When a lawyer leaves a firm, can the departing lawyer and the firm contact the lawyer's clients about the change, and may either later solicit former clients?

Plain-English summary

The opinion addressed a lawyer who had been the sole attorney in a firm's satellite office and then resigned to open his own practice. It answered five inquiries about who could contact his clients. As to clients he was representing when he left, the opinion concluded the departing lawyer may personally contact, telephone, or write them, because both he and the remaining firm lawyers have an obligation to ensure the representation continues (RPC 48). The notice should inform each client of the departure and of the right to freely choose counsel (Rule 6(b)), specifically that the client may keep the departing lawyer, have another firm lawyer take over, or hire an outside firm, and that the client must instruct the firm on disposition of the file if the representation moves (Rule 2.8(a)(2)); the preferred method is a joint notice agreed on by the departing and remaining lawyers.

As to former clients whose matters were already complete, the opinion concluded the departing lawyer may contact them to solicit employment, because Rule 2.4(a) bars in-person or live telephone solicitation only where the lawyer has no family or prior professional relationship with the prospective client, and a prior professional relationship means an actual attorney-client relationship (RPC 98), subject to the Rule 2.4(b) limits against soliciting a client who has asked not to be solicited or through coercion or harassment. The opinion concluded the firm may likewise designate a member to notify the departing lawyer's current clients of the departure and their right to choose counsel; that contact is not improper solicitation under Rule 2.4(a) or (c) because those clients are the firm's existing clients, not prospective clients, and the remaining lawyers have an obligation to ensure continued or responsibly transferred representation. To the extent RPC 48 or RPC 98 implied a firm lawyer could not contact those clients absent a personal professional relationship, the opinion overruled them. The firm may also solicit former clients whose matters had ended, and a client who notified the firm of new counsel, subject to Rule 2.4(b).

Currency note

This opinion was issued in 1995, before the North Carolina State Bar's adoption of the 2003 revisions to the Rules of Professional Conduct. 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 departing lawyer contact the clients he was handling when he left?

A: Yes. The opinion concluded he may contact them to report his departure and advise them of the right to freely choose counsel, because he and the firm share an obligation to ensure the representation continues.

Q: What must the notice to clients tell them?

A: Their options and file rights. The opinion concluded the notice should advise each client of the departure, the right to keep the departing lawyer, switch to another firm lawyer, or hire an outside firm, and the need to instruct the firm about the file if the representation moves.

Q: Can the departing lawyer solicit former clients whose matters are finished?

A: Yes. The opinion concluded that because he had a prior professional relationship with them, Rule 2.4(a) does not bar in-person or phone solicitation, subject to the Rule 2.4(b) anti-harassment limits.

Q: Can the firm contact those clients too?

A: Yes. The opinion concluded the firm may designate a lawyer to notify the departing lawyer's current clients, which is not improper solicitation because they are existing firm clients, and overruled prior opinions implying otherwise.

Background and rules framework

The opinion applied North Carolina's then-current Rule 6(b) on the client's right to choose counsel and Rule 2.8(a)(2) on handling the client file (corresponding to Model Rules 5.6 and 1.16), and Rule 2.4(a), (b), and (c) on solicitation (corresponding to Model Rule 7.3). It read "prior professional relationship" through RPC 98 and partially overruled RPC 48 and RPC 98.

Citations and references

Rules of Professional Conduct:

• MR 5.6 (restrictions on right to practice; client's choice of counsel)
• MR 7.3 (solicitation of clients)
• MR 1.16 (declining or terminating representation; client file)
• North Carolina Rule 6(b), Rule 2.8(a)(2), Rule 2.4(a), Rule 2.4(b)

Other opinions cited:

• RPC 48 (notice on a lawyer's departure from a firm; partially overruled)
• RPC 98 (meaning of prior professional relationship; partially overruled)

See also

• NC Ethics Op. RPC 98: solicitation based on prior professional relationships
• NC Ethics Op. RPC 209: disposing of closed client files

Source

• Landing page: https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/ethics-opinions/opinions/rpc-200/

Original opinion text

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

Inquiry #1:

ABC Law Firm has several offices across the state. For many years, Attorney D was the sole attorney present in ABC Law Firm's satellite office in Little City. While he worked for ABC Law Firm, the clients for whose matters Attorney D was responsible were almost exclusively residents of Little City. These clients were not referred to Attorney D by other members of ABC Law Firm nor did the other members of ABC Law Firm assist with the representation of these clients.

Attorney D recently resigned from ABC Law Firm in order to set up his own law practice. He would like to telephone or go to see the clients that he was representing at the time of his departure from ABC Law Firm in order to inform these clients that he is no longer with the firm and to advise each client of the client's options with regard to the continuation of the client's representation. May Attorney D contact these clients for this purpose?

Opinion #1:

Yes, Attorney D may personally contact, telephone or write to the clients for whose work he was responsible at the time of his departure from the firm. Together with the lawyers remaining with ABC Law Firm, Attorney D has an obligation to ensure that the representation of these clients continues despite his departure from the firm. RPC 48. Notice, either written or in-person, should be given to each such client informing the client of Attorney D's departure from the firm and advising the client of the right freely to choose counsel. Rule 6(b) of the Rules of Professional Conduct. Specifically, the client should be advised that he or she has the option of retaining Attorney D as his or her lawyer, requesting that another lawyer with ABC Law Firm take over the representation, or engaging a lawyer from another firm. The notice should also advise the client that he or she will need to instruct ABC Law Firm with regard to the disposition of the client's file if the client chooses to move his or her representation to another law firm. Rule 2.8(a)(2).

The preferred method of advising clients of the departure of a lawyer or lawyers from a law firm is by the sending of a notice upon which the remaining and departing lawyers agree and which clearly informs the clients of their right freely to choose counsel. See RPC 48.

Inquiry #2:

May Attorney D call or personally visit clients for whose work he was responsible while he was a lawyer with ABC Law Firm but whose representation was complete at the time of his departure from the firm if the primary purpose of his contact with these former clients is to solicit employment?

Opinion #2:

Yes. Rule 2.4(a) only prohibits in-person or live telephone contact to solicit professional employment from a prospective client if the lawyer has no family or prior professional relationship with the prospective client. A "prior professional relationship"means "that the subject attorney actually was involved in a personal attorney-client relationship with the prospective client." RPC 98. Such communication should be in compliance with Rule 2.4(b) which prohibits solicitation by written, recorded or in-person communications even when not otherwise prohibited by Rule 2.4(a) if the client has made known to the lawyer a desire not to be solicited by the lawyer or the solicitation involves coercion, duress, harassment, etc.

Inquiry #3:

May the other lawyers in ABC Law Firm telephone or visit the clients whose legal matters were being handled by Attorney D at the time of his departure in order to advise the clients of Attorney D's departure and to discuss their representation?

Opinion #3:

Yes, the firm may designate a member of the firm who will be responsible for notifying the clients of the departure of Attorney D and advising them of the right freely to choose counsel as described in opinion #1 above.

Such verbal or written contact with these clients is not improper solicitation of prospective clients in violation of Rule 2.4(a) or (c) because the clients are not prospective clients of the firm. With regard to such clients, the remaining lawyers with ABC Law Firm have an obligation to ensure that the representation of each client continues or is responsibly transferred to an outside lawyer chosen by the client. To the extent that RPC 48 or RPC 98 imply that a member of ABC Law Firm would be prohibited under these circumstances from contacting any of the clients whose matters were being handled by Attorney D at the time of his departure from the firm unless such a lawyer had a personal professional relationship with the client, RPC 48 and RPC 98 are overruled.

Inquiry #4:

If their purpose is to solicit professional employment, may the lawyers remaining with ABC Law Firm telephone or visit clients for whose work Attorney D was responsible prior to his departure from ABC Law Firm but whose representation had ended prior to the time that Attorney D left the firm?

Opinion #4:

Yes, provided such communication does not violate Rule 2.4(b). See opinion #3.

Inquiry #5:

May the lawyers remaining with ABC Law Firm use written, telephone or in-person communications to solicit professional employment from a client whose active file was being handled by Attorney D at the time of his departure if the client has notified the firm that he or she has obtained other legal counsel and no longer needs the services of the firm?

Opinion #5:

Yes, provided such communication does not violate Rule 2.4(b). See opinion #3.