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 law firm doing the title search in a real estate closing accept a share of the title insurance premium from the real estate company, on top of charging the client for the closing?
The committee concluded the arrangement does not violate Rule 5.4 and is permissible if the firm properly supervises the title work, charges no excessive or double fee under Rule 1.5, and fully…
Must an Arizona lawyer who works only as a mediator or arbitrator open a client trust account?
Opinion 03-07 says a lawyer practicing solely as a third-party neutral does not represent the disputing parties and need not hold fees for that work in a client trust account. ER 2.4 still requires…
Could a Vermont lawyer include a general binding arbitration clause in a client representation agreement?
Opinion 03-07 found no categorical ethics bar to a general arbitration clause, but required written independent-counsel advice and, if declined, full explanation and written informed consent.
Can a lawyer who is being suspended or disbarred sell their law practice to another attorney under Rule 1.17?
The committee concluded a lawyer who has already been suspended or disbarred may not sell the practice, because a trustee steps in and the lawyer no longer has active clients to notify under Rule…
May an Arizona fee agreement charge the greater of a contingency percentage or standard hourly fees?
Opinion 03-06 permits hybrid hourly and contingent structures only if the eventual fee is reasonable under ER 1.5. It finds the proposed greater-of formula likely excessive without compelling facts…
When must a Vermont lawyer serving on a quasi-judicial board recuse because a firm client may be affected?
Opinion 03-06 requires recusal if an effect on a nonparty firm client or the firm becomes an outside consideration that materially influences the lawyer-board member. A general industry effect does…
When a client fires one of two lawyers who agreed to split a fee and then objects to paying the discharged lawyer, can the other lawyer honor the agreed split, and what should happen to the disputed money?
The committee concluded that, absent the client's genuine written agreement to joint responsibility, a fee division under Rule 1.5(e) must be proportional to each lawyer's services; merely sending…
May an Arizona claimant's lawyer promise to indemnify settlement releasees against liens on the client's proceeds?
Opinion 03-05 concludes that a claimant's lawyer may not join a settlement promise to indemnify releasees against lien claims. The promise would guarantee the client's expenses and create a conflict…
Can a lawyer practice under the trade name 'Capitol Counsel, L.L.C.' without implying a connection to a government agency?
The committee concluded the trade name 'Capitol Counsel, L.L.C.' does not violate Rule 7.5, because 'capitol' refers to a legislative building rather than any state agency and is unlikely to imply a…
May an Arizona defense lawyer name another current client as a nonparty at fault?
Opinion 03-04 finds an unwaivable conflict if the limitations period remains open and naming the client exposes it to being joined as a defendant. If the period has run, a conflict is not automatic,…
Could a Vermont lawyer be both of counsel to a private firm and a part-time Assistant Attorney General when the offices litigated against each other?
Only outside the lawyer's state practice areas, after an objective no-adverse-impact finding and consent from both sides, with complete screening and no share of the private fee.
If a lawyer referral service gives a lawyer a prospective client's contact information but the client never calls, may the lawyer reach out to see if they still need help?
The committee concluded that, absent the client's consent, Rule 7.3(a) bars the lawyer from making in-person or live telephone contact to solicit a prospective client who only received the lawyer's…
May an Arizona lawyer draft or enforce a nonlawyer's fee contract for unauthorized legal services or pay its claim from client funds?
Assuming the nonlawyer's work is unauthorized practice, Opinion 03-03 bars drafting or enforcing its contingent-fee contract and simply paying its claim from client funds. A known claim to held…
May a Vermont lawyer use an outside computer consultant to recover confidential client files?
Opinion 03-03 permitted the outside contractor for file recovery if the lawyer explained confidentiality duties, assured the contractor understood and accepted them, and verified adequate…
Can a military prosecutor try a defendant for whom the prosecutor once prepared a will and estate-planning documents in an unrelated matter?
The committee concluded yes: under Rule 1.9 the prior estate-planning work is not substantially related to the later criminal charges and the prosecutor learned no confidential information bearing…
May an Arizona lawyer serving solely as bankruptcy trustee contact represented debtors or creditors directly?
Opinion 03-02 permits direct contact when the lawyer acts exclusively as trustee rather than as counsel. A lawyer also appointed as the trustee's attorney is subject to ER 4.2, unless the contact is…
Can South Carolina local counsel serve as a passive 'potted plant' for pro hac vice out-of-state counsel and get a prospective waiver of any malpractice claim?
The committee concluded that whether a prospective malpractice waiver is valid under Rule 1.8(h) turns on whether it is permitted by law: the client-representation requirement is met because the…
May an Arizona lawyer verify a client's pleading, and can verification make the lawyer a necessary witness?
Opinion 03-01 permits lawyer verification under the ethics rules if the lawyer knows the assertions are true or believes them after reasonably diligent inquiry. Verification may make the lawyer a…
Could a lawyer arbitrate a workers’ compensation dispute involving a current or former insurer client?
Opinion 2003-01 barred service when the lawyer currently represented an insurer party, even with disclosure and consent. It permitted service where the only relationship was former representation,…
Can an Illinois lawyer negotiate a client's out-of-state injury claim from his home office without associating local counsel?
Yes, on these facts. The opinion concludes an Illinois lawyer who negotiates a client's medical claim in another state from his own office, where no suit is filed, does not commit the unauthorized…
Could a municipal judge candidate use a family campaign photograph including a spouse who was a circuit judge?
West Virginia JIC Opinion 2002-30 allowed the family photo if the circuit judge was identified only as the candidate’s spouse, without the judicial title.
May a part-time judge mention judicial office in a directory listing for the judge's law practice?
The Committee concluded that a part-time judge may not refer to judicial office in a Martindale-Hubbell listing for private law practice.
May a judge introduce a guest speaker at a charitable fundraiser?
The Committee concluded that a judge may not introduce the speaker at the described public fundraiser, because even an introduction uses judicial prestige in connection with fundraising.
Could a judge remain a Chamber of Commerce member and YMCA board vice-chair?
West Virginia JIC Opinion 2002-29 rejected Chamber of Commerce membership but allowed YMCA board service without fundraising or use of judicial prestige to solicit funds.
Can a lawyer who once did legal work for a company later sue that company's parent corporation, or the company itself, on behalf of the company's former owners?
Prior work for a subsidiary does not automatically make its corporate parent a former client; whether the parent counts as a client turns on alter-ego and unity-of-interest factors. On the facts…
Can a lawyer employed as in-house counsel for an aircraft title company also represent the company's customers by rendering title opinions they pay for directly?
Yes, with conditions. The committee concluded that the title company's staff lawyer may also render title opinions for the company's customers if the lawyer reasonably determines the dual…
Is a non-refundable retainer always a violation of the Oklahoma Rules of Professional Conduct?
No, not per se. The committee concluded that nothing in the Rules flatly bars an advance fee labeled non-refundable, but in an hourly-fee contract for future services such a clause is unenforceable…
What may a Tennessee firm's out-of-state lawyer do while awaiting Tennessee admission, including non-court 'law business' like drafting documents?
Vacated. As originally issued, Formal Ethics Opinion 2002-F-91(b) updated the Board's guidance on employing lawyers admitted elsewhere while their Tennessee admission was pending: their names could…
Can a New York lawyer use an ATM to make deposits into the attorney trust (special) account?
Yes for deposits, if the lawyer uses a deposit slip bearing the special-account title, keeps the ATM record and duplicate deposit slip for seven years, and verifies the deposit on the bank…
Can a New York lawyer keep required trust-account records (checks, bank statements, deposit slips) in electronic form instead of paper?
The opinion concludes the lawyer must keep the DR 9-102(D)(8) items in their original form, paper or electronic; if the bank returns them on paper in the ordinary course the lawyer keeps paper, but…
Could Maine district and probate judges answer a confidential federal survey about child and family services?
Yes. The committee saw no problem with the confidential survey described, while cautioning that other surveys could raise concerns about pending cases or apparent bias.
May a bank-director judge hear unrelated cases involving a lawyer suing the bank?
It depends on the circumstances when the judge is not a defendant: the Commission called for disclosure and a facts-based recusal decision if requested. If the judge is named a defendant in the bank…
Could a newly elected family court judge hold a fundraiser to repay campaign loans from the judge and the judge's parents?
West Virginia JIC Opinion 2002-28 permitted a fundraiser to pay campaign debts if the campaign committee conducted all fundraising.
Can a Texas lawyer and an associate sign an employment agreement covering who keeps a contingent-fee client and how the fee is split when the associate leaves?
Yes, within limits. The Committee concludes such an agreement is permissible and may provide a formula for paying the departed associate a share of a later-collected contingent fee (Rule 1.04(g)),…
If a lawyer receives an opposing party's privileged document that a third party may have stolen or taken without authorization, may the lawyer review and use it?
The opinion concludes that a lawyer who receives a document whose privileged status is apparent on its face, who knows it came from someone not authorized to disclose it, and who has no reasonable…
Can a lawyer help a client transfer her only asset to put it beyond creditors' reach if the client says her goal is to make herself insolvent?
The opinion concludes the answer depends on a substantive legal question the committee will not decide: whether the transfer is fraud under Virginia's conveyance statutes. Rule 1.2(c) lets the…
Does a prosecutor violate the ethics rules by telling the court in a defendant's presence that an appeal would be tried by a jury?
The opinion concludes no. Rule 3.8's special prosecutor restrictions do not reach this statement, and no general rule on lawyer communications prohibits the prosecutor's remark that the defendant…
Can a client who waived a conflict of interest later take the waiver back, and what happens to the lawyer's representations if it does?
The opinion concludes that nothing prevents a client from changing its mind about a conflict waiver, but the revocation will not always restore everyone to where they started. The consequences turn…
Who owns the insurance defense file, the insured or the insurer, and how long must a lawyer keep it?
The Committee concluded that because the policyholder is the client, the policyholder has the greatest claim to the file and is entitled to the original on request (with copying costs generally…
Could a Maine judge continue serving on educational and charitable nonprofit boards?
Yes, on the stated facts. The committee found no likely litigation conflict but applied Canon 4(C)(3)’s limits on fundraising and court involvement, with possible disqualification if an organization…
Can a Kentucky lawyer borrow money to cover a client's litigation costs, pass the loan interest on to the client, and pledge the contingent fee as collateral?
The opinion concluded a lawyer may borrow from a lender to fund litigation expenses and may pass the interest on to the client if the business-transaction and fee-agreement safeguards are met, but…
I represent several plaintiffs, including a survivor and the estates of decedents, in consolidated lawsuits arising from the same incident. Some clients' accounts of the facts contradict each other and each side's testimony could defeat the other's claim. Is that a conflict?
Yes, if the positions are truly opposed. The panel held Rule 1.7(b) creates a conflict of interest where the representatives of the decedents' estates and the survivor take diametrically opposed…
Can a lawyer provide bankruptcy services to clients as a salaried employee of a nonprofit credit-counseling corporation that is not a law firm?
No. The opinion concludes the arrangement violates the Bar Rules: it aids the unauthorized practice of law by a nonlawyer corporation, amounts to sharing legal fees with a nonlawyer, risks nonlawyer…
Can a lawyer serving as a court-appointed receiver ask the court to pay for time spent responding to a grievance about the receivership?
The opinion concluded that the Michigan Rules of Professional Conduct do not bar a court, in its discretion, from compensating a receiver for time and expense responding to a grievance, because a…
Did Maine’s Judicial Ethics Committee decide whether a bail commissioner could run for city council?
No. The committee concluded that the Code of Judicial Conduct did not cover bail commissioners and that it was not the proper body to answer the inquiry.
Can a lawyer put a binding arbitration clause in the attorney-client fee contract, and under what condition?
Only if the client is independently represented. The opinion concludes a binding arbitration provision prospectively limits the lawyer's malpractice liability under Rule 1.8(h), so it is ethical…
Must a D.C. judge recuse when a litigant university awarded the judge's child a large scholarship?
D.C. Judicial Conduct Opinion No. 11 says the child may accept the scholarship under the Code provision it applied, but the judge should recuse from matters involving the donor university or its…
May a judge direct a traffic defendant’s proposed donated goods to a particular charity in place of an unpaid fine?
No. The Committee treats directing the donation as judicial solicitation for that charity and says facilitating this further bargain after repeated nonpayment could undermine public confidence.
Must a North Carolina lawyer keep client emails in the file, and on termination can the lawyer return them electronically instead of as paper copies?
The opinion concludes whether to retain an email is a competence judgment under Rule 1.1, and the lawyer may store retained emails electronically or on paper. On termination the lawyer must give the…
May a judge hear a case handled by another lawyer in the appointed referee's firm?
Yes, if the referee has not acted as a lawyer in that case. The Commission said firm membership alone did not create the close-trust concern, but the referee's legal work on the case would require recusal.
Must a judge recuse from a murder case after representing the victim's mother in a related custody case?
Yes. The Commission held that the custody action and murder prosecution involved the same matter in controversy under Canon 3C(1)(b), given their common facts about the victim's death.
May a juvenile judge serve on a foster and adoptive parents association board?
Yes, if the service complies with Canon 5B. The Commission said the judge must account for activities that might suggest a predisposition in cases before him or interfere with judicial duties.
Was an Illinois judge required to report false tax forms disclosed by witnesses during a civil trial?
No. The Committee found no reporting duty on the stated facts because former Rule 63B(3) addressed misconduct by judges and lawyers, while former Rule 62A did not require a report here.
May a judge join the board of a charitable foundation funded partly by a case the judge mediated?
The committee allowed the board role on the stated facts: the litigation was complete, the foundation's work was unrelated to litigation, and the ordinary restrictions on proceedings, solicitation,…
Can a lawyer interview a low-level employee (such as a store cashier) of an opposing organization without opposing counsel's consent?
Yes, when the employee is non-managerial, did not engage in the conduct at issue, and lacks authority to make decisions about the litigation. The opinion limits Rule 4.2's 'admission' category to…
Can a magistrate campaign for the judge who appointed them, or solicit campaign funds for that judge's re-election?
The opinion concluded that under Canon 7(B)(2)(b) a magistrate may not engage in campaign activities (door-to-door canvassing, distributing literature, yard signs, phone banks) or solicit or receive…
Can a lawyer transfer shares in a legal professional association to an irrevocable trust for nonlawyer beneficiaries if the trustee is a lawyer?
The opinion concluded that it is improper under DR 5-107(C)(1), Gov. Bar R. III section 3(B), and DR 3-102(A) for an attorney to transfer shares in a legal professional association to an irrevocable…
May a judges’ association publicly respond when a district judge is criticized in the press?
Nebraska Ethics Opinion 02-5 declined a definitive answer without details of the criticism and proposed response, but warned that comments on a case or issue likely to come before judges could…
Can a lawyer collecting delinquent taxes for a Texas taxing unit agree to a contingent fee where the unit keeps part of the statutory attorney-fee penalty if a collection goal isn't met?
No. The Committee concludes the arrangement violates Rule 1.04(d), which bars a contingent fee prohibited by other law: letting the taxing unit retain part of the section 33.07 penalty when the…
Could a family court judges' association collect member donations to retain a legislative representative?
West Virginia JIC Opinion 2002-25 allowed voluntary donations from association members to retain a legislative representative, but barred solicitation outside the membership.
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.