United States v. John Doe

429 F.3d 450, 2005 U.S. App. LEXIS 25256, 2005 WL 3117202
CourtCourt of Appeals for the Third Circuit
DecidedNovember 23, 2005
Docket04-4136
StatusPublished
Cited by25 cases

This text of 429 F.3d 450 (United States v. John Doe) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third 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, 429 F.3d 450, 2005 U.S. App. LEXIS 25256, 2005 WL 3117202 (3d Cir. 2005).

Opinion

OPINION OF THE COURT

ROSENN, Circuit Judge.

This appeal raises several serious questions concerning the time-respected role of privileged communication between client and attorney and the crime-fraud exception. For almost four years now, the Government has had an active grand jury investigating certain activities of a federal law enforcement officer (hereinafter referred to as “Target”). The Government submitted details of the investigation to the District Court under seal through an ex parte affidavit of Peter R. Zeidenberg, a trial attorney of the Criminal Division of the Public Integrity Section of the United States Department of Justice. The Government sought the grand jury testimony of an attorney (hereinafter referred to as “Attorney”) from whom Target sought legal advice in connection with an allegedly fraudulent, and likely criminal, course of conduct. Specifically, the Government claims to have discovered evidence that Target proposed to engage in future criminal conduct, and that Target’s purpose in consulting Attorney was to ascertain how best to conceal the illegal activity in which he planned to engage.

Attorney refused to respond to a grand jury subpoena, invoking the attorney-client privilege and moving to quash the subpoena. The District Court for the District of New Jersey conducted a sealed hearing on the motion to quash. The Government argued that the crime-fraud exception to the privilege applied to Target’s conversations with the lawyer because they were in furtherance of Target’s planned criminal activity. The Government also opposed the motion to quash because certain conversations between the attorney and Target involved the participation and presence of a third party (hereinafter referred to as “Witness”) that dispelled the privilege.

The District Court issued an oral ruling granting the motion to quash, concluding that the crime-fraud exception did not apply and that the presence of Witness did not dispel the privilege. The Government timely appealed. For reasons set forth below, we reverse and direct the denial of the motion to quash.

I.

On appeal, the Government raises two issues of law: (1) that the District Court erred in applying a “cumulative evidence” standard to the motion to quash because the testimony sought was unnecessary for the grand jury in light of the testimony that it had already heard, and (2) the Court erred in interpreting the crime-fraud exception to require an attorney’s knowing furtherance of the client’s crime before the privilege can be pierced. We exercise de novo review over the issues of law underlying the application of the attorney-client privilege. In re Impounded, 241 F.3d 308, 312 (3d Cir.2001). As to other issues, our standard of review of the application of that law is for abuse of discretion. Id.

II.

The attorney-client privilege is a well-established historic rule which protects confidential communications between client and attorney. The privilege belongs to the client, not the attorney. The Supreme Court has long emphasized that the central concern of the privilege is to “encourage full and frank communication between attorneys and their clients and *453 thereby promote broader public interests in the observance of law and administration of justice.” United States v. Zolin, 491 U.S. 554, 562, 109 S.Ct. 2619, 105 L.Ed.2d 469 (1989) (quoting Upjohn Co. v. United States, 449 U.S. 383, 389, 101 S.Ct. 677, 66 L.Ed.2d 584 (1981)). The attorney-client privilege under federal law is the “oldest of the privileges for confidential communications known to the common law.” Id.; State of Maine v. U.S. Dept. of the Interior, 298 F.3d 60, 70 (1st Cir.2001). The privilege is not lost if a client proposes a course of conduct which he is advised by counsel is illegal, but is extinguished when a client seeks legal advice to further a continuing or future crime. Zolin, 491 U.S. at 563, 109 S.Ct. 2619. Because this ancient and valuable privilege is at the expense of the full discovery of the truth, it should be strictly construed. In re Grand Jury Proceedings, 219 F.3d 175, 182 (2nd Cir.2000).

The common interest privilege allows for two clients to discuss their affairs with a lawyer, protected by the attorney-client privilege, so long as they have an “identical (or nearly identical) legal interest as opposed to a merely similar interest.” F.D.I.C. v. Ogden Corp., 202 F.3d 454, 461 (1st Cir.2000). The District Court found that Target and Witness shared a common interest, and therefore, the presence of Witness did not vitiate the attorney-client privilege. The Government has not challenged this finding of common interest on appeal and so we do not reach this issue

III.

A.

The Government contends that the District Court erred by focusing on whether Attorney’s testimony would be necessary and cumulative. Although the Government must make a preliminary showing of relevance, necessity and significance are not part of the showing. In re Grand Jury Proceedings, 507 F.2d 963, 966 (3rd Cir.1975); In re Grand Jury Matter, 906 F.2d 78, 88 (3d Cir.1990) (“ ‘Requiring the government to show both that the information it hopes to obtain ... is significant and that that information is unavailable from other sources would obviously impair the efficiency of grand juries.’ ... The grand jury cannot be constrained to acquire only the minimum evidence necessary to secure an indictment and is free to pursue cumulative leads.”) (quoting In re Grand Jury Proceedings, 862 F.2d 430, 431-32 (2d Cir.1988)). The purpose of the grand jury is not to determine guilt or innocence of any person but to investigate and determine whether or not there is probable cause to prosecute a particular defendant. United States v. R. Enters., Inc., 498 U.S. 292, 297-98, 111 S.Ct. 722, 112 L.Ed.2d 795 (1991). It is the best judge of what evidence it deems necessary in the pursuit of its investigation. “How much information is ‘enough’ is a matter for the judgment of the grand jurors and the prosecution rather than the court.” In re Grand Jury Matter, 906 F.2d at 88.

In stating its oral decision in this case, the District Court confined its statements to the conduct of the attorney and made no comments on whether the testimony of the attorney was cumulative or necessary.

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

Related

Abbott Laboratories v.
Third Circuit, 2024
Stoud v. Susquehanna County
M.D. Pennsylvania, 2020
Saint Annes Dev. Co. v. Russ
2018 NY Slip Op 451 (Appellate Division of the Supreme Court of New York, 2018)
McCullough v. Fraternal Order of Police
304 F.R.D. 232 (N.D. Illinois, 2014)
Schaeffler v. United States
22 F. Supp. 3d 319 (S.D. New York, 2014)
In Re Grand Jury Subpoena
745 F.3d 681 (Third Circuit, 2014)
Hyatt v. California Franchise Tax Board
105 A.D.3d 186 (Appellate Division of the Supreme Court of New York, 2013)
In Re Neurontin Antitrust Litigation
801 F. Supp. 2d 304 (D. New Jersey, 2011)
United States v. Ian Norris
419 F. App'x 190 (Third Circuit, 2011)
United States v. Trenk
385 F. App'x 254 (Third Circuit, 2010)
United States v. Antolini
271 F. App'x 268 (Third Circuit, 2008)
In Re:Teleglobe Comm
Third Circuit, 2007
In Re Teleglobe Communications Corp.
493 F.3d 345 (Third Circuit, 2007)
Highland Tank & Mfg. Co. v. PS International, Inc.
246 F.R.D. 239 (W.D. Pennsylvania, 2007)
Wachtel v. Health Net, Inc.
482 F.3d 225 (Third Circuit, 2007)
In Re Grand Jury Subpoena Issued to Galasso
913 A.2d 78 (New Jersey Superior Court App Division, 2006)
In Re the Twenty-Fourth Statewide Investigating Grand Jury
907 A.2d 505 (Supreme Court of Pennsylvania, 2006)
Wachtel v. Guardian Life Ins.
239 F.R.D. 376 (D. New Jersey, 2006)

Cite This Page — Counsel Stack

Bluebook (online)
429 F.3d 450, 2005 U.S. App. LEXIS 25256, 2005 WL 3117202, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-john-doe-ca3-2005.