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 represented a client only in his SSDI claim. I later learned he falsely attested, in a separate workers' comp settlement I had nothing to do with, that he had not applied for SSDI. Must I report that to a tribunal?
No. The panel held that the duty of candor under Rule 3.3 attaches only where the lawyer is representing the client in the proceeding in question, and because the inquiring attorney never represented …
My former client is appealing his criminal convictions by claiming I represented him ineffectively, and I expect to be subpoenaed. May I testify using confidential information from the representation to defend myself?
The panel concluded the attorney may testify using information relating to the former representation. Although Rules 1.6 and 1.9(c) ordinarily bar revealing such information even after the representat…
I'm a town solicitor and a Town Councilor whose interests have turned adverse to the Council is undermining our case and may draw sanctions against the Council. How do I proceed under the ethics rules?
The panel concluded that under Rule 1.13 the solicitor should tell the Councilor his or her interests are now adverse to the Town Council, that the solicitor no longer represents the Councilor, and th…
I've learned that a key document my client wants to use in litigation is fraudulent, and my client denies it and wants to proceed. Must I disclose the fraud to the court before I withdraw?
The panel concluded no disclosure is required before withdrawing. Because the client had not yet offered the fraudulent document (the summary-judgment response was only prospective) and had alternativ…
My former client, now deceased, confessed to me that he set a fire, and now someone else has been criminally charged for it. Am I permitted to disclose the confession?
The panel concluded the attorney must disclose. The confession is confidential under Rules 1.6(a) and 1.9(c), but the duty of candor under Rule 3.3, which qualifies confidentiality and applies even wh…
A former criminal-defense client disputed a court-transcript vendor's credit-card charge, and the vendor wants me to sign an affidavit confirming I received the transcripts and the work was acceptable. Does giving that affidavit breach my duty of confidentiality to a former client?
The panel concluded the attorney may provide the affidavit. It would use information relating to the former representation to the client's disadvantage under Rule 1.9(c)(1), but the specific facts (th…
A prosecutor wants me to testify about a former client. Does confidentiality still apply, and must I testify if a court orders it?
The panel concluded confidentiality under Rule 1.6 applies to a former representation and continues under Rule 1.9(c). The client may waive it by informed consent. Absent waiver, the lawyer should ass…
After I withdrew from representing a joint venture, its remaining owner demands I disclose whether I helped my other client negotiate a sale. Must I?
No. The panel concluded that, absent the consent of the lawyer's client (Company A), Rule 1.6 prohibits the lawyer from disclosing information relating to Company A's potential sale, including whether…
Two solo lawyers who share office space want to share a secretary and a computer. Does that make them one firm for conflict-of-interest purposes?
The panel concluded the arrangement is permissible, but because the shared secretary will have access to both lawyers' protected client information, the two practices are treated as one firm for confl…
My client, a widow, refuses to bring the wrongful-death suit and tells me not to inform her children about the claim. What are my ethical obligations?
The panel concluded the client has ultimate authority over whether to pursue the wrongful-death claim, so the lawyers must abide by her decision not to proceed. Because the widow is the client, Rule 1…
I once drafted powers of attorney for a woman's parents that named her as successor agent, but I never represented her. Can I now represent her husband in their divorce?
The panel concluded there is no conflict. Because the attorney never performed legal work for the wife, she is not a former client owing the attorney no duties; the former clients were her parents, to…
A prospective client told me useful information about my existing client's judgment debtor before I declined the new matter for conflict reasons. May I pass that information to my existing client so it can resume collection?
The panel concluded no. Under Rule 1.18(b), a lawyer who has consulted with a prospective client may not use or reveal information learned in the consultation except as Rule 1.9 would permit for a for…
I jointly represented a husband and wife in immigration matters, and now that they have separated the wife wants me to withhold from the husband a visa petition she filed for him. Must I honor that request?
The panel concluded no. Because the representation was a joint representation, each client is entitled to the file, and the client's file is property the client must receive under Rule 1.15(d). Confid…
I represented my client's attorney-in-fact under a power of attorney for an elderly principal. The power of attorney ended and a guardian was appointed for the principal. Can I give the guardian copies of my file from representing the attorney-in-fact?
Yes. The panel held Rule 1.6 permits the inquiring attorney to comply with the guardian's request for copies of documents relating to the representation of the former attorney-in-fact, because that re…
My client, an estate administrator, told me she used estate funds to pay her own medical bills and plans to pay it back but can't prove she can. I'm preparing the final accounting. Do I have to tell the probate court?
No, and you cannot. The panel held the administrator's disclosure that estate funds were diverted is a confidential communication protected by Rule 1.6, and the attorney is not permitted to reveal it …
A police department's internal investigator wants me to answer questions about my former client, a police officer, and is threatening to draw adverse inferences and call me as a witness if I refuse. Do I have to talk to the investigator?
No. The panel held Rule 1.6 prohibits the inquiring attorney from disclosing information relating to the representation of the police officer to the department's investigator absent the client's conse…
My deceased client's daughter is challenging a trust amendment I drafted that left the house to someone else instead of her, and now her lawyer and the successor trustee (her) are contacting me. What are my obligations if I'm deposed or called at trial?
The panel held the attorney must assert both the Rule 1.6 duty of confidentiality and the attorney-client privilege if contacted by successor counsel or the trustee, or if called as a witness, and can…
A predecessor in-house lawyer represented both our company and a manager who was accused of harassment. That manager is now a former employee, and my notes from a meeting with him contain his account of events. Can I hand those notes to the outside lawyer defending the company in the related lawsuit?
No, not without the former client's consent. The panel held that because the manager was the inquiring attorney's former client (a predecessor in-house lawyer had entered an appearance for both the co…
A title insurance company I'm an approved attorney for wants unconditional access to my IOLTA account and client files for its audits. Can I give it that access without asking my clients?
No, not for everything. The panel held that a title insurer's unlimited audit access to a lawyer's client files and IOLTA account records, without the affected clients' express or implied consent, vio…
I'm licensed in both Rhode Island and New York. As a former general counsel to a New York nonprofit, I made representations to a New York regulator that I now believe are no longer true. Which state's ethics rules govern whether I can disclose this to the regulator?
New York's, according to this opinion. Under the choice-of-law provision of Rhode Island Rule 8.5(b), the ethics rules of the jurisdiction where the lawyer's conduct occurs, or where the predominant e…
My client received a Social Security lump-sum payment that I believe was miscalculated and overpaid by about $12,000. The client won't report it, and I still need to file a fee petition with the ALJ to get my percentage of the retroactive benefits. What do I have to do?
If you cannot convince the client to notify SSA of the error, Rule 3.3 requires you to advise the ALJ that you believe the retroactive benefit was miscalculated and to request confirmation or recalcul…
I'm currently representing a client in matters pending before a state agency, and I've applied for a legal counsel position at that same agency. Is applying or interviewing a conflict, and if I'm hired, can I work on the matters I used to handle for my client?
Applying and interviewing are not a conflict. If hired, Rule 1.11(d)(1) bars the lawyer from personally participating in matters the lawyer handled personally and substantially in private practice, th…
My workers' comp client was convicted of a crime and served time, including home confinement, while collecting weekly benefits he wasn't entitled to during that period. He won't let me tell the employer or insurer. Do I have to disclose it myself, and can I keep representing him?
You can't disclose without consent, but you can't keep helping him either. The panel held Rule 1.6 bars disclosing the client's imprisonment to the employer or insurer absent consent, but if the clien…
Years ago, before I became town solicitor, two residents consulted me about the town's plan to close a landfill and monitor groundwater there. I never took on their representation. Now, as solicitor, I'm handling a dispute over siting a new municipal facility on an adjacent lot, and those same two residents are opposing it as part of a citizens group. Do I have a conflict?
No. The panel held the current facility-siting controversy is not the same or substantially related to the earlier landfill-closure and groundwater consultation, so Rule 1.9 does not bar representing …
I represent a condominium association through its board of directors, and I want to withdraw because the board keeps rejecting my advice. Can I tell the individual unit owners why I'm withdrawing, since it might benefit the association?
No. The panel held disclosing the reasons for withdrawal to individual unit owners would violate Rule 1.6, because the attorney's client is the association acting through its board, not the individual…
I'm town counsel and the council changed its billing procedure. Can an individual council member who disagrees with that decision demand my unredacted, itemized billing statements from before the change?
No, not without the council's consent. The panel held the municipality, acting through its council, is the lawyer's client, so the lawyer must follow the council's direction on redaction and has no ob…
I share office space with two attorneys who are solicitors for a municipality. Can I appear before that municipality's zoning board even though their conflict would normally be imputed to a law firm?
Yes, on these facts. The panel held that because the three attorneys maintained separate, independent practices with no indicia of a joint firm, their office-sharing arrangement was not a 'firm' under…
If a client dies before signing a will I drafted, can I testify at a deposition about who the client intended to name as beneficiaries?
No. The panel held the duty of confidentiality under Rule 1.6 survives the client's death, so the lawyer must invoke the attorney-client privilege and the confidentiality obligation rather than disclo…
My insurance-defense client's insurer wants me to send detailed legal bills to an outside auditing company. Do I need the insured's consent before I do?
The panel concluded that a lawyer's billing statement is information relating to the representation and is protected by Rule 1.6, so submitting billing statements containing confidential or privileged…
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 …
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 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…
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 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…
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…
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…
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…
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…
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…
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…
I represent several co-defendants, and one privately told me she violated a court order by taking the disputed funds (then replaced them on my advice). Must I disclose that under Rule 1.6, and does it create a conflict under Rule 1.7?
The Panel concluded the attorney may not disclose the co-defendant's admission because it is protected by Rule 1.6, and that if the attorney comes to believe a conflict has arisen among the co-defenda…
My client's opposing guardian violated a Family Court order not to leave Rhode Island with the child. As an officer of the court, must I report the violation, or does Rule 1.6 protect what I learned?
The Panel concluded the attorney need not report the violation, because information learned during the representation is protected by Rule 1.6 unless an exception applies, such as Rule 3.3(a)(2) when …
A government agency I'm dealing with on a personal matter wants my accounts-receivable list, including client names, to assess my finances and target property for a lien. Can I hand it over?
The panel concluded that a client's identity is confidential information protected by Rule 1.6, so the lawyer may not provide the government agency with an accounts-receivable list containing client n…
I'm counsel to a school committee and gave legal advice to its superintendent, whom the committee has now suspended. Can I answer the committee's special investigator's questions about him?
The panel concluded that under Rule 1.13 the lawyer's client is the school committee, not the superintendent, so the confidentiality duty owed to an attorney-client relationship under Rule 1.6 does no…
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 used to work at a state agency that was investigating someone my firm now represents. Can I work on that client's criminal and civil matters, or must I be screened?
The panel concluded that the former government lawyer may not personally represent the client in either the criminal or the related civil matter under Rule 1.11(a), because the lawyer participated in …
Someone came to me for an unrelated matter and hasn't paid yet, and I saw in the paper he's behind on child support. Can I report what I know to the state agency?
The panel concluded that an attorney-client relationship existed despite the unpaid fee, so the client's name, address, and phone number learned at the initial conference were confidential under Rule …
I represented a birthmother in an adoption where everyone agreed the adoptive parents would stay anonymous. She now wants her whole file, which names them. Can I redact or withhold those identities?
The panel concluded that although Rule 1.17(d) obligates the attorney to surrender the client's papers on termination, because all parties, including the birthmother, agreed the prospective and actual…
A judgment was entered against my client, who then moved. Opposing counsel says they'll collect but hasn't asked me for the new address. Do I have to volunteer it?
The panel concluded that because opposing counsel had not asked for the address, the attorney did not have to volunteer it, since the information is protected under Rule 1.6; but the attorney should k…
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…
Another lawyer at my firm admitted directly to me that he took client money. Do I have to report him under Rule 8.3, or is his admission confidential?
The panel concluded that the attorney was obligated to report Attorney X to Disciplinary Counsel, because taking client funds raises a substantial question as to honesty, trustworthiness, or fitness, …
My client gave me documents from a spouse's computer that allegedly show wrongdoing. The couple reconciled and wants them destroyed, but a government agency wants them. What are my obligations?
The panel concluded that Rule 1.6 bars disclosing information relating to the representation without the client's consent, and permits disclosure only within the rule's exceptions, so the lawyer may r…
I represent an estate, and I suspect the executor (himself a lawyer) has diverted estate funds. Do Rules 1.6 and 8.3 require or allow me to report him, and must I investigate to confirm my suspicion?
The Panel concluded that on these facts the inquiring attorney may not disclose the executor's suspected wrongdoing, because none of Rule 1.6(b)'s exceptions applied and Rule 8.3(c) does not require r…
I took over a case and found the referring lawyer made uncorrectable strategic errors. Do I have to tell my client, and can I tell the other lawyer about the mistakes under Rules 1.4 and 2.1?
The Panel concluded that under Rules 1.4 and 2.1 the successor attorney should inform the client of the circumstances impacting the lawsuit, and that before informing the referring attorney of the err…
A prospective client's information makes me suspect their other lawyer broke several rules, but the client won't consent to disclosure. Must I report the other lawyer under Rule 8.3?
The Panel concluded that because the information is confidential and protected by Rule 1.6 and the client refused to consent to disclosure, Rule 8.3(c) means the attorney is not obligated to report th…
My new client's former lawyer let the case be dismissed by ignoring discovery. Must I report that lawyer to the disciplinary office, even though my client could lose the ability to collect on a malpractice claim?
The Panel concluded that if the attorney has knowledge of a rule violation raising a substantial question about the other lawyer's honesty, trustworthiness, or fitness, Rule 8.3 requires reporting, su…
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 …
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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.