Ankerman v. Mancuso

830 A.2d 388, 79 Conn. App. 480, 2003 Conn. App. LEXIS 404
CourtConnecticut Appellate Court
DecidedSeptember 16, 2003
DocketAC 23369
StatusPublished
Cited by5 cases

This text of 830 A.2d 388 (Ankerman v. Mancuso) is published on Counsel Stack Legal Research, covering Connecticut Appellate Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ankerman v. Mancuso, 830 A.2d 388, 79 Conn. App. 480, 2003 Conn. App. LEXIS 404 (Colo. Ct. App. 2003).

Opinion

Opinion

DiPENTIMA, J.

The plaintiff, William L. Ankerman, appeals from the judgment rendered in favor of the defendant, Jack C. Mancuso. The issue before this court is whether the plaintiffs violation of the Rules of Professional Conduct is a legally sufficient special defense that bars the enforcement of a promissoiy note and mortgage held by the plaintiff and signed by the defendant. The trial court found that it was. We disagree and reverse the judgment of the trial court.

The following facts and procedural histoiy are pertinent to the plaintiffs appeal. At all times relevant to the action, the plaintiff was an attorney licensed to practice law in Connecticut. The defendant was a client of the plaintiff from October 6, 1988, until August 12, 1991. The plaintiff brought his action to enforce a note executed by the defendant on July 24,1990, and claimed principal due of $6218.81 with accrued interest and costs totaling $18,834.98 as of the date of trial. Although the face amount of the note is $50,000, the note specifically provided that the actual amount payable was $6218.81 with interest based on attorney’s fees owed as of June 4, 1990. The note was accompanied by a mortgage arid provided that the plaintiff could seek to enforce the note if title to the mortgaged property was transferred. The mortgage is on property at 17-19 Keller Avenue in Enfield. At the time that the note and mort[482]*482gage were drafted, the plaintiff sent a letter to the defendant, encouraging him to consult another attorney regarding the note and mortgage. Although the defendant returned the executed note and mortgage along with the recording fee to the plaintiff in August, 1990, the plaintiff did not record the mortgage until June 10, 1991, the same day the plaintiffs motion to withdraw as the defendant’s counsel appeared on the court’s short calendar.

While the note and mortgage were being executed, the plaintiff was representing the defendant in an appeal from a judgment concerning the Keller Avenue property. The appeal challenged the trial court’s judgment ordering the defendant to deed one-half interest in the property to Kim Dorsey.1 See Dorsey v. Mancuso, 23 Conn. App. 629, 583 A.2d 646 (1990), cert. denied, 217 Conn. 809, 585 A.2d 1234 (1991). Dorsey cross appealed, claiming entitlement to full title. In December, 1990, this court reversed the judgment, remanded the case to the trial court and ordered that judgment be rendered transferring full title to Dorsey. Id., 635-36. At the time of this trial, despite the rescript in that case, the defendant continued to own the Keller Avenue property. One month after the plaintiff ceased representing the defendant, the defendant wrote a letter to the plaintiff, demanding the removal of the mortgage, but the mortgage remained on the property as a second mortgage.

On February 25,1997, the plaintiff brought his action in a single count complaint. The defendant filed several special defenses and a two count counterclaim.2 The [483]*483case proceeded to trial, and the court issued an oral decision in favor of the defendant on the complaint and in favor of the plaintiff on the counterclaim. The court found that the defendant had not paid the plaintiff the $6218.81 incurred for legal services rendered. The court then turned to the first special defense, which alleged a violation of rule 1.8 of the Rules of Professional Conduct3 as a bar to the enforcement of the note and mortgage, and found that the plaintiff had violated the ethical rule by taking a note secured by a mortgage on property that was the subject of the appeal he was prosecuting on the defendant’s behalf.

The court concluded that the plaintiff had violated rule 1.8 and the public policy underlying that rule. The court noted that the underlying public policy stems from the courts’ disapproval of champerty and maintenance, and “an attempt to avoid unnecessary conflicts of interest between attorneys and clients. The possibility of an adverse effect upon the exercise of free judgment by a lawyer on behalf of his client during litigation generally makes it undesirable for the lawyer to acquire a proprietary interest in the outcome of the litigation . . . .” The court further relied on Schulman v. Major Help Center, Superior Court, judicial district of Hartford-New Britain at Hartford, Docket No. 569027 (December 24, 1997) (21 Conn. L. Rptr. 1), in which the court stated that it is Connecticut’s public policy to protect the public and [484]*484judicial integrity by requiring attorneys to act ethically. The court, therefore, would not enforce the note and mortgage, which it found violated public policy. This appeal followed.

I

The plaintiff first claims that the court improperly held that a violation of the Rules of Professional Conduct, which occurred six years earlier, was legally sufficient to prevent the enforcement of a promissory note and the accompanying mortgage. He asserts, rather, that a violation of an ethical rule does not, by itself, form the basis for civil liability or augment any substantive legal duty of attorneys.4 Therefore, we address whether a violation of the Rules of Professional Conduct is legally sufficient to preclude the enforcement of the note and mortgage on the defendant’s property. We conclude that it is not.

We first set forth the applicable standard of review. “The trial court’s legal conclusions are subject to plenary review. [W]here the legal conclusions of the court are challenged, we must determine whether they are legally and logically correct and whether they find support in the facts set out in the memorandum of decision.” (Internal quotation marks omitted.) Roach v. Ivari International Centers, Inc., 77 Conn. App. 93, 99, 822 A.2d 316 (2003).

The court clearly set forth its basis for finding the note and mortgage unenforceable. The court determined that [485]*485the note and mortgage were so related as to be one transaction, and that because the mortgage constituted a violation of rule 1.8 (j) of the Rules of Professional Conduct, it would be against public policy to allow enforcement of the note. The court also recognized that the public policy is to protect the public and the judicial process by requiring ethical conduct by lawyers representing clients.

The plaintiff, however, argues that Noble v. Marshall, 23 Conn. App. 227, 231, 579 A.2d 594 (1990), controls this matter. In Noble, we stated: “[T]he Rules of Professional Conduct do not of themselves give rise to a cause of action, even to an attorney’s client.” Id. In Gagne v. Vaccaro, 255 Conn. 390, 766 A.2d 416 (2001), our Supreme Court stated: “They are not designed to be a basis for civil liability. . . . The fact that a Rule is a just basis for a lawyer’s self-assessment, or for sanctioning a lawyer under the administration of a disciplinary authority, does not imply that an antagonist in a collateral proceeding or transaction has standing to seek enforcement of the Rule.

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Related

Disciplinary Counsel v. Elder
159 A.3d 220 (Supreme Court of Connecticut, 2017)
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2009 NMCA 037 (New Mexico Court of Appeals, 2009)
Ankerman v. Mancuso
860 A.2d 244 (Supreme Court of Connecticut, 2004)

Cite This Page — Counsel Stack

Bluebook (online)
830 A.2d 388, 79 Conn. App. 480, 2003 Conn. App. LEXIS 404, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ankerman-v-mancuso-connappct-2003.