State v. Jones

• Decision Date: 06 May 1980
• Court: Connecticut Supreme Court
• Parties: STATE of Connecticut v. Reginald JONES.

Page 936

429 A.2d 936

180 Conn. 443

STATE of Connecticut v. Reginald JONES.

Supreme Court of Connecticut.

Argued Dec. 5, 1979.

Decided May 6, 1980.

John R. Williams, New Haven, for appellant (defendant).

Linda K. Lager, Asst. State's Atty., with whom, on the brief, was Arnold Markle, State's Atty., for appellee (state).

Before COTTER, C. J., and LOISELLE, BOGDANSKI, PETERS and HEALEY, JJ.

LOISELLE, Justice.

The defendant appeals from the denial of his motion to disqualify every prosecutor affiliated with the office of the state's attorney for the judicial district of New Haven on grounds of failure to preserve the confidences and secrets of a former client and conflict of interest. The motion was granted in part by the Superior Court, Kinney, J., and from that decision the defendant appeals.

The court's finding sets forth the following facts. The defendant Reginald Jones, a minor at seventeen years of age, is charged with the offense of murder. His father Sammie L. Jones, hereinafter referred to as Mr. Jones, has been appointed guardian ad litem in this prosecution. The defendant has filed notice that he may rely upon a defense of mental disease or defect in this case. Richard P. Sperandeo is the chief assistant state's attorney for the judicial district of New Haven. His responsibilities include the prosecution of crime and representation of the interests of the state. Sperandeo's responsibilities are, on occasion, supervisory when he assigns cases to other attorneys in the office and consults with those attorneys, but he is not so involved in all cases. Sperandeo is also a partner in the law firm of Sperandeo, Weinstein and Donegan, whose two other partners are Josef A. Weinstein and Harold C. Donegan. Sperandeo shares equally with his two partners the responsibilities of his law firm and the representation of all the firm's clients.

The law firm of Sperandeo, Weinstein and Donegan represented the defendant Reginald Jones in a civil action which arose out of an automobile accident in September 1966 when the defendant was five years old. Reginald Jones suffered facial injuries and a possible concussion in that accident. Sperandeo and Donegan worked on the case and helped reach a settlement in 1970. Although the law firm maintained a file containing medical reports and other material on its representation of Reginald Jones in this action, Sperandeo has not represented the defendant in any capacity nor has he looked at the file since the case was settled in 1970. Upon the request of the defendant's present attorney and with the authorization of Mr. Jones, Donegan provided the defendant's attorney with all the medical reports concerning the 1966 automobile accident. The defendant's attorney had requested the entire file, but Donegan refused to give it to him because he did not think the defendant's attorney was entitled to it.

In December 1978, Mr. Jones consulted Donegan about a claim for property damage to his automobile. Donegan talked with Mr. Jones in his office and took information from him, but did nothing more than that. All that Donegan has in his office file regarding this matter is two sheets of paper, one containing notes from his conversation with Mr. Jones, the other indicating the name of the insurance adjuster handling the claim. The property damage claim did not involve the defendant Reginald Jones in any way. Nevertheless, upon the filing of the defendant's motion to disqualify the prosecutors, Donegan terminated his representation of Mr. Jones.

The information charging the defendant with murder was filed on December 15, 1978. The defendant's motion to disqualify prosecutors was filed on December 26, 1978. As of January 4, 1979, the law firm of Sperandeo, Weinstein and Donegan has not represented the defendant or his father in any pending business. Although Sperandeo has access to the defendant's criminal file in the state's attorney's office, he has not looked at this file nor has he had anything to do with the prosecution of the defendant. He has not discussed the case with any of the state's attorneys. Sperandeo is not prosecuting Reginald Jones.

The court concluded that the defendant failed to establish any substantial relationship between the injuries sustained by him in 1966 and possible defenses to this prosecution. The court concluded that the defendant failed to establish that Sperandeo had acquired confidential information from him as a result of his prior representation, or information which if disclosed would prejudice the defendant in the criminal prosecution. The court also concluded that legal disqualification of Sperandeo was not required, but ordered him not to participate in any way, directly or indirectly, in the prosecution of the case and not to discuss the case with any personnel of the state's attorney's office or other law enforcement authorities. With regard to participation in the case by other prosecutors affiliated with the office of the New Haven state's attorney, the court concluded that there was no actual conflict of interest, nor the appearance thereof, nor any impropriety which would preclude prosecution of the defendant by the remaining prosecutors at that office. The defendant's motion to disqualify them was denied.

The defendant assigns error to each of these conclusions, except to the extent that they forbid Sperandeo's participation in the case. The defendant continues to seek legal disqualification of Sperandeo, as well as every other prosecutor affiliated with the New Haven state's attorney's office. The defendant also assigns error to that portion of the finding which overrules his claims of law. These claims of law along with the briefs of the parties argue the standards of professional conduct articulated by other jurisdictions because the issues presented have not been addressed by this court.

The Superior Court has inherent and statutory authority to regulate the conduct of attorneys who are officers of the court. Heiberger v. Clark, 148 Conn. 177, 169 A.2d 652 (1961); State Bar Ass'n v. Connecticut Bank & Trust Co., 145 Conn. 222, 140 A.2d 863 (1958); General Statutes §§ 51-80, 51-84 and 51-90. The conduct of attorneys is also regulated by the Code of Professional Responsibility; Practice Book, 1978, pp. 1-52; which has been approved by the judges of the Superior Court. It is the duty of the Superior Court to enforce the canons of ethics. State v. Jackson, 162 Conn. 440, 449, 294 A.2d 517 (1972). In its execution of this duty, the Superior Court has broad discretionary power to determine whether an attorney should be disqualified for an alleged breach of confidentiality or conflict of interest. See Schloetter v. Railoc of Indiana, Inc., 546 F.2d 706, 710 (7th Cir. 1976); Hull v. Celanese Corporation, 513 F.2d 568, 571 (2d Cir. 1975); Waters v. Western Company of North America, 436 F.2d 1072, 1073 (10th Cir. 1971); Richardson v. Hamilton International Corporation, 469 F.2d 1382, 1385-86 (3d Cir. 1972), cert. denied, 411 U.S. 986, 93 S.Ct. 2271, 36 L.Ed.2d 964 (1973). In determining whether the Superior Court has abused its discretion in denying a motion to disqualify, this court must accord every reasonable presumption in favor of its decision. Reversal is required only where an abuse of discretion is manifest or where injustice appears to have been done. State v. Brown, 169 Conn. 692, 702, 364 A.2d 186 (1975).

Canon 4 of the Code of Professional Responsibility provides that "A Lawyer Should Preserve the Confidences and Secrets of a Client." Canon 9 provides that "A Lawyer Should Avoid Even the Appearance of Professional Impropriety." Practice Book, 1978, pp. 23, 50. ¹ An attorney should be disqualified pursuant to Canon 4 if he has accepted employment adverse to the interests of a former client on a matter substantially related to the prior litigation. Allegaert v. Perot, 565 F.2d 246, 250 (2d Cir. 1977); Schloetter v. Railoc of Indiana, Inc., supra, 710; American Can Co. v. Citrus Feed Co., 436 F.2d 1125, 1130 (5th Cir. 1971); City of Cleveland v. Cleveland Electric Illuminating Co., 440 F.Supp. 193, 205 (N.D. Ohio 1977). The substantial relationship test has been honed in its practical application to grant disqualification only upon a showing that the relationship between the issues in the prior and present cases is "patently clear" or when the issues are "identical" or "essentially the same." Government of India v. Cook Industries, Inc., 569 F.2d 737, 739-40 (2d Cir. 1978). Before the substantial relationship test is applied, however, the moving party must prove that he had in the past enjoyed an attorney-client relationship with the attorney sought to be disqualified in order to show that the attorney was in a position in which he could have received information which his prior client might reasonably have assumed would be withheld from his present client, in this instance the state. Allegaert v. Perot, supra; American Can Co. v. Citrus Feed Co., supra, 1129; Cord v. Smith, 338 F.2d 516, 523 (9th Cir. 1964). Once the existence of a prior attorney-client relationship is established and a substantial relationship between the matters in issue is found, the court need not inquire whether the attorney in fact received confidential information, because the receipt of such information is presumed. Government of India v. Cook Industries, Inc., supra, 740; Allegaert v. Perot, supra, 250; Emle Industries, Inc. v. Patentex, Inc., 478 F.2d 562, 571 (2d Cir. 1973); Canadian Gulf Lines, Inc. v. Triton International Carriers, Ltd., 434 F.Supp. 691, 693 (D. Conn. 1976); T. C. Theatre Corporation v. Warner Bros. Pictures, Inc., 113 F.Supp. 265, 269 (S.D. N.Y. 1953). The court cannot inquire into whether the lawyer did in fact receive confidential information during his previous employment which might be used to his former client's disadvantage, because a rule requiring the moving party to prove actual disclosures would destroy...