Can I send bar members and the Rhode Island Lawyer's Weekly an announcement about my Superior Court arbitration credentials, describing myself as 'Practicing only as Neutral'?

Plain-English summary

An attorney asked the panel whether he could distribute an announcement to members of the bar and whether it could properly be published in the Rhode Island Lawyer's Weekly. The announcement, directed to Rhode Island attorneys with litigation practices, summarized the Superior Court rule mandating arbitration and then listed the inquiring attorney's credentials and affiliations. It included the statement that the attorney was "Practicing only as Neutral," and it properly indicated that Rhode Island does not have a procedure for certification or recognition of specialization by lawyers.

The panel quoted Rule 7.1, which bars a false or misleading communication about a lawyer's services, including one that contains a material misrepresentation of fact or law or omits a fact necessary to make the statement, considered as a whole, not materially misleading, and Rule 7.4, which allows a lawyer to communicate whether the lawyer does or does not practice in particular fields of law but bars indicating that a practice is limited to or concentrated in particular fields unless the communication also discloses that Rhode Island has no specialization-certification procedure. The panel stated it was unclear as to the meaning of the word "Neutral" in the phrase "Practicing Only as Neutral" and accordingly declined to approve that particular phrase as proper under Rule 7.1. Excluding that phrase, the panel took the position that the announcement was permissible under the Rules of Professional Conduct, but stressed that its conclusion would differ considerably if the announcement were circulated beyond members of the legal community. The panel reasoned that Rules 7.2 and 7.3, with their additional requirements and restrictions, are intended to protect laypersons and are not activated by communications from one attorney solely and specifically to fellow attorneys.

Currency note

This opinion was issued in July 1989, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rules 7.1, 7.2, 7.3, and 7.4 as originally adopted. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process. 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 mentioned here.

Common questions

Q: Do the advertising rules for laypersons apply to announcements sent only to other lawyers?

A: Not the full set, according to this opinion. The panel held that Rules 7.2 and 7.3, with their additional requirements and restrictions, are intended to protect laypersons and are not activated by communications from one attorney solely and specifically to fellow attorneys.

Q: Can I describe myself as having a practice limited to arbitration or a similar field?

A: Under Rule 7.4 as applied here, yes, but only if the communication also discloses that Rhode Island has no procedure for certification or recognition of specialization by lawyers, which the announcement in this opinion properly did.

Q: Why did the panel reject the term "Practicing Only as Neutral"?

A: The panel stated it was unclear as to the meaning of the word "Neutral" in that phrase and accordingly declined to approve it as proper under Rule 7.1's bar on false or misleading communications.

Q: Would this same announcement be approved if sent to the general public instead of just lawyers?

A: The opinion says the panel's analysis "would differ considerably if the announcement were to be expressly circulated beyond members of the legal community," without deciding what that different analysis would produce.

Background and rules framework

The opinion applies Rule 7.1 (false or misleading communications), Rule 7.4 (communication of fields of practice), and, by way of contrast, Rules 7.2 and 7.3 (advertising and direct-contact solicitation rules aimed at protecting laypersons) of the Rhode Island Rules of Professional Conduct, as adopted effective November 15, 1988, to an announcement of an attorney's court-annexed arbitration credentials circulated only to fellow litigation attorneys.

Citations and references

Rules of Professional Conduct:

• MR 7.1 (communications concerning a lawyer's services)
• MR 7.2 (advertising)
• MR 7.3 (direct contact with prospective clients)
• MR 7.4 (communication of fields of practice)
• RI RPC 7.1, RPC 7.2, RPC 7.3, and RPC 7.4, as adopted November 15, 1988

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• ABA Formal Opinion 518: Lawyer-Mediator Misleading Communications
• RI EAP Opinion 88-29: Reconsideration of Opinion 88-22 Under the New Model Rule 7.3

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%2089-17.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

DIGEST OF ETHICS ADVISORY PANEL
OPINION #89-17, REQUEST #63
Issued July 20, 1989

An attorney seeks Panel advice concerning whether or not he may distribute a certain announcement to members of the bar. The attorney also asks whether the announcement may be properly published in the Rhode Island Lawyer's Weekly.

The announcement the attorney has enclosed is directed to Rhode Island attorneys with litigation practices. It summarizes the Superior Court Rule mandating arbitration and then lists the inquiring attorney's credentials and affiliations. The announcement includes the statement that the attorney is "Practicing only as Neutral." The announcement properly indicates that "Rhode Island does not have a procedure for certification or recognition of specialization by lawyers."

Rule 7.1 is titled "Communications Concerning a Lawyer's Services" and states, in pertinent part that

A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it:

(a) contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole materially misleading . . .

Rule 7.4 titled Communications of Fields of Practice provides, in pertinent part:

A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. A lawyer may not however, indicate that his or her practice is limited to or concentrated in particular fields of law unless, as part of the same communication the lawyer also indicates that Rhode Island does not have a procedure for certification or recognition of specialization by lawyers.

The Panel is unclear as to the meaning of the word "Neutral" in the phrase "Practicing Only as Neutral." The Panel accordingly declines to approve this particular phrase as proper under Rule 7.1.

In taking the position that this announcement, excluding the caveat noted above, is permissible under the Rules of Professional Conduct, the Panel must stress that this opinion would differ considerably if the announcement were to be expressly circulated beyond members of the legal community. The Panel takes the position that Rules 7.2 and 7.3 with the additional requirements and restrictions set forth therein are intended to protect laypersons and are not activated by communications from one attorney solely and specifically to his or her fellow attorneys.

Ethics Advisory Panel advice is protective in nature. There is no requirement that an attorney abide by a Panel opinion, but if he or she does, he or she is fully protected from any charge of impropriety.