When a will is offered for probate in New York, family members do not always agree that the document should be accepted by the Surrogate’s Court. Sometimes the dispute is emotional. Sometimes it is financial. Sometimes there are serious concerns about whether the will was properly signed, whether the person understood what he or she was doing, or whether someone pressured the decedent into changing the estate plan.
A contested probate proceeding is the court process used to determine whether a will should be admitted to probate. For families in Suffolk County and throughout Long Island, these disputes are usually handled in the Surrogate’s Court for the county where the decedent was domiciled. Contested probate proceedings are a central part of our estate litigation practice.
Will contests are serious matters. They can delay estate administration, increase legal expenses, and intensify family conflict. But they can also be necessary when there are legitimate questions about the validity of a will.
What Does It Mean to Probate a Will?
Probate is the process by which the Surrogate’s Court determines whether a will is legally valid. If the will is admitted to probate, the court generally issues Letters Testamentary to the nominated executor, giving that person authority to collect estate assets, pay estate expenses, address claims, and distribute property according to the will.
The New York courts describe a probate proceeding as the court process used when a person dies leaving a will. By contrast, an administration proceeding is used when a person dies without a will. (New York Courts)
Not every probate matter is contested. Many wills are admitted without objection, especially where the family members agree, the will appears regular, and the necessary parties sign waivers or do not appear in opposition. For most families, routine probate and estate administration moves through Surrogate’s Court without dispute. A probate matter becomes contested when a person with standing challenges the will or raises objections to probate.
Who Can Object to a Will?
Not every disappointed person can object to a will. Generally, the person objecting must have a legal interest that would be affected if the will is admitted to probate.
For example, a distributee who would inherit if there were no will may have standing to object. A beneficiary under an earlier will may also have an interest if the earlier will would provide a better outcome than the later will being offered for probate.
This standing issue is important. A person may feel strongly that a will is unfair, but unfairness alone does not necessarily create the right to object. The Surrogate’s Court will look at whether the person has a legally recognized interest in the estate.
Common Grounds for Objecting to a Will
A will contest is not simply an argument that the will is disappointing or that the decedent should have done something different. New York law recognizes specific grounds for challenging a will.
Common objections include lack of due execution, lack of testamentary capacity, undue influence, fraud, and revocation.
Lack of Due Execution
New York has formal requirements for executing a will. EPTL § 3-2.1 generally requires, among other things, that a will be in writing, signed at the end by the testator, and signed in the presence of at least two attesting witnesses or acknowledged to them, with the witnesses signing within the statutory period. (NYSenate.gov)
If those formalities were not followed, the will may be vulnerable to challenge.
In many cases, however, due execution can be difficult to attack successfully, especially when the will was prepared and supervised by an attorney and includes an attestation clause and self-proving affidavit. But mistakes do happen. Witness issues, signature problems, irregular ceremonies, or confusion during execution may become important in a contested probate proceeding.
Lack of Testamentary Capacity
Testamentary capacity concerns whether the decedent had the mental ability to make a valid will at the time the will was executed.
In general terms, the issue is whether the person understood the nature of making a will, knew the general nature and extent of his or her property, and understood the natural objects of his or her bounty. This is a fact-specific inquiry. A diagnosis alone may not be enough. A person may have medical problems, memory loss, or periods of confusion and still have sufficient capacity at the time the will is signed.
Relevant evidence may include medical records, testimony from witnesses, the attorney-drafter’s file, prior estate-planning documents, family communications, and observations from people who interacted with the decedent near the time the will was executed.
Undue Influence
Undue influence is one of the most commonly alleged grounds in will contests, but it can also be one of the hardest to prove.
The concern is that someone overpowered the decedent’s free will and caused the decedent to make a will that reflected the influencer’s wishes rather than the decedent’s own wishes. Undue influence often involves circumstantial evidence because improper pressure rarely occurs in front of neutral witnesses.
Potential warning signs may include isolation of the decedent, dependency on the beneficiary, sudden changes to a longstanding estate plan, exclusion of close family members without explanation, involvement of the beneficiary in arranging the lawyer or execution ceremony, and secrecy surrounding the new will.
None of these facts automatically proves undue influence. But together, they may justify a closer look.
Fraud
A will may also be challenged based on fraud. Fraud generally involves a false statement or deceptive conduct that caused the decedent to make or change a will.
For example, if someone falsely told the decedent that a child had stolen money, abandoned the family, or did not need an inheritance, and the decedent relied on that false statement in changing the will, fraud may be considered.
Fraud claims require proof. They should not be asserted lightly. The issue is not merely whether family members disagreed, but whether deception caused the testamentary decision.
Revocation or Later Documents
Sometimes the dispute is not only about whether a will was validly signed, but whether it remained effective. A will may have been revoked, replaced by a later will, or affected by a codicil.
Disputes may arise when there are multiple wills, missing originals, handwritten changes, unclear codicils, or documents kept in different locations. In those cases, the Surrogate’s Court may need to determine which document, if any, controls the estate.
What Is an SCPA 1404 Examination?
Before filing objections, a potential objectant may have the right to conduct examinations under SCPA § 1404. This procedure allows certain parties to examine witnesses and obtain information before deciding whether to file formal objections.
SCPA § 1404 provides that a party to the proceeding, before or after filing objections to probate, may examine attesting witnesses and certain other persons regarding the preparation and execution of the will. (FindLaw)
In practical terms, a 1404 examination can help answer important questions, such as:
- Who contacted the attorney?
- Who gave the attorney instructions?
- Was the decedent alone with counsel?
- Did the decedent appear to understand the will?
- Were the witnesses present at the right time?
- Were any beneficiaries involved in the execution process?
- Were prior wills discussed?
- Was there a no-contest clause?
SCPA 1404 discovery can be extremely important because it allows a potential objectant to investigate before deciding whether a full will contest is justified. It can also help avoid unnecessary litigation where the examination confirms that the will was properly prepared and executed.
No-Contest Clauses and the Risk of Objecting
Some wills contain an in terrorem clause, commonly called a no-contest clause. This type of clause may provide that a beneficiary who contests the will forfeits the gift provided under the will.
No-contest clauses require careful analysis. In some circumstances, limited pre-objection discovery may be permitted without triggering the clause, but the risk depends on the language of the will and the steps taken. A beneficiary who receives something under the will should get legal advice before filing objections or taking action that could jeopardize the inheritance.
What Happens After Objections Are Filed?
If formal objections are filed, the probate matter becomes litigation. The parties may engage in discovery, exchange documents, conduct depositions, file motions, and prepare for a hearing or trial.
The nominated executor, often called the proponent of the will, generally seeks to prove that the will is valid. The objectant seeks to establish one or more grounds for denying probate.
If the objections are successful, the will may be denied probate in whole or in part. Depending on the facts, an earlier will may be offered, or the estate may pass under New York intestacy law if there is no valid will.
If the objections are dismissed or withdrawn, the will may be admitted to probate, and the nominated executor may receive authority to administer the estate.
Why Contested Probate Matters in Estate Planning
Many will contests arise from planning problems that could have been reduced during life. A will that dramatically changes a prior estate plan, disinherits close family members, favors one child over another, or benefits a caregiver or person in a confidential relationship may be more likely to draw scrutiny.
Careful estate planning can reduce, though not eliminate, the risk of litigation. Useful steps may include a well-documented attorney-supervised execution, clear communication where appropriate, updated planning documents, capacity documentation in appropriate cases, and careful handling of situations involving vulnerable clients or major changes.
Estate planning is not just about preparing documents. It is also about creating a plan that can withstand scrutiny after death.
When to Speak With a New York Estate Litigation Attorney
A person considering objections to a will should act promptly. Surrogate’s Court deadlines matter, and the proper strategy may depend on whether a citation has been issued, whether jurisdiction is complete, whether SCPA 1404 examinations are available, and whether objections have already been filed.
A nominated executor or beneficiary defending a will should also seek guidance early. The attorney-drafter’s file, witness testimony, medical history, prior wills, family communications, and the circumstances surrounding execution may all become important.
For families in Hampton Bays, the East End, Suffolk County, and throughout Long Island, contested probate can be emotionally and legally complex. The right approach depends on the facts, the documents, the interested parties, and the Surrogate’s Court proceeding itself.
To discuss a Suffolk County will contest or contested probate matter, contact our office for a consultation, or read more about William G. Goode and the firm’s Surrogate’s Court experience.
Short FAQ
What is a contested probate proceeding in New York?
A contested probate proceeding occurs when someone with standing objects to the admission of a will to probate. The Surrogate’s Court then determines whether the will should be accepted as valid.
What are common grounds for contesting a will?
Common grounds include lack of due execution, lack of testamentary capacity, undue influence, fraud, revocation, or the existence of a later valid will.
What is an SCPA 1404 examination?
An SCPA 1404 examination is a pre-objection discovery procedure that allows certain parties to examine witnesses and obtain information about the preparation and execution of the will before deciding whether to file objections.
Can I contest a will just because it is unfair?
Usually no. A will contest requires legal grounds. A will may be unequal or disappointing without being invalid.
Can objecting to a will cause me to lose my inheritance?
Possibly. If the will contains a no-contest clause, a beneficiary should obtain legal advice before filing objections or taking steps that could trigger forfeiture.
