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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Can a part-time Kentucky Commonwealth's or county attorney represent a licensee in a disciplinary action before a state licensing board, or against that board in court?
No. The opinion concluded that because Commonwealth's and county attorneys and their assistants are compensated by the state, they could not represent private clients against the state's licensing boa…
Can a law firm list a name and phone number in a city's telephone directory when the firm does not actually maintain an office there?
No. A telephone-directory listing that implies a firm is practicing in a city where it has no office is misleading on its face and is not permitted.
Can a lawyer who is not admitted in Kentucky advertise legal services in Kentucky?
Qualified no. A lawyer not admitted in Kentucky may advertise there, but the advertisement is misleading unless it discloses that the lawyer is not admitted in Kentucky, because an unqualified ad impl…
Can two Kentucky lawyers who are not partners hold themselves out as 'Jones & Jones,' and can a lawyer be a partner in more than one law firm?
No to the false partnership name: lawyers who are not in fact partners may not use a firm name that implies a partnership. As to belonging to more than one firm, the opinion gave a qualified yes, allo…
Can a lawyer who sits on a legal aid program's board represent a client opposing someone represented by that program's staff attorney?
Qualified yes. The opinion concluded it depends on the board's role: if board members directly participate in client representation it is a disqualifying conflict, but if the board only sets policy an…
When does a part-time Kentucky prosecutor's private practice (or a prosecutor's spouse's practice) create a disqualifying conflict with a criminal case the prosecutor is handling?
The opinion answered three scenarios: a prosecutor may prosecute a criminal case linked to a civil case only if the prosecutor's own civil client filed the complaint (and then withdraws from the civil…
Can a Kentucky lawyer employ a disbarred or suspended lawyer specifically as a paralegal?
No. The opinion concluded that KBA E-255 is dispositive: a disbarred or suspended lawyer is not a paralegal within SCR 3.700 and so may not be employed in that role.
Can a Kentucky lawyer employ a disbarred or suspended lawyer to do work, and what can that person do?
Qualified yes. The opinion concluded a disbarred or suspended lawyer may be employed for preparatory or ministerial work that a layperson could do, but only under strict provisos: no client contact, n…
Can a Kentucky lawyer disclose the names, addresses, or credit history of clients, and when is that information confidential?
Qualified yes. The opinion concluded a client's identity and the existence of the relationship are usually confidential; a lawyer may reveal a client's name only via public record, where confidentiali…
Can a Kentucky lawyer send a nonlawyer instead of a lawyer to sit in on the lawyer's own client's deposition?
No. The opinion concluded the lawyer (or another lawyer in the firm) must at least observe the client's deposition in every case; sending a nonlawyer in a lawyer's place neglects the matter under DR 6…
Can a Kentucky public defender appointed for an indigent client also take a paid retainer to defend that same client in a separate criminal case in another county?
Qualified yes. The opinion concluded the lawyer may continue only if four conditions are met, including that the fee come from someone other than the accused and that a signed affidavit be transmitted…
Can a Kentucky law firm run a newspaper announcement about new offices, new partners or associates, or a relocation?
Yes. The opinion concluded that since the Kentucky advertising rule SCR 3.135 took effect in 1978, a firm may publish such public announcements as long as they fully comply with that rule. It eliminat…
Can an assistant county attorney who handles only Title IV-D child-support cases, and no prosecutions, also defend criminal cases?
No. The opinion concluded that any lawyer who performs Title IV-D work for the Commonwealth in any respect may not practice criminal defense, both by the committee's prior opinions and by statute (KRS…
Can a Kentucky lawyer skip a court hearing or stop appearing for a client because the client has not paid the fee?
Qualified no. The opinion concluded a lawyer who has appeared or agreed to appear may not simply stop showing up over unpaid fees; withdrawal requires compelling reasons, proper notice, and court perm…
Can a Kentucky law practice incorporated as a P.S.C. operate under the name 'John Doe & Associates,' and may it use 'and Lawyers' or 'and Attorneys' instead?
Qualified yes. The opinion concluded a professional service corporation may practice as one member's name 'and Associates' if it employs two or more associates, but 'and Lawyers' or 'and Attorneys' is…
If a Kentucky lawyer did estate planning for a married couple, can the lawyer later represent one spouse in their divorce?
Qualified yes. The opinion concluded it depends on how the estate plan was done: if the couple met jointly, confidences were shared and the lawyer may represent one spouse, but if the lawyer met them …
Can a partner, associate, or office-mate of the lawyer for a Planning and Zoning Commission represent zoning-change applicants before that commission?
No. Neither a partner or associate nor an office-sharer of the commission's attorney may represent applicants before the commission; the appearance of impropriety controls, and the opinion sets a nine…
Can a lawyer who shares office space with the county attorney take work adverse to the county or defend criminal cases?
No. A lawyer who shares offices with the county attorney may not accept employment adverse to the county or defend criminal cases anywhere; the appearance of impropriety is too great. This opinion rev…
Can two lawyers in the same office (including a single public defender office) represent jointly charged codefendants who have not waived separate counsel?
No. Two lawyers in one office, including two public defenders in one office, may not represent jointly charged codefendants who have not given the RCr 8.30 waiver; the indigent-representation exceptio…
Can a Commonwealth's Attorney or County Attorney privately represent a landowner against the State in a condemnation case?
No. Neither a Commonwealth's Attorney nor a County Attorney could privately represent a party against the State in a state condemnation proceeding, because the official's loyalty to the government and…
Can a lawyer donate routine legal services to a nonprofit to be used as a door prize or auction item?
No. While lawyers may give away or discount services generally, donating legal services as a door prize or auction item is not the kind of informative advertising Bates protects; it steers a particula…
Can a lawyer who shares office space with a part-time assistant county attorney defend juveniles in juvenile-court public-offense cases?
No. A lawyer sharing office space with a part-time prosecutor could not represent juveniles in public-offense cases, because the arrangement implies special advantage and juvenile court was treated li…
Can a Kentucky lawyer sue a client to collect an unpaid fee, or bring theft-of-services criminal charges for nonpayment?
Qualified yes to both. A lawyer may sue for a fee where needed to prevent fraud or gross imposition, after written demand and considering fee arbitration; criminal theft-of-services charges are allowe…
Can a lawyer knowingly file a lawsuit in a court the lawyer knows has no jurisdiction over the case?
No. Knowingly filing suit in a court that lacks jurisdiction misleads the judge and violates the rule against filing to harass or advancing claims unwarranted under existing law; honest mistakes about…
After a client discharges a lawyer, can the lawyer keep certain items from the file rather than turn them over to the client?
Mostly no. The client is entitled to what was paid for and what the client delivered, and to anything reasonably useful; the lawyer may retain genuine work product but should not withhold useful mater…
Can a lawyer take fees owed from an earlier unrelated case out of a client's judgment or settlement funds in the lawyer's trust account?
Only with a written agreement. Absent a written contract authorizing the offset with full disclosure, fees from an unrelated matter are disputed funds the lawyer may not withdraw; the client's funds m…
Can the lawyer who drafted a will represent the estate in a will contest and also testify about the testator's competency or undue influence?
Yes. The drafting lawyer may represent the beneficiaries and executor and testify about the testator's competency or undue influence, and a partner or associate may serve as trial counsel in the conte…
Can a lawyer display a decal or insignia in the office showing membership in a legal services plan?
Qualified yes. A lawyer may display a decal or insignia indicating membership in a legal services plan in the office or reception area, provided the display is tactful and dignified.
Can a lawyer who represents a Fraternal Order of Police lodge and its officers also defend criminal cases in the same jurisdiction?
No. Defending criminal cases requires zealously attacking police testimony, which conflicts with the lawyer's loyalty to the police officers and the FOP the lawyer represents in the same jurisdiction.
Can an attorney licensed only in Indiana list under 'attorney' in the Louisville, Kentucky yellow pages with an Indiana office and phone number?
No. A directory listing in Kentucky for a lawyer admitted only in Indiana is misleading because it implies Kentucky practice the lawyer cannot lawfully perform; Bates does not change that result.
Can a paralegal argue a motion in court for the employing lawyer's client if the client knows the paralegal is not a lawyer and the lawyer has briefed the paralegal?
No. Appearing in court to argue a motion is the practice of law, so a paralegal may not do it even with client consent and lawyer preparation.
Can a law partner or associate of a city attorney defend criminal cases in district or circuit court?
Qualified yes. The partner or associate may defend a criminal action arising outside the city, but may not defend in district or circuit court where the offense occurred in the city or the city police…
Can a lawyer advertise that he or she is in the general practice of law?
Qualified yes. Because the advertising rule lets a lawyer state the type of services rendered, including any limitation or concentration of practice, the committee found the words 'general practice' a…
Can a lawyer put a paralegal's name, address, and phone number on the firm's business cards and letterhead?
Qualified yes. The committee brought its earlier opinions into conformity with the Supreme Court's new paralegal rule (SCR 3.700), permitting a paralegal's name on cards and letterhead as qualified by…
Can a lawyer hired by a bank to examine a title certify responsibility to both the bank and the borrower paying for the examination?
Yes. Because the bank's and the customer's interests in a title examination are in unison rather than adverse, the committee found no conflict that would bar the lawyer from certifying responsibility …
Can a Kentucky lawyer form a 'partnership' with an out-of-state firm just to handle forwarded collection accounts and pay it a fixed cut of collections?
No. The committee found the arrangement a partnership in form only: the lawyers were not real partners, so holding out as such violated the firm-name rule, and the fixed fee split was an improper refe…
Can a prosecutor get sworn statements from jurors about how they felt on the defendant's penalty, to use at sentencing?
No. The committee concluded a prosecutor may not obtain juror affidavits probing the jury's feelings about the penalty for use at sentencing, because the bench and bar must protect jurors' freedom to …
Can a law firm operate a 'legal clinic' under a geographic trade name that does not include any firm member's name?
No. A trade name like 'The Louisville Law Clinic' is barred as a misleading trade name that does not consist of the names of lawyers in the firm, and the geographic label could falsely suggest a conne…
Can a lawyer who serves as estate attorney or executor buy property from the estate, and can a lawyer take a property interest as a fee instead of cash?
No to buying estate property (absent the will's authorization and steps to protect beneficiaries), because of the conflict and appearance of self-dealing. Yes, qualified, to taking a property interest…
Can a lawyer charge interest and service fees on litigation advances and unpaid bills, co-sign a client's litigation loan, and deduct phone, postage, and copying costs from a contingent fee?
Yes to each, with conditions. With disclosure and consent a lawyer may charge interest and service fees on advances and on delinquent fees, may co-sign a client's litigation note if not without recour…
Can a part-time assistant county attorney defend someone in a civil action to collect delinquent child-support payments?
No. Because the county attorney has a potential public duty adverse to a nonsupport defendant (criminal prosecution and URESA enforcement of support), representing the defendant would impair the lawye…
What can a part-time lawyer trial commissioner, and his law partners, do in private and government practice?
A trial commissioner may practice before the appointing judge but not in matters he acted on; his partners may not appear before him; he may not also be an assistant prosecutor (nor may his partner), …
Can a lawyer suing a corporation or government entity contact its employees directly without the entity's lawyer's consent?
It depends on the employee. The lawyer may not contact officers, directors, or any management employee with access to privileged or confidential information without consent, but may contact employees …
After leaving a government agency, can a lawyer take private work on a matter pending at that agency?
It depends on involvement. The lawyer may take the matter if he gained no substantial knowledge of it in government service, but not if he gained substantial knowledge of it or performed any act on it…
Can an assistant Commonwealth attorney also serve as defense counsel in a criminal case?
No. An assistant Commonwealth attorney may not act as defense counsel in any criminal prosecution, even in another county or in federal court, because he cannot retain independent judgment and the dua…
Can a part-time assistant Commonwealth attorney also run a private law practice, take divorce cases, and handle workers' compensation matters?
Qualified yes on all three. A part-time assistant Commonwealth attorney may keep a private practice, including divorces, but should avoid civil matters likely to lead to criminal proceedings; workers'…
Does a court rule requiring post-divorce-judgment papers to be served on both the party and the attorney of record violate the no-contact rule?
No. The no-contact rule excepts communications authorized by law or rule of court; serving both the party and the attorney of record after a divorce decree fits that exception and adds protection for …
If a lawyer filed a joint petition for an uncontested divorce, can the lawyer later take one spouse's side when the parties turn adversarial?
No. Once the parties become adversarial, one of them is a former client of the lawyer who would now be opposed in the same action, raising a serious risk of disclosing confidences and prejudicing the …
Can a lawyer take a case against opposing counsel who works at the same firm (or office) as the lawyer's spouse?
Yes, there is no automatic disqualification, but the lawyer must stay alert to personal-interest conflicts, disclose them to the client, and withdraw if his or her judgment would be affected; spouses …
Can a lawyer take a contingent fee to collect past-due child support or alimony after a judgment?
Yes. The public-policy bar on contingent fees in domestic cases rests on discouraging reconciliation; in a post-judgment collection of back support or alimony, reconciliation is no longer at stake, so…
Can a lawyer without a real estate license sell estate real estate as part of settling the estate?
The committee declined to decide, calling it a question of law it is not authorized to answer. It noted only that whether the real-estate-licensing statute applies turns on whether the lawyer is perfo…
Can a lawyer give a self-represented person advice about their own divorce case without becoming their lawyer?
Qualified yes for procedural questions, if the lawyer makes clear no attorney-client relationship exists. Substantive questions need a full history of the case, so answering them without representatio…
Is a lawyer required to charge the fees listed in a bar association minimum-fee schedule?
No. The committee formally deleted its earlier opinions endorsing bar fee schedules, consistent with the Supreme Court's decision in Goldfarb v. Virginia State Bar holding minimum-fee schedules unlawf…
Can a private lawyer contract with a legal aid office to handle its bankruptcy referrals for a set per-case fee?
Yes. No disciplinary rule forbids a legal aid office from contracting with an outside attorney to handle a kind of case it does not normally take, and the lawyer need not be a salaried employee, so lo…
Can a full-time government agency lawyer privately represent clients against another agency, in a state disciplinary hearing, or as criminal defense counsel?
No to all three. A full-time government lawyer's continuous employment creates compromising loyalties: he cannot represent a private client against another state agency, a state employee in a discipli…
Can one lawyer, or one firm, represent two or more Kentucky cities at the same time?
Yes, but only on a contract basis. A lawyer (or the lawyer's partners and associates) may represent two or more municipalities so long as the work does not amount to holding incompatible public office…
Can a Kentucky firm list an out-of-state lawyer not admitted in Kentucky on its letterhead and office door?
Qualified yes. A Kentucky firm may list an Indiana lawyer not admitted in Kentucky on its stationery and office door, including as 'Of Counsel,' so long as the materials clearly indicate that the lawy…
Can a city attorney defend a criminal case in which the city's own police brought the charges?
No. Once a lawyer serves as city attorney, the lawyer is excluded from defending criminal cases in which the city police bring the charges, in any court, because advising and representing the police w…
Can a lawyer sign a real-estate title opinion when non-lawyers did the underlying title research?
Yes. A lawyer may sign a title opinion based on research and examination performed by others, including non-lawyers, provided the lawyer chooses and is reasonably sure of their integrity and ability; …
Can a lawyer who shares office space with a part-time Commonwealth attorney handle criminal defense in district or circuit court?
No. The committee held a lawyer sharing office space with a part-time Commonwealth attorney could not practice criminal law in district or circuit court, treating the office-mate as an affiliate who m…
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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.