New York State Bar Association Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the New York State Bar Association, with full citations and source links on every page.
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Can a lawyer's letterhead state a former judgeship and note that a lawyer is also admitted to practice in another state?
The opinion concluded yes to both: a lawyer may truthfully list a former judicial office and may indicate other jurisdictions of admission on letterhead and cards, so long as the statements are not fa…
Can a law firm run a separately named business that sells standard will forms to the public, and can that business prepare individual wills?
The opinion concluded that selling general standard will forms with a proper caveat is not the practice of law and may use a trade name, but preparing or advising on individual wills is the practice o…
Can a lawyer represent a client suing the lawyer's old firm for malpractice, and must the lawyer report the old firm's conduct to disciplinary authorities?
The opinion concluded that the lawyer may not assist the client against the former firm if the lawyer's own interests would substantially impair his judgment or he ought to testify, and that reporting…
Can a lawyer who was a city's part-time general counsel later represent a different government agency in a matter he handled, and can his firm?
The opinion concluded that the lawyer himself may not represent another government agency in a matter in which he participated personally and substantially for the city, but his firm may if he is scre…
Can a law firm let a nonlawyer staff leasing company run debt-consolidation services for its clients under the firm's name?
The opinion concluded no: where the firm neither supervises the nonlawyers' work nor keeps a direct relationship with clients, the arrangement aids the unauthorized practice of law, and it also risks …
Can a part-time town judge represent private clients before the same town's zoning or planning board, and can the judge's law partners?
The opinion concluded that a part-time judge may not appear before the zoning board of appeals or planning board of the same municipality, but partners and associates are not automatically disqualifie…
Can a lawyer who is also an agent for a title insurance company represent a public agency and place the agency's title insurance with that company?
The opinion concluded that the lawyer may do so if both the agency and the title company consent after full disclosure, the agency is credited the fees the lawyer receives from the title company, no a…
Can an outside lawyer retained as a town's special counsel also represent private clients before the town's planning board or zoning board of appeals?
The opinion concluded that, absent actually differing interests, special counsel retained for a particular matter may represent private clients before the town's planning board or zoning board of appe…
Can a governmental entity consent to waive a lawyer's conflict of interest in New York, or must the lawyer always decline when a government client is involved?
The opinion abandoned New York's 'government cannot consent' rule and concluded that a governmental entity may consent to a conflict if the consent meets DR 5-105(C), the entity is legally authorized …
Can a lawyer sue a former client when the new matter is unrelated, and does the recency of the prior representation matter?
The opinion concluded that a lawyer may represent a plaintiff against a former client unless the matters are substantially related or the lawyer holds relevant confidences; the duty of loyalty ends wh…
Can a lawyer give a client a benefit, like rent-free office space, in exchange for the client hiring the lawyer for its legal work?
The opinion concluded that a lawyer may furnish rent-free office space to a client in consideration of the client's employment of the lawyer, because the rule against paying for recommendations does n…
If a borrower pays the lender's lawyer, must the lawyer tell the borrower he is also being paid by the title insurer, and can he keep both fees?
The opinion concluded that the lender's lawyer must disclose to the borrower, who pays the fee, that the lawyer is also compensated by the title insurer at closing and how much, and may retain both fe…
Can a lawyer record a 900-number message giving general legal information and advertising his services, charge the line's owner, and share the call profits?
The opinion concluded that a lawyer may record a 900-number message of general legal information, may use it to advertise his services if it meets all advertising rules, may charge the nonlawyer owner…
Can a New York lawyer mail copies of newspaper articles about the lawyer directly to accident victims along with a letter offering legal services?
The opinion concluded that a lawyer may send a targeted direct-mail letter enclosing newspaper articles about the lawyer to potential clients, provided the mailing comports with the advertising rules …
How should a New York lawyer dispose of closed client files, and how does dissolution of the firm change those obligations?
The opinion concluded that a lawyer may destroy closed files after offering client-owned documents to the client and preserving documents needed to protect substantial rights or required by law, alway…
After a New York firm dissolves into two successor firms, can either or both keep using a deceased founding partner's name in the firm name?
The opinion concluded that only one resulting firm, not both, may use a deceased founding partner's name, and only if it shows substantial continuity of membership, clientele, and practice with the pr…
Can a New York lawyer refer a real estate client to a title abstract company the lawyer owns and collect a share of the title premium?
The opinion concluded that it is improper, per se, for a lawyer to refer a real estate client to an abstract company in which the lawyer has an ownership interest, because the personal-interest confli…
Can a district attorney put out a press release describing evidence seized at arrest and saying how the prosecution plans to use it at trial?
The opinion concluded that a district attorney may ordinarily describe physical evidence seized at arrest but may not state how the prosecution intends to use it at trial, which is presumptively likel…
Can an estate-planning lawyer sell life insurance to the same clients through a separate business the lawyer has a financial stake in?
The opinion concluded that a lawyer doing estate planning may not recommend or sell life insurance products to his estate-planning clients when the lawyer has a substantial financial interest in the s…
Can a salaried lawyer who does outside legal work for a fee remit that fee to a non-lawyer employer, and how much may the employer keep?
The opinion concluded that a salaried lawyer may remit fees from outside legal work to a non-lawyer employer only up to the employer's actual cost (allocated salary and overhead); remitting any excess…
Must an administrative law judge recuse from a case involving a taxpayer the judge previously handled, or whose case was at the agency while the judge was a staff lawyer?
The opinion concluded that an ALJ must recuse from any matter in which the ALJ previously represented the agency against the same taxpayer, and from any matter where the ALJ's impartiality might reaso…
Can a lawyer work as a part-time assistant district attorney in one county while serving as a full-time police officer in another?
The opinion concluded that a lawyer may not ethically combine the roles of prosecutor and police officer, because of the harm to public confidence in law enforcement and the substantial, unavoidable r…
If a lawyer is also a police officer and cannot do criminal defense work, can the other lawyers in the lawyer's firm take criminal cases?
The opinion concluded that because a lawyer who is a police officer may not represent criminal defendants, the other lawyers in his firm are likewise barred, and DR 5-105(D) provides no screening exce…
Can a New York lawyer use actual client testimonials in radio or television advertising?
The opinion concluded that a lawyer may advertise with client testimonials, declining to impose a per se ban, but a testimonial describing prior results must include a disclaimer that the result does …
Can a New York lawyer prepare pleadings for an indigent litigant to file pro se without entering an appearance, and what must be disclosed?
The opinion concluded that a lawyer may advise a pro se litigant and prepare pleadings for the litigant to sign and file, but because drafting a pleading is active and substantial assistance, the lawy…
Can a sitting town, village, or city justice use the title 'judge' or 'justice' in campaign materials when running for a higher judicial office?
The opinion concluded that an incumbent lower-court judge may use the title 'judge' or 'justice' in a campaign for higher judicial office, but the materials should specify the present judicial office …
Can a New York lawyer represent both the seller and the mortgage lender in the same real estate transaction with the consent of both?
The opinion concluded that a lawyer may represent both the seller and the lender only after weighing the specific facts and concluding it is not likely their interests will differ, and only with full …
Can a New York lawyer draft a client's will that names the lawyer as both a co-executor and a residuary beneficiary?
The opinion concluded that, absent unusual circumstances such as a close family relationship or a small bequest, a lawyer should not draft a will naming the lawyer as both executor and beneficiary, be…
Can a New York lawyer accept a referral fee and pass half of it to a former associate who has since been disbarred?
The opinion concluded that a lawyer may accept a referral fee that satisfies DR 2-107(A), and may pay a disbarred former associate a share of fees that accrued up to the date of disbarment, determined…
Can a New York lawyer hire a collection agency to collect an unpaid legal fee from a client?
The opinion concluded that, overruling earlier guidance, a lawyer may use a collection agent to recover a fully earned legal fee, but only after exhausting all reasonable efforts short of litigation a…
Can a New York lawyer write directly to the other driver in an accident, before suit and before knowing if that driver has a lawyer, to ask for a statement?
The opinion concluded that, before suit and before knowing the adverse party is represented, a lawyer may communicate with the party, but the communication must tell the party to refer it to counsel i…
Can an assistant district attorney sell media rights to her role in a prosecution, and help develop her character in a screenplay?
The opinion concluded that an assistant district attorney may sell media rights to her role and help develop her character once the prosecution is complete, but may not negotiate or enter such an agre…
Can a small public defender's office represent a defendant when a prosecution witness is a former client of the office, and can consent or office size change the answer?
The opinion concluded that the office is disqualified unless the prior matter is unrelated and no relevant confidences were obtained; informed consent of each client can cure the conflict; and absent …
Can a criminal defense lawyer agree to represent a client only through the grand jury stage, before any indictment, when the client cannot afford representation through trial?
The opinion concluded that a lawyer may limit the representation to the pre-indictment grand jury stage if the client agrees after full disclosure of the consequences, the limited scope still provides…
Can a part-time assistant city attorney, or other lawyers in that attorney's private firm, represent private clients before city agencies?
The opinion concluded that a part-time assistant city attorney, and the attorney's whole firm, may not represent private clients before any city agency the attorney's office is associated with, but ma…
If a lawyer in a firm is subpoenaed to testify against a judge in a Commission on Judicial Conduct proceeding, can the firm's other lawyers keep appearing before that judge?
The opinion concluded that the firm's lawyers may not appear before the judge absent the judge's disclosure and a valid remittal, that the judge has the primary duty to recuse whether or not the testi…
Can a lawyer representing a group of tenants against a landlord accept a bonus or premium from the landlord as part of settling the dispute?
The opinion concluded that a lawyer may not accept a bonus or premium from the adverse party in a settlement where the amount exceeds the reasonable fee the lawyer could expect from the client, becaus…
Can a lawyer let a bank extend immediate credit to one client based on a multiple-client escrow account, or based solely on the lawyer's own creditworthiness on a single closing?
The opinion concluded that a lawyer may not back a client's credit with a multiple-client escrow account, because that uses other clients' funds and is an impermissible conversion, but may let a bank …
Can a lawyer charge a nonrefundable minimum fee that the client pays in advance and the lawyer keeps even if the matter ends before that much work is done?
The opinion concluded that a nonrefundable minimum fee is not improper in all cases, but is permitted only if the minimum is not excessive or unconscionable, nonrefundability is expressly conditioned …
Can a lawyer withdraw from a litigated case when the client cannot afford to pay the fee, and does the lawyer need the court's permission if the client consents to the withdrawal?
The opinion concluded that nonpayment due to a client's inability to pay can be a deliberate disregard of the fee obligation that warrants permissive withdrawal, but in a litigated matter the lawyer m…
Can a lawyer pay an advertising service that runs generic ads and sends all responders in an area to that lawyer, and does naming the participating lawyers in the ad change the answer?
The opinion concluded that a lawyer may not use an advertising service that places ads omitting the lawyer's own name, address, and phone number or that operates as an unapproved lawyer referral servi…
When the same insurer covers both the plaintiff and the defendant, can the defense lawyer use the plaintiff's insurance file that the carrier forwards to use against the plaintiff?
The opinion concluded that defense counsel hired by the carrier may not use the plaintiff's insurance file obtained from the carrier to circumvent the rules of discovery, because doing so is unfair ba…
Can a law firm form and co-own a title abstract company with one of its real estate clients, and then refer its clients to that company for title work?
The opinion concluded that a firm may form and be a principal in a title abstract company with a client subject to solicitation, fee-sharing, and business-transaction safeguards, and may refer clients…
Can administrative law judges serve as arbitrators in outside proceedings, given that the Code of Judicial Conduct bars full-time judges from acting as arbitrators?
The opinion concluded that the Code of Judicial Conduct's flat bar on judges acting as arbitrators should not be applied rigidly to administrative law judges; ALJs may serve as arbitrators where it is…
May a town or village justice use a confidential law clerk appointed and paid by the county, and is there a conflict when the district attorney appears before the justice?
The opinion concluded that a justice may use a county-appointed law clerk where the clerk is 'court personnel' subject to the justice's sole direction and control, or qualifies as a disinterested expe…
When a public defender represents two unrelated defendants and one tells the lawyer the other confessed, must the lawyer withdraw, is the whole office disqualified, and can the lawyer explain why?
The opinion concluded that the lawyer must withdraw from representing both clients, the entire public defender's office is likewise disqualified from representing either, and the lawyer may not reveal…
When a lawyer and client part ways over a fee dispute, may the lawyer negotiate a release of malpractice claims, and may the lawyer hold the client's papers under a retaining lien to push that release?
The opinion concluded that a lawyer may negotiate a release of malpractice claims only after meeting set conditions (full disclosure of the facts, prior discharge or proper withdrawal, and advice to g…
Can a lawyer serve on a bar lawyer referral service committee and still receive referrals from that service?
The opinion concluded that a committee member may receive referrals where the committee sets only broad policy and the staff assigns referrals to an open panel on a rotating basis, because the member …
Can a lawyer who represents a corporation or other organization also serve on its board of directors, or as board chair?
The opinion concluded that board service by an organization's lawyer is not per se improper, provided the lawyer does not use the seat as a feeder for legal work, discloses the risks (including loss o…
Can a lawyer employed by a county Department of Social Services bid to buy real property the department is selling at public sale?
The opinion concluded that the lawyer may not bid, because the lawyer and the public-body client have differing interests in the sale, the public body cannot consent to the conflict, and the lawyer ha…
When may a part-time public defender in New York accept a criminal defendant as a private paying client?
The opinion concluded that a part-time public defender may privately represent a defendant who sought the lawyer out for private representation, even if the defendant also explores appointed counsel, …
May a New York judge or judicial candidate make political contributions, and do the same limits bind the judge's family?
The opinion concluded that a candidate may fund their own campaign as the law allows but may not contribute to a party once nominated; a sitting judge may not contribute to any party; and a judge must…
Can a New York judge belong to a bar association that funds a political action committee and gives it free office space, staff, insurance, and use of its dues statement to solicit contributions?
The opinion concluded that a judge may not belong to such a bar association, because the free services are a contribution by the association to a political organization, and that contribution is treat…
Can a New York lawyer prepare surrogate parenting contracts and represent both a surrogate mother and the intermediary who arranges the match?
The opinion concluded that a lawyer may prepare a surrogate parenting contract and provide related non-legal consulting only if the lawyer determines the conduct is not illegal, but may not represent …
Can a New York assistant district attorney rent office space from, or go into business with the spouse of, a defense lawyer who practices in the same county?
The opinion concluded that there is no per se bar; an assistant district attorney may rent non-law office space from an assistant public defender and may employ, or take investment from, the spouse of…
Can a New York lawyer keep the interest a client's settlement check earns between the day it is deposited and the day it clears?
The opinion concluded that a lawyer may not retain the interest earned on a client's settlement check between the date of deposit into an escrow account and the date the check clears; that interest is…
May an incumbent New York judge be shown wearing judicial robes in campaign material for re-election or for another judicial office?
The opinion concluded that there is no restriction on an incumbent judge being shown in judicial robes in campaign material, whether or not the judge customarily wears robes; being depicted in robes i…
Can a law firm that serves as bond counsel to a municipality also represent private clients in matters against that same municipality?
The opinion concluded that a firm serving as bond counsel to a municipality may not simultaneously represent private clients against that municipality (before its zoning board, in tax certiorari, or i…
Can a lawyer who is opposing counsel to another lawyer in a pending case also personally represent that opposing lawyer in an unrelated matter?
The opinion concluded that this is not per se improper: a lawyer may personally represent opposing counsel in an unrelated matter only if both lawyers are satisfied it will not compromise their existi…
Can a state-employed lawyer belong to a union with non-lawyer members, and can a lawyer-union-member prosecute disciplinary cases against other state employees in the same union?
The opinion concluded that a state-employed lawyer may belong to a union that includes non-lawyers so long as no Disciplinary Rule is violated, but a lawyer who is a union member may not represent the…
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Legal ethics opinions from the New York State 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.