## **Learning Outcomes**

After reading this article, you will be able to identify the rules governing advertising, public communications, solicitation, and referrals in legal practice. You will understand what constitutes permissible advertising, the restrictions on direct solicitation, and the requirements for lawful referral arrangements. You will also be able to apply these principles to MPRE-style questions.

## **MPRE Syllabus**

For the MPRE, you are required to understand the ethical rules that regulate how lawyers communicate about their services to the public and prospective clients. This article covers:

- The requirements for truthful and non-misleading advertising about legal services.
- The rules restricting solicitation of clients, including live person-to-person contact.
- The limitations on paying for referrals and the conditions for reciprocal referral agreements.
- The use of firm names, letterheads, and claims of specialization.
- The obligations regarding group legal services and legal service plans.

## **Test Your Knowledge**

_Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision._

1. Which of the following is generally prohibited in lawyer advertising?
   a) Truthfully stating the lawyer’s field of practice.
   b) Paying a nonlawyer for recommending the lawyer’s services.
   c) Listing the lawyer’s office address.
   d) Including a disclaimer about results.

2. A lawyer sends a targeted email to a person known to need legal services, offering representation for a fee. Is this:
   a) Always permitted.
   b) Permitted only if the recipient is a lawyer or has a prior relationship with the sender.
   c) Prohibited as solicitation by live person-to-person contact.
   d) Permitted if the email is not misleading.

3. Which statement about reciprocal referral agreements is correct?
   a) They must be exclusive.
   b) They are always prohibited.
   c) They are allowed if not exclusive and clients are informed.
   d) They require payment to the referring party.

4. A law firm’s letterhead lists a partner who retired five years ago. Is this:
   a) Permitted if the partner consents.
   b) Prohibited as misleading.
   c) Required by the Model Rules.
   d) Allowed only if the partner is deceased.

## **Introduction**

Lawyers may inform the public about their services, but strict rules govern how they advertise, solicit clients, and enter into referral arrangements. The Model Rules of Professional Conduct require that all communications about legal services be truthful and not misleading. There are also specific restrictions on direct solicitation and on giving or receiving anything of value for recommending a lawyer’s services.

> **Key Term: Advertising**
> Public communications by a lawyer or law firm about available legal services, including written, recorded, or electronic statements intended for a broad audience.

### Advertising: Truthfulness and Content

All advertisements must be accurate and not misleading. A lawyer may communicate information about their services through any media, provided the statements are not false, deceptive, or likely to create unjustified expectations.

- Lawyers may state their name, contact details, fields of practice, fee arrangements, and language abilities.
- Comparisons with other lawyers’ services or fees must be substantiated.
- Claims of results or client testimonials must not create unjustified expectations unless accompanied by appropriate disclaimers.

> **Key Term: Misleading Communication**
> Any statement about legal services that contains a material misrepresentation or omits facts necessary to avoid deception.

### Firm Names, Letterheads, and Specialization

Firm names and letterheads must not be misleading. Trade names are permitted if they do not imply a connection with a government agency or a nonlawyer.

- The name of a lawyer holding public office cannot be used in the firm name during any substantial period when the lawyer is not practicing with the firm.
- Lawyers may state they practice in particular fields but may only claim to be a “certified specialist” if certified by an approved organization and the certifying body is identified.

> **Key Term: Certified Specialist**
> A lawyer who has been recognized as proficient in a particular area of law by an approved certifying organization, as permitted by the jurisdiction.

### Solicitation: Direct Contact with Prospective Clients

Solicitation refers to targeted communications offering legal services to specific individuals known to need legal help. The Model Rules prohibit solicitation by live person-to-person contact when a significant motive is pecuniary gain, except when contacting:

- Another lawyer.
- A family member, close personal, or prior professional contact.
- A person who routinely uses legal services for business purposes.

“Live person-to-person contact” includes in-person meetings, phone calls, and real-time electronic communications (e.g., video calls), but not written communications, emails, or texts that can be disregarded.

> **Key Term: Solicitation**
> A targeted communication initiated by a lawyer offering legal services to a specific person known to need legal help, typically for financial gain.

### Restrictions on Paying for Recommendations

Lawyers must not give anything of value for recommending their services, except for:

- Paying the reasonable cost of permitted advertising.
- Paying usual charges of a qualified legal service plan or not-for-profit lawyer referral service.
- Purchasing a law practice.

Reciprocal referral agreements with other lawyers or nonlawyer professionals are permitted if:

- The agreement is not exclusive.
- Clients are informed of the arrangement.
- The agreement is reviewed periodically for compliance.

> **Key Term: Reciprocal Referral Agreement**
> A non-exclusive arrangement between a lawyer and another professional to refer clients to each other, provided clients are informed and professional judgment is not compromised.

### Group Legal Services and Legal Service Plans

A lawyer may participate in a group or prepaid legal service plan that uses in-person or real-time solicitation, provided the plan is not owned or directed by the lawyer and does not target persons known to need legal services for a particular matter.

### **Worked Example 1.1**

A lawyer pays a local accountant \$100 for every client the accountant refers to her. The lawyer does not inform the clients of this arrangement. Is this proper?

> **Answer:** No. Paying a nonlawyer for recommending legal services is prohibited. The arrangement is also improper because clients are not informed of the referral agreement.

### **Worked Example 1.2**

A lawyer enters into a reciprocal referral agreement with a real estate agent. The agreement is not exclusive, and both parties inform clients of the arrangement. Is this permitted?

> **Answer:** Yes. Non-exclusive reciprocal referral agreements are allowed if clients are informed and the agreement does not interfere with the lawyer’s independent judgment.

### **Worked Example 1.3**

A lawyer sends a truthful letter to local businesses describing her services. Is this solicitation?

> **Answer:** No. General mailings to the public are considered advertising, not solicitation, unless directed to a specific person known to need legal services.

### **Exam Warning**

> Many students confuse advertising with solicitation. Remember: advertising is communication to the general public, while solicitation targets specific individuals known to need legal services.

### **Revision Tip**

> Focus on the difference between permissible advertising and prohibited solicitation. Pay attention to the rules on paying for referrals and the requirements for reciprocal referral agreements.

## **Key Point Checklist**

_This article has covered the following key knowledge points:_

- Advertising must be truthful, not misleading, and may include basic information about the lawyer and services.
- Firm names and letterheads cannot be misleading or imply improper associations.
- Only certified specialists may use that designation, and only if properly identified.
- Solicitation by live person-to-person contact for pecuniary gain is generally prohibited, with limited exceptions.
- Lawyers may not pay for recommendations, except for certain advertising and referral services.
- Reciprocal referral agreements must be non-exclusive, periodically reviewed, and disclosed to clients.
- Participation in group legal service plans is allowed if the plan is not owned or directed by the lawyer and does not target specific individuals known to need legal services.

## **Key Terms and Concepts**

- Advertising
- Misleading Communication
- Certified Specialist
- Solicitation
- Reciprocal Referral Agreement

Public communications, solicitation, and referrals - Advertising and other public communications about legal services