Can a New York lawyer name the firm using only a first name, like 'The Jane Law Firm,' to stand out from other firms sharing the surname?
NY State Bar Ethics Opinion 1152: Using a first name as the firm name
Short answer: Applying Rule 7.5(b) as it stood before the June 24, 2020 amendment, the committee concluded a lawyer could not use only a first name as the sole firm name, because a firm name had to include a lawyer's surname; the lawyer could still use the first name for branding or combine it with the surname.
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, a New York lawyer whose surname is shared by several other firms, proposed to use only the inquirer's first name as the sole firm name (for example, "John's Law Offices LLC" or "The Jane Law Firm LLC") to distinguish the firm and to ease phone handling. The first name was the one under which the inquirer was admitted. The question was whether a lawyer may use only a first name as the firm name.
The committee answered no under the version of Rule 7.5(b) then in force, which barred a private-practice lawyer from using a trade name, a misleading name, or a firm name containing names other than the lawyers' names. Drawing on a line of opinions reading "trade name" broadly (N.Y. State 869, 920, 948, 861, 740, 1138), the committee found a common premise: the Rules' reference to a lawyer's "name" in a firm name means the lawyer's surname. It reasoned that the universal convention is for law-firm names to consist of surnames of current or former lawyers, so a name omitting the surname departs from that expectation and is "inherently misleading" under Rules 7.1(a) and 8.4(c).
The committee added two qualifications. First, the holding did not preclude including the first name in the firm name as long as the surname also appeared (citing N.Y. State 1003). Second, the conclusion reached only the firm name: subject to Rule 7.1, the lawyer could use the first name alone as a motto, branding, or other advertising, on websites and other media, and the firm's staff was not required to answer the phone with the full firm name (N.Y. State 1017). The committee pointed to these as the available ways to build a distinct identity without omitting the surname.
Currency note
This opinion was issued on May 17, 2018, and applied New York Rule 7.5(b) as it then read. New York amended its lawyer-advertising and firm-name rules, including Rule 7.5(b), effective June 24, 2020. The amended rule relaxed the categorical trade-name prohibition this opinion applied, permitting firm and trade names that are not false, deceptive, or misleading. Treat the holding here as historical; for the current treatment of firm and trade names, see NYSBA Opinion 1207 and later opinions, and verify the current rule before relying on the trade-name prohibition stated here. The opinion's separate points (that a first name may be combined with the surname, and that the first name may be used for branding and in answering the phone) do not depend on the trade-name bar.
In practice
Under this opinion, as decided on the pre-June-2020 rule, a lawyer could not adopt a firm name consisting of a first name alone, because the committee treated the omission of the surname as inherently misleading. The committee noted permissible alternatives that survive the rule change: combining the first name with the surname in the firm name, and using the first name alone as a motto or branding (subject to Rule 7.1) and in staff phone greetings. Because New York later relaxed the trade-name prohibition the holding rested on, the current permissibility of a first-name-only firm name turns on whether the name is false, deceptive, or misleading under the amended rule.
Common questions
Q: Could a lawyer name the firm using only a first name under the rule this opinion applied?
A: No. The committee held that Rule 7.5(b), as then written, required a firm name to include a lawyer's surname, so a first-name-only name was an impermissible trade name and inherently misleading (Opinion 1152 ¶¶ 3-7). New York later relaxed that rule effective June 24, 2020.
Q: Could the lawyer still use the first name to stand out?
A: Yes, outside the formal firm name. The committee allowed using the first name as a motto, branding, or advertising under Rule 7.1, and combining the first name with the surname in the firm name (¶¶ 7-8).
Q: Did staff have to answer the phone with the full firm name?
A: No. The committee found no rule requiring the firm's full name in phone greetings, citing N.Y. State 1017 (¶ 8).
Background and rules framework
The opinion interprets New York Rule 7.5(b) (firm names and the trade-name prohibition) as it stood before the June 24, 2020 amendment, corresponding to the firm-name provisions formerly in ABA Model Rule 7.5, together with Rule 7.1 (Model Rule 7.1) on advertising and Rule 8.4(c) (Model Rule 8.4) on conduct involving deceit or misrepresentation. New York amended Rule 7.5(b) effective June 24, 2020 to permit non-misleading trade names.
Citations and references
Rules of Professional Conduct:
- New York Rule 7.5(b) (as in effect before the June 24, 2020 amendments): firm names; trade-name prohibition
- New York Rule 7.1 (Model Rule 7.1): advertising
- New York Rule 8.4(c) (Model Rule 8.4): deceit or misrepresentation
Other opinions cited:
- N.Y. State 1138 (2017): English translation of a surname is more than a slight deviation
- N.Y. State 1003 (2014): a lawyer may drop the first name and use middle initials with the surname
- N.Y. State 948 (2012): no firm name conjoining initials with an abbreviated surname
- N.Y. State 920 (2012): no firm name made only of the lawyer's initials
- N.Y. State 869 (2011): broad trade-name prohibition; no practice area in the name
- N.Y. State 740 (2001): a name that is not the legal name of a partner is a trade name
See also
- NY State Bar Op. 1167: Law firm name using multiple surnames
- NY State Bar Op. 1207: Law firm trade names after the Rule 7.5 amendment
- NY State Bar Op. 1233: "And Associates" in a solo practitioner's firm name
- NY State Bar Op. 1157: Legal and engineering services offered by a single entity
Source
- Landing page: https://nysba.org/ethics-opinion-1152/