In re the Estate of Henken

139 Misc. 2d 12, 526 N.Y.S.2d 334, 1988 N.Y. Misc. LEXIS 81
CourtNew York Surrogate's Court
DecidedFebruary 25, 1988
StatusPublished
Cited by2 cases

This text of 139 Misc. 2d 12 (In re the Estate of Henken) is published on Counsel Stack Legal Research, covering New York Surrogate's Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re the Estate of Henken, 139 Misc. 2d 12, 526 N.Y.S.2d 334, 1988 N.Y. Misc. LEXIS 81 (N.Y. Super. Ct. 1988).

Opinion

OPINION OF THE COURT

William B. Braatz, S.

In this proceeding the three children of decedent David T. Henken’s first marriage, Jonathan Henken, Mariamne Henken Whatley and Elissa Ruth Henken, seek an order annulling the election by the surviving spouse of decedent, Patricia V. Henken, to take against his will. They base their application upon a document containing what purports to be a waiver by David T. Henken and Patricia V. Henken, then Patricia Rubenstein, of the respective rights of each to make [13]*13any claim against the other’s estate. The only will in existence at the time of decedent’s death predates his marriage to Patricia V. Henken, and no codicil or other document has been discovered which provides for his widow.

David and Patricia Henken were married on or about June 20, 1971. Some time prior to that date, and on or about June 14 and/or June 15, 1971, the Henkens signed an instrument purporting to waive the surviving spouse’s statutory right of election. The widow admits as much in her answer to the petition. At the time of the signing, however, the instrument was not "acknowledged or proved in the manner required by the laws of this state for the recording of a conveyance of real property”, as mandated by EPTL 5-1.1 (f) (2), nor had it been so acknowledged at decedent’s death.

Two other signatures appear on the copy of the instrument proffered at trial: those of Frank DeAngelis and Jody Rubenstein. Frank DeAngelis testified during the petitioners’ direct case, largely inconclusively, about his signature’s appearance on the document. He was not able to testify that the Henkens either signed the document in his presence or that he was told by either of them that the signatures which may have been affixed at the time of his own signing — or may not have been; he was equivocal on the point — were theirs.

No original of the document has been produced, nor was any extensive explanation offered during petitioners’ direct case concerning the location of the original.1 There was some indication that two originals had been signed, that the decedent "never threw away anything” and that decedent and one of the petitioners, Jonathan Henken, were the only ones who had access to decedent’s safe-deposit box. Jonathan Henken did not, however, give any testimony concerning his attempts to locate what is likely to have been a document important enough to have been kept in the safe. The court also takes judicial notice of the fact that although the respondent was served with a subpoena duces tecum demanding she produce the original document, she produced only a mechanically reproduced version. It is not clear whether this copy is the one offered for admission at trial. No testimony was adduced, however, to the effect that respondent ever retained an origi[14]*14nal of the document. Although the court is only marginally satisfied that a foundation for the introduction of secondary evidence of the contents of the writing was properly laid, it will, nonetheless, for the purpose of focusing on the most significant issue, presume that the introduction of a mechanically reproduced copy shall suffice.

The ultimate issue in this case is whether or not an ante-nuptial agreement waiving the surviving spouse’s right to election against the will of the decedent, which has not been acknowledged in the form required by EPTL 5-1.1 at the time of a decedent’s death, may thereafter be acknowledged by the surviving spouse or other witnesses to the execution of the agreement. The resolution of the issue turns upon the nature of a surviving spouse’s right of election, and the time at which such a right attaches, as well as the fundamental equities of a given fact pattern.

Two cases affirmed in the Court of Appeals, without opinion,' and standing in sharp contrast to one another, discuss this area. Matter of Maul (176 Misc 170, affd 262 App Div 941 [4th Dept 1941], affd without opn 287 NY 694 [1942]) involved an antenuptial agreement executed in accordance with the predecessor section of EPTL 5-1.1. The widow had executed an instrument, concurrently with the execution by decedent of a codicil to his will providing for the widow, waiving the widow’s right of election. No certificate of acknowledgement had been attached, as required by the Decedent Estate Law, but two witnesses’ signatures appeared after the widow’s signature on the document.

At the trial held in Maul, one of the witnesses was able to testify that the waiver was signed by the widow in his presence, and gave the information about himself required by Real Property Law § 304 for execution of a conveyance. (Matter of Maul, 176 Misc 170, 171, supra.) After hearing this testimony, the Surrogate affixed a certificate of acknowledgement, and determined that the widow had waived her right of election. (Real Property Law §§ 291, 292, 298, 306.) The Surrogate was most concerned with interpreting the relationship between the Decedent Estate Law and Real Property Law, with respect to what Real Property Law requires for proof of the execution of a conveyance.

In affirming the decision of the Erie County Surrogate in Maul (supra), the Fourth Department relied on a similar, narrow, reading of the issue before it. The court determined [15]*15that the instrument waiving the widow’s right of election "was proved by a subscribing witness” creating "compliance with the requirement of subdivision 9 of section 18 of the Decedent Estate Law, that such instrument should be 'duly acknowledged.’ ” (Matter of Maul, 262 App Div 941, 942, supra.) Judge Harris, in dissent, construed the words " 'duly acknowledged’ ” and " 'so executed’ ” "as requiring a statement by the signer of the instrument made before a proper officer that such instrument was executed with a full knowledge of, and acquiescence in, the contents and purpose of the instrument.” (262 App Div, supra, at 942.)

In the other major case in this area, Matter of Warren (16 AD2d 505 [2d Dept 1960], affd without opn 12 NY2d 854 [1962]), the court determined that the widow’s right to elect against the decedent’s will had not been effectively waived in the separation agreement she admitted she had signed, because the instrument had not been acknowledged in proper form. In reaching this decision the Second Department distinguished Maul (supra) by noting that the surviving spouse — as opposed to one of the subscribing witnesses in the case before the Maul court — was being required to furnish the acknowledgement. (16 AD2d, supra, at 508.) Additionally, the court noted that there is authority against the proposition that a Surrogate, or other official, may compel such acknowledgement from a party (supra, at 508). Finally, and perhaps most importantly, the court indicated that "the question of whether a surviving spouse has a right to elect against the deceased spouse’s will should be tested as of the time of the deceased’s death.” (Supra, at 508.)

Justice Hopkins dissented, indicating that his reading of the amendment to the statute requiring acknowledgement was that the waiver itself, only, was to be executed during the parties’ lifetimes. "Acknowledgement”, in his view, has the limited purpose of proving the identify of the person who signed a document and that the same person’s signature is authentic.

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Related

In re the Estate of Press
30 A.D.3d 154 (Appellate Division of the Supreme Court of New York, 2006)
In re the Estate of Henken
150 A.D.2d 447 (Appellate Division of the Supreme Court of New York, 1989)

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Bluebook (online)
139 Misc. 2d 12, 526 N.Y.S.2d 334, 1988 N.Y. Misc. LEXIS 81, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-the-estate-of-henken-nysurct-1988.