May I walk around my office neighborhood and personally solicit legal business from local business owners, leaving a letter?

Plain-English summary

The inquiring attorney, having relocated the law office, proposes to walk the office neighborhood to introduce himself or herself to owners and operators of local businesses and solicit their legal work, leaving with each a letter on office stationery that introduces the lawyer, notes community involvement, and lists practice areas. The lawyer asked whether the proposal is permissible.

The panel concluded it is. Rule 7.3(a) prohibits in-person, live-telephone, or real-time electronic solicitation of a prospective client when a significant motive is the lawyer's pecuniary gain, but it excepts several categories of contact, including where the person contacted "is a business organization, a not-for-profit organization, or governmental body and the lawyer seeks to provide services related to the organization." Because the lawyer proposes to contact business owners and operators, the business-organization exception applies.

The panel added that the letter the lawyer proposes to leave is in the nature of an advertisement. To comply with Rule 7.2 (Advertising), the lawyer must forward a copy of the letter to disciplinary counsel and otherwise comply with Rule 7.2(b).

In practice

Under this opinion, in-person solicitation that would otherwise be barred by Rule 7.3(a) is permitted when the person solicited is a business organization and the lawyer seeks to provide services related to that organization. The panel held the neighborhood business owners fall within that exception. It also held that the accompanying letter is an advertisement, so Rule 7.2 applies and the lawyer must forward a copy to disciplinary counsel and otherwise comply with Rule 7.2(b).

Common questions

Q: Does Rule 7.3 always bar walking up to prospective clients in person?

A: No. The panel applied the exceptions in Rule 7.3(a), which permit in-person contact where the person is a lawyer, has a family, close personal, or prior professional relationship with the lawyer, or is a business organization, not-for-profit, or governmental body and the lawyer seeks work related to the organization.

Q: Why could the lawyer solicit these business owners in person?

A: Because they are business organizations. The panel concluded that Rule 7.3(a)(3)'s exception for business organizations covers in-person solicitation of business owners and operators for related legal services.

Q: Do the rules impose anything on the letter left with the businesses?

A: Yes. The panel concluded the letter is in the nature of an advertisement, so under Rule 7.2 the lawyer must forward a copy to disciplinary counsel and otherwise comply with Rule 7.2(b).

Background and rules framework

The opinion applies Rule 7.3 (Model Rule 7.3, direct contact with prospective clients) and Rule 7.2 (Model Rule 7.2, advertising). Rule 7.3(a), as then in force in Rhode Island, prohibits in-person, live-telephone, or real-time electronic solicitation for pecuniary gain, subject to exceptions for lawyers, persons with a family, close personal, or prior professional relationship, and business, not-for-profit, or governmental organizations for related services. Rule 7.2 governs advertising and, per Rule 7.2(b), requires that a copy of an advertising communication be forwarded to disciplinary counsel.

Citations and references

Rules of Professional Conduct:

• MR 7.3 (direct contact with prospective clients; business-organization exception in 7.3(a)(3))
• MR 7.2 (advertising; 7.2(b))
• RI RPC 7.3, RI RPC 7.2

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• RI EAP Op. 2016-07: Lawyer-to-Lawyer Referral Emails Are Not Solicitation or Advertising
• RI EAP Op. 2025-03: Firm May Include Non-Lawyer Business Partner Ads in Its Publication

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%2019-01.pdf

Original opinion text

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

Rhode Island Supreme Court
Ethics Advisory Panel Op. 2019-01
Issued June 18, 2019

FACTS

The inquiring attorney, whose law office has relocated, proposes to walk around his/her law office neighborhood to introduce himself/herself to owners and operators of local businesses for the purpose of soliciting their legal business. He/she plans to leave a letter written on his office stationery with the businesses when he visits. He/she has submitted a copy of the letter to the Panel. In the letter the inquiring attorney introduces himself/herself, states his/her involvement with the community, and lists areas of his/her law practice. The inquiring attorney asks whether the proposal is permissible under the Rules of Professional Conduct.

ISSUE PRESENTED

May a lawyer make in-person contact with business owners and operators in his law office neighborhood to solicit professional employment?

OPINION

Yes. Rule 7.3, which prohibits in-person contact with prospective clients for solicitation of professional employment, contains an exception for business organizations.

REASONING

Rule 7.3(a) of the Rules of Professional Conduct which prohibits in-person solicitation of prospective clients, contains an exception for businesses. The Rule states in pertinent part as follows:

Rule 7.3. Direct contact with prospective clients. (a) A lawyer shall not by in-person, live telephone or real-time electronic contact solicit professional employment from a prospective client when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain, unless the person contacted:
(1) is a lawyer;
(2) has a family, close personal, or prior professional relationship with the lawyer; or
(3) is a business organization, a not-for-profit organization, or governmental body and the lawyer seeks to provide services related to the organization.

The inquiring attorney may make in-person contact with business owners and operators in his law office neighborhood to introduce himself and to solicit professional employment. The letter he/she proposes to leave with the businesses is in the nature of an advertisement. In compliance with Rule 7.2 entitled "Advertising," the inquiring attorney must forward a copy of the letter to disciplinary counsel, and must otherwise comply with paragraph (b) of Rule 7.2.