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 law firm supervise a company that represents employers for a fee before a state agency tribunal?
The opinion concluded there was no advertising or fee-splitting problem, but that whether a corporation may be an 'authorized agent' appearing for a fee before the Department of Economic Security…
Did a judge’s ordinary bank loans or a close relative’s bank office require recusal when the bank was a party?
The original opinion said ordinary debt alone did not disqualify, but called for disclosure and recusal on request; Opinion 09-903 later rejected that automatic inference. A close relative’s officer…
Would putting a lawyer-tenant’s building in a blind trust, selling it to the judge’s parents, or allowing a sublease remove recusal concerns?
The Commission said a known lawyer tenant in a blind trust still disqualified the judge. Parent ownership and third-party subleases required disclosure and recusal when the cited interests or…
Could a district judge serve on an appointed board of school trustees?
Yes. In the combined letter, the Commission said Canon 5B permitted the described trusteeship within its stated limits and governed instead of the general Canon 5G provision.
Could a retired Alabama district judge practice law after repeal of the cited statutory prohibition?
Yes, unless serving full-time on a state court. The Commission said the repealed statute no longer barred practice and the compliance provisions exempted other retired judges from Canon 5F.
Could an Alabama Supreme Court justice publish and market a book on criminal procedure?
Yes. The Commission allowed legal writing and marketing of a judge’s treatise, so long as the judge did not use judicial position to market it or let marketing interfere with judicial duties.
Must a judge recuse from every prosecution by an office employing the judge’s son as an assistant district attorney?
No. The Commission said recusal was required when the son was known to be involved in the case, but his employment alone did not disqualify the judge from every prosecution by the office.
Did a criminal defendant’s apparently frivolous federal civil-rights suit against the judge require the judge to recuse?
No. The Commission said the suit’s mere filing did not disqualify the judge on these facts, while emphasizing that each case required consideration on its merits.
Can a lawyer who served as substitute trustee at a non-judicial foreclosure sale, selling the property to the lender-client, later make an offer to buy that same property from the lender?
The opinion concluded that an attorney who acted as substitute trustee at a non-judicial foreclosure sale and sold the property to the lender-client may later offer to purchase that property from…
Could a city alderman, city judge, city attorney, city prosecutor, or county sheriff's-department lawyer, or their law partners, represent private clients in courts or matters where officers of their governmental employer were witnesses?
The opinion applied the New Jersey Rule and DR 5-105(D) to specified public officials and their associates. The Board marked it vacated on September 11, 2015 due to changes in law or rules.
Can a Tennessee lawyer withhold a client's file or documents to force payment of a disputed fee?
The opinion concluded that an attorney may assert a common-law attorney's lien on a client's documents to secure payment of legal fees, but only as a last resort, after seeking other reasonable…
Did the U.S. Supreme Court's decision in Evans v. Jeff D. change Tennessee's ethics guidance on settlements that condition relief on a waiver of the plaintiff's attorney's fees?
No. The Board readopted its prior opinion's conclusion, in 85-F-96, that settlement negotiations including attorney's-fee provisions are not inherently improper if counsel fully advises the client,…
Could a part-time active retired judge receive pay for serving as a state college personnel hearing officer?
Canon 5 did not prohibit the described paid service, the Commission said. It left the effect of any separate legal pay restriction to the Alabama Ethics Commission and identified Canon 2A’s duty to…
Can a lawyer pay for a client's medical records after the client has moved to new counsel, if the client stays ultimately responsible?
The committee concluded it is not improper to pay the cost of medical records the lawyer requested for a client who has since retained other counsel, provided the client remains ultimately…
Can a lawyer report a client to a credit bureau to pressure the client into paying an unpaid fee?
The opinion concluded a lawyer may not refer a client's identity and delinquent-fee information to a credit bureau except with the client's knowing consent, because it may be an unauthorized…
Can a lawyer disclose communications with a former client, by court-ordered affidavit, when that client claims the lawyer failed to file a requested appeal?
Yes. The opinion concludes a lawyer may reveal client communications when required by court order, and when the client has accused the lawyer of wrongful conduct, under the self-defense and…
If the opposing side subpoenas a lawyer to testify, can the lawyer keep representing his client in the same case?
Yes, until it becomes apparent the testimony is or may be prejudicial to the client. The opinion concludes that under Rule 3.7 a lawyer the opponent may call as a witness may continue as advocate…
Does a lawyer still have to report another lawyer's misconduct if someone else may already have reported it?
The committee concluded a lawyer's obligation to report a Disciplinary Rule violation persists even when the lawyer believes another party has already reported the misconduct. It was decided under…
Must a lawyer serving as an administrative hearing officer prevent a nonlawyer from representing a party, and what does the duty require?
The opinion concluded that a lawyer must take appropriate action to prevent unauthorized practice; a hearing officer must refuse conduct that clearly is unauthorized practice, but where the question…
Can a part-time county attorney who is partly paid by the state sue a state department for a private client?
Yes, with consent. The opinion concluded that because a part-time county attorney represents the state on a limited civil basis, the suit creates a Rule 1.7 conflict that can be cured by obtaining…
Can a group of law firms incorporate to share expertise and split referral fees, and pay a percentage of fees to the shared entity?
The committee found no ethical bar to a group of firms incorporating to share expertise and refer matters, with fees split between referring and working attorneys on client disclosure and consent,…
Can a lawyer who serves on a city council, or the lawyer's partners, litigate against the city or defend criminal cases in which city police officers testify?
The opinion concluded that a lawyer serving as a city councilor (and the lawyer's partners and associates) may not litigate against the city, but may defend criminal cases in which city police…
Can an insured direct the lawyer hired by their liability insurer to refuse to defend a claim, and what must the lawyer do if the client wants to feign a defense?
The opinion concluded the insured is the lawyer's client and may insist the lawyer refuse to cooperate with the insurer and assert every honest defense or none, but may not require the lawyer to…
Could a Tennessee county commissioner who is also a lawyer represent criminal defendants prosecuted by the county's own law enforcement officers?
As originally issued, the opinion concluded that an attorney serving as an elected county commissioner could not represent criminal defendants prosecuted by county law enforcement officers, because…
When is a lawyer's new representation adverse to a former client too closely related to the earlier representation to be ethical?
The opinion held that representing a party adverse to a former client is improper only if a substantial relationship exists between the former and present matters, determined by examining the scope…
When a nonlawyer employee moves to opposing counsel, what confidentiality duties do the two firms have?
The hiring firm must not seek, permit disclosure of, or use the former firm's client confidences; the former firm must admonish the employee to preserve them. The opinion does not decide…
Can a law firm list paralegals and legal assistants on its letterhead and give them business cards with the firm name?
The opinion concluded that nonlawyer employees may be listed on a law firm's letterhead with titles signifying their nonlawyer status, and may be issued business cards bearing their name and title…
Can a lawyer sign a confession of judgment for the defendant when a partner in the same firm represents the plaintiff?
The opinion concluded no; the plaintiff's lawyers have a financial interest in the confession of judgment, so neither they nor their firm may represent the defendant, because one firm cannot…
Can a lawyer who won property for a divorce client later represent that client's new spouse in a divorce that would strip away the same property?
The opinion concluded no; the lawyer should decline, because attacking the property the firm had earlier secured for the former client would injuriously affect her in the very matter the firm once…
Can lawyers in a firm defend criminal cases in a county where their partners serve part-time as prosecutors on unrelated juvenile matters, and can the public entity consent?
The opinion concluded yes with informed consent of each client, and held that a public entity is not categorically barred from consenting where partners of a part-time public lawyer take unrelated matters.
Can a lawyer who was abruptly discharged by a client he believes is incompetent initiate a conservatorship or other protective proceeding for that client?
Qualified yes, but only in extreme cases. Where there is substantial evidence of incompetency, undue influence, or prejudice to the client's interests, the discharged lawyer may initiate a…
Can a Kentucky lawyer join a for-profit national lawyer referral service that selects the referred counsel, even if participating lawyers pay no fee?
No. Under the 1969 Code as applied literally, a lawyer may not participate in a for-profit referral service that selects referred counsel unless the service is bar-operated, sponsored, or approved,…
Can a Kentucky lawyer provide services through, and promote, a prepaid legal services plan?
Qualified yes. A lawyer may furnish legal services to a prepaid-plan member only if the plan complies with SCR 3.476, and may conduct promotional activities only as permitted by SCR 3.476(d) and the…
Can an Arizona lawyer form an interstate partnership with an out-of-state firm, and what must the joint letterhead disclose?
The opinion concluded that an Arizona lawyer may join an interstate partnership if the letterhead clearly discloses each lawyer's jurisdictional limitations and the firm is a genuine, unified…
Can a lawyer charge interest on overdue invoices when there is no written fee agreement?
The opinion concluded that, absent a written fee agreement or the client's consent after notice with an opportunity to bring the account current, a lawyer may not charge interest on delinquent…
Who must sign a Canon 3D remittal when the judge is related to a party or appearing attorney?
All parties and lawyers must sign the agreement, including the attorney related to the judge, the Commission said.
May a judge hear a case in which the judge earlier acted as lawyer or guardian ad litem for the child or a parent?
No. The Commission said Canon 3C disqualified the judge from a proceeding in which the judge had previously served as attorney or guardian ad litem.
May a judge send bar commissioners a character recommendation for a lawyer facing discipline?
Canon 2C did not categorically bar the letter, the Commission said, but it prohibited one if the recipient was engaged or likely to be engaged in proceedings before the judge. It expressly overruled…
Can a Colorado lawyer send a newsletter about legal developments to clients and prospective clients, and must the lawyer disclose if someone else wrote it?
The opinion concluded that a lawyer may send a newsletter on current legal developments to existing clients and to non-clients, even where pecuniary gain is a significant motive, so long as it…
Can a lawyer act as in-house counsel for a mortgage company and, in that role, represent the lenders or borrowers in closing the company's loans?
No. The opinion concluded that house counsel for a loan originator with no proprietary interest could not represent the lenders or borrowers in closings, as that would be unauthorized practice by…
Can a lawyer turn past-due client accounts over to a collection agency, including paying the agency a percentage of what it collects?
The opinion concluded that a lawyer may employ a collection agency for delinquent client accounts, even on a percentage basis, if the original fee was proper, the client was not known to be unable…
Can a lawyer represent a client in a matter where the lawyer stands to buy the disputed property on favorable terms?
The committee concluded a lawyer with a personal financial interest in the disputed property must either decline the representation or proceed only after disclosing that interest, particularly the…
Can a defense lawyer take criminal cases in a court where the lawyer's spouse serves as a prosecutor?
The committee concluded a defense attorney whose spouse prosecutes welfare fraud in the same courts may defend criminal cases generally, but may not defend the welfare fraud cases the spouse…
Can a lawyer serve at the same time as a township solicitor and as part-time attorney for the county welfare board?
Yes, on these facts. Reconsidering Opinion 568 with fuller information, the Committee concluded its earlier finding was wrong: the municipal and county public-assistance functions are separate, so…
Can a lawyer borrow money in the firm's name to advance to a client, or guarantee a client's loan, while the client's lawsuit is pending?
No. The opinion concluded that borrowing to advance funds to a client or guaranteeing a client's loan is prohibited financial assistance under Rule 1.8(e) and acquires a proprietary interest in the…
Could a Tennessee criminal defense lawyer secretly record a conversation with a witness or another party if one party to the conversation consented?
Vacated. As originally issued, the opinion rescinded Formal Ethics Opinion 81-F-14 (which had adopted ABA Formal Opinion 337's rule that secret recording is dishonest conduct under DR 1-102(A)(4))…
Is a lawyer on a contingent fee required to handle an appeal after losing at trial without charging more?
The opinion concluded that whether a lawyer must handle an appeal depends on the scope of the retainer agreement, a question of law; if the contract requires it the lawyer has an ethical duty under…
Can a lawyer act as escrow agent in a deal while also representing one of the parties, and who gets the interest on escrowed funds?
The opinion concluded that a lawyer may serve as escrow agent and represent one party in the same transaction only with the fully informed consent of all parties, must safeguard the funds under the…
Did an uncle’s partnership in a law firm representing a party disqualify the judge?
This 1986 opinion said yes and called for Canon 3D remittal. Opinion 88-338 later overruled or modified that automatic approach, requiring a case-specific assessment of impartiality and the uncle’s…
Can a lawyer hire, or have a client hire, a witness-finder agency whose fee is contingent on the case outcome, even though the expert's own fee is fixed?
The opinion concluded no; paying a witness-finder agency a fee contingent on the outcome is an improper circumvention of the bar on outcome-contingent witness compensation, even though the expert's…
Can a part-time assistant state's attorney who handles only civil matters, and the lawyer's firm, defend criminal cases in other counties?
The opinion concluded yes; where the lawyer's public work is confined to civil matters and the firm does no criminal work in that county, the lawyer and partners may defend criminal cases arising in…
Do a lawyer's past political activity, prior county clerkship, and spouse's job with a county supervisor create a conflict barring practice before the board?
The opinion concluded that the lawyer's past political support of board members, his prior clerkship and board service, his friendships with officials, and his wife's employment as a supervisor's…
If a lawyer holds judgment funds the client is entitled to, must the lawyer pay them to the client even though the losing side's appeal is still pending?
Yes, if the client is entitled to the funds as a matter of law. The opinion concludes Rule 1.15(b) requires the lawyer to promptly pay such funds on the client's request, while advising of a…
Can a lawyer who is also a shareholder or house counsel of a company collect a real estate broker's commission on the sale of the company's property?
Sometimes. An attorney-shareholder may act as attorney and broker on the corporation's sale only after full disclosure and the informed consent of the corporation and all stockholders. But where…
Can a lawyer who represents a party in a real estate deal also act as agent for the title insurer and keep part of the title insurance premium?
The opinion concluded that a real estate lawyer may also act as title-insurance agent and share in the premium only if the arrangement is legal, no prohibited conflict exists, all parties consent…
Can a law partner of a part-time county prosecutor serve as special master, or as appointed defense counsel, in civil commitment (mental treatment) hearings?
Not if the county attorney participates. The opinion concludes that if the part-time county prosecutor takes part in commitment proceedings, no member of his firm may serve as special master or as…
Does a lawyer's duty of confidentiality survive the client's death, and may the lawyer cooperate with police or testify about what the deceased client told them?
Yes, the duty survives death. The opinion concludes a lawyer owes a deceased client the same confidentiality as a living one and may not voluntarily aid a police investigation; the lawyer may reveal…
Can the partners of a part-time city attorney defend criminal cases, and does it matter whether the case is in city court versus county or circuit court?
It depends on the court and the city's involvement. The opinion concludes the city attorney's partners may not defend criminal cases in City Court, but may defend in county or circuit court (or…
Did a judge’s earlier probation revocation based on the alleged act automatically disqualify the judge from the criminal trial of that act?
No. The Commission said the prior revocation decision did not per se disqualify the judge from the separate criminal proceeding.
Could a part-time municipal judge accept an insurer’s assignment to defend the city where the judge served?
Yes, on the stated facts. The Commission found no appearance of impropriety where the attorney-judge had regularly represented the insurer’s other insureds before this city assignment.
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.