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 New York lawyer refer a client to an investment firm and accept a commission from that firm for managing the client's settlement money?
No. The opinion concludes that taking a fee or commission from an investment firm for referring a client whose funds came from the lawyer's representation creates a non-consentable conflict, because t…
What are the ethical obligations of a lawyer appointed as stand-by counsel for a pro se criminal defendant in New Hampshire?
Serving as stand-by counsel is not unethical, but counsel must act as a passive source of information rather than an advocate so as not to undermine the defendant's right to self-representation; the o…
Can a Texas lawyer advertise free warrant checks and free bail bond information to draw potential clients into the office, or does giving away that information count as paying something of value to solicit clients?
Per the Committee, yes; offering and giving free bail bond and warrant information to office visitors is not giving 'anything of value' to solicit employment under Rule 7.03(c), but the lawyer must ho…
What must a lawyer do when served with a subpoena for a client's documents or information?
Consult the client if possible and assert all reasonable objections. The opinion concludes that the lawyer must notify or try to notify the client, raise non-frivolous grounds against disclosure, may …
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…
Where must an Ohio lawyer deposit a flat fee paid in advance, and can it be nonrefundable?
The opinion concluded that a lawyer may charge a flat fee paid in advance, but under Prof. Cond. R. 1.15(c) must deposit it in an IOLTA/client trust account and withdraw it only as earned, unless the …
If a lawyer briefly joined the firm that had represented the opposing spouse, then left, can the lawyer keep representing the other spouse in the same divorce when the lawyer never got any confidential information about the opposing spouse?
The opinion concludes the lawyer may continue to represent the wife against the husband on post-decree matters without the husband's consent, because under Rule 1.9(b) the lawyer acquired no informati…
Can a North Carolina lawyer let a law student or another lawyer they are mentoring observe confidential client consultations?
Yes, but only with the client's informed consent. The opinion treats an outside mentee (a law student or a lawyer outside the firm) as someone not covered by the lawyer's duty of confidentiality, so t…
Can a lawyer represent a buyer or seller in a real estate deal in which the lawyer's spouse is the broker earning a commission?
Qualified yes: because the spouse-broker is not the lawyer's client there is no client-client conflict, but the lawyer must assess whether interests in or duties to the spouse create a personal-intere…
When a lawyer represents both an insurer and its insured, can the lawyer forward all settlement funds to the insurer and let the insurer decide how to split subrogation and the insured's uninsured losses?
The opinion concludes the lawyer may not, because the settlement funds belong to both clients; the lawyer must keep disputed sums separate and either hold them until the clients agree or interplead th…
Can an insurance defense lawyer agree in advance to follow an insurer's litigation billing and management guidelines without regard to how they affect the insured?
No. The opinion concludes a lawyer may not commit in advance to comply with insurer litigation guidelines without regard to their effect on the insured; the lawyer must review the guidelines case by c…
Can a Florida lawyer solicit clients in an Internet chat room, and does the lawyer have to file those messages with the Bar?
A lawyer may directly solicit prospective clients in a text-based chat room only if the message meets all the rules for direct written communications, and unsolicited solicitations must be filed with …
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 an in-house lawyer at a nonlawyer-owned company provide legal services to the public through the company, and does ghost-writing the pleadings cure the problem?
No. The opinion concludes a lawyer may not provide legal services to individuals through a for-profit company in which a nonlawyer has an ownership or controlling interest, because it aids the company…
Can lawyers employed by a debt management company provide legal services to the company's customers?
No. If the company's services to customers are legal services, the opinion concludes the employed lawyers may be aiding a nonlawyer's unauthorized practice, sharing fees with a nonlawyer, ceding their…
If I am a lawyer who is personally a party to a lawsuit but represent no one else in it, can I contact the represented opposing party directly without going through their lawyer?
Per the Committee, yes; Rule 4.02(a)'s no-contact rule applies to a lawyer 'representing a client,' so it does not bar a lawyer who is a party but represents no other party from communicating directly…
Can a Texas lawyer hire a collection agency to collect unpaid attorney's fees, and can the lawyer report a nonpaying client to a credit bureau?
Per the Committee, a lawyer may use a collection agency to collect past-due fees if five conditions are met (no longer handling the matter, fee not unconscionable, other reasonable collection efforts …
When a government agency is represented by counsel, can a Colorado lawyer contact its officials or employees directly, or does Rule 4.2's no-contact rule apply?
The opinion concludes that Rule 4.2's ban on contacting a represented organization applies to government bodies, so a lawyer generally may not contact officials who supervise or can bind the agency on…
Can a Washington lawyer run a virtual law office with no physical address, and practice remotely from another state?
Yes. There is no requirement to maintain a physical office, and a Washington lawyer may practice remotely from another jurisdiction if that jurisdiction allows it and the lawyer stays invisible as a l…
Can a lawyer agree to a settlement term that requires turning over the lawyer's own work product to the opposing party?
Formal Ethics Opinion 2016-F-161 concludes that a lawyer may not propose or accept a settlement provision requiring the lawyer to turn over work-product materials if doing so will restrict the lawyer'…
When does a California attorney's blog become regulated advertising under the Rules of Professional Conduct?
Per California Formal Opinion 2016-196, a blog is a 'communication' subject to advertising rules only if it expresses the attorney's availability for professional employment, either by express invitat…
Does a California lawyer's duty of confidentiality protect publicly available information about a current or former client?
Per California Formal Opinion 2016-195, yes. The duty of confidentiality under Business and Professions Code section 6068(e)(1) and former Rule 3-100 covers any information obtained during the represe…
Can a lawyer use an online flat-fee referral service that takes a 'per service marketing fee' calculated as a cut of the fee earned on each matter?
No. A per-service fee tied to the amount the lawyer earns is improper fee sharing with a non-lawyer under Rule 5.4(a), and even if it were not, it is paying for a referral that no Rule 7.2(c) exceptio…
Can an Illinois lawyer store client data with a cloud provider, and is due diligence at signup enough?
Yes, with reasonable safeguards. The opinion concludes a lawyer may use cloud services if she takes reasonable steps to protect client data, and the duty continues; selecting a reputable provider does…
Can a solo-owned LLC name the firm after the owner and two long-term salaried associates, like 'S, T and U Law Firm, LLC'?
Yes. Because the three lawyers actually practice law together and the 'LLC' designation negates any partnership implication, the firm name is not misleading and does not violate Rules 7.1 or 7.5.
Does a firm have a conflict representing a city when one of its paralegals is also a member of that city's council?
No. The opinion concludes the firm may keep representing the city; there is no direct adversity and no significant material-limitation risk under Rule 1.7, and the paralegal's council service is not f…
Must a lawyer report opposing counsel's misconduct right away, or can the report wait until the case or appeal is over?
The lawyer must report misconduct that raises a substantial question about another lawyer's honesty or fitness, subject to client consent under Rule 1.6, but may wait until the matter concludes if imm…
Is an of-counsel lawyer treated as part of the same firm for fee-splitting and conflict-of-interest purposes?
Yes. The opinion concludes an of-counsel lawyer in a close, regular, continuing relationship is in the same firm, so Rule 1.5(e)'s fee-division limits do not apply, but conflicts are imputed under Rul…
When may lawyers pay for an investiture reception or buy a gift for a newly elected judge without improperly influencing the judge?
It depends on the relationship and the gift. A general-membership bar association may host a reception or give a gift as a public testimonial with anonymous contributions; the dollar value of a gift i…
Can a lawyer seek child support from a father when the lawyer already won child support from the same father for a different client?
Only with informed consent. The opinion concludes the new representation is substantially related to the former one and may be materially adverse, so Rule 1.9 requires the first wife's consent and Rul…
Can a lawyer agree to a settlement confidentiality clause that bars disclosing or publicizing the settlement terms?
Yes. A clause that only bars disclosing or publicizing the settlement is permissible, but a clause that bars the lawyer from using information gained in the representation in later matters would viola…
Can a lawyer deliberately not tell the court about binding authority so the court commits reversible error on appeal?
No. The opinion concludes that knowingly withholding controlling authority to manufacture reversible error violates Rules 3.3(a)(1) and 8.4(d). Lawyers who only read about the plan in an online discus…
If a personal injury lawyer believes a hospital's claimed lien or assignment on the settlement is invalid and frivolous, must the lawyer still hold back funds to protect it?
No. Under Rule 1.15(e) a lawyer may refuse to protect a third party's claim on settlement funds if the lawyer believes in good faith that the claim is frivolous or without substantial grounds, though …
Does an out-of-state law firm organized as a professional corporation have to register in Illinois if one shareholder practices there in the firm's name?
Yes. If an Illinois-admitted shareholder practices law in Illinois in the professional corporation's name, the firm must register with the Illinois Supreme Court under Rule 721 to be considered engage…
Can a New York lawyer split a legal fee with a law firm in DC or abroad where nonlawyers have an ownership or management interest?
Yes. Although Rule 5.4 bars New York lawyers from sharing fees with nonlawyers or practicing in nonlawyer-owned firms, the opinion concludes a New York lawyer may divide a fee under Rule 1.5(g) with a…
Does a lawyer's LinkedIn profile count as attorney advertising that needs disclaimers?
Only if it meets all five criteria, including that the profile's primary purpose is to attract paying clients. The opinion concludes that listing skills, practice areas, endorsements, or recommendatio…
Can a lawyer talk directly to a represented public official who asks for direct contact, without the government lawyer's consent?
No. The opinion concludes that once the municipality's counsel has appeared, the no-contact rule (Rule 4.2(a)) bars the lawyer from communicating with the assessor (an adverse party who can bind the m…
Can a lawyer talk directly, without opposing counsel's consent, to a former managerial employee of an opposing organization?
The committee concluded a lawyer may communicate directly with a former constituent of an organization, including a former managerial employee, because the no-contact rule reaches only current constit…
Can a lawyer bill clients for 'paralegal' time when the paralegal is not certified or program-trained?
Yes. The opinion concludes that because New York does not require paralegals to be certified, the title 'paralegal' does not imply certification, so it is not deceptive to use it for an uncertified le…
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…
How long must a Tennessee lawyer keep client files, who owns the file, and what happens to client files when the lawyer retires?
Formal Ethics Opinion 2015-F-160 (later modified by 2015-F-160(a)) concluded that no Tennessee rule requires retaining client files more than five years after a representation ends, though some files …
Can a lawyer with offices in two communities sell one office's practice and keep practicing in the same fields and the same geographic area?
No. The committee concluded that Rule 1.17 does not permit a lawyer who has offices in more than one North Dakota community to sell the practice associated with one office and continue practicing in t…
Can a lawyer work as a lobbyist at a non-law-firm government affairs company alongside nonlawyers, and use 'Esq.' on its letterhead?
A lawyer may provide lobbying and government affairs services at a non-law-firm company alongside nonlawyers, but may not hold out as a lawyer, may not provide legal services, and must make clear to c…
Can a law firm scan signed retainer agreements and destroy the paper originals?
Yes. The opinion concludes that retainer agreements are records for which Rule 1.15(d) requires only 'copies,' so a firm may scan the signed originals into its computer system and destroy the paper, p…
Can a lawyer blind-copy a client on emails to opposing counsel after opposing counsel objects?
Yes. The opinion concludes that because a lawyer is the client's agent, bcc'ing the client on correspondence with opposing counsel is not deceptive under Rule 8.4(c), even over opposing counsel's obje…
Can a retired judge use a trade name for a business that helps lawyers prepare their court arguments?
No. The opinion concludes that advising lawyers on how to prepare specific arguments for court is the practice of law, so Rule 7.5(b)'s ban on trade names applies and the business may not operate unde…
When I deal with a pro se opposing party who may have gotten limited-scope help from a lawyer, can I communicate with them directly?
The opinion recommends asking whether the person is or was represented for any part of the matter. If the person is represented on the issue, Rule 4.2 requires going through counsel; on aspects for wh…
My marketing agency wants me to use the slogan 'Win with [my last name]' and a variant, 'When you want to win, call [my last name],' across internet, TV, radio, and billboard ads. Would that be false or misleading advertising under the rules?
No. The panel held the proposed rhyming slogans are permissible under Rule 7.1 because there is no substantial likelihood that a reasonable member of the public would conclude from them that the attor…
Can a part-time county Department of Social Services lawyer also take assigned-counsel criminal and Family Court cases?
Sometimes. The opinion applies a facts-and-circumstances test: the lawyer may accept criminal or Family Court assignments only where the Department, and the law-enforcement officials the lawyer works …
Can a criminal defense lawyer serve on a District Attorney's conviction integrity committee and still represent criminal defendants?
Yes. The opinion concludes that reviewing wrongful-conviction claims is not a prosecutorial function, and an unpaid volunteer reviewer who is not controlled by and shares no general case access with t…
Can a New York lawyer form a partnership with a foreign patent professional such as a Japanese benrishi?
Only conditionally. The opinion concludes the New York lawyer must first independently confirm that the foreign professional's education is essentially equivalent to a New York lawyer's and that the f…
Does a Texas law firm's website that invites prospective clients to email the firm need a confidentiality warning, and can an accepted warning let the firm use the information against the sender?
Per the Committee, the rules do not require a warning, but without an effective warning a firm that solicits emails may owe a duty to protect a prospective client's confidential information (which can…
Can a lawyer warn of contempt or sanctions in a subpoena duces tecum that is served by mail rather than personally?
The Committee concludes lawyers should not include language threatening sanctions in a subpoena duces tecum served by mail, because sanctions require personal service. It declines to call the threat a…
Can a North Carolina lawyer solicit legal business in person from people she knew through a prior non-legal career, like business contacts from when she was a consultant?
Yes. Rule 7.3(a) exempts in-person solicitation of a person with a prior professional relationship with the lawyer, and that phrase is not limited to prior lawyer-client relationships; it includes bus…
If a third party steals from a North Carolina lawyer's trust account through counterfeit checks, hacking, or a spoofed wire request, must the lawyer replace the stolen client funds?
It depends on whether the lawyer used reasonable care. A lawyer who kept the trust account in substantial compliance with Rule 1.15 and reasonable security measures is not professionally required to r…
Does a North Carolina lawyer who withdrew from a criminal appeal need the former client's consent before discussing the case with, or handing the file to, successor appellate counsel?
No. Unless the former client specifically instructed otherwise, discussing the case with successor appellate counsel and turning over the appellate file are impliedly authorized under Rule 1.6(a), bec…
What can a lawyer do when the client is missing or won't respond, and a court deadline is approaching?
The opinion concludes a lawyer who cannot contact a client must make a diligent, documented effort to locate the client and seek continuances of deadlines. If a lawyer-client relationship exists, the …
Can a lawyer who works for a police-misconduct review board engage in partisan political activity?
No. The opinion concludes that an attorney for a municipal agency that investigates police misconduct, with subpoena power and authority to refer misconduct for administrative prosecution or criminal …
In a joint representation, can a lawyer give one co-client the file and keep that request secret from the other co-clients?
It depends. The opinion concludes co-clients are presumed to share information and to have full file access, but where one co-client asks the lawyer to keep the file request secret from the others and…
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.