Rhode Island Supreme Court Ethics Advisory Panel Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Rhode Island Supreme Court Ethics Advisory Panel, with full citations and source links on every page.
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Can I run an advertisement seeking parties to join a class action?
The panel concluded that the proposed advertisement is proper, because the comment to Rule 7.2 notes that soliciting class-action members is not prohibited, as long as the requirements of Rule 7.3 are…
Two law firms are merging. Before the merger takes effect, can lawyers in one firm service the other firm's clients, and who bills them?
The panel advised that it is proper for the attorneys in one firm to service the clients of the other firm before the merger's effective date, with the clients' knowledge and consent, and that corresp…
I was a Superior Court law clerk. Can I now represent a party in a case that was pending before the judge I clerked for?
The panel advised that under Rule 1.12(a) the attorney should not represent any party in a matter that was pending before the judge for whom the attorney clerked, because the attorney often discussed …
I have a fee-division agreement with another lawyer who was later suspended from practice. Can the agreement still be carried out, and how are the fees split?
The panel advised that the fee-division contract cannot be carried out after the date of the other attorney's suspension; the fees should be divided according to the fair value of services rendered be…
My firm is legal counsel to a state agency and also represents a corporation that might benefit from the agency's decision in a pending case. Is that a conflict?
The panel found no conflict under Rule 1.7(b), because any effect on the corporation from the agency's action was highly speculative and the firm's responsibilities to the agency would not be material…
Can my firm put its brochure in the waiting room and mail it to existing clients?
The panel advised that the firm's brochure may be placed in the attorney's waiting room as long as it complies with Rule 7.1 and contains the specialty disclaimer required by Rule 7.4, and that mailin…
A witness in my case does landscaping work for me. Is that a conflict of interest?
The panel concluded that no conflict exists where there is no connection between the witness's employment and the legal services involved, the attorney disclosed the relationship to all parties, and n…
I'm holding a minor's personal-injury settlement check, but the child has since been placed in foster care. How should I distribute the funds?
The panel advised the attorney to file an interpleader action joining all appropriate parties, including the insurance company, so the court can determine how the settlement proceeds should be distrib…
I represent a guardian whose fund withdrawals look questionable. Should I file a petition for instructions with the court?
The panel concluded that the attorney should first seek an explanation of the withdrawals from the guardian, and if that is non-responsive, unsatisfactory, or suggests misappropriation, the attorney s…
I want to announce and add to my letterhead someone who passed another state's bar but can't sit for the RI bar because his law school wasn't accredited. How do I list him?
The panel concluded that referencing the individual as a member of another state's bar would be misleading under Rule 7.1 because it implies he is eligible to become a Rhode Island lawyer, and that if…
I'm a lawyer employed by a state agency. Can I represent private clients before other state agencies?
The panel concluded that so long as no overlapping interests exist between the attorney's state agency employment and the potential clients, the attorney may represent those clients before other state…
I want to mail an advertisement to potential plaintiffs to recruit them for a class action I plan to file. What rules apply?
The panel concluded that the proposed advertisement is governed by Rule 7.2, which restricts soliciting professional employment from prospective clients with no family or prior professional relationsh…
A new associate at my firm previously represented the plaintiff in a workers' comp case at another firm. My firm represents the defendant in the related product-liability suit. Can we stay in?
The panel concluded that the associate's opportunity to obtain sensitive client information about the plaintiff at the prior firm precludes the inquiring attorney's firm from continuing to represent t…
My partner and I are title policy agents. One insurer wants to buy title policies we wrote for other companies. Can I 'sell' those policies?
The panel concluded that the attorney must secure the informed consent of each client for whom a title insurance policy was prepared before that policy can be 'sold' to other title insurance companies…
Can I sit on the board of directors of a credit union while also serving as the credit union's lawyer?
The panel concluded that the attorney may serve both as a director and as legal counsel to the credit union so long as service in one capacity does not affect the attorney's independent professional j…
I was discharged before my contingency-fee case ended and I'm holding a big escrow sum for the client, who hasn't paid me. What can I recover and what do I do with the funds?
The panel concluded that, under its General Informational Opinion #4, a contingency-fee attorney discharged with or without cause before final resolution recovers the reasonable value of the services …
I hold escrow funds for a client who owes me disputed legal fees but won't let me take my fee from the escrow. Can I take it anyway?
The panel concluded that under Rule 1.15 the attorney's duty is to keep the disputed funds in the escrow account until the fee dispute is resolved, rather than taking the claimed fee unilaterally.
Discovery shows the opposing party swore to income he never reported to the IRS and had his medical bills paid by welfare. Do I have to report the apparent perjury or fraud?
The panel concluded that the attorney may, but is not obligated to, disclose the information to the proper authorities, because the information is not confidential, so the Rhode Island Rules of Profes…
My ex-partner was the town solicitor and I appeared as co-counsel for the town. Can my firm now appear before the town's boards for private clients, and am I personally barred for a year?
The panel concluded that under Rule 1.10(c) the firm may presently represent clients before the town boards so long as the subject matter is not the same as or substantially related to a matter in whi…
Can I put a rooftop sign on my law office that says 'Benefits for the Injured' beneath the firm name?
The panel concluded that the statement 'Benefits for the Injured' violates Rule 7.1 because it is ambiguous and lacks sufficient facts to make the phrase, considered as a whole, not materially mislead…
I was discharged from a divorce case before it ended. Can I secure my unpaid fee by recording an attorney's lien in the land records for the marital home?
The panel concluded that recording an attorney's lien in the land records to secure unpaid fees in a domestic relations matter falls outside the statutory procedures for asserting an attorney's lien u…
My old firm represented both X and Y. I only ever worked for Y. Now Y wants me to take on a dispute against X. Can I, and does the firm still representing X have a conflict?
The panel concluded that the inquiring attorney may not represent Y against X without X's informed consent, because the attorney's former employment at the firm representing X afforded access to X's c…
Can I practice law under my maiden name while using my married name for personal and family matters?
The panel concluded that the attorney may retain her maiden name for professional purposes while using her married name for personal, family, and other purposes, so long as the use of the different na…
My client told me a third person confessed to a murder to the client. The confession has nothing to do with my representation. Do I have to report it?
The panel concluded that the attorney may, but is not obligated to, disclose the information, because no attorney-client privilege attaches to a third person's statement to the client on a matter tota…
I share office space and expenses with another lawyer, and we now represent opposing parties in a custody and support case. Can we both stay in?
The panel concluded that unless one of the attorneys withdraws, neither may proceed, because their office-sharing arrangement, with shared administrative and secretarial staff and access to each other…
I regularly appear before a judge who is now hospitalized. Is it ethical for me to send the judge flowers?
The panel concluded that sending flowers to a hospitalized judge under these circumstances is a normal courtesy involving an object of minimal or no monetary value that would not create an appearance …
I represent a title insurer, and I also prosecute actions in a bank's name to clear title defects even while defending against that bank's claims. Whose consent do I need?
The panel concluded that Rule 1.7 governs and that the attorney should obtain the bank's informed consent, even though the bank's name is only contractually invoked to bring the action and the title i…
The prosecutor and judge don't seem to know about a recent change in the criminal statute that hurts my client. Do I have to tell the court about it?
The panel concluded that the attorney's ethical obligation is to bring the recent change in the law to the court's attention, relying on Rules 3.3, 8.4, and 1.2; a failure to disclose would involve di…
Can my Rhode Island law firm, which is a professional corporation, form a partnership with an out-of-state law firm?
The panel concluded that it is permissible for a Rhode Island law firm organized as a professional corporation to form a partnership with an out-of-state law firm, subject to Rule 7.5(b), under which …
A non-profit that helps immigrants is my client and wants to refer its members to me when they need a lawyer. Is it proper for me to accept those referrals?
The panel concluded that the mere fact that individuals are referred to the attorney by the non-profit corporation does not, in and of itself, violate the Rhode Island Rules of Professional Conduct.
A former joint client is suing my long-time client and wants to depose me. Can I be deposed, does privilege block it, and may I keep representing my client against the former joint client?
The panel concluded that the attorney-client privilege does not by itself prevent a lawyer from being deposed, though Rule 1.6 governs what may be disclosed, and that under Rule 1.9 the attorney canno…
My personal injury client settled but refuses to pay the treating physicians' bills I secured with a lien. Can I pay the doctors anyway, and what are my options?
The panel concluded that the attorney may not compel payment of the medical bills from the settlement funds; the attorney may move to withdraw under Rule 1.16(b)(3) if the client insists on a course t…
I left the firm where I was an associate. Can I sue a delinquent client for my share of the fee, do I still have to show up for the firm's clients, and can I be forced to keep representing them?
The panel declined the fee-suit question as a legal rather than ethical matter; held that once an appearance is entered a lawyer may withdraw only with the court's permission or on discharge and leave…
Can I defend another lawyer in a disciplinary complaint brought by someone who says I recommended that lawyer to them, if I never actually represented or dealt with that person?
The panel concluded that the inquiring attorney may represent the lawyer before the Disciplinary Board, because an attorney-client relationship never existed between the inquiring attorney and the com…
I represent one client in a civil matter and previously represented another person in an unrelated criminal matter. The former client might testify against my current client. Is that a conflict?
The panel concluded that Rule 1.9 controls and that no conflict of interest arises, because the reasons the attorney was engaged by the two clients are so unconnected that they do not amount to the sa…
My personal injury client signed a medical lien agreement but now demands that the insurer's checks for medical expenses be paid straight to the client. What do I do with funds the providers are also claiming?
The panel concluded that the attorney may not pay the medical providers out of funds received on the client's behalf without the client's consent; the obligation to pay rests with the client, and if t…
I drafted the note and mortgage for a real estate sale, and now the buyers want me to represent them in a lawsuit claiming the purchase price on the settlement sheet was false. Can I take the case?
The panel concluded that under Rule 3.7 the attorney cannot represent the buyers in the action, because the attorney prepared the transaction documents and has knowledge of a material issue, making th…
My current client in a criminal case gave me information that implicates a former client I once represented on an unrelated misdemeanor. Is that a conflict?
The panel concluded that Rule 1.9 controls and that no conflict of interest arises, because the attorney's representation of the two clients does not involve the same or a substantially related matter…
I'm counsel to a struggling corporation and think its board can't manage its own affairs. Can I ask a court to remove the board, audit the books, and appoint a property manager?
The panel concluded that the corporation's Board of Directors is the client, that the attorney may not substitute the attorney's judgment for the client's, and that the attorney must either comply wit…
My partner handled the real estate closing for a couple who are now divorcing, and another partner once hired the husband's plumbing company. Can our firm represent the wife in the divorce?
The panel concluded that a conflict arises under Rule 1.9 as to the jointly purchased real estate the partner closed unless the husband gives informed consent; that the other partner's earlier use of …
A prosecutor subpoenaed me to a grand jury to testify about when and how long I met with a client and what I observed. Do I have to go, and what can I refuse to answer?
The panel concluded that the attorney-client privilege does not by itself excuse an attorney from appearing before a grand jury; the attorney must appear if subpoenaed, must assert the privilege on th…
My personal-injury client is struggling to pay the mortgage. Can I lend the client money to help cover the monthly payments?
The panel concluded that Rule 1.8(e) prevents the attorney from lending the personal-injury client money to assist the client in meeting monthly mortgage obligations.
I want to mail prospective clients a letter about bankruptcy and debt collection. How must I label it and what disclaimer does it need?
The panel concluded that under Rule 7.3(b)(1)(a) the letter must be plainly marked 'advertisement' on the envelope and at the top of each page in type one size larger than the largest type used, that …
I want to mail people who might qualify for the Victims' Compensation Fund. Is that allowed, and what do I have to tell them about fees and costs?
The panel concluded that such a mailing is permissible under Shapero v. Kentucky Bar Association as long as the letter is truthful and not deceptive, and that the letter should clearly state the clien…
I represent two co-defendants in a civil case, and I've found evidence that clears one of them and pins the liability on the other. Can I keep representing both?
The panel concluded that Rule 1.7 prevents the attorney from representing both co-defendants because their interests are so materially adverse that the attorney could not reasonably believe representi…
My client accepted a settlement offer and now wants to back out and keep litigating. Can I withdraw from the representation?
The panel concluded that a client's acceptance of a settlement offer creates a binding contract, and that if the client wishes to repudiate the settlement the attorney may properly withdraw under Rule…
My sibling is a lawyer representing the other side in a case I'm handling. Do I need client consent, and does the conflict spread to everyone at my firm?
The panel concluded that Rule 1.8(i) requires client consent, based on a thorough explanation of the relationship, where a lawyer knows a parent, child, sibling, or spouse represents an adverse party,…
I left a job in the state Executive Department to enter private practice. Can I represent private clients before that department right away?
The panel concluded that Rule 1.11 and Rhode Island General Laws § 36-14-5 prohibit the attorney from representing a private client before, or appearing before, the Executive Department for one year f…
I wrote a divorce booklet and want to advertise it. Does the ad need the Rhode Island specialization disclaimer?
The panel concluded that the advertisement for the booklet should include the Rule 7.4 disclaimer that Rhode Island does not have a procedure for certification or recognition of specialization by lawy…
I was retained on a contingent fee to advise a pro se litigant, but the client has vanished and missed discovery. I never entered an appearance. Do I have to, and what do I tell the court?
The panel concluded that the attorney has no duty to enter an appearance for the client because the client cannot be located, and that it would be appropriate for the attorney to inform the court of t…
My client is unhappy with my work and won't pay my fees after the trial ended. Can I withdraw from the representation?
The panel concluded that under Rule 1.16(b) the attorney may properly withdraw if the client continues to refuse to pay for the services rendered and the attorney gives the client reasonable warning t…
A town invited me to teach a course. Can I run a newspaper ad with my name and the course details, and what disclaimers do I need?
The panel concluded that it would not be improper under Rule 7.2 for the attorney to advertise the course in a newspaper of general circulation, provided the advertisement contains no false or mislead…
A former client made statements to me that had nothing to do with my representation of them, and now they're in a dispute with my relative. Can I testify about what the former client said?
The panel concluded that the situation is governed by Rule 1.9 and that the lawyer may testify about the former client's statements so long as those statements did not arise from the attorney-client r…
As the borrower's lawyer, can I give the lender an opinion letter that the lender's own loan documents are legal, valid, binding and enforceable?
The panel declined to extend blanket ethics-panel protection for furnishing such an opinion, viewing it as inconsistent with the traditional adversary system, but advised that it may be proper under R…
My client is charged with murder, maintains his innocence, but wants to plead guilty or nolo for reasons I think are poor. Can I let him plead, and what are my options if I disagree?
The panel concluded that Rule 1.2 requires the attorney to abide by the client's wishes on the plea if the attorney continues the representation, and that the attorney may seek to withdraw under Rule …
Can a lawyer advise or arrange for a person to hide or leave the state so that person won't be available as a witness in a pending case?
The panel concluded it is improper for a lawyer to advise or cause a person to secrete himself or leave the jurisdiction to be unavailable as a witness in pending litigation, because such conduct viol…
Can I ask the state ethics panel to interpret a provision of the Supreme Court Law Clerk Pool Manual?
The panel declined to render an advisory opinion, holding under Rule 2(c) of its own rules that it lacks authority to opine because interpreting the Law Clerk Pool Manual concerns conduct not governed…
Can I invite judges to the opening ceremonies for my new law office?
The panel concluded that there is no ethical problem presented by inviting members of the judiciary to the opening ceremonies of an attorney's newly formed law office.
I worked for a utility for eight years in non-lawyer roles, then got admitted to the bar. Can I now take a state-agency legal job that would put me opposite that utility?
The panel concluded that the facts gave rise to no conflict of interest, because the lawyer had access only to public information as a non-lawyer employee of the corporation and the corporation had ne…
I represented a couple in an adoption. They're now divorcing and fighting over the file: the wife wants it released to her divorce lawyer, the husband objects. What do I do with the file?
The panel concluded, following its earlier Opinion #119 that a file's contents are the clients' property, that the lawyer should seek an arrangement both former joint clients can agree to; failing agr…
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Legal ethics opinions from the Rhode Island Supreme Court Ethics Advisory Panel interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are not binding like court discipline decisions, but courts and discipline boards treat formal opinions as substantial guidance on how the rules apply. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.