In the Matter of Freeman, Unpublished Decision (11-20-2002)
In the Matter of Freeman, Unpublished Decision (11-20-2002)
Opinion of the Court
¶ 2 Appellant's brief posits no assignments of error as required by App.R. 16(A)(3).1 However, in the brief's table of contents does set out the following argument "sub-headings" which we will treat in the interests of justice as assignments of error:
FIRST ASSIGNMENT OF ERROR:
SECOND ASSIGNMENT OF ERROR:¶ 3"THE COURT BELOW ERRED TO THE PREJUDICE OF THE APPELLANT IN GRANTING THE APPELLEES AN EQUITABLE REMEDY WITHOUT FIRST ASCERTAINING THE MERITS OF APPELLANT'S ALLEGATIONS THAT APPELLEES DID NOT COME WITH `CLEAN HANDS.'"
THIRD ASSIGNMENT OF ERROR:¶ 4 "THE COURT BELOW VIOLATED THE PROCEDURAL DUE PROCESS RIGHTS OF THE APPELLANT WHEN IT CONDUCTED THE HEARING IN SUCH A MANNER AS TO DENY THE APPELLANT A REASONABLE OPPORTUNITY TO REBUT THE ALLEGATIONS AGAINST HIM."
¶ 6 On August 22, 1997, Therron Freeman (DOB 1-8-93) sustained severe personal injury when struck by a Schwan Sales Enterprises delivery truck. Robin Freeman, Therron's father, retained the law firm of McKinney Namie to represent their interests against Schwan.2 The firm entered into negotiations with Schwan's insurance company and, apparently, agreed to a $75,000 settlement.3 ¶ 7 On October 7, 1998, appellant, a McKinney Namie partner, filed an application on behalf of Robin Freeman and asked the Probate Court to appoint Robin Freeman as guardian of Therron's person and estate. The court did not immediately act on the application, as the Probate Court could not obtain service of process on Therron's mother. Nevertheless, on November 19, 1998, CNA Insurance Company (CNA) issued a check payable to "Robin Freeman, Guardian of Therron Freeman and McKinney Namei: His Atty." The check was negotiated and the funds deposited in the firm's account. From those proceeds, appellant retained $26,467.68 for attorney fees and expenses, and then issued a $18,532.32 check payable to "Robin Freeman, Guardian of Therron Freeman." It is unclear from the record what became of those proceeds (and later what became of Robin Freeman) but the money did not find its way into any guardianship account for Therron. Subsequently, in June of 1999, Robin Freeman sought new counsel and appellant withdrew from the case.¶ 5 "THE COURT BELOW ERRED TO THE PREJUDICE OF THE APPELLANT IN GRANTING THE APPELLEES' MOTION TO COMPEL RETURN OF FEES WHEN, EVEN IF ALL OF APPELLEES' ALLEGATIONS WERE PROVED TRUE, APPELLANT WOULD, BY ITS CONDUCT IN THE MATTER AT ISSUE, STILL BE ENTITLED TO QUANTUM MERUIT PAYMENT EQUAL OR GREATER THAN THE FEE RECEIVED."
¶ 8 On August 31, 2000, a motion was filed that asked appellant and CNA to disclose the existence and whereabouts of the settlement proceeds.4 On May 9, 2001, a new application asked the Probate Court to appoint Michael Kelly as guardian of Therron's estate for purposes of resolving the personal injury claim and managing the proceeds. Therron's parents, Robin Freeman and Janet Dummitt, both consented to this appointment. On June 14, 2001, the trial court officially appointed Michael Kelly as guardian.
¶ 9On September 28, 2001, the guardian asked the trial court to compel appellant to return the $26,467.68 in attorney fees and expenses he retained from the settlement. The basis for the motion was that a proper guardianship had not been established and appellant had no authority to settle the claim. Further, the guardian alleged that appellant delivered the remaining proceeds, after withholding attorney fees and expenses, to Robin Freeman without ensuring that the proceeds be deposited in a guardianship account for Therron's benefit. Appellant's memorandum in opposition argued that (1) the Probate Court gave "constructive approval" to settle the personal injury case and (2) Robin Freeman did not have "clean hands" and, in fact, had "his eyes on his son's money from the beginning."
¶ 10 At the March 1, 2002 hearing, appellant repeatedly maintained that a guardianship had been established at the time the CNA check was negotiated. Although no formal judgment entry appointed Robin Freeman as Therron's guardian, appellant argued that Freeman was a "constructive" guardian because no objections had been lodged to the initial application and that Freeman's appointment would have simply been a "matter of course." Appellant also claimed that the proceedings constituted a "corrupt conspiracy" to get an "out of town attorney." The Probate Court was not impressed with either argument and on March 27, 2002, rendered judgment that partially sustained the guardian's motion for return of the attorney fees. The Court found that appellant "failed in his duties as an officer of the Court and by reason thereof, [guardianship] assets were not properly protected." However, rather than order the return of all attorney fees and expenses as the guardian had requested, the Court ordered appellant to repay the guardianship $18,532.32 which represents the amount wrongly delivered to Robin Freeman. This appeal followed.
¶ 12 In order to determine if the judgment is final and appealable, we turn to R.C.
¶ 14 Assuming arguendo that the order to repay the attorney fees was equitable rather than legal,6 appellant does not identify the specific "appellees" nor does he clearly explain how they have "unclean hands." We note that the guardian, on behalf of the guardianship, asked the trial court to compel appellant to return the attorney fees and expenses. We find nothing in the record to suggest any misconduct by Michael Kelly, the guardian, or the guardianship itself.
¶ 15 While not entirely clear in his brief, the "unclean hands" that appellant seems to refer are those of Robin Freeman and the attorney who represented him after appellant withdrew from the case. We acknowledge that Robin Freeman apparently engaged in misconduct. We are not persuaded, however, that the same can be said of his subsequent counsel. In any event, misconduct committed by either of those people is irrelevant for the purposes of this appeal. They are not the entity to which appellant must repay the attorney fees. Thus, they are not "appellees" for purpose of this argument.
¶ 16 For these reasons, we hereby overrule appellant's first assignment of error.
¶ 18 The fundamental requirements of due process are notice and an opportunity to be heard at a meaningful time and manner. See State v.Hochhausler (1996),
¶ 19 Nevertheless, appellant objects to appellees "waiving the presence" of Robin Freeman which supposedly deprived him "of any meaningful opportunity to determine on the record the true nature of Freeman's conduct and motives in regard to his son's interests which were the foundational issue of these proceedings." We believe, however, that if appellant desired Robin Freeman's presence at the trial court proceeding, appellant could have subpoenaed Freeman. Freeman's absence cannot be blamed on appellees and cannot be characterized as a due process denial.
¶ 20 Appellant also argues that the Probate Court erroneously refused to allow into evidence a letter from CNA regarding an annuity for Therron. The decision to admit or to exclude relevant evidence lies in the sound discretion of the trial court and that decision will not be reversed on appeal absent a showing of an abuse of discretion. See Petersv. Ohio State Lottery Comm. (1992),
¶ 22 For these reasons, we hereby overrule appellant's second assignment of error.
¶ 24 Appellant's argument posits two separate issues: first, did the Probate Court err in ordering him to repay attorney fees; and second, was appellant entitled to quantum meruit irrespective of that order. We address these arguments individually.
¶ 25 We are unconvinced that the Probate Court erred by ordering appellant to repay a portion of his attorney fees. Attorney fees "may be drawn from [a] ward's estate only after the probate court approves thefees." (Emphasis added.) In re Guardianship of Jadwisiak (1992),
¶ 26 Once again, no guardianship existed when appellant and CNA agreed to the proposed settlement. Thus, no guardian existed who could have settled the claim for purposes of the statute. More important, the Adams County Probate Court did not approve the settlement. Given these deficiencies, appellant should not have accepted the CNA check and then disbursed in excess of $18,000 to Therron's father who, apparently, did not deposit those sums in an account for his son and is currently nowhere to be found. Because the loss of funds was caused, in part, by appellant's own actions, we find nothing inappropriate in the Probate Court's decision that appellant should replace those funds. This is particularly true in light of the fact that appellant did not obtain court approval to retain any of the attorney fees.
¶ 27 It is unclear whether appellant still maintains that even if a formal guardianship had not been created, a "constructive" guardianship existed. If so, we find this argument without merit. Recently, this Court rejected the concept of a "de facto guardianship." See In Re Guardianshipof Hinerman (Nov. 1, 2001), Hocking App. No. 00CA1. We reject a "constructive guardianship" for the same reasons. Probate courts have limited jurisdiction, and have authority over guardianships that are established in compliance with R.C. Chapter 2111.
¶ 28 Appellant also claims that he and his firm had the Probate Court's "constructive approval" to settle the personal injury claim. Though we are not entirely sure what appellant intends by "constructive approval," we note that courts act only through their journal entries, not by oral pronouncements or other forms of assurance. See Gaskins v.Shiplevy (1996),
¶ 32 For these reasons, we hereby overrule appellant's third assignment of error. Having reviewed all the errors assigned and argued in the briefs, and finding merit in none of them, we hereby affirm the trial court's judgment.
JUDGMENT AFFIRMED.
The Court finds there were reasonable grounds for this appeal.
It is ordered that a special mandate issue out of this Court directing the Adams County Common Pleas Court, Probate Division, to carry this judgment into execution.
A certified copy of this entry shall constitute that mandate pursuant to Rule 27 of the Rules of Appellate Procedure. Exceptions.
Harsha, J. Evans, J.: Concur in Judgment Opinion.
¶ b "When personal injury . . . is caused to a ward by wrongful act, neglect, or default that would entitle the ward to maintain an action and recover damages for the injury . . . and when any ward is entitled to maintain an action for damages or any other relief based on any claim or is subject to any claim to recover damages or any other relief based on any claim, the guardian of the estate of the ward may adjust and settle the claim with the advice, approval, and consent of the probate court." (Emphasis added.)
Case-law data current through December 31, 2025. Source: CourtListener bulk data.