I want to mail prospective clients a letter about bankruptcy and debt collection. How must I label it and what disclaimer does it need?

Plain-English summary

The inquiring attorney sought advice concerning the ethical propriety of a letter the attorney intended to send to prospective clients concerning bankruptcy and the collection of delinquent debts.

The panel quoted Rule 7.3(b)(1)(a), which requires that the attorney's proposed letter be plainly marked "advertisement" on the face of the envelope and at the top of each page of the written communication, in type one size larger than the largest type used in the written communication. The panel took the position that the proposed letter did not comply with Rule 7.3, because the word "advertisement" in the upper right corner was printed in type that was not larger than the largest type used in the letter and was much lighter than the print used in the letter.

The panel further concluded that the proposed letter must contain the Rule 7.4 disclaimer: "Rhode Island does not have a procedure for certification or recognition of specialization by lawyers."

Currency note

This opinion was issued in 1991, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rules 7.3 and 7.4 as then in force. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process, and the solicitation and specialization rules have been amended since. 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 Treat this page as historical context, not current guidance.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: How must a lawyer's solicitation letter be marked?

A: Under this opinion and Rule 7.3(b)(1)(a), the letter must be plainly marked "advertisement" on the envelope and at the top of each page, in type one size larger than the largest type used in the letter.

Q: Why did the proposed letter fail?

A: The panel found the "advertisement" marking in the upper right corner was not larger than the largest type used and was much lighter than the letter's print, so it did not comply with Rule 7.3.

Q: Does the letter need a specialization disclaimer?

A: Yes. The panel concluded the letter must include the Rule 7.4 disclaimer that Rhode Island has no procedure for certification or recognition of specialization by lawyers.

Background and rules framework

The opinion applies Rule 7.3 (Direct Contact With Prospective Clients) and Rule 7.4 (Communication of Fields of Practice), corresponding to Model Rules 7.3 and 7.4. Rule 7.3(b)(1)(a) sets the "advertisement" marking and type-size requirements the panel applied, and Rule 7.4 supplies the Rhode Island-specific specialization disclaimer the panel required in the letter.

Citations and references

Rules of Professional Conduct:

• MR 7.3 (solicitation of clients / direct contact with prospective clients)
• MR 7.4 (communication of fields of practice)
• RI RPC 7.3(b)(1)(a)
• RI RPC 7.4

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• RI EAP Op. 91-24: Mailing Victims' Compensation Fund Claimants
• RI EAP Op. 91-17: A Divorce Booklet Ad and the Specialization Disclaimer
• RI EAP Op. 95-45: Marketing Letters Must Say Advertisement

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%2091-25.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 #91-25
Issued May 23, 1991

An attorney seeks Panel advice concerning the ethical propriety of a letter the attorney intends to send to prospective clients concerning Bankruptcy and the collection of delinquent debts.

Rhode Island Rule of Professional Conduct 7.3(b)(1)(a) requires that the attorney's proposed letter "be plainly marked 'advertisement' on the face of the envelope and at the top of each page of the written communication in type one size larger than the largest type used in the written communication."

The Panel takes the position that the proposed letter does not comply with Rule 7.3 because the word "advertisement" in the upper right corner is printed in type which is not larger than the largest type used in the letter and is much lighter than the print used in the letter.

The Panel takes the position that the proposed letter must contain the following disclaimer in order to comply with Rhode Island Rule of Professional Conduct 7.4:

Rhode Island does not have a procedure for certification or recognition of specialization by lawyers.

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.