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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As a volunteer city solicitor handling a zoning fight against a manufacturer, can I take private work drafting an agreement for that manufacturer's trade association?
The panel advised that a conflict of interest exists under Rule 1.11(d)(2), which prohibits a lawyer serving as a public officer from negotiating for private employment with any person who is involved…
My client's former lawyer quit and now claims a lien on the file. Does the former lawyer still get paid when the lawyer, not the client, ended the case?
The panel advised that Rule 1.5(e) governs and that the fees should be divided according to quantum meruit, the fair value of services rendered before the former attorney's termination of the represen…
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…
Can I pay a lawyer who was suspended for the work they did on the case before the suspension?
The panel advised that a suspended attorney may be paid a fee based on quantum meruit for the fair value of services rendered before suspension, and that under Rule 1.5(e)(1) a fee division between at…
I want to offer zoning-consulting services to a town and others after seeing a newspaper notice. Do the solicitation and advertising rules apply to me?
The panel advised that the attorney must comply with the Rules of Professional Conduct, including Rule 7.3 on direct contact with prospective clients (with the written-communication requirements of Ru…
Can I advertise and run law-related educational seminars, promoted by newspaper ads and direct mail, if the materials don't push my legal services?
The panel advised that a firm may provide legal seminars to clients and non-clients so long as neither the brochures nor the presentation recommends that the firm be employed; such seminars and brochu…
The lawyer who worked on my client's case before me was later suspended. Can the suspended lawyer or the firm be paid, and can I contact them about the fee?
The panel advised that the suspended attorney may be paid on a quantum meruit basis for the fair value of services rendered before suspension, that successor counsel may pay the fee to either the susp…
Can I mail a letter to business contacts who are not my clients telling them about pending legislation and urging them to contact legislators?
The panel advised that the proposed letter does not violate the rules on advertising (Rules 7.1-7.5) because its purpose is to inform the public of specific legislation rather than to solicit employme…
The court denied my motion to withdraw because no new lawyer appeared, and my client told me to stop all work. What are my obligations for the files?
The panel advised that under Rule 1.16(c), when a tribunal orders a lawyer to continue the representation the lawyer must do so notwithstanding good cause to terminate; so even though the client direc…
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 hold settlement funds and a collection agency claims part of them for a client's hospital bill I am not sure was paid. Can I pay the client, or must I hold the money?
The panel advised that under Rule 1.15(c) the lawyer may refuse to surrender the disputed property to the client without breaching an ethical obligation, and that disbursing to the client would not vi…
Can my firm ask new personal injury and workers' comp clients to advance money for future costs, keep it in a client account, and draw on it as needed?
The panel advised that the proposed procedure is guided by Rule 1.15 (Safekeeping of Property), and that as long as the firm follows Rule 1.15 precisely, including the deposit procedures in Rule 1.15(…
My divorce client stopped paying my hourly fees. When can I sue the client for what I am owed?
The panel advised that the attorney must first conclude the representation, either by finishing the litigation (for example by filing the final judgment as a step protecting the client under Rule 1.16…
Can a Rhode Island lawyer charge both a contingency fee and a fixed fee for services in the same litigation?
The panel advised that a fixed fee and a contingency fee for the same matter is not inconsistent with the Rules of Professional Conduct if the arrangement conforms to Rule 1.5 and its comments; the pa…
I am a town solicitor. A town council member and spouse have sued the town in their individual capacities for tax relief. Can I represent the town against them?
The panel advised that no conflict of interest exists, because the town solicitor represents the town and its agencies, not the individual council members, and Rule 1.13(d) requires the lawyer to make…
My elderly client, for whom I serve as trustee, now accuses me of misconduct and I doubt her capacity. Can I resign as trustee or return the trust assets to her?
The panel advised that the priority is protecting the client's interest: under Rule 1.14(b) the attorney may seek appointment of a guardian when the client cannot adequately act in her own interest, a…
I own stock in a constable-services company and use it for my clients, passing on the cost. Does that violate the conduct rules?
The panel advised that Rule 1.7 governs and the attorney must make full disclosure to clients of the attorney's interest in the constable corporation; if the attorney wishes to refer clients to it, th…
I co-own a corporation with a non-client. A new client wants me to act against that co-owner's separate business. May I?
The panel advised that Rule 1.7(b) governs and it could not conclude that the client's informed consent would be sufficient to avoid the conflict, finding the situation fertile with potential conflict…
I'm a volunteer city solicitor. Can I represent a city resident against the State under the Criminal Injuries Compensation Act when the underlying case was a city police prosecution?
The panel advised that under Rule 1.7, on the facts presented, there is no conflict of interest because the city is not a party to the criminal injuries compensation matter; the parties are the State …
I share office space with a lawyer who is also a city council member. Does that bar me from practicing before that city's municipal entities?
The panel advised that the described office-sharing arrangement is not a law firm under Rule 7.5 or the Rule 1.10 comment, because the stationery, malpractice insurance, and bank accounts are separate…
Can I represent a town's school department and at the same time represent other clients in cases against that town's zoning board?
The panel advised that under Rule 1.7 and its comment on enterprises with diverse operations, the school department and the zoning board of review are sufficiently diverse operations that the attorney…
A former client, now an adverse witness, objects to my representing a new client at an administrative hearing, claiming the matters are related. What controls?
The panel could not resolve the parties' conflicting facts but directed the attorney to Rule 1.9: if the matters are not substantially related, Rule 1.9(b) limits use of the former client's informatio…
As an attorney serving on a legislative investigative commission that holds public hearings, does Rule 3.6's trial-publicity limit constrain my conduct?
The panel advised that Rule 3.6 applies to the attorney's conduct as a commission member but does not bar participation in the commission's mandated activities; asking questions at a hearing is not a …
I helped on a client's case while working for another lawyer; now that client wants me to sue that lawyer for malpractice. May I take it?
The panel advised that the representation is not per se prohibited because the attorney would represent the same client, so no former-client conflict under Rules 1.9 or 1.10 arises; but the attorney m…
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 did title and tax work for someone two years ago; now my bank client wants me to pursue a defaulted loan against him. May I?
The panel advised that Rule 1.9 governs and the attorney cannot continue to represent the lender in the collection matter against the former client unless the former client's informed consent is obtai…
My client insists I withhold settlement money owed to the treating doctor. Can I compel payment, and what are my options?
The panel advised that the attorney may not compel payment of the doctor's outstanding bill from the settlement funds, may move to withdraw under Rule 1.16(b)(3) if the client insists on a course the …
Can my law firm list paralegals, legal assistants, and office managers by name on the firm's stationery and office directory?
The panel advised that it is improper to list non-lawyers' names on law firm stationery and the office directory because doing so is itself misleading and can create a false impression of a partnershi…
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, …
May I send a letter to other Rhode Island lawyers touting my firm's litigation experience, and do the solicitation rules apply?
The panel advised that a letter directed exclusively to Rhode Island attorneys is permissible if it contains no false or misleading statements and includes the Rule 7.4 specialization disclaimer; the …
I unknowingly represented my client's litigation opponent in an unrelated workers' comp claim. May I keep representing my original client against him?
The panel advised that if the two matters are not the same or substantially related, Rule 1.9(a) does not preclude continuing the original representation, but because the attorney may hold information…
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…
My firm did estate planning for a judge. Can I still appear before that judge?
The panel concluded that the attorney may appear before the judge so long as the appearance does not impact the tribunal's impartiality and does not create an appearance of professional impropriety; i…
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 hold a condo deposit as escrow agent; my client and the purchaser both claim it. What do I do with the disputed funds?
The panel advised that under Rule 1.15 the attorney may have a duty to protect the purchaser's interest against the client's claim and may refuse to surrender the funds to the client, should keep the …
My ad lists my name, address, areas of law, and bar memberships. Does it comply with Rhode Island's advertising rules?
The panel declined to pre-approve the ad but advised that under Rules 7.2 and 7.4 the advertisement must contain no false or misleading statements, and if it indicates the lawyer concentrates in parti…
Can I hand my client the insurance settlement check when I'm worried the client's later testimony might turn out to be fraudulent?
The panel concluded that the attorney may deliver the check to the client under Rule 1.2(d), because the attorney had no knowledge of and did not assist in any possible fraud and had taken reasonable …
I once represented a husband and wife; now the wife is my current client's adversary in a matter about the same property. May I continue?
The panel advised that because the present matter is substantially related to the prior joint representation (both concern the parties' interest in the same real estate), Rule 1.9(a) bars continuing a…
My client has a mental disability. How do I handle the representation, and when should I seek a guardian?
The panel advised that under Rule 1.14 the attorney should, as far as reasonably possible, maintain a normal client-lawyer relationship with the client; if the client has no guardian or legal represen…
Can I serve as a party-appointed arbitrator when the lawyer who chose me is someone I've had a prior business relationship with?
The panel concluded that an attorney can serve as an arbitrator even if party-appointed, but cannot communicate with the attorney who appointed the arbitrator, prior to the hearing date, about any sub…
I'm suspended from practice. Can I still serve as an arbitrator under the Superior Court Arbitration Rules?
The panel concluded that a suspended attorney does not qualify to be selected as an arbitrator, based on Superior Court Arbitration Rule 2(b), which requires that an arbitrator have been a member of t…
Can my firm set off unpaid legal fees and expenses against funds I'm holding for the client?
The panel concluded that under Rule 1.15(c) the law firm does not have a right of setoff; the disputed portion of the funds must be kept separate in the client fund account until the dispute is resolv…
How long do I have to keep a closed client file before I can destroy it?
The panel declined to render an advisory opinion because the question is not within the panel's jurisdiction, but it directed the attorney's attention to R.I. Gen. Laws Section 8-14-2 (amended 1991), …
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 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…
Can I put a paralegal's name on my firm's letterhead, and how should it be labeled?
The panel advised that the firm should follow Provisional Order No. 18, Use of Legal Assistants Guideline 7: use the words 'legal assistant' rather than 'paralegal,' clearly indicate the legal assista…
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 have a fee-division agreement with a lawyer who was later suspended. How is that lawyer's share determined?
The panel concluded that the fees owed to the suspended attorney are determined by quantum meruit, based on the work performed before the suspension, following its earlier digest in Opinion 91-71.
Can I charge a contingent fee to collect past-due alimony and child support, and can I co-sign a loan so my client can pay my fee?
The panel concluded that a contingent fee is proper for collecting past-due alimony and past-due child support but improper when seeking to obtain increased alimony or child support (Rule 1.5(d)(1)), …
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 investigated a lawsuit as a public agency's investigator, not its lawyer. Now as an attorney elsewhere, can I represent the plaintiffs against that agency?
The panel advised that Rule 1.11(a) plainly bars the attorney from representing a private client in a matter in which the attorney participated as a public officer or employee (even as an investigator…
My client has gone silent and the statute of limitations is about to run. What should I do?
The panel advised that the attorney should continue efforts to locate the client, perhaps by a personal visit to the last known address, and file suit as a last resort to protect the client before the…
In a collection case, can I deduct the collection agency's disputed fee from the creditor's proceeds, and how should I handle the money?
The panel concluded that the attorney cannot deduct the collection agency's fee from the amount the creditor is entitled to receive, and that the total amount collected and due the creditor should be …
A director of a state agency is suing the agency in his individual capacity. Does the agency's counsel have to withdraw?
The panel concluded that counsel's withdrawal would not cure the conflict created by the director being on both sides; instead, another government officer not subject to the director's authority shoul…
Judgment was entered and my client filed a pro se appeal. Do I still represent the client?
The panel concluded that the attorney no longer has an obligation to the client, but under the comments to Rule 1.16 the attorney should take all reasonable steps to mitigate the consequences of termi…
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…
Can I charge a contingent fee to collect child support arrearages, or to get an increase in child support?
The panel concluded that a contingent fee is proper for collecting established child-support arrearages that are due, but improper when the objective is to obtain increased child support, citing Rule …
I need to tell a client my firm won't represent them, but there's no pending case and my certified and first-class mail came back address unknown. Have I done enough?
The panel concluded that, where the firm sent notice by both certified mail (return receipt requested) and first-class mail and both were returned 'Address Unknown,' the attorney has satisfied the obl…
An employee of my client admitted lying in a deposition. What am I required to do?
The panel advised that under Rule 3.3 the attorney should first encourage the client to persuade the employee to come forward and correct the false testimony, and if the employee refuses, the attorney…
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 …
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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.