Legal Document

397 U.S. 1 90 Supreme Court Reporter 763 25 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 UNITED STATES, Petitioner,v.Lelord KORDEL and Alfred Feldten. Number 87. Argued Nov. 20, 1969. Decided Feb. 24, 1970. Lawrence G. Wallace, Washington, D.C., for petitioner. Solomon or Haw. Hawai‘i KFH45 A2 Friend, New York City, respondents. Mr. Justice STEWART delivered the opinion of Court. The respondents are president vice president, respectively, Detroit Vital Foods, Incorporated They were convicted in District Eastern Michigan, along with corporation, violations Federal Food, Drug, Cosmetic Act.1 Appeals Sixth Circuit reversed respondent's convictions on ground that Government's use interrogatories to obtain evidence from a nearly contemporaneous civil condemnation proceeding operated violate their Fifth Amendment privilege against compulsory self-incrimination.2 We granted certiorari consider questions raised by invocation simultaneous criminal proceedings enforcement federal law.3 2 In March 1960 Division Regulatory Management Food Drug Administration (hereafter FDA) instructed agency's office investigate respondents' possible Act. Within month recommended seizure two products, 'Korleen' 'frutex'; within another similarly FDA's General Counsel. On June 6, 1960, Counsel requested Attorney Michigan commence an rem action these products filed libel three days later. appearing as claimant answered September 12, 1960. An FDA official then prepared extensive be served corporation this action. January 1961, pursuant Rule 33 Rules Civil Procedure.4 3 After had drafted interrogatories, he § 305 Act serve upon notice agency contemplated them respect transactions subject action.5 9, after filing action, received instruction statutory notice. complied 10 later, 8, held hearing 4 April 10, having but not yet them, moved stay further or, alternative, extend time answer until disposition signaled motion was accompanied affidavit counsel. moving papers urged act under 'in interest substantial justice' 'balancing hardship equities respective parties * *.' Permitting Government proof resort discovery procedures, movant urged, would 'improper' 'work grave injustice claimant'; it also enable have pretrial defenses future charges. expressly disavowed any 'issue self-incrimination favor corporation.' And nowhere did counsel raise claim 5 21, denied finding failed demonstrate prejudice harm result being required respond interrogatories. court reasoned conclusively indicate institute proceeding, six 12 months could elapse service initiation prosecution, data prosecution testimony subpoenaing books records corporation. Accordingly, concluded, interests justice require information wanted simply because sought way civil-discovery procedures. 5, compliance court's directive, through respondent Feldten, 6 July 28, five weeks Court's order more than before receipt answers Director Division. forwarded recommendation August 31, still prior Feldten's answers. While matter pending Counsel's office, officer who originally proposed additional statute alleged indictment. 13, 1962, Department Health, Education, Welfare about latter department seek case, Court, proceeded settlement consent decree November eight later obtained indictment underlying present judgments conviction. 7 At outset, we assume Feldten supplied his if necessary case thought, at least provided leads useful Government.6 However, record amply supports express Judge presided trial, evidentiary suppress evidence, bad faith Rather, trial demonstrated regularly prepares such claimants' libels, files over three-fourths cases, hasten securing admissions laying foundation summary judgments. 8 thought involuntarily given. Judge's denying corporation's defer court, left choices: they refused answer, thereby forfeiting property libel; given false subjecting themselves risk perjury; done just what did—disclose information, supplying helpful conviction.7 9 analysis think erred. For need Without question invoked self-incrimination.8 Surely barred asserting no its own,9 which rather character.10 To sure, obliged 'appoint agent could, without fear self-incrimination, furnish available corporation.'11 satisfy obligation pointing invoke constitutional privilege. 'It indeed incongruous permit select individual verify answers, fears may thus secure benefits does have.'12 Such effectively assert own behalf personal agents.13 11 press us situation where one can addressed himself 'real appreciable' self-incrimination.14 purposes appropriate remedy protective 30(b), postponing termination action.15 But decide troublesome question. makes clear even though burden showing improper,16 never asserted, let alone demonstrated, there authorized person possibility self-incrimination.17 contrary, shows nobody associated asserted all. do suggest so while unrepresented appreciation consequences. His failure leaves him position complain now compelled give himself.18 Kordel's is tenuous Feldten's. Not only Kordel privilege; nevertheless conviction 'clear Inc., merely corporate device sold products. naturally cut facade get dominant personality corporation.'19 disagree. brought goods; Kordel, appeared claimant. subsequently prosecuted company. If anyone has far concerned, Kordel: has, effect, attempted fashion combining gave assertion made company had. 13 must go free event used proving both respondents, violation rule Bruton versus States.20 This too error. introduced cannot maintain reception codefendant's inculpatory statements violated right confrontation.21 II 14 urge conduct nonetheless reflected unfairness want consideration independently reversal convictions. us, agree out either due process departure proper standards administration requiring exercise our supervisory power. public protecting consumers throughout Nation misbranded drugs requires prompt charged responsibility food drug laws. rational decision whether proceed criminally those responsible misbranding await fuller offending It stultify law governmental invariably choose forgo once seeks relief, ultimate outcome trial.22 15 deal here solely prosecution23 advise defendant contemplates prosecution;24 nor counsel25 reasonably adverse publicity other unfair injury;26 special circumstances might unconstitutionality impropriety prosecution.27 16 Overturning tantamount adoption directed ordinary course always immunize officers subsequent prosecution. correct stating been coerced penalty giving suffering forfeiture property.'28 Constitution, justice. 17 judgment reversed, remanded consistent opinion. 18 ordered. 19 Reversed remanded. 20 BLACK take part case. 52 Statutes-at-Large 1040, 21 Code KF62 301 et seq. Cir., 407 Reporter, 2nd 570. initially all defendants, petition rehearing affirmed 395 932, 89 1998, 23 447. provides pertinent part: 'Any party written private partnership association, agent, shall party.' Section Act, 335, provides: 'Before (the Act) reported Secretary (of Welfare) attorney institution whom opportunity views, orally writing, regard proceeding.' Service necessarily mean follow; indicated fewer 10% matters involving reach stage information. Compare F.2d, 575, id., 572. Id., 573. Wilson States, 221 361, 377, 385, 31 538, 543, 546, 55 L.Ed. 771; Boyd 116 616, 633—635, 524, 533—534, 29 746; cf. 42 Jars . 'Bee Royale Capsules,' 162 F.Supp. 944, 946, aff'd, 264 666. Curcio 354 118, 124, 77 1145, 1149, 1225; supra, 546; 3963 Bottles 'Enerjol Double Strength,' 265 332, 335—336, cert. denied, 360 931, 79 1448, 1544; 30 Individually Cartoned 'Ahead Hair Restorer .,' 43 F.R.D. 181, 187; Shapiro 335 1, 27, 68 1375, 1389, 92 1787. That long established, disputed here. See George Campbell Painting Corporation Reid, 392 286, 288—289, 88 1978, 1979—1980, 1094; Oklahoma Press Pub. Walling, 327 186, 196, 208, 209 210, 66 494, 498, 505, 505—506, 614; Bausch & Lomb Optical Co., 321 707, 726—727, 64 805, 815, 1024; Essgee China 262 151, 155—156, 514, 516, 67 917; Wheeler 226 478, 489—490, 158, 162, 57 309; Baltimore Ohio R. ICC, 612, 622—623, 621, 626—627, 878; Hale Henkel, 201 43, 74—75, 26 370, 378—379, 50 652; supra; White, 322 694, 698, 705, 1248, 1251, 1254, 1542. Gardner Broderick, 273, 276, 1913, 1915, 1082; McCarthy Arndstein, 266 34, 40, 45 16, 17, 69 158; Counselman Hitchcock, 142 547, 562, 563—564, 195, 197, 198, 35 1110; Saline Bank, Pet. 100, 104, 69; Wigmore, Evidence 2257, Pages 339—340 (McNaughton rev. 1961); C. McCormick, 123, Page 259 (1954). 336; 48 'Tranquilease,' 192, 196; 2A W. Barron Atlantic Holtzoff, Practice Procedure 651, 101 (Wright ed. 1961). 336. Cf. 289, 1980; 69—70, 376—377. Minor 396 87, 98, 284, 24 283; Leary 1532, 1537, 57; Marchetti 390 39, 48, 697, 702, 889; Mason 244 362, 365, 37 622, 61 1198. Paul Harrigan Sons Enterprise Animal Oil 333. Luey Sterling 240 632, 634; Glick McKesson Robbins, 477, 479, 480; Bowles Safeway Stores, 469, 470; Blanc Smith, 182, 183. urging establishing availability rely Columbia Communist Party 118 U.S.App.D.C. 61, 331 807, 377 968, 84 1646, 737. departed customary allocation mere volunteering sought, effort find someone itself potentially incriminatory. 69, 814—815. American Radiator Standard Sanitary Corp., 388 201, 204, 922, 857, 983; Simon, 373 649, 653, sub nom. Simon Wharton, 386 1030, 87 1485, 591, vacated moot, 389 425, 577, 653; see National Discount Holzbaugh, 236, 237. Rogers 340 367, 372 375, 71 438, 441—443, 95 344; Monia, 317 424, 427, 63 409, 410, 376; Vajtauer, ex rel. Commissioner Immigration, 273 103, 113, 47 302, 306, 560; Brown Walker, 161 597, 644, 647, 40 819. 575. 391 1620, 476. 126, 1622. 22 Mfg. 51—52, 15—16, 107 (Sherman Act). Procter Gamble 356 677, 683—684, 78 983, 986—987, 1077; Pennsalt Chemicals 260 171; Thayer, 214 929; Beard Central 607. Smith Katzenbach, 122 114—116, 351 810, 811—813; Lipshitz, 132 519, 523; Guerrina, 112 128. Nelson 93 14, 19, n. 208 510, 512, 346 827, 74 98 352. 204—205, 983. 27 courts deferred completion parallel prosecutions when seemed sometimes request Eastland, 307 371 955, 83 502, 502; Bridges, 86 933; 187 8; One 1964 Cadillac Coupe DeVille, 41 352, 353—354; $2,437 Currency, 36 257; Steffes, 24; Maine Lobstermen's Assn., 199; Cigarette Merchandisers 497; Linen Supply Institute, 452; Sometimes defense, Kaeppler Jas. Matthews 200 229; Perry McGuire, 272; Nichols Philadelphia Tribune 89, 92. 28 575—576.

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