Brunswick v. Statewide Grievance Committee
Brunswick v. Statewide Grievance Committee
Opinion of the Court
Opinion
Rule 3.1 of the Rules of Professional Conduct requires in relevant part that attorneys in our state “shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. . . ,”
The record discloses the following facts. The plaintiff is an attorney licensed to practice law in Connecticut who represented a client in an arbitration proceeding. On January 11, 2002, an award adverse to the plaintiffs client entered.
On December 2, 2003, the New Haven judicial district grievance panel filed a decision in which it found probable cause to believe that the plaintiff had violated rules 8.4 (3), 3.3 (a) and 3.1 of the Rules of Professional Conduct. A three person reviewing committee subsequently conducted a hearing on the matter. In its decision, the committee found the following facts by clear and convincing evidence: “The [plaintiff] offered no evidence on the allegation relating to fraud, corruption or undue influence. The [plaintiffs] only evidence of partiality on the part of the arbitrator(s) was a fee bill from the attorney for [John L. Orsini, whose demand against the plaintiffs client was being arbitrated], which reflected a conference with the arbitrator selected by [Orsini] prior to the commencement of evidence in the arbitration. Much of the hearing before Judge DeMayo concerned another issue raised by the [plaintiff] regarding the denial of a continuance request during the arbitration. The [plaintiff] never withdrew or modified any of the allegations in the motion to vacate. In response to direct inquiries from Judge DeMayo as to the evidential basis for the allegations of fraud, corruption or undue influence, the [plaintiff] only stated that he had not yet gotten to that part of the matter. At the conclusion of the hearing on the motion to vacate, Judge DeMayo denied the motion and issued sanctions against the [plaintiff] and his client for making allegations without reasonable cause in violation of Practice Book § 10-5.”
The reviewing committee found by clear and convincing evidence that the plaintiff violated rule 3.1 in two
Upon the plaintiffs request for review, the defendant affirmed the decision of the reviewing committee. The defendant concurred with the reviewing committee’s findings that the plaintiffs allegation relating to fraud, corruption or undue influence and his allegation of evident partiality or corruption on the part of the arbitrators constituted violations of rule 3.1. With regard to the first allegation, the defendant stated: “The evidence in the record establishes that the only evidence the [plaintiff] had . . . was his client’s statement. Although the [plaintiff] initially may have had a good faith basis to make the allegation in the motion [to vacate the
Pursuant to Practice Book § 2-38, the plaintiff filed a petition for judicial review with the Superior Court. In its March 22, 2006 memorandum of decision, the court found substantial evidence to support the findings of the review committee and the conclusion that the plaintiff violated rule 3.1. It therefore dismissed the plaintiffs appeal. From that judgment, the plaintiff now appeals to this court.
I
STANDARD OF REVIEW
Before considering the plaintiffs particular claims, we address the standard of review applicable to such grievance appeals. The plaintiff argues that the proper standard by which to evaluate the defendant’s finding that he violated rule 3.1 is the clearly erroneous standard. Conversely, the defendant maintains that the applicable standard is the substantial evidence test.
In Connecticut, our judges possess the “inherent authority to regulate attorney conduct and to discipline the members of the bar.” Heslin v. Connecticut Law Clinic of Trantolo & Trantolo, 190 Conn. 510, 523, 461 A.2d 938 (1983). They “can and ought to be [held responsible] for the fitness of those who enjoy the privileges of the legal profession under their authority and sanction.” In re Peck, supra, 88 Conn. 451. Accordingly, in
Attorney grievance proceedings are governed by the General Statutes and the rules of practice. See General Statutes § 51-90 et seq.; Practice Book § 2-29 et seq. Those provisions provide methods of procedure that complement, but do not confine, a court’s inherent power to discipline its officers. Pinsky v. Statewide Grievance Committee, supra, 216 Conn. 233; In re Peck, supra, 88 Conn. 457.
Adopted by the judges of this state, our rules of practice expressly consider the standard of review appropriate to an appeal from the decision of the defendant. They nevertheless provide little clarity to the clouded question before us. Practice Book § 2-38 (f) provides: “Upon appeal, the court shall not substitute its judgment for that of the [defendant] or reviewing committee as to the weight of the evidence on questions of fact. The court shall affirm the decision of the [defendant] unless the court finds that substantial rights of the respondent have been prejudiced because the [defendant’s] findings, inferences, conclusions, or decisions are: (1) in violation of constitutional, rules of practice or statutory provisions; (2) in excess of the authority of the [defendant]; (3) made upon unlawful procedure; (4) affected by other error of law; (5) clearly erroneous
Notably, the standard articulated in Practice Book § 2-38 (f) “tracks the language of the corresponding provision of the Uniform Administrative Procedure Act [UAPA], General Statutes § 4-183 (j) . . . .” Shelton v. Statewide Grievance Committee, 277 Conn. 99, 108 n.7, 890 A.2d 104 (2006). Indeed, “judicial review of [the defendant’s] decision to reprimand an attorney, like judicial review of an agency determination under UAPA, is limited, both with respect to the [defendant’s] factual findings and its determination regarding the suitability of a reprimand as the sanction to be imposed. . . . Such deferential judicial review reflects the view of the rulemaking authorities that the [defendant] and its subcommittees are to play an integral role in the attorney grievance process.” (Citations omitted.) Johnson v. Statewide Grievance Committee, 248 Conn. 87, 100-101, 726 A.2d 1154 (1999). At the same time, the defendant patently is not an administrative agency as defined
In light of the foregoing, two principles emerge. First, appellate review of an attorney disciplinary proceeding is deferential. See Johnson v. Statewide Grievance Committee, supra, 248 Conn. 101; Weiss v. Statewide Grievance Committee, 227 Conn. 802, 811, 633 A.2d 282 (1993) (“[although the [defendant] is not an administrative agency . . . the court’s review of its conclusions is similar to the review afforded to an administrative agency decision” [citation omitted]). Likewise, the standards enumerated in Practice Book § 2-38 (f) all are characterized by a degree of deference. The second principle stems from the defendant’s unique status as an arm of the court. As a result, the applicable standard of appellate review, while deferential, cannot unduly restrict a reviewing court’s inherent power “to inquire into the conduct of their own officers, and to discipline them for misconduct.” In re Peck, supra, 88 Conn. 457.
The parties to the present appeal disagree as to the applicable deferential standard of review by which to evaluate the finding that the plaintiff violated rule 3.1. The plaintiff claims it is the clearly erroneous standard, while the defendant insists the applicable standard is the substantial evidence test. In separate appeals decided last year, our Supreme Court applied both standards.
The distinction between the clearly erroneous and substantial evidence standards is not an academic one.
That conclusion finds further support in the plain language of Practice Book § 2-38 (f), which indicates that, in attorney grievance appeals, substantial evidence review itself is subject to a clearly erroneous consideration. Section 2-38 (f) provides in relevant part that a reviewing court “shall affirm the decision of the [defendant] unless the court finds that substantial rights of the respondent have been prejudiced because the [defendant’s] findings, inferences, conclusions, or decisions are ... (5) clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record . . . .” (Emphasis added.) That provision suggests that the ultimate determination is whether a given
II
THE DEFENDANT’S FINDING
The plaintiff claims that the defendant’s finding that he violated rule 3.1 in two distinct ways is clearly erroneous. We address each finding in turn.
A
We consider first the defendant’s finding that the plaintiffs allegation of evident partiality or corruption on the part of the arbitrators violated rule 3.1. Rule 3.1 requires in relevant part that attorneys “shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous . . . .” In Texaco, Inc. v. Golart, 206 Conn. 454, 538 A.2d 1017 (1988), our Supreme Court adopted the test for frivolousness set forth in the comment to rule 3.1. Accordingly, a claim or defense is frivolous (a) if maintained primarily for the purpose of harassing or maliciously injuring a person, (b) if the lawyer is unable either to make a good faith argument on the merits of the action, or (c) if the lawyer is unable to support the action taken by a good faith argument for an extension, modification or reversal of existing law. Id., 464. In Schoonmaker v. Lawrence Brunoli, Inc., 265 Conn. 210, 255, 828 A.2d 64 (2003), the court
At the hearing on the motion to vacate the arbitration award, the plaintiff introduced into evidence the affidavit of attorney’s fees from Vincent McManus, Jr., the attorney for Orsini, the plaintiff in the underlying arbitration. That document contained a charge for a one and one-half horn" conference with an arbitrator prior to the commencement of the arbitration proceedings. The plaintiff informed the court that the document related to the third allegation of the motion to vacate regarding partiality on the part of the arbitrators.
The plaintiff presented no evidence in support of his allegation that “[t]here has been evident partiality or corruption on the part of an arbitrator or arbitrators in violation of [General Statutes] § 52-418 (a) (2)” other than the aforementioned affidavit of attorney’s fees. Although all three arbitrators were compelled to testify at the hearing, the plaintiff asked them no questions concerning his allegation of evident partiality or corruption.
The first question to be decided is whether, armed with the affidavit of attorney’s fees concerning the conference with Sulzbach, the filing of the plaintiffs motion to vacate the arbitration award violated rule 3.1. We conclude that it did not. The commentary to rule 3.1 provides in relevant part that “[t]he filing of an action . . . for a client is not frivolous merely because the facts have not first been fully substantiated or because the lawyer expects to develop vital evidence only by discovery.” Attorneys in Connecticut are not required, at the time a pleading is filed, to substantiate the allegations contained therein with evidentiary support. Practice Book § 10-1 requires only that each pleading “contain a plain and concise statement of the material facts on which the pleader relies, but not of the evidence by which they are to be proved . . . .’’In light of the conference with the arbitrator detailed in the affidavit of attorney’s fees, a reasonable lawyer could maintain a good faith allegation of partiality or corruption on the part of an arbitrator.
That determination does not end our inquiry. The defendant contends that the stricture of rule 3.1 is not limited to pleadings. We agree. Rule 3.1 proscribes not only the commencement of a frivolous proceeding, but also the assertion of frivolous issues therein. By its plain language, it prohibits an attorney from asserting or controverting at any time in the course of a given proceeding a claim on which the attorney is unable to maintain a good faith argument on the merits. See
We find instructive the decision of the Supreme Court of Missouri in In re Caranchini, 956 S.W.2d 910 (Mo. 1997) (en banc), cert. denied, 524 U.S. 940, 118 S. Ct. 2347, 141 L. Ed. 2d 717 (1998). Sitting en banc, that court held that “[a] claim is not frivolous merely because the facts have not first been fully substantiated. . . . However, continuing to pursue a claim once it becomes apparent that there is no factual basis to support that claim is clearly contrary to the requirements of the rule.” (Citation omitted; internal quotation marks omitted.) Id., 916. The court concluded, stating that “[b]y pursuing [the client’s] slander claim even after it became apparent that there was no factual basis for that claim, [the attorney] violated [Missouri’s version of rule 3.1].” Id.; see also Lawyers Manual on Professional Conduct, § 61-106 (“even if a claim or contention was not frivolous at the outset, the lawyer may not stick to that position once it becomes apparent that there is no factual basis for it”). The Supreme Court of Indiana reached a similar result in Kahn v. Cundiff, 543 N.E.2d 627 (Ind. 1989). It stated: “Commencing an action against a particular party will less often be frivolous,
The present case involves such a situation. At the hearing on the plaintiffs motion to vacate, Sulzbach testified that the one and one-half hour conference noted in McManus’ affidavit never occurred. Even more significantly, the plaintiff represented to the court that he was not alleging that the conference occurred. That admission is remarkable. If it was undisputed at the hearing that the alleged one and one-half hour conference between McManus and Sulzbach never transpired, it defies logic to nevertheless maintain that an affidavit referencing that conference evinces partiality or corruption on the part of an arbitrator. Without any other evidence, a reasonable attorney would not have persisted with an allegation of partiality or corruption. Indeed, a critical variable in the frivolousness calculus is the evidentiary support of a given allegation. In Schoonmaker v. Lawrence Brunoli, Inc., supra, 265 Conn. 210, the court concluded that certain claims were frivolous “because they were not supported by a scintilla of evidence . . . .” (Internal quotation marks omitted.) Id., 255; see also Western United Realty, Inc. v. Isaacs, 679 P.2d 1063, 1069 (Colo. 1984) (“a claim or
We are mindful that “[a]dministration and interpretation of prohibitions against frivolous htigation should be tempered by concern to avoid overenforcement.” 2 Restatement (Third), supra, § 110, comment (b), p. 171. For that reason, “[t]ribunals usually sanction only extreme abuse.” Id. Rule 3.1 should be applied cautiously in light of its potential for chilling legitimate but difficult advocacy.
B
We next consider the defendant’s finding that the plaintiffs allegation of fraud, corruption or undue influence in procuring the arbitration award violated rule 3.1. The plaintiff presented no evidence in support of that allegation at the hearing on the motion to vacate the arbitration award.
The sole basis for the plaintiffs allegation of fraud, corruption or undue influence was an out-of-court statement of his client. As the reviewing committee stated: “In his testimony before this reviewing committee, the [plaintiff] stated that the charges of fraud, corruption or undue influence stemmed from a comment by his client, who claimed to have been told, by a staff person in the office of her former counsel, that the former
As in part II A, there is little doubt that the plaintiff possessed a good faith basis to allege fraud, corruption or undue influence in procuring the arbitration in the motion to vacate the arbitration award.
Although the plaintiff initially was entitled to rely on his client’s representation that she would furnish an affidavit in alleging fraud, corruption or undue influence in the motion to vacate, his obligation as an officer of the court required him to reconsider that allegation when his client subsequently refused to do so. Without
The plaintiff further testified that his client refused to authorize him to withdraw the allegation.
At the time of the hearing, the plaintiffs client refused to furnish an affidavit in support of her allegation. As the plaintiff then informed her and later acknowledged
Ill
CONCLUSION
The record before us contains ample support for the defendant’s finding that the plaintiff violated rule 3.1 by persisting in the allegations that the arbitration award was procured by corruption, fraud or undue means and that evident partiality or corruption on the part of an arbitrator or arbitrators existed once he knew that he had no evidence to support those allegations at trial. Moreover, we are not left with a definite and firm conviction that a mistake has been made. We therefore conclude that the defendant’s finding that the plaintiff violated rule 3.1 is not clearly erroneous.
The judgment is affirmed.
In this opinion McLACHLAN, J., concurred.
Subsequent to the referral of the plaintiff, Max P. Brunswick, to the defendant, the statewide grievance committee, rule 3.1 was amended effective January 1, 2007, to add the language, “in law and fact.” Because that amendment had no effect on these proceedings, we refer in this opinion to the current revision of rule 3.1.
The arbitration proceeding concerned disputes arising from a lease between John L. Orsini and the plaintiffs client, Interiors of Yesterday, LLC. In its decision, the arbitration panel stated that “the hearing consisted of eleven hearing days [and] eighty exhibits, including dozens of subexhibits. . . . The arbitrators found the testimony of [Interiors of Yesterday, LLC, principal] Kathleen Tarro to be prevaricated and without credibility. . . . The arbitrators also found [that] the conduct of the case by [Tarro] was
The plaintiffs motion to vacate the arbitration award stated: “Pursuant to [General Statutes] § 52-414 (d) and [General Statutes] § 52-418 (a) . . . the defendant respectfully moves to vacate the award of the arbitrators for the following reasons:
“(1) The arbitrators never took an oath to hear and examine the matter in controversy faithfully and fairly, and to make a just award according to the best of their understanding, as required by § 52-414 (d) . . . .
“(2) The award was procured by corruption, fraud or undue means in violation of § 52-418 (a) (1) . . . .
“(3) There has been evident partiality or corruption on the part of an arbitrator or arbitrators in violation of § 52-418 (a) (2) ... .
“(4) The arbitrators have been guilty of misconduct in refusing to postpone the hearing upon sufficient cause shown or in refusing to hear evidence pertinent and material to the controversy, or of other actions by which the rights of the defendant have been prejudiced, in violation of § 52-418 (a) (3)----
“(5) The arbitrators have exceeded their powers or so imperfectly executed them that a mutual, final and definite award upon the subject matter submitted was not made.
“Wherefore, the defendant respectfully moves to vacate the award of the arbitrators.”
Practice Book § 10-5, titled “Untrue Allegations or Denials,” provides in relevant part: “Any allegation or denial made without reasonable cause and found untrue shall subject the party pleading the same to the payment of such reasonable expenses, to be taxed by the judicial authority, as may have been necessarily incurred by the other party by reason of such untrue pleading; provided that no expenses for counsel fees shall be taxed exceeding $500 for any one offense. Such expenses shall be taxed against the offending party whether that party prevails in the action or not. . . .”
The court’s referral stated in relevant part that “[t]he court gave [the plaintiff] several opportunities to withdraw the allegations of fraud and corruption but he insisted on going forward. He never took steps to support the allegations, and the court secured the presence of the arbitrators so they could be questioned. Once the arbitrators were present, [the plaintiff] had no questions for them relating to the allegations.”
It is undisputed that, in initially determining whether an attorney has violated the Rules of Professional Conduct, the applicable standard of proof in an attorney disciplinary proceeding is clear and convincing evidence. See Statewide Grievance Committee v. Presnick, 215 Conn. 162, 171-72, 575 A.2d 210 (1990). The parties contest the standard applicable to an appellate challenge to the defendant’s determination that a violation transpired.
Standards of appellate review have been described as “the limits of review, or the extent to which, and the manner by which, a court of review will scrutinize the findings of fact, conclusions of law, or rulings of a trial court.” R. Maloy, “Standards of Review—Just a Tip of the Icicle,” 77 U. Det. Mercy L. Rev. 603, 604 (2000). On that point, the Supreme Court of Pennsylvania noted an important distinction: “Scope of review and standard of review are often—albeit erroneously—used interchangeably. The two
Missing from Practice Book § 2-38 (f) is the plenary standard, which is synonymous with de novo review. See Ammirata v. Zoning Board of Appeals, 264 Conn. 737, 746 n. 13, 826 A.2d 170 (2003). In Pinsky v. Statewide Grievance Committee, supra, 216 Conn. 234-35, our Supreme Court held that plenary review of grievance appeals is inappropriate. Its omission from Practice Book § 2-38 (f), therefore, hardly is surprising.
Subsequent to oral argument before this court, our Supreme Court decided Statewide Grievance Committee v. Burton, 282 Conn. 1, 917 A.2d 966 (2007). The sole question presented in that appeal was “whether a trial
Under either standard, of course, a reviewing court may reverse a determination that misapplies the applicable law.
The term “substantial evidence” appears to be something of a misnomer. A court’s finding is clearly erroneous “when it is not supported by any evidence in the record . . . .” (Emphasis added.) Hartford Electric Supply Co. v. Allen-Bradley Co., 250 Conn. 334, 345-46, 736 A.2d 824 (1999). If the substantial evidence test “permits less judicial scrutiny” than the clearly erroneous standard of review; New England Cable Television Assn., Inc. v. Dept. of Public Utility Control, supra, 247 Conn. 118; query how much evidence actually is required to satisfy that highly deferential standard.
Both the clearly erroneous and substantial evidence standards are highly deferential. The only practical difference between the two is the “definite and firm conviction that a mistake has been made” exception. In light of the fact that the defendant is an arm of the court, which retains an inherent authority over the discipline of its officers, we see no reason why that exception should not apply to review of attorney disciplinary proceedings. To the contrary, great is the potential harm in the instance in which, under the substantial evidence test, a reviewing court is left with a definite and firm conviction that a mistake has been made but nevertheless is compelled to affirm because the determination is supported by evidence in the record.
In its most recent decision involving an attorney grievance appeal, our Supreme Court applied the clearly erroneous standard of review. See Notopoulos v. Statewide Grievance Committee, supra, 277 Conn. 226.
The plaintiff relies on the decision of our Supreme Court in Engelke v. Wheatley, 148 Conn. 398, 171 A.2d 402 (1961), to support his contention that the appropriate test is a subjective one. He misreads that precedent, which states that “counsel . . . should not make a claim of error of this type unless, as an officer of the court, he both actually and reasonably believes that the finding in question was made without evidence. If such a claim is made recklessly or without an actual and reasonable belief that it is factually true, it would be good ground for disciplinary measures.” Id., 411. As a reasonableness standard signifies an objective test, Engelke thus comports with the Supreme Court’s later invocations of an objective test to evaluate allegedly frivolous claims.
The plaintiff stated: “Partiality, number three, on the part of an arbitrator by having an hour and one-half conversation with him before the hearing, which he billed for.”
At the conclusion of the first day of the motion to vacate hearing, the court told the plaintiff that “[t]here hasn’t been any evidence today to support the [allegations of] corruption, fraud or undue means, partiality and corruption, misconduct or any of this. What do we do with this? . . . Your burden is to put evidence on as to these items. . . . I’m going to order [the arbitrators] to be here Wednesday morning at 9:30, and you had better be prepared to prove these allegations with them present. ... I want to hear the evidence to support allegations against three members of the bar in a pleading in this court.”
We note that rule 3.1 is titled “Meritorious Claims and Contentions,” not “Meritorious Pleadings.”
Rule 3.1 and rule 11 use a similar frivolousness standard, and both apply the standard objectively. J. MacFarlane, supra, 21 J. Legal Prof. 233.
We recognize an attorney’s competing responsibilities as advocate of the client and officer of the court. As one commentator observed, however, “when [the attorney’s] duties to his client conflict with his duties as an officer of the court to further the administration of justice, the private duty must yield to the public duty.” W. Carrn, “Frivolous Lawsuits—the Lawyer’s Duty to Say ‘No’,” 52 U. Colo. L. Rev. 367, 375 (1981). Our law long has held that an attorney is “a minister of justice.” Cole v. Myers, 128 Conn. 223, 230, 21 A.2d 396 (1941). As such, “[a]n attorney ... is responsible for the purity and fairness of all his dealings in court.” Cunningham v. Fair Haven & Westville R. Co., 72 Conn. 244, 252, 43 A. 1047 (1899).
See footnote 2 of this opinion.
It is undisputed that the allegations contained in the motion to vacate mirrored the provisions of General Statutes § 52-418 (a).
Although the plaintiff was free to subpoena the staff person to substantiate his client’s assertion, he did not do so. That decision is perplexing in light of the plaintiff’s admission that he could not proceed on the allegation without the staff person’s affidavit.
At the hearing before the reviewing committee, the plaintiff was asked why he elected not to withdraw the allegation during the hearing on the motion to vacate. Although he claims in his appellate brief that he “had to protect his client by at least holding the option of filing a motion to open the judgment if, in fact, she was able to receive the affidavit after [the hearing concluded],” the plaintiff did not raise that claim before the reviewing committee.
“[T]he lawyer must not be permitted to say that he is only an advocate, that he is only doing his job. He must not be allowed to simply close his eyes and state that he is not morally or ethically responsible for the bringing of a frivolous suit or for the imposition of unjust expense on another. An action should not be [maintained] simply to gratify the inclination of a litigious person.” (Internal quotation marks omitted.) W. Cann, “Frivolous Lawsuits—the Lawyer’s Dufy to Say ‘No’,” 52 U. Colo. L. Rev. 367, 375 (1981).
Concurring Opinion
concurring. I respectfully concur in the result reached, but write separately because I do not concur with some of the reasoning of the grievance panel or of the trial court that heard the motion to vacate the arbitration award and, instead, would affirm on a narrower ground.
This case stems from a motion to vacate an arbitration award following a serious allegation made to the client of the plaintiff, Max F. Brunswick. The plaintiff testified before the reviewing committee of the defendant, the statewide grievance committee, that the allegation in his motion to vacate, which stated, inter alia,
Jurisdictionally, the plaintiff had only thirty days within which to move to set aside the arbitration award. See General Statutes § 52-420 (b);
I agree with the majority’s conclusion in part II A, that attorneys in Connecticut are not required, at the time a pleading is filed, to substantiate fully the allegations contained therein with evidentiary support. However, I would go further and hold that it was not improper and did not violate rule 3.1 of the Rules of Professional Conduct for the plaintiff to track the language of the provisions of General Statutes § 52-418 (a) in the allegations contained in the motion to vacate. In denying the motion to vacate, the court seemed concerned that the plaintiff tracked the language of the entire statute, § 52-418, including corruption, fraud, undue means, partiality or corruption, the arbitrator’s refusal to postpone or hear evidence and the exceeding of powers or the imperfect execution of them. This is not improper and has been the common practice of lawyers, who understand that they cannot later prove what they have not pleaded. I disagree with the holding of the reviewing committee that the allegation of fraud, corruption or undue influence was “clearly frivolous . . . .” The commentary to rule 3.1 provides that “[t]he filing of an action or defense or similar action taken for a client is not frivolous merely because the facts have not first been fully substantiated or because the lawyer expects to develop vital evidence only by discovery.” Additionally, plaintiffs are permitted to plead inconsistent yet otherwise valid causes of actions together in the same complaint, thereby allowing plaintiffs to pursue alternative remedies or theories of relief. See Practice Book § 10-25; Dreier v. Upjohn Co., 196 . Conn. 242, 245, 492 A.2d 164 (1985); Veits v. Hartford, 134 Conn. 428, 433-34, 58 A.2d 389 (1948). I do not consider pleading in the alternative to be “frivolous.”
In the broader picture, imposing an affidavit requirement in like instances would change the practice of law. For example, there are many situations in which
The plaintiffs testimony before the reviewing committee indicated that he told his client that he would need an affidavit to support the client’s allegations of fraud, corruption or undue influence. The plaintiff discussed obtaining an affidavit, but one was not required by law in order to bring the motion to vacate. Because such an affidavit was neither required by statute or rule, it became a red herring in this disciplinary proceeding.
I, nevertheless, would affirm the judgment on a more narrow ground. During the December 4, 2003 hearing before the reviewing committee, the plaintiff conceded that his client had advised him at one point that she did not want to go forward with the charges underlying the motion to vacate at the hearing “because she didn’t have any proof to back it up.” At that point, the plaintiff
Accordingly, I concur in the result.
The arbitrator selected by the arbitration plaintiff testified at the hearing on the motion to vacate the arbitration award that he did not have a one and one-half hour conversation with McManus before the arbitration proceedings began.
General Statutes § 52-420 (b) provides that “[n]o motion to vacate, modify or correct an award may be made after thirty days from the notice of the award to the party to the arbitration who makes the motion.”
See, e.g., General Statutes § 52-190a (requires good faith certificate to be filed with complaint or initial pleading in medical malpractice action); General Statutes § 52-278c (a) (2) (requires individuals seeking prejudgment remedy to include affidavit along with unsigned writ of summons and complaint and application); General Statutes § 52-471 (b) (no injunction may be issued unless facts stated in application are verified by oath of plaintiff or some competent witness); see also Fedus v. Planning & Zoning Commission, 278 Conn. 751, 770-71 n.17, 900 A.2d 1 (2006) (noting that legislature knows how to enact legislation consistent with its intent). Judges of the Superior Court, as rule makers also can impose affidavit requirements but did not do so in this instance. See, e.g., Practice Book § 1-23 (motion to disqualify judicial authority shall be in writing and accompanied by affidavit).
Reference
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