Federal Circuits, 2nd Cir. (June 26, 1973)
Docket number: 1087
Permanent Link:
http://vlex.com/vid/huss-sheldon-seigel-jeffrey-smilow-37633056
Id. vLex: VLEX-37633056
Click here to download this article in graphic format (Acrobat Reader)

U.S. Supreme Court - Kastigar v. United States, 406 U.S. 441 (1972)
U.S. Supreme Court - Gelbard v. United States, 408 U.S. 41 (1972)
U.S. Supreme Court - Harris v. New York, 401 U.S. 222 (1971)
U.S. Supreme Court - Alderman v. United States, 394 U.S. 165 (1967)
Alan M. Dershowitz, Cambridge, Mass. (Harvey A. Silverglate, Norman S. Zalkind, Zalkind & Silverglate, Jeanne Baker, Boston, Mass., on the brief), for appellant Seigel.
Arthur H. Miller, Brooklyn, N. Y., for appellant Huss.Robert P. Leighton, New York City, for appellant Smilow.Henry Putzel, III, Asst. U. S. Atty. (Paul J. Curran, U. S. Atty., S. D. N. Y. and Joseph Jaffe, Asst. U. S. Atty., on the brief), for appellee.Before KAUFMAN, Chief Judge, SMITH, Circuit Judge, and BRYAN*, District Judge.IRVING R. KAUFMAN, Chief Judge:On January 26, 1972, a bomb exploded in the New York City offices of Columbia Artists Management, Inc., and in the offices of the internationally renowned impresario Sol Hurok, also in New York City. One life was lost, that of Iris Kones, as a result of these senseless and cowardly acts of violence. On June 19, 1972, Stuart Cohen, Sheldon Davis and Sheldon Seigel were indicted in the Southern District of New York for the bombing and charged with violations of 18 U.S.C. Secs . 844(i) and 2.1 A superseding indictment, filed on July 3 and sealed until December 8, 1972, charged the original three defendants and a fourth, Jerome Zellerkraut, with the two counts noted above, and, in addition with conspiracy, and the unlawful possession of explosive devices, 26 U.S.C. Secs . 5845(a) (8) and (f), 5861(d) and 5871.On February 2, 1973, three days before the expected commencement of the trial in the district court, the government moved to sever Sheldon Seigel from the trial on the grounds that Seigel was a government informer who had provided information leading to the indictments, that he had testified before the grand jury, and that he would be called as a witness at trial, under a grant of immunity. Seigel, through his counsel, moved for an order preventing the government from calling him as a witness on several, at once independent and connected, grounds-some novel, all complex. In essence, Seigel objected to any questions the government intended to ask him which were based on information gleaned from illegal electronic surveillance and violations of his constitutional rights. Pursuant to 18 U.S.C. Sec . 3504(a)(1),2 the government affirmed the existence of illegal F.B.I. wiretapping involving Seigel. Accordingly, in response to Seigel's motion, the district judge commenced a taint hearing to determine the validity of Seigel's claims.3 On April 25, 1973, Judge Bauman denied the motion for a protective order and filed a careful, thorough and knowledgeable opinion in support of his decision.Trial commenced on May 30 and, on the following day, Sheldon Seigel was called as the government's first witness. Apart from stating his name and address, Seigel refused to answer questions posed to him by the Assistant United States Attorney, and persisted in his refusal even after being ordered to answer by the court. Seigel was held in civil contempt, pursuant to 28 U.S.C. Sec . 1826(a),4 and was released on bail. After the following witness, Richard Huss, was called, but before a question was put to him, Judge Bauman adjourned the trial for one week, during which time the government was directed to determine whether the Central Intelligence Agency had conducted electronic surveillance of several persons involved in the case and to so advise the court. On June 8, 1973, the government denied the existence of such electronic surveillance as to Seigel and all others involved in this case. It then agreed to vacate the outstanding order of civil contempt against Seigel, recalled him to the stand, conferred immunity upon him, and once again questioned him with respect to the Hurok bombing. Seigel refused to answer, in defiance of an order to do so by the trial judge, and was again held in civil contempt. Release on bail followed once more. Richard Huss and Jeffrey Smilow were then called to testify as witnesses and, despite grants of use-immunity, they too refused to testify. They were held in civil contempt and committed to a federal detention center for a period not to exceed the duration of the court proceedings, but in no event in excess of eighteen months, or until they themselves decided to unlock the jailhouse door by agreeing to testify. 28 U.S.C. Sec . 1826(a). Thus far, they have not chosen to do so.These three judgments of civil contempt, dated June 8, 1973, form the basis of this expedited appeal. By statute, an appeal from an order of confinement for civil contempt must be disposed of as soon as practicable, and in no event later than thirty days from the filing of such appeal, 28 U.S.C. Sec . 1826(b). The need for a speedy decision in this case is especially compelling because the trial, with the jury empaneled, currently stands in adjournment. The government has stated that its entire prosecution depends upon the testimony of these three reluctant witnesses-Seigel, Huss and Smilow-and that without their assistance, compelled or otherwise, the prosecution will be dismissed. The court, mindful of its ultimate responsibility, has expedited its decision by devoting its attention almost exclusively to this appeal.I.A few prefatory remarks on the posture of the case before us are appropriate. The legal issues involved in this appeal are set in a context that unfortunately highlights the seamiest aspects of the criminal law and its enforcement. Although the facts with respect to the criminal charge currently pending before Judge Bauman have as yet not been determined, the indictment concerns the commission of crimes which already have taken a grievous toll-the loss of a human life. The hearings conducted by the able district judge revealed the existence of two sets of F.B.I. wiretaps, which the government concedes lack any legal authorization. Judge Bauman also concluded that an automobile search involved in this case, conducted by New York City police, violated the Fourth Amendment. It was the court's judgment that the government's version of what had actually occurred in connection with the car search, "strain[ed] common sense" and was "patently unbelievable." The case also involves the use of an informer, always unpleasant business despite the conceded importance of informers for the administration of criminal justice. Given this context it should hardly be surprising to learn that the informer, Sheldon Seigel, adopted some of the tactics of those with whom he associated and himself surreptitiously recorded many conversations with a New York City detective to whom he reported, and on at least one occasion, even with an Assistant United States Attorney. Thus in the midst of so much deceit and lawlessness, we are called upon to render a decision that serves the cause of justice. When, under such circumstances, the court, as an engine in the pursuit of truth, is compelled to decide which of the two competing parties is more unbelievable, that engine is put under extraordinary strains in its effort to keep its commitment to the rule of law. In such instances, courts quite understandably would prefer to avoid any choice at all. Since this option is foreclosed to us, we proceed to a resolution of the issues presented.II.It is appropriate that Sheldon Seigel, the focus of so much investigative attention, and the principal subject of inquiry during the hearings conducted by the district judge, should occupy centerstage in this opinion. We shall discuss and decide his claims first and then proceed to a consideration of the Huss and Smilow appeals.28 U.S.C. Sec . 1826(a), the statutory provision under which Seigel was held in civil contempt, authorizes such contempt when a witness refuses, inter alia, to comply with an order of a court to testify, "without just cause." It is Seigel's assertion that he had ample just cause to withhold his testimony. Briefly stated, Seigel's view is that questions which the government proposed to ask him in connection with the Hurok bombing derive from unlawful government electronic surveillance involving interception of his conversations at the Brooklyn offices of the Jewish Defense League and at his home. Furthermore, Seigel asserts that in connection with information discovered by means of illegal electronic surveillance, the government was enabled to elicit facts from him during his "informer" period, because of a massive invasion of his constitutional rights. In sum, his contention is that, in one way or another, he was coerced or pressured into cooperation with government officials, that such pressure stemmed directly from illegal wiretapping and ancillary constitutional violations, and that all prosecution questions asked at trial are tainted and, therefore, subject to suppression. With this summary in mind,5 we proceed to a discussion of the facts which are relevant to our decision.In October, 1970, acting solely under a direction of then Attorney General John Mitchell, the F.B.I. installed a so-called domestic security wiretap on the New York office of the Jewish Defense League. The surveillance, conducted without judicial sanction, continued until July 2, 1971. The government concedes that these taps were unlawful. It tells us that the tapes of this surveillance were destroyed, a fact not without significance, but that summary logs of the tap disclosed that Seigel had been overheard on six occasions.On April 22, 1971, while the F.B.I.'s JDL tap was in operation, a bomb exploded at the offices of the Amtorg Trading Corporation, the home of the Russian Trade Mission in New York. A New York City Police Department investigation of this bombing, which we shall discuss at greater length in a subsequent portion of the opinion, led ultimately to physical surveillance of Sheldon Seigel, commencing on June 3, 1971, which in turn resulted in Seigel's arrest the following day, in a Manhattan parking garage. At that time, Seigel's car was searched-illegally as the trial judge concluded. The search disclosed fragments of wire, several pieces of plastic, a can of mace, a small film capsule filled with gunpowder, a cardboard tube with an attached fuse and ten empty alarm clock boxes. Seigel's automobile was impounded, and on June 29, 1971, he was indicted, on state charges, for possession of explosives.The district judge's opinion relates the following subsequent events:Seigel repeatedly tried to obtain the return of his car, without success. During these efforts he came in contact with a number of law enforcement officials, among whom were: Melvin Glass, then an Assistant District Attorney for New York County, now a judge of the New York City Criminal Court; Thomas Pattison, an Assistant United States Attorney for the Eastern District of New York; Michael LaPerch of the Alcohol and Firearm Division of the U. S. Treasury Department; and Detectives Santo Parola and Joseph Gibney of the New York City Police Department. All of these men, especially Parola, who was to develop a close and continuing relationship with Seigel, attempted to induce him to cooperate with various law enforcement authorities in their investigation of the activities of the Jewish Defense League, particularly with reference to the bombing of the offices of the Amtorg Trading Corporation on April 22, 1971.These discussions between Seigel and government officials were conducted in the absence of his attorney, Harvey Michaelman, Esq., one of the many attorneys who had volunteered their services to the JDL, who had been retained by Seigel shortly after his arrest on June 4. On approximately August 9, 1971, Detective Parola arranged for the return of Seigel's car. Shortly thereafter, Seigel admitted that he had participated in the Amtorg bombing and agreed to cooperate in the official investigation of JDL activities. The circumstances leading to this agreement merit some discussion.During his direct testimony at the taint hearing, Detective Parola stated that he had become familiar with the type of explosive device used in the Amtorg bombing when one such bomb, which did not explode, was dismantled by a member of the police department's bomb unit. Analysis disclosed that wire seized from Seigel's car and wire used in making the Amtorg bomb were similar. Parola testified-and we note that this testimony was given prior to a finding by the district judge as to the illegality of the car search-that he, and his partner Detective Gibney, met with Seigel some time during the summer of 1971. In Parola's words: "We drove up and we did speak to him in the car at that time and we explained to him that we did find the wire in his car, and the gloves, and we did find-we did trace component parts like the micronta timer that was bought in the store in his neighborhood, and we related certain facts to thim [sic] that we did have available that led us to believe that he was one of the people who made that bomb." In describing Seigel's response, Parola said: "At that time he just sort of looked at us in amazement, and he said, 'How can I believe that this is true?' And we said, 'You can take our word for it, we do have it, you know it was in the car, you saw it was in the car."' Parola related a subsequent conversation which apparently occurred after the return of Seigel's car, in which he said: ". . . we referred to the fact that we would like him to give us a hand on the Amtorg case after telling him about the fact that we did remove the wire, and we went into that phase of our investigation, that most of the wire and the gloves, and whatever we found in his car pointed to him as being one of the perpetrators."On September 8, 1971, approximately one month after Seigel's agreement to cooperate with Parola, he was indicted by a federal grand jury in the Eastern District of New York for the Amtorg bombing. His "cover" was thus protected. Although Assistant United States Attorney Pattison, who was in charge of the prosecution, had stated in a note, given by him to Parola and then by him to Seigel, that Seigel would be given immunity in the Amtorg case, it is unclear whether Seigel knew that he could not be prosecuted under any circumstances, or believed only that he would not be prosecuted if he continued to cooperate with government officers. On one occasion Seigel indicated to Pattison that he wished to discuss his cooperation and the question of immunity with his attorney, Michaelman, but Pattison advised against it. Parola, by his own testimony, stated that he repeatedly advised Seigel not to discuss the question with Michaelman, or at least to get a lawyer who would be independent of the JDL. In any event, naming Seigel as a defendant in the Amtorg case prevented immediate disclosure of his informer status, a situation which served both the government's and Seigel's interests.Thereafter, Seigel continued to speak frequently with Parola and Gibney, and to provide information concerning planned JDL activities against Soviet officials and offices. On December 15, 1971, however, without Seigel's knowledge, the government initiated warrantless electronic surveillance on his home telephone, and the F.B.I. overheard many of his conversations. The surveillance, whose illegality is conceded by the government, was maintained through March 1, 1972. The dates, of course, are highly significant, at least in Seigel's eyes, inasmuch as the span embraces the date of the Hurok bombing, January 26, 1972. The tapes of these interceptions were also destroyed by the government. After the Hurok incident, Parola attempted to elicit information from Seigel regarding JDL involvement in the affair. It was not until May 7, 1972, however, that Seigel disclosed to Parola the names of the participants in the Hurok and Columbia bombings including his own. It is but another indication of the furtive and devious character of those who engage in these diabolical activities that Seigel himself had participated in the Hurok and Columbia bombings, even while serving as a vital government informer.III.At the threshold, we must consider whether Seigel should not have been permitted to raise the issues of illegal electronic surveillance and unlawful invasion of his constitutional rights, as a defense of "just cause" in refusing to answer questions during a criminal proceeding.We need not tarry over the question whether Seigel has standing to object to questions on the basis of wiretap taint, despite his posture as a witness and not a defendant in a criminal prosecution. The government concedes that such standing is conferred by statute, see 18 U.S.C. Secs . 2510(11), 2515 and 2518(10), and inasmuch as the Supreme Court reached the same conclusion with respect to the more difficult question of a grand jury witness's standing, see Gelbard v. United States, 408 U.S. 41, 92 S.Ct. 2357, 33 L.Ed.2d 179 (1972), we believe the rule applies a fortiori to this case.The district judge also concluded that Seigel had standing to object to questions based on violations of his constitutional rights, relying upon a recent decision of the Court of Appeals for the Sixth Circuit in United States v. Calandra, 465 F.2d 1218 (1972), cert. granted 410 U.S. 925, 93 S.Ct. 1357, 35 L.Ed.2d 585 (February 21, 1973), which extended the rationale of Gelbard to immunized grand jury witnesses who raise Fourth Amendment-other than wiretap -claims as a justification of their refusal to testify. Although in Gelbard the Supreme Court left open the question decided in Calandra, see 408 U.S. 41, 45, n.5, 92 S.Ct. 2357, 33 L.Ed.2d 179, the district judge concluded that "[to] rule otherwise would permit the government, when it has obtained evidence illegally, to confer immunity on a defendant and then circumvent the effect of the exclusionary rule by prosecuting him for contempt." The government contends that Calandra was wrongly decided. We need not decide the question, however, since the issue here is not so much one of standing to raise independent constitutional claims-as in Calandra-but rather the evidentiary relevance of the alleged constitutional violations to the issue of wiretap taint. We can hardly say that the district judge abused his discretion in expanding the scope of the hearing. The problem before Judge Bauman, as he viewed it, involved analysis of a chain of evidence. In his words:The causal linkage [between illegal official activities] he [Seigel] perceives may be summarized as follows. The government first focused upon Seigel as a suspect in the Amtorg bombing because of conversations overheard on an unlawful wiretap installed at J.D. L. headquarters early in 1971. This knowledge, gleaned through wiretaps, enabled the government immediately to identify Seigel as the purchaser of a quantity of wire and batteries at a Brooklyn store called the Radio Shack on June 3, 1971. Thus Seigel was placed under surveillance on June 4, 1971 and ultimately arrested at the Meyers Brothers garage on that same day. At the garage Seigel's car was subjected to an illegal search, the fruits of which have already been described. This arrest, in turn, placed Seigel at the mercies of various government officials who further violated his constitutional rights by eliciting information from him in the absence of counsel, and who, indeed, actively discouraged Seigel from disclosing any of his meetings with these officials to his lawyer. In addition, the information was allegedly obtained from Seigel on the express understanding that he would never be required to testify, either in the Amtorg or Hurok cases. Thus Seigel argues that each link in the chain that led to his disclosures contains its own illegalities and is also tainted by the original illegality of the wiretap. I therefore propose to examine each "link" in turn.Although Seigel contended that each "link" could, in itself constitute sufficient grounds to justify his refusal to testify, the links were also presented together as a continuous chain of wiretap taint. We conclude, therefore, that the district judge did not exceed his authority by considering the ancillary constitutional claims in the context of a wiretap taint hearing.6 Accordingly, we reach the merits.IV.After reviewing the evidence, the district judge concluded that (a), Seigel's identity and participation in the Amtorg bombing were disclosed by an independent source and not by the illegal wiretap on JDL offices, and that Seigel's involvement in the Hurok bombing was disclosed by his statement to Parola and Gibney on May 7, 1972, and not by illegal wiretaps placed on Seigel's home telephone between December 15, 1971 and March 1, 1972; (b), the search of Seigel's automobile on June 4, 1971, which disclosed evidence linking Seigel to the Amtorg bombing was a volation of the Fourth Amendment;7 (c), no unqualified promise was made to Seigel that he would not be required to testify in the Hurok case since he received only a conditional assurance that the case would be "built around him" if possible; (d), no statements were deliberately elicited by surreptitious means from Seigel in the absence of counsel and, therefore, no violation of the right to counsel had been shown under Massiah v. United States, 377 U.S. 201, 84 S.Ct. 1199, 12 L.Ed.2d 246 (1964). Accordingly, the judge concluded that in the absence of any taint, Seigel lacked just cause to refuse to answer the government's questions at trial.We conclude, however, that under the extraordinary circumstances that prevailed in this case, the government failed to sustain its burden of proving that information in its possession which formed the basis of its questioning of Seigel at the Hurok trial was untainted by unlawful electronic surveillance.Our principal focus is the government wiretap on the offices of the Jewish Defense League in Brooklyn, maintained from October 1970 to July 2, 1971, a period that spans the Amtorg bombing, Seigel's arrest, on June 4, 1971, and the search of his car on the same day. In view of Detective Parola's testimony with respect to the use he made of the fruits of that search, and to which we have already referred in part III of this opinion, and Judge Bauman's conclusion that the search was unlawful, the source of Parola's knowledge of Seigel's identity becomes a question of substantial importance. In Gelbard v. United States, supra, in tracing the legislative history of Title III of the Omnibus Crime Control and Safe Streets Act of 1968 [hereinafter "the wiretap statute"] the Court noted that the protection of the statute extended even to the discovery of the identity of an individual through illegal electronic surveillance:Congressional concern with the protection of the privacy of communications is evident . . . in the specification of what is to be protected. "The proposed legislation is intended to protect the privacy of the communication itself . . . ." S.Rep.No. 1097, 90th Cong., 2d Sess., 90 (1968). As defined in Title III, "'contents,' when used with respect to any wire or oral communication, includes any information concerning the identity of the parties to such communication or the existence, substance, purport or meaning of that communication." 18 U.S.C. Sec . 2510(8). The definition thus "include[s] all aspects of the communication itself. No aspect, including the identity of the parties . . . is excluded. The privacy of the communication to be protected is intended to be comprehensive." S.Rep.No.1097, supra, at 91.408 U.S. at 41, n.10, 92 S.Ct. at 2362 (emphasis added).Moreover, years prior to enactment of the statute, this Circuit adopted the view that the government may not rely on the testimony of a witness that is based on the discovery of that witness's identity in the course of unlawful electronic surveillance, United States v. Tane, 329 F.2d 848 (2 Cir. 1964). Of course, the question is "'whether, granting establishment of the primary illegality, the evidence to which instant objection is made has been come at by exploitation of that illegality or instead by means sufficiently distinguishable to be purged of the primary taint.' Maguire, Evidence of Guilt, 221 (1959)." Wong Sun v. United States, 371 U.S. 471, 487-488, 83 S.Ct. 407, 417, 9 L.Ed.2d 441 (1963). Tane is consistent with that test, as noted in decisions of this Court in United States v. Cole,Try vLex for FREE for 3 days
Access legal information from United States including:
Try vLex without any commitment for 3 days and see why you need it.
3
days of Free Access