Legal Ethics Opinions
Free state and local bar legal ethics opinions with plain-English summaries, full citations, and source links on every page.
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My corporate client won't settle because holding the money earns investment income that beats the litigation risk. If I follow that instruction and keep litigating, am I violating the duty to expedite litigation?
The panel concluded that under Rule 1.2 the lawyer must abide by the client's decision whether to settle, and that doing so does not violate Rule 3.2's duty to expedite litigation, so long as the…
Did a district attorney's television endorsement disqualify the elected judge from local criminal cases?
No on the facts presented. The Commission said the endorsement alone did not require recusal, though additional circumstances could reasonably call the judge's impartiality into question.
May a judge or the judge's spouse sell legal-service plans, and what happens when a provider appears in court?
The committee advised the judge not to remain an agent or lend her name to the business. If the spouse continued, the judge's indirect financial interest required recusal or the recorded waiver…
Could a newly appointed Illinois associate judge finish an elected public school board term?
No. The Committee said the judge had to resign within a reasonable time, citing the former Code and the Illinois Constitution’s bar on judges holding school district office.
Could an Illinois judge bag groceries in a supermarket promotion donating part of sales to charity?
No. The Committee treated the proposed celebrity-bagger role as charitable fundraising prohibited by former Rule 65B(2), even if promotions omitted individual judges’ names.
Could an Illinois judge’s name appear on a donor list for a fundraiser supporting a county law library?
Yes, where the list was published at or after the event, did not solicit funds, and did not single out the judge.
Can a lawyer hold herself out to the public as a 'referring attorney' who finds other lawyers for clients and collects a fee split, or is that an unauthorized lawyer referral service?
The opinion concluded it is an unauthorized referral service. A lawyer who principally holds herself out as making referrals operates a referral service that, under the Maine Bar Rules, must be…
Can one lawyer represent both the host driver and the guest passenger in a car-accident personal injury claim?
The opinion concluded that joint representation of a host driver and guest passenger was not per se prohibited, but turned on a conflicts analysis under SCR 20:1.7. The lawyer could not represent…
Can defense counsel for an insured send billing detail to the insurer's outside auditor, and must counsel accept the insurer's defense restrictions?
The opinion concluded that a lawyer representing both an insurer and an insured could not submit billing detail containing confidential information to the insurer's outside auditor without the…
Could a lawyer employed by an insurance agency give agency clients planning advice and draft documents?
The opinion said individualized legal advice and draft documents would assist the agency in unauthorized law practice. General seminars were allowed if the lawyer avoided advice to individuals or on…
Could a lawyer contact a person under guardianship when the guardian was a lawyer but did not represent that person?
The opinion permitted contact with the person and discussion of representation before notifying the guardian, without violating Rule 4-4.2.
What did the opinion say a dissolving firm should do with trust funds it could not trace to a client or firm reimbursement?
Unless the firm could show where the money had been paid from its operating account, one or more former firm lawyers had to keep it in trust. Funds still untraceable when escheat law applied would…
Could a lawyer meet and contract with clients in a mobile office and advertise that service?
The opinion permitted client meetings and contracts in a mobile office if the client chose that arrangement. Advertising was permitted if it otherwise complied with Rules 4-7.1 through 4-7.5.
Could a lawyer who testified at trial represent the client on appeal under Rule 4-3.7?
The opinion allowed representation through the appeal, but said the lawyer could not act as trial advocate on remand if testimony was again required.
Could a lawyer list elder-law association membership without a specialist-certification disclaimer?
Yes, on the stated understanding that the organization was open to anyone paying a fee and membership conveyed no qualification or expertise claim.
What duties did the opinion identify for a retiring lawyer winding down a practice?
The opinion said client files belonged to clients, called for return or consent to another disposition, and barred withdrawal that materially harmed clients. It identified ample notice and clear…
Could a class-action plaintiff who expected to testify remain counsel of record without serving as trial advocate?
On the stated facts, the opinion found no Rule 4-3.7 violation in remaining counsel of record. It left the disqualification motion to the trial judge.
Could a plaintiff’s investigator contact a defendant’s bookkeeper when the lawyer knew of no counsel for the defendant?
On the stated facts, the opinion allowed direct contact with the bookkeeper without violating Rule 4-4.2.
Could a lawyer apply a refundable retainer to contested client expenses after fee recovery exceeded the retainer?
The opinion required refund unless the contract expressly allowed expense application. If it did and the client disputed the charge, the lawyer had to hold the money in a separate interest-bearing…
Could a lawyer disregard a doctor’s lien arrangement the lawyer had signed when the client later objected?
No. The opinion required keeping settlement funds in trust until the client and doctor agreed on disbursement; absent agreement within a reasonable time, interpleader was required.
Could a necessary-witness lawyer take depositions in a challenge to a settlement?
The opinion said Rule 4-3.7 did not extend its trial-advocate bar to depositions, but Rule 4-1.7(b) barred representative work in a deposition or pretrial matter involving the lawyer’s own testimony…
Could a former lawyer voluntarily send a deceased client’s planning file to the personal representative’s new lawyer?
No, absent the deceased client’s express consent. The opinion said confidentiality survived death and required a court order after full presentation of the issues for subpoenaed disclosure.
Could a lawyer include a binding arbitration clause for all lawyer-client disputes in a fee agreement?
The opinion permitted the clause under the then-effective rules, but required the lawyer to point it out orally and explain it as needed for the individual client.
Could a solo lawyer sharing office space with a judge and prosecutor’s firm defend ordinance cases in their municipalities?
The opinion said the described arrangement did not itself bar the defense work. Separate-office identity, telephone handling, and secure client files were needed for the offices to be treated…
Did a grand jury subpoena alone authorize a lawyer to give the IRS a former conservatorship client’s file?
No. The opinion required client consent or a court order; a grand jury subpoena alone was insufficient. It called for full presentation of Rule 4-1.6 confidentiality and a specific, limited order.
Could a lawyer staff a trade-show booth, discuss legal questions, and arrange later consultations?
On the stated facts, the opinion permitted the proposed booth activities, with confidentiality protection and conflict checks before specific advice. The lawyer had to respond only to…
Could a personal-injury lawyer advance taxi fares for a client’s medical appointments?
The opinion said transportation to doctors might be advanceable when directly related to litigation, but advancing travel solely for treatment would violate then-effective Rule 4-1.8(e).
Could counsel for a law-enforcement association represent one member in an association-related suit against another?
On the described circumstances, the opinion found a conflict in representing one member against another on issues concerning the association itself.
Could a firm sue one Missouri state agency while currently representing another state agency?
The opinion found a conflict barring representation against the state or one of its agencies if the state or any agency was a current firm client.
Could a second-year law student take depositions or appear in court while working for a lawyer?
Only if certified under Missouri Supreme Court Rule 13 and within its permitted representation of the state or indigent people. Without certification, the student could do only work any other…
How did the opinion treat small trust balances when clients could not be located?
The lawyer had to keep trying to contact the clients and hold the funds in trust. If they remained unlocated when the escheat statute took effect, the lawyer could follow that statute.
Could a lawyer who completed Rule 17.04 mediator training advertise as a “court-certified” mediator?
No. The opinion said Rule 17.04 did not make trainees court-certified, so that representation would violate Rule 4-7.1.
Could an estate-planning lawyer inform the probate court about an elderly client’s diminished capacity?
The opinion barred disclosure of concerns and observations unless the lawyer was seeking a guardian. It allowed seeking one as a last resort, with action limited to what was needed to protect the client.
How could a lawyer collect a contingent fee when a client would not endorse a judgment check?
The opinion said collection required a court proceeding and the proposed pay-into-court petition did not violate Rule 4. It noted other procedures might also work and suggested fee-dispute…
Could a former judge represent a parent seeking to enforce a visitation order the lawyer entered as judge?
No. The opinion said Rule 4-1.12 barred that representation on the described facts.
Could a former prosecutor defend a probationer in a violation proceeding tied to a case the lawyer’s office prosecuted?
The opinion barred the representation under Rules 4-1.11(a) and 4-1.9(a), including cases handled by the lawyer’s assistants. It said the Rule 4-1.11(a) conflict could be waived.
Could a lawyer give a client file to the lawyer’s insurer before any claim was made and without client consent?
No. On the stated facts, the opinion said disclosure would violate Rule 4-1.6 and the Rule 4-1.6(b)(2) exception did not apply.
Could opposing firms discuss a merger while representing adverse parties in a pending suit?
The opinion said merger discussions created a Rule 4-1.7(b) conflict. They could continue only after full disclosure and client consent; a possible future merger had to be disclosed even if talks stopped.
Could a lawyer tell a business counterparty that the lawyer was considering reporting allegedly fraudulent bills for prosecution?
The opinion allowed a statement of genuinely contemplated reporting and an actual referral to authorities. It barred idle threats of criminal prosecution used to gain negotiating advantage.
Could a lawyer contact a former client who had left an employer about another client’s retaliation suit against that employer?
On the stated facts, the opinion allowed contact with the former client without violating Rule 4-4.2.
Could a firm send its newsletter to clients, former clients, and staff contacts without the Rule 4-7.3 disclaimer?
The opinion allowed that for existing clients and for past clients and staff contacts not known to need the firm’s services.
Could a lawyer serve as guardian ad litem for juveniles while the firm defended adult criminal clients?
As a general rule, the opinion found no conflict in that combination, but said particular circumstances could change the result.
Could a firm lease nonlawyer staff without unilateral power to remove or discipline them for conduct-rule breaches?
No. The opinion required the firm to be able to discipline or end the lease-back of staff who violated professional obligations; the proposed arrangement violated Rules 4-5.4 and 4-5.5.
Could counsel copy an insured accident participant on adjuster correspondence when counsel knew of no lawyer for that person?
The opinion said Rule 4-4.2 did not bar direct contact with a party not known to have counsel, even when an insurance adjuster was involved.
How did the opinion direct a lawyer to hold unclaimed client funds before escheat?
The opinion required reasonable efforts to find the owner. Funds large enough to justify a separate account belonged in a non-IOLTA interest-bearing account, with interest to the owner; smaller…
Was a standard email-consent form alone adequate to explain email confidentiality risks to every client?
The opinion doubted any single form would suffice without further oral discussion. It tied appropriate email use to the client’s setting and the communication’s nature, including interception and…
When a lawyer for an estate's co-administrators learns that a beneficiary stole estate funds and that one co-administrator may be implicated, must the lawyer tell the other co-administrator?
The committee concluded the lawyer had to inform the other co-administrator of the theft, because the duty owed to that client trumped any confidentiality owed to the implicated client; whether…
If opposing counsel mistakenly mails a lawyer a privileged letter meant for her own client, can the lawyer keep it and use it?
The committee concluded that, assuming it would materially benefit his client, the lawyer could resist opposing counsel's demand to return a misdirected privileged letter and could argue to the…
Can a lawyer serve as a testifying expert against a former client in a matter substantially related to the lawyer's prior representation?
The committee concluded a lawyer ought not act as a testifying expert against a former client in a substantially related matter, even if the lawyer claimed to hold no relevant confidential…
If a lawyer discovers that her partners defrauded government agencies to shield firm clients from penalties, must she tell the clients, the agency, and bar counsel?
The committee concluded the lawyer had to inform the affected clients, act to avoid the consequences of the fraud on the state agency, and report her partners to Bar Counsel, because Rule 1.6(b)(1)…
Can a city prosecutor forbid police or public safety officers from talking to defense lawyers about pending cases?
The committee concluded a city solicitor cannot prohibit criminal defense attorneys from contacting and discussing cases with public safety officers, or vice versa, because in criminal matters the…
When a lawyer represents both spouses in one personal injury case, can one spouse demand the other be dropped so a settlement can be taken?
The committee concluded that because an attorney-client relationship existed with the spouse once a loss-of-consortium claim was filed on the spouse's behalf, the client could not demand the…
Can a lawyer break client confidentiality to stop a client who threatens suicide or harm to others?
The committee concluded a lawyer would not violate the duty of confidentiality by taking action necessary to prevent the client from committing suicide or harming others, because suicide and bodily…
Can a lawyer close a residential loan whose documents use another state's law (and a prepayment penalty) contrary to South Carolina law, and what if the lawyer isn't competent in that other law?
The committee concluded a lawyer may not close a transaction the lawyer knows is criminal or fraudulent (Rule 1.2(d)), but whether out-of-state choice-of-law or prepayment terms are unlawful is a…
If a lawyer's firm includes an assistant solicitor, can another lawyer in the firm bring a wrongful-death suit against the person the solicitor's office is prosecuting for the same death?
The committee concluded the lawyer is disqualified: an assistant solicitor cannot personally handle a civil case arising from a crime his office is prosecuting (risk of access to confidential files…
Can a lawyer sue a former client pro se for unpaid fees from a non-litigation matter, and must the lawyer try mediation first?
The committee concluded a lawyer could sue a former client pro se for unpaid fees without violating Rule 3.7, because the right of self-representation overrode the rule, and that the lawyer should…
Is Georgia Formal Advisory Opinion 99-1 still in effect?
No. The State Bar of Georgia has replaced Formal Advisory Opinion 99-1, and its text is not published in the online handbook. The State Bar directs anyone seeking the replaced opinion to contact the…
What must lawyers do when a client builds a litigation web page, without their knowledge, that names them and solicits other victims to come forward?
The committee concluded the lawyers must review the page and counsel the client about it; because using the page is a 'means' of the litigation, the decision is the lawyers' to make under Rule…
Could an assistant Vermont attorney general work on class actions against former clients when class counsel purported to waive the conflict?
Opinion 99-09 advised against participation because the lawyer had not shown the matters were unrelated and the former clients themselves had not consented; class counsel could not waive for them.
Can a lawyer who sued an employer for one client later represent the employer's manager against that same employer?
The committee concluded that representing the manager against the employer does not violate Rule 1.7(a) or (b), because the prior client's case was settled and dismissed (so the representations are…
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Weight varies by state: Most bar opinions are advisory, not binding like court discipline decisions, though formal opinions carry substantial weight. Some states go further: Georgia and Virginia opinions approved by the state supreme court bind lawyers there, New Jersey's bind the ethics committees that decide grievances, Rhode Island and Alabama protect the lawyer who asked for an opinion and followed it, and Utah and North Dakota protect lawyers who rely on one. Each opinion page says how much weight its opinion carries.
- 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.