Lawyer's Duty to the Courts

Question 1

Rule 3.5(a): Impartiality and Decorum of the Tribunal

Answer 1

(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law;

Question 2

Rule 3.5(b): Impartiality and Decorum of the Tribunal

Answer 2

(b) communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order;

Question 3

Rule 3.5(c): Impartiality and Decorum of the Tribunal

Answer 3

(c) communicate with a juror or prospective juror after discharge of the jury if:
- (1) the communication is prohibited by law or court order;
- (2) the juror has made known to the lawyer a desire not to communicate; or
- (3)the communication involves misrepresentation, coercion, duress or harassment; or

Question 4

Rule 3.5(d): Impartiality and Decorum of the Tribunal

Answer 4

(d) engage in conduct intended to disrupt a tribunal.

Question 5

Rule 1.12(a): Former Judge, Arbitrator, Mediator, or other 3rd Party Neutral

Answer 5

(a) Except as stated in paragraph (d), a lawyer shall not 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 an arbitrator, mediator or other third-party neutral,

Question 6

Rule 1.12(b): Former Judge, Arbitrator, Mediator, or other 3rd Party Neutral

Answer 6

(b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral.
- A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer.

Question 7

Rule 1.12(c): Former Judge, Arbitrator, Mediator, or other 3rd Party Neutral

Answer 7

(c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless:
(1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
(2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule.

Question 8

Rule 1.12(d): Former Judge, Arbitrator, Mediator, or other 3rd Party Neutral

Answer 8

(d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party

Question 9

Fed. R Civ. P Rule 11

Answer 9

Under 11(b) when a lawyer signs a pleading or motion and “presents” it to a court, the lawyer is certifying that after an “inquiry, reasonable under the circumstances” the document has no:

• Improper purpose (harass, delay, expense)
• Frivolous legal contentions
• Factual contentions that lack support and aren’t likely to have support, and
• Denial of facts w/o justification

Question 10

Rule 3.1: Meritorious Claims and Contentions

Answer 10

• A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law.
• A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established.

Question 11

Rule 3.3(a): Candor towards the Tribunal

Answer 11

(a) A lawyer shall not knowingly:
(1) make a false statement of fact or law to a tribunal OR fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;
(2) fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or

3) offer evidence that the lawyer knows to be false.
• If a lawyer, the lawyer’s client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.
• A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false.

Question 12

Rule 3.3(b): Candor towards the Tribunal

Answer 12

(b) A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.

Question 13

Rule 3.3(c): Candor towards the Tribunal

Answer 13

(c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6

Question 14

Rule 3.3(d): Candor towards the Tribunal

Answer 14

(d) In an ex parte proceeding, a lawyer shall 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.

Question 15

Rule 3.4(a): Fairness to Opposing Party and Counsel

Answer 15

(a) unlawfully obstruct another party’ s access to evidence or 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;

Question 16

Rule 3.4(b): Fairness to Opposing Party and Counsel

Answer 16

(b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;

Question 17

Rule 3.4(c): Fairness to Opposing Party and Counsel

Answer 17

(c) knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists;

Question 18

Rule 3.4(d): Fairness to Opposing Party and Counsel

Answer 18

(d) in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party;

Question 19

Rule 3.4(e): Fairness to Opposing Party and Counsel

Answer 19

(e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or

Question 20

Rule 3.4(f): Fairness to Opposing Party and Counsel

Answer 20

(f) request a person other than a client to refrain from voluntarily giving relevant information to another party unless:
(1) the person is a relative or an employee or other agent of a client; and
(2) the lawyer reasonably believes that the person’s interests will not be adversely affected by refraining from giving such information.

Question 21

Rule 3.7(a): Lawyer as a Witness

Answer 21

(a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless:
(1) the testimony relates to an uncontested issue;
(2) the testimony relates to the nature and value of legal services rendered in the case; or
(3) disqualification of the lawyer would work substantial hardship on the client.

Question 22

Rule 3.7(b): Lawyer as a Witness

Answer 22

(b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer’s firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9.

Question 23

Rule 3.9: Advocate in Nonajudicative Proceedings

Answer 23

A lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of Rules 3.3(a) through (c), 3.4(a) through (c), and 3.5.

Question 24

Rule 3.6(a): Trial Publicity

Answer 24

(a) A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.

Question 25

Rule 3.6(b): Trial Publicity

Answer 25

(b) Notwithstanding paragraph (a), a lawyer may state:
(1) the claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved;
(2) information contained in a public record;
(3) that an investigation of a matter is in progress;
(4) the scheduling or result of any step in litigation;
(5) a request for assistance in obtaining evidence and information necessary thereto;
(6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest; and

(7) in a criminal case, in addition to subparagraphs (1) through (6):
• (i) the identity, residence, occupation and family status of the accused;
• (ii) if the accused has not been apprehended, information necessary to aid in apprehension of that person;
• (iii) the fact, time and place of arrest; and
• (iv) the identity of investigating and arresting officers or agencies and the length of the investigation.

Question 26

Rule 3.6(c): Trial Publicity

Answer 26

(c) Notwithstanding paragraph (a), a lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer’s client.
- A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity.

Question 27

Rule 3.6(d): Trial Publicity

Answer 27

(d) No lawyer associated in a firm or government agency with a lawyer subject to paragraph (a) shall make a statement prohibited by paragraph (a).

Question 28

Rule 4.1(a): Truthfulness in Statements to Others

Answer 28

In the course of representing a client a lawyer shall not knowingly:

(a) make a false statement of material fact or law to a third person; or

Question 29

Rule 4.1(b): Truthfulness in Statements to Others

Answer 29

In the course of representing a client a lawyer shall not knowingly:

(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.

Question 30

Rule 4.2: Communications with Person Represented by Counsel

Answer 30

In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter,

unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.

Question 31

Rule 4.3: Dealing w/ Unrepresented Person

Answer 31

• In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested.
• When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer’s role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding.
• The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.

Question 32

Rule 4.4(a): Respect for Rights of Third Persons

Answer 32

(a) In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person

Question 33

Rule 4.4(b): Respect for Rights of Third Persons

Answer 33

(b) A lawyer who receives a document or electronically stored information relating to the representation of the lawyer’s client and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender.