Title: Schaeffer et al. v. Thompson

State: alabama

Issuer: Alabama Supreme Court

Document:

Rel: April 21, 2023 
 
 
 
 
 
 
 
Notice: This opinion is subject to formal revision before publication in the advance sheets of Southern 
Reporter.  Readers are requested to notify the Reporter of Decisions, Alabama Appellate Courts, 
300 Dexter Avenue, Montgomery, Alabama 36104-3741 ((334) 229-0650), of any typographical or other 
errors, in order that corrections may be made before the opinion is printed in Southern Reporter. 
 
 
SUPREME COURT OF ALABAMA 
 
OCTOBER TERM, 2022-2023 
 
_________________________ 
 
SC-2022-0813 
_________________________ 
 
Mary Beasley Schaeffer and Ellis Beasley Long, as personal 
representative of the Estate of Emma Glass Beasley, deceased 
 
v.  
 
Jan Garrison Thompson 
 
 
 
Appeal from Dallas Circuit Court 
(CV-2013-900142) 
 
 
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MITCHELL, Justice. 
 
This case arises from a long-running family dispute over property 
in Perry County, which culminated in a trial and an appeal to this Court.  
See Schaeffer v. Poellnitz, 154 So. 3d 979 (2014).  Unhappy with the 
result in the underlying litigation, two of the family members -- Mary 
Beasley Schaeffer ("Mary") and Ellis Beasley Long ("Ellis"), as the 
personal representative of the estate of Emma Glass Beasley, 
deceased -- sued their attorney, Jan Garrison Thompson, claiming that 
he committed malpractice when he represented them.  Thompson moved 
for summary judgment and presented evidence that he did not commit 
malpractice.  In response, Mary and Ellis submitted expert testimony 
stating that Thompson violated the standard of care owed by attorneys.  
The trial court ruled for Thompson and entered summary judgment in 
his favor.  Mary and Ellis appealed.  We affirm.   
Facts and Procedural History 
Emma Glass Beasley ("Emma") and Lyle Glass Young ("Lyle") 
jointly inherited Westwood, a parcel of land in Perry County.  Emma had 
two children -- Mary and Ellis -- and Lyle had three -- Eddie, Billy, and 
Adele.  In 1996, Emma and Lyle placed Westwood in a trust called the 
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Westwood Management Trust ("the Trust").  Emma was named trustee.  
Two years later, Emma and her children obtained a $28,000 judgment 
against Lyle's children ("the Marengo County judgment") in an unrelated 
matter.   
In 2005, Eddie, who had lived on Westwood, died.  William M. 
Poellnitz was named administrator of his estate.  A dispute arose 
between, on one side, Poellnitz, Billy, and Adele ("the Young branch") 
and, on the other, Emma and Mary.  The Young branch sued Emma and 
Mary in the Perry Circuit Court asserting several counts, including 
mismanagement of the Trust and conversion.  Emma and Mary 
counterclaimed, seeking the payment of debts the Young branch 
allegedly owed them.  Shortly before the case went to trial, Emma died, 
and Ellis, as personal representative of her estate, was substituted as a 
party. 
The case was tried to a jury in 2011.  At the conclusion of the trial, 
the jury awarded the Young branch (1) $63,915 for mismanagement of 
the Trust; (2) $3,645 for conversion of Eddie's property; (3) one-half of the 
furnishings and heirlooms in the house located on Westwood ("the 
Westwood house"), valued at $172,000; and (4) $200,000 in punitive 
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damages to each of Eddie's estate, Billy, and Adele.  On the 
counterclaims, the jury awarded Emma and Mary $8,043 against Billy 
and $8,043 against Veronica Young, Billy's wife, who had also been 
named as a counterclaim defendant.  After the trial court entered 
judgment, Mary and Ellis appealed.  This Court affirmed the judgment 
in part and reversed it in part.  Poellnitz, 154 So. 3d at 991.   
In 2013, while the appeal of the underlying case was still pending, 
Mary and Ellis sued their attorney, Thompson, in the Dallas Circuit 
Court alleging malpractice.  They alleged that Thompson had made the 
following three errors at trial amounting to malpractice: (1) in support of 
the counterclaims for debts owed by the Young branch, Thompson 
submitted into evidence the Marengo County judgment, which they say 
rendered that judgment unenforceable; (2) Thompson failed to ask for a 
jury instruction defining the term "hereditaments," which they say was 
necessary for the jury to determine which items belonged to the Trust; 
and (3) Thompson failed to obtain an independent appraisal of the value 
of the furnishings and heirlooms in the Westwood house, without which 
they argue the jury could not determine the items' value.   
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Thompson filed a motion for summary judgment, which the trial 
court granted.  Mary and Ellis appealed, and the Court of Civil Appeals 
reversed the judgment because, it said, Thompson had not supported his 
motion with substantial evidence.  See Schaeffer v. Thompson, 303 So. 
3d 159, 162 (Ala. Civ. App. 2020).  On remand, Thompson again moved 
the trial court for summary judgment, arguing that he had not violated 
the standard of care owed by attorneys because, he said, each challenged 
decision was a matter of trial strategy.  He supported this second motion 
with his own testimony as well as expert testimony from his opposing 
counsel in the underlying case.  Mary and Ellis opposed his motion with 
expert testimony from another lawyer stating that Thompson had 
violated the standard of care.  The trial court granted Thompson's 
motion.  Mary and Ellis appealed. 
Standard of Review 
On appeal from a summary judgment, this Court applies de novo 
"'the same standard of review the trial court used in determining 
whether the evidence presented to the trial court created a genuine issue 
of material fact.'"  American Liberty Ins. Co. v. AmSouth Bank, 825 So. 
2d 786, 790 (Ala. 2002) (citation omitted).  The initial burden is on the 
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movant to establish that no genuine issue of material fact exists.  
Nationwide Prop. & Cas. Ins. Co. v. DPF Architects, P.C., 792 So. 2d 369, 
372 (Ala. 2000).  The burden then shifts to the nonmovant to present 
substantial evidence creating a genuine issue of material fact.  Id.  
"[S]ubstantial evidence is evidence of such weight and quality that fair-
minded persons in the exercise of impartial judgment can reasonably 
infer the existence of the fact sought to be proved."  West v. Founders Life 
Assurance Co. of Florida, 547 So. 2d 870, 871 (Ala. 1989); see also § 12-
21-12(d), Ala. Code 1975. 
Analysis 
In this appeal, Mary and Ellis say that they presented evidence that 
created a genuine issue of material fact as to whether Thompson 
breached the standard of care under the Alabama Legal Services 
Liability Act, § 6-5-570 et seq., Ala. Code 1975.  After reviewing the 
relevant parts of the record, it is clear they did not.  
"[A] lawyer owes his client a duty to exercise 'such reasonable care 
and skill and diligence as other similarly situated legal service providers 
in the same general line of practice in the same general area ordinarily 
have and exercise in a like case.'" Herring v. Parkman, 631 So. 2d 996, 
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1002 (Ala. 1994) (quoting § 6-5-580(1), Ala. Code 1975); cf. Pinkston v. 
Arrington & Graham, 98 Ala. 489, 494, 13 So. 561, 562 (1893) (observing 
that it is the "duty and responsibility of an attorney to his client" to 
provide legal services "'with due care, diligence and skill'" (citation 
omitted)).  To prevail on a claim of legal malpractice, the plaintiff "'must 
prove the same basic elements as in a negligence action: duty, breach, 
proximate cause, and damages.'"  Herring, 631 So. 2d at 1001 (quoting 
Pickard v. Turner, 592 So. 2d 1016, 1019 (Ala. 1992)).  But the plaintiff 
must also prove that (1) "in the absence of the alleged malpractice, the 
plaintiff would have been entitled to a more favorable result in the legal 
matter" and (2) "the attorney's negligence in fact caused the outcome of 
the legal matter to be less favorable to the plaintiff."  Bonner v. Lyons, 
Pipes & Cook, P.C., 26 So. 3d 1115, 1120 (Ala. 2009).   
A legal-malpractice defendant who moves for summary judgment 
may support that motion "with evidence that makes a prima facie 
showing that the defendant did not act negligently."  McDowell v. 
Burford, 646 So. 2d 1327, 1328 (Ala. 1994).  The burden then shifts to the 
plaintiff, who "must rebut the defendant's prima facie showing with 
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expert testimony indicating that the defendant lawyer did act 
negligently" to survive summary judgment.  Id.   
Herring is instructive in setting out how the burden-shifting 
framework operates in a legal-malpractice case.  In Herring, the 
plaintiffs alleged that the defendant had breached the standard of care 
by advising them not to testify at trial.  631 So. 2d at 1002.  The defendant 
moved for summary judgment and supported his motion with his own 
sworn testimony that "he advised [the plaintiffs] not to testify because he 
did not want to subject either of them to cross-examination or 
impeachment by the prosecution."  Id.  The Houston Circuit Court 
granted the motion.  Id.  On appeal, this Court, drawing on doctrine 
developed in the ineffective-assistance-of-counsel context, acknowledged 
that "'the decision not to call a particular witness is usually a tactical 
decision' for the attorney."  Id. (quoting Luke v. State, 484 So. 2d 531, 533 
(Ala. Crim. App. 1985)).  Because the defendant had submitted evidence 
that his "recommendation that [the plaintiffs] not testify … was based on 
a decision within the province of [the defendant's] exercise of judgment 
as to trial strategy," this Court held that the burden shifted to the 
plaintiffs to rebut his evidence.  Id.  Because the plaintiffs did not carry 
SC-2022-0813 
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their burden by submitting substantial evidence or stating the reasons 
why they could not do so under Rule 56(f), Ala. R. Civ. P., this Court 
affirmed the summary judgment for the defendant.  Id. at 1002-03.   
Here, there is no dispute that Thompson carried his initial burden.  
Rather, Mary and Ellis argue that, after the burden shifted to them, they 
met it by presenting substantial evidence that three of Thompson's 
decisions at trial breached the standard of care: (1) "introducing the 
Marengo County judgment at trial," (2) "not submitting the proper jury 
charges related to the meaning of the word hereditaments," and (3) "not 
presenting evidence as to the actual value of the furnishings and 
heirlooms."  Mary and Ellis's brief at 14.  Mary and Ellis say that they 
made the required showing regarding each of these decisions through 
expert testimony.  But they did not make that showing.  To demonstrate 
the inadequacy of their evidence, we examine each of their arguments 
below -- and we do so by beginning with the evidence that Thompson 
brought forward, to which they were required to respond.  
A. The Marengo County Judgment 
Mary and Ellis first argue that they created a genuine issue of 
material fact as to whether Thompson's decision to introduce the 
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Marengo County judgment into evidence at trial constituted malpractice.  
In his motion for summary judgment, Thompson relied on his own 
testimony to argue that he "made this decision in the exercise of his 
professional judgment as to trial strategy, which met the appropriate 
standard of care and was consistent with controlling Alabama law."  He 
argued that he did so to show that the Young branch "had no reason [for] 
suing [Mary] and [Ellis] since the [Young branch was] indebted to [Mary] 
and [Ellis] and the Trust in various amounts."   
Thompson also supported his motion with expert testimony from 
Woodford W. Dinning, Jr., his opposing counsel in the underlying case.  
Dinning stated that Thompson's decision to introduce the Marengo 
County judgment into evidence "was done in the exercise of [Thompson's] 
professional judgment relating to trial strategy and which, in [Dinning's] 
opinion, met the appropriate standard of care and was consistent with 
controlling Alabama law."  Dinning continued: "The fact that [Dinning's] 
clients had failed to obey a court order and 1997 Court judgment placed 
[Dinning's] client's credibility seriously at issue, and the action taken by 
Mr. Thompson was an astute decision, in [Dinning's] opinion."   
SC-2022-0813 
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Mary and Ellis sought to rebut Thompson's evidence with the 
affidavit of another attorney, James Starnes, who testified as an expert 
on their behalf.  Based on his review of the record, Starnes testified that 
"the Marengo County Judgment should not have been introduced at 
trial[,] and it was below the standard of care for Thompson having done 
so," and that, "[b]ut for [Thompson's] introduction of the judgment at 
trial, the judgment would have remained valid and enforceable following 
trial in the underlying litigation."  Mary and Ellis argue that "[t]he 
testimony of Attorney Starnes was substantial evidence of Thompson's 
breach of the standard of care and was sufficient to defeat Thompson's 
summary judgment motion" as to the Marengo County judgment.  Mary 
and Ellis's brief at 18. 
But Starnes's affidavit fell short as rebuttal evidence.  The 
assertions in his affidavit were conclusory -- they did not dispute that 
Thompson's decision was one of trial strategy or provide evidence that, 
despite its strategic nature, the decision was made in a way that 
impugned Thompson's care, skill, or diligence.  As this Court has said, 
bare conclusory facts and statements in an affidavit do not constitute 
substantial evidence in summary-judgment proceedings.  B.M. v. Crosby, 
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581 So. 2d 842, 843 (Ala. 1991) (citing Nowell v. Mobile Cnty. Health 
Dep't, 501 So. 2d 468, 470 (Ala. Civ. App. 1986)).  Mary and Ellis's 
reliance on Starnes's affidavit is thus misguided, and they have failed to 
demonstrate grounds for reversing the trial court's judgment as to this 
issue.  
B. Jury Instructions 
Mary and Ellis next contend that Thompson breached his duty to 
them by not submitting jury charges defining the word "hereditaments."  
Mary and Ellis's brief at 14, 17-18.  Thompson again relied on his own 
affidavit to argue for summary judgment, stating that he "made this 
decision in the exercise of his professional judgment as to trial strategy, 
which met the appropriate standard of care and was consistent with 
controlling Alabama law."  He said that "he made this tactical trial 
decision since there was sufficient testimony and evidence presented at 
trial to be able to exercise common sense and judgment to determine the 
meaning of hereditaments."  Specifically, he noted, "[m]ultiple witnesses 
testified as to the personal property that was a part of the Westwood 
home and further explained the historical significance of that property."  
He also said that he "recall[ed] asking the court for a jury charge on 
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hereditaments, but the charge was refused."  Thompson again reinforced 
his motion with Dinning's testimony indicating that Thompson's decision 
about a jury instruction was strategic and that it met the standard of 
care.   
In arguing that they provided evidence sufficient to create a 
genuine issue of material fact, Mary and Ellis point to Starnes's affidavit, 
which stated: "I find no facts that indicate Thompson explained or 
instructed the Jury as to the meaning of 'hereditaments.'"  The affidavit 
continued:  "In my opinion and experience the term 'Hereditaments' is 
seldom used today," and "the underlying jury, without any instructions 
or information to the contrary, had insufficient knowledge of the term to 
make a reasonable finding of fact regarding the Westwood Management 
Hereditaments property."  Id.  Accordingly, Starnes said: "Thompson's 
representation fell below the applicable standard of care in not 
instructing the jury as to the term 'hereditaments.'"  Starnes concluded: 
"But for Thompson's breach of the standard of care by not informing the 
Jury of this issue the Jury had insufficient instructions in which to make 
an appropriate finding of fact regarding the issue if the items belong with 
the Westwood Management Trust or otherwise." 
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Starnes's affidavit was inadequate on this issue as well.  Thompson 
argued that the decision not to ask for a jury instruction defining the 
term "hereditaments" was within the province of his professional 
judgment as to trial strategy.  He provided evidence that he made this 
decision based on his subjective belief that the jury adequately 
understood the term.  Even if Starnes was correct that the jury did not in 
fact have sufficient knowledge of the word "hereditaments" and that 
Thompson failed to ask the court to define the term, Starnes's testimony 
did nothing to dispute the strategic nature of Thompson's decision or 
show that Thompson's understanding of the jury's knowledge was 
unreasonable in the circumstances.  Starnes's testimony was, once again, 
conclusory and did not create an issue of fact.  Accordingly, Mary and 
Ellis have not shown that the trial court erred in entering summary 
judgment in favor of Thompson as to this decision. 
C. Value of Furnishings and Heirlooms 
Mary and Ellis's final contention is that Thompson violated the 
standard of care by "not presenting evidence as to the actual value of the 
[Westwood] furnishings and heirlooms."  Mary and Ellis's brief at 14.  In 
his motion, again relying on his own affidavit, Thompson argued that he 
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"made this decision as to trial strategy, which met the appropriate 
standard of care and was consistent with controlling Alabama law."  He 
stated that he "made this tactical trial decision since Mary Schaeffer had 
offered testimony that disputed the $170,000 appraisal presented by the 
Young branch at trial."  Further, he said that "Ms. Schaeffer testified that 
the value of the furnishings was much less than the appraisal and that 
they were only insured for $60,000."  Thompson again supported his 
argument with testimony from Dinning stating that Thompson's 
strategic decision met the standard of care. 
Unlike the two preceding issues, Mary and Ellis did not present 
expert testimony purporting to rebut Thompson's evidence on this issue.  
Rather, they argue that they met their burden here because, according to 
them, "this issue falls within the common knowledge exception to the 
general rule requiring expert testimony in a legal malpractice action."  
Mary and Ellis's brief at 19.  Indeed, while expert testimony is ordinarily 
required to defeat summary judgment on a legal-malpractice claim, this 
Court has recognized an exception "where a legal-service provider's want 
of skill or lack of care is so apparent as to be understood by a layperson 
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and requires only common knowledge and experience to understand it."  
Valentine v. Watters, 896 So. 2d 385, 394 (Ala. 2004). 
Mary and Ellis's argument is unavailing because they have not 
made any substantive argument that the exception applies.  They say 
that "resolution of this issue does not require scientific, technical, or other 
specialized knowledge in order for the trier of fact to determine whether 
the applicable standard of care was breached."  Mary and Ellis's brief at 
19.  And they assert that "[a] layperson utilizing common knowledge and 
experience can certainly make this determination."  Id.  But these 
statements are conclusory and provide no substantial basis for 
dispensing with the expert-testimony requirement.  Because Mary and 
Ellis did not rebut Thompson's showing with expert testimony or show 
that the common-knowledge exception applies, they have failed to 
establish that the trial court erred in entering summary judgment for 
Thompson as to the appraisal decision.  
Conclusion 
 
Mary and Ellis have not demonstrated that the trial court erred in 
entering summary judgment in favor of Thompson.  Therefore, we affirm.  
 
AFFIRMED. 
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Shaw, Wise, Bryan, and Cook, JJ., concur. 
 
Parker, C.J., and Sellers, Mendheim, and Stewart, JJ., concur in 
the result, without opinion.