Feigin v. Zinn

789 P.2d 478, 14 Brief Times Rptr. 139, 1990 Colo. App. LEXIS 35, 1990 WL 10909
CourtColorado Court of Appeals
DecidedFebruary 8, 1990
DocketNo. 88CA1060
StatusPublished
Cited by3 cases

This text of 789 P.2d 478 (Feigin v. Zinn) is published on Counsel Stack Legal Research, covering Colorado Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Feigin v. Zinn, 789 P.2d 478, 14 Brief Times Rptr. 139, 1990 Colo. App. LEXIS 35, 1990 WL 10909 (Colo. Ct. App. 1990).

Opinion

Opinion by

Judge HUME.

Plaintiff, Phillip A. Feigin, the acting securities commissioner for the State of Colorado (commissioner), appeals from a declaratory judgment in favor of defendant, Carl Zinn, declaring that the transactional immunity provided by § 11-51-119, C.R.S. (1987 Repl.Vol. 4B) is self-executing upon a witness’ expression of an intent to claim his constitutionally guaranteed privilege against self-incrimination. We reverse and remand with directions.

The commissioner, pursuant to § 11-51-119(2), C.R.S. (1987 Repl.Vol. 4B), issued a subpoena duces tecum requiring defendant to appear, to give testimony, and to produce certain documents before the commissioner at an investigatory proceeding. Defendant appeared pursuant to the subpoena and stated that he intended to invoke his privilege against self-incrimination in response to any questions that might be asked by the commissioner. Defendant also asserted that, while he was prepared to produce the subpoenaed documents, such production would be subject to the immunity provided in § 11-51-119(5), C.R.S. (1987 Repl.Vol. 4B).

The commissioner declined to receive either defendant’s testimony or the proffered documents on the grounds that neither he nor any other officer of the Colorado Division of Securities was authorized to compel testimony or to grant immunity upon a claim of the privilege against self-incrimination.

The commissioner subsequently filed an action seeking to establish a procedure to compel Zinn’s compliance with the subpoena in accordance with § 11-51-119(5), while preserving his privilege against self-incrimination. Following a hearing, the trial court, relying on United States v. Goodner, 35 F.Supp. 286 (D.Colo.1940), held that if a witness appears pursuant to a subpoena issued by the commissioner, and the commissioner is notified that the witness intends to invoke his privilege against compelled self-incrimination, any testimony or evidence subpoenaed would not be voluntary, but rather, would be given under compulsion, entitling the witness to an automatic grant of transactional immunity provided in § 11-51-119(5) as to all subpoenaed evidence.

I.

The commissioner contends the trial court erred in determining that the transactional immunity provided under § 11-51-119(5) can be unilaterally obtained by a witness’ assertion of his intent to claim his constitutionally guaranteed privilege against self-incrimination. The commissioner specifically argues that the statute in question requires a judicial determination of the likelihood that the witness’ testimony or production will be self-incriminatory, and that a court order compelling testimony or production is a prerequisite to a grant of immunity under 11-51-119(5). We agree.

Section 11-51-119, C.R.S. (1987 Repl.Vol. 4B) provides, in pertinent part, that:

“(4) In case of contumacy by, or refusal to obey a subpoena issued to, any person, the district court of the City and County of Denver, upon application by the securities commissioner, may issue to the person an order requiring him to appear before the securities commissioner, or the officer designated by him to produce documentary evidence if so ordered or to give evidence touching the matter under investigation or in question. Failure to obey the order of the court may be punished by the court as a contempt of court.
(5) No person is excused from attending and testifying or from producing any document or record before the securities commissioner, or in obedience to the sub[480]*480poena of the securities commissioner or any officer designated by him, or in any proceeding instituted by the securities commissioner on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual may be ;prosecuted or subjected to any penalty or forfeiture for, or on account of any transaction, matter, or thing concerning which he is compelled, after claiming his privilege against self incrimination, to testify or produce evidence, documentary or otherwise; except that the individual testifying is not exempt from prosecution and punishment for perjury in the first or second degree, or contempt committed in testifying.” (emphasis supplied)

The statute, thus, provides immunity from prosecution to a witness who is compelled to testify after claiming his privilege against self-incrimination. Also, the statute vests with the court the authority to compel testimony or production of evidence pursuant to a subpoena rather than with the commissioner or his designate. See § 11-51-119(4). See also § 11-51-117(4), C.R.S. (1987 Repl.Vol. 4B) and § 24-4-105(5), C.R.S. (1988 Repl.Vol. 10A) (commissioner may designate an administrative law judge, who may petition the district court to compel testimony or produce evidence in compliance with a subpoena.)

The district court’s exclusive authority to compel testimony or produce evidence under § 11-51-119(4) stems from the separation of powers under Colo. Const. Art. Ill and the vesting of the state’s judicial power with the courts under Colo. Const, art. VI, § 1. Inherent in the court’s authority to compel testimony is the power to punish for contempt, which is a judicial power within the meaning of the constitution. That power belongs exclusively to the courts in the absence of a constitutional vestiture of such power upon another body or agency. People v. Swena, 88 Colo. 337, 296 P. 271 (1931).

Here, the Colorado Constitution does not empower the Colorado Division of Securities to punish for contempt. Thus, the commissioner is not empowered to compel testimony or the production of documents without the aid of a judicial order. Hence, we conclude that, for purposes of immunity under § 11-51-119(5), once the witness appears before the commissioner and invokes his privilege against self-incrimination, only the district court can compel his testimony. See People v. Swena, supra.

Furthermore, a witness is not exonerated from testifying or producing evidence merely because he declares his subjective belief that in so doing he would incriminate himself. Hoffman v. United States, 341 U.S. 479, 71 S.Ct. 814, 95 L.Ed. 1118 (1951).

It is for the court to determine whether a witness’ refusal to give evidence is constitutionally justified, and before the court can compel a response or punish for contempt in the face of a claim of privilege against self-incrimination, it must be “ ‘perfectly clear, from a consideration of all the circumstances in the case, that the witness is mistaken,’ ” and that the testimony or the documents cannot possibly have a tendency to incriminate. People v. Razatos, 699 P.2d 970 (Colo.1985) (quoting Hoffman v. United States, supra, emphasis in original). On the other hand, if there is a likelihood that the evidence sought may be self-incriminatory, the court may accede to the commissioner’s request that transactional immunity be granted as a condition precedent for the court’s granting of an order to compel.

In addition, the privilege against self-incrimination may not be asserted as a blanket claim in anticipation of questions actually propounded, for to do so would utilize the privilege as a prohibition against inquiry, rather than a constitutionally justified option of refusal.

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Cite This Page — Counsel Stack

Bluebook (online)
789 P.2d 478, 14 Brief Times Rptr. 139, 1990 Colo. App. LEXIS 35, 1990 WL 10909, Counsel Stack Legal Research, https://law.counselstack.com/opinion/feigin-v-zinn-coloctapp-1990.