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 I form a non-profit corporation that gives artists low-fee legal, financial, and tax consulting, and serve as its officer, employee, and occasional retained lawyer?
The Panel concludes the lawyer may serve as a member, officer, or director under Rule 6.3, be employed or retained while maintaining independent judgment under Rule 5.4, but may not share in fees the …
Can a bar association referral service require lawyers to remit a percentage of the fees earned from referred clients, and can the lawyer pass that cost to the client?
The opinion concluded that a bar-operated lawyer referral service may require participating lawyers to pay a percentage of fees earned from referrals, and the lawyer may pass that cost along to client…
Can a company's in-house lawyers staff a compliance help line where employees report misconduct, including their own?
The opinion concluded that corporate lawyers may participate in a compliance program and staff a help line if they comply with the rules on representing an organization, by telling employees with pote…
Can a Commonwealth's Attorney sit in a quasi-judicial role reviewing a grievance panel decision when he earlier served on the same agency's board and is close to the people involved?
The committee concluded that the prosecutor should not serve in the quasi-judicial capacity, because the cumulative effect of his prior board service, close personal relationships, and earlier involve…
Can a Michigan judge act as a conciliator in church disputes that might end up in arbitration or litigation?
No. The bar on a judge acting as arbitrator or mediator extends to conciliation, so a judge should not serve as a conciliator in disputes that are likely subjects of arbitration or litigation.
Can a Colorado lawyer agree, as part of settling a case, not to represent other clients against the same defendant or to limit how the lawyer handles future cases?
The opinion concluded that under Rule 5.6(b) a lawyer may not offer or make a settlement that restricts the lawyer's right to practice, including a promise not to represent other claimants against the…
Could an Ohio lawyer list under 'Areas of Practice' or run a display ad in the phone book's classified section?
The opinion concluded that under DR 2-101(B)(2) as amended January 1, 1993, a lawyer could not list under a classified heading 'Areas of Practice' (except patent, trademark, or admiralty practitioners…
May a bar-association lawyer referral service charge participating lawyers a sliding-scale or percentage-of-fee remittance, and require lawyers to disclose the fee charged to set that amount?
The opinion concluded yes to both; a sliding-scale or percentage-of-fee remittance is a usual and reasonable referral charge under Rule 3.9(f)(2), and limited disclosure of the client's fee to set tha…
Can a lawyer who serves as a hearing officer for a state agency also represent clients before that same agency, and can the lawyer's partners?
The opinion concluded a lawyer who serves as a hearing officer for a state agency may not represent clients before that same agency, though the lawyer's partner may represent clients there in matters …
If a lawyer helped her firm pursue a fee claim against a client, can she later help the client fight that claim, and must she report her old firm's suspected misconduct?
The opinion concluded that a lawyer who prepared memoranda supporting her firm's fee claim stood in an attorney-client relationship with the firm, so Rule 1.9 bars her from later representing the clie…
Who is the client when a government lawyer enforces child support, and how do conflict rules apply when the same office represents opposing parents?
The opinion concluded that Corporation Counsel lawyers in Title IV-D child-support cases must make each petitioner aware whether or not she is the client and what that means, must use separate, screen…
What must a written fee agreement say, and can a flat fee carve out routine services and bill them separately by the hour?
The opinion concluded that, where a written fee agreement is required, it must adequately inform the client of the basis or rate of the fee, and that a fixed-fee agreement must include, as part of the…
In a bar-association divorce-mediation and legal-aid program, may lawyers represent both spouses in an irreconcilable-differences divorce?
Formal Ethics Opinion 93-F-130 advised the Knoxville Bar Association's domestic-relations mediation program that, following Formal Ethics Opinion 81-F-16, an attorney may represent both parties to an …
How long must a lawyer keep closed client files, how should they be stored, and how may they be destroyed?
The opinion concluded a lawyer has no general duty to keep files permanently; files should be sorted into categories, with client-property documents retained indefinitely and others kept a reasonable …
What must a lawyer for an estate executor do when the executor breaches, or plans to breach, fiduciary duties, and must the lawyer tell the beneficiaries?
The opinion concluded that the executor's lawyer must call on the executor to fulfill fiduciary duties, refuse to assist misconduct, and consider withdrawal; whether the lawyer may disclose the execut…
Can a lawyer who served as a child's law guardian in an abuse proceeding later represent the child in a civil damages suit against the abuser?
The opinion concluded that a law guardian may represent the same child in a related civil action against the alleged abuser, provided the lawyer does not exploit the fiduciary relationship to obtain t…
Can a lawyer act as a bail bond agent or own an interest in a bail bond agency that sells bonds to the lawyer's clients?
The opinion concluded that, assuming no legal bar, a lawyer may profit from a bail bond agency's sale of bonds to non-clients, but may not act as bail bond agent for a person the lawyer represents, be…
Can a New York lawyer work for a licensed foreign legal consultant, or form a partnership with a foreign lawyer such as a Japanese bengoshi?
The opinion concluded that a New York lawyer may be employed by a duly licensed foreign legal consultant acting within authorized limits, and may partner with a Japanese lawyer where the foreign lawye…
Can a lawyer who takes a pro bono case for a nonprofit organization turn over the court-awarded attorney's fees to that organization without violating the bars on fee-sharing with nonlawyers or paying for referrals?
The opinion concluded that a cooperating or staff lawyer may share, or agree in advance to share, court-awarded fees with a sponsoring nonprofit pro bono organization, and that doing so violates neith…
If a lawyer serving on an administrative board finds material added to a case file after the close of proofs, what must the lawyer do?
The opinion concluded that the lawyer must disclose the material to the appropriate authorities and all interested parties; the lawyer is disqualified from the matter only if the lawyer cannot decide …
I want to run a newspaper notice asking the public for information about a notorious case, not to get clients. Are the lawyer advertising rules triggered?
The Panel concludes that because the attorney does not intend to solicit business, the notice is not an advertisement; if the intent were to solicit business, the attorney would have to comply with th…
The predecessor attorney claims 50% of the fee and won't itemize her work. As the successor lawyer, isn't she limited to quantum meruit for the value of her services?
The Panel concludes the fee should be divided according to quantum meruit, the fair value of the predecessor's services before termination, resolved by agreement or, failing that, by a court or the Ba…
Years ago I briefly advised a former client on a promissory note. Can I now represent a new client in an unrelated debt-collection matter against that former client?
The Panel concludes that under Rule 1.9 the representation is permissible if the debt-collection matter is not the same or substantially related to the prior work and the lawyer does not use informati…
I handled a real estate closing years ago and I'm not sure whether I represented the buyer, the seller, or both. Now I've been subpoenaed to a grand jury about it. What must I do?
The Panel concludes that if both buyer and seller consent the attorney may comply, but absent full consent the attorney must move to quash and assert the attorney-client privilege under Rule 1.6, whil…
The mayor appointed me to a narrow municipal committee overseeing one fund. Can my firm keep suing the same municipality and appearing before its boards in unrelated matters?
The Panel concludes that, because the lawyer serves as a member (not counsel) of a narrowly-defined committee and the firm's matters are unrelated to it, the firm is not precluded from representing cl…
I represent a corporation and its sole shareholder, and I've done work for an employee too. Can I represent the shareholder in selling stock to that employee?
The Panel says it depends on whether the employee is still a client: if so, Rule 1.7 governs and requires consent; if the employee is a former client, Rule 1.9 permits the representation unless the ma…
If a prosecutor forgets to file the charges a plea deal called for, does the defense lawyer have to point out the oversight?
No; the client commits no crime or fraud by staying silent about the prosecutor's oversight, so neither the candor rule nor the misconduct rule requires the lawyer to alert the prosecutor's office.
When a client picks up its files from a lawyer, does that count as discharging the lawyer so that new counsel can take over?
The opinion concluded that a client's request for the return of its files is a notice of discharge, so new counsel may begin once the client tells the new lawyer of the discharge; whether former couns…
Is an unsolicited brochure mailed to prospective clients a solicitation under Rule 7.3, and does a shared trade-organization membership count as a prior professional relationship?
The Panel concludes the unsolicited brochure mailing is solicitation subject to Rule 7.3(b) (including the advertisement marking), a common trade-organization membership is not a prior professional re…
One of my partners is a part-time municipal court judge. Can the rest of our firm represent clients whose interests are adverse to that municipality?
The Panel concludes that no firm member may appear before the judge or in any matter the judge handled as judge unless the judge is screened under Rule 1.11(a); otherwise the Rules impose no black-let…
Must a successor lawyer report opposing counsel who lied about meeting a filing deadline, and does the reporting duty disqualify the successor as a witness in the malpractice case?
The committee concluded that the successor lawyer may have a duty under DR 1-103(A) to report a lawyer who falsely told the client, opposing counsel, and the court that a suit was timely filed, becaus…
When opposing counsel records a deed understating the purchase price to cut the grantor's tax, must the other lawyer report it to the bar and to the tribunal?
The committee concluded that a lawyer who knowingly let a deed be recorded understating the consideration made a false statement and that the other lawyer may have a duty under DR 1-103(A) to report i…
When a client dies before signing the will the lawyer drafted, must the lawyer turn the unexecuted will over to the estate, or can he withhold it as a confidence?
The committee concluded that, with no fees owed, the client owns the complete contents of the file, so the unexecuted will is estate property that must be returned to the deceased client's personal re…
Is it misconduct for a lawyer to set up a trust transfer so a client can dodge an assignment to a creditor, and must opposing counsel report it?
The committee concluded that a lawyer who advised transferring property into a trust to avoid honoring an assignment to a creditor counseled or assisted fraudulent conduct in violation of DR 7-102(A)(…
After a partner testified for the client at trial, can another partner from the same firm handle the client's appeal to the state supreme court?
The committee concluded that the appeal was not a separate representation from the trial, because appellate argument might require attacking the credibility of the partner's trial testimony, so the ad…
Can a Michigan lawyer advertise free will drafting for clients who want to leave a bequest to a particular organization the lawyer is connected to?
The opinion concluded that a lawyer may advertise that the lawyer will prepare a will and bequest without charge for a client who wishes to leave a testamentary bequest to a particular organization, b…
Can a lawyer take a town board seat that requires a financial-disclosure form listing clients who do business with the town?
The opinion concluded that a lawyer may not file a disclosure form revealing a client confidence or secret without consent, so the lawyer must obtain each affected client's consent, secure a court rul…
Can a Michigan lawyer advertise that a portion of the lawyer's fee will be donated to a church or charity?
The opinion concluded that a lawyer may state, in a print advertisement or to an assembled group, that part of the fee will be donated to a religious or charitable organization, where the organization…
Can a lawyer sign a letter indemnifying a surety that issued a cost bond for the lawyer's out-of-state client?
The opinion concluded that a lawyer may not give a letter of indemnification to a bonding company for an out-of-state plaintiff's cost bond, because there is no ethical distinction between standing su…
Must a lawyer who subpoenaed a physician as an expert witness pay the expert's fee if he didn't tell the expert beforehand that the fee was the client's responsibility?
The committee concluded that where a lawyer subpoenaed a physician to give expert testimony and did not tell the physician until after the testimony that he considered the fee a client obligation, the…
When a lawyer believes a client cannot competently handle his own affairs, can the lawyer seek a guardian or representative payee over the client's objection, and reveal confidential information to do it?
The opinion concluded that a lawyer may seek appointment of a guardian or representative payee without the client's consent if reasonably necessary to protect the client, but may disclose only the law…
Can a lawyer contact an adverse corporation's in-house counsel directly to settle when outside counsel of record is unavailable, if the in-house lawyer appeared at trial as a corporate representative?
The opinion concluded that the lawyer acted improperly. Because the corporation's assistant general counsel had participated at trial as a person having managerial responsibility for the company, Rule…
Can a lawyer defending a civil case charge a contingent fee based on the amount of money the defense saves the client, rather than on a plaintiff's recovery?
The opinion concluded that the Model Rules do not prohibit a 'reverse' contingent fee for a civil defendant (a fee measured by money saved the client), provided the amount saved is reasonably determin…
In a mass-tort global settlement, can a defendant condition the deal on the plaintiffs' firm agreeing not to represent present or future claimants against that same defendant?
The opinion concluded that a settlement term restricting plaintiffs' counsel from representing present clients and future claimants against the same defendant is an impermissible restriction on the ri…
Can a legal services agency represent one party with a staff lawyer while the opposing party, screened by the same agency, is represented by a volunteer pro bono lawyer?
Yes, with safeguards. The opinion concluded that neither a staff-lawyer-versus-pro-bono-lawyer split nor a pro-bono-versus-pro-bono split is a prohibited conflict when intake is by nonlegal staff, the…
Can an Ohio judge appoint a relative to represent indigent criminal defendants?
The opinion concluded that a judge may not appoint an attorney related within the third degree of consanguinity to the judge or spouse to represent indigent defendants, because it is nepotism under Ca…
Can an Ohio lawyer confess judgment on a cognovit note, and can the creditor's attorney do it or be paid by the creditor?
The opinion concluded that a lawyer may confess judgment under a cognovit-note warrant of attorney at a creditor's request if the confession is lawful, that a creditor's own attorney may do so only wi…
If a lawyer's client has fled and become a fugitive, can the lawyer keep handling the client's other matters, and must the lawyer give the court the client's location?
The lawyer may not help a fugitive client even on unrelated matters, must counsel the client to surrender and withdraw if that fails, may disclose the client's conduct, and must reveal the client's lo…
Must a law firm remove a suspended attorney's name from its letterhead and firm name while the suspension is in effect?
The opinion concluded yes; Rule 3.9(b) requires dropping a suspended lawyer's name from all of the firm's public communications, including its letterhead, until the lawyer is authorized to resume prac…
Can a part-time assistant district attorney represent a homicide victim's estate in a civil wrongful-death case while the criminal matter is still pending?
The opinion concluded a part-time assistant district attorney may represent the victim's estate in the civil wrongful-death action, having obtained the consent of both the estate's personal representa…
Can a full-time municipal police officer who is a licensed lawyer also serve as the municipal prosecutor in the same town?
The Committee concluded that a full-time municipal police officer may not simultaneously serve as municipal prosecutor in the same municipality, because the appearance of impropriety, judged by the in…
After leaving the bench, can a former judge who signed a divorce decree later represent one of those parties in a related matter?
The opinion concluded a former judge who signed the final divorce decree, whether the divorce was contested or uncontested, participated personally and substantially and may not later represent either…
Can a lawyer co-own a corporation with nonlawyers that helps homeowners win real estate tax reductions and pays out profits by share?
The opinion concluded that a lawyer may not form such a corporation: the lawyer conceded the work is the practice of law, so the corporation's furnishing it would violate Judiciary Law Section 495, an…
I can't locate two personal-injury clients, and investigators say their claims are fraudulent. Can I withdraw, and must I still file suit before the statute of limitations runs to protect them?
The Panel concluded the attorney must exercise diligence in trying to locate the clients, and that if the attorney reasonably believes a claim is fraudulent, withdrawal is permitted under Rule 1.17; b…
Can my firm name its real estate title department with the partners' initials, like 'ABC Equity Title Group,' and put only that name on the department's building sign and letterhead?
The panel advised that Rules 7.1 and 7.5 apply and that the proposed name for the equity title department is misleading and confusing to the public; the panel also stated it did not understand why the…
When could a Minnesota lawyer charge interest or late fees on unpaid attorney's fees?
Under this now-repealed opinion, charging interest or late fees was unreasonable under Rule 1.5(a) if the rate was usurious, if Minnesota law required a written agreement and there was none, or if req…
May a lawyer represent clients before the probate court when the lawyer's partner has been elected Register of Probate?
The opinion concluded yes; because the Register of Probate performs only clerical and ministerial functions and cannot act on the merits, the partner's election does not disqualify the lawyer from app…
Can a lawyer's firm brochure list past damage awards or the lawyer's record of favorable verdicts to show experience?
The opinion concluded a firm brochure may not list the amount of past damage awards or the lawyer's record of obtaining favorable verdicts, because such claims are likely to create unjustified expecta…
Can a lawyer prepare pleadings for a pro se litigant without entering an appearance, and what duties come with that limited help?
The opinion concluded a lawyer may limit the scope of representation, including preparing a pro se litigant's pleadings without entering an appearance, if the lawyer clearly notifies the client of the…
Can a lawyer take an assignment of a client's new claim to secure unpaid fees from an earlier case, and then testify about the value of those earlier services?
Yes, with limits. The opinion concluded a lawyer may take a security-only assignment to secure an earlier fee if the client can consult independent counsel under Rule 1.8(a)(2), and may testify to the…
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.