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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I handled real estate closings for a married couple. Now I'm representing the husband in their divorce. Do I have to withdraw because the wife is a former client?
The panel gave a fact-specific answer under Rule 1.9: the wife is a former client, and if the attorney obtained information in the closings that would be helpful in the divorce, the matters could be s…
I once represented a man who later married someone now suing my client for age discrimination. Can I represent my client against that spouse, or is it a conflict?
The panel concluded there is no conflict, because the spouse was never the attorney's client and does not become a client or former client merely by marrying a former client; the only clients are the …
My partner drafted a will for a woman 13 years ago. Can I keep representing my client in a lawsuit against that woman now, or is she a former client I can't oppose?
The panel concluded that the attorney may continue the representation, because preparing the mother-in-law's will years earlier is not the same as or substantially related to her current action, so Ru…
I'm defending a criminal case, and the prosecution may call a woman I represented in a 1984 divorce as a witness. Is that a conflict of interest?
The panel concluded there is no conflict, because Rule 1.9 bars a lawyer from opposing a former client only in the same or a substantially related matter, and a 1984 domestic-relations representation …
My firm does lender work and I want to add closings representing both lender and borrower with consent. What if I later have to foreclose for a lender against a borrower I represented on the purchase?
The panel advised the lawyer to follow the criteria of Rule 2.2 for acting as an intermediary between clients, and held that if and when a conflict arises between lender and borrower, the lawyer must …
I'm representing a husband in his divorce, and his current wife says I represented her in a divorce years ago. She objects. Can I stay in the case?
The panel concluded that the prior and current divorces were substantially related and the wife's interests were materially adverse to the husband's, so under Rule 1.9 the attorney may not continue re…
I represent a corporation and gave one 50% shareholder some general advice. He left and kept his stock. Can I keep representing the company and the other shareholder in buying him out?
The panel concluded that under Rule 1.13(e) the lawyer may continue to represent the corporation and Stockholder B in the buyout, but subject to Rule 1.7 the lawyer must obtain Stockholder A's consent…
My law partner drafted the deed and closing documents for a property Owner in a sale, and I represent the other side in a breach-of-contract suit against that Owner. Do Rules 1.9 and 1.10 require me to withdraw?
The Panel concluded that because the law partner had undertaken to represent the Owner, Rule 1.10 imputed that representation to the inquiring attorney, who could not continue in the substantially rel…
Two nonprofit legal services agencies are merging into one entity. After the merger, how do the combined agency's conflict-of-interest duties under Rules 1.7, 1.9, and 1.10 apply to clients who were previously with the separate agencies?
The Panel advised that after the merger the combined agency must review its caseload for conflicts: where current clients' interests are directly adverse it needs each client's consent after consultat…
My partner once represented an estate for an insurer just to settle within policy limits. Now I represent that same insurer against the estate in a related arbitration, and the executor objects. Must I withdraw?
The Panel concluded that under Rules 1.9 and 1.10 the attorney cannot continue to represent the insurance company, because the estate is a former client of the firm, the matters are substantially rela…
I concluded my client needed a guardian and nursing-home placement, and the client then fired me. May I be appointed guardian of the person of that former client, with an associate drafting the paperwork?
The Panel concluded that because the guardianship is substantially related to the representation and the former client refused consent, Rule 1.9 bars the inquiring attorney from serving as guardian, a…
A lawyer switched firms and my opponent moved to disqualify the new firm, claiming a substantial relationship to the old firm's matter. If that lawyer had no actual knowledge of the client, is the firm disqualified under Rule 1.10?
The Panel concluded that, whether or not the matters are substantially related, the incoming lawyer and the new firm are not imputedly disqualified under Rules 1.9 and 1.10 because the lawyer has no a…
I represented a student against two schools. Now one of those schools wants me to sue the other in a related matter, and to run training workshops for the other school's staff. Can I take on that new work under Rule 1.7?
The Panel concluded that the attorney may not represent the school against the school department in the substantially related matter unless the former student client consents after consultation, and m…
My partners and I left our old firm to start a new one. A new client wants us to sue a client our old firm handled, in an unrelated matter we had no confidential knowledge of. Can our new firm take it under Rules 1.9 and 1.10?
The Panel concluded that because the new matter is unrelated to the old firm's work for the former client and the lawyers acquired no actual knowledge of protected information, the new firm may repres…
My new client is criminally charged with breaking into the home of someone I represented years ago in unrelated matters. Does Rule 1.9 bar me from defending the criminal case?
The Panel concluded that the criminal charge is not the same or substantially related to the earlier unrelated representations of the complaining witness, so the attorney may represent the criminal de…
My client sold the disputed house to a buyer with an addendum about the pending suit, then fired me. Do I have a client relationship with the buyer, and can I represent either of them under Rule 1.9?
The Panel concluded the attorney has an attorney-client relationship only with the seller, not the buyer; because the seller is now a former client, the attorney needs the seller's consent to represen…
I handled a client's first divorce. Now that client's new spouse wants to hire me for a divorce against my former client. Can I take that case under Rule 1.9?
The Panel concluded that under Rule 1.9 the attorney may not represent the new spouse against the former client unless the former client consents after consultation, and regardless of consent may not …
My old clients' minor child got a settlement held in trust by the parents, and I now hear the trust funds are missing. Do I have any duty to the child or to seek an accounting under Rule 1.9?
The Panel concluded that, assuming the attorney does not represent the guardian and no longer represents the parents, the attorney has no legal obligation to protect the minor's interest, and may not …
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…
For years I represented a bank that is now in receivership. A board member wants me to represent him personally in a matter the receiver has brought against the bank. Can I take it?
The Panel concluded that a substantial relationship exists between the past representation of the lending institution and the board member's matter, so under Rule 1.9(a) the attorney needs the receive…
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…
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 …
I represented both X and Y, and Y (using a power of attorney I drafted) cashed X's settlement check and kept a third. I've withdrawn from representing Y. May I keep representing X?
The Panel concluded the attorney was not ethically prohibited from continuing to represent X, but that if X sought to assert rights against Y for the money Y withheld, the attorney could not represent…
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…
I represented three clients together in a real estate matter that closed in 1992. Can I now represent one of them in an unrelated matter that involves another one of them?
The Panel concluded that because the earlier real estate matter and the proposed matter were not the same or substantially related, Rule 1.9 did not bar the attorney from undertaking the proposed repr…
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 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…
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…
I represented one spouse in a divorce five years ago. Can I now represent the other spouse in a child-support case against my former client?
The Panel concludes that because the matters are the same or substantially related and the new client's interests are materially adverse to the former client's, Rule 1.9 bars the representation absent…
I drafted leases for Client A that were later terminated. Now Client B wants me to collect the unpaid balance on those same contracts against A. Is that a conflict?
The Panel concludes that under Rule 1.9 this is a conflict, because the collection matter is the same or substantially related to the lease work the attorney did for Client A and Client B's interests …
The victim in my client's criminal case was once represented by another lawyer in my firm. Can I impeach the victim using public-record information without violating former-client duties?
The Panel concludes that the attorney may use information about the victim that has become generally known or is a matter of public record to impeach, even though the victim is a former client by impu…
A former partner represented Client X while we shared a firm, though I never worked on it. After the firm dissolved, can I take a new client adverse to X on a related lease?
The Panel concludes that under Rule 1.10(c) the attorney need not withdraw as long as the new matter is not the same or substantially related to the former partner's representation and the attorney ha…
Years ago I briefly advised a former client on a promissory note. Can I now represent a new client in an unrelated debt-collection matter against that former client?
The Panel concludes that under Rule 1.9 the representation is permissible if the debt-collection matter is not the same or substantially related to the prior work and the lawyer does not use informati…
I represent a corporation and its sole shareholder, and I've done work for an employee too. Can I represent the shareholder in selling stock to that employee?
The Panel says it depends on whether the employee is still a client: if so, Rule 1.7 governs and requires consent; if the employee is a former client, Rule 1.9 permits the representation unless the ma…
My former client's new lawyer disputes my attorney's lien. Can I write the former client directly to explain the lien without violating Rule 4.2?
The panel advised that Rule 4.2 is implicated only when a lawyer communicates with a represented party in connection with the representation of, or on behalf of, a client; here the inquiring attorney …
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…
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…
I represented a business owner in incorporating and a related lease. Can I now represent the broker suing that owner for a commission on the same business's sale?
The panel advised that Rule 1.9 governs and that it could not conclude the attorney's former representation of the seller (in incorporating the business and preparing a related lease) is not substanti…
In an earlier case, C paid part of my other clients' fees but I never represented C. Can I now represent A, who is C's co-defendant?
The panel advised that the attorney may represent Client A, because the fact that C once contributed to an earlier client's fee does not make C a former client; third-party payment is governed by Rule…
I drafted a mortgage assumption agreement for a bank at my old firm. Can I now handle the bankruptcy of the person who assumed that mortgage?
The panel advised that a conflict of interest exists under Rule 1.9, because the propriety of a subsequent adverse representation turns on whether the former and present matters are substantially rela…
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…
My firm used to represent a client in a family-law case. Can we now file a collection complaint against that former client for a different client?
The panel advised that, because the collection matter is not substantially related to the former family-law representation, Rule 1.9(b) permits the firm to file the complaint against the former client…
I represented the seller at a closing where the buyer was unrepresented, then wrote the buyer about the 'legal services' I provided. Can I now foreclose against the buyer?
The panel concluded that, because the attorney had sent the buyer a letter making declarations of legal services provided to the buyer, an appearance of impropriety would exist if the attorney now ini…
I once represented a client and opined that a contract was enforceable. Its successor counsel now wants it declared void. May I help successor counsel, or the opposing party's counsel?
The panel concluded that the attorney may, but is not obligated to, voluntarily assist successor counsel on the former matters, but may not assist counsel for the other signatory, because that would c…
I represented the City Council in negotiations with the Mayor. Can I keep representing clients with claims against the city, even on unrelated matters?
The panel concluded that because the City Council is integrally involved in matters concerning the city, the attorney should obtain the consent of all involved parties under Rule 1.7 before continuing…
I had an initial consultation with someone who didn't hire me. Can I now represent an organization against that person in the same matter?
The panel concluded that a conflict of interest exists under Rule 1.9, because a substantive initial consultation is sufficient to constitute representation for this purpose, the interests of the two …
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 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…
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…
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 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…
Years ago my firm briefly represented a corporation trying to buy assets from an estate, while the estate's heirs were separately bidding on other assets with their own counsel. The deals never collided. Can I now represent those heirs against the estate's executor, even though a firm lawyer may be a witness?
Yes. The panel held that Rule 1.9 does not bar the representation because the former client (the corporation) and the current clients (the heirs) only could have become adverse over one asset and neve…
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 was associated with a lawyer's firm years ago. He still represents cases from that period as co-counsel with me, but a new client of his retained him four or five years after I left. Can I represent someone against that new client under Rule 1.9?
Yes. The panel held that because the attorney was no longer associated with his former colleague, Lawyer L, when Ms. B retained Lawyer L's services, Ms. B never became the inquiring attorney's own cli…
A former client I met with once, years ago and don't recall, now objects to my representing his wife in their divorce, even though opposing counsel told me my former client didn't object and I relied on that for months. Can I keep representing the wife?
The panel declined to decide whether the former client's later-reported consent was informed and binding, holding that the extent or adequacy of disclosure underlying consent is a contested factual de…
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…
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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.