Opinion ID: 546225
Heading Depth: 3
Heading Rank: 1

Heading: Anthony Pungitore's Claim of Joint Representation

Text: 232 Anthony Pungitore, Jr. contends that the Simone's comments at the September 8, 1988, conference demonstrated that Simone and Capone were associated in the practice of law within the meaning of Fed.R.Crim.P. 44(c) and that the district court erred in not personally advising him of his right to separate representation, as required by that rule. Because the district court never elicited his waiver of any potential conflicts of interests stemming from the 'joint representation,' Pungitore submits that any actual conflict of interest impairing his attorney's performance at trial would require a reversal of his conviction. He further alleges an actual conflict of interest predicated upon the fact that Capone was in a position of subservience to Simone, who in turn, faced substantial conflicts of interest. Reply Brief for A. Pungitore at 16. In addition, he suggests that references to Simone's involvement in criminal activities had a more devastating impact on his defense than on that of other appellants because of the association between Simone and Capone. 233 Pungitore's primary contention, however, is that Capone's financial and professional dependence on Simone prevented him from exercising independent professional judgment regarding Pungitore's defense strategy. For instance, he asserts that while other appellants' attorneys may have made a tactical decision to participate in the unified defense strategy, Capone's adoption of that strategy was itself suspect because of the association. Brief for Pungitore at 34. Rather than pursuing a myriad of independent defense strategies, 80 Pungitore alleges that Capone passively acquiesced to Simone's tactical decision to develop a common defense so as not to jeopardize their professional relationship. 234 Pungitore's entire argument is predicated upon his assumption that the district court wrongly concluded that Simone and Capone were not associated practitioners. Our review of this question is limited. We see no reason not to accept the district court's implicit conclusions with respect to the character of Simone's and Capone's practices as they are fully supported in the record and the scope of its inquiry under Rule 44(c) is committed to its discretion, see United States v. Bradshaw, 719 F.2d 907, 914 (7th Cir.1983), although its ultimate legal conclusion that they were not associates is subject to plenary review. Cuyler v. Sullivan, 446 U.S. 335, 341-42, 100 S.Ct. 1708, 1714-15, 64 L.Ed.2d 333 (1980) (the existence of multiple representation is a mixed question of fact and law). 235 In this case in view of the district court's treatment of the matter, it is apparent that it accepted Simone's characterization of his and Capone's practices. Its reliance on Simone's statements was entirely reasonable. See Cuyler, 446 U.S. at 347, 100 S.Ct. at 1717 (trial courts necessarily rely in large measure upon the good faith and good judgment of defense counsel); United States v. Crespo de Llano, 838 F.2d 1006, 1012 (9th Cir.1987); United States v. Bradshaw, 719 F.2d at 915 n. 3. Given that Simone and Capone had separate stationery available and had different clients, and that Capone paid his own taxes and had his own secretary, the court's legal conclusion that Simone and Capone had independent practices was justified, and to the extent our review is plenary we adopt it as our own, as the attorneys' sharing of office space and their participation in joint trials did not lead inexorably to the conclusion that they were associates. Accord United States v. Varca, 896 F.2d 900, 903 (5th Cir.1990) ([P]ractitioners who share office space and occasionally consult with one another are not regarded as constituting a single firm for conflict purposes.). As Simone and Capone were not associates, Rule 44(c) did not apply and the district court had no obligation to advise either Scarfo or Pungitore of any conflicts of interest which potentially could arise from joint representation. 81 236 Pungitore insists, however, that the district court abused its discretion in relying on Simone's assertions, in view of the government's intimation the following day that Simone may have participated in the same criminal activity charged against some of the appellants. But the district court was fully competent to assess Simone's credibility. Simone had no reason to misrepresent the nature of his practice to the district court and, in any event, Capone, who was not implicated in any criminal activity, fully concurred with Simone's statement. We will not second guess the district court's assessment of the attorneys' credibility, as it was completely reasonable on the record before it. 237 Moreover, even assuming that Simone and Capone were associates, the district court's failure to advise Pungitore personally about his right to separate trial counsel, as required by Rule 44(c), would not justify a reversal of his conviction. Numerous courts have held that Rule 44(c) is only a prophylactic measure designed to ensure that a defendant's Sixth Amendment right to effective assistance of counsel is not impaired by an actual conflict of interest. Crespo, 838 F.2d at 1013; United States v. Mooney, 769 F.2d 496, 499 (8th Cir.1985); United States v. Burney, 756 F.2d 787, 791 (10th Cir.1985); Bradshaw, 719 F.2d at 915 ([a] complete failure to comply with Rule 44(c) does not mandate a reversal if the defendant is unable to demonstrate an actual conflict.). See also Fed.R.Crim.P. 44(c), Advisory Committee's Note to 1979 amendment (The failure in a particular case to conduct a rule 44(c) inquiry would not, standing alone, necessitate the reversal of a conviction of a jointly represented defendant.). 238 To justify reversal, an appellant must point to an actual conflict of interest which adversely affected his attorney's performance. Burger v. Kemp, 483 U.S. 776, 783, 107 S.Ct. 3114, 3120, 97 L.Ed.2d 638 (1987); Cuyler, 446 U.S. at 348, 100 S.Ct. at 1718; United States v. Gambino, 864 F.2d 1064, 1070 (3d Cir.1988), cert. denied, --- U.S. ----, 109 S.Ct. 3215, 106 L.Ed.2d 566 (1989). An actual conflict of interest occurs if  'the defendants' interests diverge with respect to a material factual or legal issue or to a course of action'  such that the attorney finds himself in the untenable position of serving two clients with incompatible needs. Gambino, 864 F.2d at 1070 (citation omitted). If the conflict results in a lapse in representation, demonstrated either through affirmative steps taken contrary to the defendant's best interests or through attorney omissions, prejudice to the defendant is presumed. Id. 239 Pungitore has not demonstrated a Sixth Amendment violation predicated upon a conflict of interest. To make a colorable showing of a conflict, Pungitore had to show that he and Scarfo had divergent interests, not that Capone was beholden to Simone. He has not even attempted to do so. There is no reason to believe that the facts that Capone did not request a severance or stray from the common defense had anything to do with his alleged joint representation of Scarfo, as Scarfo's defense would not have been undermined by either action. Furthermore, there is no suggestion that Capone suppressed a defense available to Pungitore because it might have inculpated Scarfo. 240 In view of the foregoing, we reject Pungitore's claim of a conflict arising from joint representation. As we have accepted the district court's conclusion concerning the independence of Capone's and Simone's law practices, we add that Pungitore stood in the same position as other appellants with respect to the prejudice alleged to flow from Simone's implication in the Rouse extortion. Thus, we will consider Pungitore's arguments concerning that issue in conjunction with those of other appellants who have addressed it. 241