May a circuit judge continue serving as trustee of bankruptcy estates begun before taking the bench?

Plain-English summary

The judge had served as trustee for several bankruptcy estates before taking the bench and had retained counsel for legal work. The Commission still concluded that the judge should not continue as trustee.

It said the trustee’s relationship with creditors made conflicts with judicial duties difficult or impossible to minimize under Canons 5C(3) and 5D(2). Because the trusteeships appeared to arise from the judge’s former law practice, the Commission also concluded that continuing them appeared to violate Canon 5F’s prohibition on practicing law.

Currency note

This opinion was issued in 1983, after the Alabama Supreme Court’s 1975 adoption of the Alabama Canons of Judicial Ethics. Subsequent amendments or later opinions may have changed the analysis. Treat this page as historical context and verify the current Canons and linked opinion before relying on its conclusions.

Common questions

Q: Did retaining separate counsel resolve the Commission’s concern?

A: No. The Commission reached its conclusion even though legal counsel handled the estates’ legal matters.

Q: Why did the Commission invoke Canon 5F?

A: It understood the trusteeships to have arisen from the judge’s former law practice and said continuing them appeared to violate the ban on practicing law.

Background and rules framework

The opinion applies Canon 5 to financial and fiduciary activity, cites Canons 5C(3) and 5D(2) on minimizing conflicts, and invokes Canon 5F on practicing law.

Citations and references

Alabama Canons of Judicial Ethics:

• Canon 5
• Canon 5C(3)
• Canon 5D(2)
• Canon 5F

See also

• AL Judicial Ethics Op. 83-185: Hospital Trusteeship

Source

• Landing page: Alabama JIC advisory opinions
• Original PDF: Advisory Opinion 83-182
• Canon history: Alabama JIC, Canons of Judicial Ethics

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

83-182
Judicial Inquiry Commission
800 SOUTH MCDONOUGH STREET
SUITE 201
MONTGOMERY, ALABAMA 36104
March 28, 1983
The Judicial Inquiry Commission has considered your request for an advisory opinion concerning whether a circuit judge may serve as an elected or appointed trustee in a number of bankrupt estates where the judge served as trustee for the estate prior to assuming the bench and where legal counsel was employed to handle all legal matters. It is the opinion of the Commission that a judge should not serve as trustee for a number of bankruptcy estates even though legal counsel has been employed to handle all legal matters. A judge’s financial and fiduciary activities are governed primarily by Canon 5 of the Alabama Canons of Judicial Ethics. While this canon does not strictly prohibit extra- judicial financial and fiduciary activities, the canon does admonish a judge that such activities should be limited so that conflict with the judge’s judicial duties are minimized. See Canon 5C(3) and 5D(2). Particularly, due to the trustee’s relationship with creditors of the bankrupt estate, it would appear to be difficult if not impossible for the judge to serve as trustee and to minimize conflicts with his judicial duties. Furthermore, it appears in this instance that the judge served as trustee as an incidence of his law practice prior to assuming the bench. Therefore, it appears that the continuation of service as trustee would violate Canon 5F under which a judge is prohibited from practicing law. Very truly yours, JUDICIAL INQUIRY COMMISSION