United States v. James Martorano

620 F.2d 912, 29 Fed. R. Serv. 2d 1242, 1980 U.S. App. LEXIS 17615
Court of Appeals for the First Circuit·Decided May 12, 1980·No. 78-1445·Published·Cited by 60 cases

Opinions

LEVIN H. CAMPBELL, Circuit Judge.

James Martorano appeals from the judgment of the district court, 457 F.Supp. 803 (D.Mass.1978), denying his motion for new trial on the ground of ineffective assistance of counsel due to joint representation.1 His appeal was originally decided by a panel of this court, which reversed and remanded for a new trial after holding the government had not demonstrated that Martorano was not prejudiced by the failure of the trial court to conduct the inquiry required in United States v. Foster, 469 F.2d 1, 5 (1st Cir. 1972). Appellee then moved for rehearing en banc, and that motion having been allowed by vote of a majority of this court, the panel’s judgment was vacated and an en banc hearing held, resulting in the present opinion. See 28 U.S.C. § 46(c); Fed.R.App.P. 35(a); Part IV infra.

The facts are more fully set forth in the panel opinion, to which we shall refer, United States v. Martorano, 610 F.2d 36 (1st Cir. 1979). See also United States v. Martorano, 557 F.2d 1 (1st Cir.), reh. denied, No. 76-1372 (1st Cir. May 23, 1977) (unpub.) and 561 F.2d 406 (1st Cir. 1977), cert. denied, 435 U.S. 922, 98 S.Ct. 1484, 55 L.Ed.2d 515 (1978) (affirming appellant’s conviction on direct appeal). In the present opinion, we repeat the facts only as necessary to our analysis of the issues.

I.

Our decision in United States v. Foster, 469 F.2d 1 (1st Cir. 1972), requires the [915]*915district courts of this circuit to warn on the record every defendant who indicates that he contemplates being jointly represented at trial of the risks inherent in such representation, so that the court can be assured that his waiver of the right to separate counsel is knowing and voluntary. 469 F.2d at 5. In the present case, appellant Marto-rano received no direct warning by the court, although in response to instructions from the magistrate, his attorneys provided certain advice orally and in writing, and secured Martorano’s signature to a letter to the court, which they had prepared, stating that he was aware of the risks of joint representation but nonetheless wished to retain the same law firm which represented his co-defendant Brian Halloran.2 We agree with the panel opinion that this letter, and any advice preceding it, did not relieve the government from the consequences of the district court’s failure to comply materially (or indeed at all) with the Foster rule. We made no provision in Foster for an alternative to direct inquiry in open court, and are not inclined to establish one now. Letters prepared and signed outside the court’s purview are not a substitute for the in-court colloquy mandated by Foster.3

II.

We thus turn to the principal issue in this case and the one upon which our decision to grant rehearing en banc was based.4 In Foster we said that the failure of the trial court to make adequate inquiry would shift to the goverñment the burden of proving the unlikelihood of any prejudice arising from joint representation. While we described the government’s burden in somewhat different ways according to whether the issue arose on direct appeal or on collateral attack, 469 F.2d at 5, we did not mean to announce as between the two situations any significant difference in the ultimate burden of persuasion. Rather we merely recognized that in the case of a direct appeal an appellate court’s focus would be perforce on the trial record alone. Where, as here, an evidentiary hearing has been held, whether in connection with a motion for new trial, a motion to vacate sentence, or the like, such a hearing may be a “useful supplement” to the trial record, see United States v. Donahue, 560 F.2d 1039, 1044 (1st Cir. 1977), providing further insight into the actuality of any conflict between the interests of various defendants and illuminating the degree to which the choice of trial strategy may have been influenced by conflicting concerns. Still the ultimate question is the same in either context, namely, whether the government has carried its burden of showing it is more likely than not that no prejudice stemmed [916]*916from the joint representation. We have not adopted a rule of per se reversal, compare Holloway v. Arkansas, 435 U.S. 475, 489, 98 S.Ct. 1173, 1181, 55 L.Ed.2d 426 (1978) (automatic reversal where defendant was compelled, over his objection, to accept joint representation), nor is our standard as stringent as the “harmless beyond a reasonable doubt” rule followed where errors of constitutional magnitude are present, compare Chapman v. California, 386 U.S. 18, 24, 87 S.Ct. 824, 828, 17 L.Ed.2d 705 (1967). Here we are not dealing with a court’s unconstitutional refusal to allow separate representation, see Holloway v. Arkansas, 435 U.S. 475, 98 S.Ct. 1173, 55 L.Ed.2d 426 (1978), but only with its failure to provide a defendant with an auxiliary procedure required by this circuit under our supervisory powers, which is aimed at making absolutely certain the defendant understands all the pitfalls of joint representation. While we assuredly do not encourage violations of our supervisory rule, see United States v. Waldman, 579 F.2d 649, 653 (1st Cir. 1978), there are undoubtedly situations in which such violations cause little or no material prejudice to defendants; we must take care not to provide a windfall to a defendant, who has been found guilty of a serious crime, simply because of some attenuated hypothesis of prejudice woven by counsel after conviction. Joint representation, after all, may sometimes be quite beneficial to a defendant and may at other times be of little consequence to the adequacy of a defendant’s representation. See Holloway v. Arkansas, 435 U.S. 475, 482-83, 98 S.Ct. 1173, 1177-78, 55 L.Ed.2d 426; Glasser v. United States, 315 U.S. 60, 92, 62 S.Ct. 457, 475, 86 L.Ed. 680 (1942) (Frankfurter, J., dissenting). To overturn a defendant’s conviction for violation of a supervisory rule where it is more likely than not that conflicting interests did not hamper counsel’s pursuit of a potentially effective defense would be both wasteful and pointless.

In finding prejudice, the panel opinion focused on the following language in United States v. Donahue,

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United States v. James Martorano, 620 F.2d 912, 29 Fed. R. Serv. 2d 1242, 1980 U.S. App. LEXIS 17615 (1st Cir. 1980).

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