NYSBA 2017-10-13

Can a law firm sponsor parties, sporting events, or raffles to promote its name?

Short answer: Yes. Sponsoring receptions, sporting events, and raffles is permissible branding outside the advertising rules if the primary purpose is name recognition. The firm may not use those occasions for in-person solicitation, and any written invitation seeking retention must comply with Rule 7.3.

Disclaimer: Advisory only. Not binding precedent.

About this page: The plain-English summary, reader guidance, and Q&A below were written by Ezel based on the official ethics opinion. The original opinion (linked at the bottom of this page) is the authoritative source for any reliance.

NY State Bar Ethics Opinion 1136: Law firm sponsorship of events

Short answer: A law firm may sponsor receptions, sporting events, and raffles or lotteries to build name recognition, and such branding is generally outside the advertising rules, but the firm may not use those occasions for in-person solicitation, and any written invitation that seeks the firm's retention must comply with Rule 7.3.

Disclaimer: This is an advisory ethics opinion. Advisory opinions are not binding; they interpret the New York Rules of Professional Conduct and are persuasive authority. This summary is for research purposes only and is not legal advice. Verify current rules before acting on any specific guidance.

About this page: The plain-English summary and Q&A below were written by Ezel based on the official opinion. We do not reproduce the opinion text on this page; follow the linked source for the official text, which controls.

View original opinion

Plain-English summary

An employment-law firm wanted to promote its name by holding a reception for members of a local labor union, sponsoring a sporting match where players wear the firm's name and a banner displays its contact information, and running a raffle whose winner must pick up the prize at the firm's office. The committee assumes (without deciding) that the events are lawful and addresses only the advertising and solicitation rules.

The threshold question is whether these activities are "advertisements" under Rule 1.0(a), defined by the communication's "primary purpose." Citing Comment [8] to Rule 7.1 and prior opinions, the committee explains that branding and general-awareness activities are not advertisements: promotional items like T-shirts and pens (Comment [8]), welcoming-package gifts (N.Y. State 937), large building signs (N.Y. State 1095), little-league sponsorships (N.Y. State 1017), and prize offers untethered to retention (N.Y. State 873) are not advertising when their primary purpose is name recognition rather than retention in a particular matter. Nothing in the Rules bars networking, social events for discrete groups, or raising the firm's profile.

But Rules 7.1 and 7.3 set boundaries on how the firm conducts these activities. The firm may not use a party or event for in-person solicitation of guests unless they fall within Rule 7.3(a)(1)'s exceptions (a close friend, relative, former client, or existing client). A written invitation to an event, lottery, or raffle that seeks the firm's retention must comply with Rule 7.3(c), including filing the written communication with disciplinary authorities and keeping recipient records for at least three years. The firm may require a prize winner to come to its office but may not use that moment to solicit the winner's legal matters, though it may, for example, use it for a press photo.

In practice

Under this opinion, a law firm's sponsorship of receptions, sporting events, and raffles or lotteries is permissible branding outside the meaning of "advertising," provided the primary purpose is name recognition and the activities do not slide into solicitation or ongoing advertising of services. The firm may not solicit event guests in person unless they are within Rule 7.3(a)(1)'s exceptions, and any written invitation seeking retention must satisfy Rule 7.3(c)'s filing and recordkeeping requirements. Requiring a prize winner to come to the office is allowed, but the firm may not use that occasion to solicit the winner's legal matters.

Common questions

Q: Is sponsoring a party or sporting event "advertising" under the Rules?

A: Generally no. When the primary purpose is general awareness and branding rather than retention in a particular matter, the activity is not an advertisement under Rule 1.0(a) and Comment [8] to Rule 7.1 (Opinion 1136 ¶¶ 5-8).

Q: May the firm's lawyers approach guests at the event to seek business?

A: Not in person, unless a guest is a close friend, relative, former client, or existing client. Rule 7.3(a)(1) bars in-person solicitation of others (¶ 9).

Q: Can the firm run a raffle and make the winner come to the office?

A: Yes, if the activity is lawful. But the firm may not use the pickup to solicit the winner's legal matters, though it may use it for, say, a publicity photo (¶ 9).

Background and rules framework

The opinion applies Rule 7.1 (Model Rule 7.1) on advertising, turning on the Rule 1.0(a) "primary purpose" definition of "advertisement" and Comment [8]'s branding examples, and Rule 7.3 (Model Rule 7.3) on solicitation, including the 7.3(a)(1) in-person ban and its exceptions and the 7.3(c) filing and recordkeeping duties.

Citations and references

Rules of Professional Conduct:

New York Rule 7.1 and Comment [8] (Model Rule 7.1): advertising; branding is not advertising
New York Rule 7.3(a)(1), (c) (Model Rule 7.3): in-person solicitation ban; filing and records
New York Rule 1.0(a): definition of "advertisement" by primary purpose

Other opinions cited:

N.Y. State 937 (2012): branded gifts in a hospital welcome package are not advertising
N.Y. State 1095 (2016): large building signs are branding, not advertising
N.Y. State 1017 (2014): little-league team sponsorship; firm initials not a trade name
N.Y. State 873 (2011): offering a prize for social-media engagement is not advertising

Source

Landing page: https://nysba.org/ethics-opinion-1136/