Court Opinion

ID: 9445663
Source: CourtListenerOpinion
Date Created: 2023-08-03 21:35:55.288871+00
Date Added: 2024-06-11T17:30:22.180566
License: Public Domain

HINCKS, Circuit Judge
(concurring).
Merely because defense counsel asked Gianatasio to relate his entire conversation with the defendant, the defense was not necessarily precluded, in my opinion, from withdrawing its request when the conversation had been only partially related. After Gianatasio in the course of his testimony said: “I asked him if he was ever arrested before,” defense counsel interposed: “I don’t want the witness to just keep answering. I would rather ask the questions” and then twice began a question about some other conversation. This made it abundantly plain that the defense was seeking to withdraw its blanket request for the whole conversation. And to have allowed him to proceed with his new line of inquiry would not have left the jury under the erroneous and confusing impression that the Gianatasio conversation with the defendant had been completed. For Gianatasio on a proper inquiry by the judge said bluntly that he had not “finished telling about the conversation.”
In this situation, I think, the judge erred in insisting on a continuation of the narration of the conversation. I see nothing to suggest that in the situation presented the discontinuance of the par-ration at the instance of the defense would subject the prosecution to the hazard of an unfavorable inference or would in any way operate to warp the truth or confuse the jury. That being so, I doubt the applicability of the doctrine of “Verbal Completeness” to which the majority opinion refers. But even if at all applicable, the rule of completeness is subject to a very reasonable qualification : “where the remainder [of the conversation] is incompetent not merely as to form as in the case of secondary evidence or hearsay, but because of its prejudicial character then the trial judge should exclude if he finds that the danger of prejudice outweighs the explanatory value.” McCormick on Evidence, page 132. In other words, when — as here— the continued narration of a conversation will bring in inadmissible matter possibly prejudicial and adds nothing to a solution of the issues, neither the judge nor the opposing counsel may properly cause it to come in. Gencarella v. Fyfe, 1 Cir., 171 F.2d 419; People v. Baker, 290 111. 349, 125 N.E. 263; People v. Schlessel, 196 N.Y. 476, 90 N.E. 44; Hathaway v. Tinkham, 148 Mass. 85, 19 N.E. 18; 20 Am.Jur., Evidence, Sec. 276; McCormick on Evidence, page 132, footnote 6; 31 C.J.S. Evidence § 190, p. 917 and footnote 82. 1
Nevertheless, I would affirm the conviction on the ground that the error was not of sufficient substance to require a mistrial 2 or reversal. The most pertinent Supreme Court precedent is Lutwak v. United States, 344 U.S. 604, 73 S.Ct. 481, 97 L.Ed. 593. Here, as in Lutwak, *424the evidence of guilt is strong, as the majority opinion shows. Indeed the very strength of that evidence gives “fair assurance * * * that the judgment was not substantially swayed by the error.” Thus reversal is not required under Kotteakos v. United States, 328 U.S. 750, 66 S.Ct. 1239, 1248, 90 L.Ed. 1557, and Krulewitch v. United States, 336 U.S. 440, 69 S.Ct. 716, 93 L.Ed. 790. In view of the massive weight of evidence pointing to guilt, it would be quixotic to attribute the verdict to the mere narration of an admission of an arrest for policy fifteen years earlier, especially in view of the judge’s instruction, promptly made and later repeated in his charge, to disregard the admission of the prior arrest. United States v. Raspovich, 2 Cir., 241 F.2d 779; United States v. Chieppa, 2 Cir., 241 F.2d 635; United States v. Tramaglino, 2 Cir., 197 F.2d 928, 932, certiorari denied 344 U.S. 864, 73 S.Ct. 105, 97 L.Ed. 670; United States v. Nimerick, 2 Cir., 118 F.2d 464, 152 A.L.R. 620, certiorari denied 313 U.S. 592, 61 S.Ct. 1117, 85 L.Ed. 1546. Indeed, one may doubt that the express admission of the prior arrest, which came in and was the subject-matter of cautionary instructions, was as hurtful to the defense as would have been the admission which the jury would naturally have implied from the defense tactic in running away from the conversation which it had invited.
WATERMAN, Circuit Judge
(concurring) .
I concur with my colleagues in affirming the conviction below. I agree with Judge HINCKS for the reasons so ably stated by him — and with Judge Dimock— that witness Gianatasio’s1 statement that Apuzzo told him he had been arrested for policy about fifteen years before introduced error in the case. 2 I disagree with Chief Judge CLARK and Judge MEDINA who maintain this unfortunate statement was a proper one to be made under the circumstances of its making since it was elicited during cross-examination. I affirm because I am convinced from an examination of the stenographic minutes of the proceedings in their entirety that Judge Dimock’s subsequent admonitions to the jury to disregard this testimony must have been heeded. I have enough confidence in jurors to believe that in the setting of this particular case — serious though the admission of this damaging inadmissible testimony most assuredly was — the sincerity of the trial judge in stating and restating his personal acceptance of the entire blame,3 and his wish that for that reason the jury ignore the testimony, must have had its effect. Were I not so persuaded I would be forced to dissent — for I do not agree with Judge HINCKS that the evidence in the case points so overwhelmingly to the guilt of the defendant as to requii*e affirmance on the ground that the error, had it not been cured, would have been harmless.
Judge FRANK was on the panel that heard argument in this case last term, and sat with us en banc when it was argued at this term. He was consistent throughout in holding that error was committed here, that this error was not harmless, and that it was not cured. He and I concurred in a proposed opinion *425written last term before the hearing en banc was decided upon that would have reversed the conviction and remanded for a new trial. At this term by memorandum vote after the hearing en banc, he reaffirmed his belief that the conviction should be reversed. It is, I think, of importance that his opinion be known, for it demonstrates that three of the five appellate judges who have considered this case concur with the district judge who tried it that the injection into the trial of this statement of a prior arrest was error.
It is fundamental that counsel usually assumes the risk of unfavorable responses to his own cross-examination. But here it seems clear that appellant’s counsel was surprised when the fifth government agent he had cross-examined testified to a conversation not foreshadowed by any prior witness; and that when he discovered that the agent might testify to an admission by the defendant of a prior arrest, he did his best to cut off the indicated testimony and close the line of inquiry. The trial judge insisted that the witness complete the unfinished answer despite defense counsel’s efforts to prevent reply. This case presents a situation unique on its facts. It seems clear that the testimony concerning the prior arrest came before the jury by accident rather than through any careless or designed “opening up” of a damaging conversation by defense counsel. Surely, therefore, as stated by Judge HINCKS, the continuing narrative should not have been testified to.
Apuzzo did not take the stand in his own defense. In fact, the error occurred during the Government’s case and before the defense put in any evidence at all, except by way of cross-examination.
I turn now to the question of whether the error was so prejudicial as to require, unless cured by the court’s instructions, an automatic reversal of the conviction. Rule 52(a) of the Federal Rules of Criminal Procedure, 18 U.S.C., as well as 28 U.S.C. § 2111, admonishes us to disregard any errors or defects which do not affect substantial rights. This command is couched in clear language, but its application presents most difficult problems. See United States v. Antonelli Fireworks Co., 2 Cir., 1946, 155 F.2d 631 (majority and dissenting opinions), certiorari denied, 329 U.S. 742, 67 S.Ct. 49, 91 L.Ed. 640.
The Supreme Court has stated the test as follows:
“In the final analysis judgment in eaxh case must be influenced by conviction resulting from examination of the proceedings in their entirety, tempered but not governed in any rigid sense of stare decisis by what has been done in similar situations. * * * Necessarily the character of the proceeding, what is at stake upon its outcome and the relation of the error asserted to casting the balance for decision on the case as a whole, are material factors in judgment. * *
“If, when all is said and done, the conviction is sure that the error did not influence the jury, or had but very slight effect, the verdict and the judgment should stand, except perhaps where the departure is from a constitutional norm or a specific command of Congress. Bruno v. United States, supra 308 U.S. [287], at page 294, 60 S.Ct. [198] at page 200, [84 L.Ed. 257.] But if one cannot say, with fair assurance, after pondering all that happened without stripping the erroneous action from the whole, that the judgment was not substantially swayed by the error, it is impossible to conclude that substantial rights were not affected. The inquiry cannot be merely whether there was enough to support the result, apart from the phase affected by the error. It is rather, even so, whether the error itself had substantial influence. If so, or if one is left in grave doubt, the conviction cannot stand.” Kotteakos v. United States, 1946, 328 U.S. 750, 762, 764-765, 66 S.Ct. 1239, 1246, 90 L.Ed. 1557.
Subsequent to this Kotteakos decision we have held that references to prior arrests or convictions when the defendant does not take the stand and his character is not in issue, are prejudicial error. United States v. James, 2 Cir., 1953, 208 *426F.2d 124; United States v. Modern Reed & Rattan Co., 2 Cir., 1947, 159 F.2d 656, certiorari denied, 331 U.S. 831, 67 S.Ct. 1510, 91 L.Ed. 1845. These cases are authority for the proposition that such testimony is prejudicial error when it gets before the jury other than by deliberate or negligent conduct of defense counsel. This is so not because such testimony is irrelevant “but because of a dominant policy which recognizes that what tends to shows a likelihood that the accused has flouted the law at some other time is too apt to be given undue weight by the jury and to prejudice his right to a fair trial on the instant charge.” United States v. James, supra, 208 F.2d at page 124. And see Michelson v. United States, 1948, 335 U.S. 469, 475-476, 69 S.Ct. 213, 93 L.Ed. 168. Obviously this is of particular importance when the prior arrest or conviction is for the same criminal activity.
With these guideposts at hand, I now turn to the overall situation at the trial, as I perceive it to have been.
To convict Apuzzo the Government had to convince the jury by circumstantial evidence and the proven overt acts of Aaron and Broussard that Apuzzo was in the “policy racket” with Aaron and Broussard during the period from July 28 through August 5,1953. Though federal agents were in the butcher shop on five different occasions during those nine days and placed “policy” bets with Aaron and Broussard they never saw Apuzzo. Both Aaron and Broussard pleaded guilty prior to Apuzzo’s trial. Broussard testified for the defense, and absolved Apuzzo of any connection with the “policy” operations. The Government presented' a strong circumstantial case through the testimony of government employees tending to prove Apuzzo’s complicity; and, although no direct evidence of day-to-day participation on the part of Apuzzo was ever before the jury, there was indeed sufficient evidence to support a finding by the jury of guilt.
Apuzzo’s employees testified stoutly, also. If they were believed, there was similarly sufficient evidence to support a verdict of acquittal. The defense could well maintain that there was insufficient credible proof of any “policy” participation by Apuzzo during the nine crucial days involved.
Although on the record before us it is highly probable that appellant may be guilty as charged, I do not find that this “record fairly shrieks the guilt,” Lutwak v. United States, 1953, 344 U.S. 604, 619, 73 S.Ct. 481, 490, 97 L.Ed. 593, of Apuzzo during the time-period involved, nor do I believe that no reasonable jury could have acquitted. See, e. g., United States v. Chieppa, 2 Cir., 1957, 241 F.2d 635, 640; United States v. Tramaglino, 2 Cir., 1952, 197 F.2d 928, 932, certiorari denied, 344 U.S. 864, 73 S.Ct. 105, 97 L.Ed. 670.
Therefore, it becomes a most delicate question for an appellate judge who believes that the evidence below of guilt is not completely overwhelming to appraise the effect that Gianatasio’s statement may have had. For Gianatasio let the jury know that Apuzzo, himself, allegedly had said to the witness that he had been arrested for “policy” about fifteen years ago. Even though instructed that the statement should be ignored, this statement, erroneously before the jury, could well be the decisive bit to convince a doubting juror of the defendant’s guilt.4
Recognizing this danger, I nevertheless hold here that in view of the unique circumstances in this case this error was cured and made harmless by the subsequent considered and sincere instructions of the distinguished, able and conscientious judge. The error would never have occurred but for the insistence of Judge *427Dimock that Gianatasio complete his answer. This the jury well knew. The Judge accepted the entire blame for the occurrence and absolved defense counsel of any suspicion of deviousness. This also the jury well knew.
The erroneous introduction of an alleged statement by defendant that he had been previously arrested for a similar activity may be considered of such an exceptionally prejudicial character as to necessitate a new trial. See, e. g., United States v. James, supra. But the general rule is that where evidence is erroneously admitted the subsequent striking of it from the case, accompanied by a clear and positive instruction to the jury to disregard the evidence, cures the error. United States v. Giallo, 2 Cir., 1953, 206 F.2d 207, affirmed 346 U.S. 929, 74 S.Ct. 319, 98 L.Ed. 421; United States v. Curzio, 3 Cir., 1950, 179 F.2d 380; Marsh v. United States, 3 Cir., 1936, 82 F.2d 703; Stoppelli v. United States, 9 Cir., 1950, 183 F.2d 391; Samish v. United States, 9 Cir., 1955, 223 F.2d 358. I believe that the circumstances of this case warrant the application here of that general rule.

. As to all other claims of error I am in full accord with the majority opinion.

. I think the trial judge was in a better position than we to gauge the effect of the admission of the prior arrest. We should therefore give substantial weight to his evaluation of the problem. Webb v. United States, 10 Cir., 191 F.2d 512; United States v. Cioffi, 2 Cir., 242 F.2d 473; United States v. Giallo, 2 Cir., 206 F.2d 207, affirmed 346 U.S. 929, 74 S.Ct 319, 98 L.Ed. 421.

. Gianatasio, one of the government witnesses, all of whom were employees of the U. S. Treasury, was an experienced investigator with the Alcohol & Tobacco Tax Division, and had been an employee of the Treasury for more than twenty years. Before this he had been a witness for the Government. For instance, he testified in a case cited in all three of our opinions here, United States v. Giallo, 2 Cir., 1953, 206 F.2d 207, at page 209 and footnote 2.

. The error occurred because the trial judge, evidently completely unaware of what the witness would testify to, insisted that the witness continue to answer a question asked of him on cross-examination after he had been stopped by the cross-examiner, despite the cross-examiner’s efforts to waive further reply and to ask a new question. In continuing his answer, the witness, so protected by the judge, brought out the damaging testimony.

. See Chief Judge Clark’s opinion, footnote 4.

. See, e. g., the oft-quoted concurring opinion of Mr. Justice Jackson in Krulewitch v. United States, 1949, 336 U.S. 440, 453, 69 S.Ct. 716, 723, 93 L.Ed. 790: “The naive assumption that prejudicial effects can be overcome by instructions to the jury * * * all practicing lawyers know to be unmitigated fiction. See Skidmore v. Baltimore & Ohio R. Co., 2 Cir., 167 F.2d 54.”
See also the remarks of the late Chief Judge Lehman of the New York Court of Appeals in People v. Robinson, 1937, 273 N.Y. 438, 445-446, 8 N.E.2d 25.