US v. Gingras

2002 DNH 169

• Court: District Court, D. New Hampshire
• Decided: September 23, 2002
• Docket: CR-02-047-M
• Status: Published

Opinion

US v . Gingras CR-02-047-M 09/23/02 UNITED STATES DISTRICT COURT

DISTRICT OF NEW HAMPSHIRE

United States of America, Plaintiff

v. Criminal N o . 02-47-1-M Opinion N o . 2002 DNH 169 Michael Gingras, Defendant

O R D E R

Michael Gingras has been charged with conspiracy to

distribute cocaine, in violation of 21 U.S.C. § 846, and use of a

communication facility in the commission of a felony, in

violation of 21 U.S.C. § 843(b). Before the court is the

government’s motion to disqualify Gingras’s co-counsel, Steven

Gordon, Esq., because of an alleged conflict of interest.

Defendant objects. For the reasons given below, the government’s

motion is denied.

FACTUAL BACKGROUND

The government is concerned because Attorney Gordon

previously represented Samuel Bellavance, a potential prosecution

witness in this case. The government subpoenaed Bellavance to testify before the grand jury about his knowledge of Gingras’s

alleged criminal activity. Bellavance retained Attorney Gordon

to represent him throughout the grand jury proceeding. Attorney

Gordon negotiated an order of immunity for Bellavance. See 18

U.S.C. § 6003. Consequently, on April 1 0 , 2002, Bellavance

testified before the grand jury and, for all practical purposes,

no longer faces criminal liability. Attorney Gordon also

represented Bellavance regarding asset forfeiture issues directly

related to Gingras’s criminal case. That representation was

completed on November 8 , 2001.

In late spring of 2002, Gingras asked Attorney Gordon to

serve as his co-counsel, assisting Attorney Martin Weinberg,

Gingras’s lead defense counsel. Before agreeing to represent

Gingras, Attorney Gordon contacted Bellavance to secure his

consent. Gordon obtained Bellavance’s oral consent in a

telephone conversation, but also sent Bellavance a letter dated

June 6, 2002, in which he addressed issues associated with his

potential representation of Gingras.

2 Attorney Gordon’s letter, which included a written waiver

form for Bellavance to sign if he consented, plainly disclosed

that Gordon’s representation of Gingras would be substantially

related to the matter in which Attorney Gordon had previously

represented Bellavance and that a possible conflict of interest

existed between Bellavance and Gingras. It also informed

Bellavance that in the event Bellavance was called as a witness,

Gordon would neither participate in cross-examination nor

disclose any confidential information relating to the prior

representation in aid of Gingras’s defense. Gordon stated that

lead counsel, Attorney Weinberg, would handle any cross-

examination. Gordon also enclosed a copy of N . H . R . P R O F . CONDUCT

1.7 (Conflict of Interest: General Rule), N . H . R . P R O F . CONDUCT 1.8

(Conflict of Interest: Prohibited Transactions), and N . H . R . PROF.

CONDUCT 1.9 (Conflict of Interest: Former Client) for Bellavance

to review. Finally, Gordon’s letter encouraged Bellavance to

consult independent counsel before signing the waiver.

On or about June 1 1 , 2002, Bellavance executed the waiver,

thereby consenting to Gordon’s limited representation of Gingras

in this case. Gordon sent Bellavance another letter, dated June

3 1 2 , 2002, further explaining the contents of the waiver

agreement. In that letter, Attorney Gordon included copies of

N . H . R . P R O F . CONDUCT 1.6 (Confidentiality of Information) and N . H .

R . P R O F . CONDUCT 3.3 (Candor Toward the Tribunal).

Upon receipt of Bellavance’s written waiver, Gordon informed

Gingras, by letter, that if he was retained as co-counsel in the

case, he would not disclose to Gingras or to lead counsel

Weinberg, any confidential information he acquired during the

course of his representation of Bellavance. Attorney Gordon

further informed Gingras that if Bellavance was called as a

witness, he would not participate in case preparation related to

Bellavance or in his cross-examination. Gordon also enclosed

copies of Rules 1.7, 1.8, and 1.9 of the New Hampshire Rules of

Professional Conduct, and suggested that Gingras consult

independent counsel prior to executing a waiver included with the

letter. On June 2 4 , 2002, Gingras signed the written consent

form, acknowledging the limited role Gordon would play as co-

counsel and formally retaining Attorney Gordon to represent him,

subject to the limitations Attorney Gordon had outlined.

4 On June 2 7 , 2002, Gordon sent a letter to the prosecutor,

Assistant United States Attorney Mark Irish, informing him that

he had been retained to represent Gingras as co-counsel and that

he had obtained written consent from both Bellavance and Gingras.

On August 2 , 2002, the government moved to disqualify Gordon from

representing Gingras.

DISCUSSION

The government asserts that Attorney Gordon has an actual,

as well as potential, conflict of interest under Rule 1.9 of the

New Hampshire Rules of Professional Conduct. The government also

asserts that even absent a violation of Rule 1.9, the court

should disqualify Gordon to preserve the integrity of the trial

process by precluding even an appearance of conflict, as well as

to eliminate any future ineffective assistance of counsel claim

based on an asserted conflict.

Defendant objects to the government’s motion to disqualify

on grounds that: (1) no conflict or potential for conflict

arises from Gordon’s representation of Gingras; (2) in the event

that Bellavance is called to testify as a witness, the

5 confidentiality agreement between Gordon and Bellavance

adequately protects Bellavance; (3) Gingras is entitled under the

Sixth Amendment to counsel of his choice; and (4) Bellavance and

Gingras knowingly, intelligently and voluntarily waived any

interest they have that might be compromised by Gordon’s

representation.

The Sixth Amendment to the United States Constitution

guarantees that “[i]n all criminal prosecutions, the accused

shall enjoy the right . . . to have the Assistance of Counsel for

his defence.” The United States Supreme Court has construed the

Sixth Amendment right to counsel as giving “a defendant . . . a

fair opportunity to secure counsel of his own choice.” Powell v .

Alabama, 287 U.S. 4 5 , 53 (1932). The Court of Appeals for the

First Circuit has held that “disqualification of . . . counsel

should be a measure of last resort [and] [t]he government bears a

heavy burden in demonstrating that [disqualification] is

justified.” In re Grand Jury Proceedings, 859 F.2d 1021, 1026

(1st Cir. 1988) (internal quotation and citation omitted)

(holding that district court should not have disqualified

attorney in the absence of evidence suggesting that the

6 attorney’s former client, an immunized witness, had any

incriminating information regarding the attorney’s current

client). In addition to affording defendants the right to

counsel of their own choice, however, the Sixth Amendment

includes “a correlative right to representation that is free from

conflicts of interests.” Mountjoy v . Warden, N.H. State Prison,

245 F.3d 3 1 , 36 (1st Cir. 2001) (quoting Wood v . Georgia, 450

U.S. 261, 271 (1981)).

A criminal defendant’s right to choose his or her own

attorney necessarily is subject to limitations. See Wheat v .

United States, 486 U.S. 153, 159 (1988) (affirming district

court’s refusal to accept client’s waiver of attorney’s

simultaneous representation of co-defendants and three additional

co-conspirators in a complex drug trafficking case). A

defendant’s right to choose particular counsel should normally be

overridden i f , for example, his or her selection would create a

conflict of interest. United States v . Lanoue, 137 F.3d 656, 663

(1st Cir. 1998). However, in the event that “defense counsel has

a conflict . . . the court may sometimes allow the attorney to

continue with the representation if the defendant makes a

7 voluntary, knowing, and intelligent waiver.” Mountjoy, 245 F.3d

at 3 6 .

With respect to issues such as conflict of interest, “the

district court is vested with the power and responsibility of

supervising the professional conduct of attorneys appearing

before it.” Kevlik v . Goldstein, 724 F.2d 844, 847 (1st Cir.

1984). Substantively speaking, “[t]he standards for Professional

Conduct adopted by this court are the Rules of Professional

Conduct adopted by the New Hampshire Supreme Court.” L R 83.5,

DR-1. Both parties agree that whether Attorney Gordon’s

representation of Gingras in this case will create a conflict of

interest is governed by N . H . R . P R O F . CONDUCT 1.9, which provides

in relevant part:

(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person’s interests are materially adverse to the interests of the former client unless the former client consents after consultation and with knowledge of the consequences.

8 (c) A lawyer who has formerly represented a client in a matter . . . shall not thereafter:

(1) use information relating to the representation to the disadvantage of the former client except as Rule 1.6 or Rule 3.3 would permit or require with respect to a client, or when the information has become generally known; or

(2) reveal information relating to the representation except as Rule 1.6 or Rule 3.3 would permit or require with respect to a client.

The New Hampshire Supreme Court has held that:

A Rule 1.9 violation is established by proof of four elements. First, there must have been a valid attorney-client relationship between the attorney and the former client. Cole v . Ruidoso Mun. Schools, 43 F.3d 1373, 1384 (10th Cir. 1994). Second, the interests of the present and former clients must be materially adverse. Kaselaan & D’Angelo Associates, Inc. v . D’Angelo, 144 F . R . D . 235, 238 (D.N.J. 1992). Third, the former client must not have consented, in an informed manner, to the new representation. N . H . R . P R O F . CONDUCT 1.9(a); see Wellman v . Willis, 400 Mass. 4 9 4 , 509 N.E.2d 1185, 1188 (Mass. 1987). Finally, the current matter and the former matter must be the same or substantially related. Kevlik v . Goldstein, 724 F.2d 8 4 4 , 850-51 (1st Cir. 1984); see RESTATEMENT (THIRD) OF THE LAW GOVERNING LAWYERS § 213 (Tent. Draft N o . 4 , 1991).

9 Sullivan County Regional Refuse Disposal Dist. v . Town of

Acworth, 141 N.H. 479, 481-82 (1996).

When “all of the elements of Rule 1.9 have been satisfied, a

court must irrebuttably presume that the attorney acquired

confidential information in the former representation” and

disqualification is required. Id. at 483 (citations omitted).

On the other hand, failure by a party moving for disqualification

to satisfy all four elements of Rule 1.9 does not end the court’s

inquiry. For example, execution of waivers by all criminal

defendants potentially affected by conflicts of interest arising

from multiple representation does not necessarily compel a court

to permit such representation because “[f]ederal courts have an

independent interest in ensuring that criminal trials are

conducted within the ethical standards of the profession and that

legal proceedings appear fair to all who observe them.” Wheat,

486 U.S. at 160.

Here, disqualification is not warranted because: (1) a

material element of a Rule 1.9 violation is not established; and

(2) neither fairness nor the appearance of fairness of Gingras’s

10 trial will be compromised by allowing Gordon to serve in a

limited role as co-counsel to Gingras.

It is undisputed that the first, second, and fourth elements

of a Rule 1.9 violation have been shown. But Bellavance has

given knowing, informed, and voluntary consent to Attorney

Gordon’s limited representation of Gingras, under circumstances

that fully protect his own rights to confidentiality. The record

discloses that Bellavance provided Attorney Gordon with his

informed consent, and the government has offered no reason to

think that Bellavance’s consent does not qualify as “informed

consent.” Attorney Gordon’s June 6, 2002, letter to Bellavance

fully informed him of potential conflict issues related to his

proposed representation, and Gordon provided Bellavance with

copies of the applicable provisions of the New Hampshire Rules of

Professional Conduct, suggesting that Bellavance consult with an

attorney prior to signing the waiver and consenting to his

representation of Gingras. Given Gordon’s rather thorough

disclosure and Bellavance’s documented consent, as well as the

protective limitation placed on Gordon’s representation, agreed

to by both Bellavance and Gingras, no violation of Rule 1.9 is

11 apparent, relative to Bellavance. (Bellavance, of course, has

not agreed to any disclosure of information protected by the

attorney-client privilege, and Gordon has specifically agreed not

to disclose such information.)

The government next contends that even if Gordon’s

representation of Gingras does not create a disqualifying

conflict of interest under Rule 1.9, he should nevertheless be

disqualified in the interest of protecting the integrity of the

trial process. Specifically, the government argues that Attorney

Gordon’s representation of Gingras would subject a guilty verdict

in Gingras’s trial to a challenge on ineffective assistance of

counsel grounds, given the similarities between this case and

Lanoue, 137 F.3d 656. In Lanoue, a criminal defendant chose the

same attorney who had represented a codefendant in an earlier

trial. Id. at 663. The government moved to disqualify the

attorney because the government intended to call the previously

represented codefendant as a witness in the defendant’s trial.

Id. Despite the fact that both the codefendant and Lanoue had

“waived any right to conflict-free representation” and the

codefendant “submitted an affidavit” claiming that he had no

12 information concerning the matters about which the government

proposed to have him testify, the court nevertheless disqualified

the attorney from representing Lanoue. Id. The court reasoned

that although the circumstances of the case represented the

“outer limits” of a potential conflict, it was necessary to

disqualify counsel because if a conflict did arise “the defendant

may not receive the representation to which he is entitled,

resulting in an ineffective assistance of counsel appeal.” Id.

at 664.

This case is markedly different from Lanoue. In Lanoue, the

defendant apparently was represented by one attorney, the one

whose potential conflict might serve to deny him effective

representation. Here, however, Attorney Gordon will serve as co-

counsel to Gingras’s lead counsel, Attorney Weinberg. In the

event Bellavance is actually called as a government witness and

testifies, Gordon, as he fully informed both Gingras and

Bellavance, will neither participate in cross-examining

Bellavance nor consult with Attorney Weinberg regarding the

preparation of such cross-examination, nor will he reveal any

privileged information derived from his representation of

13 Bellavance. Those limitations fully protect Bellavance, and will

not interfere with Gingras’s constitutional right to the

effective assistance of counsel. Attorney Weinberg, as lead

counsel, is entirely capable of providing effective

representation in all respects. To the extent Gordon provides

legal assistance to Gingras without compromising Bellavance’s

interests, as Gingras has agreed, Bellavance is not prejudiced

and Gingras is benefitted, and, of course, Gingras can lay no

claim to Gordon’s unfettered representation or to access to

privileged information Gordon may have obtained during his

representation of Bellavance. He has no right to either Gordon’s

representation, if it involves a conflict, nor to information

protected by the attorney-client privilege.

And, there is no appearance of impropriety of institutional

significance, two critical factors: 1 ) Gingras fully understands

and accepts the limitation on Gordon’s assistance, and 2 )

Attorney Weinberg is primarily responsible for and capable of

providing entirely independent and entirely conflict-free

14 Of course, the defendant should be prepared to personally

respond, on the record, to relevant questioning by the court

related to these issues, prior to trial. But, assuming defendant

understands and accepts the limitation on Attorney Gordon’s

ability to serve, as seems established by the record,

disqualification will not be ordered.

CONCLUSION

Because the elements of N . H . R . P R O F . CONDUCT 1.9 are not

established, and because the circumstances do not pose a risk of

ineffective assistance of counsel, or any other threat to the

integrity of the trial process, the government’s motion to

disqualify Attorney Gordon (document n o . 33) is denied.

SO ORDERED.

Steven J . McAuliffe United States District Judge

September 2 3 , 2002

15 cc: Mark A . Irish, Esq. Steven M. Gordon, Esq. Martin G. Weinberg, Esq. Kevin E . Sharkey, Esq. Stephen T . Jeffco, Esq. Thomas J. Butters, Esq. U.S. Probation U.S. Marshal