Deck 3: Ethics and Professional Responsibility

Question 1

Which of the following are involved in determining what rules should govern attorneys?

A)Bar associations
B)State supreme courts
C)State legislatures
D)All of these choices are correct

Answer 1

D

Question 2

Which of the following directly regulates paralegals?

A)Professional paralegal organizations
B)The American Bar Association
C)State bar associations
D)None of these choices are correct

Answer 2

D

Question 3

Rules limiting who can practice law are mainly written by:

A)Paralegals
B)The state supreme courts
C)Lawyers
D)Senators

Answer 3

C

Question 4

Which of the following entities are key participants in the regulation of attorneys?

A)State bar associations
B)State supreme courts
C)State legislatures
D)The United States Supreme Court
E)All of these choices are correct

Question 5

Who will be affected if a paralegal violates a rule governing attorneys?

A)The paralegal
B)The attorney
C)The client
D)All of these choices are correct

Question 6

States have educational and licensing requirements for lawyers to:

A)Ensure that only smart people become lawyers
B)Ensure that lawyer salaries remain high
C)Ensure that anyone practicing law is competent to do so
D)None of these choices are correct

Question 7

How does the regulation of attorneys protect the public?

A)By ensuring that an attorney is competent to practice
B)By creating state bar associations
C)By imposing specific ethical requirements
D)By ensuring that an attorney is competent to practice and by imposing specific ethical requirements

Question 8

In which of the following states must a prospective attorney pass a state bar examination before being admitted to practice?

A)Texas
B)Alabama
C)Ohio
D)All of these choices are correct

Question 9

In which of the following states must a prospective attorney pass a state bar examination before being admitted to practice?

A)Oklahoma
B)Kentucky
C)Ohio
D)Oklahoma and Kentucky
E)All of these choices are correct

Question 10

Which of the following professions have established minimum standards and levels of competence for its members?

A)Lawyers
B)Engineers
C)Physicians
D)All of these choices are correct

Question 11

Why do states have rules regulating attorneys?

A)To protect the public interest by defining specific ethical requirements for attorneys
B)To ensure that anyone practicing law is competent to do so by establishing licensing and educational requirements
C)To ensure that each attorney has graduated from a local law school
D)All of these choices are correct
E)To protect the public interest by defining specific ethical requirements for attorneys and to ensure that anyone practicing law is competent to do so by establishing licensing and educational requirements

Question 12

A feature that distinguishes professions from other types of occupations is:

A)Indirect regulation
B)Self-regulation
C)Nonregulation
D)Indirect regulation and nonregulation

Question 13

All states require that prospective lawyers before being admitted to practice.

A)Join a local bar association
B)Pass a state bar exam
C)Obtain a Ph.D.in a law-related subject
D)Work as a paralegal for at least a year

Question 14

Licensing of attorneys is accomplished at what level?

A)Each state sets licensing requirements for attorneys
B)The federal government sets licensing requirements for the states
C)Licensing requirements are set by a consensus of the states and federal government
D)Local bar associations regulate licensing of attorneys

Question 15

In which of the following states is it unnecessary for a prospective attorney pass a state bar examination before being admitted to practice?

A)Texas
B)Alabama
C)Ohio
D)None of these choices are correct

Question 16

In many states, the ultimate regulatory authority is:

A)The state trial court
B)The state bar association
C)The state supreme court
D)The state legislature

Question 17

Compared to lawyers, paralegals:

A)Are subject to less regulation
B)Are subject to more regulation
C)Are not regulated at all
D)Receive higher salaries

Question 18

Which of the following indirectly regulates paralegals?

A)Professional paralegal organizations
B)The American Bar Association
C)State bar associations
D)All of these choices are correct

Question 19

is best described as regulation of the conduct of a professional group by members of the group themselves, by establishing ethical or professional standards of behavior with which members of the group must comply.

A)Licensing
B)Self-regulation
C)Certification
D)Group regulation

Question 20

Which of the following describes the role of most state supreme courts in regulating the legal profession?

A)The justices determine the licensing requirements
B)The justices determine when an attorney's license will be suspended or revoked
C)The justices issue orders requiring that ethical rules become the law within the state
D)All of these choices are correct

Question 21

New York still follows the:

A)Model Code of Professional Responsibility
B)Ethical Considerations
C)Model Rules of Professional Conduct
D)Disciplinary Rules

Question 22

In the ABA Model Code of Professional Responsibility, the "Ethical Considerations" describe:

A)Behavior that is required by law
B)Behavior that is ideal, but not necessarily required by law
C)Behavior for all non-attorneys involved in legal practice
D)None of these choices are correct

Question 23

Engaging in actions defined by a state legislature as constituting the "practice of law" without the legal authorization to do so describes which of the following?

A)Licensing
B)Malpractice
C)Unauthorized practice of law
D)Self-regulation

Question 24

The American Bar Association (ABA) is:

A)A mandatory national bar association
B)A voluntary national bar association
C)An international bar association
D)A bar association for paralegals

Question 25

is a disciplinary sanction in which an attorney is scolded for his or her violation of the ethical rule; it is the mildest sanction for an ethical violation.

A)Disbarment
B)Suspension
C)A reprimand
D)Disbarment and a reprimand

Question 26

Lawyers join together in professional groups called at the local, state, and national levels to discuss issues affecting the legal profession and to decide on standards of professional conduct.

A)Bar associations
B)Courts
C)Legislatures
D)Clubs

Question 27

is a serious disciplinary sanction in which the attorney is prohibited from practicing law in the state for a given period of time, such as one month or one year, or for an indefinite period of time.

A)Disbarment
B)Suspension
C)A reprimand
D)Disbarment and a reprimand

Question 28

A major step toward ethical regulation was taken in 1908, when the ABA approved the , which consisted of 32 ethical principles.

A)Model Code of Professional Responsibility
B)Canons of Ethics
C)Rules of Law
D)Common Law Ethics

Question 29

Most states have adopted ethical codes based on the:

A)Model Code of Professional Responsibility
B)Ethical Considerations
C)Model Rules of Professional Conduct
D)Disciplinary Rules

Question 30

An attorney must receive a bachelor's degree from a college or university, graduate from an accredited law school, take and pass a state bar examination, and pass an extensive background investigation in order to:

A)Be directly regulated
B)Obtain a license to practice law
C)Be indirectly regulated
D)All of these choices are correct

Question 31

With regard to advertising their services to the public, lawyers:

A)May put whatever they want in an ad
B)Cannot advertise their services to the public
C)Can advertise on TV, billboards, radio, and the Internet, but with some restrictions
D)Can only advertise in print

Question 32

Which of the following states uses the Model Code of Professional Responsibility?

A)California
B)Maine
C)New York
D)All of these choices are correct

Question 33

Which of the following might prevent a prospective attorney from being permitted to practice law?

A)An illegal act committed by the candidate in the past
B)A bad grade in an important course in law school
C)Marital status
D)Sexual orientation

Question 34

State bar examinations test knowledge of which of the following?

A)State law
B)Multistate law
C)Statistics
D)State law and multistate law

Question 35

The ABA Model Code of Professional Responsibility has canons.

A)Ten
B)Twelve
C)Nine
D)Three

Question 36

The mildest sanction imposed for attorney violations of the rules governing professional conduct is a:

A)Disbarment
B)Warning
C)Reprimand
D)Scolding

Question 37

Restrictions on lawyers advertising their services to the public were relaxed because:

A)State supreme courts determined them to be unconstitutional
B)The United States Supreme Court determined them to be an unconstitutional limitation on attorneys' rights to free speech
C)The United States Supreme Court determined them to be an unconstitutional limitation on attorneys' rights to freedom of religion
D)The ABA decided the restrictions were interfering with lawyers' business

Question 38

The state bar association is called a(n):

A)Unified bar
B)Joint bar
C)Complete bar
D)Required bar

Question 39

Which of the following are ethical rules created by the ABA?

A)The Model Code of Professional Responsibility
B)The NALA Code of Ethics and Professional Responsibility
C)The Model Rules of Professional Conduct
D)The NFPA Model Code of Ethics and Professional Responsibility
E)The Model Code of Professional Responsibility and the Model Rules of

Question 40

The United States Supreme Court has decided issues relating to attorney conduct, such as removing the prohibition against:

A)Advertising
B)Free speech
C)The unauthorized practice of law
D)Self-regulation

Question 41

Professional misconduct or negligence-the failure to exercise due care-on the part of a professional, such as an attorney or a physician, is called:

A)Disbarment
B)Malpractice
C)Suspension
D)Damages

Question 42

To protect themselves against possible claims of malpractice, freelance paralegals and independent paralegals should obtain:

A)Health insurance
B)Disability insurance
C)Property insurance
D)Liability insurance

Question 43

Tort law allows:

A)Paralegals to practice law in emergencies
B)Attorneys to prevent unqualified persons from entering the profession
C)One who is injured by another's wrongful or careless act to bring a civil lawsuit against the wrongdoer for damages
D)One who is injured by another's wrongful or careless act to bring a criminal lawsuit against the wrongdoer for damages

Question 44

Which of the following is an example of a formal sanction imposed on attorneys for violations of the rules governing professional conduct?

A)Reprimand
B)Suspension
C)Disbarment
D)All of these choices are correct

Question 45

Inadequate research is often the cause of:

A)Breach of the duty of competence
B)Breach of the duty of confidentiality
C)Breach of the duty of fairness
D)Breach of the duty of completeness

Question 46

When using e-mail as a method of communication it is important to:

A)Print, proofread, and edit
B)Show every e-mail to your supervisor before sending it
C)Use an informal, chatty style of writing
D)Make a digital voice recording as well

Question 47

is a severe disciplinary sanction in which an attorney's license to practice law in the state is revoked because of unethical or illegal conduct.

A)Disbarment
B)Suspension
C)A reprimand
D)Disbarment and a reprimand

Question 48

Which of the following is often the cause of an inadvertent breach of the duty of competence?

A)Inadequate research
B)Missed deadlines
C)Errors in legal documents filed with the court
D)All of these choices are correct

Question 49

To violate a legal duty by an act or a failure to act is called:

A)Damage
B)Harm
C)Breach
D)Incompetence

Question 50

A lawyer's duty to supervise nonlawyer assistants applies to lawyers in:

A)Private law firms
B)Corporate legal departments
C)Government agencies
D)All of these choices are correct

Question 51

Missed deadlines are often the cause of:

A)Breach of the duty of competence
B)Breach of the duty of confidentiality
C)Breach of the duty of fairness
D)Breach of the duty of completeness

Question 52

Damages in a civil lawsuit are:

A)Compensation in the form of money
B)Compensation in the form of services
C)Payments for the lawyer representing the plaintiff
D)None of these choices are correct

Question 53

Attorneys both instruct and supervise nonlawyer employees concerning the appropriate ethical conduct and can be held personally responsible for the ethical violations of their subordinates.

A)Must
B)Should
C)Are advised to
D)Can

Question 54

Under , one who is injured by another's wrongful or careless act is entitled to bring a civil lawsuit against the wrongdoer for damages.

A)Civil law
B)Tort law
C)Criminal law
D)Damages law

Question 55

Paralegal Sam carelessly performs legal research by failing to update a court's decision to find out if the state court of appeals or state supreme court reversed the decision that he found.This is an example of a breach of which of the following ethical rules?

A)Conflict of interest
B)Competence
C)Diligence
D)Fairness toward opposing counsel

Question 56

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

A)Confidential
B)Diligent
C)Competent
D)Fair

Question 57

Attorney Chapman assigns paralegal Sarah a complex brief, tells her to research the law, prepare the brief, proofread it, and then sign attorney Chapman's name to the brief and submit it to the court.Attorney Chapman will not be available to review or sign the brief, because she is going on a business trip and will not return before the deadline for filing the brief.Attorney Chapman has violated the ethical rule regarding:

A)Fairness to opposing party and counsel
B)Candor toward the tribunal
C)Expediting litigation
D)Adequate supervision of a nonlawyer assistant

Question 58

Which of the following would be appropriate if your supervising attorney is not adequately supervising your work?

A)Improve communications with the attorney
B)Ask the attorney for feedback on your work
C)Attach a note to a document you have prepared for the attorney requesting him or her to review the document before signing it
D)All of these choices are correct

Question 59

Improperly filed court documents are often the cause of:

A)Breach of the duty of competence
B)Breach of the duty of confidentiality
C)Breach of the duty of fairness
D)Breach of the duty of completeness

Question 60

are compensation in the form of money awarded to a person who is injured by another's wrongful or careless act.

A)Damages
B)Compensation dollars
C)Injury fees
D)Recoveries
E)Torts

Question 61

One of the oldest and most important rules of the legal profession is the rule of:

A)Competence
B)Attorney-client confidentiality
C)Disbarment
D)Conflicts of interest

Question 62

Mrs.Jones comes to attorney Nelson's office and asks him to represent her in a divorce.Before leaving the office, Mrs.Jones tells attorney Nelson that if her husband calls to find out if she is divorcing him, that attorney Nelson is to "go ahead and tell him that she is." This is an example of:

A)Client confidentiality
B)Client consenting to disclosure of confidential information
C)An impliedly authorized disclosure of confidential client information
D)Client confidentiality and an impliedly authorized disclosure of confidential client information

Question 63

Which of the following are ways of inadvertently violating the rule of client confidentiality?

A)Discussing confidential information on an elevator
B)Allowing your telephone conversations to be overheard
C)Leaving confidential information visible on a computer screen
D)Leaving a file or document sitting on your desk to be observed by third parties
E)All of these choices are correct

Question 64

Routine paralegal tasks, such as drafting and filing a motion and brief with the court, would involve which of the following ethical responsibilities?

A)The duty of confidentiality
B)The duty of competence
C)The attorney's duty of adequate supervision
D)All of these choices are correct

Question 65

The legal consequences of violating legal ethical rules include:

A)An unhappy client
B)An unhappy supervising attorney
C)Exposure of attorneys and paralegals to legal liability
D)An unhappy judge

Question 66

Never discussing a client's case in a common area (such as a hallway, elevator, cafeteria, or a restaurant) where a conversation might be overheard is a rule of thumb to follow to avoid which of the following?

A)Violating the duty of competence
B)Violating the duty to avoid conflicts of interest
C)Violating the rule of client confidentiality
D)Violating the duty of competence and violating the duty to avoid conflicts of interest

Question 67

The ABA Model Rules state which of the following regarding the ethical rule of confidentiality?

A)Only client's secrets and confidences must be kept confidential
B)Paralegals should regard all information about a client as confidential
C)A lawyer may not reveal information relating to representation of a client
D)None of these choices are correct

Question 68

Which of the following are the exceptions to the rule of client confidentiality?

A)Client consents to disclosure
B)Impliedly authorized disclosure
C)Client intends a harmful act
D)Defending against a client's legal action
E)All of these choices are correct

Question 69

Mr.McMillan comes to attorney Robinson's office to file bankruptcy.Mr.McMillan provides attorney Robinson with considerable confidential information regarding his financial position, business dealings, and bank accounts.Attorney Robinson subsequently gives Mr.McMillan's file to his paralegal to use in drafting a bankruptcy petition.This is an example of:

A)A breach of client confidentiality
B)The client consenting to disclosure of confidential information
C)An impliedly authorized disclosure of confidential client information
D)The client consenting to disclosure of confidential information and an impliedly authorized disclosure of confidential client information

Question 70

Organization is the key to ensuring that deadlines and the duty of competence are met.This can be accomplished by which of the following?

A)Computerized calendaring and tickler systems
B)Manual calendaring and tickler systems
C)Checking frequently with the supervising attorney about new and revised deadlines
D)All of these choices are correct

Question 71

Paralegal Melissa and a client are preparing answers to interrogatories in Melissa's office.The telephone rings, and Melissa answers it.During the conversation, she says, "I am so sorry to hear that you have AIDS, Mr.Thomas.I will give this information to attorney Chase and ask him to call you about revising your will." Melissa hangs up the telephone and resumes work with the client.The client begins asking questions about Mr.Thomas's identity, because the client thinks that he knows Mr.Thomas.This is an example of:

A)A breach of the rule of client confidentiality
B)The client consenting to disclosure of confidential information
C)An impliedly authorized disclosure of confidential client information
D)A violation of the duty of competence

Question 72

A client must be able to confide in his or her attorney so that the attorney can best represent the client's interests.This is the:

A)Rule of client confidentiality
B)Exception to the rule of client confidentiality
C)Rationale for the rule of client confidentiality
D)Rule of client confidentiality and exception to the rule of client confidentiality

Question 73

Thomas Timmons, a paralegal, brings a witness into his office for an interview. Thomas leaves a deposition summary and several letters from another client's file on his desk.The witness reads the deposition summary and the letters while
Thomas takes a telephone call during the interview.Thomas has violated the
Ethical rule regarding:

A)Competence
B)Conflicts of interest
C)Confidentiality
D)Competence and conflicts of interest

Question 74

Paralegal Jane and legal secretary Allison are eating lunch in a local restaurant that is popular among legal professionals.During lunch they discuss a well-known client's case and his poor financial condition.Their conversation is overheard by a paralegal who works for the bank where the client maintains his
Accounts and loans.This is an example of:

A)A breach of the client confidentiality rule
B)The client consenting to disclosure of confidential information
C)An impliedly authorized disclosure of confidential client information
D)The client consenting to disclosure of confidential information and an impliedly authorized disclosure of confidential client information

Question 75

According to the text, a good rule of thumb to follow regarding client confidentiality is that:

A)A client must be able to confide in her attorney
B)A lawyer may not reveal information relating to the representation of a client
C)Paralegals should regard all information about a client or client's case as
D)Only clients' secrets and confidences may not be revealed

Question 76

The duty of competence can be breached by which of the following actions?

A)Missing filing deadlines with the court
B)Including incorrect information in a legal document
C)Inadequate attorney supervision of paralegals
D)All of these choices are correct

Question 77

Which of the following are the consequences of violating legal ethics?

A)A disciplinary proceeding against the attorney
B)A malpractice lawsuit against the attorney, paralegal, and other members of the firm
C)A paralegal losing her job
D)All of these choices are correct

Question 78

One year after Mrs.Smith's divorce is final, she becomes disenchanted with her property settlement and sues attorney Nelson for legal malpractice.Attorney Nelson uses the information obtained during his representation of Mrs.Smith to defend himself from the legal malpractice action.This is an example of:

A)A breach of the rule of client confidentiality
B)The client consenting to disclosure of confidential information
C)An impliedly authorized disclosure of confidential client information
D)Using confidential client information to defend against a client's legal action

Question 79

Linda and Karen, both paralegals for the same attorney in a small general practice office, are riding home from work together on the bus.During their ride, they discuss a client who was in the office that day seeking to file for divorce.The client, who works in their building, is someone whom they have known for a long time, and they are shocked.What they don't know is that the client's wife is sitting in the seat behind them.The client's wife learns of the divorce and successfully hides $200,000 from a bank account so that it cannot be located and divided up as part of the property settlement.Once the divorce is final, the client says to his wife, "You must have known that I was planning to divorce you or you wouldn't have been able to hide that money." Without admitting that she hid the money, the client's wife says, "If you're so upset about losing the $200,000, why don't you sue your attorney and those two big mouths who work for him and ride my bus?" Which of the following actions can the client take?

A)Seek to have a disciplinary action brought against the attorney for violation of the rule of client confidentiality
B)Bring a malpractice lawsuit against the attorney and his two paralegals
C)Demand that the attorney pay him the $200,000 and fire his paralegals
D)All of these choices are correct

Question 80

Paralegal Samantha discusses confidential client information over the telephone in a reception area where several other clients can hear her.As a result, the client files a grievance with the state bar association and Samantha's supervising
Attorney is disciplined by the state bar.Samantha has breached the rule regarding
Client confidentiality.What other ethical rule is involved in this situation?

A)Competence
B)Communication with clients
C)Conflicts of interest
D)Responsibilities regarding nonlawyer assistants