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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Must a lawyer who is a notary, or who employs a notary, file the notary journal publicly when doing so would reveal confidential client information?
No. The opinion concludes the confidentiality rule, adopted under the judiciary's constitutional power over the practice of law, overrides the general notary statute, and because Rule 1.6 is permissiv…
Can a New Jersey lawyer charge a contingent fee in a municipal-court motor vehicle or disorderly-persons case, such as refunding the fee if the charge is not reduced?
No. The Committee concluded that RPC 1.5(d)(2)'s ban on contingent fees in criminal cases also applies to quasi-criminal municipal-court matters, so lawyers may not offer to refund fees if a motor veh…
Can an immigration lawyer sign a client's USCIS Form I-864 Affidavit of Support as a joint sponsor while still representing the client?
The opinion concludes that a lawyer may not execute an Affidavit of Support (USCIS Form I-864) as a joint sponsor on behalf of an immigration client while continuing to represent that client. The affi…
Can a lawyer who represented an incapacitated client in a guardianship appointment later represent both that client and the guardian in a proceeding to end the guardianship?
Yes, if the conflict is consentable. The dual representation involves differing interests under Rule 1.7(a)(1), but where the parties are aligned and the matter is court-supervised, the lawyer may pro…
My new client's estranged wife sat in on our five-minute initial meeting where he handed over his file, but I never spoke with her, advised her, or took her on. Does her presence at that meeting create a conflict that blocks me from representing him at his deportation hearing?
No. The panel held that the estranged wife's mere attendance at the initial consultation did not make her a client or a prospective client under Rule 1.18, so it does not create a Rule 1.7(a) conflict…
Could a lawyer name a firm with a surname followed by 'Intellectual Property' or the initials 'IP'?
The opinion concluded that it was improper to name a law firm a lawyer's surname followed by 'Intellectual Property' or 'IP', because including an area of practice or specialization in a firm name is …
Can a Texas lawyer use public-record information learned while representing a former client against that client, for example to collect unpaid fees?
Generally no, unless the information is generally known or an exception applies. The Committee concludes such public-record information is confidential under Rule 1.05, but Rule 1.05(c)(5) lets the la…
Can a Texas lawyer bill a client more for a third-party expense (such as medical bills negotiated down) than the lawyer actually paid?
No, absent disclosure and agreement. The Committee concludes that recouping more than the amount actually paid, including not passing on a discount, violates Rules 1.04(c), 1.03(b), and 8.04(a)(3) unl…
After committing malpractice, can a Texas lawyer settle the client's malpractice claim with the client when the client has no independent counsel?
Yes, but only after the lawyer ends the representation in the affected matter, discloses the malpractice, advises the now-former client in writing that independent representation is appropriate, and a…
Can a lawyer for an incapacitated client ask the court for a new surrogate decision-maker when the current one is making decisions against the lawyer's advice?
The opinion concludes that a lawyer for an incapacitated client with a surrogate decision-maker should ordinarily defer to the client's chosen surrogate and give the surrogate's choices the same weigh…
When does a temporary contract lawyer's conflict get imputed to the firm that hires the lawyer for a project?
The opinion concludes that whether a temporary contract lawyer's individual conflicts are imputed to a hiring firm under Rule 1.10 depends on the nature and extent of the lawyer's relationship with th…
What must an Oregon lawyer do with money held in trust for a client the lawyer can no longer locate?
The opinion holds the lawyer must keep the funds safeguarded in trust, use reasonable diligence to find the client, and, once the funds are presumed abandoned under Oregon's unclaimed-property act, re…
Can a Minnesota lawyer use unencrypted email or a cell phone to send confidential client information?
Yes. The opinion allows a lawyer to use unencrypted email and digital cordless or cellular phones, within a digital service area, to communicate confidential client information without violating Rule …
Can a Minnesota lawyer charge a former client for copying their file or hold the file for unpaid fees?
The opinion defines what counts as client files, papers, and property, allows a copying charge only if the client agreed in writing before termination, bars conditioning return of client files on paym…
When must a Kentucky lawyer report another lawyer's or a judge's misconduct, what does it mean to 'know' of a violation, and when does confidentiality or KYLAP excuse reporting?
A lawyer must report only when the lawyer actually knows of a violation that raises a substantial question about another lawyer's honesty, trustworthiness, or fitness (or a judge's fitness), and only …
Can a paralegal who changes firms write to the old firm's clients to announce the move and solicit their business?
The opinion concludes a lawyer has a professional obligation not to encourage or allow a nonlawyer employee to disclose a former employer's client confidences, including client identities, for solicit…
Must a prosecutor dismiss a DWI charge once a suppression order has eliminated all the evidence of guilt?
The opinion concludes a prosecutor who knows she has no admissible evidence to present must dismiss the charge before calling the case for trial, rather than calling it, offering no evidence, and forc…
Can a lawyer draft documents like a confession of judgment for an unrepresented opposing party to sign?
The opinion concludes a lawyer may prepare and present a settlement document such as a confession of judgment for an unrepresented adverse party to sign, after disclosing the lawyer represents the oth…
Must a North Carolina lawyer scrub metadata before sending electronic documents, and may a lawyer mine an opponent's metadata?
The opinion concludes a lawyer who sends an electronic communication must take reasonable precautions under Rule 1.6 to prevent confidential information in metadata from reaching unintended recipients…
Can a lawyer serve as a foreclosure trustee while the lawyer's firm keeps representing the lender on unrelated matters?
Yes, within limits. The opinion concludes a lawyer may serve as substitute trustee in a foreclosure and continue representing the beneficiary bank on unrelated matters, because the trustee role is unl…
Can a Texas lawyer share legal fees with, or honor a referral agreement signed by, a lawyer who was suspended from practice?
No. The Committee concludes a suspended lawyer is a non-lawyer for purposes of Rule 5.04(a), so sharing or promising to share fees with one is prohibited, and a referral agreement with a suspended law…
Can three separate Texas law firms run joint ads under the name of one of them plus the word 'Group'?
No. The Committee concludes that a name like 'Jones Smith Group' is a trade name, and because Rule 7.01(a) bars practicing under a trade name, using it in advertising is prohibited by Rule 7.01(e) and…
Under a county public-defense contract, must the contract specify a fair and reasonable amount for investigation costs, including routine ones?
Yes. The committee, declining to assess past conduct or contract funding levels, concluded that RPC 1.8(m)(1)(ii) requires a public-defense contract to specifically designate a fair and reasonable amo…
Can a lawyer run advertising testimonials that state specific settlement or award dollar amounts, and is a disclaimer required?
Yes, if the former client consents, confidences are kept, and the ad is not misleading; a disclaimer is required only where one is needed to keep the advertisement from being misleading under RPC 7.1.
Can a lawyer tell discharged jurors after a verdict about evidence that was excluded at trial?
The committee concluded post-verdict disclosure of excluded evidence is not a per se violation; it violates RPC 3.5(c) only if the communication involves misrepresentation, coercion, duress, or harass…
Can a lawyer accept referrals from mortgage brokers and pay the broker for later services, or pay a marketer only for clients who actually retain the lawyer?
A lawyer may accept broker referrals, but the committee concluded the lawyer cannot pay the broker for post-referral services as a quid pro quo for the referral, nor pay any third party only for clien…
When may a California attorney use email, public wireless internet, a home wireless network, and a firm-monitored laptop to handle a client's matter without violating the duties of confidentiality and competence?
Per California Formal Opinion 2010-179, it depends on the technology and circumstances. Before using a technology with confidential client information, the attorney must evaluate (1) the security of t…
When an Alabama lawyer is hired to help administer or probate an estate, who is the lawyer's client, the personal representative or the estate's beneficiaries?
Ordinarily the personal representative is the lawyer's sole client, not the beneficiaries. The lawyer must clarify under Rule 4.3 that he does not represent the beneficiaries, and if the personal repr…
How long must an Alabama lawyer keep a client's file, who owns it, and can the lawyer store client files in the cloud?
The file belongs to the client and must be kept at least six years after the matter ends (longer or indefinitely for wills, estate, tax, criminal, and business files). The lawyer must return the entir…
Can an Alabama lawyer offer limited-scope (unbundled) services and ghostwrite pleadings for a pro se litigant without disclosing the help to the court?
Yes. Rule 1.2 permits unbundled legal services, and a lawyer ordinarily need not disclose ghostwriting a pro se litigant's pleading if a valid limited-scope agreement exists, the involvement is not ma…
May a lawyer who is a partner in one law firm also become a partner or 'of counsel' at a second firm while keeping the first partnership?
Yes, with caveats. A lawyer may practice in or be 'of counsel' to a second firm, but the two firms are treated as a single firm for conflict-of-interest and imputed-disqualification purposes, the lawy…
At a real estate closing, may a lawyer tell the borrower or lender that an appraisal-rights waiver attached to the mortgage is potentially unenforceable because it is not on the signature page?
If the lawyer represents only the borrower, the lawyer may disclose the potentially defective waiver to the borrower; whether the lawyer must disclose is a standard-of-care question outside the commit…
May a plaintiff's lawyer agree, as a settlement condition, not to use the defendant's name for commercial or publicity purposes in future advertising?
No. A settlement may not be conditioned on the lawyer relinquishing a right inherent in the practice of law. Because lawyer advertising is a protected First Amendment right, a term barring the plainti…
Is it a conflict under Rule 1.9 for a lawyer or firm that handled a buyer's real estate closing to later represent a homeowners association enforcing covenants against that buyer?
No. Without more, conducting a residential closing is not substantially related to a later HOA action to enforce covenants or restrictions against the buyer, so Rule 1.9 does not bar the representatio…
When a county uses e-recording and debits a lawyer's account for recording and transfer fees, is that account a trust account, and may a lawyer share control of it with a non-lawyer (the Clerk or Register)?
An account holding client or third-party funds is a trust account governed by Rule 1.15 and ACR 417. A lawyer may share control of an account with a non-lawyer only if it holds neither client funds no…
Can a lawyer agree to use a referral source's affiliated title insurer in exchange for continued client referrals?
No. An exclusive, mandatory referral arrangement that requires the lawyer to steer clients to the referral source's affiliated title company violates the lawyer's duty of independent judgment (Rules 2…
May a lawyer limit representation to the collaborative law process, where the lawyer must withdraw if the case fails and litigation begins, and does that withdrawal provision create a non-consentable conflict?
Yes. A lawyer may limit the scope of representation to the collaborative law process with the client's informed written consent. The withdrawal-on-failure provision creates a potential conflict under …
Can a law firm let an outside IT vendor access its network and client files without breaking confidentiality rules?
Yes, on or off site, if the firm makes reasonable efforts to protect client information under Rules 1.6 and 5.3, such as a written confidentiality agreement with the vendor. Whether access is remote o…
Is it an ethics violation for a Virginia lawyer to have a sexual relationship with a current client during the representation?
Virginia has no rule that flatly bans it, but the committee concludes a lawyer should refrain, because a sexual relationship begun during the representation risks violating the rules on competence, in…
Can a Family Court Commissioner later serve as guardian ad litem in a case the commissioner already acted on?
The opinion concludes that under SCR 20:1.12(a) a lawyer who participated personally and substantially in a matter as a Family Court Commissioner (an adjudicative officer) cannot later act as guardian…
Can a lawyer admitted in another U.S. state, but not in New York, serve as in-house general counsel for a New York corporation and keep an office in New York?
The committee declined to answer. Whether an out-of-state lawyer may serve as New York in-house counsel is a question of law under the Judiciary Law, not the Rules of Professional Conduct, because New…
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…
Does a New York lawyer have to respond to unsolicited letters from incarcerated people asking the lawyer to take their case?
No. The committee concludes that no Rule of Professional Conduct requires a lawyer to answer unsolicited mail from someone who is neither a client nor an adversary, and a person who sends such a lette…
When a Virginia lawyer's license is suspended or revoked, which firms can employ that lawyer, in what roles, and can the lawyer run a non-legal business that serves law firms?
The employment bar in Rule 5.5(a) is triggered by the date of the acts that led to discipline, not the date of conviction or of the bar's action. A firm associated with the lawyer on or after that dat…
Can an Ohio judge donate to a charity from personal or campaign funds and accept name recognition, in an election or non-election year?
The opinion concluded that a judge may make charitable contributions from personal or judicial campaign funds in an election or non-election year, and may receive name recognition (with or without the…
Can an Ohio judge thank jurors for their service by giving them a letter, certificate, or memento such as a bookmark imprinted with the judge's name and picture?
The opinion concluded that a judge may thank jurors by a verbal expression, a letter or certificate of appreciation, or a small but dignified memento such as a bookmark, which may carry the judge's na…
If a personal injury lawyer hires an outside firm to resolve a client's health care liens, can the cost be billed as a litigation expense or only as part of the contingent fee?
The opinion concluded that the lawyer may use professional judgment to bill outsourced health care lien resolution either as part of the contingent fee or as a litigation expense; either way the clien…
Can a Maine lawyer pay a client's former non-lawyer Social Security advocate out of the lawyer's fee?
Not as a fee split. Rule 5.4 bars sharing fees with a non-lawyer, so the proper route is for the advocate to file a fee petition with the SSA; if that is not possible, the lawyer may refund part of th…
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 Texas law firm make a member agree that, if he leaves, he won't solicit the firm's clients and will pay the firm a percentage of fees he later earns from them?
No. The Committee concludes the agreement violates Rule 5.06(a) because it restricts a lawyer's right to practice after leaving, and the fee-payback term separately violates Rule 1.04(f) because it di…
Did North Dakota's bar ethics committee uphold or withdraw its opinion limiting 'Super Lawyers' advertising?
The committee withdrew Ethics Opinion 08-02 and declined to issue a new opinion on advertising the 'Super Lawyers' designation. It explained that the New Jersey Supreme Court had vacated the opinion 0…
Does a firm's past collection work for a company bar it from defending a lawyer in a disciplinary case arising from that company's later sale?
No, on the facts. The committee concluded the firm's former collection work for the company was not the same as or substantially related to the lawyer's disciplinary proceeding (which arose from a sal…
Where can a North Dakota lawyer deposit credit card payments for earned fees versus advance retainers, and must a subordinate lawyer report a supervisor's credit card trust-account practice?
Credit card payments for already-earned fees and costs go in the firm's general operating account. For refundable advance retainers, the committee called it the most practical approach to route the cr…
Does Rule 5.4(a)'s ban on sharing legal fees with nonlawyers stop a lawyer from paying part of a settlement or fee award to her own client?
The opinion concludes that, in the two situations presented, a lawyer's payment to her own client does not violate Rule 5.4(a)'s prohibition on sharing legal fees with nonlawyers, because that rule ex…
How many years of conflict-checking data must a law firm migrate when it changes conflicts software?
The opinion concludes a firm must convert at least the last six years of conflict-checking data to its new system as a minimum standard of reasonable care, while the duties of confidentiality and conf…
Can a lawyer give a corporation or a freelance nonlawyer a blanket letter of supervision to represent parties in North Carolina unemployment hearings?
No to a corporation, and not without real supervision for an individual. The opinion concludes a lawyer may not agree to supervise a business corporation or its employees, because a corporation cannot…
Can a North Carolina lawyer copy another lawyer's brief or form language without attribution?
Yes. The opinion concludes it is not dishonest or unethical for a lawyer to incorporate excerpts from another lawyer's brief, form, or brief-bank document without attribution or consent, so long as th…
Must a Minnesota lawyer tell a current client about the lawyer's own potential malpractice?
Under this now-repealed opinion, a lawyer who knew their conduct could be the basis for a non-frivolous malpractice claim by a current client materially affecting the client's interests had duties und…
Must a lawyer turn over a brief and affidavit to a former client when the documents were built on the client's fraudulent misrepresentations?
The opinion concludes that a lawyer who drafted a brief and affidavit in reliance on a former client's fraudulent factual misrepresentations has no duty under Rule 1.16(d) to surrender those documents…
May a lawyer use firm letterhead to solicit political support or charitable contributions?
Yes, as long as the lawyer does not advertise the lawyer's experience or services. The committee concluded a lawyer may send a letter on firm letterhead soliciting political support or a charitable co…
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.