New York State Bar Association Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the New York State Bar Association, with full citations and source links on every page.
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When a former client asks for their file, what does a New York lawyer have to turn over, and can the lawyer charge for assembling it?
The opinion concludes a lawyer must promptly turn over or give access to the files the former client is entitled to possess; under New York law that is presumptively the entire file unless…
Can a New York lawyer agree to swap client referrals with a securities broker or insurance agent who is not on the approved nonlegal-professions list?
Yes. The opinion concludes a lawyer may enter a nonexclusive reciprocal referral arrangement with a broker or insurance agent, provided no fees are shared and the lawyer discloses the arrangement…
Can a New York lawyer accept a bank 'earnings credit' that reduces the lawyer's bank fees based on balances held in the lawyer's IOLA account?
Only with the client's consent after full disclosure. The opinion concludes the credit is something of value from a third party related to the representation under DR 5-107(A)(2), so the lawyer may…
Can a New York collection lawyer accept credit card payments from a client's debtors, deduct the fee, and pass on the card processing charges?
The opinion concludes a collection lawyer may accept debtors' credit card payments, must deposit them in a trust or IOLA account, may deduct an agreed non-excessive fee and disbursements (but not…
How far must a New York firm supervise its partners, associates, and staff who are licensed abroad but not admitted in New York?
The opinion concludes a New York firm must make reasonable efforts to ensure lawyers subject to the New York Code comply with it, and must supervise foreign-licensed lawyers (treated as nonlawyers…
If a lawyer filed an immigration petition for a client's wife, can the lawyer later represent the wife in an abuse-based self-petition against that client?
No, not where the husband is a current or former client, because the matters are substantially related and the wife's interests are materially adverse, and informed consent cannot be obtained…
Can a New York lawyer use a power of attorney in the retainer to settle a case and endorse the client's settlement check?
The opinion concludes a lawyer may obtain and use a revocable power of attorney to settle and to endorse the settlement check, with full disclosure, but only if the lawyer settles on terms the…
Can a New York lawyer use an ATM to make deposits into the attorney trust (special) account?
Yes for deposits, if the lawyer uses a deposit slip bearing the special-account title, keeps the ATM record and duplicate deposit slip for seven years, and verifies the deposit on the bank…
Can a New York lawyer keep required trust-account records (checks, bank statements, deposit slips) in electronic form instead of paper?
The opinion concludes the lawyer must keep the DR 9-102(D)(8) items in their original form, paper or electronic; if the bank returns them on paper in the ordinary course the lawyer keeps paper, but…
Does a New York lawyer's announcement of certification as a specialist need the disclaimer if it goes only to other lawyers and to the lawyer's own clients?
Yes. The opinion concludes that a professional announcement of specialist certification mailed to bar members, reprinted in a bar newsletter, and mailed to present and former clients is 'public' and…
Can a New York lawyer refer clients to the lawyer's own non-legal business, and can that business refer customers back by phone or in person?
The opinion concludes that if the lawyer gives the DR 1-106 notice that the non-legal services are not covered by the attorney-client relationship, the lawyer may refer clients to the business…
Can a New York lawyer who owns a mortgage brokerage and a title abstract company also act as the lawyer for the buyer, seller, or lender in the same real estate deal?
The opinion concludes the lawyer may not be the buyer's or seller's lawyer while also acting as mortgage broker or as a non-ministerial title abstract company in the same deal, but may, with…
Can a New York lawyer pass on to a contingent-fee client the interest the lawyer pays on money borrowed to fund litigation expenses?
The opinion concludes that a lawyer may borrow to advance litigation expenses in a contingent-fee matter and pass the interest cost on to the client, provided the client remains ultimately liable…
After New York adopted DR 1-106 on non-legal services, can a lawyer who owns an ancillary business provide both legal and non-legal services in the same transaction with the client's consent?
The opinion concludes that the prior bars on a lawyer acting in dual roles (such as lawyer and broker) in the same transaction survive DR 1-106, because those bars came from applying DR 5-101(A) to…
Can a government agency lawyer be required to take on more cases than the lawyer can competently handle?
The opinion concludes that a lawyer who represents a government agency may not accept more matters than the lawyer can competently handle, and may not consent away the duty of competence; the lawyer…
Can a New York lawyer's advertisement give only a website or email address, or must it include a physical street address?
The opinion concludes a legal-services advertisement may not list a website or email address as the sole address; DR 2-101(K) requires the lawyer's physical street office address as well.
If a lawyer is admitted in New York and another state, whose ethics rules govern conduct that happens in the other state?
The opinion concluded that a New York-admitted lawyer is always subject to New York's disciplinary authority, but the rules actually applied may be another jurisdiction's: for work outside a court…
Can a lawyer use software to pull hidden data and prior drafts out of an electronic document an opposing lawyer sent?
The opinion concluded that lawyers may not ethically use available technology to surreptitiously examine and trace e-mail and other electronic documents to uncover information the sender did not…
Can a former prosecutor now in a public defender or Legal Aid office defend people who were charged while the lawyer worked at the DA's office?
The opinion concluded that a former prosecutor may defend criminal defendants charged during the lawyer's DA tenure as long as the lawyer did not participate personally and substantially in that…
Can a lawyer take a contingent fee to collect unpaid alimony, maintenance, or child support owed under a divorce judgment that has already been entered?
The opinion concluded that a lawyer may not charge a contingent fee in a post-divorce action to collect maintenance, child support, or alimony due under a final judgment, because the Code treats…
If a lawyer holds a client's durable power of attorney and the client becomes incapacitated, can the lawyer petition to have a guardian appointed and act as the lawyer in that proceeding?
The opinion concluded that a lawyer-agent may petition for a guardian without the client's consent only if the client is incapacitated, no less-restrictive alternative (including the power of…
If a lawyer is disqualified from a matter by a conflict of interest, can the lawyer still collect a referral fee for sending it to another firm?
The opinion concluded that a lawyer disqualified on non-consentable conflict grounds may not receive a referral fee, because the lawyer cannot assume the joint responsibility that fee division…
When a lawyer handles several lawsuits for one client under a single retainer, can the lawyer agree that recoveries from the winning cases will cover the litigation costs of the losing cases?
The opinion concluded that the arrangement is permissible so long as the client remains ultimately responsible for all litigation expenses; the lawyer may agree to pay the costs of unsuccessful…
When a union's lawyer handles an arbitration involving a union member, does the lawyer owe confidentiality to the individual member or only to the union, and can the lawyer circulate the arbitrator's decision?
The opinion concluded that when the member is the party to the arbitration the lawyer represents the member and must protect the member's secrets; when the union is the party under a collective…
Does a lawyer have to report a non-client third party's violation of law that the lawyer learned about while representing a client?
The opinion concluded that the Code imposes no duty to report a non-lawyer third party's violation of law where no other lawyer and no tribunal is involved, and that the lawyer may in fact be…
Can a lawyer join a business networking group whose members are required to refer clients to one another?
The opinion concluded that a lawyer may not participate in a business networking organization that requires members to refer clients to, and accept referrals from, other members in exchange for…
Can a lawyer use the firm name 'A' or place the letter 'A' in front of the firm name in a Yellow Pages ad to get a more prominent listing?
The opinion concluded that a lawyer may not use 'A' as a firm name or insert the letter 'A' before the firm name to secure favorable Yellow Pages placement, because doing so turns the firm name into…
If a lawyer takes a matrimonial case at a reduced rate through a bar referral service, can the lawyer still ask the court to award fees from the other spouse at the lawyer's full customary rate?
The opinion concluded that a lawyer who represents a low- or moderate-income matrimonial client at a reduced fee may include in the retainer a provision contemplating an application to the court for…
Can a lawyer refer real estate clients to a title abstract company in which the lawyer's spouse has an ownership interest?
The opinion concluded that a lawyer may not refer a real estate client to a title abstract company owned in whole or part by the lawyer's spouse for anything beyond purely ministerial abstract work;…
Can a lawyer write a check from the attorney escrow account against a bank or certified check that has been delivered but not yet deposited or cleared?
The opinion concluded that a lawyer may not issue an escrow check drawn against an undeposited or uncleared bank or certified check, because doing so uses one client's cleared funds to cover another…
In a civil case, can a lawyer interview an independent contractor working for the opposing corporate party without the consent of the corporation's counsel?
The opinion concluded that a lawyer may communicate with an adverse corporate party's independent contractor without opposing counsel's consent unless the contractor has personally retained counsel…
After mediating a divorce, can the lawyer-mediator draft and file the separation agreement and divorce papers for both spouses as joint clients?
The opinion concluded that a lawyer-mediator may draft and file the separation agreement and divorce papers for both spouses only when the mediation has fully succeeded, the parties are fully…
Does a lawyer, including a legal aid organization, have to tell the client about a significant error that could support a malpractice claim, and might the lawyer have to withdraw?
The opinion concluded that a legal services organization is held to the same ethical standards as any other law office, so it must report to the client a significant error or omission that may give…
Can a law firm pay a non-lawyer employee a percentage of the fees from matters the employee referred, now that the rule allows profit-sharing compensation?
The opinion concluded that the 1999 amendment letting a firm compensate non-lawyer employees on a profit-sharing basis does not allow paying an employee a percentage of fees attributable to matters…
Can a lawyer whose firm has several associates practice under a name like 'The [Surname] Group'?
The opinion concluded that a lawyer named X whose firm includes a number of associates may practice as 'The X Group,' because the word 'group' simply signals that the named lawyer practices with…
Can a lawyer who represents lenders or borrowers in real estate deals pay the firm's employees to steer those clients to a title insurance agency the lawyer owns?
The opinion concluded that a lawyer may not compensate the firm's employees for soliciting clients or other parties to engage a title insurance agency the lawyer owns, because the lawyer could not…
Can a plaintiff's lawyer agree, as part of a settlement, to broad confidentiality terms that would effectively keep the lawyer from representing other clients against the same employer?
The opinion concluded that a lawyer may not agree to settlement confidentiality terms so broad that they would restrict the lawyer from representing future clients by barring use of information not…
Can a lawyer charge a contingency-fee client interest on disbursements the lawyer advanced on the client's behalf?
The opinion concluded that a lawyer may charge interest on unpaid disbursements in a contingency fee case, even when the lawyer did not borrow the advanced funds, provided the client is told in…
Can a municipality's lawyer at a General Municipal Law 50-h hearing warn a pro se claimant who faces related criminal charges that the testimony could be self-incriminating?
The opinion concluded a municipal lawyer must first confirm the claimant is not being advised by counsel about the hearing before communicating directly; if the claimant is unrepresented on that…
Can a lawyer take personal injury referrals from an accounting firm and let the firm collect its own contingent fee from the same client's recovery?
The opinion concluded the arrangement is prohibited: capping the legal fee so the accounting firm can take a separate contingent fee for unsought services gives the firm something of value for…
Can salaried lawyers employed by an insurance company to defend its policyholders call themselves a law firm on letterhead and business cards?
The opinion concluded they may hold themselves out as a law firm only if they actually take on the professional responsibilities the Code imposes on firms and they clearly disclose in their public…
Can an assistant district attorney prosecute a case before a Town Justice who is the prosecutor's sibling, and can other lawyers in the office appear before that judge?
The opinion concluded the assistant DA may not appear before a sibling Town Justice and must take steps to secure the judge's recusal, but other lawyers in the DA's office may appear before that judge.
If a lawyer keeps a client's original will, does the lawyer have to track the client's death and file the will, and may the lawyer tell the executor it exists?
The opinion concluded a lawyer has no duty to keep a client's will or to learn of the client's death or file the will absent agreement, but if the lawyer is holding the original after the client…
When a lawyer moves to a new firm, when is the lawyer (and the new firm) barred from handling matters adverse to a client of the old firm?
The opinion concluded that, absent the former client's consent, a moving lawyer may not take on a matter adverse to a former client if the lawyer personally represented the client or acquired…
Can a lawyer put a certification from a non-legal professional organization, like AICP planner certification, on the firm letterhead?
The opinion concluded a lawyer may note membership in a professional organization on letterhead, but if the certification implies certification in a legal field it must comply with DR 2-105(C),…
Can an insurance defense lawyer follow the carrier's requirement to use a designated outside legal research firm, and submit the insured's briefs to the carrier's brief bank?
The opinion concluded defense counsel may follow a carrier's direction to use a designated research service if the lawyer reviews the work and effective representation is not diminished; the firm's…
When a lawyer moves to a new firm, what client information may the lawyer disclose so the new firm can run conflict checks?
The opinion concluded the new firm must seek, and the moving lawyer may disclose, the names of the lawyer's clients and (depending on the old firm's size) the old firm's clients for a reasonable…
Can a matrimonial lawyer use a retainer agreement where the client consents in advance that listed grounds, including nonpayment, let the lawyer withdraw?
The opinion concluded the proposed agreement was improper because it misled the client about the lawyer's right to withdraw: it implied an absolute right to withdraw on listed grounds and omitted DR…
Can a legal aid office share data pulled from clients' mental health evaluations with a bar association committee for a statistical study without getting client consent?
The opinion concluded the office may provide extracted information for a statistical summary only if it is in a form that no recipient could link to a particular client; if any client could be…
When a settlement check arrives, must the lawyer pay the client's medical providers directly, and what happens if a lienholder is out of business?
The opinion concluded the lawyer must pay a provider directly when it has an undisputed valid lien or assignment, must hold disputed funds (while disbursing undisputed funds) when the client…
Can an insurance defense lawyer send the insured's legal bills to an outside auditor hired by the insurance carrier without the insured's consent?
The opinion concluded a lawyer may not submit an insured's legal bills to an independent audit company employed by the carrier without the insured's informed consent, because the billing records…
Can a solo lawyer take on contract or project work from several different law firms, and must the firms tell their clients a contract lawyer is doing the work?
The opinion concluded a lawyer may work as a contract lawyer for one or more firms; DR 5-105 and DR 5-108 apply to the lawyer personally, and whether the firm's vicarious disqualification under DR…
Can a lawyer who is called to testify as a fact witness about a former representation charge the client an hourly fee for preparing and testifying?
The opinion concluded that, assuming the payment is legal, a fully informed client may agree to pay a lawyer-witness reasonable compensation for lost time, ordinarily up to the lawyer's customary…
Must a lawyer follow a client's instruction to skip title searches the lawyer recommended, and what are the lawyer's options if the lawyer disagrees?
The opinion concluded the lawyer should follow the client's lawful instruction to forego title searches once the client is fully informed of the consequences; the decision belongs to the client, and…
When parties dispute escrowed funds and the escrow agreement has no release or dispute clause, may the lawyer-escrow agent just return the funds to the lawyer's own client?
The opinion concluded no: absent all parties' authorization, the lawyer-escrow agent may not release the funds except as the escrow agreement provides; the lawyer may resign but must protect the…
Can a New York lawyer run and advertise a trademark practice over the Internet, communicate with clients by unencrypted e-mail, and operate under a trade name?
The opinion concluded a lawyer may operate and advertise a trademark practice on the Internet and ordinarily may use unencrypted e-mail for client confidences, subject to conflict checks,…
Can a lawyer who represents a foster care agency in terminating parental rights then represent the prospective adoptive parents who want to adopt that child?
The opinion concluded no: a lawyer representing a foster care agency in surrender or termination-of-parental-rights proceedings may not represent the prospective adoptive parents either at the same…
Can a lawyer who is narrowing the fields he or she practices in sell off just the part of the practice the lawyer is dropping?
The opinion concluded no: DR 2-111 lets a lawyer sell a practice only on retiring from private practice in the geographic area, so a lawyer may not sell one portion of a practice and keep practicing…
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?
The opinion concluded no: a party targeted at the judiciary whose only other guests are the firm's lawyers creates an appearance of impropriety and is barred by DR 7-110(A) and Canon 9, even though…
Can a lawyer take property-tax cases referred by a non-attorney tax reduction company, and be paid a percentage of the company's contingent fee?
The opinion concluded a lawyer may accept such cases where the property owner authorized the company to engage counsel, but not where doing so aids the company's unauthorized practice of law; the…
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Legal ethics opinions from the New York State Bar Association interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are advisory, not binding like court discipline decisions, but courts and discipline boards treat formal opinions as substantial guidance on how the rules apply. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.