May a judge post bond for a sister administering their grandmother’s estate?
Apply this to your situation
This page answers the general question as of 2014. Ask about yours and see what the current rules of professional conduct in your state say for your facts, with citations.
Plain-English summary
A judge’s sister sought to administer their grandmother’s estate, with all heirs agreeing on sale of the sole asset. The sister needed a bond, and the judge asked about posting it and signing the Bond Book.
Reading former Canons 4D and 4E together, the Commission permitted both acts. It stressed the family estate, the judge’s action on behalf of a sister, all parties’ agreement, and the lack of likely interference with judicial duties or exploitation of office.
In practice
The opinion permits the bond and Bond Book signature in this agreed family estate situation.
Common questions
Q: May the judge post the bond?
A: Yes. The Commission permitted it on the stated facts.
Q: May the judge sign the Bond Book?
A: Yes. The same holding expressly includes that step.
Background and rules framework
Former Canon 4D(1) limits financial activity exploiting office or creating continuing ties to likely litigants. Canon 4E permits some fiduciary involvement with family estates subject to judicial duties. The opinion applies both to the proposed bond.
Citations and references
West Virginia Code of Judicial Conduct (former):
- Canons 4D(1) and 4E(1)–(3), financial and fiduciary activities.
Statute cited:
- W. Va. Code § 44-1-6, administrator bond.
See also
Source
- Landing page: West Virginia Judicial Investigation Commission advisory opinions
- Original PDF: JIC Advisory Opinion 2014-08, redacted
Original opinion text
Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.
JUDICIAL INVESTIGATION COMMISSION
City Center East - Suite 1200 A
4700 MacCorkle Ave., SE
Charleston, West Virginia 25304
(304) 558-0169 • FAX (304) 558-0831
April 3, 2014
Re: JIC Advisory Opinion 2014-08.
Dear
Your recent request for an advisory opinion to Counsel was reviewed by the Judicial Investigation Commission. The factual scenario giving rise to your request is as follows: Your grandmother passed away on March 3 1, 201 3. Your two sisters and you are the only heirs to her estate, which consists of a mobile home. You all agree that the home should be sold. One of your sisters has filed to become the Administratrix of the estate, and eve1yone concurs that she should serve in that capacity. Pursuant to W. Va. Code § 44-1-6, your sister is required to post a bond but cannot use her own land as surety. You want to know if you can post the bond for your sister and sign your name to the Bond Book.
To address the question which you have raised, the Commission has reviewed Canons 4D(l) and Canon 4E of the Code of Judicial Conduct provide:
Canon 4.
A judge shall so conduct the judge's extra-judicial activities as to minimize the risk of conflict with judicial obligations.
D. Financial activities.
(1) A judge shall not engage in financial and business dealings that:
(a) may reasonably be perceived to exploit the judge's judicial position, or (b) involve the j udge in frequent transactions or continuing business relationships with those lawyers or other persons likely to come before the cou1t on which the judge serves.
JIC Advisory Opinion 2014-08
April 3, 2014
Page 2
E. Fiduciary activities.
(I) A judge shall not serve as executor, administrator, or other personal representative, trnstee, guardian, attorney in fact, or other fiduciary, except for the estate, trust, or person of a member of the judge's fami ly, and then only if such service will not interfere with the proper performance of judicial duties.
(2) A judge shall not serve as a fiduciaiy if it is likely that the judge as a fiduciary will be engaged in proceedings that would ordinarily come before the judge, or if the estate, trust, or ward becomes involved in adversa1y proceedings in the cotnt on which the judge serves or one under its appellate jurisdiction.
(3) The same restrictions on financial activities that apply to a judge personally also apply to the judge while acting in a fiduciaiy capacity.
The Code defines " membe r of the judge's family" in patt as " any relative of a judge by blood or marriage."
Despite certain limitations, Canon 4D permits judges to engage in financial activities while Canon 4E allows judicial officers to have some persona l involvement in estate matters pertaining to family members. The Commission is of the opinion that when these provisions are read i11 pari materia and applied to your factual scenario, you may post bond for your sister and append your name lo the Bond Book since the matter involves your grandmother's estate, you will be posting the bond on behalf of your sister, and all parties agree as to the resolution of the matter. Additionally, it is highly unlikely that such action on your pait will interfere with the proper performance of your judicial duties; will be perceived to exploit your judicial position; will involve you in frequent transactions; or will create an appearance of impropriety.
It is hoped that this opinion fully addresses the issues which you have raised. If there is any fmther question regarding this matter do not hesitate to contact the Conunission.
Sincerely,
~~~ Judicial Investigation Conun.ission
REW/tat
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