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 who is a title insurance agent let the insurer audit the lawyer's trust accounts without client consent?
The opinion concluded that an attorney/title-insurance agent may not permit the insurer to audit a general trust account without the affected clients' consent, but may permit an audit of a special…
Can lawyers who only share office space list their names together on the suite door, like a firm, if they add a line saying they are independent practitioners?
The Committee concluded that displaying the lawyers' names separated only by commas suggests a professional relationship that does not exist and misleads the public, violating Rule 7.04(a) and (d);…
Can a law firm lease its lawyers and staff from a nonlawyer-owned employee leasing company that also leases lawyers to other firms, to get cheaper benefits?
The Committee concluded the arrangement does not involve improper fee-sharing (the leasing fee is fixed, not tied to the firm's billings) and is not the unauthorized practice of law (the leasing…
Can a lawyer run a newspaper ad aimed at people with a specific legal problem, and can the lawyer send a layperson a letter proposing to trade client referrals?
The Committee concluded that a targeted print advertisement is permissible if it complies with Rule 7.01 and is not false or misleading; a bare promise of cash settlements without qualification may…
Can a lawyer state on letterhead, business cards, or advertising that the lawyer is certified as an arbitrator by the American Arbitration Association?
Yes. The opinion concluded that stating a lawyer is certified as an arbitrator by the American Arbitration Association is not false or misleading and does not violate Rules 7.1 and 7.7, because…
I took over a case and found the referring lawyer made uncorrectable strategic errors. Do I have to tell my client, and can I tell the other lawyer about the mistakes under Rules 1.4 and 2.1?
The Panel concluded that under Rules 1.4 and 2.1 the successor attorney should inform the client of the circumstances impacting the lawsuit, and that before informing the referring attorney of the…
My new client is criminally charged with breaking into the home of someone I represented years ago in unrelated matters. Does Rule 1.9 bar me from defending the criminal case?
The Panel concluded that the criminal charge is not the same or substantially related to the earlier unrelated representations of the complaining witness, so the attorney may represent the criminal…
I am an assistant town solicitor prosecuting misdemeanors for one town. Can I take the same prosecutor role for a second town, when both towns' cases are scheduled the same day, under Rule 1.7?
The Panel concluded that prosecuting for the second town does not violate the Rules because the towns' representations are not directly adverse, and suggested obtaining each client's consent after…
Can I compensate another law firm for the time it spent on a legal malpractice case, where that firm was a third-party defendant that paid into the settlement?
The Panel concluded that compensating the other law firm for the time expended in the matter would not violate the Rules of Professional Conduct, consistent with Rule 1.5 and the Panel's view that…
My client sold the disputed house to a buyer with an addendum about the pending suit, then fired me. Do I have a client relationship with the buyer, and can I represent either of them under Rule 1.9?
The Panel concluded the attorney has an attorney-client relationship only with the seller, not the buyer; because the seller is now a former client, the attorney needs the seller's consent to…
If I later reduce the fee I actually charge my client, but the court awarded or a third party paid a stated attorney fee, do my representations about that fee have to match under Rules 3.3 and 4.1?
The Panel concluded that if the attorney negotiates a lower fee for the client, all representations regarding fees made to the court or to third parties must reflect the actual fee, under Rule 3.3…
My client discontinued the case and wants the retainer back. The agreement didn't say the retainer was non-refundable but I assumed it was. Can I keep it under Rule 1.5?
The Panel concluded that under Rule 1.5 and the Disciplinary Board's policy, a retainer is a refundable fee advance, so the attorney must return the unearned portion and keep only the reasonable…
My bank client hired a non-lawyer with a J.D. to draft its loan documents. If I review documents a non-lawyer prepared, am I assisting the unauthorized practice of law under Rule 5.5?
The Panel concluded that assisting a bank employee in preparing loan documents is not assisting the unauthorized practice of law and does not violate the Rules, noting Rule 5.5's Comment allows…
Could an Illinois judge attend a political gathering and be introduced there, whether or not the judge was a candidate?
Yes. The Committee said former Rule 67 permitted judges to attend political gatherings and allowed a simple introduction of a judge who was attending.
If a former-client conflict bars a lawyer from taking a case, can she still refer it out and share in the other lawyer's fee?
The opinion concluded no; a compensated referral is itself representation in the matter, so the same former-client conflict that bars the case bars sharing the referred lawyer's fee.
Can a lawyer who also represents some of the opposing company's managerial employees in unrelated cases talk to them ex parte about the main lawsuit?
The opinion concluded the lawyer may speak with his managerial/supervisory clients about their own matters, but whether he may discuss the opposing party's case turns on whether those employees are…
Did a justice’s small indirect interest in AT&T through an estate-held investment fund require recusal from an AT&T-related case?
The Committee concluded that the described indirect fund interest was de minimis and did not require recusal on the facts supplied.
What must a lawyer do when the other side offers to drop a grievance against the lawyer's client in exchange for a settlement?
The opinion concluded the receiving lawyer may, but need not, report the offering lawyer; must advise the lawyer-client of the impropriety and withdraw if the client persists; need not report the…
Can a lawyer loan money to the opposing party so that party can pay the lawyer's client, and can the lawyer charge a contingent fee to collect child support?
Modified. As originally issued, Formal Ethics Opinion 94-F-134 concluded that a lawyer collecting past-due child support on a one-third contingent fee could not loan funds to the adverse ex-husband…
Can a lawyer referral service take a percentage of the fees earned on cases it refers?
No. Georgia FAO 94-1 concluded that any division of a lawyer's fees with a lawyer referral service is the sharing of fees with a nonlawyer in violation of Standard 26; a lawyer may pay only the…
When a former defense lawyer joins a district attorney's office, must the whole DA's office be disqualified from cases the new hire defended?
The opinion concluded that a district attorney and the other assistants are not vicariously disqualified under Rule 1.11 when a newly hired assistant previously appeared as defense counsel, so long…
Can a New Jersey lawyer represent a client before a board of taxation on which the lawyer's non-lawyer father sits, if the father recuses?
The Committee concluded that, with the father recusing himself from any matter handled by the lawyer or the lawyer's firm, no appearance of impropriety arises and the representation is permissible;…
Did legislative or governor-assigned low-number license plates on a family law master’s car violate the judicial Code?
West Virginia JIC Opinion 1994-13 found that neither type of plate would, by itself, violate the Code of Judicial Conduct.
Could a family law master hear a case where a party’s lawyer in an unrelated non-domestic matter was the master’s daughter?
West Virginia JIC Opinion 1994-12 found it was not improper for the master to hear the family-law case on the stated facts.
Can a lawyer give the Texas Workers' Compensation Commission a general description of attorney-client conferences to get a fee approved, without breaching client confidentiality?
The Committee concluded that a general description of the nature of attorney-client conferences (for example, 'discussed client's medical treatment') is confidential but not privileged information,…
In Kentucky, may a lawyer participate in LAWCARD, a credit-card program that finances the payment of legal fees?
Yes. The opinion concluded that LAWCARD is a credit-card plan, not a for-profit referral service, and lawyers may participate as long as they comply with KBA E-172 and rules such as 5.4(a) against…
Could a judge’s law clerk work on a case involving the firm where the clerk had accepted a future job?
The committee concluded that the clerk should not participate in that case, while the judge could continue after removing the clerk and avoiding further case discussion; it also identified…
May a judge preside over medical liability cases involving a hospital sued by the judge’s former wife on the child’s behalf?
Opinion 94-531 requires the judge’s nonremittable disqualification from medical liability cases involving that hospital.
Must a judge recuse when a litigant nursing home and the judge’s mother-in-law’s residence share a parent company?
Opinion 94-530 finds no disqualification from common ownership alone, but requires it if the mother-in-law has an interest that the case could substantially affect.
May a judge preside over the divorce of a couple whose marriage the judge solemnized?
Opinion 94-529 says the judge should not preside over that divorce because doing so would not promote public confidence in judicial integrity and impartiality.
Must every judge of a circuit recuse from a suit challenging judicial compensation?
Opinion 94-528 applies the rule of necessity where all state judges might be disqualified by a judicial compensation case.
Does joint ownership of property with a former law partner require recusal when that lawyer appears?
Opinion 94-527 says joint ownership alone does not disqualify the judge, while other circumstances could make impartiality reasonably questionable.
May a juvenile judge administer payments to a nonprofit whose board the judge serves on?
Opinion 94-526 rejects the combination of administering juvenile-court funds to the nonprofit and serving on its board, and says the judge should leave the board.
How did an injunction against a Birmingham political-activity ordinance affect municipal judges under Canon 2A?
Opinion 94-525 says Canon 2A requires compliance with the ordinance while enforceable, but a judge does not violate that Canon by running for nonjudicial office without resigning while the relevant…
Could a retired judge accept recognition through an endowed teaching chair funded by a former litigant?
The committee found no Code violation in the retired judge’s acceptance of the honor because the litigation was finished, the gift was unsolicited, and it did not reflect adversely on impartiality;…
A prospective client's information makes me suspect their other lawyer broke several rules, but the client won't consent to disclosure. Must I report the other lawyer under Rule 8.3?
The Panel concluded that because the information is confidential and protected by Rule 1.6 and the client refused to consent to disclosure, Rule 8.3(c) means the attorney is not obligated to report…
I may have to testify about a witness's inconsistent statements in my client's case. Must I withdraw, or can I keep working on the matter short of trial under Rule 3.7?
The Panel concluded that while Rule 3.7(a) bars a likely-necessary-witness lawyer from acting as trial advocate, it does not bar the representation entirely; the attorney may continue in…
My spouse is a clerk in the Bankruptcy Court with ministerial duties. If I am appointed a Chapter 7 bankruptcy trustee, does that create a conflict of interest under Rule 1.7?
The Panel concluded that, on these facts and consistent with Rule 1.7(b) and its prior opinions, the attorney's appointment as a local bankruptcy trustee would not give rise to a conflict under the…
Can I put up an 'attorney at law' sign at my brother's medical office building even though I don't hold office hours or practice law there?
The Panel concluded that placing a sign at an office location where the attorney does not practice law is misleading to the public under Rule 7.1, because a sign conveys that an attorney holds…
My new client's former lawyer let the case be dismissed by ignoring discovery. Must I report that lawyer to the disciplinary office, even though my client could lose the ability to collect on a malpractice claim?
The Panel concluded that if the attorney has knowledge of a rule violation raising a substantial question about the other lawyer's honesty, trustworthiness, or fitness, Rule 8.3 requires reporting,…
Could an Illinois judge who heard alcohol-related cases serve on a Victim Impact Panel board?
Yes. The Committee found the panel devoted to improving the legal system and concluded that the judge could serve as a board director on the stated facts.
Could an Illinois judge give a prosecutor information about a case the judge tried before taking the bench?
Yes. The Committee allowed the judge to provide case information for the retrial, but barred current legal advice or trial strategy under former Rule 65F.
Must an Illinois judge recuse when a nephew works at a party’s law firm but has no role in the case?
The Committee said the nephew’s mere firm affiliation did not require recusal; the judge had to assess whether the nephew had more than a de minimis interest that could be substantially affected.
Could a judge hear urgent juvenile cases when the prosecutor appearing before him was campaigning for his seat?
The Committee said the narrow rule of necessity could permit the judge to hear matters when no practical substitute was available, but it did not authorize him to hear every case involving his…
Can a lawyer secure a fee by taking a mortgage or security interest in a client's property that is unrelated to the matter being handled?
The opinion concluded yes; because the property is not the subject of the litigation, the lawyer may take a secured note if the business-transaction safeguards (fair terms, chance to consult…
When a lawyer mediates while staying 'of counsel' to a firm, must the mediator run conflict checks and disclose the affiliation, and does imputed disqualification apply?
The opinion concluded the of-counsel mediator must run conflict checks and disclose the firm tie when a party is connected to the firm, and that imputed disqualification reaches the firm and the…
Can an Ohio prosecutor offer to dismiss a criminal charge that lacks merit if the defendant signs a release of civil claims against the police and the city?
The opinion concluded that once a prosecutor concludes a charge lacks merit, offering to dismiss it in exchange for a release of civil claims is improper under DR 1-102(A)(5) and DR 7-105(A).…
Can salaried insurance-company lawyers collect insureds' deductibles and operate under an in-house law firm name?
The opinion concluded that salaried insurance-company attorneys may pursue subrogation claims for the insurer but may not also attempt to collect insureds' deductibles, and may not operate an…
May a Maryland judge remain a member of a private hunting and fishing club that excludes women?
No. The Committee concludes that this club’s sex-based membership exclusion is invidious discrimination under then-cited Canon 2C and undermines public confidence in impartiality under Canon 2A.
Can a lawyer tell a former client about a current client's alleged fraud that the lawyer learned about but has not verified?
No; the information is a client secret, so absent the client's consent a lawyer may not reveal an unsubstantiated alleged fraud, and may disclose only if the lawyer knows (not merely suspects) the…
Could a mental hygiene commissioner hear a guardianship case after serving as guardian ad litem for that person?
West Virginia JIC Opinion 1994-11 required disqualification because the commissioner’s prior guardian ad litem role raised impartiality concerns and gave personal knowledge of disputed facts.
Must a family law master recuse from cases begun while serving as child advocate and later cases with the same parties?
West Virginia JIC Opinion 1994-10 required recusal from cases the master initiated as advocate and subsequent Child Advocate Office actions involving the same parties.
Can a lawyer cite an unpublished, 'not for publication' opinion to a court, when the forum court has a rule prohibiting any reference to such opinions?
The opinion concluded that it is ethically improper under Model Rule 3.4(c) for a lawyer to cite an unpublished opinion to a court whose rules specifically prohibit referencing 'not for publication'…
A part-time City Court judge shares a law firm with a part-time assistant district attorney. What criminal and civil work can each of them, and the rest of the DA's office, take on?
The opinion concluded that because the part-time assistant DA cannot defend criminal cases anywhere in the state, the associated part-time judge (and the whole firm) is also barred from criminal…
Can a Michigan judge publicly endorse a judicial candidate by name in a campaign brochure or radio ad?
The opinion concluded that a judge may allow the judge's name and judicial title to be used in a campaign brochure and radio ad quoting the judge's endorsement of a judicial candidate, because MCJC…
Can a law firm agree, as part of settling a case, not to solicit other clients or share fees in the future on claims against the same opposing party?
The Committee concluded that both clauses violate Rule 5.06(b). A settlement term that restricts a lawyer's solicitation beyond what the rules and law already allow, or that bars the lawyer from…
Does a criminal defense lawyer have to correct a prosecutor's wrong statement in court that the defendant has no prior convictions, when neither the lawyer nor the defendant said anything false?
The Committee concluded the lawyer need not correct the prosecutor's mistaken statement and may remain silent, because neither the lawyer nor the client made a false statement and the client…
Can one lawyer represent both a driver and a passenger, or two injured co-plaintiffs, in a car-accident case, and what disclosures are needed?
The Committee concluded that joint representation of co-plaintiffs (such as a driver and passenger) is permitted under Rule 1.06(c) if the lawyer reasonably believes neither representation will be…
Can a lawyer who serves as a city commissioner defend criminal cases where the city's police investigated, were victims, or where the city judge issued the warrant, and can the lawyer's partner?
The Committee concluded that such representation creates a conflict under Rule 1.06(b)(2) between the lawyer's interests as a city commissioner and the client's interests, and the conflict is…
After serving as a mediator, can the lawyer or the lawyer's firm later represent one of the parties to the mediation, or take a matter against that party?
The Committee concluded a mediator is an adjudicatory official under Rule 1.11. During mediation the mediator may not represent for or against a party in any matter; the firm may do so only if 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.