Kentucky Bar Association Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Kentucky Bar Association, with full citations and source links on every page.
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In Kentucky, may a claimant's lawyer contact an insured tortfeasor over the insurer's objection when no defense lawyer has been appointed for the insured?
Yes. The opinion concluded an insurance adjuster is not a lawyer for purposes of KRPC 4.2, so a claimant's lawyer needs no adjuster consent to contact an insured who is not represented by counsel, whi…
In Kentucky, may a corporation's lawyer contact a represented employee who is suing the corporation, without the employee's lawyer's consent?
No. The opinion concluded that Rule 4.2 applies to all lawyers, including corporate counsel, so counsel for the corporation may not contact an employee known to be represented in a matter against the …
In Kentucky, may a lawyer arrange with a charity to provide estate-planning services to donors, and may a charity pay or recommend the lawyer?
The opinion concluded a lawyer may not offer reduced or conditioned estate-planning services tied to a bequest, because that gives the charity something of value for recommending the lawyer, but may p…
In Kentucky, may a lawyer take a percentage of an investment advisor's recurring management fee for referring a client to that advisor, even with the client's consent?
No. The opinion concluded that a continuing referral fee tied to the client's assets under management creates a serious conflict that materially limits the lawyer's independent judgment, implicates th…
In Kentucky, may lawyers who are not actually partners practice under a partnership name like 'Jones & Smith'?
No. The opinion concluded that practicing under a partnership name when the lawyers are not in fact partners is a false, deceptive, or misleading firm name prohibited by the rules, a result consistent…
In Kentucky, may a lawyer advertise that the lawyer will donate a percentage of fees to charities the client designates?
No. The opinion concluded that advertising fee donations to client-designated charities would violate Rule 5.4(a)'s bar on sharing legal fees with nonlawyers and would encourage charity referrals in r…
In Kentucky, may a former in-house lawyer represent a client against the former corporate employer in a matter substantially related to the lawyer's in-house work?
No. The opinion concluded that an in-house lawyer represents the entity as a client, so the former in-house lawyer owes the same former-client duties as any lawyer and may not, under Rules 1.9 and 1.1…
In Kentucky, what must a lawyer do on receiving documents clearly not intended for them, and can the lawyer be disciplined for arguing the privilege was waived?
The opinion concluded a lawyer who clearly receives materials not meant for them should stop reading, notify the sender, and follow the sender's instructions, but should not be disciplined for making …
In Kentucky, may the spouse of a prosecutor practice criminal defense in the same jurisdiction if the spouses never appear in the same case and the client consents?
Yes. The opinion concluded that under Rule 1.8(i) a lawyer related to another lawyer may handle a matter adverse to the related lawyer's client with the client's consent after consultation, and that a…
In Kentucky, is it improper solicitation for a legal-aid program to take client referrals from nonprofit service organizations, and may it take a case from someone already represented by counsel?
No improper solicitation. The opinion concluded that referrals from 501(c)(3) organizations with no pecuniary gain are not prohibited solicitation under In re Primus, and a legal-aid program may take …
In Kentucky, may a lawyer present to the court a child-support agreement that deviates below the guidelines when the client receives public assistance?
No. The opinion concluded that because KRS 403.211(3) bars any deviation from the child-support guidelines when a parent receives public assistance, the lawyer may not counsel or assist the client in …
In Kentucky, must a lawyer pay a third party who provided services on a client's case, and must the lawyer honor a third party's claim to client funds the lawyer holds?
The opinion concluded a lawyer is ethically obligated to pay a provider the lawyer hired without disclaiming personal liability, but is otherwise not an insurer of third-party claims; when a third par…
In Kentucky, which current employees of a represented organization may an adverse lawyer interview without the organization's counsel's consent?
The opinion concluded that under Rule 4.2 a lawyer may not contact, without consent, a current managerial employee or any employee whose act or omission may be imputed to the organization or whose sta…
In Kentucky, may a lawyer adverse to a represented organization interview an unrepresented former employee of that organization without the organization's counsel's consent?
Yes. The opinion concluded that Rule 4.2 does not bar ex parte contact with a represented organization's former employees, because a former employee no longer speaks for or is controlled by the organi…
In Kentucky, can a lawyer charge a non-refundable retainer, and when must an advance fee be held in the lawyer's trust account?
A retainer may be labeled non-refundable, but the label is not conclusive on whether the fee is reasonable; a valid non-refundable retainer must be explained and put in a signed written agreement, and…
In Kentucky, may a lawyer report a client to a credit reporting agency for an unpaid bill when the lawyer does not want to sue the client?
No. The opinion concluded that referring a client's unpaid account to a credit bureau discloses a client confidence for a purpose beyond collecting the fee, and is improper unless the client specifica…
In Kentucky, can a lawyer the insurer hires to defend an insured also represent the insurer on bad-faith (UCSPA) claims brought in the same action?
No. The opinion concluded that defense counsel represents the insured, not the insurer, and that dual representation of both on the insured's underlying tort and the insurer's UCSPA exposure presents …
In Kentucky, may lawyers form a separate mediation corporation under a trade name and solicit mediation business from attorneys, insurers, and the public?
Yes, with limits. The opinion concluded mediation is not the practice of law, so the corporation may use a trade name and solicit business, but any advertising identifying a participant as a lawyer mu…
In Kentucky, may a lawyer sell insurance to clients and take a commission, prospect for insurance customers, or accept referral fees from other insurance agents?
Qualified yes on selling insurance with full written disclosure and consent under Rules 1.7 and 1.8(a); no on accepting referral fees from other agents; the lawyer should not run an insurance agency f…
In Kentucky, may a lawyer lend a client money for financial assistance other than the expenses of litigation?
No. The opinion concluded that Rule 1.8(e) bars a lawyer from giving a client financial assistance beyond the expenses of litigation, so lending money for living or medical expenses is prohibited.
In Kentucky, may a criminal-defense firm pay a salary supplement to subsidize a new lawyer's two-year term with the prosecutor's office before the lawyer joins the firm?
No to the subsidy. The opinion concluded that a defense firm's $10,000 salary supplement subsidizing the prosecutor's office raised ethical problems, though the firm could conditionally hire the lawye…
In Kentucky, may an employer's lawyer contact an EEOC complaining-witness employee without the EEOC counsel's consent during a pending enforcement action?
Qualified yes. The opinion concluded the lawyer must first determine whether the agency represents the employee individually: if yes, Rule 4.2 bars contact; if not, Rule 4.3 governs and contact may pr…
In Kentucky, if a lawyer is a city alderman, may other members of the lawyer's firm represent clients before the local planning commission?
Yes, with safeguards. The opinion concluded firm members are not disqualified if the alderman is not on the relevant zoning committee, recuses from related votes and appointments, and the firm uses ap…
In Kentucky, may a lawyer participate in LAWCARD, a credit-card program that finances the payment of legal fees?
Yes. The opinion concluded that LAWCARD is a credit-card plan, not a for-profit referral service, and lawyers may participate as long as they comply with KBA E-172 and rules such as 5.4(a) against fee…
In Kentucky, may a lawyer pay to put their name and discount coupons for legal services in welcome packages distributed to new homeowners?
No. The opinion concluded that distributing the coupons through a welcome-package service amounts to prohibited in-person solicitation by an agent for pecuniary gain under Rules 7.30 and 8.3.
In Kentucky, may a defense lawyer contract with an insurer to handle all its defense work for a set fee, or agree to absorb all litigation expenses without reimbursement?
No to both. The opinion concluded that a blanket set-fee defense contract with an insurer, and an agreement to advance litigation expenses with no right to repayment, create conflicts with the insured…
In Kentucky, may a lawyer give gifts or incentives to Realtors to get them to steer real estate closings to the lawyer?
No. The opinion concluded that giving something of value to non-lawyers to recommend the lawyer's services violates Rule 7.20(2).
In Kentucky, may a lawyer divide a fee with a referring lawyer in another firm who does no work but assumes responsibility for the case?
Yes, if all conditions of Rule 1.5(e) are met. The opinion concluded a referring lawyer who performs no service but assumes responsibility may share a fee, but one who neither works nor assumes respon…
In Kentucky, does a lawyer violate Rule 4.2 when the lawyer's own client talks to the opposing party, and must a divorce mediator check whether participants have counsel?
A lawyer does not necessarily violate Rule 4.2 simply because the client contacts the opposing party, but the lawyer may not use the client to circumvent the rule; and a divorce mediator should ascert…
In Kentucky, may a lawyer charge a contingent fee in a divorce case, in a property-settlement dispute, or to collect arrearages or newly discovered assets?
No contingent fee is allowed in a divorce case or in its property-settlement issues under Rule 1.5(d)(1), but a reasonable contingent fee may be charged to recover liquidated arrearages capable of bei…
In Kentucky, may a lawyer or firm that does civil contract work for a city department defend criminal cases arising in that city?
Yes. The opinion concluded that occasional civil contract work for a city, unlike serving as the city attorney, does not by itself disqualify a lawyer or firm from criminal defense in that city, unles…
In Kentucky, may a lawyer referral service require member attorneys to document the total settlement in contingency cases, and may attorneys comply?
Yes to both. The opinion concluded the referral service may require truthful fee reporting and verification, and lawyers may comply, subject to honoring client-consent obligations and any settlement-c…
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…
In Kentucky, may a lawyer pay into a labor union's 'Designated Counsel Group' or fund hospitality, dinners, and lodging at union functions to get on the union's referral list?
Attending union meetings and discussing members' legal rights is permitted, but paying into a Designated Counsel Group or funding hospitality, meals, lodging, or equipment to be listed appears to viol…
In Kentucky, may a law firm that includes a part-time lawyer who is also a full-time police officer defend criminal cases in the jurisdiction where that officer serves?
No. The opinion reaffirmed KBA E-137 that a firm with a lawyer who is also a full-time police officer may not defend criminal cases arising in the jurisdiction where that officer exercises police powe…
In Kentucky, may a lawyer notice depositions, subpoena the witnesses, then cancel on opposing counsel and privately interview those witnesses under the subpoena?
No. The opinion concluded this scheme misuses the subpoena and misleads opposing counsel and witnesses, violating Rules 3.4(c), 4.1, and 8.3 (now 8.4).
In Kentucky, if a lawyer is defending a client against an opposing party, may that lawyer also be retained to represent the opposing party's lawyer in an unrelated malpractice or business matter?
There may be a conflict under Rule 1.7(b), but it is not automatic; depending on the facts, the lawyer's reasonable belief that representation will not be materially limited, plus client consent after…
In Kentucky, may a private lawyer who represents a state agency under contract take a case against that same agency, or against a different state agency?
No against the agency the lawyer represents (and the disqualification is imputed to the firm), but yes against a different state agency with the consent of both the client agency and the private clien…
In Kentucky, may a lawyer make in-person or live-telephone solicitation of corporate officers or employees under a 'sophisticated client' exception?
No. The opinion concluded that Rule 7.3(a) contains no 'sophisticated client' exception, so in-person or live-telephone solicitation of corporate officers or employees is prohibited.
In Kentucky, may a lawyer give loans, gifts, or campaign contributions to a judge before whom the lawyer practices?
The opinion concluded a lawyer may not give a judge loans or gifts, may extend ordinary social hospitality, and may contribute to a judicial campaign in a manner consistent with the Code of Judicial C…
In Kentucky, did adopting the Rules of Professional Conduct overturn the rule that a prosecutor and the prosecutor's firm cannot try defendants the prosecutor is suing in civil litigation?
No. The opinion concluded the 1990 Rules did not overturn the prior opinions and decisions; a prosecutor still should not try a defendant the prosecutor is embroiled with in civil litigation, and the …
In Kentucky, may a city attorney who has no prosecutorial duties and does not advise the police defend criminal cases involving the city's police?
No. The opinion maintained a bright-line bar: a city attorney may not defend criminal cases involving the city police, even without prosecutorial duties or a special contractual waiver.
In Kentucky, may a lawyer name people as expert witnesses in a pretrial statement when the lawyer has never contacted them?
No. The opinion concluded that listing experts a lawyer has not contacted is a deceptive practice, especially where the lawyer has no intention of contacting them.
In Kentucky, if a lawyer sits on a zoning board or planning commission, may the lawyer's partners or associates represent clients before that board?
No. The opinion concluded that a lawyer who sits on a zoning board may not appear before it, and that the lawyer's partners and associates are likewise disqualified, even if the member-lawyer recuses.
In Kentucky, under what conditions may a lawyer participate in a for-profit, prepaid legal services plan?
A lawyer may participate so long as the plan complies with the prepaid-plan and advertising rules; in-person or telephone solicitation of members by the plan's sales force is improper, and the plan's …
In Kentucky, how may an out-of-state lawyer practice in the state courts, and may a non-lawyer represent a corporation outside small claims court?
An out-of-state lawyer must be admitted pro hac vice and engage Kentucky co-counsel under SCR 3.030(2); a non-lawyer may not represent a corporation in any court other than small claims court.
In Kentucky, may a lawyer take part in cooperative (group-paid) advertising, and may a lawyer participate in a for-profit lawyer referral service?
Cooperative advertising is permitted in qualified form (lawyers may pay for advertising, but trade names are not approved and participants share responsibility for the content), while participating in…
In Kentucky, may a lawyer limit help to an indigent pro se litigant to drafting the initial pleadings, and may a legal services group publish self-help handbooks with pleading forms?
Yes to both. A lawyer may limit representation to preparing initial pleadings, but substantial help such as drafting a non-form pleading must be disclosed to the court; publishing handbooks with pro s…
In Kentucky, may a lawyer on a contingent fee agree to advance litigation expenses that the client will never have to repay, win or lose?
No. Rule 1.8(e)(1) lets a lawyer advance litigation costs and make repayment contingent on the outcome, but it does not permit the lawyer to absorb the expenses entirely in every case regardless of re…
In Kentucky, may a lawyer delegate the task of taking a deposition to a non-admitted law school graduate or other lay assistant?
No. Such delegation is improper under the duties of competence, scope, and diligence (Rules 1.1, 1.2, 1.3) and constitutes the unauthorized practice of law under SCR 3.020, which is not limited to cou…
Can a lawyer form a title insurance company, sell an interest to someone tied to a mortgage company, and share title-policy profits in exchange for the mortgage company channeling closings to the lawyer?
No. The opinion concluded the arrangement is little more than a lawyer buying legal work, which the rules forbid (giving anything of value for recommending the lawyer's services); only the requirement…
When an insurer hires a lawyer to defend its insured, may the lawyer let the insurer's claims personnel sit in on the attorney-client interview?
Qualified no. The opinion treats the insured as the client; counsel must keep independent judgment and guard client confidences, and must resist an insurer's demand to attend interviews. Insurer repre…
How should a lawyer compute a contingent fee when the case resolves through a structured settlement that pays the client over time?
The fee must be reasonable and the computation method must be stated in the fee contract (Rule 1.5). If the lawyer takes the fee in a lump sum, the opinion says it should be a percentage of the discou…
May a Kentucky lawyer practice law for profit under a trade name, given that ABA Model Rule 7.5 permits non-misleading trade names?
No. The opinion concluded Kentucky lawyers may not practice under trade names; the Supreme Court deleted the trade-name language from Rule 7.5 and rejected trade names in Simon v. KBA, so the rule is …
May a suspended Kentucky lawyer work as a paralegal in a law firm once the stated period of suspension has expired but before reinstatement?
Yes. The opinion amended KBA E-255 and E-256 so the restrictions (no client contact, no office in the firm, no paralegal role) apply only during the stated suspension period, not in the interval befor…
May a Kentucky lawyer serve as a divorce mediator or as independent counsel for a party in mediation, and may a mediation service hand out a list of interested lawyers?
Yes. The opinion concluded a lawyer may serve as mediator under Model Rule 2.2 (not as advocate for both spouses), independent counsel must exercise independent judgment, and a service may share a law…
May a Kentucky lawyer subscribe to a 'Talking Yellow Pages' telephone advertising service?
Yes. The opinion concluded a lawyer may subscribe now that the service dropped the features that made it resemble a for-profit referral service, and it directed subscribers to submit their ads to the …
In a 42 U.S.C. 1983/1988 civil rights case, can a lawyer use a contingent fee, and is the lawyer's fee capped at the court-awarded statutory fee?
Yes to a contingent fee. The opinion concluded that, as a matter of legal ethics, the total fee is not necessarily limited to the court-awarded amount, but the lawyer cannot collect both the statutory…
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Legal ethics opinions from the Kentucky Bar Association 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.