In re Estate

• Decision Date: 14 February 2018
• Docket Number: No. M2017–00602–COA–R3–CV,M2017–00602–COA–R3–CV
• Citation: 562 S.W.3d 409
• Parties: IN RE ESTATE OF James Kemmler ROGERS
• Court: Tennessee Court of Appeals

562 S.W.3d 409

IN RE ESTATE OF James Kemmler ROGERS

No. M2017–00602–COA–R3–CV

Court of Appeals of Tennessee, Middle Section, AT NASHVILLE.

October 5, 2017 Session

FILED February 14, 2018

Application for Permission to Appeal Denied by Supreme Court June 6, 2018

John A. Beam, III, and Irene R. Haude, Nashville, Tennessee, for the appellant, Patricia Porter Kryder.

Andra J. Hedrick, Nashville, Tennessee, for the appellees, James Schneider Rogers and Jennifer Rogers–Etcheverry.

Thomas R. Frierson, II, J., delivered the opinion of the court, in which J. Steven Stafford, P.J., W.S., and Arnold B. Goldin, J., joined.

OPINION

Thomas R. Frierson, II, J.

This probate action is before this Court on appeal for the second time. Following remand from this Court subsequent to the first appeal, the trial court determined that the petitioner did have standing to file her petition for probate as a "purported creditor" of the decedent. The trial court ultimately denied the petition, however, finding "no basis for either primary or ancillary probate in Tennessee." The trial court had also previously awarded sanctions against the petitioner and her counsel pursuant to Tennessee Rule of Civil Procedure 11. The petitioner has appealed. Discerning no error in the trial court's denials of both primary and ancillary probate, we affirm such determinations. Although we also affirm the trial court's imposition of Rule 11 sanctions against the petitioner and her counsel generally, we vacate the specific award granted against the petitioner personally and remand such issue to the trial court for a determination of the proper amount of sanctions to be awarded against the petitioner solely pursuant to Rule 11.02(1). We affirm the trial court's judgment in all other respects.

I. Factual and Procedural Background

The factual and procedural history of this case previous to the first appeal is explained as follows by this Court's opinion in In re Estate of Rogers , No. M2015-01439-COA-R3-CV, 2016 WL 6087662, at *1 (Tenn. Ct. App. Oct. 17, 2016) (" Rogers I "):

James Kemmler Rogers ("Decedent") died on June 11, 2014 in Bakersfield, California. Decedent was survived by two adult children, James Schneider Rogers and Jennifer Rogers–Etcheverry (together, "Appellees"). Decedent was employed in the cattle business, and he moved quite frequently. In approximately 2007, Decedent began residing on a small portion of Appellant Patricia Porter Kryder's farm in Tennessee. Ms. Kryder is an attorney, who is licensed in Tennessee. In lieu of rent, Decedent and Ms. Kryder agreed that Decedent would provide handyman-like duties.

On May 18, 2012, Decedent was injured in an automobile accident. It is alleged that, prior to the accident, Decedent had discussed, with family and friends, the possibility of moving back to California. Shortly after the accident, Decedent moved back to California to be near his family. There is dispute between the parties as to whether Decedent ever regained his mental faculties after the accident and whether his move to California was voluntary. There is evidence that Decedent was active after he moved to California, i.e., swimming, eating out, and carrying on business. After moving to California, Decedent did not maintain any cable or phone services in Tennessee, nor did he vote here. Decedent had no property in Tennessee at the time of his death. Decedent's estate was admitted to probate in Kern County, California on or about June 11, 2014. Ms. Rogers–Etcheverry was named the administrator of the estate.

On November 7, 2014, Appellant filed a petition to probate Decedent's estate in the Chancery Court for Giles County, wherein she alleged that she was a "creditor of the estate." On December 3, 2014, Appellant filed an amendment to the petition to include a copy of the Decedent's will, which was executed in Texas. On December 15, 2014, Appellees filed a "Notice of Filing," with which they tendered certified copies of an order of probate and letters of special administration that had been issued in connection with the probate of Decedent's estate in Kern County, California. On December 18, 2014, Appellees filed a response as interested persons to the petition to probate, contesting probate in Tennessee.

The trial court heard the petition to probate on December 30, 2014 and January 15, 2015. On February 6, 2015, Appellees filed a motion for discretionary costs. On February 10, 2015, Ms. Kryder filed a request for findings of fact and conclusions of law. On February 10, 2015, the trial court entered a "Final Judgment and Order," which denied Appellant's petition to probate. Specifically, the trial court found that, "at the time of his death ..., James Kemmler Rogers ... resided in and was domiciled in California." The court found that there was no basis for either primary or ancillary probate in Tennessee. On February 13, 2015, the trial court entered an order granting Appellees' motion for discretionary costs in the amount of $4,777.41.

On March 9, 2015, Appellant filed a renewed petition for ancillary probate. As a ground for her petition, Ms. Kryder cited the 2012 "California Nonresident or Part–Year Resident Income Tax Return," which Decedent allegedly executed and filed. The document, Ms. Kryder argued, evidenced Decedent's intent to remain domiciled in Tennessee, although he was a resident of California.

After notice and time to cure, on June 8, 2015, Appellees filed a motion for Rule 11 sanctions against Ms. Kryder or her firm. Therein, Appellees alleged, inter alia, that Ms. Kryder had failed to pay the discretionary costs as ordered by the trial court. In addition, Appellees alleged that Ms. Kryder had engaged in "delay tactic[s]" by filing extraneous motions and memoranda in support of ancillary probate after the trial court had orally ruled that its order of February 10, 2015 was correct.

On June 12, 2015, Appellees filed a reply and supplemental memorandum in response to Ms. Kryder's renewed motion for ancillary probate. In this response, Appellees specifically raised the issue of whether Ms. Kryder had standing to pursue ancillary probate of Decedent's estate in Tennessee, see discussion infra.

On July 1, 2015, Ms. Kryder filed a response to Appellees' request for Rule 11 sanctions and request for her attorney's fees and costs. In her response, Ms. Kryder argued that her post-judgment filings were filed to bring

to the court's attention ... that the [February 10, 2015] order failed to make findings on required elements of proof (overt acts of the decedent in furtherance of intent to abandon Tennessee and adopt California), failed to establish who had the burden of proof at trial, made findings of intent by negative inference that are clearly inconsistent with the written statements of the decedent found in (the Nonresident California tax return), and made findings inconsistent with the substantial weight of the evidence on the issue of the decedent's recovery from the car wreck.

On July 7, 2015, Ms. Kryder filed a cross-petition for Rule 11 sanctions against Appellees.

The trial court heard Ms. Kryder's renewed petition for ancillary probate on June 12, 2015, see discussion infra . On July 14, 2015, the trial court entered an order denying Ms. Kryder's petition. Therein, the trial court found that Ms. Kryder had failed to present new evidence so as to necessitate rehearing; however, the trial court did not specifically rule on the standing argument that was raised by Appellees in their response to Ms. Kryder's petition for ancillary probate. On the same day, the trial court entered a separate order denying Ms. Kryder's request for the court to make additional findings of fact and conclusions of law. Ms. Kryder filed a notice of appeal on July 30, 2015.

On September 11, 2015, the trial court heard the cross-motions for Rule 11 sanctions. By order of September 21, 2015, the trial court denied Ms. Kryder's Rule 11 motion, but granted Appellees' [motion]. The court found "that all pleadings filed [on Ms. Kryder's behalf] after the hearing on February 13, 2015 ... [were] improperly filed to harass, to cause unnecessary delay, and to increase the cost of litigation." In a "Final Judgment," which was entered on October 30, 2015, the trial court awarded Appellees $5,311.85 in discretionary costs and $34,705.61 in damages under Rule 11. In its October 30, 2015 order, the trial court states: "This is a final judgment that resolves all claims and issues in this case and is a final order pursuant to Tenn. R. Civ. P. 54, from which an appeal may be taken." Following entry of this order, Ms. Kryder filed a supplemental notice of appeal on October 6, 2015. Thereafter, on November 24, 2015, Appellees filed a motion to alter or amend the final judgment. In their motion, Appellees asked the trial court to amend its judgment to reflect Ms. Kryder's alias, Patricia K. Gainer. By order of December 8, 2015, this Court remanded the case to the trial court (noting that this Court might not have attained jurisdiction under Tennessee Rule of Appellate Procedure 3 in the absence of a ruling on Appellees' motion to alter or amend). On remand, the trial court entered an order on February 12, 2016, granting Appellees' motion and amending its judgment to also include Ms. Kryder's alias.

Id. at *1–2. Following a determination that no valid final judgment had been entered by the trial court because the standing issue had never been adjudicated, this Court dismissed the appeal and remanded the matter to the trial court for further proceedings. Id. at *6.

Following remand and additional briefing by the parties, the trial court determined by order dated December 9, 2016, that Ms. Kryder maintained standing to file her petition for probate as a "purported creditor" of Mr. Rogers ("Decedent"). As the trial court explained:

Ms. Kryder does meet the minimum requirements of constitutional standing in order to present a justiciable controversy under ACLU of Tenn. v. Darnell , 195 S.W.3d

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