Opinion ID: 546225
Heading Depth: 2
Heading Rank: 7

Heading: implication of scarfo's attorney in rouse extortion

Text: 221 Appellants pursued a unified defense strategy which focussed on attacking the credibility of two key government witnesses, Nicholas Caramandi and Thomas DelGiorno. Several appellants now assert that they were irreparably prejudiced in that defense by the prosecutors' alleged attempts to impugn the integrity of Scarfo's attorney, Robert F. Simone, Esq., and by evidence that Simone was an unindicted co-conspirator in the Rouse extortion, racketeering act 39. 76 In addition, Anthony Pungitore, Jr. maintains that his attorney, Joseph P. Capone, Esq., labored under a conflict of interest caused by a professional association with Simone, which precluded Capone from effectively representing him. 222 On September 8, 1988, the government advised the court that Capone had a close working relationship with Simone and that it might be prudent to establish on the record the precise nature of the relationship. Jt.App. at 777. In response to the district court's inquiries, Simone stated: 223 Joseph Capone ... graduated Temple University and ... became associated with my office on a full-time basis in approximately January of this year. Mr. Capone has his own office in the same building, which I rent.... Mr. Capone has his own secretary who does quite a bit of legal work for me not as an employee but as an associate. I pay him for the work that he does. I do not deduct taxes. He pays his own taxes. He has his own practice which I do not participate in.... [H]e's a member of the Philadelphia and the New Jersey Bar. We are not partners. He's not my employee but we do work together on many cases. Mr. Scarfo has been made aware of that from the beginning from the time Mr. Capone first came with me. Mr. Anthony Pungitore has been made aware of that from the time Mr. Capone first became associated with me. Mr. Capone had ordered, having nothing to do with this case, his own stationery. I'm not sure that he's ... gotten it yet, but I know he has ... his own stationery and that's not for the purposes of this case, but for the purposes of his own practice. 77 224 Jt.App. at 774-75. (Emphasis supplied). 225 After advising the court that he had introduced Capone to Pungitore, Simone continued: 226 [Pungitore and Capone] spoke themselves and he-he retained Mr. Capone. I kept [Assistant U.S. Attorney] Pichini aware of this. I alerted to the potential conflict. I've alerted to Mr. Pungitore and Mr. Scarfo. [T]here is no conflict for all intents and purposes. Mr. Capone will be representing Mr. Pungitore. I will be representing Mr. Scarfo. It's that simple. 227 Jt.App. at 776. (Emphasis supplied). 228 In response to a question posed by the district court, Capone stated that he agreed with Simone's representation of their professional relationship. Furthermore both Anthony Pungitore, Jr. and Scarfo said they agreed with it. No further inquiry was made. 229 The following day, the district court, again at the government's behest, held another sidebar conference to discuss other potential problems concerning Simone's representation of Scarfo. At the conference, the government informed the court that it expected to introduce evidence which would implicate Simone in the attempted extortion of Rouse Associates, an offense charged as racketeering act 39 in the RICO counts. The government also stated that it would seek the admission of photographs depicting Simone with several appellants and that DelGiorno would testify that Simone was present during a conversation with Scarfo regarding the murder of Judge Helfant. Jt.App. 914-17. The district court then explained to Scarfo the risks inherent in Simone's continued representation of him. Scarfo, however, insisted that he wanted Simone to represent him and the conference was concluded. 78 230 As expected, the government introduced evidence tending to show a close association between Simone and various appellants, as well as evidence that Simone participated in planning the Rouse extortion scheme and was slated to receive a ten percent share of the extortion proceeds. Tr. 10/13/88 at 22. In addition, DelGiorno testified that Simone intimated that he wanted to have Councilman Beloff's aide, Robert Rego, killed because Rego could really, really hurt Simone. Id. at 34-36. The district court sustained Simone's objection to the above testimony and instructed the jury to disregard it. Id. In a similar vein, Caramandi testified that he agreed to cooperate with the government because Scarfo and Bobby Simone were going to kill [him]. Tr. 10/29/88 at 123. The following trial day, pursuant to an agreement between the prosecutors and defense counsel, the government revisited this issue and Caramandi recanted that portion of his testimony. 79 In his closing argument, Simone argued that he and Scarfo's co-defendants were accused of criminal conduct solely because they were friends with Scarfo: I'm not ashamed to say that Mr. Scarfo's a personal friend of mine.... I'm ashamed to say that I've been accused of a lot of things in this case because I happen to be his lawyer. So if you get close to Mr. Scarfo, you have to watch out for these people. Tr. 11/16/88 at 117. Presumably in response to these comments, the prosecutor in his rebuttal argument held up a surveillance photograph showing Simone with Scarfo and stated, Look like a lawyer representing his client or does it look like someone who might also be a friend. Tr. 11/16/88 at 264. 231
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
242 Ciancaglini, Staino, the Narduccis, and the Pungitores argue that the admission of evidence implicating Scarfo's attorney, Robert F. Simone, Esq., in the Rouse extortion so prejudiced Scarfo's co-defendants as to require reversal of their convictions. Although appellants differ in how they frame their arguments, they each allege that the government intentionally set out to inflame the jury by undermining Simone's integrity. They argue that because Simone functioned as lead defense attorney, this prosecutorial misconduct caused extreme prejudice to all of the appellants, as the jury inevitably would infer that the entire defense team had participated in the enterprise's criminal activities. In a similar vein, Ciancaglini and Joseph Pungitore maintain that Simone, in his capacity as lead defense counsel, labored under an actual conflict of interest which impeded his representation not only of Scarfo, but of Scarfo's co-defendants. In their view, the district court either should have elicited their waiver of the conflict or ordered the government to drop or modify the charges concerning the Rouse extortion. In addition, they believe that it was incumbent upon the district court to monitor more closely the testimony and the prosecutor's closing summation to ensure that prejudicial references to Simone were kept to a minimum. 243 We will review these contentions for plain error because appellants failed to raise them at trial. 82 We find no prosecutorial misconduct or error on the part of the district court. 244 We do not take issue with appellants' basic premise that, as a general rule, a prosecutor should refrain from attacking the integrity and ethical standards of defense counsel. United States v. Young, 470 U.S. at 9, 105 S.Ct. at 1043 (it is improper for an attorney to make unfounded and inflammatory attacks on the opposing advocate.); United States v. Murrah, 888 F.2d 24 (5th Cir.1989) (reversing arson conviction where prosecutor accused defense counsel of hiding expert retained for trial preparation so that expert could not be called as a government witness); United States v. McLain, 823 F.2d 1457, 1462-63 (11th Cir.1987) (finding plain error where prosecutor repeatedly accused defense counsel of intentionally misleading the jurors and witnesses and of lying in court); Bruno v. Rushen, 721 F.2d 1193, 1194 & n. 3 (9th Cir.1983) (per curiam), cert. denied, 469 U.S. 920, 105 S.Ct. 302, 83 L.Ed.2d 236 (1984) (affirming grant of habeas petition on basis of prosecutorial argument which hinted that the defendant's retention of counsel was probative of his guilt and accused defense counsel of fabricating testimony in return for legal fees). 245 However, this ethical constraint does not inhibit a prosecutor from introducing relevant evidence which happens to implicate a defense attorney in the same criminal activities charged against the accused, provided that advance warning is given to the defense so that there is an opportunity for appropriate motions. 83 See United States v. Arzola-Amaya, 867 F.2d 1504, 1516 (5th Cir.), cert. denied, --- U.S. ----, 110 S.Ct. 322, 107 L.Ed.2d 312 (1989). The cases cited above are not to the contrary, as the courts' holdings were limited to situations where the prosecutorial attack is irrelevant to the matter being tried and lacks any evidentiary support. Thus, the Murrah court wrote that a prosecutor may not challenge the integrity and ethical standards of defense counsel unless the prosecutor has certain proof of an offense and the matter is relevant to the case being tried. 888 F.2d at 27 (emphasis supplied). Similarly, in Bruno, the court specifically noted that the prosecutor offered nothing from the evidence adduced at trial to support his suspicions that defense counsel had agreed for the sake of profit to aid in fabricating a defense. 721 F.2d at 1194. Thus, neither Murrah nor Bruno suggest that the type of unfounded and inflammatory attack on [an] opposing advocate condemned in Young occurs whenever the government's evidence of a particular offense casts a defense attorney in an unfavorable light. 246 In this case, the evidence concerning Simone was highly probative of the appellants' guilt of the Rouse extortion. Given its extensive forewarnings and the appellants' failure to object throughout the trial, the government had no obligation to restructure its case so as to avoid references to Simone as an unindicted co-conspirator simply because Scarfo chose to retain Simone as his trial counsel. Indeed, we are aware of no cases in which a defendant's choice of counsel has been held to take precedence over the government's discretion in deciding what charges to prosecute and how to present its case. Where a defense attorney faces potential criminal liability for the same activity charged against his client, the attorney's ability to represent effectively the client obviously will be hampered by an actual conflict of interest. Government of the Virgin Islands v. Zepp, 748 F.2d 125 (3d Cir.1984) (finding irreconcilable conflict of interest where defendant was prosecuted for destroying evidence and she and her attorney were the only individuals present at the scene of the crime). In such circumstances, the trial court has a duty to elicit the defendant's knowing and intelligent waiver of the conflict and, if the court deems the waiver ineffective to safeguard the defendant's rights, to take other precautionary measures, including disqualifying the attorney. Zepp, 748 F.2d at 139; United States v. Dolan, 570 F.2d 1177, 1182 (3d Cir.1978) (exercise of the court's supervisory powers by disqualifying an attorney representing multiple defendants in spite of the defendants' express desire to retain that attorney does not necessarily abrogate defendants' sixth amendment rights.). In no case, however, must the government's exercise of prosecutorial discretion yield to the defendant's choice of counsel. 84 247 But here, the appellants cannot even assert a conflict of interest impeding Simone's representation of them because Simone represented only Scarfo. While Simone may have figured prominently in formulating and presenting the unified defense, that does not mean that he enjoyed an attorney-client relationship with every appellant in this case. At most, appellants have alleged that their defense suffered from a prejudicial spillover of evidence implicating Simone. If at trial, appellants believed that the spillover effect of the evidence was likely to influence unfairly the jury's verdict against them, they could have moved for a severance on that ground or requested other curative measures. See United States v. Sandini, 888 F.2d at 307; United States v. De Larosa, 450 F.2d 1057, 1065 (3d Cir.1971), cert. denied, 405 U.S. 927, 92 S.Ct. 978, 30 L.Ed.2d 800 (1972). Their failure to do so is fatal to the claim they raise on appeal. 85 248 In reaching this conclusion, we are influenced by the fact that appellants not only failed to request a severance on this ground at trial, but, in several instances, highlighted the evidence inculpating Simone during their closing summations in an attempt to show bias on the part of government witnesses. For example, defense counsel for Salvatore Merlino, in arguing that Caramandi was biased against the appellants, discussed at length Caramandi's testimony that he cooperated with the government because Scarfo and Simone were conspiring to murder him: 249 At the end of one session of his testimony, [Caramandi] concluded on what he conceived to be a high point, I became a government informant because Nick Scarfo and Bobby Simone were going to kill me. A lawyer in this case was going to kill him. I don't know if Mr. Simone is going to make any comment on the topic, but I think that's a personal affront, not just to Mr. Simone, not just to the defense team in this case, but to the whole system, when a witness is let to go so out of hand that he accuses a lawyer in the presence of the jury of a murder plot.... [T]hat's an example of the depths to which this witness will sink to hurt these fellas. 250 Tr. 11/14/88 at 70. 251 It is difficult for us to conclude that plain error occurred when the appellants themselves specifically urged the jury to consider the allegedly prejudicial material as an adverse element in the government's case against them. 86 252 We have already determined that the evidence concerning Simone was relevant and material to the charges being tried, and therefore, the government's use of it was entirely proper. We further conclude that even if the evidence was harmful to Scarfo's co-defendants, absent an objection or a motion for a severance, the district court had no obligation to order a severance or to restrict the scope of the testimony or the government's latitude in closing argument. The arguments appellants now raise were fully available to them at trial. Possibly, they chose not to pursue the matter, so as not to undermine the unified defense front presented at trial. But whatever the reason for appellants' silence, they have not preserved the matter for appeal or persuaded us that the references to Simone were plain error.