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 advertise 'I know how to win for you' or claim 'unsurpassed litigation skills'?
No. The opinion concludes both phrases violate Rule 7.1: each is misleading and cannot be factually supported when disseminated, and adding the 'prior results' disclaimer does not cure the problem.
If a contract requires my client to pay the other side's attorney's fee and that fee seems excessive, can I still close the deal, and must I report the other lawyer?
Yes, the lawyer may participate in the transaction even if the counter-party's attorney's fee is excessive, because the lawyer did not cause or induce it. Reporting under Rule 8.3 is required only…
Can a lawyer who practices under his full name use a firm name that includes only his middle initials and last name, dropping his first name?
Yes. Dropping the first name while keeping the surname and the initials of two given names is a slight enough variation that it does not violate Rule 7.5(b)'s trade-name prohibition, as long as the…
Can a lawyer who is executor of a deceased attorney's estate inspect and disclose confidential information in stored wills in order to return them to the right people?
Yes. Because the executor did not come into possession of the wills incident to his own practice, the Rule 1.15(c) notification duty and Rule 1.6(a) confidentiality bar do not apply to him; he may…
Can a lawyer who works as a marital mediator refer the couples to the lawyer's spouse, a psychiatrist, for free counseling sessions?
Yes. As a third-party neutral the mediator is not representing clients, so Rule 1.7's personal-interest conflict rule does not apply; but the lawyer must tell the parties the lawyer does not…
Can a law firm sell advertising space to other professionals in its educational newsletter, and is the whole newsletter treated as lawyer advertising?
Yes. A firm may sell ad space in its newsletter to third parties, including other firms, as long as the rates carry no implied referral or fee-splitting arrangement. The entire newsletter counts as…
Can a New York lawyer accept payment of fees from a third party whose interests may be adverse to the client, when the client also still owes the lawyer money from earlier work?
Yes. Under Rule 1.8(f) the lawyer may accept a third party's payment if the client gives informed consent, the lawyer's independent judgment is not compromised, and confidences are protected. A…
After a real estate closing, can or must a lawyer who learns the buyer and seller committed fraud (including bad checks) disclose it to the lender or law enforcement?
Generally no. The fraud is confidential information under Rule 1.6, and Rule 3.3 does not apply because no tribunal is involved. Disclosure is permitted only in narrow situations: to withdraw a…
Can a New York lawyer buy physical evidence, such as surveillance video, for use in litigation, and can the payment be contingent on the case outcome?
Yes in general, and the payment may be contingent on the outcome, but limits apply: a lawyer may not pay outcome-contingent compensation to someone who will be a witness (Rule 3.4(b)), and may not…
Can a New York lawyer move unearned client retainers from one escrow account to another lawyer's escrow account to protect them from a creditor's levy?
No. Unearned advance-payment retainers belonging to a lawyer's clients must stay in that lawyer's own escrow account and cannot be transferred to another lawyer's escrow account to shield them from…
Can a lawyer advertise by sending commercial posts via email to members of internet message boards?
Yes. The opinion concludes that a lawyer may advertise through commercial email posts to members of internet message boards if the ad is not false or misleading, complies with the Rules, and carries…
Can a New York lawyer appear before a judge when the lawyer's part-time secretary also works for a related judge on the same court?
Yes. A lawyer's familial tie to one judge and a secretary shared with that judge do not bar the lawyer from appearing before a different judge of the same court, so long as the lawyer protects…
Can a lawyer whose firm represents a school district also work as a paid coach for that district's sports team?
Yes, unless a reasonable lawyer would conclude there is a significant risk that the coaching interest would adversely affect the lawyer's professional judgment for the district under Rule 1.7(a)(2).…
Must a lawyer disclose a 'gross-up' of the purchase price in a residential real estate contract that includes a seller's concession?
Only when the price has in fact been grossed up in connection with the concession. Disclosure is not required, and would be inaccurate, when the seller actually bears an economic cost equal to the…
Can a lawyer partner with or be employed by a nonlawyer's 'Disability Office' to handle Social Security, Medicaid, and guardianship matters, and split fees with the nonlawyer?
No. The lawyer may not be employed by or partner with the nonlawyer entity to provide legal services, nor share legal fees with the nonlawyer (Rules 5.4(a), (b), (d)). The lawyer may pay the…
Can a New York lawyer who represents lenders in foreclosure pass leads on those properties to a real estate company the lawyer plans to join?
Not without the lender client's informed consent. Information the lawyer learns about foreclosure properties is confidential, and a personal stake in the buyer creates a conflict under Rule 1.7; the…
Can a New York lawyer represent one regular client lending money to another regular client, take an advance waiver to sue the borrower later, and accept stock in the lender as a fee?
Yes, if the conflict consents satisfy Rule 1.7(b), the borrower's confidential collateral information is disclosed only with that client's consent, and a stock fee meets the Rule 1.8(a)…
Can a law school clinic that once represented a nonprofit later help a rival nonprofit with the same goals apply for tax-exempt status?
Yes, without the former client's consent. The tax-exemption application is not substantially related to the prior work, would not use the former client's confidential information, and the two…
Can a lawyer mail a cover letter and an informational brochure to accountants and bankers hoping they will refer clients to the lawyer?
Yes, if the advertising rules are met. The mailing is permitted as advertising, but the lawyer may not have the accountants or bankers solicit clients on the lawyer's behalf, and may not give them…
Can an insurer's non-attorney claims staff review insurance staff counsel's files, which contain the insured client's confidential information?
No, not without the insured's informed consent. The claims-department staff are not part of staff counsel's law firm and are not supervised by counsel, so under Rule 1.6 the confidential information…
Can a New York lawyer who represents a mentally incapacitated client also represent the client's sister in a guardianship petition when the sister's plan conflicts with the client's stated wishes?
No. The opinion concludes it is a conflict of interest, and because the incapacitated client cannot give informed consent, it is non-consentable; the lawyer may suggest the sister petition and point…
Can a New York lawyer who used to be a judge's law clerk appear, or help others appear, before that same judge after leaving the clerkship?
Yes, on new matters. Rule 1.12(b)(2) only bars appearing in a matter in which the lawyer participated personally and substantially as a clerk, absent all parties' informed consent confirmed in writing.
Does a New York lawyer violate Rule 3.2 by refusing to give adverse counsel copies of pleadings that are already in the public court file?
No. The opinion concludes that declining to share documents available from the court is not 'causing' needless expense under Rule 3.2, because a mere refusal to cooperate is not an affirmative step;…
After a matter settles, can a New York lawyer keep the leftover retainer in escrow at the client's request as an advance for unspecified future work?
Yes. The opinion concludes the leftover balance becomes an advance payment retainer, which the parties may agree to treat as client funds held in escrow or as the lawyer's own funds, subject to…
Must a New York lawyer who has withdrawn and never appeared before the court disclose that a false statement he earlier gave opposing counsel may be used as evidence?
No. The opinion concludes a lawyer who has not appeared before the tribunal has no duty and no right under Rules 1.6 or 3.3 to disclose confidential information to correct a prior false statement…
Can a New York real estate lawyer accept a referral fee from a home security company for clients who sign up using a code on flyers in the lawyer's office?
Yes. The opinion concludes that nothing bars a lawyer from being paid for providing passive space for a third party's flyers when the lawyer does not recommend the service and it is unrelated to the…
Can a New York lawyer reveal a former client's confidential financial information in the client's bankruptcy to collect an unpaid fee, and what duty applies if the client misled an earlier court?
The opinion concludes the lawyer may disclose confidences in the bankruptcy only to the extent reasonably necessary to collect the fee, and that if the client gave false material evidence to a…
Can a group of New York lawyer-mediators who are not a firm run joint ads and a shared website and phone line without it being a prohibited paid referral arrangement?
Yes. The opinion concludes that joint advertising listing each member's name, experience, and biography, where callers choose their own mediator rather than being assigned one, is permitted group…
When a New York lawyer is general counsel to a closely held corporation, must the lawyer raise an issue that helps the company but hurts some directors personally, and whom does the lawyer represent?
The opinion concludes the lawyer represents the entity, not the directors or shareholders, and must raise an issue needed for the company's informed decision while explaining to the affected…
Can a New York lawyer in a trademark cancellation case share a client's online petition and post a survey on social media without violating the trial-publicity rule?
Yes, unless the lawyer knows or reasonably should know the statements have a substantial likelihood of materially prejudicing the proceeding; the opinion finds prejudice unlikely before a nonjury…
Can a New York law firm enter an exclusive deal with a marketing company that does forensic mortgage analysis, pay it for referred clients, and tie its fee to the firm's legal fee?
No. The opinion concludes the arrangement is an impermissible cooperative business arrangement under Rule 5.8 because the company is not a listed profession, and the firm may not pay the company for…
Is a county public defender's office a single firm for conflict imputation when its assistant public defenders work independently from separate private offices?
Yes. The opinion concludes a statutory public defender office is one firm under Rule 1.10(a), so one assistant's Rule 1.7, 1.8, or 1.9 conflict is imputed to the others, including part-timers acting…
If a real estate lawyer also acts as a paid title insurance agent in the same deal, is the legal fee automatically excessive where the two roles overlap?
No. The opinion modifies N.Y. State 576 and holds that overlap between the work done for the client and for the title abstract company does not automatically make the legal fee excessive;…
Can an appellate lawyer in a legal aid office argue that the defendant got ineffective assistance from a trial lawyer in the same office?
Only with a valid client waiver. Trial counsel's own conflict in attacking his work is essentially nonconsentable, but a colleague's imputed conflict is judged from the colleague's position, so the…
Can a New York lawyer or law firm list practice areas under a 'Specialties' heading on a social media profile like LinkedIn?
Not under that heading. The opinion holds that listing services under a 'Specialties' label claims the lawyer or firm specializes, which Rule 7.4(a) forbids unless the individual lawyer is certified…
Can a New York lawyer donate legal services to be auctioned at a charity fundraiser?
Yes. The opinion overrules N.Y. State 524 and permits donating legal services for a charity auction, subject to conditions: the lawyer must be competent for the offered service, disclose limits…
Must a lawyer give a deceased client's file to the executor of the estate who requests it?
It depends on the executor's legal rights. If the executor is legally entitled to the same access the decedent had, the lawyer should ordinarily provide the whole file. If not, the file's…
Can a lawyer ask the client to indemnify the lawyer against claims by a non-client who receives the lawyer's opinion letter?
Yes. The opinion concludes Rule 1.8(h)'s bar on prospectively limiting malpractice liability protects only the client, so a lawyer may ask the client to indemnify against malpractice or other claims…
Can a government lawyer challenge his own furlough and also defend the agency against other employees' furlough appeals?
The lawyer may file his own furlough appeal if it does not impermissibly affect representing the agency, but if he files it he generally cannot also defend the agency against similar appeals. If he…
Is a lawyer's blog that doesn't discuss law an attorney advertisement subject to the advertising retention rules?
No. The opinion concludes a blog whose primary purpose is not the retention of the lawyer, and which does not discuss legal topics or solicit clients, is not an 'advertisement' under Rule 1.0(a), so…
Can a lawyer who works as a town court clerk represent a private client who has a matter pending in the clerk's own court?
Yes, subject to limits. No ethics rule categorically bars it. If the clerk has no role or only ministerial duties in the client's matter before the clerk's court, the clerk may represent the client…
Can a town attorney who advised the building inspector then represent the zoning board of appeals in a related Article 78 case?
Yes, ordinarily. The opinion holds the town attorney represents the Town as an entity, so advising the building inspector and later appearing for the zoning board are both service to one client, not…
Can a lawyer running a virtual practice list a commercial mailbox (mail drop) as the only address in advertising, or on business cards and letterhead, instead of a physical office address?
Not in advertising. Rule 7.1(h) requires every advertisement to show the street address of the lawyer's principal office, so a mail drop alone is not enough. Business cards and letterhead may use a…
Must a legal services lawyer who reviewed a prospective client's file, but never appeared in the matter, report to the tribunal or to police that the person gave a false name and address and may have failed to register as a sex offender?
No. Because the lawyer never represented the person before the tribunal and never offered the false information as evidence, Rule 3.3 imposes no mandatory disclosure, and Rule 1.6(b)(2) is…
Can a lawyer arrange for a client to pay a fact witness's travel expenses, and the witness's own legal fees, to secure the witness's testimony?
Yes. Under Rule 3.4(b) a lawyer may arrange a client's payment of a witness's reasonable travel expenses and reasonable legal fees, as long as the payment is not prohibited by law and is not…
When a retiring lawyer sells a law practice, can the purchase price be structured as a percentage of fees the buyer earns after the sale?
Yes, within limits. Rule 1.17 lets a retiring lawyer take a share of post-sale fees as payment for goodwill if the amount and term fairly reflect the goodwill's value, but the lawyer may not be paid…
After a homeowner consulted a lawyer about claims against the home's seller but never retained the lawyer, may the lawyer represent the contractor suing that homeowner for unpaid repair fees?
Possibly. Under Rule 1.18, the lawyer may take the contractor's case unless the lawyer received confidential information from the homeowner that would be significantly harmful in the fee dispute; if…
If the opposing party's lawyer has withdrawn or been disbarred, may the other lawyer contact the opposing party directly to find out whether they have new counsel?
Yes. When a lawyer knows the adverse party's counsel has withdrawn from the matter or resigned from the bar, the no-contact rule (4.2) no longer applies and Rule 4.3 permits contacting the party to…
Can a lawyer take a finder's fee for introducing a client who needs capital to potential investors the lawyer also knows?
Yes. A finder's fee for matchmaking is a nonlegal service the rules permit, but only if the lawyer satisfies the confidentiality, conflict, business-transaction-with-client, and reasonable-fee…
Can a lawyer depose a person who is a named defendant but does not yet know about the lawsuit, without telling them the lawyer's client is adverse to them?
No. Under Rule 4.3 the lawyer must disclose that he is not neutral and that the deponent's interests are adverse, and advise the deponent to get counsel; deposing under a false pretense would…
Can a New York law firm list a lawyer admitted only in another state as 'of counsel,' and how must the firm show that lawyer's jurisdictional limits on its letterhead and website?
Yes. A New York firm may have an of-counsel relationship with a lawyer not admitted in New York and need not state the precise nature of the relationship, but Rule 7.5(d) requires disclosing the…
If a firm markets practice-succession planning to solo lawyers, is that advertising, and does a lawyer's agreement to take over a colleague's matters trigger the fee-sharing rule?
No on both. Communications only to other lawyers are not advertisements or solicitations, and a referral or take-over agreement does not make two lawyers 'associated' for fee-sharing unless their…
Can a lawyer contribute to a bar association fund that commissions a courthouse portrait honoring a retiring judge who will keep serving?
Yes. The portrait is a gift to the court, not to the judge, and the honor is not a 'thing of value' to the judge under Rule 3.5(a), so a lawyer may contribute and the bar association may solicit the…
Can a lawyer employed by a nonprofit credit-counseling agency provide legal services to the agency's clients and help the agency seek grants to fund those services?
Yes, if the agency lawfully offers legal services under Judiciary Law 495 and the lawyer gets each client's informed consent to third-party payment, keeps the agency from controlling his…
Can a lawyer who regularly represents a lender also represent the buyer at residential closings when the lender pays most of the buyer's legal fee as a promotion?
No. The lawyer's regular lender relationship and the lender's payment of most of the buyer's fee create a Rule 1.7 conflict that is nonconsentable, because the lawyer cannot reasonably believe he…
Can a lawyer sell a flat-fee online letter-writing service, advertising that the letters are written by an attorney, without it being treated as legal services?
Only narrowly. A lawyer may offer such a service only if the letters' subject matter does not implicate legal rights, no legal services are rendered, and the website prominently disclaims any…
Can a law firm scan incoming mail, destroy the paper originals, and keep only electronic copies?
Yes, with safeguards. A firm may destroy paper mail and keep electronic copies if it uses a reliable method to identify and retain the items that must be kept in original form, and protects…
What ethical duties does a lawyer appointed as standby counsel owe to a pro se party, and can the lawyer limit how much the pro se party can demand?
The duties scale with the role. An inactive standby lawyer treats the pro se party like a prospective client under Rule 1.18; if invited to participate, the lawyer may limit the scope under Rule…
Can a New York lawyer use a firm name built from her conjoined initials plus a phrase like 'The Business Dispute Clinic'?
No. A firm name made by conjoining the lawyer's initials with an abbreviation of her surname is a prohibited trade name, and 'The Business Dispute Clinic' cannot be part of the firm name, though it…
Can a New York law firm buy a mailing list to offer recipients a free educational newsletter and seminars?
Yes. Buying a list to email an opt-in offer for an educational newsletter and seminars is permissible, because educational programs not primarily about the firm are neither advertising nor…
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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.