In re Andrews' Appeal from Probate

826 A.2d 1267, 78 Conn. App. 441, 2003 Conn. App. LEXIS 334
Connecticut Appellate Court·Decided July 29, 2003·No. AC 23447·Published·Cited by 4 cases

Opinion

Opinion

PETERS, J. A

testamentary estate must reimburse an executor for costs reasonably incurred for the benefit of the estate. The issue in this case is whether this principle requires the estate to pay attorney’s fees that an executor incurred in a dispute about the executor’s fees. Under the circumstances of this case, we agree with the trial court that the estate is not chargeable with these attorney’s fees. Accordingly, we affirm the judgment of the trial court.

The plaintiff, Gordon C. Andrews, the executor of the estate of John Stark Gorby, appealed to the Superior Court to challenge the validity of a decree of the Fair-field Probate Court that disallowed charges against the Gorby estate for $25,000 in legal fees and $3423.31 in associated costs. These fees represented amounts that attorney William A. Phillips had charged the plaintiff to represent him in his effort to obtain an executor’s fee larger than that which he had been awarded by the Probate Court. The defendant, John Thomas Gorby, the only son of the decedent and the primary beneficiary of the estate, objected to having additional fees charged to the estate. The trial court concluded that the plaintiff was not entitled to recover the fees and costs associated with Phillips’ services.1

The plaintiff appeals from the judgment of the trial court on two grounds. As a procedural matter, he claims that the court, Hon. Joseph T. Gormley, Jr., judge trial referee, lacked jurisdiction to hear this case because [443]*443the court, Melville, J., improperly declined to re-refer it for a rehearing before an attorney trial referee. As a substantive matter, he claims that the court improperly rejected his claim that the Gorby estate should be charged with the fees and costs arising out of the legal services provided by Phillips. Neither claim raises any question of disputed fact. Accordingly, our review of the plaintiffs claims is plenary. Rosato v. Rosato, 77 Conn. App. 9, 17, 822 A.2d 974 (2003).

I

The plaintiffs procedural claim arises out of proceedings predating the trial before the court, Hon. Joseph T. Gormley, Jr., judge trial referee. In the plaintiffs view, the proper forum for hearing the dispute about financial responsibility for his attorney’s fees was a proceeding before an attorney trial referee. We disagree.

At an earlier stage in this litigation, this case had indeed been referred to an attorney trial referee, Daniel Shepro. This referral was vacated because the attorney trial referee did not file his report in favor of the plaintiff within the 120 day period required by Practice Book § 19-4.2 The plaintiff then moved for re-referral of the case to the attorney trial referee. The trial court, Melville, J., denied the plaintiffs motion.

The plaintiff asks us to review the merits of Judge Melville’s decision. We need not address this issue because the plaintiff has waived it. Judge Gormley’s memorandum of decision begins with the statement that “the parties stipulated that this court could determine the issues raised based on the testimony and exhibits before [the attorney trial referee] and the briefs [444]*444and reply briefs filed at that time by the parties. The parties did reserve the right to file supplemental briefs updating the law.” The plaintiff does not dispute the accuracy of the court’s statement. Accordingly, the trial court, sitting as a Probate Court, was the proper forum in which to litigate the merits of the parties’ dispute about attorney’s fees.

II

The plaintiffs substantive claim concerns his alleged right, as executor of the Gorby estate, to charge the estate for the attorney’s fees that he paid Phillips. It is important to state the plaintiffs claim precisely. This case does not concern the duty of an estate to pay for the administrative services rendered by an executor. It does not concern the duty of an estate to reimburse the executor for administrative expenses, including attorney’s fees, that directly benefit the estate. It does concern the alleged duty of an estate, in the event of a fee controversy, to pay not only the executor’s fee but also the fee charged by the attorney representing the executor in the fee dispute. This is an issue of first impression in this state.

The trial court concluded that the estate had no duty to pay an executor’s legal fees under the circumstances of this case. It did not decide whether, in fact, the fees charged by Phillips were reasonable in amount. It decided only that Phillips’ fees were not chargeable to the estate.

A

To provide the context for the plaintiffs claim, we briefly review the history of the fee dispute for which he sought professional assistance from Phillips. The relevant facts are set out in Andrews v. Gorby, 237 Conn. 12, 13-14, 675 A.2d 449 (1996), and in Judge Gormley’s memorandum of decision.

[445]*445In a will executed on February 3, 1987, and in subsequent codicils, John Stark Gorby named the plaintiff the executor of his will and the trustee of two trusts that he had created. Id., 18. The plaintiff was not an estates lawyer. He assumed these fiduciary responsibilities reluctantly, at the request of the decedent, because of a close friendship of fourteen years’ standing. Id. One of the codicils to Gorby’s will provided that the plaintiffs fee as executor would be assessed in accordance with a named bank’s schedule. Id., 18-19. The plaintiff never discussed the amount of his executor’s fees with the decedent. Id., 19-20. The estate consisted of a gross estate valued at $748,656 and assets reported for tax purposes of $614,621. Id., 19.

In 1989, after the death of the decedent and the plaintiffs appointment as executor for the Gorby estate, the plaintiff first utilized his own services as attorney for the estate. In 1992, the plaintiff submitted an accounting to the Probate Court in Fairfield in which he sought an executor’s fee of $28,064 and a separate attorney’s fee of $28,064. He included a claim for attorney’s fees on Phillips’ advice that such a claim was appropriate under Connecticut practice.

After the defendant objected to the plaintiffs proposed fees, the plaintiff revised his fee request upward. Upon the advice of Phillips, whom he had engaged as counsel, he calculated his fees according to the bank schedule that was incorporated in the codicil to Gorby’s will. As a result, on May 1, 1993, he asked for the approval of an executor’s fee of $45,898 and his own attorney’s fee of $28,064. He also listed $5000 as an estimate of “Attorneys Fees — William A. Phillips (estimate).” The Probate Court, Shannon, J., awarded the plaintiff only $28,000 as an executor’s fee and disallowed any claim for an attorney’s fee for the plaintiffs own services “because of his dual capacity.”

[446]*446The plaintiff appealed from that award, first to the Superior Court and then to the Supreme Court. Our Supreme Court set the award of the trial court aside for procedural reasons. Id., 16-17.3

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In re Andrews' Appeal from Probate, 826 A.2d 1267, 78 Conn. App. 441, 2003 Conn. App. LEXIS 334 (Colo. Ct. App. 2003).

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