11 questions

Regulation of the Legal Profession

A lawyer knows that another lawyer has committed a violation that raises a substantial question about that lawyer's honesty. The information is not confidential. Under Model Rule 8.3, the lawyer must:

  • a.Keep the information secret in all circumstances
  • b.Confront the other lawyer privately and take no further action
  • c.Report it to the appropriate professional authority✓
  • d.Report only if the misconduct occurred in a courtroom

Rule 8.3(a) requires a lawyer who knows of such a violation to "inform the appropriate professional authority." Rule 8.3(c) excuses reporting only when the information is protected by Rule 1.6 or was gained in an approved lawyers assistance program.

Regulation of the Legal Profession

Under Model Rule 8.4, which of the following is professional misconduct?

  • a.Charging a reasonable hourly fee
  • b.Declining to represent a prospective client
  • c.Advertising legal services truthfully
  • d.Conduct involving dishonesty or deceit✓

Rule 8.4(c) makes it professional misconduct to "engage in conduct involving dishonesty, fraud, deceit or misrepresentation." The other choices describe permitted conduct.

Regulation of the Legal Profession

Under Rule 8.5, which jurisdiction's rules apply to a lawyer's conduct in a matter pending before a court?

  • a.The rules of the lawyer's home jurisdiction.
  • b.Whichever rules are least strict.
  • c.The rules where the court sits, unless it provides otherwise.✓
  • d.The rules of the client's home jurisdiction.

Rule 8.5(b)(1) applies, "for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise."

Regulation of the Legal Profession

A lawyer admitted only in State M gives legal services by video to clients in State N. Which statement is correct under Rule 8.5(a)?

  • a.Only State N may discipline him.
  • b.State N may discipline him too.✓
  • c.Neither state may discipline him for video services.
  • d.Only State M may discipline him.

Rule 8.5(a) makes a lawyer not admitted in a jurisdiction subject to its disciplinary authority "if the lawyer provides or offers to provide any legal services in this jurisdiction," and a lawyer may be subject to both jurisdictions for the same conduct.

Regulation of the Legal Profession

Which of the following, standing alone, is LEAST likely to be professional misconduct under Rule 8.4?

  • a.Lying to a client about the status of a case.
  • b.Filing a false insurance claim for a personal car accident.
  • c.A single speeding ticket.✓
  • d.Embezzling from a charity where the lawyer volunteers.

The comment to Rule 8.4 says lawyers are professionally answerable only for offenses "that indicate lack of those characteristics relevant to law practice," such as those involving "violence, dishonesty, breach of trust." A single minor traffic offense does not fit; fraud, lies, and embezzlement do.

Regulation of the Legal Profession

A lawyer's paralegal, at the lawyer's direction, calls a represented opposing party to discuss settlement. Who has violated the Rules?

  • a.Only the opposing party's lawyer.
  • b.No one, because the paralegal is not a lawyer.
  • c.Only the paralegal.
  • d.The lawyer, who acted through another person.✓

Rule 8.4(a) makes it misconduct to violate the Rules "through the acts of another," and the comment to Rule 4.2 says "a lawyer may not make a communication prohibited by this Rule through the acts of another."

Regulation of the Legal Profession

A lawyer learns, while participating in an approved lawyers assistance program, that another lawyer has been misusing client funds. Must she report it under Rule 8.3?

  • a.No, because information from such a program is exempt from reporting.✓
  • b.No, because only judges must report.
  • c.Yes, but only after the program ends.
  • d.Yes, because misusing funds raises a substantial question of honesty.

Rule 8.3(c) states the rule "does not require disclosure of … information gained by a lawyer or judge while participating in an approved lawyers assistance program."

Regulation of the Legal Profession

A partner learns that an associate missed a filing deadline and hid it from the client. The consequences can still be mitigated, but the partner does nothing. Is the partner responsible under Rule 5.1(c)?

  • a.No, unless the partner ordered the concealment.
  • b.No, because only the associate violated the Rules.
  • c.Yes, because partners are liable for every associate's conduct.
  • d.Yes, because she knew in time to mitigate and did nothing.✓

Rule 5.1(c)(2) makes a partner responsible when she "knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action." Partners are not automatically responsible for all associates' misconduct.

Regulation of the Legal Profession

A law firm lets a nonlawyer investor buy a 20% ownership interest in the firm, which is a professional corporation. Under Model Rule 5.4, is this permitted?

  • a.Yes, if the investor has no say in legal work.
  • b.No, unless the clients consent.
  • c.Yes, if the investor's share is under 25%.
  • d.No, because nonlawyers may not own part of it.✓

Model Rule 5.4(d)(1) forbids practicing in a professional corporation authorized to practice law for profit if "a nonlawyer owns any interest therein," except a fiduciary holding a deceased lawyer's interest for a reasonable time.

Regulation of the Legal Profession

A lawyer sells her entire estate-planning practice to another lawyer and stops doing estate planning in the area. What must her clients receive?

  • a.A new fee agreement at higher rates.
  • b.Written notice of the sale.✓
  • c.A full refund of all past fees.
  • d.Nothing, because the practice sale is private.

Rule 1.17(c) requires written notice to each client of the proposed sale, the client's right to other counsel or to take the file, and that consent to transfer is presumed after 90 days without objection; Rule 1.17(d) forbids increasing fees because of the sale.

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Regulation of the Legal Profession

A lawyer owns a title-insurance agency run as a separate business. Under Rule 5.7, when is the lawyer subject to the Rules for the agency's services?

  • a.Only if the agency employs other lawyers.
  • b.If customers are not told these are not legal services.✓
  • c.Always, because the lawyer owns the agency.
  • d.Never, because title insurance is not legal work.

Rule 5.7(a) subjects a lawyer to the Rules for law-related services provided through a separate entity if the lawyer "fails to take reasonable measures to assure that a person obtaining the law-related services knows that the services are not legal services and that the protections of the client-lawyer relationship do not exist."

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