PIEPER

MULTISTATE
PROFESSIONAL
RESPONSIBILITY
EXAM III

You have two hours to complete the following sixty

simulated MPRE questions.
 EXAM INSTRUCTIONS
The following practice exam consists of sixty (60) multiple choice questions for which you have two
hours to complete. Though some questions may take you longer than others, the exam allots you an
average of two minutes per question. Manage your time carefully. If you spend too much time on one or
more challenging questions, you may have difficulty completing the exam.

A brief factual scenario precedes each question. Read each scenario and the words of the question
carefully. Then, evaluate the four answer choices provided. You should select the best answer from the
choices provided.

All of your selected answers should be based on your knowledge of the disciplinary rules of professional
conduct currently articulated in the American Bar Association (ABA) Model Rules of Professional
Conduct, the ABA Model Code of Judicial Conduct, controlling constitutional decisions, generally
accepted principles established in leading federal and state cases, and in procedural and evidentiary rules.
To the extent that questions of professional responsibility arise in the context of procedural or evidentiary
issues, such as the availability of litigation sanctions or the scope of the attorney-client evidentiary
privilege, the Federal Rules of Civil Procedure and the Federal Rules of Evidence will be assumed to
apply, unless otherwise stated. This exam is not meant to test your personal ethical beliefs and values.

You will receive no credit for any answers or other markings made in the exam booklet. You will only
receive credit for correct answers marked on your answer sheet. You will not be given any additional
time to transcribe any of your answers from the exam booklet to your answer sheet.

If you do not know the answer to a question, you should choose an answer at random (guess) and record
that answer on your answer sheet. Your score is based on your total number of correct answers, and there
is no penalty for incorrect answers. Guessing when you do not know an answer will not hurt your score
and may actually improve it, so record an answer for each of the sixty questions.

You may only select one answer choice on your answer sheet. If two answer choices are marked you will
receive no credit, even if one of your choices was the correct answer.

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PIEPER EXAM III QUESTIONS

Question 1. Question 2.

An attorney represented a client who was In an effort to expand his business, an

awaiting the outcome of a secret bid she had attorney placed the following advertisement
placed to buy 60 acres on the south side of a to be broadcast on the radio:
major highway. The client planned to
construct an amusement park on the land. “I engage in the general practice of law, with
a concentration on personal injury plaintiff
In the meantime, an entrepreneur approached work. In negligence actions I work on a
the attorney to have the attorney form a contingent fee. You will recover any
corporation and to assist him in purchasing a proceeds I collect less my one-third
plot of land on which to build a restaurant. contingent fee after deducting any necessary
The entrepreneur is considering several expenses from the total amount recovered.
locations, one of which is adjacent to the The first consultation is free.”
attorney’s client’s proposed amusement park
site. Is the attorney’s advertisement proper?

Without revealing the client’s name, the (A) No, because the attorney advertised
attorney advises the entrepreneur of the that he offers contingent fees.
potential amusement park project and (B) No, because the attorney advertised
suggests that he consider this information that his first consultation is free.
when choosing a property to buy for the (C) Yes, if the attorney a certified
restaurant. specialist in negligence.
(D) Yes, because it is not false or
Is the attorney subject to discipline for this misleading.
conversation with the entrepreneur?

(A) Yes, because the attorney revealed a

client’s confidence without
permission.
(B) Yes, but only if the client told the
attorney not to reveal the information.
(C) No, because the attorney obtained no
personal benefit.
(D) No, because the attorney did not
disclose the client’s identity.

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Question 3. Question 4.

An employer suspected his employee of An insurance company hired an attorney to

stealing inventory from the company investigate suspicious claims filed by the
warehouse. On the advice of his attorney, company’s insureds. In one matter, an
the employer told the employee to report to insured of the insurance company filed a
the front office at 10:00 a.m. the following claim stating that he had fallen down some
day. stairs and been injured. The insured claimed
that he could not walk, and the insurance
Prior to the meeting, the employer spoke with company was paying him for his lost wages.
his attorney and the two decided to bring a
lawsuit against employee. Without Last week, while investigating the insured’s
disclosing that fact to the employee, the claim, the attorney saw the insured playing
employer and attorney interrogated the basketball at a park near his house. The
employee for about one hour during the attorney joined the game believing that, if she
meeting. befriended the insured, she could record
some damaging admissions against him on
Was this action by the attorney proper? her miniature recording device.

(A) Yes, if the attorney was not aware After the insured made a few damaging
that the employee was represented by statements, he realized that something was
counsel. afoot. He asked the attorney if she was
(B) Yes, as long as the attorney was not a investigating the insurance claim or
state prosecutor. recording their conversation. The attorney
(C) No, because an attorney cannot responded, “no, and none of this would be
ethically communicate with an admissible against you, anyway.” The next
adverse party. day, the attorney filed a complaint on behalf
(D) No, because the decision had already of the insurance company against the insured
been made to file suit, so the attorney that included several of the insured’s
could not interrogate the employee. recorded statements.

Was the attorney’s conduct proper?

(A) Yes, because the attorney had no duty

to the insured.
(B) Yes, because deception may be used
to combat fraud.
(C) No, because the insured was not
represented by counsel.
(D) No, because of the attorney
knowingly made a false statement.

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Question 5. Question 6.

The League of Women voters held a debate An attorney serves as the mayor of the small
among the three female candidates for a city in which she lives. As mayor, it is her
heavily contested public election to the state responsibility to determine whether
appellate court. Prior to the debate, each suggested legislation will be taken up for
candidate filled out a position card setting consideration by the city council.
forth her position should she be elected.
The attorney’s firm represents a real estate
One judicial candidate’s pledge card states venture in the city. The city council recently
that she will judge fairly and impartially, she proposed legislation that would have an
will support efforts to obtain increased adverse effect on the real estate venture’s
funding for the judiciary to improve court development within the city. The real estate
administration to reduce the court’s backlog, venture’s annual fishing party for local
and she will oppose any method of flag clients and politicians is coming up. No
desecration that comes before the appellate business is ever discussed at these parties.
court. The attorney intends to attend the fishing
party.
Is the judicial candidate’s pledge proper?
Is the attorney’s attendance proper?
(A) No, because criticism of current court
administration undermines the (A) No, not under any theory.
public’s faith in the judicial system. (B) No, if the real estate venture plans to
(B) No, because a judicial candidate influence the attorney.
should not suggest that she will rule (C) Yes, if the attorney refrains from
in a predetermined way. doing legal work for the real estate
(C) Yes, if she carries out all of her venture.
promises. (D) Yes, if the real estate venture avoids
(D) Yes, if the promises reflect her true discussions with the attorney.
beliefs.

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Question 7. Question 8.

After being groundlessly sued by a client for A celebrity consulted an attorney about a
malpractice, an attorney put in place the threatened paternity suit that the celebrity
following system: once she completes work wished to settle. The celebrity revealed to
on a client’s case, with the client’s consent, the attorney that, while the celebrity was in
she video records with the client a discussion Europe at the time of conception and he felt
recounting all aspects of the case and the suit was groundless, he nonetheless did
informing the client of every decision made not want any of this to leak out to the press.
and the reasons for making each. She then
asks the client if the client understands every While discussing strategy for settlement, the
aspect of the representation and whether the celebrity mentioned to the attorney that the
client has any further questions. woman recently had imported drugs into the
country.
Is the attorney’s system proper?
When the attorney met with the woman, who
(A) Yes, if she follows it in good faith and did not have a lawyer, to pursue a settlement,
fairly discusses the clients’ matters. the attorney told the woman that “if you don’t
(B) Yes, because once the case settle this paternity matter on the terms we
representation is complete, the offer, we will bring your drug importing
attorney-client relationship ends. matter to the district attorney and have a
(C) No, if she does this solely to preserve criminal action brought against you.”
evidence.
(D) No, because she is acting adversely to Was the attorney’s statement proper?
her clients’ interests prior to the (A) Yes, if he intended to turn the matter
termination of the attorney-client over to the prosecutor.
privilege. (B) Yes, if he reasonably believed that
the woman committed a crime.
(C) No, unless he was certain that a
criminal statute had been violated.
(D) No, because threats of criminal
prosecution during settlement
negotiations are improper when the
alleged crime is unrelated to the civil
matters being settled.

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Question 9. Question 10.

A judge presided over a four-month antitrust A woman orally promised her nephew that,
trial. The parties before her were adequately when she died, she would leave her house to
represented by counsel, but the legal issues in him if he cared for her for the rest of her life.
the case were intricate and the real evidence However, just prior to her death, the woman
voluminous. executed a will leaving the house to her
friend. The will also named the friend as
After the attorneys concluded their executor.
summations, the judge decided she was not
satisfied with the legal arguments or briefs Upon her death, the woman had a sizable
submitted to her. The judge contacted and estate valued at $500,000, including her
obtained advice from a law school professor house. The attorney for estate had
and well-respected expert in antitrust law. witnessed the oral promise made by the
The judge considered the professor’s advice woman to her nephew. The attorney’s
in reaching her decision. research determined that the oral contract
was unenforceable due to the Statute of
Was it proper for the judge to consider the Frauds. The attorney feels badly for the
professor’s advice? nephew and believes that asserting the
Statute of Frauds would be unfair.
(A) Yes, because the judge viewed as
insufficient the legal argument What is the proper action for the attorney to
offered by the attorneys. take?
(B) Yes, provided the judge discussed the
professor’s advice with the attorneys (A) To not advise the friend of the Statute
and gave the attorneys an opportunity of Frauds defense and to proceed with
to refute that advice. distributing the estate.
(C) No, because it gives the appearance (B) To withdraw from representation of
of impropriety, i.e., the state’s the estate because the attorney could
judiciary is not competent to handle then testify as to the existence of the
complicated matters before it. oral contract.
(D) No, because a judge can neither (C) To advise the friend of the Statute of
consider nor initiate any ex parte Frauds defense and to await his
communications concerning pending instructions.
matters. (D) To say nothing and, as an equitable
officer of the court, refrain from
asserting the Statute of Frauds
defense to the nephew’s claim.

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Question 11. Question 12.

A plaintiff and defendant were embroiled in a In a civil case in state court, the plaintiff cited
bitter dispute over the licensing of certain and relied upon decisions of the state’s
products designed by the plaintiff and highest court that are dispositive of the issues
distributed by the defendant. The parties did in the case. The defendant’s attorney
not trust one another, and the litigation, asserted legal arguments that are directly
which went on for years, finally reached the contrary to the law set forth in those
trial phase. decisions.

The trial took several weeks and involved Is the attorney subject to discipline?
countless hours of testimony and thousands
of exhibits. While the jury was deliberating, (A) Yes, because the attorney asserted a
one of the attorneys alerted the judge that legal doctrine that is directly contrary
settlement negotiations were ongoing. The to decisions of the state’s highest
judge, eager to put an end to the matter, court.
called each party and the lawyers separately (B) Yes, unless the attorney can
into her chambers to assist in furthering the distinguish the contrary decisions of
settlement discussions. the state’s highest court.
(C) No, because it is the attorney’s duty
Is the judge’s conduct proper? to present all arguments that may be
favorable to his client.
(A) Yes, if the judge obtained permission (D) No, if the attorney believes in good
of the parties. faith that the defense has merit and
(B) Yes, if the jury was deadlocked. the case law can be judicially
(C) No, because a judge shall dispose of modified or reversed.
all judicial matters promptly and
competently.
(D) No, because ex parte communications
are improper.

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Question 13. Question 14.

Every year, a criminal defense attorney An attorney represented an alleged gang

throws a Christmas-Hanukkah-Kwanza party member in a criminal matter. The attorney’s
for the local criminal court law clerks. At former law school friend represented a rival
the party, the attorney serves food, liquor, gang member, Trixie, in an unrelated
and other refreshments. She also holds criminal case.
raffles and gives out about a dozen door
prizes including stereos, TV’s, and season One day at lunch, the attorney’s client told
tickets to professional sporting events. The the attorney, “I want you to work out a
party always is the big event of the holiday favorable plea bargain for me with the
season. prosecutor. I know enough about Trixie to
have her put away for life, and that should be
Is the attorney’s conduct proper? worth something to the prosecutor.”

(A) No, because the attorney is giving The attorney knows that his client’s
something of value to the law clerks information, if true, will ruin Trixie’s
with whom she will likely work on criminal defense and embarrass his law
future matters. school friend. The attorney decides not to
(B) No, if the door prizes exceed $100 in say anything to warn his friend and continues
value. to represent his client.
(C) Yes, if the attorney did not personally
conduct the door prize drawings. Is the attorney’s conduct proper?
(D) Yes, if the attorney did not expect her
actions to influence the clerks. (A) No, because he should immediately
warn his friend of the information.
(B) No, and he should withdraw from the
case.
(C) Yes, and he should continue to keep
his client’s information confidential.
(D) Yes, but he may warn his friend after
the discussions with the prosecutor if
his friend swears to secrecy.

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Question 15. Question 16.

In the course of representing a world-class When another lawyer with whom he shared
athlete and household name, an attorney office space became too busy, an attorney
obtained from the file of another of the agreed to represent the other lawyer’s client
athlete’s lawyers a confidential settlement in connection with the purchase of a
agreement that the athlete had entered to delicatessen.
quietly settle a harassment suit. While the
athlete had shown the agreement to several The attorney handled the entire matter
people, word of neither the allegations nor involving the purchase without any
the settlement had reached the press. assistance from the other lawyer. After the
delicatessen was purchased, and with the
That evening, the attorney showed a copy of client’s knowledge and written consent, the
the settlement agreement to his wife and attorney paid the other lawyer a referral fee
several of her friends who were at his house from the money he received from client.
for dinner. His wife and guests were well The attorney’s hope was that the other lawyer
aware of the athlete, but not of the would send him additional referrals in the
harassment charges. The attorney instructed future.
everyone at the dinner not to repeat what they
had read in the agreement, and the guests Was the referral payment from the attorney
never uttered another word of it. to the other lawyer proper?
Is the attorney’s conduct proper? (A) Yes, but as to the other lawyer only.
(A) No, because he breached the (B) Yes, but as to the attorney only.
attorney-client privilege. (C) Yes, as to both.
(B) No, because an attorney may not (D) No, as to neither.
discuss the secrets of a client without
first obtaining consent.
(C) Yes, because this was not a secret
revealed by the athlete to his attorney.
(D) Yes, because it was previously
revealed to a third person, and thus
not protected by the attorney-client
privilege.

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Question 17. Question 18.

An insurance company retained an attorney An executive worked for a large international

to represent an insured and its employee in a firm that required him to travel all around the
suit brought against them by a plaintiff globe. While employed abroad, he
alleging that she was injured by the employee deposited large sums of money into foreign
while the employee was working. banks. Upon his return to the United States,
he brought part of these funds with him, but
During confidential discussions with the he did not disclose the monies to his
employee, the attorney learned that the employer or to anyone else, nor did he
insurance company may not be obligated to declare them on his United States tax return.
provide a defense for the employee because
the tort may have occurred outside the scope The executive recently consulted an attorney
of the employee’s employment. for advice on how to bring the balance of the
funds into the United States while avoiding
Is it proper for the attorney to advise the United States tax liability. Both the attorney
insurance company and/or the insured of and the executive know that taxes will be
these discussions? owed if the monies are declared. The
attorney suspected that the sums may be
(A) Yes, but the attorney must then illegal kickbacks received by the executive.
withdraw from further representation The attorney suggests to the executive ways
of either party in the case. to bring the money into the United States
(B) Yes, because a lawyer shall not while avoiding detection.
knowingly perpetrate a fraud.
(C) No, because the attorney may then be Is the attorney subject to discipline?
assisting his client in misrepresenting
a fact. (A) Yes, because the attorney is
(D) No, because a lawyer should not knowingly assisting the executive in
knowingly reveal a confidence or committing a crime or fraud.
secret of his client. (B) Yes, unless the attorney did not
inquire any further.
(C) No, because the attorney did not
participate in the earlier transactions
that gave rise to the funds.
(D) No, because attorney did not
wrongfully profit from the
executive’s wrongdoing.

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Question 19. Question 20.

After serving for 20 years as a commissioner A client retained an attorney, a sole

for the State Liquor Authority, an attorney practitioner, to represent her in a corporate
resigned his position so that he could enter matter. Because the attorney was busy with
private practice. While he loved working at other legal matters, the attorney entered into
the Liquor Authority, the attorney hoped to an agreement with another sole practitioner
add to his retirement fund by working a few with whom she shared office space to do half
years in the private sector. of the legal work on the client’s behalf.
While the lawyers were not partners, they
In an effort to publicize his new practice, the agreed that they would share the legal fee
attorney sent by regular mail and e-mail an equally.
announcement to other lawyers and business
persons in the community stating that: (1) When work on the client’s matter was
he is a former commissioner with the State completed, the attorney first advised the
Liquor Authority; (2) he intends to maintain client of the work and fee sharing
an active practice on new matters before that arrangement. The client was pleased with
agency; and (3) he intends to continue to the results and had no reaction to the
maintain close ties with agency personnel arrangement between the lawyers.
with whom he was so close before he left the
authority. Was the agreement between the lawyers
proper?
Is the attorney’s announcement proper?
(A) Yes, because lawyers who agree to
(A) No, because he may not advertise his dual representation may exchange
close ties with the State Liquor client confidences and secrets.
Authority. (B) Yes, because the other sole
(B) No, because he may not take on new practitioner was better able to handle
matters before the State Liquor the matter than was the attorney, and
Authority. the client did not object when
(C) No, because he may not reference his notified.
former position with the State Liquor (C) No, because the attorney disclosed
Authority. client information without prior client
(D) Yes, as to each statement. approval.
(D) No, because the attorney shared the
fee with the other sole practitioner,
who was not her partner.

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Question 21. Question 22.

A licensed clinical psychologist maintains a A new client asked an attorney to write a

private practice as a marriage counselor. In letter recommending the client’s nephew for
his practice, the psychologist sees many admission to the bar. The client explained
individuals whose marriages are to the attorney that, while the client has no
irreconcilably broken. During the last direct contact with his nephew, the client’s
several years, the psychologist has been sister (nephew’s mother) has assured the
represented by an attorney in both his client that the nephew is industrious and
business and personal matters. The honest.
psychologist has great confidence in the
attorney’s ability. Is it proper for the attorney to write the letter?

Recently, the attorney proposed to the (A) Yes, but only after the attorney
psychologist that the latter refer patients conducts her own independent
seeking a divorce to the attorney. The investigation and is satisfied that the
attorney assured the psychologist that she nephew is qualified.
would provide her typical fine services to (B) Yes, based on the client’s assurance,
those patients for her standard reasonable as long as the attorney does not know
hourly rate. In return, the attorney proposed anything negative about the nephew’s
that she refer some of her clients who need character.
marriage counseling to the psychologist. (C) Yes, but only if the attorney contacts
The psychologist liked the idea, and the two the nephew’s mother to verify the
agreed to try out the arrangement for a few information.
months. (D) Yes, but only if the client attests to his
nephew’s good character in a signed
Is the attorney subject to discipline? writing.
(A) Yes, because a lawyer may not
request that a non-lawyer recommend
the lawyer’s legal services to others.
(B) Yes, because a lawyer shall not give
anything of value to a person for
recommending the lawyer’s services.
(C) No, because a lawyer may arrange to
have any third person refer the lawyer
business provided any payment for
such arrangement is not excessive.
(D) No, if prospective clients are fully
informed of the reciprocal referral
agreement and the agreement is not
exclusive.

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Question 23. Question 24.

Several years ago, three partners of a law An attorney represented a client in the local
firm entered into a partnership agreement criminal court. The client has been indicted
providing that, upon the death of any partner, for burglary. After the client took the stand
the surviving partners would pay to the estate at the trial to testify that she did not
of the deceased partner 20% of the firm’s participate in the burglary, the client
profits each year for a period of five years. confidentially admitted to the attorney during
a trial recess that the client committed the
One partner died last month. The executor crime.
of the estate has asked the surviving partners
to begin directing partnership profits to her in After advising the client of attorney’s duty of
the name of the estate. The surviving candor to the court and attempting
partners, citing the Model Rules of unsuccessfully to convince the client to
Professional Conduct, refuse to do so. return to the witness stand to correct her
perjury, the attorney asked the court to be
Is the partnership agreement proper with relieved as counsel. The court denied the
respect to the postmortem payments? attorney’s motion.

(A) Yes, because the agreement provides Is Attorney is subject to discipline?

for payment to the estate of the
deceased partner and not to an (A) Yes, if she continues to represent the
individual nonlawyer. client.
(B) Yes, because payment may be made (B) Yes, if she continues to represent the
to a lawyer’s estate or to one or more client, unless the client admits the
specified persons for a reasonable perjury.
period of time after the lawyer’s (C) No, if she informs the court of the
death. perjury.
(C) No, because the agreement provides (D) No, because the attorney, by asking to
for improper fee sharing with the be relieved, has done all she can do
estate. under the Model Rules of
(D) No, unless the payments are limited Professional Conduct.
to fees earned on cases completed by
the date of the partner’s death.

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Question 25. Question 26.

An adult patient sued his doctor for medical Three years ago in a contested divorce
malpractice. The patient’s claim was that proceeding, a father was awarded custody of
the doctor negligently failed to fully inform the couple’s child. The mother recently
the patient of the significant risks involved in remarried. She retained a highly regarded
the operation. However, before the attorney, who practices exclusively
operation, the patient told the doctor, “don’t matrimonial law.
tell me anything about the operation that will
upset me any more than I am now.” The On the mother’s behalf, her attorney filed a
patient informed his attorney of this motion requesting that the custody decree be
statement before the suit was filed. modified and that the mother be awarded
custody of the child. A copy of the motion
The doctor is outraged and emotionally was served on the father’s lawyer of record.
distressed by the lawsuit. The doctor
believes that the patient’s suit is groundless A judge newly appointed to Family Court
but still damaging to her reputation. will decide the motion. The mother’s
attorney saw the judge at a Bar Association
Is the attorney subject to discipline for filing meeting. The judge said to the attorney, “I
the lawsuit against the doctor? have heard that you have practiced family
law for a long time. I want to do some
(A) Yes, if the attorney knew the filing of reading in the custody area. Would you be
the suit would probably injure the willing to give me a list of the best writings
doctor’s reputation. on the subject of child custody?”
(B) Yes, if the attorney believed that the
patient probably would not succeed in Is the judge’s request proper?
the suit.
(C) No, if the attorney believed in good (A) Yes, if the attorney lists articles both
faith that the patient’s claim was favorable and unfavorable to the
warranted under existing law. mother’s position.
(D) No, if the attorney believed in good (B) Yes, because the parties have not yet
faith that the patient is entitled to appeared before the judge.
recover from the doctor. (C) No, unless the judge sends the
father’s lawyer of record a copy of
the list and the cover letter sent to the
judge.
(D) No, because the attorney is not a
disinterested expert.

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Question 27. Question 28.

While driving her car, a woman was involved A convicted felon retained an attorney to
in a collision with another driver. The appeal his criminal conviction and to seek
driver filed suit against the woman, who bail pending the appeal. The agreed fee for
forwarded the complaint to her insurance the appearance at the bail hearing was $100
company as required by her insurance policy. per hour. Attorney received $8,000 from
the felon, $5,000 of which was a retainer to
Pursuant to the policy provision that it would secure the attorney’s fee and $3,000 of which
furnish a lawyer to defend its insured, the was for bail costs in the event that bail was
insurance company employed an attorney to obtained.
handle the woman’s case. The attorney filed
an answer and, while preparing the case for The attorney maintained two office bank
trial, found evidence that the woman had accounts: a “Fee Account,” in which all
intentionally run into the other driver. fees were deposited and from which all office
Intentional torts are excluded from coverage expenses were paid, and a “Client Funds
under the woman’s insurance policy. Account.” The attorney promptly deposited
Accordingly, if the woman intentionally ran the $3,000 into the “Client Funds Account.”
into the other driver, the insurance company The attorney expended six hours of time on
would not be required to defend or indemnify the bail hearing, but the effort to obtain bail
the woman. was unsuccessful. Dissatisfied, the felon
immediately demanded the return of the
Would it be proper for the attorney to inform $8,000. The attorney returned $7,400 and
the insurance company of the evidence? retained $600.

(A) Yes, and he may continue to Is the attorney subject to discipline?

represent the woman.
(B) Yes, and he must withdraw from (A) Yes, because he should have kept all
representing the woman and may of the funds in the “Fee Account.”
represent the insurance company in (B) Yes, because the client is dissatisfied.
an action against her based on a (C) No, if he maintains $300 to the “Fee
declaration of “no coverage.” Account” and $300 in the “Client
(C) No, and he may continue to represent Funds Account.”
the woman and may not inform the (D) No, if he maintains the $600 in the
court of the possible “no coverage” “Client Funds Account” until the
defense. matter of the fee is resolved with the
(D) No, and he may continue to represent client.
the woman and inform the court of
the possible “no coverage” defense.

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Question 29. Question 30.

An attorney was employed as a litigator in An attorney is an expert in securities law.

the legal department of a public utility She has represented an investment firm for
company. The utility company was sued by several years. Each time the investment
a consumer group alleging that the utility firm issued new debentures, the attorney
company committed various acts in violation wrote an opinion letter on whether the
of its charter. Through its general counsel, debenture issue required prior approval by
the utility company instructed the attorney the State Security Commission.
not to negotiate a settlement under any
circumstances since the utility company The attorney was recently asked by the
believes that the suit is groundless and that a investment firm to write an opinion letter for
precedent need be established. The attorney a new debenture issue of $10,000,000. In
believed the case should be settled if doing so, she spent approximately
settlement is possible. twenty-five minutes checking to make sure
the law had not changed since her last
Must the attorney withdraw from opinion letter and five minutes dictating to
representing the utility company? her secretary some minor changes from her
last opinion letter to the investment firm.
(A) Yes, because the utility company is The attorney’s normal hourly billing rate for
controlling the attorney’s judgment in handling legal matters is $200 per hour,
settling the case. which is the hourly rate generally charged in
(B) Yes, because a lawyer should the locality for similar services.
endeavor to avoid litigation.
(C) No, if the utility company’s position In arriving at a fee of $7,500 for the opinion
can be supported by a good faith letter, the attorney considered that most
argument. lawyers in the area would charge a fee of
(D) No, because as an employee, the $10,000 for such an opinion letter, the
attorney is bound by all instructions security issue was for $10,000,000, she has
from the employer’s general counsel. represented the investment firm for a long
time, and is familiar with governmental
regulations applicable to it.

Is the attorney’s fee proper?

(A) No, because what other lawyers charge

is not relevant to a fee calculation.
(B) No, because she spent less than one
hour on the matter and her billing rate
is $200 per hour.
(C) No, because familiarity with the
client’s needs should serve only to
reduce the fee charged, not increase it.
(D) Yes, because the factors she considered
in determining her fee were
appropriate.

401
PIEPER EXAM III QUESTIONS

Questions 31 and 32 are based on the Question 31.

following facts:
If the attorney files the complaint before
A client retained an attorney to institute an withdrawing, is she subject to discipline?
action against the defendant for breach of
contract. The retainer agreement provided (A) No, unless the attorney is convinced
for a fee advance of $2,000, which the client that the client will not prevail in a
paid, toward a charge of $100 per hour for lawsuit.
services rendered in connection with the (B) No, because the attorney accepted a
matter. The attorney spent eight hours retainer before she had a good faith
reviewing the client’s files, making an basis for believing that the client
independent investigation of some facts in would not prevail in a lawsuit.
the client’s case, and preparing a complaint. (C) Yes, if the action is frivolous.
(D) Yes, even if the attorney can make an
Through her investigation, the attorney argument in good faith in support of
became convinced that the client’s the client’s position.
recollection of the facts was faulty and that
the client would not prevail in the lawsuit. Question 32.
The attorney wishes to withdraw without
filing suit, but the statute of limitations will If the client admits that his story is untrue and
run on the client’s claim in one week and the the attorney withdraws with Client’s consent,
client insists that the attorney at least file the is it proper for the attorney to keep all or any
complaint in the matter before withdrawing. part of the $2,000 retainer that the client
paid?

(A) Yes, the entire $2,000.

(B) Yes, but no more than $800 for the
eight hours of the attorney’s services.
(C) No, if the attorney withdraws without
filing suit.
(D) No, because the attorney withdrew
from further representation of the
client.

402
PIEPER EXAM III QUESTIONS

Question 33. the storeowner that he could consent to the

conflict and then the attorney could continue
The state bar association established a pro and advise him to the best of her ability.
bono law clinic two nights a week that invites After explaining his position in detail, the
the public to come in and speak with a storeowner had used up his allotted 15
volunteer lawyer for fifteen minutes minutes, and he thanked the attorney for
regarding any legal issue. The program has listening.
been highly successful. Indeed, on some
evenings as many as fifty people come to the The attorney recommended a competent
bar association seeking free legal advice. lawyer to assist the storeowner in the
litigation.
An attorney volunteers one evening every
month. The attorney and her law firm The attorney learned some information that,
specialize in civil litigation. One evening if disclosed, would be damaging to the
while volunteering, the attorney was storeowner in the lawsuit.
approached by a local storeowner who
wanted to know whether he had any defense Does the attorney’s conversation with the
to a lawsuit that was pending against him. storeowner require disqualification?
The storeowner had been served with a
summons and complaint only the day before. (A) Yes, the attorney and her firm are
disqualified from representing
The attorney initially explained to the anyone in the litigation because the
storeowner that with only fifteen minutes attorney knew of the conflict at the
allotted to each bar association visitor, her outset of the conversation with the
representation would be limited, but that the storeowner.
attorney would try to advise the storeowner (B) No, but the attorney alone is
to the best of her ability. Then the disqualified from participating in the
storeowner pulled a crumpled summons and litigation, and must be screened.
complaint from his pocket, and the attorney (C) No, the attorney and her firm would
realized that the plaintiff suing the not be disqualified because of the
storeowner was a credit card company that storeowner’s waiver of any conflict
the attorney’s firm currently represents. In of interest.
fact, the firm was listed on the summons as (D) No, the attorney and her firm would
the credit card company’s counsel. not be disqualified because the
conflict of interest rules are waived
The attorney explained to the storeowner that for lawyers giving pro bono legal
a partner at her firm represents the plaintiff in advice with no expectation of future
the lawsuit and that the attorney has a conflict legal services.
of interest. However, the attorney advised

403
PIEPER EXAM III QUESTIONS

Question 34. Question 35.

Two years ago, an attorney represented a A client retained an attorney to represent her
husband in a divorce proceeding. The on a breach of contract claim. After a
attorney obtained a favorable marital number of attempts at settlement, the
property settlement in which the wife attorney concluded that the case could not be
transferred to the husband several pieces of settled and would have to be tried. The
real property located in another state. attorney did not regard himself as an
effective trial lawyer and believed that the
Last week, the attorney was retained by a client’s best interests required the attorney to
bank to execute on a $20,000 judgment that associate with competent trial counsel.
the bank had obtained as a result of the
husband’s default on prior college loans. One week before the trial date, the attorney
The bank had done an in-state property engaged and prepared a trial lawyer, whom
search and had not located any assets owned the attorney knew to be competent, to
by the husband. conduct the trial. At the trial, the attorney
informed the client of the circumstances.
Is it proper for the attorney to represent the The total fee charged to the client was not
bank in this matter? increased by the engagement of the trial
lawyer.
(A) Yes, because the two matters are not
substantially related, i.e., they did not Was it proper for the attorney to engage the
arise out of the same transaction or trial lawyer?
occurrence.
(B) Yes, because a lawyer’s duty of (A) Yes, because the client’s best
loyalty ends when the representation interests required the engagement of
is concluded. competent trial counsel.
(C) No, because the attorney acquired (B) Yes, because the client was informed
protected information that now can be of the engagement of the trial lawyer.
used against the husband to the (C) No, if the client did not provide prior
advantage of bank. consent to the engagement of the trial
(D) No, because the attorney once lawyer.
represented the husband and may not (D) No, unless the attorney himself
subsequently represent another client attended the trial with the trial
with interests adverse to the lawyer.
husband’s.

404
PIEPER EXAM III QUESTIONS

Question 36. Question 37.

An attorney is a member of the bar and a A judge was assigned to hear a criminal case.
salaried employee of the trust department of Ten years earlier, while serving as a deputy
a local bank. As part of his duties, the attorney general, the judge initiated an
attorney prepares a monthly newsletter investigation of the same defendant for
concerning wills, trusts, estates, and taxes, suspected criminal conduct. The
which the bank sends to its customers. Each investigation did not establish any basis for
newsletter contains a recommendation that prosecution. None of the matters previously
customers review their wills in light of the investigated are involved in or affect the
information contained in the newsletter, and present prosecution.
bring their wills to the bank’s trust
department where the trust officer will Is it proper for the judge to try the case?
review them and answer any legal questions
without charge. The bank’s trust officer is (A) Yes, because none of the matters
not a lawyer. If the trust officer is unable to previously investigated involve or
answer the customer’s questions, the trust affect the present prosecution.
officer refers the customer to the attorney. (B) Yes, unless the judge might be
prejudiced against the defendant
Is the attorney subject to discipline? because of the prior investigation.
(C) No, because the judge participated in
(A) Yes, because the attorney is giving the previous investigation of the
legal advice to persons who are not defendant.
his clients. (D) No, if the judge had responsibility in
(B) Yes, because the attorney is aiding determining that the previous
the bank in the unauthorized practice investigation did not establish any
of law. basis for the present prosecution.
(C) No, because there is no charge for the
newsletter.
(D) No, because it is the attorney’s duty
to present all matters in terms
favorable to his client.

405
PIEPER EXAM III QUESTIONS

Questions 38 through 40 are based on the Question 38.

following facts:
Is it proper for the attorney to represent both
An attorney was the general counsel on an the manufacturer and its vice president in the
annual retainer for a pet food manufacturer. product labeling suit?
The label for a new cat food produced for the
manufacturer contained the following words: (A) Yes, if the attorney reasonably
“Royal Food Fit for a King.” The label did believes there is no potential conflict
not include the statement, “Not for Human of interest between the manufacturer
Consumption,” which violated applicable and its vice president, and both
food and drug laws. As a result, the consent to the joint representation.
manufacturer’s officers and any employees (B) Yes, because the manufacturer is
responsible for the violation were subject to legally responsible for the acts of its
civil penalties. vice president under the doctrine of
respondeat superior.
Claimants filed a lawsuit to recover penalties (C) No, unless the attorney’s
against the manufacturer and its vice representation of the vice president is
president, under whose direction the new cat limited to attempting to affect a
food marketing campaign had been prepared. settlement of the claim against the
While the suit was pending, the court ordered vice president before trial.
that the manufacturer’s supply of the (D) No, because the attorney’s fees are
improperly labeled product be held in its being paid by manufacturer.
warehouse subject to further order of the
court. Question 39.

The manufacturer’s board of directors In the contempt proceeding, is it proper for

authorized the attorney to represent both the the attorney to represent both the
manufacturer and its vice president, and manufacturer and the manager if the
agreed to pay the attorney’s fee out of manufacturer wishes to cross-claim against
corporate funds for all expenses, including the manager?
any civil penalties that might be imposed on
the manufacturer and the vice president. (A) Yes, if the manufacturer or its
officers might be held in contempt
Prior to the proceedings and without anyone because of the manager’s acts.
else’s knowledge, the manager of the (B) Yes, because the manager was an
warehouse shipped out the balance of the employee of the manufacturer at the
improperly labeled cans. The manager time the improperly labeled product
believed “the company will settle this, and all was shipped.
the fuss will be over before anyone looks for (C) No, because the interests of the
the cans of cat food.” The court cited the manufacturer and the manager are
manufacturer and the manager for contempt. antagonistic to each other.
The attorney agreed to represent both the (D) No, unless the manufacturer, through
manufacturer and the manager in the its board of directors, concurs in the
contempt proceeding. attorney’s representation of the
manager.

406
PIEPER EXAM III QUESTIONS

Question 40. Question 41.

In the course of preparation for trial in the An attorney was admitted to practice in State
contempt proceeding, the attorney withdrew X, but did not practice law there. In
as the lawyer for the manager and the association with a nonlawyer, the attorney
manager retained another lawyer. The engaged in a real estate investment business
withdrawing attorney assured the manager’s in State Y. An investor sued the attorney in
new lawyer that he would cooperate in the State Y, alleging fraud by the attorney in
transition. connection with the attorney’s real estate
investment business. Judgment was
Is it proper for the attorney to continue to rendered against the attorney, and that
represent the manufacturer on the contempt judgment is now final.
charges?
Is the attorney subject to discipline in State
(A) Yes, if the attorney gives the X?
manager’s new lawyer full access to
all materials relevant to the (A) Yes, because the attorney was the
manager’s defense. defendant in a civil action alleging
(B) Yes, because the attorney’s primary fraud.
obligation is as general counsel to the (B) Yes, if the attorney’s conduct
manufacturer. involved fraud.
(C) No, unless the attorney is satisfied (C) No, because the attorney’s conduct
that manager’s new lawyer will did not involve the practice of law.
represent the manager competently. (D) No, because the attorney’s conduct
(D) No, because the attorney may have took place in State Y.
acquired information from the
manager that could be harmful to the
manager’s case.

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PIEPER EXAM III QUESTIONS

Question 42. Question 43.

An attorney wants to make it easier for her An attorney represents a client who is a
clients to pay her fees. defendant in a negligence action. The state
where the action is pending recognizes the
What actions are appropriate for the attorney defense of comparative negligence and has
to take? retained the complete defense of assumption
of risk. The attorney believes that, while the
I Accept credit card payments for fees. client was negligent, the plaintiff was
II Arrange for clients to obtain bank partially at fault and may have voluntarily
loans or a bank line of credit for the assumed the risk involved. However, he
purpose of paying fees. also believes that asserting the defense of
III Suggest that the client give the assumption of risk is a problematic trial
attorney publication rights tactic: if the jury does not accept the theory,
concerning interesting cases as partial it might hold that the plaintiff was free from
or total payment of the fee. any fault. This might cause the jury to
render a much larger verdict than it would if
(A) II only. it found some negligence by the plaintiff.
(B) I and II, but not III.
(C) I, II, and III. Is it proper for the attorney to refrain from
(D) None of the above. pleading assumption of risk as a defense?

(A) Yes, if the attorney determines that it

is in the client’s best interest not to
plead that defense.
(B) Yes, because the attorney is
responsible for the determination of
tactics to be employed at the trial.
(C) No, unless the client concurs in the
attorney’s decision after being fully
advised.
(D) No, if a good faith argument can be
made that the defense is applicable
under the facts.

408
PIEPER EXAM III QUESTIONS

Question 44. Question 45.

A law firm was established as a professional The court appointed a recently admitted
corporation with five lawyer-shareholders. attorney to represent an indigent defendant
It employed twenty-five additional lawyers. charged with a felony. After consulting
with the defendant and attempting for two
The law firm made the following days to prepare the case for trial, the attorney
arrangements: became convinced that he lacked the
knowledge and experience to represent the
I Employees who are members of the defendant effectively.
bar cannot be made shareholders until
they have been with the law firm for Which of the following is/are proper courses
eight years. of action for the attorney?

II The office manager, who is not a I Request permission from the court to
member of the bar, is executive vice withdraw from representing the
president of the law firm. defendant because the attorney
knows that he is not competent to
III A widow, whose husband was a handle the case.
lawyer-shareholder in the law firm II Request that the court appoint
until his death two years ago, will experienced counsel and grant a
continue to hold the husband’s shares continuance to enable counsel to
in the law firm, which were prepare the case.
distributed to his estate, until their III Explain the circumstances to the
infant child completes a law school defendant and, if the defendant
education. consents, proceed to represent the
defendant to the best of the attorney’s
Which of the following are proper? ability.

(A) I only. (A) I only.

(B) I and II, but not III. (B) I and II, but not III.
(C) I and III, but not II. (C) II and III, but not I.
(D) I, II, and III. (D) I, II, and III.

409
PIEPER EXAM III QUESTIONS

Question 46. Question 47.

Three members of the five-person board of An experienced trial lawyer wants to expand
directors of American, Inc. were named as his business. Over the years, he has been
defendants in a derivative action that accused retained by several Fortune 500 companies,
them of serious wrongdoing. The president and he believes that prospective clients are
of American, Inc. asked an attorney who was impressed by that fact.
American, Inc.’s general corporate counsel,
to give an opinion to the board, required The trial lawyer has prepared an
under state law, on whether the directors advertisement that he intends to place in the
involved in the litigation were entitled to law journal and in the local newspaper. He
indemnification for their substantial legal has included in the advertisement a list of the
fees. The applicable state law permits large and well-known clients he has served in
indemnification if, based on the opinion of the past.
independent legal counsel, the directors have
not breached their duty of good faith to the If the trial lawyer runs the advertisement as
corporation. is, is he subject to discipline?

Is it proper for the attorney to render the (A) Yes, because an attorney may not
opinion? disclose clients’ identities.
(B) Yes, because such an advertisement
(A) Yes, if the attorney is competent to do is self-laudatory.
so. (C) No, if the trial lawyer received
(B) Yes, but only if the attorney first written permission from the clients to
withdraws as corporate counsel. do so.
(C) No, but he may refer the matter to an (D) No, because a client’s identity is not
associate in his firm. protected from disclosure.
(D) No, but he may provide the board
with a list of independent attorneys he
knows to be competent in corporate
law.

410
PIEPER EXAM III QUESTIONS

Question 48. Question 49.

An attorney has a highly efficient staff of Four years ago, a client substantially
paraprofessional legal assistants, all of whom remodeled his small industrial plant to
are graduates of recognized legal assistant conform to the recommended statutory
educational programs. standards for waste-water discharge into a
nearby stream. Last year, the legislature
Recently, the statute of limitations on one of enacted more stringent standards and
the attorney’s client’s claims expired when a required compliance within two years. It
legal assistant negligently misplaced the would be extremely difficult and costly for
client’s file and the lawsuit was not the client to remodel his plant again to meet
commenced within the time permitted by this short deadline, and it is likely that he will
law. have to shut down his plant for one full year
to make the conversion. This will cause a
Which of the following correctly states the loss of income that may push the client into
attorney’s ethical obligation? insolvency.

(A) The attorney is subject to liability for The state legislature is conducting public
malpractice and is also subject to hearings to gather evidence and hear
discipline on the theory of respondeat testimony on whether the two year deadline
superior. should be extended. The client has asked an
(B) Attorney is subject to liability for attorney, who previously served as a state
malpractice or is subject to discipline legislator and has extensive experience in the
at client’s election. area of environmental law, to seek an
(C) The attorney is subject to liability for amendment to the statute to extend the
malpractice but is not subject to deadline to four years.
discipline unless the attorney failed to
supervise the legal assistant Is it proper for the attorney to accept this
adequately. employment?
(D) The attorney is not subject to liability
for malpractice and is not subject to (A) Yes, and he may seek to get the
discipline if the attorney personally statute amended by appearing at the
was not negligent. legislative hearing without disclosing
the client’s identity, but disclosing
that the attorney is appearing in a
representative capacity.
(B) Yes, if he identifies the client on
whose behalf he appears.
(C) No, not under any circumstances.
(D) No, if the majority of the legislators
are persons with whom he has
previously served in the legislature.

411
PIEPER EXAM III QUESTIONS

Question 50. Question 51.

While serving as an assistant district A client retained an attorney to defend her in

attorney, an attorney presented evidence to a a defamation action. The client did not have
grand jury that led to indictments charging liability insurance, and expected to pay all of
thirty-two defendants with conspiracy to sell her legal bills out of her own pocket. The
controlled drugs. Shortly after the grand attorney asked for a $10,000 retainer to
jury returned the indictments, the attorney initially appear in the action. In the written
resigned from his position in the district retainer letter, the attorney estimated that the
attorney’s office and became affiliated as an legal fees might exceed $100,000 if the
associate in a law firm. At the time, the firm parties did not settle. The client has
represented one of the indicted explained to the attorney that the client has
co-defendants. no savings, and that she hopes to be able to
pay the attorney’s legal fees from the client’s
Is it proper for the firm to continue to wages earned over the next several years.
represent the co-defendant?
In the retainer letter, the attorney asked the
(A) Yes, if the attorney does not reveal to client to execute a note and mortgage on a
the law firm any confidences or small apartment building that the client owns
secrets learned while an assistant in order to secure payment of the attorney’s
district attorney. future legal fees.
(B) Yes, because a prosecutor must
already have made timely disclosure Is the attorney subject to discipline?
to the defense of any exculpatory
evidence. (A) Yes, because it is per se unethical for
(C) No, unless the attorney agrees not to a lawyer to ask a client to give
participate in the representation of security for payment of the legal fee.
defendant. (B) Yes, because it creates a conflict of
(D) No, because the attorney had interest between the attorney’s
substantial responsibility for the financial interests and those of the
indictment of the defendant. client.
(C) No, as long as the transaction is fair
and reasonable, its terms are fully
disclosed to the client in writing, the
client is advised to seek independent
counsel, and the client consents in
writing.
(D) No, because the property in which the
security interest is placed is not the
subject of the litigation in which the
attorney represents the client.

412
PIEPER EXAM III QUESTIONS

Question 52. Question 53.

A sitting trial court judge served on the board An attorney represented a client in the sale of
of trustees of a private boarding school the client’s real property. After the contract
developed to assist gifted students who of sale was entered, the client and the buyer
otherwise could not afford to go to boarding began to disagree about the final closing
school. The judge was an alumnus of the price. The client wrote a letter to the
school and appreciative for the education he attorney simply stating that the client would
received there. His efforts on behalf of his not take less than $50,000 for the property.
alma mater in no way interfered with or The client then sent a letter to the buyer
competed for his time on the bench. expressing this very same position. The
disagreement over the closing price
The boarding school asked the judge to assist eventually led to litigation between the client
with running its annual charity auction to and the buyer. The attorney, primarily a
raise scholarship money for the incoming non-litigation transactional lawyer, did not
class of freshmen. represent the client in the litigation.

To which of the following may the judge After months of negotiation and discovery,
agree? the client’s insistence upon receiving
$50,000 became an issue in the litigation.
I. Permit his name to be included with Despite a diligent search of his records, the
the other board members on the buyer could not locate the client’s letter to
fundraiser invitations sent out to the him. Over client’s objection, the buyer then
general public. sought to obtain the letter the client sent to
II. Sit on the fund raising committee and the attorney.
help plan the fund raising effort.
III. Act as the auctioneer. Is the court likely to rule that the attorney
must turn over the letter?
(A) I only.
(B) II only. (A) Yes, because it is the best evidence of
(C) I and II, but not III. the $50,000 position.
(D) Neither I, II, nor III. (B) Yes, because the client did not write
the letter for the purpose of seeking
legal advice or counsel.
(C) No, because the letter is protected by
the attorney-client privilege.
(D) No, because the letter was written in
anticipation of litigation.

413
PIEPER EXAM III QUESTIONS

Question 54. Question 55.

Shortly after the statute of limitations on his An attorney represented the seller in the sale
client’s claim expired, a lawyer telephoned of the seller’s commercial property. The
his opponent’s counsel and explained that his buyer, who was in a hurry to purchase the
wife recently died of cancer and that he property because she intended to use it as the
allowed the statute of limitations to run corporate headquarters for her rapidly
because he had been on a severe drinking growing business, was unrepresented by
binge. He further explained that he had counsel.
completed an Alcoholics Anonymous
program and has not had a drink in five During the negotiations, the buyer raised
weeks. The opponent’s counsel then agreed several questions about the tenant currently
on the phone to permit him to serve the leasing the property from the seller.
summons late, and not to raise the statute of Specifically, the buyer asked when the
limitations as a defense. tenant’s lease on the property was due to
expire. The attorney truthfully told the
Is the opponent’s counsel subject to seller that the lease was set to expire in six
discipline? weeks, and offered to show the lease to the
buyer. Wanting assurance that the tenant
(A) Yes. would timely vacate, the buyer also asks the
(B) No, because the oral acceptance of attorney whether the attorney thought that the
the complaint was not supported by tenant would leave at the end of the lease.
any new consideration and, therefore, The attorney truthfully said “yes,” and
was invalid. suggested that the buyer retain her own
(C) No, because a lawyer does not violate lawyer to review the lease. The buyer
the Model Rules if she “accedes to declined, and stated, “That’s O.K., I trust
reasonable requests of opposing you.” After the meeting, the attorney wrote
counsel.” to the buyer and, again, suggested that she
(D) No, because a lawyer, not the client, obtain counsel.
is in charge of the strategy of the case. Is the attorney subject to discipline?
(A) Yes, because she communicated
directly with a party unrepresented by
counsel.
(B) Yes, because she gave legal advice to
the buyer.
(C) No, because she responded to the
buyer’s inquiries truthfully and
without misrepresentation.
(D) No, because she wrote to buyer
urging the buyer to obtain counsel.

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PIEPER EXAM III QUESTIONS

Question 56. Question 57.

For several years, an attorney has enjoyed a An attorney represented the plaintiff in a
successful, growing matrimonial law and personal injury case. Pursuant to the
estate planning practice. In fact, the attorney’s retainer agreement, the attorney
attorney’s practice has grown at such a pace will receive a contingent fee of 20% of any
that she felt that her ability to handle her recovery received by settlement and 30% if
growing list of clients may soon be the case goes to trial. After the attorney
jeopardized. filed the complaint, the defendant’s
insurance company conducted an
After some soul searching, the attorney investigation and determined the plaintiff
decided that she prefers to practice estate was entitled to a recovery. On February 1,
planning and that she will sell her the insurer requested time to value the
matrimonial law practice to Beta, a plaintiff’s claim and the attorney agreed.
well-known and respected matrimonial
lawyer with whom the attorney has worked On February 15, the attorney was suspended
in the past. As part of the sale, the attorney for six months by the appropriate disciplinary
agreed to a restrictive covenant preventing body for misconduct the attorney committed
the attorney from accepting cases involving in a matter unrelated to the plaintiff’s.
matrimonial law within Beta’s geographic
area. Prior to transferring her matrimonial On May 1, the insurer sent a fax to the
case files to Beta, the attorney wrote a letter attorney in which the insurance company
to each matrimonial client explaining to them offered a $1 million settlement. The
that she was withdrawing from the practice attorney forwarded the fax to the plaintiff
of matrimonial law, that the clients were free without comment. The plaintiff received
to seek other counsel, and that they will not the letter and was ecstatic. The plaintiff
incur increased costs due to the sale of her wrote back to the attorney stating simply,
practice. The attorney also informed the “I’ll take it!” The attorney forwarded the
clients that if she did not hear from them in plaintiff’s letter to the insurer. On August 1,
90 days, she would assume that they the insurer sent a settlement agreement to the
consented to the transfer. attorney and the attorney merely forwarded it
to the plaintiff. The matter settled shortly
Is the attorney’s sale proper? thereafter for $1 million.

(A) No, because she sold only part of her Is the attorney subject to discipline?
practice.
(B) No, because the sale of her practice (A) Yes, because he did not immediately
infringes on her clients’ right to the notify the plaintiff and the insurer of
counsel of their choice. his suspension.
(C) Yes, because she alerted her (B) Yes, because he did not immediately
matrimonial clients of their rights and cease practicing law when he received
provided them with ample time to notice of his suspension.
find and consult other counsel. (C) No, because he did not practice law
(D) Yes, if she retains liability insurance during his suspension.
for any malpractice Beta may commit (D) No, because the results achieved by the
with respect to the transferred files. attorney were not compromised by his
limited involvement in the matter.

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PIEPER EXAM III QUESTIONS

Question 58. Question 59.

After being elected to the state senate, a Two attorneys are the only partners in a law
lawyer relinquished her interest in and left firm that handles only civil matters. The
the law firm where she was partner, to take partnership has been in business for two
office in the state senate for a six-year term. years, and the practice is just beginning to
grow and become profitable.
A liquor wholesaler, which was a longtime
client of the senator’s old firm, has its A judge before whom one attorney often
corporate headquarters in the senator’s appears asked the attorney to represent a
district. A regulatory proposal that would criminal defendant who could not afford to
significantly and adversely impact the represent himself. Reluctant to disappoint
wholesaler’s ability to do business within the judge, the attorney accepted the matter.
state is currently before the senate.
Upon hearing the attorney tell of the
The wholesaler contacted the senator to write representation, his partner strongly urged the
a letter opposing the proposed legislation. attorney to withdraw from the case. The
After reviewing the proposed legislation and partner reminded the attorney that the partner
conducting her own independent just completed a pro bono case in which the
investigation, the senator believes that the partner expended over 110 hours, and that in
regulations would be detrimental to the any event the partnership was barely earning
wholesaler, as well as to other businesses a profit.
headquartered in the state. Accordingly, the
senator voiced her disapproval of the Is it proper for the attorney to withdraw from
proposed legislation in a letter on her official the case to which he was appointed?
senate letterhead to the committee
considering the proposed legislation. (A) Yes, if the attorney does not feel that
he is competent or can become
Is the senator subject to discipline? competent to handle the criminal
defendant’s case.
(A) Yes, because the wholesaler is a (B) Yes, if the partners’ practice will not
client of the senator’s old firm. earn a profit while the criminal
(B) Yes, because she is using her defendant’s matter is pending.
influence as a government official to (C) No, because the judge ordered the
the benefit of the wholesaler. appointment.
(C) No, because she acted in her capacity (D) No, if the attorney feels that doing so
as a government official on behalf of will not jeopardize his other matters
a constituent. pending before the judge.
(D) No, because she no longer practices
law.

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PIEPER EXAM III QUESTIONS

Question 60.

A newly admitted attorney who is a sole

practitioner and limits her practice to real
estate transactions was visited by a client
who had encountered a bitter contract dispute
with his supplier. The attorney did not
mention to the client that she did not handle
such matters. When the client discussed that
over $1 million was at stake, the attorney
agreed to represent the client for her usual
hourly fee.

In representing the client, the attorney did not

associate herself with another, more
experienced attorney because she honestly
felt that she could educate herself on the
issues presented by the client’s matter
without assistance.

Was it proper for the attorney to represent the

client in the contract dispute?

(A) Yes, because the attorney believed

that she could become competent to
handle the client’s matter.
(B) Yes, if the attorney became
competent to handle the client’s
matter without additional cost to the
client.
(C) No, because the attorney was
incompetent when she took on the
matter.
(D) No, because the attorney did not
inform the client that the attorney’s
practice previously had been limited
to real estate work.

417