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 who is not a certified specialist use a trade name that names a practice area, like 'Midlands Bankruptcy Counselors, LLC'?
The committee concluded a lawyer may include a practice area in a firm trade name even without specialist certification, as long as the firm actually concentrates in that area; naming a practice area …
When a municipal lawyer advised a department head in his official capacity, can the lawyer later oppose that former official in his own suit against the city and use his deposition to impeach him?
Yes. The committee concludes the lawyer's client was always the municipality, not the official personally, so Rule 1.9's former-client duties do not apply and the official-capacity testimony may be us…
Can a law firm accept a 2% 'brokerage fee' from a collection agency for referring small accounts the firm could not collect, when the client consents?
The committee concluded the brokerage fees are not unethical fee sharing per se, because the sharing comes from a lay agency's income rather than a lawyer paying for business under Rule 7.2(c); but th…
Can a law firm doing the title search in a real estate closing accept a share of the title insurance premium from the real estate company, on top of charging the client for the closing?
The committee concluded the arrangement does not violate Rule 5.4 and is permissible if the firm properly supervises the title work, charges no excessive or double fee under Rule 1.5, and fully disclo…
Can a lawyer who is being suspended or disbarred sell their law practice to another attorney under Rule 1.17?
The committee concluded a lawyer who has already been suspended or disbarred may not sell the practice, because a trustee steps in and the lawyer no longer has active clients to notify under Rule 1.17…
When a client fires one of two lawyers who agreed to split a fee and then objects to paying the discharged lawyer, can the other lawyer honor the agreed split, and what should happen to the disputed money?
The committee concluded that, absent the client's genuine written agreement to joint responsibility, a fee division under Rule 1.5(e) must be proportional to each lawyer's services; merely sending the…
Can a lawyer practice under the trade name 'Capitol Counsel, L.L.C.' without implying a connection to a government agency?
The committee concluded the trade name 'Capitol Counsel, L.L.C.' does not violate Rule 7.5, because 'capitol' refers to a legislative building rather than any state agency and is unlikely to imply a c…
If a lawyer referral service gives a lawyer a prospective client's contact information but the client never calls, may the lawyer reach out to see if they still need help?
The committee concluded that, absent the client's consent, Rule 7.3(a) bars the lawyer from making in-person or live telephone contact to solicit a prospective client who only received the lawyer's na…
Can a military prosecutor try a defendant for whom the prosecutor once prepared a will and estate-planning documents in an unrelated matter?
The committee concluded yes: under Rule 1.9 the prior estate-planning work is not substantially related to the later criminal charges and the prosecutor learned no confidential information bearing on …
Can South Carolina local counsel serve as a passive 'potted plant' for pro hac vice out-of-state counsel and get a prospective waiver of any malpractice claim?
The committee concluded that whether a prospective malpractice waiver is valid under Rule 1.8(h) turns on whether it is permitted by law: the client-representation requirement is met because the out-o…
Can an Illinois lawyer negotiate a client's out-of-state injury claim from his home office without associating local counsel?
Yes, on these facts. The opinion concludes an Illinois lawyer who negotiates a client's medical claim in another state from his own office, where no suit is filed, does not commit the unauthorized pra…
Can a lawyer who once did legal work for a company later sue that company's parent corporation, or the company itself, on behalf of the company's former owners?
Prior work for a subsidiary does not automatically make its corporate parent a former client; whether the parent counts as a client turns on alter-ego and unity-of-interest factors. On the facts prese…
Can a lawyer employed as in-house counsel for an aircraft title company also represent the company's customers by rendering title opinions they pay for directly?
Yes, with conditions. The committee concluded that the title company's staff lawyer may also render title opinions for the company's customers if the lawyer reasonably determines the dual representati…
Is a non-refundable retainer always a violation of the Oklahoma Rules of Professional Conduct?
No, not per se. The committee concluded that nothing in the Rules flatly bars an advance fee labeled non-refundable, but in an hourly-fee contract for future services such a clause is unenforceable an…
What may a Tennessee firm's out-of-state lawyer do while awaiting Tennessee admission, including non-court 'law business' like drafting documents?
Vacated. As originally issued, Formal Ethics Opinion 2002-F-91(b) updated the Board's guidance on employing lawyers admitted elsewhere while their Tennessee admission was pending: their names could ap…
Can a New York lawyer use an ATM to make deposits into the attorney trust (special) account?
Yes for deposits, if the lawyer uses a deposit slip bearing the special-account title, keeps the ATM record and duplicate deposit slip for seven years, and verifies the deposit on the bank statement; …
Can a New York lawyer keep required trust-account records (checks, bank statements, deposit slips) in electronic form instead of paper?
The opinion concludes the lawyer must keep the DR 9-102(D)(8) items in their original form, paper or electronic; if the bank returns them on paper in the ordinary course the lawyer keeps paper, but ne…
Can a Texas lawyer and an associate sign an employment agreement covering who keeps a contingent-fee client and how the fee is split when the associate leaves?
Yes, within limits. The Committee concludes such an agreement is permissible and may provide a formula for paying the departed associate a share of a later-collected contingent fee (Rule 1.04(g)), but…
If a lawyer receives an opposing party's privileged document that a third party may have stolen or taken without authorization, may the lawyer review and use it?
The opinion concludes that a lawyer who receives a document whose privileged status is apparent on its face, who knows it came from someone not authorized to disclose it, and who has no reasonable bas…
Can a lawyer help a client transfer her only asset to put it beyond creditors' reach if the client says her goal is to make herself insolvent?
The opinion concludes the answer depends on a substantive legal question the committee will not decide: whether the transfer is fraud under Virginia's conveyance statutes. Rule 1.2(c) lets the lawyer …
Does a prosecutor violate the ethics rules by telling a defendant in open court that he will be tried by a jury, likely facing a longer sentence, if he appeals his conviction?
The opinion concludes no. Rule 3.8's special prosecutor restrictions do not reach this statement, and no general rule on lawyer communications prohibits the prosecutor's remark that the defendant woul…
Can a client who waived a conflict of interest later take the waiver back, and what happens to the lawyer's representations if it does?
The opinion concludes that nothing prevents a client from changing its mind about a conflict waiver, but the revocation will not always restore everyone to where they started. The consequences turn ma…
Who owns the insurance defense file, the insured or the insurer, and how long must a lawyer keep it?
The Committee concluded that because the policyholder is the client, the policyholder has the greatest claim to the file and is entitled to the original on request (with copying costs generally borne …
Can a Kentucky lawyer borrow money to cover a client's litigation costs, pass the loan interest on to the client, and pledge the contingent fee as collateral?
The opinion concluded a lawyer may borrow from a lender to fund litigation expenses and may pass the interest on to the client if the business-transaction and fee-agreement safeguards are met, but may…
I represent several plaintiffs, including a survivor and the estates of decedents, in consolidated lawsuits arising from the same incident. Some clients' accounts of the facts contradict each other and each side's testimony could defeat the other's claim. Is that a conflict?
Yes, if the positions are truly opposed. The panel held Rule 1.7(b) creates a conflict of interest where the representatives of the decedents' estates and the survivor take diametrically opposed posit…
Can a lawyer provide bankruptcy services to clients as a salaried employee of a nonprofit credit-counseling corporation that is not a law firm?
No. The opinion concludes the arrangement violates the Bar Rules: it aids the unauthorized practice of law by a nonlawyer corporation, amounts to sharing legal fees with a nonlawyer, risks nonlawyer c…
Can a lawyer serving as a court-appointed receiver ask the court to pay for time spent responding to a grievance about the receivership?
The opinion concluded that the Michigan Rules of Professional Conduct do not bar a court, in its discretion, from compensating a receiver for time and expense responding to a grievance, because a rece…
Can a lawyer put a binding arbitration clause in the attorney-client fee contract, and under what condition?
Only if the client is independently represented. The opinion concludes a binding arbitration provision prospectively limits the lawyer's malpractice liability under Rule 1.8(h), so it is ethical only …
Must a North Carolina lawyer keep client emails in the file, and on termination can the lawyer return them electronically instead of as paper copies?
The opinion concludes whether to retain an email is a competence judgment under Rule 1.1, and the lawyer may store retained emails electronically or on paper. On termination the lawyer must give the c…
Can a lawyer interview a low-level employee (such as a store cashier) of an opposing organization without opposing counsel's consent?
Yes, when the employee is non-managerial, did not engage in the conduct at issue, and lacks authority to make decisions about the litigation. The opinion limits Rule 4.2's 'admission' category to empl…
Can a magistrate campaign for the judge who appointed them, or solicit campaign funds for that judge's re-election?
The opinion concluded that under Canon 7(B)(2)(b) a magistrate may not engage in campaign activities (door-to-door canvassing, distributing literature, yard signs, phone banks) or solicit or receive c…
Can a lawyer transfer shares in a legal professional association to an irrevocable trust for nonlawyer beneficiaries if the trustee is a lawyer?
The opinion concluded that it is improper under DR 5-107(C)(1), Gov. Bar R. III section 3(B), and DR 3-102(A) for an attorney to transfer shares in a legal professional association to an irrevocable t…
Can a lawyer collecting delinquent taxes for a Texas taxing unit agree to a contingent fee where the unit keeps part of the statutory attorney-fee penalty if a collection goal isn't met?
No. The Committee concludes the arrangement violates Rule 1.04(d), which bars a contingent fee prohibited by other law: letting the taxing unit retain part of the section 33.07 penalty when the lawyer…
Can a private law firm hold a fee-collection contract with a Commonwealth's Attorney while also defending criminal cases prosecuted by that same office?
The opinion concludes no. Once a defense attorney contracts to collect fines for a Commonwealth's Attorney, the prosecutor's personal-interest conflict under Rule 1.7(b) cannot be cured (the client is…
Can a lawyer charge a contingent fee made up of both a percentage of the recovery and an hourly rate, with both parts payable only on a successful outcome?
The opinion concludes a mixed contingent fee (a percentage of recovery plus an hourly rate, both contingent on success) is permissible so long as the total fee is reasonable under Rule 1.5(a); Rule 1.…
Must a lawyer hired by an insurer to defend an insured give the client the Statement of Insured Client's Rights in an employment discrimination case?
Only if the discrimination claim includes an element of personal injury. Then Rule 4-1.8(j) requires giving the Statement of Insured Client's Rights at the start of the representation. If there is no …
I represent clients before my town's council and planning and zoning boards. If I get elected town moderator, a role limited to running the financial town meeting, can I keep representing those clients before the council and boards?
Yes. The panel held the town moderator's duties, based on the town charter, are ministerial and ceremonial, so they do not present a material limitation under Rule 1.7(b) to representing clients befor…
Can a lawyer join a church-paid group legal services plan that pays for members' trusts only if the trust leaves the church at least $20,000?
The opinion concluded that it is improper under DR 2-103(D) and DR 5-107(B) for a lawyer to participate in a church-funded estate-planning plan that pays for a member's self-trusteed revocable trust o…
Can a court probation officer work part-time for a private for-profit drivers' intervention program that takes court referrals?
The opinion concluded that Ohio Ethics Law (R.C. 102.03(D) and (E)) prohibits a municipal-court probation officer from accepting private employment with a for-profit drivers' intervention program serv…
Can a judge serve as an appointed member of a government board like the Children's Trust Fund Board or a Family and Children First Council?
The opinion concluded that under Canon 4(C)(2) a judge should not serve as an appointed member of the Ohio Children's Trust Fund Board or a County Family and Children First Council, because each is a …
What may an Ohio judicial candidate say during a campaign without violating the judicial conduct rules?
The opinion set out guidelines, drawn from the mandatory requirements of Canon 7, on judicial campaign speech: a candidate may announce views on disputed legal or political issues and make truthful, s…
Can a lawyer draft a will for someone referred by an existing client who stands to inherit under that will?
Yes, with safeguards. The opinion concludes a lawyer may draft a testator's will on the recommendation of a potential beneficiary who is also a client, as long as the lawyer does not let the recommend…
When a lawyer represents an estate and the administratrix has a personal interest that conflicts with the estate, must the lawyer withdraw?
The opinion concludes the lawyer represents the estate and the personal representative in her official capacity, not individually. If estate assets are enough to pay creditors, the lawyer need not wit…
Can a lawyer's firm sue or take matters adverse to a public body or nonprofit board when one of the firm's lawyers serves on that board?
The opinion concludes the firm may proceed if the board-member lawyer is screened in the firm and makes full disclosure to the board, refraining from any consideration, discussion, or vote on the matt…
Can a Maine lawyer run real estate closings through a title company the lawyer owns and keep the interest, without following the IOLTA rules?
Yes, within limits. The opinion concludes a lawyer-owned title company is a law-related service exempt from the Code (including IOLTA) only if it is a separate entity, the title-service recipient is n…
Does a New York lawyer's announcement of certification as a specialist need the disclaimer if it goes only to other lawyers and to the lawyer's own clients?
Yes. The opinion concludes that a professional announcement of specialist certification mailed to bar members, reprinted in a bar newsletter, and mailed to present and former clients is 'public' and m…
Can a lawyer who is an elected city councilor represent clients in the city's municipal court or before other city tribunals and agencies?
The committee concluded a lawyer who is a city councilor should refrain from representing clients before municipal tribunals and agencies over which the lawyer has oversight or fiscal influence, becau…
Can a lawyer answer legal questions in an online chat room, and does doing so create an attorney-client relationship?
The opinion concludes that lawyers may take part in online chat rooms and similar real-time services answering Internet users' legal questions, as long as they follow all applicable rules. To avoid in…
Do the Massachusetts ethics rules govern whether a Massachusetts-licensed federal government lawyer may interview a corporate party's former employees in litigation before a federal agency outside Massachusetts?
No. The committee concludes that under Massachusetts choice-of-law principles the Supreme Judicial Court would not apply Rule 4.2 to this out-of-state federal-agency litigation; the forum's own rules …
Can a lawyer interview a corporation's former employees in litigation without the consent of the corporation's counsel?
As a general rule, yes. The committee concludes Rule 4.2's anti-contact bar does not apply to a corporation's former employees, unless the former employee is separately represented or holds privileged…
Can a lawyer represent two clients developing adjoining parcels when one client wants to oppose the other's zoning permit, and can the lawyer drop one client to keep the other?
Not simultaneously, unless both clients consent and the lawyer reasonably believes the dual representation will not harm either relationship. Dropping one client may be allowed only if the conflict wa…
Are non-refundable retainers allowed under Mississippi's ethics rules?
The opinion concludes that Rule 1.5 does not per se prohibit non-refundable retainers as long as the fee is reasonable, but Rule 1.16(d) requires the lawyer to refund any unearned (unreasonable) porti…
Can one lawyer represent both the driver and the passenger from the same car accident?
It depends on the facts. Where the passenger has no actual or potential claim against the driver and coverage is sufficient, one lawyer may represent both; but where objective evidence supports a clai…
When a former client asks for the return of mental-health records the lawyer obtained during the representation, can the lawyer refuse on the basis that disclosure would be detrimental to the client or others?
No. Per the opinion, former Rule 3-700(D)(1) requires the lawyer to promptly release client papers and property at the former client's request, subject only to applicable protective orders, and the la…
Can an Ohio lawyer advertise the settlement or verdict amounts won in past cases?
The opinion concluded that it is improper for an attorney or law firm to list past settlement or verdict amounts in advertising, because such statements are misleading and self-laudatory, may be unfai…
Can an Ohio lawyer contact other counsel or an out-of-state party to offer to serve as appellate or local counsel?
The opinion concluded that an Ohio attorney may contact opposing or co-counsel in person, by phone, mail, or email to offer to serve as appellate counsel, and may contact out-of-state counsel to offer…
Can a lawyer donate legal services to be auctioned or raffled as a prize at a charity fundraiser?
The opinion concluded that a lawyer should not donate legal services to be auctioned or used as a prize drawing at a charitable fundraiser, because the donation gives a thing of value that secures emp…
Can a paralegal take a deposition, and when can an out-of-state attorney take a deposition in Ohio?
The opinion concluded that it is improper under DR 3-101(A) for an attorney to delegate the taking of a deposition to a paralegal, because doing so assists the unauthorized practice of law; an out-of-…
Can a lawyer cross-examine a former client as an adverse witness while representing a current client?
Generally yes, if the prior and current matters are not substantially factually related and the lawyer does not use or disclose the former client's confidential information to that client's disadvanta…
A lawyer in my firm handled the closing and will testify at trial about what a disputed letter agreement meant. Can I still act as trial counsel for the same client in that case?
Yes, in most circumstances. The panel held Rule 3.7(b) lets the inquiring attorney continue as trial counsel while a law partner testifies, unless that partner's testimony is likely to substantially c…
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.