SUBJECT TO THE GUIDELINES CONTAINED IN THE CONCLUSION OF THIS OPINION,
AN ATTORNEY MAY PARTICIPATE IN SEMINARS SPONSORED BY EITHER PROFIT OR
NON-PROFIT ORGANIZATIONS IF THE PRINCIPAL PURPOSE OF THE SEMINAR IS TO
EDUCATE THE PUBLIC IN A GENERAL WAY ON LEGAL ISSUES, AND SUCH PARTICIPATION
IS PERMISSIBLE EVEN THOUGH THE SEMINAR IS NEITHER CONNECTED WITH NOR SPONSORED
BY THE NEBRASKA STATE BAR ASSOCIATION. AN ATTORNEY MAY NOT, HOWEVER, PARTICIPATE
IN A SEMINAR WHERE ITS SPONSOR IS A PROFIT-ORIENTED ORGANIZATION, AND
WHERE ONE OF THE PURPOSES OF THE SEMINAR IS TO INTEREST THE PUBLIC IN
PURCHASING THE PRODUCT OR SERVICES OF THE SPONSOR (FOR EXAMPLE: SEMINARS
SPONSORED BY LIFE INSURANCE COMPANIES, PENSION AND PROFIT-SHARING AGENCIES,
STOCK BROKERS, BANKS AND TRUST COMPANIES, ETC.).
FACTUAL BACKGROUND
The inquirer asks if it would be proper to participate in an estate-tax
planning seminar sponsored by a stock brokerage firm. We assume that the
sponsor hopes to indirectly benefit by the sale of securities to trusts
or other entities that might be elected as part of an estate-tax plan.
The Executive Council of the State Bar Association also requests a general
opinion on the subject.
DISCUSSION
There have been several formal and informal opinions issued on the above
subject by the American Bar Association. The following listing is not
intended to be exhaustive, but it is representative of these prior opinions:
a) Informal Opinion No. 840 dated 9-23-65 ruled
that it was proper to participate in a seminar if its purpose is educational
in nature, but it is improper to participate if the purpose of the seminar
is to publicize or to make money for its sponsors, the lawyer, or others.
The Committee felt that this caution would ban participation in seminars
by life insurance companies, trust companies and others where the purpose
was to promote their own business.
b) Informal
Opinion No. 528 dated 7-23-62 approved participation in a local radio
program where a panel of lawyers would answer questions of a general nature
from the public. Specific advice on a particular legal question was, of
course, prohibited. The program was presumably free of commercial sponsorship.
c) Informal
Opinion No. 503 dated 3-22-62 (Section a.) approved the participation
by attorneys on panel programs before clubs and organizations on legal
subjects, with the same prohibition against specific advice on particular
questions from the audience. Once again, the sponsorship was presumably
non-commercial.
d) Formal
Opinion No. 162 dated 8-22-36 and Informal Opinion No. 538 dated 5-31-62
held that it was proper for a lawyer to write articles on legal subjects
in newspapers, magazines or trade journals. Once again, specific advice
was prohibited.
e) Formal
Opinion No. 298 dated 4-15-61 held that attorneys and judges may appear
as panelists on non-commercial, public information radio or television
programs.
f) Informal Opinion No. 230(g) dated 7-27-61 held
that lawyers and judges could appear on public information radio and television
programs dealing with legal issues even though the programs were comercially
sponsored. The specific program was "Meet the Press" and the
Committee put considerable emphasis on the high quality and good reputation
of this particular program; thus the commercial sponsorship did not in
that case prohibit participation by the attorney.
CONCLUSION
It is the
conclusion of the Committee that participation in legal seminars open
to laymen (whether they be face to face or through the media of radio,
television, newspapers, magazines or periodicals) are permissible if the
main object is to generally educate the public on legal issues and if
they are conducted in dignified and professional surroundings. The seminars
may be sponsored either by Bar Associations, non-profit associations or
profit-oriented organizations, but the clear purpose must in all cases
be to educate the public and not to publicize or make money for the sponsor,
the lawyer or others. The seminar participants may consist of lawyers,
laymen or both. The lawyer may be properly paid for his participation
in the seminar on a time-spent basis. The lawyer may not answer questions
from the public concerning their specific individual legal problems. An
announcement of the seminar and other written materials relating thereto
may list the name of the lawyer and identify him as a practicing attorney.
The announcement may not contain opinions as to the lawyer's qualifications
nor designate him as a specialist in any certain field of law, although
it may state that the lawyer has had experience in the particular field
of law covered by the seminar.
75-11, September 29, 1975
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