B. Except as otherwise set forth in these rules the Committee must have at least a quorum present to act, and a quorum shall be eleven. The Committee shall act by a vote of a majority of those present and voting, provided that a minimum of six votes for a particular action is necessary for the Committee to act. Members present but not voting due to disqualification, abstention, silence or a refusal to vote, shall be counted for purposes of establishing a quorum, but not counted in calculating a majority of those present and voting.

C. All decisions of the Committee shall be in writing and mailed to the parties involved.

D. All matters received by the Committee shall be confidential except as otherwise provided by law.

E. It is the policy of the Statewide Grievance Committee to investigate all complaints filed against attorneys within its jurisdiction. A decision by a Complainant to withdraw a complaint after its filing shall not have the effect of terminating the complaint. The Statewide Grievance Committee shall carry out its function under the rules of the Superior Court regardless of a Complainant's decision to not pursue the matter.

F. Grievance complaints filed with the Statewide Grievance Committee must be submitted on form JD-GC-6 and must contain an original and six copies. Any attachments must be properly collated and attached to the original and each copy of the complaint. Submissions that do not meet these requirements will be returned.

G. Grievance complaints, and any document related to grievance complaints or unauthorized practice of law complaints pending before the Statewide Grievance Committee or a reviewing committee, including but not limited to requests, motions, objections, briefs, appeals, or any other document intended for placement in the file of any such matter, or any copies thereof, must be filed with or submitted to the Statewide Bar Counsel or an Assistant Bar Counsel. Except as provided in this rule, no grievance complaint, unauthorized practice of law complaint, or any document related thereto, including but not limited to requests, motions, objections, briefs, appeals, or any other document intended for placement in the file of any matter, or any copies thereof, may be filed with or submitted to the Statewide Grievance Committee or the Statewide Bar Counsel by way of a facsimile machine, email, or any other electronic means. Any such document so received will not be considered as being filed with the Statewide Grievance Committee or the Statewide Bar Counsel. Notwithstanding the above, a written motion for continuance of a reviewing committee hearing may be filed by fax to the office of the Statewide Bar Counsel provided that the motion is prepared on form JD-GC-17, it is faxed within the time limitations set forth in Rule 7B of these rules of procedure and an original is filed forthwith with the office of the Statewide Bar Counsel.

H. The Statewide Grievance Committee reserves the right, from time to time, to add to, subtract from or otherwise amend these rules of procedure.

Back to Top
 

RULE 2. REFERRAL OF COMPLAINTS
A. Upon receipt of a grievance complaint, the Statewide Bar Counsel or an Assistant Bar Counsel shall review the complaint and determine whether a recommendation should be made to dismiss the complaint in accordance with Practice Book §2-32(a)(2) or whether the complaint should be forwarded to a grievance panel.

If a complaint is forwarded to a grievance panel, it shall be forwarded to the grievance panel in the judicial district in which the Respondent maintains his or her principal office or residence.

If the Respondent does not maintain an address in this state, it shall be within the discretion of the Statewide Bar Counsel to determine to which grievance panel the complaint shall be forwarded.

B. If the Statewide Bar Counsel or an Assistant Bar Counsel determines that a recommendation should be made to dismiss the complaint, the complaint, together with the basis for the recommendation, shall be forwarded to an attorney member and to a non-attorney member of the Statewide Grievance Committee for their review. The Committee members to whom complaints are forwarded shall be selected by the Chairperson of the Committee on a rotating basis. The complaint shall not be forwarded to an attorney member who maintains an office for the practice of law in the same Judicial District as the Respondent.

C. If a recommendation to dismiss the complaint is adopted by the two committee members, the Complainant and the Respondent shall be notified of the decision together with notification of the Complainant's right to appeal the dismissal. The Respondent shall also be provided with a copy of the complaint. For the purpose of complying with the time limitations imposed by Practice Book §2-32(a), if a deadline for action or for filing falls on a weekend or holiday, said deadline shall be deemed to be satisfied if the responsibilities set forth in said Section are accomplished by the end of the first working day next following the deadline.

D. If the Complainant timely files an appeal of the dismissal, the appeal shall be assigned to a reviewing committee for a decision on the appeal. The reviewing committee shall be selected on a random, rotating basis. The appeal shall not be assigned to a reviewing committee in which an attorney maintains an office for the practice of law in the same Judicial District as the Respondent. If the reviewing committee denies the appeal, the Complainant and the Respondent shall be notified.

If the Complainant files an appeal beyond the fourteen-day appeal period, the Statewide Bar Counsel shall return the appeal to the Complainant as untimely filed.

E. The determination of good cause for the declination of a panel to investigate a complaint referred to said panel shall be made by the Statewide Bar Counsel.

F. Referral of Matters Submitted Pursuant to Practice Book §2-43. When any complaint, counterclaim, cross complaint, special defense or other pleading in a judicial or administrative proceeding alleges a lawyer's misuse of funds handled by the lawyer in his or her capacity as a lawyer or a fiduciary, and the person signing the pleading has mailed a copy thereof to the Statewide Bar Counsel; or, in any case where a lawyer's trust account, as defined in Practice Book §2-28(b), is garnished, or otherwise liened, and the party who sought the garnishment or lien has mailed a copy of the garnishee process or writ of attachment to the Statewide Bar Counsel, the Statewide Bar Counsel shall forward a copy of the pleading, garnishee process or writ of attachment to a grievance panel for the purpose of conducting an investigation into the matter pursuant to Practice Book §2-29(e)(1) and for the purpose of determining whether a complaint should be initiated pursuant to Practice Book §2-32(a). If the panel determines that a complaint should be filed, it shall do so in its name and in the name of the person who filed the pleading, garnishee process or writ of attachment with the Statewide Bar Counsel.

Back to Top
 

RULE 3. DISCLOSURE OF REFERRAL OF COMPLAINT
A. Decisions regarding whether to disclose that a grievance complaint or any other matter has been referred to a grievance panel for investigation shall ordinarily be made at regularly scheduled meetings of the Statewide Grievance Committee.

B. In the event of extraordinary circumstances, such decision may be made by way of a telephone poll of the members of the Statewide Grievance Committee.

C. Decisions regarding whether to disclose that a grievance complaint or any other matter has been referred to a grievance panel for investigation shall be made when such disclosure is deemed by the Committee to be in the public interest.

RULE 4. EXTENSION OF TIME
A. Grievance Panels - Probable Cause.

1. Pursuant to court rule, a grievance panel may file a motion for extension of time, not to exceed thirty days, with the Statewide Grievance Committee which may delegate to its Chairperson or Vice-chairperson the authority to grant the motion only for good cause shown. Said motion shall be filed with the Statewide Bar Counsel who shall forthwith notify the Chairperson, or the Vice-chairperson if the Chairperson is unavailable, of the filing and for a decision on the motion. The Statewide Bar Counsel or Assistant Bar Counsel will notify the grievance panel of the decision.

B. Reviewing Committees - Investigation and Final Decision.

1. Pursuant to court rule, a reviewing committee of the Statewide Grievance Committee to which a grievance panel's determination has been referred for investigation and final decision may file a motion for extension of time, not to exceed thirty days with the Statewide Grievance Committee, which shall grant said motion only for good cause. Said motion shall be filed with the Statewide Bar Counsel who, upon its receipt, shall forward copies of same to the remaining members of the Statewide Grievance Committee. Said members shall respond to the Statewide Bar Counsel within seven days of the date of the mailing of the motion by the Statewide Bar Counsel, in writing, signifying their vote to deny the motion, or deny the motion and request that no final action on said motion be taken until a meeting of the Statewide Grievance Committee is convened in order that the motion may be discussed. If no vote to deny the motion or defer action on the motion is received prior to the expiration of the seven day period, the motion shall be considered granted and the Statewide Bar Counsel shall so notify the reviewing committee. Said motions may also be made and considered at meetings of the Statewide Grievance Committee.

Back to Top
 

RULE 5. INQUIRY INTO DELAY
A. Grievance Panels

1. Pursuant to court rule, the Statewide Grievance Committee shall, upon a grievance panel's not completing its action on a complaint within the time provided by court rule for such action, inquire into the delay. Said inquiry shall be conducted by the Statewide Bar Counsel, whose findings shall be reported to the Statewide Grievance Committee which shall, at its next regularly scheduled meeting, order said grievance panel to act upon said complaint, refer the complaint to another grievance panel, or refer the complaint to a reviewing committee of the Statewide Grievance Committee.

B. Reviewing Committees.

1. Pursuant to court rule, the Statewide Grievance Committee shall, upon a reviewing committee's not completing its action on a complaint within the time provided by court rule for such action, inquire into the delay. Said inquiry shall be conducted by the Statewide Bar Counsel whose findings shall be reported to the Statewide Grievance Committee, which shall, at its next regularly scheduled meeting, order the reviewing committee to complete its action, refer such complaint to another reviewing committee, refer such complaint to the same or a different grievance panel for further investigation and action, or determine another appropriate course of action.

Back to Top
 

RULE 6. REVIEWING COMMITTEES
A. The Statewide Bar Counsel shall, with the approval of the Statewide Grievance Committee, assign the members of the Statewide Grievance Committee to reviewing committees, each consisting of two attorney members and one non-attorney member. Said Committees shall serve for six months. At the conclusion of each six month period, the membership of the reviewing committees shall rotate.

B. The referral of complaints to reviewing committees shall be done in such a manner so that no reviewing committee is routinely assigned complaints from a single judicial district.

C. If a grievance panel determines that probable cause exists that an attorney is guilty of misconduct, said case shall be assigned to a reviewing committee or the Statewide Grievance Committee for a hearing open to the public and other appropriate action.

D. If a grievance panel determines that no probable cause exists that an attorney is guilty of misconduct, but the complaint contains an allegation that the attorney committed a crime, said case shall be reviewed by a reviewing committee for appropriate action, or by the Statewide Grievance Committee if deemed appropriate.

Back to Top
 

RULE 7. HEARINGS OPEN TO THE PUBLIC
A. In all matters in which a hearing open to the public is held, the Complainant, Disciplinary Counsel and the Respondent shall be sent a notice of the hearing by the Statewide Bar Counsel by first class mail. The notice shall include a statement of the time and place of the hearing and that the hearing shall be open to the public and on the record.

B. Continuances may be granted to Disciplinary Counsel or the Respondent in the discretion of the reviewing committee and only for good cause shown. Motions for continuances must be submitted on JD-GC-17 and filed with the office of the Statewide Bar Counsel with a copy to all counsel and pro se parties of record no later than seven calendar days prior to the date of the hearing, absent exigent circumstances. A party requesting a continuance must indicate whether the opposing party consents to the request. Continuance motions may be filed by fax, provided that an original motion is filed forthwith with the office of the Statewide Bar Counsel. Upon timely receipt of the motion for continuance, the Statewide Bar Counsel shall forward it to a member designated by the reviewing committee to hear such matters who shall promptly rule on the motion. Notice of the decision on the motion shall thereafter be transmitted by the Statewide Bar Counsel to Disciplinary Counsel and to the Respondent or Counsel for the Respondent.

For grievance complaints filed before January 1, 2004, continuance requests must be filed with the office of the Statewide Bar Counsel within seven (7) days of the date the hearing notice is mailed to the Complainant and to the Respondent.

C.1. Motions filed with the Statewide Grievance Committee or a reviewing committee concerning the jurisdiction of the Statewide Grievance Committee or reviewing committee or any other matter to be considered by the hearing body must be filed with the Statewide Bar Counsel no later than seven days in advance of the date upon which the complaint at issue is to be heard. Disciplinary Counsel submitting a motion must forward a copy to the Respondent and a Respondent submitting a motion must forward a copy to Disciplinary Counsel. The requirement that motions must be filed no later than seven days in advance of the hearing date may be waived in the discretion of the hearing body with respect to motions in which the jurisdiction of the hearing body is at issue.

2. Briefs prepared for submission to a reviewing committee must be submitted to the Statewide Bar Counsel no later than seven days in advance of the date upon which the complaint at issue is to be heard. An original and three copies of the brief must be filed with the Statewide Bar Counsel. Additionally, Disciplinary Counsel submitting a brief must forward a copy to the Respondent and a Respondent submitting a brief must forward a copy to Disciplinary Counsel. The requirement that briefs must be filed no later than seven days in advance of the hearing date may be waived in the discretion of the hearing body for good cause. The requirement that briefs must be provided to the Statewide Bar Counsel no later than seven days in advance of the date upon which the complaint at issue is to be heard, set forth in the first sentence of this section, does not apply to post-hearing briefs ordered at the time of the hearing or for which the permission to file is granted to Disciplinary Counsel or Respondent at the time of the hearing.

D. At hearings open to the public:

1. Any oral or documentary evidence may be received but the Statewide Grievance Committee or reviewing committee shall exclude irrelevant, immaterial or unduly repetitious evidence.

2. When a hearing will be expedited and the interests of the parties will not be prejudiced substantially, any part of the evidence may be received in written form.

3. Documentary evidence may be received in the form of copies or excerpts if the original is not readily available. Upon reasonable and timely requests, the parties may be given an opportunity to compare the copy with the original.

4. Disciplinary Counsel, Respondent, or Respondent’s counsel may conduct reasonable direct and cross-examinations of witnesses.

5. Hearings may only be electronically recorded by the official court reporter or official court recording monitor.

E. Unless the Statewide Grievance Committee or reviewing committee determines that a witness is necessary to the resolution of a complaint, it shall be the responsibility of Disciplinary Counsel or the Respondent by subpoena or otherwise to secure the presence of witnesses.

F. All determinations of a reviewing committee shall be by an absolute majority vote and two members shall constitute a quorum. In the event of a tie vote, a member of the Statewide Grievance Committee shall be designated to review the entire record of the complaint and cast the deciding vote.

Back to Top

RULE 8. UNAUTHORIZED PRACTICE OF LAW COMPLAINTS
A. In the course of investigating a complaint alleging the unauthorized practice of law, Disciplinary Counsel may request that the matter be heard by a reviewing committee of the Statewide Grievance Committee.

B. Prior to requesting a hearing, Disciplinary Counsel shall give the Respondent 30 days to file a written response to the complaint, which response shall be provided to the reviewing committee if a hearing is requested.

C. If a complaint alleging the unauthorized practice of law is referred to a reviewing committee for a hearing, the hearing shall be open to the public and on the record.

D. Following the hearing, the reviewing committee shall render a written final decision which will be sent to the parties.

E. In its final decision, the reviewing committee shall make a finding that the Respondent engaged in the unauthorized practice of law or did not engage in the unauthorized practice of law.

F. Unauthorized Practice of Law Records.

1. The existence of an unauthorized practice of law complaint, shall not become public until the matter is scheduled for a hearing before a reviewing committee.

2. The following unauthorized practice of law records shall be public:

a. For unauthorized practice of law complaints in which a public hearing was held and the reviewing committee or the Statewide Grievance Committee found that the Respondent did not engage in the unauthorized practice of law, the transcripts of any public hearings, the reviewing committee's final decision, and, if applicable, the reviewing committee's proposed decision and the Statewide Grievance Committee's final decision.

b. For unauthorized practice of law complaints in which a public hearing was held and the reviewing committee or the Statewide Grievance Committee found that the Respondent engaged in the unauthorized practice of law, the entire record shall be public.

c. For unauthorized practice of law complaints filed prior to January 1, 2004 in which a public hearing was not held, the Statewide Grievance Committee's final disposition letter only.

3. All unauthorized practice of law records pertaining to a Respondent shall be available to Disciplinary Counsel in any subsequent unauthorized practice of law investigation pertaining to the Respondent.

Back to Top

RULE 9. OVERDRAFT NOTIFICATION
A. Approval of Financial Institutions.

1. Pursuant to Practice Book Section 2-28, attorney trust accounts must be maintained only in financial institutions approved by the Statewide Grievance Committee.

2. A financial institution seeking approval by the Statewide Grievance Committee shall submit a form to the Statewide Bar Counsel by which it agrees to report to the Committee the fact that an instrument has been presented against an attorney trust account containing insufficient funds, irrespective of whether or not the instrument is honored. The Statewide Bar Counsel shall transmit the form to the Statewide Grievance Committee for its consideration within 45 days of receipt by the Statewide Bar Counsel. Forms shall be made available to financial institutions seeking approval upon request to the Statewide Bar Counsel.

3. Approval of a financial institution shall be contingent upon the agreement of the financial institution to provide no less than 30 days notice of its decision to cancel its agreement with the Statewide Grievance Committee. Notice of the cancellation of an agreement by a financial institution with the Statewide Grievance Committee shall be submitted by the financial institution in writing to the Statewide Bar Counsel.

4. The Statewide Grievance Committee may terminate the approved status of a financial institution upon the failure of the financial institution to report to the Statewide Bar Counsel within seven business days from the date of such presentation, any instrument presented against an attorney trust account containing insufficient funds, except that the financial institution shall not be required to report to the Statewide Grievance Committee the fact that an instrument has been presented against an attorney trust account containing insufficient funds if funds in an amount sufficient to cover the deficiency in the trust account are deposited within one business day of the presentation of the instrument. The report shall be substantially in the following format:

(a) in the case of a dishonored instrument, the report shall be identical to the overdraft notice customarily forwarded to the depositor;

(b) in the case of instruments that are presented against insufficient funds but which are honored, the report shall identify the financial institution, the attorney or law firm, the account number, the date of presentation for payment and the date paid, a copy of the instrument presented, as well as the amount of the overdraft created thereby.

5. Upon information and belief that an approved financial institution has failed to comply with its agreement to report the presentation of an instrument against insufficient funds and to provide a copy of the instrument, the Statewide Bar Counsel shall, in writing, request an explanation of the failure from the financial institution. The financial institution shall have ten days from the date of the letter of inquiry from the Statewide Bar Counsel to provide an explanation. The Statewide Bar Counsel shall forward the explanation of the financial institution, or notice of its failure to submit an explanation, to the Statewide Grievance Committee. After its review of the explanation or lack thereof, the Statewide Grievance Committee may direct the Statewide Bar Counsel to (a) request a further explanation of the financial institution's actions, (b) accept the explanation of the financial institution, or (c) terminate the approved status of the financial institution. Upon the decision of the Grievance Committee to terminate the approved status of a financial institution, the Statewide Grievance Committee shall cause to have notice of the termination published in the Connecticut Law Journal.

B. Review of Overdraft Notifications

1. Upon receipt of a notice of the presentation of an instrument against insufficient funds, the Statewide Bar Counsel shall notify, in writing, the attorney or law firm in whose name the account is registered of the receipt of the overdraft notification. The attorney or law firm shall have ten days from the date of the letter of notification forwarded by the Statewide Bar Counsel to submit an explanation of the overdraft. Such explanation shall be supported by documentation reasonably sufficient to demonstrate the basis of the overdraft.

2. Upon the failure of the attorney or law firm to submit an explanation of the overdraft, the Statewide Bar Counsel shall, on behalf of the Statewide Grievance Committee, initiate a grievance complaint and forward same to the appropriate grievance panel.

3. The Statewide Bar Counsel or an Assistant Bar Counsel shall review all overdraft notification explanations submitted by lawyers and law firms and (a) if the Statewide Bar Counsel or Assistant Bar Counsel determines that the overdraft was not a result of misconduct, close the file on the matter or (b) if the Statewide Bar Counsel or Assistant Bar Counsel is not satisfied with the explanation, refer the matter to the Statewide Grievance Committee which shall review the matter in accordance with section B.4.

4. The Statewide Grievance Committee shall review all overdraft notification explanations referred by the Statewide Bar Counsel or an Assistant Bar Counsel in accordance with section B.3 submitted by lawyers and law firms and (a) if it determines that the overdraft was not a result of misconduct, close its file on the matter or (b) if it is not satisfied with the explanation, (i) refer the matter to a grievance panel for investigation, or the initiation of a complaint, or both, or (ii) instruct the Statewide Bar Counsel to initiate a grievance complaint. If the matter has been previously investigated by a grievance panel and the grievance panel chooses not to file a grievance complaint, the Statewide Grievance Committee may refer the matter to a reviewing committee for investigation or the initiation of a complaint, or both.

5. If a grievance panel to which an overdraft notification matter has been referred pursuant to subsection 4 of this section determines that the initiation of a grievance complaint is not warranted, it shall file its determination, along with an explanation of its decision, with the Statewide Grievance Committee. If a grievance panel initiates a grievance complaint pursuant to subsection 4 of this section, said complaint shall be referred to a separate grievance panel for a determination of probable cause.

6. Whenever a grievance complaint is initiated pursuant to Section B of this rule, a copy of said complaint shall be forwarded to the Disciplinary Counsel for a determination as to whether interim suspension should be sought pursuant to Practice Book Section 2-42.

C. Overdraft Notification Records

1. All records pertaining to overdraft notification files that result in a determination that no misconduct has occurred or no further action is warranted shall not be public

Back to Top
 

RULE 10. CONDITIONAL ADMISSION TO THE BAR
Attorneys admitted to the bar with conditions pursuant to Practice Book §2-11 shall have their compliance with the conditions of admission monitored by the Statewide Bar Counsel. Such attorneys shall report their compliance with their conditions in such a manner as required by the terms of their admission and as reasonably required by the Statewide Bar Counsel. At intervals of time consistent with the conditions of admission, the Statewide Bar Counsel shall cause to be issued an Attorney Registration form for the conditionally admitted attorney. The Statewide Bar Counsel shall forward the Attorney Registration form, together with a notice to the attorney of the terms of the attorney's compliance, to the address provided by the attorney on the attorney's last filed Attorney Registration form. The Statewide Bar Counsel shall establish a reasonable deadline by which the attorney shall return the completed Attorney Registration form, together with such other documentation of compliance as is required under the terms of the attorney's admission or is otherwise reasonably required by the Statewide Bar Counsel.

Back to Top
 

RULE 11. ADMISSION OF MISCONDUCT - DISCIPLINE WARRANTED
A. In matters in which the Respondent has tendered a conditional admission of misconduct pursuant to Practice Book §2-82, Disciplinary Counsel shall so notify the Statewide Grievance Committee for those matters not involving suspension or disbarment and a hearing shall be scheduled before a reviewing committee.

B. At or prior to the hearing, the parties shall submit to the reviewing committee the complaint, the record, the conditional admission of misconduct, the affidavit required by Practice Book §2-82(c) and, if applicable, the agreement concerning the form of discipline to be imposed.

C. At the hearing, the reviewing committee may elicit testimony or other evidence on any relevant issues, may allow argument as to the discipline to be imposed if appropriate, and shall give the Complainant the opportunity to comment upon the matter pursuant to Practice Book §2-82(d).

D. Following the conclusion of the hearing, the reviewing committee shall either accept or reject the conditional admission of misconduct and, if applicable, the agreement as to discipline.

1. If rejected: the parties and Disciplinary Counsel shall be so notified; the conditional admission, the affidavit required by Practice Book §2-82(c), and the agreement concerning discipline (if applicable), shall be returned to the parties; the transcript of the hearing and any evidence therefrom shall be maintained in the non-public portion of the Statewide Grievance Committee’s file; and the matter shall be scheduled for a hearing before another reviewing committee in accordance with Practice Book §2-35.
2. If a conditional admission of misconduct, without an agreement as to discipline, is accepted: the reviewing committee shall issue a decision imposing discipline pursuant to Practice Book §§2-35(e) and 2-37; the respondent may request review of the decision pursuant to Practice Book §2-35(g); and the documentation from the file, including the transcript of the hearing, shall be made public as appropriate, pursuant to Practice Book §2-50.
3. If a conditional admission of misconduct and agreement as to discipline is approved: notice thereof shall be sent to Disciplinary Counsel and the parties; the imposition of the discipline shall be made public as appropriate; and the documentation from the file, including the transcript of the hearing, shall be made public pursuant to Practice Book §2-50.

RULE 11A. DETERMINATION THAT DISCIPLINE IS NOT WARRANTED
A. In matters in which the Disciplinary Counsel has determined that the matter should be dismissed, or in which pursuit of the matter should be deferred, or that some other disposition that does not involve the imposition of discipline is warranted, Disciplinary Counsel shall notify the Statewide Grievance Committee in writing with an original and three copies and shall notify the Respondent in writing, at or prior to any hearing which has been scheduled on the matter, along with whatever information Disciplinary Counsel feels is necessary and appropriate.

B. At the hearing, the reviewing committee may elicit testimony or other evidence on any relevant issues, and may allow argument from the Disciplinary Counsel, Complainant, and the Respondent or Respondent’s counsel concerning the proposed disposition of the matter.

C. Following the hearing the reviewing committee shall either accept or reject the proposed disposition.

1. If the proposed disposition is accepted, notice shall be sent to the Disciplinary Counsel and the parties and the disposition shall enter.
2. If the proposed disposition is not accepted, Disciplinary Counsel and the parties shall be so notified, any materials submitted in support of the disposition shall be returned to the parties, the transcript of any hearing shall be maintained in a non-public portion of the Statewide Grievance Committee’s file; and the matter shall be scheduled for a hearing before another reviewing committee.

Back to Top
 

RULE 12. ATTORNEY REGISTRATION; ELECTRONIC REGISTRATION
A. Each attorney shall register with the Statewide Grievance Committee, as required by Practice Book §§ 2-27(d) and 2-26. 

B. Effective in 2007, each attorney’s annual registration shall be made electronically through the State of Connecticut Judicial Branch E-Services, unless exempted in accordance with this rule. 

C. An attorney who seeks to be exempted from registering electronically must file an exemption request form (JD-GC-18) with the Statewide Grievance Committee by November 1 of the year preceding the year for which exemption is sought. Exemption forms are available from the Judicial Branch’s website, or may be requested from the Office of the Statewide Bar Counsel. 

D. The Statewide Grievance Committee delegates to its counsel the authority to approve or disapprove exemption requests. An exemption request shall be granted only for good cause shown. An exemption form that is not filed in a timely manner, that does not state a basis for requesting the exemption or is not signed by the attorney seeking the exemption shall be returned and not considered filed. 

E. An exemption request that has been granted applies only for the year for which it was granted and does not renew automatically. An exemption request form must be filed for each registration year for which exemption is sought. The Statewide Bar Counsel shall maintain a list of exempted attorneys for each registration year. Exempted attorneys will be provided a paper copy of their registration forms.

Back to Top
 

RULE 13  – RANDOM INSPECTIONS AND AUDITS OF CLIENTS' FUNDS ACCOUNTS
A. Pursuant to Practice Book §2-27(e), the Statewide Grievance Committee or its counsel shall conduct random inspections and audits of clients’ funds accounts as defined in Practice Book §§2-27(d) and 2-28(b) and required to be registered with the Statewide Grievance Committee in accordance with Practice Book §2-27(d).

B. For purposes of Practice Book §2-27(e) and this Rule, “inspection and audit” is defined as the inspection of a randomly selected clients’ funds account to ensure compliance with ethical rules, including, but not limited to, Practice Book §2-27 and the Rules of Professional Conduct.

C. The manner in which the Statewide Grievance Committee or its counsel shall randomly select, inspect and audit such accounts is by the following:

1. Commencing July 1, 2007, the Statewide Bar Counsel shall randomly select for inspection and audit, with such frequency as is determined by counsel, clients’ funds accounts registered with the Statewide Grievance Committee in accordance with Practice Book §2-27(d).
2. The Statewide Bar Counsel shall send, by certified mail, written notice of the inspection and audit to the attorney(s) who has registered the selected clients’ funds account.
3. The random inspection and audit shall cover, at a minimum, the previous six months from the date of the notice of the inspection and audit and shall involve the inspection of the financial records for the selected clients’ funds account that are required to be maintained by the attorney(s) in accordance with Practice Book §2-27(b), including, but not limited to:

1. a receipt and disbursement journal identifying all deposits in and withdrawals from the account and showing the running account balance;
2. a separate accounting page or column for each client or third person for whom funds are held showing (A) all receipts and disbursements and (B) a running account balance;
3. at least quarterly a written reconciliation of trust account journals, client ledgers and bank statements;
4. a list identifying all trust accounts as defined in §2-28 (b); and
5. all checkbooks, bank statements, and canceled or voided checks.

4. The attorney(s) whose clients' funds account is the subject of the random inspection and audit and whose office is located in Connecticut will comply with the inspection and audit by undergoing an on-site inspection and audit by the Statewide Bar Counsel's Office of the financial records set forth in Practice Book §2-27(b) and §C(3) of this Rule and any other records maintained by the attorney(s) for the selected account on the date set forth in the written notice. The Statewide Bar Counsel's Office may complete the inspection and audit of the selected account by removing copies of any records produced at an on-site inspection to the Statewide Bar Counsel's Office. If good cause is shown, the attorney(s) whose clients' funds account is the subject of the random inspection and audit and whose office is located in Connecticut may comply with the inspection and audit by providing a copy of the financial records set forth in Practice Book §2-27(b) and §C(3) of this Rule and any other financial records maintained by the attorney(s) for the selected account by United States mail service, in person, or by some other delivery service to the Statewide Bar Counsel's Office by the date provided in the written notice.
5. The attorney(s) whose clients' funds account is the subject of the random inspection and audit and whose office is located outside the State of Connecticut must comply with the inspection and audit by providing a copy of the financial records set forth in Practice Book §2-27(b) and §C(3) of this Rule and any other financial records maintained by the attorney(s) for the selected account by United States mail service, in person, or by some other delivery service to the Statewide Bar Counsel’s Office by the date provided in the written notice.

D. Any copies produced pursuant to this Rule shall be at the expense of the attorney(s) whose clients’ funds account is the subject of the inspection and audit.

E. The attorney(s) whose account is selected for inspection and audit shall fully cooperate with the inspection and audit. “Fully cooperate” as that term is used in Practice Book §2-27(e) means, among other things, providing the Statewide Bar Counsel’s Office with all the documents referred to in this Rule and any other records and information as may be necessary for the Statewide Bar Counsel’s Office to complete its inspection and audit. If the attorney(s) whose clients’ fund account is the subject of the inspection and audit fails to fully cooperate, the Statewide Bar Counsel’s Office shall, in its discretion, refer the matter to the Disciplinary Counsel’s Office for an interim suspension proceeding pursuant to Practice Book §2-42.

F. If the inspection and audit does not disclose an apparent violation of Practice Book §2-27 or the Rules of Professional Conduct, the Statewide Bar Counsel shall:

1. notify the attorney(s) that the inspection and audit did not disclose a violation of Practice Book §2-27 or the Rules of Professional Conduct; and
2. remove the selected clients’ funds account number from the random inspection and audit selection process for a period of one year from the date the file is closed.

G. If the inspection and audit discloses an apparent violation of Practice Book §2-27 or the Rules of Professional Conduct, the Statewide Bar Counsel’s Office shall, in its discretion:

1. negotiate with the attorney(s) with the goal of having the attorney(s) bring the subject clients’ funds account into compliance with Practice Book §2-27 and the Rules of Professional Conduct, subject to the attorney(s) agreeing to reasonable, periodic subsequent inspections and audits of the clients’ funds account by the Statewide Bar Counsel’s Office to ensure compliance; or
2. forward the file to a grievance panel for further investigation and the possible filing of a grievance complaint; or
3. forward the file to Disciplinary Counsel to initiate a presentment complaint.

H. In any matter referred by the Statewide Bar Counsel’s Office to a grievance panel or its counsel for investigation under this Rule, said grievance panel shall complete its investigation within the same time frame as set forth for the investigation of grievance complaints under Practice Book §2-32(i).

I. If a grievance panel to which the result of a random inspection and audit of a selected clients’ funds account has been forwarded for investigation and the possible filing of a grievance complaint determines that the initiation of a grievance complaint is not warranted, it shall file its written determination, along with an explanation of its decision, with the Statewide Grievance Committee.

J. If a grievance panel to which the result of a random inspection and audit of a selected clients’ funds account has been forwarded for investigation and the possible filing of a grievance complaint initiates a grievance complaint, the grievance panel shall file its complaint with the Statewide Grievance Committee and shall forward a copy of the complaint to the Disciplinary Counsel for a determination as to whether interim suspension should be sought pursuant to Practice Book §2-42. The grievance complaint shall be referred to a separate grievance panel for a determination of probable cause.

RULE 2. INVESTIGATIVE HEARINGS
A. In all matters in which a hearing is held by a Grievance Panel, the Complainant and the Respondent, and Disciplinary Counsel if involved pursuant to Practice Book §2-29(f), shall be sent a notice of the hearing by the Panel's Grievance Counsel by first class mail. The notice shall include a statement of the time and place of the hearing and that the hearing shall be on the record. The hearing shall not be open to the public unless the Respondent so requests pursuant to Practice Book §2-32(g).

B. The Grievance Panel in its discretion may grant a continuance only for good cause shown.

C. At investigative hearings:

1. Any oral or documentary evidence may be received but the Grievance Panel shall exclude irrelevant, immaterial or unduly repetitious evidence.

2. When a hearing will be expedited and the interests of the Complainant and the Respondent will not be prejudiced substantially, any part of the evidence may be received in written form.

3. Documentary evidence may be received in the form of copies or excerpts if the original is not readily available. If the request is reasonable and timely, the Complainant, or Disciplinary Counsel if involved pursuant to Practice Book §2-29(f), and the Respondent may be given an opportunity to compare the copy with the original.

4. A Complainant, or Disciplinary Counsel if involved pursuant to Practice Book §2-29(f), and Respondent may conduct direct and cross examinations of witnesses only at the discretion of the hearing body.

D. Unless the Grievance Panel determines that a witness is necessary to the resolution of a complaint, it shall be the responsibility of the Complainant, or Disciplinary Counsel if involved pursuant to Practice Book §2-29(f), and the Respondent by subpoena or otherwise to secure the presence of witnesses.

Back to Grievance Panel Rules | Back to Top