CHAPTER 7 - 7-8 SPECIAL DISCIPLINARY PROCEEDINGS

• Jurisdiction: United States

7-8 Special Disciplinary Proceedings

7-8:1 Unauthorized Practice of Law Proceedings

Both Disciplinary Counsel and the Grievance Committee have the authority to investigate and prosecute the unauthorized practice of law.²⁰¹ Unauthorized practice complaints may be filed with the superior court.²⁰² In addition, Disciplinary Counsel may also bring unauthorized practice complaints to the Grievance Committee for a hearing.²⁰³

Unauthorized practice complaints may be prosecuted against persons who are not admitted to the practice of law²⁰⁴ or attorneys admitted in other states who are practicing in Connecticut.²⁰⁵ Attorneys admitted in other jurisdictions are subject to the disciplinary jurisdiction of Connecticut for misconduct occurring in Connecticut.²⁰⁶

Unauthorized practice complaints against nonattorneys are filed with the court, and matters involving nonadmitted attorneys are usually filed by Disciplinary Counsel as grievance complaints in accordance with the Grievance Committee's procedures for all similar complaints.

7-8:2 Criminal Convictions

Attorneys who are convicted of criminal offenses are subject to attorney discipline.²⁰⁷ In addition to Grievance Committee prosecutions, the Practice Book contains rules allowing for the imposition of discipline in cases where attorneys are convicted of crimes in state court,²⁰⁸ or in federal court or the courts of another state.²⁰⁹

7-8:2.1 Connecticut Convictions

When an attorney is convicted of a "serious crime"²¹⁰ in a Connecticut court, both the clerk of the court and the attorney must notify Disciplinary Counsel.²¹¹ Failure by the attorney to notify Disciplinary Counsel is a separate disciplinary offense.²¹²

"Conviction" means the acceptance of a finding of guilty by the Superior Court either on a plea of nolo contendere or from a verdict or other disposition regardless of the pendency of an appeal.²¹³ "Serious crime" means any felony, larceny, or any conviction for which a period of incarceration is imposed, or other crime that reflects adversely on a lawyer's honesty, trustworthiness or fitness as a lawyer and any crime involving falsity, fraud, bribery or similar conduct even if the sentence is suspended.²¹⁴

Prosecution of the matter by Disciplinary Counsel is mandatory for serious crimes.²¹⁵ Neither immunity from prosecution nor the granting of a pretrial diversion program bar the imposition of attorney discipline.²¹⁶ Such circumstances may result in a disciplinary prosecution or a violation for rule or rules of professional conduct arising out of the underlying conduct even though neither instance would result in a conviction as defined in the rule.

Such proceedings may be heard by the judge who sentenced the attorney.²¹⁷ If a judge suspends or disbars an attorney for the conviction of a crime, a trustee may be appointed to protect the attorneys' interests and the interests for the attorney's clients.²¹⁸

Experienced practitioners who represent attorneys in criminal cases will often include Disciplinary Counsel in negotiations which are likely to lead to a conviction. Often, periods of suspension can be coordinated with periods of incarceration or other incapacity.

7-8:2.2 Conviction in Another Jurisdiction

The same general procedures as apply to state convictions generally apply to convictions arising out of matters in federal court or other jurisdictions, but there are several differences.²¹⁹

Proceedings for foreign convictions are filed with the superior court in the judicial district where the lawyer maintains an office, rather than with the sentencing judge.²²⁰

7-8:3 Reciprocal Discipline²²¹

All attorneys must report to bar counsel all disciplinary actions imposed by the courts of another state, the District of Columbia or the Commonwealth of Puerto Rico or of any United States court within 30 days of the order directing disciplinary action.²²² Upon receipt of such a notice, Disciplinary Counsel files a proceeding seeking reciprocal discipline in the superior court.²²³ The court then requires the attorney to file an answer to the petition within 30 days.²²⁴ In reciprocal discipline cases, the court does not retry the matter. The focus is simply on whether it is appropriate to enter a commensurate order of discipline.

"The provisions of [§ 2-39] were intended to create a basis for a reciprocal discipline of Connecticut lawyers who have been held to have engaged in misconduct in other jurisdictions."²²⁵

"A century ago it was apparently not uncommon for a lawyer disbarred by one court to travel to another community, become admitted to the local bar, and continue to practice law." C.W. Wolfram, Modern Legal Ethics, (1986)

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