Solicitation
Rule 7.4 Communication of Fields of Practice and Specialization
(a) A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. (b) A lawyer admitted to engage in patent practice before the United States Patent and Trademark Office may use the designation "Patent Attorney" or substantially similar designation. (c) A lawyer engaged in Admiralty practice may use the designation "Admiralty," "Proctor in Admiralty" or a substantially similar designation. (d) A lawyer shall not state or imply that a lawyer is certified as a specialist in a particular field of law, unless: (1) the lawyer has been certified as a specialist by an organization that has been approved by an appropriate state authority or that has been accredited by the American Bar Association. (2) The name of the certifying organization is clearly identified in the communication.
Rule 7.3 Solicitation of Clients
(a) A lawyer shall not by in-person, live telephone or real-time electronic contact solicit professional employment when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain, unless the person contacted: (1) is a lawyer; or (2) has a family, close personal, or prior professional relationship with the lawyer. (b) Notwithstanding the prohibitions in paragraph (a), a lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in-person or telephone contact to solicit memberships or subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan. (c) A lawyer shall not solicit professional employment by written, recorded or electronic communication or by in-person telephone or real-time electronic contact even when not otherwise prohibited by paragraph (a), if: (1) the target of the solicitation has made known to the lawyer a desire not to be solicited by the lawyer; or (2) the solicitation involves coercion, duress, or harassment; (d) Every written, recorded or electronic communication from a lawyer soliciting professional employment from anyone known to be in need of legal services in a particular matter shall include the words "Advertising Material" on the outside envelope, if any, or at the beginning and the ending of any recorded or electronic communication, unless the recipient of the communication is a person specified in paragraphs (a)(1) or (a)(2).
When are you not allowed to solicit a potential client properly?
1. The target of the solicitation has made it known that they do not want to be solicited 2. The solicitation involves coercion, duress, or harassment
Rule 7.5 Firm Names and Letter Head
(a) A lawyer shall not use a firm name, letterhead or other professional designation that violates Rule 7.1. A trade name may be used by a lawyer in private practice if it does not imply a connection with a government agency or with a public or charitable legal services organization and is not otherwise in violation of Rule 7.1. (b) A law firm with offices in more than one jurisdiction may use the same name or other professional designation in each jurisdiction, but identification of the lawyers in the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located. (c) The name of a lawyer holding public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with the firm. (d) Lawyers may state or imply that they practice in a partnership or other organization only when that is the fact.
What does a firm name or branding have to be?
1. Truthful and non-misleading
A lawyer opened a law practice that concentrated on ERISA work. "ERISA" refers to the Employee Retirement Income Security Act of 1974, a federal law that sets minimum standards for most voluntarily established pension and health plans in private industry. The lawyer advertised on her web page that she limited her practice to helping small companies comply with ERISA and also handle other state pension planning issues. The lawyer's page stated that her practice did not include general taxation work or other business law matters. It truthfully stated that the lawyer had represented over 100 companies on their ERISA plans. May the lawyer advertise her area of practice in this way? A Yes, because a lawyer may communicate to prospective clients that she does or does not practice in a particular area of law. B Yes, because ERISA law arises from federal statutes and is therefore federal law preempts state regulation. C No, because the lawyer implied a specialization in ERISA law by saying he limited her practice to helping small companies comply with ERISA. D No, because the lawyer indicated that she had represented over 100 companies on ERISA plans.
A Under Model Rule 7.4(a), a lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law. This communication is permitted to inform prospective clients about the lawyer's areas of practice.
Can you include the name of a public official who was previously a part of the firm?
No
If you share office facilities with another lawyer but do not associate with each other can you share a law firm name?
No, because this suggests that you are practicing with each other which makes this misleading
A law firm specialized only in enforcing child support agreements for a contingent fee of 15%. A similar service was provided for no cost by the State Attorney General's office and the division was called "State Child Support Enforcement." The law firm used the name, The State Child Support Enforcement Law Firm. Is it proper for the lawyers in the firm to use this name? A Yes, because the firm name accurately describes the work done by the lawyers in the firm. B Yes, because the name uses "Law Firm" in advertising its services. C No, because lawyers are not permitted to use a trade name as the name of their firm. D No, because the name implies an association with the State and therefore clients could believe that the firm was part of a State Agency or affiliated with the State Government.
D The name used here implied a connection with the State, and adding the Child Support Enforcement phrase implies a connection with the state division of the Attorney General's office that performs these services.
A civil rights lawyer heard that the federal government was deporting green card resident aliens who had received simple parking tickets and driving violation citations. The lawyer obtained the police records of citations and parking tickets and called individuals trying to find a person who was the subject of one of these deportation proceedings. The lawyer found a prospective client and visited her home to offer his legal service for no fee. The lawyer was committed to civil rights and every year he selected several clients to represent on a no fee basis. Of course, the lawyer hoped to prevail and may seek to recover his fees from the government under the federal civil rights fee shifting statute. Was the lawyer's conduct consistent with the Model Rules? A Yes, because the lawyer solicited prospective clients in a case in which pecuniary gain was not a significant motive of the lawyer. B Yes, because the civil rights law authorizes lawyers to initiating litigation to determine whether there is a violation of the law. C No, because the lawyer hoped to recover fees under the federal fee shifting statute. D No, because the lawyer telephoned a large number of individuals who had received parking tickets and driving citations.
A Under Model Rule 7.3(a), the prohibition against solicitation does not apply when the lawyer's pecuniary gain is not a significant motive for the lawyer's contact. Civil rights lawyers thus can contact prospective clients in person under the associational rights of the first amendment. To date, a hope that lawyer fees might be recoverable under the federal civil rights fee shifting statute has not been found sufficient to render the lawyer's contact improper in a case like this one.
A criminal defense lawyer heard on a television news story that his good friend and former college roommate, a computer executive had been arrested in a drug raid. The lawyer jumped in his car and drove to the jail. Of course, the lawyer was concerned about police interrogation tactics with an unrepresented defendant. When the lawyer appeared, he asked to see his former roommate and he asked whether his former roommate would retain him at his normal hourly rate. The lawyer did not inquire whether the former roommate had already contacted anther lawyer. The former roommate was so happy to see his friend that he quickly agreed to the legal representation. Is the lawyer's in person contact in these facts permitted under the Model Rules? A Yes, because the lawyer had a close personal relationship with the former roommate. B Yes, because the former roommate's legal status was in jeopardy and the lawyer sought to protect him from questioning by the police. C No, because the lawyer imposed himself upon his former roommate in a situation calling for an immediate response during a time of duress. D No, because the lawyer did not ask his former roommate if had had already contacted another lawyer.
A Under Model Rule 7.3(a), the prohibition against solicitation does not apply when the party solicited is a former client or a close personal friend. The policy underlying this exception is that it would be strange to prohibit lawyers from contacting family, former clients, and close personal friends who may need legal help and such individuals are more likely to know whether they wish to hire the lawyer or another person to represent them.
The Acme Law Firm, a national law firm of 1000 lawyers has 20 partners and 980 associates. Acme has offices in 30 states; 20 of the offices are managed by a partner and 10 are managed by an associate. Each of these partners and associates is licensed in the state where their office is located. None of the managing lawyers is licensed in more than one state. The firm uses one letterhead in all of its offices under the heading, The Acme Law Firm, Representing Clients Across the United States. The letterhead lists all of the cities of the law firm offices and the names of the 20 partners and 10 associates of the firm that manage the offices. The letterhead does not provide any information about the licensure of the 30 managing lawyers listed. The lawyers in the firm have represented clients in all 50 states, associating with other counsel in states in which they do not have an office. The law firm also includes one toll free number that routes calls to the office in the state of the calling party. Which of the following would subject Able and Baker to discipline for its communication efforts? A Failing to include information on the letterhead about the 30 managing lawyer's licensure restrictions. B Listing associates on the letterhead as managers of 10 offices. C Using a single letterhead for all correspondence. D Using the byline: "Representing Clients Across the United States."
A Under Model Rule 7.5(b), a law firm listing names of lawyers on the letterhead in an office of the firm must indicate any limitations on their licensure. By listing 30 locations, and no limitations on the lawyers' licensure, the letterhead implies that all 30 lawyers are licensed in all 30 states.
Jones and Smith were lawyers in the firm, Jones & Smith, LLP, formed as a limited liability partnership. Now, Jones has left and is no longer practicing with the firm. Under which of the following scenarios would it be proper for the remaining lawyers in the firm to continue to use the name Jones & Smith? A Jones retires and is no longer available to practice law for clients of the law firm. B Jones leaves the firm to open another law firm in the city in which Jones & Smith is located. C Jones is appointed United States ambassador to France, a full time governmental position. D Jones runs for election as a State Supreme Court justice and wins.
A Under Model Rule 7.5, a law firm may continue to use the name of the lawyers who retire from practice and who are not available for employment by clients of the firm. Essentially, the firm name becomes a trade name.
A recently licensed will and estates lawyer sought to increase her business in the following ways: Which one of the following would violate the Model Rules prohibition on solicitation? A The lawyer called her aunt, a wealthy widow who had not consulted a lawyer, to see if she could draft a will for her. B The lawyer dropped by a business to visit with the owner to see if the owner needed to update his will. The lawyer had worked on the owner's taxes when she was an accountant before going to law school. C After the law changed, the lawyer called all former law clients who had used her to draft a will to see if they now wanted to update their will. D The lawyer overheard a stranger in an elevator mention that she needed a will, so the lawyer stopped the stranger and offered her legal services to the person.
D The act of solicitation depends upon who initiates the contact. If the person in the elevator had said, "Is there a lawyer on this elevator," there was no solicitation. But since the lawyer offered her legal services to the stranger unsolicited, this conduct would violate Model Rule 7.3 on solicitation. The ban on solicitation is designed to prevent lawyers from contacting prospective clients in person or by live telephone contact because it involves unequal bargaining power and improper pressure on the prospective client to hire the lawyer.
A real estate lawyer joined a prepaid legal services plan operated by an insurance company and sold to citizens in State. The state insurance board licensed the insurance company's prepaid legal services plan. Plan customers paid $25 a month and received 5 hours of free legal services a year. The lawyer participants agreed to provide those 5 hours free of charge hoping to obtain business that would lead to hourly or contingent fees. In more complex representations covered by the plan, the plan would contribute money to the lawyer to represent the client. The real estate lawyer was informed that the plan employed marketing experts who called members of the general public in order to sell the plan. The target recipients of the calls were randomly chosen residents within a 50 mile radius of the lawyer's office. The lawyer joined the plan in hope of increasing his business. Is the lawyer's participation in the prepaid legal insurance plan consistent with the Model Rules? A Yes, because the prepaid insurance plan is regulated by the state insurance board. B Yes, because the plan uses nonlawyers to call prospective clients and none of the targets of those calls are known to need legal services. C No, because the lawyer's agreement to provide 5 uncompensated hours is in exchange for the prospect of gaining a fee paying client. D No, because the lawyer knows that plan marketing specialists will call prospective clients to solicit them to join the plan as paying customers.
B Under Model Rule 7.3(d), the lawyer may be affiliated with a prepaid insurance plan that contacts individuals by telephone soliciting memberships as long as the plan is not owned or directed by the lawyer and the solicited individuals are not known to be in need of legal services covered by the plan. Thus, the operation of this plan is consistent with Model Rule 7.3(d).
National Trial Advocacy (NTA) is a bona fide organization that educates lawyers to represent clients before tribunals. NTA has been approved by the ABA as an organization that can certify specialties in trial and appellate advocacy. A lawyer joined NTA and completed its course on appellate advocacy. After completion of the course, the NTA certified the lawyer as an appellate specialist. The lawyer included a statement in his published advertisements that the NTA had certified the lawyer as an appellate specialist and clearly identified the name of the certifying organization. May a lawyer advertise the fact that she has been certified by the NTA as an appellate specialist under the Model Rules? A Yes, because a lawyer has a first amendment right to include any accurate information in his or her advertisements. B Yes, because the NTA is certified by the ABA as an organization that can certify specialists and the lawyer included the name of the organization in its advertisements. C No, because NTA is a private organization not associated with a government agency or state bar organization. D No, because education in appellate advocacy is not enough to become a specialist. The lawyer must also have substantial experience in a field to become able to claim a specialist designation.
B Under Model Rule 7.4(d), a lawyer who obtains a specialization from an organization approved by the ABA or by the state authority may advertise such a specialization if the lawyer clearly identifies the name of the certifying organization in the advertisement. All of those elements are satisfied here.
A large corporation offered its employees a group legal services plan as part of benefits of employment. Employees could select different coverages for medical, dental, and legal problems. The group legal service plan used outside lawyers to provide employees with free or heavily discounted fees for real estate, wills, and adoptions. During the enrollment period, nonlawyer employees of the plan would call employees to try to get them to enroll in group legal services. One year, these employees researched which company employees had put their home on the market and then they called them to inform them that the plan covered all legal costs associated with a home sale or purchase. An outside real estate lawyer joined the plan because he had heard how successful it was in bringing business to sole practitioners. He knew about the plan's solicitation of clients and thought that it would attract many clients in need of his services. Is the lawyer's participation in the group legal services plan consistent with the Model Rules? A Yes, because the lawyer does not own or direct the persons who operate the legal services plan. B Yes, because the plan uses nonlawyers to call employees of the corporation to join the corporate legal services plan. C No, because the group legal services plan employees called persons who had put their home for sale and therefore were in need of legal services provided by the plan. D No, because the plan required that participating lawyers provide heavily discounted fees for legal services to plan members.
C Once the lawyer knew that the plan employees had sought to discover employees who had put their homes for sale so that they could inform them that the plan would give them free or reduced fee legal services, the lawyer was required to withdraw from the plan to avoid violating the rule against solicitation. See Model Rule 7.3(d).
A criminal defense lawyer's mother was arrested for driving while under the influence of alcohol and the lawyer visited his mom at her home. The lawyer did not ask his mother if she had hired a lawyer. After offering to represent her for free, the lawyer begged his mom to listen. The mom said that she was so embarrassed that she did not want to talk about it. The lawyer came back the next day and called on the third day. He kept bothering the mother even though she kept telling him to leave her alone. Was it permissible for the lawyer to contact his mother in this manner under the Model Rules? A Yes, because the lawyer was related to his mother. B No, because the lawyer was willing to represent his mother for no fee. C No, because the lawyer should have asked his mother if she had already hired a lawyer. D No, because the lawyer continued to contact the mother after she made it known that she did not want to be contacted by the lawyer.
D Permissible targets of solicitation become impermissible once they make it known to the lawyer that they no longer want to be solicited. The contacts about representing the mother must cease. This would apply whether the lawyer sought to approach a relative, a former client, or a close personal friend who informed the lawyer that he or she wanted to be left alone for a while.
Can you include the name of a deceased lawyer?
Yes
Can you use a trade name as your firm name?
Yes, as long as it does not imply a connection with a government agency or with a public charitable legal services organization
Can you state that you do not practice certain areas of law on your advertisement?
Yes, as long as it is not misleading
Can a law firm use its professional brand across multiple jurisdictions?
Yes, as long as it maintains offices in those jurisdictions
A personal injury lawyer sought to represent clients who suffered property damage after a large explosion of a factory. He surveyed the damaged properties by driving around and discovered the phone numbers of the owners of those damaged homes. He used an automated telephone machine to call the owners and to play a recorded message. The recorded message said, "I was driving by your home recently and saw that it was damaged by the explosion. My name is Lawyer Larry and I want to help you sue the factory for damaging your home. Call me now before it is too late. Don't sign anything that the factory lawyers may present to you as it may affect your legal rights. Call now 555-555-5555." Was it permissible for the lawyer to contact the prospective clients in this manner under the Model Rules? A Yes, because the lawyer's contact with the owners was not in person or by live telephone. B No, because the lawyer provided the owners, unrepresented persons, with legal advice not to sign anything the factory lawyers may present to you. C No, because the lawyer conducted a personal inspection of individual homes by driving by them to see if they were damaged. D No, because the lawyer did not inform the owners at the beginning and ending of his message that this was advertising material.
D The message of the recorded telephone call did not include the words "Advertising Material" at the beginning and end of the recording. See Model Rule 7.3(c). Thus, even though the mode of communication is not otherwise solicitation, the lawyer must add "Advertising Material" at the beginning and ending of the recording to make the contact permissible.
Able and Baker were lawyers in the firm, Able & Baker, LLC, formed as a limited liability corporation. These lawyers often referred to the firm as The People's Law Firm, because they represented individuals in tort actions against corporations. The lawyers created a website under the domain, www.thepeopleslawfirm.com, which included information about the law firm and its practice. The top of the first page of the website and every other page listed the name of the firm as "Able & Baker, The People's Law Firm" with no other information. Able and Baker were listed as the partners in the firm responsible for the content of the website. The website listed the areas of practice handled by the firm, the location of the office, and an email address. No telephone number was included. Which aspect of their advertising and communication would subject Able and Baker to discipline? A Able and Baker are not permitted to use the name, The People's Law Firm, because it is a trade name. B Able and Baker are not permitted to have a domain name different from the name of the law firm. C The website does not list a telephone number for the law firm. D The website does not violate the Rules of Professional Responsibility assuming that the factual statements are in fact true.
D The website complies with Model Rule 7.5. The Rules do not forbid lawyers from organizing as an LLC. Able & Baker are, in fact, "practicing law together as a firm." Model Rule 7.5, Comment 2.
A personal injury lawyer sought to represent clients whose relatives were killed in an airplane crash. The lawyer took the following actions to attract clients: Which one of the following acts would be impermissible under the rules against solicitation under the Model Rules? A The lawyer places advertisements on the walls of restrooms in the airport where the crash occurred so that relatives coming into the airport would see the lawyer's name, experience, and contact information. B The lawyer holds a meeting at a local hotel whereby he would explain the law of products liability and its relation to air crashes to any persons who would be interested in listening. Contact information would be available in the handouts. C The lawyer employs a nonlawyer to walk up and down the airport baggage area wearing a sandwich board that gives the lawyer's name, experience, and contact information. D The lawyer employs a nonlawyer to approach those who get off airplanes and ask them whether their relative was involved in the recent crash. If the targeted individual answers yes, the nonlawyer would tell them to go to see the lawyer in the nearby office. No pressure was placed upon individuals to go to see the lawyer.
D Under Model Rule 8.4(a), the lawyer cannot use a nonlawyer agent to do what the lawyer could not do directly. In this case, the lawyer could not speak to those leaving airplanes to see if their relatives were involved in the crash. Therefore the nonlawyer also could not speak to them in person. See Model Rule 7.3(a). This conduct violates the prohibition against solicitation.
Can you claim that you are a specialist in your advertisement?
For a lawyer to claim that he or she is a certified specialist: (1) the lawyer must be certified by an organization that is "approved by an appropriate state authority" or "accredited by the American Bar Association,"; and (2) the lawyer clearly must identify the name of the certifying organization in the communication
Can you directly solicit a client?
Generally no but this is subject to three exceptions 1. A prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in person or telephone contact to solicit from persons who are not known to need legal services in a particular matter 2. The person is a lawyer, family member, or has a close personal relationship with the lawyer 3. If you are not soliciting the client for pecuniary gain
Can you directly solicit to someone who has a particular legal problem that you are aware of?
NO
Can you include the name of a lawyer who has left the firm?
No
What solicitations are prohibited?
Rule 7.3(a) 1. In person 2. Live Telephone 3. Real Time Electronic Contact
What do you have to include on written advertising materials?
The disclaimer that it is advertising material at the beginning and ending of the solicitation (VM or EM)
