Rhode Island Supreme Court Ethics Advisory Panel Ethics Opinions
Free plain-English summaries of legal ethics opinions issued by the Rhode Island Supreme Court Ethics Advisory Panel, with full citations and source links on every page.
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Can I interview a former employee of the adverse corporation ex parte, without going through its counsel?
The panel concluded that the Rhode Island Rules of Professional Conduct do not prohibit attorneys and their agents from conducting ex parte interviews of former employees of an adverse corporate party…
Can I list my paralegal's name on the firm letterhead, the building directory, and a newspaper ad alongside the attorneys, and can the paralegal use a business card and desk plate?
The panel concluded that a non-attorney's name may not appear among the attorneys on the firm's stationery, in the building directory listing the firm's lawyers, or in a newspaper advertisement listin…
I was hired on a contingency fee and the client fired me before the case ended. What can I recover for the work I already did?
The panel noted that Rhode Island case law lets a client discharge an attorney at any time, with or without cause, and that the discharged attorney's proper measure of recovery is the reasonable value…
I represent a two-partner real estate partnership, and also one partner individually. The partners are now feuding and giving me opposite instructions through their separate lawyers. Can I keep doing partnership work at one partner's direction, and what do I do with the partnership files?
The panel held that because the partners explicitly refused to agree on the legal work, Rule 1.7(a) cannot be satisfied, so the lawyer may neither perform nor assist another attorney in performing par…
I rent office space from Lawyer A and agreed to represent his former client before a zoning board where Lawyer A was a witness. The client now hints at a malpractice claim against Lawyer A. Can I condition my continued representation on the client releasing Lawyer A?
No. The panel held that a lawyer may not condition continued representation on the client releasing another lawyer from malpractice liability, because doing so would impermissibly circumscribe the cli…
I'm a part-time assistant city solicitor who also has a private practice with my firm. Which matters can I and my firm handle without a conflict, and does my role disqualify the whole firm from cases against the city?
The panel held that the attorney may serve as a part-time assistant city solicitor only if she does not represent private clients adverse to the city, that zoning-board and municipal-court matters (an…
My firm's new associate is admitted in another state and will take the Rhode Island bar exam soon. Until he passes, can his business cards, letters on firm stationery, and a hiring announcement omit that he is not yet admitted in Rhode Island?
No. The panel held that omitting the associate's non-admission from business cards would violate Rules 7.1(a) and 7.5(a), and that signing firm correspondence or publishing a newspaper hiring announce…
I'm a sole practitioner who is also opening a temporary-lawyer placement agency with a non-lawyer. Is explaining an ABA opinion to other lawyers the practice of law, can I say I'm a Rhode Island lawyer in the agency's ads, and can the agency waive its placement fee when I take an assignment myself?
The panel held that explaining ABA Formal Op. 88-356 to another attorney is not the practice of law and the non-lawyer principal may relay the same information, that the attorney may indicate she is a…
I want to run a newspaper ad headed 'Divorce' that asks whether readers know their legal rights and lists my name, address, phone, and fees. Does it comply with the Rhode Island advertising rules?
Partly. The panel held the ad complies with Rule 7.1 (not false or misleading) and Rule 7.2 (permissible newspaper advertising naming the responsible lawyer), but must add Rule 7.4's disclaimer that R…
Years ago my firm briefly represented a corporation trying to buy assets from an estate, while the estate's heirs were separately bidding on other assets with their own counsel. The deals never collided. Can I now represent those heirs against the estate's executor, even though a firm lawyer may be a witness?
Yes. The panel held that Rule 1.9 does not bar the representation because the former client (the corporation) and the current clients (the heirs) only could have become adverse over one asset and neve…
My personal injury client agreed, verbally in one case and in a signed doctor's lien in another, that treating physicians would be paid from the settlement. Now that the money is in, the client wants me to keep it and not pay the doctors. Can I follow that instruction?
No. The panel held that where the client, medical providers, and attorney all agreed the doctors would be paid from settlement proceeds, an attorney who helps the client renege violates Rule 1.2(d)'s …
Rhode Island has an old criminal statute barring lawyers from advertising divorce or alimony services. If I run a newspaper ad listing 'divorce, support, domestic relations' as a practice area, am I violating the ethics rules?
Yes, technically. The panel held that because R.I. Gen. Laws § 11-27-20 imposes a criminal penalty on a lawyer who advertises divorce or alimony services, running such an ad is a criminal act, and und…
My wife is a bankruptcy court clerk with purely ministerial duties limited to Chapter 11 filings. Can I represent debtors filing under Chapter 7 and Chapter 13, different chapters than the ones she handles?
Yes. The panel held that representing clients filing under 11 U.S.C. Section 701 et seq. (Chapter 7) and Section 1301 et seq. (Chapter 13) does not involve any conflict between the clients' interests …
My former divorce client's ex-husband subpoenaed me to testify and produce records about an inconsistency between the final decree and the judge's order on the marital home. My former client hasn't waived privilege. What can I properly disclose?
The panel held that absent either a court order or the former client's express consent, the attorney may not testify as to any confidential matters covered by Rule 1.6, and may not reveal any of the c…
My newspaper ad has graphics, says my office is 'equipped to handle' certain types of cases, gives my name and contact info, and doesn't compare me to other lawyers. Does it comply with the advertising rules?
Mostly. The panel found the advertisement complies with Rule 7.1 (not false or misleading) and Rule 7.2 (permissible newspaper advertising with the attorney's name included), but held that to clearly …
I defend an insurance company's workers' comp claims against one of its large self-insured-up-to-a-deductible clients. A different worker, employed by an unrelated policyholder of the same insurer, now wants me to represent her against the insurer directly. Can I take her case with everyone's consent?
Yes, if the informed-consent requirements are met. The panel held the attorney may properly represent the injured worker in connection with her work-related injuries provided he obtains consent from a…
A residential mortgage lender wants to pay me for closing and title work, but keep the 'document preparation' portion of the fee itself as extra compensation for documents it prepared. Is that fee-splitting arrangement proper?
No. The panel held it is a violation of Rule 5.4 and G.L. 1956 Section 11-27-3 for the attorney to participate in either fee arrangement described, because if document preparation is a legal service, …
My law license was suspended, but I'm still serving as an administrator (represented by counsel) in one probate estate and as a co-executor (unrepresented) in another. Can I keep serving in these roles during my suspension?
No. The panel held that for the attorney to act as administrator, even though represented by counsel, or as a co-executor during the term of his suspension from the practice of law would be a violatio…
I collected a lien pay-off owed to a client I filed suit for years ago, but I can't locate him despite calling, mailing to his last known address, and requesting a postal check. What else must I do, and what happens to the money if I can't find him?
The panel held that attempting to contact the client by telephone and telephone company records, by mail, and by postal check satisfies the attorney's obligation to exercise diligence in locating him …
An out-of-state firm with no Rhode Island-licensed lawyers wants to open a Rhode Island office under its own name, listing me on the stationery as 'Of Counsel' with jurisdictional limitations noted. Is this proper?
Not as described. The panel held it would not be proper for the attorney to staff a Rhode Island office of the out-of-state firm if his relationship is, in fact, less than that of partner or associate…
My client discharged me after I'd hired and paid for expert witnesses out of pocket in his malpractice case. I gave his new lawyer the expert reports with the experts' names redacted, and I want reimbursement before I release the names. Do I have to turn over the experts' identities under Rule 1.16(d)?
No. The panel held that the experts' identities resulting from the inquiring attorney's own research are his work product and, as such, do not constitute "papers and property to which the client is en…
I want to mail unknown business owners a letter saying my firm 'emphasizes collections and bankruptcies' and 'knows the area inside and out,' with 'Advertisement' marked in the same type size as the body. Does this comply with Rules 7.3 and 7.4?
Almost. The panel found the letter proper under the Rules of Professional Conduct except that the word 'Advertisement' must be printed in type one size larger than the largest type used in the letter …
As a prosecutor I convicted a driver for a fatal driving-to-endanger charge. Now that I'm in private practice, the victim's father wants me to represent him in a civil suit against that same driver and the town over the same death. Can I take the case?
No. Applying Rule 1.11's bar on a lawyer representing a private client in connection with a matter the lawyer participated in as a public officer or employee, and the rule's broad definition of "matte…
I want to mail a letter advertising my legal services to homeowners 65 and older whom I don't know. It's marked 'Advertisement' and offers a free consultation. Does this comply with Rule 7.3?
Mostly yes, with one fix. The panel found the letter proper under the Rules of Professional Conduct except that the word 'Advertisement' at the top of the letter and on the envelope must be printed in…
I've been offered a part-time position in a city solicitor's office limited to advising the Zoning Board, and I want to stay at my private firm. Can I still sue the city in unrelated matters like personal injury cases, and does it matter what my specific duties are?
No, and no. The panel held that accepting any position in the city solicitor's office makes the city a client of the attorney, so under Rule 1.7 she may not thereafter represent a client directly adve…
My new client discharged his first personal injury attorney after rejecting a settlement offer, and that attorney filed a lien for one-third of the rejected offer. Do I have to report the first attorney, and what fee is he entitled to?
The panel could not rule on the first attorney's conduct, but stated it is well settled that an attorney who obtains a settlement offer the client refuses and is then discharged is entitled to payment…
A lawyer was suspended in 1987 after a felony conviction unrelated to law practice and is now eligible for work release. Can I hire him as a paralegal for duties that don't involve client or court contact?
No. The panel held that Rhode Island Supreme Court Provisional Order 18, item 10, categorically bars a lawyer from employing as a legal assistant any attorney suspended or disbarred by the court, that…
I'm part-time counsel to a state grant program, and part of my salary comes from that program. It denied a city federal reimbursement, and now the contractor the city stiffed as a result wants me to sue the city privately. Can I take the case, and can I refer it to attorneys I share office space and a phone line with instead?
The panel held the attorney may represent the claimant against the city if he obtains the client's informed consent, after full disclosure of his relationship to the grant program, as Rule 1.7(b) requ…
I'm a consulting attorney for a water district that has no affiliation with a town. One of the town's zoning board members also happens to be a commissioner of the water district. Can I still bring cases before that zoning board under Rule 1.7?
Yes. The panel held that because no inconsistencies arise among the attorney's obligations to his zoning-board clients, his obligations to the Water District, and his own interests, Rule 1.7 does not …
I want to run a newspaper ad in the 'Homes for Sale' section labeling myself 'Real Estate Attorney' along with my name and contact information. Do I need to say anything else to comply with Rule 7.4?
The panel found the label 'Real Estate Attorney' falls in a gray area that could mislead a potential client into thinking Rhode Island recognizes a real estate specialty, so to be protected by the pan…
Opposing counsel represents both my adversary and the party whose insurer is funding the settlement, and he won't tell his own client what the insurance company is offering. Can I contact her directly to explain her rights since he won't?
No. The panel held that Rule 4.2 bars the inquiring attorney from contacting the represented salesperson directly absent her lawyer's consent, no matter how laudable the attorney's motive, and it coul…
A former customer of my longtime business client called me a few times with general questions and I never billed him for it. Now that customer is disputing money with my client. Did those free calls create a conflict of interest under Rule 1.7?
Yes. The panel held that the salesperson's phone consultations with the attorney created an attorney-client relationship despite the attorney never charging a fee, which activated Rule 1.7, and the at…
I was associated with a lawyer's firm years ago. He still represents cases from that period as co-counsel with me, but a new client of his retained him four or five years after I left. Can I represent someone against that new client under Rule 1.9?
Yes. The panel held that because the attorney was no longer associated with his former colleague, Lawyer L, when Ms. B retained Lawyer L's services, Ms. B never became the inquiring attorney's own cli…
I'm a lawyer who was hired only as a CPA to prepare an estate's tax return. In that role I learned the estate's lawyer is setting aside funds for the administratrix in a way that shortchanges unrepresented heirs. Can I tell the probate court or disciplinary counsel, and am I required to?
The panel held that because the inquiring attorney was retained solely as an accountant for the limited purpose of preparing the estate's tax return, none of the information he holds is protected by a…
Opposing counsel's secretary notarized affidavits after the affiants had already signed and left, and he admitted this to the trial justice, who let him fix it and ruled without relying on the affidavits. Do I have to report opposing counsel to disciplinary authorities?
It depends on the inquiring attorney's own reasonable belief. The panel held that if he reasonably believes opposing counsel's conduct rose to the level of seriousness that raises a substantial questi…
My client insists I drop her appeal and settle, but I'm worried she doesn't understand that doing so could jeopardize her insurance coverage. I sent detailed warning letters and reminders, and she never responded before firing me. Am I clear to file a motion to withdraw?
Yes. The panel held that the attorney's detailed letters and reminder notices satisfied Rule 1.2(a)'s consultation requirement, that a lawyer may not superimpose his own judgment on a client no matter…
A former client I met with once, years ago and don't recall, now objects to my representing his wife in their divorce, even though opposing counsel told me my former client didn't object and I relied on that for months. Can I keep representing the wife?
The panel declined to decide whether the former client's later-reported consent was informed and binding, holding that the extent or adequacy of disclosure underlying consent is a contested factual de…
My wife just became a licensed real estate agent, and I expect probate clients to need to sell real estate. Can I refer them to her?
Yes, consistent with the panel's prior Opinion 88-33 on referrals to a relative's business, a marital relationship between an attorney and a real estate broker does not itself make referrals improper,…
I'm a part-time Probate Judge appointed by my town's Town Council. Can I still represent private clients before that town's Planning Board and Zoning Board?
Yes. The panel held that representing clients before the Planning Board or Zoning Board does not involve any conflict between the interests of the attorney's client and those of the attorney's appoint…
My partner sits on a hospital's Board of Directors, but neither of us has ever done legal work for the hospital. A prospective client wants me to sue a physician on staff there. Can I take the case?
Yes, but only with consent. The panel held the partner's hospital board seat could constitute a limiting interest under Rule 1.7(b), which Rule 1.11's imputed disqualification provisions extend to the…
My workers' comp retainer agreement takes a one-third fee on the gross settlement even when the insurer splits the payment into a 'scarring award' and a separate 'attorney's fee' line item. Is that okay, and can I also put a 15% lien on the file if a client fires me after a settlement offer is on the table?
The one-third fee on total gross proceeds, however the insurance company denominates the payment, is permissible provided the client understands and agrees, but a provision imposing a flat 15% lien on…
The statute of limitations has run on two of my clients' personal injury claims because I never filed suit for them, but the insurance adjuster is still negotiating with me. Can I keep negotiating on their behalf?
Yes. The panel held the attorney may properly continue negotiations with the insurance adjuster on behalf of the two time-barred clients, so long as he observes Rule 4.1(a)'s prohibition on knowingly …
My firm represents a municipal water board being sued in one matter, while I personally represent a private client (through separate outside counsel) suing that same board in an unrelated matter. Both clients gave oral consent. Is that enough under Rule 1.7(b), or do I need it in writing?
Yes, oral consent is enough. The panel held that oral consent after consultation from both affected clients satisfies Rule 1.7(b)'s consent requirement under these circumstances, though it noted writt…
Opposing counsel has stopped responding to calls and letters, his mail is coming back undeliverable, and his own former client just told me it's fine to talk to me directly. Can I contact the defendant, and what should I do about serving documents?
The attorney should continue mailing documents to both the defendant and to Attorney X at his last known address until the defendant advises he has discharged Attorney X and retained new counsel, or u…
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'?
Mostly yes. The panel approved the announcement to fellow attorneys under Rules 7.1 and 7.4, since it properly disclosed that Rhode Island has no specialization-certification procedure, but it decline…
My client won't authorize release of escrowed closing funds to a general contractor even though I've told her she isn't entitled to more work, and no lawsuit has been filed. What should I do with the money?
The attorney should immediately withdraw from representing the client, commence an interpleader action against the client and the general contractor, and deposit the escrowed funds with the court, bec…
I want to attend a social gathering of local businesspeople to make contacts who might later become clients for my corporate practice. Is that improper solicitation?
No. The panel held the attorney may properly attend any meeting he wishes, because the Rules of Professional Conduct do not limit a lawyer's social and civic opportunities or prohibit a truthful state…
Another attorney sent me a form letter asking for a copy of my client's file for a 'second look,' but my client isn't discharging me. What am I required to do, and can I charge for copying it?
The attorney must make copies of the file available to the second attorney, excluding work product, because the client's request for that review is a client decision under Rule 1.2. He must continue p…
My former client told me things during our consultation that contradict what I just watched her testify to in court in an unrelated case. Do I have to say or do anything about the discrepancy?
No. The panel held there is nothing the attorney can or should do about the discrepancy between what the former client told her and what the former client told the court, because Rule 1.6's prohibitio…
My out-of-state firm is opening a Rhode Island office, and the partners aren't licensed here. Can we use symbols like a dot or asterisk after each lawyer's name on our letterhead to show who's licensed where?
The Massachusetts partnership may open a Rhode Island office, but the panel found its dot-and-asterisk system did not satisfy Rule 7.5(b)'s requirement to indicate jurisdictional limitations, because …
My firm has practiced for over a decade as a professional service corporation under the fictitious name 'X, Y & Z, P.C.,' where X was a partner who died years ago. Is that firm name still proper under the Rules of Professional Conduct?
Yes. The panel held that the trade name is a permissible exercise of the discretion the Rhode Island Supreme Court's Rules 7.1 and 7.5, Supreme Court Rule 41, and the Professional Service Corporation …
As a state agency staff attorney, I have a personal legal claim pending against one branch of a municipality, and I'm about to handle an agency litigation matter against a different branch of that same municipality. Do I have a conflict, and can I proceed with consent?
No conflict arises, and the attorney may carry out her usual agency responsibilities, provided she makes full disclosure of her pending personal matter to all parties involved and obtains their consen…
My law partner is one of four partners in a real estate partnership that wants to sue an insurance company, and my law partner won't be a witness. Can I represent the real estate partnership?
Yes. The panel held it was proper for the inquiring attorney to represent the real estate partnership under Rule 3.7(b), which allows a lawyer to act as advocate in a trial where another lawyer in the…
Months ago, an out-of-state lawyer paid me for a consultation on Rhode Island domestic relations law and procedure for his client, Mr. Doe, though we never discussed the case's specifics. Now Mr. Doe's wife wants me to represent her in their divorce. Can I take her case?
Not without Mr. Doe's consent. The panel held that the paid consultation created a temporary attorney-client relationship between the attorney and Mr. Doe, and that unless Mr. Doe expressly consents a…
I used to represent Mr. Y before the City Planning Board, where Mr. X (a Board member at the time) raised a boundary dispute between his property and Mr. Y's. I no longer represent Mr. Y, and Mr. X now wants me to represent him in that same boundary dispute against Y. Can I take the case?
Not without Mr. Y's consent. The panel held that unless the former client, Mr. Y, expressly consents after consultation, representing Mr. X in the boundary dispute would violate Rule 1.9's bar on repr…
A former client referred someone to me without expecting anything in return, and the new matter turned out very successful. Can I send my former client a thank-you gift worth under $100?
No. The panel held that Rule 7.2(c)'s clear prohibition on giving anything of value to a person for recommending a lawyer's services bars the gift, even though the former client made the referral with…
I represent an injured passenger, and the driver I'm suing now claims he once called me for advice. Will the ethics panel decide whether that phone call created a conflict?
No. The panel declined to render an opinion, holding that whether an attorney-client relationship arose from the driver's phone call was a contested question of fact better resolved in the pending cou…
I represented both spouses in an adoption years ago, and now I represent the husband alone in their marital dispute. The wife says I have a conflict from the adoption representation. Will the ethics panel rule on whether I can continue?
No. The panel declined to rule, holding that whether continued representation would be proper turns on a contested factual question, whether privileged information from the wife was actually conveyed …
My firm wants to give legal opinions on liability to a claims-adjustment company client, for use in that company's dealings with its own customers. Does it matter whether the opinion goes out on my firm's letterhead versus the client's own letterhead?
Yes, according to the panel: providing the legal opinion on the firm's own stationery, having the client incorporate the firm's opinion into its own customer correspondence, or delivering the opinion …
I've been offered part-time work representing the state against claims under a specific statute, and I want to keep my associate job at a firm that represents claimants under that same statute. Can I take the state job if I withdraw from my own firm's cases under that statute, or if the firm walls off one isolated associate to handle them instead?
No, under either scenario. The panel held that accepting the part-time state position would be improper under Rule 1.7 because the attorney would be representing a client directly adverse to another c…
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Legal ethics opinions from the Rhode Island Supreme Court Ethics Advisory Panel interpret the rules of professional conduct for working lawyers, in response to inquiries from members and committees. They are not binding like court discipline decisions, but courts and discipline boards treat formal opinions as substantial guidance on how the rules apply. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.