Maintaining the Integrity of the Profession

Question 1

What are grounds for misconduct?

Answer 1

1. Violating or attempting to violate the ethics rules or knowingly assisting or inducing another to do so
2. Committing a criminal act that reflcts adversely on the lawyers honesty, trustworthiness, or fitness as a Lawyer
3. Engaging in conduct prejudicial to the administration of justice
4. Stating or implying an ability to influence improperly a government agency/official
5. Knowingly assisting a judge in conduct that is a violation of the rules of judicial conduct or other law

Question 2

When is a lawyer subject to discipline for the misconduct of others?

Answer 2

In general - L is subject to discipline for misconduct by others if L (i) orders the misconduct, (ii) ratifies it with knowledge of the specific conduct, or (iii) is someone with direct supervisory authority over another L or law-related employee, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action

Question 3

What duties to partners in a law firm have with regard to the conduct of other lawyers in the firm?

Answer 3

Partners must make reasonable efforts to ensure the firm has measures in place that give reasonable assurance that all Lawyers and non-lawyers in the firm conform to ethics rules

Question 4

What duties does a direct supervisor have?

Answer 4

Lawyers with direct supervisory authority over another L or non-lawyer must make reasonable efforts to ensure that the supervised person’s conduct conforms to the ethics rules

Question 5

What are the duties of subordinate lawyers?

Answer 5

Subordinates are not in violation of the ethics rules if acting in accordance with supervising lawyer’s reasonable resolution of an arguable question of professional duty

Question 6

What are the rules for reporting misconduct of lawyers?

Answer 6

ABA - if L has knowledge of misconduct by another L, L must report it if it has to do with material matters of clear and weighty importance that raise a substantial question as to the lawyer’s honesty or professional fitness

CA - no requirement to report the misconduct of other Ls, but must report self for misconduct

Question 7

What are the duties of Lawyers with respect to the unauthorized practice of law?

Answer 7

L is obligated to ensure that only authorized persons engage in the practice of law and are subject to discipline for assisting non-lawyers in the unlicensed practice of law

Question 8

What kinds of activities constitute the unauthorized practice of law?

Answer 8

1. giving legal advice
2. appearing on behalf of a client before a judge
3. appearing as a representative of the client at a deposition of discovery matter
4. negotiating or transacting any matter for or on behalf of the client with 3rd parties
5. receiving, disbursing, or otherwise handling client funds
6. engage in activities that constitute the practice of law

Question 9

What activities may a non-lawyer do?

Answer 9

1. Legal work of a preparatory nature, such as legal research, assemblage of data and other necessary information, drafting of pleadings, briefs, and other similar documents
2. Direct communication with the client or third parties regarding scheduling, billing, updates, or confirming receipt of correspondence
3. Accompanying an active lawyer in attending a deposition or other discovery matter for the limited purpose of providing clerical assistance