Opinion ID: 445302
Heading Depth: 1
Heading Rank: 3

Heading: THE THREATENED CROSS-EXAMINATION OF McCONNELL

Text: 24 On November 24, 1982, approximately half-way through the government's presentation of its case at trial, both the government and counsel for Mr. McConnell submitted memoranda to the trial court concerning certain evidentiary disputes that were anticipated to arise during the government's cross-examination of McConnell should he decide to take the stand in his own defense. 2 The government stated its intention to question McConnell on three matters. First, it proposed to ask McConnell whether he participated in a scheme to defraud the Progress National Bank of Toledo, Ohio, in 1967 and 1968. In fact, McConnell had been convicted of such fraud in 1972 upon a plea of nolo contendere but the government asserted that it would not introduce evidence of this conviction, regardless of McConnell's response to the question, both because the conviction was based on a nolo contendere plea and because the conviction was beyond the 10-year limitation of Fed.R.Evid. 609(b). Second, the government indicated its intent to ask McConnell whether he participated in a scheme to distribute stolen and counterfeit securities in Florida in 1972. Again the government indicated it would not attempt to contradict a denial by McConnell because his 1974 conviction for this crime was overturned on appeal. 3 Third, the government indicated that it intended to ask McConnell whether he considered himself a master swindler and whether he ever admitted as much to the F.B.I. This proposed question referred to an interview arranged by the Department of Justice at McConnell's request in 1974 while his Florida conviction was pending appeal. McConnell sought to persuade the Department of Justice to recommend to the sentencing judge in the Florida case that McConnell be given probation by offering to furnish information about various other schemes and swindles. During the interview McConnell admitted (or boasted) that he considered himself to be among the top tier of master swindlers in the world. The government indicated to the trial judge below that if McConnell denied making this statement when cross-examined, the government was prepared to rebut the denial with the testimony of the F.B.I. agent who recorded the 1974 admission. 25 McConnell's memorandum dealt only with the government's anticipated use of his 1974 statement arguing that the statement would be inadmissible because unreliable, relating to events remote in time, excessively prejudicial, made in the context of plea bargaining and made without McConnell's attorney being present. 4 McConnell's memorandum did not state that he would take the stand only if the trial court ruled that the government could not cross-examine as proposed. Indeed, this possibility appears to have been first suggested on December 1, 1982, by government counsel who informed the court that they understood McConnell's counsel wanted to know where he stands before he [McConnell] takes the witness stand. (Tr. Vo. XI, at 153). At that time the court stated He will know. and indicated that its decision would not be made with a view toward shortening the length of the trial, referring apparently to an anticipated loss of McConnell's testimony. The matter was not mentioned again until December 7, 1982, after the close of the government's case. At that time the court brought the matter up and stated: 26 I think I will also tell you this, that as far as the motion that--not really a motion but statements that have been made about the possible cross examination of Mr. McConnell, I am not going to make a definitive ruling, final ruling at this time. However, I am leaning pretty strongly to permitting him to ask that question in a proper manner. 27 (Tr. Vol. XV at 79) (emphasis added). Counsel for the government then recapitulated the three questions he desired to ask in the manner in which he intended to ask them. Court was then recessed. Counsel for McConnell did not at this time or at any time thereafter press the court for a definite and final ruling. Although McConnell on page 54 of his brief on appeal states that McConnell advised the court that in view of the ruling he would not testify no such statement appears in the record. The record also does not show that McConnell at any time made an offer of proof informing the court of the substance of the testimony which was to be withheld because of the court's ruling. 28 This case does not involve a question of the admissibility of evidence of prior convictions under Fed.R.Evid. 609. However, with respect to the defendant's rights and responsibilities in securing an appealable ruling prior to his testimony, we see no reason to distinguish these circumstances. In United States v. Halbert, 668 F.2d 489 (1982) this court examined decisions from other circuits regarding the propriety of making a 609 ruling before a defendant takes the stand. Noting cases that show courts have taken a complete range of positions, from making the ruling before trial to postponing it until after the defendant testifies, we said: 29 There is a good deal to be said for postponing the ruling until the matter becomes a reality. But to wait until after the testimony is given is to act too late for the defendant to make a decision based on the court's determination as to admissibility. The best approach might be to postpone it until the time of testimony and if the defendant states positively that he intends to take the stand only if the court rules in his favor, that is, if the former convictions are ruled inadmissible for the purpose of discrediting or impeaching his testimony, then the judge would be in a position to make an appealable ruling. It seems desirable, however, that the condition should not be such that the defendant will be allowed to manipulate the court so as to create a legal question notwithstanding that he has no genuine intention to testify. 30