The Advisory Committee on Judicial Ethics recently issued the following opinions, which are linked below.
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January 9, 2025 Broadcast
Opinion 24-138 A full-time judge may serve on the board of directors for a local not-for-profit senior center, subject to generally applicable limitations.
Opinion 24-139 (1) Where an attorney has electronically filed an exhibit to a motion purporting to show that opposing counsel failed to comply with the attorney registration requirements of Judiciary Law §468-a, a judge should afford the allegedly delinquent attorney an opportunity to demonstrate that he/she filed the mandatory registration statement and/or paid the prescribed fee. The judge may do so by letter copied to all counsel directing the allegedly delinquent attorney to provide proof of compliance (or an extension, excuse, or exception) within 60 days. (2) Whether the letter must be electronically filed to the case in which the motion was filed is a legal/administrative question we cannot address. (3) Unless the allegedly delinquent attorney establishes that he/she was in compliance at the time of his/her appearance in the case, the judge must report the attorney to the appropriate Appellate Division of the Supreme Court for any action the Appellate Division deems appropriate.
Opinion 24-140 A full-time judge may not serve as a board member of GERMIN on the facts presented.
Opinion 24-141 (1) An administrative/supervising judge who learns that a recurring guest lecturer at a court-sponsored internship program included a donation link and solicitation page for a charitable foundation in their presentation to the interns must direct the lecturer to omit these materials from any future presentations at the court’s internship program. (2) The judge and the court system may not provide a testimonial to be posted on the website of a charitable foundation.
Opinion 24-142 A town court may produce a year-end report about its activities and accomplishments, subject to generally applicable limitations on judicial speech and conduct. The report must be issued in the name of the entire court, rather than on behalf of any individual judge(s), and any discussion of recently decided cases, including the resolution of a longstanding local dispute, should be limited to a head-note style summary.
Opinion 24-143 On these facts, the inquirer (1) has full discretion to determine whether he/she has received sufficient information indicating a “substantial likelihood” that an attorney has committed a “substantial violation” of the Rules of Professional Conduct and, if so, what action is appropriate; and (2) need not take any action with respect to a judge as the initial two-prong test is not met.
Opinion 24-144 A full-time judge who serves on the board of a not-for-profit private school may not attend or participate in a private mediation concerning a school employee’s potential legal claims against the school.
Opinion 24-145 A town justice may not permit a part-time town court clerk to maintain full-time employment as a secretary in the county’s assigned counsel office, which assigns attorneys to appear in the inquirer’s court and processes payments to them.
Opinion 24-146 (1) On these facts, disclosure of ex parte communications to both sides is sufficient to dispel an appearance of impropriety. (2) Where a JHO receives a signed letter from jurors, designated as a “formal complaint,” with a detailed factual account of how the plaintiff’s counsel berated them for their verdict in the jury room, the JHO must report the attorney to the grievance committee. (3) After reporting the attorney, the JHO is disqualified from all matters where the attorney appears both while the disciplinary matter is pending and for two years thereafter. Remittal is unavailable unless the attorney waives confidentiality or the grievance committee issues a public opinion.
Opinion 24-147 (1) A judge may participate in a strictly neutral, non-partisan, and informational voter registration drive organized by a bar association or collegiate fraternity/sorority. (2) While a judge may not sit at a voter registration table accompanied by the NAACP’s banners or promotional materials, the judge may otherwise participate in a voter registration drive organized by the NAACP, provided that he/she does so without reference to the organization.
Opinion 24-149 Where a full-time judge and their sibling are the sole owners and officers of a corporation that owns a vacant lot, the judge may allow the corporation to enter into a lease agreement with a developer to build a mixed-use building on the lot and thereafter may either manage the building directly as landlords to retail and residential tenants or may permit a third party to manage it.
Opinion 24-150 Where a part-time village justice’s jurisdiction excludes any family court matters or alleged family court offenses, the judge may concurrently maintain full-time outside employment as a special advisor to the Commissioner of the Office of Children and Family Services on the agency’s policies, programs, and initiatives.
Opinion 24-151 (1) When the sole owner of a law firm is elected or appointed to full-time judicial office, he/she may enter into a sale of the assets of his/her firm for a fixed amount payable over a six-year period, so long as the law firm is dissolved when the judge assumes the bench. The sale arrangement may allocate risk between the judge and the purchaser in a manner that may allow the purchaser to pay less than the full agreed-upon amount, provided that the sales price places a clear upper limit on the compensation owing to the judge so that he/she does not in fact share in the purchaser’s overall profits. (2) The inquirer may send a letter or e-mail to the law firm’s clients to inform them of his/her appointment or election as a full-time judge, the sale of his/her law practice to the purchaser, and the concomitant plan to transition clients to the purchaser. (3) Once the judge has taken and filed his/her oath of office, he/she may not (a) issue a joint news release with the purchaser, (b) link to a previously issued joint news release with the purchaser, or (c) redirect web traffic automatically to the purchaser’s website. However, the judge may continue to maintain an announcement of the transition for a reasonable period of time on his/her former law firm’s website, including as a pop-up banner.
Opinion 24-152 A judicial association may raise funds for its operations by conducting a 50/50 drawing at a meeting, provided tickets are not sold to non-judges. A judge selling tickets to the drawing should take care to sell only to co-equal judges, rather than to (if applicable) any judges over whom he/she may have supervisory or appellate authority.
Opinion 24-153 Subject to generally applicable limits on judicial speech and conduct, judges who make a charitable donation to a not-for-profit entity may provide the entity with a brief statement about the donation.
December 16, 2024 Broadcast
Opinion 24-114 City Court judges who are statutorily authorized to appoint city marshals in a judicial district may (1) organize and participate in an informational and/or training program to encourage applicants for city marshal positions, and (2) promote the program, subject to generally applicable prohibitions on judicial speech and conduct.
Opinion 24-115 On these facts, a full-time judge must decline to serve as a “core investigator” in a university’s health equity research program.
Opinion 24-116 A judge presiding in a family treatment court may engage in ex parte communications with the court’s case managers. If the content involves outside information obtained from a non-court source, then notice should be given to the parent’s attorney. Otherwise there is no need to disclose the content of those communications to treatment court participants.
Opinion 24-117 Provided no adverse action is contemplated against the treatment participant and both the prosecutor and defense counsel are given notice and a reasonable opportunity to participate, a judge may conduct treatment court sessions with only the participant present. When engaging in discussions with a treatment court participant in the absence of counsel, the judge may discuss the participant’s progress and other matters pertaining to treatment court, without discussing the underlying criminal case. If the judge believes that matters raised in these discussions could potentially trigger adverse consequences, the judge should ensure that defense counsel is present before addressing them.
Opinion 24-118 A village justice may accept employment as an administrative assistant to a town board where the town has no authority over village governance and no involvement in setting the village budget or the judge’s salary.
Opinion 24-119 Whether a support magistrate may conduct an inquiry into an attorney’s declared conflict of interest presents a legal question beyond the jurisdiction of this Committee.
Opinion 24-120 (1) A judge may serve on the board of the parent teacher organization at their child’s school. The judge may make donations to the organization and assist in planning fund-raising, but must not personally solicit funds nor permit the judge’s name or office to be used for fund-raising. (2) Although a judge may ordinarily help coordinate school supply lists so that parents know what supplies are needed for the school year, a judge may not serve as liaison to a single for-profit company which has been designated as the exclusive source for such school supplies. (3) The judge may assist in planning fund-raising by baking and decorating cupcakes for a bake sale, but may not participate in selling food at the event. (4) The judge may assist in planning fund-raising by purchasing supplies for an arts and crafts station at a fund-raising fair, and may assist children with arts and crafts during the fair. (5) Where access to rides and activities at a fund-raising fair is controlled by paid tickets, the judge may not collect or punch tickets for children to take the rides or participate in those activities. (6) The judge may not co-host a fund-raising party with other parents. (7) The judge may serve as a class parent, but may not personally solicit funds, including dues or money for teacher/staff gifts.
Opinion 24-121 Where participation in a bar association’s charitable sporting event requires payment of an entry fee which is not primarily intended to cover event costs but instead is deliberately set at a fund-raising level, a judge: (1) may personally register for and participate in the event; (2) may solicit participation and/or contributions from other judges over whom he/she has no supervisory or appellate authority; (3) may not solicit participation or contributions, directly or indirectly, from non-judicial court personnel; but (4) may help organize a team of colleagues who have registered for the event.
Opinion 24-122 (1) A full-time judge may serve on the boards of a literacy promotion organization and a high school dropout prevention program, subject to generally applicable limitations. (2) The judge may not serve on the board of an organization that offers support services to those affected by substance use disorder, mental health issues, and poverty, where the judge’s court has the power to make direct or indirect referrals to the organization.
Opinion 24-124 A town or village justice court may not access or use an online portal created by a for-profit vendor to prosecute and/or adjudicate VTL § 1174-a cases, nor participate in the vendor’s training to implement the program.
Opinion 24-126 Where a mock trial competition is sponsored by academic institutions and is not a fund-raiser, a judge may serve as a judge in the competition and may permit his/her name to be announced in advance.
Opinion 24-128 A judge may not write a letter in support of an attorney who faces discipline from an assigned counsel panel for violation of the panel’s rules and directives.
Opinion 24-130 A support magistrate may serve as a youth baseball umpire for a local chapter of Little League.
Opinion 24-131 A non-judge candidate for election to judicial office may be a regular member of a political party’s county committee, subject to all applicable limitations of 22 NYCRR 100.5. The candidate may participate in the county committee’s candidate designation process to the extent of voting to designate him/herself.
Opinion 24-132 A judge may not be an officer or director of Zonta International, but may be a regular member of the organization.
Opinion 24-133 A judge whose child is employed as a social worker in another county by a not-for-profit organization may refer cases to the organization’s restorative justice program so long as the judge is satisfied the child will never be assigned to work on cases in the judge’s county. Where the judge’s child may participate in cross-jurisdictional discussions with colleagues about restorative justice issues, the judge must disclose his/her child’s employment with the organization.
Opinion 24-134 A judge may sit at a non-partisan voter registration table that is unaffiliated with any organization and provide voter registration forms to potential voters.
Opinion 24-135 A part-time judge is disqualified, subject to remittal, in a case which has been restored to the judge’s calendar, where the defendant is a recent customer of the judge’s automotive/towing business.
Opinion 24-136 A judicial hearing officer may attend a not-for-profit organization’s fund-raising gala and accept an unadvertised award as one of several honorees, provided his/her name is not announced in advance or listed on the invitations.
Opinion 24-137 A judge need not disqualify in a matter merely because a litigant has publicly accused the judge of misconduct or filed a complaint with the Commission on Judicial Conduct, so long as (i) the judge can remain fair and impartial and (ii) the Commission has not issued a formal written complaint charging the judge.
August 13, 2024 Broadcast
Opinion 24-90 Absent any legal incompatibility in the positions, a village justice may permit the same individual to be employed part-time as a village court clerk and part-time in the village clerk’s office.
Opinion 24-91 A judge may not speak at a not-for-profit organization’s annual breakfast, where the organization solicits sponsorships significantly beyond the expected costs of the breakfast.
Opinion 24-92 A judge who serves on the board of the Historical Society of the New York Courts may authorize the distribution of funds held by the Historical Society to support projects such as granting scholarships to judges, producing a court-related film, and placing artwork at a courthouse.
Opinion 24-93 A judge may serve on a judiciary-initiated committee to address jury diversification with a coalition of judges, court clerks, jury commissioners, prosecutors, defenders, and sitting legislators. However, the legislators should be advised not to use the names of judges or the fact of the judges’ participation for partisan political purposes.
Opinion 24-94 A full-time judge who previously served as counsel to a town supervisor may sit in the “town part” of the judge’s court and preside over cases where the town attorney appears so long as there are no other conflicts of interest, and he/she can be fair and impartial.
Opinion 24-96 On the specific facts presented, a judge who is advised by the authorities that the judge’s adult child repeatedly invoked the judge’s name and judicial status in an effort to avoid arrest and criminal charges should notify the judge’s child in writing to cease using the judge’s name in such circumstances.
Opinion 24-97 A judge may provide a loan to a friend who is seeking money to start a personal fitness business, where the loan will be repaid to the judge with interest and the judge will not be a partner in the business nor have an equity share or active participation in running the business as a director, manager, or advisor.
Opinion 24-98 (1) Although a judge may not voluntarily provide a character reference at the request of the applicant for a pistol permit, a judge with relevant personal knowledge, who is not a firearm licensing officer, may permit the applicant to list the judge as a character reference in connection with his/her pistol permit application. Should the firearm licensing officer then choose to contact the judge for information about the applicant’s character, the judge may respond to the licensing officer’s questions based on personal knowledge. (2) A judge who is a firearm licensing officer may not authorize an applicant for a pistol permit to list him/her as a reference on their pistol permit application.
Opinion 24-99 Where a not-for-profit entity engages in some activities clearly permissible for judges as well as some potentially controversial lobbying, advocacy, and litigation activities, a judge or quasi-judicial official may not participate in a voter hotline organized by that entity.
Opinion 24-100 A town justice who is a notary public may notarize documents as part of his/her duties as appointed village treasurer, provided he/she does so strictly as a notary public without reference to his/her judicial title or status.
Opinion 24-101 A judge may attend the NAACP’s national convention as a member of the organization but (a) may not engage in any partisan political activity, (b) may not serve as a delegate or voting member or otherwise assume any leadership role, and (c) must not associate him/herself with organizational positions on matters of public controversy.
Opinion 24-102 A full-time judge may serve on the board of directors of a charitable not-for-profit organization if the judge has no opportunity to make referrals to the organization, the organization will not regularly be involved in adversarial proceedings in any court, or any proceedings in the judge’s court, and board membership does not conflict with judicial duties. As always, the judge must refrain from fund-raising for the organization.
Opinion 24-103 A quasi-judicial official may not accept an offer to stay at the vacation home of an attorney who regularly appears before him/her.
Opinion 24-104 A judge may participate in the activities of not-for-profit veterans’ organizations, provided the judge does not personally solicit funds or permit his/her judicial status to be used for fund-raising purposes. A judge may donate to these organizations and may also identify veterans who can benefit from the services they offer.
Opinion 24-105 A part-time justice may accept employment as an assistant public defender in another county and appear in family court, but must not preside in any matter where another attorney from the same public defender’s office appears.
Opinion 24-106 A part-time judge who owns an investment advisory firm and is not in his/her window period for election may neither permit the firm to sponsor a golf tournament to benefit the election campaign of a candidate for public office nor participate personally in such an event.
Opinion 24-107 Where a part-time town justice is also a court attorney/law clerk in city court: (1) the judge may conduct arraignments in the centralized arraignment part on cases originating in the city court, but must be insulated from those cases as a court attorney/law clerk, and the insulation and the basis for it must be disclosed on the record to all parties and their counsel; (2) the judge may arraign warrants issued by the city court where he/she serves as a court attorney/law clerk, assuming the judge is not otherwise disqualified in the matter; and (3) whether the judge may decline to serve in the centralized arraignment part is primarily an administrative question, rather than an ethical one.
Opinion 24-108 We cannot comment on an inquiry while there is a pending investigation by the Commission on Judicial Conduct.
Opinion 24-109 An appellate judge, who is also an adjunct law professor, may write letters of recommendation based on personal knowledge for current or former law students seeking judicial clerkships in other courts. The letter should be addressed directly to the hiring judge, unless that judge presides in a lower court subject to the appellate judge’s jurisdiction. If the judge uses judicial stationery, he/she must clearly mark it “Personal and Unofficial.”
Opinion 24-110 A new full-time judge may engage in activities designed to wind down his/her prior professional corporation and collect previously earned legal fees. The judge may represent him/herself in negotiating a fee splitting or quantum meruit agreement with a successor law firm regarding legal fees earned prior to assuming the bench, although the fee agreement must be permissible under the Rules of Professional Conduct. Where the professional corporation's bank account remains open to pay expenses in winding down the practice, a check for the judge's share of legal fees may be made payable to the professional corporation.
Opinion 24-111 An administrative judge has satisfied his/her ethical obligations by contacting a judge whose name improperly appeared on the invitation to a political fund-raiser, and advising the judge to (a) seek guidance from the Judicial Campaign Ethics Center and (b) object to use of his/her name on the fund-raising invitation and refrain from attending the event.
Opinion 24-113 A judge who makes direct and indirect referrals to mental health and substance abuse services may write a letter in support of a local counseling agency’s application for approval as a certified behavioral health clinic. The judge should not simply sign a form letter, as the judge’s letter should reflect the judge’s observations and judgment.
July 22, 2024 Broadcast
Opinion 24-68 Although a magistrates association, as well as individual judges, may publicly oppose a court reorganization that would replace local town and village courts with a district court, they may not do so by undertaking traditional “campaign activity” such as campaign advertisements, lawn signs, palm cards, or raising funds from the public.
Opinion 24-69 The Rules Governing Judicial Conduct do not prohibit a town justice from simultaneously serving as commissioner of jurors and as chief clerk of the Supreme and County Court, subject to appropriate administrative approvals.
Opinion 24-70 A full-time judge may not accept an invitation from the judge’s spouse to discuss legal issues arising in the judge’s court at a “lunch and learn” meeting sponsored by the spouse’s for-profit employer.
Opinion 24-71 A judge may not contact state legislators regarding funding for the judge’s alma mater.
Opinion 24-72 (1) When a court interpreter is needed for an off-hours arraignment and the judge determines that an interpreter approved by the Unified Court System is unavailable, it is ethically permissible for the judge to use an independent third-party interpreting service with the consent of the parties or their counsel. If the service requires use of a paid account which is not paid for by the Unified Court System or the municipality, the accountholder’s identity should be disclosed on the record. (2) The use and selection of any interpreting service raises primarily legal or administrative issues beyond our purview to address.
Opinion 24-73 Where a judge concludes that there is a substantial likelihood that an attorney made racist and sexist remarks in connection with a matter before the judge, the judge must take appropriate action. On the facts presented, the judge has full discretion to determine what action is appropriate under the circumstances.
Opinion 24-74 A judge need not take any action with respect to a letter from an inmate accusing correctional officers of abuse. It is within the judge’s sole discretion to report, or not report, the allegations to any authorities as the judge deems appropriate under the circumstances.
Opinion 24-75 A judge whose first-degree relative is the county executive is disqualified in neglect proceedings where the county or its department of social services is a named party. Disqualification on this basis is subject to remittal.
Opinion 24-76 A judge may use personal funds to purchase snacks or confectionaries to be placed in the jury room.
Opinion 24-77 A judge has no ethical obligation to take any action concerning another judge’s conduct where the facts do not clearly indicate a substantial likelihood that the other judge has committed a substantial violation of the Rules Governing Judicial Conduct.
Opinion 24-78 A part-time judge may not serve as a “celebrity chef” for a local restaurant as part of its ongoing promotional activities.
Opinion 24-79 Where a judge concludes that there is a substantial likelihood that an attorney has deliberately deceived an infant client’s guardian into signing an onerous financing agreement with the attorney’s sibling, the judge must report the attorney to the appropriate grievance committee.
Opinion 24-80 A full-time judge who served as guardian for a disabled sibling may retain funds remitted to him/her by a law firm handling the sibling’s social security disability matter, provided the amount (1) is reasonable and (2) does not exceed what a non-judge would receive for the same activity. If a non-judge would not have been compensated by a law firm for non-legal services rendered as a temporary guardian in the context of a social security disability claim, then the judge must return those funds to the law firm.
Opinion 24-81 A town justice is not disqualified in a case merely because it (i) is prosecuted by an attorney whose conditional discharge is still pending before the judge and/or (ii) involves that attorney’s law firm partners or associates.
Opinion 24-82 A town justice may accept a position with the town’s highway department and “ghostwrite” a town’s state and federal grant applications for street, sidewalk, sewer, and infrastructure repairs, provided the judge does not personally solicit funds, permit the use of the prestige of judicial office for fund-raising, or permit the judge’s name to appear as the author or signatory on any grant applications.
Opinion 24-83 (1) Once the justices of a town court have reported an assistant public defender to the attorney grievance committee, they must disqualify in all cases where the reported attorney personally appears. (2) With respect to pending cases where the reported attorney had previously appeared on behalf of a defendant in the town court, the judges must also disqualify, even if such cases may be reassigned to another assistant public defender. (3) Where the reported attorney previously represented a defendant solely in the centralized arraignment part before another local judge and a different assistant public defender appears before the town court for post-arraignment proceedings, the judges are not disqualified based on the reported attorney’s prior involvement unless it becomes necessary to revisit some aspect of the arraignment. Opinion 19-154 is modified to reflect this opinion. (4) These obligations last during the pendency of the disciplinary complaint and for two years thereafter, and remittal is not permitted.
Opinion 24-84 A judge may speak at the League of Women Voter’s annual non-fund-raising dinner, held to elect chapter officers, concerning the procedure for amending the state constitution. The judge may accept a customary complimentary dinner as guest speaker.
Opinion 24-85 A judge may speak at a family shelter concerning the judge’s career path and lived experience and participate in distributing toiletries to the shelter’s residents.
Opinion 24-86 A group of judges may make charitable donations to local hospitals and be publicly recognized for it. The judges need neither disclose the donations nor disqualify themselves should the hospitals appear before them.
Opinion 24-87 A full-time judge who is one of the credited writers of a screenplay may permit his/her biography to be included in a screenplay pitch packet which will be circulated to seek funding for the proposed film. The judge’s judicial status may be mentioned in the biography, but must not be used for promotion of the screenplay or any resulting film.
Opinion 24-88 A county court judge may not use the workout facilities at the county sheriff’s department that are available to “all county employees” at no charge.
Opinion 24-89 A newly designated judicial hearing officer need not return a $250 retail store gift card received as a retirement gift from a local federation of not-for-profit sporting clubs.
July 1, 2024 Broadcast
Opinion 24-52 A judge who was a supervising assistant district attorney while the district attorney’s office investigated allegations of professional misconduct by an attorney colleague, but who was not involved in investigating or referring the attorney for discipline, is not disqualified from matters in which the attorney appears unless the judge believes he/she cannot be fair and impartial in those cases.
Opinion 24-53 An appellate judge may not speak at a victim impact panel in a county within the judge’s jurisdiction.
Opinion 24-54 A judge may permit their principal court attorney to serve on a town zoning board of appeals. Where the position is a compensated one, the judge should direct the court attorney to seek guidance from the Nonjudicial Ethics Helpline.
Opinion 24-55 A judge may not accept a leadership position with an Exploring Post that is to be administered and mentored by the local sheriff’s office.
Opinion 24-56 A judge is not disqualified from presiding in matters involving a large, regulated utility, merely because the company employs the judge’s court attorney’s spouse as a supervisory attorney in a specialized division. (1) Where the court attorney’s spouse has had no involvement in the case, either directly or as a supervisor, the judge need not insulate the court attorney nor make any disclosure. (2) If the spouse actually appears or has had some involvement, whether directly or as a supervisor, the judge (a) must insulate the court attorney, (b) must disclose both the relationship and the insulation, and (c) may thereafter preside in the matter, provided the judge can be fair and impartial, even if a party objects.
Opinion 24-57 A judge may invite attorneys to his/her wedding, provided that the attorneys are not on trial before the judge at the time of the event. The judge may also invite members of law enforcement to the wedding. For two years after the wedding, the judge must disclose when a wedding guest appears in the judge’s court.
Opinion 24-58 (1) A judge may not sign petitions that would publicly associate the judge with non-legal matters of substantial public and political controversy. (2) A judge may make financial contributions to not-for-profit organizations whose activities and missions appear to be essentially charitable in nature, but may not donate to political organizations.
Opinion 24-59 A part-time attorney judge who presides in a town court may represent a court officer assigned to a city court in the same county.
Opinion 24-60 A judge who is not in his/her window period for election or re-election to judicial office may not attend an otherwise impermissible legislative caucus weekend, even as a volunteer chaperone for students.
Opinion 24-61 (1) A judge who previously served as bureau chief in a district attorney’s office is disqualified from all matters pending in the bureau during the judge’s tenure as chief. (2) If the judge is unsure whether a case was pending in the judge’s bureau during his/her tenure as bureau chief, the judge should make a limited inquiry of the parties.
Opinion 24-62 Where a judge's association with his/her former law firm ended less than two years ago, the judge must disqualify in a matter involving a current client of the judge's former law firm, even if the party has not appeared in the matter. This disqualification is subject to remittal.
Opinion 24-63 A judge may not participate in efforts to honor a trailblazing physician with a postage stamp, where such efforts include petitioning the U.S. Postal Service and/or elected officials, and have no connection to the law, the legal system, or the administration of justice.
Opinion 24-64 A judge who is not in his/her window period may not attend an event sponsored by Voters of Tomorrow.
Opinion 24-65 A judge in a two-judge town court may preside in a criminal case where their co-judge’s relative was the arresting officer, provided the judge can be fair and impartial.
Opinion 24-66 A personally appointed court attorney whose official court duties include serving as a small claims arbitrator is a quasi-judicial official and therefore generally prohibited from engaging in political activity.
Opinion 24-67 Where a town has installed video security cameras in the courtroom and audio and video cameras in the court clerks’ office, a town judge must object in writing and notify an administrative or supervising judge. The judge may, in his/her discretion, petition town officials to restrict access to the cameras in the court clerks’ office and/or transfer monitoring and control functions to court personnel.
Opinion 23-226 (1) If a judge is currently disqualified in matters involving an attorney, he/she may not appoint that attorney as assigned counsel or attorney for the child during any such disqualification period. (2) A judge who is not disqualified from matters involving an attorney must exercise his/her discretion impartially when deciding whether to appoint the attorney, with an eye to avoiding even the appearance of any improper motivation.
May 23, 2024 Broadcast
Opinion 24-33 Where a full-time judge’s former client has contacted the judge to complain about the successor attorney, the judge may suggest the former client retain new counsel, but should not otherwise provide legal advice or assistance.
Opinion 24-34 A supervising judge may further judicial education by (1) distributing a scholarly outline concerning counsel fees in a specialized civil practice area to the jurists under his/her supervision, and (2) hosting a “lunch and learn” program for judges and court personnel which presents outside speakers, provided the overall program is balanced and impartial.
Opinion 24-35 A judge who determines there is a substantial likelihood that an attorney failed to maintain client funds in an escrow account must report the conduct to a disciplinary authority.
Opinion 24-36 On the facts presented, a judge may not accept a practicing attorney as a volunteer in chambers, where that attorney is currently a judicial candidate seeking election to judicial office.
Opinion 24-38 A town justice need not disqualify from cases involving tickets issued by his/her co-judge in the co-judge’s former capacity as a law enforcement officer.
Opinion 24-39 A county court judge may participate in judicial associations with the judges of the local courts over which the judge exercises appellate jurisdiction.
Opinion 24-40 (1) A judge who is a former assistant district attorney need not disqualify from unrelated civil matters involving individuals who were investigated or prosecuted by the judge or his/her subordinates during the judge’s tenure. (2) A judge’s impartiality cannot reasonably be questioned in a matter merely because one of the litigants is an attorney the judge knows professionally from practicing law and engaging in bar association activities over the course of many years.
Opinion 24-41 Where the relationship between the judge and a former client completely ended more than two years ago, including payment of legal fees, that former attorney/client relationship does not bar the judge from considering the former client’s application for a pistol permit.
Opinion 24-43 Where a judge’s cousin is an employee of a residential holding company and one of several non-lawyers who regularly appear as the company’s agent in eviction proceedings, the judge (1) must disqualify in matters involving the judge’s cousin but (2) may preside in eviction proceedings brought by other agents of the residential holding company, provided the judge is satisfied that his/her cousin is not likely to be a material witness and the judge can be fair and impartial.
Opinion 24-44 During the applicable window period, a village justice who is a judicial candidate may (1) use the title “Judge” in campaign materials and (2) use a domain name such as “judge[surname].com” for his/her campaign website.
Opinion 24-45 A part-time town justice may also serve as appointed village treasurer of a village within the town.
Opinion 24-46 (1) Subject to generally applicable limitations, a judge may attend meetings of not-for-profit civic or charitable organizations to discuss the judge’s experience on the bench and may invite attendees to observe the court in session. (2) A judge who is not a candidate for election or re-election to judicial office within the applicable window period may not purchase media advertisements for the judge’s upcoming speaking engagements. (3) A judge may not record a public service announcement for a local radio station about a plea-by-mail program for parking tickets in the judge’s court.
Opinion 24-47 A county magistrates association may honor a county court judge and a sheriff’s department captain by presenting them with plaques and dinner certificates in recognition of their service to the association.
Opinion 24-48 A part-time judge may serve (1) as an officer and director of a local cooperative extension association, provided the association does not operate any programs to which the court may make referrals; (2) on a not-for-profit endowment advisory committee which awards grants to a variety of not-for-profit community groups; and (3) as treasurer of a not-for-profit lake/watershed conservation organization, but must resign as an officer if the organization becomes involved in substantial local public controversy. The judge’s participation is subject to generally applicable limitations on judicial speech and conduct, including the prohibitions on fund-raising and membership solicitation. The judge may suggest names of individuals to be solicited by others, but must prohibit use of his/her name or title in any such solicitation.
Opinion 24-50 A judge presiding in a drug treatment court may engage in ex parte communications with the court’s resource coordinator. If the content involves outside information obtained from a non-court source, then notice should be given to the defense attorney. Otherwise there is no need to disclose the content of those communications to court participants.
Opinion 24-51 A town justice may permit a town employee, who is paid out of both the judicial budget and the town budget and is expressly subject to the town justice’s supervision and control, to transport court funds to the bank for deposit, notwithstanding that the employee is also tasked with depositing other town funds into other bank accounts.
April 26, 2024 Broadcast
Opinion 23-227 A part-time attorney judge who is a partner in a law firm where the majority of partners are non-judges and the non-judge partners have established a political action committee in the law firm’s name funded solely by voluntary contributions of individual partners, (1) must not contribute to the PAC, (2) must not participate in the PAC’s operations or decision-making, and (3) must advise the law firm in writing of these limitations. If the judge is satisfied that the law firm will honor these limitations, the judge need not resign from the law firm.
Opinion 23-228 A judge is prohibited from any involvement with fund-raising activities, but this restriction does not extend to the judge’s spouse.
Opinion 23-229 A judge may attend a victory party celebrating the election of the judge’s court attorney to judicial office, where it is paid for solely with the court attorney’s personal funds and not sponsored by any political organization.
Opinion 23-230 A judge may not personally volunteer at a not-for-profit organization’s exhibit booth, where a significant purpose of the booth is to recruit members.
Opinion 23-231 A judge is disqualified, subject to remittal, from a case in which the judge’s former law partner previously served as counsel while in partnership with the judge.
Opinion 23-232 Whether materials sought by the Commission on Judicial Conduct are shielded by attorney-client privilege presents a legal question beyond our jurisdiction.
Opinion 23-233 A full-time judge may serve as an adjunct professor at a law school.
Opinion 23-234 A judicial hearing officer may not voluntarily serve as a character reference or submit a letter attesting to the character of a judge undergoing a pending or impending disciplinary proceeding.
Opinion 23-235 There is no ethical rule prohibiting a successor judge from reviewing and approving a voucher for services rendered by a court-appointed attorney, merely because those services occurred while the case was pending before a predecessor judge.
Opinion 23-236 A part-time judge may maintain outside employment as an investigator for the Department of Social Services, where the judge’s responsibilities are limited to collecting information for applicants seeking public assistance.
Opinion 23-237 A full-time judge may serve on a Department of Criminal Justice Services advisory board that will make recommendations about distributing federal funds, provided that (1) the advisory board’s membership is balanced and (2) the judge’s involvement is limited to reviewing and making recommendations on distributing funds to the courts, and not to law enforcement organizations.
Opinion 23-238 A judge may accept an unsolicited offer from family members and close personal friends to pay for the judge’s induction ceremony, where these donors are individuals who are unlikely to come before the judge and whose appearance or interest in a case would in any event require the judge’s disqualification.
Opinion 23-239 A judge is not ethically required to investigate alleged misconduct.
Opinion 23-240 A full-time judge may not perform as a volunteer pianist during a charitable fund-raiser.
Opinion 23-241 Where a Lieutenant in the sheriff’s office serves on the town board: (1) a town justice is ordinarily disqualified, subject to remittal, in matters involving the Lieutenant and any deputy sheriffs under that Lieutenant’s supervision; but (2) the judge need not disqualify if he/she is satisfied that a town board resolution or other legal requirement prohibits the Lieutenant from voting or participating in deliberations on any town court matters.
Opinion 23-242 (1) A judge has no ethical duty to investigate allegations from the court attorney’s former romantic partner about the court attorney’s conduct before working for the judge. (2) Where the court attorney has admitted certain allegations which, in the judge’s view, constitute substantial professional misconduct, the judge must take appropriate action. (3) With respect to other allegations of a more personal and private nature, the judge need not take any action unless the judge concludes he/she has received information indicating a substantial likelihood that the attorney has committed a substantial violation of Rules of Professional Conduct. (4) On these facts, the judge has no ethical obligation to report the court attorney to the grievance committee or terminate the court attorney’s employment.
Opinion 23-243 (1) A judge who receives reliable information indicating a substantial likelihood that his/her co-judge has used a seemingly unaffiliated attorney to represent clients on certain cases that originated in their court, and arranged for those cases to be assigned to himself/herself, must report the co-judge to the Commission on Judicial Conduct. (2) If the judge further concludes, based on the information already known to him/her, that this seemingly unaffiliated attorney is an associate of the co-judge or is otherwise undertaking eviction work on behalf of the co-judge, the inquiring judge cannot accept eviction papers filed by that attorney. (3) The judge should consider whether he/she has received information indicating a substantial likelihood that the seemingly unaffiliated attorney has committed a substantial violation of the Rules of Professional Conduct; if so, the judge must take appropriate action.
April 12, 2024 Broadcast
Opinion 23-209 A judge may sign a family tree affidavit for the estate of the judge's long-time close friend, based upon facts within the judge's personal knowledge.
Opinion 23-210 A judge may, subject to administrative approval, designate a publicly available folder in the court clerk’s office to contain duplicate copies of the court’s non-sealed written criminal decisions in chronological order.
Opinion 23-211 A town justice may not permit his/her attorney assistant to accept part-time employment in the District Attorney’s office in the same county.
Opinion 23-212 (1) A part-time judge may serve on the legislative committee of a lawyers’ association, provided its agenda and activities are limited to improvement of the law, the legal system, or the administration of justice. (2) A town justice who previously provided legal services to the town must disqualify in all matters in which the town is a party for a period of two years from the termination of the representation. The disqualification is subject to remittal.
Opinion 23-213 A judge may serve on the board of a not-for-profit organization dedicated to maintaining a local park and providing educational and cultural programs for the community.
Opinion 23-214 A full-time judge who has co-authored a screenplay on a topic unrelated to the law may not use the judge’s judicial title to solicit agents and movie producers for the screenplay, and should likewise instruct the judge’s co-authors not to use the judge’s judicial title in promoting the screenplay.
Opinion 23-215 Where a judge’s personal legal matter completely terminated in August 2023, including payment of legal fees, the two-year disqualification period runs until August 2025.
Opinion 23-216 An administrative judge may not organize quarterly community volunteer opportunities for the judiciary and non-judicial staff.
Opinion 23-217 A judge (1) may not speak about the judge’s “philosophy” on pistol permits to gun advocacy groups or sportsmen/sportswomen; (2) may make non-political charitable contributions and/or be a regular member of the ACLU, Southern Poverty Law Center, Sierra Club, and Planned Parenthood, but may not donate to their political arms or assume any leadership position within them; (3) may make contributions to and/or be a member of not-for-profit educational, religious, charitable, cultural, fraternal, or civic organizations such as a public radio station, Salvation Army, a Rotary Club, and Operation Unite; and (4) may serve on a library board organized as a not-for-profit charitable, educational, or civic entity, but may not be involved in lobbying efforts or in seeking to influence legislation affecting the library.
Opinion 23-218 (1) A judge who presides in estate proceedings may continue to serve on the board of directors of a not-for-profit hospice organization, even after the judge becomes aware that a testator named the hospice as a beneficiary in their will. (2) The judge may preside over the probate of a will that contains a bequest to the hospice, absent a challenge to the bequest. If a challenge occurs, the judge must disqualify.
Opinion 23-219 A judge may serve as financial secretary of a not-for-profit cemetery organization, provided the judge refrains from the solicitation of funds or other fund-raising activities.
Opinion 23-220 A town court clerk may not maintain part-time employment in the private law office of an assistant public defender assigned to the town court.
Opinion 23-221 A town justice may serve on the board of a not-for-profit organization formed to preserve and protect a nearby lake. The judge may not serve on the subcommittee that serves as a liaison with law enforcement and conservation officers, but may attend the subcommittee’s annual luncheon.
Opinion 23-222 A judge may be honored as “Woman of the Year” at a cultural not-for-profit organization’s International Women’s Day event, provided the event is not a fund-raiser.
Opinion 23-223 (1) A town justice may advocate for the judge’s preferred schedule and scheduling policies for use of the town’s multi-purpose room as a courtroom, subject to generally applicable limitations on judicial speech and conduct. (2) On these facts, while the judge may pursue lawful avenues to challenge the resolution, the judge may not simply disregard the resolution and schedule court sessions as if it had not been issued.
Opinion 23-224 Although a part-time judge may not serve on a school board, he/she may accept appointment as a community representative to certain advisory committees established by the school board for the local school district: (1) the judge may serve on the district-wide safety team, provided that its work focuses on policies and procedures to promote safety in the schools, and does not involve law enforcement or investigatory functions, and (2) the judge may serve on a citizens finance committee which advises the superintendent and budget officer on annual budget development, capital improvement projects, and the like.
Opinion 23-225 A judge may wear an American flag pin on the judge’s judicial robe.
March 22, 2024 Broadcast
Opinion 23-148 A judge who presides in civil matters may participate in a university-sponsored educational program at a correctional facility in another region of the state.
Opinion 23-149 A new full-time judge may retain the lease of the office previously used for the judge's solo legal practice, where the lease is in the name of the judge and not the law firm under which the judge was doing business.
Opinion 23-150 Once a judge and their spouse jointly hire a law firm to mediate their divorce negotiations, the judge is disqualified, subject to remittal, in all matters where the law firm appears. This obligation lasts while the mediation relationship is ongoing and for two years after the mediation relationship completely ends and all fees are paid.
Opinion 23-151 A judge may preside over Article 75 proceedings challenging employment arbitration awards, where the state agency employer was previously represented in-house by the judge's law clerk's spouse, but the judge must insulate the law clerk and make appropriate disclosures.
Opinion 23-152 A judge with relevant personal knowledge may provide an affirmation of good moral character on behalf of a first-time applicant for admission to the bar.
Opinion 23-153 A town justice is disqualified, subject to remittal, in matters involving a deputy sheriff after the deputy has been elected to the town board.
Opinion 23-154 A full-time judge may permit their court attorney, who does not have a quasi-judicial title nor functions, to engage in political activity, subject to certain limitations. The court attorney may consult the Office of Court Administration’s Nonjudicial Ethics Helpline for guidance on any issues that may arise under Part 50.
Opinion 23-155 A judge may not accept an invitation as a keynote speaker for an event sponsored by a law center that is engaged in matters of substantial public controversy and whose mission focuses on supporting core political and executive branch functions.
Opinion 23-156 A town justice who was previously a non-supervisory police officer in certain local police departments is not disqualified on that basis from cases involving those police departments, provided the judge (1) had no personal involvement in the matter before him/her and (2) can be fair and impartial.
Opinion 23-157 A part-time attorney judge need not disclose or disqualify in matters involving the sheriff's office, merely because the judge's law firm is representing first-degree relatives of the county sheriff in a personal legal matter.
Opinion 23-158 A judge who assumes judicial office on an apparently unequivocal campaign pledge to incarcerate offenders, exclude drug dealers from the community, ensure maximum sentencing of repeat offenders, and protect victims of domestic violence, thus effectively promising to aid law enforcement rather than apply the law neutrally and impartially in such matters, is disqualified during his/her entire judicial term from: (1) all criminal cases; (2) cases in any court involving allegations of domestic violence; (3) all Vehicle and Traffic Law matters; and (4) cases in any court involving purported drug dealers. Disqualification on this ground is not subject to remittal.
Opinion 23-159 A judge may not stand for election to or serve on a local school board notwithstanding their child's attendance at a local public high school. The judge may attend and participate in school board meetings as the parent of a current student.
Opinion 23-200 The Chief Judge may, as the chief judicial officer of the Unified Court System, represent the judiciary's interests by accepting an invitation to speak at a legislative conference sponsored by a 501(c)(3) not-for-profit entity, at a specific session focused on the judiciary's operational needs and/or experience with respect to developing technologies. The judge may not otherwise attend or participate in the legislative conference.
Opinion 23-201 A part-time judge who serves as part-time counsel to a county legislature, representing the entire legislative body, may not ordinarily attend or participate in any caucus meetings. However, the judge may enter such meetings on an issue-by-issue basis to provide a legal opinion on a legal or procedural issue, provided the judge's activities are clearly identifiable as those of an attorney representing a client and not as partisan political activity.
Opinion 23-202 A quasi-judicial official may purchase a home at a court-conducted auction or through an online auction platform, provided he/she had no involvement in the home foreclosure and does not lend, or appear to lend, the prestige of quasi-judicial office to influence the sale.
Opinion 23-203 Questions about a former quasi-judicial official's return to the private practice of law after retirement from the court system raise primarily legal questions beyond our jurisdiction.
Opinion 23-204 (1) A judicial candidate may use the ActBlue online payment system to purchase tickets to attend a variety of political fund-raising events within the applicable window period, subject to the usual limitations on price and number of tickets for each event. (2) The candidate must exercise caution to avoid adding an optional tip or agreeing to make a recurring payment, and should carefully review the online payment screen for any note or indication that a portion of their payment will be sent to additional recipients or used for a purpose other than the political event for which the candidate intends to purchase tickets.
Opinion 23-205 A judge may not participate as a panelist in a bar association's Continuing Legal Education program about a recently settled civil action in which the judge presided, together with attorneys who appeared in the case, unless: (1) the time for appeals has expired; (2) no collateral proceedings are reasonably foreseeable; and (3) the panel includes attorneys from both the plaintiff's side and the defense side.
Opinion 23-207 (1) A part-time judge who is a private investigator (a) may conduct surveillance and write reports for school districts in another county concerning extended sick leave employees, but (b) may not conduct investigations for a college regarding allegations of sexual harassment/assault. (2) A part-time judge may, as an instructor for a private company, present training to law enforcement regarding implicit bias and other types of biases.
Opinion 23-208 Where a retired judge's former law clerk worked for the inquiring judge in a limited capacity for four months before returning to private practice, the judge need not disclose or disqualify in matters involving the retired judge's former law clerk. The judge may also appoint the former law clerk as attorney for the child.
March 8, 2024 Broadcast
Opinion 23-125 A part-time lawyer judge is disqualified, subject to remittal, in all matters involving an attorney who is employed by the judge's client as in-house counsel and operations manager and serves as the judge's primary client contact.
Opinion 23-126 (1) A judge need not disqualify from matters involving an attorney who is no more than an acquaintance, merely because the attorney's spouse is the judge's close personal friend. (2) For two years after attending the attorney's wedding as a member of the wedding party at the request of the judge's close personal friend, the judge must make full disclosure of his/her relationship with the attorney, including the judge's attendance and participation in the attorney's wedding.
Opinion 23-127 A judge may congratulate successful youth part participants with a handwritten note, but may not include the note in a gift bag of commercially branded promotional items.
Opinion 23-128 A judge may consult with another judge on a matter over which the other judge has appellate jurisdiction without violating the Rules Governing Judicial Conduct, but the practice is ill-advised.
Opinion 23-129 Because generating and maintaining an extensive library of educational videos on conflict resolution on a judge’s personal social media account(s) will readily be perceived as a campaign of self-promotion, it is only ethically permissible during the judge’s window period.
Opinion 23-130 (1) Subject to certain limitations, a part-time lawyer judge may serve as an assistant county attorney in the General Legal Services division, providing legal advice and services to the county clerk, to the board of elections, and on insurance matters, public health matters, purchasing, and real estate transactions. (2) The judge may not handle prosecutorial or quasi-prosecutorial matters; may not represent the public safety and communications departments, district attorney, public defender, conflict defender, assigned counsel program, sheriff’s office, probation department, first responders, crime lab, or mental health department including Kendra’s Law proceedings; and may not represent the health department with respect to adolescent tobacco law enforcement and health code violations.
Opinion 23-131 The facts presented do not require the inquiring judge to disclose or disqualify in other matters beyond what the judge already plans to do.
Opinion 23-132 A treatment court may accept a donation of toiletries from a local bar association to be given to court participants by treatment court staff.
Opinion 23-133 (1)(a) We cannot provide blanket guidance about attending various public events that invite participants to “stand with Israel,” as the answer requires fact-specific determinations. (b) A judicial candidate within their window period may contact the Judicial Campaign Ethics Center concerning the propriety of attendance. (2) Subject to generally applicable limitations, a quasi-judicial official may speak on the laws of war; the emotional/spiritual valences of terror, trauma, and moral complexity; the need to reduce and eliminate implicit and overt bias and prejudice; and recent casualties in the Mideast. The official should exercise discretion and avoid unduly partisan and inflammatory language. (3) On these facts, this inquirer should not display or publish for educational purposes an extremely racist and antisemitic cartoon they recently received. (4) A quasi-judicial official may publicly discuss their own experiences of racism/prejudice and secondary trauma and their own personal observations of such effects on their family members. (5) A quasi-judicial official may (a) display another sovereign nation’s flag at their residence, (b) appear in photographs with flags of other nations, and (c) wear a lapel pin displaying flags of one or more nations at non-court events. (6) We cannot comment on any remaining issues, as they are subject to multiple factual variations.
Opinion 23-134 A part-time judge may chair a county veterans agency’s advisory committee, which meets a few times per year to select veterans to honor at agency-sponsored ceremonies that are free and open to the public.
Opinion 23-135 A town justice may commence an action against the town regarding a personal matter unrelated to the business of the court.
Opinion 23-136 A judge may not initiate a drive to collect toys or dental hygiene products on behalf of non-profit, charitable organizations within a courtroom or courthouse, and may not partner with bar associations to initiate such drives. A judge may solicit charitable donations of toys or dental supplies from other judges over whom he/she does not have any supervisory or appellate authority.
Opinion 23-137 The Rules Governing Judicial Conduct do not require a judge to report their own ethics violation to the Commission on Judicial Conduct.
Opinion 23-138 On these facts, after disclosing a letter received ex parte from the victim’s attorney concerning a criminal case, the judge need not recuse.
Opinion 23-139 Where a full-time judge’s former law firm advises the judge that a former client recently posted an online review of the judge’s legal services, the judge must request that the law firm remove the judge’s name from such review but need not take any further action.
Opinion 23-140 (1) A judge must not personally participate in soliciting funds for a not-for-profit civic or charitable organization and therefore must not: (a) send out solicitation letters for the organization; (b) post announcements about the organization’s fund-raising activities or initiatives on social media; (c) post a link to a page that solicits donations; (d) sell raffle tickets; (e) stand at the door of a fund-raising event and collect tickets; (f) solicit, collect, or accept money for a “bounce house” rental, but may participate in setting up and taking down the bounce house; (g) solicit, collect, or accept money for a fund-raising dinner, but may cook and serve food, set up and clean at the dinner; (h) solicit bottles and cans to be converted to cash at a redemption center, or collect cash for them at the center, but may pick up bottles and cans that were previously solicited and collected by others and help sort them and bring them to the redemption center. (2) A part-time judge who serves on a county’s rural health council may not post announcements or notices on social media about the council’s fund-raising efforts or clothing drive, but may post information about other health-related initiatives and programs to encourage healthy living. (3) A judge may not promote local businesses and/or businesses operated by the judge’s friends, family, and classmates on social media.
Opinion 23-143 A town justice may preside in Vehicle and Traffic Law matters even if the judge believes the issuing law enforcement agency may follow a policy of enforcing traffic laws only against non-residents, provided the judge can be fair and impartial on a case-by-case basis.
Opinion 23-144 May a full-time support magistrate in one county serve as a volunteer arbitrator in the small claims part of a different court in another county, but should consult the OCA’s Nonjudicial Ethics Helpline for guidance on any issues that may arise under Part 50.
Opinion 23-145 A part-time judge may “ghostwrite” a not-for-profit organization’s fund-raising letters and grant applications that will be signed, submitted and circulated by others without crediting the judge, provided the judge does not personally solicit funds, does not permit the use of the prestige of judicial office for fund-raising, and does not permit his/her name to appear as the author or signatory on any fund-raising solicitations or grant applications.
Opinion 23-147 A judge may wear a rainbow pin or flag on the judge’s personal clothing, and display like pins, flags or signs in the judge’s chambers.
March 24, 2021 Special Broadcast - Important Opinion on Remittal
Opinion 21-22(A) Remittal of disqualification is a three-step process requiring full disclosure on the record of the basis for disqualification and the voluntary affirmative consent of the parties and their counsel. However, we no longer prohibit remittal of disqualification merely because a party is unrepresented. We hereby modify our prior opinions to abolish that requirement.
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