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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Does an attorney advertising admiralty and Jones Act injury services, along with other workers' compensation matters, need the audible or visual disclaimer required for advertising a field of practice?
The opinion held that the audible and visual disclaimer of Disciplinary Rule 2-101(C) is required for any advertisement, including one covering Jones Act matters, where the attorney's practice is…
Can an attorney send direct-mail letters to every homeowner facing foreclosure, and can an attorney mail CPAs asking them to refer tax clients?
The opinion held there is no impropriety in direct-mail advertising sent to every defaulting mortgagor whose home is advertised for foreclosure, though the specific letter's claim of experience to…
Can a Tennessee lawyer take a one-third contingency fee out of each periodic payment in a structured settlement, rather than all at once from the up-front cash?
Yes. The opinion held the attorney may take his contingency percentage from each periodic settlement payment as it is received, take the entire fee upfront capped at his percentage of the…
Did a Tennessee lawyer need the DR 2-101(C) specialization disclaimer to list three areas of practice in Martindale-Hubbell's biographical section?
No. The opinion held that Martindale-Hubbell's own proposed disclaimer language for its new fields-of-law listing feature substantially complied with DR 2-101(C), so there was no impropriety in a…
Can a lawyer join a barter exchange and take goods and services instead of cash for legal fees?
The opinion concluded that a lawyer may join a barter exchange when membership is a flat annual fee rather than a percentage of legal fees, when the exchange furnishes members a list of attorney…
If a lawyer becomes 'of counsel' to a firm in the same county where his son is the full-time county prosecutor, is the firm barred from criminal practice in that county?
Yes. The opinion concluded that because the father is precluded from criminal practice in the county where his son is the prosecutor, the firm to which he becomes 'of counsel' is likewise barred,…
May a lawyer run a for-profit corporation that puts on public educational programs about the law, advertise the participating attorneys, and represent attendees afterward?
Yes. The opinion concluded that advertisement of the contemplated educational programs in print media may be done and that attorneys who participate as lecturers may accept employment from…
May a law firm join a for-profit business networking association whose members exchange sales leads and referrals?
Yes. The opinion concluded that joining such a business-lead association does not amount to giving compensation to the organization to recommend or secure clients, likening it to membership in…
Can a lawyer serve both as a member of a nonprofit's board of trustees and as the paid attorney for that same board?
Yes, with no per se conflict. The opinion concludes a lawyer may serve as a director or board member of a nonprofit organization and also as its attorney without a conflict of interest per se, with…
Can a lawyer destroy the old client files of a deceased attorney, and what notice and confidentiality steps are required first?
The opinion concludes the files may be destroyed, but only after notifying each affected client and protecting their confidences; the lawyer must limit any review to what is needed to give notice…
After a firm withdraws because a new partner had represented the opposing party, may the firm meet with the client's substitute counsel to hand off the case?
The opinion concluded that the withdrawing firm may hold transitional conferences with the client's new counsel about the status and issues of the case, provided it does not breach the confidences…
Can a New York lawyer hire a marketing firm to solicit clients for a prepaid legal plan and pay it a share of the legal fees?
The opinion concluded that a lawyer may not employ and compensate a public relations or marketing firm to solicit clients for the lawyer's prepaid legal services; paying a third party to recommend…
Is a special district attorney appointed for one case subject to the same restrictions on private criminal defense work as a regular part-time prosecutor?
The opinion concluded that a special district attorney appointed under County Law section 701 is sui generis, not a part-time prosecutor, so the per se limits on private criminal practice do not…
Can a New York lawyer advertise a discount off customary fees to a civic group or the public for a limited time?
The opinion concluded that a lawyer may offer and advertise a discount from customary fees, but only where the customary fee is reasonably ascertainable and is actually the fee the lawyer charges…
May a judge buy court printing supplies from the judge’s spouse?
The Commission said the Canons did not specifically address the purchase, but a possible violation of Alabama’s Ethics Law would also violate Canon 2A; it referred the statutory question to the…
Can a lawyer who is a shareholder in a law firm try the firm's own fee-collection suit when other firm shareholders will testify?
The opinion concluded that a shareholder-attorney may represent her incorporated firm at trial in a suit against a former client for the firm's fees, even though other shareholders will be…
Can a lawyer recommend title insurance and act as title agent in the same real estate deal, and split insurance commissions with other attorneys who steer clients to him?
The lawyer may serve as title examiner and agent only with full disclosure to everyone involved and the clients' consent, crediting any title-work already billed; but naming other attorneys as…
Can one lawyer represent both spouses in a no-fault divorce or an antenuptial agreement, and may that lawyer answer the other spouse's questions?
Rarely for the divorce. The opinion concluded joint representation in a no-fault divorce should be the exception, allowed only after full disclosure and consent; joint representation on an…
Can a lawyer tell a client to secretly record phone calls, or advise a client on the legality of doing so in a civil matter?
No to suggesting it. The opinion concluded a lawyer may not suggest that a client secretly record calls in a civil matter, but may advise a client on the legality of such recording and may let the…
Can a lawyer fund a bar lawyer referral service by paying a percentage of fees earned from referrals instead of forwarding a flat consultation fee?
Yes. The opinion concluded that a lawyer may pay an approved bar referral service a reasonable percentage of fees collected, which is a contribution to the service's expenses and not a prohibited…
May a Maryland judge be named as a reference in a judicial education institution’s solicitation letter or attend its donor reception?
No. The Committee said the judge should neither allow the solicitation letter to name the judge nor attend the proposed donor reception.
May a Maryland judge refer a DWI probationer to a private treatment program benefiting the judge or a close relative?
No. The Committee concluded that a referral to a program in which the judge or a close relative has a financial interest creates a clear appearance of impropriety.
Is a judge disqualified from an ongoing case because the judge will testify in a separate bar discipline matter arising from lawyers’ statements in that case?
The Commission found no disqualification because the judge’s expected testimony concerned a separate bar proceeding with different issues and facts.
Do the Alabama Canons prescribe a procedure to raise disqualification, and who bears responsibility for a disqualifying interest?
The Commission said Canon 3C gave no specific procedure for raising or determining disqualification; the duty to disqualify rested on the judge even if the parties did not raise the interest.
Does an attorney’s testimony against a judge in a disciplinary proceeding automatically disqualify the judge when the attorney appears as counsel?
The Commission said the testimony alone did not necessarily disqualify the judge; the testimony’s circumstances and the judge’s conduct toward counsel could alter the result.
Is a judge disqualified when counsel was the judge’s defeated opponent in a judicial election?
The Commission said the former opposition alone did not require disqualification, but campaign-related bias or other circumstances reasonably questioning impartiality could.
Can a lawyer give the opposing party copies of draft documents from a former client's file, and how long must a lawyer keep closed client files?
The opinion concluded that a lawyer may not give an opposing party draft documents prepared in the course of representing a client or former client without that person's express consent after full…
Is a judge disqualified from a divorce case after withdrawn evidence referred to a judgment paid to the judge’s former firm?
The Commission found no disqualification on the stated facts: the judge had not worked on the former case, had no recollection of it, and the parties withdrew the evidence.
May a North Dakota lawyer use a client's letterhead in pre-lawsuit and lawsuit collection correspondence?
The committee said DR 2-102A4 may permit identifying a lawyer as general counsel on a client's letterhead when the lawyer or firm devotes substantial professional time to representing that client.…
Does a party’s extended relationship through the judge’s brother’s wife disqualify the judge?
The Commission said the relationship did not reach the party in this case; the fourth-degree rule did not extend to relatives of the judge’s brother’s wife.
Is a judge automatically disqualified when an appearing firm employs the judge’s sister-in-law as a legal secretary?
The Commission said employment alone did not disqualify the judge; the judge had to assess the specific proceeding and the relative’s relationship to it.
What can a New York lawyer do when a client says he intends to commit a future crime?
The opinion concluded that the lawyer may never further the client's criminal purpose and should try to persuade the client to abandon it; the lawyer may withdraw, and must withdraw if continuing…
May a lawyer use a bank's interest-bearing master/subsidiary 'Super Now' escrow account for client trust funds, and can the bank's bookkeeping access to client data be squared with confidentiality?
The opinion concluded the proposed segregated master-and-subsidiary escrow account complied with the trust-account rule, with interest belonging to the client, but that giving bank clerks client…
May municipal counsel defend individual municipal officials sued for willful civil-rights violations under 42 U.S.C. 1983, and may one lawyer defend several of them?
No. The opinion concluded municipal counsel should not defend individual officials in a willful Section 1983 action, because the municipality's potential indemnification claim makes their interests…
Can a real estate lawyer disburse from the trust account at closing before the lender's out-of-state draft has cleared, relying on other clients' funds as float?
The opinion concluded no; the lawyer may not use the float of other clients' funds to cover a lender's uncollected draft, because if the draft fails the other clients' money is put at risk, though…
May a scholarship foundation put a trustee’s judicial title on letters soliciting donations?
The Commission said a judge could be listed as a trustee but should not be identified as judge on stationery known to be used for fundraising.
May a judge receive a share of contingent fees for legal work performed before taking the bench?
The Commission said a judge could accept payment for legal services performed before taking office under a prior fee agreement, and that the amount should be settled beforehand insofar as possible.
Did relationships and earlier recusals in related property litigation disqualify the judge from a fourth suit?
The Commission said the judge was not disqualified on the detailed facts of the fourth suit because none of Canon 3C(l)’s listed grounds was met.
May a New Jersey lawyer practice under, and use on her letterhead, the name of her out-of-state firm that also has a New Jersey office?
Yes, under the rule as amended in 1984. The opinion concluded that a firm with offices in more than one jurisdiction may use the same name in each, so long as the letterhead clearly shows the New…
Can a law firm advertise a service under a trade name like 'The Business Law Center, a division of Smith & Jones' without naming every lawyer involved?
Yes; the opinion concluded a trade name is permissible in advertising as long as a responsible lawyer is clearly associated with it, and there is no ethical difference between 'a division of' and…
Can a New York law partner sell part of his partnership interest, including a share of future fees, to an incoming partner?
The opinion concluded that a lawyer may not sell an interest in an ongoing law practice itself; selling tangible assets is permissible, but transferring the right to represent the firm's clients for…
Can a Tennessee lawyer team up with a financial brokerage firm so its agents refer clients to the lawyer for estate planning?
No. The opinion held that all three proposed arrangements, ranging from the lawyer being billed as a brokerage 'team member' to billing clients directly from his own office, use the brokerage firm…
Can a lawyer take a contingent fee to pursue a divorced spouse's claim to the other spouse's military retirement pay?
The committee concluded that, absent special circumstances, it is improper for an attorney to represent a divorced spouse's claim against her husband's military retirement pay on a contingent fee…
What matters can a lawyer who serves part-time as a county or municipal judge represent clients in, and does the conflict extend to the lawyer's firm?
The opinion concluded that a part-time judge may not represent a client in any matter likely to come, or that has come, before the judge or derived from such a matter; a part-time county judge may…
Can a lawyer pay a fact witness for the time the witness spends preparing for and giving testimony?
The committee concluded a lawyer could compensate a witness for the reasonable value of time spent preparing for and giving testimony, where the client stays ultimately responsible, the payment is…
Can an in-house corporate attorney represent the corporation itself in court, and can that attorney also handle legal matters for the corporation's customers?
Yes for the corporation itself: an attorney employee may assist, advise, counsel, represent, or appear on behalf of the corporation in its own affairs, in or out of court. No for customers:…
What must court-appointed counsel do when a competent capital murder defendant insists that counsel make no argument or take no action to oppose the death penalty?
Counsel must honor the competent defendant's Sixth Amendment right to control that choice, fully inform him of the conflict it creates with counsel's own ethical duties, and then move to withdraw…
Can a Tennessee lawyer who is board certified as an immigration specialist by another state's bar cite that certification in advertising instead of the required specialty disclaimer?
No. Pending Tennessee's adoption of its own specialization rule, the opinion held a lawyer may not publish a listing of specific practice areas, even citing certification from another state's board…
Can a lawyer list the areas of practice he concentrates in, such as in a Martindale-Hubbell directory entry, without improperly claiming to be a specialist?
Yes. The opinion concludes a lawyer may list fields of concentration in a legal directory so long as the listing is not materially false, deceptive, or misleading and the lawyer does not claim to be…
If a court orders a lawyer to reveal client confidences the lawyer thinks are irrelevant to the case, can the lawyer comply without violating the ethics rules?
Yes. The opinion concludes a lawyer may reveal client confidences or secrets when required by law or court order and is not subject to discipline for doing so, but must first raise and assert the…
Can a lawyer ask close friends, relatives, and regular clients whether they have a will, and keep estate-planning brochures in the office?
Yes. The opinion concludes a lawyer may volunteer in-person advice and provide resulting services to close friends, relatives, and regular clients, because Rule 7.3 does not bar in-person contact…
Can a law firm list a paralegal or other non-lawyer staff member's name on the firm letterhead?
Yes, with a disclaimer. The opinion concludes a lawyer may list a paralegal's name on the letterhead if it is accompanied by language stating the person is not a lawyer; the term 'associate' may not…
Can one lawyer keep defending two co-defendants in a malpractice case when one of them refuses consent to the joint representation?
The opinion concluded that where one co-defendant may have a cross-claim against the other, the lawyer may not represent both without each client's informed consent; if a client has specifically…
May a lawyer draft a surrogate-mother contract, and can the same lawyer represent both the surrogate and the intended parent?
The opinion concluded that, assuming the contract is not illegal, no ethical rule prohibits a lawyer from drafting a surrogate-mother contract, even one a court might later find voidable or…
Must a lawyer licensed only in Tennessee include the DR 2-101(C) specialty disclaimer when advertising in national publications for legal services to be performed in interstate commerce?
Yes. Because Tennessee's Code of Professional Responsibility is the controlling authority on the ethical conduct of attorneys licensed solely in Tennessee, the opinion held such an attorney must…
May a Tennessee lawyer place client funds in an interest-bearing trust account, and is the lawyer ever required to do so?
Yes, a lawyer may place client funds in interest-bearing accounts so long as DR 9-102's other requirements are met; there is generally no duty to invest nominal or short-term client funds because…
Does a party’s $100 campaign contribution and general support disqualify the judge?
The Commission said the contribution and support alone did not disqualify the judge, though other factors could reasonably call impartiality into question.
Would leasing to an individual who subleases to a newspaper change the judge’s disqualification analysis?
The Commission said the intermediate tenant did not change the analysis; known substantial effects of a proceeding on the judge’s lease could still require disqualification.
Is a judge disqualified from a corporate case because its stockholders also own stock in a newspaper that leases the judge’s property?
The Commission said overlapping stock ownership alone did not disqualify the judge, but a known outcome substantially affecting the judge’s lease would require disqualification, subject to remission.
Does a stockholder’s appearance as litigant disqualify a judge who leases property to the stockholder’s newspaper?
The Commission said the stockholding alone did not disqualify the judge; a known outcome that could substantially affect the judge’s lease would require disqualification, subject to Canon 3D remission.
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.