CAS Professional Responsibility and Ethics 1 — Questions and Answers
Question 1: A lawyer is representing a client in a civil litigation matter. The client instructs the lawyer to file a complaint with allegations that the lawyer knows are false. What should the lawyer do?
- File the complaint as instructed and withdraw from the case later.
- Refuse to file the complaint and explain to the client that the allegations must be truthful. (Correct answer)
- File the complaint and disclose the false allegations to the court, but continue representing the client.
- File the complaint but include a note that the lawyer does not personally believe the allegations.
Correct answer: Refuse to file the complaint and explain to the client that the allegations must be truthful.
Lawyers have an ethical duty of candor to the tribunal and must not present false statements of fact or law to the court. Filing a complaint with known false allegations violates rules of professional conduct, such as California Rule of Professional Conduct 3.3. The lawyer must refuse to engage in such conduct and explain the ethical obligations to the client, potentially withdrawing if the client insists on the false allegations.
Question 2: A lawyer learns that a colleague has been engaging in unethical behavior, such as misappropriating client funds. What is the lawyer’s ethical obligation?
- Ignore the behavior to avoid conflict with the colleague.
- Report the unethical behavior to the appropriate disciplinary authority. (Correct answer)
- Confront the colleague privately and suggest they stop the behavior without reporting it.
- Document the behavior and use it as leverage in future negotiations with the colleague.
Correct answer: Report the unethical behavior to the appropriate disciplinary authority.
Under California Rule of Professional Conduct 8.3, a lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness as a lawyer must inform the State Bar. Misappropriating client funds is a serious ethical breach that directly impacts client trust and the integrity of the legal profession, triggering this mandatory reporting obligation.
Question 3: An attorney receives a substantial gift from a client. What is the attorney required to do to comply with ethical rules?
- Accept the gift as long as the client insists and the attorney is not coerced.
- Decline the gift to avoid any appearance of impropriety, unless it is a token of appreciation. (Correct answer)
- Accept the gift and inform the client that the gift will be recorded for the attorney’s records.
- Accept the gift but make sure it is not a cash gift, as that is more problematic.
Correct answer: Decline the gift to avoid any appearance of impropriety, unless it is a token of appreciation.
California Rule of Professional Conduct 1.8.3 generally prohibits a lawyer from soliciting or accepting a gift from a client if the gift has substantial value, unless the lawyer is related to the client. Even for gifts of lesser value, lawyers should be cautious to avoid any appearance of undue influence or impropriety. Declining substantial gifts or ensuring they are merely tokens of appreciation helps maintain professional independence and avoids conflicts of interest.
Question 4: A lawyer discovers that they have inadvertently disclosed confidential information in a court document. What is the lawyer’s best course of action?
- Ignore the disclosure and proceed with the case.
- Inform the client about the disclosure and take immediate steps to mitigate any harm. (Correct answer)
- Apologize to the opposing counsel for the mistake and request their cooperation in not using the disclosed information.
- Withdraw from the case to avoid further issues.
Correct answer: Inform the client about the disclosure and take immediate steps to mitigate any harm.
A lawyer has a duty of confidentiality to their client and must take reasonable steps to protect client information. Upon discovering an inadvertent disclosure, the lawyer must promptly inform the client, as this is a material development in the representation. The lawyer must then take immediate reasonable steps to mitigate the consequences, such as attempting to retrieve the document or seeking a protective order from the court, to fulfill their ethical obligations.
Question 5: A lawyer is representing a client in a criminal defense case. During the trial, the lawyer learns that their client intends to commit perjury and provide false testimony. What should the lawyer do?
- Continue to represent the client but ignore the planned perjury.
- Advise the client against committing perjury, but proceed with the case as planned.
- Withdraw from the representation immediately and inform the court of the reason for withdrawal. (Correct answer)
- Inform the court of the client’s intention to commit perjury without withdrawing from the case.
Correct answer: Withdraw from the representation immediately and inform the court of the reason for withdrawal.
A lawyer cannot knowingly offer false evidence or assist a client in committing perjury. If a client insists on committing perjury, the lawyer must first attempt to dissuade them. If unsuccessful, the lawyer has an ethical obligation to withdraw from the representation, as continuing would involve assisting in a crime or fraud, and must inform the court of the need to withdraw, often citing 'irreconcilable differences' or similar neutral language.
CAS Professional Responsibility and Ethics 1
A lawyer is representing a client in a civil litigation matter.
The client instructs the lawyer to file a complaint with allegations that the lawyer knows are false.
What should the lawyer do?