Ethics Advisory Opinions

(Approved October 28, 1994)

Issue: Do the Rules of Professional Conduct apply to the conduct of a lawyer who has been appointed by an insurance company as an "independent" appraiser of the property of an insured of the company, where the lawyer also provides legal services for the insurance company on unrelated matters?1

(Approved April 28, 1995)

This opinion addresses three related issues arising from a lawyer's employment as a life insurance agent and by a financial planning company.

Issue No. 1: May a lawyer who is also a life insurance agent, in the course of selling life insurance products, suggest the need for estate planning and then perform legal services for the customer, if requested, where the customer initially did not contact the insurance agent for legal advice?

(Approved April 28, 1994)

Issues: May a law firm accept a court appointment to represent an indigent defendant in a re-trial of a criminal case in which an investigator who had been involved in the State's investigation of the defendant and testified against the defendant at the first trial is now a full-time employee of the law firm?1

May a law firm represent other defendants in matters in which the investigator personally and substantially participated while employed with the State but in which the investigator will not be called as a State witness?

(Approved March 10, 1994)

Issue: The Office of the Utah Attorney General has requested an advisory opinion concerning whether the rules of imputed disqualification apply to that office when it is fulfilling its duty of representing all state agencies, some of which may be adverse to each other on certain issues.

(Approved January 27, 1994)

Issue: May a law firm's nonlawyer office administrator be compensated solely on the basis of a percentage of the gross income of the firm?

Opinion: Under Rule of Professional Conduct 5.4(a)(3), a lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, which may be based upon a percentage of the net or gross income of the firm, so long as compensation is not tied to receipt of particular fees. The nonlawyer's employment, however, must still comport with Rule 5.4(d), which prevents the nonlawyer from owning an interest in or controlling the activities of a law practice.

(Approved January 27, 1994)

Issue: May a currently practicing sole practitioner who formerly had associates or junior partners continue to use the firm name that includes the sole practitioner's name followed by "& Associates"?

Opinion: A lawyer may not use "& Associates" as part of a firm name where no attorney associates are currently employed by that firm.

(Approved July 29, 1993)

Issue:Can an advance payment made by a client ever be characterized as a "fixed fee" or "nonrefundable retainer", which would be earned by the attorney when received and therefore not deposited into a trust account?

(Approved September 23, 1993)

Issue: In a contingent-fee case, what are the ethical considerations for a judgment-creditor's attorney where the judgment-debtor agrees to name the judgment-creditor as the beneficiary of an insurance policy on the life of the judgment-debtor in order to satisfy the judgment?

(Approved August 26, 1993)

Issues: May an attorney who is leaving a law firm take, either to another law firm or to solo practice, the files and clients generated while the attorney was an employee or member of the law firm?

What duties does the departing attorney owe the law firm with respect to fees paid to the attorney by these clients for services performed subsequent to the attorney's departure from the firm?