In Re Conservatorship of Robert E. Hathaway

CourtCourt of Appeals of Tennessee
DecidedDecember 15, 2023
DocketW2020-00687-COA-R3-CV
StatusPublished

This text of In Re Conservatorship of Robert E. Hathaway (In Re Conservatorship of Robert E. Hathaway) is published on Counsel Stack Legal Research, covering Court of Appeals of Tennessee primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Conservatorship of Robert E. Hathaway, (Tenn. Ct. App. 2023).

Opinion

12/15/2023 IN THE COURT OF APPEALS OF TENNESSEE AT JACKSON November 28, 2023 Session

IN RE CONSERVATORSHIP OF ROBERT E. HATHAWAY

Appeal from the Probate Court for Shelby County No. D-11390-1 Robert E. Lee Davies, Senior Judge ___________________________________

No. W2020-00687-COA-R3-CV ___________________________________

Appellant attorney appeals the denial of his request for attorney’s fees to be paid from the estate of a ward in a conservatorship proceeding. The trial court denied the request on the bases that the legal services contract at issue did not provide for the payment of fees from the estate, the ward lacked capacity to enter into a power of attorney giving the executor of the contract authority to do so, and the applicant attorney was never appointed as attorney ad litem for the ward. We affirm.

Tenn. R. App. P. 3 Appeal as of Right; Judgment of the Probate Court Affirmed and Remanded

J. STEVEN STAFFORD, P.J., W.S., delivered the opinion of the court, in which ARNOLD B. GOLDIN, and KENNY ARMSTRONG, JJ., joined.

Richard W. Parks, Memphis, Tennessee, Pro se.

Deborah K. Brooks, Memphis Tennessee, for the appellee, Aging Commission of the MidSouth.

Thomas Branch, Memphis, Tennessee, Guardian Ad Litem

OPINION

I. FACTUAL AND PROCEDURAL BACKGROUND

This case involves an application for fees incurred in a conservatorship action in the Shelby County Probate Court (“the trial court”). In March 2011, a petition was filed for the appointment of a conservator over Robert E.L. Hathaway. In the course of the proceedings, a guardian ad litem was appointed for Mr. Hathaway. In December 2012, Appellee the Aging Commission of the Midsouth (“ACMS”) was appointed as the interim conservator. In February 2013, the trial court appointed ACMS as the permanent conservator of Mr. Hathaway. The case proceeded for several years.

Eventually, in October 2016, Mr. Hathaway died, and the conservatorship was terminated. The trial court was left with $19,165.50 in Mr. Hathaway’s estate to distribute. Three individuals associated with the conservatorship requested fees to be paid from the estate: (1) Appellee Thomas Branch (“GAL Branch,” and together with ACMS, “Appellees”), the guardian ad litem, requested $19,250.00 in fees and expenses; (2) Peggy Dobbins, as the public conservator with ACMS, requested $15,450.00 and expenses; and (3) Deborah Kay Brooks, as the attorney for Ms. Dobbins and ACMS, requested $11,406.69 in fees and expenses.

On February 12, 2020, a fourth individual requested fees to be paid from the estate. Specifically, Appellant Richard W. Parks, an attorney, filed a motion to enforce a previously filed attorney lien “to insure payment from the estate of [Mr. Hathaway] for valuable legal services rendered on [his] behalf . . . pursuant to a written contract for the same[.]” According to Attorney Parks, if he had not acted

in pursuing and recapturing the aforesaid real and personal property which was fraudulently taken from Mr. Hathaway . . . , the estate of [Mr.] Hathaway would be without any funds whatsoever to pay any of Mr. Hathaway’s still outstanding debts. Therefore, [Attorney] Parks[’s] fees for legal services should be given priority over other outstanding debts and be paid first . . . .

In support of his fee claim, Attorney Parks submitted a power of attorney, drafted by himself and signed by Mr. Hathaway, in favor of Eli Savage; a contract Mr. Savage, as the power of attorney for Mr. Hathaway, signed for legal services with Attorney Parks; a promissory note signed by Mr. Savage, as power of attorney for Mr. Hathaway, to Attorney Parks for $4,500.00; two checks payable to Attorney Parks totaling $5,000.00, also signed by Mr. Savage; and a fee log detailing the work expended by Attorney Parks. According to the application for fees, Attorney Parks incurred $19,670.00 in legal fees on behalf of Mr. Hathaway, with an unpaid balance of $16,970.00. Attorney Parks asked that these fees be paid from the assets of Mr. Hathaway’s estate.

An evidentiary hearing on the outstanding fee requests was held on February 12, 2020. Attorney Parks, GAL Branch, and Attorney Brooks all testified, but no transcript of this hearing is included in the record on appeal.1 By order of February 18, 2020, the trial court entered a detailed written order denying Attorney Parks’s fee application. Therein, the trial court ruled that the contract submitted did “not entitle [Attorney Parks] to any fees

1 The lack of transcript is discussed in detail, infra. -2- for his representation in the probate case.” Moreover, the trial court held that Mr. Hathaway did not have the mental capacity to execute the power of attorney that gave Mr. Savage the authority to execute the legal services contract. The trial court also noted that because Attorney Parks failed to apply for the appointment of an attorney ad litem under Tennessee Code Annotated section 34-1-125,2 the trial court lacked authority to award fees. The trial court awarded reduced fees to GAL Branch, Ms. Dobbins, and Attorney Brooks.3

On March 19, 2020, Attorney Parks filed a motion to alter or amend the trial court’s judgment, asserting that the trial court’s order contained many factual errors, including in regard to the circumstances surrounding the execution of the legal services contract, the investigation of the guardians ad litem into Mr. Hathaway’s competency, and Attorney Parks’s testimony. The motion further asserted that the trial court’s final order should be amended to address “the clerk’s exceptions to the conservator’s ‘final accounting’ and contain a specific ruling as to [Attorney Parks’s] Attorney Lien for legal services[.]” The trial court denied the motion to alter or amend by order of April 2, 2020, on the basis that Attorney Parks was attempting to raise new, previously untried theories. Attorney Parks thereafter appealed to this Court.

II. ISSUES PRESENTED

Attorney Parks raises the following issues, which are taken from his appellate brief with minor alterations:

1. Did the trial court abuse its discretion and err in finding that, despite two years of work pursuant to a voluntary, arms’ length, written contractual agreement statutory and equitable principles of Tennessee law, the rules of professional conduct, a duly documented and timely filed attorney lien, the obvious benefits his client and his estate derived from the undisputed valuable legal services Attorney Parks provided in good faith to protect his client and his rights, to recover valuable personal and real property which had been wrongfully taken from his client and to assist his client in freeing himself from the bonds of a fraudulent, toxic and

2 This statute states as follows:

(a) The court shall appoint an attorney ad litem to represent the respondent on the respondent’s request, upon the recommendation of the guardian ad litem or if it appears to the court to be necessary to protect the rights or interests of the respondent. The attorney ad litem shall be an advocate for the respondent in resisting the requested relief. (b) The cost of the attorney ad litem shall be charged against the assets of the respondent. 3 Specifically, GAL Branch was awarded $8,000.00; Ms. Dobbins was awarded $5,582.75; and Attorney Brooks was awarded $5,582.75. This amount represented the entirety of the assets held by the trial court. -3- harmful marriage to the one who maliciously wronged him and sought to obtain unwanted legal control over his person and property, Attorney Parks is not entitled to any compensation from the conservatorship estate of the now deceased client consisting entirely of funds which Attorney Parks caused to be returned to the said client? 2.

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Bluebook (online)
In Re Conservatorship of Robert E. Hathaway, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-conservatorship-of-robert-e-hathaway-tennctapp-2023.