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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I'm a solo lawyer who was appointed a city's probate judge. Can I represent private clients before that same city's zoning board on unrelated matters?
The panel could not address the judge's conduct under the Canons of Judicial Ethics because that is outside its jurisdiction; as to the lawyer's conduct it applied Rule 1.7(b) and questioned whether t…
I'm a solo lawyer who was appointed clerk (and sometimes acting judge) of a town's probate court. Can I still appear before that town's boards and agencies for private clients?
The panel did not give a flat answer but flagged Rule 1.7(b): the representation may be materially limited by the lawyer's responsibilities to, and interests in, the municipal employer, and it questio…
Can our Bar Association's lawyer referral service require attorneys who take referred cases to pay back a percentage of the fee earned, or does that violate the fee-splitting rule?
The panel concluded, following the California Emmons decision, that a percentage referral fee paid to a nonprofit bar referral service does not violate the public policy behind Rule 5.4(a)'s fee-split…
My law partner drafted the deed and closing documents for a property Owner in a sale, and I represent the other side in a breach-of-contract suit against that Owner. Do Rules 1.9 and 1.10 require me to withdraw?
The Panel concluded that because the law partner had undertaken to represent the Owner, Rule 1.10 imputed that representation to the inquiring attorney, who could not continue in the substantially rel…
Two nonprofit legal services agencies are merging into one entity. After the merger, how do the combined agency's conflict-of-interest duties under Rules 1.7, 1.9, and 1.10 apply to clients who were previously with the separate agencies?
The Panel advised that after the merger the combined agency must review its caseload for conflicts: where current clients' interests are directly adverse it needs each client's consent after consultat…
My partner once represented an estate for an insurer just to settle within policy limits. Now I represent that same insurer against the estate in a related arbitration, and the executor objects. Must I withdraw?
The Panel concluded that under Rules 1.9 and 1.10 the attorney cannot continue to represent the insurance company, because the estate is a former client of the firm, the matters are substantially rela…
Can I advertise my solo practice on TV under a trade name like 'XYZ Law Associates' while keeping my own name on my letterhead and bank accounts?
The panel concluded that using a trade name in lieu of the lawyer's name for television advertising was a misleading communication under Rule 7.1(a), because it misleads the public about the lawyer's …
My client's personal injury case settled, but the client and a treating physician dispute whether the medical bill is owed, and the client tells me not to pay. What do I do with the money?
The panel concluded that because the client and the physician dispute the funds, the lawyer must keep the disputed portion separate under Rule 1.15 pending resolution, arbitration, or interpleader, an…
Can I keep representing my client at a deposition where the witness being deposed is another current client of mine in an unrelated matter?
The panel concluded that the lawyer may continue representing Client #2 and attend Client #1's deposition, but only if the lawyer reasonably believes the representation will not adversely affect the r…
Another lawyer at my firm admitted directly to me that he took client money. Do I have to report him under Rule 8.3, or is his admission confidential?
The panel concluded that the attorney was obligated to report Attorney X to Disciplinary Counsel, because taking client funds raises a substantial question as to honesty, trustworthiness, or fitness, …
My client gave me documents from a spouse's computer that allegedly show wrongdoing. The couple reconciled and wants them destroyed, but a government agency wants them. What are my obligations?
The panel concluded that Rule 1.6 bars disclosing information relating to the representation without the client's consent, and permits disclosure only within the rule's exceptions, so the lawyer may r…
Can I, as a practicing lawyer, form a partnership with a therapist to offer family-law mediation, if we disclose to the parties that neither of us represents them?
The panel concluded that Rule 5.4(b) prohibits the lawyer from conducting a law practice while also partnering with a nonlawyer therapist to provide mediation services, because the lawyer would be per…
I closed my law practice to take a non-legal job and my clients won't respond or hire new counsel. Can I withdraw from their contested probate case?
The panel explained that closing a practice and a client's failure to communicate can support a motion to withdraw under Rule 1.17, but because the attorney had not filed such a motion and Rule 1.17(c…
I think opposing counsel is not passing my settlement offers to the client, an institution with in-house counsel. May I write directly to its in-house counsel, or have my client copy them, under Rule 4.2?
The Panel concluded that Rule 4.2 barred the inquiring attorney from communicating directly with the opposing institution's in-house counsel absent the consent of opposing counsel of record, and that …
I concluded my client needed a guardian and nursing-home placement, and the client then fired me. May I be appointed guardian of the person of that former client, with an associate drafting the paperwork?
The Panel concluded that because the guardianship is substantially related to the representation and the former client refused consent, Rule 1.9 bars the inquiring attorney from serving as guardian, a…
A lawyer switched firms and my opponent moved to disqualify the new firm, claiming a substantial relationship to the old firm's matter. If that lawyer had no actual knowledge of the client, is the firm disqualified under Rule 1.10?
The Panel concluded that, whether or not the matters are substantially related, the incoming lawyer and the new firm are not imputedly disqualified under Rules 1.9 and 1.10 because the lawyer has no a…
I represent an estate, and I suspect the executor (himself a lawyer) has diverted estate funds. Do Rules 1.6 and 8.3 require or allow me to report him, and must I investigate to confirm my suspicion?
The Panel concluded that on these facts the inquiring attorney may not disclose the executor's suspected wrongdoing, because none of Rule 1.6(b)'s exceptions applied and Rule 8.3(c) does not require r…
I hold a client's fund earmarked only for expenses, and now the former client owes me unpaid hourly fees. Can I keep the expense funds to cover my fees under Rule 1.15?
The Panel concluded the attorney has no basis to claim the client's funds held solely to pay expenses; if the representation is complete, the attorney should return any balance with an accounting, and…
A named partner is leaving my firm to work at a corporation but will stay 'of counsel.' Can we keep the partner's name in the firm name under Rule 7.5?
The Panel concluded that the departing 'of counsel' attorney's name may not remain part of the firm name, because retaining it connotes a partnership and is misleading under Rule 7.5, and the departur…
I represented a student against two schools. Now one of those schools wants me to sue the other in a related matter, and to run training workshops for the other school's staff. Can I take on that new work under Rule 1.7?
The Panel concluded that the attorney may not represent the school against the school department in the substantially related matter unless the former student client consents after consultation, and m…
My partners and I left our old firm to start a new one. A new client wants us to sue a client our old firm handled, in an unrelated matter we had no confidential knowledge of. Can our new firm take it under Rules 1.9 and 1.10?
The Panel concluded that because the new matter is unrelated to the old firm's work for the former client and the lawyers acquired no actual knowledge of protected information, the new firm may repres…
My client died, and the widow won't cooperate in substituting a personal representative as plaintiff so I can move the case forward. May I withdraw under Rule 1.16?
The Panel concluded that because the widow's lack of cooperation prevents effective representation, withdrawal is permitted under Rule 1.16(b)(5), which allows withdrawal when the client has rendered …
I took over a case and found the referring lawyer made uncorrectable strategic errors. Do I have to tell my client, and can I tell the other lawyer about the mistakes under Rules 1.4 and 2.1?
The Panel concluded that under Rules 1.4 and 2.1 the successor attorney should inform the client of the circumstances impacting the lawsuit, and that before informing the referring attorney of the err…
My new client is criminally charged with breaking into the home of someone I represented years ago in unrelated matters. Does Rule 1.9 bar me from defending the criminal case?
The Panel concluded that the criminal charge is not the same or substantially related to the earlier unrelated representations of the complaining witness, so the attorney may represent the criminal de…
I am an assistant town solicitor prosecuting misdemeanors for one town. Can I take the same prosecutor role for a second town, when both towns' cases are scheduled the same day, under Rule 1.7?
The Panel concluded that prosecuting for the second town does not violate the Rules because the towns' representations are not directly adverse, and suggested obtaining each client's consent after con…
Can I compensate another law firm for the time it spent on a legal malpractice case, where that firm was a third-party defendant that paid into the settlement?
The Panel concluded that compensating the other law firm for the time expended in the matter would not violate the Rules of Professional Conduct, consistent with Rule 1.5 and the Panel's view that an …
My client sold the disputed house to a buyer with an addendum about the pending suit, then fired me. Do I have a client relationship with the buyer, and can I represent either of them under Rule 1.9?
The Panel concluded the attorney has an attorney-client relationship only with the seller, not the buyer; because the seller is now a former client, the attorney needs the seller's consent to represen…
If I later reduce the fee I actually charge my client, but the court awarded or a third party paid a stated attorney fee, do my representations about that fee have to match under Rules 3.3 and 4.1?
The Panel concluded that if the attorney negotiates a lower fee for the client, all representations regarding fees made to the court or to third parties must reflect the actual fee, under Rule 3.3 and…
My client discontinued the case and wants the retainer back. The agreement didn't say the retainer was non-refundable but I assumed it was. Can I keep it under Rule 1.5?
The Panel concluded that under Rule 1.5 and the Disciplinary Board's policy, a retainer is a refundable fee advance, so the attorney must return the unearned portion and keep only the reasonable value…
My bank client hired a non-lawyer with a J.D. to draft its loan documents. If I review documents a non-lawyer prepared, am I assisting the unauthorized practice of law under Rule 5.5?
The Panel concluded that assisting a bank employee in preparing loan documents is not assisting the unauthorized practice of law and does not violate the Rules, noting Rule 5.5's Comment allows advisi…
A prospective client's information makes me suspect their other lawyer broke several rules, but the client won't consent to disclosure. Must I report the other lawyer under Rule 8.3?
The Panel concluded that because the information is confidential and protected by Rule 1.6 and the client refused to consent to disclosure, Rule 8.3(c) means the attorney is not obligated to report th…
I may have to testify about a witness's inconsistent statements in my client's case. Must I withdraw, or can I keep working on the matter short of trial under Rule 3.7?
The Panel concluded that while Rule 3.7(a) bars a likely-necessary-witness lawyer from acting as trial advocate, it does not bar the representation entirely; the attorney may continue in negotiations …
My spouse is a clerk in the Bankruptcy Court with ministerial duties. If I am appointed a Chapter 7 bankruptcy trustee, does that create a conflict of interest under Rule 1.7?
The Panel concluded that, on these facts and consistent with Rule 1.7(b) and its prior opinions, the attorney's appointment as a local bankruptcy trustee would not give rise to a conflict under the Ru…
Can I put up an 'attorney at law' sign at my brother's medical office building even though I don't hold office hours or practice law there?
The Panel concluded that placing a sign at an office location where the attorney does not practice law is misleading to the public under Rule 7.1, because a sign conveys that an attorney holds office …
My new client's former lawyer let the case be dismissed by ignoring discovery. Must I report that lawyer to the disciplinary office, even though my client could lose the ability to collect on a malpractice claim?
The Panel concluded that if the attorney has knowledge of a rule violation raising a substantial question about the other lawyer's honesty, trustworthiness, or fitness, Rule 8.3 requires reporting, su…
I handled a client's first divorce. Now that client's new spouse wants to hire me for a divorce against my former client. Can I take that case under Rule 1.9?
The Panel concluded that under Rule 1.9 the attorney may not represent the new spouse against the former client unless the former client consents after consultation, and regardless of consent may not …
My old clients' minor child got a settlement held in trust by the parents, and I now hear the trust funds are missing. Do I have any duty to the child or to seek an accounting under Rule 1.9?
The Panel concluded that, assuming the attorney does not represent the guardian and no longer represents the parents, the attorney has no legal obligation to protect the minor's interest, and may not …
A government agency served me with a summons for my client's records. Do I have to hand them over, and would that violate the attorney-client privilege under Rule 1.6?
The Panel concluded the attorney must assert the attorney-client privilege where producing the records would breach Rule 1.6, but must comply with the final order of a court or tribunal of competent j…
Another lawyer who is not in my firm wants me to take on a client and share one-third of the fee. Is that fee-splitting arrangement allowed under Rule 1.5?
The Panel concluded the attorney may divide a fee with a lawyer outside the firm under Rule 1.5(e) if the division is proportionate to each lawyer's services or, by written agreement, each assumes joi…
A state department has a disputed lien on my client's personal injury settlement and my client demands the whole recovery. What do I do with the money under Rule 1.15?
The Panel concluded that because the client and the state agency dispute the lien, Rule 1.15(c) requires the attorney to keep the disputed portion of the settlement separate pending resolution, arbitr…
I have a part-time law practice and am a full-time police officer. Can I be the prosecuting officer and trial counsel for my town's police cases, and do the same for other towns, under Rule 1.7?
The Panel concluded the attorney may serve as trial counsel for the town and other municipalities so long as the lawyer's own interests do not materially limit duties to other clients, but may not pro…
I settled a client's personal injury case and the client has unpaid medical bills, but no lien was filed. I told the hospital it would be paid from the recovery. Do I have to notify and protect the hospital under Rule 1.15?
The Panel concluded that by assuring the hospital of payment the attorney undertook a duty to it, so Rule 1.15(b) required the attorney to promptly notify the hospital on receiving the funds, and any …
I work part-time for one state agency and in private practice I want to represent a former employee of a different state agency in an unrelated matter. My agency and the client don't object, but opposing counsel does. Can I continue?
The Panel concluded that under Rule 1.7(b) the attorney may continue to represent Client B, because that representation is not directly adverse to, or materially limited by, the attorney's other respo…
I represented a city and its zoning board members in a federal suit. The members now want the whole file, including my work product, but city officials tell me not to hand it over and the city pays my fees. What must I produce?
The Panel concluded the zoning board members are clients entitled to the file under Rule 1.17, so the attorney must furnish papers prepared for the client's benefit and all 'end products' the client p…
I represent two clients, and one of them now has information that is directly adverse to the other's workers' compensation and personal injury claims. Can I keep representing both under Rule 1.7?
The Panel concluded that once one client's interests became directly adverse to the other's, Rule 1.7(a) barred continued dual representation, and the attorney should withdraw from representing the se…
My firm got a bank line of credit secured by our accounts receivable, and the bank wants a list of clients with names, addresses, and amounts owed. Does Rule 1.6 let us give the bank that list?
The Panel concluded that a client's name, address, and fee amount relate to the representation and are confidential under Rule 1.6, which does not distinguish confidences from secrets, so the firm can…
A family member of my longtime client has subpoenaed me to testify about the client's financial affairs. Does Rule 1.6 let me testify, and what must I do at the hearing?
The Panel concluded that, absent the client's waiver, Rule 1.6 requires the attorney to attempt to maintain confidentiality and invoke the privilege where applicable, but the attorney must obey a cour…
My client won and isn't indigent. Can I just waive the litigation costs, or does Rule 1.8(e) restrict that?
The Panel agreed that Rule 1.8(e) does not apply where the client is not indigent and the case succeeded, so it is the attorney's prerogative whether or not to waive the costs.
I represent a family suing Town A's school committee. My fiance is a town solicitor for Town A but does not represent the school committee. Does Rule 1.8(i) bar me from continuing, and from unrelated matters?
The Panel concluded the attorney is not barred under Rule 1.8(i) from representing the clients, because that rule addresses a spouse (not a fiance) who is the lawyer for an adverse party; it cautioned…
Another lawyer and I want to lend money to B so B can pay off a mortgage a court ordered as a condition of a land transfer. B is not my client. Does Rule 1.8 stop me?
The Panel concluded the attorney may lend B money because B is not the attorney's client, and Rule 1.8(a) applies only where an attorney-client relationship exists; but it cautioned that knowingly ass…
I represent a therapist and several of the therapist's patients suing a doctor who secretly taped the sessions. If the therapist is compelled to reveal the patients' privileged information, must I withdraw from the patients?
The Panel agreed the attorney should withdraw from representing the patients, at which point they become former clients under Rule 1.9; the attorney may keep representing the therapist only if the pat…
As an assistant town solicitor, I want to offer my breathalyzer-refusal prosecution services to other towns. Can I pitch police chiefs or solicitors directly, and can I mail the offer to each town's solicitor?
The Panel concluded that under Rule 7.3(a) the attorney may not solicit prospective clients in person when the motive is pecuniary gain, so a direct solicitation to town police chiefs is improper, but…
I sued for an insurer to cut off a claimant's workers' comp benefits and confirmed he runs a home business, but that same claimant is now my firm's client for that business. I'll withdraw from both, but must I report the fraud?
The Panel agreed the attorney should withdraw from both representations under Rule 1.17 because of a Rule 1.7 conflict, and concluded that under Rule 1.6, with no exception applicable, the attorney ha…
For years I represented a bank that is now in receivership. A board member wants me to represent him personally in a matter the receiver has brought against the bank. Can I take it?
The Panel concluded that a substantial relationship exists between the past representation of the lending institution and the board member's matter, so under Rule 1.9(a) the attorney needs the receive…
My subcontractor client dealt directly with the homeowner, who twice met with me about the construction problems, once alone. Now I'm collecting for my client against the homeowner. Do those contacts create a conflict?
The Panel concluded that Rule 1.9(a) governed and that the attorney may represent Client A only if he complies with it: because the matters are the same or substantially related and Client A's interes…
I represented the lender and the buyer in a real estate closing, and another lawyer tracing funds paid to the seller has subpoenaed my file. Do I owe the seller confidentiality, and can I turn over cancelled checks and loan documents?
The Panel concluded the attorney had no confidential relationship with the seller because the clients were the lender and the purchaser, and that under Rule 1.6 the attorney may supply the requested c…
Five of us share office space with separate practices. Can we title the office by our last names and use stationery reading 'An Association of Independent Attorneys' while keeping separate accounts and malpractice insurance?
The Panel concluded that lawyers may either be a law firm or share office space, but not both, and that titling the office by the lawyers' last names or using 'An Association of Independent Attorneys'…
I represent a nonprofit association and have done work for some of its members. May I send each member a letter offering my estate-planning services, or must that letter comply with the solicitation rules under Rule 7.3?
The Panel concluded that because the attorney had a professional relationship with the association but not with each individual member, letters offering services to members are solicitations for pecun…
I took an elderly client pro bono through a volunteer project, and now spending down assets for Medicaid is in play. Can I pay myself for my past services out of those assets even though the work was pro bono?
The Panel concluded that under Rule 1.14, because the client is under a disability, a guardian or conservator should be appointed to determine whether the attorney's proposal to compensate himself wou…
Years ago I drafted a will for Y and a trust for Y's spouse. Now the trust company (my client) is being sued by Y and a remainderman over the trust's investments. Can I defend the trust company against Y?
The Panel concluded that because preparing Y's will was not the same or substantially related to the investment suit, the attorney may represent the trust company against Y and Z, but under Rule 1.9(b…
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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.