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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May a lawyer admitted only in New Jersey and DC who works as a salaried associate at a New York firm simultaneously run a solo New Jersey practice, and what New York-rules duties attach to the conflicts, advertising, and trust-account aspects?
The opinion concludes the New York Rules do not bar simultaneous employment at two firms, but Rule 1.10 imputes conflicts across both firms (no screening cure available), Rule 7.1 governs any advertis…
What conflicts of interest does a New York per diem (appearance counsel) attorney face when switching between representing plaintiff lenders and defendant debtors in collection matters?
The opinion concludes that a per diem lawyer may not oppose a current client in any matter, or a former client in a substantially related matter, without informed consent confirmed in writing; persona…
Can a former in-house lawyer act as a False Claims Act whistleblower (qui tam relator) against a former employer-client using information learned during the representation?
The committee concluded that a New York lawyer may not act as a relator in a False Claims Act qui tam action against a former client where the supporting information was obtained during the prior repr…
Can a New York lawyer ask former clients to write Google reviews and offer them a small gift for doing so?
The committee concluded a lawyer may ask a former client to write a Google review and may offer a nominal gift, provided the lawyer does not draft the review or condition the gift on its content, and …
Can a state agency lawyer work on an enforcement action against a company the lawyer represented in private practice before joining the agency?
Only sometimes. The opinion concludes the agency lawyer has a conflict only if he would normally have acquired confidential information in the prior representation that is material to the enforcement …
Can a lawyer write and publish an article about legal issues from a former client's case?
Yes, after the representation ends, as long as the article does not reveal the client's confidential information without consent. Legal knowledge and genuinely 'generally known' facts are not confiden…
Does a lawyer who used to work at a Legal Aid office have a conflict against a party another Legal Aid lawyer represented while she was there?
Only if she personally acquired confidential information material to the new matter and the matters are substantially related. Without both, there is no conflict under Rule 1.9(b).
Can a lawyer keep representing a current criminal client who will testify before a grand jury against the lawyer's former client?
Only if the former client gives informed written consent and the disclosure needed to get it would not prejudice the current client. Because withdrawal would avoid the need for consent, the opinion sa…
Can a county public defender's office hire the county's former district attorney, and how are conflicts handled?
Yes. The opinion concludes a former DA may work as an assistant public defender in the same county but may not personally handle a matter in which he was personally and substantially involved as DA or…
After a lawyer changes firms, may she contact the clients she used to represent to tell them she has moved and offer to review their estate plans?
Yes. The opinion concludes that a communication to former clients that is germane to the earlier representation is neither an advertisement nor a solicitation, so Rules 7.1 and 7.3 do not apply; it mu…
Can a government lawyer apply for and negotiate a private-sector job with a company that is an adverse party in a matter the lawyer is currently handling for the agency?
No. The opinion concludes that a lawyer currently serving as a government employee may not negotiate for private employment with a party the lawyer is personally and substantially handling a matter ag…
How must a former government lawyer respond to a subpoena or court order seeking confidential information from a matter they handled in government service?
The opinion concludes a former government lawyer may disclose a former client's confidential information when reasonably believed necessary to comply with a court order, but must first consult the for…
After a lawyer leaves a firm, must the lawyer keep representing the firm's clients who did not retain the lawyer's new firm, just because the old firm sent over their files?
No. The opinion concludes that clients who did not retain the departing lawyer's new firm are former clients to whom the lawyer owes only the limited duties owed any former client; the old firm cannot…
Must a lawyer delete backup copies of a former client's data on request, and can the lawyer first require a release or indemnity?
The opinion concludes a lawyer generally may keep copies of client-owned documents, but that interest can yield to a legitimate destruction request (here, a settlement requiring it); the lawyer may re…
What must a lawyer do when a former client defaults on a settlement, the lawyer can't find the client, and opposing counsel threatens a motion?
The opinion concludes the lawyer may tell opposing counsel and the court that the lawyer no longer represents the client if both the representation and the court matter ended; if either is still open,…
Can a government lawyer look for outside work, and later take a job, advocating to change the very laws the lawyer helped administer?
Generally yes. The Rules do not bar a government lawyer from organizing or later joining a law-reform project, subject to protecting confidential information, avoiding personal conflicts under Rule 1.…
Can a former county social-services lawyer go into private practice and oppose that same agency, including in support-enforcement cases?
Yes, unless the lawyer was personally and substantially involved in, or holds confidential information about, the same specific matter while in government service. Rule 1.11(a)'s narrow same-matter te…
When a law school clinic and a legal services group serve as co-counsel, must they clear conflicts across all their clients?
No. Separate firms acting as co-counsel on particular matters are not 'associated in' one firm under Rule 1.10, so they must clear conflicts only for the shared co-counsel matters, not across all thei…
May a lawyer who drafted a couple's trust tell the beneficiaries that the surviving spouse, as trustee, misappropriated the trust assets, when the lawyer learned this from the successor trustee who consulted as a prospective client?
No. The successor trustee was a prospective client, so the lawyer owes her the same confidentiality owed to a former client under Rules 1.18 and 1.9. The information is confidential and no exception i…
Does a lawyer have to respond to a query from the disinherited son of a deceased client, who is neither a client nor a party to the will, asking the lawyer to confirm she drafted it?
No. The New York Rules impose no general duty to communicate with third parties, only two narrow exceptions that do not apply here. The lawyer has no obligation to respond to the son, and disclosing t…
If a divorce lawyer learns after the judgment that the client omitted a material asset from a sworn Statement of Net Worth, must the lawyer do anything about it?
Yes. The lawyer must take reasonable remedial measures that are still available, even after the case has ended, starting by urging the client to correct the statement. If the client refuses, the lawye…
Can a lawyer disclose a client's confidential information, such as billing time sheets, to support a fee claim in a fee dispute?
Yes, a lawyer may disclose confidential information reasonably necessary to establish or collect a fee, but must take all reasonable measures, such as redaction or seeking the court's guidance, to lim…
Can a lawyer represent a company against a competitor that is a former client, when the former client benefits if the new client loses?
Yes, if the new matter is not the same as or substantially related to the former representation. The opinion concludes that purely economic competition does not make a former client's interests 'mater…
Can a lawyer give a client's file to the client's former lawyer so that lawyer can defend against the client's ethics complaint, when the client objects?
No, absent an exception. The opinion concludes the file is the client's confidential information, and nothing in the Rules permits or requires the lawyer to hand it to former counsel over the client's…
When a law firm only knows an adverse party by a street name, does its conflict check have to go beyond its written engagement records?
It can. The opinion concludes that when a firm has reason to believe it may have represented a materially adverse party it knows only by street name, an effective conflict check may require consulting…
Can a defense lawyer reveal a deceased client's statement that might exonerate a co-defendant who is trying to vacate her plea?
Sometimes. The opinion concludes the statement is confidential information protected even after the client's death, but the lawyer may disclose it if the client gave informed consent (including a stan…
Can a firm that represents nursing homes form a nonprofit to serve as guardian for the homes' residents, and then represent that nonprofit?
It may form the nonprofit, but representing it can create conflicts. The opinion concludes property-guardianship work may be consentable depending on the facts, but if the matter involves the guardian…
Can a lawyer tell a deceased former client's son that the lawyer never drafted a will for the father and has no original will?
Yes. The opinion concludes that the fact a lawyer did not draft a will and did not refer the client to other counsel is not 'confidential information' under Rule 1.6(a), and even if it were, disclosur…
Can a lawyer reveal client confidences to rebut a former client's negative online review?
No. The self-defense exception in Rule 1.6(b)(5)(i) lets a lawyer reveal confidential information only to defend against a formal accusation, such as a lawsuit, disciplinary complaint, or similar proc…
Can a government agency lawyer work on matters involving litigation she earlier handled against the agency for a private client?
Not on the same matter. A lawyer who participated personally and substantially in the prior litigation may not advise the agency on that same matter (such as compliance with its settlement), and conse…
Can a lawyer who also mediates divorces write a novel based on what they learned from mediation clients?
Only if no one can identify the clients. Because the inquirer's mediation was not distinct from the legal work of drafting the divorce papers, Rule 5.7(a)(1) subjects the mediation to the confidential…
After withdrawing because of a conflict of interest, can a law firm refer the former client to specific new attorneys?
Yes. The opinion concludes that a firm withdrawing for a conflict may give the former client a good-faith referral to attorneys it believes appropriate, consistent with Rule 1.16(e)'s duty to avoid pr…
Do the usual conflict rules apply to a lawyer who gives short-term pro bono advice through a bar association program?
Under Rule 6.5, the conflict rules bind a limited-services pro bono lawyer only when the lawyer has actual knowledge of a conflict, and even then the conflict is not imputed to others in the firm; the…
Can a New York law firm take on new clients against an entity it represented before, over that entity's objection?
It depends on whether the entity is a current or former client. The opinion concludes a firm may not oppose a current client absent written informed consent, but may oppose a former client in a matter…
Can a New York lawyer who represents lenders in foreclosure pass leads on those properties to a real estate company the lawyer plans to join?
Not without the lender client's informed consent. Information the lawyer learns about foreclosure properties is confidential, and a personal stake in the buyer creates a conflict under Rule 1.7; the l…
Can a law school clinic that once represented a nonprofit later help a rival nonprofit with the same goals apply for tax-exempt status?
Yes, without the former client's consent. The tax-exemption application is not substantially related to the prior work, would not use the former client's confidential information, and the two nonprofi…
Must a New York lawyer who has withdrawn and never appeared before the court disclose that a false statement he earlier gave opposing counsel may be used as evidence?
No. The opinion concludes a lawyer who has not appeared before the tribunal has no duty and no right under Rules 1.6 or 3.3 to disclose confidential information to correct a prior false statement made…
Can a New York lawyer reveal a former client's confidential financial information in the client's bankruptcy to collect an unpaid fee, and what duty applies if the client misled an earlier court?
The opinion concludes the lawyer may disclose confidences in the bankruptcy only to the extent reasonably necessary to collect the fee, and that if the client gave false material evidence to a tribuna…
Must a lawyer give a deceased client's file to the executor of the estate who requests it?
It depends on the executor's legal rights. If the executor is legally entitled to the same access the decedent had, the lawyer should ordinarily provide the whole file. If not, the file's confidential…
Can a lawyer take a case that might require impleading people the lawyer used to represent?
Yes, if the new matter is not substantially related to the prior representations, even though impleading former clients is materially adverse to them; but the lawyer still may not use or disclose thos…
When a firm hires a new lawyer who learned an adversary's confidences while working as a paralegal, is the firm disqualified, or can screening cure it?
Rules 1.9 and 1.10 do not apply to confidences acquired solely as a paralegal, so the conflict is not imputed to the hiring firm; the firm must instead supervise, instruct, run a conflicts check, and …
If one jointly represented co-defendant revokes a conflict waiver, can the lawyer keep representing the other client?
It depends on the circumstances. With no advance agreement covering revocation, whether the lawyer may continue for the non-revoking client turns on the nature of the conflict, whether the revoking cl…
Can a lawyer who has represented an individual officer or shareholder also represent the closely held corporation, and vice versa?
Yes, if any conflicts are consentable. Representing both a corporation and its director, officer, or shareholder can create conflicts under Rules 1.7 and 1.9, but consentable conflicts can be cured by…
Can a lawyer who once represented a wife take on the husband in their later divorce, when the prior matter was a different family-court case?
Only with the former client's informed written consent if the two matters are substantially related. They are substantially related when a reasonable lawyer would see a substantial risk that confident…
Can a lawyer disclose a client's confidential information to prevent harm or a crime, and is information learned after the representation ended still confidential?
A lawyer is permitted, but not required, to disclose a current or former client's confidential information when the lawyer reasonably believes it necessary to prevent reasonably certain death or subst…
After Estate of Schneider v. Finmann, can the lawyer who drafted a decedent's estate plan also represent the executor administering that estate?
Yes, as long as the lawyer does not perceive a colorable legal malpractice claim against himself arising from the estate planning. If such a claim is apparent at the outset or arises during the repres…
Can a part-time assistant public defender take an assigned-counsel case that another lawyer in the same public defender office is conflicted out of?
No, not without a valid waiver. A public defender office is a 'firm,' so one assistant public defender's Rule 1.7 or 1.9 conflict is imputed to every lawyer in the office, including part-timers in a d…
Can in-house general counsel make staff attorneys sign a confidentiality agreement as a condition of employment?
Yes, even one that on its face reaches information beyond what the Rules protect, so long as it includes a savings clause making plain it does not restrict the lawyer's right to practice law after lea…
Must a lawyer report a former employer-lawyer's misconduct, and can the lawyer tell that lawyer's clients?
A lawyer must report another lawyer's misconduct under Rule 8.3(a) when it raises a substantial question about that lawyer's honesty, trustworthiness, or fitness and reporting reveals no confidential …
Can a lawyer who represents a bank in a vendor financing program also represent the equipment vendor in that program?
Yes, with informed written consent. The bank and the vendor have differing interests on the lease terms (the vendor wants to close the deal, the bank wants its credit standards met), so Rule 1.7 (or R…
After New York required conflict consents to be 'confirmed in writing' on April 1, 2009, does a lawyer need to re-obtain consents that clients validly gave before that date?
No. The committee concludes that the new requirement that conflict consents be 'confirmed in writing' applies only to consents given on or after April 1, 2009; consents validly given before that date …
If two jointly represented clients want opposite litigation strategies, can the lawyer keep representing one of them?
Not both. The committee concludes a lawyer must withdraw from joint clients whose strategies significantly diverge, and may continue for one only with the other's informed consent and if the lawyer ca…
When can a lawyer who works as a contract attorney for a county agency represent in private practice a client the lawyer encountered through that government work?
Only in limited circumstances. The committee concludes the lawyer may not privately represent the client in a matter the lawyer handled as a government attorney while the client remains eligible for t…
If a private firm's lawyer supervises one project of a law school legal clinic, are the clinic's other conflicts imputed to that lawyer's firm?
Yes. Where the clinic's students share common workspace and physical files, the whole clinic is one law firm, so the conflicts of the entire clinic are imputed to the supervising lawyers' firms and vi…
When a lawyer is of counsel to two firms, are one firm's conflicts imputed to the other firm's lawyers?
Yes, in most cases. Conflicts imputed to a lawyer under DR 5-105(D) are imputed to every firm with which the lawyer has an of-counsel relationship, and where two firms share an of-counsel lawyer their…
Can a part-time assistant district attorney keep representing a private client whom the DA's office is now prosecuting?
No. The DA's office is treated as a law firm, so the office's conflict is imputed to the part-time prosecutor, who may not continue representing the husband in the civil estate-planning matter. The co…
A lawyer represents a wife on a personal injury claim and her husband on a loss of consortium claim, and the husband has vanished. Can the lawyer settle the wife's claim?
Not without both clients' informed consent, because settling the wife's claim would bar the missing husband's derivative claim, creating differing interests. The lawyer must take all reasonable steps …
Can a former prosecutor defend a criminal defendant on the same charges the prosecutor personally handled while in the DA's office?
No. A lawyer who participated personally and substantially in prosecuting a defendant on certain charges may not later defend the same person on those charges. The conflict under DR 9-101(B)(1) is per…
A lawyer is holding a former client's original will for safekeeping and the apparently incapacitated client asks for it back. Can the lawyer investigate the client's capacity before returning it?
Yes. The lawyer may communicate with the former client and others to determine whether the client is in fact incapacitated or under undue influence, and may seek judicial guidance if doubt remains. No…
When a former client asks for their file, what does a New York lawyer have to turn over, and can the lawyer charge for assembling it?
The opinion concludes a lawyer must promptly turn over or give access to the files the former client is entitled to possess; under New York law that is presumptively the entire file unless substantial…
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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.