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 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…
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…
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…
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…
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…
Do the ethics rules require me to keep closed client files for a set number of years, and do they dictate how I must destroy those records?
The Panel concluded that the Rules of Professional Conduct do not address a file-retention period, but pointed to R.I.G.L. section 8-14-2, which lets an attorney destroy records seven years after a…
A former personal-injury client is now suing me over a car accident we were both in, claiming injuries like the ones from the old case. What can I do with the confidential information from my earlier representation?
The Panel concluded that under Rule 1.9(b) the attorney may not use or reveal information obtained in the former representation to the former client's disadvantage, unless that information has…
My firm wants to refer overdue client accounts to a collection agency, giving it each debtor's name, address, and the amount owed. Do the confidentiality rules allow that?
The Panel concluded that the debtor clients' identity and the amount due may be revealed to a collection agency under Rule 1.6(b)(2), because doing so establishes a claim on behalf of the law firm.
I represented both X and Y, and Y (using a power of attorney I drafted) cashed X's settlement check and kept a third. I've withdrawn from representing Y. May I keep representing X?
The Panel concluded the attorney was not ethically prohibited from continuing to represent X, but that if X sought to assert rights against Y for the money Y withheld, the attorney could not…
My clients unreasonably refused a settlement I recommended, then fired me and hired new counsel. Can I claim an attorney's lien equal to my contingent percentage of the offers they turned down?
The Panel advised that, per General Informational Opinion #4, the proper measure of recovery for a discharged lawyer is the reasonable value of services performed before discharge, not the…
I once represented a mother in a domestic case (now closed) and she still owes me fees. I now represent a criminal defendant charged with assaulting her daughter. Is that a conflict under Rule 1.9?
The Panel concluded there was no Rule 1.9 conflict because the two matters were not the same or substantially related and the defendant's interests were not materially adverse to the mother; the…
I take part in a public state corporation's selection process. My firm represents a shareholder of one bidding company but not the company itself. Do the conduct rules bar my participation?
The Panel perceived no violation of the Rules of Professional Conduct, because the attorney was not legal counsel to the corporation and had no client-lawyer relationship with the bidding company,…
I represented three clients together in a real estate matter that closed in 1992. Can I now represent one of them in an unrelated matter that involves another one of them?
The Panel concluded that because the earlier real estate matter and the proposed matter were not the same or substantially related, Rule 1.9 did not bar the attorney from undertaking the proposed…
Two beneficiaries told me in confidence that they fraudulently got witnesses to sign a will now headed to probate elsewhere. Must I disclose the fraud to that probate court or their new lawyer?
The Panel concluded that because the beneficiaries' fraudulent conduct had already begun and no Rule 1.6(b) exception applied, the attorney may not reveal the information and could not disclose it…
My IOLTA account is charged a bank wire fee each time funds come in, and I forward the interest to the RI Bar Foundation. May I deduct the wire fees before sending the interest?
The Panel concluded that under Rule 1.15(d) the interest on an IOLTA account is remitted to the Rhode Island Bar Foundation net of any service or fees, so the firm should have the bank deduct the…
I represent a wife seeking custody in a divorce, and her child says the wife's boyfriend assaulted the child. May I also represent the boyfriend in the sexual assault matter?
The Panel could not determine on the facts whether representing the boyfriend would violate Rule 1.7(b), but it speculated the representation could materially limit the lawyer's responsibilities to…
A court retained me to represent it in pending investigations. May I keep actively practicing before that same court while I represent it as an institution?
The Panel opined that nothing in the Rules of Professional Conduct prohibited a lawyer from appearing before a court he also represented, and that the client-lawyer relationship with the court…
My law partner was just appointed to the town council my clients are suing. Can I keep prosecuting the lawsuit even though it now targets my partner's board?
The Panel concludes Attorney B is prohibited under Rule 1.7(b) from continuing in the lawsuit after joining the council, and that his disqualification is imputed to Attorney A under Rule 1.10, so --…
The insurer paid my client more than the ambiguous award seems to require, and I escrowed the difference. Must I tell the other side it may have overpaid?
The Panel concludes the attorney must notify the other side that he holds the possibly overpaid funds under Rule 1.15(b), and must disclose the possible overpayment under Rule 4.1(b) and Rule…
My firm runs free public seminars on a field of law and advertises them in a statewide newspaper. The ad touts one legal instrument over another but carries the RI specialization disclaimer. Does it comply with Rule 7.1?
The Panel concluded the seminar advertisement did not violate Rule 7.1; although it implied a concentration by the firm, it contained the Rule 7.4 statement that Rhode Island has no procedure for…
Can my firm run a newspaper ad that touts our prior 'largest jury award in New England history' if we include a disclaimer that each case is unique and results are not guaranteed?
The Panel concluded that any reference to a prior favorable verdict in an advertisement violates Rule 7.1(b) as misleading, notwithstanding disclaimers, so it could not condone the ad; it also could…
My firm's clients want to pay for and run an ad to recruit more class-action plaintiffs, and it praises my firm. Does the ad have to follow the lawyer advertising rules, and does this one comply?
The Panel concluded that an ad paid for and run by clients is still subject to the advertising rules because it contains information about legal services, and that this ad violated Rule 7.1: 'top…
Rule 1.8(e) bars advancing money to a client in litigation. Does that also stop me from lending a client money for something unrelated to the case, through a loan agreement?
The Panel concluded that Rule 1.8(e) applies only to financial assistance connected to litigation, so Rule 1.8 does not outright prohibit lending a client funds for purposes unrelated to the…
I represent a doctor before the medical board and my co-counsel wants to cross-examine the board's expert, a doctor I have separately represented. Does Rule 1.7 forbid it?
The Panel concluded that Rule 1.7 did not prohibit the arrangement because the two representations were not directly adverse and neither was materially limited, but it reminded the attorney not to…
I am a police-department lawyer and Assistant City Solicitor. Can I do paid research for private law firms or take referral fees in cases involving my city?
The Panel concludes the attorney, who is City A's lawyer as an Assistant City Solicitor, may not represent anyone directly adverse to City A under Rule 1.7, and that under Rule 1.11 he may not do…
I represented an institution years ago. Can I now represent a client suing that institution on an unrelated matter?
The Panel concludes that because no substantial relationship exists between the past representation of the institution and the proposed representation, the attorney may undertake the new matter…
I represent a class suing an academic institution. Can I also represent an employee of that institution in a separate suit against it?
The Panel concludes Rule 1.7 does not preclude the attorney from representing the employee, because on the facts the employee's interests do not appear adverse to the interests of the clients in the…
I learned my client allegedly forged signatures, and after withdrawing the client wants the documents, the examiner's report, and the test sheets back. Can I disclose, and must I return them?
The Panel concludes the attorney may not disclose knowledge of the client's alleged forgeries because Rule 1.6's exceptions do not apply and the duty of confidentiality survives termination, and…
Our city law department defends municipal employees in a negligence suit but has also prosecuted some of them. Can we keep representing those employees?
The Panel concludes the municipal law department may not continue to represent employees it has prosecuted or who are in positions adverse to the municipality, because their interests are directly…
I am a shareholder in a closely-held corporation. Can I also serve as the corporation's lawyer?
The Panel concludes the shareholder may represent the corporation under Rule 1.7 only if the attorney believes the representation will not be materially limited by his own interests as a shareholder…
I am legal counsel to a town's school committee. Can I represent a client before a state agency where the town itself is the adverse party?
The Panel concludes Rule 1.7(a) does not preclude the representation, because the attorney's client-lawyer relationship is with the school committee, not Town A, so representing the client against…
My former partner left our now-dissolved firm and the practice of law, leaving a client whose mail bounced. What duty do I owe that client?
The Panel concludes that the inquiring attorney's duty to assure a former partner's compliance ended when the partner left the firm, and that absent an undertaking to represent the client, the…
I represent a defendant in a personal injury case, and the plaintiff's treating physician -- who may testify -- is my former client. Is that a conflict?
The Panel concludes the attorney may represent the defendant in conformity with Rule 1.9, because the matters are not the same or substantially related and the defendant's interests are not…
I prepared a patent assignment for two co-clients who now dispute it. Must I withdraw, can I share the terms with one's new lawyer, and what is in the file?
The Panel concludes the lawyer, having acted as intermediary, must withdraw under Rule 2.2 now that the co-clients dispute the intermediation's subject, may communicate the assignment terms to a…
I formed a close corporation for two clients and served as its counsel; can I now represent one shareholder against the other in their dispute?
The Panel concludes that if the attorney acted as an intermediary in organizing the corporation he must withdraw and cannot continue to represent one client in the intermediation's subject matter,…
Can I charge nonclient adversaries a court-equivalent fee for photocopies of nonconfidential public-record documents produced on behalf of my clients?
The Panel perceives no violation of the Rules of Professional Conduct in the attorney's proposed conduct -- charging nonclient adversaries a fee equivalent to a court's charge for photocopies of…
My partner is counsel to a town's water supply board. Can either of us represent private clients before that town's zoning board of review?
The Panel concludes that because the attorney's client-lawyer relationship is only with the water supply board -- not the zoning board or the municipality -- and the agencies are not interconnected,…
I am a lawyer and a certified public accountant. Can I list 'CPA' in my advertising, on my letterhead, and on my business cards?
The Panel concludes the attorney may designate 'CPA' in advertising and on letterheads, because Rules 7.1, 7.5, and 7.4 do not prohibit indicating that a lawyer is also qualified in another field…
I defended a client in a DUI case that ended in a plea. Can I now represent the tavern in the related civil suit arising from the same facts?
The Panel concludes a substantial relationship exists between the prior criminal defense and the tavern's civil case, so under Rule 1.9(a) the attorney must obtain the former client's consent before…
My contingent-fee personal injury case was dismissed for the client's discovery failures. Can I now bill the client hourly instead?
The Panel declines to condone the attorney's attempt to avoid or restate the terms of the contingent fee agreement at this late date, and, noting Rule 1.5(c) requires a contingent fee agreement to…
I represented one spouse in a divorce five years ago. Can I now represent the other spouse in a child-support case against my former client?
The Panel concludes that because the matters are the same or substantially related and the new client's interests are materially adverse to the former client's, Rule 1.9 bars the representation…
Can I print 'Wills, Trusts and Probate' on my business cards in Rhode Island?
The Panel concludes the words 'Wills, Trusts and Probate' indicate a concentration in those fields, so under Rule 7.4 the business cards must also state that Rhode Island does not have a procedure…
Office-sharing lawyers advertise as 'an association of independent attorneys.' Is that misleading, and are we treated as a firm?
The Panel concludes the 'association of independent attorneys' sign and advertisement do not violate Rules 7.1 or 7.5, but that the lawyers will be regarded as a firm for Rule 1.10…
I represent a mother in a neglect case, and now the grandparents want me to represent them in seeking placement of the children. Can I represent both?
The Panel concludes the attorney may represent both the mother and the grandparents if the attorney reasonably believes representing the grandparents will not adversely affect the relationship with…
I hold settlement funds that both my former client's bank (now in receivership) and I claim. Must I notify the bank, and can I keep the funds for my fees?
The Panel declines to resolve the competing claims but concludes the attorney must notify the financial institution under Rule 1.15(b) that he holds the funds and must deposit all settlement monies…
I am admitted in Rhode Island and Massachusetts and know of a Massachusetts lawyer's violation of Massachusetts rules. Must I report it under Rhode Island's Rule 8.3?
The Panel concludes the inquiring attorney has no duty under Rhode Island Rule 8.3 to report the alleged violation, because the Rhode Island Rules of Professional Conduct have not been violated --…
I am a state legislator and my proposed law partner is counsel paid by the legislature. Can we form a law partnership?
The Panel concludes the proposed formation of a law partnership or association by a legislator-lawyer and a lawyer paid as legislative counsel does not in itself violate the Rules of Professional…
Can I list my LL.M in Taxation on business cards, advertise Spanish-speaking services, and note that I work with a nonlawyer IRS agent?
The Panel concludes a lawyer may state LL.M after the name and, with the required specialization disclaimer, LL.M in Taxation, and may advertise Spanish-speaking services and share office space with…
I am an adjunct professor at a university. Can I represent a full-time faculty member in a tenure lawsuit against the same university?
The Panel concludes the adjunct-attorney may represent the professor in the tenure suit against the institution, provided the attorney informs the client of the attorney's potential responsibilities…
I am a lawyer and a licensed real estate broker. Can I operate a real estate business out of my law office?
The opinion does not directly prohibit a lawyer from operating a real estate business from the law office, but conditions the practice on compliance with Rule 5.4(b) (no partnership with a nonlawyer…
My criminal client was released from prison to a residential drug program and then left it. Do I have to tell the court?
The Panel concludes the attorney has no duty to disclose that the defendant left the program, because the information is confidential under Rule 1.6(a) and the Rule 3.3 candor duties, which continue…
The debtor's attorney held our lien funds in escrow for about a year without notifying us and only paid after we threatened to enforce. Do we have to report him to the disciplinary board?
The Panel concludes that if the escrow attorney held the funds for roughly a year without prompt notice, that would violate Rule 1.15(b), and if the inquiring attorneys believe his conduct violated…
A non-lawyer friend's out-of-state collection agency wants to send demand letters on my firm's letterhead, handle debtor responses, and split what it collects, with my firm supervising. Is that allowed?
The Panel concludes the arrangement is improper: it would have non-lawyers practice law and would violate Rule 5.4(b) and 5.4 (partnership and fee sharing with a non-lawyer), Rule 5.5 (assisting…
My wife and I are sole practitioners with separate practices, and she is counsel to a state agency director. Can I represent her private client before a state board she has never represented?
The Panel concludes the spouses are not a law firm, so Rule 1.10 imputation does not apply, and Rule 1.8(i) does not disqualify the husband because the wife is not the lawyer representing the…
My client's personal-injury settlement was supposed to pay a creditor who had a body attachment, but the client won't pay. Can I tell the creditor's lawyer the case settled, without the client's consent?
The Panel concludes the attorney may inform the creditor's attorney that the case settled and the client was paid, because that disclosure is impliedly authorized to carry out the representation and…
After the insurer appointed defense counsel, can I as plaintiff's attorney keep negotiating settlement directly with the insurance adjuster over defense counsel's objection?
The Panel concludes that Rule 4.2 bars the plaintiff's attorney from communicating directly with the adverse insurance company's adjuster without opposing counsel's consent, because the insurer is…
Can I keep some of my own money in my client trust account to maintain a minimum balance and avoid bank service charges?
The Panel concludes a lawyer may keep his or her own funds in a client trust account to maintain a minimum balance and avoid bank service charges, provided the amount does not exceed what is…
As a lawyer who is also a registered investment adviser, can I pay a referring attorney a referral fee out of the commission I earn from a client's investment business?
The Panel concludes the lawyer-investment adviser may not pay another attorney a referral fee from commission proceeds under Rules 5.4 and 1.8, and stresses that acting as an investment adviser does…
I drafted leases for Client A that were later terminated. Now Client B wants me to collect the unpaid balance on those same contracts against A. Is that a conflict?
The Panel concludes that under Rule 1.9 this is a conflict, because the collection matter is the same or substantially related to the lease work the attorney did for Client A and Client B's…
I represented Client X before a licensing board while X worked for Company Y, and now Y has been summoned before the same board. X consents. Can I represent Y?
The Panel concludes that under Rule 1.7 the attorney may represent Company Y before the licensing board if the attorney reasonably believes the representation will not adversely affect Client X and…
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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.