Legal Ethics Opinions
Free state and local bar legal ethics opinions with plain-English summaries, full citations, and source links on every page.
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Can a bar grievance committee tell a Lawyers' Assistance Committee the name of a lawyer under investigation for a substance abuse problem without breaching its oath of secrecy?
The Board concluded that grievance committee members may share information about a lawyer with a recognized Lawyers' Assistance Committee without violating their oath of secrecy under Gov. Bar R. V(43…
Can a relator amend a formal attorney-discipline complaint before the hearing without taking the new counts back to a probable cause panel?
The Board concluded that a formal complaint before it may be amended by the relator before a hearing, by motion to the hearing panel, without presenting the additional counts to a probable cause panel…
Must a probate judge disqualify from an uncontested estate when one of the lawyers is related to the judge within the third degree?
The Board concluded that under Canon 3C(1)(d)(ii) a judge must disqualify when a lawyer in the proceeding is related to the judge or the judge's spouse within the third degree, and that a probate judg…
Can an Ohio judge serve as a trustee of a charitable foundation that funds law school scholarships, and what limits apply to fund-raising and use of the judge's name?
The Board concluded that a judge may serve as a trustee of a charitable scholarship foundation if it would not ordinarily come before the judge, may be listed among the trustees without selective emph…
Is an Ohio lawyer who serves as a labor arbitrator subject to lawyer discipline for conduct in the arbitration?
The Board concluded that an Ohio-licensed lawyer who serves as a labor arbitrator remains subject to the Code of Professional Responsibility for that conduct, even when also bound by the Code of Profe…
Can an Ohio law firm and its lawyers agree to a non-competition covenant restricting a lawyer's right to practice after leaving the firm?
The Board concluded that DR 2-108(A) prohibits a lawyer from being party to a partnership or employment agreement that restricts the right to practice law after the relationship ends, except as a cond…
Can an Ohio lawyer sign letters on a client's own letterhead as 'special counsel' or 'of counsel' without being listed at the top of the letterhead?
The Board concluded that a lawyer who devotes substantial professional time to a client may appear on the client's letterhead and be designated 'general counsel' or by a similar reference under DR 2-1…
Can an out-of-state law firm represent a lender on a loan to an Ohio borrower secured by Ohio property without engaging in the unauthorized practice of law?
The Board concluded that an out-of-state firm does not engage in the unauthorized practice of law by representing out-of-state lenders on Ohio-secured loans, including preparing documents, negotiating…
If a prospective client shared documents but declined to be a plaintiff, can the lawyer use that information to bring a related class action for other clients?
No. The opinion concluded a lawyer may not use confidences or secrets learned from a client or prospective client to pursue a lawsuit for others without consent, and the duty applies even if disclosur…
My firm's new associate is admitted in another state and will take the Rhode Island bar exam soon. Until he passes, can his business cards, letters on firm stationery, and a hiring announcement omit that he is not yet admitted in Rhode Island?
No. The panel held that omitting the associate's non-admission from business cards would violate Rules 7.1(a) and 7.5(a), and that signing firm correspondence or publishing a newspaper hiring announce…
I'm a sole practitioner who is also opening a temporary-lawyer placement agency with a non-lawyer. Is explaining an ABA opinion to other lawyers the practice of law, can I say I'm a Rhode Island lawyer in the agency's ads, and can the agency waive its placement fee when I take an assignment myself?
The panel held that explaining ABA Formal Op. 88-356 to another attorney is not the practice of law and the non-lawyer principal may relay the same information, that the attorney may indicate she is a…
I want to run a newspaper ad headed 'Divorce' that asks whether readers know their legal rights and lists my name, address, phone, and fees. Does it comply with the Rhode Island advertising rules?
Partly. The panel held the ad complies with Rule 7.1 (not false or misleading) and Rule 7.2 (permissible newspaper advertising naming the responsible lawyer), but must add Rule 7.4's disclaimer that R…
Years ago my firm briefly represented a corporation trying to buy assets from an estate, while the estate's heirs were separately bidding on other assets with their own counsel. The deals never collided. Can I now represent those heirs against the estate's executor, even though a firm lawyer may be a witness?
Yes. The panel held that Rule 1.9 does not bar the representation because the former client (the corporation) and the current clients (the heirs) only could have become adverse over one asset and neve…
My personal injury client agreed, verbally in one case and in a signed doctor's lien in another, that treating physicians would be paid from the settlement. Now that the money is in, the client wants me to keep it and not pay the doctors. Can I follow that instruction?
No. The panel held that where the client, medical providers, and attorney all agreed the doctors would be paid from settlement proceeds, an attorney who helps the client renege violates Rule 1.2(d)'s …
When a lawyer represents clients in administrative hearings that allow nonlawyer agents, must the lawyer disclose being a licensed lawyer, and can the lawyer claim nonlawyer status?
The opinion concluded a lawyer need not affirmatively disclose, on his own, that he is licensed, but may not claim nonlawyer status or mislead the client, tribunal, or third persons about it; a refusa…
If a lawyer receives a cash fee over $10,000, do the confidentiality rules bar the lawyer from filing the IRS cash-transaction report (Form 8300)?
No. The opinion concluded no ethics rule prohibits a lawyer from complying with the IRC requirement to report a cash fee over $10,000, because the confidentiality rule allows disclosure required by la…
Can an Arizona lawyer join a for-profit, nationwide TV advertising and referral service like 'Bankruptcy Attorneys Trust'?
The opinion concluded that an Arizona lawyer may not participate in the described service. It was a for-profit referral service not operated, sponsored, or approved by a bar association, so it failed …
Must a government lawyer entering private practice mark an announcement letter to fellow in-house counsel 'Advertisement'?
The opinion concluded that ER 7.2(e)'s 'Advertisement' labeling requirement does not apply to a letter sent only to fellow attorneys announcing the lawyer's move to private practice, because the label…
Can an Arizona law firm mail brochures and newsletters to non-client businesses, publicize free speaking engagements, and use Welcome Wagon to reach new residents?
The opinion concluded that the firm may do all three. A brochure-and-newsletter package mailed to non-client businesses, and brochures distributed through Welcome Wagon, are permitted if they comply w…
Does a lawyer have to keep an open client trust account if his practice rarely holds client money?
The committee concluded that a lawyer whose practice does not generate client proceeds (such as personal injury or real estate settlement funds) and who takes no advance fees need not maintain an open…
When no fees are owed, is a former client entitled to the entire file, including the lawyer's notes, internal memoranda, and multiple drafts?
The committee concluded that, where no fees are outstanding, the client is entitled to the entire contents of the file (including attorney's notes, internal memoranda, and multiple drafts), the lawyer…
Does Florida's no-contact rule apply to U.S. Department of Justice attorneys who communicate with represented suspects or witnesses?
The opinion concluded that Florida Rule 4-4.2 contains no exception for Justice Department attorneys; the rule has no 'authorized by law' exception, and the Supremacy Clause does not exempt federal pr…
Can a lawyer pay a referral fee to a referring attorney who became suspended or disbarred after the fee-division agreement was signed?
The opinion concluded that a referring attorney who is suspended, disbarred, or resigns after a proper fee-division agreement is signed may be paid on a quantum meruit basis for the responsibility ass…
Must a criminal defense lawyer tell the court that the client has left the state to avoid a court appearance?
The opinion concluded that, under most circumstances, defense counsel may not divulge that a client has left the state to avoid a court appearance until required at the scheduled appearance, and even …
Can a lawyer operate a private lawyer referral service with only one participating attorney, or with attorneys who only share advertising costs?
No. The opinion concluded that advertising a private lawyer referral service with only one participant was misleading, so the service could not operate until at least one other attorney joined, and a …
Can a criminal defense lawyer interview a represented codefendant or cooperating witness over the objection of that person's lawyer, if the person consents?
No. The opinion concluded that the no-contact rule barred a lawyer, or the lawyer's investigator, from interviewing a represented codefendant or cooperating witness about the matter once the person's …
Can a lawyer close a real estate deal brokered by the firm that employs the lawyer's own secretary as a part-time broker?
The opinion concluded that a lawyer may close such a transaction, but must consider whether his independent judgment for the lender and broker would be materially impaired by a desire to advance his s…
Can a criminal defense lawyer interview a child prosecuting witness without the district attorney's consent?
The opinion concluded that a prosecuting witness is not represented by the district attorney for purposes of the no-contact rule, so defense counsel may interview the witness without the DA's consent,…
Can a retired Michigan judge who takes visiting-judge assignments also serve as a private mediator or arbitrator?
Yes, if the retired judge does not mediate or arbitrate during a judicial assignment, is disqualified as judge from matters in which the judge mediated or arbitrated (and vice versa), and the work doe…
Can a lawyer give a second opinion to someone already represented by another lawyer without violating the no-contact rule?
Yes. The opinion concluded that giving a disinterested second opinion to a person represented by other counsel, without interfering in the existing representation, does not violate Rule 4.2, which tar…
When an insurer hires a lawyer to defend its insured, may the lawyer let the insurer's claims personnel sit in on the attorney-client interview?
Qualified no. The opinion treats the insured as the client; counsel must keep independent judgment and guard client confidences, and must resist an insurer's demand to attend interviews. Insurer repre…
Can a lawyer sign a settlement that bars him from representing future clients against a party, discloses his clients' identities, and drops his bar complaints against opposing counsel?
The opinion concluded that the lawyer may not enter the proposed settlement. Disclosing the names of franchisees he had represented would violate ER 1.6 confidentiality; agreeing not to contact or rep…
What must a judge do upon discovering that someone representing a party is not licensed to practice law?
The opinion concluded that judges have a duty to prevent the unauthorized practice of law, must instruct court staff to check pleadings for a State Bar 'P' number, must stop a proceeding when unauthor…
Can a lawyer take a statement from an employee of a represented corporate opponent, and does it depend on the employee's rank?
The opinion concluded a lawyer may take a statement from an employee of a represented corporate opponent without that corporation's lawyer's consent only if the employee is not in a position to bind t…
Can in-house counsel accept indemnification from a corporate employer under the company's articles or bylaws?
At the time, the committee concluded that the plain language of DR 6-102(A) did not ethically permit a corporate attorney-employee to accept such indemnification, and it suggested a rule change as the…
Can in-house counsel represent the employer at an administrative hearing where counsel will be the only witness, and can the hearing examiner overrule an objection?
The committee concluded that if in-house counsel's testimony is relevant to the central issue, it is improper to represent the employer in the administrative hearing while testifying, unless the testi…
May a lawyer who serves on a corporation's board disclose a client's financial trouble to the corporation?
The opinion concluded that if the lawyer learned of the trouble in the professional relationship, the confidentiality rule bars disclosure to the corporation; whether non-disclosure conflicts with his…
Rhode Island has an old criminal statute barring lawyers from advertising divorce or alimony services. If I run a newspaper ad listing 'divorce, support, domestic relations' as a practice area, am I violating the ethics rules?
Yes, technically. The panel held that because R.I. Gen. Laws § 11-27-20 imposes a criminal penalty on a lawyer who advertises divorce or alimony services, running such an ad is a criminal act, and und…
My wife is a bankruptcy court clerk with purely ministerial duties limited to Chapter 11 filings. Can I represent debtors filing under Chapter 7 and Chapter 13, different chapters than the ones she handles?
Yes. The panel held that representing clients filing under 11 U.S.C. Section 701 et seq. (Chapter 7) and Section 1301 et seq. (Chapter 13) does not involve any conflict between the clients' interests …
My former divorce client's ex-husband subpoenaed me to testify and produce records about an inconsistency between the final decree and the judge's order on the marital home. My former client hasn't waived privilege. What can I properly disclose?
The panel held that absent either a court order or the former client's express consent, the attorney may not testify as to any confidential matters covered by Rule 1.6, and may not reveal any of the c…
Can a Mississippi lawyer share an office suite with non-lawyer professional counselors and also run a business doing legal research for other lawyers?
The opinion concluded a lawyer may do both: share office space with non-lawyers as long as the arrangement is not a law-practice partnership and client files are kept inaccessible to them, and provide…
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…
Must a lawyer tell the court when a newly found witness contradicts an affidavit the lawyer already submitted?
The opinion concluded that, in a post-trial ineffective-assistance proceeding, counsel who had submitted one witness's affidavit and later found a second witness who denied the statement was not oblig…
When a client and a third party both claim settlement money in the lawyer's trust account, can the lawyer interplead the funds into court?
The opinion concluded that where the client had assigned part of a settlement to a healthcare provider but then revoked the assignment and told the lawyer not to pay, the lawyer was justified in not p…
Can a legal aid lawyer hand an unrepresented indigent person her card in court and offer to represent them for free?
The Board concluded that a legal services lawyer may ethically make an in-person, no-fee offer to represent an indigent defendant who has appeared in court without representation, because the Code's b…
Who does a child support enforcement (CSEA) attorney represent, and what conflicts limit a part-time CSEA attorney's private practice?
The Board concluded that the CSEA attorney's client is the state-at-large in both AFDC and non-AFDC cases, so the custodial parent must be told at the outset that the attorney represents only the stat…
Can an Ohio lawyer who is also a licensed real estate agent represent the same client as both lawyer and realtor, and how must the lawyer handle letterhead, fees, and office sharing?
The Board concluded that a lawyer should not concurrently serve one client as both lawyer and realtor, may not list a non-legal business like 'realtor' on legal letterhead or signage under DR 2-102(E)…
Could a Minnesota lawyer file an attorney lien against a client's homestead?
Under this now-repealed opinion, a lawyer committed misconduct by filing an attorney lien against a client's homestead, or the client's interest in it, without first obtaining a valid waiver of the cl…
Can a lawyer refuse to let a former client find out what is in the client's file?
The committee concluded that refusing to let a former client ascertain the contents of his file is presumptively prejudicial and violates DR 2-108(D); the lawyer must explain and furnish a list of the…
How should a lawyer compute a contingent fee when the case resolves through a structured settlement that pays the client over time?
The fee must be reasonable and the computation method must be stated in the fee contract (Rule 1.5). If the lawyer takes the fee in a lump sum, the opinion says it should be a percentage of the discou…
May a Kentucky lawyer practice law for profit under a trade name, given that ABA Model Rule 7.5 permits non-misleading trade names?
No. The opinion concluded Kentucky lawyers may not practice under trade names; the Supreme Court deleted the trade-name language from Rule 7.5 and rejected trade names in Simon v. KBA, so the rule is …
My newspaper ad has graphics, says my office is 'equipped to handle' certain types of cases, gives my name and contact info, and doesn't compare me to other lawyers. Does it comply with the advertising rules?
Mostly. The panel found the advertisement complies with Rule 7.1 (not false or misleading) and Rule 7.2 (permissible newspaper advertising with the attorney's name included), but held that to clearly …
I defend an insurance company's workers' comp claims against one of its large self-insured-up-to-a-deductible clients. A different worker, employed by an unrelated policyholder of the same insurer, now wants me to represent her against the insurer directly. Can I take her case with everyone's consent?
Yes, if the informed-consent requirements are met. The panel held the attorney may properly represent the injured worker in connection with her work-related injuries provided he obtains consent from a…
A residential mortgage lender wants to pay me for closing and title work, but keep the 'document preparation' portion of the fee itself as extra compensation for documents it prepared. Is that fee-splitting arrangement proper?
No. The panel held it is a violation of Rule 5.4 and G.L. 1956 Section 11-27-3 for the attorney to participate in either fee arrangement described, because if document preparation is a legal service, …
My law license was suspended, but I'm still serving as an administrator (represented by counsel) in one probate estate and as a co-executor (unrepresented) in another. Can I keep serving in these roles during my suspension?
No. The panel held that for the attorney to act as administrator, even though represented by counsel, or as a co-executor during the term of his suspension from the practice of law would be a violatio…
I collected a lien pay-off owed to a client I filed suit for years ago, but I can't locate him despite calling, mailing to his last known address, and requesting a postal check. What else must I do, and what happens to the money if I can't find him?
The panel held that attempting to contact the client by telephone and telephone company records, by mail, and by postal check satisfies the attorney's obligation to exercise diligence in locating him …
An out-of-state firm with no Rhode Island-licensed lawyers wants to open a Rhode Island office under its own name, listing me on the stationery as 'Of Counsel' with jurisdictional limitations noted. Is this proper?
Not as described. The panel held it would not be proper for the attorney to staff a Rhode Island office of the out-of-state firm if his relationship is, in fact, less than that of partner or associate…
My client discharged me after I'd hired and paid for expert witnesses out of pocket in his malpractice case. I gave his new lawyer the expert reports with the experts' names redacted, and I want reimbursement before I release the names. Do I have to turn over the experts' identities under Rule 1.16(d)?
No. The panel held that the experts' identities resulting from the inquiring attorney's own research are his work product and, as such, do not constitute "papers and property to which the client is en…
I want to mail unknown business owners a letter saying my firm 'emphasizes collections and bankruptcies' and 'knows the area inside and out,' with 'Advertisement' marked in the same type size as the body. Does this comply with Rules 7.3 and 7.4?
Almost. The panel found the letter proper under the Rules of Professional Conduct except that the word 'Advertisement' must be printed in type one size larger than the largest type used in the letter …
How these opinions are useful
- Understand the rules: Ethics opinions interpret how the rules of professional conduct apply to real fact patterns.
- Persuasive authority: Not binding like court discipline decisions, but state bar formal opinions carry substantial weight.
- Working guidance: The committee shows lawyers what the rule actually requires day to day (conflicts checks, fee letters, intake screens, withdrawal mechanics).
- Practice research: Cite ethics opinions in fee agreements, engagement letters, conflict waivers, and disqualification motions.