Federal Circuits, First Circuit (July 05, 1983)
Docket number: 83-1304
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U.S. Code - Title 18: Crimes and Criminal Procedure - 18 USC 1341 - Sec. 1341. Frauds and swindles
U.S. Supreme Court - Polk County v. Dodson, 454 U.S. 312 (1981)
U.S. Court of Appeals for the First Circuit - Gary v. US (1st Cir. 2001)
U.S. Court of Appeals for the First Circuit - Cataldo v. Roberts, et al., (1st Cir. 1997)
U.S. Court of Appeals for the First Circuit - Cumming v. USA (1st Cir. 1995)
Philip Lauro, Springfield, Mass., for defendant, appellant.
C. Brian McDonald, Asst. U.S. Atty., Boston, Mass., with whom William F. Weld, U.S. Atty., Boston, Mass., was on brief, for appellee.Before CAMPBELL, Chief Judge, McGOWAN,* Senior Circuit Judge, and SELYA,** District Judge.SELYA, District Judge.Dr. Milton L. Kobrosky appeals from the district court's refusal, on two separate occasions, to permit him to withdraw his plea of guilty to twenty-four counts of mail fraud, conspiracy, and obstruction of justice. For the reasons set forth herein, we affirm the successive decisions of the district court refusing Kobrosky permission to withdraw his plea. We do so, however, without prejudice to the appellant's right to apply for an immediate hearing in the district court, pursuant to 28 U.S.C. 2255, on his claim of ineffective assistance of counsel.I.Appellant Kobrosky was a physician licensed to practice in the Commonwealth of Massachusetts. He maintained an office in the north end of Springfield, Massachusetts. On February 25, 1982, he was arrested and charged with violating 18 U.S.C. 1503, obstruction of a grand jury witness. The formal indictment, handed up on March 16, 1982 (the "March Indictment"), charged that Kobrosky had committed both the substantive offense itself, and, together with Howard J. Cotter (a disbarred attorney) and Robert C. McCarthy (a practicing lawyer), had conspired to violate section 1503, in violation of 18 U.S.C. 371. The charges arose from a federal grand jury investigation of possible mail fraud in connection with insurance claims purportedly prepared and submitted by the named defendants.Kobrosky was tried on this indictment, with his co-defendants, in August, 1982. Neither charge against Kobrosky reached a jury. The district court entered a judgment of acquittal on the conspiracy charge, pursuant to Fed.R.Crim.P. 29(a), and declared a mistrial as to the remaining charge.The past, however, proved but a pale pastiche of events to follow; on October 19, 1982, the grand jury returned a superseding indictment (the "October Indictment") against Kobrosky, Cotter, McCarthy, and a pharmacist, Leo Norkin. The October Indictment charged Kobrosky with two counts of obstruction of justice in violation of 18 U.S.C. 1503,1 with one count of conspiracy to commit mail fraud in violation of 18 U.S.C. 371, and with fifty-four substantive counts of mail fraud, in violation of 18 U.S.C. 1341 and 1342.On November 16, 1982, Kobrosky entered a plea of not guilty to all counts of the October Indictment. After several delays, a trial date was fixed, which was subsequently postponed to February 24, 1983. On that date, Kobrosky changed his plea to guilty to one count of conspiracy, twenty-one counts of mail fraud and the two counts of obstruction of justice. The government then dismissed the remaining counts against him. Co-defendant Cotter pled guilty on this date as well. Co-defendants McCarthy and Norkin entered their respective guilty pleas on the following day.Kobrosky's plea was accepted following a hearing held in accordance with Fed.R.Crim.P. 11(c). The district judge before whom the plea was entered was thoroughly familiar with material portions of the factual predicate as he had presided over the 1982 trial on the March Indictment. At the hearing, Kobrosky, in response to detailed questioning from the district judge, acknowledged that he was aware: (i) that he was waiving his constitutional right to a speedy and public trial by jury with the assistance of counsel; (ii) that the maximum agglomerate sentence which could be imposed under the counts to which he was pleading guilty (the "uncontested offenses") was one hundred twenty years imprisonment and fines aggregating $41,000.00; and (iii) that the court had not yet decided on the sentence to be imposed. Kobrosky affirmed that he had discussed all of the facts of the case with his attorney, Efrem A. Gordon; that no threats or inducements had been made to euchre a guilty plea; and that his capitulation was entirely free and voluntary. Finally, Kobrosky responded that he had sufficiently discussed both the case and his plea with Gordon, and that Gordon's representation had been satisfactory.Throughout the proceedings, Kobrosky made it clear that he was entering his guilty plea pursuant to North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970). In Alford, the Supreme Court recognized that "[a]n individual accused of crime may voluntarily, knowingly, and understandingly consent to the imposition of a prison sentence even if he is unwilling or unable to admit his participation in the acts constituting the crime." 400 U.S. at 37, 91 S.Ct. at 167. Significantly, the Supreme Court further stated, in language which seems tailor-made for the case at bar, that there was no "material difference between a plea that refuses to admit commission of the criminal act and a plea containing a protestation of innocence when, as in the present case, a defendant intelligently concludes that his interests require entry of a guilty plea and the record before the judge contains strong evidence of actual guilt." Id. The district court accepted the plea on this basis. Following a reading of the pertinent descriptions of the uncontested offenses as set forth in the October Indictment, the following exchange took place:THE COURT: Doctor Kobrosky, under the same process, do you understand the Alford plea?MILTON L. KOBROSKY: I understand the plea, sir.THE COURT: Are you pleading guilty under Alford because you feel the nature of the evidence offered by the Government would be overwhelming, so that a Jury would find you guilty?MR. GORDON: (Interposing) Your Honor, I would like to mention for the record that I have reviewed ... Alford with Doctor Kobrosky, and pointed out to him the sections of that decision which are most germane to his reason for pleading, and want to make it clear that he is doing so as he is permitted to, subject to the approval of the court, under Alford, making it clear to the court that he is unable to admit his participation in the acts constituting the crime and does not admit to the commission of the criminal acts and ... in making this plea of guilty, wishes to draw to the court's attention his protestation of innocence, but recognizes the practical alternative available.Tr. Feb. 24, 1982 at 44-45.The plea was accepted, and case was thereupon continued for preparation of a pre-sentence report and imposition of sentence.On March 14, 1983, Kobrosky filed his first motion for permission to withdraw the plea (the "March 14 motion"). He appended thereto his own affidavit and the affidavits of six secretaries who had worked for Kobrosky, Cotter and-or McCarthy. The grounds alleged in support of plea withdrawal were the recent discovery of supposedly exculpatory evidence and of evidence putatively corroborative of Kobrosky's theory of the case, namely, that his signature had been forged on many of the medical reports submitted with the insurance claims. The government vigorously disputed the March 14 motion, contending inter alia that the evidence presented with the motion had been known or available to Kobrosky, had due diligence been exercised, throughout the discovery period.The trial judge denied Kobrosky's motion on March 17, 1983, following oral argument. The court left no doubt but that it understood Kobrosky's Alford plea to be a plea of guilty, made for the purpose of asseverating his innocence:THE COURT: You're doing that not for the trial court, you're doing that really for the administrative body that may follow, whether or not the license in this case of the lawyers or a doctor may be in jeopardy.MR. GORDON: I would differ with that, your Honor.THE COURT: Well, I think it was pretty clear that was the reason for it, and your own statement, sir, is that you protest your innocence but you think the evidence would be of such weight that any Jury or finder of the fact would in fact find him guilty.Tr. March 17, 1983 at 10-11.After discussing the affidavits submitted with the March 14 motion, and reviewing the history of the litigation, the district court concluded:For this court to allow a plea of guilty to be withdrawn and to allow that particular defendant to thereafter go to trial, it must be of such serious nature and in the best interest of justice not only is the court's board discretion tested, but the aspect upon which this defendant's guilt is determined.You either allow a manifest injustice to go forward, if you see it, or just the opposite, you find that the plea itself was made voluntarily, knowingly and intelligently and make your decision accordingly.* * ** * *I have seen nothing here that makes me feel other than perhaps there might be some mitigation that perhaps could be argued by Doctor Kobrosky at the time of disposition, but certainly nothing to make me feel that there would be manifest injustice, as I say, if I did not allow this plea to stand on its own merits.The doctor is a professional man, he is an intelligent man, he understood clearly what this trial and case meant to him, and he knew what it might mean to his professional career if he pled under any conditions, and in spite of all that and with the aid and assistance of one of this area's noted criminal lawyers who had all the time necessary to give him proper advice, he did plead.* * ** * *... I am satisfied that the doctor understood, and ... I find no reason to make me feel that this plea should be withdrawn.I also do believe that the government had made a point ... namely, the government claims its prosecution has now been dismantled and if they decided to go forward against Kobrosky under those conditions they would have to start all over again locating witnesses and get their prosecution ready.Id. at 45-48.On March 24, 1983, the district court sentenced Kobrosky to three years imprisonment, with the first six months to be served, the balance suspended and Kobrosky to be placed on probation for three years. This sentence was imposed on each of the two obstruction of justice counts, with the identical sentences to be served concurrently. Kobrosky was also ordered to pay a penal fine of $5,000.00. For the remaining counts, the court ordered that the same sentences be imposed and served contemporaneously with each other and with the sentences imposed on the obstruction of justice counts. The court stayed execution of sentence until April 14, 1983 at 4:00 o'clock p.m.One week later, Kobrosky moved for an order staying the enforcement of the sentence of imprisonment pending appeal. The district court denied this motion by order dated April 6, 1983, stating:All the new evidence argued by the defense since the time of disposition was, in fact, evidence always available to the defendant during preparation of trial and prior to his return of the guilty plea. None of the evidence pertains to the obstruction of justice count in the indictment; much of it was not material to the mail fraud count because some documents were signed by the defendant as stipulated at an earlier trial and others were identified by handwriting experts.United States v. Kobrosky, Crim. No. 82-98-F, slip op. at 2 (D.Mass. April 6, 1983).The next day (April 7, 1983), Kobrosky filed two motions for the imposition of alternative sentencing in lieu of incarceration, such as an increased fine and-or compulsory community service. He also filed a motion for reconsideration of the March 14 motion, this time relying upon what he characterized as a "highly exculpatory" statement signed by Cotter. The district court denied all three motions on April 12, 1983, stating that it found nothing either new or exonerative in the motion for reconsideration. The court pointedly reminded Kobrosky that he had submitted nothing pertaining to his guilty plea on the two counts of obstruction of justice, and that it was on those two counts that he had, in the first instance, been sentenced. Id. at 1 (April 12, 1983).Kobrosky then submitted a second motion for stay of execution of sentence, pending a decision on his application to this court for a stay pending appeal. The district court, by order dated April 13, 1983, granted the stay until 12:00 o'clock noon, April 21, 1983. On April 19, 1983, this court denied Kobrosky's application for a stay of execution, but permitted him to request an expedited hearing of his appeal on the merits.Kobrosky, undaunted, retained new counsel. On April 20, 1983, he filed two further motions. He again moved for permission to withdraw his plea (the "April 20 motion"), alleging, for the first time, ineffective assistance of his trial counsel, Gordon. He filed a tandem motion for stay of execution of his sentence. The district court denied both motions on April 20, 1983, following oral argument. No evidence was taken as to claimed ineffectuality of counsel.2Kobrosky began serving his sentence on April 21, 1983. This appeal followed.Kobrosky's notice of appeal, filed March 29, 1983, states that he excepts to denial of his motions (i) for disclosure of relevant grand jury testimony, (ii) to dismiss on speedy trial and double jeopardy grounds, and (iii) for severance relief from prejudicial joinder, as well as the rejection of the March 14 motion. His brief on appeal contests only the denial of his March 14 and April 20 motions for plea withdrawal, however; and nothing else was argued in this tribunal. In accordance with our established practice, therefore, all other issues are deemed to have been waived. Niziolek v. Ashe, 694 F.2d 282, 284 (1st Cir.1982). Accord Red v. Blackburn, 636 F.2d 1027, 1028 (5th Cir.1981); Tedder v. F.M.C. Corp., 590 F.2d 115, 117 (5th Cir.1979).II.A defendant possesses no absolute right to withdraw a guilty plea even prior to the imposition of sentence, United States v. Vasques-Velasco, 471 F.2d 294 (9th Cir.), cert. denied,Try vLex for FREE for 3 days
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