NYLE - New York Law Exam NY Professional Responsibility 1 — Questions and Answers
Question 1: Under New York RPC 1.5(d), which of the following fee arrangements is expressly prohibited?
- A contingency fee in a personal injury negligence action
- A contingency fee arrangement to secure a divorce for a client (Correct answer)
- An hourly fee agreement with a minimum retainer deposit
- A flat fee for drafting a simple will
Correct answer: A contingency fee arrangement to secure a divorce for a client
NY RPC 1.5(d)(5)(i) prohibits a fee in a domestic relations matter whose payment or amount is contingent on securing a divorce, obtaining custody or visitation, or in any way dependent on the amount of maintenance, support, equitable distribution or property settlement (collection of arrears is excepted). Contingency fees in personal injury cases are permissible (subject to Judiciary Law § 474-a caps in medical malpractice); hourly retainers and flat fees are allowed with proper disclosure.
Question 2: Under New York RPC 1.4, which of the following must an attorney promptly communicate to a client without awaiting the client's request?
- Every legal theory the attorney considered but ultimately rejected
- Any settlement offer or plea offer made by the opposing party (Correct answer)
- The attorney's personal assessment of the presiding judge
- The identities and contact details of all adverse witnesses
Correct answer: Any settlement offer or plea offer made by the opposing party
NY RPC 1.4(a)(1)(iii) requires a lawyer to promptly inform the client of material developments in the matter, including settlement or plea offers. The decision whether to accept belongs to the client (RPC 1.2(a)).
Question 3: Under New York RPC 8.3(a), when an attorney knows that another attorney has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that attorney's honesty, trustworthiness, or fitness, the attorney:
- Has full discretion to report or not report based on the severity of the violation
- Must report the conduct to the appropriate professional authority (Correct answer)
- Should report only if the misconduct caused actual harm to a client
- May defer reporting until the underlying matter is concluded
Correct answer: Must report the conduct to the appropriate professional authority
NY RPC 8.3(a) imposes a mandatory duty to report a known violation raising a substantial question as to another lawyer's honesty, trustworthiness or fitness. Under RPC 8.3(c) the only exceptions are information protected by RPC 1.6 and information gained in a bar-approved lawyer assistance program.
Question 4: Under New York RPC 4.2, an attorney representing a client in a pending matter is generally prohibited from communicating about the subject of the representation with:
- An unrepresented eyewitness to the underlying events
- A former low-level employee of an adverse corporate party
- The adverse party directly, when that party is represented by counsel, without counsel's consent (Correct answer)
- An expert witness retained by the opposing party
Correct answer: The adverse party directly, when that party is represented by counsel, without counsel's consent
NY RPC 4.2 (the 'no-contact' rule) forbids an attorney from communicating about the matter with a person the attorney knows to be represented by counsel, unless that counsel consents or the communication is authorized by law. Unrepresented witnesses, former rank-and-file employees, and opposing experts generally fall outside this prohibition.
Question 5: Under New York RPC 1.16(b), which of the following requires MANDATORY withdrawal from representation?
- The client insists on a litigation strategy the attorney considers inadvisable
- The client has failed to pay agreed fees after reasonable notice
- Continued representation would require the attorney to violate the Rules of Professional Conduct (Correct answer)
- The representation will impose an unreasonable financial burden on the attorney
Correct answer: Continued representation would require the attorney to violate the Rules of Professional Conduct
NY RPC 1.16(b)(1) mandates withdrawal when continued representation would require the attorney to violate the Rules of Professional Conduct or other law. The remaining options—client pursuing inadvisable objectives, nonpayment of fees, and financial burden—are permissive grounds for withdrawal under RPC 1.16(c), not mandatory ones.
Question 6: Under NY RPC 7.1 (22 NYCRR Part 1200), which of the following statements about attorney advertisements is correct?
- Attorney advertising through digital or social media platforms is categorically prohibited
- Attorneys may guarantee favorable outcomes in advertisements provided the guarantee is in writing
- Certain attorney advertisements must be labeled 'Attorney Advertising' as required by RPC 7.1(f) (Correct answer)
- Attorneys are exempt from advertising restrictions when communicating solely with existing clients
Correct answer: Certain attorney advertisements must be labeled 'Attorney Advertising' as required by RPC 7.1(f)
NY RPC 7.1(f) requires that all advertisements, with limited exceptions, be labeled 'Attorney Advertising' on the first page or in the first or last 'screen' of any computer-accessed communication. Advertisements may not be false, deceptive or misleading (RPC 7.1(a)), which includes guarantees of results. Digital and social media advertising is permitted subject to the same rules.
