Can a law firm host a holiday party just for the local judges and their law clerks, with only the firm's own lawyers as the other guests?
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This page answers the general question as of 1998. Ezel answers yours: whether it's allowed on your facts, under the current New York Rules of Professional Conduct, with citations.
Plain-English summary
The committee considered whether a lawyer could host a holiday party for all the judges of the local court and their law clerks where the only other guests were lawyers in the host's firm. It concluded the lawyer could not.
The committee started from DR 7-110(A), which barred a lawyer from giving anything of value to a judge or court employee except as permitted by the Code of Judicial Conduct, which allowed a judge to accept "ordinary social hospitality." It noted that the New York Advisory Committee on Judicial Ethics had treated various lawyer-judge social occasions (a meal, a golf outing, a law office opening, an ordinary holiday party) as permissible ordinary social hospitality, provided there is no discussion of the lawyer's pending matters and no appearance of impropriety, while an affair "out of the ordinary in expense or lavishness" is not permissible.
Applying that line, the committee held a party targeted at the judiciary, where the lawyer's invitation to the judges is not incidental to an event that would occur anyway and the other guests are exclusively the host's own lawyers, has an appearance of impropriety. The public could reasonably infer the event was held to curry favor with the judges before whom the firm practices and to obtain an inappropriate advantage. Citing Nassau County 83-1 and DR 9-101(C) (a lawyer shall not imply an ability to influence a tribunal improperly), the committee concluded that hosting such a party is impermissible under DR 7-110(A) and Canon 9.
Currency note
This opinion was issued in 1998, under New York's former Code of Professional Responsibility, which New York replaced with the Rules of Professional Conduct in 2009. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement mentioned here.
Common questions
Q: Can a law firm throw a holiday party only for local judges and their clerks?
A: The opinion concluded no. Where the party is targeted at the judiciary and the only other guests are the firm's lawyers, it creates an appearance of impropriety barred by DR 7-110(A) and Canon 9.
Q: Are any social events with judges permitted?
A: The opinion recognized that "ordinary social hospitality," such as a meal, an outing, a law office opening, or an ordinary holiday party, is permissible, provided there is no discussion of the lawyer's pending matters and no appearance of impropriety.
Q: What made this particular party improper?
A: The opinion pointed to the combination that the event was targeted at the judiciary, was not incidental to an event that would happen anyway, and had only the host firm's lawyers as the other guests, so the public could infer it was meant to curry favor.
Background and rules framework
The opinion interpreted DR 7-110(A) (a lawyer shall not give anything of value to a judge except as the Code of Judicial Conduct permits) and DR 9-101(C) (a lawyer shall not imply an ability to influence a tribunal improperly), together with Canon 9's appearance-of-impropriety policy, of New York's former Code of Professional Responsibility. The Model Rule analogues are Rule 3.5 (a lawyer shall not seek to influence a judge by means prohibited by law) and Rule 8.4 (misconduct, including conduct involving the administration of justice). New York replaced the Code with the Rules of Professional Conduct in 2009; the DR numbers cited here are historical.
Citations and references
Rules of Professional Conduct:
- MR 3.5 (impartiality and decorum of the tribunal; improper influence)
- MR 8.4 (misconduct)
- NY DR 7-110(A); DR 9-101(C); Canon 9
Other opinions cited:
- Nassau County 83-1: a law firm function held solely for court personnel violates the gift prohibition and creates an appearance of impropriety
- N.Y. Adv. Comm. Jud. Eth. 87-12 (1987): an ordinary holiday party is permissible ordinary social hospitality
See also
- NY State Bar Op. 725: Assistant DA appearing before a sibling Town Justice
- NY State Bar Op. 708: Representing a foster care agency and the adoptive parents
Source
- Landing page: https://nysba.org/opinion-706/
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