An expansive ISBA professional ethics opinion on the responsibilities of a law firm for activity on its behalf by a marketing firm was adopted July 21 by the ISBA Board of Governors.

According to the digest of Opinion No. 06-02, a lawyer is responsible for conduct by a marketing firm that would constitute a violation of the Rules of Professional Conduct if engaged in by an attorney, if the lawyer has ordered or ratified that conduct.

A marketing firm retained by a law firm may distribute advertisements that promote legal services to potential clients but may not have personal contact with recipients of the advertisements.

That covers advertisements that are mailed or posted on electronic bulletin boards, or promotions that are delivered door-to-door.

A law firm aids in the unauthorized practice of law if it permits a marketing firm to screen responses to the advertisements, and to forward only responses it considers “promising” to the law firm.

Further, a law firm may not compensate a marketing firm on any basis related to fees the law firm receives from clients that were obtained through the marketing firm.

However, a lawyer may make appearances before civic groups and similar organizations in an effort to obtain clients.

Included in the digest of Opinion No. 06-02 is the caution that a law firm may not assign a non-lawyer employee to determine whether a potential client has a claim.

The Board of Governors on July 21 also adopted Opinion No. 06-01, the digest of which states that a lawyer may not provide a personal guarantee that he or she will pay the liens and subrogation claims that are chargeable against the proceeds of a client's settlement.

ISBA advisory ethics opinions are prepared as an educational service to members. They express interpretations of the Illinois Rules of Professional Conduct and other relevant materials in response to specific hypothesized fact situations.

The ethics opinions do not have the weight of law and should not be relied on as substitutes for legal advice.

Complete opinions, with citations of applicable rules and cases, may be accessed on the ISBA web site, www.isba.org. For more information, call the ISBA Legal Department at (800) 252-8908.