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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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…
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…
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…
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…
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…
Can I buy corporate surety bonds for my clients through my relative's insurance agency, if I don't get paid anything for it?
Yes. The panel held that such bond purchases are perfectly proper, assuming the clients are not placed at any disadvantage by having their bonds purchased through the attorney's relative's agency.
Can I advertise that I handle divorce, annulment, or alimony cases in Rhode Island?
Not without risk of a rule violation, according to this opinion: R.I.G.L. Section 11-27-20, a 1905 statute, makes it a crime for a lawyer to advertise services regarding a suit for alimony, divorce,…
I want to team up with two of my clients to buy real estate from two other clients of mine, who've agreed to get independent legal and accounting advice for the deal. Can I participate as a purchasing partner?
Yes, according to the panel, provided the attorney complies with Rule 1.8(a)'s requirements: the transaction and its terms must be fair and reasonable to the selling clients and fully disclosed to…
Someone told me my client is 'a fraud' and filed a disciplinary complaint against me for continuing to represent the client. I have no personal knowledge of any dishonest conduct by my client. Can I keep representing the client?
Yes. The panel held that continued representation was proper, since the attorney had no personal knowledge of dishonesty on his client's part, there is no requirement that lawyers represent only…
I asked for reconsideration of the panel's opinion that my accident-victim solicitation letters violated the old Code. Rhode Island has since adopted the Model Rules of Professional Conduct. Does that change the answer?
No, and the analysis is now independently confirmed under new Rule 7.3: the panel held that the same sample letters both failed Rule 7.3(b)(1)'s advertisement-labeling and Disciplinary Counsel copy…
I want to broker medical experts and consultants to other attorneys for malpractice and personal injury cases, earning a contingent fee for the brokering (not for legal services). Can I do that, and can I market it using letterhead that shows I'm also a lawyer?
The brokerage itself is permissible as a commercial rather than legal activity, but the panel held the attorney may not use stationery, signage, or publications that identify him as a lawyer in…
Can my firm mail a newsletter to companies or individuals who aren't current clients?
No, at the time of this opinion. The panel held that mailing a newsletter to non-clients was direct contact recommending the firm's employment under DR 2-103(A), and that the newsletter did not fall…
I'm a real estate attorney who owns half of a mortgage brokerage. Can the brokerage use me to close its loans, can a borrower waive independent title counsel and use me instead, can I also handle the purchase-and-sale closing, and can I share office space and overhead with the brokerage?
Yes to all four, according to the panel, as long as the attorney fully discloses his ownership interest in the mortgage brokerage to any borrower he represents on title work or a purchase-and-sale…
An expert witness referral association I represent wants me to ask the ethics panel whether lawyers may recommend it to their clients or represent clients who've engaged it. Will the panel answer that?
No. The panel declined to render an opinion, holding that the request concerned a hypothetical situation not arising from a factual situation faced by the inquirer himself, and so did not comport…
My clients want me to publish an article about their unusual Family Court case, and they're fine with fictitious names being used. Can I do that?
Yes. The panel held that the attorney may properly publish an article on his clients' case because they consented, provided he uses fictitious names for the people and specific places involved to…
Can I send letters offering my services directly to people who were injured in an accident, or to people connected to someone who was injured?
No, at the time of this opinion. The panel held that the proposed letters would violate DR 2-103(A)'s bar on recommending one's own employment to a layperson who has not sought advice about hiring a…
I'm a Rhode Island lawyer who is also a state employee. Can I participate in a strike by state employees?
No. The panel held that the inquiring attorney, a state employee, may not participate in a strike by state employees, reasoning that public employees are already barred from striking against their…
My sole proprietorship wants to form a partnership with an out-of-state firm that might include one or more professional corporations. Is that permissible?
Partly. The panel held that a sole proprietorship may partner with an out-of-state law partnership as such, provided the resulting firm's letterhead and listings disclose jurisdictional limitations…
Two of my firm's clients are now in a contract dispute with each other, and one objects to my firm continuing to represent the other. Will the ethics panel decide whether I can continue?
No. The panel declined to rule, holding that a contested-fact situation like this, where the dispute is already pending in court, must be resolved in an adversary proceeding rather than through an…
My client wants to bring a claim, but a statute has abolished an element of it. I believe there's a good-faith argument that the abolishing statute is unconstitutional. Can I ethically proceed?
Yes. The panel held that because the attorney sincerely believed a good-faith argument could be made that the abolishing statute was unconstitutional, proceeding with the claim was permissible under…
An out-of-state law firm organized as a professional corporation wants to open a Rhode Island branch office, and I would staff it as the Rhode Island-admitted lawyer. Is that permissible?
No. The panel held that because the out-of-state professional corporation had not been organized under Rhode Island's Professional Service Corporation Law, it could not practice law in Rhode Island,…
I currently represent a husband in an unrelated matter where he shared confidential financial information with me. His wife just called asking me to represent her in divorcing him. Can I take her case? Can I keep representing the husband on his other matters?
No to representing the wife: the panel held that representing her in the divorce would violate the Code, regardless of whether the confidential information from the husband was actually relevant to…
I represent a guardian of a minor's estate in Probate Court. I've sent six letters over 15 months reminding my client of the legal duty to file accounts, and my client still hasn't filed them. Can I withdraw?
Yes. The panel held that, based on the attorney's representations, he could move to withdraw under DR 2-110(C)(1)(d), while remaining subject to the general withdrawal requirements of DR 2-110(A).
Can I write or call unrepresented people who've already filed claims against a company in bankruptcy, to try to get them as clients?
No, at the time of this opinion. The panel held that directly contacting these unrepresented claimants in writing or by phone to recommend the attorney's own employment would violate DR 2-103(A),…
I'm admitted in Rhode Island. Can I staff a Rhode Island branch office for an out-of-state law firm that's organized as a professional corporation under another state's laws?
No. The panel held that because the out-of-state professional corporation was not organized under Rhode Island's Professional Service Corporation Law, it may not practice law in Rhode Island, and…
My client told me to forward escrow funds to a specific address, but now family members say they're entitled to the money and that my client has permanently left the country. Can I release the funds to the family, or do I need to do something else first?
Not to the family directly. The panel held that client funds may be released only to the client, pursuant to the client's authorization, or under a court order, and that before seeking a court order…
Can I represent my personal injury client's medical insurer on its subrogation claim at the same time I'm representing the client on the underlying injury claim?
Yes, if both consent in advance. The panel held that representing both the medical insurance carrier's subrogation claim and the client's direct personal injury claim is permissible under DR…
A prepaid legal services organization that insures my client wants a document I prepared for that client. Can I release it?
Yes, if the client consents after full disclosure. The panel held that releasing a document prepared for a client who subscribes to a prepaid legal services provider is proper where the client…
Can I form an 'independent partnership' with a Connecticut law firm that's organized as a professional corporation but isn't licensed to practice in Rhode Island?
No. The panel held the arrangement would violate DR 3-103(A), because a Connecticut professional corporation not licensed under Rhode Island's Professional Service Corporation Law may not practice…
My client's only surviving supporting expert witness needs travel expenses my client refuses to pay, and my client won't even discuss it with me. Can I withdraw from the case?
Yes, on these facts. The panel held the attorney could properly move to withdraw under DR 2-110(C)(1)(d), which allows withdrawal where the client's conduct renders it unreasonably difficult for the…
Three of us share office space, stationery, a secretary, and a phone line, but we're not partners. Can we use shared 'Law Offices' letterhead listing all three names, and can the secretary just answer 'Law Offices'?
The shared letterhead violates DR 2-102(B) and DR 2-102(C) because it does not show the lawyers are not partners; each must use a separate letterhead. But having the secretary answer the phone…
Can I list a non-lawyer employee who graduated from an unaccredited law school on my firm's letterhead, set apart from the lawyers' names?
No. The panel held that including the non-lawyer graduate on the letterhead, even set apart by lines, would violate EC 3-4, DR 3-101(A), and DR 2-102(A)(4), because a layperson would be unable to…
My stationery shows my name with an asterisk noting I'm only admitted in one state, not Rhode Island. Is that letterhead proper?
Yes. The panel held the stationery was proper under the Code of Professional Responsibility because it clearly disclosed the jurisdictional limitation, as DR 2-102(D) requires for lawyers in a firm…
My client is a borrower closing a bank loan, and the bank wants me, as the borrower's lawyer, to sign an opinion letter saying the loan documents are legal, valid, binding, and enforceable. Can I sign that?
No. The panel held that signing such a letter would violate EC 5-1, EC 5-21, and DR 5-105(A), because opining on behalf of the lender's documents while representing the borrower puts the lawyer in…
I want to set up a neutral arbitration and mediation practice and advertise that my practice is 'limited to' that work. Is that brochure language proper, and can I identify myself as an attorney?
Yes, at the time of the opinion. The panel found no violation of the Code of Professional Responsibility in limiting a practice to neutral dispute resolution, and approved identifying oneself as an…
My client's collision insurer paid for car repairs but never contacted me about reimbursement or subrogation. Now I've received the settlement. Do I owe the insurer anything before I release the funds to my client?
No. The panel held that the attorney has no duty to a collision insurance carrier regarding disbursement of settlement funds where the carrier never contacted the attorney for reimbursement or…
Can I represent my personal injury client's medical insurer on its subrogation claim at the same time I'm representing the client on the underlying injury claim?
Yes, if both consent in advance. The panel held that representing both the medical insurance carrier's subrogation claim and the client's direct personal injury claim is permissible under DR…
I elected not to put client funds in an interest-bearing account. Do I have to renew that election every year, or does one notice to the court cover me going forward?
One notice is enough. The panel held that once a lawyer elects under DR 9-102(F) not to deposit client funds in an interest-bearing account, that election remains good until the lawyer files notice…
I represent clients with claims that might become a federal class action. Can I run an advertisement asking others with similar experiences to come forward?
Yes. The panel held the advertisement was proper under Code of Professional Responsibility DR 2-104(5), which permits contacting potential class members to obtain evidence and information in…
I'm a private attorney appointed to a state licensing board. Can I take part in board decisions involving people I've sued, and can I later represent a client against someone whose case I heard as a board member?
No to both. The panel held that Canons 8 and 9 bar the attorney from participating in board deliberations involving anyone he has sued or is currently suing on behalf of a private client, and bar…
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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. Under the Ethics Advisory Panel rules of the Rhode Island Supreme Court, a lawyer who asks for an opinion, gives the facts fully and accurately, and acts in accordance with it is conclusively presumed to have complied with the Rules of Professional Conduct. Source. Every opinion above has a plain-English question and short answer, plus a link to the original source on the bar's site.