Opinion ID: 195935
Heading Depth: 2
Heading Rank: 2

Heading: Improperly Included Evidence

Text: 18 Newman argues that the district court erred in allowing testimony by the government's witnesses to the effect that Newman's actions violated the law. Specifically, Newman points to the following three pieces of evidence: 19 1. a letter from the DBR director to Newman dated May 16, 1990, stating: It has come to our attention ... that certain funds have been diverted from these Companies in violation of the laws of the State of Rhode Island.... The transactions referred to are grave violations of the insurance laws of the State of Rhode Island and subject both the Companies and the individuals involved to criminal penalties. 20 2. DBR legal counsel's testimony that she told the broker of the sale of the company that I believed that he should return [the broker's fee], because it had been illegally appropriated. 21 3. RPLIC counsel's testimony that he told RPLIC's comptroller that Newman should return the monies which had been wrongfully taken immediately. 22 Newman argues that these statements amounted to legal opinions about Newman's guilt, and were hence inadmissible and extremely prejudicial in that they effectively told the jury what result to reach. See, e.g., Hygh v. Jacobs, 961 F.2d 359, 363 (2d Cir.1992); Torres v. County of Oakland, 758 F.2d 147, 150 (6th Cir.1985); see also Marx & Co. v. Diners' Club, Inc., 550 F.2d 505, 512 (2d Cir.) (It is not for witnesses to instruct the jury as to applicable principles of law, but for the judge.), cert. denied, 434 U.S. 861, 98 S.Ct. 188, 54 L.Ed.2d 134 (1977). 23 We agree that opinions as to the ultimate legal issue of guilt or innocence are generally not admissible. See, e.g., United States v. Espino, 32 F.3d 253, 257 (7th Cir.1994); Hogan v. American Telephone & Telegraph Co., 812 F.2d 409, 411-12 (8th Cir.1987); Fed.R.Evid. 704 advisory committee's notes. 8 However, Newman failed to object to the first two statements, and, absent any objections, the district court had little reason to exclude the statements on its own accord. The above statements were not offered as opinion testimony per se; rather, the DBR director's opinion was part of a letter demanding that Newman return the diverted assets, and the second statement was offered in the ordinary course of describing certain events and discussions surrounding the discovery of Newman's diversion of funds. Without objection to the specific items, the district court could well have concluded that the evidence, overall, was helpful to the jury in understanding the course of events. Admission of the first two statements clearly did not rise to the level of plain error. See United States v. Williams, 809 F.2d 75, 82 (1st Cir.1986), cert. denied, 482 U.S. 906, 107 S.Ct. 2484, 96 L.Ed.2d 377 (1987). 24 Newman did object to the third statement, and while its admission was erroneous, the error was harmless. The general concern with statements of ultimate legal opinions is that juries may be confused or may accept the offered opinions in lieu of the legal rulings of the judge. See 3 Jack Weinstein & Margaret Berger, Weinstein's Evidence Sec. 704 (1994). The third statement did not present this risk. Like the second statement, it was made in the course of describing events and discussions surrounding Newman's diversion of the funds. The statement was made in passing and was not held out as authoritative or expert opinion on Newman's guilt for the charges on trial. See, e.g., Hygh, 961 F.2d at 363 (finding that erroneous admission of legal opinion was harmless error).