Alabama State Bar Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Alabama State Bar, with full citations and source links on every page.
No Alabama State Bar opinions match these filters
Try a different search term or clear the filters.
Is an insurer that the firm represents through its insureds an 'existing client' for conflict purposes, so the firm cannot sue it for another client?
Yes. The opinion concluded that a lawyer retained by an insurer to defend insureds represents both the insured and the insurer as clients, so the insurer is an existing client, and under Rule 1.7(a) t…
Can a foreclosure lawyer charge a flat percentage of the sale (such as 15%) as an attorney's fee without tying it to the reasonableness factors?
No. The opinion concluded it is improper to charge a set percentage fee in a foreclosure sale without regard to the reasonableness factors in Rule 1.5(a); a percentage fee, like any fee, must not be c…
Can a lawyer take collections work from a child-support collection agency that keeps a percentage of what is collected, and represent the custodial parent the agency refers?
The opinion concluded a lawyer may represent the agency (and the custodial parent) and may be paid by the agency, but may never split a legal fee with the nonlawyer agency or pay it for soliciting or …
Can a lawyer for an adverse party speak ex parte with a corporate party's employees, and must those employees have their own counsel first?
The opinion concluded that an adversary's lawyer may communicate ex parte with an organization's employees if the organization's attorney consents; the employees are not required to have independent c…
Does Alabama follow ABA Formal Opinion 93-379 on how lawyers may bill for fees, disbursements, and expenses?
The opinion concluded that ABA Formal Opinion 93-379 correctly states the rule for Alabama lawyers on billing for professional fees, disbursements, and other expenses, and it incorporated that ABA opi…
Can a title company owned by a bank prepare closing documents and charge for them using in-house attorneys, and have nonlawyer branch staff conduct the closings?
The opinion concluded that legal documents may be prepared only by or under the direct supervision of licensed attorneys, but if the company charges for that legal work it engages in the unauthorized …
Can a law firm fund and bankroll a nominally separate firm's office and advertising in exchange for that firm referring cases to it?
The opinion concluded a firm may not establish and bankroll a nominally separate firm (paying its rent, salaries, and advertising) in return for case referrals, because it misleads the public under Ru…
Can government attorneys use information from a grand jury investigation to bring a civil suit against the same target their office investigated?
The opinion concluded that using grand jury information to bring a civil suit against the target does not violate Rule 1.11, provided the same governmental agency that convened and conducted the grand…
Can a lawyer call a retainer or advance fee 'non-refundable' in the fee agreement?
The opinion concluded a lawyer may not characterize a fee as non-refundable or use language suggesting that a fee paid before services are rendered is not subject to refund or adjustment, because it i…
Can a law firm pay a non-lawyer for valuable help with litigation, such as locating an expert witness, without violating the fee-splitting rule?
The opinion concluded a firm may pay a non-lawyer for services rendered to the lawyer (such as advice and help securing an expert witness) without violating Rule 5.4, but may not pay the non-lawyer an…
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…
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…
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 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,…
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 …
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 …
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…
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'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…
Does a lawyer's duty of candor under Rule 3.3 require disclosing facts adverse to the client in a Social Security disability hearing before an administrative law judge?
The opinion concluded Rule 3.3(d) applies to lawyers in Social Security ALJ hearings, which are ex parte adjudicative proceedings, so the lawyer must inform the tribunal of all material facts (even ad…
When a lawyer moves firms, can he work against a client his old firm once considered, if he personally never learned anything about that client?
The opinion concluded a lawyer who moves firms is disqualified only as to matters about which he has actual knowledge of protected information; because this lawyer never represented or learned anythin…
Must assistant attorneys general assigned to a state department withdraw from defending the department's former head when the attorney general sues that former head?
The opinion concluded the assistant and deputy attorneys general assigned to the department face a non-consentable conflict and must withdraw from defending the former Commissioner, because the Attorn…
Can a plaintiff's lawyer interview former employees of a corporate defendant without the defense lawyer's consent?
The opinion concluded Rule 4.2 does not prohibit plaintiff's counsel from contacting former employees of a corporate defendant ex parte, because former employees are no longer in a position to bind th…
Can a law firm pay for a solo practitioner's television and radio advertising in exchange for the solo referring cases to the firm?
The opinion concluded a firm may not fund a solo practitioner's advertising where the solo in turn refers cases to the firm, because the arrangement causes a false or misleading communication about th…
Can a lawyer charge a truly non-refundable retainer, and can a defendant require plaintiff's counsel to sign a broader confidentiality clause than the client?
The opinion concluded no retainer may be non-refundable to the extent it exceeds a reasonable earned fee, and that because a lawyer must abide by the client's decision to settle, a lawyer may enter a …
Can a firm take a new client's case against a current client, and avoid the conflict by quietly withdrawing from representing the current client first?
The opinion concluded a firm may not represent a client directly adverse to a present client without each client's consent after consultation, and it may not sidestep the duty of loyalty by withdrawin…
Can a lawyer's firm serve as a city's prosecuting attorney when a member of that firm sits on the same city's council?
The opinion concluded a lawyer or a member of his firm may act as prosecuting attorney for a city while the lawyer serves on that city's council, because the prosecutor role is not adverse to the City…
Can a lawyer represent a corporate subsidiary while suing its parent company in a separate, unrelated matter?
The opinion concluded a lawyer may represent a wholly owned subsidiary and at the same time sue the parent in separate litigation, provided the subsidiary and parent are separate corporate entities, t…
Can a former assistant district attorney defend a criminal defendant on the same charges he helped investigate and indict as a prosecutor?
The opinion concluded a lawyer may not represent a criminal defendant on charges arising from an investigation and grand jury indictment in which the lawyer participated as an assistant or acting dist…
When a client's collection matter has gone dormant for years, can the firm take a new case against that same client?
The opinion concluded that a collection client whose matter has lain dormant (here, 18 months with little chance of recovery) becomes a former rather than current client, so the firm may sue that clie…
In a newspaper directory of many small lawyer ads, can a single prominent disclaimer at the bottom of the page cover all of them, instead of one in each ad?
The opinion concluded that the required advertising disclaimer need not sit inside each individual ad; a single disclaimer displayed prominently across the bottom of a page of multiple lawyer ads sati…
Can a non-lawyer employer bill its clients for the work of its in-house lawyer without violating the rule against sharing fees with non-lawyers?
The opinion concluded a non-lawyer employer may bill clients for legal work done by its in-house lawyer only if the charge is limited to the employer's actual cost of providing those services; the emp…
Can a lawyer interview a former employee of an opposing corporate party ex parte, without going through the company's counsel?
The opinion concluded a lawyer may contact a former employee of an opposing party ex parte, because a former employee cannot bind or speak for the corporation, unless the contact is intended to elicit…
Does a lawyer have an affirmative duty to report a judge's misconduct to the Judicial Inquiry Commission?
The opinion concluded that under Alabama Rule 8.3(b) a lawyer must reveal unprivileged knowledge of a judge's misconduct only 'upon proper request,' and is not required to make an affirmative report t…
Can a board-certified lawyer advertise how few other lawyers hold the same certification, such as 'only 19 of 9,300 Alabama lawyers'?
The opinion concluded a lawyer may state that he is certified by the National Board of Trial Advocacy, but an advertisement comparing the number of certified lawyers to the number who are not is inher…
When a client owes a fee on one matter but discharges the firm, can the firm hold the files for the client's other, fully-paid matters?
The opinion concluded that, absent a fee dispute or valid attorney's lien, a client's files belong to the client; the firm's lien reached only the file for the unpaid matter and it had to release the …
Can a lawyer withdraw when the client ignores advice and keeps escalating a personal feud with the opposing party, damaging the case?
The opinion concluded the firm may ethically withdraw under Rule 1.16(b)(3) where the client refuses to follow advice and insists on pursuing a course the lawyer considers repugnant or imprudent, subj…
Can one lawyer represent a minor facing criminal charges and the minor's parents in a related dependency case at the same time?
The opinion concluded there was no apparent conflict in representing both the minor in the criminal matter and the parents in the dependency trial where the lawyer reasonably believed the representati…
Can an Alabama lawyer pay to join a for-profit attorney referral hotline that runs TV ads and routes callers to the lawyer?
The opinion concluded Alabama lawyers may not participate in the 'Attorney Hotline,' a for-profit referral service, because paying it for the referrals it generates (not merely for advertising) gives …
Can a lawyer sue a former workers'-compensation client years later in an unrelated car-accident case?
The opinion concluded the lawyer may represent the driver and owner of a vehicle against a former client, because a decade-old workers'-compensation representation is not substantially related to the …
Can a lawyer who currently represents a state agency also represent someone in an unrelated matter adverse to that agency?
The opinion concluded the lawyer may not represent a client contesting a founded child-abuse complaint by the Department of Human Resources while currently representing the Department in other matters…
Can a lawyer who is now an assistant district attorney represent himself pro se in a civil case filed against him personally?
Yes. The opinion concluded that a lawyer-litigant has the same right as any other individual to represent himself pro se, and noted that whether a statute barring district attorneys from outside pract…
Is it a conflict to handle criminal cases when an employee in your office is the sibling of the chief deputy district attorney?
The opinion concluded there is no conflict in handling criminal cases while employing the brother of the chief deputy district attorney, whether the employee is a lawyer or non-lawyer, because Rule 1.…
Does the lawyer-as-witness rule bar a lawyer from doing pre-trial work, and must she withdraw if she might be called only to impeach a defense witness?
The opinion concluded Rule 3.7's lawyer-witness prohibition does not apply to the pre-trial phase, so the lawyer may continue through discovery; she must withdraw from the trial only if she becomes li…
When a lawyer leaves a firm, can he tell his clients they may follow him, and how should the client files be handled?
The opinion concluded a departing lawyer may tell affected clients they can keep their file at the old firm, move it to his new practice, or take it to any other lawyer; he may prepare a client-signed…
Can a firm drop one current client to convert it into a 'former client' and keep representing another client who is suing it?
The opinion concluded a firm representing client A in litigation directly adverse to current client C must withdraw from that adverse representation, and it may not instead discontinue representing C …
What must insurance defense counsel do after learning facts that would defeat the insured's coverage?
The opinion concluded that counsel is impliedly authorized to disclose to the insurer only that a coverage question exists, with a request to appoint independent counsel for the insured; absent that l…
Is an entire district attorney's office disqualified when it prosecutes a defendant who is also the victim and main witness in another case the office is handling?
The opinion concluded one prosecutor's conflict is not imputed to the whole office; the DA and assistants are not per se disqualified from prosecuting a defendant who is also a victim/witness in anoth…
Can a lawyer take a contingent fee to collect past-due child support when the client can't afford to pay an hourly fee?
The opinion concluded a lawyer may charge a contingent fee to collect child-support arrearages already reduced to judgment, despite Rule 1.5(d)'s bar on contingent fees in domestic-relations matters, …
When a former client subpoenas her own file, must the lawyer turn it over, and how does he protect privilege against the other parties?
The opinion concluded the client has a right to documents from her own file, with or without a subpoena (absent a fee dispute or attorney's lien), and to a full accounting of funds handled on her beha…
If a lawyer practices under a trade name, must the trade name appear in all of the firm's communications?
The opinion concluded that a lawyer or firm operating under a trade name must use that name, together with the name of a lawyer responsible for the content, consistently in all permissible communicati…
Can a collections lawyer sell his existing client accounts to a collection agency he partly owns and route new business through it?
The opinion concluded a lawyer may own a collection agency that pursues lawful collection methods, but he may not sell or 'sub-contract' his legal collection accounts to an agency he partly owns or ro…
Can a discharged contingent-fee lawyer sue a former client to recover for the work done before being fired?
The opinion concluded a discharged contingent-fee attorney may assert the attorney's lien granted by law to secure fees and expenses and may seek appropriate legal relief for work done before terminat…
Can a lawyer take a statement from an employee of a represented corporate opponent, and does it depend on the employee's rank?
The opinion concluded a lawyer may take a statement from an employee of a represented corporate opponent without that corporation's lawyer's consent only if the employee is not in a position to bind t…
When a client and a third party both claim settlement money in the lawyer's trust account, can the lawyer interplead the funds into court?
The opinion concluded that where the client had assigned part of a settlement to a healthcare provider but then revoked the assignment and told the lawyer not to pay, the lawyer was justified in not p…
What can a lawyer do with leftover client trust funds when the owners cannot be found?
The opinion concluded that where trust funds cannot be attributed to a particular client, the lawyer has made a reasonable, good-faith effort to find the owners, and enough time has passed that no uni…
If a part-time assistant DA once represented a parent, can the rest of the DA's office still prosecute that parent for child-support arrears?
The opinion concluded that a part-time assistant DA's disqualification from prosecuting a former client in a substantially related child-support matter is generally imputed to the district attorney an…
In a private adoption, can a lawyer represent the birth mother while the adoptive couple pays the lawyer's fee?
The opinion concluded a third party (such as the adoptive couple) may pay the lawyer's fee for representing the birth mother only with the client's consent after full disclosure and without the payer …
Does a lawyer have to tell a client she could file a bar grievance against her former lawyer?
The opinion concluded a lawyer has no ethical obligation to advise a client that she may have grounds to file a grievance against another lawyer, but the lawyer does have an obligation to report unpri…
Browse Alabama State Bar opinions by topic
Legal ethics opinions from the Alabama State Bar interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are not binding like court discipline decisions, but courts and discipline boards treat formal opinions as substantial guidance on how the rules apply. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.