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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When a client owes settlement money to a third party, must the lawyer withhold the proceeds from the client, or pay them over as the client directs?
The opinion concluded the lawyer must pay the client who owns the claim, even knowing the client may not pay the third party, unless the lawyer made an authorized promise to hold the funds; in that…
Can one law firm keep representing both the parents and an injured child after the parents are sued as third-party defendants for the child's injuries?
The opinion concluded that because a conflict or potential conflict exists, the firm should move for appointment of independent counsel to evaluate the minor's interests, since a minor cannot…
Can a county attorney run a criminal investigation of a decedent when the deputy who shares his office is handling that decedent's estate?
No. The opinion concluded that the office-sharing county attorney and deputy are analogous to a firm, so the county attorney cannot conduct the investigation while his deputy represents the estate,…
May a district judge who hears police cases join a city committee studying improvements to the police department?
The Commission found no Canon violation in joining the described city committee, despite the judge regularly hearing cases brought by the police department. It cited Canon 4’s encouragement of…
Must a judge recuse when a lawyer appearing in court buys a building from the judge and spouse on credit?
The Commission required recusal if the judge and spouse financed the lawyer’s purchase or remained loan guarantors, and the 1991 opinion said remission was possible. Opinion 11-905 later withdrew…
May a trial judge write, proctor, and grade Alabama bar examination essay questions?
The Commission said a judge may serve as an Alabama State Bar examiner and cited Canon 4’s allowance for activities improving the law, legal system, and administration of justice.
Is a judge disqualified whenever a lawyer from the judge’s brother’s firm appears, even if the brother has no direct role?
The Commission said shared firm membership alone did not automatically disqualify the judge. Recusal was required if other circumstances reasonably questioned impartiality or the brother had an…
Must a judge recuse because the judge and family hold insurance with Blue Cross when it is a witness or party?
The Commission said the family’s Blue Cross policy alone did not require recusal when the insurer was a witness or party. It treated ordinary policy ownership as lacking the substantial financial…
Could a court grant a consented judgment notwithstanding a fraud verdict to preserve a professional license?
The Commission found no violation of the Alabama Canons if the sole reason for granting the motion was the opposing party’s consent. It said the judgment should state that the verdict was set aside…
Could judges publicly announce a shared policy to jail every convicted DWI offender?
The committee concluded that the proposed blanket jail announcement was prohibited because it suggested fixed sentencing, curtailed individual hearings, and could affect pending cases; a statement…
Must a lawyer tell the bankruptcy court that a former client secretly got back the settlement funds at issue and put them in a trust, even though the client invokes privilege?
The Committee concluded the lawyer must first make a good-faith effort to get the former client to authorize disclosure to the bankruptcy court, and if that fails, must disclose the fact without the…
In Kentucky, may a lawyer name people as expert witnesses in a pretrial statement when the lawyer has never contacted them?
No. The opinion concluded that listing experts a lawyer has not contacted is a deceptive practice, especially where the lawyer has no intention of contacting them.
In Kentucky, if a lawyer sits on a zoning board or planning commission, may the lawyer's partners or associates represent clients before that board?
No. The opinion concluded that a lawyer who sits on a zoning board may not appear before it, and that the lawyer's partners and associates are likewise disqualified, even if the member-lawyer recuses.
Can a county child-support office help a non-custodial parent reduce support it earlier helped the custodial parent obtain?
The opinion concluded that if an attorney-client relationship was formed with the custodial parent, ER 1.9 bars the office from later helping the non-custodial parent seek a downward modification,…
Can a lawyer charge a contingent fee to collect past-due child support or spousal maintenance?
The opinion concluded a lawyer may charge a contingent fee when retained solely to collect already-fixed child-support or spousal-maintenance arrearages, because the amount is set and the…
Can a law firm guarantee repayment of a loan its client takes out for living expenses during litigation?
The opinion concluded that a law firm's guarantee of a third-party loan to a client in litigation violates ER 1.8(e), because the guarantee is itself financial assistance: it gives the firm an…
Can a lawyer disclose that a client threatened suicide, or threatened to take a defendant 'down with him'?
The opinion concluded that if suicide is a crime in Arizona (a question of law), ER 1.6(b) requires disclosure to prevent it; if it is not a crime, the lawyer may still take protective action under…
When a lawyer leaves a firm, may he write to the clients he worked with, and do the solicitation rules apply?
The opinion concluded a departing lawyer may contact clients he worked with at the firm. Because those clients have a 'prior professional relationship' with him, ER 7.3's in-person/written…
Does serving as an unpaid judge pro tem count toward a lawyer's pro bono service?
The opinion concluded that an attorney who serves as a judge pro tem without pay may count that service as pro bono publico under ER 6.1, because the rule reaches activities that improve the law,…
Can a lawyer or law corporation act as trustee to collect clients' delinquent accounts receivable, filing suit when needed, for a contingent fee?
Yes, if the trust is properly established. The opinion concluded the arrangement is not prohibited by ethics or statute, but the contingent fee must be freely contracted and reasonable, and the…
My personal injury client settled but refuses to pay the treating physicians' bills I secured with a lien. Can I pay the doctors anyway, and what are my options?
The panel concluded that the attorney may not compel payment of the medical bills from the settlement funds; the attorney may move to withdraw under Rule 1.16(b)(3) if the client insists on a course…
I left the firm where I was an associate. Can I sue a delinquent client for my share of the fee, do I still have to show up for the firm's clients, and can I be forced to keep representing them?
The panel declined the fee-suit question as a legal rather than ethical matter; held that once an appearance is entered a lawyer may withdraw only with the court's permission or on discharge and…
Can I defend another lawyer in a disciplinary complaint brought by someone who says I recommended that lawyer to them, if I never actually represented or dealt with that person?
The panel concluded that the inquiring attorney may represent the lawyer before the Disciplinary Board, because an attorney-client relationship never existed between the inquiring attorney and the…
I represent one client in a civil matter and previously represented another person in an unrelated criminal matter. The former client might testify against my current client. Is that a conflict?
The panel concluded that Rule 1.9 controls and that no conflict of interest arises, because the reasons the attorney was engaged by the two clients are so unconnected that they do not amount to the…
My personal injury client signed a medical lien agreement but now demands that the insurer's checks for medical expenses be paid straight to the client. What do I do with funds the providers are also claiming?
The panel concluded that the attorney may not pay the medical providers out of funds received on the client's behalf without the client's consent; the obligation to pay rests with the client, and if…
I drafted the note and mortgage for a real estate sale, and now the buyers want me to represent them in a lawsuit claiming the purchase price on the settlement sheet was false. Can I take the case?
The panel concluded that under Rule 3.7 the attorney cannot represent the buyers in the action, because the attorney prepared the transaction documents and has knowledge of a material issue, making…
My current client in a criminal case gave me information that implicates a former client I once represented on an unrelated misdemeanor. Is that a conflict?
The panel concluded that Rule 1.9 controls and that no conflict of interest arises, because the attorney's representation of the two clients does not involve the same or a substantially related matter.
I'm counsel to a struggling corporation and think its board can't manage its own affairs. Can I ask a court to remove the board, audit the books, and appoint a property manager?
The panel concluded that the corporation's Board of Directors is the client, that the attorney may not substitute the attorney's judgment for the client's, and that the attorney must either comply…
My partner handled the real estate closing for a couple who are now divorcing, and another partner once hired the husband's plumbing company. Can our firm represent the wife in the divorce?
The panel concluded that a conflict arises under Rule 1.9 as to the jointly purchased real estate the partner closed unless the husband gives informed consent; that the other partner's earlier use…
A prosecutor subpoenaed me to a grand jury to testify about when and how long I met with a client and what I observed. Do I have to go, and what can I refuse to answer?
The panel concluded that the attorney-client privilege does not by itself excuse an attorney from appearing before a grand jury; the attorney must appear if subpoenaed, must assert the privilege on…
My personal-injury client is struggling to pay the mortgage. Can I lend the client money to help cover the monthly payments?
The panel concluded that Rule 1.8(e) prevents the attorney from lending the personal-injury client money to assist the client in meeting monthly mortgage obligations.
I want to mail prospective clients a letter about bankruptcy and debt collection. How must I label it and what disclaimer does it need?
The panel concluded that under Rule 7.3(b)(1)(a) the letter must be plainly marked 'advertisement' on the envelope and at the top of each page in type one size larger than the largest type used,…
I want to mail people who might qualify for the Victims' Compensation Fund. Is that allowed, and what do I have to tell them about fees and costs?
The panel concluded that such a mailing is permissible under Shapero v. Kentucky Bar Association as long as the letter is truthful and not deceptive, and that the letter should clearly state the…
I represent two co-defendants in a civil case, and I've found evidence that clears one of them and pins the liability on the other. Can I keep representing both?
The panel concluded that Rule 1.7 prevents the attorney from representing both co-defendants because their interests are so materially adverse that the attorney could not reasonably believe…
My client accepted a settlement offer and now wants to back out and keep litigating. Can I withdraw from the representation?
The panel concluded that a client's acceptance of a settlement offer creates a binding contract, and that if the client wishes to repudiate the settlement the attorney may properly withdraw under…
My sibling is a lawyer representing the other side in a case I'm handling. Do I need client consent, and does the conflict spread to everyone at my firm?
The panel concluded that Rule 1.8(i) requires client consent, based on a thorough explanation of the relationship, where a lawyer knows a parent, child, sibling, or spouse represents an adverse…
I left a job in the state Executive Department to enter private practice. Can I represent private clients before that department right away?
The panel concluded that Rule 1.11 and Rhode Island General Laws § 36-14-5 prohibit the attorney from representing a private client before, or appearing before, the Executive Department for one year…
I wrote a divorce booklet and want to advertise it. Does the ad need the Rhode Island specialization disclaimer?
The panel concluded that the advertisement for the booklet should include the Rule 7.4 disclaimer that Rhode Island does not have a procedure for certification or recognition of specialization by…
I was retained on a contingent fee to advise a pro se litigant, but the client has vanished and missed discovery. I never entered an appearance. Do I have to, and what do I tell the court?
The panel concluded that the attorney has no duty to enter an appearance for the client because the client cannot be located, and that it would be appropriate for the attorney to inform the court of…
My client is unhappy with my work and won't pay my fees after the trial ended. Can I withdraw from the representation?
The panel concluded that under Rule 1.16(b) the attorney may properly withdraw if the client continues to refuse to pay for the services rendered and the attorney gives the client reasonable warning…
A town invited me to teach a course. Can I run a newspaper ad with my name and the course details, and what disclaimers do I need?
The panel concluded that it would not be improper under Rule 7.2 for the attorney to advertise the course in a newspaper of general circulation, provided the advertisement contains no false or…
A former client made statements to me that had nothing to do with my representation of them, and now they're in a dispute with my relative. Can I testify about what the former client said?
The panel concluded that the situation is governed by Rule 1.9 and that the lawyer may testify about the former client's statements so long as those statements did not arise from the attorney-client…
Can a law firm's partnership or employment agreement restrict a departing lawyer from contacting former clients or competing?
The opinion concluded that firm agreements may not restrict a lawyer's right to practice after leaving (except for retirement benefits), may not bar contacts a non-member lawyer could make, may not…
Can a New York lawyer charge a fee paid in advance and call it 'nonrefundable'?
The opinion concluded that minimum fees, flat fees, and traditional retainers can be reasonable and proper, but no advance fee is ever literally nonrefundable, so a lawyer may not characterize an…
Must court-appointed counsel turn over the entire file, including personal notes and diaries, at no cost when the client later claims ineffective assistance?
The committee concluded that materials dictated or prepared for the client's specific case must be given to the client, while a diary kept as a general log across all the lawyer's clients need not…
How long must a lawyer keep closed client files before destroying them, and what has to be returned to the client first?
For a reasonable time judged file by file. The opinion concluded the rules set no fixed retention period, but a lawyer must return client property, keep what may be needed later, notify the client…
Could a lawyer seek an ex parte domestic-relations interim order after opposing counsel had appeared?
The committee found no professional-conduct bar to seeking an ex parte interim order authorized by North Dakota court rule, even when opposing counsel had appeared.
To whom did the lawyer return an unused retainer paid by a third party?
On the stated facts, the committee said to return the funds to the third party who paid, less earned fees and costs, unless that payer directed otherwise.
Could a judge hear criminal cases when the judge’s spouse worked in the same public defender’s office as defense counsel?
The committee allowed cases involving other public defenders but required recusal when the spouse appeared or participated and disclosure to prosecutors when the spouse did not appear; appearance…
If a current client files a grievance against the lawyer, does the lawyer have to withdraw from the client's matter?
Not necessarily. The opinion concluded the lawyer need not withdraw if a disinterested lawyer would reasonably conclude the representation would not be adversely affected by the pending grievance;…
Will the ethics committee decide a conflict question about something the lawyer's firm has already done?
The Committee declined the township attorney's conflict inquiry on the same ground as Opinion 650: it rested on actual facts that had already occurred, and the Committee advises only on contemplated…
Will the New Jersey ethics committee give an opinion about conduct a lawyer has already engaged in?
The Committee declined jurisdiction, explaining that it advises only on a lawyer's contemplated future conduct; completed or present conduct is for the disciplinary authorities (the Office of…
Can a lawyer in financial trouble file personal and professional-corporation bankruptcy and discharge clients' claims?
The opinion concluded that filing Chapter 7 bankruptcy, personally and for a professional corporation, is not itself a rules violation, including seeking to discharge malpractice claims and a…
Can a lawyer advance money for a client's medical care during litigation, or instead give the client a gift?
The opinion concluded a lawyer may not advance or guarantee funds for the client's daughter's medical care, because ER 1.8(e) bars such litigation-related financial assistance. But the lawyer may…
Can a lawyer waive his contingent fee and the costs he advanced to let a client accept a settlement?
The opinion concluded that a lawyer who waives both his contingent fee and the costs he advanced at the end of a case does not violate ER 1.8(e), because he keeps no personal stake in the recovery…
Must a judge recuse when the judge’s wife’s brother-in-law represents a party?
The Commission required disqualification whether the relative-lawyer’s fee was fixed or contingent. It said the Canon 3C(1)(d) disqualification could be remitted under Canon 3D’s specific procedures.
May a circuit judge hear an appeal from a case tried without a jury by the judge’s father in municipal court?
The Commission required recusal from appeals of nonjury municipal cases decided by the judge’s father. It said the father’s judicial reputation could be substantially affected by the appeal.
Is a judge automatically disqualified when a campaign treasurer or advisory committee member, or someone from their firm, represents a party?
The Commission said those campaign relationships alone did not disqualify the judge under the Canons as then written. Other circumstances reasonably questioning impartiality could require recusal,…
Did the Judicial Inquiry Commission decide whether a city council could remove a municipal judge before a four-year term ended?
No. The Commission declined to answer because its Rule 17 opinion authority covered the propriety of judges’ conduct under the Canons, not the city council’s power to remove a judge.
May a judge keep accumulated retirement funds in a former law firm’s Keough plan?
The Commission allowed the judge to keep accumulated funds if a separate sub-account was established, the judge paid its management fee, and the former firm made no further contributions on 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.