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 Montana provider firm for a prepaid legal plan send marketing mailings to members, and can the plan sponsor see the firm's client intake records?
The opinion concluded the proposed postcard and letter complied with the advertising and direct-contact rules, though the letter raised concerns about overstating the firm's experience under Rules 7.1…
Years ago I helped a company get regulatory approval for one parcel of land. Now a different company wants me to represent it on an adjacent parcel before the same agency, and my former client objects. Is that a conflict?
It depends on whether the two representations are substantially related. The panel could not determine that connection from the facts given and held that if the matters are not substantially related, …
Can a former prosecutor now in a public defender or Legal Aid office defend people who were charged while the lawyer worked at the DA's office?
The opinion concluded that a former prosecutor may defend criminal defendants charged during the lawyer's DA tenure as long as the lawyer did not participate personally and substantially in that defen…
Can a lawyer take a contingent fee to collect unpaid alimony, maintenance, or child support owed under a divorce judgment that has already been entered?
The opinion concluded that a lawyer may not charge a contingent fee in a post-divorce action to collect maintenance, child support, or alimony due under a final judgment, because the Code treats such …
In Kentucky, is a lawyer imputedly disqualified when an office-mate previously represented a former client whose interests are adverse in the same or a substantially related matter?
The opinion concluded that if the office-sharing arrangement resembles a firm, the lawyer is imputedly disqualified under KRPC 1.9 and 1.10 unless the former client consents after consultation, or the…
Can a D.C. lawyer charge interest on a client's overdue legal bills when the fee agreement did not provide for interest?
The opinion concluded that a lawyer may not unilaterally impose interest on unpaid fees where the existing fee agreement did not provide for it, but that a client's unexcused failure to pay can justif…
Can a North Carolina lawyer who also sells insurance and investments charge a commission on financial products sold to his own legal clients?
No. The opinion concluded that Rule 1.8(b) bars charging a fee or commission on a business transaction related to the representation; the lawyer may provide financial products to a client but cannot p…
Could a North Carolina lawyer close a residential real estate transaction by phone while a paralegal ran the closing conference?
No. The opinion required the lawyer to be physically present at the closing conference and not to appear through a paralegal surrogate. It was later overruled by 2002 Formal Ethics Opinion 9, which dr…
Can a North Carolina lawyer advance money to a personal injury client for a rental car to get to medical appointments?
Only for actual litigation-related transportation. The opinion concluded a lawyer may advance the cost of a single trip or occasional cab or bus fare, but not an extended rental that is really a livin…
Could a North Carolina lawyer let a paralegal close a residential refinancing while the lawyer was not present at the closing?
No. The opinion required the lawyer to be present at a refinancing closing because explaining the documents is the practice of law, though a paralegal could oversee execution outside the lawyer's pres…
Can a North Carolina lawyer put extra excise tax stamps on a deed, or draft a purchase agreement reciting a price higher than the parties actually agreed?
No. The opinion concluded that both involve dishonesty and misrepresentation barred by Rule 8.4(c); a lawyer may not counsel or help a client record a deed with excess tax stamps or recite an inflated…
One of my law firm's named partners was just suspended from practice. Do we have to take his or her name off the firm name, and can we still pay out earned fees for work done before the suspension?
Yes, remove the name during the suspension: the panel held keeping a suspended, non-retired partner's name in the firm name is misleading under Rules 7.1 and 7.5(a). The firm may still pay the suspend…
Two of my former clients will testify against my current client in a boundary dispute. I represented those former clients in unrelated matters years ago. Is that a conflict?
No. The panel held Rule 1.9 does not bar the representation because the boundary dispute is unrelated to the earlier corporate and personal injury matters, so long as no confidential information from …
May a California lawyer accept as a fee for preparing and prosecuting a patent application a percentage of any future profits the patent generates, without complying with the adverse-interest rule for ownership transactions?
Yes. Per the opinion, a contingent right to be paid from future patent profits is not an adverse pecuniary interest under former Rule 3-300 because the lawyer cannot summarily extinguish the client's …
Can a court-employed attorney mediator take a private paid mediation of a case pending on the docket of the court that employs the mediator?
The opinion concluded that it is improper, under Section 2921.43(A)(1) of the Ohio Revised Code and DR 9-101(B), for a court-employed attorney/mediator to conduct a private fee-paid mediation of any c…
Can a former in-house lawyer sue her former employer for wrongful or retaliatory discharge without breaching client confidentiality?
Yes, within limits. The opinion concluded the Model Rules did not bar a former in-house lawyer from suing her employer-client for retaliatory discharge, treating the suit as a 'claim' under Rule 1.6(b…
Can a U.S. law firm make a foreign-licensed lawyer a partner without violating the rule against partnering with nonlawyers?
Yes, if the foreign lawyer belongs to a recognized legal profession. The opinion concluded U.S. lawyers could form partnerships in which foreign lawyers are partners or owners, treating qualified fore…
Can I represent new clients in a boundary dispute against a former client, when the disputed property is the same real estate I handled for that former client in an earlier divorce case?
No. The panel held Rule 1.9 barred the representation because the boundary dispute over the same real estate is substantially related to the earlier representation, so the former client's consent afte…
Does a law firm employment agreement requiring a departing lawyer to pay the firm a buy-out amount violate the rule against restrictions on the right to practice?
The opinion concluded that a buy-out provision requiring a departing attorney to pay the firm a set amount to recoup the firm's investment in training is not a per se violation of MRPC 5.6, because it…
Can a client agree in advance to waive future conflicts of interest, and when is such an advance waiver valid under the D.C. rules?
The opinion concluded that advance waivers of conflicts are not prohibited but must satisfy informed consent: the less specific the waiver and the less sophisticated the client, the less likely it is …
If someone sends a lawyer a letter hinting at confidences and then the lawyer is asked to take the opposing spouse's case, is the lawyer disqualified?
Not automatically. The opinion concluded the lawyer was not per se disqualified, but had to weigh whether confidential information was actually conveyed and proceed with caution, telling the wife only…
Can a lawyer who is also a licensed insurance agent sell annuities through the law firm to the firm's estate planning clients?
The opinion concluded that it is improper for a lawyer who is also a licensed insurance agent to sell annuities, for a commission, through the law firm to the lawyer's estate planning clients, because…
Is an administrative hearing officer disqualified from a case after filing a grievance against the lawyer appearing before them?
The opinion concluded that an administrative hearing officer is not directly governed by the Code of Judicial Conduct, and is not disqualified from a matter merely because the officer filed a grievanc…
Can one lawyer represent all of a deceased worker's children, stepchildren, and surviving spouse competing for the same workers' compensation death benefits?
No, not all of them. The opinion concluded that the children and stepchildren have directly adverse interests because each beneficiary's share shrinks the others', so a lawyer cannot represent claiman…
Does a lawyer in a Lawyer Assistance Program support group have to report another member's disclosure of misconduct to the State Bar?
No. The opinion concluded that Rule 8.3(c)'s confidentiality exception extends to communications in a LAP accountability group, so a lawyer-member has no duty to report another member's disclosures un…
Can a North Carolina lawyer send a non-lawyer staff member to a calendar call to tell the court about a scheduling conflict?
Yes, if the non-lawyer only relays information and does not request or argue for any action. The opinion concluded that informing the court of a scheduling conflict is not the unauthorized practice of…
If a lawyer holds a client's durable power of attorney and the client becomes incapacitated, can the lawyer petition to have a guardian appointed and act as the lawyer in that proceeding?
The opinion concluded that a lawyer-agent may petition for a guardian without the client's consent only if the client is incapacitated, no less-restrictive alternative (including the power of attorney…
If a lawyer is disqualified from a matter by a conflict of interest, can the lawyer still collect a referral fee for sending it to another firm?
The opinion concluded that a lawyer disqualified on non-consentable conflict grounds may not receive a referral fee, because the lawyer cannot assume the joint responsibility that fee division require…
Can a lawyer team up with a nonlawyer company that markets and sells estate-planning kits through seminars and in-home visits, then refers buyers to the lawyer to finish the documents?
No; the opinion concluded the arrangement risks making the lawyer responsible for the company's unauthorized practice, misleading claims, and in-person solicitation, and strips the client of the lawye…
Can a lawyer pass surplus class-action attorney fees to the injured class members or donate them to charity?
The opinion concluded that a lawyer may distribute fees from a fund designated as attorney fees to damaged class members, or to charity, provided there is no prior fee-sharing agreement and no scheme …
When a lawyer also serves as a part-time Complaint Justice and unknowingly issues a search warrant against his own client, can the ethics committee decide whether that violated the conflict rules?
The Commission declined to decide. It held it lacked jurisdiction to rule on the Grievance Commission's authority and could not make the factual findings the conflict question required, but it identif…
Can a Kentucky lawyer share office space with a business or professional that is not engaged in the practice of law?
The opinion concluded a lawyer may share office space with nonlawyers, modifying an older flat ban, but only if the layout and operation safeguard client confidentiality, preserve the lawyer's profess…
Is it ethical for a lawyer to secretly record a conversation without telling the other party?
Not necessarily improper. The opinion rejected the flat ban of Formal Opinion 337 and concluded that secretly but lawfully recording a conversation did not by itself violate the Model Rules, though a …
Can a law firm take out a bank loan to advance litigation expenses in a contingent-fee personal injury case and deduct the loan interest from the client's recovery?
The opinion concluded that a law firm may obtain a third-party loan to advance the expenses of litigation in a contingent-fee personal injury matter and deduct the loan's interest and costs from the c…
If I am elected district attorney, can I prosecute someone I previously defended as their criminal defense lawyer?
The Committee concluded a newly elected DA may not prosecute a former client's probation revocation in a case the lawyer defended (regardless of consent), may not prosecute a former client in a new ca…
When a lawyer leaves private practice to join the government, what duties does the lawyer still owe to former private clients?
The opinion concluded that a lawyer who leaves private practice for government service continues to owe former clients confidentiality under Rule 1.6 (not to reveal or use their confidences and secret…
When a lawyer handles several lawsuits for one client under a single retainer, can the lawyer agree that recoveries from the winning cases will cover the litigation costs of the losing cases?
The opinion concluded that the arrangement is permissible so long as the client remains ultimately responsible for all litigation expenses; the lawyer may agree to pay the costs of unsuccessful suits …
When a union's lawyer handles an arbitration involving a union member, does the lawyer owe confidentiality to the individual member or only to the union, and can the lawyer circulate the arbitrator's decision?
The opinion concluded that when the member is the party to the arbitration the lawyer represents the member and must protect the member's secrets; when the union is the party under a collective bargai…
Does a lawyer have to report a non-client third party's violation of law that the lawyer learned about while representing a client?
The opinion concluded that the Code imposes no duty to report a non-lawyer third party's violation of law where no other lawyer and no tribunal is involved, and that the lawyer may in fact be prohibit…
Can a lawyer join a business networking group whose members are required to refer clients to one another?
The opinion concluded that a lawyer may not participate in a business networking organization that requires members to refer clients to, and accept referrals from, other members in exchange for those …
Can a Colorado lawyer take an equity or ownership stake in a client company, either in place of cash fees or as an investment?
The opinion concluded that the Colorado Rules do not prohibit a lawyer from acquiring an ownership interest in a client, in lieu of a cash fee or as an investment, so long as the lawyer satisfies Rule…
As a former state agency lawyer now in private practice, can I represent private clients bringing the same type of statutory claims against my old agency, as long as I wasn't personally involved in their specific cases?
Yes. The panel held Rule 1.11 bars a former government lawyer only from the particular matters they personally handled, so representing clients in the same kind of case is permitted, though Rule 1.9(b…
My client's predecessor counsel withdrew from a contingency case and is now claiming a lien for a third of a rejected settlement offer. Do I have to hold that amount in escrow while we dispute it?
Yes. The panel held predecessor counsel is entitled only to quantum meruit, not a share of the rejected offer, but Rule 1.15 requires the successor attorney to protect the disputed amount by escrowing…
When legal aid lawyers move to a different legal aid office, may the old office share confidential client information so the lawyers can run conflicts checks?
The opinion concludes yes. Confidential information from intake and representation is imputed to the lawyers who moved, regardless of whether they remember it or formed an attorney-client relationship…
Can an estate-planning lawyer who is also a licensed insurance agent earn a share of the commission on a policy he recommends to fund the client's insurance trust?
The opinion concludes yes, if the lawyer follows Rules 1.7 and 1.8. Taking a commission on the policy is not per se improper, but the lawyer's insurance-agent interest creates a Rule 1.7(b) conflict t…
Can a collections lawyer tell the opposing side that he will advise his client to pursue criminal charges, and that repayment will not stop them, without making an improper threat?
The opinion concludes the letter here does not by itself violate Rule 3.4(h). A lawyer may advise his own client about possible criminal prosecution (Comment 5), and because this letter said the prose…
Can a lawyer pay a government referral or schedule program a percentage of legal fees without it being improper fee-sharing with a non-lawyer?
The opinion concluded that a lawyer may participate in a federal GSA schedule program that requires remitting one percent of the legal fees earned through the program to fund it, and that this does no…
Can a lawyer charge an annual fee for estate planning and asset-protection work calculated as a percentage of the value of the client's assets?
Only in extraordinary circumstances. A percentage-of-assets annual fee must satisfy Rule 1.5's reasonableness factors; because estate-planning work is not normally billed that way and the fee is not c…
Is it an improper threat for a lawyer to warn opposing counsel that continued ex parte contact with his client could lead to criminal charges?
The opinion concludes the letter does not by itself violate Rule 3.4(h). Under the committee's two-part test it is a threat, but on its face its purpose was to stop the opposing party's direct contact…
Can a nonprofit lawyer referral service run by a local bar association charge participating attorneys a percentage of the fees they collect, instead of a flat fee?
Yes. The opinion concludes a nonprofit bar-run referral service may charge a percentage fee, treating it as the usual and reasonable fee of a referral service under Rule 7.3(d) rather than impermissib…
Can a lawyer bill in rounded standard time units, like 15 minutes, regardless of the actual time spent on a task?
Yes, with limits. Under Georgia FAO 01-1, a lawyer may bill in standard time units only if the resulting fee is reasonable under Rule 1.5(a) and the lawyer clearly communicates the standard-unit billi…
Can a trade association's general counsel recommend an outside lawyer to members and round up other members for a joint lawsuit against a common supplier?
The Committee concluded that, on these facts, a trade association's general counsel could recommend qualified outside counsel and inform members of joint litigation against a common supplier without v…
Can I take a referral fee from an investment adviser for sending my client to them, paid as a percentage while the client stays invested?
The Committee concluded that a lawyer's receipt of ongoing solicitation fees from an investment adviser, paid while the lawyer's client keeps using the adviser, violates Rule 1.06(b)(2) because the la…
Can a North Carolina lawyer disburse a personal injury settlement from the trust account before the insurance check has actually cleared?
Generally no. The opinion concluded RPC 191 applies to all trust disbursements; a lawyer may disburse against provisional credit only for the limited instrument types in the Good Funds Settlement Act,…
Can a North Carolina law firm hire an outside management company to run its administration and employ its non-lawyer staff?
Yes, but with limits. The opinion concluded the arrangement is not barred per se, provided the company cannot direct the lawyers' professional judgment, the lawyers keep their confidentiality and trus…
When a client got a discounted rate through a legal services plan, can the lawyer's fee petition recite the lawyer's full rate instead of the discounted rate actually charged?
No. The opinion concluded the fee petition must recite the discounted hourly rate actually charged; under Rule 3.3(a)(2) the lawyer cannot present the full rate, though he may explain the discount and…
Can a lawyer email confidential client information over the Internet without encryption?
The opinion concluded that an attorney may transmit information about a client by encrypted or unencrypted email over the Internet without violating HRPC 1.6(a), because email affords a reasonable exp…
Can a lawyer use the firm name 'A' or place the letter 'A' in front of the firm name in a Yellow Pages ad to get a more prominent listing?
The opinion concluded that a lawyer may not use 'A' as a firm name or insert the letter 'A' before the firm name to secure favorable Yellow Pages placement, because doing so turns the firm name into a…
Can a Michigan judge set the 'bail' amount in a Jail-and-Bail or Lockup-for-Charity fundraising event?
No. Setting the target 'bail' amount a person must raise for charity is a direct solicitation of funds using the prestige of judicial office, which the Code does not permit.
Can one lawyer work as a city prosecutor and a county public defender at the same time when the jurisdictions overlap?
No. The opinion concluded the dual role created a non-consentable Rule 1.7 conflict, because a criminal defendant's interests are adverse to the law-enforcement authority and a disinterested lawyer wo…
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.