CT Bar Rules of Professional Conduct 3 — Questions and Answers
Question 1: A Connecticut lawyer holds client settlement funds. Under RPC 1.15, when must she disburse them?
- Within 30 days of receipt regardless of disputes
- Promptly, but she may retain disputed portions until the dispute is resolved (Correct answer)
- Only after filing a disbursement notice with the court
- She must hold them for 90 days before disbursing
Correct answer: Promptly, but she may retain disputed portions until the dispute is resolved
RPC 1.15 requires prompt delivery of funds the client is entitled to receive, while disputed funds may be retained in trust until the dispute is resolved.
Question 2: A prospective client consults Attorney B and shares confidential information, but B declines the representation. Under Connecticut RPC 1.18, B:
- May freely use the information since no representation began
- Must not use or reveal information that could harm the prospective client (Correct answer)
- Can represent an adverse party immediately since no engagement occurred
- Need only keep the information confidential for 30 days
Correct answer: Must not use or reveal information that could harm the prospective client
RPC 1.18 protects prospective clients' confidential disclosures even when no attorney-client relationship forms.
Question 3: Under Connecticut RPC 3.4, which of the following is prohibited conduct regarding evidence?
- Interviewing witnesses before they testify
- Advising a witness to testify truthfully
- Counseling a witness to hide documents subject to a discovery request (Correct answer)
- Requesting a continuance to gather evidence
Correct answer: Counseling a witness to hide documents subject to a discovery request
RPC 3.4(a) prohibits a lawyer from unlawfully obstructing another party's access to evidence or counseling witness concealment.
Question 4: A Connecticut firm represents both a corporation and its CEO in a contract dispute with a vendor. A conflict later emerges between the two clients. The firm should:
- Continue representing both since they are aligned on most issues
- Withdraw from representing one or both if the conflict cannot be waived (Correct answer)
- Let the CEO decide which client the firm continues representing
- Seek court permission to continue dual representation
Correct answer: Withdraw from representing one or both if the conflict cannot be waived
Under RPC 1.7, a concurrent conflict that cannot be waived requires withdrawal from one or both representations.
Question 5: Under Connecticut RPC 4.2, a lawyer may communicate directly with a represented opposing party only if:
- The communication is limited to procedural matters
- The opposing party's lawyer consents or the law authorizes it (Correct answer)
- The party initiates the contact
- The communication occurs in a public forum
Correct answer: The opposing party's lawyer consents or the law authorizes it
RPC 4.2 prohibits direct communication with a represented party without the consent of that party's lawyer or authorization by law.
Question 6: A judge asks an attorney ex parte to clarify a scheduling matter. Under Connecticut RPC 3.5, the attorney:
- May proceed since scheduling is a procedural matter (Correct answer)
- Must refuse all ex parte contact with the judge about the case
- May respond only if all parties are simultaneously notified
- Can engage if the other party is informed within 24 hours
Correct answer: May proceed since scheduling is a procedural matter
RPC 3.5 generally prohibits ex parte communications about the merits but permits communications about scheduling or administrative matters authorized by law or court order.
Question 7: An attorney negotiates a settlement that includes a term requiring the plaintiff not to report the attorney's client to a regulatory agency. Under Connecticut RPC 5.6 and 8.4, this term is:
- Permissible if the plaintiff agrees voluntarily
- Impermissible because it restricts the right to report potential violations (Correct answer)
- Permissible if both counsel agree in writing
- Permissible only in civil, not criminal, matters
Correct answer: Impermissible because it restricts the right to report potential violations
An agreement conditioning settlement on suppressing regulatory complaints violates RPC 8.4 and public policy, and may implicate RPC 5.6 as a restriction on practice.
CT Bar Rules of Professional Conduct 3
A Connecticut lawyer holds client settlement funds.
Under RPC 1.15, when must she disburse them?