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 lawyer take a case against a former client when the two matters share the same property but different work?
It depends on whether the matters are 'substantially related' under Rule 1.9(a), which Massachusetts has not settled between an 'essentially the same issues' test and a 'same factual context' test. It…
Can a prosecutor agree to a plea bargain that requires the defendant to donate money to STOP-DWI or a charity, and can the donation be kept from the sentencing judge?
If probable cause supports the charge and the terms are legal, a prosecutor may require a donation to STOP-DWI (unless the DA is also its coordinator) or to a charity (absent a disqualifying personal …
Can a lawyer advance a client's court-imposed fines and costs at sentencing and seek reimbursement from the client?
The opinion concluded that a lawyer is not barred from advancing court-imposed fines and costs for a client, provided the client remains responsible for reimbursing the lawyer; the litigation is essen…
Can a personal injury lawyer also represent the client in a deal with a litigation funding company that advances cash for a share of the recovery, and charge a separate fee for that work?
If the financing transaction is legal, the lawyer may represent the client in it and may charge a separate, non-excessive fee, subject to caveats: no ownership of or compensation from the funder, a DR…
In Kentucky, may a lawyer use a subpoena duces tecum to obtain documents from a non-party and then withhold them from the other parties, by canceling a deposition or by inviting certification in lieu of trial attendance?
No. The opinion concluded that using the subpoena power to secretly obtain non-party documents, and failing to share them with the other parties as the civil rules require, violates KRPC 3.4, 4.1, and…
Under North Carolina Rule 1.18, do duties to a prospective client attach to an initial consultation, and how does a firm screen a lawyer to avoid disqualification?
The opinion concludes that 'representation' under Rule 1.18(d) includes an initial consultation, so duties to a prospective client attach even when no attorney-client relationship forms. A firm can av…
Can a lawyer advertise membership in a group like the Million Dollar Advocates Forum that is named for a verdict threshold?
Yes, if it is not misleading under Rule 7.1. The opinion concludes a lawyer may advertise membership in an organization with a self-laudatory name only when the group has strict, verifiable admission …
What can a lawyer do when opposing counsel appears to have a mental health or substance problem affecting the case, and when must it be reported?
The opinion concludes a lawyer may not contact the represented opposing party about it, need not press every advantage, may report observations to the Lawyer Assistance Program, and must report to the…
Can a lawyer threaten criminal charges against an opposing party or witness to gain advantage in a civil matter?
It is not per se unethical, if the criminal and civil matters are related, the lawyer reasonably believes the charges are warranted by the law and facts, and the threat is not extortion or abusive tre…
Can a government lawyer attend and advise at a meeting with a represented contractor's non-lawyer staff, and when does the lawyer 'know' a party is represented?
The opinion concludes a government lawyer may silently attend such a meeting and advise the lawyer's own client if reasonable advance notice is given to opposing counsel and the lawyer does not commun…
Can a New York lawyer who serves as a certified impartial hearing officer also represent parents in special-education hearings, and can the lawyer advertise the certification?
The opinion concludes the lawyer may do both, but may not represent clients in any school district where the lawyer sits as a hearing officer, in matters the lawyer handled as a hearing officer, or wh…
Can a law director try a case in which another lawyer from the same law director's office will testify for the city?
The opinion concluded that it is improper for a law director or assistant law director to act as advocate in a trial in which another attorney from the same office will testify for the city, unless a …
Can a West Virginia lawyer who was appointed to represent an indigent defendant later be paid by the client or by a third party and become privately retained counsel?
Sometimes, on an ad hoc basis. The opinion concludes appointed counsel may become privately retained if the lawyer first discloses the change to the court, is released from the appointment, and never …
Can a lawyer suing a government agency contact the agency's officials directly about the case without the agency lawyer's consent?
Yes. The opinion concludes a lawyer for a party in a controversy with a government agency may communicate directly with the agency's officials about the matter, including settlement, under the 'author…
The town solicitor and manager asked me to represent the municipality in a Superior Court lawsuit, but I already represent private clients in matters before the town's zoning and planning boards. Is that a conflict?
Yes. The panel held representing the municipality in the lawsuit would be a Rule 1.7 conflict because the attorney's existing zoning and planning board clients occupy a position adverse to the municip…
I represent a condominium association through its board of directors, and I want to withdraw because the board keeps rejecting my advice. Can I tell the individual unit owners why I'm withdrawing, since it might benefit the association?
No. The panel held disclosing the reasons for withdrawal to individual unit owners would violate Rule 1.6, because the attorney's client is the association acting through its board, not the individual…
Can a Georgia lawyer charge a client a non-refundable retainer that the lawyer keeps even if the representation ends early?
Yes, within limits. Under Georgia FAO 03-1, a lawyer may contract for a non-refundable special retainer so long as the lawyer still refunds any advance fee not yet earned under Rule 1.16(d) and the fe…
When a former client asks for their file, what does a New York lawyer have to turn over, and can the lawyer charge for assembling it?
The opinion concludes a lawyer must promptly turn over or give access to the files the former client is entitled to possess; under New York law that is presumptively the entire file unless substantial…
If a lawyer sends a creditor a protection letter promising payment from a settlement, must the lawyer pay the creditor even after the client says not to?
Yes. The opinion concludes a lawyer who has sent a protection letter and holds settlement funds in trust is ethically obligated to pay the creditor the reasonable, undisputed amount despite the client…
Are the head and staff of a community-based correctional facility judicial officers or employees for purposes of Ohio Ethics Law?
The opinion concluded that the President/CEO and employees of Oriana House, which operates the Summit County community-based correctional facility, are not judicial officers, judicial employees, agent…
Do I have to report another lawyer, not in my firm, whose mental impairment is hurting their clients?
Yes, in limited circumstances. The opinion concludes that a lawyer who knows another lawyer's mental condition is materially impairing her representation of clients, and who knows she keeps representi…
Can a lawyer refer a personal injury client to a company that advances money repaid out of the settlement?
The Committee concluded that it is ethically proper for an attorney to refer a personal injury client to an independent company that advances money repaid from the settlement, so long as the attorney …
If a Maine lawyer owns a title insurance company, can the lawyer refer a real estate client to it, and do the ethics rules govern the title company's work?
The referral is allowed, but if the lawyer represents the same client in the same transaction, disclosure alone does not exempt the title company's law-related services from the Code; full disclosure …
In a workers' comp third-party case, can my contingent fee be based on the gross recovery even though part of it must be repaid to the comp carrier?
No. The Committee concludes a contingent fee computed on the gross third-party recovery is unconscionable under Rule 1.04(a), because the carrier is entitled to the first money out by subrogation and …
Can a North Carolina law firm outsource the employment of its lawyers and staff to a professional employer organization (PEO) for payroll and benefits?
The opinion concludes the arrangement does not violate Rule 5.4 as long as the PEO does not control or interfere with the lawyers' professional judgment, the PEO is paid a percentage of payroll costs …
Can a criminal defense lawyer stay silent about, or stipulate to, a sentencing worksheet that understates a defendant's prior record level?
The opinion concludes a defense lawyer may decline to stipulate and remain silent when the prosecutor presents an inaccurate prior-record worksheet, but may not stipulate to or otherwise help present …
Can a lawyer use an investigator's pretextual conversation with a represented opposing party as evidence, and can purely visual surveillance be used?
The opinion concludes a lawyer may not proffer evidence of an investigator's pretextual conversation with a represented person, because Rule 4.2 bars through an agent what the lawyer cannot do directl…
Can a New York lawyer agree to swap client referrals with a securities broker or insurance agent who is not on the approved nonlegal-professions list?
Yes. The opinion concludes a lawyer may enter a nonexclusive reciprocal referral arrangement with a broker or insurance agent, provided no fees are shared and the lawyer discloses the arrangement and …
Can a New York lawyer accept a bank 'earnings credit' that reduces the lawyer's bank fees based on balances held in the lawyer's IOLA account?
Only with the client's consent after full disclosure. The opinion concludes the credit is something of value from a third party related to the representation under DR 5-107(A)(2), so the lawyer may ac…
In Colorado, can a lawyer secretly record a conversation, or direct an investigator to, even when one-party-consent recording is legal under state law?
The opinion concludes that surreptitious recording by a lawyer is generally improper even if legal, because it involves an element of deceit under Rule 8.4(c), and that a lawyer generally may not dire…
Can Montana lawyers form a private for-profit lawyer referral service?
No. The opinion concludes the proposed private referral service violates Montana Rule 7.2(c), which permits paying only the usual charges of a not-for-profit lawyer referral service.
Can a liability insurer's salaried staff lawyers represent both the insurer and its insureds, and what may that staff-counsel office call itself?
Yes, with disclosure. The opinion concludes insurance staff counsel may represent both the insurer and its insureds if they tell each insured they are insurer employees and exercise independent profes…
When a judge asks a lawyer to draft a proposed order, must the lawyer serve it on opposing counsel at the same time it goes to the judge?
The opinion concluded that simultaneous service is not strictly mandated as a matter of law, but under Rule 3.5 it is the more professional practice to serve a proposed order on opposing counsel, idea…
Does a law firm's earlier insurance-coverage opinion for a company create a conflict that bars the firm from later bringing a shareholder derivative or class action on that company's behalf?
Because a derivative action is brought in the right of the corporation, the committee concluded the firm represented the same client (the company) in both matters, so no Rule 1.9 conflict arose on the…
Can a lawyer advertise to handle Social Security disability hearings and send a supervised nonlawyer paraprofessional to appear at the hearing, without disclosing that in the ad?
Yes. Where the Social Security Administration authorizes nonlawyer representatives, a lawyer may use a supervised nonlawyer paraprofessional at the hearing without assisting unauthorized practice, and…
I'm a part-time municipal court judge and a partner at my law firm. My municipality just did a property revaluation, taxpayers are asking my firm to handle their appeals, and I want to appeal my own valuation too. Any conflict?
No conflict in contesting your own valuation, and the firm can take the appeals with consent. The panel held nothing bars the judge from contesting a personal property revaluation, and the firm may re…
When a paralegal or other non-lawyer staffer changes firms in Tennessee, can the new firm use screening to avoid being disqualified?
Formal Ethics Opinion 2003-F-147 concludes that under RPC 1.10 a firm may use screening procedures to avoid imputed disqualification in limited circumstances, that imputed disqualification and screeni…
Must (or may) a lawyer tell the bankruptcy court that a former client failed to disclose an inheritance, when the lawyer learned of it only after the representation ended?
The opinion concludes the lawyer is neither required nor permitted to disclose. Rule 3.3's duty to correct false evidence is not triggered because the nondisclosure and the lawyer's discovery both occ…
What do a firm's partners and supervisors have to do when a lawyer in the firm is mentally impaired?
The opinion concludes that when a firm's partners or supervisors know of a lawyer's mental impairment, they must take reasonable steps to assure it will not cause rule violations; if it already has ca…
When lawyers in different firms split a fee based on assuming joint responsibility, does the client have to sign a written agreement?
The opinion concluded that when lawyers not in the same firm divide a fee under DR 2-107(A) based on assuming responsibility (rather than proportional work), each lawyer must assume responsibility thr…
What attorney advertising and solicitation practices does Alabama allow, including business cards, prescription-bag ads, comparative claims, and testimonials?
The opinion answers ten advertising questions: business cards left for third parties to distribute and prescription-bag ads are improper agent solicitation; pro bono offers and communications to forme…
Can a respondent's lawyer send an investigator to interview an unrepresented domestic violence petitioner before a criminal contempt hearing, and what are the limits?
The opinion concludes that respondent's counsel may send an investigator to interview an unrepresented domestic violence petitioner, but must make reasonable efforts (under Rules 5.3 and 8.4) to ensur…
Can a criminal defense lawyer in D.C. argue for jury nullification, or do the ethics rules prohibit urging a jury to acquit against the law?
The opinion concludes that a criminal defense lawyer may not expressly urge a jury to disregard the law (D.C. substantive law disfavors nullification and the standard instruction forbids ignoring the …
Is it a conflict of interest for a lawyer to represent the estate administrator who is also the surviving spouse claiming an elective share against the estate?
The opinion concludes there is no conflict, because the lawyer who represents an estate represents the personal representative, not the beneficiaries, and representing one person in two capacities (as…
Are conflicts imputed across all Virginia public defender offices and capital defense units under one commission, or is each office a separate firm for conflict purposes?
The opinion concludes that a single public defender office is a 'firm' under Rule 1.10, but separate Public Defender Offices and Capital Defense Units under the Public Defender Commission are separate…
Can a New York collection lawyer accept credit card payments from a client's debtors, deduct the fee, and pass on the card processing charges?
The opinion concludes a collection lawyer may accept debtors' credit card payments, must deposit them in a trust or IOLA account, may deduct an agreed non-excessive fee and disbursements (but not disp…
When a client discharges a lawyer and asks for the file, must the lawyer hand over everything in it, including the lawyer's notes and internal memos?
The opinion concludes the lawyer must presumptively give the former client access to the entire file unless substantial grounds exist to refuse, with narrow exceptions for third-party nondisclosure du…
Does the no-contact rule apply to a lawyer who is representing himself and the opposing party has counsel?
The opinion concluded that a lawyer who is a party proceeding pro se is still bound by HRPC 4.2 and cannot communicate directly about the subject of the representation with another person known to be …
A plaintiff's lawyer learns, while representing a client, that a health-care provider she works with regularly is billing for services never rendered. Can she warn other clients or report the provider?
Not without the client's consent. What the lawyer learned in the representation is confidential under Rule 1.6, so she may not reveal it or report the provider's fraud to insurers or law enforcement w…
Can one lawyer represent both a general contractor and its surety in defending a payment bond claim, and when must the lawyer withdraw?
The opinion concludes one lawyer may jointly represent a general contractor and its surety because their interests are ordinarily aligned, but the lawyer must assert only valid defenses and avoid unne…
Can a North Carolina lawyer collect both a contingent fee and a separate court-awarded attorney fee from the same personal injury case?
The opinion concludes a lawyer may collect both the contingent fee and a court-awarded fee, or some portion, so long as the total is consistent with the fee agreement and not clearly excessive under R…
Can a law firm advertise its win/loss statistics or offer clients a money-back guarantee on legal matters?
The opinion concluded that it is improper for a firm to give out statistics on intellectual-property matters won, lost, and settled (misleading and self-laudatory), and improper to offer money-back gu…
Can a law firm help a client buy or sell a business, charge a percentage of the deal, and take a referral fee from a lender or broker?
The opinion concluded that a firm may help its seller-client (or buyer-client) locate the other side and charge a percentage fee with full disclosure and written informed consent, but may not share th…
If the personal representative of an estate is committing fraud, must the lawyer tell the court or the beneficiaries, and may the lawyer keep representing the personal representative?
The opinion concludes the lawyer may, but is not required to, disclose the personal representative's fraudulent or criminal conduct under Alaska RPC 1.6(b)(1); the lawyer may not assist or conceal the…
Can a lawyer holding a real estate deposit release it to the seller client, or require the client to sign an indemnity agreement, when the buyer defaults?
If the buyer has a valid legal claim to the escrowed deposit and the lawyer owes a legal duty to protect it, the lawyer may not release the funds to the seller client; the lawyer must hold them in tru…
Can a lawyer give a second opinion to someone who already has a lawyer in the matter?
Yes. Rule 4-4.2's bar on contacting a represented person applies only when the lawyer is representing a client in the matter, so a lawyer approached by a represented person for a second opinion or to …
How far must a New York firm supervise its partners, associates, and staff who are licensed abroad but not admitted in New York?
The opinion concludes a New York firm must make reasonable efforts to ensure lawyers subject to the New York Code comply with it, and must supervise foreign-licensed lawyers (treated as nonlawyers und…
I'm a town solicitor and my office is prosecuting two juveniles for a fire that destroyed my neighbors' home. My office has recused itself from that prosecution. Can I represent my neighbors in a related civil suit against the juveniles' families?
Yes, but only with consent from both sides. The panel held Rule 1.11 does not bar the representation once the solicitor's office has stepped back from the prosecution, but Rule 1.7 still requires the …
In Kentucky, could a part-time Commonwealth Attorney, or a member of the firm, represent a landowner in a condemnation action brought by the state?
No. The opinion concluded the representation is barred by KRPC 1.7 because the Commonwealth Attorney's client is the Commonwealth and the landowner's position is directly adverse to it, with the disqu…
Can a D.C. lawyer buy a legal claim (a chose in action) from a nonlawyer who is not the lawyer's client?
The opinion concludes that the D.C. Rules do not bar a lawyer (not acting for a client) from buying a legal claim, a chose in action, from a nonlawyer who is not and has not been the lawyer's client; …
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.