Chaplin v. United States
Opinion of the Court
This is an appeal from a conviction under the first count of an indictment charging appellant and his wife with obtaining money by false pretenses.
Of the several points raised by appellant we think one to be of controlling significance. He urges that the indictment failed to charge a crime because the one statement which he is alleged to have made relating to a subsisting fact was not traversed and no evidence was introduced to prove that the one statement was false.
To examine this contention we turn to the indictment. It is there charged that appellant and his wife, co-defendant below, “ * * * with intent to defraud, feloniously did pretend and represent to one Violette McMullen, then and there being, that they, the said Sydney A. Chaplin and the said Dorothy Chaplin, were engaged in the wine and liquor business in Alexandria, Virginia, and that if she, the said Violette McMullen, would advance certain money, they, * * * would purchase certain liquor stamps with said money and * * * would return * * * any money so advanced * * (Italics added.) In the traversing clause, it is charged that the defendants “ * * * would not purchase such liquor stamps and would not return * * * the money advanced * * * as they * * * well knew.”
It appears from the indictment that the prosecution’s case was necessarily founded on the defendants’ intention, at the time of acquiring the money, not to do two things promised: (1) buy stamps, and (2) repay the money. Both of these promises relate to things the defendants were to do in the future. The prosecution did not prove that the defendants misrepresented their business connection. On the contrary, it appears from the record that the appellant and his wife were in the liquor busi
In its brief, the government was most candid on this point, stating that Commonwealth v. Althause, 207 Mass. 32, 93 N. E. 202, 31 L.R.A.,N.S., 999, from which a quotation of dictum was taken did not represent the weight of authority. The same may be said for the other two cases cited to support the prosecution’s position on the point.
A majority of the courts having this problem placed before them have not subscribed to the theory that “intention”, as manifest by false and misleading promises, standing alone, is a fact in the sense required for a conviction on the charge of false pretenses. For illustrative cases see:
Not only is the rule deeply rooted in our law, but moreover, we think the reasons upon which it is founded are no less cogent today than they were when the early cases were decided under the English statute cited by Wharton, supra. It is of course true that then, as now, the intention to commit certain crimes was ascertained by looking backward from the act and finding that the accused intended to do what he did do. However, where, as here, the act complained of- — -namely, failure to repay
The business policy, as well as the difficulties and dangers inherent in a contrary rule are illustrated by the earlier English cases. In Rex v. Goodhall, 1821, Russ. & R.C.C. 461, the accused was found to have obtained a quantity of meat, promising to pay for it but not so intending. In reversing the jury’s verdict of guilt}
In Reg. v. Woodman, 1879, 14 Cox C.C. 179, the prosecution advanced precisely the same argument that is urged here, contending that the defendant’s intention was the existing fact about which the misrepresentation had been made. To this the court responded: “How can you define a man’s mind? It is a mere promissory false pre-tence.”
If we were to accept the government’s position the way would be open for every victim of a bad bargain to resort to criminal proceedings to even the score with a judgment proof adversary. No doubt in the development of our criminal law the zeal with which the innocent are protected has provided a measure of shelter for the guilty. However, we do not think it wise to increase the possibility of conviction by broadening the accepted theory of the weight to be attached to the mental attitude of the accused.
In view of the foregoing we do not think it necessary to review the other points raised by appellant.
Reversed.
D.C.Code 1940, § 22—1301.
People v. Ames, 61 Cal.App.2d 522, 143 P.2d 92; State v. McMahon, 49 R.I. 107, 140 A. 359. See also Smith v. Fontana, D.C., 48 F.Supp. 55, 60.
See: 51 A.L.R. 46, 63 ; 68 A.L.R. 635, 637; 91 A.L.R. 1295, 1297; 125 A.L.R. 879, 881.
For other cases see 24 A.L.R. 401, 52 A.L.R. 1170.
Cardozo, The Nature of the Judicial Process, p. 73.
“Perhaps the most significant advance in the modern science of law is the change from the analytical to the functional attitude”. Pound, Administrative Application of Legal Standards, Proceedings of American Bar Association, 1919, pp. 445, 449; quoted by Cardozo, op. cit.
Dissenting Opinion
(dissenting).
The court holds that “the great weight of authority * * * compels us”. This is a new rule and an important one. I think it is erroneous.
Usually there are good reasons for a doctrine which is widely accepted, and uniformity itself has some value even in criminal law. Accordingly we should consider the weight of authority elsewhere for what it may be worth. But we should not determine our action by a count of foreign cases regardless of logic, consistency, and social need. “The social value of a rule has become a test of growing power and importance”.
This court, like every other American court, overrules its own decisions when need arises.
Considered without regard to the foreign cases on which the court relies, the indictment is plainly valid. No doubt a promise is commonly an undertaking, but it is always an assertion of a present intention to perform. “I will” means among other things “I intend to”. It is so understood and it is meant to be so understood. Intention is a fact and present intention is a present fact. A promise made without an intention to perform is therefore a false statement about a present fact. This factual and declarative aspect of a promise is not a new discovery. It has come to be widely recognized in civil actions for deceit.
In criminal cases most courts and text writers have clung to an old illusion that the same words cannot embody both a promise and a statement of fact. But this tradition that in a criminal case “the statement of an intention is not a statement of an existing fact” has begun to break down.
The old illusion that a promise states no facts is not the only source of the old tolerance of falsehoods regarding intention. That a fool and his money are soon parted was once accepted as a sort of natural law. In 1821 the fact that “common prudence and caution would have prevented any- injury” seemed to an English court a good reason for refusing to penalize an injury which had been intentionally inflicted by a false promise. The fact that common agility in dodging an intentional blow would have prevented any injury would not have seemed a reason for refusing to penalize a battery. Fools were fair game though cripples were not. But in modern times, no one not talking law would be likely to deny that society should protect mental as well as physical helplessness against intentional injuries.
Though the court decides the case on the basis of authority, the opinion concludes-with a defense of the prevailing rule. But
Difficulties of proof are seldom greater in criminal cases than in civil, except that the prosecution must prove its case beyond a reasonable doubt. No peculiar difficulty of proof distinguishes this crime from others. Intentions of one sort or another must be proved in most criminal cases. They are usually proved by conduct. It is inherently no more difficult to prove an intent not to perform a promise than, for example, an intent to monopolize, to commit a felony, .or to receive goods knowing them to be stolen. Appellant’s conduct showed his intent. After getting $375 from a nurse by promising to buy liquor stamps and repay the money, he made the same promise a few days later and got $700 more. He said he needed the money to get the stamps. Yet he bought less than $40 worth of stamps, if any, during the next six weeks, and there is no evidence that he bought any stamps at any later time. Meanwhile he continued to borrow money from the woman. He made no repayments at any time. The jury might well conclude, as it did, that the difference between his promises and-his performance was not accidental but was part of his original plan. The court does not suggest that the proof of his original intention was insufficient. If it were thought to be insufficient, the conviction should be reversed on that ground. The rule which the court adopts will make prosecutions impossible even when admissions or other evidence make guilt obvious.
No peculiar danger to innocent men distinguishes this crime from others. No honest borrower who fails to repay a loan, or changes his mind about the use which he intended to make of the money, is likely to be charged with obtaining it by false pretenses. Prosecutions are not undertaken without evidence and convictions do not withstand attack unless they are supported by sufficient evidence. The danger of a counter suit for malicious prosecution is always present to discourage unfounded charges. The court’s picture of a flood of indictments against honest business men is unconvincing. No such flood has been observed in the few jurisdictions which have adopted the modern rule. It is true that innocent men are sometimes accused of crime. Innocent men have been convicted of murder.
There is, as the court says, a vast difference between criminal penalties and civil redress. It is the more unfortunate to hold, as the court does, that a common sort of fraud is not a crime. Since civil redress is not punitive but compensatory, the decision means that the law of the District of Columbia offers no deterrent to this sort of fraud. If a swindler has property which can be taken in execution on a civil judgment, he may not always win by practicing this fraud. But he cannot lose. If he perseveres he will win in the long run, for he will not always be sued to judgment. And one who has no property on which execution can be levied is bound to win as often as he can find a victim.
Funk v. United States, 290 U.S. 371, 382, 54 S.Ct. 212, 215, 78 L.Ed. 369, 93 A.L.R. 1136.
E. g., George’s Radio, Inc., v. Capital Transit Co., 75 U.S.App.D.C. 187, 126 F.2d 219; Ross v. Hartman, 78 U.S. App.D.C. 217, 139 F.2d 14, 158 A.L.R. 1370, certiorari denied 321 U.S. 790, 64 S.Ct. 790, 88 L.Ed. 1080.
Kay v. Cain, - U.S.App.D.C. -, 154 F.2d 305.
Campbell v. New York Evening Post, 245 N.Y. 320, 328, 157 N.E. 153, 156, 52 A.L.R. 1432.
51 A.L.R. 46, 63 ; 68 A.L.R. 635, 637; 91 A.L.R. 1295, 1297; 125 A.L.R. 879, 881.
Commonwealth v. Morrison, 252 Mass. 116, 147 N.E. 588; Commonwealth v. McKnight, 289 Mass. 530, 195 N.E. 499, 506, petition for certiorari dismissed 296 U.S. 660, 56 S.Ct. 245, 80 L.Ed. 470; State v. McMahon, 49 R.I. 107, 140 A. 359; People v. Ames, Cal.App., 143 P.2d 92, 96; Smith v. Fontana, D.C. S.D.N.Y., 48 F.Supp. 55. Cf. State v. Bromley, 135 A. 813, 5 N.J.Misc. 195, affirmed 104 N.J.L. 186, 138 A. 923.
D.C.Code 1940, § 22—1301, 50 Stat. 628.
Edwin M. Borekard studies a number of instances in his book, Convicting the Innocent.
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