I'm a sole practitioner and I also volunteer as a court mediator. Can I rename my firm 'Smith Law and Mediation' to promote both services?

Plain-English summary

The inquiring attorney, a sole practitioner also licensed as a mediator, had practiced law and provided volunteer mediation services in state district courts under the name "Smith Law Offices." The attorney wanted to rename the firm "Smith Law and Mediation" to promote the mediation practice and to more accurately reflect the services offered.

The panel applied Rule 7.5(a), which bars a firm name, letterhead, or other professional designation that violates Rule 7.1's prohibition on false or misleading communications about a lawyer's services, including truthful statements that are misleading. The panel concluded that including "Mediation" in a law firm name is misleading because it implies that both the practice of law and the mediation practice are regulated by, and under the jurisdiction of, the Rhode Island Supreme Court. While the Court has exclusive jurisdiction over the practice of law and jurisdiction over court-annexed arbitrations and court-sponsored mediations, it does not regulate private mediation and arbitration practices. The panel drew a parallel to newly adopted Rule 2.4 (Lawyer Serving as Third-Party Neutral), which requires a lawyer-neutral to inform unrepresented parties that the lawyer does not represent them, and, in some cases, to explain the difference between the lawyer's neutral role and the lawyer's role as an advocate; the panel found that including "Mediation" in the firm name presents the same kind of confusion the newly adopted rule was designed to address.

In practice

The opinion holds that, under the Rhode Island rules as they stood at the time of the opinion, a law firm name combining "Law" with "Mediation" is misleading under Rule 7.1 because it suggests the lawyer's private mediation services are subject to the same Supreme Court regulation as the practice of law, when the Court's jurisdiction over mediation is limited to court-annexed arbitrations and court-sponsored mediations and does not extend to private mediation practice.

Common questions

Q: Can I add "Mediation" to my law firm's name if I'm a licensed mediator?

A: Not according to this opinion. The panel found that combining "Law" and "Mediation" in a firm name is misleading under Rule 7.1 because it implies Supreme Court regulation of the mediation practice that does not exist.

Q: Why does the panel see this combination as misleading rather than just descriptive?

A: The opinion explains that the law firm name implies both the law practice and the mediation practice are regulated by, and under the jurisdiction of, the Rhode Island Supreme Court, but the Court's jurisdiction extends only to court-annexed arbitrations and court-sponsored mediations, not to private mediation and arbitration practices generally.

Q: Does this connect to any other rule about lawyers acting as mediators?

A: Yes. The opinion draws on newly adopted Rule 2.4, which requires a lawyer serving as a third-party neutral to clarify the lawyer's non-representative role to unrepresented parties; the panel views the firm-name confusion as presenting a similar risk of misunderstanding a lawyer's dual roles.

Background and rules framework

The opinion interprets Rhode Island Rule 7.5(a) (Firm Names and Letterheads), which tracks Model Rule 7.5(a) and prohibits a firm name that violates Rule 7.1 (Communications Concerning a Lawyer's Services), including truthful statements that are misleading per Rule 7.1 Comment 2. The panel also references newly adopted Rule 2.4 (Lawyer Serving as Third-Party Neutral) by analogy.

Citations and references

Rules of Professional Conduct:

• MR 7.1 (communications concerning a lawyer's services; truthful statements that are misleading)
• MR 7.5(a) (firm names and letterheads; trade names)
• MR 2.4 (lawyer serving as third-party neutral, cited by analogy)

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• ABA Formal Op. 518: A Lawyer's Duties to Avoid Misleading Communications When Acting as a Third-Party Neutral Mediator
• Alabama Bar Op. 1990-100: Lawyer or Law Firm Operating Under Trade Name Must Include Trade Name in All Other Permissible Communications
• Arizona Bar Op. 96-01: Mediation; Divorce

Source

• Landing page: https://www.courts.ri.gov/attorney-resources/Pages/Ethics-Advisory-Panel-default.aspx
• Original PDF: https://www.courts.ri.gov/Opinions/EAP%202008-01.pdf

Original opinion text

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

Final

               Rhode Island Supreme Court Ethics Advisory Panel
                     Opinion No. 2008-01 Request No. 949
                              Issued June 5, 2008

Facts:

    The inquiring attorney practices law as a sole practitioner. The inquiring attorney

states that he/she also is licensed as a mediator, and has been practicing law and
providing mediation services as "Smith Law Offices." Thus far, the inquiring attorney's
mediation work has been as a volunteer in state district courts. The inquiring attorney
wishes to change the name of his/her firm to "Smith Law and Mediation" in order to
promote his/her mediation practice. He/she states that the proposed law firm name more
accurately reflects the services he/she provides.

Issue Presented:

   May an attorney who is a sole practitioner and who both practices law and

provides mediation services use "Smith Law and Mediation" as the law firm name?

Opinion:

   The inquiring attorney, a sole practitioner who is both engaged in the practice of

law and provides mediation services, may not use "Smith Law & Mediation" as a law
firm name.

Reasoning:

    Rule 7.1 of the Rules of Professional Conduct prohibits firm names, letterhead,

and all communications about a lawyer's services from being false or misleading.
Truthful statements that are misleading are also prohibited. Rule 7.1 Comment [2]. Rule
7.5(a) states in pertinent part:

         Rule 7.5 Firm names and letterheads. - (a) A lawyer shall not use a
     firm name, letterhead or other professional designation that violates Rule
     7.1. A trade name may be used by a lawyer in private practice if it does
     not imply a connection with a government agency or with a public or
     charitable legal services organization and is not otherwise in violation of
     Rule 7.1.

Final 2008-01
June 5, 2008
Page 2 of 2

    The Panel is of the opinion that inclusion of "Mediation," a law-related service, in

a law firm name is misleading. The law firm name, "Smith Law and Mediation," implies
that both the practice of law and mediation practice are regulated by, and are under the
jurisdiction of the Rhode Island Supreme Court. While the Court has exclusive
jurisdiction over the practice of law, and has jurisdiction over court-annexed arbitrations
and court-sponsored mediations, it does not regulate private mediation and arbitration
practices.

     The confusion that the Panel believes results from including "Mediation" in the

inquiring attorney's law firm name is related to that which is addressed in newly adopted
Rule 2.4 entitled "Lawyer serving as third-party neutral." So significant is the confusion
that can arise when a lawyer serves as a third-party neutral, that the Supreme Court saw
fit to add Rule 2.4 to the Rules of Professional Conduct, which requires lawyer-neutrals
to inform unrepresented parties that the lawyer does not represent them. In some cases,
the lawyer-neutral is required to explain the difference between a lawyer's role as a third-
party neutral, and a lawyer's role as one who represents a client. Rule 2.4(b). To include
the word "Mediation" in the inquiring attorney's law firm name presents a similar
opportunity for confusion. In short, "Smith Law and Mediation" is misleading.

    The Panel concludes that the inquiring attorney, a sole practitioner who both

practices law and provides mediation services, may not use "Smith Law and Mediation"
as a law firm name.