Browse by Subject
By Subject
***Includes only Informal Opinions published 1999 – present. To search older opinions, please use another option on the main search page. This subject index will be updated periodically to include older Informal Opinions.***
Advertising and Solicitation
- 2025-05 - Lawyers may only use client lead generation services if the services are “qualified services” registered with the Office of Chief Disciplinary Counsel pursuant to Rule 4-9.1.
- 2025-03 - SSM messages, or similar text messages, prohibited for solicitation pursuant to Rule 4-7.3
- 2024-01 - Law firm name and retirement of lawyer
- 2020-21 - requirement to disclose Of Counsel association
- 2018-13 - lawyer providing educational seminars; solicitation; misconduct through acts of another
- 2018-05 - referral fees not permitted; division of fees with another lawyer
- 20070004 - requirements for solicitation letters to clients, former clients, and prospective clients
- 20070003 - requirements for newsletter sent to clients and prospective clients
- 20090040 - direct solicitation of client via social media
- 20060074 - continued use of lawyer biographical information after leaving a law firm
- 20080012 - direct solicitation to corporate entities
- 20060005 - required statement on website
- 20040003 - lawyer receiving referrals from title company where lawyer works in a nonattorney capacity
- 20030065 - advertisement of elder law workshop by direct mail
- 20030055 - out-of-state lawyer and holding out while awaiting licensure in Missouri
- 20030053 - communication of fields of practice and specializations in telephone directory
- 20030050 - advertisement listing lawyer's military service
- 20020086 - listing practice areas on business card
- 20020081 - lawyers advertising without reference to their firm
- 20020080 - letterhead listing lawyers as "trial lawyers"
- 20020024 - lawyer who also provides financial planning services
- 20010107 - client testimonial in advertisement
- 20010065 - letterhead logo must not be misleading
- 20000231 - including associate lawyer's name in firm's name
- 20000189 - using referral service for consumer collection cases
- 20000103 - prospective clients contacting law firm through email hyperlink on firm's website
- 20000142 - using the word "group" in the name of a law firm where there is only 1 lawyer
- 20000132 - attorney who believes another attorney has violated solicitation rule should report attorney
- 20000151 - canvassing neighborhood regarding lawyer's practice
- 20000057 - use of tradename
- 990213 - advertising use of a mobile office
- 990195 - lawyer can list membership in associations without including specialist disclaimer
- 990116 - use of booth at trade show as advertising method
- 990099 - use of term "court certified" mediator in advertisements
- 990028 - sending newsletter to clients, past clients, and others
Appointed Counsel
- 2025-07 - lawyer serving as Guardian ad Litem (GAL) for minor and minor’s infant
- 2018-14 - lawyer appointed by court to represent a person
Artificial Intelligence
- 2026-09 - use of AI Software in depositions including software with real-time “listening” capabilities
- 2024-11 - lawyer’s use of generative artificial intelligence (AI)
Attorney's Liens
- 2014-01 - reasonable fees; attorney’s lien; withdrawal
Business Transaction with Client (see also Conflict of Interest - Prohibited Transactions)
- 2023-08 - lawyer may be named as successor trustee in estate planning documents prepared by lawyer so long as lawyer complies with requirements of Rule 4-1.8(a)
- 20050041 - payment of attorney fees via deed of trust and note payable by third party
- 20030019 - referral by lawyer to investment/life insurance business owned by lawyer
- 20000216 - taking shares of stock of organizational client for payment of services
- 20000238 - lawyer acquiring proprietary interest in client's litigation
Candor to the Court or Tribunal
- 2026-03 - action required when lawyer learns client has provided false document in discovery response
- 2024-11 - lawyer’s use of generative artificial intelligence (AI)
- 2020-24 - false testimony of client at deposition
- 2020-25 - remedial measures when lawyer learns of false information filed in connection with dissolution matter
- 2015-01 - pleading weekly wage in Workers' Compensation; basis in fact or law; candor to tribunal
Choice of Law
- 2024-13 - lawyer should consider choice of law when practicing pro hac vice in another jurisdiction
- 2024-05 - Out-of-state lawyer reviewing purchase documents
Client Fees
- 20030003 - charging a contingency fee as the client's 2nd lawyer on the case
Client Files
- 2026-06 - lawyer may not provide revoked trust documents from deceased client’s file unless a valid exception is met pursuant to Rule 4-1.6
- 2025-01 - handling client files upon retirement; handling client files upon leaving the practice of law
- 2024-06 - Prospective client entitled to return of papers and properties provided to lawyer during initial consultation; prospective client not entitled to client file if representation is declined
- 2022-10 - file destroyed in natural disaster
- 2021-07 - email and similar electronic communications part of client file
- 2021-03 - contract with vendor for disposal of client files
- 2020-07 - protective order or settlement agreement requiring return or destruction of documents produced during discovery
- 2020-09 - format for return of client file when file is maintained electronically
- 2020-08 - discovery agreement limiting lawyer's ability to turn over discovery to client as part of client file
- 2019-03 - disposition of client file when lawyer leaves a law firm
- 2015-10 - request for file by jointly represented client when lawyer leaving a law firm
- 20070008 - confidentiality concerns when 3rd party vendor scans client files
- 20040052 - attorney retaining copy of file after returning file to client
- 20030047 - courtesy copies provided during representation
- 20030010 - providing client with file; withholding transcripts from file when client has not paid for transcripts
- 990146 - handling of request for estate planning file for deceased client by personal representative
- 990118 - responding to grand jury subpoena requesting client file
Client Misconduct
- 2019-01 - client inappropriately or wrongfully obtaining email communications of opposing party
- 20060053 - trustee misappropriating funds of trust
- 20000185 - client improperly contacting judge in case
Communication
- 2019-06 - disclosure of lawyer mistake to client; settling claim or potential claim for malpractice
- 2015-03 - lawyer being asked to sign subrogation agreement issued by Client's employee benefit plan to acknowledge subrogation and lien rights
- 20060073 - reduced fees for estate planning client who leaves estate to non-profit organization
- 20050051 - conflict of interest and possible misconduct
- 20030030 - inability to locate client
- 20030063 - attorney with professional and personal relationship with opposing party's expert witness
- 20010038 - Inability to locate clients
- 20000129 - handling of client trust funds when lawyer unable to contact clients
- 990007 - risks of using email with clients
Communication with Clients
- 2026-09 - use of AI Software in depositions including software with real-time “listening” capabilities
- 2020-04 - notice to current clients for whom lawyer provided material representation
- 2020-06 - duties upon leaving a law firm
- 2017-02 - lawyer's responsibilities when a nonlawyer assistant breaches confidentiality
- 20030088 - litigation against former client when litigation unrelated to former representation
- 990130 - including arbitration clause in fee agreement
Communication with Represented Persons
- 2026-02 - communication with represented party when lawyer is a party to the dispute
- 2021-11 - second opinion from another lawyer while represented
- 2020-10 - communication with represented former member and director of association
- 2015-07 - requesting public records from a state agency where client is also suing that same state agency
- 2011-09 - bankruptcy trustee's communication with represented debtor
- 2013-01 - contacting unrepresented former managerial employees of a represented organization
- 2011-03 - communication with represented party when represented party is lawyer's family member
- 20090003 - communication with represented person via social networking
- 20050059 - communication with former client who has filed a complaint against lawyer, nonrefundable fees prohibited
- 20030061 - attorney for custodial parent having direct communications with children who have guardian ad litem (GAL) appointed
- 20010010 - communicating with nonmanagerial employees of an organization
- 20000108 - In personal injury matter, contacting at fault driver when lawyer and driver's insurer negotiating settlement
- 20000140 - sending documents directly to represented seller when sales agreement provides for such
- 990225 - direct contact with person who is subject to guardianship when guardian is a lawyer
- 990012 - communication with insured when claims adjuster involved but insured not known to be represented by counsel
- 990029 - communicating with former employee of an organization
Communication with Unrepresented Persons
- 2015-07 - requesting public records from a state agency where client is also suing that same state agency
- 2013-01 - contacting unrepresented former managerial employees of a represented organization
- 2010-0055 - mediator preparing dissolution documents for both parties
- 20000108 - In personal injury matter, contacting at fault driver when lawyer and driver's insurer negotiating settlement
- 990174 - communication with employee of unrepresented party
Competence
- 2026-09 - use of AI Software in depositions including software with real-time “listening” capabilities
- 2025-08 - lawyers and scams
- 2024-11 - lawyer’s use of generative artificial intelligence (AI)
- 2024-09 - competence and supervision issued related to redaction requirements
- 2024-07 - over redaction as failure to comply with Court rules and/or lack of competence
- 2021-12 - virtual practice
- 2018-09 - cloud computing
- 2018-07 - duty to report possible impairment of another lawyer
- 20030049 - withdrawal occasioned by lawyer’s departure from firm
Confidentiality
- 2026-11 - confidentiality issues for lawyer subpoenaed for deposition regarding a former client
- 2026-10 - lawyer’s disclosure of confidential information to establish a fee and necessary protective measures
- 2026-09 - use of AI Software in depositions including software with real-time “listening” capabilities
- 2026-06 - lawyer may not provide revoked trust documents from deceased client’s file unless a valid exception is met pursuant to Rule 4-1.6
- 2026-05 - lawyer’s considerations when concerned about diminished capacity of client and possible need for protective action
- 2026-04 - disclosure of the existence of deceased client’s personal injury action to client’s next-of-kin
- 2026-03 - action required when lawyer learns client has provided false document in discovery response
- 2025-08 - lawyers and scams
- 2024-11 - lawyer’s use of generative artificial intelligence (AI)
- 2024-10 - redaction requirements and duty to report professional misconduct
- 2023-06 - lawyer disclosure of client confidential information in disciplinary investigation
- 2022-07 - email sent to incorrect address
- 2022-04 - writing samples and conflidentiality
- 2021-13 - metadata
- 2021-12 - virtual practice
- 2021-03 - contract with vendor for disposal of client files
- 2020-22 - credit card payment disputes and chargebacks
- 2020-26 - theft of laptop, cell phone, bar card, and credit cards; loss of client confidential information
- 2021-01 - confidentiality and return of client funds
- 2020-05 - disclosure of client confidential information to check conflicts when changing employment
- 2020-03 - client threatens suicide
- 2019-05 - client threatening harm
- 2018-10 - crowdfunding
- 2018-11 - lawyer assisting with winding up deceased lawyer's practice; serving as a trustee; confidentiality and reviewing client files for distribution
- 2018-09 - cloud computing
- 2018-08 - responding to online reviews
- 2018-06 - reporting bogus check to law enforcement
- 2017-04 - court order to disclose confidential information
- 2017-02 - lawyer's responsibilities when a nonlawyer assistant breaches confidentiality
- 2015-09 - public financial disclosure; name of client and fees confidential
- 2013-02 - establishing claim on behalf of lawyer for fees
- 2015-02 - information contained in public records confidential to lawyer
- 2013-03 - representing a three-member LLC; confidentiality; duly authorized constituent
- 2012-03 - lawyer establishing claim against former client
- 2012-01 - email disclaimer
- 2010-0052 - disclosure of contents of wills
- 20070016 - disclosure of client's file when client deceased
- 20070008 - confidentiality concerns when 3rd party vendor scans client files
- 20060053 - trustee misappropriating funds of trust
- 20060004 - responding to a subpoena for client confidential information
- 20050051 - conflict of interest and possible misconduct
- 20050021 - providing deceased client's file to the personal representative
- 20050020 - filing suit against client for collection of fees
- 20040028 - parties to will contest cannot waive confidentiality rule
- 20040004 - lawyer may provide copy of decedent's will to family in certain circumstances
- 20040003 - lawyer receiving referrals from title company where lawyer works in a nonattorney capacity
- 20030088 - litigation against former client when litigation unrelated to former representation
- 20030020 - contract lawyer is distinguished from "Of Counsel" lawyer for conflict analysis, limiting access to confidential information for contract lawyer
- 20030016 - disclosure of draft estate documents where client died before estate plans effectuated
- 20030045 - disclosure of confidential information to defend against lawsuit
- 20020056 - delivering copy of will to probate court
- 20010154 - disclosure of power of attorney for deceased client
- 20010103 - testifying about creation and funding of trust
- 20010059 - no confidentiality for information learned after lawyer declined representation
- 20000208 - discussing former client's competency with client's current lawyer
- 20000168 - prosecutor prosecuting defendant previously represented defendant as a public defender in unrelated criminal case
- 20000157 - disclosure of probate documents to creditor's counsel
- 20000101 - estate documents cannot be released to executor of deceased client without court order
- 20000165 - no disclosure of estate file without court order unless client gave express consent
- 20000048 - no conflict when requesting protective order in family law matter against former client where attorney represented former client in worker's compensation matter and attorney learned no personal information about client
- 990146 - handling of request for estate planning file for deceased client by personal representative
- 990120 - conflicts of interest and confidentiality issues with office sharing arrangement
- 990118 - responding to grand jury subpoena requesting client file
- 990116 - use of booth at trade show as advertising method
- 990053 - providing client file to lawyer's liability insurer
Conflict of Interest - Current Client
- 2026-05 - lawyer’s considerations when concerned about diminished capacity of client and possible need for protective action
- 2025-09 - client and duly authorized constituents identification for city attorney
- 2025-07 - lawyer serving as Guardian ad Litem (GAL) for minor and minor’s infant
- 2020-05 - disclosure of client confidential information to check conflicts when changing employment
- 2017-06 - part-time prosecutor in County A also a member of private firm in County B; conflicts of law firm defending clients against criminal charges in County B
- 2017-03 - lawyer serving as Guardian ad Litem (GAL) and counsel for the same individual
- 2011-10 - continuation of representation when malpractice claim filed and waiver given
- 2010-0055 - mediator preparing dissolution documents for both parties
- 20060073 - reduced fees for estate planning client who leaves estate to non-profit organization
- 20050030 - conflict created by hiring new lawyer who is opposing counsel in a current case
- 20050025 - representation of both father and grandparents in a family law matter
- 20040059 - waiver of conflicts by government entities
- 20040012 - eye witness to accident serving as plaintiff's counsel in personal injury action
- 20030025 - special prosecutor's ability to represent criminal defendants
- 20030063 - attorney with professional and personal relationship with opposing party's expert witness
- 20020064 - lawyer appointed to handle criminal trial can act as private paid counsel for appeal
- 20020002 - agreement with insurer to defend claims brought against insureds for flat fee
- 20010074 - serving both as county and municipal prosecutor
- 20010045 - municipal judge representing criminal defendants in other courts in same locality as municipality
- 20010011 - representation of minor in personal injury case and representation of spouse in dissolution from minor client's guardian
- 20000177 - prosecutor who handled criminal prosecution of a defendant who injured a county employee cannot handle litigation related to the subrogation of county employee's worker's compensation claim
- 20000103 - prospective clients contacting law firm through email hyperlink on firm's website
- 20000161 - screening of prosecutor's office in probation revocation matter where assistant prosecutor represented defendant as public defender on underlying charge
- 20000003 - city attorney has conflict with personal injury action if city police investigated accident
- 990120 - conflicts of interest and confidentiality issues with office sharing arrangement
- 990116 - use of booth at trade show as advertising method
- 990108 - lawyer's representation of association when members suing each other
- 990106 - lawyer bringing suit against a state agency when lawyer represents separate state agency
- 990021 - law firm lawyers serving as guardian ad litems (GALs) in juvenile court and representing criminal defendants
- 990050 - merger discussions between law firms when law firms represent adverse parties in a lawsuit
Conflict of Interest - Former Client
- 2022-01 - generally known
- 2021-06 - conflicts when government entity contracts with private attorney
- 2020-05 - disclosure of client confidential information to check conflicts when changing employment
- 2017-07 - conflicts when lawyer leaving a law firm and joining another law firm
- 2015-08 - former joint representation of clients in estate planning and financial transaction; subsequent representation of one of those former clients in custody matters
- 2011-06 - representation of conservator when attorney drafted the estate documents
- 20060093 - substantially related matter when ex-wife sues ex-husband for failure to pay creditor when lawyer represented couple in original collection action
- 20060003 - representation of husband in modification action when law partner represented wife while at another firm in underlying divorce
- 20050051 - conflict of interest and possible misconduct
- 20040042 - conflict exists when lawyer represents wife in initial (dismissed) dissolution action and then husband in subsequent dissolution action
- 20030088 - litigation against former client when litigation unrelated to former representation
- 20030020 - contract lawyer is distinguished from "Of Counsel" lawyer for conflict analysis, limiting access to confidential information for contract lawyer
- 20010035 - imputed conflict of interest created when lawyer joins firm
- 20000237 - conflict of interest with client from lawyer's former firm
- 20000168 - prosecutor prosecuting defendant previously represented defendant as a public defender in unrelated criminal case
- 20000088 - representation of client against corporation where lawyer previously represented shareholder and principal officer of corporation
- 20000061 - representation of shareholders in dissolution of limited liability company when lawyer previously represented the limited liability company
- 20000048 - no conflict when requesting protective order in family law matter against former client where attorney represented former client in worker's compensation matter and attorney learned no personal information about client
- 990054 - former prosecutor representing criminal defendant in probation hearing
Conflict of Interest - Former Judge, Mediator or Third-Party Neutral
- 2010-0055 - mediator preparing dissolution documents for both parties
- 2011-05 - conflict of interest for former guardian ad litem (GAL) representing party in termination of parental rights
- 990076 - assisting client in enforcement of court order when order was issued by lawyer in former capacity as a judge
Conflict of Interest - Imputed Disqualification
- 2020-20 - impution of conflicts of interest between firm and Of Counsel lawyers
- 2019-07 - Of Counsel lawyer at firm providing pro bono representation at nonprofit organization
- 2017-07 - conflicts when lawyer leaving a law firm and joining another law firm
- 2018-03 - conflicts related to lawyer who previously served as a Guardian ad Litem (GAL)
- 2018-04 - conflicts related to nonlawyer assistants; screening
- 20050030 - conflict created by hiring new lawyer who is opposing counsel in a current case
- 20060003 - representation of husband in modification action when law partner represented wife while at another firm in underlying divorce
- 20030020 - contract lawyer is distinguished from "Of Counsel" lawyer for conflict analysis, limiting access to confidential information for contract lawyer
- 20010035 - imputed conflict of interest created when lawyer joins firm
- 20000237 - conflict of interest with client from lawyer's former firm
- 20010011 - representation of minor in personal injury case and representation of spouse in dissolution from minor client's guardian
Conflict of Interest - Personal Interest
- 2022-05 - disciplinary complaint filed during representation
- 2011-10 - continuation of representation when malpractice claim filed and waiver given
- 2015-04 - referral fee agreement with company providing law-related services; conflict of interest
- 20030063 - attorney with professional and personal relationship with opposing party's expert witness
Conflict of Interest - Prohibited Transactions (see also Business Transaction with Client)
- 2023-08 - lawyer may be named as successor trustee in estate planning documents prepared by lawyer so long as lawyer complies with requirements of Rule 4-1.8(a)
- 2015-04 - referral fee agreement with company providing law-related services; conflict of interest
- 20050032 - requirements for client to give substantial gift to lawyer
- 20050041 - payment of attorney fees via deed of trust and note payable by third party
- 20030019 - referral by lawyer to investment/life insurance business owned by lawyer
- 20020002 - agreement with insurer to defend claims brought against insureds for flat fee
- 20020024 - lawyer who also provides financial planning services
- 20020031 - payment of costs and expenses in contingent fee cases when lawyer fails to go forward with claim
- 20000216 - taking shares of stock of organizational client for payment of services
- 20000226 - paying client for lost wages for time off due to litigation
- 20000238 - lawyer acquiring proprietary interest in client's litigation
- 990111 - advancing travel expenses to client when trip related to litigation
Conflict of Interest - Prospective Client (see also Prosepctive Client)
- 2020-01 - wife consulted with lawyer about dissolution, but did not hire; husband wants to hire firm on motion to modify
Conflict of Interest - Representing Multiple Parties (a.k.a. Common or Dual Representation)
- 2026-01 - representation of both driver and passenger in car accident when passenger has previously settled with driver’s insurer, withdrawal if common representation fails
- 2025-09 - client and duly authorized constituents identification for city attorney
- 2021-04 - representation of multiple siblings in partition action from parent's estate; withdrawal when common representation fails
- 2021-05 - representing company and manager at the same time
Contraband
- 2020-28 - lawyer receives by mail a check for client representation and what appears to be an illegal substance
Corporate Clients
- 2013-03 - representing a three-member LLC; confidentiality; duly authorized constituent
- 20080012 - direct solicitation to corporate entities
- 20000216 - taking shares of stock of organizational client for payment of services
- 20000061 - representation of shareholders in dissolution of limited liability company when lawyer previously represented the limited liability company
Credit Cards
Criminal
- 2020-28 - lawyer receives by mail a check for client representation and what appears to be an illegal substance
- 2017-06 - part-time prosecutor in County A also a member of private firm in County B; conflicts of law firm defending clients against criminal charges in County B
- 20030089 - prosecuting attorney’s knowledge of criminal acts of another attorney
Deceased Client
- 2018-01 - funds of deceased client
- 20070016 - disclosure of client's file when client deceased
- 2010-0052 - disclosure of contents of wills
- 20050021 - providing deceased client's file to the personal representative
- 20060004 - responding to a subpoena for client confidential information
- 20040004 - lawyer may provide copy of decedent's will to family in certain circumstances
- 20040028 - parties to will contest cannot waive confidentiality rule
- 20030016 - disclosure of draft estate documents where client died before estate plans effectuated
- 20010154 - disclosure of power of attorney for deceased client
- 20020056 - delivering copy of will to probate court
- 20010103 - testifying about creation and funding of trust
- 20000101 - estate documents cannot be released to executor of deceased client without court order
- 20000102 - disclosure of client's death
- 20000165 - no disclosure of estate file without court order unless client gave express consent
Deceased Lawyer
- 2018-11 - lawyer assisting with winding up deceased lawyer's practice; serving as a trustee; confidentiality and reviewing client files for distribution
- 2017-05 - payment of lien of deceased lawyer
Declining Representation (see also Withdrawal from Representation)
- 2024-06 - Prospective client entitled to return of papers and properties provided to lawyer during initial consultation; prospective client not entitled to client file if representation is declined
- 20010059 - no confidentiality for information learned after lawyer declined representation
Diligence
- 20000172 - fee agreement which provides lawyer will stop work if client fails to make payment
Diminished Capacity of Client
- 2026-05 - lawyer’s considerations when concerned about diminished capacity of client and possible need for protective action
- 2023-01 - lawyer appointed to represent client in guardianship proceedings and diminished capacity
- 2020-27 - termination of representation by client with diminshed capacity
- 2019-05 - client threatening harm
- 990095 - estate planning lawyer's actions when client is exhibiting diminished capacity
Disciplinary Complaint
- 2022-05 - disciplinary complaint filed during representation
Disciplinary Matters
- 2023-06 - lawyer disclosure of client confidential information in disciplinary investigation
- 20030089 - prosecuting attorney’s knowledge of criminal acts of another attorney
- 20010039 - duty to report regarding possible improper limitation of malpractice claim
- 20000132 - attorney who believes another attorney has violated solicitation rule should report attorney
Discovery
- 2020-07 - protective order or settlement agreement requiring return or destruction of documents produced during discovery
- 2020-08 - discovery agreement limiting lawyer's ability to turn over discovery to client as part of client file
- 2011-08 - consultation with client regarding means used to pursue objectives, withdrawal for lack of payment of expenses
- 20070040 - handling of document inadvertently produced in discovery
Divorce/Dissolution
- 2026-02 - communication with represented party when lawyer is a party to the dispute
- 2020-25 - remedial measures when lawyer learns of false information filed in connection with dissolution matter
- 2020-01 - wife consulted with lawyer about dissolution, but did not hire; husband wants to hire firm on motion to modify
- 2015-08 - former joint representation of clients in estate planning and financial transaction; subsequent representation of one of those former clients in custody matters
- 20050025 - representation of both father and grandparents in a family law matter
- 20040042 - conflict exists when lawyer represents wife in initial (dismissed) dissolution action and then husband in subsequent dissolution action
Duties to Opposing Party and Counsel
- 2020-28 - lawyer receives by mail a check for client representation and what appears to be an illegal substance
- 2011-07 - payment of fact witness for out-of-pocket expenses and time spent testifying
Email and Electronic Communications
- 2022-07 - email sent to incorrect address
- 2021-07 - email and similar electronic communications part of client file
- 2018-08 - responding to online reviews
- 2012-01 - email disclaimer
Employment
- 2019-02 - threat of criminal prosecution or disciplinary complaint; duty to report
- 2013-01 - contacting unrepresented former managerial employees of a represented organization
Enrollment
- 2022-02 - retirement; inactive status; pro bono
- 2021-10 - practice of law in Missouri by Category 3 lawyer (nonresident); Change to Category 1 required
- 2020-02 - retiring lawyer taking inactive status
Estates, Wills, and Trusts
- 2021-04 - representation of multiple siblings in partition action from parent's estate; withdrawal when common representation fails
- 2020-27 - termination of representation by client with diminshed capacity
- 2015-08 - former joint representation of clients in estate planning and financial transaction; subsequent representation of one of those former clients in custody matters
- 2011-06 - representation of conservator when attorney drafted the estate documents
- 2010-0052 - disclosure of contents of wills
- 20070016 - disclosure of client's file when client deceased
- 20060073 - reduced fees for estate planning client who leaves estate to non-profit organization
- 20060053 - trustee misappropriating funds of trust
- 20060004 - responding to a subpoena for client confidential information
- 20050021 - providing deceased client's file to the personal representative
- 20040028 - parties to will contest cannot waive confidentiality rule
- 20040004 - lawyer may provide copy of decedent's will to family in certain circumstances
- 20030016 - disclosure of draft estate documents where client died before estate plans effectuated
- 20020056 - delivering copy of will to probate court
- 20010154 - disclosure of power of attorney for deceased client
- 20010103 - testifying about creation and funding of trust
- 20000157 - disclosure of probate documents to creditor's counsel
- 20000101 - estate documents cannot be released to executor of deceased client without court order
- 20000165 - no disclosure of estate file without court order unless client gave express consent
- 990146 - handling of request for estate planning file for deceased client by personal representative
- 990095 - estate planning lawyer's actions when client is exhibiting diminished capacity
Evidence of a Crime
- 2020-28 - lawyer receives by mail a check for client representation and what appears to be an illegal substance
Expert Witness - Lawyer Serving As
- 2017-01 - expert witness fees; fees to be shared with another lawyer
Failure to Pay or File Taxes
- 2022-03 - failure to pay or file taxes
Fairness to Opposing Party and Counsel
- 2019-01 - client inappropriately or wrongfully obtaining email communications of opposing party
- 2017-04 - court order to disclose confidential information
Fees - Division of Fees
- 2023-03 - payment of fees to retired lawyer
- 2020-12 - division of fees not applicable to Of Counsel
- 2017-05 - payment of lien of deceased lawyer
- 2018-05 - referral fees not permitted; division of fees with another lawyer
- 2015-04 - referral fee agreement with company providing law-related services; conflict of interest
- 2015-05 - division of fee agreement; lawyer subsequently disbarred
- 2010-0005 - contingency fee payment to disbarred lawyer
- 2010-0029 - rent payment based upon lawyer's gross receipts
- 20040021 - unauthorized practice of law by non-attorney owned company; fee sharing
- 20020003 - agreement regarding contingent fee splitting when lawyer leaves firm
- 20000133 - lawyer keeping all of contingent fee instead of sending it to former law firm when law firm owes lawyer money
- 20000195 - sharing fees with suspended lawyer
Fees - Flat Fees
- 2018-15 - flat fees
- 20050059 - communication with former client who has filed a complaint against lawyer, nonrefundable fees prohibited
- 20020002 - agreement with insurer to defend claims brought against insureds for flat fee
Fees - Generally
- 2026-10 - lawyer’s disclosure of confidential information to establish a fee and necessary protective measures
- 2025-04 - lawyer may accept cryptocurrency payment only for earned fees that are not to be placed in client trust account
- 2018-02 - advancing cost of affidavit and opinion by health care provider and evaluation of case by medical expert
- 2017-01 - expert witness fees; fees to be shared with another lawyer
- 2014-01 - reasonable fees; attorney’s lien; withdrawal
- 2013-02 - establishing claim on behalf of lawyer for fees
- 20060073 - reduced fees for estate planning client who leaves estate to non-profit organization
- 20050020 - filing suit against client for collection of fees
- 20020031 - payment of costs and expenses in contingent fee cases when lawyer fails to go forward with claim
- 20010069 - charging fee for handling med pay claim
- 20000216 - taking shares of stock of organizational client for payment of services
- 20000172 - fee agreement which provides lawyer will stop work if client fails to make payment
- 20000090 - combination fee arrangement with small upfront payment and contingency fee
- 20000025 - lawyer representing own minor child in a personal injury matter
- 20000023 - charging fee for interpleader action when client refuses to pay lienholder
- 990091 - permissible actions by lawyer when client refuses to endorse settlement check
- 990166 - applying client funds from trust account to client’s bill for unpaid fees or expenses
- 990130 - including arbitration clause in fee agreement
Fees - Third Party Payee
- 2021-05 - representing company and manager at the same time
- 2018-12 - third party payment of fees
- 2018-10 - crowdfunding
Financial Assistance to Client
- 2018-02 - advancing cost of affidavit and opinion by health care provider and evaluation of case by medical expert
- 990111 - advancing travel expenses to client when trip related to litigation
Firm Names
- 2024-01 - Law firm name and retirement of lawyer
- 2020-21 - requirement to disclose Of Counsel association
- 20060074 - continued use of lawyer biographical information after leaving a law firm
- 20020081 - lawyers advertising without reference to their firm
- 20000231 - including associate lawyer's name in firm's name
- 20000142 - using the word "group" in the name of a law firm where there is only 1 lawyer
- 20000057 - use of tradename
Government Lawyers
- 2025-09 - client and duly authorized constituents identification for city attorney
- 2021-06 - conflicts when government entity contracts with private attorney
- 2017-06 - part-time prosecutor in County A also a member of private firm in County B; conflicts of law firm defending clients against criminal charges in County B
- 20040059 - waiver of conflicts by government entities
- 20030025 - special prosecutor's ability to represent criminal defendants
- 20010045 - municipal judge representing criminal defendants in other courts in same locality as municipality
- 20010068 - requesting withdrawal or disqualification of prosecutor
- 20010074 - serving both as county and municipal prosecutor
- 20000177 - prosecutor who handled criminal prosecution of a defendant who injured a county employee cannot handle litigation related to the subrogation of county employee's worker's compensation claim
- 20000161 - screening of prosecutor's office in probation revocation matter where assistant prosecutor represented defendant as public defender on underlying charge
- 20000168 - prosecutor prosecuting defendant previously represented defendant as a public defender in unrelated criminal case
- 990054 - former prosecutor representing criminal defendant in probation hearing
Guardian ad Litem - Lawyer Serving As
- 2025-10 - reporting obligation for lawyer serving as a Guardian ad Litem (GAL)
- 2025-07 - lawyer serving as Guardian ad Litem (GAL) for minor and minor’s infant
- 2017-03 - lawyer serving as Guardian ad Litem (GAL) and counsel for the same individual
- 2018-03 - conflicts related to lawyer who previously served as a Guardian ad Litem (GAL)
- 2011-05 - conflict of interest for former guardian ad litem (GAL) representing party in termination of parental rights
- 20030061 - attorney for custodial parent having direct communications with children who have guardian ad litem (GAL) appointed
- 990021 - law firm lawyers serving as guardian ad litems (GALs) in juvenile court and representing criminal defendants
In-House Counsel
- 2024-02 - Virtual practice by in-house counsel located outside Missouri for corporation located in Missouri; Missouri license required
Inactive Status
- 2026-08 - use of identification as “retired (inactive) lawyer” socially
- 2022-02 - retirement; inactive status; pro bono
- 2020-02 - retiring lawyer taking inactive status
Judicial and Legal Officials
- 2026-07 - lawyer who makes a statement regarding a judge with reckless disregard as to its truth or falsity concerning the integrity of the judge engages in misconduct that is prejudicial to the administration of justice
Law Related Services
- 20030019 - referral by lawyer to investment/life insurance business owned by lawyer
- 20020024 - lawyer who also provides financial planning services
Law-Related Services (a.k.a. Ancillary Business)
- 2015-04 - referral fee agreement with company providing law-related services; conflict of interest
Lawyer as Witness
- 2023-04 - lawyer as witness when representing client in order of protection
- 2014-03 - lawyer who may be necessary witness handling pre-trial and other matters
- 2015-06 - lawyer as witness; necessary witness
- 20040012 - eye witness to accident serving as plaintiff's counsel in personal injury action
- 20000234 - court must determine whether lawyer is necessary witness
- 20000170 - lawyer who is necessary witness can participate in case as long as another attorney serves as the advocate at trial
- 20000025 - lawyer representing own minor child in a personal injury matter
- 990175 - lawyer serving as co-counsel and as witness
- 990206 - lawyer who acted as witness at trial can handle the appeal
Lawyer Referral and Information Services
- 2025-05 - Lawyers may only use client lead generation services if the services are “qualified services” registered with the Office of Chief Disciplinary Counsel pursuant to Rule 4-9.1.
- 20040033 - permissible to pay 10 percent fee to qualified lawyer referral service
- 20000189 - using referral service for consumer collection cases
- 20000130 - payment of referral fee to registered referral service
Leaving a Law Firm
- 2020-04 - notice to current clients for whom lawyer provided material representation
- 2020-05 - disclosure of client confidential information to check conflicts when changing employment
- 2020-06 - duties upon leaving a law firm
- 2019-03 - disposition of client file when lawyer leaves a law firm
- 2019-04 - disputes surrounding lawyer's departure
- 2015-10 - request for file by jointly represented client when lawyer leaving a law firm
- 2017-07 - conflicts when lawyer leaving a law firm and joining another law firm
- 20060060 - notice to clients required for departure of partner, associate, or “of counsel” lawyer
- 20020003 - agreement regarding contingent fee splitting when lawyer leaves firm
Litigation Loans
- 2023-10 - litigation loans pursuant to the Missouri Consumer Legal Funding Act
- 20030022 - loan to attorney to fund litigation expenses
- 20000229 - attorney’s duties when client proposes use of litigation loan
Maintaining the Integrity of the Profession
- 2023-02 - no duty to report misconduct of another lawyer for a lawyer representing that other lawyer whose conduct is in question
Malpractice (See also Mistake by Lawyer)
- 2019-06 - disclosure of lawyer mistake to client; settling claim or potential claim for malpractice
Meritorious Claims or Contentions
- 2024-09 - competence and supervision issued related to redaction requirements
- 2015-01 - pleading weekly wage in Workers' Compensation; basis in fact or law; candor to tribunal
Misconduct - Bias, Harassment, or Prejudice
- 2021-08 - reporting lawyer misconduct related to bias or prejudice
Misconduct - Conduct Prejudicial to the Administration of Justice
- 2026-07 - lawyer who makes a statement regarding a judge with reckless disregard as to its truth or falsity concerning the integrity of the judge engages in misconduct that is prejudicial to the administration of justice
- 2025-06 - It is prejudicial to the administration of justice to condition the settlement of a civil matter upon the condition that criminal charges be dismissed against one of the parties.
- 2024-08 - redaction by lawyer when meritorious claim or contention information is subject to redaction requirements
- 2024-07 - over redaction as failure to comply with Court rules and/or lack of competence
- 2019-02 - threat of criminal prosecution or disciplinary complaint; duty to report
- 20030022 - loan to attorney to fund litigation expenses
- 20000229 - attorney’s duties when client proposes use of litigation loan
Misconduct - Criminal Act by Lawyer
- 2023-05 - lawyer is required to self-report a finding or plea of certain criminal conduct or discipline in another jurisdiction within 10 days, but not to self-report misconduct generally
- 2021-02 - medical marijuana
Misconduct - Generally
- 2025-02 - timing of report to the Office of Chief Disciplinary Counsel of misconduct of another lawyer
- 2024-10 - redaction requirements and duty to report professional misconduct
- 2018-13 - lawyer providing educational seminars; solicitation; misconduct through acts of another
- 2011-04 - no duty to self-report misconduct
- 20010050 - lawyer must withdraw if client choses to proceed in dishonest manner regarding uninsured motorist payment
- 20000133 - lawyer keeping all of contingent fee instead of sending it to former law firm when law firm owes lawyer money
Mistake by Lawyer
- 2019-06 - disclosure of lawyer mistake to client; settling claim or potential claim for malpractice
- 2011-10 - continuation of representation when malpractice claim filed and waiver given
Nonprofit Organizations
- 2019-07 - Of Counsel lawyer at firm providing pro bono representation at nonprofit organization
Of Counsel
- 2020-21 - requirement to disclose Of Counsel association
- 2020-11 - elements of an Of Counsel relationship
- 2020-12 - division of fees not applicable to Of Counsel
- 2020-20 - impution of conflicts of interest between firm and Of Counsel lawyers
- 2019-07 - Of Counsel lawyer at firm providing pro bono representation at nonprofit organization
- 2012-02 - Of Counsel relationship with law firm and general counsel for bank
- 20060060 - notice to clients required for departure of partner, associate, or “of counsel” lawyer
- 20010080 - non-Missouri lawyer and Of Counsel relationship with Missouri firm
Office Sharing
- 990120 - conflicts of interest and confidentiality issues with office sharing arrangement
Organizational Clients (see also Corporate Clients or Government Lawyers)
- 2025-09 - client and duly authorized constituents identification for city attorney
- 2021-05 - representing company and manager at the same time
- 2020-10 - communication with represented former member and director of association
- 2013-03 - representing a three-member LLC; confidentiality; duly authorized constituent
- 990108 - lawyer's representation of association when members suing each other
Pro Bono
- 2019-07 - Of Counsel lawyer at firm providing pro bono representation at nonprofit organization
Procedure Following Suspension or Disbarment
- 2022-03 - failure to pay or file taxes
Professional Independence of Lawyer
- 2026-09 - use of AI Software in depositions including software with real-time “listening” capabilities
- 2022-06 - partnership with nonlawyer prohibited
- 2017-05 - payment of lien of deceased lawyer
- 2011-02 - attorney designating spouse as TOD beneficiary of law firm stock, joint ownership of law firm stock with nonlawyer
- 2015-05 - division of fee agreement; lawyer subsequently disbarred
- 2010-0005 - contingency fee payment to disbarred lawyer
- 2010-0029 - rent payment based upon lawyer's gross receipts
- 20060069 - use of nonlawyer to prepare and settle insurance claims, compensating nonlawyer based upon settlement amount
- 20040003 - lawyer receiving referrals from title company where lawyer works in a nonattorney capacity
- 20040033 - permissible to pay 10 percent fee to qualified lawyer referral service
Prospective Client (see also Conflict of Interest - Prospective Client)
- 2024-06 - Prospective client entitled to return of papers and properties provided to lawyer during initial consultation; prospective client not entitled to client file if representation is declined
- 2021-11 - second opinion from another lawyer while represented
- 2020-01 - wife consulted with lawyer about dissolution, but did not hire; husband wants to hire firm on motion to modify
- 2018-06 - reporting bogus check to law enforcement
- 20020055 - formation of lawyer attorney relationship
- 20010059 - no confidentiality for information learned after lawyer declined representation
Protective Order
- 2020-07 - protective order or settlement agreement requiring return or destruction of documents produced during discovery
Redaction
- 2024-10 - redaction requirements and duty to report professional misconduct
- 2024-09 - competence and supervision issued related to redaction requirements
- 2024-08 - redaction by lawyer when meritorious claim or contention information is subject to redaction requirements
- 2024-07 - over redaction as failure to comply with Court rules and/or lack of competence
Reporting Misconduct of Another Lawyer
- 2025-10 - reporting obligation for lawyer serving as a Guardian ad Litem (GAL)
- 2025-03 - SSM messages, or similar text messages, prohibited for solicitation pursuant to Rule 4-7.3
- 2025-02 - timing of report to the Office of Chief Disciplinary Counsel of misconduct of another lawyer
- 2024-10 - redaction requirements and duty to report professional misconduct
- 2023-02 - no duty to report misconduct of another lawyer for a lawyer representing that other lawyer whose conduct is in question
- 2021-08 - reporting lawyer misconduct related to bias or prejudice
- 2019-02 - threat of criminal prosecution or disciplinary complaint; duty to report
- 2018-07 - duty to report possible impairment of another lawyer
- 20060074 - continued use of lawyer biographical information after leaving a law firm
- 20050051 - conflict of interest and possible misconduct
- 20030089 - prosecuting attorney’s knowledge of criminal acts of another attorney
- 20010039 - duty to report regarding possible improper limitation of malpractice claim
- 20000132 - attorney who believes another attorney has violated solicitation rule should report attorney
Reporting Misconduct of Judge
- 2021-09 - reporting judicial misconduct
Reporting Professional Misconduct - Self-Reporting
- 2025-08 - lawyers and scams
- 2023-05 - lawyer is required to self-report a finding or plea of certain criminal conduct or discipline in another jurisdiction within 10 days, but not to self-report misconduct generally
Respect for Rights of Third Persons
- 2024-08 - redaction by lawyer when meritorious claim or contention information is subject to redaction requirements
- 2024-07 - over redaction as failure to comply with Court rules and/or lack of competence
- 2021-13 - metadata
- 2019-01 - client inappropriately or wrongfully obtaining email communications of opposing party
- 20070040 - handling of document inadvertently produced in discovery
- 20000102 - disclosure of client's death
Retirement (see also Inactive Status or Of Counsel)
- 2026-08 - use of identification as “retired (inactive) lawyer” socially
- 2025-01 - handling client files upon retirement; handling client files upon leaving the practice of law
- 2024-12 - retiring lawyer winding up practice from another state
- 2024-01 - Law firm name and retirement of lawyer
- 2023-07 - lawyer closing trust account upon retirement
- 2023-03 - payment of fees to retired lawyer
- 2022-02 - retirement; inactive status; pro bono
- 2020-11 - elements of an Of Counsel relationship
- 2020-02 - retiring lawyer taking inactive status
- 2011-01 - funds remaining in trust account upon closure of law firm
- 990177 - winding down practice
Scope of Representation
- 2026-03 - action required when lawyer learns client has provided false document in discovery response
- 2021-02 - medical marijuana
- 2011-08 - consultation with client regarding means used to pursue objectives, withdrawal for lack of payment of expenses
- 20030030 - inability to locate client
- 20020055 - formation of lawyer attorney relationship
- 20010050 - lawyer must withdraw if client choses to proceed in dishonest manner regarding uninsured motorist payment
Screening
- 2020-01 - wife consulted with lawyer about dissolution, but did not hire; husband wants to hire firm on motion to modify
- 2018-03 - conflicts related to lawyer who previously served as a Guardian ad Litem (GAL)
- 2018-04 - conflicts related to nonlawyer assistants; screening
- 20000161 - screening of prosecutor's office in probation revocation matter where assistant prosecutor represented defendant as public defender on underlying charge
Second Opinion
- 2021-11 - second opinion from another lawyer while represented
Settlement of Case
- 20030030 - inability to locate client
Supervision of Nonlawyers
- 2024-11 - lawyer’s use of generative artificial intelligence (AI)
- 2024-09 - competence and supervision issued related to redaction requirements
- 2022-07 - email sent to incorrect address
- 2021-12 - virtual practice
- 2021-03 - contract with vendor for disposal of client files
- 2017-02 - lawyer's responsibilities when a nonlawyer assistant breaches confidentiality
- 20060069 - use of nonlawyer to prepare and settle insurance claims, compensating nonlawyer based upon settlement amount
- 20040003 - lawyer receiving referrals from title company where lawyer works in a nonattorney capacity
- 990105 - law student conduct under Rule 13 certification
- 990019 - leasing employees where lawyer lacks ability to terminate or discipline employees
Threat of Criminal Prosecution or Disciplinary Complaint
- 2019-02 - threat of criminal prosecution or disciplinary complaint; duty to report
Trust Accounts and Safekeeping Property
- 2025-08 - lawyers and scams
- 2025-04 - lawyer may accept cryptocurrency payment only for earned fees that are not to be placed in client trust account
- 2024-06 - Prospective client entitled to return of papers and properties provided to lawyer during initial consultation; prospective client not entitled to client file if representation is declined
- 2023-09 - lawyers may not use third-party payment programs where advanced paid legal fees or expenses are not deposited directly in a client trust account
- 2023-07 - lawyer closing trust account upon retirement
- 2022-09 - fraudulent check on client trust account
- 2022-08 - depositing check electronically
- 2020-23 - approved financial institutions for holding trust accounts
- 2020-22 - credit card payment disputes and chargebacks
- 2021-01 - confidentiality and return of client funds
- 2020-19 - nonlawyer signatory on trust account
- 2020-18 - unidentified funds in trust account
- 2020-17 - funds of missing client
- 2020-16 - disputed funds
- 2020-15 - good funds
- 2020-14 - payment of lawyer's business or personal expenses from trust account
- 2020-13 - lawyer's funds in trust account
- 2018-10 - crowdfunding
- 2019-08 - credit card processing fees
- 2018-15 - flat fees
- 2018-01 - funds of deceased client
- 2018-06 - reporting bogus check to law enforcement
- 2017-01 - expert witness fees; fees to be shared with another lawyer
- 2015-03 - lawyer being asked to sign subrogation agreement issued by Client's employee benefit plan to acknowledge subrogation and lien rights
- 2014-05 - credit cards and trust accounts
- 2011-01 - funds remaining in trust account upon closure of law firm
- 2010-0067 - lawyer's own funds held in trust account
- 20030001 - placing unearned mediation fees in trust account
- 20000188 - lawyer's duty to lienholder when lawyer did not agree to protect lienholder's interest
- 20000129 - handling of client trust funds when lawyer unable to contact clients
- 20000023 - charging fee for interpleader action when client refuses to pay lienholder
- 20000007 - unable to locate client to refund funds from the trust account
- 990217 - trust account for dissolving law firm and handling of unaccounted funds in account
- 990166 - applying client funds from trust account to client’s bill for unpaid fees or expenses
- 990150 - handling of disputed liens when lawyer has acknowledged liens
- 990102 - handling of trust account funds when lawyer cannot locate the client
- 990091 - permissible actions by lawyer when client refuses to endorse settlement check
- 990008 - unclaimed client funds, consideration of non-IOLTA trust account
Trustee - Lawyer Serving as Per Rule 5.26
- 2018-11 - lawyer assisting with winding up deceased lawyer's practice; serving as a trustee; confidentiality and reviewing client files for distribution
Unauthorized Practice of Law; Multijurisdictional Practice of Law
- 2024-12 - retiring lawyer winding up practice from another state
- 2024-05 - Out-of-state lawyer reviewing purchase documents
- 2024-04 - Out-of-state lawyer representing client in deposition for lawsuit pending in Missouri; pro hac vice admission for a visiting attorney in a particular case
- 2024-03 - Virtual practice of law of another jurisdiction from Missouri, but not licensed in Missouri; Missouri license required
- 2024-02 - Virtual practice by in-house counsel located outside Missouri for corporation located in Missouri; Missouri license required
- 20060062 - single-member LLC and single-member S corporation may not appear before an administrative tribunal pro se
- 20040021 - unauthorized practice of law by non-attorney owned company; fee sharing
- 20030055 - out-of-state lawyer and holding out while awaiting licensure in Missouri
- 20010080 - non-Missouri lawyer and Of Counsel relationship with Missouri firm
- 20000013 - pro hac vice required for appearance by out-of-state lawyer before a Missouri administrative tribunal
- 20000029 - active practice of law by Missouri lawyer; IRS volunteer work
- 990226 - lawyer assisting in unauthorized practice by insurance agency; seminars
- 990105 - law student conduct under Rule 13 certification
Visiting Attorney Appearing in a Particular Case (a.k.a. Pro Hac Vice)
- 2024-04 - Out-of-state lawyer representing client in deposition for lawsuit pending in Missouri; pro hac vice admission for a visiting attorney in a particular case
- 20010014 - lawyer located in Missouri seeking bar admission cannot apply for Pro Hac Vice admission
- 20000013 - pro hac vice required for appearance by out-of-state lawyer before a Missouri administrative tribunal
Withdrawal from Representation
- 2026-03 - action required when lawyer learns client has provided false document in discovery response
- 2026-01 - representation of both driver and passenger in car accident when passenger has previously settled with driver’s insurer, withdrawal if common representation fails
- 2022-05 - disciplinary complaint filed during representation
- 2021-04 - representation of multiple siblings in partition action from parent's estate; withdrawal when common representation fails
- 2020-29 - withdrawal due to lawyer's physical or mental condition
- 2020-27 - termination of representation by client with diminshed capacity
- 2020-09 - format for return of client file when file is maintained electronically
- 2011-08 - consultation with client regarding means used to pursue objectives, withdrawal for lack of payment of expenses
- 2014-01 - reasonable fees; attorney’s lien; withdrawal
- 20080043 - lawyer's duties to client when court denies motion to withdraw
- 20060053 - trustee misappropriating funds of trust
- 20030049 - withdrawal occasioned by lawyer’s departure from firm
- 20030010 - providing client with file; withholding transcripts from file when client has not paid for transcripts
- 20010068 - requesting withdrawal or disqualification of prosecutor
- 20010050 - lawyer must withdraw if client choses to proceed in dishonest manner regarding uninsured motorist payment
- 20000172 - fee agreement which provides lawyer will stop work if client fails to make payment
- 20000185 - client improperly contacting judge in case
Workers' Compensation
- 2015-01 - pleading weekly wage in Workers' Compensation; basis in fact or law; candor to tribunal