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 write directly to an insured opposing party who is dealing through an insurance adjuster but has no lawyer yet?
The opinion concluded that because the insured was not yet represented by counsel, Rule 4.2 did not bar the contact, and a lawyer may communicate with an unrepresented party so long as the lawyer give…
Can a law firm require a lawyer to sign a promissory note that becomes payable only if the lawyer competes with the firm after leaving?
The opinion concluded that an employment agreement requiring a lawyer to sign a promissory note payable only if the lawyer competes with the firm after leaving is an improper restriction on the right …
Can a prosecutor contact a judge ex parte to get an emergency stay of a bail-reduction order?
The opinion concluded that a state's attorney's ex parte communication with a judge to obtain an emergency stay of a bail reduction went to the merits and violated Rule 3.5(i) unless the bail statute'…
Can an Illinois lawyer take a case where a non-lawyer business pays the fee and steers the client to the lawyer?
The opinion concluded a lawyer may be retained and paid by a third party so long as the third party is authorized to retain the lawyer, does not direct the lawyer's judgment, and the lawyer does not s…
Can a lawyer pitch a county board in person to abolish the public defender and hire the lawyer's firm instead?
The opinion concluded that a lawyer's in-person pitch to a county board member to win a public-defense contract is improper solicitation under Rule 7.3, because in-person solicitation for pecuniary ga…
Can one lawyer represent both the driver and a passenger of the same car in a crash case where fault is disputed?
The opinion concluded that representing both the driver and passenger of one vehicle in a contested-liability collision is a classic conflict of interest that an attorney should generally not undertak…
Can a State's Attorney keep a shared building investment with former partners who will appear against the office in criminal cases?
The opinion concluded a State's Attorney may keep a beneficial interest in a land trust that leases office space to former partners who become courtroom adversaries, provided each lawyer discloses the…
Can a lawyer try the case if the lawyer will also testify about a conversation with the opposing party?
The opinion concluded that a lawyer who knew well before filing suit that he would testify about his own conversation with the opposing party is likely disqualified as advocate under Rule 3.7, because…
Can a real estate lawyer also act as a title insurance agent and keep the title insurance commissions?
The opinion concluded a lawyer may provide legal services and also conduct title insurance business as an agent, and that Rules 1.5 and 5.4 do not govern the title insurance payments themselves, but t…
A lawyer represents both a corporation and one of its officers; the officer admits perjury in a pending arbitration. Must the lawyer reveal it, and can the dual representation continue?
The opinion concluded the lawyer must urge the officer to rectify the perjury but, because the admission is a protected client secret, may not reveal it to the tribunal; the lawyer may withdraw, and w…
Can a district attorney prosecute a case where the defendant is represented by the DA's spouse, sibling, or a former campaign adviser?
The opinion concluded that a DA may not prosecute a case in which the defendant is represented by the DA's spouse or sibling (or their firm); whether a former unofficial adviser triggers disqualificat…
Can a law firm give a nonlawyer billing clerk full discretion and authority to prepare and sign client fee bills without attorney review?
The opinion concluded a firm may delegate final authority for preparing fee bills to a nonlawyer, but the lawyers remain ultimately responsible as a matter of ethics for any billing improprieties and …
If a client insists on a fraudulent scheme, must the lawyer withdraw, and may the lawyer later disclose the former client's past fraud?
The opinion concluded the lawyer must call on the client to stop the fraud and must withdraw if the client refuses, but may not disclose a former client's past fraud because it is a protected secret; …
When does a California lawyer's compensation of a non-employee outside lawyer constitute a 'division of fees' triggering former Rule 2-200's client-consent requirement, and when must the client be told about the outside lawyer's involvement?
Per California Formal Opinion 1994-138, former Rule 2-200(A) applies when the outside lawyer is paid a portion of the fee paid by the client. It does not apply where (1) the amount paid to the outside…
When a California lawyer representing a partnership receives conflicting instructions from two partners, whose direction must the lawyer follow, and what must the lawyer do if the dispute is unresolved?
Per California Formal Opinion 1994-137, the partnership is the client under former Rule 3-600(A) and the lawyer takes direction from the partner or other constituent authorized to oversee the represen…
Can a California lawyer contract with a client at the outset of representation in a civil rights case that the client irrevocably assigns to the lawyer the right to seek and collect attorney's fees under 42 U.S.C. section 1988, so the client cannot waive that right in settlement?
Per California Formal Opinion 1994-136, such agreements are not prohibited in 42 U.S.C. section 1988 actions so long as the lawyer fully complies with former Rule 3-300 (business transactions or pecun…
Under a California contingent fee agreement, if the contract is silent on payment from a structured settlement, may the lawyer take her fee in full from the up-front cash payment, or can she agree in advance to do so?
Per California Formal Opinion 1994-135, where the contract is silent, the lawyer may take her fee only on the same pro rata basis the client receives compensation; she cannot front-load her fee at set…
After a California client discharges counsel in a pending litigation matter but no substitution of counsel has been filed, what are the lawyer's ongoing duties to the client, and may the lawyer hold the client's file until the substitution is filed?
Per California Formal Opinion 1994-134, the lawyer remains the attorney of record (and is bound by competence and protect-from-prejudice duties) until the substitution form is filed or the tribunal ot…
Can a contingent-fee agreement charge a higher fee if the client turns down a settlement the lawyer considers reasonable?
The committee concluded that a contingent-fee contract may not base the fee on the larger of the trial or arbitration recovery or a rejected settlement offer when the client declines a settlement the …
Can a lawyer use a daily list of arrested persons to send them direct-mail letters offering legal services?
The committee was of the opinion that participating in a program that supplies a daily list of arrested persons, whom the lawyer then sends a letter offering services, does not violate the Rules of Pr…
Must a law firm turn over a former client's time and billing records to the new lawyers now representing that client?
The committee was of the opinion that the firm is not required to respond to a request for time or billing records unless the request is made by one of the firm's own former clients.
Can a lawyer take a security interest in property that is the subject of the litigation the lawyer is handling?
The committee was of the opinion that taking a security interest in a computer system that is the subject of the litigation would violate RPC 1.8(j).
Can a former government agency lawyer represent a private client in a matter the lawyer worked on while in government, and what consent is required?
The committee was of the opinion that RPC 1.11(a) applies and requires the agency's affirmative consent, which a cited criminal statute does not supply; the lawyer's current scope appeared covered by …
Can a lawyer release disputed trust funds to a client after telling the other side the funds would be held until the dispute is resolved?
The committee was of the opinion that, because the lawyer had previously told third parties the funds would stay in the trust account until the dispute was resolved, the lawyer cannot now return them …
After filing an appearance for two clients, then discovering a conflict between them, can a lawyer withdraw from one and keep representing the other?
The committee was of the opinion that because the lawyer filed a Notice of Appearance for both clients, the client the lawyer withdraws from becomes a former client, so the lawyer must satisfy RPC 1.9…
Can a lawyer take assignments through a for-profit temporary employment agency that markets the lawyer's availability and is paid by the employer?
The committee answered by referring to and adopting only the part of ABA Formal Opinion 356 (1988) that addresses the specific arrangement described, with the caveat that Washington's conflict-of-inte…
Can a non-client who paid a retainer for a client's benefit get back the unused portion of that retainer?
The committee was of the opinion that the non-client payor is entitled to a refund of the unused retainer, because the trust funds remain the payor's property until earned by the lawyer and the facts …
If a deputy prosecutor is engaged to a city police officer, must the whole prosecutor's office be disqualified from cases the officer is involved in?
The committee was of the opinion that there is no vicarious disqualification of other deputy prosecutors unless their independent judgment is tainted under RPC 1.7(b).
Can a lawyer market a spouse's business to the lawyer's own clients, for example by posting ads in the office or steering clients to buy products?
The committee declined to address every scenario but concluded that, as a general rule, the lawyer must comply with RPC 1.8(a) and 1.7(b) for current clients because the lawyer has a pecuniary interes…
Can a contingent-fee agreement set the fee on the greater of the trial recovery or a settlement offer the client rejected against the firm's advice?
The committee was of the opinion that the proposed provision, basing the fee on the greater of the trial recovery or a settlement the client rejected against the firm's advice, infringes RPC 1.2(a), w…
Can a law firm keep a deceased partner's name in the firm name, and can it keep the name of a partner who has left the firm?
The committee was of the opinion that under RPC 7.5(a) a firm may use a deceased attorney's name in the firm name, but may not continue using the name of an attorney who has left the firm.
Who owns court-awarded attorney fees when the lawyer is employed by a nonprofit, and can they be deposited into the nonprofit's general account?
The committee was of the opinion that attorney fee awards belong to the client, not the attorney, unless the attorney and the client mutually agree otherwise.
Can a law firm represent a witness at a deposition while another lawyer in the firm represents a party in the same lawsuit?
The committee was of the opinion that there is no conflict as long as the witness's deposition testimony is not harmful or detrimental to the firm's other client; once it becomes reasonably likely the…
Can a law firm arrange with a charity to represent church members making donations, where the charity pays for the donor's document review and the firm also represents the charity?
The committee was of the opinion that the proposed arrangement was impermissible on three grounds: it would be an RPC 1.7(b) conflict if the firm also represents the charity on general matters, becaus…
Does a private criminal-defense lawyer have a conflict of interest when the lawyer's spouse is the city attorney for the same city?
The committee was of the opinion that a lawyer appointed to represent criminal defendants whose spouse is the city attorney must comply with RPC 1.7(b) and 1.8(i); if the spouse has no connection to a…
Can a lawyer be retained by a billing or debt collection company to send demand letters to the debtors of the company's clients?
The committee was of the opinion that an arrangement in which a billing and accounts-receivable service retains the lawyer to send letters to the debtors of the service's clients violates RPC 7.3(a)'s…
What must a law firm do when it learns a former partner overcharged clients for expenses and may have had access to client trust accounts?
The committee was of the opinion that the firm must disclose the former shareholder's conduct and the potential conflict to every client the shareholder could have stolen from, conduct an independent …
Can a lawyer's fee agreement say the files belong to the firm, bar the client from settling without the firm's approval, and let the firm withdraw at its discretion?
The committee was of the opinion that the revised legal services agreement violated the Rules of Professional Conduct throughout, specifically faulting the provisions that the files belong to the firm…
Can a law school clinic engage in in-person solicitation of potential clients without violating the anti-solicitation rule?
The committee concluded that in-person solicitation for a law school affordable-housing clinic would not violate RPC 7.3 so long as the primary purpose of the solicitation stays educational, the progr…
Can a Washington lawyer practice as a shareholder and employee of an out-of-state professional corporation operating a branch office in Washington?
The committee was unanimously of the opinion that nothing in the Rules of Professional Conduct prohibits a Washington lawyer from rendering legal services as a shareholder and employee of an Oregon co…
When a law firm subleases office space to another firm, are the two firms treated as one for conflict-of-interest purposes?
The committee concluded that there is no conflict of interest between the firms' clients so long as the firms stay separate, including separate staff, files, and computer network; but if they operate …
Can a lawyer who represents inventors take a royalty interest or a share of profits as a fee, and what conflicts arise if the lawyer also represents the manufacturers the inventors deal with?
The committee concluded that taking a royalty or profit share as a fee is a business transaction with the client governed by RPC 1.8, that the lawyer's own interests may conflict with the client's und…
May a lawyer or the lawyer's firm appear before a quasi-judicial administrative panel when a current client of the firm sits on that panel?
The committee concluded that if appearing before the panel, or appealing by writ of certiorari naming the panel members as defendants, would violate the appearance of fairness doctrine or other law, i…
Can a lawyer give pro bono bankruptcy advice to debtors at a legal clinic when the lawyer's firm represents creditors of those debtors?
The committee concluded there is no conflict if neither the lawyer nor the firm represents any creditor of the debtor, but an actual conflict requiring RPC 1.7 compliance if they do; the firm cannot u…
Can a law firm fund and bankroll a nominally separate firm's office and advertising in exchange for that firm referring cases to it?
The opinion concluded a firm may not establish and bankroll a nominally separate firm (paying its rent, salaries, and advertising) in return for case referrals, because it misleads the public under Ru…
Can a lawyer take a will contest on a contingent fee, and can the lawyer pay a private investigator a contingent fee on the case?
The opinion concluded a lawyer may charge a contingent fee in a will contest if it is reasonable and the writing requirements are met, but may not compensate a private investigator on a contingent fee…
If a government lawyer seems to stonewall a public-records request, has that lawyer committed misconduct, and must a lawyer-requester who only suspects it report it?
On these facts, no. The opinion concluded that the government attorneys did not conceal records or knowingly make a false statement, because an unwritten 'policy' can still exist as custom or practice…
Can a settlement attorney for a borrower hand original closing documents or the promissory note to the lender before the borrower's three-day right to rescind has run?
The committee declined to answer. The opinion concluded that the question turns on interpreting the federal Truth-in-Lending Act and Virginia's Wet Settlement Act, a legal issue beyond the committee's…
What must a Tennessee lawyer do when the client has committed perjury during an ongoing court proceeding and refuses to recant?
Vacated and superseded. As originally issued, Formal Ethics Opinion 93-F-133 concluded that when a client commits perjury in an ongoing proceeding, the lawyer must ask the client to recant; if the cli…
I once represented a mother in a domestic case (now closed) and she still owes me fees. I now represent a criminal defendant charged with assaulting her daughter. Is that a conflict under Rule 1.9?
The Panel concluded there was no Rule 1.9 conflict because the two matters were not the same or substantially related and the defendant's interests were not materially adverse to the mother; the unpai…
I take part in a public state corporation's selection process. My firm represents a shareholder of one bidding company but not the company itself. Do the conduct rules bar my participation?
The Panel perceived no violation of the Rules of Professional Conduct, because the attorney was not legal counsel to the corporation and had no client-lawyer relationship with the bidding company, tho…
I represented three clients together in a real estate matter that closed in 1992. Can I now represent one of them in an unrelated matter that involves another one of them?
The Panel concluded that because the earlier real estate matter and the proposed matter were not the same or substantially related, Rule 1.9 did not bar the attorney from undertaking the proposed repr…
Two beneficiaries told me in confidence that they fraudulently got witnesses to sign a will now headed to probate elsewhere. Must I disclose the fraud to that probate court or their new lawyer?
The Panel concluded that because the beneficiaries' fraudulent conduct had already begun and no Rule 1.6(b) exception applied, the attorney may not reveal the information and could not disclose it to …
My IOLTA account is charged a bank wire fee each time funds come in, and I forward the interest to the RI Bar Foundation. May I deduct the wire fees before sending the interest?
The Panel concluded that under Rule 1.15(d) the interest on an IOLTA account is remitted to the Rhode Island Bar Foundation net of any service or fees, so the firm should have the bank deduct the tota…
I represent a wife seeking custody in a divorce, and her child says the wife's boyfriend assaulted the child. May I also represent the boyfriend in the sexual assault matter?
The Panel could not determine on the facts whether representing the boyfriend would violate Rule 1.7(b), but it speculated the representation could materially limit the lawyer's responsibilities to th…
A court retained me to represent it in pending investigations. May I keep actively practicing before that same court while I represent it as an institution?
The Panel opined that nothing in the Rules of Professional Conduct prohibited a lawyer from appearing before a court he also represented, and that the client-lawyer relationship with the court imposed…
My law partner was just appointed to the town council my clients are suing. Can I keep prosecuting the lawsuit even though it now targets my partner's board?
The Panel concludes Attorney B is prohibited under Rule 1.7(b) from continuing in the lawsuit after joining the council, and that his disqualification is imputed to Attorney A under Rule 1.10, so -- b…
The insurer paid my client more than the ambiguous award seems to require, and I escrowed the difference. Must I tell the other side it may have overpaid?
The Panel concludes the attorney must notify the other side that he holds the possibly overpaid funds under Rule 1.15(b), and must disclose the possible overpayment under Rule 4.1(b) and Rule 8.4(c), …
My firm runs free public seminars on a field of law and advertises them in a statewide newspaper. The ad touts one legal instrument over another but carries the RI specialization disclaimer. Does it comply with Rule 7.1?
The Panel concluded the seminar advertisement did not violate Rule 7.1; although it implied a concentration by the firm, it contained the Rule 7.4 statement that Rhode Island has no procedure for cert…
Can my firm run a newspaper ad that touts our prior 'largest jury award in New England history' if we include a disclaimer that each case is unique and results are not guaranteed?
The Panel concluded that any reference to a prior favorable verdict in an advertisement violates Rule 7.1(b) as misleading, notwithstanding disclaimers, so it could not condone the ad; it also could n…
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.