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

5. [1:215] Activities Not Constituting Practice of Law: The following are examples of activities held not to
constitute the practice of law:
a. [1:216] How to books: Publication and sale of do-it-yourself manuals, designed to allow purchasers to
represent themselves, is not the practice of law ... as long as the instructions are addressed to the public in general
rather than to the legal problems of a specific person. [People v. Landlords Professional Services (1989) 215 CA3d
1599, 1606, 264 CR 548, 551]
[1:217] A well-known book entitled How to Avoid Probate did not constitute the practice of law because it was
sold to the public at large, and there was no contact or relationship between the author and the reader: At most, the
book assumes to offer general advice on common problems, and does not purport to give personal [advice] on a
specific problem peculiar to a designated or readily identified person. [See People v. Landlords Professional
Services, supra, 215 CA3d at 1607, 264 CR at 552 (brackets in original)]
[1:218] Distributing a manual containing specific advice for preparation of an unlawful detainer action and
procedures to obtain an eviction does not constitute the practice of law, if the provider does not personally advise
the client with regard to the clients specific case. [People v. Landlords Professional Services, supra, 215 CA3d at
1608, 264 CR at 553]
On the other hand, unauthorized practice may result where clients are invited to discuss their cases personally with
the provider who claims expertise in the matter. [People v. Landlords Professional Services, supra, 215 CA3d at
1608, 264 CR at 553; see 1:195 ff.]
b. [1:219] Legal forms: The sale of legal forms (e.g., blank wills, deed, or court forms) is not considered the
unauthorized practice of law. [People v. Landlords Professional Services, supra, 215 CA3d at 16051606, 264 CR at
551]
c. [1:220] Forms accompanied by filling in blanks: Nor does the sale of legal forms constitute the practice of law
where the seller fills in forms at the clients direction and files and serves those forms as directed by the client.
[People v. Landlords Professional Services, supra, 215 CA3d at 1606, 264 CR at 551552; see Matter of Valinoti
(Rev.Dept. 2002) 4 Cal. State Bar Ct.Rptr. 498, 519merely assisting another in completing preprinted immigration
forms not unauthorized practice of law so long as the preparer does not hold self out as qualified in legal matters and
receives only a nominal fee; compare Brockey v. Moore (2003) 107 CA4th 86, 97, 131 CR2d 746, 754nonlawyer
engages in unauthorized practice of law by typing (filling in) unlawful detainer answer forms for clients without
instructions from clients]
(1) [1:221] Compareselecting form to be used: But it may be the unauthorized practice of law for the seller to
determine for the parties the kind of legal document they should utilize in order to effectuate their purpose (e.g., a
trust deed vs. a mortgage). [People v. Sipper (1943) 61 CA2d Supp. 844, 847, 142 P2d 960, 962 (disapproved on
other grounds in Murgia v. Mun.Ct. (1975) 15 C3d 286, 301, 124 CR 204, 214, fn. 11)]

d. [1:222] Acting as scrivener: Merely acting as a scrivener to record the stated agreement of the parties to the
transaction does not constitute the practice of law. [People v. Sipper, supra, 61 CA2d Supp. at 847, 142 P2d at 962
nonattorney who acted as scrivener of will not liable for failure to advise regarding attestation requirement]
e. [1:222.1] Serving as dispute resolution neutral for court or governmental agency: Active State Bar
membership is not required (i.e., it is not the practice of law) to serve as a referee, hearing officer, court
commissioner, temporary judge, arbitrator, mediator or in another similar capacity for a court or any other
governmental agency so long as the individual does not give legal advice or counsel or examine the law or pass upon
the legal effect of any act, document or law, or hold himself or herself out as being entitled to practice law. [State
Bar Rule 2.30(B),(C)]
(1) [1:222.2] Compareacting as private dispute resolution neutral: See 1:213.
f. [1:223] Delivering pleadings for filing: Delivering and filing with the court clerk pleadings on behalf of another is
not the practice of law. [People v. Landlords Professional Services, supra, 215 CA3d at 1608, 264 CR at 553; Drake
v. Sup.Ct. (Clements) (1994) 21 CA4th 1826, 1832, 26 CR2d 829, 833, fn. 5]
(1) [1:223.1] Compareappearing in pleadings: See discussion at 1:186.5.
g. [1:224] Operating collection agency: Operating a collection agency is not the practice of law because the
collection agency is not providing legal representation to the owner of claims being collected. Rather, the collection
agency sues in its own name on the assigned claims, either appearing in pro per or hiring its own attorney. [See Le
Doux v. Credit Research Corp. (1975) 52 CA3d 451, 454456, 125 CR 166, 168169; also see Los Angeles Bar
Assn Form.Opn. 522 (2009)]
(1) [1:224.1] Cautionattorney using documents prepared by client collection agency: An attorney who
represents a collection agency and who rubber stamps pleadings and other documents prepared by the collection
agencys employees may run afoul of ethical proscriptions against aiding and abetting the unauthorized practice of
law (see 1:267). To avoid an aiding and abetting charge, the attorney must actively supervise and direct the
work of the collection agencys nonattorney employees. Proper supervision would require not only exercising due
control over the preparation of legal pleadings and correspondence, but also monitoring the clients employees
compliance with laws peculiar to collection agency practice. [Los Angeles Bar Assn Form.Opn. 522 (2009); see
6:156]
(2) [1:225] Limitationdisbarred or suspended attorneys: Suing in pro per is not an option for collection
agencies operated by suspended or disbarred attorneys. By statute, such an attorney may not appear on his or her
own behalf as plaintiff on claims assigned to the attorney for collection after the disbarment or suspension. [Bus. &
Prof.C. 6130]
h. [1:226] Preparation of tax returns: It does not constitute the practice of law to prepare income tax returns for
other persons, at least where (t)hey are of such a simple character that an ordinary layman without legal or
accounting training might have prepared them in the first instance. [Agran v. Shapiro (1954) 127 CA2d Supp. 807,
813, 273 P2d 619, 623]
On the other hand, where substantial questions of law arise which may competently be determined only by lawyer,
tax return preparation may constitute the practice of law. [Agran v. Shapiro, supra, 127 CA2d Supp. at 813, 273 P2d
at 622preparing application for carryback adjustment and refund of taxes paid in prior years raised difficult legal
issues and constituted practice of law]
i. [1:227] Legal document assistants and unlawful detainer assistants: Nonlawyers may act as legal
document assistants and unlawful detainer assistants pursuant to Bus. & Prof.C. 6400 et seq.
(1) [1:227.1] Limitationno immunity from penalties for unauthorized practice of law: Statutory
authorization to act as a legal document assistant or unlawful detainer assistant does not sanction, authorize or
encourage the practice of law by nonlawyers; and compliance with the registration requirements ( 1:231 ff.) does
not immunize those providing such assistance from prosecution or liability for the unauthorized practice of law.
[Bus. & Prof.C. 6401.5]

(2) [1:228] Legal document assistants: Legal document assistants provide self-help services ( 1:228.2) for
compensation to individuals who are representing themselves in legal matters. They include those who hold
themselves out as persons offering or authorized to provide such services, but not those acting merely as secretaries
or receptionists. [Bus. & Prof.C. 6400(c)]
(a) [1:228.1] Suspended/disbarred lawyers excluded from acting as legal document assistants: See
discussion at 1:230.
(b) [1:228.2] Permitted activities: Legal document assistants may perform the following self-help services:
completing legal documents in a ministerial manner by typing or completing the documents selected by and
at the specific direction of a self-represented individual;
providing general published factual information (written or approved by an attorney) regarding legal
procedures, rights or obligations to self-represented individuals (providing this service does not require
registration);
making published legal documents available to a self-represented individual; and
filing and serving legal forms and documents at the specific direction of a self-represented individual. [Bus.
& Prof.C. 6400(d)(1),(2),(3) & (4)]
1) [1:228.3] Limitation if client needs lawyers help: No legal document assistance service may be provided
to a client who requires assistance beyond the permissible self-help services noted above. In such
circumstances, the legal document assistant must inform the client that he or she requires the services of an
attorney. [Bus. & Prof.C. 6401.6]
(c) [1:228.4] Prohibited activities: See discussion at 1:230.5.
(3) [1:229] Unlawful detainer assistants: Unlawful detainer assistants render assistance or advice for
compensation to self-represented individuals in the prosecution or defense of an unlawful detainer claim or action
(including any bankruptcy petition affecting the unlawful detainer claim or action). [Bus. & Prof.C. 6400(a); see
also Friedman, Garcia & Hagarty, Cal. Prac. Guide: LandlordTenant (TRG), Ch. 1]
(4) [1:230] Disciplined lawyers excluded: Suspended or disbarred lawyers are prohibited from acting as legal
document assistants or unlawful detainer assistants. [Bus. & Prof.C. 6402]
[1:230.1230.4] Reserved.
(5) [1:230.5] Prohibited activities: Legal document assistants and unlawful detainer assistants are prohibited from
engaging in the following:
making false or misleading statements to a consumer in the course of providing services to the client (Bus. &
Prof.C. 6411(a));
making any guarantee or promise to a consumer ... unless in writing and supported by a factual basis for the
guarantee or promise (Bus. & Prof.C. 6411(b));
making any statement that the assistant can or will obtain special favors or has special influence with a court, or
a state or federal agency (Bus. & Prof.C. 6411(c));
engaging in the unauthorized practice of law, including but not limited to, giving any kind of advice,
explanation, opinion, or recommendation to a consumer about possible legal rights, remedies, defenses, options,
selection of forms, or strategies (Bus. & Prof.C. 6400(g), 6411(e));
retaining original documents of a client unless otherwise authorized (Bus. & Prof.C. 6409);
seeking or obtaining a clients waiver of the provisions of 6400 et seq. (Bus. & Prof.C. 6412.5);
accepting compensation or entering into a contract for services at the first client contact without first making
required disclosures ( 1:231.10 ff.) (Bus. & Prof.C. 6410.5);

 using in his or her business name or advertising the words legal aid, legal services, or any similar term that
has the capacity, tendency, or likelihood to mislead members of the public about his or her status as a nonprofit
corporation, or governmentally supported organization offering free legal services to the indigent, or employing
State Bar members to do so (Bus. & Prof.C. 6411(f)); and
for legal document assistants only, providing services or completing documents in a manner exceeding
statutorily-permissible self-help services ( 1:228.2) (Bus. & Prof.C. 6400(g), 6401.6).
(a) Application
1) [1:230.6] Choosing the form of pleading or answer in an unlawful detainer action, and filling in the type of
denial and applicable defenses on the pleading without direction from the self-represented client constitutes the
giving of legal advice; when performed by a nonlawyer, it violates the Unlawful Detainer Assistants Act and
amounts to the unauthorized practice of law. [Brockey v. Moore (2003) 107 CA4th 86, 98, 131 CR2d 746, 755
(nonlawyer defendant operated business that purported to offer typing services in eviction cases)]
2) [1:230.7] A nonlawyers use of words such as legal aid and legal aid services in telephone directory
listings and advertisements purporting to offer unlawful detainer typing services is misleading and
prohibited under the above statutes. [Brockey v. Moore, supra, 107 CA4th at 100, 131 CR2d at 757]
(6) [1:231] Registration requirements: Legal document assistants and unlawful detainer assistants must be
registered by the county clerk of the county in which their principal place of business is located and by the county
clerk of each county where they perform the permitted activities. [Bus. & Prof.C. 6400(f), 6402]
The county clerk will issue each legal document assistant or unlawful detainer assistant a certification card that
includes the statement, This person is not a lawyer. [Bus. & Prof.C. 6407]
(a) [1:231.1] Mandatory bond: An application for registration must be accompanied by a bond in favor of the
State of California for the benefit of any person damaged as a result of misconduct or incompetency by the
registered assistant. The amount ranges from $25,000 to $100,000 depending on the number of assistants covered
by the bond. [Bus. & Prof.C. 6405(a),(e),(h)]
(b) [1:231.2] Education requirements for legal document assistants: Eligibility to register as a legal document
assistant also is subject to minimum education requirements. [See Bus. & Prof.C. 6402.1]
(There are no comparable education prerequisites for registration as an unlawful detainer assistant.)
[1:231.3231.9] Reserved.
(7) [1:231.10] Disclosure obligations: Legal document assistants and unlawful detainer assistants must make
several disclosures to clients and prospective clients, and in advertisements to the general public:
(a) [1:231.11] Registrant status: To avoid misleading the public, they must include their name, business
address, telephone number, registration number, registration expiration date, and county of registration in any
advertisement or solicitation; and in papers or documents prepared or used by them. [Bus. & Prof.C. 6408]
(b) [1:231.12] Warning in advertisements: Advertisements and solicitations offering legal document assistant
or unlawful detainer assistant services must contain the following warning (in the same language used for the
advertisement itself): I am not an attorney. I can only provide self help services at your specific direction.
[Bus. & Prof.C. 6408.5 (a),(b)]
1) [1:231.13] Exception for short yellow page listings: The statutory warning is not required for classified
or yellow page telephone or business directory listings of three lines or less, that state only the assistants
name, address and telephone number. [Bus. & Prof.C. 6408.5(a)]
(c) [1:231.14] Oral first-contact disclosures: Various disclosures are required at the first in-person or
telephonic contact with a prospective client, before the legal document or unlawful detainer assistant may enter
into an agreement to provide services or accept compensation. The disclosures relate to identifying information,
the nature of the services, and that the assistant is not an attorney and cannot perform attorney services whether
in court or out of court. [See Bus. & Prof.C. 6410.5]

If the prospective client initiated the first contact, he or she must also be given for review and signature a
statutorily-prescribed Notice to Consumer. [See Bus. & Prof.C. 6410.5(b)]
(d) [1:231.15] Warning to seek legal counsel if attorney services needed: See Bus. & Prof.C. 6401.6; and
1:228.3.
[1:231.16231.19] Reserved.
(8) [1:231.20] Written contract requirements; clients right to rescind: No legal document assistant or unlawful
detainer assistant services may be provided until the client has been given (and executed) a statutorily-prescribed
written contract (in both English and the clients language if other than English) that also satisfies regulations
adopted by the Department of Consumer Affairs. [See Bus. & Prof.C. 6410(a),(b), (c),(e)]
The client has the right to rescind the contract within 24 hours after signing it; and a contract that does not comply
with the statutory requirements is voidable by the client at any time. [See Bus. & Prof.C. 6410(d),(e)]
(9) [1:231.21] Criminal and civil liability for statutory violations: Failure to comply with the Bus. & Prof.C.
6400 et seq. requirements in acting as a legal document assistant or unlawful detainer assistant is a misdemeanor,
punishable by fine and/or imprisonment. [See Bus. & Prof.C. 6415; see also Bus. & Prof.C. 6413 (revocation of
registration)]
In addition, persons injured by the unlawful acts of legal document or unlawful detainer assistants may seek
injunctive relief, restitution and damages (recoverable from the registrants bond, 1:231.1) in addition to all legal
rights and remedies otherwise available to them under the law. [See Bus. & Prof.C. 6412(a), 6412.1; see
Brockey v. Moore (2003) 107 CA4th 86, 90, 131 CR2d 746, 749damages and injunctive relief under State Bar
Act, Consumers Legal Remedies Act, Unlawful Detainer Assistants Act and Unfair Competition Law against
nonlawyer who operated purported legal aid company ostensibly for typing assistance in contesting unlawful
detainers]
j. [1:232] Paralegals: Paralegals may perform legal work under the supervision of a State Bar member or an attorney
practicing law in federal courts located in California. [See Bus. & Prof.C. 6450 et seq.]
(1) [1:232.1] Paralegal defined: A paralegal is a person who holds himself or herself out to be a paralegal,
who is qualified by education, training or work experience, and who either contracts with or is employed by an
attorney, law firm, corporation, governmental agency or other entity, and who performs substantial legal work
under the direction and supervision of an active member of the California Bar or an attorney practicing law in the
federal courts of California. [See Bus. & Prof.C. 6450(a)]
(a) [1:232.2] Persons excluded: Nonlawyers providing legal services directly to the public, legal document
assistants ( 1:228 ff.) and unlawful detainer assistants ( 1:229 ff.) are expressly excluded from the definition of
paralegal. [See Bus. & Prof.C. 6450(e)]
(b) [1:232.3] State employees exempted: An individual employed by the State of California as a paralegal, legal
assistant, legal analyst (or similar title) is exempt from 6450 et seq. [See Bus. & Prof.C. 6456]
(2) Certification requirements
(a) [1:232.4] Education: Paralegals must satisfy either of four education requirements (essentially, successfully
completing an approved paralegal program; or a college degree, or high school or equivalency diploma, plus
minimum law-related work under attorney supervision, along with the attorneys declaration attesting to the
persons paralegal qualifications). [See Bus. & Prof.C. 6450 (c)]
(b) [1:232.5] MCLE: All paralegals must complete:
four hours of mandatory continuing legal education in legal ethics every two years; and
four hours of mandatory continuing legal education in either general law or a specialized area of the law
every two years. [Bus. & Prof.C. 6450(d)]

1) [1:232.6] State Bar-approved MCLE programs: All continuing legal education courses must satisfy State
Bar requirements (Bus. & Prof.C. 6070, discussed at 1:542.10 ff.). [Bus. & Prof.C. 6450(d)]
2) [1:232.7] Certification of compliance: Certification of compliance with the MCLE requirements must be
made by the paralegal with the paralegals supervising attorney. [Bus. & Prof.C. 6450(d)]
a) [1:232.8] Recordkeeping requirement: Each paralegal is responsible for keeping a record of his or her
MCLE certifications. [Bus. & Prof.C. 6450(d)]
[1:232.9] Reserved.

(3) [1:232.10] Permitted activities: Services that may be performed by paralegals include:
case planning, development, and management;
legal research;
interviewing clients;
fact-gathering and retrieving information;
drafting and analyzing legal documents;
collecting, compiling and utilizing technical information to make an independent decision and recommendation
to the supervising attorney; and
representing clients before a state or federal administrative agency if permitted by statute, court rule, or
administrative rule or regulation. [See Bus. & Prof.C. 6450(a)]
(4) [1:232.11] Prohibited activities: Paralegals are prohibited from engaging in the following activities:
providing legal advice (Bus. & Prof.C. 6450(b)(1));
representing a client in court (Bus. & Prof.C. 6450 (b)(2));
selecting, explaining, drafting or recommending the use of any legal document to or for any person other than
the supervising attorney (Bus. & Prof.C. 6450 (b)(3));
acting as a runner or capper ( 2:226 ff.) (Bus. & Prof.C. 6450(b)(4));
engaging in conduct constituting the unlawful practice of law ( 1:130 ff.) (Bus. & Prof.C. 6450(b)(5));
contracting with, or being employed by, a non-attorney to perform paralegal services (Bus. & Prof.C.
6450(b)(6));
inducing a person to make an investment, purchase a financial product or service, or enter into a transaction
from which income or profit purportedly may be derived in connection with providing paralegal services (Bus. &
Prof.C. 6450(b)(7));
directly establishing the fees charged clients for paralegal services (Bus. & Prof.C. 6450(b)(8), discussed at
5:23);
performing services for a consumer (except under the direction and supervision of an attorney, law firm, etc.)
(Bus. & Prof.C. 6451, discussed at 1:232.12 ff.);
identifying himself or herself as a paralegal on any advertisement, letterhead, business card or sign, etc. unless
he or she has met the qualifications of Bus. & Prof.C. 6450(c) ( 1:232.4) and is acting under the direction and

supervision of an attorney (Bus. & Prof.C. 6452(a); see 2:182.12 ff.).

(a) [1:232.12] Services for consumers prohibited: It is unlawful for a paralegal to perform any services for a
consumer except as performed under the direction and supervision of an attorney, law firm, corporation,
governmental agency, or other entity that employs or contracts with the paralegal. [See Bus. & Prof.C. 6451]
1) [1:232.13] Consumer defined: A consumer within the meaning of 6451 is a natural person, firm,
association, organization, partnership, business trust, corporation or public entity. [Bus. & Prof.C. 6451]
2) [1:232.14] Criminal liability: A paralegal may be held criminally liable for violating Bus. & Prof.C.
6451 and may be ordered to pay restitution to the victim pursuant to Pen.C. 1202.4. [Bus. & Prof.C.
6455(b)]
(b) [1:232.15] Advertising restrictions: There are statutory restrictions on paralegal advertising (including
requirements for paralegal business cards). See discussion at 2:182.12 ff.
[1:235.16232.19] Reserved.

(5) [1:232.20] Lawyers duty of confidentiality applicable: Paralegals owe clients the same statutory duty of
confidentiality owed by attorneys (Bus. & Prof.C. 6068(e), discussed at 7:25 ff.). [See Bus. & Prof.C. 6453]
(6) [1:232.21] Attorney liability for paralegal misconduct: An attorney who uses the services of a paralegal is
liable for any harm resulting from the paralegals negligence, misconduct or violation of Bus. & Prof.C. 6450 et
seq. [See Bus. & Prof.C. 6452(b)]
(7) [1:232.22] Consumer remedy for violation of statute: Consumers injured by a violation of Bus. & Prof.C.
6450 et seq. may file a complaint in any superior court for injunctive relief, restitution and damages. The prevailing
plaintiff shall be awarded attorney fees. [See Bus. & Prof.C. 6455(b)]
k. [1:233] Insurance company employing captive law firm: An insurance company does not engage in the
practice of law by employing its own in-house or staff attorneys to defend the companys insured against third party
claims. [Gafcon, Inc. v. Ponsor & Assocs. (2002) 98 CA4th 1388, 1405, 120 CR2d 392, 403; see also ABA
Form.Opn. 03430, fn. 9most jurisdictions concur that use of insurance staff counsel not unauthorized law
practice]
Reason: When an insurance company in California arranges for a law firm to defend an insured under a contractual
duty to do so under an insurance policy (regardless of whether that law firm is retained outside counsel or in-house
counsel employed by the insurer), counsel is acting on the insurers behalf and representing the insurers own rights
and interests as well as those of the insured. [Gafcon, Inc. v. Ponsor & Assocs., supra, 98 CA4th at 1406, 120 CR2d
at 404]
[1:233.1233.4] Reserved.

l. [1:233.5] Immigration services: Both federal and state law authorize limited nonlawyer representation of aliens in
immigration proceedings; services rendered within the ambit of these regulations do not constitute the unauthorized
practice of law. [8 CFR 1.1, 292.1; Bus. & Prof.C. 22440 et seq.; Gov.C. 8223]
(1) [1:233.6] Activities permitted under federal regulations: Federal regulations permit certain nonlawyers to

represent aliens before the Executive Office of Immigration Review and the Bureau of Border Security and Bureau
of Citizenship and Immigration Services (see 1:157.13). The authorized nonlawyer representatives include certain
law students, law graduates not admitted to the Bar, reputable individuals of good moral character, accredited
representatives of recognized nonprofit and similar public service organizations, accredited government officials of
the aliens native country, foreign attorneys, and attorneys or organizations granted amicus curiae status by the
Immigration Board. [See 8 CFR 292.1]
Representation allowed under 8 CFR 292.1 includes appearing in any case (in person or through the
preparation or filing of any brief, document, paper, application, or petition) on behalf of another, and the study of
facts of a case and applicable law, coupled with the giving of advice and auxiliary activities, including the
incidental preparation of papers. [8 CFR 1.1(i), (k),(m)]
But representation under the federal regulations does not include the lawful functions of a notary public or
service consisting solely of assistance in the completion of blank spaces on printed forms by one who does not hold
himself or herself out as qualified in legal matters or in immigration and naturalization procedure and who receives
only nominal (or no) remuneration. [8 CFR 1.1(k), (m)]

(2) [1:233.7] California immigration consultants: Provided they are authorized to represent aliens under the
federal regulations (above), California law permits nonlawyers to act as immigration consultants representing
aliens. [Bus. & Prof.C. 22440]
A nonlawyer who acts as an immigration consultant in California in violation of the federal regulations also
violates Californias prohibition on the unauthorized practice of law. [Matter of Valinoti (Rev.Dept. 2002) 4 Cal.
State Bar Ct.Rptr. 498, 520]

(a) [1:233.8] Permitted activities: An immigration consultant may give nonlegal assistance or advice on
immigration matters, including, but not limited to:
completing forms provided by federal or state agencies without advising a person as to their answers on the
forms;
translating a persons answers to questions posed in the forms;
securing supporting documentation (birth certificate, etc.) that may be necessary to complete the forms;
submitting completed forms to the applicable agency on a persons behalf and at the persons request; and
making referrals to persons who could undertake legal representation activities in an immigration matter.
[Bus. & Prof.C. 22441(a)]
[1:233.9233.10] Reserved.

(b) [1:233.11] Prohibited activities: Immigration consultants are prohibited from doing all of the following:
making false or misleading statements to a client while providing services to that client (Bus. & Prof.C.
22444);
making any guarantee or promise to a client unless in writing and supported by some basis in fact (Bus. &
Prof.C. 22444; see also Bus. & Prof.C. 22442(c) (prohibited contract provision));
stating that the immigration consultant can or will obtain special favors or has special influence with the
applicable agency (Bus. & Prof.C. 22444; see also Bus. & Prof.C. 22442(c) (prohibited contract
provision));
charging the client a fee for referral of the client to another for services that the immigration consultant

cannot or will not provide (Bus. & Prof.C. 22444);

using, with the intent to mislead, literal translations from English into another language of such words and
titles as notary public, notary, licensed, attorney, lawyer, or any other terms that imply that the
person is an attorney, in any document describing the immigration consultant (e.g., advertisements, stationary,
letterhead or business cards) (Bus. & Prof.C. 22442.3);
disseminating any statement indicating directly or by implication that he or she engages in the business or
acts in the capacity of an immigration consultant (or intends to do so) unless he or she has filed a bond with the
Secretary of State that is maintained throughout the time period covered in the statement (Bus. & Prof.C.
22443.3);
making or authorizing any verbal or written references to the consultants compliance with the bond
requirement other than required disclosures to clients ( 1:233.18) (Bus. & Prof.C. 22442.3); and
including prohibited provisions in a contract for services ( 1:233.15) (Bus. & Prof.C. 22442(c)).
1) [1:233.12] Additional restrictions on notary publics claiming immigration expertise: A notary public
who holds himself or herself out as an immigration specialist or consultant may not advertise as a notary
public. Notaries who are not qualified and bonded as immigration consultants may not fill in immigration
forms or otherwise act as an immigration consultant. [Gov.C. 8223]
Compare: A nonattorney notary who is qualified and bonded as an immigration consultant may enter
information given by the client on preprinted state or federal agency forms, and may charge up to $10 per set
of forms for that service, in addition to ordinary notary fees. [Gov.C. 8223]

(c) [1:233.13] Written contract requirements; clients right to rescind: Before providing services,
immigration consultants must provide the client with a written contract prescribed by the Department of
Consumer Affairs, containing specified provisions, both in English and in the clients language. Noncompliance
is a misdemeanor. [See Bus. & Prof.C. 22442(a),(b),(d),(e), (f)]
The client has the right to rescind the contract within 72 hours of its execution. [Bus. & Prof.C. 22442 (e)]

1) [1:233.14] Exemption for certain nonprofit immigration consultants: The 22442 contract requirements
do not apply to employees of nonprofit, tax-exempt corporations who help clients fill out application forms in
immigration matters at little or no cost to the client. [See Bus. & Prof.C. 22442(g)]
(d) [1:233.15] Disclosure obligations: Immigration consultants are required to make several disclosures, some
in the written contract with the client and others by separate conspicuous notice and in advertisements. Notably,
an immigration consultant must make clear that he or she is not an attorney and may not perform attorney
services. [See Bus. & Prof.C. 22442, 22442.2, 22443]
(e) [1:233.15a] Client documents: Immigration consultants must provide clients with a copy of each document
or form completed on the clients behalf. All documents must include the consultants name and address. [Bus. &
Prof.C. 22443(a)]
1) [1:233.15b] Three-year retention requirement: Copies of all client documents and forms must be retained
for at least three years from the date of the last service to the client. [Bus. & Prof.C. 22443(b)(1)]
2) [1:233.15c] Providing client file to law enforcement authorities: Upon presentation of the clients signed
written consent, an immigration consultant shall provide a copy of the client file to law enforcement authorities
without a warrant or subpoena. [Bus. & Prof.C. 22443 (b)(2)]

3) [1:233.15d] Original client documents: An immigration consultant must return to the client all original
documents (including birth certificates, rental agreements, utility bills, employment stubs, etc.) that the client
provided to the consultant in support of the clients application. [Bus. & Prof.C. 22443(c)(1)]
Any original document not submitted to immigration authorities as an original document shall be returned to
the client immediately after making a copy thereof. [Bus. & Prof.C. 22443(c)(2)]

(f) [1:233.16] Bond requirement: A $50,000 bond payable to the People of the State of California must be filed
with the Secretary of State before a person may act in the capacity of an immigration consultant or represent that
he or she is an immigration consultant. The bond is for the benefit of any person damaged by any fraud,
misstatement, misrepresentation, unlawful act or omission, or failure to provide the services of the immigration
consultant. [Bus. & Prof.C. 22443.1(a),(b), 22443.3]
1) [1:233.17] Exemption for certain nonprofit immigration consultants: The bond requirement does not
apply to employees of nonprofit, tax-exempt corporations who help clients fill out application forms in
immigration matters at little or no cost to the client. [Bus. & Prof.C. 22443.1(e)]
(g) [1:233.18] Criminal and civil liability for non-compliance: A violation of the statutes governing
immigration consultants (Bus. & Prof.C. 22440 et seq.) is a crime punishable by fine and/or imprisonment
(some second and subsequent violations are felonies). [See Bus. & Prof.C. 22445(b),(c)]
Violators are also subject to civil liability in an injured persons individual suit, a private persons representative
suit, and a representative action brought by the Attorney General, or any district attorney or city attorney. The
remedies include civil penalties (mandatory $100,000 per violation), damages (actual damages plus the greater of
$1,000 per violation or treble damages), injunctive relief, and restitution or other equitable relief. [See Bus. &
Prof.C. 22445(a), 22446.5]
Damages and restitutionary relief are recoverable from the immigration consultants bond ( 1:233.16).

m. [1:234] Bankruptcy petition preparers: Federal law also authorizes nonlawyers to act as bankruptcy petition
preparers. [11 USC 110]
(1) [1:234a] Defined: A bankruptcy petition preparer (BPP) is any person (other than the debtors attorney or
that attorneys employee) who prepares bankruptcy documents for filing in exchange for compensation. [11 USC
110(a)]
This includes one who, for a fee, provides software for the preparation of bankruptcy forms by others. [In re
Reynoso (9th Cir. 2007) 477 F3d 1117, 1123 110(a) does not require that bankruptcy petition preparers have inperson interactions with their customers]
(2) [1:234.1] Limited to clerical-type activities: A bankruptcy petition preparers role is purely clerical. BPP
services are strictly limited to typing bankruptcy forms. [In re Reynoso, supra, 477 F3d at 1125 (internal quotes
and citation omitted)]
(3) [1:234.2] Prohibited activities: Bankruptcy petition preparers may not provide legal advice and legal services
to debtors; nor may they interact with the court on the debtors behalf. [In re Reynoso, supra, 477 F3d at 1125; In
re Buck (BC CD CA 2003) 290 BR 758, 762763, 765]
More specifically, BPPs may not:

 practice law (11 USC 110(k));

execute documents on behalf of debtors (11 USC 110(e)(1));
offer legal advice (including on questions whether to file a petition, whether debts will be discharged in
bankruptcy, whether the debtor will be able to retain its home or other property after filing bankruptcy, etc.) (11
USC 110(e)(2));
use the word legal or any similar term in advertising, or advertise under any category including those terms
(11 USC 110(f)); or
collect or receive any payment from or on behalf of the debtor for court filing fees (11 USC 110(g)).
(a) [1:234.2a] Unauthorized practice of law: Bankruptcy petition preparers who exceed their statutory role risk
engaging in the unauthorized practice of law.
Nonbankruptcy (state) law determines whether a particular task performed by a bankruptcy petition preparer
constitutes the unauthorized practice of law. [In re Reynoso, supra, 477 F3d at 1125]
[1:234.2b] A nonattorney bankruptcy document software provider went far beyond providing clerical
services:
The software (i) determined where in the bankruptcy forms (particularly in which schedule) to place
information provided by the debtor, (ii) selected exemptions for the debtor, and (iii) supplied relevant legal
citations. Under California law, [p]roviding such personalized guidance constituted the unauthorized
practice of law. [In re Reynoso, supra, 477 F3d at 11251126the software system touted its offering of
legal advice and projected an aura of expertise concerning bankruptcy petitions; and, in that context, it offered
personalizedalbeit automatedcounsel]
(The Reynoso court declined, however, to decide whether computer software by itself can constitute the
practice of law. In re Reynoso, supra, 477 F3d at 1126, fn. 9.)
[1:234.2c] A BPPs solicitation of information from debtors to complete their schedules by means of a
detailed questionnaire prepared by the BPP constituted the unauthorized practice of law in California. [In re
Agyekum (9th Cir. BAP 1998) 225 BR 695, 702]
[1:234.2d] A BPP engaged in the unauthorized practice of law in Oregon by exercising professional
judgment in determining whether a loan taken by the debtors from a 401(k) plan constituted a claim under
the Bankruptcy Code for purposes of completing the debtors bankruptcy schedules. [Taub v. Weber (9th Cir.
2004) 366 F3d 966, 968970 (decided under Oregon unauthorized practice statute)]
[1:234.2e] Compare: A BPP did not engage in the unauthorized practice of law in California by handing a
client an attorney-prepared publication providing specific advice about the bankruptcy process. [In re Leon
(BC CD CA 2004) 317 BR 131, 132133]
(4) [1:234.3] Disclosure obligations: A bankruptcy petition preparer must also make various disclosures to the
client and the court (these relate to information identifying the preparer and the fee arrangement, and examples of
legal advice a bankruptcy petition preparer is not authorized to give). [See 11 USC 110(b)(2),(c),(d) & (h)(2); In
re Reynoso, supra, 477 F3d at 1124BPP properly fined for violating disclosure obligations (see 1:234.4)]
(5) Fines and civil remedies for noncompliance
(a) [1:234.4] Fine for failure to comply with 110 (b)-(h): Failure to comply with 11 USC 110(b)-(h) can
result in a fine of up to $500 for each such failure. [11 USC 110(l)(1); see In re Reynoso, supra, 477 F3d at

1124fines properly imposed against BPP for preparing petitions that did not include preparers identity,
signature, name, address or social security number, and for failing to disclose compensation received, as required
by 110(b),(c) & (h); In re Bernales (BC CD CA 2006) 345 BR 206, 215, 227although BPPs failures to
comply extensive, $2,000 fine sufficient sanction]
However, the court shall triple the fine in any case where it finds the bankruptcy petition preparer:
advised the debtor to exclude assets or income that should have been included on applicable schedules;
advised the debtor to use a false Social Security number;
failed to inform the debtor that the debtor was filing bankruptcy; or
prepared a document for filing in a manner that failed to disclose the BPPs identity. [11 USC 110(l)(2)]
(b) [1:234.5] Damages for violation of 110/fraudulent acts: A bankruptcy petition preparer who violates 11
USC 110 or commits any act the court finds to be fraudulent, unfair, or deceptive may be liable to the debtor
for:
the debtors actual damages;
the greater of $2,000 or twice the amount paid by the debtor to the BPP for the preparers services; and
reasonable attorney fees and costs in seeking damages. [11 USC 110(i)(1); see In re Reynoso, supra, 477
F3d at 1124ongoing acts in violation of 11 USC 110(b),(c) & (h) and various representations by BPP held
to be deceptive]
1) [1:234.6] Additional amounts to trustee/creditor: If the trustee or a creditor moves for damages on the
debtors behalf (above), the bankruptcy petition preparer is liable for an additional $1,000 plus reasonable
attorney fees and costs incurred. [11 USC 110(i)(2)]
(c) [1:234.7] Injunction against BPP: A 110 violation is also remediable in a civil action for injunctive relief
enjoining the bankruptcy petition preparer from continuing to act as such and for reasonable attorney fees and
costs. [11 USC 110(j); In re Reynoso, supra, 477 F3d at 1124; see In re Bernales, supra, 345 BR at 228229
BPP permanently enjoined (sua sponte) from acting as BPP whether over Internet, or via e-mail, computer
software, electronic transmission, or any other means]
(6) [1:234.8] Advertising requirements: Bankruptcy petition preparers are subject to advertising requirements contained
in the Bankruptcy Code. See discussion at 2:677.10 ff.