Ethics Slide Show

Receipts for cash payments:

A. are not required by the ethics rules.B. are required to be countersigned by the payor.C. are required to be countersigned by the lawyer.D. are required to be countersigned by both the payor and the lawyer.

Answer: Receipts for cash payments:

B. are required to be countersigned by the payor (with copies retained by the lawyer).

This requirement can be found within Rule 1.15, MRPC, as interpreted by II(2) of Appendix 1 to the MRPC.

When soliciting employment by a postcard mailer from anyone known by a lawyer to be in need of legal services in a particular matter, the

lawyer must: A. conspicuously include the word “Advertisement”

on the front or back of the postcard mailer. B. conspicuously include the words “Advertising

Information” on the front or back of the postcard mailer.

C. conspicuously include the words “Advertising Material” on the front or back of the postcard mailer.

D. Cannot solicit by mail if know someone needs a lawyer.

Answer:When soliciting employment by a postcard mailer from anyone known by a lawyer to be in need of legal services in a particular matter, the lawyer must:

C. conspicuously include the words “Advertising Material” on the front or back of the postcard mailer.

Under Rule 7.3(c), MRPC, a postcard solicitation (which has no “outside envelope”) from a lawyer who knows the mailer’s recipient to be in need of legal services in a particular matter is required to conspicuously include the phrase “Advertising Material” “within” the solicitation.

Consideration is currently being given to eliminating this requirement through a rule amendment but that change is not yet effective.

True or False:

A lawyer is prohibited from engaging in a sexual relationship with a client of the lawyer’s firm if the sexual relationship did not predate the commencement of the firm’s client-lawyer relationship.

Answer:A lawyer is prohibited from engaging in a

sexual relationship with a client of the lawyer’s firm if the sexual relationship did not predate the commencement of the firm’s client-lawyer relationship.

FALSE. Rule 1.8(j)(3), MRPC, provides, “this paragraph does not prohibit a lawyer from engaging in sexual relations with a client of the lawyer’s firm provided that the lawyer has no involvement in the performance of the legal work for the client….”

A lawyer who is representing a client on a contigent fee basis is permitted to gift a client

money for groceries: A. If the client is indigent. B. Under no circumstances.C. If the repayment of the money gifted is

contingent upon the outcome of the client’s legal matter (i.e., if the client receives financial recovery sufficient to repay the lawyer’s minimal expenditure on the client’s behalf).

D. If a reasonably prudent lawyer in the lawyer’s position would consider the client to be in legitimate need of personal financial assistance.

Answer:A lawyer who is representing a client on a contigent fee basis is permitted to gift a client money for groceries:

B. Under no circumstances.

Rule 1.8(e), MRPC, prohibits a lawyer from providing financial assistance to a client in connection with pending or anticipated litigation except under certain circumstances not relevant here.

The ABA recently recommended a change to this rule to allow a gift to an indigent client a lawyer is representing pro bono to cover basic living expenses. A rules committee of the Minnesota State Bar Association is considering whether Minnesota should adopt this rule change or make other changes to Rule 1.8(e), MRPC.

A lawyer has an obligation to inform the appropriate professional authority of another

lawyer’s misconduct:A. When the lawyer has a reason to believe the other

lawyer engaged in conduct raising a substantial question as to the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects.

B. If the lawyer is informed by a person who the lawyer trusts that the other lawyer engaged in conduct raising a substantial question as to the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects.

C. When the lawyer knows the other lawyer engaged in conduct raising a substantial question as to the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects.

D. (a) or (c)

Answer:A lawyer has an obligation to inform the appropriate professional authority of another lawyer’s misconduct:

C. When the lawyer knows the other lawyer engaged in conduct raising a substantial question as to the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects.Under Rule 8.3(a), MRPC, a lawyer’s reporting

requirement is triggered by the lawyer’s knowledgethat another lawyer has engaged in conduct raising a substantial question as to the lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects.

Yes or No

Is an attorney ever allowed to deposit an unearned advanced fee in his or her firm’s operating account rather than the firm’s trust account?

Answer:

Yes.An attorney may deposit an unearned

advance fee in his or her firm’s operating account if, any only if, the client has signed a written flat fee or availability fee agreement compliant in all respects with Rule 1.5(b)(1) or (2), MRPC.

Yes or No

Can an attorney not licensed in Minnesota be disciplined by the Director’s Office under the Minnesota Rules of Professional Conduct?

Answer:

Yes.An attorney, despite not being licensed

in Minnesota, is subject to the MRPC if he or she provides or offers to provide any legal services in Minnesota. See Rule 8.5(a), MRPC.

Yes or No

Can advanced fees ever be characterized as non-refundable or earned upon receipt?

Answer:

No.Although advanced fees can be

described as the lawyer’s property subject to refund, fees can not be characterized as non-refundable or earned upon receipt. See Rule 1.5(b)(3), MRPC.

How many forms of attorney discipline are there in Minnesota?

Answer:Attorney discipline in Minnesota can be grouped into two main categories, private discipline and public discipline.

Under the private discipline category, an attorney can receive an admonition or stipulate to private probation.

Under the public discipline category, an attorney may be subject to a public reprimand—with or without probation, a suspension from 30 days to five years, or, in the most serious cases, disbarment.

How many ethics complaints did the OLPR receive in 2019?

A. 579B. 835C. 1003D. 1573

Answer:

How many ethics complaints did the OLPR receive in 2019?

C. 1003

This number was down from the prior year. Typical years involve 1100-1200 complaints.

How many advisory opinions were requested from the OLPR

in 2019?A. 744B. 1943C. 2737D. 4872

Answer:How many advisory opinions were requested from the OLPR in 2019?

B. 1943

This is actually the number provided, not requested. More were requested but declined due to the fact that the questions involved third party conduct or past conduct, areas we do not comment on. The advisory opinion service is for prospective conduct.

Yes or No

May I call a person I have never met to ask whether that person needs a lawyer in a particular matter?

Answer:May I call a person I have never met to ask whether that person needs a lawyer in a particular matter?

No. Rule 7.3(a), MRPC. But, you can call the person if that individual is a lawyer.

Yes or No

Are lawyers required to do pro bono work?

Answer:Are lawyers required to do pro bono work?

No. Rule 6.1, MRPC, is captioned “voluntary” although the rule notes that the obligation to provide legal services to those unable to pay is a professional obligation.

The Minnesota Supreme Court also has before it a petition to require lawyers to report their pro bono efforts annually on their registration form.

What is the aspirational yearly hours of pro bono work for a

lawyer?A. 20B. 30C. 50D. 80

Answer:What is the aspirational yearly hours of pro bono work for a lawyer?C. 50.

How long must trust account books and records be kept?

Answer:How long must trust account books and records be kept?

Six years after the end of the tax year to which they relate OR if they relate to client or third party funds then six years after completion of the employment to which they relate. Rule 1.15(h), MRPC.

Yes or No

If I am pro se in a matter, may I directly contact another party in the matter even though that party is represented by counsel?

Answer:

If I am pro se in a matter, may I directly contact another party in the matter even though that party is represented by counsel?

Yes. Rule 4.2, MRPC.

Yes or No

Must I self-report to the OLPR if I have been publicly disciplined in another jurisdiction?

Answer:

Must I self-report to the OLPR if I have been publicly disciplined in another jurisdiction?

Yes. Rule 12(d), Rules of Lawyer Professional Responsibility (RLPR)

Yes or No

Must I self-report to the OLPR that I have been charged with a DUI?

Answer:

Must I self-report to the OLPR that I have been charged with a DUI?

No. While lawyers have a duty to report on the ethical violations of other lawyers, except for disclosing public discipline from another jurisdiction, there is no ethical duty to self-report. There may be reasons why you might want to consider a self-report.

What is the first thing an investigator should do when

assigned an investigation?

Answer:

What is the first thing an investigator should do when assigned an investigation?

Check for conflicts!

Is the complainant required to cooperate with an investigation?

Answer:

Is the complainant required to cooperate with an investigation?

No, but non-cooperation may affect the evidence obtained or the ability to complete the investigation.

Who do you contact when you have investigation difficulties?

Answer:

Who do you contact when you have investigation difficulties?

Your DEC chair or your OLPR liaison.

What is the OLPR burden of proof in a discipline case?

Answer:

What is the OLPR burden of proof in a discipline case?

Clear and convincing evidence. This burden is met when facts are established with a “high probability” of truth.

Can you make a credibility determination in your report?

Answer:

Can you make a credibility determination in your report?

Absolutely!

It is helpful if you explain why you believe or disbelieve someone.

If you identify issues that were not included in the complaint, can you address them in your report?

Answer:If you identify issues that were not included in the complaint, can you address them in your report?

Yes. A complainant may not know about specific rules or requirements and we do not ignore issues when they have been identified.

True or False

Copying costs for the file can only be charged if the client agreed to this term in a written fee agreement signed before termination.

Answer:

Copying costs for the file can only be charged if the client agreed to this term in a written fee agreement signed before termination.

True. See Rule 1.16(f), MRPC.

True or False

Contingent-fee agreements must be in writing.

Answer:

Contingent-fee agreements must be in writing.

True. See Rule 1.5(c), MRPC

Contingent fees are impermissible in these types of cases:

A. Family law and personal injury cases;B. Bankruptcy, family law, and personal injury

cases;C. Criminal and family law cases; D. Bankruptcy, family law, criminal, and

personal injury cases.

Answer:

Contingent fees are impermissible in these types of cases:

C. Family law and criminal law. Rule 1.5(d), MRPC.

Complete the Statement

If attorneys fail to promptly withdraw earned fees from the trust account, it can create problems with possible ________ and that would implicate Rule 1.15(b), MRPC.

Answer:

If attorneys fail to promptly withdraw earned fees from the trust account, it can create problems with possible co-mingling and that would implicate Rule 1.15(b), MRPC.

The OLPR investigates these types of fee-related complaints; the other fee-related complaints are

referred to fee arbitration:

A. Excessive fees;B. Illegal fees;C. Billing fraud; D. Failure to return unearned fees;E. All of the above;F. None of the above.

Answer:The OLPR investigates these types of fee-related complaints; the other fee-related complaints are referred to fee arbitration.E. All of the above.

While most fee disputes will be referred to fee arbitration or the civil courts, allegations of illegal fees, billing fraud, and failure to return unearned fees, and in some cases, excessive fees, implicate the MRPC.

Which rules of the Minnesota Rules of Professional Conduct are

most frequently violated?

Answer:Which rules of the Minnesota Rules of Professional Conduct are most frequently violated?

Diligence (Rule 1.3)Communications (Rule 1.4).

True or False

The court granted the summary judgment motion you wrote on behalf of your client and you posted the order to your firm’s website. By posting the order, have you violated any ethics rules?

Answer:Maybe.

Under Rule 1.6(a), MRPC, a lawyer shall not knowingly reveal information relating to the representation of a client, except when permitted under Rule 1.6(b), MRPC. There are various situations listed under Rule 1.6(b), MRPC, including that the client gives informed consent. Be sure you fit into one of the exceptions before disclosing information about your client even if information is contained in court records.

True or False

If opposing counsel sends you an email and copies his client on the email, it’s okay for you to respond by “reply all.”

Answer:

False.Unless you have the consent of the

opposing counsel or you are authorized to do so by law or a court order. By responding “reply all,” you are engaging in direct communication with a person you know is represented. See Rule 4.2, MRPC, otherwise known as the “no contact rule.”