HomeMy WebLinkAbout01-05-90
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IN THE ESTATE OF
ROBERT M. MUMMA,
DECEASED
IN THE COURT OF COMMON PLEAS OF
CUMBERLAND COUNTY, PENNSYLVANIA
ORPHANS' COURT DIVISION
NO. 21-86-398
BRIEF OF GUARDIAN AD LITEM IN OPPOSITION
TO PETITION OF ROBRRT M. MUMMA. II
INTRODUCTION
Robert M. Mumma (the Testator) died on Apri112, 1986, leaving a Last Will and Testament
with a Codicil, both of which have been duly probated in the Office of the Register of Wills in and
for Cnmberland County to the above term and number. Roben M. Mumma IT (the Petitioner) is
one of four adult surviving children of the Testator and is named as one of the remaindermen of
trusts created in Testator's will.
On January 6, 1987, Petitioner executed a document entitled "Disclaimer by Robert M.
Mumma, IT". The disclaimer recited the provisions of trusts created under the will and concluded
with Petitioner's disclaimer of "all right, title and interest in and to the principal of the trust under
Article SEVENTH of the Will and the principal of the trust under Article EIGHTH of the WilL. ."
This disclaimer was filed in the Office of the Register of Wills on January 12, 1987.
On June 20, 1989, two and one-half years later, Petitioner filed a petition to revoke this
disclaimer. Answers were filed in opposition to the petition by the Executricesffrustees, Robert
M. Frey, guardian ad litem of the minor children of Petitioner, and by Linda Roth, a sister of
Petitioner. An order granting Petitioner's request to revoke his disclaimer was granted by the
Orphans' Court to which the guardian ad litem filed exceptions.
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ARGUMENT
I. The Orphans' Court decision is in conflict with the established
law in Pennsylvania.
While it is correct that the law of Pennsylvania regarding the revocation of valid disclaimers
provides little guidance, there is ample guidance available in related areas of law to resolve the
question. As noted by Justice Papadakos in his dissent recently in Bi~~ins v. Shore. _Pa._,
565 A.2d 737 (1989), the law regarding third-party beneficiary contracts, gifts, trusts, powers,
and agency are all intertwined, and courts have not always been in agreement as to which law
should apply. Id. at 745. Justice Papadakos' dissent and Justice Flaherty's opiuion announcing
the judgment of the court both attempted to reach a decision which was consistent with related
areas of law. (See, for instance Justice Flaherty's opinion at 741 noting that the decision is
consistent with concept of a gift.) By the same token, the law regarding disclaimers should be
construed in light of related Pennsylvania doctrines, most notably inter vivos gifts and third-party
beneficiary contracts. The Orphans' Court decision in the case at bar, reaching a conclusion in
conflict with these related areas of law, was an error of law and should have been decided in a
manner to reach consistency.
A. The decision is in conflict with the law of inter vivos gifts.
In analyzing the issue of the enforceability of a disclaimer, an obvious parallel can be found
in the Pennsylvania cases dealing with the enforceability of an inter vivos gift. The fact that a
disclaimer is a form of gift is evident from Internal Revenue Code treatment of them as gifts subject
to gift tax, absent the meeting of certain requirements. Internal Revenue Code ~250 1 et seq.
It is a well established rule that for a gift to be valid, "two essential elements are requisite:
An intention to make an immediate gift, and such an actual or constructive delivery to the donee (a)
as to divest the donor of all dominion and control...." Post Estate v. Commonwealth Bank and
Trust Comoany. 500 Pa. 420, 422, 456 A.2d 1360 (1983); see also Lessner v. Rubinson Pa.
Superior Ct. _, _ 555 A.2d 193, 197 (1989). There can be no doubt that the requirements of
an inter vivos gift were met in this instance. Petitioner's disclaimer of his interest took effect
immediately and expressed in the present tense his intent to renounce and disclaim. Furthermore,
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the language clearly divests Petitioner of all dominion and control. Had the disclaimer not divested
Petitioner of all dominion and control, the present court proceedings would be unnecessary. Thus,
Petitioner made a valid gift.
A valid gift having been made, the burden rests on Petitioner to prove that the gift should
not be honored. Petitioner did not meet his burden. The rule remains the same as was stated by the
Supreme Court in 1893:
If there is no evidence which tends to prove that the donor was incompetent to
the make the gift, or which raises a suspicion of fraud or undue influence on the
part of the donee, the capacity of the donor and the fairness of the transaction will
be presumed, unless the relation between the parties is such that the policy of the
law casts upon the donee the burden of showing that the gift was the voluntary and
intelligent act of the donor. In the absence of such evidence this burden does not
rest on children who receive gifts from their parents. These gifts are, prima facie,
good, and it requires something more than the mere relation of parent and child to
nullify them, or to impose on the donee the burden of showing that they are free
from any taint of fraud or undue influence: W Offall' s A)J\)eal 110 Pa. 349.
Yeakel v. McAttee. 156 Pa. 600, 27 A. 277 (1893). By allowing the Petitioner to revoke his
disclaimer, the Orphans' Court decision has removed the burden which exists for all other gifts and
allows a gift by disclaimer to be made at the whim of the disclaimant without any burden
whatsoever. Such a ruling was an error oflaw.
B. The decision is in conflict with the law of third-party
beneficiaries of contractual gifts.
While not a contractual gift for the benefit of third-parties, the disclaimer is very similar as
it is a gift in the form of a formal document contemplating payment to third parties. The law
regarding contractual gifts was recently reviewed by the Supreme Court in Bil!~ins v. Shore.
~a._, 565 A.2d 737 (1989) in a decision affirming Pennsylvania adherence to the first
Restatement on Contracts rule on contractual gifts and rejecting the "modem" rule. The decision is
relevant to the matter before the Orphans' Court because it contained an extensive review of the law
of contractual gifts. Interestingly, the Orphans' Court decision conflicts with both the opinion
announcing the decision of the Court and the dissenting opinion of Justice Papadakos.
The rule in Pennsylvania as stated in the opinion is "that a donee beneficiary's contractual
rights vest immediately, that they may not be modified by the contracting parties unless the power
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to modify has been expressly reserved in the contract, and that the donee beneficiary has a right of
action to enforce the benefit conferred by the contract." [d. at 739; citing Lo~an v. Glass. 136 Pa.
Superior Ct. 221, 7 A.2d 116 (1939), ajJ' d per curiam, 338 Pa. 489, 14 A.2d 306 (1940). Under
this rule, Petitioner would not be allowed to revoke his disclaimer since he did not expressly
reserve the right to do so.
Conversely, Justice Papadakos urged that Pennsylvania should adopt Section 311 of the
Second Restatement of Contracts which would allow the modification of a beneficiary's rights
unless there was an express provision prohibiting such a right. [d., at 745. In the case at bar, the
Petitioner specifically stated that his disclaimer could not be revoked. Thus, allowing revocation of
the disclaimer is in conflict with the law of contractual gifts as stated in Section 311 of the Second
Restatement of Contracts. For the Orphans' Court to allow the revocation of a disclaimer which
expressly stated that it was irrevocable is an error of law in direct contradiction to the law of
Pennsylvania as recently stated by the Supreme Court.
II. The Decision of the Orphans' Court nullifies the legislative
intent behind Sections 6201 et seq. of the Probate, Estates and
Fiduciaries Code.
The express purpose of section 6201 et seq. and the predecessors thereof is to "obtain and
preserve tax advantages accruing from a change in the federal tax laws by the Revenue Act of
1942." See 20 Pa. C.S.A. ~6201,Official Comment--l976. The comment goes on to note that "a
disclaimer can never be effective for tax purposes if it is ineffective under State property law. One
purpose of Chapter 62 is to liberalize the property law requirements for disclaimer so that legitimate
attempts to avoid taxes on unwanted gifts will not be frustrated by property law provisions that are
stricter than those required for tax purposes." [d. That the legislature had a specific intent to allow
persons to maximize tax benefits is further emphasized at section 6206(a) of the statute. The
Pennsylvania legislature specifically broke from the uniform act which required that disclaimers be
executed within six months of vesting. The official comment states, "This six-month limitation
greatly reduces its usefulness because it will invalidate many disclaimers that would have been
good at common law and would have been effective for federal estate tax purposes." 20
Pa.C.S.A. ~ 6206, Official Comment--1976. The decision of the Orphans' Court in the case at bar
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directly undercuts the legislative purpose of promoting and preselVing tax advantages created under
the Internal Revenue Code by making the requirements for compliance much stricter if not
impossible. A review of the Internal Revenue Code makes this point obvious.
Generally, a transfer of property by gift is taxable to the donor under Chapter 12 of the
Internal Revenue Code, 26 U.S.C.A. ~2501 et seq. An exception is made in the case of a
"qualified disclaimer" of an interest. 26 U.S.C.A. ~ 2518. A disclaimed interest is treated as never
having been received by the disclaimant and is, thus, an effective means by which a person can
transfer large sums by gift without incurring gift tax liability.
There can be no doubt of the tax benefits created by the Internal Revenue Code and the
Pennsylvania Probate, Estates and Fiduciaries Code. Using Petitioner's estimates of the value of
his father's estate, Petitioner would have been entitled to inherit between $10 and $20 million.
Without the availahility of the disclaimer rules, the only way for Petitioner to transfer this property
to his children tax free would be through annual installments $10,000.00 to each of his children.
Even ignoring earnings on the corpus, it would take in excess of 300 years for Petitioner to
transfer this property. If the property were not transferred by Petitioner, but remained in his
ownership until his death, the state inheritance tax and federal estate tax burden would be
enormous. A six percent inheritance tax on $10 million would require payment of $600,000.00.
The Federal Estate tax on a taxable estate of $10 million at current rates would be $4,583,000.00.
Given the fact that the Petitioner is listed as equal shareholder with the Testator in a number of the
assets, it is likely that Petitioner's taxable estate would greatly exceed $10 million.
To qualify for these tax benefits, a beneficiary must make a "qualified disclaimer." Section
25l8(b) states, "the term 'qualified disclaimer' means an irrevocable and unqualified refusal by a
person to accept an interest in property. . . ." The effect of the Orphans' Court decision in the case
at bar is to greatly undermine, if not totally eliminate, the ability to disclaim testamentary bequests
in Pennsylvania when the property is not transferred in the year disclaimed. On its face,
Petitioner's disclaimer seemed to satisfy the Internal Revenue Code requirement that it be an
"irrevocable and unqualified refusa1." In fact, the disclaimer expressly stated that the Petitioner
did thereby "absolutely, irrevocably and unqualifiedly renounce and disclaim all right, title and
interest. . . ." Nevertheless, despite the absolute terms of the written disclaimer stating that the
disclaimer was irrevocable, the Orphans' Court ruled that the disclaimer was revocable based
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solely on the "fmding that Testator's testamentary intentions and desires must be honored. . . ."
Were this decision to be applied throughout the Commonwealth, any testamentary bequest could
not be irrevocably disclaimed by the named beneficiary because it would, by its terms, alter the
testamentary intentions and, according to the Court's reasoning, would benefit living issue of the
disclaimant to the exclusion of unborn issue. The disclaimer could be revocable at the will of the
disclaimant at any time before it was received, thereby not satisfying the Internal Revenue Code.
This result would effectively nullify the clear purpose of the Pennsylvania legislature in
authorizing such disclaimers and setting the requirements for their enforcement. It is a cannon of
statutory construction that a statute shall be construed to give effect to the intention of the statute, I
Pa.C.S.A. ~1921, that it is to be effective and certain, I Pa.C.S.A.~1922(2), and that it is not to
be construed to lead to an absurd result, I Pa.C.S.A. ~1922(1). As stated above, the legislature
clearly exhibited and intent to allow disclaimers.
III. Section 6205 does not have the effect that only children alive
at Decedent's death would take under the will.
The decision of the Orphans' Court is based on incorrect construction of the terms of the
Testator's will. Using this improper construction as a starting point, the Court then reaches the
conclusion that Section 6205 works a hardship because it causes a result which the Testator did not
intend. In fact, what causes the hardship is the improper construction of the Testator's will.
The Court states at page 4, "The effect of the disclaimer is that Petitioner predeceases the
Testator, with Petitioner's share under the will passing to any issue Petitioner has living at the
time." The error is in the phrase "living at the time." Nowhere within the four corners of the will
is it specifically stated that only issue living at the time of Testator's death may share in the
residuary. It states in relevant part, "In the event any of my said children shall predecease me
leaving issue surviving, then and in that event their share above provided shall pass to such issue."
The will does not specify that the time of surviving is the Testator's death, nor is it reasonable that
the Testator would have made such a specific proviso. The clause is a general provision to make
the purposes of the will effective in the event of occurrences after the date of the will which could
not be predicted.
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Not only does the will not make a specific requirement that only children living at the date
of Testator's death could share in the estate, but the rules of will construction would urge the
opposite conclusion. The rules of construction are set forth in the Probate, Estates and Fiduciaries
Code at Section 2514, 20 Pa.C.S.A. !} 2514. Subsection (5) states that the time to ascertain
membership in a class is the time when the bequest is to take effect in enjoyment, "except that the
issue then living of any member of the class who is then dead shall take per stirpes the share which
their deceased ancestor would have taken if he had then been living." Under this construction, all
issue would share in Petitioner's share.
The established case law of Pennsylvania on remainders require the same an intetpretation.
The Supreme CoUrt stated the rule in Minni~v. Batdorff. 5 Pa. 503 (1847):
When there is an immediate gift to children, only those living at the testator's death
will take; but it is now settle, that where a particnlar estate or interest is carved out,
with a gift over to the children of the person taking that interest, or of any other
person, the limitation will embrace not only the objects living at the death of the
testator, but all who shall subsequently come into existence before the period of
distribution. Such a remainder vests in the objects to whom the description applies
at the death of the testator, subject to open and let in others answering the
descriptions they are born successively. [d., at 504-505. (emphasis in original)
Construction of Testator's will should reach the conclusion that the determination of the members
of the class of remaindermen cannot now be determined since the life tenant is still living and that
the Testator intended to keep the class open nntil the death of the life tenant.
Guidance can be found in McDowell National Bank v. Apple~ate. 479 Pa. 300, 388 A,2d
666 (1978). In that case, as in the case at bar, the question was whether the class of beneficiaries
closed at the date of death or remained opened. As in this case, the testator did not directly express
his intent on this matter. The Supreme Court found that the scheme of distribution indicated that
the class was to remain open after his death. Among the relevant indicators was a provision to
prevent application of the Rule Against Petpetuities, designation of beneficiaries by the class
designation of "children" of his named son and daughter, and the use of language including all of
the children of his named son and daughter.
This CoUrt has held that where a testator employs a class designation, his intent is to
include "not only those known to him but all that may come into the class described
unless there is some contrary intent manifested." Earle Estate, 369 Pa. 52, 58, 85
A.2d 90,93 (1951) (bequest to male children of testator's sons bearing family name
included grandsons born after testator's death); accord, Wanamaker'S Estate. 335
Pa. 241, 6 A.2d 852 (1939) (bequest to "grandchildren" included all grandchildren,
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including those born after testator's death); cf. Robinson's Estate. 266 Pa. 251,
109 A. 924 (1920) ("The use of the word 'children' necessarily implies all children
and an intention to treat all alike," including son estranged for twenty-two years).
"It is well settled that if a person qualifies within the exact meaning of language
describing a class he will be held to be a member of that class unless other
language in the instrument expressly or by clear implication indicates a contrary
extent."
Earle Estate, 369 Pa. at 58, 85 A.2d at 93 (citing cases).
By contrast, the present case differs significantly from those holding that the
testator intended to limit the class of beneficiaries to those living at the time of his
death. In Smith's Estate. 226 Pa. 304, 75 A. 425 (1910), a bequest to
grandchildren attaining age twenty-one was specifically limited to those "living at
the time of my death." Cf. Wallace's Estate. 299 Pa. 333, 149 A. 473 (1930)
(rights of beneficiaries determined as of time of death where testator defined rights
of beneficiaries by reference to his own death).
We therefore believe that testator did not intend to close the class of
beneficiaries upon his death. No language or circumstances indicate a contrary
intent.
479 Pa. at 306, 388 A.2d at 669. While it may be argued that these cases may distinguished
because they did not deal with the possibility of after born children of a predeceased child, the
conclusion should be the same. Where the time for enjoying the benefit of a bequest remains in the
future, as in the case at bar, the membership of the class should be considered open until the time
for enjoyment, unless the testator specifically indicated an intent to the contrary.
The Orphans' Court also erred in its interpretation of the term "predecease" in the will.
The Court ruled that "the effect of the disclaimer is that Petitioner's children will not be treated
equally, as the Testator intended, because only those children alive prior to the Testator's date of
death will take under the will." Orphan's Court decision, page 4. This interpretation is in direct
conflict with Judge Hess's interpretation of predeceasing in Bloom v. Selfon. 7 Fiduc. Rep. 2d 25,
28 (1986): "Common sense, in part, impels us to the conclusion that the phrase 'in the event my
spouse predeceases me' is less a pre-condition and more a provision to address the situation where
the primary beneficiary could or would not inherit." This decision has been affirmed by the
Supreme Court which said:
The clear intent to be discerned from the present will is that the husband's
uncle, Selfon, was given precedence over testatrix's brother and sisters, who, in
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fact, were not intended to receive anything under testatrix's will. Nevertheless,
appellants argue that the bequest to Self on was made absolutely conditional upon
the death of testatrix's husband, in that testatrix stated in paragraph IV of the will
that the estate should pass to Selfon "[i]f my said husband predeceases me." We
believe this language does not evidence an intent that Selfon should be denied
receipt of the bounty where the former husband is still living, where, due to
divorce, the latter is disqualified from taking under the will. The effect of the
language in question was analyzed correctly in the decision below, wherein the
Superior Court stated:
These words, however, may also be viewed as part of a broader scheme, i.e., a
method by which the testatrix describes her order of preference regarding who
should enjoy her estate. It is overwhelmingly likely that the only reason for the
predecease clause was to provide a fallback beneficiary in case the husband was
no longer available to take under the will. Once the husband is barred by
divorce from taking the gift, the time of his death no longer has any apparent
significance. Therefore, as the trial judge noted in his opinion, "[c]ommon
sense, in part, impels s to the conclusion that [the predecease clause] . . . is less
a precondition and more a provision to address the situation where the primary
beneficiary could or would not [take under the will] . . ."
366 Pa.Super. at 289, 531 A.2d at 15.
Construction of the predecease clause as transitional language in the will's
recitation of fallback beneficiaries, rather than as language making the gift
conditional, is indeed compelled by a common sense understanding of the
unmistakable testamentary scheme of the will. It would have been highly illogical
fro testatrix to have made disposition of her estate dependent upon the death of a
former spouse who is no longer a qualified beneficiary. We fmd no indication in
the will that use of the phrase, "[i]f my said husband predeceases me," was
intended to mean anything other than, "if my husband is no longer able to take as a
beneficiary." To conclude otherwise would be to place undue teclmical emphasis
upon testatrix's use of the word "predeceases," with the result that testamentary
scheme would be defeated.
_Pa. at _, 555 A.2d at 77-78.
The same reasoning should apply to interpretation of the predecease clause in the Testator's
will. The Orphans' Court should have ruled as a matter of law that it is not an absolute
requirement that the children of the Petitioner be born at the date of the Testator's death, but that the
children should take if the Petitioner should fail to qualify. If the Orphans' Court had read the will
and statute in the same way as was done in Bloom, the irrevocable disclaimer would be enforceable
without doing any harm to the Testator's intent. All surviving issue of the Petitioner would equally
benefit.
With this interpretation in mind, the relevant inquiry is whether Petitioner's disclaimer
satisfies the statutory requirements. The Orphans' Court correctly concluded that the disclaimer is
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valid pursuant to the statutory requirements. It being settled that Petitioner validly disclaimed his
interest in the estate of the Testator, the sole question remaining is whether Petitioner alleges facts,
which if proven true, would allow him to revoke his disclaimer.
IV. Petitioner does not allege facts justifying a revocation of a valid disclaimer
A. Petitioner does not allege fraudulent inducement
Petitioner concludes at paragraphs 11 and 12 of his petition that he should be allowed to
revoke his disclaimer because he was fraudulently induced to execute the disclaimer. To allege
fraud, the facts of fraud must be pleaded specifically; the mere conclusion of fraudulent induce-
ment is insufficient to plead fraud. Pa.R.c.P. 1019(b). The facts on which Petitioner relies for
the fraud are that in or about December 1986, the Petitioner was told by the attorney representing
the estate that the estimated value of the Estate was approximately Nine (9) Million Dollars.
"Based in part on this representation" Petitioner alleges that he executed the disclaimer. See
Petition of Robert M. Mumma, II at page 3.
These allegations are insufficient to allege fraud. As was said in Days Estate. 22 Fiduc.
Rep. 662 (Del. Co. 1971), "The ultimate question is not merely whether the persuasion induced
the transaction, for such persuasion is often permissible, but whether the result was produced on
the one hand by influencing a freely exercised and competent judgment or on the other by
dominating the mind or emotions." Id., at 667 (emphasis in original). The court put great weight
on certain facts tending to show that the disclaimants were denied the opportunity to make a
rational decisions as to the disclaimer. First, the disclaimants were called on short notice to attend
a meeting without any information as to the purpose of the meeting, and they were instructed to
come to the meeting without counseL Second, the disclaimants were denied the opportunity to
consult with counsel and the immediate member of their families. Finally, the disclaimants were
denied the opportunity to contemplate the matter for a reasonable period of time. Nothing is
alleged by Petitioner to indicate anything other than that he now disagrees with a December 1986
valuation of the estate. He alleges nothing which indicates a domination of his mind or emotions.
In fact, his petition admits that he only based his decision in part on the statements of the Estate's
attorney.
In reviewing the record, it is obvious that Petitioner could not have been induced,
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fraudulently or otherwise, to sign a disclaimer by the opinion of an attorney as to the value of the
Decedent's Estate. The record reflects that Petitioner was actively involved in many of the assets
listed on the Pennsylvania Inheritance tax return, filed in July of 1987. Of particular note,
Petitioner is listed as the vice president of Pennsy Supply, given a value in the return in excess of
Nine (9) Million Dollars. He is also listed as an officer or part owner of the following closely held
corporations which were listed as assets of the estate: Derry Aire, Inc., High Spec, Inc., Lebanon
Rock, Inc., Middle Park, Inc., Kim Co., Pennsy Supply Co., Nine Ninety Nine, Inc., Pennsy
Supply, Inc., Robert M. Mumma, Inc. In addition, several corporations are listed as being owned
by one or more of the before-listed companies.
It is also important to note that nowhere in Petitioner's Brief does he present the argument
that he should be allowed to revoke his disclaimer because of fraudulent inducement.
B. Petitioner does not allege mistake of fact justifying revocation
Petitioner argues in his brief that he should be allowed to revoke his disclaimer because of
his mistaken assumption as to the value of the Estate. He relies on DIIY's Estate. supra, to support
this argument. However, as discussed above, the holding in Day's Estate was based, not on the
fact that the disclaimants did not know the value of the estate, but that they were asked to sign the
document under circumstances which indicated that there was a dominating of their minds and
emotions. [d., at 667. There appears to be no decisions in Pennsylvania deciding the issue of
whether a disclaimer may be revoked because of a mistake of fact made by the disclaimant.
Finally, Petitioner does not allege facts, which if proven true, would support the
proposition that he executed the disclaimer because of a mistaken belief as to the value of his
interest. For the same reason that Petitioner could not have been fraudulently induced, he could
not have been mistaken: Petitioner was a controlling officer or part owner of most of the estate
assets. Furthermore, he does not allege that he relied on the attorney statements, only that he
partially relied. Thus, even assuming that the estimates were mistaken, the mistake was not the
cause of Petitioner's disclaimer.
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CONCLUSION
Petitioner's request to revoke his disclaimer should have been denied. Disclaimers are
recognized by statute and by the courts in Pennsylvania to be valid. Petitioner's disclaimer, having
satisfied all the statutory requirements for a valid disclaimer, should be enforced as a legally
binding document. No violation of the intent of the Testator is done because proper construction
of the will leads to the unavoidable conclusion that issue of the Petitioner born after the death of the
Testator would be entitled to share in the coIpus of the trust to the same extent as any issue born
prior to the Testator's death.
Furthermore, Petitioner has not alleged any facts, which if proven correct, would justify a
court intervening to disqualify an otherwise valid document. For these reasons, Petitioner's
request should be denied.
Respectfully submitted,
~;;... ~.
Robert M. Frey, ESqu:l
Guardian ad litem
5 South Hanover Street
Carlisle, Pennsylvania 17013
(717) 243-5838
Page 12
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