990053 | Office of Legal Ethics Counsel & Advisory Committee of the Supreme Court of Missouri

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Informal Opinion Number: 990053

Rules: 4–1.6

Client-Lawyer Relationship

Confidentiality of Information

Subject: Confidentiality

Summary: providing client file to lawyer's liability insurer

QUESTION: Attorney has reported a potential problem with a case to Attorney´s liability insurer, as required under the “claims-made” policy. No actual claim has been made and there was not an immediate indication that the affected client will make a claim. Insurer has requested a copy of the client´s file in order to assist with avoiding further problems. The client would not be notified of the review. May Attorney provide a copy of the file to insurer´s legal counsel without violating client confidentiality?

ANSWER: Under the circumstances Attorney has described, Attorney would violate Rule 4 dash–1.6 by providing the client´s file to Attorney´s liability insurer, without the client´s consent. Based upon the specific facts of this situation, the exception found in Rule 4 dash–1.6(b)(2) does not apply.

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.

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