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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When a California law firm dissolves, what does each attorney (lead partner, associate on the matter, partner unrelated to the matter) owe each client of the firm under the duty to avoid foreseeable prejudice on withdrawal?
Per California Formal Opinion 2014-190, every attorney at the dissolving firm (regardless of partner/associate status or prior contact with the client) owes the client a duty under former Rule 3-700(A…
Can a non-lawyer represent a party in a court-ordered arbitration in Alabama, and what must a lawyer do if one tries?
No. Absent a statute allowing it, a non-lawyer representing a party in a court-ordered arbitration in Alabama commits the unauthorized practice of law, and a lawyer involved must bring the issue to th…
Can a lawyer advise and represent a medical marijuana business when the activity is legal under state law but a federal crime?
Yes. An Illinois lawyer may advise and provide transactional services to medical cannabis clients under Rule 1.2(d)'s exception for helping a client determine the law's application, and may advise mun…
Can a lawyer wear clothing with the firm's logo and practice area during a TV interview?
Yes. Wearing firm-logo apparel on television is lawyer advertising governed by Rules 7.1 and 7.2; it is permitted as long as the information is truthful and not misleading and the firm name and locati…
Can a State's Attorney negotiate a labor contract with county police while also calling those officers as witnesses in criminal cases?
Yes, after a case-by-case Rule 1.7 conflict analysis. The two roles are generally not directly adverse, but the State's Attorney must check whether the criminal-witness relationships would materially …
Can a lawyer licensed only in another state mail solicitations to Illinois accident victims?
Yes, soliciting Illinois clients is not itself unauthorized practice after the 2010 Rule 5.5 changes, but the mailing must follow Illinois advertising rules: disclose the lawyer is not licensed in Ill…
If a lawyer signs a mediation agreement promising to pay the client's share of the mediator's fee, is the lawyer ethically bound to pay it?
Yes. Although counsel is not normally a guarantor of a client's debt to a mediator, a lawyer who signs an agreement promising to pay the mediator is bound; refusing without legal justification would l…
Can a lawyer employed by a non-lawyer company represent the company's customers in their legal matters?
No. A staff attorney for a financial services company may not handle the customers' Social Security appeals: it creates a materially limiting conflict, risks assisting the company's unauthorized pract…
Can a lawyer serve as a contract prosecutor for a municipality whose policy forbids any dismissals or plea negotiations, eliminating prosecutorial discretion?
No. A municipal policy of no dismissals and no negotiations is inconsistent with Rule 3.8(a), which requires a prosecutor to refrain from prosecuting charges not supported by probable cause; prosecuto…
Can a prosecutor offer a plea deal directly to a defendant who has no lawyer?
Yes. A prosecutor may convey a plea offer to a pro se defendant before a court date, regardless of who initiated contact, but may only present the offer, not recommend it, and must disclose the prosec…
Can a lawyer take cases through an attorney-matching service that pays part of the fee but forbids the lawyer from telling the client what the service paid?
No. Rule 1.8(f) bars the arrangement, because the service's contract prohibits the lawyer from disclosing what it paid, so the lawyer cannot obtain the client's informed consent to the third-party pay…
Can an Illinois lawyer take a security retainer by credit card, and charge the client a service fee for using a card?
Yes to both, with conditions. A security retainer paid by card must go directly into the trust account, not the business account, and any credit-card service fee must be reasonable and disclosed in ad…
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 Montana lawyer agree to indemnify the defendant's insurer against Medicare and other liens in a settlement?
No. The committee concluded a lawyer should not personally agree to hold harmless and indemnify the releasee from any lien claims; holding disputed funds in trust is the permissible alternative.
Can a New York lawyer appear before a judge when the lawyer's part-time secretary also works for a related judge on the same court?
Yes. A lawyer's familial tie to one judge and a secretary shared with that judge do not bar the lawyer from appearing before a different judge of the same court, so long as the lawyer protects client …
A police department's internal investigator wants me to answer questions about my former client, a police officer, and is threatening to draw adverse inferences and call me as a witness if I refuse. Do I have to talk to the investigator?
No. The panel held Rule 1.6 prohibits the inquiring attorney from disclosing information relating to the representation of the police officer to the department's investigator absent the client's conse…
My deceased client's daughter is challenging a trust amendment I drafted that left the house to someone else instead of her, and now her lawyer and the successor trustee (her) are contacting me. What are my obligations if I'm deposed or called at trial?
The panel held the attorney must assert both the Rule 1.6 duty of confidentiality and the attorney-client privilege if contacted by successor counsel or the trustee, or if called as a witness, and can…
Can a lawyer who served as a child's guardian ad litem later represent another interest, such as adoptive parents, in a matter involving that child?
Formal Ethics Opinion 2013-F-157 concludes that a lawyer who served as a child's guardian ad litem may later represent another interest, such as adoptive parents in an adoption, only if that represent…
Can a lawyer whose firm represents a school district also work as a paid coach for that district's sports team?
Yes, unless a reasonable lawyer would conclude there is a significant risk that the coaching interest would adversely affect the lawyer's professional judgment for the district under Rule 1.7(a)(2). T…
Can a New Mexico lawyer charge a contingent fee on an auto-accident property damage claim and charge interest on costs advanced?
Yes to both, within limits. A contingent fee on a property damage claim is permitted if written, reasonable under Rule 16-105(A), and clearly communicated; interest on advanced costs is allowed if rea…
I'm on the city council, and an acquaintance wants me to represent his two sons on charges the city police brought against them. Can I take the case even though the city council appoints the solicitor who normally prosecutes these matters?
Yes, with conditions. The panel held a concurrent conflict exists under Rule 1.7(a)(2) because the representation could be materially limited by the attorney's responsibilities as a council member, bu…
Must a lawyer disclose a 'gross-up' of the purchase price in a residential real estate contract that includes a seller's concession?
Only when the price has in fact been grossed up in connection with the concession. Disclosure is not required, and would be inaccurate, when the seller actually bears an economic cost equal to the con…
Can a lawyer partner with or be employed by a nonlawyer's 'Disability Office' to handle Social Security, Medicaid, and guardianship matters, and split fees with the nonlawyer?
No. The lawyer may not be employed by or partner with the nonlawyer entity to provide legal services, nor share legal fees with the nonlawyer (Rules 5.4(a), (b), (d)). The lawyer may pay the businessp…
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 New York lawyer represent one regular client lending money to another regular client, take an advance waiver to sue the borrower later, and accept stock in the lender as a fee?
Yes, if the conflict consents satisfy Rule 1.7(b), the borrower's confidential collateral information is disclosed only with that client's consent, and a stock fee meets the Rule 1.8(a) business-trans…
Can a Texas lawyer who retired from a part-time municipal court judgeship put 'Retired Judge' on letterhead and business cards?
Per the Committee, yes, but only if the lawyer actually retired (rather than merely left) in the ordinary sense of the word and the designation is not likely to mislead recipients about the lawyer's j…
If a federal government or military attorney has been or expects to be furloughed, can the attorney still defend their agency against other employees' furlough complaints, or is that a conflict of interest?
It is a conflict, but a waivable one. The opinion concludes the attorney's personal interest creates a conflict under Rule 1.7; it may be waived only if the attorney reasonably believes the representa…
Can a lawyer take a cut of a non-legal company's fees for reviewing forms the company prepares for its customers?
The opinion does not flatly forbid it but concludes the arrangement implicates as many as 21 rules and the proposed percentage-of-fee structure raises substantial concerns: it has the indicia of imper…
Can a New York firm call a lawyer "of counsel" if that lawyer lives and practices mainly in a foreign country?
Yes, the opinion concludes, provided the lawyer has a close, regular, and personal "continuing relationship" with the firm under Rule 7.5(a)(4), the title is not otherwise false or misleading, and the…
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…
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 an insurer's non-attorney claims staff review insurance staff counsel's files, which contain the insured client's confidential information?
No, not without the insured's informed consent. The claims-department staff are not part of staff counsel's law firm and are not supervised by counsel, so under Rule 1.6 the confidential information m…
Can a New York lawyer who represents a mentally incapacitated client also represent the client's sister in a guardianship petition when the sister's plan conflicts with the client's stated wishes?
No. The opinion concludes it is a conflict of interest, and because the incapacitated client cannot give informed consent, it is non-consentable; the lawyer may suggest the sister petition and point h…
What do the Rules of Professional Conduct require of North Carolina staff lawyers at a nonprofit public interest law firm run by a nonlawyer executive director?
Staff lawyers at a 501(c)(3) public interest law firm are fully bound by the Rules of Professional Conduct. The arrangement is allowed under N.C. Gen. Stat. 84-5.1 so long as no nonlawyer controls the…
Can a North Carolina lawyer participate in a for-profit online group advertising service that gives each lawyer exclusive rights to a zip code?
Yes, provided each website fully, accurately, and prominently discloses that it is paid group advertising, not a law firm, and not a referral service; that it does not recommend or vouch for any lawye…
Can a North Carolina lawyer copy the opposing party on an email to opposing counsel, and does copying one's own client imply consent to a 'reply all'?
No to the cc without the other lawyer's consent: copying a represented party on an email to their lawyer is a communication prohibited by Rule 4.2(a). And the fact that opposing counsel copied her own…
Can a plaintiff's lawyer agree to personally indemnify the opposing party against third-party claims to the settlement funds, and can a defense lawyer demand it?
No to both. A lawyer may not agree to personally indemnify the opposing party against third-party claims (Rule 1.8(e)), and a lawyer may not demand that opposing counsel make such an agreement (Rule 8…
Can a North Dakota lawyer use an outside collection agency to collect unpaid client fees, and how should the lawyer pay the agency and protect client confidences?
Yes, with two limits. The committee concluded a lawyer may use an outside collection agency or third-party recovery service for unpaid accounts receivable, but the payment to the agency may not be a p…
Under Michigan's amended Code, can a judge serve on the board of, or raise funds for, a nonprofit that supports the judge's problem-solving court?
A judge may sit on an honorary committee, join a general appeal, and let the judge's name be used in event advertising, but may not be an officer or director of an organization likely to appear before…
Can a lawyer sell legal services through a daily-deal or group-coupon site like Groupon?
Coupon-style deals can be structured to comply, but prepaid deals are harder. The opinion concludes the marketer's retained percentage is an advertising cost (not fee sharing) if reasonable, and that …
Can a Colorado lawyer pay or accept referral fees, pay a lawyer referral service, or join a networking group that sends the lawyer clients?
The opinion concludes that a Colorado lawyer may neither pay nor accept a referral fee (Rule 1.5(e)) and may not give anything of value for recommending the lawyer's services (Rule 7.2(b)), but may pa…
Can a North Carolina prosecutor offer a post-conviction agreement that trades the prosecutor's non-opposition to a motion to vacate for the prisoner's waiver of civil claims?
Yes, but with care. There is no per se ethical bar, because that would deny a defendant the option to offer a civil-claims waiver to win the prosecutor's support for vacating a conviction. But the pro…
Can a public defender cross-examine a former client who is now a prosecution witness in an unrelated case?
The opinion concluded that a lawyer is not automatically barred from representing a client when an adverse witness is a former client in an unrelated matter, but cross-examining the former client abou…
Can a New York lawyer who used to be a judge's law clerk appear, or help others appear, before that same judge after leaving the clerkship?
Yes, on new matters. Rule 1.12(b)(2) only bars appearing in a matter in which the lawyer participated personally and substantially as a clerk, absent all parties' informed consent confirmed in writing…
Does a New York lawyer violate Rule 3.2 by refusing to give adverse counsel copies of pleadings that are already in the public court file?
No. The opinion concludes that declining to share documents available from the court is not 'causing' needless expense under Rule 3.2, because a mere refusal to cooperate is not an affirmative step; t…
After a matter settles, can a New York lawyer keep the leftover retainer in escrow at the client's request as an advance for unspecified future work?
Yes. The opinion concludes the leftover balance becomes an advance payment retainer, which the parties may agree to treat as client funds held in escrow or as the lawyer's own funds, subject to refund…
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 real estate lawyer accept a referral fee from a home security company for clients who sign up using a code on flyers in the lawyer's office?
Yes. The opinion concludes that nothing bars a lawyer from being paid for providing passive space for a third party's flyers when the lawyer does not recommend the service and it is unrelated to the l…
Can Texas lawyers from two separate Texas firms run an out-of-state joint venture under a name that combines their two Texas firm names?
Per the Committee, generally no; even though the name might be allowed in the other state, the Texas rules against misleading combined firm names follow Texas lawyers, and Texas has the more significa…
After a firm loses a pitch (beauty contest), can it represent the other side in the same matter?
The opinion concludes that under Rule 1.18 a firm owes a prospective client duties even when no representation follows: it cannot use or reveal confidential information learned in the consultation, an…
Can a criminal defense lawyer counsel a client to accept a plea agreement that waives the lawyer's own future ineffective assistance of counsel at sentencing or in postconviction proceedings?
The Committee concludes it violates Rule 1.7 for a defense lawyer to counsel a client to enter a plea agreement waiving the lawyer's prospective ineffective assistance at sentencing or other postconvi…
Can a lawyer sign an ERISA health plan's subrogation agreement and personally guarantee that the client will repay the plan out of a personal injury recovery?
No. The Committee concludes a lawyer may not personally guarantee a client's repayment to an ERISA plan, because a personal guarantee is improper financial assistance to a client under RPC 1.8(e). A l…
Some nonlawyers want to start a consulting firm and have me run its 'legal department,' splitting my fees with the firm and letting it cover my overhead and advertising. Is there any way to structure this so it's ethical?
No. The panel held the proposed arrangement violates Rule 5.4 (fee-sharing with nonlawyers, partnering with nonlawyers to practice law, and practicing law in a firm in which nonlawyers hold an ownersh…
A client with diminished capacity wants to appeal but refuses to sign the Notice of Appeal the statute requires, so the appeal will be dismissed. What should the lawyer do?
The opinion concludes that under Rule 1.14, if the lawyer believes the client is at risk of substantial harm and cannot adequately act in her own interest, the lawyer should take reasonable protective…
Can a Utah lawyer take part in an on-site program that finances client retainers through a third-party lender?
Not without curing the conflict. Participating in an on-site retainer-financing program creates a personal-interest conflict under Rules 1.7(a) and 1.8(a), but the lawyer may proceed by obtaining the …
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…
Can a Florida lawyer let multiple title insurers audit a single real estate trust account without the clients' consent?
Not where the account holds funds for clients unrelated to the auditing insurer, unless the affected clients give informed consent or the lawyer reasonably concludes the audit is necessary to serve th…
Can a lawyer split a fee with a firm in a jurisdiction that allows fee sharing with nonlawyers?
Yes. The opinion concludes that a lawyer subject to the Model Rules may divide a fee through a single client billing with a lawyer or firm in a jurisdiction that permits nonlawyer fee sharing, even th…
Can a group of New York lawyer-mediators who are not a firm run joint ads and a shared website and phone line without it being a prohibited paid referral arrangement?
Yes. The opinion concludes that joint advertising listing each member's name, experience, and biography, where callers choose their own mediator rather than being assigned one, is permitted group adve…
When a New York lawyer is general counsel to a closely held corporation, must the lawyer raise an issue that helps the company but hurts some directors personally, and whom does the lawyer represent?
The opinion concludes the lawyer represents the entity, not the directors or shareholders, and must raise an issue needed for the company's informed decision while explaining to the affected constitue…
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.