State v. Marks

758 So. 2d 1131, 2000 WL 313507
CourtDistrict Court of Appeal of Florida
DecidedMarch 29, 2000
Docket4D98-1601, 4D98-2715
StatusPublished
Cited by5 cases

This text of 758 So. 2d 1131 (State v. Marks) is published on Counsel Stack Legal Research, covering District Court of Appeal of Florida primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Marks, 758 So. 2d 1131, 2000 WL 313507 (Fla. Ct. App. 2000).

Opinion

758 So.2d 1131 (2000)

STATE of Florida, Appellant,
v.
Mark MARKS, P.A.; Marvin Mark Marks; Gary Marks; Carl Borgan; Irene Porter; Noreen Roberts; and Denise Beloff, Appellees.

Nos. 4D98-1601, 4D98-2715.

District Court of Appeal of Florida, Fourth District.

March 29, 2000.
Rehearing Denied May 15, 2000.

*1132 Robert A. Butterworth, Attorney General, Tallahassee, and Richard L. Polin, Assistant Attorney General, Miami, for appellant.

H. Dohn Williams, Jr., P.A., Fort Lauderdale, for appellee Mark Marks, P.A.

Mark Hicks of Hicks & Anderson, P.A., Miami, for appellees Mark Marks and Gary Marks, and Irene Porter, Noreen Roberts and Denise Beloff.

Ira N. Loewy and Edward R. Shohat of Bierman, Shohat, Loewy & Klein, P.A., Miami, for appellee Carl Borgan.

FARMER, J.

The trial judge at one time assigned to this criminal case was required by our mandate to hold an adversarial hearing on whether to apply the crime-fraud exception to the attorney-client privilege to certain communications. Instead of holding an ordinary adversarial hearing with all parties involved, however, the judge engaged in extensive ex parte hearings only with the prosecutors and their investigators, after which he overruled the claim of *1133 privilege as to all the documents in question. Later a different judge assayed these extensive ex parte communications as part of a reconsideration of the orders entered by the judge participating in the ex parte hearings and concluded that certain charges against the defendants should be dismissed. On appeal the State argues that the dismissal was improper and that we should reinstate the dismissed charges. We disagree.

The events leading up to the dismissal need initially only be summarized. Originally the State filed a 32-count information in late 1989 against a law firm and its two principal attorneys, as well as nine other defendants, charging various crimes in connection with allegations of insurance fraud.[1] After this initial filing, the State continued to investigate for possible additional offenses already committed but as yet uncharged. During this continuing investigation, the State issued a subpoena requiring the production of 253 client files originating in the offices of the charged lawyers. These lawyers moved to quash the subpoena, but the trial judge then assigned to the case denied the motion.

On review of the refusal to quash the subpoena in Marks v. State, 572 So.2d 976 (Fla. 4th DCA 1990), we said:

"We grant the writ and remand with instructions to conduct an in camera hearing on the issue of attorney-client and work product privileges as asserted by petitioners. Moreover, on remand the trial court is respectfully instructed to consider and adjudicate petitioner's issues that the subpoena duces tecum exceeds the permissible bounds of discovery under Florida Rule of Criminal Procedure 3.220."

572 So.2d at 977. On return of the case to the trial court, however, another judge was newly assigned to the case and interpreted our command to determine the attorney-client privilege into a series of ex parte conferences with the prosecutors and state investigators as to why the privilege was said to be overcome by the crime-fraud exception.[2] We agree with the lower court's order on review now that it was error for this first successor judge to have proceeded to hold these extensive ex parte conferences and communications with the attorneys and investigators representing the state.[3]

In United States v. Zolin, 491 U.S. 554, 109 S.Ct. 2619, 105 L.Ed.2d 469 (1989), the Supreme Court laid down the procedure for determining when the crime-fraud exception may be used to overcome the attorney client privilege. The trial court was correct in reading Zolin to require that, before documents claimed to be covered by this privilege may be subjected to an in camera review by the judge to ascertain if the crime-fraud exception may be *1134 validly invoked, the state must make an evidentiary showing plausibly implicating the possible application of the exception. This preliminary evidentiary showing is clearly not an ex parte proceeding. See American Tobacco Co. v. State of Florida, 697 So.2d 1249, 1256 (Fla. 4th DCA 1997) (where judge seeks to weigh evidence in proceeding to determine whether to apply crime-fraud exception to attorney-client privilege, party invoking privilege has absolute right to be heard by testimony and argument); see also Haines v. Liggett Group, Inc., 975 F.2d 81 (3d Cir.1992).

Hence we agree with the trial court that, under the law clearly established when the first successor judge undertook to have these ex parte conferences, there was no plausible basis for him to have believed that he was authorized to have conferences with the prosecutors and investigators involving the substance of the case, but without notice to or participation by the defendants. See Rose v. State, 601 So.2d 1181 (Fla.1992) (judge should not engage in any conversation about pending case other than concerning strictly administrative matters with only one of parties participating in conversation); In re Inquiry Concerning a Judge: Clayton, 504 So.2d 394, 395 (Fla.1987) (canon was written with clear intent to exclude all ex parte communications except when expressly authorized by statutes or rules); Fla. Bar Code of Jud. Conduct, Canon 3 A(4) (1991) (adopted 1973, as amended to July 1994) ("A judge should accord to every person who is legally interested in a proceeding, or his lawyer, full right to be heard according to law, and except as authorized by law, neither initiate nor consider ex parte or other communications concerning a pending or impending proceeding.").[4]

After the disqualification of the first successor judge, the defendants moved for a reconsideration of his orders respecting the assertion of the privilege.[5] The trial judge now assigned to the case requested answers from both sides as to ten specific inquiries about the communications, and each filed lengthy written submissions. Later the trial judge made ten new inquiries of the parties, and again they made written submissions to the court. Ultimately the judge held a hearing on the matter and heard extensive argument from all concerned.

In his order that we review today, the judge enumerated 17 ex parte communications between the first successor trial judge and the prosecutors and investigators that were improper. Most of them plainly involved substantive—rather than merely purely ministerial administrative— matters. He also found that the state had "moved as quickly as possible" to inhibit defendants from responding to the improper communications. He specifically found that:

"the ex parte communications between the State and [the first successor judge] were overwhelmingly substantial and so egregious that the Defendants' due process rights were irretrievably compromised." [emphasis supplied]

He added that:

"the effect of the combined conduct of the State and [the first successor judge] has created a situation in which this court cannot `unring the bell.' For many years, the State has been in possession of all the documents in question, *1135 while the Defendants' fundamental due process rights have been abridged. Therefore, the ...

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Cite This Page — Counsel Stack

Bluebook (online)
758 So. 2d 1131, 2000 WL 313507, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-marks-fladistctapp-2000.