Ethics & Professional Conduct Flashcards

Under ABA Model Rule 5.3, who is responsible for ensuring a legal investigator's conduct is compatible with the lawyer's professional obligations?

Answer: The supervising attorney who retains the investigator

Rule 5.3 makes lawyers responsible for reasonable supervision of nonlawyer assistants, including retained investigators.

A defense investigator learns a witness is represented by counsel in the same matter. What is the proper course before interviewing that witness about the case?

Answer: Obtain consent from the witness's lawyer or proceed only as authorized by law

Rule 4.2 bars communication with a represented person about the matter without counsel's consent, and an investigator acting for a lawyer is bound by it.

When interviewing an unrepresented witness, what must an investigator avoid under the principle reflected in ABA Model Rule 4.3?

Answer: Stating or implying that they are disinterested

Rule 4.3 forbids implying disinterest and requires correcting any misunderstanding of the investigator's role.

Which federal law specifically prohibits obtaining customer financial information from a bank through false pretenses?

Answer: Gramm-Leach-Bliley Act

GLBA Section 521 makes pretexting to obtain customer information from financial institutions a federal crime.

An investigator is asked by a client to locate a person using DMV records. Under the Driver's Privacy Protection Act, access is lawful only when:

Answer: A permissible use enumerated in the DPPA applies

The DPPA restricts disclosure of personal motor vehicle record information to listed permissible uses, such as use in litigation.

An investigator receives information that would help the client but was obtained by a third party through an illegal wiretap. What is the ethical response?

Answer: Decline to use it and inform the supervising attorney

Federal wiretap law prohibits using or disclosing illegally intercepted communications, so the attorney must be told and the material not used.

Which practice best preserves the integrity of an investigator's field notes for possible later testimony?

Answer: Keeping original contemporaneous notes intact and dated

Original, dated contemporaneous notes support credibility and avoid allegations of spoliation or alteration.