NO. 03-17-00870-CV

IN THE THIRD COURT OF APPEALS

AUSTIN, TEXAS 

__________________________________________________________________ 

IN RE LEVIEN __________________________________________________________________

RESPONSE TO PETITION FOR WRIT OF MANDAMUS

__________________________________________________________________

Original Proceeding from Cause No. D-1-GN-17-001-590

53rd District Court

Travis County, Texas

__________________________________________________________________

SALLEE S. SMYTH ELLEN A. YARRELL

Attorney at Law Ellen A. Yarrell, P.C.

SBT# 18779400 SBT# 22138500

800 Jackson Street 2900 Weslayan, Suite 350 

Richmond, Texas 77469 Houston, Texas 77027

(281) 238-6200 (713) 621-3332

(281) 238-6202 (Fax) (713) 621-3669 (Fax) 

smyth.sallee@gmail.com ellen@eayatty.com

Attorneys for Real Parties’ In Interest

KENNETH LEVIEN, BARRY LEVIEN & PHILIP LEVIEN,

Trustees on Behalf of the Trust Established under Article Seven of

the Last Will and Testament of Arnold Levien

ORAL ARGUMENT REQUESTED, IN THE ALTERNATIVE

ACCEPTED

03-17-00870-CV

21602520

THIRD COURT OF APPEALS

AUSTIN, TEXAS

1/4/2018 11:28 AM

JEFFREY D. KYLE

CLERK

 FILED IN 3rd COURT OF APPEALS AUSTIN, TEXAS 1/4/2018 11:28:35 AM JEFFREY D. KYLE Clerk
i

OBJECTION TO, ALTERNATIVELY REQUEST FOR,

ORAL ARGUMENT

Real Parties’ in Interest, the Trustees, assert that oral argument in this matter 

is not warranted and should be denied. However, in the event this Court should 

grant Relators’ request for oral argument, then Real Parties’ In Interest, the 

Trustees, request the opportunity to argue in response. 
ii

ABBREVIATIONS

Mandamus Record ......................................................... MR

Supplemental Mandamus Record ....................................... Supp. MR

Relators’ Petition for Writ of Mandamus attaches documents which are 

referenced as Appendix Items 1 through 9. In addition, Relators have filed a 

mandamus Record including documents referenced in Tabs 1 through 12. While 

Relator’s mandamus Appendix encompasses all items included in the Record, their 

numbering is not consistent. To avoid confusion, the Trustees’ response will refer 

only to the documents included in the mandamus Record, specifically to Tabs 1 

through 12 and include reference to the page number where that item appears in 

the PDF Record document, for example MR 12:562 refers to the Record, Tab 12 at 

PDF document page 562.

Additional documents included in a Supplemental Mandamus Record will be 

referenced as MR 13 through MR 22, reflecting the tab numbers assigned to each 

supplemental document included. 

Because several parties bear the same surname and/or exist in similar 

capacities, for the convenience of the court and ease of understanding the 

following references will be used: 

PROPER NAME POSSIBLE REFERENCES

TIM WHITTEN Relator; Whitten

SCOTT RHODES Relator; Rhodes

HARLAN LEVIEN Defendants; Harlan or 

and STEPHEN LEVIEN Stephen

PARVIN JOHNSON, JR Defendants; Johnson or Ives

KENNETH LEVIEN, Real Parties in Interest, the 

BARRY LEVIEN and Trustees; 

PHILIP LEVIEN
iii

SUPPLEMENT TO IDENTITY OF PARTIES & COUNSEL

Real Parties’ in Interest, the Trustees, identify the following additional 

counsel of record on their behalf in this original proceeding:

Sallee S. Smyth

Attorney at Law

SBT# 18779400

800 Jackson Street

Richmond, Texas 77469

(713) 238-6200

(713) 238-6202 (Fax)

smyth.sallee@gmail.com
iv

TABLE OF CONTENTS

 PAGE

OBJECTION TO, ALTERNATIVELY REQUEST FOR,

 ORAL ARGUMENT .................................................... i

ABBREVIATIONS .......................................................... ii

SUPPLEMENT TO IDENTITY OF PARTIES & COUNSEL ........ iii

TABLE OF CONTENTS .................................................... iv

INDEX OF AUTHORITIES ................................................ vi

THE TRUSTEES’S STATEMENT OF THE CASE ..................... ix

RESPONSE TO ISSUE PRESENTED ................................... x

THE TRUSTEES’ STATEMENT OF FACTS ........................ 1

SUMMARY OF THE TRUSTEES’ ARGUMENTS ..................... 5

STANDARD OF REVIEW ............................................... 7

RESPONSE TO ISSUE ONE (Restated)

 The trial court properly denied Relators’ application and motion 

 for protection which sought to excuse their required appearance as 

 non-party witnesses at trial pursuant to trial subpoenas properly

 issued and served ........................................................... 8

ARGUMENT AND AUTHORITIES IN SUPPORT OF 

 RESPONSE TO ISSUE ONE 

A. The Order challenged on mandamus does not compel 

disclosure of any specific testimony, privileged or 

otherwise ............................................................... 8
v

 PAGE

B. Existing trial court rulings already protecting the 

disclosure of privileged information from Whitten 

and Rhodes render mandamus moot .............................. 13

C. The extraordinary remedy of mandamus under the 

circumstances presented is clearly unfounded .................... 16

D. Mandamus relief will severely prejudice the Trustees right 

to prosecute their claims and will foreclose a credibility 

determination by the jury ............................................ 17

1. The jury should be allowed to judge the witnesses’ 

credibility ...................................................... 17

2. Evidentiary rulings and the withdrawal of objections 

subsequent to the Relators depositions leave questions 

unanswered .................................................... 18

3. Discovery occurring after the Relators depositions 

generate new areas of examination ......................... 18

4. By taking Relators’ depositions, the Trustees did not 

waive their right to subpoena the Relators as witnesses 

for trial ......................................................... 19

5. Relators’ suggestion that this Court’s prior mandamus 

 decision excuses their testimony at trial is misplaced ..... 20

6. In summary, mandamus is not warranted .................. 22

CONCLUSION AND PRAYER ............................................. 22

CERTIFICATE OF COMPETENT EVIDENCE .......................... 23

CERTIFICATE OF SERVICE ............................................... 24

CERTIFICATE OF COMPLIANCE ......................................... 25

 
vi

INDEX OF AUTHORITIES

PAGE

TEXAS RULES

Tex. R. Civ. P. 176.1 .................................................... 5, 10

Tex. R. Civ. P. 176.2 ..................................................... 5, 10

Tex. R. Civ. P. 176.6(e) .................................................. ix, 2, 10

Tex. R. Civ. P. 192.5 ..................................................... 6, 10

Tex. R. Civ. P. 192.5(b)(2) ............................................. 10

Tex. R. Civ. P. 192.6(b) ................................................. 10

Tex. R. Civ. P. 192.6(b)(1-5) ........................................... 11

Tex. R. Civ. P. 206.6(b) ................................................. 17

Tex. R. Evid. 503 ......................................................... 6

TEXAS CASES

Borden, Inc. v. Valdez, 

 773 S.W.2d 718 (Tex. App.—Corpus Christi 1989, 

 no writ) ................................................................. 12

Camarena v. Tex. Emp't Comm'n, 

 754 S.W.2d 149 (Tex. 1988) ....................................... 16

City of Garland v. Louton,

 691 S.W.2d 603 (Tex. 1985) ....................................... 16

City of Keller v. Wilson, 

 168 S.W.3d 802 (Tex. 2005) ....................................... 17
vii

PAGE

Dow Chem. Co. v. Garcia, 

 909 S.W.2d 503 (Tex. 1995) ........................................ 15

Duval County Ranch v. Alamo Lumber Co.,

 663 S.W.2d 627 (Tex. App. – Amarillo 1983, writ ref’d

 n.r.e.) ..................................................................... 12

Echols v. Olivarez,

 85 S.W.3d 475 (Tex. App.--Austin 2002, no pet.) ............... 18

Holcombe v. Fowler, 

 118 Tex. 42, 9 S.W.2d 1028 (Tex. 1928) ......................... 15

In re Bexar County Criminal District Attorneys’ Office, 

 224 S.W.3d 182 (Tex. 2007) (orig. proceeding) .................. 7, 11

In re Hays County Crim. Dist. Attorney’s Office & Texas 

Dept. of Family and Protective Servs., 

 2010 Tex. App. LEXIS 8088 (Tex. App. – Austin 

 October 1, 2010, orig. proceeding) .................................. 16

In re Kellogg Brown & Root, Inc., 

 166 S.W.3d 732 (Tex. 2005) ........................................ 15

In re Levien, 

 2015 Tex. App. LEXIS 4391 (Tex. App. – Austin 

 April 30, 2015) (orig. proceeding) (mem. opinion) ............... 1, 20

In re Levien, 

 2016 Tex. App. LEXIS 9409 (Tex. App. – Austin 

 August 26, 2016) (orig. proceeding) (mem. opinion) ............. 1

Jim Walter Homes, Inc. v. Foster,

 593 S.W.2d 749 (Tex. App. -- Eastland 1979, no writ) .......... 12

Nat'l Union Fire Ins. Co. v. Valdez,

 863 S.W.2d 458 (Tex. 1993) ........................................... 20
viii

PAGE

Stoufflet v. Stoufflet,

 2009 Tex. App. LEXIS 1899 (Tex. App. – Austin 

 March 20, 2009, no pet.) ............................................. 15

Walker v. Packer, 

 827 S.W.2d 833 (Tex. 1992) ........................................ 7, 17
ix

THE TRUSTEES’ STATEMENT OF THE CASE

Nature of the Underlying Proceeding. The primary suit, pending in the 423rd

District Court of Bastrop County, is one brought by the Trustees against the 

Defendants, two brothers who are former beneficiaries of a Trust and their adult 

adoptees, alleging various causes of action sounding in fraud and civil conspiracy. 

These claims primarily challenge the validity and/or effect of two separate adult 

adoption orders and seek to hold the Defendants liable for damages incurred by the 

Trust due to their conduct. Relators in this mandamus, Whitten and Rhodes, 

represented the Brothers in the adult adoption proceedings and are non-party 

witnesses in the fraud litigation.

Respondent. Respondent is the Honorable David Phillips, Visiting Judge in the 

53rd District Court of Travis County, Texas where Relators’ motion for protection 

the subject of this mandamus was heard in accordance with Tex. R. Civ. P. 

176.6(e).

Respondent’s actions. Respondent denied Relators’ application and motion for 

protection which sought to excuse their appearance as witnesses at trial pursuant to 

properly served trial subpoenas issued by the Trustees. More specifically, Relators 

challenge the trial court’s December 19, 2017 Order Denying Scott Rhodes’ and 

Tim Whitten’s Application and Motion for Protection, which order generally 

directs them “to attend and give testimony at the trial relating to the case entitled 

"Kenneth Levien, Barry Levien and Philip Levien, Trustees on Behalf of the Trust 

Established under Article Seven of the Last Will and Testament of Arnold Levien, 

Plaintiffs v. Harlan Levien and Stephen Levien, Defendants" and filed under Cause 

No. 423-2681 pending in the 423rd Judicial District Court of Bastrop County, 

Texas, and remain at that place from day to day until discharged by the Court or 

Ellen A. Yarrell.” (MR 12:562)

Relators contend that the December 19, 2017 order compels Relators disclosure of 

privileged information making it subject to mandamus relief. The Trustees 

disagree.
x

RESPONSE TO ISSUE PRESENTED

RESPONSE TO ISSUE ONE: The trial court properly denied Relators’ 

application and motion for protection which sought to excuse their required 

appearance as non-party witnesses at trial pursuant to trial subpoenas properly 

issued and served.
1

THE TRUSTEES’ STATEMENT OF FACTS

Based on matters considered in two prior mandamus proceedings

1

, this 

Court is already familiar with a majority of the background facts and allegations 

surrounding the Trustees complaints against the Defendants in the underlying 

Bastrop County litigation. Those facts need not be detailed or repeated here to 

understand and analyze the issue presented for review. 

Simply enough, two adult adoption proceedings stand at the center of the 

Trustees’ claims against the Defendants in the Bastrop County litigation pending 

under Cause No. 423-2681 and styled Kenneth Levien, Barry Levien and Philip 

Levien, Trustees on Behalf of the Trust Established under Article Seven of the Last 

Will and Testament of Arnold Levien, Plaintiffs v. Harlan Levien and Stephen 

Levien, Defendants. 

Relators, Scott Rhodes and Tim Whitten, assisted in the representation of 

Defendants, Harlan Levien and Stephen Levien, in the 2012 adoption proceedings

and as a result they have been identified by all parties during discovery and in 

required pre-trial filings as non-party trial witnesses in the Bastrop County suit 

which is set to begin trial before a jury on January 29, 2018. (Supp. MR 12; Supp. 

MR 14)

 1 In re Levien, 2015 Tex. App. LEXIS 4391 (Tex. App. – Austin April 30, 2015) (orig. 

proceeding) (mem. opinion); In re Levien, 2016 Tex. App. LEXIS 9409 (Tex. App. – Austin

August 26, 2016) (orig. proceeding) (mem. opinion)
2

In December 2016, during the discovery phase of the Bastrop County suit, 

Rhodes and Whitten were both deposed and subpoenaed to produce documents. 

(MR 3:218, 221; MR 4:334, 337) All objections and claims of privilege asserted 

during those depositions as well as those directed to the related subpoenas duces 

tecum have now been resolved, either by the parties Rule 11 Agreement 

(MR:7:466) or rulings from the 53rd District Court of Travis County where 

Relators sought relief pursuant to Tex. R. Civ. P. 176.6(e). (MR 9:502; Supp. MR 

15)

On June 14, 2017, Rhodes and Whitten were each served in Travis County 

with trial subpoenas issued by the Trustees in contemplation of a jury trial 

scheduled to commence in the Bastrop County litigation on October 16, 2017. 

(Supp. MR 16; Supp. MR 17) On that same date, under Cause No. D-1-GN-17-

001590 in the 53rd Judicial District Court of Travis County, Texas, Rhodes and 

Whitten filed Applications and Motions for Protection from the trial subpoenas. 

(Supp. MR 18; Supp. MR 19) On June 15, 2017 the Trustees filed separate

motions to compel discovery relating to matters involving Whitten and Rhodes 

depositions. (MR1:4; MR 2:116) 

Whitten and Rhodes motions for protection from the trial subpoenas were 

heard and denied by Judge Amy Clark Meachum, 201st Civil District Court Judge, 
3

on September 14, 2017. (MR8:489-490) 

Due to the events of Hurricane Harvey and its impact on the physical offices 

of Trustees’ trial counsel, the Trustees were forced to request a continuance of the 

October 16, 2017 trial setting which was granted during a status conference before 

the Bastrop County District Court on October 11, 2017. (MR 8:497, 499) Trial 

was reset to January 29, 2018. (MR 8:497) As a result, the Trustees issued new 

trial subpoenas to Rhodes and Whitten to appear and give testimony on January 31, 

2018 which subpoenas were duly served on Rhodes and Whitten in Travis County 

on October 25, 2017. (MR 8:491, 494) 

In light of Relators resistance to the Trustees prior trial subpoenas and the 

Travis County District Court’s rulings denying Relators request for protection, on 

October 30, 2017 the Bastrop County District Court signed Orders obligating 

Whitten and Rhodes to appear for trial on January 31, 2018 subject only to their 

right to seek further protective orders. (MR 8:497, 499)

On November 16, 2017 a hearing was held in Travis County to obtain 

rulings on the objections and privileges asserted during Whitten and Rhodes earlier 

depositions. (Supp. MR 15) At that hearing, Judge Meachum considered and 

ruled only on objections and privileges raised during Rhodes deposition. (Supp. 

MR 15) Judge Meachum ordered the parties to confer regarding the objections 

filed on Whitten’s behalf and set a timetable to address these matters. (Supp. MR 
4

15) Judge Meachum ultimately ruled on those matters for which an agreement 

could not be reached and signed an order regarding Whitten’s objections on 

December 15, 2017. (MR 9:502) 

On December 1, 2017, in the existing Travis County cause, Relators again 

filed an application for protective order regarding the trial subpoenas issued and 

served in connection with the January 2018 trial setting. (MR 6:439) The Trustees 

filed a written response opposing the motion for protective order. (MR 8:470) 

Defendants filed a written response taking the position that Relators presence as 

live witnesses at trial was unnecessary. (MR 10:511) Relators filed an additional 

reply (MR 11:515) and a hearing on Relators’ application was held on December 

19, 2017 before the Hon. David Phillips, Visiting Judge in the 53rd District Court 

of Travis County, Texas. (MR 12:562) Judge Phillips denied the Relators’ motion 

without prejudice to their right to seek further relief from the Bastrop County 

District Court presiding over the primary litigation. (MR 12:562) Relators have 

not sought protection in the Bastrop County District Court, but instead have filed 

this mandamus proceeding challenging Judge Phillips December 19, 2017 Order 

Denying Scott Rhodes and Tim Whitten’s Application and Motion for Protection. 

(MR 12:562)
5

SUMMARY OF THE TRUSTEES’ ARGUMENTS

By this mandamus proceeding, Relators seek to avoid their appearance as 

live witnesses at trial. The entire premise of Relators’ argument relies on the 

assertion that their expected trial examination will invade the attorney client and 

work product privileges. As a result, they contend that Judge Phillips December 

19, 2017 Order compelling their appearance at trial equates to an order forcing 

disclosure of privileged and protected information justifying mandamus relief.

First and foremost, the challenged Order does not speak to the scope of 

Relators’ testimony at trial but merely directs them to appear and give testimony in 

the Bastrop County proceedings on January 31, 2018. (MR 12:562) The 

subpoenas at issue are purely trial subpoenas which comply with the form required 

under Tex. R. Civ. P. 176.1 and Tex. R. Civ. P. 176.2. (MR 8:491, 494) Nothing in 

those rules require the Trustees to identify the nature or scope of the witnesses 

expected examination and as such it was impossible for the trial court to “prejudge” the admissibility of such testimony based solely on the Relators 

speculations. 

Enforceable trial court rulings and agreements between the parties which 

address all of the objections and privileges asserted during Whitten and Rhodes 

prior depositions already exist to protect against disclosure of the attorney client 

and work product privileged information which Relators detail as a concern within 
6

their mandamus petition, rendering this mandamus proceeding entirely moot on 

those issues before the petition was even filed.

To the extent that Relators face new and/or previously unchartered areas of 

questioning at trial which somehow implicates the provisions of Tex. R. Civ. P. 

192.5 (regarding protection of attorney work product) or Tex. R. Evid. 503 

(regarding protection of attorney client privileged information), Judge Duggan, 

presiding over the Bastrop County proceedings, is more than capable of addressing 

any and all objections and/or claims of privilege as they arise during trial, making 

this mandamus proceeding wholly unfounded as to those speculative matters.

Finally, there are numerous reasons which compel the Relators live 

testimony at trial, the most significant being to provide the jury an opportunity to 

judge their credibility and to afford the Trustees an opportunity to procure answers 

to the many questions which remain unanswered after orders overruling and/or 

agreements withdrawing objections and privileges can now be considered. Any 

potential benefits claimed by Relators in this mandamus proceeding do not 

outweigh the prejudice which will be caused by forestalling the Trustees’ right to 

fully and further examine Whitten and Rhodes as witnesses before a jury.
7

STANDARD OF REVIEW

A writ of mandamus will issue only to correct trial court actions when there 

has been a clear abuse of discretion and when the relator has no adequate remedy 

on appeal. Walker v. Packer, 827 S.W.2d 833, 839 (Tex. 1992). 

A trial court abuses its discretion when it acts in an unreasonable or arbitrary 

manner without reference to guiding rules and principles. Id. To obtain 

mandamus relief, Relators must establish that the trial court could reasonably have 

reached only one conclusion. Id. at 840. 

In this case, the trial court has properly exercised its discretion denying 

protection from a trial subpoena and directing Relators to attend and give 

testimony at trial, nothing more and nothing less. (MR 12:562) 

Although Relators do not specify a standard of review within their 

mandamus petition, they assert that the trial court’s December 19, 2017 challenged 

Order forces them to disclose privileged information justifying mandamus relief, 

citing In re Bexar County Criminal District Attorneys’ Office, 224 S.W.3d 182, 

185 (Tex. 2007) (orig. proceeding). The Trustees contend that Relators have 

grossly overstated the trial court’s ruling as well as the applicability of the 

Supreme Court’s decision in Bexar County, supra., arguing instead that under the 

requisite standards for mandamus review, no abuse of discretion has occurred. 
8

RESPONSE TO ISSUE ONE (Restated)

The trial court properly denied Relators’ application and motion for 

protection which sought to excuse their required appearance as nonparty witnesses at trial pursuant to trial subpoenas properly issued and 

served.

ARGUMENTS AND AUTHORITIES IN SUPPORT OF

RESPONSE TO ISSUE ONE

A. The Order challenged on mandamus does not compel disclosure of any 

specific testimony, privileged or otherwise.

Relators entire challenge upon mandamus is premised upon their claim that 

the trial court’s December 19, 2017 Order compels Whitten and Rhodes, prior 

attorneys for two of the Defendants in the Bastrop County litigation, to disclose 

privileged information about that representation. Clearly this claim overstates the 

terms of the Order they challenge which provides only the following:

[Whitten and Rhodes] shall appear in the 423rd District Court of 

Bastrop County, Texas, located at the Bastrop County Courthouse, 

804 Pecan Street, Bastrop, Texas 78602 at 9:00 a.m. on January 31, 

2018 to attend and give testimony at the trial relating to the case 

entitled “Kenneth Levien, Barry Levien and Philip Levien, Trustees on 

Behalf of the Trust Established under Article Seven of the Last Will 

and Testament of Arnold Levien, Plaintiffs v. Harlan Levien and 

Stephen Levien, Defendants" and filed under Cause No. 423-2681 

pending in the 423rd Judicial District Court of Bastrop County, Texas, 

and remain at that place from day to day until discharged by the Court 

or Ellen A. Yarrell. 

(MR 12:562)

Relators mandamus challenge of this simple directive for their appearance at 

trial relies solely on their subjective belief that the only testimony they can 
9

possibly provide will be testimony subject to protection under either the attorney 

client privilege or the attorney work product doctrine. The mandamus record 

establishes that this is simply not the case. 

The Trustees note that there were a variety of questions and topics revealed 

during the Relators prior depositions to which no objections and/or privileges were 

ever asserted, including time frames of representation, when or if they met with 

any of the Defendants, specific client identification and questions regarding their 

billing. (MR 1: 21, 29-31, 38-39 , 57, 76, 81, 92 and 96; MR 2: 147, 157, 171, 

172) All of these areas of examination live at trial are clearly permitted. 

Further, regarding those deposition questions to which objections and/or 

privileges were raised, subsequent trial court orders which overrule some of these 

claims as well as subsequent agreements between the parties withdrawing a 

number of those prior objections leave numerous questions wholly unanswered by 

both Whitten and Rhodes, making it necessary for them to now answer those 

questions live at trial. (MR 1:37, 43, 45, 46, 62- 63, 65, 72, 73, 75-76, 79, 82-83; 

MR 2:141, 145, 147, 153, 154, 183, 191; MR 7:466; MR 9:502; Supp. MR 15) 

Finally, discovery taking place after Whitten and Rhodes were deposed 

identified areas for examination of these two witnesses not yet covered in their 

depositions and to the extent that all discovery deadlines have now passed under 
10

the applicable Docket Control Order, the Trustees may only seek answers to these 

new questions through an examination of the witnesses at trial. (Supp. MR 20)

For these and other strategic reasons, the Trustees issued general trial 

subpoenas in the form required by Tex. R. Civ. P. 176.1 and 176.2 which were 

properly served on Whitten and Rhodes. (MR 8:491, 494) These subpoenas did 

not specify the nature or scope of the witnesses expected examination, nor were 

they required to. Even so, Whitten and Rhodes incorrectly presume that no 

testimony they can offer at trial will be outside the protective bubble of the 

attorney client or work product privilege. Based solely on this speculative 

misconception, they sought protection under the auspices of Tex. R. Civ. P. 

192.5(b)(2) which requires a showing by the requesting party of substantial need 

for the information which cannot be obtained without undue hardship before the 

information may be compelled. (MR 6:439) Relators approach to their application 

for protection, and hence their arguments on mandamus, are completely misplaced.

Tex. R. Civ. P. 176.6(e), authorizing an individual to seek protection from a 

subpoena, implicates the provisions of Tex. R. Civ. P. 192.6(b) which gives the 

trial court discretion to grant a protective order as necessary to protect against any 

number of concerns including the invasion of personal rights and the protection 

against disclosure of attorney work product as detailed in Tex. R. Civ. P. 192.5. 

(... “the court may make any order in the interest of justice” ...) (Emphasis added) 
11

If warranted, the trial court may order that (1) the requested inquiry not be sought 

in whole or in part; (2) the extent or subject matter of the inquiry be limited; (3) the 

inquiry not be undertaken at the time or place specified; (4) the inquiry be 

undertaken upon terms or conditions as directed by the court; or (5) the results of 

the inquiry be sealed or otherwise protected. Tex. R. Civ. P. 192.6(b)(1-5)

(Emphasis added)

In this case, Relators attempted to transform a general, straightforward trial 

subpoena into a specific, detailed request for protected and privileged information 

by hypothesizing and speculating on the scope of the Trustees’ expected 

examination of them at trial solely because Relators are attorneys who previously 

represented two of the Defendants in proceedings relevant to the Bastrop County 

litigation. In doing so, Relators narrowly focused their arguments supporting 

protection in the trial court (and now on mandamus) on the Texas Supreme Court’s 

holding in In re Bexar County Criminal District Attorney’s Office, supra., 

specifically addressing the standards to discover attorney work product. In turn, 

this focus improperly attempted to shift the burden of securing a protective order 

from the Relators to the Trustees. This narrow and limited attack on an otherwise 

broad, general trial subpoena is misplaced and Whitten and Rhodes deserve no 

special treatment under the circumstances simply because they are lawyers to 

which attorney client and work product privileges may apply.
12

In the context of discovery, it has been said that such privileges were never 

intended to foreclose any opportunity to depose or examine an attorney, but rather 

only precludes those questions which may somehow invade upon the attorneyclient confidences. Borden, Inc. v. Valdez, 773 S.W.2d 718, 720-21 (Tex. App.—

Corpus Christi 1989, no writ). An attorney may not avoid examination in its 

entirety merely because some matters may be privileged, but must object when 

those inquiries are raised. Id. Other matters may exist which are not privileged

and which an attorney may be called upon to answer ... [f]or instance, the

attorney-client privilege certainly does not encompass such nonconfidential

matters as the terms and conditions of an attorney's employment and the purpose

for which an attorney has been engaged.” Id. citing Duval County Ranch v. Alamo

Lumber Co., 663 S.W.2d 627, 634 (Tex. App. – Amarillo 1983, writ ref’d n.r.e.)

and Jim Walter Homes, Inc. v. Foster, 593 S.W.2d 749, 752 (Tex.. App. --

Eastland 1979, no writ). These principles should apply equally in the context of an

attorney’s examination, whether at a deposition or during testimony at trial.

In this case, the trial court clearly took a much broader view of the Relators 

protective order issue, that being whether or not the witnesses should appear live at 

trial. Ultimately in the exercise of its discretion over that issue, the trial court 

determined that the Trustees’ basis for having Whitten and Rhodes appear live at 

trial outweighed any of the reasons offered to support a motion for protection,
13

clearly trusting that Relators potential concerns, if any, could be ably addressed by 

Judge Duggan while presiding over their testimony at trial in the Bastrop County 

litigation.

Because the trial court properly exercised its discretion and more 

significantly, did not order the disclosure of privileged or protected information, 

mandamus should be denied.

B. Existing trial court rulings already protecting the disclosure of privileged 

information from Whitten and Rhodes render mandamus moot.

The Trustees cannot fault Relators, as attorneys, for consistently seeking to 

guard against the disclosure of privileged or protected information regarding their 

former clients. However, in asserting their arguments which seek to completely 

foreclose their live testimony at trial, Relators fully ignore that the majority of their 

concerns as argued before the trial court and now raised in this mandamus have 

already been addressed. 

Whitten and Rhodes were previously deposed in December 2016. 

(MR3:221; MR 4:337) Numerous objections and claims of both attorney and work 

product privilege were asserted during their deposition testimony as well as to the 

corresponding subpoenas duces tecum. (MR 2:198; MR 3:310) Many of these 

objections were withdrawn by a Rule 11 Agreement executed by the parties’ 

shortly before the December 2017 hearing. (MR 7:466) All other objections and 

claims of privilege arising in connection with Relators’ depositions were ruled 
14

upon by the Travis County District Court. (MR 9:502; Supp. MR 15) The effect 

of these rulings narrowed the scope of Whitten and Rhodes testimony at trial on 

those matters to which Relators’ and/or Defendants’ objections were sustained. As 

argued below, these rulings also identified additional questions which would now 

need to be answered where objections were either overruled or withdrawn. 

Within their mandamus petition, Relators identify numerous deposition 

questions posed by the Trustees counsel as examples of the examination they 

predict will occur at trial. (See Petition, pp. 3-4) The Trustees point out that as to 

Whitten’s deposition, all objections raised to the specific questions identified were 

sustained except one which was overruled and one question was withdrawn by the 

plaintiffs. (MR 9:502; MR 7:466) As to Rhodes, all objections raised to the 

questions listed were sustained except one objection which Relators withdrew by 

agreement. (Supp. MR 15; MR 7:466) As such, the Trustees counsel is precluded 

from making a majority of those specific inquiries again at trial and as a result, the 

Relators’ argument is moot, having been resolved before it was even lodged.

It should also be noted that Judge Duggan’s privilege rulings from 

December 2014 remain in effect and exist to further protect Whitten and Rhodes 

from being compelled to testify regarding documents which have been fully 

protected and remain unavailable to the Trustees for their use at trial, narrowing 

the scope of their examination even further. (MR 11:554) 
15

In effect, the prior trial court rulings, particularly those protecting disclosure 

of matters protected by the attorney client and work product privileges, already 

exist and operate to limit or narrow the scope of Whitten and Rhodes testimony 

before the jury, resolving the Relators’ concerns raised in the trial court and now 

asserted on mandamus. 

Citing, In re Kellogg Brown & Root, Inc., 166 S.W.3d 732, 737 (Tex. 2005), 

this Court has held that “[a]n issue becomes moot if a controversy ceases to exist 

between the parties at any stage of the legal proceedings.” 

Stoufflet v. Stoufflet, 2009 Tex. App. LEXIS 1899, at *24 (Tex. App. – Austin 

March 20, 2009, no pet.). Further, the Texas Supreme Court has acknowledged 

that mandamus should not issue "if for any reason it would be useless or 

unavailing," citing Holcombe v. Fowler, 118 Tex. 42, 9 S.W.2d 1028, 1028 (Tex. 

1928). Dow Chem. Co. v. Garcia, 909 S.W.2d 503, 505 (Tex. 1995). In this case, 

the Trustees contend that the prior trial court rulings already address the identified 

issues and concerns which Relators now bring before this Court and nothing 

remains to be addressed on those matters. 

To the extent that there may be new questions propounded at trial which 

may trigger new concerns regarding protected information, Whitten and Rhodes 

clearly maintain the right to object at that time and Judge Duggan presiding over 

the Bastrop County litigation will be available to rule. Because it would have been 
16

impossible for Judge Phillips to pre-judge these issues before the Relators 

examination was underway, he did not abuse his discretion in denying the 

Relators’ application for protection. In re Hays County Crim. Dist. Attorney’s

Office & Texas Dept. of Family and Protective Servs., 2010 Tex. App. LEXIS 

8088 *7-8 (Tex. App. – Austin October 1, 2010, orig. proceeding).

C. The extraordinary remedy of mandamus under the circumstances presented 

is clearly unfounded.

If the Relators issues are not moot, then the Trustees contend that mandamus 

regarding the appearance of Whitten and Rhodes as witnesses at trial is 

nevertheless unfounded under the circumstances.

Trial in the Bastrop County litigation will not commence until January 29, 

2018. (Supp. MR 20) Whitten and Rhodes are not compelled to appear until 

January 31, 2018. (MR 8:491, 494) Not a single question before the jury to be 

impaneled has been asked and objections as authorized by the rules have not yet 

been lodged or ruled upon. To the extent that any previously unaddressed 

concerns regarding the admissibility of Relators’ testimony may arise during trial, 

those can and will be addressed by the court at that time. It is fundamental that an

appellate court has no jurisdiction to render an advisory opinion on a controversy

that is not yet ripe. City of Garland v. Louton, 691 S.W.2d 603 (Tex. 1985);

Camarena v. Tex. Emp't Comm'n, 754 S.W.2d 149, 151 (Tex. 1988). Furthermore, 

any perceived error affecting the jury’s verdict and ultimately the trial court’s 
17

judgment which may be claimed as to rulings made during Relators live testimony 

before the jury may be asserted on appeal, proscribing the right to mandamus relief 

altogether when an adequate remedy by appeal is afforded. Walker v. Packer, 827 

S.W.2d at 839.

D. Mandamus relief will severely prejudice the Trustees right to prosecute their 

claims and will foreclose a credibility determination by the jury. 

In addition to the foregoing arguments, there are any number of reasons why 

Whitten and Rhodes should appear at trial to testify, establishing that the Order 

compelling them to do so was not a clear abuse of discretion.

1. The jury should be allowed to judge the witnesses’ credibility.

The Bastrop County litigation is set to be tried before a jury and in those 

circumstances the jurors will be the sole judges of the credibility of the witnesses 

and the weight to give their testimony. City of Keller v. Wilson, 168 S.W.3d 802, 

819 (Tex. 2005).

Although a party may use deposition testimony in lieu of live testimony at 

trial, Tex. R. Civ. P. 206.6(b), this may not always be appropriate for strategic or 

other reasons. Here, while Whitten and Rhodes were both deposed, those 

depositions were only recorded by stenographic means and no video was taken. 

(MR 3:221; MR 4:337) As such, reading their deposition testimony into evidence 

would not afford the jury the opportunity to observe the witnesses demeanor or 

consider the tone and inflection in their voices, experiences which are recognized 
18

as vital to a trier of fact when determining credibility. Echols v. Olivarez, 85

S.W.3d 475, 477 (Tex. App.--Austin 2002, no pet.).

2. Evidentiary rulings and the withdrawal of objections subsequent to the 

Relators depositions leave questions unanswered.

Counsel for Whitten and Rhodes asserted numerous objections and 

privileges during their deposition leaving many questions unanswered. (MR 

3:221; MR 4:337) As already stated, subsequent trial court orders overruling some 

of these objections now permit the Trustees to obtain those answers. (MR 9:502; 

Supp. MR 15) Further, Relators actually withdrew some of their objections and/or 

assertions of privilege to questions asked but not answered during their 

depositions, leaving those to now be answered as well. (MR 7:466) Pursuant to 

the effective Docket Control Order, discovery is now closed making the Relators 

appearance at trial to provide their responses to all of these matters necessary. 

(Supp. MR 15)

3. Discovery occurring after the Relators depositions generate new areas 

of examination.

Whitten and Rhodes were deposed in December 2016. (MR 3:221; MR 

4:337) Thereafter, discovery in the Bastrop County litigation was ongoing, 

including depositions of the Defendants themselves, which has identified 

additional inquiries to be made of Whitten and Rhodes. For example, subsequent 
19

discovery revealed certain conflicting testimony between Whitten and Ives which 

the Trustees are permitted to explore at trial.

Specifically, Whitten expressly testified during his deposition that he did not 

represent Defendant Kenneth Ives during the 2012 adult adoption proceedings. 

(MR 1:96, lines 8-11) In contrast, Ives testified that he considered Whitten to be 

his counsel. (Supp. MR 21:173, lines 17-25) Resolution of this conflicting 

testimony may bear on the application of the attorney client privilege as to 

communications between or including these individuals and those may not be fully 

revealed until trial.

4. By taking Relators’ depositions, the Trustees did not waive their right 

to subpoena the Relators as witnesses for trial.

Clearly, depositions are a discovery tool designed to elicit and secure sworn 

testimony for possible use at trial but nothing in the rules forces a party to choose 

between the use of a deposition or live testimony. Propounding questions during a 

deposition does not waive a party’s right to ask those same questions again at trial

if for strategic reasons counsel determines live testimony makes a more favorable 

presentation. There may be significant differences between how a witness reacts to 

a question during the more private setting of a deposition as opposed to what they 

exhibit in a courtroom before a jury. Counsel may strategically choose to take a 

basic, investigative deposition, while reserving questions on certain issues for 

examination during trial. 
20

The Supreme Court has noted, the proper presentation of a client's case

demands that an attorney be able to plan his or her strategy without undue and

needless interference. Nat'l Union Fire Ins. Co. v. Valdez, 863 S.W.2d 458, 461

(Tex. 1993). Granting Relators motion for protection from general trial subpoenas

would needlessly interfere with the Trustees presentation of their case and was not

warranted here.

In this case, there is absolutely no basis for interfering with the Trustees’

right to call Whitten and Rhodes as live witnesses at trial and examine them fully

within the parameters of the trial court’s existing rulings on protected information

and/or the applicable rules of evidence.

5. Relators’ suggestion that this Court’s prior mandamus decision 

excuses their testimony at trial is misplaced.

Relators argue that this Court’s prior decision in In re Levien, 2015 Tex. 

App. LEXIS 4391 (Tex. App. – Austin April 30, 2015) (orig. proceeding), 

somehow excuses their testimony at trial. Relators cite to the language in that 

Opinion which suggested that the “only relevant considerations [related to an adult 

adoption] seem to be whether the petitioner resides in this State, whether the 

petition was filed in an appropriate district court of statutory county court, whether 

the petitioner’s spouse joined the petition, whether the adult to be adopted 

consented in writing, and whether the petition and the adult to be adopted were 

present at the hearing.” Id. at *13. (See Petition, p. 12) Relators assert that any 
21

testimony they have to offer would be unrelated to these issues and/or that other 

evidence, including testimony from the Defendants themselves, could supply all of 

this information.

In the Bastrop County litigation, the Trustees have directly attacked the trial 

court’s subject matter jurisdiction over Stephen’s 2012 adoption of Ives, asserting 

that Stephen was not a Texas resident at the time of those proceedings and 

therefore the adoption order is void. (Supp. MR 22) This disputed issue will be 

resolved at trial by the jury.

As the attorneys responsible for preparation of the adult adoption pleadings 

which represented Stephen’s Texas residency to the trial court in 2012, Whitten 

and Rhodes testimony regarding the extent of their knowledge and/or investigation 

of the facts relevant to this issue is directly relevant to the jurisdiction issue as well 

as to claims involving fraud upon the trial court in pursuit of the adult adoptions. 

The Trustees did not fully explore this topic with Relators during their depositions 

because they planned to do so at trial and there is no reason why they should be 

denied this opportunity. As such, this Court’s 2015 mandamus decision actually 

encourages Whitten and Rhodes appearance as witnesses at trial in order to 

promote a full examination of the relevant facts necessary to resolve the disputed 

jurisdictional issue presented in this case.
22

6. In summary, mandamus is not warranted.

All of foregoing arguments demonstrate that excusing Whitten and Rhodes 

from testifying at trial would severely prejudice the Trustees ability to present all 

relevant evidence for the jury’s consideration. Existing and enforceable pre-trial 

orders protect their concerns regarding disclosure of privileged and protected 

information and Judge Duggan remains in place to address any further issues 

which may arise at trial. Overall, Relators have not established how the benefits of 

mandamus as addressing their concerns will outweigh the prejudice caused by 

forestalling the Trustees’ right to examine them as witnesses during trial.

CONCLUSION AND PRAYER

Based on the arguments asserted herein, Real Parties’ In Interest, 

KENNETH LEVIEN, BARRY LEVIEN & PHILLIP LEVIEN, Trustees, request

this Court to deny mandamus relief. Real Parties’ in Interest request such other 

relief to which they may show themselves entitled.
23

Respectfully submitted,

 /s/ Sallee S. Smyth /s/ Ellen A. Yarrell 

SALLEE S. SMYTH ELLEN A. YARRELL

Attorney at Law Ellen A. Yarrell, P.C.

SBT# 18779400 SBT# 22138500

800 Jackson Street 2900 Weslayan, Suite 350

Richmond, Texas 77469 Houston, Texas 77027

(281) 238-6200 (713) 621-3332

(281) 238-6202 (Fax) (713) 621-3669 (Fax)

smyth.sallee@gmail.com ellen@eayatty.com

Attorneys for Real Parties’ In Interest

Trustees on Behalf of the Trust Established under

Article Seventh of the Last Will and Testament of Arnold Levien

CERTIFICATE OF COMPETENT EVIDENCE

Pursuant to Tex. R. App. P. Rule 52.3(j), I certify that I have reviewed this 

Response to Petition for Writ of Mandamus and concluded that every factual 

statement in the response is supported by competent evidence included in the 

mandamus record and any supplements thereto.

 /s/ Sallee S. Smyth 

SALLEE S. SMYTH

Attorney for Real Parties’ in Interest
24

CERTIFICATE OF SERVICE

I certify that a true copy of the above Response to Petition for Writ of 

Mandamus was served on the following counsel of record in accordance with the 

Texas Rules of Civil and Appellate Procedure on this the 4th day of January, 

2018:

Kevin J. Terrazas

VIA EMAIL at kterrazas@clevelandterrazas.com

Attorney for Relators

John Kinchen

VIA EMAIL at jkinchen@hakllp.com

Attorney for Real Parties in Interest, the Defendants

Luis A. Fabrega

VIA EMAIL at lfabrega@fabregahood.com

Attorney for Real Parties in Interest, the Defendants

Judge David Phillips, Respondent

Travis County District Judges Office

VIA EMAIL at Lorraine.elzia@traviscountytx.gov

Judge Christopher D. Duggan

423RD District Court

804 Pecan Street

Bastrop, Texas 78602

VIA FEDERAL EXPRESS DELIVERY

 /s/ Sallee S. Smyth 

SALLEE S. SMYTH
25

CERTIFICATE OF COMPLIANCE

Pursuant to Tex. R. App. P. Rule 9.4(i)(3), I certify that there are 4,999

words within this document exclusive of those contained in the caption, table of 

contents, index of authorities, issues presented, statement of the case, signatures, 

certificate of competent evidence, proof of service, and certificate of compliance, 

as tabulated by the computer program used in conjunction with the preparation of 

this document.

 /s/ Sallee S. Smyth 

SALLEE S. SMYTH