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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A government agency served me with a summons for my client's records. Do I have to hand them over, and would that violate the attorney-client privilege under Rule 1.6?
The Panel concluded the attorney must assert the attorney-client privilege where producing the records would breach Rule 1.6, but must comply with the final order of a court or tribunal of competent j…
My firm got a bank line of credit secured by our accounts receivable, and the bank wants a list of clients with names, addresses, and amounts owed. Does Rule 1.6 let us give the bank that list?
The Panel concluded that a client's name, address, and fee amount relate to the representation and are confidential under Rule 1.6, which does not distinguish confidences from secrets, so the firm can…
A family member of my longtime client has subpoenaed me to testify about the client's financial affairs. Does Rule 1.6 let me testify, and what must I do at the hearing?
The Panel concluded that, absent the client's waiver, Rule 1.6 requires the attorney to attempt to maintain confidentiality and invoke the privilege where applicable, but the attorney must obey a cour…
I represent a therapist and several of the therapist's patients suing a doctor who secretly taped the sessions. If the therapist is compelled to reveal the patients' privileged information, must I withdraw from the patients?
The Panel agreed the attorney should withdraw from representing the patients, at which point they become former clients under Rule 1.9; the attorney may keep representing the therapist only if the pat…
I sued for an insurer to cut off a claimant's workers' comp benefits and confirmed he runs a home business, but that same claimant is now my firm's client for that business. I'll withdraw from both, but must I report the fraud?
The Panel agreed the attorney should withdraw from both representations under Rule 1.17 because of a Rule 1.7 conflict, and concluded that under Rule 1.6, with no exception applicable, the attorney ha…
My subcontractor client dealt directly with the homeowner, who twice met with me about the construction problems, once alone. Now I'm collecting for my client against the homeowner. Do those contacts create a conflict?
The Panel concluded that Rule 1.9(a) governed and that the attorney may represent Client A only if he complies with it: because the matters are the same or substantially related and Client A's interes…
I represented the lender and the buyer in a real estate closing, and another lawyer tracing funds paid to the seller has subpoenaed my file. Do I owe the seller confidentiality, and can I turn over cancelled checks and loan documents?
The Panel concluded the attorney had no confidential relationship with the seller because the clients were the lender and the purchaser, and that under Rule 1.6 the attorney may supply the requested c…
Years ago I drafted a will for Y and a trust for Y's spouse. Now the trust company (my client) is being sued by Y and a remainderman over the trust's investments. Can I defend the trust company against Y?
The Panel concluded that because preparing Y's will was not the same or substantially related to the investment suit, the attorney may represent the trust company against Y and Z, but under Rule 1.9(b…
A former personal-injury client is now suing me over a car accident we were both in, claiming injuries like the ones from the old case. What can I do with the confidential information from my earlier representation?
The Panel concluded that under Rule 1.9(b) the attorney may not use or reveal information obtained in the former representation to the former client's disadvantage, unless that information has become …
My firm wants to refer overdue client accounts to a collection agency, giving it each debtor's name, address, and the amount owed. Do the confidentiality rules allow that?
The Panel concluded that the debtor clients' identity and the amount due may be revealed to a collection agency under Rule 1.6(b)(2), because doing so establishes a claim on behalf of the law firm.
I once represented a mother in a domestic case (now closed) and she still owes me fees. I now represent a criminal defendant charged with assaulting her daughter. Is that a conflict under Rule 1.9?
The Panel concluded there was no Rule 1.9 conflict because the two matters were not the same or substantially related and the defendant's interests were not materially adverse to the mother; the unpai…
Two beneficiaries told me in confidence that they fraudulently got witnesses to sign a will now headed to probate elsewhere. Must I disclose the fraud to that probate court or their new lawyer?
The Panel concluded that because the beneficiaries' fraudulent conduct had already begun and no Rule 1.6(b) exception applied, the attorney may not reveal the information and could not disclose it to …
I represent a doctor before the medical board and my co-counsel wants to cross-examine the board's expert, a doctor I have separately represented. Does Rule 1.7 forbid it?
The Panel concluded that Rule 1.7 did not prohibit the arrangement because the two representations were not directly adverse and neither was materially limited, but it reminded the attorney not to rev…
I represented an institution years ago. Can I now represent a client suing that institution on an unrelated matter?
The Panel concludes that because no substantial relationship exists between the past representation of the institution and the proposed representation, the attorney may undertake the new matter under …
I learned my client allegedly forged signatures, and after withdrawing the client wants the documents, the examiner's report, and the test sheets back. Can I disclose, and must I return them?
The Panel concludes the attorney may not disclose knowledge of the client's alleged forgeries because Rule 1.6's exceptions do not apply and the duty of confidentiality survives termination, and that …
I represent a defendant in a personal injury case, and the plaintiff's treating physician -- who may testify -- is my former client. Is that a conflict?
The Panel concludes the attorney may represent the defendant in conformity with Rule 1.9, because the matters are not the same or substantially related and the defendant's interests are not materially…
Can I charge nonclient adversaries a court-equivalent fee for photocopies of nonconfidential public-record documents produced on behalf of my clients?
The Panel perceives no violation of the Rules of Professional Conduct in the attorney's proposed conduct -- charging nonclient adversaries a fee equivalent to a court's charge for photocopies of publi…
I defended a client in a DUI case that ended in a plea. Can I now represent the tavern in the related civil suit arising from the same facts?
The Panel concludes a substantial relationship exists between the prior criminal defense and the tavern's civil case, so under Rule 1.9(a) the attorney must obtain the former client's consent before r…
My criminal client was released from prison to a residential drug program and then left it. Do I have to tell the court?
The Panel concludes the attorney has no duty to disclose that the defendant left the program, because the information is confidential under Rule 1.6(a) and the Rule 3.3 candor duties, which continue o…
My client's personal-injury settlement was supposed to pay a creditor who had a body attachment, but the client won't pay. Can I tell the creditor's lawyer the case settled, without the client's consent?
The Panel concludes the attorney may inform the creditor's attorney that the case settled and the client was paid, because that disclosure is impliedly authorized to carry out the representation and i…
I handled a real estate closing years ago and I'm not sure whether I represented the buyer, the seller, or both. Now I've been subpoenaed to a grand jury about it. What must I do?
The Panel concludes that if both buyer and seller consent the attorney may comply, but absent full consent the attorney must move to quash and assert the attorney-client privilege under Rule 1.6, whil…
My secretary previously worked for the firm now representing the wife and knows confidential information about her. Can my firm keep representing the husband, and can the husband waive the conflict?
The Panel concludes the secretary's knowledge is imputed to the firm under Rules 5.3 and 1.10(b); a waiver is possible under Rule 1.10(d)/1.7, but because obtaining the husband's consent would require…
After I withdrew from a client's case because I learned his claim may be fraudulent, must I report it, refund my fee, or warn his new lawyer?
The Panel concludes that Rule 1.6 protects the information, so the attorney may not disclose it to anyone (including new counsel) without the client's consent, and, absent prior knowledge of the fraud…
I was served with a subpoena duces tecum to bring a client's closed file to a deposition. May I assert the attorney-client privilege, and what do I do if the court orders disclosure?
The Panel concludes the attorney has a duty under Rule 1.6 to invoke the attorney-client privilege when applicable, and must comply if a court ultimately issues a final order requiring disclosure.
My former divorce client's new lawyer says I coerced her into the divorce, and I've been subpoenaed to testify. How do I proceed without violating her confidences?
The panel advised that Rule 1.6 governs and that, under Rule 1.6(b)(2), a lawyer may reveal confidences to establish a defense to allegations concerning the lawyer's representation; the attorney has a…
I did a title report for a lender. A third party bought the loan and now demands my whole file, including my own abstracts and charts. Are they entitled to it?
The panel advised that a client is entitled on termination to the papers and property belonging to the client, excluding the attorney's work product; here, though, the demand comes from a third party …
My client's prior lawyer knew the client's accident was fraudulent. The client won't consent to my disclosing it. Must I still report that lawyer under Rule 8.3?
The panel advised that because the client refused to consent to disclosure under Rule 1.6, the attorney is prohibited from revealing the information; Rule 8.3(c) does not require reporting misconduct …
My office represented a husband and wife in real estate deals. Can I now represent the wife in a divorce against the husband?
The panel advised under Rule 1.9 that it could not tell from the facts whether the matters are substantially related; assuming they are, the attorney should obtain the husband's consent, preferably in…
Opposing counsel dealt directly with my client in court about the settlement without me present. Do I have to report that Rule 4.2 violation, and does confidentiality limit me?
The panel advised that if the inquiring attorney believes his client was intentionally misled and defrauded and that the opposing lawyer violated Rule 4.2 in furtherance of that fraud, he is obligated…
I represented a borrower buying property. Can I now represent the seller of that same property in a civil assault suit against the borrower?
The panel advised under Rule 1.9 that the attorney may represent the seller in a civil suit against the borrower because the matters are not substantially related, but the attorney may not use informa…
A commission subpoenaed my client's billing records. Must I turn them over without the client's consent, and can I be forced to testify about the representation?
The panel advised that Rule 1.6(a) bars revealing information relating to the representation without the client's consent, so absent a waiver the lawyer must invoke the privilege whenever it is approp…
I once handled collection cases for a husband's companies. Can I now represent his wife in her divorce?
The panel advised that under Rule 1.9 the attorney may represent the wife in a domestic matter, provided the attorney does not use any information gained through the previous representation of the hus…
A former personal injury client faked his claim and the FBI wants my help prosecuting him. May I assist, or must I keep his information confidential?
The panel advised that Rule 1.6 prohibits the attorney from assisting in the prosecution of the client; the attorney must maintain confidentiality, and if called as a witness must invoke the applicabl…
I represent a guardianship estate and found the guardian made fraudulent withdrawals from an incompetent ward's funds. What must I do?
The panel advised that the attorney may not proffer a false accounting and must undertake remedial measures: counsel the guardian to disclose the withdrawals to the ward, and if the guardian refuses, …
Must I disclose the existence of an unperfected state medical-services lien to the adverse insurer or the workers' comp court when settling my client's case?
The panel advised that Rule 1.6 bars disclosing the lien to the state agency or the insurer without the client's consent, but Rule 3.3(b) may require disclosure to the court if not disclosing would as…
A judge told all lawyers we must inform the court if a client leaves a court-ordered program. Would disclosing that violate my duty of confidentiality?
The panel concluded that the attorney would not violate Rule 1.6 by disclosing the information if the attorney complied with a final order of a court of competent jurisdiction requiring the disclosure…
I'm the estate's attorney (and resident agent for the non-resident executor), and the executor improperly took estate funds. What should I do?
The panel advised that the attorney should ask the executor to authorize disclosure to interested parties, including the estate's beneficiaries, creditors, governmental authorities, and the probate co…
I discovered another lawyer's misconduct while representing a client. Can I report it without my client's consent?
The panel concluded that if the information is confidential and within the attorney-client privilege, then absent the client's consent the attorney is prohibited by Rule 1.6 from revealing it, even to…
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…
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…
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 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…
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…
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 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…
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…
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…
My former divorce client's ex-husband subpoenaed me to testify and produce records about an inconsistency between the final decree and the judge's order on the marital home. My former client hasn't waived privilege. What can I properly disclose?
The panel held that absent either a court order or the former client's express consent, the attorney may not testify as to any confidential matters covered by Rule 1.6, and may not reveal any of the c…
I'm a lawyer who was hired only as a CPA to prepare an estate's tax return. In that role I learned the estate's lawyer is setting aside funds for the administratrix in a way that shortchanges unrepresented heirs. Can I tell the probate court or disciplinary counsel, and am I required to?
The panel held that because the inquiring attorney was retained solely as an accountant for the limited purpose of preparing the estate's tax return, none of the information he holds is protected by a…
My former client told me things during our consultation that contradict what I just watched her testify to in court in an unrelated case. Do I have to say or do anything about the discrepancy?
No. The panel held there is nothing the attorney can or should do about the discrepancy between what the former client told her and what the former client told the court, because Rule 1.6's prohibitio…
Months ago, an out-of-state lawyer paid me for a consultation on Rhode Island domestic relations law and procedure for his client, Mr. Doe, though we never discussed the case's specifics. Now Mr. Doe's wife wants me to represent her in their divorce. Can I take her case?
Not without Mr. Doe's consent. The panel held that the paid consultation created a temporary attorney-client relationship between the attorney and Mr. Doe, and that unless Mr. Doe expressly consents a…
I represented both spouses in an adoption years ago, and now I represent the husband alone in their marital dispute. The wife says I have a conflict from the adoption representation. Will the ethics panel rule on whether I can continue?
No. The panel declined to rule, holding that whether continued representation would be proper turns on a contested factual question, whether privileged information from the wife was actually conveyed …
My clients want me to publish an article about their unusual Family Court case, and they're fine with fictitious names being used. Can I do that?
Yes. The panel held that the attorney may properly publish an article on his clients' case because they consented, provided he uses fictitious names for the people and specific places involved to prot…
Two of my firm's clients are now in a contract dispute with each other, and one objects to my firm continuing to represent the other. Will the ethics panel decide whether I can continue?
No. The panel declined to rule, holding that a contested-fact situation like this, where the dispute is already pending in court, must be resolved in an adversary proceeding rather than through an adv…
I currently represent a husband in an unrelated matter where he shared confidential financial information with me. His wife just called asking me to represent her in divorcing him. Can I take her case? Can I keep representing the husband on his other matters?
No to representing the wife: the panel held that representing her in the divorce would violate the Code, regardless of whether the confidential information from the husband was actually relevant to he…
A prepaid legal services organization that insures my client wants a document I prepared for that client. Can I release it?
Yes, if the client consents after full disclosure. The panel held that releasing a document prepared for a client who subscribes to a prepaid legal services provider is proper where the client authori…
I'm a private attorney appointed to a state licensing board. Can I take part in board decisions involving people I've sued, and can I later represent a client against someone whose case I heard as a board member?
No to both. The panel held that Canons 8 and 9 bar the attorney from participating in board deliberations involving anyone he has sued or is currently suing on behalf of a private client, and bar him …
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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.