Court Opinion

ID: 9737549
Source: CourtListenerOpinion
Date Created: 2023-08-26 19:28:23.378751+00
Date Added: 2024-06-11T07:23:59.697337
License: Public Domain

Tauro, C.J., and Braucher, J.,
dissenting. We do'not agree that “a serious conflict of interest,” in the words of the majority, was shown by evidence, as required by Commonwealth v. Smith, 362 Mass. 782, 784 (1973). In our view any “potential constraints” on the representation of the defendant by his counsel rest in speculation and conjecture. The findings of the trial judge, accepted as true by the majority, show that counsel was not in fact “affected in his judgment or conduct” in his representation of the defendant, that his representation of the defendant was “competent and skillful,” and that the defendant was found guilty “by a jury which had heard a great weight of clear and convincing evidence of his guilt.” Justice therefore does not require a new trial, and the result of the majority opinion by three justices (two of the seven justices having disqualified themselves), which we agree is “tragic,” is an unwarranted application of G. L. c. 278, § 33E. We would not disturb the conviction.
This appeal was argued to us primarily on the basis that the defendant was denied his constitutional right to the effective assistance of counsel. The decision of the trial judge on that issue was reviewable on appeal. Earl v. Commonwealth, 356 Mass. 181, 184 (1969). Compare Commonwealth v. Underwood, 358 Mass. 506, 510-512 (1970). The majority opinion does not clearly dispose of that issue. We think that the issue should be decided, and that there was no *177such denial. On the basis of the record, which we have reviewed in its entirety, and the detailed findings by the judge, this conclusion is inescapable.
1. Where an attorney represents interests that conflict with those of the defendant, it is clear that the defendant has been denied the effective assistance of counsel guaranteed to him by the Sixth and Fourteenth Amendments to the United States Constitution. Glasser v. United States, 315 U. S. 60, 75-76 (1942). Assuming without deciding that the knowledge of Mr. Inker’s law firm associates can be imputed to Mr. Inker,1 we are confronted with a situation where the defendant is represented by an attorney who simultaneously is representing some of the prosecution witnesses in unrelated civil matters and who has represented in the past some of the prosecution witnesses in unrelated criminal matters. We cannot accept the defendant’s contention that such a fact situation automatically presents a conflict of interest on his counsel’s part.
Both State and Federal courts have agreed that such dual representation by defence counsel may be perfectly proper. “Oné attorney can certainly represent clients, all of whom know each other, in unrelated matters and still render adequate professional service to all. . . . An attorney can represent or know all the culprits and still render effective representation” (emphasis added). Wirth v. United States, 348 *178F. Supp. 1137, 1141 (D. Conn. 1972). See Olshen v. McMann, 378 F. 2d 993 (2d Cir. 1967), cert. den. 389 U. S. 874 (1967). The mere fact of dual representation standing alone does not create a Sixth Amendment violation. A conflict of interest must first be established. Lugo v. United States, 350 F. 2d 858 (9th Cir. 1965). United States v. Burkeen, 355 F. 2d 241 (6th Cir. 1966), cert. den. sub nom. Matlock v. United States, 384 U. S. 957 (1966). As we noted recently in Commonwealth v. Smith, supra, “[a] conflict of interest such as to deny to a defendant the effective assistance of counsel must be shown by evidence.” 362 Mass, at 784 (1973). See United States v. Lovano, 420 F. 2d 769, 773 (2d Cir. 1970); Layne v. United States, 312 F. Supp. 140 (S. D. N. Y. 1970); People v. Wilkins, supra, at 56. All of these decisions require a clear showing of an actual conflict of interest which places the defence attorney in a position where his loyalties to one client will impinge upon his commitment to another. (See Canon 6 of the American Bar Association Canons of Professional Ethics: “. . . a lawyer represents conflicting interests when, in behalf of one client, it is his duty to contend for that which duty to another client requires him to oppose.”) Therefore, we must examine the types of dual representation that occurred at the defendant’s trial in order to determine whether there is any evidence in the record to support Geraway’s claim that his attorney (Mr. Inker) could not effectively defend him because of conflicting loyalties.
(a) Mr. Inker (treating Mr. Inker and firm members as one) was simultaneously representing some of the prosecution witnesses (the Kennedys) in unrelated civil matters. Since this aspect of Mr. Inker’s dual representation was simultaneous with his defence of Geraway, Mr. Inker owed an ongoing duty of individual loyalty to both Geraway and the Kennedys. However, there is nothing in the record to suggest that the Kennedys’ interests in completely unrelated civil tort suits conflicted with Geraway’s interests in defending himself against the Commonwealth’s criminal charge. The only possible contention of conflicting loyalties on Mr. *179Inker’s part is based on mere conjecture and speculation that Mr. Inker would be inhibited in his cross-examination of the Kennedys because he would not want to lose them as clients in potentially lucrative but unrelated civil tort suits. Such speculation is not sufficient proof of an actual conflict of interest (see Commonwealth v. Smith, supra, at 784 [1973], especially where a careful examination of the trial transcript reveals that Mr. Inker vigorously cross-examined the Kennedys when they testified at Geraway’s trial.2
(b) The more serious allegation of a conflict is based on the fact that Mr. Inker (or members of his firm) had represented a prosecution witness (Dennett) in unrelated criminal cases in the past. The potential conflict of interest that may arise in this situation was described by Judge Waterman in Olshen v. McMann, 378 F. 2d 993, 994 (2d Cir. 1967): “Unlike the situation in Glasser v. United States, 315 U. S. 60 . . . appellant’s counsel here did not simultaneously represent at trial codefendants with competing interests. Nor was a con*180flict of interest created here, as in United States v. Hayman, 342 U. S. 205 . . . through counsel’s simultaneous representation of an accused standing trial and a principal witness for the prosecution who had been convicted on a related charge and was awaiting sentence thereon. Where, as here, the possible conflict arises from a prior representation of a prosecution witness, the primary, if not the only, factor which might deter counsel from staging an effective defense would be his reluctance to divulge or to make use of the knowledge derived from the confidential communications of his former client.”
Thus, we are faced with a potential conflict similar to the one alleged in Commonwealth v. Smith, 362 Mass. 782 (1973). In that case, Smith alleged that his attorney’s ability to give him effective assistance of counsel was impaired by a conflict of interest arising from the fact that Smith’s attorney had represented the prosecution’s chief witness (Reed) on an unrelated criminal proceeding five days before Smith’s trial commenced. The nature of the dual representation in the Smith case presents a far more compelling possibility of conflicting interests than in the instant case, yet no conflict was found.
Smith and Reed were both arrested for a heroin transaction which occurred on December 26, 1969. Reed pleaded guilty and received a suspended sentence. Smith was represented on this charge by a Mr. Crowley commencing February 10, 1970, and continuing through Smith’s trial. Before Smith’s trial, Reed was arrested again for unlawful possession of heroin. On June 11, 1970, the court appointed Smith’s attorney (Mr. Crowley) to represent Reed on this new offence. Reed was tried, convicted, and sentenced on June 11, 1970. On June 15, Reed withdrew an appeal from his conviction. On June 16, 1970, Smith went to trial and Reed appeared as the prosecution’s chief witness. In denying Smith’s claim that he did not receive effective assistance of counsel, we noted that, since Mr. Crowley’s representation of the Commonwealth’s witness had ended with Reed’s sentencing prior to Smith’s trial, there was no fear that Smith’s *181attorney would be hindered in cross-examining Reed because of Smith’s attorney’s desire to reduce the witness’s (and his client’s) chance for a favorable sentence. See United States v. Hayman, 342 U. S. 205 (1952); Unites States ex rel. Platts v. Myers, 253 F. Supp. 23 (E. D. Pa. 1966); People v. Ware, 39 Ill. 2d 66 (1968); State v. Ebinger, 97 N. J. Super. 23 (1967).
Thus, the only potential source of a conflict was the possibility that Smith’s attorney had been given confidential information by Reed which served to restrict Mr. Crowley’s cross-examination of Reed. See Olshen v. McMann, 378 F. 2d 993 (2d Cir. 1967). We noted in the Smith case that no showing of such a problem had been made and that its possibility “was extremely unlikely” because Reed’s defence “concerned an event which had no connection with Reed’s alleged transaction with Smith on December 26, 1969.” After reviewing the trial transcript and the evidence at the hearing on the motion for a new trial, we concluded that Smith’s contention that his attorney “was inhibited in his cross-examination of Reed, because of confidential communications by Reed or for any other reason, is no more than speculation. A conflict of interest such as to deny a defendant the effective assistance of counsel must be shown by evidence.” 362 Mass, at 784 (1973).
Our holding in the Smith case is dispositive of the problem before us in the instant case. As in the Smith case, Geraway’s counsel had represented one prosecution witness (Dennett) in prior unrelated criminal matters which had no connection or bearing on the charges against Geraway.3 Thus, there is no reason to infer that Mr. Inker received any confidential communications from Dennett which would have restricted his cross-examination of Dennett when he testified at Geraway’s trial. To the contrary, our review of the trial transcript indicates that Mr. Inker vigorously attacked Dennett’s cred*182ibility on cross-examination.4 Moreover, this is not a situation like that in the Smith case where the prosecution witness’s testimony could have resulted from an agreement between the witness and the prosecutor in which the defendant’s counsel participated.
Thus, no conflict of interest existed in the instant case. As in the Smith case, supra, the defendant’s contention that his attorney was inhibited in his cross-examination of prosecution witnesses because of confidential communications, divided loyalties, or for any other reason is no more than unsubstantiated speculation. Our conclusion that no actual conflict of interest existed during Geraway’s trial is supported by State and Federal cases where similar types of dual representations by defence counsel were involved. See Hayman v. United States, 205 F. 2d 891 (9th Cir. 1953), cert, den. 346 U. S. 860 (1953); Weaver v. United States, 263 F. 2d 577 (8th Cir. 1959); Olshen v. McMann, 378 F. 2d 993, 994 (2d Cir. 1967), cert. den. 389 U. S. 874 (1967); Harrison v. United States, 387 F. 2d 614 (5th Cir. 1968); United States v. Alberti, 470 F. 2d 878 (2d Cir. 1972), cert. den. sub nom. Alberti v. United States, 411 U. S. 919 (1973); United States ex rel. Kachinski v. Cavell, 311 F. Supp. 827, 829 (M. D. Pa. 1969), affd. 453 F. 2d 581 (3d Cir. 1971); Wirth v. United States, 348 F Supp. 1137 (D. Conn. 1972);5 Montgomery v. Maryland, 15 Md. App. 7 (1971); People v. Wilkins, 28 N. Y. 2d 53 (1971).
*183Finally, it should be noted that in all those cases where courts have found that defence counsel’s prior representation of prosecution witnesses in “unrelated” civil or criminal cases has resulted in a conflict of interest, there were special circumstances, such as the prosecution witness being the victim of the crime for which the defendant was charged, that indicated that the prior cases involving defence counsel were not in fact unrelated to the defendant’s criminal trial. See Zurita v. United States, 410 F. 2d 477 (7th Cir. 1969); United States ex rel. Miller v. Myers, 253 F. Supp. 55 (E. D. Pa. 1966); People v. Stoval, 40 Ill. 2d 109 (1968).
The other cases the defendant relies on where conflicts were found involved situations, unlike that in the present case, where the defence attorney’s representation of one who consented to be a government witness had not ended because the witness testified prior to his own sentencing. See United States v. Hayman, 342 U. S. 205 (1952); United States ex rel. Platts v. Myers, 253 F. Supp. 23 (E. D. Pa. 1966); United States ex rel. Williamson v. LaVallee, 282 F. Supp. 968 (E. D. N. Y. 1968); People v. Ware, 39 Ill. 2d 66 (1968); State v. Ebinger, 97 N. J. Super 23 (1967).
2. “Since we have found that no conflict of interest exists, we have no reason to decide whether, a conflict having been proven, prejudice must be shown.” Commonwealth v. Smith, supra, at 784 (1973). However, our review of the record leads us to conclude that the defendant enjoyed the services of a thorough and competent attorney who vigorously represented the interests of his client.6 There is no evidence that the defendant was prejudiced by the fact that some of Mr. Inker’s associates represented some of the prosecution witnesses in unrelated matters.
*1843. The majority opinion does not squarely rule on the constitutional claim argued to us. Instead, it rests on the power of this court under G. L. c. 278, § 33E, to order a new trial “for any other reason that justice may require.” Although the record in this case has been reviewed once before by this court under § 33E, we do not object to the decision that remand to a single justice of this court is not required where it would accomplish “no good purpose.” But we do think that the power to award a new trial under § 33E, like the “rarely used power” exercised in Commonwealth v. Freeman, 352 Mass. 556, 564 (1967), should be used with greater restraint than is shown here. See Commonwealth v. Concepcion, 362 Mass. 653, 654 (1972); Commonwealth v. Richards, 363 Mass. 299, 310(1973).
Our power to award a new trial without regard to technical rules of law should be exercised with primary focus on ultimate justice in the particular case. This means to us that we must concern ourselves primarily with the particular defendant and the particular facts, and hence that we must place primary reliance on the trial judge who has seen and heard the evidence of the live witnesses and the oral contributions of counsel. If there is an aroma of unfairness in the trial, it can be detected far more reliably by the trial judge than by appellate judges reading between the lines of a stale transcript. It is for this reason, we believe, that the trial judge has the unreviewable power to award a new trial, and that we have traditionally been very reluctant to order a new trial when the trial judge has refused to do so.
In this case, we must face the findings of the trial judge: “Mr. Inker, at all times material . . . was unaware” that members of his firm “had ever acted as attorneys for any of the witnesses . . ..’’He “was not affected in his judgment or conduct... by the legal representation” of the witnesses .by attorneys in his firm. His “legal representation of Mr. Geraway in the preparation for trial and the trial of this indictment was competent and skillful. . . . Mr. Geraway was found guilty at the trial of this indictment by a jury which had heard a great weight of clear and convincing evi*185dence of his guilt.”
The majority of three “accept... as true” these detailed findings made by the judge after hearing sworn testimony on the motion for a new trial. These findings completely and effectively negate all allegations (a) that there was impropriety on the part of counsel; (b) that the defendant was not effectively represented by competent counsel; (c) that the defendant was prejudiced in any way; and (d) that the defendant did not receive a fair trial. On the basis of the record it was virtually impossible for the majority to conclude that the judge had abused his discretion in denying a motion for a new trial. Of course, the majority do not so base their decision.
Rather, with obvious disregard of facts established by the record and the judge’s findings, the majority decide to grant a new trial under the extraordinary powers of the court as provided in G. L. c. 278, § 33E, concluding that even though the trial was free from error a “miscarriage of justice” occurred. The majority thus, in utter disregard of the exact and detailed findings of the judge based on sworn testimony (after accepting them as true), grant a new trial on the basis of illusive, irrational and self-serving allegations of a convicted defendant who is struggling to escape the consequences of his crime after a fair trial and a review by the court. We state most emphatically that the “requirements of justice would [not] be best served” by such a decision.
The majority opinion, on the basis of “potential constraints,” the “web of circumstances and overlapping relationships here,” and the defendant’s “insistent inquiries about the possibility of a conflict,” uses this case as a vehicle to convey a message to the bar as to “the necessity of the institution by counsel of adequate checking arrangements.” We do not deny that rules of law may sometimes properly serve such a prophylactic purpose, although even in deciding issues of law we should never lose sight of the ultimate purpose to acquit the innocent and convict the guilty. But in exercising a power to do justice without regard to technical rules of law, we should be especially careful to avoid sacri*186ficing justice in order to vindicate some abstract lawyer’s point.
In any event, the majority opinion chooses means which do not fit the end. To teach lawyers a lesson in office management, guilty defendants are offered a second chance to escape justice. But the “inadequate office management” was that of a lawyer requested by the defendant. The lesson is to be driven home by awarding a victory to the defendant and his offending lawyer. There is nothing to indicate that the prosecutor or the judge had any part in the offence, but their efforts suffer defeat and frustration, and the public, as usual, sustains the greatest loss. We do not believe that § 33E was ever intended to be used in such circumstances.
4. Unfortunately, the decision of three justices has effectively disposed of the instant case. However, we voice grave doubts whether the power of the court under G. L. c. 278, §33E, should be exercised without a vote of a majority of all seven justices. Decision without such a vote (as in this case) could lead to consequences not wholly consistent with the requirements of justice.

Most courts will impute the knowledge of one member of a law firm to all its members for purposes of disqualification. See Laskey Bros, of W. Va. Inc. v. Warner Bros. Pictures, Inc. 224 F. 2d 824 (2d Cir. 1935). “The premise upon which disqualification of law partners is based is that there is within the law partnership a free flow of information, so that knowledge of one member of the firm is knowledge to all.” People v. Wilkins, 28 N. Y. 2d 53, 56 (1971). Relying on this rule, the defendant argues (.hat it is irrelevant that his attorney never personally represented the prosecution witnesses because the knowledge of his attorney’s law firm associates who did represent prosecution witnesses is imputed to his attorney, a member of the same firm.
However, imputation of knowledge for purpose of disqualification is based on a presumption of a free information flow between associates of the same firm, a presumption which can be rebutted by evidence in a specific case that there was in fact no free flow of information between law firm members. See People v. Wilkins, supra, 56-57. In such cases where the presumption of free flow of information is rebutted by evidence to the contrary in the record, no conflict of interest will be found “[ajbsent a showing that the particular staff attorney [or particular member of a law firm] who defended the defendant knew of a potential conflict and was inhibited or restrained thereby during trial.” People v. Wilkins, supra, at 57.

The defendant’s brief protests that Mr. Inker did not produce Miss Kennedy’s (formerly Geraway’s wife) criminal record and that he did not explore her possible motives for testifying for the prosecution or for distorting or fabricating her testimony. It is doubtful whether the introduction of Miss Kennedy’s criminal record would have more fully impeached her credibility than the numerous admissions that she made while on the stand which tended to cast suspicion upon her version of the events. Contrary to the defendant’s view, Mr. Inker explored in detail Miss Kennedy’s motives for testifying against Geraway.
On direct examination, Miss Kennedy testified that she went to Chestnut Hill with Geraway when he rented a yellow Ford Falcon automobile. Later Geraway told her that he had “killed a guy” because he thought the man was William Dennett’s wife’s boyfriend. After the murder, Geraway stayed at Miss Kennedy’s apartment because he was fearful that he would be identified by eyewitnesses who had seen him in the vicinity of the murder.
On cross-examination, Miss Kennedy admitted that she had divorced Geraway after two years of marriage and that he was not the greatest husband. He had hit her on one occasion and had been cruel to her because her daughter was not his child, although he knew she had the child before they were married. Miss Kennedy had continued to see the defendant since their divorce though he often bothered her and was a pest. She indicated that Geraway was a liar and a teller of fanciful tales and that she seldom believed what he said. As a result of such testimony Miss Kennedy was presented to the jury as someone who might well harbor deep seated grievances against the defendant and might have a strong motive for wishing him convicted.
Mr. Inker also elicited her admission that for about ten days after the killing she had repeatedly told Lt. Ingenere that she knew nothing about the shooting. Although she had read that another man (Jackman) had been indicted and tried for this murder, she did not volunteer any information about Geraway to the police.- She had, in fact, written to Geraway telling him to stop the police from questioning her and stating that she knew nothing of the events. Finally, Mr. Inker examined discrepancies in her testimony before the Norfolk County grand jury, her statement to Lt. Ingenere and her present testimony.

The fact that other members of Mr. Inker’s firm (e.g. Mr. Oteri and Mr. White) advised some of the prosecution witnesses to answer truthfully all questions asked them by the police and grand jury during the State’s investigation of the Sidlauskas killing does not by itself constitute sufficient evidence of a type of dual representation which suggests a conflict of interest on Mr. Inker’s part. See Wirth v. United States, 348 F. Supp. 1137, 1141 (D. Conn. 1972).

The defendant’s brief argues that Dennett’s extensive record of criminal convictions should have been introduced and that his motives for testifying against Geraway should have been examined in gr.eater detail. In light of the plethora of admissions of criminal activity by Dennett, formal introduction of his record of criminal convictions was not necessary. Moreover, Mr. Inker did in fact prove Den-nett’s motives for testifying against Geraway in great detail. Dennett admitted that he once expressed a desire to kill Geraway to prevent Geraway from testifying against him concerning a bad check charge. Dennett stated during his cross-examination that he no longer wished to kill Geraway because by testifying against him he was accomplishing his wish in another way. Tangentially, Mr. Inker also touched upon the possibility that Dennett himself had committed the murder. Mr. Inker elicited from Dennett an admission that Dennett was near the scene of the crime on the night of the murder and that he had been firing a .38 caliber gun for target practice. The fatal shot was fired from a .45 caliber gun.

The Wirth case involved allegations bearing a striking resemblance to the allegations of prejudice Geraway makes in the instant case. Both Wirth and Geraway claimed their counsel prevented them from taking the stand and from placing responsibility for the crime on one of the prosecution witnesses. The court’s *183response to these contentions in the Wirth case is equally applicable to Getaway’s allegations. “Unfortunately, trial tactics originally conceived as the best defense in ‘the bright glare of hindsight’ prove to be a mistake but such does not mean that, counsel was inadequate.” P. 142. It may be of some significance to note that Geraway refused to waive his attorney-client privilege so as to permit Mr. Inker to testify about his conversations with Geraway.

At the end of his trial, Geraway made an unsworn statement to the jury in which he praised Mr. Inker and stated he could never sufficiently express his gratitude for the tremendous amount of work that Mr. Inker had put into his defence.