United States v. Herbert G. Miller, II

907 F.2d 994, 66 A.F.T.R.2d (RIA) 5337, 1990 U.S. App. LEXIS 11321
CourtCourt of Appeals for the Tenth Circuit
DecidedJuly 5, 1990
Docket84-2766, 85-2334
StatusPublished
Cited by75 cases

This text of 907 F.2d 994 (United States v. Herbert G. Miller, II) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth 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. Herbert G. Miller, II, 907 F.2d 994, 66 A.F.T.R.2d (RIA) 5337, 1990 U.S. App. LEXIS 11321 (10th Cir. 1990).

Opinion

GARTH, Senior Circuit Judge.

This appeal arises from the defendant Herbert Miller II’s 18 U.S.C. § 1001 conviction for making fraudulent statements in an effort to deceive and obstruct the tax authorities. Because the merits of Miller’s direct appeal (84-2776) were never decided by this Court for reasons stated hereinafter, we have before us as well an appeal (85-2334) from the denial of Miller’s motion to vacate and set aside his conviction on grounds of ineffective assistance of counsel. We affirm both Miller’s conviction at 84-2776 and the order denying his 28 U.S.C. § 2255 application to set aside his conviction (85-2334).

I.

In a November 1984 bench trial before the district court for the District of Colorado (Carrigan, J.), Miller, a tax attorney and accountant, was convicted on three counts of making false statements in violation of 18 U.S.C. § 1001. 1 Miller had been found guilty of orchestrating the back-dating of deeds, pension plan reports and other financial documents in order to avoid tax liabilities. 2

We have before us now a much delayed direct appeal of this conviction (84-2776) as well as Miller’s appeal of the district court’s subsequent denial of his application made under 28 U.S.C. § 2255 to set aside his conviction (85-2334). Both claims essentially rest on assertions raised by Miller’s third attorney (Mr. Carroll) that Miller had received inadequate assistance of counsel at trial by his then counsel (Mr. Calder). An explanation of the procedural evolution of these appeals will be helpful in defining the issues before us.

A.

Miller was convicted after a bench trial on November 26-27, 1984. On December 4, 1984 he filed motions for a new trial and/or a judgment notwithstanding the verdict (JNOV). These motions were denied on December 10,1984. With the deadline for filing an appeal approaching, Miller on December 20, 1984 filed a notice of appeal from his conviction, as well as from the order denying him a new trial or JNOV. *996 On March 15, 1985, Miller was sentenced to five years on each of the three counts on which he was convicted, to be served concurrently.

On April 4, 1985, Miller filed a motion to substitute new counsel for his original counsel. At about that time, the court ordered that Miller undergo psychiatric examination pursuant to a determination of his suitability for parole, 18 U.S.C. § 4205(d), and this Court then stayed Miller’s direct appeal pending the action of the trial court.

B.

On July 1, 1985 the district court judge suspended imposition of Miller’s sentence and placed Miller on a five-year term of probation. 3 In the meantime, however, on June 28, 1985 Miller had filed a motion to set his conviction aside pursuant to 28 U.S.C. § 2255. The grounds he alleged were the ineffective assistance of trial counsel and his own incompetency to stand trial. Following hearings that addressed those grounds, the district court on July 11, 1985 denied that motion. 4 Miller timely appealed that order. 28 U.S.C. § 2107.

With his third lawyer (Mr. Carroll) in charge, Miller on August 14, 1986 filed a Motion for Reconsideration of the December 14, 1984 Order, which had denied him a new trial. Alternatively, his motion sought to supplement the record, alleging newly discovered evidence. On the basis of briefs, the district court on November 13, 1986 issued a certification of the District Court indicating that, upon remand of the Miller record from the Court of Appeals, it would grant the Motion to Reconsider and consider the case for a new trial. This court then remanded both appeals.

At an August 12, 1988 status conference, the district court judge granted Miller’s original Motion for a New Trial pursuant to Fed.R.Crim.Pro. 33. The Government appealed, claiming that the trial court had no jurisdiction to order a new trial on the basis of Fed.R.Crim.Pro. 33.

C.

This court in March 1989 determined that the district court had no jurisdiction to order a new trial under Fed.R.Crim. Pro. 33 because Miller’s Motion for Reconsideration was filed out of time. U.S. v. Miller, 869 F.2d 1418, 1421 (10th Cir.1989). We predicated our holding on the nature of the new claims (“newly discovered evidence”) Miller had raised.

Following this ruling, this court on May 2, 1989 returned both of Miller’s pending appeals to active status and consolidated them. The result of the proceedings we have recounted is that we have before us: (1) the original direct appeal of Miller’s underlying conviction for violating 18 U.S.C. § 1001 (at 84-2776); and (2) Miller’s appeal from the denial of his motion brought under 28 U.S.C. § 2255 to set aside his conviction (at 85-2334).

II.

Miller now rests his consolidated appeal solely on claims of ineffective assistance of counsel. 5

In reviewing this consolidated appeal, we are to be guided, except if clearly erroneous, by the historical facts found by the district court judge, while our review of the ultimate legal issues is plenary. Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1983) prescribes *997 our standard of review for attorney performance relative to the effective assistance of counsel. To succeed in an ineffective assistance of counsel claim, an appellant must show “deficiency plus prejudice.” Accordingly, in regard to Miller’s trial, we must answer the questions: (a) did Mr. Calder, Miller’s trial attorney, provide Miller with that quality of counsel which Strickland, has held to be “ineffective assistance of counsel” under the Sixth Amendment; and (b) but for the alleged deficiencies of his trial counsel, might Miller have been found not guilty?

Thus, the inquiry before us — in both Miller’s direct appeal and in our review of his motion to set aside his conviction pursuant to 28 U.S.C. § 2255 — is whether any or all of Miller’s claims add up to ineffective assistance of trial counsel as defined by Strickland

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Bluebook (online)
907 F.2d 994, 66 A.F.T.R.2d (RIA) 5337, 1990 U.S. App. LEXIS 11321, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-herbert-g-miller-ii-ca10-1990.