My firm did estate planning for a judge. Can I still appear before that judge?

Plain-English summary

The inquiring attorney asked whether the attorney may appear before a Rhode Island judge when the attorney's law firm has performed estate planning and estate administration work for that judge.

The panel took the position that the attorney may appear before the judge so long as the appearance does not impact the impartiality of the tribunal and does not create an appearance of professional impropriety. If the circumstances indicate that the impartiality of the tribunal may or would appear to be affected, the lawyer is obligated to take appropriate remedial measures, which may include disclosing the relationship between the judge and the law firm and/or requesting that the judge recuse. The panel described this as a factual determination made on a case-by-case basis.

The panel added that these same factors may be an issue where the judge or a member of the judge's family is a beneficiary of an estate for which the law firm is legal counsel, and that in providing legal services to judges a law firm should determine its fees on the same basis as for all other clients. The panel cited Rule 3.5(a), under which a lawyer shall not seek to influence a judge by means prohibited by law.

Currency note

This opinion was issued in 1992, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rule 3.5(a) as originally adopted. 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 several provisions. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance.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 appear before a judge my firm has done legal work for?

A: Per the opinion, yes, so long as the appearance does not impact the tribunal's impartiality and does not create an appearance of professional impropriety.

Q: What if the relationship could affect the judge's impartiality?

A: Per the opinion, the lawyer must take appropriate remedial measures, which may include disclosing the relationship and/or requesting that the judge recuse.

Q: How should the firm bill a judge for legal work?

A: Per the opinion, in providing legal services to judges a law firm should determine its fees on the same basis as for all other clients.

Background and rules framework

The opinion applies Rhode Island Rule 3.5(a), corresponding to Model Rule 3.5 (impartiality and decorum of the tribunal), under which a lawyer shall not seek to influence a judge by means prohibited by law. The panel framed the analysis around the tribunal's impartiality and the appearance of impropriety, requiring disclosure or a recusal request when the firm's relationship with the judge could affect either, and directing that fees for legal work performed for judges be set on the same basis as for any other client.

Citations and references

Rules of Professional Conduct:

• MR 3.5 (impartiality and decorum of the tribunal)
• RI RPC 3.5(a)

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• RI EAP Op. 91-41: Sending Flowers to a Hospitalized Judge Is Ordinary Social Hospitality
• RI EAP Op. 2016-03: A Municipal Judge's Firm May Represent the Judge's Son Against the City
• RI EAP Op. 2024-11: No Conflict Representing Clients in Unrelated Matters Before an Opposing Lawyer-Judge

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%2092-14.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 #92-14, Request #223
Issued May 20, 1992

An attorney seeks Panel advice pertaining to whether the attorney may appear before a Rhode Island judge when the attorney's law firm has performed estate planning and estate administration work for that judge.

The Panel takes the position that the attorney may appear before the judge so long as the appearance does not impact the impartiality of the tribunal and does not create an appearance of professional impropriety.

If the circumstances indicate that the impartiality of the tribunal may or would appear to be affected, the lawyer is obligated to take appropriate remedial measures. Such measures may include disclosing the relationship between the judge and the attorney's law firm and/or requesting that the judge recuse him/herself. This is a factual determination which will have to be made on a case by case basis.

These same factors may also be an issue where the judge or a member of the judge's family is a beneficiary of an estate of which the law firm is legal counsel.

In providing legal services to judges a law firm should determine its fees on the same basis as for all other clients. See Rule 3.5(a) (Lawyer shall not seek to influence a judge by means prohibited by law.)