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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When a Kentucky lawyer serves as a court-appointed guardian ad litem, who is the client, and can the lawyer take protective action against the client's wishes?
The guardian ad litem owes ethical duties to the minor, prisoner, or disabled person as the client, not to the court. If that client has diminished capacity and faces substantial harm, the lawyer may …
Can a former government lawyer in Kentucky disclose information, or testify as a fact or expert witness, about a matter they handled in office?
For a matter the lawyer personally and substantially participated in as a government officer or employee, the lawyer may disclose information or serve as a fact or expert witness only with the appropr…
Can an insurance-retained defense lawyer keep representing the insured when the carrier reserves coverage rights and intervenes in the same lawsuit?
It depends on how the coverage fight is structured. The lawyer may defend the insured even under a reservation of rights, but if the carrier intervenes in the same case and the coverage issues are not…
After a client dies, can a Kentucky lawyer reveal the client's confidential information or waive the attorney-client privilege?
Yes to both, within limits. The lawyer may reveal information when reasonably believed necessary to carry out the purposes of the representation, and both the lawyer and the decedent's personal repres…
Can a Kentucky lawyer give advice or information to an unrepresented opposing party?
No advice (other than the advice to get a lawyer), but a qualified yes on information. Under Rule 4.3, once the lawyer makes clear they represent an adverse party, they may explain documents, procedur…
Can a Kentucky lawyer work as a mediator or arbitrator as part of a law practice, run it from the law office, and use nonlawyer staff in the sessions?
Yes to all three. A lawyer may serve as a third-party neutral, may do so on the firm's premises, and may use nonlawyer staff, but remains bound by the Rules of Professional Conduct, including protecti…
Can a Kentucky lawyer reveal client confidential information to respond to a former client's negative online review or public criticism?
No. The self-defense exception in Rule 1.6(b)(3) is triggered by formal claims or disciplinary complaints, not by public or internet criticism, so a lawyer may not disclose client confidences to answe…
Can a Kentucky lawyer post about a current or former client, or name the client, on a blog or social media without consent, and does a public record change that?
No. Without client consent a lawyer may not reveal information relating to the representation, or the client's identity, on a blog or social media, and there is no exception just because the informati…
Do Kentucky lawyers have an ethical duty to use cybersecurity to protect client data, tell clients about breaches, and supervise the staff and vendors who handle it?
Yes. Lawyers must make reasonable efforts to protect client information from cyberattack as part of competence, confidentiality, and safekeeping duties; they may use nonlawyers and vendors but must ve…
Can a Kentucky government agency's lawyer answer questions from the public about the agency's rules without crossing into giving legal advice?
Qualified yes. With the agency's consent, an agency lawyer may give a non-client general information about the agency's procedures, rules, and options, but may not advise which option to choose, and m…
When Kentucky law firms discuss a merger, or a lawyer moves laterally, what client information can be shared for a conflicts check without client consent?
Firms and lateral lawyers may exchange basic client information (names, current/former status, adverse parties, and if needed a brief description of the matter) to check conflicts, but not privileged …
If a lawyer cc's their own client on an email to opposing counsel, can the other lawyer 'reply all' to the client, and does cc'ing the client reveal confidential information?
No, cc'ing a client is not, by itself, consent for opposing counsel to 'reply all' to the client; doing so without consent violates Rule 4.2. And cc'ing the client does reveal information relating to …
Can a Kentucky lawyer provide limited-scope ('unbundled') services and ghostwrite pleadings for a pro se litigant, and what has to be disclosed?
Yes. Under Rule 1.2(c) and the Persels decision, a lawyer may limit representation to defined tasks with the client's written informed consent, and may ghostwrite an initial pleading that is non-frivo…
What should a Kentucky lawyer do if an elderly or special-needs client is being abused or exploited, or if the lawyer's own client is the one doing the abusing?
After investigating the facts, the lawyer may take protective action. The lawyer may, but is not required to, reveal client confidences to report abuse, neglect, or exploitation; where the client is t…
After mediating a divorce for unrepresented parties, can the lawyer-mediator draft the settlement agreement and the other documents needed to finish the case?
The lawyer-mediator may help draft the agreement reached in mediation, but may not prepare the ancillary documents needed to complete the divorce for the unrepresented parties, and cannot avoid that b…
Can a Kentucky lawyer store confidential client information in the cloud, and what does the lawyer have to do to use it ethically?
Yes. A lawyer may use cloud computing for confidential client information, but must safeguard that information, act competently in selecting and monitoring the service, supervise the provider, and con…
How long does a Kentucky lawyer have to keep a closed client file, and when can it be destroyed?
The rules set no fixed period, but the opinion advises keeping a closed paper or electronic file at least five years, longer where the matter involves a minor, taxes, or other special circumstances, a…
In Kentucky, can a criminal defense lawyer advise a client to accept a plea deal that waives the right to claim ineffective assistance of counsel, and can a prosecutor offer one?
No to both. The opinion concluded that advising a client on a plea waiver of ineffective-assistance claims creates a non-waivable conflict of interest for defense counsel, and that a prosecutor who pr…
Can a Kentucky lawyer look at or access the Facebook or other social media account of an opposing party, witness, or juror to gather information for a client's case?
Yes, as long as the conduct does not break the existing rules. The opinion concluded a lawyer may use a third person's social network site to benefit a client, but may not use deception to gain access…
What must a Kentucky lawyer do when a client in a civil case disappears and cannot be located, including with the client's funds, the ongoing matter, and any settlement offer?
After a diligent search, the lawyer must turn unclaimed client funds over to the state under the unclaimed-property laws, will usually have to withdraw because the case cannot proceed without the clie…
Can a Kentucky lawyer help a client obtain pre-settlement litigation funding during a case, charge for the help, and must the lawyer honor the client's promise to repay the lender from any recovery?
A lawyer may help a client identify a third-party lender and facilitate funding (the lawyer may not lend the money personally), may charge for services beyond the original engagement, and must hold di…
When must a Kentucky lawyer report another lawyer's or a judge's misconduct, what does it mean to 'know' of a violation, and when does confidentiality or KYLAP excuse reporting?
A lawyer must report only when the lawyer actually knows of a violation that raises a substantial question about another lawyer's honesty, trustworthiness, or fitness (or a judge's fitness), and only …
Can a Kentucky lawyer join a for-profit group marketing service that sends prospective clients to participating lawyers through an 800 number or website, and how can the lawyer pay for it?
Qualified yes. The opinion concluded a lawyer may participate and pay reasonable advertising costs (including per-'hit' charges) so long as the arrangement is advertising and not a disguised for-profi…
Can a Kentucky lawyer pay a not-for-profit bar association referral service a percentage of the fee earned from a referred client, and can the service use those fees beyond its own operating costs?
Yes to both. The opinion concluded a lawyer may pay a not-for-profit bar referral service a percentage of the fee from a referred case without unlawful fee splitting, the percentage is a matter of con…
Can a Kentucky lawyer use a domain name that does not contain the lawyer's or firm's name, and can a law firm website be identified by the domain name alone?
A domain name unrelated to the lawyer's or firm's name is permissible only if it is not false or misleading and the linked site prominently identifies the lawyer or firm; a website identified by domai…
Can a Kentucky lawyer take credit card payments for earned fees, non-refundable retainers, and unearned advances, where must each go, and can the lawyer pass the card service charge to the client?
Earned fees and true non-refundable retainers go to the office account; credit card advances on unearned fees or expenses must go to the trust account and be protected from charge-backs against other …
Can a Kentucky lawyer participate in a collaborative law process, including a four-way full-disclosure agreement and a clause disqualifying both lawyers from litigation if no settlement is reached?
Qualified yes. The opinion concluded a lawyer may participate in collaborative law, including full-disclosure and disqualification provisions, so long as the agreement does not override the lawyer's e…
When a Kentucky lawyer leaves a law firm, who has to notify the clients, can the departing lawyer contact former and firm clients, and can the lawyer take client files to the new practice?
Current clients must be notified (by the departing lawyer, the firm, or both) and decide who represents them going forward; the departing lawyer may contact former and firm clients only within the adv…
In a Kentucky criminal case, can a lawyer use a subpoena to pull a witness in for an out-of-court statement, or to have documents 'certified' and sent straight to the lawyer, without notice to opposing counsel?
No to both. The opinion concluded a lawyer may not use a criminal subpoena to compel a witness and then divert them to an extrajudicial statement, nor to obtain documents directly without required not…
In Kentucky, may a lawyer use a subpoena duces tecum to obtain documents from a non-party and then withhold them from the other parties, by canceling a deposition or by inviting certification in lieu of trial attendance?
No. The opinion concluded that using the subpoena power to secretly obtain non-party documents, and failing to share them with the other parties as the civil rules require, violates KRPC 3.4, 4.1, and…
In Kentucky, could a part-time Commonwealth Attorney, or a member of the firm, represent a landowner in a condemnation action brought by the state?
No. The opinion concluded the representation is barred by KRPC 1.7 because the Commonwealth Attorney's client is the Commonwealth and the landowner's position is directly adverse to it, with the disqu…
Can a Kentucky lawyer borrow money to cover a client's litigation costs, pass the loan interest on to the client, and pledge the contingent fee as collateral?
The opinion concluded a lawyer may borrow from a lender to fund litigation expenses and may pass the interest on to the client if the business-transaction and fee-agreement safeguards are met, but may…
In Kentucky, may prosecutors meet with judges to develop informal policies or shared understandings on issues likely to influence outcomes in pending or future criminal cases?
No. The opinion concluded that such meetings are improper ex parte communications under KRPC 3.5, because they address issues likely to influence case outcomes; inviting the defense bar does not cure …
In Kentucky, is a lawyer imputedly disqualified when an office-mate previously represented a former client whose interests are adverse in the same or a substantially related matter?
The opinion concluded that if the office-sharing arrangement resembles a firm, the lawyer is imputedly disqualified under KRPC 1.9 and 1.10 unless the former client consents after consultation, or the…
Can a Kentucky lawyer share office space with a business or professional that is not engaged in the practice of law?
The opinion concluded a lawyer may share office space with nonlawyers, modifying an older flat ban, but only if the layout and operation safeguard client confidentiality, preserve the lawyer's profess…
In Kentucky, may an insurance-defense lawyer agree to follow an insurer's case-handling guidelines (such as prior approval of discovery or research, billing caps, and reporting deadlines) when representing the insured?
The opinion concluded a lawyer may agree to insurer guidelines only if they do not interfere with the lawyer's independent professional judgment, the lawyer discloses them and obtains the insured's in…
In Kentucky, could a part-time prosecutor represent the respondent in a civil domestic violence order (DVO) proceeding?
The opinion concluded a part-time prosecutor could not represent a DVO respondent, because the proceeding is so intertwined with the criminal system that it materially limited the prosecutor's duties …
In Kentucky, does a lawyer handling Title IV-D child-support enforcement for the state have an attorney-client relationship with the party seeking enforcement, even though a statute says there is none?
The opinion concluded that KRS 205.712(7) is not dispositive; whether an attorney-client relationship exists turns on whether a reasonable person, based on the parties' conduct, would understand one t…
In Kentucky, may a Master Commissioner hold funds received in the course of Master Commissioner duties in an IOLTA account?
Yes. The opinion concluded that no provision of the Kentucky Rules of Professional Conduct prohibits a Master Commissioner from using an IOLTA account for transactions related to those duties.
In Kentucky, may the law partner of a prosecutor represent criminal defendants, even in a different county, even without sharing fees, and even if the firm does not advertise the prosecutor connection?
No. The opinion concluded that because a prosecutor cannot represent criminal defendants under KRPC 1.7, the prosecutor's law partner is imputed-disqualified under KRPC 1.10, and the conflict cannot b…
In Kentucky, may a lawyer charge a contingent fee to handle an appeal of a divorce decree over whether certain property is marital or non-marital?
No. The opinion concluded that KRPC 1.5(d) bars a contingent fee in a domestic-relations matter, with no exception for an appeal of a dissolution decree concerning the classification of property.
In Kentucky, when an insurer provides an insured's defense under a reservation of rights, may the defense lawyer communicate with the insurer and continue the representation despite the potential coverage conflict?
The opinion concluded the lawyer represents only the insured; the lawyer may have customary communications with the insurer with the insured's consent but must withhold information harmful to the insu…
In Kentucky, may an insurance-defense lawyer let the insurer forward the lawyer's detailed legal bills to an outside auditing company without the insured client's consent?
The opinion concluded the lawyer must obtain the insured client's fully informed consent before providing the insurer with detailed billing information when the lawyer knows the insurer sends that inf…
In Kentucky, can a lawyer who is also a real estate sales agent represent a client in the same transaction where the lawyer earns a sales commission?
The opinion concluded a lawyer may not serve as both lawyer and real estate sales agent in the same transaction, or where another agent in the lawyer's brokerage handles it, because the conflict is no…
In Kentucky, may a Department of Public Advocacy lawyer negotiate for future employment with a prosecutor's office?
The opinion concluded a public advocate may not negotiate employment with any office that is a party or counsel in a matter the lawyer is handling personally and substantially (an absolute bar under K…
In Kentucky, may two firms or office-sharing lawyers who often represent adverse clients share the same legal secretary?
The opinion concluded that firms or office-sharers who often represent adverse interests generally may not share a legal secretary (qualified no), because under KRPC 5.3 the lawyers cannot realistical…
In Kentucky, what duties do salaried associate lawyers owe to clients and courts when the sole practitioner who employed them dies?
The opinion concluded the employed lawyers retain limited duties under KRPC 1.1, 1.3, 1.4, and 1.15, mainly to notify the clients they personally served so those clients can give instructions, and to …
In Kentucky, may a law firm send its detailed insurance-defense bills to the insurer's outside auditing company without the insured client's informed consent?
No. The opinion concluded a firm may submit detailed defense bills to a third-party auditor only with the informed consent of both the insured and the insurer, and may not release other clients' billi…
In Kentucky, may a lawyer email clients without encryption, and is a law firm website subject to the solicitation rules?
The opinion concluded a lawyer may use unencrypted email (including the Internet) to communicate with clients unless unusual circumstances require enhanced security, and that a passive law firm websit…
In Kentucky, does complying with the workers' compensation law's attorney-fee limits and fee-approval disclosures violate the ethics rules, and do the ex parte rules apply before the Department of Workers' Claims?
The opinion concluded that complying with the statutory fee limits does not by itself violate the rules (qualified no) and that a fee-approval affidavit can be supplied without disclosing privileged i…
In Kentucky, when a lawyer represents the fiduciary of a decedent's estate or trust, does the lawyer also represent or owe special duties to the beneficiaries, and may the lawyer represent both?
The opinion concluded a lawyer for a fiduciary represents the fiduciary, not the estate, trust, or beneficiaries, and owes beneficiaries no duties beyond those owed to other third parties; confidentia…
In Kentucky, may a lawyer pay a non-expert (occurrence) witness for time spent attending a deposition, trial, or preparation meeting?
Qualified yes. The opinion concluded that under KRPC 3.4(b) a lawyer may, but need not, pay a non-expert witness reasonable out-of-pocket expenses and reasonable lost income actually incurred in atten…
In Kentucky, may a lawyer negotiate for a job with the firm representing the adverse party in a matter, and must the negotiations be disclosed to the lawyer's client?
The opinion concluded that a lawyer actually working on the matter, or who has protected client information under KRPC 1.9/1.10, may not negotiate with the opposing firm without the client's consent; …
In Kentucky, may a lawyer who serves as a part-time hearing examiner for a city Human Rights Commission still represent clients before that Commission in unrelated cases?
Yes. The opinion concluded the lawyer may continue to represent clients before the Commission in matters unrelated to those in which the lawyer participated as hearing examiner, by analogy to a part-t…
In Kentucky, will the KBA Ethics Committee decide motions to disqualify counsel that are referred to it by the courts?
No. The opinion concluded the Committee has no authority to hold hearings or resolve disputed facts and that no rule provides for referring disqualification motions to it; judges decide those motions …
In Kentucky, may lawyers who are not in the same firm practice under a common name like 'Able, Baker, Charles & Dilbert, An Association of Attorneys'?
No. The opinion concluded that lawyers in separate firms may not use a common or umbrella firm name, because it misrepresents that they are one firm; a short association subtitle does not cure the mis…
In Kentucky, may a lawyer hold a client's file as security in a fee dispute?
Qualified no. The opinion concluded Kentucky law recognizes no retaining lien, so under KRPC 1.16(d) a lawyer must surrender the client's file (except true work product) on termination, even if duplic…
In Kentucky, may a lawyer pay an expert witness, or a litigation-support service, on a contingent-fee or success-bonus basis?
No for expert testimony. The opinion concluded a lawyer may not present testimony from an expert paid on a contingent or bonus basis, nor enter arrangements that split legal fees with a nonlawyer; oth…
In Kentucky, may a claimant's lawyer contact an insured tortfeasor over the insurer's objection when no defense lawyer has been appointed for the insured?
Yes. The opinion concluded an insurance adjuster is not a lawyer for purposes of KRPC 4.2, so a claimant's lawyer needs no adjuster consent to contact an insured who is not represented by counsel, whi…
In Kentucky, may a corporation's lawyer contact a represented employee who is suing the corporation, without the employee's lawyer's consent?
No. The opinion concluded that Rule 4.2 applies to all lawyers, including corporate counsel, so counsel for the corporation may not contact an employee known to be represented in a matter against the …
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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.