unlawful practice of law receiver kevin singer san francisco superior court - receivership...

8/10/2019 Unlawful Practice of Law Receiver Kevin Singer San Francisco Superior Court - Receivership Specialists - Jayne Kim State Bar of California Chief Trial Counsel

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Cal. Prac. Guide Prof. Resp. Ch. 1-D

California Practice Guide: Professional Responsibility

Paul W. Vapnek, Mark L. Tuft, Ellen R. Peck and Justice Howard B. Wiener (Ret.

Chapter 1. Law As A Profession

D. Unauthorized Practice Of Law

4. [1:181] Activities Constituting Practice of Law: The following are examples of activities held to constitutethe practice of law:

a. [1:182] Holding self out as attorney:It is the unauthorized practice of law (and a misdemeanor) for a person whois not an active member of the State Bar (or otherwise authorized to practice law in California by statute or court

rules) to hold himself or herself out as an attorney or entitled to practice law. [See Bus. & Prof.C. 6126(a)Bluestein v. State Bar(1974) 13 C3d 162, 175, 118 CR 175, 183, fn. 13]

b. [1:183] Appearing on behalf of another in adjudicative proceedings:The practice of law has been repeatedlydefined as doing and performing services on behalf of another in a court of justice in any matter pending therein

throughout its various stages and in conformity with adopted rules of procedure. [See Birbrower, MontalbanoCondon & Frank, P.C. v. Sup.Ct. (ESQ Business Services, Inc.)(1998) 17 C4th 119, 128, 70 CR2d 304, 308;Peopleex rel. Lawyers Institute of San Diego v. Merchants Protective Corp.(1922) 189 C 531, 535,209 P 363, 365;Baron

v. City of Los Angeles(1970) 2 C3d 535, 542, 86 CR 673, 677]

(1) [1:184] Depositions: Even though a deposition is conducted outside of court, it is considered a court

proceeding. Thus, appearing at a deposition on behalf of another constitutes the practice of law. [Ex Parte McCue

(1930) 211 C 57, 68,293 P 47, 52]

(a) [1:185] Comparesitting in to assist lawyer:A nonlawyer (e.g., paralegal) who accompanies a State Barmember to a deposition to provide assistance, under the direct supervision of the lawyer, and who takes no parin the deposition proceedings (e.g., asking questions or interposing objections) is not engaged in the practice o

law.

(2) [1:186] Administrative proceedings: Appearing on behalf of another in administrative proceedings mayconstitute the practice of law: (T)he character of the act, and not the place where it is performed, is the decisive

element, and if the application of legal knowledge and technique is required, the activity constitutes the practice oflaw, even if conducted before an administrative board or commission. [Baron v. City of Los Angeles, supra, 2 C3dat 543, 86 CR at 678;Benninghoff v. Sup.Ct. (State Bar)(2006) 136 CA4th 61, 6869, 38 CR3d 759, 763764

resigned attorney who represented parties in state administrative proceedings engaged in unauthorized practice of

law by analyzing agency disciplinary guidelines, advising clients on how to defend disciplinary chargesresponding to discovery requests, preparing hearing books and declarations, and examining witnesses at hearings]

(a) [1:186.1] Comparestatutory authorization: Certain statutes permit parties to be represented bynonlawyers in administrative proceedings. See 1:173.6.

[1:186.2] Out-of-state Attorney not licensed in California but admitted to practice before federal courts inCalifornia could not appear (and be compensated) as an attorney in state administrative proceedings. The fac

that the administrative proceedings involved federal law was irrelevant. [Z.A. v. San Bruno Park School Dist

(9th Cir. 1999) 165 F3d 1273, 12741276]
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21/44

However, because the statute governing the administrative proceedings permitted appearances by nonlawyer

advisors, Attorney could act as a nonlawyer advisor(but could not recover attorney feesfor services renderedsee discussion at 1:157.5). [Z.A. v. San Bruno Park School Dist., supra, 165 F3d at 12751276; see alsoLongval v. Workers Comp. Appeals Board (1996) 51 CA4th 792, 803, 59 CR2d 463, 469out-of-state

attorney not licensed in Calif. could not recover fees for appearing before Workers Compensation Appeals

Board where statute prohibited fee recovery for nonlawyer appearances]

[1:186.3]Reserved.

(b) [1:186.4] Comparepractice before federal agencies: State law cannot regulate or interfere with thepractice of law beforefederaladministrative agencies. [Benninghoff v. Sup.Ct. (State Bar), supra, 136 CA4th at

74, 38 CR3d at 768769attorney licensed in California who resigned during pending disciplinary proceedingsand thus was not entitled to represent parties in state administrative proceedings, was not precluded from

representing federal prisoners seeking prison transfers before U.S. Dept. of Justice]

However, federal law relevant to the practice of law before a federal agency may adopt or incorporate state lawstandards and requirements regarding such practice. [Augustine v. Department of Veterans Affairs (Fed. Cir

2005) 429 F3d 1334, 13401341;see also 1:20]

(3) [1:186.5] Appearing in pleadings:Appearing on behalf of another in the caption of pleadings filed withthe court may constitute the unauthorized practice of law where the filer is not licensed to practice or otherwise

authorized to appear before the court. [See Gentis v. Safeguard Business Systems, Inc. (1998) 60 CA4th 12941308, 71 CR2d 122, 130denying petition for rehearing where attorney not licensed in Calif. was listed in caption

as representing petitioner]

(4) [1:186.6] Compareout-of-state attorney assisting California lawyer in federal court:See 1:180.15.[1:187]Reserved.

(5) [1:188] Effect of power of attorney:See 1:158 ff.[1:189194]Reserved.

c. [1:195] Giving legal advice:Giving legal advice and counsel constitutes practicing law, whether or not a case ispending in any court. [See People ex rel. Lawyers Institute of San Diego v. Merchants Protective Corp.(1922) 189

C 531, 535,209 P 363, 365]

(1) Application

[1:195.1] By traveling to California to give advice to Client about strategies for resolving a contract disputegoverned by California law, participating in settlement negotiations and assisting in the initiation of arbitration

proceedings related thereto, New York lawyers engaged in the (unauthorized) practice of law in California

[Birbrower, Montalbano, Condon & Frank, P.C. v. Sup.Ct. (ESQ Business Services, Inc.)(1998) 17 C4th 119

131, 133134, 70 CR2d 304, 310312]

[1:196] Giving advice regarding the law of a foreign country constitutes the practice of law: Whether a person

gives advice as to (local) law, Federal law, the law of a sister State, or the law of a foreign country, he is givinglegal advice (and thus practicing law within the meaning ofBus. & Prof.C. 6125). [Bluestein v. State Bar

(1974) 13 C3d 162, 174, 118 CR 175, 182(parentheses in original; internal quotes omitted)]

[1:197] A real estate broker who was not involved in the sale of certain property charged the buyer and seller afee for advice as to the type of document to use in securing a loan on the property and for preparing the

document. (The parties were inexperienced in such matters and did not request any particular instrument securing

the loan.) By giving the advice, the broker engaged in the unauthorized practice of law. [People v. Sipper(1943)61 CA2d Supp. 844, 846847, 142 P2d 960, 962(overruled on other grounds inMurgia v. Mun.Ct.(1975) 15C3d 286, 301, 124 CR 204, 214, fn. 11)]

[1:198] An eviction service provider (for landlords seeking to evict tenants) furnished forms for his clientsuse and encouraged clients to discuss their specific cases with him. In personal interviews, he provided

information and advice on the clients specific legal problems in evicting tenants (e.g., advising one client that i
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was unlawful to turn off the utilities at the rental). The eviction service provider was practicing law: Given

the aura of expertise created by the business practices of (eviction services provider), such advice wouldundoubtedly be relied upon by its clients, perhaps to their serious detriment. [People v. Landlords Professiona

Services(1989) 215 CA3d 1599, 1609, 264 CR 548, 553(parentheses added)]

[1:199] A tax accountant was held to be practicing law in advising a client in preparing applications forcarryback adjustments and refund of taxes because strictly legal issues were involved. [Agran v. Shapiro(1954)127 CA2d Supp. 807, 818819, 273 P2d 619, 626]

(2) [1:200] Comparetax advice:Advice on the tax consequences of a particular transaction may be within thefunctions of eitheran accountant or lawyer because tax law involves both fields.

However, when the issues involve interpretation of law (tax law or general law) or uncertainties as to theapplicationof law to a particular transaction, the services of a lawyer are required. [Agran v. Shapiro,supra, 127

CA2d Supp. at 819, 273 P2d at 626]

(a) [1:201] IRS recognition not determinative: Federal regulations provide that accountants as well asattorneys may represent taxpayers in dealings with the Internal Revenue Service. But those regulations do not

determine what constitutes the practice of law; that is a question of state law. [Agran v. Shapiro, supra, 127CA2d Supp. at 821826, 273 P2d at 628631]

(3) [1:202] Comparefriends giving legal opinions:The argument that giving legal advice is so broad that i

could apply to friends offering opinions on legal matters has been rejected: Our research has found no case inwhich one friend was either enjoined from giving legal advice to a friend or prosecuted for the giving of such

advice ... [People v. Landlords Professional Services(1989) 215 CA3d 1599, 1609, 264 CR 548, 554]

d. [1:203] Preparing legal instruments: The preparation of legal instruments and contracts by which legal rightsmay be secured, whether or not a case is pending in court, constitutes the practice of law. [People ex rel. LawyersInstitute of San Diego v. Merchants Protective Corp.(1922) 189 C 531, 535,209 P 363, 365]

This includes the drawing of agreements, the organization of corporations and preparing papers connected therewith

and the drafting of legal documents of all kinds, including wills and trusts. [Smallberg v. State Bar(1931) 212 C 113

119120,297 P 916, 919;see alsoGeibel v. State Bar(1938) 11 C2d 412, 422423, 79 P2d 1073, 1078unlicensedpersons drafted benevolent trusts for a fee]

(1) [1:204] Compareacting as scrivener:However, merely filling in blanks on a form selected by the partiesoracting as a scrivener in recording the parties agreement does notconstitute the practice of law (see 1:222).

(2) [1:204.1] Compareacting as legal document assistant:Provided statutory registration requirements aremet, nonlawyers may act as legal document assistants. See discussion at 1:227 ff.

(3) [1:204.2] Compareacting as immigration consultant:Subject to carefully prescribed regulations, federaland state laws permit certain nonlawyers to prepare and file documents for aliens in connection with immigrationmatters. See discussion at 1:233.5 ff.

(4) [1:204.3] Compareacting as bankruptcy petition preparer:Under specified circumstances, federal lawalso allows nonlawyers, acting in a purely clerical capacity, to prepare a debtors bankruptcy documents for filing

See 1:234 ff.

e. [1:205] Negotiating and settling claims on behalf of others:Negotiating and settling claims on behalf of othersmay amount to the practice of law. [See Howe v. State Bar (1931) 212 C 222, 228229,298 P 25, 2627personslicensed as insurance adjusters not authorized to practice law]

(1) [1:206] Personal injury claims: Interviewing injured persons with a view to getting them to sign agreementsauthorizing a nonlawyer to control the conduct of whatever negotiations or litigation may ensue, including the right

to settle their claims, constitutes the practice of law. [See Smallberg v. State Bar(1931) 212 C 113, 119120,297 P916, 919attorney abetted practice of law by unlicensed persons]

(2) [1:207] Liability insurer settling claim against its insured: Liability insurance policies typically authorize
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(and obligate) the insurer to settle or defend claims or suits against the insured for damages covered by the

policy. This does not, however, entitle the insurer to practice law. Where settlement or defense requires a lawyersservices, the insurer must engage the services of competent counsel. [SeeMerritt v. Reserve Ins. Co. (1973) 34CA3d 858, 880881, 110 CR 511, 526]

(3) [1:208] Negotiating IRS settlement on behalf of another:Negotiations with the IRS to settle tax liabilities ofanother involve the practice of law where the negotiations involve difficult or doubtful legal issues. [Agran v

Shapiro(1954) 127 CA2d Supp. 807, 812813, 273 P2d 619, 622623]

[1:209] An accountant who spent four days reviewing over 100 cases and cited numerous cases to IRS agent ona difficult legal issue (carryback of operating losses) was held to be practicing law. [Agran v. Shapiro, supra, 127CA2d Supp. at 813814, 273 P2d at 623624]

[1:210] But an accountant whose negotiations with the IRS focused strictly on a factual issue (the availability

of reserves), and who neither read nor cited cases to the IRS, was notpracticing law. [Zelkin v. Caruso Discoun

Corp.(1960) 186 CA2d 802, 806, 9 CR 220, 224]

(4) [1:211] Negotiating with opposing counsel for continuance while under suspension:A suspendedattorneys

engaging in negotiations with opposing counsel concerning settlement of a marriage dissolution action andagreeing that the case be continued to a later date, constitutes the practice of law. [Morgan v. State Bar(1990) 51

C3d 598, 604, 274 CR 8, 10]

(5) Bankruptcy cases

(a) [1:212] Negotiating reaffirmation agreements:The negotiation of a reaffirmation agreement with a debtor

by a law school graduate not licensed in California constitutes the unauthorized practice of law. [In re Carlos(BC CD CA 1998) 227 BR 535, 539]

Moreover, a law firm that knowingly uses a nonlawyer employee to negotiate reaffirmation agreements withdebtors aids and abetsthe unauthorized practice of law. [In re Carlos, supra, 227 BR at 539540]

(b) [1:212.1] Preparing bankruptcy petitions:Soliciting financial information from debtors, advising them tofile bankruptcy petitions and assisting them in preparing bankruptcy schedules constitutes the practice of law. [In

re Glad(9th Cir. BAP 1989) 98 BR 976, 978;In re Agyekum(9th Cir. BAP 1998) 225 BR 695, 702]

Compare: Nonlawyer bankruptcy petition preparers may be compensated for preparing bankruptcy petitionsfor filing. However, those services are limited to clerical work (essentially, typing). [See11 USC 110;and

further discussion at 1:234 ff.]

f. [1:213] Serving as private arbitrator, mediator or other dispute resolution neutral:The State Bar takes theposition that acting as a private arbitrator, mediator, referee or other dispute resolution neutral constitutes the practice

of law and hence may not be performed by an inactive State Bar member. This is based on the presumption thatthese activities call upon a member to give legal advice or counsel or examine the law or pass upon the legal effect on

[sic] any act, document or law. [See Application for Transfer to Inactive Membership Status, available athttp://calbar.ca. gov/LinkClick.aspx?fileticket=Y3uzheHB8w & tabid= 1476; and State Bar Rule 2.30(B)]

(1) [1:213.1] Compareserving as dispute resolution neutral for court or governmental agency: See 1:222.1.

[1:214]Reserved.

5. [1:215] Activities Not Constituting Practice of Law: The following are examples of activities held not to

constitute the practice of law:
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UNAUTHORIZED PRACTICE

OF LAWMANUALFORPROSECUTORS

LOS ANGELES COUNTYOFFICE OF THE DISTRICT ATTORNEY

Steve CooleyDistrict Attorney

County of Los Angeles

Thomas A. PapageorgeHead Deputy District AttorneyConsumer Protection Division

Kathleen J. Tuttle

Deputy District Attorney

Karen NobumotoDeputy District Attorney

February 2004 Edited for Public Release


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Chapter Outline

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A. Business and Professions Code section 6125 et seq.: Definition

of UPL and Elements of the Crime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1. UPL Statutory Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. Definition of the Practice of Law . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. Elements of the Offense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

B. Other Statutory Alternatives for Prosecuting UPL. . . . . . . . . . . . . . . . .

1. Grand Theft by False Pretenses (Pen. Code 484/487) . . . . . . . . .

2. Illegal Practice of Business (Bus. & Prof. Code 16240) . . . . . . . .

3. Immigration Consultants Act (Bus. & Prof. Code 22400 et seq.) .

4. False or Misleading Statements in an Immigration Matter

(Penal Code 653.55) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5. False Advertising (Bus. & Prof. Code 17500) . . . . . . . . . . . . . . .

6. Unfair Competition (Bus. & Prof. Code 17200 et seq.) . . . . . . . .

7. State Bar Ethical Standards and Related Rules and Statutes . . . . . .

Introduction

Acts constituting the unauthorized practice of law may violate many different California

statutes and ethics regulations. In assessing potential charges, the prosecutor should consider all

alternatives, including criminal sanctions in the Business and Professions and Penal Codes, civil

remedies in the Business and Professions Code and elsewhere, and potential referral for

violations of State Bar ethical standards. UPL cases need not be complex, and often the basic

Chapter IV

STATUTES APPLICABLE

TO UNAUTHORIZED PRACTICE

OF LAW


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15

UPL misdemeanor charge is all that is appropriate. However, sound charging decisions call for

consideration of all relevant alternatives.

In considering these alternative charges, the prosecutor should consult as needed with thespecial units in the District Attorneys Office which have relevant expertise:

Justice System Integrity Division (213-974-3888) Felony charges against disbarred

or resigned attorneys who continue to practice, or for attorney misconduct more generally;

Consumer Protection Division (213-580-3273) Cases involving unfair and deceptive

business practices, false advertising, and for information or assistance with civil enforcement

tools;

Major Fraud Division (213-580-3200) Cases involving complex and large-scale

fraud offenses.

These divisions stand ready to assist in case evaluation and application of the statutes

referenced in this chapter.

A note of caution is appropriate with regard to the broad concept of practice of law

upon which the crime of UPL is dependent. Although this chapter summarizes the extensive case

law guidance on this term, there is no state statute which comprehensively defines the practice

of law. Most cases will involve clear facts of law practice, but prosecutors should be alert for

issues arising in this regard.

A. Business and Professions Code section 6125 et seq.: Definition of UPL

and Elements of the Crime

1. UPL Statutory Scheme

The unauthorized practice of law is governed by Business and Professions Code sections6125-6133. (All following references in this section are to the Business and Professions Code,

unless otherwise specified.) The California Legislature enacted these provisions originally in

1927 as part of the State Bar Act which comprehensively regulated the practice of law in

California. These provisions require licensure to practice law; punish unauthorized practice of

law and related practices; and provide a wide range of potential civil remedies ancillary to an

enforcement case.


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16

a. Licensure Required

Section 6125 establishes the basic requirement of licensure to practice law: No person

shall practice law in California unless the person is an active member of the State Bar. (6125.)

The California requirement of licensure to practice law is a valid exercise of the states

police power and serves the legitimate state interest of assuring the competency of those

performing this service. (J.W. v. Superior Court(1993) 17 Cal.App.4th 958.). The licensure

requirement does not violate First Amendment free speech rights (Howard v. Superior Court

(1975) 52 Cal.App.3d 722), and has survived Equal Protection challenge (People v. Sipper

(1943) 61 Cal.App.2d Supp. 844).

b. Unauthorized Practice or Attempted Practice Prohibited

Section 6126 is the basic charging statute for most UPL crimes. Section 6126(a)

provides, in relevant part:

Any person advertising or holding himself or herself out as

practicing or entitled to practice law or otherwise practicing law

who is not an active member of the State Bar, or otherwise

authorized . . . to practice law in this state at the time of doing so,

is guilty of a misdemeanor . . . (6126(a).)

Misdemeanor violation of section 6126 is punishable by up to one year in county jail or a

fine of up to $1000, or both. However, in a new provision sponsored by the State Bar and this

Office, upon a second or subsequent conviction, the defendant shall be confined in a county jail

for not less than 90 days, except in an usual case where the interests of justice would be served

by a lesser sentence. If the court imposes the lesser sentence, it must state its reasons on the

record. (6126(a).)

A felony charge is available for any person who has been suspended from membership

from the State Bar, or has been disbarred, or has resigned from the State Bar with charges

pending, and thereafter practices or attempts to practice law , or advertises or holds himself or

herself out as entitled to practice law. (Seealternate felony/misdemeanor provision of

6126(b).)

c. Other Sanctions for UPL-Related Offenses


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17

A felony may also be charged in a case of a willful failure of a State Bar member to

comply with a Supreme Court order under Rule 955 regarding return of documents and legal

fees, notice to clients and opposing counsel, and other matters. (6126(c).) And contempt ofcourt sanctions are available where a person assumes to be an attorney without authority, or

advertises or holds himself or herself out as entitled to practice law. (6127.) All penalties

under section 6126 are cumulative to each other and any other remedies provided by law.

(6126(d).)

d. Other Remedies for UPL Violations

In an important new development in UPL enforcement, legislation in 2001 (Stats.2001,

c.304 (SB 1194)) added a new section 6126.5, which provides prosecutors a wide range ofadditional remedies and penalties available in any enforcement action brought in the name of

the people of the State of California by the Attorney General, a district attorney, or a city

attorney, acting as a public prosecutor. In UPL cases where victims purchased services or

goods, or were otherwise harmed, the court is empowered to award as additional relief in the

enforcement action:

(1) Actual damages.

(2) Restitution of all amounts paid.

(3) The amount of penalties and tax liabilities incurred in

connection with the sale or transfer of assets to pay for any goods,

services, or property.

(4) Reasonable attorney's fees and costs expended to rectify errors

made in the unlawful practice of law.

(5) Prejudgment interest a

unlawful practice of law receiver kevin singer san francisco superior court - receivership...

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