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 municipal court deputy bailiff privately own a business that evicts tenants for landlords for a fee?
The opinion concluded that it is improper under Ohio Ethics Law for a municipal court deputy bailiff to privately own a business that evicts tenants for landlords for a fee while serving the court.…
Can a lawyer for an adverse party speak ex parte with a corporate party's employees, and must those employees have their own counsel first?
The opinion concluded that an adversary's lawyer may communicate ex parte with an organization's employees if the organization's attorney consents; the employees are not required to have independent…
Can a lawyer skip a client trust account by paying the client from the operating account and depositing settlement proceeds there?
The opinion concluded that a lawyer may not avoid a trust account by paying the client's share out of the operating account and then depositing all settlement proceeds into that operating account;…
Must a judge recuse when a lawyer opposing the judge for reelection appears in court?
The Committee said the judge should disqualify from all cases in which the announced lawyer-opponent appeared.
Can a lawyer team up with a real estate broker to represent homeowners in tax-grievance proceedings if the lawyer just doesn't tell anyone he's a lawyer?
The opinion concluded no: representing homeowners in tax-review proceedings is the practice of law, so a lawyer may not affiliate with a nonlawyer to do it, and hiding the lawyer's status to evade…
Can a lawyer run a nonlaw business that sends nonlawyer agents door-to-door selling will and trust forms and consulting with buyers?
No; the scheme risks the unauthorized practice of law by the agents, prevents the lawyer from protecting confidences and screening conflicts, violates the ban on in-person solicitation, and likely…
Can a lawyer refer law clients to a financial-planning business the lawyer owns, and take legal-work referrals back from it?
Yes, if the lawyer discloses the ownership interest, complies with the business-transaction rule, lets the client seek other providers and independent counsel, and keeps independent judgment; but…
Can a lawyer pay a nonlawyer referral business a percentage of the recovery for sending clients, or a set fee instead?
No to both, on these facts. The opinion concluded that paying a nonlawyer a percentage of the recovery for referrals is improper fee-splitting with a nonlawyer and compensates a nondelegable…
Do fee-arbitration committee members have to report a lawyer's misconduct they learn about, and does the lawyer's joining arbitration affect that?
The opinion concluded that fee-arbitration committee members who conclude, to a substantial degree of certainty, that a lawyer's conduct violated the rules and raised a substantial question about…
Must a New Jersey lawyer who withdrew from a case disclose to the court that a former client or a witness may have testified falsely?
The Committee concluded the withdrawn lawyer had no obligation to disclose, because the client's confidences were protected by RPC 1.6, the information was not unequivocal, and in a quasi-criminal…
When could a child support enforcement investigator who was also a private lawyer represent parents in support matters?
The committee could not decide the proposed representations on the facts supplied. It identified checks for personal government participation, actual knowledge of confidential government…
When a lawyer serves as a neutral arbitrator or mediator, do the ethics rules require keeping the case files for any set period or notifying the parties before destroying them?
No; because a neutral arbitrator or mediator is not engaged in a representation, the rules' record-retention provisions do not apply, so they impose no specific retention period or notice duty on…
When a lawyer works for a state agency, is the client the agency itself or its individual officials and employees?
The agency. The opinion concluded that a staff attorney for a state administrative agency represents the agency as a discrete entity under Rule 1.13, owing confidentiality to the agency as a whole…
What must a lawyer do after receiving an opposing party's privileged documents that were sent by mistake?
The opinion concluded that an attorney who receives confidential documents of an adversary through an inadvertent release is ethically obligated to promptly notify the sender of the receipt, leaving…
Can a government agency's in-house lawyer tell opposing counsel and an administrative law judge that the agency has jurisdiction when the lawyer knows there is no factual basis for it?
The Committee concluded that knowingly misrepresenting a factual basis for jurisdiction violates Rule 3.03 (candor to a tribunal), Rule 3.01 (no frivolous position), and Rule 4.01 (truthfulness to…
Can a lawyer represent a wife in a divorce when the husband had a brief paid consultation with the same lawyer about divorcing her years earlier?
The Committee concluded the lawyer is disqualified. An attorney-client relationship existed from the husband's paid 1986 consultation (the confidentiality duty can attach to one who sought to employ…
Can a Texas lawyer form a limited liability partnership with nonlawyer professionals like engineers and accountants to share revenue from common clients?
The Committee concluded a lawyer may not. Rule 5.04(b) bars forming a partnership with a nonlawyer if any of the partnership's activities is the practice of law, and Rule 5.04(a) bars sharing legal…
Can a lawyer let a creditor use the lawyer's letterhead for debt-collection letters when the lawyer has little involvement with the accounts?
The Committee concluded that using a lawyer's stationery for collection is not improper per se, but the lawyer must exercise independent professional judgment on each account: review the debtor's…
Can a personal-injury lawyer charge interest on loans to clients, refer clients to his own loan company, and co-own medical facilities his clients use?
The Committee answered all of the questions in the affirmative, but only on the narrow facts and only if none of the cited rules, comments, or prior opinions is violated. The arrangements implicate…
If a jointly defended co-defendant turns hostile and hints he may change his testimony, can the firm share his recorded statement with the other parties, and must it withdraw?
The Committee concluded the firm may not disclose the former client's transcript to the insurer, the insured, or the other ex-employee. Only if the client actually moves to commit perjury may the…
May a municipal judge teach law courses at a police academy whose graduates may later appear in court?
Opinion 94-515 permits law-related teaching at a police academy and says the students’ later appearances as officers do not alone disqualify the judge.
May a judge accept a smoked turkey from a lawyer practicing in the judge’s circuit?
Opinion 94-514 permits a lawyer’s gift only when it does not suggest expected judicial favor or create an appearance of impropriety, requiring a case-specific assessment of the gift, timing, and…
How do family ties among judges, lawyers, and a court reporter affect disqualification and temporary reporter assignments?
Opinion 94-513 disqualifies one judge from the related lawyer’s firm cases subject to Canon 3D remission, finds no automatic disqualification for another judge merely because his reporter married…
May a judge hear even routine matters when the judge’s son represents a party?
Opinion 94-512 says the judge should not hear or rule in any such matter without an on-record waiver from all parties and counsel, and should not appoint the son as guardian ad litem or…
May a divorce lawyer use a contingent fee to collect spousal support arrearages already awarded by a court?
The committee said Rule 1.5(d)(1)'s domestic-relations contingent-fee ban did not apply to post-divorce collection of court-awarded spousal support arrearages. The arrangement remained subject to…
When a law firm employs a nonlawyer lobbyist, are the lobbyist's communications with lobbying clients protected as confidences even if those clients never get legal services?
A firm must make reasonable efforts to protect the lobbyist's client communications to the same extent as lawyer-client communications, because confidentiality duties attach to a firm's nonlawyer…
When opening a client trust account, does a lawyer have to shop around for the bank with the best interest rate and lowest fees?
A lawyer must use reasonable care, as any fiduciary would, to select a bank with favorable rates and minimal fees on client trust accounts, but is not required to continually search for the single…
Does a bankruptcy debtor's lawyer have to handle a later adversary proceeding, and what must the lawyer do on learning the petition contained false information?
An adversary proceeding falls within the representation unless the agreement unambiguously excludes it, and if the lawyer learns petition information is false and the client won't correct it, the…
Could an Illinois judge ride in a children’s civic parade while wearing judicial robes?
Yes. The Committee approved participation in the nonpartisan, non-demeaning career parade and found no violation of the former Code.
Could an Illinois judge serve without pay as legal adviser to a social organization?
No. The Committee treated unpaid legal counseling as practicing law, which former Rule 65F barred, and noted that former Rule 65B permitted only nonlegal advisory roles.
Does Alabama follow ABA Formal Opinion 93-379 on how lawyers may bill for fees, disbursements, and expenses?
The opinion concluded that ABA Formal Opinion 93-379 correctly states the rule for Alabama lawyers on billing for professional fees, disbursements, and other expenses, and it incorporated that ABA…
Should a sentencing judge testify at the sentenced prisoner’s parole hearing?
The Committee suggested declining the Prisoner Review Board’s request, while saying the public-comment rule’s application to such testimony was arguable.
Can a title company owned by a bank prepare closing documents and charge for them using in-house attorneys, and have nonlawyer branch staff conduct the closings?
The opinion concluded that legal documents may be prepared only by or under the direct supervision of licensed attorneys, but if the company charges for that legal work it engages in the…
When a former client asks for the file, does the lawyer have to hand over the lawyer's own title notes, and can the lawyer charge for copies of documents the client already received?
The opinion concluded that a lawyer's personal title notes are work product the lawyer need not release, and that the lawyer may charge a former client for additional copies of documents already…
Can the lawyer appointed to represent a minor in a friendly suit to approve an injury settlement be paid directly by the defendant's liability insurer?
Yes. The opinion concluded that Rule 5.6 lets a lawyer be paid by a third party such as the liability insurer if the client consents after full disclosure, the lawyer's independent judgment is not…
Can a firm with an hourly-rate fee contract raise its rates during the engagement without getting the client's consent to the increase?
The opinion declined to construe the fee contract as a question of law, but held that a lawyer may renegotiate a fee for changed circumstances or good cause without abandoning or threatening to…
Can lawyers settle a patient's civil claim against a therapist on the condition that the patient agree not to report the therapist to the licensing board?
No. The opinion concluded that it is unethical for either party's lawyer to take part in resolving a civil claim of a therapist's sexual misconduct where the settlement is conditioned on the…
Can Michigan lawyers organize their firm as a professional limited liability company, and what must they call it and disclose to clients?
The opinion concluded lawyers may form a professional limited liability company whose name must contain 'Professional Limited Liability Company,' 'P.L.L.C.,' or 'P.L.C.'; the form does not limit the…
Can a lawyer who handled a man's first divorce later represent his second wife against him in their divorce, where both involve child-custody issues?
Not without the former client's consent. The opinion concluded the two divorces are substantially related, so Rule 1.9 disqualifies the lawyer from representing the second wife against the former…
Can a lawyer suing a government agency present the client's settlement position directly to the agency's governing board without the agency lawyer's consent?
No. The opinion concluded that an attorney representing a party may not communicate about pending litigation directly with a government official or body having decision-making authority over that…
May a candidate for judicial appointment seek endorsements beyond the people listed in the nominating commission application?
The Committee said a candidate could seek support or endorsements from people beyond those named in the judicial nominating commission’s application materials.
Can a law firm let clients pay legal fees by borrowing from an independent finance company that pays the firm at least 90% of the amount borrowed?
The Committee concluded the arrangement is not prohibited and is a finance arrangement, not fee-splitting, because the finance corporation neither solicits clients nor performs legal services, so…
When a California law firm dissolves and holds closed-matter files for years-old former-client matters with no agreement governing disposition, must the firm attempt to notify former clients before destroying the files, and what minimum retention period applies?
The opinion concluded that the dissolved firm must use all reasonable means to contact former clients about retrieving their files. After diligent notice with sufficient time elapsed, the firm may…
In Kentucky, may a lawyer or firm that does civil contract work for a city department defend criminal cases arising in that city?
Yes. The opinion concluded that occasional civil contract work for a city, unlike serving as the city attorney, does not by itself disqualify a lawyer or firm from criminal defense in that city,…
In Kentucky, may a lawyer referral service require member attorneys to document the total settlement in contingency cases, and may attorneys comply?
Yes to both. The opinion concluded the referral service may require truthful fee reporting and verification, and lawyers may comply, subject to honoring client-consent obligations and any…
Can an estate-planning lawyer hire nonlawyer financial planners as contractors to gather client data and help prepare documents?
The opinion concluded that an estate-planning lawyer's use of nonlawyer financial planners and investment advisors as independent contractors, paid hourly to give free consultations gathering data…
Can a lawyer represent someone who decides to hire the lawyer after attending the lawyer's seminar presentation?
The opinion concluded that yes, a lawyer may accept as a client a person who chooses to consult the lawyer as a result of attending the lawyer's presentation at a seminar or other educational or…
Can a law firm mail written invitations to a law-office open house to local business owners it has no prior relationship with?
The opinion concluded that yes, a firm may send written invitations to a law-office open house to members of the public, including neighboring business owners. Relying on Shapero v. Kentucky Bar…
If a lawyer raises the hourly rate on a referred case so the increase can be paid to the referring lawyer, must the client be told?
The opinion concluded that yes, in every case the client must be told that the receiving lawyer's hourly fee was increased because of the referral. The committee treated the arrangement as a…
When does a lawyer's duty to tell the court about directly adverse controlling authority end?
The opinion concluded that the duty under SCR 20:3.3(a)(3) to disclose directly adverse legal authority from the controlling jurisdiction continues until disclosure would no longer be useful to the…
Could a county prosecutor represent the county commission when the sheriff sued it?
No. The opinion found a conflict that could not be waived because the dispute involved governmental entities and officials.
Did a Social Security contingent-fee ad need Rule 4-7.2's expense disclaimer when clients would not owe expenses after an unsuccessful case?
Yes. The opinion required the rule's disclaimer despite that arrangement and allowed an additional explanation of Social Security law and the client's actual expense obligation.
Could a lawyer call someone referred by a financial planner who received no referral payment?
The unpaid referral raised no Rule 4-7.2(c) problem, but under Rule 4-7.3(b) the opinion said the referred client should initiate contact with the lawyer.
What client information could a firm disclose to an agency collecting delinquent legal fees?
Names, addresses, amounts due, and service descriptions were generally disclosable unless clients reasonably expected confidentiality. File contents and other client information were disclosable…
Could one lawyer keep traffic and injury clients from the same incident if they consented?
Yes, at the negotiation stage after full disclosure and both clients' consent. If suit would put them on opposite sides, the lawyer had to withdraw from both unless both consented to continued…
Could injury counsel contact a defendant directly about a coverage case while that defendant had counsel in the underlying tort case?
Yes, while the defendant remained unrepresented in the declaratory-judgment action. Rule 4-4.2 would apply once counsel was retained for that case, even before an appearance was filed.
Could a former judge returning to law practice state retired-judge status on cards or letterhead?
Yes under this lawyer-ethics opinion. It expressly declined to decide the Code of Judicial Conduct question and directed inquiry to the judicial commission.
Did former status alone permit ex parte contact with an opposing party's employees under this historical opinion?
No categorical answer followed from former status alone. The opinion applied Rule 4-4.2's comment and Pitts rather than a current-versus-former distinction; the official page warns that guidance…
Could trial counsel contact former jurors and ask them to sign an affidavit?
The opinion identified no professional-rule ban on the contact. It said jurors had no duty to speak or cooperate and warned against conduct or questioning that might be viewed as harassment.
Did prior representation of an opposing party create a conflict in a new case?
Under Rule 4-1.9(b), the opinion found a conflict if the lawyer obtained information during the earlier representation that could be used to the former client's detriment in the new case.
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.