# Petition for Writ of Certiorari — Norton v. Bridges

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## Record

- **Collection:** Supreme Court brief
- **Document type:** Petition for Writ of Certiorari
- **Published:** January 1, 1989
- **Citation:** 493 U.S. 820

## Text

IN THE al a+

Supreme Court of the United States

OCTOBER TERM, 1988

HELEN PAGE NORTON, individually and as trustee for the
use and benefit of Dale Page Norton and John Jay Norton,
and DALE PAGE NORTON and JOHN JAY NORTON, on
their own behalf,
Petitioners,
Vv.

RUSTE DURNELL BRIDGES, Deceased, for whose estate
no administrator has been appointed, formerly a disabled
person under the law of Illinois and Successor Trustee of
the John L. Page Trust, who, pending the appointment of
an administrator, is being treated as in being for all pur-
poses that are necessary for the protection of others, and
PATRICK T. MURPHY, individually and as Public Guardian
of the County of Cook, State of Illinois, as Guardian of her

Estate,
Respondents.

PETITION FOR A WRIT OF CERTIORARI
TO THE WISCONSIN
COURT OF APPEALS, DISTRICT IV

HUGH M. MATCHETT
5834 S. Stony Island Avenue
Chicago, IL 60637
(312) 643-0318

Attorney for Petitioners

rr ¢ DECENTT
| ‘ ‘
T
Jhether under the decisicn cf the United
+ >t C t oO fF Ay > is + t | 1c ~AaOa > ~ Nr LOT,
Lat Wit Ol Dpea o in Hao Gest iti MOD LOR

v Bridges, 719 F.2d 1156, 1166 (7th Cir 1983),

ordering the Circuit Court of Jefferson County
t ee

I
f
~
7)
ctr
J
y]
)

oint a successor trustee, 2s
its first essumption of jurisdiction over the
trust and its assets, which it failed to do,

1 which would have entitled it to adjudicate
the entire controversy, and under the unpub-

{

lished order of the Wisconsin Court of Appeals

n this case affirming an order cf said circuit

rr

sing this suit for a purported want

Nn

court dismi
{

of prosecution, the State of Wisconsin has de-

c
i

privea petitioners of their procedural rights
and property without due process of law, and
has denied them the protection and equal pro-
tection of the laws, in violation of their

federal rights under the 14th Amendment 9 1.

ll
rT
Whether under the decision of this Court

1 Link v. Wabash Railroad Co., 370 US 626,

9-630, 5632-3, (1962), and the decision of the

ipreme Court of Wisconsin in Neylan v. Vor-

ld, 124 Wis 2d 85, 90, 368 NW2d 648, 651-52

b]

1985), and the decision of the Wisconsin Court

Appeals in Rupert v. Home Mutual Ins. Co.,

38 Wis 2d 1, 405 NW2d 661 (Wis App 1987), the
>cision of the Wisconsin Court of Appeals in
yis case in the unpublished opinion below,

1e latter decision is a void judgment for want
f any standard to justify a dismissal for want
f prosecution, and a deprivation of petition-
rs procedural rights and property without due
rocess of law, and a denial to them of the
rotection and equal protection of the laws, in
iolation of the 14th Amendment § 1, to the

onstitution of the United States.

ill
III
Whether the trial judge, who entered the

judgment dismissing the suit for a purported
want of prosecution, had any discretion to do
so, when under the Wisconsin statutes the case
was deemed ready for trial because more than
one year had passed after the summons and com-
plaint were filed, and he was under a duty to
call the case for a pretrial conference and set
the case for trial because more than 60 days
had passed since the one year had expired,
without depriving petitioners of their proced-
ural rights and property without due process of
law, and denying them the protection and equal
protection of the laws, in violation of their
federal rights under the 14th Amendment § 1,
under the rule that a judge who is himself res-
ponsible for the delay or otherwise remiss in
the performance of his own duty, cannot dismiss

a suit for want of prosecution.

iv
IV
Whether the circuit court is under a duty

rO appcint a successor trustee of the John L.
-age Trust and an administrator for the estate
of the deceased successor trustee under the
trust agreement and the decision of the United
States Court of Appeals in this case and the
Jisconsin statutes and its in rem and guasi in
rem jurisdiction over the assets of the trust
estate and its jurisdiction over the person and
the estate of the deceased and the person and
estate of the public guardian to enforce their
duty to account and to enforce their personal

liability for their failure to do so.

TABLE OF CONTENTS

Page

QUESTIONS PRESENTED
QUESTION I 1
QUESTION II il
QUESTION Ifl |
QUESTION IV iv
TABLE OF CONTENTS V
TABLE OF AUTHORITIES vii
OPENING STATEMEN 1
OPINIONS BELOW 2
JURISDICTION 3
STATEMENT OF THE CASE 3
REASONS FOR GRANTING THE WRIT 10

CONCLUSION

Se

vl

APPENDIX

The Decision of the Wi
Court of Appeals, Four

sconsin
th

District, Of April 24th, 1986

The Order Of The Supreme Court
Of Wisconsin Denying Petition

For Review of December

The Judgment of the Circuit Court

of Jefferson County, W
of December 16th, 1985

6th, 1988

isconsin,

Motion To Vacate The Judgment

of December 16th, 1985
on January 2nd, 1986

, filed

Motion To Vacate The Judgment

of December 146th, 1985
on April 28th, 1986

The Order of the Circu
Of Jefferson County, W
denying the motions to

, filed

it Court
isconsin,
vacate

the Judgment of December 16th,
1985, of June 20th, 1986.

Page

The Decision Of The United States
Court Of Appeals for the Seventh
Circuit of July 19th, 23792

vil

TABLE OF AUTHORITIES

Cases

Batesville Institute v Kauffman,
85 US 151, 154 (18/1)

Breze v Schmitz, 305 Minn 537, 538
233 NW2d 559 (1975)

Copeland v Bragg, (Minn App),
378 NW2d 35, 39 (1985)

Crown Inter. City of Elkhart, (Ind
App), 430 NW2d 921 (1982)

Will of Hill, 261 Wis 290, 298 (1951)

Link v Wabash Railroad Co.,
370 US 626, 6029, 632 (1962)

Maxwell v U of M, 159 Mich App 417,
ZO7 NW2d 16 (1987) ;

McWilliams v Gough, 116 Wis 5/76,
583 (1906)

Mikos v Sarasota Cattle Co.,
453 So2d 402 (Fla 1984)

Neylan v Vorwald, 124 Wis 2d 85, 90
368 Nw2d 648, 651 (Wis 1985)

a

31

31

Vill

Norton v Bridges, 712 F2d 1156,
1166 (7th Cir 1983

Norton v Bridges (Wis App 1988

Nyberg v Cambridge State Bank,
245 Minn 112, 23 NW2d 345, 347-8
(1955)

Rupert v Home Mutual Ins. Co.
138 Wis 2d 1, 405 NW2d 661
(Wis App 1987)

Constitution of the United States

Fourteenth Amendment 8 1

Federal Statutes:
za US Code §& 12757(3)

é",
ie)
4)

>

!
No
NDS

1 ot
NR RR
ONW re OF ~) OV

> PPP Yr
1

30

Page

Wisconsin Statutes

6 702.2742) 24

§ 802.09(1) 56

§ 802.10(2) 18
32
36

§ 804.12(2)(a) 17
18

S 803.03 14
17
18
19

Textbooks

George Gieason Bogert, Bogert Trusts

3rd Ed. HB, West Publishing Co.,

1952 Page 110 a

Sir Edward Coke, First Part of the

Institutes of the Laws of England,

Eighteenth Edition, Corrected, 1823,

by Charles Butler, Special Edition,

Copyright 1985, The Legal Classics

Library, Volume II, 290.b. VI rs

Thomas M. Cooley, Treatise On Con-
stitutional Limitations, Boston:

Little, Brown, and Company, 1868,

Special Edition Copyright 1987, The

Legal Classics Library, Page 410 24

Benjamin N. Cardozo, The Nature of
the Judicial Process, 109-110
(1922), Cardozo On The Law,
Special Edition Copyright 1982

The Legal Classics Library

Ecclesiastical Sources

Holy Bible, Matthew 7:1-5

St. Thomas Aquinas, Treatise On
Justice From Summa Theologica
Second Part of Second Part,
Questions 57-122, Q. 60 Art. 2,
Pages 1447-8

St. Paul, reference to,

Herman Melville, Moby Dick,

The Modern Library Giant Edition
1944, Page 68

34

33

33

IN THE
Supreme Court of the United States

OCTOBER TERM, 1988

HELEN PAGE NORTON, individually and as trustee for the
use and benefit of Dale Page Norton and John Jay Norton,
and DALE PAGE NORTON and JOHN JAY NORTON, on
their own behaif,

Petitioners,

Ve

RUSTE DURNELL BRIDGES, Deceased, for whose estate
no administrator has been appointed, formerly a disabled
person under the law of Illinois and Successor Trustee of
the John L. Page Trust, who, pending the appointment of
an administrator, is being treated as in being for all pur-
poses that are necessary for the protection of others, and
PATRICK T. MURPHY, individually and as Public Guardian
of the County of Cook, State of Illinois, as Guardian of her

Estate,
Respondents.

PETITION FOR A WRIT OF CERTIORARI
TO THE WISCONSIN
COURT OF APPEALS, DISTRICT IV

is and aiso ate page 4f e

ee

It has also ignored petitioners’ first
amendment to their petition filed on April
2nd, 1984, where the first part of the title
of the case was changed to read: "Helen Page
Norton, individually and as trustee for the
use and benefit of Dale Page Norton and John
Jay Norton, and Dale Page Norton and John Jay
Norton,.on their own behalf, Petitioners.",
by disregarding her status as trustee, and
her children's right, as adult beneficaries,

to petition on their own behalf

ft has also ignored the basic constitu-
tional issues that were raised by petitioners

in their motion to vacate the Order of Decem-

ber 16th, 1985, which said:

"Under the circumstances as they
understand the situation, the Order
of December 16th, 1965, is a depri-
vation of procedural right and remedy

| } 1} A} AP PRaAaae +? } , a + —3 WK le ,
WIiLTNOUT CHUL t AG Sees Ol WIS GOS ati LAW y

~~

and a denial to them of the protec-

tion and equal protection of that

law, in violation of their rights

under the Constitution of the State

of Wisconsin and their federal

rights under the 14th Amendment,

Section 1, to the Constitution of

The United States, and under 42 USC

Section 1983."
and their argument at page 10 of their brief
on appeal that the Orders of December 16th,
1985, and June 20th, 1986, are void orders,
depriving petitioners of their property with-
out due process of law, and denying them the
protection and equal protection of the laws,
in violation of the Constitution of the State
of Wisconsin, and the 14th Amendment, Section

1, to the Constitution of the United States.

The circuit court and the Wisconsin Court
of Appeals have completely ignored the decis-
ion of the United States Court of Appeals,
especially the federal constitutional issues
decided by it that are the law of this case

unless reversed by this Court.

—10—

REASONS FOR GRANTING THE WRIT

In Link v Wabash Railroad Co., 3/0 U.S

626, at pages 629-633, this Court said;

The authority of a federal trial
court to dismiss a plaintiff's action
with prejudice because of his failure
to prosecute cannot seriously be
doubted. The power to invoke this
sanction is necessary in order to
prevent undue delays in the disposit-
ion of pending cases and to avoid
congestion in the calendars of the
District Courts. The power is of an¢
cient origin, having its roots in
judgments of non-suit and non prose-
quitur entered at common law, €.2%.,
Rlackstone, Commentaries (1768),
295-296, and dismissals for want of
prosecution of bills in equity, e.2.,
id., at 451, Tt has been expressly
recognized in Federal Rule of Civil
Procedure 41(b) . . . . The authority
of a court to dismiss sua sponte for
lack of prosecution has generally
been considered an ‘inherent power, '
governed not by rule or statute but
by the contro] necessarily vested in
courts to manage their own affairs so
as to achieve the orderly and exped-
itious disposition of cases. . .

Nor does the absence of notice as
to the possibility of dismissal or
the failure to hold an adversary
hearing necessarily render such a

ae | oe

dismissal void. It is true, of course,
that "the fundamental requirement of
due process is an opportunity to be
heard upon such notice and proceedings
as are adequate to safeguard the ekant
for which the constitutional protec-
tion is invoked." Anderson v. Luckett,
321 U'S. 233, 246. But this does not
mean that every order entered without
notice and a preliminary adversary
hearing offends due process. The ade-
quacy of notice and hearing Seba enhtt ie
proceedings that may affect a party'
rights turns, to a considerable ex-
tent, on the knowledge which the cir-
cumstances show such a party may be
taken to have of the consequences of
his own conduct. The circumstances
here were such as to dispense with the
necessity for advance notice and hear-
ing.

; . . Petitioner never sought to
avail himself of the escape hatch pro-
vided by Rule 60(b).

Accordingly, when circumstances
make such action appropriate, a Dis-
trict Court may dismiss a complaint
for failure to prosecute even without
affording notice of its intention to
do so or providing an adversary hear-
ing before acting. Whether such an or-
der can stand on appeal depends not
on power but on whether it was within
the permissible range of the court's
discretion.

_

For our purpose holds, and there is a felt
need, that this Court grant certiorari, and
use this case to build a federal standard on
your decision in the Link case, as a matter
of due process of law, and of the protection
and equal protection of the laws, under the
14th Amen?tment, Section 1, to the Constitution
of the United States, by recognizing an inher-
ent limitation on the inherent power of a
court to dismiss a suit for want of prosecu-
tion, by holding that a court has no discret-
ion to dismiss a suit for want of prosecution
when the court itself is remiss in.its duty to
appoint a trustee, or to obey the mandate of
a superior court, or to set the case for a
pretrial conference, or to call the case for a
pretrial conference, or to set the case for
trial, or to call the case for trial, or to

try the case on the merits, or to give advance

|

warning that the suit will be dismissed for
want of prosecution unless that situation is
immediately corrected or by a given date, or
without exhausting all reasonable alternatives
to dismissing the suit for a purported want of

prosecution.

For it is absolutely necessary that in ex-
ercising the awful power of dismissing a suit
for want of prosecution, and deciding the case
in favor of the adverse party without regard
to the merits of the case, a court must be ac-
ting with the cold neutrality of a stern im-
partial judge, and not from personal prejudice
against the petitioner or in favor of his op-
ponent, or simply an urge to get rid of the
litigation without passing on the merits of
case because of some conflict of interest that
is not immediately apparent, such as his inab-
ility to understand the case or to cover his

own dereliction of duty.

otic

This brings us to the consideration of the
Wisconsin statute and the decisions of the Su-
preme Court of Wisconsin and the Wisconsin

Court of Appeals on the subject.

Sec. 805.03, Wis. Stats., provides in ma-
terial part:

"For failure of any claimant to
prosecute or for failure of any party
to comply with the statutes governing
procedure in civil actions or to obey
any order of court, the court in which
the action is pending may make such
orders in regard to the failure as are
just, including but not limited to or-
ders authorized under s. 804(2)(a).
Any dismissal under this section oper-
ates as an adjudication on the merits
unless the court in its order for dis-
missal otherwise specifies for good
cause shown recited in the order.

In Neylan v Vorwald, 124 Wis 2d 85, 94,

(Sup. Ct. 1985), 368 NW2d 648, the Court said:

"The present rule governing this
case is sec. 805.03, Stats., which
was adopted by supreme court order,
67 Wis. 2d 690, as part of the Wis-
consin Rules of Civil Procedure. The
Wisconsin rules were prepared by the

=<)

judicial council and were patterned
after the Federal Rules of Civil
Procedure."

At page 92, it states:

"The present rule, sec. 805.03,
does not state any time limit within
which trial must proceed after com-
mencement of the action and therefore
does not import any constructive know-
ledge to litigants or their counsel of
the outside time limits a court will
consider as being a ‘failure to prose-
cute,’ nor does it provide that actual
notice be given. Where no constructive
notice is given, fundamental fairness
and due process require a litigant be
given actual notice before a court en-
ters a dismissal without notice and
motion of any party. Otherwise, what a
judge feels to be a failure to prose-
cute a case will depend on the indi-
vidual judge's thinking, the court's
calendar, and the rate of case intake
and disposition. Section 805.03 alone
imports no knowledge in advance to
litigants of what is expected in pros-
ecuting a case in a particular trial
court to avoid dismissal consequences
under the provisions of sec. 804.12(2)
(a) and particularly sec. 804.12(2) (a)
Oy

At page 94, the court said:
"Section 805.03, Stats., with ref-

erence to sec. 804.12(2)(a), forewarns
of a dismissal penalty for failure to

5.

to prosecute an action, there is no
constructive notice of what must be
obeyed to avoid a dismissal."

At page 95 it states:

"We find the dismissals ordered by
the trial court without actual notice
before entry precluded the opportun-
ity to be heard. Therefore, they were
lacking in that fundamental requisite
of due process. The court of appeals
has held that: ‘Judgments entered con-
trary to due process are void.

We accept that holding and find that
where no advance actual notice of dis-
missal which contains a clear standard
or definition of what constituted 'the
failure to prosecute,’ due process is
lacking and the dismissal judgments
are thereby void."

The instant case is governed by the Neylan -
case because the Nortons had no basis, either
in statutory or case law, to anticipate the

trial court's definition of "failure to prose-

cute."

In Rupert v Home Mut. Ins. Co., 138 Wis

2d 1, 405 NW2d 661 (Wis.App. 1987), the Court

of Appeals reversed and remanded an order dis-

a,

missing a suit for want of Prosecution. At
Id. 9-10, 405 NW2d at 664, it said:

"While sec. 805.03 fails to define
the outside limits of ‘failure to pros-
ecute,' the statute governing calendar
practice provides a basis for the trial
court to create these limits. Section
802.10(2), Stats., provides:

Unless excepted under sub. (1),
all actions and special proceedings are
deemed ready for trial one year after
the summons and complaint are filed.
Within 60 days after the expiration of
one year, the court shall by order set
dates for a pretrial conference and for
trial. [i&mphasis added. }

"By setting pretrial conferences and
trial dates, the court defines diligent
prosecution of an action. After one
year has passed, a plaintiff may rea-
sonably assume that the court will set
those dates within sixty days. It is
unreasonable that a plaintiff, antici-
pating receiving pretrial conference
and trial dates, should instead receive
a notice of intent to dismiss. Here,
rather than setting the required dates,
and thus vroviding the plaintiff with
an outside limit of conduct expected
for diligently pursuing its action, the
trial court moved to dismiss the one-
year-old suit.

iia

os a 302. 10(2) is silent
as to the effect of ‘deeming' an ac-
tion ready for trial. We read sub. (2)
merely to place a duty on the trial
court to set dates, within a specified
period, for the pretrial conference
and trial. 'Deeming' an action ready
for trial simply gives voice to a leg-
islative presumption that after one
year an action should have progressed
to the point where the court can in-
telligently exercise its duty to set
the required dates. Here, the record
shows no attempt to set the required
dates, nor does the record show that
Rupert would have been unprepared for
a pretrial conference or trial. We
cannot agree that a statute governing
trial court calendar practice imputes to
the trial court the power to impose the se-
vere penalty of dismissal only one
year after an action's commencement.

"Moreover, sec. 802.10(2) is si-
lent as to any consequences if an ac-
tion is not ready for trial within
one year. In contrast, sec. 802.10(3)
(d), governing scheduling conferen-
ces, specifically makes violation of
scheduling orders subject to venal-
ties under sec. 805.03, Stats. We
find significant the absence of a
s-milar provision in sub. (2).

"We must view a statutory action
in its entirety. [Citation omitted. ]
Where a comprehensive statute spe-
cificically grants a power in one
section and is silent with respect to

a ae

that power in another, we must assume
a legislative intent to exclude the
exercise of power under the latter
section. [Citation omitted.] The leg-
islature's silence in sub. (2) re-
veals an intent to exclude sec. 805.
03 venalties from sec. 802.10(2). Sec-
tion 802.10(2), 'deeming' an action
ready for trial one year from filing,
does not satisfy the fair and ade-
quate warning required by due process.

"We are not suggesting that a liti-
gant may sit idly by for the first
year of a lawsuit awaiting pretrial
conferences and trial dates. Rather,
we hold that before imposing a sanc-
tion as drastic as dismissal, advan-
ced notice is required. The federal
rule empowering trial courts to dis-
miss for failure to prosecute has been
construed to require the court to ex-
plore less drastic aiternatives prior
to dismissal. See 24 Am. Jur.2d Dis-
missal sec. 49 (1983). Several alter-
atives are available to the trial
court to accomplish the goal of dili-
gent prosecution of claims. For exam-
ple, sec. 802.10(3) permits the court
to call a scheduling conference with-
in ninety days of an action's com-
mencement. Further, even absent a pre-
liminary conference, courts are able
to advise each litigant at the time a
lawsuit is filed of any local rules
and penalties."

The key line in the Rupert case is the

- oo

line reading: "By setting pretrial conferences

and trial dates, the court defines diligent

prosecution of an action." The trial judge in

the instant case never defined it, unless it
can be said that he defined it by his conduct
in doing nothing between April 2nd, 1984, and
December 16th, 1985, when he dismissed the
suit for want of prosecution, when it was his
duty to appoint a successor trustee, and call
a pretrial conference, and set the case for
trial. Under the judge's own standard there
was no want of diligent prosecution of the ac-
tion, only lack of a diligent performance of

duty by the judge.

The decision of the Wisconsin Court of Ap-
peals in the Rupert case, and the decision of
the Supreme Court of Wisconsin in the Neylan
case, are based upon the decision of this
Court in the Link case, and assuming that each

decision is correctly decided, the judgment of

oe

the Wisconsin Court of Appeals and the judg-
ments of the circuit court appealed to it in
this case are void judgments beyond the per-
missible range of the court's discretion be-
cause the Wisconsin statutes and cases do not
contain a clear standard of what constitutes
failure to prosecute, and no advance actual
notice of dismssal which contained a clear
standard of what constitutes failure to pros-
ecute was given, and the trial judge failea
to define diligent prosecution because he
failed to appoint a successor trustee, and to
set the case for a pretrial conference after
the case had been on file for over a year and
was deemed ready for trial, and to set it for
trial, with the result that due process is

lacking.

So also is the protection and equal pro-

tection of the law.

29

The late George Gleason Bogert, in his
Handbook of the Law of Trusts, Third Edition,
Hornbook Series, West Publishing Co., 1952,
Page 110, stated our position precisely, when
he wrote:

"Equity has as a part of its

inherent jurisdiction the power and

the duty to see that trusts are

protected and carried Out, and the

filling of the office of trustee is
a part of this function."

This position is confirmed by Sir Edward
Coke, in his First Part of the Institutes of
the Laws of England, Fighteenth Edition, Cor-
rected, 1823, by Charles Butler, Special Ed-
ition, Copyright 1985, The Legal Classics Li-
brary, Volume Il, 290.b VI, where it States:

"In a court of equity it is suf-
ficient that the trust appears and

if the party creating the trust has

not appointed his own Frustee, the

court of equity will follow the

legal estate, and decree the person
in whom it is vested to execute the

2

trust. See ant. 113, note 2, it be-
ing a rule which admits of no excep-
tion that a court of equity never
wants a trustee,"

In Batesville Institute v Kauffman. 85 US

151, 154 (1871), this Court said:

"That this court has power to
appoint a new trustee, and to compel
the performance of the trust by him,
is quite certain. It is, however,
equally within the power of a court
of equity to decree and enforce the
execution of the trust through its
own officers and agents, without the
intervention of a4 new trustee,
(Story, Equity Jurisprudence, §§
976, 1060, 1061.)"

In McWilliams v Gough, 116 Wis 576, 583,

(1906), the court said:

"A trust never fails for want of
a trustee. While the office becomes
vacant the trust continues, its exe-
cution only being interrupted. Ju-
dicial power, under the equity jur-
isdiction, will fill the office in
form or effect, and compel and su-
pervise the execution of the trust
where there is no Statute to provide
for the emergency,"

=

In Will of Hill, 261 Wis 290, 298 (1951),

the Supreme Court of Wisconsin said:

"Tf the Foundation is in fact
unqualified to be a trustee and de-
clines to qualify, it is a general
rule that a trust never fails for
want of a trustee and the court, in
its equity powers, may appoint one
or may execute the trust by its own
officers."

§ 701.17(2) Wisc. Stats., provides:

"Tf it appears necessary, the
court may appoint a special trustee
until a successor trustee can be
appointed or, where a trust has ter-
minated, to distribute the assets. A
special trustee may be appointed
without notice and may be removed
whenever the court so orders. Such
special trustee shall give such bond
as the court requires and shall have
the powers conferred by the order of
appointment and set forth in any
letters of trust issued him."

It necessarily follows that at all times
during the period December 28th, 1983, to and
including December 16th, 1985, the trial judge
had the inherent power and the duty to appoint

a successor trustee and failed to do so.

a

-

In Maxwell v U of M, 159 Mich App 41/7,

(1987), 407 NW2d 16, MCR 2.502, provided for
dismissal for lack of progress, but also pro-
vided that an action could not be dismissed
if it was set for trial, or scheduled for a
pretrial conference, or before a date speci-
fied for completion of discovery. MCR 2.501(A)
(1), concerning scheduling trials, provided:
"Following the time of completion
of discovery as determined under MCR
2.301, the court shall schedule a
pretrial conference under rule 23a01.
schedule the action for mediation un-

der MCR 2.403, or schedule the action
for trial. [Emphasis added. ]”

Martin, Dean & Webster, Michigan Court Rules
Practice, Rule 2.502, Author's Comment, p ll,

states in relevant part:

"At the conclusion of,the time set
for discovery, the court’ must set
the action for pretrial or trial.
Thus all actions in which an answer
has been filed are precluded from the
operation of MCR 2.502 until trial or
other disposition of the action is
completed."

In their footnote, the commentators said:

"In circuits which have approved
local court rules requiring that one
of the parties file a demand for
trial, etc. before trial or pretrial
is scheduled, those cases in which
no such demand is filed within one
year from the close of discovery are
also subject to dismissal under the
provisions of Rule 2.502. The authors
would note, however, that the indi-
vidual circuit must have passed a lo~
cal court rule altering the provis-
ions of MCR 2.502. If it has not, but
simply possesses an informal proced-
ure calling for such filings, the
authors question how the court may
dismiss an action when the basis of
dismissal is the court's own non-
compliance with MCR 2.501, i.e., if
the court had complied with MCR 2.501
and independently set the case for
trial, the case would not be subject
to dismissal under MCR 2.502."

In that case the plaintiff appealed from

an order dismissing with prejudice for no

progress his wrongful discharge suit pursuant

to

had not complied with MCR 2.501. The Court of

MCR 2.502, in spite of the fact the court

Appeals at Page 422 (407 NW2d 19) said:
Py

=

"W/hile the Ingham Circuit Court
(Thirtieth Judicial Circuit) Local
Rules may have formerly required a
party to file a demand for a pre-
trial and trial before a case will
be put on the docket calendar, the
current Local Court Rules which be-
came effective on March 1, 1985,
with the new Michigan Court Rules
contain no such provision. See Michi-
gan Rules of Court 1986 (West Publish-
ing Co.), pp. 755-760. Thus, as the
commentators suggest, absent such a
local court rule, the trial court may
not dismiss this case because the
basis for dismissal is the court's
own noncompliance with the MCR 2.501
provision that the court itself must
set the case for trial."

The case is similar to the case at bar
because there is no statutory requirement in
Wisconsin that a case be noticed for trial,
and after a case has been on file for more
than a year, it is the duty of the court it-
self, within 60 days thereafter, to call a
pretrial conference and set the case for

trials

me”

In Crown Inter. v City of Elkhart, Ind

App, 430 NW2d 921 (1982), the court held that
a remonstrance in annexation proceedings was
in the nature of a defense, and such action
was not properly subject to dismissal for
lack of prosecution, but the statute involved
provided that:

"W/hen the remonstrance is deter-
mined to be sufficient the court sua
sponte shall set a hearing date which
should be not more than sixty (60)
days thereafter." (922.7;

and said:

"Tn addition the result [of dis-
missal] cannot be rationalized as a
matter of necessary docket control by
the trial judge. The annexation stat-
ute imposed upon the court the obli-
gation and the duty to order the case
for trial. It could have done so
rather than issue the rule to show
cause."

The statement is only common sense. When a
court is under a duty to call a case for trial

it cannot dismiss the suit for want of prose-

cution. This is the crux of our position.

=

In Mikos v_ Sarasota Cattle Co., 453 So2d

402 (Fla 1984), the Supreme Court of Florida

held that once the plaintiff has given notice

that it is ready for trial, the trial judge

must enter an order fixing a date for trial,

and, if he does not do so, is precluded from

dismissing the action for want of prosecution.

Both parties had noticed the case for trial

but the court had not set the case for trial.

The court said:

"Neither party took any further
action, nor did the court, until over
a year later on August 11, 1982, when
Mikos filed a motion to dismiss for
lack of prosecution pursuant to Flor-
ida Rule of Civil Procedure 1.440(b).
The district court reasoned that since
it is the trial court's responsibility
to enter an order fixing a date for
trial under Rule 1.440(c) once notice
of trial is given, the filing of the
notice bars the trial court from dis-
missing the action for lack of prose-
cution

"We agree with the decision below
in all respects. A trial judge has
sole discretion in determining the
order in which the cases will be
tried at particular times. The rules

—30—

contemplate that whenever a plaintiff
is ready for trial his attorney must
notify the court and ask the court to
enter an order setting a trial date.
It is inappropriate for a trial at-
torney to pressure a judge into set-
ting a date. We would like to add,
however, that if a plaintiff subse-
quently indicates that he is not ready
for trial, then the filing of the no-
tice of trial will not be a bar to a
dismissal for lack of prosecution."

The case is directly applicable to this
litigation. The judge was under a duty to call
the case for a pretrial conference and set the
case for trial, and dismissed the suit for want

of prosecution, and under the Florida case he

could not have done so.

In Nyberg v Cambridge State Bank, 245 Minn

312, 73 NW2d 345, 347-8 (1955), with one dis-

sent, the Supreme Court of Minnesota held that
once a case is noticed for trial it could sik
be dismissed with prejudice for want of prcose-
cution on the preliminary call of the calendar

because "'the case could not be so dismissed

a. om

until it is actually called for trial." In

Braze v Schmitz, 305 Minn 537, 538, 233 NW2d

559 (1975), the court refused to adopt any ex-
ception to that rule. But where the plaintiff
has not noticed his case for trial it could be

dismissed for want of prosecution. Copeland v

Bragg, (Minn App), 378 NW2d 35, 39 (1985). We
agree with these decisions. A case should not
be dismissed for want of prosecution until it

is actually calied for trial.

These cases all support our proposition
that a court should not be permitted to dis-
miss with prejudice a suit for a purported
want of prosecution at the very time the judge
is under a duty to call the case for a pre-
trial confererice and set the case for trial.
We have already established that equity has as
a part of its inherent jurisdiction the power

and the duty to see that trusts are protected

and carried out, and that the filing of the
office of trustee is part of that function,
but it is equally within the power of a court
of equity to decree and enforce the execution

of a trust through its own officers and agents.

It is evident that the circuit court judge
in dismissing this suit with prejudice for a
purported want of prosecution during the same
period he had failed to perform his duty to
appoint a successor trustee or to enforce the
trust through his own officers and agents, and
during the last part of which period he had
failed in his duty to call the case for a pre-
trial conference and set it for trial and try
it, without offering any justification or ex-
cuse for his own inactivity, violated his own
duty in doing so, with the result the judgment
of dismissal is a void judgment. It certainly

is hypocritical.

ae

The following quotations from ecclesias-
tical sources support our position:

"Judge not, that ye be not judged.
For with what judgment ye judge, ye
shall be judged: and with what measure
ye mete, it shall be measured to you
again. And why beholdest thou the mote
that is in thy brother's eye, but con-
siderest not the beam that is in thine
own eye? Or how wilt thou. say to thy
brother, Let me pull out the mote of
thine eye; and, behold, a beam in
thine own eye? Thou hypocrite, first
cast out the beam of thine own eye;
and then shalt thou see clearly to
cast the mote out of they brother's
eye." Holy Bible, Matthew 7:1-5.

"Those who stand guilty of griev-
ous sins should not judge those who
are guilty of the same or lesser sins

, A/ man condemns himself so as to
deserve to be condemned once again,

when, in condemning another, he

shows himself to he equally deserving
of condemnation on account of another
or a like sin." St. Thomas Aquinas,
Treatise On Justice From Summa Theo-
logica, Second Part of Second Part,
Questions 5/7-122, Q. 60, Art. 2, Page
1447-8.

"Yea, woe to him who, as the great
Pilot Paul has it, while preaching to
others is himself a castaway!" Herman
Melville, Moby Dick, The Modern Li-
brary Giant Edition 1944, Page 68.

a ee

Judge Benjamin N. Cardozo, in his Nature
of the Judicial Process, 109-110 (1922) said:

"Some relations in life impose a
duty to act in accordance with the
customary morality and nothing more.
. « « Other relations in Lite, as,
e.g., those of trustee and benefici-
ary, or principal and surety, impose
a duty to act in accordance with the
highest standards which a man of the
most delicate conscience and the
nicest sense of honor might impose
upon himself. In such cases, to en-
force adherence to those standards
becomes the duty of the judge."

The higher standard is undoubtedly the stan-
dard applicable to a judge in relation to the
lawyers and clients appearing before him in
the discharge of his judicial duties, and the
standard that was applicable in relation to
them in dismissing this suit for a purported
want of prosecution, and to the Wisconsin
Court of Appeals in reviewing this case. It is
obvious that the circuit court judge failed to

measure up to that standard when he failed to

25

appoint a successor trustee or to enforce the
trust by his own officers and agents, and that
he failed to measure up to that standard when
he failed to call the case for a pretrial con-

ference and set it for trial and try it.

It may reasonably be inferred from that
conduct that the judge had a personal bias or
prejudice either against petitioners and their

attorney_or in favor of the respondents.

It may be reasonably inferred from those
facts and inferences of fact that the circuit
court judge failed to measure up to the duty
imposed upon him to act in accordance with the
highest standards which a man of the most del-
icate conscience and the nicest sense of honor
might impose upon himself when he dismissed
the suit for a purported want of prosecution
when he had not performed his own duty in the

premises.

<a

It may be reasonably inferred under the
circumstances that the circuit court judge dis-
missed this suit for a purported want
prosecution because he was seeking to justify
himself from any responsibility for the delay,
in violation of the fundamental principle:

"No one ought to be a judge in his
own cause; . . . This maxim applies

to all cases where judicial functions

are to be exercised, and excludes all

who are interested, however remotely,

from taking part in their exercises.

It is not left to the discretion of a

judge, or to his sense of decency, to

decide whether he shall act or not;

all his powers are subject to this

absolute limitation; and when his own

rights are in question, he has no au-
thority to determine the cause."
Thomas M. Cooley, Treatise On Constitutional
Limitations Which Rest Upon The Legislative
Power Of The States Of The American Union,
Boston: Little, Brown, And Company, 1868,
Special Edition Copyright 1987, The Legal

Classics Library, Pages 410-411. This rule

should not be limited to financial interests.

«aft.

It is evident that the trial judge did
not understand the nature of the litigation,
nor the fact that he had jurisdiction over the
trust funds in Illinois, or the fact that in
dismissing the suit for a purported want of
litigation with prejudice, if the judgment is
a valid judgment, he had foreclosed any later
litigation in Illinois, when he said:

"It would seem to me that despite
the lack of prosecution, we have oth-
er reasons to continue this matter in
Illinois, the res is in Illinois, the
subject of the controversy; Ruste
Bridges, the defendant, was a resi-
dent of | Illinois and her estate,
if any, should have to be probated
there, and it would seem to me that
this is a matter for the probate court
in Cook County, Illinois, whatever the
efficacy and correctness of this
Court's decision to dismiss the case
on notice, and I'm going to deny your
motion [to vacate the judgment of dis-
missal for want of prosecution].

"All right, Mr. Matchett has asked
about the decision of the United
States District Court [rather the de-
cision of the United States Court of
Appeals For The Seventh Circuit] with
the death of Ruste Bridges, any reason

=

whatever for continuing this [matter]
in the Wisconsin Jefferson County
Court died with her, and this has no
bearing, the Court has ruled."(Docu-
ment 42(2), Page 8 Lines 8-22.)
Her death could have no effect on the juris-
diction of the circuit court over the trust

assets in Illinois under the decision of the

United States Court of Appeals in this case.

There was no violation of the rules. In
any event, the findings in regard to the pur-
ported violations were not put in issue by the
Judgment of December 16th, 1985, and are void

by reason of that fact.

In Rupert v Home Mut. Ins. Co., 138 Wis2d

1, at pages 9-10, and 405 NW2d at page 664,
quoted at page 17 of this petition, the court
said:

"By setting pretrial conferences
and trial dates, the court defines
diligent prosecution of the action.
After one year has passed, a plain-
tiff may reasonably assume that the

—39—

court will set those dates within six-
ty days."

The trial court never set a trial date. Mea-
sured by that rule, petitioners were never
guilty of want of prosecution because the

court never defined the term.

Petitioners, in moving to vacate the Judg-
ment of December 16th, 1985, moved the court
to set the case down for trial at an early
date convenient to the court on or subsequent
to February ist, 1986. (Doc. 23). The motion

should have been allowed.

CONCLUSION

Our conclusion is that the petitioners
have been deprived of their procedural rights
and property by the State of Wisconsin without
due process of of law, and have been denied

the protection and equal protection of the

laws by the State of Wisconsin, in violation

a

—_4()—

of their federal rights under the Fourteenth
Amendment § 1, creating a great opportunity in
this Court to grant certiorari and establish a
precedent bringing federal law up to date in
regard to dismissal of suits for a purported
want of prosecution with prejudice by recog-
nizing that there are situations in which
judges have no real discretion or standing to
dismiss a suit in that manner, as where they
have failed to perform their own duties to the
the plaintiffs, or are biased or prejudiced

against them or in favor of their opponents.

Respectfully sumitted,

Dey Lh fULS 9

HUGH M. MATCHETT

APPENDIX

A-1

COURT OF APPEALS DECISION DATED AND RELEASED
AUG 04 1988 FILED AUG 4 1988 CLERK OF COURT
OF APPEALS OF WISCONSIN No. 86-1690 STATE OF
WISCONSIN IN COURT OF APPEALS DISTRICT IV

HELEN PAGE NORTON, individually and as trus-
tee, for the use and benefit of Dale Page
Norton and John Jay Norton, and DALE PAGE
NORTON and JOHN JAY NORTON, on their own be-
half,

Petitioners-Appellants,

Ve

RUSTE DURNELL BRIDGES, deceased for whose
estate, no administrator has been appointed
formerly a disabled person under the law of
Illinois, and successor trustee of the JOHN
L. PAGE TRUST, who pending the appointment of
an administrator, is being treated as in be-
ing for all purposes that are necessary for
the protection of others, and, PATRICK T.
MURPHY, individually, and as public guardian
of the County of Cook, State of Illinois, as
guardian of her estate,

Respondents.

APPEAL from an order of the circuit court
for Jefferson county: JOHN B. DANFORTH, Judge.

Affirmed.

Before Dykman, J., Eich, J., and Sundby,

A-2
DYKMAN, J. Helen Norton appeals from an
order dismissing her complaint against the
estate of Ruste Bridges for lack of prosecu-
tion. The dispositive issue is whether the
trial court abused its discretion by dismiss-
ing the action. Because we conclude it did

not, we affirm.
FACTS

In 1944, John Page, Norton's father, es-
tablished a trust. He appointed George Brid-
ges trustee. During Page's iekeeines he was
the trust beneficiary. Norton became the ben-
ificiary after Page's death. The cee was
recorded with the register of deeds in Jef-
ferson County, Wisconsin. Bridges invested
the trust corpus in his home in Illinois.
When Bridges died in 1958, he willed his home
to his wife, Rustee Bridges. No successor

trustee was appointed. Norton filed no claim

against George Bridges’ estate. Ruste Bridges,
os

A-3
an Illinois resident, was declared incomptent

in 1980. She died in 1984.

In 1981, Norton filed a petition in Jef-
ferson county circuit court in which she
sought to be appointed successor trustee of
the trust. Norton also requested that Patrick
T. Murphy, the public guardian of Cook County,
Illinois, who controlled Ruste Bridges’ as-
sets, be ordered to turn over the trust as-
sets to Norton. On Murphy's motion, a federal
district court ordered the case removed to
federal court, but the seventh circuit revers-
ed and remanded, concluding that the Jefferson
county circuit court had exclusive jurisdic-

a

tion over the trust. Norton v. Bridges, 7/12

F.2d 1156,.-1166. (7th Cizc. 19863).

On January 31, 1984, the Jefferson county

circuit court appointed a guardian ad litem

for Ruste Bridges. The court held a telephone

A-4
telephone scheduling conference March 19, 19-
84. On April 2, 1984, Norton, without leave
of the court, amended her October 28, 1981
petition, adding Bridges’ guardian ad litem
as a party. Norton also filed a motion for
summary judgment without noticing that motion.
The action lay dormant until December 16, 19-
1985, when the court, on its own motion, is-
sued an order for dismissal because the case
had not been diligently prosecuted. The court
gave Norton twenty days to show good cause

why the order should not be entered.

Norton filed a motion to vacate the De-
cember 16, 1985 order alleging that "there has
been no want of prosecution in that on or
about April 1st, 1984, they filed a First
Amendment to their pending motion for summary
judgment, and that motion is still pending as
far as Hugh M. Matchett (Norton's attorney)

and his clients know." At the May 12, 1986

A-5
motion hearing the court found that Norton
had not shown good cause why the case should
not be dismissed for lack of prosecution. The
court referred to the procedural defects in
Norton's April 2, 1984 motions, but concluded
that Ween ity [that] is not the reason [for
dismissal|. The reason is that [the case]
went from 1984 until late 1985 without any-
thing happening." The court then ordered the
case dismissed for lack of prosecution pursu-

ent to sec. 605.03, Stats.!

STANDARD OF REVIEW

A motion to dismiss for want of
prosecution is addressed to the
sound discretion of the trial court,
and we will affirm the court's ac-
tion unless "it is clearly shown
that there was an abuse of discret-
ion." One seeking to set aside such
a dismissal must show a "clear and

Section 805.03, Stats., permits a trial
court to dismiss an action for a claimant's
failure to prosecute.

A-6

justifiable excuse’ for the delay."
While this has been recognized as a
“strict standard,” it is said to be
appropriate in light of the "'duty'
of trial courts ... ‘to refuse their
aid to those who negligently or abu-
sive fail to prosecute the actions
which they commence.'' Finally, we
note that because dismissal is a
harsh sanction, the remedy is appro-
priate "only in cases of egregious
conduct by a claimant."

We will not reverse a discret-
ionary determination by the trial
court if the record shows that dis-
cretion was in fact exercised and we
can perceive a reasonable basis for
the court's decision. The exercise
of discretion is not the equivalent
of unfettered decisionmaking, but
to be sustained "must demonstrably
be made and based upon the facts ap-
pearing in the record and in reli-
ance on the appropriate and applic-
able law." Generally, however, we
will look for reasons to sustain a
discretionary determination.

Prahl v. Brosamle, 142 Wis.2d 658, 666-67,

420 N.W.2d 372, 376 (Ct. App. 1987) (cita-

tions omitted).

Norton alleges that it was the trial

court's duty to set the case for trial. How-

A-7
ever, in Wisconsin, "[t]he obligation to
bring his case to trial within a reasonable

time lies with the plaintiff." Cukrowski Vv.

Mt. Sinai Hospital, 67 Wis.2d 487, 500, 227

N.W.2d 95, 102, cert. denied, 423 U.S. 914

(1975).? Norton relies on Neylan y. Vorwald,

124 Wis.2d 85, 368 N.W.2d 648 (1985), for
the proposition that a trial court may not
dismiss a case for lack of prosecution with-
out first giving notice. However, Norton was
given twenty days' notice to show good cause
for not dismissing her case before the order

became final.

Cukrowski must be read in conjunction
with the following: "In probably the most
Significant change from current practice, the
new rules -- most especially section 802.10.
-- place the responsibility for moving the
case on the court, as well as on the attor-
neys." Clausen and Lowe, The New Wisconsin
Rules of Civil Procedure: Chapters 801-803,
59 Marq. L. Rev. 1, 68 (1976). The plaintiff
now shares the burden of bring a case to
trial.

A-8
Norton also claims that the mandate from

Norton v. Bridges, 712 F.2d 1156 (7th Cir 19-

83), required the Jefferson county circuit
court to appoint a successor trustee. What-
ever legal effect such mandate may have had,
we conclude that it could not protect Norton
from dismissal for her lack of prosecution.
The fact that Norton did nothing to prose-
cute her case from April 2, 1984 to December
16, 1986 provides a basis for the court's
discretionary decision. Therefore we sustain
it.3 Prahl. 142 Wis.2d at 667, 420 N.W.2d
at 376.

By the Court. --Order affirmed.

Inclusion in the official reports is not

recommended.

k
We do not determine whether the circuit
court has a continuing duty under sec. 701.
17(1), Stats., to appoint a successor trustee.

A-9

Office Of The Clerk
SEAL S$ UP 2S Se Ce e285
STATE OF WISCONSIN

Madison, December 6, 1988

To: Hon. John B. Danforth
Circuit Court of Jefferson County
Jefferson County Courthouse
Jefferson, WI 53549

Albert H. Beaver
118 N. Lawton Pl,
Sturgeon Bay, WI 54235

Bradford W. Wilcox

Vance, Vance and Wilcox, S.C.
79 No. Main St.

Fort Atkinson, WI 53538

William F. Hue
Krek, Frederichs & Hue
323 S. Whitewater Ave., Box 399

Rebecca S. Kolleng

Office of Public Guardian
Richard J Daley Center
Chicago, IL 60602

The Court today announced an order in your

case as follows:

oS re ee
PT ahi

No. 86-1696 Norton v. Ruste Durnell Bridges
(deceased )

A petition for review pursuant to sec.

808.10, Stats., having been filed on behalf.

A-10

of petitioners-appellants-petitioners, Helen
Page Norton, individually and as trustee, for
the use and benefit of Dale Page Norton and
John Jay Norton, on their own behalf, and

considered by the court,

IT IS ORDERED that the petition is den-

ied without costs.

Hugh M. Matchett
5834 S. Stony Island Ave.
Chicago, IL 60637

MARILYN L. GRAVES

Clerk of the Supreme Court

Sc-105

STATE OF WISCONSIN CIRCUIT JEFFERSON COUNTY
COURT

HELEN PAGE NORTON
Plaintiff(s)
ORDER OF DISMISSAL
Case No. 81 CV 482
RUSTEE DURNELL BRIDGES
Defendants(s)
WHEREAS, the above captioned matter was
filed on. September 28, 1981; and
WHEREAS, it appears from the file herein

that:

[X] The above captioned matter has not

been diligently prosecuted:

NOW, THEREFORE, ON THE COURT'S OWN MOTION:

IT IS HEREBY ORDERED that the above cap-
tioned matter be and the same is hereby dis-

missed, without costs to either party; said

A-12

order shall become effective twenty days af-

ter rendition thereof unless prior to the ef-
fective date any party through counsel or per-
sonally shows good cause why such order should
not be entered. Pursuant to Section 895.03,
Statutes, a dismissal for lack of prosecution
is on the merits and with prejudice. * * *
IT IS FURTHER ORDERED that any issue as
to what constitutes good cause shall be re-
solved upon formal hearing, and that parties

wishing to be heard shall request a hearing in

writing prior to the effective date oF THIS

order.
Dated: 12/16/85 BY THE COURT:
PC: Richard C. Smith s/John B. Danforth
Hugh M. Matchett Circuit Judge
Rebecca S. Kolleng Jonn B. Danforth

Bradford W. Wilcox

A-13
[ HEADING OMITTED ]

PETITIONERS’ MOTION TO VACATE
THE ORDER OF DECEMBER 16TH,
1985, AND FOR LEAVE TO FILE A
SECOND AMENDMENT TO THEIR PE-
TITION, TO STAND AS AN AMEND-
MENT TO THEIR PENDING MOTION
FOR SUMMARY JUDGMENT, AND IF
THAT MOTION FOR SUMMARY JUDG-
MENT IS DENIED, FOR TRIAL AT
AN EARLY DATE CONVENIENT TO
THE COURT ON OR SUBSEQUENT TO
FEBRUARY 1ST, 1986.

CLERK OF THE CIRCUIT COURT
Jefferson County, Wisconsin
FinL& 2
JAN 2 1986

-

<= «= e = = = 6 CIR © «= Me
KENNETH M. SCHOPEN, Clerk

Now come the Petitioners HELEN PAGE NOR-
TON, individually and as Trustee for the use
and benefit of Dale Page Norton and John Jay
Norton, and DALE PAGE NORTON and JOHN JAY
NORTON, on their own behalf, by their attor-
neys HUGH M. MATCHETT of Chicago, Illinois, a
member of the Illinois bar, and RICHARD C.
SMITH of Jefferson, Wisconsin, a member of

the Wisconsin bar, and move the Court to va-

A-14

cate its Order of December 16th, 1985, dis-
missing this suit effective 20 days from that
date for a purported want of diligent prosecu-
tion, on the ground that there has been no
want of prosecution in that on or about April
1st, 1984, they filed a First Amendment to
their pending motion for summary judgment, and
that motion is still pending as far as HUGH
M. MATCHETT and his clients know. They fur-
ther move the Court for leave to file a Sec-
ond Amendment to their Petition, to also
stand as a amendment to their motion for sum-
mary judgment, a copy of which is attached to
this motion and incorporated herein by refer-
ence as though fully set forth, to bring this
litigation up to date, and, in the event that
motion for summary judgment so amended is den-
ied, they move the Court to set this case
down for trial at an early date convenient to
the Court on or subsequent to February ist,

1986. HELEN PAGE NORTON is presently on a

A-15
trip to Spain. HUGH M. MATCHETT talked to her
on the telephone yesterday, December 29th,
1985, and she advised him that she would re-
turn to the United States about the third
week in January, 1986, and would be available
for trial on and after that date. HUGH M.
MATCHETT has also talked to his client JOHN
JAY NORTON, a resident of Wisconsin, and he
will be available for trial on and after Feb-
uary 1st, 1986. Under the circumstances as
they understand the situation, the Order of
December 16th, 1985, is a deprivation of
procedural right and remedy without due pro-
cess of Wisconsin law, and a denial to them
of the protection and equal protection of that
law, in violation of their rights under the
Constitution of the State of Wisconsin and
their Federal rights under the 14th Amendment,
Section 1, to the Constitution of the United
States, and under 42 USC § 1983. A’hearing is

requested on this motion. [Signature omitted. ]

A-16
[HEADING OMITTED |

PETITIONERS MOTION TO VACATE
THE ORDER DISMISSING THIS SUIT
FOR A PURPORTED WANT OF PROSE-
CUTION BECAUSE IT IS A VOID OR-
DER SINCE RUSTEE DURNELL BRIDGES
WAS DEAD AT THE TIME THE ORDER
WAS ENTERED AND THERE WAS A WANT
OF NECESSARY PARTIES; FOR IMMED-
IATE APPOINTMENT OF A SUCCESSOR
TRUSTEE OF THE JOHN L. PAGE
TRUST; FOR SUBSTITUTION OF PAR-
TIES AND JOINDER OF ALL PERSONS
NEEDED FOR JUST AND COMPLETE AD-
JUDICATION; FOR PERMISSIVE JOIN-
DER OF OTHER PARTIES; FOR SUM-
MONS TO ISSUE FORTHWITH; FOR
SUMMARY JUDGMENT IN THEIR FAVOR
ON ALL TISSUES POSSIBLE; AND FOR
TRIAL ON ALL OTHER ISSUES AT AN
7 EARLY DATE.

CLERK OF THE CIRCUIT COURT
Jefferson County, Wisconsin

rt hb & oO
APR 28 1986
------- ee o'clock - - - -

KENNETH M. SCHOPEN, Clerk
Now come HELEN PAGE NORTON, etc, et al,
Petitioners, by their attorneys, HUGH M. MAT-
CHETT, a member of the bar of the Supreme
Court of Tllinois, and STEVEN LUCHSINGER, a
member of the bar of the Supreme Court of

Wisconsin, and move the Court t6 vacate the

A-17

Order dismissing this suit for a purported
want of prosecution because it is a void or-
der since RUSTEE DUENELL BRIDGES was dead at
the time the order was entered and there was
a want of necessary parties; for immediate
appointment of a successor trustee of the
JOHN L. PAGE TRUST; for substitution of par-
ties and joinder of persons needed for just
and complete adjudication; for permissive
joinder' of other parties; for summons to is-
isue forthwith; for Summary judgment in their
favor on all issues possible; and for’trial
on all other issues at an early date; and
more specifically prays the the Court:

1. Appoint HELEN PAGE NORTON Successor
Trustee of the JOHN L. PAGE TRUST.

2. Appoint BRADFORD W. WILCOX Administra-
tor of the Estate of RUSTE DURNELL BRIDGES,

Deceased, with orders to submit himself to

the jurisdiction of this Court in this case,

and for instructions to request the Circuit

A-18
Court of Cook County, Illinois, to appoint
somebody Administrator of the Estate of RUS-
TEE DURNELL BRIDGES, Deceased, in the State
Tllinois, summons to issue against him forth-
with.

3. Substitute BRADFORD W. WILCOX, Adminis-
trator of the Estate of RUSTEE DURNELL BRID-
GES, Deceased, as parties respondent in her
place and stead.

4. Order PATRICT T. MURPHY to identify
his surety bonding company on his bond, and
make PATRICT T. MURPHY, individually and as
Public Guardian of the County of Cook, State
of Illinois, and as Guardian of the Estate of
RUSTEE DURNELL BRIDGES, an incompetent per-
son, and said bonding company, additional
parties respondent in the above entitled
cause, summons to issue against them forth- _

with.

A-19

Respectfully submitted,

[NAMES AND
ADDRESSES AND |

TELEPHONE NUMBERS Lk F, /
OMITTED ] / | ad fi ) A kell

A-20

STATE OF WISCONSIN JEFFERSON COUNTY
CIRCUIT COURT
BRANCH _ I
HELEN PAGE NORTON, et al, FINDINGS OF FACT
Petitioners, CONCLUSIONS OF LAW
Vv. AND ORDER
RUSTEE DURNELL BRIDGES, et No. 81-CV-482
Respondents.

A hearing was held before the undersigned,
the Honorable John B. Danforth, in the Cir-
cuit Court, Branch I, Jefferson County, at
the Jefferson County Courthouse, on May id,
1986, at 9:00 a.m. The petitioners appeared
by their counsel, Steven Luchsinger and Hugh
M. Matchett. The respondent, Patrick I. Mur-
phy, appeared in person and by William F. Hue
and Rebecca S. Kolleng, his counsel. The
guardian ad litem, Bradford W. Wilcox, was
also in attendance.

Now, upon the record and file herein and
the argument of counsel, the undersigned makes

the following:

A-21
FINDINGS OF FACT

1. The petitioners have done nothing to
further the prosecution of this case since
the telephone scheduling conference on March
19, 1984.

2. The petitioners have failed to serve a
Notice of Motion or properly file a Motion
Summary Judgment on March 29, 1984, on any
party, or obtain a hearing date thereon. A

3. The petitioners amended their Petition
more than six months, in fact, more than 29
months, after the filing of the Summons and
Petition without leave of Court.

4. The petitioners amended their Petition
to include Bradford W. Wilcox as a named res-
pondent without leave of the Court and without
serving an authenticated copy of the Summons
and Petition upon Mr. Wilcox.

5. Petitioners improperly moved the Court
for leave to file a Second Amendment to the

Petition by failing to obtain a motion date

A-22
or file a Notice of Motion.

6. The petitioners filed a Summary Judg-
ment Motion without meeting any of the statu-
tory requirements set forth in s. 802.08(1),
(2), and (3), Stats.

7. The petitioners did not present any
reason or show good cause, pursuant to the
Court order of December 16, 1985, within the
20-day time period set forth therein, or any
time thereafter, including the hearing of May
12, 1986, addressing the issue of why this
Court should not dismiss this case for want
of prosecution.

8. The following allegations have been
made regarding the trust:

A. The trust at issue was made in Wiscon-
sin on September 8, 1944, with George Bridges
as trustee.

RB. The trust corpus was invested in George

Bridges’ home.

A-23

C. George Bridges' died on June 7, 1958,
a resident of Illinois.

D. George Bridges' estate was probated in
Cook County, Illinois, in 1958.

E. No successor tfustee was appointed af-
ter the death of George Bridges.

E. George Bridges willed his home to Rus-
tee Durnell Bridges.

9. No claim against the Estate of George
Bridges was filed on behalf of Helen Page Nor-
ton.

10. Respondent, Rustee Durnell Bridges,
died, an Illinois resident, in May 1984, after
being declared incompetent by the [Illinois
Court on June 16,

11. No probate action has yet been opened,
in the state of Illinois, the residence of
Rustee Durnell Bridges, and the state contain-

ine her estate.

+2---his -Court -kas -RO -}HEtSGiCELOR -oVver-

A-24
the -carpus -af -the -trust -which -exists ~in -the --
state -o£ -LLlineis-
CONCLUSIONS OF LAW

1. Petitioners’ failure to further the
prosecution of this case since March 19, 1984,
constitutes failure to prosecute and violates
s, 805.03, Stats.

2. The petitioners failed to comply with
the statutes governing procedure in civil ac-
tion, thus violating s. 805.03, Stats., by:

(a) Failing to serve notice of motion
with their Motion for Summary Judgment on
March 29, 1984, on any party, in violation of
s. 802.02(2)(a), Stats.

(b) Amending their petition without leave
of the Court.

(c) Amending their Petition to include
Bradford W. Wilcox, as a named respondent,
without leave of the Court and without serv-
ing an authenticated copy of the Summons and

Petition upon Mr. Wilcox in violation Or &,

803.05(1), Stats.

A-25

(d) Filing a Second Amendment to the Pe-
tition without leave of Court and without
proper Notice of Motion, in violation of s.
802.09(1), Stats.

(e) Filing a Summary Judgment Motion
without meeting the requirements of s. 802.08
(1), (2) and (3), Stats.

3. The petitioners' failed to show cause
or present any reason why this action should
not be dismissed for want of prosecution, ei-
ther within the 20-day time period set forth
in the Court's Order of December 16, 1985, or
anytime thereafter, including the hearing held
May 12, 19863; and, therefore, petitioners have
in their burden of proof on this issue.

WHEREFORE, the Court orders:

1. This case is dismissed as a result of
the petitioners’ failure to prosecute.

2. This case is dismissed for failure of
petitioners to comply with the statutes gov-

erning procedures in civil actions in Wiscon-

A-26

Sin.

3. This dismissal operates as an adjudica-
tion on the merits and is with prejudice.

4, All parties shall be responsible for
their own costs and attorney's fees in adjudi-

cating this matter.

BY THE COURT:

s/ JOHN B. DANFORTH
Honorable John B. Danforth

Circuit Court Judge, Branch I
6-20-86

A-27

712 F.2d 1156 (1983)

IN THE
UNITED STATES COURT OF APPEALS
FOR THE SEVENTH CIRCUIT

No. 82-1877

HELEN PAGE NORTON,
Plaintiff-A ppellant,

v.

RUSTE DURNAL BRIDGES, a disabled person under the
law of Illinois, as Successor Trustee of the John L.
Page Trust, and PATRICK T. MURPHY, as Public
Guardian of the County of Cook, State of Illinois, as
Guardian of her Estate,

Defendants-A ppellees.

Appeal from the United States District Court
for the Western District of Wisconsin on Removal from
the Circuit Court of Jefferson County, Wisconsin.
No. 81 C 766—John C. Shabaz, Judge.

ARGUED APRIL 6, 1983—DECIDED JULY 15, 1983

Before PELL and ESCHBACH, Circuit Judges, and
JAMESON, Senior District Judge.*

PELL, Circuit Judge. Helen Page Norton, the plaintiff
below, appeals from the district court’s dismissal of that
portion of her claim seeking a reduction of trust assets
to her possession and an accounting and termination of

* William J. Jameson, Senior District Judge of the District
of Montana, sitting by designation.

A-28

the trust. The issue on appeal is whether a Wisconsin
court can assert jurisdiction over the defendants in this
action and, if it can, whether that jurisdiction precludes
removal to the federal district court.

I. FACTS

In 1944, John L. Page, the plaintiffs father, estz.b-
lished a revocable inter vivos trust for his own benefit
until his death, and thereafter far the benefit of his
daughter, Helen Page Norton (Page trust). George H.
Bridges was named trustee. The trust was record2d
with the register of deeds in Jefferson County, Wisccn-
sin. Bridges was an Illinois resident and the trust res
was transferred by him or to him in Illinois.!

The trust provided that the trustee should manage the
trust as he saw fit and pay to the beneficiary the income
of the trust and so much of the principal as he saw fit.
The trust document gave the trustee power to appoint in
writing a successor trustee. The trust instrument also
provided that, should the trustee fail to appoint a suc-
cessor, “the judge of the county court of Jefferson
County, Wisconsin, may at any time and upon a proper
showing appoint a succeeding trustee if none shall have
been nominated” and “said court may issue letters of
trust in such matter and take such further proceedings
thereon as may be requisite and proper at the time for
carrying out this trust.”

John Page died in the mid-1940’s. George Bridges
invested the trust res in a mortgage on his home in Oak
Park, Illinois, with interest payable at 4%. He made
payments of interest and principal to Helen Page Nor-
ton. When the trust res amounted to $10,000, Bridjes
agreed to Norton’s request that the trust res be left

1 The district judge found that the res was transferred to
Bridges, suggesting that Bridges did not receive the assets
from Page while physically present in Wisconsin. The appel-
lant disagrees. For purposes of this appeal, it is unnecessary
to resolve this factual question.

A-29

intact. He continued making interest payments to her
until 1956. In 1956, the beneficiary agreed to Bridges’
request that the interest should be allowed to accumu-
late.

Bridges died in 1958. His will named his wife, Ruste
Durnal Bridges, as executor and chief beneficiary. The
will contained the following statement pertinent to this

action:

In making this bequest to my wife, I recognize that
in the past I have received certain monies from or
in behalf of HELEN PAGE NORTON, and I expect
that my wife will repay to her for the use and
benefit of her children any balance I still owe at the
time of my death, together with interest at 4% per
annum.

The mortgaged home in Oak Park, Illinois, was left to
Ruste Bridges.

On June 16, 1980, Ruste Bridges was declared a dis-
abled person by an Illinois state court. Defendant Patrick
T. Murphy, public guardian of Cook County, Illinois,
was named her guardian and the guardian of her estate.
The Oak Park residence was part of Ruste Bridges’ es-
tate. Pursuant to an order of the Circuit Court of Cook
County, and allegedly with notice to Helen Page Norton,
Murphy sold the Oak Park property for $48,501.

Norton brought this action in the Circuit Court of Jef-
ferson County, Wisconsin. She sought appointment as
successor trustee, pursuant to the provision in the trust
instrument empowering that court to make such ap-
pointment. She also sought a court order requiring the
defendants to reduce the trust assets to her possession,
and permission to administer and terminate the trust.

The defendants removed the case to the Western Dis-
trict of Wisconsin, pursuant to 28 U.S.C. § 1441(a),
asserting that the amount in controversy was greater
than $10,000 and that diversity of citizenship was pres-
ent because Norton is a Missouri resident and the de-
fendants are Illinois residents.

A-30

Norton moved the district court to remand the case to
the Jefferson County Court. The defendants sought dis-
missal on a number of grounds or, in the alternative,
transfer of the case to the Northern District of Illinois
pursuant to 28 U.S.C. § 1404.

The district court dismissed the case insofar as it
sought to compel reduction of the trust assets. The court
reasoned that it lacked in rem jurisdiction over the
assets which were located in Illinois and that personal
jurisdiction over the defendants could not be asserted
under either the Wisconsin long-arm statute or the con-
stitutional requirements delineated in Jnternational Si.oe
Co. v. Washington, 326 U.S. 310 (1945). The district
judge found that the plaintiff's remedy lay in the courts
of Illinois, rejecting Norton’s assertion that the Wiscon-
sin circuit court has exclusive jurisdiction over the
action.

The district judge did find, however, that the Jeffer-
son County court appeared to have jurisdiction to ap-
point a successor trustee. That aspect of the case was
remanded to the Circuit Court of Jefferson County.

II. MERITS

Norton challenges the district court’s holding that a
court sitting in Wisconsin cannot assert jurisdiction over
that portion of her claim which seeks a reduction of
trust assets and an accounting and termination of the
trust. This court must determine whether such an exer-
cise of jurisdiction would comport with the United
States Constitution and Wisconsin statutory law. If a
Wisconsin court could exercise jurisdiction, we must
decide whether jurisdiction lies exclusively in the state
court or whether removal to the district court was
proper.? Before addressing first the constitutional and

2 If the Wisconsin state court lacks jurisdiction over the con-

troversy, the federal district court, sitting in diversity, sim-

ilarly lacks power to resolve the controversy. Lakeside Bridge
(Footnote continued on following page)

A-31

then the statutory issue, we touch briefly on the prelimi-
nary question whether Ruste Bridges was named suc-
cessor trustee pursuant to George Bridges’ will.

A. Status of Bridges as Successor Trustee

Although the defendants have not specifically argued
in their brief that Ruste Bridges lacks the status of suc-
cessor trustee, they make numerous references to that
characterization as being a dubious one. At oral argu-
ment, the defendants suggested that Bridges might be
no more than a constructive trustee and argued that, if
she were, the statute of limitations precludes any action
against her at this time.

The language in George Bridges’ will, pursuant to
which Ruste Bridges is allegedly a successor trustee,
lacks evidence of careful drafting that would make cer-
tain her appointment as successor trustee. So far as the
record before this court indicates, however, that pro-
vision of Bridges’ will is merely consistent with a rather
informal approach to complying with the duties of trust-
eeship. Further, the trust instrument required only
that such an appointment be in writing and, to that
extent, the will fulfills the requirement. We conclude
that, for purposes of resolving the jurisdictional issues
urged on appeal, Ruste Bridges must be considered a
duly appointed successor trustee.

B. Constitutional Requirements

In International Shoe Co. v. Washington, 326 U.S. 310
(1945), the Supreme Court held that a state could assert
persona! jurisdiction over a non-resident defendant only

2 continued
& Steel Co. v. Mountain State Construction Co., 597 F.2d 596,
598 (7th Cir. 1979), cert. denied, 445 U.S. 907 (198Q).

The defendants have not -cross-appealed on the question
whether jurisdiction to appoint a successor trustee lies in the
Jefferson County, Wisconsin circuit court. We therefore do
not discuss that aspect of the case further on appeal.

ee

A-32

if that defendant had sufficient contacts with the forum
state. The court below found that Bridges lacked the
required minimum contacts with the state of Wisconsin,
citing Hanson v. Denckla, 357 U.S. 235 (1958), in sup-
port of its conclusion.

In Hanson, an inter vivos trust was created by a Penn-
sylvania settlor. The settlor named a Delaware trust
company as trustee. The trust res was placed with the
trustee in Delaware. The settlor then moved to Florida.
After her death in Florida, the settlor’s will was admit-
ted to probate there. An issue arose as to whether the
settlor had exercised a testamentary power of appoint-
ment over the corpus of the trust. The Florida-Supreme
Court held that Florida could exercise jurisdiction. over
the non-resident trustee and the non-resident beneficiar~

ies of the trust even though the trust assets were in Del- ~~

aware.

After Delaware refused to accord the Florida judg-
ment full faith and credit, the United States Supreme
Court reviewed the case. The Supreme Court held that
Florida lacked personal jurisdiction over the trustee,
stating:

We fail to find such [minimum] contacts in the
circumstances of this case. The defendant trust
company has no office in Florida, and transacts no
business there. None of the trust assets has ever
been held or administered in Florida, and the
record discloses no solicitation of business in that
State by either person or mail.

357 U.S. at 257. Hanson v. Denckla is, however, distin-
guishable from the present controversy. The trust at
issue in that case was neither created in Florida nor
registered in that state. There was no provision creating
a power of appointment over successor trustees in a
Florida court. Further, the trustee in Hanson was an
institution rather than an individual, which suggests

that the settlor intended administration of the trust to
occur in Delaware.’

Boone v. Wachovia Bank & Trust Co., 163 F.2d 809
(D.C. Cir. 1947), upon which Norton relies is similarly
not dispositive. In Boone, the appellant urged that a
North Carolina judgment removing him as testamen-
tary trustee was not entitled to full faith and credit. The
trust had been established under the decedent’s will
which had been admitted to probate in North Carolina.
That court had appointed Boone trustee. The North
Carolina court was exercising continuing jurisdiction
over the trust. Upon application of the beneficiaries, the
North Carolina court removed Boone as trustee.

Prior to the suit for removal, Boone had moved to the
District of Columbia. He had taken the trust assets with
him. Boone was not personally served in the removal
proceeding and he did not appear in North Carolina to
contest the removal action. On appeal before the Dis-
trict of Columbia court of appeals, Boone urged that the
North Carolina judgment was invalid because that court
lacked both power over the trust res and personal juris-
diction over him.

The District of Columbia court held the North Caro-
lina judgment enforceable because the North Carolina
court already had jurisdiction of the trust and the assets
were subject to it. The court held that constructive ser-
vice was sufficient because the proceeding was charac-
fterizable as quasi in rem rather than in personam.

Norton argues that the relief she seeks against Bridges
requires only quasi in rem jurisdiction rather than per-
sonal jurisdiction and therefore, under Boone, the Wis-
consin court can exercise jurisdiction over this contro-
versy. In considering the constitutional requirements for
jurisdiction, the distinction between personal and quasi
in rem jurisdiction is of little help. In Shaffer v. Hevtner,

* As discussed infra, the state in which an institutional! trus-
tee is domiciled is generally held to be the state in which the
trust is administered.

A-34

433 U.S. 186 (1977), the Supreme Court held that the
minimum contacts standard enunciated in Jnternational
Shoe must be satisfied for a judgment quasi in rem to
meet the requirements of due process. For constitutional
analysis, the relevance of Boone lies not in how the juris-
dictional basis is labeled but in whether minimum con-
tacts between the forum and the defendant were demon-
strated and, if they were, whether Boone supports a
finding that minimum contacts exist in the present case.

There can be little question that trustee Boone had
the requisite contacts with North Carolina to permit an
exercise of jurisdiction. The trust had been created pur-
suant to the decedent’s will which had been admitted to
probate in North Carolina. Boone had been appointed
trustee by the court.

Bridges is correct in her assertion that these facts,
and the continuing jurisdiction exercised by North
Carolina over the trust at issue in Boone, distinguish
that case from the present controversy. In this case, the
trust was not created pursuant to will. The settlor,
rather than a Wisconsin court, appointed the original
trustee who in turn appointed Ruste Bridges. The courts
of Wisconsin do not have continuing jurisdiction over
the trust because they have not yet taken any action
regarding it.

Nonetheless, Boone illustrates a principle pertinent to
resolution of this jurisdictional controversy. Numerous
courts have held that, “[iJn the case of an inter vivos
trust where the administration of the trust is fixed in a
particular state, the courts of that state will exercise
jurisdiction.” Restatement (Second) of Conflict of Laws
§ 267 reporter’s note (rev. ed. 1971). Further, it is rec-
ognized that if a trust is to be administered in a partic-
ular state, that state has jurisdiction to determine not
only the interests of the beneficiaries in the trust prop-
erties but also questions relating to the liability of the
trustee to the beneficiaries. Jd. § 267 comment d; see G.
Bogert, The Law of Trusts and Trustees § 292, at 409 (2d
ed. rev. 1977). These authorities suggest that the critical
difference between Hanson and Boone is neither the

A-35

actual physical location of the trust assets nor whether
the trust is inter vivos or testamentary but rather that
the Hanson trust was not administered in the state
claiming jurisdiction whereas the Boone trust was.

Absent an express statement in the trust instrument
that the trust is to be administered in a designated
state, courts will attempt to infer from the instrument
the settlor’s intent as to place of administration. Restate-
ment, supra, § 267 comment c; cf. id § 272 comment c
(choice of law to be applied in trust administration may
be evident, despite absence of express designation, from
the language of the trust instrument or other circum-
stances). One approach is to determine the forum most
closely connected with the administration of the trust. A.
Scott, The Law of Trusts § 568, at 3810-11 (3d ed. 1967).
For instance, in Cocke v. Duke University, 260 N.C. 1,
131 S.E.2d 909 (1963), the issue was whether North
Carolina could assert jurisdiction over the Duke Endow-
ment pursuant to which Duke University and several
other North Carolina institutions were benefitted. The
trust had been created in New Jersey, subject to New
Jersey law. A majority, but not all of the trustees were
North Carolina residents. North Carolina did not have
personal jurisdiction over all the possible beneficiaries.
Nonetheless, the assertion of jurisdiction by a North
Carolina court was upheld because it was the state most
closely connected with the administration of the trust.

When trust assets are held by an institutional trustee,
the state in which that institution is located is generally
considered the place of administration of the trust. See
A. Scott, supra, § 571, at 3823; Hanson v. Denckla, 357
U.S. 235 (1958). This principle is readily explained by
the fact that an institution is relatively likely to remain
domiciled in the same forum over the entire period of
the trust’s existence. By choosing such an institution as
trustee, the settlor has impliedly chosen a state of
administration.

When the named trustee is an individual, however, it
is less certain that his or her domicile at any particular
time reflects the intent of the settlor to fix that forum as

A-36

the place of administration. This follows from the greater
likelihood that an individual trustee will change his or
her domicile over the period of the trust’s existence. If
the trustee’s domicile determined the place of adminis-
tration, and if the trustee were a peripatetic one, the
place of administration—and therefore the law applica-
ble to the trust as well as the forum empowered to
assert jurisdiction over trust questions—would change
frequently. It is unlikely that a settlor would choose to
make a trust, which by its nature represents a long-
term plan of the settlor’s, subject to such uncertainty.

In this case, however, George Bridges was not only an
Illinois domiciliary at the time Page appointed him
trustee but he remained an Illinois resident until his
death. His wife, similarly, has been an Illinois domicil-
iary throughout the existence of the Page trust. The
question is whether anything in the trust instrument
indicates that the settlor intended Wisconsin—rather
than Illinois—to be the place of administration of the
trust.

The fact that the trust was created in Wisconsin by a
Wisconsin settlor is not, by itself, dispositive. See Cocke
v. Duke University, 260 N.C. 1, 181 S.E.2a 909 (1963).
The registration of the trust in Wisconsin is more signif-
icant. Although we are aware of no Wisconsin statute
addressing the significance of registering an inter vivos
trust in that state, the act of registration is some evi-
dence of the settlor’s intent that Wisconsin should play a
significant role in the administration of the trust.

The importance of the Wisconsin registration of the
Page trust, for purposes of assessing whether an asser-
tion of jurisdiction by Wisconsin would be constitu-
tional, is illustrated by the provisions of the Uniform
Probate Code.‘ The Code is framed so as to permit an

‘ Because Wisconsin has not enacted the Uniform Probate
Code, the Code is relevant only to the constitutional, rather
than the statutory, jurisdictional question raised by this

appeal.

A-37

exercise of jurisdiction to the full extent permitted by
the Constitution. § 1-302. It applies to inter vivos as well
as testamentary trusts. § 1-301 and Art. VII, pt. I, gen-
eral comment. A trust must be registered at the princi-
pal place of administration, § 7-101, and a trustee who
either registers a trust or accepts the trusteeship of a
registered trust submits personally to the jurisdiction of
the court of the registration state, § 7-103. Importantly,
the draftsmen of the Code state: “Clearly the trustee can
be deemed to consent to jurisdiction by virtue of regis-
tration.” § 7-103. '

Bridges’ acceptance of the trusteeship of a trust that
the settlor had registered in Wisconsin could be deemed,
consistent with the Uniform Probate Code, an acknowl-
edgment that the trust was to be administered in Wis-
consin and consent to the jurisdiction of the Wisconsin
court. Because the constraints of due process are recog-
nized by the Code, this analogy suggests that an asser-
tion of jurisdiction by the Wisconsin court over the Page
trust would be constitutional.

Finally, it is significant that the Page trust explicitly
accorded the Jefferson County, Wisconsin circuit court
power of appointment over successor trustees and au-
thorized that court to take further action regarding the
trust. In discussing this aspect of Norton’s claim, the
judge below characterized the appointment of a succes-
sor trustee as an action requiring in rem jurisdiction.
The district court also found it significant that the set-
tlor expressly named the Wisconsin court as having
power to act in this capacity. In rem jurisdiction cannot
be premised on the presence of trust assets in the state,
however, because the assets are in Illinois. The only
basis of in rem jurisdiction, therefore, is the role played
by Wisconsin in the administration of the trust. The dis-
trict judge apparently reasoned that it was the express
intent of the settlor that Wisconsin be the state of
administration for purposes of exercising a power of
appointment and that the settlor’s intent was control-
ling. There is little basis, however, for declaring Wis-
consin the place of administration for purposes of only
this one function. As stated above, when a trust instru-

A-38

ment is not explicit as to the intended place of adminis-
tration, one must scrutinize the trust instrument and
consider the impact of the trust in order to ascertain the
settlor’s intent. See Restatement, supra, § 267 comment
c; A. Scott, supra, § 568, at 3810-11; Cocke v. Duke Uni-
versity, 260 N.C. 1, 131 S.E.2d 909 (1963). Consistent
with these authorities, Page’s empowering the Wiscon-
sin court to appoint a successor trustee and to take re-
quired actions thereafter regarding the trust is an
indication of his intent that the trust should be adminis-
tered in Wisconsin.

The result is no different if we characterize the
inquiry as whether Wisconsin is the state most closely
connected with the administration of the trust. Bridges
being a resident of Illinois, investing the trust assets in
a home mortgage in that state and, from time to time,
making payments of principal and/or interest to a bene-
ficiary domiciled in a state other than Illinois, are not
sufficient to connect the trust more closely with Illinois
than with Wisconsin in light of the trust’s having been
created in Wisconsin by a Wisconsin settlor, registered
in Wisconsin, and subject to the power to appoint suc-
cessor trustees that was accorded the Wisconsin court.

In summary, the registration of the trust in Wisccnsin
and the power of appointment accorded the Wisconsin
court evidence Page’s intent that the trust should be
administered in that state. George Bridges and Ruste
Bridges accepted the trusteeship with knowledge of
these considerations and therefore can be deemed to
have consented to the jurisdiction of the Wisconsin court
insofar as that court might act to determine any rights
or liabilities relating to the trust. See Uniform Probate
Code § 7-103 and comment; G. Bogert, supra, § 292, at
412. These facts satisfy the “minimum contacts” stand-
ard of International Shoe Co. v. Washington, 326 U.S.
310 (1945), and therefore an exercise of jurisdiction by
the Wisconsin court over Norton’s claim is consistent
with due process.

A-39

C. Wisconsin Statutory Jurisdiction

The seminal Wisconsin case dealing with an assertion
of jurisdiction over nonresidents of Wisconsin in a trust
action is Laughlin v. Wells Building Co., 169 Wis. 50,
171 N.W. 755 (1919). The defendants argue that Laugh-
lin precludes a Wisconsin court from exercising juris-
diction over that portion of Norton’s claim which is at
issue on this appeal.

Laughlin, a Wisconsin resident, filed suit in Wisconsin
seeking a declaration that he was the sole trustee and
enjoining other named defendants from interfering in
the trust. He also sought a determination of all parties’
rights in the trust. The trust assets were located in the
vault of the Wells Building Company (Wells) in Milwau-
kee. All of the defendants, other than Wells, were Mis-
souri residents and had been served summons in the
proceeding pursuant only to an order of publication.
The circuit court found the service to be insufficient.

The Wisconsin Supreme Court reversed and remanded
the case, stating:

No reason is perceived why a court having jurisdic-
tion over the property is not an appropriate forum
in which to maintain the action. Although respond-
ents are all residents of Missouri, it may well
happen that parties similarly situated be residents
of different states, in which case jurisdiction by any
court, except one having jurisdiction of the prop-
erty, would be difficult, if not impossible, of attain-
ment.

171 N.W. at 757. Finding that the state long-arm sta-
tute authorized service by publication against the re-
spondents, the court remanded the case for a determina-
tion as to Laughlin’s duties under the trust agreement.

Laughlin illustrates the principle that if a forum
court has jurisdiction over the trust assets, its in rem
decree may determine or affect all interests in those
assets. G. Bogert, supra, § 292, at 406 and n.19. Con-
trary to the suggestion of the appellees, Laughlin does
not hold that the on/y court having jurisdiction over a

A-40

trust dispute that involves residents of different states is
the forum in which the trust assets are located.

As discussed in Section II(B), supra, this case involves
a trust that was, according to the intent of the settlor, to
be administered in Wisconsin despite the assets Leing
physically present in Illinois. Because the trust at issue
in Laughlin was administered in Wisconsin, one could
argue that Laughlin supports, rather than prohibits, an
assertion of jurisdiction in the present case. We are not
convinced, however, that Laughlin should be read so
broadly. We conclude that it simply does not address the
situation presented by this case. Because we are aware
of no other Wisconsin decision relevant to this contro-
versy, we turn to an interpretation of the pertinent Wis-
consin statutes.

Norton cites both the Wisconsin provisions that avtho-
rize in personam and in rem or quasi in rem jurisdic-
tion. Whether the appropriate jurisdictional basis in this
case is in personam or quasi in rem is not resolved by
Section II(B), supra. It was unnecessary to resolve the
question in determining the constitutionality of Wiscon-
sin’s exercising jurisdiction because demonstrated con-
tacts between the forum and the defendant were re-
quired in either case. Shaffer v. Heitner, 433 U.S. 186
(1977). Further, the Uniform Probate Code, upon which
we relied in addressing the constitutional question fails
to make the distinction between personal and quasi !n
rem jurisdiction. § 7-103 comment.®

The Wisconsin provision governing in rem or quasi in
rem jurisdiction provides, in relevant part, as follows:

A court of this state having jurisdiction of the
subject matter may exercise jurisdiction in rem or

5 The Uniforrn Probate Code relies primarily upon consent
jurisdiction when the defendant is a foreign trustee. § 7-103
comment. As stated above, Wisconsin has not enacted the
Uniform Probate Code and we find no jurisdictional statute
en to the consent jurisdiction upon which the Code
relies.

A-41

quasi in rem on the grounds stated in this section.
A judgment in rem or quasi in rem may affect the
interests of a defendant in the status, property or
things acted upon only if a summons has been served
upon the defendant pursuant to 801.12.

(1) When the subject of the action is real or per-
sonal property in this state and the defendant has
or claims a lien or interest, actual or contingent,
therein, or the relief demanded consists wholly or
partially in excluding the defendant from any inter-
est or lien therein.

Wis. Stat. § 801.07. This statutory section would support
Wisconsin jurisdiction in the present case if the trust
itself is characterized as “property” and the assets,
which are physically in Illinois, are deemed to be sub-
ject to the jurisdiction of the court because the assets
are subject to the trust. This line of reasoning is con-
sistent with Boone v. Wachovia Bank & Trust Co., 168
F.2d 809 (D.C. Cir. 1947), and appears most consistent
with the principle that in rem jurisdiction over a trust
permits a determination of the rights and liabilities of
all interested parties. Restatement, supra, § 267 com-
ment d; G. Bogert, supra, § 292, at 409-10. Further,
characterizing the jurisdictional basis of this action as
in rem or quasi in rem is most consistent with the anal-
ysis in Section II(B), supra, in which we rely primarily
on the relationship of the Page trust to the state of Wis-
consin that is established by the settlor’s intent that the
trust be administered in that state.

Alternatively, Wisconsin permits as assertion of per-
sonal jurisdiction in any action which arises out of:

c. A claim that the defendant return, restore, or
account to the plaintiff for any asset or thing of
value which was within this state at the time the
defendant acquired possession or control over it.

Wis. Stat. § 801.05(6)(c). Because the settlor was a Wis-
consin resident, the trustee’s control over the assets
necessarily originated when the assets were still in Wis-
consin, at the time the trust was created. The applica-

A-42

bility of this statutory section is unaffected by whether
Page forwarded the assets to Bridges in Illinois or
whether Bridges came to Wisconsin to take possession of
them, a factual issue that is unclear from the record.®

Our conclusion that either or both of these staiutory
provisions support Wisconsin jurisdiction over the en-
tirety of Norton’s claim is supported by Wisconsin law
in that the Wisconsin Supreme Court has stated that “at
the time the pertinent provisions of the long-arm statute
were adopted it was intended ‘to provide for the exer-
cise of jurisdiction over non-resident defendants to the
full extent consistent with the requisites of due process
of law.’” Zerbel v. H.L. Federman & Co., 48 Wis. 2d 54,
70, 179 N.W.2d 872, 881 (1970) (quoting Flambeau
Plastics Corp. v. King Bee Manufacturing Co., 24 Wis.
2d 459, 464, 129 N.W.2d 237, 240 (1964)).

D. Exclusivity of Jurisdiction in Jefferson County Court

Having concluded that a ¢éburt sitting in Wisconsin
can exercise jurisdiction over Norton’s entire claim, we
must determine whether the circuit court of Jefferson
County, Wisconsin has exclusive jurisdiction over the
controversy, thereby making removal to the Wisconsin
federal district court improper. Because of his holding

6 The defendants imply in their brief that even if personal
jurisdiction could be exercised by a Wisconsin court over Ruste
Bridges, no personal jurisdiction over Patrick T. Murphy
exists. Section 801.05(12) of the Wisconsin Statutes ermits
an assertion of personal jurisdiction over the persona! repre-
sentative of a deceased person who, if he were living, would
be subject to jurisdiction pursuant to Wis. Stat. §§ 801.05(2)
(11). Although Ruste Bridges is living, her status as an
incompetent under Illinois law, would suggest that section
801.05(12) governs whether jurisdiction can be asserted over
the guardian of her estate. Because the basis of personal jur-
isdiction that would apply to Bridges is codified as Wis. Stat
§ 801.05(6Xc), jurisdiction over Murphy is consistent with sec-
tion 801.05(12)

A-43

that no court in Wisconsin could decide the controversy,
the district judge did not reach this question.’

The Supreme Court disposition in Princess Lida v.
Thompson, 305 U.S. 456 (1939), supports Norton’s con-
tention that jurisdiction lies exclusively in the state
court. In Princess Lida, the Supreme Court considered
whether a Pennsylvania federal district court could
entertain a suit brought by the beneficiaries of an inter
vivos trust alleging mismanagement of the trust funds
and praying that the trustees be removed and made to
account for the losses suffered by the trust. The United
States Supreme Court upheld the decision of the Penn-
sylvania Supreme Court enjoining the petitioners from
proceeding further in the federal court. The United
States Supreme Court distinguished cases like Princess
Lida, in which the claims related to administration and
restoration of corpus, from cases in which a plaintiff
seeks merely an adjudication regarding the validity or
amount of his claims in a fund. Jd. at 466-67. The prin-
ciple illustrated by Princess Lida is that “the court first
assuming jurisdiction over property may maintain and
exercise that jurisdiction to the exclusion of the other.”
Id. at 466.

In West v. First Fond du Lac National Bank, 31 F.
Supp. 169 (E.D. Wis. 1940), the Wisconsin district court
relied on Princess Lida in dismissing a federal action
that sought an accounting and reduction of trust assets
and an appointment of new trustees. The district court
held that, under Wisconsin law, exclusive jurisdiction
vested in the county court.

West involved a testamentary rather than an inter
vivos trust. That distinction does not render the case
inapposite, however, because the trust at issue in Prin-
cess Lida, upon which the West court relied, was created

’ It is conceded that the requirements of diversity jurisdic-
tion are met in that the amount in controversy exceeds
$10,000 and the parties are citizens of different states, see 28
U.S.C. § 1332.

A-44

inter vivos. Further, the West district court relied on
the fact that the will pursuant to which that testamen-
tary trust arose was in probate in the Wisconsin court
as a separate and additional ground for dismissing the
federal action. 31 F. Supp. at 171.

The relief sought by Norton pertains to the actual
administration of the Page trust and is very similar to
that sought in West. The basis of Wisconsin jurisdiction
in this case is fundamentally a power over “property,”
the trust itself to which the assets are subject.§ Pr’ncess
Lida and West support the conclusion that, if the Wis-
consin state court first assumes jurisdiction over the
trust, that jurisdiction is exclusive.

In Princess Lida, jurisdiction had been assumed by
the state court by virtue of the trustees having filed
accountings with the common plea court. In Wer’, the
admission of the decedent’s will, pursuant to which the
trust arose, to probate constituted the prior assertion of
jurisdiction. The defendants argue that this case is dis-
tinguishable because there has been no previous as-
sumption of jurisdiction by the Wisconsin court over the
Page trust.

At issue in Princess Lida was whether the power of
appointment accorded the common plea court would ful-
fill the requirement of a previous assumption of juris-
diction. The state court had been named in the trust
instrument as having the power to appoint a successor
trustee should the remaining trustees be unable to agree
on a choice. There was no indication that such an
impasse among the trustees had occurred. Nonetheless,
the appointment of new trustees had routinely been
reported to the common plea court which had purported

8 Our having considered the applicability of Wis. Stat
§ 801.05(6)(c) (in personam jurisdiction) to this action does not
alter our conclusion that Wisconsin has power to adjudicate
the controversy primarily because of that state’s relationship,
as a reflection of the settlor’s express and implied intent, to
the administration of the trust.

A-45

to confirm and ratify the action taken by the trustees.
305 U.S. at 462. The petitioners urged that this action
by the state court was wholly gratuitous and therefore
did not constitute an assumption of jurisdiction. The
Supreme Court stated that it was “unnecessary to pass
upon the contention.” of the petitioners. Jd.

In the present case, the Jefferson County, Wisconsin
court is not only accorded a power of appointment but
will forthwith be reauired to exercise it. Nothing in
Princess Lida remotely suggests that such required
_ exercise of a power of appointment fails to constitute an
assumption of jurisdiction. The pertinent Wisconsin stat-
utes, in fact, imply that the power to appoint a succes-
sor trustee exists only if the court does have jurisdiction
over the trust. See Wis. Stat. § 707.17(1) (appointment of
successor trustee by “court”) and § 701.01(8) (“court”
defined as “court having jurisdiction”). The exercise of
the power to appoint a successor trustee of the Page
trust will constitute the first assumption of jurisdiction
in this case and will entitle the Wisconsin state court to
adjudicate the entire controversy, thereby excluding the
federal district court from any role in the controversy.

CONCLUSION

The Jefferson County, Wisconsin circuit court may
assert exclusive jurisdiction over the entire claim urged
by Norton. The varying relief Norton seeks suggests
that the ccurt having power over the trust, to which the
assets are subject, is the appropriate forum in which to
litigate this dispute. Such an assertion of jurisdiction is
consistent with the requirements of both due process
and Wisconsin statutory law. Further, the consolidation
of all proceedings regarding the trust in one court is
consistent with the policy favoring resolution of all
trust-related questions in one forum. The order of the
district court dismissing Norton's claim seeking a re-
duction of trust assets, an accounting, and termination
of the trust is reversed. The case is remanded to the dis-

A-46

trict court with instructions to remand the entire rmat-
ter to the circuit court of Jefferson County, Wisconsin.

A true Copy:
Teste:

Clerk of the United States Court of
Appeals for the Seventh Cir-xit

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/brief%3Amicro_IA40385002_1532%3A1. Public record. Not legal advice.
