Key Takeaways:

  • Undue influence occurs when a person's free will is overridden through manipulation, deception, or pressure.
  • Four elements must be proven to establish undue influence: susceptibility of the victim, opportunity, exercise of influence, and an unnatural or suspicious transaction.
  • Common relationships where undue influence occurs include parent-child, attorney-client, doctor-patient, and trustee-beneficiary.
  • Undue influence vs. duress: Duress involves force or threats, while undue influence relies on psychological or emotional manipulation.
  • Three variables of undue influence: Predisposing factors (susceptibility), vulnerability enhancers, and execution strategies.
  • Legal implications: Courts analyze transactions, relationships, and circumstantial evidence to determine undue influence.
  • Preventative measures: Regular legal review, independent witnesses, and monitoring vulnerable individuals can help mitigate undue influence.
  • Is undue influence a crime? While not always criminal, undue influence can lead to civil lawsuits, financial penalties, or even criminal fraud charges.

Undue influence is when the free will and judgment of an individual is tampered with through persuasion using devices such as trickery, insinuations, deception, and flattery.  

Overview of Undue Influence

When undue influence is being established, four elements must be present. 

1. It must be shown that the victim was susceptible. Conditions such as a physical disability, physical dependency, and psychological or mental conditions may be used to show susceptibility.

2. The opportunity must exist for undue influence to take place. Undue influence has occurred between:

  • Parent and child
  • Husband and wife
  • Trustee and beneficiary
  • Attorney and client
  • Pastor and parishioner
  • Doctor and patient
  • Administrator and legatee
  • Guardian and ward
  • Fiancé and fiancée

3. Evidence must be presented showing that the defendant exercised undue influence over the victim. A defendant who is aggressive in isolating a person from having a relationship with others or discouraging someone from speaking to others for advice may be viewed as exercising undue influence. 

4. Records must disclose a suspicious or otherwise unnatural transaction. An example would be changes made to a last will and testament by a family member of a person diagnosed with a terminal illness where the family member would stand to benefit from the modification. Courts also know that undue influence may be used by those who are vindictive and use the doctrine to invalidate a legal transaction made strictly for personal gain.

Proving undue influence requires one party to show that another party to the contract has weaknesses making that person susceptible to persuasion and that the person doing the persuading is close to the victim, making them more susceptible. 

Undue Influence is a concern in situations when trusts, wills, deeds, and those with significant financial assets are involved, especially for the elderly or frail individuals and those who are debilitated. Persuasion involved with undue influence most often takes place in locations where no witnesses are available to make observations.

Other situations where undue influence is often present include:

  • Domestic violence
  • Hostage situations
  • Telemarketing calls
  • Cult meetings
  • When a person is held as a prisoner of war
  • The committing of white collar crimes

Undue influence is similar but not the same as duress. When duress is claimed, it is because there has been an intentional use of force or a threat of force to coerce another person into an unfair situation. Examples of duress include extortion, blackmail, and bad faith threats.

Legal Consequences of Undue Influence

Undue influence is typically addressed in civil court rather than criminal court. However, in certain cases, it may lead to criminal charges such as fraud, elder abuse, or financial exploitation. The consequences of undue influence depend on the jurisdiction and the specific circumstances of the case. Some potential legal actions include:

  • Civil Lawsuits: Affected parties may challenge contracts, wills, or financial transactions in probate or civil court.
  • Contract Rescission: If undue influence is proven, courts may void or amend contracts or agreements.
  • Estate Litigation: Undue influence is often alleged in disputes over wills and trusts, leading to contested probate cases.
  • Criminal Penalties: In severe cases, undue influence may be classified as elder financial abuse or fraud, leading to criminal charges, fines, or imprisonment.
  • Punitive Damages: Courts may impose additional damages to punish individuals who exploited a vulnerable party.

Since undue influence often involves coercion and psychological manipulation rather than direct force, proving it can be complex. Courts consider witness testimonies, expert analysis, and circumstantial evidence when making a determination.

Three Variables of Undue Influence

The three variables of undue influence are predisposing factors, vulnerability enhancers, and execution variables. 

The presence of these factors significantly increases the likelihood of undue influence occurring. There are many reasons why an individual may become successfully manipulated, such as mourning the death of a loved one, suffering deep depression, needing lots of attention, experiencing anxiety, depending on other people for physical assistance, and suffering from a medical condition. In each of these situations, the individuals are vulnerable to exploitation and may be maneuvered into performing acts they would not otherwise do.

Several types of individuals exist who are adept at taking advantage of vulnerable individuals. These include the con artist, the psychologically damaged person, the perpetrator, and the devious person. 

Con Artist

This person is aware of potential monetary situations for someone and strives to divert the funds to themselves.

Psychological

This person seeks individual gratification for themselves through the manipulation of others.

Perpetrator

This person does not start out with bad intentions but over time comes to realize they can exploit another individual for their own gain. The temptation to do so is too hard for them to resist.

Devious

Devious people most often find it a relatively easy task to increase the dependency level of someone who is vulnerable.

In the event that a case of undue influence is brought before the court, preparation requires a deep understanding of psychology along with proper investigation and documentation. When the three variables of psychological "stages" that resulted in undue influence are presented along with illustrations pertaining to the case, each plays an integral role to successful undue influence litigation and makes it easier for a judge or a jury to understand what has transpired. 

Recognizing and Preventing Undue Influence

Awareness of undue influence is essential for protecting individuals, especially the elderly or those in vulnerable situations. Some key warning signs include:

  • Isolation: The influencer prevents the victim from contacting friends, family, or legal counsel.
  • Abrupt Changes in Legal Documents: Last-minute modifications to wills, trusts, or contracts favoring one party disproportionately.
  • Dependency: The victim relies heavily on the influencer for physical, emotional, or financial support.
  • Uncharacteristic Financial Transactions: Large sums of money or assets transferred to the suspected influencer.
  • Fear or Hesitation: The victim appears anxious, reluctant, or confused about legal decisions.

How to Prevent Undue Influence

  • Legal Oversight: Regular legal reviews and professional involvement in major financial or estate planning decisions.
  • Independent Witnesses: Ensuring that legal documents, including wills and contracts, are executed in the presence of neutral parties.
  • Monitoring and Support: Families and legal representatives should remain actively involved in the lives of at-risk individuals.
  • Educating Vulnerable Individuals: Raising awareness about undue influence and common tactics used by manipulators.
  • Establishing Guardianships or Conservatorships: For individuals unable to make independent legal or financial decisions, a legal guardian can provide oversight.

Frequently Asked Questions

  1. Is undue influence a crime?
    Undue influence is primarily a civil matter, but in cases of fraud, financial exploitation, or elder abuse, it may lead to criminal charges.
  2. How do courts determine undue influence?
    Courts evaluate the relationship between the parties, behavioral patterns, financial transactions, and witness testimony to establish undue influence.
  3. What is the difference between undue influence and duress?
    Duress involves threats or physical coercion, while undue influence relies on psychological pressure, deception, or manipulation.
  4. How can I prove undue influence in court?
    Evidence such as suspicious financial transactions, testimonies from witnesses, and expert analysis can help prove undue influence.
  5. What legal remedies are available for undue influence cases?
    Courts may void contracts, reverse asset transfers, invalidate wills, and in some cases, impose criminal penalties for fraudulent actions.

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