Can a solo lawyer use a name like 'John Doe & Associates,' 'John Doe Law Firm,' or 'John Doe Law Office'?

Plain-English summary

A lawyer asked which firm-name forms a sole practitioner may ethically use ("John Doe & Associates," "John Doe Law Firm," "John Doe Law Office"), and which a lawyer with a single employed associate may use. The inquiry noted that "John Doe & Associates" had been approved in RO-87-01 for a firm with an undisclosed number of associates, but it was unclear under Rule 7.1(a) whether "Associates" required at least one or at least two associates, and whether "Firm" carried a different connotation than "Office" for a solo.

The Disciplinary Commission answered that an attorney may use "John Doe & Associates" only if he has at least one associated attorney in his employ, and that a sole practitioner may use "John Doe Law Firm," "John Doe Law Office," or "Law Offices of John Doe." The opinion explained that firm names and letterhead are governed by Rule 7.5 read with Rule 7.1, which in substance require that a firm name not be misleading to the public. The name "John Doe & Associates" would lead the public to believe Doe has at least one other attorney associated with him; but if the attorney has only one associate, it is not necessary to restrict the name to the singular to avoid misleading the public.

The opinion added that whether a lawyer who does not presently employ other lawyers can claim he normally employs one or more associates depends on how long the firm has been without associates and the firm's efforts to engage more. As for "John Doe Law Firm" and "John Doe Law Office," the Commission concluded a sole practitioner may use those designations without misleading the public as to the size of the firm or the number of attorneys employed.

Currency note

This opinion was issued in 1993, before the 2002 Ethics 2000 revisions to the ABA Model Rules of Professional Conduct and Alabama's subsequent amendments to its Rules of Professional Conduct. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement mentioned here.

Common questions

Q: Can a solo lawyer call his practice "John Doe & Associates"?

A: No, not while practicing alone. The opinion concluded a lawyer may use "& Associates" only if he has at least one associated attorney in his employ.

Q: Does "& Associates" require two associates or just one?

A: The opinion concluded one associate suffices; it is not necessary to restrict the name to the singular when the attorney has only one associate.

Q: Can a sole practitioner use "Law Firm" or "Law Office" in the name?

A: Per the opinion, yes; "John Doe Law Firm," "John Doe Law Office," and "Law Offices of John Doe" may be used by a sole practitioner without misleading the public.

Background and rules framework

The opinion interprets Rule 7.5 (Model Rule 7.5, firm names and letterhead) read together with Rule 7.1 (Model Rule 7.1, misleading communications about a lawyer's services) of the Alabama Rules of Professional Conduct, which require that a firm name not be misleading to the public.

Citations and references

Rules of Professional Conduct:

• Model Rule 7.1 / Ala. R. Prof. C. 7.1 (misleading communications)
• Model Rule 7.5 / Ala. R. Prof. C. 7.5 (firm names and letterhead)

Other opinions cited:

• Ala. Formal Op. RO-87-01 ("& Associates" approved for a firm with associates)

See also

• AL Ethics Op. 1993-23: bankrolling a referral-front firm
• AL Ethics Op. 1993-16: law firm as an LLC

Source

• Landing page: https://www.alabar.org/office-of-general-counsel/formal-opinions/1993-11/
• Original PDF: https://www.alabar.org/assets/2019/02/RO-93-11.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

ETHICS OPINION

RO-93-11

QUESTION:

"Assuming that an attorney is a sole practitioner, which of the following forms of name may he ethically use for his practice:

John Doe & Associates
John Doe Law Firm
John Doe Law Office

Similarly, if the attorney has one associate (employed lawyer), which of those names may he use?

The first of these names (John Doe & Associates) was approved for a firm with an undisclosed number of associates in RO-87-01. It is unclear from that opinion and Rule 7.1(a) whether the use of the term 'associates' means that the lawyer must have at least one associate, or at least two associates in order not to be 'misleading.'

Similarly, many solo practitioners use the 'John Doe Law Office' or 'Law Offices of John Doe' appellation. Does the term 'John Doe Law Firm' carry enough of a different connotation that 'Firm' would be misleading for a solo practitioner, while 'Office' would be allowable?

Your attention to this question will be greatly appreciated."

ANSWER:

An attorney may designate his practice by the name "John Doe & Associates" only if he has at least one associated attorney in his employ. A sole practitioner may use the term "John Doe Law Firm," "John Doe Law Office," or "Law Offices of John Doe."

DISCUSSION:

Firm names and letterhead are governed by the provisions of Rule 7.5 read in conjunction with Rule 7.1 of the Rules of Professional Conduct of the Alabama State Bar. In substance, these rules provide that a firm name or letterhead shall not be misleading to the public. The Disciplinary Commission is of the opinion that the firm name, "John Doe & Associates" would lead the public to believe that John Doe has at least one other attorney associated with him in the practice of law. However, if the attorney has only one associate, the Disciplinary Commission is of the opinion that it is not necessary to restrict the name to the singular in order to avoid misleading the public. Whether a lawyer who does not presently employ other lawyers can claim that he normally employs one or more associates depends upon how long the firm has been without one or more associate attorneys and the firm's efforts to engage more associates.

The Disciplinary Commission is further of the opinion that the names "John Doe Law Firm" and "John Doe Law Office" may be used by a sole practitioner without misleading the public as to the size of the firm or the number of attorneys employed.

LGK/tm

7-8-93