United States v. Frederick W. Bauer

956 F.2d 693, 1992 U.S. App. LEXIS 1664, 1992 WL 20712
CourtCourt of Appeals for the Seventh Circuit
DecidedFebruary 10, 1992
Docket90-1840
StatusPublished
Cited by49 cases

This text of 956 F.2d 693 (United States v. Frederick W. Bauer) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Frederick W. Bauer, 956 F.2d 693, 1992 U.S. App. LEXIS 1664, 1992 WL 20712 (7th Cir. 1992).

Opinion

EASTERBROOK, Circuit Judge.

Frederick Bauer represented himself at trial — poorly. He was convicted on drug charges and sentenced to 30 years’ imprisonment. He contends that appointed counsel would have been a boost; the obstacle is the court’s finding that Bauer could have afforded a lawyer.

In 1987 Bauer sent to a lender a financial statement showing about $400,000 in net assets. Late in 1988 Bauer gave the probation office in another case a financial statement showing $500,000 in net assets. Bauer concedes that both statements were correct. In this case, however, Bauer submitted an affidavit stating that he no longer has the assets (currency, gold, jewels, and coins) that he had listed on the financial statements, that accounts receivable had become worthless, and that the tax collector has priority in what remains. A magistrate judge held a hearing to determine whether, in the language of the Criminal Justice Act, 18 U.S.C. § 3006A(b), *694 Bauer was “financially unable to obtain counsel”.

What happened to the assets? Bauer related that they were no longer in his “immediate reach” and were not “fluid”. They had been sold in “[different places” to “different people”. What of his bank accounts? These were in “different places. California and Wisconsin and Minneapolis.” Which banks? “I don’t know.” Where were his financial records? They were stored in “[different places in California and Wisconsin”. Who had them? “Different people”. Would Bauer authorize the government to look at these records? He would think about it. The magistrate judge concluded that Bauer could retain counsel if he wanted and that his testimony was “ambiguous, evasive and in many respects completely incredible.”

Following up on this hearing, the prosecutor sent Bauer forms that would authorize the custodians to reveal his financial records. The forms were never executed. Later the prosecutor proffered the results of an investigation by the FBI; an agent concluded that Bauer had traceable assets of $544,000. The district judge approved the magistrate judge’s conclusion that Bauer could afford counsel. Protesting that he could not, Bauer represented himself at trial.

We appointed counsel to represent Bauer on appeal. His principal argument is that because of the asymmetric costs of error, courts should appoint counsel whenever a defendant claims to be unable to afford a lawyer. An error in appointing counsel costs the government a pittance; an error in denying the request for counsel may cost the accused many years in prison. Under a regime of appointment on request, the defendant always receives his constitutional and statutory entitlements if, as he contends, he cannot afford counsel. If the prosecutor is right in believing that the defendant has assets, the United States will be able to seize them in recompense for the outlay to the lawyer. 18 U.S.C. § 3006A(f). No costs of error, and none of the wrangling that accompanies cases such as this.

As an original matter appointment of counsel on request has some attractions, although the balance is not so lopsided as Bauer supposes. Defendants may hide their assets, as the prosecutor believes Bauer has done — to avoid paying the $250,000 fine and back taxes if not to reduce the expense of legal representation. When the assets vanish, the accused receives the benefit of counsel while thwarting the government’s effort to collect. At all events, this is not an original matter. The Criminal Justice Act governs. It provides for the appointment of counsel when the judge is “satisfied after appropriate inquiry that the person is financially unable to obtain counsel”. 18 U.S.C. § 3006A(b). It is not enough to claim inability to hire a lawyer and back up the claim with an affidavit; the statute provides for “appropriate inquiry” into the veracity of that claim. “The burden of proving inadequate financial means ... lies with the defendant.” United States v. Sarsoun, 834 F.2d 1358, 1361 (7th Cir.1987). A decision adverse to the defendant “will not be reversed unless clearly erroneous.” Id. at 1362. See also United States v. Binder, 794 F.2d 1195, 1201 (7th Cir.1986). The decision adverse to Bauer is not clearly erroneous; the magistrate judge listened to Bauer but did not believe him, and Bauer’s failure to authorize a review of his financial records speaks loudly. 1 Surely the sixth amendment does not forbid examination of a defendant’s financial status, so we may not disregard the statutory approach.

*695 Bauer’s fallback position is that he was entitled to a lawyer at public expense during the hearing convened to inquire into his assets. Without the assistance of a lawyer, the argument goes, how could Bauer establish his entitlement to one? This is a variation of the automatic-appointment position. 2 Under the Criminal Justice Act, the public fisc need not contribute one penny unless the accused first establishes that he cannot afford counsel. Nothing in the statute directs the Treasury to assist the accused in making this demonstration. Our experience is that district judges often appoint lawyers for persons accused of lucrative frauds and drug deals, persons who likely have assets squirreled away. Any bias in the process now used to evaluate requests for counsel runs dramatically in favor of defendants. There is no statutory warrant for procedures that would strengthen defendants’ hands and no constitutional compulsion to create them. No legal expertise is needed to participate effectively in hearings under the Criminal Justice Act. Rules of evidence and procedure were not enforced. Bauer told his story; he elected to be vague and withhold access to his financial records; you do not need a legal education to recognize the consequences of such decisions.

Last comes a contention that Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975), undoes the conviction. Faretta holds that a defendant may choose to represent himself at trial but requires warnings about the dangers of self-representation and waiver of the right to counsel. Nothing in this record looks like a waiver under Faretta, Bauer reminds us; protesting that he could not pay, he waived nothing. Without a waiver on the record, he could not be tried unless he had counsel. This is still another variation on the automatic-appointment theme. No defendant who insists that he cannot pay for a lawyer can be said to waive his right to counsel. Only in a world of Doublespeak does “I want counsel at public expense” mean “I waive my right to counsel.” Thus the state must appoint counsel at public expense whenever the accused asks.

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

Related

State v. Trass
556 P.3d 476 (Supreme Court of Kansas, 2024)
State v. Rose
206 A.3d 995 (New Jersey Superior Court App Division, 2019)
United States v. Thomas Balsiger
910 F.3d 942 (Seventh Circuit, 2018)
Newland v. Commissioner of Correction
142 A.3d 1095 (Supreme Court of Connecticut, 2016)
State v. Eddie Lee Anthony
2015 WI 20 (Wisconsin Supreme Court, 2015)
People v. Morton
55 V.I. 428 (Superior Court of The Virgin Islands, 2011)
Commonwealth v. Clemens
929 N.E.2d 344 (Massachusetts Appeals Court, 2010)
Brandt v. Ozmint
664 F. Supp. 2d 626 (D. South Carolina, 2009)
State v. Jones
772 N.W.2d 496 (Supreme Court of Minnesota, 2009)
Commonwealth v. Cote
910 N.E.2d 400 (Massachusetts Appeals Court, 2009)
Commonwealth v. Lucarelli
971 A.2d 1173 (Supreme Court of Pennsylvania, 2009)
State v. Jones
755 N.W.2d 341 (Court of Appeals of Minnesota, 2008)
Commonwealth v. Means
886 N.E.2d 754 (Massachusetts Appeals Court, 2008)
State v. Pride
Court of Appeals of South Carolina, 2007
Jackson v. State
868 N.E.2d 494 (Indiana Supreme Court, 2007)
United States v. Glen Murphy
469 F.3d 1130 (Seventh Circuit, 2006)
Bauer v. U.S. Attorney General Agents
202 F. App'x 562 (Third Circuit, 2006)

Cite This Page — Counsel Stack

Bluebook (online)
956 F.2d 693, 1992 U.S. App. LEXIS 1664, 1992 WL 20712, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-frederick-w-bauer-ca7-1992.