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 lawyer take a contingent fee in a quiet-title action that is paid as a partial ownership interest in the very land being litigated?
Yes, it may be permissible. A contingent fee paid as a partial ownership interest in the disputed real property is allowed under the Rule 1.8(i)(2) contingent-fee exception, but it must comply with Ru…
Can a lawyer practice under a name different from the one on file with the bar, or use a pen name for writing unrelated to law?
Practicing law under a name materially different from the one on the State Bar's records can be misleading under ER 7.1, so a name change must be made on the bar's records first. For activities that a…
Can an Illinois estate planning lawyer charge a fee based solely on a percentage of the value of the client's estate?
No. The opinion concludes that charging a fee calculated solely as a percentage of the estate's value, without regard to time expended and the other Rule 1.5(a) factors, is unreasonable and improper.
Can a lawyer apply a client's unearned retainer surplus left in trust on one matter to cover the client's unpaid fees on a different matter?
No. Unearned fees in a client trust account may be withdrawn only as fees are earned on the matter for which they were advanced or refunded to the client; a lawyer may not move them to offset an unpai…
Can an Illinois lawyer collecting on a bounced check refer it to the state's attorney for criminal prosecution to pressure the debtor in the civil suit?
No. The lawyer may return the check and tell the client the client may pursue criminal charges on the client's own, but the lawyer may not present or participate in presenting criminal charges to gain…
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 an Assistant County Attorney serve as a mediator in a case where another lawyer from the same office represents the agency, and what conflicts arise?
Yes, with disclosure. An ACA may mediate a Child Permanency Mediation in which another ACA represents the county DSS, but must disclose his office connection; the ACA representing DSS has a personal c…
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…
Does a debt-collection lawyer give prohibited legal advice to an unrepresented debtor by including a legally mandated statute-of-limitations notice in a collection letter?
No. Including a notice whose exact wording is prescribed by law, such as New York City's required statement that the limitations period on a debt has expired, is not 'legal advice' to an unrepresented…
Can a New Hampshire lawyer outsource litigation support like document review, including to a company overseas, and must the client be told?
Yes. Outsourcing does not itself violate the rules, but the New Hampshire lawyer must protect confidentiality, avoid conflicts and improper fee sharing, supervise the work competently, avoid assisting…
Can a lawyer the insurer hired and pays to defend an insured later represent that insured against the same insurer for breach of contract or bad faith?
The committee concluded the answer is no, because there is a significant risk the representation would be materially limited by the lawyer's responsibilities to the insurer and by the lawyer's own int…
Can a New York lawyer sell discounted legal services through a 'deal of the day' or group-coupon website like Groupon?
Yes, if the ad is not misleading and discloses that no lawyer-client relationship forms until the lawyer checks for conflicts and competence. The lawyer must fully refund a coupon buyer who cannot be …
Can a law firm provide or subcontract lien-search services for its clients, and what can it charge?
Yes, but a firm may not bill clients more than its actual cost for a third-party search, and when it performs lien searches itself or through an affiliate the conduct rules apply to the nonlegal servi…
In Colorado, when may one lawyer represent both sides of a deal, such as buyer and seller or a husband and wife?
The opinion concludes there is no per se bar to representing multiple parties in a transaction, but the lawyer must first reasonably believe the lawyer can adequately represent each client and then ob…
Can a lawyer oppose a lawyer from the firm where the lawyer's spouse is a partner, and is that conflict imputed to the spouse's whole firm?
Only with the client's informed written consent. A lawyer opposing a five-lawyer firm in which her spouse is senior partner has a personal-interest conflict under Rule 1.7(a)(2); the opposing lawyer i…
Can a lawyer personally serve legal process on a party the lawyer knows is represented by counsel?
Yes. Service of process is authorized by law, so the no-contact rule does not bar it; the lawyer may confirm identity and ask for an acknowledgment of receipt, but may not go beyond service to discuss…
Can a full-time prosecutor accept appointment to a court referee panel and oversee foreclosure proceedings?
Yes. No per se rule bars a full-time Assistant District Attorney from serving as a foreclosure referee, but Rule 1.7(a)(2) conflicts must be avoided case by case, and Rule 1.12 restrictions may apply …
Can an insurance defense lawyer send a settlement-payment notice directly to a represented claimant, without opposing counsel's consent, when a Texas Department of Insurance bulletin encourages it?
Per the Committee, no. The notice is a communication about the subject of the representation with a represented person, barred by Rule 4.02(a) absent the other lawyer's consent or authorization by law…
When a paralegal moves to a firm on the opposing side of a matter she worked on at her old firm, is the new firm disqualified, or can screening cure the conflict?
The opinion concludes that a nonlawyer's disqualification is not imputed to the new firm so long as the nonlawyer is screened from information about, and participation in, the matters she worked on at…
Can an Ohio judge recommend or endorse a lawyer who is running for an elected office in a bar association?
The opinion concluded that a judge may not recommend or endorse a candidate for a bar association elective office. By providing such recommendations or endorsements, a judge abuses the prestige of jud…
Can a lawyer take part in a home sale where the price is grossed up to match a seller's concession but the gross-up is not disclosed?
No. If the lender refuses to let the documents disclose that the sale price was increased by the same amount as the seller's concession, the undisclosed gross-up is a misrepresentation under Rule 8.4(…
Can a plaintiff's lawyer agree, as part of a settlement, to hold the defendant and insurer harmless from the client's liens or government claims, and can defense counsel demand it?
No. The committee concluded a lawyer may not sign a settlement release indemnifying the opposing party against the client's lien or subrogation liability, because it is prohibited financial assistance…
Can a lawyer refer a client to a title company the lawyer has a financial interest in, and still represent the client in the same deal?
Yes to the referral, but only if the title company does purely ministerial work. If the company performs non-ministerial tasks (such as title insurance or recommendations), the lawyer's personal-inter…
When spouses at different firms end up on opposite sides of a case, is the conflict imputed to their colleagues, and can it be waived?
Not automatically. A Rule 1.10(h) spousal conflict is not automatically imputed to colleagues in either firm, but may be imputed on the facts; where imputed, in civil matters the conflict is often wai…
Can a lawyer admitted in New York and based in DC share New York litigation fees with a non-lawyer partner in a DC firm?
Yes, ordinarily. New York Rule 5.4 bars fee-sharing and non-lawyer partnerships, but under the Rule 8.5 choice-of-law analysis, a lawyer who principally practices in a jurisdiction that allows such a …
Can a New York lawyer's website include links to banks, real estate companies, or other businesses?
Yes. A lawyer may include informational links to other businesses' websites as long as neither the link nor the linked content creates confusion or misrepresentation; reciprocal links require more car…
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 with a passive ownership stake in a real estate brokerage represent a buyer, seller, or lender in a deal where that brokerage is the broker?
No. A lawyer with a substantial passive investment in a closely held real estate brokerage may not represent a buyer, seller, or lender in a transaction in which that brokerage acts as broker; the law…
Can a lawyer have a law clerk run legal research on the clerk's student Westlaw or Lexis account for firm work?
No. The opinion concludes that a lawyer who encourages or participates in a law student's breach of the student's Westlaw or Lexis academic-use agreement violates the Rules of Professional Conduct, in…
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 criminal defense lawyer interview a complaining witness who is represented by counsel in a separate, related criminal matter, without that counsel's consent?
Yes. Rule 4.2's no-contact bar protects only a represented party to the matter, and a non-party witness is not a party, so defense counsel may interview the witness without the consent of the lawyer r…
A title insurance company I'm an approved attorney for wants unconditional access to my IOLTA account and client files for its audits. Can I give it that access without asking my clients?
No, not for everything. The panel held that a title insurer's unlimited audit access to a lawyer's client files and IOLTA account records, without the affected clients' express or implied consent, vio…
My firm has an old real estate escrow account that hasn't been touched since 2008, and we're not sure how much of the $122,000 in it is ours versus clients' or third parties'. Can we just close it out and move the money?
No. The panel held the firm must keep the entire amount in an IOLTA account until it determines which funds belong to the firm and which belong to others, disbursing only the portions whose ownership …
Can a Utah lawyer give a financial or charitable gift to an indigent litigation client?
Rule 1.8(e) bars financial assistance in connection with litigation, including paying a client's living expenses, so regular monthly payments to an inmate's commissary account are prohibited; but Utah…
Is there a conflict of interest when a Maine lawyer represents an opposing lawyer as a client in an unrelated matter?
Not automatically. The lawyer must apply Rule 1.7's significant-risk test to decide whether a personal-interest or material-limitation conflict exists; if it does, the lawyer may proceed only with a r…
Can a Texas lawyer pay an annual local bar fee, used to supplement court-appointed counsel pay, in exchange for not being regularly appointed to represent indigent family court litigants?
Per the Committee, yes. Paying into a court-linked bar program that funds appointed counsel is not an improper attempt to avoid appointment without good cause under Rule 6.01; the rule's good-cause ex…
Can a D.C. lawyer accept and keep a referral fee from a nonlawyer service provider, such as a financial services firm, for sending the client there?
The opinion concludes that a lawyer who refers a client to a nonlawyer service provider may accept and retain compensation from the provider for the referral, provided the criteria of Rule 1.7(c) and,…
Can a New York attorney advertisement portray a fictitious law firm, such as arguing against a made-up opposing counsel?
Yes. An attorney advertisement may portray a fictitious law firm so long as it is not misleading about the association of lawyers in the advertiser's firm. Rule 7.1(c)(2) bars the device only where it…
Can a certified law student appear in court for a client without the supervising lawyer physically present, if the client, the lawyer, and the judge all agree?
The Committee concluded that no. Under SCR 49.5, a supervising lawyer who is not part of the William S. Boyd School of Law clinical program cannot be excused from being physically present while a cert…
Can a lawyer who is also a licensed clinical social worker practice law through the same LLC she set up for her social work practice?
The Committee concluded that yes, an attorney may practice law and operate as a licensed clinical social worker under the same LLC, provided she does not represent the same clients in both capacities …
Can a criminal plea agreement require the defendant to waive all ineffective-assistance-of-counsel claims except those affecting the plea itself?
The Committee concluded that no, a plea agreement may not waive ineffective-assistance-of-counsel claims beyond the plea itself; any waiver must exclude all such claims. Defense counsel has a personal…
May a lawyer who serves on a company's board of directors prepare an estate plan for a client who wants to name that same company as a beneficiary?
The Committee concluded that no, a lawyer-director should not prepare an estate plan naming that company as a beneficiary, because the lawyer's fiduciary duties to the company and inside financial kno…
Is it an ethics violation for a lawyer to fail to pay a process server, filing service, or other vendor for costs incurred on a client's behalf?
The Committee concluded that a lawyer's failure to pay a third-party vendor for client costs is generally a contract matter for the courts, not an ethics violation. It becomes professional misconduct …
Can a lawyer own and operate a nonlegal ancillary business, such as a medical-management company, and refer the lawyer's own clients to it?
The Committee concluded that a lawyer may own and operate a nonlegal ancillary business so long as the lawyer's conduct conforms to the ethics rules and the business is not a vehicle for improper soli…
Can a lawyer disburse settlement proceeds from the trust account before the settlement check clears, if the lawyer is willing to cover a bounced check?
The Committee concluded that no, a lawyer may not disburse settlement proceeds (to anyone, including the client) until the check or draft has cleared the banking process and been physically deposited …
Can a lawyer licensed in another state associate with a Nevada law firm to handle transactional matters for Nevada clients?
The Committee concluded that an out-of-state lawyer admitted and in good standing elsewhere may associate with a Nevada lawyer to provide transactional services to Nevada clients, so long as the Nevad…
Can a North Carolina lawyer contact a government records custodian to request public records when the government is an adverse party represented by counsel?
Yes. The opinion concludes the no-contact rule (Rule 4.2) does not bar a lawyer from communicating directly with a public-records custodian to request, identify, and inspect records under the North Ca…
Can a North Carolina lawyer keep disputed legal fees in the trust account when the client demands return of entrusted estate funds?
No. The opinion concludes that funds entrusted to a lawyer to be safeguarded or managed, and not designated as payment of a fee, may not be held in trust as 'disputed' funds under Rule 1.15-2(g); the …
Must a North Carolina lawyer tell the court when a clerk's error wrongly dismissed the client's charges?
Yes. The opinion concludes that when a lawyer knows a clerk's error dismissed all of his client's charges contrary to the negotiated plea, the lawyer must inform the court or clerk of the apparent err…
Can a North Carolina lawyer offer a discounted legal service on a Groupon-style daily-deal website that keeps a percentage of each sale?
Yes. The opinion concludes a lawyer may advertise a discounted service on a 'deal of the day' or group-coupon website, and the percentage the website keeps is the cost of advertising rather than prohi…
Can a lawyer take part in a home sale where the price is grossed up to match a seller's concession, if every document discloses both the concession and the gross-up?
Yes, but only with full disclosure. A lawyer may participate in a residential sale that grosses up the price to offset a seller's concession only if every document stating the price discloses that the…
Can an out-of-state lawyer provide debt settlement services to Ohio clients found through the internet under the temporary-practice rule?
The opinion concluded that an out-of-state lawyer is not authorized to provide debt settlement legal services (investigation, negotiation, and other nonlitigation activities) on a temporary basis in O…
Can a solo practitioner use her spouse's law firm address and phone number as her own contact information, and does occasionally using the firm's office make her part of the firm for conflicts?
A solo practitioner may not list her spouse's firm address and phone number as her own where the phone is answered in the firm's name, unless she takes steps to dispel the impression that she is part …
Can a lawyer offer to refund all legal fees if a traffic or other Vehicle and Traffic Law charge is not dismissed or reduced?
The ban on contingent fees in criminal matters does not reach simple traffic infractions, which the Vehicle and Traffic Law deems noncriminal, but it does reach VTL violations that are misdemeanors or…
Is a lawyer who is representing himself, or who is a represented party, bound by the no-contact rule when communicating with an opposing party who has counsel?
Yes. A lawyer who is a party to a matter, whether appearing pro se or represented by his own counsel, is subject to Rule 4.2's no-contact rule. He may not communicate directly with a counterparty he k…
When a lawyer serves as a volunteer mediator, must the lawyer disclose to the parties that he or she is a lawyer?
Sometimes. Rule 2.4(b) requires a lawyer serving as a third-party neutral to tell unrepresented parties that the lawyer is not representing them and, where a party does not understand the role, to exp…
Does a state attorney representing the Department of Revenue in Title IV-D child support cases owe duties of loyalty or confidentiality to the parents involved?
No. By statute the lawyer represents only the Department, not the parents, so no duties of loyalty or confidentiality run to the parents, and there is no conflict in later proceeding against a parent …
What can a lawyer licensed in another state or country do in a Virginia law firm without being admitted in Virginia?
A non-Virginia lawyer may work in a Virginia firm or keep a continuous Virginia office if limited to federal practice that does not require Virginia admission or to the law of a jurisdiction where the…
What may a lawyer post on the firm website: former partnership positions in other firms, and favorable quotes from a lawyer-rating publication?
A lawyer may accurately list former partnership positions in other firms in a website biography, and may quote bona fide professional ratings or favorable comments from a ratings publication, provided…
Can lawyers who belong to two or more law firms avoid imputing each firm's conflicts to the others by screening and limiting one firm's practice?
No. When a lawyer is associated as a partner, associate, or of counsel with more than one firm, all of those firms are treated as one for conflicts, so every firm's conflicts are imputed to all of the…
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.