United States v. John Doe 1

272 F.3d 116, 2001 U.S. App. LEXIS 24061, 2001 WL 1396518
CourtCourt of Appeals for the Second Circuit
DecidedNovember 8, 2001
DocketDocket No. 00-1224
StatusPublished
Cited by27 cases

This text of 272 F.3d 116 (United States v. John Doe 1) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second 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. John Doe 1, 272 F.3d 116, 2001 U.S. App. LEXIS 24061, 2001 WL 1396518 (2d Cir. 2001).

Opinion

PARKER, Circuit Judge:

Defendant Appellant Andrew Findley appeals from the judgment of conviction and sentence entered in the United States District Court for the District of Connecticut (Alan H. Nevas, Judge). The district court declined to substitute Findley’s trial counsel despite alleged irreconcilable differences between Findley and his counsel. Findley argues that the district court erroneously denied various motions by both Findley and Findley’s trial counsel, Brian Stapleton, to withdraw and substitute counsel and that these denials resulted in a denial of Findley’s Sixth Amendment right to effective assistance of counsel, demonstrated by the complete abandonment by counsel when Findley sought to testify on his own behalf. Findley seeks to reverse his conviction and receive a new trial.

For the following reasons, we find that the district court did not abuse its discretion in denying the motions to withdraw trial counsel and substitute counsel. We therefore affirm the decision of the district court.

I. BACKGROUND

Between May and November 1997, the government conducted a narcotics investigation which included Findley as a subject. The government was assisted by a confidential informant who participated in recorded telephone conversations and drug transactions. In November 1997, agents of the Drug Enforcement Agency (“DEA”) arrested Findley after he, on three different occasions, sold cocaine to the confidential informant. Findley was charged with one count of conspiracy to possess with intent to distribute cocaine and cocaine base in violation of 21 U.S.C. §§ 841(a)(1) and 846, and four counts of possession with intent to distribute cocaine base in violation of 21 U.S.C. § 841(a)(1).

After his arrest, Findley was represented by a court-appointed attorney who appeared only for the initial presentment. Thereafter, in December 1997, Findley retained Donald Richman, who worked on a proffer agreement with the government and who, in May 1998, withdrew as counsel and claimed that Findley would not communicate with him.1 In July 1998, the court appointed Brian Stapleton to represent Findley pursuant to the Criminal Justice Act, 18 U.S.C. § 3006A.

On January 29, 1999, days before jury selection was scheduled to commence, Sta-pleton moved to withdraw as counsel or, in the alternative, subject Findley to an examination to determine his competency to stand trial. Stapleton stated that:

Since the inception of my relationship with Mr. Findley, he has voiced an extremely aggressive distrust of my role in this case. Mr. Findley has made quite [120]*120clear that he does not trust me and that he believes that I am an agent of the Government acting out my part in a large-scale conspiracy designed to “trick” Findley into being convicted. Mr. Findley has also repeatedly expressed his intense personal dislike for me and his apparently deep-seated belief that I am only involved in this case to “railroad” Mr. Findley into a conviction. In our recent conversations, the tone of Mr. Findley’s communications has evolved from initially being extremely aggressive to now verging on uncontrollable violence.... [Findley] has repeatedly grown so agitated and hostile— shouting, screaming, throwing papers from the counsel table and around the room, making intimidating approaches to counsel.... Mr. Findley has also made veiled threats to me ... such that I now fear that, if Mr. Findley is convicted, he or his co-conspirators threaten my personal safety and possibly that of my family.

J.A. at 28-29 (paragraph numbers omitted). Stapleton also addressed Findley’s competency to stand trial, stating that Findley may be “deeply paranoid and possibly delusional.... ” J.A. at 29.

The district court held a hearing on Stapleton’s motion and, with Findley absent from the courtroom, heard from Sta-pleton concerning Findley’s aggressive attitude, Findley’s potential to disrupt the courtroom, and Stapleton’s belief that Findley was potentially paranoid. The government concurred with Stapleton’s concerns about Findley’s competency. The district court stated that it would “deal with the issue here in open court and enter an order” sending Findley to undergo a thirty-day competency evaluation. Thereafter, Findley was brought into the courtroom and given an opportunity to speak to the court. Findley contended that Stapleton was a compulsive liar who could not be trusted. The district court responded that Stapleton was “one of the most competent criminal defense lawyers in [the] area.... He thinks that you’ve got some mental problems. I suspect you probably do. And the government has concurred in that application [for an examination].” The court then ordered a competency examination and denied Sta-pleton’s motion to withdraw as counsel without prejudice to renewal. Jury selection was postponed.

Subsequently, psychologists at the Metropolitan Correctional Center examined Findley on three different occasions and ultimately determined that he was a “malingerer.” Their report indicated that Findley was “describing himself as extremely disturbed and endorsing significantly more psychological symptoms than do most psychiatric patients,” and concluded that Findley was deliberately attempting to appear more psychologically disturbed than he actually was. Therefore, Findley was deemed competent to stand trial.

In April 1999, Findley submitted a pro se motion to relieve Stapleton as trial counsel alleging that Stapleton harbored bad faith and failed to discuss defense strategies with Findley. The district court held a hearing on Findley’s motion, during which Findley argued that there was a “conflict of interest” between him and Sta-pleton because Stapleton had repeatedly lied to him. In response, Stapleton indicated that he had had no communication with Findley since Findley’s last appearance in court. Stapleton further stated that he had provided Findley with all discovery (which Findley disputed) and had given Findley a “candid estimation” of how the trial would proceed and end. Staple-ton also described Findley’s aggressiveness toward him, but expressed his willing[121]*121ness to continue to represent Findley, since he believed that Findley would act similarly with any other attorney. Ultimately, the district court denied Findley’s motion, stating: “If I have to make a choice between believing what you tell me and believing what Mr. Stapleton tells me, I’m going to believe Mr. Stapleton. I don’t believe you.” J.A. at 61.

In June 1999, the parties convened for jury selection, during which Stapleton moved again to withdraw as Findley’s counsel. Stapleton described Findley’s threatening behavior and stated: “I’m going to move for the record one more time to withdraw because I cannot represent this man. He is impossible to deal with. He does not have a defense and he refuses to listen to reason. And he doesn’t want me any more than I want him.” J.A. at 76. Findley echoed Stapleton’s request, contending that Stapleton had failed to appear for meetings, had failed to provide him with evidence and paperwork related to his case and had also lied.

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Cite This Page — Counsel Stack

Bluebook (online)
272 F.3d 116, 2001 U.S. App. LEXIS 24061, 2001 WL 1396518, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-john-doe-1-ca2-2001.