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 Texas lawyer label a fee a non-refundable retainer when it actually pays for legal services up to trial, and deposit it in the operating account?
Per the Committee, no. A true non-refundable retainer pays only to secure the lawyer's availability and preclusion of other work, and only that may go in the operating account. A payment for future se…
Can a plaintiff's lawyer personally agree to indemnify and hold the opposing party harmless against unpaid medical liens as a condition of a personal injury settlement, and can opposing counsel demand it?
No. The opinion concludes that a plaintiff's lawyer personally agreeing to indemnify the opposing party against any and all third-party lien claims violates Rules 1.7(a) and 1.8(e), and that asking op…
Must a lawyer who receives a party's private emails with their own counsel notify opposing counsel?
Not under the Model Rules. The opinion concludes that emails an employer retrieved from an employee's workplace computer were not 'inadvertently sent,' so Rule 4.4(b) does not apply and no Model Rule …
Can a Texas lawyer take a contractual security interest in the client's cause of action to make sure the lawyer's contingent fee gets paid?
Per the Committee, no. Rule 1.08(h) bars a lawyer from acquiring a proprietary interest in the subject matter of litigation except a contingent fee under Rule 1.04 or a lien granted by law. A contract…
Can an insurance company's staff defense lawyer share office space with a non-lawyer adjuster from the same company who evaluates coverage on the lawyer's cases?
Per the Committee, yes, if the lawyer protects client confidences. The Rules do not bar a staff insurance lawyer from sharing office space with a non-lawyer adjuster, but the lawyer must take all reas…
Can a legal aid lawyer represent a client in a custody case against someone the same organization represented before, represents now, or screened but rejected for the same matter?
Per the Committee, it depends on the role. Against a former client in an unrelated matter, representation is allowed if there is no reasonable probability of misusing the former client's confidential …
In a malpractice case, can a lawyer tell the client's treating physician not to talk to opposing counsel after privacy and privilege bars are lifted?
The opinion concludes that under D.C. Rule 3.4(f) a lawyer may not request or instruct a client's non-party treating physician to refrain from giving information to, or speaking with, opposing counsel…
When moving to withdraw, can a lawyer tell the court the client won't cooperate, won't pay, or has stalled discovery?
No, qualified. The opinion concludes those reasons are usually protected client information, so a lawyer cannot volunteer them in a withdrawal motion; a mere dispute or nonpayment is not yet a 'contro…
Does a stranger who sends an unsolicited email become a prospective client the lawyer owes confidentiality to?
The opinion concludes that a person who sends a unilateral, unsolicited communication has no reasonable expectation that the lawyer is willing to discuss forming a relationship, so the duties owed to …
Can a plaintiff's lawyer agree to indemnify the defendant's insurer against unpaid liens as a condition of settling the case?
No. Agreeing to indemnify the insurer for the client's unpaid liens is improper financial assistance under Rule 1.8(e) and creates a non-waivable conflict under Rule 1.7(a)(2). It is also a Rule 8.4(a…
Can a criminal defense lawyer advise a client to accept a plea deal that waives the right to claim ineffective assistance, and can a prosecutor require it?
No to both. A defense lawyer cannot ethically advise a client to waive future ineffective-assistance claims because of a non-waivable conflict between the lawyer's interest and the client's (Rules 1.7…
Can a lawyer take a case on a contingent fee when the client has already retained a non-testifying expert who is paid a percentage of the recovery?
Yes. There is no ethical barrier to a lawyer agreeing to a contingent fee where the client has separately retained a non-testifying expert who is also paid a percentage of the recovery, because the la…
Can a lawyer who defends criminal cases in town court also take a part-time job prosecuting traffic offenses in the same county?
No. A lawyer who prosecutes traffic and other offenses for a locality represents the people of the state, which is inherently incompatible with defending criminal cases anywhere in New York. The resul…
Can a North Carolina lawyer let a non-employee, non-affiliate, or a client send a letter on the firm's letterhead?
No. The opinion concludes a lawyer may not let a person who is not employed by or formally affiliated with the firm, including a client, send a letter on the firm's letterhead, because it creates the …
Can a North Carolina law firm use a live chat support service on its website without violating the solicitation rules?
Yes. The opinion concludes website live chat is not prohibited solicitation under Rule 7.3(a), because that rule reaches only lawyer-initiated real-time contact and here the website visitor initiates …
Can a North Carolina lawyer represent the lender in a contested foreclosure when his spouse and paralegal own the corporation appointed as substitute trustee?
No. The opinion concludes that the lawyer's indirect financial interest in the corporate substitute trustee, through a spouse and paralegal who own its stock, makes the corporation appear to be the la…
I deposed a former employee of the defendant corporation, and she had her own lawyer at the deposition. Can I meet with her ex parte now, without going through that lawyer?
No. The panel held that because the former employee was represented by counsel at her deposition in the lawsuit, Rule 4.2 requires the inquiring attorney to get that lawyer's consent before communicat…
Can a part-time assistant district attorney also defend criminal cases in private practice, and what happens to the lawyer's firm?
The opinion concludes that because a Wisconsin prosecutor's client is the State, a part-time assistant district attorney has a non-waivable conflict barring the lawyer from representing criminal defen…
Can a lawyer who is changing firms tell the prospective firm which clients and matters he has worked on so the firm can run a conflicts check, without breaching client confidentiality?
Per the Committee, yes, within limits. Rule 1.05(c)(4) permits the disclosure as necessary to comply with the conflicts rules (1.09 and 1.10) if four conditions are met: disclosure comes only after ot…
Can an attorney serve at the same time as county counsel and as mayor of a strong-mayor municipality in the same county?
No. The Committee found a per se conflict when an attorney serves both as county counsel and as mayor of a constituent Faulkner Act 'strong-mayor' municipality, so the attorney may not hold both roles…
Can a lawyer condition a settlement on the client agreeing not to file, or to withdraw, an ethics grievance against the lawyer?
No. The Committee concluded that demanding, as a condition of settlement, that a client not file or withdraw an ethics grievance is prejudicial to the administration of justice and violates RPC 8.4(d)…
What must a Colorado lawyer do in a civil case after learning that the lawyer, the client, or a witness gave the court false evidence?
The opinion concludes that under Colo. RPC 3.3 a lawyer who knows material evidence is false must take reasonable remedial measures: first remonstrate confidentially with the client, then, if needed, …
Can a lawyer offer a prize as an incentive for people to connect with the lawyer on Facebook, LinkedIn, or other social networking sites?
Yes, assuming the prize offer is not itself illegal. But if the offer's primary purpose is retention of the lawyer, it becomes an advertisement subject to Rule 7.1, and if it is also targeted at speci…
One of my clients told me not to pay a third party out of his settlement funds, but the third party says she's owed money out of those same funds. What do I do with the money, and can I keep representing both people?
The panel held the attorney must hold the disputed amount in trust (or pay it into the court registry and let a court decide) rather than side with either party, and that continuing to represent both …
Can a lawyer use a nickname or an English translation of a foreign first name on business cards and a firm website instead of the name on the Roll of Attorneys?
Yes, as far as the Rules of Professional Conduct are concerned, so long as the name used is not misleading as to the lawyer's identity. But the lawyer must separately comply with the statutes, court r…
What can a D.C. lawyer do with money sitting in a client trust account when the client cannot be located?
The opinion concludes that after reasonable but unsuccessful efforts to locate a missing client, a lawyer should presume the client's trust account monies abandoned and, where the D.C. Unclaimed Prope…
Can a lawyer who once represented a wife take on the husband in their later divorce, when the prior matter was a different family-court case?
Only with the former client's informed written consent if the two matters are substantially related. They are substantially related when a reasonable lawyer would see a substantial risk that confident…
Can a lawyer set up a mutual referral arrangement with a debt-reduction company and charge clients a contingent fee based on the debt reduced?
Yes to both, with conditions. A non-exclusive reciprocal referral arrangement with a debt-reduction company is permitted, and the limited relationship here does not make the lawyer 'affiliated' with t…
Can a solo lawyer name the practice 'The Smith Tax Law Firm' to show a practice area, and may a solo use the word 'Firm' in the name?
No to the practice area: including an area of law in the firm name (like 'Tax') makes it an impermissible trade name that misleadingly implies an officially recognized category of 'tax law firms.' Yes…
Can one lawyer represent both a corporation and its sole owner when a fraud claim is brought against the owner personally?
Yes, on these facts. Because the president is the corporation's sole shareholder, director, and officer, the two do not have 'differing interests' under Rule 1.7; they are united in prosecuting the co…
Can two different lawyers at the same firm represent both the mortgage lender and the seller in the same residential real estate closing?
Only in limited circumstances. The representation always involves differing interests under Rule 1.7(a)(1), so the firm may proceed only if each lawyer reasonably believes they can give competent and …
Can a lawyer disclose a client's confidential information to prevent harm or a crime, and is information learned after the representation ended still confidential?
A lawyer is permitted, but not required, to disclose a current or former client's confidential information when the lawyer reasonably believes it necessary to prevent reasonably certain death or subst…
Can a Kentucky lawyer help a client obtain pre-settlement litigation funding during a case, charge for the help, and must the lawyer honor the client's promise to repay the lender from any recovery?
A lawyer may help a client identify a third-party lender and facilitate funding (the lawyer may not lend the money personally), may charge for services beyond the original engagement, and must hold di…
What must a California firm do before and after hiring a nonlawyer employee (law clerk, secretary, investigator) who may have been exposed to confidential information about an adverse party at a prior employer?
The hiring firm must reasonably investigate prior exposure without probing the substance, instruct the new employee on confidentiality, and timely screen the employee from any matter where the employe…
After Estate of Schneider v. Finmann, can the lawyer who drafted a decedent's estate plan also represent the executor administering that estate?
Yes, as long as the lawyer does not perceive a colorable legal malpractice claim against himself arising from the estate planning. If such a claim is apparent at the outset or arises during the repres…
Can a New York lawyer share a personal injury fee with an out-of-state lawyer who is not admitted in New York?
Yes, if the split meets Rule 1.5(g): proportional to each lawyer's work or a written assumption of joint responsibility, the client's written consent after disclosure of the division, and a total fee …
If a lawyer admitted only in another state practices immigration law from a New York office, what must her letterhead and business cards say?
Assuming she may practice and the New York Rules apply, her letterhead and business cards must state that she is admitted only in her licensing state and that her New York practice is limited to immig…
Can a part-time assistant public defender take an assigned-counsel case that another lawyer in the same public defender office is conflicted out of?
No, not without a valid waiver. A public defender office is a 'firm,' so one assistant public defender's Rule 1.7 or 1.9 conflict is imputed to every lawyer in the office, including part-timers in a d…
What must a lawyer do in a criminal appeal when the client has directed an appeal but cannot be contacted?
The lawyer must make a reasonable inquiry to locate and contact the client and, where the client previously directed an appeal, must file the notice of appeal and points on appeal; the lawyer may then…
Is a collaborative law four-way disqualification agreement, which requires lawyers to withdraw if negotiations fail, ethically permissible?
Yes. The opinion concludes the four-way disqualification agreement does not per se violate the Alaska rules, because Rule 1.2(c) permits limiting the scope of representation; the client must give sepa…
Can a Virginia criminal defense lawyer, or an agent, secretly record an interview with an unrepresented third-party witness, and must the lawyer disclose his role?
The opinion concludes a criminal defense lawyer (or an agent) may use lawful undisclosed recording to preserve a witness's statement without violating Rule 8.4(c), reversing the old near-blanket ban. …
If a lawyer suspects the client paid the retainer with fraudulently obtained money, can the lawyer keep the refundable unearned portion in trust instead of returning it, where no one has claimed the funds?
Per the Committee, no. With no claim asserted by anyone, Rule 1.14(b) requires the lawyer to return the refundable unearned fee to the client and account for it; the lawyer's suspicion about the funds…
Can the New York office of a multistate firm use a trade name, and can a New York PLLC be owned by an out-of-state PLLC?
No to the trade name: a New York office may not practice under an initials-based trade name or a name combining a partner's name with a trade name. Yes to the ownership question, if all owners of the …
Can a law firm pay a nonlawyer business developer a percentage of grants its clients are awarded?
It depends on whether the grant writing is legal services. If it is, Rule 5.4(a) bars paying the nonlawyer a percentage of grants and Rules 7.1, 7.2, and 7.3 limit the marketing. If it is distinct non…
Can a Maine lawyer personally sign a hold-harmless or indemnification agreement to settle a client's personal injury claim?
No. The opinion concludes it is improper for an attorney to personally indemnify or hold an adverse party or insurer harmless against liens and subrogation claims as part of settling the client's pers…
Can a North Carolina criminal-defense lawyer advise an undocumented client to pay bond, seek a continuance, and appeal a DWI when those steps may lead to deportation or dismissal?
No violation. The opinion concludes a lawyer may advise an undocumented criminal defendant of the legal option to pay his bond and face possible deportation, may move to continue the trial, and may fi…
If a former client waits to object to her old lawyer's adverse representation, must the lawyer withdraw under Rule 1.9?
Not necessarily. The opinion concludes that although mere delay is usually not a waiver of a former client's right to object under Rule 1.9(a), a former client's failure to object in time can amount t…
When is a North Carolina lawyer a 'necessary witness' who must withdraw as trial advocate under Rule 3.7, and does the bar reach pretrial work or self-representation?
A lawyer is a 'necessary witness' under Rule 3.7 when the testimony is relevant, material, and unobtainable by other means; the lawyer must keep evaluating this as the case develops and must withdraw …
When can a lawyer ethically agree to a flat fixed fee to handle an indeterminate amount of legal work, including insurance defense work?
Flat fixed-fee contracts are allowed if the fee is reasonable and the lawyer still provides competent, diligent representation. Risk rises as the work becomes indeterminate and a third party pays; a f…
Does a lawyer presenting a forms seminar create a lawyer-client relationship, and may law students help attendees fill out the forms?
If the lawyer gives only legal information, no lawyer-client relationship forms and students may help complete forms; if legal advice is given, the program must run under SCR Chapter 50 supervision an…
Can a part-time government social services lawyer defend, in private practice, a client the agency is prosecuting for child neglect?
No. A part-time Social Services lawyer who prosecutes neglect cases cannot also defend that client in an unrelated criminal matter; the role conflict is non-consentable and is imputed to the whole leg…
Can a paralegal or non-attorney legal assistant sign routine correspondence to clients, adverse attorneys, or courts in New Jersey?
Yes, for routine non-substantive correspondence. Modifying Opinion 611, the Committees concluded a supervised paralegal may sign routine, non-substantive correspondence if the paralegal's non-attorney…
Can in-house general counsel make staff attorneys sign a confidentiality agreement as a condition of employment?
Yes, even one that on its face reaches information beyond what the Rules protect, so long as it includes a savings clause making plain it does not restrict the lawyer's right to practice law after lea…
Can a lawyer have a paralegal hand-deliver law firm name-change announcements to nearby homes?
Yes, but only without personal contact. The announcement is an advertisement and a solicitation, so a paralegal who leaves it on a door or porch is fine, but a paralegal who comes into personal contac…
Can a lawyer agree to represent a criminal defendant for arraignment only and then withdraw?
Yes, a lawyer may limit a criminal representation to arraignment if the client gives informed consent, the scope is reasonable, and it is not prejudicial to the administration of justice. But the duty…
Can a lawyer who sits on a town council represent a client challenging the constitutionality of an ordinance the lawyer voted to adopt?
There is no per se bar. Because the lawyer participated personally and substantially in adopting the ordinance, Rule 1.11(b) requires consent from both the client and the government agency, and the la…
I'm calling the testator's treating physician as both a fact witness and an expert on competency in a will contest. Can I pay the physician for the expert testimony?
Yes. The panel held that compensating a treating physician for expert opinion testimony is not a prohibited inducement to a witness under Rule 3.4(b), even where the same physician will also give fact…
Can a lawyer refer litigation clients to a litigation financing company owned by the lawyer's spouse?
No, not to provide financial assistance the lawyer is personally barred from giving. Rule 1.8(e) bars a lawyer from advancing or guaranteeing living-expense funds to a litigation client, and that bar …
Must a lawyer report a former employer-lawyer's misconduct, and can the lawyer tell that lawyer's clients?
A lawyer must report another lawyer's misconduct under Rule 8.3(a) when it raises a substantial question about that lawyer's honesty, trustworthiness, or fitness and reporting reveals no confidential …
Can a law firm keep a name partner's name in its name after that partner leaves to become a corporation's in-house counsel?
No. A partner who leaves to practice as in-house counsel is not 'retired' under Rule 7.5(b), and the firm cannot keep his name by treating him as on open-ended leave or as of counsel while he minimize…
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.