Legal Ethics Opinions
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Can our Bar Association's lawyer referral service require attorneys who take referred cases to pay back a percentage of the fee earned, or does that violate the fee-splitting rule?
The panel concluded, following the California Emmons decision, that a percentage referral fee paid to a nonprofit bar referral service does not violate the public policy behind Rule 5.4(a)'s fee-split…
My law partner drafted the deed and closing documents for a property Owner in a sale, and I represent the other side in a breach-of-contract suit against that Owner. Do Rules 1.9 and 1.10 require me to withdraw?
The Panel concluded that because the law partner had undertaken to represent the Owner, Rule 1.10 imputed that representation to the inquiring attorney, who could not continue in the substantially rel…
Two nonprofit legal services agencies are merging into one entity. After the merger, how do the combined agency's conflict-of-interest duties under Rules 1.7, 1.9, and 1.10 apply to clients who were previously with the separate agencies?
The Panel advised that after the merger the combined agency must review its caseload for conflicts: where current clients' interests are directly adverse it needs each client's consent after consultat…
My partner once represented an estate for an insurer just to settle within policy limits. Now I represent that same insurer against the estate in a related arbitration, and the executor objects. Must I withdraw?
The Panel concluded that under Rules 1.9 and 1.10 the attorney cannot continue to represent the insurance company, because the estate is a former client of the firm, the matters are substantially rela…
May a California lawyer represent to opposing counsel and the court that an expert witness has been retained when discussions and a proposed engagement letter exist but no contract has been signed, and what duty arises if the expert later revokes consent to designation?
The opinion concluded that, where the lawyer in good faith believed an expert had been retained based on extensive discussions and a proposed engagement letter, designation and representations were et…
If a firm hires a former lawyer on a case-by-case contract basis, are the lawyer's conflicts imputed to the whole firm?
The opinion concluded that a firm and a former firm lawyer it engages on an ad hoc, case-by-case contract basis are not treated as a single entity for conflicts purposes, so the contract lawyer's disq…
Can a D.C. law firm use the abbreviations L.L.C., L.L.P., or P.L.L.C. in its name, or must it spell out the business form?
The opinion concluded that, after the District of Columbia enacted statutes recognizing these business forms, a law firm organized as a limited liability company, limited liability partnership, or pro…
Does class counsel have a duty under Rule 3-700(D) to turn over papers and property of the class to a member who opts out of the certified class to pursue an independent action?
The opinion concluded that class counsel has no duty under Rule 3-700(D) to turn over the papers and property of the class action to a member who opts out of the certified class, except for papers or …
What can an Alaska lawyer charge a client for costs and expenses beyond the fee, and what has to be disclosed?
A lawyer may bill actual out-of-pocket costs, reasonable in-house charges like photocopying, and certain overhead surcharges, but only after disclosing the client's liability and how each charge is co…
Must an appointed criminal defense lawyer tell the court when the client comes into money that may end the client's eligibility for public counsel?
Yes. The opinion concluded that Rule 3.3 and Administrative Rule 12(f) each independently require appointed counsel to inform the court of a change in the client's financial status affecting eligibili…
Can a lawyer appear before a town justice when the lawyer represents a relative of another town justice, or after representing the judge's own adult child in an unrelated matter?
The opinion concluded the lawyer may appear in both situations: one judge's disqualifying relationship is not imputed to other judges of the same court, and prior representation of the judge's adult c…
Under California Rule 1-500, may a law partnership agreement impose a reasonable cost on departing partners who compete with the firm in a limited geographical area?
The opinion concluded that, following Howard v. Babcock, a law partnership agreement may impose a reasonable cost on departing partners who compete with the firm in a limited geographical area; such a…
Can a Michigan lawyer be listed by a church as offering discounted will drafting to congregants who leave a bequest to the church?
The opinion concluded that a lawyer may be on a church list of lawyers who offer special rates for wills to congregants leaving a bequest to the church, provided the church knows the lawyer's services…
Can I advertise my solo practice on TV under a trade name like 'XYZ Law Associates' while keeping my own name on my letterhead and bank accounts?
The panel concluded that using a trade name in lieu of the lawyer's name for television advertising was a misleading communication under Rule 7.1(a), because it misleads the public about the lawyer's …
My client's personal injury case settled, but the client and a treating physician dispute whether the medical bill is owed, and the client tells me not to pay. What do I do with the money?
The panel concluded that because the client and the physician dispute the funds, the lawyer must keep the disputed portion separate under Rule 1.15 pending resolution, arbitration, or interpleader, an…
Can I keep representing my client at a deposition where the witness being deposed is another current client of mine in an unrelated matter?
The panel concluded that the lawyer may continue representing Client #2 and attend Client #1's deposition, but only if the lawyer reasonably believes the representation will not adversely affect the r…
Another lawyer at my firm admitted directly to me that he took client money. Do I have to report him under Rule 8.3, or is his admission confidential?
The panel concluded that the attorney was obligated to report Attorney X to Disciplinary Counsel, because taking client funds raises a substantial question as to honesty, trustworthiness, or fitness, …
My client gave me documents from a spouse's computer that allegedly show wrongdoing. The couple reconciled and wants them destroyed, but a government agency wants them. What are my obligations?
The panel concluded that Rule 1.6 bars disclosing information relating to the representation without the client's consent, and permits disclosure only within the rule's exceptions, so the lawyer may r…
Can I, as a practicing lawyer, form a partnership with a therapist to offer family-law mediation, if we disclose to the parties that neither of us represents them?
The panel concluded that Rule 5.4(b) prohibits the lawyer from conducting a law practice while also partnering with a nonlawyer therapist to provide mediation services, because the lawyer would be per…
In Kentucky, may a lawyer report a client to a credit reporting agency for an unpaid bill when the lawyer does not want to sue the client?
No. The opinion concluded that referring a client's unpaid account to a credit bureau discloses a client confidence for a purpose beyond collecting the fee, and is improper unless the client specifica…
In Kentucky, can a lawyer the insurer hires to defend an insured also represent the insurer on bad-faith (UCSPA) claims brought in the same action?
No. The opinion concluded that defense counsel represents the insured, not the insurer, and that dual representation of both on the insured's underlying tort and the insurer's UCSPA exposure presents …
In Kentucky, may lawyers form a separate mediation corporation under a trade name and solicit mediation business from attorneys, insurers, and the public?
Yes, with limits. The opinion concluded mediation is not the practice of law, so the corporation may use a trade name and solicit business, but any advertising identifying a participant as a lawyer mu…
In Kentucky, may a lawyer sell insurance to clients and take a commission, prospect for insurance customers, or accept referral fees from other insurance agents?
Qualified yes on selling insurance with full written disclosure and consent under Rules 1.7 and 1.8(a); no on accepting referral fees from other agents; the lawyer should not run an insurance agency f…
In Kentucky, may a lawyer lend a client money for financial assistance other than the expenses of litigation?
No. The opinion concluded that Rule 1.8(e) bars a lawyer from giving a client financial assistance beyond the expenses of litigation, so lending money for living or medical expenses is prohibited.
Can a lawyer who lives in Nevada but is licensed only in other states use letterhead with a Nevada address?
The Committee concluded that an attorney who lives in Nevada but is licensed only in other states may not use letterhead showing a Nevada address and his out-of-state admissions unless it is modified …
Can a collections lawyer pre-sign blank judgment-execution forms for the sheriff, or let his printed name go on dunning letters that falsely say an execution has been sent?
The opinion concluded no to both; pre-signing a blank execution falsely implies the lawyer verified the facts later filled in, and letting one's name appear on letters that wrongly state an execution …
Can a New York firm list a lawyer admitted only in a foreign country as an associate on its letterhead and in its advertising?
The opinion concluded yes, provided an appropriate disclaimer sets forth the jurisdictional limitations on the associate's practice; it modified the firm's earlier opinion that had rejected a disclaim…
When a legal services organization may have committed malpractice against its own client, can it keep representing the client, and what must it do about the possible malpractice claim?
The opinion concluded the organization has a non-waivable conflict of interest, so it must withdraw from the representation, advise the client to obtain legal advice from a lawyer not employed by the …
Can a lawyer use a third-party company that finances clients' legal fees, paying the lawyer up front and collecting from the client with interest?
The opinion concluded such fee-financing arrangements are not per se improper, but the specific plan would be improper unless modified, because the lawyer must keep control over whether the client is …
When representation ends, which file materials can a lawyer keep as personal or internal, and which must go to the former client?
Only candid internal items. The opinion concluded that under Montana's Rule 1.16(d) a lawyer may retain personal or internal-use papers such as the lawyer's own notes and intraoffice memos, but must d…
Can a law firm make an associate sign an employment agreement that financially penalizes the associate for taking firm clients after leaving?
The opinion concluded that the employment agreement's provisions violated Rule 4-5.6(a), which bars restricting a lawyer's right to practice after termination, because they created a substantial finan…
I closed my law practice to take a non-legal job and my clients won't respond or hire new counsel. Can I withdraw from their contested probate case?
The panel explained that closing a practice and a client's failure to communicate can support a motion to withdraw under Rule 1.17, but because the attorney had not filed such a motion and Rule 1.17(c…
I think opposing counsel is not passing my settlement offers to the client, an institution with in-house counsel. May I write directly to its in-house counsel, or have my client copy them, under Rule 4.2?
The Panel concluded that Rule 4.2 barred the inquiring attorney from communicating directly with the opposing institution's in-house counsel absent the consent of opposing counsel of record, and that …
After serving as a court-appointed guardian ad litem and reporting on a ward's care, can the lawyer later represent a relative seeking to adopt that ward?
No; having acted substantially as a public officer and likely acquired confidential information, the lawyer is barred from representing the relative, whose adoption position is inconsistent with the l…
Is a lawyer's secret, non-consensual tape recording of a phone call improper even if legal, and must opposing counsel report it while a civil suit is pending?
The opinion concluded that a lawyer's surreptitious, non-consensual recording was improper under the dishonesty rule even if lawful, including when the lawyer acted as a corporate officer rather than …
Can an Ohio law firm charge an insurer a fixed flat fee for subrogation work based on the number of health-plan enrollees?
The opinion concluded that a law firm may charge an insurer or third-party administrator a fixed flat fee for subrogation work based on plan enrollment, provided the fee is reasonable and not excessiv…
Can an Ohio solo lawyer call the practice 'X and Associates' if there are no other lawyer employees?
The opinion concluded that 'and Associates' signals that a lawyer employs other lawyers, so a solo practitioner with no lawyer employees may not use it to suggest office-sharing, co-counsel, or non-la…
Can a prosecutor advise crime victims about a civil restitution lien remedy without creating an attorney-client relationship?
The opinion concluded that an assistant state attorney may advise crime victims that the civil restitution lien remedy exists, but must tell victims the attorney represents only the state and should a…
When a lawyer learns a client or prospective client has a serious mental disorder, can the lawyer prepare documents or file suit for them, and when may the lawyer seek a guardian?
The opinion concluded a lawyer may seek appointment of a guardian or take other protective action only when the lawyer reasonably believes the client cannot adequately act in the client's own interest…
If a lawyer represents one company, can the lawyer take a matter adverse to that company's corporate affiliate, like a parent or subsidiary, without the client's consent?
The opinion concluded that representing a corporate client does not by itself bar a lawyer from a matter adverse to the client's affiliate in an unrelated matter, but consent is required if the affili…
If a client secretly copies or reads the opposing party's confidential documents during litigation, must the lawyer disclose it?
The Committee concluded that where a client surreptitiously read or copied an adversary's confidential documents, the lawyer must disclose the conduct to the adversary, because allowing the client's i…
Can a lawyer who is also a real estate agent close transactions for the brokerage's customers, take a sales commission on deals he provides legal services on, and share an office and phone with the brokerage?
No commission on a transaction where the lawyer also provides legal services to a party. The opinion concluded the lawyer may close deals he did not list or sell only if independent judgment is not im…
When a lawyer leaves a firm, can the departing lawyer and the firm contact the lawyer's clients about the change, and may either later solicit former clients?
Yes. The opinion concluded both the departing lawyer and the firm may notify current clients of the departure and the client's right to choose counsel, and either may solicit a former client with whom…
If a lawyer appointed to a capital case believes in good faith he is not competent to handle it, can he challenge the appointment or refuse to serve, and does his malpractice insurer's concern create a conflict?
The opinion concluded the lawyer must first advise the court, may challenge the appointment by lawful means if he still believes he is incompetent, and may refuse and accept sanction after exhausting …
If stand-by counsel in a capital trial are suddenly told to take over the defense without time to prepare, can they decline to present a defense, and may they create grounds for an ineffective-assistance claim?
The opinion concluded that after seeking a continuance, moving to withdraw, and exhausting legal remedies, stand-by counsel who in good faith conclude they cannot present a competent defense may decli…
When a prosecutor voluntarily dismisses all charges against a jailed defendant, must the prosecutor notify defense counsel or jail officials so the defendant is not held without charge?
Yes. The opinion concluded the prosecutor must serve defense counsel with the dismissal or otherwise notify counsel, jail officials, or other appropriate persons to avoid the unnecessary detention of …
Can a firm agree to stop billing its association client on uncollected collection cases and make up the loss by charging higher fees to the debtors from whom fees are recovered?
No. The opinion concluded that inflating the fee charged to recovered-from debtors to offset losses on uncollected cases produces a clearly excessive fee, and misrepresenting the actual fee to a court…
When a successor personal representative sues the former one, can the estate's lawyer disclose his file and prior advice, and does it matter whether the advice was given before or after the client qualified as personal representative?
It turns on capacity. The opinion concluded advice given to the widow personally, before she qualified, stays confidential, but advice given to her in her official capacity belongs to the estate, so t…
Before filing suit, can a lawyer send an unrepresented defendant a letter that explains the effect of a settlement on the defendant's personal liability and warns that the insurer's defense lawyer may have divided loyalties?
No. The opinion concluded the letter violated Rule 7.4(b) by giving the unrepresented defendant legal advice beyond the advice to secure counsel, and violated Rule 7.4(c) because its tenor implied the…
When an insurer's lawyer defends an accident claim in the name of an uninsured or underinsured motorist, may the plaintiff's lawyer interview that defendant without the insurer-lawyer's consent?
Yes. The opinion concluded the insurer's lawyer represents the insurer, not the individual defendant, so the no-contact rule does not apply; the plaintiff's lawyer may interview the unrepresented defe…
In a domestic case, may a lawyer listen to a tape recording the client made illegally so the lawyer can use it to impeach the opposing spouse or to develop other evidence?
No. The opinion concluded that listening to or using a recording the client made illegally would help the client benefit from her own illegal conduct and would be prejudicial to the administration of …
Can a lawyer represent a buyer, seller, or lender in a real estate closing when the lawyer's spouse, a real estate agent, will earn a commission only if the deal goes through?
Yes, with limits. The opinion concluded the lawyer may represent the seller without conflict, and may represent a buyer or lender only if the lawyer reasonably believes his judgment will not be materi…
Does the child-abuse reporting statute require a lawyer to report a client's suspected child abuse learned during an unrelated representation, even though the information is confidential?
No, not as an ethics matter. The opinion concluded disclosure is discretionary under Rule 4(c)(3), so a lawyer who in good faith concludes that reporting would substantially harm the client may declin…
When a former government employee enters private practice, when does Rule 1.11 bar them from working on a matter they touched in government service?
Rule 1.11(a) bars later private representation in a discrete transaction or matter with identifiable parties the lawyer participated in personally and substantially while in government, but not work o…
Can a lawyer share courtesy copies of public pleadings with other lawyers, or talk shop about cases, without first getting client consent?
Yes, where the lawyer reasonably believes the disclosure will not harm the client. The opinion read Rule 1.6 to bar only disclosures that carry some risk of harm to the client's interest or reveal a c…
I concluded my client needed a guardian and nursing-home placement, and the client then fired me. May I be appointed guardian of the person of that former client, with an associate drafting the paperwork?
The Panel concluded that because the guardianship is substantially related to the representation and the former client refused consent, Rule 1.9 bars the inquiring attorney from serving as guardian, a…
A lawyer switched firms and my opponent moved to disqualify the new firm, claiming a substantial relationship to the old firm's matter. If that lawyer had no actual knowledge of the client, is the firm disqualified under Rule 1.10?
The Panel concluded that, whether or not the matters are substantially related, the incoming lawyer and the new firm are not imputedly disqualified under Rules 1.9 and 1.10 because the lawyer has no a…
Can a title or finance company collect 'settlement fees' for legal work its in-house counsel performs at real estate closings, instead of attorney's fees?
No. The opinion concluded that a company collecting fees for legal work performed by its in-house counsel is splitting legal fees with a nonlawyer entity in violation of Rule 5.4(a), and renaming the …
Can a part-time assistant district attorney and a part-time confidential law clerk to a County Court judge be law partners, and what limits does that put on their practice?
The opinion concluded the two may be partners: the confidential clerk may not practice before the County Court or do criminal work, and the assistant DA may not appear before the judge who employs the…
Can a law firm sue, or decline to sue, a father on behalf of his children when the firm has represented the father in related criminal, divorce, and estate matters, if the father waives the conflict but the children's guardian does not?
The Committee concluded the firm may not represent the children. The matters are substantially related and directly adverse, the representation would be adversely limited by the firm's duties to the f…
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.