ABA Formal Opinion 520 Clarifies Lawyers’ Post-Termination Duty to Convey Information to Former Clients and Successor Counsel

The American Bar Association issued Formal Opinion 520 on January 21, 2026, addressing a recurring question under Model Rule 1.16(d): whether, and when, a lawyer who has terminated a representation must convey information to a former client or successor counsel that is not already memorialized in the client’s file.

The Opinion concludes that, in limited circumstances, Rule 1.16(d) requires a lawyer to respond to requests for such information when doing so is necessary to protect the former client’s interests and reasonably practicable. At the same time, the Opinion emphasizes that this duty is narrow and does not obligate lawyers to perform new legal work or provide ongoing representation after withdrawal.

Rule 1.16(d) Extends Beyond Surrendering the File—But Only in Limited Circumstances

Model Rule 1.16(d) requires a lawyer, upon termination of representation, to take reasonably practicable steps to protect the client’s interests, including surrendering papers and property to which the client is entitled. In most cases, compliance with this obligation is satisfied by promptly providing a complete and well-maintained client file.

Formal Opinion 520 clarifies, however, that in some situations, protecting the client’s interests may require more than merely turning over the file. Specifically, a lawyer may be required to convey material information acquired during the representation that was not reduced to writing, if that information is important to the client’s interests in the same matter and is unavailable from other sources.

No General Duty to Communicate After Representation Ends

The Opinion reaffirms that Model Rule 1.4—governing communications with clients—does not apply to former clients. As a result:

• Lawyers have no duty to volunteer information after the representation ends.
• Lawyers are not required to disclose material errors discovered after termination.
• Lawyers need not provide explanations or updates absent a request.

The duty under Rule 1.16(d) arises only when a specific request makes it evident that unrecorded information is necessary to protect the former client’s interests in the matter.

What Information May Need to Be Conveyed

If the Rule 1.16(d) standard is met, the obligation may include unrecorded information such as:

• Factual information from interviews or off-the-record discussions;
• Strategic or tactical reasons for decisions made during the representation;
• Impressions regarding witness credibility; or
• Oral communications with the client that were not documented.

The Opinion stresses that the information must have been acquired during the course of the representation and must relate to the same matter, not a subsequent or collateral dispute.

Clear Limits on the Obligation

Formal Opinion 520 draws several important boundaries around the duty to convey information:

• No duty to perform new work. Lawyers are not required to draft affidavits, write memoranda, provide sworn statements, or conduct research.
• No duty to retrieve or reconstruct information. If the lawyer does not recall the information, there is no obligation to refresh recollection or review files.
• No duty where information is readily available elsewhere. Lawyers need not provide information accessible through court dockets or other public sources.
• No duty in a different matter. Requests relating to a new matter—such as a potential malpractice claim—fall outside Rule 1.16(d).
• No duty to respond to repetitive or excessively burdensome requests.

Successor Counsel Requests and Client Consent

When a request comes from successor counsel, the former lawyer should confirm that the former client has provided consent to disclose the information, as required by Model Rule 1.9(c). The requesting lawyer should also explain the purpose of the request so the former lawyer can assess whether compliance is necessary and reasonably practicable.

For practitioners, the Opinion reinforces the importance of thoughtful file management during representation—and professional judgment and restraint once the representation ends.

Disclaimer Regarding ABA Ethics Opinions

ABA Formal Opinions are advisory in nature and do not constitute binding law or disciplinary authority. While they are frequently cited by courts and disciplinary bodies and are often influential in interpreting professional responsibility rules, each jurisdiction adopts and applies its own ethical rules, which may differ materially from the ABA Model Rules of Professional Conduct. Lawyers should therefore consult the rules, ethics opinions, and case law of the jurisdictions in which they practice when evaluating their professional obligations.

The attorneys at Tesser, Ryan & Rochman, LLP are experienced in advising attorneys as to their ethical obligations. Call now at (212) 754-9000 to schedule a consultation.