When a lawyer announces opening a practice by letter, do the direct-mail solicitation rules apply?
Ohio BPC Opinion 2006-004: Announcing the Opening of a Law Practice and the Direct-Mail Solicitation Rules
Short answer: The opinion concluded that a new-practice announcement to fellow bar members is not subject to the DR 2-101(F)(2) direct-mail rules, but a personalized letter to potential clients in the lawyer's practice areas is.
Disclaimer: This is an advisory ethics opinion. Advisory opinions are not binding; they interpret the Ohio Board of Professional Conduct's 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. The opinion text is reproduced at the bottom; the official source (linked) controls.
Currency note
This opinion was issued in 2006, before Ohio's adoption of the Ohio Rules of Professional Conduct (effective February 1, 2007). The Board flagged it as a "CPR Opinion" because it interprets the former Ohio Code of Professional Responsibility, since superseded. Lawyer advertising and direct solicitation are now addressed by Ohio Prof. Cond. R. 7.2 and 7.3. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule or requirement mentioned here.
Plain-English summary
The Board addressed how a lawyer may announce the opening of a law practice. It concluded that in announcing the opening, an attorney may send an announcement card and a biography to members of the bar, to business entities, and to others. That general announcement is permissible.
The Board then distinguished the recipients of a personalized letter. If the attorney announces the opening by sending a personalized letter and a biography to fellow members of the bar, the letter is not subject to the requirements for direct-mail solicitation in DR 2-101(F)(2). But if the attorney sends a personalized letter and biography to business entities or others that might need legal services in the areas of law in which the attorney will practice, the letter is subject to the DR 2-101(F)(2) direct-mail solicitation requirements. The difference turns on whether the personalized letter targets potential clients.
Common questions
Q: Can a lawyer mail announcement cards when opening a practice?
A: Yes. The opinion concluded a lawyer may send an announcement card and biography to members of the bar, business entities, and others.
Q: Does a personalized opening letter to other lawyers trigger the direct-mail rules?
A: No. Per the opinion, a personalized letter and biography to fellow bar members is not subject to the DR 2-101(F)(2) direct-mail solicitation requirements.
Q: What about a personalized letter to potential clients?
A: It is subject to the rules. The opinion concluded a personalized letter to business entities or others who might need legal services in the lawyer's practice areas must comply with DR 2-101(F)(2).
Background and rules framework
The opinion interprets former Ohio Code of Professional Responsibility DR 2-101(F)(2) (requirements for targeted direct-mail solicitation) and DR 2-102 (announcement cards and letterhead). The current analogues are Ohio Prof. Cond. R. 7.2 (advertising) and 7.3 (direct contact with prospective clients) (Model Rules 7.2, 7.3).
Citations and references
Rules of Professional Conduct:
- Former Ohio Code of Professional Responsibility DR 2-101(F)(2), DR 2-102
- Current analogues: Ohio Prof. Cond. R. 7.2, 7.3 (Model Rules 7.2, 7.3)
See also
- Ohio BPC Op. 2004-001: Unsolicited E-Mail Advertising of Legal Services as Targeted Direct Mail
- Ohio BPC Op. 1993-005: Telephone Directory Classified Listings and Display Ads
- Ohio BPC Op. 2002-007: Advertising Past Settlement or Verdict Amounts
Source
- Landing page: https://ohioadvop.org/advisory-opinion-index/
- Original PDF: https://www.ohioadvop.org/wp-content/uploads/2017/04/Op-06-004.pdf
Original opinion text
Reproduced from the official source for research purposes. The linked source is authoritative.
The Supreme Court of Ohio
BOARD OF COMMISSIONERS ON GRIEVANCES AND DISCIPLINE
65 SOUTH FRONT STREET, 5TH FLOOR, COLUMBUS, OH 43215-3431
(614) 387-9370 (888) 664-8345 FAX: (614) 387-9379
www.sconet.state.oh.us
OFFICE OF SECRETARY
OPINION 2006-4
Issued April 7, 2006
[CPR Opinion-provides advice under the Ohio Code of Professional Responsibility which is
superseded by the Ohio Rules of Professional Conduct, eff. 2/1/2007.]
SYLLABUS: In announcing the opening of a law practice, an attorney may send
an announcement card and a biography to members of the bar, business entities,
and others. If the attorney wishes to announce the opening of a law practice by
sending a personalized letter and a biography to fellow members of the bar, the
letter is not subject to the requirements for direct mail solicitation in DR 2-
101(F)(2). But, if an attorney wishes to announce the opening of a law practice by
sending a personalized letter and a biography to business entities or others that
might need legal services in the areas of law in which the attorney will practice,
the letter is subject to the requirements for direct mail solicitation in DR 2-
101(F)(2).
OPINION: This opinion addresses a question regarding an attorney’s use of a
personalized letter to announce the opening of a law practice.
In announcing the opening of a law practice, is it proper for an
attorney to send a personalized letter and a biography to members
of the bar and to business entities that might need legal services in
the areas of law in which the attorney will practice? If a
personalized letter may be used to announce the opening of a law
practice must the letter comply with the DR 2-101(F)(2)
requirements for targeted direct mail solicitation?
Announcement of a new or changed law practice is addressed in DR 2-102(A)(2)
of the Ohio Code of Professional Responsibility.
DR 2-102(A) A lawyer or law firm may use or participate in the use
of professional cards, professional announcement cards, office
signs, letterheads, or similar professional notices or devices that are
in dignified form and comply with the following:
(2) A brief professional announcement card stating new or
changed associations or addresses, change of firm name, sale
of a law practice, or similar matters pertaining to the
professional offices of a lawyer or law firm. It shall not state
the nature of the practice except as permitted under DR 2-
105.
Op. 2006-4 2
Dissemination of biographical and informational data regarding an attorney and
a law firm is addressed in DR 2-101(B)(3).
DR 2-101(B) Subject to the limitations contained in these rules:
(3) Brochures or pamphlets containing biographical and
informational data that is acceptable under these rules may
be disseminated directly to clients, members of the bar, or
others.
Information presumed to be informational and acceptable for dissemination is
identified and listed in DR 2-101(D)(1)-(14) and includes such things as schools
attended, teaching positions held, authored publications, memberships in bar
associations and professional organizations, etc.
Thus, attorneys are given a wide berth to disseminate a brief announcement card
regarding a new or changed law practice and to disseminate biographical and
informational data regarding an attorney or a law firm.
A wide berth is not given to sending personalized letters. When a personalized
letter (a letter addressed specifically to a person or business by name) is sent to
announce a law practice or is sent along with other information such as an
announcement card or a biography the application of targeted direct mail
solicitation restrictions must be considered.
The requirements for targeted direct mail solicitation are in DR 2-101(F)(2).
DR 2-101(F)(2) A lawyer or law firm may engage in written
solicitation by direct mail addressed to persons or groups of
persons who may be in need of specific legal service by reason of a
circumstance, condition, or occurrence that is known or, upon
reasonable inquiry, could be known to the soliciting lawyer or law
firm, provided the letter of solicitation:
(a) Discloses accurately and fully the manner in which the
lawyer or law firm became aware of and verified the
identity and specific legal need of the addressee;
(b) Disclaims any prior acquaintance or contact with the
addressee and avoids any personalization in approach
unless the facts are otherwise;
(c) Disclaims or refrains from expressing any predetermined
evaluation of the merits of the addressee's case;
(d) Conforms to standards required by these rules with
respect to information acceptable for inclusion in media
advertising by lawyers and law firms;
Op. 2006-4 3
(e) Includes in its text and on the envelope in which mailed,
in red ink and in type no smaller than 10 point, the
recital -"ADVERTISEMENT ONLY."
(3) The provisions of division (F)(2) of this rule shall not apply to
organizations defined in DR 2-103(D)(1).
Other restrictions on targeted direct mail solicitation are found in DR 2-101(F)(4)
(addressing solicitation to parties named defendants in civil actions) and DR 2-
101(H)(1) (addressing solicitation regarding potential claims for personal injury
and wrongful death).
Announcing the opening of a law practice through a personalized letter to
business entities who may need legal services in the attorneys areas of legal
practice triggers the requirements for direct mail solicitation in DR 2-101(F)(2).
It is in essence a solicitation by direct mail addressed to persons or groups of
persons who may be in need of specific legal service by reason of a circumstance,
condition, or occurrence that is known or, upon reasonable inquiry, could be
known to the soliciting lawyer or law firm, provided the letter of solicitation. The
lawyer is not sending a general mailing to all businesses, if so he or she would not
use a personalized letter. The attorney is targeting businesses needing legal
services in areas that the attorney practices.
Announcing the opening of a law practice through a personalized letter to
members of the bar does not trigger the requirements for direct mail solicitation
in DR 2-101(F)(2). The letter is going to a group who practices law, not a group
in need of legal services.
Thus, the Board advises as follows. In announcing the opening of a law practice,
an attorney may send an announcement card and a biography to members of the
bar, business entities, and others. If the attorney wishes to announce the opening
of a law practice by sending a personalized letter and a biography to fellow
members of the bar, the letter is not subject to the requirements for direct mail
solicitation in DR 2-101(F)(2). But, if an attorney wishes to announce the
opening of a law practice by sending a personalized letter and a biography to
business entities or others that might need legal services in the areas of law in
which the attorney will practice, the letter is subject to the requirements for direct
mail solicitation in DR 2-101(F)(2).
Advisory Opinions of the Board of Commissioners on Grievances and
Discipline are informal, nonbinding opinions in response to
prospective or hypothetical questions regarding the application of the
Supreme Court Rules for the Government of the Bar of Ohio, the
Supreme Court Rules for the Government of the Judiciary, the Code
of Professional Responsibility, the Code of Judicial Conduct, and the
Attorney’s Oath of Office.
Op. 2006-4 4