Legal Ethics Opinions
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Can a lawyer represent two clients with opposing interests arising from the same collision, and can a lawyer who left the plaintiff's firm later help defend the same suit?
The Committee concluded that a lawyer who represents a personal-injury plaintiff may not also represent the defendant driver in his workers' compensation claim from the same collision without the…
Can an insurance-defense firm give Christmas gifts or host entertainment for the claims adjusters and representatives of its insurance-company clients?
The Committee concluded that it could not answer categorically: whether gifts and entertainment for clients' claims adjusters amount to improper solicitation under Canon 24 or merely an expression…
Is it unethical for a lawyer to advise a client charged with a crime to hide for a short time before surrendering?
The Committee concluded that whether advising a charged client to hide temporarily is unethical depends on whether the advice or the act advised violates the law: if the law forbids the advice or…
Can one lawyer represent both a minor's legal guardian and the minor's father in a single personal-injury suit when their recoveries may conflict?
The Committee concluded that it would be unethical for a lawyer to represent both the minor's legal guardian and the father in the same damage suit without the consent of both, because the lawyer's…
If two lawyers on opposite sides of a pending case become law partners, can the plaintiff's lawyer keep handling the case?
The Committee concluded that a lawyer may not, without the defendant's consent, continue representing the plaintiff after becoming a partner with the lawyer who had earlier represented the defendant…
Can a prosecuting attorney represent a city policeman in a civil overtime-wage suit when the same facts might require a criminal prosecution?
The Committee concluded that it would be unethical for a prosecuting attorney to represent a policeman in a civil overtime-wage suit against the City under statutes whose violation he might have to…
Is it unethical for a lawyer to habitually charge less than the county or state minimum fee schedule?
The Committee concluded that habitually charging below a recommended minimum fee schedule does not by itself violate Texas Canon 11 on fixing fees, because the Texas canon omitted the ABA's…
Can a lawyer take a contingent fee out of the part of a workers' comp settlement that represents the client's hospital bill?
The Committee concluded that it is unethical for the attorney to deduct and keep, from the hospital-bill portion of the settlement, any amount beyond the agreed fee, and unethical to retain a total…
When someone brings a matter to the county attorney's office that the office can't handle, can the county attorney offer to take it privately, refer it out, or accept a referral fee?
The Committee concluded that a county attorney consulted in his official capacity may not offer to represent the person as a private lawyer (solicitation under Canon 24), may ethically refer the…
Can a lawyer record a telephone conversation with another lawyer or a layperson without a warning tone?
The committee concluded that, given the FCC order and telephone-company tariffs then in force, recording a telephone conversation without the required 'beep' warning tone violated the law and was…
If a lawyer is both an assistant state attorney and the county school board's attorney, can he handle the board's bond validation proceeding?
The opinion concluded that the lawyer should not take part in the validation proceeding in either capacity, because the state attorney's office has a statutory duty to scrutinize and, if necessary,…
When a plaintiff offers to release the insured for an assignment of the insured's bad-faith claim, what must insurer-retained defense counsel do?
The opinion concluded that insurer-retained defense counsel must inform the insured of the plaintiff's release-and-assignment proposal and of the possible bad-faith claim against the insurer, and…
Is the estate of a deceased forwarding attorney entitled to a share of fees the receiving attorney later earns in a separate suit the client brought directly, after the forwarder's death?
The opinion concluded that because Canon 34 allows a division of fees only on a division of service or responsibility, the deceased forwarder's estate, which performed no service and shared no…
If a wife consults a lawyer about her marital problems but does not retain him, may that lawyer later represent the husband in a divorce?
The opinion concluded the attorney is prevented from representing the husband: once the wife consulted him about her marital problems, Canon 6 and Canon 37 applied even though she did not retain…
May an attorney who has obtained a default divorce for a client refuse to file or furnish the formal decree until the client pays the fee?
No. The committee concluded that refusing to file or furnish a divorce decree until the fee is paid is professionally improper, because preparing and filing the formal decree is something the…
May a lawyer or firm list their names in the classified or alphabetical sections of a telephone directory, including in exchange areas where they have no office?
A uniform classified listing in the lawyer's own exchange area is proper, but classified listings outside that area are improper. The committee concluded an individual lawyer (but not a firm) may…
In a litigated workers' comp case, can the claimant's lawyer deal directly with the insurance carrier's adjusters instead of the carrier's attorney?
The opinion concluded that the claimant's attorney may deal directly with the carrier's claims representatives to discuss settlement, bypassing the carrier's attorney of record, only if that…
Can a plaintiff's lawyer settle a pending suit directly with the defendant's insurer when defense counsel does not know or consent?
No. The committee concluded it is unethical under Canon 9 for a lawyer to discuss the subject of pending litigation with a represented party (here the defendant's insurance carrier) without the…
After resigning as a corporation's counsel over the president's misconduct, can the lawyer represent stockholders suing the corporation?
The opinion concluded that the lawyer may disclose facts he learned as a director but should not act as attorney against a corporation he served as counsel and director, and especially not in a…
When a lawyer closes a loan for the lender, must he tell an unrepresented borrower about title defects even though the lender has title insurance?
The opinion concluded that a closing attorney acting for the lender should disclose known title defects to an unrepresented purchaser-borrower who deals directly with him, because concealing them…
Can a lawyer serve as attorney for a public board on which his own law partner sits and chairs?
The opinion concluded that the arrangement was not a clear ethical violation if the relationship was publicly disclosed, the board-member partner did not share the fees, and that partner did not…
May a lawyer own an interest in an abstract company, and may he let his name appear as 'General Counsel' in the abstract company's advertisements?
Owning an interest is fine in itself, but it must not be used to solicit law business. The committee concluded that letting the lawyer's name appear as 'General Counsel' in an abstract company's…
May a part-time municipal magistrate who still practices law represent a builder or developer buying land in his municipality when the land will need variances or subdivision approvals?
The opinion concluded such representation would for all practical purposes violate Canon 6, because the land purchases at issue plainly contemplated later proceedings before municipal agencies,…
May a municipal attorney defend a criminal defendant charged with an offense committed in the same municipality the attorney represents?
The opinion concluded such representation would be unethical, because defending a person charged with a criminal offense within the municipality is a task conflicting with the municipal attorney's…
May a lawyer who did not arrange the loan handle the foreclosure of a mortgage that was plainly usurious?
The opinion concluded that an attorney who did not participate in the original usurious transaction may properly handle the foreclosure, because the usury statute permits the lender to sue to…
After defending the car owner at the insurer's request, can the same lawyer defend the driver in a later suit the owner brings over the same accident?
The opinion concluded that the lawyer should not undertake the second defense, because shifting sides in litigation growing out of the same accident would undermine public confidence in the bar,…
May the attorney for a sewer or utility authority also represent developers, and may members of one firm represent a sewerage authority in a different municipality from where they represent developers?
The opinion concluded it is unethical for the attorney of a municipal agency such as a sewer or utility authority to represent developers in the same municipality, but found no conflict in members…
Can a firm add a new partner's name to the firm name while keeping a deceased partner's name in it?
The opinion concluded that adding a new name to a firm name that already includes a deceased partner's name is not necessarily improper, provided the deceased partner's name is properly retained…
Can a lawyer or his firm practice before a court or agency whose members the lawyer has the power to appoint or approve?
No. The committee concluded that a lawyer who holds an office with power to appoint or approve the appointment of a tribunal's members, and his partners and associates, should not practice before…
Can a lawyer refuse to give a government agency information about a client's affairs based on a good-faith claim of privilege or work product?
The opinion concluded that a lawyer does not act unethically by declining to give a government agency information about a client's affairs when he believes in good faith he has legal grounds to…
If a client confides that the deceased testator left a surviving legal spouse with possible claims, can the lawyer keep that secret and still represent the client?
The opinion concluded that the lawyer may not reveal the client's confidence about the surviving legal wife without consent, but also may not continue to act for the client in any matter where that…
When an associate who worked on the employer-carrier's side switches to the claimant's firm, can that firm keep representing the claimant?
The opinion concluded that the claimant's firm should withdraw unless both the employer-carrier and the claimant, after being fully informed, consent to the continued representation, even if the…
Can a lawyer let a newspaper reporter look at the lawyer's own copy of a deposition filed in a public-interest civil case?
The opinion concluded that the lawyer may let a reporter inspect his copy of the deposition if it is available for public inspection in the clerk's office, the reporter initiated the request, and…
May a plaintiff's lawyer contact insured defendants directly to warn them that the verdict may exceed their policy limits and that they should hire personal counsel?
The opinion concluded that while the defendants would be well served by being told the verdict might exceed their coverage, plaintiff's counsel could properly give that notice only through the…
May a retiring lawyer sell his practice to another lawyer for a fixed price paid as a percentage of fees later received from his clients?
The opinion concluded the proposed sale was improper, because paying for a practice through a percentage of fees received from the seller's clients is a division of fees not based on a division of…
May the attorney for a municipal housing authority represent private clients before the same municipality's court, zoning board, planning board, and other agencies?
The opinion concluded the housing authority attorney could not appear before the municipal court, board of adjustment, planning board, township committee, or other municipal bodies of the…
May members of a law firm appear before a city's court and agencies when one partner works full time for that city in a non-legal civil service job enforcing the building code?
The opinion concluded the firm could not appear before the city's court or any of its bodies, because what the municipal-employee partner could not do his partners could not do either, and the…
May a lawyer who is an appointed member of a Chapter 6 board of education represent private clients before the municipality's court and other boards?
The opinion concluded it would be improper, because a board of education functioning under Title 18, Chapter 6, is subject to municipal control through the board of estimate, so the appointed…
Can a lawyer who is sometimes retained by an insurance company also represent third-party claimants pressing claims against that same company?
The opinion concluded that a lawyer on retainer to an insurer should not represent third-party claimants against it, and that a lawyer not on retainer should also decline if the relationship would…
May a lawyer in general practice be named as 'counsel' in a savings and loan association's published statement of condition or newspaper advertisement?
No. Following ABA Informal Decision No. 645, the committee concluded that publishing the name of the general counsel of a corporation, bank, or savings and loan association in any advertisement,…
Can a lawyer advance living expenses to a client while waiting for the client's claim or settlement against a third party to be paid?
The opinion concluded that a lawyer may not advance living expenses to a client pending settlement and collection of a claim, judgment, or award, even where the client badly needs the money and…
Must a workers' compensation claimant's lawyer always pursue the statutory penalty for a late-paid award, and can the lawyer choose not to?
The opinion concluded that it is proper for the claimant's attorney to invoke the statutory penalty for late payment, and that it is not necessarily improper to withhold the penalty where the delay…
Can a lawyer who is sued personally plead the statute of limitations as a defense, for example against a landlord or for funds the lawyer was holding to forward to another attorney?
The opinion concluded that a lawyer does not necessarily act improperly by pleading the statute of limitations when sued, unless he has done something to lull the other party into a false sense of…
If a seller's attorney prepares all the closing documents in a real estate deal, can the attorney bill the buyer for part of the fee when the buyer never hired or agreed to pay him?
The opinion concluded that an attorney should not send a statement for fees and costs to a buyer who never became legally obligated to pay, though because the buyer can simply refuse to pay it, the…
Can a law firm that regularly sues state agencies and officials accept a retainer to represent a state board made up of the Governor and Cabinet?
The opinion concluded that a firm regularly engaged in litigation against state agencies and officials should not accept a retainer to represent a state board composed of the Governor and Cabinet,…
May a lawyer let his name appear on a motor club's published list of attorneys who have agreed to handle members' automobile property-damage claims?
The opinion disapproved the practice, concluding that letting a lawyer's name appear on a motor club's distributed list of attorneys violated Canon 43 because the list was not an approved law list,…
If two former partners keep separate offices but share a conference room and still refer each other work, is one barred from practicing before the municipality where the other is the municipal attorney?
The opinion concluded the two lawyers were 'office associates' under Rule 1:26-5(c) because they shared a conference room and referred each other work, so the rule barred the inquirer from…
Can lawyers practice law through a professional service corporation they form and work for?
Yes. The committee concluded lawyers may practice through a professional service corporation under KRS Chapter 274, reasoning the corporation is not itself practicing law and the form does not…
Can a law firm with offices in two cities use letterhead that lists all of the firm's lawyers and shows both office addresses?
The opinion concluded that a firm with active offices in two Florida cities may use stationery listing all of its lawyers and showing the addresses and telephone numbers of both offices, especially…
Can a lawyer represent a workers' compensation claimant against a corporation when the lawyer is a close friend of, and has personally represented, the corporation's president?
The opinion concluded that, after full disclosure and client consent, the lawyer may represent the claimant against the corporation despite his friendship with and prior personal representation of…
Can a lawyer agree to prepare wills for a client and the client's coworkers, contact those coworkers, and offer a volume discount on the fees?
The opinion concluded that the lawyer may tell the coworker who contacted him that he is willing to prepare the wills, but may not initiate contact with the company or the other employees, must form…
Can a lawyer take over cases from a disbarred lawyer, and can the lawyer pay or split a fee with the disbarred lawyer for work done before disbarment?
The opinion concluded that a lawyer should not accept case referrals directly from a disbarred lawyer, but may take over the disbarred lawyer's matters when the client makes the request and fee…
Can a lawyer represent a client in one lawsuit while opposing that same client as an adversary in a different, unrelated lawsuit?
The opinion concluded that a lawyer should not represent a client in one litigated matter while opposing that client in another, even if the matters are unrelated and no confidences are involved,…
Can an elected county prosecutor represent private clients in civil suits against the county or its agencies when his official duties cover only criminal matters?
The opinion concluded that a county prosecuting attorney should not represent private clients in civil litigation against the county or its boards or agencies, even though his official duties relate…
Can a personal-injury lawyer advance living expenses to an injured client, to be repaid out of any recovery?
The opinion concluded that it is improper for a lawyer in a personal-injury case to advance living expenses to or for an injured client, because doing so amounts to acquiring an interest in the…
May a lawyer who serves as special counsel to a public housing authority print 'Special Counsel for Public Housing Authority of the State of New Jersey' on his own law-office letterhead?
The opinion concluded the designation would be improper as a violation of Canon 27, because listing the public appointment on the lawyer's own attorney-at-law letterhead would unduly advertise the…
May a lawyer take part in a mortgage loan where the borrower pays 'points' to the lender, when those points may push the effective interest above the legal limit?
The opinion concluded that if the lawyer knows or reasonably should know the points charged to the borrower bear no reasonable relation to a service rendered and are a device to exact usurious…
May a lawyer have his wife post a client's bond, take a fee for referring clients to a bondsman, or run property through a bondsman to leave a bond insecure?
No to all three. The committee concluded a lawyer cannot do indirectly through his wife what he is barred from doing directly; that taking a referral fee from a bondsman is unethical under Canons 6…
Can a lawyer print her name, address, and 'Attorney at Law' on the checks she uses in her law practice?
The opinion concluded that a lawyer may print her name, address, and the designation 'Attorney at Law' on checks used in her practice, where this is done simply to give useful identifying…
Can a lawyer for a bank's trust department prepare guidelines for drafting trusts and let the bank distribute them to other lawyers who draft trusts naming the bank as trustee?
The opinion concluded that the bank's trust counsel may prepare guidelines for drafting trusts acceptable to the bank, for the bank to distribute, provided the guidelines are given only to attorneys.
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.