- ance requires disclosure of information otherwise protected by Rule 1.6 [MR 3.3(c)].

20 / 26

What is included as a potential "reasonable remedial measure"?

Writing an anonymous letter to the local newspaper about the fraud.

Disclosure of the conduct to the tribunal, if necessary.

Charging the client a "secrecy fee" to keep the conduct quiet.

Retaining a second lawyer to handle the fraudulent parts of the case.

If a lawyer knows that the lawyer’s client or other person intends to engage, is engaging, or has engaged in criminal or fraudulent conduct related to an adjudicative proceeding involving the client, the lawyer must take reasonable remedial measures, including, if necessary, disclosure to the tribunal [MR 3.3(b)].This duty also continues to the conclusion of the proceeding, and applies even if compliance requires disclosure of information otherwise protected by Rule 1.6 [MR 3.3(c)].

21 / 26

What is a lawyer’s specific duty regarding facts in an ex parte proceeding?

Wait for the opposing party to show up before disclosing any facts at all.

Hide any facts that might cause the judge to deny the lawyer's motion.

Inform the tribunal of all material facts known to the lawyer.

Disclose only the facts that support the client's request for relief.

In an ex parte proceeding, a lawyer must inform the tribunal of all material facts that are known to the lawyer and that will enable the tribunal to make an informed decision, whether or not the facts are adverse [MR 3.3(d)].

22 / 26

When is a lawyer required to act regarding false testimony elicited by the opposing lawyer?

If the lawyer knows the testimony given during cross-examination is false.

Only if the false testimony directly helps the opposing party's case.

Only if the opposing lawyer realizes the testimony is false and objects.

Never, because the lawyer has no duty to correct errors made during cross-examination.

Having offered material evidence in the belief that it was true, a lawyer may subsequently come to know that the evidence is false; or a lawyer may be surprised when the lawyer’s client, or another witness called by the lawyer, offers testimony the lawyer knows to be false, either during the lawyer’s direct examination or in response to cross-examination by the opposing lawyer. In such situations, or if the lawyer knows of the falsity of testimony elicited from the client during a deposition, the lawyer must take reasonable remedial measures [MR 3.3, cmt. [10]].

23 / 26

What major conflict arises when a lawyer discovers evidence is false?

A conflict between the judge's opinion and the jury's final verdict.

A conflict between the duty of confidentiality and the duty of candor.

A conflict between the lawyer's personal morals and the client's religious beliefs.

A conflict between the court's schedule and the lawyer's billable hour requirements.

When false evidence is offered, a conflict may arise between the lawyer’s duty to keep the client’s revelations confidential and the duty of candor to the court [MR 3.3, cmt. [10]]. Upon ascertaining that material evidence is false, the lawyer should seek to persuade the client that the evidence should not be offered or, if it has been offered, that its false character should immediately be disclosed [Id.]. If the persuasion is ineffective, the lawyer must take reasonable remedial measures [Id.]. The advocate should seek to withdraw if that will remedy the situation.

24 / 26

What may a lawyer do if a defendant offers false testimony despite the lawyer's warnings?

The lawyer may seek the judge’s permission to withdraw from the case.

The lawyer must finish the trial and then report the client to the state bar afterward.

The lawyer is required to tell the jury exactly why they are unhappy with the client.

The lawyer must immediately join the client in the false testimony to maintain loyalty.

If a defendant offers false testimony despite the lawyer’s remonstrations, the lawyer may seek the judge’s permission to withdraw in order to avoid assisting the client in committing a fraud on the court. The lawyer may reveal only as much confidential information as is necessary to make the withdrawal request. Often a trial has progressed to the point where the court will refuse a lawyer’s request to withdraw from representation.

25 / 26

What is the source of a defendant's right to testify in a criminal matter?

It is a statutory right that can be revoked by the state legislature.

It is a constitutional right held by the defendant.

It is a privilege granted at the sole discretion of the prosecutor.

It is a contractual right based on the agreement with their lawyer.

In a criminal matter, a defendant has a constitutional right to testify on his own behalf.

26 / 26

When is a lawyer required to disclose false evidence to the tribunal?

If withdrawal is not permitted or will not remedy the effect of the false evidence.

As soon as the client first mentions they might consider lying in the future.

Only after the case has been decided and the appeal period has ended.

Only if the lawyer is certain the judge will not be angry about the disclosure.

If withdrawal from the representation is not permitted or will not remedy the effect of the false evidence, the lawyer must make such disclosure to the tribunal as is reasonably necessary to remedy the situation, even if doing so requires the lawyer to reveal information that otherwise would be protected by Rule 1.6 [Id.].

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VIII. Different Roles of the Lawyer (1)

1 / 13

What must a lawyer include in their advice, even if the client does not want to confront them?

A list of other clients who have faced similar legal problems.

Detailed personal opinions about the judge's private life.

Unpleasant facts and alternatives.

Predictions about how the local media will report on the case.

A client is entitled to straightforward, honest advice, even if such advice involves unpleasant facts and alternatives that a client may not want to confront [MR 2.1, cmt. [1]].

2 / 13

Besides the law, what other "considerations" may a lawyer refer to when giving advice?

The specific fashion choices of the opposing legal counsel.

Moral, economic, social, and political factors.

The lawyer's personal hobbies and favorite sports teams.

The private religious beliefs of the judge presiding over the case.

In representing a client, a lawyer must exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but also to other considerations such as moral, economic, social, and political factors that may be relevant to the client’s situation. Purely technical legal advice may, at times, be inadequate. Therefore, it is appropriate for a lawyer to refer to relevant moral and ethical considerations in giving advice [MR 2.1, cmt. [2]]. When the client is inexperienced, the lawyer may need to indicate that more may be involved than strictly legal considerations [Id.].

3 / 13

Under what condition can a lawyer provide "purely technical" legal advice?

Only if the lawyer and the client have signed a contract to never discuss social factors.

If the client expressly or impliedly asks for it and is experienced in legal matters.

If the client is a first-time litigant who seems overwhelmed by the legal process.

Only if the lawyer is a junior associate who lacks the experience to give moral advice.

However, if the client expressly or impliedly asks for purely technical advice, and the client is experienced in legal matters, the lawyer may accept it at face value [MR 2.1, cmt. [3]].

4 / 13

What should a lawyer do if a client's situation requires the expertise of a professional in a different field?

The lawyer should guess the correct answer to save the client time and money.

The lawyer should advise the client to seek that other professional's advice.

The lawyer must stop representing the client immediately to avoid a conflict.

The lawyer must personally study that field until they become an expert themselves.

If the advice of a professional in another field is required, the lawyer should advise the client to seek such other advice. If the other professionals provide conflicting recommendations, the lawyer will often provide a final recommendation as to a course of action [MR 2.1, cmt. [4]].

5 / 13

Under what circumstance may a lawyer "initiate" advice without being asked?

Only if the lawyer wants to increase their total billable hours.

When doing so appears to be in the client’s best interests.

If the lawyer believes the client is becoming too independent.

When the lawyer is bored and wants to start a new legal project.

While a lawyer is generally not expected to give advice until asked by the client, the lawyer may initiate advice when doing so appears to be in the client’s best interests [MR 2.1, cmt. [5]].

6 / 13

Under what primary condition may a lawyer provide a legal evaluation to a third person?

Only if the third person agrees to pay the lawyer’s full annual salary in advance.

Provided the lawyer has never met the third person in a professional or social setting.

If the lawyer can prove that the evaluation will definitely result in a lawsuit.

If the lawyer reasonably believes it is compatible with their relationship with the client.

A lawyer may provide an evaluation of a matter affecting a client for the use of a third person if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer’s relationship with the client. The lawyer must be satisfied as a matter of professional judgment that making the evaluation is compatible with other functions undertaken on behalf of the client [MR 2.3, cmt. [3]]. Assuming there is no incompatibility, the lawyer should advise the client of the implications of the evaluation, including the lawyer’s duty to third persons [Id.].

7 / 13

What is required before a lawyer can provide an evaluation that will "materially and adversely" affect a client?

The lawyer must wait at least thirty days after notifying the client.

The lawyer must first receive a court order from a presiding judge.

The client must give informed consent.

The third party must agree to keep the evaluation strictly confidential.

When the lawyer knows or reasonably should know that the evaluation is likely to affect the client’s interests materially and adversely, the lawyer may not provide the evaluation unless the client gives informed consent [MR 2.3(b)]. A lawyer should also advise the client if the rendering of such an evaluation will create a duty for the lawyer to a third party [MR 2.3, cmt. [3]].

Common examples of an evaluation made for a third party include [MR 2.3, cmt. [1]]:
a. an opinion concerning the title of property rendered at the behest of a vendor or borrower for the information of a prospective purchaser or lender; or
b. an opinion concerning the legality of securities registered for sale under the securities laws.

8 / 13

What is the relationship between a "report of an evaluation" and the duty of confidentiality?

The report of an evaluation completely cancels the duty of confidentiality for that client.

The duty of confidentiality only applies if the evaluation report is marked "Top Secret."

Disclosure is permitted only as required for the report; all other info remains protected.

A lawyer is prohibited from ever writing a report that contains any confidential info.

Except as disclosure is required in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by the duty of confidentiality [MR 2.3(c)]. a. In many cases, providing an evaluation to a third party poses no significant risk to the client, and the lawyer is impliedly authorized to disclose information as necessary to carry out the representation [MR 2.3, cmt. [5]].

9 / 13

What is the result when a lawyer is retained by "someone else" to examine a person's affairs?

The lawyer becomes the legal guardian of the person being examined.

The lawyer is prohibited from speaking to the person being examined.

The person being examined must pay half of the lawyer's legal fees.

No client-lawyer relationship is formed with the person being examined.

When the lawyer is retained by the person whose affairs are being examined, the general Rules concerning client loyalty and confidences apply [MR 2.3, cmt. [2]].
a. However, when a lawyer is retained by someone else, no client-lawyer relationship is formed with the person whose affairs are being examined, and the Rules regarding client loyalty and confidences do not apply [Id.].

10 / 13

What is a lawyer permitted to do when contacted by a client’s financial auditor?

The lawyer may respond in accordance with recognized professional procedures.

The lawyer is required to ignore the request to protect client confidentiality.

The lawyer must demand that the auditor pay a fee before receiving any info.

The lawyer must provide a complete and unedited copy of all client files.

When a client’s financial auditor contacts the lawyer regarding the client’s legal situation, the lawyer may respond in accordance with procedures recognized in the legal profession (e.g., the applicable ABA policy statement) [MR 2.3, cmt. [6]].

11 / 13

What is the primary goal of a lawyer when negotiating on behalf of a client?

To act as a neutral mediator who has no preference for either side.

To seek advantageous results for the client.

To delay the legal process for as long as the client continues to pay fees.

To ensure that both parties receive exactly the same financial outcome.

When negotiating, a lawyer seeks advantageous results for the client and deals honestly with others [MR Preamble [2]].

12 / 13

What is the primary function of a lawyer acting as a third-party neutral?

To represent one of the parties in court if the mediation fails to work.

To assist two or more non-clients to reach a resolution of a dispute.

To provide secret legal advice to the party that pays the highest fee.

To act as a private investigator to find evidence of criminal activity.

A lawyer acts as a third-party neutral when he assists two or more non-clients to reach a resolution of a dispute. Examples include service as an arbitrator or mediator [MR 2.4(a)]. The lawyer must inform unrepresented parties that the lawyer is not representing them [MR 2.4(b)].

13 / 13

What specific difference must the lawyer explain according to this rule?

The difference between the lawyer's hourly rate and the court's filing fees.

The difference between being a neutral and representing a client.

The difference between the state’s criminal code and its civil procedures.

The difference between a lawyer's personal politics and their professional ethics.

Furthermore, when the lawyer knows or reasonably should know that a party does not understand the lawyer’s role, the lawyer must explain the difference between the lawyer’s role as a third-party neutral and a lawyer’s role as one representing a client, including the inapplicability of the attorney-client evidentiary privilege [MR 2.4(b); MR 2.4, cmt. [3]].

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VIII. Different Roles of the Lawyer (2)

1 / 17

What is the primary ethical restriction on a prosecutor's ability to bring a charge?

The prosecutor must ensure the defendant has at least three prior convictions.

The prosecutor must not bring a charge they know is not supported by probable cause.

The prosecutor can only bring a charge if they are 100% certain of a conviction.

The prosecutor must wait for the victim to give written permission to proceed.

In addition to the general prohibition against extrajudicial statements that have a substantial likelihood of prejudicing an adjudicatory proceeding, a prosecutor has special duties. Prosecutors must refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause;

2 / 17

What must a prosecutor do regarding the accused person's right to counsel?

Make reasonable efforts to assure the accused is advised of the right and the procedure to get counsel.

Convince the accused that they do not actually need a lawyer to win the case.

Wait for the accused to spend at least thirty days in jail before mentioning the right to a lawyer.

Personally hire and pay for a private defense attorney for the accused.

Prosecutors must make reasonable efforts to assure that the accused has been advised of his right to, and the procedure for, obtaining counsel and that he has been given reasonable opportunity to do so;

3 / 17

What is a prosecutor prohibited from seeking from an unrepresented defendant?

A basic list of the defendant's current home address and phone number.

A simple request for the defendant to tell the truth during an interview.

A waiver of important pretrial rights.

A standard agreement to follow the rules of the local courthouse.

Prosecutors must not seek to obtain a waiver of important pretrial rights from an unrepresented accused;

4 / 17

What is the primary requirement for a prosecutor regarding evidence that helps the defendant?

The prosecutor is permitted to shred any evidence that contradicts the police report.

The prosecutor must wait until after the defendant is convicted to reveal helpful facts.

The prosecutor must make timely disclosure of all exculpatory and mitigating evidence.

The prosecutor should only share this evidence if the defense attorney pays a "discovery fee."

Prosecutors must make timely disclosure of all exculpatory and mitigating evidence (absent a contrary protective order);

5 / 17

What is the general restriction on a prosecutor subpoenaing a lawyer for client evidence?

The prosecutor must not do so unless a specific exception applies.

The prosecutor can only subpoena lawyers who have lost more than five cases.

The prosecutor must pay the lawyer a double hourly rate for their testimony.

The prosecutor can subpoena any lawyer at any time without a reason.

Prosecutors must not subpoena a lawyer in a grand jury or criminal proceeding to present evidence about a past or present client unless: (1) the information sought is not protected from disclosure by any applicable privilege; (2) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and (3) there is no other feasible alternative to obtain the information.

6 / 17

What is the primary duty of a prosecutor regarding the speech of law enforcement personnel?

To use reasonable care to prevent them from making prohibited statements.

To encourage the police to speak to the media to increase the chance of a conviction.

To personally write every press release issued by the local police department.

To ignore the statements of investigators since they are not technically lawyers.

Similarly, prosecutors must use reasonable care to prevent investigators, law enforcement personnel, employees, and others assisting the prosecutor from making extrajudicial statements that the prosecutor would be prohibited from making [MR 3.8(f)].

7 / 17

What must a prosecutor do if they find new evidence "likely proving" a defendant is innocent?

Wait for a judge to issue a specific order before revealing any new facts.

Promptly disclose the evidence to the authorities and the defendant.

Keep the evidence secret until the defendant files a formal appeal.

Shred the evidence if the original trial was handled by a different office.

When a prosecutor knows of new evidence likely proving that a convicted defendant is innocent, the prosecutor must promptly disclose that evidence to the authorities and, if the conviction was obtained in the prosecutor’s jurisdiction, to the defendant. In addition, the prosecutor must undertake further investigation to determine if the defendant was wrongly convicted [MR 3.8(g)].

8 / 17

What is the mandatory duty of a prosecutor when "clear and convincing" evidence proves innocence?

The prosecutor must ask the victim's family for permission to help the defendant.

The prosecutor must keep the evidence secret until the next election cycle.

The prosecutor should wait for the defendant to file a new lawsuit first.

The prosecutor must seek to remedy the conviction.

When a prosecutor knows of clear and convincing evidence establishing that a defendant in the prosecutor’s jurisdiction was convicted of an offense that the defendant did not commit, the prosecutor must seek to remedy the conviction

9 / 17

What must a lawyer disclose when appearing before a legislative or administrative tribunal?

The names of all other clients the lawyer's firm currently represents.

That the lawyer is appearing in a representative capacity for a client.

The exact amount of money the client is paying the lawyer for the appearance.

The lawyer's personal political affiliation and past voting record.

Lawyers regularly appear before governmental bodies such as legislative committees, administrative agencies, and municipal councils that perform legislative, policy, and rule-making functions. A lawyer representing a client before a legislative or administrative tribunal in a nonadjudicative proceeding must disclose to the tribunal that his appearance is in a representative capacity [MR 3.9]. However, legislatures and administrative agencies have a right to expect lawyers to deal with them as they deal with courts [Id.].

10 / 17

What must a lawyer remember when an officer gives them a direct instruction?

The officer is the lawyer’s true client because they signed the check.

The lawyer should ignore the officer and only listen to the shareholders.

The lawyer represents the organization, not the specific officer.

The lawyer must obey the officer even if it hurts the company's interests.

A lawyer employed or retained by an organization represents the organization as distinct from its directors, officers, employees, members, shareholders, or other constituents [MR 1.13(a)]. a. Other constituents means the positions equivalent to officers, directors, employees, and shareholders held by persons acting for organizational clients that are not corporations [MR 1.13, cmt. [1]]. b. In transactions between an organization and its lawyer, the client-lawyer relationship is maintained through the constituents of the organization.

11 / 17

In whose best interest must the lawyer "proceed as is reasonably necessary"?

The best interests of the organization as a whole.

The best interests of the officer who is currently committing the violation.

The best interests of the lawyer's own law firm and its future profits.

The best interests of the government agency that regulates the organization.

When the lawyer knows that the organization is likely to be substantially injured by an action of an officer or other constituent that violates a legal obligation to the organization or is in violation of law and might be imputed to the organization, the lawyer must proceed as is reasonably necessary in the best interests of the organization [MR 1.13(b)].

In determining how to proceed, the lawyer must give due consideration to the seriousness of the violation and its consequences, the scope and nature of the lawyer’s representation, the responsibility in the organization, the apparent motivation of the person involved, the policies of the organization concerning such matters, and any other relevant considerations [MR 1.13, cmt. [4]].

12 / 17

How can "knowledge" be determined under the Rules of Professional Conduct?

It is based entirely on what a judge dreams about the case.

It requires a unanimous vote from the local bar association.

It can be inferred from the surrounding circumstances.

It can only be proven if the lawyer admits it in writing.

Knowledge can be inferred from circumstances, and a lawyer cannot ignore the obvious [MR 1.13, cmt. [3]].

13 / 17

When is a lawyer permitted to take "further remedial action" outside the organization?

If the highest authority fails to address a clearly illegal act that causes substantial injury.

If the Board of Directors disagrees with the lawyer's choice of outside auditors.

Only if the lawyer receives a written letter of resignation from the company's CEO.

If the lawyer's personal salary is not increased after reporting a minor accounting error.

If, despite the attorney’s reporting “up the ladder,” the highest authority that can act on behalf of the organization insists upon action that is clearly illegal and reasonably certain to result in substantial injury to the organization, fails to address the matter in a timely and appropriate manner, or refuses to act, the lawyer may take further remedial action that is reasonably believed to be in the organization’s best interests. (1) Such action may include revealing information relating to the representation, whether or not Rule 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes that [MR 1.13(c)]: (a) despite the lawyer’s efforts, the highest authority insists upon or fails to address in a timely and appropriate manner an action, or a refusal to act, that is clearly a violation of law, and (b) the violation is reasonably certain to result in substantial injury to the organization.

14 / 17

What must a lawyer do if they are fired for following the ethical rules?

Keep the reason for the firing a secret to protect their own professional reputation.

Sue the organization immediately for wrongful termination in a public court.

Delete all of their legal files and emails before leaving the company's office.

Inform the organization’s highest authority of the discharge.

If a lawyer is discharged because of the lawyer’s actions taken pursuant to the Rules, or if the lawyer withdraws under circumstances that require or permit him to take action, the lawyer should inform the organization’s highest authority of the lawyer’s discharge or withdrawal [MR 1.13(e)].

15 / 17

Who must provide consent for an organization to enter a dual representation?

The specific officer who is receiving the personal legal help.

The lawyer's personal supervisor at their own private law firm.

A local judge from the county where the organization is located.

An appropriate official other than the individual being represented.

A lawyer for an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents if there is no conflict of interest [MR 1.13(g)]. If the organization’s consent to the dual representation is required by Rule 1.7, the consent must be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders [Id.].

16 / 17

What creates a conflict of interest in an organizational setting according to this rule?

A minor disagreement over the company's annual marketing budget.

The Board of Directors' choice to hire a new firm for a different case.

Serious charges of wrongdoing by those in control of the organization.

The lawyer's personal decision to move to a different law firm.

However, when the claim involves serious charges of wrongdoing by those in control of the organization, there may be a conflict between the lawyer’s duty to the organization and his relationship with the board. In this case, Rule 1.7 will govern who should represent the directors and the organization [Id.].

17 / 17

What is a lawyer required to do if an organization’s constituent misunderstands who the client is?

Ask the individual to become a secret partner in the lawyer's law firm.

Sign a private confidentiality agreement with that specific individual.

Explain that the organization itself is the actual client.

Provide the individual with a free personal lawyer at the company's expense.

In case of any misunderstanding when dealing with an organization’s directors, officers, employees, members, shareholders, or other constituents, the lawyer must explain that the organization itself is the client [MR 1.13(f)]. The lawyer should take steps necessary to ensure that the individual under- stands that, when there is such adversity of interest, the lawyer for the organi- zation cannot provide legal representation for that constituent individual, and that discussions between the lawyer for the organization and the individual may not be privileged [MR 1.13, cmt. [10]]. Whether or not the lawyer for an organization must issue this warning depends on the facts of the particular case [MR 1.13, cmt. [11]].

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IX. Safekeeping Funds and other Property

1 / 12

What is a lawyer required to do with the funds and property of clients or third persons?

Invest them in the lawyer's own business ventures to generate interest.

Hold them separate from the lawyer’s own property.

Deposit them into the lawyer's personal savings account for safekeeping.

Distribute them to the lawyer's firm partners as an advance on fees.

In general, a lawyer must hold funds and property of clients or third persons separate from the lawyer’s own property [MR 1.15(a)].

2 / 12

For what specific purpose is a lawyer permitted to deposit their own funds into a client trust account?

To cover a client's court filing fees if the client is temporarily short on cash.

To protect the lawyer's personal savings from a private lawsuit.

To maintain a high enough balance to earn better interest for the client.

To pay bank service charges.

However, a lawyer may deposit his own funds in a client trust account, but only up to the amount necessary to pay bank service charges [MR 1.15(b)].

3 / 12

How long must a lawyer keep complete records of account funds and property?

For one year after the final billing statement is sent.

Indefinitely, until the lawyer retires from practice.

Only until the funds have been fully disbursed to the client.

For five years after the representation has ended.

Complete records of all account funds and property must be kept by the lawyer for five years after representation [MR 1.15(a)].

4 / 12

What two types of advanced payments must be deposited into the trust account?

Only the interest earned on previous client settlements.

Prepaid legal fees and expenses.

Only the lawyer’s non-refundable "sign-on" bonus.

Only the travel costs for the lawyer's personal vacations.

A lawyer must deposit into the client trust account all prepaid legal fees and expenses that have been paid in advance [MR 1.15(c)].

5 / 12

Under what two conditions is a lawyer permitted to withdraw funds from a client trust account?

Whenever the lawyer's personal bank account balance is low.

Only after the entire case has reached a final and unappealable verdict.

As soon as the client signs the initial representation agreement.

Only when fees are earned or expenses are incurred.

The lawyer may withdraw from the client trust account only fees earned or expenses incurred [Id.].

6 / 12

What should a lawyer do if client funds are to be kept for a "longer period"?

Place them in an interest-bearing account with the client receiving the interest.

Transfer them to the lawyer's personal savings account until they are needed.

Keep them in a non-interest-bearing account to simplify bookkeeping.

Invest them in a high-risk stock portfolio to maximize potential returns.

Generally, a lawyer is under no duty to place client funds in an interest-bearing account, but if a client account earns interest, the lawyer may not retain the amount earned in interest without the client’s informed consent. If the funds are to be held in trust, then fiduciary management principles apply. (1) If the trust funds are to be kept for a very short time, the funds may be placed in a non-interest-bearing account. (2) If the funds are to be kept for a longer period, then the funds should be placed in an interest-bearing account with the client receiving the interest.

7 / 12

What must a lawyer do immediately upon receiving funds or property in which a client or third person has an interest?

Wait until the funds have cleared the bank before mentioning them.

Deposit the funds and wait for the client to ask about the status.

Notify only the law firm's partners and the tax authorities.

Promptly notify the client or third person.

Upon receiving funds or other property in which a client or third person has an interest, the lawyer must promptly notify the client or third person [MR 1.15(d)].

8 / 12

What action must a lawyer take regarding funds or property that a client or third person is "entitled to receive"?

Hold them until the lawyer's next scheduled billing cycle.

Deduct a 10% "handling fee" before making the delivery.

Wait for a written court order before releasing any funds.

Promptly deliver them to the client or third person.

A lawyer must promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third person, must promptly render a full accounting regarding such property [Id.].

9 / 12

What is the general requirement for handling client property that is not cash?

The lawyer is only responsible for it if it has a value over $1,000.

The lawyer may store it in their personal residence for convenience.

The lawyer must safeguard and account for it.

The lawyer should convert it to cash as soon as possible.

The lawyer must also safeguard, and account for, client property that is not cash. a. Property must be kept safe. b. Securities should be kept in a safe-deposit box.

10 / 12

What must a lawyer do when two or more persons claim an interest in the client’s property?

Give it to the person who has the most urgent financial need.

Keep it separate until the dispute is resolved.

Keep the property as a fee for mediating the dispute.

Distribute it to the client immediately and let the other parties sue.

When two or more persons (one of whom may be the lawyer) claim interest in the client’s property, the lawyer must keep it separate until the dispute is resolved [MR 1.15(e)].

11 / 12

What must a lawyer do with the portions of property that are not in dispute?

Promptly distribute them.

Keep them in the trust account until the disputed portion is also resolved.

Use them to pay for the legal costs of resolving the disputed portion.

Transfer them to the lawyer's personal account as a security deposit.

The lawyer must promptly distribute all portions of the property that are not in dispute [Id.].

12 / 12

Besides the client, to whom does a lawyer owe a duty regarding recovered funds?

The opposing party's legal malpractice insurance.

Only to the court and the state bar association.

Third parties with legitimate interests.

The lawyer's own business creditors.

A lawyer owes a duty not only to the client, but also to third parties with legitimate interests, such as a client’s creditor who has a lien on funds recovered in a personal injury action and placed in the lawyer’s trust account. A lawyer should protect thirdparty claims against wrongful interference by the client and not disburse money to the client unless sufficient funds remain to satisfy the lien claim. Under such circumstances, when the third person’s claim is not frivolous under applicable law, the lawyer must refuse to surrender the property to the client until the claims are resolved [MR 1.15, cmt. [4]].

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X. Communications about Legal Services

1 / 22

Why does the definition emphasize that advertising does not "personally target" individuals?

To ensure that potential clients are not "put on the spot" to accept or decline services.

To prevent lawyers from having to pay higher taxes on personalized marketing materials.

To ensure that all advertisements are equally appealing to every member of the public.

To allow lawyers to avoid the responsibility of verifying the accuracy of their claims.

In broad terms, advertising is the communication of information about the availability of a lawyer’s services in a general way that does not personally target any specific individual who might be put on the spot to accept or decline employing the lawyer. In an advertisement, a lawyer may identify the area of law in which he does or does not practice [MR 7.2, cmt. [9]].

2 / 22

What is the primary condition that must be met for a lawyer’s advertisement to be considered ethically permissible?

The advertisement must be reviewed and stamped by a judge before it is broadcast.

The communication must be truthful and not contain any misleading information.

The content must be written at a college reading level to ensure it is professional.

The lawyer must prove that their advertising budget is less than their annual income.

Advertising is permitted, as long as the communication is not misleading and is in accordance with the standards of Rule 7.1 Rule 7.1 permits a lawyer to use any form of public communication about the lawyer’s services that is not false or misleading [MR 7.1]. [MR 7.2(a)]. a. Rule 7.2 permits public dissemination of information concerning a lawyer’s or law firm’s name, address, email address, website, and telephone number; the kinds of services the lawyer will undertake; the basis on which the lawyer’s fees are determined, including prices for specific services and payment and credit arrangements; a lawyer’s foreign language ability; names of references and, with their consent, names of clients regularly represented; and other information that might invite the attention of those seeking legal assistance [MR 7.2, cmt. 1].

3 / 22

How can a literally true statement still be considered misleading?

If the statement is printed on colored paper instead of standard white paper.

If it omits necessary facts that cause the overall message to be deceptive.

If the lawyer does not repeat the statement at least three times to the client.

If the font size used in the statement is considered too small for older readers.

A statement is misleading if it contains a material misrepresentation of fact or law, or if it omits facts that are necessary to make the statement, considered as a whole, not materially misleading [Id.]. A truthful statement is also misleading if there is a substantial likelihood that it will lead a reasonable person to formulate a specific conclusion about the lawyer or the lawyer’s services for which there is no reasonable foundation [MR 7.1, cmt. [2]].

4 / 22

How does the "means used" to communicate affect the requirement for truthfulness?

Truthfulness is required regardless of the means used.

Truthfulness depends on the cost of the communication used.

Truthfulness is only required for written communications.

Truthfulness is only required for television and radio ads.

Regardless of the means used to make a lawyer’s services known, any statements about them should be truthful [MR 7.1, cmt. [1]].

5 / 22

Why might a truthful report of a lawyer's past achievements be considered misleading?

If it leads a reasonable person to form an unjustified expectation.

If the report is not accompanied by a photograph of the client.

If the achievements occurred more than five years in the past.

If the advertisement is displayed on a digital billboard.

An advertisement that truthfully reports a lawyer’s achievements on behalf of clients or former clients may be misleading if presented so as to lead a reasonable person to form an unjustified expectation that the same results could be obtained for other clients in similar matters without reference to the specific factual and legal circumstances of each client’s case [MR 7.1, cmt. [3]]. (1) The inclusion of an appropriate disclaimer or qualifying language may preclude a finding that a statement is likely to create unjustified expectations or otherwise mislead the public [Id.].

6 / 22

What conclusion might a reasonable person reach if an unsubstantiated comparison is presented with high specificity?

That the comparison can be substantiated.

That all lawyers in the area have agreed to the comparison.

That the comparison is based on a satirical joke.

That the lawyer is willing to negotiate their fees.

An unsubstantiated comparison of the lawyer’s services or fees with the services or fees of other lawyers may be misleading if presented with such specificity so as to lead a reasonable person to conclude that the comparison can be substantiated [Id.].

7 / 22

What is the mandatory inclusion for any communication about a lawyer's or law firm's services?

The total number of years the firm has been in continuous operation.

A full list of every lawyer currently employed at the firm.

The name and contact information of at least one responsible lawyer or firm.

The home address of the lawyer responsible for creating the advertisement.

Any communication about a lawyer or law firm’s services must include the name and contact information of at least one lawyer or law firm responsible for its content [MR 7.2(d)]. Trade names are permitted if they are not misleading and do not imply a connection with a government or charitable legal services organization [MR 7.1, cmt. [5]].

8 / 22

Under what specific condition may a firm continue to use the names of deceased members?

If the firm pays an annual licensing fee to the deceased member's family.

Where there has been a succession in the firm’s identity.

Only if the deceased member was a founding partner of the original firm.

If the deceased member left a specific written request in their will.

A firm may be designated by the names of all or some of its current members, by the names of deceased members where there has been a succession in the firm’s identity [Id.]. If a firm uses a trade name that includes a geographical name such as “Springfield Legal Clinic,” an express statement explaining that it is not a public legal aid organization may be required to avoid a misleading implication [MR 7.1, cmt. 5].

9 / 22

What is a law firm with offices in multiple jurisdictions permitted to do regarding its name?

It may use the same name or professional designation in each jurisdiction.

It can only use the same name if it has more than fifty lawyers in each location.

It is required to use a different name in every jurisdiction where it has an office.

It must change its name to include the name of the local governor in each state.

A law firm with offices in more than one jurisdiction may use the same name or
other professional designation in each jurisdiction [MR 7.1, cmt. [6]].

10 / 22

When must the name of a lawyer holding public office be removed from a law firm's name?

During any substantial period when the lawyer is not regularly practicing with the firm.

Only if the lawyer’s public office is located in a different city than the firm.

Only if the lawyer is convicted of a crime while serving in their public office.

As soon as the lawyer is nominated for a public position by a political party.

The name of any lawyer holding public office cannot be used in the name of the law firm, or in communications on its behalf, during any substantial period when the lawyer is not regularly practicing with the firm [MR 7.1, cmt. [8]].
(1) The name cannot be used on the firm’s letterhead [Id.].

11 / 22

What is the primary reason lawyers are prohibited from implying they practice together when they are not a firm?

To ensure that every lawyer has a completely unique professional logo.

To prevent lawyers from having to pay for a shared telephone system.

To do so would be false and misleading.

To ensure that all law firms remain small enough to be easily managed.

Lawyers may not imply or hold themselves out as practicing together in one firm when they are not a firm, as defined in Rule 1.0(c), because to do so would be false and misleading [MR 7.1, cmt. [7]].

12 / 22

What are the two essential components that define a "solicitation"?

It is printed on official stationery and mailed to a general neighborhood.

It is initiated by the lawyer and directed to a specific person.

It is broadcast on television and offers a free initial consultation.

It is requested by a client and provides a list of the lawyer's fees.

A solicitation is a targeted communication initiated by the lawyer that is directed to a specific person and that offers to provide legal services [MR 7.3, cmt. [1]]. a. Rule 7.3 distinguishes between advertising and solicitation by focusing on personal contact. For example, a communication is not a solicitation if it is directed to the general public, such as a billboard. b. Many states have upheld rules that prohibit lawyers from sending targeted direct mail solicitations to victims and their relatives for 30 days following an accident or disaster. c. Under federal law, lawyers cannot solicit victims of airline accidents and their families for 45 days following the accident [49 U.S.C. § 1136(g)(2)].

13 / 22

If a lawyer approaches a stranger at a hospital to offer legal services for a fee, which part of this rule are they violating?

They are soliciting a person who has already expressed a desire not to be contacted.

They are practicing law in a jurisdiction where they are not officially licensed.

They are failing to provide the specific name of a responsible law firm partner.

They are using live person-to-person contact for the purpose of pecuniary gain.

A lawyer shall not solicit professional employment by live person-to-person contact when a significant motive for the lawyer’s doing so is the lawyer’s or law firm’s pecu- niary gain, unless the person solicited [MR 7.3(b)]: a. is a lawyer; b. has a family, close personal, or prior professional relationship with the lawyer or law firm; or c. is a person who routinely uses for business purposes the type of legal services offered by the lawyer. “Live person-to-person contact” means in-person, face-to-face, live telephone and other real-time visual or auditory person-to-person communications, where the person is subject to a direct personal encounter without time for reflection [MR 7.3, cmt. 2].

A lawyer may not solicit employment from anyone who has made it known to the lawyer that he does not want to be solicited, nor may a lawyer engage in solicitation involving coercion, duress, or harassment [MR 7.3(c)]. a. Electronic real-time communications are analogous to live phone calls. They are believed to have a coercive effect because of their immediacy.

A lawyer has the right to solicit relatives and persons with whom he has close personal relationships for legal services. (1) The Rule is not specific as to what familial relationships are exempt—rela- tives by marriage as well as blood relatives are included. (2) The Rule does not define a “close personal relationship.”

14 / 22

Under what primary condition is a lawyer permitted to solicit a person in need of legal services?

When the lawyer provides a written guarantee that they will win the legal case.

When the lawyer is a member of the same political party as the person being solicited.

When the lawyer does not have a substantial pecuniary (financial) motive.

When the lawyer has practiced law for at least twenty-five consecutive years.

There are constitutional limits to a ban on in-person solicitation. These limits are
reflected in the exceptions contained in the Rule, which are described below.
a. Solicitation is permitted where the lawyer does not have a substantial pecuniary motive.
(1) A lawyer has the right to approach persons in need of legal services, to explain that need, and then to suggest that they obtain a lawyer or obtain the services of the soliciting lawyer without charge.
b. A lawyer has the right to solicit former clients for additional legal services.

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What is a lawyer's right regarding the solicitation of business from other lawyers?

A lawyer may only solicit other lawyers if they are in the same practice area.

A lawyer has the right to solicit business from other lawyers.

A lawyer can only solicit other lawyers through formal, written mail.

A lawyer is strictly prohibited from soliciting any other licensed professional.

A lawyer has the right to solicit business from other lawyers.
(1) There is less potential for abuse when the person contacted is also a lawyer [MR 7.3, cmt. [5]].

16 / 22

What right does a lawyer have regarding "group or prepaid legal services plans"?

The right to use the organization's office space as their own private law firm.

The right to force any organization to provide a legal plan to all its employees.

The right to manage the organization's private financial bank accounts for them.

The right to contact representatives of organizations interested in establishing such a plan.

A lawyer has the right to contact the representatives of organizations or groups interested in establishing a group or prepaid legal services plan for their members, beneficiaries, or other third persons [MR 7.3(e)].
a. A lawyer may participate in a prepaid or group legal services plan that uses personal solicitation to secure clients, as long as [MR 7.3, cmt. [9]]:

(1) the lawyer is not personally involved in the solicitation;
(2) the organization is not owned or directed by the lawyer; and
(3) the persons solicited are not known to be in need of legal services in a particular matter.

17 / 22

What is a lawyer strictly prohibited from providing in exchange for a client referral?

A link to their professional website or biography.

Anything of value.

A formal thank-you letter sent through the mail.

An invitation to a public community event.

A lawyer cannot give anything of value for client referrals, except that the lawyer may [MR 7.2(b)]: pay reasonable costs of advertisements or communications as permitted by this Rule; pay the fees associated with being part of a legal service plan, or a not-for-profit or qualified lawyer referral service; and (1) A qualified lawyer referral service is a lawyer referral service that has been approved by an appropriate regulatory authority [MR 7.2, cmt. [6]]. pay for a law practice in accordance with Rule 1.17;

18 / 22

With whom is a lawyer permitted to enter into a reciprocal referral agreement?

Another lawyer or a non-lawyer professional.

Only with government officials or legislative representatives.

Only with other lawyers licensed in the same state.

Any person, regardless of their professional status or license.

Refer clients to another lawyer or a non-lawyer professional pursuant to an agreement that provides for referrals of clients or customers to the lawyer, if: (1) the reciprocal referral agreement is not exclusive; and (2) the client is informed of the existence and nature of the agreement.

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What is the primary purpose allowed for giving a nominal gift?

As an expression of appreciation.

As a way to advertise the law firm's annual profit margins.

As a down payment for future client leads.

As a formal legal requirement for every referral received.

Give nominal gifts as an expression of appreciation, not intended nor reasonably expected to be a form of compensation for recommending a lawyer’s services. The gift may not be more than a token item as might be given for holidays, or other ordinary social hospitality.

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What is the primary responsibility of a lawyer who accepts referrals from a legal service plan?

To pay a fixed percentage of every case fee directly to the referral service manager.

To act reasonably to assure the plan's activities are compatible with the lawyer's obligations.

To provide the referral service with a list of the firm’s private bank account numbers.

To ensure that the legal service plan is owned and operated by a former judge.

A lawyer who accepts assignments or referrals from a legal service plan or referrals from a lawyer referral service must act reasonably to assure that the activities of the plan or service are compatible with the lawyer’s professional obligations [MR 7.2, cmt. 7].

21 / 22

What is the fundamental requirement for a lawyer’s claim of being a specialist?

The statement must be truthful and not false or misleading.

The statement must be accompanied by a signed affidavit from a former judge.

The statement must be approved by a majority vote of the local bar association.

The statement must be printed in at least three different local newspapers.

A lawyer is generally permitted to state that the lawyer is a “specialist,” practices a “specialty,” or “specializes in” particular fields, but the statement must be truthful, and not false and misleading [MR 7.2, cmt. [9]]. Directory listings and group advertisements that list lawyers by practice area, without more, do not constitute impermissible “recommendations” [MR 7.2, cmt. 2].

22 / 22

Why is the word "certified" restricted more strictly than the word "specializes"?

Because the government charges a tax for the use of the word "certified."

Because "specializes" is a word that only applies to criminal law cases.

Because "certified" implies a formal credential approved by a state authority.

Because the word "certified" is more difficult for children to understand.

A lawyer may not state or imply that he is certified as a specialist in a particular field of law, unless he is certified by an organization approved by a state authority (such as the state bar) or accredited by the ABA, and the name of the certifying organization is identified [MR 7.2(c)]. a. However, a state could prohibit advertisement of certifications issued by organizations that make no inquiry into a petitioner’s fitness, or issue certificates indiscriminately for a fee.

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XI. Lawyers’ Duties to the Public and the Legal System

1 / 16

What is every lawyer’s professional responsibility?

To volunteer at least 100 hours of community service per year.

To provide legal services to those unable to pay.

To donate 10% of their annual income to the state bar association.

To represent any client who requests their services, regardless of the case.

Every lawyer has a professional responsibility to provide legal services to those unable to pay [MR 6.1].

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How many hours of pro bono service should a lawyer "aspire" to provide annually?

A minimum of 10 hours.

Exactly 100 hours.

At least 50 hours.

As many as their firm requires for a year-end bonus.

A lawyer should aspire to render at least 50 hours of pro bono publico legal services per year [MR 6.1]. This is not mandatory, but strongly recommended. Each state may decide to choose a higher or lower number of hours of annual service (which may be expressed as a percentage of a lawyer’s professional time) depending upon local needs and conditions [MR 6.1, cmt. [1]].

3 / 16

How should a "substantial portion" of the 50 pro bono hours be provided?

Only after a "good faith" deposit is paid by the client.

At a significantly reduced hourly rate.

Without fee or expectation of fee.

In exchange for a tax credit from the state.

A substantial portion of the 50 hours of pro bono publico legal services should be provided without fee or expectation of fee to [MR 6.1(a)]: a. persons of limited means; or b. charitable, religious, civic, community, governmental, and educational organiza- tions in matters that are designed primarily to address the needs of persons of limited means. Substantially reduced fee is also ok.

4 / 16

How may lawyers satisfy the pro bono requirements?

They may aggregate only if they work for the government.

They must each meet the requirement individually with no exceptions.

They can only aggregate if they are members of the same immediate family.

They may aggregate to satisfy them collectively.

Lawyers may aggregate to satisfy the pro bono requirements collectively (e.g., a 40-lawyer firm may assign one lawyer to full-time pro bono work) [MR 6.1, cmt. [9]].

5 / 16

According to the general rule, when should a lawyer accept a court appointment?

Except when there is "good cause" to decline.

Whenever the lawyer has fewer than three active cases.

Only when the court offers to pay the lawyer's full hourly rate.

Only if the client's case is guaranteed to be successful.

Where a lawyer is appointed to represent a client, he should accept the appointment except for good cause, such as, if [MR 6.2]:
a. representing the client is likely to result in a violation of the Rules or other law;
b. representing the client is likely to result in an unreasonable financial burden on the lawyer; or
c. the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer’s ability to represent the client.

6 / 16

How do the obligations of an appointed lawyer compare to those of a retained (hired) lawyer?

Appointed lawyers are only responsible for the "major" parts of a case.

They have the same obligations.

Appointed lawyers only owe the duty of loyalty, not confidentiality.

Appointed lawyers have fewer obligations because they are not being paid.

An appointed lawyer has the same obligations to the client as retained counsel, including the obligations of loyalty and confidentiality, and is subject to the same limitations on the client-lawyer relationship, such as the obligation to refrain from assisting the client in violation of the Rules [MR 6.2, cmt. [3]].

7 / 16

What roles can a lawyer hold within a legal services organization?

Only as a temporary external consultant.

Director, officer, or member.

Only as an unpaid volunteer researcher.

Strictly as an observer with no voting rights.

A lawyer may serve as a director, officer, or member of a legal services organization, even if the organization serves persons having interests adverse to a client of the lawyer [MR 6.3].

8 / 16

When is a lawyer prohibited from participating in a decision of a legal services organization?

Only if the lawyer personally disagrees with the organization's political stance.

If the lawyer has not yet met their 50-hour pro bono goal for the year.

Only if the organization is planning to hire the lawyer's competitor.

If it would be incompatible with the lawyer’s obligation to their own client.

The lawyer should not knowingly participate in a decision or action of the organization if [Id.]:
a. participating in the decision would be incompatible with the lawyer’s obligation to the client; or
b. the decision or action could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer.

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Does a lawyer's status as an officer or member of a legal services organization create an attorney-client relationship with the people that organization serves?

Only if the lawyer provides financial support to the organization.

No.

Yes, but only if the lawyer meets with the client in person.

Yes, for the limited purpose of confidentiality.

Lawyers should be encouraged to support and participate in legal service organizations. A lawyer who is an officer or a member of such an organization does not thereby have a client-lawyer relationship with persons served by the organization [MR 6.3, cmt. [1]].However, there is potential for conflict between the interests of such persons and the interests of the lawyer’s clients [Id.]. If the possibility of such conflict disqualified a lawyer from serving on the board of a legal services organization, the profession’s involvement in such organizations would be severely curtailed [Id.].

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If a lawyer is participating in a law-reform decision and knows that their client will "materially benefit" from it, what must the lawyer do?

Disclose that fact to the organization.

Pay the organization a portion of the client's profit.

Resign from the organization immediately.

Keep the benefit secret to protect client-lawyer privilege.

A lawyer may serve as a director, officer, or member of a law-reform organization, even if the reform may affect the interests of a client of the lawyer [MR 6.4].

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Does a lawyer's involvement in a law-reform organization create an attorney-client relationship with that organization?

Only if the lawyer is an officer of the organization.

Only if the lawyer is paid a stipend for their time.

Yes, they are considered the organization's primary legal counsel.

No, generally they do not have a client-lawyer relationship.

Lawyers involved in organizations seeking law reform generally do not have a client- lawyer relationship with the organization [MR 6.4, cmt. [1]].

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If a lawyer makes a statement about a judge that is false, but they genuinely believed it was true because they failed to check the facts, have they violated the rules?

Only if the judge sues the lawyer for defamation.

No, because all statements about judges are protected by absolute free speech.

Yes, if it was made with "reckless disregard" as to its truth.

No, because the lawyer didn't "know" it was false.

A lawyer must not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial office [MR 8.2(a)].

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Why is it important for lawyers to express honest and candid opinions about judicial candidates?

Because their assessment is relied upon in evaluating the candidates' fitness.

Because the media pays lawyers for their "insider" opinions on candidates.

Because lawyers are legally required to vote in every judicial election.

Because it helps lawyers win more cases in front of those specific judges.

A lawyer’s assessment of judges and judicial candidates is relied upon in evaluating such candidates’ professional or personal fitness for judicial or legal office. For this reason, it is important that lawyers express honest and candid opinions on such matters [MR 8.2, cmt. [1]]. A false statement by a lawyer can unfairly undermine public confidence in the administration of justice [Id.].

14 / 16

Under what condition is a lawyer or law firm prohibited from accepting a government engagement or judicial appointment?

If they have ever donated more than $100 to any political party.

If they made or solicited contributions for the purpose of obtaining that work.

Only if the contribution was made in cash rather than via check or credit card.

If the lawyer and the judge belong to the same political organization.

A lawyer or law firm must not accept an engagement for legal work offered by the government or an appointment by a judge if the lawyer or law firm makes or solicits political contributions for the purpose of obtaining or being considered for that type of legal engagement or appointment [MR 7.6].

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What is a lawyer prohibited from "stating or implying" regarding a government agency or official?

That they intend to file a formal legal petition with the agency.

That they have previously worked as a clerk for that specific agency.

An ability to influence them improperly or to achieve results by means that violate the Rules.

That they have a high degree of respect for the official's expertise.

A lawyer must not state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules or other law [MR 8.4(e)].

16 / 16

Which of the following best describes the lawyer's responsibility?

To report every minor administrative mistake a judge makes in court.

To refrain from helping a judge violate the law or judicial ethics.

To provide legal advice to the judge on how to win an election.

To pay for the judge's professional membership fees in legal organizations.

A lawyer must not knowingly assist a judge or judicial officer in conduct that is a violation of the applicable rules of judicial conduct or other law [MR 8.4(f)].

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Canon 1

1 / 10

What three qualities of the judiciary must a judge uphold and promote?

Secrecy, speed, and finality.

Efficiency, popularity, and political relevance.

Strictness, authority, and tradition.

Independence, integrity, and impartiality.

A judge must uphold and promote the independence, integrity, and impartiality of the judiciary, and avoid impropriety, including the appearance of impropriety [CJC Canon 1].

2 / 10

When must a judge comply with the law and the Code of Judicial Conduct?

Only when they are in the presence of legal counsel or litigants.

Only when they are presiding over a high-profile case.

Only during official court hours or while on the bench.

At all times.

A judge must at all times comply with the law and this Code

3 / 10

What is the objective standard for "impropriety" that a judge must avoid because he must expect to be the subject of constant public scrutiny?

Only behavior that occurs while the judge is on the bench.

Only conduct that has been proven to be a violation of the law.

Only conduct that the judge personally believes is improper.

Both actual impropriety and the appearance of impropriety.

A judge must act at all times in a manner that promotes public confidence in the independence, integrity, and impartiality of the judiciary, and must avoid impropriety and the appearance of impropriety [CJC 1.2].

4 / 10

What specific qualities of a judge must the conduct not reflect adversely upon?

Popularity, political affiliation, or wealth.

Honesty, impartiality, temperament, or fitness to serve.

The judge's physical strength or public speaking ability.

The number of years the judge has been in practice.

The test for appearance of impropriety is whether the conduct would create in reasonable minds a perception that the judge violated this Code, or engaged in other conduct that reflects adversely on the judge’s honesty, impartiality, temperament, or fitness to serve as a judge [CJC 1.2, cmt. [5]].

5 / 10

What is a judge prohibited from allowing to influence their judicial conduct or judgment?

The binding legal precedents established by higher courts.

The specific statutes and constitutional provisions relevant to the case.

Family, social, political, financial, or other interests or relationships.

The rules of evidence and the testimony provided under oath.

A judge should not allow his family, social, political, financial, or other interests or relationships to influence his judicial conduct or judgment [CJC 2.4(B)].

6 / 10

What is a judge prohibited from "abusing" to advance personal or economic interests?

The historical traditions of the courtroom.

The prestige of his office.

The legislative authority of the state.

The private funds of the local bar association.

A judge should not abuse the prestige of his office to advance the personal or economic interests of the judge or others, or allow others to do so [CJC 1.3].

7 / 10

What "impression" must a judge avoid conveying or permitting others to convey?

That the courtroom is open to the general public.

That the judge follows the sentencing guidelines established by the state.

That they are in a special position to influence the judge.

That the judge is a member of a specific political party.

A judge should not convey or permit others to convey the impression that they are in a special position to influence the judge [CJC 2.4(C)].

8 / 10

What is a judge prohibited from doing voluntarily?

Attending a public trial as a spectator.

Testifying as a character witness.

Writing a legal textbook on judicial ethics.

Serving as a mentor to newly appointed judges.

A judge should not testify voluntarily as a character witness [CJC 3.3].

9 / 10

On what must a judge's service as a reference or letter of recommendation be based?

The recommendation of a political donor.

Personal knowledge.

A review of the individual's public social media profile.

A request from a high-ranking government official.

A judge may serve as a personal reference or provide a letter of recommendation based on personal knowledge [CJC 1.3, cmt. [2]].
a. The judge may use official letterhead if the judge indicates that the reference is personal and if there is no likelihood that the use of the letterhead would reasonably be perceived as an attempt to exert pressure by reason of the judicial office [Id.].

10 / 10

What type of organization is a judge prohibited from joining?

Any organization that practices invidious discrimination.

Any organization that has a membership fee higher than $500.

Any organization that focuses on political or legislative lobbying.

Any organization that is located outside the judge's home state.

A judge should not be a member of any organization that practices invidious discrimination on the basis of race, sex, gender, religion, national origin, ethnicity, or sexual orientation [CJC 3.6(A)]. c. This Rule does not apply to national or state military service. [CJC 3.6, cmt. [5]]. A judge’s membership in a religious organization is a lawful exercise of the freedom of religion, and is not a violation of this Rule [CJC 3.6, cmt. [4]].

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Canon 2

1 / 34

What is considered "paramount" to a judge's duties?

Upholding and applying the law with fairness and impartiality.

Ensuring that the most popular party in the community wins the case.

Achieving the highest number of closed cases per month.

Following the personal political preferences of the appointing authority.

A judge must perform the duties of judicial office impartially, competently, and diligently [CJC Canon 2]. Upholding and applying the law with fairness and impartiality is paramount to a judge’s duties [CJC 2.2].

2 / 34

What does the term "precedence" mean regarding a judge's duties?

Official judicial work must be prioritized over all other activities.

A judge should only focus on judicial duties if they are interested in the case.

Personal and social activities should be completed before judicial work.

Judges may choose which activities to prioritize based on their own schedule.

A judge’s judicial duties take precedence over all of the judge’s other activities [CJC 2.1].

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When is a judge permitted to NOT hear an assigned matter?

When the judge's schedule is too full for the week.

When the judge disagrees with the politics of the plaintiff.

When the judge is disqualified from the case.

When the judge wants to take a longer vacation.

A judge should hear and decide matters assigned to him except those in which he is disqualified [CJC 2.7].

4 / 34

A judge is presiding over a highly controversial trial. Thousands of people are protesting outside the courthouse demanding a "Guilty" verdict. How should the judge react?

The judge should step down because the public pressure makes the case too difficult.

The judge should consider the public's opinion to ensure the community is satisfied.

The judge must remain unswayed by the public clamor and decide based only on the law.

The judge should delay the trial until the protests stop.

A judge should be unswayed by public clamor, or fear of criticism [CJC 2.4(A)].

5 / 34

What is a judge's responsibility regarding the courtroom environment?

The judge should prioritize a casual atmosphere to make the litigants comfortable.

The judge only needs to maintain order if the media is present.

The judge should require order and decorum.

The judge should allow the parties to manage the courtroom atmosphere themselves.

A judge should require order and decorum in his courtroom [CJC 2.8(A)].

6 / 34

A judge is frustrated because a self-represented (pro se) litigant is taking a long time to explain their case. What is the judge's obligation?

To express their frustration openly so the litigant learns to be faster next time.

To remain patient and courteous regardless of the litigant's lack of legal skill.

To interrupt the litigant and demand they hire a lawyer immediately.

To recuse themselves because they no longer like the litigant.

A judge should be patient, courteous, and dignified to litigants, jurors, witnesses, lawyers, court officials, court staff, and others with whom the judge deals in his official capacity. The judge should require similar conduct of court personnel and others [CJC 2.8B].

7 / 34

Which of the following can convey an "appearance" of bias?

Only the specific statutes cited in the legal opinion.

Oral communications, facial expressions, and body language.

Only the final written judgment signed by the judge.

Only the private conversations the judge has in their home.

A judge should perform judicial duties without bias or prejudice [CJC 2.3(A)].
(1) The judge should not, in the performance of judicial duties, by words or conduct, manifest bias or prejudice, or engage in harassment, based upon race, sex, gender, religion, national origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic status, or political affiliation, and should require court personnel and others not to do so [CJC 2.3(B)].
(2) Oral communications, and even facial expressions and body language, can convey an appearance of judicial bias or prejudice to parties or lawyers in the proceeding, jurors, the media, and others [CJC 2.3, cmt. [2]].

8 / 34

What is the judge's role regarding the behavior of lawyers in their courtroom?

The judge must require them to refrain from manifesting bias or harassment.

The judge should only intervene if the lawyer's bias affects the judge's own opinion.

The judge should ignore biased behavior to avoid appearing confrontational.

The judge has no authority over a lawyer's words unless a law is broken.

A judge should require lawyers in proceedings before him to refrain from manifesting, by words or conduct, bias or prejudice, or engaging in harassment, based upon race, sex, religion, national origin, ethnicity, disability, age, sexual orientation, marital status, socioeconomic status, or political affiliation, against parties, witnesses, lawyers, or others [CJC 2.3(C)].

9 / 34

Who is entitled to the "right to be heard"?

Only the party that filed the lawsuit first.

Only the individuals who have paid the required court fees in full.

Every person who has a legal interest in a proceeding (or their lawyer).

Only the lawyers who have more than ten years of experience.

A judge should accord to every person who has a legal interest in a proceeding, or that person’s lawyer, the right to be heard according to law [CJC 2.6(A)].

10 / 34

What is the standard for a nonpublic statement to be considered a violation?

If it might substantially interfere with a fair trial or hearing.

Nonpublic statements are never violations because they are private.

If it is made to a member of the judge's immediate family.

If it is overheard by more than two people.

A judge should not make any public statement that might reasonably be expected to affect the outcome or impair the fairness of a matter pending or impending in any court, or make any nonpublic statement that might substan- tially interfere with a fair trial or hearing [CJC 2.10(A)].
b. A judge should require similar abstention on the part of his staff [CJC 2.10(C)].
(1) This rule does not apply to any oral or written statement made by a judge in the course of his adjudicative duties.
(2) A judge is permitted to make public statements in the course of official duties and may explain court procedures [CJC 2.10(D)].
(3) A judge is permitted to respond directly or through a third party to alle- gations in the media or elsewhere concerning the judge’s conduct in a matter [CJC 2.10(E)].
(4) This rule does not apply to proceedings in which a judge is a litigant in a personal capacity [CJC 2.10(D)].

11 / 34

Where is the ONLY place a judge is permitted to comment on a jury's verdict?

In a press conference immediately following the trial.

In a court order or opinion.

In a personal letter sent to the jurors' homes.

At a local bar association luncheon.

A judge should not commend or criticize jurors for their verdict other than in a court order or opinion [CJC 2.8(C)].

12 / 34

Under what circumstance is a judge allowed to use nonpublic information acquired in their capacity?

When the judge believes the information will eventually become public anyway.

When the use is directly related to their judicial duties.

When the judge is giving investment advice to their immediate family.

When the judge is writing a fictional novel based on their life experiences.

A judge should not knowingly disclose or use, for any purpose unrelated to judicial duties, information acquired in a judicial capacity that is not available to the public [CJC 3.5]. (1) In the course of performing judicial duties, a judge may acquire information of commercial or other value that is unavailable to the public. The judge must not reveal or use such information for personal gain or for any purpose unrelated to his or her judicial duties [CJC 3.5, cmt. [1]].

13 / 34

In which two areas must a judge be competent and diligent?

Judicial and administrative duties.

Legal research and public relations.

Social media and community outreach.

Political campaigns and financial management.

A judge must perform judicial and administrative duties competently and diligently [CJC 2.5(A)].

14 / 34

If a judge refuses to follow a Chief Judge's administrative schedule for sharing courtroom space, if this any type of violating?

Only if the refusal results in a physical confrontation.

Yes, because they are failing to cooperate in the administration of court business.

No, because a judge has absolute autonomy over their own schedule and agenda.

No, provided the judge is still deciding their cases correctly.

A judge must cooperate with other judges and court officials in the administration of court business [CJC 2.5(B)].

15 / 34

Which groups of people, must the judge supervise to ensure that they act in a manner consistent with the judge’s obligations?

Only the lawyers and the litigants currently appearing in the courtroom.

Only the judge’s family members and close personal friends.

Court staff, court officials, and others subject to the judge’s direction and control.

The media and the general public attending the trial.

A judge must require court staff, court officials, and others subject to the judge’s direction and control to act in a manner consistent with the judge’s obligations under this Code [CJC 2.12(A)].

16 / 34

What is the standard of action required for a supervisory judge?

To ignore the performance of other judges to respect their independence.

To take "reasonable measures" to ensure proper performance.

To fire any judge who makes a legal mistake.

To personally decide every case assigned to the other judges.

A judge with supervisory authority for the judicial performance of other judges should take reasonable measures to ensure that those judges properly discharge their judicial responsibilities, including the prompt disposition of matters before them [CJC 2.12(B)].

17 / 34

Which of the following is explicitly listed as something a judge should avoid?

Nepotism, favoritism, and unnecessary appointments.

Appointing individuals who have never worked in a court before.

Hiring people from different law schools.

Making appointments during an election year.

In making administrative appointments, a judge [CJC 2.13(A)]: (1) should exercise the power of appointment impartially and on the basis of merit; and (2) should avoid nepotism, favoritism, and unnecessary appointments.

18 / 34

What is the trigger for a judge to take action regarding a colleague's health?

If the judge "believes" they are performance-impaired by a condition.

Only if the other judge commits a serious crime in the courtroom.

If the judge is asked to intervene by the local media.

Only if the other judge is officially diagnosed by a doctor.

If a judge believes a lawyer or another judge is performance-impaired by drugs or alcohol or a mental, emotional, or physical condition, he must take appropriate action, including a confidential referral to a lawyer or judicial assistance program [CJC 2.14]. (1) In some situations, the judge may be required to take other action, such as reporting the impaired person to the appropriate authority [CJC 2.15, cmt. [2]].

19 / 34

Which of the following impacts of a violation would trigger the requirement to inform the appropriate authority between judges or between a jusge and a lawyer?

The violation undermines the judge's trustworthiness or fitness for duty.

The violation makes the judge unpopular with the local bar association.

The violation results in a disagreement over a complex legal interpretation.

The violation causes the judge to be slower in processing their caseload.

A judge having knowledge that another judge has committed a violation of this Code that raises a substantial question regarding the judge’s honesty, trust-worthiness, or fitness as a judge in other respects must inform the appropriate authority [CJC 2.15(A)].

A judge who does not have actual knowledge, but who receives information indicating a substantial likelihood that another judge or a lawyer has committed misconduct, should take appropriate action [CJC 2.15(C), (D)].
(1) Appropriate action may include, but is not limited to, communicating directly with the judge or lawyer involved, communicating with a super- vising judge, or reporting the suspected violation to the appropriate disci- plinary authority [CJC 2.15, cmt. [2]].

20 / 34

What is the qualitative requirement for a judge's interaction with a disciplinary agency?

The judge must provide only the information that is explicitly requested in writing.

The judge is allowed to omit unfavorable facts as long as they do not tell a direct lie.

The judge must remain silent to protect the privacy of the judicial office.

The judge is required to provide information in a way that is both candid and honest.

A judge must cooperate candidly and honestly with disciplinary agencies and must not retaliate against a person known or suspected of having cooperated with an investigation of a judge or a lawyer [CJC 2.16].

21 / 34

Which specific judicial actions are restricted regarding private communications about a case?

The judge is only restricted from considering the information in their final written order.

The judge is forbidden from starting, allowing, or using such communications in their decision-making.

The judge is only forbidden from initiating the conversation but can listen if the lawyer starts it.

The judge is allowed to have these conversations as long as they promise to tell the other side later.

A judge must not initiate, permit, or consider ex parte communications concerning a pending or impending proceeding [CJC 2.9(A)]. a. Ex parte communication means a communication, concerning a pending or impending matter, between counsel or an unrepresented party and the court when opposing counsel or an unrepresented party is not present, or any other commu- nication made to the judge outside the presence of the parties or their lawyers.

A judge must make reasonable efforts, including the provision of appropriate supervision, to ensure that the general prohibition against ex parte communications is not violated through law clerks and other court personnel [CJC 2.9(D)].

A judge may initiate, permit, or consider any ex parte communication when authorized by law to do so [CJC 2.9(A)(5)].

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Under what condition is a judge allowed to proceed with a private conversation regarding a scheduling conflict?

The judge must be confident that the discussion will not provide any strategic or procedural benefit to the participant.

The judge must obtain a written waiver from the court clerk before the meeting begins.

The judge must ensure that the conversation lasts no longer than ten minutes.

The judge must believe that the other parties would probably agree with the outcome of the talk.

Ex parte communications that relate to scheduling, administrative purposes, or emer- gencies, and not to substantive matters or issues, are authorized, if [CJC 2.9(A)(1)]: the judge reasonably believes that no party will gain a procedural or tactical advantage as a result; and the judge takes steps to promptly notify all of the other parties of the substance of the ex parte communication, and to give the parties a chance to respond.

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What is the primary restriction regarding which colleagues a judge may consult about a specific pending case?

The judge is required to get written permission from the court clerk before speaking to any peer.

The judge is forbidden from discussing the matter with anyone who has been legally removed from that specific case.

The judge must ensure that the consulting colleague belongs to a different political party.

The judge can only consult with colleagues who have a higher level of seniority than themselves.

A judge may consult with court personnel whose function is to aid the judge in carrying out the judge’s adjudicative responsibilities, or with other judges, provided that the judge makes all reasonable efforts to avoid receiving from court personnel or other judges factual information that is not part of the case record [CJC 2.9(A)(3)]. A judge may consult with other judges on pending matters, but must avoid ex parte discussions of a case with judges who have previously been disqualified from hearing the matter and with judges who have appellate jurisdiction over the matter [CJC 2.9, cmt. [5]].

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What specific procedural step must occur before a judge reaches out to a legal specialist for guidance?

The judge must obtain written consent from the Chief Justice of the state's highest court.

The judge must inform all parties involved about the specific individual being contacted and the legal topics to be discussed.

The judge must wait for a formal motion from one of the lawyers requesting the use of an expert.

The judge must verify that the expert has no past history of donating to any political party.

A judge may obtain the advice of a disinterested expert on the law applicable to a proceeding before the judge if the judge gives advance notice to the parties of the person consulted and the subject matter of the advice solicited, and affords the parties a reasonable opportunity to object or respond to the advice received [CJC 2.9(A)(2)].

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How does the nature of judicial communication change when a judge is serving on a therapeutic or problem-solving court?

The judge is explicitly allowed to initiate and consider private communications that would otherwise be prohibited.

The judge is required to record every private conversation and broadcast it to the public for transparency.

The judge is forbidden from speaking to anyone other than the defendant's immediate family members.

The judge must ensure that all private communications are limited to the financial aspects of the treatment.

A judge may initiate, receive, permit, or consider an ex parte communication when serving on therapeutic or problem-solving courts, mental health courts, or drug courts [CJC 2.9, cmt. [4]]. In this capacity, a judge may assume a more interactive role with parties, treatment providers, probation officers, social workers, and others [Id.].

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What is the mandatory prerequisite that must be satisfied before a judge can legally engage in private, individual meetings for settlement purposes?

The case must have been pending on the court's docket for at least twelve months.

All parties involved in the litigation must provide their express agreement to the process.

The judge must have already decided the case and is simply waiting to announce it.

The lawyers must provide a financial guarantee that a settlement is likely to occur.

A judge may, with the consent of the parties, confer separately with the parties and their lawyers in an effort to mediate or settle civil matters pending before the judge [CJC 2.9(A)(4)].

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What is the mandatory dual-requirement for a judge who has been exposed to a private message regarding a case's core issues?

The judge must seal the courtroom and interview the parties in private.

The judge must delete the communication and swear an oath of silence.

The judge must immediately recuse themselves and report the sender to the police.

The judge must provide notice of the content and a chance for the parties to address it.

If a judge receives an unauthorized ex parte communication bearing upon the substance of a matter, the judge must make provision promptly to notify the parties of the substance of the communication and provide the parties with an opportunity to respond [CJC 2.9(B)].

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To better understand the scene, the judge visits the location in private during the weekend. Does this action violate the established standard?

No, because a physical location is a public space and not a "fact."

Yes, because it constitutes an independent investigation of the facts of the matter.

No, as long as the judge does not tell the jury about the visit.

Only if the judge takes photographs and tries to enter them into evidence.

A judge may not investigate facts in a matter independently, and may consider only the evidence presented and any facts that may properly be judicially noticed [CJC 2.9(C)].

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What objective standard is used to determine when a judge "must" step down from a case?

Whether the judge’s family members have expressed a preference for one side.

Whether a reasonable person would have grounds to question the judge's impartiality.

Whether the local media has published an editorial calling for the judge's removal.

Whether the judge personally feels that they are being treated unfairly by the lawyers.

A judge may recuse himself from a proceeding on his own initiative. A judge must disqualify himself in a proceeding in which his impartiality may reasonably be questioned, including where [CJC 2.11(A)]: a. the judge has a personal bias or prejudice concerning a party or a party’s lawyer; b. the judge has personal knowledge of the disputed facts in controversy;
c. the judge knows that the judge, the judge’s spouse or domestic partner, or a person within the third degree of relationship to either of them, or the spouse or domestic partner of such a person: (1) is a party to the proceeding, or an officer, director, general partner, managing member, or trustee of a party; (2) is acting as a lawyer in the proceeding; (3) has more than a de minimis interest that could be substantially affected by the proceeding; or (4) is likely to be a material witness in the proceeding.

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Even if the judge believes there is no real basis for disqualification, a judge may, but is not required to, disclose the information that the judge believes the parties or their lawyers might consider relevant to the question of disqualification. Where must the judge provide the information if they choose to share it with the litigants?

The disclosure must be made in a private, off-the-record meeting in chambers.

The disclosure must be published in a local newspaper or legal journal.

The disclosure must be sent in a confidential email to the Chief Judge only.

The disclosure must be made formally on the record of the proceeding.

Even if the judge believes there is no real basis for disqualification, a judge may, but is not required to, disclose on the record information that the judge believes the parties or their lawyers might consider relevant to the question of disqualification [CJC 2.11, cmt. [5]].

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What is the distinction between a judge's responsibility toward their own finances versus those of their family members?

The judge is required to keep their own finances secret while making family finances public.

The judge has no responsibility for family finances as long as those family members are not listed on the judge's tax returns.

The judge must have absolute, real-time knowledge of all family financial transactions at all times.

The judge must maintain personal knowledge of their own interests but is only required to make a "reasonable effort" to learn about their family's.

A judge should keep himself informed about his personal and fiduciary economic interests, and should make a reasonable effort to inform himself about the personal economic interests of his spouse or domestic partner and minor children residing in his household [CJC 2.11(B)].

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If a judge's spouse is affiliated law firm representing a client in the judge's court, is the judge necessarily disqualified?

The judge is disqualified because the rule only protects distant relatives, not spouses.

The judge must disqualify themselves because a spouse is considered a "party" to the firm.

The judge can only stay if the spouse promises not to answer any calls related to the case.

The mere affiliation of the spouse with the firm does not, on its own, force the judge to step down.

A judge is not necessarily disqualified if a lawyer in the proceeding is affiliated with a law firm with which the spouse or a relative of the judge is affiliated [CJC 2.11, cmt. [4]].

Disqualification may be required where the judge knows that his spouse or relative has an interest in a legal organization and that the organization could be substantially affected by the outcome of the proceeding [Id.].

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What is the fundamental threshold that triggers a mandatory disqualification under this rule?

The existence of a situation where a reasonable person would doubt the judge's neutrality.

The judge's own internal admission that they have a personal dislike for one of the litigants.

A public opinion poll showing that the majority of the community wants a different judge.

A formal request for removal filed by at least two-thirds of the lawyers in the case.

Disqualification may be required in appropriate circumstances where the judge’s impartiality might reasonably be questioned [Id.].

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What level of agreement is required among the participants to allow a potentially disqualified judge to continue with the proceeding?

A simple majority of the lawyers must agree that the judge is capable of being fair.

Every party and every lawyer involved in the matter must reach a unanimous agreement.

The agreement is valid as long as the judge believes the parties are being sincere.

The plaintiff and their lawyer must agree, even if the defense raises an objection.

Instead of withdrawing, a judge who might be disqualified for a reason other than bias or prejudice may disclose on the record the basis of the potential disqualification [CJC 2.11(C)]. The judge may ask the parties and their lawyers to consider, out of the presence of the judge, whether to waive disqualification [Id.]. If, following disclosure of any basis for disqualification the parties and lawyers—independent of the judge’s participation—all agree that the judge should not be disqualified, the judge may participate in the proceeding [Id.].

The agreement must be incorporated into the record of the proceeding [Id.]. (1) By decisional law, the rule of necessity may override the rule of disqualification, thereby requiring a judge to participate in a matter because no other non-disqualified judge is available.

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/24

Canon 3

1 / 24

Why is a judge's personal and extrajudicial activities are considered a matter of professional concern under this standard?

To allow the court to monitor the judge's personal spending and household budget.

Because private behaviors can create structural friction with the core mandates of the bench.

To ensure the judge is able to attend every local political event and social gathering.

To guarantee that the judge remains entirely isolated from the community they serve.

A judge must conduct the judge’s personal and extrajudicial activities so as to minimize the risk of conflict with the obligations of judicial office [CJC Canon 3]. A judge must conduct all extrajudicial activities so that they do not appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality;

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What is the standard used to determine if an outside activity is inappropriate for a judge?

Whether the activity is performed in a private residence rather than a public space.

Whether the judge has received written permission from the local governor to participate.

Whether the activity would lead a reasonable person to doubt the judge's impartiality.

Whether the activity is strictly related to the judge's past professional experience.

A judge must conduct all extrajudicial activities so that they do not cast reasonable doubt on the judge’s capacity to act impartially as a judge. A judge must conduct all extrajudicial activities so that they do not interfere with the proper performance of judicial duties. A judge must conduct all extrajudicial activities so that they do not lead to frequent disqualification of the judge;

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What is the general mandate regarding the use of court staff and stationery for a judge's personal projects?

Staff can be used for any non-profit activity, provided the judge pays for the paper and ink themselves.

Court resources are considered a perk of the office and can be used for any purpose the judge deems worthy.

Judges are strictly prohibited from using these resources for private activities, with only minor exceptions.

Judges may use staff for any activity as long as the work is completed outside of normal business hours.

A judge must conduct all extrajudicial activities so that he does not make use of court premises, staff, stationery, equipment, or other resources, except for incidental use for extrajudicial activities permitted by law.

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What is the "reasonable doubt" standard used to evaluate a judge's expressions of prejudice?

It asks if a fair-minded observer would question the judge's ability to rule without bias.

It requires the judge to prove beyond a reasonable doubt that they are actually a kind person.

It asks if the judge's comments were recorded by at least two different independent witnesses.

It requires a psychological evaluation to determine if the judge truly believes what they said.

Expressions of bias or prejudice by a judge, even outside his judicial activities, may cast reasonable doubt on his capacity to act impartially as a judge [CJC 3.1, cmt. [3]]. To the extent that time permits and judicial independence and impartiality are not compromised, judges are encouraged to engage in appropriate extrajudicial activities [CJC 3.1, cmt. [1]].

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Which of the following activities (among others) is specifically encouraged for judges because of their unique professional qualifications?

Engaging in scholarly research projects concerning the administration of justice.

Writing a weekly column for a local newspaper about personal culinary experiences.

Managing the day-to-day financial operations of a private for-profit law firm.

Serving as a lead political consultant for a candidate running for the legislature.

Judges are uniquely qualified to engage in extrajudicial activities that concern the law, the legal system, and the administration of justice, by: (1) speaking, writing, teaching, or participating in scholarly research projects; (2) participating in judicial or bar association activities; or (3) serving on a board, commission, committee, or task force established by the Supreme Court or a judicial or bar association. In addition, judges are permitted and encouraged to engage in educational, religious, charitable, fraternal, or civic extrajudicial activities not conducted for profit, even when the activities do not involve the law [Id.].

A judge may participate in activities sponsored by organizations or governmental entities concerned with the law, the legal system, or the administration of justice, and those sponsored by or on behalf of educational, religious, charitable, fraternal, or civic organizations not conducted for profit, including, but not limited to, the following activities [CJC 3.7(A)]: (1) assisting such an organization or entity in planning related to fundraising, and participating in the management and investment of the organization’s or entity’s funds;

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What is the primary restriction placed on a judge's interaction with legislative or executive officials?

They are forbidden from consulting with or appearing at public hearings before these bodies, subject to specific exceptions.

They are required to obtain a written invitation from the head of the legislative body before attending any hearing.

They are only permitted to interact with executive officials during a declared state of emergency.

They are allowed to attend as long as they do not wear their judicial robe or identify themselves as a judge.

A judge must not appear at a public hearing before, or consult with, an executive or legislative body or official, except [CJC 3.2]: (1) on matters concerning the law, the administration of justice, or the legal system; (2) in matters in which the judge has acquired knowledge or expertise; or (3) when acting pro se.

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What is the primary limitation on a judge’s ability to serve on a governmental committee or commission?

The judge is only allowed to serve if the position is unpaid and requires less than five hours of work per week.

The judge must be the chairperson of the commission to ensure they have final authority over all decisions.

The appointment must be strictly focused on the law, the legal system, or the administration of justice.

The appointment must be approved by a unanimous vote of both the state legislature and the governor.

A judge may not accept appointment to a governmental commission or other governmental position that is concerned with matters other than the law, the legal system, or the administration of justice [CJC 3.4)]. (1) A judge may, however, represent a country, state, or locality on ceremonial occasions or in connection with historical, educational, or cultural activities [CJC 3.4, cmt. [2]]. (2) A judge may not accept a governmental appointment that is likely to interfere with the independence and impartiality of the judiciary [CJC 3.4, cmt. [1]].

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A judge attends a gala for a local non-profit hospital where tickets are being sold to fund a new wing. Does this appearance violate judicial ethics?

No, because mere attendance at an event does not constitute a violation, regardless of the event's fundraising purpose.

Yes, because the public might perceive the judge’s presence as a personal endorsement of the hospital’s management.

Only if the judge is seen speaking to a person who is currently a defendant in a civil lawsuit.

Yes, because judges are strictly prohibited from being present at any location where money is being solicited for charity.

Mere attendance at an event, whether or not the event serves a fundraising purpose, does not constitute a violation of this Rule. It is also generally permissible for a judge to serve as an usher or a food server or preparer, or to perform similar functions, at fundraising events sponsored by educational, religious, charitable, fraternal, or civic organizations. Such activities are not solicitation and do not present an element of coercion or abuse the prestige of judicial office [CJC 3.7, cmt. [3]].

Identification of a judge’s position in educational, religious, charitable, fraternal, or civic organizations on letterhead used for fundraising or membership solicitation does not violate this Rule. The letterhead may list the judge’s title or judicial office if comparable designations are used for other persons [CJC 3.7, cmt. [4]].

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What is the status of a judge’s authority to promote pro bono legal work among the legal community?

It is an authorized judicial activity that allows judges to encourage attorneys to provide pro bono services.

It is a mandatory requirement that every judge must meet a specific quota of recruited lawyers each year.

It is only allowed if the judge provides a financial tax credit to the lawyers who agree to participate.

It is strictly prohibited because a judge must never interfere with the private business decisions of a law firm.

A judge may encourage lawyers to provide pro bono publico legal services [CJC 3.7(B)].

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What is the scope of a judge's authority regarding the management of financial assets?

A judge is authorized to hold and manage investments for both themselves and their family members.

A judge is required to place all personal assets into a blind trust managed by the state treasury.

A judge may only manage their own investments and is forbidden from assisting family members.

A judge must sell all individual stocks and only hold government-issued savings bonds.

A judge may hold and manage investments of the judge and members of the judge’s family [CJC 3.11(A)].

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Under the "Closely Held" exception, when is a judge permitted to manage or participate in a business?

When the judge's participation is limited to less than five hours of work per week.

When the business has fewer than one hundred employees, regardless of who owns it.

When the business is primarily owned and controlled by the judge or the judge's family.

When the business is a non-profit organization that provides legal services to the poor.

A judge may not serve as an officer, director, manager, general partner, adviser, or employee of or independent contractor for any business entity, except that a judge may do any of the following [CJC 3.11(B)]: manage or participate in a business closely held by the judge or members of the judge’s family; or manage or participate in a business entity primarily engaged in investment of the financial resources of the judge or members of the judge’s family.

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Which three qualities of a judge must be protected when considering the acceptance of a benefit?

Wealth, social standing, and professional reputation.

Independence, integrity, and impartiality.

Seniority, physical fitness, and educational background.

Intelligence, popularity, and political influence.

A judge may not accept any gifts, loans, bequests, benefits, or other things of value, if acceptance would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality, except as follows [CJC 3.13(A), (B)]: Judges can receive: items with little intrinsic value, such as plaques, certificates, trophies, and greeting cards. Judges can receive: ordinary social hospitality. Judges can receive: gifts, loans, bequests, benefits, or other things of value from friends, relatives, or other persons, including lawyers, whose appearance or interest in a proceeding pending or impending before the judge would in any event require disqualification of the judge under Rule 2.11.

Judges can receive: gifts, awards, or benefits associated with the business, profession, or other separate activity of a spouse, a domestic partner, or other member of the judge’s family residing in the judge’s household, but that incidentally benefit the judge.
1) Domestic partner means a person with whom another person maintains a household and an intimate relationship, other than a person to whom he is legally married [CJC Terminology].
2) A member of the judge’s family residing in the judge’s household means any relative of a judge by blood or marriage, or a person treated by a judge as a member of the judge’s family, who resides in the judge’s household [Id.].

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Under what condition is a judge permitted to receive a reward or prize from a contest?

When the prize has a total value of less than one hundred dollars.

When the judge receives written permission from the local governor.

When the judge is the only participant in the specific contest.

When the event is open to persons who are not judges.

Judges can receive: rewards and prizes given to competitors or participants in random drawings, contests, or other events that are open to persons who are not judges;

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Under what primary condition may a judge accept a loan from a lending institution?

Only if the loan is used to purchase a primary residence or a personal vehicle.

If the loan is made on the same terms available to similarly situated non-judges.

As long as the interest rate is at least five percent lower than the current market average.

If the judge provides a written guarantee that they will never hear a case involving the bank.

Judges can receive: commercial or financial opportunities and benefits, including special pricing and discounts, and loans from lending institutions in their regular course of business, if the same opportunities and benefits or loans are made available on the same terms to similarly situated persons who are not judges;

Judges can receive: scholarships, fellowships, and similar benefits or awards, if they are available to similarly situated persons who are not judges, based upon the same terms and criteria; Judges can receive: books, magazines, journals, audiovisual materials, and other resource materials supplied by publishers on a complimentary basis for official use; or

15 / 24

Under what condition may a judge accept an invitation to a charitable or civic event without charge?

Provided the judge’s spouse or domestic partner does not attend the event.

As long as the organization hosting the event has no lawyers on its board of directors.

Only if the judge is the keynote speaker and the event lasts less than two hours.

If the same invitation is offered to non-judges engaged in similar ways in the activity.

Subject to the restriction against receipt of gifts that would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality, a judge may also accept the following gifts, but must report their acceptance to the extent required by Rule 3.15 [CJC 3.11(C)]:
(a) a gift incident to a public testimonial;
(b) an invitation to the judge and the judge’s spouse, domestic partner, or guest to attend without charge either of the following:
1) an event associated with a bar-related function or other activity related to the law, the legal system, or the administration of justice; or
2) an event associated with any of the judge’s educational, reli- gious, charitable, fraternal, or civic activities permitted by this Code, if the same invitation is offered to non-judges who are engaged in similar ways in the activity as is the judge; and
(c) any other thing of value, if the donor is neither of the following:
1) a party or other person who has come or is likely to come or whose interests have come or are likely to come before the judge; or
2) a person who is doing or seeking to do business with the court.

16 / 24

What types of expenses is a judge permitted to have reimbursed by a source other than their employer?

A fixed cash bonus for every hour the judge spends attending a civic event.

Necessary and reasonable expenses for travel, food, lodging, or other incidentals.

Any personal luxury items the judge chooses to purchase during a professional trip.

The total cost of a new vehicle used to drive to a weekend legal conference.

A judge may accept reimbursement of necessary and reasonable expenses for travel, food, lodging, or other incidental expenses, or a waiver or partial waiver of fees or charges for registration, tuition, and similar items, from sources other than the judge’s employing entity, if the expenses or charges are associated with the judge’s participation in extrajudicial activities permitted by this Code [CJC 3.14(A)].

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What must a judge do regarding the compensation they receive for extrajudicial activities?

The judge must keep the amount confidential to protect their privacy.

The judge must ask for permission from the local governor before accepting it.

The judge must donate the full amount to a state-approved charity.

The judge must publicly report the amount or value.

A judge must publicly report the amount or value of [CJC 3.15(A)]: (a) compensation received for extrajudicial activities; (b) gifts and other things of value; and (c) reimbursement of expenses and waiver of fees or charges.

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What must be identified regarding the "reimbursement of expenses"?

The original printed receipt for every individual item purchased.

The source of the reimbursement.

The name of the government official who authorized the travel.

The specific bank account number where the funds were deposited.

A judge required to report must include in his report [CJC 3.15(B)]: (a) the date, place, and nature of the activity for which he received any compensation; (b) a description of any gift, loan, bequest, benefit, or other thing of value accepted; and (c) the source of reimbursement of expenses or waiver or partial waiver of fees or charges. The report must be made at least annually, except that for reimbursement of expenses and waiver or partial waiver of fees or charges, the report must be made within 30 days following the conclusion of the event or program [CJC 3.15(C)].

Reports made in compliance with this Rule must be filed as public documents in the office of the clerk of the court on which the judge serves or other office designated by law, and, when technically feasible, posted on the court’s website [CJC 3.15(D)].

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Under what specific exception may a judge serve in a fiduciary capacity?

For the estate, trust, or person of a member of the judge’s family.

For a fellow judge who is currently serving in a different judicial district.

For a local non-profit organization that provides legal aid to the poor.

For any close friend who has known the judge for at least twenty years.

A judge may not accept appointment to serve in a fiduciary position, such as executor, administrator, trustee, guardian, attorney in fact, or other personal representative, except for the estate, trust, or person of a member of the judge’s family, and then only if such service will not interfere with the proper performance of judicial duties [CJC 3.8(A)]. A judge may not serve in a fiduciary position if the judge as fiduciary will likely be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversary proceedings in the court on which the judge serves or one under its appellate jurisdiction [CJC 3.8(B)].

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To what restrictions is a judge subject when acting in a fiduciary capacity?

Only those restrictions specifically approved by the beneficiaries of the estate.

The same restrictions on financial activities that apply to the judge personally.

Only the financial restrictions that apply to the person the judge is representing.

No financial restrictions, provided the judge receives no compensation for the role.

A judge acting in a fiduciary capacity will be subject to the same restrictions on engaging in financial activities that apply to a judge personally [CJC 3.8(C)].

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What is the absolute "deadline" for a judge to comply with the fiduciary rule?

No later than the end of the current legislative calendar.

No later than five years after being sworn into office.

No later than the date of their first scheduled court trial.

No later than one year after becoming a judge.

If a person who is serving in a fiduciary position becomes a judge, he must comply with this rule as soon as reasonably practicable, but in no event later than one year after becoming a judge [CJC 3.8(D)].

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What is the general rule regarding a judge acting as a private arbitrator or mediator?

A judge may act as an arbitrator if both parties in the dispute are also judges.

A judge may act as a mediator provided they do not charge a fee for the service.

A judge should not perform these functions unless expressly authorized by law.

A judge is encouraged to mediate private disputes to gain more legal experience.

A judge should not act as an arbitrator or mediator or perform other judicial functions apart from the judge’s official duties unless expressly authorized by law [CJC 3.9].

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What is a judge strictly prohibited from doing when acting pro se?

Citing previous legal precedents that were decided by other judges.

Hiring a licensed paralegal to help them research relevant statutes.

Abusing the prestige of their office to advance their own interests.

Using the public law library located within the courthouse building.

A judge should not practice law [CJC 3.10]. b. Notwithstanding this prohibition, a judge may act pro se [Id.]. (1) A judge may act for himself in all legal matters, including matters involving litigation and appearances before, or other dealings with, legislative and other governmental bodies [CJC 3.10, cmt. [1]]. (2) In acting pro se, a judge must not abuse the prestige of office to advance his interests [Id.].

24 / 24

Under what primary condition may a judge receive compensation for extrajudicial activities?

As long as the compensation is paid in a foreign currency to avoid local taxes.

Whenever the judge has completed their required number of court hours for the month.

Only if the compensation is donated to a political party of the judge's choice.

When the compensation is reasonable and the activity is permitted by law.

A judge may receive reasonable compensation for extrajudicial activities permitted by law unless such acceptance would appear to a reasonable person to undermine the judge’s independence, integrity, or impartiality [CJC 3.12]. Compensation derived from extrajudicial activities is subject to public reporting [CJC 3.12, cmt. [2]].

A judge is permitted to accept honoraria, stipends, fees, wages, salaries, royalties, or other compensation for speaking, teaching, writing, and other extrajudicial activities, provided that the compensation is reasonable and commensurate with the task performed [CJC 3.12, cmt. [1]].

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/26

Canon 4

1 / 26

What is the primary purpose of Canon 4?

To allow judicial candidates to make unlimited promises about how they will rule on future cases.

To completely prohibit judges from ever voting or attending political rallies or any elections.

To strike a balance between an impartial judiciary and the political rights of candidates.

To ensure that all judges belong to the same political party as the governor.

Canon 4 governs a judge’s political activity. This canon is designed to strike a balance between the need for an impartial and independent judiciary and the right of judicial candidates to engage in constitutionally protected political activity.

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What is the specific standard used to determine if a political or campaign activity is prohibited for a judge or candidate?

Whether the activity occurs during an official court session or infront of other candidates for election.

Whether the judge has already been tenured for more than ten years in the same state o county.

Whether the activity is inconsistent with the independence, integrity, or impartiality of the judiciary.

Whether the candidate is running for a partisan or non-partisan seat as member of a political party.

A judge or candidate for judicial office may not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary [CJC Canon 4].

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What are the three specific qualities a candidate must consistently uphold?

Bipartisanship, Transparency, and Efficiency.

Popularity, Political Power, and Persuasiveness.

Seniority, Experience, and Legal Scholarship.

Independence, Integrity, and Impartiality.

A judicial candidate is responsible for acting at all times in a manner consistent with the independence, integrity, and impartiality of the judiciary;

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Which three specific areas of law must a judicial candidate comply with?

Election, election campaign, and election campaign fundraising laws and regulations.

Public relations, advertising, and social media ethics.

International, federal, and local jurisdictional statutes.

Criminal, civil, and administrative procedures of the court.

A judicial candidate is responsible for complying with election, election campaign, and election campaign fundraising laws and regulations;

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When must a judicial candidate review and approve campaign statements and materials?

Only if a formal complaint is filed regarding the content.

Only during the final two weeks leading up to the election.

Within 24 hours after they have been released to the public.

Before their dissemination.

A judicial candidate is responsible for reviewing and approving the content of all campaign statements and materials produced by the judicial candidate or his campaign committee before their dissemination.

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What is a judicial candidate required to do to prevent others from performing prohibited activities on their behalf?

Formally disavow any supporter who speaks publicly about the election on his behalf.

Take reasonable measures to ensure that others do not undertake prohibited activities.

Nothing; the candidate is only responsible for their own personal actions during court sessions.

Personally monitor every phone call made by campaign volunteers 24/7 since the first day.

A judicial candidate is responsible for taking reasonable measures to ensure that other persons do not undertake on behalf of the candidate activities, other than those described in Rule 4.4, that the candidate is prohibited from engaging in under Rule 4.1.

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What specific type of action is a judicial candidate authorized to establish?

A political Party

A Neighborhood Association

A race to help the homeless

A Campaign Committee

A candidate for an elective judicial office may establish a campaign committee pursuant to the provisions of Rule 4.4;

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Through which specific mediums may a candidate for elective judicial office speak on behalf of their candidacy?

Direct instructions to current trial juries.

Advertisements, websites, or other literature.

Anonymous pamphlets that do not list the candidate's name.

Private telephone calls to individual voters only.

A candidate for an elective judicial office may speak on behalf of his candidacy through advertisements, websites, or other literature.

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Whom is a candidate for elective judicial office permitted to publicly endorse or oppose?

Any candidate running for Governor or State Legislature in the same State.

Candidates for the same judicial office for which he is running.

Only candidates from their own specific political party.

Candidates for the U.S. Supreme Court.

A candidate for an elective judicial office may publicly endorse or oppose candidates for the same judicial office for which he is running.

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What specific actions is a judicial candidate permitted to take regarding political dinners or events?

Require all their court staff to attend and donate.

Only attend if the event is strictly non-partisan and has no political sponsors.

Attend or purchase tickets for them.

Personally host and organize them as the primary sponsor.

A candidate for an elective judicial office may attend or purchase tickets for dinners or other events sponsored by a political organization or a candidate for public office;

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From whom may a candidate for elective judicial office NOT seek, accept, or use an endorsement?

A partisan political organization.

A prominent private citizen or community leader.

A local bar association or legal group.

A non-partisan civic organization.

A candidate for an elective judicial office may seek, accept, or use endorsements from any person or organization other than a partisan political organization.

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What is the primary limitation placed on a judicial candidate's financial contributions to a political organization or another candidate?

The financial support must be a limited amount.

The contribution must be made anonymously to avoid a conflict of interest.

The contribution can only be made to a non-partisan judicial candidate.

The candidate is only permitted to donate to their own campaign fund.

A candidate for an elective judicial office may contribute a limited amount of financial support to a political organization or candidate for public office.

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In a partisan public election, what may a judicial candidate identify themselves as?

A representative of the local bar association.

The preferred choice of the sitting Chief Justice.

A candidate of a political organization.

An independent candidate with no party affiliation.

A judicial candidate in a partisan public election may [CJC 4.2(C)]:
(1) identify himself as a candidate of a political organization; and
(2) seek, accept, and use endorsements of a political organization.

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For how long may a judicial candidate in a partisan public election maintain a relationship with a political organization?

Only until the primary election is over.

Only during the time they are actively fundraising.

Throughout the period of the public campaign.

Only for a maximum of ninety days before the general election.

A judicial candidate in a partisan public election may in relationship with a political organization may be maintained throughout the period of the public campaign, and may include use of political party or similar designations on campaign literature and on the ballot [CJC 4.2, cmt. [3]].

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From whom is a candidate for judicial appointment prohibited from seeking endorsements?

Former legal colleagues or law firm partners.

A bar association's judicial evaluation committee.

A partisan political organization.

A local community or civic organization.

A candidate for appointment to a judicial office may seek endorsements for the appointment from any person or organization other than a partisan political organization.

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What is a judicial candidate prohibited from doing personally?

Allowing their campaign committee to raise money.

Soliciting or accepting campaign contributions.

Appointing a campaign treasurer to manage their funds.

Reporting their total campaign earnings to the public.

A judicial candidate may not personally solicit campaign contributions, except as expressly authorized, and may not personally accept campaign contributions [CJC 4.4, cmt. [1]].

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What is the primary purpose for a judicial candidate for establishing a campaign committee?

To manage and conduct a campaign for the candidate.

To ensure that only the campaign manager is responsible for legal violations.

To provide a way for the candidate to personally solicit funds.

To allow the candidate to avoid all ethical rules during the election.

A judicial candidate may establish a campaign committee to manage and conduct a campaign for the candidate, subject to the provisions of this Code. The judicial candidate is responsible for ensuring that his campaign committee complies with applicable provisions of this Code and other applicable law [CJC 4.4(A)].

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What roles is a judge or judicial candidate prohibited from holding in a political party?

Attending a party's national convention as a guest.

Acting as a leader or holding any office.

Being a registered member or voting in a primary.

Providing legal advice to the party's chairperson.

A judge or judicial candidate may not get involved in politics or one of the following: act as a leader of, or hold any office in, a political party, make speeches for a political party or candidate or publicly endorse or oppose a candidate for public office; solicit funds for or make a contribution or expenditure of campaign funds to a political party or candidate, publicly identify himself as a candidate of a political organization, seek, accept, or use endorsements from a political organization.

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What two specific actions are prohibited regarding political events for judges of judicial candidates in relation to events sponsored by a political organization or a candidate for public office?

Speaking at or organizing the event only.

Attending or purchasing tickets.

Voting in the primary election of the sponsoring organization.

Donating food or providing legal counsel to the sponsors.

A judge or judicial candidate may not attend or purchase tickets for dinners or other events sponsored by a political organization or a candidate for public office.

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What is a judge or judicial candidate prohibited from doing personally?

Attending any campaign events where supporters are present.

Filing the necessary paperwork to appear on the ballot.

Soliciting or accepting campaign contributions.

Appointing a treasurer to oversee their finances.

A judge or judicial candidate may not personally solicit or accept campaign contributions other than through a campaign committee as authorized by Rule 4.4;

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What is the candidate's responsibility regarding the use of these funds by third parties?

They can allow others to use the funds as long as the candidate doesn't benefit.

They may not permit the use of contributions for anyone's private benefit.

They are only responsible for their own personal spending of the funds.

They have no responsibility once the money is in the hands of the campaign committee.

A judge or judicial candidate may not use or permit the use of campaign contributions for the private benefit of the judge, the candidate, or others;

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Which of the following resources is a judge specifically prohibited from using for their campaign?

Volunteers from a local bar association.

Private office spaces rented by the campaign committee.

Court staff, facilities, or other court resources.

Personal cell phones and private email addresses.

A judge or judicial candidate may not use court staff, facilities, or other court resources in a campaign for judicial office;

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What two mental states (standards of intent) are mentioned regarding the making of a false or misleading statement?

Accidentally, or with a minor misunderstanding of the facts.

Knowingly, or with reckless disregard for the truth.

Intentionally, or only when under a formal oath.

Publicly, or during a private conversation with donors.

A judge or judicial candidate may not knowingly, or with reckless disregard for the truth, make a false or misleading statement;

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What two specific impacts on a case must a judge or candidate avoid through their statements?

Changing the jury pool or influencing the judge's salary.

Increasing the media coverage or delaying the trial date.

Making the case more expensive or involving more lawyers.

Affecting the outcome or impairing the fairness.

A judge or judicial candidate may not make any statement that would reasonably be expected to affect the outcome or impair the fairness of a matter pending or impending in any court

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What is a judicial candidate prohibited from making in connection with cases or issues likely to come before the court?

Pledges, promises, or commitments.

General statements about their judicial philosophy.

Educational presentations regarding court procedures.

Private observations about the history of the law.

A judge or judicial candidate may not in connection with cases, controversies, or issues that are likely to come before the court, make pledges, promises, or commitments that are inconsistent with the impartial performance of the adjudicative duties of judicial office.

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What action must a judge take upon becoming a candidate for a nonjudicial elective office?

Resign from the judicial position held.

Take a temporary unpaid leave of absence until the election is over.

Recuse themselves only from cases involving their political opponents.

Request permission from the Chief Justice to keep their seat.

A judge must resign from the judicial position held when he becomes a candidate either in a primary or general election for a nonjudicial elective office [CJC 4.5(A)]. A judge is not required to resign from a judicial position upon becoming a candidate for a nonjudicial appointive office [CJC 4.5(B)].

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