Legal Ethics Opinions

I'm part-time counsel to a state grant program, and part of my salary comes from that program. It denied a city federal reimbursement, and now the contractor the city stiffed as a result wants me to sue the city privately. Can I take the case, and can I refer it to attorneys I share office space and a phone line with instead?

The panel held the attorney may represent the claimant against the city if he obtains the client's informed consent, after full disclosure of his relationship to the grant program, as Rule 1.7(b) requ…

I'm a consulting attorney for a water district that has no affiliation with a town. One of the town's zoning board members also happens to be a commissioner of the water district. Can I still bring cases before that zoning board under Rule 1.7?

Yes. The panel held that because no inconsistencies arise among the attorney's obligations to his zoning-board clients, his obligations to the Water District, and his own interests, Rule 1.7 does not …

I want to run a newspaper ad in the 'Homes for Sale' section labeling myself 'Real Estate Attorney' along with my name and contact information. Do I need to say anything else to comply with Rule 7.4?

The panel found the label 'Real Estate Attorney' falls in a gray area that could mislead a potential client into thinking Rhode Island recognizes a real estate specialty, so to be protected by the pan…

Opposing counsel represents both my adversary and the party whose insurer is funding the settlement, and he won't tell his own client what the insurance company is offering. Can I contact her directly to explain her rights since he won't?

No. The panel held that Rule 4.2 bars the inquiring attorney from contacting the represented salesperson directly absent her lawyer's consent, no matter how laudable the attorney's motive, and it coul…

A former customer of my longtime business client called me a few times with general questions and I never billed him for it. Now that customer is disputing money with my client. Did those free calls create a conflict of interest under Rule 1.7?

Yes. The panel held that the salesperson's phone consultations with the attorney created an attorney-client relationship despite the attorney never charging a fee, which activated Rule 1.7, and the at…

I was associated with a lawyer's firm years ago. He still represents cases from that period as co-counsel with me, but a new client of his retained him four or five years after I left. Can I represent someone against that new client under Rule 1.9?

Yes. The panel held that because the attorney was no longer associated with his former colleague, Lawyer L, when Ms. B retained Lawyer L's services, Ms. B never became the inquiring attorney's own cli…

I'm a lawyer who was hired only as a CPA to prepare an estate's tax return. In that role I learned the estate's lawyer is setting aside funds for the administratrix in a way that shortchanges unrepresented heirs. Can I tell the probate court or disciplinary counsel, and am I required to?

The panel held that because the inquiring attorney was retained solely as an accountant for the limited purpose of preparing the estate's tax return, none of the information he holds is protected by a…

Opposing counsel's secretary notarized affidavits after the affiants had already signed and left, and he admitted this to the trial justice, who let him fix it and ruled without relying on the affidavits. Do I have to report opposing counsel to disciplinary authorities?

It depends on the inquiring attorney's own reasonable belief. The panel held that if he reasonably believes opposing counsel's conduct rose to the level of seriousness that raises a substantial questi…

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…

A former client I met with once, years ago and don't recall, now objects to my representing his wife in their divorce, even though opposing counsel told me my former client didn't object and I relied on that for months. Can I keep representing the wife?

The panel declined to decide whether the former client's later-reported consent was informed and binding, holding that the extent or adequacy of disclosure underlying consent is a contested factual de…

My wife just became a licensed real estate agent, and I expect probate clients to need to sell real estate. Can I refer them to her?

Yes, consistent with the panel's prior Opinion 88-33 on referrals to a relative's business, a marital relationship between an attorney and a real estate broker does not itself make referrals improper,…

Is a law firm brochure permissible under Alabama's lawyer-advertising rules?

The opinion concluded the submitted firm brochure was permissible because it was not false or misleading and complied with the Temporary Disciplinary Rules governing lawyer advertising and solicitatio…

Can a lawyer who is also a director, officer, and shareholder represent the corporation in an acquisition?

The opinion concluded the lawyer may represent the corporation and its board in the acquisition if he fully discloses his personal interests to the board and the board consents, because the board defi…

Can non-lawyer law students sell legal-research services to lawyers and law firms without it being the unauthorized practice of law?

The opinion concluded that a law-student legal-research business that markets only to lawyers and law firms (not the public), and discloses that its work is not a legal opinion and is merely a transmi…

Can a lawyer who has since been suspended or disbarred still collect fees earned for work done while he was still licensed?

The opinion concluded a suspended or disbarred lawyer may receive, after the date of suspension or disbarment, legal fees to which he was entitled for work performed before that date, and a bankruptcy…

January 17, 1990

Can a law firm's certified legal secretary or paralegal have a business card showing her credential and the firm address?

The opinion concluded a certified Professional Legal Secretary may list her name, the initials PLS, and the office address on a business card, but the card must also carry the mandatory 'Non-Lawyer As…

January 17, 1990

May a lawyer represent buyers or sellers referred by her attorney-spouse who is the broker, and must she disclose the relationship?

The opinion concluded that if the spouses are law partners they may not represent both buyer and seller; if they keep separate practices, the lawyer may represent a referred client only with disclosur…

January 17, 1990

In settling a malpractice claim, can the accused lawyer require the client to drop or not file a State Bar grievance about the lawyer's conduct?

The opinion concluded that an accused lawyer may not condition settlement of a malpractice claim on the client refraining from filing, or agreeing to withdraw, a State Bar grievance; doing so is condu…

Can a lawyer (or the lawyer's firm) give a title opinion on property sold by an entity in which the lawyer's spouse owns a small amount of stock?

The opinion concluded that whether a lawyer is disqualified from rendering a title opinion because of a personal financial interest in the selling entity turns on the significance of that interest, no…

While serving as trustee under a deed of trust, can a lawyer also act as the lender's attorney in a contested foreclosure, deficiency, or bankruptcy matter?

The opinion concluded that a lawyer serving as trustee under a deed of trust may not take an adversarial role against either the borrower or the lender in any matter arising from the foreclosure, incl…

Can a lawyer interview a former employee of an opposing corporation without first getting permission from the corporation's lawyer?

The opinion concluded that a lawyer may interview an unrepresented former employee of an adverse corporate party without the corporation's lawyer's permission. The no-contact rule protects only those …

Can a lawyer lend money to a personal injury client during the case, for living expenses or anything beyond litigation costs?

The opinion concluded that a lawyer generally may not advance or guarantee financial assistance to a client during contemplated or pending litigation. The one narrow exception lets the lawyer advance …

When a firm declines a case after reviewing medical records it paid for, can it withhold those records until the client repays the cost?

The opinion concluded that a firm that declines a case after evaluating it must turn over unconditionally to the client any material, such as medical records or expert opinions obtained on the client'…

Can an assistant district attorney sell media rights to her role in a prosecution, and help develop her character in a screenplay?

The opinion concluded that an assistant district attorney may sell media rights to her role and help develop her character once the prosecution is complete, but may not negotiate or enter such an agre…

January 11, 1990

Can a Wisconsin lawyer work with a company that sells living-trust and estate-planning products to review or draft documents for its customers?

The opinion concluded that whether the organization is engaged in the unauthorized practice of law is a threshold issue the committee could not decide, but if it is, a lawyer may not assist it under S…

Can a public defender office set up a separate conflicts unit so its lawyers can represent co-defendants whose interests conflict, the way a separate firm could?

The opinion concluded that because the State Public Defender Office is a single 'firm,' the Rules prohibit one trial-division lawyer and one conflicts-office lawyer from representing co-defendants wit…

Can a part-time city attorney, or another lawyer in the same firm, defend criminal cases in which city police officers may be witnesses?

The opinion concluded that such representation should not be accepted unless the lawyer or firm can fully comply with SCR 20:1.7(b), which would require the informed written consents of the appropriat…

Can a lawyer charge interest, such as 1% per month, on a client's overdue fee and cost balances?

The opinion (revised April 17, 2020) concludes that a lawyer may charge interest on delinquent fee and cost balances if the interest is reasonable under SCR 20:1.5(a) and the client was given advance …

When a client pays a cash fee over $10,000, must a lawyer disclose the client's identity to the IRS on Form 8300?

The opinion concluded that a lawyer may not disclose a client's identity or fee information without the client's informed consent (SCR 20:1.6(a)), and that before accepting a cash fee over $10,000 the…

Can a lawyer advertise holding a public office, or advertise being licensed in another profession such as medicine or accounting?

The opinion concluded that a lawyer may advertise holding a public office or position, subject to SCR 20:7.5(c) (a public officeholder's name may not be used in a firm name while the lawyer is not act…

Can lawyers who only share office space use the same letterhead or a joint name to hold themselves out to the public as a firm?

The opinion concluded that lawyers or firms who associate only to share office space, equipment, library, personnel, or other resources are prohibited from sharing the same letterhead and may not impl…

May a county bar association give gifts to judges, and if so, what limits apply?

The committee concluded that lawyers' gifts to judges are highly restricted and almost always improper; invitations to bar-related events and properly conducted, anonymous judicial portrait or memoria…

Does a public defender's office have to stop appearing before a circuit judge because the judge's son works in that office?

The committee concluded that the Rules of Professional Conduct do not prohibit members of the public defender's office from appearing before the circuit judge, because Rule 1.8(i) addresses only perso…

Does insurance-defense counsel violate the rules by telling opposing counsel he has no authority to negotiate because the insurer controls settlement?

The committee concluded that, assuming the insured has limited the scope of the representation under Rule 1.2 and consented to the insurer directing litigation and settlement, defense counsel's statem…

Can a lawyer sue an opposing lawyer for malpractice on behalf of the very party his former client defeated, when he holds the former client's confidences?

The committee concluded that the lawyer must protect the confidential information received from his former client, and that unless the former client consents or the information has become generally kn…

Does a lawyer who received a gift of property from a grandparent have an ethical duty to reconvey it to a parent to honor the grandparent's unwritten wishes?

The committee concluded that, because the attorney-grandchild had no fiduciary, confidential, or attorney-client relationship with the grantor, no ethical rule requires the grandchild to fulfill the g…

Can a lawyer trade help collecting a doctor's bills for patient referrals, and can a non-law business tell customers its lawyer escrows all sale proceeds?

The committee concluded that a lawyer may not exchange assistance in collecting a doctor's medical fees for referral of clients, because that gives something of value for a recommendation contrary to …

Are a lawyer's television ads permissible when they compare the lawyer's services and experience to those of other attorneys?

The committee concluded that the proposed television advertisements appeared to comply with Rule 7.2's permitted content, but that because they appeared to compare the lawyer's services and experience…

When a new client describes possible misconduct by their prior lawyer, must the lawyer report it, and will the committee judge the prior lawyer's past conduct?

The committee declined to evaluate the other lawyer's past conduct, explaining it opines only on prospective conduct, and concluded that if the inquiring lawyer believes the other lawyer committed a v…

Can a firm mail its brochure to people who attended a seminar its lawyers presented through a for-profit education company?

The committee concluded that mail solicitation is permitted so long as it is not false or misleading and complies with Rule 7.3's disclosure and filing requirements, and that it does not matter the re…

Can a lawyer participate in a referral service run by the state Highway Patrol that sends accident victims to participating attorneys?

The committee concluded that a lawyer should not participate in a lawyer referral service operated by the South Carolina Highway Patrol, because troopers referring victims to specific attorneys may im…

Can a lawyer who serves on county council sue an elected or appointed county official, like the sheriff, on behalf of a private client?

The committee concluded that the suit is barred only if Rule 1.7(b)'s two preconditions are met (the lawyer-councilman has a responsibility to the proposed defendant, and that responsibility would mat…

Can a firm sue a former insurance-company client over the same kind of benefit-denial claims it once defended, and does reusable legal research create a conflict?

The committee concluded that a Rule 1.9 conflict exists to the extent the prior and present matters share a common course of conduct or company policy, which would make them substantially related; the…

Can a lawyer take a matter from an out-of-state collection agency on terms that forbid the lawyer from contacting or billing the actual client?

The committee concluded that if the agency is engaged in the unauthorized practice of law the lawyer is barred by Rule 5.5 from assisting it, and that even if it is not, the lawyer could not accept th…

Can a lawyer who personally investigated the case and talked to a key witness still try the case, or must the lawyer step aside as a necessary witness?

The committee concluded that if the lawyer is a necessary witness, Rule 3.7 disqualifies the lawyer from acting as advocate unless the lawyer can show that disqualification would work a substantial ha…

Can a lawyer sponsor a Yellow Pages '900-number' service that plays the firm's recorded pitch after free recorded legal information?

The committee concluded that the recorded advertisement following the free legal information would not be false or misleading under Rule 7.1, but that the arrangement is a recorded solicitation govern…

After a closing ends, can the closing attorney report a mortgage broker client's suspected fraud to the lender or law enforcement?

The committee concluded that, where the closing attorney represents the mortgage broker, Rule 1.6 bars revealing information about the broker's fraud to the lender, law enforcement, or Consumer Affair…

Can a lawyer represent both the bank and the borrower at a residential mortgage loan closing?

The committee concluded a lawyer may represent both lender and borrower to close an institutional mortgage loan in limited circumstances, after reviewing the documents for conflicts and obtaining the …

If a firm prepared an adoption agreement for both the adoptive couple and the birth mother, can it later sue the birth mother for the couple?

The committee concluded that, under Rule 1.9(a), if the firm represented both the adoptive couple and the birth mother, it may not later represent the couple in a suit against the birth mother to reco…

Can married lawyers appear on opposite sides of the same criminal appeal, one for the state and one for the defendant?

The committee concluded that Rule 1.8(i) permits married lawyers to represent adverse clients in the same matter only with each client's informed consent, and that the appellate nature of the practice…

I'm a part-time Probate Judge appointed by my town's Town Council. Can I still represent private clients before that town's Planning Board and Zoning Board?

Yes. The panel held that representing clients before the Planning Board or Zoning Board does not involve any conflict between the interests of the attorney's client and those of the attorney's appoint…

If a defense lawyer is the only witness to a statement a trial witness now contradicts, must the lawyer withdraw to testify, and does being sole counsel change that?

The committee concluded that, under Rule 3.7, a lawyer likely to be a necessary witness to impeach another witness must withdraw as trial advocate unless disqualification would cause substantial hards…

Can a lawyer who sits on a state youth-services board represent a juvenile in a delinquency case that the agency makes recommendations in?

The committee, reconsidering its earlier opinion under the new Rules, concluded there is no blanket bar: because the board member only sets agency policy and does not adjudicate or have case-specific …

How should a law school graduate who is awaiting bar exam results sign correspondence for a law firm without misleading anyone?

The committee concluded that a law graduate awaiting bar results may sign firm correspondence on matters for which a supervising lawyer takes responsibility, but must make his nonlawyer status clear, …

May a county attorney recruit a taxpayer plaintiff, including through the news media, to bring a declaratory-judgment test case?

The committee concluded the county attorney could seek a taxpayer plaintiff if he followed safeguards: Rule 1.8(e) and (j) are not violated absent financial assistance or a proprietary interest, commo…

Can a paralegal or legal assistant carry a business card showing the law firm's name?

The committee concluded that no rule specifically governs nonlawyer business cards, but because a card is a communication like a letterhead, it is permissible under Rules 7.1 and 7.5 so long as it is …

After closing a mortgage for the borrower, can the same lawyer later update the title, file a lis pendens, or handle the foreclosure for the lender?

The committee concluded that, assuming the lawyer represented the borrower or all parties at closing, updating the title is permissible because it only reports public record, but filing a lis pendens …

If a lawyer drafts a client's will naming himself executor and trustee, may he take both an executor's and a trustee's commission?

The committee concluded the question was not directly governed by the Rules: the lawyer could take a double commission on the same terms a non-lawyer could, but any commission method set in the will s…

When a law firm partner sits on city council, can the firm's other lawyers represent clients against the city or appear in city court?

The committee concluded that a councilman partner is barred under Rule 1.7(b) from representing clients adverse to the city, and that bar is imputed to the firm under Rule 1.10(a); but the Rules do no…