Winslowet-Alps v. Estate Elise W. Harris

Background

Aldin Winslowet-Alps, proceeding without a lawyer, sued the Estate of Elise W. Harris, Steven Kandel Fiduciary, Anne Amman-Vargus, Martin B. Burke, and a defendant identified in the caption as “United States District Judge.” He sought immediate disbursement of funds from a trust established by his mother’s will. The will directed that some money be held in a trust for Winslowet-Alps’s benefit and identified Steven Kandel as trustee. Winslowet-Alps alleged, among other things, that his share was $500,000 and that having two fiduciaries violated his civil rights, political rights, and religious rights.

The court noted that Winslowet-Alps had filed similar earlier suits involving many of the same defendants. Those earlier related proceedings were dismissed, including one for lack of subject-matter jurisdiction and another as incoherent and frivolous.

Jurisdictional Analysis

Federal district courts generally have federal-question jurisdiction when a claim arises under the United States Constitution, federal law, or a treaty. They may also have diversity jurisdiction when the parties are citizens of different states and the amount in dispute exceeds $75,000.

The court held that Winslowet-Alps’s claims about administering his mother’s estate arose under state law. His statement that trustee discretion violated his civil rights did not identify a federal statute providing a basis for relief. The court also found that merely listing “United States District Judge” as a defendant did not establish federal-question jurisdiction because the complaint did not mention that defendant in its body or allege facts supporting a claim against a federal judge. The court noted that a judge would generally be immune from damages claims based on judicial acts.

The complaint also failed to establish diversity jurisdiction. Winslowet-Alps did not allege where any defendant was domiciled. The addresses listed for him and one defendant were both in Connecticut, and he did not provide the citizenship information needed for the remaining defendants.

Probate Exception and Disposition

The court explained that federal courts cannot administer an estate, probate a will, or take control of estate property held by a state probate court. This limitation is known as the probate exception to diversity jurisdiction. The court concluded that Winslowet-Alps’s request to force the trustee to distribute trust assets and to have the federal court oversee the trust’s administration would fall within that exception, even if he could establish diversity of citizenship.

The court dismissed the complaint for lack of subject-matter jurisdiction under Federal Rule of Civil Procedure 12(h)(3). It declined to give Winslowet-Alps permission to amend because doing so would be futile. The order did not determine whether he was entitled to the requested trust distribution.