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 firm is legal counsel to a state agency and also represents a corporation that might benefit from the agency's decision in a pending case. Is that a conflict?
The panel found no conflict under Rule 1.7(b), because any effect on the corporation from the agency's action was highly speculative and the firm's responsibilities to the agency would not be material…
Can my firm put its brochure in the waiting room and mail it to existing clients?
The panel advised that the firm's brochure may be placed in the attorney's waiting room as long as it complies with Rule 7.1 and contains the specialty disclaimer required by Rule 7.4, and that mailin…
A witness in my case does landscaping work for me. Is that a conflict of interest?
The panel concluded that no conflict exists where there is no connection between the witness's employment and the legal services involved, the attorney disclosed the relationship to all parties, and n…
I'm holding a minor's personal-injury settlement check, but the child has since been placed in foster care. How should I distribute the funds?
The panel advised the attorney to file an interpleader action joining all appropriate parties, including the insurance company, so the court can determine how the settlement proceeds should be distrib…
I represent a guardian whose fund withdrawals look questionable. Should I file a petition for instructions with the court?
The panel concluded that the attorney should first seek an explanation of the withdrawals from the guardian, and if that is non-responsive, unsatisfactory, or suggests misappropriation, the attorney s…
I want to announce and add to my letterhead someone who passed another state's bar but can't sit for the RI bar because his law school wasn't accredited. How do I list him?
The panel concluded that referencing the individual as a member of another state's bar would be misleading under Rule 7.1 because it implies he is eligible to become a Rhode Island lawyer, and that if…
I'm a lawyer employed by a state agency. Can I represent private clients before other state agencies?
The panel concluded that so long as no overlapping interests exist between the attorney's state agency employment and the potential clients, the attorney may represent those clients before other state…
Can a lawyer threaten to file disciplinary charges, against an attorney or a non-lawyer professional, to gain leverage in a civil case?
The opinion concluded that threatening to file disciplinary charges, whether against an attorney with Bar Counsel or against a non-lawyer with a professional board, solely to gain advantage in a civil…
If opposing counsel knowingly pleads a false date to dodge a statute of repose, has he violated the rules, and must the other lawyer report it?
The committee concluded that a lawyer who knew the true installation date but pleaded a false one made a knowing false statement of fact in violation of DR 7-102(A)(5) and possibly DR 1-102(A)(4). The…
Must a lawyer in a bar-association mentoring or 'Colleagues' program report ethics violations learned through that program's confidential counseling?
Formal Ethics Opinion 91-F-126 concluded that lawyers participating in a local bar's Colleagues mentoring program are afforded a privilege not to disclose confidences and secrets learned through the p…
Can a lawyer be named executor or trustee in a will or trust the lawyer drafted for the client?
Yes, with safeguards. Georgia FAO 91-1 concluded a lawyer may be named executor or trustee in an instrument the lawyer drafted if the lawyer did not influence the choice, fully disclosed the conflicts…
How must a Minnesota lawyer handle advance fees and non-refundable availability retainers?
Under this now-repealed opinion, advance fee payments had to go into an interest-bearing trust account and could be withdrawn only when earned with notice and an accounting, while availability or non-…
May lawyers co-own a public-relations and lobbying corporation with non-lawyers if the corporation employs no lawyers and the lawyers perform none of its services?
The opinion concluded yes; Rule 3.2(a)(2) bars lawyer-nonlawyer entities only where the entity offers the lawyers' legal services, so a PR and lobbying corporation that employs no lawyers and offers n…
After a New York firm dissolves into two successor firms, can either or both keep using a deceased founding partner's name in the firm name?
The opinion concluded that only one resulting firm, not both, may use a deceased founding partner's name, and only if it shows substantial continuity of membership, clientele, and practice with the pr…
In Kentucky, may a city attorney who has no prosecutorial duties and does not advise the police defend criminal cases involving the city's police?
No. The opinion maintained a bright-line bar: a city attorney may not defend criminal cases involving the city police, even without prosecutorial duties or a special contractual waiver.
I want to mail an advertisement to potential plaintiffs to recruit them for a class action I plan to file. What rules apply?
The panel concluded that the proposed advertisement is governed by Rule 7.2, which restricts soliciting professional employment from prospective clients with no family or prior professional relationsh…
A new associate at my firm previously represented the plaintiff in a workers' comp case at another firm. My firm represents the defendant in the related product-liability suit. Can we stay in?
The panel concluded that the associate's opportunity to obtain sensitive client information about the plaintiff at the prior firm precludes the inquiring attorney's firm from continuing to represent t…
My partner and I are title policy agents. One insurer wants to buy title policies we wrote for other companies. Can I 'sell' those policies?
The panel concluded that the attorney must secure the informed consent of each client for whom a title insurance policy was prepared before that policy can be 'sold' to other title insurance companies…
Can I sit on the board of directors of a credit union while also serving as the credit union's lawyer?
The panel concluded that the attorney may serve both as a director and as legal counsel to the credit union so long as service in one capacity does not affect the attorney's independent professional j…
I was discharged before my contingency-fee case ended and I'm holding a big escrow sum for the client, who hasn't paid me. What can I recover and what do I do with the funds?
The panel concluded that, under its General Informational Opinion #4, a contingency-fee attorney discharged with or without cause before final resolution recovers the reasonable value of the services …
I hold escrow funds for a client who owes me disputed legal fees but won't let me take my fee from the escrow. Can I take it anyway?
The panel concluded that under Rule 1.15 the attorney's duty is to keep the disputed funds in the escrow account until the fee dispute is resolved, rather than taking the claimed fee unilaterally.
Discovery shows the opposing party swore to income he never reported to the IRS and had his medical bills paid by welfare. Do I have to report the apparent perjury or fraud?
The panel concluded that the attorney may, but is not obligated to, disclose the information to the proper authorities, because the information is not confidential, so the Rhode Island Rules of Profes…
My ex-partner was the town solicitor and I appeared as co-counsel for the town. Can my firm now appear before the town's boards for private clients, and am I personally barred for a year?
The panel concluded that under Rule 1.10(c) the firm may presently represent clients before the town boards so long as the subject matter is not the same as or substantially related to a matter in whi…
Can I put a rooftop sign on my law office that says 'Benefits for the Injured' beneath the firm name?
The panel concluded that the statement 'Benefits for the Injured' violates Rule 7.1 because it is ambiguous and lacks sufficient facts to make the phrase, considered as a whole, not materially mislead…
I was discharged from a divorce case before it ended. Can I secure my unpaid fee by recording an attorney's lien in the land records for the marital home?
The panel concluded that recording an attorney's lien in the land records to secure unpaid fees in a domestic relations matter falls outside the statutory procedures for asserting an attorney's lien u…
When a government agency is the opposing party in litigation, which of its officials may a lawyer interview without the agency's counsel present?
The opinion concluded that DR 7-104(A)(1) applies when the adversary is a government agency, so a lawyer may not communicate, outside the presence of agency counsel, with officials whose acts bind the…
Can a judge serve as executor of a close friend's estate?
The opinion concluded that a judge may serve as executor of a close friend's estate, when named in the will, if the relationship was characteristic of a close familial relationship under Canon 5D, the…
Must a part-time referee step aside when a lawyer the referee co-counsels with in private practice appears before the referee?
The opinion concluded that a part-time referee should disqualify when a party is represented by an attorney (or that attorney's partner or associate) with whom the referee co-counsels on unrelated pri…
Can a lawyer make donations to a nonprofit agency that refers clients to the lawyer?
The opinion concluded that it is improper for a lawyer who does pro-bono work for a nonprofit social service agency to make periodic voluntary contributions to the agency while receiving client referr…
Can a law firm keep a retired or inactive attorney's name in the firm name, on its letterhead, or as of counsel?
The opinion concluded that a firm may keep a retiring attorney's name in a long-established firm name even after the attorney takes retired or inactive registration status, and may list a retired-stat…
Can a lawyer write to a union asking that the firm be recommended to the union's members for legal work?
The opinion concluded that an attorney may write a union representative requesting that the firm be considered for recommendation to the union membership, provided the union is a bona fide organizatio…
Can a lawyer who once represented two corporations now sue them on behalf of a family member who was a corporate officer?
Only if the new matter is not the same or substantially related to the prior representation, or the corporations consent. The opinion concluded the entity, not its officers, was the former client, and…
If a law firm pledges its accounts receivable to a bank, can it give the bank its clients' names and the amounts each client owes?
The Committee concluded it cannot, absent the clients' informed consent. Both the client names and the amounts owed are confidential information under Rule 1.05, which protects all client information …
If a contingent fee agreement says nothing about an appeal, must the lawyer file the client's appeal, and can the lawyer charge an additional fee for it?
Where the agreement is silent, the lawyer must file the client's non-frivolous appeal, and may not charge an additional fee for it; the total contingent fee in a personal injury or wrongful death case…
My old firm represented both X and Y. I only ever worked for Y. Now Y wants me to take on a dispute against X. Can I, and does the firm still representing X have a conflict?
The panel concluded that the inquiring attorney may not represent Y against X without X's informed consent, because the attorney's former employment at the firm representing X afforded access to X's c…
Can I practice law under my maiden name while using my married name for personal and family matters?
The panel concluded that the attorney may retain her maiden name for professional purposes while using her married name for personal, family, and other purposes, so long as the use of the different na…
My client told me a third person confessed to a murder to the client. The confession has nothing to do with my representation. Do I have to report it?
The panel concluded that the attorney may, but is not obligated to, disclose the information, because no attorney-client privilege attaches to a third person's statement to the client on a matter tota…
I share office space and expenses with another lawyer, and we now represent opposing parties in a custody and support case. Can we both stay in?
The panel concluded that unless one of the attorneys withdraws, neither may proceed, because their office-sharing arrangement, with shared administrative and secretarial staff and access to each other…
I regularly appear before a judge who is now hospitalized. Is it ethical for me to send the judge flowers?
The panel concluded that sending flowers to a hospitalized judge under these circumstances is a normal courtesy involving an object of minimal or no monetary value that would not create an appearance …
I represent a title insurer, and I also prosecute actions in a bank's name to clear title defects even while defending against that bank's claims. Whose consent do I need?
The panel concluded that Rule 1.7 governs and that the attorney should obtain the bank's informed consent, even though the bank's name is only contractually invoked to bring the action and the title i…
The prosecutor and judge don't seem to know about a recent change in the criminal statute that hurts my client. Do I have to tell the court about it?
The panel concluded that the attorney's ethical obligation is to bring the recent change in the law to the court's attention, relying on Rules 3.3, 8.4, and 1.2; a failure to disclose would involve di…
Can my Rhode Island law firm, which is a professional corporation, form a partnership with an out-of-state law firm?
The panel concluded that it is permissible for a Rhode Island law firm organized as a professional corporation to form a partnership with an out-of-state law firm, subject to Rule 7.5(b), under which …
Can a lawyer reveal a client's fraud on a federal agency when the agency's regulations require disclosure?
The opinion concluded that a lawyer is not precluded from revealing a client's fraud committed during the representation on a federal tribunal or another person where regulations of the tribunal havin…
Can a legal aid lawyer draft pleadings and coach an indigent person to proceed pro se without appearing as counsel of record?
The opinion concluded that a lawyer may counsel a person who wishes to proceed pro se, including drafting pleadings, providing forms, and advising on litigation strategy, without entering an appearanc…
When a lawyer represented two clients jointly at a closing, can the lawyer later tell one client's new counsel what was said between the lawyer and the other client?
The opinion concluded that a lawyer who represented both the owner and the mortgagee at a loan closing may disclose to the mortgagee's later counsel what the lawyer told the owner about the affidavit,…
When a defense lawyer represents both the insured and the insurer, can the lawyer advise them on a settlement that helps the insured but exposes the insurer?
The opinion concluded that a lawyer who represents both the insured and the insurer must communicate a settlement proposal to both, but because the proposal (a consent admission of liability capped at…
When a defense lawyer represents both the insured and the insurer, can the lawyer advise on a consent settlement that adds a punitive-damages claim the insurer says it does not cover?
The opinion concluded that a lawyer representing both the insured and the insurer must communicate the proposal to both, but because allowing the punitive-damages amendment and capping enforcement at …
If a criminal case ends early, must a lawyer refund part of a flat fee even though the fee was described as nonrefundable?
The opinion concluded that, because a lawyer may never charge or collect a clearly excessive fee, the lawyer must look back at all the circumstances to decide whether the flat fee was reasonable; to t…
When a lawyer represents a partnership, is the client the firm or the individual partners, and can the lawyer keep information from individual partners or also represent them?
The opinion concluded that a partnership is an organization within Model Rule 1.13, so a lawyer who represents a partnership generally represents the entity rather than the individual partners unless …
If I am licensed in a state that bans law-firm partnerships with nonlawyers and also in D.C., which allows them, can I be a partner in a D.C. firm with nonlawyer partners without violating my home state's rule?
The opinion concluded that a lawyer licensed in both a jurisdiction that bars nonlawyer partnerships (Model Rule 5.4(b)) and one that permits them may be a partner in the permitting jurisdiction's fir…
Is a Michigan judge automatically disqualified when the judge and the judge's former firm are codefendants in a malpractice suit and that firm appears before the judge?
Yes. While the malpractice action is pending, the disqualification is absolute and non-waivable: the judge may not preside over any matter in which the former firm, or the firm defending them both, ap…
Can a lawyer pay a court-ordered security for costs on behalf of an indigent client in Michigan?
The opinion concluded that a lawyer or firm may pay a court-ordered security for costs on behalf of a genuinely indigent client, because the security is an expense of litigation that MRPC 1.8(e)(2) pe…
Can a Michigan law firm keep a retired shareholder's name in the firm name when that lawyer stays on as 'of counsel'?
The opinion concluded the firm may keep the retired shareholder's name where the firm name is long-established and well-recognized, the lawyer maintains a close, regular 'of counsel' relationship, and…
A non-profit that helps immigrants is my client and wants to refer its members to me when they need a lawyer. Is it proper for me to accept those referrals?
The panel concluded that the mere fact that individuals are referred to the attorney by the non-profit corporation does not, in and of itself, violate the Rhode Island Rules of Professional Conduct.
A former joint client is suing my long-time client and wants to depose me. Can I be deposed, does privilege block it, and may I keep representing my client against the former joint client?
The panel concluded that the attorney-client privilege does not by itself prevent a lawyer from being deposed, though Rule 1.6 governs what may be disclosed, and that under Rule 1.9 the attorney canno…
Can a lawyer's retainer agreement require mandatory arbitration of fee disputes?
The opinion concluded that a retainer agreement requiring mandatory arbitration of fee disputes before the D.C. Bar's Attorney-Client Arbitration Board is not unethical, provided the client is told in…
Can a law firm hire a collection agency to chase down unpaid legal fees, and what client information can it share with the agency?
The opinion concluded that a law firm may use a collection agency to collect delinquent legal fees if it first confirms the fee is reasonable and not illegal, makes amicable collection attempts, and r…
Are the things a person tells a lawyer in a consultation protected even if the lawyer is never hired, and when can that lawyer be made to testify about them?
The opinion concluded that the confidences and secrets of someone who consults a lawyer about representation are protected by DR 4-101(B) even though the lawyer is not hired. But if that person later …
Does a judge have to step aside from a case where a bank is a party if the judge owns a small amount of that bank's stock in a retirement plan?
The opinion concluded that a judge's ownership of bank stock is a financial interest requiring disqualification under Canon 3 C(1)(c) when the bank is a party, even where the stock is held in a retire…
Must a judge step aside when a doctor or counselor who treats the judge or the judge's spouse testifies as a significant witness?
The opinion concluded that disqualification is not automatically required when a health care professional who treats the judge or the judge's spouse appears as a significant witness, but a judge shoul…
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.