Professional Responsibility Flashcards

An attorney learns through privileged communications that her client hid assets during a prior bankruptcy proceeding. The bankruptcy is now closed. Under NY RPC 1.6, may the attorney voluntarily disclose this to the bankruptcy trustee?

Answer: No, this is past criminal conduct and the exceptions to confidentiality do not apply

NY RPC 1.6's exceptions permitting disclosure of past crimes are narrow; completed frauds that no longer pose continuing harm generally do not qualify, so confidentiality controls.

Under NY RPC 3.5(d), a New York attorney wishes to contact jurors after a verdict to learn about their deliberations for use in a future similar case. This is:

Answer: Permissible unless the juror declines or the court prohibits it

NY RPC 3.5(d) bars communication with a juror after discharge only if prohibited by law or court order, the juror has made known a desire not to communicate, or the communication involves misrepresentation, coercion, duress or harassment. Otherwise post-verdict contact is permitted.

Attorney Z is a partner and directly supervises Associate W. Associate W makes a misrepresentation to a client without Attorney Z's knowledge. Under NY RPC 5.1, Attorney Z may be subject to discipline if:

Answer: Z knew of the misconduct at a time when its consequences could be avoided or mitigated but failed to act

NY RPC 5.1(d) makes a lawyer responsible for another lawyer's violation if the lawyer orders or ratifies it, or is a partner or has supervisory authority and knows (or, in New York, reasonably should know) of it at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action. Supervisory status alone, without knowledge, is not enough.

A New York attorney represents a client in a personal injury case. Without the client's knowledge, the attorney settles the case for $50,000 because the attorney believes it is a fair offer. Has the attorney violated the NY Rules?

Answer: Yes, settlements require the client's informed consent under NY RPC 1.2(a)

NY RPC 1.2(a) reserves to the client the right to decide whether to settle; an attorney who settles without authorization violates both the rules and basic agency principles.

An attorney is appointed to represent an indigent defendant and believes the appeal is frivolous. Under the standard established in Anders v. California and followed in New York, what should the attorney do?

Answer: File an Anders brief identifying anything in the record that might support the appeal, ask to withdraw, and give the client a copy

Under Anders, appointed appellate counsel must file a brief identifying anything in the record that might support an appeal, request leave to withdraw, and furnish the defendant a copy so the defendant may raise any points.

A prospective client gives an attorney a $500 cash retainer and later demands a full refund after deciding not to proceed. The attorney deposited the funds in the IOLA trust account. No work was done. Under NY RPC 1.16(e), the attorney must:

Answer: Return all funds promptly to which the client is entitled

NY RPC 1.16(e) requires prompt return of any funds the client is entitled to upon termination, and since no services were rendered, the full retainer must be returned.

Under NY RPC 8.3, a New York attorney has knowledge that another attorney has committed a violation of the Rules that raises a substantial question as to that attorney's honesty or fitness. The duty to report is:

Answer: Mandatory, unless the information is protected by the duty of confidentiality

NY RPC 8.3(a) imposes a mandatory duty to report a known violation raising a substantial question as to honesty, trustworthiness or fitness. Under RPC 8.3(c) the duty does not require disclosure of information protected by RPC 1.6 or information gained by a lawyer while participating in a bar-association-approved lawyer assistance program.