Smith v. Gutierres

Background

Carol Smith moved to substitute for Jason M. Smith under Federal Rule of Civil Procedure 25(a)(1), which allows a proper successor or representative to replace a deceased party when the claim continues. The defendants did not dispute that the motion was timely or that Jason Smith’s claims survived. They argued that Carol Smith had not shown that she was a proper party because she had not established that she was related to Jason Smith or a person entitled to receive part of his estate, had not shown that New York had legally designated her to represent the estate, and had not shown that the estate had been distributed.

The court had previously directed Carol Smith to address each of those issues in a short reply. Her later affirmation did not appear to address all three issues, and it referred to exhibits that were not attached. The order states that Carol Smith was proceeding without a lawyer. Her affirmation also stated that Jason Smith had a son.

Court’s Directions

The court gave Carol Smith one final opportunity to file a letter of no more than three single-spaced pages by November 25, 2024. The letter must address two main questions:

1. Whether Carol Smith may substitute for Jason Smith. She must show either that she is a “distributee”—a person entitled under New York law to receive or share in the estate—or that she is a legally designated representative of the estate. If she claims to be a distributee because she is Jason Smith’s mother, she must provide proof of that relationship and explain why she would be entitled to share in the estate. The order notes that, under New York’s intestacy laws, a surviving parent receives or shares in an estate only if there is no living spouse or child. If Carol Smith is a legally designated representative and Jason Smith’s son is an estate beneficiary, she must also show that she has or will retain a lawyer because a representative generally may not represent an estate without a lawyer when other beneficiaries or creditors are affected.

2. Whether the estate was distributed. Even if Carol Smith establishes that she is a distributee or legal representative, she must show that Jason Smith’s estate was legally distributed before she sought substitution. Because she stated that neither she nor the child’s mother started proceedings in Surrogate’s Court, the order requires her to show how the estate was distributed to Jason Smith’s son without probate proceedings.

The court said supporting documents could be attached and would not count toward the three-page limit. It also directed defense counsel to serve Carol Smith with the order and file proof of service.

Disposition

Judge Ona T. Wang did not grant or deny Carol Smith’s motion to substitute. Instead, the court ordered her to provide additional information and gave her one final opportunity to address the identified deficiencies.