How to Win an Undue Influence Case in New York

To win an undue influence case in New York, strong evidence is required. Evidence must show badges of undue influence.

Factors Associated with Successful Claims

Factors associated with successful undue influence claims include the ill health and isolation of the testator, such as serious medical conditions like terminal illness, dementia, or severe depression, limited mobility or confinement to home or care facility, lack of regular contact with family and friends, dependence on influencer for daily needs and social interaction, and influencer's efforts to restrict access to testator or monitor communications. The influencer's control over the making of the will, including their role in selecting or communicating with the drafting attorney, presence during discussions about estate planning, possession of original will or other estate documents, arrangement of will execution ceremony, and being named as executor, trustee, or agent under power of attorney, is also a significant factor. A significant change of estate plan, such as the sudden or unexplained disinheritance of spouse, children, or other close relatives, substantial increase in bequest to influencer or influencer's family, inconsistency with testator's prior statements about testamentary intentions, disposition of specific assets in manner contrary to testator's earlier plans, and lack of logical explanation for dramatic changes to long-standing estate plan, can be indicative of undue influence. Finally, a will that prefers an "unnatural" beneficiary, such as a disposition favoring a non-family member over spouse, children, or other close relatives, bequests to recent acquaintances or virtual strangers, exclusion of natural heirs in favor of organizations or causes not previously supported by testator, large bequests to caregiver, housekeeper, or other non-relative in position of trust, and disposition that ignores financially dependent or vulnerable family members, is often associated with successful undue influence claims.

Rebutting an Undue Influence Claim

Rebutting an undue influence claim can be accomplished through the use of independent drafting counsel. This involves an attorney being selected by the testator without the involvement or recommendation of the alleged influencer. The counsel should be experienced in estate planning and undue influence issues. Private meetings between the attorney and testator should be held to discuss goals and intentions, and the attorney should thoroughly explore the testator's reasons for the chosen disposition. Documentation of the testator's capacity and freedom from undue influence should be maintained, and the drafting attorney's testimony can support the validity of the will.

Providing a reasonable explanation for estate plan changes is another way to rebut an undue influence claim. This may include evidence of estrangement or conflict between the testator and disinherited heirs, such as long-standing disputes or disagreements, specific incidents causing the deterioration of relationships, and the testator's clear expressions of intent to reduce or eliminate bequests. The testator's desire to reward or recognize contributions of non-family beneficiaries, such as long-term caregivers who provided exceptional service, friends or neighbors who offered significant companionship and support, and charities or causes that held special meaning for the testator, can also provide a reasonable explanation for changes to the estate plan.

Additionally, the testator's rational response to changes in financial or family circumstances, such as increases or decreases in the value of certain assets, birth, death, marriage, or divorce of potential beneficiaries, and the evolution of the testator's personal values and priorities over time, can help to rebut an undue influence claim.

Finally, the testator's cogent explanations for departures from prior estate plans, including thoughtful discussions with the drafting attorney about reasons for changes, logical connections between the testator's expressed goals and chosen dispositions, and consistency of will provisions with the testator's other statements and actions, can provide further support for the validity of the estate plan.

Proving Undue Influence Through Circumstantial Evidence

Fact witnesses, such as relatives, friends, and neighbors, can provide valuable testimony in proving undue influence through circumstantial evidence. Family members who observed the testator's interactions with the alleged influencer, friends or neighbors who witnessed changes in the testator's behavior or relationships, individuals who heard the testator's comments about estate planning intentions, and those with knowledge of the testator's prior statements contradicting the terms of the challenged will can all serve as important fact witnesses.

Additionally, those involved in making the will, including the drafting attorney and other lawyers involved in the estate planning process, paralegals or legal assistants who participated in preparing documents, witnesses to the execution of the will, and the notary public who acknowledged the testator's signature, can provide crucial information.

Medical experts, including treating physicians and experts engaged to testify, can also play a significant role in proving undue influence. Doctors who provided care to the testator near the time of will execution, physicians with long-term knowledge of the testator's physical and mental health, and medical professionals who can testify to the testator's capacity and susceptibility to influence are all valuable treating physicians.

Key documents, including estate planning documents, medical records, financial and property records, and communications, can also serve as critical evidence in proving undue influence. Prior wills and codicils executed by the testator, trusts, powers of attorney, healthcare directives, notes or correspondence related to the preparation of testamentary instruments, and financial account statements and beneficiary designation forms are all important estate planning documents. Medical records, such as hospital and physician records documenting the testator's health conditions and treatments, medication lists and prescription histories, mental health evaluations and assessments of cognitive functioning, and caregiver notes and observations regarding the testator's behavior and mental state, can provide valuable insights. Financial and property records, including bank statements, checks, deposit slips, investment account statements and transaction records, real estate deeds, mortgages, property tax records, insurance policies, and beneficiary designation forms, can also be used to support an undue influence claim. Finally, communications, such as letters, emails, text messages between the testator and alleged influencer, correspondence between the testator and family members or friends, social media posts and messages revealing the testator's state of mind or relationships, and recordings of phone calls or conversations involving the testator and relevant parties, can provide additional circumstantial evidence of undue influence.

In conclusion, proving undue influence in New York requires a combination of strong circumstantial evidence and witness testimony. Successful claims often involve factors such as the testator's ill health and isolation, the influencer's control over the estate planning process, significant changes to the estate plan, and dispositions favoring "unnatural" beneficiaries. Ultimately, the outcome of an undue influence case will depend on the unique facts and circumstances of each situation, and the ability of the parties to present compelling evidence to support their positions.

Should you need legal representation in an undue influence case, you can call the Law Offices of Albert Goodwin at 212-233-1233 or send us an email at [email protected].

We represent estate litigation clients throughout the state of New York, including all five boroughs of New York City (Manhattan, Brooklyn, Queens, The Bronx, and Staten Island), Long Island, and Upstate New York.