Utah State Bar Ethics Advisory Opinion Committee Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Utah State Bar Ethics Advisory Opinion Committee, with full citations and source links on every page.
No Utah State Bar Ethics Advisory Opinion Committee opinions match these filters
Try a different search term or clear the filters.
Can a lawyer propose or agree to a settlement non-disparagement clause that binds opposing counsel from saying anything negative about the other side?
No. The opinion concludes that Rule 5.6(b) bars a lawyer from participating in offering, or from making, a settlement of a client controversy that includes a non-disparagement clause restricting a law…
Can a Utah lawyer pay referral fees to other lawyers or to non-lawyers, including clients, after the 2020 rule changes?
Yes, with conditions. The opinion concludes that after the 2020 repeal of former Rule 7.2(f) the Utah rules contain no per se prohibition on paying or receiving referral fees, including to clients or …
Can a lawyer give a deceased client's will, trust, or estate-planning work product to the heirs or beneficiaries when the trustee or executor will not?
Yes, within limits. The opinion concludes a lawyer may provide a deceased client's estate planning documents, and related work product, to beneficiaries or heirs when the trustee or executor has not, …
Can a lawyer secretly listen to and coach a client during the client's phone call with someone the lawyer knows is represented by another lawyer?
No. The opinion concludes that a lawyer who coaches a client during the client's call with a represented person about the subject of that representation violates Rule 4.2 by communicating through the …
Can a defense lawyer in Utah contact a plaintiff's treating physician ex parte, outside formal discovery?
No. The opinion formally withdraws Advisory Opinion 99-03, noting that the Utah Supreme Court in Sorensen v. Barbuto vacated 99-03 and instructed lawyers to confine contact with an adversary's treatin…
Can a law firm with no Utah-licensed lawyer advertise or solicit legal services in Utah?
The opinion concludes that advertising or soliciting in Utah when no member of the firm is licensed in Utah violates Rule 7.1 as materially misleading by omission, unless the communication includes a …
When a parent hires a lawyer for an injured child's personal injury claim, what does the lawyer owe the child if the parent's wishes conflict with the child's interest?
The opinion concludes the conflict rules (1.7, 1.8, 1.9) apply to the child as a client even though the parent retained and can discharge the lawyer, and the lawyer must protect the child's funds unde…
After Utah's 2021 overhaul of the advertising and fee-sharing rules, which older Utah ethics opinions can lawyers still rely on?
The opinion concludes that opinions resting on the 'false or misleading' standard remain applicable, while opinions that disapproved arrangements solely as paying for referrals, fee-sharing with nonla…
Does an out-of-state in-house lawyer for a Utah company need a Utah in-house counsel license if the lawyer lives and works in another state?
The opinion concludes that an out-of-state in-house lawyer is not required to obtain a Utah in-house counsel license when the lawyer is not a Utah resident and does not maintain a systematic and conti…
What firm names and trade names are allowed under Utah's amended Rule 7.1?
The opinion concludes that a firm may use a trade name, including the names of departed or deceased lawyers, as long as the name is not false or misleading under Rule 7.1; a name can become misleading…
Can a Utah lawyer reveal a client's identity, who is paying the fee, or the terms of the fee agreement?
Generally no. The opinion concludes that under Rule 1.6 a client's identity, the source of the fee, and the terms of the fee agreement are confidential by default, disclosable only with informed conse…
What are a prosecutor's and defense lawyer's ethical duties toward the victim in a domestic violence case?
The opinion concludes that the alleged victim is the client of neither the prosecutor nor defense counsel; both must avoid implying they represent the victim, may not give the victim legal advice beyo…
Can a Utah lawyer renegotiate a flat fee if the matter turns out larger than expected?
The opinion concludes that a lawyer who unilaterally underestimated the scope of a matter cannot simply renegotiate the flat fee; a renegotiation for the lawyer's advantage is a business transaction w…
When does an appointed criminal defense lawyer's representation end for the no-contact rule, so another lawyer can speak to the former defendant?
The opinion concludes that, absent actual knowledge otherwise, a lawyer must assume a criminal defendant's representation covers all aspects of the case, including cooperation under a plea, so Rule 4.…
Can a lawyer licensed only in another state live in Utah and practice that state's law without a Utah license?
The opinion concludes that an out-of-state lawyer in good standing may reside in Utah and practice law for clients of the state where the lawyer is licensed without violating Rule 5.5, as long as the …
Can a private lawyer sue one government agency while representing another agency of the same government in an unrelated matter?
The opinion concludes that this simultaneous representation is not categorically prohibited; whether it creates a conflict turns on identifying the government client through a functional analysis and …
Can a contingency-fee firm charge the client for the cost of litigation cost insurance, payable only if the client recovers?
Yes, with conditions. The opinion concludes a firm may pass the cost of a litigation insurance policy to the client upon recovery if the terms are fair, reasonable, and fully disclosed in writing, the…
Can a registered investment adviser (RIA) firm in Utah employ a lawyer to provide estate-planning services to the RIA's clients and pay the lawyer a share of the firm's advisory fees?
The opinion concludes a lawyer's duties run to the client; a non-client may pay the lawyer's fee if Rule 1.8(f) is met, but an RIA cannot employ a lawyer to deliver legal services to its clients and p…
Can a Utah lawyer put an indemnification clause in a retainer agreement, and can the lawyer use it to make a client pay the lawyer's malpractice insurance deductible if the client's malpractice claim fails?
The opinion concludes a lawyer may include an indemnification provision covering third-party claims arising from the client's own conduct, but using such a clause to recover the lawyer's malpractice i…
Can a law firm represent a party on appeal when one of its own lawyers testified as an expert witness for the opposing party in the same case?
The opinion concludes that if the testifying lawyer truly had no attorney-client relationship with the party who engaged him, the firm's later representation of the adverse party on appeal is not barr…
If a Utah lawyer is hired by another law firm to consult on a narrow area of law using only hypotheticals, does the lawyer take on a client-lawyer relationship or a duty of confidentiality?
The opinion concludes the consultation alone does not create a client-lawyer relationship between the consulted lawyer and the consulting firm's client, but the consulted lawyer may acquire a duty of …
Can a Utah law firm keep a founding partner's name in the firm name when that partner is a part-time state legislator who does very little legal work but has not formally retired?
The opinion concludes the name may remain during the seven-week legislative session because that period is not a substantial enough interruption to violate Rule 7.5(c), provided the lawyer is actively…
What are a Utah local counsel's duties when the lead lawyer is admitted pro hac vice and wants local counsel to do as little as possible?
The opinion concludes that serving as local counsel is not a perfunctory role; under Rule 5.1 local counsel must supervise the pro hac vice attorney, provide Utah-law expertise, and remains responsibl…
Must a criminal defense lawyer who doubts the client's competence seek a competency evaluation before letting the client plead guilty?
The opinion concludes that defense counsel has no automatic duty to seek a competency evaluation; counsel should first try to maintain a normal client-lawyer relationship under Rule 1.14, take protect…
May a Utah lawyer contribute to, or be an officer or employee of, an entity that advocates for or against a judge's retention election?
Yes. A lawyer may submit comments to, contribute money to, or serve as an officer or employee of an entity advocating for or against a Utah judge's retention, but the lawyer's statements (and statemen…
Must a lawyer report another lawyer who merely says out loud that he is thinking about violating an ethics rule?
The opinion concludes there is no duty to report, because Rule 8.3(a) requires reporting only a known violation that raises a substantial question of honesty, trustworthiness, or fitness, and an oral …
When a client asks a Utah lawyer to modify a fee agreement mid-representation, what ethics rules apply?
Rule 1.5 always governs, so the modified fee must stay reasonable throughout; if the change is not clearly beneficial to the client or settles a fee dispute, Rule 1.7(a) treats it as a personal-intere…
Can a lawyer make a client, a former client, or opposing counsel promise not to file or take part in a bar complaint as a condition of settling a dispute?
No. The opinion concludes a lawyer may neither request nor agree to a settlement term that forgoes filing or participating in a bar complaint, and may not enter a settlement that limits the lawyer's m…
If a lawyer briefly joined the firm that had represented the opposing spouse, then left, can the lawyer keep representing the other spouse in the same divorce when the lawyer never got any confidential information about the opposing spouse?
The opinion concludes the lawyer may continue to represent the wife against the husband on post-decree matters without the husband's consent, because under Rule 1.9(b) the lawyer acquired no informati…
Can a Utah lawyer pay a per-bid fee to an online service that forwards client requests so the lawyer can bid for the work?
Yes. Paying a nominal per-bid fee to an internet forum that forwards client requests does not violate the advertising or solicitation rules (Rules 7.1, 7.2, 7.3) or the prospective-client rule (Rule 1…
Can a lawyer interview a former control-group employee of an adverse corporation without opposing counsel's consent?
Yes, but with limits. The opinion concludes a lawyer may contact a former control-group employee of an adverse party under Rule 4.2, but may not ask about anything covered by the attorney-client privi…
Can a Utah lawyer report an internet 'client' who turns out to be running a counterfeit-check scam against the lawyer?
Yes. The opinion concludes that someone who contacts a lawyer only to defraud the lawyer (the classic counterfeit-check collection scam) is not a client or prospective client owed confidentiality unde…
Can a former member or hearing officer of the parole board later represent an offender before that same board, and do all proceedings involving one offender count as the same 'matter' under Rules 1.11 and 1.12?
The opinion concludes that any proceeding involving the same offender is the same 'matter,' so a former Board member or hearing officer who personally and substantially participated in prior proceedin…
Can a personal injury lawyer outsource the resolution of health-insurance liens to a lien-resolution company and pass that fee to the client as a litigation cost?
The opinion concludes a lawyer may engage a lien-resolution company; the fee may be charged to the client as a cost only if the work is the equivalent of accounting or appraising (not the practice of …
Can a criminal defense lawyer counsel a client to accept a plea agreement that waives the lawyer's own future ineffective assistance of counsel at sentencing or in postconviction proceedings?
The Committee concludes it violates Rule 1.7 for a defense lawyer to counsel a client to enter a plea agreement waiving the lawyer's prospective ineffective assistance at sentencing or other postconvi…
A client with diminished capacity wants to appeal but refuses to sign the Notice of Appeal the statute requires, so the appeal will be dismissed. What should the lawyer do?
The opinion concludes that under Rule 1.14, if the lawyer believes the client is at risk of substantial harm and cannot adequately act in her own interest, the lawyer should take reasonable protective…
Can a Utah lawyer take part in an on-site program that finances client retainers through a third-party lender?
Not without curing the conflict. Participating in an on-site retainer-financing program creates a personal-interest conflict under Rules 1.7(a) and 1.8(a), but the lawyer may proceed by obtaining the …
Can a Utah lawyer pay a non-lawyer for client referrals, run joint advertising with a chiropractor or insurer, or own a business expecting it to send clients to the lawyer?
The opinion concludes a lawyer may not give anything of value, directly or indirectly, for a referral (and reciprocal-referral agreements are barred in Utah); joint advertising with a non-lawyer is no…
Can a government entity's lawyers send a litigation-hold e-mail asking employees to preserve documents to an employee who is the represented plaintiff in the suit against the entity?
The opinion concludes it violates Rule 4.2 for a government entity's attorney's office to send the litigation-hold e-mail to an adverse represented employee, because the e-mail concerns the subject of…
Can a Utah lawyer charge a flat fee, call it nonrefundable, and move it out of the trust account before the work is done?
Flat fees are permitted under Rule 1.5, but the opinion concludes no fee is truly nonrefundable; unearned flat fees must stay in the client trust account, may be moved to the lawyer only as earned und…
Can a lawyer who once represented the wife (separately, and jointly with the husband against a third party) now represent the husband on appeal in their divorce?
The opinion concludes the lawyer's earlier separate representation of the wife does not bar representing the husband on appeal because it is not substantially related, but the joint litigation against…
Can a lawyer have a law clerk run legal research on the clerk's student Westlaw or Lexis account for firm work?
No. The opinion concludes that a lawyer who encourages or participates in a law student's breach of the student's Westlaw or Lexis academic-use agreement violates the Rules of Professional Conduct, in…
Can a Utah lawyer give a financial or charitable gift to an indigent litigation client?
Rule 1.8(e) bars financial assistance in connection with litigation, including paying a client's living expenses, so regular monthly payments to an inmate's commissary account are prohibited; but Utah…
Can a plaintiff's lawyer personally agree to indemnify and hold the opposing party harmless against unpaid medical liens as a condition of a personal injury settlement, and can opposing counsel demand it?
No. The opinion concludes that a plaintiff's lawyer personally agreeing to indemnify the opposing party against any and all third-party lien claims violates Rules 1.7(a) and 1.8(e), and that asking op…
Can a Utah lawyer represent a homeowners association against a property manager who refers business to the lawyer?
Representing an association in matters not adverse to the manager raises no conflict and needs no disclosure, but suing or negotiating against the manager creates a personal-interest conflict under Ru…
Can a lawyer use client testimonials, dramatizations, or fictional sketches in TV or website advertising in Utah, and when do they cross the line into false or misleading?
The opinion concludes testimonials, dramatizations, and fictional vignettes are permitted so long as they are not false or misleading; they become impermissible where a reasonable person would reach a…
Can a Utah lawyer ghostwrite pleadings or give substantial behind-the-scenes help to a self-represented litigant without telling the court, and what duties still apply?
The opinion concludes that, absent a court rule requiring disclosure, it is not dishonest for a lawyer to give extensive undisclosed limited-scope help to a pro se litigant, including drafting pleadin…
Can a Utah lawyer who represented a party in a guardianship case go on to represent the guardian the court appoints?
Only after analyzing it as a current-or-former-client conflict under Rules 1.7 and 1.9; if the facts show direct or material adversity, or the guardian's fiduciary and statutory duties would materiall…
Can a Utah lawyer for another party talk to a child who is represented by a guardian ad litem without the GAL's consent?
No. When a court appoints an attorney guardian ad litem for a person, another party's lawyer may not communicate with that person about the subject of the representation, or arrange for a second lawye…
Can a lawyer serve on a legal-services organization's litigation advisory group when its clients have interests adverse to the lawyer's own clients?
Generally yes. The opinion concludes that under Rules 6.3 and 6.4, serving as a director, officer, or member of a legal-services or law-reform organization does not by itself create an attorney-client…
Can a criminal defense lawyer restrict a current or former client's access to their own client file?
A former client's access to the client file generally may not be restricted, absent prosecutorial or court-ordered limits on specific materials. For a current client, a lawyer may delay transmitting c…
Can a Utah lawyer set up or borrow from a lending company to finance a client's case or pay the lawyer's own fees?
No to both arrangements presented. A lawyer may not run a lending company that loans money to the lawyer's own clients to cover fees, because the lawyer's loyalty to the lender conflicts non-consentab…
Must a Utah lawyer hand over unsigned wills or unfiled pleadings as part of the client's file when fired?
No. The opinion concludes that an unexecuted trust or will, or an unfiled pleading such as an extraordinary writ, is the lawyer's work product rather than part of the client's file under Rule 1.16(d),…
Can a county attorney's office help domestic-violence victims get protective orders and still prosecute the abuser?
Yes, with limits. An individual government lawyer may provide the pro bono protective-order representation but then may not take part in prosecuting the abuser; under Rule 1.11 that lawyer's conflict …
Does a lawyer owe confidentiality to someone interviewed as a prospective client who is never retained, and can that interview disqualify the lawyer's firm?
Yes. The opinion concludes confidentiality usually attaches when a prospective client consults a lawyer in contemplation of retention, even if the lawyer is never retained and gives no advice; Rules 1…
After successfully mediating a divorce, can a Utah lawyer-mediator draft the settlement agreement and court pleadings for both parties?
The majority concludes no: drafting the settlement and divorce pleadings is the practice of law, and a lawyer may not represent both opposing parties in litigation under Rule 1.7(a). The lawyer-mediat…
At sentencing, if the judge asks defense counsel about the client's prior convictions, can the lawyer answer?
Only with the client's informed consent. Otherwise, defense counsel must respectfully decline to answer in a way that does not mislead the court, because information about the client's prior convictio…
If a former client claims the lawyer's advice confused him, can the subpoenaed lawyer testify about their privileged discussions to prevent a fraud on the court or clear the lawyer's name?
No. Absent a court order, a subpoenaed lawyer may not divulge any attorney-client information, either to the prosecution or in open court, even though the former client has attacked the lawyer's advic…
Can corporate counsel block opposing counsel from interviewing employee fact-witnesses by asserting that counsel represents all of them?
Only where counsel has actually formed an attorney-client relationship with each employee-witness in compliance with Rule 1.7 (informed consent to joint representation, with notice of possible withdra…
Can a lawyer refer clients to a cooperative the lawyer co-owns that provides non-legal, law-related services, and share in its profits?
It is not per se unethical. The opinion permits a lawyer to refer clients to a lawyer-formed cooperative offering non-legal, law-related services (such as trust administration) and to share in its pro…
Browse Utah State Bar Ethics Advisory Opinion Committee opinions by topic
Legal ethics opinions from the Utah State Bar Ethics Advisory Opinion Committee interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are 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.