Keyword-References Grid

KBA Ethics and Unauthorized Practice Opinions

Opinion Number	REFERENCES
KBA E-359	Wolfram, Modern Legal Ethics 9.4 (1986); Hazard & Hodes, The Law of Lawyering 1.5:401 (1991); Wunschel Firm v. Clabaugh, 291 N.W.2d 331 (Iowa 1980); ABA Formal Op. 93-373 (1993).
KBA E-360	Rules of Professional Conduct 1.6(b)(2) and (3); KRS 620.030-50; Cleveland Op. 92-2; Indianapolis Op. 1-1986; Wisconsin Op. E-88-11 (1988); American Academy of Matrimonial Lawyers, Standards of Conduct (1991).
KBA E-361	Rule of Professional Conduct 2.2; KBA E-335 (1989); ABA Standards of Practice for Divorce Mediation (1984), Standard III [ABA Standards]; Ethical Standards of the Society of Professionals in Dispute Resolution (1986), Standards 1 and 4 [SPIDR Standards]; Code of Ethics of the American Arbitration Association (1977) Canon I D and Canon II [AAA Standards]; J. Dzienkowski, Lawyers as Intermediaries, 1992 U. Ill. L.Rev. 741-817 (1993).
KBA E-362	KBA E-288; Rules of Professional Conduct 1.6 and 4.1
KBA E-363	KBAs E-349 (1992) and 353 (1993).
KBA E-364	Meyers v. Handlon , 479 N.E.2d 106 (Ind. App. 1984); Rules of Professional Conduct 1.5(d).
KBA E-365	KBA E-335 (1989); Rules of Professional Conduct 4.2 and 8.3(a).
KBA E-366	Rule 1.5(e), partially overruling KBA E-55 (1971).
KBA E-367	Kentucky Rule of Professional Conduct 7.20(2).
KBA E-368	Rules 1.7(b) and 1.8(e), (f), and (j); KBA Es-331, 340 and 342.
KBA E-369	Kentucky Rules of Professional Conduct 7.30 and 8.3.
KBA E-370	ABA Op. 338 (1972); KBA Op. E-172 (1974); Main Op. 138 (1994); Alabama Op. 93-19 (1993).
KBA E-371	KBA E-347; Matter of Ethics Opinion No. 74-28, 111 Ariz. 519, 533 P.2d 1154 (1975).
KBA E-372	Kentucky Rules of Professional Conduct 4.2 and 4.3
KBA E-373	Seth v. State, 592 A.2d 436 (Del. 1991); Massachusetts Op. 91-2 (1991); KRS 15.740; KBA E-275 (1983); E-211 (1979).
KBA E-374	KRPC Rules 3.1, 3.4(c). See also Maine Op. 146 (1994). Cf. D.C. Op. 256 (1995); Maryland Op. 89-53; Ohio Op. 93-11.
KBA E-375	Rule 1.8(e); Model Code DR 5-103(A) and EC 5-8; KBA E-51 (1971); selected state versions of ABA Rule 1.8(e); Charles Wolfram, Modern Legal Ethics (St. Paul: West, 1986); KBA v. Mills, 808 S.W.2d 804 1991.
KBA E-376	ABA Rule 5.7. KBA Rules 1.7, 1.8(a), and 7.20(2); KBA Ops. E-103 (1975) and E-74 (1973); Michigan Op. RI-135 (1992).
KBA E-377	Indiana Op. 5 (1992); KBA E-335 (1989).
KBA E-378	RPC 1.2, RPC 1.6, RPC 1.7, RPC 1.8, KBA E-331, KBA E-340, KBA E-368.
KBA E-379	KBA Es-237 and 253; Rule 1.6, Comment (19); Alaska Op. 86-3 (1986).
KBA E-380	Rules 1.5, 1.15 and 1.16; Charles Wolfram, Modern Legal Ethics (St. Paul: West, 1986), pp. 178-179, 505-506; In Re: Cooperman, 633 N.E.2d 1069 (N.Y. 1994); McKenzie Const., Inc. v. Maynard, 758 F.2d 97 (3rd Cir. 1985). Alaska Op. 87-1; Pennsylvania Op. 85-120; Utah Op. 136; Wisconsin Op. E-93-4.
KBA E-381	ABA Formal Op. 91-359(1991); Nalian Truck Lines v. Nakano Warehouse & Transp. Corp., 6 Cal. App. 4th 1256, 8 Cal. Rptr. 2d 467 (Cal. App. 1992) review denied by Supreme Court of California 1992 Cal. Lexis 4234 (1992); ALI/ABA Civil Practice and Litigation in Federal and State Courts (6th ed. 1994), Vol. II, G-1, 20-22 (collecting cases and law review articles); Underwood and Fortune, Trial Ethics (Little Brown & Co., 1988), sec. 5.4.1.
KBA E-382	Rule 4.2 and Comment (2); KBA E-213 (1979); Mass. Op. 82-7 (1982); NYC Op. 80-46 (n.d.); Ohio Op. 90-20 (1990); Oregon Op. 1991-80 (1991); Wisconsin Op. E-91-1.
KBA E-383	KBA E-297; Leon v. Martinez, 614 N.Y.S.2d 972 (N.Y. 1994); Rule(s) 1.2(d) & (e), 1.15(b) and 4.1; Unigard Ins. Co. v. Tremont, 430 A.2d 30 (Conn. 1981); KBA/KMA Interprofessional Code, Minnesota Op. 7 (1983). Dist. of Col. Op. 251 (1995).
KBA E-384	KRS 403.211(3); Kentucky Rules of Professional Conduct 1.2(d) and (e) and 3.3(2).
KBA E-385	In re Primus, 436 U.S. 412 (1978); KBA E-325 (1987).
KBA E-386	Rule 1.8(i); KBA E-305 (1985).
KBA E-387	KRPC Rules 1.9 and 1.10; Chugach Electric Assoc. v. U. S. District Court, 370 F.2d 441 (9th Cir. 1966); Unified Sewerage v. Jelco, 646 F.2d 1339 (9th Cir. 1981); Ullrich v. Hearst Corp., 809 F.Supp. 229 (S.D.N.Y. 1992).
KBA E-388	Illinois Op. 92-94 (1993)
KBA E-389	KRPC 7.50(4); DR 2-102(C); KBA E-259 (1982); KBA E-62 (1972); ABA/BNA Law.Man.Prof.Con. 91:206; Charles Wolfram, Modern Legal Ethics 882-883 (1986)
KBA E-390	KRPC Rule 1.1, 1.7, 1.8, 2.1 and 5.4; KBA E-264 (1982)
KBA E-391	Indiana Op. 8 of 1986; Nevada Formal Op. 5 (June 16,1987); New York City Op. 81-69; New York County Op. 656 (1980); compare: Oregon Formal Op. 1991-116; and Philadelphia Inquiry 91-34; KBA E-293 (1984); ABA Informal Opn. 1288.
KBA E-392	KRPC 4.2
KBA E-393	KRPC 4.2
KBA E-394	KBA E-276 (1983); ABA Formal Op. 87-354 (1987); ABA/BNA Law.Man.Prof.Con. 41:920-41:921.
KBA E-395	KRPC 1.16(d); KBA E-280 (1984) and E-235 (1980); ABA Annotated Model Rules of Professional Conduct (3d Ed. 1995) pp. 257-58.
KBA E-396	KRPC 7.50(4); KBA E-311 (1986); ABA Formal Ops. 94-388 (1994); 84-351 (1984).
KBA E-397	SCR 3.530; CJC Canons 3A. (4) and 3B. (3); KBA E-297 (1984).
KBA E-398	Code of Judicial Conduct, Compliance, A. Part-time Judge; SCR 5.060; KRPC 1.12.
KBA E-399	KRPC 1.6, 1.7(b), 1.9, 1.10, 1.11(c)(2) and 1.12(b); KRPC 5.1 and 5.2; KBA E-354 (1993); ABA Formal Op. 96-400 (1996) (Job Negotiations With Adverse Firm Or Party).
KBA E-400	KRPC 3.4(b); CPR DR 7-109(C)(1) & (2); ABA Formal Op. 96-402 (1996) (Propriety of payments to occurrence witnesses); Charles Wolfram, Modern Legal Ethics 651 (1986); George Warvelle, Essays In Legal Ethics (1902).
KBA E-401	ABA Formal Op. 94-380 (1994); Privilege and Confidentiality Issues When a Lawyer Represents a Fiduciary, 30 Real Property, Probate and Trust Journal 541 (1996); ACTEC Commentaries on the Model Rules of Professional Conduct, 28 Real Property, Probate and Trust Journal 865 (1994); Developments Regarding the Professional Responsibility of the Estate Administration Lawyer: The Effect of the Model Rules of Professional Conduct, 26 Real Property, Probate and Trust Journal 1 (1991); When Loyalties Collide: Courts Resolve Conflicting Duties, 135 Trusts & Estates 22 (1996); Professional Responsibility Issues Keep Practitioners on Their Toes, 135 Trusts & Estates 22 (1996); and The Fiduciary, His Counsel And The Attorney - Client Privilege, 136 Trusts & Estates 29 (1997); ¤73, Duty to Certain Non-Clients, Restatement, The Law Governing Lawyers.
KBA E-402	Kentucky Constitution Section 116; Ex Parte Auditor of Public Accounts, 609 S.W.2d 682 (Ky. 1980); Commissioner's Second Quarterly Report - Implementation of House Bill 1 (July 31, 1997), p. 5; KRSs 342.320. 342.429; SCRs 3.020 and 4.300; Code of Judicial Conduct Canon 3(4); Department of Workers' Claims - Guidelines for Communication for Workers' Compensation Specialists; KRPCs 1.1, 1.3, 1.6(b)(3) and Comment (21), 1.16, and 3.5(b) KBA E-297, E-331; ABA Formal Ops. 96-399 (1996) and 347 (1981); Montana Op. 960828; Charles Wolfram, Modern Legal Ethics (1986); Richard Flamm, Judicial Disqualification (1996); UKCLE, Workers' Compensation Reform in Kentucky (January 24, 1997).
KBA E-403	Illinois Op. 96- 10 (1997); Kurt Metzmeier & Shaun Esposito, How to Avoid Losing Your License on the Information Superhighway: Ethical Issues Raised by the Use of the Internet in The Practice of Law (Kentucky Bench & Bar, Spring 1998)
KBA E-404	KRPC 1.8(f)(3), 1.5(b); South Carolina Op.97-22; Utah Op. 98-03 (1998); For The Defense, Outside Audits and Defense Counsel - Ethical Considerations 4 (February 1998); United States v. MIT, 129 F.3d 681 (1st Cir. 1997); June 1998 DRI For The Defense, pages 4-5
KBA E-405	KRPC 1.1, 1.3, l.l5; ABA Formal Op. 92-369 (1992); Del O'Roark, Post Mortem Professional Responsibility, 57 Bench & Bar 2, Spring 1993 (pg.41)
KBA E-407	(KRPC) 1. 11 (SCR 3.130(l.1 1)); KRPC 1.7(b); KRPC 1.10; KRPC 1.6; KRPC 1.9(b); KBA E-399 (Nov. 1998); ABA Op. 96400 (1996); S.C. Op. 96-22 (1996); S. C. Op. 93-01 (1993) Utah Op. 98-09 (1998); Utah Op. 9508 (1996); Commonwealth v. Westbrook 400 A.2d 160 (Pa. 1979); People v. Spreitzer 525 N.E. 2d 30 (Ill. 1988); Graves v. State,  619 A.2d 123 (Md. Ct. App. 1993); Charles W. Wolfram, Modern Legal Ethics sec. 8.10.3, at p. 474 (1986); ABA/BNA Lawyers Manual of Professional Conduct 51:2008-09 and 91:4010-11.
KBA E-408	(KRPC) 1.7(b) (SCR 3.130(l.7)); KRPC 1.8(a); KRPC 1.6; KRPC 7.01-7.5; KRPC 5.4(a); KBA E-74 (1973); Jean A. Mortland, Attorneys as Real Estate Brokers: Ethical Considerations, 25 Real Prop. Prob. & Tr. J. 755 (1991); Caryl Yzenbaard, Kentucky Real Estate and Sales Contracts (1995); Stephen L. Frank, RealEstate Professionals and the Law (1986); Colo. Op. 98 (1996); Mich. Op. RI-135 (1992); N.C. Op. RPC 201 (1995); N.Y. Op. 493 (1978); N. Y. County Op. 685 (1991); R.I. Op. 96-29 (1996); R.I. Op. 96-26 (1996); Utah Op. 146A (1995); In re Roth, 577 A.2d 490 (N.J. 1990); Ibanez v. Florida Dept. of Bus. & Prof. Reg., Bd. Of Accountancy, 512 U.S. 136 (1994)
KBA E-409	(KRPC 1.6 (SCR 3.130(l.6); KRPC 1.8(f); KRPC 5.4(c); KRPC 2. 1; KBA E404 (Sept. 1998); KBA E-378 (1995); KBA E-368 (1994); D.C. Op. 290 (1 999); Oregon Op. 1999-157 (1999); Tenn. Op. 99-F-143 (1999); Utah Op. 98-03 (1998); S.C. Op. 97-22 (1997); Pa. Informal Op. 97-119 (1997); N.C. Op. 10 (1998); ABA Model Rules of Professional Conduct, Terminology Section.
KBA E-410	(KRPC)1.1) (SCR 3.13 0 (1.1)); KRPC 1.2(d); KRPC 1.3; KRPC 1.4; KRPC 1.6; KRPC 1.7; KRPC 1.8(f); KBA E378 (1995) KBA E-368 (1994); KBA E-340 (1990); Cal. Civil Code sec. 2860 (1998); Ill. Op. 92-02 (1992); U.S. Fid. & Guar. Co., v. Louis A. Roser Co., 585 F.2d 932, 938 n.5 (81 Cir. 1978); Finley v. Home Insurance Co., 975 P.2d 1145 (Hawai'i 1998); Douglas Richmond, Lost in the Eternal Triangle of insurance Defense Ethics, 9 Geo. J. Legal Ethics 475, 486 (1996)
KBA E-411	(KRPC) 1.5(d) (Kentucky Supreme Court Rule 3.130(1.5(d)(1))); Wisc. Op. E-89-2 (1989); In the Matter of Jarvis, 869 P.2d 671 (Kan. 1994); Overstreet v.Barr, 72 S.W.2d 1014 (Ky. 1934); Liciardi v. Collins, 536 N.E.2d 840 (Ill. Ct. App. 1989); State exrel. Oklahoma Bar Ass'n v. Fagin, 848 P.2d 11 (Okla. 1992)
KBA E-412	KRPC 1.7, 1.10; KRS 15.740; In re Kentucky Bar Association Amended Advisory Opinion E-291, 710 S.W.2d 852 (Ky. 1986); KBA E-373 (1994); KBA E275 (1983); KBA E-243 (1981); KBA E-211 (1979)
KBA E-413	No specific references made.
KBA E-414	KRS 205.712(7); Turner v. Kentucky Bar Association, 980 S.W.2d 560, 562-63 (Ky. 1998); KBA E-316 (1987); Lovell v. Winchester, 941 S.W.2d 466 (Ky. 1997); Wyoming State Bar. Riner, 765 P.2d 925 (Wyo. 1988); In re Petrie, 742 P.2d 796 (1987); Slusser v. Billet, 762 P.2d 350 (Wash. Ct. App. 1988); Ala. Op. RO-96-02; Mont. Op. 981212 (http://www.montanabar.org/attorneyinfo/ethicsopinions/981212.htm); ABA/BNA Lawyers' Manual of Professional Conduct ¤31:101-106; Barbara Glesner Fines, From Representing "Clients " to Serving "Recipients ": Transforming the Role of the IV-D Child Support Enforcement Attorney, 67 Fordham L. Rev. 2155 (1999)
KBA E-415	(KRPC) Rules 1.7(b) & 1.9(a); KBA E-211 (1979); KBA E-27s (1983); KRS 15.733(2)(e); KRS 15.740; KRS. 237.110(11); KRS 403.715 to 403.785; KRS 431.005; KRS 532.025(2)(a)(8);18 U.S.C. ¤ 922(8)(8);18 U.S.C. 2262
KBA E-416	KBA Ethics Opinions E-331, 340, 359, 368, 378, 404, 409, 410; ABA Formal Opinion 96-403; S.C.R. 3.130 [Kentucky Rules of Professional Conduct], Rules 1.1, 1.2, 1.3, 1.6, 1.7(b), 1.8(f), 1.16, 5.4; American Insurance Association v. Kentucky Bar Association, 917 S.W.2d 568 (Ky. 1996); In the Matter of the Rules of Professional Conduct and Insurer Imposed Billing Rules and Procedures, 2 P.3d 806 (Mont. 2000); 2 AMERICAN LAW INSTITUTE, RESTATEMENT (THIRD) OF THE LAW GOVERNING LAWYERS (2000) ¤¤ 121, 122, 134; 1 G. HAZARD & W. HODES, THE LAW OF LAWYERING (3d ed. 2000) ¤¤ 12.13, 12.14
KBA E-417	KRPC (S.C.R. 3.130) 1.6, 1.7(b), 5.4, 5.5, 7.10, 7.20, 7.30; KBA Opinions E-406, E-322, E-192; ABA Formal Opinion No. 328 and Informal Opinion No. 1482
KBA E-418	KRPC (S.C.R. 3.130) 1.6, 1.9, 1.10, 1.11, 1.12; KBA Opinions E-301, E-322, E-354, E-406; Jaggers v. Shake, 37 S.W.3d 737 (Ky. 2001); Lovell v. Winchester, 941 S.W.2d 466 (Ky. 1997); American Law Institute, Restatement (Third) of the Law Governing Lawyers ¤ 124 (2000); ABA Center for Professional Responsibility, Annotated Model Rules of Professional Conduct (4th ed. 1999), at 169-70; ABA/BNA Manual on Professional Conduct (1998), at 91:606-08
KBA E-419	Rules 3.5 and 8.3(e), Kentucky Rules of Professional Conduct (S.C.R. 3.130); Canon 3(B)(7), Kentucky Code of Judicial Conduct (S.C.R. 4.300); American Bar Association, Center for Professional Responsibility, Annotated Model Rules of Professional Responsibility (4th ed. 1999); American Law Institute, Restatement (Third) of the Law Governing Lawyers ¤ 113 (2000)
KBA U-46	SCR 3.020; KBA Us-3, 15, 17, 19, 27, 34, 35 and 43. See also U-36
KBA U-47	SCRs 3.020 and 3.700; KBAs E-266 (1982); E-341 (1990); KBA U-45; ABA/BNA Lawyer's Manual on Professional Conduct 21:8601 et seq.
KBA U-48	SCR 3.020; Professional Adjusters, Inc. v. Tandon, 433 N.E.2d 779 (Ind. 1982).
KBA U-49	SCR 3.010, 3.020.
KBA U-50	KRS 524.130; SCR 3.020, 3.130(5.5)(b) and 3.470; Kentucky State Bar Association V. Tussey, 476 S.W.2d 177 (Ky. 1972); Kentucky State Bar Association v. Holland, 411 S.W.2d 674 (Ky. 1967); Frazee v. Citizens Fidelity Bank & Trust Co.; 393 S.W.2d 778 (Ky. 1965); In re Mid-America Living Trust Associates, Inc., 927 S.W.2d 855 (Mo. S.Ct. 1996)
KBA U-51	KBA U-13; SCR 3.020
KBA U-52	KBA U-3, KBA U-12, KBA U-15, KBA U-17, KBA U-43; SCR 3.020; KRS 342.230, KRS 342.329, KRS 342.320; Kentucky Constitution, Section 116; Kentucky State Bar Assn. v. Henry Vogt Machine Co., Ky., 416 S.W.2d 727 (1967). Ex Parte Auditor of Public Accounts, Ky., 609 S.W.2d 682 (1980). May v. Coleman, Ky., 945 S.W.2d 436 (1997).
KBA U-53	SCR 3.010 and SCR 3.020
KBA U-54	SCR 3.020; Kentucky State Bar Assn. v. First Federal Savings & Loan of Covington, Ky., 342 S.W.2d 397 (1961)
KBA U-55	SCR 3.020; KBA U-35, KBA U-34, KBA U-27, KBA U-15, KBA U-12, KBA U-3, KBA U-43, Kentucky State Bar Association v. Henry Vogt Machine Co., Ky. 416 S.W.2d 727 (1967)
KBA U-56	SCR 3.020; Kentucky State Bar Association v. Henry Vogt Machine Co., 416 SW2d 727 (Ky. 1967); KBA U-15 and KBA U-52
KBA U-57	SCR 3.020; KBA U-45; Kentucky State Bar Association v. Lakes, Ky., 443 SW2d 248 (1969)
KBA U-58	SCR 3.020; SCR 3.470; KBA U-31; KBA U-21; Frazee v. Citizens Fidelity Bank & Trust Co., 393 S.W.2d 778 (Ky. 1965); Federal Intermediate Credit Bank of Louisville v. Kentucky Bar Association, 540 S.W.2d 14 (Ky. S.Ct. 1976); State v. Buyer's Service Co., 357 S.E.2d 15 (S.C. 1987); People v. Title Guaranty and Trust, 125 N.E. 666 (N.Y. 1919); Seigle v. Jasper, 867 S.W.2d 476 (Ky. App. 1993); Kentucky State Bar Association v. First Federal Savings & Loan Association of Covington, 342 S.W.2d 397 (Ky. 1961); Virginia UPL Opinion #183 (1996); Annotation, 85 A.L.R. 2d 184
KBA U-59	SCR 3.020; KBA U-43; Federal Intermediate Credit Bank of Louisville v. Kentucky Bar Association, 540 S.W.2d, 14 (Ky., 1976); Turner v. Kentucky Bar Association, Ky., 980 S.W.2d 560 (1998)
KBA U-60	SCR 3.020; KBA U-7; KBA U-32; Kentucky Bar Association v. Tussey, Ky., 476 SW2d 177 (1972); Kentucky Bar Association v. Legal Alternatives, Inc., Ky., 792 SW2d 368 (1990)
KBA U-61	SCR 3.020; Turner v. Kentucky Bar Association, Ky. 980 S.W.2d 560 (1998)
KBA U-62	SCR 3.020; KBA U-7; KBA U-32; Kentucky Bar Association v. Tussey, Ky., 476 SW2d 177 (1972); Kentucky Bar Association v. Legal Alternatives, Inc., Ky., 792 SW2d 368 (1990)