I want to mail an advertisement to potential plaintiffs to recruit them for a class action I plan to file. What rules apply?

Plain-English summary

The inquiring attorney sought guidance concerning a proposed advertisement he wished to distribute to potential plaintiffs in a class action lawsuit he intended to file.

The panel took the position that the propriety of the proposed advertisement is governed by Rhode Island Rule of Professional Conduct 7.2, entitled "Direct Contact with Prospective Clients," which provides in part that a lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship when a significant motive is pecuniary gain. The panel added that Rule 7.3 requires written communication to this group to be plainly marked "advertisement."

The panel declined to edit the proposed advertisement with regard to the attorney fee arrangement.

Currency note

This opinion was issued in 1991, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies the Rhode Island advertising and solicitation rules as then numbered (citing Rule 7.2 for direct contact with prospective clients and Rule 7.3 for the "advertisement" marking requirement). The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process, which renumbered and amended the advertising and solicitation rules. Subsequent rule amendments or later opinions may have changed the analysis and the rule numbering. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule mentioned here.

Common questions

Q: Can I mail an advertisement to recruit plaintiffs for a class action?

A: Under this opinion, the mailing is governed by the solicitation and advertising rules. The panel applied Rule 7.2 (direct contact with prospective clients) and Rule 7.3, which requires the writing to be plainly marked "advertisement."

Q: What limits solicitation of prospective clients?

A: Per the opinion, Rule 7.2 provides that a lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship when a significant motive is pecuniary gain.

Q: Did the panel review the fee terms in the ad?

A: No. The panel declined to edit the proposed advertisement with regard to the attorney fee arrangement.

Background and rules framework

The opinion applies the Rhode Island solicitation and advertising rules as numbered in 1991: Rule 7.2, which the opinion titles "Direct Contact with Prospective Clients," restricting solicitation of prospective clients for pecuniary gain absent a family or prior professional relationship, and Rule 7.3, requiring written communications to the target group to be plainly marked "advertisement." These correspond in substance to the Model Rules governing solicitation of and targeted mailings to prospective clients.

Citations and references

Rules of Professional Conduct:

• MR 7.2 (advertising)
• MR 7.3 (solicitation of clients)
• RI RPC 7.2 (direct contact with prospective clients), RI RPC 7.3 ("advertisement" marking)

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• RI EAP Op. 91-50: A "Benefits for the Injured" Rooftop Sign
• RI EAP Op. 91-38: Accepting Client Referrals From a Nonprofit

Source

• Landing page: https://www.courts.ri.gov/attorney-resources/Pages/Ethics-Advisory-Panel-default.aspx
• Original PDF: https://www.courts.ri.gov/Opinions/EAP%2091-61.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

Digest of Ethics Advisory Panel
Opinion #91-61, Request #177
Issued August 29, 1991

An attorney seeks Panel guidance concerning a proposed advertisement he would like to distribute to potential plaintiffs in a class action lawsuit he intends to file.

The Panel takes the position that the propriety of the proposed advertisement is governed by Rhode Island Rule of Professional Conduct 7.2 entitled "Direct Contact with Prospective Clients," which provides in part that a lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship when a significant motive is pecuniary gain. Rule 7.3 goes on to say that written communication to this group must be plainly marked "advertisement." The Panel declines to edit the proposed advertisement with regard to the attorney fee arrangement.