ARTHUR J. TARNOW, Senior District Judge.
Alexander Aceval, ("Petitioner"), filed this petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254. The petition challenges his June 7, 2006, Wayne Circuit Court guilty plea conviction of possession with intent to deliver 1,000 or more grams of cocaine. MICH. COMP. LAWS § 333.7401(2)(a)(i). Petitioner was sentenced under the terms of his plea bargain to 10-to-15 years imprisonment. The petition raises two claims: (1) Petitioner was denied his Sixth Amendment right to counsel of choice when the trial court did not allow Petitioner to have a second retained attorney present a pretrial motion and otherwise represent Petitioner during trial proceedings; and (2) Petitioner's double jeopardy rights were violated when he was retried after the prosecutor used perjured testimony with the knowledge and consent of the trial judge at Petitioner's first trial. The Court will grant the petition on both grounds because the state courts unreasonably adjudicated the claims in light of clearly established Supreme Court law.
Petitioner's case — which would have been a fairly typical narcotics trafficking prosecution — gained notoriety when the police, prosecutor, and trial judge knowingly allowed witnesses to perjure themselves at Petitioner's first trial. Specifically, a confidential informant who stood to gain as much as $100,000 from the prosecution was allowed to lie about his involvement in the case. Police officers were also allowed to lie about their association with the informant.
As a result of their conduct, the assistant prosecuting attorney trying the case was prosecuted by the Michigan Attorney General and pled guilty to misconduct in office. She was sentenced to six months in jail, and was disbarred. Two police officers pled guilty to neglect of duty and received 90-day jail sentences. The trial judge retired and was reprimanded by the Michigan Judicial Tenure Commission.
This Court recites verbatim the relevant facts relied upon by the Michigan Court of Appeals, which are presumed correct on habeas review pursuant to 28 U.S.C. § 2254(e)(1). See Wagner v. Smith, 581 F.3d 410, 413 (6th Cir.2009):
People v. Aceval (On Remand), 282 Mich.App. 379, 382-385, 764 N.W.2d 285 (2009).
Following sentencing, Petitioner was twice appointed appellate counsel, but both attorneys withdrew before an appeal was filed. Finally, on June 29, 2007, attorney David Moffitt filed a delayed application for leave to appeal in the Michigan Court of Appeals, which raised the following claims:
The Michigan Court of Appeals denied Petitioner's delayed application "for lack of merit in the grounds presented." People v. Aceval, No. 279017 (Mich.Ct.App. October 5, 2007).
On remand, the Michigan Court of Appeals affirmed Petitioner's conviction in a published opinion. People v. Aceval (On Remand), 282 Mich.App. 379, 764 N.W.2d 285 (2009). Petitioner filed an application for leave to appeal in the Michigan Supreme Court, but it was initially denied by standard order. People v. Aceval, 485 Mich. 884, 772 N.W.2d 54 (2009). The Michigan Supreme Court subsequently granted Petitioner's motion for reconsideration, and scheduled the case for oral argument on whether the court should grant leave to appeal, stating:
People v. Aceval, 486 Mich. 954, 954, 782 N.W.2d 206 (2010).
After hearing argument, four Justices voted to deny leave. People v. Aceval, 488 Mich. 978, 790 N.W.2d 698 (2010). Justice Hathaway stated she would have granted leave. Id. Justice Stephen Markman stated he would have reversed the conviction and precluded re-prosecution. Id. Justice Maura Corrigan recused herself as she was a potential witness. Id.
Petitioner then filed the instant petition for habeas relief.
28 U.S.C. § 2254(d) provides:
28 U.S.C. § 2254(d).
"A state court's decision is `contrary to' ... clearly established law if it `applies a rule that contradicts the governing law set forth in [Supreme Court cases]' or if it `confronts a set of facts that are materially indistinguishable from a decision of [the Supreme] Court and nevertheless arrives at a result different from [this] precedent.'" Mitchell v. Esparza, 540 U.S. 12, 15-16, 124 S.Ct. 7, 157 L.Ed.2d 263 (2003) (per curiam) (quoting Williams v. Taylor, 529 U.S. 362, 405-06, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000)). "[T]he `unreasonable application' prong of the statute permits a federal habeas court to `grant the writ if the state court identifies the correct governing legal principle from [the Supreme] Court but unreasonably applies that principle to the facts' of petitioner's case." Wiggins v. Smith, 539 U.S. 510, 520, 123 S.Ct. 2527, 156 L.Ed.2d 471 (2003) (quoting Williams, 529 U.S. at 413,
Section 2254(d)(1) limits a federal habeas court's review to a determination of whether the state court's decision comports with clearly established federal law as determined by the Supreme Court at the time the state court renders its decision. See Williams, 529 U.S. at 412, 120 S.Ct. 1495. Section 2254(d) "does not require citation of [Supreme Court] cases — indeed, it does not even require awareness of [Supreme Court] cases, so long as neither the reasoning nor the result of the state-court decision contradicts them." Early v. Packer, 537 U.S. 3, 8, 123 S.Ct. 362, 154 L.Ed.2d 263 (2002). "[W]hile the principles of "clearly established law" are to be determined solely by resort to Supreme Court rulings, the decisions of lower federal courts may be instructive in assessing the reasonableness of a state court's resolution of an issue." Stewart v. Erwin, 503 F.3d 488, 493 (6th Cir.2007), citing Williams v. Bowersox, 340 F.3d 667, 671 (8th Cir.2003); Dickens v. Jones, 203 F.Supp.2d 354, 359 (E.D.Mich.2002).
Lastly, a federal habeas court must presume the correctness of state court factual determinations. See 28 U.S.C. § 2254(e)(1). A petitioner may rebut this presumption only with clear and convincing evidence. Warren v. Smith, 161 F.3d 358, 360-61 (6th Cir.1998).
Petitioner first claims that he was denied his counsel of choice when the trial court prohibited retained attorney David Moffitt from arguing a pretrial discovery motion and otherwise representing Petitioner because the court would not allow an attorney to appear for Petitioner who would not file a general appearance and was not in the case "all the way." Respondent asserts that the claim is procedurally defaulted, waived by Petitioner's guilty plea, and meritless. The Court finds that Petitioner is entitled to habeas relief on this claim.
After his first trial ended with a hung jury, Petitioner retained a new attorney, Warren Harris, to represent him during his second trial. Information then came to light regarding the confidential informant's false testimony during the first trial. Three weeks before the new trial was set to begin, Judge Waterstone granted attorney David Moffitt's request for a limited
Moffitt and Harris thereafter filed somewhat conflicting pretrial motions regarding the disclosure of agreements the prosecutor made with the confidential informant. When the attorneys arrived to argue their motions, Harris told the court that he was opposed to Moffitt's version of the motion, but he had received a letter from Petitioner directing him to withdraw his motion and to allow Moffitt to proceed with his version. Harris stated that Petitioner's letter directed him to consult with Moffitt during trial. Harris then moved to withdraw, stating that as a result of the disagreement about how to handle the issues raised by the pretrial motion there had been a breakdown in the attorney-client relationship. He was unwilling to proceed in the fashion requested by his client, and he suggested that Moffitt ought to takeover as sole counsel for Petitioner.
The trial court made no inquiry into Harris' statement that his relationship with Petitioner had broken down. Instead, after determining that Moffitt had only filed a limited appearance, Judge Massey-Jones said, "I can't deal with lawyers who aren't in the case all the way. So if he's just here for a limited matter he's going to have to go someplace else. I need a lawyer that I can hold and speak to in regards to everything." Tr. 5/19/06, 8. The court told Moffitt to go to the Court of Appeals because it was "not letting him say another word." Id. Moffitt attempted to object, but Judge Massey-Jones would not allow him to make a record:
Id., 9.
From that point through the guilty plea, Harris represented Petitioner in the trial court.
When the issue was subsequently raised in the Michigan Court of Appeals, the appellate court denied it as follows:
Aceval, 282 Mich.App. at 385-388, 764 N.W.2d 285.
First, Respondent's procedural default argument is not well taken. It is true that when a state court ignores a constitutional claim because it resolved the matter based on Petitioner's failure to comply with a state procedural rule, review of the claim can be barred from habeas review. Wainwright v. Sykes, 433 U.S. 72, 80, 84-87, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977). And it is true that the Michigan Court of Appeals found that Petitioner did not comply with its contemporaneous objection rule when it found that "defendant did not preserve this argument by asserting it in the trial court."
But a habeas court will not enforce a state's procedural bar where it is obvious that the state court's reliance on the procedural rule is in error. Hodge v. Haeberlin, 579 F.3d 627, 643 (6th Cir.2009); Hartman v. Bagley, 492 F.3d 347, 358 (6th Cir.2007); Mapes v. Coyle, 171 F.3d 408, 429 (6th Cir.1999). Petitioner's counsel did, in fact, contemporaneously object to the trial court's ruling that he was prohibited from arguing the pretrial motion. But the trial court stated it would "not let [him] say another word," and to "tell that to the Court of Appeals." When counsel asked to make a record, the trial court told him "no." Respondent can hardly argue in light of this record that Petitioner did not comply with state procedural law. Moffitt attempted to present a full objection, but the trial court prevented him from putting it on the record. Respondent asserts that Petitioner could have filed a motion for reconsideration or an interlocutory appeal, but failure to do those things is not what the court of appeals relied upon to find the
Alternatively, even if the claim were defaulted, Petitioner has shown cause to excuse his failure to make a full objection. "[C]ause for a procedural default must ordinarily turn on whether the prisoner can show that some objective factor external to the defense impeded counsel's efforts to comply with the State's procedural rule." Murray v. Carrier, 477 U.S. 478, 488, 106 S.Ct. 2639, 91 L.Ed.2d 397 (1986). The trial court's refusal to allow Petitioner's counsel to make a record as to his objection constitutes an "objective factor external to the defense" that prevented him from complying with the contemporaneous objection rule.
Next, regarding the waiver argument, it is true that an unconditional guilty plea typically waives non jurisdictional defects in the proceedings below. See Tollett v. Henderson, 411 U.S. 258, 267, 93 S.Ct. 1602, 36 L.Ed.2d 235 (1973). The Supreme Court held, however, that the erroneous deprivation of the right to counsel of choice in violation of the Sixth Amendment is a "structural error" in a criminal proceeding and is not subject to harmless error analysis. United States v. Gonzalez-Lopez, 548 U.S. 140, 150-52, 126 S.Ct. 2557, 165 L.Ed.2d 409 (2006). The Court stated that:
Id. at 150, 126 S.Ct. 2557.
Relying on Gonzalez-Lopez, the Fifth and Seventh Circuits have held that a defendant's guilty plea does not preclude him from challenging on appeal a denial of his right to counsel of choice. United States v. Smith, 618 F.3d 657, 663 (7th Cir.2010); United States v. Sanchez Guerrero, 546 F.3d 328, 332 (5th Cir.2008). As the Fifth Circuit stated, "it is obvious that the choice of counsel may seriously impact a defendant's decision to plead guilty." Id. "If a defendant is erroneously denied the counsel of his choice, it is a structural error in the trial that brings into question the voluntary and intelligent character of the guilty plea itself." Id.
Here, there is no way to determine how the case would have proceeded if the trial court had allowed Moffitt to appear for Petitioner. That is why the denial of counsel of choice is considered a structural error — it directly affects "the framework within which the trial proceeds, or indeed on whether it proceeds at all." Gonzalez-Lopez, 548 U.S. at 150, 126 S.Ct. 2557. It is unknowable whether Moffitt's participation would have resulted in Petitioner standing trial and not pleading guilty.
Respondent asserts that Petitioner had the counsel of his choice — Harris — at the guilty plea hearing, and that Petitioner only wanted Moffitt to represent him at the pre-trial motion hearing. But that ignores the fact, as represented by Harris at the hearing, that Petitioner wanted Harris to consult with Moffitt during trial. Petitioner sought to be represented by two retained attorneys throughout trial proceedings, not just Harris. The denial of counsel of choice did not end after the pre-trial
Under these circumstances, therefore, Petitioner's guilty plea does not amount to a waiver of his Sixth Amendment choice-of-counsel claim.
Turning to the merits of the claim, the Michigan Court of Appeals' conclusion that Petitioner had the counsel of his choice at the guilty plea simply does address Petitioner's argument that he desired to have Moffitt handle the pre-trial motion and have him consult with Harris during trial proceedings.
In Gonzalez-Lopez, the Supreme Court held that the Sixth Amendment provides a criminal defendant the right to "the counsel he believes to be best." 548 U.S. at 146, 126 S.Ct. 2557. The Court rejected the contention that, to show a constitutional violation from a denial of substitution of counsel, a criminal defendant must demonstrate that the original counsel "was ineffective within the meaning of Strickland v. Washington." Id. at 144-48, 126 S.Ct. 2557. Rather, because "[d]eprivation of the right is `complete' when the defendant is erroneously prevented from being represented by the lawyer he wants," "[w]here the right to be assisted by counsel of one's choice is wrongly denied, ... it is unnecessary to conduct an ineffectiveness or prejudice inquiry to establish a Sixth Amendment violation." Id. at 148, 126 S.Ct. 2557. Indeed, "deprivation of the right to counsel of choice ... unquestionably qualifies as structural error." Id. at 150, 126 S.Ct. 2557 (citation omitted). The right to choose counsel is not without limit, however. A trial court maintains "wide latitude in balancing the right to counsel of choice against the needs of fairness, and against the demands of its calendar." Id. at 152, 126 S.Ct. 2557 (citations omitted).
As indicated by Harris at the motion hearing, Petitioner desired to have Moffitt represent him at the pretrial motion hearing and have him consult with Harris throughout all other trial proceedings. Petitioner did not want Harris to argue the motion, and indeed, Harris ended up not presenting a motion at all but working out a deal with the prosecution regarding discovery. Thus, at a minimum, Petitioner was denied the attorney of his choosing at the pretrial hearing.
The only ground for disallowing the representation by Moffitt at the hearing by the trial court was the fact that Moffitt would not file a general appearance and handle the case "all the way." Nothing in clearly established Supreme Court law, however, limits the right to counsel of one's choice to a single attorney willing to handle the whole case. The Supreme Court stated a general rule in Gonzalez-Lopez that a criminal defendant who can afford it has the right to "the counsel he believes to be best." 548 U.S. at 146, 126 S.Ct. 2557. It did not limit the rule to a single lawyer handling an entire case or to multiple lawyers, so long as they are each willing to handle the entire case.
Now, had the trial court allowed Moffitt to argue the pretrial motion, it is true that the court would also have been forced to address Harris' motion to withdraw because he expressed his unwillingness to consult with Moffitt during further trial proceedings, which in turn would have raised the specter of an adjournment of the trial date. That course might have given rise to a possible reasonable basis for precluding Moffitt's participation under Gonzalez-Lopez because it might have affected the demands of the court's trial calendar. But that is not what happened. Instead, the trial court refused to allow counsel of his choosing argue a pretrial motion because that attorney was not in
Petitioner wanted to retain Moffitt to handle pretrial matters and to consult with Harris. Harris was uneasy about the arrangement and moved to withdraw. The situation required the trial court to probe into the dispute and resolve it in a manner that protected Petitioner's right to counsel of choice. As the Michigan Supreme Court itself once stated:
People v. Williams, 386 Mich. 565, 575-576, 194 N.W.2d 337 (1972).
Instead, of taking special care to protect Petitioner's right to counsel, the trial court intemperately gave short-shrift to the problem by finding that she would not allow an attorney to represent Petitioner if he would not file a general appearance and be willing to try the whole case. This basis for rejecting Petitioner's request to have Moffitt represent resulted in an unreasonable application of clearly established Supreme Court law.
The alternative analysis of the Michigan Court of Appeals also misses the mark. It found that Petitioner was not denied the right to counsel of choice because his retained counsel, Harris, represented him during the guilty plea. This reasoning does not address at all Petitioner's claim that he was denied his right to counsel of choice at the motion hearing itself. Instead, the court implicitly relied on a dubious principle that Petitioner was only entitled to an attorney willing to handle the entire case, or that he had no right to counsel of his choice at a pretrial hearing. No such distinction has ever been made by the Supreme Court, and Respondent does not offer any reason why such a distinction would be reasonable.
The appellate court went on to find that the trial court expressed concern regarding the trial calender, but that was not the trial court's basis for denying Petitioner's request to have Moffitt represent him at the motion hearing. It did so because he would not file a general appearance. In fact, Petitioner never requested an adjournment of the trial date. While allowing Moffitt to present the pretrial motion would have prompted Harris to press his motion to withdraw, the trial court might have denied the motion to withdraw, found some compromiser, or otherwise assuaged Harris's concerns and preserved Petitioner's right to counsel of choice and its trial calender. But the trial court was in a hurry to dismiss Moffitt out of hand and in doing so ignored Petitioner's right to counsel of choice.
In short, Petitioner had a right to have the retained attorney of his choosing argue the pretrial motion. And while that right was not absolute, neither the trial court
Although it would seem that the failure to allow Moffitt to argue the motion had no appreciable effect on the outcome of the proceedings, Petitioner need not demonstrate prejudice to demonstrate entitlement to relief. As stated, the denial of the right to counsel of choice is a structural error. Gonzalez-Lopez, 548 U.S. at 148, 126 S.Ct. 2557. Moreover, Petitioner desired to have Moffitt work with Harris during further trial court proceedings. This too is a structural error. In addition, Petitioner very well may have been prejudiced by the Court's refusal to allow Moffitt to participate in further trial court proceedings. It may very well have impacted his decision to plead guilty or stand trial.
Accordingly, The state court adjudication of Petitioner's claim resulted in an unreasonable application of Gonzalez-Lopez. Petitioner is therefore entitled to habeas relief based on this claim.
Petitioner's second claim asserts that the police, prosecutor, and trial judge's conduct at his first trial was so egregious that a retrial should have been barred. Respondent does not contest the fact that serious misconduct occurred at the first trial. Indeed, the Michigan Attorney General pursued criminal charges against the prosecutor, two detectives, and the trial judge. Respondent asserts, however, that Petitioner is not entitled to habeas on this claim because under clearly established Supreme Court law Petitioner was not entitled to have his retrial barred.
Michigan Supreme Court Justice Markman dissented from the court's order denying leave to appeal, and stated that he would have granted relief and barred reprosecution:
People v. Aceval, 488 Mich. 978, 978-979, 790 N.W.2d 698 (2010) (J. Markman dissenting).
This rationale is compelling, and is the only reasonable result given the dictates of clearly established Supreme Court law.
The Double Jeopardy Clause of the Fifth Amendment protects a defendant in a criminal proceeding against repeated prosecutions for the same offense. United States v. Dinitz, 424 U.S. 600, 605, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976). "As part of this protection against multiple prosecutions, the Double Jeopardy Clause affords a criminal defendant a `valued right to have his trial completed before the first jury impaneled to try him.'" Oregon v. Kennedy, 456 U.S. 667, 671-73, 102 S.Ct. 2083, 72 L.Ed.2d 416 (1982) (quoting Wade v. Hunter, 336 U.S. 684, 689, 69 S.Ct. 834, 93 L.Ed. 974 (1949)). The Double Jeopardy Clause also protects a defendant from "the anxiety, expense, and delay occasioned by multiple prosecutions." Lee v. United States, 432 U.S. 23, 32, 97 S.Ct. 2141, 53 L.Ed.2d 80 (1977). Jeopardy attaches when the original jury panel is seated and sworn. Crist v. Bretz, 437 U.S. 28, 38, 98 S.Ct. 2156, 57 L.Ed.2d 24 (1978). Ordinarily, once jeopardy attaches, a defendant may not be retried after a mistrial has been declared unless (1) there is a "manifest necessity" for a mistrial, or (2) the defendant either requests or consents to a mistrial. Dinitz, 424 U.S. at 606-07, 96 S.Ct. 1075.
Here, there was a mistrial declared after Petitioner's first trial because the jury could not reach a verdict. Petitioner consented to the declaration of a mistrial on these narrow grounds. It is important to note that when Petitioner consented to the mistrial, he did not know of the collusion between the trial judge and prosecutor regarding the confidential informant, and he did not request or consent to a mistrial because of that collusion.
The Double Jeopardy clause bars retrial when "bad faith conduct by judge or prosecutor threatens harassment of an accused ... so as to afford the prosecution a more favorable opportunity to convict the defendant." Dinitz, 424 U.S. at 611, 96 S.Ct. 1075. For such conduct to bar retrial, a prosecutor or judge must specifically act in "bad faith" or must intend to goad the defendant "into requesting a mistrial or to prejudice the defendant's prospects for an acquittal." Id. at 611-12, 96 S.Ct. 1075; see also, United States v. Jorn, 400 U.S. 470, 485, 91 S.Ct. 547, 27 L.Ed.2d 543 (1971). "[T]he strictest scrutiny is appropriate when ... there is reason to believe that the prosecutor is using the superior resources of the State to harass or to achieve a tactical advantage over the accused." Arizona v. Washington, 434 U.S. 497, 508, 98 S.Ct. 824, 54 L.Ed.2d 717 (1978). Retrying a defendant after such bad faith conduct implicates a defendant's "valued right to have his trial completed by a particular tribunal," Wade v. Hunter, 336 U.S. 684, 689, 69 S.Ct. 834, 93 L.Ed. 974 (1949).
There can be no reasonable debate in this case but that the prosecutor and trial judge acted in bad faith by hiding from Petitioner the fact that the key prosecution witness was in fact a confidential informant who according to Justice Markman stood to profit by up to $100,000 from the prosecution. Indeed, Respondent can hardly contest this fact because the Michigan Attorney General prosecuted the prosecutor and trial judge for their conduct in Petitioner's case.
There are no set of circumstances in which Petitioner's first trial could have
It is equally obvious that the bad faith conduct prejudiced Petitioner's prospects for an acquittal. The jury was unable to reach a verdict. Had they known the enormous financial incentive that Povish — a drug dealer who was no paragon of virtue to begin with — had to testify against Petitioner, it is very likely Petitioner would have been acquitted. Retrial is barred where the judge or prosecutor knowingly engages in misconduct with the intention of prejudicing the defendant's chances for acquittal and there is, in fact, serious prejudice. See United States v. Zozlio, 617 F.2d 314, 315 (1st Cir.1980); United States v. Opager, 616 F.2d 231, 233-34 (5th Cir.1980); Drayton v. Hayes, 589 F.2d 117, 121 (2nd Cir.1979); United States v. Martin, 561 F.2d 135, 138-40 (8th Cir.1977).
Respondent asserts that in Oregon v. Kennedy, 456 U.S. 667, 672, 102 S.Ct. 2083, 72 L.Ed.2d 416 (1982), the Supreme Court held that where a mistrial is declared at the defendant's own request, double jeopardy does not bar retrial, except in the "narrow" circumstance in which the prosecutor's actions giving rise to the motion for mistrial were done in order to "goad" the defendant into requesting a mistrial. Id. at 673, 102 S.Ct. 2083. Here, the prosecutor did not intend to goad Petitioner into moving for a mistrial. The mistrial was caused by the jury's inability to reach a verdict. Petitioner did not learn of the collusion between the trial judge and prosecutor until after that time. Kennedy does not apply to this case because Petitioner never moved for a mistrial based on the prosecutor's misconduct. See United States v. Wallach, 979 F.2d 912, 915 (2d Cir.1992) ("We have some doubt that the Supreme Court expected its carefully worded statement of the rule in Kennedy to be extended beyond the context of a trial that ends with the granting of a defendant's motion for a mistrial."). In the absence of a motion for a mistrial by the defendant, such as the case here, the general rule announced in Dinitz applies.
The bottom line here is that the prosecutor and trial judge conducted a sham trial that tilted the scales of justice strongly in favor of the prosecution, and even with that advantage the jury — the "particular tribunal" chosen by Petitioner to decide his case — was unable to convict. Under Dinitz, such extraordinary bad faith prohibited Petitioner's retrial before a different tribunal. The first sham trial served no purpose other than to deplete Petitioner's resources and deprive him of his right to be tried before a particular tribunal in a single proceeding. The contrary decision by the state courts constituted an unreasonably application of clearly established Supreme Court law.
Based on the foregoing analysis, the Court concludes that Petitioner's claims were unreasonably decided by the state courts in light of clearly established Supreme Court law. Accordingly, the Court