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 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 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 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, 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 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 …
Can a lawyer give a second opinion to someone who is already represented by another lawyer?
Yes. The opinion concluded a lawyer may consult with a person who already has counsel and wants a second opinion, but should make every effort not to impair the existing relationship and may not use t…
Can a Kentucky lawyer who is leaving a firm contact the clients he personally represented to tell them about his new practice and their right to choose counsel?
Qualified yes. The opinion concluded a withdrawing lawyer may contact, by phone or in person, firm clients he personally represented to announce his new practice and inform them of their right to choo…
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…
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 recommend title insurance and act as title agent in the same real estate deal, and split insurance commissions with other attorneys who steer clients to him?
The lawyer may serve as title examiner and agent only with full disclosure to everyone involved and the clients' consent, crediting any title-work already billed; but naming other attorneys as 'author…
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 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 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 law firm whose members sit on a lender's board do the title examinations the lender refers to it for purchaser-mortgagors?
Yes. The committee held the firm represents only the mortgagee, not the borrower, so passing the fee to the borrower is not improper solicitation and the firm members' board seats are irrelevant.
Can a lawyer who serves as a police officer and legal adviser to a county police department also defend criminal cases and handle car-accident matters in private practice?
No to criminal defense anywhere; the same bar that applies to prosecutors applies to the lawyer-officer and the firm. Car-accident cases are allowed only outside the department's territory and only un…
Can a lawyer be hired by a bail bonding company to represent a criminal defendant and negotiate a plea?
No. The committee held that a lawyer may not knowingly let a bonding company that recommends, furnishes, or pays for legal services promote the lawyer's services; bonding companies are not within the …
Can a lawyer do part-time claims adjusting for an adjusting company alongside a law practice?
Qualified yes. The committee allowed it if the adjusting business is kept separate and the lawyer declines to be retained as a lawyer in any matter he handled, or a related matter, as an adjuster.
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 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 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 Kentucky lawyer also run a real estate business alongside the practice of law?
Yes, with limitations. The committee concluded a lawyer may operate a separate real estate business if it is not the practice of law, is run consistently with the Canons, is not used to advertise or s…
Can a Kentucky lawyer send other lawyers a notice that he concentrates in a particular branch of law?
Qualified yes. The committee concluded a lawyer may distribute to other lawyers and publish in legal journals a dignified announcement of his availability as a consultant or associate in a branch of l…
Can a Kentucky lawyer serve as counsel under a group or prepaid legal services plan, such as a union closed-panel plan?
Yes. The committee concluded that a lawyer may represent members under a group legal services plan if the plan preserves the member's free choice of counsel, does not let the organization profit from …
Can the lawyer for a claimant's insurance carrier contact an uninsured motorist to get his cooperation in defending the case?
Yes. The committee concluded the carrier's attorney may notify the uninsured motorist that he represents the claimant's insurer, invite his cooperation in the defense, make clear he does not represent…
Can a lawyer appear on a real-estate firm's sponsored radio program to discuss legal aspects of real estate?
Yes, within limits. The committee concluded a lawyer may appear on a commercially sponsored radio program discussing real estate law if several attorneys appear (so no one is endorsed), none is identi…
Can a lawyer mail tax information worksheets to clients to help them prepare their income tax returns?
Yes, but only to existing clients. The committee concluded an attorney may mail income-tax information worksheets to people with whom he already has an attorney-client relationship; sending them to an…
Can a lawyer act as a surety company's bonding agent, and who has authority to discipline a lawyer for unethical conduct?
A lawyer in active practice cannot act as a surety company's bond-executing agent, because that business funnels legal work and amounts to improper solicitation, though he may personally go surety on …
Can a lender's lawyer take a fee the borrower is required to pay, even though the borrower never hired that lawyer?
Yes. The committee concluded that a lawyer the lender employs to examine title is rendering a legal service to the lender, so requiring the borrower to pay that fee as a loan cost does not make the la…
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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.