In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Robert M. Simels, Esq.) Donald Payden, Intervenor-Appellant v. United States, 767 F.2d 26 (2d Cir. 1985). · Go Syfert
In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Robert M. Simels, Esq.) Donald Payden, Intervenor-Appellant v. United States, 767 F.2d 26 (2d Cir. 1985). Cases Citing This Book View Copy Cite
152 citation events (58 in the last 25 years) across 28 distinct courts.
Strongest positive: United States v. Flemmi (mad, 2000-07-05) · Strongest negative: United States v. Antonia Campos, Jose Campos, Milk-O-Mat, Inc. (ca6, 1988-12-02)
Treatment trajectory · 1985 → 2026 · click a year to view as-of
1985 2005 2026
Top citers, strongest first. 50 distinct citers. How cited ↗
discussed Cited "but see" United States v. Antonia Campos, Jose Campos, Milk-O-Mat, Inc. (2×)
6th Cir. · 1988 · signal: but see · confidence high
But see In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985, 605 F.Supp. 839 , 850 n. 14 (S.D.N.Y.) (attorneys' fees not excluded from forfeiture because, "[i]n the same manner that a defendant cannot obtain a Rolls-Royce with the fruits of a crime, he cannot be permitted to obtain the services of the Rolls-Royce of attorneys from these same tainted funds"), rev'd on other grounds, 767 F.2d 26 (2d Cir.1985).
discussed Cited "but see" United States v. Figueroa
W.D. Pa. · 1986 · signal: but see · confidence high
But see In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985, 605 F.Supp. 839 , 849-50 n. 14 (S.D.N.Y.1985) (dicta), rev’d. on other grounds, 767 F.2d 26 (2nd Cir.1985); United States v. One Parcel of Land, 614 F.Supp. 183 (N.D.Ill. 1985) (interpreting civil forfeiture provision of 21 U.S.C. § 881 , Court concluded that “tainted” funds that are proceeds from illicit drug transactions cannot be used to pay attorney’s fees).
examined Cited as authority (verbatim quote) United States v. Flemmi (4×) also: Cited as authority (rule), Cited "see, e.g."
D. Mass. · 2000 · quote attribution · 1 verbatim quote · confidence high
timing of the subpoena casts significant light on its purposes
discussed Cited as authority (rule) United States v. Calk
2d Cir. · 2023 · confidence medium
Although a district court’s determination that a subpoena “does not constitute an abuse of the grand jury process” is entitled to some deference, the question is one of the “application of a legal standard” and is therefore subject to “more scrutiny than would be appropriate under the ‘clearly erroneous’ standard.” In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir. 1985).
discussed Cited as authority (rule) United States v. Punn (2×)
2d Cir. · 2013 · confidence medium
Abuse of the Grand Jury Process “The law is settled in this circuit and elsewhere that it is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.” In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) (“Simels ”) (internal quotation marks and alteration omitted).
discussed Cited as authority (rule) United States v. Punn
2d Cir. · 2013 · confidence medium
Abuse of the Grand Jury Process “The law is settled in this circuit and elsewhere that it is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.” In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir. 1985) (“Simels”) (internal quotation marks and alteration omitted).
cited Cited as authority (rule) State of Tennessee v. Kimberly Mangrum
Tenn. · 2013 · confidence medium
In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 28 (2d Cir.1985).
discussed Cited as authority (rule) In Re Grand Jury Subpoena
10th Cir. · 2013 · confidence medium
See In re: Grand Jury Subpoenas, 123 F.3d 695, 699 (1st Cir.1997); In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985); In re Grand Jury Proceedings, 604 F.2d 798, 801 (3d Cir.1979); United States v. (Under Seal), 748 F.2d 871 , 873 & n. 2 (4th Cir.1984); In re Grand Jury Proceedings in Matter of Fine, 641 F.2d 199, 203 (5th Cir. Unit A 1981); In re Grand Jury Proceedings — Gordon, 722 F.2d 303, 307 (6th Cir.1983); In re Klein, 776 F.2d 628, 630-32 (7th Cir.1985); In re Grand Jury Proceedings Subpoena To Testify to: Wine, 841 F.2d 230, 232 (8th Ci…
cited Cited as authority (rule) United States v. Meregildo
S.D.N.Y. · 2012 · confidence medium
Simels, Esq.), (“Simels ”) 767 F.2d 26, 29 (2d Cir. 1985); see also United States v. Dardi, 330 F.2d 316, 336 (2d Cir.1964).
discussed Cited as authority (rule) United States v. Ohle
S.D.N.Y. · 2010 · confidence medium
The law is settled in this Circuit that “[i]t is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.” In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985); see also United States v. Dardi, 330 F.2d 316, 336 (2d Cir.1964).
discussed Cited as authority (rule) United States v. Blech
S.D.N.Y. · 2002 · confidence medium
The dominant-purpose inquiry is a legal standard that derives from courts’ special concern for the grand jury, “a body operating peculiarly under court supervision,” Payden v. United States, 767 F.2d 26, 29 (2d Cir.1985) (citation omitted), to ensure that the grand jury is not misused as a device for trial preparation.
discussed Cited as authority (rule) In Re Grand Jury Proceedings
D.D.C. · 2001 · confidence medium
While it is clear that the United States may not use the grand jury for the sole or dominant purpose of trial discovery in an already indicted prosecution, see In re Grand Jury Subpoena, 767 F.2d 26, 29 (2d Cir.1985), the grand jury certainly is entitled to continue a, good faith inquiry into unindicted persons or uncharged criminal activity, even if that inquiry happens to uncover further evidence against an already indicted defendant.
cited Cited as authority (rule) Pagan v. United States
2d Cir. · 2001 · confidence medium
Simels, Esq.)), 767 F.2d 26, 29 (2d Cir.1985); In re Katz, 623 F.2d 122, 124 (2d Cir.1980).
discussed Cited as authority (rule) United States v. Flemmi
1st Cir. · 2001 · confidence medium
To the contrary, the inquiry most often comprises a hybrid in that it typically involves an “application of a legal standard designed to ensure that the grand jury, a body operating peculiarly under court supervision, is not misused by the prosecutor.... ” Id. (quoting In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985)).
examined Cited as authority (rule) United States v. Bin Laden (3×) also: Cited "see"
S.D.N.Y. · 2000 · confidence medium
See also United States v. Jones, 129 F.3d 718, 723 (2d Cir.1997); United States v. Sasso, 59 F.3d 341, 351 (2d Cir.1995); United States v. Leung, 40 F.3d 577, 581 (2d Cir.1994); United States v. Vanwort, 887 F.2d 375 , 387 (2d Cir.1989); In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir. 1985).
examined Cited as authority (rule) United States v. Bin Laden (3×) also: Cited "see"
unknown court · 2000 · confidence medium
See also United States v. Jones, 129 F.3d 718, 723 (2d Cir.1997); United States v. Sasso, 59 F.3d 341, 361 (2d Cir.1995); United States v. Leung, 40 F.3d 577, 581 (2d Cir.1994); United States v. Vanwort, 887 F.2d 375, 387 (2d Cir.1989); In re Grand Jury Subpoena Duces Tecum, Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985).
discussed Cited as authority (rule) United States v. Furrow
C.D. Cal. · 2000 · confidence medium
“The timing of the subpoena casts significant light on its purposes.” In re Grand Jury Subpoena (Simels), 767 F.2d 26, 29 (2d Cir.1985) [hereinafter Siméis]. “[Absent some indicative sequence of events demonstrating an irregularity, a court has to take at face value the Government’s word that the dominant purpose of the Grand Jury proceedings is proper.” Dardi, 330 F.2d at 335 .
discussed Cited as authority (rule) United States v. Bissell
D.N.J. · 1996 · confidence medium
The cases relied upon by Defendants were distinguishable and, in any case, did not support .this extreme remedy. *878 For example, Nicholas Bissell relied upon In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 30 (2d Cir.1985).
cited Cited as authority (rule) Williams v. State
Ala. Crim. App. · 1996 · confidence medium
Simels, Esq.), 767 F.2d 26, 29 (2d Cir.1985) (quoting United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845 , 85 S.Ct. 50 , 13 L.Ed.2d 50 (1964)).
discussed Cited as authority (rule) United States v. LaPorta
unknown court · 1994 · confidence medium
DaSilva v. United States, 495 U.S. 910 , 110 S.Ct. 1936 , 109 L.Ed.2d 299 (1990); In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985); and United States v. Dardi, 330 F.2d 316 (2d Cir.), cert. denied, 379 U.S. 845 , 869, 85 S.Ct. 50 , 117, 13 L.Ed.2d 50 (1964).
discussed Cited as authority (rule) United States of America, Appellant-Cross-Appellee v. Michael Laporta and Vincent Sicurella, Also Known as \Jimmy
unknown court · 1994 · confidence medium
DaSilva v. United States, 495 U.S. 910 , 110 S.Ct. 1936 , 109 L.Ed.2d 299 (1990); In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985); and United States v. Dardi, 330 F.2d 316 (2d Cir.), cert. denied, 379 U.S. 845 , 869, 85 S.Ct. 50 , 117, 13 L.Ed.2d 50 (1964).
discussed Cited as authority (rule) United States v. Lai-Moi Leung and Seow Ming Choon (2×) also: Cited "see"
2d Cir. · 1994 · confidence medium
United States v. Vanwort, 887 F.2d 375, 387 (2d Cir.1989), cert. denied, 495 U.S. 906 , 910, 110 S.Ct. 1927 , 1936, 109 L.Ed.2d 290 , 299 (1990); In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985).
discussed Cited as authority (rule) In re Grand Jury Subpoenas Issued May 3, 1994 for Nash (2×)
D. Ariz. · 1994 · confidence medium
United States v. Thompson, 944 F.2d 1331, 1337 (7th Cir.1991), cert. denied, — U.S. -, 112 S.Ct. 1177 , 117 L.Ed.2d 422 (1992); United States v. Jenkins, 904 F.2d 549, 559 (10th Cir.1990), cert. denied, 498 U.S. 962 , 111 S.Ct. 395 , 112 L.Ed.2d 404 (1990); In re Grand Jury Subpoena Duces Tecum dated January 2, 1985 (Simels), 767 F.2d 26, 30 (2nd Cir.1985).
discussed Cited as authority (rule) In Re: Grand Jury v.
1st Cir. · 1994 · confidence medium
Simels, Esq.), 767 F.2d 26, 30 (2nd Cir. 1985); Doe, supra, 455 F.2d at 1276 . 11 We also agree with the district court that requiring a sealed, ex parte affidavit from the prosecution, and no more, was an adequate procedure, under the circumstances of this case, to probe whether or not the prosecution was attempting to abuse the grand jury process in its interrogation of appellant.
discussed Cited as authority (rule) United States v. Jackson
D. Kan. · 1994 · confidence medium
Though easy to state, the rule “ ‘is difficult, if not impossible, to enforce.’ ” Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985 (Simels), 767 F.2d 26, 30 (2nd Cir.1985) (quoting Moore, et al, supra ¶ 6 .04[5]).
discussed Cited as authority (rule) United States v. Crea
E.D.N.Y · 1994 · confidence medium
The subpoenaed records, while pertaining to Vastóla, are not considered his and therefore he is not being compelled to do anything and lacks standing to challenge the subpoena. 1 Vastóla has cited cases where an attorney’s client has been held to have standing to quash a subpoena upon his attorney, see In re Grand Jury Subpoenas Dated Dec. 10, 1987, 926 F.2d 847, 853 (9th Cir.1991); In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 28-29 (2d Cir.1985); In re Grand Jury Proceedings (Katz), 623 F.2d 122, 125 (2d Cir.1980).
discussed Cited as authority (rule) United States v. Vincent Dinapoli, Louis Dinapoli, Nicholas Auletta, Edward Halloran, Aniello Migliore, and Alvin O. Chattin (2×)
2d Cir. · 1993 · confidence medium
Enterprises, Inc., 498 U.S. 292, 299 , 111 S.Ct. 722, 727 , 112 L.Ed.2d 795 (1991) ("Grand juries are not licensed to engage in arbitrary fishing expeditions, nor may they select targets of investigation out of malice or an intent to harass."); In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) ("The law is settled in this circuit and elsewhere that '[i]t is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.' ") (quoting United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), ce…
discussed Cited as authority (rule) In Re Grand Jury Subpoena Chinske
D. Mont. · 1991 · confidence medium
Although the grand jury should not be used “to gather evidence to prepare for trial on an already pending indictment,” In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985, 767 F.2d 26, 30 (2d Cir.1985), there is no evidence that the government has already indicted the individual suspected of buying marijuana from Mr. Chinske.
discussed Cited as authority (rule) In Re Grand Jury Subpoena Duces Tecum Dated May 9, 1990
S.D.N.Y. · 1990 · confidence medium
The Purpose of the Grand Jury Subpoena It is well-settled that “[i]t is clearly ‘improper to utilize a Grand Jury for the sole *1061 or dominating purpose of preparing an already pending indictment for trial.’ ” United States v. Vanwort, 887 F.2d 375, 387 (2d Cir.1989) cert. denied, — U.S. -, 110 S.Ct. 1927 , 109 L.Ed.2d 290 (1990) (quoting Payden v. United States (In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels)), 767 F.2d 26, 29 (2d Cir.1985) and United States v. Dardi, 330 F.2d 316, 336 (2d Cir.1964), cert. denied, 379 U.S. 845 , 869, 85 S.Ct. 50 , 117, 13 L.Ed…
discussed Cited as authority (rule) United States v. Vanwort
2d Cir. · 1989 · confidence medium
It is clearly “ ‘improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.’ ” Payden v. United States (In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels)), 767 F.2d 26, 29 (2d Cir.1985) (quoting United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845 , 869, 85 S.Ct. 50 , 51, 117, 13 L.Ed.2d 50 , 73 (1964)).
discussed Cited as authority (rule) United States v. Aart Vanwort
2d Cir. · 1989 · confidence medium
The government never presented Rockett's testimony to the grand jury. 54 It is clearly " 'improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.' " Payden v. United States (In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels) ), 767 F.2d 26, 29 (2d Cir.1985) (quoting United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845 , 869, 85 S.Ct. 50 , 51, 117, 13 L.Ed.2d 50 , 73 (1964)).
cited Cited as authority (rule) Sybil Young and Roderick Young v. United States Department of Justice, Sybil Young and Roderick Young v. Chemical Bank, N.A.
2d Cir. · 1989 · confidence medium
Rep. at 35, reprinted in Code News at 9307; id. at 228 , reprinted in Code News at 9358; In re Grand Jury Subpoena Duces Tecum, 767 F.2d 26, 30 (2d Cir.1985).
discussed Cited as authority (rule) United States v. Long
S.D.N.Y. · 1988 · confidence medium
The law is well-settled that it is improper to use the grand jury “for the sole or dominating purpose of preparing an al *658 ready pending indictment for trial.” Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Siméls), 767 F.2d 26, 29 (2d Cir.1985); United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845 , 85 S.Ct. 50 , 13 L.Ed.2d 50 (1964).
discussed Cited as authority (rule) United States v. Eyerman
S.D.N.Y. · 1987 · confidence medium
Eyerman cannot make the requisite showing that the grand jury inquiries are “for the sole and dominating purpose of preparing an already pending [charge] for trial.” In re Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985, 767 F.2d 26, 29 (2d Cir.1985).
cited Cited as authority (rule) United States v. Nichols
D. Utah · 1987 · confidence medium
Payden, 767 F.2d 26, 29 (2d Cir.1985).
discussed Cited as authority (rule) United States v. Santoro
E.D.N.Y · 1986 · confidence medium
An inference of bad faith might be warranted where, for example, the timing of a grand jury subpoena is suspicious, see, e.g., United States v. Dardi, supra, 330 F.2d at 336 (witness called before the grand jury during trial); United States v. Kovaleski, 406 F.Supp. 267, 269-70 (E.D.Mich.1976) (witness called before grand jury after mistrial and prior to retrial), or when an inactive investigation is revived to question a particular witness, see In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985).
cited Cited as authority (rule) United States v. Payden
S.D.N.Y. · 1985 · confidence medium
Simels, Esq.), 767 F.2d 26, 29 (2d Cir.1985), a second superseding indictment was filed on February 25, 1985. 7 .
cited Cited "see" State v. Kniep
Ohio Ct. App. · 1993 · signal: see · confidence high
See, for example, Payden v. United States (C.A.2, 1985), 767 F.2d 26, 30 , United States v. Doss (C.A.6, 1977), 563 F.2d 265, 277 .
examined Cited "see" United States v. Raphael (3×)
S.D.N.Y. · 1992 · signal: see · confidence high
It is well-settled that “[i]t is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial.” United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845 , 85 S.Ct. 50 , 13 L.Ed.2d 50 (1964); see In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) [hereinafter.
discussed Cited "see" Commonwealth v. Melson (2×)
Pa. · 1989 · signal: see · confidence high
See Payden v. United States, 767 F.2d 26 (2nd Cir.1985); United States v. Moss, 756 F.2d 329 (4th Cir. 1985); see also Gershman, Prosecutorial Misconduct, § 3.2. (1987) (collecting cases).
discussed Cited "see" United States v. Peter Monsanto (2×)
2d Cir. · 1988 · signal: see · confidence high
See In re Grand Jury Subpoena Duces Tecum dated January 2, 1985 (Payden), 605 F.Supp. 839 , 849 n. 14 (S.D.N.Y.), rev’d on other grounds, 767 F.2d 26 (2d Cir.1985).
cited Cited "see" United States v. Morales-Martinez
D. Vt. · 1987 · signal: see · confidence high
See In Re Grand Jury Subpoena Dated January 2, 1985, 605 F.Supp. 839, 850-53 , rev’d on other grounds, 767 F.2d 26 (2d Cir.1985).
cited Cited "see" In Re Williams
S.D. Fla. · 1987 · signal: see · confidence high
See In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985); United States v. Kovaleski, 406 F.Supp. 267 (E.D.Mich.1976).
discussed Cited "see" Commonwealth v. Lang
pactcomplcheste · 1986 · signal: see · confidence high
See Grand Jury Subpoena Duces Tecum Dated Jan. 2, 1985, 767 F.2d 26 (2nd Cir., 1985); United States v. Doe, In the Matter of Ellsberg, 455 F. 2d 1270 (1st Cir., 1972); United States v. Fisher, 455 F. 2d 1101 (2nd Cir.,1972); United States v. Dardi, 330 F.2d 316, 336 (2nd Cir., 1964) cert. denied 379 U.S. 845 (1964).
discussed Cited "see, e.g." United States v. Comprehensive Drug Testing, Inc. (2×)
9th Cir. · 2008 · signal: see, e.g. · confidence medium
See, e.g., In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) (timing of subpoena, first issued after indictment, suggested that its purpose was to obtain trial material).
discussed Cited "see, e.g." United States v. Comprehensive Drug Testing, Inc.
9th Cir. · 2008 · signal: see, e.g. · confidence medium
See, e.g., In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir. 1985) (timing of subpoena, first issued after indictment, suggested that its purpose was to obtain trial material).
discussed Cited "see, e.g." United States v. Comprehensive Drug Testing, Inc. (2×)
9th Cir. · 2006 · signal: see, e.g. · confidence medium
See, e.g., In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) (timing of subpoena, first issued after indictment, suggested that its purpose was to obtain trial material).
discussed Cited "see, e.g." United States v. Comprehensive Drug Testing, Inc., Major League Baseball Players Association v. United States of America, in Re Search Warrants Executed on April 8, 2004 at Cdt, Inc., Seal 1 v. Seal 2
9th Cir. · 2006 · signal: see, e.g. · confidence medium
See, e.g., In Re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 29 (2d Cir.1985) (timing of subpoena, first issued after indictment, suggested that its purpose was to obtain trial material).
discussed Cited "see, e.g." In Re Grand Jury Proceedings. Appeal of Hilton Fernandez Diamante. In Re Grand Jury Proceedings. Appeal of Elias Samuel Castro Ramos (2×)
1st Cir. · 1987 · signal: see, e.g. · confidence medium
See, e.g., In re Grand Jury Subpoena Duces Tecum Dated January 2, 1985 (Simels), 767 F.2d 26, 30 (2d Cir.1985); United States v. Doe 455 F.2d at 1273 ; 8 Moore’s Federal Practice § 6.04[5] at 6-86-87 (2d ed. 1986).
discussed Cited "see, e.g." United States v. Esposito
S.D.N.Y. · 1986 · signal: see also · confidence low
See also in re Grand Jury Subpoena Dated January 2, 1985 (Siméis), 605 F.Supp. 839 , 851 n. 16 (S.D.N.Y.) (“The present rule in this circuit is that no preliminary showing need be made before a person may be subpoenaed to appear before a grand jury.”), rev’d on other grounds, 767 F.2d 26 (2d Cir.1985). 2 Since there is no burden on the government to establish a need for the defendant’s testimony, the court will not dismiss the indictment based upon the alleged lack of need for Esposito’s testimony.
Retrieving the full opinion text from the archive…
In Re GRAND JURY SUBPOENA DUCES TECUM DATED JANUARY 2, 1985 (Robert M. SIMELS, Esq.) Donald PAYDEN, Intervenor-Appellant,
v.
UNITED STATES of America, Appellee
1196, Docket 85-6066.
Court of Appeals for the Second Circuit.
Jun 27, 1985.
767 F.2d 26
1985 U.S. App. LEXIS 20127
Elkan Abramowitz, New York City (Obermaier, Morvillo & Abramowitz, P.C., Ronald C. Minkoff, Robert M. Siméis, Bennett Gershman, Madeleine M. Nichols, New York City, of counsel), for intervenor-appellant., John K. Carroll, Asst. U.S. Atty., S.D. N.Y., Rudolph W. Giuliani, U.S. Atty., S.D. N.Y., Rhea Kemble Brecher, Stuart E. Abrams, Asst. U.S. Attys., New York City, of counsel, for appellee., Richard Emery, New York Civil Liberties Union, New York City, amicus curiae., Herman Kaufman, New York Criminal Bar Association, New York City, amicus curiae., Merrill N. Rubin, The National Association of Criminal Defense Lawyers, New York City, Alan Silber, New York City, of counsel, amicus curiae., Gerald B. Lefcourt, Association of the Bar of the City of New York, New York, NY, Committee on Criminal Advocacy, John H. Doyle, III, Association of the Bar of the City of New York, New York, NY, Committee on Criminal Law, Mordecai Rosenfeld, New York County Lawyers Association Committee on Federal Courts, Sheldon H. Elsen, Association of the Bar of the City of New York, New York, N.Y., Committee on Federal Courts, New York City, amici curiae.
Feinberg, Friendly, Newman.
Cited by 73 opinions  |  Published
FEINBERG, Chief Judge:

Donald Payden, as intervenor, appeals from an order entered in the United States District Court for the Southern District of New York, David N. Edelstein, J., denying a motion to quash a grand jury subpoena served upon Robert M. Siméis, Esq., 605 F.Supp. 839. Mr. Siméis is Payden’s counsel for the purpose of defending charges brought against Payden in an indictment pending before Judge Edelstein. The subpoena calls for the production of documents relating to the fee arrangement between Payden and Siméis. For the reasons stated below, the district court’s order must be reversed and the subpoena quashed.

I. Prior Proceedings

Payden was arrested early in August 1984 pursuant to a complaint charging him with violations of the federal narcotics laws. See United States v. Payden, 759 F.2d 202, 203 (2d Cir.1985). Shortly thereafter, he was indicted on similar charges. From the time of his arrest, Payden was represented by Jay Goldberg, Esq. until September 19, when, because of a potential conflict of interest, Goldberg was replaced by Siméis. Before Goldberg’s withdrawal as counsel, we are told by the government, he remarked to the prosecutor in charge of the case that he had expected to receive a fee of $250,000 from Payden. [1] The grand jury apparently continued its inquiry during this period, and on October 10, it returned a superseding indictment that added a count charging Payden with organizing and engaging in a continuing criminal narcotics enterprise in violation of 21 U.S.C. § 848, a charge carrying a possible life sentence. The § 848 count sought the forfeiture of “all profits and proceeds of prof[*28] its obtained” by Payden from the operation of the enterprise.

A week later, the district court issued a subpoena to Siméis, on the government’s motion, commanding that he produce for use at trial (then scheduled for early December)

For the period January 1, 1984 to the present: any and all documents referring to, relating to, or reflecting any payment (or proposed payment) of fees (whether by cash, money order, real estate, or in any other way) by or on behalf of Donald Payden, with specific reference to (but not limited to) any retainer agreements, correspondence, bills, receipts, checks, photocopies of checks, or money orders, deposit tickets, ledger entries, as well as any documents pertaining to the transfer of property for legal services. *

This provoked opposition from both Siméis and the criminal defense bar. The president of the Association of the Bar of the City of New York expressed concern about “[t]he obvious impact of such subpoenas on the attorney/client relationship and the defendant’s right to effective assistance of counsel of his choice.” At Siméis’ request, the trial subpoena was adjourned pending reconsideration of its issuance by the United States Attorney. No response came from the government until January 3,1985, when Siméis received a grand jury subpoena seeking the very same materials described in the trial subpoena; only after the issuance of this grand jury subpoena was the trial subpoena withdrawn.

On January 19, Payden moved in the district court to intervene as of right and to quash the grand jury subpoena pursuant to Fed.Crim.Rule 17. In support of the motion, Payden and Siméis argued that the subpoena constituted an abuse of process because its “sole or dominant purpose” is to obtain evidence for use at trial and that the subpoena “impinges upon both defendant Payden’s right to have counsel of his choice, and to have that counsel fully and effectively prepare for trial.” They also suggested that any effort by the government to obtain the forfeiture of the fees paid Siméis would violate the Sixth Amendment. Several amici curiae submitted briefs in support of the motion. In response, the government contended that further grand jury investigation offered the promise of “additional forfeitures, additional charges against Payden, and additional defendants in a superseding indictment” and that, even if compliance with the subpoena would force Siméis to disqualify himself from representing Payden at trial — a prospect whose likelihood the government would not concede — Payden’s Sixth Amendment interest in counsel of his choice would be outweighed by the government’s need for relevant information in Siméis’ possession. While not avowing any present intention to seek the forfeiture of the fees paid Siméis, the government also sought to maintain that option.

The district court denied the motion to quash. Addressing Payden’s Sixth Amendment claims, the court first rejected as “unpersuasive” his argument that requiring Siméis to disclose fee information would impermissibly chill Payden’s “relationship of trust and confidence” with his attorney. The court then held there to be “no credible claim that the subpoena will prevent Payden’s counsel from going to trial without adequate preparation.” The court found that Payden would not be deprived of the effective assistance of counsel if Siméis either testified before the grand jury or provided the grand jury with a sworn statement of the information sought; the court went on to conclude that Payden’s right was not so absolute as to bar the government from choosing to call Siméis as a trial witness, thereby disqualifying him. Finally, the court rejected Pay-den’s claim that the prosecutor had abused the grand jury process; it held instead that the grand jury’s investigation “was still in progress at the time the subpoena was[*29] issued,” finding that the grand jury was still entitled to gather information “relevant to forfeiture” and to seek the identities of as yet unindicted co-conspirators.

This appeal followed. Because appellant-intervenor Payden seeks to quash a third-party subpoena on the ground that its enforcement will violate his constitutional rights, we may consider his claims without requiring his attorney to suffer a contempt citation. See In re Grand Jury Subpoena Served Upon John Doe, Esq., 759 F.2d 968, 971 n. 1 (2d Cir.1985); In re Katz, 623 F.2d 122, 124-25 (2d Cir.1980).

II. Discussion

The opinion of the district court and the arguments made in this court indicate the significance of the Sixth Amendment issues implicated by post-indictment grand jury subpoenas of defense counsel. However, the doctrine that courts should not unnecessarily decide broad constitutional issues is a hoary one. Since the panel is in agreement that this appeal can be disposed of on a narrower ground, we leave the resolution of the other questions before us for another day.

The law is settled in this circuit and elsewhere that “[i]t is improper to utilize a Grand Jury for the sole or dominating purpose of preparing an already pending indictment for trial,” United States v. Dardi, 330 F.2d 316, 336 (2d Cir.), cert. denied, 379 U.S. 845, 85 S.Ct. 50, 13 L.Ed.2d 50 (1964). See 8 J. Moore, Moore’s Federal Practice 116.04[5] at 6-86 (1984). The district court specifically found that the subpoena here was “within the scope of the Grand Jury’s investigatory power and does not constitute an abuse of the grand jury process.” But while this finding must be accorded considerable deference, we do not believe that our review must be limited to the “clearly erroneous” standard usually applied to judicial determinations of intent. But see United States v. Moss, 756 F.2d 329, 332 (4th Cir.1985). The question of a grand jury’s dominant purpose is not the typical question of historical fact nor even the typical inquiry as to the state of mind of a witness or a party. It is the application of a legal standard designed to ensure that the grand jury, a body operating peculiarly under court supervision, see In re Grand Jury Investigation of Cuisinarts, Inc., 665 F.2d 24, 31 (2d Cir.1981), cert. denied, 460 U.S. 1068, 103 S.Ct. 1520, 75 L.Ed.2d 945 (1983), is not misused by the prosecutor for trial preparation. In applying that standard, we therefore must give more scrutiny than would be appropriate under the “clearly erroneous” standard. Moreover, it is not at all clear that the district judge applied the correct legal standard in refusing to quash the subpoena, since the judge implied that the dominant purpose rule might be applicable only when the defendant was subpoenaed.

The timing of the subpoena casts significant light on its purposes. Siméis’ evidence was initially sought in October 1984 through a trial, not a grand jury, subpoena. In a letter defending the issuance of the trial subpoena, the government asserted:

The trial subpoena was served solely for evidentiary purposes. Proof of “substantial income or resources” from the drug enterprise is an element of a Section 848 offense. If Payden, who purportedly has relatively small legitimate means of support, had cash or other assets from which Mr. Siméis was paid a substantial fee (as we have reason to believe),“that fact would be plainly admissible to help meet the Government’s burden of proof on the element.

Yet when the trial subpoena was issued, we assume that the government knew that Siméis’ evidence might bear on matters relevant to the grand jury’s investigation, such as the identification of co-conspirators. Nevertheless, no grand jury subpoena was issued in October 1984. The adjournment of the trial subpoena and the substitution of a grand jury subpoena in January 1985 might have represented a laudable attempt to alleviate the concerns raised by Siméis and representatives of the organized bar, but we see no reason to[*30] believe that this concession signified a shift in the uses to which the government intended to put the information sought. In addition, since not a single witness was called to the grand jury between October 10, 1984 and January 29, 1985, claims that the grand jury desired Siméis’ evidence as part of an active investigation seem particularly weak. The government’s claim that the grand jury subpoena was not previously issued because the Assistant United States Attorney handling the grand jury presentation was otherwise occupied is insubstantial and plainly inadequate to rebut the defendant’s strong showing that the government’s dominant purpose, both in October 1984 and January 1985, was pretrial preparation.

We are well aware that the rule barring use of the grand jury to gather evidence to prepare for trial on an already pending indictment “is difficult, if not impossible, to enforce.” 8 J. Moore, supra, U 6.04[5] at 6-86. Even where we have found clear violations, we have often been reluctant to go beyond a simple rebuke. See United States v. Fahey, 510 F.2d 302, 306-07 (2d Cir.1974); United States v. Fisher, 455 F.2d 1101, 1104-05 (2d Cir.1972). But if the rule is to have any meaning, we believe that the subpoena here must be quashed as an abuse of the grand jury process. [2] In some circumstances, it may be appropriate to enforce the rule against using a grand jury subpoena predominantly for trial preparation simply by barring use at trial of evidence obtained pursuant to the subpoena, thereby leaving the grand jury’s access to the evidence unimpaired. See United States v. Dyer, 722 F.2d 174, 178-79 (5th Cir.1983); United States v. Doe (Application of Ellsberg), 455 F.2d 1270, 1276 (1st Cir.1972); see also United States v. Dardi, supra, 330 F.2d at 336. In the circumstances of this case, however, we conclude that quashing is the appropriate remedy.

We reverse the district court’s denial of the motion to quash.

1

. Goldberg denies that he made this statement.

*

This item is not meant to apply to attorney-client privileged correspondence or other writings which may refer, in passing, to the fact of the payment of fees. No such documents need be provided in response to this item calling for non-privileged, fee-related documents. A listing of any items as to which a claim of privilege is raised should be provided.

2

. Appellant also argues that the subpoena should be quashed because of "prosecutorial vindictiveness." This claim is without substance. The record does not support an inference that the instant subpoena was the product of prosecutorial retaliation.