A trade organization's president wants to send members a letter announcing that my discounted legal services are available to them. Must that letter comply with Rule 7.3's direct-solicitation requirements?

Plain-English summary

The inquiring attorney offered to provide legal services at discounted fees to the members of a trade organization, their employees, and family members. The organization's president planned to send members a letter announcing that, in addition to the organization's other programs, the inquiring attorney's legal services would be available, and advising that members would receive further information directly from the attorney. The attorney acknowledged that his own letter to members had to comply with Rules 7.1 and 7.3, and asked whether the president's letter (both a version that only announced the program and a version that also described the attorney's services, fees, or experience) had to comply with Rule 7.3(b).

The Panel concluded the president's letter is a direct written solicitation on behalf of the inquiring attorney, whether or not it describes the attorney's services, fees, or experience, and therefore must comply with Rule 7.3(b). The Panel first noted that it will not edit documents or approve them as a whole by advisory opinion. It then explained that direct written solicitation of prospective clients with whom the lawyer has no family or prior professional relationship is not prohibited by Rule 7.3, but is subject to reasonable restrictions designed to minimize overreaching and ensure accountability.

The Panel emphasized that Rule 7.3 applies to solicitations made on a lawyer's behalf through agents or third parties, because Rule 8.4 bars a lawyer from violating the Rules through the acts of another. It found the president's letter to be a solicitation on the attorney's behalf: the letter not only announced the program but named the attorney, and, unlike a prepaid or group legal-services plan, the program was neither operated nor administered by the trade organization and consisted of no pool of participating attorneys; it was totally owned, operated, and controlled by the inquiring attorney. In essence, the letter was a "pitch" for the attorney to prospective clients. The Panel held the attorney must advise the president that the solicitation letter and its envelope must bear the word "advertisement" in accordance with Rule 7.3(b), and must otherwise comply with the rule.

Currency note

This opinion was issued in 1996 (Opinion 96-31, issued November 14, 1996), after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rules 7.3 and 8.4 as they stood at the time. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process, and the solicitation and advertising rules have been amended repeatedly since. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule or filing requirement mentioned here.

Common questions

Q: If a third party, not the lawyer, sends the letter, does Rule 7.3 still apply?

A: Yes. The Panel held Rule 7.3 applies to solicitations made on a lawyer's behalf through agents or third parties, because Rule 8.4 bars a lawyer from violating the Rules through the acts of another.

Q: Does it matter whether the president's letter describes the lawyer's fees or experience?

A: No. The Panel concluded the letter is a solicitation on the attorney's behalf whether or not it describes the attorney's services, fees, or experience, and in either case must comply with Rule 7.3(b).

Q: Why isn't this treated like a group or prepaid legal-services plan?

A: Because, the Panel found, the program was neither operated nor administered by the trade organization and had no pool of participating attorneys; it was totally owned, operated, and controlled by the inquiring attorney, making the letter a "pitch" for that attorney.

Q: What must the letter say to comply?

A: The attorney must advise the president that the solicitation letter and its envelope bear the word "advertisement" in accordance with Rule 7.3(b), and must otherwise comply with the rule.

Background and rules framework

The opinion interprets Rhode Island Rule of Professional Conduct 7.3 (direct contact with prospective clients), the analog of Model Rule 7.3. Rule 7.3(a) defines "solicit" to include written communications directed to a specific recipient that do not meet paragraph (b)'s requirements, and Rule 7.3(b) requires such written communications to be marked "advertisement" and a copy sent to Supreme Court Disciplinary Counsel. The Panel applied Rule 8.4 (Model Rule 8.4), which bars a lawyer from violating the Rules through the acts of another, to reach a third party's letter sent on the lawyer's behalf.

Citations and references

Rules of Professional Conduct:

• MR 7.3 / RI RPC 7.3, 7.3(a), 7.3(b) (direct contact with prospective clients; "advertisement" label and filing)
• MR 8.4 / RI RPC 8.4 (violating the Rules through the acts of another)

See also

• RI EAP Opinion 96-28: an employer's notice offering a lawyer's services must comply with Rule 7.3
• RI EAP Opinion 96-01: an employer may announce a lawyer's fixed-fee legal services to employees under Rule 7.3

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%2096-31.pdf

Original opinion text

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

ETHICS ADVISORY PANEL
OPINION NO. 96-31, REQUEST NO. 693
Issued November 14, 1996

FACTS:

The inquiring attorney is offering to provide legal services to members of a trade organization, their employees, and family members at discounted fees. The president of the trade organization plans to send a letter to all members of the organization informing them that, in addition to other programs currently offered through the organization, the legal services of the inquiring attorney will be available to them. The letter also advises members that they will be receiving additional information directly from the inquiring attorney. The inquiring attorney has submitted to the Panel two proposed letters of the president.

The inquiring attorney acknowledges that his/her own letter to members of the organization must comply with Rules 7.1 and 7.3 of the Rhode Island Supreme Court Rules of Professional Conduct.

ISSUE PRESENTED:

The inquiring attorney asks whether the president's letter to the organization's members which announces the availability of a legal services program designed for them by the inquiring attorney must comply with Rule 7.3(b). He/she also asks whether the president's letter must comply with the rule if, in addition to announcing the legal services program, it also describes the inquiring attorney's services, fees, or experience.

OPINION:

A trade organization president's letter to organization members which announces the availability of the inquiring attorney's legal services to them is a direct written solicitation on behalf of the inquiring attorney, whether or not it describes the inquiring attorney's services, fees, or experience. Therefore, the president's letter must comply with the requirements of Rule 7.3(b).

REASONING:

Preliminarily, the Panel will not embark on the task of editing documents and will not give approval to documents as a whole, such as the proposed letters submitted by the inquiring attorney, by way of an advisory opinion.

Direct written communications from an attorney soliciting professional employment from a prospective client with whom the attorney has no family or prior professional relationship are not prohibited by Rule 7.3, but are subject to reasonable restrictions.

Rule 7.3 states in pertinent part:

(a) A lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship, in person or otherwise, when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain. The term "solicit" includes contact in person, by telephone or telegraph, or by other communication directed to a specific recipient and includes any written form of communication directed to a specific recipient and not meeting the requirements of paragraph (b) of this rule.

(b) Written communication.

The restrictions are designed to minimize or preclude overreaching or abuse by attorneys, and to ensure attorney accountability in the event that they should occur. See Comment to Rule 7.3. Rule 7.3 applies to solicitations made on behalf of an attorney through agents or third parties. See Rule 8.4 (prohibiting attorneys from violating or attempting to violate the Rules of Professional Conduct through the acts of another.) Thus, an attorney may not circumvent Rule

(1) Written communications to prospective clients with whom the lawyer has no family or prior professional relationship are subject to the following requirements:

(a) Such written communications shall be plainly marked "advertisement" on the face of the envelope and at the top of each page of the written communication in type one size larger than the largest type used in the written communication

(b) A copy of each such written communication shall be sent to the Supreme Court Disciplinary Counserl and another copy shall be retained by the lawyer for three (3) years. If written communications identical in content are sent to two (2) or more prospective client, the lawyer may comply with this requirement by sending a single copy together with a list of the names and addresses of persons to whom the written communication was sent to the Supreme Court Disciplinary Counsel as well as retaining the same information.

7.3 through the use of agents or third parties.

The Panel takes the position that the president's letter in the instant request is a soliciation on behalf of the inquiring attorney. The letter not only announces the availability of a legal services program, but also names the inquiring attorney. Unlike prepaid or group legal service plans, the inquiring attorney's legal services program is neither operated nor administered by the trade organization. It does not consist of a pool of participating attorneys. It is totally owned, operated, and controlled by the inquiring attorney. In essence, the president's letter is a "pitch" for the inquiring attorney made to prospective clients. Because the inquiring attorney would be required to comply with Rule 7.3(b) respecting direct written communications soliciting employment from prospective clients, the president's letter which is a solicitation on behalf of the inquiring attorney must also comply with Rule 7.3(b). The inquiring attorney must advise the president of the trade organization that the solicitation letter and its envelope must bear the words "advertisement" in accordance with the rule, and the attorney must otherwise comply with the rule.