Solicitation of Clients

(a) A lawyer must not solicit professional employment through live, in-person, or real-time communication directed to someone who has not asked the lawyer to contact that person and who the lawyer knows or reasonably should know needs legal services in a matter when a motive for the lawyer's contacting the prospective client is the lawyer's pecuniary gain. Such communications, regardless of form, constitute improper solicitation and are subject to these Rules. Communications to another lawyer, a former or current client, or a family member are exceptions to this Rule and are permitted. (b) A lawyer must not solicit professional employment, even when not prohibited in Rule 7.3(a), if: (1) the communication concerns an action for personal injury or wrongful death arising out of or otherwise related to an accident, event, or disaster involving the person to whom the communication is addressed or a relative or representative of that person, unless the accident, event, or disaster giving rise to the cause of action occurred more than twenty-one (21) days prior to the communication; (2) the communication concerns a civil proceeding pending in a state or federal court or an administrative proceeding, unless service of process was obtained on the person involved in the proceeding or other prospective client and filed with the appropriate court; (3) the communication concerns a criminal proceeding pending in a state or federal court, unless the prospective client was served with a warrant or information more than seven (7) days prior to the communication; (4) the communication concerns a specific matter and the lawyer knows or reasonably should know that the person to whom the communication is sent or directed is represented by a lawyer in that matter; (5) it has been made known to the lawyer that the person to whom the communication is sent or directed does not want to receive the communication; (6) the communication involves coercion, duress, fraud, overreaching, harassment, intimidation, or undue influence by the lawyer; (7) the communication contains a false, fraudulent, misleading, deceptive, or unfair statement or claim or is otherwise improper under these Rules; or (8) the lawyer knows or reasonably should know that the person to whom the communication is sent or directed is a minor or is incompetent or that the person's physical, emotional, or mental state makes it unlikely that the person would exercise reasonable judgment in employing a lawyer. (c) A lawyer must not permit any person -- including intermediaries, representatives, employees, or staff or agents of the lawyer -- to solicit clients on the lawyer's behalf in violation of these Rules, and the lawyer is responsible for any improper solicitation by the lawyer's or the lawyer's firm's intermediaries, representatives, employees, or staff or agents. A lawyer must not use any person -- including intermediaries, nonlawyers, accountants, investigators, police officers, healthcare workers, courthouse personnel, etc. -- to solicit, seek, or obtain prospective clients for the lawyer or to direct clients to the lawyer in violation of these Rules. (d) A lawyer must not enter into an agreement for, or charge or collect a fee or other compensation for, professional employment obtained in violation of this Rule. (e) Communications by or on behalf of a lawyer to prospective clients that are covered by Rule 7.3(b) and are not otherwise prohibited by these Rules are subject to the following additional requirements: (1) A sample of each communication and a sample of any envelope used with any mailed communication, along with a list of the names and addresses of the recipients, must be retained by the lawyer for two (2) years and made available promptly on request to the Office of General Counsel of the Alabama State Bar. If the communication is sent to multiple recipients and it is not reasonably possible for the lawyer to identify specific addresses for the recipients, the lawyer must retain a record sufficient to identify the recipients by group; (2) Communications mailed to prospective clients must not be sent by registered mail, by any other form of restricted delivery, by express mail, or by any other means that could reasonably mislead the recipient; (3) It must not be stated or implied that the communication is approved by the Alabama State Bar or other authority; (4) The communication must not resemble a legal pleading, official government form or document (administrative, municipal, federal or state), or other legal document, and the design of the communication and the manner of delivering the communication appear to be an official document; the communication must not make for (5) If a contract representation accompanies the communication, it must be presented as a sample contract, and the top of each page of the contract must be plainly and conspicuously marked "SAMPLE ONLY." The words "SAMPLE ONLY" must be in bold print in a color that contrasts with the background color and in print larger than the largest print used in the contract. The words "DO NOT SIGN" must appear on the client signature line in bold print in a color that contrasts with the background color and in print larger than the largest print used in the contract; (6) The first sentence of the communication must state clearly and prominently: "IF YOU ALREADY HAVE A LAWYER FOR THIS MATTER PLEASE DISREGARD THIS COMMUNICATION"; (7) If the communication is prompted by or is about a specific occurrence (e.g., an accident, bankruptcy, divorce, death, arrest, recorded judgment, or garnishment), the communication must disclose, in easily understandable language, how the lawyer obtained that information; (8) A communication to a prospective client seeking employment in a specific matter must not reveal on the envelope, or on the outside of the self-mailing brochure or pamphlet, the nature of the prospective client's legal problem or situation; (9) The lawyer sending or making the communication must be able to demonstrate promptly on request by a prospective client or by the Office of General Counsel of the Alabama State Bar that all the information contained in the communication is truthful and is not misleading; and (10) If the matter referenced in the communication probably will be referred to another lawyer in a different law firm, the communication must say that in clear, plain language. (f) A nonelectronically transmitted communication subject to this Rule must be plainly marked "ADVERTISEMENT" both on the top of its first page and on the face of the envelope or other packaging used to transmit the communication. The word "ADVERTISEMENT" must be in bold print in a color that contrasts with the background color and in print larger than the largest print used in the communication. (g) requirements of An email or other electronically transmitted direct communication subject to the this Rule must be clearly and prominently designated "ADVERTISEMENT" in the subject portion of the communication and at the beginning of the communication's text in print larger than the largest print used in the communication. (h) An audio or video communication, an internet or social-media communication, an email communication, or a recorded telephone message subject to the requirements of this Rule must clearly and prominently disclose that it is an "ADVERTISEMENT" at the beginning of the communication before any other writing or any other words being spoken. (i) The first sentence of a targeted direct-mail or email solicitation permitted under these Rules must be "ADVERTISEMENT. IF YOU HAVE ALREADY RETAINED A LAWYER FOR THIS MATTER, PLEASE DISREGARD THIS COMMUNICATION," presented clearly and prominently in print larger than the largest print used in the communication. [Amended eff. 5-1-1996; Amended eff. 2-19-2009; Amended 5-13-2025, eff. 1-1-2026.] Comment There is a potential for abuse inherent in direct solicitation by a lawyer in person or by telephone, telegraph, or facsimile transmission of prospective clients known to need legal services. Direct solicitation subjects the nonlawyer to the private importuning of a trained advocate, in a direct impersonal encounter. A prospective client often feels overwhelmed by the situation giving rise to the need for legal services and may have an impaired capacity for reason, judgment, and protective self-interest. Furthermore, the lawyer seeking to be retained is faced with a conflict stemming from the lawyer's own interest, which may color the advice and representation offered the vulnerable prospect. The situation is therefore fraught with the possibility of undue influence, intimidation, and overreaching. This potential for abuse inherent in direct solicitation of prospective clients justifies some restrictions, particularly since the advertising permitted under Rule 7.2 offers an alternative means of communicating necessary information to those who may be in need of legal services. Advertising makes it possible for a prospective client to be informed about the need for legal services, and about the qualifications of available lawyers and law firms, without subjecting the prospective client to direct personal persuasion that may overwhelm the client's judgment. The use of general advertising, rather than direct private contact, to transmit information from lawyer to prospective client will help to assure that the information flows cleanly as well as freely. Advertising is in the public view and thus subject to scrutiny by those who know the lawyer. This informal review is likely to help guard against statements and claims that might constitute false or misleading communications in violation of Rule 7.1. Direct, private communications from a lawyer to a prospective client are not subject to such third-person scrutiny and consequently are much more likely to approach (and occasionally cross) the line between accurate representations and those that are false and misleading. Direct written communication seeking employment by specific prospective clients generally presents less potential for abuse or overreaching than in-person solicitation and is therefore not prohibited for most types of legal matters, but is subject to reasonable restrictions, as set forth in this rule, designed to minimize or preclude abuse and overreaching and to ensure the lawyer's accountability if abuse should occur. This rule allows targeted mail solicitation of potential plaintiffs or claimants in personal injury and wrongful death causes of action or other causes of action that relate to an accident, disease, death, or injury, but only if the communication is not mailed until thirty (30) days after the incident. This restriction is reasonably required by the sensitized state of the potential clients, who may be either injured or grieving over the loss of a family member, and the abuses that experience has shown can exist in this type of solicitation. Common examples of written communications that must meet the requirements of subparagraph (b) of this rule are direct mail solicitation sent to individuals or groups selected because they share common characteristics, e.g., persons named in traffic accident reports or notices of foreclosure. Communications not ordinarily sent on an unsolicited basis to prospective clients are not covered by this rule. Also not covered by this rule are responses by lawyers and law firms to requests for information from a prospective client or newsletters or brochures published for clients, former clients, those requesting it, or those with whom the lawyer or law firm has a familial or current or prior professional relationship. Letters of solicitation and the envelopes in which they are mailed should be clearly marked “Advertisement.” This will avoid the perception by the recipient that there is a need to open the envelope because it is from a lawyer or law firm, when the envelope contains only a solicitation for legal services. With the envelopes and letters clearly marked “Advertisement,” the recipient can choose to read the solicitation or not to read it, without fear of legal repercussions. In addition, the lawyer or law firm sending the letter of solicitation shall reveal the source of information used to determine that the recipient has a potential legal problem. Disclosure of the source will help the recipient to understand the extent of knowledge the lawyer or law firm has regarding the recipient's particular situation and will avoid misleading the recipient into believing that the lawyer has particularized knowledge about the recipient's matter if the lawyer does not. General mailings to persons not known to need legal services, as well as mailings targeted to specific persons or potential clients, are permitted by this rule. However, these mailings constitute advertisement and are thus subject to the requirements of Rule 7.2 concerning delivery of copies to the general counsel, record keeping, inclusion of a disclaimer, and performance of the services offered at the advertised fee. This Rule would not prohibit a lawyer from contacting representatives of organizations or groups that may be interested in establishing a group or prepaid legal plan for its members, insureds, beneficiaries, or other third parties for the purpose of informing such entities of the availability of and details concerning the plan or arrangement that the lawyer or the law firm is willing to offer. This form of communication is not directed to a specific prospective client known to need legal services related to a particular matter. Rather, it is usually addressed to an individual acting in a fiduciary capacity seeking a supplier of legal services for others who may, if they choose, become prospective clients of the lawyer. Under these circumstances, the activity which the lawyer undertakes in communicating with such representatives and the type of information transmitted to the individual are functionally similar to and serve the same purpose as advertising permitted under Rule 7.2. Comment Under Rule 8.5, Rule 7.3 applies to any lawyer or firm that solicits clients in Alabama, even if neither the lawyer nor the members of the lawyer's firm are admitted to practice in Alabama. A "prospective client" as used in these Rules is someone whom the lawyer considers a potential client or someone whom the lawyer seeks to represent if given the opportunity. As an example, individuals who watch or hear a lawyer's commercial, view a lawyer's billboard, or access a lawyer's website are prospective clients in most instances. "Solicitation" and "solicit" mean a communication from or on behalf of a lawyer or law firm that is directed to a specific person the lawyer or law firm knows or reasonably should know probably needs legal services in a particular matter and that offers to provide, or reasonably would be understood as offering to provide, legal services for that matter. General communications, such as billboards, television or radio advertisements, web pages, banner ads, social-media posts, blogs, and similar forms of communications that are not directed to a specific individual with a particular legal matter are not considered solicitation under these Rules.