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 Kentucky lawyer join a for-profit group marketing service that sends prospective clients to participating lawyers through an 800 number or website, and how can the lawyer pay for it?
Qualified yes. The opinion concluded a lawyer may participate and pay reasonable advertising costs (including per-'hit' charges) so long as the arrangement is advertising and not a disguised for-profi…
Can a Kentucky lawyer use a domain name that does not contain the lawyer's or firm's name, and can a law firm website be identified by the domain name alone?
A domain name unrelated to the lawyer's or firm's name is permissible only if it is not false or misleading and the linked site prominently identifies the lawyer or firm; a website identified by domai…
Can a Kentucky lawyer share office space with a business or professional that is not engaged in the practice of law?
The opinion concluded a lawyer may share office space with nonlawyers, modifying an older flat ban, but only if the layout and operation safeguard client confidentiality, preserve the lawyer's profess…
In Kentucky, can a lawyer who is also a real estate sales agent represent a client in the same transaction where the lawyer earns a sales commission?
The opinion concluded a lawyer may not serve as both lawyer and real estate sales agent in the same transaction, or where another agent in the lawyer's brokerage handles it, because the conflict is no…
In Kentucky, may a lawyer email clients without encryption, and is a law firm website subject to the solicitation rules?
The opinion concluded a lawyer may use unencrypted email (including the Internet) to communicate with clients unless unusual circumstances require enhanced security, and that a passive law firm websit…
In Kentucky, may lawyers who are not in the same firm practice under a common name like 'Able, Baker, Charles & Dilbert, An Association of Attorneys'?
No. The opinion concluded that lawyers in separate firms may not use a common or umbrella firm name, because it misrepresents that they are one firm; a short association subtitle does not cure the mis…
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 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 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 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 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 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, 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, 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…
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 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 …
Can a Kentucky lawyer whose office is set back from the road place a dignified nameplate on a sign or post shared with other businesses?
Yes. The opinion concluded a lawyer whose office is not visible from the main road may place a dignified nameplate on a post or display used by other businesses in the same or adjacent buildings.
Can a Kentucky firm add to its letterhead the name of a deceased relative, or a retired or disabled lawyer, who never practiced with the firm?
No. The opinion concluded that listing on a firm's letterhead a deceased relative, or a retired or disabled lawyer, who never practiced with the firm is misleading and impermissible.
Can a Kentucky lawyer join a for-profit national lawyer referral service that selects the referred counsel, even if participating lawyers pay no fee?
No. Under the 1969 Code as applied literally, a lawyer may not participate in a for-profit referral service that selects referred counsel unless the service is bar-operated, sponsored, or approved, an…
Can a Kentucky lawyer provide services through, and promote, a prepaid legal services plan?
Qualified yes. A lawyer may furnish legal services to a prepaid-plan member only if the plan complies with SCR 3.476, and may conduct promotional activities only as permitted by SCR 3.476(d) and the a…
Can two separate law firms describe themselves as affiliated or associated on their letterhead without misleading the public?
Yes. Refining KBA E-299, the opinion adopted ABA Formal Opinion 84-351 and concluded that firms may communicate an affiliation or association so long as the relationship is close and regular (not mere…
Could a Kentucky attorney practice law under a trade name in the mid-1980s?
No. The opinion concluded that DR 2-101(B) of the then-current Code prohibited practicing under a trade name; the Board declined to reach the legal and constitutional questions about that rule's conti…
Can three separate law offices share a common firm name or advertise that they are associated or affiliated on letterheads, cards, signs, and announcements?
No. Three separate offices that are not in fact a partnership may not use a common 'umbrella' firm name or hold themselves out as associated or affiliated, because doing so conveys the appearance of a…
When a law firm partner is elected to Congress, can the firm keep that partner's name on its firm name and letterhead?
Yes, but only if the member of Congress continues to actively and regularly practice law as a member of the firm; otherwise the name must be removed, and the firm and lawyer must avoid any suggestion …
When may a legal services organization run a not-for-profit lawyer referral service, and may an attorney on its board take referrals from the service?
A not-for-profit lawyer referral service is proper if it is organized on a not-for-profit basis to help the public find counsel, is not run primarily to benefit particular lawyers, and operates consis…
Can a lawyer run a consulting business that gives legal information to businesses through training sessions?
Qualified yes. The opinion concluded that a lawyer may operate a consulting business disseminating legal information to businesses through training sessions, so long as the lawyer follows the advertis…
Can a lawyer put the Scales of Justice symbol on a professional card and on letterhead?
Yes. The opinion concluded that the Scales of Justice, as the time-honored symbol of the practice of law, may be placed on a lawyer's professional card and letterhead, neither of which is advertising …
Can a lawyer have a lighted sign identifying the law office?
Yes. After Bates and In re R.M.J., the opinion concluded a lawyer may have a lighted law-office sign so long as it is not false, fraudulent, or misleading, and it modified the Committee's earlier sign…
Can a lawyer raise funds, or ask others to raise funds, to pay for an indigent criminal defendant's defense and appeal?
Qualified yes. A lawyer may solicit or help raise funds to pay reasonable fees and costs for an indigent client's defense, but must state the total fee needed, remit any unearned portion, not split th…
Can one member of a law partnership be a professional service corporation while the firm is not?
Yes. The opinion concluded that a single member of a law partnership may be a professional service corporation, provided the firm's letterhead, cards, and other public representations disclose the P.S…
Can a Kentucky lawyer or law firm hold an open house to mark new offices or an occasion, and how must invitations be sent?
Qualified yes. The opinion concluded a lawyer or firm may hold an open house so long as any invitation (card, letter, or newspaper ad) complies with the advertising rule SCR 3.135(3), which bars invit…
Can a Kentucky lawyer put a photograph of the lawyer's own face in an advertisement for legal services?
Qualified yes. The opinion concluded a photo of the lawyer's face is permissible because it is not inherently false or misleading, but it must be recent; the committee said a photo more than a year ol…
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 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 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 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 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 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 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 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 law firm that moved offices announce the new location to the public through a newspaper advertisement?
Yes. Following Bates v. State Bar of Arizona, the committee concluded that limited, accurate, non-misleading advertising of routine information such as an office move is permitted.
What can a Kentucky law firm put on its letterhead about out-of-state offices, of-counsel lawyers, and where its lawyers are admitted?
A firm may list bona fide out-of-state law offices, but may not show an of-counsel lawyer's separate office address or affirmative admission notations; non-admission notations are required only where …
Can a newly admitted lawyer give a local newspaper a biography and photo for a brief news story about starting practice?
Qualified yes. A factual, non-laudatory news announcement about a new lawyer is permissible; DR 2-101(A) bars only self-laudatory statements calculated to attract lay clients, and the test turns on la…
Can a law firm list its investigator, office manager, or medical assistant by name and title on its letterhead?
No. DR 2-102(A) prohibits letterhead content beyond its enumerated exceptions, and naming nonlawyer staff or their roles is not among the information DR 2-102(A)(4) allows.
Can a lawyer in private practice list a public office, such as county judge, on the firm letterhead?
No. The committee answered that a lawyer may not reference a position as county judge or other public official on private-practice letterhead, resting on the earlier Opinion KBA E-84.
Can a lawyer let a business client name him as its lawyer in the client's commercial advertising?
No. The committee held that naming the lawyer in the client's ad publicizes the lawyer in his behalf, which the former advertising rule barred, regardless of whose idea it was.
Can a lawyer running for office say in a campaign ad that he is both a lawyer and a CPA?
Yes. The committee held both credentials were germane to a Lieutenant Governor campaign, and the bar on a lawyer advertising as a CPA applies only in a professional, not a political, context.
Can a law firm's letterhead name a partner as the 'supervising partner' of a branch office, along with the branch address and resident associate?
Yes. The committee concluded that a letterhead may identify the partner responsible for supervising a branch office, because DR 2-102 permits listing firm members and the designation only helps client…
Can a local bar association run a newspaper series discussing general legal topics for the public?
Yes. The committee concluded a bar association may publish dignified newspaper articles on general legal topics if they name no individual lawyer, aim to inform rather than drum up business, and inclu…
Can a lawyer take a fee to run a university student-government legal advising service that only gives advice?
Qualified yes. The committee concluded a lawyer may direct such a group legal-advice service if it is operated strictly under RCA 3.475 and DR 2-103(D): the student government may not profit or contro…
Can a lawyer run an announcement in a legal journal offering to act as a consultant or associate to other lawyers in a particular field?
Yes. The committee concluded a lawyer may publish a dignified announcement of availability as a consultant or associate to other lawyers in a particular branch of law, so long as it follows DR 2-105(A…
Can a lawyer own, manage, or serve as counsel for a corporation that solicits professional athletes and negotiates their contracts?
Mostly no. The committee concluded a lawyer may not manage, serve as counsel for, or do athlete work through a corporation that solicits athletes for representation, because that is solicitation of pr…
Can a Kentucky lawyer keep a branch office in another county, and what makes it a bona fide office?
Yes. The committee concluded a lawyer may maintain a branch office in another county if it is a bona fide office open during specified hours with qualified personnel present to take calls and make app…
Can a lawyer in private practice list a public office he holds on his private-practice letterhead?
No. The committee concluded that DR 2-102(A)(4) limits what an attorney may put on his private-practice letterhead, and a reference to a public position, legal or otherwise, is not among the permitted…
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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.