United States v. Renda

669 F. Supp. 1544, 1987 U.S. Dist. LEXIS 8307
CourtDistrict Court, D. Kansas
DecidedAugust 12, 1987
Docket87-20049-01, 87-20049-04, 87-20049-05
StatusPublished
Cited by2 cases

This text of 669 F. Supp. 1544 (United States v. Renda) is published on Counsel Stack Legal Research, covering District Court, D. Kansas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Renda, 669 F. Supp. 1544, 1987 U.S. Dist. LEXIS 8307 (D. Kan. 1987).

Opinion

MEMORANDUM AND ORDER

SAFFELS, District Judge.

In this criminal case, the United States has moved to disqualify the counsel of choice of defendants Daily and Figge, attorney Steven M. Dickson, because of an alleged conflict of interest. The prosecution contends that attorney Dickson represents defendant Figge in a pending civil bankruptcy proceeding that is related to the subject matter of this criminal case and that at a hearing in the bankruptcy proceeding, Figge gave testimony that tended to inculpate defendant Daily and exculpate Figge. The government strenuously argues that this testimony establishes an actual conflict of interest between defendants Daily and Figge such that joint representation of the two by common counsel would violate the defendants’ sixth amendment right to effective assistance of counsel. The court conducted a hearing on this matter on August 6, 1987, and is prepared to rule on this matter.

A general summary of the facts of this case will suffice. This prosecution arises out of an alleged scheme by the defendants to place deposits at several banking institutions by fraudulent means and then borrow funds from these same institutions by fraudulent loan statements, coupled with a scheme to disguise the true beneficiaries of the loaned money. The government argues at length that testimony given by defendant Figge at a bankruptcy proceeding in California, Federal Deposit Insurance Corp. v. Figge, No. LA85-2416-LH (Bankr.C.D.Cal. June 4, 1987) (transcript of testimony of Frederick A. Figge) directly inculpates defendant Daily in conduct consistent with the government’s theory of wire fraud, conspiracy, and false statement charges against Daily. The prosecution also alleges that Figge’s testimony tends to insulate himself from the alleged criminal activity. The government has detailed this testimony and its alleged incriminatory effect both in its brief and at the oral hearing, and it has provided the court with a transcript of the entire testimony of defendant Figge. Attorney Dickson represented defendant Figge at the bankruptcy proceeding. Defendants deny that any conflict of interest exists and state that they desire to continue being jointly represented by attorney Dickson.

The issue now before the court arises in practically every criminal case involving joint representation of two or more defendants, as is evidenced by the legion of relevant cases. The starting point is Federal Rule of Criminal Procedure 44(c), which addresses the right to and assignment of counsel:

(c) Joint Representation. Whenever two or more defendants have been jointly charged pursuant to Rule 8(b) or have *1546 been joined for trial pursuant to Rule 13, and are represented by the same retained or assigned counsel or by retained or assigned counsel who are associated in the practice of law, the court shall promptly inquire with respect to such joint representation and shall personally advise each defendant of the right to the effective assistance of counsel, including separate representation. Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant’s right to counsel.

The notes of the Advisory Committee concerning this 1979 amendment to the Rules establish the following general guidelines:

(1) When a potential conflict arises such as in the case of the same counsel having been retained by co-defendants in a criminal case, the trial judge should conduct a hearing to determine whether a conflict exists to the degree that a defendant may be prevented from receiving advice and assistance sufficient to afford him the quality of representation guaranteed by the sixth amendment.
(2) Avoiding a conflict-of-interest situation is in the first instance a responsibility of the attorney. However, even the most diligent attorney may be unaware of facts giving rise to a potential conflict, so it is not enough to rely merely on counsel in making a determination concerning a conflict of interest.
(3) Even if the court determines that an actual conflict is not apparent, it is important that the trial judge ascertain whether the effective and fair administration of justice would be adversely affected by continued joint representation.
(4) It is appropriate to leave the particular measures to be taken within the court’s discretion, for the measures that will best protect each defendant’s right to counsel may well vary from case to case. One possible course of action is for the court to obtain a knowing, intelligent and voluntary waiver of the right to separate representation. Utilization of the following procedure is approved: As in Rule 11 procedures, the district court should address each defendant personally and forthrightly advise him of the potential dangers of representation by counsel with a conflict of interest. The defendant must be at liberty to question the district court as to the nature and consequences of his legal representation. Most significantly, the court should seek to elicit a narrative response from each defendant that he has been advised of his right to effective representation, that he understands the details of his attorney’s possible conflict of interest and the potential perils of such a conflict, that he has discussed the matter with his attorney or if he wishes with outside counsel, and that he voluntarily waives his Sixth Amendment protections. It is, of course, vital that the waiver be established by “clear, unequivocal, and unambiguous language.” ... Mere assent in response to a series of questions from the bench may in some circumstances constitute an adequate waiver, but the court should nonetheless endeavor to have each defendant personally articulate in detail his intent to forego this significant constitutional protection. Rec-ordation of the waiver colloque [sic] between defendant and judge, will also serve the government’s interest by assisting in shielding any potential conviction from collateral attack, either on Sixth Amendment grounds or on a Fifth or Fourteenth Amendment “fundamental fairness” basis.
(5)Even after following all of the above-described precautions, giving full disclosure and obtaining consent of the client may not be adequate protection. The trial judge may be compelled to find that the waiver cannot be intelligently made simply because it is impossible to inform the defendant of the foreseeable prejudices that joint representation might entail. The defendant’s right to sixth amendment effective representation, even in the face of a waiver of that right, might sometime outweigh his more limited right of counsel of choice.
*1547 (6) Finally, even if the trial judge accepts a waiver and permits joint representation initially, the court is not relieved of all responsibility in this regard. The obligation placed upon the court by Rule 44(c) is a continuing one, and thus in a particular case further inquiry may be necessary on a later occasion because of new developments suggesting a potential conflict of interest.

These comments were drafted in connection with the 1979 amendment, and they incorporated contemporary case law.

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Cite This Page — Counsel Stack

Bluebook (online)
669 F. Supp. 1544, 1987 U.S. Dist. LEXIS 8307, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-renda-ksd-1987.