ISBA Ethics Opinions on Unauthorized Practice of Law

A lawyer not admitted to practice law in Illinois may not engage in the practice of law in Illinois unless one of the exceptions set forth in Rule 5.5 applies.

An out-of-state lawyer who is applying for admission in Illinois may work as a lawyer, from an office in Illinois, on cases in state and federal courts to which she is already admitted to practice, as long as those state and federal jurisdictions permit such practice. The lawyer also may work on Illinois legal matters under appropriate supervision, with disclosure that she is not admitted to practice in Illinois.

Solicitation of personal injury cases within Illinois by a lawyer not admitted to practice in Illinois is not, in and of itself, a form of unauthorized practice of law, however, all solicitations must comply with all restrictions imposed by the Illinois Supreme Court on lawyer advertising, and must contain all information necessary to prevent the recipient from being misled.

An out-of-state lawyer may practice immigration law in Illinois with the use of a properly supervised nonlawyer in Illinois who collects information to be used by the lawyer in filling out immigration forms.

Representation of a party in a grievance arbitration in Illinois may be considered the practice of law, however, a lawyer licensed in another state may serve as representative of a party at a grievance arbitration without being admitted to practice in Illinois so long as the representation is in accordance with Illinois Rules of professional Conduct RPC 5.5(b) and (c). With regard to advertising, nothing in the Rules specifically authorizes lawyers admitted in jurisdictions other than Illinois to advertise in Illinois, therefore, whether and how lawyers may communicate the availability of their services to prospective clients in this jurisdiction is governed by Rules 7.1 to 7.5.

A lawyer is responsible for marketing firm’s conduct that would be in violation of the Rules of Professional Conduct if engaged in by a lawyer, if the lawyer orders or ratifies such conduct.

Marketing firm, retained by a law firm, may distribute advertisements promoting the firm to potential clients through the mail, by posting on electronic bulletin boards and by delivering promotions door-to-door, but it may not have personal contact with the recipients in its distribution of the advertisements.

Law firm aids in the unauthorized practice of law if it permits marketing firm to screen the responses to the advertising and to forward only “promising” responses to the law firm.

Law firm may not compensate marketing firm on any basis related to the fees received by the firm from clients obtained through the marketing firm.

Lawyer may make appearances before civic and similar organizations in an effort to obtain clients.

Law firm may not assign nonlawyer employee to determine whether potential client has a claim.

A corporation doing business as a “management services organization” is engaged in the unauthorized practice of law when, among the services provided, it includes legal services, whether in-court or otherwise; it would be professionally improper for any lawyer to counsel or advise the corporation in rendering such services.

Individuals may complete and file corporate documents; however, if the individual receives any assistance or advice from nonlawyers in completing the forms, such as forms for filing articles of incorporation, even those provided by the Secretary of State, the person providing the assistance is unlawfully engaged in the unauthorized practice of law. This determination includes assistance provided by accountants.

A lawyer aids in the unauthorized practice of law, and may violate rules pertaining to confidentiality, conflicts, and the duty to communicate with and explain matters to a client, by limiting his role in a real estate transaction to the drafting of documents and delegating the gathering and dissemination of information, the resolution of problems arising from the documents drafted, and other problems which may arise at the closing, to the real estate broker.

An attorney may be retained to render services for a client by a third party. The party must be authorized to retain the attorney and the attorney's judgment must not be directed or regulated by the third party. The third party must be paid on either an hourly or contingent fee basis by the client and the attorney must not share fees with a non-attorney third party.

An attorney aids in the unauthorized practice of law, and violates Rules of Professional Conduct regarding conflict of interest, fee splitting, and the provision of independent legal advice, when the attorney participates in a financial planning company's arrangement whereby the company gathers information necessary to prepare estate planning documents, prepares the documents, and send the documents to the client's selected attorney for review, legal advice, and execution.

It is professionally improper for an attorney, employed by an institution which markets Revocable Living Trusts to consumers as estate planning tools, to prepare or review such documents; or for the attorney to share fees with the institution.

A bank that prepares an Illinois land trust agreement for its client and/or deed into trust is engaged in the unauthorized practice of law.

Lawyer must be satisfied that an agent has authority to retain lawyer to perform legal services on behalf of another.

A law firm may not provide a client its firm letterhead signed in blank for use by the client.