Connecticut Attorney Advertising Disclosure and Compliance Review

CONNECTICUT ATTORNEY ADVERTISING DISCLOSURE AND COMPLIANCE REVIEW

Reviewer and Advertisement Information

Part 1. Threshold Classification — Communication vs. Advertisement vs. Solicitation

This piece is best classified as (check one):

☐ A general communication about the lawyer's services (Conn. RPC 7.1)
☐ An advertisement directed generally to the public (Conn. RPC 7.2; subject to PB § 2-28A filing)
☐ A solicitation of a specific prospective client known to need legal services in a particular matter (Conn. RPC 7.3)
☐ A targeted written / audio / recorded solicitation (Conn. RPC 7.3 — additional labeling requirements apply)

Audience: ☐ General public ☐ Specific persons identified by name ☐ Members of a defined group ☐ Existing or former clients ☐ Other lawyers (referral source)

Subject matter triggers 40-day moratorium under Rule 7.3? ☐ Yes — personal injury, wrongful death, or other accident/disaster matter ☐ No

Part 2. Conn. RPC 7.1 — False or Misleading Communications

The communication:

☐ Does not contain a material misrepresentation of fact or law
☐ Does not omit a fact necessary to make the statement, considered as a whole, not materially misleading
☐ Does not create an unjustified expectation about results that the lawyer can achieve (consistent with SGC advertising advisory opinions)
☐ Does not make an unsubstantiated comparison of the lawyer's services with those of other lawyers
☐ Any prior-results statements are accompanied by an appropriate disclaimer (SGC has approved language such as: "Each case has unique facts and circumstances, similar or better results cannot be guaranteed" or "The legal developments or accomplishments described in these materials should not be assumed an indication of future results")
☐ Any testimonials or endorsements are accurate, are accompanied by an appropriate disclaimer where prior results are referenced, and do not create unjustified expectations
☐ No tagline, phone number, or design element creates an irrebuttable impression of guaranteed success (per SGC advisory opinions, e.g., "1-800-WIN-WIN-1" type phone numbers have been found inherently misleading)
☐ Any dramatizations, simulations, or actor portrayals that could be mistaken for actual clients or events are clearly disclosed

Part 3. Conn. RPC 7.2 — Advertising: Specific Rules

3.1 Conn. RPC 7.2(a) — Permitted Media

☐ The lawyer is communicating information regarding the lawyer's services through permitted media (Rule 7.2(a) authorizes communication through "all media")

3.2 Conn. RPC 7.2(b) — RETENTION AND MANDATORY FILING (UNIQUE CT REQUIREMENTS)

☐ A copy or recording of the communication will be kept for 3 years after its last dissemination, along with a record of when and where it was used
☐ For electronic communications regarding the lawyer's services: the communication will be copied once every three months on compact disc or similar technology and retained for 3 years after last dissemination
☐ A copy of the advertisement has been filed with the Statewide Grievance Committee per Practice Book § 2-28A, before or contemporaneously with publication, unless an exemption applies
☐ The designated attorney's juris number accompanies the firm's filing
☐ Exemptions from filing considered and documented:
☐ Communication requested by a prospective client (information upon request)
☐ Communication sent only to existing/former clients, other attorneys, or businesses
☐ Advertisement containing only the information permitted in Rule 7.2 (subject to non-misleading limitation)
☐ Listing or entry in a regularly published law list
☐ Telephone directory advertisement
☐ Announcement card stating new or changed associations, offices, or similar changes
☐ Domain names of attorney websites — filed on a quarterly basis rather than per-ad
☐ Awareness of random review: the SGC may select the advertisement for review within 3 months of filing

3.3 Conn. RPC 7.2(c) — Payment for Recommendations

☐ The lawyer does not compensate, give, or promise anything of value to a person for recommending the lawyer's services, except:
☐ Reasonable cost of advertisements or communications permitted by Rule 7.2
☐ Usual charges of a not-for-profit or qualified lawyer referral service
☐ Payment for a law practice in accordance with Conn. RPC 1.17
☐ Reciprocal referral agreement that is non-exclusive and disclosed to the client (Rule 7.2(c)(4))
☐ Nominal gift as an expression of appreciation, limited to no more than two per year to any recipient (Rule 7.2(c)(5)) — UNIQUE CT LIMIT

3.4 Conn. RPC 7.2(d) — Specialty Claims

☐ The communication does not state or imply that the lawyer is certified as a specialist in a particular field of law UNLESS:
☐ The lawyer is currently certified by a board or entity approved by the Rules Committee of the Superior Court OR accredited by the American Bar Association (Rule 7.2(d)(1); Rule 7.4A)
☐ The communication clearly identifies the certifying organization (Rule 7.2(d)(2))
☐ The communication does not use "specialist," "certified," "board-certified," "expert," or similar variations unless the lawyer is certified under Rule 7.4A

3.5 Conn. RPC 7.2(e) — Identification of Responsible Connecticut Attorney (UNIQUE CT REQUIREMENT)

☐ The communication includes the name and contact information of at least one lawyer admitted in Connecticut responsible for its content
☐ For television advertisements: the name, address, and telephone number of the responsible Connecticut-admitted lawyer is displayed in bold print for 15 seconds OR the duration of the commercial, whichever is less, and is prominent enough to be readable

3.6 Conn. RPC 7.2(f) — Fee Information Disclosure (UNIQUE CT REQUIREMENT)

Complete this Section if the communication mentions the lawyer's fee in any form (including contingency, "no fee if no recovery," or percentage-of-recovery statements).

☐ The communication discloses whether and to what extent the client will be responsible for any court costs and expenses of litigation
☐ The disclosure is in the same print size and type as the fee information
☐ If broadcast: the disclosure appears for the same duration as the fee information
☐ If the fee information is spoken: the cost-and-expense disclosure is also spoken

Part 4. Conn. RPC 7.3 — Solicitation of Clients

4.1 Live Person-to-Person Solicitation

☐ The communication is not an in-person, live telephone, or real-time person-to-person electronic solicitation of a non-lawyer where a significant motive is the lawyer's pecuniary gain, OR
☐ The solicitation falls within a Conn. RPC 7.3(b) exception — the person contacted is:
☐ Another lawyer
☐ A person with whom the lawyer has a family, close personal, or prior business or professional relationship
☐ A person who routinely uses for business purposes the type of legal services the lawyer offers
☐ A not-for-profit organization or governmental body

4.2 Conn. RPC 7.3(c) — Per Se Prohibitions

The solicitation is not prohibited by Rule 7.3(c) — none of the following applies:

☐ The person's physical, emotional, or mental state makes it unlikely that the person would exercise reasonable judgment in employing a lawyer
☐ The person has expressed a desire not to be solicited
☐ The solicitation involves coercion, duress, fraud, over-reaching, harassment, intimidation, or undue influence

4.3 40-DAY MORATORIUM — Conn. RPC 7.3 (UNIQUE CT REQUIREMENT)

Complete this Section if the matter involves personal injury, wrongful death, or any other accident or disaster.

☐ At least 40 days have passed since the accident or disaster, OR
☐ The target of the solicitation falls within an exception under Conn. RPC 7.3(b) (lawyer, family/close personal/prior professional relationship, or routine business user)
☐ The firm has procedures to confirm the date of the underlying event before any targeted solicitation is initiated
☐ "Lead lists" or referrals from third parties are screened against the 40-day moratorium before contact

4.4 Written, Audio, or Recorded Targeted Solicitations

☐ For solicitations directed to specific persons known to need legal services in a particular matter and not falling within a Rule 7.3(b) exception, the communication includes appropriate identification consistent with Rule 7.3 and any SGC advisory opinions (consider the words "Advertising Material" or equivalent labeling on envelopes and at the beginning and end of audio/video transmissions)
☐ The lawyer has not used a runner, capper, or other person to solicit clients in violation of Conn. RPC 7.3 or applicable Connecticut statutes
☐ Any third-party marketing firm engaged by the lawyer has been instructed in writing on Rule 7.3 limits, and the firm's compliance is supervised under Conn. RPC 5.3 and 8.4(a) (see ABA Formal Op. 501)

Part 5. Conn. RPC 7.4A — Certification as Specialist (If Applicable)

Complete this Part only if the lawyer claims certification as a specialist.

☐ The lawyer is currently certified by a board or entity approved by the Rules Committee of the Superior Court OR accredited by the ABA
☐ The certifying organization is clearly identified in the communication
☐ The lawyer is in good standing with the certifying organization (certifications must be re-determined no less than every 5 years per Rule 7.4A)
☐ The lawyer does not state certification if it has terminated
☐ Certification is not attributed to the firm (Rule 7.4A only certifies individuals)
☐ The certifying board has notified the Statewide Grievance Committee of the lawyer's name, juris number, specialty field, date of certification, and expiration date (Rule 7.4A(b))

Part 6. Conn. RPC 7.5 — Firm Names and Letterheads

☐ The firm name and letterhead do not contain a false or misleading communication (Rule 7.5(a))
☐ A trade name used by the firm:
☐ Does not imply a connection with a government agency or charitable legal services organization
☐ Is not otherwise in violation of Rule 7.1
☐ If the firm has offices in more than one jurisdiction, the firm name lists jurisdictional limitations on the practice of each named lawyer (Rule 7.5(b))
☐ The name of a lawyer holding public office is not used in the firm name or in firm communications during any substantial period in which the lawyer is not actively and regularly practicing with the firm (Rule 7.5(c))
☐ Lawyers are not held out as practicing in a partnership or other organization unless they are in fact associated in such a relationship (Rule 7.5(d))

Part 7. Statewide Grievance Committee — Mandatory Filing (Practice Book § 2-28A)

☐ The advertisement has been (or will be) filed via the Connecticut Judicial Branch E-Services portal with the SGC, accompanied by the designated attorney's juris number
☐ Domain names of any attorney websites used to advertise legal services are filed quarterly, separately from per-ad filings
☐ The firm is prepared to respond to any random review by the Office of Statewide Bar Counsel within 3 months of filing
☐ If desired, the firm has considered submitting the advertisement under Practice Book § 2-28B for an advance advisory opinion before publication

Part 8. Digital, Social Media, and Website-Specific Items

☐ The firm's website identifies at least one Connecticut-admitted lawyer by name and includes contact information (Rule 7.2(e))
☐ Each practice-area page is reviewed for accuracy of legal content and the absence of unjustified expectations
☐ Attorney biographies accurately reflect bar admissions, jurisdictional limitations, and any disciplinary history that is material
☐ The website includes an appropriate disclaimer that the website is an advertisement and that it does not constitute legal advice or create an attorney-client relationship absent a written engagement agreement
☐ The website's contact form / chat / inquiry channel includes a No Attorney-Client Relationship disclaimer
☐ The website's domain name(s) have been filed quarterly with the SGC under PB § 2-28A
☐ Electronic communications regarding the lawyer's services are copied once every three months on compact disc or similar technology and retained for 3 years
☐ Social media posts that constitute advertising comply with Rule 7.1–7.5 (including the designated responsible Connecticut attorney requirement of Rule 7.2(e)) and § 2-28A filing
☐ Paid search and display ads (e.g., Google Ads) identify the responsible Connecticut attorney/firm where feasible and are filed if not exempt
☐ The firm does not use deceptive keyword strategies or other tactics that violate Rule 7.1

Part 9. Electronic Media — Television, Radio, and Streaming Advertising

Complete this Part if the advertisement is disseminated by television, radio, streaming audio/video, or other broadcast electronic media.

☐ The message as a whole is not false, misleading, or deceptive
☐ For television advertisements: the name, address, and telephone number of the Connecticut-admitted responsible attorney is displayed in bold print for 15 seconds or the duration of the commercial, whichever is less, prominent enough to be readable (Rule 7.2(e))
☐ Any fee information is paired with the cost-and-expense disclosure required by Rule 7.2(f) in the same print size/type and same duration; if spoken, the disclosure is also spoken
☐ Any dramatization, impersonation, simulation, or actor-portrayal is clearly disclosed as such
☐ A recording or copy of the advertisement, the script, and a log of broadcast dates/times will be retained for 3 years after the last broadcast (Rule 7.2(b))
☐ The advertisement has been filed with the SGC under PB § 2-28A

Part 10. Generative AI, Chatbots, and Automated Client-Facing Tools

☐ Any AI chatbot or automated assistant that engages members of the public is clearly disclosed as non-attorney ("You are chatting with an automated assistant, not an attorney.")
☐ The chatbot does not provide legal advice and explicitly disclaims that no attorney-client relationship is formed
☐ The chatbot is configured to avoid real-time solicitation prohibited by Conn. RPC 7.3, including the 40-day moratorium for accident/disaster matters
☐ Any generative AI used to draft advertising copy is reviewed by a responsible attorney for accuracy, factual substantiation, and compliance with Conn. RPC 7.1
☐ AI-generated images or video of people who could be mistaken for clients, attorneys, or judges include a disclaimer that the image is AI-generated or a dramatization
☐ The firm has documented its AI usage and supervision policy in accordance with Conn. RPC 5.1 and 5.3
☐ The firm's client confidentiality and data-handling practices for the AI tool have been reviewed under Conn. RPC 1.6 and 1.1
☐ Real-time chat transcripts that constitute advertising are retained under Rule 7.2(b) (3 years; electronic communications copied quarterly)

Part 11. Required Disclosure Language (Insert into Advertisement)

Insert the following or substantively equivalent language as applicable to the medium:

Attorney Advertising Notice (General):

"This is an attorney advertisement. [Firm name] is a law firm and the information contained on this [website / communication] is for general informational purposes only. Nothing on this [website / communication] is intended to create an attorney-client relationship, and no attorney-client relationship is formed unless and until you have entered into a written agreement for representation with [firm name]. Prior results do not guarantee a similar outcome."

Prior-Results Disclaimer (SGC-Approved Language):

"Each case has unique facts and circumstances; similar or better results cannot be guaranteed. The legal developments or accomplishments described in these materials should not be assumed to be an indication of future results."

Contingency-Fee / Costs Disclosure (Conn. RPC 7.2(f) — same size/duration as fee statement):

"If we represent you on a contingency basis, we will receive a fee only if there is a recovery. [☐ You will / ☐ You will not] be responsible for court costs and expenses of litigation regardless of the outcome. In personal injury, wrongful death, and property damage cases, attorney's fees are capped by the sliding-scale schedule of Conn. Gen. Stat. § 52-251c."

Dramatization / Impersonation Disclosure (where applicable):

"Dramatization. Scenes depicted are simulated for illustrative purposes and do not represent actual clients or events. Persons appearing are actors and are not clients of the firm."

Certified Specialist Disclosure (only if certified under Rule 7.4A):

"[Attorney name] is certified as a specialist in [field of law] by [certifying organization], which is [approved by the Rules Committee of the Superior Court of Connecticut] [accredited by the American Bar Association]."

Chatbot / AI Disclosure (where applicable):

"You are interacting with an automated assistant. This assistant is not an attorney, does not provide legal advice, and your communication with it does not create an attorney-client relationship with [firm name]."

Responsible Connecticut Attorney Identification (Conn. RPC 7.2(e)):

"Responsible attorney: [________________________________], Juris No. [____________], admitted to practice in Connecticut. Office address: [________________________________]."

Television Advertisement Display Requirement (Conn. RPC 7.2(e)):

The responsible Connecticut attorney's name, address, and telephone number must appear in bold print for 15 seconds or the full duration of the commercial, whichever is less, prominent enough to be readable.

Part 12. Record Retention, Filing, and Reviewer Certification

☐ A copy of the advertisement (in its final form, in each medium where used) has been saved to the firm's advertising archive
☐ For electronic communications: copies are made every three months on compact disc or similar technology
☐ A record of dates and venues of dissemination has been logged
☐ The advertisement will be retained for at least 3 years from the last date of dissemination (Conn. RPC 7.2(b)(1))
☐ Mandatory filing with the Statewide Grievance Committee under Practice Book § 2-28A has been completed (or exemption documented)

I have reviewed the above advertisement for compliance with Conn. RPC 7.1–7.5, Conn. RPC 7.4A–7.4C, Conn. Practice Book §§ 2-28A and 2-28B, and current Statewide Grievance Committee guidance and advisory opinions, and certify the following:

☐ All applicable items are checked, OR
☐ Deficiencies have been identified and a remediation plan is documented below

Deficiencies / Remediation Notes:

[____________________________________________________________]

[____________________________________________________________]

[____________________________________________________________]

Reviewer Signature: ________________________________ Date: [__/__/____]

Reviewer Printed Name and Juris No.: [________________________________]

Sources and References

• Connecticut Practice Book (current edition) — Rules of Professional Conduct, Chapter on Information About Legal Services
• Statewide Grievance Committee — Attorney Advertising FAQ
• Statewide Grievance Committee — Advertising Advisory Opinions
• Office of Chief Disciplinary Counsel
• Connecticut Bar Association — Standing Committee on Professional Ethics — Informal and Formal Opinions
• Conn. Gen. Stat. § 52-251c (Limitation on attorney contingency fees) — relevant for fee-disclosure advertising
• Connecticut Judicial Branch E-Services (mandatory advertising filing portal)