Deck 2: Ethics

Question 1

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?

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.

Answer 1

B
Yes, because the paralegal engaged in conduct prohibited to the attorney when the paralegal gave the brochure to the injured person. "A paralegal must not . . . take any actions that attorneys may not take." NALA Code, Canon 1. The brochure (and, in some instances, even a simple business card) is considered advertising under the Model Rules. "A lawyer cannot use direct contact [including in-person contact] to solicit professional employment from those who have no prior relationship with the lawyer." Model Rule 7.3. Some states have rules prohibiting all solicitation of an injured person for a period of time after the injury. Answer B is the best choice because the brochure will be considered advertising, and because the paralegal gave it to an injured person who may need legal services.

Question 2

A sole practitioner has a sign on her door stating that she practices general business law, personal injury, and family law. The attorney employs two paralegals and a secretary. The attorney personally handles all general business law cases, but assigns all of the personal injury cases and family law cases to one of the paralegals. The attorney fully and appropriately supervises all work performed by the paralegals and pays them a salary, plus fifty percent of all fees received from the cases assigned to them. Is this arrangement permissible?

A)Yes, because employees of a law firm may share the fees generated by the firm.
B)Yes, because the attorney fully and appropriately supervises all work performed by the paralegals.
C)No, because attorneys are prohibited from splitting fees with non-attorneys.
D)No, because the attorney is facilitating the unauthorized practice of law by the paralegals.

Answer 2

C
No, because attorneys are prohibited from splitting fees with non-attorneys. "A lawyer or law firm shall not share legal fees with a nonlawyer." Model Rule 5.4(a). Although Rule 5.4(a) lists exceptions, none of those exceptions apply here. Answer C is the best choice because the attorney is splitting the fees with non-attorneys. Answer B could be a good choice if not for the violation of the non-attorney fee-splitting rule. Answer D is not the best choice because, if fully and appropriately supervised, highly trained and experienced paralegals can provide case management services and hearing and trial preparation for an attorney.

Question 3

Jane is an attorney at a mid-size law firm and represents Maxwell Riding Mowers (MRM), which manufactures riding lawn mowers. The president of MRM calls Jane one day and tells her about a newspaper story involving a riding lawn mower that caught on fire and injured the person operating it. The president believes that MRM manufactured the riding lawn mower over three years ago. He also stated that he discovered business records showing that a number of lawn mowers manufactured by MRM left the factory without a safety inspection. The riding lawn mower in the newspaper story was manufactured about the time of the safety inspection records. The president then tells Jane that MRM routinely destroys safety inspection records after three years and that he intends to destroy the records he found, unless Jane says otherwise. Ethically, can Jane advise the president to destroy the records?

A)Yes, because MRM has not been sued.
B)Yes, because MRM's routine practice is to destroy safety inspection records after three years.
C)No, because the president has admitted that MRM was negligent.
D)No, because the records have potential evidentiary value.

Answer 3

D
No, because the records have potential evidentiary value. "A lawyer shall not . . . unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act." Model Rule 3.4(a). Answer D is the best choice because the Model Rule prohibits attorneys from engaging in conduct that destroys documents with evidentiary value or advising others to do so.

Question 4

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?

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 5

Sonia recently graduated from an ABA-approved paralegal program and passed the Certified Paralegal examination. She has considerable experience as a legal secretary in a law firm that practices immigration law and is now looking for employment as a paralegal. On Craigslist, Sonia sees an advertisement for a job related to immigration. The website for the law firm states that it does immigration law. The advertisement states that the firm is seeking to fill a "Case Manager" position and that this position will have little supervision, have a direct relationship with clients, and be responsible for providing immigration-related services to clients. Can Sonia apply for this job?

A)No, because the position is only minimally supervised and the employer will not be maintaining a direct relationship with the client, nor keeping responsibility for the work.
B)No, because Sonia has only recently graduated and obtained certification and does not have enough experience in immigration law to act as a case manager.
C)Yes, because Sonia has graduated from a paralegal program, obtained paralegal certification, and has prior experience in immigration law.
D)Yes, because she can become a BIA accredited representative.

Question 6

A personal injury attorney was handling a negligence claim. The insurance company offered to settle, and the client accepted the settlement offer. Once the settlement agreement was finalized, the insurance company delivered a check for the amount of the settlement to the lawyer's office. The lawyer was in a hurry to leave for a continuing legal education seminar and put the check in a drawer in his desk. The attorney's bookkeeper knew the check was in the desk drawer. She took the check, endorsed it over to herself, and forged the attorney's signature. She then cashed the check and skipped town, never to be seen again. Is the attorney subject to discipline under the Model Rules of Professional Conduct?

A)Yes, because attorneys are responsible for an employee's criminal wrongdoing.
B)Yes, because the funds belong to the client, and the attorney did not safeguard the check.
C)No, because, under the circumstances, the attorney took reasonable steps to safeguard the check.
D)No, because an employer is not responsible for an employee's criminal wrongdoing.

Question 7

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?

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 8

Elaine is a paralegal who works for the county prosecutor's office. Elaine works with Peter, who is prosecuting a high-profile case involving a defendant charged with a series of jewelry-store burglaries. One day at the office, Peter stated that he thinks he can present a strong case against the defendant if the defendant's prior convictions in another state can be admitted. Several weeks later, and approximately twelve days before jury selection is set to begin, Elaine is at lunch and runs into a reporter who is also an acquaintance. The reporter asks about the case against the defendant, and Elaine responds by saying the prosecutor has a strong case because of the defendant's prior history. Has Elaine engaged in conduct that is contrary to an ethical rule?

A)Yes, because the reporter may publish the statement and the statement could prejudice the defendant's trial.
B)Yes, because prosecutors are strictly prohibited from making comments on pending cases.
C)No, because the confidentiality rules do not apply to paralegals.
D)No, because Peter's statement was based on prior convictions that are in the public record.

Question 9

Paula Plaintiff hired Alex Attorney to represent her in a personal injury suit. As the parties are about to complete the discovery process, Alex confers with Oliver Olafsen, who represents the Danny Defendant. Oliver states that he believes the case can be settled for $25,000. Alex immediately rejects the suggestion without any explanation. Which of the following actions would be improper for Oliver to do?

A)File a motion with the court that seeks to have the case dismissed based on the rejection of the offer.
B)Complete the discovery process and take the case to trial.
C)Remind Alex that they are obligated under professional conduct rules to convey all settlement offers to their client.
D)Send a paralegal from his office to deliver a message to Paula that offers to settle the case for $25,000.

Question 10

Pete Plaintiff hired Alice Attorney to represent him in a personal injury suit. Early in the case, Pete tells Alice that he will not settle for less than $100,000. One year later, as the parties are about to complete discovery, Alice confers with Olive Olafsen, who represents the Darlene Defendant. Olive offers to settle the case for $25,000. Alice then tries calling Pete, but is unable to reach him after five hours of trying. Alice returns Olive's call and rejects the offer. The case proceeds to trial, and the jury awards Pete $150,000. If Pete sues Alice for malpractice, will Pete be successful?

A)Yes, because Alice was obligated under the professional conduct rules to convey the settlement offer to Pete.
B)Yes, because Alice did not give Pete enough time to respond to her calls.
C)No, because the jury awarded Pete an amount that was larger than the settlement offer.
D)No, because Pete impliedly authorized Alice to reject the offer when he said he would not settle for less than $100,000.

Question 11

Judith and Alan are attorneys and partners in a two-attorney law firm. The law firm has been successful in establishing a family law practice. 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. Nonetheless, Judith has not made any effort to monitor the business and trust accounts or remind Alan of the ethical rules governing trust accounts. One day, Alan takes $5,000 from the firm's trust account so he can use it for gambling at the casino, but he loses the entire amount and cannot repay the trust account. Is Judith subject to disciplinary action for Alan's use of the client funds in the trust account?

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 conduct before it occurred and could have taken steps to avoid 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 12

Marla is a paralegal who works for Jennifer, the senior partner in a mid-size law firm. Jennifer is responsible for overseeing the business and trust accounts for the firm. One day when the firm's bookkeeper was on vacation, Jennifer reviewed the bank statement that she just received and realizes that the firm needs to pay the monthly service charge to the bank for trust account. Jennifer prepares a check from the business account payable to the trust account for the amount of the service charge. She then asks Marla to take the check to the bank, which is next door, and deposit it into the trust account. Are Jennifer and the law firm permitted to pay the service charge in this manner?

A)Yes, because Marla is doing a task that the bookkeeper would do otherwise.
B)Yes, if the amount of the check is in the exact amount of the service charge.
C)No, because the deposit will commingle the firm's funds with client funds.
D)No, because depositing the check would infringe on the bookkeeper's duties.

Question 13

Jill is a paralegal who works for Sam. Sam has been handling a large commercial litigation case, and has been very pleased with the paralegal services that Jill has provided on the case, including assistance preparing for and attending most of the hearings. Sam has another hearing on Tuesday at 10:00 a.m. and has asked Jill to attend and assist with set up prior to the hearing. Sam also had a dentist's appointment earlier in the morning, but the dentist's was behind schedule. At 9:50 a.m., Sam called Jill on her cellular telephone and told her he was going to be at least ten minutes late. He then told her to sit at the counsel's table at the beginning of the hearing, and when the judge asked for counsel to introduce themselves for the record, Jill was to identify herself and inform the court that Sam would be late. Jill did as Sam asked. Did Jill engage in the unauthorized practice of law?

A)Yes, because Sam cannot authorize Jill to make an appearance in court.
B)No, because Jill only appeared in the case to inform the court that Sam would be late.
C)Yes, because only attorneys may appear in court on behalf of a client.
D)No, but Sam's authorization should have been in writing.

Question 14

Carla is a paralegal who has worked for the Costanza Law Firm for four months. Previously, Carla had worked at the Kramer Law Firm for seven years. While working for the Kramer Law Firm, Carla was heavily involved in many aspects of a case captioned Seinfeld v. Newman, in which the Kramer Law Firm represented Mr. Seinfeld. Yesterday, Mr. Newman met with George Costanza about hiring the Costanza Law Firm to replace his current attorneys. Jill is working in the transactional department at Costanza Law Firm and has no connection with the litigation department. If Jill is screened from and does not work on Mr. Newman's case, can the Costanza Law Firm accept the representation of Mr. Newman?

A)No, because Carla's prior work at the Kramer Law Firm representing Mr. Seinfeld is imputed to all attorneys at the Costanza Law Firm.
B)No, unless the Costanza Law Firm obtains a written waiver from Mr. Seinfeld.
C)Yes, because the prohibition on imputed conflicts of interest does not apply if the person with the conflict is a nonlawyer.
D)Yes, but only if Mr. Newman signs a written waiver of the imputed conflict of interest.

Question 15

A paralegal works for a family law attorney. The attorney represents a husband in a very bitter divorce case. The husband, who is a very successful businessman, is upset because the judge ruled that the wife is entitled to a $500,000 interest in the husband's business. One day the husband returned a called to the paralegal. Although the paralegal only needed to speak about the transfer of title to a vehicle, the husband started expressing his anger toward the wife. The husband started yelling and said he was going to "finish her off," referring to his wife. The paralegal knew the husband sometimes carried a firearm and was concerned for the safety of the wife. The paralegal then informed the attorney of the husband's comments during the call. Does the ethical rule on confidentiality prevent the attorney from taking any action?

A)Yes, because the confidentiality rule prevents the attorney from revealing any information related to the representation of the client.
B)Yes, unless the husband first gives written informed consent to the disclosure of the husband's comments.
C)Yes, unless the husband's comments impliedly authorized the attorney to disclose his comments.
D)No, because the rules allow an attorney to disclose information related to a client if necessary to prevent death or substantial bodily harm.

Question 16

A paralegal worked for a three-attorney law firm. As a long-time employee of the firm, the paralegal had become acquainted with many of the firm's clients, including representatives of several corporate clients. After several years driving the same car, the paralegal decided it was time to purchase a new car and began visiting dealerships. One of the firm's clients was a car dealership, and she stopped by the client's premises to look at cars. While at the dealership, the owner and president of the dealership recognized her and offered to give her a fifty-percent discount on a brand new car. Can the paralegal accept the offer without doing anything further?

A)Yes, because the ethical prohibition on entering business transactions with clients does not apply to paralegals and other support staff.
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 paralegals and support staff to obtain written permission from their employers 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.

Question 17

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?

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.

Question 18

A lawyer and her paralegal met with a client to discuss the client's estate plan. After the meeting, but before the client left, the lawyer, the paralegal, and the client began discussing the prospects for the Chicago Cubs in the upcoming baseball season. A week later, the client's daughter called the paralegal and began asking questions about the meeting with the client. The daughter wanted to know the client's plan for distributing his estate. The paralegal explained that he could not disclose anything related to the representation of the client. The daughter then asked, "Well, is there anything you can tell me about what you discussed with Dad." The paralegal responded, "Yes, we discussed the prospects for the Cubs this season." Did the paralegal violate the confidentiality rules?

A)Yes, because the confidentiality rule prohibits disclosure of all information related to the representation of a client, unless authorized or an exception applies.
B)Yes, if the client and the daughter had an adverse relationship and the client planned to disown the daughter.
C)No, because the prospects of the baseball team were not related to the representation of the client.
D)No, because the client and the daughter were related and the daughter had a reasonable expectation of inheriting under the client's estate.

Question 19

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?

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 20

An estate planning attorney met with an elderly widow who wanted to create an estate plan for her modest estate comprised of a suburban home, a sizeable savings account, and an annuity. The 78-year-old woman was lucid and quite intelligent, but did not have much experience with financial matters. After a lengthy discussion, the attorney and the woman agreed upon an estate plan and set an appointment one week later for execution of the will and other documents. When the date for the execution arrived, the woman brought her three adult children to the meeting. Two of her children were married, and their spouses also attended. During the meeting, the group was quite talkative and the entire group discussed the will. After a while, however, the attorney noticed that the woman had stopped speaking, except to say occasionally that she wanted to satisfy everyone. The attorney then asked if he could speak with the woman alone, and the others left the room. The attorney explained to the woman that how the will was structured was entirely her decision. The attorney and the woman then spent thirty minutes discussing several questions raised by the woman, and the woman seemed satisfied with every explanation of the attorney. The attorney and the woman then agreed that the will, as drafted, reflected her wishes for the distribution of her estate. The children and spouses then returned to the room, and the will was signed. Sometime later, one of the children filed a bar complaint, claiming that his mother did not understand the will. Will the attorney be subject to discipline by the bar?

A)Yes, because the woman did not have much experience with financial matters and could not deal with a complex estate.
B)Yes, because the woman wanted to satisfy her children and their spouses, so the attorney should not have asked to speak with the woman alone.
C)No, because the attorney met with the woman twice, and took reasonable steps to insure that the woman could ask questions and understand the will.
D)No, because nothing indicates that the woman had any diminished capacity and the attorney's obligation to explain matters did not arise.

Question 21

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?

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 22

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?

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 23

Paula is a paralegal for John, an attorney who practices in estate planning and Elder law. The attorney represents Millie, a wealthy widow in her late 80s with no children. Until recently, Millie had been lucid and quite active in the senior community. Millie's estate was rather complex, and John had been in regular contact with Millie because Millie wants to minimize her estate taxes and a limited partnership was formed to help meet that goal. Now, however, John has not spoken with Millie for several months although he has left several voicemail messages and mailed letters to her. John is concerned because it is mid-December and several matters need to be addressed before the end of the year to continue meeting Millie's goal of minimizing her estate taxes. Finally, Millie calls John, but claims she has never heard of him before and wants him and all the other aliens to stop bothering her. Does John have any obligations toward Millie in this situation?

A)Yes, but only if John first obtains a court order appointing a conservator to make decisions on behalf of Millie.
B)Yes, if John reasonably believes that Millie has diminished capacity and a risk exists that Millie may sustain substantial financial harm.
C)No, because a lawyer must maintain a normal client-lawyer relationship, to the extent possible, even if the client has diminished capacity.
D)No, because public services are available to assist seniors if the senior experiences diminished capacity.

Question 24

A paralegal works for senior partner in a mid-size law firm in Portland, Oregon. The attorney represents a company based in Portland that does business in several western states including California. One of the company's suppliers, which is based in Los Angeles, sued the company for breach of contract. Under the contract, the parties had agreed to arbitrate any dispute before the American Arbitration Association, with the arbitration to take place in Los Angeles. If the senior partner is licensed in Oregon, but not in California, can the senior partner represent the company at the arbitration in Los Angeles?

A)Yes, because the representation involves an arbitration and the arbitration is reasonably related to the senior partner's representation of the Oregon-based company.
B)Yes, if the senior partner is admitted pro hac vice before the American Arbitration Association in Los Angeles.
C)No, unless the senior partner associates with an attorney in California.
D)No, because the senior partner is not admitted in California and appearing for the arbitration would be unauthorized practice of law in California.

Question 25

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?

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 26

A paralegal was laid off during the recent economic downturn. Resentful that attorneys were still charging exorbitant fees and that very few associates were laid off, the paralegal joined an online service for individuals seeking freelance work. On this website, individuals seeking work bid on jobs posted by others seeking to hire someone. The paralegal sees several jobs posted that seek the assistance of a paralegal, but none of these "employers" state that they are licensed attorneys. In fact, in some cases, the "employer" clearly is not an attorney. Nonetheless, the paralegal is certain she can adequately and professionally complete each of the jobs posted. If the paralegal bids on and is awarded one of the jobs, can the paralegal accept the job and complete the work?

A)Yes, because the "employer" waived any claim to unauthorized practice of law when the "employer" posted a job seeking a paralegal.
B)Yes, but only if the paralegal associates with an attorney who supervises and checks the paralegal's work.
C)No, because accepting the job and performing the work would be unauthorized practice of law.
D)No, because the "employer" misrepresented his or her need for legal services by seeking the services of a paralegal.

Question 27

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?

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 28

After five years with a small three-attorney law firm, a paralegal accepts a position with a twenty-attorney firm that employs ten paralegals. After starting the position, the paralegal notices that her name has been added to the firm's letterhead. All of the other paralegals are also listed on the letterhead, and each one is clearly identified as a paralegal. Has the firm violated any ethical rule by listing the names of the paralegals on its letterhead?

A)Yes, because it conveys false and misleading information by suggesting that the paralegals are licensed to practice law
B)Yes, because the Model Rules expressly prohibit listing any names on letterhead, except those of licensed attorneys
C)No, because the Model Rules permit listing non-lawyer staff if their non-lawyer status is clearly indicated
D)No, because the Model Rules do not include any regulation of law firm letterhead

Question 29

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?

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 30

A paralegal worked for a mid-size law firm. One of the partners practiced extensively in collections, including collection work involving debtors who have defaulted on auto loans. The paralegal was involved in many aspects of the collection work, such as drafting complaints, applications for default judgment, and occasionally had direct contact with a debtor. In one case, after the complaint had been filed and served, and the defendant failed to file an answer, the paralegal drafted an application for default judgment. After review by the attorney, the application was filed and a copy served on the debtor. Two days later at 4:45 p.m., the debtor showed up at the law firm and spoke with the paralegal. The debtor handed the vehicle keys to the paralegal, pointed out the window, and said, "There's the car. I can't make the payments, so I'm giving it back-per the loan agreement." Can either the lawyer, or the paralegal accept the return of the vehicle?

A)Yes, because the return of the vehicle is permitted under the loan agreement and the law firm would be acting on behalf of its client.
B)Yes, but only the lawyer can accept, not the paralegal.
C)No, because the debtor had failed to answer the complaint and the matter can only be resolved through the court system.
D)No, because the law firm would not be able to appropriately safeguard the vehicle or promptly deliver it to the client.

Question 31

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?

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 32

A paralegal is assisting his employing attorney in the courtroom just prior to the start of a trial. His employing attorney represents the defendant in a personal injury case. At a moment when attorneys from both sides are out of the courtroom, the plaintiff approaches the paralegal and asks him, "Can you explain to me how the questioning will proceed when I'm on the witness stand?" Can the paralegal respond to the plaintiff's question?

A)Yes, because the question is merely procedural and no danger exists that the paralegal's response could be construed as overreaching.
B)Yes, because it will be considered a courtesy to the opposing party.
C)No, because the procedure for examining witnesses on the witness stand is explained by the courtroom clerk.
D)No, because the paralegal works for the attorney representing the defendant and the plaintiff is the opposing party.

Question 33

An attorney is representing the defendant in a personal injury case. She deposed a third-party witness about the witness's knowledge of the plaintiff's physical condition and current abilities. The witness, who is a friend of the plaintiff, testified that he saw the plaintiff slip and fall in the defendant's warehouse while making a delivery and that, since then, he has seen the plaintiff with serious back pain on several occasions. The attorney believes that the witness is lying, but has not obtained any evidence to the contrary. The attorney's paralegal calls the witness on the telephone and claims to be an accident investigator from the union to which both the plaintiff and the witness belong. The paralegal then begins asking questions about the incident at the warehouse, and the witness says that the plaintiff was injured in the fall, but has been to three doctors who all say he has fully recovered. The paralegal then gets the names of the three doctors. Has the paralegal violated any rule of professional conduct?

A)Yes, because the paralegal did not obtain any authorization from his supervising attorney before placing the call and stating he was a union investigator.
B)Yes, because the Model Rules prohibit conduct involving dishonesty, fraud, deceit, or misrepresentation.
C)No, because any prohibition against misconduct in the Model Rules does not apply to non-attorney staff.
D)No, because direct testimony from the three doctors will be admissible even though the paralegal's conversation with the witness is hearsay.

Question 34

A certified paralegal worked in the litigation department of the Sakarov Law Firm. During that employment, the paralegal was heavily involved in several cases defending Mountainside All-Terrain Vehicles, Inc. against product defect claims arising from a brake problem. Three months ago, the paralegal took a job at the Hikado Law Firm, which handles plaintiff personal injury suits. Today, a conflict checking form was sent to all attorneys and paralegals in the Hikado Law Firm regarding a potential client and a claim against Mountainside All-Terrain Vehicles based on a faulty brake system. The paralegal sees the conflict check form, recognizes the name of the defendant, but says nothing. Has the paralegal violated any ethical or professional conduct rule?

A)Yes, because the rules governing certified paralegals require the paralegal to disclose the conflict with Mountainside All-Terrain Vehicles
B)Yes, because the Model Rules will impute the paralegal's prior work defending Mountainside All-Terrain Vehicles to all attorneys at Hikado Law Firm
C)No, because Hikado Law Firm has not yet accepted the case, and if it does, the paralegal can be screened to overcome any conflict of interest
D)No, because the conflict of interest rules under the Model Rules do not apply to non-attorney staff

Question 35

Alex is a transactional attorney and does not do litigation. Bill is a litigator, but knows Alex. Alex has a client who wants to sue Debtor to recover money and principal owed under a loan to Debtor. Alex refers the client to Bill, and Bill files suit against Debtor on behalf of the client. Other creditors then begin suing Debtor for other outstanding loans. One of the other creditors is another client of Alex, and this second client sues Alex, claiming that Alex negligently encouraged the second client to make the loan to Debtor. During the second creditor's suit, a subpoena is served on Bill's law firm seeking any non-privileged records (including billing statements) related to the first creditor's lawsuit (filed by Bill) against Debtor. Bill instructs his paralegal to obtain copies of all billing statements up to and including the month in which the suit was filed and to redact all entries on and after the date the first creditor's lawsuit was filed. The redacted versions are then produced in response to the subpoena. Why were the billing statements produced with some information redacted?

A)Because Bill did not want the second creditor's attorney to see the work performed for the first creditor after the date of filing.
B)Because an exception to the confidentiality rules exists for compliance with a court order, but the work-product rule protects the entries on and after the date of filing.
C)Because an exception to the confidentiality rules exists for compliance with a court order, but the attorney-client privilege protects the entries on and after the date of filing.
D)None of the above.

Question 36

A lawyer represented a client in a case involving a contract dispute. The lawyer was successful in showing a breach of contract by the defendant and asserted a claim for attorneys' fees under the contract. The defendant did not dispute that the plaintiff was entitled to attorneys' fees, but argued that the lawyer overcharged his client since the work performed was not worth the amount charged. At the hearing on the motion for attorneys' fees, the defendant's attorney called the plaintiff's lawyer as a witness. Can the lawyer testify in a case in which he is representing a party?

A)Yes, because the testimony will be limited to the work performed and value of the work performed.
B)Yes, if the plaintiff waives the conflict of interest.
C)No, because an attorney cannot act as an advocate for a party and a witness in the same case.
D)No, unless the lawyer withdraws from representing the client.

Question 37

A lawyer for a plaintiff was becoming very frustrated with the defendant's attorney. The lawyer represented the plaintiff in a personal injury suit, and the defendant's attorney regularly asked for extensions. First, the defendant's attorney asked for an extension of time to file an answer; then, instead of an answer, the defendant filed a motion to dismiss; then, when the motion was denied, the defendant filed an answer, but requested a discovery schedule that allowed more than two years for the completion of discovery; then, the defendant twice asked for an extension of time to respond to a request for production of document; and then, three times, the defendant rescheduled the defendant's deposition. Later, the defendant asked for an extension of time to respond to the lawyer's motion for summary judgment, and two weeks before trial, the defendant requested that the trial be rescheduled to a later date. When asked why the delays were necessary, the defendant's counsel often responded that either he or his client was too busy or that he or his client had vacation plans. Is the attorney subject to any (potential) disciplinary action?

A)Yes, because courts will not tolerate attorneys who are not diligent in responding to litigation matters.
B)Yes, because a plaintiff in a civil case has a right to a speedy trial.
C)No, unless the requested extensions show a lack of reasonable efforts to expedite litigation.
D)No, because defendants have the right to thoroughly investigate and defend every aspect of a plaintiff's claim.

Question 38

An attorney represented a plaintiff in a personal injury suit, and a certified paralegal was employed by the attorney and worked on the case. The case involved an automobile accident in which a car driven by the defendant collided with the plaintiff's car. The defendant's wife had been in the defendant's car and was a witness. The attorney did not like the attorney who represented the defendant. The plaintiff's attorney and the defendant's attorney had been opposing counsel on several other cases, and the plaintiff's attorney believed that the work of the defendant's attorney had been second rate (and not worth the $600 per hour he charged). To annoy the defendant's counsel, the plaintiff's attorney instructed her paralegal to include in the request for production of documents a request for any documents reflecting communications between the defendant's wife and a named third person. The attorney believed the wife and the third person were having an affair and thought the communications might discredit the wife at trial. Is the plaintiff's attorney subject to any disciplinary action?

A)Yes, because the discovery request is unfair to an opposing party.
B)Yes, because unnecessary delay will result by forcing the defendant's counsel to contest the discovery request.
C)No, because the attorney is entitled to use evidence of deceit to discredit a witness at trial.
D)No, because the discovery request is routine and will not delay the litigation.

Question 39

An attorney is representing the plaintiff in an environmental law case. She deposed a third-party witness about the witness's knowledge of the defendant's use of the property for storage of chemicals used in a tanning operation. The witness, who is a friend of the defendant, testified that he was employed by the defendant in the tanning operation and that the defendant's environment safety procedures always exceeded government regulations. The attorney believes that the witness is lying, but has not obtained any evidence to the contrary. The attorney's paralegal calls the witness on the telephone and claims to be an accident investigator from the union to which the witness belongs. The paralegal then begins asking questions about occupational safety and hazardous waste at the tanning operation, and the witness says that chemicals were spilled on at least two occasions inside the plant and that byproduct chemicals were sometimes dumped in the field behind the plant. When he heard about the paralegal's call, the attorney is pleased and said, "Good job." Is the attorney subject to any disciplinary action for the paralegal's conduct?

A)Yes, because the attorney engaged in conduct involving dishonesty, fraud, deceit, or misrepresentation.
B)Yes, because a supervising attorney can be responsible for conduct of a non-attorney employee that violates the Model Rules.
C)No, because a supervising attorney cannot be responsible for conduct of a non-attorney employee that violates the Model Rules.
D)No, because the paralegal did not obtain authorization from the attorney before making the call to the witness.

Question 40

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?

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 41

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

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

Question 42

Existing case law on the unauthorized practice of law has prohibited paralegals from performing which of the following activities (unless under the supervision of an attorney)?

A)Prepare divorce kits.
B)Prepare bankruptcy forms.
C)Providing basic information about procedures and requirements.
D)All of the above.

Question 43

Generally, a paralegal may perform any function delegated by an attorney except which of the following functions?

A)Locate and interview witnesses.
B)Establish an attorney-client relationship.
C)Draft legal documents for review by the attorney.
D)Summarize depositions, interrogatories, and testimony.

Question 44

A paralegal must seek to maintain integrity and a high degree of competency in which of the following areas?

A)Continuing education in substantive areas of law relevant to the paralegal's work.
B)Professional responsibility.
C)Procedural rules and local practice rules relevant to the paralegal's work.
D)All of the above.

Question 45

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

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

Question 46

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

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 47

As a general statement, paralegals may not _______________________________.

A)Perform substantive legal work delegated by a lawyer.
B)Have direct contact with a supervising lawyer's clients.
C)Perform any duty that only a lawyer may perform.
D)Conduct legal research for review by an attorney.

Question 48

Under the Code of Ethics and Professional Responsibility, a paralegal must _______________________________.

A)Join the paralegal division of the bar association of which his or her employer is a member.
B)Not use any judgment when drafting legal documents for an attorney.
C)Disclose any potential conflict with the interests of an employer or an employer's client.
D)All of the above.

Question 49

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

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 50

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

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 51

Under the Model Rules of Professional Conduct, a lawyer can be responsible for the conduct of a paralegal in which of the following situations?

A)If a lawyer orders a paralegal to engage in conduct that would be a violation if engaged in by the lawyer.
B)If the lawyer is a direct supervisor of a paralegal and knew of conduct in violation of the Model Rules at a time when the consequences could be avoided, but failed to take action.
C)If a lawyer knows of a paralegal's conduct that would be a violation if engaged in by the lawyer and ratifies the conduct.
D)All of the above.

Question 52

A paralegal works for an attorney who practices civil litigation. Another member of the office staff delivers a fax to the paralegal that was sent by opposing counsel in a case being handled by the paralegal's employer. The fax is addressed to opposing counsel's expert witness, but the cover sheet lists the fax number for the law firm of the paralegal's employer. Does the paralegal's employer have any obligations?

A)Yes, the paralegal's employer must promptly destroy the fax communication.
B)Yes, the paralegal's employer must promptly notify to opposing counsel.
C)No, the paralegal's employer may read the fax communication and use it in the client's litigation.
D)No, but the paralegal's employer may not read or use it in the client's litigation.

Question 53

Which of the following obligations apply to a prosecutor in a criminal case?

A)To refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause.
B)To make reasonable efforts to assure an accused person is advised of the right to counsel.
C)To not seek a waiver of an important pretrial right from an unrepresented accused person.
D)All of the above.

Question 54

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?

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 55

A paralegal is employed by an attorney who represents injured workers in workers' compensation cases. The attorney is fond of one of his clients. Because of her injury, the client has not been able to work and is running short of money. The attorney instructs the paralegal to have the firm's bookkeeper prepare a $500 check from the firm's business account to the client as a loan. Can the attorney and/or law firm loan the money to the client?

A)Yes, because the attorney can provide no-interest loans to clients as a pro bono service.
B)Yes, because the loan is too small to be considered a business transaction with a client.
C)No, because the client's compensation award will include back pay from the date of injury.
D)No, because attorneys may not provide financial assistance to a client.

Question 56

A certified paralegal was employed by a small law firm and was also responsible for the bookkeeping. The paralegal prepared a check from the trust account payable to a friend. Her employer signed the check along with several other checks related to client matters. Her friend cashed the check and split the money with the paralegal. A few days later, the paralegal fully reimbursed the trust account by a cash deposit equal to the amount of the check to her friend. Which of the following are possible consequences for the paralegal?

A)Criminal charges.
B)Civil suit by a client.
C)Loss of employment.
D)Two of the above.

Question 57

An attorney practices in estate planning and probate. Six months ago, the attorney completed his representation of the executor of a probate estate, and the probate closing statement was filed. Today, the executor contacts the attorney's paralegal and, during the conversation, admits that he hid certain assets of the estate (total value, $1,000) so he could keep them. What, if any, obligations does the paralegal's employer have under the Model Rules?

A)To inform the probate court of the assets.
B)To encourage the executor to disclose the assets.
C)To report the theft to the police.
D)The paralegal's employer has no obligation.

Question 58

A family law attorney has a very busy practice. She spends considerable time preparing for and in several court appearances each week, and she spends much of the rest of her time meeting with new clients and supervising paralegals and associates on various aspects of each case. Many of her clients complain, however, that she does not return telephone calls and the paralegals and associates often take calls from clients who are dissatisfied with the attorney's failure to return telephone calls. Finally, one of her clients files a bar complaint. Is the attorney subject to discipline for failure to return telephone calls?

A)Yes, because she is not keeping her clients reasonably informed.
B)No, because the attorney has shown diligence in court appearances and other legal work.
C)No, because the client can be kept informed by paralegals and associates.
D)No, because attorneys are not under an obligation to keep clients informed.

Question 59

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

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 60

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 ____________________________________.

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 61

Under the Model Rule of Professional Conduct regarding fees, "[a] lawyer shall not make an agreement for, charge, or collect ____________________________."

A)A retainer fee that is deposited in a trust account.
B)A fee as bonus for agreeing to accept a representation.
C)An unreasonable fee or unreasonable amount for expenses.
D)None of the above.

Question 62

A paralegal, who is also a notary public, is employed by a large law firm. The law firm represents a top-twenty bank that, among other lines of business, owns mortgages sold to buyers of residential property and processes the mortgage payments. An associate is assigned to process the judicial foreclosure on 100 mortgages owned by the bank, but notices that none of the affidavits provided by the bank (and required for foreclosure) have been notarized. The associate brings the affidavits to the paralegal and asks her to notarize them. How should the paralegal respond?

A)Refuse to notarize them unless an authorized bank representative re-signs them in her presence.
B)Notarize them as requested by the associate.
C)Refuse to notarize them unless the associate saw an authorized bank representative sign them.
D)Notarize them, but only if instructed to do so by the responsible partner in the firm.

Question 63

If a lawyer's fee is contingent on the outcome of a case, the contingent fee agreement must ___________________.

A)Require payment of costs only if the outcome is favorable to the client.
B)Be filed with the state bar association.
C)Be in writing.
D)Be disclosed during discovery.

Question 64

A certified paralegal must be familiar with __________________________.

A)The Code of Ethics and Professional Responsibility.
B)The Model Code of Professional Conduct.
C)The Model Standards and Guidelines for Utilization of Paralegals.
D)All of the above.

Question 65

A parent had a child who was suffering from leukemia. Several other parents in the same small town had children with leukemia or other diseases, and at least one other child had died. The parent hired an attorney in a mid-sized town twenty miles away because she believed that a chemical refinery in the small town was contaminating the groundwater. The parent called the attorney at least once a month for two years, but the lawyer has still not investigated the case. Only once during the two years did the parent actually speak to the attorney, and then all he said was, "These things take time." The attorney could be subject to discipline for which of the following?

A)Lack of diligence.
B)Lack of communication
C)Making a frivolous claim.
D)Making an improper contingent fee agreement.

Question 66

An attorney employed a paralegal in the attorney's real estate transaction. Among other duties, the paralegal was responsible for overseeing the process of having deeds, notices, and other documents recorded with the county recorder. The county recorder implemented a new process for electronically recording documents and required many businesses that regularly record documents (including law firms) to switch to electronic recording. The county recorder also offered free seminars and training in the electronic recording system, but could not afford to operate a help desk. The attorney did not make time for the paralegal to attend the free seminar and training, and when electronic recording was implemented, the firm could not record documents for several weeks. The attorney's conduct failed to follow which of the following guidelines for utilization of paralegals?

A)The guideline suggesting employing attorneys should designate work assignments that correspond to the paralegal's abilities, knowledge, and training.
B)The guideline suggesting employing attorneys should give consideration to providing paralegals with continuing education.
C)The guideline suggesting employing attorneys should educate and train paralegals with respect to professional responsibility, local rules, and firm policies.
D)The guideline suggesting employing attorneys should encourage paralegal membership and participation in professional organizations.

Question 67

A family law attorney was representing a wife in a divorce case. The jurisdiction required that each party prepare and file certain forms to disclose all relevant financial information. The attorney assigned the task of drafting the forms to a paralegal, instead of an associate in the office, because she knew that the paralegal had more experience with the forms, and because she needed the associate to draft a motion. The paralegal can perform the task if ____________________________________.

A)The attorney does not charge the client an hourly rate for the paralegal's time in preparing the forms.
B)The paralegal retains ultimate responsibility for his or her work product.
C)The preparation of the forms does not require the exercise of independent professional judgment.
D)The attorney makes the paralegal responsible for maintaining a direct relationship with the client.

Question 68

Which of the following federal agencies permit non-lawyers to represent others in proceedings before the agency?

A)National Labor Relations Board.
B)Internal Revenue Service.
C)Arizona Department of Economic Security.
D)U.S. District Court for the Federal District.

Question 69

An attorney was preparing for a hearing on an important motion and asked his paralegal to call the judge's chambers and confirm that the hearing was still set for 9:00 a.m. The paralegal, who had never spoken with the judge's assistant before, called the assistant and said "I'm calling from Johnson & Wax more. I'd like to confirm that the hearing in the Gustafson case is still set for 9:00 a.m." Which of the following rules from the NALA Code of Ethics and Professional Responsibility did the paralegal not follow?

A)The rule requiring a paralegal to protect the client confidences.
B)The rule requiring a paralegal not to engage in the unauthorized practice of law.
C)The rule requiring maintenance of a high degree of competency.
D)The rule requiring disclosure of paralegal status.

Question 70

A lawyer at a law firm called a paralegal at another law firm. The lawyer wanted to find out if the other law firm represented a certain person. The lawyer, who knew the paralegal, brought up the name of the person and eventually asked if the other law firm represented the person. The paralegal responded by saying that the firm did represent the person. Has the paralegal violated any ethical rule?

A)Yes, the rule on communication.
B)Yes, the rule on confidentiality.
C)No, because the lawyer at the other firm mentioned the person's name.
D)No, because the paralegal's conduct complied with the rule on false statements to third person.

Question 71

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?

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 72

A lawyer met a potential client to discuss the client's situation. The potential client was the daughter of an alleged mobster and was concerned that she was about to be indicted by a grand jury. The potential client's father had terminated her access to all bank accounts, and she had few other resources. The potential client then stated that she intended to write a book about her experience as a mobster's daughter and that she would agree to pay the lawyer by giving him a forty-percent interest in the literary rights to the book. Can the lawyer accept the literary rights to book as his fee for representing the potential client?

A)Yes, because literary rights as a fee are not prohibited by the rule on fees.
B)Yes, because the literary rights involve the daughter's story, not the attorney's story.
C)No, because literary rights as a fee are prohibited prior to the conclusion of the representation.
D)No, because the literary rights offered are less than a fifty-percent interest in the book.

Question 73

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?

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 74

A lawyer represented a corporation that owned and managed many apartment and rental properties. After the lawyer represented the corporation in a hotly contested case, and the corporation lost, the president of the corporation refused to pay the remaining amount due in attorneys' fees because he believed the attorney had been negligent in his handling of the case. After discussing the dispute with the president, the lawyer agreed to settle the matter for one-half of the amount due in attorneys' fees and the transfer of all of the corporation's legal affairs to a different attorney. Is the lawyer subject to any discipline?

A)Yes, because he did not advise the president to seek the advice of independent counsel.
B)Yes, because he did not request that the dispute be resolved through the bar association's fee arbitration service.
C)No, because the opposing party effectively increased the fees by hotly contesting the case.
D)No, because the lawyer was not negligent in the handling of the case.

Question 75

A sole practitioner was handling the appeal of a case involving a wrongful death claim. While researching and drafting the opening brief, the attorney relied heavily on the legal research, writing, and citation skills of his paralegal. To acknowledge the contribution of the paralegal, the lawyer added the following immediately following the attorney's signature block: Penny Smith, Paralegal, Participating on Briefs. Can the acknowledgment of the paralegal's contribution be added to the brief?

A)Yes, in some states, if the paralegal made a significant contribution.
B)Yes, but only if the appellate court grants a written request to do so.
C)No, because it is considered the unauthorized practice of law.
D)No, unless the paralegal is a certified paralegal.

Question 76

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?

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 77

A paralegal owned shares in Microsoft that she inherited from her grandfather. The stock shares regularly paid dividends, and the paralegal appreciated the extra income from the dividends. Some time later, the paralegal accepted a job with another law firm that often worked on litigation involving technology companies. One month later, the paralegal learned that her new employer had been hired to file suit against Microsoft in an anti-trust action. Must the paralegal disclose to her employer that she owns shares in Microsoft?

A)Yes, because her ownership of the shares creates a conflict of interest based on a personal interest.
B)Yes, because her ownership of the shares creates a conflict of interest based on representation of a former client.
C)No, because she inherited the shares from her grandfather and did not buy them directly in the stock market.
D)No, because an exception to the conflict rules exists for ownership of shares in an opposing party.

Question 78

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?

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 79

For many years, Luke had been a patent agent before the U.S. Patent and Trademark Office. Tired of competing with so many lawyers in the field, Luke attended the evening division of a law school for several years and passed his state's bar exam after graduation. Luke has now started his own law firm and wants to promote his new law practice focusing on patent law. Under the Model Rules, may Luke advertise a specialty in patent law?

A)Yes, Luke may advertise that he is a specialist in patent law.
B)Yes, Luke may advertise that he has specialty certification in patent law.
C)Yes, Luke may use the designation "Patent Attorney."
D)No, Luke may not advertise that he is a specialist or use the designation "Patent Attorney."

Question 80

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?

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.