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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Is it unethical for a lawyer to give a bank a copy of a legal description from the lawyer's file for a no-title-work mortgage?
The committee concluded that merely providing a copy of a public record to a requesting party, absent anything further, is not unethical; it declined to decide whether the bank's no-title-work 'Blind …
Can a lawyer provide a title opinion for a loan a bank closes itself, without the lawyer present at closing?
The committee declined to decide whether the bank's conduct is the unauthorized practice of law (a question of law for the courts), but concluded that under Rule 5.5(b) it would be unethical for an at…
Does the six-year clock for keeping a client's financial records run from each matter ending or from the whole relationship ending?
The committee concluded that Rule 1.15(a)'s six-year record-retention period runs from the conclusion of each particular matter, not from the termination of the entire attorney-client relationship; ot…
Can a lawyer give an adult client's psychiatric report to the parent who hired and paid the lawyer?
No, on these facts. The opinion concluded the adult daughter, not the paying father, is the client, so the lawyer may not divulge her psychiatric report to him unless the lawyer believes she is disabl…
Can a closing attorney represent a buyer when the seller or lender will pay the buyer's fees only if their own attorney is used?
The committee concluded the attorney has no duty to ask the seller or lender to drop the condition (so long as the attorney did not pay for the referral through reduced fees or otherwise), but if the …
When can a Maine lawyer discuss a client's matter with a lawyer outside the firm without the client's consent, and is that conversation privileged?
It depends on the purpose and the conditions. The opinion concluded a lawyer may consult outside counsel for the client's benefit without consent if no conflict exists and either the consulted lawyer …
Can a Maine lawyer require, in the initial engagement agreement, that the client arbitrate any future legal-malpractice claims?
Yes. The opinion concluded a prospective agreement to arbitrate malpractice claims is permitted under the Maine Bar Rules and is not an agreement 'limiting' the lawyer's liability, so long as it prese…
Can a solo lawyer who is retiring sell the law practice to another lawyer, and what does D.C. require?
The opinion concluded that selling a law practice on retirement is not unethical even though D.C. had not adopted Model Rule 1.17, so long as the retiring lawyer can terminate representations consiste…
Did a lawyer who listed practice areas in an online directory have to include Tennessee's specialization-certification disclosures?
Vacated. As originally issued, Formal Ethics Opinion 99-F-144(a) (a December 1999 reissue of 99-F-144) concluded that lawyers listing areas of practice on the Internet, including law directories or ot…
Can an Ohio lawyer set up a website intake form that lets visitors email legal questions and get paid answers from an attorney?
The opinion concluded that a lawyer may place an online intake form on a firm website that lets visitors email legal questions and receive paid email answers, because providing such advice is professi…
Must a criminal defense lawyer tell the court about a clerical error in the judgment that would let the defendant serve less time than the judge ordered?
The opinion concluded that a criminal defense attorney has a duty to notify the court of a clerical error in a judgment entry that would cause the defendant to serve a lesser sentence than ordered, be…
Can a lawyer licensed in another state but not Ohio be a partner or equity holder in an Ohio law firm, and does referring out a case the firm cannot handle make it a referral service?
The opinion concluded that under Gov. Bar R. III an attorney licensed in another state but not Ohio may be a member, partner, or equity holder in an Ohio legal professional association or similar enti…
Can an Ohio lawyer refer a client to a company that buys part of the client's money judgment for cash during an appeal, and can the lawyer take such funding too?
The opinion concluded that a lawyer may refer a judgment-holding client to a company that buys a minority interest in the judgment and advances cash during an appeal, if the lawyer determines the refe…
Can our corporate legal department charge our subsidiaries market-rate fees, rather than just cost, for in-house legal work?
The Committee concluded a corporation may not charge its subsidiaries market-based fees (anything above its costs) for legal services rendered by its in-house staff, even if the excess is later rebate…
When a lawyer leaves a law firm, may the lawyer contact the clients he worked with to tell them they can move their files to his new firm or stay with the old one?
The opinion concluded that a departing lawyer may contact clients for whom he provided legal services. The solicitation restrictions of ER 7.3(a) do not apply where the lawyer had significant personal…
May an Arizona lawyer let a nonlawyer paralegal who is a licensed tribal-court advocate represent the lawyer's clients in tribal court, where tribal-court rules let nonlawyers appear but bar the lawyer from doing so?
The opinion concluded that the lawyer may, when the tribal court's own rules permit the paralegal to represent clients and the lawyer supervises the work. Because the tribal court's rules govern condu…
Can a lawyer serve as an architecture firm's in-house counsel and also represent the firm's clients, with the firm paying the lawyer a salary while billing clients an hourly rate for the lawyer's work?
The opinion concluded the arrangement is impermissible as structured. The dual role's conflict can sometimes be managed with consent and vigilance, but the firm paying the lawyer a salary while billin…
If a lawyer keeps a client's original will, does the lawyer have to track the client's death and file the will, and may the lawyer tell the executor it exists?
The opinion concluded a lawyer has no duty to keep a client's will or to learn of the client's death or file the will absent agreement, but if the lawyer is holding the original after the client dies …
I was suspended for a short time during a long case and brought in another lawyer on a 50/50 fee split. Now that we won, can I still take half the fee?
The panel concluded that on these facts the 50/50 fee-division arrangement was permissible under Rule 1.5(e), provided there is a written agreement between the lawyers and the client; without such an …
May a California lawyer ethically limit a representation to ghost-drafting pleadings and conducting settlement negotiations for a litigant who appears in pro per, without disclosing the limited scope to the court?
Per the opinion, yes. A lawyer may limit the engagement to consulting, drafting, and settlement negotiations if the limitation is fully disclosed in writing and the client consents. The lawyer must st…
The insurer that hired me to defend its insured wants me to follow litigation guidelines that require its pre-approval before I do research, file motions, or take depositions. Can I agree to that?
The panel concluded that the specific guidelines submitted, which required the insurer's pre-approval for reasonable and necessary legal services, impermissibly interfered with defense counsel's indep…
My insurance-defense client's insurer wants me to send detailed legal bills to an outside auditing company. Do I need the insured's consent before I do?
The panel concluded that a lawyer's billing statement is information relating to the representation and is protected by Rule 1.6, so submitting billing statements containing confidential or privileged…
Can an insurance company use its own salaried in-house lawyers to defend its insureds in litigation?
The opinion concluded that an insurer's salaried staff counsel may defend an insured only if there is full disclosure of the lawyer's relationship to the insurer, the client consents after consultatio…
If a buyer tells the closing lawyer to stop after the deed is recorded, can the lawyer withhold the seller's funds in North Carolina?
The opinion concluded that once the closing lawyer records the deed and title has passed, the lawyer must satisfy the conditions of the transfer by disbursing the sale proceeds to the seller despite t…
Can a North Carolina closing lawyer who serves as escrow agent agree in advance to represent the buyer if a dispute over the escrow arises?
The opinion concluded that an escrow agreement may provide that, if a dispute arises, the lawyer-escrow agent turns the funds over to a successor escrow agent and then represents the buyer; and a clie…
Can a North Carolina lawyer hired by some co-executors move to remove another co-executor the lawyer also represents?
No. The opinion concluded that a lawyer who accepts employment regarding an estate represents the personal representatives in their official capacity and the estate as an entity, so after undertaking …
If a competent capital-murder defendant wants the death penalty and tells his lawyer not to present mitigating evidence at sentencing, must the lawyer follow that instruction?
The opinion concluded that, where the lawyer reasonably believes the defendant is competent and has made a rational, stable choice, the lawyer was ethically bound to respect the client's decision not …
Can a lawyer threaten a nonparty witness with a defamation suit over the witness's statement, when the threat may be meant to keep the witness from testifying?
It depends on the lawyer's motive and the merits. The opinion concluded that if the threatened legal action has no basis in law or fact and is made merely to harass or intimidate the witness or keep t…
Can a law firm use a lawyer as an independent contractor or 'of counsel', bill the client more than it pays that lawyer, and when must the arrangement be disclosed?
The opinion concluded a firm may engage a lawyer as a contract attorney or 'of counsel', subject to the same confidentiality and conflict rules as an associate. The firm could bill the client either b…
Must a lawyer report another lawyer's misconduct when reporting would reveal client information the client wants kept confidential?
The opinion concluded that a lawyer is not subject to discipline for failing to report another lawyer's misconduct under MRPC 8.3(a) when the reason for not reporting is that the information is protec…
Can a lender's in-house counsel provide legal services to the borrower, and can the lender charge the borrower a legal fee?
No to both. Georgia FAO 99-2 concluded that in-house counsel for a real estate lender may not provide legal services to the lender's customer arising out of their relationship; doing so assists the le…
Can I buy a piece of real estate directly from my own clients, and what do I have to do first to make it ethical?
The panel concluded the attorney may purchase the real estate from the clients under Rule 1.8(a), provided the transaction is fair and reasonable and fully disclosed in writing, the clients are advise…
When a lawyer moves to a new firm, when is the lawyer (and the new firm) barred from handling matters adverse to a client of the old firm?
The opinion concluded that, absent the former client's consent, a moving lawyer may not take on a matter adverse to a former client if the lawyer personally represented the client or acquired relevant…
Can I practice law in my county's justice, county, and district courts while serving as an elected county commissioner?
The Committee concluded a lawyer who is an elected county commissioner violates Rule 1.06(b)(2) by representing private clients in the county's justice, statutory county, and district courts, because …
Can a lawyer put a certification from a non-legal professional organization, like AICP planner certification, on the firm letterhead?
The opinion concluded a lawyer may note membership in a professional organization on letterhead, but if the certification implies certification in a legal field it must comply with DR 2-105(C), meanin…
Can an insurance defense lawyer follow the carrier's requirement to use a designated outside legal research firm, and submit the insured's briefs to the carrier's brief bank?
The opinion concluded defense counsel may follow a carrier's direction to use a designated research service if the lawyer reviews the work and effective representation is not diminished; the firm's us…
Can an insurance defense lawyer send the insured's defense bills to the insurer's outside billing auditor, and must the lawyer follow the insurer's billing guidelines?
The opinion concluded that a lawyer's primary duty in the insurer-insured-lawyer relationship is to the insured, so the lawyer must obtain the insured's informed consent before disclosing confidential…
Can insurance defense counsel get around the consent rule for insurer audits by redacting confidences or routing bills through the insurer?
Formal Ethics Opinion 99-F-143(a) clarified 99-F-143: an attorney may not unilaterally redact confidences and secrets to avoid client consent (the client decides what is secret); may not evade the con…
If a lawyer occasionally serves as a substitute municipal judge, are the lawyer's partners disqualified from representing clients in that same municipal court?
No. The opinion concluded the conflict is personal to the lawyer who sits as substitute judge and is not imputed to the firm under Rule 1.10, so the lawyer's partners may represent municipal-court cli…
When a lawyer who took on a contingent-fee client leaves the firm, who must keep representing the client and advancing the litigation costs?
The opinion concluded that, under the Maine Bar Rules, a lawyer who assumed responsibility for the client and agreed to advance litigation costs cannot withdraw without complying with the withdrawal r…
Can a former in-house lawyer or their new firm take a matter against the lawyer's old employer?
Only with limits. The opinion concluded a former in-house lawyer was disqualified from a matter adverse to the former employer only where the lawyer personally handled the same or a substantially rela…
When I leave my law firm, can I notify clients and ask them to come with me, and which clients can I contact before I resign?
Both the departing lawyer and the firm's responsible members had to give current clients prompt, fair notice of the departure and of the client's right to choose counsel. The opinion concluded that no…
In Kentucky, when an insurer provides an insured's defense under a reservation of rights, may the defense lawyer communicate with the insurer and continue the representation despite the potential coverage conflict?
The opinion concluded the lawyer represents only the insured; the lawyer may have customary communications with the insurer with the insured's consent but must withhold information harmful to the insu…
In Kentucky, may an insurance-defense lawyer let the insurer forward the lawyer's detailed legal bills to an outside auditing company without the insured client's consent?
The opinion concluded the lawyer must obtain the insured client's fully informed consent before providing the insurer with detailed billing information when the lawyer knows the insurer sends that inf…
Can a lawyer have a private investigator or tester pose under a false identity to gather evidence before filing a discrimination suit?
The opinion concluded that a lawyer may direct a private investigator or tester to misrepresent their identity or purpose when contacting the subject of an investigation, but only when the misrepresen…
Can a national lawyer association post an online member directory that sorts lawyers by practice area?
The opinion concluded that a national lawyer association may place its membership directory on its public website, sorted by practice area, because the listed biographical information is the kind ER 7…
Can an estate-planning lawyer also sell securities and insurance products to the same clients for a commission?
The opinion concluded that an estate-planning lawyer may broker securities and insurance products to his legal clients for a commission, but only through stringent compliance with ER 1.7(b) and ER 1.8…
Can an insurance defense lawyer agree to a carrier's outside billing-audit and compliance program as a condition of getting paid?
The opinion concluded that an insurance defense lawyer may not participate in a carrier's outside audit and compliance program with terms like those described, because it requires disclosing the insur…
Can a lawyer agree in a plea bargain that a subpoenaed officer will not appear at a related hearing?
No. The opinion concluded that a prosecutor or defense lawyer who seeks an investigating officer's agreement not to honor a lawfully issued subpoena violates Rules 3.4(a) and 8.4, and may commit witne…
When a lawyer moves to a new firm, what client information may the lawyer disclose so the new firm can run conflict checks?
The opinion concluded the new firm must seek, and the moving lawyer may disclose, the names of the lawyer's clients and (depending on the old firm's size) the old firm's clients for a reasonable perio…
Can the Attorney General's office investigate an organization that the Attorney General was personally associated with before taking office, or is that a disqualifying conflict?
Not per se. Neither Rule 1.11(c) (successive private and government employment) nor Rule 1.7(b) (personal-interest conflicts) categorically bars the investigation, but each participating lawyer has an…
Can a matrimonial lawyer use a retainer agreement where the client consents in advance that listed grounds, including nonpayment, let the lawyer withdraw?
The opinion concluded the proposed agreement was improper because it misled the client about the lawyer's right to withdraw: it implied an absolute right to withdraw on listed grounds and omitted DR 2…
Can a legal aid office share data pulled from clients' mental health evaluations with a bar association committee for a statistical study without getting client consent?
The opinion concluded the office may provide extracted information for a statistical summary only if it is in a form that no recipient could link to a particular client; if any client could be identif…
Can a North Carolina lawyer advertise million-dollar jury verdicts in direct-mail letters to accident victims?
No. The opinion concluded that a direct-mail letter touting jury verdicts and settlements over $1,000,000 without information putting the results in context is misleading and creates an unjustified ex…
Can a North Carolina lawyer own a title insurance agency, and how must the lawyer supervise nonlawyer title abstractors?
The opinion concluded a North Carolina lawyer may own all or part of a title insurance agency, but may not give a title opinion to the insurer the agency writes for; and when using nonlawyer abstracto…
Must a North Carolina closing lawyer keep chasing a lender to cancel a paid-off deed of trust, and does charging a fee change that duty?
The opinion concluded the duty to obtain cancellation of a paid deed of trust turns on the lawyer's agreement with the client and lender; the lawyer may limit the scope of representation but must clea…
When a third party claims part of a client's settlement funds the lawyer is holding, must the lawyer hold the money or pay it to the client?
The opinion concluded that under Rule 1.15 a client's mere assertion of a claim freezes disputed funds, but a third party's claim freezes funds only if it is a 'just claim' that applicable law obligat…
In Kentucky, can a lawyer who is also a real estate sales agent represent a client in the same transaction where the lawyer earns a sales commission?
The opinion concluded a lawyer may not serve as both lawyer and real estate sales agent in the same transaction, or where another agent in the lawyer's brokerage handles it, because the conflict is no…
What client-development activities can a lawyer use, like free seminars, trade-show booths, and senior-center tables, without it becoming improper in-person solicitation?
Lawyers may make their services known through methods that do not involve uninvited one-on-one approaches, such as seminars, group Q&A sessions, trade-show booths, open houses, and discussion tables t…
Is a contract requiring a departing lawyer to pay his old firm a percentage of contingency fees on cases he takes with him proper, and must the new firm honor it?
The opinion concluded the fee-splitting agreement was improper. It violated the former rule on dividing fees between lawyers in different firms (no client consent, and the old firm would assume no res…
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.