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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The victim in my client's criminal case was once represented by another lawyer in my firm. Can I impeach the victim using public-record information without violating former-client duties?
The Panel concludes that the attorney may use information about the victim that has become generally known or is a matter of public record to impeach, even though the victim is a former client by…
Is it professional misconduct for me to file a disciplinary complaint against another lawyer who defied a court order and won't pay court-ordered sanctions, when I'd also collect court-awarded fees?
The Panel concludes that filing such a complaint is not misconduct; if the attorney has knowledge that another lawyer acted in a way that questions honesty, trustworthiness, or fitness, Rule 8.3…
A former partner represented Client X while we shared a firm, though I never worked on it. After the firm dissolved, can I take a new client adverse to X on a related lease?
The Panel concludes that under Rule 1.10(c) the attorney need not withdraw as long as the new matter is not the same or substantially related to the former partner's representation and the attorney…
Opposing counsel says they'll call both partners in our two-lawyer firm as witnesses about a settlement agreement. Can the partner whose role was limited still try the case?
The Panel concludes that under Rule 3.7 the partner is not precluded from acting as trial advocate, because that partner is not likely to be a necessary witness and the potential testimony will not…
Two independent lawyers who lecture together want to form a joint 'firm' in a niche field while keeping their separate practices. Can we hold ourselves out that way?
The Panel concludes that the Professional Service Corporation Act bars practicing in two professional corporations without regulatory approval, and that the Rules do not resolve the other proposed…
I'm the co-executor and attorney for an estate that can't find other counsel, and I'll definitely be a witness. Can I act as advocate at trial under Rule 3.7?
The Panel declines to decide, because it cannot determine on the facts whether Rule 3.7(a)(3)'s substantial-hardship exception applies, and suggests a motion in the pending court, with notice to all…
I represent ABC Corporation in one lawsuit. A minority-shareholder officer wants me to represent him against the other shareholders. Can I, even if I withdraw from the corporation?
The Panel concludes that under Rule 1.7 the attorney may not represent the shareholder against the corporation unless both the corporation and the shareholder consent after consultation, and…
I represent a client suing a state agency. That same agency wants to hire me as a special prosecutor in an unrelated matter. Can I take it on?
The Panel concludes that under Rule 1.7 the attorney may represent the state agency as special prosecutor so long as the lawyer reasonably believes the other client will not be adversely affected…
My partner and I want to advertise our personal-injury work under just 'A and B attorneys' without naming our actual law firm. Is that allowed?
The Panel concludes the proposed advertisement would be misleading under Rule 7.1 because it omits a material fact -- the firm in which A and B practice -- and implies that A and B are a separate…
Can I state on my letterhead that I'm certified by the National Board of Trial Advocacy, and do I have to add the Rule 7.4 no-certification-procedure disclaimer?
The Panel concludes the certification statement may be placed on letterhead if it complies with Rules 7.1 and 7.4, and because it implies a concentration, the Rule 7.4 disclaimer that Rhode Island…
Can I form a non-profit corporation that gives artists low-fee legal, financial, and tax consulting, and serve as its officer, employee, and occasional retained lawyer?
The Panel concludes the lawyer may serve as a member, officer, or director under Rule 6.3, be employed or retained while maintaining independent judgment under Rule 5.4, but may not share in fees…
I want to run a newspaper notice asking the public for information about a notorious case, not to get clients. Are the lawyer advertising rules triggered?
The Panel concludes that because the attorney does not intend to solicit business, the notice is not an advertisement; if the intent were to solicit business, the attorney would have to comply with…
The predecessor attorney claims 50% of the fee and won't itemize her work. As the successor lawyer, isn't she limited to quantum meruit for the value of her services?
The Panel concludes the fee should be divided according to quantum meruit, the fair value of the predecessor's services before termination, resolved by agreement or, failing that, by a court or the…
Years ago I briefly advised a former client on a promissory note. Can I now represent a new client in an unrelated debt-collection matter against that former client?
The Panel concludes that under Rule 1.9 the representation is permissible if the debt-collection matter is not the same or substantially related to the prior work and the lawyer does not use…
I handled a real estate closing years ago and I'm not sure whether I represented the buyer, the seller, or both. Now I've been subpoenaed to a grand jury about it. What must I do?
The Panel concludes that if both buyer and seller consent the attorney may comply, but absent full consent the attorney must move to quash and assert the attorney-client privilege under Rule 1.6,…
The mayor appointed me to a narrow municipal committee overseeing one fund. Can my firm keep suing the same municipality and appearing before its boards in unrelated matters?
The Panel concludes that, because the lawyer serves as a member (not counsel) of a narrowly-defined committee and the firm's matters are unrelated to it, the firm is not precluded from representing…
I represent a corporation and its sole shareholder, and I've done work for an employee too. Can I represent the shareholder in selling stock to that employee?
The Panel says it depends on whether the employee is still a client: if so, Rule 1.7 governs and requires consent; if the employee is a former client, Rule 1.9 permits the representation unless the…
Is an unsolicited brochure mailed to prospective clients a solicitation under Rule 7.3, and does a shared trade-organization membership count as a prior professional relationship?
The Panel concludes the unsolicited brochure mailing is solicitation subject to Rule 7.3(b) (including the advertisement marking), a common trade-organization membership is not a prior professional…
One of my partners is a part-time municipal court judge. Can the rest of our firm represent clients whose interests are adverse to that municipality?
No firm member may appear before the judge. In a matter the judge previously handled, a firm member may appear only if the judge is screened under Rule 1.11(a), receives no fee, and the appointing…
I can't locate two personal-injury clients, and investigators say their claims are fraudulent. Can I withdraw, and must I still file suit before the statute of limitations runs to protect them?
The Panel concluded the attorney must exercise diligence in trying to locate the clients, and that if the attorney reasonably believes a claim is fraudulent, withdrawal is permitted under Rule 1.17;…
Can my firm name its real estate title department with the partners' initials, like 'ABC Equity Title Group,' and put only that name on the department's building sign and letterhead?
The panel advised that Rules 7.1 and 7.5 apply and that the proposed name for the equity title department is misleading and confusing to the public; the panel also stated it did not understand why…
I'm licensed in two other states but not in Rhode Island. Can I serve as general counsel to a Rhode Island insurance company, advising it on its legal obligations?
The Panel declines to answer because its jurisdiction is limited to requests from Rhode Island Bar members about their own prospective conduct, and it refers the attorney to Rhode Island's statute…
My secretary previously worked for the firm now representing the wife and knows confidential information about her. Can my firm keep representing the husband, and can the husband waive the conflict?
The Panel concludes the secretary's knowledge is imputed to the firm under Rules 5.3 and 1.10(b); a waiver is possible under Rule 1.10(d)/1.7, but because obtaining the husband's consent would…
After I withdrew from a client's case because I learned his claim may be fraudulent, must I report it, refund my fee, or warn his new lawyer?
The Panel concludes that Rule 1.6 protects the information, so the attorney may not disclose it to anyone (including new counsel) without the client's consent, and, absent prior knowledge of the…
I want to publish a newspaper advice column as an advertisement. Does Rule 7.2 let me satisfy the filing requirement by sending Disciplinary Counsel a subscription to the paper instead of each ad?
No. The Panel concludes that Rule 7.2(b) requires the attorney to send a copy of each print advertisement to Disciplinary Counsel; mailing a newspaper subscription does not comply.
I was served with a subpoena duces tecum to bring a client's closed file to a deposition. May I assert the attorney-client privilege, and what do I do if the court orders disclosure?
The Panel concludes the attorney has a duty under Rule 1.6 to invoke the attorney-client privilege when applicable, and must comply if a court ultimately issues a final order requiring disclosure.
Can I advance the court costs and litigation expenses for indigent personal-injury clients and be reimbursed only if the case recovers?
Yes. The Panel concludes that advancing court costs and litigation expenses, with repayment contingent on the outcome, is permitted under Rule 1.8(e)(1) as long as the advanced costs are related to…
Opposing counsel subpoenaed a physician's records without notifying the parties or a hearing. Is that a rules violation, and what can I do about it?
The panel declined to comment on another attorney's conduct or to opine on the rules for issuing subpoenas, but noted that the inquiring attorney may rely on Rules 8.3 and 8.4: if the attorney…
Can I charge a client for the court filing and service costs of a Criminal Injury Compensation Fund claim, and can I stop working if the client won't pay them?
The panel declined to answer whether charging the client for those costs is proper because it turns on substantive law outside legal ethics, but advised the attorney have the proposed fee agreement…
My spouse owns a constable service. Can I use it in my law practice if I tell all my clients about the arrangement in writing?
The panel advised that Rule 1.7(b) applies and that the attorney should make full disclosure to clients of the spouse's interest in the constable business; if the attorney refers clients to the…
I represent a client in a divorce and also represent the opposing lawyer in a separate, unrelated matter. My client consented. Does that violate the conflict rules?
The panel advised that Rule 1.7(b) governs and that the inquiring attorney may represent the adverse counsel in the separate matter if the attorney reasonably believes representation of the domestic…
My former divorce client's new lawyer says I coerced her into the divorce, and I've been subpoenaed to testify. How do I proceed without violating her confidences?
The panel directed the subpoenaed lawyer to invoke the client's privilege unless waived, minimize disclosure, and comply with a final court order requiring information about the client. It quoted…
My former client's new lawyer disputes my attorney's lien. Can I write the former client directly to explain the lien without violating Rule 4.2?
The panel advised that Rule 4.2 is implicated only when a lawyer communicates with a represented party in connection with the representation of, or on behalf of, a client; here the inquiring…
Under my written collection agreement, I front litigation expenses and get reimbursed from what one suit recovers to cover the costs of prior suits. Is that proper?
The panel advised that this conforms to Rule 1.8(e)(1), which lets a lawyer advance court costs and litigation expenses with repayment contingent on the outcome, as long as the reimbursements follow…
I did a title report for a lender. A third party bought the loan and now demands my whole file, including my own abstracts and charts. Are they entitled to it?
The panel advised that a client is entitled on termination to the papers and property belonging to the client, excluding the attorney's work product; here, though, the demand comes from a third…
My personal ties to town council members will make three of them recuse, leaving only the four votes needed and requiring unanimity for my client. Can I still represent the client before the council?
The panel advised that Rule 1.7(b) applies and that the attorney's personal relationship with the council is a conflict because the recusals materially limit the client's ability to obtain the…
Can I advertise on a hotel-lobby wall display that shows my name, address, and general-practice notice and has a phone that dials my office directly?
The panel advised that Rule 7.2 applies and that communicating the firm's name, address, and telephone number in this way is permitted under the Rules as long as the attorney follows the guidelines…
I'm a state lawyer working on a matter. Can I send a job application to a firm that was involved as counsel in that same matter?
The panel advised that Rule 1.11(d)(2) prohibits a lawyer serving as a public officer or employee from negotiating for private employment with any person who is a party or attorney for a party in a…
I'm a part-time municipal solicitor who also has a private firm. When my firm's private client sues the town, can an assistant solicitor I supervise represent the town?
The panel advised that, by analogy to Rule 1.11 and under Rule 1.10, it could not conclude the inquiring solicitor was effectively screened from the matter when the only person to whom he could…
Can I mail people who are owed unclaimed money or property a letter with a contingency fee agreement offering to recover it for them?
The panel advised that such a letter is or may be construed as a direct solicitation of legal services governed by Rule 7.3, so the attorney must comply with Rule 7.3(b)'s written-communication…
Our bench-bar committee wants to invite judges as guests to an annual holiday party that the attorneys pay for. Is inviting judges to that party ethically appropriate?
The panel advised that inviting judges to a holiday event of minimal monetary value, hosted by the court bench/bar committee and the attorneys who regularly appear before the judges rather than one…
I contacted the judge to move up my motion's hearing date without discussing its substance. Did I need to notify opposing counsel first?
The panel said the attorney was largely asking it to comment on substantive law, but cited Rule 3.5(b), under which a lawyer shall not communicate ex parte with a judge except as permitted by law;…
My client's first lawyer was suspended, and his former partner now claims a lien for that work. The client tells me not to pay either of them. Do I honor that?
The panel advised that Rule 1.5(e) governs fee division and that the fee for the suspended attorney should be divided based on quantum meruit; the inquiring attorney should hold the fee amount in…
Can I collect a one-third contingent fee from a client who won't cooperate with collection, when I never put the contingent-fee agreement in writing?
The panel advised that Rule 1.5(c) governs and that, to collect a contingency fee, the attorney should have set the agreement forth in writing as the rule requires; the panel added that the attorney…
An out-of-state lender makes me keep its mortgage proceeds in a non-IOLTA account it controls. I move the funds to my Rhode Island IOLTA account on closing day. Does that comply with Rule 1.15?
The panel advised that Rule 1.15 governs and that, because the lender refused to designate its account as IOLTA, the proper course is to withdraw the funds from the non-conforming account and…
I paid a Probate Judge's bill for special sessions I requested. Opposing counsel says that's improper. Is it ethical for a lawyer to pay a probate judge for special-session time?
The panel declined to comment on the judge's conduct, which is governed by the Canons of Judicial Ethics, but said that because paying for special sessions is understood to be a common Rhode Island…
A prior attorney has a disputed lien on my client's file. The case settled and I'm holding the funds. Do I pay the client, who says the lien is frivolous, or the prior lawyer?
The panel advised that the attorney should not unilaterally arbitrate the dispute; under Rule 1.15(b) the disputed amount of the prior attorney's lien may be kept separate and not disbursed until…
My client's prior lawyer was suspended from practice. How can I compensate that suspended lawyer's office for the legal work it did before the suspension?
The panel advised that the fees should be divided according to quantum meruit, meaning the fair value of the services rendered before the former attorney's termination of the representation; absent…
My client's prior lawyer knew the client's accident was fraudulent. The client won't consent to my disclosing it. Must I still report that lawyer under Rule 8.3?
The panel advised that because the client refused to consent to disclosure under Rule 1.6, the attorney is prohibited from revealing the information; Rule 8.3(c) does not require reporting…
I married a court clerk with ministerial duties assigned to a judge I regularly appear before. Do my firm and I need to take precautions when appearing before that judge?
The panel advised that it is unlikely the attorney can influence the judges in the specialized court, and that where the clerk's duties are ministerial and the attorney and firm do not state or…
My office represented a husband and wife in real estate deals. Can I now represent the wife in a divorce against the husband?
The panel advised under Rule 1.9 that it could not tell from the facts whether the matters are substantially related; assuming they are, the attorney should obtain the husband's consent, preferably…
Opposing counsel dealt directly with my client in court about the settlement without me present. Do I have to report that Rule 4.2 violation, and does confidentiality limit me?
The panel advised that if the inquiring attorney believes his client was intentionally misled and defrauded and that the opposing lawyer violated Rule 4.2 in furtherance of that fraud, he is…
I represented a borrower buying property. Can I now represent the seller of that same property in a civil assault suit against the borrower?
The panel advised under Rule 1.9 that the attorney may represent the seller in a civil suit against the borrower because the matters are not substantially related, but the attorney may not use…
I was a law clerk for the Workers' Compensation Court and now handle comp cases at a firm. Is there a waiting period before I can appear before that court's appellate division?
The panel advised that Rule 1.11's one-year abstention rule does not apply to the law-clerk pool; a former clerk may appear before the appellate division so long as the clerk did not participate…
I'm a court-appointed receiver of a corporation and work closely with one of its employees. Can I take on the employee's spouse as a client in an unrelated criminal case?
The panel advised that these circumstances do not create a conflict of interest under Rules 1.7, 1.8, or 1.9, because the receivership of the corporation and the representation of the employee's…
Can I bill an estate a flat percentage of its value for administering it if the client signed a written contract agreeing to that percentage fee?
The panel advised that Rule 1.5 governs and that the attorney should assess a fee that is reasonable under the circumstances and commensurate with the time and labor and the value of services…
I represented a business owner in incorporating and a related lease. Can I now represent the broker suing that owner for a commission on the same business's sale?
The panel advised that Rule 1.9 governs and that it could not conclude the attorney's former representation of the seller (in incorporating the business and preparing a related lease) is not…
In an earlier case, C paid part of my other clients' fees but I never represented C. Can I now represent A, who is C's co-defendant?
The panel advised that the attorney may represent Client A, because the fact that C once contributed to an earlier client's fee does not make C a former client; third-party payment is governed by…
Can I run seminars for, and take client referrals from, a business owned by the probate judge I regularly appear before?
The panel advised that the attorney does not violate any Rules of Professional Conduct by conducting seminars for and receiving referrals from a non-legal organization owned by a probate judge, as…
My spouse is the state chief hearing officer who assigns cases. Can I, as a private attorney, appear before other hearing officers in her division if she recuses from my matters?
The panel advised that under Rule 1.8(i) the disqualification is personal to the attorney-wife and is not imputed to the office, so the attorney-husband may appear before another hearing officer so…
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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.