The moving parties in a contested estate proceeding sought third-party production from FundEX, a mutual fund dealer where the estate trustee formerly worked as a financial advisor.
The moving parties alleged the estate trustee acted in a conflict of interest by holding dual roles.
FundEX resisted production, arguing Rule 30.10 does not apply to applications.
The court held that because a small claims action had been consolidated with the applications, Rule 30.10 applied.
The court also noted its jurisdiction under Rules 74 and 75 to order third-party production in contested estate matters.
FundEX was ordered to produce its compliance manuals and documents related to a regulatory investigation, but not communications involving the estate trustee, which should be sought from him directly.
