Rules for Applicants Correct Answers a. All applicants for admission to a state bar
MUST be morally fit to practice law.
b. Past conduct places an applicant's moral fitness in question if that past conduct has a
rational connection with applicant's fitness to practice law.
When applying for admission to a state bar, an applicant MUST NOT KNOWINGLY:
Correct Answers(1) make a false statement of material fact OR
(2) fail to disclose a fact that is necessary to correct a misapprehension
If an applicant's violation of this rule is discovered after the applicant's admission to the
bar, this lawyer will be subject to disciplinary action and can have his admission voided
or license suspended or revoked.
An applicant must disclose information requested by the state bar UNLESS the
information is protected by applicant's Fifth Amendment right against self-incrimination.
Examples of information that are NOT protected by the Fifth Amendment right against
self-incrimination: Correct Answers(1) treatment for chemical dependency and mental
illness; (2) whether the applicant has been a party to any lawsuit; and
(3) records of arrests not leading to a conviction.
Rules for Lawyers Recommending Applicants — In connection with a bar admission
application, a lawyer MUST NOT KNOWINGLY: Correct Answers(1) make a false
statement of material fact,
(2) fail to disclose a fact necessary to correct a misapprehension, OR
(3) fail to respond to a lawful demand for non-confidential information.
Forms/Types of Professional Misconduct Correct Answers• Violations of the Rules of
Professional Conduct
• Criminal Acts that Reflect Adversely on Lawyer's Honesty, Trustworthiness, or Fitness
as a Lawyer
• Conduct involving Dishonesty, Fraud, Deceit
• Conduct that is Prejudicial to the Administration of Justice
• State or Imply an Ability to Influence a Government Agency or Official
Reporting Professional Misconduct Correct Answers*RULE*: Lawyers MUST inform the
appropriate professional authority if they have knowledge of any violation of a
mandatory rule of professional or judicial conduct.
*EXCEPTION*: Where doing so would require:
disclosure of confidential information owed to client.
Jurisdictional Authority to Discipline Correct Answers(1) A lawyer admitted to practice in
a jurisdiction is ALWAYS subject to that jurisdiction's Rules of Professional Conduct.
(2) A lawyer NOT admitted to practice in a jurisdiction nevertheless becomes subject to
that jurisdiction's Rules of Professional Conduct if the lawyer provides or offers to
provide any legal services in that jurisdiction.
,Jurisdictions where a lawyer is NOT admitted to practice Correct AnswersRULE: a
lawyer MAY NOT
(a) establish in that jurisdiction a systematic and continuous presence for the practice of
law OR
(b) represent that the lawyer is admitted to practice there.
EXCEPTIONS: If not admitted in a jurisdiction, a lawyer MAY provide legal services in
that jurisdiction on a temporary basis if it is:
(a) reasonably related to the lawyer's authorized practice in some other jurisdiction;
(b) done pro se;
(c) done pro hac vice; OR
(d) as part of a certified legal intern clinic.
Non-lawyers and the unauthorized practice of law Correct AnswersNon-lawyers
employed by lawyers may be delegated certain functions without engaging in the
unauthorized practice of law so long as the lawyer *supervises and retains responsibility
for their work*
Lawyers associating with non-lawyers Correct Answers(1) Lawyers may not form a
partnership with nonlawyers if any of the business's activities consist of the practice of
law.
(2) Lawyers may not practice law in the form of a professional corporation if a nonlawyer
(a) Owns an interest in the professional corporation, OR
(b) is a director/officer of the professional corporation.
Partners & Supervising Attorneys — Responsibilities for Attorneys in their Employ
Correct Answers*In General*: All partners and supervising attorneys MUST make
REASONABLE efforts to establish internal policies and procedures to provide
REASONABLE assurance that all attorneys in their employ comply with the ethical
rules.
*Large Firms* (particularly those practicing in areas involving difficult ethical problems):
these "reasonable efforts" must include the establishment of a formal set of policies and
procedures.
*Personal Liability*: Supervising attorneys are personally responsible for a subordinate's
ethical violations if they ORDER OR RATIFY that subordinate's work.
Partners & Supervising Attorneys — Responsibilities for Non-Lawyers in their Employ
Correct Answers*In General*: All partners and supervising attorneys MUST make
REASONABLE efforts to ensure that non-lawyers associated with the lawyer or law firm
conduct themselves in a manner that is compatible with the professional obligations of a
lawyer.
*DISCIPLINE*: A lawyer is subject to discipline for their wrongdoing if the lawyer:
(1) orders or ratifies the wrongdoing OR
(2) fails to take reasonable remedial steps to avoid or mitigate the consequences of the
wrongdoing.
, Subordinate Attorney's Duties Correct AnswersIn general, *following a supervisor's
orders is not a defense* for a subordinate lawyer's misconduct.
However, if the subordinate lawyer *acts in accordance with a supervisory lawyer's
reasonable resolution of an arguable question of professional duty,* then the
subordinate *does NOT violate the Rules* and has not, in this instance, engaged in
misconduct.
Communications about Lawyer Services Correct AnswersLawyers may communicate
information about themselves or their services so long as the communication is neither
false or misleading.
CANNOT:
(1) Contain a material misrepresentation OR
(2) Omit a necessary fact.
*DISTINCTION*: In advertising a contingency fee (no fee unless the outcome is
successful), the lawyer must not fail to indicate the costs of litigation to the client.
Advertising Correct AnswersLawyers may advertise their legal services so long as the
advertisements are not false or misleading and contain: the name and address of at
least one attorney or law firm.
Solicitation in General Correct AnswersLawyers may solicit professional employment
but ONLY IF:
(a) the solicitation involves NO coercion, duress, harassment AND
(b) the person targeted has NOT made known to the lawyer a desire not to be solicited.
Solicitation by in person, live telephone, or real-time electronic contact Correct
AnswersALLOWED ONLY IF:
(1) Not for Pecuniary Gain
(2) Soliciting Other Lawyers
(3) Soliciting Family or Persons of Prior Pro Relationship
Solicitation — Written, Recorded, or Electronic Communication (to someone known to
be in need of legal services) Correct AnswersRULE: The words "ADVERTISING
MATERIAL" MUST appear on the outside envelope (in the case of a written
communication) or at the beginning and ending of the message (in the case of
recordings or electronic communications).
Specialization Correct AnswersLawyers may indicate that the lawyer is a "specialist" or
"specializes in" particular fields.
— "Patent" and "Admiralty" lawyers can advertise this if they engage in that practice.
*Certified Specialists" Lawyers may not state or imply that they are "certified" as a
specialist unless:
(1) they have been certified as a specialist by an organization that has been approved
by an appropriate state authority or accredited by the ABA
AND
(2) the name of the certifying organization is clearly identified in the communication.