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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Could a Vermont attorney who was also a physician identify both professions on law firm letterhead?
Opinion 99-08 allows the dual professional designation if accurate and not false or misleading under Vermont Rules 7.1 and 7.5.
Can a lawyer practice law as an employee or partner of a CPA firm, or enter an exclusive referral deal with one?
The committee concluded a lawyer may not practice law as either an employee of or an equity holder in a CPA firm, because Rule 5.4 bars nonlawyer partnership, ownership, and control over a lawyer's…
Can a Vermont lawyer with unpaid fees withhold a former client's file?
Opinion 99-07 requires delivery of file materials the client is entitled to receive, including medical records obtained for the matter. A lawyer may assert a fee-and-cost lien only if doing so would…
If a borrower pays the lender's lawyer's fee, does that lawyer have to correct the borrower's belief that the lawyer represents the borrower too?
Yes. The opinion concluded that under Rule 4.3 the lender's lawyer must correct the borrower's misunderstanding if the lawyer knows or reasonably should know the unrepresented borrower thinks the…
Can a retired judge represent a party in a dispute the judge earlier ruled on while on the bench?
The committee concluded the retired judge may not represent the former client against the opposing party unless all parties to the proceeding consent after disclosure, because Rule 1.12 bars a…
Can an estate-planning lawyer act as a paid trust administrator for a trust company to which the lawyer refers clients?
Yes, if the lawyer treats it as a conflict under Rule 1.7(b) and a business transaction under Rule 1.8(a): the lawyer must disclose the relationship, the fee and its source, and obtain the client's…
Can a lawyer invite tax authorities to a hearing where a claimant will admit not filing tax returns, to gain leverage?
The committee concluded the lawyer may not notify the taxing authorities of the hearing, because doing so is a trial tactic amounting to a threat of criminal charges solely to obtain an advantage in…
Which advertising rules apply when lawyers post free profiles and buy banner ads on a commercial legal-directory website?
The committee concluded that the advertising rules (Rules 7.1, 7.2, 7.4, and 7.5) apply to the lawyer's own communications and banner advertising on the site, while Rule 7.3 (solicitation) does not,…
Can a firm continue a divorce case after one of its lawyers gave preliminary advice to the opposing spouse at a legal clinic?
Opinion 99-04 allowed continued representation only if both spouses consented after disclosure of the protective measures and the clinic lawyer kept the visitor's information from the firm. If…
Can a lawyer under contract to a sheriff testify as a witness at preliminary hearings from the sheriff's files?
The committee concluded the lawyer may act solely as a witness at preliminary hearings, which the Rules do not prohibit, but if the lawyer acts as both witness and the sheriff's advocate at a…
Could a paralegal conduct a lender’s real estate loan closing without the lawyer present?
Opinion 1999-03 allowed a paralegal to conduct the ministerial parts of the closing with lender-client consent, if a lawyer remained available for legal questions. The paralegal could not give legal…
Can a lender's lawyer contact a borrower who already has counsel and pitch to represent the borrower too in the same loan?
No. The opinion concluded the lender's lawyer who contacts a borrower known to be represented, and solicits the borrower as a client, violates Rule 4.2 and Rule 7.3.
Can a lawyer appear before a probate judge who employs the lawyer's spouse as a staff attorney?
The committee concluded a lawyer is not disqualified from appearing before a judge simply because the judge employs the lawyer's spouse as a staff attorney; the Rules do not disqualify the lawyer,…
Could a Vermont defense lawyer advise a client to sign a plea waiver and sign the prosecutor's attorney certificate?
Opinion 99-02 required full advice about the waiver's effects and found it improper to recommend the provision asserting full attorney-client discussions. It found signing any of the three proposed…
Can lawyers join an advertising cooperative that runs anonymous TV ads and screens callers before referring them out?
The committee concluded participation is unethical: the anonymous advertising would not satisfy Rule 7.2's disclosure requirements (a responsible lawyer's name, disclosure of cost-sharing among…
May an insurance company use salaried in-house lawyers practicing under a firm name to defend its insureds in West Virginia?
Yes, but only subject to conditions: the insured is the sole client, the file stays confidential, the lawyer keeps independent judgment, and the captive firm discloses its insurer affiliation…
Could an Arizona personal injury lawyer disclose the client's share of a settlement to an insurer for tax reporting?
Opinion 99-01 assumed the insurer's stated tax obligations without deciding their accuracy. It called for the disclosure needed to meet the assumed law while preserving client financial…
May a Vermont firm list nurses, paralegals, and independent contractors on its letterhead?
Opinion 99-01 permits clearly identified nonlawyer employees and part-time lawyer employees on nonmisleading letterhead, but rejects listing independent contractors as if they were associated with…
Can a lawyer represent one spouse in a divorce against the other spouse while also representing that other spouse in a separate custody case?
No. The opinion concluded that representing a husband in a divorce against his wife while simultaneously representing the wife in a related custody matter is a non-waivable direct conflict under Rule 1.7.
How did Orange County's 1999 opinion address a client-only settlement check during a fee dispute?
The opinion says the lawyer cannot deposit a check payable only to the client without permission; it discusses keeping the indivisible check separate while offering fee arbitration.
May a lawyer bill old drafting time as current hourly work when adapting a form for a new client?
The 1999 opinion criticizes billing hours spent creating an old form as though they were spent on the new client's matter; it calls for accurate communication of the fee method.
What duties does an insurance-appointed defense lawyer owe the insured, and when must the lawyer withdraw?
The opinion concluded that a lawyer the insurer appoints owes the insured the same professional obligations as if personally retained; the insured is the primary client, and conflicts over…
Can a lawyer represent a husband in a divorce against an unrepresented wife and also represent both spouses together in a joint bankruptcy?
The lawyer may represent the husband in the divorce against an unrepresented wife, but cannot at the same time represent both spouses jointly in bankruptcy; that joint representation is a…
Must a lawyer report an opposing lawyer's planned discovery abuse to the ARDC?
Not automatically. The opinion concluded that reporting to the ARDC is mandatory under Rule 8.3 only when the lawyer has actual knowledge of a violation involving dishonesty, fraud, deceit, or a…
If a lawyer receives an opposing party's confidential documents that opposing counsel sent by mistake, can the lawyer use them?
It depends on timing. The opinion concluded that a lawyer who receives and reviews inadvertently sent materials without prior notice of the error may use the information, but a lawyer who learns of…
Can a patent firm charge a royalty-based finder's fee for matching its inventor clients with its product-promoter clients?
Only under strict conditions. The opinion concluded the firm may not take a royalty-type matchmaking fee unless it rebuts the common-law presumption of undue influence and obtains informed written…
When a California lawyer also offers non-legal services like investment advising, when do the Rules of Professional Conduct apply, can the lawyer market with 'Esq.' and tax credentials, and is a referral commission from a portfolio manager a Rule 1-320 fee-share?
Per California Formal Opinion 1999-154, when the same lawyer is providing legal and non-legal services to a client, all of the services are subject to the Rules; Rule 1-400 applies to non-legal…
Can a California lawyer jointly represent a close corporation and the controlling shareholder in a lawsuit brought by the only other shareholder against both, and who provides the corporation's consent?
Per California Formal Opinion 1999-153, under the facts presented a lawyer may jointly represent the corporation and the controlling shareholder under former Rule 3-310(C)(1) only if their interests…
When former joint clients become adversaries, can a lawyer give one the file if it reveals the other's confidential information?
The opinion concluded a lawyer who jointly represented two clients who became adversaries may not give one documents or information revealing the other's sensitive confidential matters unless both…
Can a firm sue the State of New York while one of its lawyers serves pro bono as special counsel to a district attorney's office?
The opinion concluded a firm may represent clients in matters directly adverse to the State of New York while a lawyer at the firm serves pro bono as special counsel to the Manhattan District…
What must a retiring or dissolving lawyer do with a client's original will held for safekeeping when the client can't be found?
The opinion concluded a retiring lawyer or dissolving firm may contact clients to return wills or get disposal consent, but for clients who cannot be located the duty to keep the original will…
When two law firms merge, must the firm get each client's consent, or at least notify clients, about the change?
The opinion concluded a merging firm need not obtain clients' express consent to their matters being handled by the new firm, but should notify clients where the merger would leave them represented…
Can a law firm sell its own pre-paid legal services plans and then provide the legal services those plans cover?
No. The opinion concluded a firm that acts as its own insurer for pre-paid legal services has an inherent conflict of interest with the client, because a single set fee for unlimited services gives…
Can a lawyer agree, as part of a settlement, not to represent other clients in future suits against the same opposing party?
No. The opinion concluded a lawyer may not enter a settlement agreement that restricts her own or another lawyer's right to practice, including a promise not to represent other clients against the…
Can a lawyer follow a fugitive client's instructions to sell assets, pay creditors, and forward proceeds, and keep representing the client civilly?
The opinion concluded a lawyer may sell a fugitive client's assets, pay her creditors from escrow, and forward the balance to her, and may continue the related civil representation, so long as the…
Does representing a trade association make every member a client, barring the lawyer from later opposing a member?
The opinion concluded there is no per se rule that representing a trade association creates an attorney-client relationship with each member; whether a member becomes a client, and thus whether the…
Can an Ohio lawyer hand out law firm brochures in person at a street corner, fair, or festival?
The opinion concluded that it is improper under DR 2-101(F)(1) for a lawyer to personally distribute law firm brochures at a street corner, fair, or festival, and improper under DR 2-101(F)(1) and…
Can an insurance-defense lawyer send detailed bills describing the defense to the insurer or its outside auditor without the insured client's consent?
The committee concluded that defense counsel may not disclose confidential client information in detailed bills to the insurer or its outside auditor without the insured's informed consent, and that…
When a lawyer loses contact with a personal injury client before filing, must the lawyer file suit before the statute of limitations runs?
The committee concluded the answer depends on the scope of the representation (RPC 1.2), as shaped by the fee agreement and prior communications. Whether filing or refraining without further…
Can a lawyer who is a trustee act as his own advocate in litigation involving the trust?
The committee did not resolve the question on the merits. Assuming the lawyer is the true party in interest in the pending litigation under applicable trust law, it referred the lawyer to Formal…
Can a lawyer pay personal injury settlement funds directly to the client when there are known unpaid medical bills or liens?
The committee did not give legal advice on the pending matter, but said the inquiring lawyer's reference to and reliance on RPC 1.14(b)(4) and Formal Opinion 185 were well founded. It expressed no…
Can a legal services agency cap the number of hours a lawyer spends on a pro bono representation?
The committee concluded that the proposal may still violate RPC 1.1, 1.15, and 1.2, consistent with its prior inquiry 1827, and encouraged the inquirer to contact the WSBA Access to Justice…
Can a state child-support agency lawyer draft the basis for a parent's appeal of a support determination the agency obtained?
No. The committee concluded that a DSHS Division of Child Support lawyer's preparation of appellate documents for an aggrieved parent is a violation of RPC 1.7, and that under RPC 5.2 the lawyer…
Can a criminal-defense lawyer advertise in the Yellow Pages that investigative services are available?
Yes. The committee concluded that nothing in the Rules prohibits the lawyer from stating in a Yellow Pages advertisement that investigative services are available, provided the statement is accurate…
Can a lawyer retained and paid by a sales agent represent investors who may have claims against that same sales agent?
The committee concluded the fact pattern demonstrates the potential for non-waivable conflicts of interest under RPC 1.7 and 1.8, noted possible unfulfilled fee-agreement obligations under RPC 1.5,…
Can a prepaid-plan lawyer make an unsolicited call to a potential client to discuss the answers they gave on a legal-needs questionnaire?
No. The committee concluded that using questionnaire or survey information from a website to make an unsolicited call to a potential client to discuss the person's answers about legal issues and the…
Can a government lawyer argue to a court that another lawyer's assignment is ethical, in response to that lawyer's ethics-based objection?
Yes. The committee concluded that a lawyer may raise and argue ethical issues to a tribunal, and that doing so is not a violation of RPC 8.4(a).
Can a lawyer disclose the client's fee agreement to the client's subrogated insurer, and must a side agreement reducing the fee be disclosed?
The committee concluded the fee agreement is generally not a confidence or secret, and even if it were, disclosure seems necessary to maximize the client's recovery; the lawyer may disclose it but…
Can a lawyer represent an injured plaintiff when the defendant is insured by an insurance company the lawyer's firm represents?
Not without satisfying the conflict rules. The committee concluded the lawyer is prohibited unless RPC 1.7(a), and possibly 1.7(b), is satisfied: the lawyer must believe the new case will not affect…
When a lawyer cancels a trip for one client's case to handle an emergency for another, who pays for the nonrefundable ticket?
The committee concluded that neither client is automatically responsible. Under RPC 1.5 a cost must be reasonable and related to the work for that client; the second client was not responsible…
Can a lawyer mail advertising letters to people listed on a court docket?
The committee said RPC 7.3(b) generally permits written communication with prospective clients who have not objected, subject to RPC 7.1 and 7.2. It took no position on whether docket lists could be used.
Can a lawyer provide free estate-planning services to an organization's members when the organization suggests members leave it a bequest?
Yes, with conditions. The committee concluded the lawyer may provide the free services, but any donation a client makes to the organization must be totally voluntary; the lawyer must protect…
Can a former contract public defender become the city attorney in the same jurisdiction?
The committee concluded that as long as the attorney complies with RPC 1.9 and 1.8, the attorney may appropriately act as interim and full-time city attorney. It said the attorney's separate role as…
Can a part-time deputy prosecutor also serve as a part-time municipal court judge in the same county?
The committee concluded that nothing in the Rules of Professional Conduct bars a county deputy prosecutor from also serving as a part-time judge in an unrelated jurisdiction. It assumed the…
Can a lawyer form a partnership with nonlawyers to market and sell legal forms?
The committee concluded that a Washington lawyer does not appear to violate RPC 5.4(b) by participating in a partnership with nonlawyers that markets and sells legal forms, provided the partnership…
Can a lawyer pay a non-testifying consultant partly on a contingent-fee basis without violating the ban on fee-splitting with nonlawyers?
Yes, with conditions. The committee concluded that paying a non-testifying forensic consultant an hourly rate, part of which is contingent on success, does not violate the prohibition on sharing…
Can a lawyer distribute brochures about legal services to the public and in chiropractors' offices without it being improper solicitation?
Yes. The committee concluded the conduct does not violate the Rules: the brochure was not false or misleading (RPC 7.1), the lawyer gave nothing of value to the chiropractors (RPC 7.2), the brochure…
Can government lawyers ethically threaten a 'sick out' or a strike as a labor action?
The committee took no position on labor law. It directed lawyers to the candor rules for a 'sick out' (falsely reporting illness), concluding labor-law rights do not preempt the duty of candor, and…
Can a lawyer run a side business selling mutual funds, annuities, and insurance while continuing to practice law?
The committee said it would be difficult. A lawyer is bound by the Rules of Professional Conduct in any enterprise, including selling investments, and faces a serious risk of material limitation…
Can a lawyer settle a personal injury claim when the client has disappeared and cannot be reached?
No. The committee concluded that a lawyer may not settle a client's claim without specific authority from the client. The lawyer should use due diligence to locate the client, and if the client…
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.