My client, who is now applying for bar admission, stiffed me on our written fee agreement. Can I tell the Committee on Character and Fitness that the client defaulted on the fee?

Plain-English summary

The inquiring attorney had represented a client who was now a candidate for the Rhode Island Bar. According to the attorney, the client had defaulted on the obligation to pay the attorney's fee under a written fee agreement. The attorney asked whether it would violate Rule 1.6 to notify the Committee on Character and Fitness that the client had defaulted on the payment obligation.

The panel concluded that it would. A client's failure to pay a lawyer's fee is information relating to the representation and may not be disclosed without the client's consent, unless authorized by law or unless a Rule 1.6(b) exception applies. The panel noted that it had interpreted Rule 1.6 broadly, citing its prior opinions treating client identities and accounts-receivable information as confidential, and the Rhode Island Supreme Court's decision in In re Ethics Advisory Panel No. 92-1, holding that the duty of confidentiality superseded a lawyer's obligation to report another attorney's misconduct. The panel found the Rule 1.6(b)(2) exception inapplicable because the attorney was neither establishing a claim or defense on the attorney's own behalf nor responding to allegations in a proceeding concerning the representation. Reporting the fee default to the Committee would therefore violate the attorney's confidentiality obligation.

Currency note

This opinion was issued in December 1997, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988, and it applies Rule 1.6 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 Treat this page as historical context, not current guidance.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: Is the fact that a client didn't pay considered confidential?

A: Yes. The opinion concluded that a client's failure to pay a lawyer's fee is information relating to the representation and cannot be disclosed without the client's consent.

Q: Does the self-defense exception let a lawyer report a non-paying client to the bar?

A: Not here. The opinion found Rule 1.6(b)(2) inapplicable because the attorney was neither establishing a claim or defense for the attorney nor responding to allegations in a proceeding about the representation.

Q: Does it matter that the former client was applying for bar admission?

A: The opinion did not treat that as changing the result. The confidentiality duty still applied, and disclosure to the Committee on Character and Fitness for the attorney's intended purpose was not permitted by Rule 1.6.

Background and rules framework

The opinion applied Rhode Island Rule of Professional Conduct 1.6 (Model Rule 1.6) as originally adopted. Rule 1.6(a) barred revealing information relating to the representation of a client absent consent after consultation, subject to the impliedly-authorized and paragraph (b) exceptions. Rule 1.6(b)(2) permitted disclosure to establish a claim or defense for the lawyer in a controversy with the client, to defend against a charge based on the client's conduct, or to respond to allegations in a proceeding concerning the representation. The panel read that exception narrowly and found none of its triggers present.

Citations and references

Rules of Professional Conduct:

• Model Rule 1.6 / RI RPC 1.6(a), 1.6(b)(2) (confidentiality of information)

Cases:

• In re Ethics Advisory Panel No. 92-1, 627 A.2d 317 (R.I. 1993), duty of confidentiality superseded the duty to report another attorney's misconduct

Other opinions cited:

• RI EAP Op. 95-61 (client identity is confidential; firm may not disclose accounts-receivable list with client names)
• RI EAP Op. 94-42 (lawyer may not give a lender an accounts-receivable list because client names and addresses are protected by Rule 1.6)

See also

• RI EAP Op. 98-02: A subpoena for a former client's documents
• RI EAP Op. 99-02: Publishing settlement details without client consent

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%2097-23.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. 97-23, Request No. 730
Issued December 11, 1997

Facts:

The inquiring attorney represented a client who is now a candidate for the Rhode Island Bar. According to the inquiring attorney, the client defaulted on his/her obligations to pay the inquiring attorney's fee under a written fee agreement.

Issue Presented:

The inquiring attorney asks whether it is a violation of Rule 1.6 to notify the Committee on Character and Fitness that the client defaulted on his/her obligations to pay.

Opinion:

Yes. A client's failure to pay a lawyer's fee is information relating to the representation, and may not be disclosed without the client's consent.

Reasoning:
Rule 1.6 states:

(a) A lawyer shall not reveal information relating to representation of a client unless the client consents after consultation, except for disclosures that are impliedly authorized in order to carry out the representation, and except as stated in paragraph (b).

(b) A lawyer may, but is not obligated to, reveal such information to the extent the lawyer reasonably believes necessary:

(1) to prevent the client from committing a criminal act that the lawyer believes is likely to result in imminent death or substantial bodily harm; or

(2) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to es- tablish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceed- ing concerning the lawyer's representation of the client.
Final Op. No. 97-23
Page 2

A client's failure to pay a lawyer's fee is information relating to the representation and disclosure of that fact would be a breach of the inquiring attorney's obligation of confidentiality, unless authorized by law or unless the exceptions provided in paragraph (b) apply. This Panel has interpreted the obligation imposed by Rule 1.6 broadly. See R.I. Sup. Ct. Ethics Advisory Panel 95-61 (identity of client is confidential information and firm may not disclose to agency list of accounts receivable which included client names); R. I. Sup. Ct. Ethics Advisory Panel 94-42 (lawyer may not disclose to bank that gave line of credit a list of accounts receivable be- cause names and addresses of clients are protected by Rule 1.6.) The Panel believes that its broad interpretation of the Rule is consistent with the Rhode Island Supreme Court's ruling in In Re Ethics Advisory Panel No. 92-1, 627 A.2d 317 (R.I. 1993). In that case, the Court held that a lawyer's duty of confidentiality to his clients superseded the lawyer's obligation to report another attorney's misconduct, where the lawyer had learned during the course of the representation that the other attorney had embezzled the clients' funds, and the clients would not consent to disclo- sure. Id.

Disclosure of the information to the Committee on Character and Fitness for the pur- poses intended by the inquiring attorney is not permitted by Rule 1.6 (b)(2). The inquiring attor- ney is neither establishing a claim or defense on his/her own behalf, nor responding to allega- tions in a proceeding concerning his/her representation of the client. See Rule 1.6(b)(2). The Panel therefore concludes that notice to the Committee that his/her client, a candidate for the Rhode Island Bar, failed to make payments of an attorney's fee would be a violation of the in- quiring attorney's obligation of confidentiality imposed by Rule 1.6.