Legal Ethics Opinions
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Will the ethics committee pre-clear a lawyer's proposed radio and newspaper ads, and what standards govern attorney advertising?
The committee concluded it would be inappropriate and impractical to pass on the texts and scripts of the many ads attorneys run each year; while the submitted ads did not appear facially improper, ea…
Can a lawyer who used to negotiate leases for a developer now represent a tenant negotiating a lease with that same former-client developer?
The opinion concluded the lawyer may not, without the former client's consent. Lease negotiation is a substantially related matter where confidences were likely shared, so Rule 1.9 bars the new repres…
If a client tells the lawyer not to pay a medical provider's lien out of a settlement, must the lawyer honor that, and what changes if the lawyer signed the assignment?
The committee concluded that where the lawyer did not sign the client's medical lien/assignment, his duty of loyalty requires paying the settlement proceeds to the client, and Rule 1.6 bars revealing …
Can a lawyer review and finalize estate planning documents that a financial planning company gathered information for and drafted, then sent to the client's chosen attorney?
The opinion concluded the lawyer may aid the company's unauthorized practice of law under Rule 5.5(b), because the company advises clients on and prepares the documents before the lawyer's review, and…
Can a divorce lawyer take a promissory note and mortgage on the marital home as a retainer or fee?
The committee concluded a lawyer may not take a note and mortgage on the marital home as a fee while the divorce is pending, because the home is likely subject matter of the litigation under DR 5-103(…
Can a law firm lease its lawyers through an employee-leasing company whose fee is a portion of the lawyer's pay?
The committee adopted ABA Formal Opinion 88-356 in its entirety, concluding that a firm may use an employee-leasing company to obtain lawyer services where the company's fee is a portion of the lawyer…
Does a lawyer who serves on an unpaid, advisory village commission hold 'public office,' barring representation of clients before or against the village?
The opinion concluded that an unpaid, appointed volunteer commissioner with only advisory functions does not hold 'public office' for conflicts purposes, so the lawyer may represent private clients be…
When a lawyer represents both a mother and her minor child in a paternity case, can the lawyer obey the mother's order to dismiss the appeal?
The opinion concluded the lawyer may not dismiss the appeal on the mother's instruction. The minor child is the real party in interest, and dismissing after argument would harass or injure the child, …
Can a lawyer draft a client's will naming himself as personal representative and trustee, and then take commissions and legal fees from the estate?
The committee concluded that a lawyer may, at the client's direction, draft the will and name himself personal representative and trustee unless Rule 1.8(c) applies, may take a personal representative…
If a client tells a lawyer not to report her former attorney's suspected fraud until her claims are resolved, must the lawyer report it anyway?
The opinion concluded that once the lawyer gains unprivileged knowledge that the former attorney violated Rules 8.4(a)(3) or (4), the lawyer must report it to the ARDC under Rule 8.3 despite the clien…
Can a lawyer send a direct-mail letter soliciting tax-sale property buyers to offer to clear their tax title?
The committee concluded that a lawyer may use written communication to approach tax-sale purchasers known to need title help, but the proposed letter did not comply with Rule 7.3 and needed amendment …
Can a lawyer bill a client for a secretary's overtime as a separate expense in addition to the legal fee?
The opinion concluded that, in limited circumstances, billing a client for a secretary's actual overtime as a separate expense is proper, where an hourly rate is set under Rule 1.5, the overtime is ne…
What conflicts arise when one firm's lawyers serve as the county attorney and town attorney while the firm also takes criminal and family-court appointments?
The committee concluded that the firm cannot represent parties adverse to the county or town it advises (such as in abuse-and-neglect cases or defendants arrested by its agencies), and members cannot …
Can a lawyer who won a judgment for a creditor later represent an estate when the judgment debtor is a beneficiary and the creditor garnishes the estate?
The opinion concluded the representation is restricted by Rules 1.7 and 1.9: handling the garnishment for the estate is substantially related to the prior creditor representation, so the lawyer needs …
Can a lawyer help run a membership organization of lawyers and other professionals that offers subscribers legal consultations and referrals?
The committee concluded that a lawyer may not form a partnership with non-lawyers if any of its activities consist of the practice of law (Rule 5.4(b)), may not assist non-lawyers in the unauthorized …
Can a lawyer who serves on the county board defend criminal cases prosecuted by that county's state's attorney?
The opinion concluded it is improper. Under In re Vrdolyak and Rule 1.7(b), a county board member's duty of loyalty to the county conflicts with defending criminal cases the county state's attorney pr…
Does a person's brief contact with a firm's secretary about an accident create an attorney-client relationship that bars the firm from later opposing him?
The committee concluded that whether the contact created an attorney-client relationship is a question of fact it could not decide definitively, but that on these facts, given the absence of legal adv…
Can a lawyer join a collection agency's law list and represent the creditor when the agency, not the creditor, retains and communicates with the lawyer?
The opinion concluded a lawyer may represent a creditor retained through a collection agency acting as the creditor's authorized agent, but must verify that authority, keep independent judgment, may n…
Can a prosecutor's office mail trial and roll-call notices directly to represented criminal defendants?
The committee concluded that sending such notices to a represented defendant violates Rule 4.2 unless the solicitor's office has the defense lawyer's consent or is authorized by law to give the notice…
Can a part-time public defender also take contract work writing appellate briefs for the state's prosecutor's office in other districts?
The opinion concluded that a part-time public defender and criminal defense lawyer may accept individual, case-by-case contracts from the State's Attorneys Appellate Prosecutor's Office to write brief…
Can a lawyer send targeted mail soliciting people known to need legal help, such as accident victims named in news reports?
The opinion concluded a lawyer may initiate contact by mail with prospective clients known to be likely to need legal services, provided the envelope and letter are plainly labeled as advertising mate…
If a lawyer threatens criminal charges over a bad check to gain leverage, must opposing counsel report it to the disciplinary agency or to prosecutors?
The opinion concluded that even if a lawyer's letter threatening criminal charges to gain an advantage in a civil matter violates Rule 1.2(e), it is not subject to mandatory reporting under Rule 8.3(a…
Can a lawyer prepare wills for a nonprofit's members when the nonprofit gathers the information and relays all communications between lawyer and member?
The opinion concluded the lawyer aids the unauthorized practice of law under Rule 5.5(b) by working through a nonprofit that collects member information and relays all communications, and the arrangem…
Can a city prosecutor and a part-time public defender form a law partnership, and what cases must they avoid?
The opinion concluded the partnership is permissible, but neither partner may defend clients charged with that city's ordinance violations or with state charges initiated or supported by that city's p…
Can a lawyer who also sells insurance and investments sell those products to legal clients, advertise the side business, and have clients waive that any product advice is legal advice?
The opinion concluded a dual-profession lawyer may sell products to legal clients with disclosure and consent, may advertise and accept legal work from product customers, and may be named as a lawyer …
Can one lawyer represent both the buyer/borrower and the lender in a real estate loan, especially if the lawyer is the lender's general or in-house counsel?
The opinion concluded there is no absolute bar to representing both buyer and lender, but consent and continuing disclosure are required and representation must end if a conflict makes it materially l…
Must a lawyer withdraw when opposing counsel threatens to sue the lawyer personally over conduct in the case?
The opinion concluded that a lawyer is not required to withdraw when opposing counsel threatens a claim against the lawyer (here, an alleged Fair Debt Collection Practices Act violation) arising from …
Can a part-time assistant state's attorney represent a prisoner suing law enforcement officers in a neighboring county?
The opinion concluded that a part-time assistant state's attorney who prosecutes felonies should not represent a prisoner in a civil rights action against law enforcement officials of an adjacent coun…
Does a lawyer have to report another lawyer's misconduct based on hearsay, and must the lawyer investigate first?
The opinion concluded that Rule 8.3 requires a report only when a lawyer has actual knowledge of a Rule 8.4(a)(3) or (a)(4) violation, so a lawyer with only hearsay knowledge has no duty to report and…
Must a public defender's office warn one client that another of its clients is cooperating in an investigation targeting the first client?
The opinion concluded that where one assistant public defender learns, through representing Client B, that Client A (represented by a different assistant in the same office on an unrelated matter) is …
If a lawyer must withdraw from a case because of a conflict of interest, can the lawyer still share in the fee earned after the conflict arose?
The opinion concluded a lawyer who must withdraw for a conflict is not entitled to share in the fees from that matter, and on a non-contingent matter is not entitled to any fee earned after the date t…
Can a lawyer act as surety on the bond of an estate administrator the lawyer's firm represents, and may a judge appoint a lawyer who contributed to the judge's campaign?
The opinion concluded a firm's lawyers may not act as surety on the bond of an estate administrator the firm represents. It also concluded that campaign contributions do not by themselves bar a judge …
Does a lawyer's marriage to another lawyer disqualify the lawyer from a case where the spouse's firm represents the police agencies whose officers will testify?
The opinion concluded marriage does not per se disqualify spouses from representing differing interests. An assistant public defender may take felony cases involving officers of cities the spouse's fi…
Can a lawyer hired by a company that markets living trusts to consumers prepare or review those trusts and split the fee with the company?
The opinion concluded it is professionally improper. Preparing or reviewing trusts an institution sells to consumers creates a conflict between the lawyer's institution-client and the consumers, assis…
Can a lawyer work with a financial planner who fills out revocable trusts, or pay the planner to send clients to the lawyer?
The opinion concluded a lawyer may not assist a financial planner who is engaged in the unauthorized practice of law (Rule 5.5(b)), and may not give the planner anything of value to initiate contact w…
When two lawyers properly share a referral fee, do the rules limit how they split the fee, such as 50/50 for a referral?
The opinion concluded that once a referring lawyer and a receiving lawyer comply with the Rule 1.5 requirements for dividing a fee (written client consent disclosing the division and the referring law…
Can a lawyer who serves on a city council, or the lawyer's firm, represent clients before that council?
The opinion concluded that a lawyer who serves on a city council generally may not, and the lawyer's firm generally may not, represent clients before the council because the city's and client's intere…
Can a lawyer run a separate non-legal business out of the same office as the law practice?
The opinion concluded a lawyer may operate a separate non-legal business (here, computer analysis of structured-settlement values) from the existing law office, because Illinois repealed the rule barr…
Can a bank prepare a land trust agreement and a deed into trust for a customer without using a lawyer?
The opinion concluded that a bank that prepares an Illinois land trust agreement and a deed into trust for a customer through a nonlawyer trust officer engages in the unauthorized practice of law, bec…
Can a lawyer accept a referral fee in a case where a conflict of interest bars the lawyer from representing that client?
The opinion concluded a lawyer may share fees with a lawyer in another firm only if the Rule 1.5 disclosure and proportionality (or referral) requirements are met, and may not accept a referral fee in…
Does a lawyer hired to represent another lawyer have to report that lawyer's possible misconduct to the disciplinary commission?
The opinion concluded a lawyer retained to represent another lawyer has no duty, and may be prohibited, to report misconduct learned in confidence from that client-lawyer, and the reporting duty does …
Can Texas lawyers who only share office space and split costs practice under a common name like 'Law Offices of A and B' without being actual partners?
The Committee concluded that practicing under a common name like 'Law Offices of A and B' represents to the public that a partnership exists, even when the lawyers keep separate finances and do not sh…
Can a Texas lawyer be disciplined for refusing a mandatory court appointment to defend an indigent criminal client when the lawyer has no criminal experience?
The Committee declined to decide whether a bar association or court may mandate appointments or charge a fee in lieu, calling those questions of law outside its authority. It noted that under Rule 6.0…
Does a lawyer employed by a membership organization to help its members have a conflict of interest with the organization that pays him when referrals to outside counsel raise the organization's insurance costs?
The Committee concluded that no conflict exists where the organization neither instructs the lawyer to limit referrals nor interferes with the lawyer's judgment in handling member matters. Because the…
Does a lawyer have to withdraw from representing a client when the opposing party says it intends to call the lawyer as a witness?
The Committee concluded no. The lawyer-as-witness rule (Rule 3.08) does not require withdrawal where the lawyer is called by the opposing side rather than by his own client and is not a witness necess…
Can a lawyer contact an individual city council member directly during a lawsuit when the city is represented by the city attorney?
The Committee concluded that the contact violated Rule 4.02. The rule bars a lawyer from communicating about the subject of the representation with persons who have managerial responsibility for a rep…
Must an appointed criminal defense lawyer tell the court that the client lied about being indigent, or later became able to afford a lawyer?
The Committee concluded that disclosure is required. Rule 3.03(a)(2) requires a lawyer to disclose a fact to a tribunal when necessary to avoid assisting a criminal or fraudulent act, and Rule 1.05(f)…
If a law firm hires a secretary or legal assistant who worked for the opposing firm in a pending case, must the hiring firm be disqualified?
The Committee concluded that disqualification is not automatic. The current rules do not require automatic disqualification to avoid an appearance of impropriety, but Rule 5.03 requires the supervisin…
Can a law firm represent a client on appeal when a lawyer in the firm, who won't argue the appeal, testified as a fact witness at the trial?
The Committee concluded that, with the client's informed consent, the firm may handle the appeal. Rule 3.08 limits a lawyer who is a necessary witness from also serving as advocate, but with informed …
Can a Texas lawyer mail a personalized letter or firm brochure to an accident victim offering legal services?
The Committee concluded that targeted direct-mail letters and brochures to potential clients known to need particular legal services are permitted, consistent with Shapero v. Kentucky Bar Association,…
Can a law firm give a corporate client fee discounts or rebates in exchange for the corporation steering its subsidiaries to hire the firm?
The Committee concluded the arrangement is impermissible. Giving a corporation reduced fees or rebates for causing its controlled businesses to use the firm is a promise of something of value to a lay…
Can an attorney represent his own spouse in a case where he is not a party but will testify as a witness for her, and can he keep court-awarded attorney's fees?
The Committee answered all questions in the affirmative, provided the spouse would suffer substantial hardship if the attorney did not represent her and the attorney gives the required notice to oppos…
Is an entire district attorney's office disqualified when it prosecutes a defendant who is also the victim and main witness in another case the office is handling?
The opinion concluded one prosecutor's conflict is not imputed to the whole office; the DA and assistants are not per se disqualified from prosecuting a defendant who is also a victim/witness in anoth…
May a California lawyer for a plaintiff suing a corporation talk ex parte to a dissident director of that corporation, when the director has separate counsel who consents but the corporation's lawyer does not?
Per California Formal Opinion 1991-125, no. Former Rule 2-100 treats a director as a 'party' for ex-parte communication purposes; consent must come from the corporation's counsel, not the director's s…
Under former California Rule 5-100, may a lawyer's settlement demand letter say that 'all available legal remedies will be pursued' if a prompt settlement is not reached, when the dispute could also support criminal or administrative action?
Per California Formal Opinion 1991-124, yes. The committee concluded that 'all available legal remedies will be pursued' was ambiguous and was not, by itself, the overt threat to present criminal, adm…
Must a lawyer tell a client that the lawyer is seeking or considering a job with someone whose interests are adverse to that client?
The opinion concluded that a lawyer's focused, concrete interest in future employment adverse to a client is a personal interest under DR 5-101(A) that requires disclosure and the client's consent, no…
Can a lawyer take a contingent fee to collect past-due child support when the client can't afford to pay an hourly fee?
The opinion concluded a lawyer may charge a contingent fee to collect child-support arrearages already reduced to judgment, despite Rule 1.5(d)'s bar on contingent fees in domestic-relations matters, …
Can a lawyer use the word 'expert' in advertising?
The committee concluded that using the word 'expert' in lawyer advertising would violate RPC 7.4 because it would imply that the lawyer was a 'specialist.'
Can a lawyer give a client's medical creditors an assessment of their chances of being paid out of settlement funds?
The committee concluded the lawyer could provide creditors specific assessments of their chances of receiving payment, provided the lawyer had the client's consent as required by RPC 2.3.
Can a lawyer keep representing a plaintiff after learning a defendant once consulted with the lawyer's then-partner, if the lawyer holds no confidences of that defendant?
The committee concluded that, where the lawyer had no confidences or secrets of the defendant who had consulted the lawyer's former partner, RPC 1.10(c) permitted the lawyer to continue representing t…
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.