Ezel / Ethics Opinions / NYSBA
NYSBA 2019-05-09

Can a solo lawyer name the firm using only the lawyer's middle and last names, even if it might look like two lawyers?

Short answer: Yes. The opinion concludes a lawyer who practices under the lawyer's full surname may drop the first name and use a firm name of the middle and last names, because that minor variation of the lawyer's own legal name is not a misleading trade name under Rule 7.5(b).
Currency note: this opinion is from 2019
Subsequent statutory amendments, court decisions, or later opinions or rule amendments may have changed the analysis. Treat this page as historical context, not current legal advice. Verify current law before relying on any specific rule, deadline, or remedy mentioned here.
Disclaimer: Advisory only. Not binding precedent.
About this page: The plain-English summary, reader guidance, and Q&A below were written by Ezel based on the official ethics opinion. The original opinion (linked at the bottom of this page) is the authoritative source for any reliance.

NYSBA Ethics Opinion 1167: Law Firm Name Using Multiple Surnames

Short answer: The opinion concludes that a sole practitioner who practices under the lawyer's full surname may use a firm name that omits the first name and contains only the lawyer's middle name and last name, because that minor variation of the lawyer's own legal name does not create a misleading trade name under Rule 7.5(b), even if a middle name happens to read like a separate surname.

Disclaimer: This is an advisory ethics opinion. Advisory opinions are not binding; they interpret the New York State Bar Association's view of New York's 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

A New York sole practitioner whose full legal name the committee calls "Charlotte Moretti Jones" is forming a firm and wants to call it "Moretti Jones, PC." The lawyer recently added a spouse's name to her surname and worries that, because her middle name sounds like a surname, the public might think Moretti and Jones are two different lawyers. The lawyer asked whether a firm name made of her own middle and last names is permissible.

The committee applies Rule 7.5(b), which bars a private-practice lawyer from using a trade name, a name misleading as to the identity of the lawyers, or a firm name containing names other than the firm's lawyers, with narrow exceptions; its purpose is to protect the public from deception about the identity or status of those using the name. Building on N.Y. State 740 (2001) (using a name that is not a partner's or former partner's legal name is a trade name, so the "A" prefix for directory placement was barred) and N.Y. State 1003 (2014) (a firm name omitting the first name but keeping the full surname and two middle initials was acceptable), the committee holds that not all minor name variations violate the rule. Because "Moretti Jones" is composed of the inquirer's own middle and last names, it is a minimal variation of her actual name rather than a fabricated trade name, and is permissible as long as it is not misleading about who practices under it.

In practice

Under this opinion, a New York lawyer may form a firm name from a minor, truthful variation of the lawyer's own legal name, such as middle name plus surname, without violating Rule 7.5(b)'s trade-name bar, even if the result could be read as two surnames. The opinion distinguishes that from inserting words or characters that are not part of any firm lawyer's legal name, which Rule 7.5(b) prohibits. Because the opinion applies the pre-June-24-2020 version of Rule 7.5, verify the current text of Rule 7.5 before relying on the specific numbering; the 2020 amendment liberalized firm names, which relaxes rather than reverses this conclusion.

Common questions

Q: Can a solo lawyer leave the first name out of the firm name?

A: Per the opinion, yes. A firm name that omits the first name but uses the lawyer's own middle and last names is a minor variation of the lawyer's legal name, not a prohibited trade name under Rule 7.5(b).

Q: Does it matter that the name might look like two different lawyers?

A: Per the opinion, no, on these facts. The names used are the lawyer's own middle and last names, so the name is not misleading about the identity of who practices under it.

Q: What would cross the line into a trade name?

A: Per the opinion, using a name that is not the legal name of a partner or former partner, as in N.Y. State 740 where a lawyer wanted to prefix an "A" for directory placement; that is a trade name barred by Rule 7.5(b).

Background and rules framework

The opinion applies New York Rule 7.5(b), which bars trade names, misleading firm names, and firm names containing names other than the firm's lawyers, subject to narrow exceptions, and corresponds to ABA Model Rule 7.5. New York amended Rule 7.5 effective June 24, 2020 to permit non-misleading trade names.

Citations and references

Rules of Professional Conduct:

  • New York Rules of Professional Conduct 7.5(b)
  • ABA Model Rule 7.5 (analogue)

Other opinions cited:

  • N.Y. State 1003 (2014): firm name omitting the first name but keeping the full surname and middle initials is acceptable
  • N.Y. State 740 (2001): using a name that is not a partner's or former partner's legal name is a prohibited trade name

See also

Source