New York City Bar Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the New York City Bar, with full citations and source links on every page.
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What does a New York lawyer have to do when AI tools (whether the lawyer's or the client's) record, transcribe, and summarize attorney-client conversations on Zoom, Teams, or similar platforms?
The opinion concludes the lawyer must obtain client consent before AI records the call, must independently review any AI-generated transcript or summary for accuracy, must safeguard confidentiality an…
When does a New York lawyer's strongly held personal, religious, political, or moral view create a Rule 1.7(a)(2) personal-interest conflict that requires the lawyer to decline or withdraw from a representation?
The opinion concludes such conflicts are rare; the Rules presume lawyers cultivate detachment and can subordinate personal views. A Rule 1.7(a)(2) conflict arises only when the lawyer subjectively con…
If a New York lawyer signs a contract (engagement letter, outside-counsel guideline, or employment policy) that purports to limit the lawyer's Rules-granted discretion, is the lawyer ethically bound by that contract?
The opinion concludes that lawyer and client cannot alter the Rules by agreement; a New York lawyer always retains the discretion the Rules grant, even where exercising it would breach a contract. Ent…
May a New York law firm's partnership or employment agreement impose forfeitable bonuses, conditional loan forgiveness, deferred compensation, or capital deductions that, in effect, discourage a departing lawyer from competing with the firm?
Per the opinion, no. The committee holds that Rule 5.6(a)(1) prohibits not only express anti-competition provisions but also facially neutral discretionary financial terms whose actual effect is to de…
May a New York lawyer who is, or whose client is, legally immune (judges, prosecutors, legislators, diplomats, the President) deviate from the New York Rules of Professional Conduct in conduct that is illegal or fraudulent?
Per the opinion, no. The committee concludes that the Rules make no exception for lawyers or clients with legal immunity. Acts that are 'illegal' or 'fraudulent' do not become innocent because the per…
Must a New York-admitted government lawyer (DOJ or other federal, state, or local agency) comply with the New York Rules of Professional Conduct even when doing so requires disobeying a superior's directive?
Per the opinion, yes. The committee concludes that the Rules apply to all New York lawyers, including government lawyers. A government lawyer's discretion to refuse a superior's directive that would r…
Do conflicts of interest from a New York law firm's hire of an unadmitted summer law clerk, intern, or law-school graduate get imputed to the firm under Rule 1.10? What confidentiality steps does the firm have to take?
Per the opinion, unadmitted summer law clerks, interns, and law school graduates are not 'lawyers' under Rule 1.10, so their prior work does not create imputed conflicts when they are hired. Firms mus…
What are the New York ethics obligations of a lawyer or law firm using generative AI tools in practice (chatbots, legal-research AI, document review and analytics)?
The opinion provides general guidance rather than hard rules. Per the opinion, a New York lawyer using generative AI must consider confidentiality (Rule 1.6), conflicts (Rules 1.7-1.12), competence an…
Can a New York lawyer invest in or do business with an alternative business structure (ABS) law firm that operates legally in a state like Arizona or Utah that allows nonlawyer ownership?
A New York lawyer may hold a passive financial interest in a lawful out-of-state ABS and may enter an arm's-length fee-sharing arrangement with one, as long as the ABS and the New York firm stay legal…
After a law firm suffers a data breach or ransomware attack, when must a New York lawyer tell clients, and can the lawyer pay or lie to the extortionist?
A lawyer must take reasonable steps to protect client data and, under Rule 1.4, promptly notify current clients when a cyber incident is a material development. Paying a ransom is neither prohibited n…
Can a New York lawyer review or sign a client's litigation funding agreement, and what are the lawyer's duties on fee sharing, conflicts, confidentiality, and control of the case?
Client-directed litigation funding does not violate Rule 5.4 because the funder is repaid from the client's recovery, not the lawyer's fee. A lawyer reviewing such an agreement must watch for conflict…
Can a New York lawyer or law firm represent two or more clients bidding against each other for the same asset?
Representing competing bidders for the same asset generally creates a conflict of interest, but the conflict is often waivable in a firm setting using separate teams and information walls, or by a law…
If I cc my own client on an email to opposing counsel, can the other lawyer reply-all directly to my client, and what about bcc?
A lawyer who cc's a client on an email to other counsel generally gives that counsel implied consent under Rule 4.2 to reply-all and thereby communicate directly with the client, though the consent is…
Can a client give a lawyer advance authority to settle within a set range, and can the client take that authority back?
A client may grant advance settlement authority, but it is limited: the client may revoke it at any time, and the lawyer has a continuing duty to keep the client informed of material developments and …
When a lawyer is subpoenaed for documents containing a current or former client's confidential information, must the lawyer comply, object, or fight it?
The lawyer must notify the affected current or former client and seek consent to respond. If consent is not obtained, the lawyer may rely on Rule 1.6's "authorized by other law or court order" excepti…
Can a New York lawyer's health concerns about appearing in court in person during a pandemic create a conflict of interest that requires withdrawal?
A lawyer's serious health concerns about a required in-person court appearance during a public health crisis can be a personal-interest conflict under Rule 1.7(a)(2). Whether one exists is fact-specif…
When can a disciplinary grievance be filed against a New York lawyer for unlawful discrimination in the practice of law under Rule 8.4(g)?
Rule 8.4(g) requires a discrimination claimant to first file in a non-grievance tribunal if the statute of limitations still allows it; the claimant may then file a grievance without exhausting that p…
When a lawyer represents several clients with related cases, when does settling them together count as an aggregate settlement requiring each client's written consent under Rule 1.8(g)?
Grouping separate but related cases for settlement where the terms are interdependent is an aggregate settlement requiring each client's written informed consent (or court approval). Even settling one…
Can a law firm use retargeting (ads that follow website visitors around the web) without violating the attorney advertising and solicitation rules?
A lawyer's website may use retargeting if the ads comply with the attorney advertising rules. Retargeting alone is not solicitation, but content-targeted ads must meet the solicitation rules. The lawy…
Can a New York lawyer enter an ongoing co-counsel and fee-sharing relationship with an out-of-state law firm that has nonlawyer owners?
Yes. A New York lawyer may keep an ongoing relationship with an alternative business structure (ABS) firm to regularly co-counsel and share fees without violating Rule 5.4, so long as the lawyer is no…
Can a New York lawyer or legal-services agency provide financial assistance for living expenses to an indigent client in an administrative proceeding?
No, not for living or non-litigation expenses. Rule 1.8(e) bars a lawyer (and others in the firm) from giving an indigent client financial assistance beyond court costs and litigation expenses. But a …
Can a New York lawyer require a client to pay legal fees in cryptocurrency like Bitcoin?
A fee agreement requiring payment in cryptocurrency is a business transaction with the client subject to Rule 1.8(a) when the client expects the lawyer to exercise professional judgment on the client'…
Can one lawyer represent multiple witnesses as "pool counsel" in a government or internal corporate investigation?
Yes. A lawyer may serve as pool counsel for multiple witnesses in a government or internal investigation, subject to the conflict and confidentiality rules. The lawyer must screen for concurrent confl…
When a lawyer receives a document the other side sent by mistake, can the lawyer use it, or only notify the sender?
Rule 4.4(b) requires the receiving lawyer to promptly notify the sender, but does not itself bar using inadvertently sent information. Whether the lawyer may or must use it turns on substantive law an…
Can a New York lawyer use a virtual law office address as the principal office address on advertising, business cards, letterhead, and the firm website?
A New York lawyer may use a New York virtual law office (VLO) street address as the principal law office address under Rule 7.1(h), and on business cards, letterhead, and the website, as long as the V…
What counts as an "ex parte proceeding" that triggers a lawyer's duty to disclose adverse facts to the court under Rule 3.3(d)?
Rule 3.3(d) requires a lawyer in an ex parte proceeding to disclose material facts, including adverse ones, that let the tribunal decide informed. The opinion reads "ex parte proceeding" narrowly: it …
Can a New York lawyer take litigation funding where the lawyer's repayment to the funder is tied to the legal fees the lawyer collects?
No. Under Rule 5.4(a), a lawyer may not enter a financing agreement with a litigation funder (a non-lawyer) where the lawyer's future payments to the funder are contingent on the lawyer's receipt of l…
Does a New York lawyer have a duty to investigate when asked to help with a transaction the lawyer suspects may be a crime or fraud?
The Rules do not expressly require investigation, but the opinion concludes a duty to inquire is implicit in some circumstances, arising from the Rule 1.1 competence duty and the Rule 1.2(d) bar on kn…
Is it an ethics violation for a New York lawyer to copy from other sources without attribution in a brief or court filing?
Not per se. The opinion concludes that copying another's writing without attribution in a litigation filing is not always deceptive under Rule 8.4(c), so it is not a per se violation. Depending on the…
What are a New York prosecutor's ethical duties when evidence surfaces after conviction suggesting a defendant may be innocent?
Rule 3.8(c) sets a minimum duty when a prosecutor knows of new, credible, material evidence creating a reasonable likelihood a convicted defendant did not commit the offense. The opinion concludes the…
Can a New York lawyer take protective action and disclose confidential information for a prospective client who has seriously diminished capacity?
Yes. The opinion concludes a lawyer may take reasonably necessary protective action when a prospective client has seriously diminished capacity, cannot act in their own interest, and risks substantial…
When a New York lawyer jointly represents two clients without a conflict, what must the lawyer tell them about how joint representation works?
Even without a conflict requiring informed consent, the opinion concludes Rule 1.4 requires the lawyer to explain the implications of joint representation, including that information material to the r…
Can a New York lawyer subpoena a current client for evidence in another client's lawsuit?
Ordinarily not without consent. Subpoenaing a current client on behalf of another client usually creates a Rule 1.7 conflict that requires informed written consent from both clients; absent that, the …
What must a lawyer do to protect client confidences when crossing the U.S. border with a laptop or phone?
Before crossing, a lawyer must take reasonable steps to avoid carrying or exposing confidential client data; at the border the lawyer may comply with an agent's lawful-authority demand only after reas…
When a legal aid lawyer gives brief advice through a social worker for a low-income client, what ethics rules apply?
If the brief help creates an attorney-client relationship with the individual, the lawyer must avoid conflicts, get informed consent to a reasonable limited-scope representation, and provide competent…
Can a lawyer threaten to report an opposing party to a regulatory or administrative agency to gain leverage in a civil settlement?
Rule 3.4(e) bars only threats of criminal charges, so threatening a non-criminal proceeding is not barred by that rule; but such a threat can still violate extortion law (and Rules 8.4(b)/3.4(a)(6)), …
If I discover another lawyer at my firm fraudulently billed a client, must I report it to the disciplinary authority?
The Rule 8.3 duty to report another lawyer's billing fraud is limited by the duty of confidentiality: the firm must tell the client, but it may not report to a disciplinary authority if doing so would…
Can a lawyer pay a bar association referral service a fee when that service will share it with another bar association's referral service?
Yes. The opinion concludes a lawyer may pay a referral fee to a bar association's qualified lawyer referral service even when that service shares part of the fee with a second bar association referral…
Is a New York prosecutor's ethical duty to disclose favorable evidence under Rule 3.8(b) the same as the Brady constitutional duty?
No. The opinion concludes Rule 3.8(b) is broader than Brady: it has no materiality threshold, so a prosecutor must disclose any known information that tends to negate guilt or mitigate the offense or …
Can a lawyer represent a non-party deposition witness in the same case where the lawyer already represents a party?
Yes, subject to limits: the witness representation may be a reasonable limited-scope engagement under Rule 1.2(c) with informed consent; the lawyer must clear any Rule 1.7 conflict with the party (wit…
If I can't take a prospective client because of a conflict with an existing client, can I refer them to another lawyer?
Yes. The opinion concludes a lawyer who must decline a prospective client because of a conflict may refer that person to other competent counsel, subject to duties of good faith, conflict avoidance, c…
Can a New York lawyer split a legal fee with a law firm in DC or abroad where nonlawyers have an ownership or management interest?
Yes. Although Rule 5.4 bars New York lawyers from sharing fees with nonlawyers or practicing in nonlawyer-owned firms, the opinion concludes a New York lawyer may divide a fee under Rule 1.5(g) with a…
Does a lawyer's LinkedIn profile count as attorney advertising that needs disclaimers?
Only if it meets all five criteria, including that the profile's primary purpose is to attract paying clients. The opinion concludes that listing skills, practice areas, endorsements, or recommendatio…
Can a lawyer threaten to file a disciplinary complaint against opposing counsel?
Rule 3.4(e) does not bar it, because that rule reaches only threats of criminal charges. But the opinion concludes the threat is improper if the lawyer has a mandatory duty to report the misconduct un…
If a fire, flood, or other accident destroys client files, does a lawyer have to tell the clients?
Often yes. The opinion concludes that when destruction of a file compromises competent and diligent representation, the lawyer must take reasonable steps to reconstruct it or notify the client if unab…
Can a lawyer hired as local counsel limit how much responsibility they take on for the case?
Yes, but only through an agreement that limits the scope of representation under Rule 1.2(c). The opinion concludes the "local counsel" label alone does not narrow a lawyer's duties; any limit must be…
What are a lawyer's duties when an internet scammer poses as a client and sends a fake check to the trust account?
The opinion concludes a lawyer owes no confidentiality duty to someone whose purpose is to defraud the lawyer and may report them, but only after reasonable diligence confirms the person is not a genu…
Can a New York lawyer charge a flat, nonrefundable monthly retainer fee?
The opinion concludes such a fee may be permissible only if it is not excessive, is fully earned, does not impede the client's right to terminate, and is clearly disclosed. Because the monthly fee ble…
Can a law firm use a professional employer organization (PEO) to handle payroll and HR for its staff?
Yes. The opinion concludes a New York firm may use a PEO so long as the PEO does not interfere with the lawyers' independent judgment or supervision of staff, does not access client confidential infor…
Can a lawyer charge a client's credit card for a bill the client has disputed, if the client pre-authorized card charges?
No. The opinion concludes that once a client disputes all or part of a bill, the lawyer may not charge the credit card for the disputed portion, even with prior advance authorization. A lawyer holding…
Can a lawyer take a cut of a non-legal company's fees for reviewing forms the company prepares for its customers?
The opinion does not flatly forbid it but concludes the arrangement implicates as many as 21 rules and the proposed percentage-of-fee structure raises substantial concerns: it has the indicia of imper…
Can a New York firm call a lawyer "of counsel" if that lawyer lives and practices mainly in a foreign country?
Yes, the opinion concludes, provided the lawyer has a close, regular, and personal "continuing relationship" with the firm under Rule 7.5(a)(4), the title is not otherwise false or misleading, and the…
After a firm loses a pitch (beauty contest), can it represent the other side in the same matter?
The opinion concludes that under Rule 1.18 a firm owes a prospective client duties even when no representation follows: it cannot use or reveal confidential information learned in the consultation, an…
What must a lawyer do after a case ends if they learn that material evidence they or their client offered was false?
The opinion concludes that under New York Rule 3.3(a)(3) the lawyer must take reasonable remedial measures, and unlike the ABA rule the duty survives the end of the proceeding. The lawyer must first t…
Can a lawyer look at jurors' social media profiles to research them during a trial?
Yes, the opinion concludes, as long as the research causes no communication with the juror. A friend request, or any notification that tells the juror they were viewed, can be a prohibited communicati…
What must a lawyer do after receiving a document sent by mistake, like a misdirected email?
The opinion concludes that under Rule 4.4(b) a lawyer who knows or reasonably should know a document was sent inadvertently must promptly notify the sender, and has no other ethical duty under the New…
Can a lawyer contact a former client directly to collect fees or get the file when the client now has new counsel?
Not without successor counsel's consent, the opinion concludes. Rule 4.2 bars a lawyer, even one acting pro se on her own behalf, from contacting a former client she knows is represented by new counse…
Can a lawyer represent a client who uses third-party (non-recourse) litigation funding?
The opinion concludes it is not unethical per se, but the lawyer must be alert to several issues: candid advice on costs and alternatives under Rule 2.1, possible waiver of privilege from sharing case…
Can a plaintiff's lawyer agree to personally indemnify the defendant against liens on settlement payments?
No. The opinion concludes that plaintiff's counsel may not agree to hold the defendant harmless from third-party claims (such as insurer or Medicare liens) arising out of settlement payments, because …
Can a lawyer or investigator send a fake or deceptive 'friend request' to view someone's private social media page for use in litigation?
No. A lawyer may not use deception, directly or through an investigator, to access a private social networking page. Truthful 'friending' using the lawyer's or investigator's real name and profile is …
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Legal ethics opinions from the New York City 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.