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Question 1
Chackei, a paralegal, loves her new firm. At her old job, the supervisors bugged her constantly they were always looking over her shoulder, making sure everything she did was beyond perfect for the clients. A few months after coming on board, the supervisors at her new firm stopped asking questions and looking over her shoulder. Chackei proved to be a phenomenal paralegal talent. The supervisors realized she knows more about the law than they do, so they just let Chackei do her thing. She's happy, and the firm is incredibly successful they've never had any complaints, in fact. Are the supervisors nonetheless subject to discipline?
Correct Whether or not a lawyer thinks her staff is conforming to all the ethical rules, a lawyer has an affirmative obligation to ensure that the staff is actually conforming. This might only require some informal supervision and occasional critiques ' but there is still an affirmative obligation. Since the supervisors 'just let Chackei be' they are subject to discipline ' whether or not Chackei violates any rules.
Incorrect! Whether or not a lawyer thinks her staff is conforming to all the ethical rules, a lawyer has an affirmative obligation to ensure that the staff is actually conforming. This might only require some informal supervision and occasional critiques ' but there is still an affirmative obligation. Since the supervisors 'just let Chackei be' they are subject to discipline ' whether or not Chackei violates any rules.
Correct
Incorrect!
Question 2
Say a paralegal writes a check to "cash" for $5.00 out of the firm's client trust fund and deposits it in her personal savings account. Is there a chance the paralegal's supervising attorney will be held liable for an ethics violation?
Correct Attorneys are required to hire trustworthy employees, monitor the trust accounts on a regular basis, train assistants in the ethical obligations involved in handling client funds, and institute an efficient system for the disbursement of the funds. If the paralegal's supervisor did not fulfill these obligations, the supervisor will be held liable.
Incorrect! Attorneys are required to hire trustworthy employees, monitor the trust accounts on a regular basis, train assistants in the ethical obligations involved in handling client funds, and institute an efficient system for the disbursement of the funds. If the paralegal's supervisor did not fulfill these obligations, the supervisor will be held liable.
Correct
Incorrect!
Question 3
The rules say if your adversary is represented by counsel, the legal professionals representing you may not contact the adversary directly. Your lawyer may only contact opposing counsel on an issue. Nonetheless, without knowing it, Supervisor Steve's young and inexperienced subordinate paralegal Fresch committed an ethical violation when he contacted the opposition directly. Steve admonished Fresch and apologized to the opposing attorney for the violation. Is Steve subject to discipline?
Correct
Incorrect!
Correct Steve is only responsible for Fresch's violation if he ordered or knowingly ratified the violation, or, on finding out about it, failed to take remedial steps to avoid or mitigate the problem. See MR 5.3 (c). Here, Steve did not learn about Fresch's mistake until it was too late to avoid or mitigate the problem. Therefore he will not be subject to discipline.
Incorrect! Steve is only responsible for Fresch's violation if he ordered or knowingly ratified the violation, or, on finding out about it, failed to take remedial steps to avoid or mitigate the problem. See MR 5.3 (c). Here, Steve did not learn about Fresch's mistake until it was too late to avoid or mitigate the problem. Therefore he will not be subject to discipline.
Question 4
Attorney Alan asks his always-reliable paralegal to file some highly confidential documents that he placed on the conference table. The paralegal is swamped with phone calls from demanding clients and forgets to file them, even though Alan asked for the filing a second time. At the end of the workday, some prospective clients are brought into the conference room for a meeting with Alan. One of the clients studies the highly confidential documents while waiting for Alan. As soon as Alan saw this, he took the files away from the client. Is Alan subject to discipline for failing to supervise?
Correct
Incorrect!
Correct A lawyer must reasonably supervise subordinates. Here Alan reasonably relied on the paralegal's services and asked the paralegal twice to do the work. Alan had every reason to expect his paralegal would follow through with this important task. Also, Alan took the only reasonable remedial measures available to correct the problem, by taking the files away from the client. Therefore Alan would not be subject to discipline.
Incorrect! A lawyer must reasonably supervise subordinates. Here Alan reasonably relied on the paralegal's services and asked the paralegal twice to do the work. Alan had every reason to expect his paralegal would follow through with this important task. Also, Alan took the only reasonable remedial measures available to correct the problem, by taking the files away from the client. Therefore Alan would not be subject to discipline.