NALA CP Exam Ethics Self-Test fully solved & updated

The NALA document that provides an outline for the proper use of paralegals by attorneys by attorneys is known as NALA Code of Ethics and Professional Responsibility. - ANSWER-False In an effort to resolve the situation without a hearing and at the instruction of the supervising attorney, it is permissible for a paralegal to review with opposing counsel preliminary objections to answers to interrogatories submitted by that attorney's client. - ANSWER-True It is permissible for a busy attorney to undertake representation of a client if she knows that she will not be able to do anything with the case for another nine months, so long as she discloses this fact to the client and so long as the client consents. - ANSWER-False It is unethical for a lawyer knowingly to offer evidence that is prejudicial. - ANSWER-False A paralegal cannot give a presentation of social security law at a senior citizens' center if any portion of the presentation will be devoted to answering specific questions from the audience. - ANSWER-False Sharon is a paralegal for Adam Williams and is also a notary public. One morning Adam brings an affidavit to Sharon, which already has been signed by Adam's client, Javier Garcia, and asks Sharon to notarize the affidavit. Sharon should not notarize the signature unless Mr. Garcia calls her and confirms that it is his signature. - ANSWER-False It is permissible for a paralegal to propose and to implement a discovery plan in a personal injury case. - ANSWER-True If the rules of an administrative agency permit nonlawyer practice, an attorney ethically may not restrict the right of a paralegal employed by her to appear before that agency on behalf of the lawyer's clients - ANSWER-False While interviewing a witness in a personal injury case, the witness relays facts to the paralegal which indicate that our client may have been the cause of the collision. If the paralegal were deposed about this interview, she could refuse to answer questions based upon attorney-client privilege. - ANSWER-False Under existing ethics rules, all contingent fee arrangements must be in writing. - ANSWER-True It is never permissible for a lawyer to represent adverse parties in a case. - ANSWER-False Which of the following represent(s) unethical conduct by a paralegal? a. Drafting correspondence to a client to be signed by a paralegal. b. Arranging a deposition with opposing counsel. c. Performing legal research. d. Two of the above. e. All of the above. f. None of the above. - ANSWER-f. None of the above. Donna is a licensed financial planner in her state. As part of her services to clients, she reviews their financial situations and recommends that combination of savings accounts, life insurance, and property ownership that she believes would best suit their needs. When they need a will or a trust, she refers them to a local law firm. Lawyers have been quite receptive to her referrals; as a result, several of them have provided her with a series of standardized will and trust forms to use in advising her clients. Which of the following is most correct? a. Donna may not recommend or select forms for her clients. b. Donna may select and complete a form based upon its standard use. c. Donna may select the form so long as the client completes it himself. d. Donna may recommend a form but the client must complete it. - ANSWER-a. Donna may not recommend or select forms for her clients. Marty is a paralegal for Michelle Michaels. While Ms. Michaels is in Europe, Marty receives a notice that a probate hearing is scheduled at the end of next week. Ms. Michaels is not scheduled to return to the office until after that time. Marty knows that a motion for continuance is needed to postpone the hearing. Which of the following is the worst course of action for Marty to take in this situation? a. Mail the unsigned motion to the court for filing. b. Arrange to have the client sign the motion and file it with the court. c. Sign his name to the motion and show his paralegal title. d. Sign Ms. Michael's name to the motion and place his initials under the signature. - ANSWER-d. Sign Ms. Michael's name to the motion and place his initials under the signature. Which of the following represents ethical conduct by a paralegal? a. Telling a prospective client that hers is the type of case the firm likes to handle. b. Drafting and signing status letters to clients where the nonlawyer status is shown clearly. c. Confirming that the firm once represented a particular client. d. Two are ethical. e. All are ethical. f. None are ethical. - ANSWER-b. Drafting and signing status letters to clients where the nonlawyer status is shown clearly. It is permissible for paralegals to perform work that otherwise would be performed by an attorney if: a. the attorney supervises the delegated work. b. the attorney maintains a direct relationship with the client. c. the attorney assumes full professional responsibility for the work product. d. Two of the above. e. All of the above. f. None of the above. - ANSWER-e. All of the above. Brian is a paralegal employed by Richard Tyler. Brian's deposition is being taken concerning his investigation of an auto accident two years ago in which Mr. Tyler represented one of the parties. When a particular question is asked, Mr. Tyler objects on the basis of attorney work product and instructs Brian not to answer the question. The deposing attorney notes the objection for the record and demands that Brian answer the question. Under these circumstances, Brian's worst option is to: a. comply because the answer will not be admissible anyway. b. not answer the question based upon Mr. Tyler's instructions. c. request a recess to discuss the situation with Mr. Tyler. d. comply only if the answer can be given off the record. - ANSWER-a. comply because the answer will not be admissible anyway. Of the following tasks, which ethically may not be performed by paralegals under existing rules? a. Prepare answers to interrogatories. b. Prepare questions for a deposition. c. Assist a client in executing her will. d. Two of the above. e. All of the above. f. None of the above. - ANSWER-c. Assist a client in executing her will. While at a professional meeting, Brenda (who is a paralegal with the Davis & Lucas Law Firm) becomes involved in a conversation with Bruce and Wade, both of whom are paralegals in another law firm in the city. Wade, an obnoxious boor by anyone's standards, begin to relate courthouse rumors about Jake Thompson's recent arrest and the pending criminal charges. Brenda knows at least part of what Wade is saying to be untrue because her firm represents Jake. Brenda should: a. correct Wade concerning those parts that she knows to be untrue. b. inform Wade that he is incorrect but that she cannot discuss the details because of client confidentiality. c. report Wade to the district attorney for his breach of ethics. d. say nothing. - ANSWER-d. say nothing. A friend who is a paralegal in another law firm calls you to ask if your firm has handled any recent litigation in federal court. There have been major changes in the rules of procedure in that court within the past six months, and your friend is uncertain about filing pleadings under the new rules. Your firm has just completed its first case under the new rules. What is your best course of action? a. Decline to answer his questions because it would constitute the unauthorized practice of law. b. Decline to answer his question because he should figure it out for himself. c. Answer any of the questions that you know concerning procedure. d. Answer any of the questions that you know, provided that your friend promises not to divulge where he got the information. - ANSWER-c. Answer any of the questions that you know concerning procedure. Guy is a paralegal, newly hired to go to work for another law firm. Before starting the new job, the legal administrator at the new law firm tells Guy she wants to review the names of the files with which Guy has worked to avoid any potential conflict of interest in his new position. It is permissible for Guy to: a. reveal the names of the files. b. reveal the names of the files as well as the status of each file. c. refuse to reveal any information about clients from the other law firm on the grounds of confidentiality. d. None of the above. - ANSWER-a. reveal the names of the files. It is unethical for a law firm to advise a client's creditors of a settlement made in a case so that the creditor may attach the settlement. - ANSWER-True Lawyers are required to segregate client funds from operating funds because of ethics rules. - ANSWER-True Under current ethics rules, a lawyer who is also a licensed insurance broker may join both business activities in the same office. - ANSWER-False Stacey is a paralegal at Mason & Frey. After working on a complex real estate case for nearly three years, the case is concluded successfully on behalf of Riverton Realty. Benjamin Riverton arranges to have Super Bowl tickets sent to Stacey's father to show his appreciation for Stacey's hard work on the case. Stacey, upon learning about the tickets, which are nearly impossible to obtain and are quite expensive, should call Mr. Riverton to inform him that her father's acceptance of the tickets will create ethical problems for her and for her attorney supervisor. - ANSWER-True Different ethics rules apply to paralegals who offer their services only to licensed attorneys than to paralegals who are employed full-time by licensed attorneys. - ANSWER-False A paralegal who discusses a client's case while at a friend's wedding violates the client's special right to privacy, which is called confidentiality. - ANSWER-True If the supervising attorney instructs him to do so, a paralegal ethically may contact opposing counsel and try to determine the possible range of settlement figures that the opposing party might be willing to accept, so long as the paralegal identifies himself and so long as no specific amount is offered in settlement. - ANSWER-False After an initial client interview, the client asks you what the normal fee would be for the will. What is the best reply? a. Paralegals cannot quote fees. b. The standard charge for a will is $100. c. The charge probably will be between $50 and $200. d. Attorney Johnson must determine the charge, which can vary widely depending on the amount of time needed to draft the will. - ANSWER-d. Attorney Johnson must determine the charge, which can vary widely depending on the amount of time needed to draft the will. Three months after the entry of the decree, a client in a divorce case returns to the attorney and confesses that he concealed assets while the divorce case was pending. Now his business partner is trying to blackmail him. What should the attorney do? a. Disclose the facts to the court. b. Disclose the facts to the authorities. c. Urge the client to disclose the facts. d. Do nothing. - ANSWER-c. Urge the client to disclose the facts. Michael is a paralegal and at the law firm McEvoy & Skelton he works with Robin, one of the lawyers at the firm. Michael and Robin want to form a partnership. Under what circumstances might this be possible? a. Michael and Robin form a company where, under the supervision of Robin, Michael creates legal forms to sell to the public. b. Michael and Robin form an asset management company to purchase and manage apartment buildings. c. Both a and b. d. Neither a nor b; paralegals and lawyers cannot form partnerships. - ANSWER-b. Michael and Robin form an asset management company to purchase and manage apartment buildings. It is permissible for a paralegal to give legal advice as part of his pro bono activities, as long as: a. the recipient does not pay for the advice. b. the paralegal makes his or her nonlawyer status clear. c. Both a and b. d. Neither a nor b. - ANSWER-d. neither a nor b. A retainer for legal services must be: a. agreed upon in advance. b. reasonable. c. deposited in a lawyer's trust account. d. All of the above. e. Two of the above. f. None of the above. - ANSWER-d. All of the above. It is permissible to discuss a case with an opposing party who is represented by counsel, so long as: a. the opposing counsel does not know about the meeting. b. the opposing party consents. c. the opposing counsel consents. d. None of the above. - ANSWER-c. the opposing counsel consents. Tim is a paralegal for Robert Shale, a licensed attorney. Robert and two of his law school classmates (Megan Finnin and Barry Tobin) decide to join forces by sharing the cost of a suite of offices, equipment, and personnel. Robert asks Tim to arrange to have a bronze plate bearing the name "Shale, Finnin, and Tobin" placed on the office door. Which of the following is least correct? a. The lawyers can use this name only if they are a partnership. b. Tim may incur joint civil liability if he works for the lawyers. c. The lawyers may incur joint civil liability if they use this name. d. The lawyer cannot use the name unless all of them consent in advance. - ANSWER-b. Tim may incur joint civil liability if he works for the lawyers. It would be unethical for a paralegal to: a. review a complaint and draft an answer to it. b. explain appeal procedure to a client. c. attend a deposition. d. Two of the above. e. All of the above. f. None of the above. - ANSWER-f. None of the above. Which of the following represent(s) ethical conduct by a paralegal? a. Negotiating settlements within dollar limits established by the attorney. b. Obtaining a personal computer at 50% discount from a client who is a computer retailer. c. Performing ministerial acts at a real estate closing. d. Two of the above. e. All of the above. f. None of the above. - ANSWER-c. Performing ministerial acts at a real estate closing. When statements are sent to clients, the paralegal's time may be billed at the same rate as the supervising attorney's, as long as the profit (the difference between the paralegal's billing rate and the lawyer's billing rate) is donated to the client loss fund of the state bar association. - ANSWER-False Tammy is a paralegal for Frank Turner, a sole practitioner. While Frank is away from the office on April 15, Tammy is contacted by one of Frank's divorce clients, who insists that he needs to know whether he can remove a portion of the funds from the joint savings account to pay federal income tax. In reviewing the temporary order entered by the court, it seems clear that the savings account can be used for joint obligations. In this case, Tammy should: a. relay this information to the client. b. tell the client he needs to wait until Frank returns so that Frank can advise him about the account. c. tell the client that he should use his own discretion in deciding whether to access the account. d. None of the above. - ANSWER-b. tell the client he needs to wait until Frank returns so that Frank can advise him about the account. If Tammy is uncertain about what to do in the immediately preceding question or in a similar situation, she should do nothing until she talks with Frank. - ANSWER-True A law firm may not be paid by a trust company to draft wills in which the trust company is named as trustee. - ANSWER-False If the rules of an administrative agency permit nonlawyer practice, a paralegal may establish an independent practice which consists exclusively of representing clients before that administrative agency. - ANSWER-True When an attorney knows that her client has committed the criminal offense as charged, she should withdraw from the case because she cannot zealously defend someone who is guilty. - ANSWER-False In Kenny's capacity as a paralegal over the last 20 years, he has seen innumerable people simply plead guilty or no contest to minor criminal charges because they earned too much to have appointed counsel but did not earn enough to hire a lawyer. Quite troubled by this situation, Kenny prepares a brochure that outlines the steps of basic criminal procedure as well as the various options that a defendant may request when he appears in court. Kenny wants to have the brochure distributed on the sidewalk outside the courthouse. There will be no charge for the brochure, and he plans to use volunteers for distribution. If Kenny distributes the brochure as planned, he will be in violation of most states' UPL statutes. - ANSWER-False Laura is a paralegal with the O&I Law Firm. Her supervisor has asked her to draft a type of document that she has never drafted before and that is not contained in the firm's form files. While searching some older files, she finds a document published and copyrighted by a real estate company which is exactly what she needs. Because the document comes from an old client file found in the law office, it is permissible for Laura to copy it as her own work product. - ANSWER-False A grateful client sends a diamond-studded pen holder to a paralegal, as a way to say thanks for a job well done. It is permissible for the paralegal to accept the pen holder. - ANSWER-False Under current ethics rules, sanctions may be imposed upon the supervising attorney when his or her paralegal drafts a frivolous discovery request. - ANSWER-True Kendall is a paralegal employed by Cori Lansing, a sole practitioner. Cori's practice has become much busier over the last few months, and she is considering the addition of another attorney. In the meantime, however, it is very difficult for her to be in all of the places where she needs to be at the same time. Cori suggests to Kendall that since nothing ever happens at pretrial hearings in county court except to set a trial date, perhaps Kendall can cover these hearings until another lawyer is hired. Which of the following is correct? a. Kendall's appearance would be unethical without a court rule that permits him to appear. b. Kendall's appearance would be ethical as long as he handles procedural matters only. c. Kendall's appearance would be ethical as long as the attorney and the client consent. d. None of these is correct. - ANSWER-a. Kendall's appearance would be unethical without a court rule that permits him to appear. Assume that Russ is a paralegal and that he misappropriates client money from a trust account. What sanctions may be imposed on Russ? a. Termination of employment. b. Civil liability to the client. c. Criminal conviction. d. All of the above. e. None of the above. - ANSWER-d. All of the above. In the immediately preceding situation, what course of action may be imposed against Russ' employer as a result of Russ' conduct? a. Criminal charges b. Civil suit by the client. c. Disciplinary proceedings. d. Two of the above. e. All of the above. - ANSWER-d. Two of the above.