TEXAS DISCIPLINARY RULES OF PROFESSIONAL CONDUCT
VII. INFORMATION ABOUT LEGAL SERVICES
Rule 7.01 Firm Names and Letterhead
(a) A lawyer in private practice shall not practice under a trade name, a name that is
misleading as to the identity of the lawyer or lawyers practicing under such name, or a
firm name containing names other than those of one or more of the lawyers in the firm,
except that the names of a professional corporation, professional association, limited
liability partnership, or professional limited liability company may contain “P.C.,”
“P.A.,” “L.L.P.,” “P.L.L.C.,” or similar symbols indicating the nature of the organization,
and if otherwise lawful a firm may use as, or continue to include in, its name the name or
names of one or more deceased or retired members of the firm or of a predecessor firm in
a continuing line of succession. Nothing herein shall prohibit a married woman from
practicing under her maiden name.
(b) A firm with offices in more than one jurisdiction may use the same name in each
jurisdiction, but identification of the lawyers in an office of 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 occupying a judicial, legislative, or public executive or
administrative position shall not be used in the name of a 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) A lawyer shall not hold himself or herself out as being a partner, shareholder, or
associate with one or more other lawyers unless they are in fact partners, shareholders, or
associates.
(e) A lawyer shall not advertise in the public media or seek professional employment by
any communication under a trade or fictitious name, except that a lawyer who practices
under a firm name as authorized by paragraph (a) of this Rule may use that name in such
advertisement or communication but only if that name is the firm name that appears on
the lawyer’s letterhead, business cards, office sign, fee contracts, and with the lawyer’s
signature on pleadings and other legal documents.
(f) A lawyer shall not use a firm name, letterhead, or other professional designation that
violates Rule 7.02(a).
Comment
- A lawyer or law firm may not practice law using a name that is misleading as to the
identity of the lawyers practicing under such name, but the continued use of the name of
a deceased or retired member of the firm or of a predecessor firm is not considered to be
misleading. Trade names are generally considered inherently misleading. Other types of
firm names can be misleading as well, such as a firm name that creates the appearance
that lawyers are partners or employees of a single law firm when in fact they are merely
associated for the purpose of sharing expenses. In such cases, the lawyers involved may
not denominate themselves in any manner suggesting such an ongoing professional
relationship as, for example, “Smith and Jones” or “Smith and Jones Associates” or
“Smith and Associates.” Such titles create the false impression that the lawyers named
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have assumed a joint professional responsibility for clients’ legal affairs. See paragraph
(d). - The practice of law firms having offices in more than one state is commonplace.
Although it is not necessary that the name of an interstate firm include Texas lawyers, a
letterhead including the name of any lawyer not licensed in Texas must indicate the
lawyer is not licensed in Texas. - Paragraph (c) is designed to prevent the exploitation of a lawyer’s public position for
the benefit of the lawyer’s firm. Likewise, because it may be misleading under paragraph
(a), a lawyer who occupies a judicial, legislative, or public executive or administrative
position should not indicate that fact on a letterhead which identifies that person as an
attorney in the private practice of law. However, a firm name may include the name of a
public official who is actively and regularly practicing law with the firm. But see Rule
7.02(a)(5). - With certain limited exceptions, paragraph (a) forbids a lawyer from using a trade
name or fictitious name. Paragraph (e) sets out this same prohibition with respect to
advertising in public media or communications seeking professional employment and
contains additional restrictions on the use of trade names or fictitious names in those
contexts. In a largely overlapping measure, paragraph (f) forbids the use of any such
name or designation if it would amount to a “false or misleading communication” under
Rule 7.02 (a).
Rule 7.02 Communications Concerning a Lawyer’s Services
(a) A lawyer shall not make or sponsor a false or misleading communication about the
qualifications or the services of any lawyer or firm. A communication is false or
misleading if it:
(1) contains a material misrepresentation of fact or law, or omits a fact necessary
to make the statement considered as a whole not materially misleading;
(2) contains any reference in a public media advertisement to past successes or
results obtained unless
(i) the communicating lawyer or member of the law firm served as lead
counsel in the matter giving rise to the recovery, or was primarily responsible for
the settlement or verdict,
(ii) the amount involved was actually received by the client,
(iii) the reference is accompanied by adequate information regarding the
nature of the case or matter and the damages or injuries sustained by the client,
and
(iv) if the gross amount received is stated, the attorney’s fees and litigation
expenses withheld from the amount are stated as well;
(3) is likely to create an unjustified expectation about results the lawyer can
achieve, or states or implies that the lawyer can achieve results by means that violate
these rules or other law;
(4) compares the lawyer’s services with other lawyers’ services, unless the
comparison can be substantiated by reference to verifiable, objective data;
(5) states or implies that the lawyer is able to influence improperly or upon
irrelevant grounds any tribunal, legislative body, or public official;
(6) designates one or more specific areas of practice in an advertisement in the
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public media or in a solicitation communication unless the advertising or soliciting
lawyer is competent to handle legal matters in each such area of practice; or
(7) uses an actor or model to portray a client of the lawyer or law firm.
(b) Rule 7.02(a)(6) does not require that a lawyer be certified by the Texas Board of
Legal Specialization at the time of advertising in a specific area of practice, but such
certification shall conclusively establish that such lawyer satisfies the requirements of
Rule 7.02(a)(6) with respect to the area(s) of practice in which such lawyer is certified.
(c) A lawyer shall not advertise in the public media or state in a solicitation
communication that the lawyer is a specialist except as permitted under Rule 7.04.
(d) Any statement or disclaimer required by these rules shall be made in each language
used in the advertisement or solicitation communication with respect to which such
required statement or disclaimer relates; provided however, the mere statement that a
particular language is spoken or understood shall not alone result in the need for a
statement or disclaimer in that language.
Comment - The Rules within Part VII are intended to regulate communications made for the
purpose of obtaining professional employment. They are not intended to affect other
forms of speech by lawyers, such as political advertisements or political commentary,
except insofar as a lawyer’s effort to obtain employment is linked to a matter of current
public debate. - This Rule governs all communications about a lawyer’s services, including
advertisements regulated by Rule 7.04 and solicitation communications regulated by
Rules 7.03 and 7.05. Whatever means are used to make known a lawyer’s services,
statements about them must be truthful and nondeceptive. - Sub-paragraph (a)(1) recognizes that statements can be misleading both by what they
contain and what they leave out. Statements that are false or misleading for either reason
are prohibited. A truthful statement is misleading if it omits a fact necessary to make the
lawyer’s communication considered as a whole not materially misleading. A truthful
statement is also misleading if there is a substantial likelihood that it will lead a
reasonable person to formulate a specific conclusion about the lawyer or the lawyer’s
services for which there is no reasonable factual foundation. - Sub-paragraphs (a)(2) and (3) recognize that truthful statements may create
“unjustified expectations.” For example, an advertisement that truthfully reports that a
lawyer obtained a jury verdict of a certain amount on behalf of a client would nonetheless
be misleading if it were to turn out that the verdict was overturned on appeal or later
compromised for a substantially reduced amount, and the advertisement did not disclose
such facts as well. Even an advertisement that fully and accurately reports a lawyer’s
achievements on behalf of clients or former clients may be misleading if presented so as
to lead a reasonable person to form an unjustified expectation that the same results could
be obtained for other clients in similar matters without reference to the specific factual
and legal circumstances of each client’s case. Those unique circumstances would
ordinarily preclude advertisements in the public media and solicitation communications
that discuss the results obtained on behalf of a client, such as the amount of a damage
award, the lawyer’s record in obtaining favorable settlements or verdicts, as well as those
that contain client endorsements.
3 - Sub-paragraph (a)(4) recognizes that comparisons of lawyers’ services may also be
misleading unless those comparisons “can be substantiated by reference to verifiable
objective data.” Similarly, an unsubstantiated comparison of a lawyer’s services or fees
with the services or fees of other lawyers may be misleading if presented with such
specificity as would lead a reasonable person to conclude that the comparison can be
substantiated. Statements comparing a lawyer’s services with those of another where the
comparisons are not susceptible of precise measurement or verification, such as “we are
the toughest lawyers in town”, “we will get money for you when other lawyers can’t”, or
“we are the best law firm in Texas if you want a large recovery” can deceive or mislead
prospective clients. - The inclusion of a disclaimer or qualifying language may preclude a finding that a
statement is likely to create unjustified expectations or otherwise mislead a prospective
client, but it will not necessarily do so. Unless any such qualifications and disclaimers are
both sufficient and displayed with equal prominence to the information to which they
pertain, that information can still readily mislead prospective clients into believing that
similar results can be obtained for them without reference to their specific factual and
legal circumstances. Consequently, in order not to be false, misleading, or deceptive,
other of these Rules require that appropriate disclaimers or qualifying language must be
presented in the same manner as the communication and with equal prominence. See
Rules 7.04 (q) and 7.05(a) (2). - On the other hand, a simple statement of a lawyer’s own qualifications devoid of
comparisons to other lawyers does not pose the same risk of being misleading so does not
violate sub-paragraph (a)(4). Similarly, a lawyer making a referral to another lawyer may
express a good faith subjective opinion regarding that other lawyer. - Thus, this Rule does not prohibit communication of information concerning a lawyer’s
name or firm name, address and telephone numbers; the basis on which the lawyer’s fee
is determined, including prices for specific services and payment and credit
arrangements; names of references and with their consent, names of clients regularly
represented; and other truthful information that might invite the attention of those seeking
legal assistance. When a communication permitted by Rule 7.02 is made in the public
media, the lawyer should consult Rule 7.04 for further guidance and restrictions. When a
communication permitted by Rule 7.02 is made by a lawyer through a solicitation
communication, the lawyer should consult Rules 7.03 and 7.05 for further guidance and
restrictions. - Sub-paragraph (a)(5) prohibits a lawyer from stating or implying that the lawyer has
an ability to influence a tribunal, legislative body, or other public official through
improper conduct or upon irrelevant grounds. Such conduct brings the profession into
disrepute, even though the improper or irrelevant activities referred to are never carried
out, and so are prohibited without regard to the lawyer’s actual intent to engage in such
activities.
Communication of Fields of Practice - Paragraphs (a)(6), (b) and (c) of Rule 7.02 regulate communications concerning a
lawyer’s fields of practice and should be construed together with Rule 7.04 or 7.05, as
applicable. If a lawyer in a public media advertisement or in a solicitation communication
designates one or more specific areas of practice, that designation is at least an implicit
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representation that the lawyer is qualified in the areas designated. Accordingly, Rule
7.02(a)(6) prohibits the designation of a field of practice unless the communicating
lawyer is in fact competent in the area. - Typically, one would expect competency to be measured by special education,
training, or experience in the particular area of law designated. Because certification by
the Texas Board of Legal Specialization involves special education, training, and
experience, certification by the Texas Board of Legal Specialization conclusively
establishes that a lawyer meets the requirements of Rule 7.02(a)(6) in any area in which
the Board has certified the lawyer. However, competency may be established by means
other than certification by the Texas Board of Legal Specialization. See Rule 7.04(b). - Lawyers who wish to advertise in the public media that they specialize should refer
to Rule 7.04. Lawyers who wish to assert a specialty in a solicitation communication
should refer to Rule 7.05.
Actor Portrayal Of Clients - Sub-paragraph (a)(7) further protects prospective clients from false, misleading, or
deceptive advertisements and solicitations by prohibiting the use of actors to portray
clients of the lawyer or law firm. Other rules prohibit the use of actors to portray lawyers
in the advertising or soliciting lawyer’s firm. See Rules 7.04(g), 7.05(a). The truthfulness
of such portrayals is extremely difficult to monitor, and almost inevitably they involve
actors whose apparent physical and mental attributes differ in a number of material
respects from those of the actual clients portrayed.
Communication in a Second Language - The ability of lawyers to communicate in a second language can facilitate the
delivery and receipt of legal services. Accordingly, it is in the best interest of the public
that potential clients be made aware of a lawyer’s language ability. A lawyer may state an
ability to communicate in a second language without any further elaboration. However,
if a lawyer chooses to communicate with potential clients in a second language, all
statements or disclaimers required by the Texas Disciplinary Rules of Professional
Conduct must also be made in that language. See paragraph (d). Communicating some
information in one language while communicating the rest in another is potentially
misleading if the recipient understands only one of the languages.
Rule 7.03 Prohibited Solicitations & Payments
(a) A lawyer shall not by in-person contact, or by regulated telephone or other electronic
contact as defined in paragraph (f), seek professional employment concerning a matter
arising out of a particular occurrence or event, or series of occurrences or events, from a
prospective client or nonclient who has not sought the lawyer’s advice regarding
employment or with whom the lawyer has no family or past or present attorney-client
relationship when a significant motive for the lawyer’s doing so is the lawyer’s pecuniary
gain. Notwithstanding the provisions of this paragraph, a lawyer for a qualified nonprofit
organization may communicate with the organization’s members for the purpose of
educating the members to understand the law, to recognize legal problems, to make
intelligent selection of counsel, or to use legal services. In those situations where in5
person or telephone or other electronic contact is permitted by this paragraph, a lawyer
shall not have such a contact with a prospective client if:
(1) the communication involves coercion, duress, fraud, overreaching,
intimidation, undue influence, or harassment;
(2) the communication contains information prohibited by Rule 7.02(a); or
(3) the communication contains a false, fraudulent, misleading, deceptive, or
unfair statement or claim.
(b) A lawyer shall not pay, give, or offer to pay or give anything of value to a person not
licensed to practice law for soliciting prospective clients for, or referring clients or
prospective clients to, any lawyer or firm, except that a lawyer may pay reasonable fees
for advertising and public relations services rendered in accordance with this Rule and
may pay the usual charges of a lawyer referral service that meets the requirements of
Occupational Code Title 5, Subtitle B, Chapter 952.
(c) A lawyer, in order to solicit professional employment, shall not pay, give, advance, or
offer to pay, give, or advance anything of value, other than actual litigation expenses and
other financial assistance as permitted by Rule 1.08(d), to a prospective client or any
other person; provided however, this provision does not prohibit the payment of
legitimate referral fees as permitted by Rule 1.04(f) or by paragraph (b) of this Rule.
(d) A lawyer shall not enter into an agreement for, charge for, or collect a fee for
professional employment obtained in violation of Rule 7.03(a), (b), or (c).
(e) A lawyer shall not participate with or accept referrals from a lawyer referral service
unless the lawyer knows or reasonably believes that the lawyer referral service meets the
requirements of Occupational Code Title 5, Subtitle B, Chapter 952.
(f) As used in paragraph (a), “regulated telephone or other electronic contact” means any
electronic communication initiated by a lawyer or by any person acting on behalf of a
lawyer or law firm that will result in the person contacted communicating in a live,
interactive manner with any other person by telephone or other electronic means. For
purposes of this Rule a website for a lawyer or law firm is not considered a
communication initiated by or on behalf of that lawyer or firm.
Comment - In many situations, in-person, telephone, or other prohibited electronic solicitations by
lawyers involve well-known opportunities for abuse of prospective clients. Traditionally,
the principal concerns presented by such contacts are that they can overbear the
prospective client’s will, lead to hasty and ill-advised decisions concerning choice of
counsel, and be very difficult to police. The approach taken by this Rule may be found in
paragraph (f), which prohibits such communications if they are initiated by or on behalf
of a lawyer or law firm and will result in the person contacted communicating with any
person by telephone or other electronic means. Thus, forms of electronic
communications are prohibited that pose comparable dangers to face-to-face solicitations,
such as soliciting business in “chat rooms,” or transmitting an unsolicited, interactive
communication to a prospective client that, when accessed, puts the recipient in direct
contact with another person. Those that do not present such opportunities for abuse, such
as pre-recorded telephone messages requiring a separate return call to speak to or retain
an attorney, or websites that must be accessed by an interested person and that provide
relevant and truthful information concerning a lawyer or law firm, are permitted.
6 - Nonetheless, paragraphs (a) and (f) unconditionally prohibit those activities only when
profit for the lawyer is a significant motive and the solicitation concerns matters arising
out of a particular occurrence, event, or series of occurrences or events. The reason this
outright ban is so limited is that there are circumstances where the dangers of such
contacts can be reduced by less restrictive means. As long as the conditions of subparagraphs (a)(1) through (a)(3) are not violated by a given contact, a lawyer may engage
in in-person, telephone or other electronic solicitations when the solicitation is unrelated
to a specific occurrence, event, or series of occurrences or events. Similarly, subject to
the same restrictions, in-person, telephone, or other electronic solicitations are permitted
where the prospective client either has a family or past or present attorney-client
relationship with the lawyer or where the potential client had previously contacted the
lawyer about possible employment in the matter. - In addition, Rule 7.03(a) does not prohibit a lawyer for a qualified non-profit
organization from in-person, telephone, or other electronic solicitation of prospective
clients for purposes related to that organization. Historically and by law, nonprofit legal
aid agencies, unions, and other qualified nonprofit organizations and their lawyers have
been permitted to solicit clients in-person or by telephone, and more modern electronic
means of communication pose no additional threats to consumers justifying a more
restrictive treatment. Consequently, Rule 7.03(a) is not in derogation of those
organizations’ constitutional rights to employ such methods. Attorneys for such
nonprofit organizations, however, remain subject to this Rule’s general prohibitions
against undue influence, intimidation, overreaching, and the like.
Paying for Solicitation - Rule 7.03(b) does not prohibit a lawyer from paying standard commercial fees for
advertising or public relations services rendered in accordance with these Rules. In
addition, a lawyer may pay the fees required by a lawyer referral service that meet the
requirements of Occupational Code Title 5, Subtitle B, Chapter 952. However, paying,
giving, or offering to pay or give anything of value to persons not licensed to practice law
who solicit prospective clients for lawyers has always been considered to be against the
best interest of both the public and the legal profession. Such actions circumvent these
Rules by having a non-lawyer do what a lawyer is ethically proscribed from doing.
Accordingly, the practice is forbidden by Rule 7.03(b). As to payments or gifts of value
to licensed lawyers for soliciting prospective clients, see Rule 1.04 (f). - Rule 7.03(c) prohibits a lawyer from paying or giving value directly to a prospective
client or any other person as consideration for employment by that client except as
permitted by Rule 1.08(d). - Paragraph (d) prohibits a lawyer from agreeing to or charging for professional
employment obtained in violation of Rule 7.03. Paragraph (e) further requires a lawyer to
decline business generated by a lawyer referral service unless the lawyer knows or
reasonably believes that service is operated in conformity with statutory requirements. - References to “a lawyer” in this and other Rules include lawyers who practice in law
firms. A lawyer associated with a firm cannot circumvent these Rules by soliciting or
advertising in the name of that firm in a way that violates these Rules. See Rule 7.04(e).
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Rule 7.04 Advertisements in the Public Media
(a) A lawyer shall not advertise in the public media by stating that the lawyer is a
specialist, except as permitted under Rule 7.04(b) or as follows:
(1) A lawyer admitted to practice before the United States Patent Office may use
the designation “Patents,” “Patent Attorney,” or “Patent Lawyer,” or any combination of
those terms. A lawyer engaged in the trademark practice may use the designation
“Trademark,” “Trademark Attorney,” or “Trademark Lawyer,” or any combination of
those terms. A lawyer engaged in patent and trademark practice may hold himself or
herself out as specializing in “Intellectual Property Law,” “Patent, Trademark, Copyright
Law and Unfair Competition,” or any of those terms.
(2) A lawyer may permit his or her name to be listed in lawyer referral service
offices that meet the requirements of Occupational Code Title 5, Subtitle B, Chapter 952,
according to the areas of law in which the lawyer will accept referrals.
(3) A lawyer available to practice in a particular area of law or legal service may
distribute to other lawyers and publish in legal directories and legal newspapers (whether
written or electronic) a listing or an announcement of such availability. The listing shall
not contain a false or misleading representation of special competence or experience, but
may contain the kind of information that traditionally has been included in such
publications.
(b) A lawyer who advertises in the public media:
(1) shall publish or broadcast the name of at least one lawyer who is responsible
for the content of such advertisement.; and
(2) shall not include a statement that the lawyer has been certified or designated
by an organization as possessing special competence or a statement that the lawyer is a
member of an organization the name of which implies that its members possess special
competence, except that:
(i) a lawyer who has been awarded a Certificate of Special Competence by
the Texas Board of Legal Specialization in the area so advertised, may
state with respect to each such area, “Board Certified, [area of
specialization] — Texas Board of Legal Specialization;” and
(ii) a lawyer who is a member of an organization the name of which
implies that its members possess special competence, or who has been
certified or designated by an organization as possessing special
competence, may include a factually accurate statement of such
membership or may include a factually accurate statement, “Certified
[area of specialization]
[name of certifying organization],” but such
statements may be made only if that organization has been accredited by
the Texas Board of Legal Specialization as a bona fide organization that
admits to membership or grants certification only on the basis of objective,
exacting, publicly available standards (including high standards of
individual character, conduct, and reputation) that are reasonably relevant
to the special training or special competence that is implied and that are in
excess of the level of training and competence generally required for
admission to the Bar; and
(3) shall, in the case of infomercial or comparable presentation, state that the
presentation is an advertisement:
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(i) both verbally and in writing at its outset, after any commercial
interruption, and at its conclusion; and
(ii) in writing during any portion of the presentation that explains how to
contact a lawyer or law firm.
(c) Separate and apart from any other statements, the statements referred to in paragraph
(b) Shall be displayed conspicuously and in language easily understood by an ordinary
consumer.
(d) Subject to the requirements of Rules 7.02 and 7.03 and of paragraphs (a), (b), and (c)
of this Rule, a lawyer may, either directly or through a public relations or advertising
representative, advertise services in the public media, such as (but not limited to) a
telephone directory, legal directory, newspaper or other periodical, outdoor display,
radio, television, the internet, or electronic or digital media.
(e) All advertisements in the public media for a lawyer or firm must be reviewed and
approved in writing by the lawyer or a lawyer in the firm.
(f) A copy or recording of each advertisement in the public media and relevant approval
referred to in paragraph (e), and a record of when and where the advertisement was used,
shall be kept by the lawyer or firm for four years after its last dissemination.
(g) In advertisements in the public media, any person who portrays a lawyer whose
services or whose firm’s services are being advertised, or who narrates an advertisement
as if he or she were such a lawyer, shall be one or more of the lawyers whose services are
being advertised.
(h) If an advertisement in the public media by a lawyer or firm discloses the willingness
or potential willingness of the lawyer or firm to render services on a contingent fee basis,
the advertisement must state whether the client will be obligated to pay all or any portion
of the court costs and, if a client may be liable for other expenses, this fact must be
disclosed. If specific percentage fees or fee ranges of contingent fee work are disclosed
in such advertisement, it must also disclose whether the percentage is computed before or
after expenses are deducted from the recovery.
(i) A lawyer who advertises in the public media a specific fee or range of fees for a
particular service shall conform to the advertised fee or range of fees for the period
during which the advertisement is reasonably expected to be in circulation or otherwise
expected to be effective in attracting clients, unless the advertisement specifies a shorter
period; but in no instance is the lawyer bound to conform to the advertised fee or range of
fees for a period of more than one year after the date of publication.
(j) A lawyer or firm who advertises in the public media must disclose the geographic
location, by city or town, of the lawyer’s or firm’s principal office. A lawyer or firm
shall not advertise the existence of any office other than the principal office unless:
(1) that other office is staffed by a lawyer at least three days a week; or
(2) the advertisement states:
(i) the days and times during which a lawyer will be present at that office,
or
(ii) that meetings with lawyers will be by appointment only.
(k) A lawyer may not, directly or indirectly, pay all or a part of the cost of an
advertisement in the public media for a lawyer not in the same firm unless such
advertisement discloses the name and address of the financing lawyer, the relationship
between the advertising lawyer and the financing lawyer, and whether the advertising
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lawyer is likely to refer cases received through the advertisement to the financing lawyer.
(l) If an advertising lawyer knows or should know at the time of an advertisement in the
public media that a case or matter will likely be referred to another lawyer or firm, a
statement of such fact shall be conspicuously included in such advertisement.
(m) No motto, slogan or jingle that is false or misleading may be used in any
advertisement in the public media.
(n) A lawyer shall not include in any advertisement in the public media the lawyer’s
association with a lawyer referral service unless the lawyer knows or reasonably believes
that the lawyer referral service meets the requirements of Occupational Code Title 5,
Subtitle B, Chapter 952.
(o) A lawyer may not advertise in the public media as part of an advertising cooperative
or venture of two or more lawyers not in the same firm unless each such advertisement:
(1) states that the advertisement is paid for by the cooperating lawyers;
(2) names each of the cooperating lawyers
(3) sets forth conspicuously the special competency requirements required by
Rule 7.04(b) of lawyers who advertise in the public media;
(4) does not state or imply that the lawyers participating in the advertising
cooperative or venture possess professional superiority, are able to perform services in a
superior manner, or possess special competence in any area of law advertised, except that
the advertisement may contain the information permitted by Rule 7.04(b)(2); and
(5) does not otherwise violate the Texas Disciplinary Rules of Professional
Conduct.
(p) Each lawyer who advertises in the public media as part of an advertising cooperative
or venture shall be individually responsible for:
(1) ensuring that each advertisement does not violate this Rule; and
(2) complying with the filing requirements of Rule 7.07.
(q) If these rules require that specific qualifications, disclaimers, or disclosures of
information accompany communications concerning a lawyer’s services, the required
qualifications, disclaimers, or disclosures must be presented in the same manner as the
communication and with equal prominence.
(r) A lawyer who advertises on the internet must display the statements and disclosures
required by Rule 7.04.
Comment
Neither Rule 7.04 nor Rule 7.05 prohibits communications authorized by law, such as
notice to members of a class in class action litigation.
Advertising Areas of Practice and Special Competence
Paragraphs (a) and (b) permit a lawyer, under the restrictions set forth, to indicate
areas of practice in advertisements about the lawyer’s services. See also paragraph (d).
The restrictions are designed primarily to require that accurate information be conveyed.
These restrictions recognize that a lawyer has a right protected by the United States
Constitution to advertise publicly, but that the right may be regulated by reasonable
restrictions designed to protect the public from false or misleading information. The
restrictions contained in Rule 7.04 are based on the experience of the legal profession in
the State of Texas and are designed to curtail what experience has shown to be
misleading and deceptive advertising. To ensure accountability, sub-paragraph (b)(1)
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requires identification of at least one lawyer responsible for the content of the
advertisement.
Because of long-standing tradition a lawyer admitted to practice before the United
States Patent Office may use the designation “patents,” “patent attorney” or “patent
lawyer” or any combination of those terms. As recognized by paragraph (a)(1), a lawyer
engaged in patent and trademark practice may hold himself out as concentrating in
“intellectual property law,” “patents, or trademarks and related matters,” or “patent,
trademark, copyright law and unfair competition” or any combination of those terms.
Paragraph (a)(2) recognizes the propriety of listing a lawyer’s name in legal
directories according to the areas of law in which the lawyer will accept new matters. The
same right is given with respect to lawyer referral service offices, but only if those
services comply with statutory guidelines. The restriction in paragraph (a)(2) does not
prevent a legal aid agency or prepaid legal services plan from advertising legal services
provided under its auspices.
Paragraph (a)(3) continues the historical exception that permits advertisements by
lawyers to other lawyers in legal directories and legal newspapers (whether written or
electronic), subject to the same requirements of truthfulness that apply to all other forms
of lawyer advertising. Such advertisements traditionally contain information about the
name, location, telephone numbers, and general availability of a lawyer to work on
particular legal matters. Other information may be included so long as it is not false or
misleading. Because advertisements in these publications are not available to the general
public, lawyers who list various areas of practice are not required to comply with
paragraph (b).
Some advertisements, sometimes known as tombstone advertisements, mention only
such matters as the name of the lawyer or law firm, a listing of lawyers associated with
the firm, office addresses and telephone numbers, office and telephone service hours,
dates of admission to bars, the acceptance of credit cards, and fees. The content of such
advertisements is not the kind of information intended to be regulated by Rule 7.04 (b).
However, if the advertisement in the public media mentions any area of the law in which
the lawyer practices, then, because of the likelihood of misleading material, the lawyer
must comply with paragraph (b).
Sometimes lawyers choose to advertise in the public media the fact that they have
been certified or designated by a particular organization or that they are members of a
particular organization. Such statements naturally lead the public to believe that the
lawyer possesses special competence in the area of law mentioned. Consequently, in
order to ensure that the public will not be misled by such statements, subparagraph (b)(2)
and paragraph (c) place limited but necessary restrictions upon a lawyer’s basic right to
advertise those affiliations.
Rule 7.04(b)(2) gives lawyers who possess certificates of specialization from the
Texas Board of Legal Specialization or other meritorious credentials from organizations
approved by the Board the option of stating that fact, provided that the restrictions set
forth in subparagraphs (b)(2)(i) and (b)(2)(ii) are followed.
Paragraph (c) is intended to ensure against misleading or material variations from the
statements required by paragraph (b).
Paragraphs (e) and (f) provide the advertising lawyer, the Bar, and the public with
requisite records should questions arise regarding the propriety of a public media
11
advertisement. Paragraph (e), like paragraph (b)(1), ensures that a particular attorney
accepts responsibility for the advertisement. It is in the public interest and in the interest
of the legal profession that the records of those advertisements and approvals be
maintained.
Examples of Prohibited Advertising
Paragraphs (g) through (o) regulate conduct that has been found to mislead or be
likely to mislead the public. Each paragraph is designed to protect the public and to guard
the legal profession against these documented misleading practices while at the same
time respecting the constitutional rights of any lawyer to advertise.
Paragraph (g) prohibits lawyers from misleading the public into believing a nonlawyer portrayer or narrator in the advertisement is one of the lawyers prepared to
perform services for the public. It does not prohibit the narration of an advertisement in
the third person by an actor, as long as it is clear to those hearing or seeing the
advertisement that the actor is not a lawyer prepared to perform services for the public.
Contingent fee contracts present unusual opportunities for deception by lawyers or
for misunderstanding by the public. By requiring certain disclosures, paragraph (h)
safeguards the public from misleading or potentially misleading advertisements that
involve representation on a contingent fee basis. The affirmative requirements of
paragraph (h) are not triggered solely by the expression of “contingent fee” or
“percentage fee” in the advertisement. To the contrary, they encompass advertisements in
the public media where the lawyer or firm expresses a mere willingness or potential
willingness to render services for a contingent fee. Therefore, statements in an
advertisement such as “no fee if no recovery” or “fees in the event of recovery only” are
clearly included as a form of advertisement subject to the disclosure requirements of
paragraph (h).
Paragraphs (i), (j), (k) and (l) jointly address the problem of advertising that
experience has shown misleads the public concerning the fees that will be charged, the
location where services will be provided, or the attorney who will be performing these
services. Together they prohibit the same sort of “bait and switch” advertising tactics by
lawyers that are universally condemned.
Paragraph (i) requires a lawyer who advertises a specific fee or range of fees in the
public media to honor those commitments for the period during which the advertisement
is reasonably expected to be in circulation or otherwise expected to be effective in
attracting clients, unless the advertisement itself specifies a shorter period. In no event,
however, is a lawyer required to honor an advertised fee or range of fees for more than
one year after publication.
Paragraph (j) prohibits advertising the availability of a satellite office unless the
requirements of subparagraphs (1) or (2) are satisfied. Paragraph (j) does not require,
however, that a lawyer or firm specify which of several properly advertised offices is its
“principal” one, as long as the principal office is among those advertised and the
advertisement discloses the city or town in which that office is located. Experience has
shown that, in the absence of such regulation, members of the public have been misled
into employing a lawyer in a distant city who advertises that there is a nearby satellite
office, only to learn later that the lawyer is rarely available to the client because the
nearby office is seldom open or is staffed only by lay personnel. Paragraph (j) is not
12
intended to restrict the ability of legal services programs to advertise satellite offices in
remote parts of the program’s service area even if those satellite offices are staffed
irregularly by attorneys. Otherwise low-income individuals in and near such communities
might be denied access to the only legal services truly available to them.
When a lawyer or firm advertises, the public has a right to expect that lawyer or firm
will perform the legal services. Experience has shown that attorneys not in the same firm
may create a relationship wherein one will finance advertising for the other in return for
referrals. Nondisclosure of such a referral relationship is misleading to the public.
Accordingly, paragraph (k) prohibits such a relationship between an advertising lawyer
and a lawyer who finances the advertising unless the advertisement discloses the nature
of the financial relationship between the two lawyers. Paragraph (l) addresses the same
problem from a different perspective, requiring a lawyer who advertises the availability
of legal services and who knows or should know at the time that the advertisement is
placed in the media that business will likely be referred to another lawyer or firm, to
include a conspicuous statement of that fact in any such advertising. This requirement
applies whether or not the lawyer to whom the business is referred is financing the
advertisements of the referring lawyer. It does not, however, require disclosure of all
possible scenarios under which a referral could occur, such as an unforeseen need to
associate with a specialist in accordance with Rule 1.01(a) or the possibility of a referral
if a prospective client turns out to have a conflict of interest precluding representation by
the advertising lawyer. Lawyers participating in any type of arrangement to refer cases
must comply with Rule 1.04(f).
Paragraph (m) protects the public by forbidding mottos, slogans, and jingles that are
false or misleading. There are, however, mottos, slogans, and jingles that are informative
rather than false or misleading. Accordingly, paragraph (m) recognizes an advertising
lawyer’s constitutional right to include appropriate mottos, slogans, and jingles in
advertising.
Some lawyers choose to band together in a cooperative or joint venture to advertise.
Although those arrangements are lawful, the fact that several independent lawyers have
joined together in a single advertisement increases the risk of misrepresentation or other
forms of inappropriate expression. Special care must be taken to ensure that cooperative
advertisements identify each cooperating lawyer, state that each cooperating lawyer is
paying for the advertisement, and accurately describe the professional qualifications of
each cooperating lawyer. See paragraph (o). Furthermore, each cooperating lawyer must
comply with the filing requirements of Rule 7.07. See paragraph (p).
The use of disclosures, disclaimers and qualifying information is necessary to
inform the public about various aspects of a lawyer or firm’s practice in public media
advertising and solicitation communications. In order to ensure that disclaimers required
by these rules are conspicuously displayed, paragraph (q) requires that such statements be
presented in the same manner as the communication and with prominence equal to that of
the matter to which it refers. For example, in a television advertisement that necessitates
the use of a disclaimer, if a statement or claim is made verbally, the disclaimer should
also be included verbally in the commercial. When a statement or claim appears in print,
the accompanying disclaimer must also appear in print with equal prominence and
legibility.
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Rule 7.05 Prohibited Written, Electronic, Or Digital Solicitations
(a) A lawyer shall not send, deliver, or transmit, or knowingly permit or knowingly cause
another person to send, deliver, or transmit, a written, audio, audiovisual, digital media,
recorded telephone message, or other electronic communication to a prospective client
for the purpose of obtaining professional employment on behalf of any lawyer or law
firm if:
(1) the communication involves coercion, duress, fraud, overreaching,
intimidation, undue influence, or harassment;
(2) the communication contains information prohibited by Rule 7.02 or fails to
satisfy each of the requirements of Rule 7.04(a) through (c), and (g) through (q) that
would be applicable to the communication if it were an advertisement in the public
media; or
(3) the communication contains a false, fraudulent, misleading, deceptive, or
unfair statement or claim.
(b) Except as provided in paragraph (f) of this Rule, a written, electronic, or digital
solicitation communication to prospective clients for the purpose of obtaining
professional employment:
(1) shall, in the case of a non-electronically transmitted written communication,
be plainly marked “ADVERTISEMENT” on its first page, and on the face of the
envelope or other packaging used to transmit the communication. If the written
communication is in the form of a self-mailing brochure or pamphlet, the word
“ADVERTISEMENT” shall be:
(i) in a color that contrasts sharply with the background color; and
(ii) in a size of at least 3/8″ vertically or three times the vertical height of the
letters used in the body of such communication, whichever is larger;
(2) shall, in the case of an electronic mail message, be plainly marked
“ADVERTISEMENT” in the subject portion of the electronic mail and at the beginning
of the message’s text;
(3) shall not be made to resemble legal pleadings or other legal documents;
(4) shall not reveal on the envelope or other packaging or electronic mail subject
line used to transmit the communication, or on the outside of a self-mailing brochure or
pamphlet, the nature of the legal problem of the prospective client or non-client; and
(5) shall disclose how the lawyer obtained the information prompting the
communication to solicit professional employment if such contact was prompted by a
specific occurrence involving the recipient of the communication or a family member of
such person(s).
(c) Except as provided in paragraph (f) of this Rule, an audio, audio-visual, digital
media, recorded telephone message, or other electronic communication sent to
prospective clients for the purpose of obtaining professional employment:
(1) shall, in the case of any such communication delivered to the recipient by nonelectronic means, plainly and conspicuously state in writing on the outside of any
envelope or other packaging used to transmit the communication, that it is an
“ADVERTISEMENT”;
(2) shall not reveal on any such envelope or other packaging the nature of the
legal problem of the prospective client or non-client;
(3) shall disclose, either in the communication itself or in accompanying
14
transmittal message, how the lawyer obtained the information prompting such audio,
audiovisual, digital media, recorded telephone message, or other electronic
communication to solicit professional employment, if such contact was prompted by a
specific occurrence involving the recipient of the communication or a family member of
such person(s);
(4) shall, in the case of a recorded audio presentation or a recorded telephone
message, plainly state that it is an advertisement prior to any other words being spoken
and again at the presentation’s or message’s conclusion: and
(5) shall, in the case of an audio-visual or digital media presentation, plainly state
that the presentation is an advertisement:
(i) both verbally and in writing at the outset of the presentation and again
at its conclusion; and
(ii) in writing during any portion of the presentation that explains how to
contact a lawyer or law firm.
(d) All written, audio, audio-visual, digital media, recorded telephone message, or other
electronic communications made to a prospective client for the purpose of obtaining
professional employment of a lawyer or law firm must be reviewed and either signed by
or approved in writing by the lawyer or a lawyer in the firm.
(e) A copy of each written, audio, audio-visual, digital media, recorded telephone
message, or other electronic solicitation communication, the relevant approval thereof,
and a record of the date of each such communication; the name, address, telephone
number, or electronic address to which each such communication was sent; and the
means by which each such communication was sent shall be kept by the lawyer or firm
for four years after its dissemination.
(f) The provisions of paragraphs (b) and (c) of this Rule do not apply to a written, audio,
audiovisual, digital media, recorded telephone message, or other form of electronic
solicitation communication:
(1) directed to a family member or a person with whom the lawyer had or has an
attorney client relationship;
(2) that is not motivated by or concerned with a particular past occurrence or
event or a particular series of past occurrences or events, and also is not motivated by or
concerned with the prospective client’s specific existing legal problem of which the
lawyer is aware;
(3) if the lawyer’s use of the communication to secure professional employment
was not significantly motivated by a desire for, or by the possibility of obtaining,
pecuniary gain; or
(4) that is requested by the prospective client.
Comment
Rule 7.03 deals with in-person telephone, and other prohibited electronic contact
between a lawyer and a prospective client wherein the lawyer seeks professional
employment. Rule 7.04 deals with advertisements in the public media by a lawyer
seeking professional employment. This Rule deals with solicitations between a lawyer
and a prospective client. Typical examples are letters or other forms of correspondence
(including those sent, delivered, or transmitted electronically), recorded telephone
messages audiotapes, videotapes, digital media, and the like, addressed to a prospective
15
client.
Written, audio, audio-visual, and other forms of electronic solicitations raise more
concerns than do comparable advertisements. Being private, they are more difficult to
monitor, and for that reason paragraph (e) requires retention for four years of certain
information regarding all such solicitations. See also Rule 7.07 (a). Paragraph (a)
addresses such concerns as well as problems stemming from exceptionally outrageous
communications such as solicitations involving fraud, intimidation, or deceptive and
misleading claims. Because receipt of multiple solicitations appears to be most
pronounced and vexatious in situations involving accident victims, paragraphs (b)(1),
(b)(2), (c)(1), (c)(4) and (c)(5) require that the envelope or other packaging used to
transmit the communication, as well as the communication itself, plainly disclose that the
communication is an advertisement, while paragraphs (b)(5) and (c)(3) require disclosure
of the source of information if the solicitation was prompted by a specific occurrence.
Because experience has shown that many written, audio, audio-visual, electronic mail,
and other forms of electronic solicitations have been intrusive or misleading by reason of
being personalized or being disguised as some form of official communication, special
prohibitions against such practices are necessary. The requirements of paragraph (b) and
(c) greatly lessen those dangers of deception and harassment.
Newsletters or other works published by a lawyer that are not circulated for the
purpose of obtaining professional employment are not within the ambit of paragraph (b)
or (c).
This Rule also regulates audio, audio-visual or other forms of electronic
communications used to solicit business. It includes such formats as recorded telephone
messages, movies, audio or audio-visual recordings or tapes, digital media, the internet
and other comparable forms of electronic communications. It requires that such
communications comply with all of the substantive requirements applicable to written
solicitations that are compatible with the different forms of media involved, as well as
with all requirements related to approval of the communications and retention of records
concerning them. See paragraphs (c), (d), and (e).
In addition to addressing these special problems posed by solicitations, Rule 7.05
regulates the content of those communications. It does so by incorporating the standards
of Rule 7.02 and those of Rule 7.04 that would apply to the solicitation were it instead a
comparable form of advertisement in the public media. See paragraphs (a)(2) and (3). In
brief, this approach means that, except as provided in paragraph (f), a lawyer may not
include or omit anything from a solicitation unless the lawyer could do so were the
communication a comparable form of advertisement in the public media.
Paragraph (f) provides that the restrictions in paragraph (b) and (c) do not apply in
certain situations because the dangers of deception, harassment, vexation and
overreaching are quite low. For example, a written solicitation may be directed to a
family member or a present or a former client, or in response to a request by a
prospective client without stating that it is an advertisement. Similarly, a written
solicitation may be used in seeking general employment in commercial matters from a
bank or other corporation, when there is neither concern with specific existing legal
problems nor concern with a particular past event or series of events. All such
communications, however, remain subject to Rule 7.02 and paragraphs (h) through (o) of
Rule 7.04. See sub-paragraph (a)(2).
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In addition, paragraph (f) allows such communications in situations not involving the
lawyer’s pecuniary gain. For purposes of these rules, it is presumed that communications
made on behalf of a nonprofit legal aid agency, union, or other qualified nonprofit
organization are not motivated by a desire for, or by the possibility of obtaining,
pecuniary gain, but that presumption may be rebutted.
Rule 7.06 Prohibited Employment
(a) A lawyer shall not accept or continue employment in a matter when that employment
was procured by conduct prohibited by any of Rules 7.01 through 7.05, 8.04(a)(2), or
8.04(a)(9), engaged in by that lawyer personally or by any other person whom the lawyer
ordered, encouraged, or knowingly permitted to engage in such conduct.
(b) A lawyer shall not accept or continue employment in a matter when the lawyer
knows or reasonably should know that employment was procured by conduct prohibited
by any of Rules 7.01 through 7.05, 8.04(a)(2), or 8.04(a)(9), engaged in by any other
person or entity that is a shareholder, partner, or member of, an associate in, or of counsel
to that lawyer’s firm; or by any other person whom any of the foregoing persons or
entities ordered, encouraged, or knowingly permitted to engage in such conduct.
(c) A lawyer who has not violated paragraph (a) or (b) in accepting employment in a
matter shall not continue employment in that matter once the lawyer knows or reasonably
should know that the person procuring the lawyer’s employment in the matter engaged in,
or ordered, encouraged, or knowingly permitted another to engage in, conduct prohibited
by any of Rules 7.01 through 7.05, 8.04(a)(2), or 8.04(a)(9) in connection with the matter
unless nothing of value is given thereafter in return for that employment.
Comment
Selection of a lawyer by a client often is a result of the advice and recommendation of
third parties—relatives, friends, acquaintances, business associates and other lawyers.
Although that method of referral is perfectly legitimate, the client is best served if the
recommendation is disinterested and informed. All lawyers must guard against creating
situations where referral from others is the consequence of some form of prohibited
compensation or from some form of false or misleading communication, or by virtue of
some other violation of any of Rules 7.01 through 7.05, 8.04(a)(2), or 8.04(a)(9).
Paragraph (a) forbids a lawyer who violated these rules in procuring employment in a
matter from accepting or continuing employment in that matter. This prohibition also
applies if the lawyer ordered, encouraged, or knowingly permitted another to violate
these rules. Paragraph (b) also forbids a lawyer from accepting or continuing
employment in a matter if the lawyer knows or reasonably should know that a member or
employee of his or her firm or any other person has procured employment in a matter as a
result of conduct that violates these rules. Paragraph (c) addresses the situation where the
lawyer becomes aware that the matter was procured in violation of these rules by an
attorney or individual, but had no culpability. In such circumstances, the lawyer may
continue employment and collect a fee in the matter as long as nothing of value is given
to the attorney or individual involved in the violation of the rule(s). See also Rule 7.03
(d), forbidding a lawyer to charge or collect a fee where the misconduct involves
violations of Rule 7.03 (a), (b), or (c).
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Rule 7.07 Filing Requirements for Public Advertisements and Written,
Recorded, Electronic, or Other Digital Solicitations
(a) Except as provided in paragraphs (c) and (e) of this Rule, a lawyer shall file with the
Advertising Review Committee of the State Bar of Texas, no later than the mailing or
sending by any means, including electronic, of a written, audio, audio-visual, digital or
other electronic solicitation communication:
(1) a copy of the written, audio, audio-visual, digital, or other electronic
solicitation communication being sent or to be sent to one or more prospective clients for
the purpose of obtaining professional employment, together with a representative sample
of the envelopes or other packaging in which the communications are enclosed;
(2) a completed lawyer advertising and solicitation communication application;
and
(3) a check or money order payable to the State Bar of Texas for the fee set by the
Board of Directors. Such fee shall be for the sole purpose of defraying the expense of
enforcing the rules related to such solicitations.
(b) Except as provided in paragraph (e) of this Rule, a lawyer shall file with the
Advertising Review Committee of the State Bar of Texas, no later than the first
dissemination of an advertisement in the public media, a copy of each of the lawyer’s
advertisements in the public media. The filing shall include:
(1) a copy of the advertisement in the form in which it appears or will appear
upon dissemination, such as a videotape, audiotape, DVD, CD, a print copy, or a
photograph of outdoor advertising;
(2) a production script of the advertisement setting forth all words used and
describing in detail the actions, events, scenes, and background sounds used in such
advertisement together with a listing of the names and addresses of persons portrayed or
heard to speak, if the advertisement is in or will be in a form in which the advertised
message is not fully revealed by a print copy or photograph;
(3) a statement of when and where the advertisement has been, is, or will be used;
(4) a completed lawyer advertising and solicitation communication application
form; and
(5) a check or money order payable to the State Bar of Texas for the fee set by the
Board of Directors. Such fee shall be for the sole purpose of defraying the expense of
enforcing the rules related to such advertisements.
(c) Except as provided in paragraph (e) of this Rule, a lawyer shall file with the
Advertising Review Committee of the State Bar of Texas no later than its first posting on
the internet or other comparable network of computers information concerning the
lawyer’s or lawyer’s firm’s website. As used in this Rule, a “website” means a single or
multiple page file, posted on a computer server, which describes a lawyer or law firm’s
practice or qualifications, to which public access is provided through publication of a
uniform resource locator (URL). The filing shall include:
(1) the intended initial access page of a website;
(2) a completed lawyer advertising and solicitation communication application
form and;
18
(3) a check or money order payable to the State Bar of Texas for the fee set by the
Board of Directors. Such fee shall be for the sole purpose of defraying the expense of
enforcing the rules related to such websites.
(d) A lawyer who desires to secure an advance advisory opinion, referred to as a request
for pre-approval, concerning compliance of a contemplated solicitation communication or
advertisement may submit to the Lawyer Advertising Review Committee, not less than
thirty (30) days prior to the date of first dissemination, the material specified in paragraph
(a) or (b) or the intended initial access page submitted pursuant to paragraph (c),
including the application form and required fee; provided however, it shall not be
necessary to submit a videotape or DVD if the videotape or DVD has not then been
prepared and the production script submitted reflects in detail and accurately the actions,
events, scenes, and background sounds that will be depicted or contained on such
videotapes or DVDs, when prepared, as well as the narrative transcript of the verbal and
printed portions of such advertisement. If a lawyer submits an advertisement or
solicitation communication for pre-approval, a finding of noncompliance by the
Advertising Review Committee is not binding in a disciplinary proceeding or disciplinary
action, but a finding of compliance is binding in favor of the submitting lawyer as to all
materials actually submitted for pre-approval if the representations, statements, materials,
facts, and written assurances received in connection therewith are true and are not
misleading. The finding of compliance constitutes admissible evidence if offered by a
party.
(e) The filing requirements of paragraphs (a), (b), and (c) do not extend to any of the
following materials, provided those materials comply with Rule 7.02(a) through (c) and,
where applicable, Rule 7.04(a) through (c):
(1) an advertisement in the public media that contains only part or all of the
following information,
(i) the name of the lawyer or firm and lawyers associated with the firm,
with office addresses, electronic addresses, telephone numbers, office and
telephone service hours, telecopier numbers, and a designation of the profession
such as “attorney,” “lawyer,” “law office,” or “firm”;
(ii) the particular areas of law in which the lawyer or firm specializes or
possesses special competence;
(iii) the particular areas of law in which the lawyer or firm practices or
concentrates or to which it limits its practice;
(iv) the date of admission of the lawyer or lawyers to the State Bar of
Texas, to particular federal courts, and to the bars of other jurisdictions;
(v) technical and professional licenses granted by this state and other
recognized licensing authorities;
(vi) foreign language ability;
(vii) fields of law in which one or more lawyers are certified or
designated, provided the statement of this information is in compliance with Rule
7.02(a) through (c);
(viii) identification of prepaid or group legal service plans in which the
lawyer participates;
(ix) the acceptance or nonacceptance of credit cards;
(x) any fee for initial consultation and fee schedule;
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(xi) other publicly available information concerning legal issues, not
prepared or paid for by the firm or any of its lawyers, such as news articles, legal
articles, editorial opinions, or other legal developments or events, such as
proposed or enacted rules, regulations, or legislation;
(xii) in the case of a website, links to other websites;
(xiii) that the lawyer or firm is a sponsor of a charitable, civic, or
community program or event, or is a sponsor of a public service announcement;
(xiv) any disclosure or statement required by these rules; and
(xv) any other information specified from time to time in orders
promulgated by the Supreme Court of Texas;
(2) an advertisement in the public media that:
(i) identifies one or more lawyers or a firm as a contributor to a specified
charity or as a sponsor of a specified charitable, community, or public interest
program, activity, or event; and
(ii) contains no information about the lawyers or firm other than names of
the lawyers or firm or both, location of the law offices, and the fact of the
sponsorship or contribution;
(3) a listing or entry in a regularly published law list;
(4) an announcement card stating new or changed associations, new offices, or
similar changes relating to a lawyer or firm, or a tombstone professional card;
(5) in the case of communications sent, delivered, or transmitted to, rather than
accessed by, intended recipients, a newsletter, whether written, digital, or electronic,
provided that it is sent, delivered, or transmitted mailed only to:
(i) existing or former clients;
(ii) other lawyers or professionals; or
(iii) members of a nonprofit organization that meets the following
conditions: the primary purposes of the organization do not include the rendition
of legal services; the recommending, furnishing, paying for, or educating persons
regarding legal services is incidental and reasonably related to the primary
purposes of the organization; the organization does not derive a financial benefit
from the rendition of legal services by a lawyer; and the person for whom the
legal services are rendered, and not the organization, is recognized as the client of
the lawyer who is recommended, furnished, or paid by the organization;
(6) a solicitation communication that is not motivated by or concerned with a
particular past occurrence or event or a particular series of past occurrences or events,
and also is not motivated by or concerned with the prospective client’s specific existing
legal problem of which the lawyer is aware;
(7) a solicitation communication if the lawyer’s use of the communication to
secure professional employment was not significantly motivated by a desire for, or by the
possibility of obtaining, pecuniary gain; or
(8) a solicitation communication that is requested by the prospective client.
(f) If requested by the Advertising Review Committee, a lawyer shall promptly submit
information to substantiate statements or representations made or implied in any
advertisement in the public media and/or written solicitation communication by which
the lawyer seeks paid professional employment.
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Comment
Rule 7.07 covers the filing requirements for public media advertisements (see Rule
7.04) and written, recorded, or other electronic solicitations (see Rule 7.05). Rule 7.07(a)
deals with solicitation communications sent by a lawyer to one or more specified
prospective clients. Rule 7.07(b) deals with advertisements in the public media. Rule
7.07(c) deals with websites. Although websites are a form of advertisement in the public
media, they require different treatment in some respects and so are dealt with separately.
Each provision allows the Bar to charge a fee for reviewing submitted materials, but
requires that fee be set solely to defray the expenses of enforcing those provisions.
Copies of non-exempt solicitations communications or advertisements in the public
media (including websites) must be provided to the Advertising Review Committee of
the State Bar of Texas either in advance or concurrently with dissemination, together with
the fee required by the State Bar of Texas Board of Directors. Presumably, the
Advertising Review Committee will report to the appropriate grievance committee any
lawyer whom it finds from the reviewed products has disseminated an advertisement in
the public media or solicitation communication that violates Rules 7.02, 7.03, 7.04, or
7.05, or, at a minimum, any lawyer whose violation raises a substantial question as to that
lawyer’s honesty, trustworthiness, or fitness as a lawyer in other respects. See Rule
8.03(a).
Paragraphs (a) does not require that a lawyer submit a copy of each and every written
solicitation letter a lawyer sends. If the same form letter is sent to several people, only a
representative sample of each form letter, along with a representative sample of the
envelopes used to mail the letters, need be filed.
A lawyer wishing to do so may secure an advisory opinion from the Advertising
Review Committee concerning any proposed advertisement in the public media
(including a website) or any solicitation communication in advance of its first use or
dissemination by complying with Rule 7.07(d). This procedure is intended as a service to
those lawyers who want to resolve any possible doubts about their proposed
advertisements’ or solicitations’ compliance with these Rules before utilizing them. Its
use is purely optional. No lawyer is required to obtain advance clearance of any
advertisement in the public media (including a website) or any solicitation
communication from the State Bar. Although a finding of noncompliance by the
Advertising Review Committee is not binding in a disciplinary proceeding, a finding of
compliance is binding in favor of the submitting lawyer as to all materials actually
submitted for review, as long as the lawyer’s presentation to the Advertising Review
Committee in connection with that advisory opinion is true and not misleading.
Under its Internal Rules and Operating Procedures, the Advertising Review
Committee is to complete its evaluations no later than 25 days after the date of receipt of
a filing. The only way that the Committee can extend that review period is to: (1)
determine that there is reasonable doubt whether the advertisement or solicitation
communication complies with these Rules; (2) conclude that further examination is
warranted but cannot be completed within the 25 day period; and (3) advise the lawyer of
those determinations in writing within that 25 day period. The Committee’s Internal
Rules and Operating Procedures also provide that a failure to send such a communication
to the lawyer within the 25 day period constitutes approval of the advertisement or
solicitation communication. Consequently, if an attorney submits an advertisement in the
21
public media (including a website) or a solicitation communication to the Committee for
advance approval not less than 30 days prior to the date of first dissemination as required
by these Rules, the attorney will receive an assessment of that advertisement or
communication before the date of its first intended use.
Consistent with the effort to protect the first amendment rights of lawyers while
ensuring the right of the public to be free from misleading advertising and the right of the
Texas legal profession to maintain its integrity, paragraph (e) exempts certain types of
advertisements and solicitation communications prepared for the purpose of seeking paid
professional employment from the filing requirements of paragraphs (a), (b) and (c).
Those types of communications need not be filed at all if they were not prepared to
secure paid professional employment.
For the most part, the types of exempted advertising listed in sub-paragraphs (e)(1)-(5)
are objective and less likely to result in false, misleading or fraudulent content. Similarly
the types of exempted solicitation communications listed in sub-paragraphs (e)(6) – (8)
are those found least likely to result in harm to the public. See Rule 7.05(f), and comment
7 to Rule 7.05. The fact that a particular advertisement or solicitation made by a lawyer is
exempted from the filing requirements of this Rule does not exempt a lawyer from the
other applicable obligations of these Rules. See generally Rules 7.01 through 7.06.
Paragraph (f) does not empower the Advertising Review Committee to seek
information from a lawyer to substantiate statements or representations made or implied
in advertisements or written communications that do not seek to obtain paid professional
employment for that lawyer.
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