980039 | Office of Legal Ethics Counsel & Advisory Committee of the Supreme Court of Missouri



Informal Opinion Number: 980039

Rules: 4-7.3; 4-9.1

Information About Legal Services

Direct Contact with Prospective Clients

Reference Note: Effective July 1, 2007, Rule 4-10.1 was repealed and Rule 4-9.1 was amended. This opinion is based on Rule 4-10.1 in effect prior to that date.

QUESTION: Attorney recently joined a lawyer referral service. The service has informed Attorney that when the service learns of a potential accident victim, they contact the victim by telephone to let them know that if they need a lawyer, the service is available. The potential client must then call back at a later time if he or she wants to be referred to a lawyer. No referrals are made until the potential client calls the referral service. Is this procedure ethical? Specifically, does a qualified lawyer referral service under Rule 4-10.1 qualify under Rule 4-7.3(b)(2) as a public or charitable legal services organization which can initiate personal contact with a prospective client?

ANSWER: With limited exceptions listed in Rule 4-7.3(b), it is improper for an attorney to solicit potential clients in person or by telephone. It is also improper for an attorney to engage in conduct through another person or entity if the attorney would violate the rules by directly engaging in that conduct. Therefore, it would be a violation of Rule 4-7.3 for Attorney to participate in a lawyer referral service which solicits potential clients for attorneys in person or by telephone. It would also violate Rule 4-7.3 for Attorney to participate in a lawyer referral service which solicits potential clients through targeted mailings because it is Attorney´s professional obligation to determine, in each situation, that such solicitation does not violate Rule 4-7.3(c).

Informal Opinions are ethics advisory opinions issued by the Office of Legal Ethics Counsel to members of the Bar about Rule 4 (Rules of Professional Conduct), Rule 5 (Complaints and Proceedings Thereon), and Rule 6 (Fees to Practice Law) pursuant to Missouri Supreme Court Rule 5.30(c). Written summaries of select Informal Opinions are published for informational purposes as determined by the Advisory Committee of the Supreme Court of Missouri pursuant to Rule 5.30(c). Informal opinion summaries are advisory in nature and are not binding. These opinions are published as an educational service and do not constitute legal advice.

To request an Informal Opinion, please visit: http://mo-legal-ethics.org/for lawyers/requesting-an-informal-advisory-opinion/.