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 law firm that advised an accounting partnership later counsel some partners on terminating another partner, or sue that partner, without disclosure and consent?
The opinion concluded that a firm that represented an accounting partnership may not counsel some partners on terminating another partner, or represent the remaining partners in litigation against the…
I drafted a joint estate plan for a husband and wife. Years later the wife, now divorcing, wants me to redesign her estate to exclude the husband. Does Rule 1.9 let me do that without the husband's consent?
The Panel concluded that if the wife's estate modification becomes materially adverse to the husband and the attorney obtained confidential information in the original joint representation that is rel…
My client's opposing guardian violated a Family Court order not to leave Rhode Island with the child. As an officer of the court, must I report the violation, or does Rule 1.6 protect what I learned?
The Panel concluded the attorney need not report the violation, because information learned during the representation is protected by Rule 1.6 unless an exception applies, such as Rule 3.3(a)(2) when …
Can a lawyer put a clause in the client agreement sending fee, file, malpractice, and ethics disputes to a named ADR program?
Fee, file, and malpractice disputes may be sent to ADR if the client is given the chance to obtain independent counsel about the agreement; disputes over the lawyer's ethical conduct may not be sent t…
When a lawyer serves as a neutral arbitrator or mediator and a party has no lawyer, may the lawyer-neutral give that party legal advice?
Neutrality is the touchstone. The lawyer-neutral is not required to advise a self-represented party and may not act as that party's advocate, but may offer information when fairness permits; the lawye…
If opposing counsel offers to resolve a case through mediation or arbitration, does the lawyer have to tell the client about it?
Yes. An offer to resolve a dispute through alternative dispute resolution is akin to a settlement offer and must be conveyed to the client, along with enough information about the ADR forum for the cl…
Can a law firm do pro bono criminal appeals for both a DA's office and Legal Aid at the same time?
Yes. The opinion concluded a firm may simultaneously volunteer in a DA's office program (representing the State) and in a Legal Aid program (representing indigent defendants) on criminal appeals, beca…
Can a lawyer contact, ex parte, a former officer or control-group employee of an adverse corporation to ask what the person remembers?
Yes. The opinion concluded that once a control-group employee separates from the corporate employer, the bar on ex parte contact ends, because the former employee no longer speaks for or binds the cor…
When a lawyer's client files are subpoenaed and the client has refused or cannot give consent, how much must, or may, the lawyer disclose?
The opinion concluded a lawyer may disclose non-privileged material in response to a valid subpoena without the client's consent, but must redact or withhold confidential and privileged matter, which …
My client, who is under treatment for a mental disorder, may not be able to manage the insurance proceeds I recovered for her, and she has withdrawn her consent to a limited guardianship. What are my obligations under Rule 1.14?
The Panel concluded that if the attorney reasonably believes the client cannot adequately act in her own interest, the attorney should seek appointment of a guardian; otherwise the attorney owes only …
A long-standing client wants me to bring a personal injury claim against someone I represented in a divorce fourteen years ago. Does Rule 1.9 let me take the case against my former client?
The Panel concluded that the attorney may represent the current client in the personal injury matter because it is not the same or substantially related to the former client's divorce action, but may …
May I offer a client company's employees a set menu of legal services at a fixed fee, with the employer simply announcing the program, and roll the same offer out to non-client businesses? Does Rule 7.3 allow it?
The Panel concluded the arrangement is acceptable for an existing client's employees so long as the employer's cooperation is voluntary, the employer receives no consideration, and employees face no p…
My client's health insurer says it has a lien on the settlement for the medical bills it paid, but my client tells me not to pay it. Do I follow the client or the insurer?
The panel concluded that if the health insurer has a legally enforceable interest in the funds (such as an assignment or statutory lien) the lawyer must notify it and pay it under Rule 1.15; if the in…
Can the same lawyers represent two separate plaintiff classes in different suits against the same defendants without a conflict of interest?
Yes, on the facts presented. The opinion concluded there was no present conflict where two plaintiff classes were not competing for a limited pool of recovery and their interests were not adverse, tho…
Can a Tennessee lawyer be employed by a nonlawyer company that markets and sells living-trust packages to the public, reviewing the trusts the company prepares?
Formal Ethics Opinion 96-F-139 concluded that a lawyer's participation in the described living-trust company would violate the former Code of Professional Responsibility. If the company's or its agent…
Can a Tennessee lawyer give business cards to a bail bondsman so the bondsman will refer criminal cases to the lawyer?
Formal Ethics Opinion 96-F-138 concluded that it is unethical for a lawyer to give a bail bondsman the lawyer's business cards and ask the bondsman to refer criminal cases. A bondsman is not among the…
When a legal aid office faces layoffs and funding cuts, what must a staff lawyer do about notifying clients, withdrawing from cases, and accepting new ones?
The lawyer must give clients adequate notice of impending staff cuts and how they may affect representation, assess case by case whether withdrawal is allowed or required, and not unilaterally decide …
Can a lawyer accept guardian ad litem appointments to represent abused and neglected children when the lawyer's spouse works at a county youth home and an in-law works for the prosecutor's office?
Yes. A lawyer may accept those appointments where neither relative would be a witness in, or otherwise affect, the lawyer's cases; on these facts no conflict exists and no disclosure is even required.
Can a lawyer represent, or be represented by, the opposing counsel in an unrelated matter the two are litigating against each other?
It depends on the facts. The opinion concluded there is no per se bar; the propriety turns on a fact-specific own-interest conflict analysis under DR 5-101(A), and only the lawyer who becomes a client…
In Kentucky, may lawyers who are not actually partners practice under a partnership name like 'Jones & Smith'?
No. The opinion concluded that practicing under a partnership name when the lawyers are not in fact partners is a false, deceptive, or misleading firm name prohibited by the rules, a result consistent…
In Kentucky, may a lawyer advertise that the lawyer will donate a percentage of fees to charities the client designates?
No. The opinion concluded that advertising fee donations to client-designated charities would violate Rule 5.4(a)'s bar on sharing legal fees with nonlawyers and would encourage charity referrals in r…
Can a lawyer who drafts a client's living trust and pour-over will also serve as the trustee and personal representative?
Yes. The opinion concluded that ER 1.8(c) does not bar a lawyer who drafts a client's revocable living trust and pour-over will from being named successor trustee and personal representative, and such…
Can a lawyer charge a contingent fee in a divorce case, including a fee tied to setting aside an antenuptial agreement that is bound up with the divorce?
No. The opinion concluded a lawyer may not charge a fee in a domestic relations matter that is contingent on securing a divorce or on the amount of alimony, support, or property settlement, and that p…
Can a lawyer join a chamber-of-commerce 'leads network' that requires members to exchange a quota of referrals to keep their spot?
No. The opinion concluded that joining such a reciprocal leads network violates Rules 5.4(c) and 7.2(c), because the point-quota pressure can bias the lawyer's judgment and the exchanged leads are thi…
Under California Rule 2-100, may an attorney who does not represent a client in a matter ethically contact a friend who is represented by counsel to advise the friend on the competence of that representation?
The opinion concluded that former Rule 2-100 was not violated because the contacting attorney did not 'represent a client' in the matter. The opinion further concluded that Rule 1-400 (advertising and…
Can a law firm publicly announce that it has hired a law student or other nonlawyer?
Yes. The opinion concluded a law firm may issue an announcement of its employment of a law student or other nonlawyer, provided the announcement makes clear that the person is not a lawyer and is work…
Can a lawyer publicly criticize a sitting judge after the Commission on Judicial Conduct declines to act on the lawyer's complaint?
Yes, within limits. The opinion concluded a lawyer may make public statements critical of a sitting judge's conduct if the criticisms are well-founded, even though the Commission on Judicial Conduct d…
Can a law firm make a fixed advance fee for legal services nonrefundable, and may it keep the advance in its own account?
The opinion concluded that a retainer tied to the provision of legal services, rather than paid solely to secure the lawyer's availability, is a special retainer earned as services are performed; the …
Can a court-appointed lawyer withdraw and tell the court that the indigent client lied about being too poor to hire counsel?
The opinion concluded that assigned counsel may not disclose client confidences or secrets in the motion papers to support withdrawal, but may disclose a client secret if the court orders it; a confid…
Can a lawyer place closed client files in a university archive and let researchers have limited access to them?
Only with client consent or after confirming the files hold no confidences or secrets. The opinion concluded that the duty of confidentiality survives the matter and even the client's death, so a lawy…
May I send an 'advertisement'-labeled direct mailing to businesses affected by a new regulation, offering legal help? And does it matter if a recipient is represented by counsel on unrelated matters?
The Panel concluded the mailing does not violate Rule 7.3 if the advertising requirements are strictly observed, and that a recipient's representation by counsel on unrelated matters does not bar the …
My spouse works in a supervisory role for a company that I am about to sue on behalf of one of its employees. Is that a conflict of interest under Rules 1.7, 1.8, or 1.9?
The Panel concluded there is no conflict of interest, because the conflict rules are concerned with conflicts between two clients, and representing the employee is not adverse to another client of the…
Can a New Jersey lawyer who owns a stake in a title insurance company place that company's title insurance with the lawyer's own real estate clients?
The Committee declined to modify its earlier opinions and concluded that attorneys holding a substantive beneficial interest in a title insurance company, such as commissions, rebates, or profit shari…
Can the insurer's lawyer prepare the guardianship and settlement-approval papers for an unrepresented injured minor and present them to the court?
The opinion concluded that the tortfeasor's insurer's lawyer may prepare the guardianship-appointment and settlement-approval applications for an unrepresented minor and appear for court approval, if …
Can an Ohio lawyer interview a former employee of an adverse corporation without notifying or getting consent from the corporation's counsel?
The opinion concluded that a lawyer may interview a former employee of an adverse corporation without notifying or obtaining the consent of corporate counsel, subject to conditions: the former employe…
Can I secretly record a phone call I'm on without telling the other party, and can I advise a client to record a call they're on?
The Committee concluded that, reaffirming Opinion 392, a lawyer may not electronically record a conversation with another party without first informing that party (Rule 8.04(a)(3)); a lawyer may advis…
Can a lawyer require a client to release malpractice and bar-complaint claims before returning the client's file?
No. Georgia FAO 96-1 concluded that a lawyer may not condition the return of a discharged client's files on the client signing a release of all claims, including malpractice claims and State Bar disci…
When a lawyer is exploring a job with the firm or party he is opposing in a matter, when must he tell his client and get consent, and does the conflict disqualify his whole firm?
The opinion concluded that a lawyer's pursuit of employment with an adverse firm or party may materially limit his representation under Rule 1.7(b), so he must consult the client and obtain consent be…
Can a lawyer contact the opposing party directly about one part of a case when that party's lawyer was appointed only for a different part?
The opinion concluded that where opposing counsel's representation is limited to one aspect of a litigation, Rule 4.2(a) still bars direct contact with that party about a related aspect that shares co…
Does a lawyer representing the seller of property have to tell the buyer that a deed of trust on the property contains a due-on-sale clause?
The opinion concluded that a seller's attorney has no ethical duty to advise the buyer of a due-on-sale clause unless the attorney has expressly or impliedly represented that the property is not subje…
Can a law firm bill its client for a contract or temporary attorney's work at a rate higher than what the firm pays the contract attorney?
The opinion concluded a law firm may charge clients for contract legal services at a rate above the firm's actual cost, adding overhead and profit, so long as the total charge to the client is reasona…
I represented a client who sold land to a real estate trust years ago and has been paid in full with no pending matters. The same investor group owns a second, unrelated trust. Can I buy an interest in either trust under Rule 1.8?
Yes. The panel held that because the attorney would not be entering into a business relationship with a client or a relationship adverse to a client, Rule 1.8's prohibited-transactions rule does not a…
Can a criminal defense lawyer discuss settling a crime victim's civil claim while also asking the victim to cooperate on a plea or dismissal of the criminal charges?
Yes, but only if the lawyers do not tie the civil settlement to the content of the victim's testimony or the outcome of the criminal case. The opinion concluded that paying or offering compensation to…
What must a North Carolina lawyer do when a client disappears and cannot be located before the statute of limitations runs, and can the lawyer file suit to protect the claim?
After reasonable efforts to locate the client fail, the disappearance is a constructive discharge, so the lawyer must withdraw. The opinion concluded the lawyer may not file a complaint for the missin…
How long must a North Carolina lawyer keep closed client files, and how can they be destroyed?
A closed file must be kept at least six years after the representation ends unless the client consents to earlier destruction, and any destruction must preserve client confidentiality. The opinion set…
A government agency I'm dealing with on a personal matter wants my accounts-receivable list, including client names, to assess my finances and target property for a lien. Can I hand it over?
The panel concluded that a client's identity is confidential information protected by Rule 1.6, so the lawyer may not provide the government agency with an accounts-receivable list containing client n…
A staff attorney at my agency gave a friend free advice in a custody case. The agency now represents the friend's opponent. Can another staff attorney represent the friend?
The panel concluded that no member of the agency's staff may undertake the representation, because the informal advice created an attorney-client relationship, making the friend a client whose interes…
Can a lawyer keep the records the bar requires (bank statements, escrow records, bills) as scanned computer images instead of paper?
The opinion concluded that records the Code lets a lawyer keep as 'copies' may be stored as reliable computer images, and records created electronically may stay electronic, but items the Code names s…
Can a lawyer pay a potential class member who investigates the case, and can that payment be a percentage of the court-awarded fee?
The opinion concluded that a lawyer may pay a potential class member from the lawyer's own funds for investigation only if the client stays ultimately liable to repay it, and may pay a reasonable hour…
Can a lawyer join a private divorce-mediation referral service that advertises and routes callers to mediators by location?
The opinion concluded that a lawyer may not participate in a divorce-mediation referral service that no bar association operates, sponsors, or approves, because lawyer-provided mediation is the practi…
When may a Wisconsin law firm use temporary or contract attorneys, and what conflict and confidentiality rules apply?
The opinion adopted ABA Formal Opinion 88-356, concluding that a firm may use temporary or contract lawyers if the firm and the lawyer guard against conflicts of interest, maintain confidentiality, an…
Does a prosecutor violate the no-contact rule when caseworkers from another county agency contact represented parents in a CHIPS case?
The opinion concluded that the prosecutor does not violate SCR 20:4.2 when county child-welfare workers contact represented parents while carrying out their statutory CHIPS investigation duties, becau…
What must a lawyer do when a client cannot be located and the lawyer has lost all contact?
The opinion concluded that because the duties of communication, consultation, and following a client's instructions depend on knowing the client's whereabouts, a lawyer who has lost contact must make …
Can a Wisconsin attorney post bail for an arrested person, and does it matter whose money is used?
The opinion concluded that an attorney may post bail using funds that are not the attorney's own, including issuing a trust check from a client's own funds, without ethical violation. But a Wisconsin …
Can a lawyer facing possible indictment as a co-defendant with a former client reveal the client's confidences to convince the prosecutor not to indict him?
The committee concluded the self-defense exception let the lawyer reveal the minimum confidential information necessary to convince the prosecutor he committed no crime, even to head off a threatened …
Can a lawyer moving to withdraw from a case for the client's nonpayment of fees disclose the client's confidences in a supporting affidavit?
The committee concluded a lawyer could reveal confidential information to support a motion to withdraw for nonpayment, but only the minimum needed to establish the ground, and should take steps such a…
Can a South Carolina lawyer who is a certified mediator list that certification on the lawyer's letterhead and business cards?
The committee concluded a lawyer who is a certified mediator may state that designation on letterhead and business cards, because the designation is truthful and does not falsely imply specialization …
Can a South Carolina law firm form a wholly attorney-owned subsidiary to market its tax-free exchange legal services and advertise it as a legal affiliate of the firm?
The committee concluded forming an attorney-owned subsidiary to provide legal services is ethically permissible, and both the firm and the subsidiary remain bound by the advertising rules (7.1, 7.2, 7…
Can a South Carolina lawyer give new residents a discount coupon for legal fees through a Welcome Wagon packet and follow up by letter if they do not respond?
The committee concluded a lawyer may offer a discount coupon for legal services so long as it is not false or misleading, but a follow-up letter to a non-responding recipient has the potential to viol…
Can a South Carolina lawyer go into a business venture with a client, such as co-owning an LLC to buy and partition heir property?
The committee concluded a lawyer may enter a business transaction with a client only by satisfying Rule 1.8(a)'s requirements (fair, fully disclosed in writing, chance to seek independent counsel, wri…
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.