Pena v. Gladstone
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Opinion
KELLER, J.
This appeal, and a related appeal,
Pena v. Gladstone,
The following facts and procedural history are relevant to this appeal. The parties were divorced on August 17, 2010. The defendant was awarded sole legal and physical custody of the parties' minor child in accordance with Article II of a separation agreement executed by the parties. That lengthy and complex section of the agreement, regarding custody and visitation, as well as other parenting considerations, provided the plaintiff with liberal parenting time with the child. Litigation between the parties continued, however, after the entry of the dissolution judgment, and each party filed numerous motions relative to parenting issues. The situation deteriorated to the point where on July 28, 2014, the parties agreed to engage the services of Visitation Solutions to evaluate and facilitate the minor child's visitation with the plaintiff. A $3500 retainer was required for the use of this service; the plaintiff was ordered to pay 18 percent of the costs, and the defendant was to be responsible for the remaining 82 percent of the costs. On May 6, 2014, the plaintiff, alleging the defendant's consistent interference with his relationship with the minor child, filed a motion for modification of legal custody, seeking joint legal custody, along with a motion for attorney's fees that sought "attorney's fees in an amount sufficient to prosecute the underlying motion for modification" and a further order that the defendant pay the cost of the child's guardian ad litem. 2 He further alleged that he previously had "earnings of less than $150,000 per year" and was unemployed as of May 2, 2014.
The court heard the plaintiff's motion for attorney's fees on July 28, 2014, and issued its memorandum of decision on November 19, 2014. The court noted that the "parties were before the court on the plaintiff's motion for attorney's fees ... in which the plaintiff seeks an award of attorney's fees for counsel to represent him in the parties' continuing dispute over custody and visitation, particularly in prosecuting the plaintiff's motion for modification for joint legal custody."
The court then found the following facts. "The plaintiff testified that he had been unemployed since May, 2014. He was residing with his parents at the time of the hearing. According to his financial affidavit, the plaintiff has net weekly income of $15, representing residuals for his prior work in television and film. The plaintiff's financial affidavit reflects a total of $2785 in his checking and savings accounts and liabilities totaling $58,139.
"According to the affidavit of counsel fees submitted by the plaintiff's counsel, the plaintiff had paid $22,339 and owed $41,261 as of the hearing date. The plaintiff testified that he had not asked his parents for financial assistance to pay his legal bills. There was no evidence that the plaintiff's parents were willing or able to do so. 3
"The defendant is a managing director of Gladstone Management Corporation, a family company. 4 According to her financial affidavit, her net weekly income from employment is $5569. She had $7742 in her checking account and retirement assets totaling $429,075 as of the hearing date. The defendant reported liabilities of $288,354 on her financial affidavit, $266,450 of which was a loan from the defendant's father for her legal fees in this action. The balance due to the defendant's father had increased by approximately $166,000 since January, 2014 ....
"There is a significant disparity between the financial resources of the plaintiff and those available to the defendant. 5 In addition to her own earnings and assets, the defendant has a loan facility with her father to fund her legal fees as necessary. The plaintiff does not have a similar line of credit arrangement with his family.
"If the plaintiff cannot afford an attorney to represent him in postjudgment custody and visitation matters, he may be unable to protect his interests and the best interests of the parties' child .... Where, as here, a minor child is involved, an award of counsel fees may be even more essential to insure that all of the issues are fully and fairly presented to the court ....
"The court finds that the attorney's fees and costs sought by the plaintiff are reasonable under the circumstances. 6 An award that includes a retainer for future professional services is also appropriate here in view of the issues relating to the parties' child that are pending before the court." (Citations omitted; footnotes altered.)
The court granted the plaintiff's motion and ordered that the defendant pay $75,000 toward the plaintiff's attorney's fees which payment "includes a retainer for services to be rendered in the future, to counsel for the plaintiff on or before December 15, 2014." This appeal followed.
The defendant filed a motion for articulation with this court on June 30, 2015. The trial court filed its articulation on September 25, 2015. The defendant requested that the court articulate (a) the legal and factual basis for the trial court's finding that the defendant had a "loan facility with her father to fund her legal fees as necessary"; (b) whether the trial court determined that the defendant has a line of credit arrangement with her father to fund her own future legal expenses, and, if so, the legal and factual basis for that determination; (c) whether the trial court determined that the defendant would use a "loan facility with her father" to pay all or any part of the court's $75,000 counsel fee award; and (d) the factual basis for the trial court's determination that the plaintiff does not have a line of credit arrangement with his family.
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KELLER, J.
This appeal, and a related appeal,
Pena v. Gladstone,
The following facts and procedural history are relevant to this appeal. The parties were divorced on August 17, 2010. The defendant was awarded sole legal and physical custody of the parties' minor child in accordance with Article II of a separation agreement executed by the parties. That lengthy and complex section of the agreement, regarding custody and visitation, as well as other parenting considerations, provided the plaintiff with liberal parenting time with the child. Litigation between the parties continued, however, after the entry of the dissolution judgment, and each party filed numerous motions relative to parenting issues. The situation deteriorated to the point where on July 28, 2014, the parties agreed to engage the services of Visitation Solutions to evaluate and facilitate the minor child's visitation with the plaintiff. A $3500 retainer was required for the use of this service; the plaintiff was ordered to pay 18 percent of the costs, and the defendant was to be responsible for the remaining 82 percent of the costs. On May 6, 2014, the plaintiff, alleging the defendant's consistent interference with his relationship with the minor child, filed a motion for modification of legal custody, seeking joint legal custody, along with a motion for attorney's fees that sought "attorney's fees in an amount sufficient to prosecute the underlying motion for modification" and a further order that the defendant pay the cost of the child's guardian ad litem. 2 He further alleged that he previously had "earnings of less than $150,000 per year" and was unemployed as of May 2, 2014.
The court heard the plaintiff's motion for attorney's fees on July 28, 2014, and issued its memorandum of decision on November 19, 2014. The court noted that the "parties were before the court on the plaintiff's motion for attorney's fees ... in which the plaintiff seeks an award of attorney's fees for counsel to represent him in the parties' continuing dispute over custody and visitation, particularly in prosecuting the plaintiff's motion for modification for joint legal custody."
The court then found the following facts. "The plaintiff testified that he had been unemployed since May, 2014. He was residing with his parents at the time of the hearing. According to his financial affidavit, the plaintiff has net weekly income of $15, representing residuals for his prior work in television and film. The plaintiff's financial affidavit reflects a total of $2785 in his checking and savings accounts and liabilities totaling $58,139.
"According to the affidavit of counsel fees submitted by the plaintiff's counsel, the plaintiff had paid $22,339 and owed $41,261 as of the hearing date. The plaintiff testified that he had not asked his parents for financial assistance to pay his legal bills. There was no evidence that the plaintiff's parents were willing or able to do so. 3
"The defendant is a managing director of Gladstone Management Corporation, a family company. 4 According to her financial affidavit, her net weekly income from employment is $5569. She had $7742 in her checking account and retirement assets totaling $429,075 as of the hearing date. The defendant reported liabilities of $288,354 on her financial affidavit, $266,450 of which was a loan from the defendant's father for her legal fees in this action. The balance due to the defendant's father had increased by approximately $166,000 since January, 2014 ....
"There is a significant disparity between the financial resources of the plaintiff and those available to the defendant. 5 In addition to her own earnings and assets, the defendant has a loan facility with her father to fund her legal fees as necessary. The plaintiff does not have a similar line of credit arrangement with his family.
"If the plaintiff cannot afford an attorney to represent him in postjudgment custody and visitation matters, he may be unable to protect his interests and the best interests of the parties' child .... Where, as here, a minor child is involved, an award of counsel fees may be even more essential to insure that all of the issues are fully and fairly presented to the court ....
"The court finds that the attorney's fees and costs sought by the plaintiff are reasonable under the circumstances. 6 An award that includes a retainer for future professional services is also appropriate here in view of the issues relating to the parties' child that are pending before the court." (Citations omitted; footnotes altered.)
The court granted the plaintiff's motion and ordered that the defendant pay $75,000 toward the plaintiff's attorney's fees which payment "includes a retainer for services to be rendered in the future, to counsel for the plaintiff on or before December 15, 2014." This appeal followed.
The defendant filed a motion for articulation with this court on June 30, 2015. The trial court filed its articulation on September 25, 2015. The defendant requested that the court articulate (a) the legal and factual basis for the trial court's finding that the defendant had a "loan facility with her father to fund her legal fees as necessary"; (b) whether the trial court determined that the defendant has a line of credit arrangement with her father to fund her own future legal expenses, and, if so, the legal and factual basis for that determination; (c) whether the trial court determined that the defendant would use a "loan facility with her father" to pay all or any part of the court's $75,000 counsel fee award; and (d) the factual basis for the trial court's determination that the plaintiff does not have a line of credit arrangement with his family. The court articulated: "[T]he court's finding that the defendant had a 'loan facility with her father to fund her legal fees as necessary' was based on the defendant's testimony at the hearing .... The court made no findings as to whether the defendant has a line of credit arrangement with her father to fund her own future legal expenses. The court made no findings as to whether the defendant would use a 'loan facility with her father' to pay all or any part of the $75,000 counsel fee award to the plaintiff. The court's finding that the plaintiff does not have a line of credit arrangement with his family was based on the plaintiff's testimony at the ... hearing."
The defendant also requested that the court articulate the legal and factual basis for (a) the portion of the $75,000 attorney's fee award that was for services already rendered by the plaintiff's counsel, and (b) the portion of the $75,000 award that was for services to be rendered in the future. The court articulated that it "did not allocate the award of attorney's fees between payment for services that had already been provided by the plaintiff's counsel and a retainer for future services. Counsel for the plaintiff provided an affidavit of attorney's fees and represented to the court at the ... hearing that his firm was owed $41,261.12. He also requested a retainer of $50,000." No motion for review of the articulation was filed.
The court granted the plaintiff's motion for a termination of the stay of its $75,000 counsel fee award on September 22, 2015. The defendant filed a motion for review of that order. On November 18, 2015, this court granted that motion and granted the relief requested by vacating the trial court's order terminating the stay.
Additional facts will be set forth as necessary.
I
We first address the defendant's claim that the court improperly applied the law when it ordered the defendant to pay the plaintiff's attorney's fees.
We begin by noting our standard of review, which is well established. In dissolution proceedings, the court may order either parent to pay the reasonable attorney's fees of the other in accordance with their respective financial abilities and
the criteria set forth in General Statutes § 46b-82 ;
7
see also General Statutes § 46b-62.
8
This includes postdissolution proceedings affecting the custody of minor children. See
Krasnow v. Krasnow,
The defendant contends that the trial court could not order her to pay the plaintiff's attorney's fees unless the evidence showed that she had ample liquid assets with which to pay the award, and that the plaintiff's only liquid asset at the time of the hearing on the plaintiff's motion was a bank account with a balance of $7742. She argues that had the court done a proper analysis of whether an award of counsel fees was appropriate, it would have concluded that neither party had ample liquid assets to support an award of attorney's fees. Instead, she claims, the court looked past her limited liquid funds and considered the parties' total financial resources and, in doing so, took an unbalanced view of them. She further claims that the court improperly accepted as true the plaintiff's allegations that she had violated their parenting agreement and considered the defendant's past ability to borrow funds from her father to pay her past legal fees. The defendant also asserts that if neither party has ample liquid funds to pay attorney's fees, there has to be a required finding of contempt, misconduct, or bad faith litigation in order to justify an award.
The plaintiff asserts that the court, after first determining that the plaintiff, the party seeking counsel fees, did not have ample liquid assets with which to pay attorney's fees, properly applied the law and considered the parties' overall financial abilities and considered the required statutory criteria in determining whether to award attorney's fees. He claims that the defendant is faulting the trial court for not specifying how it considered and weighed each statutory criterion despite the fact that the trial court is not obligated to make express findings on each of the criteria. Finally, the plaintiff argues that the court emphasized that in issues involving a minor child's custody, an award of counsel fees may be even more essential to protect the child's best interests. We agree with the plaintiff that the court's determination that the defendant should pay an award of counsel fees to the plaintiff was not in derogation of the law. We disagree with the plaintiff, however, as to the reasonableness of the fees that were awarded to the plaintiff, which will be discussed in part II of this opinion.
General Statutes § 46b-62 governs the award of attorney's fees in dissolution proceedings except in certain contempt matters.
10
Section 46b-62 provides in relevant part that "the court may order either spouse ... to pay the reasonable attorneys' fees of the other in accordance with their respective financial abilities and the criteria set forth in § 46b-82." These criteria include, inter alia, the parties' "age, health, station, occupation, amount and sources of income, earning capacity, vocational skills, education, employability, estate and needs ...." General Statutes § 46b-82 (a). "[T]he focus of § 46b-62 is on compensation. Section 46b-62 empowers a trial court to award attorney's fees to make a financially disadvantaged party whole for pursuing a legitimate legal claim. The court may not exercise this compensatory power without first ascertaining that the prospective recipient lacks funds sufficient to cover the cost of his or her legal expenses."
Dobozy v. Dobozy,
In making an award of attorney's fees pursuant to these statutes, "[t]he court is not obligated to make express findings on each of these statutory criteria." (Internal quotation marks omitted.)
Grimm v. Grimm,
In
Koizim v. Koizim,
Subsequently, in
Maguire v. Maguire,
"It is also well established that the court has inherent equitable powers in resolving actions stemming from a marital dispute, and the court may consider factors other than those enumerated in the statutes if such factors are appropriate for a just and equitable resolution of the marital dispute ...." (Internal quotation marks omitted.)
Clougherty v. Clougherty,
supra,
In the present case, the court heard brief testimony from both parties and also had for its review the parties' financial affidavits, the defendant's 2013 tax return and her Form W-2 for 2012. The defendant's wages and other compensation exceeded one million dollars per year. Her assets, including a one-half interest in a home in Greenwich valued at $722,129, 12 restricted stock valued at $73,713, upon which the defendant had been able to borrow, and retirement assets valued at $429,075. The plaintiff was unemployed and had a weekly net income of $15. He was living with his parents and the net value of his assets was $29,983.89. Although the defendant testified, she never asserted during the hearing that she could not generate additional funds by liquidating or borrowing on her considerable assets. The court found that she had incurred attorney's fees in the amount of $166,000 between January and July, 2014.
In granting the plaintiff an award of counsel fees in this case, the court noted that if the potential obligee has ample liquid funds, an allowance of counsel fees would not be justified. Therefore, the court obviously concluded, after noting that the plaintiff was unemployed with a net weekly income of $15 and liabilities totaling $58,139 and that he was residing with his parents, that he did not possess ample liquid funds. As a result, the court expressly indicated, without specificity, that it had considered the total financial resources of the parties, employing the criteria set forth in § 46b-82 as required by § 46b-62, the statute that permits the court to award attorney's fees in dissolution proceedings.
The defendant devotes a considerable portion of her brief to arguing that the court specifically neglected to consider certain criteria or that it impermissibly considered others.
The defendant asserts that the court abused its discretion by failing to consider the plaintiff's employability or earning capacity, but the court heard the plaintiff testify that he was currently unemployed and what amounts he had earned at several of his prior places of employment. The defendant's counsel made no further inquiry in this area. The defendant also claims that the court failed to consider her expenses as the custodial parent, which were reflected on her financial affidavit. In marshaling the evidence during a brief closing argument, however, the defendant's counsel did not present any argument to the court regarding the plaintiff's employability or earning capacity, or the defendant's custodial expenses, or how they should be taken into consideration when ruling on the plaintiff's motion.
The defendant also claims that the court failed to consider the fact that her earning level is commensurate with her expense level, 13 and, therefore, she cannot possibly comply with an order to pay the plaintiff's counsel fees.
Despite the defendant's assertions that the court did not consider the plaintiff's employability, or the defendant's custodial and other expenses, nothing in the court's memorandum of decision supports that conclusion. Rather, the trial court concluded, after reviewing and considering the evidence of the parties' financial circumstances, that there was "a significant disparity between the financial resources of the plaintiff and those available to the defendant." The court, given the circumstances of this case, reasonably deemed giving considerable weight to the plaintiff's earning capacity to be inappropriate. The visitation situation in this case had progressed to a point where, for whatever reason, the minor child, who was seven years old at the time of the hearing, was not seeing the plaintiff as often as was contemplated by the separation agreement, visits were supervised, and a visitation evaluation had become necessary. Thus, it was not unreasonable for the court to conclude that time was of the essence and that waiting for the plaintiff to find employment commensurate with his earning capacity would not be in the minor child's best interests.
Taking further aim at the court's consideration of the best interests of the minor child, the defendant argues that it was improper for the trial court to consider the basis underlying the plaintiff's motion for modification in ruling on his motion for counsel fees. The defendant suggests that the court accepted as true the plaintiff's allegations of parental alienation on her part and, therefore, issued a punitive award. We do not agree. Although the court indicated as part of its consideration that "[i]f the plaintiff cannot afford an attorney to represent him in postjudgment custody and visitation matters, he may be unable to protect his interests and the best interests of the parties' child," and that "where, as here, a minor child is involved, an award of counsel fees may be even more essential to insure that all of the issues are fully and fairly presented to the court," the court did not specifically find that there was truth to the plaintiff's allegations of parental alienation on the part of the defendant.
14
Our Supreme Court has indicated that a paramount consideration in the determination of whether to award a party counsel fees is that the party "may not be deprived of [his or] her rights because of lack of funds." (Internal quotation marks omitted.)
Koizim v. Koizim,
supra,
Clougherty v. Clougherty,
supra,
The defendant also argues that the court improperly considered her nonliquid assets in awarding the plaintiff counsel fees. She claims the court should have considered only the $7742 in her checking account in determining her ability to pay an award of attorney's fees. In the alternative, the defendant claims that even if the trial court was correct in examining her "total financial resources," it should have denied the plaintiff's motion because she does not possess adequate financial resources to pay the plaintiff's counsel fees.
Contrary to the argument set forth by the defendant, case law does not require the trial court to first determine whether the party opposing the request for an award of counsel fees has ample liquid assets sufficient to pay such an award. Hence, the defendant's view of the trial court's discretionary authority to award attorney's fees is too restrictive and would render the reference to § 46b-82 in § 46b-62 a ity. It also would permit a recalcitrant party to insulate other sources of income from the court's consideration in weighing the criteria set forth in § 46b-82 merely by avoiding the accumulation of immediately accessible sums of money.
In
Dobozy v. Dobozy,
supra,
Although the court in
Bornemann v. Bornemann,
supra,
The use of the term "ample liquid funds" first appears in
Koizim,
with reference to counsel fees pursuant to § 46b-62 being improperly awarded because the proposed recipient of the award possessed ample liquid assets.
Koizim v. Koizim,
supra,
The so-called "
Maguire
rule";
Maguire v. Maguire,
supra,
This court, in
Wood v. Wood,
In the present case, like the plaintiff in Wood, the defendant possessed adequate financial resources, including a substantial income and assets valued at more than $1,230,000, from which the court reasonably could conclude she had the financial ability to comply with the court's order and sustain her basic welfare. The court did not abuse its discretion as it could have determined the defendant had sufficient assets to comply with its award, which assets were not shown to be incapable of liquidation.
The defendant portrays this case as one of first impression because she claims that where neither party has adequate financial resources and there has been no finding of contempt, misconduct or bad faith litigation, attorney's fees may not be awarded. Because we have concluded that the court, after considering the § 46b-82 criteria, reasonably could have found that the defendant
had
sufficient financial resources to pay the award, this argument requires scant attention. The plaintiff, in countering the defendant's argument, cites our Supreme Court's decision in
Mays v. Mays,
The final aspect of the defendant's claim is that the court abused its discretion by considering the defendant's past ability to borrow considerable sums from
her father to pay her own legal fees. On her financial affidavit, the defendant represented that she owed her father $266,450 in loans for legal fees, which she was repaying at the rate of $2664.50 per month.
17
Specifically, she points to a portion of the court's memorandum of decision that notes "the defendant has a loan facility with her father to fund her legal fees as necessary." The defendant asserts that this runs afoul of our Supreme Court's holding in
Mallory v. Mallory,
On the basis of our review of the record and our interpretation of existing case law,
we conclude that the court did not abuse its discretion in granting the plaintiff's motion for attorney's fees to prosecute his
motion for a modification of the custody order. The court correctly considered and employed the
Maguire
test under §§ 46b-62 and 46b-82. Its decision was not phrased in such a manner that it suggested the court was sanctioning the defendant; rather, the court, after considering the correct criteria, also employed its inherent equitable powers in resolving actions stemming from marital disputes and properly considered another factor beyond those enumerated in the statutes.
Benavides v. Benavides,
supra,
II
We next address the defendant's claim that the amount of the attorney's fees awarded reflected an abuse of the court's discretion.
The defendant objects to the payment of fees that, she argues, were outside the scope of the motion, not supported by evidence and completely speculative. She argues that the court improperly awarded both counsel fees for past legal work unrelated to the custody proceeding before it when the plaintiff's motion for counsel fees sought an award only "in connection with the prosecution of the plaintiff's motion for modification of joint legal custody" and not in connection with past litigation. In addition, the defendant claims that the court improperly failed to determine how much of the $75,000 was a retainer for future legal services and how much was for legal services already rendered. 19 Finally, the defendant objects to the court's decision to award fees in an indeterminate amount for future work of undetermined description when the plaintiff offered no testimony, expert or otherwise, to support the representation of counsel that he needed a $50,000 retainer for future work.
The plaintiff counters that the defendant failed to preserve this claim when she failed to object to the submission of the affidavit by the plaintiff's counsel regarding fees or challenge the reasonableness of his requested attorney's fees during the hearing, even after the court addressed the defendant's counsel and asked if she wanted to be heard further on the request. See
Dobozy v. Dobozy,
supra,
Although we agree that under the circumstances of this case, which plainly reflect a history of litigiousness between the parties, the court acted within its wide discretion in awarding a sizeable retainer, 20 we agree with the defendant that the court abused its discretion in setting the award of fees at $75,000 because the unspecified portion of the award that constituted payment of past fees for legal work unrelated to the plaintiff's pending custody issue was improper.
The following additional facts are relevant to the issue of the impropriety of the amount of fees awarded. During the hearing on the plaintiff's motion for attorney's fees, after the parties had testified, the plaintiff's counsel submitted a fee affidavit that contained entries spanning a period from March, 2012, to July 28, 2014. The fee affidavit indicated an amount billed over the past twenty-eight months of $63,600, and an amount due of $41,261.12 for past services rendered. The plaintiff's counsel represented that he sought an additional $50,000 retainer for possible future work on the plaintiff's motion for modification of custody. The defendant's counsel did not dispute the reasonableness, as to amount, of fees incurred for past work performed, but the defendant did object to the granting of any award. Furthermore, the defendant's counsel did specifically dispute the assertion of the plaintiff's counsel that a retainer in the amount of $50,000 was necessary for future work related to the pending custody proceeding.
The court's decision indicates that its award was for a combination of past and future legal services. On May 6, 2014, the plaintiff filed his motion to modify custody on his own behalf, yet counsel's signature is not affixed to it. In reviewing the fee affidavit from the plaintiff's counsel, even if we attribute all of the reflected billing descriptions between May 5, 2014, to July 28, 2014, as relating to the prosecution of his motion for modification of custody, the total is $9206.25. 21 In its articulation, the court refused to allocate the award of attorney's fees between payment for past services that already had been provided by the plaintiff's counsel and a retainer for future services, but it did indicate that it found that the plaintiff's counsel was owed $41,261.12, and that he requested a retainer of $50,000 before issuing its $75,000 award.
Preliminarily, we address the issue of whether the defendant waived her right to object to the amount of the past fees or the sizeable retainer awarded. We conclude that the defendant sufficiently alerted the court to her positions that no fees should be awarded and that the inclusion, in any award, of a $50,000 retainer would be unreasonably premature. We agree with the plaintiff, however, that the defendant did not object at the hearing to the amount of the claimed allowance on the ground of the lack of any evidentiary support. As the defendant indicated in her brief, this was not a case involving an objection to the truthfulness of counsel's fee affidavit or the quality of counsel's work; rather, the defendant objected to payment of any fees, and specifically, future fees for a retainer that she claimed encompassed a hearing in Middletown that might never occur.
A
First, we discuss our conclusion that the court erred in including, as part of its award, attorney's fees related to past services. In
Dobozy v. Dobozy,
supra,
Furthermore, in this regard, "we note that [p]leadings have their place in our system of jurisprudence. While they are not held to the strict and artificial standard that once prevailed, we still cling to the belief, even in these iconoclastic days, that no orderly administration of justice is possible without them .... It is fundamental in our law that the right of a [party] to recover is limited to the allegations in his [pleading] .... Facts found but not averred cannot be made the basis for a recovery .... Thus, it is clear that [t]he court is not permitted to decide issues outside of those raised in the pleadings .... A judgment in the absence of written pleadings defining the issues would not merely be erroneous, it would be void." (Citation omitted; internal quotation marks omitted.)
Breiter v. Breiter,
B
Next, we address whether the court abused its discretion in awarding the plaintiff a retainer for future attorney's fees. The defendant claims that the trial court abused its discretion in awarding an unspecified retainer for attorney's fees in connection with the prosecution of the plaintiff's motion for modification of custody because his request lacked a sufficient evidentiary foundation and was an unreasonably high amount. The defendant also claims that the award of the retainer was impermissibly vague, failing to provide for the contingency of the motion being resolved before the full amount of the retainer fee awarded was exhausted by the rendition of future services. The plaintiff claims that the defendant waived her right to object to the reasonableness of the retainer sought by the plaintiff, and even if it was properly objected to, there was a sufficient evidentiary foundation justifying the award of fees to secure future work on the motion for modification of custody. 23 We conclude that the court's award of an unspecified retainer for future legal services was not an abuse of discretion.
The following additional facts are relevant to this issue. Upon the submission of an affidavit of counsel fees prepared by the plaintiff's attorney, the court inquired into what fees he was seeking to have paid, and the plaintiff's counsel indicated that the plaintiff was requesting $41,261.12 in unpaid counsel fees for past work, as well as a further retainer of $50,000 for future legal services because "going forward ... this looks like we're going to have a hearing and it may be in Middletown." 24 The court then addressed the defendant's counsel and asked if she wanted to be heard further on the request. In response, the defendant's counsel stated: "The only thing that I would say, Your Honor, I don't dispute the fees that Attorney Piazza is owed or the time or anything of that nature. I would say [I] do dispute ... the likelihood that this would be a hearing in Middletown that will require $50,000 going forward. [M]y hope is that ... this is the first time that we're getting a professional involved that both sides have selected who we all know and trust and respect .... So my hope is that there will be no hearing." Later, the defendant's counsel suggested that the court consider deferring a determination on a fee award to a later point in the progression of the custody dispute, when it would be certain that a contested hearing in Middletown would have to be scheduled.
An allowance for future counsel fees where one spouse is without ability to pay has long been recognized because a party who lacks funds would otherwise be deprived of their rights. "While ordinarily it is the better course for the court to defer such an award until after the services have been rendered, under some circumstances an allowance for future services may be necessary to safeguard a [party's] rights properly."
England v. England,
"[T]o support an award of attorney's fees, there must be a clearly stated and described factual predicate for the fees sought, apart from the trial court's general knowledge of what constitutes a reasonable fee."
Smith v. Snyder,
In the case of a custody modification proceeding, we are aware that many such motions are resolved by agreement after negotiation, or a referral to family relations or mediation, which eliminates the need for a contested hearing. The award of a large retainer may be unwarranted in many such cases where it is impossible to predict how the motion will proceed to a resolution, especially where the court makes no provision for future review of its award. A large retainer award also may create an incentive to litigate rather than settle the custody issue, and it may encourage the erosion of a large retainer award by needless expenditures of the attorney's time. 27
In this case, however, the court began its decision by indicating that it had taken judicial notice of the pleadings, motion and orders in the court file, and it determined that the parties had been continually litigating since the date of their divorce. It found that between September, 2010, the month after the judgment of dissolution entered, and November, 2014, each party had filed at least thirty postjudgment motions related in some way to the parties' minor child. 28 It further noted that the defendant had accumulated legal fees in the amount of $166,000 since January, 2014. The court also had before it evidence that the plaintiff had accumulated expenses for fees related to the prosecution of his motion for modification in the amount of nearly $10,000 in the two months subsequent to the date on which the motion was filed. The court reasonably could have inferred, after reviewing these fees and the history of litigation in the case file, that this case would not be resolved easily. As a result, the court indicated that the plaintiff's request for fees was "reasonable under the circumstances."
In
Rostad v. Hirsch,
Although the precise amount of the retainer awarded in the present case is unclear, as previously noted, even if the court awarded the full $50,000, we find no abuse of discretion here, having reviewed the record, including the parties' past filings and the evidence of both parties' past legal expenses. First, although given the opportunity to respond to the retainer request, the defendant made no inquiry of the plaintiff or his counsel as to the basis for such a retainer, and never objected to the $50,000 retainer claim on the ground of the lack of an evidentiary foundation. See
Dobozy v. Dobozy,
supra,
Consideration of the foregoing and the general factual background disclosed by the record makes clear that the court was fully warranted in awarding the allowance that it did for a retainer and past fees rendered that were related to the recently initiated prosecution of the plaintiff's motion for modification of custody. Although ordinarily it is the better course for the court to defer an award of attorney's fees until after the services have been rendered, in certain circumstances, an allowance for future services may be necessary to properly safeguard a party's rights. The court was justified in treating this as such a case.
The judgment is reversed only as to the award of attorney's fees for past legal services rendered that were unrelated to the plaintiff's May 6, 2014 motion for modification of custody, and the case is remanded for further proceedings on the plaintiff's motion for attorney's fees, consistent with this opinion, to reduce the amount of the award by the amount of past legal fees awarded to the plaintiff that were not directly related to the prosecution of his motion for modification of custody. The judgment is affirmed in all other respects.
In this opinion the other judges concurred.
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Cite This Page — Counsel Stack
144 A.3d 1085, 168 Conn. App. 141, 2016 Conn. App. LEXIS 347, Counsel Stack Legal Research, https://law.counselstack.com/opinion/pena-v-gladstone-connappct-2016.