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 New York lawyer pay an online platform that scores users' anonymized workplace-experience entries and connects the lawyer with a user (with the user's consent) without violating the solicitation, advertising, or fee-payment rules?
The opinion concludes the resulting lawyer-user communication is neither a solicitation nor an advertisement (the user initiates it by consenting to disclosure), and the lawyer's payment is a permissi…
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 lawyer pay to be listed on a website that promises to match clients with carefully vetted, highly qualified attorneys?
No. The opinion concludes that a website claiming to connect clients with carefully vetted, excellently qualified attorneys is an advertisement on the lawyers' behalf, and the lawyers' payment to be l…
Is it advertising or prohibited solicitation for a lawyer to ask a fertility clinic to list him on its website as an assisted-reproduction lawyer?
It is advertising, not solicitation. The opinion concludes that asking to be listed on the clinic's website is attorney advertising subject to Rule 7.1, but is not a solicitation because it is not dir…
Is an out-of-state firm's mass email to a list of New Yorkers seeking class-action plaintiffs a regulated solicitation?
Yes. The opinion concludes that an email blast to a list of specific New York individuals seeking class-action plaintiffs is both an advertisement and a solicitation under Rules 7.1 and 7.3, and New Y…
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 real estate lawyer take closing referrals from her own paralegal, who is also a broker earning a commission on the deal?
Yes, if the lawyer has no stake in the commission and the referrals do not create a significant risk to her independent judgment under Rule 1.7(a)(2); if such a risk exists she needs informed written …
Can a lawyer working a non-legal job sign an employer's non-solicitation agreement that could be read to restrict practicing law after the job ends?
No, if the clause restricts the lawyer's right to practice law after the job, Rule 5.6(a)(1) bars it even though the job is not legal work. The lawyer may sign if the clause is expressly made subject …
Can a real estate lawyer and a spouse who is a real estate broker send each other client referrals?
Yes, with limits. The lawyer may take referrals from the broker spouse only if the spouse is uninvolved in the transaction and follows the lawyer-solicitation rules, and may refer clients to the spous…
Can a law firm sponsor parties, sporting events, or raffles to promote its name?
Yes. Sponsoring receptions, sporting events, and raffles is permissible branding outside the advertising rules if the primary purpose is name recognition. The firm may not use those occasions for in-p…
Can a lawyer who is also a CPA make unsolicited cold calls offering accounting services that overlap with legal work?
No. When the accounting services are not distinct from the lawyer's legal services, Rule 5.7(a)(1) makes all the Rules apply, including Rule 7.3's ban on in-person and telephone solicitation of strang…
May a lawyer who took custody of another lawyer's client files solicit those clients for legal work?
Yes. A lawyer who holds a prior lawyer's client files only as a custodian, not through a sale of practice, may offer legal services to those clients if the lawyer reviews the files only as needed to f…
Can a lawyer pay a for-profit online service a flat fee for leads to potential clients?
Yes. A lawyer may pay a for-profit lead service for client leads if the service picks lawyers by transparent, mechanical methods, does not analyze the client's problem or recommend any lawyer, and its…
Can a New York law firm send an educational newsletter to a broad audience, and accept payment from a real estate brokerage to offset the cost?
Yes to both, with limits. An educational newsletter is not advertising and may go beyond current and former clients; if it primarily promotes the firm it is advertising and must meet Rules 7.1 and 7.3…
Can a lawyer host educational seminars and webinars for non-lawyers, publicize them, and discuss representation with attendees afterward?
Yes. The opinion concludes a lawyer may organize and present such programs and follow up about representation, subject to the advertising and solicitation rules: a hiring pitch can turn the program in…
Can a lawyer give clients a credit on their bill in exchange for rating the lawyer on a review website like Avvo?
Yes. A lawyer may give clients a $50 credit for rating the lawyer on a site like Avvo, provided the credit is not contingent on the content of the rating, the client is not coerced or compelled to rat…
Can a New York lawyer reply to someone's online post asking for a lawyer, and can a lawyer post on Reddit or Twitter to find plaintiffs for a case?
A lawyer may respond, in the manner invited, to a potential client who posts online asking to be contacted; that response is not solicitation, though describing the lawyer's services to secure retenti…
Can a New York lawyer run a blog with an opt-in box offering a free report in exchange for contact information used to market the lawyer's services later?
Yes. A lawyer may operate a blog with an opt-in box offering a free report for a reader's contact information, and the blog itself is not a solicitation. Later emails using that contact information to…
Can a New York lawyer contact a prospective client who, on a current client's recommendation, asked to be contacted?
Yes. The opinion concludes a lawyer may contact such a prospective client as long as the lawyer did not initiate the contact and paid nothing for the recommendation; an unsolicited referral that the p…
Can a New York law firm advertise that it offers second opinions to people who already have a lawyer?
Yes. The opinion concludes a firm may advertise its availability to give second opinions to represented parties; the no-contact rule does not apply because the firm is not yet involved in the matter, …
Are a law firm's press releases and tweets about shareholder lawsuits subject to New York's attorney advertising and solicitation rules?
Yes. The opinion concludes press releases and tweets aimed at potential clients are advertisements and solicitations: press releases keep a three-year retention, tweets a one-year retention and an 'At…
Can a New York settlement require the claimant's lawyer not to solicit or refer other people with similar claims against the settling party?
No. The opinion concludes Rule 5.6(a)(2) bars settling a claim on the understanding that the claimant's lawyer will not later solicit new clients with similar claims against the settling party, or ref…
Can a lawyer advertise by sending commercial posts via email to members of internet message boards?
Yes. The opinion concludes that a lawyer may advertise through commercial email posts to members of internet message boards if the ad is not false or misleading, complies with the Rules, and carries '…
Can a lawyer mail a cover letter and an informational brochure to accountants and bankers hoping they will refer clients to the lawyer?
Yes, if the advertising rules are met. The mailing is permitted as advertising, but the lawyer may not have the accountants or bankers solicit clients on the lawyer's behalf, and may not give them any…
Can a New York lawyer donate legal services to be auctioned at a charity fundraiser?
Yes. The opinion overrules N.Y. State 524 and permits donating legal services for a charity auction, subject to conditions: the lawyer must be competent for the offered service, disclose limits includ…
If a firm markets practice-succession planning to solo lawyers, is that advertising, and does a lawyer's agreement to take over a colleague's matters trigger the fee-sharing rule?
No on both. Communications only to other lawyers are not advertisements or solicitations, and a referral or take-over agreement does not make two lawyers 'associated' for fee-sharing unless their firm…
Can a New York law firm buy a mailing list to offer recipients a free educational newsletter and seminars?
Yes. Buying a list to email an opt-in offer for an educational newsletter and seminars is permissible, because educational programs not primarily about the firm are neither advertising nor solicitatio…
Can a law firm put logo-branded promotional gifts in a hospital's welcome package for all patients?
Yes. A firm may include logo-branded items like pens or calendars in a hospital welcome package for all patients; gifts marked only with the firm's name and contact information are not advertising, so…
Can a New York lawyer take foreclosure-case referrals from a non-lawyer company that telephoned the clients and collects a fee covering the lawyer's services?
No. The opinion finds the arrangement flawed on several grounds: the company's telephone solicitation is imputed to the lawyer, the client's single payment to the company effectively shares a legal fe…
Can a New York lawyer post an educational legal video online and hand out flyers inviting the public to watch it?
Yes. Producing a bona fide educational legal video and distributing flyers inviting people to view it is generally not advertising or solicitation. But if the video or the flyers urge viewers to hire …
Can a New York law firm pay a non-lawyer marketing employee a bonus based on how many clients they bring in?
Yes, a firm may pay a non-lawyer marketing employee a bonus tied to the number of clients obtained through advertising, as long as the bonus is not calculated from the fees those clients pay. The firm…
Can a New York lawyer be listed in a bar association's online member directory and appear as a 'featured attorney' on its website?
Yes. A member may be listed in the association's online directory if the listing complies with Rule 7.1, and may appear as a randomly selected 'featured attorney' only if the page carries a disclaimer…
Can a lawyer answer legal questions in chat rooms or on social media and offer to take the person as a client?
A lawyer may give general answers (not individual advice) to legal questions on real-time or interactive sites like chat rooms, but may not solicit there. If a person specifically asks to retain the l…
Can a New York law firm pay a non-lawyer marketer a bonus based on the new business they bring in?
A firm may employ a non-lawyer marketer who does only the advertising and solicitation a lawyer could do, and may pay a profit-sharing bonus tied to overall firm profits or a percentage of base salary…
Can a lawyer cut a contingent fee to share it with a non-attorney tax-reduction firm that refers clients, or be retained by that firm to serve its customers?
No. A lawyer may not reduce a contingent fee so the difference flows to a non-attorney tax-reduction firm that refers clients, because that is impermissible fee-splitting (or a cooperative business ar…
Can a lawyer offer a prize as an incentive for people to connect with the lawyer on Facebook, LinkedIn, or other social networking sites?
Yes, assuming the prize offer is not itself illegal. But if the offer's primary purpose is retention of the lawyer, it becomes an advertisement subject to Rule 7.1, and if it is also targeted at speci…
Can a law firm pay a nonlawyer business developer a percentage of grants its clients are awarded?
It depends on whether the grant writing is legal services. If it is, Rule 5.4(a) bars paying the nonlawyer a percentage of grants and Rules 7.1, 7.2, and 7.3 limit the marketing. If it is distinct non…
Can a lawyer have a paralegal hand-deliver law firm name-change announcements to nearby homes?
Yes, but only without personal contact. The announcement is an advertisement and a solicitation, so a paralegal who leaves it on a door or porch is fine, but a paralegal who comes into personal contac…
Can a lawyer email other lawyers asking them to refer cases, such as injuries from a particular drug, without it being a regulated solicitation?
Yes. Emails seeking referrals from other lawyers are not 'advertisements' or 'solicitations' under Rules 7.1 and 7.3, but they must still comply with Rule 7.4 (specialization claims) and Rule 8.4(c) (…
Does a New York lawyer's advertisement that includes a client testimonial or endorsement have to carry the 'Prior results do not guarantee a similar outcome' disclaimer?
Yes. Under New York Rule 7.1(e)(3), any advertisement containing a client or former-client testimonial or endorsement must include the disclaimer 'Prior results do not guarantee a similar outcome,' re…
When a New York lawyer sells a nonlegal product like shelf corporations to non-clients, do the lawyer advertising and solicitation rules apply to that business?
It depends on whether legal advice is involved and whether the lawyer's status is visible. If the lawyer gives no legal advice and is not held out as a lawyer, the Rules generally do not apply; but if…
Can a New York lawyer contact lay organizations to offer to speak to them about legal topics, and do the advertising and solicitation rules apply?
Yes, a lawyer may contact lay organizations to offer to speak on legal topics. But if the communication is made expressly to encourage the audience to retain the lawyer or firm, it becomes an advertis…
Can a New York lawyer monitor a client's investments for potential claims for free, then handle any resulting lawsuit for a fee?
Yes. The committee concludes a lawyer may review a client's portfolio for potential securities-fraud claims without charge, even though the lawyer may later be retained, for a fee, to litigate any cla…
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…
Can a New York lawyer pay to participate in a website that analyzes a prospective client's problem, picks lawyers to respond, and lets them contact the client?
Not as described. The committee concludes a lawyer may not participate in a paid website that analyzes the prospect's problem and selects lawyers (an improper referral), and may not phone the prospect…
Can a lawyer run a radio or TV ad using a celebrity client's testimonial, name the celebrity, and pay the celebrity for their time?
A lawyer may use a celebrity client's testimonial, and name the celebrity, so long as it is not false, deceptive, or misleading and the ad meets the record-keeping rules. The lawyer may not pay or giv…
Can a New York lawyer join a business networking organization whose members are required to bring or exchange referrals?
No. The committee reaffirms that a lawyer may not participate in an organization that requires the lawyer to refer clients in exchange for other members' referrals, and concludes a lawyer also may not…
Can a lawyer pay a marketing company a flat fee for a bundle of pre-screened client leads, here for federal tax-relief clients?
No. Paying a marketing organization for leads to potential clients is compensation to obtain employment, which DR 2-103(B) prohibits, and neither of that rule's narrow exceptions applies.
Can a New York lawyer refer clients to the lawyer's own non-legal business, and can that business refer customers back by phone or in person?
The opinion concludes that if the lawyer gives the DR 1-106 notice that the non-legal services are not covered by the attorney-client relationship, the lawyer may refer clients to the business without…
Can a lawyer join a business networking group whose members are required to refer clients to one another?
The opinion concluded that a lawyer may not participate in a business networking organization that requires members to refer clients to, and accept referrals from, other members in exchange for those …
Can a lawyer join a real estate broker's program that selects the lawyer to represent both the home buyer and the lender at a reduced flat fee?
The opinion concluded no: the lawyer's dependence on the broker's continued approval created a personal-interest conflict that could not be cured by consent, and the broker's promotion of the selected…
Can a lawyer who is on a nonprofit's referral list and receives referrals from it make a charitable donation to that organization?
The opinion concluded yes, as long as the donation is clearly charitable and is not part of a tacit arrangement to compensate the organization for the referrals; otherwise it would be paying for refer…
Can a lawyer join a private divorce-mediation referral service that advertises and routes callers to mediators by location?
The opinion concluded that a lawyer may not participate in a divorce-mediation referral service that no bar association operates, sponsors, or approves, because lawyer-provided mediation is the practi…
Can a lawyer run ads or send letters to a company's employees inviting them to join an employment discrimination class action?
The opinion concluded that a lawyer may advertise for and mail letters to potential class members inviting them to join class action litigation, including targeted recipients, as long as the lawyer fi…
Can a lawyer join a barter exchange and accept 'trade dollars' for legal services?
The opinion concluded a lawyer may participate in a commercial barter exchange if the exchange does not control the lawyer's professional judgment or steer clients to particular lawyers, its advertisi…
Can a lawyer act as a bail bond agent or own an interest in a bail bond agency that sells bonds to the lawyer's clients?
The opinion concluded that, assuming no legal bar, a lawyer may profit from a bail bond agency's sale of bonds to non-clients, but may not act as bail bond agent for a person the lawyer represents, be…
Can a lawyer put advertising materials in an information packet that a car dealer hands to people buying cars?
The opinion concluded a lawyer may place advertising material in a car dealer's information package for car buyers, so long as the ad is not false or misleading, the dealer does not discuss or endorse…
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…
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 …
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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.