Former St. Augustine mayor, elder law attorney suspended for misconduct, conflicts of interest

Joseph Boles, Jr. appointed himself beneficiary or trustee of multiple families' wills and trusts without written consent.

Author: Atyia Collins

ST. AUGUSTINE, Fla. — The Florida Supreme Court suspended prominent St. Augustine attorney and former city mayor Joe Boles after he admitted to misconduct and conflict of interest following an investigation by the Florida Bar.  

The 90-day suspension comes after a judge determined Boles showed "a pattern of misconduct" in violating Bar rules governing conflicts of interest. The Bar filed its complaint against Boles last November after receiving two complaints from Boles' clients and discovering a third concerning case while investigating.

Boles, who specializes in estate planning and elder law, serves as the president and chairman of the St. Johns County Council on Aging. He served as St. Augustine mayor from 2006 to 2014, and as a City Commissioner for two years before that.  

According to court records in the case, Boles designated himself as a surrogate designated beneficiary or backup successor trustee without getting written consent from his clients. 

The original complaint names three victims.

In the first victim's case, the complaint says Boles was hired in 2020 to create a trust for a woman with aggressive cancer. The woman's designated successor trustee said Boles appointed himself as backup successor trustee against both women's wishes. Boles denied this and told Bar investigators he did so with the client's permission. But Bar investigators determined he failed to obtain written consent to do so, as required.

In a second case, a woman said she met with Boles in 2015 for his offer of free will preparation and then again in 2021 to modify her will and request a trust. She alleges that after reviewing the documents, she discovered that Boles was named as trustee of the trust, and Boles' law partner (and stepson) was named backup successor. 

The complaint says "[Boles] unilaterally appointed himself as the personal representative in her will, appointed, himself as her healthcare surrogate, and appointed himself as [the client's] preneed guardian in the event of her future incapacity."

The client ultimately hired a different attorney to assist her with revoking the trust and drafting new estate planning document. 

Boles said he had the client's permission, but acknowledged he "failed to obtain the written informed consent ... to appoint himself," as required by law. 

During its investigation into the two complaints, the Bar also discovered a third case in which Boles named himself as a surrogate designated beneficiary in the will.

The complaint says Boles; "drafted and filed affidavits for the beneficiaries designated in the will ... in which they gave up all of their rights and responsibilities in the estate and designated respondent as the surrogate beneficiary." 

Boles told investigators he was asked to do so by his clients, but investigators found he failed to advise them to seek independent legal counsel before signing the waivers. Ultimately, Boles handled this case on a pro bono basis and distributed the proceeds of the sale of the home to the beneficiaries.

In recommending discipline in the case, the designated "referee," 4th Circuit Judge Meredith Charbula said she took into account several mitigating factors, including Boles' "absence of a prior disciplinary record; timely good faith effort to make restitution or to rectify the consequences of the misconduct; full and free disclosure to the bar or cooperative attitude toward the proceedings; character or reputation; and remorse."

The judge also found no evidence that Boles wrongfully appropriated any money or assets to his own use.

As part of the suspension, Boles is prohibited from accepting new business until he is reinstated. He will also pay disciplinary costs of $2,565. He will be automatically reinstated after the suspension is completed.

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Former St. Augustine mayor, elder law attorney suspended for misconduct, conflicts of interest

Hospital coordinates advance life planning event

Together with the Monroe County Aging & Disability Resource Center, officials at Tomah Health are coordinating an advance life planning event from 9 a.m.-3 p.m. Nov. 19 in the first floor conference room 1048 at Tomah Health, 501 Gopher Drive, Tomah.

Advance care planning is making decisions about the healthcare you would want to receive if you happen to become unable to speak for yourself. Representatives from various agencies and businesses will have information available on estate planning and guardianship, Power of Attorney for health care, wills and trusts, Medicare and spousal impoverishment, funeral planning, plus Hospice and Palliative Care services.

There is no cost to attend the event, but reservations are required. For reservations by Nov. 8, call 608-377-8444.

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Hospital coordinates advance life planning event

Stop Probate Fraud

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“All that is necessary for the triumph of evil is that good men do nothing.”
                          Edmund Burke

Stop Probate Fraud (SPF) is a co-operative of volunteers who want to help inform, educate and advocate for people who may be the targets of financial predators.  Our goal is to help spot, stop and recover from fraud, damage and loss in probate, trusts and estates.

The SPF team has people with expertise ranging from medicine to law, finance, forensics, banking, accounting, real-estate, securities, government, media, and advocates for the elderly and disabled.

SPF pays nobody for their contributions to the site and does not solicit or take taxpayer money.

Nothing on this site is to be construed as legal, financial, medical, spiritual, mental health or any other professional advice.

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Town Court Judge Charged With Stealing $4M From Trusts Agrees to Resign

Richard Sherwood

An Albany County town justice who is facing grand larceny charges for participating in a scheme to steal $4 million from a trust fund that he oversaw has agreed to resign from the bench. 

Town of Guilderland Justice Richard Sherwood, a former Guilderland town attorney who was elected to the bench in 2013, is charged with two counts of grand larceny, one count of first-degree scheme to defraud and two counts of first-degree criminal possession of stolen property.

Sherwood, 58, and Thomas Lagan, an attorney and a longtime associate of Sherwood’s, provided estate planning for the estate of Warren Bruggeman, a top General Electric executive and noted Capital District philanthropist who died in 2009, according to court papers.

In the years following Bruggeman’s death, Sherwood and Lagan handled the distribution of Bruggeman’s estate for his widow, Pauline Bruggeman; and her two sisters, Anne Urban and Julia Rentz, who were to be taken care of with sub-trusts. 

According to a news release from the New York Attorney General’s Office, the attorneys diverted $2 million from one of the sub-trusts into an irrevocable trust established in Urban’s name for which the two men were named as trustees.  
  
In February, Sherwood admitted to an investigator with the New York Attorney General’s Office that the irrevocable trust established in Urban’s name was intended as a mechanism to steal estate funds, and that he and Lagan conspired to deceive an Ohio attorney assisting Rentz into wiring another $2 million into the irrevocable trust.

That same month, the Court of Appeals suspended Sherwood, an attorney with Mazzotta, Sherwood & Vagianelis who served on the bench part time, with pay. His resignation is effective March 5.

In a news release, Robert Tembeckjian, administrator and counsel for the Commission on Judicial Conduct, said public confidence in the courts is “undermined” when a judge is arrested.

“While the felony charges against Mr. Sherwood have not been adjudicated and he is entitled to the presumption of innocence, by resigning he spared the judiciary and the courts from the spectacle of a judge as criminal defendant,” Tembeckjian said. 

William Dreyer of Dreyer Boyajian appeared for Sherwood in both the commission proceedings and Sherwood’s pending criminal matter. He declined to comment.

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Town Court Judge Charged With Stealing $4M From Trusts Agrees to Resign

Issues for Elders: Guardianship should only be sought as a last resort

Jill Burzynski

Guardianship is a process whereby a person is deemed legally incapacitated to make certain or all decisions and another person or persons is appointed to make decisions on the legally incapacitated person’s behalf.

Many people are actually incapacitated and unable to make their own decisions, but never have to go through the guardianship process. Having appropriate legal documents in place avoid many guardianships. These legal documents may include trusts, durable powers of attorney and designations of health care surrogate. Most types of trusts do the best job of guardianship avoidance because they take the grantor out of harm’s way when judgment is lacking.

While durable powers of attorney are helpful, they give the agent concurrent authority, leaving the incapacitated person vulnerable both to exploitation and his or her own poor judgment. Even if no legal documents exist and a person is incapable of understanding and thus executing documents, a careful review of the way assets are titled may prove that guardianship may not be necessary.

Some guardianships are necessary, even when legal documents exist, when the incapacitated person rejects efforts to provide assistance and is neglecting his or her own care. The disease of dementia can slowly rob a person of the judgment necessary to live independently.

If discussions about alternative living situations are delayed until the judgment is completely lacking, the incapacitated person cannot take part in decisions about care when care is needed.

Assistance to prevent self-neglect include several options, but are largely driven by finances and the ability for family to assist. Family members may be willing to provide help, but the elder may not want this type of help because he or she may not wish to burden the family with that responsibility. Other times family may not be able to provide the assistance needed due to jobs or other family demands but the elder may have assumed that family would provide all needed care.

Home care by an outside agency can certainly prevent self-neglect but extensive home care is an expensive proposition. Some families try to cut that cost by hiring individuals rather than agencies, but this decision carries a risk of exploitation, unrecoverable theft and tax risks. Other options include care in an assisted living community or (when needed) memory care. An ongoing discussion about alternatives to living alone while a dementia process is in the early stages may prevent a guardianship necessary due to self-neglect.

Guardianships are sometimes necessary because of exploitation or scams. If a senior has named a fiduciary who is not acting in his best interest, a guardianship can rectify the situation. However, guardianship should not be used just because one of the children disagrees with the choice of fiduciary that the senior made. Seniors are often targeted by sweepstakes and scams. Seniors who have financial worries are particularly vulnerable to scams. When efforts to dissuade further participation in scams fails, a guardianship can stop the abuse.

The process of guardianship can be hard on the senior as well as the family. The court appoints an attorney to represent the alleged incapacitated person as well as an examining committee. The committee visits with the alleged incapacitated person and issues a report. The attorney explains the process to the alleged incapacitated person (to the extent possible) and represents the incapacitated person at a hearing. The process is expensive. After the adjudication of incapacity, the guardian has ongoing court responsibilities and is limited in the actions that can be taken without a court order.

Guardianships are absolutely necessary in situations where no alternatives exist to prevent exploitation or neglect. However, planning early in the aging process can be invaluable in avoiding the hardship of a guardianship.

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Issues for Elders: Guardianship should only be sought as a last resort

Probate attorney abandons office, clients; Nevada Bar expected to file for suspension

LAS VEGAS (KSNV News3LV) — A local attorney who handles people's money has suddenly gone missing.

The Nevada State Bar has told News 3 they will soon be filing to have him suspended from practicing law in Nevada.

Attorney Robert C. Graham of Lawyers West handles probate cases that involve wills, trusts, bankruptcies and more.

Thursday morning, News 3 tried going to his office but it appeared abandoned. A note on the door stated Graham is days away from being evicted.

Court filings News 3 uncovered reveal the state bar of Nevada filed to protect Graham's clients by replacing him as their attorney with another law firm.

The filing also states Graham abruptly closed his business without notifying employees and that his clients' files were abandoned in his rented office space.

"We as lawyers have a responsibility to the community and to our clients. There are so many other alternatives for a lawyer to do other than just walking away," said Norman Reed, a long-time Las Vegas attorney.

Reed said it's rare for any attorney to abandon his practice.

"I'd say there's good circumstantial evidence that there's something connected to a trust fund account or some behavior the lawyer did that they're ashamed of and frankly their resolution to that was to run away," said Reed.

Graham's website has been shut down. His office phone number goes straight to voicemail and you're unable to leave a message.

Reed said whatever the issue was to cause this abrupt closure it could have been handled differently.

"Whatever you want to do there's a way to do it short of walking away because it causes such a problem, such a rift not only to the client but to the entire judicial system," said Reed.

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Probate attorney abandons office, clients; Nevada Bar expected to file for suspension

Trusts & Estates Lawyers Are Now Moneymakers: Business of Law

(Bloomberg) -- Trusts and estates lawyers, once second-class citizens at some large corporate firms, have become revenue producers.

And at firms including Loeb & Loeb LLP, McDermott Will & Emery LLP and Katten Muchin Rosenman LLP, the departments, which often include lawyers who specialize in tax as well as trusts and estates, are anything but back-office.

“We are generators of work as well as service providers,” Carol Harrington, the head of the private client practice group at McDermott Will, said in an interview last week.

That work includes estate planning, creating “structures” for charitable giving, and litigation and international work, said Joshua Rubenstein, the head of the T&E practice at Katten Muchin.

In addition, Harrington said, many private businesses are controlled in trust, so these lawyers are often called upon in transactions. To fully advise on deals involving some closely held companies, “You need trust counsel to help with the trust aspects of the business.”

“We’re like Marcus Welby,” Rubenstein said, referring to the iconic family doctor of 1970s television. “We’re generalists: We have to know about areas other than T&E, like tax and real estate. And we have to be able to diagnose people’s problems.”

As wealth escalates among clients, the firms with these practices are also seeing that generalists can be a growth area. The scope of work, whether in forming of trusts, establishing philanthropy or helping in business succession planning in the U.S. or abroad, is expanding.

“To be really good in estate planning you need to be full service to every need a high-net-worth individual might have,” Leah Bishop of Loeb & Loeb explained in an interview last week. She co-heads the firm’s trusts and estates department and charitable giving and tax-exempt organizations practice.

If the T&E lawyers don’t have the expertise, they need to know who to tap within the firm.

With a somewhat limited pool of experienced talent, new lateral hires, with their Rolodexes, are a big deal for these firms. Last week, for example, Loeb & Loeb announced it had hired two attorneys from Caplin & Drysdale Chartered -- Marcus Owens, a former director of the Exempt Organizations Division of the Internal Revenue Service, and Diara Holmes.

Both have joined the firm’s charitable giving and tax-exempt organizations practice, which is part of the trusts and estates practice, as partners in Washington. Loeb & Loeb’s group has approximately 50 lawyers -- out of close to 300 total attorneys.

McDermott Will, for its part, last week said it hired Leigh-Alexandra Basha from Holland & Knight LLP to establish a private client practice in Washington. Basha focuses on domestic and foreign estate and tax planning. Henry Christensen, head of McDermott’s international private client group, said that with the firm’s international and tax practice, Basha’s addition “is a natural fit.”

Lawyers at these firms say the revenue generated by their practices exceeds their headcount.

At Katten Muchin, for example, the approximately 50 people in his group account for more than 7 percent of the firm’s 700 lawyers. The group brings in 12 percent to 15 percent of the firm’s revenue, which doesn’t include cross-referrals within the firm, Rubenstein said.

At McDermott, the trusts and estates lawyers “generate more than 10 percent of the firm’s revenue, but by headcount we are less than 10 percent,” Harrington said. “It’s because we export work to other areas in addition to working hard ourselves.”

Those numbers might tempt other firms, many of which jettisoned their practices years ago, to jump back into the area.

“For the economics to work, you need high-net worth individuals as clients and you need to be a gatekeeper for the rest of their work” to help with whatever needs arise, said Loeb & Loeb’s Bishop. And firms need to understand that these clients don’t want the same “breadth of staffing” that corporate clients will withstand on major litigation or transactions, she said.

In addition, it takes a certain type of lawyer to handle this work.

“We take our clients from birth to death,” Bishop said. “One client told me I was more useful than her therapist. And I do give out my home phone number.”

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Trusts & Estates Lawyers Are Now Moneymakers: Business of Law