Opinion ID: 521078
Heading Depth: 1
Heading Rank: 3

Heading: analysis of dual representation issue

Text: 9 Both defendants make the same complaint and argument about the joint representation that they continually wanted in advance of trial, but now, after conviction, claim to be error. 10 All recognize that the Sixth Amendment to the Constitution requires that a defendant be afforded the effective assistance of counsel free of conflicts of interest. Glasser v. United States, 315 U.S. 60, 76, 62 S.Ct. 457, 467, 86 L.Ed. 680 (1942). The conviction was reversed in Glasser because Glasser's attorney was appointed, over Glasser's objection, to also represent a codefendant. It was clear that the dual representation in the particular circumstances of that case impacted adversely upon the joint attorney's representation of Glasser. In the present case, however, there was no objection as both defendants actively sought representation by Mr. Kagan, and there was no adverse impact. 11 In Holloway v. Arkansas, 435 U.S. 475, 98 S.Ct. 1173, 55 L.Ed.2d 426 (1978), the trial court appointed the same counsel to represent three codefendants over their objection that there was a conflict of interest that would deprive them of effective assistance of counsel. It was held that the joint attorney's request on behalf of the defendants for appointment of separate counsel based on his representations regarding conflict of interest should have been granted. That counsel, the court noted, was in the best position professionally and ethically to make the conflicts determination. In the present case the joint attorney, Mr. Kagan, was in the same position as counsel in Holloway, except he had been privately retained by Alamo and Hernandez, not court-appointed. Mr. Kagan made definite representations to the court that no conflicts existed or could be foreseen. 12 Cuyler v. Sullivan, 446 U.S. 335, 100 S.Ct. 1708, 64 L.Ed.2d 333 (1980), is cited by defendants, but in that case the trials of the codefendants were separate, and Sullivan did not object. The court found that a defendant who raised no objection at trial must demonstrate that an actual conflict of interest adversely affected his lawyer's performance. 446 U.S. at 348, 100 S.Ct. at 1718. In the present case there was not only no objection to joint representation, but a continued active and informed support for it, in spite of the voiced concerns of Judge Rovner. 13 This court has found a conflict of interest in certain circumstances. United States ex rel. Williams v. Franzen, 687 F.2d 944 (7th Cir.1982). In the present case, however, counsel for defendant Alamo argues that the joint representation conflict caused Alamo not to testify in her own defense. Whether or not a defendant is to testify is a fundamental decision to be made in any criminal case. As defendants' joint counsel knew in advance what the government's case was expected to be, and what the defense would be, so far as any defense existed, the decision that neither defendant would testify cannot be necessarily blamed merely on the joint representation. The foregoing review of the involvement of each defendant in the cocaine transaction, illuminated by the testimony of government witnesses including Sergeant Travis and the testimony of coconspirator Gomez about the involvement of both Alamo and Hernandez, suggests that there was little else Mr. Kagan could advise his clients. Furthermore, in this case, before the defense rested, Judge Rovner, outside the presence of the jury, carefully explained to each defendant the right to testify or not to testify, and further explained that if they chose not to testify that it could not be commented on to the jury. Both defendants informed Judge Rovner that they did not choose to testify. What personally helpful testimony either defendant might have offered is difficult to perceive considering the circumstances of their participation in the transaction. 14 As can be seen from Mr. Kagan's opening argument to the jury it was the defense strategy on behalf of both defendants to place the blame on Gomez, the cooperating codefendant, and on Garcia, not called by the government. This was to be accomplished by cross-examination of the government witnesses, and by pointing out gaps, weaknesses and inconsistencies in the government's case. We will not second-guess with hindsight experienced defense counsel's strategy when faced with a strong government case. 15 It is further claimed that neither defendant knowingly and voluntarily waived the right to separate counsel. Judge Rovner found both defendants to be competent, understanding and capable of making the counsel decision, which they did. We have already seen Judge Rovner's painstaking care evidenced in the court discussions along with written waivers. No trial judge could possibly have done more to insure that the waivers were knowingly and voluntarily made. 16 Counsel for both defendants strongly urge that Wheat v. United States, 486 U.S. 153, 108 S.Ct. 1692, 100 L.Ed.2d 140 (1988), decided after this present case had been heard by the district court, dictates reversal. The Supreme Court held that a district court possesses the discretionary power to require multiple defendants to retain separate counsel. It is argued in the present case that Judge Rovner wrongly believed, however, that she had to accede to the wishes of the defendants without the exercise of any discretion on her part. This argument is based on Judge Rovner's comments at each of the hearings that it was the defendants who had the responsibility to make the final decisions, and that if they chose to be represented by the same counsel it was a decision that the court could not agree with, but must accept. 17 The language used by Judge Rovner lends itself to that interpretation, and the defendants argue that had she realized it was her decision and not the defendants, she would have required separate counsel. The government argues, however, that the language is also subject to another interpretation. It was simply an expression by Judge Rovner, the government urges, which reflected nothing more than that the district court may have believed defendants' decision to assert their constitutional right to counsel of their choice to be an unwise one, but that she would go along with it in view of their persistent demands. We cannot say Judge Rovner did not exercise discretion in so doing. In view of the great care Judge Rovner used in permitting the joint representation we will not reverse these convictions because of a few ambiguous sentences she used. 18 Wheat considered joint representation in a drug distribution conspiracy, and affirmed the decision of the trial judge not to permit an attorney, already the attorney for two other codefendants, to also represent Wheat. The joint representation request was made by the defendants only two days before trial. The possibility of conflict was strong since one of the codefendants represented by the attorney had already pleaded guilty and was expected to testify against Wheat. The other codefendant represented by the same attorney had already been acquitted on one charge and was endeavoring to negotiate a plea agreement on remaining charges. The proposed plea agreement had not yet been accepted by the trial judge. The possibility remained that Wheat and the second codefendant, in the event of trial, would be in conflict. Wheat was considered a possible witness against this codefendant. Those were definite and specific conflict potentials. Wheat held that the district court's refusal to permit Wheat to use the counsel of the two other codefendants was within its discretion, and did not violate Wheat's Sixth Amendment rights. Wheat sums up the rule: 19 Other district courts might have reached differing or opposite conclusions with equal justification, but that does not mean that one conclusion was right and the other wrong. The District Court must recognize a presumption in favor of petitioner's counsel of choice, but that presumption may be overcome not only by a demonstration of actual conflict but by a showing of a serious potential for conflict. The evaluation of the facts and circumstances of each case under this standard must be left primarily to the informed judgment of the trial court. 20 108 S.Ct. at 1700. 21 Had Judge Rovner, in effect, not recognized the presumption in favor of the defendants' counsel of choice and in her discretion not permitted joint counsel we would expect to be now reviewing the reverse claim. These defendants undoubtedly would be now arguing that in not allowing them counsel of their choice that their Sixth Amendment rights had been violated. The potential for being whipsawed in these circumstances is apparent. See Wheat, 108 S.Ct. at 1698. In this present case the request was not made on the eve of trial as in Wheat but was a continuing demand from arraignment to trial. No actual recognizable conflicts, real or potential, could be identified, only the usual general conflict possibilities which ordinarily exist. Those general possibilities are not by themselves necessarily enough to deny defendants their desired joint representation. Even the government could not point to a specific conflict during the pre-trial discussions. In these circumstances the defendants' informed waivers, orally and in writing, were effective. Had Judge Rovner, in the exercise of her discretion, decided to force one or the other defendants to go to trial with an undesirable lawyer we would be looking at this same record, except for her final decision. Based on this record, as we now view it, these defendants, in that event, would have had a strong case suggesting an abuse of discretion by Judge Rovner. 22 In Holloway, 435 U.S. at 482-83, 98 S.Ct. at 1177-78, it was recognized that allowing a single defendant's attorney to represent codefendants is not a per se violation of constitutional guarantees of effective assistance of counsel. In some cases it may be appropriate, and in some cases, certain advantages might accrue from joint representation. Justice Frankfurter's dissenting view in Glasser, 315 U.S. at 92, 62 S.Ct. at 475, is cited with approval. He wrote that joint representation is a means of avoiding reciprocal recriminations and may provide the strength of a common defense against common attack. 23 Our view that there was no error in the particular circumstances of this case allowing a common and coordinated defense against a common attack does not mean that this court is granting carte blanche approval of joint representation of codefendants in all cases, far from it. It has, however, been approved in certain circumstances. United States ex rel. Tonaldi v. Elrod, 716 F.2d 431, 436 (7th Cir.1983). We will give great weight to the decision of the district judge in keeping with the dictates of Wheat.