Guideline for Complaints filed with the Fiduciary Certification Program of the Arizona Supreme Court

1.  Read The Arizona Revised Statutes (ARS) as it relates to Fiduciaries.  It can easily be found on the internet.

2.  Read The Arizona Code of Judicial Administration (ACJA) as it relates to Fiduciaries.  Look on the internet.

3.  Read the Fiduciary Code of Conduct. Again, look on the internet.

4.  Important: You should address your complaints to specific violations of the above or your complaint may be dismissed.  

5.  A general complaint that "The Fiduciary doesn't respect me.", was simply dismissed by the Fiduciary Certification Program.  
    The Fiduciary Code of Conduct requires a Fiduciary to treat people with respect.  Enforcement is lacking.

6.  General complaints that the Fiduciary failed to file complete and accurate accounting documents with the court, 
    have been dismissed if Probate Court approved the flawed accounting.  
    Maricopa County Probate Court has approved flawed, inept, confusing, and incompetent accounting without question.  

7.  Complaints of missing checks and check numbers in the final accounting have been dismissed as a mere "technical violation" 
    (see complaints 01-0008 and the investigative report of 03-0005).  Of course, this is a "License to Steal"!  
    If a fiduciary writes a check to himself (or anyone else) from the estate account, and doesn't account for it, 
    neither Probate Court nor the Fiduciary Certification Program will force him to reveal it. Enforcement is lacking.

8.  Complaints of "Excessive fees" were simply dismissed.  There is a legal requirement for Fiduciary fees to be reasonable.
    Enforcement is lacking.

9.  A Fiduciary failed to perform his duties in a timely manner, yet no sanction was issued.  
    It appears that if the Fiduciary Certification Program finds no substantive harm, then the fiduciary 
    will escape punishment.  The Code of Conduct requires a fiduciary to be timely.  Enforcement is lacking.

10. A complaint of the Fiduciary "Exceeding their Authority" was ruled as a "Technical Error" by the 
    Fiduciary Certification Program and no sanction resulted.  Enforcement is lacking.

11. A complaint of the Fiduciary refusing to provide the family with an accounting of an estate, was simply dismissed by the 
    Fiduciary Certification Program.  Arizona Revised Statutes require fiduciaries to account to the beneficiaries, 
    yet, such complaints frequently get dismissed. Enforcement is lacking.

12. The Fiduciary Certification Program discovered that Southwest Fiduciary failed to file a Closing Statement with Probate Court.  
    This was ruled another "Technical error" and no sanction was issued.  Enforcement is lacking.

13. Don't let a fiduciary get away with flawed and incompetent accounting.  Make them account for every asset and every expense -
    including accounting for ALL check numbers.  Require them to conform to accepted professional standards!

Read Arizona law and Codes of Conduct relating to fiduciaries, personal representatives and trustees.  
Specifically point out in your complaint each instance where a fiduciary appears to have violated the rules, and  
Your complaint will have a better chance of being upheld by the Fiduciary Certification Program.