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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Can a lawyer represent an employer both in a tort suit (where the injured employee is an involuntary counterclaimant) and in defending against that same employee's workers' compensation claim?
The opinion concluded that no conflict presently existed and that neither the Code nor the Model Rules required the lawyer to withdraw from representing the employer in either suit, but cautioned that…
Can a full-time assistant district attorney in one district volunteer, without pay, as a village prosecutor handling municipal traffic cases in a second district?
The opinion concluded the assistant district attorney was not directly violating any ethical standard by serving without pay as a village prosecutor in a second district, but cautioned that a statutor…
Can a lawyer hired by an insurer to defend an insured withdraw from that defense and then bring a coverage suit against the insured on a related matter?
The opinion concluded the proposed conduct gave rise to at least the appearance of a conflict of interest under Rules 5-105 and 5-107(B), even though the lawyer had no actual contact with or confident…
When a law firm dissolves or a lawyer leaves, what must the firm and lawyers tell clients about choosing counsel?
The committee concluded that both the firm and the departing attorneys owe a fiduciary duty to give clients fair, accurate, and timely notice of the change so each client can make an informed choice o…
Can a lawyer communicate ex parte with a workers' comp rehabilitation consultant who is running a conference?
The committee concluded that the rule barring ex parte communications with a judge or judicial officer (former Rule 7-108(B)) does not apply to a State Rehabilitation Bureau consultant, because the co…
May a New Jersey lawyer hold free public legal seminars, advertise them in newspapers, and later represent people who attended?
Yes. The opinion concluded a lawyer may conduct free public legal seminars and advertise them in print media, and may later accept employment from an attendee, provided the seminar serves as a genuine…
May an attorney serve as counsel to a municipal sewerage authority while his law partner represents a non-profit housing corporation that is suing that authority, and may the attorney stay in the civic club that sponsors the housing corporation?
No to both. The opinion concluded the appearance of impropriety bars the arrangement even after the partner withdrew from the pending suit, so the two lawyers had to choose which client to keep; and t…
Is there a conflict when one firm has partners volunteering on a city's planning and appeals boards while another partner serves as the city solicitor?
The opinion concluded no conflict inherently arises. Because the firm represents no private clients before either board, the city solicitor's independent judgment is not adversely affected by his part…
After withdrawing, may a lawyer hold back a deposition and other file materials from a former client until the client repays the costs the lawyer advanced for them?
The opinion concluded no. A lawyer may not condition turning over the former client's file, including a deposition and data whose costs the lawyer advanced, on reimbursement of those costs, because Ru…
Can assistant prosecutors who are also private law partners take opposing roles, such as one defending a bankruptcy debtor while another pursues the agency's claim against the estate?
LEI 84-5 concluded that an assistant prosecutor may not pursue a county or state agency's claim against a debtor whose bankruptcy is defended by his private law partner; serving as a Workers' Compensa…
Can a lawyer refuse to file or finalize a client's divorce decree until the client pays the legal fees that are owed?
LEI 84-4 concluded that a lawyer may not ethically delay completing a divorce action, such as refusing to file the final divorce decree, because the fee is unpaid; that refusal violates DR 5-101(A), D…
Can a corporation owned by lawyers provide legal research services to other attorneys and law firms without engaging in the corporate or unauthorized practice of law?
LEI 84-3 concluded that providing a legal research service through a corporation formed by West Virginia State Bar members is proper, so long as the service is limited to licensed attorneys and law fi…
Must a New York lawyer holding funds under a retaining lien sue the client to resolve a disputed fee?
The opinion concluded that a lawyer holding funds under a retaining lien need not sue the client to resolve a fee dispute, provided the lawyer has zealously tried to settle it short of litigation and …
Can a New York law firm pay to be the recommended firm in a real estate broker's homebuyer brochure?
The opinion concluded that a law firm may not pay to be listed as the recommended firm in a real estate broker's brochure; paying a third party to recommend the lawyer's services is prohibited by DR 2…
Can a lawyer solicit an accident victim by letter, telephone, or in person to be hired for the case?
Under the former Code, the committee concluded a lawyer could seek to represent an accident victim in writing and could solicit the employment by telephone or in person, provided the lawyer complied w…
Can a lawyer handle a case against a client whose opposing counsel is the lawyer's spouse, and can another lawyer in the same office take it instead?
The committee concluded a staff attorney may not represent a client in a child support matter when the opposing party is represented by the staff attorney's spouse, but another attorney in the same of…
May a lawyer interview a government agency's non-managerial employee about the subject of pending litigation without the consent of the government's attorney?
The opinion concluded that plaintiff's counsel may interview a non-party government employee, here a teleconference manager who was not someone reasonably thought to represent the agency in the matter…
Can a lawyer obtain a client's signed consent to withdraw at the start of the representation and later file it with the court to withdraw?
The opinion concluded that a lawyer may not file a previously executed consent with the court as a current express written consent to withdraw under Alaska Civil Rule 81(d)(1)(iii), and may not do so …
May a law firm hire a paralegal who previously worked for a firm it is currently opposing in litigation?
No. The opinion concluded that hiring a paralegal formerly employed by a firm with which the prospective employer is presently involved in adversarial matters is improper; the disqualification rule fo…
May one attorney represent both a local K-8 school district and the overlapping regional high school district?
As issued, the opinion concluded no: it would breach professional ethics for one attorney (or his partner or associate) to represent both a municipal school board and the regional school board, becaus…
May a non-profit legal-services project report client background information to the public and private sources that fund it without violating client confidentiality?
As issued, the opinion concluded yes: the background and eligibility data the project reported to its funders did not reveal client confidences or secrets under the confidentiality rule. The New Jerse…
When a law firm partner is elected to Congress, can the firm keep that partner's name on its firm name and letterhead?
Yes, but only if the member of Congress continues to actively and regularly practice law as a member of the firm; otherwise the name must be removed, and the firm and lawyer must avoid any suggestion …
What kinds of questions will the Kentucky Bar Association ethics committee answer in an advisory opinion?
The committee answers only an attorney's own questions about the propriety of the attorney's own contemplated future conduct. It does not opine on opposing counsel's or third parties' conduct, an atto…
When may a legal services organization run a not-for-profit lawyer referral service, and may an attorney on its board take referrals from the service?
A not-for-profit lawyer referral service is proper if it is organized on a not-for-profit basis to help the public find counsel, is not run primarily to benefit particular lawyers, and operates consis…
Can a Commonwealth Attorney represent a party in a contested custody case, and must he withdraw if the other side seeks a criminal complaint?
Yes, he may take the custody case where no criminal warrant has issued; if the opposing party later seeks but is refused a criminal complaint, continued representation is a qualified yes, and automati…
Can a lawyer run a consulting business that gives legal information to businesses through training sessions?
Qualified yes. The opinion concluded that a lawyer may operate a consulting business disseminating legal information to businesses through training sessions, so long as the lawyer follows the advertis…
In a prepaid group legal-services plan, who is the staff lawyer's client, and how much can plan administrators control how the lawyer handles a case?
The plan beneficiary is the client; a nonlawyer administrator may not direct the staff lawyer's professional judgment, and where the plan demands action against the client's interest the lawyer must w…
Can a Michigan lawyer advertise as a specialist, or as specializing, in a particular area of practice?
The opinion concluded that, absent rules from an authority authorized to certify specialists, it was improper for a lawyer to advertise as a 'specialist' because that implies a recognized certifying b…
Must a lawyer wait for settlement funds to clear the bank before disbursing them to a client, and can the firm advance the client's share from its general account?
The committee concluded that a lawyer must deposit settlement proceeds to the trust account and wait until the bank credits the funds before disbursing to a client, may not disburse cash back at depos…
Can a lawyer take a contingent fee to collect overdue child support when the client cannot afford a retainer?
On the facts presented, the committee concluded a contingent fee to collect a $50,000 child support arrearage was not improper where the client could not pay even a modest retainer, no other fee arran…
Does a law firm using the phrase 'An Association of Attorneys' after its members' names need to add a further disclaimer like 'Not a Partnership'?
No. The opinion held that 'An Association of Attorneys' is by itself a proper way to identify the members of a non-partnership law firm and no additional disclaimer is required, vacating the contrary …
Can an attorney who takes default judgments on accounts referred by a collection agency be paid a flat hourly rate by the agency, with collected attorney's fees routed through the agency's trust account?
The opinion held that once a collection matter is referred to the attorney, the attorney must immediately establish a direct attorney-client relationship with the creditor, with the collection agency …
Can a parent corporation's in-house counsel perform legal work for affiliated subsidiaries and limited partnerships, with the parent billing those affiliates for the actual cost of the lawyer's time and overhead?
Yes, in each of the five reimbursement scenarios presented, including where the in-house lawyer's employer is also the managing general partner of the limited partnership being billed, provided in-hou…
Does an attorney advertising admiralty and Jones Act injury services, along with other workers' compensation matters, need the audible or visual disclaimer required for advertising a field of practice?
The opinion held that the audible and visual disclaimer of Disciplinary Rule 2-101(C) is required for any advertisement, including one covering Jones Act matters, where the attorney's practice is not …
Can an attorney send direct-mail letters to every homeowner facing foreclosure, and can an attorney mail CPAs asking them to refer tax clients?
The opinion held there is no impropriety in direct-mail advertising sent to every defaulting mortgagor whose home is advertised for foreclosure, though the specific letter's claim of experience to pro…
Can a Tennessee lawyer take a one-third contingency fee out of each periodic payment in a structured settlement, rather than all at once from the up-front cash?
Yes. The opinion held the attorney may take his contingency percentage from each periodic settlement payment as it is received, take the entire fee upfront capped at his percentage of the settlement's…
Did a Tennessee lawyer need the DR 2-101(C) specialization disclaimer to list three areas of practice in Martindale-Hubbell's biographical section?
No. The opinion held that Martindale-Hubbell's own proposed disclaimer language for its new fields-of-law listing feature substantially complied with DR 2-101(C), so there was no impropriety in a lawy…
Can a lawyer join a barter exchange and take goods and services instead of cash for legal fees?
The opinion concluded that a lawyer may join a barter exchange when membership is a flat annual fee rather than a percentage of legal fees, when the exchange furnishes members a list of attorney membe…
If a lawyer becomes 'of counsel' to a firm in the same county where his son is the full-time county prosecutor, is the firm barred from criminal practice in that county?
Yes. The opinion concluded that because the father is precluded from criminal practice in the county where his son is the prosecutor, the firm to which he becomes 'of counsel' is likewise barred, sinc…
May a lawyer run a for-profit corporation that puts on public educational programs about the law, advertise the participating attorneys, and represent attendees afterward?
Yes. The opinion concluded that advertisement of the contemplated educational programs in print media may be done and that attorneys who participate as lecturers may accept employment from individuals…
May a law firm join a for-profit business networking association whose members exchange sales leads and referrals?
Yes. The opinion concluded that joining such a business-lead association does not amount to giving compensation to the organization to recommend or secure clients, likening it to membership in service…
After a firm withdraws because a new partner had represented the opposing party, may the firm meet with the client's substitute counsel to hand off the case?
The opinion concluded that the withdrawing firm may hold transitional conferences with the client's new counsel about the status and issues of the case, provided it does not breach the confidences or …
Can a New York lawyer hire a marketing firm to solicit clients for a prepaid legal plan and pay it a share of the legal fees?
The opinion concluded that a lawyer may not employ and compensate a public relations or marketing firm to solicit clients for the lawyer's prepaid legal services; paying a third party to recommend or …
Is a special district attorney appointed for one case subject to the same restrictions on private criminal defense work as a regular part-time prosecutor?
The opinion concluded that a special district attorney appointed under County Law section 701 is sui generis, not a part-time prosecutor, so the per se limits on private criminal practice do not apply…
Can a New York lawyer advertise a discount off customary fees to a civic group or the public for a limited time?
The opinion concluded that a lawyer may offer and advertise a discount from customary fees, but only where the customary fee is reasonably ascertainable and is actually the fee the lawyer charges for …
Can a lawyer who is a shareholder in a law firm try the firm's own fee-collection suit when other firm shareholders will testify?
The opinion concluded that a shareholder-attorney may represent her incorporated firm at trial in a suit against a former client for the firm's fees, even though other shareholders will be witnesses, …
Can a lawyer recommend title insurance and act as title agent in the same real estate deal, and split insurance commissions with other attorneys who steer clients to him?
The lawyer may serve as title examiner and agent only with full disclosure to everyone involved and the clients' consent, crediting any title-work already billed; but naming other attorneys as 'author…
Can one lawyer represent both spouses in a no-fault divorce or an antenuptial agreement, and may that lawyer answer the other spouse's questions?
Rarely for the divorce. The opinion concluded joint representation in a no-fault divorce should be the exception, allowed only after full disclosure and consent; joint representation on an antenuptial…
Can a lawyer tell a client to secretly record phone calls, or advise a client on the legality of doing so in a civil matter?
No to suggesting it. The opinion concluded a lawyer may not suggest that a client secretly record calls in a civil matter, but may advise a client on the legality of such recording and may let the cli…
Can a lawyer fund a bar lawyer referral service by paying a percentage of fees earned from referrals instead of forwarding a flat consultation fee?
Yes. The opinion concluded that a lawyer may pay an approved bar referral service a reasonable percentage of fees collected, which is a contribution to the service's expenses and not a prohibited fee …
Can a lawyer give the opposing party copies of draft documents from a former client's file, and how long must a lawyer keep closed client files?
The opinion concluded that a lawyer may not give an opposing party draft documents prepared in the course of representing a client or former client without that person's express consent after full dis…
What can a New York lawyer do when a client says he intends to commit a future crime?
The opinion concluded that the lawyer may never further the client's criminal purpose and should try to persuade the client to abandon it; the lawyer may withdraw, and must withdraw if continuing woul…
May a lawyer use a bank's interest-bearing master/subsidiary 'Super Now' escrow account for client trust funds, and can the bank's bookkeeping access to client data be squared with confidentiality?
The opinion concluded the proposed segregated master-and-subsidiary escrow account complied with the trust-account rule, with interest belonging to the client, but that giving bank clerks client infor…
May municipal counsel defend individual municipal officials sued for willful civil-rights violations under 42 U.S.C. 1983, and may one lawyer defend several of them?
No. The opinion concluded municipal counsel should not defend individual officials in a willful Section 1983 action, because the municipality's potential indemnification claim makes their interests ad…
Can a real estate lawyer disburse from the trust account at closing before the lender's out-of-state draft has cleared, relying on other clients' funds as float?
The opinion concluded no; the lawyer may not use the float of other clients' funds to cover a lender's uncollected draft, because if the draft fails the other clients' money is put at risk, though dis…
May a New Jersey lawyer practice under, and use on her letterhead, the name of her out-of-state firm that also has a New Jersey office?
Yes, under the rule as amended in 1984. The opinion concluded that a firm with offices in more than one jurisdiction may use the same name in each, so long as the letterhead clearly shows the New Jers…
Can a law firm advertise a service under a trade name like 'The Business Law Center, a division of Smith & Jones' without naming every lawyer involved?
Yes; the opinion concluded a trade name is permissible in advertising as long as a responsible lawyer is clearly associated with it, and there is no ethical difference between 'a division of' and 'ope…
Can a New York law partner sell part of his partnership interest, including a share of future fees, to an incoming partner?
The opinion concluded that a lawyer may not sell an interest in an ongoing law practice itself; selling tangible assets is permissible, but transferring the right to represent the firm's clients for a…
Can a Tennessee lawyer team up with a financial brokerage firm so its agents refer clients to the lawyer for estate planning?
No. The opinion held that all three proposed arrangements, ranging from the lawyer being billed as a brokerage 'team member' to billing clients directly from his own office, use the brokerage firm as …
Can a lawyer take a contingent fee to pursue a divorced spouse's claim to the other spouse's military retirement pay?
The committee concluded that, absent special circumstances, it is improper for an attorney to represent a divorced spouse's claim against her husband's military retirement pay on a contingent fee basi…
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.