Advisory Opinions
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Updated through December 14, 2012
FEES
(see also SETTLEMENT)
Outsourcing legal or support services
Trust Account - (See TRUST ACCOUNT)
Withdrawal from representation
FINANCIAL DISCLOSURE STATEMENTS
Op. 91-6 attorney not admitted in Ohio setting up office for practice of federal law
Op. 91-25 preparation, filing, and prosecution of patent applications by full-time judge
FEES
(see also SETTLEMENT)
Op. 96-9 engagement letter between a lawyer and an individual client requiring client to agree to arbitrate fee disputes, legal malpractice disputes, or professional ethical misconduct disputes
Op. 2004-2 attorney, upon reaching settlement agreement in a client’s legal matter, selling or assigning his or her legal fee to a funding company in exchange for immediate cash at a small discount to the full value of the legal fee.
Op. 2000-2 attorney submitting detailed legal bills to an outside audit company hired by insured without first obtaining client consent
Op. 90-04 attorney reporting cash payments of $10,000 or more
Op. 95-7 fee agreement in which attorney can choose contingent or hourly fee depending upon which is larger fee
Op. 98-9 lawyer advertising contingent fees using statements such as "There’s no charge unless we win your case" or "You pay us only when we win" or "No fee without recovery" or "You pay no fee unless you win"
Op. 99-6 attorney referring client awarded money judgment in a civil suit to a company that purchases a minority interest in the judgment on appeal
Op. 01-3 law firm obtaining a loan from a third party financial institution to advance expenses of litigation in a personal injury matter accepted on a contingent fee basis and deducting the interest fees and costs of the loan from a client's settlement or judgment
Op. 04-12 attorney advertising in telephone directories; inclusion of contingent fee information
Op. 2009-9 plaintiff’s personal injury lawyer retaining outside law firm to provide health care lien resolution services in a settled matter; charging the client for the service as part of the contingent fee or as an expense of litigation
Op. 2010-6 lawyer entering into a contingent fee agreement whereby client grants lawyer a power of attorney to take any action and execute all documents the attorney deems necessary in the matter, including but not limited to signing on the client’s behalf a settlement agreement and release, a settlement check, or a closing statement
Op. 91-12 client paying by credit card
Op. 2007-3 lawyer accepting credit card payments from clients for earned legal fees, reimbursement of expenses, advances on unearned legal fees, and advances on future expenses; deposit into client trust account versus business account
Op. 91-12 charging interest on delinquent accounts
Op. 91-16 use of collection agencies
Op.88-9 attorney offering legal services at a discounted fee for handling adoptions of "special children"
Op. 88-12 lawyer’s free consultation to survivor as part of a funeral director’s package
Op. 89-08 attorney participating in a legal services plan offering free consultation and discounted legal fees to members of teachers ‘ association
Op. 2002-1 law firm entering a business agreement to pay annual fee to a real estate agency and to offer discounted legal services to customers of the real estate agency in exchange for the agency promoting the law firm as a service provider in a real estate benefits program
Op. 2004-2 attorney, upon reaching settlement agreement in a client’s legal matter, selling or assigning his or her legal fee to a funding company in exchange for immediate cash at a small discount to the full value of the legal fee.
Op. 87-4 sharing with lawyer consultant; referral fees prohibited
Op. 88-26 "responsibility assumed"
Op. 88-31 when no services provided
Op. 89-2 sharing with suspended or disbarred lawyer
Op. 91-1 payment to inactive partners pursuant to separation or retirement agreement
Op. 91-3 departing attorney/law firm/employ agreement
Op. 91-4 partners licensed in different jurisdictions
Op. 91-5 practice in association but not partners
Op. 91-9 separate law practices in same building
Op. 92-1 lawyer paying bar association referral service a percentage of legal fees collected from client referred by the service
Op. 03-3 lawyers not in the same firm dividing fees based upon assuming responsibility rather than the proportion of services performed; disclosure and signed written agreements; notice regarding lack of professional liability insurance
Op. 04-11 Ohio attorney practicing law in Ohio law firm and becoming “of counsel” to a lawyer or law firm in another state; out-of-state attorney becoming “of counsel” to a lawyer or law firm in Ohio; division of fee with “of counsel” attorney
Op. 2008-1 lawyer in law firm serving as “of counsel” to another lawyer or law firm; ethical implications of the “of counsel” relationship as to registration status, firm names and letterhead, division of fees, conflicts of interest, multiple “of counsel” relationships; and “of counsel” relationship with out-of-state lawyers or law firms
Op. 2009-9 plaintiff’s personal injury lawyer retaining outside law firm to provide health care lien resolution services in a settled matter; charging the client for the service as part of the contingent fee or as an expense of litigation
Op. 89-31 employment by CPA firm to provide legal services to CPA firm's clients
Op. 92-1 lawyer paying bar association referral service a percentage of legal fees collected from clients referred by the service
Op. 92-15 law firm assisting business corporation in sale of forms and issuance of legal advice
Op. 92-17 corporation's attorney representation of corporation's client
Op. 94-8 attorney sharing contingency fee with non-lawyer private investigator
Op. 94-11 financing company requiring attorney to prospectively agree to pay the company a percentage of a legal fee when earned in exchange for the company's agreement to loan money to the client.
Op. 95-6 attorneys paying non-profit organizations other than bar associations a percentage of the legal fees earned from referred clients
Op. 2002-12 attorney's transfer of shares in a legal professional association to an irrevocable trust for the benefit of individuals not licensed to practice law
Op. 2004-2 attorney, upon reaching settlement agreement in a client’s legal matter, selling or assigning his or her legal fee to a funding company in exchange for immediate cash at a small discount to the full value of the legal fee.
Op. 95-2 flat fee agreement with client/insurer/third party administrator
Op. 96-4 flat fee in criminal defense representation
Op. 97-7 flat fee agreement with insurer for defending insureds
Op. 2000-4 attorneys providing financial planning services through the law firm to business and estate planning clients of the law firm and charging fee for financial services
Op. 2000-4 attorneys providing financial planning services through the law firm to business and estate planning clients of the law firm and charging fee for financial services
Op. 91-12 changing interest on delinquent accounts
Op. 04-8 acquiring a mortgage on a client’s home to secure a legal fee; interest or charges on mortgage
Op. 95-12 payment to client of all settlement funds despite client's agreement with physician to pay medical expenses out of the proceeds of a settlement and attorneys promise to do so
Op. 2007-7 safekeeping funds of a third person when lawyer knows a third person has a lawful claim to funds in the lawyer’s possession
Op. 04-8 acquiring a mortgage on a client’s home to secure a legal fee
Op. 97-5 attorney forming ancillary business to serve small and medium sized businesses by conducting negotiations of legal fees between each business and its retained counsel
Outsourcing legal or support services
Op. 2009-6 outsourcing legal or support services domestically or abroad, either directly to lawyers or nonlawyers or indirectly through an independent service provider; disclosure; supervision; billing as fee or expense
Op. 2009-9 plaintiff’s personal injury lawyer retaining outside law firm to provide health care lien resolution services in a settled matter; charging the client for the service as part of the contingent fee or as an expense of litigation
Op. 88-31 enforcement of retainer agreement after withdrawal when no services performed
Op. 89-7 deposit of retainer in separate identifiable bank account—IOLTA
Op. 96-4 flat fee in criminal defense representation deposited into business account
Op. 2000-1 lawyer accepting a referral fee from a financial services group for referring clients in need of financial services
Op. 2002-1 law firm entering a business agreement to pay annual fee to a real estate agency and to offer discounted legal services to customers of the real estate agency in exchange for the agency promoting the law firm as a service provider in a real estate benefits program
Op. 90-22 payment of legal fees by third party trustee bank to attorney representing grantor of trust
Op. 90-23 payment of legal fees by law firm to temporary lawyer service
Op. 99-6 attorney referring client awarded money judgment in a civil suit to a company that purchases a minority interest in the judgment on appeal
Op. 2001-3 law firm obtaining a loan from a third party financial institution to advance expenses of litigation in a personal injury matter accepted on a contingent fee basis and deducting the interest fees and costs of the loan from a client's settlement or judgment
Trust Account - (See TRUST ACCOUNT)
Withdrawal from representation
Op. 88-24 fees from former client after withdrawal from representation
Op. 88-31 enforcement of retainer agreement when no services performed
Op. 89-18 grievance committee or disciplinary counsel appointing attorney to inventory files of dead, resigned, suspended, disbarred attorney or attorney who cannot be located
Op. 91-9 computer access of client files by attorney with separate practices in same building
Op. 92-8 attorney’s ethical duty to deliver files to former client
Op. 92-19 attorney’s purchase of client files and client list
Op. 2010-2 lawyer’s duty to deliver lawyer’s notes of interview with a current or former client when current or former client requests client file
FINANCIAL DISCLOSURE STATEMENTS
Op. 87-32 part-time referee filing
Op. 89-22 judge reporting compensation for serving as trustee of claimant's fund
Op. 91-28 clerk and deputy clerk Court of Claims filing
Op. 94-12 judge reporting compensation for teaching at state private colleges or universities on topics related to the law, legal system, or administration of justice
Op. 95-8 judge reporting registration fee from trial lawyers association
Op. 95-9 judge reporting compensation for teaching continuing legal education classes or courses
Op. 98-10 judge reporting honorary country club membership, round of golf, tickets to sports events
Op. 2003-6 judge reporting referee fees
Op. 2006-1 part-time judge or part-time magistrate reporting compensation for activities as a licensed real-estate salesperson
Op. 2007-2 judge receiving accounts receivable from former law firm for legal services provided by the judge prior to assuming judicial office; judge receiving retirement benefits from former law firm pursuant to law firm agreement; reporting on financial disclosure statement
Op. 2009-2 juvenile court judge (or court staff) accepting travel expenses (payment or reimbursement of travel, meals, and lodging from the owners of a private placement facility that receives or seeks to receive placements of juveniles by the court; juvenile court judge (or court staff) attending a conference and accepting a gratuitous non-conference meal paid for by a private placement facility that receives or seeks to receive placements of juveniles by the court; reporting on annual financial disclosure statement
Op. 94-11 financing company requiring attorney to prospectively agree to pay the company a percentage of a legal fee when earned in exchange for the company's loan to client
Op. 99-6 attorney referring client awarded money judgment in a civil suit to a company that purchases a minority interest in the judgment on appeal
Op. 2001-3 law firm obtaining a loan from a third party financial institution to advance expenses of litigation in a personal injury matter accepted on a contingent fee basis and deducting the interest fees and costs of the loan from a client's settlement or judgment
Op. 2002-2 lawyer providing loan applications and referring clients to lenders recommended to the law firm by a consulting company that receives a referral fee or commission from the lender for loans made to law firm clients and receives an annual consulting fee from the law firm
Op. 2004-2 attorney, upon reaching settlement agreement in a client’s legal matter, selling or assigning his or her legal fee to a funding company in exchange for immediate cash at a small discount to the full value of the legal fee.
Op. 2012-3 Non-recourse Civil Litigation Advance Contracts: Guidance for Ohio Lawyers
Op. 2000-1 lawyer accepting a referral fee from a financial services group for referring clients in need of financial services
Op. 2000-4 attorneys providing financial planning services through the law firm to business and estate planning clients of the law firm and charging fee for financial services
Op. 2001-4 lawyer who is licensed insurance agent selling annuities through law firm to estate planning clients of the lawyer
Op. 87-48 use of judge’s name
Op. 88-16 use of associate’s name if non-shareholder in legal professional association
Op. 88-18 use of trade name for litigation support services
Op. 88-19 continued use of firm name by lawyers who share office space but who are no longer partners
Op. 89-27 use of trade name by law office providing standardized services, use of term "legal center"
Op. 89-36 use of disclaimer on letterhead of attorneys who share office space
Op. 91-4 use of trade name "debt relief clinic"; use of name of attorney not licensed in Ohio
Op. 91-18 use of attorney's name when attorney has retired or inactive registration status or is of counsel
Op. 95-1 use of "and Associates" in firm name
Op. 96-3 legal professional association continuing to use the name of an attorney in the association’s firm name after the attorney is granted inactive registration status
Op. 97-1 attorney practicing law under a common trade name franchised to attorneys across the nation
Op. 99-4 attorney using firm name or other letters, words, or numbers as domain name for law firm’s world wide web site
Op. 06-2 solo practitioner naming law firm “The X Law Group” when “X” is the solo practitioner's surname and “X” employs one or more attorneys as associates; use of “Group” or “Law Group” or “and Associates” in a firm name; reference to paralegals, other non-attorney personnel, office sharing attorneys or other “of counsel” attorneys
Op. 2008-1 lawyer in law firm serving as “of counsel” to another lawyer or law firm; ethical implications of the “of counsel” relationship as to registration status, firm names and letterhead, division of fees, conflicts of interest, multiple “of counsel” relationships; and “of counsel” relationship with out-of-state lawyers or law firms
Op. 2010-1 lawyer naming a law firm the lawyer’s surname followed by the words Intellectual Property or the initials IP; area of practice or specialization in law firm name constitutes a trade name; name of a law firm formed under a corporate structure includes proper descriptive designations required by law and rule
Op. 88-24 withdrawal from representation in a workers compensation matter; representation of employers after representing claimants
Op. 89-13 representation adverse to former client
Op. 92-8 attorney’s ethical duty to deliver files to former client
Op. 2010-2 lawyer’s duty to deliver lawyer’s notes of interview with a current or former client when current or former client requests client file
Op. 97-1 attorney practicing law under a common trade name franchised to attorneys across the nation
Op. 88-12 lawyer’s free consultation to survivor as part of a funeral director’s package