MICHAEL RUBEN PECK v. STATEWIDE GRIEVANCE COMMITTEE
(AC 42700)
Alvord, Bright and Bear, Js.
June 16, 2020
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MICHAEL RUBEN PECK v. STATEWIDE GRIEVANCE COMMITTEE
(AC 42700)
Alvord, Bright and Bear, Js.
Syllabus
The plaintiff attorney appealed to this court from the judgment of the trial court dismissing, for lack of subject matter jurisdiction, his appeal from the decision of the defendant Statewide Grievance Committee, which had denied his request to vacate a prior decision by a reviewing committee of the defendant that imposed a disciplinary sanction against him. The plaintiff, who had represented L in a real estate transaction, introduced L to one of the plaintiff‘s then law partners, O, who was looking to secure a loan for the law firm. In 2001, L loaned the plaintiff‘s law firm $70,000, and, by 2008, when the law firm had not repaid the loan, the plaintiff and O each executed new notes for repayment of the loan by 2013. In 2011, L filed a grievance complaint against the plaintiff. The reviewing committee concluded in its 2013 decision that the plaintiff violated
Submitted on briefs March 17-officially released June 16, 2020
Procedural History
Appeal from the decision of the defendant denying the plaintiff‘s request for review and affirming the decision of the defendant‘s reviewing committee ordering the plaintiff to attend a legal ethics course as a result of the plaintiff‘s alleged violation of the
James F. Sullivan filed a brief for the appellant (plaintiff).
Leanne F. Larson, assistant chief disciplinary counsel, filed a brief for the appellee (defendant).
Opinion
The following facts, as revealed by the record, as well as the relevant procedural history, inform our review. On April 26, 2013, a local reviewing committee (committee) of the defendant issued a decision regarding a grievance complaint that had been filed against the plaintiff on December 29, 2011, by Michael Longo. The committee found that the plaintiff had represented Longo in various legal matters in 1999 and 2000, including the sale of real property in May, 2000. After Longo had informed the plaintiff that it was his intention to lend out the money from the sale, the plaintiff introduced Longo to one of his then law partners, John J. O‘Brien, Jr., who was looking for someone to lend money to the law firm to fund a lobbying group. The plaintiff and O‘Brien then met with Longo to discuss a loan. The plaintiff did not tell Longo that he was not acting as his attorney in this matter. On March 27, 2001, the law firm secured a $70,000 loan from Longo, which came from the proceeds of the real estate sale in 2000. The loan matured on September 30, 2001, but, as of March 29, 2002, it had not been paid. New notes were executed by the law firm and Longo on Marсh 29, 2002, and on December 15, 2004. The new maturity date was March 31, 2007. As of February 1, 2008, however, the law firm had not paid the loan. Attorney O‘Brien then executed a new note with Longo in the amount of $34,335, which required monthly payments and had a maturity date of January 1, 2013. The plaintiff also executed a new note with Longo in March, 2008, in the amount of $32,070, which required monthly payments and had a maturity date of February 1, 2013. The plaintiff neither informed Longo in writing that he should consider seeking the advice of independent counsel nor obtained Longo‘s written consent. The plaintiff paid his loan on February 6, 2013.
On the basis of these facts, the committee, on April 26, 2013, concluded that the plaintiff‘s “failure to advise [Longo] in writing that he should consider seeking the advice of independent counsel in connection with the loan of [Longo‘s] money to the [plaintiff‘s] law firm constituted a violation
The plaintiff timely requested that the defendant review the committee‘s decision, stating in his request that he “accepts the discipline imposed . . . [and] waives any appeal to the Superior Court.” The plaintiff‘s requested review asked that the defendant insert a finding in the committee‘s decision stating that, although the plaintiff had failed to inform Longo in writing that he should consider seeking the advice of independent counsel or obtain Longo‘s written consent, he did inform Lоngo orally and Longo did obtain such counsel. In a decision dated June 21, 2013, the defendant denied the plaintiff‘s request. The plaintiff did not appeal to the Superior Court.
On April 30, 2017, nearly four years after the defendant denied the plaintiff‘s request for review, the plaintiff filed a motion with the defendant asking that it vacate the sanction imposed in its April 26, 2013 decision pursuant to Disciplinary Counsel v. Elder, 325 Conn. 378, 159 A.3d 220 (2017) (Elder). See id., 393 (six year time period for person to file grievance under
On August 21, 2017, the plaintiff filed an appeal with the Superior Court, stating that he was appealing “from the decision of the reviewing committee of the [defendant] and the denial of the [r]equest for [r]eview by the [defendant] in accordance with
The plaintiff claims that the court had jurisdiction because he was timely appealing from the defendant‘s 2017 refusal to vacate its 2013 sanction order or to rеconsider its refusal to vacate that order, rather than from the original 2013 order itself. He argues, as an alternative ground for reversing the judgment of the Superior Court, that the defendant did not have jurisdiction to consider the original 2011 grievance complaint because it alleged wrongdoing that occurred beyond the six year mandatory limitation period set forth in
“(i) Notwithstanding the period of limitation set forth in this subparagraph, an allegation of misconduct that would constitute a violation of
Rule 1.15 ,8.1 or8.4 (2) through (6) of the Rules of Professional Conduct may still be considered as long as a written complaint is filed within one year of the discovery of such alleged misconduct.“(ii) Each period of limitation in this subparagraph is tolled during any period in which: (1) the alleged misconduct remains undiscovered due to activе concealment; (2) the alleged misconduct would constitute a violation of
Rule 1.8 (c) and the conditions precedent of the instrument have not been satisfied . . . .”
The plaintiff argues that our Supreme Court in Elder held that the six year period of limitation set forth in
In Elder, on the basis of a 2014 grievance complaint filed pursuant to
Although no appellate court in our state has addressed directly whether the period of limitation set forth in
“[T]here is a presumption in favor of subject matter jurisdiction, and we require a strong showing of legislative intent that such a time limit is jurisdictional.” Id. “In [some] cases, the court, in discerning the intent of the legislature, at times [has] equated the intent of the legislature to create a mandatory limitation with the intent to create a subject matter jurisdictional limit.” (Emphasis in original.) Id., 268. In some other cases, the court “implicitly [has held] that a conclusion that a time limit is mandatory does not necessarily mean that it is also subject matter jurisdictional, because the notions of waiver and consent are fundamentally inconsistent with the notion of subject matter jurisdiction.” Id., 269. “[M]andatory language may be an indication that the legislature intended a time requirement to be jurisdictional, [however] such language alone does not overcome the strong presumption of jurisdiction, nor does such language alone prove strong legislative intent to create a jurisdictional bar. In the absence of such a showing, mandatory time limitations must be complied with absent an equitable reason for excusing compliance, including waiver or consent by the parties. Such time limitations do not, however, implicate the subject matter jurisdiction of the agency or the court.” Id., 269-70.
Whether the period of limitation in
“Rules of practice . . . do not ordinarily define subject matter jurisdiction. . . .
Having determined that the period of limitation in
“[I]t is a fundamental rule that a court may raise and review the issue of subject matter jurisdiction at any time. . . . Similarly, an issue regarding justiciability implicates this court‘s subject matter jurisdiction and raises a question of law over which our review is plenary.
“[S]ubject matter jurisdiction and justiciability are closely related concepts. Subject matter jurisdiction involves the authority of the court to adjudicate the type of controversy presented by the action before it. . . . Justiciability involves the authority of the court to resolve actual controversies. . . . Because courts are established to resolve actual controversies, before a claimed controversy is entitled to a resolution on the merits it must be justiciable. . . . Justiciability requires (1) that there be an actual controversy between or among the parties to the dispute . . . (2) that the interests of the parties be adverse . . . (3) that the matter in controversy be capable of being adjudicated by judicial power . . . and (4) that the determination of the controversy will result in practical relief to the complainant. . . . As we have recognized, justiciability comprises several related doctrines, namely, standing, ripeness, mootness and the political question doctrine. . . . Consequently, a court may have subject matter jurisdiction over certain types of controversies in general, but may not have jurisdiction in any given case because the issue is not justiciable.” (Citations omitted; emphasis omitted; internal quotation marks omitted.) Statewide Grievance Committee v. Burton, 282 Conn. 1, 6-7, 917 A.2d 966 (2007).
“Collateral attacks on judgments are disfavored. . . . Unless a litigant can show an absence of subject matter jurisdiction that makes the prior judgment of a tribunal entirely invalid, he or she must resort to direct proceedings to correct perceived wrongs in the tribunal‘s conclusive decision. . . . A collateral attack on a judgment is a procedurally impermissible substitute for an appeal. . . . The recurrent theme in our collateral attack cases is that the availability of an appeal is a significant aspect of the conclusiveness of a judgment.” (Citations omitted.) Convalescent Center of Bloomfield, Inc. v. Dept. of Income Maintenance, 208 Conn. 187, 200-201, 544 A.2d 604 (1988). Consequently, a party who fails to appeal from an agency decision may not use a different action as a substitute for that appeal “to achieve a de novo determination of a matter upon which they failed to take a timely appeal.” Honis v. Cohen, 18 Conn. App. 80, 84, 556 A.2d 1028 (1989). A court properly may dismiss a case that constitutes an improper collateral attack on a judgment. Glemboski v. Glemboski, 184 Conn. 602, 605-606, 440 A.2d 242 (1981) (Superior Court properly dismissed case in which plaintiff attempted to mount procedurally impermissible collateral attack on prior decision of Probate Court). The reason for this is that the court can offer no practical relief to the party collаterally attacking the prior judgment, rendering the action nonjusticiable. See Mendillo v. Tinley, Renehan & Dost, LLP, 329 Conn. 515, 527, 187 A.3d 1154 (2018).
“The reason for the rule against collateral attack is well stated in these words: The law aims to invest judicial transactions with the utmоst permanency consistent with justice. . . . Public policy requires that a term be put to litigation and that judgments, as solemn records upon which valuable rights rest, should not lightly be disturbed or overthrown. . . . [T]he law has established appropriate proceedings to which a judgment party may always resort when he deems himself wronged by the court‘s decision. . . . Unless it is entirely invalid and that fact is disclosed by an inspection of the record itself the judgment is invulnerable to indirect assaults upon it.” (Emphasis in original; internal quotation marks omitted.) Investment Associ-ates v. Summit Associates, Inc., supra, 309 Conn. 858.
“It has long been accepted that a system of laws upon which individuals, governments and organizations rely to resolve disputes is dependent upon according finality to judicial decisions. Indefinite continuation of a dispute is a social burden. It consumes time and energy that may be put to other use, not only of the parties, but of the community as a whole. It rewards the disputatious. It renders uncertain the working premises upon which the transactions of the day are to be conducted. . . . The convention concerning finality of judgments has to be accepted if the idea of law is to be accepted, certainly if there is to be practical meaning to the idea that legal disputes can be resolved by judicial process. 1 Restatement (Second), Judgments, [i]ntroduction, p. 11 (1982). [A] party should not be able to relitigate a matter which it already has had an opportunity to
“As noted in the Restatement, the trial court may entertain a request for relief from judgment based upon a change in law occurring during the appeal period. 2 Restatement (Second), supra, § 71, cоmment (f). This power is, however, not a substitute for an appeal.” (Citations omitted; internal quotation marks omitted.) Marone v. Waterbury, 244 Conn. 1, 11-12, 707 A.2d 725 (1998); see also Investment Associates v. Summit Associates, Inc., supra, 309 Conn. 855.7
The plaintiff acknowledged that he could have appealed from the defendant‘s 2013 decision when he specifically waived that right as part of the disposition of that proceeding. Although there is no statutory right to appeal pursuant to
“Judges of the Superior Court possess the inherent authority to regulate attorney conduct and to discipline members of the bar. . . . It is their unique position as officers and commissioners of the court . . . which casts attorneys in a special relationship with the judiciary and subjects them to its discipline. . . . [Section] 51-90 et seq. and
In the present case, the plaintiff claims that the court committed error in determining that it did not have jurisdiction because the plaintiff was attempting to relitigate the defendant‘s 2013 disciplinаry order. He argues that he is not appealing from the order of discipline imposed by the defendant in 2013 but, rather, that he is appealing from the defendant‘s refusal to vacate the 2013 order or to reconsider its refusal to vacate that order. We are not persuaded.
The relief the plaintiff requested from both the defendant and the Superior Court was the vacatur of the 2013 disciplinary order from which he had failed to appeal, and as to which he, in fact, had waived his right to appeal. His motions filed with the defendant in 2017 and his attempted appeal from the defendant‘s rejection of those motions are nothing more than an attempted, impermissible end run to avoid the consequences of the waiver of his right to appeal, and his failure to appeal, four years earlier, using a procedure not contemplated by thе relevant rules of practice or
The judgment is affirmed.
In this opinion the other judges concurred.
BRIGHT, J.
APPELLATE COURT JUDGE
Notes
“(b) Enforcement of a final decision impоsing sanctions or conditions against the respondent pursuant to Section 2-35 (i) or Section 2-35 (m), including the publication of the notice of a reprimand in accordance with Section 2-54, shall be stayed for thirty days from the issuance to the parties of such decision. If within that period the respondent files with the Statewide Grievance Committee a request for review of the reviewing committee‘s decision, the stay shall remain in effect for thirty days from the issuance by the Statewide Grievance Committee of its final decision pursuant to Section 2-36. If the respondent timely commences an appeal pursuant to subsection (a) of this section, such stay shall remain in full force and effect until the conclusion of all proceedings, including all appeals, relating to the decision imposing sanctions or conditions against the respondent. If at the conсlusion of all proceedings, the decision imposing sanctions or conditions against the respondent is rescinded, the complaint shall be deemed dismissed as of the date of the decision imposing sanctions or conditions against the respondent. An application to terminate the stay may be made to the court and shall be granted if the court is of the opinion that the appeal is taken only for delay or that the due administration of justice requires that the stay be terminated.
“(c) Within thirty days after the service of the appeal, or within such further time as may be allowed by the court, the statewide bar counsel shall transmit to the reviewing court a certified copy of the entire record of the proceeding appealed from, which shall include the grievance panel‘s record in the case, as defined in Section 2-32 (i), and a copy of the Statewide Grievance Committee‘s record or the reviewing committee‘s record in the case, which shall include a transcript of any testimony heard by it or by a reviewing committee which is required by rule to be on the record, any decision by the reviewing committee in the case, any requests filed pursuant to Section 2-35 (k) of this section, and a copy of the Statewide Grievance Committee‘s decision on the request for review. By stipulation of all parties to such appeal proceedings, the record may be shortened. The court may require or permit subsequent corrections or additions to the record.
“(d) The appeal shall be conducted by the court without a jury and shall be confined to the record. If alleged irregularities in procedure before the Statewide Grievance Committee or reviewing committеe are not shown in the record, proof limited thereto may be taken in the court. The court, upon request, shall hear oral argument.
“(e) The respondent shall file a brief within thirty days after the filing of the record by the statewide bar counsel. The disciplinary counsel shall file his or her brief within thirty days of the filing of the respondent‘s brief. Unless permission is given by the court for good cause shown, briefs shall not exceed thirty-five pages.
“(f) Upon appeal, the court shall not substitute its judgment for that of the Statewide Grievance Committee or reviewing committee as to the weight of the evidence on questions of fact. The court shall affirm the decision of the committee unless the court finds that substantial rights of the respondent have been prejudiced because the committee‘s findings, inferences, conclusions, or decisions are: (1) in violation of constitutional provisions, rules of practice or statutory provisions; (2) in excess of the authority of the committee; (3) made upon unlawful procedure; (4) affected by other error of law; (5) clearly erroneous in view of the reliable, probative, and substantial evidence on the whole record; or (6) arbitrary or capricious or characterized by abuse of discretion or clearly unwarranted exercise of discretion. If the court finds such prejudice, it shall sustain the appeal and, if appropriate, rescind the action of the Statewide Grievance Committee or take such other action as may be necessary. For purposes of further appeal, the action taken by the Superior Court hereunder is a final judgment.
“(g) In all appeals taken under this section, costs may be taxed in favor of the Statewide Grievance Committee in the same manner, and to the same extent, that costs are allowed in judgments rendered by the Superior Court. No costs shall be taxed against the Statewide Grievance Committee, except that the court may, in its discretion, award to the respondent reasonable fees and expenses if the court determines that the action of the committee was undertaken without any substantial justification. ‘Reasonable fees and expenses’ means any expenses not in excess of $7500 which the court finds were reasonably incurred in opposing the committee‘s action, including court costs, expenses incurred in administrative proceedings, attorney‘s fees, witness fees of all necessary witnesses, and such other expenses as were reasonably incurred.” (Emphasis added.)
“(1) Forward the complaint to the appropriate grievance panel as determined under rules of court; and
“(2) Notify the complainant and the respondent, by certified mail, return receipt requested, of the panel to which the complaint was forwarded. The notification to the respondent shall be accompanied by a copy of the complaint.
“(b) The respondent shall have the right to respond within ten days of receipt of notification to the grievance panel to which the complaint has been referred.
“(c) The State-Wide Bar Counsel shall keep a record of all complaints filed with him. The complainant and the respondent shall notify the State-Wide Bar Counsel of any change of address or telephone number during the pendency of the proceedings on the complaint.
“(d) If for good cause shown, a grievance panel declines, or is unable pursuant to sections 51-90 to 51-91b, inclusive, to investigate a complaint referred to the panel, such panel shall forthwith return the complaint to the State-Wide Bar Counsel to be referred by him immediately to another panel. The State-Wide Bar Counsel shall give notice of such referral to the complainant and the respondent by certified mail, return receipt requested.”
