Attorney Discipline & Reporting Bar Exam

Attorney Regulation: The Rules That Govern the Profession

Attorney discipline questions test whether you know when a lawyer must be reported, what conduct warrants discipline, and how law firms manage ethical compliance. These are straightforward rules that yield easy points on the MPRE and bar exam.

This guide is part of our Professional Responsibility complete framework.

Grounds for Discipline

Under Rule 8.4, it is professional misconduct for a lawyer to:

(a) Violate the Rules of Professional Conduct
(b) Commit a criminal act reflecting adversely on honesty, trustworthiness, or fitness
(c) Engage in conduct involving dishonesty, fraud, deceit, or misrepresentation
(d) Engage in conduct prejudicial to the administration of justice
(e) State or imply ability to improperly influence a government agency or official
(f) Knowingly assist a judge in violating the Code of Judicial Conduct
(g) Engage in harassment or discrimination in conduct related to the practice of law

Exam Trap: Not every crime is grounds for discipline. The crime must reflect on the lawyer's honesty, trustworthiness, or fitness as a lawyer. A speeding ticket? Probably not. Tax fraud? Absolutely.

The Duty to Report Misconduct: Rule 8.3

A lawyer who knows that another lawyer has committed a violation of the Rules that raises a substantial question as to that lawyer's honesty, trustworthiness, or fitness MUST inform the appropriate professional authority.

Element	What It Means	Exam Note
"Knows"	Actual knowledge (not mere suspicion)	Rumors are not enough; "should have known" is not enough
"Substantial question"	Serious misconduct -- not every minor rule violation	Embezzlement: yes. Missed deadline: probably not
"Must inform"	Mandatory -- not discretionary	Unlike most confidentiality exceptions, this is a DUTY

Exceptions to the Reporting Duty

Confidentiality exception: If the information is protected by Rule 1.6, the lawyer need not report. The duty of confidentiality trumps the reporting duty.
Lawyer assistance programs: Information gained in an approved lawyers' assistance program (substance abuse, mental health) is exempt from reporting.

Exam Trap: "Attorney learned during a client consultation that opposing counsel had embezzled client funds." The information is confidential (relates to client representation). Confidentiality trumps the reporting duty -- the attorney need NOT report.

Obligations Upon Admission: Rule 8.1

An applicant for admission to the bar must not:

Make a false statement of material fact
Fail to disclose a fact necessary to correct a misapprehension (if not confidential)
Fail to respond to a lawful demand for information from an admissions authority

These same obligations apply to lawyers in connection with disciplinary proceedings (Rule 8.1(b)).

Unauthorized Practice of Law: Rule 5.5

A lawyer shall not practice law in a jurisdiction where not admitted, except in limited circumstances:

Permitted Activity	Rule	Requirements
Temporary practice with local counsel	5.5(c)(1)	Must associate with an admitted local lawyer who actively participates
Temporary practice related to arbitration/mediation	5.5(c)(3)	Must arise out of or be reasonably related to the lawyer's home practice
Temporary practice related to home practice	5.5(c)(4)	Must arise out of or be reasonably related to the lawyer's home jurisdiction practice
Pro hac vice	5.5(c)(2)	Court permission for a specific case

Law Firm Responsibilities: Rules 5.1-5.3

Supervisory Lawyers (Rule 5.1)

A partner or supervisory lawyer is responsible for another lawyer's ethics violation if:

The supervisor ordered or ratified the conduct, OR
The supervisor knew of the conduct at a time when consequences could be mitigated and failed to act

Additionally, partners must make reasonable efforts to ensure the firm has measures giving reasonable assurance that all lawyers conform to the Rules.

Supervising Non-Lawyers (Rule 5.3)

Same principles apply to supervision of paralegals, secretaries, and other non-lawyer assistants. The supervising lawyer must ensure they act consistently with the lawyer's professional obligations.

Subordinate Lawyers (Rule 5.2)

A subordinate lawyer is not excused from following the Rules just because a supervisor told them to violate them. However, a subordinate may follow a supervisor's reasonable resolution of an arguable question of professional duty.

Exam Trap: "A senior partner told an associate to withhold discoverable documents." The associate is NOT excused -- both the partner and the associate are subject to discipline. But if the question was genuinely arguable, the associate can rely on the partner's judgment.

Trust Accounts and Client Property: Rule 1.15

Lawyers must keep client funds in a separate trust account (IOLTA account). Key rules:

Client funds must be separately held -- never commingled with the lawyer's own funds
The lawyer must promptly notify the client when funds are received
The lawyer must promptly deliver funds to which the client is entitled
Disputed funds remain in trust until the dispute is resolved

Trigger: "Attorney deposited a settlement check into the firm's operating account..." -- trust account violation.

Advertising and Solicitation: Rules 7.1-7.3

Activity	Rule	Permitted?
Truthful advertising	7.1, 7.2	Yes -- any truthful, non-misleading advertising is permitted
Direct mail solicitation	7.3	Yes, if labeled "Advertising Material"
In-person solicitation for profit	7.3(a)	NO -- prohibited when motivated by pecuniary gain (unless person is a lawyer, family member, or prior client)
Specialization claims	7.2	Generally cannot claim to be a "specialist" unless certified by an approved organization

Key Takeaways

Rule 8.3: MUST report known misconduct raising substantial fitness questions (unless confidential)
Rule 8.4: Know the specific categories of professional misconduct
Supervisors are responsible for subordinates' violations if they ordered, ratified, or failed to mitigate
Subordinates are NOT excused by following orders (but can rely on reasonable resolutions of arguable questions)
Trust accounts: never commingle; promptly notify and deliver
In-person solicitation for profit is prohibited; truthful advertising is permitted

Return to the Professional Responsibility complete framework or explore other sub-topics: Confidentiality, Conflicts of Interest.

Study with our Professional Responsibility outline templates.