State of New Hampshire v. Carlos Gonzalez, III
State of New Hampshire v. Carlos Gonzalez, III
Opinion
**400 The defendant, Carlos Gonzalez, III, appeals his convictions on two counts of aggravated felonious sexual assault. See RSA 632-A:2 (2016). The defendant argues that *585 the Trial Court ( Wageling , J.) erred when it vacated the pro hac vice admission of two out-of-state attorneys, thereby depriving him of his right to chosen counsel under Part I, Article 15 of the State Constitution and the Sixth Amendment to the Federal Constitution. Because we conclude that the trial court sustainably exercised **401 its discretion when it found that its interest in the fair, efficient, and orderly administration of justice outweighed the defendant's right to counsel of his choice, we affirm.
The record reflects the following facts. A grand jury indicted the defendant on fifteen counts of aggravated felonious sexual assault alleged to have occurred on various occasions between 1992 and 1994. The victim, L.J., was the defendant's stepdaughter. L.J. was between ten and twelve years old at the time of the assaults. At that time, the defendant, L.J., her sister, and her mother all resided together.
More than a year prior to trial, the defendant, through his New Hampshire counsel, Attorney Kurt Olsen, moved for the admission of two out-of-state attorneys for the limited purpose of representing him in only this case. See Super. Ct. Crim. R. 19(a) (repealed eff. Mar. 1, 2016) ("An attorney, who is not a member of the Bar of this State ... shall not be allowed to engage in the trial or hearing in any case, except on application to appear pro hac vice ...."). Rule 19 required the out-of-state attorney to file a verified application with the court in which she or he wished to appear, detailing, among other things, the applicant's disciplinary history and prior pro hac vice appearances here and in other jurisdictions. Super. Ct. Crim. R. 19(b). Rule 19(c) provided:
The court has discretion as to whether to grant applications for admission pro hac vice . An application ordinarily should be granted unless the court finds reason to believe that:
(1) such admission may be detrimental to the prompt, fair and efficient administration of justice;
(2) such admission may be detrimental to the legitimate interests of parties to the proceedings other than the client(s) the applicant proposes to represent;
(3) one or more of the clients the applicant proposes to represent may be at risk of receiving inadequate representation and cannot adequately appreciate that risk; or
(4) the applicant has engaged in such frequent appearances as to constitute common practice in this State.
Super. Ct. Crim. R. 19(c). The defendant asked the trial court to allow the pro hac vice admission of Attorneys Alexandria and Walter Jacobs, who are father and daughter, and both of whom were licensed attorneys in Massachusetts at that time. In December 2013, the trial court granted Alexandria's application for pro hac vice admission, subject to the condition that local counsel be present at all hearings. Subsequently, in March 2014, the trial court granted Walter's application.
**402 At a pre-trial hearing in April 2014, the State raised concerns about the relationship that Walter and Alexandria had with the victim and her family between 1992 and 1994. Specifically, the State represented that Walter was L.J.'s primary care physician during the time of the assaults, and that he was a close friend of the defendant at that time. The State also represented that Alexandria was a close friend of L.J. and her sister during the same time period. Based upon these relationships, the State expressed concern about the propriety of the representation of the defendant by Walter and Alexandria. Due to this concern, and in light of *586 the fact that the defendant was also represented by local counsel, the State notified the court that it intended to file a motion to preclude Walter and Alexandria from cross-examining L.J. and her sister at trial.
In response to the concerns raised by the State, Walter confirmed that L.J. was his patient during the relevant time period, but disputed that he served as L.J.'s primary care physician. He asserted that his treatment of L.J. was not "related to any issues that are in this case" and that, within the context of the physician-patient relationship, they had no "communication about anything related to this case whatsoever." Alexandria also minimized the nature of her relationship with L.J. and her sister, asserting that it was only an "acquaintanceship due to my father and their stepfather being friends." She represented that it had been over a decade since she had contact with L.J. or her sister, and that she was "never informed of any kind of an allegation." Walter and Alexandria argued that their relationships with L.J. and her family did not pose a problem with regard to their representation of the defendant. Nonetheless, Walter informed the trial court that he did not intend to cross-examine L.J.
Shortly thereafter, the State filed a motion to preclude Walter and Alexandria from cross-examining L.J., her sister, and her mother. Two days later, the State filed a motion to vacate Walter's pro hac vice admission. The State argued that Walter's pro hac vice admission should be vacated under Rule 19. It asserted that, when Walter applied for pro hac vice admission, he had failed to disclose his medical disciplinary history as well as his personal and physician-patient relationship with L.J., her sister, and her mother. It argued that, in light of this new information, Walter's pro hac vice admission "would be detrimental to the legitimate interests of the parties to the proceedings other than the defendant." See Super. Ct. Crim. R. 19(c)(2).
The trial court granted the State's motion to preclude Walter and Alexandria from cross-examining certain witnesses. In the same order, it vacated both attorneys' pro hac vice admissions. Relying upon Rule 19(c), the trial court reasoned that the Jacobses' prior relationships with the defendant, L.J., and her sister and mother could make them necessary **403 witnesses at trial, thereby interfering with the defendant's representation and impeding the prompt administration of the trial. Further, it observed that the Jacobses' inability to cross-examine key State's witnesses could render the defendant's representation inadequate or hinder the prompt administration of the trial. The trial court also explained that Walter's failure to disclose his history of medical discipline, and the nature of that disciplinary history, raised concerns about whether he would be able to comply with court rules and the New Hampshire Rules of Professional Conduct. Additionally, the trial court noted that, because the defendant was represented by local counsel who had been involved in all stages of the proceedings, the defendant would not be prejudiced if the pro hac vice admissions were vacated.
The defendant filed a motion to reconsider, which the trial court denied. Subsequently, Olsen, the defendant's local counsel, withdrew from the case, and the defendant proceeded to trial with court-appointed counsel. After a two-day trial, a jury convicted the defendant on two counts of aggravated felonious sexual assault. This appeal followed.
The defendant claims that the trial court's vacating of Walter's and Alexandria's
pro
hac
vice
admissions violated his right to counsel under both the State and
*587
Federal Constitutions. The Sixth Amendment to the United States Constitution provides that "[i]n all criminal prosecutions, the accused shall enjoy the right ... to have the Assistance of Counsel for his defence." U.S. CONST. amend VI. Similarly, Part I, Article 15 of the New Hampshire Constitution provides that "[e]very subject shall have a right to ... be fully heard in his defense, by himself, and counsel" and that "[e]very person held to answer in any crime or offense punishable by deprivation of liberty shall have the right to counsel at the expense of the state if need is shown." "[A]n element of [the right to counsel] is the right of a defendant who does not require appointed counsel to choose who will represent him."
United States v. Gonzalez-Lopez
,
We first address the defendant's claim under the State Constitution and rely upon federal law only to aid our analysis.
State v. Ball
,
The United States Supreme Court has not addressed the issue of whether a defendant's federal constitutional right to counsel is implicated by a trial court's decision concerning the pro hac vice admission of counsel.
**404
See
Leis v. Flynt
,
However, a defendant's right to counsel of his choice-including out-of-state counsel-is not absolute; it is "circumscribed in several important respects."
Wheat
,
A defendant's right to chosen counsel is limited by the trial court's " 'independent interest in ensuring that criminal trials are conducted within the ethical standards of the profession and that legal proceedings appear fair to all who observe them.' "
Gonzalez-Lopez
,
A trial court's interest in the ethical, fair, and orderly administration of justice may outweigh a defendant's right to chosen counsel when, for example, the trial court determines that a defendant has asserted his right to dismiss counsel as a dilatory tactic.
See, e.g.
,
Linsky
,
The defendant argues, that once admitted, pro hac vice counsel cannot be disqualified under standards that are more stringent than those imposed upon members of the New Hampshire Bar. He also contends that the trial court erred when, acting pursuant to its power under Rule 19, it "disqualified" his attorneys. We disagree with this latter contention and hold that the trial court did not err.
As a threshold matter, we do not agree with the defendant's characterization
*589
of the trial court's action: he contends that the trial court "disqualified" his out-of-state counsel following their admission. Rather, the trial court's actions here can best be characterized as a reconsideration and correction of its prior exercise of discretion in approving the Jacobses'
pro
**406
hac
vice
admissions.
See
State v. Haycock
,
Although the trial court initially granted the Jacobses' applications to appear
pro
hac
vice
, at that time it was not aware of their past personal relationships with the defendant, L.J., her sister, or her mother. After the State brought these facts to the trial court's attention, the State requested that the trial court "revisit[ ] and reconsider[ ]" Walter's admission, so that it could consider the existence and nature of those relationships. The trial court then reconsidered the Jacobses' applications in light of new information about their pre-lawsuit conduct, and after taking that information into account, it vacated its prior orders, and denied the applications.
Cf
.
United States v. Howell
,
The defendant argues, citing
Collins
, that "[o]nce admitted,
pro
hac
vice
counsel cannot be disqualified under standards and procedures any different or more stringent than those imposed upon regular members of the ... bar,"
Collins
,
The trial court found that, based upon the prior personal relationships of Walter and Alexandria with L.J. and her family, their pro hac vice admissions were not in the interests of the ethical, fair, and orderly administration of justice. The trial court relied upon five factors in reconsidering and denying the Jacobses' pro hac vice admissions: (1) the Jacobses' potential to become witnesses; (2) the Jacobses' potential impact upon the truth-seeking function of trial; (3) the Jacobses' potential detriment to the adequacy of the defendant's defense; (4) Walter's divided loyalties between the defendant and his former patients; and (5) Walter's omission of medical disciplinary history from his application and the basis for that disciplinary history. We conclude that the trial court's findings and **408 rulings were reasonable and supported by an objective basis in the record and, therefore, that the defendant has failed to establish that the trial court unsustainably exercised its discretion.
Specifically, we conclude that the five factors were properly relied upon by the trial court, are supported by an objective basis in the record, and provide reasonable grounds for the trial court's decision. As to the first factor, it was reasonable for the trial court to be concerned that Walter and Alexandria could become trial witnesses. Cf . N.H. R. Prof. Conduct 3.7(a) (except under certain circumstances, "[a] lawyer shall not act as an advocate at a trial in which the lawyer is likely to be a necessary witness"). Although the extent of the relationships was disputed, it was uncontested that, at the time of the assaults, Walter had a physician-patient relationship with L.J., her sister, and her mother, and that Alexandria was friendly with L.J. and her sister. Given these relationships, which occurred at the very time of the assaults, it was reasonable for the trial court to find that both attorneys might have factual information relevant to the case. Indeed, both attorneys represented to the trial court that L.J. did not disclose the assaults to them. L.J.'s failure to disclose the assaults to either her treating physician or childhood friend could have proven exculpatory. Cf .
*591
State v. Woodard
,
Although Walter and Alexandria averred that they had no intention of serving as trial witnesses, the record establishes that there was a substantial risk of that eventuality. As explained below, the issue of Walter's prior medical care of L.J.'s family, and Alexandria's relationship with L.J. and her sister, had the potential to become relevant to help explain the demeanor of L.J., her sister, and her mother at trial. Further, as the defendant acknowledged in pleadings filed with the trial court, if the issue of Walter's prior medical care of the State's witnesses became an issue at trial, Walter would be placed "in the impossible position of becoming a witness." We conclude that the record establishes an objective basis for the trial court's concern.
Cf
.
In re Rappaport
,
Regarding the second factor, there is an objective basis in the record supporting the trial court's concern that the Jacobses' representation of the defendant could undermine the truth-seeking function of trial. L.J., her sister, and her mother, each expressed discomfort at the prospect of being cross-examined by Walter and/or Alexandria. Specifically, L.J. and her sister informed the prosecutor that "it would be incredibly intimidating and
**409
awkward and uncomfortable to be cross-examined by either" Walter or Alexandria. Notwithstanding the representations of Walter and Alexandria as to the limited nature of their relationships with these witnesses, it was the witnesses' subjective view of their relationships that had the potential to impact the witnesses' demeanor at trial.
See
State v. Giles
,
As to the third factor, it was reasonable for the trial court to be concerned about the effect of the attorneys' pro hac vice admissions on the adequacy of the defense. In its order, the trial court also ruled that, if the Jacobses were to represent the defendant, they would be precluded from *592 cross-examining L.J., her sister, and her mother. On appeal, the defendant does not challenge this aspect of the trial court's ruling. Given this significant limitation, the trial court reasonably concluded that Walter's and Alexandria's inability to cross-examine three key witnesses could materially detract from the defendant's defense. Additionally, had either attorney become a witness, the defendant would have lost a member of his defense team mid-trial, leading to juror confusion.
With respect to the fourth factor, it was reasonable for the trial court to be concerned that Walter's previous physician-patient relationship with L.J., her sister, and her mother, could adversely impact his representation of the defendant or, alternatively, that his representation of the defendant could compromise his ability to honor his duty of confidentiality to his **410 former patients. The parties appear to agree that, because Walter had a former physician-patient relationship with several State's witnesses, his situation is analogous to that in which an attorney represents a party in a case in which the attorney's former client is an adverse witness or party. We, too, think that Walter's relationship to his former patients is analogous to an attorney's relationship with a former client, and we therefore look to New Hampshire Rule of Professional Conduct 1.9 for guidance. Rule 1.9 provides:
(a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.
....
(c) A lawyer who has formerly represented a client in a matter ... shall not thereafter:
(1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; or
(2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.
N.H. R. Prof. Conduct 1.9(a), (c).
The defendant argues that, applying these principles here, Walter's prior physician-patient relationship with L.J. did not conflict with Walter's representation of the defendant because the former and current "representation" did not involve the same or a substantially related matter. We disagree. "Matters are 'substantially related' for purposes of [ Rule 1.9 ] if they involve the same transaction or legal dispute or if there otherwise is a substantial risk that confidential factual information as would normally have been obtained in the prior representation would materially advance the client's position in the subsequent matter."
N.H. R.
Prof. Conduct
1.9 2004 ABA Model Code Comment [3]. Here, Walter, as L.J.'s physician at the time of the assaults, had been in a position to obtain confidential information that could materially advance the defendant's position at trial: that L.J. failed to disclose the assaults to him or to other treating physicians, and that she did not exhibit any signs or symptoms of sexual assault. Additionally, as to L.J., her sister, and her mother, Walter could
**411
have used his knowledge of their physical or mental health to impeach their credibility.
Cf
.
The potential for a conflict between Walter's representation of the defendant, on the one hand, and Walter's duties to his former patients, on the other hand, was especially acute here, where Walter could have directly confronted his former patients during cross-examination. Although we have not had occasion to address the application of Rule 1.9 when an adverse witness is the cross-examining lawyer's former client, other courts have recognized the special ethical conundrum presented in that circumstance.
See
Goodrich v. Goodrich
,
If the conflict could cause the defense attorney improperly to use privileged communications in cross-examination, then disqualification is appropriate. Indeed, it is also true that disqualification is equally appropriate if the conflict could deter the defense attorney from intense probing of the witness on cross-examination to protect privileged communications with the former client or to advance the attorney's own personal interest. In short, the court must protect its independent interest in ensuring that the integrity of the judicial system is preserved and that trials are conducted within ethical standards.
United States v. Ross
,
**412
Here, Walter, as former physician for L.J., her sister, and her mother, had a continuing duty under New Hampshire and Massachusetts law to maintain the confidentiality of that relationship.
See
Nelson v. Lewis
,
The competing duties owed by Walter to L.J., her sister, and her mother, on the one hand, and to the defendant, on the other hand, give rise to the same "divided loyalties" conundrum described above. Had Walter been permitted to cross-examine L.J., her sister, and her mother, he would *594 have been placed in the untenable position of choosing between improperly using privileged information during his cross-examination, on the one hand, and refraining from zealous cross-examination in order to protect patient confidentiality, on the other hand. Alternatively, the solution proposed by the defendant-requiring local counsel to cross-examine these witnesses-had the potential to render counsel's representation of the defendant ineffective. Thus, we conclude that there was an objective basis in the record for the trial court's concern that Walter's relationships with the defendant and his family made his involvement in the case detrimental to the prompt and fair administration of justice.
Concerning the fifth factor, the trial court found that Walter's failure to disclose his medical disciplinary history, and the basis for that discipline, bore upon his fitness to appear pro hac vice . The defendant argues that "[b]ecause the court did not find that Walter had an obligation to disclose that disciplinary record in his motion and verified application [under Rule 19(b)(5) ] the court could not properly have held against him the failure to do so." Further, he asserts that the trial court erred when "it disqualified Walter on the basis either of the content or the non-disclosure of his prior disciplinary record." We disagree.
We construe the trial court's order as faulting Walter, not because his omission constituted a technical violation of Rule 19(b)(5), but, rather, because the nature of his disciplinary history, and his failure to disclose it, were indicative of Walter's general inability to comply with court rules and New Hampshire's Rules of Professional Conduct. In other words, Walter's failure to act with candor and voluntarily disclose this information-in his
**413
application or otherwise-gave the court "reason to believe that" his
pro
hac
vice
admission would be "detrimental to the prompt, fair and efficient administration of justice" under Rule 19(c)(1).
Super. Ct. Crim. R.
19(c)(1);
see
Ries
,
There is an objective basis in the record for this conclusion. As the trial court noted, Walter was censured in 2012 by the New Hampshire Board of Medicine (the Board of Medicine) "as a result of his failure to disclose to [the Board of Medicine] that he had been investigated and as a result resigned his medical license in Massachusetts." Walter failed to voluntarily disclose his history of omitting relevant information in official proceedings-much like he omitted disclosure to the trial court of his prior physician-patient relationship with L.J., her sister, and her mother. Although Walter may not have been required to disclose these facts under Rule 19(b)(5), there is no doubt that he did have a duty of candor towards the trial court. See N.H. R. Prof. Conduct 3.3 2004 ABA Model Code Comment [2] ("This Rule sets forth the special duties of lawyers as officers of the court to avoid conduct that undermines the integrity of the adjudicative process."). His repeated failures to be candid before the Board of Medicine and the trial court evidenced a practice of omitting information in official proceedings-a practice that the trial court could reasonably have been concerned would continue. Thus, given these facts, we conclude that the trial court did not err when it considered Walter's medical disciplinary history-and his failure to voluntarily disclose it-as evidence that his pro hac vice admission could be "detrimental to the prompt, fair and efficient *595 administration of justice." Super. Ct. Crim. R. 19(c)(1).
In sum, the trial court examined whether the pro hac vice admissions of Walter and Alexandria could detrimentally impact its interest in the ethical, fair, and orderly administration of justice, and the defendant's defense. It then thoughtfully weighed the detrimental impact of the admissions on the ethical, fair, and orderly administration of justice against the defendant's right to a lawyer of his own choosing. The record establishes an objective basis for the trial court's determinations, and the defendant has not shown that the trial court's rulings were clearly unreasonable or untenable to the prejudice of his case. Therefore, we conclude that the trial court sustainably exercised its discretion when it reconsidered and vacated its prior order, and then denied the Jacobses' pro hac vice applications.
**414
The State Constitution provides at least as much protection of the defendant's right to chosen counsel as the Federal Constitution.
See
Panzardi-Alvarez
,
Finally, the defendant argues that the trial court erred when it resolved factual disputes without conducting an evidentiary hearing, and, therefore, we must vacate the order and remand the case for an evidentiary hearing. He asserts that remand is necessary because the trial court resolved factual disputes about the Jacobses' relationships with L.J. and her family without holding an evidentiary hearing. The State counters that the relevant facts relied upon by the trial court were undisputed, obviating any need for a hearing. We agree with the State.
The facts material to the trial court's decision were not in dispute-it was uncontested that, at the time of the assaults, Walter had a physician-patient relationship with L.J., her sister, and her mother, and that Alexandria was friendly with L.J. and her sister. The precise nature of these relationships was immaterial to the reasoning of the trial court. Because the facts material to the trial court's decision were undisputed, no evidentiary hearing was necessary. We find no error.
Affirmed .
CONBOY, J., sat for oral argument but did not participate in the final vote; DALIANIS, C.J., and HICKS and LYNN, JJ., concurred.
Reference
- Full Case Name
- The STATE of New Hampshire v. Carlos GONZALEZ, III
- Cited By
- 5 cases
- Status
- Published