Can a lawyer who practices under his full name use a firm name that includes only his middle initials and last name, dropping his first name?
NY State Bar Ethics Opinion 1003: Firm Name Using Middle Initials and Surname
Short answer: A lawyer who practices under his full name (John P.J. Jones) may adopt a firm name using only his middle initials and surname (such as "P.J. Jones Law"), because keeping the full surname and the initials of two given names is a slight variation that does not offend Rule 7.5(b)'s trade-name prohibition, provided the name is not misleading as to who is practicing under it.
Disclaimer: This is an advisory ethics opinion. Advisory opinions are not binding; they interpret the New York Rules of Professional Conduct and are persuasive authority. This summary is for research purposes only and is not legal advice. Verify current rules before acting on any specific guidance.
About this page: The plain-English summary and Q&A below were written by Ezel based on the official opinion. We do not reproduce the opinion text on this page; follow the linked source for the official text, which controls.
Plain-English summary
The inquirer's name is John P.J. Jones (a fictional name used in the opinion), which appears on his stationery, business card, and email signature. Planning to start a solo practice, he found that other attorneys are named John Jones and that the related domain names were taken. He proposed a firm name such as "P.J. Jones Law Offices," "The Law Offices of P.J. Jones," or "P.J. Jones Law," while continuing to practice using his full name, and asked whether that firm name was permissible.
The opinion concludes the proposed name is permissible. Rule 7.5(b) prohibits practicing under a trade name, a name misleading as to the identity of the lawyers, or a firm name containing names other than those of lawyers in the firm. The committee surveyed its prior opinions: using a non-legal name (such as inserting "A" for favorable listing placement) is a prohibited trade name (N.Y. State 740 (2001)); a solo practitioner's initials standing in for his name are a trade name (N.Y. State 920 (2012)); and conjoining initials with an abbreviated surname deviates too far from the lawyer's actual name (N.Y. State 948 (2012)). But the committee also recognized that some variations deviate so slightly from the original as not to offend Rule 7.5(b).
Applying those precedents, the opinion concludes that dropping the first name while keeping the full surname and the initials of two of the three given names, and adding nothing to the legal name, is a slight variation that does not violate Rule 7.5(b). That conclusion assumes the firm name is not otherwise misleading as to the identity of the lawyer, and the opinion reminds the inquirer to comply with applicable statutes and court rules (such as Judiciary Law section 468 and Part 118 of the Rules of the Chief Administrator), and notes Rule 7.5(e) and Comment [2] permit a firm to use its name, initials, or a variation as a domain name where the underlying name complies with the rules.
In practice
Under this opinion, a lawyer may shorten his own name for a firm name by dropping the first name and keeping the surname plus the initials of his remaining given names, because the result stays close to the lawyer's legal name rather than functioning as a trade name. The opinion holds that, under New York's Rule 7.5(b) as it stood at the time, the line is between names that deviate substantially from the lawyer's actual name (prohibited trade names) and slight variations that do not, with this proposal falling on the permissible side so long as it is not misleading and complies with applicable registration statutes and court rules.
Common questions
Q: Can a lawyer use a firm name with just his initials?
A: Generally no. The opinion notes that a solo practitioner's initials standing in for his name are treated as a prohibited trade name (N.Y. State 920), as is conjoining initials with an abbreviated surname (N.Y. State 948).
Q: Why is dropping the first name different from using initials alone?
A: The opinion concludes that keeping the full surname and the initials of two given names, while dropping only the first name and adding nothing, is a slight variation that stays close to the lawyer's legal name, so it does not function as a trade name under Rule 7.5(b).
Q: Are there other requirements besides the ethics rule?
A: Yes. The opinion reminds the inquirer to comply with applicable statutes, court rules, and judicial guidelines, citing Judiciary Law section 468 and Part 118 of the Rules of the Chief Administrator on attorney registration, and to ensure the name is not misleading.
Background and rules framework
The opinion applies New York Rule 7.5(b) (prohibiting trade names, misleading firm names, and firm names containing names other than those of lawyers in the firm; cf. Model Rule 7.5, since superseded in the Model Rules but governing in New York) and Rule 7.5(e) with Comment [2] (use of a domain name). It reasons from a line of New York opinions distinguishing prohibited trade names from slight, permissible variations on a lawyer's own name.
Citations and references
Rules of Professional Conduct:
- New York RPC 7.5(b) (trade names and misleading firm names; cf. Model Rule 7.5)
- New York RPC 7.5(e) and Comment [2] (domain names)
Statutes:
- New York Judiciary Law section 468 (official registration of attorneys)
- Part 118 of the Rules of the Chief Administrator of the Courts (registration of attorneys)
Other opinions cited:
- N.Y. State 740 (2001): inserting "A" for placement is a prohibited trade name
- N.Y. State 920 (2012): a solo's initials as a firm name are a trade name
- N.Y. State 948 (2012): conjoined initials and abbreviated surname deviate too far; slight variations may be allowed
- N.Y. State 872 (2011): permissible use of an English translation of a foreign first name
See also
- NY State Bar Op. 1152: First Name as a Firm Name
- NY State Bar Op. 1138: English Translation of Surname as a Firm Name
- NY State Bar Op. 1167: Law Firm Name Using Multiple Surnames
Source
- Landing page: https://nysba.org/ethics-opinion-1003/