KY Bar Professional Responsibility 2 — Questions and Answers
Question 1: Under Kentucky's Rules of Professional Conduct (SCR 3.130), a lawyer may reveal confidential client information without consent when the lawyer reasonably believes disclosure is necessary to:
- Prevent reasonably certain death or substantial bodily harm (Correct answer)
- Collect an overdue fee from any source
- Satisfy a journalist's inquiry about a closed case
- Assist a colleague preparing a similar case
Correct answer: Prevent reasonably certain death or substantial bodily harm
SCR 3.130(1.6)(b) permits disclosure to prevent reasonably certain death or substantial bodily harm.
Question 2: A Kentucky lawyer is offered a contingent fee arrangement in a divorce case where the fee depends on the amount of alimony secured. This arrangement is:
- Permitted if the client consents in writing
- Prohibited because contingent fees are barred in domestic relations matters based on alimony or support (Correct answer)
- Permitted if the fee is reasonable
- Permitted only with court approval
Correct answer: Prohibited because contingent fees are barred in domestic relations matters based on alimony or support
Rule 1.5(d) prohibits contingent fees contingent upon securing a divorce or the amount of alimony, support, or property settlement.
Question 3: A lawyer in Kentucky wishes to enter into a business transaction with a current client. Which requirement is NOT necessary under Rule 1.8(a)?
- The terms must be fair and reasonable to the client
- The client must be advised in writing to seek independent legal counsel
- The client must give informed consent in a signed writing
- The transaction must be approved by the Kentucky Bar Association (Correct answer)
Correct answer: The transaction must be approved by the Kentucky Bar Association
Rule 1.8(a) requires fairness, written disclosure, advice to seek independent counsel, and signed informed consent—but no bar approval.
Question 4: A prospective client consults a Kentucky lawyer but does not retain her. Under Rule 1.18, the lawyer may later represent an adverse party in the same matter only if:
- The lawyer received no information from the prospective client that could be significantly harmful, or proper screening and consent conditions are met (Correct answer)
- Six months have passed since the consultation
- The prospective client never paid a consultation fee
- The lawyer destroys all notes from the consultation
Correct answer: The lawyer received no information from the prospective client that could be significantly harmful, or proper screening and consent conditions are met
Rule 1.18 bars adverse representation only when significantly harmful information was received, unless informed consent or screening cures the conflict.
Question 5: During a jury trial in Kentucky, a lawyer learns that her client intends to testify falsely. Under Rule 3.3, the lawyer's FIRST obligation is to:
- Withdraw from the representation immediately
- Attempt to persuade the client not to testify falsely (Correct answer)
- Disclose the client's intent to the judge at once
- Allow the testimony but refuse to argue it in closing
Correct answer: Attempt to persuade the client not to testify falsely
Remonstrating with the client to correct course is the first step before withdrawal or disclosure under Rule 3.3.
Question 6: A Kentucky lawyer receives a document from opposing counsel that was clearly sent by mistake and contains privileged material. Under Rule 4.4(b), the lawyer must:
- Read it thoroughly and use it at trial
- Promptly notify the sender (Correct answer)
- Return it without reading and report the sender to the bar
- File it under seal with the court
Correct answer: Promptly notify the sender
Rule 4.4(b) requires only prompt notification to the sender when a lawyer knows a document was inadvertently sent.
Question 7: Which statement about the duty of a supervising partner in a Kentucky law firm is accurate under Rule 5.1?
- Partners are automatically liable for every subordinate's ethical violation
- A partner is responsible for a subordinate's violation if the partner orders or ratifies it, or knows of it in time to avoid or mitigate it but fails to act (Correct answer)
- Partners have no responsibility for associates admitted to the bar
- Only the managing partner bears supervisory duties
Correct answer: A partner is responsible for a subordinate's violation if the partner orders or ratifies it, or knows of it in time to avoid or mitigate it but fails to act
Rule 5.1(c) imposes responsibility when a partner orders, ratifies, or knowingly fails to mitigate a subordinate's violation.
KY Bar Professional Responsibility 2
Under Kentucky's Rules of Professional Conduct (SCR 3.130), a lawyer may reveal confidential client information without consent when the lawyer reasonably believes disclosure is necessary to: