New York City Bar Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the New York City Bar, with full citations and source links on every page.
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When does a New York lawyer's strongly held personal, religious, political, or moral view create a Rule 1.7(a)(2) personal-interest conflict that requires the lawyer to decline or withdraw from a representation?
The opinion concludes such conflicts are rare; the Rules presume lawyers cultivate detachment and can subordinate personal views. A Rule 1.7(a)(2) conflict arises only when the lawyer subjectively con…
If a New York lawyer signs a contract (engagement letter, outside-counsel guideline, or employment policy) that purports to limit the lawyer's Rules-granted discretion, is the lawyer ethically bound by that contract?
The opinion concludes that lawyer and client cannot alter the Rules by agreement; a New York lawyer always retains the discretion the Rules grant, even where exercising it would breach a contract. Ent…
May a New York law firm's partnership or employment agreement impose forfeitable bonuses, conditional loan forgiveness, deferred compensation, or capital deductions that, in effect, discourage a departing lawyer from competing with the firm?
Per the opinion, no. The committee holds that Rule 5.6(a)(1) prohibits not only express anti-competition provisions but also facially neutral discretionary financial terms whose actual effect is to de…
Can a client give a lawyer advance authority to settle within a set range, and can the client take that authority back?
A client may grant advance settlement authority, but it is limited: the client may revoke it at any time, and the lawyer has a continuing duty to keep the client informed of material developments and …
Can a New York lawyer's health concerns about appearing in court in person during a pandemic create a conflict of interest that requires withdrawal?
A lawyer's serious health concerns about a required in-person court appearance during a public health crisis can be a personal-interest conflict under Rule 1.7(a)(2). Whether one exists is fact-specif…
Can a New York lawyer subpoena a current client for evidence in another client's lawsuit?
Ordinarily not without consent. Subpoenaing a current client on behalf of another client usually creates a Rule 1.7 conflict that requires informed written consent from both clients; absent that, the …
What must a lawyer do after a case ends if they learn that material evidence they or their client offered was false?
The opinion concludes that under New York Rule 3.3(a)(3) the lawyer must take reasonable remedial measures, and unlike the ABA rule the duty survives the end of the proceeding. The lawyer must first t…
Can a lawyer use the engagement letter to agree up front that client files will be returned or destroyed when the matter ends?
Yes, with the client's informed consent. The engagement letter may authorize the lawyer to return or discard client files at the end of a matter, except documents with intrinsic value (wills, deeds, n…
When a conflict is thrust upon a firm mid-representation (for example by a client's acquisition) and one client won't consent, must the firm drop both clients?
No. For a genuinely unforeseeable 'thrust upon' conflict that arose through no fault of the lawyer and does not risk material confidences, the firm is not always required to withdraw from both. It may…
Can a lawyer follow a fugitive client's instructions to sell assets, pay creditors, and forward proceeds, and keep representing the client civilly?
The opinion concluded a lawyer may sell a fugitive client's assets, pay her creditors from escrow, and forward the balance to her, and may continue the related civil representation, so long as the law…
When a legal services organization may have committed malpractice against its own client, can it keep representing the client, and what must it do about the possible malpractice claim?
The opinion concluded the organization has a non-waivable conflict of interest, so it must withdraw from the representation, advise the client to obtain legal advice from a lawyer not employed by the …
If a client insists on a fraudulent scheme, must the lawyer withdraw, and may the lawyer later disclose the former client's past fraud?
The opinion concluded the lawyer must call on the client to stop the fraud and must withdraw if the client refuses, but may not disclose a former client's past fraud because it is a protected secret; …
Can a New York lawyer charge a fee paid in advance and call it 'nonrefundable'?
The opinion concluded that minimum fees, flat fees, and traditional retainers can be reasonable and proper, but no advance fee is ever literally nonrefundable, so a lawyer may not characterize an adva…
Must a lawyer tell a client that the lawyer is seeking or considering a job with someone whose interests are adverse to that client?
The opinion concluded that a lawyer's focused, concrete interest in future employment adverse to a client is a personal interest under DR 5-101(A) that requires disclosure and the client's consent, no…
If a lawyer learns that a prior discovery response was wrong because the client actually has responsive documents, can the lawyer disclose that over the client's objection?
The opinion concluded that the discovery-correction duty of Federal Rule 26(e) is 'required by law' under DR 4-101(C)(2), so the lawyer may disclose the documents' existence even though it is a client…
What must a lawyer do if a client intercepts and copies privileged communications between the opposing party and that party's lawyer?
The opinion concluded that a lawyer may not counsel a client to intercept an adversary's privileged communications, even in retaliation; and a lawyer whose client did so on its own may not use the doc…
After a lawyer's firm dissolves and a judgment is vacated, must the lawyer keep representing the client at a new trial, and what are the duties around the contingency fee?
The opinion concluded that whether the lawyer may keep the contingency fee and whether the original retainer requires continued representation are legal questions beyond the committee's jurisdiction, …
Can a lawyer draft pleadings and advise a litigant who appears pro se without disclosing that help to the court and opposing counsel?
The opinion concluded that a lawyer may provide limited behind-the-scenes help to a pro se litigant, but where the assistance is active and substantial, including drafting any pleading, the fact of le…
Is a lawyer on a contingent fee required to handle an appeal after losing at trial without charging more?
The opinion concluded that whether a lawyer must handle an appeal depends on the scope of the retainer agreement, a question of law; if the contract requires it the lawyer has an ethical duty under DR…
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Legal ethics opinions from the New York City Bar 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.