PLGL 142 - Law Office Procedures and Ethics » Sprimg 2023 » Midterm Exam Part 1

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Question #1
As described in Chapter 1, an “integrated” bar is:
A.   A state bar in which membership is voluntary
B.   A state bar in which membership is compulsory
C.   A state bar that is run jointly by the executive and judicial branch.
D.   A state bar that includes all racial-ethnic groups
Question #2
Ethics opinions of the ABA, state and local bars are:
A.   Advisory only
B.   Upheld by the courts
C.   Binding on lawyers
D.   Binding on paralegals
Question #3
Historically, the legal profession is regulated at what level of government?
A.   Federal
B.   County
C.   State
D.   Federal and state
Question #4
Legal malpractice:
A.   Is a method that a court may use to sanction a lawyer when the lawyer engages in misconduct during court proceedings while representing a client.
B.   Is a form of criminal prosecution for lawyer misconduct when the misconduct is severe and egregious
C.   Is the intentional improper conduct of a legal professional in the performance of duties
D.   Is the improper conduct in the performance of duties by a legal professional, whether intentional or negligent
Question #5
The usual sanctions that disciplinary authorities may impose on lawyers for misconduct are, in order of seriousness from least to most serious:
A.   Suspension, reproval, disbarment
B.   Disbarment, suspension, reprimand
C.   Probation, disbarment, suspension.
D.   Reprimand, suspension, disbarment
Question #6
Which branch of government regulates the legal profession?
A.   Judicial
B.   Executive
C.   Legislative
D.   All of these
Question #7
Which of the following is NOT taken into account when a lawyer is being sanctioned?
A.   The lawyer’s educational credentials, including the law school attended
B.   The lawyer’s reputation and contributions to the community
C.   The extent to which the lawyer cooperated in the investigation
D.   The circumstances surrounding the offense.
Question #8
Which of the following titles is not used interchangeably with the others?
A.   Legal technician
B.   Paralegal
C.   Legal assistant
D.   Attorney assistant
Question #9
Which of the following terms is defined as: Mandatory form of regulation in which a government agency grants permission to engage in an occupation and to use a title?
A.   Certification
B.   None of these
C.   Licensing
D.   Limited licensing
Question #10
As a general rule,
A.   Paralegals can sign pleadings on behalf of the lawyer
B.   Paralegals should not sign pleadings for the lawyer
C.   Paralegals do not usually have much to do with pleadings
D.   Paralegals can sign pleadings if they are certified
Question #11
Courts have generally held that nonlawyers can do the following tasks without practicing law except one. Which one?
A.   Fill in forms at the customer’s instructions
B.   Provide self-help materials to customers
C.   Help the customer decide what to put on a form
D.   Tell the customer where the court house is
Question #12
Customers who get help from nonlawyer legal service providers:
A.   are fully protected by the attorney-client privilege
B.   are protected so long as the paralegal is certified
C.   have limited protection from the privilege
D.   are not protected by the attorney-client privilege
Question #13
Legal document assistants or preparers are not engaged in the practice of law because:
A.   They do not give legal advice or represent people in court
B.   They are authorized by statute or court rule to give legal advice
C.   They are certified by the state
D.   They are serving an under-represented group of persons
Question #14
Nonlawyers can be authorized to advise clients if:
A.   None of these
B.   The provider is a Legal Document Assistant in a state like California that regulates LDAs
C.   The client gives the person a power of attorney
D.   The client signs a disclaimer stating that he/she understands that the provider is not a lawyer
Question #15
Under most state ethics codes or statutes, a lawyer’s duty to supervise nonlawyer employees includes what obligation?
A.   To run a background check when hiring
B.   To conduct regular ethics training
C.   To meet with the employee daily to review work
D.   To refrain from aiding in UPL
Question #16
Which is the following does NOT constitute giving legal advice?
A.   Recommending a course of conduct to a client
B.   Outlining a client’s rights
C.   Interpreting a case for a client
D.   Updating a client about the status of his/her case
Question #17
Which of the following acts is most likely to be found unethical as UPL?
A.   A paralegal carrying business cards with his/her title and firm name.
B.   A paralegal having her/his name on the firm letterhead
C.   A paralegal signing a letter that contains legal advice
D.   A paralegal signing a cover letter enclosing legal documents
Question #18
Which the following statements about paralegals and depositions is true?
A.   Paralegals are prohibited from preparing clients for depositions
B.   Paralegals can attend depositions with the lawyer present to take notes, to assist and to observe
C.   A paralegal cannot be prosecuted for UPL for taking a deposition.
D.   Paralegals do not usually work in litigation so rarely get involved in depositions
Question #19
Confidentiality agreements between a law firm and a paralegal employee:
A.   Are necessary for the protection of the attorney-client privilege
B.   Are the basis for the rule of confidentiality extending to the paralegal
C.   Prohibit paralegals from revealing confidential information about clients
D.   Allow paralegals to assert the privilege in court
Question #20
The attorney-client privilege is:
A.   None of these
B.   A rule of evidence law
C.   Broader than the ethics rules on confidentiality
D.   The same as the ethics rules on confidentiality
Question #21
If a court orders a lawyer to provide copies of documents that the lawyer believes to be privileged, the lawyer should:
A.   Contact the judge ex parte to request nondisclosure
B.   Turn them over no matter what because the court has so ordered
C.   Invoke the privilege and argue to protect the privilege
D.   None of these
Question #22
In which of the following circumstances can an attorney reveal what would otherwise be protected by the attorney-client privilege?
A.   The lawyer is charged with ethics violations related to the representation
B.   All of these
C.   The client sues the lawyer for malpractice
D.   The lawyer is prosecuted for a crime related to the representation
Question #23
Lawyers and paralegals can blog and post to social media so long as they:
A.   Use fake names to protect the identity of clients
B.   Do it anonymously
C.   Use only the law firm blog or Facebook page
D.   Do not post confidential client information
Question #24
“Mental impressions” include:
A.   Witness statements
B.   Client interviews
C.   Legal theories
D.   Factual research
Question #25
Paralegals who work for corporate law departments have to be concerned about what potential issue regarding the attorney-client privilege?
A.   None of these
B.   The privilege does not extend to nonlawyer legal service providers like corporate paralegals
C.   Being found to work autonomously with the consequence that the privilege does not apply
D.   Paralegals in corporate law departments are generally unsupervised.
Question #26
The attorney-client privilege provides:
A.   The client a qualified privilege not to disclose
B.   The client with an unqualified privilege not to disclose
C.   The lawyer a qualified privilege not to disclosure
D.   The lawyer with an unqualified privilege not to disclose
Question #27
The attorney-client privilege applies in which of the following circumstances?
A.   Only after the initial consultation
B.   Only if the client is seeking legal advice
C.   Only if the client is paying a fee
D.   If the client is seeking any kind of advice
Question #28
The attorney-client privilege can be lost in which of the following circumstances?
A.   The client tells a friend the information that is otherwise protected by the privilege
B.   All of these
C.   The client has a friend in the room while talking to the lawyer on the phone
D.   A lawyer reveals the information to several people not in the scope of the privilege
Question #29
The purpose of the work product rule is:
A.   To protect the work of lawyers in preparing cases
B.   To promote transparency in litigation
C.   To guard against lawyers having to redo work
D.   To ensure that there is open discovery
Question #30
A lawyer can delegate all of the following tasks to a paralegal, except:
A.   Drafting a settlement agreement
B.   Preparing a pleading
C.   Quoting basic fee information to a prospective client
D.   Appearing in court to request a continuance
Question #31
The crime-fraud exception to the attorney-client privilege generally:
A.   Prohibits the lawyer from revealing any privileged information
B.   Mandates that the client reveal the protected information
C.   Allows the lawyer to reveal privileged information if the client is planning a crime
D.   None of these
Question #32
A lawyer cannot generally lend money to a client:
A.   Except for advancing costs of litigation
B.   With a signed promissory note
C.   Except for living expenses during litigation
D.   Under any circumstances
Question #33
A lawyer cannot take a case where he/she is likely to be a witness if:
A.   The lawyer’s testimony is deemed unnecessary
B.   The lawyer’s testimony is optional at the call of the client
C.   The lawyer’s testimony is deemed necessary
D.   The lawyer’s testimony relates to an uncontested matter
Question #34
Conflicts of interest are based on what principle or principles of ethics?
A.   Loyalty and confidentiality
B.   Confidentiality
C.   Loyalty
D.   Zealous representation
Question #35
The rules on screens in conflict situations:
A.   Disallow continued representation of the two clients
B.   All of these
C.   Allow the firm to continue representation
D.   Prohibit collection of fees from one of the clients
Question #36
Third-party payment of legal fees is allowed in which of the following cases:
A.   Public defender’s office paying the salary of a public defender
B.   Parents paying for a child’s legal fees
C.   All of these
D.   Any time unless the third party interferes with the representation
Question #37
When a firm conducts a conflicts check and discovers a potential conflict, what course of action should it take?
A.   Place the person with the conflict on leave immediately
B.   Try to get consent of the clients involved and establish a screen
C.   Get the person to agree in writing not to reveal any confidential information
D.   Terminate the employment of the person with the potential conflict
Question #38
Which of the following is a concurrent conflict that often prohibits the lawyer from representing both parties?
A.   Representing spouses in a dissolution of marriage
B.   Representing two criminal defendants in one case
C.   Representing passenger and driver in a car accident case
D.   All of these

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