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Rule 4.1 Truthfulness in Statements to Others.

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Rule Text

In the course of representing a client a lawyer shall not knowingly:

(a) Make a false statement of material fact or law to a third person; or

(b) Fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.

Plain-English Summary (for reference only — not a substitute for the rule text above)

This summary is not the rule. The rule text controls.

When a lawyer is working on a client's case, they cannot lie to other people about important facts or the law. This means the lawyer can't knowingly tell someone something false if it matters to the situation at hand.

The rule also covers staying silent when honesty requires speaking up. If a lawyer knows their silence would help a client commit fraud or a crime, the lawyer generally has to speak up and share the important information. The only exception is when another rule, Rule 1.6, requires the lawyer to keep that information confidential.

In short, lawyers must deal honestly with people outside their own client relationship. They can't actively lie, and in most cases, they can't stay quiet if doing so would help a client cheat or break the law.

Committee Notes

Comment

Misrepresentation

A lawyer is required to be truthful when dealing with others on a client's behalf, but generally has no affirmative duty to inform an opposing party of relevant facts. A misrepresentation can occur if the lawyer incorporates or affirms a statement of another person that the lawyer knows is false. Misrepresentations can also occur by failure to act.

Statements of Fact

This Rule refers to statements of fact. Whether a particular statement should be regarded as one of fact can depend on the circumstances. Under generally accepted conventions in negotiation, certain types of statements ordinarily are not taken as statements of material fact. Estimates of price or value placed on the subject of a transaction and a party's intentions as to an acceptable settlement of a claim are in this category, and so is the existence of an undisclosed principal except where nondisclosure of the principal would constitute fraud.

Fraud by Client

Paragraph (b) recognizes that substantive law may require a lawyer to disclose certain information to avoid being deemed to have assisted the client's crime or fraud. The requirement of disclosure created by this paragraph is, however, subject to the obligations created by Rule 1.6. Comparison with Former Alabama Code of Professional Responsibility

Paragraph (a) is substantially similar to DR 7-102(A)(5), which stated that “[i]n his representation of a client, a lawyer shall not... [k]nowingly make a false statement of law or fact.”

With regard to paragraph (b), DR 7-102(A)(3) provided that a lawyer shall not “[c]onceal or knowingly fail to disclose that which he is required by law to reveal.”

← Previous Rule 3.10: Threatening Criminal Prosecution. Next → Rule 4.2: Communication with Person Represented by Counsel.

Cross-References

References (1)

Ala. R. Prof. C. Rule 1.6

This Rule Set

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Last updated: September 2026

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