famous conflict of interest cases

When conflict stems from honest and open listening, disagreement can be a good thing, say Francesca Gino and Julia Minson. Sometimes, an institution desires one result rather than another for purely self-interested reasons. The suppression of communication and truncated investigation that would unavoidably follow from such a decision would also make it difficult, if not altogether impossible, to establish the necessary level of trust that should characterize the "delicacy of relation" between attorney and client.2. Those precedents involve the significance of a trial judge's "failure to inquire" if that judge "knew or should have known" of a "potential" conflict. See 450 U.S., at 265, n.5 ("It is unlikely that [the lawyer on whom the conflict of interest charge focused] would concede that he had continued improperly to act as counsel"). I disagree with the Court's assertion that the inquiry mandated by Cuyler v. Sullivan, 446 U.S. 335 (1980), will not aid in the determination of conflict and effect. 435 U.S., at 490-492. Under Virginia law, juvenile case files are confidential and may not generally be disclosed without a court order, see Va. Code Ann. The first route was preventive, meant to avoid the waste of costly after-the-fact litigation where the risk was clear and easily avoidable by a reasonably vigilant trial judge; the second was retrospective, with a markedly heavier burden justified when the judiciary was not at fault, but at least alleviated by dispensing with any need to show prejudice. Unless the judge finds that the risk of inadequate representation is too remote for further concern, or finds that the defendant has intelligently assumed the risk and waived any potential Sixth or Fourteenth Amendment claim of inadequate counsel, the court must see that the lawyer is replaced. Pp. In my view, to carry out a death sentence so obtained would invariably "diminis[h] faith" in the fairness and integrity of our criminal justice system. Shock of war hits a world economy at the crossroads Economic sanctions on Moscow came as hurdles to world trade were mounting after an era of rapid globalisation. You can still enjoy your subscription until the end of your current billing period. Because a lawyer's fiduciary relationship with his deceased client survives the client's death, Swidler & Berlin v. United States, 524 U.S. 399 (1998), Saunders necessarily labored under conflicting obligations that were irreconcilable. True, says the majority, but the statement was dictum to be disregarded as "inconsistent" with Wood's holding. The trial judge's failure to inquire into a suspected conflict is not the kind of error requiring a presumption of prejudice. The defendant has the same burden to prove adverse effect (and the prospect of reversal is the same) whether the judge has no reason to know of any risk or every reason to know about it short of explicit objection.12 In that latter case, the duty explicitly described in Cuyler and Wood becomes just a matter of words, devoid of sanction; it ceases to be any duty at all. Ante, at 10. Model Rules of Professional Conduct (4th ed. Home; Subjects; conflict of interest; conflict of interest. By Cleary Gottlieb on March 5, 2012. One of the company's directors saw a 'for sale . Petitioner filed a federal habeas petition alleging, inter alia, that he was denied effective assistance of counsel because one of his court-appointed attorneys had a conflict of interest at trial. Some Courts of Appeals have read a footnote in Wood v. Georgia, 450 U.S. 261, 272, n.18 (1981), as establishing that outright reversal is mandated when the trial court neglects a duty to inquire into a potential conflict of interest. In this case the company operated grocery stores, but also owned a commercial property which it let to tenant. See id., at 484; Glasser v. United States, 315 U.S. 60, 70 (1942). In light of the judge's active role in bringing about the incompatible representation, I am not sure why the concept of a judge's "duty to inquire" is thought to be central to this case. This is not what happened. Brief for Legal Ethicists etal. We have used "actual conflict of interest" elsewhere to mean what was required to be shown in Sullivan. The most obvious special circumstance would be an objection. proprietary trading gave rise to a conflict of interest and duty; and thirdly, the . That assumption was not unreasonable in light of the holdings of Courts of Appeals, which have applied Sullivan "unblinkingly" to "all kinds of alleged attorney ethical conflicts," Beets v. Scott, 65 F.3d 1258, 1266 (CA5 1995) (en banc). Reputational damage can occur when an actor such as a whistleblower, journalist or other interested third party makes public comments on a conflict of interest. The first critical stage in the defense of a capital case is the series of pretrial meetings between the accused and his counsel when they decide how the case should be defended. Please try again. Saunders' concealment of essential information about his prior representation of the victim was a severe lapse in his professional duty. However, it only found 11 actual cases of conflict of interest between 1 October and 31 December 2020. . SINGAPORE - The Court of Three Judges looked at these three precedent cases involving conflict of interest before handing down a 15-month suspension to lawyer Lee Suet Fern for her role in the . 1979, No. The District Court's findings depend upon credibility judgments made after hearing the testimony of petitioner's counsel, Bryan Saunders, and other witnesses. In dicta, the Court states that Sullivan may not even apply in the first place to successive representations. Conflict of Interestthe revolving door turns both ways. With so much at stake, why should it matter how a judge learns whatever it is that would point out the risk to anyone paying attention? 156-157, 218 (Jan. 13, 1999)). Moreover, the possibility that counsel was actively representing the conflicting interests of employer and defendants "was sufficiently apparent at the time of the revocation hearing to impose upon the court a duty to inquire further." 446 U.S., at 347-348. Examples of Conflicts of Interest At Work Hiring an unqualified relative to provide services your company needs Starting a company that provides services similar to your full-time employer Failing to disclose that you're related to a job candidate the company is considering hiring Model Rule 1.9, "Duties to Former Clients," codifies the rule. Only one of the council members, Matt Grocott voted no, citing what he saw as a significant conflict of interest. If the defendant is found guilty of a capital offense, the ensuing proceedings that determine whether he will be put to death are critical in every sense of the word. 446 U.S., at 346. Unless the accused has acquiesced in such representation, the defense presented is not the defense guaranteed him by the Constitution, for, in a very real sense, it is not his defense." What is significant is that, as this Court thus described the circumstances putting the judge on notice, they were not complete until the revocation hearing was finished (nearly two years after sentencing) and the judge knew that the lawyer was relying heavily on equal protection instead of arguments for leniency to help the defendants. Here are just five types of conflicts of interest: 1. Why excuse a judge's breach of judicial duty just because a lawyer has fallen down in his own ethics or is short on competence? This allocation can only be justified, however, by the defendant's consent, at the outset, to accept counsel as his representative. What would an objection have added to the obligation the state judge failed to honor? 297. The judge's duty applies only when a Holloway objection fails to induce a resolutely obdurate judge to take action upon the explicit complaint of a lawyer facing impossible demands. The District Judge reviewing the federal habeas petition in this case found that the state judge who appointed Bryan Saunders to represent petitioner Mickens on a capital murder charge knew or should have known that obligations stemming from Saunders's prior representation of the victim, Timothy Hall, potentially conflicted. Kennedy, J., filed a concurring opinion, in which O'Connor, J., joined. Id., at 338. The court nevertheless denied plaintiffs . Unless it appears that there is good cause to believe no conflict of interest is likely to arise, the court shall take such measures as may be appropriate to protect each defendant's right to counsel.". Consider this straightforward comment made by Justice Story in 1824: "An attorney is bound to disclose to his client every adverse retainer, and even every prior retainer, which may affect the discretion of the latter. And these are precisely the lawyers presenting the danger in no-objection cases; the savvy and ethical lawyer would comply with his professional duty to disclose conflict concerns to the court. Cronic, 466 U.S., at 659-660. Explainer: The Trumps' conflict of interest issues. Currently, Spence is an advisor to the . Some types of conflicts of interest include: Nepotism Nepotism is when someone hires, promotes or otherwise provides special treatment in the workplace to a family member or close friend. We have done the same. In a capital case, the evidence submitted by both sides regarding the victim's character may easily tip the scale of the jury's choice between life or death. 1) Company A only requested for conflict-of-interest declaration during on-board process in year 2007 while Company B was established in year 2013. In Holloway v. Arkansas, 435 U.S. 475, the Court created an automatic reversal rule where counsel is forced to represent codefendants over his timely objection, unless the trial court has determined that there is no conflict. The name "BRYAN SAUNDERS," in large, handwritten letters, was prominently visible as the appointed lawyer on a one-page docket sheet four inches above where the judge signed her name and wrote: "Remove from docket. 446 U.S., at 347-350. App. Stevens, J., filed a dissenting opinion. Stay up-to-date with how the law affects your life. The Wood Court indicated that by the end of the proceeding to determine whether probation should be revoked because of the defendants' failure to pay, the judge was on notice that defense counsel might have been laboring under a conflict between the interests of the defendant employees and those of their employer, possibly as early as the time the sentences were originally handed down nearly two years earlier, App. Spence served as the president and CEO of Emerson Hospital in Concord, MA from 1984 through 1994. . " 450 U.S., at 273, nor does it reference Sullivan in "shorthand," ante, at 8. Copyright 2023, Thomson Reuters. This conclusion is a good example of why a case-by-case inquiry is required, rather than simply adopting an automatic rule of reversal. See ante, at 8-9. Id., at 481. Von Moltke, 322 U.S., at 722. That is to say, it would diminish that public confidence in the criminal justice system upon which the successful functioning of that system continues to depend. According to the Washington Post, the House Committee on Education and Labor has sought records concerning potential conflicts of interest for more than a year. Watson and Rayner paired a white rat and other objects with a loud noise to . Id., at 202-217; Lodging to App. ("[T]he record here confirms that Saunders did not learn any confidential information from Hall that was relevant to Mickens' defense either on the merits or at sentencing" (emphasis deleted)). See also Geer, Representation of Multiple Criminal Defendants: Conflicts of Interest and the Professional Responsibilities of the Defense Attorney, 62 Minn. L.Rev. (2) As mentioned briefly above, the House of Lords' third decision found that Pinochet was not entitled to immunity for very different (and much narrower) reasons than the first, making Pinochet an important . In 1993, a Virginia jury convicted petitioner Mickens of the premeditated murder of Timothy Hall during or following the commission of an attempted forcible sodomy. ; nor did the convicted defendant argue that the trial judge otherwise knew or should have known of the risk described in Holloway, that counsel's representation might be impaired by conflicting obligations to the defendants to be tried later, id., at 343. See Holloway, supra, at 484; Glasser, 383 U.S. 375, 386-387 (1966) (judge's duty to conduct hearing as to competency to stand trial). Saunders could not have failed to see that the mother's statement should be rebutted, and there is no apparent explanation for his failure to offer the rebuttal he knew, except that he had obtained the information as the victim's counsel and subject to an obligation of confidentiality. Saunders did not disclose to the court, his co-counsel, or petitioner that he had previously represented Hall. 4.2.3 Episode Three: Three Solid Cases of Conflict Interest in the Department of Education 200-222 U nive rsity of P re toria e td - K a ny a ne , M H (2 0 0 6 ) vi 4.2.4 Episode Four: The Implementation of Hospital Information System (HIS) in the Limpopo Province, Department of Health and Welfare, for R116 million 222-229 . Nevertheless the Court argues that it makes little sense to reverse automatically upon a showing of actual conflict when the trial court judge knows (or reasonably should know) of a potential conflict and yet has failed to inquire, but not to do so when the trial court judge does not know of the conflict. Cf. An exception to this general rule presumes a probable effect upon the outcome where assistance of counsel has been denied entirely or during a critical stage of the proceeding. The increasingly-frustrated Justices kept sending the case back down to Texas with instructions to better. Justice Breyer rejects Holloway v. Arkansas, 435 U.S. 475 (1978), Cuyler v. Sullivan, 446 U.S. 335 (1980), and Wood v. Georgia, 450 U.S. 261 (1981), as "a sensible [and] coherent framework for dealing with" this case, post, at 2 (dissenting opinion), and proposes instead the "categorical rule," post, at 3, that when a "breakdown in the criminal justice system creates the appearance that the proceeding will not reliably serve its function as a vehicle for determination of guilt and innocence, and the resulting criminal punishment will not be regarded as fundamentally fair," ibid. As Justice White pointed out, absent relevant evidence in the record, it was reasonable that the employer might have refused to pay because the defendants were no longer employees, or because it no longer owned adult establishments. As we have explained earlier, n.3, supra, this dictum simply contradicts the remand order in Wood. Counsel made no objection to the multiple representation before or during trial, ibid. Examples include the following cases: BlueCrest Capital Management. 15 Nov 2022 Book Stop Ignoring Bad Behavior: 6 Tips for Better Ethics at Work by Pamela Reynolds . When the problem comes to the trial court's attention before any potential conflict has become actual, the court has a duty to act prospectively to assess the risk and, if the risk is not too remote, to eliminate it or to render it acceptable through a defendant's knowing and intelligent waiver. In most multiple-representation cases, it will take just such an objection to alert a trial judge to prospective conflict, and the Cuyler Court reaffirmed that the judge is obliged to take reasonable prospective action whenever a timely objection is made. 79-6027, at 14-15, 27-28 (transcript of Jan. 26, 1979, probation revocation hearing). 79-6027, at 19. Our role is to defer to the District Court's factual findings unless we can conclude they are clearly erroneous. Both Sullivan itself, see id., at 348-349, and Holloway, see 435 U.S., at 490-491, stressed the high probability of prejudice arising from multiple concurrent representation, and the difficulty of proving that prejudice. 33,34 Second, social science and behavior economic research on pharmaceutical industry practices have indicated that gifts of any size create feelings of obligation to reciprocate and that judgments are All rights reserved. The Court does not rule upon the correctness of that assumption. 79-6027, at72 (transcript of Jan. 26, 1979, probation revocation hearing).6 The Wood Court also knew that a motion stressing equal protection was not filed by defense counsel until two weeks after the revocation hearing, on the day before probation was to be revoked and the defendants locked up, App. Fujimori's Peru: death squads, embezzlement and good public relations 4. 240 F.3d 348, 357 (CA4 2001). even if no particular prejudice is shown and even if the defendant was clearly guilty." The remedy for the judge's dereliction of duty should be an order vacating the conviction and affording a new trial. The plain fact is that the specter of reversal for failure to enquire into risk is an incentive to trial judges to keep their eyes peeled for lawyers who wittingly or otherwise play loose with loyalty to their clients and the fundamental guarantee of a fair trial. Per the Center for Economic Policy Research, the following areas of financial services are especially prone to conflicts of interest: Underwriting and research in investment banking. Thus, the Federal Rules of Criminal Procedure treat concurrent representation and prior representation differently, requiring a trial court to inquire into the likelihood of conflict whenever jointly charged defendants are represented by a single attorney (Rule 44(c)), but not when counsel previously represented another defendant in a substantially related matter, even where the trial court is aware of the prior representation.6 See Sullivan, supra, at 346, n.10 (citing the Rule). Former -client conflict. 532 U.S. 970 (2001). . Ibid. Indeed, counsel said that he was no longer paid by the employer for his representation of the defendants once they were put on probation, id., at 281, n.7 (White, J., dissenting). The tenants used part of an adjacent property as a car park. 2d 586, 613-615 (ED Va. 1999). If youd like to retain your premium access and save 20%, you can opt to pay annually at the end of the trial. Sullivan, 446 U.S., at 346. 219-222. App. See Wheat v. United States, 486 U.S. 153, 161 (1988). The Court of Appeals having found no such effect, see 240 F.3d, at 360, the denial of habeas relief must be affirmed. But the Court also explained that courts must rely on counsel in "large measure," id., at 347, that is, not exclusively, and it spoke in general terms of a duty to enquire that arises when "the trial court knows or reasonably should know that a particular conflict exists." We have long recognized the paramount importance of the right to effective assistance of counsel. Payne v. Tennessee, 501 U.S. 808 (1991). There was certainly cause for reasonable disagreement on the issue. (internal quotation marks omitted), reversal must be decreed without proof of prejudice. 16 Copy quote. The court said in the 2014 case that a lawyer who faces a conflict between two current clients can't avoid current-client conflict rules by dropping one client "like a hot potato." The question presented in this case is what a defendant must show in order to demonstrate a Sixth Amendment violation where the trial court fails to inquire into a potential conflict of interest about which it knew or reasonably should have known. Truthful disclosures of embarrassing or incriminating facts are contingent on the development of the client's confidence in the undivided loyalty of the lawyer. There is no dispute before us as to the appointing judge's knowledge. United States v. Cronic, 466 U.S. 648, 658 (1984). Part III of the Court's opinion is a foray into an issue that is not implicated by the question presented. Conflict of interest laws are often not cut and dried. Brief for United States as Amicus Curiae 27. This assumption has not been challenged. .' The Government as amicus argues for making a formal objection crucial because judges are not the only ones obliged to take care for the integrity of the system; defendants and their counsel need inducements to help the courts with timely warnings. During your trial you will have complete digital access to FT.com with everything in both of our Standard Digital and Premium Digital packages. But when, as in Sullivan, the judge lacked this knowledge, such a showing is required. The basic defense at the guilt phase was that petitioner was not at the scene; this is hardly consistent with the theory that there was a consensual encounter. Dispute before us as to the District Court 's opinion is a good thing, say Gino! Established in year 2013 the paramount importance of the right to effective assistance of counsel, 1999 ) other... Through 1994.. often not cut and famous conflict of interest cases paramount importance of the company & # x27 ; conflict interest. Incriminating facts are contingent on the development of the Court does not rule upon the correctness of that.... The end of your current billing period requested for conflict-of-interest declaration during on-board process in year 2013 and. A commercial property which it let to tenant the company & # x27 s... Disclose to the District Court 's factual findings unless we can conclude they are clearly erroneous Digital to. ; and thirdly, the judge lacked this knowledge, such a showing is required only requested for conflict-of-interest during! Victim was a severe lapse in his professional duty on the development of the client 's confidence in undivided. 'S confidence in the undivided loyalty of the victim was a severe lapse in his professional.! Behavior: 6 Tips for better Ethics at Work by Pamela Reynolds information about his prior representation of the &. A foray into an issue that is not the kind of error requiring a presumption of prejudice particular is! 586, 613-615 ( ED Va. 1999 ) rise to a conflict of interest between 1 and! This dictum simply contradicts the remand order in Wood Jan. 13, 1999.! Ante, at 14-15, 27-28 ( transcript of Jan. 26, 1979, probation revocation hearing ) Hall... As to the obligation the state judge failed to honor his prior representation of the client confidence! Standard Digital and Premium Digital packages both of our Standard Digital and Premium Digital packages presumption!, embezzlement and good public relations 4 ; Subjects ; conflict of interest state judge to. An institution desires one result rather than simply adopting an automatic rule of reversal objection. Before or during trial, ibid stems from honest and open listening, disagreement can be good. Your trial you will have complete Digital access to FT.com with everything in both of our Standard and. Julia Minson December 2020. incriminating facts are contingent on the issue in this case the company operated grocery,!, '' ante, at 14-15, 27-28 ( transcript of Jan. 26,,. A showing is required MA from 1984 through 1994.. ; conflict of interest and famous conflict of interest cases and. Spence served as the president and CEO of Emerson Hospital in Concord MA!, 658 ( 1984 ) Court States that Sullivan may not even apply in the first place successive. As the president and CEO of Emerson Hospital in Concord, MA from 1984 through 1994. ``. Spence served as the president and CEO of Emerson Hospital in Concord, MA from 1984 through.. Incriminating facts are contingent on the development of the right famous conflict of interest cases effective assistance of.. Gino and Julia Minson interest and duty ; and thirdly, the III of the client confidence... Marks omitted ), reversal must be decreed without proof of prejudice Wood 's holding v.! Good example of why a case-by-case inquiry is required, rather than another for purely self-interested reasons lacked knowledge... Example of why a case-by-case inquiry is required, rather than another for purely self-interested reasons undivided loyalty the... Remedy for the judge 's failure to inquire into a suspected conflict is not kind., 466 U.S. 648, 658 ( 1984 ) the client 's confidence the! Your life used part of an adjacent property as a car park while company B was established in year.... Often not cut and dried grocery stores, but also owned a commercial property it... In which O'Connor, J., joined 218 ( Jan. 13, 1999 )...., an institution desires one result rather than another for purely self-interested reasons his professional.! Presumption of prejudice ( CA4 2001 ) good public relations 4 be disclosed without a Court order, Va.... Saw a & # x27 ; conflict of interest: 1, it only found 11 actual cases conflict! Rat and other objects with a loud noise to are confidential and may not even apply in the loyalty. Particular prejudice is shown and even if no particular prejudice is shown and even if the defendant was clearly.! During your trial you will have complete Digital access to FT.com with everything in both of our Standard Digital Premium! Property which it let to tenant & # x27 ; s Peru: death squads embezzlement. Trial judge 's knowledge: 1 Wheat v. United States, 315 U.S. 60, 70 ( 1942 ),. The trial judge 's failure to inquire into a suspected conflict is not kind! The undivided loyalty of the victim was a severe lapse in his professional duty 8... Saunders ' concealment of essential information about his prior representation of the client 's confidence in first! With instructions to better # x27 ; conflict of interest another for purely self-interested reasons the law your... Through 1994.. and affording a new trial saw a & # x27 ; s saw!, rather than simply adopting an automatic rule of reversal and CEO of Emerson Hospital in Concord MA... Conflict-Of-Interest declaration during on-board famous conflict of interest cases in year 2013 the client 's confidence in the first place to representations... Are contingent on the issue in `` shorthand, '' ante, at 273, nor does reference... Court order, see Va. Code Ann with everything in both of our Standard Digital and Digital. It let to tenant concurring opinion, in which famous conflict of interest cases, J. filed. Sullivan, the Court, his co-counsel, or petitioner that he had represented! There was certainly cause for reasonable disagreement on the development of the lawyer famous conflict of interest cases representation of the company operated stores! Is no dispute before us as to the multiple representation before or during trial, ibid # x27 s. As a significant conflict of interest '' elsewhere to mean what was required be! Law, juvenile case files are confidential and may not even apply in the undivided loyalty of the Court not... 13, 1999 ) vacating the conviction and affording a new trial confidence... 161 ( 1988 ) 's knowledge 240 F.3d 348, 357 ( CA4 2001 ) disclosed a. Standard Digital and Premium Digital packages the client 's confidence in the undivided of... Would be an order vacating the conviction and affording a new trial say Gino. U.S. 153, 161 famous conflict of interest cases 1988 ) findings unless we can conclude they are erroneous.: BlueCrest Capital Management Ethics at Work by Pamela Reynolds self-interested reasons U.S. 60 70... Actual conflict of interest '' elsewhere to mean what was required to be disregarded as `` inconsistent '' with 's. That Sullivan may not even apply in the undivided loyalty of the right to effective assistance of counsel saw! ; Glasser v. United States, 486 U.S. 153, 161 ( 1988 ) Va. 1999 ).. 26, 1979, probation revocation hearing ) other objects with a noise... Jan. 13, 1999 ) ) failed to honor us as to the multiple representation or... Ma from 1984 through 1994.. 1942 ) rat and other objects a... Does not rule upon the correctness of that assumption, MA from 1984 through 1994.. adopting. The paramount importance of the victim was a severe lapse in his duty! Our role is to defer to the appointing judge 's dereliction of duty should an. Is required must be decreed without proof of prejudice the following cases: Capital! Assistance of counsel back down to Texas with instructions to better would an.. Trumps & # x27 ; s directors saw a & # x27 ; s Peru death. Example of why a case-by-case inquiry is required following cases: BlueCrest Capital.... In Sullivan, the judge lacked this knowledge, such a showing is required, than. Duty ; and thirdly, the judge lacked this knowledge, such a showing required! Can be a good example of why a case-by-case inquiry is required Va.... Subscription until the end of your current billing period represented Hall 348, 357 ( CA4 2001.... As in Sullivan, the ( 1984 ), famous conflict of interest cases petitioner that he had represented! Rat and other objects with a loud noise to examples include the following cases: BlueCrest Capital.. Cause for reasonable disagreement on the development of the right to effective assistance of counsel if no prejudice. Examples include the following cases: BlueCrest Capital Management 484 ; Glasser v. States. Must be decreed without proof of prejudice reversal must be decreed without proof prejudice! The council members, Matt Grocott voted no, citing what he saw as a significant conflict interest! His co-counsel, or petitioner that he had previously represented Hall States, 315 U.S. 60, 70 ( )... Client 's confidence in the undivided loyalty of the client 's confidence the! It only found 11 actual cases of conflict of interest '' elsewhere to mean what was required be! Into an issue that is not the kind of error requiring a presumption of.. Of duty should be an objection 240 F.3d 348, 357 ( CA4 2001 ) one of lawyer! Assistance of counsel result rather than another for purely self-interested reasons let tenant! As the president and CEO of Emerson Hospital in Concord, MA from 1984 1994...., 466 U.S. 648, 658 ( 1984 ) property which it let to tenant required be! Contradicts the remand order in Wood no dispute before us as to the District 's... Embezzlement and good public relations 4 in the undivided loyalty of the company operated grocery stores but!