United States v. Polizzi
This text of 500 F.2d 856 (United States v. Polizzi) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
Opinions
OPINION
RENFREW, District Judge:
In 1966 and 1967, appellants Zerilli and Polizzi acquired hidden interests in Vegas Frontier, Inc. (VFI), a Nevada corporation, which leased and operated the Frontier Hotel in Las Vegas, Nevada. VFI was also licensed to conduct gambling at the hotel, which opened in July of 1967. Neither Zerilli nor Polizzi was licensed by the Nevada gaming authorities, nor was either man’s interest in VFI disclosed to those authorities. After extensive negotiations, VFI was sold in November, 1967, to Howard Hughes.
Following a very lengthy and complex trial,1 Zerilli, Polizzi, and the Other appellants were convicted of conspiracy (18 U.S.C. § 371) to violate 18 U.S.C. § 1952 2 (Interstate and Foreign Travel or Transportation in Aid of Racketeering Enterprises) and of substantive violations of that section. Appellants challenge their convictions on a number of bases. They contend:
1. That the prosecution failed to show a violation of § 1952.
2. That, if a violation were shown, the laws in question would be unconstitutionally vague.
3. That the court erred in instructing the jury.
4. That the publicity surrounding their trial deprived them of a fair trial and that there was jury misconduct which the court refused to investigate.
5. That the label “Mafia” was applied to them in a public list of Mafia figures made by the Department of Justice and that the list was submitted in the grand jury proceedings and [869]*869in the trial in this case and that these actions constitute a deprivation of their rights of due process.
6. That the trial court committed error in the permission it gave to the prosecution to cross-examine certain of the appellants about their reputations as members of the Mafia when the appellants had not presented evidence of character or reputation.
7. That they were deprived of a fair trial by misconduct of the prosecutor which the trial court sanctioned.
8. That the testimony of a key prosecution witness should have been stricken in that the prosecution’s untimely production of his pretrial statements violated the Jencks Act.
9. That error was committed in the admission of the testimony of that witness on the grounds that part of the testimony was conclusively demonstrated to be false, and admitted to be false by the witness.
10. That promises of leniency made to the witness by the prosecution were not disclosed.
11. That the acts complained of were a unitary crime and that it was not proper for them to be convicted of a conspiracy and substantive violations based upon the same conduct.
12. That the venue of the trial court was improper.
13. That the court below erred in refusing to grant appellant Gi-ordano’s
14. That the court below erred in failing to instruct the jury that evidence admitted after appellant Gior-dano had rested at the close of the prosecution’s case could not be considered against him.
15. That appellant Giordano’s motion for acquittal at the close of the prosecution’s case should have been granted.
16. That appellant Emprise is not liable for any criminal acts that its predecessor in interest allegedly committed.
17. That the evidence was insufficient to support their convictions.
18. That the trial was materially tainted by leads from unlawful electronic surveillance.
Having carefully considered each of these contentions, we affirm the convictions below. Although this opinion is longer than we would have preferred, appellants have raised and argued so many points in 534 pages of briefs, exclusive of appendices and exhibits, that we find a lengthy opinion unavoidable.
I. Violation of § 1952
Appellants’ threshold contention is that their conduct did not come within the coverage of the federal Travel Act (18 U.S.C. § 1952), raising two issues as to the meaning of the statute. Section 1952 condemns interstate travel or the use of interstate facilities in the furtherance of “any unlawful activity,” defined as including “any business enterprise involving gambling * * * offenses in violation of the laws of the State in which they are committed or of the United States * * A violation of § 1952 thus must be premised upon another distinct violation of state or federal law.
Although state law becomes the focus of this inquiry, “the gravamen of a charge under § 1952 is the violation of federal law * * United States v. Karigiannis, 430 F.2d 148, 150 (7 Cir. 1970) (Clark, J.), cert. denied, 400 U.S. 904, 91 S.Ct. 143, 27 L.Ed.2d 141 (1970). “Reference to state law is necessary only to identify the type of unlawful activity in which the defendants intended to engage.” United States of America v. Rizzo, 418 F.2d 71, 74 (7 Cir. 1969), cert. denied, 397 U.S. 967, 90 S.Ct. 1006, 25 L.Ed.2d 260 (1970).
While the Government’s theory was not succinctly stated, either in its brief or at oral argument, it does emerge [870]*870from a careful reading of the indictment and information3 together with the court’s instructions to the jury 4 that appellants violated the federal Travel Act by conduct which was a “business enterprise” that involved “gambling * * * offenses” in violation of Nevada Revised Statutes (N.R.S. § 463.160 5 in that Zer-illi and Polizzi’s interests in the gambling conducted by VFI at the Frontier Hotel were hidden from the Nevada gaming authorities.
Appellants’ first argument is that since VFI had a gambling license as required by Nevada law, their activity could not be unlawful within the meaning of Uhe federal Travel Act. They rely considerably on one instruction, to which the government did not object, that VFI was licensed and that the gambling it conducted could not be found illegal.6 Appellants’ counsel stated at oral argument that, even if appellants procured the VFI license fraudulently, there would be no criminal violation of Nevada law. We disagree.
This instruction meant only that the trial court did not believe that the prosecution could rely upon N.R.S. § 463.-160(1)(a). The license would not be [871]*871viewed as void ab initio, and the appellants could not be prosecuted for conducting a gambling enterprise without a license. Nor could the prosecutor “pierce the corporate veil” to reach appellants.7 The instruction does not, however, legitimize all the acts of appellants in obtaining the license. N.R.S.
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OPINION
RENFREW, District Judge:
In 1966 and 1967, appellants Zerilli and Polizzi acquired hidden interests in Vegas Frontier, Inc. (VFI), a Nevada corporation, which leased and operated the Frontier Hotel in Las Vegas, Nevada. VFI was also licensed to conduct gambling at the hotel, which opened in July of 1967. Neither Zerilli nor Polizzi was licensed by the Nevada gaming authorities, nor was either man’s interest in VFI disclosed to those authorities. After extensive negotiations, VFI was sold in November, 1967, to Howard Hughes.
Following a very lengthy and complex trial,1 Zerilli, Polizzi, and the Other appellants were convicted of conspiracy (18 U.S.C. § 371) to violate 18 U.S.C. § 1952 2 (Interstate and Foreign Travel or Transportation in Aid of Racketeering Enterprises) and of substantive violations of that section. Appellants challenge their convictions on a number of bases. They contend:
1. That the prosecution failed to show a violation of § 1952.
2. That, if a violation were shown, the laws in question would be unconstitutionally vague.
3. That the court erred in instructing the jury.
4. That the publicity surrounding their trial deprived them of a fair trial and that there was jury misconduct which the court refused to investigate.
5. That the label “Mafia” was applied to them in a public list of Mafia figures made by the Department of Justice and that the list was submitted in the grand jury proceedings and [869]*869in the trial in this case and that these actions constitute a deprivation of their rights of due process.
6. That the trial court committed error in the permission it gave to the prosecution to cross-examine certain of the appellants about their reputations as members of the Mafia when the appellants had not presented evidence of character or reputation.
7. That they were deprived of a fair trial by misconduct of the prosecutor which the trial court sanctioned.
8. That the testimony of a key prosecution witness should have been stricken in that the prosecution’s untimely production of his pretrial statements violated the Jencks Act.
9. That error was committed in the admission of the testimony of that witness on the grounds that part of the testimony was conclusively demonstrated to be false, and admitted to be false by the witness.
10. That promises of leniency made to the witness by the prosecution were not disclosed.
11. That the acts complained of were a unitary crime and that it was not proper for them to be convicted of a conspiracy and substantive violations based upon the same conduct.
12. That the venue of the trial court was improper.
13. That the court below erred in refusing to grant appellant Gi-ordano’s
14. That the court below erred in failing to instruct the jury that evidence admitted after appellant Gior-dano had rested at the close of the prosecution’s case could not be considered against him.
15. That appellant Giordano’s motion for acquittal at the close of the prosecution’s case should have been granted.
16. That appellant Emprise is not liable for any criminal acts that its predecessor in interest allegedly committed.
17. That the evidence was insufficient to support their convictions.
18. That the trial was materially tainted by leads from unlawful electronic surveillance.
Having carefully considered each of these contentions, we affirm the convictions below. Although this opinion is longer than we would have preferred, appellants have raised and argued so many points in 534 pages of briefs, exclusive of appendices and exhibits, that we find a lengthy opinion unavoidable.
I. Violation of § 1952
Appellants’ threshold contention is that their conduct did not come within the coverage of the federal Travel Act (18 U.S.C. § 1952), raising two issues as to the meaning of the statute. Section 1952 condemns interstate travel or the use of interstate facilities in the furtherance of “any unlawful activity,” defined as including “any business enterprise involving gambling * * * offenses in violation of the laws of the State in which they are committed or of the United States * * A violation of § 1952 thus must be premised upon another distinct violation of state or federal law.
Although state law becomes the focus of this inquiry, “the gravamen of a charge under § 1952 is the violation of federal law * * United States v. Karigiannis, 430 F.2d 148, 150 (7 Cir. 1970) (Clark, J.), cert. denied, 400 U.S. 904, 91 S.Ct. 143, 27 L.Ed.2d 141 (1970). “Reference to state law is necessary only to identify the type of unlawful activity in which the defendants intended to engage.” United States of America v. Rizzo, 418 F.2d 71, 74 (7 Cir. 1969), cert. denied, 397 U.S. 967, 90 S.Ct. 1006, 25 L.Ed.2d 260 (1970).
While the Government’s theory was not succinctly stated, either in its brief or at oral argument, it does emerge [870]*870from a careful reading of the indictment and information3 together with the court’s instructions to the jury 4 that appellants violated the federal Travel Act by conduct which was a “business enterprise” that involved “gambling * * * offenses” in violation of Nevada Revised Statutes (N.R.S. § 463.160 5 in that Zer-illi and Polizzi’s interests in the gambling conducted by VFI at the Frontier Hotel were hidden from the Nevada gaming authorities.
Appellants’ first argument is that since VFI had a gambling license as required by Nevada law, their activity could not be unlawful within the meaning of Uhe federal Travel Act. They rely considerably on one instruction, to which the government did not object, that VFI was licensed and that the gambling it conducted could not be found illegal.6 Appellants’ counsel stated at oral argument that, even if appellants procured the VFI license fraudulently, there would be no criminal violation of Nevada law. We disagree.
This instruction meant only that the trial court did not believe that the prosecution could rely upon N.R.S. § 463.-160(1)(a). The license would not be [871]*871viewed as void ab initio, and the appellants could not be prosecuted for conducting a gambling enterprise without a license. Nor could the prosecutor “pierce the corporate veil” to reach appellants.7 The instruction does not, however, legitimize all the acts of appellants in obtaining the license. N.R.S. § 463.160(1) (c) covers precisely the charges here against appellants: receiving compensation from gambling conducted without having procured and maintained licenses as required by law.8
Appellants argue, however, that N.R.S. § 463.160(1) (c) only requires that the gambling be licensed and does not reach fraud or other violations in obtaining the license. Acceptance of this construction of Nevada law would effectively emasculate the statutory scheme of requiring the disclosure of the identities of the persons who would be involved in the gambling enterprise. This disclosure requirement has as its purpose the prevention of the infiltration of criminal elements into gambling in Nevada.9 Section 463.160(1) (c) requires not only that a license be procured and maintained, but also that it must be procured and maintained in a manner that satisfies the other provisions of the gambling law. The term “as required by statute” must be viewed in light of the strong state policy behind the statutes. The interpretation offered by appellants would give free rein to criminal elements in their attempts to infiltrate Nevada gambling. The most they would risk would be the administrative revocation of their corporation’s license. They would become criminally liable only if they operated a gambling enterprise without procuring a license, and the most dangerous elements could easily avoid such a blatant violation of Nevada law. Given these considerations, the only reasonable construction of N.R. S. § 463.160(1) (e) is that persons receiving compensation from the gambling operation must fulfill all other state requirements surrounding the granting of a license.10
Appellants violated those other provisions by failing to disclose the identities of Zerilli and Polizzi as persons having an interest in VFI. Under N.R.S. § 463.170(2), applicants for a corporate license had to disclose “persons having any direct or indirect interest therein of any nature whatsoever, whether financial, administrative, policymaking or supervisory * * 11 [872]*872The disclosure requirement must be complete in order to meet the policy of the Nevada gambling laws. Appellants stress that the corporate-license application form supplied by the state required only the listing of the names of corporate officers and shareholders. Since VFI’s application complied with this requirement, they argue, there was no failure to disclose. This argument, if accepted, would turn the detailed statutes governing the control of licensing into a mere formality. Disclosure of nominal officers and shareholders would guarantee legality and shield the very persons as to whom the disclosure requirements are directed. The Attorney General of Nevada in 1960 gave his opinion that N.R.S. § 463.170(2) gave power to state authorities “to require those persons having administrative, policymaking or supervisory interest in the operation to qualify for licensing.” To utilize that authority effectively, he stressed, the authorities would need to obtain information about those persons. Official Opinions of the Attorney General of Nevada, 1960-1962, pp. 83-84 (1960). There was no hint that formalities suffice or should be exalted over substance. In this ease, the information and indictment emphasized that Zerilli and Polizzi held the real interests in VFI and controlled the nominal shareholders. The trial court, in its instructions on the definition of “owner” as used in the Nevada statutes, stressed the reality of ownership rather than formal titles. (Reporter’s Transcript, Vol. 43, p. 8765.) These statutes require disclosure of the names of all persons with actual control or financial interests in the gambling enterprise.12
The acts of appellants charged and proven in this case therefore were prohibited by state law.13 Appellants, however, raise further objections. They contend that, even if they did violate Nevada law, their violations were not criminal and therefore do not come within the ambit of § 1952. They characterize their conduct as merely “operating a casino with a state corporate li[873]*873cense but without other required state licenses.” That theory, however, is based upon the government’s contention that all persons with a direct or indirect interest in a gambling casino must be licensed. We find no such requirement in Nevada law.14 The violations of Nevada law in question here were not by VFI, but rather by those in control of VFI who did not disclose the interests of Zer-illi and Polizzi. The trial court preserved the corporate fiction and the legality of the gambling operations conducted by the corporation. Hence appellants’ argument that N.R.S. § 463.310 specifically establishes only an administrative penalty available to the authorities in this case — revocation of VFI’s license — is in error. That provision does set the procedures for disciplinary action against the licensee, but here the licensee has not been prosecuted for violating Nevada law. Since there is no specific penalty prescribed for a violation of N.R.S. § 463.160(1) (c), the “catch-all” section, N.R.S. § 463.360(2)15 would apply.16 That violation, there characterized as a gross misdemeanor, would be a criminal infraction.17
Appellants’ second argument is that § 1952 reaches only wholly unlawful business enterprises and, since gaming is legal in Nevada, the federal Travel Act does not apply. They cite United States v. Roselli, 432 F.2d 879 (9 Cir. 1970), cert. denied, 401 U.S. 924, 91 S.Ct. 883, 27 L.Ed.2d 828 (1971), rehearing denied, 402 U.S. 924, 91 S.Ct. 1366, 28 L.Ed.2d 665 (1971), in support. Their reliance upon Roselli is misplaced.. There the Court accepted only for the purposes of argument the premise that the scope of § 1952 was limited to illegal business enterprises and even on that basis found such an illegal enterprise (432 F.2d 879 at 887-888). Appellants overlook that earlier in that opinion this Court observed:
“If section 1952 applied only when all business activity was absolutely prohibited in the particular field, the reach of the section would be materially diminished without apparent reason in terms of the statute’s purpose. There is no evidence that Congress intended this result.” 432 F.2d 879 at 887.
Nor do appellants’ general references to the legislative history of § 1952 support this contention.18 The statutory language is clear. “Section 1952 speaks not of illegal gambling, but of a more [874]*874inclusive category: ‘gambling * * * offenses.’ ” United States v. Roselli, 432 F.2d 879, 887 (9 Cir. 1970), cert. denied, 401 U.S. 924, 91 S.Ct. 883, 27 L.Ed.2d 828 (1971), rehearing denied, 402 U.S. 924, 91 S.Ct. 1366, 28 L.Ed.2d 665 (1971) . See also Turf Center, Inc. v. United States, 325 F.2d 793, 795 (9 Cir. 1963).
This Court’s construction of the scope of § 1952 will not open the federal courts to the prosecutorial abuses which appellants have depicted for the Court: prosecutions of minor illegal acts incidental to an otherwise legal business. The legislative history of § 1952 does demonstrate that its main purposes are to attack organized crime and to aid local authorities in combat-ting it.19 Courts would simply not allow it to be used to extend federal prosecutions far from these purposes.20 See Erlenbaugh v. United States, 409 U.S. 239, 245, 93 S.Ct. 477, 34 L.Ed.2d 446 (1972).
We conclude that appellants engaged in a business enterprise involving gambling offenses in violation of Nevada law and 18 U.S.C. § 1952.
II. Vagueness
Appellants challenge the statutes under which they have been charged and convicted as being unconstitutionally vague. “No one may be required at peril of life, liberty or property to speculate as to the meaning of penal statutes. All are entitled to be informed as to what the State commands or forbids.” Lanzetta v. New Jersey, 306 U.S. 451, 453, 59 S.Ct. 618, 619, 83 L.Ed. 888 (1939). Appellants’ attack is directed at the Nevada statutes and not the language of § 1952, which has been upheld previously against claims of vagueness. See, e. g., United States v. Cozzetti, 441 F.2d 344, 348 (9 Cir. 1971); Turf Center, Inc. v. United States, 325 F.2d 793, 795 (9 Cir. 1963); United States v. Smith, 209 F.Supp. 907, 917-918 (E.D.Ill.1962). We have already held that the Nevada statutes clearly proscribe the conduct charged against appellants.21 The construction of those statutes urged by appellants is unreasonable and conflicts with the manifest purpose of the Nevada gambling legislation requiring precise and stringent controls relating to the licensing of gambling. Violation of the statutes in the manner charged against appellants is a criminal offense.22 In affirming these convictions, we are not enlarging the original legislation by interpretation. Cf. Bouie v. City of Columbia, 378 U.S. 347, 350-352, 84 S.Ct. 1697, 12 L.Ed.2d 894 (1964); Pierce v. United States, 314 U.S. 306, 311, 62 S.Ct. 237, 86 L.Ed. 226 (1941).
Moreover, the trial court instructed the jury that specific intent was an element of the offense charged against appellants.23 Thus the jury found that appellants knew that Nevada law had been violated in the procurement of [875]*875VFI’s license. “A mind intent upon willful evasion is inconsistent with surprised innocence.” United States v. Ragen, 314 U.S. 513, 524, 62 S.Ct. 374, 379, 86 L.Ed. 383 (1942). See also United States v. National Dairy Corp., 372 U.S. 29, 33, 35, 83 S.Ct. 594, 9 L.Ed.2d 561 (1963); Screws v. United States, 325 U.S. 91, 103, 65 S.Ct. 1031, 89 L.Ed. 1495 (1945). The record here is clear that appellants were not the helpless victims of an unconstitutionally vague statute.24
III. Jury Instructions
A. Nevada Statutes and Regulations
Appellants contend that the court below erred in several respects in its instructions to the jury. Certain of these claims concern specific instructions relating to the Nevada statutes. Appellants’ objections are based upon a misunderstanding of the government’s legal theory of the ease. Viewed as a whole, the court’s instructions constitute a reasonable construction of § 1952 and the Nevada statutes governing the licensing of gambling operations.
Appellants also argue that it was error to read to the jury, without explanation, N.R.S. § 463.130.25 But that section is a self-explanatory statement of Nevada legislative policy and is important in understanding the purpose and meaning of the other sections. These Nevada statutes form a unified legislative plan; particular sections cannot be fully understood without relating them to the entire statutory scheme. Therefore, under these circumstances, it was not error to read to the jury sections other than N.R.S. §§ 463.160 and 463.200, the two sections upon which the indictment and information were based.
N.R.S. § 463.300, dealing with voting trust agreements, was also read to the jury. Appellants argue that this was confusing, since the court had earlier instructed the jury that the evidence presented had failed to establish a violation of § 463.300. The court refused appellants’ instruction which would have directed the jury to disregard all evidence concerning the voting trust agreement. In light of the court’s specific instruction, no further instructions were necessary to prevent the jury from finding a violation of § 463.300. It is also highly unlikely that reading that section in these circumstances confused the jury. Cf. United States v. Lookretis, 422 F.2d 647, 651 (7 Cir. 1970), cert. denied, 398 U.S. 904, 90 S.Ct. 1693, 26 L.Ed.2d 63 (1970).
Although conceding that the court properly charged the jury that violations of the regulations of the Nevada State Gaming Commission could not constitute criminal offenses, appellants nevertheless assert that error was committed in instructing that such a violation could be considered as an act in furtherance of a conspiracy. This instruction was proper and necessary in that without it the jury might have thought that it had to disregard completely a violation of the regulations.
B. Sending Statutes and Regulations to the Jury Room
Appellants urge that sending the statutes and regulations into the jury room, especially without limiting instructions, was prejudicial error. [876]*876This question is within the sound discretion of the trial judge. United States v. Gross, 451 F.2d 1355, 1358-1359 (7 Cir. 1971); United States v. Bearden, 423 F.2d 805, 813 (5 Cir. 1970), cert. denied, 400 U.S. 836, 91 S.Ct. 73, 27 L.Ed.2d 68 (1970). In this case, the statutes and regulations were extremely complex, and the trial judge may justifiably have believed that it would be better to give the jury the statutes and regulations rather than to have them attempt a reconstruction from notes or from memory. In his effort to avoid confusion, the trial judge did not abuse his discretion.
C. Reading Indictment and Information to Jury and Sending Copies to Jury Room
Appellants argue that it was reversible error to read the indictment and information both at the beginning of trial and during the instructions. Given the extraordinary length and complexity of the trial, however, the trial court may properly have judged that a re-reading was required to avoid confusion.26 The decision to read the indictment to the jury is within the sound discretion of the trial court, and we find no abuse of that discretion here.27
The court below also sent to the jury room copies of the indictment and information. That decision is also generally within the discretion of the trial judge. United States v. Murray, 492 F.2d 178, 193-194 (9 Cir. 1973); Souza v. United States, 304 F.2d 274, 280 (9 Cir. 1962). Appellants contend that they should have been advised before closing arguments that the court intended to send the information and indictment. See Dallago v. United States, 138 U.S.App.D.C. 276, 427 F.2d 546, 553 (1969). We agree, but the failure to do so here is not prejudicial error.28 Under all the circumstances of this ease, especially the court’s cautionary instruction on the use of the indictment and information and the detailed instructions on what could be considered evidence by the jury, we do not find that error prejudicial in any respect.
D. Specific Intent
In claiming error in the court’s instructions on specific intent,29 appellants urge us to follow United States v. Stagman, 446 F.2d 489, 492-493 (6 Cir. 1971), and hold that specific intent to violate state law is an element of the.offense under § 1952. This Court however, has previously approved an instruction similar to the one given in this case. See Turf Center, Inc. v. United States, 325 F.2d 793, 797 and n. 5 (9 Cir. 1963). Moreover, to the extent that Stagman requires proof that an accused under § 1952 intended to violate state law himself, we find that it conflicts with the clear meaning of the language used in § 1952. As the court in Stag-man recognized, the intent required in the statute “refers to the entire phrase ‘to * * * carry on * * * any unlawful activity.’ ” 446 F.2d at 492. That phrase does not require specific in[877]*877tent to violate state law, but rather specific intent to facilitate an activity which the accused knew to be unlawful under state law. This interpretation, apart from its consistency with the literal terms of § 1952, also supports the purposes of that statute in attacking organized crime by furnishing federal help to local authorities in their attempts to control such crime. It would not subject innocent persons to criminal jeopardy in travelling interstate since for a conviction, proof would be required at the least “that the defendant intended with bad purpose” 30 to facilitate the violation of state law.
Although the instructions on specific intent, viewed alone, could have been more precise, taking the instructions as a whole, they reasonably informed the jury that they had to find that appellants knew that what they were facilitating was an unlawful activity under state law.
E. Advice of Counsel
As an adjunct to their argument on specific intent, appellants claim that the court should have instructed the jury that reliance on advice of counsel could show a lack of specific intent. Given the evidence in this case, the advice given by counsel was an insignificant factor in the criminal enterprise found by the jury; thus the court below did not err in refusing to give an “advice of counsel” instruction. See United States v. Shewfelt, 455 F.2d 836, 838-839 (9 Cir. 1972), cert. denied, 406 U.S. 944, 92 S.Ct. 2042, 32 L.Ed.2d 331 (1972); Bisno v. United States, 299 F.2d 711, 719-720 (9 Cir. 1961), cert. denied, 370 U.S. 952, 82 S.Ct. 1602, 8 L.Ed.2d 818 (1962).
F. Kotteakos Instruction
Appellants contend that they were entitled to a “multiple conspiracy” instruction following the principle of Kotteakos v. United States, 328 U.S. 750, 767-768, 66 S.Ct. 1239, 90 L.Ed. 1557 (1946). See also United States v. Griffin, 464 F.2d 1352, 1355-1357 (9 Cir. 1972), cert. denied, 409 U.S. 1009, 93 S.Ct. 444, 34 L.Ed.2d 302 (1972), Having carefully reviewed the entire reporter’s transcript of trial and all documents in evidence, we find that there is no variance between the allegations of the indictment and information and the evidence presented at trial and that therefore the trial court did not err in not giving a “multiple conspiracy” instruction.
G. Suppression of Evidence
A letter from appellant Bellanca to Emprise Corporation was not produced by the defense in response to a grand jury subpoena because of a claim of attorney-client privilege. The court gave a general instruction on suppression of evidence, apparently in part on the basis that failure to produce the letter could be evidence of suppression.31 Appellants also complain of the court’s refusal to give an instruction on attorney-client privilege.
Even if the giving of the suppression of evidence instruction were error, we find that the weight of other evidence against appellants is such that the error could not have been prejudicial. The court below, moreover, had instructed the jury on the attorney-client privilege during the triál.32
[878]*878H. Perjurer’s Testimony
Appellants also claim error in the court’s failure to give a cautionary instruction on the testimony of a perjurer. Their initial proposed instruction referred to the witness, Maurice Friedman, as an admitted perjuror when in fact he had been convicted of perjury and had not pled guilty. Appellants submitted a revised instruction after the instructions conference substituting “convicted” for “admitted”, but it was rejected as untimely. Even if this were error, which we do not find, any prejudice resulting from it was cured by the instructions given on prior inconsistent statements 33 and on the weight of the testimony of an informer.34 These instructions sufficiently alerted the jury to the caution necessary in weighing the testimony of a witness like Friedman. Cf. United States v. Evanchik, 413 F.2d 950, 954 (2 Cir. 1969); United States v. Ross, 322 F.2d 306, 307 (4 Cir. 1963), cert. denied, 375 U.S. 970, 84 S.Ct. 490, 11 L.Ed.2d 418 (1964).
I. Skimming35
Appellants argue that the trial court committed error in not admonishing the jury during instructions that the prosecution’s argument about “skimming” should be disregarded as unsupported by evidence and as not appearing in the indictment or information. Whatever prejudice to appellants could have resulted from the prosecutor’s argument was cured by the trial court’s painstaking instructions on the elements of the offenses charged. The trial judge read the language of the information and indictment to the jury and sent copies of them to the jury room. The jury was fully apprised of the charges against appellants; “skimming” was not one of them.
IV. Prejudicial Publicity
Appellants claim that they were prejudiced by the publicity given their case both before and during trial and that the trial judge failed to take adequate measures to detect and prevent that prejudice. The pretrial publicity consisted mainly of newspaper articles on the case.36 These articles commented, for instance, upon the alleged ties of appellants to the Mafia, and upon the “skimming” allegations of the prosecution.
Appellants also point to several incidents during trial which in their view also led to prejudicial publicity. Newspaper articles referred, for example, to evidence which had not been admitted linking appellants Zerilli and Polizzi to James Hof fa, the former Teamster official, in a prior attempt to invest in a Las Vegas casino. On another occasion a witness mentioned in the absence of the jury that during a previous recorded and transcribed conversation, he “had in mind” Zerilli and Polizzi when he used the terms “Mafia” and “Cosa Nostra.” References to this comment appeared in the newspapers. Later a newspaper disclosed the court’s ruling at a sidebar conference sustaining the prosecutor’s objection to a question asking Polizzi to explain his testimony on cross-examination that he had been falsely accused by the Department of Justice of being in [879]*879the Mafia.37 The prosecutor had mentioned at that sidebar conference surveillance logs of Zerilli and Polizzi disclosing “the whole Mafia organization in Detroit,” and the newspaper article referred to that comment. The motion picture The Godfather was released during the trial, and a local television personality discussed during his program the book and Zerilli and Polizzi and their alleged links to the Mafia. Finally, after the jury had reached its verdicts, one juror allegedly told defense counsel that other jurors had read newspaper articles on the case during trial and that this had been “devasting to the defendants.” Although this juror had been in the courtroom during a hearing on a motion for a new trial, the court refused appellants’ request to have him testify but permitted defense counsel to file affidavits. The juror was subsequently unwilling to submit an affidavit, but defense counsel did file an affidavit purporting to state what the juror had said.
An accused has an unquestioned right to have jurors decide his guilt or innocence who are not biased by what has appeared in the media. In some instances prejudicial publicity before and during trial may be so obvious and overwhelming that an appellate court must overturn a conviction without delving into a detailed analysis of the possibility of prejudice and the judicial action taken to a curb it. See Sheppard v. Maxwell, 384 U.S. 333, 349-352, 86 S.Ct. 1507, 16 L.Ed.2d 600 (1966); Estes v. Texas, 381 U.S. 532, 542, 544, 85 S.Ct. 1628, 14 L.Ed.2d 543 (1965); Rideau v. Louisiana, 373 U.S. 723, 726, 83 S.Ct. 1417, 10 L.Ed.2d 663 (1963); Irvin v. Dowd, 366 U.S. 717, 725, 81 S.Ct. 1639, 6 L.Ed.2d 751 (1961). After a review of appellants’ evidence and arguments on this question, we do not find that the situation here reached that extreme, and therefore we do not find “bias or preformed opinion” which would require reversal as a matter of law. Beck v. Washington, 369 U.S. 541, 557, 82 S.Ct. 955, 8 L.Ed.2d 98 (1962); United States v. Silverthorne, 430 F.2d 675, 678 (9 Cir. 1970), cert. denied, 400 U.S. 1022, 91 S.Ct. 585, 27 L.Ed.2d 633 (1971). We must now determine the probability of prejudice in this case and whether the court responded adequately to curtail the chance of an unfair trial. Marshall v. United States, 360 U.S. 310, 312, 79 S.Ct. 1171, 3 L.Ed.2d 1250 (1959).
A. Pretrial Publicity
“[T]he trial judge has a large discretion in ruling on the issue of prejudice resulting from the reading by jurors of news articles concerning the trial. * * * [W]hen pretrial publicity is great, the trial judge must exercise correspondingly great care in all aspects of the case relating to publicity which might tend to defeat or impair the rights of an accused. The judge must insure that the voir dire examination of the jurors affords a fair determination that no prejudice has been' fostered.” Silverthorne v. United States, 400 F.2d 627, 637-638 (9 Cir. 1968). In a case of substantial pretrial publicity, the voir dire must not simply call for the jurors’ subjective assessment of their own impartiality, and it must not be so general that it does not adequately probe the possibility of prejudice. 400 F.2d at 638.
If this case were to be considered closely similar to Silverthorne, swpra, in the seriousness of the question of prejudice from pretrial publicity, there is little doubt that the initial voir dire was not sufficiently probing to meet the Sil-verthorne standards. The trial judge’s questions on pretrial publicity were lim[880]*880ited to two questions addressed to the first prospective panel of jurors38 and later questions addressed to an individual prospective juror.39 The answers gave no indication of possible prejudice.
We find, however, that the pretrial publicity in this case was not substantial enough to have required the trial judge to interrogate the prospective jurors at length about it. The judge was aware of the publicity, and clearly it was his judgment that the pretrial publicity was not a significant danger to a fair trial.40 His concern seemed greater about the possible effects of publicity during trial. The pretrial publicity in this case does not resemble the situation in Silverthorne v. United States, 400 F.2d 627, 639 (1968). Unless a trial judge clearly has erred in his estimation of the action needed to uncover and prevent prejudice from pretrial publicity, an appellate court should not intervene and impose its estimate. The court closest to the situation can best evaluate the proper way to walk the difficult line between a vigorous voir dire to determine any possible bias and avoidance of creating bias by specific questions which add “fuel to the flames” in suggesting the presence of controversial issues. Beck v. Washington, 369 U.S. 541, 548, 82 S.Ct. 955, 8 L.Ed.2d 98 (1962). The court below did not abuse its discretion by the way it handled the question of pretrial publicity.
B. Publicity During Trial
When the possibility of prejudice from publicity arises during trial, the trial court has “the affimative duty * * * to take positive action to ascertain the existence of improper influences on the jurors’ deliberative qualifications and to take whatever steps are necessary to diminish or eradicate such improprieties.” Silverthorne v. United States, 400 F.2d 627, 643 (9 Cir. 1968). See also Gordon v. United States, 438 F.2d 858, 872-873 (5 Cir. 1971), cert. denied, 404 U.S. 828, 92 S.Ct. 139, 30 L.Ed.2d 56 (1971), rehearing denied, 404 U.S. 960, 92 S.Ct. 312, 30 L.Ed.2d 279 (1971). The better practice, if there is a clear chance of prejudice, is for the court to interrogate each juror in camera about the possibly prejudicial publicity. Silverthorne v. United States, 400 F.2d 627, 644 (9 Cir. 1968); Coppedge v. United States, 106 U.S.App.D.C. 275, 272 F.2d 504, 508 (1959). The trial judge carries a difficult burden. He is called upon to question the jurors, but repeated questioning could itself be prejudicial in inciting in the jurors “joint or individual curiosity and encourage attempts to read the very newspaper articles sought to be kept from their knowl[881]*881edge.” Silverthorne v. United States, 400 F.2d 627, 643 (9 Cir. 1968). His very questions may disclose or accentuate controversial issues. Unless he has clearly abused his discretion, we shall uphold the trial judge’s delicate estimation of the needs of the ease of which he has firsthand experience.
During his initial voir dire of prospective jurors, the judge indicated that the jurors would not be sequestered but that they would be expected to avoid hearing or seeing anything about the case.41 One prospective juror was questioned about adherence to that admonition; she indicated that she would find it difficult to follow and was excused. Appellants argue that allowing the jurors to read newspapers with the admonition to avoid stories on the trial after glancing at headlines itself raised enough possibility of prejudice to require reversal. We disagree. The relevant' questions are the nature of the headlines and the actions taken by the court to cure any possibility of prejudice 42
Early in the trial on February 24, 1972, the court again admonished the jury to avoid any publicity about the case.43 The very next day, after newspaper stories linking Zerilli and Polizzi to James Hof fa, the court undertook an in camera interrogation of each juror separately, in the absence of all defendants, counsel and other jurors. The judge asked whether they had read the articles and whether they had seen or heard anything about the case in the newspapers, on television, or on the radio. He also gave them another general admonition. Nothing said by any of the jurors during this interrogation revealed a possibility of prejudice from the publicity.44 We agree with appellants [882]*882that it would have been preferable to ask each juror about the newspaper carrying the Hoffa story which apparently was in the jury room, but each juror’s other answers would have to be willful falsehoods if each had in fact read the article in the jury room. If the jurors had read the story, “[e]ven the most biased argument would be hard put to suggest that all twelve jurors, sworn to try the indictments fairly would deliberately break their oaths by remaining in the box, having read the items, instead of bowing out under the wise protection of the court and saving not only their dignity but their honor.” United States v. Carlucci, 288 F.2d 691, 696 (3 Cir. 1961), cert. denied, 366 U.S. 961, 81 S.Ct. 1920, 6 L.Ed.2d 1253 (1961).
On March 9, 1972, after newspaper articles were published referring to appellants and their links to organized crime as discovered by United States Senate investigators, the court declined to question the jurors again, in the belief that new questioning could itself undermine the jury’s belief in its own integrity.45 On March 21, 1972, after the leak of the ruling at the sidebar conference, the. court, having the opportunity to observe on a daily basis the demeanor of the jurors and after expressing his confidence in their ability to obey his admonitions, again declined to interrogate the jurors anew.46
On April 3, 1972, the trial court on its own motion conducted an in camera questioning of each juror.47 Again defendants, counsel, and the other jurors were not present. He asked them generally whether they had read, seen, or heard anything in the media about the case. The jurors indicated that they had not. Appellants argue that Juror Foss, whose family was keeping a scrapbook of articles concerning the trial, must have been exposed to publicity surrounding the case. Here is the record:
“The Court: Mr. Foss, you will recall that some time ago I called the jurors in one at a time to ask them if they had read any newspaper articles about this case and because of the length of the trial I thought it wise to emphasize it again and to call them in to ask if they had read any newspaper [883]*883articles about the case. Have you read any?
“Juror Foss: No. My people cut the articles out of the paper before they give me the paper. Before they bring the paper to me in the morning they cut everything out. They have got it in a scrapbook somewhere.
“The Court: And you will wait until the case is over before you read it?
“Juror Foss: I won’t read anything about the case.
“The Court: That is fine.
“Juror Foss: I will decide it on the facts in the courtroom.” Reporter’s Transcript, Yol. 31, pp. 6010-6011.
The argument is frivolous.
After the verdicts were reached, the trial judge questioned each juror separately in his chambers. He stressed on this occasion whether the term “Mafia” or related terms had been factors in the jury’s deliberations.48 It seems that the terms were discussed briefly at the be[884]*884ginning of the jury’s deliberations and once during a lunchtime, but the jurors agreed that those terms and issues had not been factors in their decisions. The judge also asked them about their exposure to the book and the motion picture The Godfather. Two jurors had read the book, but said that it had not influenced their decisions. He asked all but four jurors general questions about their exposure to newspaper, television, and radio publicity, again without any revelations of possible prejudice.
Finally, on June 12, 1972, at a hearing on a motion for a new trial, defense counsel told the court of juror Palmer’s revelation that other jurors had been reading newspaper stories about the case and that it had been “devastating to the defendants.” The court refused defense counsel’s request for an immediate examination of jurors Palmer and Dewey who were in the courtroom, but stated that counsel could file affidavits on the matter. Palmer subsequently refused to submit an affidavit, although defense counsel did submit two affidavits.49 While it may generally be preferable for the trial court to allow such an examination of jurors in order [885]*885to dispel any doubts as to the integrity of the jury’s deliberations, such action was not required here. The trial judge, after having questioned juror Palmer on three separate occasions during and immediately after trial in the privacy of his chambers, could understandably have been skeptical of such a belated attack on the jury’s verdicts. The record is not barren on this point,50 and the court [886]*886could reasonably have found juror Palmer’s disclosure as reported by defense counsel unworthy of belief. Palmer’s unwillingness to submit an affidavit strongly supports that judgment.51
In this case the problem of publicity was not insignificant, but it was a problem that was handled by proper judicial supervision. “The right to publish a prejudicial article does not carry with it the right of an accused to an automatic mistrial. Such an outcome would give to the press a power over judicial proceedings which may not be countenanced.” Mares v. United States, 383 F.2d 805, 808 (10 Cir. 1967), cert. denied, 394 U.S. 963, 89 S.Ct. 1314, 22 L.Ed.2d 564 (1969). After our detailed review, we cannot say that there is a serious possibility that the jury was influenced by considerations apart from evidence properly admitted at trial. The trial judge admonished the jury on at least four occasions to avoid publicity about the case. He interrogated the jurors individually three times. The fact that the jurors discussed the term “Mafia” and related issues does not in itself require reversal. Cf. United States v. Lazarus, 425 F.2d 638, 640-641 (9 Cir. 1970), cert. denied, 400 U.S. 869, 91 S.Ct. 102, 27 L.Ed.2d 108 (1970), rehearing denied, 400 U.S. 954, 91 S.Ct. 233, 27 L.Ed.2d 261 (1970). For appellants’ arguments of prejudice and juror Palmer’s disclosure to be true, the other jurors would in effect have committed perjury on several occasions and have entered into a conspiracy of silence. The trial judge found that incredible. We agree. “Appellate courts should be slow to impute to juries a disregard of their duties, and to trial courts a want of diligence or perspicacity in appraising the jury’s conduct.” Fairmount Glass [887]*887Works v. Cub Fork Coal Co., 287 U.S. 474, 485, 53 S.Ct. 252, 255, 77 L.Ed. 439 (1933) (Brandéis, J.). “If the mere opportunity for prejudice or corruption is to raise a presumption that they exist, it will be hard to maintain jury trial under the conditions of the present day." Holt v. United States, 218 U.S. 245, 251, 31 S.Ct. 2, 6, 54 L.Ed. 1021 (1910) (Holmes, J.). No reversible error was committed in the trial court’s handling of the question of prejudicial publicity; we do not find “that the probability of prejudice arose and was not eliminated.” Silverthorne v. United States, 400 F.2d 627, 644 (9 Cir. 1968).
V. Department of Justice “Mafia” List
The United States Department of Justice in 1969 included appellants Zerilli and Polizzi on a list of known Mafia figures. See 115 Cong.Rec., Part 17, pp. 23440-23441 (August 12, 1969). Appellants contend that the presence of those names on that list was the motivating factor in the prosecution of this case and also that the prosecution made several prejudicial comments, based upon appellants’ alleged Mafia connections, to the grand and petit juries.
Their first point, that their inclusion on the “Mafia list” was the prime motivation for the prosecution, is not supported by anything in the record and is strongly contradicted by the testimony of three government officials prominent in this prosecution.52
The next contention, that the prosecution “poisoned” the grand jury proceedings by comments referring to the Mafia, is unsupported by the record or by the authorities appellants cite. The portions of the transcript of the proceedings before the grand jury which appellants quote in their opening brief are not evidence of grand jury bias. “Mafia” is mentioned by the prosecutor in one question. The possible use of force is the basis of four questions referring to appellant Shapiro. One witness is asked whether he is fearful or apprehensive as a result of his testimony. Appellants allege that the grand jury was “repeatedly told” of a prior arrest of appellant Zerilli; and the prosecutor commented on the alleged association of Zer-illi and Polizzi with “tough guys, Italians, from New York.”
Appellants have a difficult burden to satisfy in their challenge to the indictment. “An indictment returned by a legally constituted and unbiased grand jury, like an information drawn by the prosecutor, if valid on its face, is enough to call for trial of the charge on the merits. The Fifth Amendment requires nothing more.” Costello v. United States, 350 U.S. 359, 363, 76 S.Ct. 406, 409, 100 L.Ed. 397 (1956). A valid indictment does not require support by “adequate or competent evidence.” 350 U.S. at 364.53 See also United States v. Calandra, 414 U.S. 338, 94 S.Ct. 613, 38 L.Ed.2d 561 (1974). Appellants have not demonstrated a rea[888]*888sonable inference of bias on the part of the grand jury resulting from the comments of the prosecutor.54 See Beck v. Washington, 369 U.S. 541, 545-549, 82 S.Ct. 955, 8 L.Ed.2d 98 (1962). “The quantum of evidence necessary to indict is not as great as that necessary to convict. If a grand jury is prejudiced by outside sources when in fact there is insufficient evidence to indict, the greatest safeguard to the liberty of the accused is the petit jury and the rules governing its determination of a defendant’s guilt or innocence. And, if impartiality among the petit jurors is wanting, the cure is reversal by the appellate courts.” Silverthorne v. United States, 400 F.2d 627, 634 (9 Cir. 1968) 55
Appellants also argue that the “Mafia list” played an impermissible role in the trial. They refer, however, only to the comments of the prosecutor in closing argument that appellants “substituted the corporate resolution for the pistol.”56 There was no express reference to the Mafia in the prosecutor’s statement, nor could such a reference be reasonably implied.
VI. Cross-Examination on Reputation
Appellants argue that the trial court committed reversible error in allowing the prosecution to cross-examine Polizzi and Zerilli on their reputations. The government contends that the cross-examination was permissible as to Polizzi because he had opened the subject of his reputation on direct examination and as to Zerilli in order to impeach his testimony about why he could not be licensed.
“The price a defendant must pay for attempting to prove his good name is to throw open the entire subject which the law has kept closed for his benefit and to make himself vulnerable where the law otherwise shields him.” Michelson v. United States, 335 U.S. 469, 479, 69 S.Ct. 213, 220, 93 L.Ed. 168 (1948). Throughout the presentation of its case, the prosecution avoided raising the issue of the Mafia links of Zerilli and Polizzi in demonstrating that they' could not themselves obtain licenses from the Nevada authorities. On direct examination Polizzi testified that the reason why he could not be licensed was that he had a “problem.” He never described the specifics of this problem.
For all that the jury knew from Polizzi’s direct testimony, his “problem” could have been one of short duration —e.g., insufficient financing — which would not have indefinitely precluded licensing. If so, there would have been no motive for furtive investment. Thus, the nature of Polizzi’s “problem” was clearly relevant. And while the trial judge did order Polizzi to answer the question regarding the “problem,” he did not order the defendant to use the word “Mafia.” Polizzi could have answered the question truthfully and specifically without using the “Mafia” term — for example, he could have said [889]*889that he understood that he would not be considered a suitable person for a license.
Thus, since the general nature of Polizzi’s problem was directly relevant and the prejudicial Mafia connection was volunteered by Polizzi, the trial court’s ruling was well within its wide discretion in controlling cross-examination and in balancing its probative value against possible prejudice.
This result is even clearer as to Zerilli. The reason why Zerilli could not be licensed was not admissible merely to impeach Zerilli or his attorney— it was directly relevant to Zerilli’s guilt. If the reason Zerilli could not be licensed was, as he testified, his ownership interest in a race track, then his testimony of continuing interest in the enterprise because of an intention to invest later might be credible. The race track regulation was apparently unclear and Zerilli could in any event sell his race track interest. However, if the reason he could not be licensed was his reputation, then any hope of investing later would be doubtful since his reputation was unlikely to change. Zerilli therefore had a strong motive to make his investment surreptitiously. Moreover, there was no mention of the Mafia in connection with Zerilli, only of his “reputation,” so that the court did not err in permitting the government to cross-examine Zerilli on the reasons why he could not be licensed.
VII. Misconduct of the Prosecutor and Trial Judge
Appellants cite many episodes of what they assert to be misconduct by the prosecutor, sanctioned by the trial judge, which deprived them of a fair trial. After having carefully reviewed each of these assertions, we do not find that they amount to a deprivation of appellants’ right to a fair trial. No good would be served by a discussion of each of the points raised, but we shall discuss several representative claims.57
In his closing arguments, the prosecutor did make comments which could have conveyed the impression that appellants were violent individuals.58 This question, however, is tied closely to the issue of the influence of the Mafia references on the jury. We have found that the court below carefully handled that issue,59 and we find that these comments were not so prejudicial to appellants so as to require reversal of the jury’s verdicts.
Appellants argue that the prosecutor gave his personal opinion of appellants’ guilt to the jury and referred to the indictment in this case as supporting him. The prosecutor did mention the grand jury indictment, but he used it to rebut appellants’ argument to [890]*890the jury that the prosecutor was pursuing in effect a personal vendetta against appellants.60 The reference to the indictment in these circumstances does not constitute improper argument. Cf. United States v. Cummings, 468 F.2d 274, 277-278 (9 Cir. 1972); Hall v. United States, 419 F.2d 582, 587 (5 Cir. 1969). Moreover, the jury was instructed that the indictment and information were not evidence and were merely methods of accusing a defendant of a crime. Reporter’s Transcript, Vol. 43, pp. 8736-8737.
On four occasions, in ruling on questions addressed to two government witnesses, the trial judge made comments that appear to vouch for the credibility of the witnesses. However, we cannot accept the appellants' assertions of prejudice. They did not object to any of the judge’s statements, and they certainly knew how to object when they thought it important to do so. The error, if any, could easily have been corrected, had there been objection. For example, in one instance, at the end of the colloquy, the court said “ * * * in any instance the jury is to draw no inference from the questions as bringing any truthfulness to us.” Reporter’s Transcript, Vol. 2, p. 244. The court, moreover, instructed the jury not to assume from his comments during trial that he held particular opinions about the issues in question and that they were the sole judges of the credibility of witnesses and of the weight of evidence. See United States v. Jackson, 482 F.2d 1167, 1175-1176 (10 Cir. 1973); United States v. Cunningham, 423 F.2d 1269, 1276 (4 Cir. 1970).
Appellants contend that the trial court first received evidence, in the presence of the jury, on the question of the applicable Nevada law, rendering the matter one for the jury’s decision, but then at the end of the trial took the issue away from the jury by instructing it as to the state law. The determination of the applicable state law in a case such as this is a question for the court. Cf. United States v. D’Amato, 436 F.2d 52, 54 (3 Cir. 1970); United States v. Lyon, 397 F.2d 505, 513 (7 Cir. 1968), cert. denied, 393 U.S. 846, 89 S.Ct. 131, 21 L.Ed.2d 117 (1968). To receive testimony on the question of state law in the presence of the jury is unnecessary, but not prejudicial error unless the combination of the testimony and the court’s instructions clearly leave the jury in confusion or in doubt as to the applicable state law. We do not find prejudicial error here.
Also cited as error is the trial court’s comment that a certain question could be decided if one of the appellants took the stand.61 This was not an infringement of appellant Bellanca’s right against self-incrimination. “[T]he test is whether the language used was mani[891]*891festly intended or was of such character that the jury would naturally and necessarily take it to be a comment on the failure of the accused to testify.” Knowles v. United States, 224 F.2d 168, 170 (10 Cir. 1955).62 No such finding could be reached here. It was an offhand comment which could have had no influence on the jury. This point is an example of a practice appellants have followed many times on this appeal: quoting out of context remarks of the prosecutor and especially the trial judge and supplying an “argument” for reversal by dramatic and hyperbolic language. Appellants argue that after this incident “appellant Bellanca had to take the stand or suffer the possibility of an untoward inference by the jurors.” The episode in fact was a pedestrian exchange which, if anything, probably left the jury with the impression that appellants would be able to establish the point through other witnesses, including appellant Bellanca if he testified.
Appellants’ next point is that the prosecution evaded a prior ruling by the court that it could not offer evidence of prior similar acts by appellants. The court, after hearing the proffered evidence in the absence of the jury, instructed the jury that there was no evidence of prior similar acts and that any comments of the prosecutor on the issue were to be disregarded. In addition, each juror was asked whether the comments had prejudiced them, and each juror said that he had not been prejudiced. The prosecution nevertheless subsequently inquired on cross-examination about prior attempts to invest in Las Vegas. This line of inquiry was permitted by the court for the limited purpose of showing Zerilli and Polizzi’s earlier interest in investing in a Las Vegas casino. However, the probative value of that testimony was not great enough to justify its admission in light of the possibility of confusing the jury which in effect was asked to consider the evidence on one issue but not on another, although the issues of motive and prior similar acts, if not identical, were closely related. We do not find, however, that prejudice to appellants actually resulted in light of other and substantial evidence supporting the verdicts.
The government attempted to use a deposition of Benjamin Reisman, an attorney employed by appellant Emprise, on its redirect examination of Maurice Friedman. The deposition was taken in 1970, before appellants were indicted, during the course of other legal proceedings. Appellant Rooks was later asked on cross-examination by the prosecution whether he had heard the reading of the deposition and whether he knew of the events described in the deposition. On cross-examination of appellant Zerilli, the prosecutor used the deposition again in an attempt to refresh Zerilli’s recollection.
The use of the deposition cannot be justified by Rule 15 of the Federal Rules of Criminal Procedure since it was not taken at the motion of a defendant, it was taken before the indictment and information here were filed, no order of the court had been obtained, and no notice had been given to the parties. The prosecution argues that it offered the evidence only as to the corporate defendant Emprise. The deposition was taken in connection with legal proceedings against Jeremy Jacobs, the President of Emprise. The court admitted it not on the authority of Rule 15, but rather on the ground that it was a prior statement of a witness in a case where the parties and issues were substantially the same as in the present case. We need not decide whether there was error.63 Another deposition of Reisman was taken and read into the record without objection, thereby curing any defect [892]*892arising from the admission of the first deposition. Appellants’ counsel had the opportunity to ask Reisman about his prior statements, thus fulfilling appellants’ right to confront adverse witnesses.
If it were error to allow the prosecution to ask appellant Rooks about the first Reisman deposition, there was no possible prejudice.64 The same is true of the use of the deposition as possibly refreshing Zerilli’s memory; the incident was insignificant.65
The prosecution, as the representative of the government, is expected to follow high standards in conducting its ease. “The United States Attorney is the representative not of an ordinary party to a controversy, but of a sovereignty whose obligation to govern impartially is as compelling as its obligation to govern at all; and whose interest, therefore, in a criminal prosecution is not that it shall win a case, but that justice shall be done.” Berger v. United States, 295 U.S. 78, 88, 55 S.Ct. 629, 633, 79 L.Ed. 1314 (1935). But during an extensive and fiercely contested trial, we cannot realistically expect perfection. Cf. Lutwak v. United States, 344 U.S. 604, 619, 73 S.Ct. 481, 97 L.Ed. 593 (1953). Upon hindsight, there were things said by the prosecution which would have been better unsaid. But nothing said or done deprived appellants of a fair trial.
The main instrument for insuring that the conduct of counsel does not deprive the accused of a fair trial is the trial judge. In this case the trial judge clearly did his best to give appellants a fair trial. Compare United States v. Dellinger, 472 F.2d 340, 385-391 (7 Cir. 1972), cert. denied, 410 U.S. 970, 93 S.Ct. 1443, 35 L.Ed.2d 706 (1973). Errors were committed, but none so prejudicial, so fatal, either individually or collectively, as to require reversal. “[F]ew, if any judges can altogether avoid words or action, inadvertent or otherwise, which seem inappropriate when later examined in the calm cloisters of the appellate court. But unless such misadventures so persistently pervade the trial or, considered individually or together, are of such magnitude that a courtroom climate unfair to the defendant is discernible from the cold record, the defendant is not sufficiently aggrieved to warrant a new trial.” Smith v. United States, 305 F.2d 197, 205 (9 Cir. 1962), cert. denied, 371 U.S. 890, 83 S.Ct. 189, 9 L.Ed.2d 124 (1962). Appellants have failed to make a persuasive showing that their constitutional rights were violated, and our careful review of the entire record does not lead to a reasonable inference that the jury’s verdicts were the end result of anything other than an impartial consideration of properly admitted evidence.
VIII. Production of Jencks Act Statements
Appellants claim that the prosecution’s failure to produce four pretrial statements by its witness, Maurice Friedman, in conformance with the Jencks Act, 18 U.S.C. § 3500, requires a [893]*893reversal. Two of the purported statements are interview memoranda prepared by an assistant United States Attorney ; another is a report by an F.B.I. agent of one of the interviews; and the last is the transcript of a tape recording of a conversation between Friedman and one Dr. Victor Lands. The two interview memoranda and the “Lands transcript” were disclosed to appellants after Friedman’s cross-examination had begun.
The two interview memoranda and the F.B.I. report are not Jencks Act statements. A written statement falls within that statute only if it is “made by said witness and signed or otherwise adopted or approved by him.” 18 U.S.C. § 3500(e)(1). The record shows that Friedman had not signed, adopted, or approved these three written reports. The government attorney who wrote the memoranda took no notes during the interviews and testified that the memoranda were his summaries, conclusions, and interpretations of what Friedman had said. It does not appear that the F.B.I. report differs in these respects. The rationale of the Jencks Act is to provide the defense with material that could impeach a government witness. “We think it consistent with this legislative history, and with the generally restrictive terms of the statutory provision, to require that summaries of an oral statement which evidence substantial selection of material, or which were prepared after the interview without the aid of complete notes, and hence rest on the memory of the agent, are not to be produced.” Palermo v. United States, 360 U.S. 343, 352-353, 79 S.Ct. 1217, 1225, 3 L.Ed.2d 1287 (1959). See also Campbell v. United States, 373 U.S. 487, 83 S.Ct. 1356, 10 L.Ed.2d 501 (1963); Rosenberg v. United States, 360 U.S. 367, 369, 79 S.Ct. 1231, 3 L.Ed.2d 1304 (1959); Wilke v. United States, 422 F.2d 1298, 1299 (9 Cir. 1970).
The Lands transcript presents a more difficult question of construing the Jencks Act, a problem which we find unnecessary to resolve in this case.66 Assuming for the purposes of argument that it should have been disclosed, we find that the untimely disclosure here was not prejudicial to appellants. Disclosures are required by the Jencks Act only for impeachment purposes.67 Palermo v. United States, 360 U.S. 343, 345, 79 S.Ct. 1217, 3 L.Ed.2d 1287 (1959); United States v. Harris, 458 F.2d 670, 677 (5 Cir. 1972); cert. denied, 409 U.S. 888, 93 S.Ct. 195, 34 L.Ed.2d 145 (1972). The material in the Lands transcript could not have been used to impeach Friedman’s testimony on direct examination. Though a question of inconsistency perhaps did arise with Friedman’s testimony on cross-examination, appellants did then have the transcript. Indeed Friedman was questioned about it on reeross-examination.68 Cf. United States v. Scaglione, 446 F.2d 182, 184 (5 Cir. 1971), cert. denied, 404 U.S. 941, 92 S.Ct. 284, 30 L.Ed.2d 254 (1971). The prosecution is obligated to disclose to the defense statements falling within the Jencks Act regardless of anyone’s perception of the utility of the statements for impeachment. But if, upon review, a failure to disclose appears clearly to be harmless and is not a willful avoidance and egregious dereliction of the prosecutor’s statutory obligation, then a court need not invoke the drastic remedies of striking testimony or calling a mistrial as provided by 18 [894]*894U.S.C. § 3500(d). Cf. United States v. American Radiator & Stand. San. Corp., 433 F.2d 174, 203 (3 Cir. 1970), cert. denied, 401 U.S. 948, 91 S.Ct. 928, 28 L.Ed.2d 231 (1971); Pierce v. United States, 414 F.2d 163, 169 (5 Cir. 1969), cert. denied, 396 U.S. 960, 90 S.Ct. 435, 24 L.Ed.2d 425 (1969).
IX.. The Lands Transcript
The Lands transcript is a transciption of a tape-recorded conversation between Maurice Friedman and one Dr. Victor Lands in 1967. During that talk, Friedman said in reference to the attempt to secure a Nevada gambling license for VFI:
“There are thirty-two people who have invested three and a half million dollars coming before this Commission, all of whom have been approved at least by a majority of this three-man Board. I told you that we feel pretty good except that our lawyer is very, very nervous, and he understands through the grapevine that we are going to have one hell of a time — the thirty-two of us. The Mafia, Casa [sic] Nostra — everything’s going to come out. This is a public hearing. The press will know.”
On cross-examination Friedman testified that he had stated in 1967 that there were hidden interests in VFI. The court then ordered the prosecution to disclose the Lands transcript. With the jury absent, Friedman verified the accuracy of the transcript. He said that in using the terms “Mafia” and “Cosa Nos-tra” he was referring to appellants Zer-illi and Polizzi. He also testified that he was referring to hidden interests in VFI when he said to Lands “everything’s going to come out.” Upon objection by the defense, the transcript was not admitted as evidence, but the court did permit testimony about the Lands conversation. The court, in an understandable effort to avoid any possible prejudice to appellants Zerilli and Poliz-zi, ordered Friedman not to use the terms “Mafia” and “Cosa Nostra” in his testimony before the jury. On redirect examination, Friedman testified that he had mentioned to Lands that Zerilli and Polizzi held hidden interests in VFI. On recross-examination Friedman admitted that in the Lands conversation he had not used the words “hidden interests” nor referred specifically to any of appellants.
Although the trial court clearly had the best of motivations in its handling of the Lands transcript question, preventing prejudice to appellants from the use of the terms “Mafia” and “Cosa Nostra,” it did commit error. Because of the vagueness of the terms used, the probative value of the Lands transcript in this case was insubstantial and was clearly outweighed by the possible prejudice arising from the terms “Mafia” and “Cosa Nostra” and, in an attempt to eliminate that possibility, by the danger of allowing testimony deviating from and therefore misrepresenting the actual terms used in the transcript. The court thus should not have admitted any testimony referring to the Lands transcript.
Appellants argue that they were seriously prejudiced by this error. They characterize this episode as a purposeful distortion of the Lands transcript, a falsification of the record, which resulted in the admission of testimony which is conclusively demonstrated to be false by the transcript itself and admitted to be false by the witness. We disagree. The trial court did not order Friedman to substitute “Zerilli” and “Polizzi” for “Mafia” and “Cosa Nostra.” Friedman was instructed only not to use the latter terms. At the most the witness may have misunderstood the court as suggesting such a substitution.69 Moreover, the [895]*895Lands transcript did not contradict Friedman’s testimony, as appellants argue. Nor did it confirm that testimony, as the government urges. The Lands transcript and Friedman’s testimony were simply not expressly inconsistent. Friedman could, as he did in the absence of the jury, have commented on what he meant by some of the terms he had used in talking to Lands. If he had been permitted to say to the jury that, in using “Mafia” and “Cosa Nos-tra”, he was referring to Zerilli and Pol-izzi, his testimony would clearly have had a strong impact on the jury adverse to appellants. As it was, his testimony was less precise on this point70 and was heavily qualified on recross-examination.71 In light of the substantial evidence in the record supporting appellants’ convictions, we do not find that the error in handling the Lands transcript was so prejudicial as to require reversal.
We find that, in light of all of the evidence of record, appellants also did not suffer prejudice from the government’s argument to the jury concerning the Lands transcript, and that the court’s response to the jury’s request for a reading of the testimony about the Lands conversation was not an abuse of its discretion.72 United States v. Baxter, 492 F.2d 150, 175 (9th Cir. 1973); United States v. De Palma, 414 F.2d 394, 396-397 (9 Cir. 1969), cert. denied, [896]*896396 U.S. 1046, 90 S.Ct. 697, 24 L.Ed.2d 690 (1970).
X. Concealment of Prosecution Promises of Leniency
Appellants contend that the prosecution failed to disclose its agreements with or promises of leniency to its key witness, Maurice Friedman, as required by Giglio v. United States, 405 U.S. 150, 92 S.Ct. 763, 31 L.Ed.2d 104 (1972). Friedman, serving prison sentences concurrently for three federal convictions, had his sentences modified after appellants’ convictions and was released from prison. The prosecution did disclose a promise to Friedman that his testimony in this case would be called to the attention of the Parole Board, but maintained that no other promises were made. Appellants argue that the prosecution did also promise to urge the reduction of Friedman’s sentences and stipulated that Friedman’s motions for modification of sentence could remain submitted but undecided until after the trial in this case.73 Appellants, however, do not argue that express agreements were reached, but rather that there was an implicit mutual understanding that the prosecution would try to help Friedman.
Having reviewed the arguments and evidence presented by appellants on this point, we do not find that they establish undisclosed promises by the prosecution.74 The prosecution did disclose a promise to inform the Parole Board of Friedman’s testimony. This disclosure alerted the defense and the jury to the possibility that the testimony was motivated by self-interest. Cf. United States v. Sidman, 470 F.2d 1158, 1165 (9 Cir. 1972). The trial court then instructed the jury specifically on carefully weighing the testimony of “an informer who provides evidence against a defendant for pay, or for immunity from punishment, or for personal advantage or vindication.” 75 Defense counsel did cross-examine Friedman about his motive for testifying. Finally, the pending motions for modification of sentence were public records, available to the defense, and could have been the basis for cross-examining Friedman.
I concur in the portions of this opinion prepared by Judges Browning and Duniway.
. In the indictment, appellant’s name was spelled Giardano. His true name is Giordano.
Related
Cite This Page — Counsel Stack
500 F.2d 856, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-polizzi-ca9-1974.