Professional Responsibility

Question 1

You must reject or withdraw from a case if

Answer 1

1. representation will result in violation
2. physical or mental condition substantially impairs ability
3. discharged by client

Question 2

You may reject or withdraw from a case if

Answer 2

1. it can be accomplished without material adverse effect on client
2. good cause

Question 3

In a court proceeding, counsel of record must not withdraw except by

Answer 3

leave of court after complying with applicable notice requirements

Question 4

Client has final decision on matters of

Answer 4

1. settlement
2. pleas
3. waiving jury trial in criminal case
4. testifying in criminal case

Question 5

On termination of attorney-client relationship, what are the obligations of the attorney?

Answer 5

1. give reasonable notice to client
2. allow time for employment of other counsel
3. refund any unearned advance payments
4. return documents to the client

Question 6

What laws govern securities lawyers?

Answer 6

Federal laws

Question 7

If there is action or potential action that is adverse to a securities organization, what must a securities lawyer do?

Answer 7

Report up the chain of authority

Question 8

If it is reasonably necessary to prevent substantial injury to the organization or its investors, what can a securities lawyer do if reporting up fails?

Answer 8

disclose the matter to the SEC without client consent

Question 9

When representing a client, a lawyer must act competently. What does this mean?

Answer 9

Acting with legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.

Question 10

If a lawyer doesn’t know the law, a lawyer must decline to take on representation unless they can

Answer 10

1. learn it without undue expense or delay to the client; or
2. consult with a lawyer who is competent in the area

Question 11

Incompetence exposes a lawyer to

Answer 11

1. discipline by the bar
2. disqualification in a litigated matter
3. civil malpractice liability

Question 12

What are the difference between a malpractice action and a disciplinary action?

Answer 12

1. Malpractice action is a civil case brought by a plaintiff for money damages. The plaintiff must prove a breach of duty of care and recover only if they suffered damages.
2. A disciplinary action is administrative and brought by the State Bar to protect the public even if the client isn’t harmed

Question 13

When representing a client, a lawyer must act diligently. What does this mean?

Answer 13

1. control workload so each matter can be adequately handled and act with zeal in advocacy
2. must see the matter through to completion unless there are good reasons not to
3. must not intentionally prejudice or damage a client during the course of the professional relationship

Question 14

When representing a client, a lawyer must communicate. What does this mean?

Answer 14

1. explain the matter and convey significant developments
2. inform the client of plea offers and settlement offers
3. promptly comply with all reasonable requests for information from the client

Question 15

Unless the client consents or some exception applies, a lawyer must not reveal what information?

Answer 15

1. info protected by the attorney-client privilege
2. any information the client has requested not be shared or any info that would be embarrassing or detrimental to the client

Question 16

The duty of confidentiality attaches to

Answer 16

prospective clients and continues even after the attorney-client relationship has terminated and even after the client or prospective client has died.

Question 17

Where an exception applies, the lawyer may disclose a client’s confidential information only

Answer 17

to the extent reasonably necessary to meet each exception

Question 18

What are the mandatory exceptions to the duty of confidentiality?

Answer 18

1. prevent crime that is reasonably certain to result in serious injury or financial harm

Question 19

What are the permissive exceptions to the duty of confidentiality?

Answer 19

1. to prevent reasonably certain death or substantial bodily harm because there is no crime involved or to prevent
2. reveal client’s fraud
3. consent or implied authority