People v. Fentress

103 Misc. 2d 179, 425 N.Y.S.2d 485, 1980 N.Y. Misc. LEXIS 2094
CourtNew York County Courts
DecidedFebruary 13, 1980
StatusPublished
Cited by15 cases

This text of 103 Misc. 2d 179 (People v. Fentress) is published on Counsel Stack Legal Research, covering New York County Courts primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Fentress, 103 Misc. 2d 179, 425 N.Y.S.2d 485, 1980 N.Y. Misc. LEXIS 2094 (N.Y. Super. Ct. 1980).

Opinion

[181]*181OPINION OF THE COURT

Albert M. Rosenblatt, J.

What are the statutory and ethical obligations of an attorney who receives a telephone call from a friend who.states that he has just killed someone and is about to take his own life? May the divulgence, under any circumstances, be disclosed, and if so, to whom, and with what consequences? The defendant argues that attorney-client confidentiality in this instance is. absolute, and that any disclosure which, directly or indirectly, leads to a discovery of the body and evidence, mandates dismissal of an indictment.

The defendant stands indicted for intentional murder (Penal Law, § 125.25, subd 1). While the facts adduced before the Grand Jury are sufficient to establish the crime, the defendant avers that the indictment must be dismissed because it is the product of tainted and inadmissible evidence, presented in violation of the attorney-client privilege, as codified in CPLR 4503.

The attorneys for both sides have asserted that the case is unprecedented in American legal annals. This court’s research has not uncovered any opinion involving the confluence of an alleged breach of confidence by one’s own attorney and the applicability of an exclusionary statute as a proposed remedy.

The defendant asserts that he contacted Wallace Schwartz, and in quest of legal advice, confided to him the facts regarding the event, and that the attorney called his own mother, who, in turn, called the defendant and then the police, as a result of which the defendant was arrested, and the body of the victim discovered in his home. He maintains that the disclosures were unauthorized, that the evidence presented to the Grand Jury flowed from the breach of confidentiality which he never waived, and that CPLR 4503 precludes the use, directly or derivatively, of any evidence obtained in violation of the attorney-client privilege. In short, he contends that the alleged breach of confidentiality immunizes him from criminal responsibility.

The case presents issues at the root of the attorney-client relationship, the professional duty of confidentiality, the concept of waiver, the statutory prohibitions, and the vexing ethical and moral dilemmas which marked the episode itself.

CPLR 4503 reads as follows: "§ 4503. Attorney, (a) Confiden[182]*182tial communication privileged; non-judicial proceedings. Unless the client waives the privilege, an attorney or his employee, or any person who obtains without the knowledge of the client evidence of a confidential communication made between the attorney or his employee and the client in the course of professional employment, shall not disclose, or be allowed to disclose such communication, nor shall the client be compelled to disclose such communication, in any action, disciplinary trial or hearing, or administrative action, proceeding or hearing conducted by or on behalf of any state, municipal or local governmental agency or by the legislature or any committee or body thereof. Evidence of any such communication obtained by any such person, and evidence resulting therefrom, shall not be disclosed by any state, municipal or local governmental agency or by the legislature or any committee or body thereof.” (Emphasis added.)

Upon the italicized language, the defendant bases his contention that the indictment rests on proof "resulting” from the breach, but for which there would have been no arrest, discovery of evidence, or indictment. CPLR 4503, by virtue of CPL 60.10, is made applicable to criminal actions (People v Hitchman, 70 AD2d 695).

Because the motion is addressed to the sufficiency of legal proof before the Grand Jury, it has been necessary to hear witnesses (CPL 210.45, subd 6), in order to factually determine whether an attorney-client relationship was born, whether the utterances were made within its lifetime and parameters, and if so, whether a seal of contemplated secrecy was broken by Wallace Schwartz, or by the defendant’s own acts, thereby constituting a waiver.

I

THE HEARING

The defendant is correctly cognizant of his burden of proof to demonstrate the insufficiency of the Grand Jury proof upon a motion to dismiss (CPL 210.45, subd 7; People v Scroggins, 56 AD2d 856), as well as his task of establishing the existence of a privileged relationship (Rosseau v Bleau, 131 NY 177, 183; Bankers’ Money Order Assn. v Nachod, 120 App Div 732, 733), the facts to justify its recognition by the court (Bloodgood v Lynch, 293 NY 308, 314; Randy Int. v Automatic Compactor Corp., 97 Misc 2d 977, 981), and the existence of [183]*183the prerequisites for its operability (Fisch, New York Evidence, §§ 22, 518; People v Doe, 99 Misc 2d 411).

At the outset, he expressed grave concern about negotiating the mine field through which he could present proof of an alleged breach by the former attorney, Wallace Schwartz, without waiving the very confidentiality of the communications themselves. The paradox involves the proposed introduction of proof of an allegedly confidential consultation, in order to establish its ensuing and allegedly unauthorized disclosure by Wallace Schwartz, as against the risk that its presentation in court would, by waiver, pave the way for its use at a trial of the indictment in the event the dismissal motion fails.

As a general rule, a defendant in the exercise of one right, may not be compelled to forego another (Simmons v United States, 390 US 377, 394). The waiver doctrine has been invoked when the defendant directly or through his witness exposes the confidences (People v Bloom, 193 NY 1; Richardson, Evidence [10th ed], § 438). To resolve the quandary, both sides expressly consented to a prohibition against any use by the prosecution, on its case-in-chief at trial, of any allegedly confidential statements adduced at the hearing. In that manner, the defendant would surrender nothing in the exercise of his right (and burden) to attempt to prove the violation of CPLR 4503, while the People would be permitted, at the trial, to use testimony adduced at the hearing, for impeachment or rebuttal purposes only, analogous to the rule in Harris v New York (401 US 222). The format is comparable to the security afforded a defendant who may testify at a Huntley hearing without risking cross-examination on the merits and the introduction of that testimony offered against him at the trial (People v Lacy, 25 AD2d 788).

FINDINGS OF FACT

Albert Fentress was a schoolteacher in the City of Poughkeepsie school system.

Among his colleagues there for more than a decade was Enid Schwartz, a fellow teacher and personal friend, whom Fentress visited at her home once or twice yearly. Her friendship with Fentress was substantial, and was based on his having taught two of her children, as well as on the independent basis of their relationships as colleagues over the years.

One of these sons, Wallace, had been taught by Fentress in [184]*184the ninth grade, and through the years had developed an independent personal friendship with him. After graduating, Wallace Schwartz and Fentress visited at each others’ homes and had engaged in sports together.

After Wallace graduated from law school, and joined a civil firm in New York City, he gave Fentress his card and told him that he could call him at any time.

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Bluebook (online)
103 Misc. 2d 179, 425 N.Y.S.2d 485, 1980 N.Y. Misc. LEXIS 2094, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-fentress-nycountyct-1980.