Legal Ethics Opinions
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My partners and I left our old firm to start a new one. A new client wants us to sue a client our old firm handled, in an unrelated matter we had no confidential knowledge of. Can our new firm take it under Rules 1.9 and 1.10?
The Panel concluded that because the new matter is unrelated to the old firm's work for the former client and the lawyers acquired no actual knowledge of protected information, the new firm may repres…
My client died, and the widow won't cooperate in substituting a personal representative as plaintiff so I can move the case forward. May I withdraw under Rule 1.16?
The Panel concluded that because the widow's lack of cooperation prevents effective representation, withdrawal is permitted under Rule 1.16(b)(5), which allows withdrawal when the client has rendered …
Can a law firm pay an insurance company a per-case referral fee and represent the clients the insurer sends?
The opinion concluded that a firm paying an insurer a referral fee (plus subleasing space and taking a line of credit from the insurer's principals) can satisfy Rule 7.1's intermediary-disclosure rule…
Does a child's court-appointed guardian ad litem have to pursue, or at least flag, the child's tort claims against third parties?
The opinion concluded that a guardian ad litem appointed in a neglect proceeding has no duty to initiate tort claims for the child, because the appointment's scope is limited to custody and placement.…
Is a former government official barred from representing private plaintiffs against the agency in a later case that shares only some legal issues with a matter the official handled in office?
No. The opinion concluded that under Rule 1.11(a), a former public officer is disqualified only from the same 'matter' he participated in personally and substantially, and a later case with different …
Can a lawyer team up with a nonlawyer-owned company to give legal advice to callers of a 1-900 pay-per-call number?
The committee was of the opinion that the arrangement violates RPC 5.4(a) and (b) and 7.2(c), and that the prerecorded advice raises serious competence and malpractice concerns under RPC 1.1, 1.2, 1.3…
Can an estate-planning lawyer accept a referral fee from an insurance company for steering a client who then buys life insurance?
The opinion concluded that an estate-planning lawyer may not accept a referral fee from an insurance company for recommending a client, because the conflict is non-consentable: life insurance is not f…
In Kentucky, may a criminal-defense firm pay a salary supplement to subsidize a new lawyer's two-year term with the prosecutor's office before the lawyer joins the firm?
No to the subsidy. The opinion concluded that a defense firm's $10,000 salary supplement subsidizing the prosecutor's office raised ethical problems, though the firm could conditionally hire the lawye…
In Kentucky, may an employer's lawyer contact an EEOC complaining-witness employee without the EEOC counsel's consent during a pending enforcement action?
Qualified yes. The opinion concluded the lawyer must first determine whether the agency represents the employee individually: if yes, Rule 4.2 bars contact; if not, Rule 4.3 governs and contact may pr…
In Kentucky, if a lawyer is a city alderman, may other members of the lawyer's firm represent clients before the local planning commission?
Yes, with safeguards. The opinion concluded firm members are not disqualified if the alderman is not on the relevant zoning committee, recuses from related votes and appointments, and the firm uses ap…
What fee is a discharged contingent-fee lawyer entitled to in Nevada, and can the lawyer keep the client's file?
The Committee concluded that a contingent-fee attorney discharged without cause is entitled to a reasonable fee in quantum meruit determined at the conclusion of the case under the SCR 155 factors, an…
When a lawyer represents a client under a guardianship for disability, must the lawyer advocate the client's own wishes even if the lawyer thinks they are against the client's interests?
Yes. The opinion concluded that a lawyer for a client under guardianship has an absolute duty to advocate the client's expressed desires, and owes the same fidelity and conflict-avoidance duties as in…
Can an assistant district attorney or a DA's nonlawyer staff advise an unrepresented traffic defendant on plea options that would reduce insurance points or save a license?
No. The opinion concluded that the DA's lawyers and supervised staff represent the State, so they may not give legal advice to an unrepresented citizen charged with an infraction beyond advising the p…
Can a lawyer's fee agreement direct the clerk of court to send a domestic client's alimony or child support payments to the lawyer to cover unpaid fees?
No. The opinion concluded that directing support payments to the lawyer gives the lawyer a prohibited proprietary interest in the subject of the litigation under Rule 5.3(a); the advance-fee provision…
Can a closing lawyer own stock in a title insurance agency that earns compensation on the same real estate transactions the lawyer closes?
No, on these facts. The opinion concluded that even an insubstantial ownership interest in a title agency that is paid on the lawyer's own closings creates a conflict too great to allow, because the l…
Can a defense lawyer in a medical-malpractice wrongful-death case contact the pathologist who performed the decedent's autopsy, without the consent of the estate's lawyer?
Yes, unless a statute or case law prohibits it. The opinion concluded the privacy rule barring ex parte contact with a plaintiff's nonparty treating physician does not reach a pathologist who performe…
Can a lawyer let a legal assistant or paralegal examine a witness at a deposition, or appear for a client or witness being deposed by opposing counsel?
No. The opinion concluded that conducting a deposition requires the lawyer's independent legal judgment from moment to moment, so letting a legal assistant examine or appear at a deposition aids the u…
If a personal-injury client dies during the representation, must the lawyer tell the tortfeasor's insurer before continuing to negotiate the claim?
Yes. The opinion concluded that the lawyer must disclose the client's death to the insurer before continuing negotiations, because the death ends the representation and negotiating or settling without…
When a client gets new counsel and asks for the file but refuses to pay copying costs, who bears the expense of copying, and how is the file divided when the lawyer represented several clients in the same matter?
The opinion concluded the file belongs to the client and a withdrawing lawyer must deliver it, bearing the copy cost only for the one set she keeps for her own records; original documents that relate …
Can a lawyer discuss confidential client matters on a cellular or cordless phone that could be intercepted?
The opinion concluded a lawyer should exercise caution when discussing client confidences or secrets on cellular, cordless, or other readily interceptable devices, should consider securing such conver…
If a lawyer for a limited partnership discovers the general partner is looting it, must the lawyer tell the limited partners, and may the lawyer tell outsiders?
The opinion concluded that a lawyer for a limited partnership must disclose the general partner's improprieties to the limited partners, since the entity is the client, but may not reveal the informat…
Must a lawyer pay settlement money to the client when a third party, like a government Medicaid lienholder, also claims part of it?
The opinion concluded that when both the client and a third person claim an interest in settlement proceeds held in the lawyer's IOLTA account, the lawyer must not disburse the disputed portion to the…
When a former client owes unpaid fees, can a lawyer or the old firm withhold the client's files until the bill is paid?
The opinion concluded that retaining liens on a client's files are strongly disfavored in the District of Columbia. Under Rule 1.8(i) a lawyer may withhold only the lawyer's own work product that has …
After Ohio banned honorariums for public officials, can a judge still accept pay for teaching a law-related college course?
The opinion concluded that compensated teaching of a law-related college or university course is not a banned 'honorarium' under R.C. 102.03(H) because teaching is not the same as a speech, so a judge…
Can an Ohio lawyer refer a client to a finance company if the lawyer agrees to give the company a percentage of the legal fee in exchange for the company lending the client money?
The opinion concluded that prospectively agreeing to pay a financing company a percentage of an earned legal fee in exchange for the company lending money to the client is improper fee-splitting under…
Can a lawyer advertise under a trade name without the lawyer's own name, and charge a contingent fee to collect overdue child support or alimony?
A lawyer may advertise under a non-misleading trade name without the lawyer's own name, and may charge a reasonable, written contingent fee to enforce post-judgment support, alimony, or property provi…
Is a firm disqualified from suing a person one of its lawyers briefly advised earlier, and how is 'substantially related' determined?
It depends on the trial court's findings. The opinion concluded that under Rule 1.9, the firm is disqualified if the present suit is substantially related to the prior representation or if the lawyer …
When a firm bills by the hour, may it charge a new client for legal research it already did and billed to an earlier, unrelated client?
No. The opinion concluded that under an hourly fee agreement, billing a client for reused work product the lawyer did not spend time on is dishonest conduct; the lawyer may bill for time tailoring old…
Can a lawyer who is a title insurance agent let the insurer audit the lawyer's trust accounts without client consent?
The opinion concluded that an attorney/title-insurance agent may not permit the insurer to audit a general trust account without the affected clients' consent, but may permit an audit of a special tru…
Can lawyers who only share office space list their names together on the suite door, like a firm, if they add a line saying they are independent practitioners?
The Committee concluded that displaying the lawyers' names separated only by commas suggests a professional relationship that does not exist and misleads the public, violating Rule 7.04(a) and (d); th…
Can a law firm lease its lawyers and staff from a nonlawyer-owned employee leasing company that also leases lawyers to other firms, to get cheaper benefits?
The Committee concluded the arrangement does not involve improper fee-sharing (the leasing fee is fixed, not tied to the firm's billings) and is not the unauthorized practice of law (the leasing compa…
Can a lawyer run a newspaper ad aimed at people with a specific legal problem, and can the lawyer send a layperson a letter proposing to trade client referrals?
The Committee concluded that a targeted print advertisement is permissible if it complies with Rule 7.01 and is not false or misleading; a bare promise of cash settlements without qualification may cr…
Can a lawyer state on letterhead, business cards, or advertising that the lawyer is certified as an arbitrator by the American Arbitration Association?
Yes. The opinion concluded that stating a lawyer is certified as an arbitrator by the American Arbitration Association is not false or misleading and does not violate Rules 7.1 and 7.7, because arbitr…
I took over a case and found the referring lawyer made uncorrectable strategic errors. Do I have to tell my client, and can I tell the other lawyer about the mistakes under Rules 1.4 and 2.1?
The Panel concluded that under Rules 1.4 and 2.1 the successor attorney should inform the client of the circumstances impacting the lawsuit, and that before informing the referring attorney of the err…
My new client is criminally charged with breaking into the home of someone I represented years ago in unrelated matters. Does Rule 1.9 bar me from defending the criminal case?
The Panel concluded that the criminal charge is not the same or substantially related to the earlier unrelated representations of the complaining witness, so the attorney may represent the criminal de…
I am an assistant town solicitor prosecuting misdemeanors for one town. Can I take the same prosecutor role for a second town, when both towns' cases are scheduled the same day, under Rule 1.7?
The Panel concluded that prosecuting for the second town does not violate the Rules because the towns' representations are not directly adverse, and suggested obtaining each client's consent after con…
Can I compensate another law firm for the time it spent on a legal malpractice case, where that firm was a third-party defendant that paid into the settlement?
The Panel concluded that compensating the other law firm for the time expended in the matter would not violate the Rules of Professional Conduct, consistent with Rule 1.5 and the Panel's view that an …
My client sold the disputed house to a buyer with an addendum about the pending suit, then fired me. Do I have a client relationship with the buyer, and can I represent either of them under Rule 1.9?
The Panel concluded the attorney has an attorney-client relationship only with the seller, not the buyer; because the seller is now a former client, the attorney needs the seller's consent to represen…
If I later reduce the fee I actually charge my client, but the court awarded or a third party paid a stated attorney fee, do my representations about that fee have to match under Rules 3.3 and 4.1?
The Panel concluded that if the attorney negotiates a lower fee for the client, all representations regarding fees made to the court or to third parties must reflect the actual fee, under Rule 3.3 and…
My client discontinued the case and wants the retainer back. The agreement didn't say the retainer was non-refundable but I assumed it was. Can I keep it under Rule 1.5?
The Panel concluded that under Rule 1.5 and the Disciplinary Board's policy, a retainer is a refundable fee advance, so the attorney must return the unearned portion and keep only the reasonable value…
My bank client hired a non-lawyer with a J.D. to draft its loan documents. If I review documents a non-lawyer prepared, am I assisting the unauthorized practice of law under Rule 5.5?
The Panel concluded that assisting a bank employee in preparing loan documents is not assisting the unauthorized practice of law and does not violate the Rules, noting Rule 5.5's Comment allows advisi…
If a former-client conflict bars a lawyer from taking a case, can she still refer it out and share in the other lawyer's fee?
The opinion concluded no; a compensated referral is itself representation in the matter, so the same former-client conflict that bars the case bars sharing the referred lawyer's fee.
Can a lawyer who also represents some of the opposing company's managerial employees in unrelated cases talk to them ex parte about the main lawsuit?
The opinion concluded the lawyer may speak with his managerial/supervisory clients about their own matters, but whether he may discuss the opposing party's case turns on whether those employees are in…
What must a lawyer do when the other side offers to drop a grievance against the lawyer's client in exchange for a settlement?
The opinion concluded the receiving lawyer may, but need not, report the offering lawyer; must advise the lawyer-client of the impropriety and withdraw if the client persists; need not report the clie…
Can a lawyer loan money to the opposing party so that party can pay the lawyer's client, and can the lawyer charge a contingent fee to collect child support?
Modified. As originally issued, Formal Ethics Opinion 94-F-134 concluded that a lawyer collecting past-due child support on a one-third contingent fee could not loan funds to the adverse ex-husband to…
Can a lawyer referral service take a percentage of the fees earned on cases it refers?
No. Georgia FAO 94-1 concluded that any division of a lawyer's fees with a lawyer referral service is the sharing of fees with a nonlawyer in violation of Standard 26; a lawyer may pay only the usual …
When a former defense lawyer joins a district attorney's office, must the whole DA's office be disqualified from cases the new hire defended?
The opinion concluded that a district attorney and the other assistants are not vicariously disqualified under Rule 1.11 when a newly hired assistant previously appeared as defense counsel, so long as…
Can a New Jersey lawyer represent a client before a board of taxation on which the lawyer's non-lawyer father sits, if the father recuses?
The Committee concluded that, with the father recusing himself from any matter handled by the lawyer or the lawyer's firm, no appearance of impropriety arises and the representation is permissible; ab…
Can a lawyer give the Texas Workers' Compensation Commission a general description of attorney-client conferences to get a fee approved, without breaching client confidentiality?
The Committee concluded that a general description of the nature of attorney-client conferences (for example, 'discussed client's medical treatment') is confidential but not privileged information, an…
In Kentucky, may a lawyer participate in LAWCARD, a credit-card program that finances the payment of legal fees?
Yes. The opinion concluded that LAWCARD is a credit-card plan, not a for-profit referral service, and lawyers may participate as long as they comply with KBA E-172 and rules such as 5.4(a) against fee…
A prospective client's information makes me suspect their other lawyer broke several rules, but the client won't consent to disclosure. Must I report the other lawyer under Rule 8.3?
The Panel concluded that because the information is confidential and protected by Rule 1.6 and the client refused to consent to disclosure, Rule 8.3(c) means the attorney is not obligated to report th…
I may have to testify about a witness's inconsistent statements in my client's case. Must I withdraw, or can I keep working on the matter short of trial under Rule 3.7?
The Panel concluded that while Rule 3.7(a) bars a likely-necessary-witness lawyer from acting as trial advocate, it does not bar the representation entirely; the attorney may continue in negotiations …
My spouse is a clerk in the Bankruptcy Court with ministerial duties. If I am appointed a Chapter 7 bankruptcy trustee, does that create a conflict of interest under Rule 1.7?
The Panel concluded that, on these facts and consistent with Rule 1.7(b) and its prior opinions, the attorney's appointment as a local bankruptcy trustee would not give rise to a conflict under the Ru…
Can I put up an 'attorney at law' sign at my brother's medical office building even though I don't hold office hours or practice law there?
The Panel concluded that placing a sign at an office location where the attorney does not practice law is misleading to the public under Rule 7.1, because a sign conveys that an attorney holds office …
My new client's former lawyer let the case be dismissed by ignoring discovery. Must I report that lawyer to the disciplinary office, even though my client could lose the ability to collect on a malpractice claim?
The Panel concluded that if the attorney has knowledge of a rule violation raising a substantial question about the other lawyer's honesty, trustworthiness, or fitness, Rule 8.3 requires reporting, su…
Can a lawyer secure a fee by taking a mortgage or security interest in a client's property that is unrelated to the matter being handled?
The opinion concluded yes; because the property is not the subject of the litigation, the lawyer may take a secured note if the business-transaction safeguards (fair terms, chance to consult independe…
When a lawyer mediates while staying 'of counsel' to a firm, must the mediator run conflict checks and disclose the affiliation, and does imputed disqualification apply?
The opinion concluded the of-counsel mediator must run conflict checks and disclose the firm tie when a party is connected to the firm, and that imputed disqualification reaches the firm and the media…
Can an Ohio prosecutor offer to dismiss a criminal charge that lacks merit if the defendant signs a release of civil claims against the police and the city?
The opinion concluded that once a prosecutor concludes a charge lacks merit, offering to dismiss it in exchange for a release of civil claims is improper under DR 1-102(A)(5) and DR 7-105(A). Decided …
Can salaried insurance-company lawyers collect insureds' deductibles and operate under an in-house law firm name?
The opinion concluded that salaried insurance-company attorneys may pursue subrogation claims for the insurer but may not also attempt to collect insureds' deductibles, and may not operate an insuranc…
Can a lawyer tell a former client about a current client's alleged fraud that the lawyer learned about but has not verified?
No; the information is a client secret, so absent the client's consent a lawyer may not reveal an unsubstantiated alleged fraud, and may disclose only if the lawyer knows (not merely suspects) the ser…
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.