United States v. Melvin D. Wallace and Arthur M. Levin

964 F.2d 1214, 296 U.S. App. D.C. 93, 1992 U.S. App. LEXIS 12144, 1992 WL 114443
CourtCourt of Appeals for the D.C. Circuit
DecidedJune 2, 1992
Docket91-5210
StatusPublished
Cited by142 cases

This text of 964 F.2d 1214 (United States v. Melvin D. Wallace and Arthur M. Levin) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. 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. Melvin D. Wallace and Arthur M. Levin, 964 F.2d 1214, 296 U.S. App. D.C. 93, 1992 U.S. App. LEXIS 12144, 1992 WL 114443 (D.C. Cir. 1992).

Opinion

Opinion for the court filed by Circuit Judge HARRY T. EDWARDS.

HARRY T. EDWARDS, Circuit Judge:

This case requires us to decide whether a criminal defense attorney who, through inattention, failed to subpoena friendly witnesses acted either unreasonably and vexatiously to multiply the proceedings or in bad faith. The District Court so found and sanctioned the attorney under 28 U.S.C. § 1927 (1988) and the trial court’s inherent powers. On the record before us, we find negligent, even sloppy, performance by the defense counsel, but nothing to suggest vexatiousness or bad faith. We therefore reverse the sanctions imposed.

I. Background

On Wednesday, March 20, 1991, six days before the trial in United States v. Wallace, Crim. No. 91-21 (D.D.C.1991), was scheduled to begin, defense attorney Arthur Levin realized that he had not subpoenaed the witnesses he expected to present. That afternoon, Levin, who was in the midst of another trial, contacted his court-appointed investigator and, the next morning, met with the investigator and instructed him to serve the subpoenas.

On Monday, March 25, 1991, one day before trial, Levin learned that the subpoenas still had not been served. Levin contacted the District Court Judge and scheduled a status conference, at which he informed the court that the defense witnesses were not under subpoena. Levin acknowledged the problem that he had created, but advised the trial court that he thought he could be ready for trial on the next day:

For the court’s information, I felt it was irresponsible of me to wait to notify the court when I discovered my witnesses were not under subpoena. I think I can still be ready by tomorrow, but I wanted to alert the court that I had a problem with tomorrow’s 9:30 trial time ... [i]n terms of having my witnesses under subpoena and knowing, because they were under subpoena, they would be here.

Transcript of Status Call, March 25, 1991, at 3 (“Tr. I”). Levin also offered to “pay whatever price is appropriate under the circumstances.” Id. at 5. The court ordered Levin to attempt to contact the witnesses that evening and said it would “wait until tomorrow morning” to consider any sanction. Id. Levin agreed with this *1216 course of action and stated that he would contact the witnesses himself “immediately upon leaving court.” Id.

The trial judge also advised Levin that a guaranteed jury 1 had been secured for the morning. Id. The status conference then concluded with all parties agreeing to be present at 9:30 the next morning, although there was some disagreement over whether the original time had been 10:00.

The Court: All right. The court will go forward tomorrow morning, then.
Mr. Levin: We’ll be here at 9:30.
The Court: All right, get your investigator. We’ll adjourn this hearing until 9:30 tomorrow morning.
Mr. Levin: Thank you, Your Honor.
Mr. Beasley [the Assistant U.S. Attorney]: Your Honor, I just want to be clear on that start time tomorrow. I see listed a note on [the] jacket that indicated that it was to start at ten, and—
The Court: We’re going to start at 9:30. Mr. Beasley: That’s fine.
Mr. Levin: That was my recollection of the time you said at the motions — I mean at the status call, Your Honor, but I’ll be happy to be here at 9:30. I have nothing else scheduled.
The Court: It’s at 9:30.
Mr. Levin: That will be fine, Your Hon- or.
Mr. Beasley: That’s fine, Your Honor. The Court: All right.

Tr. I at 10-11.

On March 26, the witnesses failed to show-up in time for trial at the scheduled time of 9:30 a.m. Although Levin had contacted the coordinating witness the previous evening, and had received assurances that all would be in court that morning, he could not account for their absence. He told the court:

I am not ready to go forward this morning. I contacted the major witness last night. I did reach her. She had promised to be in the Lawyers’ Lounge at 9:00 this morning____ I told her we would start at 9:30. I’m sorry____ I cannot provide this court any reasonable assurance, since none of the witnesses have been physically subpoenaed, that they will be here at 10:00, or at 9:30 this morning. The hour now, as Your Honor is aware, is about 9:35.
I take, as I did yesterday, full responsibility for failing to subpoena these people timely. Two of .the three witnesses were here at the last status call[ 2 ] and I just did not have the subpoenas with me, and when I realized last Wednesday night, while reviewing this file in the midst of another ease, that I did not have copies of the subpoenas, which meant, of course, to me, based on my practice of 16 years, I always make a copy so that the witness has a copy and I have a copy, and both are executed by the witness when they receive the subpoena, I immediately called my investigator, who met me Thursday morning. He showed up Thursday and I gave him the names and the phone numbers and all the necessary information, and I learned yesterday that he had not been able to effect service.

Transcript of Hearing, March 26, 1991, at 2-3 (“Tr. II”).

The trial court, after inquiring whether the defendant wished to have new counsel appointed and after rescheduling the case, then notified Levin that it would assess sanctions, to which Levin initially acceded:

The Court: ... [W]e had a guaranteed jury this morning, did we not?
The Clerk: That’s correct.
The Court-. I want to know the cost, and I’m going to assess the excess cost and expenses and attorney’s fees incurred by the government against Arthur Levin under 28 U.S.C. 1927 as soon as the court is properly advised as to what they are.
Mr. Beasley: Yes, Your Honor.
*1217 The Court: You shall file a memorandum with respect to those costs of this delay ... occasioned by defense counsel in his failure to subpoena the alleged essential witnesses for the defense ... so we couldn’t proceed to trial today.
Mr. Levin: Your Honor, for the court’s general information, based on past information, I believe juries, the cost of bringing in a jury panel is approximately $750. I understand the court’s ruling, and as soon as Your Honor gives me a number, I’ll abide by the court’s order.
The Court: Well, I have great affection for you, Mr.

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Bluebook (online)
964 F.2d 1214, 296 U.S. App. D.C. 93, 1992 U.S. App. LEXIS 12144, 1992 WL 114443, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-melvin-d-wallace-and-arthur-m-levin-cadc-1992.