Informal Opinion Number: 990095

QUESTION: Attorney handled several matters for an elderly client, which included estate planning. Attorney has learned that the client is showing the signs of Alzheimer´s disease and is becoming increasingly unaware of the extent of the client´s financial resources and the consequences of the client´s actions or negligence in handling them. There is no family member or friend to intervene to protect the client´s interests. Attorney believes that the client needs a guardian. Is Attorney obligated to inform the probate court? Is it ethically permitted for Attorney to inform the probate court? What is Attorney to do in these circumstances? 
ANSWER: Rule 4-1.14, applies to the situation Attorney has described. Attorney may seek a guardian for Attorney´s client, as a last resort. Under the circumstances Attorney has described, Attorney may want to inquire whether a local social services agency could be called in for assistance to the client. It is possible that the need for a guardian would be identified in that manner. If Attorney believes that Attorney´s client is in danger, from the standpoint of health and physical welfare, Attorney should take prompt action to alleviate that situation, including seeking the appointment of a guardian. If Attorney´s primary concern relates to questionable financial or estate planning decisions, with which the client is requesting Attorney´s assistance, Attorney may decline to take the action requested. If necessary, Attorney may withdraw from further representation. Attorney may not inform the probate court of Attorney´s concerns and observations unless the situation has progressed to the point where Attorney is seeking the appointment of a guardian. If Attorney decides that this type of action is warranted, Attorney must only take the action to the limited extent necessary to protect the client.

Informal Opinions are ethics advisory opinions issued by the Office of Legal Ethics Counsel to members of the Bar about Rule 4 (Rules of Professional Conduct), Rule 5 (Complaints and Proceedings Thereon), and Rule 6 (Fees to Practice Law) pursuant to Missouri Supreme Court Rule 5.30(c). Written summaries of select Informal Opinions are published for informational purposes as determined by the Advisory Committee of the Supreme Court of Missouri pursuant to Rule 5.30(c). Informal opinion summaries are advisory in nature and are not binding. These opinions are published as an educational service and do not constitute legal advice.

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