Securities Publications

Connecticut Judge Bans Out-Of-State Lawyers From Connecticut Arbitrations

Connecticut joins a short list of states which prevent out-of-state lawyers from representing clients in arbitrations. In a recent case, a Hartford Superior Court judge denied the pro hac vice application of a New York lawyer who wanted to represent a client in a Connecticut real estate arbitration.

The judge based his ruling on a section of Connecticut law which authorizes pro hac vice appearances to pursue "a claim or appeal in any court of this state...." The statute, however, does not authorize a pro hac vice appearance in an arbitration. The judge concluded that he had no authority to allow the out-of-state attorney to represent a client in an arbitration.

NASD rules allow any person to represent another in an arbitration; nonetheless, the NASD has issued releases warning unlicensed parties that they are subject to each state's laws and regulations concerning the unauthorized practice of law.