KY Bar Professional Responsibility 3 — Questions and Answers
Question 1: A Kentucky lawyer holds client settlement funds. Under Rule 1.15, these funds must be kept:
- In the firm's operating account for convenience
- In a separate trust account, with complete records preserved for five years after termination of the representation (Correct answer)
- In cash in the office safe
- In any account as long as the lawyer keeps a mental tally
Correct answer: In a separate trust account, with complete records preserved for five years after termination of the representation
Rule 1.15 requires client property in a separate trust account with records kept for five years after the representation ends.
Question 2: A former client's matter is 'substantially related' to a new matter a Kentucky lawyer wants to take against that former client. Under Rule 1.9, the lawyer:
- May proceed because the representation has ended
- May not represent the new client unless the former client gives informed consent, confirmed in writing (Correct answer)
- May proceed if the new matter is in a different county
- Must obtain court permission only
Correct answer: May not represent the new client unless the former client gives informed consent, confirmed in writing
Rule 1.9(a) bars materially adverse, substantially related representation absent the former client's informed written consent.
Question 3: A Kentucky prosecutor possesses evidence that tends to negate the guilt of the accused. Under Rule 3.8, the prosecutor must:
- Disclose it to the defense in a timely manner (Correct answer)
- Withhold it unless the defense specifically requests it
- Disclose it only after conviction
- Submit it to the judge in camera and take no other action
Correct answer: Disclose it to the defense in a timely manner
Rule 3.8(c) requires timely disclosure of evidence or information that tends to negate guilt or mitigate the offense.
Question 4: A Kentucky lawyer wants to communicate about a case with an opposing party who is represented by counsel. Under Rule 4.2, the lawyer may do so only if:
- The communication happens outside business hours
- The opposing party initiates the contact
- The other lawyer consents or the contact is authorized by law or court order (Correct answer)
- The lawyer copies the represented party's counsel afterward
Correct answer: The other lawyer consents or the contact is authorized by law or court order
Rule 4.2 prohibits communication with a represented person absent counsel's consent or legal authorization.
Question 5: Which lawyer advertisement would violate Kentucky's rules on communications about legal services?
- Listing the lawyer's fields of practice
- Stating truthful past verdict amounts with appropriate disclaimers
- Claiming 'I guarantee you will win your case' (Correct answer)
- Including the office address and phone number
Correct answer: Claiming 'I guarantee you will win your case'
Guaranteeing outcomes creates unjustified expectations and is a false or misleading communication under Rule 7.1.
Question 6: A subordinate lawyer in a Kentucky firm follows a supervisor's instruction on an arguable ethical question. Under Rule 5.2, the subordinate:
- Is always liable regardless of the supervisor's direction
- Does not violate the rules if she acts in accordance with a supervisor's reasonable resolution of an arguable question of professional duty (Correct answer)
- Is immune from all discipline while employed
- Must always refuse instructions touching on ethics
Correct answer: Does not violate the rules if she acts in accordance with a supervisor's reasonable resolution of an arguable question of professional duty
Rule 5.2(b) protects subordinates who follow a supervisor's reasonable resolution of an arguable ethical question.
Question 7: A Kentucky lawyer learns that another lawyer has committed a violation raising a substantial question as to that lawyer's honesty. Under Rule 8.3, the lawyer must:
- Report it to the Kentucky Bar Association unless the information is protected by confidentiality rules (Correct answer)
- Confront the other lawyer privately and take no further action
- Report it only if a client is harmed
- Post a warning on social media
Correct answer: Report it to the Kentucky Bar Association unless the information is protected by confidentiality rules
Rule 8.3 requires reporting violations that raise a substantial question about honesty or fitness, subject to Rule 1.6 confidentiality.
KY Bar Professional Responsibility 3
A Kentucky lawyer holds client settlement funds.
Under Rule 1.15, these funds must be kept: