State Bar of Arizona Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the State Bar of Arizona, with full citations and source links on every page.
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After Arizona eliminated its fee-sharing ban, can a lawyer use a lender that keeps a share of the lawyer's fees, and what must the lawyer disclose?
Yes. With Former ER 5.4 abolished as of 2021, a lender may retain part of the lawyer's fee; the lawyer may pass that cost to the client only if the total fee stays reasonable and fully disclosed, must…
Can an Arizona firm require a departing associate to pay a per-client fee for each former-firm client they keep representing?
No. The opinion concluded that a flat per-client 'reimbursement' fee on a departing associate violates ER 5.6 because it directly interferes with clients' freedom to choose their lawyer, distinguishin…
Can a lawyer who represents one spouse in a settlement advise the other, non-client spouse about signing the release?
The opinion concludes that the lawyer may not give the non-client spouse legal advice about waiving rights in a release unless both the client and the spouse agree to joint representation and waive th…
Can a lawyer who also runs a separate investment advisory business accept referral fees for sending people to an investment firm?
Under ER 5.7 (adopted in 2003), the opinion concludes a lawyer running a separate investment advisory business may refer non-clients to an investment firm that pays the lawyer a referral fee, if the l…
Can a public defender's office set up a screened 'conflicts unit' to handle cases the office is conflicted out of, instead of sending them to outside counsel?
The opinion holds that under revised ER 1.10 a separate screened conflicts unit may not be used to take cases involving the office's former clients; screening does not cure the imputed conflict. Two c…
Can a lawyer serve as an architecture firm's in-house counsel and also represent the firm's clients, with the firm paying the lawyer a salary while billing clients an hourly rate for the lawyer's work?
The opinion concluded the arrangement is impermissible as structured. The dual role's conflict can sometimes be managed with consent and vigilance, but the firm paying the lawyer a salary while billin…
Can an estate-planning lawyer also sell securities and insurance products to the same clients for a commission?
The opinion concluded that an estate-planning lawyer may broker securities and insurance products to his legal clients for a commission, but only through stringent compliance with ER 1.7(b) and ER 1.8…
Can an insurance defense lawyer agree to a carrier's outside billing-audit and compliance program as a condition of getting paid?
The opinion concluded that an insurance defense lawyer may not participate in a carrier's outside audit and compliance program with terms like those described, because it requires disclosing the insur…
Can an Arizona lawyer accept a referral fee from an investment adviser for sending the lawyer's clients to the adviser?
The opinion concluded that a lawyer may not accept a referral or solicitor's fee from an investment adviser for referring clients, because the lawyer's financial stake in each referral would materiall…
When must an Arizona lawyer holding a client's personal-injury settlement pay a medical provider that claims a lien or assignment instead of paying the client?
The opinion concluded that ER 1.15 duties to a medical provider arise only when the lawyer has actual knowledge of a matured legal or equitable claim, such as a signed or recorded lien, an assignment,…
Is a contract or temporary lawyer treated as an associate of every firm she works for when checking conflicts?
The opinion concluded that a lawyer who works on contract for more than one firm is treated as an associate of each firm for conflicts and confidentiality purposes, and so subject to imputed disqualif…
Can a lawyer who is also a CPA practice both professions together and list both titles on legal letterhead?
The opinion concluded that a lawyer who is also an accountant may practice both professions, even from the same location and list both titles, only if the businesses are kept financially and operation…
Can salaried in-house insurance company lawyers hold themselves out as a private law firm under their own names?
No. The opinion concluded that salaried in-house insurance company lawyers may not hold themselves out as a separate law firm under their surnames, because doing so misrepresents their insurance compa…
When a client's health insurer has a subrogation claim against a personal injury settlement, can the lawyer disburse all the proceeds to the client?
No. The opinion concluded that a FEHBA plan's contractual subrogation language gives the insurer an interest in the settlement proceeds under ER 1.15(b), so the lawyer must notify the plan and deliver…
Can a lawyer who drafts a client's living trust and pour-over will also serve as the trustee and personal representative?
Yes. The opinion concluded that ER 1.8(c) does not bar a lawyer who drafts a client's revocable living trust and pour-over will from being named successor trustee and personal representative, and such…
Can a personal-injury lawyer refer clients to a chiropractic clinic the lawyer owns an interest in?
The opinion strongly discouraged it. It concluded that referring an injury client to a clinic the lawyer owns creates substantial conflicts under ER 1.7(b) and a business transaction with the client u…
After referring a passenger out for a conflict, can the original firm take a share of the passenger's new fee while still representing the driver?
No, not while it continues to represent the driver. The opinion concluded the firm had a non-waivable conflict because its stake in the passenger's recovery, ultimately borne by the driver through sub…
Must a public defender's office withdraw when a post-conviction client wants to claim ineffective assistance by another lawyer in the same office?
Yes, where the client has a colorable ineffective-assistance claim against a colleague, the office must withdraw because of the imputed conflict, but the timing depends on the facts; a frivolous or me…
Can a lawyer acting as a divorce mediator draft a memorandum of understanding or court pleadings for the mediating parties?
The opinion concluded that ER 2.2 does not apply to a lawyer acting purely as a neutral mediator, and that the lawyer may draft a non-binding memorandum of understanding if full disclosure is made; th…
Can a lawyer accept a referral fee from a medical provider for sending a client to that provider?
No. The opinion concluded that a lawyer may not accept a fee for referring a client to a medical practitioner; the lawyer's financial stake creates a conflict under ER 1.7, and Arizona law made paying…
Can a prosecutor and defense lawyer include a waiver of ineffective-assistance and post-conviction claims in a plea agreement without violating the rule against limiting malpractice liability?
The Committee majority concluded yes, reading ER 1.8(h) to bar only agreements that prospectively limit a lawyer's malpractice liability, not a defendant's waiver of post-conviction or ineffective-ass…
Can a county child-support office help a non-custodial parent reduce support it earlier helped the custodial parent obtain?
The opinion concluded that if an attorney-client relationship was formed with the custodial parent, ER 1.9 bars the office from later helping the non-custodial parent seek a downward modification, sha…
Can a lawyer charge a contingent fee to collect past-due child support or spousal maintenance?
The opinion concluded a lawyer may charge a contingent fee when retained solely to collect already-fixed child-support or spousal-maintenance arrearages, because the amount is set and the domestic-rel…
Can a law firm guarantee repayment of a loan its client takes out for living expenses during litigation?
The opinion concluded that a law firm's guarantee of a third-party loan to a client in litigation violates ER 1.8(e), because the guarantee is itself financial assistance: it gives the firm an incenti…
Can a lawyer in financial trouble file personal and professional-corporation bankruptcy and discharge clients' claims?
The opinion concluded that filing Chapter 7 bankruptcy, personally and for a professional corporation, is not itself a rules violation, including seeking to discharge malpractice claims and a landlord…
Can a lawyer advance money for a client's medical care during litigation, or instead give the client a gift?
The opinion concluded a lawyer may not advance or guarantee funds for the client's daughter's medical care, because ER 1.8(e) bars such litigation-related financial assistance. But the lawyer may make…
Can a lawyer waive his contingent fee and the costs he advanced to let a client accept a settlement?
The opinion concluded that a lawyer who waives both his contingent fee and the costs he advanced at the end of a case does not violate ER 1.8(e), because he keeps no personal stake in the recovery and…
When a city attorney prosecutes a county's cases under contract, are the two offices one 'firm' that cannot swap conflict cases?
The opinion concluded the contract did not, by itself, make the City Attorney's and County Attorney's offices one 'firm' under ER 1.10, so they could keep exchanging conflict cases. But because the Co…
Can a criminal defense lawyer keep representing a client when a partner once represented a key prosecution witness?
The opinion concluded the lawyer had to withdraw: his partner's prior representation of the witness in a substantially related IRS matter disqualified the partner under ER 1.9(a), and ER 1.10(a) imput…
If a lawyer admitted in Arizona and the Navajo Nation accepts a Navajo court appointment that Arizona's conflict rules would bar, can Arizona discipline him?
The opinion concluded that, under choice-of-law principles read into the ER 8.5 Comment, the Navajo Nation's ethical rules govern, so a lawyer who complies with the Navajo Nation's rules and court dir…
Can a law firm that represents a workers' compensation carrier solicit and also represent the injured workers in third-party claims?
The opinion concluded the firm may solicit injured workers only in writing under ER 7.1-7.3 (not in person or by phone for pecuniary gain), and that dual representation of the carrier and the worker c…
Can a county attorney sign a state contract that dictates the procedures he must use in child-support and paternity cases for the people he represents?
The opinion concluded that if the county attorney's client is the person needing the services, ER 5.4(c) bars him from signing a DES contract dictating procedures where doing so would prejudice the re…
If a lawyer negligently lets a claim be dismissed on the statute of limitations, does his own malpractice exposure create a conflict requiring withdrawal?
The opinion concluded it could not answer yes or no without more facts, but held that where the lawyer's fault is clear and a malpractice claim is likely, the representation may be materially limited …
Can a lawyer who suspects an elderly client is being manipulated disclose confidences to a diagnostician and seek a guardian without conflicting with other firm clients?
The opinion concluded that under ER 1.14 a lawyer may take reasonable steps to assess a client he reasonably believes cannot act in her own interest, including disclosing confidences to a diagnosticia…
When the head of one indigent-defense office becomes head of another in the same county, are the other lawyers there disqualified from conflicting cases?
The opinion concluded that a public defender's office is a 'firm,' so a lawyer moving between two such offices is governed by the stricter imputed-disqualification rule ER 1.10, not the more lenient E…
Can a former prosecutor who becomes a public defender represent defendants whose cases were handled by others in the prosecutor's office while she worked there?
The opinion concluded that a former deputy county attorney now serving as a public defender may not represent a defendant (absent the government's consent) where the lawyer obtained confidential gover…
Can a lawyer give money to an indigent pro bono client for food and living expenses?
The opinion concluded that it is not improper for a lawyer to give money or tangible items to an indigent pro bono client for living expenses, provided the gift is purely charitable, unrelated to the …
Can a state agency hearing officer negotiate for a private-practice job with law firms that appear before her?
The opinion concluded that under ER 1.12(b) an adjudicative officer may not negotiate for employment with a law firm representing a party in a matter in which she is participating personally and subst…
When may a lawyer disburse settlement funds a third party claims a lien on, and must the lawyer start proceedings to resolve the lien?
The opinion concluded that, following Opinion 88-02, a lawyer pays settlement funds to whoever is clearly entitled and otherwise holds disputed funds in trust or interpleads them. The lawyer may not h…
Can a firm hire, even as a consultant, an administrative law judge who presided over the same matter in another jurisdiction?
The opinion concluded that a law firm may not hire an administrative law judge, even as a 'consultant,' to advise in a continuing multi-jurisdictional matter in which he personally and substantially p…
Is it a conflict for a lawyer to defend a criminal case while running for County Attorney?
The opinion concluded that running for County Attorney while representing a criminal defendant is a potential, not automatic, conflict under ER 1.7(b). The lawyer may continue only if a disinterested …
What are a lawyer's duties when a health care provider asks the lawyer to sign a lien against the client's injury settlement?
The opinion concluded that the client decides whether to sign a provider's lien form after the lawyer explains its consequences; the lawyer may not sign the form in a way that misleads the provider un…
Can one law firm be listed as 'Of Counsel' to another law firm on letterhead?
The opinion concluded that one firm may be listed as 'Of Counsel' to another, reversing the committee's earlier prohibition, provided the designation truthfully reflects a substantial, continuing rela…
Can a lawyer with a public defender contract also serve as a judge pro tempore in the same court?
The opinion concluded that a lawyer holding a public defender contract may not serve as a judge pro tempore on the criminal or juvenile bench, but may serve on the civil or domestic relations bench wi…
Can a lawyer be a city special prosecutor while also defending criminal cases in the same city court?
The opinion concluded that a lawyer may not act as a special prosecutor for a city while concurrently defending criminal cases in that city's court, and may not represent that court's judges in person…
Can one firm represent opposing clients on the same legal issue in two separate appeals before the same court?
The opinion concluded that two lawyers from one firm taking opposite positions on the same legal issue in separate Ninth Circuit appeals fell within ER 1.7, but that the conflict could be cured here b…
Can a public defender director follow a funding agency manager's directions in representing indigent clients?
The opinion concluded that the director of a public defender agency may follow the funding body's manager only where professional judgment, client confidences, and conflicts are not implicated. Where …
Must a criminal defense lawyer withdraw if subpoenaed to testify about the client's prior conviction?
The opinion concluded that when a lawyer defending a client on a DWI-with-prior charge is properly subpoenaed by the prosecutor to prove the prior conviction, the lawyer must ordinarily seek to withdr…
Can a lawyer who handled a trustee's foreclosure-sale paperwork bid on the trust property at the sale?
The opinion concluded that a lawyer who rendered legal services to a trustee in preparing for a trustee sale may not bid on the trust property unless he fully satisfies ER 1.7(b) and ER 1.8(a). The la…
Can a lawyer reach out to an indigent person to offer pro bono representation, and pay the case's costs?
The opinion concluded that a lawyer may solicit an indigent prospective client to offer pro bono representation, in a criminal or civil matter, as long as the lawyer has no motive of pecuniary gain. T…
Can a lawyer serve as both attorney and guardian ad litem for a minor in a dependency case?
The opinion concluded that a lawyer may serve as both attorney and guardian ad litem for a minor in dependency proceedings if no conflict arises, with the lawyer's first obligation owed to the child a…
Do a lawyer's past political activity, prior county clerkship, and spouse's job with a county supervisor create a conflict barring practice before the board?
The opinion concluded that the lawyer's past political support of board members, his prior clerkship and board service, his friendships with officials, and his wife's employment as a supervisor's assi…
Can a lawyer agree to a client's contingent-fee contract with a medical consulting service that supplies experts and bars reuse of them?
The opinion concluded that a lawyer may not acquiesce in or recommend the contingent-fee contract presented. The lawyer cannot supervise the independent service as ER 5.3 requires, the agreement's bar…
Can a lawyer sell or promote a prepaid group legal insurance plan that uses an open panel of attorneys and a multi-level sales structure?
The opinion concluded that a lawyer may not sell the insurance policies or publicly promote an open-panel prepaid group legal insurance program where those activities would turn the program into a veh…
Can one attorney represent several judgment creditors at the same time against the same judgment debtor?
The opinion concluded there is no per se conflict in representing more than one judgment creditor against the same debtor. The attorney could do so unless the creditors had 'differing interests' as de…
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Legal ethics opinions from the State Bar of Arizona 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.