I N T HE C OU RT OF A P P E A L S OF T E N N E S S E E
A T K N OX V I L L E F IL E D Ma rch 30, 2000
C e cil C ro ws on , J r. A p p e l la t e C o u r t C l e rk
I N RE: ) E 1 9 9 9 - 0 0 1 9 4 - C OA - R 3 - C V E S T A T E OF L I L L I E MA E ) P OR T E R. ) ) ) ) ) A P P E A L A S OF R I G HT F R OM T HE ) L OU DON C OU NT Y P R OB A T E C OU RT ) A P P L I C A T I ON OF A T T O RN E Y S ) MA R Y K A T HE R I N E L ON GWOR T H ) a n d P E G GY J . S . MON GE R , F O R ) FEES AND EXPENSES, ) ) HONORA BL E WI L L I A M H. RUS S E L L , Appl i ca nt s - Appel l ant s . ) J U DG E
For Appel l ant s For Appel l ee s Ted L . Por t er and S h i r l e y P o r t e r Wh e e l e r
MA R Y K A T HE R I N E L ON GWOR T H J E S S D. C A MP B E L L P E G G Y J . S . MO NGER C a mp b e l l & Da w s o n Loudon, Tenne s s ee Knoxv i l l e, Tenne s s ee
For Appel l ee Es t at e of J ohn Ker l ey
RUF US W. BE A ME R, J R. Knoxv i l l e, Tenne s s ee
O P IN IO N
1 V A C A T E D A N D R E MA N DE D Sus ano, J.
Thi s ca s e i nv ol v es an a ppl i ca t i on i n pr obat e f or t he
f e e s a n d e x p e ns e s o f a t t o r n e y s Ma r y K a t h e r i n e L on g wo r t h a nd Pe g g y
J . S . Mo ng e r ( “ t h e At t o r n e y s ” ) a r i s i n g ou t o f t h e i r r e p r e s e n t a t i o n
o f T h o ma s S . Ha r v e y , t h e f o r me r e x e c u t o r o f t h e E s t a t e o f L i l l i e
Ma e P or t e r ( “ t h e Es t a t e ” ) . Be i n g di s s a t i s f i e d wi t h t h e pr o b a t e
c o ur t ’ s a wa r d , t h e At t o r n e y s a p p e a l e d . F o r t h e r e a s o ns s t a t e d
h e r e i n , we v a c a t e t h e j u dg me n t o f t h e l o we r c o u r t a n d r e ma n d f o r
f ur t her pr oce edi ngs .
We a r e f a c e d wi t h a di s p u t e r e g a r d i n g a t t o r n e y ’ s f e e s
a n d e x p e n s e s a l l e g e d l y i n c u r r e d i n c o n n e c t i o n wi t h t h e
a d mi n i s t r a t i o n o f t h e E s t a t e . Ms . P o r t e r ’ s 1 9 9 0 wi l l a p p o i n t e d
a t t o r n e y E d wi n H. A r n o l d e x e c u t o r o f t h e E s t a t e . A 1993 codi ci l
t o t hat wi l l r e mo v e d A r n o l d a s e x e c u t o r a n d d e s i g n a t e d Ms .
P o r t e r ’ s s o n , T h o ma s S . Ha r v e y ( “ t h e P r o p o n e n t ” ) t o s e r v e i n h i s
pl ac e. The Pr oponent e mp l o y e d t h e A t t o r n e y s t o r e p r e s e n t t he
Es t at e. T h e r e w e r e t wo l a w s u i t s , o n e i n c i r c u i t c o u r t a n d o n e i n
c h a n c e r y c o u r t , a n d ma n y p r o c e e d i n g s , i n c l u d i n g a p r i o r a p p e a l ,
t o u c h i n g u p o n t h e v a l i d i t y a n d e f f i c a c y o f t e s t a me n t a r y d o c u me n t s
a l l e g e d l y s i g n e d b y Ms . P o r t e r . Ul t i ma t e l y , a j u r y i n c i r c u i t
c o u r t f o u n d t h e 1 9 9 0 wi l l v a l i d , b u t d e t e r mi n e d t h a t t he 1993
c o d i c i l wa s i n v a l i d . The Pr oponent wa s r e mo v e d a s e x e c u t o r o f
t h e E s t a t e a n d A r n o l d q u a l i f i e d t o a d mi n i s t e r t h e E s t a t e .
Wh e n t h e A t t o r n e y s mo v e d i n t h e i n s t a n t ca s e t o r ec ov er
t h e i r f e e s a n d e x p e ns e s f r o m t h e Es t a t e , b e ne f i c i a r i e s u n de r t h e
2 1 1 9 9 0 wi l l - - T e d L . P o r t e r , S h i r l e y P o r t e r Wh e e l e r , a n d J o h n
K e r l e y , wh o a r e t h e t wo s t e p c h i l d r e n a n d b r o t h e r r e s p e c t i v e l y o f
Ms . P or t e r ( c o l l e c t i v e l y “ t h e Co nt e s t a n t s ” ) - - o bj e c t e d t o t h e i r
appl i ca t i on. Af t er a be nch t r i al , t he c our t bel ow awar ded t he
A t t o r n e y s $ 3 2 , 0 0 0 , wh i c h i s o n l y a p o r t i o n o f t h e r e q u e s t e d
a mo u n t , a n d t a x e d h a l f o f t h e a wa r d t o t h e E s t a t e a n d t h e o t h e r
hal f t o t he Pr oponent i ndi v i dual l y . The At t or ney s appe al ,
r a i s i n g wh a t a r e e s s e n t i a l l y t wo i s s u e s :
1. Di d t h e p r o b a t e c o u r t e r r i n f a i l i n g t o a wa r d t h e At t o r n e y s t h e i r e n t i r e c l a i m o f $41, 986?
2. Di d t h e p r o b a t e c o u r t e r r i n t a x i n g o n l y h a l f o f t h e a wa r d t o t h e E s t a t e ?
T he a p pe l l e e s , T e d L . P or t e r , S h i r l e y P o r t e r Wh e e l e r , and t he 2 Es t at e of J ohn Ker l ey , r ai s e a n i s s ue on a ppea l , ques t i oni ng
wh e t h e r t h e At t o r n e y s c a n p u r s u e a d i r e c t cl ai m agai nst t he
Es t a t e .
I . B a c k g r o u nd
On S e p t e mb e r 1 4 , 1 9 9 0 , Ms . P o r t e r p u r p o r t e d l y e x e c u t e d
h e r l a s t wi l l a n d t e s t a me n t . T h e w i l l wa s p r e p a r e d b y a L o u d o n ,
T e nn e s s e e , l a w f i r m. Wh e n p r o ba t e d , i t wa s a c c o mp a ni e d by a n
a f f i d a v i t o f a t t e s t a t i o n p r e p a r e d c o n t e mp o r a n e o u s l y wi t h t h e
wi l l . U n d e r t h e p r o v i s i o n s o f t h e 1 9 9 0 wi l l , t h e P r o p o n e n t wa s
1 T e d L . P o r t e r a n d S h i r l e y P o r t e r Wh e e l e r a r e a l s o b e ne f i c i a r i e s u n de r t h e 19 93 c od i c i l . 2 Du r i n g t h e c o u r s e o f t h i s l i t i g a t i o n, J o h n Ke r l e y d i e d , a n d h i s est at e wa s s u b s t i t u t e d i n h i s p l a c e .
3 t o r e c e i v e c e r t a i n r e a l p r o pe r t y , a n d t h e r e ma i n de r o f t h e Es t a t e
wa s t o b e d i v i d e d a s f o l l o ws : 2 0 % t o t h e P r o p o n e n t ; 2 0 % t o T e d L .
P o r t e r ; 2 5 % t o S h i r l e y P o r t e r Wh e e l e r ; 2 5 % t o J o h n K e r l e y ; a n d
2 . 5 % e a c h t o Ms . P o r t e r ’ s f o u r s t e p - g r a n d c h i l d r e n . As pr ev i ous l y
i ndi ca t ed, a t t o r n e y E d wi n H. A r n o l d wa s d e s i g n a t e d a s e x e c u t o r o f
t h e E s t a t e u n d e r t h e 1 9 9 0 wi l l .
On S e pt e mb e r 9 , 1 99 3, Ms . P or t e r a l l e g e d l y e x e c u t e d a
c o d i c i l t o t h e 1 9 9 0 wi l l . The 1993 codi ci l does not cha nge t he
di s pos i t i on of t he r ea l pr oper t y t o t he Pr oponent , but does
mo d i f y t h e d i v i s i o n o f t h e r e ma i n d e r o f t h e E s t a t e . The
P r o p o n e n t ’ s s h a r e i n c r e a s e s f r o m 2 0 % t o 5 0 %. The s har e of
S h i r l e y P o r t e r Wh e e l e r d e c r e a s e s f r o m 2 5 % t o 2 0 %, a n d J o h n
K e r l e y ’ s s h a r e i s e l i mi n a t e d . T he c o di c i l d oe s n o t c h a ng e t h e
beque s t s t o Ted L . Por t er and t he s t ep- gr andc hi l dr en. The
codi ci l s ubs t i t ut es t he Pr oponent , i n pl ac e of Ar nol d, as t he
e x e c u t o r o f t h e Es t a t e . T he c o di c i l wa s a l s o a c c o mp a ni e d by a n
a f f i d a v i t o f a t t e s t a t i o n b y t h e wi t n e s s e s t o t h a t i n s t r u me n t .
Ms . P o r t e r d i e d i n N o v e mb e r , 1 9 9 3 . The Pr oponent , as
e x e c u t o r u n d e r t h e 1 9 9 3 c o d i c i l , o f f e r e d t h e 1 9 9 0 wi l l a n d t h e
1993 codi ci l f or pr obat e. The Cont es t ant s f i l ed a cont es t as t o
b o t h i n s t r u me n t s . On A p r i l 2 0 , 1 9 9 5 , t h e P r o b a t e C o u r t c e r t i f i e d
t h e wi l l c o n t e s t t o c i r c u i t c o u r t f o r t r i a l .
I ni t i a l l y , t h e P r o p o n e n t r e t a i n e d t h e s e r v i c e s o f
a t t o r n e y P e t e r A l l i ma n . The Pr oponent t hen r et ai ned a t t or ney
J a me s Ha r v e y S t u t t s f o r a b r i e f p e r i o d o f t i me . T h e c l a i ma n t s
n o w b e f o r e u s f i r s t me t wi t h t h e P r o p o n e n t on or about Apr i l 26,
4 1995. T h e y we r e s u b s t i t u t e d a s c o u n s e l f or t he Es t at e i n pl ac e
of St ut t s on J ul y 10, 1995.
Wh i l e i t i s n o t e n t i r e l y c l e a r i n t h e r e c o r d b e f o r e u s ,
i t a p p e a r s t h a t t h e C o n t e s t a n t s r a i s e d t h r e e i s s u e s i n t h e wi l l
c o n t e s t : ( 1 ) wh e t h e r t h e 1 9 9 0 wi l l wa s i n v a l i d d u e t o u n d u e
i n f l u e n c e a n d wh e t h e r Ms . P o r t e r ’ s s i g n a t u r e w a s f o r g e d t o t h e
1 9 9 3 c o d i c i l ; ( 2 ) wh e t h e r a p r i o r wi l l e x e c u t e d i n 1 9 7 5 a n d
c o d i c i l s e x e c u t e d t h e r e t o i n 1 9 8 0 a n d 1 9 8 4 we r e l o s t o r s p o l i a t e d
t e s t a me n t a r y d o c u me n t s ; a n d ( 3 ) w h e t h e r t h e w i l l s a n d c o d i c i l s
e x e c u t e d i n t h e 1 9 7 0 s b y Ms . P o r t e r a n d h e r l a t e h u s b a n d w e r e
mu t u a l a n d c o n t r a c t u a l , t h e r e b y r e n d e r i n g Ms . P o r t e r ’ s 1 9 9 0 wi l l
a nd 1993 c odi c i l i nv a l i d. S i n c e , t h e l a t t e r t wo i s s u e s a r e
i n a p p r o p r i a t e f o r a wi l l c o n t e s t i n c i r c u i t c o u r t , t wo o f t h e
C on t e s t a n t s f i l e d s u i t r e g a r d i n g t h e s e ma t t e r s i n c ha n c e r y c o u r t
i n N o v e mb e r , 1 9 9 5 . I n addi t i on t o s ui ng t he Es t at e, t he
pl a i nt i f f s i n t ha t a c t i on s ue d t he Pr opone nt pe r s ona l l y , a l l e g i ng
t hat t he Pr oponent c a u s e d Ms . P o r t e r t o c h a n g e t h e d e s i g n a t i o n o n
c e r t a i n c e r t i f i c a t e s of de pos i t s hor t l y be f or e he r de a t h, t he r e by
d i mi n i s h i n g t h e a s s e t s o f t h e E s t a t e . T h e wi l l c o n t e s t i n
c i r c u i t c o u r t wa s p o s t p o n e d p e n d i n g t h e o u t c o me o f t he c as e i n
c h a nc e r y c o ur t .
I n t he c hanc er y cour t s ui t , t he Pr oponent def ende d
h i ms e l f i n d i v i d u a l l y a n d t h e A t t o r n e y s r e p r e s e n t e d h i m i n h i s
c a p a c i t y a s e x e c u t o r o f t h e Es t a t e . T he s u i t a g a i n s t t h e
Pr oponent i n d i v i d u a l l y wa s v o l u n t a r i l y d i s mi s s e d . The Chanc el l or
d i s mi s s e d t h e p l a i n t i f f s ’ c l a i ms a g a i n s t t h e E s t a t e a t t h e c l o s e
of t he i r pr oof , f i ndi ng t ha t t he y f a i l e d t o e s t a bl i s h a l os t or
5 s p o l i a t e d wi l l a n d t h a t t h e y h a d f a i l e d t o e s t a b l i s h t h e
e x i s t e n c e of a c o nt r a c t b e t we e n Ms . P or t e r a n d he r l a t e h us b a n d.
T h i s d e c i s i o n wa s a f f i r me d b y t h i s C o u r t , a n d t h e S u p r e me C o u r t
d e n i e d p e r mi s s i o n t o a p p e a l .
Upon concl us i on of t he c hanc er y cour t ac t i on, t he wi l l
c o n t e s t c a s e mo v e d f o r wa r d . The At t or ney s depos ed s ev er al
i n d i v i d u a l s , i n c l u d i n g V e l v a a n d Ho wa r d Wi l s o n , t h e t wo wi t n e s s e s
t o t h e e x e c u t i o n o f Ms . P o r t e r ’ s p u r p o r t e d 1 9 9 3 c o d i c i l , a n d S a m
J o n e s , t h e a t t o r n e y wh o p r e p a r e d i t . The At t or ney s al s o as s er t
t h a t t h e y r e t a i n e d t h e s e r v i c e s o f a f o r e n s i c d oc u me n t e x a mi n e r
wh o wa s e x p e c t e d t o t e s t i f y t h a t t he s i gna t ur e on t he 1993
c o d i c i l wa s t h a t o f Ms . P o r t e r .
For r ea s ons not di s cl os ed i n t he r ec or d bef or e us , t he
Pr oponent t e r mi n a t e d t h e s e r v i c e s o f t h e A t t o r n e y s o n o r a b o u t
De c e mb e r 1 5 , 1 9 9 7 , a n d t h e A t t o r n e y s wi t h d r e w f r o m t h e w i l l
cont es t ca s e on F ebr uar y 12, 1998. The Pr oponent pr oce ede d i n
t h a t l i t i g a t i o n wi t h o u t t h e a s s i s t a n c e o f c o u n s e l . The j ur y
f ound t hat t h e 1 9 9 0 wi l l wa s v a l i d , b u t h e l d t h a t t he 1993
c o d i c i l wa s i n v a l i d . T h e c o u r t t h e n e n t e r e d a j u d g me n t o n Ma r c h
13, 1998, dec l ar i ng t he 1993 codi ci l i nv al i d - - “nul l and v oi d ab
i ni t i o ” - - a n d d e c l a r i n g t h e 1 9 9 0 wi l l v a l i d . Acc or di ngl y , t he
Pr oponent wa s r e mo v e d a s e x e c u t o r o f t h e E s t a t e a n d A r n o l d wa s
appoi nt ed i n hi s pl ac e.
On Oc t o b e r 2 3 , 1 9 9 8 , t h e A t t o r n e y s f i l e d a “ Mo t i o n t o
Se t At t or ney ’ s Fe es ” i n pr obat e c our t , s ee ki ng $41, 986 i n f ee s
and e xpe ns es . I n s u p p o r t o f t h e i r mo t i o n , t h e y a t t a c h e d a n
6 i t e mi z e d s t a t e me n t o f s e r v i c e s r e n de r e d a n d e x p e ns e s . T he
Cont es t ant s f i l ed obj ec t i ons t o t he At t or ney s ’ r eque s t f or f ee s
a n d e x p e ns e s .
A h e a r i n g w a s h e l d i n P r o b a t e C o u r t o n De c e mb e r 1 7 ,
1998. On A p r i l 2 3 , 1 9 9 9 , t h a t cour t awar ded t he At t or ney s 3 $32, 000, t ax i ng ha l f of t hat a mo u n t t o t h e E s t a t e . The c our t
ma d e n o s p e c i f i c f i n d i n g s o f f a c t .
Pur s uant t o t he pr ov i s i ons of Rul e 24( c) , T. R. A. P. , t he
A t t o r n e y s f i l e d a S t a t e me n t of t he Ev i denc e on J ul y 23, 1999.
T he S t a t e me n t r e f l e c t s 1 7 pi e c e s o f e v i d e nc e , i n c l u di n g
af f i dav i t s , depos i t i ons , pl ea di ngs i n t he c hanc er y cour t ca s e,
t h e f i n a l j u d g me n t i n t h e wi l l c o n t e s t c a s e , t h e 1 9 9 3 c o d i c i l a n d
a c c o mp a n y i n g a f f i d a v i t o f a t t e s t a t i o n , a n d t h e b r i e f f i l e d b y t h e
A t t o r n e y s i n t h e e a r l i e r a p p e al .
A c c o r d i n g t o t h e S t a t e me n t of t he Ev i denc e, t he
d e p o s i t i o n s o f V e l v a Wi l s o n , Ho wa r d Wi l s o n , a n d S a m J o n e s we r e
o f f e r e d i n t o e v i d e nc e a t t h e he a r i n g on t h e At t o r n e y s ’ f ee and
e x p e ns e r e q ue s t a n d we r e a c c e p t e d a s s u c h b y t h e c ou r t wi t h ou t
obj e c t i on f r om t he Cont e s t a nt s . A d d i t i o n a l l y , t h e S t a t e me n t o f
t he Ev i denc e i ndi ca t es t hat couns el f o r t h e C o n t e s t a n t s , wh i l e
ar gui ng t hat t he Pr oponent and not t he Es t at e s houl d be
r e s p on s i b l e f o r t h e f e e s a n d e x p e ns e s , a g r e e d t h a t t h e s u ms
r e q u e s t e d b y t h e A t t o r n e y s we r e r e a s o n a b l e .
3 T h e o t h e r h a l f wa s t a x e d t o t h e P r o p o n e n t i n d i v i d u a l l y ; h o we v e r , i t i s n o t c l e a r f r o m t h e r e c o r d wh e t h e r t h e P r o p o n e n t wa s s e r v e d w i t h a c o p y o f t h e A t t o r n e y s ’ mo t i o n . I n a n y e v e n t , t h i s p o r t i o n o f t h e c o u r t ’ s j u d g me n t i s n o t at i ssue on thi s appeal. H o we v e r , i f t h e P r o p o n e n t w a s n o t p r o p e r l y ma d e a p a r t y t o t h e f e e a p p l i c a t i o n p r o c e e d i n g , we d o u b t t h a t t h e a w a r d a g a i n s t h i m has any va l i di t y.
7 On J u l y 3 0 , 1 9 9 9 , c o u n s e l f or t he Cont es t ant s f i l ed a n
o b j e c t i o n t o t h e A t t o r n e y s ’ S t a t e me n t of t he Ev i denc e. They
a s s e r t e d ( 1) t h a t i t wa s i mp r o pe r t o i n c l u de t h e a f o r e s a i d
depos i t i ons i n t he r ec or d, and ( 2) t hat t hough t hey ag r ee d t hat
t he At t or ney s ’ hour l y r at e was r ea s onabl e a nd di d not ques t i on
t h e n u mb e r o f h o u r s a c t u a l l y e x p e n d e d , t h e y d i d c o n t e n d t h a t ma n y
o f t h e s e e x p e n d e d h o u r s we r e u n n e c e s s a r y . I n addi t i on, t hey
a r g u e d t h a t t h e s e r v i c e s r e n de r e d b y t h e At t o r n e y s we r e p r i ma r i l y
f or t he be nef i t of t he Pr oponent , not t he Es t at e, and t her ef or e
t he Pr oponent s h o u l d b e r e s p o n s i b l e f o r t h e p a y me n t of t hes e
f ee s . On S e p t e mb e r 3 , 1 9 9 9 , t h e p r o b a t e c o u r t c e r t i f i e d t h a t t he
S t a t e me n t o f t h e E v i d e n c e a s s u b mi t t e d b y t h e A t t o r n e y s wa s
correct . S e e Rul e 24( e) , T. R. A. P. (“ Abs ent ex t r aor di nar y
c i r c u ms t a n c e s , t h e d e t e r mi n a t i o n o f t h e t r i a l c o u r t [ a s t o t h e
a c c u r a c y o f t h e r e c o r d] i s c o n c l u s i v e . ” )
I I . St andard of Revi ew
I n t hi s non- j ur y ca s e, our r ev i ew i s de novo upon t he
r ec or d. Rul e 13( d), T . R . A . P . ; Wr i ght v . C i t y of Knoxv i l l e , 8 9 8
S . W. 2 d 1 7 7 , 1 8 1 ( T e n n . 1995); Uni on Carbi de Cor p. v . Huddl e s t o n,
8 5 4 S . W. 2 d 8 7 , 9 1 ( T e n n . 1 9 9 3 ) . B e c a u s e t h e p r o b a t e c o u r t ma d e
no s pe c i f i c f i ndi ng s of f a c t , t he r e i s not hi ng i n t hi s r e c or d t o
wh i c h t h e p r e s u mp t i o n o f c o r r e c t n e s s c a n a t t a c h . S e e Ke l l y v .
Ke l l y , 6 7 9 S . W. 2 d 4 5 8 , 4 6 0 ( T e n n . C t . A p p . 1 9 8 4 ) . Thus , on our de
n o v o r e v i e w, we mu s t a s c e r t a i n , i f a t a l l p o s s i b l e , wh a t f a c t s
8 ar e s uppor t ed by t he pr eponde r anc e of t he e v i denc e. Ga nz e v o or t
v . Rus s e l l , 9 4 9 S . W. 2 d 2 9 3 , 2 9 6 ( T e n n . 1997).
III. Anal ys i s
A.
Be f o r e a dd r e s s i n g t h e i s s u e s r a i s e d b y t h e At t o r n e y s ,
we mu s t f i r s t a n a l y z e t h e i s s u e r a i s e d b y t h e C o n t e s t a n t s , i . e . ,
wh e t h e r t h e At t o r n e y s c a n p u r s u e a d i r e c t cl ai m agai nst t he
E s t a t e f o r f e e s a n d e x p e ns e s a l l e g e d l y e a r n e d a n d i n c ur r e d i n t h e
r epr es ent at i on of t he Pr oponent i n hi s ca pac i t y as ex ec ut or .
The Cont es t ant s r el y upon T. C. A. § 30- 2- 606 (1984),
wh i c h p r o v i d e s a s f o l l o ws :
T he c l e r k s h a l l c h a r g e e v e r y s u c h a c c o un t i n g p a r t y wi t h a l l s u c h s u ms o f mo n e y a s h e h a s r e c e i v e d , o r mi g h t h a v e r e c e i v e d b y u s i n g du e a n d r e a s o na b l e d i l i g e n c e , a n d s h a l l c r e d i t h i m wi t h a r e a s o n a b l e c o mp e n s a t i o n f o r h i s s e r v i c e s , a n d wi t h s u c h d i s b u r s e me nt s a s he s uppor t s by l awf ul v ouche r s .
They al s o ci t e our dec i s i on i n t he c as e of I n r e Es t at e of
Wa l l ac e, 8 2 9 S . W. 2 d 6 9 6 ( T e n n . C t . A p p . 1 9 9 2 ) . I n I n r e Es t at e of
Wa l l ac e, we s a i d t h a t
“ [ w] h e n [ e x e c u t o r s ] r e t a i n c ou ns e l , t h e y a r e pe r s ona l l y l i a bl e f or t he f e e s unt i l a c our t d e t e r mi n e s t h a t t h e s e r v i c e s we r e r e q ui r e d a n d t h a t t h e f e e wa s r e a s o n a bl e . I f a c o ur t a p pr o v e s t h e f e e , t h e e x e c ut o r ma y c h a r g e i t b a c k a g a i n s t t h e e s t a t e a s o n e o f t h e c os t s
9 o f a d mi n i s t r a t i o n u n d e r [ T . C . A . § 3 0 - 2 - 6 0 6 ] . ” I d. a t 7 0 3 ( c i t i n g S t a t e e x r e l Da hl b e r g v . Ame r i c an S ur . C o. , 1 2 1 S . W. 2 d 5 4 6 ( T e n n . 1938)) . E s t a t e f u n d s ma y o n l y b e u s e d t o p a y f o r l e g a l f e e s i f ( 1 ) t h e s e r v i c e s we r e r e q u i r e d ; ( 2 ) t h e s e r v i c e s we r e f o r t h e be ne f i t of t he e s t a t e r a t he r t ha n f or t he b e n e f i t o f o n e o r mo r e o f t h e i n t e r e s t e d p a r t i e s ; a n d ( 3 ) t h e a mo u n t o f t h e r e q u e s t e d f e e i s r e a s o n a bl e . I d. “ Re q u i r i n g t h e e x e c u t o r t o r e q ue s t t h a t l e g a l f e e s b e p a i d f r o m t h e e s t a t e i s mo r e t h a n a p r o c e du r a l t e c hni c a l i t y . I t r e c og ni z e s t ha t t he e x e c ut or i s , i n t he f i r s t i ns t a nc e , l i a bl e f or t he f e e s a nd t ha t t he e s t a t e i s onl y s e c o n da r i l y l i a b l e . I t a l s o r e c o g ni z e s t h a t by r eque s t i ng t hat t he f ee s be pa i d f r om t he e s t a t e , t h e e x e c ut o r c e r t i f i e s t h a t t h e f e e s we r e , i n t h e e x e c u t o r ’ s o p i n i o n , r e q u i r e d a n d r e a s o na b l e . ” I d. a t 7 0 4 .
We d o n o t ques t i on t he a ut hor i t y of T. C. A. § 30- 2- 606
(1984) and t he pr ec ede nt i al v al ue of I n r e Es t at e of Wal l ac e. In
t he t y pi ca l ca s e, i t i s t h e e x e c u t o r wh o s h o u l d p u r s u e t h e
cour t ’ s appr ov al of hi s or her at t or ney ’ s f ee s and e xpe ns es .
Ho we v e r , we d o n ot b e l i e v e t h a t t h i s g e n e r a l rul e i s a bar t o t he
At t or ney s ’ appl i ca t i on i n t he i ns t ant ca s e. He r e , f o r u n k n o wn
r ea s ons , t he Pr oponent di s cha r ge d t he At t or ney s . Then, t o ma k e
ma t t e r s wo r s e f o r h i m, h e d e f e n d e d h i ms e l f i n t h e wi l l c o n t e s t
case. He wa s n o t s u c c e s s f u l . Al l of t hi s hi s t or y i s c a l c ul a t e d
t o p r o d u c e l e s s t h a n f r i e n d l y f e e l i n g s t o wa r d t h e A t t o r n e y s i n
t h e mi n d o f t h e P r o p o n e n t . U n d e r t h e u n i q u e c i r c u ms t a n c e s o f
t h i s c a s e , we b e l i e v e i t i s a p p r o p r i a t e f o r t h e A t t o r n e y s t o
p ur s u e t h e i r a p p l i c a t i o n f o r f e e s a n d e x p e ns e s d i r e c t l y a g a i n s t
t he Es t at e. I f e i t h e r s i d e w i s h e s t o ma k e t h e P r o p o n e n t a pa r t y
t o t h i s d i s p u t e o r s e c u r e h i s t e s t i mo n y o n t h e i s s u e s p e r t a i n i n g
t o t h i s c l a i m, p r o c e d u r e s f o r d o i n g s a me a r e i n p l a c e . The
C o n t e s t a n t s ’ i s s u e i s f o u n d a d v e r s e t o t h e m.
10 B.
T he A t t o r n e y s h a v e r a i s e d wh a t a r e e s s e n t i a l l y t wo
i s s u e s : ( 1 ) wh e t h e r t h e p r o b a t e c o u r t e r r e d i n a w a r d i n g t h e m o n l y
a por t i on of t hei r r eque s t ed f ee s and e xpe ns es ; and ( 2) whet her
t h e p r o b a t e c o u r t e r r e d i n t a x i n g o n l y h a l f o f t h e a wa r d t o t h e
Es t a t e . The At t or ne y s a r g ue t ha t t he y a r e e nt i t l e d t o t he e nt i r e
a mo u n t r e q u e s t e d a n d t h a t t he Es t at e s houl d be r es pons i bl e f or i t
i n t ot o. T he C on t e s t a n t s a r g u e t h a t t h e f e e s a n d e x p e ns e s a r e
ex ce s s i v e a nd t hat t he Es t at e s houl d not be r equi r ed t o pay t hem
b e c a us e t h e y we r e r e n de r e d e x c l u s i v e l y f o r t h e be n e f i t o f t h e
Pr oponent i ndi v i dual l y .
T h e f o l l o wi n g p r i n c i p l e s g o v e r n t h e r e s o l u t i o n o f t h i s
case: On e wh o i s n a me d a s a n e x e c u t o r i n a wi l l h a s a l e g a l d ut y
“ t o of f e r t h e wi l l f o r p r o ba t e a n d t o t a k e t h e ne c e s s a r y s t e p s ,
i n c l u d i n g t h e e mp l o y me n t of couns el , t o r es i s t a c ont es t and t o
s u s t a i n t h e wi l l . . . . ” I n re Es t at e of Tay l or , 3 8 8 S . W. 2 d 6 5 7 ,
660 (Te nn. Ct . App. 1963). On e w h o f u l f i l l s t h i s d u t y i n g o o d
f a i t h i s e nt i t l e d t o c os t s a nd a t t or ne y ’ s f e e s . S mi t h v . Hai r e,
1 8 1 S . W. 1 6 1 , 1 6 2 ( T e n n . 1915). Thi s i s t r ue e v en i f t he wi l l i s
u l t i ma t e l y f o u n d t o b e i n v a l i d . I d. A n a t t o r n e y wh o h a s
a s s i s t e d a n e x e c u t o r wh o h a s p r o p o u n d e d a w i l l i n g o o d f a i t h i s
e n t i t l e d t o r e a s o n a b l e f e e s a n d e x p e ns e s a g a i n s t t h e e s t a t e . See
L o v e v. Cave , 6 2 2 S . W. 2 d 5 2 , 5 7 ( T e n n . C t . A p p . 1 9 8 1 ) .
T h e d e t e r mi n a t i o n o f t h e r e a s o n a b l e n e s s o f f e e s a n d
e x p e ns e s r e q u e s t e d by a n e x e c u t o r i s g e n e r a l l y wi t h i n t h e
d i s c r e t i o n o f t h e t r i a l c o u r t , I n r e Es t at e of Wal l ac e, 8 2 9
11 S . W. 2 d a t 7 0 0 - 0 1 , a n d “ mu s t b e ma d e i n l i g h t of al l t he r el ev ant
c i r c u ms t a n c e s , i n c l u di n g t h e e x t e n t o f t h e e x e c ut o r ’ s
r e s pons i bi l i t i e s , t he na t ur e of t he s e r v i c e s r e nde r e d, t he
p r o mp t n e s s a n d a d e q u a c y o f t h e s e r v i c e s , a n d t h e v a l u e o f t he
b e ne f i t s c o n f e r r e d . ” I d. a t 701.
As a g ene r al p r o p o s i t i o n , a n e x e c u t o r wh o i s t h e
p r i ma r y b e n e f i c i a r y o f a w i l l a n d w h o i s r e s p o n s i b l e f o r
pr ocur i ng t he wi l l by f r aud or undue i nf l uenc e i s not ent i t l ed t o
c os t s o r f e e s . Hai r e , 1 81 S . W. a t 1 62 . Ho we v e r , “ a c a s e ma y
a r i s e i n wh i c h t h e j u r y wo u l d f i n d f r a u d a n d u n d u e i n f l u e n c e w i t h
enoug h ev i denc e t o r equi r e a n appr ov al of s uch a v er di ct by t he
c o ur t , a n d y e t t h e r e mi g h t b e i n s u c h a c a s e c i r c u ms t a n c e s t h a t
wo u l d j u s t i f y t h e a t t e mp t e d p r o b a t e o f t h e wi l l i n g o o d f a i t h . ”
I d. a t 162- 63.
As t o t he At t or ney s ’ f ee s and e xpe ns es i ncur r ed i n
c o n n e c t i o n wi t h t h e p r o p o u n d i n g a n d d e f e n d i n g o f t h e 1 9 9 0 wi l l
and 1993 codi ci l , t he que s t i on t hat mu s t b e d e c i d e d i s wh e t h e r
e x e c u t o r Ha r v e y wa s a c t i n g i n g oo d f a i t h wh e n h e a t t e mp t e d t o
p r o b a t e t h e s e t wo i n s t r u me n t s a n d t h e r e a f t e r d e f e n d e d t h e i r
v a l i d i t y i n t h e wi l l c o n t e s t c a s e . Re g r e t t a b l y , we a r e u n a b l e ,
o n t h e r e c o r d b e f o r e u s , t o ma k e t h i s d e t e r mi n a t i o n wi t h a n y
cert ai nt y.
Beca us e t he he ar i ng on t he At t or ney s ’ appl i ca t i on f or
f e e s a n d e x p e ns e s wa s n o t t r a n s c r i b e d, we ma y o n l y c o n s i d e r a s
ev i denc e i n t hi s ca s e t hat wh i c h i s c o n t a i n e d i n t h e A t t o r n e y s ’
S t a t e me n t of t he Ev i denc e whi ch was appr ov ed by t he pr obat e
12 cour t . T h e g r o u n d u p o n wh i c h t h e j u r y i n t h e w i l l c o n t e s t f o u n d
t he c odi c i l t o be i nv a l i d i s pa r t i c ul a r l y r e l e v a nt t o t he
q u e s t i o n o f wh e t h e r t h e P r o p o n e n t pr opounded t he c odi ci l i n good
f ai t h. T h e r e a r e o n l y t wo d o c u me n t s i n t h e S t a t e me n t of t he
Ev i denc e t hat e v e n r e mo t e l y a d d r e s s t h i s q u e s t i o n . On e i s n o n -
e v i de nt i a r y i n na t ur e . Tha t i s t he Es t a t e ’ s br i e f i n t he a ppe a l
of t he c ha nc e r y c our t s ui t . I t me n t i o n s , i n p a s s i n g , t h a t t wo o f
t h e C o n t e s t a n t s “ c l a i me d , a mo n g o t h e r t h i n g s , t h a t t he Codi ci l
wa s a f o r g e r y a n d t h a t t h e Wi l l wa s o b t a i n e d t h r o u g h t h e u n d u e
i nf l uenc e of [t he Pr oponent ]. ” S ec ond, t he c i r cui t cour t ’ s f i nal
j u d g me n t i n t h e wi l l c o n t e s t s t a t e s t h a t t h e j u r y f o u n d a s
f o l l o ws :
1 . T h e L a s t Wi l l a n d T e s t a me n t o f L i l l i e P o r t e r d a t e d S e p t e mb e r 1 4 , 1 9 9 0 . . . i s t h e v a l i d Wi l l o f t h e s a i d L i l l i e P o r t e r .
2 . T h e C o d i c i l t o t h e L a s t Wi l l a n d T e s t a me n t o f L i l l i e P o r t e r d a t e d S e p t e mb e r 9 , 1 9 9 3 . . . i s not a v al i d Codi ci l and i s v oi d ab i ni t i o.
Cons pi cuous l y abs ent f r om t he r ec or d now bef or e us i s any t hi ng,
s u c h a s p l e a d i n g s , d e t a i l i n g t h e pr e c i s e i s s u e s t h a t we r e
l i t i g a t e d i n t h e wi l l c o n t e s t c a s e . Wa s t h e a l l e g e d u n d u e
i nf l uenc e of t he Pr oponent o n l y c h a r g e d wi t h r e s p e c t t o t h e 1 9 9 0
wi l l a n d n o t as t o t he 1993 codi ci l ? I f t h e 1 9 9 3 c o d i c i l wa s
f o r g e d , wh o a l l e g e d l y f o r g e d i t ? Wa s t h e f o r g e r y t h e w o r k o f t he
Pr oponent o r wa s i t d o n e b y a n o t h e r wi t h o u t t h e P r o p o n e n t ’ s
k no wl e d g e ? T h e s e q u e s t i o ns a l l h a v e a b e a r i n g on t h e l e g a l
e f f e c t o f t h e j u d g me n t i n t h e wi l l c o n t e s t c a s e o n t h e i n s t a n t
ca s e. T h e r e a r e n o d e f i n i t i v e a n s we r s t o t h e q u e s t i o n s p o s e d - -
ques t i ons t hat obv i ous l y bea r upon t he i s s ue of wh e t h e r t h e
13 Pr oponent p r o p o u n d e d a n d d e f e n d e d t h e s e i n s t r u me n t s i n g o o d
f a i t h.
Speci f i cal l y, t h e S t a t e me n t o f t h e Ev i d e nc e d oe s n o t
a d d r e s s , t o o u r s a t i s f a c t i o n , t h e q u e s t i o n o f wh e t h e r t h e j u r y i n
t he wi l l cont es t f ound t hat t he Pr oponent wr o n g f u l l y p r o c u r e d t h e
ex ec ut i on of t he 1993 codi ci l . T h e r e i s , h o we v e r , a s t r o n g
s u g g e s t i o n i n t h e n o n - e v i d e n t i a r y d o c u me n t s i n t h e r e c o r d - - b o t h
t hos e a ut hor ed by t he a t t or ney s f or t he a ppel l ant s and t hos e
aut hor ed by t he a t t or ney s f or t he a ppel l ee s - - t hat t he i s s ues i n
t h e wi l l c o n t e s t we r e , i nt e r al i a , ( 1 ) wh e t h e r t h e wi l l wa s
pr ocur ed t hr ough t he undue i nf l uenc e of t he Pr oponent ; and ( 2)
wh e t h e r t h e c o d i c i l wa s f o r g e d b y s o me o n e wh o i s o t h e r wi s e
uni dent i f i ed. A d d i t i o n a l l y , ma n y o f t h e C o n t e s t a n t s ’ a r g u me n t s
s e e m t o b e p r e mi s e d u p o n t h e a s s u mp t i o n t h a t t he j ur y f ound t hat
t he Pr oponent wa s s o me h o w i n v o l v e d i n t h e c i r c u ms t a n c e s
s ur r oundi ng t he i nv al i di t y of t he 1993 codi ci l . Ther e i s ,
h o we v e r , n o e v i d e nc e r e f l e c t i n g t h a t t h e j u r y , e i t h e r e x p r e s s l y
o r b y c l e a r i mp l i c a t i o n , f o u n d t h a t t he Pr oponent f or ge d t he
c o d i c i l o r o t h e r wi s e w r o n g f u l l y p r o c u r e d i t s e x e c u t i o n . Wi t h o u t
mo r e , t h e mo s t we c a n n o w de d u c e f r o m t h e j u r y ’ s v e r d i c t i s t hat
t h e 1 9 9 0 wi l l wa s not p r o c u r e d t h r o u g h t h e u n d u e i n f l u e n c e o f t he
Pr oponent and t hat t h e 1 9 9 3 c o d i c i l i s n o t t h e v a l i d t e s t a me n t a r y
d o c u me n t o f Ms . P o r t e r f o r s ome r e a s o n.
We a r e o f t h e o p i n i o n t h a t , i n o r d e r t o d o c o mp l e t e
j u s t i c e , t h i s c a s e mu s t b e r e ma n d e d t o t h e p r o b a t e c o u r t u n d e r
t he a ut hor i t y of T. C. A. § 27- 3- 128 (1980), wh i c h p r o v i d e s a s
14 T h e c o u r t s h a l l a l s o , i n a l l c a s e s , wh e r e , i n i t s o p i n i o n , c o mp l e t e j u s t i c e c a n n o t b e h a d b y r e a s o n o f s o me d e f e c t i n t h e r e c o r d , wa n t o f p r o p e r p a r t i e s , o r o v e r s i g h t wi t h o u t c u l p a bl e n e g l i g e n c e , r e ma n d t h e c a us e t o t h e c o u r t b e l o w f o r f u r t h e r p r o c e e d i n g s , wi t h pr oper di r ec t i ons t o ef f ec t uat e t he obj ec t s o f t h e o r d e r , a n d u p o n s u c h t e r ms a s ma y b e d e e me d r i g h t .
T h e r e c o r d b e f o r e u s s i mp l y d o e s n o t c o n t a i n s u f f i c i e n t
i n f o r ma t i o n r e l e v a n t t o t h e q u e s t i o n o f wh e t h e r t h e P r o p o n e n t
p r o p o u n d e d t h e s e t e s t a me n t a r y d o c u me n t s , p a r t i c u l a r l y t h e 1 9 9 3
codi ci l , i n good f ai t h. Thi s def ec t i n t he r ec or d pr ev ent s us
f r om pr oper l y ex er ci s i ng our appe l l at e j ur i s di ct i on.
On r e ma n d , t h e p r o b a t e c o u r t mu s t d e t e r mi n e t h e
cr i t i ca l i s s ue of wh e t h e r t h e P r o p o n e n t ac t ed i n good f ai t h i n
t h e wi l l c o n t e s t c a s e . I n t h i s c o n n e c t i o n , i t mu s t d e c i d e , i f
p o s s i b l e , t h e f o l l o wi n g : ( 1 ) t h e i s s u e s i n t h e wi l l c o n t e s t c a s e ;
(2) t he ba s i s of t he j ur y ’ s f i ndi ng t hat t he 1993 codi ci l i s
i n v a l i d , wh e n v i e w e d i n t h e c o n t e x t o f t h e i s s u e s ma d e i n t h a t
c a s e ; a n d ( 3 ) t h e i mp a c t o f t h e j u r y v e r d i c t i n t h e wi l l c o n t e s t
ca s e upon t he At t or ney s ’ f ee appl i ca t i on, be t hat i mp a c t
f av or abl e or unf av or abl e. We h a s t e n t o a d d t h a t we a r e n o t
o r d e r i n g a r e - t r i a l o f t h e wi l l c o n t e s t . T h a t we o b v i o u s l y
ca nnot do. T h e j u d g me n t i n t hat ca s e i s f i nal and i t i s r e s
j udi cat a a s t o t h e i s s u e s i n t h a t c a s e ; h owe v e r , t h e i s s u e of
good f ai t h i s s t i l l an ope n i s s ue on t he r ec or d now bef or e us .
T h a t c r i t i c a l i s s u e i s f o r t h e p r o b a t e c o u r t ’ s d e t e r mi n a t i o n o n
r e ma n d . The pr obat e c our t s houl d s ee k t o as ce r t ai n, bas ed upon a
mo r e c o mp l e t e r e c o r d , t h e b a s i s f o r t h e j u r y ’ s f i n d i n g t h a t t h e
1993 codi ci l i s i nv al i d and t he e f f ec t of t hi s f i ndi ng on t he f ee
15 and e xpe ns e a ppl i ca t i on of t he At t or ney s . F o r e x a mp l e , i f t he
j u r y ’ s v e r d i c t , wh e n r e a d i n t a n d e m wi t h t h e p l e a d i n g s i n t h e
wi l l c o n t e s t o r , i n t h e a b s e n c e o f p l e a d i n g s , i n c o n n e c t i o n wi t h ,
t he i s s ue s t r i e d i n t ha t l i t i g a t i on, c l e a r l y r e f l e c t s t ha t t he
j ur y f ound t hat t he Pr oponent f or ge d t he 1993 codi ci l , t hen i t
wo u l d f o l l o w t h a t t he Pr oponent di d not pr opound t he c odi ci l i n
good f ai t h. Suc h a f i ndi ng woul d t hen r equi r e a r ev i ew of t he
At t orneys’ f e e a n d e x p e ns e a p p l i c a t i o n t o de t e r mi n e , a s f a r a s
pos s i bl e, wh a t p o r t i o n o f t h e A t t o r n e y s ’ s e r v i c e s we r e r e n d e r e d
i n c o n n e c t i o n wi t h t h e P r o p o n e n t ’ s b a d f a i t h a t t e mp t t o p r o p o u n d
and de f end t he 1993 codi ci l . S u c h f e e s a n d e x p e n s e s wo u l d n o t b e
cha r ge abl e a ga i ns t t he Es t at e. T h e p r o b a t e c o u r t wo u l d t h e n h a v e
t o e x c i s e t h os e f e e s a n d e x p e ns e s f r o m t h e a pp l i c a t i o n a n d
d e t e r mi n e wh i c h of t h e r e ma i n i n g c ha r g e s a r e a p p r o p r i a t e c h a r g e s
a g a i n s t t h e Es t a t e .
I t i s cl ear f rom t he record bef ore us t hat t he
A t t o r n e y s e x p e n d e d a c o n s i d e r a b l e a mo u n t o f t i me i n t h e i r
r e p r e s e n t a t i o n o f Mr . Ha r v e y ; t h e C o n t e s t a n t s a d mi t a s mu c h . It
i s al s o cl ea r t hat mu c h o f t h i s wo r k wa s u n r e l a t e d t o t h e
pr opoundi ng a nd def ens e of t h e 1 9 9 3 c o d i c i l , wh i c h , i t mu s t b e
r e me mb e r e d , i s t h e o n l y i n s t r u me n t i nv al i dat ed by t he j ur y i n t he 4 wi l l c o n t e s t c a s e . Wh a t i s n o t c l e a r a t t h e p r e s e n t t i me i s t h e
4 I f , a s a p p e a r s f r o m t h e i n c o mp l e t e r e c o r d b e f o r e u s , t h e 1 9 9 0 wi l l w a s p r o p o u n d e d a n d d e f e n d e d i n g o o d f a i t h , t h e A t t o r n e y s wo u l d b e e n t i t l e d t o t h e i r f e e s a n d e x p e n s e s i n c u r r e d i n c o n n e c t i o n w i t h t h e 1 9 9 0 wi l l , r e g a r d l e s s o f t h e b a s i s o f t h e j u r y ’ s v e r d i c t wi t h r e s p e c t t o t h e 1 9 9 3 c o d i c i l . H o we v e r , i f t h e j u r y ’ s v e r d i c t wi t h r e s p e c t t o t h e 1 9 9 3 c o d i c i l i s s u c h a s t o p e r s u a d e t h e p r o b a t e c o u r t t h a t t h e c o d i c i l wa s p r o p o u n d e d a n d d e f e n d e d i n b a d f a i t h , t h e p r o b a t e c o u r t w i l l h a v e t o a p p o r t i o n , i n s o me e q u i t a b l e f a s h i o n , s e r v i c e s p e r f o r m e d b y t h e A t t o r n e y s - - s u c h a s c o u r t t i me - - t h a t i mp a c t e d t h e p r o p o u n d i n g a n d d e f e n s e o f b o t h i n s t r u me n t s .
16 q u a n t u m o f t h e i r wo r k t h a t i s pr oper l y cha r ge abl e a ga i ns t t he
Es t at e. S u c h a d e t e r mi n a t i o n i s f o r t h e p r o b a t e c o u r t o n r e ma n d .
The Cour t s t r ongl y s ugg es t s t o t he pa r t i es t hat t hey
a r r a n g e f o r a c o ur t r e p o r t e r t o be p r e s e n t a t t h e he a r i n g on
r e ma n d . We e n c o u r a g e t h e p r o b a t e c o u r t t o ma k e d e t a i l e d f i n d i n g s
f o l l o wi n g t h e h e a r i n g .
I V . Co nc l us i o n
T h e j u d g me n t of t he pr obat e c our t i s v ac at ed a nd t hi s
c a s e i s r e ma n d e d f o r f u r t h e r d e t e r mi n a t i o n s c o n s i s t e n t wi t h t h i s
opi ni on. Cos t s on appea l ar e t ax ed 50% t o t he a ppel l ant s and 50%
t o t h e a pp e l l e e s .
__________________________ C h a r l e s D. S u s a n o , J r . , J .
CONCUR:
_ _ _ _ _ _ _ _________________ Ho u s t o n M. G o d d a r d , P . J .
_ _ _ _ _ _ _ _________________ D. Mi c h a e l S wi n e y , J .