Question 1

A paralegal worked for an estate planning client. In a meeting with the client, the client showed the paralegal many photographs of the client's valuable assets, including several expensive paintings. The paralegal stated that the paintings were quite good and that he would like to own good paintings someday. The client then said, "Consider this one yours. Put a bequest in my will that gives the painting to you." Can the will include a provision that leaves the painting to the paralegal?

Accepted Answer

A) Yes, because the client can distribute her property however she wishes. 
B) Yes, unless the client is related to the paralegal. 
C) No, because the paralegal's statement will be seen as soliciting a gift. 
D) No, because the paralegal has not obtained authorization from his employer.

Question 2

A trademark attorney was representing a businesswoman who needed trademark protection for her business. The attorney assigned the task of drafting the initial trademark forms to a paralegal. The paralegal can perform the task if ____________________________________.

Accepted Answer

A) The attorney remains professionally responsible for all work performed by the paralegal. 
B) The paralegal retains ultimate responsibility for his or her work product. 
C) The paralegal is required to exercise independent professional judgment. 
D) The attorney assigns an associate to review the work of the paralegal.

Question 3

A paralegal works for a sole practitioner who practices mainly in personal injury law. At a time prior to hiring the paralegal, the attorney prepared a brochure outlining what a person should do if injured. The brochure includes information on getting medical treatment, dealing with an insurance company, keeping records, etc. The brochure also contains the attorney's name, office address, and telephone number. The paralegal sees a person lying on the ground after a hit-and-run incident. The paralegal helps the injured person by providing emergency first aid until an ambulance arrives. The next day, the paralegal visits the injured person in the hospital and gives her a copy of the brochure. Can the paralegal's conduct result in discipline against the attorney?

Accepted Answer

A) Yes, because the paralegal implicitly approved of the brochure when he gave it to the injured person. 
B) Yes, because the paralegal engaged in conduct prohibited to the attorney when the paralegal gave the brochure to the injured person. 
C) Yes, because attorneys are ethically prohibited from preparing and distributing informational brochures. 
D) Yes, because paralegals and attorneys are not licensed to provide emergency first aid treatment.

Question 4

A certified paralegal and an associate both work for the same mid-size law firm. About two years ago, the paralegal and the associate were assigned to work on a real estate transaction worth about $7,000,000. The firm was representing the seller, who was selling the property to a developer. After the transaction closed, a dispute arose between the developer, certain investors, and the general contractor. A lawsuit was eventually filed, and now, one of the parties has served subpoenas on the law firm, the associate, and a senior partner. Three weeks later, the associate was deposed regarding details of the client's matter. Did the associate violate the confidentiality rules?

Accepted Answer

A) Yes, because the confidentiality rules prohibit disclosure of all information related to the representation of a client, unless authorized or an exception applies. 
B) Yes, because the associate and the law firm did not obtain the written consent of the seller. 
C) No, because clients always impliedly authorize disclosure of confidential information in response to a subpoena. 
D) No, because a subpoena is a court order and the confidentiality rules allow disclosure of confidential information if necessary to comply with a court order.

Question 5

Which of the following is an obligation that a lawyer must follow in the representation of a client?

Accepted Answer

A) An obligation to abide by the client's decisions regarding objectives of the representation. 
B) An obligation to abide by the client's decision to settle a matter. 
C) An obligation to abide by the client's decision, in a criminal case after consultation with the lawyer, regarding a plea, waiver of a jury trial, and whether to testify. 
D) All of the above.

Question 6

Perry is a certified paralegal for Kashara, who is a partner in a mid-size law firm. Kashara asks Perry to meet with a client who recently retained Kashara to handle a nuisance action against a glue factory next to the client's property. The client arrives at the law firm at the time set, and Perry goes to the lobby to introduce herself. Perry says to the client, "Good morning, my name is Perry Parson. I'll be interviewing you today about the nuisance action." After getting settled in a conference room, Perry interviews the client for approximately thirty minutes. As she was about to leave, the client thanked Perry for her time and said, "I'm glad to have an attorney like you on my side." Should Perry have done anything differently when she first introduced herself to the client?

Accepted Answer

A) No, but when the client referred to her as an attorney, Perry should have clarified her status as a paralegal. 
B) No, because Kashara probably told the client that Perry is a paralegal. 
C) Yes, Perry should have identified herself as a paralegal because she has never met this client. 
D) Yes, Perry should have asked the client if she (the client) was comfortable with a paralegal conducting the interview.

Question 7

Under the Model Rules, a lawyer is absolutely prohibited from soliciting or seeking professional employment by any means of advertising, including in-person, telephone, or real-time electronic contact, under which of the following situations?

Accepted Answer

A) If the person contacted states he or she does not want to be solicited. 
B) If the person contacted has been admitted to the hospital. 
C) If the person contacted has a wrongful death claim for the death of a relative. 
D) All of the above.

Question 8

Under the Model Rule on the responsibilities of partners, managers, and supervisory lawyers, a partner in a law firm with managerial authority must ____________________________________________.

Accepted Answer

A) Assign lawyers to attend continuing legal education seminars on a regular basis. 
B) Meet with each other lawyer in the firm on a regular basis to discuss compliance with the Model Rules. 
C) Take reasonable steps to ensure only that associates and non-lawyer staff comply with the Model Rules. 
D) Take reasonable steps to ensure that all lawyers in the firm comply with the Model Rules.

Question 9

An attorney recently completed a trial. The jury in the case returned a verdict that heavily favored the opposing party. After the trial, the attorney spoke with one of the jurors, and the juror told the attorney that the verdict favored the opposing party because every juror was paid $2,000. When the attorney moved for a new trial, the opposing attorney argued that the attorney violated the Model Rules by talking to a juror. Is the opposing attorney correct?

Accepted Answer

A) Yes, because counsel and parties are strictly prohibited from speaking to jurors. 
B) Yes, unless the judge authorizes the communication with the juror. 
C) No, because the communication occurred after the jury was discharged. 
D) No, because the juror did not want to communicate with the attorney.

Question 10

A certified paralegal works for a mid-size law firm in a moderate-size metro area. Every year, the firm holds an open-house event for current and prospective clients, and the firm's paralegals are expected to participate. As she was assisting the firm administrator with preparations just before the event, the paralegal was placing copies of the "firm resume" on a table for guests and began looking over the biographies of some of the firm's attorneys. Each attorney and associate drafted his or her own biography. The paralegal notices that one associate's biography stated that he had won a small, but prestigious moot court competition while in law school. The paralegal, who was interested in attending law school, later found a listing of all past winners of the same moot court competition, but the associate's name was not on the list. Is the associate subject to disciplinary action?

Accepted Answer

A) Yes, because the firm resume is advertising and the false information is material since it could give clients or potential clients a false or misleading impression. 
B) Yes, because attorneys occupy positions of trust and confidence and an attorney breaches a fiduciary duty if he or she presents false information about his or her qualifications. 
C) No, because another lawyer in the firm could have changed or revised the associate's biography before the firm resume was finalized. 
D) No, because the firm resume is advertising and puffery is expected.

Question 11

Ken is a paralegal who works for a law firm that handles personal injury and workers' compensation cases. Previously, Ken worked for the legal department of a state agency that monitored and enforced state occupational safety laws. At the state agency, one of Ken's duties was to create an annual report that summarized accident reports submitted by manufacturing employers in the state. The annual report was used internally and not published, but a copy could be obtained under the state's public record act. Ken's employer has just accepted a case against Shamrock Manufacturing. For several years, Shamrock reported more accidents than any other company on the list prepared by Ken for the state agency. Can Ken work on the case against Shamrock?

Accepted Answer

A) No, but Ken's law firm can accept the case if Ken can be screened from working on the case. 
B) Yes, because the confidentiality rules do not apply to paralegals. 
C) Yes, because the annual report prepared by Ken is available under the state's public record act. 
D) No, because he has confidential information about Shamrock that he learned at the state agency.

Question 12

An attorney represented a wife in a child custody matter. The attorney worked on the case for several months and billed for his time against the retainer paid by the wife. When the retainer was depleted, the attorney asked the wife to replenish the retainer, but the wife stated she did not have the money to do so. The attorney then told the wife that he was immediately withdrawing from the representation and sent her a letter confirming his withdrawal. Is the attorney subject to discipline for his immediate withdrawal?

Accepted Answer

A) Yes, because he did not take steps to protect the client's interests. 
B) No, because attorneys are permitted to immediately drop clients who can no longer pay. 
C) No, because the case involved a family law matter. 
D) No, because an attorney may terminate a representation if it is repugnant.

Question 13

Under the definition of legal assistant/paralegal adopted by the American Bar Association, a legal assistant/paralegal is a person _____________________________________.

Accepted Answer

A) Qualified by education, training, or experience who is employed or retained by an attorney and performs specifically delegated substantive legal work. 
B) Employed or retained by an attorney and performs specifically delegated substantive legal work. 
C) Qualified by education, training, or experience to perform specifically delegated substantive legal work. 
D) Who assists in the delivery of legal services based on formal education, training, and experience in substantive and procedural law.

Question 14

Which of the following is NOT an exception to the Model Rule on unauthorized practice of law by a lawyer admitted in one jurisdiction, but practicing in another jurisdiction on a temporary basis?

Accepted Answer

A) Admission pro hac vice in a pending matter. 
B) Association with local counsel. 
C) Appearance in an arbitration, mediation, or other alternative dispute resolution proceeding. 
D) None of the above.

Question 15

Under the Code of Ethics and Professional Responsibility, which of the following is NOT prohibited conduct?

Accepted Answer

A) Set fees for the representation of a client. 
B) Involve an attorney in a violation of professional ethics 
C) Encourage the unauthorized practice of law. 
D) Have direct contact with a client. 
E) Give legal opinions or advice.
F)Perform legal research and draft legal documents under supervision of a lawyer.
G)Engage in conduct that would give an appearance of professional impropriety.
H)Engage in the unauthorized practice of law.

Question 16

Under the National Association of Legal Assistants, how many hours of continuing legal education must a certified paralegal complete to maintain certification?

Accepted Answer

A) Five hours every year. 
B) Fifty hours every five years. 
C) Ten hours per year submitted every five years. 
D) None.

Question 17

Under the Model Rule governing the professional independence of a lawyer, "a lawyer or law firm may not share legal fees with a nonlawyer." Which of the following is NOT an exception to this Rule?

Accepted Answer

A) A lawyer or law firm hires a paralegal and agrees to pay the paralegal a salary or wage in return for the work. 
B) A lawyer who purchases the practice of a deceased lawyer may pay the deceased lawyer's estate or other representative. 
C) A lawyer or law firm may include non-lawyer employees in a compensation or retirement plan. 
D) An agreement by a lawyer or law firm, after the death of a lawyer, to pay the lawyer's estate or a specified non-lawyer over time.

Question 18

An attorney who practiced in business law and litigation included a contact page on her website. The contact page allowed a visitor to the website to send inquiries to the attorney. John owned a small business and had a contract dispute with Bill, one of John's suppliers. John used the contact page on the attorney's website to send an inquiry to the attorney and included details about the contract dispute. The attorney responded that he was too busy at that time to take John's case and gave him the names of three other attorneys. Later, Bill contacted the attorney, and the attorney agreed to represent Bill in a suit between Bill and John. Is the attorney subject to discipline?

Accepted Answer

A) No, because John never became a client of the attorney and no conflict of interest exists. 
B) No, because the attorney is obligated to keep John's information confidential. 
C) No, because the attorney is permitted to advertise by electronic media. 
D) Yes, because John's prior communication creates a conflict of interest.

Question 19

An attorney is employed as in-house counsel for a chemical company. The pollution emitted by the company's factory is regulated by the Environmental Protection Agency under the Clean Air Act. As requested by the Board and president, the attorney is conducting an investigation and interviewing senior-level employees. During one interview, the attorney learns that the chief engineer intends to destroy a box of records showing that one smoke stack has been exceeding the permitted pollution levels for over a year. Under EPA regulations, the company is required to keep the records for ten years and steep fines are imposed for failure to keep the records. Under the Model Rules of Professional Conduct, the attorney must do which of the following?

Accepted Answer

A) Resign from employment with the firm to avoid association with illegal conduct. 
B) Act as reasonably necessary in the best interests of the corporation. 
C) Impose disciplinary action on the chief engineer. 
D) Do nothing.

Question 20

A lawyer with a three-attorney law firm was in the market for a used car for his son. One of the firm's clients was a car dealership, and the lawyer and his son stopped by the client's premises to look at used cars. While shopping at the dealership, the owner and president of the dealership recognized the lawyer. After discussing the son's needs, the owner offered to sell a used Toyota to the lawyer and to give him the standard ten-percent discount that all sales personnel are authorized to give to friends and family. Can the lawyer accept the offer without doing anything further?

Accepted Answer

A) Yes, because the Model Rule that prohibits entering business transactions with clients does not apply to standard transactions the client markets to others. 
B) Yes, because a business transaction with a client does not create a conflict of interest under the Model Rules. 
C) No, because the Model Rules require lawyers to obtain a written ethics opinion from an independent attorney before entering a transaction with a client. 
D) No, because the Model Rules prohibit entering business transactions with clients unless the client gives informed consent in writing.

Exam 2: Ethics