Kentucky Bar Association Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Kentucky Bar Association, with full citations and source links on every page.
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Can an assistant county or Commonwealth attorney defend criminal cases in another county, and can a county attorney handle a zone-change matter in a different county?
No to defending criminal cases anywhere in the Commonwealth: the assistant stands in the prosecutor's shoes. Yes to representing a client in another county's zone-change request, a civil matter, so lo…
Can a law firm give an office manager or paralegal a firm business card showing the nonlawyer's name and contact information?
No. Only lawyers' names may appear on a firm's professional cards and letterheads, so a firm card may not list an office manager or paralegal. The opinion was later modified by KBA E-223.
Can a lawyer who is under retainer or contract to a city sue that city in an unrelated matter while still representing it?
No. A lawyer cannot serve two masters at once; continuing to be employed by the city while suing it, even in an unrelated matter, creates a conflict and an appearance of impropriety.
In a multi-state law firm, does every partner have to be admitted to the Kentucky Bar?
No. The committee answered that not every partner in a multi-state firm must be a member of the Kentucky Bar, deferring to its earlier opinion E-92 as the complete statement of the rules.
Can a group legal services plan collect a legal fee for handling a workers' compensation case for one of its members?
No, at least while a prepaid fee could become a debt against the claimant's estate, because the plan would then receive part of the consideration paid for legal services, which the governing rule forb…
Can a lawyer share office space, staff, and a waiting room with a circuit judge before whom the lawyer appears?
No. Sharing an office and staff with a circuit judge before whom the lawyer practices creates an appearance of impropriety, suggesting the lawyer could obtain special favors for clients, and is barred…
After a lawyer certifies a title as clear of liens for one client, can the lawyer take on a second client to file a lien that predated that certification?
No. The lawyer may not accept the second client's employment, because asserting a lien that existed before the lawyer's own title certification to the first client conflicts with the work the lawyer d…
Can a law firm that moved offices announce the new location to the public through a newspaper advertisement?
Yes. Following Bates v. State Bar of Arizona, the committee concluded that limited, accurate, non-misleading advertising of routine information such as an office move is permitted.
Can a Kentucky county judge/executive practice criminal law as a special prosecutor or defense attorney in that county's courts?
Qualified yes. After the statute regulating county judges' law practice was repealed, the office is treated like any other county office; the practice is permissible so long as it does not conflict wi…
Can a lawyer who serves as a part-time domestic relations trial commissioner also represent private clients in domestic relations cases in the same circuit?
No. A trial commissioner is a judicial officer, and combining that role with private advocacy in domestic relations matters in the same circuit creates an appearance of impropriety barred by Canon 9 a…
If a client fires a contingent-fee lawyer after rejecting a settlement offer the lawyer thought fair, can the lawyer claim the full one-third fee, or only the reasonable value of the work?
The lawyer may not charge one-third of an offer the client never accepted, because no settlement was reached; the lawyer may instead seek the reasonable value of services rendered and should move to w…
Can a law firm list a non-lawyer employee on the firm's letterhead?
No. Under this opinion a lawyer could not list an employee who is not licensed to practice law on the firm letterhead. The opinion was later modified by KBA E-223.
If a lawyer helped a property owner who was not a formal client with financial problems, can the lawyer later represent a broker suing that owner?
No. The committee assumed the lawyer acquired information about the owner's financial difficulties that would bear on the litigation, so the lawyer may not represent the broker against the owner.
If a lawyer will be a witness whose testimony is central to a case, can the lawyer's partner represent the clients in that same case?
No. Where a lawyer will testify on a contested, material issue and none of the DR 5-101(B) exceptions apply, DR 5-102 extends the bar on the representation to the lawyer's partner, who should decline …
Can a law firm make an associate sign a non-compete that bars the associate from practicing law near the firm after leaving?
Generally no. A covenant restricting an associate's right to practice law after leaving is improper, except when it is a condition to the payment of retirement benefits.
Can a Kentucky lawyer buy a disbarred lawyer's practice by paying the disbarred lawyer a percentage of the fees earned from the former clients?
No. A disbarred lawyer is treated as a layman, and a lawyer may not divide legal fees with a layman; fee division is proper only with another lawyer based on a division of service or responsibility.
Is a legislator-lawyer who shares offices with lawyers handling Special Fund workers' compensation cases violating ethics rules?
Qualified no. On the facts given, no per se violation appears, but the office-sharing lawyers are treated as partners for confidentiality and conflict purposes, and the legislator must not use his pub…
Can a lawyer in a mortgage foreclosure bid on the property at the commissioner's sale when the sale won't cover the client's secured debt in full?
No. Where the property's fair market value is too low to pay the client's mortgage debt in full, the conditions allowing the attorney to bid are not met, and bidding would conflict with the client's i…
Can a law firm accept major credit cards to pay for legal services?
Yes, subject to conditions: the bar must approve any related advertising, the plan may not publish subscribing lawyers' names, the lawyer may do no more than discreetly indicate acceptance, and the la…
Can the Attorney General prosecute someone who was a codefendant with the Commonwealth in a related civil case the AG handled?
No. The committee found an appearance of impropriety where the AG, having represented the Commonwealth as a civil codefendant, also pursues the related criminal case, though the AG may direct another …
Can a lawyer charge a contingent fee based on property recovered for a wife in a divorce case?
No. A contingent fee tied to property recovered in a divorce is improper, because the justification for contingent fees does not apply and such a fee may motivate the lawyer to interfere with reconcil…
If a lawyer shares offices with a part-time assistant county attorney, can his office-mate take criminal or bastardy cases in that county?
Under this 1977 opinion, no to defending criminal cases or taking bastardy matters where the county's interest differs, even if the assistant is not personally involved; a narrow exception allowed con…
Can a law firm pay nonlawyer staff bonuses calculated as a percentage of the firm's gross or net income?
No. Tying a lay employee's bonus to a percentage of the firm's gross receipts or net profits is sharing legal fees with a nonlawyer, barred by DR 3-102(A); the only exception is a profit-sharing retir…
Can a court-appointed public defender privately bill a client who was found to be a needy person?
No. A defendant adjudged needy is entitled to free representation, so charging him a private fee for appointed work involves the kind of dishonesty barred by DR 1-102(A)(4), independent of the statute…
What can a Kentucky law firm put on its letterhead about out-of-state offices, of-counsel lawyers, and where its lawyers are admitted?
A firm may list bona fide out-of-state law offices, but may not show an of-counsel lawyer's separate office address or affirmative admission notations; non-admission notations are required only where …
Can a newly admitted lawyer give a local newspaper a biography and photo for a brief news story about starting practice?
Qualified yes. A factual, non-laudatory news announcement about a new lawyer is permissible; DR 2-101(A) bars only self-laudatory statements calculated to attract lay clients, and the test turns on la…
Can an assistant county attorney or his law partners defend criminal cases in the county where he serves?
No. An assistant county attorney may not defend criminal cases in his own county's courts, and because the assistant is disqualified, his partners are disqualified as well.
Can a lawyer who shares office space with the county attorney take cases against the county or defend criminal cases there?
Under this 1977 opinion, no to representation adverse to the county, and a qualified no to defending criminal cases in the attorney's own county; the KBA later modified it (E-243) and overruled it (E-…
Can a law firm list its investigator, office manager, or medical assistant by name and title on its letterhead?
No. DR 2-102(A) prohibits letterhead content beyond its enumerated exceptions, and naming nonlawyer staff or their roles is not among the information DR 2-102(A)(4) allows.
Can a former assistant prosecutor be paid by a victim's family to keep prosecuting a case he handled in office?
Qualified yes. He continues as an ad hoc public officer whose client is the Commonwealth, so he must disclose the payment to and work under the supervision of the Commonwealth's Attorney and not let t…
After withdrawing from representing a corporation, can a lawyer sue that corporation on behalf of a former officer and stockholder?
Only sometimes. The lawyer may not take the new case if it concerns, is substantially related to, or involves information from the former corporate representation; otherwise the lawyer may proceed.
Can a newly appointed magistrate or justice of the peace finish defending criminal cases he took on before taking the bench?
No. The committee held that a magistrate may not represent defendants in criminal cases in any court of criminal jurisdiction, so he may not complete a criminal defense begun before his appointment.
Can a prosecutor who handled a client's divorce also prosecute the other spouse for child nonsupport, or vice versa?
No to both. The committee held the power to prosecute for nonsupport is inherently coercive of the related divorce, regardless of motive, and the public-employee conflict rule bars later private work …
Can a lawyer be city attorney while a law partner represents the county planning and zoning commission?
Qualified yes. The committee saw no inherent conflict between a city and a county planning and zoning commission, but said its answer could differ if their interests became adverse in a particular cas…
Can a lawyer who has a victim's wrongful-death case also help the Commonwealth's attorney prosecute the murder without dropping the civil case?
Qualified yes. The committee allowed it where the lawyer merely assists and the Commonwealth's attorney keeps complete control of the prosecution, so the public role cannot be used to build or advanta…
Can a lawyer employed by an insurance company do estate planning and draft wills and trusts for the insurer's customers?
No. The committee held the insurer would be engaged in the unauthorized practice of law and the lawyer would be aiding it, because an insurer with a financial stake cannot give the customer the disint…
Can a lawyer who has done work for a bank for years, without a retainer, take a case against the bank in an unrelated matter?
Yes. The committee held that, absent a continuing retainer, prior representation in unrelated matters does not bar adverse employment, and the frequency or length of past work does not change that.
Can a law firm whose members sit on a lender's board do the title examinations the lender refers to it for purchaser-mortgagors?
Yes. The committee held the firm represents only the mortgagee, not the borrower, so passing the fee to the borrower is not improper solicitation and the firm members' board seats are irrelevant.
Can a former assistant prosecutor defend a criminal case that arose during his tenure if he never worked on it and had no access to confidential information?
Yes. The committee held the former-public-employee bar reaches only matters the lawyer actually worked on or supervised, and the confidence bar reaches only matters he had access to, neither of which …
Can a lawyer who drafted a deed defend a lawsuit seeking to set that conveyance aside?
Only if the case stays on legal issues. The committee said the lawyer may defend a suit raising only legal questions, but must decline or withdraw once contested factual issues arise on which he would…
Can a lawyer who shares office space with a trial commissioner defend criminal cases in other courts in the same county?
Qualified yes. The lawyer may take criminal cases except those tried or examined before the office-sharing commissioner, or any case in which the legality of the commissioner's acts may foreseeably be…
Can a county attorney represent residents challenging a county contract that predates his taking office?
No. The committee held that the county is entitled to the county attorney's independent judgment about the contract, and his judgment for the county would be adversely affected if he represented resid…
Can a lawyer use a subpoena to force a witness into a recorded sworn interview without notifying opposing counsel?
No. The committee called the practice a bluff that misuses the subpoena power, since the civil rules do not authorize subpoenas for ex parte investigation.
Can a lawyer who was the subject of a dismissed bar complaint sue the complainant and attach the disciplinary complaint to the damages suit?
No. The committee concluded that suing a disciplinary complainant over a dismissed complaint is frivolous, and that filing the action violated the rule keeping disciplinary matters confidential.
Can a lawyer in private practice list a public office, such as county judge, on the firm letterhead?
No. The committee answered that a lawyer may not reference a position as county judge or other public official on private-practice letterhead, resting on the earlier Opinion KBA E-84.
Can a lawyer who serves as a police officer and legal adviser to a county police department also defend criminal cases and handle car-accident matters in private practice?
No to criminal defense anywhere; the same bar that applies to prosecutors applies to the lawyer-officer and the firm. Car-accident cases are allowed only outside the department's territory and only un…
Can a part-time U.S. Magistrate represent local governments and agencies on a retainer when he could later have to disqualify himself?
Qualified yes. The committee concluded a part-time U.S. Magistrate may represent local governmental organizations and agencies in civil matters on a retainer, except in matters that may come before hi…
Can a county judge furnish probate and final-settlement forms to personal representatives, and can his clerks fill them out?
The committee concluded a county judge who is a lawyer may furnish blank form petitions and a settlement format, but neither he nor his lay clerks may prepare or help prepare the petitions and settlem…
Can a criminal-defense lawyer who has entered an appearance fail to prepare and move to withdraw on the day of trial because his fee was not paid?
No. The committee concluded that once the lawyers told the court they represented the defendant and rendered services, an attorney-client relationship existed; they could not skip trial preparation an…
Can a lawyer who occasionally sits as county judge pro tempore still defend criminal cases in the county's quarterly and circuit courts?
No bar in this case. The committee concluded that a lawyer who sits as county judge pro tem only about two weeks a year is not subject to the restrictions placed on a regular county judge, except that…
Can the law partners and associates of a part-time U.S. Magistrate defend criminal cases in state court?
Qualified yes. The committee concluded that a part-time U.S. Magistrate, and therefore his partners, associates, and employers, may defend criminal cases in state court, except where the facts indicat…
Can a county attorney also serve as attorney for a fourth-class city in the same county, or share an office with the city's attorney?
Qualified yes. The committee concluded a county attorney may also represent a fourth-class city in his county, and may share an office with or be the partner of the city attorney, but if an actual con…
Can a county attorney share an office with a city police court judge?
No. The committee held that a lawyer sharing offices with a police judge cannot prosecute cases originating before that judge, and a county attorney's prosecutorial duties would force him to abdicate …
Can a law firm appear before a state board when one of its members serves as the board's director?
No. The committee held that because the Director can exercise considerable influence over cases before the Workmen's Compensation Board, the firm's members and associates may not practice before it wh…
Can a law firm invest its client escrow balance and keep the interest to cover the cost of accounting for the account?
No. The committee held the interest on escrowed client funds would benefit the firm, not the fund owners, so the firm could not invest the balance and keep the interest for its accounting expense.
Can a lawyer be hired by a bail bonding company to represent a criminal defendant and negotiate a plea?
No. The committee held that a lawyer may not knowingly let a bonding company that recommends, furnishes, or pays for legal services promote the lawyer's services; bonding companies are not within the …
Can a lawyer do part-time claims adjusting for an adjusting company alongside a law practice?
Qualified yes. The committee allowed it if the adjusting business is kept separate and the lawyer declines to be retained as a lawyer in any matter he handled, or a related matter, as an adjuster.
Can a lawyer close loans and certify documents the lender prepared, when the lawyer does not actually supervise the drafting?
No. The committee held a lawyer may certify documents under the Scrivener's Statute only if he meaningfully supervised their preparation; the arrangements here showed he did not, so he could not compl…
Can a lawyer who serves as a Quarterly Court trial commissioner in one county defend a criminal case in a different county?
Yes. The committee held the bar on a subordinate-court judge defending criminal cases is limited to his own county, and the appearance-of-impropriety concern does not reach a commissioner practicing e…
Can a lawyer let a business client name him as its lawyer in the client's commercial advertising?
No. The committee held that naming the lawyer in the client's ad publicizes the lawyer in his behalf, which the former advertising rule barred, regardless of whose idea it was.
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Legal ethics opinions from the Kentucky Bar Association 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.