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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Must a tax-law newsletter sent only to existing clients carry an advertising label?
Based on the lawyer's statement that the newsletter would go only to existing clients, the opinion says it need not carry the Rule 4-7.3 advertising disclaimer.
Must a lawyer withdraw from representing two plaintiffs when one may become a third-party defendant?
The opinion says the present conflict appeared waivable and effectively waived on the stated facts, so withdrawal was not then required. Direct adversity could later become unwaivable, and the court…
What work could an out-of-state lawyer residing in Missouri do at a Missouri firm before admission?
The opinion says a Missouri resident not admitted there could not practice under Supreme Court Rule 9.03. Until Missouri licensure, the lawyer could perform only functions that a nonlawyer could…
May a lawyer settle a workers' compensation claim while unable to find the client?
The opinion says the lawyer may not settle without the client's agreement or prior authorization covering the terms. If a settlement is authorized, it says to hold the funds in a separate…
May a lawyer file a mechanic's lien for a regular client against a former client?
The opinion says Rule 4-1.9(b) requires checking whether prior work gave the lawyer confidential information usable against the former client. If so, the lawyer could not take the matter without…
Does a firm conflict arise when one lawyer defends a city in tort matters while colleagues oppose it in other matters?
The opinion says the lawyer has a conflict under Rules 4-1.7(a) and 4-1.10 where colleagues represent parties opposing the city in condemnation and municipal criminal matters.
May a lawyer privately call or visit a judge to ask whether decisions in pending cases have been made?
The opinion says the proposed direct in-person or telephone inquiry would be impermissible ex parte conduct under Rule 4-3.5(b).
Can a lawyer oversee a public adjuster who is engaged in the unauthorized practice of law?
Assuming the public adjuster is engaged in the unauthorized practice of law, the committee concluded the lawyer may not oversee the adjuster's activities, because Rule 5.5(b) bars assisting a…
Does defense counsel need the insured's informed consent before sending legal bills to the insurer's outside billing auditor?
The committee concluded that submitting legal bills to an outside auditing service requires the insured's informed consent regardless of whether the firm deems the information privileged or…
Can a newspaper fund and house a for-profit legal clinic named after the community without owning it?
The committee concluded the clinic may use the community's name if accompanied by a disclaimer that it is not a public legal aid office, and that the newspaper's role as lender and landlord does not…
Can a lawyer scan closed client files to disk or microfilm with an imaging vendor and shred the paper originals?
Treating the question as largely one of substantive law, the committee offered informal advice that there appears to be no prohibition on placing closed files on a medium such as computer disk,…
When a lawyer leaves a firm and agrees to split fees with the old firm without telling the client, can the lawyer pay the old firm over the client's objection?
Rule 1.5(e) requires telling the client about a fee split that is not in proportion to the work performed. Because the client was not informed and objects, the committee advised the lawyer to hold…
How should a firm list a retiring partner who forms his own PA but stays in the building as Of Counsel?
The committee concluded the firm's letterhead should indicate that the retiring lawyer is 'Of Counsel' to the firm and that he practices through his own professional association, and that the firm's…
After being dismissed from a suit, must a lawyer still keep a former client's confidences when other defendants want her testimony?
The committee concluded the duty of confidentiality and the attorney-client privilege continue after the relationship ends, and because neither Rule 1.6(b) exception applied (no criminal act, and…
Can a lawyer who also sells life insurance refer a client to an insurance agent and share the commission?
The committee found no rule prohibiting a licensed attorney from selling life insurance in South Carolina, and concluded the rules would not prohibit a practicing attorney from referring clients to…
Can a plaintiff's lawyer directly notify a defendant's homeowners insurance carrier of the claim against its insured?
The committee concluded the attorney may communicate with the insurance carrier to inform it of the nature of the client's claim against its insured, because the carrier is not a represented party,…
Can a lawyer for an adoption agency also represent the adoptive parents in the same uncontested adoption?
The committee concluded the lawyer may not represent both the adoption agency and the adoptive parents, because the lawyer's duty to help the agency present factual statements about the parents'…
Can a lawyer attend a meeting between the lawyer's clients and a represented school's officials about the clients' injury claim?
The committee concluded that, assuming the school is represented by counsel, Rule 4.2 bars the attorney from communicating with the school's officials about the matter without the school's counsel's…
Can a lawyer give the IRS a former client's closing documents and checks without the client's consent?
The committee concluded the attorney may not disclose any of the documents to the IRS without the client's permission or a court order, because Rule 1.6 makes all information relating to the…
Can a lawyer represent a contractor against a former client the lawyer once briefly advised about suing that same contractor?
The committee concluded no: the lawyer must withdraw under Rule 1.9(a), because the lawyer had formerly looked into the client's potential claim against the contractor, and continued representation…
Under Nebraska's former ethics code, did a prosecutor have to withdraw when the defense called the prosecutor as a witness?
Not automatically. The 1998 opinion required withdrawal when the prosecutor testified for the state, but allowed continued representation when called by the defense unless the testimony was or could…
Is a bar association's online member directory with links to lawyers' web pages a referral service, and when do lawyer web sites count as advertising or solicitation?
The committee concluded that an online bar directory was not a lawyer referral service and that the bar need not police members' linked pages; informational lawyer web sites need not be labeled…
Did Maine’s Judicial Ethics Committee decide whether a probate-judge political activity statute displaced the Canons?
No. The committee described an apparent conflict but declined to give a constitutional opinion on whether the statute displaced the Canons.
Can a lawyer contact a represented former employee of the opposing corporation just to learn the name of that employee's personal counsel, and is the employee's counsel's consent enough to talk further?
The committee concluded the lawyer may contact the former employee solely to obtain the name of the employee's personal counsel (a written request being more prudent), since that is not a…
Must a lawyer disclose to subcontractors a payment the client made after a lien notice, and can the lawyer summarize the balance owed without mentioning that payment?
The committee concluded that, assuming no criminal or fraudulent act, the lawyer has no affirmative duty to disclose the client's $50,000 payment to the general contractor, but having chosen to give…
Can a lawyer close loans brokered by a corporation in which his wife is a major shareholder, appear on the broker's attorney-referral list, and must he disclose her interest?
The committee concluded the lawyer may serve as closing attorney for borrowers of his wife's brokerage if he carefully monitors confidentiality and conflicts under Rules 1.6, 1.7, and 1.8 and…
Could a Vermont lawyer defend a criminal client when another current client was a State's witness?
Opinion 98-13 barred the concurrent representation despite expected favorable testimony and assumed client consent. The committee found that possible cross-examination of a current client created a…
Could a Vermont lawyer represent a new wife against a husband the lawyer represented in a divorce 15 years earlier?
Opinion 98-12 permitted the new wife’s representation on the stated facts: the earlier divorce was unrelated, the lawyer had learned no relevant confidences, and the former marital property was…
Must a lawyer who advertises practice areas disclose that he is not certified to try state-court cases alone and is not admitted to practice in bankruptcy court?
The committee concluded that a practice-area advertisement is false and misleading under Rule 7.1 if it omits that the lawyer lacks Rule 403 certification (so cannot appear alone in the trial of a…
Could a Vermont firm share a fee or give a thank-you gift to a lawyer who only referred the client?
Opinion 98-11 rejected both a fee share and a thank-you gift for a lawyer who made the introduction but performed no legal work. The client had not agreed to a fee division, and the former Code…
Must a lawyer give a former client his entire file, including mental-health records a treating physician marked 'not to be shown to the patient'?
The committee concluded that under Rule 1.16(d) the lawyer must release the entire file to the former client, including the mental-health records the physician stamped 'not to be shown to the…
Under Nebraska's former ethics code, could a foreign professional corporation open a Nebraska law office without satisfying the Supreme Court's professional-corporation rules?
No. The 1998 opinion treated the corporation as a nonlawyer until it complied with Nebraska Supreme Court ownership and officer requirements, barring both Nebraska practice through it and direct fee…
Can a lawyer provide limited 'unbundled' help to a pro se litigant, including ghostwriting pleadings, without disclosing the involvement to the court?
The committee concluded a lawyer could give limited background advice and counseling to a pro se litigant under Rule 1.2(c), but that undisclosed drafting of litigation documents, especially…
Is Georgia Formal Advisory Opinion 98-1 still in effect?
No. The State Bar of Georgia has replaced Formal Advisory Opinion 98-1, and its text is not published in the online handbook. The State Bar directs anyone seeking the replaced opinion to contact the…
What did Vermont Opinion 98-09 say about unidentified funds in a dormant IOLTA account?
The linked PDF withdraws Opinion 96-10 and points fiduciary lawyers holding unclaimed property to the Vermont Unclaimed Property Act rather than transfer of the balance to the Vermont Bar Foundation.
Can a lawyer pass the credit card company's service fee on to clients who pay fees or retainers by credit card, and does it matter if the retainer is nonrefundable?
The committee concluded a lawyer may charge clients the actual credit-card service fee so long as the total fee is reasonable under Rule 1.5(a), the lawyer fully discloses the charges before billing…
Could a Vermont lawyer receive a fee for referring clients to an investment adviser after disclosure and consent?
Opinion 98-08 prohibited the proposed adviser referral fee even with disclosure and client consent, reasoning that the lawyer’s financial interest would compromise the independent judgment clients…
Could a part-time municipal judge hear cases prosecuted by an assistant to a city attorney with whom the judge shared business ties?
The Committee said hearing those cases would violate Canon 3E even if the attorney stopped a monthly payment but the office-sharing relationship continued.
What can a lawyer do when, in a contingency case, the client cannot be located despite reasonable efforts and the client failed to provide updated contact information?
The committee concluded that if the lawyer has pursued all reasonable avenues to locate the client and the client cannot be found through the client's own fault, it is reasonable for the lawyer to…
May an insurer-appointed Vermont defense lawyer send detailed bills to an outside auditor or follow insurer billing guidelines?
Opinion 98-07 required the insured client's informed consent after full disclosure before confidential bills went to an outside auditor or the lawyer complied with insurer billing guidelines. The…
Can a law firm publish a newspaper announcement that a nonlawyer lobbyist has joined the firm as 'Executive Director of Government Affairs'?
The committee concluded the announcement is permissible if it complies with Rule 7.2 (especially Rule 7.2(d)): describing the nonlawyer's role as an administrative position is not materially…
Could a lawyer who handled a couple’s real estate matters represent the husband against the wife in divorce?
Opinion 98-06 said no: the divorce involved property the lawyer had acquired or managed for both spouses, and the new representation would injure the wife in matters where she was a former client.
Can lawyers who sit on a business-incubator board represent tenants of the incubator, must they abstain from related votes, and can they hand out a directory of other lawyers?
The committee concluded that, with full disclosure and consent, lawyers on a business-incubator board are not barred from representing tenants under Rule 1.7; abstention is governed by board policy…
When could a Vermont firm transfer earned fees from trust and notify the client of trust transactions?
Opinion 98-05 generally accepted a month-end ledger for trust receipts and disbursements. It allowed transfer of an earned fee when the invoice was sent, but required immediate redeposit if the…
May a Vermont personal injury lawyer promise at intake to waive advanced litigation costs if the case is lost?
Opinion 98-04 concludes that an advance waiver of litigation costs would impermissibly guarantee financial assistance under former DR 5-103(B), unless the client is indigent or a party to a class action.
May a Vermont lawyer hand cards or advertising circulars to unrepresented criminal defendants at court to seek their cases?
Opinion 98-03 says former DR 2-104 barred the proposed in-person solicitation at court, despite its separate permission for letters or advertising circulars sent by other means.
May a lawyer serving as a child's guardian ad litem reveal the child's confidences, and when does the guardian role turn into an attorney-client relationship?
The committee concluded that a guardian ad litem who is not also acting as the child's lawyer may reveal the child's confidences to the court as needed to carry out the guardianship or protect the…
What must a criminal defense lawyer do when the client tells the lawyer about, or hands over, the fruits or instrumentalities of a crime?
The opinion gives a balancing framework, not a bright-line rule: a lawyer may not conceal, destroy, or alter physical evidence; what a client says about it is privileged, but the items themselves…
If I pay a contract or temporary lawyer to help on a case, must I tell the client and get consent?
It depends: paying a contract lawyer an hourly rate under close supervision and not billed as a disbursement needs no disclosure, but delegating without close supervision, or paying a percentage of…
Could one Vermont lawyer represent a father in divorce and his parents in a child guardianship?
Opinion 98-01 allowed both representations after full disclosure and each client’s consent if the lawyer could adequately represent both. It required withdrawal if a dispute arose between them.
Can I sue my former client's trustee on behalf of a trust beneficiary I jointly represented years ago in an unrelated condemnation case?
Yes. The earlier joint representation in a condemnation case was not substantially related to the beneficiary's later breach-of-fiduciary-duty claim against the trustee, so Rule 1.9 did not bar the…
Can a law firm partnership agreement make departing partners forfeit compensation if they compete with the firm?
No. The opinion concluded a provision forfeiting a portion of a departing partner's compensation for competing with the firm violates Rule 5.6(a) as an improper restriction on the right to practice.
Can a lawyer charge the client an extra fee for getting a subrogation lien reduced, on top of the agreed contingency percentage?
No. The opinion concluded a lawyer cannot take an additional fee for reducing a lien beyond the percentage set in the contingency fee agreement, and cannot modify that agreement mid-representation…
Can lawyers form a company that prepares and places legal public-notice ads and sell those services to their own clients?
Yes, if the lawyers comply with Rules 1.7(b) and 1.8(a) for business transactions with clients, disclose their financial interest and get consent, rebut the presumption of undue influence, and keep…
Can a lawyer run a pay-per-call prerecorded legal information line and co-own the venture with a non-lawyer?
The opinion concluded a prerecorded paid legal-information line is not per se improper if the ad complies with the advertising rules, fees for preparing the recording may be shared with a…
Can a lawyer accept referrals from, work for, or serve as an officer of a for-profit lawyer referral service?
No. The opinion concluded a lawyer may not participate or assist in any way in a business operating as a for-profit lawyer referral service, especially one that solicits cases by methods a lawyer…
Can a lawyer take an ongoing cut of an investment advisor's fee for referring a client to that advisor?
Not as a legal fee, and only as a business transaction if the lawyer rebuts the presumption of undue influence by showing a fair deal, full disclosure, and the client's chance to get independent advice.
What must a multi-state law firm's New York letterhead and business cards disclose about which lawyers are admitted in New York?
The opinion concluded that a firm's New York letterhead need not name its individual lawyers or a supervising partner, but for any named lawyer carrying a New York address who is not admitted in New…
How do the advertising, fee-sharing, and confidentiality rules apply to a law firm's website, online services, and email?
The opinion concluded a firm need not file its website with disciplinary authorities but should keep a copy about a year; may not pay its internet provider a share of fees earned; may not offer…
If one lawyer in a California firm received material confidential information from a former client, may another lawyer in the same firm accept a representation adverse to that former client without obtaining the former client's informed written consent?
Per California Formal Opinion 1998-152, the second lawyer is not subject to discipline under former Rule 3-310(E) because the rule references the individual 'member', not the firm; the…
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.