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 business-entity client wants me to use small claims to collect for products it delivered before I represented it, which were sold in violation of its license. Does that request force me to withdraw under Rule 1.16?
No. The panel held that the client's request to pursue small-claims collection does not require mandatory withdrawal under Rule 1.16(a), because it does not compel the attorney to engage in illegal or…
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 …
My firm's intake staff interviewed a prospective client (a nurse) whose problem turns out to be the same death my existing clients are suing over. Does that intake create a conflict forcing me to withdraw from the family's case?
The panel concluded the intake interview does create a conflict requiring the attorney to withdraw from representing the Decedent's family. The nurse is a prospective client under Rule 1.18, and Rule …
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…
I represent a client in a slip-and-fall case, and one of the defendants' witnesses turns out to be another current client of mine in an unrelated workers' comp matter. I need to depose and cross-examine that witness. Do I have a conflict, and must I withdraw?
Yes. The panel held a directly adverse concurrent conflict exists under Rule 1.7(a)(1), because the attorney must cross-examine one current client (the adverse witness) on behalf of another. The 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…
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 …
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…
My client, who was insured through the carrier that retained me, is giving an account of the accident that's flatly contradicted by the police report and eyewitnesses. Do I have to withdraw?
It depends on what the lawyer actually knows. The panel held that Rule 1.16(a) requires mandatory withdrawal only if the lawyer knows the client is lying in furtherance of a fraudulent claim; if the l…
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…
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…
A client fired me, hired new counsel, and asked me not to contact them, but I want to talk to them about the discharge and the file transfer. Does Rule 4.2 stop me?
Yes. The panel held Rule 4.2 prohibits the discharged attorney from communicating with the client about the discharge or the file transfer without successor counsel's consent, once the client's author…
My former client retained a malpractice lawyer to sue me over a missed statute of limitations and told me not to contact them directly. Do I still owe them a duty to flag a separate viable claim, and can I reach out about it anyway?
No continuing duty and no direct contact. The panel held the attorney-client relationship ended once the client retained malpractice counsel, so Rule 1.3 and 1.4 no longer apply, and contacting the cl…
If a Rhode Island lawyer withdraws from representing a client, can the lawyer then represent someone else in a claim against that same client?
Not without the first client's consent. The panel held this stays a current-client conflict under Rule 1.7, not a former-client issue under Rule 1.9, because the lawyer withdrew from the first represe…
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…
My firm was hired by an insurer to defend both the insured and the driver, but the driver never responded and now the insured has given me information adverse to the driver. Can I drop the driver and represent the insured?
The panel concluded that Rule 1.7 prohibits the lawyer from representing the insured whether or not the lawyer withdraws from representing the driver, because the two clients' interests are directly a…
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 used my services to commit fraud and gave false testimony, then recanted at trial. Can I decline to represent him on the appeal?
The panel concluded that, under the permissive withdrawal rule the opinion labels Rule 1.17(b), the attorney may decline to continue the representation if the attorney reasonably believes the client u…
I closed my law practice to take a non-legal job and my clients won't respond or hire new counsel. Can I withdraw from their contested probate case?
The panel explained that closing a practice and a client's failure to communicate can support a motion to withdraw under Rule 1.17, but because the attorney had not filed such a motion and Rule 1.17(c…
My client died, and the widow won't cooperate in substituting a personal representative as plaintiff so I can move the case forward. May I withdraw under Rule 1.16?
The Panel concluded that because the widow's lack of cooperation prevents effective representation, withdrawal is permitted under Rule 1.16(b)(5), which allows withdrawal when the client has rendered …
My client sold the disputed house to a buyer with an addendum about the pending suit, then fired me. Do I have a client relationship with the buyer, and can I represent either of them under Rule 1.9?
The Panel concluded the attorney has an attorney-client relationship only with the seller, not the buyer; because the seller is now a former client, the attorney needs the seller's consent to represen…
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…
I represent two clients, and one of them now has information that is directly adverse to the other's workers' compensation and personal injury claims. Can I keep representing both under Rule 1.7?
The Panel concluded that once one client's interests became directly adverse to the other's, Rule 1.7(a) barred continued dual representation, and the attorney should withdraw from representing the se…
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…
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…
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 …
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 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…
I represent ABC Corporation in one lawsuit. A minority-shareholder officer wants me to represent him against the other shareholders. Can I, even if I withdraw from the corporation?
The Panel concludes that under Rule 1.7 the attorney may not represent the shareholder against the corporation unless both the corporation and the shareholder consent after consultation, and withdrawa…
I can't locate two personal-injury clients, and investigators say their claims are fraudulent. Can I withdraw, and must I still file suit before the statute of limitations runs to protect them?
The Panel concluded the attorney must exercise diligence in trying to locate the clients, and that if the attorney reasonably believes a claim is fraudulent, withdrawal is permitted under Rule 1.17; b…
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…
My client put the case on hold, left the military, and I can't find them after exhausting every effort. Can I withdraw from the representation?
The panel advised that under Rule 1.16(b)(4), (5), and (6) the attorney may seek to withdraw from the representation, because a lawyer need not serve a client indefinitely when unsuccessful in locatin…
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 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…
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…
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 …
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 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…
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 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…
I represent a guardian whose fund withdrawals look questionable. Should I file a petition for instructions with the court?
The panel concluded that the attorney should first seek an explanation of the withdrawals from the guardian, and if that is non-responsive, unsatisfactory, or suggests misappropriation, the attorney s…
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…
I left the firm where I was an associate. Can I sue a delinquent client for my share of the fee, do I still have to show up for the firm's clients, and can I be forced to keep representing them?
The panel declined the fee-suit question as a legal rather than ethical matter; held that once an appearance is entered a lawyer may withdraw only with the court's permission or on discharge and leave…
I'm counsel to a struggling corporation and think its board can't manage its own affairs. Can I ask a court to remove the board, audit the books, and appoint a property manager?
The panel concluded that the corporation's Board of Directors is the client, that the attorney may not substitute the attorney's judgment for the client's, and that the attorney must either comply wit…
My client accepted a settlement offer and now wants to back out and keep litigating. Can I withdraw from the representation?
The panel concluded that a client's acceptance of a settlement offer creates a binding contract, and that if the client wishes to repudiate the settlement the attorney may properly withdraw under Rule…
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…
My client is charged with murder, maintains his innocence, but wants to plead guilty or nolo for reasons I think are poor. Can I let him plead, and what are my options if I disagree?
The panel concluded that Rule 1.2 requires the attorney to abide by the client's wishes on the plea if the attorney continues the representation, and that the attorney may seek to withdraw under Rule …
I rent office space from Lawyer A and agreed to represent his former client before a zoning board where Lawyer A was a witness. The client now hints at a malpractice claim against Lawyer A. Can I condition my continued representation on the client releasing Lawyer A?
No. The panel held that a lawyer may not condition continued representation on the client releasing another lawyer from malpractice liability, because doing so would impermissibly circumscribe the cli…
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 …
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 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 client insists I drop her appeal and settle, but I'm worried she doesn't understand that doing so could jeopardize her insurance coverage. I sent detailed warning letters and reminders, and she never responded before firing me. Am I clear to file a motion to withdraw?
Yes. The panel held that the attorney's detailed letters and reminder notices satisfied Rule 1.2(a)'s consultation requirement, that a lawyer may not superimpose his own judgment on a client no matter…
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…
I represent a guardian of a minor's estate in Probate Court. I've sent six letters over 15 months reminding my client of the legal duty to file accounts, and my client still hasn't filed them. Can I withdraw?
Yes. The panel held that, based on the attorney's representations, he could move to withdraw under DR 2-110(C)(1)(d), while remaining subject to the general withdrawal requirements of DR 2-110(A).
My client's only surviving supporting expert witness needs travel expenses my client refuses to pay, and my client won't even discuss it with me. Can I withdraw from the case?
Yes, on these facts. The panel held the attorney could properly move to withdraw under DR 2-110(C)(1)(d), which allows withdrawal where the client's conduct renders it unreasonably difficult for the l…
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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.