State v. Figueroa
State v. Figueroa
Opinion of the Court
The question presented in this appeal is whether the defendant, Yadeil Figueroa, was deprived of his constitutional right to conflict free representation when his attorney’s allegedly improper conduct became a significant issue in his trial.
The following facts and procedural history are relevant to our resolution of this case. At about 1 a.m. on June 20, 2009, five armed individuals—four men and a woman—broke into 57 East Clay Street, a three-family house in Waterbury. The group forcibly entered the third-floor apartment, where two residents, Mario Agi-lar and Fredi Barrera, were home. Agilar and Barrera escaped from the apartment by jumping out a window and onto the roof of the second-floor porch. They then broke a window to enter their second-floor neighbors’ apartment, from where they called 911. When the police arrived, Agilar and Barrera were on the roof, signaling to the third floor, where the perpetrators were ransacking their apartment.
The suspects scattered when the police arrived. While the officers fanned out in pursuit, the defendant, an unlicensed driver, approached 57 East Clay Street in an unregistered white Buick. Noticing the police cruisers on the scene, he pulled over and put his car in
Officer Jose Diaz of the Waterbury police department grasped the driver’s side door to prevent the defendant’s car from fleeing the scene. After a brief struggle, the defendant stopped the car and he and Tommy were arrested.
The defendant was charged with conspiracy to commit home invasion in violation of General Statutes §§ 53a-48 and 53a-100aa (a) (2); aiding and abetting home invasion in violation of General Statutes §§ 53a-8 and 53a-100aa (a) (2); and the lesser included offenses of conspiracy to commit burglary in the first degree in violation of General Statutes §§ 53a-48 and 53a-101 (a), and aiding and abetting burglary in the first degree in violation of §§ 53a-8 and 53a-101 (a) (1) and (3).
During the defendant’s trial, the parties introduced evidence as to what had transpired at a July 9, 2010 meeting at the Manson Youth Correctional Institution in Cheshire (Manson meeting), where the defendant and Tommy were incarcerated. The meeting had been arranged by the defendant’s attorney, Tina D’Amato. Present at the meeting were the defendant, Tommy, D’Amato, an intern of D’Amato’s, and an interpreter. Tommy recounted his version of what had happened on the night of June- 20, 2009, and he provided a written statement to D’Amato. Tommy’s attorney was not present.
An on-the-record sidebar conference ensued. The court stated: “I’m going to be very cautious in allowing in evidence as to Miss D’Amato’s role in this. I see no need for it, whatsoever. There’s a risk when we start down that road that Miss D’Amato needs to become a witness, and I see no—and then we know what happens. So, I think it’s a road that should not be traveled on. So, Miss Serafim [the prosecutor], unless this issue comes up in a way that—unless this issue comes up inadvertently, I see no need to go down it.” The prosecutor responded that her position was that D’Amato had played a role “in the intimidation of [Tommy].” The court characterized this claim as “unnecessarily provocative . . . .” The corut further asserted that, unless the state had evidence that D’Amato had committed misconduct, there should be no further questioning
The Manson meeting came up again, however, when Tommy later testified for the defense. On direct examination, Tommy asserted that although he had pleaded guilty to charges stemming from the home invasion, he had not participated in the crimes. He also stated that he did not know any of the individuals charged in the home invasion, except for the defendant.
On cross-examination, Tommy stated that he and the defendant had spoken with each other prior to the interview with D’Amato, and that the defendant had told Tommy that he did not want to serve time in prison. Tommy testified that he had been reluctant to speak with D’Amato, but that he felt obligated to meet with her. Tommy asserted that he felt “intimidated” during the meeting, as the defendant was sitting across from him. As to the veracity of his description of his and the defendant’s activities on the night of the home invasion, Tommy denied that the defendant had instructed him what to tell D’Amato; but when the prosecutor asked
The state on rebuttal called Orlando Rivera, a detective with the Waterbury police department. Rivera specifically testified regarding an interview with Tommy that had occurred on August 23, 2010, about one week before trial had commenced, at the Waterbury state’s attorney’s office. Present at the meeting were the prosecutor, Tommy, Tommy’s attorney, and an investigator. Rivera served as an interpreter for Tommy.
Rivera testified with respect to what Tommy had told them about whether intimidation or improper promises influenced his description of his and the defendant’s activities on the night of the home invasion. Rivera stated that Tommy told them that “parts of the statement [that Tommy gave D’Amato] were not accurate, they were not the truth.” Rivera asserted that Tommy told the group that he had been instructed by the defendant to “simply say they were driving by [57 East Clay Street],” if he was ever asked about their involvement in the case. Tommy said that he complied, Rivera stated, because he was “[absolutely” afraid of the defendant.
On cross-examination, in an apparent attempt to demonstrate that Tommy’s statements at the Manson meeting were accurate, regardless of what D’Amato may have promised him, D’Amato asked Rivera: “[TJhere’s some allegation that I made a promise to [Tommy] about opening his case .... [D]id you ask him when that happened, before or after he signed the statement?” Rivera responded: “I believe [Tommy] said that it was before he gave a statement.”
The jury found the defendant guilty of conspiracy to commit home invasion and aiding and abetting home invasion. He was sentenced to a total of fifteen years imprisonment, execution suspended after ten years, and five years of probation. He now appeals.
The defendant claims that his sixth amendment right to conflict-free representation was violated as a result of the insinuations surrounding the Manson meeting. Specifically, his claim is that D’Amato labored under an actual conflict of interest, which adversely affected her performance. The defendant contends that D’Amato’s alleged role in improperly securing favorable testimony placed her in an untenable position where her personal interests were in conflict with plausible alternative defense strategies and her participation in the Manson meeting diminished her credibility as an advocate at trial. The state counters that the defendant cannot show an adverse affect on his representation because D’Amato’s and the defendant’s interests never diverged; that is, both shared the objective of proving that Tommy’s depiction of events was truthful and not the product of coercion or promises. Moreover, the
This appeal presents a question of law over which we exercise plenary review. See State v. Parrott, 262 Conn. 276, 286, 811 A.2d 705 (2003). The sixth amendment’s guarantee to criminal defendants of effective assistance of counsel encompasses “the right to be represented by an attorney who is free from conflicts of interest.” United States v. Blount, 291 F.3d 201, 210 (2d Cir. 2002), cert. denied sub nom. Streater v. United States, 537 U.S. 1141, 123 S. Ct. 938, 154 L. Ed. 2d 838 (2003).
When a trial court becomes aware of the possibility of a conflict of interest, the court is obligated to inquire meaningfully into the conflict. See State v. Lopez, 80 Conn. App. 386, 391, 835 A.2d 126 (2003), aff'd, 271 Conn. 724, 859 A.2d 898 (2004). This obligation arises not only when there has been a timely conflict objection at trial, but also when “the trial court knows or reasonably should know that a particular conflict exists.” Id.; cf. Mickens v. Taylor, supra, 535 U.S. 169 (trial court’s duty to inquire not triggered when there is only “a vague, unspecified possibility of conflict”). The court’s “ ‘inquiry must be thorough and searching’ ''; State v. Lopez, supra, 391; that is, “[t]he court must investigate the facts and details of the attorney’s interests to determine whether the attorney in fact suffers from an actual conflict, a potential conflict, or no genuine conflict at all.” United States v. Levy, 25 F.3d 146, 153 (2d Cir. 1994).
The duty to inquire does not serve its own end but rather is premised, of course, on the need to avoid representation tainted by conflict. Conflicts of interest
The mechanics appropriate to address issues of conflict of interest on appeal vary according to the record presented. Very often, where the facts regarding the conflict are not developed on the record, the remedy necessarily lies in habeas corpus. In Lopez, this court suggested that decisions of the trial court, rather than the actions of counsel, were appropriately reviewed on appeal. Id., 390. The court in Lopez also suggested, however, that direct claims of ineffective assistance
In this case, the record is adequate for review of the claim that D’Amato’s effectiveness was compromised by her participation in the meeting with Tommy and the suggestion, presented to the fact finder, that she may have attempted to offer consideration in return for favorable testimony. In such a circumstance, focus on the court’s inquiry and the action of the court is beside the point. The court clearly was aware of the problem, did what little it could to minimize the impact, and otherwise allowed into evidence admissible testimony. No one requested a mistrial. In the circumstances of this case, the focus appropriately is on the effectiveness of counsel rather than the rulings of the court. The purpose of the court’s inquiry, after all, is to determine whether there is an actual or potential conflict, and, if there is an actual conflict, to inquire whether the defendant chooses to waive the conflict or whether the attorney must withdraw. We are left in this case with a record of an actual conflict, no waiver and no withdrawal. “The constitutional question must turn on whether trial counsel had a conflict of interest that hampered the representation, not on whether the trial judge should have been more assiduous in taking prophylactic measures.” Mickens v. Taylor, supra, 535 U.S. 179 (Kennedy, J., concurring).
What allegedly transpired at the Manson meeting created two areas of conflict. The first conflict lay in the tension between D’Amato’s continuing representation and the need for her to testify. It was clear that one aspect of the state’s theory of the case was that the meeting with Tommy was orchestrated to secure his favorable testimony by improper means. Consistent with this theory, the state adduced testimony that Tommy was intimidated by the defendant; that the defendant had spoken with Tommy in advance of the Manson meeting regarding what Tommy should tell D’Amato; that, at the meeting, the defendant sat directly across from Tommy, so he would not deviate from the prearranged script; and that D’Amato had promised Tommy some form of assistance with his own case. If the state’s allegations are true, D’Amato experienced a serious lapse in professional judgment and, to one degree or another, facilitated witness intimidation.
Had she not represented the defendant at trial, D’Amato could have testified, but doing so may have been undesirable, from her perspective. See United States v. Levy, supra, 25 F.3d 156. Additionally, remaining in the case presented a situation where her self-interest may have militated against delving too deeply into the issue during Tommy’s testimony. Cf. State v. Lopez, supra, 80 Conn. App. 395 (“[i]t is impossible to determine what role defense counsel's involvement in securing the victim’s recantation played in the making of strategic choice during trial”); see also United States v. Levy, supra, 156.
The state argues that the defendant cannot show that D’Amato’s conflict of interest had an adverse effect on the representation because there were other witnesses, namely, D’Amato’s intern and the inteipreter, who could have testified as to what occurred at the Manson meeting. Neither of these individuals, however, would have been a substitute for D’Amato, who was the only person who could have explained any statements that she made to Tommy about assisting him with his case, and why she believed it was necessary—and appropriate—for the defendant to attend the meeting. We need not find that D’Amato’s testimony would have proved a successful trial strategy; “[w]ith respect to the substance of the plausible alternative strategy, the defendant . . . only [must show] that it possessed sufficient substance to be a viable alternative.” (Internal quotation marks omitted.) Eisemann v. Herbert, supra, 401 F.3d 107. The defendant has made the requisite showing of an actual conflict affecting performance.
The judgment is reversed and the case is remanded for a new trial.
In this opinion the other judges concurred.
In addition to his sixth amendment claim, the defendant raises three other issues on appeal: that the trial court failed to appoint a guardian for the minor defendant to be present throughout the proceedings, as required by General Statutes § 54-199; that the court improperly permitted one of the state’s witnesses to serve as an interpreter; and that the state engaged in prosecutorial impropriety. Because of our disposition of this appeal on sixth amendment grounds, we do not reach these claims.
Because the witness was a minor, we refer to him as Tommy.
The defendant’s and Tommy’s first language is Spanish, and both required interpreters for their testimony.
Three of the four other individuals involved in the home invasion testified for the defense. They stated that they did not know either the defendant or Tommy and that they were not involved in the crime.
Indeed, the court in Lopez considered how the conflict of interest might have affected the defense attorney’s trial strategy. See State v. Lopez, supra, 80 Conn. App. 394-96; id., 395 (“Pit is impossible to determine what role defense counsel’s involvement in securing the victim’s recantation played in the making of strategic choices during trial”). The court discussed whether the conflict “may have weighed particularly with respect to [defense counsel’s] decision not to testily” and whether it impacted his cross-examination of the victim. Id., 395-96. Considering the effect of the conflict on the representation was inevitable.
The appropriate standards to be applied in considering claims of actual conflict of interest are different from those applied in more generic claims of ineffective assistance of counsel. Compare, e.g., Strickland v. Washington, 466 U.S. 668, 104 S. Ct. 2052, 80 L. Ed. 2d 674 (1984) with Mickens v. Taylor, supra, 535 U.S. 162.
Reference
- Full Case Name
- STATE OF CONNECTICUT v. YADEIL FIGUEROA
- Cited By
- 3 cases
- Status
- Published