What did the opinion permit when a lawyer for a conservator suspected estate-fund misappropriation?

Plain-English summary

A lawyer for a conservator received an estate check the conservator had apparently tried to obtain improperly and learned of possible earlier misappropriation.

The opinion treated that information as protected by Rule 4-1.6 and barred disclosure without the conservator's consent. It said the lawyer had to try to persuade the conservator to remedy the problems. If the conservator refused, the lawyer had to return the check to court without explanation and withdraw. The lawyer could tell the bonding company about the motion for leave to withdraw, but the opinion did not authorize disclosure of the underlying information.

Currency note

This 1994 opinion predates Missouri's 2007 amendments to its Rules of Professional Conduct. An official reference note identifies July 1, 2007 amendments to Rules 4-1.9 and 4-1.10. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context and verify current rules before relying on it.

Common questions

Q: Could the lawyer tell the bonding company about the suspected conduct?

A: The opinion permitted informing it of the motion for leave to withdraw, while treating the underlying information as confidential absent consent.

Q: What if the conservator would not remedy the problems?

A: The opinion said to return the check to the court without explanation and withdraw.

Q: How did the opinion address duties to the conservatorship subject?

A: It said they were discharged by persuading the conservator to rectify the conduct, or by seeking withdrawal and returning the check to court.

Background and rules framework

The opinion applied Missouri Rule 4-1.6 to information about possible conservator misconduct and described the lawyer's response concerning the estate check.

Citations and references

Rules of Professional Conduct:

• Missouri Rule 4-1.6

See also

• Missouri Informal Op. 2011-06: Conservator and former estate client
• Missouri Informal Op. 950018: Former-client fraud and confidential testimony

Source

• Landing page: https://mo-legal-ethics.org/informal-opinion/940093/

Original opinion text

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

QUESTION: Attorney has recently learned that a conservator whom attorney represents may have attempted to misappropriate funds. Attorney has come into possession of a check representing money belonging to the estate which the conservator has attempted to improperly obtain. Attorney also has received information that the conservator may have misappropriated estate funds in a previous year. What may attorney do with the check? What may attorney do regarding notifying the conservator´s bonding company? What are Attorney´s duties to the subject of the conservatorship? ANSWER: The information is covered by Rule 4–1.6, client confidentiality. Attorney may not communicate the information to anyone other than the conservator unless the conservator has consented or gives consent in the future. Attorney must attempt to persuade the conservator to remedy these problems. If conservator is unwilling to remedy these problems, Attorney must return the check to the court without explanation and withdraw from the representation. Attorney may inform the bonding company of Attorney´s Motion for Leave to Withdraw. Attorney´s duties to the subject of the conservatorship are discharged by persuading the conservator to rectify the wrongful conduct. Alternatively, Attorney´s duties are discharged by seeking to withdraw and returning the check to the court.