May a suspended Vermont lawyer work as a law clerk or investigator for a licensed lawyer?

Plain-English summary

The committee considered whether a lawyer suspended by the Vermont Supreme Court could work for another lawyer. It said the suspended lawyer remained subject to the then-applicable Code of Professional Responsibility and the disciplinary system. Employment was permissible if tasks were restricted and closely supervised; the committee also called for a written description of the arrangement and recommended giving a copy to the Professional Conduct Board.

The opinion permitted legal research, factual investigation, title searches, and preparation work for proceedings when the employing lawyer reviewed the work and retained professional responsibility. It barred the suspended lawyer from practicing law, giving legal advice, actively participating in proceedings, or creating the impression of continued licensure. Salary or hourly compensation was permitted; sharing legal fees was not.

The committee said the firm should remove the suspended lawyer's name from letterhead and advertising during suspension. Direct contact with clients or third parties was possible if status was clear and activities remained restricted and supervised. Employment at the former firm was not categorically prohibited, but the committee called for particular care to distinguish the suspended lawyer's changed role and continued representation of former clients.

Currency note

This opinion was issued in 1997, before Vermont's 1999 adoption to 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 Treat this page as historical context, not current guidance.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 a suspended lawyer conduct a title search?

A: Yes, for a supervising lawyer who retained full responsibility, reviewed the work, and independently formed any opinion on title. The suspended lawyer was not to participate in the real estate closing.

Q: Could a suspended lawyer help prepare for a hearing or trial?

A: Yes, through research, organizing records, and drafting requested materials. The opinion allowed presence at proceedings within stated limits, but not active participation or sitting at counsel table.

Q: Could the suspended lawyer work at the same firm?

A: The committee found no categorical ethical bar. It required the firm and suspended lawyer to make the changed status clear and to supervise and limit the work; the suspended lawyer had to withdraw from formal representation of former clients.

Q: Could the firm keep the suspended lawyer's name on its letterhead?

A: The committee said it should remove the name during suspension because its inclusion risked misleading clients and the public about the lawyer's status.

Background and rules framework

The opinion applied the former Vermont Code of Professional Responsibility, including DR 3-101(A) on aiding unauthorized practice, DR 3-102(A) on fee sharing, DR 2-101 and DR 2-102 on misleading communications and letterhead, and DR 6-101(A) on competence. It also discussed the Professional Conduct Board's Permanent Rules, including Rules 4, 20, and 21.

Citations and references

Former Vermont disciplinary rules:

• DR 1-102(A), DR 2-101, DR 2-102, DR 2-103(A), DR 3-101(A), DR 3-102(A), and DR 6-101(A).

Cases cited:

• In re Welch, 123 Vt. 180 (1962); The Florida Bar v. Thompson, 310 So. 2d 300 (Fla. 1975); In re Meckler, Del. SupCt, No. 305, 1994 (12/29/95).

Other opinions cited:

• Vermont Opinions 88-4, 90-2, 79-13, and 78-2; ABA Informal Opinion 1434.

See also

• Vermont Ethics Op. 88-04: Nonlawyer arbitration representation
• Vermont Ethics Op. 90-02: Unlicensed professor consulting for a lawyer

Source

• Landing page: VBA unauthorized practice opinions
• Original PDF: Vermont Advisory Opinion 97-11
• Rules history: Vermont Rules of Professional Conduct, “These rules apply to lawyer conduct after September 1, 1999.”