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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My criminal client was released into a court-ordered residential drug treatment program and then walked out. Do I have to report that to the sentencing court?
The panel concluded that Rule 3.3 did not require the lawyer to tell the court that the client had left the court-ordered program, because the lawyer's silence would not assist a crime or fraud under …
I represent one family in a tort suit against an abuser and another family in a criminal-injuries-compensation claim over the same abuser. Do I have a conflict of interest representing both?
The panel concluded that Rule 1.7 did not preclude the representations because the two sets of clients' interests were not directly adverse and the representation of one was not materially limited by …
I used to be a prosecutor and handled this defendant's case. Now in private practice, can I represent him at his parole hearing, can my firm take it if I'm screened, and can I collect a referral fee if I send it out?
The panel concluded that Rule 1.11(a) was an absolute bar to the former prosecutor personally representing the individual (RI's rule has no government-consent provision), that the firm could take the …
I'm a part-time deputy probate judge for a town and I also have a private law practice. Can I represent clients before that same town's zoning board?
The panel concluded that the part-time deputy probate judge could represent clients before the municipality's zoning board if, under Rule 1.7(b), he reasonably believed the representation would not be…
Can I report a client's settlement to the 'Verdicts and Settlements' column of a legal newspaper without the client's consent if I leave out the names, insurer, and docket number?
The panel concluded that the settlement details the lawyer proposed to publish were information relating to the representation, so under Rule 1.6 the lawyer could not disclose them for publication wit…
My corporate client won't settle because holding the money earns investment income that beats the litigation risk. If I follow that instruction and keep litigating, am I violating the duty to expedite litigation?
The panel concluded that under Rule 1.2 the lawyer must abide by the client's decision whether to settle, and that doing so does not violate Rule 3.2's duty to expedite litigation, so long as the liti…
The Bar's Lawyer Referral Service sends me referrals but the clients often don't call. Can I phone or write to them first without following the rules for solicitation letters?
The panel concluded that following up by telephone or letter with a person the Bar Association Lawyer Referral Service has already referred is not a solicitation under Rule 7.3, because the prospectiv…
I'm on the approved-attorney panel of a prepaid legal service plan and want to send an introductory mass mailing to all plan members. Does that letter have to follow the solicitation rules?
The panel concluded that an introductory mass mailing to prepaid-plan members is a solicitation of prospective clients and must comply with Rule 7.3(b), because an attorney's status as an approved pla…
I agreed to split a contingent fee 50-50 with the attorney who referred me the case, but he has since been disbarred. Can we still split the fee, and if not, how do I pay him for his work?
The panel concluded that the lawyers could not split the contingent fee 50-50 unless each provided half the services, because a disbarred attorney cannot assume the continuing responsibility Rule 1.5(…
Years ago I did some work for the seller in a real estate closing while representing the buyer. Now the buyer faces an adverse-possession claim. Can I represent the buyer in a third-party warranty claim against that seller?
The panel concluded that Rule 1.9(a) prohibited the lawyer from representing the buyer against the seller, because the seller was a former client whose interests were materially adverse in a substanti…
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?
The panel concluded that the Rules did not prohibit the lawyer from seeking a restraining order or notifying the Parole Board or Attorney General about the client's threat, so long as the lawyer reaso…
Years ago I represented a union on contract and labor matters. Can I now represent a former union officer suing that union for defamation over statements it made recently?
The panel concluded that Rule 1.9 permitted the representation because the earlier contract and labor-relations work and the new defamation suit over 1997 statements were not the same or substantially…
I was hired by an insurer to defend its insured. The insured wants copies of my letters to the insurer's adjuster that contain my analysis of liability and settlement. Do I have to hand them over?
The panel concluded that the insured is the lawyer's client, so under Rule 1.4 the lawyer must keep the insured reasonably informed and comply with reasonable requests for information; the request for…
While I worked for the Attorney General I told an assault victim that the police weren't prosecuting and that he could privately prosecute. Now in private practice, can I represent that victim in a suit against the perpetrator?
The panel concluded that Rule 1.11(a) did not bar the former Attorney General lawyer from representing the victim privately, because his earlier conversations advising the victim of his options did no…
I'm opening a real estate referral company I'll co-own with another lawyer, in my law office. Can I do the legal work on transactions where my company or its agents earn a commission, and if not, can I refer that work to lawyers in my building?
The panel concluded that Rule 1.7 barred the lawyer from providing legal services in a real estate transaction in which his referral company or its affiliated agents and brokers received a commission,…
My former firm is suing my current client to collect old legal fees, and I worked at that firm while the fees accrued (though I did none of that work). Can I defend the client in the collection action?
The panel concluded that under Rule 1.7(b) the lawyer could represent the client if he reasonably believed the representation would not be adversely affected by his own interests or responsibilities t…
Can I start charging interest on my clients' overdue legal bills even though our fee agreement never mentioned interest?
The panel concluded that the Rules do not prohibit charging interest on unpaid balances for legal services, provided the lawyer complies with applicable law on interest and, absent a prior agreement, …
Four years ago my firm represented Able in a car-accident injury claim. Can we now represent Baker, a passenger injured in a different accident, in a claim adverse to Able?
The panel concluded that Able was a former client under Rule 1.9, but because the earlier accident claim and the new one were not the same or substantially related matters, the firm could represent Ba…
Eight years ago I got Client A sole custody in her divorce. Can I now represent Client B, the present wife of Client A's ex-husband, in Client B's own child-support case against a different ex-spouse?
The panel concluded that Client A was a former client under Rule 1.9, but the continued representation of Client B was permitted because the custody matter and the new child-support matter were not th…
Can I cold-call a pro se appellee and offer to represent the appeal for free if my real goal is to log the appellate experience I need to get onto the paid court-appointment list?
The panel concluded that the proposed telephone solicitation would violate Rule 7.3(a), because a significant motive was the lawyer's own pecuniary gain in qualifying for future paid appointments, and…
I got a deposition notice and a subpoena duces tecum for a former client's documents that I think are privileged, and the client won't consent to disclosure. Can I refuse to produce them?
The panel concluded that Rule 1.6 barred the lawyer from disclosing the information without the former client's consent and required the lawyer to invoke the attorney-client privilege and work-product…
My firm was hired by an insurer to defend both the insured and the driver, but the driver never responded and now the insured has given me information adverse to the driver. Can I drop the driver and represent the insured?
The panel concluded that Rule 1.7 prohibits the lawyer from representing the insured whether or not the lawyer withdraws from representing the driver, because the two clients' interests are directly a…
My client, who is now applying for bar admission, stiffed me on our written fee agreement. Can I tell the Committee on Character and Fitness that the client defaulted on the fee?
The panel concluded that a client's failure to pay a lawyer's fee is information relating to the representation and may not be disclosed without the client's consent, so notifying the Committee on Cha…
I saw records showing another lawyer wrote dozens of personal checks on a client trust account while a court had frozen the lawyer's assets. Do I have to report it to Disciplinary Counsel?
The panel concluded that if the inquiring attorney has knowledge that the other lawyer committed a rule violation raising a substantial question about honesty, trustworthiness, or fitness, Rule 8.3(a)…
I represent A on a personal injury claim and A's spouse B on a loss-of-consortium claim, but A and B are now divorcing and B may claim part of A's lost-wages recovery. Can I keep representing both, even with a signed conflict waiver?
The panel concluded that the lawyer could not represent both A and B, because the divorce gave B an interest in A's recovery that was directly adverse under Rule 1.7(a), and the representation of A wo…
I'm holding settlement money that both my client and a physician claim, and the disputed amount is small. Can I park it in a separate savings account, and do I have to file an interpleader action if they never settle?
The panel concluded that the lawyer may hold the disputed amount in a separate trust savings account pending resolution, and is not obligated to file an interpleader action; the lawyer must protect th…
The IRS is auditing me and wants my appointment book, which lists court dates and client meetings, to back up my deductions. Can I hand it over without violating Rule 1.6?
The panel concluded that Rule 1.6(b)(2) permits the lawyer to produce information to the extent necessary to support claimed deductions in the IRS audit, but the lawyer must limit the disclosure and a…
I once jointly represented a husband and wife in a narrow insurance complaint that has ended. Now the husband wants me to represent him in their divorce. Is the wife a former client, and can I take the case?
The panel concluded that the wife was a former client under Rule 1.9 and that the lawyer could represent the husband in the divorce, because the earlier insurance-complaint matter and the divorce were…
After a personal injury settlement, a physician claims a balance-billing amount my client disputes. Can I just pay the client and notify the physician, or do I have to hold the disputed money?
The panel concluded that Rule 1.15(b) obligates the lawyer to protect the disputed funds by either retaining them in the trust account until the dispute is resolved or, if no resolution is reached aft…
I referred an out-of-state accident case to a lawyer licensed there and did no other work. Now they've sent me a share of the fee. Can I keep it without any written agreement with the client?
The panel concluded that where lawyers divide a fee without regard to the work each performed, Rule 1.5(e) requires a written agreement with the client by which the lawyers assume joint responsibility…
A former client is being investigated for forging my signature on a letter on my letterhead. Investigators want a statement and my testimony that I didn't write or sign it. Does Rule 1.6 stop me?
The panel concluded that Rule 1.6 does not prohibit the lawyer from stating or testifying that the lawyer neither wrote nor signed the letter, because that fact is not information relating to the repr…
A human-rights agency directs me to send my client's position paper to the represented complainant. May I also copy the complainant on my adversarial cover letter to the agency, or does Rule 4.2 forbid it?
The panel concluded that the agency directive might fall within Rule 4.2's exception for communications authorized by law as to the required position paper, but that sending the represented complainan…
My spouse is an associate at a big firm but doesn't work on family-court cases. Do I and my firm need client consent to handle a family-court matter where a different lawyer at my spouse's firm is opposing counsel?
The panel concluded that disclosure and consent are not required unless an actual conflict exists or is reasonably foreseeable; because the spouses are not opposing each other, Rule 1.8(i) does not ap…
I took over a case from a lawyer who has since become a judge, and I'll receive one combined check for all attorneys' fees. Can I pay the judge for the legal work done before going on the bench?
The panel concluded that it is not a violation of the Rules of Professional Conduct for a successor attorney to pay a judge for legal services performed on the case before the judge's appointment, pro…
A colleague at my firm drafted and witnessed a will and will likely testify in a contested probate over the testator's capacity. Can I still represent the executor or estate in that proceeding?
The panel concluded that under Rule 3.7(b) the lawyer may represent the executor or estate in a probate proceeding in which another lawyer in the firm is likely to testify, because the advocate-witnes…
I left my old firm, where a colleague represents the wife in a pending divorce. The husband now wants to hire me, and I never worked on the wife's file. Am I disqualified?
The panel concluded that under Rule 1.10(b) the lawyer is not disqualified from representing the husband if the lawyer acquired no knowledge of information protected by Rules 1.6 and 1.9(b) about the …
A year ago I represented Marina A in a dock dispute on its south side. Now a long-time client wants permits for a new marina on Marina A's north side, and Marina A objects. Is that a conflict?
The panel concluded that the two matters were not substantially related, because the prior representation concerned only a south-side dock dispute while the new matter concerned a north-side pier and …
I used to represent a police union and some of its members in grievances. Now the ousted police chief wants me to handle his removal appeal, and union members will testify against him. Is that a conflict?
The panel concluded there was no conflict precluding the representation, because none of the fifteen misconduct allegations against the chief was the same or substantially related to the lawyer's prio…
Opposing counsel says I can't represent the wife in this divorce because I once gave her a refrigerator and drafted a family partnership that included both spouses. Do either of those create a conflict?
The panel concluded there was no conflict: drafting the family partnership was intermediary work for common clients under Rule 2.2, the partnership interests were not marital assets and not substantia…
As a former city solicitor, can I sue that city for a former employee on a matter I never handled? And can I represent a different city while my of-counsel affiliate is that city's solicitor and I have clients suing that city?
The panel concluded that the former solicitor could represent the employee against City A, because the lawyer did not participate in the matter as solicitor under Rule 1.11(a) and it was not substanti…
I want to run a separate import-export and resort business out of my law office, staffed by my firm's office manager and paralegal, and some people may be clients of both. Is that allowed?
The panel concluded that the arrangement is permissible provided the lawyer and the firm's employees adhere to the Rules of Professional Conduct, particularly those on client confidentiality, conflict…
For years, a colleague at my firm defended B for B's insurer while I pursued A's indemnity claim against B. B's case has settled and I've now sued B for A. B says I have a conflict. Can I continue?
The panel concluded that the lawyer was precluded under Rule 1.7(b) from continuing to represent A and advised withdrawal, because the firm had concurrently represented A and B, adverse parties, witho…
I'm suing Jones Company for my client. A colleague at my firm, unaware of my case, represented a bank lending to Jones and got Jones's financials. Do I have to withdraw?
The panel concluded there was no conflict of interest requiring withdrawal, because the firm colleague represented the lender rather than Jones Company and the representation of the client was not mat…
My personal injury plaintiff died and the estate's beneficiary wants me to settle. Do I have to tell the defendants and the court about the death before accepting a settlement offer?
The panel concluded that the Rules require the lawyer to inform both the defendants and the court of the plaintiff's death, because failing to disclose the death to the adversary is equivalent to a fa…
After my client discharged me, its asset manager asked me to retrieve and hand over my files for new counsel. May I bill for the time to prepare the files for transfer, and may I file an attorney's lien for my work on the accounts I never collected?
The Panel concluded the discharged attorney may not charge for time or costs in preparing the client's files for transfer, but is entitled to file an attorney's lien for the reasonable value of servic…
My client died while I was handling her divorce, and lawyers for her estranged spouse and her child now want documents from her file for a will contest. Does my duty of confidentiality survive her death, and may I disclose?
The Panel concluded the lawyer's duty of confidentiality under Rule 1.6 continues after the client's death, so the lawyer may not disclose information relating to the representation; if a court orders…
I held money a client advanced for an arbitrator's fee in my trust account, then the client fired me before the arbitration ended and the arbitrator hasn't billed. Do I pay the arbitrator or return the money to the client?
The Panel concluded the lawyer must return to the client the funds exceeding the arbitrator's actual fee, may pay the arbitrator only with the client's authority, and if the client withholds authority…
My partner previously advised municipal investigators while he worked at the attorney general's office. Our firm now has a municipal review that covers that investigation. Can I keep the matter if my partner is screened?
The Panel concluded the inquiring attorney may continue to represent the municipality if he complies with Rule 1.11(a)'s screening and notice requirements as to his partner; the partner, having person…
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?
The Panel concluded the president's letter is a direct written solicitation on the inquiring attorney's behalf, whether or not it describes the attorney's services, fees, or experience, and therefore …
I believe two former government attorneys, now partners in private practice, have violated the revolving-door rule (1.11(a)). Am I required under Rule 8.3 to report them?
The Panel concluded the inquiring attorney is not required to report the two attorneys' alleged Rule 1.11(a) violation unless he subjectively determines it raises a substantial question as to their ho…
I am a lawyer and also the real estate broker for a client. May I serve as the attorney for a buyer or seller in a real estate transaction in which I am also that person's broker?
The Panel concluded the Rules of Professional Conduct do not permit a lawyer to serve as the attorney for a buyer or seller in a real estate transaction in which the lawyer is also that individual's r…
I want an employer to hand its employees a notice and fee schedule offering my legal services, plus an employment-verification form. Must the notice and the form comply with Rule 7.3's advertising requirements?
The Panel concluded the employer's notice and attached fee schedule must comply with Rule 7.3 (marked 'advertisement' and filed with Disciplinary Counsel), but the employee verification form need not;…
As a state agency staff attorney suing a third party on an assigned benefits claim, I got court-ordered medical test results, and the individual now wants to drop the case and forbids me to reveal them. Must I disclose the results to the court or third party?
The Panel concluded the attorney must preserve the individual's confidences under Rule 1.6 and may not reveal the test results to the third party or the court, and may no longer pursue the action beca…
I do estate planning and just got licensed to sell life, accident, and health insurance. May I sell insurance to my law clients, and may I provide estate planning to my insurance customers?
The Panel concluded the attorney may not sell insurance to estate planning law clients and may not provide estate planning legal services to insurance customers, because a nonwaivable conflict under R…
A business networking 'Leads Group' meets biweekly for breakfast so members can pass business opportunities to each other. May I, as a lawyer, join it without violating Rule 7.2(c) on paying for referrals?
The Panel concluded the attorney may join the group subject to limits: referring clients cannot be the sole purpose, the attorney cannot trade referrals with members, cannot solicit members, and canno…
I have retired and am on inactive status but still belong to the state bar association. May my letterhead say 'Attorney at Law (Retired),' 'Member of the Rhode Island Bar Association,' and list my academic degrees, and can I use 'J.D.' instead of the 'LL.B.' I earned?
The Panel concluded a retired lawyer may use 'Attorney at Law (Retired)' and list academic degrees on letterhead, but may not use 'Member of the Rhode Island Bar Association' because it misleadingly i…
I am going through my own divorce, and I just learned that opposing counsel in my client's divorce is the same lawyer representing my spouse against me. Does my personal interest materially limit my representation under Rule 1.7(b)?
The Panel concluded that under Rule 1.7(b), if the attorney reasonably believes the representation will not be adversely affected by his or her own interest and obtains the client's consent after full…
I represent the wife in an uncontested divorce, and the pro se husband keeps asking me for help. What can I do for him, if anything, without a conflict under Rule 1.7?
The Panel concluded the attorney may give the husband the standard DR-6A financial statement form and may draft a property settlement agreement on the client's behalf so long as no legal advice is ren…
I want to offer free senior-law seminars at senior centers and assisted living communities, and to promote them by phoning the facility directors. Is calling those directors a direct solicitation barred by Rule 7.3?
The Panel concluded the telephone contact does not violate Rule 7.3, because the directors are not the prospective clients (the individual senior attendees are), and the rule permits contacting an org…
I once prepared wills for the Mayor and his family, and the Mayor appoints the planning board. Can I now represent a client before the town's planning and zoning boards on permits and variances under Rule 1.9?
The Panel concluded the attorney may represent the current client before the town's planning and zoning boards because the permit and variance matters are not the same or substantially related to the …
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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.