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*This outline is adapted from Chapter 27, Ethical Responsibilities,
Norton Bankruptcy Law & Practice 2d (Thomson-West 2005)
ization plan. In re Hechinger Inv. Co. of Del., 285 B.R. 601 (D. Del. 2002). A trustee appointed under the SIPA is empowered to waiver the debtor's privilege. Securities Investor Protection Corp. v. Strattoon Oakmont, Inc., 213 B.R. 433 (Bankr. S.D.N.Y. 1997).
459 United States v. Campbell, 73 F.3d 44 (5th Cir. 1996); Meoli v. American Medical Service of San Diego, 287 B.R. 808 (S.D. Cal. 2003).
460 In re A&T Paramus Co., Inc., 253 B.R. 606 (Bankr. D. N.J. 1999).
461 CFTC v. Weintraub, 471 U.S. at 356-57.
462 In re Smith, 24 B.R. 3 (Bankr. S.D. Fla. 1982); see In re Fairbanks, 135 B.R. 717 (Bankr. D. N.H. 1991)(chapter 7 debtor left state and could not act for himself; trustee could waive privilege).
463 McClarty v. Gudenau, 166 B.R. 101 (E.D. Mich. 1994); In re Tippy Togs of Miami, Inc., 237 B.R. 236 (Bankr. S.D. Fla. 1999); In re Hunt, 153 B.R. 445 (Bankr. N.D. Tex. 1992); In re Silvio de Lindegg Ocean Developments of America, Inc., 27 B.R. 28 (Bankr. S.D. Fla. 1982).
464 In re Foster, 188 F.3d 1259 (10th Cir. 1999), reversing and remanding 217 B.R. 631 (Bankr. D. Colo. 1997); In re Bame, 251 B.R. 367 (Bankr. D. Minn. 2000); In re Miller, 247 B.R. 704 (Bankr. N.D. Ohio 2000); In re Bazemore, 216 B.R. 1020 (Bankr. S.D. Ga. 1998); In re Williams, 152 B.R. 123 (Bankr.
N.D. Tex. 1992); see In re Rice, 224 B.R. 464 (Bankr. D. Or. 1998)(trustee may not waive privilege if debtor continues to hold interest in litigation through exemption).
465 Bazemore, 216 B.R. at 1025; Foster, 217 B.R. at 638 (privilege passes to trustee to recover estate assets in nature of prepetition civil actions); see also In re Eddy, 304 B.R. 591 (Bankr. D. Mass. 2004) (chapter 7 trustee may waive privilege of individual formerly Chapter 11 DIP with respect to communications relating to administration of property of the estate).
466 188 F.3d at 1268-69.
467 In re Williams, 152 B.R. at 127; In re Hendrick, 56 B.R. 280 (Bankr. M.D. La. 1985)(applying criteria of Garner v. Wolfinbarger, 430 F.2d 1093 (5th Cir. 1970) cert. denied, 401 U.S. 974 (1971)); see Louisiana World Exposition v. FDIC, 858 F.2d 233 (5th Cir. 1988)(duty to pursue claims adverse to DIP
management).
468 In re Bame, 251 B.R. 367 (Bankr. D. Minn. 2000).
469 Citibank N.A. v. Andros, 666 F.2d 1192 (8th Cir. 1981); In re Boileau, 736 F.2d 503 (9th Cir. 1984); In re Indiantown Realty Partners Ltd. Partnership, 270 B.R. 532 (Bankr. S.D. Fla. 2001); In re National Trade Corp., 76 B.R. 646 (N.D. Ill. 1987); In re Carter, 62 B.R. 1007 (Bankr. C.D. Cal. 1986); see Odmark v. Westside Bancorporation, Inc., 636 F.Supp. 552 (W.D. Wash. 1986)(FSLIC receiver).
470 In In re Bevill, Bresler & Schulman Asset Management Corp., 805 F.2d 120 (3d Cir. 1986) the court described a 5-factor test for establishing such a relationship: (1) the individual approached counsel for legal advice; (2) the individual made it clear she was seeking advice in her individual capacity; (3) counsel communicated with her as an individual, knowing a conflict could arise; (4) the conversations with counsel were confidential; and (5) the substance of the conversations with counsel did not concern matters regarding the general affairs of the company. See also In re Braniff, Inc., 153 B.R. 941 (Bankr.
M.D. Fla. 1991)(but individuals entitled to discovery of privileged documents prepared by, addressed to, or copied to them); In re United Utensils Corp., 141 B.R. 306 (Bankr. W.D. Pa. 1992); In re Carter, 62
B.R. 1007 (Bankr. C.D. Cal. 1986); In re Michigan Boiler & Engineering Co., 87 B.R. 465 (Bankr. E.D. Mich. 1988); In re Standard Financial Management Corp., 77 B.R. 324 (Bankr. D. Mass. 1987).
471 Marcus v. Parker (In re Subpoenas Duces Tecum Dated March 16, 1992), 978 F.2d 1159 (9th Cir. 1992); In re Baldwin-United Corp., 38 B.R. 802 (Bankr. S.D. Ohio 1984); PBGC v. Pincus, 42 B.R. 960
(E.D. Pa. 1984)(attorney-client relationship between committee counsel and each creditor); but see In re Christian Life Center, 16 B.R. 35 (Bankr. N.D. Cal. 1981)(no privilege recognized where claim that com
