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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I want to talk to a former employee of the corporation I'm suing, who has personal knowledge about the facts and might become my expert witness. Do I need the defendant's lawyer to sign off first?
No. The panel held Rule 4.2 permits a lawyer to communicate ex parte with a former employee of an adverse corporate party, without the consent of opposing counsel, because Rule 4.2's bar on contacting…
Can a New York lawyer keep a client's identity secret and use the escrow account to make an anonymous charitable donation for the client?
Yes. A lawyer must keep a client's identity confidential when the client asks, and may run an anonymous donation through the escrow account, provided the lawyer makes no false statement, segregates an…
Can a New York lawyer share legal fees with a non-profit organization that is not a law firm?
No. New York rejected the ABA Model Rule 5.4(a)(4) exception for sharing court-awarded fees with public-interest groups, so under Rule 5.4 a lawyer may not share legal fees with a non-profit organizat…
When a firm hires a new lawyer who learned an adversary's confidences while working as a paralegal, is the firm disqualified, or can screening cure it?
Rules 1.9 and 1.10 do not apply to confidences acquired solely as a paralegal, so the conflict is not imputed to the hiring firm; the firm must instead supervise, instruct, run a conflicts check, and …
Can a lawyer seeking restitution for a crime victim contact the subject of the criminal investigation directly when the subject has a criminal defense lawyer?
Not without first asking. Because the civil restitution claim is closely related to the criminal investigation, the victim's lawyer must inquire of the subject's criminal counsel; direct contact is ba…
If one jointly represented co-defendant revokes a conflict waiver, can the lawyer keep representing the other client?
It depends on the circumstances. With no advance agreement covering revocation, whether the lawyer may continue for the non-revoking client turns on the nature of the conflict, whether the revoking cl…
Can a lawyer record a statutory attorney's lien against a client's real property to secure unpaid fees?
No. The opinion concludes that recording an attorney's lien for fees under AS 34.35.430 violates Alaska Rules 1.5, 1.8, and 1.16; the proper route is to reduce the fee claim to judgment, which gives t…
Can a North Carolina law firm use online banking to manage its client trust account given the duty to safeguard client funds?
Yes. The opinion concludes a law firm may use online banking to manage a trust account if it can meet the Rule 1.15 fiduciary and recordkeeping requirements, including the Rule 1.15-3(b)(3) records fo…
Can a North Carolina law firm use cloud-based 'software as a service' to store and manage client files and data?
Yes. The opinion concludes a law firm may use software as a service (SaaS), where client data is stored on a vendor's remote servers, if it takes reasonable care to minimize the risk of inadvertent or…
Can a North Carolina criminal defense lawyer accused of ineffective assistance disclose confidential information to respond before a court orders it?
Yes. The opinion concludes a North Carolina lawyer accused of ineffective assistance of counsel may disclose confidential information that the lawyer reasonably believes is necessary to respond, inclu…
Can a criminal defense lawyer or prosecutor interview an unrepresented child who is the alleged victim and prosecuting witness, without a parent's or guardian's consent?
The opinion concludes a lawyer may not interview an alleged child abuse victim under age 14 without consent of a non-accused parent or guardian or a court order, but may interview a child 14 or older …
Can a lawyer pay a marketing firm based on the number of clients it introduces?
No. Under Rule 7.2, a lawyer may pay the reasonable cost of marketing, but may not tie a marketing firm's compensation to the number of potential or actual clients it introduces, because that gives th…
I filed a Chapter 7 bankruptcy for my client's mother, and now the client wants me to file his own Chapter 7, but the trustee might try to unwind a property transfer he made to his mother. Is representing him a conflict because of my prior work for her?
No. The panel held it is not a Rule 1.9 conflict to represent the son in his own bankruptcy even though a property interest of the mother, a former client, could be affected, because the son's bankrup…
Can a North Dakota law firm pay an out-of-state firm a percentage of fees collected in exchange for being its exclusive referral firm for North Dakota clients?
No. The committee concluded the arrangement violates Rule 1.5(e) because the percentage paid to the out-of-state firm is for the referral alone, not in proportion to services performed and with no wri…
Can a debt-collection lawyer use a daily bank sweep on a client trust account to disburse collection payments to the client automatically?
Yes, but with safeguards. The committee concluded a lawyer may set up a separate interest-bearing trust account for a debt-collection client and honor a daily sweep, but only if the sweep removes fund…
Can a lawyer who once represented the wife (separately, and jointly with the husband against a third party) now represent the husband on appeal in their divorce?
The opinion concludes the lawyer's earlier separate representation of the wife does not bar representing the husband on appeal because it is not substantially related, but the joint litigation against…
Can a plaintiff's lawyer contact the client's medical providers and offer to prepare and file medical liens for them so the full medical bills become admissible?
Qualified yes. The committee concluded a plaintiff's attorney may, with the informed written consent of both the injured client and the providers, offer to prepare and file a medical-provider lien, bu…
Can a lawyer charge a contingent fee to help a will beneficiary recover more of the estate than she was told she would receive?
Yes, a reasonable contingent fee is permissible in a probate matter where the lawyer's work creates a genuine risk and recovery, here a percentage of any amount obtained above the $30,000 the executor…
Can a lawyer who learns a client is running a financial scam report the client to law enforcement, and must the lawyer do so?
The lawyer is not required to report a financial scam that does not threaten substantial bodily harm, but Washington RPC 1.6(b)(2) permits disclosure to prevent a client from committing any crime, lim…
Can a lawyer pay a non-profit bar association a percentage of the fee for referring clients, and does the referral-service exception allow it?
No. The committee concluded that paying a non-profit bar association a percentage of the fee is prohibited fee-sharing with a non-lawyer under RPC 5.4(a); RPC 7.2(b)(2)'s allowance for a referral serv…
When can a lawyer withdraw from an immigration case for nonpayment or a client's silence, and how much can the lawyer tell the court about why?
A lawyer may withdraw when a client stops communicating or fails to pay after reasonable warning, but RPC 1.6 limits what the lawyer may tell the court; a statement that professional considerations re…
Can the portion of a flat fee meant to cover specified costs (like a filing fee) be treated as the lawyer's property, or must it go in trust?
It must go in trust. An advance specified for expenses cannot be part of a flat fee that is the lawyer's property on receipt; it must be deposited in the lawyer's IOLTA account and kept there until th…
What must a lawyer do when a client's creditor serves a writ of garnishment on the lawyer's trust account holding the client's advance fee deposit?
If the client disputes the writ, the lawyer must hold the funds in trust under RPC 1.15A(g) until the court or the parties resolve the dispute; if the client does not dispute it, the lawyer must disbu…
Is a corporation's general counsel responsible for the ethical conduct of an in-house lawyer the company keeps outside the legal department and outside the GC's control?
No. Where the corporation places another in-house lawyer outside the legal department and refuses to subject that lawyer to the general counsel's control, RPC 5.1 imposes no supervisory duty on the ge…
Can a lawyer turn over client files and unredacted financial records to the state Department of Revenue during a tax audit without the client's consent?
No. RPC 1.6 obligates the lawyer to keep client files and unredacted client-related financial records confidential, even when the Department of Revenue demands them in an audit, absent the client's pe…
Must a lawyer warn a client who emails the lawyer from an employer-owned computer or account that the communications may not be private?
Yes. Once the lawyer believes there is a significant risk a third party will access the communications, the lawyer must warn a client using an employer-provided device or account that the employer may…
What are a lawyer's duties around metadata: protecting it when sending documents, handling it when received, and mining a scrubbed document for it?
A sending lawyer must act competently to scrub confidential metadata; a receiving lawyer who finds inadvertently disclosed metadata must notify the sender but may read it; and using forensic software …
Can a lawyer store confidential client files with a third-party cloud or online storage provider?
Yes. A lawyer may use third-party online data storage for confidential client files if the lawyer conducts reasonable due diligence on the provider and continues to monitor its security, to protect co…
Can a lawyer pass the credit-card processing fee on to the client when the client pays the lawyer by credit card?
The Rules of Professional Conduct do not prohibit it, provided the lawyer gives advance notice and charges no more than the actual transaction cost; but the lawyer's merchant-services agreement typica…
Can a lawyer use a debit card tied to the IOLTA trust account to pay a court filing fee electronically?
Yes, provided the lawyer never uses the card to withdraw cash, safeguards the card, confirms the client has sufficient funds for the charge and any transaction fee, and keeps records of every debit tr…
Can a lawyer take a security interest in a client's real property to secure payment of fees, including during a divorce case?
Yes. Under RPC 1.8(i) a lawyer may take a contractual security interest in a client's real property to secure fees; if the interest is added by modifying an existing fee agreement, the lawyer must als…
May a California lawyer run a virtual law office where all client communication and storage are handled through a third-party cloud vendor's portal, and what does she have to do to comply with her ethical obligations?
Per California Formal Opinion 2012-184, the Rules of Professional Conduct do not impose greater duties on a VLO than on a traditional office, but the cloud-only structure triggers specific due-diligen…
May a former senior associate disclose client confidences to her own attorney to evaluate a wrongful discharge claim against her old firm, and may either of them publicly disclose those confidences in the litigation?
Per California Formal Opinion 2012-183, the associate may privately disclose to her own attorney so much of the firm's client's confidential information as is necessary to evaluate the claim, but neit…
Can an Alabama lawyer sell discounted legal services through Groupon or other daily-deal websites?
No. The opinion concludes that the website's percentage cut is impermissible fee sharing with a non-lawyer under Rule 5.4, and the model also implicates the trust-account, refund, conflict-check, comp…
Can an Illinois lawyer charge a contingent fee to find and recover a client's unclaimed property?
It depends, and the fee must still be reasonable. There is no per se bar; whether a contingent fee is proper turns on what the lawyer knew at the outset about whether the property exists, its amount, …
When may an Illinois divorce lawyer use an advance payment retainer instead of a security retainer?
Only when a security retainer cannot accomplish the client's purpose. Rule 1.15 permits an advance payment retainer (which becomes the lawyer's property and goes in the general account) in any type of…
Can a lawyer licensed only in another state represent a party in an Illinois grievance arbitration, and how may that lawyer advertise in Illinois?
Yes, on a temporary basis. Rule 5.5(c)(3) lets an out-of-state lawyer who is not disbarred or suspended provide legal services for a grievance arbitration in Illinois if the services are temporary, re…
May a new Illinois lawyer discuss a client matter with a mentor from a formal mentoring program who is not in the same firm?
Yes, within limits. A new lawyer may discuss general or abstract questions with a mentor outside the firm as long as the client cannot be identified and no information relating to the representation i…
May an Illinois lawyer post a client's question on a bar association listserv or online discussion group to get advice from other lawyers?
Yes, with limits. A lawyer may consult other lawyers on a listserv if the inquiry is general or abstract and carries no real risk that the client can be identified or that information relating to the …
After an associate leaves an Illinois law firm, may the associate contact firm clients he worked with, tell them they can follow him, and when must the client be notified of the departure?
Yes. A departed associate may contact firm clients with whom he had an attorney-client relationship to report his departure and tell them they may stay with the firm or move the file to him, so long a…
Can an Illinois city attorney keep advising the plan commission and city council after a partner in the same firm appears before those bodies to oppose a zoning change?
Not without informed consent. The partner's appearance against the city creates a Rule 1.7 conflict imputed firm-wide under Rule 1.10, and the city attorney's recusal from the partner's matter does no…
Can lawyers who share an office but keep separate finances, staff, and trust accounts call themselves an LLP 'law firm' partnership?
No. Holding out largely independent practices that do not share profits as a partnership or LLP is misleading to the public under Rules 7.1 and 7.5(d); a firm name may state or imply a partnership onl…
Can an Illinois lawyer keep representing a school district when a partner in the same firm has brought a proceeding against the district?
Only with informed consent. The partner's proceeding is directly adverse to a current firm client, creating a Rule 1.7 conflict imputed to the whole firm under Rule 1.10; recusing from the matter does…
Can a lawyer treat an ACH transfer into the trust account as 'collected funds' that may be disbursed for a real estate closing?
No, not right away. Because ACH deposits can be reversed, they may not be treated as collected funds under Rule 1.15 at least until five banking days after receipt, when the window to reverse an erron…
Can a discharged Illinois lawyer enforce a fee-division agreement with the client's new lawyer without the client's written consent?
No. Rule 1.5(e) requires the client's written agreement to any fee division between lawyers not in the same firm, so a discharged-lawyer/successor split without it is unenforceable. The discharged law…
When a deceased client's file is demanded by the estate's personal representative, who was the client's adversary in life, must the lawyer turn it over?
Not without authorization. Confidentiality survives the client's death, so the lawyer may release file items only to the extent the deceased client or the probate court specifically authorized; anythi…
Can an Illinois lawyer withdraw from a divorce when an irrational client refuses to sign a favorable settlement, and can the lawyer ask the court to consider a guardian?
Yes on both. Rule 1.16(b) permits withdrawal where the client makes the representation unreasonably difficult or insists on action the lawyer fundamentally disagrees with. Under Rule 1.14(b)-(c), a la…
Must a law firm's billboard advertising in South Carolina name a South Carolina-licensed lawyer, and may the billboard show the likenesses of firm members not licensed in South Carolina?
An out-of-state firm may advertise on billboards in South Carolina and include images of firm members not licensed in South Carolina, if the billboard meets all South Carolina advertising rules. Rule …
Can a lawyer licensed only in another state primarily practice in Illinois if an Illinois-licensed partner supervises the Illinois matters?
No. Rule 5.5(b) bars a lawyer not admitted in Illinois from establishing a systematic and continuous presence in Illinois for the practice of law, even with an Illinois-licensed partner supervising an…
Does letting a title insurance company's third-party auditor conduct an off-site desk review of a lawyer's trust account violate the duty of confidentiality?
It depends on how the audit is conducted. A properly conducted off-site audit does not violate Rule 1.6. The lawyer may share overall account balances and basic reconciliation (no client-identifying d…
Must an Illinois lawyer reveal a client's confidential information to prevent a threatened child sexual abuse by a third party?
Yes, where the Rule 1.6(c) test is met. Child sex abuse is 'substantial bodily harm,' so an Illinois lawyer must reveal information relating to the representation to the extent reasonably believed nec…
If a lawyer holds a mortgage on the property in dispute to secure unpaid fees, does advising the client on a settlement that would make that mortgage more valuable create a conflict of interest?
Not automatically. A mortgage securing the fee is permitted if Rules 1.8 and 1.5 are met; a settlement decision that affects the lawyer's fee does not create a conflict unless the lawyer reasonably be…
Does an Illinois lawyer have to tell the court that an unrepresented opponent has a defense the lawyer believes is unenforceable?
No. Rule 3.3's candor duty requires disclosing controlling adverse legal authority, not adverse facts. The lawyer need not alert the court to an agreement that could give the unrepresented opponent a …
Can a lawyer form a for-profit mediation firm with non-lawyer mediators and share in its profits?
Yes. Rules 5.4 and 7.2(c) do not bar a lawyer from joining a for-profit mediation firm with non-lawyers and sharing its profits, so long as the firm does no legal work and clients understand it is not…
How long must an Illinois lawyer keep client files, trust-account records, and conflict records, and when can routine case files be destroyed?
Client-identity records under Supreme Court Rule 769(1) must be kept indefinitely; trust-account records (Rule 1.15) and financial records (SCR 769(2)) for at least seven years. Routine case-file mate…
Can an out-of-state partner who is not licensed in South Carolina be the sole signatory on the firm's South Carolina IOLTA trust account?
No. The arrangement satisfies Rule 1.15 and Rule 412, SCACR, but it violates Rule 417, SCACR, as amended in 2011, which lets only a lawyer admitted in South Carolina, or someone under that lawyer's di…
Can an Illinois lawyer who consulted with one spouse about a divorce later represent the other spouse in the same divorce?
Generally no. Under Rule 1.18, the first spouse is a prospective client; if the lawyer received information that could be significantly harmful in the same matter, the lawyer (and the firm) is conflic…
Can an Illinois lawyer label a soliciting mailing 'promotional materials' instead of 'Advertising Material' to satisfy Rule 7.3(c)?
No. Rule 7.3(c) requires the specific words 'Advertising Material'; labeling a solicitation 'promotional materials' does not comply. The labeling requirement applies only to direct solicitations of pr…
Can a South Carolina lawyer answer legal questions for pay on a site like JustAnswer.com?
Not on a site like JustAnswer.com. Its use of 'expert,' testimonials and endorsements without required disclaimers, and buried disclaimers that try to deny an attorney-client relationship while inviti…
Can an Illinois lawyer join a business networking group that trades client referrals between members, including nonlawyer professionals?
Yes, with conditions: the reciprocal referrals must be non-exclusive, the client must consent before the lawyer shares the client's name and be told the referral arrangement exists, and the arrangemen…
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Persuasive authority: Not binding like court discipline decisions, but state bar formal opinions carry substantial weight.
- 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.