Opinion ID: 793659
Heading Depth: 3
Heading Rank: 2

Heading: Evidence of Discussions Among LCD Lawyers

Text: 135 Quattrone next argues that he should have been permitted to introduce evidence regarding LCD's internal discussions concerning distribution of broad document preservation notices. 36 Quattrone presses that this evidence should have been admitted on four grounds. First, he contends that it bore on the reasonableness of his actions, i.e., in the absence of document preservation notices, it was proper to encourage employees to follow normal document destruction practices. Appellant Br. 92-93. Second, Quattrone argues that the excluded evidence would have allowed him to contest testimony of Brodsky and McCarthy 37 that suggested (in Quattrone's view) that Quattrone should have known that the Endorsement Email was improper. Appellant Br. 93-94 (citing J.A. 216, 255-56; 322-23). Third, he argues that the evidence bore on the credibility of Quattrone's defense because [i]f the lawyers with perfect knowledge of the subpoenas had concluded that preservation notices should be sent on only two IPOs, then why should Quattrone have known that documents on hundreds of IPOs had to be preserved? Appellant Br. 94. Finally, Quattrone claims that the excluded evidence would have allowed him to argue more effectively that he should not be held personally accountable for CSFB's failure to ensure that documents were preserved as required by the government's subpoenas. Appellant Br. 94-95. 136 The government responds that communications among LCD lawyers have no bearing on Quattrone's Endorsement Email when Quattrone knew that the grand jury and SEC investigations called for documents related to the allocation process. Appellee Br. 106. Second, the government argues that McCarthy and Brodsky were cross-examined extensively on the document-preservation policy and the failure to send document preservation notices regarding broad categories of documents. Appellee Br. 106 (citing A 213-14; A 281-82, 287 (Tr. 1063-66; 1329-32; 1352-55)). Third, the government presses that Quattrone's proffered evidence was completely irrelevant because uncommunicated, internal deliberations not involving Quattrone have no bearing on Quattrone's actions. Appellee Br. 107. Finally, the government argues that Quattrone's last contention highlights his attempt to blame others for his conduct, while the government's case was based upon Quattrone's actual knowledge of the subpoenas passed to him by others. Appellee Br. 107. 137 The district court did not abuse its discretion in excluding this evidence. Quattrone seeks in essence to absolve himself from liability arising from the Endorsement Email because CSFB attorneys did not stay CSFB's document-retention/destruction policy. None of the LCD discussions with regard to document preservation notices were ever communicated to Quattrone. The case was tried on the theory that when Quattrone became aware of the investigations he wrongfully intended to obstruct justice and to engage in witness tampering. The fact that others, notably CSFB's in-house counsel, did not issue document-preservation notices could not absolve Quattrone from criminal liability. The asserted misfeasance of CSFB's attorneys is not a defense to criminal liability for Quattrone's knowing attempt to thwart two investigations. 138 We also reject the contention that the internal deliberations of LCD lawyers were relevant to combat unfair impressions left with the jury by Brodsky and McCarthy that someone in Quattrone's position, who claimed that he thought the investigations related to another business area of the bank, should have realized that the investigations called for Tech Group documents. Appellant Br. 94. The record belies Quattrone's assertion. McCarthy testified, as did Quattrone, that CSFB bankers would not have a duty to preserve documents (absent a preservation notice) if they were unaware that litigation or a subpoena called for specific documents. See J.A. 213 (Tr. 1065). Additionally, Brodsky testified that there was no broad document-retention notice sent out until December 7, 2000, and that Quattrone had not seen the relevant subpoenas. J.A. 287 (Tr. 1352-55). Brodsky also testified that he believed that Quattrone had not done anything wrong when he sent the Endorsement Email. J.A. 291 (Tr. 1371). 139 Lastly, the evidence of alleged misfeasance by CSFB's LCD attorneys, if any, would have no bearing on the question of whether Quattrone, who was aware of the investigations, acted with innocent or with wrongful intent. The district court was confronted with the rare instance where the logical relationship between the evidence to be offered — LCD's internal, uncommunicated discussions — and the conclusion to be reached — Quattrone's innocent mens rea — would be stretched to the point where a trial court could conclude within the exercise of its discretion that the evidence did not have any tendency to make more or less probable the fact of consequence. See MUELLER & KIRKPATRICK, supra, § 83, at 410-11. Accordingly, we see no error in the exclusion of the internal deliberation of LCD lawyers.