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 judge serve on a Chamber of Commerce committee that promotes pro-business positions and supports the election of business-friendly candidates?
The opinion concluded that a judge may not serve on a legislative affairs and political action committee whose mission is to support pro-business interests through the media, before governmental…
When a lawyer moves firms, can he work against a client his old firm once considered, if he personally never learned anything about that client?
The opinion concluded a lawyer who moves firms is disqualified only as to matters about which he has actual knowledge of protected information; because this lawyer never represented or learned…
Can a legal aid office set up a panel of volunteer lawyers to take clients it has to turn away because of a conflict of interest?
The opinion concluded yes: an independent conflicts panel may represent eligible clients the office cannot take, the panel may share the office's malpractice insurance, and a board member of the…
Does a recycling ordinance excuse a lawyer from confidentiality duties, and how must a lawyer recycle paper that contains client confidences?
The opinion concluded that a lawyer must comply with a general recycling law but must still protect client confidences and secrets, screening papers and shredding or otherwise securing those that…
Can a D.C. lawyer practice in a firm organized as an LLP or LLC, and how must the firm name show it?
The opinion concluded that a D.C. Bar member may practice in the District as a partner or associate of an out-of-state firm organized as a registered limited liability partnership or limited…
Must a lawyer withdraw as an expert for plaintiffs whose unrelated lawsuit names a corporation represented by the lawyer's firm?
On the stated facts, the committee found no Rule 1.7 conflict requiring withdrawal as an expert. It said the lawyer should disclose the firm's representation to the plaintiffs and obtain their…
Does the advocate-witness rule apply in an arbitration, so a lawyer who may have to testify must consider withdrawing as the advocate?
The opinion concluded that an arbitrator or arbitration panel is a 'tribunal' under the Code, so the advocate-witness rule applies and a lawyer who ought to be called as a witness must withdraw as…
Can an Ohio judge appoint a lawyer who is employed by the judge's adult child, and must the judge then recuse?
The opinion concluded that a probate or juvenile judge may appoint an attorney who works as an associate for the judge's son if the appointment is merit-based and the son is not entitled to a share…
Can two Ohio law firms jointly run a 900-number legal advice line, and how can a firm advertise its own 900 line?
The opinion concluded that two law firms may not jointly operate a 900-number legal information line because the lawyers would be practicing law with more than one firm, but a single firm may…
Can a lawyer reveal a client's confidences in the client's bankruptcy case in order to collect unpaid fees?
The opinion concluded that under Rule 1.6(d)(5) a lawyer may reveal client confidences or secrets to collect a fee, but only where the disclosure is made in the course of a legal proceeding, is as…
Could a lawyer pay a suspended lawyer a referral fee for former tax clients, or employ her to help with their returns?
The committee rejected the proposed referral or fee split while the referring lawyer was suspended. It said she could instead receive a salary as a paralegal in the lawyer's office under direct…
Can a lawyer refuse to hand over a client's file until the client signs a receipt, and mail it instead?
The committee concluded that a lawyer may not condition release of the file on a signed receipt; the rule contains no such requirement, and where the client appeared in person and a limitations…
If a firm's associates serve case-by-case as special assistant district attorneys, is the whole firm disqualified from representing municipal clients before the county commissioners?
The opinion concluded no; the imputation rule (Rule 3.4(k)) does not apply to common employment in a government agency, so the associates' prosecutorial work does not impute the District Attorney's…
Can a firm represent a client against someone who once had a brief consultation with another lawyer in the firm on the same matter but disclosed no confidences?
Yes; a brief consultation that reveals no confidences or secrets does not create a client-lawyer relationship, and the firm may take the adverse matter as long as the duty to protect any information…
Can a law firm pay nonlawyer consultants a share of a success fee that flows through the firm from the client?
The opinion concluded that, with the client's full knowledge and prior consent, a law firm may agree that a success fee will be paid to both the firm and a nonlawyer consulting firm it retained, and…
When a California sole practitioner begins using additional attorneys (employees, contract lawyers, or outside firms) on a client matter, when is disclosure required, and when does Rule 2-200's written consent requirement for fee division apply?
The opinion concluded that disclosure of additional attorneys may be required under Rule 3-500 depending on the circumstances, including whether responsibility is changing, the new attorney is doing…
May a California attorney send a written communication addressed to the president, managing partner, or board of directors of a represented business organization, where delivery is made through the organization's attorney?
The opinion concluded that under former Rule 2-100, an attorney representing a client may communicate with a represented organization's president, managing partner, or board of directors through a…
Must assistant attorneys general assigned to a state department withdraw from defending the department's former head when the attorney general sues that former head?
The opinion concluded the assistant and deputy attorneys general assigned to the department face a non-consentable conflict and must withdraw from defending the former Commissioner, because the…
What duties does a Colorado lawyer selected and paid by an insurer owe to the insured when the insurer's interests or instructions diverge from the insured's?
The opinion treated the insured, not the carrier, as the lawyer's client and required undivided loyalty, confidentiality, communication, and independent judgment for the insured. Carrier control…
Can one lawyer represent the at-fault driver, the liability insurer, and the same insurer in its underinsured-motorist capacity in the same accident case?
No. The opinion concluded that the lawyer has a disqualifying conflict, because the UIM carrier's statutory subrogation rights against the at-fault driver make the driver's and the insurer's UIM…
After a conflict surfaces in a joint representation, can the lawyers refuse to give the former client her share of the joint file as privileged work product?
No. The opinion concluded that when lawyers jointly represented a nurse and a hospital as having the 'same interest,' the information lost its confidential character between them, so on termination…
Can a prosecutor and defense lawyer let a defendant tell the judge under oath there is no plea agreement when a plea deal was in fact negotiated?
No. The opinion concluded that letting a defendant falsely deny a plea agreement and signing a transcript that hides it violates the bar on dishonesty and the bar on using false testimony; a…
Can a lawyer let the bank 'link' a trust account and a business account so that credits and service charges offset across both?
The opinion says linking could create ethical problems if credits and charges are not accounted for independently. With the two accounts linked as described, their separate interest and charges…
What can a lawyer do with a client's uncashed trust-account refund check, and can the lawyer set a fixed criminal-defense fee from the leftover after paying fines and costs?
The opinion concluded that a lawyer may not stop payment on an uncashed refund check and give the money to charity without the client's consent; the lawyer must try to reach the client and, failing…
Can a lawyer pay another lawyer outside the firm a share of the fee just for a referral, when that lawyer did no work and the client never agreed?
The opinion concluded that lawyers not in the same firm may divide a fee only if the split is proportional to the work each did, or the client agrees in writing, each lawyer assumes joint…
Can a law firm pay a paralegal a monthly bonus calculated as a percentage of the fees from the closings the paralegal worked on?
The opinion concluded that the firm may not pay the paralegal a bonus calculated as a percentage of the legal fees the firm receives from matters the paralegal worked on, because that is sharing…
Can a law firm host a hospitality suite before a state bid letting and invite both existing clients and non-client contractors it knows will attend?
The opinion concluded that a firm may host a hospitality suite for its existing clients, because Rule 2.4 does not bar contact with existing clients, and may also invite non-client contractors it…
Can a lawyer put a clause in a contingency fee agreement requiring the lawyer's consent before the client settles the case?
The opinion concluded that a lawyer cannot divest a client of the exclusive authority to settle, because Rule 7.1(c)(1) requires the lawyer to abide by the client's decision whether to accept a…
Can one lawyer represent an estate's executor and both the family trust and the charitable trust it must pay, and what happens if the family trust later defaults?
The opinion concluded that, with no default, there is no disqualifying conflict, so the lawyer may represent the executor, the family trust, and the charitable trust under Rule 5.1(b). If the family…
Must a lawyer withdraw from defending an estate when the lawyer will likely be called to testify about assurances he allegedly gave a claimant?
The opinion concluded that the lawyer is disqualified and may not continue defending the estate, because his testimony will be necessary on disputed facts, especially whether he assured the claimant…
Can a lawyer serve as a party-appointed arbitrator when one of that lawyer's law partners represents a party to the arbitration?
The opinion concluded that a lawyer should never serve as an arbitrator in a case in which his or her partner represents one of the parties, in order to avoid even the appearance of impropriety. The…
Can a lawyer contact a city employee, manager, or council member directly about a matter when the city is generally represented by the city attorney?
The opinion concluded that a lawyer may contact a government employee or the city manager about a matter where the lawyer has received no notice that a government lawyer is participating in that…
Can defense counsel and a prosecutor ethically agree to a plea deal in which the defendant waives all appellate and postconviction rights?
The opinion concluded that lawyers may execute a lawful plea agreement waiving appellate and postconviction rights, except to the extent the agreement purports to waive remedies based on ineffective…
Can I advertise on a hotel-lobby wall display that shows my name, address, and general-practice notice and has a phone that dials my office directly?
The panel advised that Rule 7.2 applies and that communicating the firm's name, address, and telephone number in this way is permitted under the Rules as long as the attorney follows the guidelines…
I'm a state lawyer working on a matter. Can I send a job application to a firm that was involved as counsel in that same matter?
The panel advised that Rule 1.11(d)(2) prohibits a lawyer serving as a public officer or employee from negotiating for private employment with any person who is a party or attorney for a party in a…
I'm a part-time municipal solicitor who also has a private firm. When my firm's private client sues the town, can an assistant solicitor I supervise represent the town?
The panel advised that, by analogy to Rule 1.11 and under Rule 1.10, it could not conclude the inquiring solicitor was effectively screened from the matter when the only person to whom he could…
Did Maine’s former judicial code allow court participation in a bar foundation funded judicial education project?
Yes. A committee majority found the project permissible under the judicial Code because funding benefited the court system professionally, while acknowledging a separate bar ethics opinion…
Can an estate-planning lawyer hire a financial planner to inventory assets, explore options, and witness documents for the lawyer's clients?
The opinion concluded that yes, an estate-planning lawyer may retain a financial planner, with the client's knowledge and consent and at a reasonable fee, provided the arrangement complies with SCR…
Can a prosecutor talk to an unrepresented criminal defendant about the case after charges are filed but before the first court appearance?
The opinion concluded that yes, a prosecutor may discuss the case with an unrepresented criminal defendant after a formal prosecution has begun by the filing and service of a summons and complaint…
Can a lawyer knowingly file a small-claims action in a venue chosen only to embarrass, delay, or burden the other side?
The opinion concluded that no. The committee held that knowingly commencing a legal proceeding in an improper venue primarily to burden the defendant violates SCR 20:4.4, which prohibits using means…
When may a lawyer or law firm use the 'of counsel' title, and what conflicts does the relationship create?
The opinion concluded that, adopting ABA Formal Opinion 90-357, a lawyer or firm may use 'of counsel' (or variants such as 'counsel,' 'special counsel,' or 'senior counsel') only when the…
Could a lawyer represent a plaintiff against two defendants when one was the lawyer's distant relative?
The opinion allowed the representation if the lawyer fully disclosed the relationship to the client in writing and obtained the client's written consent.
Could a lawyer represent a husband after declining to discuss his wife's earlier divorce inquiry?
The opinion said yes if the lawyer had obtained no information from the wife that would be confidential under Rule 1.6.
Could a defense lawyer continue a city-offense case after becoming city attorney?
The opinion found a conflict if city-attorney duties involved prosecution or police advice; resignation could cure it only if no related city-role confidences were obtained and the criminal client…
Could a lawyer share profits with a nonlawyer from a separate corporation selling legal-topic videos?
The opinion said general-public legal-topic audio or video production was not law practice, so the proposed profit split would not violate Rule 4-5.4.
Could a lawyer call or approach prospective clients in person to offer different fee arrangements?
The opinion said no: Rule 4-7.3(b)'s three narrow personal-solicitation exceptions did not cover those prospects, so the direct contact would violate the rule.
Could an estate-planning agent cure a confidentiality problem by collecting a client's waiver before taking information?
The opinion said no: a lawyer should explain the consequences before encouraging waiver, and having the agent obtain it without the lawyer present would further unauthorized practice.
Could an insurance agent collect estate-planning information and deliver and help execute a lawyer's documents?
The opinion identified apparent in-person solicitation, unauthorized practice by the agent and lawyer assistance, and confidentiality problems from delivering documents through an unsupervised agent.
Could a law firm partnership reorganize as a limited liability company under the then-pending rule changes?
The opinion said yes, after changes to Rules 4-5.4 and 4-9.1 took effect on January 1, 1994.
Could an unlicensed out-of-state lawyer prepare Missouri clients' estate documents through a Missouri lawyer, and could lawyers join general seminars?
The opinion found unauthorized Missouri practice by the out-of-state lawyer and prohibited the Missouri lawyer's assistance, but allowed seminar participation if no specific legal advice was given.
Could a lawyer pay a marketing firm a monthly fee plus an amount for each inquiry call?
The opinion found no violation where the per-call fee applied regardless of whether legal business resulted, provided there was no direct personal or telephone solicitation.
How did this historical opinion assess contact with an unrepresented former employee or independent contractor of a represented corporation?
The opinion applied the then-current Rule 4.2 function test to former employees and contractors; an official note warns that Rule 4-4.2 and its former-employee comments have changed substantially…
Could a lawyer jointly represent a boat driver and passengers after learning the driver had been drinking?
The opinion found a Rule 1.7(a) conflict and said it could not be waived under Rule 1.7(a)(1).
Could a lawyer working in a nonlawyer government investigation role interview a represented subject directly?
The opinion said Rule 4-4.2 did not apply if the lawyer was not practicing law or representing a client, but lawyer-directed contact would be barred through Rule 4-8.4(a).
Could a part-time assistant city attorney defend county circuit-court criminal cases?
The opinion allowed the defense except for cases arising from the city or involving city police.
Could a prosecutor continue representing an estate facing a Social Services Medicaid reimbursement claim?
The opinion found a conflict and required the prosecutor to withdraw from the probate case.
Could a lawyer solicit prospective clients through direct mail?
The opinion answered yes in principle but said Rule 7.3(c) prohibited the communication in some circumstances, without identifying those circumstances.
Could a lawyer likely to testify at trial still conduct discovery and argue pretrial motions?
The opinion said yes despite the lawyer's deposition, but said the lawyer should refrain from discovery and motion argument relating to the lawyer's veracity.
Did a joint law-offices advertisement make office-sharing lawyers one firm for a GAL conflict?
The opinion said yes: the advertisement implied a firm relationship, so the two lawyers were treated as one firm for conflicts, including imputed disqualification.
Could a lawyer mail accident-report prospects and charge a monthly fee for employee drivers' traffic cases?
The opinion generally allowed the mailings subject to Rule 4-7.3(c), especially subsection (c)(1), and found no Rule 4-1.5 violation in the monthly fee, while flagging Rule 4-1.8(f) if the employer paid.
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.