Can a law firm's staff answer the phone using the partners' initials, and name a sponsored little league team after them?

Plain-English summary

For convenience in answering the phones, the inquirer wanted the office staff to greet callers with "ABC Law Firm," where "ABC" is the first initials of the named partners' last names, used only for that purpose. The firm also wanted to sponsor a little league team named "ABC Law Firm" using the same initials. It asked whether this was ethically permissible (¶¶ 1-3).

The committee applied Rule 7.5(b), which bars practicing under a trade name or a name that is misleading as to the lawyers' identity. Citing N.Y. State 740 (2001), it noted that using a name other than the legal name of one or more partners can constitute a trade name, and that the prohibition is broad and protects the public from being deceived about the identity, responsibility, or status of those using the firm name. It also noted Rule 7.5(e) and its Comment [2], which permits a firm to use its name, initials, or an abbreviation as a domain name as long as it does not practice law using it (¶¶ 4-5).

The committee drew on analogies. In N.Y. State 872 (2011), a lawyer could use an English version of a Polish name, or a common nickname, in informal communications, business cards, and a website, where not misleading. In N.Y. State 1003 (2014), a lawyer could use a firm name with only his middle-name initials and last name. Here, the firm did not want to change its name or practice under a different one; it only wanted to use the initials to answer the phones, akin to the informal use of a nickname. Neither that use nor the team sponsorship would be used to practice law or misrepresent the lawyers' identities (¶¶ 6-8).

The committee reinforced the point with N.Y. State 920 (2012), which held a lawyer may not practice under a firm name consisting only of initials, but that initials impermissible as a trade name could serve as a firm "motto." Because the firm's name would remain the three partners' complete last names and the initials were a matter of convenience for answering the phones, the limited use was permissible (¶ 9).

In practice

Under the New York rules as they stood at the time of the opinion, the opinion holds that a firm may answer its phones using the named partners' initials and may name a sponsored little league team after those initials. Per the opinion, the controlling condition is that the firm not practice law under the initials; its formal name remains the partners' complete last names, and the initials are used only as a convenience. The committee treated this as analogous to the informal use of a nickname, not as adopting a trade name barred by Rule 7.5(b).

Common questions

Q: Can staff answer the phone with just the partners' initials?

A: Yes. The committee concluded that using the partners' initials only to answer the phones is not practice under a trade name and does not violate Rule 7.5(b), as long as the firm does not practice law under those initials (¶ 10).

Q: Can the firm name a sponsored little league team after the initials?

A: Yes. For the same reason, the committee found the team name would not constitute practice under a trade name and is not misleading (¶ 11).

Q: Could the firm actually practice under just the initials?

A: No. The committee noted, citing N.Y. State 920, that a lawyer may not practice under a firm name consisting only of initials, though initials may serve as a firm motto (¶ 9).

Background and rules framework

The opinion interprets New York Rule 7.5(b) (firm names; the trade-name prohibition) and Rule 7.5(e) (domain names), corresponding to ABA Model Rule 7.5. The analysis turns on whether the limited use of initials amounts to practicing under a trade name or misleads the public about the lawyers' identity.

Citations and references

Rules of Professional Conduct:

• MR 7.5 / NY RPC 7.5(b) (trade-name prohibition), 7.5(e) (domain names)

Other opinions cited:

• N.Y. State 740 (2001); N.Y. State 920 (2012): scope of the trade-name prohibition; initials as a motto
• N.Y. State 872 (2011): use of an English name or nickname in informal communications
• N.Y. State 1003 (2014): firm name using only middle initials and last name

See also

• NY State Bar Op. 1028: Firm name, letterhead, and business card designations
• NY State Bar Op. 1023: Of counsel to an out-of-state firm with a trade name
• NY State Bar Op. 1075: A trade name for a business coaching lawyers

Source

• Landing page: https://nysba.org/ethics-opinion-1017/