Could a lawyer remove personal impressions and case notes before returning a former client’s file?

Plain-English summary

A lawyer wanted to remove impressions and notes from a former client’s file before handing it over. The notes recorded calls and meetings; research notes were kept separately.

The opinion said the described notes were part of the file that had to be provided to the client and referred to amended Formal Opinion 115. Official notes identify later changes to Rules 4-1.15 and 4-1.22.

Currency note

This opinion was issued in 1998, before Missouri’s 2007 revisions to the Rules of Professional Conduct. Later amendments or opinions may have changed the analysis. Treat this page as historical context and verify current rules before relying on it. The official Rule 4-1.9 and 4-1.10 reference notes identify July 1, 2007 amendments.

Common questions

Q: Could the lawyer withhold the described notes?

A: No. The opinion said they belonged in the client file.

Q: Did it address the separate research file?

A: The question mentioned it, but the answer expressly addressed the described notes.

Background and rules framework

The official reference notes identify former Rules 4-1.15 and 4-1.22; the answer cites Formal Opinion 115.

Citations and references

Missouri Rules of Professional Conduct:

• Rule 4-1.15
• Rule 4-1.22

See also

• Missouri Informal Op. 990177: Winding Down Practice

Source

• Landing page: https://mo-legal-ethics.org/informal-opinion/980141/

• Rule revision reference: Missouri Informal Opinion 20030007

Original opinion text

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

Reference Note: Rule 4–1.15 was amended, effective July 1, 2013. This opinion is based on the rule in effect prior to that date. Please see the July 1, 2013 version of Rule 4–1.15 and 4–1.22.

Reference Note: Effective July 1, 2016, subdivision 4–1.22 of Rule 4 was repealed and a new subdivision 4–1.22 adopted in lieu thereof. This opinion is based on Rule 4 in effect prior to that date.

QUESTION: May Attorney remove notes from the file before it is turned over to a former client? The information consists of Attorney´s impressions about the case, as well as Attorney´s comments and thoughts made during telephone calls about the case and during meetings with Attorney´s staff and clients. A separate research file was maintained for Attorney´s research notes regarding the case.

ANSWER: Based upon the information Attorney has provided and the nature of the material in question in this case, the notes are part of the file which must be provided to the client. Please see Formal Opinion 115, as amended.