United States v. Thomas John Morris, Sr.

988 F.2d 1335, 1993 U.S. App. LEXIS 4402, 1993 WL 64802
CourtCourt of Appeals for the Fourth Circuit
DecidedMarch 10, 1993
Docket91-5440
StatusPublished
Cited by31 cases

This text of 988 F.2d 1335 (United States v. Thomas John Morris, Sr.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth 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. Thomas John Morris, Sr., 988 F.2d 1335, 1993 U.S. App. LEXIS 4402, 1993 WL 64802 (4th Cir. 1993).

Opinion

OPINION

WIDENER, Circuit Judge:

This case arises out of the trial of Thomas J. Morris, an attorney, on criminal charges of conspiracy to distribute drugs, aiding and abetting the attempt to possess with intent to distribute marijuana, aiding and abetting the distribution of cocaine, and aiding and abetting the establishment of a place to manufacture, distribute, and use drugs (a crack house). 1 The chief witness against Morris at trial was his former client, Samuel Balbuena, a convicted drug trafficker and dealer. Morris appeals to this court seeking a reversal of his convictions and a remand to the district court for a new trial. One assignment of error is the denial of his motion to disqualify the trial judge pursuant to 28 U.S.C. § 455(a). We are of opinion that the district judge properly declined to disqualify himself but that there was error in the introduction of evidence with respect to the marital privilege which requires a new trial.

I.

Morris’s involvement with Balbuena began when he represented Balbuena’s mother in a personal injury case. Thereafter, Morris agreed to represent Balbuena in several corporate and real estate matters. At trial it was alleged that Morris helped Balbuena’s drug operations by knowingly incorporating sham corporations through which Balbuena laundered money. In addition, Morris allegedly advised Balbuena on methods of carrying out his operations and purchasing certain assets, including a boat that was used to smuggle drugs into the United States, in a manner that would avoid the reporting requirements of banks. Morris also represented Balbuena in the purchase of a house that was used to manufacture and distribute crack cocaine. It was alleged that Morris represented Bal-buena in the matter with full knowledge of the intended use of the house.

Before trial, Morris’s counsel made a motion to recuse the trial judge pursuant to 28 U.S.C. § 455(a) because of his previous involvement in the criminal trial of Samuel Balbuena and his sentencing reduction. After hearing argument, the district court judge denied Morris’s motion. Morris appeals this ruling. Morris’s main contention on appeal, however, is the introduction of evidence of his wife’s claim of marital privilege before the grand jury. Other claimed errors relevant to the conduct of the prosecuting attorney were those that occurred at trial which were, in the main, not objected to and would have to constitute plain error to entitle Morris to a new trial.

Almost two months after the verdict, Morris filed a motion for acquittal or for a new trial with the district court, alleging that new evidence had been discovered that entitled him to a new trial. The district *1337 court denied-that motion without a hearing. Morris also appeals that ruling and asks us to remand for an evidentiary hearing on the motion.

II.

Morris’s first contention is that the district judge was in error when he denied Morris’s motion to disqualify himself. Morris argues that the district judge’s involvement with Morris’s trial is improper because the same judge presided over Balbuena’s criminal trial and his subsequent sentencing reduction hearing for his cooperation in Morris’s prosecution. Morris contends that the judge’s involvement with both trials could lead an outside observer to believe that the district court judge was rewarding Balbuena for ostensibly truthful testimony in Morris’s case.

Section 455(a) of title 28 of the United States Code provides:

Any justice, judge or magistrate of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned.

The intent of section 455(a) is to reduce perceived appearances problems; that is, situations in which the judge is not in fact biased, but an outside observer might nonetheless have some reasonable basis for questioning the judge’s impartiality. See Rice v. McKenzie, 581 F.2d 1114, 1116 (4th Cir.1978). However, prior decisions make clear that the source of the appearance of partiality must arise from some source other than the judge’s previous involvement with cases that concerned the parties or witnesses in the present ease. United States v. Parker, 742 F.2d 127 (4th Cir.), cert. denied, 469 U.S. 1076, 105 S.Ct. 575, 83 L.Ed.2d 514 (1984); see, e.g., In re Beard, 811 F.2d 818, 827 (4th Cir.1987). Absent extraordinary facts, which were present in Rice but are not present here, 2 a nonjudicial source must be present to raise the appearance of impropriety, Beard, 811 F.2d at 827, and the fact that the judge had previously presided over the criminal trial of a witness in this case and was involved in adjusting that witness’s sentence did not create such a problem. All of the district judge’s prior dealings with Balbuena had been in the judicial context of presiding over court proceedings, and there simply was no basis for the district court judge to have recused himself. 3 We therefore affirm the district court’s decision on Morris’s motion that the judge recuse himself.

III.

A.

We next turn to Morris’s main contention on appeal: permitting the Government to prove by Morris’s wife that she had asserted the marital privilege as she declined to testify before the grand jury in this case. We are of opinion that this was reversible error.

On the morning of the fifth day of Morris’s trial, the prosecutor conducting the Government’s case requested that the district court rule on whether he could ask Mrs. Morris before the jury if she had invoked the marital privilege before the grand jury. The district court ruled that the question was proper on cross-examination to show bias. While Mrs. Morris was on the witness stand, defense counsel asked her whether she had appeared to testify before the grand jury and whether, as a result of talking with counsel, she had testified. She stated that she did not testify. The prosecutor then began his cross-examination of Mrs. Morris. His first question was directed to her invocation of the marital privilege:

Q. Mrs. Morris, you’re aware of something called the spousal privilege?
A. Yes.
Q. Would you tell the jury what the spousal privilege is.
A. Where one spouse does not have to testify against the other spouse.
*1338 Q. But you’ve chosen to waive that today, haven’t you?
A. I don’t know.
Q. You’re not invoking the privilege, are you, Mrs.

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Cite This Page — Counsel Stack

Bluebook (online)
988 F.2d 1335, 1993 U.S. App. LEXIS 4402, 1993 WL 64802, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-thomas-john-morris-sr-ca4-1993.