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 dash–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.

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