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 former client asked me to destroy all the emails and records they sent me during the representation. Do the ethics rules require me to destroy those files?
No. The panel held that Rule 1.16(d) does not require an attorney to destroy a former client's files on request; the client file is the client's property and the client-provided materials should have …
I hold my client's settlement money in IOLTA, and a third party claims part of it under a promissory note my client says is forged. What must I do with the disputed funds?
The panel concluded the attorney must notify the claimant (the mother) that he or she holds the claimed amount but lacks the client's (the daughter's) authority to disburse it, then transfer the undis…
A relative and a nonprofit paid my client's legal fees in advance. The representation ended with a surplus, and both the client and the nonprofit claim it. Who gets the refund of the excess fees?
The panel concluded the third-party payor, not the client, is entitled to the refund of excess fees at the end of the representation, unless the fee agreements specify otherwise. Because a refund retu…
I'm holding an escrow fund that unit owners contributed for a deck repair, but the client no longer wants the deck, the condo association wants the money, and the special assessment was rescinded. Who do I pay?
The panel held Rule 1.15(e) requires the attorney to protect the disputed escrow funds by keeping them in the account until the dispute over entitlement is resolved, and does not obligate the attorney…
My client signed an assignment to a medical provider, and the provider now wants over $9,000 out of the settlement, but the money isn't enough to cover everyone. What am I required to do with the funds?
The panel held Rule 1.15 requires the attorney to notify the provider that he or she holds the client's settlement funds; if the client consents, the attorney may pay the provider an agreed amount, bu…
My client can't afford to pay me, so I want to take a mortgage on the very property he's trying to win through an adverse possession claim as my contingent fee. Is that allowed?
Yes, subject to conditions. The panel held Rule 1.8(i)'s exception for reasonable contingent fees permits the inquiring attorney to take a mortgage on the property that is the subject of the client's …
My firm has an old real estate escrow account that hasn't been touched since 2008, and we're not sure how much of the $122,000 in it is ours versus clients' or third parties'. Can we just close it out and move the money?
No. The panel held the firm must keep the entire amount in an IOLTA account until it determines which funds belong to the firm and which belong to others, disbursing only the portions whose ownership …
One of my clients told me not to pay a third party out of his settlement funds, but the third party says she's owed money out of those same funds. What do I do with the money, and can I keep representing both people?
The panel held the attorney must hold the disputed amount in trust (or pay it into the court registry and let a court decide) rather than side with either party, and that continuing to represent both …
I represented two co-insureds in a case and it's over. One wants the file, the other wants me to keep it, and the insurer wants me to keep it too. Who gets the file and who pays for copies or shipping?
Both joint clients are entitled to the file. The panel held the lawyer's obligation under Rule 1.16(d) is satisfied by giving one client the original and the other a copy, that the lawyer may not char…
I have a medical-payment check for my former client, but she won't endorse it, her new lawyer wants me to forward it, and the chiropractor who has a lien wants me to hold it. What do I do with the check?
Hold it or interplead. The panel held that under Rule 1.15(d) and (e), where a client and a third-party lienholder both claim an interest in the same funds and the client has not consented to payment …
My client's health insurer paid her medical bills after her personal injury settlement, but it never asserted a lien or told the other side's insurer about a claim, and my client wants the settlement money now. Do I have to hold back funds for the health insurer?
No, on these facts. The panel held that where the client insists the settlement proceeds be disbursed and the lawyer has received no notice of a claim from the health insurer, Rule 1.15(b) requires th…
I withdrew from a case and I'm holding a former client's arbitration award in an interest-bearing account in the client's name. The client keeps refusing the check based on a mistaken belief about a collateral matter. What am I supposed to do with the money?
Keep holding it in trust. The panel held the attorney is doing everything Rule 1.15 requires by holding the undisputed funds in a separate interest-bearing account for the client's benefit, and if the…
When a lawyer jointly represented a married couple who are now divorcing, who is entitled to the joint client file?
Both former joint clients are entitled to the joint file. The panel held the lawyer should give each spouse a copy (withholding the lawyer's own work product) and hold the original in escrow until the…
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…
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…
My client's fiancé paid and co-signed for her legal fee, but I told him he was not the client. The engagement ended and he wants the unused fee back, while my client says it was a gift. Do I owe the fiancé a refund?
The Panel concluded the attorney has no obligation to refund the unused fee to the fiancé, because the attorney's duty runs only to the client, not to the third-party payer; the unearned portion must …
My client's health insurer says it has a lien on the settlement for the medical bills it paid, but my client tells me not to pay it. Do I follow the client or the insurer?
The panel concluded that if the health insurer has a legally enforceable interest in the funds (such as an assignment or statutory lien) the lawyer must notify it and pay it under Rule 1.15; if the in…
A secondary health insurer paid my client's medical bills in a tort case but never filed a lien. Do I have to pay the insurer out of the settlement?
The panel concluded that, absent a lien and absent any assurance by the attorney that the bills would be paid, Rule 1.15(b) does not obligate the attorney to pay the secondary health insurer from the …
I won a judgment for a client, and now the defendant wants to pay, but I can't find my client. What are my obligations for collecting and disbursing the funds?
The panel concluded that a lawyer who cannot locate a client must exercise diligent efforts to find the missing client and to protect the client's interests within the scope of the retention agreement…
My client agreed in a divorce decree to pay his ex-wife half of his personal-injury settlement, but says he'll tell me not to pay her. What do I do with the funds?
The panel concluded that, under Rule 1.15, the attorney must promptly notify both the client and the ex-wife when the settlement funds arrive and must hold any disputed portion separate until the disp…
I took over a PI case, settled it, and the client says don't pay the doctor, but the doctor produces a medical lien the prior lawyer signed that wasn't in my file. What do I do with the money?
The panel concluded that placing the disputed funds in escrow complied with Rule 1.15, and that because prior counsel and the client had signed a lien creating the physician's reliance, the disputed p…
My client's personal injury case settled, but the client and a treating physician dispute whether the medical bill is owed, and the client tells me not to pay. What do I do with the money?
The panel concluded that because the client and the physician dispute the funds, the lawyer must keep the disputed portion separate under Rule 1.15 pending resolution, arbitration, or interpleader, an…
I hold a client's fund earmarked only for expenses, and now the former client owes me unpaid hourly fees. Can I keep the expense funds to cover my fees under Rule 1.15?
The Panel concluded the attorney has no basis to claim the client's funds held solely to pay expenses; if the representation is complete, the attorney should return any balance with an accounting, and…
A state department has a disputed lien on my client's personal injury settlement and my client demands the whole recovery. What do I do with the money under Rule 1.15?
The Panel concluded that because the client and the state agency dispute the lien, Rule 1.15(c) requires the attorney to keep the disputed portion of the settlement separate pending resolution, arbitr…
I settled a client's personal injury case and the client has unpaid medical bills, but no lien was filed. I told the hospital it would be paid from the recovery. Do I have to notify and protect the hospital under Rule 1.15?
The Panel concluded that by assuring the hospital of payment the attorney undertook a duty to it, so Rule 1.15(b) required the attorney to promptly notify the hospital on receiving the funds, and any …
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 …
My former partner left our now-dissolved firm and the practice of law, leaving a client whose mail bounced. What duty do I owe that client?
The Panel concludes that the inquiring attorney's duty to assure a former partner's compliance ended when the partner left the firm, and that absent an undertaking to represent the client, the attorne…
I prepared a patent assignment for two co-clients who now dispute it. Must I withdraw, can I share the terms with one's new lawyer, and what is in the file?
The Panel concludes the lawyer, having acted as intermediary, must withdraw under Rule 2.2 now that the co-clients dispute the intermediation's subject, may communicate the assignment terms to a co-cl…
I hold settlement funds that both my former client's bank (now in receivership) and I claim. Must I notify the bank, and can I keep the funds for my fees?
The Panel declines to resolve the competing claims but concludes the attorney must notify the financial institution under Rule 1.15(b) that he holds the funds and must deposit all settlement monies in…
Can I keep some of my own money in my client trust account to maintain a minimum balance and avoid bank service charges?
The Panel concludes a lawyer may keep his or her own funds in a client trust account to maintain a minimum balance and avoid bank service charges, provided the amount does not exceed what is necessary…
Under my written collection agreement, I front litigation expenses and get reimbursed from what one suit recovers to cover the costs of prior suits. Is that proper?
The panel advised that this conforms to Rule 1.8(e)(1), which lets a lawyer advance court costs and litigation expenses with repayment contingent on the outcome, as long as the reimbursements follow t…
An out-of-state lender makes me keep its mortgage proceeds in a non-IOLTA account it controls. I move the funds to my Rhode Island IOLTA account on closing day. Does that comply with Rule 1.15?
The panel advised that Rule 1.15 governs and that, because the lender refused to designate its account as IOLTA, the proper course is to withdraw the funds from the non-conforming account and deposit …
A prior attorney has a disputed lien on my client's file. The case settled and I'm holding the funds. Do I pay the client, who says the lien is frivolous, or the prior lawyer?
The panel advised that the attorney should not unilaterally arbitrate the dispute; under Rule 1.15(b) the disputed amount of the prior attorney's lien may be kept separate and not disbursed until the …
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(…
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 …
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…
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 …
I'm holding a minor's personal-injury settlement check, but the child has since been placed in foster care. How should I distribute the funds?
The panel advised the attorney to file an interpleader action joining all appropriate parties, including the insurance company, so the court can determine how the settlement proceeds should be distrib…
I was discharged before my contingency-fee case ended and I'm holding a big escrow sum for the client, who hasn't paid me. What can I recover and what do I do with the funds?
The panel concluded that, under its General Informational Opinion #4, a contingency-fee attorney discharged with or without cause before final resolution recovers the reasonable value of the services …
I hold escrow funds for a client who owes me disputed legal fees but won't let me take my fee from the escrow. Can I take it anyway?
The panel concluded that under Rule 1.15 the attorney's duty is to keep the disputed funds in the escrow account until the fee dispute is resolved, rather than taking the claimed fee unilaterally.
My personal injury client settled but refuses to pay the treating physicians' bills I secured with a lien. Can I pay the doctors anyway, and what are my options?
The panel concluded that the attorney may not compel payment of the medical bills from the settlement funds; the attorney may move to withdraw under Rule 1.16(b)(3) if the client insists on a course t…
My personal injury client signed a medical lien agreement but now demands that the insurer's checks for medical expenses be paid straight to the client. What do I do with funds the providers are also claiming?
The panel concluded that the attorney may not pay the medical providers out of funds received on the client's behalf without the client's consent; the obligation to pay rests with the client, and if t…
I represented a couple in an adoption. They're now divorcing and fighting over the file: the wife wants it released to her divorce lawyer, the husband objects. What do I do with the file?
The panel concluded, following its earlier Opinion #119 that a file's contents are the clients' property, that the lawyer should seek an arrangement both former joint clients can agree to; failing agr…
My personal injury client agreed, verbally in one case and in a signed doctor's lien in another, that treating physicians would be paid from the settlement. Now that the money is in, the client wants me to keep it and not pay the doctors. Can I follow that instruction?
No. The panel held that where the client, medical providers, and attorney all agreed the doctors would be paid from settlement proceeds, an attorney who helps the client renege violates Rule 1.2(d)'s …
I collected a lien pay-off owed to a client I filed suit for years ago, but I can't locate him despite calling, mailing to his last known address, and requesting a postal check. What else must I do, and what happens to the money if I can't find him?
The panel held that attempting to contact the client by telephone and telephone company records, by mail, and by postal check satisfies the attorney's obligation to exercise diligence in locating him …
My client discharged me after I'd hired and paid for expert witnesses out of pocket in his malpractice case. I gave his new lawyer the expert reports with the experts' names redacted, and I want reimbursement before I release the names. Do I have to turn over the experts' identities under Rule 1.16(d)?
No. The panel held that the experts' identities resulting from the inquiring attorney's own research are his work product and, as such, do not constitute "papers and property to which the client is en…
My client won't authorize release of escrowed closing funds to a general contractor even though I've told her she isn't entitled to more work, and no lawsuit has been filed. What should I do with the money?
The attorney should immediately withdraw from representing the client, commence an interpleader action against the client and the general contractor, and deposit the escrowed funds with the court, bec…
My client told me to forward escrow funds to a specific address, but now family members say they're entitled to the money and that my client has permanently left the country. Can I release the funds to the family, or do I need to do something else first?
Not to the family directly. The panel held that client funds may be released only to the client, pursuant to the client's authorization, or under a court order, and that before seeking a court order t…
My client's collision insurer paid for car repairs but never contacted me about reimbursement or subrogation. Now I've received the settlement. Do I owe the insurer anything before I release the funds to my client?
No. The panel held that the attorney has no duty to a collision insurance carrier regarding disbursement of settlement funds where the carrier never contacted the attorney for reimbursement or asserte…
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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.