COSTELLO AND MCCORMACK, P.C. v. CONSTANCE MANERO
(AC 41927)
Appellate Court of Connecticut
Lavine, Elgo and Moll, Js.
Argued September 10—officially released November 19, 2019
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Syllabus
The plaintiff sought to recover damages from the defendant for, inter alia, breach of contract in connection with its representation of the defendant in a dissolution of marriage proceeding. After the trial court granted the defendant‘s motion to implead three third-party defendants, F, W and M Co., F filed a cross complaint against the plaintiff, W and M. Co., alleging, inter alia, that they had committed legal malpractice in connection with the defendant‘s dissolution of marriage proceeding. The trial court thereafter granted motions to preclude expert testimony filed by the plaintiff and W and M Co., and subsequently granted their motions for summary judgment and rendered judgment thereon. Following the trial court‘s denial of his motion for reconsideration, F appealed to this court. Held:
- The trial court properly concluded that F‘s cross complaint set forth a claim of legal malpractice against the plaintiff, W and M Co.; the operative complaint was F‘s answers, defenses and cross claim, not his amended motion to implead response, which was filed before F became a party to the action, and the only claim in the operative complaint, when construed liberally, sounded in legal malpractice.
- The trial court properly rendered summary judgment in favor of the cross claim defendants on the legal malpractice claim; despite having ample opportunity to do so, F, the cross claim plaintiff, failed to properly disclose expert witnesses in accordance with the requirements of our rules of practice, and in the absence of such testimony, F could not establish a prima facie case of legal malpractice because he could not prove either a breach of the applicable standard of care or the element of causation.
Procedural History
Action to recover damages for, inter alia, breach of contract, and for other relief, brought to the Superior Court in the judicial district of Fairfield and transferred to the judicial district of Stamford-Norwalk; thereafter, the court, Hon. A. William Mottolese, judge trial referee, granted the defendant‘s motion to implead Arik B. Fetscher et al. as third-party defendants; subsequently, Arik B. Fetscher filed a cross claim against the plaintiff et al.; thereafter, the court granted the motions to preclude expert testimony filed by plaintiff et al.; subsequently, the court, Genuario, J., granted the motions for summary judgment filed by the plaintiff et al., denied the motion to reargue filed by Arik B. Fetscher and rendered judgment thereon, from which Arik B. Fetscher appealed to this court. Affirmed.
Arik B. Fetscher, self-represented, the appellant (cross claim plaintiff).
Robert C. E. Laney, with whom was Karen L. Allison, for the appellee (cross claim defendant Costello and McCormack, P.C.).
Nadine Pare, for the appellees (cross claim defen
Opinion
ELGO, J. The cross claim plaintiff, Arik B. Fetscher,1 appeals from the summary judgment rendered by the trial court in favor of the cross claim defendants, Costello and McCormack, P.C. (Costello), Attorney William Westcott, and Maya Murphy, P.C. (Maya).2 On appeal, Fetscher claims that the court improperly (1) construed his cross claim as one sounding in legal malpractice and (2) concluded that no genuine issue of material fact existed with respect to that claim. We disagree and, accordingly, affirm the judgment of the trial court.
In 2012, Fetscher commenced a civil action against his then stepfather, Nicholas Manero, Jr., and a business known as Nick Manero‘s II, Inc. In response, Nick Manero‘s II, Inc., brought a countersuit against Fetscher alleging breach of fiduciary duty, unjust enrichment, and conversion.3 The cases were consolidated and, prior to trial, Fetscher retained the services of the Maya defendants.4 Following a trial, the court found that Fetscher “breached his fiduciary obligations to defendant Nick Manero‘s II, Inc. . . . through a long series of misappropriations of corporate funds,” that he “knowingly and wrongfully converted [corporate assets] to his own use,” and that he “was unjustly enriched at the corporation‘s expense . . . .” Fetscher v. Manero, Superior Court, judicial district of Stamford-Norwalk, Docket No. CV-12-6012822-S (May 21, 2014). The court thus rendered judgment in favor of Nick Manero‘s II, Inc. Id. No appeal was taken from that judgment.
In January, 2015, Costello commenced an unrelated action sounding in breach of contract and unjust enrichment against Constance Manero5 to collect unpaid fees for legal services rendered on her behalf in a dissolution of marriage proceeding. Appearing in a self-represented capacity, Manero filed a handwritten response to that complaint and Costello filed a certificate of closed pleadings on March 25, 2015. On April 8, 2016, a hearing was held before an attorney fact finder pursuant to
On May 16, 2016, Manero filed a motion to implead Fetscher, Westcott, and Maya as third-party defendants. In granting that motion on May 31, 2016, the court noted that Manero had set forth “assertions of harm caused by specific acts and/or omissions committed by the proposed third parties.” Manero then filed a “Third Party Plaintiff/Defendant Complaint” on June 29, 2016, which named Fetscher, Westcott, and Maya as third party defendants.7
On August 1, 2016, the attorney fact finder filed a report on Costello‘s breach of contract action, in which he concluded that Costello had proven its entitlement to $45,438.05 in unpaid legal fees from Manero. When Manero filed no objection thereto, the court rendered
On August 2, 2016, Fetscher filed what he titled an “Answer Defenses and Cross Claim” in response to his mother‘s third-party complaint. Costello filed an answer and three special defenses to Fetscher‘s cross claim on November 4, 2016. Those special defenses alleged that (1) Fetscher “lacks standing to make any claims against [Costello] as [Fetscher] has never been represented by [Costello]“; (2) Fetscher‘s cross claim “fails to state a claim for which relief can be granted“; and (3) Costello “owed no duty” to Fetscher.8 On February 7, 2017, the Maya defendants filed an answer and a special defense, in which they alleged that “it is not possible for Fetscher to prevail on his claims, as he was cocounsel in the [Fetscher v. Manero, supra, Superior Court, Docket No. CV-12-6012822-S] case that he claims was mishandled and as cocounsel Fetscher was jointly and severally responsible for the decisions that were made in his case, which he fully considered and agreed to at the time.”
On January 25, 2017, the court ordered that the pretrial discovery period on Fetscher‘s cross claim would conclude on February 7, 2017, at which time all expert witnesses were to be disclosed. A certificate of closed pleadings was filed on February 7, 2017. On that date, Fetscher filed an expert witness disclosure, in which he disclosed four experts: Attorney Daniel F. McGuire, Attorney Daniel M. Young, Attorney Salvatore Meli, and Walter McKeever, a certified public accountant.
In response, the Maya defendants filed a motion to preclude that expert testimony due to Fetscher‘s failure to comply with the strictures of
Fetscher filed a revised expert witness disclosure on April 5, 2017. After reviewing that pleading, the court issued an order precluding Fetscher from offering expert testimony. The court at that time explained that it had “reviewed [Fetscher‘s amended expert witness disclosure] and finds it woefully inadequate to satisfy
On January 9, 2018, the court set a trial date of April 24, 2018. The court further ordered that “[b]y January 23, 2018, any requests to file a motion for summary judgment . . . shall be filed . . . .” In accordance therewith, Costello and the Maya defendants sought permission to file motions for summary judgment on Fetscher‘s cross claim, which the court granted. They then filed respective motions for summary judgment, predicated primarily on Fetscher‘s failure to properly disclose expert testimony in accordance with
Fetscher did not file an opposition to the motions for summary judgment or a memorandum of law. Instead, he filed a three page objection, in which he insisted that “[t]he requests and motion for summary judgment should be denied as they fail as a matter of law to address any issue or claim besides the negligence claim solely. The claims for breach of contract, breach of fiduciary duty, intentional torts are not addressed by the moving parties . . . in [their] motions for summary judgment.” Apart from reciting the general standard that governs motions for summary judgment, Fetscher provided no discussion of legal authority in that objection. He further provided no affidavits or supporting documentation of any kind. The court overruled Fetscher‘s objection on June 11, 2018.
On that date, the court also granted the motions for summary judgment filed by Costello and the Maya defendants. In rendering judgment in favor of the Maya defendants, the court ruled that Fetscher‘s failure to disclose an expert in accordance with Practice Book requirements foreclosed, as a matter of law, any recovery on his “legal malpractice” action. With respect to Costello‘s motion for summary judgment, the court reiterated that noncompliance and also emphasized that
I
On appeal, Fetscher claims that the court improperly construed his cross claim as one sounding in legal malpractice. We do not agree.
“[I]nterpretation of the pleadings . . . is always a question of law over which our review is plenary.” Meyers v. Livingston, Adler, Pulda, Meiklejohn & Kelly, P.C., 311 Conn. 282, 290, 87 A.3d 534 (2014). It is well established that “[t]he pleadings determine which facts are relevant and frame the issues for summary judgment proceedings or for trial. . . . The principle that a plaintiff may rely only [on] what he has alleged is basic. . . . It is fundamental in our law that the right of a plaintiff to recover is limited to the allegations [in the] complaint. . . . A complaint must fairly put the defendant on notice of the claims . . . against him. . . . The purpose of the complaint is to limit the issues to be decided at the trial of a case and is calculated to prevent surprise. . . . Only those issues raised by the [plaintiff] in the latest complaint can be tried before the jury.” (Citations omitted; internal quotation marks omitted.) White v. Mazda Motor of America, Inc., 313 Conn. 610, 621, 99 A.3d 1079 (2014). In the summary judgment context, our Supreme Court has explained that although “a court‘s ability to review the evidence, in order to determine whether a genuine issue of fact exists, is not limited to the pleadings,” Connecticut law is “clear [that] a plaintiff‘s theories of liability, and the issues to be tried, are limited to the allegations [in the] complaint.” (Internal quotation marks omitted.) Id., 622 n.5; see also id. (allowing “[the] plaintiff [to] rely on a theory of liability that he has not raised in his [operative] complaint . . . ignores our foundational pleading requirements“); Stevens v. Helming, 163 Conn. App. 241, 247, 135 A.3d 728 (2016) (“[t]he trial court, in ruling on the defendants’ motion for summary judgment, was limited to the facts alleged in the complaint standing alone“).
We begin, therefore, with Fetscher‘s operative complaint, his August 2, 2016 “Answer Defenses and Cross Claim.” That two paragraph pleading states in full: “This answer is filed pursuant to [
“Exhibit A attached (page 9 of proposed settlement offer), clearly shows in item 5 a conflict between the attorney, accountant, [Manero‘s husband] and the company and in their representation on behalf of the Manero companies and item 6 clearly states that [Manero] had an interest in the companies and in the outcome of the case for which both Attorney Costello and Attorney Westcott failed to abide by their clients’ lawful requests or follow up and/or file any motions concerning the issue. I alone tried to raise the issue before the [c]ourt by filing a verbal objection prior to trial but absent the efforts and assistance of either Attorney Costello or Attorney Westcott was judged unbelievable a fact which the evidence and their support could have clearly corrected.”12
It is axiomatic that “[a] complaint must fairly put the defendant on notice of the claims . . . against him.” Farrell v. St. Vincent‘s Hospital, 203 Conn. 554, 557, 525 A.2d 954 (1987). We further are mindful that “[t]he burden is on a plaintiff to plead his case clearly and not to expect the court or his opposing counsel to have to wade through a poorly drafted complaint to glean from it the plaintiff‘s theories of relief.” Fort Trumbull Conservancy, LLC v. Alves, 286 Conn. 264, 277 n.13, 943 A.2d 420 (2008). Liberally construing Fetscher‘s two paragraph complaint, we conclude that the only claim contained therein is one sounding in legal malpractice. That pleading does not specify any particular cause of action. Rather, it simply alleges that “Attorney Costello” and “Attorney Westcott” were “willfully derelict in their representation” in light of an alleged conflict of interest. The complaint further alleges that “Attorney Costello and Attorney Westcott failed to abide by their clients’ lawful requests or follow up and/or file any motions concerning the issue.” In our view, those factual allegations can only be construed as ones advancing claims of legal malpractice. For that reason, the trial court properly concluded that Fetscher‘s operative complaint set forth claims of legal malpractice against Attorneys Westcott and Costello.
Fetscher nonetheless maintains that a document he filed on April 13, 2016, titled “Amended Motion to Implead Response,” and not his August 2, 2016 “Answer
On our plenary review of the pleadings before us, we conclude that Fetscher‘s operative complaint was his August 2, 2016 “Answer Defenses and Cross Claim.” We further conclude that this pleading sets forth a claim of legal malpractice against Costello and the Maya defendants.
II
The remaining question is whether the court properly rendered summary judgment in favor of the cross claim defendants on the legal malpractice claim. We answer that query in the affirmative.
The standard governing our review is well established. “Summary judgment shall be rendered forthwith if the pleadings, affidavits and other proof submitted show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law. . . . The scope of our appellate review depends upon the proper characterization of the rulings made by the trial court. . . . When . . . the trial court draws conclusions of law, our review is plenary and we must decide whether its conclusions are legally and logically correct and find support in the facts that appear in the record.” (Internal quotation marks omitted.) Northrup v. Witkowski, 332 Conn. 158, 167, 210 A.3d 29 (2019). “[W]hether expert testimony is needed to support a claim of legal malpractice presents a question of law.” (Internal quotation marks omitted.) Moore v. Crone, 114 Conn. App. 443, 446, 970 A.2d 757 (2009).
“A defendant‘s motion for summary judgment is properly granted if it raises at least one legally sufficient defense that would bar the plaintiff‘s claim and involves no triable issue of fact.” Perille v. Raybestos-Manhattan-Europe, Inc., 196 Conn. 529, 543, 494 A.2d 555 (1985). When the trial court grants a motion for summary judgment, our review of that determination is plenary. See Lucenti v. Laviero, 327 Conn. 764, 772-73, 176 A.3d 1 (2018).
“Malpractice is commonly defined as the failure of one rendering professional services to exercise that
Despite having ample opportunity to do so, Fetscher failed to properly disclose expert witnesses in accordance with the requirements of our rules of practice. Absent such testimony, the finder of fact could not properly evaluate Fetscher‘s claims that Costello and the Maya defendants were “willfully derelict in their representation” and “failed to abide by their clients’ lawful requests or follow up and/or file any motions concerning the [conflict of interest] issue.” Because Fetscher could not establish a prima facie case of legal malpractice without the introduction of expert testimony to prove either a breach of the applicable standard of care or the element of causation, we conclude that the trial court properly rendered judgment in favor of Costello and the Maya defendants.
The judgment is affirmed.
In this opinion the other judges concurred.
