New York State Bar Association Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the New York State Bar Association, with full citations and source links on every page.
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I was appointed as counsel for an alleged incapacitated person in a New York Article 81 guardianship case. She opposes a guardian, but I believe she lacks capacity. Can I advocate for a guardian anyway under Rule 1.14?
No. The opinion concludes that in an Article 81 proceeding, an attorney for an alleged incapacitated person may not advocate for a guardian or other restriction if the client opposes it, even where th…
May a lawyer admitted only in New Jersey and DC who works as a salaried associate at a New York firm simultaneously run a solo New Jersey practice, and what New York-rules duties attach to the conflicts, advertising, and trust-account aspects?
The opinion concludes the New York Rules do not bar simultaneous employment at two firms, but Rule 1.10 imputes conflicts across both firms (no screening cure available), Rule 7.1 governs any advertis…
Can a New York lawyer pay an online platform that scores users' anonymized workplace-experience entries and connects the lawyer with a user (with the user's consent) without violating the solicitation, advertising, or fee-payment rules?
The opinion concludes the resulting lawyer-user communication is neither a solicitation nor an advertisement (the user initiates it by consenting to disclosure), and the lawyer's payment is a permissi…
What conflicts of interest does a New York per diem (appearance counsel) attorney face when switching between representing plaintiff lenders and defendant debtors in collection matters?
The opinion concludes that a per diem lawyer may not oppose a current client in any matter, or a former client in a substantially related matter, without informed consent confirmed in writing; persona…
May a New York disability-rights lawyer who relies on fee-shifting awards enter agreements with compensatory-service providers under which the providers pay a portion of the lawyer's fees, and refer clients to those providers?
Per the Committee, yes if the client gives informed consent under Rule 1.8(f) and informed consent confirmed in writing under Rule 1.7(b) for the Rule 1.7(a)(2) personal-interest conflict, provided th…
May a New York lawyer hold a financial interest in, divide fees with, or manage an Arizona-licensed alternative business structure (ABS) with nonlawyer owners?
The Committee concludes a New York lawyer may hold a passive financial interest in an out-of-state ABS that lawfully practices in its home jurisdiction. The lawyer may divide fees with the ABS under n…
May a Korean law firm, as an entity, be a partner or member of a New York limited liability partnership that includes New York-licensed attorneys?
Per the Committee, whether New York LLP substantive law permits a foreign law firm to be a member is a question of law beyond the Committee. If state law permits it, and if the Korean lawyers' educati…
May a New York attorney's nonlegal entity (here, one providing tax filings) share a percentage of revenue with a nonlawyer technology developer, and pay referral fees to other attorneys who refer clients to the entity?
Per the opinion, yes if the entity avoids being treated as a law firm under Rule 5.7. The attorney owners must give the Rule 5.7(a)(4) written disclaimer and otherwise avoid any reasonable client beli…
May a New York attorney's irrevocable testamentary trust own his shares of a law-firm professional corporation after his death, when both the trustee and the sole beneficiary are New York-licensed lawyers and the trust prohibits any benefit to nonlawyers?
The Committee concludes no. A trust is a nonlawyer and is not an entity authorized to practice law, so its permanent ownership of P.C. shares would violate Rule 5.4(a), (b), and (d). Rule 5.4(d)(1)'s …
Can a former in-house lawyer act as a False Claims Act whistleblower (qui tam relator) against a former employer-client using information learned during the representation?
The committee concluded that a New York lawyer may not act as a relator in a False Claims Act qui tam action against a former client where the supporting information was obtained during the prior repr…
Can a New York lawyer ask former clients to write Google reviews and offer them a small gift for doing so?
The committee concluded a lawyer may ask a former client to write a Google review and may offer a nominal gift, provided the lawyer does not draft the review or condition the gift on its content, and …
Can a lawyer at a firm that represents municipalities also take court appointments as assigned counsel for indigent criminal defendants?
The committee concluded the lawyer may accept assigned-counsel appointments if he complies with the conflict rules; where the firm represents a municipality that is or was a party to a potential assig…
Can New York lawyers pay a referral fee to a partner who is licensed only in a foreign country, and must they supervise that partner's New York-related conduct?
The committee concluded that lawyers associated in the same firm may divide fees with a foreign-licensed partner under Rule 1.5(g), but the New York-admitted lawyers must supervise that partner under …
Can a New York lawyer who owns part of a title agency represent a client in a real estate deal while the agency also acts as title agent in the same deal?
The committee concluded the lawyer may not do both in the same transaction unless the lawyer's role at the title agency is purely ministerial and involves no negotiation for the underwriter; whether t…
Can a lawyer at a nonprofit immigration clinic share a client's intake information with the nonlawyer staff of an affiliated shelter?
Only on conditions. The opinion concludes a New York lawyer at an immigration clinic may not share information from the representation with a shelter's nonlawyer staff unless the information is not pr…
Can a lawyer make a payment from the client trust account through an online portal like Pay.gov instead of by check?
Yes, with the client's prior written approval. The opinion concludes that an online payment through Pay.gov is a 'bank transfer' within Rule 1.15(e), so a lawyer may make an otherwise-proper trust-acc…
Can a lawyer be both the named plaintiff (class representative) and class counsel in a class action?
The Rules do not bar a lawyer from proceeding pro se while representing aligned co-parties, but whether a lawyer may be both class representative and class counsel is governed by class action law, not…
Can a lawyer pay people who refer clients a flat fee for 'administrative' work, like filling out and filing forms, on each referred matter?
No. The opinion concludes that promising a nonlawyer referrer paid administrative work for each referred matter is a thing of 'value' given as compensation or a reward for the referral, which violates…
Must a prosecutor disclose a past romantic relationship with a police witness who may testify in one of her cases?
Yes, when the relationship could be used to impeach the witness. The opinion concludes Rule 3.8(b) requires a prosecutor to timely disclose a past romantic relationship with a law enforcement witness …
Can a nonprofit criminal defense organization set up and run GoFundMe pages to help its indigent clients cover living expenses after release?
Yes, with conditions. The opinion concludes a nonprofit defense organization may administer GoFundMe pages for indigent current clients under Rule 1.8(e)(4)'s humanitarian exception if the assistance …
Which state's rules govern a New York-admitted lawyer's duty to report misconduct when she mainly practices immigration law in another state?
The rules of the state where she principally practices. Under Rule 8.5(b)(2)(ii), a NY lawyer who is deemed licensed in another state and practices there almost exclusively must comply with that state…
Does a lawyer have any ethical duty to act when unknown scammers create fake social media accounts impersonating the lawyer to defraud the public?
No. The opinion concludes a lawyer who knows that an unknown person is creating fake social media accounts to scam the public has no duty under the Rules to take any action against the fake accounts, …
Can a state agency lawyer work on an enforcement action against a company the lawyer represented in private practice before joining the agency?
Only sometimes. The opinion concludes the agency lawyer has a conflict only if he would normally have acquired confidential information in the prior representation that is material to the enforcement …
Can a part-time county Department of Social Services attorney represent private clients in Family Court matters where DSS is involved?
Not where DSS has an interest or plays a meaningful role; that conflict is non-consentable. Where DSS is involved but has no real interest, the lawyer may proceed only after a Rule 1.7(b) analysis wit…
Can a lawyer accept real estate clients referred by an associate at the firm who is also a licensed real estate broker?
Yes, conditionally. The opinion concludes a lawyer may accept clients referred by an associate who is also a real estate broker, provided the lawyer does not share legal fees or real estate commission…
Can a lawyer use an online bidding platform that takes a percentage of the legal fee and vets the participating attorneys?
No. The opinion concludes that paying a non-lawyer-owned online bidding service a percentage of the legal fee violates Rule 5.4(a)'s bar on fee sharing; because the service vets and rates the lawyers'…
Can a lawyer's engagement letter bar the client from recording their communications, and let the lawyer withdraw if the client records anyway?
Yes, with limits. The opinion concludes a retainer agreement may include a no-recording clause and may allow withdrawal for a violation, but only if the agreement does not mislead the client about whe…
Can a part-time assistant public defender whose cousin and law partner is a part-time town judge appear in that town court or at arraignments transferred there?
He may not appear in the town court where his cousin/partner or the co-judge presides, but he may handle a defendant's arraignment in a centralized arraignment part (when neither presides) even if the…
Can a lawyer write and publish an article about legal issues from a former client's case?
Yes, after the representation ends, as long as the article does not reveal the client's confidential information without consent. Legal knowledge and genuinely 'generally known' facts are not confiden…
Can a lawyer pay to be listed on a website that promises to match clients with carefully vetted, highly qualified attorneys?
No. The opinion concludes that a website claiming to connect clients with carefully vetted, excellently qualified attorneys is an advertisement on the lawyers' behalf, and the lawyers' payment to be l…
When a government agency funds a lawyer's representation of clients, can the lawyer report the clients' confidential information back to the funder?
Only with informed consent. The opinion concludes a lawyer may share information with a funding agency if it is not confidential under Rule 1.6(a), but may not disclose a client's confidential informa…
Does a lawyer who used to work at a Legal Aid office have a conflict against a party another Legal Aid lawyer represented while she was there?
Only if she personally acquired confidential information material to the new matter and the matters are substantially related. Without both, there is no conflict under Rule 1.9(b).
Can a lawyer pass the credit card merchant processing fee on to a client who pays legal fees by credit card?
Yes. The opinion concludes a lawyer may pass a merchant processing fee on to a client as an expense if both the legal fee and the processing fee are reasonable and the lawyer explained the charge and …
Can a New York lawyer use 'J.D.' on letterhead and business cards while working in a nonlegal job, such as a university development officer?
Yes. The opinion concludes a lawyer who earned a juris doctor may use the 'J.D.' designation while working in a nonlegal capacity, as long as the lawyer takes care that the relevant audience is not mi…
Can a part-time town attorney with no prosecutorial duties represent criminal defendants at arraignment in a centralized arraignment part where a justice of his town sometimes presides?
Yes. The opinion concludes that a part-time town attorney who has no prosecutorial responsibilities may, as a part-time public defender, represent criminal defendants at arraignments in a county's cen…
Can a lawyer pay a nonprofit to be listed on its website as a sponsor or as a legal resource for victims?
A lawyer may buy ads on the site and may be listed as a 'sponsor' for a donation, but may not pay to be listed on a page that recommends lawyers to victims, which is a prohibited payment for a recomme…
Can a lawyer keep representing a current criminal client who will testify before a grand jury against the lawyer's former client?
Only if the former client gives informed written consent and the disclosure needed to get it would not prejudice the current client. Because withdrawal would avoid the need for consent, the opinion sa…
Is a lawyer who works as a confidential assistant to a government attorney, doing clerical and document-preparation work, bound by the Rules of Professional Conduct?
Yes. The opinion concludes that a lawyer employed to provide both legal and nonlegal support to a supervising lawyer's client is subject to the Rules, because the assistant's nonlegal work is part of …
Can a New York lawyer enter a collaboration agreement with an independent paralegal who refers clients to the lawyer and prepares forms, and how may the lawyer pay the paralegal?
Yes, subject to several rules. The opinion concludes a lawyer may enter a non-exclusive arrangement with an independent paralegal who refers clients and completes forms, but may not split legal fees w…
Can a county public defender's office hire the county's former district attorney, and how are conflicts handled?
Yes. The opinion concludes a former DA may work as an assistant public defender in the same county but may not personally handle a matter in which he was personally and substantially involved as DA or…
Can a lawyer use a company he owns to buy a client's litigation claim and then have a law firm prosecute it?
The opinion concludes a lawyer may not buy the claims of his own firm's clients and then retain that firm to litigate them, because Rule 1.8(i) bars acquiring a proprietary interest in litigation the …
Can a criminal defense lawyer represent a client in a case where her romantic partner, a deputy sheriff, was an investigating or supporting officer?
It depends on the facts. The opinion concludes the lawyer must assess under Rule 1.7(a)(2) whether the relationship creates a significant risk to her independent judgment; the conflict may be consenta…
Can a New York lawyer affiliate and share fees with a lawyer admitted only out of state who lives in New York and practices immigration law from a New York office?
Only conditionally. The opinion concludes the affiliation is permitted only if neither lawyer nor the firm is engaged in the unauthorized practice of law (a question of law the committee cannot answer…
Can a lawyer represent the executor of an estate and also represent a beneficiary of that estate, including jointly defending them in litigation?
The opinion concludes that representing the executor and a beneficiary in an unrelated matter is not a concurrent conflict, but jointly representing the executor and a co-beneficiary as co-defendants …
Can a New York lawyer who works only as a real estate broker, and provides no legal services, accept referral fees from an investment advisor?
Yes. The opinion concludes that a New York lawyer who provides only nonlegal real estate broker services, and gives the client a Rule 5.7(a)(4) written notice that the services are not legal services,…
Does a lawyer's YouTube channel offering general legal information count as attorney advertising in New York?
Not necessarily. The opinion concludes a lawyer may run a revenue-producing YouTube channel offering general legal information; it is not advertising unless its content is primarily about the lawyer's…
Can a New York lawyer form a law partnership with an Italian law firm whose lawyers are not admitted in the United States?
Yes. The opinion concludes a New York lawyer may partner with the Italian firm if, on independent inquiry, the lawyer is satisfied the Italian lawyers' training and ethical standards are comparable to…
When a joint representation ends, must a New York lawyer give each co-client the other co-client's communications and documents from the file?
Yes for material from the joint representation, because co-clients are presumed to share it; but not for confidential information the lawyer received from one client before the joint representation be…
Can a New York lawyer send a client's retainer agreement and invoices to a credit card company to fight a chargeback of legal fees?
Yes, but only if the material is not confidential, the client consents, or the lawyer reasonably believes disclosure is necessary to collect the fee; disclosure must be limited or redacted, and the Fe…
Does a part-time county lawyer have a conflict of interest if his private practice requires him to subpoena a county department he does not represent?
No. The opinion concludes that separate county departments are treated as separate clients under Rule 1.7(a)(1), so subpoenaing a department the lawyer does not represent and that is separately counse…
Can a New York lawyer partner with a U.K. solicitor who also belongs to a U.K. firm with nonlawyer owners, and may the two firms co-brand and share fees?
Yes, with conditions: Rule 7.5(d) allows the cross-border partnership, the solicitor's separate U.K. ABS membership alone does not violate Rule 5.4, but co-branding cannot mislead the public and fee d…
Can a New York lawyer charge a minimum fee for a defined legal service, and when does it become a prohibited nonrefundable fee?
Yes. The opinion concludes a minimum fee is permitted if the engagement letter explains in plain language how it is calculated and incurred and the fee is reasonable and not excessive; an unearned por…
Can a lawyer who retires under New York's OCA rules still collect a referral fee on cases handed to successor counsel?
Yes, but only if the retired lawyer keeps joint responsibility for the referred matter; an OCA-retired lawyer is still a lawyer, so Rule 5.4(a) does not bar the fee, but Rule 1.5(g) requires continuin…
Can an assistant public defender appear in a town court where a relative or law partner is the part-time judge, and is the disqualification imputed to the whole office?
The opinion concludes the judge's law-partner cousin cannot represent office clients in that town court, and the judge's son-in-law cannot appear there but may work outside court with party and judici…
Can a town attorney represent a private client on zoning matters before a neighboring town if the client also has property interests in the town the attorney serves?
Yes if there is no personal-interest conflict, or a consentable one with informed consent from both the town board and the client; a positional conflict alone does not bar it, but Rule 1.11(f)(2) forb…
Can a lawyer admitted in New York and Florida, with an office only in Florida, state on the Florida letterhead that he is admitted to the New York Bar?
Yes. The opinion concludes that, under the New York rules, a lawyer admitted in both states may truthfully state on his Florida letterhead that he is admitted to the New York Bar, as a truthful creden…
Can a lawyer let a smartphone app access the contacts list when it contains clients whose identity is confidential?
Only with due diligence. The opinion concludes a lawyer may not grant an app access to contacts containing confidential client information unless, after reviewing the app's policies, the lawyer conclu…
What must a lawyer do to protect non-party clients' confidential data on a hard drive a court has ordered produced for forensic analysis?
The opinion concludes the lawyer must notify the non-waiving clients of the order, consult them about reasonable steps to avoid or limit production, and take those steps before complying; once reasona…
Can a full-time assistant county attorney take private or assigned-counsel Family Court cases where the county is not a party?
Yes, with limits. The opinion concludes such a lawyer may take Family Court matters where the county is not a party if no Rule 1.7(a) conflict exists or, if a waivable conflict exists, both the county…
Can a lawyer who owns a real estate company act as the lawyer on closings referred by a broker at that company, where the broker and the company split the commission?
No. The opinion concludes that because the lawyer has a financial interest in the brokerage commissions his company splits with its brokers, serving as the closing lawyer creates a per se non-waivable…
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Legal ethics opinions from the New York State 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.