Could a Vermont lawyer join lawyers and nonlawyers in a separate dispute resolution business?
Apply this to your situation
This page answers the general question as of 1993. Ask about yours and see what the current Vermont Rules of Professional Conduct say for your facts, with citations.
Plain-English summary
A lawyer proposed forming a partnership with lawyers and nonlawyers to provide mediation, arbitration, and dispute resolution services. The proposed business would not offer legal services and would recommend that parties obtain independent counsel. The committee understood that neither the lawyer nor members of the lawyer's firm would give legal advice through that business.
The committee found no bar under the former Code of Professional Responsibility to the activity as proposed. It explained that former DR 3-101(A), DR 3-102, and DR 3-103 did not apply on these facts because the dispute resolution business would neither provide nor charge for legal services.
The committee required safeguards against confusion: a physically separate location, marketing unconnected to the law practice, and no mediation or arbitration of a dispute involving a firm client unless the firm had no involvement in that matter. It limited its opinion to the requesting lawyer's proposed activity.
Currency note
This opinion was issued in 1993, before Vermont's 1999 adoption of the Rules of Professional Conduct. 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 Treat this page as historical context, not current guidance.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: Could the proposed business include nonlawyers?
A: Yes, under the committee's stated assumption that the business would provide dispute resolution services without offering legal services or charging legal fees.
Q: Could the business market itself together with the lawyer's practice?
A: No. The committee said its advertising and marketing should not be associated with advertising for the law practice.
Q: Could it mediate a dispute involving a client of the lawyer's firm?
A: The committee said it should not, except in a matter in which the firm had no involvement.
Background and rules framework
The opinion discussed former DR 3-101(A), concerning aiding a nonlawyer's unauthorized practice; DR 3-102, concerning fee sharing; and DR 3-103, concerning partnerships with nonlawyers that practice law. Its conclusion depended on the proposed business offering no legal services.
Citations and references
Former Vermont disciplinary rules:
- DR 3-101(A), DR 3-102, and DR 3-103.
See also
- Vermont Ethics Op. 80-12: Joint divorce mediation
- Vermont Ethics Op. 95-10: Mediation clinic paralegals
Source
- Landing page: VBA affiliation opinions
- Original PDF: Vermont Advisory Opinion 93-05
- Rules history: Vermont Rules of Professional Conduct, “These rules apply to lawyer conduct after September 1, 1999.”
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