Professional Responsibility

  1. Which entities have the authority to regulate practice within New York?
    The Court of Appeals and the Appellate Division fo the Supreme Court.
  2. What are the two general classes of state bar associations?
    • Integrated bar associations (all attorneys must join); and
    • Voluntary bar associations.
  3. Do federal district and appellate courts promulgate their own rules?
    Yes. Most federal courts require only that an attorney seeking admission be a member of the bar of the state inw hich the court sits and make formal application for admission to the federal bar.
  4. Is an attorney who is a member of the bar in one state allowed to appear in federal court in another state to argue or try a particular case?
    Yes. This is known as "pro hac vice" appearance.
  5. Can continuous federal practice in a state in which the attorney has not been admitted to the bar be prohibited?
  6. What is the requirement for practice before a federal administrative agency?
    That the attorney be a member of the bar of the state in which the agency sits. An agency may require that the attorney first pass a special exam.
  7. What rules is a federal government attorney subject to?
    State ethics laws and rules governing attorney conduct in each state in which she engages in her duties.
  8. What is the American Bar Association ("ABA")?
    A voluntary national organization that promulgated the Modern Rules of Professional Conduct ("RPC").
  9. What rules of ethics govern in New York?
    The New York Model Rules of Professional Conduct, which are a modified version of the ABA rules.
  10. What prerequisites can be required for admission to the legal profession?
    Any prerequisite to admission must bear a rational relationship to the applicant's fitness or capacity.
  11. What are the educational requirements for admission to the New York bar?
    • Graduation from an ABA-approved law school; or
    • Successful completion of at least one year of law school and study of law in a law office located in New York under the supervision of a licensed New York attorney for a period of time that, together with the credit allowed for the law school attendance, aggregates to four years.
  12. When can an applicant be admitted to the New York bar without examination?
    If the applicant has: (i) graduated from an ABA-approved law school, (ii) been admitted to practice law in another state and that state would admit a New York attorney without examination, and (iii) practiced law for at least five of the seven years preceding the application for admission.
  13. Can a state require that a bar applicant be a citizen of the United States?
  14. Can a state require that a bar applicant be a resident of the state?
    No. This violates the Privileges and Immunities Clause of the United States Constitution. The Supreme Court has also struck down state residency requirements for admission on motion and for federal court practice.
  15. Is a bar applicant required to answer a detailed background questionnaire and to furnish references?
    Yes. The refusal to furnish such information is grounds for rejection.
  16. What procedural protections does a bar applicant have?
    Ther right to a hearing before the bar committee and confrontation of adverse witnesses, as well as the right to judicial review of the denial of an application based on bad moral character.
  17. Does a bar applicant have the burden of showing that he possesses "good moral character'?
  18. What acts constitute conduct involving moral turpitude and reflect adversely on an applicant's honesty and integrity?
    Acts that involve intentional dishonesty or are repugnant to accepted moral standards (e.g., bribery, perjury, theft, murder, rape).
  19. What are the constitutuoional limitations on requirements for bar admission?
    There must be a nexus between the requirements for admission and an applicant's fitness to practice law. Thus, a rejection may not be based on the personal beliefs of an applicant where those beliefs are not translated into an illegal advocacy to action.
  20. What can an applicant or an attorney in connection with a bar admission application or a disciplinary matter not do in order to cooperate with character investigations?
    • Knowingly make a false statement of material fact; or
    • Fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from admissions or disciplinary authority.
  21. What can a lawyer not do, subject to discipline?
    • Violate or attempt to violate the RPC, knowingly assist or induce another to do so, or use the acts of another to commit a violation;
    • Engage in illegal conduct that adversely reflects on the lawyer's honesty, trustworthiness, or fitness as a lawyer in other respects;
    • State or imply an ability to improperly influence a government agency or official;
    • Engage in conduct involving dishonestly, fraud, deceit, or misrepresentation;
    • Engage in conduct prejudicial to the administration of justice;
    • Knowingly assist a judge or judicial officer in conduct that violates applicable rules of judicial conduct or other law; or
    • Unlawfully discriminate in the practice of law, including int he hiring, promoting, or otherwise determining conditions of employment.
  22. How is a disciplinary proceeding initiated?
    By a complaint to the Departmental Disciplinary Committee or to any of the departments of the Appellate Division.

    Th next step is a nonpublic hearing before the disciplinary committee. A lawyer subject to a disciplinary hearing retains the basic rights to counsel and to cross-examination of witnesses at the hearing. He also has the right to invoke, without penalty, the Fifth Amendment protection against self-incrimination. The disciplinary committee may recommend disciplinary action or request that the Appellate Division initiate disciplinary proceedings.
  23. Is the filing of a disciplinary complaint considered a privileged communication?
  24. What are the most common penalties for engaging in unprofessional conduct?
    • Disbarment;
    • Suspension; and
    • Public or private censure by the courts or New York Bar Association.
  25. Do disciplinary proceedings by the state courts located within the federal district have a binding effect on the attorney's ability to practice before the federal courts in that district?
  26. Do disciplinary proceedings by state courts have a binding effect on the attorney's ability to practice in a sister state?
    No, foreign state courts must make their own independent evaluation of an attorney's conduct when he has been disciplined in a sister state; but most states give some effect to the sister state's determination.
  27. Is a lawyer admitted to practice in New York subject to the disciplinary authority of New York for conduct occuring elsewhere?
  28. What statute will a New York court considering conduct connected with a matter pending before it apply?
    The New York RPC, unless the court's rules provide otherwise.
  29. If a lawyer being disciplined is licensed to practice only in New York, will the New York RPC apply?
  30. If a lawyer is licensed to practice in more than one state, which RPC will apply in a disciplinary proceeding?
    The RPC of the state in which the lawyer principally practices apply, unless the conduct clearly has its predominant effect in another state in which the lawyer is licensed, inw hich case the RPC of that state apply.
  31. Does a lawyer have a safe harbor for conduct that conforms to the rules of a state in which she reasonably believes the predominant effect will occur?
  32. Can a lawyer practice law in a jurisdiction where doing so violates the regulation of the legal profession in that jurisdiction, or assist another person in doing so?
  33. Can nonlawyers engage in occupations that require a special knowledge of law in certain areas?
    Yes, where the professional judgment of a lawyer is not involved.
  34. Can a lawyer delegate tasks to nonlawyers?
    Yes, provided the lawyer maintains a direct relationship with the client, supervises the delegated work, and has complete professional responsibility for the work product.
  35. Do individuals have the right to represent themselves even if they are not attorneys?
  36. Can a lawyer delegate tasks to a paralegal, law clerk, student intenr, or other such person?
    Yes, but the lawyer must supervise the delegated work carefully and must be ultimately responsible for the results.
  37. What are permissible lay activities that do not consitute unauthorized practice of law?
    • Real estate broker/agent filling in blanks on standard sales contract;
    • Lay tax adviser preparing tax return;
    • Estate planner disseminating general information to the public on estate planning
  38. What are impermissible lay actions that constitute unauthorized practice of law?
    • Real estate broker/agent drafting sales contract;
    • Lay tax adviser counseling individuals on legal tax implications of their conduct;
    • Estate planner drafting wills or preparing estate plans for specific individuals
  39. Does a lawyer engage in the unauthorized practice of law by practicing in a jurisdiction where he is not admitted?
    Yes, with several caveats.
  40. When can a lawyer practice in a jurisdiction where he is not admitted?
    • Lawyers are routinely admitted "pro hac vice" to appear in individual proceedings on behalf of a client. However, a lawyer must be a member in good standing of at least one bar before he can be admitted "pro hac vice."
    • Because the business of a single client may involve legal problems in several states, the RPC do not contain regulations specifically imposing territorial limits on a lawyer's rights to handle the affairs of a client.
    • Multistate law partnerships are acceptable provided the individual lawyers practice in the jurisdiction(s) in which they are admitted and the firm letterhead so indicates.
    • A state may not prevent a person licensed by a federal agent from carrying on activities related to his owrk before that agency.
  41. Can full-time judges or court officers practice law?
  42. Can law students represent clients?
    No, except where authorized to do so under the supervision of a licensed attorney.
  43. Can a lawyer practice law in association with, or otherwise share fees with, a layperson?
  44. Can law firms be set up in such a way that a nonlawyer owns an interest therein, a nonlawyer is a corporate officer or director, or a nonlawyer has the right to direct or control a lawyer's professional judgment?
  45. Are lawyers permitted to provide law-related services to clients?
    Yes, e.g., financial planning, accounting, trust services.

    If these services are provided under circumstances that are not distinct from legal services, the lawyer must adhere to the RPC with respect to the ancillary services as well.
  46. When ancillary services are provided by a separate entity controlled at least partly by a lawyer, must the lawyer adhere to the RPC?
    Yes, unless she takes reasonable measures to ensure that the recipient of the services knows that the services are not legal services and that the protections of the lawyer-client relationship do not apply.
  47. What are the three (3) categories of practitioners in the firm framework?
    • Partners;
    • Associations; and
    • Attorneys of counsel.
  48. What are the duties of a lawyer in practice?
    To ensure that the client's interests are paramount to the firm's interests and that the client's problems are handled with competence and care.
  49. What are the restrictions on naming a law firm?
    A lawyer may nor practice under a trade name, a name that is misleading as to the identity of the lawyers practicing in the firm, or a name containing hte names of lawyers not practicing in the firm, unless such lawyers were formerly associated wtih the firm and no legal barriers exist to the use of their names.
  50. Can a multistate firm use the same firm name or other professional designation in each jurisdiction?
    Yes, but it must list the jurisdictional limitations of those lawyers not licensed to practice in a particular jurisdiction.
  51. Can a lawyer be a partner with a nonlawyer?
    Not if any of the partnership activities consist of the practice of law.
  52. Can a lawyer share office space with a nonlawyer?
    Not unless the offices are physically separate.
  53. When are the only types a lawyer or law firm can share legal fees with a nonlawyer?
    • An agreement to provide for the payment of money, over a reasonable period if time after a lawyer's death, to the lawyer's estate, or to one or more specified persons;
    • Payment of the purchase price of a law practice to the estate or representative of a deceased, disabled, or disappeared lawyer; and
    • Payments pursuant to a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement.
  54. Can a lawyer permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer's professional judgment in rendering such legal services?
  55. Can lawyers incorporate?
    Yes, because of certain favorable tax treatment. However, the liability of the lawyer to the client may not be limited, and a nonlawyer may not have an interest in a legal corporation as a shareholder, officer, or director.
  56. What are legal services organizations?
    Legal aid and public defenses, military legal assistance oficers, and lawyer referral services. Group legal service plans are plasn designed to provide various legal services to members of a specific group. Such groups may consist of union members, members of an association, and participants in prepaid legal insurance programs. Legal service plans may advertise their ability to the public. Such advertisements must conform to the RPC.
  57. Can a lawyer serve as a director, officer, or member of a legal services organization, other than the law firm with which the lawyer practices?
    Yes, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer.
  58. Can a lawyer knowingly participate in a legal services organization decision that would be incompatible with the lawyer's obligations to a client, or where the decision could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer?
  59. What are the responsibilities of a partner, as well as a lawyer with comparable managerial authroity?
    To make reasonable efforts to ensure that the firm has in effect measures giving reasonably assurance that all of the firm's lawyers conform tto the RPC.
  60. When will a lawyer be responsible for another lawyer's violation of the RPC?
    • The lawyer orders or ratifies the specific conduct; or
    • The lawyer is a partner or similar manager in the firm in whihc hte other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.
  61. What is the responsibility of a subordinate lawyer?
    A lawyer is bound by the RPC notwithstanding that hte lawyer acted at the direction of another person.
  62. What types of agreements can a lawyer participate in that restrict the rights of a lawyer to practice after termination of the relationship?
    • An agreement concerning benefits upon retirement; or
    • An agreement in which a restriction on the lawyer's right to practice is part of the settlement of a controversy between private parties.
  63. Under what circumstances does the RPC permit the sale or purchase of a practice or an area of practice, including goodwill?
    • The seller ceases private practice (or practice in the area of practice that has been sold) in either the geographic area or the state in which the practice has been conducted;
    • The entire sale is to one or more lawyers or firms;
    • Fees charged to clients do not increase because of the sale; and
    • The seller gives written notice to each client of the sale and the client's right to retain other counsel or to take possession of her file.
  64. What is "advertising"?
    Communication with the public at large.
  65. What is "solicitation"?
    A lawyer's individual contact with a layperson designed to entice the layperson into hiring the lawyer.
  66. Is lawyer advertising commercial speech protected by the First and Fourteenth Amendment?
    Yes. Commercial speech can be totally prohibited only if false or misleading. Otherwise, commercial speech must be allowed, but may be limited by regulations that (i) serve a substantial governmnt interest; (ii) directly and materially advance that interest; and (iii) are narrowly tailored to serve the substantial interest.
  67. Can a state adopt prophylactic rules to forbid in-person solicitation for profit?
  68. For what communications is a lawyer subject to discipline?
    Any type about the lawyer or hte lawyer's servics that is false, deceptive, or misleading or that violates the RPC. This rule applies to all kinds of communications (e.g., advertisements, personal communications, office signs, recorded telephone messages, etc.).
  69. Which communications does the RPC prohibit?
    • Those that use a nickname, moniker, motto, or trade name that implies the ability to retain results in a matter;
    • Are irrelevant to the selection of counsel;
    • Are made to resemble legal documents;
    • Use, without disclosure, an actor to portray the lawyer, a member of the firm, or a client, or depictions of fictionalized events or scenes; or
    • Portray a judge, a fictitious law firm, or that include a fictitous name to refer to lawyers not associated together in a law firm.
  70. What statements regarding the lawyer's services can an advertisement include, if true and nonmisleading?
    Those that (i) are reasonably likely to create an expectation about the results hte lawyer can achieve; (ii) compare the lawyer's services with the services of other lawyers; (iii) are client testimonials or endorsements (unless the matter is still pending); or (iv) describe or characterize the quality of the lawyer's services.
  71. What are the labeling requirements for every advertisement, other than one appearing ont he radio, television, or billboard, or in a director, newspaper, or periodical?
    "Attorney Advertising" on the first page.

    If the advertisement appears on a website or electronic mail, the words must appear on the homepage or on the subject line, respectively.
  72. What restrictions are advertisements subject to?
    • Statements about the areas of law in which the lawyer practices must comply with the RPC;
    • If a lawyer wishes to identify some regular clients in an advertisement, the lawyer must first obtain the clients' written consent;
    • Every advertisement for legal services must include the name, office address, and telephone number of the lawyer or law firm whose services are being offered;
    • A lawyer must not give anything of value to a person for recommending the lawyer's services;
    • A lawyer may use a telephone number that contains a domain name, nickname, moniker, or motto provided it does not violate the RPC
  73. What are the requirements for an internet web site domain used by a lawyer?
    • The domain name does not include the name of the lawyer or law firm;
    • Each page of the web site clearly states the name of the lawyer or firm;
    • The lawyer or firm does not attempt to practice law using the domain name;
    • The domain name does not imply an ability to achieve particular results; and
    • The domain name does not violate a disciplinary rule.
  74. Can a lawyer use pop-up and pop-under advertisements?
    Only on the lawyer's own web site.
  75. What are the preapproval and retention requirements for advertisements?
    All advertisements must be preapproved by the lawyer and a copy must be kept for one year for computer-accessed communications and three years for all other advertisements. A copy of the published contents of any web site must be preserved and updated every 90 days, or sooner in the event of major web site design or extensive content change.
  76. Can a lawyer solicit professional employment from a prospective client by in-person or telephone contact, or by real time and interactive computer-accessed communication?
    Generally, no, unless the prospective client is a close friend, relative, or former or current client, or unless the lawyer is not seeking a fee.
  77. When do the rules prohibiting in-person or telephone solicitation apply?
    When a significant motive for the lawyer's solicitation is the lawyer's pecuniary gain.
  78. Is a lawyer who volunteers to represent someone without a fee, and without other hope if pecuniary gain, subject to discipline for solicitation?
  79. When can a lawyer not solicit professional employment from a prospective client by written or recorded communication?
    • The communication is false, deceptive, misleading, or violates the RPC;
    • The recipient has made known to the lawyer a desire not to be solicited;
    • The solicitation involves coercion, duress, or harassment;
    • The lawyer knows or reasonably should know that the age or physical, emotiona, or mental state of the recipient makes it unlikely that hte recipient will be able to exercise reasonable judgment in retaining a lawyer;
    • The lawyer intends or expects, but does not disclose, taht hte legal services necessary to competently handle the matter will be performed primarily by another lawyer who is not affiliated with the soliciting lawyer as a partner, associate, or counsel; or
    • The written communication is sent by a method that requires the recipient to travel to a location other than that at which the recipient ordinarily receives business or personal mail, or that requires the recipient's signature.
  80. In the event of a specific incident involving potentail claims for personal injury or wrongful death, can a lawyer (or someone acting on his behalf) make unsolicited communication tot he defendant or to the victim or his family or legal representative?
    Not during the first 30 days after the date of the incident.
  81. What are the requirements for a sample retainer agreement included with a solictation?
    It must be marked "SAMPLE" at the top of each page in red ink and marked "DO NOT SIGN" on the client's signature line.
  82. What are the recording and retention requirements for solicitations?
    A copy of any solicitation, excluding web sites or professional cards, sent to a New York resident (excluding close friends, relatives, or former or existing clients) must be filed with the local attorney disciplinary committee or in the judicial department where the solicitation is sent.
  83. Can a lawyer participate in and be compensated by a group or prepaid legal service plans?
    Yes, even though the plan uses personal contacts and live telpehone contacts to offer the plan to persons who are not known to need specific legal services.
  84. Can a lawyer personally contact a group that might wish to adopt a legal service plan for its members?
  85. Can a lawyer accept employment that results from participation in activities designed to educate the public to recognize legal problems, to make intelligent selection of counsel, or to utilize available legal services?
  86. Who may use the designation "Patent Attorney" or a substantially similar designation?
    A lawyer who is admitted before the United States Patent and Trademark Office.
  87. Can a lawyer identify one or more areas of law in which she practices or state that her practice of law is limited to one or more areas of law in public communications?
    Yes, but she must not state that she is a specialist in a particular area of law unless certain requirements are met.
  88. When can a lawyer state that she is certified as a specialist in a particular area of law?
    If she has been certified by a private organization and: (i) the certifying organization has been approved for that purpose by the ABA; (ii) the certifying organization is identified; and (iii) the lawyer states that the certifying organization is not affiliated with any governmental authority, certification is not required for the practice of law by the state of New York, and certification does not necessarily indicate greater competence of certified lawyers than other lawyers experienced in the certified area of law.


    If she has been certified in a specialist in a particular area of law by another state if: (i) the certifying state is identified, and (ii) the lawyer states that certification granted by the state is not recognized by any governmental authority within the state of New York, certification is not a requirement for the practice of law in New York, and certification does not necessarily indicate greater competence of certified lawyers than other lawyers experienced in the certified field of law.
  89. Does a lawyer have a responsibility to render public interest legal service?
    Yes. The RPC suggests 20 hours per year. A substantial majority of time should be devoted without fee to poor persons or organizations in matters designed to help poor persons. A lawyer may also participant in law reform activities, even if they might affect a client's interests.
  90. If a lawyer knows that a client may materially benefit from a decision in which the lawyer participates while engaging in law reform activities, does the lawyer have to disclose that fact to the reform organization?
    Yes, but she need not identify the client.
  91. What are a lawyer's responsibilities when a client has diminished capacity to make adequately considered decisions in connection with the representation?
    The lawyer must, as far as reasonably possible, maintain a normal lawyer-client relationship.
  92. Can the lawyer seek the appointment of a guardian for a client with diminished capacity/
    Yes, if she reasonably believes that the client cannot adequately protect himself from substantial harm.
  93. When can a lawyer take legal action on behalf of a person even though the person is unable to establish a lawyer-client relationship?
    Where the health, safety, or financial interest of a person with seriously diminished capacity is threatened with imminent and irreparable harm.

    The impaired person (or someone acting on his behalf) must have consulted the lawyer.

    The lawyer should not act unless she reasonably believes the impaired person has no other representative.

    The lawyer owes the same duties to the impaired person as she would with respect to a client.

    Normally, a lawyer should not seek compensation for such emergency actions.
  94. Can a lawyer represent a client if the representation creates a concurrent conflict of interest (i.e., if representation will involve the lawyer in representing different interests, or if there is a significant risk that representation will be adversely affected by the lawyer's personal interests or responsibilites to a current or former client or third person?
    No, unless certain conditions are met and each affected client gives informed consent in writing.
  95. When can a lawyer undertake representation despite a concurrent conflict?
    • The lawyer reasonably believes that he can competently and diligently represent each affected client;
    • The representation is not prohibited by law;
    • The representation does not involve the assertation of a claim by one client against another client represented by the lawyer in the same case pending before a tribunal and
    • Each affected client gives informed consent in writing.
  96. Can a lawyer enter into a business transaction with a client if they have differing interests in the transaction and the client expects the lawyer to exercise professional judgment for the protection of the client?
    Generally, no.
  97. When can a lawyer enter into a business transaction with a client?
    • The transaction and terms under which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing to the client in a manner that can be reasonably understood by the client;
    • The client is informed in writing of the desirability of seeking, and is given a reasonable opportunity to seek, the advice of independent counsel on the transaction; and
    • The client gives written informed consent to the lawyer's role in teh transaction.
  98. Are the lawyer and client permitted to enter into standard commercial transactions for products or services that the client generally markets to others?
    Yes, e.g., banking or brokerage services. The lawyer has no advantage in dealing with the client in such situations.
  99. Can a lawyer use information relating to representation of a client to the disadvantage of the client?
    Only if the client gives informed consent, except as permitted or required by the RPC.
  100. Can a lawyer solicit a substantial gift from a client or prepare an instrument giving a lawyer, or a person with whom the lawyer has a close, familial relationship, any substantial gift from a client (including a testamentary gift)?
    No, except where the client is related to the donee.
  101. Can a lawyer make an agreement giving the lawyer literary or media rights to an account based, in substantial part, on information relating to the representation?
    Not prior to the conclusion of representation of a client.
  102. Can a lawyer provide financial assistance to a client in connection with litigation?
    No, except that: (i) a lawyer may advance court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matter; and (ii) a lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client.
  103. Can a lawyer accept compensation for representing a client from someone other than the client?
    No, unless (i) the client gives informed consent; (ii) there is no interference with the lawyer's independence or professional judgment or with the lawyer-client relationship; and (iii) information relating to representation of a client is protected.
  104. Can a lawyer who represents two or more clients participate in making an aggregate settlement of the claims of or against the clients (or, in a criminal case, an aggregate settlement as to guilty or no-contest pleas)?
    No, unless each client gives informed consent in a signed writing. There must be disclosure of the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement or agreement.
  105. Can a lawyer make an agreement prospectively limiting the lawyer's liability to a client for malpractice?
    No, unless the client is independently represented in making the agreement.
  106. Can a lawyer settle a claim or potential claim for malpractice liability with an unrepresented client or former client?
    Not without first adivsing that person in writing that independent representation is desirable and giving that person a reasonable chance to consult with independent counsel.
  107. Can a lawyer acquire a proprietary interest in a client's cause of action or litigation subject matter?
    No, except that the lawyer may: (i) acquire a lien granted by law to secure the lawyer's fee or expense; and (ii) contract with a client for a reasonable contingent fee in a civil case.
  108. Can a lawyer, as a condition of entering or continuing any professioanl representation by the lawyer of his firm, (i) require or demand sexual relations with any person; (ii) employ coercion, intimidation, or undue influence; or (iii) in domestic relations matters, enter into sexual relations with a client during the course of the lawyer's representation of the client?

    NOTE: A conflict caused by a sexual relationship is not imputed to other lawyer's in the lawyer's firm.
  109. Can a lawyer who formerly represented a client in a matter thereafter represent another client in the same or a substantially related matter if that client's interests are materially adverse to the interests of the former client?
    No, unless the client gives informed, written consent.
  110. Can a lawyer represent a person in the same or a substantially related matter in which a firm with which the lawyer was formerly associated represented a client (i) whose interests are materially adverse to this person; and (ii) about whom the lawyer had acquired material information protected by the RPC?
    No, unless the former client gives informed, written consent.
  111. Can a lawyer who has formerly represented a client in a matter or whose present or former firm has done so thereafter (i) use information relating to the representation to the disadvantage of the former client; or (ii) reveal information relating to the representation?
    No, except as permitted or required by the RPC.

    NOTE: A lawyer can use information relating to the representation if it has become generally known.
  112. Can a lawyer who has had discussions with a prospective client use or reveal information learned in the conslutation?
  113. Can a lawyer represent a client with interests materially adverse to those of a prospective client in the same or substanitally related manner?
    No, if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter.
  114. Can a lawyer represent a client in litigation where the lawyer is likely to be a necessary witness?
    Ordinarily, no. In such a situation, the lawyer should refuse employment, or, if he has already been retained, withdraw from the case.

    • There are three exceptions to the prohibition:
    • a) If the lawyer's testimony will relate solely to an uncontested issue;
    • b) If the lawyer's testimony will concern only the nature and value of legal services rendered to the client; and
    • c) If the withdrawal of the lawyer for the purpose of testifying would result in substantial hardship to the client because of the distincitve value of the lawyer or firm to the case.
  115. When can a lawyer represent a client in litigation where the lawyer is likely to be a necessary witness?
    • The lawyer's testimony will relate solely to an uncontested issue;
    • The lawyer's testimony will concern only the nature and value of legal services rendered to the client; and
    • The withdrawal of the lawyer for the purpose of testifying would result in substantial hardship to the client because of the distincitve value of the lawyer or firm to the case.
  116. What special duties does a lawyer representing an organization have?
    The lawyer must act in the best interests of the organization and not any particular officer, employee, or other person associated with the organization. When a lawyer knows of a violation of law or legal obligation that is likely to result in substantial injury to the organization, the lawyer must report to the organization's highest authority. A failure to take appropriate action allows but does not require the lawyer to report the relevant information to appropriate persons outside the organization.
  117. Can a lawyer representing an organization also represent any of its directors, officers, employees, members, shareholders, or other constituents?
    Yes, subject to the provisions of RPC 1.7 (relating to conflict of interest-disclosure and consent requirements).
  118. Does a securities lawyer who becomes aware of credible evidence that her client is materially violating federal or state securities law have a duty to report such evidence?
    Yes, to her client's chief legal officer ("CLO"). The CLO must investigate and conclude whether a violation occured. If the securities lawyer believes that the CLO did not achieve an appropriate response, the lawyer must report the evidence to (i) the client's entire board; (ii) the board's audit committee; or (iii) a committee of outside directors. SOX permits, but does not require, the securities lawyer to reveal to the SEC confidential information that is reasonably necessary (i) to stop the client from committing a violation that will cause substantial financial injury to the client or its investors; (ii) to rectify such an injury if the lawyer's services were used to further the violation; and (iii) to prevent the client from committing or suborning perjury in an SEC matter or lying in any matter within the jurisdiction of any federal government branch.
  119. Can any of the lawyers in a firm knowingly represent a client when any one of them practicing alone would be prohibited from doing so because of a conflict of interest?
  120. What are the effects of a lawyer's termination with a firm?
    The firm is prohibited from thereafter representing a person with interests that the firm knows or reasonably should know are materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm if the firm or any lawyer remaining in the firm has information protected by RPC 1.6 (relating to confidentiality) and RPC 1.9 (relating to duties to former clients) that is material to the matter.
  121. In the case of a conflict of interest, can a disqualification be waived by the affected client or former client?
  122. Can a lawyer represent a private client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee?
    No, unless the appropriate government agency gives informed written consent.
  123. When can a lawyer in a firm knowingly undertake or continue representation in a matter in which another lawyer in that firm participated personally and substantially as a public officer or employee?
    • The disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
    • Written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this rule.
  124. Can a lawyer having what he knows to be confidential government information about a person, acquired when the lawyer was a public officer or employee, represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person?
    No. A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom.
  125. What actions can a lawyer currently serving as a public officer or employee not engage in?
    • Participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives informed written consent; or
    • Negotiate for private employment with any person who is a party or an attorney for a party in a matter in which the lawyer is participating personally and substantially.
  126. Can a lawyer who is serving as a law clerk to a judge or arbitrator negotiate for private employment?
    Yes, after so notifying the judge or arbitrator.
  127. Can a lawyer represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer, or law clerk to such a person, or as arbirtator, mediator, or other third-party neutral?
    No, unless all parties to the proceeding give written informed consent.

    However, an arbitrator selected as a partisan of a party in a multimember arbitration panel may subsequently represent that party.
  128. What is the responsibility of a lawyer serving as a third-party neutral?
    He must make it clear that he does not represent any party as a client.
  129. Under a nonprofit and court-annexed limited legal services program, can a lawyer provide short-term limited legal services to a client without expectation of a continuing representation in the matter?

    In such a case, the lawyer is subject to the RPC relating to conflict of interest with current and former clients only if she has actual knowledge that the short-term representation involves a conflict. A conflict is imputed to the lawyer only if she has actual knowledge that another lawyer associated with her in a firm is disqualified by the rules relating to conflict of interest.
  130. What must a lawyer communicate to the client before or within a reasonable time after commencing representation?
    The scope of the representaiton, the basis or rate of the fee, and expenses for which the client will be responsible. The information must be communicated in writing, but it need not be given when the lawyer regularly represents the client on the same basis or rate.
  131. What must the attorney provide to the client immediately before or within a reasonable time after the attorney commences representation if the attorney projects his fees to be $3,000 or more?
    A written retainer agreement or engagement letter, including (i) the scope of the legal services to be provided, (ii) an explanation of attorneys' fees, expenses, and billing practices; and (iii) notice of the client's right to arbitrate a fee dispute.
  132. What factors go into determining whether a lawyer's fee is reasonable?
    Time, labor, and skill required to perform the work; the customary fee within the locality for similar work; the amount involved and the result obtained; and the experience, ability, and reputation of the attorney, etc.
  133. Can a lawyer and client enter into a retainer agreement containing a reasonable minimum fee clause?
    If it is in plain alnguage and sets forth the circumstances under which such fee may be incurred and how it will be calculated.
  134. Have maximum fees for certain types of legal work been imposed in a number of jurisdictions?
    Yes, either by statute, court rules, or court decisions.
  135. Would an agreement by members of a bar association to follow a schedule of maximum fees violate the antitrust laws?
  136. What is a contingent fee?
    A fee that is dependent on the successful resolution of a client's case and payable from the judgment proceeds.
  137. What are the requirements for a contingent fee agreement?
    Must be in writing, signed by the client, and state the method by which the fee is to be determined. Contingent fees are prohibited in domestic relations matters and in representation of defendants in criminal cases. A lawyer hired on contingency, upon discharge, will be entitled to the reasonable value of the services performed.
  138. Is a contingent fee improper simply because the client can afford to pay on some other basis or the case is a clear winner?
    No, but in those situations the lawyer should give the client a chance to make an informed choice as to the fee arrangement.
  139. In what matters are contingent fees prohibited?
    Domestic relations matters and criminal cases.
  140. Can a lawyer enter into an arrangement for, charge, or collect any fee in a domestic realtions matter if a written retainer agreement has not been signed by the lawyer and the client setting forth the nature and details of the fee arrangement?
  141. When can a lawyer obtain a security interest to secure his fee in a domestic relations matter?
    • The retainer agreement provides that a security interest may be sought;
    • Notice of an application for a security interest has been given to the other spouse; and
    • The court grants approval for the security interest.
  142. Must the lawyer provide a prospective client with a Statement of the Client's Rights and Responsibilities at the initial conference and prior to signing a written retainer agreement?
  143. Are referral fees unethical?
    Yes. However, division of fees with an outside attorney is permissible under certain circumstances.
  144. When is division of fees with an outside attorney permisislbe?
    • The division is proportional to the services performed by each attorney; or
    • Each attorney assumes joint responsibility for the representation; and
    • The client agrees in writing to the arrangement; and
    • In either case, the total fee must not be excessive.
  145. What must a client have in order to ratify an attorney's fee agreement?
    • A full understanding of the facts that made the agreement voidable, and
    • Knowledge of her rights as a client.
  146. In a New York civil matter, are fee disputes between attorney and client subject to arbitration at the election of the client?
    Yes, with many exceptions, including all claims involving substantial legal questions (including professional malpractice or misconduct).
  147. When are fee disputes between attorney and client not subject to arbitration at the election of a client?
    • Representation in criminal matters;
    • Amounts in disputes involving a sum of less than $1,000 or more than $50,000;
    • Claims involving substantial legal questions, including professional malpractice or misconduct;
    • Claims against an attorney for damages or affirmative relief other than adjustment of the fee;
    • Disputes where the fee to be paid by the client has been determined pursuant to statute or rule and allowed as of right by a court, or where the fee has been determined pursuant to a court order;
    • Disputes where no attorney's services have been rendered for more than two years;
    • Disputes where the attorney is admitted to practice in another jurisdiciton and maintains no office in New York, or where no material portion of the services was rendered in New York; and
    • Disputes where the request for arbitration is made by a person who is not the client of the attorney or the legal representative of the client.
  148. What are the basic obligations of competence and care (which a lawyer owes to his client)?
    Comeptent representation requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation. In addition, the lawyer must act with reasonable diligence and promptness in representing a client, and must keep a client reasonably informed about the status of a matter and promptly comply with reasonable requests for information.
  149. In an emergency, can a lawyer assist a client even if the lawyer lacks competence in the particular area?
    Yes. However, the assistance cannot exceed whatever is reasonably necessary to meet the emergency.
  150. What is the attorney-client privilege?
    An evidentiary privilege that allows a client to refuse to testify and prevent his attorney from testifying in court about communications between the two.
  151. What does the attorney-client privilege apply to?
    Confidential communications made by an individual to an attorney who is sought out for the purpose of obtaining legal advice.
  152. What does the attorney-client privilege cover with respect to a corporate client?
    Confidential communications between the attorney and a high-ranking corporate official, as well as communications between the attorney and other corporate employees concerning a subject within the scope of the employee's duties if the employee (i) communicates with the attorney at the direction of the employee's superior, and (ii) knows that the communication is to help the corporation get legal advice.
  153. Does the attorney-client privilege apply to anything the attorney discovers on her own?
    No, only communications between the parties.
  154. If the substance of a privileged communication is revealed to another who is not a party to the privileged relationship, is the privilege destroyed?
  155. Does the attorney-client privilege extend to communicats made in the presence of essential third parties, such as law clerks and secretaries?
  156. If a client turns over to the attorney documents or other evidence relevant to the case, is that material protected by the attorney-client privilege?
    No. An item does not become privileged merely because it was given to an attorney. If the item would be discoverable in the client's hands, it is equally discoverable in the attorney's hands.
  157. How long does the attorney-client privilege continue?
    Indefinitely, even if the attorney-client relationship has terminated. The privilege even survives the death of the client.
  158. What is the duty of confidentiality?
    Generally, a lawyer must not reveal information relating to the representation of a client.

    The confidentiality requirement applies even if the information is acquired before or after the relationship existed. It does not require the client to indicate information that is to be confidential or permit the lawyer to speculate whether particular information might be embarassing or detrimental. The duty even continues to apply after the lawyer-client relationship has terminated.
  159. When can a lawyer revela information relating to the information despite the duty of confidentiality?
    • If the client gives informed consent;
    • If disclosure is impliedly authorized to carry out the representation;
    • Disclosure is necessary to prevent reasonably certain deaht or substantial bodily harm;
    • Discosure is necessary to prevent a client from committing a crime or fraud;
    • Disclosure is required by court order, ethics rule, or statute;
    • Disclosure is necessary to estalbish a claim or defense on behalf of the lawyer in a controversy between the lawyer and client;
    • Disclosure is necessary to estalbish a defense to a noncriminal charge or civil claim against the lawyer based on conduct in which the client was involved;
    • Disclosure is necessary to respond to allegations in any proceeding concerning the lawyer's representation of the client; or
    • Disclosure is necessary to obtain confidential legal advice about the lawyer's personal duty to comply with ethics rules.
  160. What are the differences between the attorney-client privilege and the duty of confidentiality?
    The attorney-client privilege applies only to communications made during the course of the relationship and covers only the attorney's formal testimony. The duty of confidentiality protects form any disclosure all information related to the representaiton, however and whenever derived.

    The duty of confidentiality is much broader!
  161. When can a lawyer provide an evaluation of a matter affecting a client for use by someone other than the client?
    • The lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client; and
    • The client gives informed consent if the lawyer knows or reasonably should know that the evaluation is likely to materially harm, the client's interests.
  162. Describe a lawyer's duty to protect a client's property.
    A lawyer must hold property of clients or third persons separate from the lawyer's own property; must keep records of client funds; and must keep the client informed and deliver funds to the client. Client funds must be maintained in a banking institution that provides a dishonored check report when a check presented against the account is dishonored due to insufficient funds.
  163. Describe interest on lawyer account ("IOLA") funds.
    Funds that are nominal in amount or held for a short period of time may be placed in an unsegregated interest-bearing account, with the interest being paid to legislatively approved organizations that provide legal assistance to hte poor. In determining whether client funds should be deposited in an IOLA account, the lawyer should consider: (i) the amount of interest the funds are likely to earn, (ii) the cost of establishing and administering the acocunt, and (iii) the capability of the financial institution to calculate and pay interest to the individual clients.
  164. What is the lawyer's duty as adviser?
    A lawyer must exercise independent professional judgment and render candid advice.
  165. Must a lawyer abide by a client's decisions concerning the objections of the representation?
    Yes. The lawyer must also consult with the client as to the means of pursuing those objections. In a criminal case, it is the client's decision, after consultation with the lawyer, as to what plea to enter, whether to waive a jury trial, and whether the client will testify.
  166. What are the decisions to be made by the client?
    • Acceptance or rejection of settlement offers;
    • Plea to be entered in a criminal case;
    • Waiver of jury trial in a crimianl case;
    • Whether to testify in a criminal case
  167. Does representation of a client constitute an endorsement of the client's political, economic, social, or moral views or activities?
  168. Can a lawyer counsel or assist a client in conduct that the lawyer knows is criminal or fraudulent?
    No, a lawyer must act within bounds of law.

    The lawyer who believes his client is involved in lawful conduct must withdraw when he discovers that his advice is being used by the client to commit a crime or fraud.
  169. What must a lawyer do if he discovers that his advice is being used by a client to commit a crime or fraud?
  170. Can a lawyer discuss a proposed course of conduct with a client, and explain that the conduct would be unalwful?
    Yes. But the lawyer must not recommend illegal conduct or instruct the client on how to break the law and get away with it.
  171. Would the prohibition against recommending unlawful conduct prevent a lawyer from testing the scope or validity of a particular law?
  172. Can a lawyer communicate about the subject of the representation with a person he knows to be represented by counsel in the matter?
    No, unless the person's counsel has granted permission or he is otherwise authorized by law to make such direct communication.

    However, this rule does not prohibit communications with a represented person, or an employee or agent of such person, concerning matters outside the representation.
  173. Which persons in an organization must the lawyer get the consent of the organization's counsel before communicating with?
    • A person who supervises, directs, or regularly consults with the organization's lawyer concerning the matter;
    • A person with authority to obligate the organization with respect to the matter; or
    • A person whose act or omission in connection with the matter may be imputed to the organization for purposes of civil or criminal liability.
  174. When a person does not have counsel of his own, may a lawyer representing a client communicate with the person directly?
    Yes. However, when dealing with the unrepresented person, the lawyer must not state or imply that she is disinterested and must make reasonable efforts to correct a misunderstanding as to her role in the matter.

    If the lawyer knows or reasonably should know of a reasonable possibility of conflict between the interests of the lawyer's client and the unrepresented person, the lawyer may only advise the unrepresented person to obtain counsel.
  175. In representing a client, can a lawyer use (i) means that have no substantial purpose other than to embarrass or harm a third person; or (ii) methods of obtaining evidence that violate the legal rights of such a person?
    Of course not.
  176. What must a lawyer do if he receives a document relating to his representation of a client that he knows or reasonably should know was sent inadvertently?
    Promptly notify the sender.
  177. In representing a client, can a lawyer knowingly make a false statement of material fact of law to a third person?
  178. Can a lawyer make frivolous claims or defenses?
  179. Must a lawyer make reasonable efforts to expedite litigation consistent with the interests of the client?
  180. What must a lawyer not knowingly do in order to maintain candor toward the tribunal?

    NOTE: These duties continue to the conclusion of the proceding (when a final judgment is affirmed on appeal or the time for taking an appeal has passed).
    • Make a false statement of fact or law to a tribunal;
    • Fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;
    • Fail to disclose to the tribunal controlling legal authority known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or
    • Offer false evidence that the lawyer knows to be false.
  181. Does an attorney have any obligation to volunteer harmful facts?
    No. The opposing side has many fact-finding tools at its disposal (e.g., disovery proceedings).
  182. Can a lawyer offer evidence that she knows is false?
  183. If only part of a witness's testimony is known to be false, can the lawyer allow the witness to give the entire testimony?
    No, he may allow the witness to testify to the truthful part only.
  184. Does a lawyer have a duty to try to convince a client not to offer evidence known to be false?

    If the client insists that the evidence be offered, the lawyer must refuse, and may seek permission to withdraw.
  185. When is withdrawal required?
    If the relationship is so strained that hte lawyer can no longer render competent representation.
  186. If a lawyer reasonably believes evidence is false, must she refuse to offer it?
    No. She may refuse to offer it (except for the testimony of a defendant in a criminal case).
  187. What are a lawyer's obligations when she offers evidence that she later discovers to be false?
    She must take reasonable remedial measures, such as seeking the witness's cooperaiton in correcting the false evidence. If this fails, the lawyer must take further remedial action. As a last resort, the lawyer must disclose enough information for the tribunal to set the matter straight, even if this means disclosing confidential information.
  188. If a defense lawyer reasonably believes, but does not know, that the testimony of a criminal defendant will be false, does he have to allow the defendant to testify?
    Yes. However, if the lawyer knows that the testimony will be false, he must take reasonable remedial measures.
  189. What are required disclosures in an ex parte proceeding?
    A lawyer must inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse to his client.
  190. What must a lawyer not to in order to be fair to opposing party and counsel?
    • Suppress any evidence that the lawyer of the client has a legal obligation to reveal or produce;
    • Advise or cause a person to hide or leave the jurisdiction for the purpose of making the person unavailable as a witness;
    • Conceal or knowingly fail to disclose that which the lawyer is required by law to reveal;
    • Knowingly use perjured testimony or false evidence;
    • Participate in the creation of preservation of evidence when the lawyer knows or it is obvious that the evidence is false; or
    • Knowingly engage in other illegal conduct or conduct contrary to the RPC.
  191. What must a lawyer not do to avoid imprior contact with jurors and the court?
    • Seek to influence a judge, juror, prospecitve juror, or any other official by means prohibited by law;
    • Communicate ex parte with such a person during the proceeding except as permitted by law;
    • Engage in conduct intended to disrupt a tribunal; or
    • Communicate wiht a juror or prospective juror after discharge fo the jury if prohibited from doing so by law or court order, the judge has made known a desire not to communicate, or hte communication involves misrepresentation, coercion, duress, or harassment.
  192. Can a lawyer represent a client before a legislative or administrative tribunal in a nonadjudicative proceeding?
    Yes, but he must disclose that the appearance is in a representative capacity, except when the lawyer seeks information from an agency that is available to the public.
  193. Can a lawyer who is participating or who has participated in the investigation or litigation of a matter make an extrajudicial statement that she knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of material prejudicing an adjudicative proceeding in the matter?
  194. Is a lawyer permitted to make a statement that a reasonable lawyer would beleive is necessary to protect a client from the substantial undue prejudicial effect of recent publicitly not initiated by the lawyer or her client?
  195. When must a lawyer decline representation?
    If the lawyer knows or reasonably should know that such person wishes to: (i) bring a legal action, raise a defense, or assert a position in a matter, or otherwsie have steps taken for such person, merely for the purpose of harassing or maliciously injuring another; or (ii) present a claim or defense in a matter that is not warranted under existing law, unless it can be supported by a good faith argument for an extension, modification, or reversal of existing law.
  196. With regard to trial publicity, what are permitted references in civil cases?
    • The claim, offense, or defense involved;
    • Information contained in the public record;
    • That an investigation is in progress;
    • The scheduling or result of any step in litigation;
    • A requst for assistance in obtaining evidence;
    • A warning of danger concerning the behavior of a person if there is a likelihood of substantial harm to an individual or the public interest.
  197. With regard to trial publicity, what are references likely to have a prejudicial effect in civil cases?
    • The identity of witnesses or the expected testimony of a party or witness;
    • Statements relating to character, credibility, reputation, or criminal record of a party, suspect, or witness;
    • The identity or nature of physical evidence expected to be presented;
    • The performance or results of any examination or test, or the refusal of a person to submit to examination or testing;
    • Information the lawyer knows is likely inadmissible at trial and creates a substantial risk of prejudice.
  198. What regard to trial publicity, what are permitted references in criminal cases?
    • The identity, age, residence, occupation, and family status of the accused;
    • The fact, time, and place of an accused's arrest; pursuit and use of weapons; and description of physical evidence seized;
    • The identity of the investigating and arresting officers or agencies;
    • Information necessary to aid in apprehension.
  199. With regard to trial publiclty, what are references likely to have a prejudicial effect in criminal cases?
    • The fact that a defendant is charged with a crime unless accompanied by a presumption that he is presumed innocent;
    • Any opinion as to the guilt or innocence of a defendant or suspect in a criminal case.
  200. When must a lawyer withdraw from representing a client (mandatory withdrawal)?
    After obtaining permission if required by the tribunal's rules, withdrawal is mandatory (or representation should be declined) if: (i) the representation will result in violation of the RPC or other law; (ii) the lawyer's physical or mental condition materially impairs the lawyer's ability to represent the client; (iii) the lawyer is discharged; or (iv) the lawyer knows or reasonably should know that the client is bringing the legal action, raising the defense, or asserting a position in the matter, or is otherwise having steps taken, merely for the purpose of harassing or maliciously injuring another.
  201. What may a lawyer withdraw from representing a client (permissive withdrawal)?
    Withdrawal can be accomplished without material adverse effect on the interests of the client, or: (i) The client persists in a course of action involving the lawyer's services that hte lawyer reasonably believes is criminal or fraudulent; (ii) The client has used the lawyer's services to perpetrate a crime of fraud; (iii) A client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement; (iv) The client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled; (v) The representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or (vi) Other good cause for withdrawal exists.
  202. When must a lawyer continue representation notwithstanding good cause for terminating the representation?
    When ordered to do so by a tribunal.
  203. What must a lawyer do upon termination of representation?
    Take steps to the extent reasonably practicable to protect a client's interests.
  204. Are lawyers acting in their private business or personal capacities still bound by professional standards of conduct?
    Yes, and can be disciplined for conduct violating such standards.
  205. How should a lawyer determine his conduct when explicit ethical guidelines do not exist?
    Act in a manner that promotes public confidence in the integrity and efficiency of the legal system and profession.
  206. Can a lawyer make a statement that he knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications of a judge, adjudicatory or public legal officer, or of a candidate for election or appointment to judicial or legal office?
  207. Does a lawyer who is a candidate for judicial officer need to comply with the applicable provisions of the Code of Judicial Conduct?
  208. What are two special rules delineating the special role of the public prosecution?
    • The public prosecutor or government lawyer must avoid bringing charges when he knows, or it is obvious that, the charges as not supported by probable cause; and
    • He must make timely disclosure to the defense of all evidence known to be of an exculpatory nature, or evidence taht would mitigate the degree of the offense or reduce the punishment (Brady rule).
  209. What must a lawyer do if he has knowledge that another lawyer has committed a violation of the RPC that raises a substantial question as to that lawyer's honesty or fitness as a lawyer in other respects?
    Inform the appropriate professional authority.

    NOTE: This rule does not require disclosure of confidential information or information gained while participating in an approved lawyers' assistance program dealing with substance abuse problems.
  210. What must a lawyer do if he has knowledge that a judge has committed a violation of the rules of judicial conduct that raises a substantial question as to that judge's honesty or fitness as a judge in other respects?
    Inform the appropriate professional authority.

    NOTE: This rule does not require disclosure of confidential information or information gained while participating in an approved lawyers' assistance program dealing with substance abuse problems.
Card Set
Professional Responsibility
NY Bar Exam