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.
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When an Alabama lawyer is hired to help administer or probate an estate, who is the lawyer's client, the personal representative or the estate's beneficiaries?
Ordinarily the personal representative is the lawyer's sole client, not the beneficiaries. The lawyer must clarify under Rule 4.3 that he does not represent the beneficiaries, and if the personal repr…
Can a lawyer who represents a closely held corporation at the board's direction also represent individual directors in their unrelated private matters?
Yes. Corporate counsel may represent the corporation at the direction of a majority of the board and also represent individual directors in separate, unrelated private matters, so long as the matters …
Can a lawyer interview a low-level employee (such as a store cashier) of an opposing organization without opposing counsel's consent?
Yes, when the employee is non-managerial, did not engage in the conduct at issue, and lacks authority to make decisions about the litigation. The opinion limits Rule 4.2's 'admission' category to empl…
If a lawyer once served as city attorney and now defends city officials in suits the city or its insurer may have to pay, can the lawyer take a new client against the city in an unrelated matter?
It depends on capacity and who pays. The opinion concluded that if the officials are sued in their official capacity, or in their individual capacity but the city or its insurer would pay any judgment…
Can an attorney serving as a guardian ad litem communicate ex parte with the judge about the case?
No. The opinion concluded that a guardian ad litem is an advocate for the ward, not an adviser to the court, so the same Rule 3.5 ban on ex parte communication that applies to any lawyer applies to a …
When a government child-support attorney represents the agency, can the same attorney handle a later case adverse to a parent the agency once helped, and what must the attorney disclose to service recipients?
The opinion concluded that, because a state statute makes the agency the IV-D attorney's exclusive client with no attorney-client relationship to any service recipient, the attorney may handle later a…
Can the same lawyers represent two separate plaintiff classes in different suits against the same defendants without a conflict of interest?
Yes, on the facts presented. The opinion concluded there was no present conflict where two plaintiff classes were not competing for a limited pool of recovery and their interests were not adverse, tho…
When a public-body client is subject to an open-meetings law, can the lawyer keep attorney-client discussions confidential, or must legal advice and strategy be aired in a public meeting?
The opinion concluded that, for purposes of the Rules of Professional Conduct, the lawyer's confidentiality duty under Rule 1.6 outweighs the open-meetings statute, and the protection covers attorney-…
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…
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 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…
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 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 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 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 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…
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…
Can a lawyer who is also a director, officer, and shareholder represent the corporation in an acquisition?
The opinion concluded the lawyer may represent the corporation and its board in the acquisition if he fully discloses his personal interests to the board and the board consents, because the board defi…
Can a plaintiff's lawyer interview a corporate defendant's employee witnesses without going through the corporation's lawyer?
The opinion concluded a lawyer may directly contact and interview a corporate opponent's lower-level employee witnesses without the corporation's permission or notice to its counsel, as long as the em…
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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.