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 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 work part-time for one state agency and in private practice I want to represent a former employee of a different state agency in an unrelated matter. My agency and the client don't object, but opposing counsel does. Can I continue?
The Panel concluded that under Rule 1.7(b) the attorney may continue to represent Client B, because that representation is not directly adverse to, or materially limited by, the attorney's other respo…
I represent a family suing Town A's school committee. My fiance is a town solicitor for Town A but does not represent the school committee. Does Rule 1.8(i) bar me from continuing, and from unrelated matters?
The Panel concluded the attorney is not barred under Rule 1.8(i) from representing the clients, because that rule addresses a spouse (not a fiance) who is the lawyer for an adverse party; it cautioned…
Another lawyer and I want to lend money to B so B can pay off a mortgage a court ordered as a condition of a land transfer. B is not my client. Does Rule 1.8 stop me?
The Panel concluded the attorney may lend B money because B is not the attorney's client, and Rule 1.8(a) applies only where an attorney-client relationship exists; but it cautioned that knowingly ass…
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…
I sued for an insurer to cut off a claimant's workers' comp benefits and confirmed he runs a home business, but that same claimant is now my firm's client for that business. I'll withdraw from both, but must I report the fraud?
The Panel agreed the attorney should withdraw from both representations under Rule 1.17 because of a Rule 1.7 conflict, and concluded that under Rule 1.6, with no exception applicable, the attorney ha…
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 take part in a public state corporation's selection process. My firm represents a shareholder of one bidding company but not the company itself. Do the conduct rules bar my participation?
The Panel perceived no violation of the Rules of Professional Conduct, because the attorney was not legal counsel to the corporation and had no client-lawyer relationship with the bidding company, tho…
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 represent a wife seeking custody in a divorce, and her child says the wife's boyfriend assaulted the child. May I also represent the boyfriend in the sexual assault matter?
The Panel could not determine on the facts whether representing the boyfriend would violate Rule 1.7(b), but it speculated the representation could materially limit the lawyer's responsibilities to th…
A court retained me to represent it in pending investigations. May I keep actively practicing before that same court while I represent it as an institution?
The Panel opined that nothing in the Rules of Professional Conduct prohibited a lawyer from appearing before a court he also represented, and that the client-lawyer relationship with the court imposed…
My law partner was just appointed to the town council my clients are suing. Can I keep prosecuting the lawsuit even though it now targets my partner's board?
The Panel concludes Attorney B is prohibited under Rule 1.7(b) from continuing in the lawsuit after joining the council, and that his disqualification is imputed to Attorney A under Rule 1.10, so -- b…
Rule 1.8(e) bars advancing money to a client in litigation. Does that also stop me from lending a client money for something unrelated to the case, through a loan agreement?
The Panel concluded that Rule 1.8(e) applies only to financial assistance connected to litigation, so Rule 1.8 does not outright prohibit lending a client funds for purposes unrelated to the represent…
I represent a doctor before the medical board and my co-counsel wants to cross-examine the board's expert, a doctor I have separately represented. Does Rule 1.7 forbid it?
The Panel concluded that Rule 1.7 did not prohibit the arrangement because the two representations were not directly adverse and neither was materially limited, but it reminded the attorney not to rev…
I am a police-department lawyer and Assistant City Solicitor. Can I do paid research for private law firms or take referral fees in cases involving my city?
The Panel concludes the attorney, who is City A's lawyer as an Assistant City Solicitor, may not represent anyone directly adverse to City A under Rule 1.7, and that under Rule 1.11 he may not do firm…
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 class suing an academic institution. Can I also represent an employee of that institution in a separate suit against it?
The Panel concludes Rule 1.7 does not preclude the attorney from representing the employee, because on the facts the employee's interests do not appear adverse to the interests of the clients in the c…
Our city law department defends municipal employees in a negligence suit but has also prosecuted some of them. Can we keep representing those employees?
The Panel concludes the municipal law department may not continue to represent employees it has prosecuted or who are in positions adverse to the municipality, because their interests are directly adv…
I am a shareholder in a closely-held corporation. Can I also serve as the corporation's lawyer?
The Panel concludes the shareholder may represent the corporation under Rule 1.7 only if the attorney believes the representation will not be materially limited by his own interests as a shareholder -…
I am legal counsel to a town's school committee. Can I represent a client before a state agency where the town itself is the adverse party?
The Panel concludes Rule 1.7(a) does not preclude the representation, because the attorney's client-lawyer relationship is with the school committee, not Town A, so representing the client against the…
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 formed a close corporation for two clients and served as its counsel; can I now represent one shareholder against the other in their dispute?
The Panel concludes that if the attorney acted as an intermediary in organizing the corporation he must withdraw and cannot continue to represent one client in the intermediation's subject matter, and…
My partner is counsel to a town's water supply board. Can either of us represent private clients before that town's zoning board of review?
The Panel concludes that because the attorney's client-lawyer relationship is only with the water supply board -- not the zoning board or the municipality -- and the agencies are not interconnected, b…
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 represent a mother in a neglect case, and now the grandparents want me to represent them in seeking placement of the children. Can I represent both?
The Panel concludes the attorney may represent both the mother and the grandparents if the attorney reasonably believes representing the grandparents will not adversely affect the relationship with th…
I am a state legislator and my proposed law partner is counsel paid by the legislature. Can we form a law partnership?
The Panel concludes the proposed formation of a law partnership or association by a legislator-lawyer and a lawyer paid as legislative counsel does not in itself violate the Rules of Professional Cond…
I am an adjunct professor at a university. Can I represent a full-time faculty member in a tenure lawsuit against the same university?
The Panel concludes the adjunct-attorney may represent the professor in the tenure suit against the institution, provided the attorney informs the client of the attorney's potential responsibilities t…
I am a lawyer and a licensed real estate broker. Can I operate a real estate business out of my law office?
The opinion does not directly prohibit a lawyer from operating a real estate business from the law office, but conditions the practice on compliance with Rule 5.4(b) (no partnership with a nonlawyer i…
My spouse owns a constable service. Can I use it in my law practice if I tell all my clients about the arrangement in writing?
The panel advised that Rule 1.7(b) applies and that the attorney should make full disclosure to clients of the spouse's interest in the constable business; if the attorney refers clients to the servic…
I represent a client in a divorce and also represent the opposing lawyer in a separate, unrelated matter. My client consented. Does that violate the conflict rules?
The panel advised that Rule 1.7(b) governs and that the inquiring attorney may represent the adverse counsel in the separate matter if the attorney reasonably believes representation of the domestic c…
My personal ties to town council members will make three of them recuse, leaving only the four votes needed and requiring unanimity for my client. Can I still represent the client before the council?
The panel advised that Rule 1.7(b) applies and that the attorney's personal relationship with the council is a conflict because the recusals materially limit the client's ability to obtain the license…
I'm a state lawyer working on a matter. Can I send a job application to a firm that was involved as counsel in that same matter?
The panel advised that Rule 1.11(d)(2) prohibits a lawyer serving as a public officer or employee from negotiating for private employment with any person who is a party or attorney for a party in a ma…
I'm a part-time municipal solicitor who also has a private firm. When my firm's private client sues the town, can an assistant solicitor I supervise represent the town?
The panel advised that, by analogy to Rule 1.11 and under Rule 1.10, it could not conclude the inquiring solicitor was effectively screened from the matter when the only person to whom he could refer …
I married a court clerk with ministerial duties assigned to a judge I regularly appear before. Do my firm and I need to take precautions when appearing before that judge?
The panel advised that it is unlikely the attorney can influence the judges in the specialized court, and that where the clerk's duties are ministerial and the attorney and firm do not state or imply …
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 was a law clerk for the Workers' Compensation Court and now handle comp cases at a firm. Is there a waiting period before I can appear before that court's appellate division?
The panel advised that Rule 1.11's one-year abstention rule does not apply to the law-clerk pool; a former clerk may appear before the appellate division so long as the clerk did not participate perso…
I'm a court-appointed receiver of a corporation and work closely with one of its employees. Can I take on the employee's spouse as a client in an unrelated criminal case?
The panel advised that these circumstances do not create a conflict of interest under Rules 1.7, 1.8, or 1.9, because the receivership of the corporation and the representation of the employee's spous…
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…
Can I run seminars for, and take client referrals from, a business owned by the probate judge I regularly appear before?
The panel advised that the attorney does not violate any Rules of Professional Conduct by conducting seminars for and receiving referrals from a non-legal organization owned by a probate judge, as lon…
My spouse is the state chief hearing officer who assigns cases. Can I, as a private attorney, appear before other hearing officers in her division if she recuses from my matters?
The panel advised that under Rule 1.8(i) the disqualification is personal to the attorney-wife and is not imputed to the office, so the attorney-husband may appear before another hearing officer so lo…
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…
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…
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 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…
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…
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…
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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.