Document: 352 U.S. 385 77 S.Ct. 431 1 L.Ed.2d 415 Allen I. NILVA, Petitioner,v.UNITED STATES of America. No. 37. Argued Nov. 8 and 13, 1956. Decided Feb. 25, 1957. Rehearing Denied April 8, See 353 931, 716. Mr. Eugene Gressman, Washington, D.C., for the petitioner. Richard J. Blanchard, respondent. Justice BURTON delivered opinion Court. In this case, a Federal District Court convicted an attorney criminal contempt on three specifications disobeying subpoenas duces tecum, imposed general sentence imprisonment year day. Since Government has abandoned two specifications, principal questions are whether there is sufficient evidence to sustain conviction third specification standing alone, and, if so, case should be remanded resentencing. For reasons hereafter stated, we answer each in affirmative. 2 1953, United States North Dakota, petitioner, Nilva, was tried, with Elmo T. Christianson Herman Paster, conspiracy violate Slot Machine Act, 64 Stat. 1134 1136, 15 U.S.C. §§ 1171—1177, U.S.C.A. 1171—1177. Attorney General Dakota. Paster owner several distributing companies located St. Paul, Minnesota. Petitioner brother-in-law officer Paster's companies. The indictment charged that these conspired, others, accumulate slot machines late 1950 transport them into where they were distributed operated under protection Christianson, who take office as State January 2, 1951. 3 On first trial, jury unable agree guilt but acquitted 1954, preparation retrial same court issued tecum 78, returnable March 22, 160, 29. Each addressed Mayflower Distributing Company, Paul machine corporation wholly owned by Paster. called production records, certain periods 1951, relating transactions other coinoperated devices.1 served Walter D. Johnson, secretary-treasurer company. 4 date set instead producing subpoenaed moved quash ground company him required furnish against himself. motion denied response Government's request, ordered records produced 'forthwith.'2 Three days later, 1, record appeared stated he company's vice-president appearing it subpoenas. He said 'in subpoena I personally, aid people force, searched all our attempt comply your have brought could therewith.' However, when asked purchases sales subpoenas, had been locate suggested some transferred Louis connection pending appeal.3 5 trial court, being convinced, later petitioner giving false evasive testimony, order reciting failure officers produce ordering impounded Marshal. Many at once accountants from Bureau Investigation promptly examined them. Among At 12, F.B.I. agent named Peterson testified about those summaries compiled. 6 15, found apparent petitioner's testimony 'was or false, both,' not leave its jurisdiction without permission. No further action taken time 'because Court's desire (in case) learn affair during so defendants therein would prejudiced any way.' 7 guilty charged.4 following day, directed appear 27 show cause why held having obstructed administration justice.5 with— '1. Giving oath upon answering, subpoenaes (it) * '2. Disobedience Company articles produced, thereby: 9 '(a) Original ledger sheet reflecting account Stanley Baeder, November through August 30, 1951; 10 '3. 160 disobedience Court, made 29, directing forthwith, America v. Criminal 8158, 11 1950; 12 '(b) 13 '(c) Journal 1950—1951; 14 '(d) Check Register *.' a.m., 27, directed. gave his counsel access postponed hearing until p.m. time, books present table took stand own defense. identified items (a), (b), (c) (d) 22 listed introduced exhibits. Item (a) 1950. It contained new October 1950—January used July admitted previously 1951 ledgers sales. also 19 3. close hearing, over objection, transcript Agent Peterson, given proceeding opportunity confront cross-examine proceeding. After finding June 3, released bail suspend grant probation. 16 Appeals affirmed judgment, 227 F.2d 74, rehearing, 228 134. We granted certiorari. 350 1005, 76 650, 100 L.Ed. 867. 17 Although now concedes convictions doubtful validity does undertake Consequently, do consider here.6 18 This reduces charge wilfully disobeyed court's corporate 160. issue, settled committed one who, calling association refuses surrender existence within control. Fleischman, 339 349, 70 739, 94 906; White, 322 694, 1248, 88 1542; Wilson States, 221 361, 31 538, 55 771; see Patterson, Cir., 219 659. rests four forth i.g., 1950, journal 1950—1951, check register 1950—1951. These which exhibits.7 shown list exhibits include part period 160.8 admits items. 20 'nominal' corporation; rendered legal administrative services many kinds; sole president; official representative represented force find. 21 corporation, turn, entrusted duty satisfying When did claim either want actual possession lack authority Bryan, 323, 333, 724, 731, 884; supra, page 376, 542. Yet failed vital impounded. opinion, reasonably supports conclusion contends attempted, good faith, disproves wilful default, presents 'adequate excuse' Rule 17(g), Rules Procedure. protestations faith subject appraisal heard judge credibility weight testimony. Lopiparo 216 87, 91. view, basis concluding intentionally, excuse,' defied court.9 We, therefore, sustains 23 claims allowed adequate prepare Under circumstances view wide discretion such matters properly vested think unfounded.10 24 that, matter law, than initiated 42(b), Procedure, require disqualification except 'the involves disrespect criticism *.'11 Concededly, here kind. And while may cases, better practice assign preside alleged contumacy occurred hear proceeding, assignment discretionary. absence showing abuse discretion, sustained. 25 There remains question sentence. original specifications. undertakes convictions, left because allowable discretion. believe, however, reconsider fact solely specification.12 26 Accordingly, vacated reconsideration ordered. 28 Conviction affirmed, vacated, 29 BLACK, whom CHIEF JUSTICE, DOUGLAS BRENNAN, join, dissenting. 30 reversed directions tried before district preferred charges then him. probably few cases annals proceedings below afflicted flagrant errors. confessed most errors, enough can salvaged conviction. Petitioner, lawyer, vice president Company. Apparently largely nominal performed only minor functions indicted another man conspired unlawfully gambling devices interstate commerce. A reach verdict defendants. Subsequently Prior procured issuance very broad large number anticipated might illegal secretary since occupied elsewhere material demanded rather short notice substantial compliance orders. 32 Government, believing effort determine extent compliance. diligent search; nevertheless agents included documents 33 42(b) Procedure court. based specifications: (1) falsely evasively materials subpoenas; (2) five items; (3) second failing twenty-two Four after issued, sat sentenced day imprisonment. judgment.1 34 confesses cannot As concedes, insufficient support relied clearly incompetent. addition, constitutional right witnesses whose regard alleging oath, conduct, most, involved perjury, crime punished use power.2 Nevertheless, us uphold subpoena. 35 fundamental premise law prosecution burden proving beyond reasonable doubt accused offense charged. repeatedly emphasized treated respect.3 Before subpoena, intentionally refused obey even though available contain competent trier find 36 Only referred recognizes, must rest intentional refusal documents. tends inference knew location accessible comment 'previously' them.4 But itself solitary ambiguous fragment justify supposed offered no admissible obscure remark constitutes point shred majority able glean record. hand, far stored basement search custodian officer. 37 Similarly almost nothing demanded. trained accounting familiar records. attempted prima facie out circumstantially crucial him, hard how implied all, let alone doubt. 38 compounded error convicting striking insufficiency relying inadmissible hearsay statements cross-examintion. evidence, FBI agent's prior party. offices. Appently papers May-flower produce. together but, confesses, plainly inadmissible.5 Nevertheless indicates guilty. went say '* ought pertinent files preceding arose (petitioner's) actions refusing case).' 39 judge's position manifestly wrong. separate arose.6 Where bases decision although appellate conclude expunging bas remained defendant entitled evaluation proper evidence. retrial. danger prejudice particularly grave grossly inadequate.7 40 erroneous admission portions earlier accentuated impropriety below. believe wrong orders allegedly initiative knowledge sit judgment accused. essence, allows already believes person command act both prosecutor 'decide' formally punished. contrary elemental principles justice place power hands man.8 least try charges. Here, besides issuing citing contempt, intimately developed relevant presented. superhuman preconceived views guilt. 41 discloses incidents specifically indicate accorded fair trial. outset, informed proceed. completely inconsistent presumption innocence exists favor contempt. Rather, carries establishing contemnor charged.9 total introduce accusations personal case. points times indicated believed testimony—the suggests similar specifications.10 Surely every impartial prejudged decides Application simple principle just necessary others. 42 'disrespect judge' shall disqualified. contains provision respect circumstances. relies silence reject contention stepped aside. permits negative prefers violations related bearing event, rule promulgated explicit interpret manner deny arbiter. Even correct saying 'abuse discretion' will compel disqualify himself, shows step 43 If errors improprieties enough, contributed additional so-called 'supplemental record' affirm appeal judge. improper rely material. shows, bad faith. rehearing added still error. conceding doubts admissibility uncross-examined statements, reversible prosecuted summary procedures 42(a). out, conceivably rule. 44 more tainting example, rushed unduly defense charge. Friday told next Tuesday extremely vague faced formidable task preparing days, weekend, secure lawyer familiarize examine great volume talk witnesses. requested continuance, hours respite. 45 sanction whole riddled basic serious magnitude. Sending back sentence, turns smaller one, seems me fall according peitioner kind expect courts. While somehow idea procedural safeguards trials due process certainly requires Here deprived liberty perhaps professional career received essential prerequisite justice. Subpoena commanded to— 'Come bring you invoices, bills, checks, slips, papers, letters, sheets, bookkeeping journals copies thereof between, concerning made, entered, sent dates inclusive, purchases, sales, trades, exchanges transfers, domestic foreign machines, flat-top console, coin device, persons, firm concern.' pursuant 17(c), U.S.C.A.: 'Rule 17. Subpoena. Production Documentary Evidence Objects. books, objects designated therein. modify unreasonable oppressive. direct their permit inspected parties attorneys.' Nilva 212 115, decided 19, 1954. Samuel George herein. 226 646. 42. Contempt. Disposition Upon Notice Hearing. provided subdivision notice. state allowing defense, facts constituting describe such. orally open presence or, application appointed purpose, arrest. Congress provides. rules. judge, disqualified presiding defendant's consent. enter fixing punishment.' Fed.Rules Crim.Proc. Authority prosecute § 401(3), 401(3). Peterson's here. concession materially affect speak themselves. stipulated appeal. Their contents summarized supplemental record, Appeals. strike omitted references pages containing objected us. 'ledger sheets' between note supra. exhibit includes Mayflower's the— Records 'Sales—Bells New' (Slot Machine) (were) follows: 1950................ $650.00 December 1950.............. 3,631.00 1951............... 9,000.00 $13,501.00 Sales—Bells (slot machines) $1,249.00 1950............... 3,160.00 September 1950............ 2,125.00 (1,140.00) 625.00 14,104.00 1951............. 50,005.00 $72,499.50 made: 'Purchases—Bells . "Purchases—Bells used" 1950................. $320.00 " 1950....................... 400.00 980.00 990.00 315.00 1950...................... (80.00) 100.00 1950............. 10,620.00 1951................ 965.00) 1951.................... 3,815.00). $11,960.00 7,180.00) $25,784.00 Exhibit described containing, among Mayflower—St. 31, 1952, February 1952. 1946, 1953. 1955. Its machines. Whether proof lesser species intent satisfy requirements need See, generally, Moskovitz, Contempt Injunctions, Civil Criminal, Col.L.Rev. 780, 793—796 (1943); Note, Intent Element Decrees Orders, 48 Mich.L.Rev. 860, 864—869 (1950). 1; was, warned court; 23, 27; give extra 5, Cf. Minoru Yasui 320 117, 63 1392, 1393, 87 1793; Husty 282 703, 51 240, 242, 75 629. 74. re Michael, 326 U.S 224, 66 90 30. E.g., Michaelson ex rel. Chicago, P., M. & O.R. Co., 266 42, 66, 18, 20, 69 162 ('In contempts, obtains. Proof *.'); Gompers Buck's Stove Range 418, 444, 492, 499, 797 ('Without deciding what civil presumed innocent, proved *.'). Porter Kroger Grocery Baking 163 168, 172. ('(W)e authorities ascertaining elements proven plain afforded ordinary government establish doubt.') gives colloquy: 'Q. (By counsel) Have Respondent's 3? (Exhibit evidence.) 'A. petitioner) Yes, sir, well my examination—no, say, machines—' Petitioner's ambiguous. examination conditions. Oliver, 333 257, 273, 68 507, 92 682. 444 446, 451, 499—500, 797; Hayes Fischer, 102 121, 95; City New Orleans Steamship Wall. 387, 354; Ex parte Kearney, Wheat. 38, 391. footnote states clear means statement. mere tend known existed somewhere previously. Murchison, 349 133, 623, 99 942, violated acting one-man grand jury. 136 137, 625, declared: 'A tribunal requirement process. Fairness course bias cases. system always endeavored prevent probability unfairness. To end permitted interest outcome. Fair too important free society prosecuting judges prefer.' compelled possesses supervisory lower federal indication attitude toward prepared reported stating 'been (trial coconspirators) (the time), don't fortunate.' harsh

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