Legal Ethics Opinions
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Can a lawyer advance a client's litigation costs to pay for a medical examination or for medical treatment?
The committee agreed RPC 1.8(e) is the governing rule, and noted that advancing costs for an examination would be permitted while advancing costs for treatment would be prohibited, but said it could…
Can a lawyer dun delinquent clients under fictitious agency names, and can a lawyer use 'mediation' to jointly handle both spouses in a divorce?
The committee concluded that collecting fees under fictitious names such as 'Legal Audit Services' or 'Bureau of Legal Economics' would violate RPC 7.1(a) and/or RPC 8.4(c), and that, on the facts,…
Can a criminal defense lawyer on leave of absence from a public defender agency accept assigned cases referred from that same agency?
The committee concluded the lawyer may take assigned cases from the public defender agency to the degree the cases are unrelated to the agency and there is no co-defendant or necessary witness…
May a lawyer disclose that a bankruptcy client failed to list life-insurance proceeds, or is the lawyer bound by confidentiality?
The committee concluded the answer turns on whether the nondisclosure is a crime and, if so, whether it is completed or continuing: a completed (past) crime may not be disclosed without consent…
When may a lawyer advance funds to a client or make a gift to a client, and may a lawyer argue that a witness is not credible?
As summarized, the committee concluded a lawyer may advance funds to a client when no litigation is pending or contemplated, may make a gift to a client during litigation, and may argue that a…
Can a lawyer run a law firm and a public accounting (CPA) business at the same time and serve the same client through both?
The committee concluded the RPCs do not prohibit jointly operating a law firm and a CPA business, but said that when providing both services to the same client it is unlikely the lawyer could…
If a lawyer is mistakenly given an opinion letter that opposing counsel wrote to his own client, can the lawyer disclose it?
The committee was of the opinion that if disclosing the inadvertently received opinion letter would be beneficial to the lawyer's own client, the lawyer may disclose it. The WSBA has since marked…
Can a lawyer who bought an escrow company bring deed-of-trust foreclosures for that company's clients, and is a release-of-conflict form enough to cure the conflict?
On the specific facts, the committee said it might hypothetically be possible to handle one foreclosure where the escrow company merely collects payments without violating the conflict rules, but…
Is there a conflict of interest when the same lawyer prosecutes criminal charges and brings civil forfeiture proceedings?
The committee concluded there is no conflict of interest in the same lawyer bringing both the criminal prosecution and the civil forfeiture proceeding.
Can a lawyer take on an insurance company as a client while representing a current client who, as a bail bondsman, failed to pay funds owed to that insurer?
The committee concluded there is a substantial probability that representing the insurance company would be materially adverse to the current client who owed it money as a bail bondsman, and would…
If a current and a former client both consent to waive a conflict of interest, is there still a conflict, and must the consent be in writing?
The committee concluded that because the parties had consented to waive any conflict, no conflict is presented, but noted that RPC 1.7 requires the consent be written consent as that term is defined…
Can a lawyer take a contingent fee representing a client who was assigned a lawsuit on a contingent fee basis, and can the lawyer share the fee with the assignee?
The committee concluded the lawyer could accept the contingent fee, but could not share the fee with the assignee; it did not address other legal questions such as the assignability of the claim or…
Can a lawyer's office sign list 'Notary Public' or an area of practice such as immigration?
The committee concluded there is no prohibition against listing Notary Public or a general practice area such as immigration on an office sign, so long as it does not misrepresent the lawyer's…
Can a lawyer give real estate agents gift certificates as thanks for referring closings, and can the lawyer give certificates to buyers and sellers?
The committee concluded that giving real estate agents $25 restaurant gift certificates for referring closings, or giving them to a buyer or seller for designating the lawyer as closing officer,…
Can a law firm run an advertisement seeking a joint-venture partner to bid together on public-sector legal-services contracts?
The committee concluded nothing in the RPCs would prohibit the firm's advertisement seeking a joint-venture partner, but said it did not have enough facts about the joint ventures themselves to…
Can one lawyer serve as both guardian ad litem and guardian of the estate for the same ward, and must the lawyer keep serving if the inconsistency surfaces?
The committee concluded that while serving as both guardian ad litem and guardian at the same time may be inconsistent, RPC 1.15(c) obligates the lawyer to continue in those positions if ordered to…
Can a full-time state-college faculty member represent private clients bringing civil claims against other state colleges or universities?
The committee concluded the faculty-member lawyer could undertake such representation only if able to comply with RPC 1.7(b), and pointed to ABA Informal Ethics Opinion 84-1508 as addressing the issue.
Can in-house counsel use letterhead that does not include the name of the employer?
The committee concluded it made no difference what letterhead in-house counsel used, so long as the lawyer did not mislead recipients of the letters about whom the lawyer was representing.
Can a staff attorney share client confidences with the nonlawyer executive director of the agency that employs her?
The committee concluded that, unless the client consented, a staff attorney's sharing of confidences or secrets with the nonlawyer executive director of her employing agency would violate RPC 1.6,…
After withdrawing from work that aided a nonlawyer business's unauthorized practice, can a lawyer accept referrals of that business's clients as the business shuts down?
The committee concluded the lawyer could represent clients previously handled through the nonlawyer business, so long as the lawyer's personal interests did not conflict with the current clients and…
Can a lawyer run an immigration-services business that shares offices with the law practice and refers customers to the lawyer?
The committee identified a potential for assisting the unauthorized practice of law and RPC 7.3(a) solicitation concerns if the business referred clients, and said the lawyer would need separate…
After a lawyer has withdrawn from a case, can the lawyer sign a proposed court order on the former client's behalf at the judge's request?
The committee unanimously concluded that because the lawyer had withdrawn as the father's counsel, the lawyer had no authority to sign the proposed order.
If a lawyer finds opposing counsel's left-behind notes showing a violation of a court discovery order, must the lawyer tell the court?
The committee unanimously concluded the lawyer should first make sure that disclosing the note pad information would not prejudice the lawyer's own client in violation of RPC 1.6, and assuming no…
Can a lawyer sell a law practice including its goodwill, and are restrictive covenants allowed as part of the sale?
The committee unanimously concluded there is no per se prohibition on selling a law practice including goodwill, provided the seller protects client confidences, informs clients of the sale and of…
Can a lawyer pay a community welcome program to hand new families a gift bearing the lawyer's name and address?
The committee unanimously concluded the lawyer may participate in a 'Friendship Basket' welcome program, paying a fee and donating a gift with the lawyer's name and address, as long as the program's…
When lawyers in different firms divide a fee, what does 'joint responsibility' require, and can one lawyer pay another a referral fee?
The committee concluded that 'joint responsibility' under RPC 1.5(e)(2) means legal liability for seeing that the client's work is competently performed, and that RPC 7.2(c) prohibits referral fees.
May a lawyer represent several former lawyers for the same defendant in separate suits against that defendant?
The committee concluded the lawyer should decline the representation in both scenarios, because the prospective clients, as the defendant's former counsel, are bound by RPC 1.9(b) not to disclose…
Does the lawyer-as-witness rule bar a prosecutor's office from trying a case in which another lawyer from that same office will be a necessary witness?
The committee concluded RPC 3.7's bar on a lawyer acting as advocate where another lawyer in the same firm is a necessary witness does not apply to a prosecuting attorney's office, because that…
Must a lawyer admitted in both California and Washington add Washington's specialty disclaimer when listed as a certified specialist in a California directory or on a California business card?
The committee concluded a dual-admitted lawyer's listing as a certified specialist in a California directory does not require the RPC 7.4(b) disclosure, and a business card showing only the…
Is it an unethical referral fee for a lawyer to include a donation to an advocacy organization in the price of a legal-information product the lawyer sells?
The committee concluded that including a $5 donation to an advocacy organization in the sale price of a lawyer-prepared child-support videotape is not an unethical referral fee, because what the…
Can a contingent fee agreement pay the greater of a percentage or a flat fee, and can it bar the client from settling unless the settlement covers attorney's fees?
The committee concluded a greater-of percentage-or-flat-fee contingent provision is permissible, but a clause barring the client from settling unless the settlement included a reasonable fee might…
Can a lawyer advise and litigate for a corporation that buys personal injury claims and bills the lawyer hourly while the corporation controls settlement?
The committee unanimously concluded the proposed arrangement, in which a corporation took assignments of injury claims and the lawyer represented the corporation as assignee while it controlled…
Can an out-of-state lawyer form a Washington partnership, and must the firm letterhead show that the lawyer is not admitted in Washington?
The committee said the partnership itself would not necessarily violate the rules, but the lawyer's letterhead violated RPC 7.5(d) because it did not indicate the jurisdictional limitation…
Can a lawyer create falsified judgment and sentence orders to help imprisoned sex offenders?
The committee unanimously concluded that creating a falsified judgment and sentence document, however well-intentioned, violates RPC 4.1's prohibition on false statements of material fact to a third…
Can a lawyer withdraw from prosecuting a client's appeal when the lawyer believes the appeal is imprudent, and can a fee contract bar the client from settling?
The committee concluded a lawyer may withdraw from an appeal under RPC 1.15(b)(3) if the lawyer honestly and reasonably believes prosecuting it is imprudent, but a contract clause requiring…
Can a lawyer pay part of a consultation fee back to a nonprofit lawyer referral service that sent the client?
The committee concluded the proposed fee split with a not-for-profit lawyer referral service is allowed under the rules so long as the service becomes 'duly authorized' as RPC 1.5(e) requires.
Was the zip-code Injury Helpline television advertisement a prohibited lawyer referral service under Arizona Opinion 01-93?
Opinion 01-93 treated the described program as group advertising, because an answering service matched callers to participating lawyers solely by ZIP code without screening or recommending. It…
May lawyers contribute to, or solicit donations for, a foundation fund that makes an annual grant to the judiciary for judicial education?
The opinion concluded no; contributing to or soliciting for a fund that grants money to the Judicial Department is an indirect gift to judges barred by Rule 3.7(h)(1), regardless of motive or donor…
May a lawyer serve on the board of directors of a nonprofit corporation that, among other things, provides legal services to indigents?
The opinion concluded yes; serving as a director of a nonprofit, nonproprietary corporation whose property and activities do not inure to its directors does not violate the rule barring…
Must a judge recuse after opposing counsel associates former partners of a deceased lawyer who gave the judge money?
Opinion 92-465 found no disqualification on the stated facts, where the former partners threatened to sue over the money and joined a pending case after a year. It found no further Canon 6…
If a lawyer learns that a client's sworn pleadings and discovery answers are false, and the client refuses to correct them, what must the lawyer do?
The lawyer must counsel the client to rectify the false statements; if the client refuses, the lawyer must rectify them, and withdrawal does not end that duty once a false material statement has…
Can a judge sentence a defendant to attend an outside educational or rehabilitative program or perform community services, and require a program fee?
The opinion concluded that it is not unethical for a judge to offer attendance at a program or performance of services as a sentencing alternative, provided the alternative is service or attendance…
When a California law firm undertakes joint representation of co-defendants, may it seek the parties' advance informed written consent to later representing one client adversely to the other if a conflict materializes?
The opinion concluded that an advance written waiver in a joint representation is not per se prohibited, provided (1) the lawyer can jointly represent both clients competently and (2) both clients…
Could the lawyer mail similarly situated judgment debtors about a judgment he had obtained for a client?
The committee said North Dakota Rule 7.1 permitted direct mail, but asked the lawyer to remove a named law firm and a prediction of success from the proposed letter. It did not endorse or verify the…
May two lawyers in the same firm separately represent spouses in an agreed default divorce involving custody and support?
The committee concluded that the firm should not proceed with both spouses' representation on the stated facts because of the likelihood of adversity. The firm should withdraw from one or both…
Could a lawyer destroy or release a disputed bill of sale after one transaction party objected?
On limited facts, the committee said the lawyer was not bound by a request to destroy the file and should retain it. It said a copy should not be released contrary to the party's direction without…
May an Alabama judge teach and own a continuing-education seminar business for engineers and surveyors?
Opinion 92-464 says the proposed seminars and ownership interest do not violate the Canons if the judge honors the stated limits on impartiality, judicial duties, dignity, and exploitation of…
May a judge receive a pretrial release staff report about an alleged violation and issue an arrest warrant?
Opinion 92-463 rejects an informal staff report as a basis for the warrant but permits an ex parte warrant procedure based on a sworn complaint and probable-cause finding. The Commission did not…
Does a judge’s spouse working for a city-county library require recusal from cases involving the city?
Opinion 92-462 says the spouse’s library-director job and city payroll alone do not disqualify the judge in city cases. Recusal is required if the spouse has an interest that could be substantially…
Must a judge recuse when a company in which the judge owns a small interest would be paid only if plaintiffs win?
Opinion 92-461 found the judge disqualified because the company’s compensation was contingent on the plaintiffs’ success, giving the judge an interest in the outcome despite a small ownership share.…
May a new judge hear an unrelated criminal charge against a person the judge previously prosecuted?
Opinion 92-460 permits the judge to hear an unrelated later charge against the same defendant. For a later child-support case after a paternity prosecution, the answer depends on whether the support…
Can a lawyer take a contingent percentage of the client's own medical-payments (med-pay) insurance when the insurer hasn't disputed coverage?
Not as a blanket matter, and often not. The committee concluded it is not per se unreasonable, but a contingent percentage appropriate for a third-party recovery would probably be excessive and…
If a lawyer is an elected official or employee of a city, may the lawyer or the lawyer's firm represent clients in matters pending before that city?
No (as the opinion stood). The committee concluded that when a lawyer is an elected official or employee of a municipality, neither that lawyer nor a lawyer associated with them may represent…
Can a law firm pay for a solo practitioner's television and radio advertising in exchange for the solo referring cases to the firm?
The opinion concluded a firm may not fund a solo practitioner's advertising where the solo in turn refers cases to the firm, because the arrangement causes a false or misleading communication about…
Must a judge recuse from every Attorney General case because her sister works in that office but does not work on the case?
The letter expressed the view that the sister’s employment alone did not require recusal from an Attorney General case when she neither appeared nor helped prepare it; additional facts could change…
How did Nebraska’s 1992 judicial conduct code apply to part-time and full-time child support referees?
The Committee said the entire Code applied to full-time child support referees; part-time referees also had to comply, except for the narrower law-practice restriction in Application Section A(3).
Can a New Jersey lawyer and client sell a final judgment to a factor at a discount, and can the lawyer use the fee portion as loan collateral?
The Committee found no impropriety in an attorney and client selling a finally concluded judgment to an independent factor at a discount, or in the attorney advising the client of that option, so…
Must a lawyer report another lawyer's trust-account misconduct learned during a case when the client orders him not to disclose it?
The committee concluded that although trust-account misconduct is generally a per se reportable violation, the duty to report does not apply here because the information was the client's protected…
When are advanced or flat fees 'earned' so a lawyer can keep them out of trust, and when must they be held in a trust account?
Formal Ethics Opinion 92-F-128(a) refined 92-F-128. It held that advanced or flat fees may be either earned or unearned depending on the circumstances. Unearned fees of any kind (retainer, advanced,…
Can a lawyer charge interest on a client's unpaid balance for legal fees or costs?
The opinion concluded that an attorney may ethically charge interest on unpaid balances for legal services rendered or costs incurred, to the extent permitted by law. It superseded Formal Opinion…
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.