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SLLC Attorney Final practice questions

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Question 1Legal Ethics and Professional Responsibility

A client tells defense counsel, before sentencing, that he intends to physically harm a witness scheduled to testify at a later hearing. Under the professional responsibility rules governing confidential client information, what is the lawyer's most appropriate course?

  1. The lawyer must withdraw immediately and may not disclose the threat without a court order.
  2. The lawyer may reveal the information as reasonably necessary to prevent the threatened harm. Correct answer.
  3. The lawyer may disclose the information only after the client actually harms the witness.
  4. The lawyer must keep the information confidential because it was learned during the representation.

Explanation

Model Rule 1.6(b)(2) permits, but does not require, a lawyer to reveal confidential information to prevent reasonably certain death or substantial bodily harm. The threat to a witness can justify limited disclosure, but only to the extent needed to prevent the harm.

Question 2Legal Ethics and Professional Responsibility

A lawyer is asked to represent a defendant in a criminal prosecution. The client proposes that the lawyer receive a fee only if the client is acquitted. Under the professional responsibility rules on fees, the lawyer should:

  1. Decline the contingent fee because contingent fees are prohibited in criminal matters. Correct answer.
  2. Accept only if the lawyer also charges a modest fixed retainer.
  3. Accept if the fee is deposited in the lawyer's trust account until acquittal.
  4. Accept because the client knowingly agreed to the arrangement in writing.

Explanation

Model Rule 1.5(d)(1) prohibits a lawyer from charging a contingent fee in a criminal matter. The prohibition applies even if the client agrees in writing or the fee is held in trust.

Question 3Legal Ethics and Professional Responsibility

An attorney has just received an adverse ruling that will require the client to decide whether to appeal. The deadline is approaching. What is the attorney's ethical obligation regarding communication with the client?

  1. Have a paralegal explain the ruling and appeal deadline without lawyer review.
  2. Send the client a copy of the ruling and a brief note that an appeal may be possible.
  3. Promptly inform the client of the ruling and explain the options and deadline. Correct answer.
  4. Wait until the client asks about the ruling before providing any update.

Explanation

Rule 1.4 requires a lawyer to keep the client reasonably informed and to explain matters sufficiently for the client to make informed decisions. A significant adverse ruling and an approaching appeal deadline trigger prompt communication and explanation.

Question 4Legal Ethics and Professional Responsibility

Attorney represented Client A in a commercial lease dispute. Client B now asks Attorney to represent B in a separate lawsuit against A. The new suit concerns an unrelated employment contract, but Attorney learned confidential information about A's business during the lease matter. Under the former-client conflict rule, Attorney may represent B:

  1. Attorney may represent B if A signs a blanket waiver of all future conflicts with Attorney.
  2. Attorney may represent B because the new matter is pending in a different court from the lease dispute.
  3. Attorney may represent B if Attorney personally believes that the two matters are unrelated.
  4. Only if the matter is not substantially related or A gives informed consent confirmed in writing. Correct answer.

Explanation

Rule 1.9(a) bars adverse representation of a former client in the same or a substantially related matter without informed consent confirmed in writing. Even if the matters are unrelated, Rule 1.9(c) forbids using the former client's confidential information to the former client's disadvantage.

Question 5Legal Ethics and Professional Responsibility

A lawyer receives a $20,000 advance fee from a client. The fee agreement states that the lawyer will earn the fee as work is performed, and the client may demand a refund of any unearned portion. Where should the lawyer deposit the funds under the professional responsibility rules?

  1. In the lawyer's operating account, provided the lawyer records the funds as a loan.
  2. In the lawyer's operating account, because an advance fee belongs to the lawyer on receipt.
  3. In a client trust account, withdrawing earned portions only as work is completed and billed. Correct answer.
  4. In a client trust account, but the lawyer may withdraw the full amount once the client signs the agreement.

Explanation

Rule 1.15 requires client funds, including advance fees not yet earned, to be held in a trust account separate from the lawyer's own funds. The lawyer may withdraw only the portion earned and must keep appropriate records.

Question 6Legal Ethics and Professional Responsibility

A solo practitioner plans to store client files in a cloud service maintained by a vendor. Under the duty of competence, what must the lawyer do before and during use of the service?

  1. Rely on the vendor's promise that its security is adequate without further inquiry.
  2. Take reasonable steps to understand the service's risks and protect client confidences. Correct answer.
  3. Store the files in the cloud only if every client signs a waiver of confidentiality.
  4. Avoid cloud storage entirely because electronic files are inherently insecure.

Explanation

Comment 8 to Rule 1.1 requires lawyers to keep abreast of the benefits and risks of relevant technology, and Rule 1.6 requires reasonable efforts to protect client information. A lawyer using cloud storage must make reasonable inquiry and take protective steps.

Question 7Legal Ethics and Professional Responsibility

A lawyer learns that a prospective client is hospitalized after a car crash. The lawyer visits the hospital room and offers to represent the person for a fee. The person has not asked for advice. Under the professional responsibility rules, this conduct is:

  1. Prohibited only if the person already has another lawyer.
  2. Permitted if the lawyer gives the person a written fee agreement before the conversation.
  3. Permitted because the lawyer is merely offering assistance.
  4. Prohibited as in-person solicitation for gain of a person needing legal services. Correct answer.

Explanation

Rule 7.3(a) prohibits in-person solicitation of a prospective client for pecuniary gain when the lawyer knows the person needs legal services, unless an exception applies. Hospital visits to accident victims are a classic example of prohibited solicitation.

Question 8Legal Ethics and Professional Responsibility

During a civil trial, a lawyer discovers that a witness the lawyer called earlier gave testimony that the lawyer now knows was false in a material respect. The lawyer's client insists that the lawyer say nothing. Under the professional responsibility rules on candor to the tribunal, what must the lawyer do?

  1. Take reasonable remedial measures, including disclosure to the tribunal if necessary. Correct answer.
  2. Withdraw from the representation without taking any other action.
  3. Immediately accuse the witness of perjury in open court without further inquiry.
  4. Remain silent because the lawyer may not disclose information that could prejudice the client.

Explanation

Rule 3.3(a)(3) requires a lawyer who learns that material evidence is false to take reasonable remedial measures. If the false testimony has been presented, the lawyer must disclose it to the tribunal if necessary to correct the record.

Question 9Legal Ethics and Professional Responsibility

Attorney discovers that a client is using Attorney's services to perpetuate a fraud on a bank. The client refuses to correct the fraud. Under the professional responsibility rules on withdrawal, which statement best describes Attorney's obligations?

  1. Attorney may withdraw only with the client's written consent.
  2. Withdraw and disclose as reasonably necessary to prevent the fraud. Correct answer.
  3. Attorney may continue because withdrawal would reveal client confidences.
  4. Attorney must continue the representation until the court grants leave to withdraw.

Explanation

Rule 1.16(a)(1) requires withdrawal when the representation will result in the lawyer violating a rule or law. Rule 1.6(b)(3) permits limited disclosure to prevent a client's fraud that is reasonably certain to cause substantial financial injury and involves the lawyer's services.

Question 10Legal Ethics and Professional Responsibility

A law firm's paralegal routinely signs and sends demand letters on firm letterhead without lawyer review. The supervising attorney knows of the practice but believes the letters are routine. Under the professional responsibility rules, what is the attorney's responsibility?

  1. The attorney may allow the practice if the paralegal holds a college degree.
  2. The attorney may allow the practice if clients are told a paralegal sent the letters.
  3. No responsibility because the paralegal is not a lawyer and did not act under attorney direction.
  4. The attorney must reasonably ensure the paralegal's conduct complies with professional obligations. Correct answer.

Explanation

Rule 5.3 requires a lawyer with managerial authority to make reasonable efforts to ensure that nonlawyer conduct is compatible with the lawyer's professional obligations. The lawyer must supervise paralegals and cannot delegate tasks that require legal judgment.

Question 11Legal Ethics and Professional Responsibility

A former client files a bar complaint and a malpractice suit alleging that Lawyer neglected a deadline. Lawyer wants to disclose to disciplinary authorities and in court that the client withheld key documents and repeatedly missed appointments. Under the ABA Model Rules, may Lawyer disclose this confidential information?

  1. No, unless the client consents in writing after consultation and the disciplinary authority separately approves the disclosure.
  2. Yes, to the extent reasonably necessary to respond to the allegations and defend the conduct. Correct answer.
  3. Yes, because a client's filing of a malpractice claim automatically waives every privileged communication and confidentiality protection.
  4. No, because confidentiality survives termination and no exception applies.

Explanation

Model Rule 1.6(b)(5) permits a lawyer to reveal confidential information to the extent reasonably necessary to establish a claim or defense in a controversy with the client, including defending against a disciplinary charge or civil malpractice claim based on the lawyer's conduct. The exception is limited to what is reasonably necessary and does not require the client's advance written consent. Filing a malpractice claim does not automatically waive every protected communication.

Question 12Legal Ethics and Professional Responsibility

Lawyer represents Client in a personal injury case. Opposing counsel sends a written settlement offer of $75,000 with a 10-day expiration. Client has told Lawyer, "I only want to hear about offers above $100,000." What is Lawyer's obligation under Model Rule 1.4?

  1. Reject the offer without consulting Client because Lawyer has authority to settle the case.
  2. Promptly inform Client of the offer and deadline unless Client previously authorized rejection or Lawyer reasonably believes Client would reject it. Correct answer.
  3. Inform Client only after the 10-day deadline has passed, because delaying the news avoids pressuring Client into a hasty decision.
  4. Withhold the offer because Client set a clear threshold and the offer is below that threshold, so it is irrelevant.

Explanation

Model Rule 1.4 requires a lawyer to keep the client reasonably informed and to explain matters sufficiently for the client to make informed decisions. A lawyer must promptly tell the client about a settlement offer unless the client has previously authorized rejection or the lawyer reasonably believes the client would reject it. A standing dollar threshold does not by itself eliminate the duty to communicate an offer.

Question 13Legal Ethics and Professional Responsibility

Lawyer wants to buy a rental property from Client, who is not represented by independent counsel. Which condition must Lawyer satisfy under Model Rule 1.8(a)?

  1. The transaction is permitted if Lawyer charges a reduced legal fee for the deal and gives Client a right to rescind within thirty days.
  2. The terms must be fair, disclosed in writing, and Client must give informed consent after a chance to seek independent counsel. Correct answer.
  3. The transaction is permitted only if Lawyer and Client are related by blood or marriage or have a long-standing personal friendship.
  4. The transaction is prohibited unless Lawyer obtains prior written approval from the local bar association's ethics committee.

Explanation

Model Rule 1.8(a) governs business transactions with a client. The terms must be fair and reasonable, fully disclosed in writing in a manner the client can understand, and the client must be advised in writing of the desirability of seeking independent counsel and given a reasonable opportunity to do so. The client must then give informed consent in writing.

Question 14Legal Ethics and Professional Responsibility

A corporate officer consults Lawyer about a contract dispute with Vendor. During the meeting, the officer reveals the company's negotiation strategy and internal cost estimates. Lawyer does not take the representation. Six months later, Vendor asks Lawyer to represent it against the company in the same contract dispute. Under Model Rule 1.18, what is Lawyer's obligation?

  1. Lawyer may represent Vendor freely because no formal attorney-client relationship was formed with the company during the initial consultation.
  2. Lawyer may represent Vendor if the company's officer signed a general waiver at the end of the initial consultation and received a copy.
  3. Lawyer may represent Vendor only if Lawyer returns every document the company provided and destroys all notes from the consultation.
  4. Lawyer must not represent Vendor if the information could be significantly harmful, and no consent or screening exception applies. Correct answer.

Explanation

Model Rule 1.18 protects information learned from a prospective client even when no attorney-client relationship forms. A lawyer who received information that could be significantly harmful to the prospective client may not represent a client with materially adverse interests in the same or a substantially related matter unless the exceptions in the rule are satisfied. Returning documents or obtaining a general waiver at the end of the meeting does not cure the conflict.

Question 15Legal Ethics and Professional Responsibility

Lawyer represents Plaintiff in a breach of contract trial. Lawyer is the only person who can testify that Defendant orally agreed to extend the deadline. Lawyer's testimony is necessary and not merely cumulative. What is the proper course under Model Rule 3.7?

  1. Lawyer should withdraw as advocate if the testimony is necessary, unless an exception such as uncontested matter or substantial hardship applies. Correct answer.
  2. Lawyer must testify but may continue as advocate if the client consents after full consultation and the court gives permission.
  3. Lawyer may continue as advocate and present the testimony through an affidavit signed by the lawyer.
  4. Lawyer may testify and continue as advocate because a lawyer is always a competent witness in the lawyer's own case and the client's consent is implied.

Explanation

Model Rule 3.7(a) generally prohibits a lawyer from acting as an advocate at a trial in which the lawyer is likely to be a necessary witness. The rule recognizes narrow exceptions, including an uncontested issue, the nature and value of legal services, or disqualification causing substantial hardship to the client. Client consent alone does not override the advocate-witness prohibition.

Question 16Legal Ethics and Professional Responsibility

Lawyer wants to pay Marketing Consultant, who is not a lawyer, 15% of the legal fees generated from clients Consultant refers. Lawyer will remain responsible for the representation and will not increase client fees. Under Model Rule 5.4(a), is this arrangement permissible?

  1. No, because a lawyer may not share legal fees with a nonlawyer except in narrow circumstances such as death benefits or buyouts. Correct answer.
  2. Yes, because Lawyer remains fully responsible for the representation and the consultant only markets the practice to prospective clients.
  3. No, unless Marketing Consultant signs a confidentiality agreement and the client consents in writing.
  4. Yes, because the client is not charged more than the lawyer's normal hourly rate and the consultant performs only marketing work.

Explanation

Model Rule 5.4(a) prohibits a lawyer or law firm from sharing legal fees with a nonlawyer, subject to limited exceptions such as payments to a deceased lawyer's estate or purchase of a law practice. A referral arrangement that gives a nonlawyer a percentage of legal fees falls within the prohibition. The lawyer's continued responsibility for the representation or the absence of a fee increase does not cure the violation.

Question 17Legal Ethics and Professional Responsibility

Lawyer learns that another attorney in the same firm has been notarizing client signatures without the clients present and filing the false affidavits. The conduct raises a substantial question as to the other attorney's honesty and fitness. Lawyer's firm partner asks Lawyer to keep quiet to avoid a malpractice claim. Under Model Rule 8.3, what must Lawyer do?

  1. Lawyer has no duty to report because the misconduct occurred within the same firm and is protected by the firm's internal confidentiality policy.
  2. Lawyer must report the other attorney to the disciplinary authority, and the firm's wish to avoid a malpractice claim does not excuse the duty. Correct answer.
  3. Lawyer may report only if the affected client consents to disclosure of the notarization issue after consultation.
  4. Lawyer must report the other attorney to the local prosecutor instead of the disciplinary authority because false affidavits are crimes.

Explanation

Model Rule 8.3(a) requires a lawyer who knows of another lawyer's violation that raises a substantial question as to honesty, trustworthiness, or fitness to report the matter to the appropriate disciplinary authority. Internal firm loyalty or a desire to avoid a malpractice claim does not excuse the reporting duty. The rule directs reporting to the disciplinary authority, not to a prosecutor in place of that authority.

Question 18Legal Ethics and Professional Responsibility

Lawyer represents three plaintiffs in a single lawsuit arising from a car crash. Defense offers a single $300,000 settlement to be divided among the three, with no allocation specified. Client A wants to accept; Clients B and C want to reject. Under Model Rule 1.8(g), what must Lawyer do before accepting the aggregate offer?

  1. Lawyer must disclose the total offer and each client's proposed share to every client and obtain each client's informed consent in writing. Correct answer.
  2. Lawyer may accept only after a court approves the settlement and appoints a guardian ad litem for each client to review the allocation.
  3. Lawyer may accept the aggregate offer if a majority of the clients agree, because the lawyer represents a group rather than a single client.
  4. Lawyer may accept if the lawyer believes the total is reasonable and allocates the funds equally among the three clients.

Explanation

Model Rule 1.8(g) governs aggregate settlements. A lawyer who represents two or more clients may not participate in making an aggregate settlement unless each client gives informed consent in writing after disclosure of the total amount and each client's share. A majority vote, the lawyer's own view of reasonableness, or a court appointment of guardians does not substitute for each client's informed written consent.

Question 19Legal Ethics and Professional Responsibility

Lawyer represents Manufacturer in ongoing litigation with Supplier. Midway through, Lawyer discovers that another major client, Retailer, wants Lawyer to sue Manufacturer in a separate, unrelated matter. Lawyer would like to withdraw from representing Manufacturer to take Retailer's case. Manufacturer objects and says withdrawal will cause substantial prejudice. Under Model Rules 1.7 and 1.16, may Lawyer withdraw?

  1. No, because a lawyer may never represent two clients whose interests are adverse in any matter, even with informed consent from both.
  2. No, because a lawyer may not drop an existing client like a hot potato to cure a conflict; withdrawal requires good cause and tribunal approval. Correct answer.
  3. Yes, if Lawyer returns the unused portion of the fee and gives Manufacturer 30 days' notice of the withdrawal.
  4. Yes, because a lawyer may withdraw from any representation if a new client offers more lucrative work and pays a higher retainer.

Explanation

A lawyer cannot abandon an existing client in order to convert a concurrent conflict into a former-client conflict; this is often called the hot-potato doctrine. Withdrawal during litigation generally requires good cause and permission from the tribunal under Model Rule 1.16, and the client's substantial prejudice weighs against withdrawal. The conflict arising from the lawyer's choice to take on new work does not automatically justify dropping the existing client.

Question 20Legal Ethics and Professional Responsibility

Lawyer is admitted only in State A. A long-standing State A client asks Lawyer to negotiate a contract governed by State B law while Lawyer works remotely from State A. Lawyer has no office in State B and will not appear in State B court. Under Model Rule 5.5, may Lawyer provide the services?

  1. No, unless Lawyer opens a physical office in State B, pays State B bar dues, and retains local counsel for all client meetings.
  2. Yes, because the Internet makes state licensing rules obsolete for transactional work.
  3. No, because a lawyer may never practice law in a state where the lawyer is not admitted, even on a temporary basis.
  4. Yes, if the work is reasonably related to Lawyer's State A practice, though Lawyer should check State B's pro hac vice or authorization rules. Correct answer.

Explanation

Model Rule 5.5 permits a lawyer admitted in one jurisdiction to provide legal services on a temporary basis in another jurisdiction when the work is reasonably related to the lawyer's practice in a jurisdiction where the lawyer is admitted, among other exceptions. A lawyer should still confirm whether the other jurisdiction's rules require admission pro hac vice or other authorization for the particular matter. Maintaining a physical office in the other state is not a universal prerequisite.

Question 21Legal Ethics and Professional Responsibility

Lawyer learns that another attorney in the community has been filing pleadings with fabricated citations and has not corrected them. The information is not protected by confidentiality, and the other attorney is not in treatment for substance use. Under ABA Model Rule 8.3, what is required of Lawyer?

  1. Report the misconduct only if a court has already sanctioned the attorney.
  2. Keep silent because lawyers have no duty to report other lawyers.
  3. Warn the attorney's current clients directly instead of reporting.
  4. Report the misconduct to the appropriate disciplinary authority. Correct answer.

Explanation

Rule 8.3(a) requires a lawyer who knows of another lawyer's violation that raises a substantial question as to honesty, trustworthiness, or fitness to report it to the appropriate disciplinary authority. Fabricating citations is such a violation, and the duty is not limited to cases already sanctioned by a court.

Question 22Legal Ethics and Professional Responsibility

Plaintiff's lawyer wants to interview a managerial employee of Defendant Corporation about a delivery date. Defendant Corporation is represented by counsel, and the employee's statements may bind the corporation. Plaintiff's lawyer knows this. Under ABA Model Rule 4.2, what is required?

  1. Interview the manager directly because only outside counsel is represented.
  2. Send a written request to the manager and copy defense counsel.
  3. Communicate only through defense counsel unless defense counsel consents. Correct answer.
  4. Interview the manager if the manager agrees to speak voluntarily.

Explanation

Rule 4.2 prohibits a lawyer from communicating about the subject of the representation with a person the lawyer knows to be represented by counsel, unless the other lawyer consents or the law authorizes the communication. A managerial employee's statements can bind the corporate defendant, so the plaintiff's lawyer must go through defense counsel.

Question 23Legal Ethics and Professional Responsibility

An elderly client with early dementia insists on signing a deed that Lawyer believes is contrary to her interests. The client can still express a choice, but the decision appears imprudent. Under ABA Model Rule 1.14, what should Lawyer do?

  1. Maintain the relationship as far as possible and consider protection. Correct answer.
  2. Withdraw because the client cannot make a reasoned decision about the deed.
  3. Follow the adult children's instructions as the decision-makers.
  4. Petition for guardianship immediately without consulting the client.

Explanation

Rule 1.14 directs a lawyer to maintain as normal a client-lawyer relationship as possible with a client of diminished capacity, while giving attention to the client's best interests. If the client is at risk of harm, the lawyer may take reasonably necessary protective action, such as consulting protective services or seeking guardianship.

Question 24Legal Ethics and Professional Responsibility

In contract negotiations, Lawyer knowingly tells the opposing party that her client has obtained financing when the client has not. Under ABA Model Rule 4.1, what is prohibited?

  1. Only statements made under oath in a judicial proceeding.
  2. Only statements that also constitute a crime or fraud.
  3. False statements of material fact made to a third person. Correct answer.
  4. All statements that later prove inaccurate, regardless of knowledge.

Explanation

Rule 4.1(a) prohibits a lawyer from knowingly making a false statement of material fact to a third person in the course of representing a client. Negotiation is not an exception, so a knowing misrepresentation about financing violates the rule even outside court.

Question 25Legal Ethics and Professional Responsibility

A prosecutor holds a press conference in a high-profile case and says the defendant "has a long history of violence and will certainly be convicted." Under ABA Model Rule 3.6, what standard governs this extrajudicial statement?

  1. Substantial likelihood of material prejudice to the proceedings. Correct answer.
  2. Actual malice shown by clear and convincing evidence.
  3. A prior gag order entered by the trial judge.
  4. Falsity of the statement, proved by the opposing party.

Explanation

Rule 3.6(a) prohibits an extrajudicial statement that the lawyer knows or reasonably should know will have a substantial likelihood of materially prejudicing an adjudicative proceeding. Statements about the defendant's violent history and a predicted conviction go directly to character and outcome, so the substantial-prejudice standard governs.

Question 26Legal Ethics and Professional Responsibility

Lawyer has represented Client in a divorce for two months. Lawyer and Client begin a consensual romantic relationship. The representation continues. Under ABA Model Rule 1.8(j), what is the result?

  1. Permitted if Client gives written informed consent.
  2. Prohibited only if the relationship affects the representation.
  3. Prohibited unless the relationship predates the representation. Correct answer.
  4. Permitted if the representation is uncontested.

Explanation

Rule 1.8(j) prohibits sexual relations with a client unless a consensual relationship existed between them when the client-lawyer relationship began. Client consent during the representation does not cure the prohibition.

Question 27Legal Ethics and Professional Responsibility

Client's employer agrees to pay Lawyer to defend Client in a workplace injury claim. The employer asks Lawyer to report all of Client's confidential statements to the employer. Under ABA Model Rule 1.8(f), what must Lawyer obtain or ensure?

  1. A court order approving the third-party payment arrangement.
  2. The employer's consent to Lawyer's independent judgment.
  3. Informed consent, noninterference, and protection of client confidences. Correct answer.
  4. Only the employer's written agreement to pay the fee.

Explanation

Rule 1.8(f) allows a lawyer to accept compensation from a third person only if the client gives informed consent, the third party does not interfere with the lawyer's independent professional judgment, and client information remains protected. The employer cannot condition payment on receiving the client's confidences.

Question 28Legal Ethics and Professional Responsibility

Lawyer represents Client in litigation. Client repeatedly fails to pay agreed fees, and Lawyer wants to withdraw. The court has entered a scheduling order but no appearance requiring Lawyer's presence. Under ABA Model Rule 1.16, what may Lawyer do?

  1. Withdraw if no material adverse effect, with court permission if required. Correct answer.
  2. Continue because a fee dispute never justifies withdrawal.
  3. Withdraw only after Client consents in a signed writing.
  4. Withdraw immediately without notice because the client breached the fee agreement.

Explanation

Rule 1.16(b) permits withdrawal if it can be accomplished without material adverse effect on the client, and a fee dispute may supply good cause. When a court has jurisdiction, the lawyer must also comply with applicable notice and permission requirements.

Question 29Legal Ethics and Professional Responsibility

Lawyer represents Client in ongoing litigation. A more lucrative client asks Lawyer to handle a substantially related matter adverse to Client. Lawyer plans to withdraw from Client's case solely to avoid the current-client conflict, then represent the new client. Under ABA Model Rule 1.7, what is the result?

  1. Lawyer may represent the new client because the matters relate.
  2. Lawyer may represent the new client if Client consents to withdrawal.
  3. Lawyer may withdraw because the new client pays a higher fee.
  4. Lawyer may not drop Client solely to convert the conflict. Correct answer.

Explanation

Under the current-client conflict rule, a lawyer may not drop a client like a hot potato solely to convert a concurrent conflict into a former-client conflict with a lower consent threshold. The lawyer must analyze the conflict while the client is still current and obtain proper consent or decline the new matter.

Question 30Legal Ethics and Professional Responsibility

Lawyer settles Client's personal injury case for $100,000. The settlement includes a disputed $20,000 hospital lien that Client and the hospital both claim. Lawyer holds the funds. Under ABA Model Rule 1.15, how should Lawyer handle the disputed $20,000?

  1. Deliver the entire $20,000 to Client because Client controls the settlement.
  2. Use the $20,000 to cover the lawyer's fee and costs first.
  3. Keep the disputed $20,000 in trust until the dispute is resolved. Correct answer.
  4. Pay the $20,000 to the hospital to avoid a lien foreclosure.

Explanation

Rule 1.15(e) requires a lawyer to keep funds in which a third person claims an interest separate from the lawyer's own funds until the dispute is resolved. The lawyer should not unilaterally deliver disputed funds to either claimant while the hospital and client both assert a claim.

Question 31Legal Ethics and Professional Responsibility

Lawyer represented Client in a contract dispute that ended two years ago. Client now asks whether Lawyer may disclose a confidential fact learned during that representation. Which statement best describes Lawyer's duty under the Model Rules?

  1. The duty ends when the representation ends, so Lawyer may disclose the fact.
  2. The duty of confidentiality continues after termination, subject to the exceptions in Rule 1.6. Correct answer.
  3. The duty continues only for matters that remain pending in court.
  4. The duty ends only after Client pays the final bill in full.

Explanation

Rule 1.6(c) provides that the duty of confidentiality continues after the client-lawyer relationship has terminated. Disclosure remains permissible only as authorized by the Rules, such as with informed consent or to prevent certain serious harm.

Question 32Legal Ethics and Professional Responsibility

Lawyer agrees to draft a complex estate-planning instrument governed by a state where Lawyer has never practiced. Lawyer has no experience with that state's elective-share law. What must Lawyer do to satisfy the duty of competence?

  1. Assign the entire drafting task to a paralegal who has handled similar forms.
  2. Use a standard form without checking the state-specific rules, because forms are widely accepted.
  3. Become competent through reasonable study or associate with competent counsel. Correct answer.
  4. Tell Client that Lawyer will learn the governing law after the instrument is filed.

Explanation

Rule 1.1 requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation. A lawyer may accept a matter in an unfamiliar area if the lawyer can become competent through reasonable study or by associating with competent counsel.

Question 33Legal Ethics and Professional Responsibility

Lawyer agrees to represent Client in a products-liability claim for one-third of any recovery. Which requirement applies to this contingent-fee agreement?

  1. It must be approved by a judge before Lawyer begins the representation in any contingent-fee case.
  2. It is enforceable if Client orally agrees in front of a witness and the fee is reasonable.
  3. It must set a fixed hourly rate to apply if the claim produces no recovery for Client.
  4. Be in writing, signed by Client, and state the method for determining the fee and expenses. Correct answer.

Explanation

Rule 1.5(c) requires a contingent fee to be in writing and signed by the client. The writing must state the method of determining the fee, including the percentage, and how expenses are handled.

Question 34Legal Ethics and Professional Responsibility

Lawyer represents Corporation in a regulatory investigation. A mid-level manager tells Lawyer that a senior officer is continuing conduct that violates a court order and is reasonably certain to cause substantial injury to Corporation. The manager refuses to stop. Lawyer reports the matter to the board, which ratifies the conduct. What may Lawyer do under Rule 1.13?

  1. Reveal confidential information outside the organization to the extent necessary to prevent the injury. Correct answer.
  2. Disclose all confidential information to the press to protect the public from the officer's conduct.
  3. Report only if the mid-level manager consents in writing and the board approves the disclosure.
  4. Take no further action because the board's ratification conclusively ends the matter and protects Lawyer.

Explanation

Under Rule 1.13(b), the lawyer must proceed in the organization's best interest, which may include reporting to higher authority. If the highest authority insists on conduct reasonably certain to cause substantial injury, Rule 1.13(c) permits disclosure outside the organization to the extent necessary to prevent it.

Question 35Legal Ethics and Professional Responsibility

Lawyer opens a client trust account. Which deposit is permitted under the Model Rules?

  1. A cash gift from Lawyer to Client that Lawyer wants to document in the account.
  2. Lawyer's own funds reasonably sufficient to pay bank service charges on the trust account. Correct answer.
  3. Lawyer's personal investment funds awaiting a real estate closing.
  4. Firm operating expenses held until Client pays the next invoice.

Explanation

Rule 1.15(b) permits a lawyer to deposit funds reasonably sufficient to pay bank charges into a trust account. Client funds must otherwise be held separately from the lawyer's own funds.

Question 36Legal Ethics and Professional Responsibility

Lawyer A refers Client to Lawyer B in another firm and will perform no work on the matter. Lawyer A will receive one-third of Lawyer B's fee. Which condition must be satisfied for this division?

  1. Lawyer B must pay Lawyer A's share before Client consents in writing to the referral arrangement.
  2. Client must consent in writing, Lawyer A must assume joint responsibility, and the total fee must be reasonable. Correct answer.
  3. Lawyer A must perform at least half of the substantive legal work on the matter for Client.
  4. No writing is required because both lawyers are licensed in the same state and the fee is reasonable.

Explanation

Rule 1.5(e) permits a division of fees between lawyers not in the same firm only if the division is proportional to services or each lawyer assumes joint responsibility, the client agrees in writing including each lawyer's share, and the total fee is reasonable.

Question 37Legal Ethics and Professional Responsibility

In a civil trial, Client tells Lawyer that Client intends to testify falsely about a material fact. Lawyer has not yet offered the testimony. What must Lawyer do under Rule 3.3?

  1. Continue with the examination because Client has a constitutional right to testify.
  2. Wait until after trial and then tell the judge about the false testimony.
  3. Refuse to offer the false testimony and, if necessary, disclose the falsity to the tribunal. Correct answer.
  4. Allow Client to testify in narrative form so that Lawyer does not appear to sponsor the false statements.

Explanation

Rule 3.3(a)(3) prohibits a lawyer from knowingly offering evidence the lawyer knows to be false. If the client insists on false testimony, the lawyer must refuse, may seek withdrawal, and if withdrawal is not permitted must take reasonable remedial measures, including disclosure to the tribunal.

Question 38Legal Ethics and Professional Responsibility

Client pays Lawyer a $10,000 flat fee for a licensing matter. Before Lawyer performs substantial work, Client terminates the representation. Lawyer has earned $1,500. What is Lawyer's obligation regarding the fee?

  1. Refund the entire $10,000 regardless of the work performed.
  2. Refund the unearned $8,500 and may retain the $1,500 earned. Correct answer.
  3. Keep the entire $10,000 if the agreement contains a nonrefundable clause.
  4. Keep the entire $10,000 because a flat fee is earned on receipt.

Explanation

Rule 1.16(d) requires a lawyer to refund any advance payment of fee that has not been earned when the representation ends. A lawyer may retain the portion reasonably earned before termination.

Question 39Legal Ethics and Professional Responsibility

Lawyer asks Client to sign a blanket advance waiver permitting Lawyer to represent any adverse party in any future matter, including substantially related litigation, without further disclosure. Client signs without independent counsel. What is the likely effect of the waiver?

  1. It is effective because informed consent may be given in a signed writing even without independent counsel.
  2. It is ineffective unless the waiver is notarized and approved by independent counsel.
  3. It is generally ineffective because Client cannot reasonably understand unknown future risks. Correct answer.
  4. It is effective only if Lawyer's fee in the future matter is reasonable and disclosed.

Explanation

Under Rule 1.7, advance consent to future conflicts may be effective only when the client reasonably understands the material risks and gives informed consent. Open-ended waivers covering unknown future adverse representations are ordinarily insufficient.

Question 40Legal Ethics and Professional Responsibility

Prosecutor learns that a police lab technician falsified a test result that was used to charge Defendant. Prosecutor reasonably believes the evidence is material and favorable to Defendant. What is Prosecutor's obligation?

  1. Wait until trial to disclose the information so the investigation is not disrupted.
  2. Refer the matter to an ethics committee and keep the evidence confidential.
  3. Disclose only if Defendant makes a specific request for the lab records.
  4. Disclose the evidence promptly to the defense because it tends to negate guilt. Correct answer.

Explanation

Under Rule 3.8(d), a prosecutor must make timely disclosure to the defense of all evidence known to the prosecutor that tends to negate guilt or mitigate the offense. The duty does not depend on a request from the defense.

Question 41Legal Ethics and Professional Responsibility

A lawyer's firm website states that the lawyer is 'a nationally recognized expert in intellectual property litigation' even though the lawyer has never handled such a case and has no specialized certification. Which ethical rule is most directly implicated?

  1. Misleading communication about the lawyer's services. Correct answer.
  2. Unauthorized disclosure of client confidences.
  3. Failure to report another lawyer's misconduct.
  4. Improper in-person solicitation of a client.

Explanation

Model Rule 7.1 prohibits a lawyer from making a false or misleading communication about the lawyer or the lawyer's services. An unsubstantiated claim that the lawyer is a 'nationally recognized expert' when the lawyer has never handled such a case is misleading, even if the statement appears on a website rather than in a traditional advertisement.

Question 42Legal Ethics and Professional Responsibility

A lawyer learns that a local hospital's emergency room has treated several patients injured in a bus accident. The lawyer goes to the hospital and approaches the patients in the waiting room to offer legal representation. Which is the primary ethical concern?

  1. Required to be handled on a contingent fee.
  2. Proper because the patients lack representation.
  3. Improper in-person solicitation of prospective clients. Correct answer.
  4. Permitted if the hospital gives written consent.

Explanation

Model Rule 7.3 generally prohibits a lawyer from soliciting prospective clients in person when the lawyer's pecuniary gain is a significant motive. Approaching accident victims in a hospital waiting room is a classic form of improper solicitation, even if the patients have not yet retained counsel.

Question 43Legal Ethics and Professional Responsibility

A lawyer wants to satisfy the profession's aspirational goal of providing legal services to persons of limited means. Under Model Rule 6.1, which statement is accurate?

  1. Aspiration to render at least 50 pro bono hours yearly. Correct answer.
  2. Pro bono duty limited to legal aid organization lawyers.
  3. Financial contributions fully substitute for direct pro bono service.
  4. Mandatory 50-hour pro bono requirement enforced by discipline.

Explanation

Model Rule 6.1 states that every lawyer has a professional responsibility to provide legal services to those unable to pay. It sets an aspirational goal of at least 50 hours of pro bono publico service per year, but it does not impose a disciplinary obligation.

Question 44Legal Ethics and Professional Responsibility

A company founder meets with Lawyer for a one-hour consultation about a possible fraud claim against a business partner. The founder shares confidential financial details but decides not to hire Lawyer. Six months later, the business partner asks Lawyer to represent him in litigation against the founder arising from the same venture. Lawyer had no prior relationship with either party. What is Lawyer's most significant ethical constraint?

  1. Lawyer must decline and may not seek the founder's consent.
  2. No attorney-client relationship formed, so representation is proper.
  3. Representation requires the founder's informed consent. Correct answer.
  4. Screening Lawyer from the founder's information cures the conflict.

Explanation

Under Model Rule 1.18(c), a lawyer who receives information from a prospective client that could be significantly harmful to that person may not represent a client with materially adverse interests in the same or a substantially related matter unless the prospective client gives informed consent. The absence of a formal attorney-client relationship does not eliminate this duty.

Question 45Legal Ethics and Professional Responsibility

Lawyer represents Client in a commercial lease dispute. Lawyer proposes to buy Client's rental property at a price significantly below market value. Client agrees. Which condition is required for Lawyer to complete the purchase?

  1. Client must be independently represented by another lawyer throughout.
  2. Fair terms, written disclosure, and advice to seek counsel. Correct answer.
  3. Lawyer must obtain local bar association approval before closing.
  4. Price must fall within 10 percent of fair market value.

Explanation

Model Rule 1.8(a) governs business transactions between a lawyer and a client. The terms must be fair and reasonable, fully disclosed in writing, the client must be advised in writing to seek independent counsel, and the client must give informed consent.

Question 46Legal Ethics and Professional Responsibility

Lawyer represents Client in a breach-of-contract trial. Lawyer is the only person who heard the oral modification that is central to the dispute, and the opposing party plans to call Lawyer as a witness. Which statement best reflects Lawyer's obligations under the Model Rules?

  1. Opposing party's plan to call Lawyer permits continued advocacy.
  2. Withdrawal required regardless of any substantial hardship to Client.
  3. Withdrawal required unless an exception like substantial hardship applies. Correct answer.
  4. Lawyer may continue and testify because testimony is necessary.

Explanation

Model Rule 3.7(a) generally bars a lawyer from acting as advocate at a trial when the lawyer is likely to be a necessary witness. The rule recognizes limited exceptions, including where disqualification would work substantial hardship on the client.

Question 47Legal Ethics and Professional Responsibility

Lawyer's paralegal routinely prepares and signs correspondence to opposing counsel without Lawyer's review. The paralegal also gives a client legal advice about whether to accept a settlement. Which statement best describes Lawyer's responsibility?

  1. Responsible only if the client suffers financial harm.
  2. Responsible for failure to reasonably supervise the paralegal's conduct. Correct answer.
  3. Not responsible because the paralegal is not a lawyer.
  4. May delegate all client communication to an experienced paralegal.

Explanation

Model Rule 5.3 requires a lawyer with managerial authority to make reasonable efforts to ensure that a nonlawyer assistant's conduct is compatible with the professional obligations of the lawyer. A lawyer may not delegate the provision of legal advice or the exercise of professional judgment to a paralegal.

Question 48Legal Ethics and Professional Responsibility

In a motion hearing, Lawyer knows that a controlling appellate decision directly contrary to her client's position has not been cited by opposing counsel. The court has not asked about that decision. What must Lawyer do under the Model Rules?

  1. Withhold because opposing counsel bears the research burden.
  2. Disclose only if the court asks about the authority.
  3. Disclose the adverse controlling authority to the tribunal. Correct answer.
  4. Withhold unless the client consents to disclosure.

Explanation

Model Rule 3.3(a)(2) requires a lawyer to disclose to the tribunal controlling legal authority in the controlling jurisdiction that is directly adverse to the client's position and that opposing counsel has not disclosed. The duty applies even when the court has not asked and even if the client would prefer nondisclosure.

Question 49Legal Ethics and Professional Responsibility

Client, an elderly widow, tells Lawyer that she wants to give Lawyer a 20-acre parcel of land as a gift for 'taking such good care of her' during a guardianship matter. Lawyer has not solicited the gift. What is the proper response?

  1. Decline to prepare the deed absent a family relationship. Correct answer.
  2. Accept if the client signs a detailed written waiver.
  3. Accept if another lawyer reviews the transfer for fairness.
  4. Accept because the client voluntarily initiated the gift.

Explanation

Model Rule 1.8(c) prohibits a lawyer from soliciting a substantial gift from a client or preparing an instrument that gives the lawyer a substantial gift, unless the lawyer is related to the client. A 20-acre parcel is plainly substantial, and the lawyer's preparation of a deed would fall within the prohibition.

Question 50Legal Ethics and Professional Responsibility

Lawyer agrees to represent Client in an appeal. Lawyer misses the filing deadline because Lawyer took on too many cases and failed to calendar the date. Client loses the appeal. Which ethical duty has Lawyer most directly violated?

  1. The duty of diligence. Correct answer.
  2. The duty of confidentiality.
  3. The duty to report misconduct.
  4. The duty to avoid conflicts of interest.

Explanation

Model Rule 1.3 requires a lawyer to act with reasonable diligence and promptness in representing a client. Missing a filing deadline because the lawyer overcommitted and failed to calendar the date is a direct failure of diligence, regardless of the outcome.