Could a judge serve without pay as trustee of a longtime friend’s life insurance trust?

Short answer No. The Committee said Canon 4(E)(1) barred a judge from serving as trustee outside the listed family exception, and it had no authority to waive that prohibition.

Bar

JUDICIAL-AR

Issued

June 8, 2004

Apply this to your situation

This page answers the general question as of 2004. Ask about yours and see what the current rules of professional conduct in your state say for your facts, with citations.

Disclaimer: Advisory only. Not binding precedent.

About this page: The plain-English summary, reader guidance, and Q&A below were written by Ezel based on the official ethics opinion. The original opinion (linked on this page) is the authoritative source for any reliance.

Plain-English summary

A circuit judge asked whether he could serve without compensation as trustee of a longtime friend’s life insurance trust, with legal counsel handling legal matters.

The Committee said Canon 4(E)(1) barred a judge from serving as trustee except for the estate, trust, or person of the judge’s family. It found no exception for the described circumstances and said it lacked power to waive or suspend the Code’s prohibition.

In practice

The opinion rejects the proposed trusteeship despite the lack of pay and the limited duties described. Its answer rests on the Code’s express family exception.

Common questions

Q: Would serving without compensation change the result?

A: No. The Committee said the Code did not allow an exception for the proposed arrangement.

Q: Could the Committee grant a waiver?

A: No. It said it lacked authority to waive the Code’s prohibition.

Background and rules framework

The Committee applied Arkansas Code of Judicial Conduct Canon 4(E)(1) as it stood in June 2004 and cited an earlier opinion on its limited authority.

Citations and references

Arkansas Code of Judicial Conduct Canon 4(E)(1).
JEAC Opinion 2001-05 (Committee authority).

Source

Landing page: https://jddc.arkansas.gov/opinions/opinion-no-2005-04-2/

Original opinion text

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

June 8, 2004

Honorable John Homer Wright

Circuit Judge-Division One

18th Judicial Circuit-East

501 Quachita Ave., Suite 301

Hot Springs, Arkansas 71901

Advisory Opinion 04-2005

Dear Judge Wright:

You have asked this committee whether you can serve as a trustee of a life insurance trust. The trust has been established by a long-time friend; you would serve without compensation; your role would be limited to overseeing compliance with statutes and regulations; you would not be giving investment advice; counsel for the trust would handle all legal maters.

The Arkansas Code of Judicial Conduct is clear and unambiguous: "A judge shall not serve as...trustee..., except for the estate, trust or person of the judge's family..." Canon 4(E)(1). The Code does not allow exceptions regardless of what may appear to be appropriate circumstances.

The task of this committee is to interpret and apply the Code as adopted by the Supreme Court. We have previously stated that we have no authority to rewrite the Code or to temporarily suspend its operation. (Advisory Opinon 2001-05). Likewise, we lack any basis or power to grant any waivers from the prohibitions of the Code. In our opinion you cannot serve as trustee.

Sincerely,

Howard W. Brill

For the committee

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