The Commission on Continuing Legal Education

The Commission on the Unauthorized Practice of Law

Commission on the Unauthorized Practice of Law

Judicial Branch Building

1111 East Court Avenue

Des Moines, Iowa 50319

(515) 725-8029 ext. 3

The practice of law involves specialized knowledge, education, and skills. The Supreme Court of Iowa licenses individuals to practice law who have passed a background investigation and a rigorous examination on the law and rules of ethics. Licensed attorneys are subject to oversight by the Office of Professional Regulation, regular audits of their lawyer trust accounts, compliance with the Iowa Rules of Professional Conduct, and stringent requirements regarding attendance at continuing legal education to help them stay apprised of recent developments in the law.

Iowans may suffer loss of money, property, or liberty as a result of the practice of law by persons who are not authorized to do so. To help prevent these losses and protect Iowa citizens, the Commission on the Unauthorized Practice of Law was established by the Supreme Court of Iowa. The Commission is charged with considering, investigating, and seeking the prohibition of the unauthorized practice of law.

Copies of the applicable court rules are available below.

Common circumstances that may involve the unauthorized practice of law include:

Nonlawyers performing legal services in Iowa
Nonlawyers holding out to the public that they are qualified to provide legal services
Licensed Iowa attorneys performing legal services in Iowa while their licenses are inactive, suspended, or revoked
Lawyers from other states performing legal services in Iowa matters without authority to do so

Iowa's court rules leave the determination of whether a person is practicing law to the Iowa Supreme Court. In Commission on the Unauthorized Practice of Law v. Sturgeon, 635 N.W.2d 679, 682-3 (Iowa 2001), the Court stated:

It is neither necessary nor desirable to attempt the formulation of a single, specific definition of what constitutes the practice of law. However, the practice of law includes, but is not limited to, representing another before the courts; giving of legal advice and counsel to others relating to their rights and obligations under the law; and preparation or approval of the use of legal instruments by which legal rights of others are either obtained, secured or transferred even if such matters never become the subject of a court proceeding. Functionally, the practice of law relates to the rendition of services for others that call for the professional judgment of a lawyer. The essence of professional judgment of the lawyer is the educated ability to relate the general body and philosophy of law to a specific legal problem of a client; and thus, the public interest will be better served if only lawyers are permitted to act in matters involving professional judgment. Where this professional judgment is not involved, nonlawyers, such as court clerks, police officers, abstracters, and many governmental employees, may engage in occupations that require a special knowledge of law in certain areas. But the services of a lawyer are essential in the public interest whenever the exercise of professional judgment is required.

Past decisions of the Court provide the following additional guidance:

- Participation in the selection, preparation, and filing of bankruptcy forms goes beyond the role of a mere scrivener and constitutes unauthorized practice of law. Commission on the Unauthorized Practice of Law v. Sturgeon, 635 N.W.2d 679 (Iowa 2001).

- Negotiating a settlement on behalf of an injured party requires the exercise of professional judgment, and therefore is the practice of law. Bergantzel v. Mlynarik, 619 N.W.2d 309 (Iowa 2000).

- A collection agency that took assignments of unpaid accounts and then brought small claims actions pro se against the account debtors engaged in the unauthorized practice of law. Commission on the Unauthorized Practice of Law v. A-1 Associates, LTD., 623 N.W.2d 803 (Iowa 2001).

- A corporation may not represent itself through non-lawyer employees, officers, or shareholders. Hawkeye Bank & Trust, Nat'l Ass'n v. Baugh, 463 N.W.2d 22, 25 (Iowa 1990).

- Certain services that may be performed by nonlawyers nonetheless are treated as the practice of law in Iowa when performed by lawyers, including consummation of real estate transactions, preparation of tax returns, legislative lobbying, and estate planning. Iowa R. Prof'l Conduct 32:5.7, cmt. 12.

- The actions the Court will consider the practice of law when performed by a suspended lawyer include but are not limited to "the examination of abstracts, consummation of real estate transactions, preparation of deeds, buy and sell agreements, contracts, wills and tax returns as well as any court appearance or counseling clients with regard to the same." Committee on Prof'l Ethics & Conduct v. Toomey, 236 N.W.2d 39, 40 (Iowa 1975).

Frequently Asked Questions

How can I check whether the person is a licensed attorney in Iowa? How do I know that they are authorized to practice here?

You can search the database of lawyers who have been licensed to practice law in Iowa at: https://www.iacourtcommissions.org/icc/SearchLawyer.do.

A search by last name only is usually the best way to start this search. If the search does not locate the individual, or if their license status is not listed as "Active", you may wish to contact the Office of Professional Regulation at (515) 725-8029.

I have been the victim of an individual practicing law without a license, what should I do?

You are strongly encouraged to file a written complaint with the Commission on the Unauthorized Practice of Law. The complaint form is available at the bottom of this page. If the individual has prepared any documents, or if you have other proof that they have practiced law, please include a copy of those documents with your complaint.

Are UPL complaints public?

The complaint and supporting materials submitted to the Commission are confidential. Neither the documents nor your identity will be shared with the person or business you have complained about.

Is there a charge for filing a complaint?

No. There is no charge for filing a UPL complaint.

What will happen to my complaint after it is filed?

You will receive verification of receipt of the complaint. The person about whom you have complained (the respondent) will be sent notice that a UPL complaint has been filed, and information will be requested of the respondent to help ascertain the facts and circumstances. The complaint will be investigated by staff at the Office of Professional Regulation, and the complaint and any materials gathered by the staff will be forwarded to the Commission at their next regular quarterly meeting. At the quarterly meeting, the complaint will be assigned to a Commission member for follow up. Depending on the circumstances and facts, the complaint may be closed, referred to obtain a cease and desists agreement, or referred for civil prosecution. If you have additional information to provide at any point, you are encouraged to submit it.

What can the Commission do if it is UPL?

The Commission is authorized to contact the respondent to obtain an agreement to cease and desist from the unauthorized practice of law. Continued prohibited activity by the respondent may result in a civil suit to enjoin the respondent from engaging in the actions which constitute the unauthorized practice of law. The Commission's actions regarding a complaint of UPL will not help to directly reimburse the victim for any losses they have suffered, but the Commission's actions also do not preclude any private civil remedy available to the victim.

I'm not sure if the services I want to provide to customers may be the unauthorized practice of law…

The UPL Commission is not authorized to provide advisory opinions. If you are contemplating an undertaking and think that you may be overstepping the bounds, you will want to carefully read the rules pertaining to the unauthorized practice of law. You may also wish to confer with a licensed Iowa attorney.

Are there certain areas of practice that nonlawyers can represent themselves or others in?

An individual can represent themselves in their own personal legal action; this is called appearing pro se. Also, in a very limited number of agency actions and federal matters, nonIowa lawyers may be able to represent themselves or Iowa citizens. However they may not hold themselves out as attorneys unless they have been admitted to practice in Iowa. Moreover, individuals who have previously been licensed in Iowa should be very careful about engaging in these actions, because the allowable tasks for a lay person and formerly licensed attorney can differ greatly.

I'm an attorney in another state, but not currently active/licensed in Iowa. Will I be perpetrating UPL by my involvement in an Iowa case?

Perhaps. You may wish to consider application for admission or reinstatement to the Iowa bar, or admission pro hac vice if an action is already underway and you have never been admitted to the Iowa bar.

I'm an Iowa lawyer, and I want to hire a nonlawyer to assist me with my practice. Could this be aiding and abetting the unauthorized practice of law?

Perhaps. UPL can occur in various forms. Most frequently, UPL is found when a non-lawyer holds themselves out as an attorney. But UPL can also be found when a licensed attorney aids or abets a non-lawyer practicing law in Iowa. Iowa Rule of Professional Conduct 32:5.3 describes a lawyer's responsibilities regarding nonlawyer assistants. Comment 2 to Iowa Rule of Professional Conduct 32:5.5 provides that a lawyer is not prohibited "from employing the services of paraprofessionals and delegating functions to them, so long as the lawyer supervises the delegated work and retains responsibility for their work."

Has Iowa adopted a rule providing for the multijurisdictional practice of law?

Yes. Iowa Rule of Professional Conduct 32:5.5 contains Iowa's adoption of the so-called multijurisdictional practice rule. Attorneys licensed in other states who do not have an Iowa law license are encouraged to become familiar with rule 32:5.5 before undertaking any practice in Iowa.

Are the UPL rules the same for every state?

No. There is wide variation not only in the applicable rules, but also in the remedies available to prosecutors and even the definition of the practice of law.

Complaint Form

Complaints are confidential pursuant to Iowa Court Rule 38.8. The Commission's complaint form is available below.

Commission Meetings and Members

The Commission meets quarterly to monitor and address UPL allegations. The Commission is composed of a maximum of twenty-five members. Between ten and twenty of the members are to be lawyers, and between three and five members are not to be lawyers. All members are appointed by the Iowa Supreme Court, for a term of three years except when appointed to fill an unexpired term. No member may serve more than three complete terms.

Forms and Rules