My client, an inmate, threatened me and fired me. Can I notify the Parole Board and Attorney General or get a restraining order without breaking my duty of confidentiality?

Plain-English summary

The inquiring attorney had represented Client X, an ACI inmate, in a pending civil matter. When the attorney's staff sought updated medical records, the infirmary reported that Client X had directed it not to provide them and had said the attorney no longer represented him. A representative of the attorney's office went to the ACI to discuss the status of the representation, but Client X refused to discuss it except to express dissatisfaction and rejection of the representation, and made a threat against the attorney. Client X had a long criminal history, was serving a multiple-year felony sentence, and was eligible for parole in 1999. The attorney asked whether the Rules prohibited him from notifying the Parole Board and the Attorney General of the threat, or from seeking a restraining order.

The panel concluded that the Rules did not prohibit either step. Rule 1.6 bars revealing information relating to the representation, but Rule 1.6(b) permits (without requiring) disclosure to the extent the lawyer reasonably believes necessary to prevent a client's criminal act likely to result in imminent death or substantial bodily harm, or to establish a claim or defense in a controversy with the client. The panel reasoned that Client X's threat might constitute or lead to disclosure of information relating to the representation, and that the lawyer could notify the Parole Board and the Attorney General or apply for a restraining order without violating Rule 1.6, so long as the lawyer reasonably believed it necessary under subparagraph (b)(1).

The panel noted that although Client X had discharged the attorney and withdrawal was required under Rule 1.17(a)(3), the attorney's withdrawal was subject to the court's permission in pending litigation. It cautioned that even after withdrawal, the attorney had a continuing duty to maintain confidentiality about Client X's case unless the Rule 1.6(b) exceptions applied.

Currency note

This opinion was issued in June 1998, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rules 1.6 and 1.17 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, and Rhode Island's confidentiality and withdrawal provisions (including the rule numbering) may no longer read as they did here. 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 a lawyer report a client who has threatened the lawyer?

A: On these facts, yes. The opinion concluded the lawyer could notify the Parole Board and the Attorney General of the client's threat, or apply for a restraining order, without violating Rule 1.6, so long as the lawyer reasonably believed it necessary under Rule 1.6(b)(1).

Q: Which confidentiality exception applied?

A: Rule 1.6(b)(1), the provision permitting disclosure to prevent a client's criminal act the lawyer believes likely to result in imminent death or substantial bodily harm. The opinion tied the permission to the lawyer's reasonable belief of necessity under that subparagraph.

Q: Does the confidentiality duty end when the client fires the lawyer?

A: No. The opinion cautioned that even after withdrawal (which was required under Rule 1.17(a)(3) but subject to court permission in pending litigation), the lawyer had a continuing duty to maintain confidentiality unless a Rule 1.6(b) exception applied.

Background and rules framework

The opinion applied Rhode Island Rules of Professional Conduct 1.6 (Model Rule 1.6) and its withdrawal rule (numbered 1.17 in Rhode Island at the time, corresponding to Model Rule 1.16) as originally adopted. Rule 1.6(a) bars revealing information relating to the representation absent consent or an exception. Rule 1.6(b)(1) permits disclosure the lawyer reasonably believes necessary to prevent a client's criminal act likely to cause imminent death or substantial bodily harm, and Rule 1.6(b)(2) permits disclosure to establish a claim or defense in a controversy with the client. Rule 1.17(a)(3) addressed mandatory withdrawal, subject to a court's permission in pending litigation.

Citations and references

Rules of Professional Conduct:

• Model Rule 1.6 / RI RPC 1.6(b) (confidentiality; safety and self-defense exceptions)
• Model Rule 1.16 / RI RPC 1.17(a)(3) (declining or terminating representation; withdrawal)

See also

• RI EAP Op. 99-06: Reporting a client who left court-ordered treatment
• RI EAP Op. 99-02: Publishing settlement details requires client consent

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%2098-12.pdf

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

Final

                          RHODE ISLAND SUPREME COURT
                             ETHICS ADVISORY PANEL
                           Opinion No. 98-12, Request No. 749
                                  Issued June 11, 1998

Facts:

    The inquiring attorney has represented Client X, an ACI inmate, in a pending civil

matter. In response to a request for updated medical records from the ACI infirmary, the
inquiring attorney's staff was told that Client X had instructed the infirmary not to provide the
medical records and that the inquiring attorney no longer represented him/her. A representative
of the inquiring attorney's office went to the ACI in an attempt to discuss with Client X the status
of the representation. However, Client X refused to discuss the matter, except to express his/her
dissatisfaction with and rejection of the inquiring attorney's representation. In addition, Client X
made a threat against the inquiring attorney. Client X has a long criminal history and is presently
serving a multiple year sentence upon a felony. Client X is eligible for parole in 1999.

Issue Presented:

   The inquiring attorney asks whether the Rules of Professional Conduct prohibit him/her

from notifying the Parole Board and the Attorney General of Client X's threat against him/her, or
from seeking a restraining order.

Opinion:

    The Rules of Professional Conduct do not prohibit the inquiring attorney from seeking a

restraining order for his/her own protection or from notifying either the Parole Board or the
Attorney General about the client's threats.

   Rule 1.6 of the Rules of Professional Conduct prohibits lawyers from revealing

information relating to the representation of a client. The Rule states:

     Rule 1.6. Confidentiality of Information. -
     (a) A lawyer shall not reveal information relating to representation of a
     client unless the client consents after consultation, except for disclosures
     that are impliedly authorized in order to carry out the representation, and
     except as stated in paragraph (b).

Final Op. 98-12
Request 749
Page 2

     (b) A lawyer may, but is not obligated to, reveal such information the extent the
    lawyer reasonably believes necessary

              (1) to prevent the client from committing a criminal act that the lawyer
              believes is likely to result in imminent death or substantial bodily harm;
              or

              (2) to establish a claim or defense on behalf of the lawyer in a
              controversy between the lawyer and the client, to establish a defense to a
              criminal charge or civil claim against the lawyer based upon conduct in
              which the client was involved, or to respond to allegations in any
              proceeding concerning the lawyer's representation of the client.

    The Panel is of the opinion that Client X's threat against the inquiring attorney may constitute or

lead to disclosure of information relating to the representation. The lawyer may notify the Parole
Board and the Attorney General of the threat, or apply for a restraining order without violating Rule 1.6
so long as the lawyer reasonably believes it is necessary under subparagraph (b)(1).

     The Panel notes that although Client X has discharged the inquiring attorney and that withdrawal

from the representation is required under Rule 1.17(a)(3) the inquiring attorney's withdrawal is
subject to the permission of the court in pending litigation. The Panel further cautions that even
after withdrawal, the inquiring attorney has a duty to maintain confidentiality about Client X's case unless
the exceptions stated in Rule 1.6(b) apply.