ARDC SENIOR COUNSEL AUGUST 16-17, 2013

Transcription

1 SCOTT KOZLOV ARDC SENIOR COUNSEL AUGUST 16-17, 2013 AMERICAN BAR ASSOCIATION 1 ST UPL SCHOOL STURM COLLEGE OF LAW UNIVERSITY OF DENVER The ARDC and Investigation/Prosecution of UPL Matters

2 I. Unauthorized Practice of Law Investigations/Proceedings in IL A. What is the Unauthorized Practice of Law in Illinois and Why Should the Supreme Court be Involved in Regulating It? The IL Supreme Court addressed the issue as early as 1937 in People v. Goodman, 366 Ill. 346, 8 N.E.2d 941. In Goodman, the Court heard a claim brought by the Chicago Bar Association against a man charged with operating an Injured Workmen s Bureau, which he also referred to in advertisements as The Public Bureau of Investigation and Adjustments. Essentially, what this man was doing was bringing worker s comp claims on behalf of injured workers at the Illinois Industrial Commission. The evidence showed that he had handled a total of about 8,200 different worker s compensation claims, at a rate of about 750 claims per year. The Court, in ruling on this matter, wrote a detailed opinion discussing the roles of the different branches of government in relation to UPL claims. In its opinion, the Court specifically pointed out that primary authority over UPL matters rested with the Court, and not the legislature. One passage in the opinion was particularly helpful. On page 944 of that opinion, the Court said: The Court thus found: The power to regulate and define the practice of law is a prerogative of the judicial department as one of the three division of the government created by article 3 of our Constitution. The legislative department may pass acts declaring the unauthorized practice of law illegal and punishable. Such statutes are merely in aid of, and do no supersede or detract from, the power of the judicial department to control the practice of law.the power is inherent in this court to prescribe regulations of the study of law and the admission of applicants for the practice of that profession.it follows, as an incident to such power, that this court has jurisdiction to discipline or disbar, for cause, attorneys licensed by it. It would be an anomalous situation if a layman actively engaged in the practice of law, in defiance of the requirements necessary therefore announced by this court, could stay the hand of the court from suppressing his illegal acts. The practice of law, both in courts and out of courts, by one not licensed, is an illegal usurpation of the privilege of an attorney and is a contempt of this court.

3 1. The primary power to regulate the practice of law rests with the Court. 2. The regulation of the practice of law includes prohibiting non-attorneys from doing so. 3. The proper way to punish non-lawyers was through criminal contempt. (In disposing of the case, the Court found the non-attorney Respondent guilty of contempt of court for engaging in UPL and fined him $500. ( remember this was 1937) It found him sincere in his belief that he could lawfully handle such matters, so it did not inflict a heavy sanction upon him. Interestingly, three justices dissented and would have dismissed the petition as unwarranted because the matter was before an administrative tribunal, not a court, and because the underlying matters did not involve complex legal issues that lay person could not comprehend.) B. So, then, how does the IL Supreme Court define the Practice of Law? I would look 1 st to the case of People v. Schafer, 404 Ill. 45, 87 N.E.2d 773 (1949), where the Court said: It would be difficult, if not impossible, to lay down a formula or definition of what constitutes the practice of law. Practicing law has been defined as the giving of advice or rendition of any sort of service by any person, firm or corporation when the giving of such advice or rendition of such service requires the use of any degree of legal knowledge or skill. (emphasis added) In Schafer, the non-attorney Respondent had been charged in a petition for contempt brought by the Illinois State Bar Association, alleging that he had engaged in UPL by preparing deeds, contracts, and mortgages in relation to various real estate transactions. The Respondent was a licensed real estate and insurance broker, who had decided that his expertise went beyond locating buyers and sellers of property. The Court found the Respondent in Schafer guilty of contempt of court for engaging in UPL and fined him $100. In People ex rel. Chicago Bar Ass n v. Barasch, 406 Ill. 253, 94 N.E.2d 148 (1950), the Court found a disbarred attorney to be in contempt of court for continuing to practice law after his name was stricken from the roll. The court found that the disbarred attorney had engaged in UPL because he had initiated 25 actions in his own name as the assignee of claims on past due notes and contracts, although nothing on the face of the instruments showed that they had been assigned to him. The disbarred attorney was sentenced to 60 days imprisonment in the county jail and a fine of $200, plus costs. Similarly, in People ex rel. Chicago Bar Ass n et al. v. Tinkoff, 399 Ill. 282, 77 N.E.2d 893 (Ill. 1948), the Court found that a disbarred attorney had engaged in UPL by filing an action as guardian of his minor son, as assignee, in a claim to rescind a real estate transaction. The disbarred attorney had been acting as a tax advisor and real estate agent when he met a couple that appeared to have a claim to rescind a deed because the purchased had purportedly engaged in fraud. Respondent prepared the assignment documents, filed the claim, and then litigated the claim pro se. The Court found that the disbarred attorney had employed subterfuge to handle the

4 legal matter, and that he thus was in contempt of court. They sentenced him to a $500 fine and costs. Lots of cases have expounded on the Schafer language as to what is the practice of law in this State, but Illinois still does not have an all-encompassing definition of the practice of law. C. The Evolution of IL Supreme Court Rule 779 As you can see from the cases already mentioned, for many years, the task of bringing claims against non-attorneys for engaging in UPL fell to bar associations like the Chicago Bar Association and the Illinois State Bar Association on behalf of the People of the State of Illinois. The bar associations are still involved in the process, but the area has evolved. Eventually, the legislative and executive branches of government became more involved in UPL enforcement. Civil and Criminal Statutes were passed, and, under certain circumstances, individuals were charged under the applicable laws with engaging in UPL. In the materials, I have given you a sampling of the laws and rules implicated in UPL matters. These are not all of the laws and rules used to bring claims against non-attorneys in UPL matters, but they are the primary tools. There are a number of parties involved in the enforcement of UPL laws and rules. 1. Attorney General s Office typically Fraud & Deceptive Practice Act 2. The various State s Attorney s Offices False Personation Charges 3. The bar associations Attorney Act claims 4. Individual attorney s filing claims under the Illinois Attorney Act In the 1990 s, the legal community, and ISBA in particular, began considering new ways to combat what many attorneys considered a growing problem. The Illinois Supreme Court Rules Committee then considered a proposal by the ISBA to have the Court create a new agency, similar to the ARDC, to address UPL matters. The effort failed, but the idea for further measures remained. In 2009, the ISBA, under the leadership of John O Brien, who was president at the time, renewed their effort to have the Supreme Court get more involved in UPL enforcement measures. The 2009 proposal was primarily based on the model of the Colorado system. It would have created a new entity under the Court s powers and established a committee to deal with non-attorney unauthorized practice. As the Chair of the CBA s UPL Committee and a member of the ISBA s Task Force on UPL, I became involved in the process. When the matter was submitted to the ARDC Administrator for consideration, it made more sense to include the UPL matters within the authority of the ARDC. So the ISBA proposal was modified to fit within the structures we already had in place at the Commission. UPL actions against non-attorneys, however, involve criminal contempt findings. So, the new rule was written to channel those cases through the circuit courts.

5 The result of the process was ultimately, as you all are probably aware, the passage of Rule 779, which became effective on 12/07/11. RULE 779 Unauthorized Practice of Law Proceedings (a) Proceedings against Suspended Illinois Lawyers and Out of State Lawyers. Unauthorized practice of law proceedings authorized by the Inquiry Board against an Illinois attorney who is suspended or against a lawyer licensed in another jurisdiction in the United States shall be instituted by the Administrator by the filing of a disciplinary complaint before the Hearing Board, and the hearing and review procedure shall be governed by Rule 753. (b) Proceedings Against Disbarred Illinois Lawyers and Unlicensed Persons. Unauthorized practice of law proceedings authorized by the Inquiry Board against an Illinois attorney who is disbarred or disbarred on consent or against a person, entity or association that is not licensed to practice law in any other United States jurisdiction may be brought by the Administrator as civil and/or contempt actions pursuant to the rules of this court, its inherent authority over the practice of law, or other laws of the State related to the unauthorized practice of law. Proceedings shall be commenced in the circuit court for the circuit in which venue would be proper under the Code of Civil Procedure (735 ILCS 5/2-101 et seq.), unless venue is fixed by a specific law governing the proceedings, in which case that venue provision controls. The circuit court is authorized to enter a final judgment disposing of the case. Appeals from that judgment are governed by Rule 301 of this court. (Adopted December 7, 2011, effective immediately.) D. Suspended Attorneys Self-explanatory/No detailed discussion needed Rule 779(a) basically says that proceedings against suspended and out-of-state lawyers, as authorized by the Inquiry Panels, go through the existing structures at the Commission. (ie. Hearing Board, Review Board, and the to the Court) Just like any other disciplinary case that we handle at the Commission. E, Out-of-State Attorneys - how and why do we pursue UPL claims? How we do - RPC 8.5(a) effective 1/01/10 Out of State Lawyer is subject to discipline in IL if he/she provides or offers to provide any legal services in this jurisdiction Why we do it - So that theoretically, reciprocal discipline will be imposed in the Attorney s home state, and so that no other Illinois residents will be harmed. When we prosecute Out-of-State Attorneys is the more difficult issue. This is because of the so called safe harbors of Rule 5.5(b) of the Rules of Professional Conduct.

6 RPC Rule. 5.5(b) Allows for some temporary provision of services 5.5(b)(1) - no office or systematic presence 5.5(b)(2) - no holding out as authorized here 5.5(c) - temporary service in IL okay if not disbarred or suspended in any jurisdiction, and : (1) in association with an IL atty who actively participates in the case (2) reasonably related to a matter in a matter where lawyer is authorized or expects to be (3) reasonably related to pending or potential ADR if arise from practice in own jurisdiction and doesn t require PHV. or (4) not within other exceptions and relates to practice where admitted. 5.5(d) - (1) Services for employer and don t need PHV Are okay if not disbarred or suspended in own jurisdiction (2) Authorized under federal law or other IL laws F. Non-Attorneys and Disbarred Attorneys Rule 779(b) provides for the referral of matters involving UPL by non-attorneys and disbarred attorneys to the Inquiry Panel. If complaints are voted by the Inquiry Panel, they are then filed in the court with proper venue under the IL Code of Civil Procedure (ie. where the Defendant resides, or where at least part of the offense took place) What is it that we file? Rule 779(b) allows us to file civil and/or contempt actions pursuant to the rules of this court, its inherent authority over the practice of law, or other laws of the State related to the unauthorized practice of law. Allowable Sanctions: Minor Indirect Criminal Contempt no greater than 6 months in jail, not greater than a $500 fine, or both. Serious Indirect Criminal Contempt anything greater than above. Attorney Act - provides for a civil penalty not to exceed $5,000 in each case. Allows for civil penalties, injunctive relief, and a lower burden (not criminal), where needed.

7 These actions are thus hybrid claims containing both civil and criminal counts. The indirect criminal contempt is obviously a criminal charge, with the applicable criminal protections (right to counsel, to avoid self-incrimination, etc.) The claims under the Attorney Act are clearly civil charges. On contempt charges, standard of proof is thus beyond a reasonable doubt. Of course, as to the civil charges, the burden is a preponderance of the evidence. Which non-attorney cases do we actually pursue? The ARDC Administrator has given us some direction. 1. We are generally not looking to engage in turf battles. - Are the real estate agents telling their clients too much about the enforceability of the contracts in real estate transactions? - Are the accountants going too in preparing incorporation documents? - Are the document preparation companies giving too much help to the consumers in preparing legal documents like a will or divorce petition? 2. We are looking for cases with a victim. Many times nobody has been hurt in by the non-attorney s UPL. ie. Real Estate Taxation matters. Non-attorneys are now developing a cottage industry of filing real estate tax assessment petitions disputing the assessed value of their homes. There is often no provable harm in these cases, where the claim is decided on the merits of the numbers submitted. So far, we have filed in court against a total of 5 Respondent in UPL matters. Four against non-attorneys - Holly, 2012PR00047 (paralegal giving legal advice) Dupree, 2012PR00070 (con man/fake atty) Biscardi, 2012PR00125 (RE Service filing motions) Home Advocate Trustees LLC, 2012PR00126 And one against a disbarred attorney - Charles Conner, 2012PR The complaint against Biscardi and Home Advocates was filed in Dupage County in the Chancery Division. In Cook County, the Dupree and Conner matters have been heard at 26 th and California in a municipal division courtroom as misdemeanors. Out of the 5 matters filed, only Dupree and Holly have been resolved. Because the Respondent in Dupree did not show up after being served with a summons, he was arrested on a bench warrant, and served about two weeks, before stipulating that he had engaged in criminal contempt of court and agreeing to a permanent injunction prohibiting him from engaging in UPL in the future. In Holly, which was handled downstate in St. Clair County, we entered into an agreed order that the Respondent engaged in contempt and prohibiting the Respondent from handling any matters as a paralegal or attorney in the future.

8 If we have a court order for a permanent injunction in place against a Respondent, and that Respondent continues to practice law thereafter, we will then pursue serous or major contempt charges, which would be treated like a felony. G. INVESTIGATIONS OF UPL MATTERS AGAINST NON-ATTORNEYS The Commission currently has approximately 100 pending investigations against non-attorneys for engaging in UPL Types of Non-Attorney Perpetrators: Worker s Compensation Consultants Immigration Notarios Personal Injury Advisors Real Estate closing representatives Non-attorney Estate Planning Experts Divorce Self-Help Assistance services. Paralegals that will manage a case for half the price of an attorney. Law Students that decide to handle legal matters before being licensed Simple fraud - non-attorney w/ business cards, advertisement, or office Sovereign Immunity People who don t believe they are subject to IL law POA/Attorney-in-Fact Individuals acting on behalf of others 716 House Counsel, not registered and holding themselves out at attys How do these matters come to our attention? (The same way our attorney investigations are reported) Aggrieved customers of these service providers complain Attorneys and Judges report such conduct Bar association officials notify us of the problem An advertisement or publication comes to our attention Our numbers have steadily increased as people have become aware that we are now involved in these matters. I should point out that we have modified our website, Commission informational brochure, and Request for Investigation Form. Complaining witnesses can now fill in the blanks on the form just like they do for attorney investigation requests. What action do we take on these investigation files? The primary goal is to end the UPL If warranted, we immediately send a cease and desist letter upon receiving the allegations. We then investigate like all of our other files. If the conduct was not too egregious, and the non-attorney R is willing, we have been allowing the R s to agree in writing to cease and desist from future UPL. Similar to the manner in which we handle isolated instances of neglect. If there was harm or a pattern of UPL, we may refer the matter to Inquiry.

9 Investigation File Examples I thought I would give you a couple examples of the more difficult situations that we have encountered and let you make the call. 1. We get some unusual files a. Non-Attorney R is President of an energy company, which purportedly has a claim against another company for breaching a sales contact. The claim is valued at between $10,000 and $50,000 R s company assigns its claim to R in writing for the sum of $20. R bring suit in his own name against the defendant energy co. Is that UPL? Do we prosecute? Does it make a difference if the R is recalcitrant, and insists he has a right to bring the claim? b. Non-attorney R runs a business preparing immigration applications for resident aliens. Federal Law allows non-attorneys to prepare immigration forms under certain circumstances. One immigrant complains that R told him which petition to file and prepared documents for him, but never filed the petition after taking his money. As is often the case, R did not respond. R lives in a gated community, and refuses to authorize our investigator to enter the premises to serve a subpoena. What do we do? Refer to Panel? 2. We get some files that look to be clear violation, but end up otherwise a. R is a non-attorney, who sends a letter to a claims adjuster stating that he represents a woman in a personal injury claim. The letter demands that the woman s claim be settled for an amount certain. The claims adjuster at the insurance co. then writes to us, indicating that R s name does not appear on our website as an attorney. We ask the R to explain, and he responds that the lady is his mother and that he has POA over her affairs We closed the file and told the R not to say he is representing his mother b. R is a non-attorney who walks into court on his own traffic case, signs an appearance form as an attorney, and tells the judge that he is an attorney from NY, who regularly handles cases in IL. Turns out R went to law school, but never was admitted anywhere, and he had not represented any clients in legal matters in IL We closed the file & admonished R not to hold himself out as an atty.

10 c. Interesting out-of-state investigation. I received a report from a judge that says the following: R was granted PHV admission in a law division case R is a Mass attorney, admitted in the US Dist Ct for the ND of IL Apparently, R told the Ct that he has an office in IL & has been representing clients in this St for years. In his response, R admits handling 16 Cook County cases in 3 yrs In each case, R appears to have been admitted PHV R s Mass registration reflects that his primary office is at 407 S. Dearborn in Chicago R s office sign merely says Firm, it does not say Law Firm Do we prosecute for a continuous presence in this State? IV. Other Applicable Rules Regarding UPL RULE 5.5: UNAUTHORIZED PRACTICE OF LAW; MULTIJURISDICTIONAL PRACTICE OF LAW (a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so. (b) A lawyer who is not admitted to practice in this jurisdiction shall not: (1) except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law; or (2) hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction. (c) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction that: (1) are undertaken in association with a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter; (2) are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized; (3) are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or (4) are not within paragraphs (c)(2) or (c)(3) and arise out of or are reasonably related to the lawyer s practice in a jurisdiction in which the lawyer is admitted to practice.

11 (d) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services in this jurisdiction that: (1) are provided to the lawyer s employer or its organizational affiliates and are not services for which the forum requires pro hac vice admission; or (2) are services that the lawyer is authorized to provide by federal law or other law of this jurisdiction. (Adopted July 1, 2009, effective January 1, 2010.) RULE 8.5: DISCIPLINARY AUTHORITY; CHOICE OF LAW (a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer s conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct. (b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the rules of professional conduct to be applied shall be as follows: (1) for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and (2) for any other conduct, the rules of the jurisdiction in which the lawyer s conduct occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of that jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if the lawyer s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of the lawyer s conduct will occur. (Adopted July 1, 2009, effective January 1, 2010.) SUPREME COURT RULE Pro Hac Vice Rule 707. Permission for an Out-of-State Attorney to Provide Legal Services in Proceedings in Illinois (a) Permission to Provide Legal Services in a Proceeding in Illinois. Upon filing pursuant to this rule of a verified Statement by an eligible out-of-state attorney and the filing of an appearance of an active status Illinois attorney associated with the attorney in the proceeding, the out-of-state attorney is permitted to appear as counsel and provide legal services in the

12 proceeding without order of the tribunal. The permission is subject to termination pursuant to this rule. (b) Eligible Out-of-State Attorney. An out-of-state attorney is eligible for permission to appear under this rule if the attorney: (1) is admitted to practice law without limitation and is authorized to practice law in another state, territory, or commonwealth of the United States, in the District of Columbia, or in a foreign country and is not prohibited from practice in any jurisdiction or any other jurisdiction by reason of discipline, resignation with charges pending, or permanent retirement; (2) on or after January 1, 2014, has not entered an appearance in more than five other proceedings under the provisions of this rule in the calendar year in which the Statement is filed; (3) has not been enjoined or otherwise prohibited from obtaining permission under this rule; and (4) has not been admitted to the practice of law in Illinois by unlimited or conditional admission. The admission of an attorney as a house counsel pursuant to Rule 716, as a legal services program lawyer pursuant to Rule 717, or as a foreign legal counsel pursuant to Rules 712 and 713 does not preclude that attorney from obtaining permission to provide legal services under this rule. (c) Proceedings Requiring Permission. The following proceedings require permission under this rule: (1) a case before a court of the State of Illinois; (2) a court-annexed alternative dispute resolution proceeding; and (3) a case before an agency or administrative tribunal of the State of Illinois or of a unit of local government in Illinois, if the representation by the out-of-state attorney constitutes the practice of law in Illinois or the agency or tribunal requires that a representative be an attorney.

13 The appeal or review of a proceeding before a different tribunal is a separate proceeding for purposes of this rule. (d) Statement. The out-of-state attorney shall include the following information in the Statement and shall serve the Statement upon the Administrator of the Attorney Registration and Disciplinary Commission, the Illinois counsel with whom the attorney is associated in the proceeding, the attorney s client, and all parties to the proceeding entitled to notice: (1) the attorney s full name, all addresses of offices from which the attorney practices law and related addresses and telephone numbers; (2) the name of the party or parties that the attorney represents in the proceeding; (3) a listing of all proceedings in which the attorney has filed an appearance pursuant to this rule in the calendar year in which the Statement is filed and the ARDC registration number of the attorney, if assigned previously; (4) a listing of all jurisdictions in which the attorney has been admitted and the full name under which the attorney has been admitted and the license or bar number in each such jurisdiction, together with a letter or certificate of good standing from each such jurisdiction, except for federal courts and agencies of the United States; (5) a statement describing any office or other presence of the attorney for the practice of law in Illinois; (6) a statement that the attorney submits to the disciplinary authority of the Supreme Court of Illinois; (7) a statement that the attorney has undertaken to become familiar with and to comply, as if admitted to practice in Illinois, with the rules of the Supreme Court of Illinois, including the Illinois Rules of Professional Conduct and the Supreme Court Rules on Admission and Discipline of Attorneys, and other Illinois law and practices that pertain to the proceeding; (8) the full name, business address and ARDC number of the Illinois attorney with whom the attorney has associated in the matter; and (9) a certificate of service of the Statement upon all entitled to service under this rule.

14 (e) Additional Disclosures. The out-of-state attorney shall advise the Administrator of new or additional information related to items 4, 5 and 8 of the Statement, shall report a criminal conviction or discipline as required by Supreme Court Rule 761 and Rule 8.3(d) of the Illinois Rules of Professional Conduct, respectively, and shall report the conclusion of the attorney s practice in the proceeding. The attorney shall make these disclosures in writing to the Administrator within 30 days of when the information becomes known to the attorney. The outof-state attorney shall provide waivers upon request of the Administrator to authorize bar admission or disciplinary authorities to disclose information to the Administrator. (f) Fee per Proceeding. At the time of serving the Statement upon the Administrator, the out-ofstate attorney shall submit to the Administrator a nonrefundable fee in the amount of $250 per proceeding, except that no fee shall be due from an attorney appointed to represent an indigent defendant in a criminal or civil case, from an attorney employed by or associated with a nonprofit legal service organization in a civil case involving the client of such a program, from an attorney providing legal services pursuant to Rule 718, or from an attorney employed by the United States Department of Justice and representing the United States. Fees shall be deposited in the disciplinary fund maintained pursuant to Rule 751(e)(6). The Attorney Registration and Disciplinary Commission shall retain $75 of each fee received under this section to fund its expenses to administer this rule. The $175 balance of each such fee shall be remitted to the Court s Access to Justice Commission and used at the Court s discretion to provide funding for the work of the Commission on Access to Justice and related Court programs that improve access to justice for low-income and disadvantaged Illinois residents, as well as to provide funding to the Lawyers Trust Fund of Illinois for distribution to legal aid organizations serving the State. (g) Administrator s Review of Statement. The Administrator of the Attorney Registration and Disciplinary Commission shall conduct an inquiry into the Statement. It shall be the duty of the out-of-state attorney and Illinois attorneys to respond expeditiously to requests for information from the Administrator related to an inquiry under this section. (h) Registration Requirement. An out-of-state attorney who appears in a proceeding pursuant to this rule shall register with the Attorney Registration and Disciplinary Commission and pay the registration fee required by Rule 756 for each year in which the attorney has any appearance of record pursuant to this rule. The attorney shall register within 30 days of the filing of a Statement pursuant to this rule if the attorney is not yet registered. (i) Duration of Permission to Practice. The permission to practice law shall extend throughout the out-of-state attorney s practice in the proceeding unless earlier terminated. The Supreme

15 Court, the Chief Judge of the Circuit Court for the circuit in which a proceeding is pending, or the court in which a proceeding is pending may terminate the permission to practice upon its own motion or upon motion of the Administrator if it determines that grounds exist for termination. Grounds may include, but are not limited to: (1) the failure of the out-of-state attorney to have or maintain qualifications required under this rule; (2) the conduct of the attorney inconsistent with Rule 5.5 or other rules of the Illinois Rules of Professional Conduct, the Supreme Court Rules on Admission and Discipline of Attorneys or other rules of the Supreme Court, or other Illinois law and practices that pertain to the proceeding; (3) the conduct of the attorney in the proceeding; (4) the absence of an Illinois attorney who is associated with the out-of-state lawyer as counsel, who has an appearance of record in the proceeding, and who participates actively in the proceeding pursuant to Rule 5.5(c)(1) of the Illinois Rules of Professional Conduct; (5) inaccuracies or omissions in the Statement; (6) the failure of the attorney or the associated Illinois lawyer to comply with requests of the Administrator for information; or (7) the failure of the attorney to pay the per-proceeding fee under this rule or to comply with registration requirements under Rule 756. (j) Disciplinary Authority. The out-of-state attorney shall be subject to the disciplinary and unauthorized practice of law authority of the Supreme Court. The Administrator may institute disciplinary or unauthorized practice of law investigations and proceedings related to the out-ofstate attorney. The Administrator may seek interim relief in the Supreme Court pursuant to the procedure set forth in Rule 774. The Administrator may also refer matters to the disciplinary authority of any other jurisdiction in which the attorney may be licensed. RULE 764 Duties of a Disciplined Attorney and Attorneys Affiliated with Disciplined Attorney An attorney who is disbarred, disbarred on consent, or suspended for six months or more shall comply with each of the following requirements. Compliance with each requirement shall be a

16 condition to the reinstatement of the disciplined attorney. Failure to comply shall constitute contempt of court. Any and all attorneys who are affiliated with the disciplined attorney as a partner or associate shall take reasonable action necessary to insure that the disciplined attorney complies with the provisions of paragraphs (a), (b), (c), (d), and (e) below. Within 35 days of the effective date of the order of discipline, each affiliated attorney or a representative thereof shall file with the clerk of the supreme court and serve upon the Administrator a certification setting forth in detail the actions taken to insure compliance with paragraphs (a), (b), (c), (d), and (e) below. * * * (b) Withdrawal from Law Office and Removal of Indicia as Lawyer. Upon entry of the final order of discipline, the disciplined attorney shall not maintain a presence or occupy an office where the practice of law is conducted. The disciplined attorney shall take such action necessary to cause the removal of any indicia of the disciplined attorney as lawyer, counselor at law, legal assistant, legal clerk, or similar title. The Illinois Attorney Act 705 ILCS 205/1 (Formerly cited as IL ST CH 13 1) 1. No person shall be permitted to practice as an attorney or counselor at law within this State without having previously obtained a license for that purpose from the Supreme Court of this State. No person shall receive any compensation directly or indirectly for any legal services other than a regularly licensed attorney, nor may an unlicensed person advertise or hold himself or herself out to provide legal services. A license, as provided for herein, constitutes the person receiving the same an attorney and counselor at law, according to the law and customs thereof, for and during his good behavior in the practice and authorizes him to demand and receive fees for any services which he may render as an attorney and counselor at law in this State. No person shall be granted a license or renewal authorized by this Act who has defaulted on an educational loan guaranteed by the Illinois Student Assistance Commission; however, a license or renewal may be issued to the aforementioned persons who have established a satisfactory repayment record as determined by the Illinois Student Assistance Commission. No person shall be granted a license or renewal authorized by this Act who is more than 30 days delinquent in complying with a child support order; a license or renewal may be issued, however, if the person has established a satisfactory repayment record as determined (i) by the Department of Healthcare and Family Services (formerly Illinois Department of Public Aid) for cases being enforced under Article X of the Illinois Public Aid Code [FN1] or (ii) in all other cases by order of court or by written agreement between the custodial parent and non-custodial parent. No person shall be refused a license under this Act on account of sex.

17 Any person practicing, charging or receiving fees for legal services or advertising or holding himself or herself out to provide legal services within this State, either directly or indirectly, without being licensed to practice as herein required, is guilty of contempt of court and shall be punished accordingly, upon complaint being filed in any Circuit Court of this State. The remedies available include, but are not limited to: (i) appropriate equitable relief; (ii) a civil penalty not to exceed $5,000, which shall be paid to the Illinois Equal Justice Foundation; and (iii) actual damages. Such proceedings shall be conducted in the Courts of the respective counties where the alleged contempt has been committed in the same manner as in cases of indirect contempt and with the right of review by the parties thereto. The provisions of this Act shall be in addition to other remedies permitted by law and shall not be construed to deprive courts of this State of their inherent right to punish for contempt or to restrain the unauthorized practice of law. Nothing in this Act shall be construed to conflict with, amend, or modify Section 5 of the Corporation Practice of Law Prohibition Act or prohibit representation of a party by a person who is not an attorney in a proceeding before either panel of the Illinois Labor Relations Board under the Illinois Public Labor Relations Act, as now or hereafter amended, [FN2] the Illinois Educational Labor Relations Board under the Illinois Educational Labor Relations Act, as now or hereafter amended, [FN3] the State Civil Service Commission, the local Civil Service Commissions, or the University Civil Service Merit Board, to the extent allowed pursuant to rules and regulations promulgated by those Boards and Commissions or the giving of information, training, or advocacy or assistance in any meetings or administrative proceedings held pursuant to the federal Individuals with Disabilities Education Act, the federal Rehabilitation Act of 1973, the federal Americans with Disabilities Act of 1990, or the federal Social Security Act, to the extent allowed by those laws or the federal regulations or State statutes implementing those laws. The False Personation Act ILCS 5/17-2. (As amended by P.A , effective January 1, 2013) False personation; solicitation * * * (b) False personation; public officials and employees. A person commits a false personation if he or she knowingly and falsely represents himself or herself to be any of the following: (f) Sentence. (1) An attorney authorized to practice law for purposes of compensation or consideration. This paragraph (b)(1) does not apply to a person who unintentionally fails to pay attorney registration fees established by Supreme Court Rule. * * * (4) A violation of paragraph (a)(4), (a)(5), (a)(6), (b)(1), (b)(2.3), (b)(2.7), (b)(3), (b)(8), or (b)(11) is a Class 4 felony.

18 Other Laws Used by the Attorney General and the various States Attorneys in UPL Matters - The Legal Business Solicitation Act 708 ILCS 205/1 - Corporation Practice of Law Prohibition Act 705 ILCS 210/1 - Consumer Fraud and Deceptive Practices Act 815 ILCS 505/1