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 lawyer guarantee a bank loan that a client takes out to pay the lawyer's retainer?
No. The opinion concludes that Rule 1.8(e) bars a lawyer from advancing or guaranteeing financial assistance to a client in litigation, and none of the rule's three exceptions covers guaranteeing a…
Can a part-time town prosecutor's firm sue a neighboring village over its zoning or planning board's actions?
Yes, under stated conditions. The opinion concludes the firm may bring an Article 78 proceeding against the Village's zoning or planning board where the Town and Village are separate entities with…
Can a lawyer who used to be a Family Court judge later represent, in private practice, a party who appeared before them, and can the lawyer's firm take the case if the former judge is screened?
No. Under Rule 1.12(a) a former judge may not privately represent a client in a matter on the merits of which the judge acted, and that conflict cannot be waived even with everyone's consent. The…
If a lawyer's fee for representing a client was paid by the client's parent, can the lawyer later take a case against that parent?
Yes. A third party who pays a client's fee is not the lawyer's client just by paying. As long as the lawyer did not give the parent reason to believe he was a client, representing the other parent…
Can new lawyers raise start-up money for their law firm through online crowdfunding, and which crowdfunding models are allowed?
Some models, not others. Donation and reward crowdfunding are permissible, but equity and royalty models are barred because giving a funder an ownership interest or a share of revenue violates Rule…
Can a lawyer report a client's bill-payment history to a credit-bureau-style database that other law firms can see?
Yes, but only with the client's informed, uncoerced consent. A client's payment status is confidential information, and the fee-collection exception does not cover this reporting, so the lawyer…
Can a law firm let a nonlawyer staff member open escrow sub-accounts and move money between them and the master escrow account?
Yes, within limits. A firm may authorize a nonlawyer to direct the bank to open escrow sub-accounts and to transfer funds from a sub-account to the master escrow account, under close supervision, as…
Can legal-aid lawyers for unaccompanied immigrant children report client names and case details to a grant funder's database, and can a child consent to that disclosure?
They may disclose if the information is not privileged and disclosure would not be embarrassing or detrimental, or if the client (or a parent or guardian) gives voluntary informed consent. A young…
If a lawyer is admitted only in New York but lives and practices immigration law solely in another state, must they keep their client trust account at a New York bank?
No, unless the other state's rules require it. Under New York's choice-of-law rule (Rule 8.5(b)), a lawyer who is federally authorized to practice immigration law and works only in another state is…
When moving to withdraw, can a lawyer file the client's own court papers from another case to support the motion, even if doing so makes the client look unstable?
It depends on whether the papers are confidential information under Rule 1.6. A lawyer should reveal no more than necessary: if the court accepts that 'professional considerations' require…
Can an elected county clerk keep a private law practice, and what limits do the conduct rules place on it?
Yes, subject to any law governing the office. Under Rule 1.11(d) and (f), the clerk may not participate in any matter before the clerk's office in which the clerk was personally and substantially…
Can a city attorney buy property the city took in tax foreclosure and is reselling, and what conflict rules apply?
Yes, if the purchase complies with government-ethics law, the lawyer does not advise the city (or supervise those who do) on property sales, and the lawyer holds no confidential city information…
Which state's ethics rules govern a New York lawyer who runs a virtual law office in another state and practices only in federal court there?
It depends on the conduct. For proceedings in a Virginia court where the lawyer is admitted, Virginia's rules apply; for other conduct, the rules of the admitting jurisdiction where the lawyer…
Does using a sign-language interpreter to communicate with a deaf client waive the attorney-client privilege, and may a lawyer use one?
Whether the privilege is waived is a question of law the committee does not decide, but it notes courts have repeatedly held that using an agent to facilitate communication does not waive it. If…
Can a lawyer give clients a credit on their bill in exchange for rating the lawyer on a review website like Avvo?
Yes. A lawyer may give clients a $50 credit for rating the lawyer on a site like Avvo, provided the credit is not contingent on the content of the rating, the client is not coerced or compelled to…
Can a lawyer with a contingent-fee agreement take a fee out of a litigation-funding advance the client received against a future recovery?
Whether an existing 'settlement or judgment' contingent fee reaches a third-party advance is a question of law the committee will not decide. A retainer may provide for such payment from the start;…
Can a law firm charge clients who pay a retainer by credit card a little more than the processing fee the card company charges the firm?
Yes. A lawyer may charge a client a nominally higher amount than the credit card processing fee imposed on the lawyer, as an administrative convenience, if the client is told about the up-charge and…
Can a criminal defense lawyer advise a client to accept a plea deal that waives the right to later claim ineffective assistance of counsel?
Yes, unless a reasonable lawyer would find a significant risk that the lawyer's own interest in avoiding an ineffective-assistance claim would adversely affect the lawyer's judgment. If that…
Can a New York lawyer reply to someone's online post asking for a lawyer, and can a lawyer post on Reddit or Twitter to find plaintiffs for a case?
A lawyer may respond, in the manner invited, to a potential client who posts online asking to be contacted; that response is not solicitation, though describing the lawyer's services to secure…
Can a government lawyer investigating a private lawyer for fraud interview that lawyer's clients without the private lawyer's consent under the no-contact rule?
The government lawyer is subject to Rule 4.2. Whether the clients may be interviewed without the private lawyer's consent depends on whether the investigation is a separate matter and, if so,…
Can a lawyer take a court appointment for an incapacitated person when the lawyer's firm also represents the care facility where that person lives?
Yes for Court Evaluator or Guardian roles, because those do not create a lawyer-client relationship with the alleged incapacitated person, so Rule 1.7(a) is not implicated. Serving as counsel for…
Can in-house counsel be interviewed by an agency investigating the company, and can the lawyer still act as advocate if it becomes a hearing?
In-house counsel may submit to an agency interview about the company's alleged wrongdoing where the facts disclosed are not confidential information. But if the investigation becomes a proceeding…
Can a New York lawyer advance an indigent client's taxi and transportation costs to medical appointments in a no-fault injury case?
A lawyer may advance transportation costs only if they qualify as an expense of litigation. Travel to an insurer-required IME clearly qualifies; travel to other doctors qualifies only when necessary…
Can a New York lawyer accept part of a real estate broker's commission as a referral fee instead of charging the client for legal work on the deal?
No. A lawyer may not accept a share of the broker's commission as a referral fee in lieu of charging the client a legal fee, even with the client's informed consent, because the lawyer's financial…
Which state's ethics rules govern a New York lawyer practicing from a DC office under supervision while a DC bar application is pending, and what governs the firm's website and letterhead?
A New York lawyer practicing in DC under the DC court rule while a DC admission application is pending is 'licensed to practice' in DC for choice-of-law purposes. Whether New York or DC rules apply…
Can a New York lawyer who practices principally abroad join a foreign firm with non-lawyer owners, like a UK Alternative Business Structure, without violating New York's rules?
Yes, subject to conditions. A New York lawyer based abroad may do work that does not require local licensing and may practice in a foreign entity with non-lawyer owners or supervisors, provided the…
Can a lawyer publicly defend a judge against unfair media criticism if the lawyer has a case pending before that judge?
A lawyer ordinarily may respond to unjust media criticism of a judge. But a lawyer with a case pending before the judge may not publicly support the judge if doing so is likely to require the…
Can a New York lawyer run a blog with an opt-in box offering a free report in exchange for contact information used to market the lawyer's services later?
Yes. A lawyer may operate a blog with an opt-in box offering a free report for a reader's contact information, and the blog itself is not a solicitation. Later emails using that contact information…
Can a New York lawyer with a primarily New York practice join a DC firm that has a nonlawyer partner, or practice in a New York subsidiary of that firm?
No. A New York lawyer who principally practices in New York may not join a DC firm with a nonlawyer partner, and may not practice in a wholly owned New York subsidiary of that firm, because the…
Can government lawyers submit a position paper instead of appearing in person at routine immigration status hearings where nothing substantive will be addressed?
Yes, if both the court and the client consent. Government lawyers may submit a position paper in lieu of attending immigration status hearings at which no substantive or procedural issues will be…
Are the separately incorporated local offices of a national legal services project one law firm for conflict and confidentiality purposes?
Yes, on these facts. A national legal services project whose local sections share a single case management system giving every attorney access to all clients' information, and whose regional…
When a lawyer buys a retiring attorney's practice and inherits original wills, what must the lawyer do, and can the wills be filed with the surrogate's court?
The lawyer must take reasonable steps to locate and notify the testators or others with an interest in each will, and may review or disclose confidential information from a will only as needed for…
Does a lawyer for an estate executor owe duties to the beneficiaries, and what can the lawyer do if she suspects the executor is hiding assets?
The executor is the lawyer's only client; the lawyer owes no duty to a beneficiary absent an agreement otherwise. The lawyer may not assist conduct she knows is fraudulent or make a false statement,…
Can a lawyer close a short sale where the buyer pays a short-sale negotiator's fee and lowers the offer by the same amount without telling the bank?
No. Disclosing only that the buyer pays a negotiator's fee, while hiding that the offer was reduced by the same amount to cover it, is a misleading half-truth. Under Rule 8.4(c) the buyer's lawyer…
Can a lawyer reveal client confidences to rebut a former client's negative online review?
No. The self-defense exception in Rule 1.6(b)(5)(i) lets a lawyer reveal confidential information only to defend against a formal accusation, such as a lawsuit, disciplinary complaint, or similar…
Can a lawyer use the job title 'immigration specialist' in a nonlegal HR role without violating the ban on calling yourself a specialist?
Yes, if she does not publicly tie the 'specialist' title to her status as a lawyer. Rule 7.4 bars a lawyer from publicly claiming to be a specialist, but the ban does not reach someone who is not…
When a law firm adds a name partner, must it discard old letterhead and open a new trust account?
No, if the firm is the same entity or a legal successor and makes the necessary corporate filings and bank changes. It may use up the old letterhead and keep using the existing trust and operating…
What must a New York law firm's name, letterhead, and business cards include or disclose?
A professional-corporation firm name must include 'P.C.' A firm need not call itself a 'law office.' Personal cards and letterhead may list a lawyer by name without a position title. But firm…
Can a government agency lawyer work on matters involving litigation she earlier handled against the agency for a private client?
Not on the same matter. A lawyer who participated personally and substantially in the prior litigation may not advise the agency on that same matter (such as compliance with its settlement), and…
When a lawyer is admitted in New York and another state, which state's ethics rules govern non-litigation work like contracts and agency filings?
If the lawyer is admitted only in New York, New York's rules govern all non-court matters. If the lawyer is admitted in New York and elsewhere, the rules of the jurisdiction where the lawyer…
Can a lawyer who also mediates divorces write a novel based on what they learned from mediation clients?
Only if no one can identify the clients. Because the inquirer's mediation was not distinct from the legal work of drafting the divorce papers, Rule 5.7(a)(1) subjects the mediation to the…
Can a New York lawyer run a purely virtual law office, and does the advertising rule require a physical street-address office?
Yes. Opinion 1025 holds that Rule 7.1(h) regulates only advertising and does not independently require a physical office, so a non-resident New York lawyer who advertises may list the internet…
Can a New York lawyer help clients comply with the state medical-marijuana law even though marijuana is still illegal under federal law?
Yes. Given the published federal policy of restrained enforcement, the opinion concludes that Rule 1.2(d) permits a New York lawyer to advise and assist clients in conduct designed to comply with…
Can a lawyer admitted only in New York be of counsel to an out-of-state firm that practices under a trade name?
No. Because New York bars lawyers from practicing under a trade name and the New York-only lawyer cannot 'principally practice' in the jurisdiction that allows the trade name, New York's rules…
Can a lawyer complete the TP-584 and RP-5217 real estate tax forms by their instructions even though they do not disclose a grossed-up purchase price?
Yes. The opinion holds that completing the TP-584 (which reports the gross price) and the RP-5217 (which reports the price net of the seller's concession) exactly as their instructions require is…
Can a law firm use a website domain name that combines its practice area with the word 'expert'?
No. The opinion concludes that 'expert' implies a comparative claim of superior results that no disclaimer can cure, and is the equivalent of the 'specialist' label Rule 7.4 restricts, so a firm may…
Can a lawyer use a cloud-based tool to post and share closing documents with the other parties to a transaction?
Yes, if the technology gives reasonable protection to confidential client information; if it does not, only with the client's informed consent after disclosure of the risks. The lawyer must take…
Can a law firm let its lawyers access client files remotely so they can work from home?
Yes, if the firm determines that the technology and devices used give reasonable protection to confidential client information, in which case client consent is not needed. If the firm cannot reach…
After withdrawing because of a conflict of interest, can a law firm refer the former client to specific new attorneys?
Yes. The opinion concludes that a firm withdrawing for a conflict may give the former client a good-faith referral to attorneys it believes appropriate, consistent with Rule 1.16(e)'s duty to avoid…
Can a law firm's staff answer the phone using the partners' initials, and name a sponsored little league team after them?
Yes. The opinion concludes that using the named partners' initials only to answer the phones, or to name a sponsored little league team, is not practicing under a trade name and does not violate…
Can a New York lawyer who is also a real estate broker represent the seller and broker the same sale?
Yes. The opinion concludes a lawyer who is also a licensed broker may represent a seller and act as broker in the same sale if the broker fee is fixed, non-refundable, and not contingent on closing,…
Can a New York lawyer contact a prospective client who, on a current client's recommendation, asked to be contacted?
Yes. The opinion concludes a lawyer may contact such a prospective client as long as the lawyer did not initiate the contact and paid nothing for the recommendation; an unsolicited referral that the…
Can a New York lawyer who works as a real estate broker represent an owner in foreclosure to then broker the firm's purchase of the property?
No. The opinion concludes the dual role is a nonconsentable conflict under Rule 1.7: the lawyer's interest in brokering the later purchase would taint the lawyer's judgment in the foreclosure case,…
Do the usual conflict rules apply to a lawyer who gives short-term pro bono advice through a bar association program?
Under Rule 6.5, the conflict rules bind a limited-services pro bono lawyer only when the lawyer has actual knowledge of a conflict, and even then the conflict is not imputed to others in the firm;…
Must a New York lawyer disclose a client employee's false statements in a visa application to the federal agency if the client refuses?
The opinion concludes Rule 3.3's duty to remedy false statements to a tribunal does not apply, because a visa or work-permit application is not an adjudicative proceeding before a tribunal; other…
Can a New York law firm advertise that it offers second opinions to people who already have a lawyer?
Yes. The opinion concludes a firm may advertise its availability to give second opinions to represented parties; the no-contact rule does not apply because the firm is not yet involved in the…
Are a law firm's press releases and tweets about shareholder lawsuits subject to New York's attorney advertising and solicitation rules?
Yes. The opinion concludes press releases and tweets aimed at potential clients are advertisements and solicitations: press releases keep a three-year retention, tweets a one-year retention and an…
Can a New York law firm take on new clients against an entity it represented before, over that entity's objection?
It depends on whether the entity is a current or former client. The opinion concludes a firm may not oppose a current client absent written informed consent, but may oppose a former client in a…
Can a New York lawyer advertise being listed in 'Best Lawyers' without violating the advertising rules?
Yes, if the lawyer assesses the listing's methodology and concludes it is a bona fide professional rating: unbiased, nondiscriminatory, and based on a defensible method. The opinion treats the…
Can a New York settlement require the claimant's lawyer not to solicit or refer other people with similar claims against the settling party?
No. The opinion concludes Rule 5.6(a)(2) bars settling a claim on the understanding that the claimant's lawyer will not later solicit new clients with similar claims against the settling party, or…
Browse New York State Bar Association opinions by topic
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.