Can I advertise and run law-related educational seminars, promoted by newspaper ads and direct mail, if the materials don't push my legal services?

Plain-English summary

The inquiring attorney sought advice regarding the promotion of law-related seminars conducted by the attorney. The attorney intends to promote the seminars by advertising in the newspaper and by direct mail. Attendees would receive brochures and educational materials that would not promote the attorney's legal services, and the materials would contain the Rule 7.4 disclaimer regarding certification or specialization of attorneys.

The panel set out the applicable rules. Rule 7.1 provides that a lawyer may not make a false or misleading communication about the lawyer or the lawyer's services and cannot create an unjustified expectation about results the lawyer can achieve. Rule 7.4 provides that a lawyer may not 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. Rule 7.3(a) provides that a lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship.

The panel concluded that a law firm may provide legal seminars to clients and non-clients so long as neither the seminar brochures nor the presentation itself contain a recommendation that the firm be employed for legal representation. The seminar and the brochures do not constitute solicitations even if the seminar's motivation is to generate future business, citing Massachusetts Ethics Advisory Opinion 86-3 (11/25/86).

In practice

Under this opinion, a firm may advertise and hold educational law-related seminars for clients and non-clients, promoted through newspaper ads and direct mail, without running afoul of the solicitation rule, provided the brochures and presentation do not recommend that the firm be hired. The opinion treats such materials as non-solicitations even where the underlying business motive is to generate future work, while requiring compliance with Rule 7.1 (no false or misleading statements) and the Rule 7.4 certification/specialization disclaimer.

Common questions

Q: Are educational law seminars for non-clients considered improper solicitation?

A: Per the opinion, no; the seminar and brochures do not constitute solicitations, even if the seminar's motivation is to generate future business, so long as they do not recommend that the firm be employed.

Q: Can I promote the seminars by newspaper ads and direct mail?

A: Per the opinion, the attorney intended to promote the seminars that way, and the panel found the arrangement permissible subject to Rules 7.1, 7.3, and 7.4.

Q: What must the materials avoid or include?

A: Per the opinion, the materials must not recommend employing the firm, must not be false or misleading under Rule 7.1, and must contain the Rule 7.4 disclaimer that Rhode Island has no procedure for certification or recognition of specialization.

Background and rules framework

The opinion applies Rhode Island Rule 7.1 (communications concerning a lawyer's services), Rule 7.3 (solicitation of clients), and Rule 7.4 (fields of practice and certification), corresponding to Model Rules 7.1, 7.3, and 7.4. The panel read a seminar and brochures that do not recommend employing the firm as falling outside Rule 7.3(a)'s prohibition on soliciting employment, subject to Rule 7.1's bar on false or misleading statements and Rule 7.4's disclaimer requirement.

Citations and references

Rules of Professional Conduct:

• MR 7.1 (communications concerning a lawyer's services), MR 7.3 (solicitation of clients), MR 7.4 (fields of practice)
• RI RPC 7.1, 7.3(a), 7.4

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• Massachusetts Ethics Advisory Opinion 86-3 (11/25/86): seminars and brochures are not solicitations even if motivated to generate future business.

See also

• RI EAP Op. 92-53: A Legislative-Alert Letter to Non-Clients
• RI EAP Op. 92-48: Suing a Former Client on an Unrelated Matter

Currency note

This opinion was issued in 1992 (Opinion 92-55), after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rules 7.1, 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, which amended the advertising, solicitation, and fields-of-practice rules. 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.

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%2092-55.pdf

Original opinion text

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

ETHICS ADVISORY PANEL
Opinion 92-55, Request #278
Issued July 23, 1992

An attorney seeks Panel advice regarding the promotion of law related seminars conducted by the attorney. The attorney intends to promote the seminars by advertising in the newspaper and by direct mail. The attendees of the seminars would receive brochures and educational materials which would not promote the attorney's legal services. The materials would contain the Rule 7.4 disclaimer regarding certification or specialization of attorneys.

Rule 7.1 of the Rhode Island Rules of Professional Conduct states that "a lawyer may not make a false or misleading communication about the lawyer or the lawyer's services" and cannot "create an unjustified expectation about results the lawyer can achieve." Rule 7.4 states that "A lawyer may not . . . 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." Rule 7.3(a) states that "A lawyer may not solicit professional employment from a prospective client with whom the lawyer has no family or prior professional relationship . . ."

A law firm may provide legal seminars to clients and non-clients so long as neither the seminar brochures nor the presentation itself contain a recommendation that the firm be employed for legal representation. The seminar and the brochures do not constitute solicitations even if the seminar's motivation is to generate future business. (See, Massachusetts Ethics Advisory Opinion 86-3 (11/25/86).)