Rochelle S. Moser v. Anne Sisko Pollin, Irvin Pollin, Hyman Sisko, and George M. Cerrone

294 F.3d 335, 2002 U.S. App. LEXIS 12373, 2002 WL 1358186
CourtCourt of Appeals for the Second Circuit
DecidedJune 21, 2002
DocketDocket 01-9030
StatusPublished
Cited by54 cases

This text of 294 F.3d 335 (Rochelle S. Moser v. Anne Sisko Pollin, Irvin Pollin, Hyman Sisko, and George M. Cerrone) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Rochelle S. Moser v. Anne Sisko Pollin, Irvin Pollin, Hyman Sisko, and George M. Cerrone, 294 F.3d 335, 2002 U.S. App. LEXIS 12373, 2002 WL 1358186 (2d Cir. 2002).

Opinion

STRAUB, Circuit Judge.

We are presented in this appeal with an intra-family dispute concerning the validity of the last will and testament of Isidore Sisko (also referred to herein as the “decedent”), a late resident of Jackson Heights, New York. In that testamentary instrument — which was admitted to probate in 1994 by the New York State Surrogate’s Court for Queens County (the “Surrogate’s Court”) — Isidore Sisko bequeathed the entirety of his estate to his sister, Defendant-Appellee Anne Sisko Pollin (“A.S. Pollin”), but gave nothing to his daughter and only child, Plaintiff-Appellant Rochelle S. Moser (“Moser”). Attributing her total disinheritance to foul play by A.S. Pollin and the other three defendants, Moser has turned concurrently to two courts for relief.

First, in March 1998, Moser petitioned the Surrogate’s Court to vacate its prior decree admitting the decedent’s will to probate. The basis for the vacatur petition were allegations by Moser that the decedent’s will is a forgery and that the defendants engaged in testamentary fraud. A trial remains forthcoming in that matter. Second, in April 2000, Moser filed in the United States District Court for the Eastern District of New York a diversity action asserting various state-law claims against the defendants, namely fraudulent concealment and constructive fraud in connection with the 1994 probate of the decedent’s will.

The appeal now before us arises directly out of Moser’s latter lawsuit. Specifically, Moser appeals from an order of the United States District Court for the Eastern District of New York (Frederic Block, Judge) staying the defendants’ motions to dismiss the complaint pending resolution of the concurrent vacatur proceeding before the Surrogate’s Court. Moser contends that the District Court abused its discretion in issuing the stay and thus Moser’s federal diversity action against the defendants should never have been held in abeyance. We decline to address the merits of the stay because we vacate the District Court’s order on jurisdictional grounds. For the reasons set forth below, we hold that the probate exception to federal diversity jurisdiction bars the District Court from exercising subject matter jurisdiction over Moser’s complaint.

FACTUAL BACKGROUND

When Isidore Sisko died on May 7, 1994, his gross estate was valued at approximately $900,000. Surviving the decedent *338 were a number of relatives, including Mos-er, A.S. Pollin, Irvin Pollin (husband of A.S. Pollin), and Hyman Sisko (the decedent’s brother). All are parties to this federal diversity suit.

The decedent’s last will and testament (the “Will”), dated just two days before his death, named A.S. Pollin the executrix and sole beneficiary of his estate. The attesting witnesses to the Will were Hyman Sisko and Laura Monserrat, the daughter of the decedent’s long-time domestic companion. Were it not for the existence and operation of the Will, New York’s laws of intestacy would have caused the decedent’s entire estate to be distributed to Moser rather than A.S. Pollin. See N.Y. Est. Powers & Trusts Law § 4 1.1(a)(3).

On June 30, 1994, A.S. Pollin petitioned the Surrogate’s Court to admit the Will to probate. A.S. Pollin retained the services of George M. Cerrone (“Cerrone”), a New York attorney and the remaining defendant in this case. Pursuant to a Consent and Waiver to Probate executed by Moser, as well as affidavits of attestation submitted by Hyman Sisko and Laura Monserrat, the Surrogate’s Court issued a decree admitting the Will to probate on August 30, 1994 (the “1994 Probate Decree”).

The above events would have put to rest, so to speak, the decedent’s worldly affairs had not Moser subsequently become

aware of facts indicating that ... the signature contained on the decedent’s Will is not the signature of the decedent and constitutes a forgery; that the Will contained a false attestation clause; that the decedent was dead when the subscribing witnesses signed the Will; that the defendant Irvin Pollin had typed the Will; that one of the subscribing witnesses (Laura Monserrat) had signed her name as a witness to the decedent’s Will, without having spoken with the decedent, without having seen the decedent conscious, without having heard the ■decedent declare the instrument to be his Will and without having seen the decedent sign the Will; that both of the subscribing witnesses had executed false witness affidavits; and that the defendant Anne Sisko Pollin had submitted a false probate petition and false witness affidavits to the Surrogate’s Court.

Compl. ¶ 10. This newly discovered evidence prompted Moser to pursue concurrent legal action in two courts concerning the validity of the Will: the Surrogate’s Court and the United States District Court for the Eastern District of New York.

PROCEDURAL HISTORY

I. The Surrogate’s Court Proceeding

On March 4, 1998, Moser petitioned the Surrogate’s Court, inter alia, to withdraw her Waiver and Consent to Probate, to reopen probate proceedings so as to vacate the 1994 Probate Decree, and for an award of compensatory and punitive damages (the “Vacatur Petition”). Following discovery and several depositions, in a decree dated January 12, 1999, the Surrogate’s Court entered summary judgment on the Vacatur Petition against Moser.

The Supreme Court of New York, Appellate Division, Second Department reversed on the grounds that Moser had “raised issues of fact with regard to the procurement of .[her] waiver and consent, as well as sufficient evidence pointing to the invalidity of the will, to open probate.” In re Sisko, 270 A.D.2d 276, 277, 704 N.Y.S.2d 114, 115 (2d Dep’t 2000). A trial on the Vacatur Petition was directed to proceed.

On August 2, 2000, the Surrogate’s Court granted Moser leave to amend the Vacatur Petition in order to augment factual assertions and to request that a con *339 structive trust be imposed on. all of the decedent’s assets presently held by A.S. Pollin (the “Amended Vacatur Petition”). Moser further inserted into the Amended Vacatur Petition two causes of action under New York law — fraudulent concealment and constructive fraud — -both of which were alleged to have been committed by all of the defendants named in this appeal.

At oral argument, we were informed by counsel for both parties that the Surrogate’s Court had not yet set a date for trial on the Amended Vacatur Petition and likely would not do so in the near future.

II. The Federal Diversity Action

The complaint in the instant diversity action (“the Complaint”) was filed by Mos-er on April 25, 2000, in the United States District Court for the Eastern District of New York. Its factual allegations are identical to those contained in the Amended Vacatur Petition, though the Complaint purports to set forth a total of seven causes of action under New York law against the defendants. Counts One through Four allege fraud and concealment by the defendants; Count Five alleges constructive fraud by the defendants; Count Six is not a distinct cause of action but seeks to impose a constructive trust on all of the decedent’s assets presently held by A.S.

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294 F.3d 335, 2002 U.S. App. LEXIS 12373, 2002 WL 1358186, Counsel Stack Legal Research, https://law.counselstack.com/opinion/rochelle-s-moser-v-anne-sisko-pollin-irvin-pollin-hyman-sisko-and-ca2-2002.