Could a marketing firm mail lawyer-signed solicitation letters using a police-report database?

Plain-English summary

A lawyer proposed drafting form letters for case types and having an advertising firm use police-report data and a facsimile signature to mail them to prospective clients.

The opinion acknowledged that Rule 4-7.3(a) authorized direct mail, but said the lawyer had to determine whether Rule 4-7.3(c) exceptions applied and supervise the nonlawyer agents under Rule 4-5.3. It concluded that the proposed system inherently violated both duties.

Currency note

This 1994 opinion predates Missouri's 2007 amendments to its Rules of Professional Conduct. An official reference note identifies July 1, 2007 amendments to Rules 4-1.9 and 4-1.10. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context and verify current rules before relying on it.

Common questions

Q: Was direct mail categorically prohibited?

A: No. The opinion said Rule 4-7.3(a) authorized it, subject to the lawyer's other duties.

Q: Why did the proposed system fail?

A: The opinion said the lawyer had to assess Rule 4-7.3(c) exceptions and supervise nonlawyer agents under Rule 4-5.3.

Background and rules framework

The opinion applied Missouri Rules 4-7.3(a), 4-7.3(c), and 4-5.3 to a marketing firm's proposed mailings.

Citations and references

Rules of Professional Conduct:

• Missouri Rule 4-7.3(a)
• Missouri Rule 4-7.3(c)
• Missouri Rule 4-5.3

See also

• Missouri Informal Op. 940141: Unsolicited business calls
• Missouri Informal Op. 950136: Direct-mail compensation claims

Source

• Landing page: https://mo-legal-ethics.org/informal-opinion/940118/

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

QUESTION: Attorney would use an advertising firm to do direct marketing. Attorney would draft a form letter for each type of case. The advertising firm would use the form letter, a database of information obtained from police reports and a facsimile signature of Attorney to do direct mailings to prospective clients. ANSWER: Although direct mailing is authorized under Rule 4–7.3(a), Attorney must make the determination that none of the exceptions found in Rule 4–7.3(c) apply to the situation. Attorney also must supervise any non-lawyers who are acting as Attorney´s agents under Rule 4–5.3. This system would inherently violate both of those rules.