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 nonprofit running cause litigation control its staff lawyers' cases and require clients to refuse confidential or fee-waiver settlements?
The opinion concluded that lawyers in a lay organization's general counsel office may not manage or direct litigation for third parties they do not represent, because that lets the organization regula…
May a legal-aid agency disclose its clients' names and addresses to the Legal Services Corporation when federal regulations require it?
The opinion concluded that a legal service agency may report client names and addresses to the Legal Services Corporation when required by 45 CFR 1644, because such information is a client 'secret' th…
Can a city attorney advise a quasi-judicial municipal board in a hearing where the city itself is a party, while another city attorney argues the city's side?
The opinion concluded a municipal attorney may serve as the board's neutral adviser only in accordance with Rule 1.7; because the role is likely materially limited by loyalty to the municipality, the …
When an insurer asks defense counsel to send the insured's detailed legal bills to an outside billing auditor, may the lawyer comply without the insured's consent?
The opinion concluded that defense counsel may not provide confidences and secrets contained in billing records to an outside auditor hired by the insurer without the insured's specific, informed cons…
Can a North Carolina lawyer tell a minor client's parents about the evidence and plea offer when the minor is tried as an adult and objects?
No. The opinion concluded a lawyer owes a minor client the normal duty of confidentiality under Rule 1.14 and may not disclose the evidence or plea offer to the parents over the minor's objection wher…
Can a North Carolina insurance defense lawyer follow the insurer's billing guidelines that cap research and bar certain tasks?
Not without the insured's consent. The opinion concluded that the insured is the lawyer's primary client, so billing requirements that would restrain the lawyer's independent professional judgment in …
Can a North Carolina lawyer hired by the husband keep representing a wife who resists an incompetency petition, and refuse to give her file to the appointed guardian?
The opinion concluded the lawyer may represent the wife resisting the incompetency petition even though the husband pays and the lawyer briefly advised him, must keep taking the wife's direction rathe…
What must a North Carolina lawyer do to protect trust-account funds from a year 2000 computer failure at the bank?
The opinion concluded that a lawyer's fiduciary duty to safeguard client funds requires exercising due care in selecting a depository bank, including considering how the bank has addressed the year 20…
Can a North Carolina lawyer help a client raise money from the public to pay the client's legal fees?
The opinion concluded a lawyer may participate in soliciting third-party funds to defray a client's legal expenses if Rule 1.8(f) is satisfied; the lawyer must administer the funds honestly, hold any …
Must a North Carolina lawyer give a Social Security ALJ a treating physician's letter that says the disability claimant is not disabled?
No. The opinion concluded that a lawyer generally need not present facts adverse to the client, and that although Rule 3.3(d) requires full disclosure in an ex parte proceeding, a Social Security disa…
My corporate client won't settle because holding the money earns investment income that beats the litigation risk. If I follow that instruction and keep litigating, am I violating the duty to expedite litigation?
The panel concluded that under Rule 1.2 the lawyer must abide by the client's decision whether to settle, and that doing so does not violate Rule 3.2's duty to expedite litigation, so long as the liti…
Can a lawyer hold herself out to the public as a 'referring attorney' who finds other lawyers for clients and collects a fee split, or is that an unauthorized lawyer referral service?
The opinion concluded it is an unauthorized referral service. A lawyer who principally holds herself out as making referrals operates a referral service that, under the Maine Bar Rules, must be sponso…
Can one lawyer represent both the host driver and the guest passenger in a car-accident personal injury claim?
The opinion concluded that joint representation of a host driver and guest passenger was not per se prohibited, but turned on a conflicts analysis under SCR 20:1.7. The lawyer could not represent both…
Can defense counsel for an insured send billing detail to the insurer's outside auditor, and must counsel accept the insurer's defense restrictions?
The opinion concluded that a lawyer representing both an insurer and an insured could not submit billing detail containing confidential information to the insurer's outside auditor without the insured…
When a lawyer for an estate's co-administrators learns that a beneficiary stole estate funds and that one co-administrator may be implicated, must the lawyer tell the other co-administrator?
The committee concluded the lawyer had to inform the other co-administrator of the theft, because the duty owed to that client trumped any confidentiality owed to the implicated client; whether furthe…
If opposing counsel mistakenly mails a lawyer a privileged letter meant for her own client, can the lawyer keep it and use it?
The committee concluded that, assuming it would materially benefit his client, the lawyer could resist opposing counsel's demand to return a misdirected privileged letter and could argue to the tribun…
Can a lawyer serve as a testifying expert against a former client in a matter substantially related to the lawyer's prior representation?
The committee concluded a lawyer ought not act as a testifying expert against a former client in a substantially related matter, even if the lawyer claimed to hold no relevant confidential information…
If a lawyer discovers that her partners defrauded government agencies to shield firm clients from penalties, must she tell the clients, the agency, and bar counsel?
The committee concluded the lawyer had to inform the affected clients, act to avoid the consequences of the fraud on the state agency, and report her partners to Bar Counsel, because Rule 1.6(b)(1) le…
Can a city prosecutor forbid police or public safety officers from talking to defense lawyers about pending cases?
The committee concluded a city solicitor cannot prohibit criminal defense attorneys from contacting and discussing cases with public safety officers, or vice versa, because in criminal matters the sol…
When a lawyer represents both spouses in one personal injury case, can one spouse demand the other be dropped so a settlement can be taken?
The committee concluded that because an attorney-client relationship existed with the spouse once a loss-of-consortium claim was filed on the spouse's behalf, the client could not demand the spouse's …
Can a lawyer break client confidentiality to stop a client who threatens suicide or harm to others?
The committee concluded a lawyer would not violate the duty of confidentiality by taking action necessary to prevent the client from committing suicide or harming others, because suicide and bodily ha…
Can a lawyer close a residential loan whose documents use another state's law (and a prepayment penalty) contrary to South Carolina law, and what if the lawyer isn't competent in that other law?
The committee concluded a lawyer may not close a transaction the lawyer knows is criminal or fraudulent (Rule 1.2(d)), but whether out-of-state choice-of-law or prepayment terms are unlawful is a lega…
If a lawyer's firm includes an assistant solicitor, can another lawyer in the firm bring a wrongful-death suit against the person the solicitor's office is prosecuting for the same death?
The committee concluded the lawyer is disqualified: an assistant solicitor cannot personally handle a civil case arising from a crime his office is prosecuting (risk of access to confidential files an…
Can a lawyer sue a former client pro se for unpaid fees from a non-litigation matter, and must the lawyer try mediation first?
The committee concluded a lawyer could sue a former client pro se for unpaid fees without violating Rule 3.7, because the right of self-representation overrode the rule, and that the lawyer should con…
Is Georgia Formal Advisory Opinion 99-1 still in effect?
No. The State Bar of Georgia has replaced Formal Advisory Opinion 99-1, and its text is not published in the online handbook. The State Bar directs anyone seeking the replaced opinion to contact the B…
What must lawyers do when a client builds a litigation web page, without their knowledge, that names them and solicits other victims to come forward?
The committee concluded the lawyers must review the page and counsel the client about it; because using the page is a 'means' of the litigation, the decision is the lawyers' to make under Rule 1.2(a),…
Can a lawyer who sued an employer for one client later represent the employer's manager against that same employer?
The committee concluded that representing the manager against the employer does not violate Rule 1.7(a) or (b), because the prior client's case was settled and dismissed (so the representations are no…
Can a lawyer practice law as an employee or partner of a CPA firm, or enter an exclusive referral deal with one?
The committee concluded a lawyer may not practice law as either an employee of or an equity holder in a CPA firm, because Rule 5.4 bars nonlawyer partnership, ownership, and control over a lawyer's pr…
If a borrower pays the lender's lawyer's fee, does that lawyer have to correct the borrower's belief that the lawyer represents the borrower too?
Yes. The opinion concluded that under Rule 4.3 the lender's lawyer must correct the borrower's misunderstanding if the lawyer knows or reasonably should know the unrepresented borrower thinks the lawy…
Can a retired judge represent a party in a dispute the judge earlier ruled on while on the bench?
The committee concluded the retired judge may not represent the former client against the opposing party unless all parties to the proceeding consent after disclosure, because Rule 1.12 bars a lawyer …
Can an estate-planning lawyer act as a paid trust administrator for a trust company to which the lawyer refers clients?
Yes, if the lawyer treats it as a conflict under Rule 1.7(b) and a business transaction under Rule 1.8(a): the lawyer must disclose the relationship, the fee and its source, and obtain the client's co…
Can a lawyer invite tax authorities to a hearing where a claimant will admit not filing tax returns, to gain leverage?
The committee concluded the lawyer may not notify the taxing authorities of the hearing, because doing so is a trial tactic amounting to a threat of criminal charges solely to obtain an advantage in t…
Which advertising rules apply when lawyers post free profiles and buy banner ads on a commercial legal-directory website?
The committee concluded that the advertising rules (Rules 7.1, 7.2, 7.4, and 7.5) apply to the lawyer's own communications and banner advertising on the site, while Rule 7.3 (solicitation) does not, b…
Can a lawyer under contract to a sheriff testify as a witness at preliminary hearings from the sheriff's files?
The committee concluded the lawyer may act solely as a witness at preliminary hearings, which the Rules do not prohibit, but if the lawyer acts as both witness and the sheriff's advocate at a hearing …
Can a lender's lawyer contact a borrower who already has counsel and pitch to represent the borrower too in the same loan?
No. The opinion concluded the lender's lawyer who contacts a borrower known to be represented, and solicits the borrower as a client, violates Rule 4.2 and Rule 7.3.
Can a lawyer appear before a probate judge who employs the lawyer's spouse as a staff attorney?
The committee concluded a lawyer is not disqualified from appearing before a judge simply because the judge employs the lawyer's spouse as a staff attorney; the Rules do not disqualify the lawyer, and…
Can lawyers join an advertising cooperative that runs anonymous TV ads and screens callers before referring them out?
The committee concluded participation is unethical: the anonymous advertising would not satisfy Rule 7.2's disclosure requirements (a responsible lawyer's name, disclosure of cost-sharing among unrela…
May an insurance company use salaried in-house lawyers practicing under a firm name to defend its insureds in West Virginia?
Yes, but only subject to conditions: the insured is the sole client, the file stays confidential, the lawyer keeps independent judgment, and the captive firm discloses its insurer affiliation because …
Can a lawyer represent one spouse in a divorce against the other spouse while also representing that other spouse in a separate custody case?
No. The opinion concluded that representing a husband in a divorce against his wife while simultaneously representing the wife in a related custody matter is a non-waivable direct conflict under Rule …
What duties does an insurance-appointed defense lawyer owe the insured, and when must the lawyer withdraw?
The opinion concluded that a lawyer the insurer appoints owes the insured the same professional obligations as if personally retained; the insured is the primary client, and conflicts over disclosure …
Can a lawyer represent a husband in a divorce against an unrepresented wife and also represent both spouses together in a joint bankruptcy?
The lawyer may represent the husband in the divorce against an unrepresented wife, but cannot at the same time represent both spouses jointly in bankruptcy; that joint representation is a non-waivable…
Must a lawyer report an opposing lawyer's planned discovery abuse to the ARDC?
Not automatically. The opinion concluded that reporting to the ARDC is mandatory under Rule 8.3 only when the lawyer has actual knowledge of a violation involving dishonesty, fraud, deceit, or a quali…
If a lawyer receives an opposing party's confidential documents that opposing counsel sent by mistake, can the lawyer use them?
It depends on timing. The opinion concluded that a lawyer who receives and reviews inadvertently sent materials without prior notice of the error may use the information, but a lawyer who learns of th…
Can a patent firm charge a royalty-based finder's fee for matching its inventor clients with its product-promoter clients?
Only under strict conditions. The opinion concluded the firm may not take a royalty-type matchmaking fee unless it rebuts the common-law presumption of undue influence and obtains informed written con…
When a California lawyer also offers non-legal services like investment advising, when do the Rules of Professional Conduct apply, can the lawyer market with 'Esq.' and tax credentials, and is a referral commission from a portfolio manager a Rule 1-320 fee-share?
Per California Formal Opinion 1999-154, when the same lawyer is providing legal and non-legal services to a client, all of the services are subject to the Rules; Rule 1-400 applies to non-legal market…
Can a California lawyer jointly represent a close corporation and the controlling shareholder in a lawsuit brought by the only other shareholder against both, and who provides the corporation's consent?
Per California Formal Opinion 1999-153, under the facts presented a lawyer may jointly represent the corporation and the controlling shareholder under former Rule 3-310(C)(1) only if their interests a…
When former joint clients become adversaries, can a lawyer give one the file if it reveals the other's confidential information?
The opinion concluded a lawyer who jointly represented two clients who became adversaries may not give one documents or information revealing the other's sensitive confidential matters unless both con…
Can a firm sue the State of New York while one of its lawyers serves pro bono as special counsel to a district attorney's office?
The opinion concluded a firm may represent clients in matters directly adverse to the State of New York while a lawyer at the firm serves pro bono as special counsel to the Manhattan District Attorney…
What must a retiring or dissolving lawyer do with a client's original will held for safekeeping when the client can't be found?
The opinion concluded a retiring lawyer or dissolving firm may contact clients to return wills or get disposal consent, but for clients who cannot be located the duty to keep the original will secure …
When two law firms merge, must the firm get each client's consent, or at least notify clients, about the change?
The opinion concluded a merging firm need not obtain clients' express consent to their matters being handled by the new firm, but should notify clients where the merger would leave them represented by…
Can a law firm sell its own pre-paid legal services plans and then provide the legal services those plans cover?
No. The opinion concluded a firm that acts as its own insurer for pre-paid legal services has an inherent conflict of interest with the client, because a single set fee for unlimited services gives th…
Can a lawyer agree, as part of a settlement, not to represent other clients in future suits against the same opposing party?
No. The opinion concluded a lawyer may not enter a settlement agreement that restricts her own or another lawyer's right to practice, including a promise not to represent other clients against the set…
Can a lawyer follow a fugitive client's instructions to sell assets, pay creditors, and forward proceeds, and keep representing the client civilly?
The opinion concluded a lawyer may sell a fugitive client's assets, pay her creditors from escrow, and forward the balance to her, and may continue the related civil representation, so long as the law…
Does representing a trade association make every member a client, barring the lawyer from later opposing a member?
The opinion concluded there is no per se rule that representing a trade association creates an attorney-client relationship with each member; whether a member becomes a client, and thus whether the la…
Can an Ohio lawyer hand out law firm brochures in person at a street corner, fair, or festival?
The opinion concluded that it is improper under DR 2-101(F)(1) for a lawyer to personally distribute law firm brochures at a street corner, fair, or festival, and improper under DR 2-101(F)(1) and DR …
Can an insurance-defense lawyer send detailed bills describing the defense to the insurer or its outside auditor without the insured client's consent?
The committee concluded that defense counsel may not disclose confidential client information in detailed bills to the insurer or its outside auditor without the insured's informed consent, and that a…
When a lawyer loses contact with a personal injury client before filing, must the lawyer file suit before the statute of limitations runs?
The committee concluded the answer depends on the scope of the representation (RPC 1.2), as shaped by the fee agreement and prior communications. Whether filing or refraining without further direction…
Can a lawyer who is a trustee act as his own advocate in litigation involving the trust?
The committee did not resolve the question on the merits. Assuming the lawyer is the true party in interest in the pending litigation under applicable trust law, it referred the lawyer to Formal Opini…
Can a lawyer pay personal injury settlement funds directly to the client when there are known unpaid medical bills or liens?
The committee did not give legal advice on the pending matter, but said the inquiring lawyer's reference to and reliance on RPC 1.14(b)(4) and Formal Opinion 185 were well founded. It expressed no opi…
Can a legal services agency cap the number of hours a lawyer spends on a pro bono representation?
The committee concluded that the proposal may still violate RPC 1.1, 1.15, and 1.2, consistent with its prior inquiry 1827, and encouraged the inquirer to contact the WSBA Access to Justice Committee …
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.