Opinion ID: 414336
Heading Depth: 2
Heading Rank: 4

Heading: Failure to Instruct the Jury on a Theory of the Case

Text: 63 Appellants Kuhn, Rocco Perla and Tony Perla argue that their complicity, if any, in the point shaving scheme was limited to buying and selling inside information on B.C. games, but did not extend to point shaving as the government had alleged. They argue that the inside information theory constituted a legally sufficient defense to the government's RICO charges and assert that the district judge committed reversible error under Fed.R.Crim.P. 30 when he failed to instruct the jury on this theory. 64 Every criminal defendant is entitled to have his theory of the case, if it could amount to a legally sufficient defense based upon the evidence presented at trial, fairly submitted to the jury. Fed.R.Crim.P. 30. The request to charge under Rule 30 must identify, with some reasonable degree of clarity, the theory of the case desired by the defendant. See United States v. Grammatikos, 633 F.2d 1013, 1022 (2d Cir.1980) (defenses must be squarely interposed). 65 In this action, the appellants did not request that the jury be instructed on their inside information theory. They did not object to the court's failure to give that specific charge. In the absence of clear error by the trial court in its instructions, failure to make timely request for, or objection to, instructions to the jury waives all objections to the charge given. Fed.R.Crim.P. 30. United States v. Bermudez, 526 F.2d 89 at 97 (2d Cir.); see also United States v. Grammatikos, 633 F.2d at 1022; United States v. Barash, 412 F.2d 26, 33 (2d Cir.), cert. denied, 396 U.S. 832, 90 S.Ct. 86, 24 L.Ed.2d 82 (1969). 66 The court's failure to instruct on the inside information theory was not clear error. Defense counsel never even hinted at trial that the appellants had paid or received money for providing inside information on B.C. basketball games. The court properly limited its instruction to those defenses that could be fairly gleaned from the evidence. No error is shown here. 67 F. Denial of Hearing on Preindictment Publicity 68 The appellants maintain that their right to a fair, impartial trial was jeopardized due to the widespread, adverse publicity generated by the SI expose of the B.C. conspiracy. They argue that the district judge committed reversible error when he denied their request for a preindictment hearing to determine whether the grand jury could give fair and impartial consideration to their case. 69 When a person is brought before the grand jury and charged with a criminal offense, that individual is constitutionally entitled to have his case considered by an impartial and unbiased grand jury. See Lawn v. United States, 355 U.S. 339, 349-50, 78 S.Ct. 311, 317-318, 2 L.Ed.2d 321 (1958); Costello v. United States, 350 U.S. 359, 363, 76 S.Ct. 406, 408, 100 L.Ed. 397 (1956). The grand jury need not deliberate in a sterile chamber, however, to satisfy this constitutional guarantee, see United States v. Nunan, 236 F.2d 576, 593 (2d Cir.1956), cert. denied, 353 U.S. 912, 77 S.Ct. 661, 1 L.Ed.2d 665 (1957); United States v. Myers, 510 F.Supp. 323, 325 (E.D.N.Y.1980), and a criminal conviction appealed on grounds of adverse preindictment publicity will not be overturned unless the moving party can bear the heavy burden of demonstrating that he has suffered actual prejudice as a result of the publicity. United States v. Myers, 510 F.Supp. at 325-26; see United States v. Mandel, 415 F.Supp. 1033, 1061-65 (D.Md.1976), aff'd in part, vacated and remanded in part, 591 F.2d 1347 (4th Cir.), aff'd on rehearing, 602 F.2d 653 (4th Cir.1979) (en banc). 70 The appellants have failed to cite any persuasive evidence of actual grand jury prejudice in the preindictment stage of this criminal action. They contend in very general terms that the SI article and the adverse publicity generated by this story prejudiced them, an argument which is clearly insufficient to warrant reversal under prevailing law. See, e.g., Beck v. Washington, 369 U.S. 541, 549, 82 S.Ct. 955, 959, 8 L.Ed.2d 98 (1962); United States v. Nunan, 236 F.2d at 593. 71 G. Limit on Cross-Examination/Refusal to Sever 72 Counsel for appellant Burke indicated at the commencement of trial they were concerned that Henry Hill would implicate Burke in criminal activities, including the Lufthansa robbery, that were unrelated to the pending charges. Counsel asked the court to restrict any examination of Hill that might elicit answers implicating Burke in other crimes. Judge Bramwell made two significant evidentiary rulings at this point in the trial. He ordered the prosecutor to warn Hill that he should limit his testimony to facts relevant to the pending criminal charges. The court also ruled that, due to the widespread publicity surrounding Lufthansa and Burke's reputed involvement in that crime, any testimony relating to Lufthansa would be limited to general discussion of a significant robbery. Counsel for Kuhn, Anthony Perla and Rocco Perla then moved to sever their trial from the Burke action, arguing that they were unduly prejudiced by the court's evidentiary rulings. This motion was denied by the court. 73 The Perlas and Kuhn charge on appeal that Judge Bramwell committed reversible error when he denied them the right to conduct wide-ranging cross-examination of Hill that would have exposed a serious incident of misconduct reflecting on credibility. They argue that Hill was a critical prosecution witness whose motive to fabricate--i.e., to curry favor with the government and thus gain immunity for his many criminal offenses--was not fully developed at trial due to the court's evidentiary rulings. Finally, the appellants contend that the court should have at least granted their motion to sever, thereby eliminating any prejudice to their defense. 74 Regarding the admissibility of impeachment evidence, we have recognized that the trial judge, who can observe first hand the credibility of witnesses and general tenor of the trial, is especially well suited to resolve these issues. Hence, we have accorded the trial judge considerable discretion in this area. United States v. Stahl, 616 F.2d 30, 33 (2d Cir.1980); see also United States v. Rogers, 549 F.2d 490, 496-97 (8th Cir.1976), cert. denied, 431 U.S. 918, 97 S.Ct. 2182, 53 L.Ed.2d 229 (1977). 75 The trial court's decision to circumscribe defense counsel's efforts to impeach Hill was an appropriate exercise of its discretion. The only possible advantage to be gained by pursuing the Lufthansa line of questioning, i.e., further impeaching the credibility of Hill, was substantially outweighed by the strong possibility that the jury would exaggerate the importance of this testimony. Moreover, the court did permit counsel to establish that Hill had been linked to a significant robbery. Counsel was allowed to introduce a redacted version of Hill's immunity agreement and thus the jury was fully aware of his motives for testifying. This evidence, viewed together with the additional impeachment testimony independently introduced against Hill, reveals that Hill had been thoroughly impeached at trial. No error is shown here. 76 We also affirm the district judge's decision to deny counsel's motion to sever. The judge is empowered under Fed.R.Crim.P. 14 to sever the trials of criminal defendants if he determines that the parties will be unduly prejudiced by a joint prosecution. That decision is committed, however, to the broad discretion of the trial judge, see United States v. Werner, 620 F.2d 922, 928 (2d Cir.1980); United States v. Ochs, 595 F.2d 1247, 1260-61 (2d Cir.), cert. denied, 444 U.S. 955, 100 S.Ct. 435, 62 L.Ed.2d 328 (1979), and a denial of a Rule 14 motion will not be overturned on appeal unless the defendant meets the following heavy burden: 77 The burden is upon a moving defendant to show facts demonstrating that he will be so severely prejudiced by a joint trial that it would in effect deny him a fair trial. The defendant must demonstrate that he suffered such prejudice as a result of the joinder, not that he might have had a better chance for acquittal at a separate trial. 78 United States v. Rucker, 586 F.2d 899, 902 (2d Cir.1978), citing United States v. Borelli, 435 F.2d 500 (2d Cir.1970), cert. denied, 401 U.S. 946, 91 S.Ct. 963, 28 L.Ed.2d 229 (1971). The court did not abuse its discretion when denying the appellants' motion to sever. Important judicial economies were served by joining these criminal trials and the appellants have been unable to show that they were severely prejudiced or denied a fair trial because their cases were tried together. H. Kuhn Inculpatory Statement 79 On September 3, 1980, FBI agents James Byron and Thomas Sweeney visited the family home of appellant Kuhn in Swissvale, Pennsylvania. The agents asked Kuhn whether he would be willing to discuss events surrounding the 1978-79 B.C. basketball season. Kuhn inquired whether he was required to talk, and the agents responded that, although they would appreciate his cooperation, he was not legally obligated to answer their questions. 80 Kuhn agreed to talk with the agents, but asked that the conversation be continued outside his home. They agreed to continue the discussion in the FBI car parked outside the Kuhn home. Once inside the car, Kuhn again asked whether he was required to speak with the agents and they explained that he was not legally bound to answer their questions. Kuhn then made several inculpatory statements. 81 At trial, FBI Agent Byron testified to the substance of Kuhn's admission, but omitted any reference to remarks that implicated Kuhn's co-defendants in the criminal enterprise. On appeal, Kuhn argues that the court should have suppressed this testimony because it was obtained in violation of his Fifth Amendment rights. Specifically, Kuhn asserts that since his admissions were the product of a custodial interrogation, the FBI agents should have given Miranda warnings before questioning him. See Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966). Both parties agree that Agents Sweeney and Byron did not apprise Kuhn of his Miranda rights before he admitted complicity in the point shaving scheme. 82 The courts have frequently been asked, in the wake of the Supreme Court's landmark Miranda decision, to determine the precise point at which the Fifth Amendment demands that Miranda warnings be given. The Supreme Court has stated that warnings are constitutionally required where the accused has been arrested or is required to submit to a custodial interrogation. Id. at 444, 86 S.Ct. at 1612; see Oregon v. Mathiason, 429 U.S. 492, 494, 97 S.Ct. 711, 713, 50 L.Ed.2d 714 (1977) (per curiam); Beckwith v. United States, 425 U.S. 341, 345, 96 S.Ct. 1612, 1615, 48 L.Ed.2d 1 (1976). Custodial interrogation has been defined to include situations in which the accused is taken into custody or otherwise deprived of his freedom of action in any significant way. Miranda v. Arizona, 384 U.S. at 444, 86 S.Ct. at 1612; see Oregon v. Mathiason, 429 U.S. at 494, 97 S.Ct. at 713. Miranda warnings need not be delivered in a non-custodial interrogation even if the government's criminal investigation has reached a stage where the defendant is the focus of the inquiry. See Beckwith v. United States, 425 U.S. at 345, 96 S.Ct. at 1615. 83 In this action, Judge Bramwell properly ruled that Kuhn's admissions were not the product of a custodial interrogation. The FBI agents advised Kuhn, at two separate points during their conversation, that he was not legally obligated to speak with them. In fact, even after he admitted complicity in the point shaving scheme, the agents left the Kuhn property without arresting or otherwise restricting his freedom. The defendant has failed to convince us on appeal that his freedom of movement was impaired or restricted by Agents Byron and Sweeney. See Oregon v. Mathiason, 429 U.S. at 495, 97 S.Ct. at 713 (after bringing the defendant into an interrogation room at the police station, officer [falsely] stated that defendant's fingerprints were found at the scene of the crime: held, no Miranda problems because the defendant was not arrested, nor was his freedom of movement restricted in any way when he voluntarily confessed to the crime).
84 When Kuhn admitted to his complicity in the point shaving scheme, he also implicated appellants Tony Perla, Rocco Perla and Paul Mazzei. At trial, FBI Agent Byron testified to the substance of Kuhn's inculpatory statements, but omitted any specific reference to the co-defendants. 10 The appellants contend on appeal that even though Agent Byron did not specifically identify them when recounting Kuhn's statements, the jury could readily infer from his testimony that Kuhn was referring to them when confessing to complicity in the scandal. The Perlas and Mazzei argue that their Sixth Amendment right of confrontation was violated by the court's decision to permit Agent Byron to testify to the redacted confession. They contend that Kuhn's statements, as recounted by witness Byron, referred to them by implication and thus should have been excised because Kuhn never testified at trial. 85 In Bruton v. United States, 391 U.S. 123, 88 S.Ct. 1620, 20 L.Ed.2d 476 (1968), the Court held that the admission of a non-testifying defendant's statement which implicated a co-defendant violated the Sixth Amendment Confrontation Clause. The Bruton rule has been fully explored by this Court. A redacted statement of a non-testifying defendant is admissible if not clearly inculpatory as to a co-defendant or vitally important to the government's case against the co-defendant, and if the court provides cautionary instructions limiting use of the statement against its maker. See United States v. Wingate, 520 F.2d 309, 313 (2d Cir.1975), cert. denied, 423 U.S. 1074, 96 S.Ct. 858, 47 L.Ed.2d 84 (1976). To be clearly inculpatory, the redacted statement, standing alone, must connect a co-defendant with the crime. Thus, where the redacted statement does not mention a co-defendant's name or provide a physical description, its admission would not violate Bruton. See United States v. Knuckles, 581 F.2d 305, 313 (2d Cir.), cert. denied, 439 U.S. 986, 99 S.Ct. 581, 58 L.Ed.2d 659 (1978). However, a redacted statement is clearly inculpatory where the jury is aware that names have been redacted and, in light of other evidence, could infer that the omitted names may have included a co-defendant's. See United States v. Danzey, 594 F.2d 905, 917-18 (2d Cir.), cert. denied, 441 U.S. 951, 99 S.Ct. 2179, 60 L.Ed.2d 1056 (1979). 86 This Circuit has consistently dismissed Bruton claims in situations where, as here, the inculpatory statement of a co-defendant does not independently implicate the appellant. See United States v. Knuckles, 581 F.2d at 313; United States v. Wingate, 520 F.2d at 314. In United States ex rel. Nelson v. Follette, 430 F.2d 1055 (2d Cir.1970), the co-defendant confessed that he and Oliver had been involved in a robbery and murder. Nelson objected to the admissibility of his co-defendant's confession at their joint trial on the ground that the jury could infer from independently introduced evidence that he was Oliver. The Court rejected this Bruton claim, holding that the contested admission was not clearly inculpatory to Nelson because it alone did not serve to connect him with the crime. Id. at 1058. 87 In this action, the court properly limited Agent Byron's testimony to exclude all specific references to Mazzei or the Perla brothers. The court correctly instructed the jury that the Byron testimony could be used as evidence only against Kuhn. Moreover, the jury was not aware that Agent Byron edited Kuhn's statements to exclude specific reference to co-conspirators identified by Kuhn. Cf. United States v. Danzey, 594 F.2d at 917 (jury aware that names redacted). Nor was Agent Byron's testimony such that the jury could infer with confidence, based upon Kuhn's admissions standing alone, that Kuhn was identifying a particular appellant when he related his story to Agent Byron. We reject this claim as well. 88 The judgment of the district court is affirmed.