Legal Ethics Opinions
Free state and local bar legal ethics opinions with plain-English summaries, full citations, and source links on every page.
No opinions match these filters
Try a different search term or clear the filters.
After I withdrew from a client's case because I learned his claim may be fraudulent, must I report it, refund my fee, or warn his new lawyer?
The Panel concludes that Rule 1.6 protects the information, so the attorney may not disclose it to anyone (including new counsel) without the client's consent, and, absent prior knowledge of the fraud…
I want to publish a newspaper advice column as an advertisement. Does Rule 7.2 let me satisfy the filing requirement by sending Disciplinary Counsel a subscription to the paper instead of each ad?
No. The Panel concludes that Rule 7.2(b) requires the attorney to send a copy of each print advertisement to Disciplinary Counsel; mailing a newspaper subscription does not comply.
I was served with a subpoena duces tecum to bring a client's closed file to a deposition. May I assert the attorney-client privilege, and what do I do if the court orders disclosure?
The Panel concludes the attorney has a duty under Rule 1.6 to invoke the attorney-client privilege when applicable, and must comply if a court ultimately issues a final order requiring disclosure.
Can I advance the court costs and litigation expenses for indigent personal-injury clients and be reimbursed only if the case recovers?
Yes. The Panel concludes that advancing court costs and litigation expenses, with repayment contingent on the outcome, is permitted under Rule 1.8(e)(1) as long as the advanced costs are related to th…
Opposing counsel subpoenaed a physician's records without notifying the parties or a hearing. Is that a rules violation, and what can I do about it?
The panel declined to comment on another attorney's conduct or to opine on the rules for issuing subpoenas, but noted that the inquiring attorney may rely on Rules 8.3 and 8.4: if the attorney believe…
Can I charge a client for the court filing and service costs of a Criminal Injury Compensation Fund claim, and can I stop working if the client won't pay them?
The panel declined to answer whether charging the client for those costs is proper because it turns on substantive law outside legal ethics, but advised the attorney have the proposed fee agreement in…
My spouse owns a constable service. Can I use it in my law practice if I tell all my clients about the arrangement in writing?
The panel advised that Rule 1.7(b) applies and that the attorney should make full disclosure to clients of the spouse's interest in the constable business; if the attorney refers clients to the servic…
I represent a client in a divorce and also represent the opposing lawyer in a separate, unrelated matter. My client consented. Does that violate the conflict rules?
The panel advised that Rule 1.7(b) governs and that the inquiring attorney may represent the adverse counsel in the separate matter if the attorney reasonably believes representation of the domestic c…
My former divorce client's new lawyer says I coerced her into the divorce, and I've been subpoenaed to testify. How do I proceed without violating her confidences?
The panel advised that Rule 1.6 governs and that, under Rule 1.6(b)(2), a lawyer may reveal confidences to establish a defense to allegations concerning the lawyer's representation; the attorney has a…
My former client's new lawyer disputes my attorney's lien. Can I write the former client directly to explain the lien without violating Rule 4.2?
The panel advised that Rule 4.2 is implicated only when a lawyer communicates with a represented party in connection with the representation of, or on behalf of, a client; here the inquiring attorney …
Under my written collection agreement, I front litigation expenses and get reimbursed from what one suit recovers to cover the costs of prior suits. Is that proper?
The panel advised that this conforms to Rule 1.8(e)(1), which lets a lawyer advance court costs and litigation expenses with repayment contingent on the outcome, as long as the reimbursements follow t…
I did a title report for a lender. A third party bought the loan and now demands my whole file, including my own abstracts and charts. Are they entitled to it?
The panel advised that a client is entitled on termination to the papers and property belonging to the client, excluding the attorney's work product; here, though, the demand comes from a third party …
My personal ties to town council members will make three of them recuse, leaving only the four votes needed and requiring unanimity for my client. Can I still represent the client before the council?
The panel advised that Rule 1.7(b) applies and that the attorney's personal relationship with the council is a conflict because the recusals materially limit the client's ability to obtain the license…
Does a lawyer's duty of candor under Rule 3.3 require disclosing facts adverse to the client in a Social Security disability hearing before an administrative law judge?
The opinion concluded Rule 3.3(d) applies to lawyers in Social Security ALJ hearings, which are ex parte adjudicative proceedings, so the lawyer must inform the tribunal of all material facts (even ad…
Does a city attorney who prepares quitclaim deeds for tax-reverted property have to warn buyers that the title may not be insurable?
No; the lawyer's duty runs to the city client, and preparing the deeds is proper, so the lawyer need not volunteer personal doubts about title insurability to prospective purchasers, though the lawyer…
What must a criminal defense lawyer do when the client insists on giving false testimony?
The opinion concluded that under D.C. Rule 3.3 defense counsel who knows the client intends to testify falsely must first try to dissuade the client and then seek to withdraw, unless withdrawal would …
After being discharged by the personal representative of an estate, what may a lawyer do about a suspected fraud, the decedent's children, and documents still in the file?
The lawyer's client was the personal representative, not the beneficiaries; a lawyer who only suspects fraud may not disclose confidences or act to rectify it, and may not hand off a client's document…
May a personal injury lawyer help arrange loans to clients and serve as trustee to ensure the loan company is repaid from the recovery?
The opinion concluded that a lawyer's participation in a plan to refer personal injury clients to a loan company and to sign a trust declaration making the lawyer trustee for the lender would be uneth…
In Kentucky, may a lawyer pay into a labor union's 'Designated Counsel Group' or fund hospitality, dinners, and lodging at union functions to get on the union's referral list?
Attending union meetings and discussing members' legal rights is permitted, but paying into a Designated Counsel Group or funding hospitality, meals, lodging, or equipment to be listed appears to viol…
In Kentucky, may a law firm that includes a part-time lawyer who is also a full-time police officer defend criminal cases in the jurisdiction where that officer serves?
No. The opinion reaffirmed KBA E-137 that a firm with a lawyer who is also a full-time police officer may not defend criminal cases arising in the jurisdiction where that officer exercises police powe…
In Kentucky, may a lawyer notice depositions, subpoena the witnesses, then cancel on opposing counsel and privately interview those witnesses under the subpoena?
No. The opinion concluded this scheme misuses the subpoena and misleads opposing counsel and witnesses, violating Rules 3.4(c), 4.1, and 8.3 (now 8.4).
In Kentucky, if a lawyer is defending a client against an opposing party, may that lawyer also be retained to represent the opposing party's lawyer in an unrelated malpractice or business matter?
There may be a conflict under Rule 1.7(b), but it is not automatic; depending on the facts, the lawyer's reasonable belief that representation will not be materially limited, plus client consent after…
In Kentucky, may a private lawyer who represents a state agency under contract take a case against that same agency, or against a different state agency?
No against the agency the lawyer represents (and the disqualification is imputed to the firm), but yes against a different state agency with the consent of both the client agency and the private clien…
When a lawyer pursues an estate's accident claims, can the lawyer also represent the decedent's medical creditors and charge them a fee out of the recovery?
The lawyer may represent both the estate and the medical providers if no dispute over the bills makes them adverse, but cannot represent either side in a dispute over the bill, and cannot double-charg…
Can a judge serve on a Chamber of Commerce committee that promotes pro-business positions and supports the election of business-friendly candidates?
The opinion concluded that a judge may not serve on a legislative affairs and political action committee whose mission is to support pro-business interests through the media, before governmental bodie…
When a lawyer moves firms, can he work against a client his old firm once considered, if he personally never learned anything about that client?
The opinion concluded a lawyer who moves firms is disqualified only as to matters about which he has actual knowledge of protected information; because this lawyer never represented or learned anythin…
Can a legal aid office set up a panel of volunteer lawyers to take clients it has to turn away because of a conflict of interest?
The opinion concluded yes: an independent conflicts panel may represent eligible clients the office cannot take, the panel may share the office's malpractice insurance, and a board member of the organ…
Does a recycling ordinance excuse a lawyer from confidentiality duties, and how must a lawyer recycle paper that contains client confidences?
The opinion concluded that a lawyer must comply with a general recycling law but must still protect client confidences and secrets, screening papers and shredding or otherwise securing those that coul…
Can a D.C. lawyer practice in a firm organized as an LLP or LLC, and how must the firm name show it?
The opinion concluded that a D.C. Bar member may practice in the District as a partner or associate of an out-of-state firm organized as a registered limited liability partnership or limited liability…
Does the advocate-witness rule apply in an arbitration, so a lawyer who may have to testify must consider withdrawing as the advocate?
The opinion concluded that an arbitrator or arbitration panel is a 'tribunal' under the Code, so the advocate-witness rule applies and a lawyer who ought to be called as a witness must withdraw as adv…
Can an Ohio judge appoint a lawyer who is employed by the judge's adult child, and must the judge then recuse?
The opinion concluded that a probate or juvenile judge may appoint an attorney who works as an associate for the judge's son if the appointment is merit-based and the son is not entitled to a share of…
Can two Ohio law firms jointly run a 900-number legal advice line, and how can a firm advertise its own 900 line?
The opinion concluded that two law firms may not jointly operate a 900-number legal information line because the lawyers would be practicing law with more than one firm, but a single firm may operate …
Can a lawyer reveal a client's confidences in the client's bankruptcy case in order to collect unpaid fees?
The opinion concluded that under Rule 1.6(d)(5) a lawyer may reveal client confidences or secrets to collect a fee, but only where the disclosure is made in the course of a legal proceeding, is as nar…
Can a lawyer refuse to hand over a client's file until the client signs a receipt, and mail it instead?
The committee concluded that a lawyer may not condition release of the file on a signed receipt; the rule contains no such requirement, and where the client appeared in person and a limitations deadli…
If a firm's associates serve case-by-case as special assistant district attorneys, is the whole firm disqualified from representing municipal clients before the county commissioners?
The opinion concluded no; the imputation rule (Rule 3.4(k)) does not apply to common employment in a government agency, so the associates' prosecutorial work does not impute the District Attorney's ot…
Can a firm represent a client against someone who once had a brief consultation with another lawyer in the firm on the same matter but disclosed no confidences?
Yes; a brief consultation that reveals no confidences or secrets does not create a client-lawyer relationship, and the firm may take the adverse matter as long as the duty to protect any information s…
Can a law firm pay nonlawyer consultants a share of a success fee that flows through the firm from the client?
The opinion concluded that, with the client's full knowledge and prior consent, a law firm may agree that a success fee will be paid to both the firm and a nonlawyer consulting firm it retained, and t…
When a California sole practitioner begins using additional attorneys (employees, contract lawyers, or outside firms) on a client matter, when is disclosure required, and when does Rule 2-200's written consent requirement for fee division apply?
The opinion concluded that disclosure of additional attorneys may be required under Rule 3-500 depending on the circumstances, including whether responsibility is changing, the new attorney is doing a…
May a California attorney send a written communication addressed to the president, managing partner, or board of directors of a represented business organization, where delivery is made through the organization's attorney?
The opinion concluded that under former Rule 2-100, an attorney representing a client may communicate with a represented organization's president, managing partner, or board of directors through a wri…
Must assistant attorneys general assigned to a state department withdraw from defending the department's former head when the attorney general sues that former head?
The opinion concluded the assistant and deputy attorneys general assigned to the department face a non-consentable conflict and must withdraw from defending the former Commissioner, because the Attorn…
Can one lawyer represent the at-fault driver, the liability insurer, and the same insurer in its underinsured-motorist capacity in the same accident case?
No. The opinion concluded that the lawyer has a disqualifying conflict, because the UIM carrier's statutory subrogation rights against the at-fault driver make the driver's and the insurer's UIM inter…
After a conflict surfaces in a joint representation, can the lawyers refuse to give the former client her share of the joint file as privileged work product?
No. The opinion concluded that when lawyers jointly represented a nurse and a hospital as having the 'same interest,' the information lost its confidential character between them, so on termination th…
Can a prosecutor and defense lawyer let a defendant tell the judge under oath there is no plea agreement when a plea deal was in fact negotiated?
No. The opinion concluded that letting a defendant falsely deny a plea agreement and signing a transcript that hides it violates the bar on dishonesty and the bar on using false testimony; a district …
Can a lawyer let the bank 'link' a trust account and a business account so that credits and service charges offset across both?
The opinion concluded that a linked arrangement creates ethical problems because it makes it impossible to account for each account's interest and charges separately, so trust-account 'credits' could …
What can a lawyer do with a client's uncashed trust-account refund check, and can the lawyer set a fixed criminal-defense fee from the leftover after paying fines and costs?
The opinion concluded that a lawyer may not stop payment on an uncashed refund check and give the money to charity without the client's consent; the lawyer must try to reach the client and, failing th…
Can a lawyer pay another lawyer outside the firm a share of the fee just for a referral, when that lawyer did no work and the client never agreed?
The opinion concluded that lawyers not in the same firm may divide a fee only if the split is proportional to the work each did, or the client agrees in writing, each lawyer assumes joint responsibili…
Can a law firm pay a paralegal a monthly bonus calculated as a percentage of the fees from the closings the paralegal worked on?
The opinion concluded that the firm may not pay the paralegal a bonus calculated as a percentage of the legal fees the firm receives from matters the paralegal worked on, because that is sharing legal…
Can a law firm host a hospitality suite before a state bid letting and invite both existing clients and non-client contractors it knows will attend?
The opinion concluded that a firm may host a hospitality suite for its existing clients, because Rule 2.4 does not bar contact with existing clients, and may also invite non-client contractors it know…
Can a lawyer put a clause in a contingency fee agreement requiring the lawyer's consent before the client settles the case?
The opinion concluded that a lawyer cannot divest a client of the exclusive authority to settle, because Rule 7.1(c)(1) requires the lawyer to abide by the client's decision whether to accept a settle…
Can one lawyer represent an estate's executor and both the family trust and the charitable trust it must pay, and what happens if the family trust later defaults?
The opinion concluded that, with no default, there is no disqualifying conflict, so the lawyer may represent the executor, the family trust, and the charitable trust under Rule 5.1(b). If the family t…
Must a lawyer withdraw from defending an estate when the lawyer will likely be called to testify about assurances he allegedly gave a claimant?
The opinion concluded that the lawyer is disqualified and may not continue defending the estate, because his testimony will be necessary on disputed facts, especially whether he assured the claimant t…
Can a lawyer serve as a party-appointed arbitrator when one of that lawyer's law partners represents a party to the arbitration?
The opinion concluded that a lawyer should never serve as an arbitrator in a case in which his or her partner represents one of the parties, in order to avoid even the appearance of impropriety. The p…
Can a lawyer contact a city employee, manager, or council member directly about a matter when the city is generally represented by the city attorney?
The opinion concluded that a lawyer may contact a government employee or the city manager about a matter where the lawyer has received no notice that a government lawyer is participating in that parti…
Can defense counsel and a prosecutor ethically agree to a plea deal in which the defendant waives all appellate and postconviction rights?
The opinion concluded that lawyers may execute a lawful plea agreement waiving appellate and postconviction rights, except to the extent the agreement purports to waive remedies based on ineffective a…
Can I advertise on a hotel-lobby wall display that shows my name, address, and general-practice notice and has a phone that dials my office directly?
The panel advised that Rule 7.2 applies and that communicating the firm's name, address, and telephone number in this way is permitted under the Rules as long as the attorney follows the guidelines of…
I'm a state lawyer working on a matter. Can I send a job application to a firm that was involved as counsel in that same matter?
The panel advised that Rule 1.11(d)(2) prohibits a lawyer serving as a public officer or employee from negotiating for private employment with any person who is a party or attorney for a party in a ma…
I'm a part-time municipal solicitor who also has a private firm. When my firm's private client sues the town, can an assistant solicitor I supervise represent the town?
The panel advised that, by analogy to Rule 1.11 and under Rule 1.10, it could not conclude the inquiring solicitor was effectively screened from the matter when the only person to whom he could refer …
Can an estate-planning lawyer hire a financial planner to inventory assets, explore options, and witness documents for the lawyer's clients?
The opinion concluded that yes, an estate-planning lawyer may retain a financial planner, with the client's knowledge and consent and at a reasonable fee, provided the arrangement complies with SCR 20…
Can a prosecutor talk to an unrepresented criminal defendant about the case after charges are filed but before the first court appearance?
The opinion concluded that yes, a prosecutor may discuss the case with an unrepresented criminal defendant after a formal prosecution has begun by the filing and service of a summons and complaint but…
Can a lawyer knowingly file a small-claims action in a venue chosen only to embarrass, delay, or burden the other side?
The opinion concluded that no. The committee held that knowingly commencing a legal proceeding in an improper venue primarily to burden the defendant violates SCR 20:4.4, which prohibits using means t…
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.