Can a lawyer state on letterhead, business cards, or advertising that the lawyer is certified as an arbitrator by the American Arbitration Association?

Plain-English summary

A lawyer asked whether it would violate Rules 7.1 and 7.7 to state on letterhead, business cards, or advertising that the lawyer is certified as an arbitrator by the American Arbitration Association. The Disciplinary Commission concluded it would not: the communication is not false or misleading, so it does not violate Rule 7.1, and it does not violate Rule 7.7.

The opinion explained that Rule 7.1(d) makes a communication false or misleading if it communicates the lawyer's certification by a certifying organization except as provided in Rule 7.7, and that Rule 7.7 bars a lawyer from communicating certification by an organization unless that organization has been approved by the Alabama State Bar Board of Legal Specialization. The Commission read Rule 7.7 to contemplate legal specialties within the practice of law, not other disciplines outside the practice of law such as accounting, medicine, engineering, or financial planning. It noted it had previously held that a lawyer may communicate non-legal disciplines on letterhead, cards, or advertising (citing RO-87-80 for a lawyer/engineer and RO-91-12 for a lawyer/financial planner).

Because an arbitrator does not necessarily have to be a lawyer, the opinion concluded an arbitrator should be characterized as a non-legal discipline, so a lawyer may place the AAA arbitrator designation on letterhead, business cards, or advertising without being certified under Rule 7.7.

Currency note

This opinion was issued in 1994, before the 2002 Ethics 2000 revisions to the ABA Model Rules of Professional Conduct and Alabama's subsequent amendments to its Rules of Professional Conduct. Alabama's advertising rules, including the former Rule 7.7 on certification, have changed since then. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement mentioned here.

Common questions

Q: Can a lawyer advertise that they are an AAA-certified arbitrator?

A: Yes. The opinion concluded the communication is not false or misleading and does not violate Rules 7.1 and 7.7, so a lawyer may list AAA arbitrator certification on letterhead, cards, or advertising.

Q: Why doesn't Rule 7.7's certification-approval requirement apply?

A: The opinion concluded Rule 7.7 contemplates legal specialties within the practice of law, not non-legal disciplines, and because an arbitrator need not be a lawyer, arbitration is a non-legal discipline outside Rule 7.7's scope.

Q: What other non-legal credentials had the bar allowed lawyers to list?

A: The opinion cited its prior opinions allowing a lawyer to communicate non-legal disciplines, including RO-87-80 (lawyer/engineer) and RO-91-12 (lawyer/financial planner).

Background and rules framework

The opinion interprets Rule 7.1 of the Alabama Rules of Professional Conduct (Model Rule 7.1, communications concerning a lawyer's services), specifically Rule 7.1(d) on certification communications, together with the former Rule 7.7, which required Board of Legal Specialization approval for legal-specialty certifications. The distinction drawn is between legal specialties (within Rule 7.7) and non-legal disciplines such as arbitration (outside it).

Citations and references

Rules of Professional Conduct:

• Model Rule 7.1 / Ala. R. Prof. C. 7.1(d) (false or misleading communications; certification)
• Ala. R. Prof. C. 7.7 (communicating certification by an approved certifying organization)

Other opinions cited:

• Alabama RO-87-80 (lawyer/engineer) and RO-91-12 (lawyer/financial planner) (communicating non-legal disciplines)

See also

• AL Ethics Op. 1996-07: Advertising on the Internet
• AL Ethics Op. 2008-01: Advertising the Ability to Communicate in a Foreign Language

Source

• Landing page: https://www.alabar.org/office-of-general-counsel/formal-opinions/1994-12/
• Original PDF: https://www.alabar.org/assets/2019/02/1994-12.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

ETHICS OPINION

RO-94-12

QUESTION:

Is it a violation of Rules 7.1 and 7.7 of the Rules of Professional Conduct for a lawyer to communicate on the lawyer's letterhead, business cards, or advertisement that the lawyer is certified by the American Arbitration Association as an arbitrator?

ANSWER:

It is not false and misleading and, thus, not a violation of Rules 7.1 and 7.7 for a lawyer to communicate the fact that the lawyer has been certified as an arbitrator by the American Arbitration Association.

DISCUSSION:

Rule 7.1(d) of the Rules of Professional Conduct provides as follows:

"Rule 7.1 Communications Concerning a Lawyer's Services

A lawyer shall not make or cause to be made a false or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it:

(d) Communicates the certification of the lawyer by a certifying organization, except as provided in Rule 7.7."

Rule 7.7 provides that a lawyer may not communicate that he or she has been certified by a certifying organization unless that organization has been approved by the Alabama State Bar Board of Legal Specialization. This Rule contemplates legal specialties that are within the practice of law. It does not contemplate other disciplines outside the practice of law, such as accounting, medicine, engineering, financial planning, etc. The Disciplinary Commission, on a number of occasions, has held that a lawyer may communicate non-legal disciplines on the lawyer's letterhead, business cards, or in the lawyer's advertising (see RO-87-80 - lawyer/engineer and RO-91-12 - lawyer/financial planner).

Since an arbitrator does not necessarily have to be a lawyer, it is the view of the Disciplinary Commission that an arbitrator should be characterized as a non-lawyer discipline and, thus, such designation may be placed on a lawyer's letterhead, business card, or in advertising without the lawyer being certified pursuant to Rule 7.7.

RWN/vf

9/30/94