United States v. Phillip R. Balano

618 F.2d 624
CourtCourt of Appeals for the Tenth Circuit
DecidedMay 20, 1980
Docket78-1314
StatusPublished
Cited by107 cases

This text of 618 F.2d 624 (United States v. Phillip R. Balano) 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. Phillip R. Balano, 618 F.2d 624 (10th Cir. 1980).

Opinions

McKAY, Circuit Judge.

Balano has twice been tried, the first trial resulting in a hung jury. Following his conviction on one count of violating 18 U.S.C. § 3 (1976) as an accessory after the fact to interstate transportation of stolen goods, Balano raises several issues on appeal. His primary contention is that the district court erred in admitting into evidence the grand jury testimony of a convicted participant in the crime, after the witness had refused to testify at trial because of alleged coercion by Balano. Balano also challenges the sufficiency of the evidence to support the conviction, the trial court’s refusal to permit the introduction for impeachment purposes of another participant’s answer to an interrogatory, the court’s refusal to dismiss the indictment at the end of the first trial, and the sufficiency of the indictment. We reject each of Balano’s arguments and affirm his conviction.

I.

Balano was originally charged in two of the three counts of an indictment. Count I, which did not name Balano, charged that one Samuel Bernstein aided and abetted Dominick J. Carullo and James E. Johnston in the interstate transportation of stolen coins. The coins were stolen in Kansas, removed to Missouri, and then returned to Kansas. Carullo and Johnston were separately indicted; each pleaded guilty and was sentenced to five years in prison. The fence to whom most of the stolen coins were sold, William Reese, was also separately indicted, and he too pleaded guilty. Following a hung jury in the first trial, Bernstein’s case was severed from Balano’s. In Count III, Balano and Saul Rosen, his partner in Sol’s Loan Office in Kansas City, Kansas, were charged with transporting the stolen goods in interstate commerce. Before submitting the case to the jury, the trial court removed Count III from the indictment because of insufficient evidence.

In Count II, the only count remaining directly in issue on appeal, Balano and Rosen were charged as accessories after the fact for knowingly aiding Carullo and Johnston after the robbery.1 The trial court [626]*626denied Balano and Rosen’s motion for acquittal at the close of the evidence and, after the jury could not reach a verdict, denied a renewed acquittal motion.2 At this first trial the government relied almost exclusively on the testimony of Johnston, a participant in the robbery, whose testimony linked Balano marginally, but clearly, with the crimes. The other participant, Carullo, refused to testify even after a grant of immunity. He was cited for contempt and sentenced to an additional six months’ imprisonment. Before the second trial Carullo indicated that he would again refuse to testify. After an evidentiary hearing, the court permitted the introduction of Carullo’s grand jury testimony, which tied Balano more closely to the criminal scheme. Balano was convicted, his acquittal motions were denied, and this appeal resulted.

II.

On both statutory and constitutional grounds, Balano challenges the admission of Carullo’s grand jury testimony. Balano first questions the trial court’s finding that the necessary requirements were present to justify admission of the hearsay evidence under Fed.R.Evid. 804(b)(5). Even if statutory justification for admission did exist, however, Balano charges that the admission of the grand jury evidence in this case denied him his constitutional right “to be confronted with the witnesses against him.” U.S.Const. amend. VI.

The trial court agreed that, absent waiver, the prior grand jury testimony of an unavailable witness should be inadmissible as evidence of a defendant’s guilt. However, the court held that Balano had effectively waived his right to confront Carullo by threatening his life. Although we will not lightly accept findings of waiver of the constitutional right of confrontation, we hold that the trial court’s careful consideration of the evidence of coercion justified its finding in this case. Because we find a waiver of confrontation rights, we need not consider whether the testimony met the standards for admission under Rule 804(b)(5). A valid waiver of the constitutional right is a fortiori a valid waiver of an objection under the rules of evidence.

A.3

We must reach the waiver question because we find that, absent waiver, Balano’s Confrontation Clause rights were violated. In its Memorandum and Order, the trial court correctly stated that, at the time, “[ejven with . . . indicia of reliability, it appears no Court has been willing, without more, to sanction use of an unavailable witness’ grand jury testimony as substantive evidence at trial to reflect upon a defendant’s guilt.” Record, vol. 1, at 108. See United States v. Carlson, 547 F.2d 1346, 1357 (8th Cir. 1976), cert. denied, 431 U.S. 914, 97 S.Ct. 2174, 53 L.Ed.2d 224 (1977); United States v. Fiore, 443 F.2d 112, 115 (2d Cir. 1971). Because of United States v. West, 574 F.2d 1131 (4th Cir. 1978), the [627]*627district court’s statement is no longer correct. In West, the Fourth Circuit permitted introduction of grand jury testimony (after the death of the witness) because of strong guarantees of the testimony’s reliability. See also United States v. Garner, 574 F.2d 1141 (4th Cir.), cert. denied, 439 U.S. 936, 99 S.Ct. 333, 58 L.Ed.2d 333 (1978). We believe, however, that West improperly reduces the Confrontation Clause to a mere consideration of evidentiary value.

The West court recognized that the Confrontation Clause and the historical hearsay rules are not congruent. The Supreme Court has “more than once found a violation of confrontation values even though the statements in issue were admitted under an arguably recognized hearsay exception.” California v. Green, 399 U.S. 149, 155-56, 90 S.Ct. 1930, 1934, 26 L.Ed.2d 489 (1970), citing Barber v. Page, 390 U.S. 719, 88 S.Ct. 1318, 20 L.Ed.2d 255 (1968); Pointer v. Texas, 380 U.S. 400, 85 S.Ct. 1065, 13 L.Ed.2d 923 (1965). See also United States v. Roberts, 583 F.2d 1173, 1176 (10th Cir. 1978), cert. denied, 439 U.S. 1080, 99 S.Ct. 862, 59 L.Ed.2d 49 (1979). Although “the Sixth Amendment’s Confrontation Clause and the evidentiary hearsay rule stem from the same roots . . [the Supreme] Court has never equated the two.” Dutton v. Evans, 400 U.S. 74, 86, 91 S.Ct. 210, 218, 27 L.Ed.2d 213 (1970). Despite its recognition of these differences, however, the Fourth Circuit found that “the same circumstances suffice to meet the requirements of [Rule] 804(b)(5) and of the Confrontation Clause.” 574 F.2d at 1138. We disagree.4

The Confrontation Clause is not concerned only with the inherent veracity of hearsay statements.

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

Related

Anderson v. Royal
D. Nevada, 2025
Silva v. Garland
27 F.4th 95 (First Circuit, 2022)
Agustin Valenzuela Gallardo v. William Barr
968 F.3d 1053 (Ninth Circuit, 2020)
ANDERSON (ARNOLD) VS. STATE
2019 NV 37 (Nevada Supreme Court, 2019)
Anderson v. State
447 P.3d 1072 (Nevada Supreme Court, 2019)
VALENZUELA GALLARDO
27 I. & N. Dec. 449 (Board of Immigration Appeals, 2018)
United States v. Davis
750 F.3d 1186 (Tenth Circuit, 2014)
United States v. Prince
647 F.3d 1257 (Tenth Circuit, 2011)
People v. Giles
152 P.3d 433 (California Supreme Court, 2007)
State v. Wright
726 N.W.2d 464 (Supreme Court of Minnesota, 2007)
Gonzalez v. State
195 S.W.3d 114 (Court of Criminal Appeals of Texas, 2006)
People v. Hampton
842 N.E.2d 1124 (Appellate Court of Illinois, 2006)
State v. Romero
2006 NMCA 045 (New Mexico Court of Appeals, 2006)
Commonwealth v. Edwards
830 N.E.2d 158 (Massachusetts Supreme Judicial Court, 2005)
United States v. Gray
Fourth Circuit, 2005
State v. Hale
2005 WI 7 (Wisconsin Supreme Court, 2005)
United States v. Johnson
354 F. Supp. 2d 939 (N.D. Iowa, 2005)
State v. Henry
820 A.2d 1076 (Connecticut Appellate Court, 2003)
United States v. Quarrell
310 F.3d 664 (Tenth Circuit, 2002)
Commonwealth v. Laich
777 A.2d 1057 (Supreme Court of Pennsylvania, 2001)

Cite This Page — Counsel Stack

Bluebook (online)
618 F.2d 624, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-phillip-r-balano-ca10-1980.