PROFESSIONAL RESPONSIBILITY QUIZ

Spring 1997

LAST 4 DIGITS OF SS #

This is a closed book/closed rules quiz for which you have

one hour. Each question counts one point. May, May not, must and

subject to discipline ask whether the conduct referred to or

described in the question subjects the attorney to discipline

under the ABA Model Rules of Professional Responsibility. Should

asks whether the conduct in question at least conforms to the

level of conduct expected of an ethical attorney, as reflected in

the rules and comments of the Model Rules.

There is supposed to be only one correct answer for each

question. If you feel that there are two correct answers, please

pick an answer and state your reasoning briefly in the margin.

There is no significance to the names -- the attorneys are

usually "A" or a name beginning with A.

1. David was charged with misdemeanor assault on his girlfriend.

David hired Attorney to defend the case. The fee arrangement

called for an initial retainer of $500 (which was paid), an

additional $500 payable in thirty days, and a bonus of $500 if

the charges were dismissed or David acquitted. Attorney

immediately put the $500 in her office account. Attorney obtained

the police file and interviewed the officer who answered the

domestic violence complaint. Attorney was prepared to try the

case but, even after repeated requests, David did not make the

second $500 payment as promised. Attorney thereafter moved the

court to withdraw and David asked Attorney for the return of the

first $500. Attorney refused to return the money and claimed that

she had earned the $500. For which of the above is Attorney

subject to discipline?

i) Moving to withdraw without adequate grounds;

ii) Refusing to return the $500 as demanded by David;

iii) The fee arrangement with David

All of the above

B) (ii) and (iii) but not (l)

C) (ii) only

D) (iii) only

E) None of the above

2) Attorney Adams represents Wilson in connection with the sale

of Wilson's home. Young asked Adams to sue Wilson for injuries

sustained in a slip and fall at Wilson's store. Young knows of

Adams representation of Wilson in the property matter and has no

objection to Adams's representation. Wilson, however, does not

consent to be sued by Adams (or his firm) on behalf of Young.

A) Neither Adams nor anyone in Adams' firm may represent

Young in this matter.

B) Adams may not represent Young but Baker, Adams' partner,

may represent Young.

C) Adams and members of his firm may not represent Young but

Adams may refer Young's case to another firm and receive a

referral fee which is a percentage of Young's ultimate

recovery from Wilson.

D) Adams and members of his firm may represent Young since

Young's case is not substantially related to the

representation of Wilson.

3) Attorney Adams is married to Attorney Baker. Adams is an

associate in Dewey, Cheatum and Howe, and Baker is a partner in

Gray and Older.

A) D, C and H and G & O may not be on "opposite sides of the

"v; . "

B) D, C and H and G & O may be on "opposite sides of the v"

only with the informed consent of the clients of both firms;

C) Adams and Baker may not be on "opposite sides of the v,"

but their firms may be;

D) Adams and Baker may be on "opposite sides of the v" with

the informed consent of their clients.

4) Attorney Adams is an estate planner. His wife, Betty, is an

interior decorator. One of Betty's client's, Carl, wants to leave

an antique desk worth $20,000 to Betty in appreciation for

Betty's work. Adams prepares a codicil for Carl to sign leaving

Betty the antique desk:

A) Adams is subject to discipline for preparing the codicil;

B) Adams is subject to discipline only if it is shown that

Carl was subjected to undue influence;

C) Adams is not subject to discipline if he will not

personally benefit from the bequest;

D) Adams is not subject to discipline if another member of

his firm prepares the codicil.

5) Wilson and Young is a large international law firm which

represents the Oxon company in many matters, including a

trademark infringement action brought against Oxon by Exxon.

Wilson and Young has just hired Attorney Adams, formerly with the

firm of Older and Gray, counsel to Exxon in the trademark action.

O & G is Exxon's primary outside counsel. Exxon has moved to

disqualify W & Y. While with O & G, Adams worked for Exxon only

on a stock offering and knows nothing that would be of value to

Oxon in the trademark action. Should the motion to disqualify be

granted?

A) Yes, because of Adams' duty of loyalty to Exxon;

B) Yes, unless Adams is screened from the Exxon/Oxon

litigation.

C) No, because Adams is under no duty to maintain the

confidences of Exxon after leaving O & G;

D) No, because the litigation between Oxon and Exxon is not

substantially related to the work done by Adams for Exxon;

6) Wilson and Young has also hired Baker, who resigned her

judgeship to become a partner at W & Y. While a judge, Baker

presided over the Exxon/Oxon litigation. Exxon has moved to

disqualify W & Y. Should the motion be granted?

A) Yes, unless Baker is screened from the litigation,

apportioned no part of the fee from it, with written notice

given to the court to ascertain compliance;

B) Yes, because Baker participated personally and

substantially in the litigation;

C) No, because Baker owes no duty of confidentiality or

loyalty to Exxon;

D) No, unless Baker negotiated for employment with W & Y

while presiding over the case.

7) Brown asked his friend, Attorney Adams, for help in filing a

pro se bankruptcy petition. Adams told Brown he would help in the

preparation of the petition if Brown would agree not to sue him

if a mistake was made. Brown said "okay." Accordingly Brown

signed a "release from liability" in which he agreed not to make

any claim against Adams for mistakes in the petition. Adams

helped Brown prepare the petition and helped him ready his

testimony for the hearing before the bankruptcy judge. The

hearing went well and Brown received his discharge of indebtedness. He sent Adams a basket of fruit and bottle of wine

in gratitude. Adams is subject to discipline for:

i) assisting Brown in the unauthorized practice of law;

ii) making an agreement prospectively limiting his liability

to Brown;

iii) accepting a gift from Brown.

A) All of the above

B) (i) and (ii) but not (iii)

C) (ii) only

D) (i) only

E) None of the above

8)Attorney A was approached by Sam who asked for assistance in

filing an admittedly fraudulent claim for personal injuries. A

refused the representation but referred Sam to Attorney B, who, A

said "has no scruples against filing false claims." Sam obtained

the services of Attorney B for the filing of the claim and

obtained a large recovery from an insurance company. A met with

the police and reported his conversation with Sam and the

referral to B.

i) A is subject to discipline for referring Sam to B;

ii)A is subject to discipline for telling the police of his

conversation with Sam and the referral to B

A) Both (i) and (ii) are correct

B) (i) only is correct;

C) (ii) only is correct;

D) Neither (i) nor (ii) is correct

9) Attorney A sued the Toxichem Company on behalf of a class of

people who drew water from wells near the Toxichem plant. A

agreed to finance the litigation -- that is pay all the costs

with no obligation on the part of the members of the class to

repay the costs in the event the case was lost. The case was

certified as a class action. The cost of the litigation

(approximately $100,000) was shared 50/50 by A's firm and the

Environmental Defense Fund. The class representatives were aware

of the cost and the involvement of the EDF. Toxichem then offered

to install pollution control measures and pay $1,000,000 in

damages on the condition that A and his firm file no more

environmental suits against Toxichem. A believed the settlement

was in the best interest of the class and accepted the settlement

offer with the consent of the class representatives. A is subject

to discipline:

i) for financing the litigation since members of the class

had no responsibility for the costs;

ii) allowing a third party to finance part of the litigation

costs;

iii) agreeing to a restriction on his right to sue Toxichem.

* * *

A) All of the above

C) (iii) only

D) (ii) and (iii) only

E) None of the above

(i) and (iii) only

10) While attending law school, Martha worked for Attorney Adams

as a baby sitter. Adams fired Martha after she admitted stealing

jewelry worth $1500. No criminal charges were filed. Martha has

now applied to take the bar. The bar sent Adams, as Martha's ex-

employer, a letter asking for an evaluation of Martha's

character.

A) Adams is not obligated to reply but if he does so he must

relate the theft of the jewelry;

B) Adams is not obligated to tell the bar about the theft

because it is unrelated to the practice of law;

C) Adams is obligated to reply and tell what he knows of the

theft;

D) Adams is obligated to reply but he should not relate the

theft without Martha's consent.

11) Attorney Adams is licensed in states X and Y. He used a false

name in a credit card application to a bank in state Y and used

the card to incur charges which were not paid. This resulted in a

criminal charge in state Y, which was dismissed when Adams made

restitution to the bank. Is Adams subject to discipline?

A) Yes, in both states X and Y;

B) Yes, but only in state Y;

C) No, because the matter was unrelated to the practice of

D) No, because the criminal charge was dismissed.

12) Attorney Anderson practices law and also sells real estate.

In that capacity he has a non-lawyer partner named Brewer. To

obtain clients for his real estate practice, Anderson calls on

men and women who are getting divorces. He has found that often

the marital home is sold in order to divide the marital assets.

Anderson is subject to discipline:

i) for communicating with divorce clients without the

consent of their attorneys;

ii) for in-person solicitation;

iii) for sharing fees with a non-lawyer.

A) All of the above;

B) (i) and (iii) only;

C) (ii) only;

D) (i)and (ii) only

E) None of the above.

13) Attorney Al represented Barnes in connection with the

purchase of his brother Carl's share of a farm they owned as

tenants in common. In that negotiation Al used an appraisal

apparently procured by Barnes from Realtor Smith, which valued

the farm at $100,000. Barnes bought Carl's share of the farm for

$60,000. Two years later Barnes asked Al to represent him in the

sale of the farm to Douglas for $500,000. Bill presented an

appraisal from Realtor Smith valuing the farm at $500,000. When

Al questioned Barnes about this he admitted that he had forged

the earlier appraisal, and Smith confirmed the accuracy of the

$500,000 appraisal. Barnes refuses to tell his brother about the

fraud and wants Al to go forward with the deal and keep his mouth

shut. Al does not wish to represent Barnes further, even though

Barnes claims he will be prejudiced by the delay in finding

counsel. Applying the Model Rules,

A) Al must withdraw from further representation of Barnes;

B) Al may withdraw from representation of Barnes even though

Barnes will be prejudiced from the withdrawal;

C) Al may not withdraw from the representation if to do so

will prejudice Barnes;

D) Al may not withdraw from the representation.

14) On the facts of (13) Al is considering telling brother Carl

that Barnes forged the appraisal which was used in the sale of

the farm. Applying the Model Rules,

A) Al must tell Carl of the fraud;

B) Al may, but is not required to, tell Carl of the fraud;

C) Al may not tell Carl of the fraud without Barnes consent.

15) Attorney Andrews is an associate in the 100 person firm of

Juste and Wright. Andrews is assisting senior partner Black in

connection with a complex case. Andrews believed that it would be

improper to refuse to turn over certain client documents by

claiming the attorney-client privilege. Black believed otherwise

and directed Andrews to withhold the documents. Andrews and Black

agree that the question is a close one, but each attorney is

convinced that the other is incorrect. Which of the following is

most nearly correct?

A) If Andrews gives in to Black's point of view, she will be

subject to discipline since an attorney must follow her

independent judgment in handling a client's case;

B) Since the point is a debatable one, Andrews may accede to

Black's point of view;

C) Since the issue is merely a discovery dispute neither

Black nor Andrews is subject to discipline;

D) Andrews is not subject to discipline for acceding to

Black's point of view since a subordinate attorney can

always accede to a superior's direction.

16) Wilson asked his lawyer, Attorney Able of the firm of Able

and Baker, for assistance in the sale of a farm. Wilson told Able

in strictest confidence that he needed to sell quickly to cover

his son's gambling debts. On the same day Young contacted her

attorney, Baker of the firm of Able and Baker, for help in

acquiring the Wilson farm for development purposes. Young told

Baker in strictest confidence that she wanted to acquire the farm

because Toyota was about to purchase the adjacent farm for a

major factory. Assume that later that day Able and Baker talk.

Which of the following is most nearly correct?

A) Able and Baker may represent Young and Wilson so long as

Able and Baker do not divulge their respective clients'

confidences to each other;

B) Able and Baker may represent both clients so long as they

both consent to the representation;

C) Able and Baker may represent either Wilson or Young, but

not both;

D) Able and Baker should decline to represent either Wilson

or Young

17) Attorney Askew is house counsel to the Bendit Corporation.

Carl works for Bendit and is Paula's supervisor. Paula filed a

complaint with Bendit's personnel manager; the complaint alleged

that Carl made unwanted sexual advances to Paula. Askew has been

asked to investigate the matter. To the best of Askew's knowledge

neither Carl nor Paula has an attorney. Which of the following

are correct?

i) Askew may not interview Paula since her interests are

adverse to Bendit;

ii) Askew may interview Carl, but only if Askew makes it

clear that he represents Bendit and Bendit will decide what

to do with the information obtained by Askew;

iii) Askew may request Carl to refrain from talking to Paula

about the matter if Askew reasonably believes Carl will not

be adversely affected by keeping his mouth shut.

A) All of the above

B) (ii) and (iii)

C) (i) only

D) (ii) only

E) (iii) only

18) Attorney Akins filed suit in federal court on January 15 for

a temporary restraining order to enjoin the scheduled transfer of

his client, Burglar, from a federal correctional facility in

state X to a stricter institution in state Y. The transfer was to

alleviate overcrowding; Attorney knew that the case law allowed

the prison to transfer inmates to alleviate overcrowding, but was

willing to take the case to attempt to have the law changed.

Burglar had told Akins that the transfer was scheduled for

January 16, and Akins represented that to be the scheduled

transfer date in the complaint filed in the court. The judge

scheduled the hearing on the temporary restraining order for 3 pm

on the 15th. By the time of the hearing Akins discovered that the

transfer was not scheduled until the 26th and further found a

controlling appellate opinion which said that temporary

restraining orders are to be issued "only on very rare occasions"

in prison transfer cases. No one from the prison or the U.S.

Attorney's Office was present at the hearing on the request for a

TRO. Akins is subject to discipline:

i) if he does not tell the judge of the new transfer date;

ii) if he does not tell the judge of the Sixth Circuit case;

iii) for filing a meritless suit

A) All of the above;

B) (i) and (iii);

C) (i) and (ii);

D) (ii) and (iii);

E) (ii) only

19) Attorney Ann resigned her prosecutorial position and started

her own "single shingle" criminal practice. To establish a client

base she personally asked policemen, jail personnel, and other

lawyers to refer cases to her.

A) Ann is subject to discipline for in-person solicitation;

B) Ann is subject to discipline for soliciting non-lawyers,

but not for her solicitation of other lawyers;

C) Ann is subject to discipline only if she gives something

of value to those who refer cases to her;

20) Ann's sister, Mary, has a sixteen year old son named Bob who

was arrested for selling pot at high school. He is charged in

juvenile court. Ann called Mary and told Mary she was available

to represent Bob.

A) Ann is subject to discipline for in-person solicitation;

B) Ann is subject to discipline for in-person solicitation

unless her representation of Bob is pro bono;

C) Ann is not subject to discipline because the solicitation

was by phone rather than in person;

D) Ann is not subject to discipline because Bob and Mary are

family members.

21) On the facts of (20) Ann said a number of things to persuade

Mary that she could adequately represent Bob. Which of the

following would subject her to discipline:

i) "I've won 90% of the cases I've handled" (her conviction

rate as a prosecutor was 90%, counting guilty pleas and

guilty verdicts);

ii) "Judge Smith owes me a favor"(Judge Smith is assigned to

the case; Ann has a good relationship with him);

iii) "I'll guarantee he won't be convicted."

A) All of the above;

B) (i) and (ii);

C) (i) and (iii);

D) (i) only;

E) (iii)only.

22) Assume on the facts of (20) that Mary hired Ann to represent

Bob. The fee was $500 which Mary paid. Mary asked Ann to let her

know "what Bob says he did."

i) Ann is subject to discipline for allowing her fee to be

paid by a third party;

ii) Ann is subject to discipline for representing a family

member;

iii) Ann is subject to discipline if she tells Mary what Bob

says without Bob's consent.

A) All of the above;

B) (ii) and (iii);

C) (ii) only;

D) (iii) only;

E) None of the above.

23) On July 1 Paul hired Attorney to handle a personal injury

case; the statute of limitations would run on September 1.

Attorney was busy with other matters and did not work on Paul's

case. In mid-August Paul started calling Attorney's office daily

to inquire about the case. Attorney repeatedly assured Paul that

he was assembling facts and working on the complaint, but in fact

he was doing nothing on the case. On August 25 Paul learned the

true state of affairs from Attorney's secretary. He fired

Attorney and hired another lawyer who was able to get the suit

filed by September 1. Though Paul had not paid Attorney any money

he reported the matter to the state bar.

A) Attorney is subject to discipline for his conduct:

B) If Attorney had been able to get the suit filed by

September 1 he would not be subject to discipline;

C) Attorney is not subject to discipline because he received

no fee from Paul;

D) Attorney is not subject to discipline because Paul

suffered no financial loss as a result of Attorney's

actions.

24) Bank hired Attorney Angela to write wills and trusts for bank

customers. Bank customers seeking assistance in estate planning

were referred to Angela who advised them and prepared the

necessary documents for the customers' signatures. Angela

received a salary from the Bank and could have a side practice

with the Bank's consent. Customers were aware that Angela was a

bank employee and they were not charged for Angela's services.

A) Angela is subject to discipline for assisting Bank in the

practice of law;

B) Angela is subject to discipline because she agreed to a

restriction on her right to practice;

C) Angela is subject to discipline because the conflict

between the Bank and its customers was non-consentable;

D) Angela is not subject to discipline so long as the

customers gave informed consent to Angela for the

preparation of their legal documents.

25) Pete, a local prosecutor, took the following actions in a

notorious murder case:

i) held a press conference immediately after the arrest in

which he stated that the defendant, "a previously convicted

murderer, made a full confession of his guilt to this

heinous crime" (the defendant had confessed and his

confession was received into evidence at trial);

ii) withheld DNA evidence indicating someone with a blood

type other than the defendant was present at the crime scene

(Pete believed this didn't necessarily mean the defendant

was innocent);

iii) said during his summation, "I believe in my heart --

100% -- that he's guilty. If he wasn't guilty we wouldn't be

prosecuting him." (Pete sincerely believed the defendant

committed the crime);

For which of the above is the Pete subject to discipline?

A) All of the above

B) (i) and (ii)

C) (i) and (iii)

D) (ii) and (iii)

E ) (ii) only