SECURITY TRUST COMPANY, AS EXECUTOR OF THE LAST WILL AND TESTAMENT OF EMMA R. BAKER, DECEASED, APPELLANT,
v.
J. EMMETT GRANT, APPELLEE

Fla. 3d DCA | 1963-08-13
No. 62-607
Before CARROLL, HORTON and PEARSON, TILLMAN, JJ., CARROLL, J., dissents.
155 So. 2d 805 Florida District Court of Appeal, Third District (1963) Positive Treatment
Cited by 4 cases

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Synopsis

An executor appeals a judgment awarding a deceased woman's promissory note to her nephew, challenging the trial court's rejection of the Dead Man's Statute as a bar to testimony from an attorney who had been the plaintiff's counsel and had a contingent fee arrangement. The court held that the attorney lacked a disqualifying interest because upon termination of the representation, his fee was presumed to shift to a quantum meruit basis rather than remaining contingent on the suit's outcome.


Holding

The court held that Brunstetter lacked a disqualifying interest in the event of the action because upon termination of the attorney-client relationship, his compensation is presumed to shift to a quantum meruit (reasonable value of services) basis rather than remaining contingent on the suit's outcome. The appellant failed to demonstrate through the record that the witness retained a contingent interest at the time of his testimony.


Key Quotes

“A state of circumstances which will disqualify a witness may not be assumed, but must appear on the record.”

Establishes the evidentiary burden: the party claiming Dead Man's Statute disqualification must affirmatively prove the witness has an interest in the event; such circumstances cannot be presumed.

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Facts & Procedural History

Emma R. Baker executed a $25,000 demand note to her nephew, J. Emmett Grant, in 1951, with an understanding he would not demand payment until her deat…

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Opinion of the Court
PEARSON, TILLMAN, Judge.

PEARSON, TILLMAN, Judge.

The Security Trust Company is the executor of the last will and testament of Emma R. Baker, deceased. It was sued as executor by J. Emmett Grant upon a demand note for $25,000 which provided for interest and attorney’s fees. The executor filed an answer in which it denied the execution of the note and averred that the note “as executed and delivered by the decedent, was without consideration paid or given therefor.” A non-jury trial resulted in a final judgment for the plaintiff. The executor appeals this judgment.

We find that the primary question on this appeal concerns the applicability of the Dead Man’s Statute, § 90.05, Fla.Stat., F.S. A.1 The circumstances for the ruling upon the applicability of the statute arose from the testimony of Roscoe M. Brunstetter, an attorney at law, who was the attorney for *807the plaintiff, Grant, at the time of the filing of the complaint upon the note.

J. Emmett Grant, the plaintiff, was the nephew of the deceased, Emma R. Baker. He testified that in 1942 he came to Miami upon the promise that they would be “equal partners in everything.” Thereafter, she failed to make any provision for payments to him, but she occasionally made advances to him for living expenses. In 1951 the deceased made and delivered to him the demand note for $25,000 which is the subject of this suit. Plaintiff further testified that upon request by his aunt, he agreed not to demand payment until she died or was incapacitated.

Emma R. Baker died November 18, 1960. On June 12, 1961, Grant brought his complaint claiming principal, interest and attorney’s fees. On this complaint the firm of Brunstetter, Netter and Kolodgy, attorneys at law, signed as attorneys for the plaintiff. The complaint included an allegation as follows:

“* * * The aforesaid promissory note provides for the payment of reasonable attorney’s fees in the event said note is collected upon demand of an attorney, and by reason thereof the defendant became and is obligated to pay attorney’s fees.
“4. Plaintiff has retained the law firm of BRUNSTETTER, NETTER & KOLODGY to file this suit and prosecute the same to judgment and has agreed to pay said attorneys such reasonable sum for their services as the court finds and allows as a reasonable fee for their services in this matter.”

Approximately eight months after the filing of the complaint and subsequent to the filing of the answer, there was filed in the cause an “Order Authorizing Withdrawal of Counsel and Entry of Appear-anee of New Counsel for Plaintiff.” This order recites that it is based upon the motion of Brunstetter, Netter, Popper & Kol-odgy, attorneys for J. Emmett Grant, for permission to withdraw as counsel for the plaintiff; but the motion is not made a part of this record. The order reads as follows :

“THIS MATTER being presented to the Court on motion of BRUN-STETTER, NETTER, POPPER & KOLODGY, attorneys for J. EMMETT GRANT, for permission to withdraw as counsel for the plaintiff, and to authorize the appearance of GARLAND M. BUDD as counsel for the Plaintiff in lieu of said firm, and it appearing to the Court that said motion is based upon the written request of the Plaintiff, which written request is attached to the motion, and that the motion ought to be granted, it is, therefore,
“ORDERED, ADJUDGED AND DECREED as follows:
“(1) That the Court does hereby approve the withdrawal of the firm of BRUNSTETTER, NETTER, POPPER & KOLODGY as attorneys for the Plaintiff, J. EMMETT GRANT in the above entitled Cause.
“(2) The Court approves the entry of appearance as attorney for the Plaintiff of GARLAND M. BUDD, a member of the Bar of this Court.”

At the trial of the cause, the plaintiff called Roscoe Brunstetter of the firm of Brunstetter, Netter, Popper & Kolodgy. In his testimony, Mr. Brunstetter identified documents containing the signature of the deceased. In addition, he was asked about a conversation he had with the deceased concerning the note. It appears from the testimony thereafter given 2 that the testimony sought to be elicited at this point in *808the examination was for the purpose of relating an acknowledgement by Emma R. Baker, the deceased, that the signature on the note was her own. At the beginning of the examination on this subject, the defendant objected upon the ground that the testimony of Mr. Brunstetter as to the •conversation with the deceased was barred by the Dead Man’s Statute because he is a. witness having an interest in the event of the action.

We thus are presented with the question of whether an attorney who certifies in the complaint that the plaintiff has agreed to pay him as a fee for his services in connection with the collection of a note “such reasonable sum * * * as the court finds * * *» and wffo thereafter is relieved from the prosecution of the suit by agreement with his client, is within the provision of the applicable statute a * * * person interested in the event. * * * ”

It is established in Florida that under ordinary circumstances an attorney who has been the attorney of the plaintiff is not precluded from testifying, except as to such facts as came to his knowledge by means of his confidential relationship with his client. Parker v. Priestley, Fla.1949, 39 So.2d 210. The last cited case further is authority for the holding that for an attorney to be precluded from testifying under § 90.05, Fla.Stat., F.S.A., it must be made to appear that the attorney is “interested in the event” of the action.3 Therefore, if Mr. Brunstetter is found to have a disqualifying interest, it must be based upon the fee which is claimed in the complaint.

Appellant contends that upon withdrawal, Mr. Brunstetter and his firm became entitled to a fee for the proportionate part of the work of prosecuting the suit which they had performed up to the time of removal. The appellee, upon the other hand, contends that upon termination of the employment of Mr. Brunstetter’s firm, he was entitled to be compensated only for the reasonable value of the services for his former client.

It should be noted that we must here deal with the operation of the law upon the attorney’s right to a fee without regard to a new contract in the nature of a novation which would in many cases follow a mutual agreement for withdrawal. If such a novation existed in the attorney’s fee contract in this case, it was not brought out on the record.

Appellant strongly urges that it was unnecessary for it to go further and question the witness as to the nature of his interest because such an interest had been estab*809lished when Mr. Brunstetter testified that he was originally counsel in the case pending and had “a fee in the case”.

We must examine the record to see what was the nature of the fee that Mr. Brunstetter testified that he had in the case. In this connection the contention of the appellant appears to be that since the complaint shows that Mr. Brunstetter’s fee was to be only “such reasonable sum for their services as the court finds and allows”, and no fee would be allowed unless judgment were to be entered on the note, then the fee must be presumed to be contingent upon the outcome of the suit. To this extent we agree with the appellant.

The next step in this reasoning of the appellant is that because the appellee did not show a change in the character of the fee, that we must presume that it was still contingent at the time of the testimony. With this step we cannot agree. A state of circumstances which will disqualify a witness may not be assumed, but must appear on the record. See 2 Wigmore on Evidence § 584 (3rd ed. 1940).

When an attorney’s representation of a client in a matter before the courts is terminated, we presume that his compensation will be upon a quantum meruit basis. See Winn v. City of Cocoa, Fla.1954, 75 So.2d 909. Even if this were not true, there is no presumption that the original contingent fee arrangement survived the termination of the attorney-client relationship. We hold, therefore, that the appellant did not demonstrate in the record that the witness Brunstetter had an “interest in the event” of the action. See Parker v. Priestley, Fla.1949, 39 So.2d 210.

The appellant has presented two additional points each going to the legal effect of the evidence. We have examined the points and the authorities cited and hold that error has not been demonstrated.

Affirmed.

CARROLL, J., dissents.


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Cited By

  • Angrand v. KEY, 657 So. 2d 1146 (Fla. 1995)
    …Palmer v. Liberty National Life Ins. Co., 499 So. 2d 903 (Fla. 1st DCA 1986) (prior stockholder of defendant company not interested party where stock is divested prior to trial), review denied, 508 So. 2d 15 (Fla.1987); Security Trust Co. v. Grant, 155 So. 2d 805 (Fla. 3d DCA 1963) (plaintiffs attorney who had signed contingency fee agreement but had withdrawn from case prior to trial and thus entitled only to quantum meruit was not an interested party); see Charles W. Ehrhardt, Florida Evidence § 601 at 333…
  • Somarriba v. Javed S. ALI and Isaac A. Velazquez, 941 So. 2d 526 (Fla. 3d DCA 2006)
    …quash the order before us. Certiorari granted. . Notably, it is well-settled that the fact that a person is a lawyer does not necessarily disqualify him as a witness. See Hoyas v. State, 456 So. 2d 1225 (Fla. 3d DCA 1984); Sec. Trust Co. v. Grant, 155 So. 2d 805 (Fla. 3d DCA 1963). Here, Velazquez can testify as to matters regarding Somarriba’s injuries in the 2000 accident because Somarriba voluntarily waived the attorney client privilege. See Hoyas, 456 So. 2d at 1228.…

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