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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I think opposing counsel is not passing my settlement offers to the client, an institution with in-house counsel. May I write directly to its in-house counsel, or have my client copy them, under Rule 4.2?
The Panel concluded that Rule 4.2 barred the inquiring attorney from communicating directly with the opposing institution's in-house counsel absent the consent of opposing counsel of record, and…
After serving as a court-appointed guardian ad litem and reporting on a ward's care, can the lawyer later represent a relative seeking to adopt that ward?
No; having acted substantially as a public officer and likely acquired confidential information, the lawyer is barred from representing the relative, whose adoption position is inconsistent with the…
Is a lawyer's secret, non-consensual tape recording of a phone call improper even if legal, and must opposing counsel report it while a civil suit is pending?
The opinion concluded that a lawyer's surreptitious, non-consensual recording was improper under the dishonesty rule even if lawful, including when the lawyer acted as a corporate officer rather…
Can an Ohio law firm charge an insurer a fixed flat fee for subrogation work based on the number of health-plan enrollees?
The opinion concluded that a law firm may charge an insurer or third-party administrator a fixed flat fee for subrogation work based on plan enrollment, provided the fee is reasonable and not…
Can an Ohio solo lawyer call the practice 'X and Associates' if there are no other lawyer employees?
The opinion concluded that 'and Associates' signals that a lawyer employs other lawyers, so a solo practitioner with no lawyer employees may not use it to suggest office-sharing, co-counsel, or…
Can a prosecutor advise crime victims about a civil restitution lien remedy without creating an attorney-client relationship?
The opinion concluded that an assistant state attorney may advise crime victims that the civil restitution lien remedy exists, but must tell victims the attorney represents only the state and should…
Did a D.C. senior judge have to recuse from prosecutions over offenses dating to the judge's Justice Department employment?
D.C. Judicial Conduct Opinion No. 5 rejected recusal solely because a charged offense occurred while the judge worked for the Justice Department. It identified personal knowledge, work as a lawyer…
When a lawyer learns a client or prospective client has a serious mental disorder, can the lawyer prepare documents or file suit for them, and when may the lawyer seek a guardian?
The opinion concluded a lawyer may seek appointment of a guardian or take other protective action only when the lawyer reasonably believes the client cannot adequately act in the client's own…
If a lawyer represents one company, can the lawyer take a matter adverse to that company's corporate affiliate, like a parent or subsidiary, without the client's consent?
The opinion concluded that representing a corporate client does not by itself bar a lawyer from a matter adverse to the client's affiliate in an unrelated matter, but consent is required if the…
Could a municipal judge accept a job with the county sheriff’s office in the same county?
The committee concluded that the judge could not take the sheriff’s office position, even if the judgeship was part time and recusal would occur in sheriff’s cases, because the dual roles created an…
Can a lawyer let a NALA-certified paralegal use the initials CLA or CLAS on the firm's letterhead and correspondence?
The opinion concluded that a paralegal may use the initials CLA or CLAS on legal correspondence so long as the paralegal has actually been certified by the National Association of Legal Assistants…
If a client secretly copies or reads the opposing party's confidential documents during litigation, must the lawyer disclose it?
The Committee concluded that where a client surreptitiously read or copied an adversary's confidential documents, the lawyer must disclose the conduct to the adversary, because allowing the client's…
Can a lawyer who is also a real estate agent close transactions for the brokerage's customers, take a sales commission on deals he provides legal services on, and share an office and phone with the brokerage?
No commission on a transaction where the lawyer also provides legal services to a party. The opinion concluded the lawyer may close deals he did not list or sell only if independent judgment is not…
When a lawyer leaves a firm, can the departing lawyer and the firm contact the lawyer's clients about the change, and may either later solicit former clients?
Yes. The opinion concluded both the departing lawyer and the firm may notify current clients of the departure and the client's right to choose counsel, and either may solicit a former client with…
If a lawyer appointed to a capital case believes in good faith he is not competent to handle it, can he challenge the appointment or refuse to serve, and does his malpractice insurer's concern create a conflict?
The opinion concluded the lawyer must first advise the court, may challenge the appointment by lawful means if he still believes he is incompetent, and may refuse and accept sanction after…
If stand-by counsel in a capital trial are suddenly told to take over the defense without time to prepare, can they decline to present a defense, and may they create grounds for an ineffective-assistance claim?
The opinion concluded that after seeking a continuance, moving to withdraw, and exhausting legal remedies, stand-by counsel who in good faith conclude they cannot present a competent defense may…
When a prosecutor voluntarily dismisses all charges against a jailed defendant, must the prosecutor notify defense counsel or jail officials so the defendant is not held without charge?
Yes. The opinion concluded the prosecutor must serve defense counsel with the dismissal or otherwise notify counsel, jail officials, or other appropriate persons to avoid the unnecessary detention…
Can a firm agree to stop billing its association client on uncollected collection cases and make up the loss by charging higher fees to the debtors from whom fees are recovered?
No. The opinion concluded that inflating the fee charged to recovered-from debtors to offset losses on uncollected cases produces a clearly excessive fee, and misrepresenting the actual fee to a…
When a successor personal representative sues the former one, can the estate's lawyer disclose his file and prior advice, and does it matter whether the advice was given before or after the client qualified as personal representative?
It turns on capacity. The opinion concluded advice given to the widow personally, before she qualified, stays confidential, but advice given to her in her official capacity belongs to the estate, so…
Before filing suit, can a lawyer send an unrepresented defendant a letter that explains the effect of a settlement on the defendant's personal liability and warns that the insurer's defense lawyer may have divided loyalties?
No. The opinion concluded the letter violated Rule 7.4(b) by giving the unrepresented defendant legal advice beyond the advice to secure counsel, and violated Rule 7.4(c) because its tenor implied…
When an insurer's lawyer defends an accident claim in the name of an uninsured or underinsured motorist, may the plaintiff's lawyer interview that defendant without the insurer-lawyer's consent?
Yes. The opinion concluded the insurer's lawyer represents the insurer, not the individual defendant, so the no-contact rule does not apply; the plaintiff's lawyer may interview the unrepresented…
In a domestic case, may a lawyer listen to a tape recording the client made illegally so the lawyer can use it to impeach the opposing spouse or to develop other evidence?
No. The opinion concluded that listening to or using a recording the client made illegally would help the client benefit from her own illegal conduct and would be prejudicial to the administration…
Can a lawyer represent a buyer, seller, or lender in a real estate closing when the lawyer's spouse, a real estate agent, will earn a commission only if the deal goes through?
Yes, with limits. The opinion concluded the lawyer may represent the seller without conflict, and may represent a buyer or lender only if the lawyer reasonably believes his judgment will not be…
Does North Carolina ethics Rule 4 require a lawyer to report a client's suspected child abuse learned during an unrelated representation?
No, not as an ethics matter. The opinion concluded disclosure is discretionary under Rule 4(c)(3), so a lawyer who reasonably and in good faith concludes that reporting would substantially harm the…
When a former government employee enters private practice, when does Rule 1.11 bar them from working on a matter they touched in government service?
Rule 1.11(a) bars later private representation in a discrete transaction or matter with identifiable parties the lawyer participated in personally and substantially while in government, but not work…
Can a lawyer share courtesy copies of public pleadings with other lawyers, or talk shop about cases, without first getting client consent?
Yes, where the lawyer reasonably believes the disclosure will not harm the client. The opinion read Rule 1.6 to bar only disclosures that carry some risk of harm to the client's interest or reveal a…
I concluded my client needed a guardian and nursing-home placement, and the client then fired me. May I be appointed guardian of the person of that former client, with an associate drafting the paperwork?
The Panel concluded that because the guardianship is substantially related to the representation and the former client refused consent, Rule 1.9 bars the inquiring attorney from serving as guardian,…
A lawyer switched firms and my opponent moved to disqualify the new firm, claiming a substantial relationship to the old firm's matter. If that lawyer had no actual knowledge of the client, is the firm disqualified under Rule 1.10?
The Panel concluded that, whether or not the matters are substantially related, the incoming lawyer and the new firm are not imputedly disqualified under Rules 1.9 and 1.10 because the lawyer has no…
Can a title or finance company collect 'settlement fees' for legal work its in-house counsel performs at real estate closings, instead of attorney's fees?
No. The opinion concluded that a company collecting fees for legal work performed by its in-house counsel is splitting legal fees with a nonlawyer entity in violation of Rule 5.4(a), and renaming…
Can a part-time assistant district attorney and a part-time confidential law clerk to a County Court judge be law partners, and what limits does that put on their practice?
The opinion concluded the two may be partners: the confidential clerk may not practice before the County Court or do criminal work, and the assistant DA may not appear before the judge who employs…
Can a law firm sue, or decline to sue, a father on behalf of his children when the firm has represented the father in related criminal, divorce, and estate matters, if the father waives the conflict but the children's guardian does not?
The Committee concluded the firm may not represent the children. The matters are substantially related and directly adverse, the representation would be adversely limited by the firm's duties to the…
May a California attorney provide limited consulting services to a pro per litigant, including drafting pleadings the client will file, making special appearances on motions, or appearing as 'associate counsel' for a status conference where trial counsel must appear?
The opinion concluded that with full written disclosure and client consent, an attorney may limit services to consultation and pleading preparation for a pro per litigant. A litigant may not be both…
Does a volunteer attorney giving general legal information form an attorney-client relationship, and can they advise both sides?
The opinion concluded that whether an attorney-client relationship forms is a fact question turning on the parties' intent. It is not formed merely because a caller knows the volunteer is an…
When a client stops paying, can a lawyer withhold services, withdraw, or keep the client's file until the bill is paid?
The opinion concluded that a lawyer may not withhold services in a continuing representation to pressure a client to pay, because the duties of competence, diligence, and loyalty leave no room for…
Can a law firm send a paralegal, instead of a lawyer, to attend a real estate closing on a client's behalf?
The opinion concluded that a properly trained paralegal may attend a real estate closing on a client's behalf where a firm lawyer has reviewed the documents, the paralegal gives no legal advice, and…
Can in-house counsel represent someone other than the employer, at the employer's direction, while still being paid by the employer?
The opinion concluded that in-house counsel may, with safeguards, represent a third party at the employer's direction while paid by the employer, but in doing so steps outside the in-house role. The…
Can a private party's lawyer contact government officials directly when the agency is represented by counsel in the matter?
The opinion concluded that under SCR 20:4.2 a lawyer for a private party generally may not directly contact covered government officials about a matter once the lawyer knows the agency is…
Could a lawyer pay a collection agency a per-matter administrative fee for creditor litigation referrals?
The opinion said the fee was either a prohibited referral payment under Rule 4-7.2(c) or improper nonlawyer fee splitting under Rule 4-5.4(a); it identified other concerns it could not resolve…
Could a lawyer who obtained a default judgment for one client later defend the judgment debtor against an assignee?
The opinion said no unless the judgment assignee waived the conflict under Rule 4-1.9(a).
Could a lawyer subpoena a client's records in opposed litigation but waive the recipient's appearance?
The opinion said no: when litigation has an opposing party, the lawyer could not obtain subpoenaed documents while waiving the recipient's appearance, even if the documents belonged to the client.
Could a civil trustee for an inmate remain in that role after becoming an assistant prosecutor in the office that prosecuted the inmate?
The opinion found an apparent conflict and directed withdrawal from the trustee role and screening from the criminal case; prior participation in that case triggered a special-prosecutor requirement…
Could a lawyer publish a newspaper legal column in a question-and-answer format?
The opinion generally permitted the format for general information, but said the lawyer must avoid specific advice and identifying details from real inquiries and disclose when questions were not…
Could a guardian ad litem receive a percentage fee after recovering funds for a minor without a written contingent-fee agreement?
The opinion found no Rule 4-1.5(c) violation if the court approved a reasonable fee, provided the lawyer disclosed the missing written agreement; it also stated the rule's writing requirement for…
Could Missouri lawyers partner with solicitors admitted in England and Wales?
The opinion answered yes to a partnership with solicitors admitted in England and Wales, provided the partnership did not engage in unauthorized practice of law in Missouri.
Could a lawyer who was also personal representative authorize release of a deceased client's medical records?
The opinion said Rule 4-1.6 confidentiality continued after the client's death and barred the lawyer from authorizing disclosure of confidential information without a court order.
Where could a firm place the Rule 4-7.4 disclaimer when attorney brochure inserts claimed specialization?
The opinion allowed the disclaimer on the brochure's outside jacket or firm insert, but required it on or with an individual lawyer's sheet if that sheet was separately distributed.
Could a prosecutor's office handle a former private client's child-support case without appointing a special prosecutor?
The opinion allowed the office to proceed without a special prosecutor if the assistant prosecutor was formally and effectively screened, assuming such former-client cases occurred only occasionally.
When did this opinion require advertising and contingent-fee disclaimers in a law firm newsletter?
The opinion treated the newsletter as advertising, made solicitation status depend on recipients and content, and required a contingent-fee disclaimer when the newsletter suggested that the firm…
Could a plaintiff's lawyer send a settlement offer to an insured person when an adjuster was involved?
The opinion allowed direct contact if the lawyer neither knew nor had reason to know the insured had counsel, regardless of an adjuster; if any lawyer represented the insured, Rule 4-4.2 barred…
What did this opinion require a lawyer to do before withdrawing when clients could not be located?
The opinion required all reasonable efforts to reach the clients, without deciding whether the lawyer's efforts were sufficient; it said a private investigator and publication notice were not mandatory.
Could a lawyer serve as a municipal judge and an assistant prosecutor in another county?
The opinion answered yes under the Rules of Professional Conduct, but declined to decide the separate judicial-conduct question under Supreme Court Rule 2.
Could one lawyer continue representing a driver and passenger after the defendant crossclaimed against the driver?
The opinion allowed joint representation while the clients' positions remained consistent and both waived the conflict after full disclosure; a material divergence required withdrawal from one or both.
Could a lawyer give an incapacitated estate client's videotape to an attorney in fact and disclose it after the client's death?
The opinion allowed physical custody to the attorney in fact while the client lived and, on the stated facts, permitted implied client consent to post-death disclosure under Rule 4-1.6; it did not…
Could a lawyer serve as a Social Security representative payee and take the standard fee?
The opinion said accepting the described standard $50 fee for serving as representative payee would not violate the Rules of Professional Conduct.
What ethics duty did this opinion identify when a lawyer declined a case after brief client contact?
The opinion applied Rule 4-1.16's duty to take reasonably practicable steps to protect the client's interests, while leaving the extent of any statute-of-limitations notice to malpractice rather…
Could a lawyer who represented both an insured and insurer give the whole file to the insured's new lawyer?
The opinion barred release of the whole file on the insured's consent alone, apart from communications sent by the insured's new lawyer; full release required the insurer's consent too.
Could a firm that represented a former guardian later represent her against the former ward in custody and support matters?
The opinion allowed the representation unless the former ward could reasonably have considered himself a client of the firm in the earlier probate proceeding.
Could a Missouri sole practitioner call the practice 'The X Law Firm'?
The opinion answered yes, reasoning that 'firm' could describe a commercial enterprise without regard to headcount, and declared contrary Informal Opinion 950120 no longer valid.
Could a lawyer take an upfront contingent fee calculated on a structured settlement's present value?
The opinion allowed the upfront fee if it was based on the settlement's present value and the client consented in the original contract or otherwise.
Must a defense lawyer withdraw when current jail clients want to testify against the lawyer's former client?
The opinion answered yes to withdrawal from representing the current clients who wanted to testify against the former 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.