Opinion ID: 786594
Heading Depth: 3
Heading Rank: 1

Heading: Per Se Conflict of Interest

Text: 23 As noted, a per se conflict of interest requires automatic reversal without a showing of prejudice. John Doe No. 1, 272 F.3d at 125. So far, we have found such conflicts of interest only where trial counsel is not authorized to practice law and where trial counsel is implicated in the same or closely related criminal conduct for which the defendant is on trial. Fulton, 5 F.3d at 611; see also United States v. Cancilla, 725 F.2d 867, 869-71 (2d Cir.1984) (holding that a conflict of interest existed where defense counsel had, unknown to defendant, engaged in the same types of insurance fraud schemes for which the defendant had been convicted); cf. John Doe No. 1, 272 F.3d at 125 ([W]e have limited per se conflicts to two instances: (1) where trial counsel is not authorized to practice law or (2) where counsel is implicated in the crime for which the defendant is on trial.). 24 In United States v. Cancilla, 725 F.2d at 868, an allegation was made after trial, assumed to be true on appeal, that unknown to the defendant, the defendant's trial counsel may have himself conspired with someone connected to the fraudulent insurance scheme used by the defendant. We held that a per se conflict of interest existed. Id. at 871. Given the similarity of counsel's criminal activities to [the defendant]'s schemes and the link between them, it must have occurred to counsel that a vigorous defense might uncover evidence or prompt testimony revealing his own crimes. Id. at 870. As a per se conflict, we did not need to find particular areas where his representation suffered. We noted, however, a variety of ways in which the defendant may not have received a vigorous defense citing, as Williams does, the likely impact of counsel's conflict during pretrial proceedings. Id. In Cancilla, we found it difficult, for example, to see how counsel conflicted in this way could impartially have given [the defendant] advice on whether or not to take a guilty plea, since counsel might have feared that acceptance of a plea would turn on [the defendant]'s cooperation, which might lead to discovery of the link to counsel's own activities. Id. 25 In United States v. Fulton, 5 F.3d 605, we reaffirmed the application of the per se conflict rules to cases where a defendant's counsel is implicated in crimes similar to those of the defendant. Following a jury trial, Fulton and three co-defendants were convicted of a variety of offenses related to a scheme to smuggle heroin. Id. at 606-07. During cross examination by Fulton's lead counsel of a particular co-defendant who was a government witness, the government objected and sought an ex parte sidebar with the court. Id. at 607. At sidebar, the government explained that the witness had several weeks earlier informed the government that with respect to a previous shipment of heroin he brought into the United States ... that this defense attorney received a portion of the heroin. Id. (quoting from the record). The government made clear that this was still just an unconfirmed allegation, but nevertheless, the court acknowledged its obligation to disclose the conflict to Fulton. Id. As we noted, [t]he district judge stated that if the investigation [into the attorney's conduct] was of such importance that the government objected to the disclosure of the allegation, the government might have to choose between pursuing Fulton or his attorney. Id. The government decided to press on, and so the District Court informed Fulton and his lead attorney, in significant detail, why this attorney had a conflict of interest. Id. at 607-08. After affording Fulton the opportunity to consider this conflict and whether or not he wanted to continue to be represented by this attorney, Fulton chose to waive the conflict and was subsequently convicted. Id. 26 When Fulton sought habeas relief, claiming that the conflict of interest deprived him of his Sixth Amendment right to counsel, the petition was denied. Id. at 608-09. This Court reversed, however, finding that Fulton's attorney suffered from a per se conflict of interest which was unwaivable. Id. at 612-614. We held that where it is alleged that defense counsel engaged in the same or similar crimes for which a defendant stood trial, the conflict so permeates the defense that no meaningful waiver can be obtained. Id. at 613. In such a case, we must assume that counsel's fear of, and desire to avoid, criminal charges ... will affect virtually every aspect of his or her representation of the defendant. Id. While Fulton involved a defendant whose conflicted attorney proceeded through trial and sentencing, we noted how the conflict likely affected the defendant's pretrial representation: 27 At the pre-trial stage, counsel's ability to advise the defendant as to whether he or she should seek to cooperate with the government is impaired. Cooperation almost always entails a promise to answer truthfully all questions put by the government.... In such circumstances, counsel is hardly an appropriate negotiator of a plea and cooperation agreement. Counsel's judgments about potential defense strategies may be affected by the fear that evidence concerning counsel's involvement might come out.... 28 Id. Based on the attorney's powerful self-interest in avoiding criminal liability, we determined that the conflict in this case was unwaivable: 29 Given the breadth and depth of this kind of conflict, we are unable to see how a meaningful waiver can be obtained. The conflict here involves a bias arising out of counsel's powerful self-interest in avoiding criminal charges or reputational damage and is thus of a different character than other conflicts.... Advice as well as advocacy is permeated by counsel's self-interest, and no rational defendant would knowingly and intelligently be represented by a lawyer whose conduct was guided largely by a desire for self-preservation. 30 Id. Lastly, although the government was aware of the allegations weeks before its witness testified at trial, it was not until trial that the government informed the court about the issue. Hence, we admonished the government in future cases [to] immediately inform the court of the existence of such a conflict once it becomes aware of it. Id. 31 In some ways, the conflict affecting Williams' representation treads more upon Sixth Amendment concerns than the one in Fulton. In the case at bar, the government had far more than mere allegations that Leonardo was engaged in criminal activity, as the government's investigation increasingly corroborated Overall's allegations. Thus, it is more likely that Leonardo, as opposed to Fulton's attorney, in fact, had something to hide. Nevertheless, Leonardo represented Williams in this matter for approximately two years. In addition, the court below did not apprise Williams of the conflict of interest soon after learning of it, as it did in Fulton. And while it is unclear from Fulton exactly what the nexus was between the attorney's alleged criminal conduct and the defendant's alleged criminal conduct, the Court made clear that the crimes need not be identical. See id. at 613 (noting that waiver is inappropriate where a defendant's attorney is implicated in related criminal activity) (emphasis added). 32 On the other hand, Fulton's conflicted representation extended through trial, while Williams' did not. Furthermore, this case is perhaps distinguishable from Fulton because it is clear in this case that Williams knew of his attorney's criminal activities. Some of our cases note that the per se rule has only been applied where the client is unaware of his attorney's underlying conflict. See United States v. Rondon, 204 F.3d 376, 379-80 (2d Cir.) (stating that we have applied the per se rule in only two situations: when, unknown to the defendant, counsel was, at the time of representation, (1) not duly licensed to practice law because of a failure ever to meet the substantive requirements for the practice of law or (2) implicated in the defendant's crimes) (internal quotation marks omitted; second emphasis added), cert. denied, 531 U.S. 915, 121 S.Ct. 271, 148 L.Ed.2d 197 (2000); Solina v. United States, 709 F.2d 160, 167 n. 9 (2d Cir.1983) (applying the per se rule where a defendant's attorney was unlicensed without extending its applicability to those cases in which the defendant knew of his representative's unlicensed status). However, though we have never held the per se rule applicable where a defendant is aware of his attorney's related criminal activities, we have also never held it inapplicable. Fulton may cast doubt on a requirement that defendants be unaware of their attorneys' criminal activity in order for the rule to apply, as it is unclear in Fulton whether or not the defendant knew of his attorney's criminal conduct. In any event, such knowledge or lack thereof did not play a role in the decision of the case. 33 Thus, we consider it unresolved in this Circuit whether the per se conflict rules are applicable where the defendant is aware of the facts underlying what would otherwise be a per se conflict. In this case, the issue is not properly before us. Though Williams argued below that he suffered from a per se conflict in his motion to dismiss the indictment against him, he has chosen not to pursue this argument on appeal. Because he does not press this argument and because we provide relief to Williams on other grounds, we do not reach the issue of whether or not Williams' representation was marred by a per se conflict of interest. Nevertheless, the analysis of whether his representation was so hindered informs our analysis of Williams' claims that his representation suffered from an actual conflict of interest which deprived Williams of his right to counsel. See United States v. Schwarz, 283 F.3d 76, 96 (2d Cir.2002) (finding the rationale of Fulton applicable to actual conflicts of interest).