Can a lawyer collect contact forms at a seminar, give gifts for referrals, and hand out business cards for others to distribute?

Plain-English summary

The opinion answers nine inquiries about marketing practices, drawing the line between permitted advertising and prohibited solicitation under Rules 7.2 and 7.3. A lawyer may conduct educational seminars for non-clients (RPC 36) and advertise them consistent with Rule 7.2, and may ask attendees to complete a feedback form collecting name, contact, family information, and areas of interest. After the seminar, however, the lawyer may not contact an attendee by in-person or telephone solicitation and must wait for the attendee to reach out (Rule 7.3(a)).

On gifts and referrals, the opinion concludes a lawyer may host a purely social function for clients and non-clients (RPC 146) provided the lawyer does not solicit business from the non-clients. The lawyer may not send a gift certificate or anything of value to thank a person for a referral, because Rule 7.2(b) bars giving anything of value for recommending the lawyer's services. The lawyer may, though, send gifts of nominal value (holiday baskets, flowers) to existing clients or contacts so long as the gift is not a quid pro quo for referrals.

On business cards and endorsements, the opinion concludes a lawyer may give multiple cards or brochures to a person who requests them, and may include a card with a thank-you letter and invite the client to pass it along, so long as there is no understanding or incentive for the recipient to solicit in person (Rule 7.3); the opinion distinguishes 2006 FEO 7, which involved a for-profit referral-networking organization. With client consent, the lawyer may use truthful "soft" endorsements that describe the lawyer's client service but not the results achieved, so they do not create unjustified expectations. Finally, the opinion notes a North Carolina lawyer remains subject to North Carolina discipline for conduct here even if another state where the lawyer is licensed would allow it (Rule 8.5(b)), and that any violation raising a substantial question about a lawyer's honesty, trustworthiness, or fitness must be reported under Rule 8.3.

In practice

Under the North Carolina rules as they stood at the time of the opinion, the dividing line is solicitation: advertising seminars and collecting voluntary feedback is allowed, but the lawyer may not follow up with in-person or phone contact and must wait to be contacted (Rule 7.3(a)). Per the opinion, gifts of nominal value to clients or contacts are permitted, but giving anything of value as a reward for a referral is prohibited (Rule 7.2(b)).

Per the opinion, distributing multiple cards or asking a client to share a card is permitted absent an arrangement for in-person solicitation, and truthful soft client endorsements may be used with consent. A North Carolina lawyer's conduct here is judged by the North Carolina rules even if another state of licensure would permit it (Rule 8.5(b)).

Common questions

Q: After a free seminar, can a lawyer call or visit attendees who left their contact information?

A: No. The opinion concludes the lawyer may collect feedback forms but may not contact an attendee by in-person or telephone solicitation; the lawyer must wait for the attendee to initiate contact (Rule 7.3(a)).

Q: Can a lawyer send a gift card to thank someone for referring a client?

A: No. The opinion concludes Rule 7.2(b) prohibits giving anything of value to a person for recommending the lawyer's services, so a gift certificate as a reward for a referral is not allowed.

Q: Can a lawyer send holiday gifts to clients and contacts?

A: Yes, if nominal and not tied to referrals. The opinion concludes a lawyer may send gifts of nominal value to existing clients or contacts as long as the gift is not a quid pro quo for the referral of clients (Rule 7.2(b)).

Q: Can a lawyer give a client extra business cards to hand out?

A: Yes, within limits. The opinion concludes a lawyer may give multiple cards or brochures and ask a client to pass one along, so long as there is no understanding or incentive for the recipient to engage in in-person solicitation (Rule 7.3).

Q: Can a lawyer use a satisfied client's testimonial in advertising?

A: Yes, with consent and limits. The opinion concludes a lawyer may use truthful soft endorsements that describe the lawyer's client service but not the results achieved, so they do not create unjustified expectations.

Background and rules framework

The opinion applies North Carolina Rule 7.2 (advertising, including Rule 7.2(b)'s bar on giving anything of value for a recommendation), Rule 7.3 (solicitation, including Rule 7.3(a)'s limits on in-person and live telephone contact), Rule 8.5(b) (choice of law for disciplinary jurisdiction), and Rule 8.3 (reporting professional misconduct). These track the corresponding Model Rules. The recurring distinction is between permissible advertising and the prohibited solicitation of a prospective client by live contact.

Citations and references

Rules of Professional Conduct:

• MR 7.2 / NC Rule 7.2, 7.2(b) (advertising; nothing of value for a recommendation)
• MR 7.3 / NC Rule 7.3, 7.3(a) (solicitation; in-person and telephone contact)
• MR 8.5 / NC Rule 8.5(b) (disciplinary choice of law)
• MR 8.3 / NC Rule 8.3 (reporting professional misconduct)

Other opinions cited:

• NC RPC 36 (educational seminars for non-clients); NC RPC 146 (social functions for clients and non-clients).
• NC 2006 FEO 7: distribution of cards in a for-profit referral-networking organization, distinguished here.

See also

• ABA Formal Op. 501: Solicitation
• ABA Formal Op. 474: Referral Fees and Conflicts of Interest

Source

• Landing page: https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/ethics-opinions/opinions/2007-formal-ethics-opinion-4/

Original opinion text

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

Inquiry #1:

May an attorney advertise and conduct educational seminars for non-clients and, at the end of the presentation, request that the attendees complete an evaluation feedback form which includes the attendee's name, contact, and family information, as well as check boxes to indicate areas of particular interest and a desire, or not, for a free, personal consultation?

Opinion #1:

An attorney may conduct educational seminars for non-clients. See RPC 36. The attorney may advertise the seminars so long as the advertisements comply with the Rules of Professional Conduct. See Rule 7.2. The attorney may request attendees to complete an evaluation feedback form that includes the attendee's name, contact, and family information, as well as check boxes to indicate areas of particular interest. After the seminar, the attorney may not contact an attendee by in-person or telephone solicitation, but must wait for the attendee to contact the attorney. Rule 7.3(a).

Inquiry #2:

May an attorney host a purely social, non-education function for clients and non-clients, including allied professionals, at no charge to them, who have referred prospective business to the attorney?

Opinion #2:

An attorney may host a social function for existing clients, non-clients, or both. See RPC 146. The attorney may invite non-clients, provided the attorney does not solicit business from the non-clients.

Inquiry #3:

May an attorney send a restaurant or store gift certificate to a client or non-client in appreciation for a referral from that person?

Opinion #3:

No. Rule 7.2(b) prohibits a lawyer from giving anything of value to a person for recommending the lawyer's services.

Inquiry #4:

May an attorney send gifts of nominal value—such as holiday fruit baskets, flowers, or gift certificates—to existing clients or non-clients with whom the attorney has an existing professional relationship?

Opinion #4:

Yes, as long as a gift is not a quid pro quo for the referral of clients. Rule 7.2(b).

Inquiry #5:

If a client, non-client, fellow attorney, or allied professional requests one or more business cards or firm brochures from an attorney, may the attorney oblige the request?

Opinion #5:

Yes. The potential for abuse or overreaching is not present where an attorney gives multiple cards or brochures to a third party if there is no understanding that the recipient will engage in in-person solicitation on the attorney's behalf. Rule 7.3.

2006 FEO 7 is distinguishable because it deals with the distribution of business cards at a meeting of a for-profit networking organization whose stated purpose is to provide referrals to its members.

Inquiry #6:

Along with a thank-you letter from the attorney to a client for the client's having allowed the attorney to provide services to that client, may the attorney include a business card and/or firm brochure with the suggestion that the client, if so willing, pass it along to someone who the client thinks might need similar services?

Opinion #6:

Yes, so long as there is no incentive for the client to engage in in-person solicitation on the attorney's behalf. 2006 FEO 7 is distinguishable because it deals with members of a for-profit networking organization rather than a former client.

Inquiry #7:

At the conclusion of rendering services to the client, assume the attorney includes with a thank-you letter a "report card" form for the client to return, if so willing, indicating the client's level of satisfaction with various aspects of the attorney/client experience. If the client chooses to make favorable comments about the attorney or services and expressly consents to the use of those comments for the attorney's marketing purposes, may the attorney use those testimonials in any of its advertising media?

Opinion #7:

With the clients' consent, an attorney may use client endorsements if the clients' statements are truthful "soft" endorsements of the attorney's services that do not create unjustified expectations about the results that the attorney can achieve. A soft endorsement describes characteristics of the lawyer's client service and does not describe the results that the lawyer achieved for the client.

Inquiry #8:

If the attorney's office is in North Carolina but the attorney is also licensed to practice in or for clients in another state, and something is expressly allowed ethically by the other state but prohibited in North Carolina, is the attorney subject to discipline in North Carolina?

Opinion #8:

Yes, if the conduct is unethical under the North Carolina Rules of Professional Conduct and the lawyer's conduct occurred in North Carolina or the predominant effect of the conduct is in North Carolina. Rule 8.5(b)

Inquiry #9:

If any of the foregoing activities are prohibited, which ones must be reported to the State Bar pursuant to Rule 8.3?

Opinion #9:

As stated in Rule 8.3, a violation of the Rules of Professional Conduct that raises a substantial question about a lawyer's honesty, trustworthiness, or fitness must be reported to the State Bar.