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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I defended a client in a DUI case that ended in a plea. Can I now represent the tavern in the related civil suit arising from the same facts?
The Panel concludes a substantial relationship exists between the prior criminal defense and the tavern's civil case, so under Rule 1.9(a) the attorney must obtain the former client's consent before r…
My contingent-fee personal injury case was dismissed for the client's discovery failures. Can I now bill the client hourly instead?
The Panel declines to condone the attorney's attempt to avoid or restate the terms of the contingent fee agreement at this late date, and, noting Rule 1.5(c) requires a contingent fee agreement to be …
I represented one spouse in a divorce five years ago. Can I now represent the other spouse in a child-support case against my former client?
The Panel concludes that because the matters are the same or substantially related and the new client's interests are materially adverse to the former client's, Rule 1.9 bars the representation absent…
Can I print 'Wills, Trusts and Probate' on my business cards in Rhode Island?
The Panel concludes the words 'Wills, Trusts and Probate' indicate a concentration in those fields, so under Rule 7.4 the business cards must also state that Rhode Island does not have a procedure for…
Office-sharing lawyers advertise as 'an association of independent attorneys.' Is that misleading, and are we treated as a firm?
The Panel concludes the 'association of independent attorneys' sign and advertisement do not violate Rules 7.1 or 7.5, but that the lawyers will be regarded as a firm for Rule 1.10 imputed-disqualific…
I represent a mother in a neglect case, and now the grandparents want me to represent them in seeking placement of the children. Can I represent both?
The Panel concludes the attorney may represent both the mother and the grandparents if the attorney reasonably believes representing the grandparents will not adversely affect the relationship with th…
I hold settlement funds that both my former client's bank (now in receivership) and I claim. Must I notify the bank, and can I keep the funds for my fees?
The Panel declines to resolve the competing claims but concludes the attorney must notify the financial institution under Rule 1.15(b) that he holds the funds and must deposit all settlement monies in…
I am admitted in Rhode Island and Massachusetts and know of a Massachusetts lawyer's violation of Massachusetts rules. Must I report it under Rhode Island's Rule 8.3?
The Panel concludes the inquiring attorney has no duty under Rhode Island Rule 8.3 to report the alleged violation, because the Rhode Island Rules of Professional Conduct have not been violated -- the…
I am a state legislator and my proposed law partner is counsel paid by the legislature. Can we form a law partnership?
The Panel concludes the proposed formation of a law partnership or association by a legislator-lawyer and a lawyer paid as legislative counsel does not in itself violate the Rules of Professional Cond…
Can I list my LL.M in Taxation on business cards, advertise Spanish-speaking services, and note that I work with a nonlawyer IRS agent?
The Panel concludes a lawyer may state LL.M after the name and, with the required specialization disclaimer, LL.M in Taxation, and may advertise Spanish-speaking services and share office space with a…
I am an adjunct professor at a university. Can I represent a full-time faculty member in a tenure lawsuit against the same university?
The Panel concludes the adjunct-attorney may represent the professor in the tenure suit against the institution, provided the attorney informs the client of the attorney's potential responsibilities t…
Can a lawyer let clients pay legal fees through a third-party financing program like a credit card (LAWCARD)?
The opinion concluded Alabama lawyers may offer a third-party financing program (LAWCARD) for clients to pay past or future fees, provided the lawyer takes no affirmative role in the credit process, c…
When does paying a witness for testimony cross the ethical line, and how is a paid fact witness different from a paid expert?
The opinion concluded it is improper to pay an occurrence (fact) witness any fee for testifying and improper to pay an expert a contingent fee, and that an expert's fee must meet an objective standard…
Can an insurance company use its own salaried in-house lawyers to represent and defend the company's individual insureds?
Vacated. As originally issued, Formal Ethics Opinion 93-F-132 concluded it was improper for in-house attorney employees of an insurance company to represent individual insureds in matters arising unde…
Can a practicing lawyer who also serves as a mediator or arbitrator list both roles on letterhead, an office sign, or a business card?
Formal Ethics Opinion 93-F-131 concluded that serving as an impartial arbitrator, mediator, or other ADR neutral is not engaging in 'another profession or business' within DR 2-102(E), so a lawyer eng…
Did Tennessee reconsider its rule that earned fees belong to the lawyer and that nonrefundable retainers are permitted with a clear understanding?
Formal Ethics Opinion 92-F-128(b) denied a request to reconsider 92-F-128(a). The request argued that the opinion lacked Code support, conflicted with the bar on commingling, allowed income manipulati…
Did a prosecutor's pretrial statements to newspapers about a murder defendant violate the rule against extrajudicial statements that endanger a fair trial?
The committee declined to decide whether the statements actually created a clear and present danger to a fair trial, calling that a fact-bound legal question beyond its purview; it noted only that if …
Can a retired lawyer assign unpaid client accounts receivable to other lawyers for collection?
The opinion concluded a retired lawyer may assign fully earned accounts receivable to other lawyers if the clients are told, client confidences are protected, the fees were reasonable, the assigning l…
Can a lawyer require a client to advance litigation expenses, and withdraw if the client refuses to be liable for them?
The opinion concluded that a lawyer may not assume ultimate liability for litigation expenses but may ask the client to advance them, and may seek leave to withdraw if the client refuses ultimate resp…
Can a lawyer contact officials or employees of a government agency that is represented by counsel in the matter?
The opinion concluded that a lawyer may communicate with officials or employees of a represented government entity if the person lacks power to bind the entity, the communication is directed to the en…
I am a lawyer and a licensed real estate broker. Can I operate a real estate business out of my law office?
The opinion does not directly prohibit a lawyer from operating a real estate business from the law office, but conditions the practice on compliance with Rule 5.4(b) (no partnership with a nonlawyer i…
My criminal client was released from prison to a residential drug program and then left it. Do I have to tell the court?
The Panel concludes the attorney has no duty to disclose that the defendant left the program, because the information is confidential under Rule 1.6(a) and the Rule 3.3 candor duties, which continue o…
The debtor's attorney held our lien funds in escrow for about a year without notifying us and only paid after we threatened to enforce. Do we have to report him to the disciplinary board?
The Panel concludes that if the escrow attorney held the funds for roughly a year without prompt notice, that would violate Rule 1.15(b), and if the inquiring attorneys believe his conduct violated Ru…
A non-lawyer friend's out-of-state collection agency wants to send demand letters on my firm's letterhead, handle debtor responses, and split what it collects, with my firm supervising. Is that allowed?
The Panel concludes the arrangement is improper: it would have non-lawyers practice law and would violate Rule 5.4(b) and 5.4 (partnership and fee sharing with a non-lawyer), Rule 5.5 (assisting unaut…
My wife and I are sole practitioners with separate practices, and she is counsel to a state agency director. Can I represent her private client before a state board she has never represented?
The Panel concludes the spouses are not a law firm, so Rule 1.10 imputation does not apply, and Rule 1.8(i) does not disqualify the husband because the wife is not the lawyer representing the adverse …
My client's personal-injury settlement was supposed to pay a creditor who had a body attachment, but the client won't pay. Can I tell the creditor's lawyer the case settled, without the client's consent?
The Panel concludes the attorney may inform the creditor's attorney that the case settled and the client was paid, because that disclosure is impliedly authorized to carry out the representation and i…
After the insurer appointed defense counsel, can I as plaintiff's attorney keep negotiating settlement directly with the insurance adjuster over defense counsel's objection?
The Panel concludes that Rule 4.2 bars the plaintiff's attorney from communicating directly with the adverse insurance company's adjuster without opposing counsel's consent, because the insurer is its…
Can a Nevada lawyer charge a non-refundable retainer in a divorce or criminal case?
The Committee concluded that non-refundable retainer agreements are not specifically prohibited by SCR 155, but any such agreement is unethical if the fee would be unreasonable under all the circumsta…
Can a lawyer send a personalized direct-mail letter to newcomers in an area describing the firm's services and suggesting they may need legal help?
Yes; a truthful targeted letter to newcomers is constitutionally protected and permitted, but it must conform to the advertising rule, and language implying that suggested changes are legally required…
Can spouses serve as opposing prosecutor and defense counsel in Ohio, and what about their firm colleagues?
The opinion concluded that an assistant prosecutor and a criminal defense lawyer who are spouses may not oppose each other without disclosure and consent, and that the defense lawyer's partners and as…
Can an Ohio lawyer who serves on a bar grievance committee defend other lawyers in disciplinary matters?
The opinion concluded that a grievance committee member may not privately represent an attorney in a disciplinary matter handled by that committee, but may represent attorneys before another committee…
Must a lawyer tell a client she can file a bar complaint against opposing counsel, and must the lawyer report opposing counsel's misconduct, before the case is over?
The opinion concluded that the lawyer had to tell the client she could complain to the bar and could not wait until the litigation ended to do so; and that the lawyer had to report opposing counsel's …
Can a lawyer draft a will for a godmother that names the lawyer as an ultimate beneficiary, and may the lawyer then serve as executor and trustee?
The committee concluded that drafting the will was improper because a godparent is not a 'relative' under the rule barring a lawyer from preparing an instrument giving the lawyer a gift; but serving a…
Can Alabama lawyers organize their law firm as a limited liability company under the new Alabama LLC Act?
The opinion concluded it does not violate the Rules of Professional Conduct or any disciplinary rule for two or more lawyers to organize a law firm as an Alabama limited liability company under the Al…
If a civil litigator learns that the client lied in interrogatories or a deposition and produced a forged document, what must the lawyer do, and can the lawyer be forced to tell the court?
The opinion concluded that a lawyer who learns the client has lied in discovery must take all reasonable steps to rectify the fraud, and that the Rule 3.3 duty of candor toward the tribunal supersedes…
When a lawyer represents a bank client during a regulatory examination, can the lawyer stay silent about facts adverse to the client, and where is the line on misleading regulators?
The opinion concluded that a lawyer representing a client in a bank examination may not under any circumstances lie to or mislead agency officials, whether by affirmative misstatement or by omitting a…
Can a patent lawyer accept free referrals from, and buy advertising through, an inventor-protection group that picks lawyers at random from the USPTO roster?
Yes; a group that refers inventors to patent lawyers at no charge, by random selection without favoring supporters, is not a lawyer referral service, so a lawyer may accept its referrals and place tru…
Can I keep some of my own money in my client trust account to maintain a minimum balance and avoid bank service charges?
The Panel concludes a lawyer may keep his or her own funds in a client trust account to maintain a minimum balance and avoid bank service charges, provided the amount does not exceed what is necessary…
As a lawyer who is also a registered investment adviser, can I pay a referring attorney a referral fee out of the commission I earn from a client's investment business?
The Panel concludes the lawyer-investment adviser may not pay another attorney a referral fee from commission proceeds under Rules 5.4 and 1.8, and stresses that acting as an investment adviser does n…
I drafted leases for Client A that were later terminated. Now Client B wants me to collect the unpaid balance on those same contracts against A. Is that a conflict?
The Panel concludes that under Rule 1.9 this is a conflict, because the collection matter is the same or substantially related to the lease work the attorney did for Client A and Client B's interests …
I represented Client X before a licensing board while X worked for Company Y, and now Y has been summoned before the same board. X consents. Can I represent Y?
The Panel concludes that under Rule 1.7 the attorney may represent Company Y before the licensing board if the attorney reasonably believes the representation will not adversely affect Client X and ea…
The victim in my client's criminal case was once represented by another lawyer in my firm. Can I impeach the victim using public-record information without violating former-client duties?
The Panel concludes that the attorney may use information about the victim that has become generally known or is a matter of public record to impeach, even though the victim is a former client by impu…
Is it professional misconduct for me to file a disciplinary complaint against another lawyer who defied a court order and won't pay court-ordered sanctions, when I'd also collect court-awarded fees?
The Panel concludes that filing such a complaint is not misconduct; if the attorney has knowledge that another lawyer acted in a way that questions honesty, trustworthiness, or fitness, Rule 8.3 requi…
A former partner represented Client X while we shared a firm, though I never worked on it. After the firm dissolved, can I take a new client adverse to X on a related lease?
The Panel concludes that under Rule 1.10(c) the attorney need not withdraw as long as the new matter is not the same or substantially related to the former partner's representation and the attorney ha…
Opposing counsel says they'll call both partners in our two-lawyer firm as witnesses about a settlement agreement. Can the partner whose role was limited still try the case?
The Panel concludes that under Rule 3.7 the partner is not precluded from acting as trial advocate, because that partner is not likely to be a necessary witness and the potential testimony will not re…
Two independent lawyers who lecture together want to form a joint 'firm' in a niche field while keeping their separate practices. Can we hold ourselves out that way?
The Panel concludes that the Professional Service Corporation Act bars practicing in two professional corporations without regulatory approval, and that the Rules do not resolve the other proposed for…
I'm the co-executor and attorney for an estate that can't find other counsel, and I'll definitely be a witness. Can I act as advocate at trial under Rule 3.7?
The Panel declines to decide, because it cannot determine on the facts whether Rule 3.7(a)(3)'s substantial-hardship exception applies, and suggests a motion in the pending court, with notice to all p…
Can a law firm buy an ad in a union's service directory and let the union endorse it and hand out the firm's business cards to members?
The opinion concluded a firm may buy an ad in a union service directory, accept the union's endorsement, and give the union business cards to distribute, so long as the firm does not pay the union for…
Can a law firm that represents a state agency also serve as conservator for individual children who are wards of that same agency?
The opinion concluded there is no per se conflict in the firm serving as conservator for children who are wards of the Department of Human Resources while continuing to represent the Department, becau…
Can a lawyer serve at the same time as an elected municipal judge and as an assistant prosecuting attorney?
No. The opinion concluded it would be prejudicial to the administration of justice for a municipal judge to be employed simultaneously as an assistant prosecuting attorney, because appearing as counse…
Can a West Virginia lawyer charge interest or a finance charge on a client's overdue legal-fee balance?
Yes, if the client agreed in writing at the outset of the representation. The opinion rescinded the bar's earlier ban (L.E.I. 78-7) and held Rule 1.5 does not prohibit interest on unpaid balances, but…
Can an insurance company's full-time staff attorney appear in court for the insured, or only for the company itself?
The opinion concluded that a staff attorney may appear only where the insurance company is the real party in interest representing the company itself; he may not appear for the insured, because a corp…
Can a solo lawyer use a name like 'John Doe & Associates,' 'John Doe Law Firm,' or 'John Doe Law Office'?
The opinion concluded a lawyer may use 'John Doe & Associates' only if he has at least one associated attorney in his employ, but a sole practitioner may use 'John Doe Law Firm,' 'John Doe Law Office,…
In Kentucky, may a lawyer who practices domestic-relations law serve as a mediator in voluntary or court-annexed divorce mediation?
Yes. The opinion concluded there is no per se disqualification, but the lawyer-mediator must remain impartial and should not mediate where a present or past client relationship undermines that imparti…
In Kentucky, must a lawyer report child abuse or neglect learned while representing a client?
No, reporting is not mandatory where it would violate the attorney-client privilege, though Rule 1.6 permits (but does not require) disclosure in some circumstances, such as to prevent imminent death …
In Kentucky, may a lawyer charge a contingent fee for defending a civil case?
Yes. The opinion concluded the rules do not bar contingent fees for defending civil cases (only criminal and divorce cases are prohibited), but the lawyer bears the burden of showing the fee is reason…
I represent ABC Corporation in one lawsuit. A minority-shareholder officer wants me to represent him against the other shareholders. Can I, even if I withdraw from the corporation?
The Panel concludes that under Rule 1.7 the attorney may not represent the shareholder against the corporation unless both the corporation and the shareholder consent after consultation, and withdrawa…
I represent a client suing a state agency. That same agency wants to hire me as a special prosecutor in an unrelated matter. Can I take it on?
The Panel concludes that under Rule 1.7 the attorney may represent the state agency as special prosecutor so long as the lawyer reasonably believes the other client will not be adversely affected and …
My partner and I want to advertise our personal-injury work under just 'A and B attorneys' without naming our actual law firm. Is that allowed?
The Panel concludes the proposed advertisement would be misleading under Rule 7.1 because it omits a material fact -- the firm in which A and B practice -- and implies that A and B are a separate two-…
Can I state on my letterhead that I'm certified by the National Board of Trial Advocacy, and do I have to add the Rule 7.4 no-certification-procedure disclaimer?
The Panel concludes the certification statement may be placed on letterhead if it complies with Rules 7.1 and 7.4, and because it implies a concentration, the Rule 7.4 disclaimer that Rhode Island has…
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.