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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May a judge serving on a bank board solicit customers for the bank?
No. The Commission held that business calls to recruit or retain bank customers would use judicial prestige to advance the bank and exploit the judicial position.
Must a judge recuse from a negligence case against the YMCA branch his family uses?
No, on the stated facts. The Commission found that ordinary YMCA membership did not reasonably question impartiality, but said the judge should disclose the memberships to the parties.
Can a lawyer take a mortgage or other security interest in a client's property to make sure the fee gets paid?
Yes, with safeguards. The opinion concludes a lawyer may take a contractual security interest in a client's property to secure a fee if the lawyer complies with Rule 1.8(a)'s business-transaction…
Can a lawyer who drafts a client's will or trust serve as the executor or trustee, hire their own firm as the estate's counsel, and be paid for both roles?
Yes, with conditions. The opinion concluded that a lawyer may accept appointment as a personal representative or trustee named in an instrument the lawyer prepares and may appoint himself or his…
May a district judges council endorse a seat-belt and child-restraint enforcement campaign whose cases its judges will hear?
The Committee said endorsement of this or any law-enforcement program by the council or an individual judge would violate the Code. It also said council members would have to recuse from charges…
Could a senior-status judge serve as a hearing examiner for the Department of Environmental Protection?
West Virginia JIC Opinion 2002-14 concluded that a senior-status judge should not serve as the Department's hearing examiner because the position involved private judicial functions prohibited by Canon 4F.
Could a judge's home host charitable and political fundraisers conducted by the judge's husband?
West Virginia JIC Opinion 2002-13 allowed the judge's home to host the described charitable and political fundraisers conducted by her husband, provided she did not solicit funds, let her name be…
Can a lawyer let a finance company front the client's fee in exchange for keeping a discounted portion of that fee?
The opinion concludes no. An arrangement in which a finance company advances the lawyer a discounted lump sum and keeps the discount as its share of the legal fee is impermissible fee-sharing with a…
Could a judge's case coordinator drive a car advertising her husband's bonding company and sit on a women's center board?
West Virginia JIC Opinion 2002-11 said the case coordinator should neither drive the bonding-company advertising vehicle nor continue on the women's center board, given the connection to the judge's…
In Kentucky, may prosecutors meet with judges to develop informal policies or shared understandings on issues likely to influence outcomes in pending or future criminal cases?
No. The opinion concluded that such meetings are improper ex parte communications under KRPC 3.5, because they address issues likely to influence case outcomes; inviting the defense bar does not…
Must a judge recuse when a lawyer representing his uncle's estate appears in an unrelated case?
No, on the stated facts. The Commission found no disqualification where the estate lawyer neither represented the judge nor opposed him in a contested estate matter.
Must a judge recuse from cases involving lawyers or a store connected to his adult child's suits?
No, on the stated facts. The Commission found no reasonable question about impartiality from the child's lawyer's spouse or associates appearing, or from unrelated cases involving the store that…
May a judge hear malpractice cases against a spouse's or child's current doctor?
No, in the ongoing doctor-patient relationships presented. The Commission held both judges disqualified, said the general Canon 3C(1) ground could not be remitted, and said disqualified judges could…
What limits did the committee place on a retired judge acting pro tem while running a private investigation business and writing a pardon letter?
The committee said pro tem service could not appear to help obtain investigation clients, raise impartiality doubts, create conflicts, or influence court personnel. It also rejected a personal…
Can a North Carolina lawyer take part in collaborative family law and agree in advance to withdraw before any court proceeding?
The opinion concludes a lawyer may represent a spouse in a collaborative family law process, even when the other spouse is represented by a member of the same collaborative organization, if both…
What should a law firm do with an old client appeal bond when the clients and their heirs cannot be found?
Assuming reasonable efforts could not locate the deceased clients or their heirs, the committee concluded that the $500 bond and accrued interest held in the firm's trust account had to be delivered…
Can a New York lawyer refer clients to the lawyer's own non-legal business, and can that business refer customers back by phone or in person?
The opinion concludes that if the lawyer gives the DR 1-106 notice that the non-legal services are not covered by the attorney-client relationship, the lawyer may refer clients to the business…
Can a judge publicly explain and comment on a proposed state constitutional amendment?
The opinion concluded that under Canon 2(A)(1) a judge may communicate to the public about a proposed state constitutional amendment, explaining it, comparing it to current law, and describing its…
Can a lawyer refer clients to lenders recommended by a consulting company that the firm pays and that earns referral fees from those lenders?
The opinion concluded that it is improper, absent full disclosure and informed consent, for a lawyer to provide loan applications and refer clients to lenders recommended by a consulting company…
May a municipal judge write short local newspaper articles explaining how the municipal court works?
The committee said the articles would comply with the Code if they educated the public about court operations, promoted confidence in the judiciary, and did not take time from judicial duties.
May a magistrate candidate campaign before an uncontested primary when the general election will be contested?
The committee said yes. A magistrate candidate with no primary opponent but a general-election opponent remained in a contested partisan election and could campaign during the primary under Rule 21-700(B).
If I serve on a city council, can I discuss and vote on a matter involving a client of my former law firm when I never worked on that client's matter?
Yes, with conditions. The Committee concludes a lawyer on a city council may participate and vote on a matter where the former firm represents a client, provided the lawyer did not personally…
Can a Texas lawyer who is in-house counsel to a healthcare provider agree to represent the provider's injured patients at low cost in exchange for the provider referring those patients?
No. The Committee concludes the arrangement is prohibited: the low-cost services are a thing of value given for referrals under Rule 7.03(b), the agreement to drop patients who dispute the provider…
Can I defend criminal cases in the same county where my spouse works as an assistant district attorney?
Only with consent. The Committee concludes a lawyer's representation of criminal defendants in the county where the lawyer's spouse is an assistant DA is adversely limited under Rule 1.06(b)(2); the…
When a lawyer moves to a new firm, what client information can the lawyer reveal so the new firm can run a conflicts check without the former client's consent?
The opinion concludes that, without client consent, a moving lawyer may reveal only information that is neither a 'confidence' (privileged) nor a 'secret' under Rule 1.6, but that in most cases the…
Could a judicial candidate appear on a ticket with others or campaign together with another candidate?
West Virginia JIC Opinion 2002-10 allowed a judicial candidate's name in shared election materials and ticket promotions, but disallowed joint voter visits with another candidate and soliciting…
Can an Alabama law firm form a partnership or affiliation with foreign (non-U.S.) lawyers?
Yes. A foreign lawyer who is a member of a recognized legal profession in the foreign jurisdiction is not a 'nonlawyer' under Rule 5.4, so an Alabama firm may affiliate, form a partnership, or…
Did the D.C. judicial code permit senior judges to practice law while serving?
D.C. Judicial Conduct Opinion No. 10 says the Code's senior-judge exemption did not impose a blanket ban on law practice, but its court and appellate-jurisdiction limits and the Code's impartiality…
May a former DHR attorney serving as judge hear later cases involving the same children or families?
The judge may hear unrelated DHR matters absent bias or disputed-fact knowledge. If he previously filed a DHR petition for the child or family, the Commission required recusal unless the new case…
May a judge hear a criminal case prosecuted by the judge's judicial assistant's spouse?
No. The Commission found the judge disqualified from cases prosecuted by that spouse, but said the disqualification did not extend to cases prosecuted by other members of the district attorney's office.
May a clerk magistrate provide foster care while exercising juvenile jurisdiction?
Nebraska Ethics Opinion 02-4 rejects the proposed foster placements involving Health and Human Services, regardless of compensation; it permits voluntary parental placement only without that…
Could a mental hygiene commissioner represent a person in court when a current law partner presided over that person's earlier commitment hearings before their partnership?
West Virginia JIC Opinion 2002-09 allowed the court-appointed representation because the partner's earlier mental hygiene hearings occurred before the partnership and were independent of the…
Does a government lawyer violate Rule 8.4(c) by supervising or taking part in a lawful undercover operation that uses deception?
Not without more. The opinion concludes that a governmental lawyer who participates in a lawful covert government operation employing dishonesty, deceit, or misrepresentation to gather information…
Can a lawyer refer a personal injury client to a non-recourse litigation funding company and share case information with it?
Only in limited circumstances and in the client's interest. The lawyer may tell the client such companies exist after discussing the costs versus benefits, but may not recommend the case to a…
May a temporary city judge hear cases brought by a prosecutor while defending clients against that prosecutor elsewhere?
The Committee said the judge must decline criminal defense work within the prosecutor’s jurisdiction when also hearing that prosecutor’s cases; a waiver could not cure the appearance problem.
May a Maryland state judge serve on a federal court merit panel for appointing or reappointing magistrate judges?
Yes. The Committee views the panel as a governmental advisory body supporting the administration of justice because federal district judges retain final appointment authority.
Can a Tennessee firm employ a lawyer licensed in another state who is awaiting Tennessee admission, and list that lawyer on its letterhead?
Vacated. As originally issued, Formal Ethics Opinion 2002-F-91(a) concluded that a firm could employ a lawyer admitted elsewhere while the lawyer's Tennessee admission application was pending; the…
Can a part-time assistant district attorney who prosecutes state crimes also defend criminal defendants in the same county's courts?
Formal Ethics Opinion 2002-F-146 concluded that part-time assistant district attorneys who prosecute state criminal matters in a county's municipal courts may not also represent criminal defendants…
How are conflicts of interest involving government attorneys decided in Tennessee, and what happened to the rule on prosecutors defending criminal cases?
Formal Ethics Opinion 2002-F-107(b) restated that, in matters involving governmental interests and differing interests, a conflict of interest is a factual question decided case-by-case, and it…
How long must a West Virginia lawyer keep a former client's closed file, and how can the lawyer destroy it without violating the duty to safeguard client property?
The file is the client's property. The opinion concludes a lawyer should either return a closed file to the client or keep it at least five years after the representation ends (longer for some…
Can a disbarred or suspended lawyer sell their law practice to another attorney in Maine?
Yes. The opinion concludes nothing in the Bar Rules prohibits a disbarred or suspended lawyer from selling the practice to a Maine-licensed attorney, because such a lawyer has 'ceased to engage in…
Must a judge recuse when a party is represented by the judge's brother-in-law?
Yes, unless the disqualification is remitted under Canon 3D. After the judge discloses the relationship on the record, every party and lawyer must independently agree in writing that it is…
Could a Maine judge accept a free “Judicial Fellow” membership in a trial lawyers association?
No. The committee found the no-cost membership inappropriate under Canon 5(C)(4) and said association with the group might cast doubt on judicial impartiality under Canon 4(A)(1).
Can an insurance defense lawyer in Utah agree to an insurer's litigation guidelines and accept flat-fee defense work?
Neither is per se unethical, but the lawyer may not let an insurer's guidelines or a flat fee impair independent professional judgment or competent, diligent representation of the insured. If…
Can a New York lawyer who owns a mortgage brokerage and a title abstract company also act as the lawyer for the buyer, seller, or lender in the same real estate deal?
The opinion concludes the lawyer may not be the buyer's or seller's lawyer while also acting as mortgage broker or as a non-ministerial title abstract company in the same deal, but may, with…
Can a New York lawyer pass on to a contingent-fee client the interest the lawyer pays on money borrowed to fund litigation expenses?
The opinion concludes that a lawyer may borrow to advance litigation expenses in a contingent-fee matter and pass the interest cost on to the client, provided the client remains ultimately liable…
May a California plaintiff's lawyer contact the defendant's liability insurer directly when the defendant has said it will not tender the claim to the insurer?
Yes, on the facts presented. Per the opinion, former Rule 2-100(A) reaches only persons the lawyer actually knows are represented; where the defendant has not tendered the matter and the lawyer does…
After New York adopted DR 1-106 on non-legal services, can a lawyer who owns an ancillary business provide both legal and non-legal services in the same transaction with the client's consent?
The opinion concludes that the prior bars on a lawyer acting in dual roles (such as lawyer and broker) in the same transaction survive DR 1-106, because those bars came from applying DR 5-101(A) to…
May a currently serving appointed city judge call himself “Judge” in campaign advertising for circuit judge?
The Committee said a currently serving appointed city judge could use “Judge” or “City Judge” in campaign materials because the description did not misstate his present position.
May a judicial candidate personally ask individual voters to sign a petition to place her name on the ballot?
The Committee said individual requests for ballot-petition signatures did not amount to the public support solicitation barred by Canon 5C2; it distinguished requests to a group.
May an announced judicial candidate solicit charitable donations during a telethon without campaigning?
The Committee said the candidate could participate in the described charity telethon, including solicitation, because the fundraising bar in Canon 4 applied to judges and Canon 5 imposed no similar…
Can a lawyer put a binding-arbitration clause for fee disputes and malpractice claims in a retainer agreement?
Yes, with informed consent. The opinion concludes a retainer may require binding arbitration of fee disputes and malpractice claims if the client is fully told the advantages and disadvantages and…
Could a judge sell or give old reusable campaign signs to another candidate?
West Virginia JIC Opinion 2002-08 allowed the judge to sell reusable campaign signs to another candidate, but said a gift might constitute a contribution prohibited by Canon 5A.
May a senior status magistrate remain in office while running for county commissioner?
West Virginia JIC Opinion 2002-07 concluded that a senior status magistrate may not remain in that position while running for county commissioner.
May an elected magistrate work part time as an expert witness in civil cases?
West Virginia JIC Opinion 2002-06 concluded that an elected magistrate could not appear as an expert witness in a case, citing former Canon 2B's restriction on using judicial prestige for private…
Could a judicial officer give keynote speeches at a Crime Solvers banquet and a police convention?
West Virginia JIC Opinion 2002-05 concluded that the judicial officer should not speak at the named Crime Solvers banquet or Fraternal Order of Police convention.
May a judge serve as an officer or board member of a community action agency?
West Virginia JIC Opinion 2002-04 permitted service on a community action agency board within former Canon 4C's limits on recurring court appearances, member advantage and fundraising.
Could a family court case coordinator screen litigants in cases he handled as a paralegal?
West Virginia JIC Opinion 2002-03 said the coordinator should not participate in cases he handled as a paralegal at his former law firm, but could participate in other cases.
Must an incumbent probate judge identify the current court when using the title 'judge' to campaign for a magistrate seat?
The committee applied its earlier opinion requiring a lower-court judge using the title in a campaign for higher judicial office to identify the current judgeship. It said that ruling continued…
May a judge voluntarily send character evidence for a lawyer’s disciplinary hearing?
Nebraska Ethics Opinion 02-2 bars the requested voluntary affidavit, permits testimony if subpoenaed, and allows a letter if the disciplinary referee requests it.
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.