Legal Ethics Opinions
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If a lawyer is also a real estate agent, can the lawyer refer legal clients to the lawyer's own real estate office using a standard disclosure-and-consent form?
The committee concluded the proposed disclosure-and-authorization form did not satisfy the rules. Referring legal clients to a real estate office the lawyer is associated with raises serious…
Can a non-profit law firm charge a flat non-refundable fee for incidental file-opening costs and deposit it in its regular account instead of its trust account?
The committee said yes. A non-profit firm that charges a $100 non-refundable fee for the incidental costs of opening a file may place that fee in its regular account when it is received, rather than…
Can a law firm destroy the paper version of a closed client file and keep only an identical electronic copy?
The committee said a file-retention policy that returns original documents from administratively closed files to the client and converts the remaining documents to electronic format complies with…
Can a lawyer send a subpoena for records before any lawsuit has been filed?
The committee said that issuing a subpoena before any action is commenced (no cause number, no case filed) that suggests it has the force of law when it does not may violate RPC 3.4 (a frivolous…
Is the WSBA's old opinion on electioneering by deputy prosecuting attorneys still good guidance, or has a statute superseded it?
The committee concluded that Formal Opinion 102, which had addressed electioneering by deputy prosecuting attorneys, is no longer accurate given the requirements of RCW 42.17.130, and recommended…
Does an insurer's invoice-processing fee that cuts a percentage from each defense bill violate the rules on advancing costs and sharing fees?
Deciding this inquiry together with Opinion 2012, the committee concluded that the insurer's mandatory percentage reduction off every invoice violates RPC 1.8(e) (the lawyer is not fully reimbursed…
Can one law firm be designated 'of counsel' to another law firm on its letterhead, and how do the fee-splitting rules apply?
The committee said a law firm may not be designated 'of counsel' to another firm, because that designation is limited to individual lawyers who are active WSBA members with a close, regular,…
What must a lawyer who supervises nonlawyer staff (for example, a company legal department handling garnishments) do to satisfy the supervision rules?
The committee said the question is governed by RPC 5.1, 5.2, and 5.3: RPC 5.3(b) requires a lawyer with direct supervisory authority over nonlawyers to make reasonable efforts to ensure their…
Can a lawyer disclose a client's telephone number without the client's permission?
No. The committee concluded that RPC 1.6 prohibits the voluntary disclosure of any information obtained during the representation without the client's consent, and that the rule's exceptions in RPC…
Can a lawyer take a lien on property to secure fees, and can a lawyer loan a client money to fund a settlement?
Reconciling two earlier informal opinions, the committee said a lien granted by law to secure a lawyer's fees or expenses falls within the exception in RPC 1.8(j)(1) and does not violate the rule,…
Can a lawyer join a paid professional networking group that requires members to make a set number of referrals each month to keep their membership?
The committee declined to change its earlier Informal Opinion 1975, which held it violates RPC 7.1, 7.2, and 7.3 for a lawyer to participate in a commercial network that requires referrals among…
Can a law firm collecting receivables for a corporate client on contingency set up a joint bank account the client can withdraw from directly, with a line of credit for overdraft protection?
The committee said the arrangement may not be permissible under RPC 1.14, the trust-account rule. A joint account giving the corporate client independent access, from which the client pays itself…
Can a law firm keep using a former member's name in its trade name after that lawyer leaves and continues practicing law in the same community?
No. The committee concluded that a firm may not continue to use a former member's name as a trade name when that member has left the firm and continues to practice law in the same community.
Can an insurance company make its defense lawyers take a flat percentage off every invoice and follow billing and litigation guidelines?
The committee concluded that a mandatory across-the-board percentage reduction of every invoice violates RPC 1.8(e) (the lawyer is not fully reimbursed for costs advanced for the client) and RPC…
Can a public defender take on a client's second, unrelated matter with the client's consent, and must the public defender first contact the lawyer already assigned to that second matter?
The committee said a public defender may represent a client on more than one matter if the client consents and the public defender is competent and meets the conflict and related rules. It also said…
Can a law firm use a made-up surname trade name, keep a non-working lawyer as a fee-sharing 'silent partner,' or pay a nonlawyer consulting firm based on the firm's increased fee income?
The committee answered no to all three. A firm may not use a trade name that appears to consist of lawyers' surnames when no current or former lawyer of the firm had those names, because of the…
In a print law-firm ad, can a personal-injury lawyer list specific jury verdicts and settlement amounts and display ratings like Martindale-Hubbell and Best Lawyers?
Citing specific jury verdicts is generally disfavored because it can create unjustified expectations and so violate RPC 7.1; if used, a disclaimer at least as prominent as the results must make…
Can a law firm serve as a city's civil attorney when one of the firm's lawyers is the city's municipal court judge?
The committee was unable to approve the arrangement. The city is a party in essentially every criminal, traffic, and many civil matters before the municipal court, so the firm-member judge would be…
Must a prosecutor report information that another lawyer committed crimes before conviction?
Yes. The opinion requires a report to OCDC under Rule 4-8.3(a), and a report of the ultimate outcome if OCDC requests it under former Rule 4-8.1(b).
Must a lawyer withdraw from defending a father against a former client in an unrelated child-support case?
No. Under Rule 4-1.9, the opinion says the lawyer need not voluntarily decline or withdraw, but must tell the father about the possible time and expense of a disqualification challenge.
What work may an Illinois-licensed lawyer do from a Missouri office while awaiting Missouri admission?
The opinion bars conduct constituting law practice while physically in Missouri, but allows nonpractice business for Illinois, properly described law-clerk or paralegal work, and letterhead…
May a lawyer mail elder-law workshop invitations based on age and geography without the solicitation disclaimer?
Yes, if the lawyer screens out recipients known to need the services; alternatively, including the Rule 4-7.3 advertising disclaimer removes the need for that screening.
Does a lawyer’s personal and professional relationship with the opponent’s expert bar representation of a malpractice defendant?
A conflict exists if the relationship materially limits representation under former Rule 4-1.7(b). The relationship must be disclosed and discussed with the client even if the lawyer believes there…
May a parent’s lawyer discuss a custody matter with a child who has a guardian ad litem?
The opinion generally treats an attorney GAL as the child’s lawyer and bars discussing the matter with the child under Rule 4-4.2, while allowing the lawyer to be in the child’s presence.
How should a Missouri firm list a Florida lawyer who has not yet obtained Missouri licensure?
The opinion says to list the Florida lawyer as a nonlawyer in Missouri absent temporary licensure. With a temporary license the lawyer may be listed as licensed, but the listing must be corrected if…
May a lawyer add a certification body and its accreditation to a telephone-directory advertisement?
Yes, if the Rule 4-7.4 disclaimer remains and the added certification language is no larger or more conspicuous than that disclaimer.
May a lawyer mention military service in a Yellow Pages advertisement?
Yes. The opinion permits information about military service if it is truthful and not misleading.
May a firm seek withdrawal after its litigators leave and it cannot adequately handle a remanded case?
The opinion permits seeking withdrawal if it will not materially harm the client, but the court decides. If leave is denied, Rule 4-1.16(c) requires the firm to stay and represent the client.
Can pleadings sent as courtesy copies during representation count as part of the file later owed to the client?
Yes, if the lawyer explained that process before sending them and provided originals or obtained agreement that copies suffice. Otherwise the lawyer must provide the file and pay for copies retained…
May a lawyer disclose client information to defend a lawsuit concerning that representation when the lawyer is personally named?
Yes. The opinion permits disclosure only to the extent necessary for the lawyer's defense.
What may a lawyer do when a personal-injury client cannot be found as litigation progresses?
The opinion permits settlement if the client previously authorized specific terms. Otherwise, it says the lawyer could try the case without the client or continue reasonable efforts to locate the client.
May a lawyer who occasionally serves as a municipal special prosecutor defend other municipal cases?
Yes, if appointments are case by case and the lawyer has no ongoing city relationship beyond possible future appointments. The opinion bars a contract or ongoing relationship for this arrangement.
May a mass-tort firm borrow litigation funds on a nonrecourse loan repaid only if cases succeed?
The opinion generally permits third-party borrowing for litigation, but rejects repayment tied to lawsuit outcomes and identifies champerty and maintenance concerns.
May a firm hire a contract lawyer formerly at opposing counsel's firm when the lawyer did no work on the current case?
Yes, case by case. The opinion says the lawyer should access confidential information only for assigned cases and have no contact with the current opposing-firm case.
May a lawyer refer legal clients to a separate investment or insurance business the lawyer owns?
Yes, with clear separation of the businesses, full disclosure of the lawyer’s interest and client alternatives, and written disclosure and consent under Rule 4-1.8(a).
May a lawyer give an unfinished trust draft and planning records to a deceased client’s family lawyer?
Generally no without a court order after confidentiality is fully presented. The opinion excepts documents clearly needed to carry out the decedent’s intent, such as an executed will, absent express…
May a lawyer withhold court transcripts paid for personally until the former client reimburses the expense?
Yes. The opinion applies Formal Opinion 115, as amended, to permit retaining items the lawyer paid for out of pocket until reimbursed, while Rule 4-1.16 otherwise requires return of client property.
Does hiring a lawyer from opposing counsel’s firm disqualify the new firm if the lawyer did not work on the case?
The opinion makes disqualification depend on whether the lawyer acquired material protected information at the former firm. If so, the conflict is imputed unless both clients consent; screening…
May successor counsel use a contingent fee rather than an hourly fee in a personal-injury matter?
Yes, if the fee and the total charged to the client are reasonable, accounting for the prior lawyer’s reasonable fee. The opinion leaves court authority over fee division intact.
May a lawyer-mediator place prepaid, unearned mediation fees in a lawyer trust or IOLTA account?
Yes. The opinion permits prepaid mediation fees in the lawyer’s trust account, including IOLTA, under the former Rule 4-1.15 framework identified by its reference notes.
Did the judicial ethics committee decide whether lawyers from a special justice's former firm could appear in that court?
No. The Committee said the presented attorney-appearance question fell outside its judicial ethics jurisdiction. It did not decide a possible recusal question because that question had not been asked.
Can a California lawyer publicly advocate civil disobedience (here, refusal to pay taxes) and simultaneously maintain a tax law practice?
Per California Formal Opinion 2003-162, an attorney has First Amendment rights to publicly advocate civil disobedience, but may not advise clients to violate the law unless she reasonably and in…
When can a casual or non-office communication from a non-client to a California lawyer create a duty of confidentiality, even though no attorney-client relationship is formed?
Per California Formal Opinion 2003-161, a duty of confidentiality may attach to a non-office communication either because an implied-in-fact attorney-client relationship was formed, or, even without…
A current client wants me to represent him against his ex-wife in post-divorce Family Court proceedings. My ex-wife's sister happens to be another current client of mine in her own divorce matter, and she says representing her ex-brother-in-law would be a conflict. Is she right?
No. The panel held there is no Rule 1.7 conflict, because the two clients' interests are not directly adverse to each other and the representation of one is not materially limited by…
What must a lawyer do after receiving a fax, email, or letter containing the other side's confidences that was sent by mistake?
Promptly notify the sender, stop reading the communication, and return or destroy it if asked. In limited circumstances the lawyer may submit it for in camera review by a tribunal, and may use…
What conflict-checking records and systems must a New York law firm keep to comply with DR 5-105(e)?
Every New York law firm, including solo practitioners, must keep written or electronic records of each engagement (at minimum client names, adverse party names, and a description of the matter) and…
What change to the rule on lawyer-client sexual relations did Orange County's committee propose in 2003?
The opinion argued that former California Rule 3-120's partial ban was insufficient and urged adoption of ABA Model Rule 1.8(j)'s broader prohibition.
Can a lawyer secretly tape record a conversation without telling the other party it is being recorded?
Not as a matter of routine practice; undisclosed taping is improper because it smacks of trickery. The opinion permits it only where the lawyer has a reasonable basis to believe that disclosure…
How did Orange County's 2003 opinion address a criminal client's stated intent to testify falsely?
The opinion proposed an actual-knowledge threshold; if the client admitted an intent to lie, counsel would first try to dissuade the client and then consider withdrawal or narrative testimony.
Can a law firm use a generic domain name like 'newyorklawyer.com' instead of its firm name, and advertise with it?
Yes, with conditions. A domain name need not contain the firm name, but the website must conspicuously show the real firm name, the domain must not be false, misleading, or imply special expertise,…
Can a deputy prosecuting attorney do pro bono legal work?
The committee declined to address the inquiry's questions about proposed RPC 6.1 (not yet adopted) and about RCW 36.27.060 (a legal question outside its purview). It clarified that there is no…
Can a court-appointed criminal defense lawyer take part in a county program that pays a flat fee plus court-approved costs and routes advance payments through the lawyer's trust account?
The committee found no inherent conflict between the county's compensation proposal and counsel's trust-account (RPC 1.14), independence (RPC 1.8(f)), and confidentiality (RPC 1.6) duties: advance…
Can a non-lawyer contractor handle the daily bookkeeping of a lawyer's guardianship client funds and prepare the court reports?
The committee said yes to both questions. A non-lawyer contract employee may manage the daily bookkeeping of a lawyer's guardianship client funds (paying bills, balancing accounts, preparing annual…
Can a lawyer draft an advertisement for a client to run under the client's own name when the lawyer could not run it herself under the trial-publicity rule?
The committee concludes there is a substantial risk of violating Rules 3.6 and 8.4(a). A lawyer cannot accomplish through the client, as the client's mouthpiece, what Rule 3.6 bars her from doing directly.
Does a one-hour consultation that never led to representation still create confidentiality duties that can disqualify the lawyer's firm years later?
It can. The confidentiality duty under Rule 1.6(a) may attach to a prospective client even if no representation forms. If confidences were shared, Rule 1.9(b) and Rule 1.10 can bar the lawyer's firm…
Must a prosecutor disclose to criminal defendants that a police-officer witness lied to superiors during an internal investigation?
Yes. Under Rule 3.8(d), a prosecutor who knows an officer failed to disclose the truth during an official department investigation must reveal that information, because it bears on the officer's…
Can a lawyer who is not a certified specialist use a trade name that names a practice area, like 'Midlands Bankruptcy Counselors, LLC'?
The committee concluded a lawyer may include a practice area in a firm trade name even without specialist certification, as long as the firm actually concentrates in that area; naming a practice…
When a municipal lawyer advised a department head in his official capacity, can the lawyer later oppose that former official in his own suit against the city and use his deposition to impeach him?
Yes. The committee concludes the lawyer's client was always the municipality, not the official personally, so Rule 1.9's former-client duties do not apply and the official-capacity testimony may be…
Can a law firm accept a 2% 'brokerage fee' from a collection agency for referring small accounts the firm could not collect, when the client consents?
The committee concluded the brokerage fees are not unethical fee sharing per se, because the sharing comes from a lay agency's income rather than a lawyer paying for business under Rule 7.2(c); but…
Could a nonlawyer business complete financial affidavits and child-support calculations for pro se litigants?
Opinion 2003-08 treated that unsupervised service as unauthorized practice because the filings required legal judgment. A lawyer could work with the nonlawyer if the lawyer actually supervised the…
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Weight varies by state: Most bar opinions are advisory, not binding like court discipline decisions, though formal opinions carry substantial weight. Some states go further: Georgia and Virginia opinions approved by the state supreme court bind lawyers there, New Jersey's bind the ethics committees that decide grievances, Rhode Island and Alabama protect the lawyer who asked for an opinion and followed it, and Utah and North Dakota protect lawyers who rely on one. Each opinion page says how much weight its opinion carries.
- 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.