Opinion ID: 709202
Heading Depth: 3
Heading Rank: 2

Heading: Disqualification/Waiver Obligation

Text: 48 With a possible conflict established, the district court then had the more demanding task of determining whether the conflict could be resolved by a waiver, or whether Langrock had to be disqualified. If a conflict is so egregious that no rational defendant would knowingly and voluntarily desire the attorney's representation, then the court must disqualify the attorney. Id. at 153. If, however, the court determines that the conflict is not severe or that there is only the possibility of a conflict, then the court must follow the procedures set out in United States v. Curcio, 680 F.2d 881, 888-90 (2d Cir.1982), to secure a knowing, voluntary, and intelligent waiver from the defendant of his right to a non-conflicted attorney. Levy, 25 F.3d at 153. 49 Here, there were two possible areas of conflict: first, that Langrock's prior representation of Hill would prevent Langrock from inquiring into privileged matters on cross-examination of Hill; and second, that any unpaid legal fees could place Hill and Langrock in a debtor/creditor relationship, thus undermining Langrock's whole-hearted allegiance to Lussier. 50 When a defense attorney cross-examines a former client who is a witness against the defendant, a conflict of interest may exist; absent a waiver from the former client, the attorney cannot inquire into privileged matters. See United States v. Iorizzo, 786 F.2d 52, 57-58 (2d Cir.1986); Ciak v. United States, 59 F.3d 296, 304-05 (2d Cir.1995); Malpiedi, 62 F.3d at 470. Here, however, after discussing the potential conflicts with Gibson, Hill unambiguously waived his attorney/client privilege with respect to his prior communications with Langrock. Thus, the court correctly concluded that the primary area of conflict--Langrock's potential inability to cross-examine Hill fully at trial--was significantly diminished by this waiver. See, e.g., Curcio, 680 F.2d at 885 (suggesting that waiver of privilege by one defendant so that his attorney could use confidential information to defend his co-defendant diminished the conflict). 51 Of course, a conflict may also arise when an attorney cross-examines a former client who owes him a fee. Here, Langrock stated that he had arranged with Hill to be paid for work he had performed, with downward adjustments for any work duplicated by Gibson. There is no evidence that these representations were untrue, that the fees remained unpaid, or that the fee arrangements between Hill and Langrock interfered with Langrock's effectiveness at trial. Thus, we find that the conflicts were at worst potential, i.e., creating merely the possibility of some unforeseen problem arising at trial because Langrock had previously represented Hill. Accordingly, the district court did not abuse its discretion in determining that a valid waiver could be effected. 52 Because there existed only a potential for a non-severe conflict, a valid waiver could be made. See Levy, 25 F.3d at 153, 155. To secure a valid waiver, the court must: (1) advise the defendant about potential conflicts; (2) determine whether the defendant understands the risks of those conflicts; and (3) give the defendant time to digest and contemplate the risks, with the aid of independent counsel if desired. Curcio, 680 F.2d at 888-90; see Iorizzo, 786 F.2d at 59; United States v. Jenkins, 943 F.2d 167, 176 (2d Cir.), cert. denied, 502 U.S. 1014, 112 S.Ct. 659, 116 L.Ed.2d 751 (1991). When considering if a defendant's waiver was adequate, [however,] we are more concerned with whether the defendant appreciated his predicament and made a properly informed choice than we are with whether the trial judge recited any particular litany of questions. Jenkins, 943 F.2d at 176; see Curcio, 680 F.2d at 888 (If the defendant reveals that he is aware of and understands the various risks and pitfalls, and that he has the rational capacity to make a decision on the basis of this information, and if he states clearly and unequivocally that he nevertheless chooses to hazard those dangers, we would regard his waiver as knowing and intelligent....) (citation omitted). 53 We find that the court sufficiently complied with the Curcio procedures. First, Lussier was apprised of the potential conflicts. The government's motion for a pretrial hearing detailed the possible conflicts posed by Langrock's prior representation of Hill, and Lussier's response, filed by Langrock, further addressed those concerns. Lussier was present at the hearing when the parties discussed the conflicts in open court. Langrock stated, and Lussier confirmed, that they had fully discussed the extent of the potential conflicts. Although Lussier's responses to the court's inquiries were not couched in the preferred narrative form, he unequivocally stated that he was more than ready to take the chance that Langrock might be burdened by a potential conflict. See Curcio, 680 F.2d at 889 (noting that although questions designed to elicit a narrative response are preferable to questions designed to elicit yes or no answers,  '[m]ere assent in response to a series of questions from the bench may in some circumstances constitute an adequate waiver' ) (emphasis added) (quoting United States v. Garcia, 517 F.2d 272, 278 (5th Cir.1975)). 54 We dismiss Lussier's argument that his attainment of only an eighth grade education demonstrates his lack of sophistication and ability to understand the extent of the conflict. We find it untenable that Lussier could achieve the position of President and Chairman of the Board of a savings and loan institution, as well as orchestrate and participate in numerous schemes to defraud the bank and the government, and yet not have the acumen to understand the risks involved with his attorney's potential conflict, about which there was ample disclosure. See Faretta v. California, 422 U.S. 806, 835, 95 S.Ct. 2525, 2541, 45 L.Ed.2d 562 (1975) (holding that defendant with high school education was literate, competent, and understanding, and ... voluntarily exercising his informed free will, and should have been allowed to forgo counsel altogether); Curcio, 680 F.2d at 888-89 (suggesting that the question whether a waiver is knowing and voluntary should be determined by whether the defendant is informed and has the capacity for making a rational decision, not based on the defendant's formal education level). Not only did Lussier understand what he was doing, but his actions were apparently driven by his desire to provide himself with competent trial counsel of his own choosing. 55 We are somewhat troubled by the court's failure to inform Lussier that he was entitled to independent counsel to advise on waiver. Nevertheless, Lussier, an experienced businessman who plainly understood the nature of the conflict, had ample time to contemplate the risks. Over two weeks passed between the filing of the motion papers for a hearing on the conflict and the hearing itself. Lussier was present at the hearing where the government reiterated its concerns, Langrock and Gibson gave full responses, and Hill waived the attorney/client privilege. Thus, although the court perhaps could have done more, under the circumstances of this case, we find that the procedures followed by the trial court were sufficient to obtain a knowing, intelligent, and voluntary waiver under Curcio.