Modie v. Andrews, Unpublished Decision (10-23-2002)
Modie v. Andrews, Unpublished Decision (10-23-2002)
Opinion of the Court
This cause was heard upon the record in the trial court. Each error assigned has been reviewed and the following disposition is made: {¶ 1} Appellant Deborah Andrews has appealed from a judgment of the Summit County Court of Common Pleas, Probate Division. We affirm in part, reverse in part, and remand for further proceedings.
{¶ 3} Before Modie's declaratory judgment action proceeded to trial, on April 23, 1997, both Modie and Borrelli filed objections to the sale of decedent's mobile home. After the declaratory judgment action was tried before a magistrate on September 22, 1997, the magistrate determined that there was no undue influence exerted by Appellant and held that the transfers were valid inter vivos gifts. Modie filed objections to the magistrate's decision. The trial court overruled Modie's objections and adopted the magistrate's decision. Modie then appealed to this Court, and we affirmed the decision of the trial court. See Modie v. Andrews (July 26, 2000), 9th Dist. No. 19543. The Ohio Supreme Court declined to hear Modie's final appeal on the issue. SeeModie v. Andrews (2000),
{¶ 4} The will contest was held in abeyance until the resolution of appeals taken by Modie in the declaratory judgment action. On April 22, 1998 Modie filed a separate motion to remove the fiduciary, but a hearing on this motion was also continued pending the final resolution of the declaratory judgment action. In May of 1998, Appellant filed a motion for leave to file a counterclaim and crossclaim to Modie's will contest action. The court granted Appellant's motion on February 26, 2001, and she filed a counterclaim and crossclaim against Modie and Borrelli, respectively. In each claim, Appellant asserted that by filing the will contest action, objections to the sale of the decedent's motor home, exceptions to Appellant's inventory of probate assets and a motion to remove the fiduciary, Modie and Borrelli forfeited their interests pursuant to the in terrorem clause2, or "no contest" provision, contained in the decedent's will.
{¶ 5} Approximately a month before the will contest action went to trial, Modie dismissed her will contest complaint with prejudice pursuant to Civ.R. 41(1)(A). The trial on the counterclaim and crossclaim, however, was held on July 24, 2001. At the close of evidence, the court dismissed the crossclaim against Borrelli3 and took the counterclaim under advisement. In an order issued on February 27, 2002, it rendered a verdict in favor of Modie on Appellant's counterclaim.
{¶ 6} Appellant has timely appealed the decision of the trial court, asserting one assignment of error.
{¶ 7} "THE TRIAL COURT ERRED BY NOT HONORING DECEDENT'S UNAMBIGUOUS `NO CONTEST' PROVISION."
{¶ 8} In Appellant's sole assignment of error, she has contended that the trial court erred when it dismissed the crossclaim against Borrelli and ruled in favor of Modie on the counterclaim. Specifically, she has argued that by finding there exists a good-faith exception to a "no contest" clause, the trial court "substituted its judgment for [the decedent's] clear `no contest' command, rendering it a nullity."
{¶ 10} The Ohio Supreme Court in Bradford v. Bradford (1869),
{¶ 11} The plaintiff appealed the lower court's decision, claiming that the "no contest" clause was void in law because it was an in terrorem clause. The plaintiff also claimed that he commenced the action because he believed the will was improperly admitted to probate; when the will was admitted, the probate judge left blanks in the record of the will, which he later filled in so as to correspond with the original. The Ohio Supreme Court, however, affirmed the decision of the lower court:
{¶ 12} "A condition in a will whereby the testator excludes any one of his heirs who `goes to law to break his will' from any part or share of his estate, is valid and binding; and effect will be given to it, as well in respect to bequests of personalty, as to devises of real estate." Bradford,
19 Ohio St. 546 , at paragraph one of the syllabus.
{¶ 13} Since Bradford, courts have noted that the rule of law expressed in Bradford is strict. As a result, few courts have addressed the applicability of a good faith exception to a "no contest" clause. InBender v. Bateman (1929),
{¶ 14} "It has been strenuously insisted that there is an exception to the general forfeiture rule when the legatee, upon probable cause, and in good faith, contests the will[.] * * * [W]e reach the opinion that to recognize such an exception would in fact destroy the rule itself, and we find that the weight of authorities recognizes no exception to the rule.
{¶ 15} "A testator has [an] unquestioned right to attach any condition to his gift which is not violative of law or public policy. The legatee may choose to take the gift with the conditions attached, or reject it. It should be the first duty of a court to guard the intention of the testator, and not to substitute official duress." Bender,
33 Ohio App. at 69-70 .
{¶ 16} Despite the court's holding in Bender, (the only Ohio case to address the good-faith exception to "no contest" clauses), Modie has urged this Court to adopt the position taken by the Uniform Probate Code5 ("UPC"), Restatement (Second) of Property, and thirteen other states. Section 2-517 of the UPC provides that "[a] provision in a will purporting to penalize an interested person for contesting the will or instituting other proceedings relating to the estate is unenforceable if probable cause exists for instituting proceedings."
{¶ 17} Modie has also asserted that the modern doctrine in construing "no contest" provisions is that public policy, probable cause, good faith and a variety of other matters should be considered before enforcing such a condition. Modie cites to Moskowitz v. Federman
(1943),
{¶ 18} "[T]he more modern doctrine seems to be that public policy, probable cause, good faith, and a variety of other matters, should be considered in connection with the facts of each particular case examined, and that hard and fast rules cannot be pronounced and made applicable to all cases." Moskowitz,
72 Ohio App. at 163 .
{¶ 19} Unlike the present case, however, Moskowitz did not involve an action to contest a will. The question before the court in Moskowitz was whether a beneficiary, who became a defendant after another beneficiary instituted an action for declaratory judgment seeking construction of will provisions, invoked the "no contest" clause because said beneficiary also filed pleadings and cross-petitions to the complaining beneficiary's complaint. We answered the question in the negative, holding:
{¶ 20} "[W]here heirs and legatees are named parties defendant in an action by another heir or legatee, asking for a declaratory judgment to determine the validity of a clause in a will creating a trust, and in which action two defendants, heirs and legatees, out of many, file cross-petitions and urge the invalidity of certain provisions of the will, thereby alone countering the claims of all other parties that the provisions are valid, such pleading and argument creates the issue for determination by the court, and does not [invoke the no-contest clause of a will]." Id. at 163-64.
{¶ 21} After reviewing our decision in Moskowitz, we find that that case is inapposite to the case at bar, and our language regarding the "modern trend" is simply dicta, which we are not inclined to follow. We agree with the court in Bender, when it reasoned that for a court to acknowledge "such an exception would in fact destroy the rule6
itself."(Footnote added.) Bender,
{¶ 23} After reviewing the record, we conclude that the trial court properly dismissed Appellant's crossclaim. This conclusion is based on several grounds. First, Borrelli did not initiate the will contest action; she was only named a defendant in the action. Where a beneficiary has not initiated such an action, and has only defended herself by filing pleadings, the "no contest" clause has not been invoked, and the beneficiary does not forfeit her interest. See Moskowitz,
{¶ 24} Second, Borrelli did not invoke the "no contest" clause when she, along with Modie, filed exceptions to inventory of probate assets and objections to the sale of the mobile home. Filing exceptions to inventory does not constitute a contest to the validity of a will. SeeIn the Matter of the Estate of Riber v. Peters (Oct. 27, 1982), 12th Dist. Nos. 81-CA-27, 81-CA-28, 1982 Ohio App. LEXIS 14339, at *14 (stating that filing exceptions to an account does not contest the validity of a will). In fact, filing exceptions to inventory "is a right which may be exercised separate and apart from a challenge of the validity of the will." Peters, supra, at *14; see R.C.
{¶ 25} Furthermore, we agree with the lower court when it reasoned that Appellant, as fiduciary, was subject to the direct control of the probate court pursuant to R.C.
{¶ 26} "Even when seemingly unlimited discretion is granted to a fiduciary to deal with assets of a trust estate as if the fiduciary were the absolute owner of those assets, such broad language does not confer unlimited discretion on the fiduciary but means only that the testator intends that the fiduciary should act reasonably, as required by law, and for the best interest of the trust estate."
{¶ 27} By filing exceptions to inventory, objections to the sale of probate assets, and a motion to remove the fiduciary, Modie and Borrelli were, in effect, asking the probate court to exercise its power of review pursuant to R.C.
SLABY, P.J., BAIRD, J. CONCUR.
Case-law data current through December 31, 2025. Source: CourtListener bulk data.