Question 1

A paralegal, who had been married for seven years, was employed by a family law attorney. The attorney was retained by a husband to represent him in a divorce case. When the paralegal met the client, she found him to be moderately attractive. Sometime later, after meeting with the client on a matter, the client asked the paralegal if she would meet with him for a drink. She agreed, as a courtesy to the client, and met him for a drink that evening. She met with the client for lunch or drinks several times after that, and eventually the paralegal and the client had an affair-all while the attorney's representation of the client was ongoing. Has the paralegal violated any rule of professional ethics?

Accepted Answer

A) Yes, because a lawyer cannot have a sexual relationship with a client unless the relationship existed prior to the attorney-client relationship. 
B) Yes, because a lawyer cannot engage in any conduct involving misrepresentation or deceit. 
C) No, because the Model Rules do not regulate or cover a lawyer's personal life. 
D) No, because a sexual relationship with a client does not create a conflict of interest since the lawyer has more incentive to act in the client's interests.

Question 2

A certified paralegal worked in a mid-size law firm and worked with two attorneys handling civil litigation cases. As part of her work, the paralegal was expected to understand and interpret procedural rules and local rules of practice. To keep up with changes to the state's procedural rules, the paralegal registered for continuing legal education seminar offered by the county bar association. On the morning of the seminar, however, one of the attorneys offered to take several employees to lunch, and the paralegal went to lunch instead of attending the seminar. The next day, the paralegal was working on collecting and preparing the supporting documents for a summary judgment motion, but organized them in a way that was inconsistent with a recent rule change, and the filing was rejected by the clerk of the court. The rule change was discussed in the seminar that the paralegal did not attend. Is the paralegal subject to disciplinary action by any professional organization?

Accepted Answer

A) Yes, because the paralegal is certified and failed to maintain a high degree of competency. 
B) Yes, because the Model Rules established continuing education requirements for non-attorney employees. 
C) No, because paralegal certification is voluntary and cannot be taken away or sanctioned. 
D) No, because paralegals must maintain good working relationships with their employers and attending the lunch promoted a good relationship.

Question 3

A paralegal is assisting an attorney with the litigation of a personal injury case. The attorney represents the defendant. Previously, the plaintiff filed a motion for summary judgment on the issue of liability, and the attorney filed a response. After the plaintiff filed her reply, but before the hearing date, the paralegal finds a case (binding in this jurisdiction) that directly supports the plaintiff's motion and is directly adverse to the defendant's position. The paralegal reviews the motion, the response, and the reply, but does not find the case cited anywhere. The paralegal knows that the attorney always wants to know about applicable case law, even if contrary to a client's position. The paralegal then gives a copy of the case to the attorney and discusses it with him. Does the attorney have any obligations in this situation?

Accepted Answer

A) Yes, because an attorney owes a duty to the court to disclose controlling case law that is adverse to the client's position and not disclosed by the opposing side. 
B) Yes, but it is limited to advising the opposing counsel of the controlling case law. 
C) No, because judges have an obligation to thoroughly research the issues presented in a case and have law clerks to assist them with the research process. 
D) No, because the opposing counsel was obligated to thoroughly research case law favorable to opposing counsel's client.

Question 4

Under some circumstances, screening may be an appropriate management technique for non-lawyer staff if the non-lawyer learned client confidences at one law firm, and the non-lawyer later moved to another law firm and a conflict of interest arose based on the client confidences. Courts have outlined certain guidelines to be considered in determining if a screen is effective. Which of the following is NOT one of those considerations?

Accepted Answer

A) Time elapsed between the matters. 
B) Relationship between the former and current matters. 
C) Non-lawyers years of experience. 
D) Nature of involvement in the former matter.

Question 5

Judith and Alan are attorneys and partners in a two-attorney law firm. The law firm has been successful in establishing a practice focusing on ERISA law. Although both Judith and Alan are involved in management of the firm, Judith is responsible for most personnel and operational matters, and Alan is responsible for most bookkeeping and computer system matters. Judith is aware that Alan has been gambling on regular basis at a casino on a nearby Indian reservation. Judith also told Alan that, due to his gambling habit, she has started monitoring the business and trust accounts. One day, Alan takes $5,000 from the firm's trust account so he can use it for gambling at the casino, and Judith learned of Alan's conduct before he went to the casino, but did nothing to stop Alan. Is Judith subject to disciplinary action for Alan's use of the client funds in the trust account?

Accepted Answer

A) Yes, because Judith is a partner in the law firm and required to make reasonable efforts to make sure all other attorneys in the firm follow the Model Rules. 
B) Yes, because Judith knew of Alan's potential conduct before Alan went gambling and could have avoided or mitigate the loss of client funds, but failed to do so. 
C) No, because Alan was the partner responsible for the firm's trust account and knowledge of Alan's gambling habit is not enough to support disciplinary action. 
D) No, because partners in a law firm are not subject to discipline for violations of the Model Rules, with the exception of imputed conflicts of interest.

Question 6

Complete the following sentence from the Model Rules: "A lawyer shall not make a _______________________________ communication about the lawyer or the lawyer's services."

Accepted Answer

A) False. 
B) Misleading. 
C) False or misleading. 
D) None of the above.

Question 7

A paralegal works for a small three-attorney law firm that provides legal services to small-and medium-sized businesses. The paralegal is heavily involved with the formation and maintenance of corporations and limited liability companies. One day, a call from a potential client is transferred to the paralegal. The potential client is interested in forming a business and is not sure whether she needs a corporation or a limited liability company, but states that she wants to hire the law firm. The paralegal says, "I'm sure we can help you. Generally, the cost runs between $500 and $1,000. Can I send you one of our contracts?" Has the paralegal engaged in any prohibited activity or conduct?

Accepted Answer

A) Yes, because accepting cases and setting fees is conduct in violation of rules and law prohibiting the unauthorized practice of law. 
B) Yes, because the paralegal did not have authority, nor seek authority, from her employer to accept cases and negotiate fees. 
C) No, because the paralegal was merely conveying standard information and facilitating the client's relationship with her employer. 
D) No, because a paralegal can engage in most legal services if employed by and supervised by a licensed attorney.

Question 8

Under the Model Rule on fairness to opposing party and counsel, a lawyer may NOT do which of the following during trial?

Accepted Answer

A) During closing arguments, assert personal knowledge of a fact in issue. 
B) Testify as a witness in the same case in which the lawyer represents a party. 
C) Cross-examine an opposing party with contradictory documents produced by the opposing party. 
D) Refrain from presenting evidence the lawyer knows is false.

Question 9

Under the Model Rules, a lawyer may not encourage or assist a client in conduct that the lawyer knows is criminal or fraudulent. Nonetheless, a lawyer may ____________________________________________________________.

Accepted Answer

A) Discuss the legal consequences of a proposed action and assist a client in determining the validity, scope, or application of a law. 
B) Not disclose a client's intention to commit a crime reasonably likely to cause substantial financial injury. 
C) Refuse to allow a criminal defendant to testify if the lawyer knows the defendant intends to give false evidence. 
D) None of the above.

Question 10

Bart is a paralegal at a large law firm with offices in several cities in the United States. Bart works with Jen, a partner who is handling a case for a corporation that manufactures equipment for the aviation industry. The corporation has been sued by a subcontractor, and the suit relates to trade secret technology. As a result, the court entered a protective order to prevent public disclosure of the trade secret information. Bart and Jen, however, are secret admirers of Julian Assange and WikiLeaks. Without telling Jen, Bart copied all of the documents in the discovery database to a USB memory stick and delivered the stick to WikiLeaks. WikiLeaks then published the documents on its website. Will Jen be subject to discipline for Bart's actions?

Accepted Answer

A) Yes, because a supervising attorney is responsible for the actions of a non-attorney employee that violate Rules of Professional Conduct 
B) No, unless Jen authorized or ratified the disclosure or knew of Bart's intended actions at a time when the consequences could have been prevented 
C) No, because an attorney has a constitutional right to free speech so long as the attorney does not cause or incite a violation of the law 
D) No, because Bart's actions were protected as free speech under the U.S. Constitution

Question 11

An attorney represented a client in a case against the client's former business partner. In her deposition, the client truthfully testified that she had lost her $100,000 investment in the partnership after her business partner negligently supervised the construction of a bistro (the business of the partnership). During the pretrial phase of the case, the business partner's lawyer called the attorney and offered to settle the case for $15,000. The attorney became indignant, called the offer insulting, hung up the telephone, and did nothing further. What obligation, if any, did the attorney have under the Model Rules?

Accepted Answer

A) An obligation to remind the lawyer of the amount of the client's original investment. 
B) An obligation to accept the settlement offer to expedite resolution of the case. 
C) An obligation to convey the settlement offer to the client for consideration. 
D) The attorney has no obligation to take any action.

Question 12

Under Model Rule 3.1, a lawyer must have non-frivolous basis in fact and law before bringing or defending a claim or issue. Rule 3.1, however, also states that, in a criminal case, a defendant is not prevented from ______________________.

Accepted Answer

A) Asserting the Fifth Amendment right to counsel established under Miranda. 
B) Asserting the Sixth Amendment right to confront witnesses. 
C) Requiring that a public defender provide effective assistance of counsel. 
D) Presenting a defense that requires the prosecution to prove every element of the crime.

Question 13

A lawyer accepts a case representing a juvenile who was arrested for spray painting graffiti. Can the lawyer accept the case if the lawyer's fee will be paid by the juvenile's father?

Accepted Answer

A) Yes, if the client's information remains confidential. 
B) Yes, if the father does not interfere with the lawyer's independent professional judgment. 
C) Both of the above. 
D) Neither of the above.

Question 14

A paralegal is employed by an attorney who often acts as a mediator or an arbitrator. The paralegal often assists the attorney before and during mediations and arbitrations and does legal research to assist the attorney in determining matters. Just before an arbitration hearing is set to begin, the paralegal was in the firm's conference preparing for the hearing. The complainant, who is not represented by counsel, is in the conference room, but neither the paralegal's employer, nor the opposing counsel, nor the respondent are in the room. The complainant asks the paralegal, "Is your employer going to argue that the respondent was negligent in failing to have his brakes fixed?" The paralegal responds by explaining that her employer does not represent him (the complainant) and that her employer's role in the arbitration is that of a third-party neutral who will make an award in the case. Was the paralegal's response appropriate under the Model Rules?

Accepted Answer

A) Yes, because it is consistent with the requirements of the Model Rule regarding lawyers serving as third-party neutrals. 
B) Yes, because the Model Rules require lawyers serving as third-party neutrals to explain the arbitration process. 
C) No, because the paralegal spoke directly to an unrepresented party. 
D) No, because the paralegal failed to advise the complainant to seek the advice of counsel.

Question 15

In most cases, a paralegal may perform any function delegated by an attorney except which of the following?

Accepted Answer

A) Conduct investigations and statistical and documentary research 
B) Author and sign letters if the paralegal's status is clearly indicated and no independent legal advice is given 
C) Conduct client interviews and maintain general contact with the client after an attorney-client relationship is established 
D) Represent a client before a court or agency unless authorized by that court or agency

Question 16

An advertisement sent in the U.S. Mail that solicits or seeks professional employment from a person known to be in need of legal services must state which of the following?

Accepted Answer

A) Personal and Confidential. 
B) Advertising Material. 
C) Both of the above. 
D) Neither of the above.

Question 17

In which of the following situations is a lawyer responsible for another lawyer's violation of the Model Rules?

Accepted Answer

A) If a lawyer orders or, with knowledge, ratifies the other lawyer's conduct. 
B) If a lawyer is a partner or has management authority and knows of the other lawyer's conduct at a time when its consequences can be avoided or lessened, but fails to take corrective action. 
C) If a lawyer has supervisory authority over the other lawyer and knows of the other lawyer's conduct at a time when its consequences can be avoided or lessened, but fails to take corrective action. 
D) All of the above.

Question 18

A lawyer may enter into a contingent fee agreement with a client for any legal services matter, except__________________.

Accepted Answer

A) Criminal cases and collection of past due alimony. 
B) Domestic relations/divorce and criminal cases. 
C) Domestic relations/divorce and collection of past due alimony. 
D) Criminal cases.

Question 19

Under the Code of Ethics and Professional Responsibility, a paralegal must NOT _______________________________.

Accepted Answer

A) Attend real estate sales closings or hearings or trials with a supervising or employing attorney. 
B) Engage in conduct that would involve a supervising or employing attorney in a violation of professional ethics. 
C) Disclose any actual or potential conflicts of interest to an employer or potential employer. 
D) Maintain a high degree of competency through continuing legal education and training in professional ethics.

Question 20

Under the ethics codes governing paralegals, which of the following activities may a paralegal NOT perform?

Accepted Answer

A) Give legal opinions or advice. 
B) Represent a client before a court. 
C) Set legal fees. 
D) All of the above.

Exam 2: Ethics