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 work as a mediator or arbitrator as part of a law practice, run it from the law office, and use nonlawyer staff in the sessions?
Yes to all three. A lawyer may serve as a third-party neutral, may do so on the firm's premises, and may use nonlawyer staff, but remains bound by the Rules of Professional Conduct, including protecti…
Do Kentucky lawyers have an ethical duty to use cybersecurity to protect client data, tell clients about breaches, and supervise the staff and vendors who handle it?
Yes. Lawyers must make reasonable efforts to protect client information from cyberattack as part of competence, confidentiality, and safekeeping duties; they may use nonlawyers and vendors but must ve…
Can a Kentucky lawyer store confidential client information in the cloud, and what does the lawyer have to do to use it ethically?
Yes. A lawyer may use cloud computing for confidential client information, but must safeguard that information, act competently in selecting and monitoring the service, supervise the provider, and con…
In Kentucky, may an insurance-defense lawyer agree to follow an insurer's case-handling guidelines (such as prior approval of discovery or research, billing caps, and reporting deadlines) when representing the insured?
The opinion concluded a lawyer may agree to insurer guidelines only if they do not interfere with the lawyer's independent professional judgment, the lawyer discloses them and obtains the insured's in…
In Kentucky, may two firms or office-sharing lawyers who often represent adverse clients share the same legal secretary?
The opinion concluded that firms or office-sharers who often represent adverse interests generally may not share a legal secretary (qualified no), because under KRPC 5.3 the lawyers cannot realistical…
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…
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…
Can a bar-sponsored justice center that identifies legal problems, refers people to services, and gives limited advice through supervised volunteer lawyers operate without violating the ban on corporate practice of law?
Yes. The opinion concluded the proposed Louisville Bar Association Justice Center is fully consistent with the Code, since educating the public to recognize legal problems and connecting people with c…
Can Kentucky lawyers form a legal-research service that does research for other lawyers, and what duties do they owe the hiring lawyer's clients?
Yes. The opinion concluded lawyers may form a research service that works for the inquiring attorney rather than the client; the service must protect the clients' confidences and secrets, so it cannot…
When a paralegal leaves one firm and joins the opposing firm in pending cases, is the hiring firm disqualified by a conflict of interest?
A paralegal's prior work is not automatically imputed to the hiring firm, but the former firm may make a series of confidentiality requests, and because of the appearance of impropriety the hiring fir…
How may a lawyer bill a client for time a paralegal or non-admitted law clerk spends on the matter?
On a statutory, lump-sum, or contingent fee the lawyer should not pass on extra charges for paralegal or law-clerk time absent an agreement; where agreed or where the lawyer bills hourly, such time ma…
Can a Kentucky lawyer send a paralegal or other nonlawyer to appear in court for a client without a supervising lawyer present?
No. The opinion concluded that no Kentucky court rule lets a nonlawyer appear in court representing a client, so a lawyer may not send a paralegal or other layperson to act in a courtroom on a client'…
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 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 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 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 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 law firm give an office manager or paralegal a firm business card showing the nonlawyer's name and contact information?
No. Only lawyers' names may appear on a firm's professional cards and letterheads, so a firm card may not list an office manager or paralegal. The opinion was later modified by KBA E-223.
Can a law firm list a non-lawyer employee on the firm's letterhead?
No. Under this opinion a lawyer could not list an employee who is not licensed to practice law on the firm letterhead. The opinion was later modified by KBA E-223.
Can a Kentucky lawyer buy a disbarred lawyer's practice by paying the disbarred lawyer a percentage of the fees earned from the former clients?
No. A disbarred lawyer is treated as a layman, and a lawyer may not divide legal fees with a layman; fee division is proper only with another lawyer based on a division of service or responsibility.
Can a law firm pay nonlawyer staff bonuses calculated as a percentage of the firm's gross or net income?
No. Tying a lay employee's bonus to a percentage of the firm's gross receipts or net profits is sharing legal fees with a nonlawyer, barred by DR 3-102(A); the only exception is a profit-sharing retir…
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 county judge furnish probate and final-settlement forms to personal representatives, and can his clerks fill them out?
The committee concluded a county judge who is a lawyer may furnish blank form petitions and a settlement format, but neither he nor his lay clerks may prepare or help prepare the petitions and settlem…
Can a lawyer form a partnership with a law student before the student is admitted and take capital contributions from the student for office expenses?
No. The committee concluded a lawyer may not form a partnership with, or share fees with, a not-yet-admitted law student, and may not accept the student's capital contributions, though the student may…
Can a lawyer take a creditor's collection suit through a collection agency the creditor authorized to hire counsel on its behalf?
Yes. The committee concluded a lawyer may be retained through a collection agency the creditor authorized to employ counsel, provided there is no fee division with the agency and the agency does not c…
Can a lawyer take a retainer from a company that sells creditors a package of computerized collection letters bearing his pre-printed signature?
No. The committee concluded the arrangement is indirect solicitation, places a lay intermediary between the lawyer and the creditors he serves, and risks improper fee division with a layman, so the la…
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 lawyer who is also a licensed insurance agent and a criminal trial commissioner execute surety bonds as attorney-in-fact for the insurer?
It depends on the case. The committee concluded the lawyer may not execute bonds for parties he represents or for parties appearing before him as trial commissioner, but may do so for parties he does …
Can a closing attorney pay a mortgage company a per-loan fee for the secretarial work it does preparing closing documents?
No. The committee concluded that an attorney's payment to a lending institution for secretarial services on loan closings, in any of the proposed forms, amounted to subsidizing the institution and imp…
Can a lawyer charge an attorney fee for an estate when a partner or relative is the administrator, and can a firm have its secretary serve as personal representative?
Yes to all four arrangements. The committee found none of them directly violated the Canons, so long as the appointment was informed, the attorney fee reflected the value of services and did not doubl…
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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.