State Bar of California Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the State Bar of California, with full citations and source links on every page.
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What must a California lawyer do when charging a flat fee, refunding an advance flat fee after early termination, or renegotiating a flat fee mid-engagement?
The opinion concludes a California lawyer must clearly state which services the flat fee covers and when it is earned, must refund any unearned portion of an advance flat fee on early termination (eve…
Are California lawyers required to have a succession plan, and what duties does an assisting attorney take on?
California has no rule that expressly mandates a succession plan, but the combined duties of competence, diligence, communication, withdrawal, safekeeping client property, and supervision require ever…
What are a California lawyer's ethical duties when working remotely or in a hybrid law-firm setting?
Remote practice does not change a California lawyer's ethical duties. Managerial lawyers must implement reasonable measures, policies, and practices to ensure compliance with the rules in a remote env…
How should a California lawyer represent a client whose decision-making capacity may be impaired, and when may the lawyer take protective action?
The opinion concludes that the lawyer should preserve a normal lawyer-client relationship insofar as possible; that informed, disinterested judgments about capacity will not be treated as unethical in…
When a California lawyer or law-firm colleague has a mental impairment affecting their practice, what do that lawyer, their subordinates, and their supervisors have to do?
An impairment does not excuse the impaired lawyer from any duty. It triggers parallel duties for that lawyer's subordinates, supervisors, and other colleagues who know of the conduct, including commun…
What duties does a California lawyer owe to a prospective client who shared confidential information during an interview that did not result in representation?
Per California Formal Opinion 2021-205, the interviewing lawyer owes a prospective client the same duty of confidentiality owed to a current or former client. The lawyer (and, by imputation, the law f…
What ethical duties does a California lawyer owe when a third-party litigation funder is involved in the case?
Per California Formal Opinion 2020-204, lawyers must preserve independent professional judgment, comply with the duty of confidentiality, obtain the client's informed written consent before sharing co…
What are a California lawyer's ethical duties to prevent and respond to a data breach involving confidential client information?
Per California Formal Opinion 2020-203, lawyers must assess the risks of keeping confidential client information on electronic devices and take reasonable steps to secure those systems. After a breach…
May a California lawyer advise and assist a client in operating a cannabis business that is lawful under California law but unlawful under federal law?
Per California Formal Opinion 2020-202, yes. A California lawyer may advise and assist a client in conduct permitted by California cannabis laws even though that conduct may violate federal law, provi…
What ethical duties do a departing California lawyer and the lawyer's old firm owe to clients during the transition?
Per California Formal Opinion 2020-201, both the departing lawyer and the law firm must put the client's interests first, give timely notice to clients for whom the departing lawyer is principally res…
What must a California civil-trial lawyer do when a client's witness has testified or will testify falsely?
Under California Formal Opinion 2019-200, an attorney may use evidence that is merely suspected to be false but must refuse to present testimony known to be perjured even on the client's instruction; …
When does a California lawyer become responsible for a profile on a third-party online directory or rating website?
Per California Formal Opinion 2019-199, an attorney becomes responsible for a third-party directory profile when the attorney 'adopts' or otherwise uses it to market the practice, at which point Rules…
May a California lawyer who must withdraw because the client's claim lacks merit try to settle the case before withdrawing?
Per California Formal Opinion 2019-198, yes. The attorney's duty under Rule 1.16(d) to avoid reasonably foreseeable prejudice may be satisfied by negotiating a settlement before withdrawal, provided t…
When can a California lawyer consult outside counsel or law-firm in-house counsel about a current client's matter without creating a conflict and what must the lawyer tell the client?
Per California Formal Opinion 2019-197, the act of seeking legal advice about ethical compliance is not itself a conflict and need not be disclosed; once the lawyer learns of an error that could preju…
When does a California attorney's blog become regulated advertising under the Rules of Professional Conduct?
Per California Formal Opinion 2016-196, a blog is a 'communication' subject to advertising rules only if it expresses the attorney's availability for professional employment, either by express invitat…
Does a California lawyer's duty of confidentiality protect publicly available information about a current or former client?
Per California Formal Opinion 2016-195, yes. The duty of confidentiality under Business and Professions Code section 6068(e)(1) and former Rule 3-100 covers any information obtained during the represe…
What level of technology competence does a California lawyer handling litigation need to ethically manage electronically stored information (ESI) and e-discovery?
Per California Formal Opinion 2015-193, an attorney's duty of competence under former Rule 3-110 includes a basic understanding of e-discovery; if the matter requires more, the lawyer must acquire the…
What may a California lawyer say (and not say) to opposing counsel or a settlement officer during settlement negotiations?
Per California Formal Opinion 2015-194, false statements of material fact and implicit misrepresentations during settlement negotiations are prohibited, but statements about a party's negotiating goal…
When a California lawyer must withdraw because the client is pursuing the case for improper purposes, what may the lawyer tell the court about the reason, and what must the lawyer do if ordered to disclose confidential client communications in camera?
Per California Formal Opinion 2015-192, the lawyer may disclose only as much as is reasonably necessary to demonstrate the need to withdraw; ordinarily 'ethical considerations require withdrawal' or '…
If a California lawyer represents a debtor in a pro bono simple, no-asset Chapter 7 bankruptcy and concurrently represents one of the debtor's creditors in an unrelated matter, must the lawyer obtain informed written consent from both clients?
Per California Formal Opinion 2014-191, no informed written consent is required under former Rule 3-310(C)(3) because a simple, no-asset Chapter 7 is an in rem proceeding that does not create direct a…
When a California law firm dissolves, what does each attorney (lead partner, associate on the matter, partner unrelated to the matter) owe each client of the firm under the duty to avoid foreseeable prejudice on withdrawal?
Per California Formal Opinion 2014-190, every attorney at the dissolving firm (regardless of partner/associate status or prior contact with the client) owes the client a duty under former Rule 3-700(A…
When a third party pays the lawyer's fees for the client and unused funds remain in the trust account at the end of the case, who gets the refund?
Per California Formal Opinion 2013-187, absent a fee agreement specifying otherwise, the lawyer must return the surplus to the third-party payor, not the client, because the concept of 'refund' implie…
In a transactional negotiation, does a California lawyer have a duty to alert opposing counsel to (A) an apparent material error opposing counsel made or (B) a material change the lawyer made in revised contract language?
Per California Formal Opinion 2013-189, no duty arises in Scenario A if the lawyer did not induce opposing counsel's error; in Scenario B, once the lawyer realizes that an unintended defect in the red…
If a California lawyer receives from a third party what appears to be a privileged communication between opposing counsel and opposing counsel's client, can the lawyer read it under a crime-fraud theory?
Per California Formal Opinion 2013-188, the lawyer may not read the communication even if she suspects the crime-fraud exception applies; she must promptly notify opposing counsel and may not use the …
When are a California lawyer's posts on Facebook, Twitter, or other social media subject to the rules governing attorney advertising?
Per California Formal Opinion 2012-186, a social-media post is subject to former Rule 1-400 if it is a 'communication' concerning the lawyer's availability for professional employment; routine status …
In settling a fee or malpractice dispute with a former client, what kinds of representations or agreements about not filing a State Bar complaint can a California lawyer ask for, and what is foreclosed by Business and Professions Code section 6090.5?
Per California Formal Opinion 2012-185, section 6090.5 bars seeking any written or oral client agreement not to file a State Bar complaint, and may also bar settlement recitations of the client's past…
May a California lawyer run a virtual law office where all client communication and storage are handled through a third-party cloud vendor's portal, and what does she have to do to comply with her ethical obligations?
Per California Formal Opinion 2012-184, the Rules of Professional Conduct do not impose greater duties on a VLO than on a traditional office, but the cloud-only structure triggers specific due-diligen…
May a former senior associate disclose client confidences to her own attorney to evaluate a wrongful discharge claim against her old firm, and may either of them publicly disclose those confidences in the litigation?
Per California Formal Opinion 2012-183, the associate may privately disclose to her own attorney so much of the firm's client's confidential information as is necessary to evaluate the claim, but neit…
When a California lawyer needs to serve a discovery subpoena on a current client of the lawyer's firm in an unrelated matter, is that a conflict, and can it be cured by informed written consent?
Per California Formal Opinion 2011-182, serving a discovery subpoena on a current client is adverse and a conflict, but the firm may accept the new representation if it obtains informed written consen…
Can a California lawyer's consent under the no-contact rule (former Rule 2-100) be implied rather than express, and what factors determine whether it has been?
Per California Formal Opinion 2011-181, consent under former Rule 2-100 may be implied from the facts and circumstances of the communication, weighed against a non-exhaustive nine-factor list includin…
When does a California lawyer violate the rule against inducing a substantial gift from a client?
Per California Formal Opinion 2011-180, a lawyer who demonstrates by words or conduct an intent to cause a client to give the lawyer a substantial gift violates former Rule 4-400, and whether a gift i…
When may a California attorney use email, public wireless internet, a home wireless network, and a firm-monitored laptop to handle a client's matter without violating the duties of confidentiality and competence?
Per California Formal Opinion 2010-179, it depends on the technology and circumstances. Before using a technology with confidential client information, the attorney must evaluate (1) the security of t…
When a California lawyer settles a fee dispute with a client, may the settlement agreement include a general release and a Civil Code section 1542 waiver that also covers legal malpractice, and what does the lawyer have to do first?
Per California Formal Opinion 2009-178, a lawyer must promptly disclose to the client the facts giving rise to any actual or potential malpractice claim before entering into such a settlement. The law…
When a settlement check in a California personal injury matter is made jointly payable to the client, the former attorney with a charging lien, and successor counsel, may the former attorney refuse to endorse it without violating former Rule 4-100(B)(4), and what must she do with the undisputed portion the client demands?
Per California Formal Opinion 2009-177, yes, the former attorney may refuse to endorse, because endorsing would extinguish her charging lien under Civil Code section 2913 (per Feldsott). But she must …
In a California case under a fee-shifting statute, may plaintiff's counsel block a settlement her client wants to accept because it waives statutory fees, and does defense counsel violate any ethical rule by recommending or conveying a fee-waiver settlement offer, either in a particular case or as a general practice?
Per California Formal Opinion 2009-176, no on all three counts. Plaintiff's counsel must inform the client of a fee-waiver settlement offer and consummate it in accordance with the client's wishes, ev…
When a California client tells her new lawyer not to notify her prior lawyer (who has a valid charging lien on the recovery) of a settlement, what may and must the successor lawyer do with the disputed fees held in her trust account?
Per California Formal Opinion 2008-175, the successor lawyer must first counsel the client on the adverse consequences of concealing the settlement, then, if the client persists, must nonetheless disc…
May a California attorney accept payment of earned legal fees, deposits for unearned fees, and advances for costs and expenses by credit card?
Per California Formal Opinion 2007-172, yes for earned fees and yes for deposits of unearned fees, in each case taking care to discharge the duty of confidentiality (the charge-slip description must b…
When a California attorney's employment terminates and the client demands electronic versions of e-mail, pleadings, discovery, the deposition and exhibit database, and transactional documents, must the attorney release them, and may the attorney refuse on the ground that they contain other-client metadata?
Per California Formal Opinion 2007-174, yes. Former Rule 3-700(D)(1) extends to existing electronic items, with no 'balancing test' for client need versus attorney burden, and applies because the item…
May a California attorney deposit a client's will with a private will depository or register a client's will with a private will registry without the client's express consent, where the attorney cannot locate the client?
Per California Formal Opinion 2007-173, no for a will depository, because Probate Code sections 700 et seq. provide the exclusive means for terminating a deposit; depositing the will with a private de…
Once an attorney has properly withdrawn a fee from the Client Trust Account at the earliest reasonable time after the interest became fixed, does the attorney have to redeposit the fee if the client later disputes it?
Per California Formal Opinion 2006-171, no. Once a fee has been properly withdrawn from a CTA under former Rule 4-100(A)(2), the funds cease to have trust account status; a later client dispute is a m…
Does the inclusion of a charging lien in a contingency fee agreement require California compliance with former Rule 3-300, including written advice to consult independent counsel and written client consent?
Per California Formal Opinion 2006-170, no. A charging lien is a natural corollary of a contingency fee agreement and does not create an 'adverse interest' under former Rule 3-300, distinguishing *Fle…
May a California attorney maintain overdraft protection on a Client Trust Account, what must the attorney do if a CTA check is dishonored, and when must earned fees be withdrawn from the CTA?
Per California Formal Opinion 2005-169, overdraft protection on a Client Trust Account is permissible only if it covers exactly the amount of the overdraft plus reasonable bank charges, not a residue …
Does a law-firm website disclaimer that an 'attorney-client relationship' or 'confidential relationship' is not formed defeat a visitor's reasonable expectation that information typed into the firm's intake form will be kept confidential?
Per California Formal Opinion 2005-168, no. A bare disclaimer that no attorney-client or 'confidential relationship' is formed does not defeat the visitor's reasonable belief that the consultation is …
Can a California private law firm use a trade name (like 'Workers' Compensation Relief Center') or a current/former governmental title in its name, letterhead, or business cards?
Per California Formal Opinion 2004-167, an attorney may not use a firm trade name or professional designation that implies, or tends to confuse the public into believing, a connection with a governmen…
Can a California lawyer post in an Internet chat room dedicated to victims of a recent mass disaster to offer her services?
Per California Formal Opinion 2004-166, the attorney's communication is not a prohibited 'solicitation' under former Rule 1-400(B) because the rule's 'in person or by telephone' bright-line does not e…
What ethical duties does a California lawyer owe when hiring an outside contract attorney to make court appearances, and what duties does the contract attorney owe to the hiring lawyer's client?
Per California Formal Opinion 2004-165, the hiring lawyer must disclose the contract attorney's involvement when it is a significant development under former Rule 3-500 and Business and Professions Co…
Does answering legal questions live on a radio call-in show create an attorney-client relationship with the caller?
Per California Formal Opinion 2003-164, the call-in radio show context, with screening, on-air confidentiality disclaimers, generalized answers, and referrals to local counsel, does not provide a basi…
When outside corporate counsel also represents an officer personally on unrelated matters, what does she do if she learns the officer may have harmed the corporation?
Per California Formal Opinion 2003-163, when outside counsel represents both the corporation and an officer-constituent (on unrelated matters) and learns information that creates a conflict, the analy…
Can a California lawyer publicly advocate civil disobedience (here, refusal to pay taxes) and simultaneously maintain a tax law practice?
Per California Formal Opinion 2003-162, an attorney has First Amendment rights to publicly advocate civil disobedience, but in advising clients she may not counsel them to violate the law unless she r…
When can a casual or non-office communication from a non-client to a California lawyer create a duty of confidentiality, even though no attorney-client relationship is formed?
Per California Formal Opinion 2003-161, a duty of confidentiality may attach to a non-office communication either because an implied-in-fact attorney-client relationship was formed, or, even without s…
What may a California lawyer do for a missing client who already authorized settlement of claims within a defined range, and how must the lawyer handle settlement proceeds and fees?
Per California Formal Opinion 2002-160, an attorney who has been given express authority to settle claims at or above a specified percentage of face value retains independent ethical duties (competenc…
Can a California lawyer refer a prospective client to an independent broker for a real-estate loan to pay legal fees, with the loan proceeds going into a third-party escrow from which the lawyer is paid?
Per California Formal Opinion 2002-159, the lawyer may make the referral and use the escrow arrangement so long as the lawyer receives no compensation for the referral, has no undisclosed business or …
Can a public defender's office set up a physically separate alternate defender unit so the two operate as separate firms for conflict purposes?
Per California Formal Opinion 2002-158, a Public Defender (PD) and a physically separated Alternate Defender Office (ADO) following the People v. Christian (1996) model can be treated as separate firm…
How long must a California lawyer keep a former client's closed file, and when may the lawyer destroy it?
Per California Formal Opinion 2001-157, original papers and property the client gave the lawyer (including documents delivered under Probate Code section 710) are governed by the law of deposits or th…
When a city attorney advises both the city council and the mayor on the same matter and they take antagonistic positions, does that representation create a Rule 3-310(C) conflict of interest?
Per California Formal Opinion 2001-156, ordinarily no, because the city attorney has only one client (the city itself, acting through its constituent sub-entities and officials under former Rule 3-600…
Is a California law firm's public Internet website (describing the firm and offering email contact) a regulated 'communication' or 'solicitation' under former Rule 1-400, and what cross-jurisdictional considerations apply?
Per California Formal Opinion 2001-155, the website is a 'communication' under former Rule 1-400(A) and an 'advertisement' under Business and Professions Code sections 6157-6158.3, so all rules agains…
When a California lawyer also offers non-legal services like investment advising, when do the Rules of Professional Conduct apply, can the lawyer market with 'Esq.' and tax credentials, and is a referral commission from a portfolio manager a Rule 1-320 fee-share?
Per California Formal Opinion 1999-154, when the same lawyer is providing legal and non-legal services to a client, all of the services are subject to the Rules; Rule 1-400 applies to non-legal market…
Can a California lawyer jointly represent a close corporation and the controlling shareholder in a lawsuit brought by the only other shareholder against both, and who provides the corporation's consent?
Per California Formal Opinion 1999-153, under the facts presented a lawyer may jointly represent the corporation and the controlling shareholder under former Rule 3-310(C)(1) only if their interests a…
If one lawyer in a California firm received material confidential information from a former client, may another lawyer in the same firm accept a representation adverse to that former client without obtaining the former client's informed written consent?
Per California Formal Opinion 1998-152, the second lawyer is not subject to discipline under former Rule 3-310(E) because the rule references the individual 'member', not the firm; the imputed-knowled…
When discovery sanctions are sought (or awarded) against a California lawyer and the client jointly, what must the lawyer do to satisfy the duties to inform the client, oppose the motion, and (where necessary) withdraw?
Per California Formal Opinion 1997-151, a motion for discovery sanctions against the lawyer and client is ordinarily a significant development the lawyer must communicate under former Rule 3-500; an o…
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Legal ethics opinions from the State Bar of California interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are not binding like court discipline decisions, but courts and discipline boards treat formal opinions as substantial guidance on how the rules apply. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.