KENNETH D. PRESCOTT, APPELLANT,
v.
EDWARD F. STANLEY, ETC., APPELLEE

Fla. 5th DCA | 1998-04-24
No. 97-1610
ANTOON, J., concurs., DAUKSCH, J., concurs in part; dissents in part, with opimon.
710 So. 2d 674 Florida District Court of Appeal, Fifth District (1998)

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Synopsis

Kenneth Prescott sued his brother's estate and the estate's personal representative (Stanley) over funds allegedly improperly deposited into the estate and a missed insurance beneficiary change. The trial court dismissed all counts for failure to timely file a probate claim. The appellate court affirmed the dismissal of claims against the estate but reversed and remanded regarding Stanley's individual liability, finding the trial court abused its discretion by refusing to permit amendment of the pleadings.


Holding

The failure to timely file a probate claim bars claims against the estate itself, but does not bar an action against the personal representative in his individual capacity if he wrongfully diverted funds or committed improper actions while acting under power of attorney. The trial court abused its discretion by refusing to permit Prescott to amend his pleadings against Stanley individually.


Headnotes

[1] Failure to timely file a claim against an estate bars further litigation regarding entitlement to estate assets.

[2] A personal representative may be sued individually for breach of fiduciary duty when acting under a power of attorney.

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Key Quotes

“We do not believe that the failure to comply with the claim provision bars an action against Stanley individually if he wrongfully diverted funds belonging to Prescott into the estate account.”

Establishes the key distinction that statutory claim-filing requirements bar claims against the estate itself but not against a personal representative sued individually.

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Facts & Procedural History

Prescott claimed that funds belonging to him were improperly deposited into his deceased brother's estate account. Additionally, Stanley, acting as pe…

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Opinion of the Court
HARRIS, Judge.

HARRIS, Judge.

Prescott sued his brother’s estate claiming that funds belonging to him had been im properly deposited into the estate account and considered an estate asset. He sought to impose a resulting or constructive trust against the estate to the extent of the funds so deposited. The court dismissed these counts "with prejudice because plaintiff had failed to timely file a claim against the estate. We affirm.

Prescott also sued Stanley, the personal representative of the estate, in his individual capacity, alleging that before Prescott’s brother’s death and at a time when Stanley was acting for Prescott’s brother pursuant to a power of attorney, Stanley breached his fiduciary duty by failing to send the change of beneficiary form to Kemper Investors Life Insurance Company which would have made Prescott the recipient of the annuity proceeds upon his brother’s death. The court dismissed the counts against Stanley, also with prejudice, in the same order in which it dismissed the counts against the estate. The only reason given for the dismissal was:

The court finds that the Plaintiffs failure to timely comply with the claim provision of § 733.702, Fla. Stat. in the probate file, the Estate of Aurin Prescott, Deceased, Case No. 94-650-CP bars further litigation on entitlement to the annuity.

We do not believe that the failure to comply with the claim provision bars an action against Stanley individually if he wrongfully diverted funds belonging to Prescott into the estate account. If Stanley is held accountable for his improper actions or omissions while acting under the power of attorney, he and not the estate will suffer the consequences. We agree, however, that the current pleadings do not properly plead a cause of action against Stanley. Prescott asked for leave to amend Ms pleadings and submitted a proposed amended complaint. The court refused to permit an amendment. We believe the refusal to permit an amendment under the facts of this case to have been an abuse of discretion and reverse. We remand to the trial court to permit an amendment as it relates to Stanley in his individual capacity.

AFFIRMED in part; REVERSED in part and REMANDED.

ANTOON, J., concurs.

DAUKSCH, J., concurs in part; dissents in part, with opimon.

Other
DAUKSCH, Judge,

DAUKSCH, Judge,

concurring specially in part; dissenting in part.

While I agree appellant should be granted leave to file an amended complaint against appellee individually, I do not want to leave the impression that the proposed amended complaint is adequate.

Further, I would grant leave for appellant to file an amended complaint against appellee as personal representative and against the estate if he can properly allege that he was not legally required to file a claim against the estate.

In other words, tMs plaintiff, like most others, is entitled to at least one amendment. See Fla. R. Civ. P. 1.190(a); Erace v. Erace, 693 So. 2d 68 (Fla. 3d DCA 1997); Davis v. Orlando Regional Medical Center, 654 So. 2d 664 (Fla. 5th DCA 1995).


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