IN THE MATTER OF THE ESTATE OF IRENE INA JOHNSON JAN ARKFELD and LANA BRUNING, Plaintiffs-Appellants, vs. DONALD D. JOHNSON, Individually and as Executor of the Estate of IRENE INA JOHNSON, Defendant-Appellant.
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IN THE COURT OF APPEALS OF IOWA
No. 6-838 / 06-0497
Filed December 13, 2006
IN THE MATTER OF THE ESTATE OF IRENE INA JOHNSON
JAN ARKFELD and LANA BRUNING,
Plaintiffs-Appellants,
vs.
DONALD D. JOHNSON,
Individually and as Executor of the
Estate of IRENE INA JOHNSON,
Defendant-Appellant.
________________________________________________________________
Appeal from the Iowa District Court for Montgomery County, James
Heckerman, Judge.
Plaintiffs appeal an order fixing fees in a probate estate. AFFIRMED.
Andrew B. Howie of Hudson, Mallaney & Shindler, P.C., West Des
Moines, for appellants.
Mark D. Swanson of Swanson Law Firm, Red Oak, for appellee.
Considered by Sackett, C.J., and Eisenhauer, J., and Robinson, S.J.*
*Senior judge assigned by order pursuant to Iowa Code section 602.9206 (2005).
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ROBINSON, S.J.
I.
Background Facts & Proceedings
This case involves the estate of Irene Johnson, who died on June 8, 2004,
at the age of eighty-four. Irene had three children, Donald Johnson, Jan Arkfeld,
and Lana Bruning. After Irene’s death, Donald submitted to probate a will dated
August 21, 2001.
Donald was appointed executor for the estate.
The will
provided Jan and Lana would each receive a bequest of $5000, and the
remainder would go to Donald. The probate inventory shows Irene’s estate is
worth about $3.78 million.
Jan and Lana filed a petition to set aside the 2001 will, alleging it was the
result of undue influence by Donald. Plaintiffs seek to have Irene’s previous will
dated November 7, 2000, admitted to probate. Under the 2000 will each child
would receive one-third of the estate.
With the will contest pending, the executor, Donald, and the estate’s
attorney, Mark Swanson, requested ordinary fees under Iowa Code sections
633.197 and 633.198 (2003). Jan and Lana objected, asking that the request for
fees be held in abeyance until after the trial of the will contest. A hearing on the
application for fees, which was not reported, was held in February 2006.
The district court awarded the executor a fee of $67,685.07, with one-half
of that amount, $33,842.53, payable at that time and the remainder to be paid
when the estate received final approval of tax issues from the Internal Revenue
Service (IRS). An identical award of fees was made to the estate’s attorney.
The court stated, “Litigation continues in a will contest and the objecting parties
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remain free to object to attorney or executor requests for extraordinary fees at
such time that application is made therefore.” Jan and Lana appeal the fee
awards.
II.
Standard of Review
A hearing on an allowance of fees in a probate case is in equity, and our
review is de novo. See Iowa Code § 633.33; In re Estate of Heller, 401 N.W.2d
602, 608 (Iowa Ct. App. 1986). In equity cases, especially when considering the
credibility of witnesses, we give weight to the fact findings of the district court, but
are not bound by them. Iowa R. App. P. 6.14(6)(g); In re Estate of Bruene, 350
N.W.2d 209, 217 (Iowa Ct. App. 1984).
III.
Merits
On appeal, Jan and Lana contend the district court should not have
awarded executor and attorney fees while the will contest is still pending. They
assert that if they are successful in the will contest, Donald’s fees as executor
may be reduced under section 633.162, which provides, “In fixing the fees of any
fiduciary, the court shall take into consideration any violation of this Code by the
fiduciary, and may diminish the fee of such fiduciary to the extent the court may
determine to be proper.” See In re Guardianship of Liggett, 327 N.W.2d 779, 781
(Iowa Ct. App. 1982) (noting a court may diminish the amount of fees if an
executor violates the probate code).
The probate court has considerable discretion in allowing fees for the
executor and attorney of an estate. In re Estate of Rutter, 633 N.W.2d 740, 751
(Iowa 2001). We have stated, “It is customary, as followed in this case, for the
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attorney and executor fees to be set by the court on application by the executor
prior to the final report, usually following the submission of the probate inventory.”
Estate of Randeris v. Randeris, 523 N.W.2d 600, 606 (Iowa Ct. App. 1994).
Furthermore, “It is equally common for the maximum ordinary fee allowed by
statute to be requested and approved by the court . . . .” Id. A court may later
review and adjust a fee allowance at the hearing on the final report. Id. at 607.
Sections 633.197 and 633.198, which permit the award of ordinary fees to
an estate’s executor and attorney, are founded on the theory of quantum meruit.
In re Estate of Bolton, 403 N.W.2d 40, 43 (Iowa Ct. App. 1987). The executor
and attorney for an estate are entitled to the reasonable value of their ordinary
services. Id. In considering a reasonable fee, the probate court considers the
time necessarily spent on estate matters, the nature and extent of the service,
the amount involved, the difficulty of handling and the importance of the issues,
responsibility assumed, and results obtained. In re Estate of Simon, 288 N.W.2d
549, 552 (Iowa 1980).
The court may also consider the size of the estate.
Bolton, 403 N.W.2d at 43.
We find the probate court did not abuse its discretion under the facts of
this case.
The file in this case shows the estate was fairly large, and the
executor and attorney had many important issues to address, including tax
returns and ongoing management of the estate. We conclude the executor and
attorney were entitled to an award of ordinary fees under sections 633.197 and
633.198. As discussed above, such fees are often awarded before the final
report in a probate case. Randeris, 523 N.W.2d at 606. If a diminishment of fees
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is made under section 633.162 based on violations of the probate code, this
adjustment can be made at the time of the hearing on the final probate report.
See id. at 607. Any fees later determined to be inopportune and not appropriate
could be recouped from Donald’s share of the estate. The will contestants are
secure if their suit is ultimately successful.
We affirm the decision of the district court.
AFFIRMED.
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