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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Can a New York lawyer partner with a U.K. solicitor who also belongs to a U.K. firm with nonlawyer owners, and may the two firms co-brand and share fees?
Yes, with conditions: Rule 7.5(d) allows the cross-border partnership, the solicitor's separate U.K. ABS membership alone does not violate Rule 5.4, but co-branding cannot mislead the public and fee…
Can a New York lawyer charge a minimum fee for a defined legal service, and when does it become a prohibited nonrefundable fee?
Yes. The opinion concludes a minimum fee is permitted if the engagement letter explains in plain language how it is calculated and incurred and the fee is reasonable and not excessive; an unearned…
Can a lawyer who retires under New York's OCA rules still collect a referral fee on cases handed to successor counsel?
Yes, but only if the retired lawyer keeps joint responsibility for the referred matter; an OCA-retired lawyer is still a lawyer, so Rule 5.4(a) does not bar the fee, but Rule 1.5(g) requires…
Can an assistant public defender appear in a town court where a relative or law partner is the part-time judge, and is the disqualification imputed to the whole office?
The opinion concludes the judge's law-partner cousin cannot represent office clients in that town court, and the judge's son-in-law cannot appear there but may work outside court with party and…
Can a town attorney represent a private client on zoning matters before a neighboring town if the client also has property interests in the town the attorney serves?
Yes if there is no personal-interest conflict, or a consentable one with informed consent from both the town board and the client; a positional conflict alone does not bar it, but Rule 1.11(f)(2)…
Can a lawyer admitted in New York and Florida, with an office only in Florida, state on the Florida letterhead that he is admitted to the New York Bar?
Yes. The opinion concludes that, under the New York rules, a lawyer admitted in both states may truthfully state on his Florida letterhead that he is admitted to the New York Bar, as a truthful…
Can a lawyer let a smartphone app access the contacts list when it contains clients whose identity is confidential?
Only with due diligence. The opinion concludes a lawyer may not grant an app access to contacts containing confidential client information unless, after reviewing the app's policies, the lawyer…
What must a lawyer do to protect non-party clients' confidential data on a hard drive a court has ordered produced for forensic analysis?
The opinion concludes the lawyer must notify the non-waiving clients of the order, consult them about reasonable steps to avoid or limit production, and take those steps before complying; once…
Can a full-time assistant county attorney take private or assigned-counsel Family Court cases where the county is not a party?
Yes, with limits. The opinion concludes such a lawyer may take Family Court matters where the county is not a party if no Rule 1.7(a) conflict exists or, if a waivable conflict exists, both the…
Can a lawyer who owns a real estate company act as the lawyer on closings referred by a broker at that company, where the broker and the company split the commission?
No. The opinion concludes that because the lawyer has a financial interest in the brokerage commissions his company splits with its brokers, serving as the closing lawyer creates a per se…
Can a New York lawyer mediate a divorce, then represent one party to draft the settlement papers, and offer limited-scope services to pro se clients from an out-of-state office?
Yes, with conditions. The opinion permits a lawyer-mediator to later represent one party with all parties' informed written consent, permits limited-scope ghostwriting for pro se clients (disclosure…
Can a single law firm market itself under two different assumed names (d/b/a) for two separate practice areas?
Yes. The opinion concludes a law firm may operate under two different assumed names that distinguish separate practice areas, as long as no particular facts make the use false, deceptive, or…
Can a New York lawyer be sold to, merge into, or work for a foreign law firm that has nonlawyer owners?
Generally no. The opinion concludes a New York lawyer may not practice in a firm (in New York or elsewhere) with direct or indirect nonlawyer ownership unless the lawyer principally practices in the…
Can a solo practitioner use 'and Associates' in the firm name when the only other lawyers she works with are employed by other firms?
No. The opinion concludes that 'associate' means a lawyer employed by the firm, so a sole practitioner with no employed lawyers may not call lawyers at other firms her 'associates' or use 'and…
Is it advertising or prohibited solicitation for a lawyer to ask a fertility clinic to list him on its website as an assisted-reproduction lawyer?
It is advertising, not solicitation. The opinion concludes that asking to be listed on the clinic's website is attorney advertising subject to Rule 7.1, but is not a solicitation because it is not…
Can an estate-planning lawyer own a separate company that manages the assets of trusts the lawyer sets up for clients?
Yes, with safeguards. The opinion concludes the lawyer's interest in the management company is a consentable Rule 1.7 conflict requiring informed written consent at the outset, that nondistinct…
Can a solo practitioner put his late father's name on the firm letterhead when the father never practiced with the firm?
No. The opinion concludes a firm may not list on its letterhead the name of a deceased attorney who is not in a continuing line of succession with the firm, because the implied affiliation is…
Can a lawyer accept a settlement offer for a client after the client has died, and may the lawyer stop pursuing the matter?
No to settling, yes to stopping. The opinion concludes that a client's death terminates the lawyer's authority, so the lawyer may not accept a settlement without authorization from the decedent's…
Can a lawyer enclose a draft complaint with a demand letter and say it will be filed if the matter is not settled by a deadline?
Yes, in most cases. The opinion concludes that threatening to file an enclosed draft complaint by a deadline is permissible, except in unusual situations where the threat is a false statement under…
Is an out-of-state firm's mass email to a list of New Yorkers seeking class-action plaintiffs a regulated solicitation?
Yes. The opinion concludes that an email blast to a list of specific New York individuals seeking class-action plaintiffs is both an advertisement and a solicitation under Rules 7.1 and 7.3, and New…
Can a lawyer use a website domain name that is different from the name the firm practices under?
Yes. The opinion concludes a lawyer may use a domain name (such as a descriptive practice-area name) that differs from the firm name, as long as neither the firm name nor the domain name, separately…
Can a New York lawyer advise a recreational cannabis business, take equity in lieu of fees, and personally use marijuana, even though it remains federally illegal?
Yes. The opinion concludes that, given current federal enforcement forbearance, a lawyer may help clients comply with New York's Recreational Marijuana Law, may use and home-grow marijuana…
When two jointly represented clients give the lawyer opposite instructions, can the lawyer follow one of them, especially if the other may have diminished capacity?
No. The opinion concludes that when jointly represented co-purchasers give mutually exclusive instructions, their interests differ and the lawyer cannot continue representing both under Rule 1.7;…
Can a lawyer run a business renting office space and equipment to other lawyers, and is that nonlegal business subject to the ethics rules?
Yes. The opinion concludes that renting office space to other lawyers is a permitted nonlegal business; under Rule 5.7(a)(3) it is subject to the ethics rules only if a renter could reasonably…
Can lawyers co-own a divorce mediation business with a nonlawyer, accept referrals from it, and enter a reciprocal referral agreement with it?
Lawyers may co-own a mediation business with a nonlawyer only if it provides solely nonlegal services and employs no lawyers to give legal advice; they may accept referrals and enter a non-exclusive…
After a lawyer changes firms, may she contact the clients she used to represent to tell them she has moved and offer to review their estate plans?
Yes. The opinion concludes that a communication to former clients that is germane to the earlier representation is neither an advertisement nor a solicitation, so Rules 7.1 and 7.3 do not apply; it…
Can separate, independent law firms form a PLLC and market themselves jointly as members of 'ABC Law Group PLLC' when they do not actually practice law together?
No. The opinion concludes that 'ABC Law Group PLLC' would be a false, deceptive, and misleading trade name because it implies the member firms are associated in the practice of law within the PLLC…
Can a part-time assistant county attorney whose office handles only civil work take assigned defense of state parole-violation cases?
Generally yes. The opinion concludes that there is no per se bar when the county attorney's office does no criminal prosecution, the lawyer appears before no county officials, and county law is not…
Can a law firm pay a former lawyer their agreed share of fees on cases they worked on after that lawyer leaves to take public office?
Yes, subject to any governing law. The opinion concludes that paying a departed lawyer a fee share for work performed at the firm is a permitted separation-agreement payment under Rule 1.5(h), not a…
Can a law firm keep a founding partner's name in the firm name after that partner leaves to take a nonlegal job or becomes Of Counsel?
Yes. The opinion concludes that there has never been a per se bar to keeping a former partner's name in the firm name; a firm may keep it when the partner leaves for nonlegal work or becomes Of…
Can an assistant county attorney moonlight as a paid consultant for the software vendor whose contract with the county the lawyer helped negotiate and implement?
Not unless law expressly allows it. The opinion concludes that Rule 1.11(d)(2) bars the lawyer from negotiating private employment with a vendor party to a matter the lawyer handles, and the…
Can a criminal defense firm sign a retainer that limits its work to the pretrial stage and requires the client to hire separate counsel for trial?
Only rarely. The opinion concludes that a pretrial-only criminal retainer is permitted under Rule 1.2(c) only if the limit is reasonable, the client gives informed consent, and it does not prejudice…
When a court-assigned client insists on pressing a motion the lawyer believes is frivolous, can the lawyer just rest on the client's pro se papers or refuse to go further?
No. The opinion concludes that a lawyer may not advance frivolous arguments under Rule 3.1(a); the lawyer may present any non-frivolous arguments, may seek leave to withdraw if the client insists on…
Can a lawyer pay to join an online matching service that picks 'the best traffic lawyer' for a client and vouches for that lawyer's track record?
No. The opinion concludes that a service that vouches for a lawyer's credentials and recommends the lawyer as the 'best' or 'right' choice is making a prohibited recommendation, so the lawyer's…
When a county defunds its public defender's office, can the office hand its open and closed client files to the county's assigned counsel program?
No, not without client consent. The opinion concludes that the assigned counsel program is not a lawyer or law firm, so the office may deliver open files only to the client or successor counsel and…
When a personal injury client dies and the lawyer must hire separate probate counsel to appoint a representative, can the lawyer charge those probate fees as a disbursement?
Yes, with limits. The opinion concludes that probate counsel's fees may be charged as a disbursement in the personal injury action if they are reasonably incurred to continue that action and are not…
Can a public defender appear before a part-time town justice who also works full-time in the county attorney's office that advises the public defender?
Maybe. The opinion concludes the two offices are not a single law firm on these facts, so Rule 8.4(f) does not bar the appearance, but the public defender may have a Rule 1.7(a)(2) personal conflict…
Can a retired judge, or the judge's new firm, represent a party in the same easement dispute the judge ruled on a decade earlier?
The opinion concludes the former judge is personally and non-waivably disqualified under Rule 1.12(a) from the same matter, but the firm to which the judge is of counsel may take the representation…
Can a real estate lawyer take closing referrals from her own paralegal, who is also a broker earning a commission on the deal?
Yes, if the lawyer has no stake in the commission and the referrals do not create a significant risk to her independent judgment under Rule 1.7(a)(2); if such a risk exists she needs informed…
After New York's 2020 amendment to Rule 7.5(b), can a law firm practice under a trade name that contains no lawyer's name, such as an acronym or a street name, or keep a retired partner's name?
Yes. The opinion concludes that the amended Rule 7.5(b) lets a firm practice under a trade name (including an acronym or street-address name) or keep a retired partner's name, as long as the name is…
Can a law firm refer its clients to a litigation financing company owned by the spouse of a lawyer who is Of Counsel to the firm?
No. The opinion concludes that because the Of Counsel lawyer could not personally advance litigation funding to clients under Rule 1.8(e), he cannot refer clients to his spouse's financing company,…
Can a government lawyer apply for and negotiate a private-sector job with a company that is an adverse party in a matter the lawyer is currently handling for the agency?
No. The opinion concludes that a lawyer currently serving as a government employee may not negotiate for private employment with a party the lawyer is personally and substantially handling a matter…
After buying a retired lawyer's practice, can a firm note 'former office of [retired lawyer]' and that lawyer's dates of practice on the letterhead of the acquired office?
Yes. The opinion concludes that a firm that purchased a retired (now deceased) lawyer's practice may list that lawyer's name and dates of operation on the acquired office's letterhead, because doing…
Can a lawyer withdraw from a case because they fear contracting COVID-19 at a required in-person court appearance?
Yes, with the tribunal's permission. The opinion concludes that a lawyer may seek to withdraw where fear of contracting COVID-19 at in-person appearances makes it difficult to represent the client…
Can a lawyer charge a flat fee with advance payments and let the client decide whether to pay part of the final balance based on satisfaction?
Yes, within limits. The opinion concludes a lawyer may charge a non-excessive flat fee with advance payments and a satisfaction-based discount, but advance fees are payments on account unless the…
Can a lawyer pay a referral fee to a lawyer who has since taken 'retired' registration status with the Office of Court Administration?
Yes, if the referring lawyer assumed joint responsibility for the matter. The opinion concludes that an OCA-retired lawyer is still a member of the bar, so Rule 5.4(a) does not bar the split, and…
Can a lawyer also work as a wealth manager, charge the same clients for both, send clients to a financial planner for a referral fee, or sell financial products to non-clients?
The opinion concludes a lawyer may not provide legal and wealth management services to the same client for separate fees (an unconsentable conflict), may not take a referral fee for sending a law…
Can a lawyer run a separate website that helps pro se litigants generate court filings through an automated system without forming an attorney-client relationship?
Sometimes. The opinion concludes a lawyer may operate a separate business offering generic do-it-yourself forms only if it is not used to solicit the lawyer's legal practice; once an attorney…
How must a former government lawyer respond to a subpoena or court order seeking confidential information from a matter they handled in government service?
The opinion concludes a former government lawyer may disclose a former client's confidential information when reasonably believed necessary to comply with a court order, but must first consult the…
Does a lawyer who gives free, limited-scope legal help through a nonprofit program still get Rule 6.5's relaxed conflict rules if the program pays the lawyer a nominal fee?
Yes. The opinion concludes that paying participating lawyers a nominal or below-market fee does not displace Rule 6.5's actual-knowledge conflicts standard, but the third-party payment triggers Rule…
Can a lawyer refer a client to a litigation funding company owned by the lawyer's sibling for a non-recourse loan to cover litigation expenses?
Yes, with a written waiver. The opinion concludes the referral is not barred by Rules 1.8(e) or 1.8(i) because the lawyer has no interest in the sibling's company, but it creates a Rule 1.7(a)(2)…
After a lawyer leaves a firm, must the lawyer keep representing the firm's clients who did not retain the lawyer's new firm, just because the old firm sent over their files?
No. The opinion concludes that clients who did not retain the departing lawyer's new firm are former clients to whom the lawyer owes only the limited duties owed any former client; the old firm…
Does a lawyer for an executor owe duties to the estate's beneficiaries, and what may the lawyer do if the executor appears to be hiding assets from the Surrogate's Court?
The opinion concludes the lawyer's only client is the executor, not the beneficiaries; the lawyer may withdraw for non-cooperation or suspected fraud, must disclose the executor's fraud to the…
Does a New York lawyer have to keep a firm's thousands of old, closed client files indefinitely, or can the lawyer dispose of files no one has asked for?
The opinion concludes that, with key exceptions, no Rule requires a lawyer to keep unsought closed files indefinitely; the lawyer must indefinitely retain intrinsically valuable originals (wills,…
Can a lawyer admitted only in New York practice at a New York office of a D.C.-based firm that uses a trade name, and may the New York office keep a surname-based name and advertise the affiliation?
The opinion concludes that a lawyer admitted only in New York may not practice in New York under a firm trade name, even one permitted where the firm is organized; the New York office may keep a…
When a municipal corporation counsel learns that municipal employees may have misappropriated public funds, what must the lawyer do, and does having represented those employees in their official capacity change the answer?
The opinion concludes that corporation counsel's client is the municipality alone, so the lawyer should report credible allegations of serious employee wrongdoing up to the highest municipal…
Can a New York lawyer add nonlawyer family members as minority members of the PLLC through which the lawyer practices, so they can get retirement and health benefits?
No. The opinion concludes that Rule 5.4(d) bars a lawyer from practicing in a for-profit entity in which a nonlawyer holds any ownership interest or membership, so a PLLC providing legal services…
Can a New York lawyer ask a client to name an emergency or alternate contact person, and reach out to that person when the lawyer cannot otherwise reach the client?
Yes. The opinion concludes that a lawyer may ask a client to designate an alternate contact and, when ordinary means fail, may contact that person and disclose that the lawyer has been unable to…
Can a New York lawyer who serves as co-executor of an estate use the lawyer's attorney trust account to hold and pay out estate funds that come to the lawyer only as executor, not as the estate's attorney?
No. The opinion concludes that an attorney trust account is only for funds received incident to the practice of law, so funds the lawyer holds solely as an executor, in a separate fiduciary…
Can a New York lawyer who also works as a village police officer represent defendants in traffic court, in the county where the officer serves or in other counties?
No in the same county. The opinion concludes the officer may not represent traffic court defendants in the county where the village police department sits, because that Rule 1.7(a)(2) conflict is…
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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.