Document: 417 U.S. 85 94 S.Ct. 2179 40 L.Ed.2d 678 Isadore H. BELLIS, Petitioner,v.UNITED STATES. No. 73—190. Argued Feb. 25, 1974. Decided May 28, Syllabus Fifth Amendment privilege against self-incrimination held not available to member of dissolved law partnership who had been subpoenaed by a grand jury produce the partnership's financial books and records, since partnership, though small, an institutional identity petitioner records in representative, personal, capacity. The is 'limited its historic function protecting only natural individual from compulsory incrimination through his own testimony or personal records.' United States v. White, 322 694, 701, 64 1248, 1252, 88 L.Ed. 1542. Pp. 87—101. In re Grand Jury Investigation, 3 Cir., 483 F.2d 961, affirmed. Leonard Sarner, Philadelphia, Pa., for petitioner. Lawrence G. Wallace, Washington, D.C., respondent. Mr. Justice MARSHALL delivered opinion Court. 1 question presented this case whether partner small firm may invoke justify refusal comply with subpoena requiring production records. 2 Until 1969, Bellis was senior Bellis, Kolsby & Wolf, Philadelphia. formed 1955 1956. There were three partners firm, individuals listed name. addition, six employees: two other attorneys associated one parttime; secretaries; receptionist. Petitioner's secretary doubled as bookkeeper, under direction firm's independent accountant. therefore maintained petitioner's office during tenure at firm. left late 1969 join another dissolved, although it apparently still process winding up affairs. Wolf continued practice together new same premises. moved offices, leaving former where they remained more than years. February March 1973, however, shortly before issuance case, secretary, acting attorney, removed old premises brought them Bellis' office. 4 On 1, served directing him appear testify federal bring 'all currently your possession years 1968 1969.' App. 6. Petitioner appeared on 9, but refused claiming, inter alia, self-incrimination. After hearing District Court 9 10, court that did extend ordered their 16.1 When reappeared date again civil contempt, released recognizance pending expedited appeal. 5 July Appeals affirmed per curiam opinion. 961 (CA3 1973). Relying Court's decision 1542 (1944), stated 'the has always regarded sense applies individual's words papers' thus apply 'records entity such which recognizable juridical existence apart members.' F.2d, 962. White stayed mandate August we granted certiorari, 414 907, 233, 38 145 (1973), consider interpretation applicability our circumstances case. We affirm. 6 It long established, course, protects compelled papers effects well oral testimony. Boyd States, 116 616, 524, 29 746 (1886), 'any forcible extortion man's testimony, private be used evidence convict crime' would violate privilege. Id., 630, S.Ct., 532; see also id., 633—635, 533—535; Wilson 221 361, 377, 31 538, 543, 55 771 (1911). business sole proprietor practitioner documents containing intimate information about life. supra; Couch 409 322, 93 611, 34 548 (1973); Hill Philpott, 445 144 (CA7), cert. denied, 404 991, 92 533, 30 (1971); Stuart 416 459, 462 (CA5 1969). As explained supra, 698, 1251, '(t)he constitutional . designed prevent use legal force lips accused necessary authenticate any might incriminate him.' See Curcio 354 118, 125, 77 1145, 1150, 1225 (1957); 330—331, 616—617. 7 hand, equally line cases established cannot rely upon avoid producing collective are representative capacity, even if these personally. This doctrine first announced series dealing corporate officer corporation could claim response duces tecum directed corporation. A companion Dreier 394, 550, 784 (1911), result followed when officer. Wheeler 226 478, 33 158, 57 309 (1913), no claimed respect previously dissolved. And Grant 227 74, 190, 423 applied principle corporation's shareholder. 8 To some extent, decisions based particular incidents form, observing limited powers State charter, subject retained 'visitorial power' investigate activities. See, e.g., U.S., 382—385, 545—546. But thought formulated put rest supra. unincorporated association, labor union, union's pursuant subpoena. general rule employed organization, he holds capacity custodian behalf group. 699 700, 1251—1252. have upheld variety organizations over individuals' claims Fleischman, 339 349, 357—358, 70 739, 743—744, 906 (1950) (Joint Anti-Fascist Refugee Committee); Rogers 340 367, 371—372, 71 438, 440—442, 95 344 (1951) (Communist Party Denver); McPhaul 364 372, 380, 81 138, 143, 136 (1960) (Civil Rights Congress). Ct. (1957) (local union). These reflect consistent view should 1252. many emphasize purely one, most recent among being last Term 327 328, 615—616. fundamental policy limiting scope privilege, must property person claiming least capacity.' 699, 1251. Murphy reasoned 'individuals, representatives group, said exercising rights duties nor entitled privileges. Rather assume rights, privileges artificial association agents officers bound obligations.' Ibid. 10 Since organization utilize self-incrimination, found follows official likewise take advantage inescapable fact can act agents, recognition substantially undermine unchallenged itself largely frustrate legitimate governmental regulation organizations. well: 11 'The nature economic activities incorporated demand power state governments regulate those correspondingly effective. greater portion wrongdoing usually organization. Were cloak thrown around impersonal documents, effective enforcement laws impossible. framers guarantee self-disclosure, interested primarily liberties, intended protect interests so nullify appropriate regulations.' 1251 (citations omitted). 12 384—385, 13 holding inapplicable second, obviously interrelated, underlying protection right "private enclave lead life." Waterfront Comm'n, 378 52, 55, 84 1594, 1597, (1964). recognized 'respects inner sanctum feeling thought'—an necessarily includes extent bars authentication—and 'proscribes intrusion extract self-condemnation.' 327, 615. Griswold Connecticut, 381 479, 484, 1678, 1681, 14 510 (1965). Protection privacy major theme running Boyd, see, 532, basis distinguished involved issue Boyd. 544. substantial confidentiality often organized entity. Control generally strictly regulated statute rules regulations access guaranteed others circumstances, organization's lacks control content location keep characteristic confidentiality. significance White; pointed out organizational '(u)sually, always, open inspection members,' 'this enforced occasions procedures,' '(t)hey embody element privacy.' here lies modern-day relevance visitorial relied records; exists 'where, virtue character applicable them, examination (state),' 382, 545, easily understood do contain requisite essential attach. 15 analysis makes context what described 'organized, activity.' presupposes members. group relatively structured merely loose, informal individuals. maintain distinct set recognize members them. words, fair say demanded rather White. 16 little difficulty concluding national local, custody met tests. 701—703, 1252 1253. observed fact, law, 'as perpetual corporation,' union operated formal constitutions, rules, bylaws, engaged broad members, restricted permissible uses members' inspect Although aware legally hold title characterized interest 'nominal' significant 17 think similarly clear partnerships frequently represent activity preclude Some powerful institutions Nation conducted form. Wall Street firms stock brokerage provide examples. large, impersonal, highly enterprises essentially duration. attenuated. inconceivable house offices coast handling millions dollars investment transactions annually immunize SEC scrutiny solely because operates none reported quite magnitude, hardly surprising all courts appeals addressed concluded White's requires rejection large enterprise Mal Brothers Contracting Co., 444 615 (CA3), 857, S.Ct.106, 99 Silverstein, 314 789 (CA2), 374 807, 83 1696, 1031 (1963); Wernes, 157 797, 800 (CA7 1946). Onassis, 125 F.Supp. 205—210 (DC 1954). Even lower smaller acknowledged absolute exclusion form associations warranted. Cogan, 257 170, 173—174 (S.D.N.Y.1966); Subpoena Duces Tecum, 418, 421 (N.D.Cal.1948). 18 required explore outer limits argues modest size here, unrealistic partners; rather, claims, embodies partners. Moreover, direct ownership does capacity.2 19 Despite arguments, conclude properly While temporary arrangement undertaking few projects short-lived Rather, represented continuing conduct practice. nearly prior voluntary dissolution.3 constitution bylaws govern internal affairs, imposed certain structure absence contrary agreement partners;4 example, each equal participate management Pa.Stat.Ann., Tit. 59, § 51(e) (1964), prescribed majority governed business, 51(h).5 bank account name, stationery using name letterhead, and, general, third parties identity. persons addition partners, including practiced behalf. filed separate returns tax purposes, 6031 Internal Revenue Code, 26 U.S.C. 6031.6 permitted sued, Pa.Rule Civ.Proc. 2128, property, 13(3), numerous purposes.7 20 Equally important, believe capacity.8 partnership.9 receipts disbursements entire income generated salaries paid employees law: derivative limitations. Ellis Ellis, 415 Pa. 412, 415—416, 203 A.2d 547, 549—550 purposes without consent 72(2)(a). course accountable fiduciary, 54(1), especially fiduciary obligations Indeed, Pennsylvania specifically provides 'every shall times copy (the books).' 52.10 facilitate access, principal place active life partnership. were—and are—entitled enforce action demanding suit accounting. 55.11 21 noted leave after Government contends agreed turn discovering made unavailing return Whether present unlawful infringement additional support concusion aspect predominates belatedly discovered 22 relies heavily language suggests 'test' determining area 'has membership constituents, common only.' admit Solicitor General's observation 'it difficult know precisely situations formulation include within privilege.' Brief 21. stating test, really it, subsequent face, test particularly helpful range cases, neither 'purely interests' 'group only,' combination two. 23 event, reduced simple proposition settled regardless how be. (1913); Fineberg 393 417, 420 (CA9 1968); Hair Industry, Ltd. (CA2 1965); cf. George Campbell Painting Corp. Reid, 392 286, 1978, 1094 (1968). Every now adopted permitting incorporation professional associations, increasing numbers lawyers, doctors, professionals choosing affairs traditional will entities whose insubstantial difference enterprise. 358 661, 668 (D.C.Md.1973). 24 different family Slutsky, 352 1105 (S.D.N.Y.1972); F.Supp., 421, or, General suggests, 23, there pre-existing relationship iof parnership's fairly compels inapplicable. 25 Affirmed. Jr. DOUGLAS dissenting. 27 petitioner, formerly firm; lawful purpose investigation personally.* He comply, today Bellis. I clearly controlled 746, dissent. 28 extends personally compulsion '(W)e unable perceive seizure compelling witness himself.' 633, 534. purporting distinguish 1542, involving individual, documents. persons, corporations. citing Hale Henkel, 201 43, 370, 50 652; 771; Essgee Co. 262 151, 43 514, 67 917. '(T)he extending stressed mechanical 'whether type finding dependent member, separately owns officers, treasury funds special authorization bind union. 701—702, None factors three-man Pennsylvania, Uniform Partnership Act, 1. dissolve automatically death 93, 31. No unanimous 51(g). sell 15, 12773; 13, individually co-owner 72, substantive respects kind ordinary property. Any liabilities arising owned assets exhausted, 37. treat treated it. run corporations black white. By man wife medical dental 'entity' expand government into excludes question; turns creator, State. tells us Supreme 'is aggregate entity.' Tax Review Board Shapiro 253, 260, 185 529, 533. For pays tax, conduit passes taxpaying Code §§ 702, 702. refers houses examples characteristics manner considered 'a contituents,' That certainly here. At unlikes alike; surpasses understanding two-or giant 170 (S.D.N.Y.1966) (Frankel, J.). real attorneys. 32 All goes demonstrate separate, Amendment. own, both practical sense. Nor liability entity, filing informational forms aid individually, whom directed. If conducting solo practice, overridden, conceded. am why forfeited joining distinction obscure fit notice itself, individual. concedes, n. assumed sought 'This command registers important advance development liberty—'one great landmarks struggle make himself civilized.' Time shown evils safeguard needless unwarranted. interpreted hostile niggardly spirit.' Ullmann 350 422, 426, 76 497, 500, 100 511. nigardly prevails today, effectively overruling compel him. join. wording arguably enough encompass expressly excluded client files order. already decided true issued E. A. Sons, 619, 526, 746. However, early stage jurisprudence, potential either invoice record, contention record raised. premise 'compulsory papers.' 622, 528. extension arose. today. 208 inquire Sons acquired held. Absent inquiry, determine affect facts infra, 101. concedes dissolution afford active. 12. Under terminate entity; continues until completed, yet occurred give 489—490, 162, 80, 192, (1913). reason dissolution. sketchy, unclear agreement. 45% profits indication material change provisions regarding reinforce conclusion Columbia. Term, 'partnership independently partners' number Code. 697, 1250, (1944). Of purposes. bear indicia viewed immaterial purpose. entitles size. association. mere sufficient establish 162; 79—80, 192. dissent jury, target inquiry. Assuming true, rejected argument fully here: 'Nor answer inquiry itself. appellant withhold charged criminal abuses. That, charged, submit inspection, despite consequences himself, sufficiently shows part them; depend accused.' 385, 546, Significantly, work performed clients, pointing 1251—1252, Guthrie Harkness, 199 148, 153, 4, 5, 130 (1905), (have right) examine company's books.' implement permits sue partner. 2129. * 24; Tr. Oral Arg. 8.

Category: 0