United States v. Halstead
United States v. Halstead
Opinion of the Court
delivered the opinion of the Court:
One ground of demurrer raises a question of form, another goes to the merits.
There is a conflict of authority upon this proposition, but we do not find it necessary to enter upon its discussion. We think it sufficiently appears from the pleas that the evidence was material to the finding of the indictment. This would seem to be all that is necessary. Moreover, it is a defect that could be amended, and to reverse therefor would serve no useful purpose.
The provisions of the Constitution relied on by defendant are found in the 4th and 5th Amendments. The 4th Amendment declares that “the right of the people to be secure in their persons, houses, and effects against unreasonable searches and seizures shall not be violated.”
The 5th contains this provision, among others: “Nor shall any person be compelled in any criminal case to be a witness against himself.”
There has been no unreasonable or unlawful seizure of the defendant’s books and papers. They were taken possession of in obedience to the' order of the court sitting in bankruptcy, in the exercise of its unquestionable authority under the statute regulating bankruptcy proceedings. ' Nor has the defendant been compelled to testify, or to personally produce his private books and papers in evidence, against himself. Hence there has been no direct and express violation of the constitutional provisions.
The contention on behalf of the defendant is that the use of his books and papers, obtained in a civil proceeding, as evidence against him in a criminal proceeding, is tantamount to their unreasonable seizure, as well as compelling him to give evidence against himself in a criminal case; and therefore within the prohibitions of both amendments to the Constitution. As de
The question decided in that case has been thus succinctly stated in a later case, the opinion in which was delivered by Mr. Justice Nay, in the following words: “That case presents the question whether one can be compelled to produce his books and papers in a suit which seeks the forfeiture of his estate, on pain of having the statements of government’s counsel as to the contents thereof taken as true and used as testimony for the government. The court held in an opinion by Mr. Justice Bradley that such procedure was in violation of both the 4th and 5th amendments; the chief justice and Justice Miller held that the compulsory production of such documents did not come within the terms of the 4th Amendment as an unreasonable search or seizure, but concurred with the majority in holding that the law was in violation of the 5th Amendment.” Adams v. New York, 192 U. S. 585, 597, 48 L. ed. 575, 580, 24 Sup. Ct. Rep. 372. In that case, under a search warrant, the officers had seized certain “policy slips” claimed to have been used by the defendant in violation of the law. They also seized, at the same time, certain private papers. These papers, though not included in the warrant for search and seizure, became important evidence as tending to show the custody by the party of the policy slips, with knowledge. They were admitted in evidence. over the objection of the defendant, in proving his guilt. The competency of the evidence was sustained, the court being of the opinion that the question was not governed by the decision in the Boyd Case. In reviewing many state cases in line with the conclusion, the opinion quotes the following language from the opinion in State v. Flynn, 36 N. H. 64: “Evidence obtained by means of a search warrant is not inadmissible, either upon the ground that it is in the nature of admissions under duress, or that it is evidence which the defendant has been compelled to furnish against himself, or on the ground that the evidence has been unfairly or illegally obtained, even if it appears that the search warrant was illegally issued.”
The facts in the case at bar bring it, in our opinion, within the rule declared in the case last cited. Heie the possession of the books and papers was lawfully acquired. Defendant’s business brought him within the scope of the bankruptcy act, provisions of which expressly authorized the delivery of all his effects to the receiver, temporarily, and later to the trustee. No condition was annexed to the order of delivery, as seems to have been done by the courts in some cases, that they should not be used as evidence against the bankrupt in any criminal case. We attach no importance to the omission of such a condition in the order made; nor are we prepared to say that the omission to demand such a condition is equivalent to the consent to the delivery of possession. The transfer of the bankrupt’s property was necessary to the administration of the bankruptcy law which declared it, and the order was one which he was compelled to obey.
In a recent case a conditional order of the kind mentioned had been made, but the bankrupt refused obedience. He announced his willingness to allow an inspection of the books if he could save his right that the books should not be used against
This case is relied on as supporting defendant’s contention, by reason of the concluding sentence of the opinion, which reads thus: “In the properly careful provision to protect him from use of the books in aid of prosecution, the bankrupt got all that he could ask.” We think that the point decided is to be found in the language first quoted. As indicated therein, if the order had been to produce the books in a criminal investigation pending before the grand jury, and they contained matter that might
In support of this contention the following cases are relied on. Johnson v. United States, 18 L.R.A. (N.S.) 1194, 89 C. C. A. 508, 163 Fed. 30; Frisby v. United States, 35 App. D. C. 513. In the first of those cases, this section was held to render incompetent as evidence in a criminal case the schedule filed by the bankrupt in compliance with the procedure in such cases. These were held to be analagous to pleadings in ordinary cases. In Frisby’s Case the paper offered in evidence was attached to and made a part of defendant’s answer in an equity cause. It is not claimed that the books and papers in this case constituted pleadings in the bankruptcy proceeding, but it is contended that they were obtained from the defendant by means of a judicial proceeding. Certainly they were obtained as a result, or incident rather, of a judicial proceeding. But that proceeding was not even instituted to determine the title to the same, or to recover their possession. They were not produced as evidence in any hearing, or by way of discovery of any fact in issue. In common with all other effects of the bankrupt the title passed to the receiver first, and then finally to the trustee, by the express terms of the statute, and the order for delivery followed in the necessary execution of the statute and tlie administration, of the estate thereunder. Section 860 was intended as a protection to parties who file pleadings in a cause, sworn or unsworn, or are compelled to submit to examination as witnesses therein and produce documents to be used as evidence. It would be a strained and unnatural construction to make it apply to a case like this.
To do so would go far beyond the object of the section deemed, when enacted, as in accord with sound public policy, and convert it into a shelter for fraudulent and criminal bankrupts.
Being of the opinion that it was error to overrule the de
Reference
- Full Case Name
- UNITED STATES v. HALSTEAD
- Status
- Published
- Syllabus
- Criminal Law; Pleas in Abatement; Constitutional Law; Immunity eeom Criminal Prosecution; Evidence. 3. Pleas in abatement to an indictment based upon disclosures in the books and papers of the accused, examined and used by the grand jury in investigating criminal charges against him, were held sufficient in form, where it appeared from the pleas that the evidence was material to the finding of the indictment, although they did not allege that there was no other evidence before the grand jury sufficient to warrant the indictment; as the indictment, if so defective, could he amended. 2. The constitutional rights of the accused in a criminal proceeding are not infringed by the use by the grand jury, in the investigation of the charges contained in the indictment, of his books and papers procured from his receiver or trustee in bankruptcy, to whom they had been delivered under an unconditional order of the bankruptcy court, and which books and papers contained information with respect of the matters charged in the indictment against him; and a demurrer by the prosecution to pleas in abatement, setting forth such facts, should be sustained. (Construing 4th and 5th Amendments of the Eederal Constitution.) 3. The use of the books and papers of a bankrupt, in the hands of his receiver or trustee in bankruptcy, as evidence against him in a, criminal proceeding for embezzlement and false pretenses, based upon the disclosures in such books and papers, is not prohibited by see. 860, Rev. Stat., that section being intended as. a protection to parties to suits against criminal proceedings, other than perjury, who file pleadings in the case, sworn or unsworn, or are compelled to submit to an examination as witnesses therein and produce documents as evidence. (Distinguishing Frisby v. United States, 35 App. D. C. 513, and Frisby v. United States, ante, 22.)