Legal Ethics Opinions
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Can a Wisconsin lawyer threaten criminal prosecution or a disciplinary grievance to gain leverage in a civil matter?
The opinion concludes that no rule bars threatening criminal prosecution to gain an advantage in a related civil matter, so long as the lawyer has a good-faith belief that both the civil claim and the…
Is it a conflict of interest for a D.C. lawyer to subpoena or cross-examine a person who is also the lawyer's current or former client?
The opinion concludes that subpoenaing or cross-examining a current or former client is not a per se conflict; a conflict arises only if the client objects (or would foreseeably object) to testifying,…
Can an Illinois lawyer share fees with and pay a referral fee to an out-of-state lawyer who refers a personal-injury case?
Yes. An Illinois lawyer may enter a fee-sharing agreement with, and pay a referral fee to, an out-of-state referring lawyer in a personal-injury matter, so long as the agreement complies with Illinois…
Can a firm that is suing a company in one matter also take that company's referrals to represent its employees in unrelated immigration cases?
Only if the firm can satisfy Rule 1.7 and obtains informed consent from all affected clients. The unrelated-but-adverse posture creates a Rule 1.7(a)(2) conflict that is waivable only if the firm reas…
After a client dies, who can a lawyer give the estate-planning file to: the named executor, the spouse, the disinherited children?
The lawyer may give the named fiduciary the executed documents and file portions needed to carry out the plan (implied consent), may give a beneficiary limited information to enforce her rights or for…
Can a lawyer pay an annual fee to a company so the lawyer is listed as an 'identified' service provider on a bank's loan-closing forms?
Yes. The bank-form listing only gives contact information and is closer to a paid directory listing than a recommendation, so the annual fee fits Rule 7.2(c)(1)'s exception for the reasonable costs of…
Can a lawyer represent a surviving spouse both as estate administrator and individually in renouncing the will and claiming a spousal award?
Only with informed consent. A concurrent conflict exists under Rule 1.7(a)(2) because the spouse's individual claims are adverse to the beneficiaries the spouse owes fiduciary duties to; it is waivabl…
Can a lawyer serve as a mediator or other neutral in a divorce or family matter where one party is unrepresented and there may be a risk of domestic abuse?
Yes, subject to important considerations. The committee concluded a lawyer may act as a third-party neutral in a domestic relations matter with an unrepresented party even where domestic abuse may be …
When a criminal defendant misses a hearing because they are civilly committed in a hospital, can the defense lawyer tell the court about the commitment without violating confidentiality?
Qualified. The committee concluded that a defense lawyer may disclose a client's civil commitment only on a recognized basis: the client's express or implied informed consent under RPC 1.6(a), a court…
How should a California lawyer represent a client whose decision-making capacity may be impaired, and when may the lawyer take protective action?
The opinion concludes that the lawyer should preserve a normal lawyer-client relationship insofar as possible; that informed, disinterested judgments about capacity will not be treated as unethical in…
When a California lawyer or law-firm colleague has a mental impairment affecting their practice, what do that lawyer, their subordinates, and their supervisors have to do?
An impairment does not excuse the impaired lawyer from any duty. It triggers parallel duties for that lawyer's subordinates, supervisors, and other colleagues who know of the conduct, including commun…
What duties does a California lawyer owe to a prospective client who shared confidential information during an interview that did not result in representation?
Per California Formal Opinion 2021-205, the interviewing lawyer owes a prospective client the same duty of confidentiality owed to a current or former client. The lawyer (and, by imputation, the law f…
Can a Pennsylvania lawyer work remotely from a state where they are not licensed?
Yes. Adopting ABA Formal Opinion 495, the opinion concludes a Pennsylvania-licensed lawyer may practice Pennsylvania law for Pennsylvania clients while physically located in a state where the lawyer i…
When an Arizona lawyer holds settlement funds subject to a disputed health care provider lien, what must the lawyer's ER 1.15(f) notice to the lienholder include?
The notice must describe the property and amount, name the client, the tortfeasor, and the tortfeasor's insurer if known, and state the proposed distribution; before the lawyer holds any disputed prop…
Can a Pennsylvania lawyer ask a client to sign a COVID-19 liability waiver?
Only with informed consent. The opinion concludes that asking a client to waive the right to compensation for COVID-19 exposure creates a personal-interest conflict, so the lawyer may seek the waiver …
Can a lawyer live and work remotely in a state where they are not licensed, while practicing only the law of the state where they are licensed?
Yes, with limits. The opinion concludes a lawyer may practice the law of a jurisdiction where licensed while physically located in a jurisdiction where not admitted, as long as the local jurisdiction …
When an Arizona lawyer withdraws from a case, what duties continue, what confidences can be disclosed, and can the lawyer bill for the withdrawal?
The lawyer must keep protecting the client until withdrawal is complete, disclose confidences only as narrowly as ER 1.6 allows (citing professional considerations to a court rather than the client's …
Can a lawyer act as a fair housing tester, posing as a renter to gather evidence of housing discrimination, without violating Rule 8.4(c)?
The panel concluded it is not professional misconduct under Rule 8.4(c) for a lawyer to serve as a fair housing tester in covert investigations of housing discrimination, because the testing is a lawf…
May prosecutors in the Attorney General's office release, or advise police to release, body-worn-camera video in response to a public records request?
Yes. The panel concluded it does not violate Rule 3.6 (trial publicity) or Rule 3.8(e) for the Attorney General's office to release, or advise law enforcement to release, body-worn-camera video in res…
Can an Ohio lawyer or law firm register and use a service mark like 'The Appeals Pro' in advertising and on letterhead?
The opinion concludes a lawyer or firm may register and use a service mark in communications and advertising, but only in conjunction with the firm's formal legal name and never as a substitute for th…
Can a lawyer publicly respond to a false or negative online review posted by a client or prospective client?
The Committee concludes a lawyer may respond to a negative online review by stating disagreement with the reviewer's facts, but may not reveal 'information relating to representation' unless it is 'ge…
Can a lawyer donate legal services, such as a will, to a charity auction or silent-auction fundraiser?
The Committee concludes a lawyer may donate specified legal services for a charity fundraiser, overruling Opinion 319; the charity is not 'recommending' the lawyer under RPC 7.2(c) or 7.3(d), so long …
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 e…
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 i…
Can a New York lawyer's health concerns about appearing in court in person during a pandemic create a conflict of interest that requires withdrawal?
A lawyer's serious health concerns about a required in-person court appearance during a public health crisis can be a personal-interest conflict under Rule 1.7(a)(2). Whether one exists is fact-specif…
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 un…
After a D.C. lawyer is fired in a contingent-fee case, can the lawyer tell successor counsel about a charging lien without breaching client confidentiality?
The opinion concludes that a lawyer whose fee is secured by a charging lien on the client's future recovery may notify successor counsel or another likely holder of the funds that the lien exists, and…
When can a disciplinary grievance be filed against a New York lawyer for unlawful discrimination in the practice of law under Rule 8.4(g)?
Rule 8.4(g) requires a discrimination claimant to first file in a non-grievance tribunal if the statute of limitations still allows it; the claimant may then file a grievance without exhausting that p…
Can an out-of-state lawyer who is not licensed in Nevada act as in-house counsel for a multijurisdictional company doing business in Nevada?
Yes, within limits. The Committee concludes that an out-of-state, non-Nevada-licensed lawyer who is in-house counsel to a multijurisdictional corporation may fall within the Rule 5.5(b)(3) exception i…
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 written …
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 n…
What client-file materials must an Arizona lawyer keep, how should they store them, and what must they give the client?
A lawyer must retain enough of the file for the client to understand the work done and for a successor lawyer to take over, store it securely and in organized form, and give the client one free copy o…
Can an Arizona firm require a departing associate to pay a per-client fee for each former-firm client they keep representing?
No. The opinion concluded that a flat per-client 'reimbursement' fee on a departing associate violates ER 5.6 because it directly interferes with clients' freedom to choose their lawyer, distinguishin…
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, an…
Can a state's attorney who used to be a public defender prosecute a person they once represented, when the new charge is unrelated to the old case?
Sometimes, but only after a careful Rule 1.9 analysis and safeguards. The committee concluded a prosecutor may handle a case against a former client if the new matter is not the same or substantially …
Is maternity leave a physical condition that requires a lawyer to withdraw from cases, and what must a lawyer do to cover her matters during a 7-month leave?
No. The committee concluded that maternity leave is not a physical condition that materially impairs a lawyer's ability to represent clients and so does not require withdrawal under Rule 1.16(a)(2). B…
When a lawyer represents several clients with related cases, when does settling them together count as an aggregate settlement requiring each client's written consent under Rule 1.8(g)?
Grouping separate but related cases for settlement where the terms are interdependent is an aggregate settlement requiring each client's written informed consent (or court approval). Even settling one…
Can a lawyer advertise the dollar amounts recovered for clients using client testimonials?
Yes, but only with the client's informed consent. Recovery amounts are confidential client information under Alaska Rule 1.6, even when a judgment is public record, so the lawyer must obtain the clien…
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 ag…
Can a North Carolina lawyer invest in a litigation-finance fund that advances money to plaintiffs and law firms for a share of recoveries?
No. A lawyer may not invest in a litigation-finance fund where the fund might advance money to the lawyer's firm, the firm's client, or an opposing party, because of a latent Rule 1.7 conflict the law…
Can a solo practitioner who is suing his own client for unpaid fees represent his law firm when he is also a necessary witness?
The lawyer-witness rule (Rule 3.7) does not require a solo practitioner who owns the firm and is litigating the firm's own fee claim to find substitute counsel before a court rules on a motion to disq…
What must a New Hampshire lawyer do about checks drawn on an IOLTA or trust account that the payee never cashes?
The opinion concludes a lawyer must reconcile trust accounts monthly, promptly notify payees and try to deliver the funds for any uncashed checks, and if the payee cannot be located use the Unclaimed …
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 s…
Can a law firm use retargeting (ads that follow website visitors around the web) without violating the attorney advertising and solicitation rules?
A lawyer's website may use retargeting if the ads comply with the attorney advertising rules. Retargeting alone is not solicitation, but content-targeted ads must meet the solicitation rules. The lawy…
Can a New York lawyer enter an ongoing co-counsel and fee-sharing relationship with an out-of-state law firm that has nonlawyer owners?
Yes. A New York lawyer may keep an ongoing relationship with an alternative business structure (ABS) firm to regularly co-counsel and share fees without violating Rule 5.4, so long as the lawyer is no…
Can a Florida lawyer respond to a former client's negative online review?
A lawyer may not reveal information relating to the representation in response, but may post a general statement that the lawyer cannot respond fully and that the review is neither fair nor accurate.
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 eff…
Can an Ohio lawyer or law firm practice under a trade name that does not include any lawyer's surname or describe the services provided?
The opinion concludes that, after the June 2020 amendment to Rule 7.5, a lawyer or firm may use a trade name as a firm name without referencing a lawyer's name or the services provided, as long as the…
Can a law firm represent two directly adverse clients in the same transaction by screening separate teams of lawyers and getting both clients' written consent?
The opinion concludes it cannot. Concurrent representation of directly adverse clients in the same transaction creates both a direct adversity and a material limitation conflict, and a firm cannot avo…
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 reta…
If my criminal client hands me physical evidence like incriminating letters, can I keep it and not show the prosecutor until a court orders me to?
Per the Committee, a lawyer may not conceal or obstruct access to evidence if doing so would be 'unlawful' under a statute, court order, or mandatory disclosure obligation; but for ordinary tangible e…
When can a California lawyer continue to jointly represent multiple clients whose interests potentially or actually conflict after obtaining informed written consent?
Joint representation is generally permitted with informed written consent, but Rule 1.7(d) blocks it even with consent if the lawyer cannot reasonably believe they can be competent and diligent, the r…
When a client switches lawyers in a contingent fee case, must successor counsel protect the prior lawyer's charging lien out of the recovery?
Yes. The opinion concludes that under Rule 1.15(f), successor counsel must keep enough of the recovery in trust to satisfy the predecessor's quantum meruit claim until the lien dispute is resolved by …
Can an insurance-retained defense lawyer keep representing the insured when the carrier reserves coverage rights and intervenes in the same lawsuit?
It depends on how the coverage fight is structured. The lawyer may defend the insured even under a reservation of rights, but if the carrier intervenes in the same case and the coverage issues are not…
When a former client files an ineffective-assistance claim, what may a Maine lawyer disclose, and to whom?
A former lawyer's duty of confidentiality survives the representation. An ineffective-assistance claim may waive privilege only to the extent of the claim, so the opinion's best practice is to make no…
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 the …
Can a Texas lawyer set up a booth in a public place after a storm, staffed by a nonlawyer, to hand out brochures and attract property-damage clients?
Per the Committee, yes; a lawyer may have a nonlawyer staff a booth that displays signs and hands out brochures and gives information, even speaking to visitors, as long as neither the lawyer nor the …
Can a law firm pay an annual fee to a real estate agency and offer discounted legal services in exchange for being promoted as a service provider in the agency's benefits program?
The opinion concludes a law firm may not enter such a 'strategic partnership agreement.' Paying for promotion and offering discounts to be listed gives a thing of value for a recommendation under Rule…
Can an Ohio lawyer offer financial planning services and sell financial products like annuities to law firm clients, and how can the lawyer charge for that?
The opinion concludes a lawyer may provide financial planning through a law firm on a fixed, flat, or hourly fee, with all services then subject to the Rules of Professional Conduct. A lawyer may not …
Can an Ohio law firm keep a retired or inactive lawyer's surname in its name and on its letterhead, and can a retiring lawyer be 'of counsel'?
The opinion concludes a firm may keep a retiring lawyer's surname in the firm name in a continuing line of succession even after the lawyer takes 'retired' or 'inactive' registration status, and may l…
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Persuasive authority: Not binding like court discipline decisions, but state bar formal opinions carry substantial weight.
- Working guidance: The committee shows lawyers what the rule actually requires day to day (conflicts checks, fee letters, intake screens, withdrawal mechanics).
- Practice research: Cite ethics opinions in fee agreements, engagement letters, conflict waivers, and disqualification motions.