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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Does running a group pro se self-help divorce or custody clinic create a client-lawyer relationship with attendees, and does it conflict the legal-aid agency out of later representing a party against a former attendee?
No; with no confidential information taken and a signed agreement disavowing representation, no client-lawyer relationship forms, there is no conflict when a couple attends together, and the agency ma…
When a CEO privately asks a subordinate in-house lawyer for advice about firing the general counsel, may the lawyer give that advice, must the lawyer tell the general counsel, and must the lawyer alert the board?
The lawyer represents the corporation, so it may not share the CEO's confidence with the general counsel; it may advise the CEO if its judgment is not materially limited by self-interest; and on these…
Can a government agency hold a public informational meeting for claimants, with its lawyers attending, when some claimants are represented by counsel who objects?
The opinion concluded that a lawyer representing a group of claimants cannot block a government agency from holding a public meeting to explain its program and answer general questions, even though th…
When a lawyer moves from one firm to another, what must the lawyer and both firms do about client notice, files, and conflicts?
The opinion concluded that a lawyer changing firms must tell affected clients of the move far enough ahead to let them choose counsel (Rule 1.4); client files must go to whoever continues the represen…
After a personal injury settlement, a physician claims a balance-billing amount my client disputes. Can I just pay the client and notify the physician, or do I have to hold the disputed money?
The panel concluded that Rule 1.15(b) obligates the lawyer to protect the disputed funds by either retaining them in the trust account until the dispute is resolved or, if no resolution is reached aft…
I referred an out-of-state accident case to a lawyer licensed there and did no other work. Now they've sent me a share of the fee. Can I keep it without any written agreement with the client?
The panel concluded that where lawyers divide a fee without regard to the work each performed, Rule 1.5(e) requires a written agreement with the client by which the lawyers assume joint responsibility…
Can a lawyer accept referrals from an heir-hunting service or represent both the service and the heir in the same probate matter?
The opinion concluded that an attorney could not accept referrals from an heir-hunting service, nor represent the service and an heir jointly, where the service sought to represent heirs in a pending …
Can a lawyer publicly take a personal position, such as in bar association or legislative activity, that is contrary to a client's interests?
Yes, within limits. The opinion concluded a lawyer may espouse a personal viewpoint adverse to a former or present client's interest, without client consent, as long as the lawyer does not reveal clie…
In Kentucky, does complying with the workers' compensation law's attorney-fee limits and fee-approval disclosures violate the ethics rules, and do the ex parte rules apply before the Department of Workers' Claims?
The opinion concluded that complying with the statutory fee limits does not by itself violate the rules (qualified no) and that a fee-approval affidavit can be supplied without disclosing privileged i…
In Kentucky, when a lawyer represents the fiduciary of a decedent's estate or trust, does the lawyer also represent or owe special duties to the beneficiaries, and may the lawyer represent both?
The opinion concluded a lawyer for a fiduciary represents the fiduciary, not the estate, trust, or beneficiaries, and owes beneficiaries no duties beyond those owed to other third parties; confidentia…
Must a criminal defense lawyer warn a client about the risks of cooperating with law enforcement, including the lack of witness protection?
Yes. The opinion concluded that when a cooperation agreement may create a risk of harm to the client or the client's family, the lawyer must inform himself of the relevant facts, including whether pro…
Can a lawyer who investigates public corruption for a municipal department of investigation take part in partisan political activity?
The opinion concluded no: a municipal examining attorney with subpoena power who investigates public corruption and refers matters for prosecution is subject to the same bar on partisan political acti…
Can a lawyer list a paralegal as a 'Certified Legal Assistant' on letterhead when a private association issued the certification?
The opinion concluded yes, provided the materials disclose that the National Association of Legal Assistants issued the certification and the lawyer has confirmed NALA certifies everyone who meets obj…
Can a lawyer join a real estate broker's program that selects the lawyer to represent both the home buyer and the lender at a reduced flat fee?
The opinion concluded no: the lawyer's dependence on the broker's continued approval created a personal-interest conflict that could not be cured by consent, and the broker's promotion of the selected…
Can a lawyer let a paralegal use the lawyer's signature stamp to sign checks drawn on the client escrow account?
The opinion concluded yes, with conditions: a nonlawyer may not be a signatory on the special account, but a lawyer may authorize a paralegal to apply the lawyer's signature stamp to escrow checks at …
Can a Michigan judge attend a political party's testimonial dinner honoring judges where tickets are priced above the dinner's cost?
No. A judge may not attend a testimonial dinner where the admission price exceeds the reasonable cost, and may not let the prestige of judicial office be used to raise money for a political party.
Does an adversary's threat to call the opposing lawyer as a trial witness, about a conversation the lawyer is sure never happened, force that lawyer to withdraw as trial counsel?
No; under MRPC 3.7 the lawyer must judge whether the lawyer is likely to be a necessary witness, and an adversary's threat does not by itself make the lawyer's testimony necessary or require withdrawa…
After a lawyer leaves a government agency, which matters is she barred from handling for private clients, and can her new firm screen her so the rest of the firm can take the work?
The opinion concluded that Rule 1.11, not Rule 1.9(a) and (b), governs a former government lawyer's conflicts: she is disqualified only from particular matters in which she participated personally and…
When a private party is in a dispute with a government agency that has its own counsel, may the party's lawyer talk directly to government officials, or must she always go through the agency's lawyer?
The opinion concluded that Rule 4.2 generally protects a represented government entity from unconsented contacts the same way it protects a private organization, but the constitutional right to petiti…
What must a North Carolina lawyer do after receiving an opposing party's privileged or confidential materials sent by mistake?
The opinion concluded a lawyer who receives materials obviously sent by mistake must stop reading once he realizes they may be privileged or confidential and not meant for him, notify opposing counsel…
Can a North Carolina lawyer represent several accident victims with claims against the same limited insurance fund?
The opinion concluded a lawyer may represent multiple claimants in a common accident, even when limited insurance funds put them in competition, if there are no crossclaims among them and each gives i…
When a North Carolina law firm closes a real estate file, what must it give the former client, and are the lawyer's title notes part of it?
A former client gets originals or copies of the documents generated solely for the client's closing, but not the lawyer's title notes or abstracts. If the lawyer who made the notes leaves the firm and…
Can a North Carolina real estate lawyer hire an independent (non-employee) paralegal to perform title searches, and what supervision does that require?
Yes, a lawyer may use an independent-contractor nonlawyer to search titles, but the lawyer must supervise the work and stay competent in the area. A lawyer who is not competent in real property law ca…
When the lawyer who handled a firm's contingent case leaves, what are the firm's duties to the client, and can the firm withdraw after the appeal?
The firm must stand in the departed lawyer's place and may withdraw only under Rule 1.16. The opinion concluded the firm may move to withdraw if it can do so without material adverse effect, giving no…
When an hourly-fee client discharges a lawyer, can the lawyer bill for time spent moving to withdraw, for briefing successor counsel, and for responding to a grievance the client files?
The lawyer may bill for withdrawal time when the client requested the withdrawal, need not brief successor counsel for free absent agreement, and may not charge for responding to a client's grievance …
A former client is being investigated for forging my signature on a letter on my letterhead. Investigators want a statement and my testimony that I didn't write or sign it. Does Rule 1.6 stop me?
The panel concluded that Rule 1.6 does not prohibit the lawyer from stating or testifying that the lawyer neither wrote nor signed the letter, because that fact is not information relating to the repr…
A human-rights agency directs me to send my client's position paper to the represented complainant. May I also copy the complainant on my adversarial cover letter to the agency, or does Rule 4.2 forbid it?
The panel concluded that the agency directive might fall within Rule 4.2's exception for communications authorized by law as to the required position paper, but that sending the represented complainan…
My spouse is an associate at a big firm but doesn't work on family-court cases. Do I and my firm need client consent to handle a family-court matter where a different lawyer at my spouse's firm is opposing counsel?
The panel concluded that disclosure and consent are not required unless an actual conflict exists or is reasonably foreseeable; because the spouses are not opposing each other, Rule 1.8(i) does not ap…
I took over a case from a lawyer who has since become a judge, and I'll receive one combined check for all attorneys' fees. Can I pay the judge for the legal work done before going on the bench?
The panel concluded that it is not a violation of the Rules of Professional Conduct for a successor attorney to pay a judge for legal services performed on the case before the judge's appointment, pro…
Can a lawyer who served on a county planning commission and as campaign treasurer for a supervisor represent clients in zoning cases before those bodies?
Generally yes, with limits. The opinion concluded the lawyer's former service on the planning commission does not bar representing clients before it or the board of supervisors in matters where he had…
Can a part-time city or county legislator defend criminal cases that require cross-examining police or opposing a prosecutor whose budget the legislature controls?
The opinion concluded no: a lawyer who sits on a municipal legislature with budgetary or appointment authority over a prosecutor's office or police department may not take a criminal defense matter re…
Can a Colorado contingent fee agreement include a clause that converts the fee to an hourly or quantum meruit amount if the client fires the lawyer before the case resolves?
The opinion concluded that conversion clauses are not per se improper, but a clause is unethical if it penalizes the client's absolute right to discharge counsel or produces an unreasonable fee; it ad…
Can a lawyer newly hired to handle appeals for a county prosecutor's office keep representing a criminal defendant on appeal when the prosecution was run by the Attorney General in another county and the new office will not appear in the case?
Yes; under MRPC 1.11(c) a lawyer who becomes a public officer is barred from a matter only where the governmental employer is also a party, and here the County 1 prosecutor was not and will not be a p…
Can a full-time judicial law clerk also practice law part-time, and how does it affect the judge's cases and appointments?
The opinion concluded that if a court permits a judicial law clerk to practice law part-time, the clerk may not represent clients in matters before the judge served or before other judges in the same …
Is it ethical for a lawyer to secretly record conversations with clients, witnesses, opposing counsel, or others during a representation?
The opinion concluded that an attorney should not make surreptitious recordings of conversations during legal representation without notice or consent; such recording may violate the dishonesty rule u…
Can a lawyer who is on a nonprofit's referral list and receives referrals from it make a charitable donation to that organization?
The opinion concluded yes, as long as the donation is clearly charitable and is not part of a tacit arrangement to compensate the organization for the referrals; otherwise it would be paying for refer…
Can a lawyer let a third party (here a university and its insurer) pay the client's defense fees under conditions like consultation rights and a no-future-adversity clause?
Only if the client consents after full disclosure and the lawyer is satisfied the arrangement will not interfere with independent judgment or the client-lawyer relationship; consent cannot cure an arr…
In Kentucky, may a lawyer pay a non-expert (occurrence) witness for time spent attending a deposition, trial, or preparation meeting?
Qualified yes. The opinion concluded that under KRPC 3.4(b) a lawyer may, but need not, pay a non-expert witness reasonable out-of-pocket expenses and reasonable lost income actually incurred in atten…
Can a Utah lawyer accept credit cards for legal fees and costs?
Yes. The opinion concluded lawyers may accept payment by credit card like other merchants, overruling the earlier Opinion 21, subject to ordinary duties such as safekeeping advance payments and protec…
In a joint representation of spouses, can a lawyer reveal one spouse's secret to the other, and must the lawyer withdraw?
The opinion concluded that the lawyer's duty of confidentiality to the communicating spouse prevailed: the lawyer could not reveal the husband's separate confidence to the wife and was required to wit…
Can a law firm assign unpaid fee accounts to a firm-owned corporation and then represent that corporation in suing the former clients?
The opinion concluded that a firm could assign delinquent fee receivables to a corporation wholly owned by the firm's partners and could represent that corporation in collection suits against former c…
Can a firm withdraw from representing one client so it can take a position adverse to that client on behalf of another client who refuses to waive the conflict?
The opinion concluded that a firm may continue representing a long-standing client (A) in a proceeding that a second client (B) initiated against A, even though B will not waive, provided the firm may…
Can a divorce lawyer or the lawyer's firm take a contingent fee for a tort suit by the client against the spouse, even if it is tried with the matrimonial case?
The opinion concluded yes: DR 2-106(C)(2) bars a contingent fee only where it turns on securing a divorce or on the amount of support, maintenance, equitable distribution, or property settlement, so a…
Can a lawyer for the petitioner in a guardianship proceeding accept a fee from the petitioner on top of the fee the court awards from the incapacitated person's assets?
The opinion concluded yes, provided the total fee is not excessive under DR 2-106 and accepting the extra fee does not violate any law, court rule, or court order; the lawyer must also consider disclo…
Can a Colorado lawyer accept credit card payment for legal fees and expenses, and what ethics rules apply to client confidentiality and advance fees paid by card?
The opinion concluded that a lawyer may accept payment for legal services and expenses by credit card if the lawyer first consults with the client and implements protective measures, chiefly safeguard…
A colleague at my firm drafted and witnessed a will and will likely testify in a contested probate over the testator's capacity. Can I still represent the executor or estate in that proceeding?
The panel concluded that under Rule 3.7(b) the lawyer may represent the executor or estate in a probate proceeding in which another lawyer in the firm is likely to testify, because the advocate-witnes…
I left my old firm, where a colleague represents the wife in a pending divorce. The husband now wants to hire me, and I never worked on the wife's file. Am I disqualified?
The panel concluded that under Rule 1.10(b) the lawyer is not disqualified from representing the husband if the lawyer acquired no knowledge of information protected by Rules 1.6 and 1.9(b) about the …
Can a law school clinic's supervising attorney represent a client against a lawyer who is on the law school's board of trustees or faculty?
The opinion concluded yes, but only if the clinic attorney reasonably believes the trustee's or faculty member's role will not affect the attorney's professional judgment and, after full disclosure, t…
Can one attorney act as a neutral 'closing agent' for both the buyer and the seller in the sale of a business?
The opinion concluded that an attorney could not act as 'closing agent' for a business sale where material terms of the contract had not been agreed to or discussed, because such a transaction present…
When an insurer hires a lawyer to defend its insured, can the lawyer follow the insurer's instruction to file a motion that would harm the insured?
The opinion concluded that the lawyer's primary duty is to the insured and that the lawyer could not file a summary judgment motion at the insurer's instruction where the lawyer had determined the mot…
Do I have to report another lawyer to the bar if I only suspect, but can't prove, that the lawyer committed misconduct?
The Committee concluded that Rule 8.03(a) requires reporting only when a lawyer has knowledge, not mere suspicion, that another lawyer committed a violation; a mandatory report must rest on objective …
May a California lawyer send a written communication addressed to a represented party but delivered through that party's attorney, and may the lawyer communicate ex parte with an adverse non-party witness?
The opinion concluded that under former Rule 2-100, an attorney may send a written communication to a represented party provided delivery is made through the attorney representing that party. The opin…
In Kentucky, may a lawyer negotiate for a job with the firm representing the adverse party in a matter, and must the negotiations be disclosed to the lawyer's client?
The opinion concluded that a lawyer actually working on the matter, or who has protected client information under KRPC 1.9/1.10, may not negotiate with the opposing firm without the client's consent; …
Can a California lawyer include retainer-agreement language limiting the client's recovery of punitive or non-economic damages in a malpractice action, or conditioning the lawyer's malpractice liability on the lawyer's representation of the client in a related third-party action?
The opinion concluded that under former Rule 3-400, a lawyer may not include retainer language limiting the client's right to recover punitive or non-economic damages in a malpractice action, and may …
Can a lawyer accept payment in property or services instead of money, and can a lawyer barter legal services through a barter exchange?
Yes to both in principle. Nothing requires fees be paid in money as long as the fee is reasonable and complies with the prohibited-transaction rules, and bartering through an exchange is not barred pe…
Can a law firm sell or give its client list (names, addresses, and phone numbers) to securities brokers, financial planners, or insurance agents without the clients' consent?
No. A client's name, address, and telephone number obtained through the representation are confidential under Rule 1.6, so the firm may not furnish a client list to third parties, with or without a fe…
Can a lawyer send a direct-mail solicitation, for profit, advertising mediation and arbitration services to people already in litigation?
Yes, but only if the mailing makes clear to all recipients that the alternative dispute resolution services are not legal services and that no attorney-client relationship will be created; on those te…
When drafting a client's will or trust, can the lawyer suggest being named as the personal representative or trustee, and as the estate's lawyer?
The lawyer may not suggest naming themselves as personal representative or trustee, since that is solicitation, but may accept the nomination if the client asks independently and the lawyer makes the …
When can a lawyer who is also a licensed insurance broker sell insurance products to the lawyer's own clients and to non-clients?
The opinion concluded the lawyer may sell insurance to a client only where insurance advice is tangential to the representation, with full disclosure and consent; where advising on the insurance is ce…
Can a part-time village attorney who handles prosecutions serve as a political party committeeman or circulate designating petitions for candidates?
The opinion concluded no: a part-time village attorney who performs a prosecutorial function may not serve as a party committeeman or circulate designating petitions, because prosecutors must avoid pa…
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.