Bellis v. United States

417 U.S. 85, 94 S. Ct. 2179, 40 L. Ed. 2d 678, 1974 U.S. LEXIS 58, 39 A.F.T.R.2d (RIA) 815
CourtSupreme Court of the United States
DecidedMay 28, 1974
Docket73-190
StatusPublished
Cited by521 cases

This text of 417 U.S. 85 (Bellis v. United States) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Bellis v. United States, 417 U.S. 85, 94 S. Ct. 2179, 40 L. Ed. 2d 678, 1974 U.S. LEXIS 58, 39 A.F.T.R.2d (RIA) 815 (1974).

Opinions

Mr. Justice Marshall

delivered the opinion of the Court.

The question presented in this case is whether a partner in a small law firm may invoke his personal privilege against self-incrimination to justify his refusal to comply with a subpoena requiring production of the partnership’s financial records.

[86]*86Until 1969, petitioner Isadore Beilis was the senior partner in Beilis, Kolsby & Wolf, a law firm in Philadelphia. The firm was formed in 1955 or 1956. There were three partners in the firm, the three individuals listed in the firm name. In addition, the firm had six employees: two other attorneys who were associated with the firm, one part-time; three secretaries; and a receptionist. Petitioner’s secretary doubled as the partnership’s bookkeeper, under the direction of petitioner and the firm’s independent accountant. The firm’s financial records were therefore maintained in petitioner’s office during his tenure at the firm.

Beilis left the firm in late 1969 to join another law firm. The partnership was dissolved, although it is apparently still in the process of winding up its affairs. Kolsby and Wolf continued in practice together as a new partnership, at the same premises. Beilis moved to new offices, leaving the former partnership’s financial records with Kolsby and Wolf, where they remained for more than three years. In February or March 1973, however, shortly before issuance of the subpoena in this case, petitioner’s secretary, acting at the direction of petitioner or his attorney, removed the records from the old premises and brought them to Beilis’ new office.

On May 1, 1973, Beilis was served with a subpoena directing him to appear and testify before a federal grand jury and to bring with him “all partnership records currently in your possession for the partnership of Beilis, Kolsby & Wolf for the years 1968 and 1969.” App. 6. Petitioner appeared on May 9, but refused to produce the records, claiming, inter alia, his Fifth Amendment privilege, against compulsory self-incrimination. After a hearing before the District Court on May 9 and 10, the court held that petitioner’s personal privilege did not extend to the partnership’s financial books and records, and ordered [87]*87their production by May 16.1 When petitioner reappeared before the grand jury on that date and again refused to produce the subpoenaed records, the District Court held him in civil contempt, and released him on his own recognizance pending an expedited appeal.

On July 9, 1973, the Court of Appeals affirmed in a per curiam opinion. In re Grand Jury Investigation, 483 F. 2d 961 (CA3 1973). Relying on this Court's decision in United States v. White, 322 U. S. 694 (1944), the Court of Appeals stated that “the privilege has always been regarded as personal in the sense that it applies only to an individual's words or personal papers” and thus held that the privilege against self-incrimination did not apply to “records of an entity such as a partnership which has a recognizable juridical existence apart from its members.” 483 F. 2d, at 962. After Me. Justice White had stayed the mandate of the Court of Appeals on August 1, we granted certiorari, 414 U. S. 907 (1973), to consider this interpretation of the Fifth Amendment privilege and the applicability of our White decision in the circumstances of this case. We affirm.

It has long been established, of course, that the Fifth Amendment privilege against compulsory self-incrimination protects an individual from compelled production of his personal papers and effects as well as compelled oral testimony. In Boyd v. United States, 116 U. S. 616 (1886), we held that “any forcible and compulsory extortion of a man’s own testimony or of his private papers to be used as evidence to convict him of crime” would violate the Fifth Amendment privilege. Id., at 630; see also id., at 633-635; Wilson v. United States, 221 U. S. 361, 377 (1911). The privilege applies to the business records of [88]*88the sole proprietor or sole practitioner as well as to personal documents containing more intimate information about the individual’s private life. Boyd v. United States, supra; Couch v. United States, 409 U. S. 322 (1973); Hill v. Philpott, 445 F. 2d 144 (CA7), cert. denied, 404 U. S. 991 (1971); Stuart v. United States, 416 F. 2d 459, 462 (CA5 1969). As the Court explained in United States v. White, supra, at 698, “[t]he constitutional privilege against self-incrimination ... is designed to prevent the use of legal process to force from the lips of the accused individual the evidence necessary to convict him or to force him to produce and authenticate any personal documents or effects that might incriminate him.” See also Curcio v. United States, 354 U. S. 118, 125 (1957); Couch v. United States, supra, at 330-331.

On the other hand, an equally long line of cases has established that an individual cannot rely upon the privilege to avoid producing the records of a collective entity which are in his possession in a representative capacity, even if these records might incriminate him personally. This doctrine was first announced in a series of cases dealing with corporate records. In Wilson v. United States, supra, the Court held that an officer of a corporation could not claim his privilege against compulsory self-incrimination to justify a refusal to produce the corporate books and records in response to a grand jury subpoena duces tecum directed to the corporation. A companion case, Dreier v. United States, 221 U. S. 394 (1911), held that the same result followed when the subpoena requiring production of the corporate books was directed to the individual corporate officer. In Wheeler v. United States, 226 U. S. 478 (1913), the Court held that no Fifth Amendment privilege could be claimed with respect to corporate records even though the corporation had previously been dissolved. And [89]*89Grant v. United States, 227 U. S. 74 (1913), applied this principle to the records of a dissolved corporation where the records were in the possession of the individual who had been the corporation’s sole shareholder.

To some extent, these decisions were based upon the particular incidents of the corporate form, the Court observing that a corporation has limited powers granted to it by the State in its charter, and is subject to the retained “visitorial power” of the State to investigate its activities. See, e. g., Wilson v. United States, supra, at 382-385. But any thought that the principle formulated in these decisions was limited to corporate records was put to rest in United States v. White, supra. In White,

Free access — add to your briefcase to read the full text and ask questions with AI

Related

In re Debtor US Direct, LLC
C.D. California, 2022
State Of Iowa Vs. James Maximiliano Ochoa
792 N.W.2d 260 (Supreme Court of Iowa, 2010)
Securities & Exchange Commission v. Ryan
747 F. Supp. 2d 355 (N.D. New York, 2010)
United States v. O'Shea
662 F. Supp. 2d 535 (S.D. West Virginia, 2009)
Smith v. State
974 A.2d 991 (Court of Special Appeals of Maryland, 2009)
State Of Iowa Vs. Guy Edward Fremont
Supreme Court of Iowa, 2008
Travis v. Miki
394 F. Supp. 2d 1277 (D. Hawaii, 2005)
In Re Nassau County Grand Jury Subpoena Duces Tecum Dated June 24, 2003
830 N.E.2d 1118 (New York Court of Appeals, 2005)
United States v. Milligan
324 F. Supp. 2d 1062 (D. Arizona, 2004)
Chariot Plastics, Inc. v. United States
28 F. Supp. 2d 874 (S.D. New York, 1998)
In Re DG Acquisition Corp.
208 B.R. 323 (S.D. New York, 1997)
In Re Grand Jury Empaneled on April 6, 1993
869 F. Supp. 298 (D. New Jersey, 1994)
Thomas v. Tyler
841 F. Supp. 1119 (D. Kansas, 1993)
Volmar Distributors, Inc. v. New York Post Co., Inc.
152 F.R.D. 36 (S.D. New York, 1993)
In Re Ross
156 B.R. 272 (D. Idaho, 1993)
State Ex Rel. Lieberman v. Goldman
781 S.W.2d 802 (Missouri Court of Appeals, 1989)
United States v. North
708 F. Supp. 402 (District of Columbia, 1989)
United States v. Duncan
704 F. Supp. 820 (N.D. Illinois, 1989)
United States v. Benjamin
852 F.2d 413 (Ninth Circuit, 1988)

Cite This Page — Counsel Stack

Bluebook (online)
417 U.S. 85, 94 S. Ct. 2179, 40 L. Ed. 2d 678, 1974 U.S. LEXIS 58, 39 A.F.T.R.2d (RIA) 815, Counsel Stack Legal Research, https://law.counselstack.com/opinion/bellis-v-united-states-scotus-1974.