United States v. Timothy M. Dwyer, 843 F.2d 60, 1st Cir. (1988)

843 F.
2d 60
UNITED STATES of America, Appellee,

v.
Timothy M. DWYER, Defendant, Appellant.
No. 87-1786.
United States Court of Appeals,

First Circuit.
Heard Jan. 5, 1988.
Decided April 4, 1988.
Robert B. Mann, Providence, R.I., for defendant, appellant.

Margaret E. Curran, Asst. U.S. Atty., with whom Lincoln C. Almond, U.S.
Atty., Providence, R.I., was on brief for appellee.
Before COFFIN, ALDRICH and BREYER, Circuit Judges.
BAILEY ALDRICH, Senior Circuit Judge.
Defendant Dwyer and three others (Finley, Wing and Romeyn) were indicted
charged with defrauding a federally insured bank, 18 U.S.C. Sec. 1014, and
conspiracy, 18 U.S.C. Sec. 2. Defendants were to be tried separately because of
possible Bruton problems (Bruton v. United States, 391 U.S. 123, 88 S.Ct.
1620, 20 L.Ed.2d 476 (1968)), and Dwyer was selected to be first, with
Romeyn, who had made a plea agreement involving a smallish sentence,
testifying against him. There were seven counts, one for a general conspiracy,
the others being devoted to six false invoices subscribed to by Dwyer for work
he knew had not been done. He was found guilty on all counts, and there is no
question as to the sufficiency of the evidence. There are, however, a number of
questions.
* Dwyer's first complaint is to the court's refusal to charge with respect to

multiple conspiracies. The government appears to concede that this was error,
and argues lack of prejudice sufficient to merit reversal. We are not at all sure
that there was error, but if there was, we agree it was harmless.
It is true that if the facts indicate a possibility of there being more than one
conspiracy there is normally a question for the jury, United States v. Brown,
495 F.2d 593, 598 (1st Cir.), cert. denied, 419 U.S. 965, 95 S.Ct. 226, 42
L.Ed.2d 179 (1974), and a multiple conspiracy charge should be given. United
States v. Cambindo Valencia, 609 F.2d 603, 625 (2d Cir.1979), cert. denied
sub. nom, Prado v. United States, 446 U.S. 940, 100 S.Ct. 2163, 64 L.Ed.2d
795 (1980). However, the test is not whether every participant was engaged in,
or informed of, every activity of a group of individuals, but is whether the
differences were so marked that it would be prejudicial to permit a "spillover"
against a particular defendant. Ibid. Compare United States v. Calabro, 449
F.2d 885 (2d Cir.1971), cert. denied, 404 U.S. 1047, 92 S.Ct. 728, 30 L.Ed.2d
735 (1972); United States v. Glenn, 828 F.2d 855 (1st Cir.1987). The initial
conspiracy claimed here contemplated the submission of false documents to the
bank so as to make unwarranted draws upon an open construction loan, and to
convert the proceeds for the benefit of all defendants. The government's
evidence showed that Dwyer and the three others were parties to the diversion
of $600,000 through this scheme, an integral part of which was Dwyer
Construction Company invoices in that amount, for work Dwyer conceded he
knew had not been done. In these receipts he shared. As matters progressed, the
other defendants concocted a method of further defrauding the bank by
"piggybacking" on the original procedure, thereby obtaining an additional
$800,000 against the mortgage. This they did without informing Dwyer, thus
depriving him of a share. When the Petrozziello question came up (United
States v. Petrozziello, 548 F.2d 20 (1st Cir.1977)), in the course of its
statements at the bench in finding that a conspiracy existed for purposes of
admission of co-conspirator hearsay statements, the court observed,
4
[N]ow
what is interesting here is that not only did we have a conspiracy of five, but
we also had a conspiracy of three and a conspiracy of two, and they were screwing
each other all over the place. Mr. Dwyer was on the outside of the other
conspiracies, but that is no defense to his participation in this one.
5
When it came to charging the jury, however, the court refused to charge on
multiple conspiracies. Defendant claims that by its own finding the court erred.
However the matter is approached, we think it clear that defendant suffered no

harm. The evidence admitted against him by virtue of the Petrozziello ruling
related to the original phase; nor were subsequent events used in any way to
establish his guilt. On the contrary, throughout the case, as early as its opening,
the government emphasized that defendant in no way participated, in conduct,
or in receipts, from the piggybacking on the original fraud. The court's abovequoted statement, not made to the jury, did not affect its Petrozziello ruling, or
its scope, and for the court to have charged on the subject of possible multiple
conspiracies would have been to introduce a non-issue.
7
Far more troublesome questions came up in respect to what the court did
charge. Two charges--one relating to the credibility of the defendant's
testimony and another given by the court, sua sponte, to simplify the jury's
understanding of a conspiracy--caused cumulative prejudice to the defendant.
Including, in haec verba, much of government's request No. 25, the court
charged the jury as follows,
9 I told you at the beginning of the case, a defendant cannot be compelled to take
As
the witness stand and testify. Whether or not he testifies is a matter of his own
choosing. If he does choose to testify, he is a competent witness in the case. In that
event, he is subject to cross-examination and his credibility is for you, the jury, to
determine, in the same manner as that of any other witness. Obviously, a defendant
has a great personal interest in the result of his prosecution. The interest gives the
defendant a strong motive to lie, to protect himself. In appraising his credibility, you
may take that fact into consideration, however, I want to say to you with equal force,
that it by no means follows that simply because a person has a vital interest in the
trial's end result, that he is not capable of telling a truthful and straightforward story.
It is for you to decide to what extent, if at all, the defendant's interest has affected or
colored his testimony. It is for you to weigh his credibility and determine the
credibility of his testimony.
10
It is true that this charge is strictly accurate, and has been approved in the
Second Circuit. United States v. Gleason, 616 F.2d 2, 15 (2d Cir.1979), cert.
denied, 445 U.S. 931, 100 S.Ct. 1320, 63 L.Ed.2d 764 (1980). At the same
time, we note that even the Gleason court, in criticizing too free a use by the
trial court of its right to comment on the credibility of defendant's witness,
observed,
11
Confidence in our jury system leads us to leave credibility solely to the jury
which, as the conscience of the community, is expected to act with sound
judgment. (Ibid.)
12
We believe it wise to apply this general principle to the jury's exercise of its
common sense in determining credibility without the need of the court's stating
what, to even the most unsophisticated, must be obvious, that the defendant has
an interest in the outcome of the case.
There is no possible objection to the court's first four sentences above quoted.
13
14
There is no possible objection to the court's first four sentences above quoted.
Beginning with "Obviously," however, it was, in terms, emphasizing the
obvious. A jury might well think that the court had a purpose in stating the
obvious even though it followed it up with the necessary safeguard, namely, a
purpose unfavorable to the defendant. To quote from our opinion in Lannon v.
Hogan, 719 F.2d 518, 524 (1st Cir.1983), cert. denied, 465 U.S. 1105, 104
S.Ct. 1606, 80 L.Ed.2d 136 (1984), an isolated instruction that may "imply
denigration or disbelief of a defendant's testimony," is best avoided even
though the implication may be counteracted when the charge is viewed as a
whole. A charge containing denigrating implications should not be given unless
it serves some useful purpose or need. We see none here. See, also, United
States v. Standing Soldier, 538 F.2d 196, 204 (8th Cir.), cert. denied, 429 U.S.
1025, 97 S.Ct. 646, 50 L.Ed.2d 627 (1976).1
This analysis, in fact, is essentially rephrasing what we had already said in
United States v. Rollins, 784 F.2d 35 (1st Cir.1986). There the district court,
inter alia, told the jury that the defendant's "interest may create a motive for the
giving of false testimony." That charge, because of its length, was more
harmful than the one at bar, and there was, perhaps, more reason for our
complaining that "laboring the obvious" was suggesting that the court "has a
message--don't trust this defendant." Nonetheless, no United States Attorney
familiar with our reversal of the district court in Rollins should have even
considered filing request No. 25, and we believe that no judge familiar
therewith would have given it. We add that a charge reflecting on defendant as
a witness was particularly conspicuous when he was the only witness for the
defense.
II
15
There was added prejudice to the defendant because of another instruction

given over defendant's objection concerning the credibility of a government
witness. The court commented on the credibility of the testimony of an
unindicted co-conspirator, who testified for the government under a grant of
immunity, as follows: "you should realize that although an immunized witness
may not be prosecuted for past crimes revealed by his testimony, even an
immunized witness is subject to prosecution for perjury if he intentionally lies
under oath." The defendant argues, quite correctly we think, that the error
associated with the improper comment on his own credibility was exacerbated
by this comment, which could have bolstered the credibility of the
government's witness in the eyes of the jury. We think the more proper course
would have been for the court to have remained neutral on these credibility
issues.
16
We write opinions in part as an intellectual process to test our thinking, and in

part to satisfy the parties that, rightly or wrongly, we have considered their
views. We publish them, however, so that future lawyers and judges may know
the law of the circuit. Particularly with respect to United States Attorneys, for
us to publish an opinion in a criminal matter and have it ignored fifteen months
later by presenting a request diametrically to the contrary, calls for serious
criticism. This was not a recondite point, but one of everyday application, of
which clear note should have been taken. Apparently the United States
Attorney keeps favorable requests available (how else the ready citation of
Second Circuit cases?) rather than a record of our contrary decisions.
17
It is fortunate for the government that a conviction must stand if the record as a
whole shows, beyond a reasonable doubt, that the error was not harmful,
regardless of the degree of fault of the United States Attorney. See United
States v. Hasting, 461 U.S. 499, 506 n. 5, 103 S.Ct. 1974, 1979 n. 5, 76 L.Ed.2d
96 (1983), suggesting other procedures, so far as the United States Attorney is
concerned. The government makes its customary claim that defendant's guilt
was clear. This contention, as always, presents a question of fact. The basic
issue is whether defendant intended to defraud the bank. We start with an
impression from the record as a whole, including the fact that his associates
short-changed him, that defendant was short on intelligence. He knew that his
invoices were false, but he believed that their purpose was to mislead one
Harris and enable funds to go, perhaps wrongfully, to his associates. He knew
that the bank would receive the invoices, and would misunderstand them, but
he believed that the bank's overall payments were fixed; that the bank would
depend not on his invoices, but on requisitions, and that the only consequence
of the invoices was to change the recipient. He testified flatly that he had no
intent to injure the bank. That this might be a hard story to swallow should not
mean that defendant was not harmed by reflections on his credibility. Indeed, it
might be said to make the reflections peculiarly prejudicial. It is hardly
consistent for the court to charge the jury as to the presumption of innocence
and at the same time indicate doubts about defendant's credibility.
18
If the doubts here had been more strongly expressed we could have no
question. But there was more. The court informed the jury with respect to the
charge of conspiracy that "it is always thought that a crime is more culpable if
two or more people combine to do something." The history of the law of
conspiracy was of no concern of the jury's. The issue was whether defendant
had conspired, not whether it was a particularly obnoxious offense, a comment
that might well prejudice the jury against him. While, in theory, the seriousness
of the charge might make a jury more reluctant to convict, defendant did not
view it that way, and duly objected. His point was well taken. Language by
prosecutors is often excused because of appropriate cautions by the court. Here

it was the court itself that could be read as appealing to the jury's emotions.
19
The prejudicial impact of that instruction was made worse by the context in
which it was given. The court, sua sponte, delivered that charge on the morning
of the second day of the jury's deliberation assertedly to clear the jurors' minds
as to the legal issues, although they had indicated no doubts. The charge,
however, did less than that, in two senses. Less, in that it was strikingly bobtailed. Less, because the court stated that some of the matters it had stated the
day before may have been "bogged down in legalese.... I am going to try and
simplify it as much as possible." While we disagree with defendant that this
foreshortened supplemental charge omitted anything of basic importance, it
came very close to it. Moreover, it may have tended to appear to have intended
omissions by its very phraseology. To the extent that the jury may have thought
it a substitution rather than clarification it could have added, rather than
reduced, confusion. Cf. United States v. Velez, 652 F.2d 258, 261-62 (2d
Cir.1981) (charge stated to be adjunct, not substitute).
20
Finally, defendant objects to three items of evidence that the court excluded.
There was no error, let alone prejudicial error. We return, however, to whether
the three matters that we have discussed in descending order of importance can,
at least jointly, be considered of insufficient consequence in light of the
government's strong case, to warrant a new trial. We may wonder if defendant
will fare better on a new trial. Nonetheless, we believe, viewed at least
cumulatively, that we cannot, in good conscience, find beyond a reasonable
doubt that he was not harmed.
21
We add, for the benefit of the United States Attorney on the retrial, that his
summation with respect to the credibility of the pleading defendant, Romeyn,
came close to improper vouching. The facts are too long to merit detailing in
this opinion.
22
Vacated.
See, also, Devitt & Blackmar, Federal Jury Practice and Instructions: Criminal
Sec. 17.12 (3d ed. 1977), where, after citing a number of cases criticizing, but
not holding it error, expanding upon the defendant's interest, the authors stated,
at page 550,
In spite of these holdings the authors do not recommend that the court point to
the defendant's special interest. The instruction does not tell the jurors anything
they do not already know, and seems to tell them to be careful about believing
the defendant.

United States v. Timothy M. Dwyer, 843 F.2d 60, 1st Cir. (1988)

Uploaded by

Copyright:

Available Formats

United States v. Timothy M. Dwyer, 843 F.2d 60, 1st Cir. (1988)

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

United States v. Timothy M. Dwyer, 843 F.2d 60, 1st Cir. (1988)

Uploaded by

Copyright:

Available Formats

843 F.

UNITED STATES of America, Appellee,

United States Court of Appeals,

Robert B. Mann, Providence, R.I., for defendant, appellant.

* Dwyer's first complaint is to the court's refusal to charge with respect to

However the matter is approached, we think it clear that defendant suffered no

There was added prejudice to the defendant because of another instruction

We write opinions in part as an intellectual process to test our thinking, and in

prosecutors is often excused because of appropriate cautions by the court. Here

You might also like