# U ni te d S ta te s Co ur t of A pp ea ls For the Eig hth Circu it

__ __ __ __ __ __ __ __ __ __ __ __ __ _
No. 1 2- 13 09

__ __ __ __ __ __ __ __ __ __ __ __ __ _ Terry Gale Plu nk

ll ll ll ll ll ll ll ll ll ll l Peti ti on er

- App el la nt

v.

Ray H ob bs

ll ll ll ll ll ll ll ll ll ll l Resp on de nt - App el le e

__ __ __ __ __ __ App eal fro m

Uni te d S ta te s Di st ric t Co ur t fo r th e Eas te rn Dis tri ct of Ark an sa s - P in e Bl uf f

__ __ __ __ __ __
Su bm it te d: Jan ua ry

16 , 20 13 Fil ed : J ul y

3, 2 01 3

__ __ __ __ __ __
Befo re BYE, MELLOY, and SMITH, Ci rcu it Ju dg es

.

__ __ __ __ __ __

SMI TH, Circ ui t J ud ge

.

Terry Gale Pl un k, an Ark an sa s st at e in m at e, fil ed th is pe ti ti on fo r a writ of
ha be as co rp us un de r 28 U.S.C. § 22 54
, ch al le ng in g hi s 20 07 st at e-co ur t co nv ic ti on s

an d res ul ti ng 72

- ye a r se nt en ce fo r se ve ral fel on y of fen se s, in cl ud in g two co un ts of

po ss e ss io n wit h in te nt to di st rib ut e m et ha m ph et am in e. Pl un k's pe ti ti on res ts on al le ga ti on s th at hi s st at e tri al at to rn ey , Ph il li p Mo on , ren de red in effe ct iv e as si st an ceof co un se l. Pl un k arg ue s th at Mo on ren de red in effe ct iv e as si st an ce by, am on g ot he r

th in gs , la bo rin g un de r an act ua l co nf li ct of in te res t cau se d by hi s du al rep res en ta ti on of Pl un k an d Pl unk' s gir lf

ri en d, Deb or ah Dev rie s. The m ag is tra te jud ge reco m m en de d
de ni al of Pl un k's ha be as pe ti ti on

. The di st ric t co ur t ad op t e d th e m ag is tra te jud ge 's

r ep or t in it s en ti ret y , di sm is se d Pl un k's pe ti ti on wit h pr ejud ic e, an d gr a n t e d a

cert ifi cat e of ap pe al ab ili ty. Pl un k ap pe al ed

. W e rev ers e an d rem an d fo r an ev id en ti ary he ari ng on whe th er Pl un k waiv ed th e co nf li ct of in te res t pr es en te d b y M o o n ' s du al

rep res en ta ti on of P lu nk an d Dev rie s.

I. Bac kg ro un d

Law en fo rcem en t of

fi c ers rece iv ed rep or ts th at Pl un k was in po ss es si on of a

su bs ta nt ia l am ou nt of m et ha m ph et am in e, so of

fic ers be ga n su rv ei ll an ce o f P lu nk 's
Ark an sa s res id en ce. One ev en in g in Apr il 20 06
, of fic ers fo ll owe d Pl un k as he dr ov e
away fro m th e r e s i d e n ce. Afte r a da ng ero us , hi gh -s pe ed ch as e acro ss st at e li ne s, of fic ers arre st ed Pl un k in Bran so n, Mi s s o u r i

. Earl y th e ne xt m or ni ng , of fic ers

ex ecu te d a se arch war r an t at Pl un k's res id en ce. Po li ce se iz ed fir earm s, el ect ro ni c

sc al es , a sc an ne r, em

pt y pl as ti c st or ag e ba gs , dr ug pa rap he rn al ia

, an d le dg er sh eet s. Offi cers al so arre st ed Dev rie s an d di sc ov ered th ree gr am s of m et ha m ph et am in e in he r
pu rs e. Mi ss ou ri of

fic ers se arch ed Pl un k's im po un de d tru ck an d di sc ov e r ed

ap pr ox im at el y

57 9 g ram s o f m et ha m

ph et am in e.

Bas ed on th e ch as e an d th e di sc ov ery of th e dr ug s an d ot he r it em s, au th or it ie s ch arg ed Pl un k in Bo on e Co un ty Ci rcu it Co ur t Cas e No.CR 20 06 -1 29 -3 (" Plu nk 1 ")
wit h th e fo ll owi ng of

fen se s: (1 ) po ss es si on of m et ha m ph et am in e wit h in te nt to
de li ve r; (2 ) si m

ul ta ne ou s po ss es si on of dr ug s an d fir e arm s; (3 ) be in g a fel on in

po ss es si on of a fir earm ; (4 ) fle ei ng in a ve hi cl e; (5 ) th ree co un ts of cri m in al m is ch ie f (d am a g e t o p ol ic e ve hi cl es ); (6 ) po ss es si on of dr ug pa rap he rn al ia ; (7 ) ag gr av at ed

as s a u l t ; (8 ) po ss es si on of m ari juan a; an d (9 ) be in g su bjec t to a se nt en ci ng

en ha nc em en t du e to a pr io r dr ug -rel at ed co nv ic ti on

. W hi le st il l de ta in ed in Mi ss ou ri,

-2

-Pl un k ret ai ne d M o o n to rep res en t hi m . P lu nk was la te r ex tra di te d to Ark an sa s, an d

Mo on ne go ti at ed hi s re le as e o n a $1 5,0 00 bo nd

.

Dev rie s was ch arg ed wit h (1 ) po ss es si on of m et ha m ph et am in e wit h in te nt to
di st rib ut e; (2 ) si mu l t a ne ou s po ss es si on of dr ug s an d fir earm s; (3 ) hi nd eri ng
ap pr eh en si on or pr os ecu ti on ; (4 ) po ss es sio n of dr ug pa ra phe rn alia; an d (5 ) po ss es si on of a na rco ti c dr ug . De vr ie s ev en tu al ly p os te d bo nd an d was rel eas ed f r o m c u s t o dy.
Sh e was rep res en te d by a pu bl ic de fen de r un ti l Pl un k arra ng ed fo r Mo on to en te r an
ap pe aran ce o n h er b eh al f. Mo on th erea fte r de fen de d b ot h P lu nk an d Dev rie s.

In Aug us t 20 06 , wh il e o u t o n bo nd , p ol ic e arre st ed Pl un k du rin g hi s at te m pt

to de liv er m et

ha m ph et am in e to an un de rco ve r po li ce of fic er. Offi cers di sc ov ered 34

. 4

gr am s of m et ha m

ph et am in e in Pl un k's so ck s. I n P l u n k 's car th ey di sc ov ered 33 8.9

gr am s of m et ha m

ph et am in e, a gl as s pi pe , di gi ta l sc al es , an d pl as ti c ba gg ie s. Pl un k

was su bs eq ue nt ly ch arg ed in Bo on e Co un ty Ci rcu it Co ur t Cas e No. CR 20 06 -2 13 -3 (" Plu nk 2 ") wit h th e f

o l l o w in g: (1 ) cri m in al at te m pt to co m m it cap it al m

ur de r; (2 )

po ss es si on of m et ha m

ph et am in e ( a t o ta l of 37 3.3 gr am s) wit h in te nt to de li ve r; (3 )

at te m pt to de li ve r m et ha m

ph et am in e; (4 ) po ss es si on of dr ug pa rap he rn al ia ; an d (5 )
be in g s ub ject t o s en te nc in g e nh an cem en t d ue to pri or co nv ic ti on s.

The reaf te r, po li ce di sc ov ered th at Dev rie s at te m pt ed to sm

ug gl e Xan ax an d a cel l ph on e to Pl un k whi le he was in carc erat ed

. Dev rie s was arre st ed an d ch arg ed wit h (1 ) fu rn is hi ng pr oh ib it ed art ic le s an d (2 ) un la wfu l us e of a co m m un ic a t i o n de vi ce. The ch a r g e s w e r e bo th Cl as s Y fel on ie s, each of whi ch carr ie d a po ss ib le li fe

se nt en ce.

Mo on an d th e pr os ecu to r ne go ti at ed an ag reem en t in whi ch th e st at e w ou ld
of fer a "p ack ag e" pl ea de al to Pl un k an d Dev rie s in whi ch Dev rie s wou ld ge t te n

y ears ' pr ob at io n in ex ch an ge fo r Pl un k se rv in g a 99 -y ear se nt en ce pu rs ua nt to pl ea of

gu il ty to al l of th e Plu nk 1 an d Plu nk 2 of fen se s. The st at e's o f

f e r o f pr ob at io n fo r

-3

-Dev rie s was en ti rel y co nt in ge n t o n P l un k's acce pt an ce of th e st at e's of fer. Mo on
pr es en te d th e pl ea de al to Pl un k, bu t Pl un k reject ed it be cau se he ref u se d to pl ead

gu il ty to at te m

pt ed cap it al m

ur de r. Dev rie s ev en tu al ly pl ead ed gu il ty to he r ch arg es ,

an d t he co ur t s en te nc ed he r to 12 0 d ay s' i m pr is on m en t an d t en y ears of p ro ba ti on

.

Pro se cu to rs fir st br ou gh t to tri al th e Plu nk 2 ch arg es ari si ng fro m th e ev en ts of Aug us t 20 06

. Mo on kn ew th at Pl un k su ffer ed f r om li fel on g m en ta l im

pa irment

ex acer ba te d by a trau m at ic bra in in jury. Mo on fear ed th at Plu nk 's m en ta l co nd it io n

m ig ht be de te rio rat in g, so he su cces sf ul ly m ov ed th e co ur t fo r a co m pe te nc y

ev al ua ti on . Th at ev al ua ti on fo un d, am on g ot he r th in gs , t ha t P l u n k ha d th e cap aci ty

to ap pr eci at e th e cri m in al it y of hi s co nd uc t an d th e cap aci ty to co nf or m hi s con du ct

to th e la w. Mo on acce pt ed th e f i n d i n gs of th e co m

pe te nc y ev al ua ti on an d di d no t
fu rth er in ve st ig at e or pr es en t ev id en ce of Pl un k's m en ta l im pa irment. At th e cl os e of
th e St at e's cas e, Mo on m ov ed fo r a di rect ed ve r d i c t o n a l l ch arg es

. The st at e tri al

co ur t gr a n t e d a d ire ct ed ve rd ic t on th e ch arg e of at te m pt ed de li ve ry of a co nt ro ll ed

su bs ta nc e, bu t it de ni ed th e m ot io n on al l ot he r ch arg es

. The jury co nv ic te d Pl un k on th e two rem ai ni ng ch arg es —p os se ss io n o f m et ha m ph et am in e wit h in te nt to de li ve r

an d po ss es si on of dr

ug pa rap he r n al ia

. Bu t th e jury acq ui tt ed Pl un k on at te m pt ed

cap it al m ur de r, th e m os t se rio us ch arg e. At tha t po in t, Mo on ex pl or ed th e pr os pe ct s fo r a pl ea de al wit h th e pr os ecu to r. The pr os ecu to r's in it ia l pl ea of fer was fo r 90 y ears '
im pr is on m en t. Mo on ne go ti at ed th is do wn to 72 y ears , res ol vi ng al l rem ai ni ng ch arg es fro m bo th cas es

— Pl u n k 2 a n d Pl un k 1

. Mo on an d Pl un k di d no t di sc us s Pl un k's pr os pe ct s fo r pa ro le el ig ib il it y un de r th e de al

, bu t Pl un k pl ead ed gu il ty to th e

rem ai ni ng Plu nk 1 ch arg es

. The st at e tri al co ur t acce pt ed th e jury's gu il ty ve rd ic t on th e Plu nk 2 ch arg es an d Pl un k's pl eas on th e Plu nk 1 ch arg es

. The co ur t ad jud ge d hi m
gu il ty and pro no un ced sen te nc es in acco rd an ce wi th th e p le a ag reem en t.

In th e pl ea ag reem en t, Pl un k waiv ed hi s rig ht to pu rs ue a di rect ap pe al in st at e

co ur t. Nev ert he le ss , Pl un k pe ti ti on ed th e di st ric t co ur t fo r a w r i t o f ha be as co rp us , arg ui ng th at Mo on ren de red in effe ct iv e as si st an ce of cou ns el

. The m ag is tra te jud ge

-4

-reco m

m en de d de ni al of Pl un k's pe ti ti on

. Plu nk v. Hob bs

, No. 5: 08 CV0 02 03 SWW

JWC, 20 11 W L 69 63 09 2 (E.D. Ark

. Sep t. 20
, 20 11 ) (u np ub li sh ed ). The di st ric t co ur t
ad op te d th e r e p o rt in it s en ti ret y , di sm is se d Pl un k's pe ti ti on wit h pr ejud ic e, an d

gr an te d a cert ifi cat e of ap pe al ab il it y

. Plu nk v. Hob bs

, No. 5: 08 CV0 02 03 SWW -J W C,
20 12 W L 37 36 9 (E.D. Ark

. Ja n. 9, 20 12 ) (u np u b l is he d)

. Pl un k as ks th is co ur t to

rev ers e th e d eci si on of t he di st ric t co ur t an d g ran t t he writ of h ab eas co rp us

.

II. Dis cu ss io n On ap pe al

, Pl u n k arg ue s th at Mo on ren de red in effe ct iv e as si st an ce by (1 )
fai li ng to in ve st ig at e an d pr es en t ev id en ce of hi s m en ta l im p a i r men t ; (2 ) la bo rin g

un de r an act ua l co nf

li ct of in te res t th at ad ve rs el y affe ct ed hi s rep res en ta ti on th ro ug h
hi s att em pt to ne go ti at e th e "p ack ag e" pl ea deal ; (3) fail in g to ad vi se hi m reg ard in g hi s pa ro le el ig ib il it y un de r th e pl ea de a l u lt im at el y reac he d; an d (4 ) so li ci ti ng Dev rie s's te st im on y ag a i n st hi m

. W e fin d m eri t in Pl un k's co nt en ti on th at Mo on la bo red un de r an act ua l co nf li ct of in te res t th at ad ve rs el y affe ct ed hi s rep res en ta ti on

un de r Cu yl er v. Su ll iv an , 44 6 U.S. 3 35 (19 80 ).

"Al th ou gh AEDPA di rect s ou r rev ie w of st at e co ur t de ci si on s, we ap pl y ou r

us ua l st an da rd s of rev ie w to th e de ci si on o f t h e D i st ric t Co ur t, rev ie win g fact ua l
f i n d i n gs fo r cl ear erro r an d qu es ti on s of la w or m ix ed qu es ti on s of la w an d f a c t d e

no vo ." Jo hn st on v. Lu eb be rs , 28 8 F.3d 10 48
, 10 51 (8 th Ci r. 20 02 ) (ci ti ng Ki nd er v. Bow er so x, 27 2 F .3d 53 2, 5 38 (8t h C ir. 2 00 1) ); s ee a ls o Rea ga n v . Nor ri s , 36 5 F .3d
61 6, 62 1 (8t h Cir. 20 04 ) (h ol di ng th at whe re "th ere is no st at e co ur t adju di cat io n of [a] cl ai m , . . . we ne ed no t ap pl y th e AEDPA's de fere nt ia l s t a n d a r d of rev ie w. W e

rev ie w th e di st ric t co ur t's fact ua l de te rm in at io ns fo r c l e a r erro r an d it s le ga l

co nc lu si o n s d e n o vo ." (in te rn al ci ta ti on s om it te d) ). "Fi nd in gs of fact are cl earl y

erro ne ou s i f th ey

are u ns up po rte d b y

su bs ta nt ia l ev id en ce, or if th e rev ie win g cou rt
is l e f t w i t h th e co nv ic ti on th at a m is ta ke ha s be en m ad e." Uni te d St at es v. Doc ht er man , 63 0 F .2d 65 2, 6 53 (8t h C ir. 1 98 0) (ci ta ti on s o m it te d)

.

-5

-Pl un k arg ue s th at Mo on ren de red i n e f f ect iv e as si st an ce by at te m pt in g to

ne go ti at e th e pa ck ag e pl ea de al be fo re he wen t to tri al

. He arg ue s th at th e pa ck ag e de al res ul te d i n a n a ct ua l co nf li ct of in te res t th at ad ve rs el y affe ct ed Mo on 's

pe rfo rm an ce. "[I ]f [a] de fen da nt can sh ow th at hi s or he r at to r n e y ha d an act ua l

co nf li ct of in te res t," th en he or sh e do es no t ha ve to sh ow pr ejud ic e. Berr y v. Uni te d
St at es , 29 3 F .3d 50 1, 5 03 (8t h C ir. 2 00 2) (ci ti ng Cu yl er , 44 6 U.S. at 34 9– 50 ).

An "ac tu al co nf

li ct ," fo r Si xt h Am en dm en t pu rp os es , is a co n fli ct of in te res t th at ad ve rs el y affe ct s co un se l's pe rfo rm an ce. The effe ct m us t be
act ua l an d de m on st rab le

, cau si ng th e at to rn ey to ch oo se to en ga ge or no t
to en ga ge in pa rti cu la r co nd uc t. To m ak e su ch a sh owi ng , th e de fen da nt

m us t id en ti fy a pl au si bl e al te rn at iv e de fen s e s tra te gy or ta ct ic th at de fen se co un se l m ig ht ha ve pu rs ue d, sh ow th at th e al te rn at iv e st rat eg y

was ob jecti ve ly reas on ab le un de r th e fact s of th e cas e, an d es ta bl is h th at th e de fen se co un se l's fai lu re to pu rs ue th at st rat eg y or ta ct ic was li nk ed
to th e act ua l co nf

li ct

.

No e v. Uni te d St at es , 60 1 F.3 d 78 4, 79 0 (8 th Ci r. 20 10 ) (in te rn al ci ta ti on s an d so m e
qu ot at io ns om it te d)

.

Pl un k co nt en ds th at th e pr os ecu to r was wil li ng to ag ree to pr ob at i o n f o r
D e v r i es on ly if Pl un k wou ld pl ead gu il ty an d ag ree to a 99 -y ear se nt e n c e

. H e

m ai nt ai ns th at Mo on 's du al rep res en ta ti on of hi m se lf an d Dev rie s res ul te d in Mo on 's
ha vi ng di vi de d lo y al ti es fro m th e m om en t th at th e pr os ecu to r ex te nd ed th e pa ck ag e pl ea of fer: "[i ]t was un qu es ti on ab ly in Ms

. Dev rie s's be st in te res ts to acce pt th e pl ea de al

, whi le Mr. Pl un k w a s be tt er se rv ed by pr es si ng fo r a be tt er of fer or ta ki ng hi s ch arg es to tri al ." Pl un k arg ue s th at a le tt e r t h at pr os ecu to r W es Brad fo rd wro te

m em or ia li zed di sc us si on s be twee n Mo on an d Brad fo rd as t o t h e te rm s of th is de al

. The let te r Bra df

or d s en t t o M oo n s ta te d, i n p ert in en t p art , as fo ll ows :

Re: St at e v. Ter ry Plu nk ; Bo on e Co

. No. CR 20 06 -1 29 -3 ; 20 06 -2 13 -3 St at e v. Deb or ah Devr ie s ; Bo on e Co . No. 2 00 6- 99 -3

-6

-Dear Ph il li p:

Pl eas e tre at th is le tt er as co nf irmatio n of o u r d i sc us si on s in th is

cas e as fol lo ws:

Pu rs ua nt to th e n e g o t i at ed pl ea of Terry Pl un k, th e St at e of Ark an sa s s ha ll ex te nd an off er o f pr ob at io n t o Deb or ah Devr ie s.

If y ou ha ve an y

qu es ti on s, p le as e fee l fr ee t o c on ta ct m e.

Brad fo rd fur th er t es ti fie d u nd er d ire ct ex am in at io n a s fo ll ows :

Q. Oka y

. And whe n y ou to ok ov er th e Pl un k cas es , were y ou tryin g to co m e to a joi nt res ol ut io n wi th th e Pl un k a nd th e Dev rie s ca se s?

A. Yes

. Of co ur se , whe n th e se co nd cas e cam e do wn an d bo th cas es

were as si gn ed to m e, I was lo ok in g at it fro m th e st an dp oi nt of

, if we're
go in g to wor k ou t a ne go ti at ed pl ea, it wou ld pr ob ab ly b e a wrap -u p

en co m pa ss in g bo th [o f Pl un k's ] cas es . B ut it al so tu rn ed in to ki nd of a

wr ap -u p, so to sp eak

, in Pl un k an d Dev rie s's cas es

. If th is of fer was

a c c e p t e d

, th en th is of

fer co ul d be ex te nd ed

. And th at was ki nd of th e way it work ed

.
Q. Oka y

. And co ul d y ou sa y m or e ab ou t th at whe n y ou sa y if th is of fer was acce pt ed ? W ho wou ld be acce pt in g t ha t o ffer ?

A. If Mr. Pl un k accep te d an of fer th at I was au th or iz ed to ex te nd to hi m an d he acce pt ed th at of fer, th en th ere was an of

fer we were pr ep ared
to m ak e to Ms . Devr ie s.

Q. And if you r ecal l, wh at was t he off er t o M r. Plu nk ?

A. It was , of co ur se , ba se d a lo t on th e se co nd cas e. He was ch arg ed

w i th at te m

pt ed cap it al m

ur de r in th at cas e, an d th e of fer th at w a s

ex te nd ed was pl ead in g gu il ty as ch arg ed in bo th cas es an d rece iv in g a

-7

-se nt en ce of li fe in pr is on

. If he were to acce pt th at , we were in a po si ti on

to off er p ro ba ti on to Ms . Devr ie s.

Q. And so whe n y ou sa y if he were to acce pt t h a t , yo u were in a po si ti on to ex te nd an of

fer of pr ob at io n to Ms

. Dev rie s, if Mr. Pl un k di d

no t ac cep t t ha t o ffer , th en y ou co ul d n ot ?

A. Ri gh t. It was co nt in ge nt , I g u es s wou ld be a way to de sc rib e it

, up on Mr. Pl un k a ccep ti ng hi s o ffer

.
Q. So Ms

. Dev rie s's pr ob at io n se nt en ce was co nt in ge nt on Mr. Pl un k

acce pt in g th e li fe se n t e n ce, whi ch in cl ud ed pl ead ed gu il ty t o al l of hi s ch arg es , in cl ud in g a tt em

pt ed cap it al m

ur de r?

A. Tha t's co rrec t.

Q. Let's se e. W he n y ou were en te rta in in g th is joi nt di sp os it io n, d id
y ou tal k t o P hi ll ip Mo on ab ou t t ha t?

A. Yes

.
Q. Oka y . An d I'm go in g t o s ho w y ou

. . . Jo in t Ex hi bi t 1 0. Ca n you

se e th at ?

A. I can

.
Q. Oka y . Do y ou reco gn iz e th is ?

A. Y e s , I do . Th is is a le tt er th at I wou ld ha ve typed on th e 17 th o f Feb ru ary, 20 07
, ad dr es se d to Mr. Mo on reg ard in g pl ea ne go ti at io ns th at we ha d e nt ered in to reg ard in g t he Plu nk an d Dev rie s ca se s.

Q. Oka y

. So th is le tt er wou l d ha ve co m e aft er y ou 'd al read y ta lk ed
to Mr. Mo on ?

A. Yes . Thi s wo ul d h av e b een a fo ll ow- up to a v erb al co nv ers at io n th at we ha d.

-8

-Q. Oka y

. And is th e ag reem en t t ha t's di sc us se d her e, is th at th e on e

th at y ou pr ev io us ly me n t i o ne d, th at Mr. Pl un k wou ld pl ead to li fe an d Ms . Devr ie s wo ul d g et pro ba ti on ?

A. Tha t i s co rrec t.

Q. So is it fai r t o s a y th at Mr. Mo on was am en ab le to th is joi nt di sp os it io n?

A. I was un de r th e im

pr es si on th at he was at le as t wil li ng to di sc us s it wit h hi s cl ie nt s. H i s p ers on al feel in gs ab ou t it I co ul d no t sa y , bu t whe n we di sc us se d it , h e cert ai nl y se em ed wil li ng to at le as t di sc us s i t wit h h is cli en ts to see if i t wo ul d b e acc ep ta bl e to th em

.

Fu rth erm or e, pr os ecu to r Ch ris C a r t e r t es ti fie d in res po ns e to di rect ex am in at io n as fo ll ows :

[Q.] Thi s is Jo in t Exh ib it 5 at pa ge 4. And th is is

. . . a co ur t
ap pe aran ce i n M r. Plu nk 's c as e b efo re Pl un k 2 oc cu rred

.

* * *

And if you wou ld n't m in d, if Mr. Mo on is th e sp eak er, i f y ou wou ld n't

m in d re ad in g fr om

li ne 13 to li ne 21

.

A. "Yo ur Hon or , . . . th ere ha s be en a pr op os ed res ol ut io n of th is cas e

ex te nd ed to m e by Mr. Cart er. At th is jun ct ur e, ou r po si ti on is to rev ie w th is off er, b ut I'd li ke th e Co ur t t o p ut th is on th e tr ia l d oc ke t."

* * *

"We're st il l go in g to ex pl or e a po te nt ia l of th is , b ut th ere's ot he r th in gs in vo lv ed

. The co de fen da nt , who I al so rep res en t, y ou r Hon or , th at we'll ne ed to try to ti e al l of th es e in to ge th er, an d

. . . th ere m ay be so m e ad di ti on a l d i s c o ve ry is su es th at co m e up

. Bu t if th e Co ur t wou ld go

-9

-ah ead an d pu t it on th e tri al do ck et an d sc he du le it fo r tri al an d we'll try

to ge t th is m at te r re[s ]olv ed pr io r. If we do n't

, th en we'll be read y to go to tri al ."

Q. Do y ou kn ow wha t Mr. Mo on was refe rri ng to w h e n he sa id
y ou 're t ry in g t o t ie all of t he se in to ge th er?

A. I do n't kn ow wha t Mr. Mo on is refe rri ng to

. I kn ow he was tryin g to ti e th em

all to ge th er an d m ak e a p ack ag e d eal for bo th of t he m

.
Q. Oka y . Tell m e wha t you m ean by tha t.

A. W el l, whe n y ou de al wit h P hi ll ip an d he rep res en ts pe op le who

are co de fen da nt s, he 's ve ry bi g on lo ok in g at it an d tryin g to pl ead th em bo th at t he same tim e o n t he same day

.
Q. Oka y

.

A. Tha t's n o t t he way I ne ces sa ril y do th in gs , bu t th at 's th e way he

wan ts it do ne

.

Fi na ll y , Plu nk tes ti fie d u nd er d ire ct ex am in at io n a s fo ll ows :

Q Did y ou as k Ph il li p Mo o n t o as k th e pr os ecu to rs to gi ve y ou a lo ng sen te nc e so th at Deb c ou ld ha ve pro ba ti on ?

A No.

Q Did Ph il li p M oo n e ve r tr y to tal k t o you ab ou t a d eal li ke th at ?

A No.

Q He ne ve r ta lk ed to y ou ab ou t wh et he r or no t you—

-1 0-A He to ld m e m ay be

, ok ay

. So rry. O ne ti m e he tri ed to ge t m e to
ta ke a 99 -y ear dea l and he go es , th at wou ld m ak e it be tt er for Deb, sh e

co ul d p ro ba bl y

ge t p ro ba ti on

.
Q Oka y

. And

. . . wha t di d y ou te ll hi m th at y ou th ou gh t abo ut th at de al ?

A I to ld hi m

I ai n't go in g t o t ak e it

.
Q Oka y . Di d Ph il li p Mo on ev er te ll y ou th at [it ] mi g h t h u rt y ou to
ta ke th at lo ng de al ?

A No.

Q Did he te ll y ou th at he was ta lk in g to th e p r o s e c u t o r s ab ou t th at de al ?

A No.

Pl un k a rg ue s t ha t, ra th er t ha n p ur su e th e 9 9- y ear p ack ag e p le a d eal

,

[i]t was an ob

jecti ve ly reas on ab le st rat eg y fo r Mr. Mo on to se ek red uc ed ch arg es or a red uc ed se nt en ce fo r Mr. Pl un k fro m th e pr os ecu ti on or to ad vi se hi s cl ie nt to de cl in e a pl ea of fer in whi ch he wou ld fare no be tt er th an if he went to tri al on bo th cas es , was co nv ic te d of al l ch arg es , an d

rece iv ed th e m ax im

um sen te nc e.

"'[A]n act ua l co nf

li ct of in te res t' m ean [s ] pr eci se ly a co nf li ct t h a t a f fe ct ed

co u ns el 's pe rf

or man ce —as op po se d to a m ere th eo ret ic al di vi si on of lo y al ti es ."

Mic ken s v. Ta

yl or , 53 5 U.S. 16 2, 17 1 (2 00 2)

. "J o i n t rep res en ta ti on of co nf li ct in g in te res ts is su sp ect be cau se of wh at it ten ds to pre ve nt th e at to rn ey fro m do in g. Fo r

ex am pl e,

. . . it m ay well

. . . pr ecl ud e[] de fen se co un se l

. . . fro m ex pl or in g po ss ib le pl ea ne go ti at io ns

. . . ." Hol lo wa y v. Arka ns as , 43 5 U.S. 47 5, 48 9– 90 (1 97 8)

. "[J ]oin t

rep res en ta ti on of co nf

li ct in g in te res ts is in he ren tl y su sp ect , an d

. . . co un se l's

-1 1-co nf

li ct in g ob li ga ti o ns to m

ul ti pl e de fen da nt s 'effe ct iv el y se a[l ] hi s li ps on cru ci al

m at te rs ' an d m ak e it di f

f i cu lt to m eas ur e th e pr eci se ha rm ari si ng fro m co un se l's

erro rs ." Mic ken s , 53 5 U.S. at 16 8 (q uo ti ng Hol lo wa y , 43 5 U.S. at 49 0) (th ird
al te rat io n i n o rig in al ).

Pl un k ci te s Th oma s v. St at e , 55 1 S.E.2d 25 4 (S.C. 20 01 ), to su pp or t hi s cl ai m th at Mo on la bo red un de r an act ua l co nf li ct of i n t eres t fro m th e m om en t Brad fo rd

ex te nd ed th e "p ack ag e" pl ea de al

. Th oma s in v o l v e d a hu sb an d an d wife who were bo th i n d i ct ed fo r tra ffi ck in g in m or e th an 20 0 gr am s of co cai ne

. Id

. at 25 5. The y
ret ai ne d th e sa m e at to rn ey . " Co un se l te st ifi e d [ a t th e po st -co nv ic ti on rel ie f he ari ng

t h a t th ey ] bo th co nf

es se d to th e cri m e an d waiv ed th e po te nt ia l co nf li ct of in te r e s t
be cau se th ey di d no t wan t se pa rat e at to rn ey s." Id

. The pr os ecu to r of fere d th e hu sb an d

an d wi fe a de al : th ey co ul d each pl ead gu il ty t o tra ffi ck in g in m or e th an 10 0 gr am s

an d recei ve ei gh t-year sen te nc es , or els e o ne co ul d p le ad gu il ty to tra ffi ck in g in th e

en ti re am ou nt an d th e ot he r wou ld go free

. Id

. The hu sb an d a n d w ife di sc us se d th e pl ea de al ou ts id e of th e pr es en ce of th ei r at to rn ey

. Id

. The wife de ci de d to pl ead gu il ty

to th e en ti re am ou nt

. Id

. At th e po st -co nv ic ti on rel ie f he ari ng , th e wife te st ifi ed th at

sh e di d no t ha ve he r own m on ey to hi re a l a w ye r an d sh e di d no t

un de rs ta nd sh e co ul d ha ve po ss ib ly ob ta in ed an ap po in te d lawy er. She
st at ed if sh e ha d un de rs to od

, sh e wou ld no t ha ve us ed th e sa m e la wy er

as he r hu sb an d. [The wife ] al so in di cat ed sh e wou ld ha ve go ne to tri al

, rat he r th an pl ead gu il ty, if sh e ha d un de rs to od sh e was pl ead in g to a 25

- y ear n on -p aro la bl e se nt en ce.

Id

. at 25 5– 56

. The tri al co ur t fo un d th at co un se l di d no t ha ve a co nf li ct of in te res t. Id

. at 25 6. The So ut h Caro li na Su pr em e Co ur t rev ers ed

, fin di ng th at "an act ua l co nf li ct
of in te res t aro se whe n th e so li ci to r of fere d a pl ea ba rg ai n th at wou ld al lo w th e ch arg e
ag ai ns t on e sp ou se to be di sm is se d if th e ot he r sp ou se wou ld pl ead gu il ty to th e en ti re

am ou nt of th e co cai ne ." Id

. at 25 6. "At th e m om en t th e so li ci to r m ad e th e pl ea of fer,

pe ti ti on er's an d Hus ba nd 's in t e r es ts be cam e ad ve rs e to on e an ot he r an d co un se l

-1 2-sh ou ld ha ve ad vi se d th em acco rd in gl y ." Id

. "Al th ou gh pe ti ti on er in it ia ll y waiv ed a

co nf li ct of in te res t, on ce it be cam e cl ear an act ua l co nf li ct ex is te d du e to th e pl ea ba rg ai n, co un se l sh ou ld ha ve ei th er wit hd rawn fro m rep res en ti ng on e or bo th of th em

or acq ui red an ot he r wai ve r co ve rin g t hi s s pe ci fic co nf li ct ." Id

.

Here, th e di st ric t co ur t fo un d "t ha t co un se l's ad vi ce to [Pl un k] to acce pt a pl ea
ag reem en t to res ol ve bo th hi s cas es an d a gr ee o n a sen te nc e was no t be cau se of hi s
rep res en ta ti on of Ms

. Dev rie s, bu t was be cau se of a le gi ti mat e co nc ern th at th e

ou tc om e co ul d ha ve be en m uc h wor se ha d [Pl un k] fai le d to pl ead ." Plu nk

, 20 11 W L
69 63 09 2, at *2 1. The co ur t fo un d th at "n eg ot ia ti on s [o f a pa ck ag e pl ea de al ] di d no t
ad ve rs el y affe ct [Pl un k's ] de fen se ." Id

. On t h i s r e c o rd

, we di sa gr ee. Fi rs t, th e pl ea de al in vo lv ed m or e th an m erel y res ol vi ng "b ot h [o f Pl un k's ] cas es ." Id

. Rat he r, it was

an at te m pt "t o ti e [Pl un k an d Dev rie s's ch arg es ] al l to ge th er an d m ak e a pa ck ag e de al
fo r bo th of th em ." Lik e in Th oma s , "[a ]t th e m om en t [Bra df or d] m ad e th e pl ea of

fer, [Pl un k's ] an d [Dev rie s's ] in te res ts be cam e ad ve rs e to on e an ot he r an d co un se l sh ou ld
ha ve ad vi se d th em acco rd in gl y ." 55 1 S.E.2d

. at 25 6. In de ed

, it is m or e li ke ly th at
Pl un k su ffer ed an ad ve rs e effe ct be cau se th e reco rd do es no t in di cat e th at Mo on ev er ad vi se d Pl un k of th e po te nt ia l fo r a co nf li ct of in te res t fro m hi s du al rep res en ta ti on

. "[A]s op po se d to [cr e a t i n g ] a m ere th eo ret ic al di vi si on of lo y al ti es ," th is co nf li ct

act ua ll y " af

fe ct ed co un se l's pe rf

or man ce ." Mic ken s , 53 5 U.S. at 17 1. In pu rs ui ng th e
pa ck ag e de al

, Mo on was pr ev en te d "fr om e x p l o r in g [o th er] po ss ib le pl ea

ne go ti at io ns " th at wou ld ha ve be en m or e fav or ab le to Pl un k. Hol lo wa y , 43 5 U.S. at
49 0.

Mo on m ig ht ha ve pu rs ue d a pl ea de al to ob ta in th e m os t fav or ab le ou tc om e fo r Pl un k bef or e go in g t o t ria l as an ob jecti ve ly reas on ab le de fen se st rat eg y , bu t he did

no t. Se e No e , 60 1 F.3 d at 79 0. Mo reo ve r, Mo on 's "fa il ur e to pu rs ue th at st ra t e gy

. . . was li nk ed to " th e co nf li ct of in te res t ari si ng fro m hi s du al rep res en ta ti on of Pl un k

an d Dev rie s. Se e id

. (q uo ta ti on an d ci ta ti on om it te d)

. Co ns eq ue nt ly, we fin d th at th e

-1 3-di st ric t co ur t erre d in co nc lu di ng th at Mo on 's du al rep res en ta ti on was no t a "co nf li ct
of in te res t t ha t ad ve rs el y

affe ct [ed ] [Mo on 's] per fo rm an ce." Se e id

.

W e al so ag ree wit h Pl un k th at th e di st ric t co ur t's co ns id erat io n of
ci rcu m st an ces surr ound ing the "pl ea ag re em en ts ult im at el y re ac he d" aft er Pl un k's tri al

was im m at eri al to th e q ue st io n of whe th er Pl un k was ad ve rs el y affe ct ed by Moo n's

co nf li ct un de r th e Cu

yl er an al y si s. Plu nk , 20 11 W L 6 96 30 92 , a t *2 1. The Su pr em e Co ur t h as

sp ared th e de fen da nt th e ne ed of sh owi ng pr ob ab le effe c t up on th e

ou t co m e, an d ha [s ] si m

pl y pr es um ed su ch effe ct , whe re as si st an ce of

co un se l ha s be en de ni ed en ti rel y or du rin g a cri ti cal st a g e of th e pr oc eed in g. W he n th at ha s oc cu rred

, th e li ke li ho od th at th e v e r d ic t is

un rel ia bl e is so hi gh th at a cas e-b y -cas e i n q u i r y is un ne ces sa ry

. See [ Uni te d St at es v. ] Cr on ic
, [4 66 U.S. 64 8 ] a t 65 8– 65 9 [(1 98 4) ], 10 4 S. Ct

. 20 39 ; se e al so Ged

er s v. Uni te d St at es , 42 5 U.S

. 8 0
, 9 1, 96 S. Ct

. 13 30
, 47 L. Ed. 2 d 5 9 2 (1 97 6) ; Gid eo n v. W ai nw ri gh t , 37 2 U.S. 33 5, 34 4– 34 5, 83 S. Ct

. 79 2, 9 L. Ed. 2d 79 9 (1 96 3)

. Bu t on ly i n "ci rcu m st an ces of t ha t m ag ni tu de " d o we f or go in di vi du al in qu iry in to whe th er co un se l's in ad eq ua te pe rfo rm an ce un de rm in ed th e rel ia bi li ty of th e v erd ic t. Cr on ic
, su

pr a , at 6 59 , n.2 6, 1 04 S. Ct. 2 03 9.

[The Co ur t ha s] he ld in se ve ral cas es th at "ci rcu m st an ces of th at

m ag ni tu de " may a l so ari se whe n th e de fen da nt 's at to rn ey act iv el y rep res en te d c on fli ct in g i nt eres ts

.

Mic ken s , 53 5 U.S. at 16 6; se e al so W ay ne R. LaFav e, Cri m

. Pro c. § 11 .9(d ) ("[ O] nc e

a de fen da nt sh ows th at a co nf li ct of in te res t act ua ll y affe ct ed th e ad eq ua cy of hi s
rep res en ta ti on , he is au to m at ic al ly en ti tl ed to rel ie f; th ere is no ne ed to es ta bl is h th at
th e Si xt h Am en dm en t vi ol at io n m ig ht ha ve ad ve rs el y affe ct ed th e o u t c om e of th e

cas e." (q uo ta ti on s o m it te d) ).

-1 4-In fin di ng th at th ere was no act ua l co nf li ct of in te res t, th e di st ric t co ur t di d no t
ad dr es s whe th er Pl un k waiv ed th e rig ht to effe ct iv e as si st an ce of co un s e l i n h i rin g Mo on to rep res en t Dev rie s an d h im se lf.

W e ha ve co ns is te nt ly he ld th at th e rig ht to effe ct i v e a s si st an ce of

co un se l m ay be waiv ed

, pr ov id ed th at waiv er is kn owi ng , vo lu nt ary an d in te ll ig en t. Se e U

n it ed St at es v. Brya nt , 76 6 F.2 d 37 0, 37 7 (8 th Ci r. 19 85 ), cer t. de ni ed

, 47 4 U.S. 10 54
, 10 6 S. Ct

. 79 0, 8 8 L. Ed

. 2 d 76 8 (1 98 6) ; Uni te d St at es v. Pos to n , 72 7 F.2 d 73 4, 73 8 (8 t h C i r

. )

, cer t. de ni ed , 46 6 U.S. 9 62 , 10 4 S . Ct. 2 17 9, 8 0 L. Ed. 2d 56 1 (1 98 4) ; La rr y Buf fa lo Ch ie f v. St at e of So ut h Dak

ot a , 42 5 F.2 d 27 1, 28 0 (8 th Ci r. 19 7 0)

. Onc e a va li d waiv er is fo un d to ex is t, we ne ed no t in qu ire whe th er an "ac tu al co nf

li ct of in te res t ex is ts ." Brya nt , 76 6 F.2 d at 37 8;

se e a ls o L ar ry Buf

fa lo Ch ie f , 42 5 F .2d at 2 80

.

* * *

The refo re, a w a i v e r c an be va li d if ob ta in ed du rin g a st at e tri al co ur t
pr oc eed in g ev en if th e st at e co ur t do es no t co nd uc t an on -th e-re co rd in qu iry, pr ov id ed th at th e waiv er is kn owi ng , vo lu nt ary, an d in te ll ig en t. S e e L a rr y Buf fa lo Ch ie f

, 42 5 F.2 d at 28 0; ac co rd Har ri s v. St at e , 60 9 S.W .2d 72 3, 72 4 (Mo

. App

. 19 80 ) (te st im on y at 27 .26 he ari ng su ffi ci en t
to de te rm in e whe th er waiv er va li d) ; Dav is v. St at e , 57 3 S.W .2d 73 6, 73 7 (Mo . Ap p. 19 78 ); cf

. C uy le r v. Su ll iv an , 4 46 U.S. 3 35 , 3 46 , 1 00 S. C t. 17 08
, 17 17
, 64 L. Ed. 2d 33 3 (1 98 0) ("n ot hi ng in ou r pr ec ed en ts

su gg es ts th at th e Si xt h Am en dm en t requ ire s st at e co ur ts th em se lv es to in it ia te in qu iri es in to th e pr op rie ty of m ul ti pl e re p r e s e nt at io n in ev ery

cas e")

.

Hen de rs on v. Smi th

, 90 3 F.2 d 53 4, 53 6– 37 (8 th Ci r. 19 90 ). "We can no t di sc ern fro m th is reco rd

. . . whe th er, in fact

, su ch a waiv e r w a s m ad e. W e, th eref or e, di rect th e di st ric t co ur t to co ns id er thi s is su e at [an ] ev id en ti ary he ari ng " on rem an d." Uni te d 1

The reco rd do es co nt ai n s om e rel ev an t t es ti m on y . For ex am pl e, Ro be rt Hall 1 is an in m at e who as si st s ot he r in m at es wit h th ei r le ga l wor k. Hall he lp ed Pl un k to fil e

-1 5-hi s in it ia l h ab eas pe ti ti on . Hall tes ti fie d t o st at em en ts th at Pl un k m ad e to hi m whi le

th ey were i nc arce rat ed to ge th er. Hal l t es ti fie d o n d ire ct ex am in at io n a s fo ll ows :

Q Mr. Hall

, . . . whe n y ou sa id yo u rev ie wed Mr. Pl un k's pa pe rs , . . . y ou th ou gh t t ha t h e h ad so m e cl ai m s t o ra is e?

A Yes , m a'am

.
Q And what was t ha t?

A W el l, wh en I fo un d t hi s d ru g t as k forc e rep or t and I as ke d Terry who sh e was an d I as ke d hi m ha d he ev er he ard of a co nf li ct of in te res t

an d he sa id no , he di dn 't kn ow wha t th at was

. And I sa id

, W el l, it 's whe n two de fen da nt s ha ve —wh en two pe op le ha ve an an ta go ni st ic de fen se

. And he di dn 't kn ow w h a t t h a t was ei th er, an d so I sa id

, You su re y ou

ne ve r he ard y ou r at to rn ey ta lk ab ou t a co nf li ct of in te res t wh i l e y'a l l

were in tri al at an y ti m e. He sa y s, No, I'm a lm os t po si ti ve I'v e ne ve r he ard th at wor d. So I sa t do wn an d ex pl ai ne d to Terry ab ou t th e co nf li ct of in te res t.

Terry ha d to ld m e th at he ha d pa id Mo on to rep res en t Ms

. Dev rie s al so

. And th at Mo on , Att or ne y Mo on , ha d rep res en te d bo th of th em on th e cas e. And th en I ex pl ai n e d

, o f co ur se , to Terry th at he co ul dn 't

r e p r es en t bo th of th em be cau se of wha t ha d ha pp en ed

, th ere was a

co nf li ct of i nt eres t, an d, o f co ur se , o ve r an d ov er an d ov er I ha d t o t el l hi m sev eral , sev eral ti m es

.
Q W hy di d it ta ke so lo ng do y ou t h i n k ? Why di d y ou ha ve to te ll hi m sev eral ti m es ?

A He do es n't gr as p le ga l or arg um en ts

. He do es n't un de rs ta nd or he di dn 't un de rs ta nd th e si gn ifi can ce of ev erythi ng I was tryin g to ex pl ai n to hi m

.

Fu rth erm or e, Pl un k te st ifi ed th at he m et Mo on th ro ug h hi s so n an d hi s so n's ex -wif e whi le he was in ja i l in Mi ss ou ri. The n, he te st ifi ed un de r di rect ex am in at io n as

-1 6-St at es v. Ung er , 66 5 F .2d 25 1, 2 56 (8t h C ir. 1 98 1)

.

III. Co nc lu si on On th is reco rd

, we co nc lu de th at th e di st ric t c o u r t e rred in fin di ng th at 2

"n e go ti at io ns [o f a pa ck ag e pl ea de al ] di d no t ad ve rs el y affe ct [Pl un k's ] de fen se ."
Plu nk

, 20 11 W L 69 63 09 2, at *2 1. Acco rd in gl y , we rev ers e an d r e man d fo r fu rth er
pr oc eed in gs co ns is te nt wit h th is op in io n, whi ch sh al l in cl ud e an ev id en ti ary he ari ng

on th e is su e o f wai ve r.

__ __ __ __ __ __ __ __ __ __ __ __ __ __ __

fo ll ows :

Q Did [Dev rie s] eve r ge t a l awy er?

A I he lp ed he r ge t a l awy er.

Q Oka y . And who was h er l awy er?

A Ph il li p M oo n.

* * *

Q Oka y

. And whe n y ou hi red Ph il li p Mo on fo r y ou an d Deb

, di d he

sa y an y th in g to y ou th at it m ig ht be a pr ob le m fo r hi m to rep res en t bo th of y ou ?

A No.

Q And who pa id Ph il li p M oo n?

A Me.

Bec au se of th e res ul t we reac h as to Pl un k's co nf li ct -o f-i nt eres t arg um en t, we 2

ne ed no t ad dr es s h is ad di ti on al cla im s o f in effe ct iv en es s.

-1 7-