REGULATION OF THE LEGAL PROFESSION

Question 1

The ultimate power of regulating the legal profession rests with the

Answer 1

the highest state court

Question 2

Each federal court has its own bar, to which an attorney must

Answer 2

belong in order to practice before that court

Question 3

Federal government
attorneys are subject to

Answer 3

state ethics laws and rules in each state where the attorneys engage in their duties.

Question 4

A lawyer is subject to regulation by each

Answer 4

by each state in which she is admitted to practice.

Question 5

ADMISSION TO THE PRACTICE OF LAW

Answer 5

1) The Application
2) Character and Fitness–“Good Moral Character”

Question 6

In connection with an application to the bar or a bar disciplinary matter, an applicant or lawyer must not

Answer 6

knowingly make a false statement of material fact

Question 7

In connection with an application to the bar or a bar disciplinary matter, an applicant or lawyer must not:

Answer 7

1) fail to disclose a fact that is necessary to correct a misapprehension known by the applicant or lawyer
to have arisen in the matter, or

(2) fail to respond to a lawful demand for information. These obligations do not apply to information protected by the ethical duty of confidentiality.

Question 8

lf a question arises as to an applicant’s honesty and integrity, the applicant may be asked to appear at a

Answer 8

a hearing before the admissions committee, where the applicant will be afforded procedural due process rights

Question 9

A requirement that an applicant be a United States citizen or a citizen of a state

Answer 9

is unconstitutional.

Question 10

What Constitutes Professional Misconduct

Answer 10

1) Attempting to violate a disciplinary rule;
2) Assisting or inducing another person to violate a disciplinary rule;
3)Using the acts of another person to violate a disciplinary rule;
4) Engaging in criminal conduct that shows dishonesty, untrustworthiness, or unfitness to practice law;

5) Engaging in any conduct involving dishonesty, fraud, deceit, or misrepresentation;

6) Engaging in conduct that is prejudicial to the administration of justice;
7)Stating or implying an ability to improperly influence a government agency or official or to achieve
results by means that violate the law or legal ethics rules;
8) Knowingly assisting a judge in conduct that is illegal or that violates the Code of Judicial Conduct; or

9) Engaging in discrimination or harassment in conduct related to the practice of law on the basis of
race, sex, religion, national origin, ethnicity, disability, age, sexual orientation, gender identity, marital status, or socioeconomic status. (Note that this rule does not limit a lawyer’s ability to reject a case or provide legitimate advice or advocacy consistent with the RPC.)

Question 11

What are the crimes that are considered involving moral turpitude

Answer 11

Crimes involving moral turpitude include crimes involving intentional dishonesty for the purpose of personal gain (e.g., forgery, bribery, theft, perjury, robbery, extortion) or crimes involving violence (e.g., murder, rape, mayhem).

Question 12

What would be a sufficient basis by itself to deny a candidate’s application to practice law?

Answer 12

Conviction of a crime involving moral turpitude

Question 13

What crimes are** not **considered to be sufficient to be considered moral turpitude?

Answer 13

any record of civil disobedience it is too broad. For example, an arrest for nonviolent civil disobedience does not rise to the level of moral turpitude. Similarly, an applicant’s mere membership in the Communist Party (when there is no showing that the applicant engaged in or advocated actions to overthrow the government by force or violence) is not sufficient to show a lack of moral character and deny the applicant admission to practice law.

Question 14

a lawyer is subject to discipline for committing a criminal act that reflects adversely on

Answer 14

reflects adversely on her honesty, trustworthiness, or fitness as a lawyer in other respects.

Question 15

When must a lawyer report another lawyer’s actions to the appropriate professional authority?

Answer 15

When the lawyer knows that the other lawyer has violated the Rules of Professional Conduct in such a way that it raises a substantial question as to that lawyer’s honesty, trustworthiness, or fitness as a lawyer.

Question 16

A lawyer who fails to report a misconduct that he is required to report will?

Answer 16

is herself subject to discipline for violating the rule requiring disclosure.

Question 17

When is a lawyer not required to report a misconduct?

Answer 17

A lawyer may choose to report suspected misconduct, but she is not required to do so.

Similarly, a lawyer is not required to make a report whenever another lawyer has violated a rule in any way. She may decline to report another lawyer’s violation if it concerns an arcane rule and does not indicate that the other lawyer is dishonest, untrustworthy, or unfit to practice law. Examples of violations that may not raise a substantial question as to a lawyer’s fitness to practice include some types of improper solicitation and the improper use of nonlawyer assistants.

Question 18

What rights does a lawyer accused of misconduct have?

Answer 18

1) the righ to counsel
2) the right for proper notice
3) to be heard and introduce evidence
4) the right to cross examine adverse witnesses

The exclusionary rules of criminal law do not apply to disciplinary proc

Question 19

As a general rule, a lawyer who is admitted to practice law in one state

Answer 19

A lawyer who is admitted to practice law in one jurisdiction is not, without more, authorized to practice in any other jurisdiction, and thus generally may only practice law in the state of her admission.

Question 20

Which acts done by a lawyer would be considered assisting another in the unauthorized practice of law?

Answer 20

A lawyer who assists a nonlawyer in the unauthorized practice of law is subject to professional discipline.

Question 21

Whats the scope of legal work nonlawyers are allowed to do?

Answer 21

1) A lawyer may delegate certain tasks to a paralegal, law clerk, student intern, or other such person, but only if the lawyer supervises the delegated work carefully and is ultimately responsible for the results.

2) A lawyer may advise persons who wish to appear on their own behalf in a legal matter.Thus, giving a nonlawyer advice on how to appear pro se would not be considered aiding another in the unauthorized practice of law.

3) A lawyer may properly advise and instruct nonlawyers whose employment requires a knowledge of the law—e.g., claims adjusters, bank trust officers, social workers, accountants, and government employees.

Question 22

A lawyer is subject to discipline for a disciplinary violation committed by a second lawyer if:

Answer 22

A lawyer is responsible for a nonlawyer’s misconduct not only when the lawyer ordered the misconduct, but also when the lawyer knew about the misconduct and ratified it, or when the lawyer is a partner, manager, or direct supervisor and knew about and failed to mitigate the consequences of the misconduct.

A lawyer may be subject to discipline for failing to instruct nonlawyer employees regarding ethics matters

Question 23

Although a partner may be subject to civil liability for the debts of the partnership, whether the misconduct constitutes legal malpractice does not

Answer 23

affect whether a partner is subject to discipline under the ethical rules.

Question 24

When will the partners and managers be disicplined for another lawyer’s misconduct?

Answer 24

The partners and managers in a law firm (and the supervisory lawyers in a governmental agency, business, or other group of lawyers) must make reasonable efforts to assure that the conduct of the nonlawyers is compatible with the obligations of the profession. Thus, failing to instruct or train nonlawyers with respect to ethics matters may be grounds for discipline.

Question 25

Can a lawyer share her legal fee with a nonlawyer?

Answer 25

Yes, but only in limited circumstances.

A lawyer may pay a death benefit to the estate of a deceased lawyer, may include nonlawyers in a compensation or retirement plan, may pay the purchase price of a deceased, disabled, or disappeared lawyer’s practice to the practice’s nonlawyer representative, and may share court-awarded legal fees with a nonprofit organization that recommended or hired the lawyer as counsel. Give bonus and salaries for their subordinates.

Question 26

May a lawyer enter into an employment agreement that permanently prohibits her from practicing law in a certain geographic area when she leaves the firm?

Answer 26

No, A lawyer must neither make nor offer a partnership or employment or similar agreement that restricts a lawyer’s right to practice after termination of the relationship, except for an agreement concerning benefits upon retirement.

Such agreements are prohibited even if the agreement is entered into voluntarily, and even if the restrictions are not unreasonable.

Question 27

The sale of a law practice or a field of law practice, what is the rule?

Answer 27

1) The entire practice or field of practice must be sold to the purchasing lawyer or firm
2) Written notice must be given to the seller’s clients regarding the sale, the clients’ right to retain other counsel or to take possession of their files, and the fact that consent to the transfer of the clients’ files will be presumed if a client takes no action within 90 days of receipt of the notice
3) The selling lawyer must cease to engage in the private practice of law or cease to accept any matters in the area of practice that is being sold.

After the sale of his practice, a lawyer generally must cease to engage in the private practice of law,but may still be employed as a lawyer on the staff of a public agency or legal services entity that provides legal services to the poor, or as in-house counsel to a business. (It is not necessary that the lawyer only work on pro bono matters.) Additionally, a lawyer’s return to private practice because of an unanticipated change in circumstances does not necessarily violate the Rules

Question 28

What is not allowed when a lawyer buys a law practice?

Answer 28

The purchasing lawyer or firm may NOT choose to accept only certain clients, but rather must undertake all client matters in the practice (subject, of course, to client consent and conflict of interest rules)

Question 29

If a lawyer has a regular legal practice and also provides other law-related services, is the lawyer subject to the ABA Model Rules of Professional Conduct in providing the law-related services?

Answer 29

Yes, if the services are provided together with the legal services and if a lawyer provides nonlegal services through an entity that is not her law office but that she controls (either alone or with other lawyers).

If second one, a lawyer must take reasonable steps to assure that people who receive the nonlegal services understand that those services are not legal services and that the Rules of Professional Conduct do not cover those services. For instance, the attorney-client privilege does not apply to the nonlegal services. If the lawyer does not take those reasonable steps, then the lawyer is subject to the Rules of Professional Conduct with respect to the nonlegal services.

Question 30

If Attorney A retires and sells his business to Attorney B, A must request the consent of

Answer 30

current and former clients before transferring their files to B. A cannot transfer the files of current or former clients without their consent.

Question 31

False statements or concealment of facts in response to an inquiry by the bar admissions committee constitutes?

Answer 31

moral turpitude. Such concealment alone is evidence of sufficient lack of moral character to deny admission, even if the underlying conduct does not involve moral turpitude.

Question 32

To constitute professional misconduct, the crime must involve some characteristic that is relevant to?

Answer 32

to the practice of law.

Question 33

Crimes not related to the practice of law are subject to discipline?

Answer 33

No. crimes such as (solicitation of prostitution, a single offense of drunk driving, possession of marijuana, while punishable by law, do not necessarily trigger professional discipline

Question 34

A lawyer is NOT permitted to report another’s lawyer’s violation of the Rules of Professional Conduct if:

Answer 34

The lawyer learned about the violation through a privileged communication with one of his clients

Question 35

A complaint against a lawyer can be brought by an aggrieved client or anyone with knowledge of the misconduct. Under what circumstances may a lawyer sue the complainant for defamation on the basis of the complaint?

Answer 35

Never; any such complaint is considered privileged and thus cannot be the basis of an action by the lawyer against the complainant

Question 36

A lawyer admitted to practice in one state may provide legal services in a second state on a temporary basis in four situations:

Answer 36

1) By requesting special permission from a local court in the second state “pro hac vice,”
2) By representing one of her in-state clients in an arbitration proceeding in the second state if her services arise out of, or are reasonably related to, her practice in the state in which she is admitted.
3) By associating herself with a local lawyer in the second state who actively participates in the matter
4) a “catch-all” category that permits a lawyer to temporarily practice out of state if the lawyer’s out-of-state practice is reasonably related to the lawyer’s home-state practice.

Question 37

In determining whether the practice of law is involved, consider:

Answer 37

(i) whether the activity involves legal knowledge and skill beyond that which the average layperson possesses;

(ii) whether the activity constitutes advice or services concerning binding legal rights or remedies; and

(iii) whether the activity is one traditionally performed by lawyers.

Question 38

What are some activities that a nonlawyer may undertake that do not constitute the practice of law?

Answer 38

1) State and federal agencies often permit nonlawyers, such as accountants, to appear before them representing clients.
2) Also, while nonlawyers may not draft legal documents, they can act as scriveners, filling in the blanks on standard forms. Thus, real estate brokers, title insurance companies, and escrow companies are usually permitted to fill in the blanks on standard documents related to the sale of real property.
3) Nonlawyer authors may publish books or pamphlets offering general advice, including most do-it-yourself books and kits.

Question 39

An applicant who is denied admission for failure to satisfy the good moral character requirement is entitled to

Answer 39

judicial review, usually by the state’s highest court. He is not entitled to an additional review by a panel of the state bar association.

Question 40

The burden of proof is on the whom in an ethics proceedings?

Answer 40

on the party prosecuting the charge, not the lawyer.

Question 41

Can a lawyer in an ethics proceedings refuse to answer questions?

Answer 41

A lawyer may invoke their Fifth Amendment privilege and refuse to answer questions at the hearing, and no disciplinary action can be taken against the lawyer if it is based solely on the claim of Fifth Amendment privilege.

Question 42

A lawyer who is admitted to practice law in one state, but who improperly practices in another state, will be subject to the disciplinary rules of

Answer 42

Both the state where she is admitted and the state of her improper practice

Question 43

A lawyer wins a case on behalf of a client, and pays 10% of the legal fee to a nonlawyer who recommended the lawyer to the client. This arrangement is:

Answer 43

Improper, because it is not a permitted fee-sharing arrangement

Question 44

Generally, after a lawyer sells her law practice, she is allowed to to practice law only in:

Answer 44

1) in-house counsel for a corporation
2) At a public agency
3) At a legal entity that provides legal services to the poor

The selling lawyer must cease to engage in the private practice of law (

Question 45

“Ancillary” services provided by a lawyer are

Answer 45

Law-related services (often referred to as ancillary services) are services that might reasonably be performed in conjunction with (and are related to) the provision of legal services, and that are not prohibited as unauthorized practice of law when provided by a nonlawyer (i.e., need not be tasks that only a lawyer may perform)

Question 46

What is a valid requirement for admission to a state’s bar?

Answer 46

The applicant is willing to take an oath to uphold the state and federal Constitution

Question 47

A federal court possesses authority to promulgate

Answer 47

its own legal ethics rules and also to discipline attorneys who appear in federal court for violating those rules

Question 48

An in-house attorney licensed in one state may

Answer 48

provide legal services through an office or other continuous and systematic presence in a second state to the attorney’s employer or organizational affiliates, so long as the services do not require pro hac vice admission in the second state.

Question 49

An attorney may not enter into a partnership with a nonlawyer if

Answer 49

any of the activities of the partnership include the practice of law.

Question 50

In the course of representing a client, an attorney may not

Answer 50

knowingly make a false statement of material fact to a third person.

Question 51

Duty to Report Professional Misconduct