Ezel / Ethics Opinions / VTBAR

Could a paralegal sign a court pleading using a vacationing lawyer’s name and the paralegal’s initials?

Short answer Opinion 2001-05 said no: the procedural signature rule required the attorney’s own signature, and permitting the nonlawyer to sign raised Rules 5.3 and 5.5(b). It said the paralegal could instead send a letter explaining the circumstances and requesting more time.
Bar
VTBAR
Issued
2001
Source
View Original PDF

Apply this to your situation

This page answers the general question as of 2001. Ask about yours and see what the current Vermont Rules of Professional Conduct say for your facts, with citations.

Disclaimer: Advisory only. Not binding precedent.
About this page: The plain-English summary, reader guidance, and Q&A below were written by Ezel based on the official ethics opinion. The original opinion (linked on this page as a PDF) is the authoritative source for any reliance.
View original ethics opinion (PDF)

Plain-English summary

A solo lawyer was away and unreachable when a court requested information before the lawyer’s return. A clerk filed a motion for more time using the lawyer’s name followed by the clerk’s initials. The request asked whether that emergency signature practice was proper.

The committee read Vermont Rule of Civil Procedure 11(a) as requiring an attorney of record to sign in the attorney’s individual name. It said a lawyer who approved or ratified a nonlawyer’s violation of procedural rules would violate Rule 5.3, and that signing pleadings amounted to the practice of law under Rule 5.5(b).

The committee concluded that a legal assistant, paralegal, or four-year law clerk could not sign the lawyer’s name with their initials. It said the nonlawyer could send the court a letter explaining the absence and requesting an extension.

Currency note

This opinion was issued in 2001 under Vermont's Rules of Professional Conduct, which the Vermont Supreme Court's rules history says applied to lawyer conduct after September 1, 1999. The court later made comprehensive amendments in 2009. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement.

Common questions

Q: Did the emergency make the nonlawyer signature proper?

A: No. The committee said the nonlawyer could not sign the attorney’s name and initials on the pleading.

Q: What alternative did the opinion identify?

A: A letter to the court explaining the circumstances and asking for an extension until the lawyer returned.

Background and rules framework

The opinion applied Vermont Rules 5.3 and 5.5(b) and cited Vermont Rule of Civil Procedure 11(a) and (b), along with Vermont Rule of Criminal Procedure 49(d).

Citations and references

Vermont Rules of Professional Conduct:

  • Rules 5.3(b) and 5.5(b).

Procedural rules cited:

  • V.R.C.P. 11(a)–(b); V.R.Cr.P. 49(d).

Cases and opinion cited:

  • In re Buchanan, 1990 WL 241937 (Bankr. N.D. Ohio 1990); Lynch v. Cannatella, 122 F.R.D. 195 (E.D. La. 1987); Florida Bar Opinion 87-11.

See also

Source

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