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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At real estate closings, the buyer's attorney is adding disbursement, discharge-tracking, wire, and courier fees to the settlement statement that my seller client must pay. Do those fee practices violate the ethics rules?
Yes. The panel held these closing fees violate Rule 1.5: they are unreasonable expense charges (a wire fee, for one, reflects a cost no institution actually charges on IOLTA transfers), and they viola…
Can I pass my credit card processing fees on to clients, and what do I have to tell them first?
The panel concluded a lawyer may pass credit card processing fees to clients in flat fee and hourly matters, and when the client pays for issuance of payment to a third party, so long as the charge is…
Can my firm place a lien on a client's property to secure unpaid attorney's fees?
Yes. The panel concluded a firm may place a lien on a client's property for the fees owed, but because acquiring a security interest adverse to a client is a business transaction, the firm must comply…
Can my contingency fee apply to the total of the damages award plus court-awarded statutory attorney's fees?
Yes. The panel concluded it is permissible under Rule 1.5(a) for a retainer to state that the contingency percentage applies to the total of the damages award plus court-awarded attorney's fees. The f…
Can I pay a marketing agency about $200 per title order a mortgage broker sends me, and build that cost into my closing fee?
No. The panel concluded the arrangement violates Rule 7.2(c) because the lawyer effectively pays the mortgage broker's advertising costs in exchange for title-order referrals, even though the money ru…
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…
My client is indigent, has moved out of state, and can't afford to travel back for court dates in her D.C.Y.F. and divorce cases. Can I pay for her transportation without violating the rules on giving clients money?
Yes, if the client is indigent. The panel held that Rule 1.8(e) permits the inquiring attorney to pay an indigent out-of-state client's transportation costs to attend court hearings in her D.C.Y.F. ma…
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 …
I advanced a medical expert's fee on my client's behalf and billed the client, who hasn't paid. My fee agreement lets me charge interest on overdue amounts. Can I charge the client interest on the unpaid expert fee?
Yes. The panel held the Rules of Professional Conduct do not prohibit charging the client interest on the unpaid expert's fee, provided the attorney complies with the laws governing the charging of in…
My client's ex-spouse is shortchanging her on stock options owed under their marital settlement agreement, and she wants me to sue him on a contingency-fee basis. Can I take that case on contingency, and does it matter if she also wants to reopen the divorce over concealment?
A contingent fee is proper for the post-divorce contract dispute over the stock option value under the settlement agreement, but not if the divorce action itself is reopened based on the claim that th…
One of my law firm's named partners was just suspended from practice. Do we have to take his or her name off the firm name, and can we still pay out earned fees for work done before the suspension?
Yes, remove the name during the suspension: the panel held keeping a suspended, non-retired partner's name in the firm name is misleading under Rules 7.1 and 7.5(a). The firm may still pay the suspend…
My client's predecessor counsel withdrew from a contingency case and is now claiming a lien for a third of a rejected settlement offer. Do I have to hold that amount in escrow while we dispute it?
Yes. The panel held predecessor counsel is entitled only to quantum meruit, not a share of the rejected offer, but Rule 1.15 requires the successor attorney to protect the disputed amount by escrowing…
I was suspended for a short time during a long case and brought in another lawyer on a 50/50 fee split. Now that we won, can I still take half the fee?
The panel concluded that on these facts the 50/50 fee-division arrangement was permissible under Rule 1.5(e), provided there is a written agreement between the lawyers and the client; without such an …
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, …
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…
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 …
I am an assistant town solicitor prosecuting misdemeanors for one town. Can I take the same prosecutor role for a second town, when both towns' cases are scheduled the same day, under Rule 1.7?
The Panel concluded that prosecuting for the second town does not violate the Rules because the towns' representations are not directly adverse, and suggested obtaining each client's consent after con…
Can I compensate another law firm for the time it spent on a legal malpractice case, where that firm was a third-party defendant that paid into the settlement?
The Panel concluded that compensating the other law firm for the time expended in the matter would not violate the Rules of Professional Conduct, consistent with Rule 1.5 and the Panel's view that an …
If I later reduce the fee I actually charge my client, but the court awarded or a third party paid a stated attorney fee, do my representations about that fee have to match under Rules 3.3 and 4.1?
The Panel concluded that if the attorney negotiates a lower fee for the client, all representations regarding fees made to the court or to third parties must reflect the actual fee, under Rule 3.3 and…
My client discontinued the case and wants the retainer back. The agreement didn't say the retainer was non-refundable but I assumed it was. Can I keep it under Rule 1.5?
The Panel concluded that under Rule 1.5 and the Disciplinary Board's policy, a retainer is a refundable fee advance, so the attorney must return the unearned portion and keep only the reasonable value…
Another lawyer who is not in my firm wants me to take on a client and share one-third of the fee. Is that fee-splitting arrangement allowed under Rule 1.5?
The Panel concluded the attorney may divide a fee with a lawyer outside the firm under Rule 1.5(e) if the division is proportionate to each lawyer's services or, by written agreement, each assumes joi…
My client won and isn't indigent. Can I just waive the litigation costs, or does Rule 1.8(e) restrict that?
The Panel agreed that Rule 1.8(e) does not apply where the client is not indigent and the case succeeded, so it is the attorney's prerogative whether or not to waive the costs.
I took an elderly client pro bono through a volunteer project, and now spending down assets for Medicaid is in play. Can I pay myself for my past services out of those assets even though the work was pro bono?
The Panel concluded that under Rule 1.14, because the client is under a disability, a guardian or conservator should be appointed to determine whether the attorney's proposal to compensate himself wou…
After I withdrew from a client's case because I learned his claim may be fraudulent, must I report it, refund my fee, or warn his new lawyer?
The Panel concludes that Rule 1.6 protects the information, so the attorney may not disclose it to anyone (including new counsel) without the client's consent, and, absent prior knowledge of the fraud…
Can I advance the court costs and litigation expenses for indigent personal-injury clients and be reimbursed only if the case recovers?
Yes. The Panel concludes that advancing court costs and litigation expenses, with repayment contingent on the outcome, is permitted under Rule 1.8(e)(1) as long as the advanced costs are related to th…
Can I charge a client for the court filing and service costs of a Criminal Injury Compensation Fund claim, and can I stop working if the client won't pay them?
The panel declined to answer whether charging the client for those costs is proper because it turns on substantive law outside legal ethics, but advised the attorney have the proposed fee agreement in…
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…
Can I collect a one-third contingent fee from a client who won't cooperate with collection, when I never put the contingent-fee agreement in writing?
The panel advised that Rule 1.5(c) governs and that, to collect a contingency fee, the attorney should have set the agreement forth in writing as the rule requires; the panel added that the attorney s…
My client's prior lawyer was suspended from practice. How can I compensate that suspended lawyer's office for the legal work it did before the suspension?
The panel advised that the fees should be divided according to quantum meruit, meaning the fair value of the services rendered before the former attorney's termination of the representation; absent a …
Can I bill an estate a flat percentage of its value for administering it if the client signed a written contract agreeing to that percentage fee?
The panel advised that Rule 1.5 governs and that the attorney should assess a fee that is reasonable under the circumstances and commensurate with the time and labor and the value of services rendered…
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…
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 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 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…
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…
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)), …
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 …
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 …
Two law firms are merging. Before the merger takes effect, can lawyers in one firm service the other firm's clients, and who bills them?
The panel advised that it is proper for the attorneys in one firm to service the clients of the other firm before the merger's effective date, with the clients' knowledge and consent, and that corresp…
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.
I was discharged from a divorce case before it ended. Can I secure my unpaid fee by recording an attorney's lien in the land records for the marital home?
The panel concluded that recording an attorney's lien in the land records to secure unpaid fees in a domestic relations matter falls outside the statutory procedures for asserting an attorney's lien u…
My client is unhappy with my work and won't pay my fees after the trial ended. Can I withdraw from the representation?
The panel concluded that under Rule 1.16(b) the attorney may properly withdraw if the client continues to refuse to pay for the services rendered and the attorney gives the client reasonable warning t…
I was hired on a contingency fee and the client fired me before the case ended. What can I recover for the work I already did?
The panel noted that Rhode Island case law lets a client discharge an attorney at any time, with or without cause, and that the discharged attorney's proper measure of recovery is the reasonable value…
I'm a sole practitioner who is also opening a temporary-lawyer placement agency with a non-lawyer. Is explaining an ABA opinion to other lawyers the practice of law, can I say I'm a Rhode Island lawyer in the agency's ads, and can the agency waive its placement fee when I take an assignment myself?
The panel held that explaining ABA Formal Op. 88-356 to another attorney is not the practice of law and the non-lawyer principal may relay the same information, that the attorney may indicate she is a…
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 …
A residential mortgage lender wants to pay me for closing and title work, but keep the 'document preparation' portion of the fee itself as extra compensation for documents it prepared. Is that fee-splitting arrangement proper?
No. The panel held it is a violation of Rule 5.4 and G.L. 1956 Section 11-27-3 for the attorney to participate in either fee arrangement described, because if document preparation is a legal service, …
My new client discharged his first personal injury attorney after rejecting a settlement offer, and that attorney filed a lien for one-third of the rejected offer. Do I have to report the first attorney, and what fee is he entitled to?
The panel could not rule on the first attorney's conduct, but stated it is well settled that an attorney who obtains a settlement offer the client refuses and is then discharged is entitled to payment…
My workers' comp retainer agreement takes a one-third fee on the gross settlement even when the insurer splits the payment into a 'scarring award' and a separate 'attorney's fee' line item. Is that okay, and can I also put a 15% lien on the file if a client fires me after a settlement offer is on the table?
The one-third fee on total gross proceeds, however the insurance company denominates the payment, is permissible provided the client understands and agrees, but a provision imposing a flat 15% lien on…
I want to broker medical experts and consultants to other attorneys for malpractice and personal injury cases, earning a contingent fee for the brokering (not for legal services). Can I do that, and can I market it using letterhead that shows I'm also a lawyer?
The brokerage itself is permissible as a commercial rather than legal activity, but the panel held the attorney may not use stationery, signage, or publications that identify him as a lawyer in connec…
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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.