North Carolina State Bar Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the North Carolina State Bar, with full citations and source links on every page.
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When a partner retires and surrenders his license, may the firm keep his name, how must the letterhead show his status, and may the firm pay him a share of fees as a retirement benefit?
The opinion concluded that the firm may keep the retired partner's name in the firm name, must indicate on the letterhead that he is retired, and may pay him a percentage of fees as a retirement benef…
When a lawyer's deeds for a client turn out to be the wrong instruments and harm the original owners' title, what may the lawyer disclose and what must he do about the client's inaction?
The opinion concluded that the client's statements are confidential, but the lawyer is impliedly authorized to disclose the problem to the original owners and suggest corrective action unless the clie…
When two married lawyers practice at opposing firms in the same city, are the firms disqualified from adverse matters, and when do the spouse lawyers need client consent?
The opinion concluded that the firms are not disqualified and need no screen; the related-lawyer rule bars only a spouse from directly representing an interest adverse to the other spouse's client wit…
Can a group of lawyers hire a for-profit corporation to advertise their availability and refer responding clients to them for a fixed annual fee?
The opinion concluded that lawyers may use a for-profit corporate advertising and referral agent if the conditions of Rule 2.2 are met: the agent's fee is reasonable, ads are paid from the lawyers' fe…
Can a lawyer act as in-house counsel for a mortgage company and, in that role, represent the lenders or borrowers in closing the company's loans?
No. The opinion concluded that house counsel for a loan originator with no proprietary interest could not represent the lenders or borrowers in closings, as that would be unauthorized practice by the …
Can a lawyer turn past-due client accounts over to a collection agency, including paying the agency a percentage of what it collects?
The opinion concluded that a lawyer may employ a collection agency for delinquent client accounts, even on a percentage basis, if the original fee was proper, the client was not known to be unable to …
Can a lawyer contact a specific business in person, by phone, or by mail to pitch the firm's services and fees, hoping to be hired, with no prior relationship?
The opinion concluded that the lawyer may not make such targeted contacts to specific businesses, in person, by telephone, or by mail, where a significant motive is pecuniary gain and there is no prio…
Can a lawyer with a Juris Doctor degree call himself 'Doctor' or 'Dr.' and sign his name that way?
The opinion concluded that, because it is not normal practice to refer to a Juris Doctor degree as a doctorate or to call a JD-holding lawyer 'Doctor,' using those terms without explanation could be m…
Can a public defender do favors for jailed clients like cashing or buying money orders, and must client funds pass through a trust account?
The opinion concluded that nothing prohibits an attorney from doing such favors for clients, but money received from a client or for delivery to a client must be deposited into a trust account and dis…
Must a lawyer who served as deed-of-trust trustee, and who once represented the seller, resign as trustee when the foreclosure becomes contested?
The opinion concluded that a lawyer-trustee who represented the seller at closing is not ethically required to resign as trustee in a contested foreclosure, so long as he does not currently represent …
Can a lawyer charge a contingent fee, a percentage of what is collected, to enforce a court order for past-due child support?
The opinion concluded that a lawyer is not automatically barred from a contingent fee to collect specific past-due child support reduced to a sum certain, but must avoid an excessive fee; where collec…
Can a lawyer hire a licensed bail bondsman as his part-time private investigator and list him on the firm letterhead?
The opinion concluded that the lawyer may not enter into the proposed contractual relationship with the bail bondsman, because it gives an appearance of impropriety.
Can a real estate lawyer disburse from the trust account at closing before the lender's out-of-state draft has cleared, relying on other clients' funds as float?
The opinion concluded no; the lawyer may not use the float of other clients' funds to cover a lender's uncollected draft, because if the draft fails the other clients' money is put at risk, though dis…
Can a lawyer who once clerked at a firm now represent that firm's former client against the firm in a fee-collection suit?
The opinion concluded yes, because the client the lawyer now represents and the client the firm previously represented are the same person, so there is no confidentiality breach or conflict of interes…
When a custody case ends, may the lawyer give the client copies of Department of Social Services home studies in the file, including one stamped confidential for court use only?
The opinion concluded that yes, unless a judge orders otherwise, the lawyer should release the home studies, because a discharged lawyer must turn over the papers the client is entitled to and no stat…
Must a lawyer who handled an indigent defendant's criminal appeal give the client the State-supplied trial transcript after the appeal ends?
The opinion concluded that yes, if the client wishes it, the lawyer must turn over the transcript, because the right to the transcript belongs to the defendant, not the lawyer, and a lawyer must promp…
Can one law firm represent both the substitute trustee under a deed of trust and the lender in a bankruptcy adversary proceeding seeking relief from the automatic stay?
The opinion concluded the firm may not represent both, because the trustee must preserve the interests of both lender and borrower while the lender is an adversary of the debtor, so advocating for the…
If a lawyer sits on a city council, county board, or legislature, what must the lawyer and the lawyer's partners do when the firm appears before that body?
The opinion set out recusal duties for a lawyer-member when his firm appears before his board, and barred the firm from representing that board; it was later overruled in part by RPC 130, which allows…
Can a lawyer who is the trustee under a deed of trust represent one of the parties in a partition proceeding that involves the lender and the trustee?
The opinion concluded the lawyer-trustee may not represent the party unless he first resigns as trustee, because the trustee is a fiduciary to both lender and borrower and cannot be both a party in th…
Can a plaintiff's divorce lawyer prepare and give the unrepresented defendant an 'Acceptance of Service and Waiver' form that waives the right to answer and to notice of trial?
The opinion concluded the plaintiff's lawyer may not send or make available a form waiving the defendant's right to answer or to notice of trial, because that has the same effect as drafting an answer…
Can a firm that regularly does insurance defense work take plaintiff's cases against defendants insured by those same insurance companies?
The opinion concluded that the firm represents both the insured and the insurer, and may take a plaintiff's case against an insurer's insured without the insurer's consent if the plaintiff gives infor…
Can a North Carolina lawyer certify title or give a title opinion on real property the lawyer (or the lawyer's firm) personally owns, is selling, or is buying?
The opinion concluded that a lawyer or the lawyer's firm may not certify title when the lawyer is the seller or has a beneficial interest in the selling entity, but may certify title on a purchase or …
If a lawyer sits on a city council or county commission, are the lawyer's partners and associates disqualified from cases in which a police officer of that government unit will testify?
The opinion concluded that the partners and associates are not automatically disqualified when the governing board is not directly involved in hiring, firing, or setting salaries of the police officer…
Can a lawyer also work as an insurance salesman, sell insurance to his legal clients, and prepare wills for his insurance customers?
The opinion concluded that a lawyer may both practice law and sell insurance, but may not sell life insurance to a client for whom he is preparing a will, trust, or estate plan, and may prepare wills …
When a foreclosure that started uncontested becomes contested at the hearing, what must the lawyer-trustee do, and can his firm or staff take a side?
The opinion concluded that the lawyer-trustee must act as a neutral fiduciary for both parties; while he is trustee no member of his firm may represent the petitioning party, and a lawyer whose firm s…
If a foreclosure becomes contested, can the attorney-trustee resign, have the lender appoint a substitute trustee, and then represent the lender in the foreclosure?
The opinion concluded that the attorney may represent the lender in all further foreclosure proceedings after resigning as trustee and the lender appoints a substitute, so long as the attorney has no …
May a lawyer who serves as the trustee in a foreclosure act as advocate for the lender or the borrower at any stage of the proceeding?
The opinion concluded that the trustee/attorney cannot ethically act as advocate for either the lender or the borrower at any stage of the foreclosure, because as trustee he owes a fiduciary duty to b…
Can a lawyer let clients pay legal fees with a credit card such as Master Charge?
The opinion concluded that it is ethical for a lawyer to offer credit card services to clients for the payment of fees for services rendered.
Can a plaintiff's divorce lawyer prepare the defendant-wife's answer for the husband to deliver, or advise the husband on preparing it himself?
The opinion concluded that the lawyer may not prepare the defendant-wife's answer (following CPR 121), and may not advise the husband on preparing his wife's answer, because the husband doing so would…
In an uncontested divorce, what may the plaintiff's lawyer send the unrepresented defendant, and can the defendant help pay the plaintiff's fee?
The opinion concluded that the plaintiff's lawyer may send the defendant the summons and complaint for acceptance of service, but may not send a form answer, a draft answer admitting the allegations, …
Can a lawyer accept title work from a lender that, as a standing practice, tells all borrowers it will accept title certificates only from that one lawyer?
The opinion concluded that, while a lawyer may accept work recommended by friends or satisfied clients, it is unethical to accept employment that results from a lender's long-standing requirement that…
Can lawyers, including a young lawyers association, ask a lending institution or title insurer to review their qualifications and add them to its approved list for title searches?
The opinion concluded that lawyers, whether or not young and whether or not in an association, may ethically request a lending institution or title insurance company, agency, or agent to review their …
Can a lawyer who owns a substantial interest in a title insurance company certify title to that company in a real estate deal and take compensation from it?
The opinion concluded that it is unethical for a lawyer who owns a substantial interest, directly or indirectly, in a title insurance company, agency, or agent to certify title to it in a real estate …
In a routine residential loan and sale, can one lawyer represent the borrower and the lender (and handle the seller's deed), and what must the lawyer disclose?
The opinion concluded that a lawyer may represent both borrower and lender in the usual residential loan transaction, but must give timely notice to anyone he does not intend to represent (or be deeme…
When a deed-of-trust foreclosure becomes contested, can the lawyer who is trustee, or his firm, also represent the foreclosing bank on appeal and in related suits?
The opinion concluded that the lawyer-trustee or his firm may not represent the bank in the contested appeal or related litigation, but may represent the trustee; if the lawyer resigns as trustee and …
Can a lawyer who is guardian for an incompetent ward also examine the title for the buyer and lender when the ward's land is sold?
The opinion concluded that the lawyer-guardian should decline to examine the title for the purchaser and lending institution, because the ward (the real party in interest) cannot give meaningful conse…
When a client fires a lawyer and hires a new one, must the discharged lawyer turn over the entire file, including his own work product?
The opinion concluded that a discharged or withdrawing lawyer must deliver the papers and property to which the client is entitled, and generally anything helpful to the new lawyer, but need not turn …
Can a plaintiff's lawyer interview a rank-and-file employee of the adverse corporation before calling that employee as a witness?
The opinion concluded that the lawyer may interview the employee, even if not subpoenaed, because interviewing a rank-and-file employee of an adverse corporate party is not communicating with an adver…
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Legal ethics opinions from the North Carolina State Bar 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.