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EXHIBIT A
012321405 6789
Document
Case 5:17-cv-07194-NC 77
97
8
1-1
7
Filed
712/19/17
76 Page 2 of 184
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012321405 6789
Document
Case 5:17-cv-07194-NC 77
97
8
1-1
7
Filed
712/19/17
76 Page 5 of 184
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EXHIBIT B
012321405 6789
871-1
Case 5:17-cv-07194-NC Document 8
Filed
712/19/17
6 Page 7 of 184
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012321405 6789
871-1
Case 5:17-cv-07194-NC Document 8
Filed
712/19/17
6 Page 8 of 184
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EXHIBIT C
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 12 of 184
EXHIBIT D
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 13 of 184
FILE DETAILS
Other Comments:
START OF TRANSCRIPT
Operator: Thank you for calling LegalZoom. Please remain on the line to be
connected to the next available representative. Need legal advice?
No problem. Although the LegalZoom customer care specialists cant
provide legal advice, our network of independent attorneys can. Ask
us how. Calls may be recorded for quality assurance and training
purposes.
[Music plays]
[Music plays]
[Music plays]
Facilitator: Thank you for calling LegalZoom. This is Will. How can I help you?
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 14 of 184
Recorded Page 2 of 8
Interviewee: Yeah, hi, Will. I have a trademark that Ive requested filing through
LegalZoom and they said that theres a problem with it, so Im trying to
just record and understand what I need to do so I can get this properly
filed and moving forward.
Facilitator: Yeah. Second verification question. Can you verify the email address
you use at LegalZoom?
Facilitator: All right. Lastly, what is the name of the trademark that youre
applying for?
Interviewee: [Drawmarkia].
Facilitator: Okay. Yeah, so we had some clarification required with the goods
and services description.
Interviewee: Uh-huh.
Facilitator: Your artist and drawing services website for animation and videos for
businesses. So basically the websites just there - so I dont know if
youre trying to trademark the name for a software, like a software as
a service, or if you just provide artist and drawing services directly,
and you just use the website to promote those services so that you
can provide animations of videos for businesses.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: Are you allowing users to create these videos, or youre doing it
direct? Are you providing the tools so that users can create their own,
or are you doing it for them?
Facilitator: All right. So this is - when you write artist and drawing services, this is
more like graphic illustration and drawing services. Right?
Interviewee: Right.
Facilitator: The reason Im asking these questions is because were trying to - the
Trademark Office has a classification system and so if you were to,
say, do illustration services like the old-fashioned pen and paper
format, thats class 41. But anything digital, digitally created services
are going to fall into class 42. So let me - because computer-related
sources falls under that class. So let me take a look and see what
pre-approved descriptions they have in their database. Then Im
going to run it by you and see if you want to use that description.
Okay?
Interviewee: Okay.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: Well, so they come to you - I think the artist and drawing services are
implied within the confines of - so if I want to come to you, I come to
you because I want you to create a video for me, for my business, an
animation video.
Interviewee: Yes.
Facilitator: Would you agree with that? Does that make sense?
Facilitator: Okay. So I put - Im just checking out one other thing to see if I can
incorporate this into the description. So they have a description in the
database that just reads animation design for others. So I was going
to kind of modify that so that it reads animation design for others,
namely creating animation videos for businesses.
Interviewee: Okay. So is that the best description you think? Is that the best?
Okay, yeah, whatever you think.
Facilitator: Yeah, I mean, as long - so these descriptions are not used for
advertisement purposes. Right? So theyre just there to steer your
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: Okay.
Facilitator: Great. So Ill make the update to the document. Ill send you an email
as a confirmation of the revision to your application.
Facilitator: Well, I recommend just not putting a class code, which you dont have
to do. So you can designate a class code if you want, but if the
Trademark Office feels that it should be the other class theyre just
going to send a correspondence that you have to reply back to. If you
overlook it - its not a problem, but if you overlook it, then it can be a
problem, because they give you a deadline to respond. So its best to
just leave it blank so that they can just inform you which classification
theyre going to designate your trademark in.
Facilitator: I dont know. I mean, animation design for others is 42, but it might be
class 35 just because they do have - when you think of logos, you
create logos as a digital. Its a graphic design work. But they have
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: But were not making logos. Were making little two-minute
animations.
Facilitator: I know.
Interviewee: Okay.
Facilitator: Even if you felt there was one class over the other, if they feel
differently, theyre just going to inform you of this and you have to
agree to it, or state a reason why you dont want it to be that class.
But, like I said, if you dont respond within a certain time, it will become
abandoned and you have to pay a petition to revive fee within a
certain amount of time. So lets just push this through without a
classification code, unless you suggest otherwise, and Ill send you a
confirmation email. Then well go ahead and have a search
conducted.
Interviewee: Ill just do what you recommend, so whatever you recommend is good.
Lets move it forward.
Facilitator: Okay. Well go ahead and move it forward to the next step.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: Can I start using my trademark now? Can I - what can I do with it?
Can I use it for my website to advertise the
Facilitator: Well, yeah, you can. You filed it under intent to use, meaning that
youre not - you dont have the service available to others, at least not
using this name to do that. But it wont hurt you to start using it and
conversely, if you rather us just change the filing basis to use in
commerce, and so we can take the screen shots of the website and
well submit the materials to support your using commerce filing basis,
we can do that. But if your interest is to try to get some form of
trademark pending protection as soon as possible, then leaving it
under the intent to use would be the best bet.
Facilitator: It doesnt matter. Yeah, it doesnt matter what the domain name is, so
even if its not drawmarkia.com. Theyre going to want to see that
theres a prominent display of the name Drawmarkia on there and
then theres an explanation of the services you provide and that its
clear that one could be able to obtain those services from you now.
Interviewee: Okay. So animation services and stuff for this. That would be
enough.
Facilitator: Yeah.
Interviewee: Okay. Cool. Thank you so much. Yeah, lets move it forward. When
will it be filed?
Facilitator: I dont know. So the search is going to take one to two business days.
The sooner you reply back to that, the sooner well send you an email
requesting your electronic signature.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
[Over speaking]
Facilitator: Sounds good, Raj. Well take care of you. Take care.
Interviewee: Bye.
END OF TRANSCRIPT
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
EXHIBIT E
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 22 of 184
FILE DETAILS
Other Comments:
START OF TRANSCRIPT
Interviewee: I can definitely help you out with that but, first, for verification
purposes, can I have you provide me with your first and last name
please?
Interviewee: Okay, and then also your login email address for your LegalZoom
account.
Facilitator: Piggiebank.
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 23 of 184
LegalZoom-PiggiebankMark-Recording2 Page 2 of 10
Interviewee: Okay. Let's see here. I do see that we do have some questions
regarding your goods and services description. I also see that you
paid for two classes. What it looks like is that your description does
indicate that you may fall under class 42 potentially. We were a little
unclear. So let's see here. To give you some background information,
the Trademark Office does separate different goods and services into
different classifications. Each of those classes does require a filing
fee, as you did pay for two. [Let me see here]. It does look like your
description indicates that you may be something along the lines of
software as a service. Is that appropriate?
Facilitator: Not - yeah. I think we're a software and we're a service [laughs]. What
would you recommend? I can give you the website that we have. It's
just piggiebank.com.
Interviewee: Okay.
Facilitator: I want a little help selecting that. I wasnt sure which class to pick.
Interviewee: Okay, I see. When it comes to software the Trademark Office does
separate those into two different classes. The downloadable software
that you can actually download to either a computer, a mobile phone,
anything along those lines, thats going to fall under class nine. If it's
something where you have to pay for access to your service - oh, I'm
sorry, to your software - that is hosted online and they dont have to
directly download something, thats considered software as a service,
and that will fall under class 42.
Facilitator: Okay. We do have a subscription model. It's like a CRM. Does that
mean that I should file Piggiebank as a software as a service then?
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: Let me see what the extension may fall under. That is downloadable,
correct, that browser extension you [were saying].
Facilitator: Yeah. It's just like a Google Chrome plugin. You download it and it
gives you access to our software. I guess it makes it easier to
navigate the non-downloadable portion, but I guess the core is non-
downloadable.
Facilitator: Okay. Where's - I'm looking on the website. I can't find the description
that I wrote. Can you point me in that direction?
Interviewee: When it comes to on the actual LegalZoom website for access to that I
dont entirely know where that is on your end
Facilitator: Okay.
Interviewee: What I can tell you is I do have that description in front of me. What I
have is
Interviewee: Okay. It's Piggiebank CRM helps small businesses stay organised.
Piggiebank is a salesforce alternative. It's quick and easy to get set up
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: Okay. Yeah, the Enterprise Gmail portion, is that - thats the Google
Chrome plugin.
Facilitator: Okay. Then I should, essentially, modify this to fit into one of those
templates.
Interviewee: I can do that right now, if you would like me to help you out doing that.
Facilitator: Sure.
Interviewee: I have that description for computer software for, and then specify the
function of that program. How would you like that worded?
Facilitator: So
[Over speaking]
Interviewee: For - when it comes to the description, typically, they're just looking for
a basic description of the function. The examples they use is for use in
database management, for use as a spreadsheet, for use - for word
processing; just simple descriptions like that. If it is, for instance, a
downloadable plugin for an internet browser, you could state that.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
[Over speaking]
Interviewee: describe.
Interviewee: Okay. So far I have that it is computer software for use as an internet
browser plugin. Then they're going to want you to also provide
information regarding what it does.
Facilitator: Okay. I guess the browser plugin, essentially, connects it to our CRM
and integrates with Gmail.
Interviewee: Okay.
Facilitator: I dont know. I guess I'm - what are you - based on what you see, let
me, I guess, describe the service and then [laughs] you can tell me, I
guess, what makes sense on this form. I can't see it. The - essentially,
it's like an email aggregator and a customer relations management
software. The extension - all it does - it's a downloadable - it's for UI
that is ease of access and - it's a UI extension, so it syncs with your
Gmail account and then causes everything that you email to get sent
to - essentially, copied and pasted into the CRM. Maybe read back the
- does that help?
Interviewee: It does. I'm just trying to figure out the best way to see here. Okay, so
- can I have you describe that to me one more time so that I can use
some of that language?
Facilitator: Sure. It's the - which piece? Just the Google Chrome extension, what
it does?
[Over speaking]
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: Okay. Using very basic language, what I have right now
Interviewee: Yeah. Under class nine I have computer software for use as an
internet browser plugin in connection with customer relations
management software. Then, under class 42, I have software as a
service, services featuring software for customer relations
management.
Facilitator: Okay.
Interviewee: Okay. Then when it comes to your - I have updated that. You are
listed as filing whats called intent to use, so that does mean that the
Trademark Office is going to ask you for your specimens in the future.
Thats going to be four to five months after your initial filing date.
When they do ask you for those specimens it is going to be per class.
They're going to look for you to provide them the information regarding
that actual downloadable software. That could just be screenshots of
your download page for that software itself. Then they're going to ask
for information regarding that software as a service, which will also
just be - honestly, what I'm seeing on your website may be sufficient
when it comes to that software as a service.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: A quick question. Right now the software portion thats, I guess, the
non-downloadable part is ready now. Should I file one of them as in
use and one of them as intent to use? Or is there a disadvantage to
just filing both intent to use?
Interviewee: No. Actually, we can go ahead and do one and one. The way that it
works is that when you file for intent to use - as I say, the Trademark
Office will ask for that four to five months after that initial filing date.
They also require a $100 fee at the point of providing them that proof.
If you have the proof for that class 42 for software as a service, that
I'm seeing your website, that we could move forward with that one,
providing that to them, which would mean that theyll just ask you for
the class nine proof, and it'll just be the $100 for the single class when
they ask you for it.
[Over speaking]
Facilitator: Does that look like it would - that would work for proof of use?
Interviewee: Let me go ahead and take a double check here. Yeah. I'm seeing -
yeah, absolutely, this would be
Facilitator: Okay, thats perfect. Then let's do the - we'll do one that we're using
now with the proof of use looks good, and then we'll do the other one,
I guess, intent.
Interviewee: Okay, absolutely. When we're doing that - when you do file for use in
commerce the Trademark Office asks for two dates from you. They're
going to ask for your date of first use anywhere and your date of first
use in commerce. That date of first use anywhere does need to come
before the date of first use in commerce, and they both have to be
current dates. They cannot be future dates. How would you like that
listed?
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: That pretty much means the first time you were putting something out
in order to have it purchased.
Facilitator: Okay.
Interviewee: It could be a matter of - since it is out there and you are allowing
people to get started, you are already providing it as a service.
Interviewee: They're looking for information in relation to this actual name. They
want you - just in case you have to provide proof - that you are, in fact,
using this name before somebody else. They want a date for you to
state that I was using it by this point. Thats what is best to think
about.
Facilitator: Okay. They would never like - they're not going to ask for an invoice or
something to show for use in commerce. If we advertised it, thats
good.
Interviewee: When it comes to the application process they won't ask for that. If it's
anything to do with making sure you're protecting your name in
relation to somebody else trying to use it I dont have direct
information for that, so I dont know what they'd ask you for in terms of
that. Before the actual application itself they're not going to ask you for
that.
Facilitator: Okay. Well, thanks. Let's do the software as a service one then. Just
to confirm, it's - we'll do that as in use, and then the other one is intent.
Interviewee: Oh yes.
Interviewee: Then when it comes to those dates I do need to put those in for you
before we can move forward.
Facilitator: Okay.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: [Sighs]. Can you - are you in front of the computer? I'm not. I'm sorry
[laughs]. Could you Google when TechCrunch was? Actually, hold on.
I can get it.
Interviewee: Okay.
Facilitator: Because that was our launch date. TechCrunch disrupt. It was 2017.
We were 18 September of this year.
Interviewee: Okay. Is that your date of first use anywhere, or your date of first use
in commerce, or both?
Interviewee: Of '17, okay. All right. What I'm going to do is I'm going to be sending
you an email that will contain both these goods and services
descriptions that you're moving forward with. I am - I have updated
your application so that we're moving forward with the website you
provided as your proof for that class 42 description. Then we're doing
intent to use for your class three description. That is everything that I
need from you right now.
I will go ahead and make sure all of that is updated. Then I'm going to
go out and move your order on through to our search team. They're
going to take the next three to five business days to get you your
search results. Those will be posted to your account. You'll get an
email regarding that. Once you do receive that just give it a look over.
If there's anything about your order you want to update or change,
give us a call. We can help you out with that. If not, just let them know,
as a reply, that you do want to move forward, and then we'll go ahead
and prepare your application at that point.
Facilitator: All right. Thanks very much. Appreciate all the advice.
Facilitator: Bye.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
END OF TRANSCRIPT
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
FILE DETAILS
Other Comments:
START OF TRANSCRIPT
Interviewee: Hey Robert, I have a note saying there was action required on my
Trademark.
Facilitator: Okay, Ill just try to [get right at that], sir. Okay, said it was for your
Trademark?
Interviewee: Correct.
Facilitator: [Unclear] Mr Bethel. I have two show that you put the order number of
50921513 in the system?
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Distribution of this transcript requires client authority and is subject to the provisions of the Australian Privacy Principles.
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 33 of 184
Piggiebank-PostSearch Page 2 of 7
Facilitator: Mr Bethell, can I also ask you what email address you use for your
order?
Interviewee: RyanB@Legalforcelaw.com
Facilitator: Alright, thank you, sir. Alright, let me take some quick notes and then I
can get access [unclear] and see if I can help you with this. [Pause]
Okay, Trademark, get that open. [Pause] Alright, it looks like we did
the [comprehensive] search for you and mailed that to you
Interviewee: I see the - you mailed or emailed? I saw the email. Then Im actually
looking at search results right now.
Facilitator: Oh yeah, let me check on that. Let me check on that and make sure. It
says it was mailed, so
Facilitator: Okay, so they meant - [they may have meant] email note to say
[unclear]. So you did receive that then, okay. So have you had a
chance to
Interviewee: I was looking for a little bit of direction. Looks like theres - there are
nine different searches that are done and so what - how [were they
significant]? Could you explain just a little bit to me about what they
are and why theyre [important]?
Facilitator: Well, these search - I mean its just a more comprehensive search
[unclear]. [I cant] Its - well, the main search is more - [I said it] - it
search as much as the [comprehensive one] - its more
comprehensive so it just gives you more information.
Interviewee: Okay.
Facilitator: So basically its meant to give you as much information that you - it
can for the comprehensive, so it gives you more idea if theres any -
could be any clash with your Trademark or if there could be any
possibly clash or conflict.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: and I just see theres a hundred and something pages of document
and theres no direction [laughs] as to - its [unclear]. Its just a blank
page with - heres - theres a [blank] page with hundreds of different
search results.
Facilitator: Let me see - yeah and thats why its comprehensive search. Its really
comprehensive - theres just a lot of information and
Interviewee: So - I mean, I see, I went through them all sort of briefly - what - my
goal here is I want to register a Trademark. So what should [really
matter]?
Facilitator: [Pause] Well, look I mean they all matter, like the government ones
are the - I mean thats [prescribed] to, its for government so thats
[probably] the most part of this - there is some things that are done at
state level arent a real Trademark issue, but its depending on what
you want to do. You might come into conflict later on, so its - I mean
the government ones definitely an important one. Thats depending
on what you want to do
Interviewee: So when you say the government one - what are you - I dont - I see
Facilitator: Okay, well the federal [unclear] - federal search - the comprehensive
includes the federal and also state search. So state search will bring
up things that are state related that directly affect the Trademark on a
national level.
Interviewee: Okay.
Interviewee: [Okay]
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Interviewee: So
Facilitator: something like that, but then - so something like that that might
happen.
Interviewee: So but I could still - because theres - if there was one that looked like
its pretty spot-on like in the state of Alabama, I dont think we have
any plan to go and target Alabama specifically
Interviewee: but if theres not - if that doesnt pop up in the federal search, then
Im okay? Just for the purpose of
Interviewee: [unclear].
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: yeah, its up to you and what youre going to do with your
Trademark in the future.
[Over speaking]
Interviewee: The one in Alabama, if its not in the federal search, that wouldnt
affect the ability for me to register, is that what Im understanding? But
it could ultimately affect my rights to use the mark down the road in
that state?
Interviewee: Okay, and I did - as I went through the federal thing - the federal one
is the one I went through most closely and it - I was just wondering
what weight is given to the - because I see a couple of things that are
[unclear] - our Trademark is for Piggiebank and its - but its treated -
its like a software service - its going to have a novel spelling. Its G-
G-I-E instead of G-G-Y and I see some things that are like Piggiebank
Management which is for - its like a - books.
Facilitator: Well, I mean we - I mean thats - I guess thats - its more for you to
decide. Its hard to speak for you. We try to base [an application] on
what you have done and - but they could change and its very - its
hard to say what they are going to do for sure, but
Interviewee: Im not asking for sure, I mean I imagine you guys have tens of
thousands of Trademarks. So Im asking in your experience, is
something like - so the mark [unclear] [looking] at is Piggiebank
Management. If you went to the federal search report [number 14] and
I see this registration - the pending mark - it looks like it hasnt been
registered - and I wonder would we be able to get a similar Trademark
there because the names are similar, but were a totally different
service.
Facilitator: Okay, yeah, if its a different class that would make a difference.
Interviewee: Okay.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
Facilitator: But if its a different class they wouldnt compare it at all, so thats
Facilitator: [unclear].
Interviewee: Thats actually - thats very helpful. So as I go through this then were
going to be in I think - I cant remember the number, but it was like
non-downloadable software and - whats that 41, maybe 42 - it was in
the 40s. But we wouldnt then - so when I go through the - the only
ones I need to worry about then, are the ones in that class? That
actually makes
[Over speaking]
Interviewee: [unclear] easier to go through. Alright, now all of a sudden I can just
Control F and find the same class number. That actually makes it very
helpful.
Facilitator: Yeah.
Interviewee: Okay, so again, I think that what Ill need to do is - do I just approve it
online? So Im going to go through them and now Im going to - based
on that, Im just going to go through and look at all the class 42s and
then we can decide if were going to move forward from there.
Facilitator: Yeah, yeah then you call us and let's help you out to see if you
[unclear] search or not, or if you want to update your application or
[unclear], so.
Interviewee: Alright, well thanks. Thanks very much. I appreciate the advice.
Facilitator: Oh youre welcome Mr Bethell and is there anything else I can help
you with? Do you have any questions?
Interviewee: No, I think that will be it for today. Thanks very much, appreciate it.
Facilitator: Youre welcome Mr Bethell, thank you. Have a wonderful day and
thanks for choosing LegalZoom.
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
END OF TRANSCRIPT
PO Box 745 Indooroopilly QLD 4068 AUSTRALIA Ph 1300 662 173 or +61 7 3378 2668
EXHIBIT F
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 40 of 184
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 45 of 184
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 46 of 184
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 47 of 184
EXHIBIT H
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 48 of 184
In the Matter of )
)
Matthew H. Swyers, ) Proceeding No. D2016-20
)
Respondent )
~~~~~~~~~~~-l
FINAL ORDER
Pursuant to 37 C.F.R. 11.27(b), the Director of the United States Patent and
Trademark Office ("USPTO" or "Office") received for review and approval from the
Director of the Office of Emollment and Discipline ("OED Director") an Affidavit For
For Consent Exclusion to the USPTO for the purpose of being excluded on consent
For the reasons set forth herein, Respondent's Affidavit For Consent Exclusion
shall be approved, and Respondent shall be excluded on consent from practice before the
Office in trademark and non-patent matters commencing on the date of this Final Order.
Jurisdiction
Commonwealth of Virginia and the District of Columbia and has practiced before the
Responsibility, which is set forth at 37 C.F.R. 10.20 et seq., and the USPTO Rules of
Director has the authority to approve Respondent's Affidavit for Consent Exclusion and
to exclude Respondent on consent from the practice of trademark and non-patent matters
1 The USPTO Code of Professional Responsibility applies to conduct prior to May 3, 2013, and
the USPTO Rules of Professional Conduct apply to conduct on or after May 3, 2013.
2
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 50 of 184
Exclusion that:
1. His consent is freely and voluntarily rendered, and he is not being subjected
to coercion or duress.
No. D2016-20) alleges that he violated the following Disciplinary Rules of the USPTO
3
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 51 of 184
4
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 52 of 184
5
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 53 of 184
6
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 54 of 184
7
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 55 of 184
8
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 56 of 184
9
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 57 of 184
10
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 58 of 184
11
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 59 of 184
12
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 60 of 184
13
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 61 of 184
14
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 62 of 184
15
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 63 of 184
16
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 64 of 184
17
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 65 of 184
18
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 66 of 184
3. Without admitting that he violated any of the Disciplinary Rules of the USPTO
Code of Professional Responsibility and/ or the Rules of Professional Conduct which are
that, if and when he applies for reinstatement to practice before the USPTO in trademark
or other non-patent matters under 37 C.F.R. 11.60, the OED Director will conclusively
19
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 67 of 184
presume, for the limited purpose of determining the application for reinstatement, that
(a) the allegations regarding him in the complaint filed in Proceeding No. D2016-20 are
true and (b) he could not have successfully defended himself against such allegations.
4. He has fully read and understands 37 C.F.R. 11.5(b), 11.27, 11.58, 11.59, and
11.60, and is fully aware of the legal and factual consequences of consenting to exclusion
Exclusion on Consent
Based on the foregoing, the USPTO Director has determined that Respondent's
Affidavit For Consent Exclusion complies with the requirements of 37 C.F.R. 11.27(a).
1. Respondent's Affidavit For Consent Exclusion shall be, and hereby is,
approved;
2. Respondent shall be, and hereby is, excluded on consent from practice
before the Office in trademark and non-patent matters commencing on the date of this
Final Order;
3. The OED Director shall electronically publish the Final Order at the Office
4. The OED Director shall publish a notice in the Official Gazette that is
20
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 68 of 184
21
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 69 of 184
22
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 70 of 184
While Mr. Swyers did not admit to violating any of the Disciplinary
Rules of the USPTO Code of Professional Responsibility or the
USPTO Rules of Professional Conduct as alleged in the pending
disciplinary complaint, he acknowledged that, if and when he
applies for reinstatement, the OED Director will conclusively
presume, for the limited purpose of determining the application for
reinstatement, that (i) the allegations set forth in the OED
investigation against him are true, and (ii) he could not have
successfully defended himself against such allegations.
23
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 71 of 184
6. Respondent shall comply fully with 37 C.F.R. 11.60 upon any request for
reinstatement.
~
David Shewchuk
Deputy General Counsel for General Law
'2~ 1~11
Date
20\ l
on behalf of
Michelle K. Lee
Under Secretary of Commerce for Intellectual Property and
Director of the United States Patent and Trademark Office
cc:
Danny M. Howell
Robert Jackson Martin IV
Anne M. Sterba
Law Office of Danny M. Howell, PLLC
2010 Corporate Ridge, Suite 700
Mclean, VA 22102
Counsel for Matthew H. Swyers
24
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 72 of 184
EXHIBIT I
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 73 of 184
In the Matter of )
)
Tracy W. Druce, )
) Proceeding No. D2014-13
Respondent )
)
FINAL ORDER
The Director of the Office of Enrollment and Discipline ("OED Director") for the United
States Patent and Trademark Office ("USPTO" or "Office") and Tracy W. Druce ("Respondent")
have submitted a Proposed Settlement Agreement ("Agreement") to the Under Secretary of
Commerce for Intellectual Property and Director of the United States Patent and Trademark
Office ("USPTO Director") for approval.
The Agreement, which resolves all disciplinary action by the USPTO arising from the
stipulated facts set forth below, is hereby approved. This Final Order sets forth the parties'
stipulated facts, legal conclusion, and agreed upon sanction.
Jurisdiction
2. The USPTO Director has jurisdiction over this matter pursuant to 35 U.S.C.
2(b)(2)(D) and 32 and37 C.F.R. 11.19 and 11.26.
Stipulated Facts
6. In 2005, Noval, Druce LLP became Novak, Druce & Quigg LLP.
8, At all relevant times, Respondent was responsible for the supervision of the
non-lawyer assistant.
9, From at least 2004 through 2006, the non-lawyer assistant submitted, with intent
to deceive, knowingly false statements to the Office in many patent applications that Respondent
was responsible for prosecuting on behalf of clients,
10, The non-lawyer assistant submitted the following types offalse statements to the
Office in patent applications that Respondent was responsible for prosecuting:
c, fabricating a United States Postal Service Express Mail label that falsely
represented a patent application had been mailed to the Office on a certain
date when, in fact, the application had never been sent to the Office; and
d, backdating certificates of mailing that falsely represented that papers had been
mailed to the Office weeks and/or months earlier than they actually had been
sent.
12, Additionally, the non-lawyer assistant electronically "cut and pasted" a digital
version of Respondent's signature and affixed it to papers filed with the Office in many patent
applications that Respondent was responsible for prosecuting on behalf of clients,
2
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 75 of 184
14. Respondent knew that the non-lawyer assistant had signed Respondent's name to
application papers submitted to the Office in many patent applications that Respondent was
responsible for prosecuting on behalf of clients.
16. Respondent represents that he did not know of the non-lawyer assistant's
misconduct described in paragraphs 9-12, above, and the non-lawyer assistant represents that he
acted alone and kept his misconduct secret from Respondent.
18. Previously, Respondent completed and returned to the OED Director the USPTO
Mandatory Survey (Form PTO 107S) issued under 37 C.F.R. 11.1 1(a)(2). Respondent
indicated on the survey that he did not wish to remain on the register of registered practitioners
(37 C.F.R. 11.5), and the OED Director removed Respondent from the register. Accordingly,
ptlrsuant to 37 C.F.R. 11.10(a), Respondent is not permitted to prosecute patent applications of
others before the Office or represent others in any proceedings before the Office unless and until
he is reinstated to the register.
19. Respondent aclmowledgeS' that, based on the above stipulated facts, he violated
37 C.F.R. 1O.77(c) (a practitioner shall not neglect a legal matter entrusted to the practitioner)
by not adequately supervising his non-lawyer assistant.
3
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 76 of 184
g. Respondent shall use his best efforts to identifY each patent application that
Respondent prosecuted before the Office at any time between January 1,2004,
and December 31, 2006, that meet all of the following three conditions:
i. For each present and former client(s) identified by Respondent pursuant to the
preceding subparagraph, Respondent shall provide each such present and former
client(s) with the following documents:
j. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
4
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 77 of 184
k. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent repres'ented in connection with
U.S. Patent Application No. _ o f the specific potentially false
statements described in ~ 15 of the April 10, 2014 declaration;
Application N 0._
1. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
of the specific potentially false statements described
in ~ 15 of the April! 0,2014 declaration;
m. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application No._ofthe specific potentially false statements described
in ~ 15 of the April 10, 2014 declaration;
n. Respondent shall also provide unambiguous written notification to the present and
former client(s) ~dent represented in connection with U.S. Patent
Application N o . _ of the specific potentially false statements described
in ~ 15 of the April 10, 2014 declaration;
o. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application No. _ o f the specific potentially false statements described
in ~ 15 of the April 10, 2014 declaration;
p. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application No._ofthe specific potentially false statements described
in ~ 16 of the April 10, 2014 declaration and the potential backdating of
certificates of mailing described in ~ 17 of the Apri110, 2014 declaration;
q. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application No. _ o f the potential backdating of certificates of mailing
described in ~ 17 of the April 10, 2014 declaration; ,
r. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
5
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 78 of 184
s, Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U,S, Patent
Application N o , _ o f t h e potential backdating of certificates of mailing
described in 'If 17 of the April 10, 2014 declaration;
t, Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in counection with U, S, Patent
Application N o , _ o f t h e potential backdating of certificates of mailing
described in 'If 17 of the Apri110, 2014 declaration;
u, Respondent shall also provide unambiguous written notification to the present and
fornier client(s) ~dent represented in connection with ofU,S, Patent
Application N o , _ o f t h e potential backdating of certificates of mailing
described in 'If 17 ofthe April 10, 2014 declaration;
v, Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U,S, Patent
Application No, _ o f the potential backdating of certificates of mailing
described in 'If 17 of the April 10, 2014 declaration;
w, Respondent shall also provide unambiguous written notification to the present and
former client(s) ~dent represented in counection with U,S, Patent
Application N o , _ of the potential backdating of certificates of mailing
described in 'If 17 ofthe April 10, 2014 declaration;
x, Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with ofU,S, Patent
Application No, _ o f the potential backdating of certificates of mailing
described in 'If 17 of the April 10, 2014 declaration; ,
y. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application No. _ o f the potential backdating of certificates of mailing
described in 'If 17 of the Apri110, 2014 declaration;
z. Respondent shall also provide unambiguous written notification to the present and
former client(s) that Respondent represented in connection with U.S. Patent
Application N o . _ o f t h e potential backdating of certificates of mailing
described in 'If 17 of the Apri110, 2014 declaration;3 ,
3 The patent application serial number identified in ~ 14 of the Apri110, 2014 declaration as
' _ ' is incorrect. The correct serial number i s _
6
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 79 of 184
aa. Respondent shall also provide unambiguous written notification to the present and
former client(s) ~dent represented in connection with U.S. Patent
Application N o . _ o f t h e potential backdating of certificates of mailing
described in ~ 17 of the April 10, 2014 declaration;
bb. Within 120 days of the day that the Final Order is signed, Respondent shall
submit the following to the OED Director: (1) an affidavit or declaration attesting
to his compliance with the terms of this Agreement and the Final Order for
notifying present and former client(s) as set forth in subparagraphs i. through aa.,
above, and (2) a copy of the correspondence to clients, including the written
notifications transmitted to the current and former client(s), evidencing his
compliance with the terms of this Agreement and the Final Order for notifying
present and former client(s); the client correspondence provided to the OED in
accordance with this subparagraph shall be marked "CONFIDENTIAL" by the
Respondent, and the OED shall keep the correspondence confidential;
cc. (1) lfthe OED Director is of the good faith opinion that Respondent, during
Respondent's probationary period, failed to comply with any provision of the
Agreement, this Final Order, or any provision of the USPTO Rules of
Professional Conduct, the OED Director shall:
(2) In the event that after the 3 O-day period for response and consideration of the
response, if any, received from Respondent, the OED Director continues to be of
the opinionthat Respondent, during Respondent's probationary period, failed to
comply with any provision of the Agreement, this Final Order, or any provision of
the USPTO Rilles of Professional Conduct, the OED Director shall:
(A) Deliver to the USPTO Director: (i) the Order to Show Cause;
(ii) Respondent's response to the Order to Show Cause, if any; and
(iii) argument and evidence causing the OED Director to be of the opinion that
Respondent, during Respondent's probationary period, failed to comply with
any provision of the Agreement, Final Order, or any provision of the USPTO
Rules of Professional Conduct; and
7
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 80 of 184
dd. Nothing herein shall prevent the OED Director from seeking discipline for the
misconduct leading to Respondent's suspension pursuant to the preceding
subparagraph;
ee. In the event the USPTO Director suspends Respondent pursuant to subparagraph
cc., above, and Respondent seeks a review of the suspension, any such review of
the suspension shall not operate to postpone or otherwise hold in abeyance the
suspension;
ff. The OED Director shall comply with 37 C.F.R. 11.59 exceptthat.
and all patent application serial numbers shall be redacted
from the Final Order.
gg. The OED Director shall electronically publish the Final Order at the Office of
Enrollment and Discipline's electronic ForA Reading Room, which is publicly
accessible at http://e-foia.uspto. govlFoialOEDReadingRoom.jsp;
hh. The OED Director shall publish a notice in the Official Gazette that is materially
consistent with the following:
Notice of Discipline
8
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 81 of 184
Mr. Druce represents that he did not have actual knowledge of the
non-lawyer assistant's false submissions to the Office, and the non-
lawyer assistant represents that he acted alone and kept his misconduct
secret from Mr. Druce.
ii. Nothing in this Agreement or the Final Order approving this Agreement shall
prevent the Office from considering the record of this disciplinary proceeding (1)
when addressing any further complaint or evidence of the same or similar
misconduct concerning Respondent brought to the attention of the Office; andlor
(2) in any future disciplinary proceeding against Respondent (a) as an aggravating
factor to be taken into consideration in determining any discipline to be imposed
andlor (b) to rebut any statement or representation by or on Respondent's behalf;
jj. The OED Director shall file a motion with the administrative law judge requesting
the dismissal of the pending disciplinary proceeding within fourteen (14) days of
the date ofthe Final Order; and
9
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 82 of 184
Ide The OED Director and Respondent shall each bear their own costs incurred to date
and in carrying out the terms of this Agreement and the Final Order.
SEP - 5 20H
Wi JAMES O. PAYNE Date
Deputy General Counsel for General Law
United States Patent and Trademark Office
on behalf of
Christopher Man
Chadbourne & Parke LLP
1200 New Hampshire Ave N.W., Washington, DC 20036
Respondent's Counsel
10
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 83 of 184
EXHIBIT J
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 84 of 184
FINAL ORDER
Pursuant to 37 C.F.R. l1.27(b), the Director of the United States Patent and Trademark
Office ("USPTO" or "Office") received for review and approval from the Director of the
submitted the affidavit to the USPTO for the purpose of being excluded on consent pursuant to
37 C.F.R. 11.27.
For the reasons set forth herein, Respondent's Affidavit of Resignation shall be approved
and Respondent shall be excluded on consent from practice before the Office in patent,
trademark, and other non-patent matters commencing on the date of this Final Order.
Jurisdiction
Respondent of San Jose, California, is a registered patent attorney (Reg. No. 26,344) and
Pursuant to 35 U.S.C. 2(b)(2)(D) and 32 and 37 C.F.R. 11.27, the USPTO Director
has the authority to approve Respondent's Affidavit of Resignation and to exclude Respondent
on consent from practice before the Office in patent, trademark, and other non-patent matters
I. His consent is freely and voluntarily rendered, and he is not being subjected to
coercion or duress.
that he violated the USPTO Rules of Professional Conduct, namely: OED File No. G2239. The
a. By Final Order dated April 12, 2013, Respondent was suspended for five years
from the practice of patent, trademark and other non-patent matters before the
USPTO for neglecting patent matters by allowing patents to expire for not timely
paying maintenance fees, fora failing to inform clients of important USPTO
correspondence and giving misleading information to clients about the status of
their patents. He also failed to conduct an inquiry reasonable under the
circumstances prior to signing and filing certain submissions with the USPTO;
b. By Final Order dated April 12,2013, Respondent was granted limited recognition
to practice before the USPTO commencing on the date the Final Order and
expiring thirty (30) days after the date the Final Order is signed, with such limited
recognition being granted for the sole purpose of facilitating Respondent's
compliance with the provisions of37 C.F.R. 11.58(b).
d. Respondent did not inform his clients or the trademark examiner in U.S.
Trademark application nos. 85/906,074 and 85/906,085 that he was not authorized
to represent the clients before the USPTO.
3. He is aware that the disciplinary complaint pending against him alleges that he
2
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 86 of 184
Respondent acknowledges that, if and when he applies for reinstatement under 37 C.F.R.
11.60, the OED Director will conclusively presume, for the purpose of determining the
application for reinstatement, that (a) the allegations set forth in OED File No. G2239 and
USPTO disciplinary proceeding D2014-22 are true and (b) he could not have successfully
5. Respondent has fully read and understands 37 C.F.R. I 1.5 (b), 11.27,
11.58, 11.59, and 11.60, and is fully aware of the legal and factual consequences of
consenting to exclusion from practice before the USPTO in patent, trademark, and other
non-patent matters.
Exclusion on Consent
Based on the foregoing, the USPTO Director has determined that Respondent's
Affidavit of Resignation complies with the requirements of37 C.F.R. 11.27(a). Hence, it
is ORDERED that:
b. Respondent shall be, and hereby is, excluded on consent from practice before
3
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 87 of 184
the Office in patent, trademark, and other non-patent matters commencing on the date of this
Final Order;
c. The OED Director shall electronically publish this Final Order at the Office
of Emollment and Discipline's electronic ForA Reading Room, which is publicly accessible
at http://e-foia.uspto.govlFoialOEDReadingRoom.jsp;
d. The OED Director shall publish the following notice in the Official
Gazette:
4
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 88 of 184
While Mr. Tachner did not admit to any ofthe allegations at issue in the
pending disciplinary investigation or to violating any of the Disciplinary Rules
of the USPTO Code of Professional Conduct, he acknowledged that, if and
when he applies for reinstatement, the OED Director will conclusively
presume, for the purpose of determining the application for reinstatement, that
(i) the allegations set forth in OED File No. G2239 and USPTO disciplinary
proceeding D2014-22 are true, and (ii) he could not have successfully
defended himself against such allegations.
g. Respondent shall comply with 37 C.F.R. 11.60 upon any request for
reinstatement;
h. The OED Director and Respondent shall bear their own costs incurred to date;
and
5
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 89 of 184
JUN 3 0 2014
Date SO. PAYNE
epu y General Counsel for General Law
it States Patent and Trademark Office
'oJ
on behalf of
Michelle K. Lee
Deputy Under Secretary of Commerce for Intellectual
Property and Deputy Director of the United States Patent and
Trademark Office
cc:
Cameron Weiffenbach
Miles & Stockbridge, P.C.
1751 Pinnacle Drive, Suite 500
McLean, Virginia 22102
Respondent's counsel
6
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 90 of 184
EXHIBIT K
12/12/2017 Avvo, LegalZoom,
Case 5:17-cv-07194-NC DocumentRocket 1-1
LawyerFiled
Declared Off-Limits | Law.com
12/19/17 Page 91 of 184
Menu Search (/search/) (/) Sign In (https://store.law.com/Registration/Lo
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(http://www.almreprints.com)
(http://images.law.com/contrib/content/uploads/sites/292/2017/06/Josh-King-Article-
201706211757.jpg) Josh King is a Vice President, Business Development and General Counsel at
Avvo, Inc. HANDOUT.
A joint opinion by three New Jersey Supreme Court committees has blacklisted three Trending Stories
web-based services that match litigants with attorneys because of concerns over 1 Here Are The Ten Highest Paid
illicit fee-sharing and referral fees. Female GCs In The U.S.
(/corpcounsel/sites/corpcounsel/2017/12/05/here-
Avvo facilitates improper fee-splitting, while LegalZoom and Rocket Lawyer operate are-the-ten-highest-paid-
female-gcs-in-the-u-s/)
legal service plans that arent registered with the judiciary, according to the June 21
CORPORATE COUNSEL
opinion, issued by the Advisory Committee on Professional Ethics, the Committee on (/CORPCOUNSEL/)
Attorney Advertising and the Committee on the Unauthorized Practice of Law.
2 Mostly White and Male:
Diversity Still Lags Among
The opinion decrees that New Jersey lawyers may not participate in the Avvo legal SCOTUS Law Clerks
(/nationallawjournal/sites/nationallawjournal/2017/12/
service programs because the programs improperly require the lawyer to share a white-and-male-diversity-still-
legal fee with a nonlawyer in violation of Rule of Professional Conduct 5.4(a), and pay lags-among-scotus-law-
clerks/)
an impermissible referral fee in violation of Rule of Professional Conduct 7.2(c) and
NATIONAL LAW JOURNAL
7.3(d). (/NATIONALLAWJOURNAL/)
It adds: The Committees further nd that LegalZoom and Rocket Lawyer appear to 3 Boutiques Aim to 'Blow the
operate legal service plans through their websites but New Jersey lawyers may not Lid O ' With Associate
Bonuses
participate in these plans because they are not registered with the Administrative (/americanlawyer/sites/americanlawyer/2017/12/11/bo
O ce of the Courts in accordance with Rule of Professional Conduct 7.3(e)(4)(vii). aim-to-blow-the-lid-o -with-
associate-bonuses/)
All three companies have defended their services. THE AMERICAN LAWYER
(/AMERICANLAWYER/)
The New Jersey State Bar Association sent an inquiry to the ACPE, asking whether
lawyers may participate in certain online, non-layer, corporately owned services, 4 Georgia Supreme Court
Disbars 1, Accepts 1 License,
and named Avvo, LegalZoom and Rocket Lawyer speci cally. Suspends 1
(/dailyreportonline/sites/dailyreportonline/2017/12/11/g
According to the opinion, Avvo o ers Avvo Advisorthrough which customers buy supreme-court-disbars-1-
15-minute phone conversations with a lawyer for a $40 at rate, of which Avvo keeps accepts-1-license-suspends-1/)
DAILY REPORT ONLINE
a $10 marketing feeand Avvo Legal Services, which allows customers to pay at
(/DAILYREPORTONLINE/)
fees to Avvo for legal services provided by a liated lawyers, after which Avvo pays
the lawyer but keeps a marketing fee. 5
https://www.law.com/sites/almstaff/2017/06/22/avvo-legalzoom-rocket-lawyer-declared-off-limits/ 1/4
12/12/2017 Avvo, LegalZoom,
Case 5:17-cv-07194-NC DocumentRocket 1-1
LawyerFiled
Declared Off-Limits | Law.com
12/19/17 Page 92 of 184
LegalZoom o ers a monthly subscription to legal services for a at fee, through Energy Bankruptcies Leave
Some Law Firms Idling
Business Advantage Pro and Legal Advantage Plus, through which customers get (/americanlawyer/sites/americanlawyer/2017/12/08/en
30-minute phone consultations with lawyers of their choosing, or the rst available bankruptcies-leave-some-law-
rms-looking-forlorn/)
lawyer. Lawyers do not pay to participate in LegalZoom, and LegalZoom keeps its
THE AMERICAN LAWYER
subscription fees, the committees said. (/AMERICANLAWYER/)
Rocket Lawyer, which o ers limited legal advice on document-related matters and
a free 30-minute phone consultation, does not take payments from lawyers to join
though the lawyers agree to o er a discounted fee for additional servicesand
does not share its subscription fees with the lawyers, according to the opinion.
LegalZoom and Rocket Lawyers services appear to be legal service plans, which are
permissible under RPC 7.3(e)(4), but as of the date of this Joint Opinion neither
organization has registered a legal service plan with the Administrative O ce of the
Courts, the committees said.
The Avvo plans have a di erent problem, according to the opinion: They are pay-for-
service plans, and the companys business model violates RPC 5.4(a), which
prohibits fee-sharing.
The participating lawyer receives the set price for the legal service provided, then
pays a portion of that amount to Avvo, the committee said. The label Avvo assigns
to this payment (marketing fee) does not determine the purpose of the fee. Here,
lawyers pay a portion of the legal fee earned to a nonlawyer; this is impermissible
fee sharing.
The committees found that the LegalZoom and Rocket Lawyer models do not violate
the fee-sharing stricture.
The opinion also holds that marketing fees lawyers pay to Avvo are not for
advertising but amount to an impermissible referral fee by the de nition contained
in RPCs 7.2(c) and 7.3(d).
When the lawyers pay a fee to the company based on the retention of the lawyer by
the client or the establishment of an attorney-client relationship, the answer to the
inquiry is simple: the company operates an impermissible referral service, the
committees said.
On the bright side for Avvo, the committees did nd that its model does not unduly
interfere with a lawyers professional judgment in violation of Rule of Professional
Conduct 5.4(c) by limiting the scope of representation.
Avvo does not insert itself into the legal consultation in a manner that would
interfere with the lawyers professional judgment, they said. As for LegalZoom and
Rocket Lawyer, Inquirer suggested that lawyers may be constricted in the service
they provide for clients in the limited phone consultations. Again, however, this is the
nature of legal service plans.
The committees also found that Avvos practice of holding the lawyers fee until the
service is provided violates an attorneys requirement to maintain a registered trust
account per Rule 1:28(a)-2.
Avvo submitted a response contending that it wasnt giving referrals and its
marketing fee is a separate transactionmeaning that it doesnt amount to fee-
sharing. The company also claimed to be serving a public purpose of improving
access to legal services, according to the opinion.
The opinion also dispensed with the notion that Avvo is engaged in commercial
speech thats protected by the First Amendment.
The committees noted that Avvos business model has been found to violate ethics
standards in Pennsylvania, South Carolina and Ohio.
Rocket Lawyer, too, submitted a response, stating that the actual legal services are
provided by independent lawyers, who are paid an undisclosed sum by Rocket
Lawyer for participation in the Q&A Service, according to the opinion.
https://www.law.com/sites/almstaff/2017/06/22/avvo-legalzoom-rocket-lawyer-declared-off-limits/ 2/4
12/12/2017 Avvo, LegalZoom,
Case 5:17-cv-07194-NC DocumentRocket 1-1
LawyerFiled
Declared Off-Limits | Law.com
12/19/17 Page 93 of 184
Avvo Chief Legal O cer Josh King said in a statement that the company is happy the
Committees concluded that Avvo Legal Services doesnt interfere with the
independent professional judgment of lawyers, but disappointed that the
Committees focused solely on mechanistic application of the rules rather than what
the law requires: consumer protection and respect for the First Amendment.
He added: Avvo is attempting to address the pressing need for greater consumer
access to justice, and we will continue to do so despite this advisory opinion.
NJSBA President Robert Hille issued a statement saying the association has in recent
years frequently expressed concern about the growing number of organizations that
have sought to open the door to fee sharing, which could interfere with a lawyers
independent professional judgement.
The NJSBA sent the inquiry since many of our colleagues have taken advantage of
the services some companies o er, without a thorough vetting of how they comport
with the ethics rules, added Hille, of McElroy, Deutsch, Mulvaney & Carpenter in
Morristown. The association will continue to monitor developments as these issues
evolve and will provide guidance to its members.
The opinion was accompanied by a notice to the bar, which included an appendix
listing 46 legal service plans that are registered in the state, including plans o ered
through labor unions, government entities and corporations.
Dig Deeper
Litigation (/topics/litigation/)
https://www.law.com/sites/almstaff/2017/06/22/avvo-legalzoom-rocket-lawyer-declared-off-limits/ 3/4
12/12/2017 Avvo, LegalZoom,
Case 5:17-cv-07194-NC DocumentRocket 1-1
LawyerFiled
Declared Off-Limits | Law.com
12/19/17 Page 94 of 184
(/delbizcourt/sites/delbizcourt/2017/12/11/bouchard-
tosses-challenge-to-con icted-nrg-
stock-reclassi cation/)
TOM MCPARLAND
(/THELEGALINTELLIGENCER/AUTHOR/PROFILE/TOM
MCPARLAND/) | DECEMBER 11, 2017
Resources
How to Manage the Modern Global Law Department
(http://corpcounsel.tradepub.com/free/w_thoc66/prgm
FROM THOMSON REUTERS
Is your law department ready to go global? This article provides evaluations and solutions for management to e ectively
prepare their team to handle the challenges of a global law department.
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12/14/2017 How LegalZoom
Case 5:17-cv-07194-NC Provides Businesses
Document 1-1 FiledWith Affordable
12/19/17 Legal Page
Assistance
108 of 184
/ Tech / #CuttingEdge
OCT 9, 2017 @ 12:30 PM 1,240
When you are running a business, it can be a challenge to handle some of the nitty
gritty details such as filing trademarks and handling copyright protections.
LegalZoom simplifies those processes by providing legal help and services for only
$300 per year, depending on your legal plan.
By providing substantial value at a low cost, LegalZoom CEO John Suh told me that
nearly 4 million small businesses and families have trusted the company since it
launched in 1999. And LegalZoom is the largest former of small businesses, the
largest filer of trademarks at 250,000+ and the companys network of independent
attorneys can provide advice in all 50 states. Plus LegalZoom owns a law firm in the
U.K. with over 200 employees.
https://www.forbes.com/sites/amitchowdhry/2017/10/09/how-legalzoom-provides-businesses-with-affordable-legal-assistance/#2a33959432de 1/4
12/14/2017 How LegalZoom
Case 5:17-cv-07194-NC Provides Businesses
Document 1-1 FiledWith Affordable
12/19/17 Legal Page
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LegalZoom
https://www.forbes.com/sites/amitchowdhry/2017/10/09/how-legalzoom-provides-businesses-with-affordable-legal-assistance/#2a33959432de 2/4
12/14/2017 How LegalZoom
Case 5:17-cv-07194-NC Provides Businesses
Document 1-1 FiledWith Affordable
12/19/17 Legal Page
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110 of 184
LegalZoom CEO John Suh
Suh said that LegalZoom was founded on the principle that access to quality legal
help is a basic fundamental right. Suh told me that the majority of Americans have
a doctor they can turn to when life throws them a curve ball. However, only the top
5% of small business owners or families have a law firm that they can reach out to at
a moments notice. We believe in a world where everyone has a trusted lawyer,
someone who can not only handle the unexpected but proactively help to protect the
things people value the most, said Suh in an interview.
LegalZoom started with only $1 million in angel funding. Im most proud of the
human potential weve been able to unlock within our team of Zoomers. Weve
created a team focused on continuous learning, and we execute with a creative,
strategic mindset. Realizing that evolution is a collaborative effort and minimizing
fear of failure has allowed us to be nimble in an industry known for stagnancy,
added Suh in the interview.
Suh described himself as a supply chain geek, who has been fascinated by how
technology would transform manufacturing and distribution across many
industries. Over the last 20 years, Suh has run Internet companies that had
interesting supply chain approaches to the fashion, consumer electronics, and legal
industries. Prior to heading up LegalZoom, Suh was the CEO of the Internet division
of Li and Fung called StudioDirect. And before that, he co-founded and worked as
CEO of Castling Group.
Recommended by Forbes
Three Things To Consider Before Using
Top 5 Digital Transformation Trends In Legal Legal Templat...
LegalZoom Customers
I asked Suh if he could share any interesting stories about LegalZoom customers. A
couple of customers that came to mind included GORUCK and ChiLantro.
GORUCK is a rugged backpack brand and ChiLantro Korean Mexican fusion mobile
truck company.
https://www.forbes.com/sites/amitchowdhry/2017/10/09/how-legalzoom-provides-businesses-with-affordable-legal-assistance/#2a33959432de 3/4
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111 of 184
GORUCK was started by a former 10th Special Forces staff sergeant named Jason
McCarthy. McCarthy was unemployed, nearly broke, recently divorced and was
having a hard time adapting to civilian life. McCarthy said that the only thing
keeping him going was Java, his chocolate Labrador dog. When McCarthy thought
about the heavy-duty survival packs that his fellow soldiers carried around in Iraq as
an exercise called rucking, a lightbulb in his head turned on. McCarthy founded
GORUCK and turned to LegalZoom for legal help. GORUCK pulled in total revenues
of $15 million in equipment sales and live events last year. And McCarthy now gives
back to the military community by hiring veterans at GORUCK and his nonprofit
Java Forever in memory of his first chocolate lab dog.
ChiLantro was founded by Jae Kim, who immigrated from Seoul to the U.S. at age
12. As of seven years ago, Jim had $30,000 in savings and a maxed out credit card.
With his savings, he decided to purchase a food truck and established a Korean
Mexican fusion mobile truck company called Chi'Lantro. As the son of a single
mother, Kim often spent time cooking while he mom was at work. To launch his
company, Kim turned to LegalZoom to help set up an LLC. Even though Chi'Lantro
had a slow start in Austin, Texas, he was able to raise $600,000 from Barbara
Corcoran on the TV show Shark Tank. Now ChiLantro has 4 locations in Austin,
Texas and there are plans to expand in Dallas, Houston and San Antonio.
We literally have millions of conversations each year with small business owners.
Drive and passion are recurring themes. Business owners want to take care of legal
matters quickly and efficiently so they can get back to the all-consuming job of
running their business, explained Suh.
What are your thoughts about LegalZoom? Have you utilized their services before?
Please leave a comment!
https://www.forbes.com/sites/amitchowdhry/2017/10/09/how-legalzoom-provides-businesses-with-affordable-legal-assistance/#2a33959432de 4/4
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 112 of 184
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EXHIBIT R
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 128 of 184
se 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 129 of 1
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 130 of 184
EXHIBIT S
12/1/2017 Attorney-Led
Case Trademark RegistrationDocument
5:17-cv-07194-NC - Register a Trademark and File12/19/17
1-1 Filed Your Trademark Application
Page 131Online | LegalZoom
of 184
Customer Care: (855) 525-3087
Starting Your Business Running Your Business Wills & Trusts Personal & Family
Here's why
It's about a proven record It's about a united effort It's about your rights
With an attorney's legal knowledge and about a We're in this together. Your trademark team will be You owe it to yourself. With a registered trademark,
quarter-million trademark applications under our belt, there for you during the trademark search, filing, and you'll have rights to use and protect it across the U.S.
you have experience on your side. monitoring phases.
Here's how
Tell us about your goals Review your application Get the support you need
We'll contact you to learn more about your product or Once an attorney has reviewed your information and Your team will be there to answer your questions,
service and then begin a comprehensive trademark prepared your trademark application, he/she will send monitor the progress of your application, and take
search of other U.S. marks that might pose a conflict. it to you to approve. action when necessary.
Attorney-Led
Trademark Registration
$
799*
+ government filing fee**
Package Details:
Trademark consultation
https://www.legalzoom.com/business/intellectual-property/trademark-registration-overview-a.html?gclid=CIr1w9_u7s4CFVRwvAodJXsEHQ 1/2
12/1/2017 Attorney-Led
Case Trademark RegistrationDocument
5:17-cv-07194-NC - Register a Trademark and File12/19/17
1-1 Filed Your Trademark Application
Page 132Online | LegalZoom
of 184
Start my trademark application
*
Price includes one class. Search fees for additional classes will apply. Your attorney can advise whether additional classes are recommended.
**
Consists of the government discounted TEAS RF electronic filing fee of $275. If the stricter "TEAS Plus" system can be used for your application, you will be refunded $50 to account for
the lower filing fee of $225. The USPTO may later charge a $125 fee should you choose not to communicate with them electronically or otherwise do not meet the requirements of the
discounted TEAS RF or TEAS Plus filing requirements.
ATTORNEY ADVERTISEMENT: This portion of the LegalZoom website is an advertisement for legal services. LegalZoom does not endorse or recommend any lawyer or law firm who
advertises on our site. The law firm responsible for this advertisement is LegalZoom Legal Services Ltd. LegalZoom Legal Services Ltd. is authorized and regulated by the Solicitors
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https://www.legalzoom.com/business/intellectual-property/trademark-registration-overview-a.html?gclid=CIr1w9_u7s4CFVRwvAodJXsEHQ 2/2
12/12/2017 Attorney-Led
Case Trademark Registration
5:17-cv-07194-NC - Register a Trademark
Document and File
1-1 Filed Your Trademark
12/19/17 Application
Page 133 Online | LegalZoom
of 184
Here's why
It's about a proven record It's about a united effort It's about your rights
With an attorney's legal knowledge and about We're in this together. Your trademark team will You owe it to yourself. With a registered
a quarter-million trademark applications under be there for you during the trademark search, trademark, you'll have rights to use and protect
our belt, you have experience on your side. filing, and monitoring phases. it across the U.S.
Here's how
https://www.legalzoom.com/business/intellectual-property/trademark-registration-overview-c.html?utm_source=abandoner&utm_medium=email&utm_c 1/4
12/12/2017 Attorney-Led
Case Trademark Registration
5:17-cv-07194-NC - Register a Trademark
Document and File
1-1 Filed Your Trademark
12/19/17 Application
Page 134 Online | LegalZoom
of 184
Tell us about your goals Review your application Get the support you need
We'll contact you to learn more about your Once an attorney has reviewed your Your team will be there to answer your
product or service and then begin a information and prepared your trademark questions, monitor the progress of your
comprehensive trademark search of other U.S. application, he/she will send it to you to application, and take action when necessary.
marks that might pose a conflict. approve.
Attorney-Led
Trademark Registration
$
599*
+ government filing fee**
Package Details:
Trademark consultation
*
Price includes one class. Search fees for additional classes will apply. Your attorney can advise whether additional classes are recommended.
**
Consists of the government discounted TEAS RF electronic filing fee of $275. If the stricter "TEAS Plus" system can be used for your application, you will be
refunded $50 to account for the lower filing fee of $225. The USPTO may later charge a $125 fee should you choose not to communicate with them electronically or
otherwise do not meet the requirements of the discounted TEAS RF or TEAS Plus filing requirements.
ATTORNEY ADVERTISEMENT: This portion of the LegalZoom website is an advertisement for legal services. LegalZoom does not endorse or recommend any
lawyer or law firm who advertises on our site. The law firm responsible for this advertisement is LegalZoom Legal Services Ltd. LegalZoom Legal Services Ltd. is
authorized and regulated by the Solicitors Regulation Authority. SRA ID 617803. LegalZoom Legal Services Ltd. is a subsidiary of LegalZoom.com, Inc.
Get helpful tips and info from our newsletter! your email address view our current issue...
An offer of membership in our legal plan is not an endorsement or advertisement for any individual attorney. The legal plan is available in
most states.
https://www.legalzoom.com/business/intellectual-property/trademark-registration-overview-c.html?utm_source=abandoner&utm_medium=email&utm_c 3/4
Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 136 of 184
EXHIBIT T
12/1/2017 Do You
Case 5:17-cv-07194-NC Need a Lawyer1-1
Document to FileFiled
a Trademark? | LegalZoom
12/19/17 Page 137 of 184
You can search for existing trademarks and prepare and file a trademark application using
online tools on the U.S. Patent and Trademark Office (USPTO) website or through another
online trademark servicewithout the assistance of a lawyer.
While the application process can be done on your own, there are certain procedures and
formatting requirements that you must follow, and you must choose the correct filing basis
and description for your products or services. If your application is not prepared properly, it
may be refused or delayed.
In some instances, it is a good idea to consult with a lawyer, either before, during or after the
trademark registration process. Reasons to contact a lawyer include:
You have conducted a trademark search and are concerned that there might be a
likelihood of confusion between your mark and another mark that is already registered or
for which there is a pending registration application. A trademark lawyer can advise you
on the chances that your trademark application will be refused due to confusion with the
competing mark or can help you revise your application so it will be more likely to gain
approval.
You have questions about trademarks or trademark registration that are not answered by
the USPTO website or other online resources.
You anticipate filing foreign trademarks as well as a U.S. trademark and you want
assistance from someone with expertise in foreign trademark laws.
You believe that someone else is using your trademark without your permission.
Trademark owners are responsible for enforcing their trademarks. Failure to protect your
trademark can lead to assumptions that the owner has abandoned the mark or consented,
even informally, to its misuse. A lawyer can explain your rights and advise you on how to
respond to a possible infringement and, if necessary, file a lawsuit on your behalf.
Want toaccused
You are protect your big
of trademark idea? We
infringement. can
Often, anshow you
accusation willbest practices.
come in the form of
a cease and desist letter asking you to stop using the mark and threatening legal action if
you do not. A lawyer can evaluate the letter and advise you on how to respond.
EMAIL ADDRESS
https://www.legalzoom.com/articles/do-you-need-a-lawyer-to-file-a-trademark 1/4
12/1/2017 Do You
Case 5:17-cv-07194-NC Need a Lawyer1-1
Document to FileFiled
a Trademark? | LegalZoom
12/19/17 Page 138 of 184
If you do decide to hire a lawyer, you should look for someone who has experience
conducting and evaluating trademark searches, filing applications with the USPTO, and
enforcing trademark rights. Finding an attorney who has worked on trademarks in your
particular industry may also be important, as there may be industry-specific knowledge that
will help your application get accepted more easily. You will also want to make sure that the
attorney will be the one handling your application, and that they wont be passing it off to a
paralegal.
In searching for a trademark attorney, you may come across businesses that offer services
for trademark applications that are less expensive. However, it is highly advised that you hire
a licensed attorney, as she will be more knowledgeable regarding trademark laws.
The USPTO does not recommend attorneys or provide lists of attorneys. Your local bar
association may have a directory of attorneys or a lawyer referral service that can help you
find a lawyer with expertise in trademark matters.
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2015
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EXHIBIT U
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12/1/2017 LegalZoomDocument
Case 5:17-cv-07194-NC | Trademark Registration
1-1 Filed & Trademark Search Services
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Trademark Registration
Or contact us
We've done this a thousand times (about 220,000 times, actually), and have crafted a questionnaire to
help make the application process easier for you.
We know where to go
Once your application is done, well get it into the right hands at the U.S. Patent & Trademark Office, so
all you have to do is wait for their response.
What is a trademark?
A trademark typically protects names, words, slogans and symbols that identify a business or brand and distinguishes it
from others. Trademarks include brand names such as "Coca-Cola" and symbols such as Nike's famous "swoosh."
Learn more
Federal registration provides several advantages, including giving you a legal presumption of ownership and exclusive
rights to use the mark nationwide in connection with your goods or services. It also gives you the right to bring a federal suit
against anyone who may be infringing on your mark, and allows you to use the coveted symbol.
Learn more
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How it works
For a more detailed view of the trademark process, and details on government processing times, click here.
3. Once documents are signed, we file your application with the USPTO.
Basic
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Filing
We file your trademark application with the U.S. Patent and T rademark Office
(USPTO)
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We perform a basic federal direct-hit search of the federal trademark database for direct conflicts with
your trademark
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What's the difference between a copyright and a trademark?
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Apply for T rademark Registration with LegalZoom
A federally registered trademark can protect your brand nationwide. By trademarking a business name , logo,
company phrase or other slogan with the U.S. Patent and Trademark Office (USPTO), you establish a legal
presumption of ownership and an exclusive right to use the trademark nationwide. Federal trademark
registration lists your trademark in the USPTOs online databases and allows you to use the symbol, which
essentially notifies the public that you own the trademark. Trademark registration also allows the trademark
owner to bring action against infringers in federal court. In just a few simple steps, LegalZoom can help you create
and file a trademark application with the USPTO. The process begins by answering a few questions and
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 150 of 184
EXHIBIT V
11/30/2017 Trademark PricingDocument
Case 5:17-cv-07194-NC Packages - Trademark Application
1-1 Filed Fees and Costs
12/19/17 Page| LegalZoom
151 of 184
Customer Care: (866) 679-2106
Starting Your Business Running Your Business Wills & Trusts Personal & Family
Unlike simple do-it-yourself forms, LegalZoom provides a personal review of your work for completeness and
You get lifetime customer support and our 100% satisfaction guarantee consistency
. after you create your document through the LegalZip system.* Along
Bestwith a series of automated
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checks, our document scriveners personally review the answers you provide for the following**:
Compare our Complete information. We'll contact you by phone and email regarding any missing information.
Basic Complete Coverage
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checkers. package
Trademark Registration Spelling and punctuation. We do not rely solely on software spell
Full names. We verify that full names are given (first and last) and that all names appear consistently
Filing of trademark application with the United throughout the document.
States Patent and T rademark Office (USPT O)
* Not available in Missouri
A basic federal direct-hit search of the federal ** Not all products are checked for all elements. Trademark art, for example, often includes different spelling,
trademark database for direct conflicts with capitalization, abbreviations, etc. that are intentional. So for this product, these elements would not be reviewed.
your trademark 2 (a $75.00 value) or a discount
on our Comprehensive T rademark Search
Package
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1-1 Application Fees and Costs
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Starting Your Business Running Your Business Wills & Trusts Personal & Family
No matter which option you choose, Trademark with Attorney Help Trademark
you'll always have our support: Flat fee Starts at
$599 $199
+ federal filing fee1 + federal filing fee2
Before filing
Trademark Search
Your search will look for possible conflicts that affect your Comprehensive search Basic search
ability to register your trademark ($299 value) ($75 value)
Trademark Paperwork
Youll get a digital copy of your application for your records
Trademark Consultations
You'll speak with a trademark specialist and independent ($299 value)
trademark attorney who will discuss your trademark with you
before completing and filing your application with the USPTO
After filing
How it works
1 2 3 4
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Well perform a trademark search Need more help?
Searching for marks that may be similar to yours is important. When you select our trademark service with attorney help, you
Knowing how to interpret the results is even more so. We have get a comprehensive search and your trademark attorney will
basic and comprehensive search options so you can see if there analyze the results and advise on what to do next. If the attorney
are any pre-existing marks that could lead to the denial of your discovers any direct conflicts, another search on a new or
application or other legal issues. different mark is included.
1
Consists of the government discounted TEAS RF electronic filing fee of $275. If the stricter "TEAS Plus" system can be used for your application, you will be refunded $50 to account for the lower
filing fee of $225. The USPTO may later charge a $125 fee should you choose not to communicate with them electronically or otherwise do not meet the requirements of the discounted TEAS RF or
TEAS Plus filing requirements.
2
Consists of the government discounted TEAS RF electronic filing fee of $275. If the stricter "TEAS Plus" system can be used for your application, LegalZoom will use this system. The TEAS Plus system streamlines
the U.S. Patent and Trademark Office (USPTO) review process and has a lower filing fee of $225, but requires additional LegalZoom labor to process. If the TEAS Plus system can be used for your application,
LegalZoom will still charge $275, of which $225 will be allocated to the USPTO fee and $50 to a LegalZoom processing fee. The USPTO may later charge a $125 fee should you choose not to communicate with them
electronically or otherwise meet the requirements of the discounted TEAS RF or TEAS Plus filing fees.
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firms responsible for this advertisement are LegalZoom Legal Services Ltd. and Dunlap Bennett & Ludwig PLLC. LegalZoom Legal Services Ltd. is authorized and regulated by the Solicitors Regulation Authority. SRA ID
617803. LegalZoom Legal Services Ltd. is a subsidiary of LegalZoom.com, Inc.
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 154 of 184
EXHIBIT W
12/12/2017 Case 5:17-cv-07194-NCTrademark/Service
Document Mark 1-1Application, Principal Register
Filed 12/19/17 Page 155 of 184
United States Patent and Tr ademar k Office
Tr ademar k Electronic Application System - TEAS Application
Under the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless it displays a valid OMB control number.
PTO Form 1478 (Rev 09/2006)
OMB No. 0651-0009 (Exp. 02/28/2018)
On Tue Dec 12 15:31:07 EST 2017 You completed all mandator y fields and successfully validated the for m. It has NOT been filed to the USPTO at this
point. Please complete all steps below to submit the application.
Note: It is important that you review this information for accuracy and completeness now. Corrections after submission may not be permissible, thereby possibly
affecting your legal rights.
Note: If you are using the e-signature approach or the handwritten pen-and-ink signature approach, you must click on the final link to access the specific "text form"
for that purpose.
Application Data
STEP 2: If there are no errors and you are ready to file this application electronically, confirm the e-mail address for acknowledgment. Once you submit the form
electronically, we will send an electronic acknowledgment of receipt to the e-mail address entered below. If no e-mail address appears, you must enter one. If we
should send the acknowledgment to a different e-mail address, or to an additional address(es), please enter the proper address or additional address(es). For multiple
addresses/receipts, please separate e-mail addresses by either a semicolon or a comma.
NOTE: This e-mail address is only for the purpose of receiving the acknowledgment that the transmission reached the USPTO, and is not related to the e-mail that will be used for correspondence purposes
(although it could be the same address. The official e-mail address that the USPTO will use for any future communication is whatever appears in the specific correspondence section of the form.)
(1) Once you submit this application, we will not cancel the filing or refund your fee. The fee is a processing fee, which we do not refund even if we cannot
issue a registration after our substantive review. This is true regardless of how soon after submission you might attempt to request cancellation of the filing.
Therefore, please review ALL information carefully prior to transmission.
(2) All information you submit to the USPTO at any point in the application and/or registration process will become public record, including your name, phone
number, e-mail address, and street address. By filing this application, you acknowledge that YOU HAVE NO RIGHT TO CONFIDENTIALITY in the
information disclosed. The public will be able to view this information in the USPTO's on-line databases and through internet search engines and other on-line
databases. This information will remain public even if the application is later abandoned or any resulting registration is surrendered, cancelled, or expired. To
maintain confidentiality of banking or credit card information, only enter payment information in the secure portion of the site after validating your form. For any
information that may be subject to copyright protection, by submitting it to the USPTO, the filer is representing that he or she has the authority to grant, and is
granting, the USPTO permission to make the information available in its on-line database and in copies of the application or registration record.
(3) Be aware that private companies not associated with the USPTO often use trademark application and registration information from the USPTO's
databases to mail or e-mail trademark-related solicitations (samples of non-USPTO solicitations included).
If you have read and understand the above notice, please check the box before you click on the Pay/Submit button.
Pay/Submit
Help Desk | Bug Report | Feedback | TEAS Home | Trademark Home | USPTO
https://teas.uspto.gov/forms/teas.service?form.action=SIGNRES&formId=bas&id=USPTO/BAS-24.5.91.150-20171209150659049380-New/Application- 1/2
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EXHIBIT X
12/12/2017 Applicants Document
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| USPTO157 of 184
Review copies o f show-cause or ders and exclusion or ders issued by the Commissioner for T rademarks
Get information on unauthorized practice o f trademark law and who may practice befor e the USPTO in trademark matt ers
Once a party has been excluded, the USPTO will change the correspondence address for each affected application or registration file record to that of the
applicant, registrant, or domestic representative, as appropriate, and will notify the affected applicant or registrant that:
The excluded party is not entitled to practice before the USPTO in trademark matters and, therefore, may not represent the applicant or
registrant.
Any power of attorney granted to the excluded party is void ab initio, meaning it was invalid from the start of any action taken by the excluded
party.
The excluded party may not sign responses to Office actions, authorize examiners amendments or priority actions, conduct interviews with
USPTO employees, or otherwise represent an applicant, registrant, or party to a proceeding before the Office.
All correspondence concerning the application or registration will be sent to the domestic representative if one has been appointed, or,
alternatively, and in most circumstances, to the applicant or r egistrant at its addr ess of r ecor d.
Go to the Trademark S tatus & Document R etrieval (TSDR) system and enter your serial number or registration number to retrieve the record for
your application or registration.
Once you have retrieved your application/registration record in TSDR, select the Status tab and review the Attorney/Correspondence Information
to confirm that the correspondence information is correct.
If the correspondence information is incorrect, correct it by filing a Change of Correspondence Addr ess form. If necessary, you may also change the
owners address information, using the Change of Owner s Address form. Both forms are available at Correspondence and A ttorney/Domestic
Representativ e Forms.
Select the Documents tab in TSDR and view the outgoing correspondence from the USPTO in the record to determine if you are required to file
anything in connection with your application or registration, such as a response to an Office action, a statement of use, or a registration maintenance
document.
If your application is still pending and you fail to file a required document before the deadline, your application will be abandoned. If your mark is
already registered, and you fail to submit the required registration maintenance documents on time, your registration will expire or be cancelled. All
required documents may be filed electronically by using the appropriate electronic form in the Trademark Electr onic Application S ystem (TE AS).
After your initial review of your application or registration record, continue t o monit or the status of your application or registration, using the
Status tab in TSDR.
For applications, you should check the status ever y six months between the filing date of the application and issuance of a registration.
If your mark is already registered and you have filed an affidavit of use or excusable nonuse under 8 or 71 of the Trademark Act, or a
renewal application under 9 of the Act, you should check the status of the registration ever y six months until you receive notice that the
affidavit or renewal application has been accepted.
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Questions?
For pending applications, contact the assigned examining attorney, whose contact information is provided in Office actions sent in
connection with your application. In TSDR, Office actions are identified as Offc Action Outgoing in the Documents tab. For registrations,
contact the assigned Post Registration specialist, whose contact information will be provided in any Office action sent in connection with
registration maintenance filings, or the Office of Petitions at 571-272-8950.
For general questions about the trademark process, guidance on the type of information required in a particular electronic form, or
information about which USPTO offices or employees to contact for particular issues, contact the Trademark Assistance Center at
571-272-9250, or toll-free at 1-800-786-9199. You can also emailTrademarkAssistanceCent er@uspto.gov.
If your application is still pending, and a registration has not yet issued, you should review any documents submitted on your behalf to confirm that
it was signed by the appropriate party and that all the information in the document is correct. If you believe that any submitted document was
improperly signed or contains incorrect information, you should contact the assigned examining attorney, who can answer questions about the
process for resubmitting documents.
If your mark is already registered and registration maintenance documents have been submitted on your behalf, you should review the documents to
confirm that they contain accurate information and are properly signed. If you have any questions about a registration maintenance document
submitted on your behalf, you may contact the assigned Post Registration specialist whose contact information will be provided in any Office action
sent in connection with registration maintenance filings, or the Office of Petitions at 571-272-8950.
For additional information on who may sign documents submitted to the USPTO in connection with trademark applications and registrations, see
Proper Representation in T rademark Matt ers and TMEP 611.03611.04.
Consider hiring a qualified attorney with expertise in trademark matters to represent you in the application process. While a USPTO trademark
examining attorney will try to help you through the examination process even if you do not hire an attorney, USPTO attorneys are not permitted to
give you legal advice.
A private trademark attorney who is licensed in the United States and is authorized to practice before the USPTO may:
Help you avoid future costly legal problems by conducting a comprehensive search of federal registrations, state registrations, and
"common law" unregistered trademarks before you file your application. Comprehensive searches are important because other trademark
owners may have protected legal rights in trademarks similar to yours that are not federally registered. Therefore, those trademarks will not
appear in our Trademark Electr onic Sear ch System database, but they could still ultimately prevent your use of your mark.
Help you during the application process with several things that could seriously impact your trademark rights, such as determining the best
way to describe your goods and services and preparing responses to refusals to register your mark that we may issue.
Assist you after your mark is registered by filing registration maintenance documents and by taking actions to help you police and enforce
your trademark rights. While the USPTO registers trademarks, you, as the trademark owner, are fully responsible for any enforcement of
your private trademark rights.
If you decide to hire an attorney, you should be aware that, under U.S. federal regulations, the only individuals who may represent an applicant or
registrant in trademark matters before the USPTO, other than certain previously authorized trademark agents, are (1) attorneys who are licensed to
practice in the United States and (2) Canadian agents or attorneys who are authorized by the USPTO to represent applicants located in Canada.
Employing a foreign attorney or other individual who is not authorized to practice before the USPTO to represent you in connection with your
trademark application may delay and prolong the trademark application examination process and could jeopardize the validity of any resulting
registration.
The USPTO has established a Law School Clinic program in which participating law schools provide free legal services to trademark applicants in
connection with trademark applications before the USPTO. Each school in the program has its own criteria for accepting clients. If you are interested,
you should contact a participating school to inquire about becoming a client. For a list of schools participating in this program and additional
information about the program, visit Law School Clinic Cer tification Pr ogram.
For more information on finding a qualified private attorney to assist you, visit Using Priv ate Legal Ser vices.
For more information on the unauthorized practice of trademark law and who may practice before the USPTO in trademark matters, visit Proper
Representation in T rademark Matt ers.
What t o do when y our application is ab andoned
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When an application is abandoned, it means that the application is no longer pending and, thus, a registration will not be issued. The USPTO may deem
your application abandoned if you fail to submit a response to an Office action or fail to respond completely to an Office action; if you fail to respond to a
suspension inquiry; or if you fail to file a statement of use. In addition, an application may be expressly abandoned, meaning that the applicant has
requested that application be abandoned and that no further prosecution of the application will occur.
In some cases, you may file a petition to revive an abandoned application or request that an abandoned application be reinstated. More information about
abandonment and the process of reviving or reinstating an abandoned application may be found at Abandoned Applications .
If you failed t o timely r espond t o an Office action refusing to accept a 8 affidavit, 71 affidavit, or 9 renewal application due to an extraordinary
situation, you may file a formal petition under 37 C.F.R. 2.146(a)(5) and 2.148to accept a late response. You may file the petition electronically using the
Petition to the Director under Trademark Rule 2.146 form, available at Petition Forms . You must file the petition within two months of the issue date of the
cancellation notice. If you did not receive the cancellation notice, or no cancellation notice was issued, you must file the petition must within two months
of the date the Trademark database was updated to indicate that the registration expired or was cancelled.
If your registration expires or is cancelled, but you have proof that a USPT O err or led t o the cancellation or expiration , you may file a request to
reinstate a cancelled or expired registration. You may file the request electronically using the Petition to the Director under Trademark Rule 2.146 form,
available at Petition Forms . Although a petition fee is required in order to file the form, it will be refunded if USPTO error is found. For a list of examples of
situations where the USPTO may reinstate a cancelled or expired registration, please see TMEP 1712.02(a).
For additional information about maintaining your trademark registration, visit Keeping Your Registration Aliv e.
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Case 5:17-cv-07194-NC Document 1-1 Filed 12/19/17 Page 160 of 184
EXHIBIT Y
12/12/2017 ABA ethics opinion
Case 5:17-cv-07194-NC sparks renewed
Document debate
1-1 over nonlawyer
Filed 12/19/17 ownership
Page of law firmsof 184
161
ETHICS
ABA ethics opinion sparks renewed debate over nonlawyer ownership of law firms
BY JAMES PODGERS (HTTP://WWW.ABAJOURNAL.COM/AUTHORS/13/)
DECEMBER 2013 (/MAGAZINE/ISSUE/2013/12/)
Like 18 Share Tweet Share 14 submit
An opinion issued recently by the ABA Standing Committee on Ethics and Professional Responsibility
could ignite a debate over the concept of nonlawyer ownership of law firms only months after the
associations House of Delegates sidestepped the issue while considering recommendations of the
Commission on Ethics 20/20.
The ABA Model Rules of Professional Conductwhich are the direct basis for professional conduct rules
in every state except Californiado not permit nonlawyer ownership. And ABA Formal Opinion 464
(http://www.americanbar.org/content/dam/aba/administrative/professional_responsibility/formal_opinion_464.pdf) (PDF), issued Aug. 19,
does not deal with the issue of nonlawyer ownership. Rather, the opinion addresses the narrow question
of whether the Model Rules permit a lawyer to divide a legal fee with a lawyer in a jurisdiction that would
allow the other lawyer to eventually distribute some portion of the fee to a nonlawyer.
Illustration by Tim Marrs
Interfirm division of legal fees is clearly contemplated by the Model Rules, specifically Rules 1.5 and 5.4,
the committee states in its opinion. A division of a legal fee by a lawyer or law firm in a Model Rules jurisdiction with a lawyer or law firm
in another jurisdiction that permits the sharing of legal fees with nonlawyers does not violate Model Rule 5.4(a) simply because a
nonlawyer could ultimately receive some portion of the fee under the applicable laws of the other jurisdiction.
The committee bases its analysis largely on the distinction made by the Model Rules on dividing fees with lawyers and sharing fees with
nonlawyers. Rule 1.5(e) authorizes a division of a fee between lawyers who are not in the same firm under certain limited circumstances.
Meanwhile Rule 5.4(a) states, A lawyer or law firm shall not share legal fees with a nonlawyer, except under another set of limited
circumstances.
Accordingly, a division of fees between lawyers under Model Rule 1.5 does not trigger the prohibitions in Model Rule 5.4 against fee
sharing with nonlawyers, states the opinion. As explained in Comment [1] to Model Rule 5.4: These limitations are to protect the lawyers
independence of professional judgment. The rule protects a lawyers independent professional judgment by limiting the influence of
nonlawyers on the client-lawyer relationship.
SOUND THE ALARM
But despite its seemingly narrow scope, Opinion 464 has set off alarms among some segments of the legal profession. Their concern is
that any step in the direction of giving nonlawyers some form of ownership involvement in law firms threatens the professional
independence that is one of the core principles of lawyering.
The whole idea of Model Rule 5.4 is that a law firm wont be in-dependent if its splitting fees with a firm with nonlawyer owners, says
Lawrence J. Fox, a past chair of the ethics committee and a member of the ABA Commission on the Evaluation of the Model Rules of
Professional Conduct, known as Ethics 2000. In one simple, unsupported opinion, weve destroyed a principle weve fought so hard to
protect, says Fox, a partner at Drinker Biddle & Reath in Philadelphia.
Another critic of Opinion 464 is John E. Thies, the immediate-past president of the Illinois State Bar Association and the National Caucus
of State Bar Associations. Its difficult to reconcile the opinion with ABA policy, says Thies, a shareholder at Webber & Thies in Urbana.
In 2000, for instance, the House of Delegates rejected a proposal to allow multidisciplinary practice at law firms. That policy is known as
the MacCrate resolution for Robert MacCrate of New York City, senior counsel with Sullivan & Cromwell. He led the charge against a
proposal by the Commission on Multidisciplinary Practice, which had pushed for relaxation of professional conduct rules to allow lawyers
and professionals in other disciplines to join together in single businesses. The sharing of legal fees with nonlawyers and the ownership
or control of the practice of law by nonlawyers are inconsistent with the core values of the legal profession, states the resolution, which
passed by a wide majority in the House. The law governing lawyers that prohibits lawyers from sharing legal fees with nonlawyers and
from directly or indirectly trans-ferring to nonlawyers ownership or control over entities practicing law should not be revised.
Thies and Fox also suggest that the ethics committee may have overstepped its jurisdictional bounds in issuing Opinion 464. The
committee is supposed to interpret the rules, not change them, Fox says. It was just an end run.
On Oct. 18, the ISBA Board of Governors adopted a resolution objecting to ABA Ethics Opinion 464 on grounds that it creates new policy
bypassing the ABA House of Delegates, is a violation of existing ABA policy and is inconsistent with ISBA policy. This is not a new
gambit for the ISBA, whose board adopted a similar resolution in 2012 when it was concerned that the Ethics 20/20 Commission was
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considering the possibility of proposing that the ABA Model Rules be revised to permit some form of limited nonlawyer ownership of law
firms.
Despite criticisms, the ethics committee is comfortable with its opinion, says chair Paula J. Frederick. We took this on to provide helpful
guidance to lawyers confronted with this issue, says Frederick, who is general counsel to the State Bar of Georgia in Atlanta. The
opinion does not make any statement, pro or con, about nonlawyer ownership of law firms. It simply answers the question of whether the
Model Rules allow a lawyer practicing in a Model Rules state to divide a legal fee with a lawyer who practices in a firm that shares fees
with nonlawyers. The opinion is limited to an interpretation of Rules 1.5 and 5.4, is squarely within the committees jurisdiction, and thus is
entirely appropriate.
The core value at stake in Opinion 464 is whether dividing a fee in this way is likely to compromise the lawyers independence of
professional judgment, Frederick says. If you presume that you are dealing with the typical lawyerthat is, one who tries to be ethical
and who is reasonably aware of her obligations under the rules of professional conductI see little likelihood that this type of fee sharing
by co-counsel would have any impact on the lawyer in the Model Rules state or her client.
Despite the growing heat over Opinion 464, issues relating to nonlawyer ownership of law firms in the United States still are largely
prospective. So far, the District of Columbia is the only U.S. jurisdiction that permits a limited form of nonlawyer ownership. But nonlawyer
ownership is becoming more common in foreign jurisdictions, notably Australia, Canada, England and Wales. American law firms doing
business overseas are in a quandary over how to balance the more permissive rules on business structures in other countries and the
more restrictive regulations in U.S. jurisdictions.
HAVE WE BEEN HERE BEFORE?
Nonlawyer ownership turned out to be one of the toughest issues for the ABA Commission on Ethics 20/20 to deal with, even though it
never developed recommendations in that area. By the time the commis-sion completed its work early this year, it had drafted a wide
range of proposals to revise the Model Rules of Professional Conduct in response to the growing impact of technology and globalization
on the legal profession. The commissions recommendations, submitted in two separate batches, breezed through the associations
policymaking House of Delegates in August 2012 and again in February.
But in April 2012, at the close of one of the commissions many drafting meetings, co-chairs Jamie S. Gorelick and Michael Traynor
announced that the commission had decided not to develop a proposal on whether nonlawyers should be allowed to have some form of
limited ownership interest in U.S. law firms. Gorelick is a partner at Wilmer Cutler Pickering Hale and Dorr in Washington, D.C. Traynor of
Berkeley, Calif., is a past president of the American Law Institute.
Since its creation in 2009, the commission has undertaken a careful study of alternative law practice structures, said Gorelick and
Traynor in their statement. Based on the commissions extensive outreach, research, consultation and the response of the profession,
there does not appear to be a sufficient basis for recommending a change to ABA policy on nonlawyer ownership of law firms.
Nevertheless, the commission still had to contend with a resolution co-sponsored by the Illinois State Bar Association and the ABA Senior
Lawyers Division that called for the House of Delegates to reaffirm its MDP policy from 2000 and to affirm that the law governing lawyers
relating to nonlawyer ownership and fee sharing should not be changed.
After a heated debate, the House voted to postpone the resolution indefinitely, which cleared the way for the Ethics 20/20 Commission to
prepare its final recommendations for House consideration in February. But the commission declined to submit a resolution on the fee
division issue, instead referring it to the ethics committee. And now that the committee has issued Opinion 464, the merry-go-round of
debate over the issue is starting up all over again.
The question is how productive those efforts might be. Whatever one thinks about the merits of nonlawyer ownership of law firms, the
discussion needs to continue in the U.S., especially as we learn more about experiences abroad, says Andrew Perlman, a law professor
at Suffolk University in Boston who served as chief reporter for the Ethics 20/20 Commission. But I dont think well see movement on the
ABA level. The ABA is reluctant to even discuss the issue at a policy level.
This article originally appeared in the December 2013 issue of the ABA Journal with this headline: Second Time Around: An ABA ethics
opinion sparks renewed debate over nonlawyer ownership of law firms.
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EXHIBIT Z
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Im never more morti ed than when I see lawyers trying to shut down legal document preparation services like We the People which purportedly compete with
lawyers as the Illinois Bar is doing. See Lawyers Protest Expanding Legal Document Preparers (http://www.suntimes.com/output/herman/cst- n-law21.html),
Chicago Sun times (2/21/05). I cant understand why attorneys, who offer a valuable service, feel the need to put glori ed typing services like We the People out of
business.
First, to say that document prep services even compete with what lawyers provide gives those services credibility that they dont deserve. Document prep services
dont offer clients a lawyers expertise and legal knowlege. Instead, they simply take information from a form (completed by a client), generate a document a living
trust, a bankruptcy petition or uncontested divorce and le it. And for that, clients pay $199 (for bankruptcy) or $399 (for a living trust). Agreed, these services
generally charge less than attorneys but not always. However, they certainly cost more than if clients did the work themselves.
So why are lawyers threatened? The bars (like ISBA) wont admit that theyre trying to help lawyers preserve our own monopoly on legal service. So the bars claim
instead that document prep companies do a disservice to clients with shoddy work or improper advice. Granted, thats a signi cant problem. But rather than try to
shut these companies down, its our job as attorneys to persuade clients that the value that attorneys can add to living wills and bankruptcy petitions and uncontested
divorces justify the added cost. Moreover, client welfare can be preserved through less onerous means such as education or consumer protection claims. Clients
who believe that their cases were mishandled have sued We the People and the FTC has ned the company for deceptive advertising practices. Those efforts should
be su cient to protect clients from the inadequacies of document prep services.
Moreover, in our haste to run non-legal professionals out of town, we lawyers forget that many of the clients who use these document service providers constitute
business that we are never going to capture anyway because of cost considerations. In the absence of these non-legal document services, many of these clients
would probably handle their matters pro se. Yet, according to this article (http://www.washingtonpost.com/wp-dyn/articles/A113-2004May29.html) in the
Washington Post, a company like We the People generates $50 million in fees from 200,000 customers a year. Thats a lot of lost business for lawyers. We ought to
try to capture it for ourselves by competing with companies like We the People.
And how might we do that? Lawyers can try to come up with ways to provide simple, routine services inexpensively. Perhaps theres a way to automate the process
or to quickly review a form already prepared by a client. Perhaps a lawyer could run a seminar on ling your own bankruptcy petition and charge $35.00 to a
roomful of people who would then ll out the forms on the spot and have the option of ling them on their own or paying an additional fee for a private
consultation. With podcasting now the rage, maybe a lawyer could put together a little MP3 on how to ll in a bankruptcy form that clients could download and listen
to. Clearly, theres a demand for cheaper service $50 million worth and it just bugs me to let it go to providers whove not gone to law school. But getting rid of
those people wont direct that $50 million pot towards attorneys it will just result in fewer available options for lawyers who cant hire attorneys.
Finally, those of you whove visited my website (http://www.his.com/israel/loce) may wonder what gives me, an energy regulatory practitioner, the credibility to
comment on competition with non-legal providers. Well, in my industry, the competition betweeen lawyers and non-legal providers is even more rampant. The
Federal Energy Regulatory Commission (www.ferc.gov), one of the major regulatory fora where I practice permits non-lawyers to represent clients in agency
proceedings. And many times, non-lawyer economists or consultants initially negotiate the terms of power supply contracts and tariffs and handle uncontested
project permitting without ever bringing a lawyer in the door. Ive had to mold my practice in such a way that I can provide added value that my non-legal competitors
cant. I did this partly by educating clients on the mess that can result by failing to use an attorney so as to adequately preserve ones rights (e.g., to protest a
contract or seek rehearing) and partly by offering services like appellate work or representation at hearings that non-attorneys either cant provide or are
uncomfortable providing. In short, if Ive found ways to make my legal services vital in the energy regulatory eld, surely my colleagues can do the same in the
general practice area.
If you have any ideas on how to compete with non-legal document preparation providers or any success stories to share, we welcome your comments below or
cross posts at your web log.
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FEATURES
Jason Mendelson is the Next up to speak was Colin Rule, the founder
Foundry Group co-founder and chief operating officer at Modria, which bills
and one of four managing itself online as the worlds leading online dispute
directors. He hails from resolution experts. And things changed.
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The fact that VCs are interested in this budding lawyers and law firms.
segment of the legal industryand that they only
invest in enterprises they expect will make money for This article is the fifth
themsuggests a trend is taking shape thats here to in our magazine
stay and likely to lead to good results. series. It is a look at
the venture capitalists
These people dont invest money to lose, Mendelson
who are financing
says of his fellow venture capitalists. The flow of funds
legal services, but not
was slow to get started, however, in part because of
law firms, to both
an aversion to the law. There are very few lawyers
increase access to
who become startup investors, and those who do
justice and make
typically shun legal startups, says VC Clint Korver,
moneylots of it.
who founded Ulu Ventures in 2009 in Palo Alto, Calif.,
They are redefining
with his wife, Miriam Rivera, former vice president and
what lawyers do, and
deputy general counsel at Google.
helping shift the
Thats why Rule says he tries to keep the law out of paradigm of law
his pitches to investors. Since Modria is an online practice today. There
dispute resolution and mediation platform based in is also online-only
San Jose, Calif., Rule talks instead about the problem content for the series,
and about the value disputes that arent currently available here
addressed in the legal model. (http://www.abajournal.com/lawb
emerge with a solution and grow quickly, Rule says. Paradigm Shift
Thats what gets investors excited. Feature Stories
But the separation between law and venture October 2013
capitalists is melting away. The current chair of the Whos eating law
National Venture Capital Association is Josh Green, a firms lunch?
former Silicon Valley attorney. And Peter Thiel, co- (http://www.abajournal.com/mag
founder of PayPal, has a law degree from Stanford azine/article/whos_eating_law_fi
and has helped fund a few legal tech companies, rms_lunch/)
including the legal research startup Judicata.
July 2012
In fact, this new investment interest has been led The Pedigree
largely by venture capitalists with legal backgrounds. Problem: Are law
Another investor with a law degree is Ron Dolin, who school ties choking
worked at CERN, the European Council for Nuclear the profession?
Research in Geneva, before getting a PhD in (http://www.abajournal.com/mag
computer science and becoming one of the first 100
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Pictured from left to right, Venture Capitalists Robert Siegel, Jeff tens of
Thermond, Miriam Rivera, Clint Korver, Ron Dolin, and Josh Becker. billions
Photo by Norbert von der Groeben. of
dollars
a year, Dolin says, as long as the right services
and the right pricing structure are developed.
Its like H&R Blockwheres the legal
equivalent of that? Dolin says. When you start
talking consumer law, you get that increase in
scale and ramp-up of a startup. If they hit the
market right, thats what a VC is looking for, he
says. The ones that dont fail have to pay for
the ones that do fail, so theyre looking for high- Ron Dolin is an Angel investor
end growth. and Stanford Law School
research fellow from Stanford,
But returns arent all that drive VCs. Calif., with a JD from the
Yes, theres making money, but a lot of it is University of Californias
enabling dreams and pursuing causes, says Hastings College of the Law.
Dolin. Im wanting to invest in legal tech Photo by Norbert von der
because I want legal technology to succeed. Its Groeben.
incredibly important with consumer law. The
latent market is a signal of inefficiencyof people not getting the help they need
because the infrastructure is broken. The fact that someones making money is
indicative of an inefficiency being fixed. Its not selling Pet Rocks, he says. I
dont want to sell Pet Rocks. I want to have an impact in a field that is really
important for humanity. And the fact there are such inefficiencies also means
theres a lot of money to be made.
Dolin says he often co-invests with Ulu Ventures Rivera, whom he knows from
their time together at Google.
Miriam will contact me when she has a legal tech company because she likes
having me onboard, and she feels it helps them be more successful because of
my engineering and law background, Dolin says.
Rivera shares Dolins drive, he says.
Miriam cares about women in law, minorities, access to legal justice, making
money. All these various interests align, and where you see such huge
inefficiencies as you do in the legal industry, you can simultaneously help people
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and make moneyand thats the best, Dolin says. You dont have to decide
between making money and helping people.
Korver, Riveras husband and now chief operating officer of NovoEdan online,
college-level education provideragrees with Dolins assessment: We have
financial criteria for our investments, but were also looking to make the world a
better place, he says.
HER STORY
Rivera, one of the most influential women in
Silicon Valley, got her start as a venture
capitalist half by accident and half intentionally,
given her background with the law and Google,
Korver says. Rivera says shes one of the crazy
people who actually loved practicing a glutton
for punishmentthe intellectual challenge of law
Miriam Rivera is Ulu tied to core values of justice and fairness.
Ventures co-founder and
Thats what also makes the legal industry
managing partner in Palo
attractive to her as an investor, she says,
Alto, Calif., who received her
although she knows all too well that the
JD/MBA from Stanford
complexity and inefficiency can be barriers to
University. Photo by Norbert
entry for investors.
von der Groeben.
Perhaps a knowledge of the law makes you
aware of how conservative a profession it is and how slow to adapt, so it makes
you more cautious, Rivera says. But at some level there are new and interesting
opportunities.
Riveras business background enhanced her value as an attorney, she says,
helping her bring a more quantitative and data-driven approach to the practice
and operation of law. But as Googles vice president and deputy general counsel,
she found herself looking at metrics and running law departments in a way that
was novel in the field of law, where most participants dont have backgrounds in
business or operations.
Google was going through a high-growth phase, and she had a hard time figuring
out how to resolve matters in compliance with the law while still meeting metrics
such as closing advertising partnerships in three days. Going too slowly could
have stalled revenue growth and hurt the companys future.
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So Rivera looked to find ways people could do legal tasks with as little legal
intervention as possible. That started the company on the hunt for technology
that could automate some of these legal solutions.
In addition, since Google was a very data-driven company, the founders and
then-CEO Eric Schmidt wanted to understand the tradeoffs between legal
protections and business needs in financial terms. It was difficult for Rivera to
provide the executives with data on risks of commercial litigation or contract work.
It was so frustrating trying to be a data-driven legal department when the whole
profession doesnt even support the use of databecause its fine to reinvent the
wheel if you get paid every time you re-create the wheel, Rivera says.
And thats why Lex Machina, a legal analytics company based in Menlo Park,
Calif., sparked her interest.
Lex Machina offers the tools to assess and compare law firms and lawyers work
and outcomes, assuaging the frustration Rivera still carried from when she was
building Googles legal department from two to 150 attorneys, but had no way of
evaluating the counsel she paid, says Josh Becker, Lex Machinas CEO.
For Korver, who has a PhD in management science and engineering from
Stanford, what resonated was the companys focus on making better decisions
through legal analytics, Becker says.
Korver was the first to see that Lex Machina wasnt competing against traditional
legal providers, but instead was providing a new capabilitycombining a lawyers
intuition with hard data to make the best decisions, Becker says.
There is a cool factor, Rivera says. Its a lot of fun to be a part of. When I look
at a company and imagine the future of law and how it will be different, I can see
the impact.
Ulu Ventures has gone on to help fund such legal startups as Hire an Esquire
(flexible law-firm staffing); Ravel (legal research); SIPX (copyright management);
and EasyESI (document storage and review).
Once you make an investment in an area, particularly in one thats somewhat
tricky for general VCs to understand, you become someone people know to go
to, Rivera says. You understand what they are trying to do and that there really
is a market potential here. People not familiar with law often underestimate how
big an industry it really is.
POSTER CHILD
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entrepreneurship there, too, and the pair co- Clint Korver is NovoEds COO
founded a group called Stanford Angels & and Ulu Ventures co-founder.
Entrepreneurs to connect alumni seeking startup His PhD is in management
assistance with those offering funds. science and engineering from
Stanford University, and he
The VC firm subleases space from a law firm on
now resides in Palo Alto,
Stanford land in a building whose red-tile roofs
Calif. Photo by Norbert von
match the universitys.
der Groeben.
Well take a meeting with any company coming
through CodeX, the Stanford Center for Legal
Informatics, Korver said in an interview before stepping back from Ulu Ventures
to join one of its companies.
Silicon Valley has the right ingredients for the new developments in the legal
industry, with the confluence of a law school, design school, startup mentality,
venture capitalists, banks and law firms. And most have made sure theyre close
enough to be within biking distance of Stanford, since so many entrepreneurs
dont have cars, Rivera says.
The machinery, the culture, the mindset is such that when it gets going, its going
to kick ass, Dolin says of the valley. So all of a sudden we realized, Hey, we
could apply this innovative machinery to the legal system, so lets do that.
And the ecosystem does make a difference. Many of the entrepreneurs already
knew the investors they ended up working with through friends or their kids
sports teams.
Its a small valley, Becker says.
But Silicon Valley isnt the only hotbed for legal startups.
Relatively speaking, theres been quite a lot that has come out of Stanford, but if
you go to these legal tech dinners, its not like the majority of them are from
Stanford, Dolin says. Legal tech is coming from all over the place.
Still, Lex Machinas Stanford connection was what got the company its first
meeting with XSeed, which is closely associated with the school. One of XSeeds
investment theses is that technology is enabling the analysis of data better than
at any other time in history, says Jeff Thermond, a venture partner with the firm.
And Lex Machina fit with that. It just happened to be in the legal space.
I dont think we went out and said, Lets go light up the legal services space
because we think its the natural area for VC investing, Thermond says. From
the outside, people think venture capitalists tend to invest in categories. In reality,
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Thats a big change from two or three years ago, when most VCs werent open to
even contemplating a company in the legal industry, Becker says.
It still has to be a solid plan, but at least now VCs are open to looking at you, he
says. Its pretty hot. Theres a lot going on. Its really exciting.
And all of the newly available financial backing is in turn inspiring new startups.
There are a lot of very entrepreneurial lawyers. And once they see theres capital
out there, if theyve got ideasthats spurring interest, Becker says.
To be sure, one foray into the field doesnt necessarily lead to an entire
settlement. And the industrys growth path is still bumpy, with only a handful of
companiessuch as online document and legal advice suppliers LegalZoom and
Rocket Lawyergetting broad attention.
I know the disruption is happening in law, Mendelson says, but Im frustrated
trying to find entities that can command VC-type returns. There have been some
nice, but no massive, wins in legal tech. But as for the billion-dollar exits, I havent
seen anything like that.
In the meantime, there are more and more investorslaw-minded or not
jumping into legal technology startups to get a piece of the legal systems
evolution.
Venture capitalists are all looking for whatever new thing is going to get them
going, and they dont mind if its consumer law, Dolin says. Theyre just like,
Lets make it happen. So we are.
This article originally appeared in the May 2014 issue of the ABA Journal with this
headline: Theyre After Legal Gold: But these venture capitalists skip law firms
for legal services startups.
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Shutterstock
One of the most enduring purposes behind the ABA Model Rules of Professional
Conduct and corresponding state ethics standards is to protect clients and the
public from overreaching, overcharging, underrepresentation and
misrepresentation. (See Ohralik v. Ohio State Bar, 1978.)
More than a century after the 1908 adoption of the associations first set of
guidelines, the ABA Canons of Professional Ethics, the clients whom ethics
standards protect and the lawyers governed by them have changed drastically.
Yet in substance and form, ethics standards remain stagnantand the same lofty
principles that once inspired the best in lawyers will soon render us irrelevant.
ARCHAIC RULES
In substance, todays legal ethics standards are so utterly out of sync with the
lifestyle, social conventions and technology savvy of todays consumers that they
actually breed mistrust.
Imagine an encounter with an alien that hails from a planet where placing ones
hands around a new acquaintances throat is intended as a sign of respect. Yet
without this background, youd understandably feel distrustful and threatened if
greeted by a stranger who has a firm vise around your neck. The same is true of
ethics standards in the modern world: They require lawyers to act in a manner
that is so alien in todays society as to arouse suspicion. Consider the two
following scenarios.
Case 1: Penny Prospect, a mom seeking a divorce, arrives at your office for a
consult. You think the meeting went well, but you never hear back. It turns out
your instincts werent wrongPenny was leaning toward retaining youuntil she
viewed your profile on LinkedIn and saw a disclaimer that states: This profile is
attorney advertising.
In a decade of using LinkedIn (including as recently as that morning when she
updated her profile in anticipation of searching for a higher-paying job), she has
never seen a disclaimer like this. She knows LinkedIns user agreement
(https://www.linkedin.com/legal/user-agreement) prohibits advertising. Doesnt this lawyer
understand terms of service?
Pennys concerns arent allayed when she clicks a link to the lawyers blog and
once again sees This blog is attorney advertising underneath the blog caption.
Penny doesnt bother to read the posts; she assumes that if theyre advertising,
they wont be very valuable.
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Penny wonders whats wrong with this dude. Hes so caught up in promoting
himself online that he wont have time to handle her case. Ultimately, Penny
heads to LegalZoom, which doesnt have the same advertising disclaimers, and
signs up for the do-it-yourself divorce package that includes attorney review.
Case 2: Noah Newbie is a recent business school graduate seeking to
incorporate an online business. After the meeting, you hand him a 15-page
retainer agreement and ask him to sign it and send it back with a check.
Noah leaves the office and tosses the retainer agreement into the trash can. He
doesnt understand a word of it. Plus, hes always paid bills by credit card. Hes
not sure that he still has a checkbook.
He decides to search his lawyers ratings online, but theres not a client review or
testimonial to be found. Because Noah always checks ratings before making a
purchase, hes disconcerted about why he cant find any for his lawyer: Were they
so bad she paid to have them removed?
Then Noah discovers a site called Avvo Answers, where he can ask questions
about incorporating a business for $39. Noah searches for a New York lawyer.
When he cant find one, he discovers that several bars, including New York, have
banned lawyers from doing business on Avvo. Apparently, its unethical for the
site to take a cut of the $39 fee you pay to talk to a lawyer.
Noah doesnt get it. Isnt it a common online business model for the platform
providing goods or services to take a cut of the sale? Thats how Etsy and Airbnb
workheck, Uber is killing it. Noah cant believe this rule is really intended to
protect clients. Its probably a way to force clients to have to trek to a stuffy, old
lawyers office and fork over $1,000.
It looks like his mentor, who heads a successful startup, was right after all: Noah
is going to have to start his corporation at Rocket Lawyer by himself. Noah sighs,
thinking it was easier to find his fiance online through a dating site than it is to
hire a lawyer.
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makes known their availability for service. And New York State Bar Association
Ethics Opinion 1132 (http://www.nysba.org/EthicsOpinion1132/) (2017) finds Avvo Answers
and similar sites to constitute unethical fee splitting, as did a 2016 advisory
opinion (https://www.scbar.org/lawyers/legal-resources-info/ethics-advisory-opinions/eao/ethics-advisory-opinion-
16-06/) from the South Carolina Bar.
As these examples bear out, the parade of horribles that regulators envisionfee
splitting with nonlawyers injecting their interest into the attorney-client
relationship, testimonials and reviews that might dupe clients into hiring an
unqualified lawyer, making objective and useful information online available
through a LinkedIn profile or a blog without prominently labeling it as advertising
(Im stumped to figure out what kind of harm that could ever cause)doesnt
intimidate todays clients at all.
Most of todays clients have seamlessly, thoroughly integrated social media and
sharing-economy platforms, as well as online payments and content-based
marketing, as part of their daily lives. Theyve acclimated to the cultures of each
online universe they inhabit and grown adept at distinguishing between causal
informational websites and biographical profiles, and chatty personal exchanges
and paid advertising. So when lawyers cant conform their conduct to these
mores, theyre first viewed with suspicion or annoyance and, ultimately, ignored.
Read more ... (http://www.abajournal.com/magazine/article/legal_ethics_opinion_relevance/P1)
1 2 Next Page
This article was published in the December 2017 issue of the ABA Journal with
the title "Change the Rules! Ethics opinions have to reflect the present and future
not the past."
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