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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What must a lawyer do when a convicted client asks the lawyer to hold instruments bought with the proceeds of the crime?
The opinion concluded that a lawyer must immediately reject a client's request to hold for safekeeping negotiable instruments bought with the proceeds of the client's crime, but the lawyer's duty to…
Can a lawyer be a director of a company that buys up judgments at a discount and then has the lawyer's firm collect them?
The opinion concluded that it is improper for a lawyer to serve as a director of a corporation set up to solicit and buy judgments at a discount when the lawyer's firm will be retained to collect…
Can a lawyer advance litigation costs and agree that the client only repays them if the case is won?
The opinion concluded that a lawyer may advance the costs of litigation but may not make the client's obligation to reimburse those costs contingent on the outcome; the client must remain ultimately…
Can a lawyer interview an unrepresented adverse witness and take a statement that helps the lawyer's client?
The opinion concluded that a lawyer may obtain a statement from an unrepresented person whose interests are adverse, even if the statement harms that person, as long as the lawyer is candid about…
Can a part-time public defender and his assistant represent co-defendants whose interests conflict if they keep separate offices?
The opinion concluded that a public defender and his assistant cannot represent co-defendants with conflicting interests; the whole office is treated as one firm under DR 5-105(D), and keeping…
Can a lawyer take a share of a public adjuster's commission on the client's fire-loss claim?
The opinion concluded that a lawyer may accept a portion of a fire adjuster's commission on a client's loss only if the client consents after full disclosure and all of the proceeds the lawyer…
When can a lawyer destroy or dispose of a client's closed files?
The opinion concluded that a lawyer may dispose of closed files once any legally mandated retention period has run and the client has no foreseeable need for them, after seeking the client's…
Can a law firm's name-change announcement say the change was prompted by a partner becoming a judge?
The opinion concluded that a firm may state in a change-of-name announcement that the change resulted from a partner assuming judicial office, because it gives useful information about the reason…
Can a law firm send a newsletter bearing its name, prepared by an outside service, to people who are not its clients?
The opinion concluded that a firm may distribute a firm-named newsletter prepared by others to its own clients with full disclosure, but distributing it to non-clients would create the appearance of…
Can a state estate-tax attorney handle a private client's federal estate-tax matter, given the state and federal returns are linked?
The opinion concluded that a state estate-tax attorney barred from private state estate-tax work is also barred from a client's federal estate-tax work, because reducing the federal tax necessarily…
Can a lawyer sue a former client for defamation over a complaint the client filed with a grievance committee?
The opinion concluded that a lawyer may not sue a former client for defamation based on a grievance-committee complaint where the lawyer has reason to believe the statements are protected by an…
Can a lawyer advise a client about conduct that would be a crime in another state, and where is the line between advice and counseling a crime?
The opinion concluded that a lawyer may explain the legal character and consequences of a contemplated act, even one criminal where it would occur, but may not encourage the client to commit it or…
Must a lawyer reveal that a bankrupt client concealed assets from the trustee after the lawyer learned of it and withdrew?
The opinion concluded that the lawyer need not disclose the concealed assets, because a November 1976 amendment to DR 7-102(B)(1) removed the only provision that had required disclosure when the…
Can a former deputy town attorney later represent private clients in tax certiorari cases against the same town?
The opinion concluded that a former deputy town attorney may represent private clients in tax certiorari proceedings against the town only as to property for which he had no substantial…
Can a part-time district attorney pool his public salary with his law firm partners?
The opinion concluded that a part-time district attorney may share his official salary with his private law partners, because such sharing among partners is well understood by the public and creates…
Can a part-time town attorney handle private real estate deals in his town when clients may need town permits or variances?
The opinion concluded that a part-time town attorney may not represent private clients before town agencies, but may handle a private real estate matter that might require town permits only with…
Can a lawyer publish a notice in a bar journal asking other lawyers with similar cases to get in touch?
The opinion concluded that a lawyer may publish a notice in a legal periodical inviting other attorneys who represent similarly situated clients to communicate with him, because cooperation serves…
Can a lawyer who represents a party in a public-sector arbitration also sit on the arbitration panel as that party's nonneutral member?
The opinion concluded that a party's lawyer may serve as a nonneutral (partisan) member of a public arbitration panel convened under Civil Service Law section 209, because EC 5-20 restricts only…
Can a bar association publish a consumer legal directory of lawyers for distribution to the public?
The opinion concluded that a state, county, or local bar association may publish a law list or legal directory for wide public distribution, provided the listing conforms to DR 2-102(A)(6) and the…
If a lawyer takes case-by-case retainers from a county social services department, is the lawyer disqualified from all private matters against the county, or only matters involving that department?
The opinion concluded that a lawyer retained case by case by a county department with its own counsel is disqualified only from private matters adverse to or involving that department, not from…
Can a lawyer send a licensed non-lawyer representative to appear before the Workers' Compensation Board on the lawyer's client's behalf?
The opinion concluded that a lawyer may retain a state-licensed lay representative to appear before the Workmen's Compensation Board if the lawyer discloses the representative's non-lawyer status,…
Can a group of private lawyers practice under a trade name like 'Community Law Office'?
The opinion concluded that private lawyers may not practice under the name 'Community Law Office' because it is a trade name that could mislead the public about the identity and status of those…
Can a town attorney keep representing the town while his law partner brings a personal lawsuit against that same town?
The opinion concluded that a town attorney may not continue to represent the town while his partner sues the town personally; the conflict and appearance of impropriety remain even with outside…
Can a lawyer charge a contingent fee to collect past-due alimony or child support that is already owed?
The opinion concluded that a reasonable contingent fee for collecting past-due alimony and child support is not improper; EC 2-20's caution against contingent fees in domestic relations cases…
Can a lawyer run a school that teaches laypeople how to file their own bankruptcy petitions pro se?
The opinion concluded that it is improper for lawyers, acting independently of any responsible sponsoring organization, to operate a school teaching laymen to prepare and file their own bankruptcy…
Can a lawyer hand a written fee-schedule brochure to clients and prospective clients who come to the office?
The opinion concluded that a lawyer may give a truthful and dignified fee-schedule brochure to clients and prospective clients who come to the office, so long as the rates are not the product of an…
When can a lawyer withdraw from a case after suit has been filed: no liability, client problems, or the lawyer's own illness?
The opinion summarized the grounds for withdrawal under DR 2-110: a lawyer may seek the court's permission to withdraw on becoming convinced there is no liability, for various client problems, for…
Can a lawyer feed the press a news story about a lawsuit he filed, or publicize his role in a case?
The opinion concluded that a lawyer should not instigate a news story highlighting his own involvement in a case, because that is indirect self-advertising; publicity genuinely in the client's…
Can a bank's lawyer have the borrower pay his fee, and can he represent both the bank and the borrower at a mortgage closing?
The opinion concluded that a lender's lawyer may have the borrower pay his fee for work actually performed, so long as the fee is not divided with the lay lending institution and the borrower is…
Can a lawyer who shares office space with an assistant district attorney still defend criminal cases in that county?
The opinion concluded that a lawyer who shares office space with an assistant district attorney, even with no fee- or business-sharing, may not practice criminal law in the county the assistant DA…
Can a law firm represent a wife in a divorce when one of its associates recently represented the husband's company in a related matter?
The opinion concluded that a firm may not represent the wife in a matrimonial action, absent the husband's consent, where an associate recently represented the husband's corporation on a matter (a…
What private legal work can a part-time county legislator take on without a conflict with the county he serves?
The opinion concluded that a part-time county legislator may take private matters where there is no actual or potential conflict, no improper influence, and no basis for public suspicion of…
Can a New York law firm with an out-of-state office list both addresses and each lawyer's bar admissions on its New York letterhead?
The opinion concluded that the New York letterhead of a multi-state firm may show both office addresses and each lawyer's admissions, including admission only in another state, provided a…
Can a lawyer sue a manufacturer for an injured worker when the lawyer's firm represents the worker's employer, who may be impleaded as a third-party defendant?
The opinion concluded that the lawyer should generally decline, because the employer his firm already represents is likely to be impleaded as a third-party defendant; he may take the case only if…
Can a district attorney also serve on a bar association's attorney grievance committee?
The opinion concluded that a district attorney may not serve on a bar association grievance committee, because the statutory duty of confidentiality owed by a grievance-committee member is…
Can a county legislator defend criminal cases in the same county, and does it matter how the district attorney's office is funded?
The opinion concluded that a county legislator may not defend criminal cases in his county where the district attorney's office is funded through a 'line item' budget that fixes prosecutorial…
Can a part-time county district attorney represent a private client suing the county for civil damages?
The opinion concluded that a part-time county prosecutor may not represent a private client in a civil damages action against the county, because the county is his client regardless of his…
Can a former city councilman sue the city for false arrest over an arrest made during his term in office?
The opinion concluded that a former city councilman may represent a false-arrest plaintiff against the city, even for an arrest made during his term, unless he had substantial responsibility for…
Can a lawyer let a prepaid legal service plan list his name, services, and fees in a brochure to its members, and can he distribute or pay for that brochure?
The opinion concluded that a lawyer may permit a qualified legal assistance organization to identify him and state his services and fee schedule in communications to its members, but he may not…
Which public officers and their firms can accept assigned counsel work defending indigent criminal defendants under a county Article 18-B plan?
The opinion concluded that the plan's administrator, assistant district attorneys, county attorneys, county board members, probation officers, and their partners may not take Article 18-B…
Can a lawyer who helps run a lawyer referral service accept clients referred to him by that service, and can his firm?
The opinion concluded that a lawyer actively associated with the direction or administration of a lawyer referral service may not accept referrals from it, and neither may his partners or…
Can a lawyer in a matrimonial case just draft the divorce decree and leave alimony, support, custody, and property division for the client to handle later?
The opinion concluded that an attorney handling a matrimonial matter must, at a minimum, inform the client that custody, support, alimony, and property division are issues to be considered, and may…
Can a part-time county legislator defend a criminal case in the same county where the district attorney's office is funded by his legislature?
The opinion concluded that a part-time county legislator may not represent a defendant in a court where the prosecuting district attorney's office is funded by the county legislature of which the…
Can a law firm or professional corporation merge with or operate a collection agency business?
The opinion concluded that it is improper under the Code for a law firm or professional corporation that practices law to merge with or engage in the business of a collection agency, which must be…
Can a lawyer hire a secretary who is leaving a firm the lawyer has pending adversarial matters against?
The opinion concluded that the lawyer may hire the departing secretary, but if the secretary holds confidential information about the pending adversarial matters, the lawyer must caution the…
Can a lawyer hired by an accountant review the work of the client's own lawyer and present those views to the client's board?
The opinion concluded that an accountant's lawyer may review another lawyer's pension-plan work to advise the accountant, and may present those views to the client's board with the client's consent,…
Can a district attorney announce a blanket policy of seeking jail for a certain crime and send judges ex parte letters stating that policy?
The opinion concluded that a prosecutor's dignified public statement of a general sentencing policy is not improper per se if carefully phrased, but unsolicited ex parte communications to judges…
Can a new district attorney's assistants prosecute cases that the DA defended as Legal Aid chief before taking office, if he screens himself off?
The opinion concluded that where a newly appointed district attorney was the Legal Aid Society's chief attorney and attorney of record on cases still pending, his assistants may not prosecute those…
Can a group legal service plan set a fee schedule in advance with participating lawyers, with the fees paid by plan members rather than the sponsor?
The opinion concluded that a qualifying group legal service plan may include a fee schedule agreed in advance between the lawyer and the sponsor, payable by individual beneficiaries rather than the…
What guidelines govern a lawyer who participates in a group legal service plan, including a labor union's plan, under New York's 1975 Code amendments?
The opinion concluded that lawyers may participate in group legal service plans sponsored by qualified legal assistance organizations under the 1975 Code amendments, subject to detailed conditions,…
Can a part-time county legislator represent a client in court against the county attorney his own legislature appoints?
The opinion concluded that a part-time county legislator may not appear in court in his county against the county attorney or an assistant county attorney where that county attorney is appointed by…
If a statute bars a legislator from appearing before a state agency but expressly lets his firm's other lawyers appear, may they?
The opinion concluded that partners and associates of a legislator's firm may appear before a state agency the legislator cannot, only where a statute expressly authorizes such appearances by firm…
Can two lawyers who are not in the same firm agree up front on how to split the fee for a shared matter?
The opinion concluded that lawyers who share services and responsibility for a matter but are not partners or associates may agree in advance on a fee division, provided it is proportional to…
Can an assistant DA go into an outside, non-law business with a defense lawyer who appears against the DA's office, if he recuses from those cases?
The opinion concluded that an assistant district attorney may not enter a business unrelated to law practice with an attorney who defends clients prosecuted by the DA's office, and that recusing…
Can a criminal defense lawyer charge a contingent fee, or a bonus tied to acquittal or a lighter sentence?
The opinion concluded that any contingent fee in a criminal case is improper, including a fixed bonus contingent on a result like acquittal or probation, but a reasonable non-contingent fee may take…
When a lawyer leaves a firm, can he mail office-opening announcements to the firm's clients he personally served?
The opinion concluded that a departing lawyer may send formal announcements of his new office to clients of his former firm whom he knows personally and for whom he performed services, and those…
Can a firm keep suing a driver one partner used to represent on the same accident, even after that case settled and everyone consents?
The opinion concluded that a partnership may not continue to represent personal-injury plaintiffs against a driver whom one partner formerly represented on the same accident, even though that claim…
Can a married couple both be lawyers in the same county, one an assistant DA and the other an assistant public defender?
The opinion concluded that the spouse of an assistant district attorney may serve as a part-time assistant public defender in the same county, but an assistant public defender may not represent an…
Can a lawyer who is co-executor and estate counsel share trial counsel's fee in a wrongful-death case without doing the work?
The opinion concluded that a lawyer-co-executor may share trial counsel's fee only if the client consents, the division is proportional to the work performed and responsibility assumed, and the…
Is it an ethics violation for a lawyer to routinely ignore phone calls and letters from other attorneys?
The opinion concluded that a lawyer who, as a course of conduct, fails to respond to other attorneys' telephone calls and correspondence violates the Code's provisions on courtesy and cooperation in…
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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.