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United States v. Carla Florentine Hines, Leroy Dale Hines, Anna Mae Hines, Defendants, 689 F.2d 934, 10th Cir. (1982)
United States v. Carla Florentine Hines, Leroy Dale Hines, Anna Mae Hines, Defendants, 689 F.2d 934, 10th Cir. (1982)
2d 934
Carl Hughes and William E. Liebel, Oklahoma City, Okl., for defendantappellant Carla Florentine Hines.
Michael Gassaway, Oklahoma City, Okl., for defendant-appellant Leroy
Dale Hines.
Daniel Zorn, Oklahoma City, Okl., for defendant-appellant Anna Mae
Hines.
William S. Price, U. S. Atty., Oklahoma City, Okl., David B. B. Helfrey
and Robert E. Mydans, Attys., Dept. of Justice, Kansas City, Mo., for
plaintiff-appellee.
Before HOLLOWAY, McWILLIAMS and BARRETT, Circuit Judges.
HOLLOWAY, Circuit Judge.
* Count I of the instant indictment, which is the only count in this indictment
naming these appellants as defendants, alleges that from on or about November
1, 1978, until on or about January 23, 1979, in the Western District of
Oklahoma and elsewhere, these defendants-appellants and several other named
defendants unlawfully, wilfully, and knowingly conducted, financed, managed,
supervised, directed, and owned all or part of an illegal gambling business in
violation of the laws of the State of Oklahoma, including 21 O.S.A. 982 and
987, said illegal gambling business being conducted, etc. by five or more
persons and having a gross revenue of $2,000.00 or more on one or more single
days between November 1, 1978, and January 23, 1979, all in violation of 2
and 1955 of Title 18, United States Code.
The stay application and papers before us show that the defendants made
motions in September 1981 to dismiss the indictment on double jeopardy
grounds. Other motions by various defendants were filed thereafter. On August
20, 1982, a hearing was held in the district court. Evidence was introduced and
these defendants asserted that their double jeopardy defense was based on
prosecution of them in No. 79-CR-123, Northern District of Oklahoma. The
indictment in that Northern District case charged that these defendants had
conspired to use interstate travel and facilities to further an Oklahoma
bookmaking gambling operation which was illegal under Oklahoma law.
At the hearing on the double jeopardy motions on August 20, 1982, an order
was entered overruling the motions and trial was scheduled for October 4,
1982. The defendants filed timely Abney notices of appeal on August 25 and
27. On August 26 and September 2, defendants further moved for abatement of
proceedings in the district court, pending appeal.
II
7
We are mindful that we are dealing with a sensitive constitutional right when
we consider the double jeopardy claim of the defendants under the Fifth
Amendment. The Double Jeopardy Clause protects the individual against more
than being subjected to double punishment; it is also a guarantee against twice
being put to trial for the same offense. Abney, supra at 660-61, 97 S.Ct. at
2040-41. We must further consider the danger of unlawfully subjecting the
defendants to embarrassment, expense, and ordeal and compelling them to live
in a continuing state of anxiety and insecurity, as well as the enhancement of
the possibility that even though innocent they might be found guilty. Green v.
United States, 355 U.S. 184, 187-88, 78 S.Ct. 221, 223, 2 L.Ed.2d 199.
Moreover, the Court stated in Abney, supra, 431 U.S. at 662, 97 S.Ct. at 2041,
that
Further, the Court observed that the problems of dilatory appeals could be
obviated by rules or policies by giving such appeals expedited treatment, and
that it is well within the supervisory powers of the courts of appeals to establish
summary procedures and calendars to weed out frivolous claims of former
jeopardy. Id. at 662 n.8, 97 S.Ct. at 2042 n.8.
10
These factors appear to argue for a stay of the trial in the instant case. The
granting of the stay would, of course, give an assurance against any unlawful
double exposure to trial until the Abney appeals of these defendants are heard
and decided.
11
12
We are persuaded that where, as here, the district court has considered the
double jeopardy claim after a hearing and, for substantial reasons given, found
the claim to be frivolous, the court should not be held divested of jurisdiction
by an Abney appeal. The district court made findings here and expressly stated
his reasons for finding the pleas frivolous. This procedure is necessary and
proper, and was followed. See Leppo, supra, 634 F.2d at 105; Dunbar, supra,
611 F.2d at 988.
13
We are convinced by the reasoning and result of the Third Circuit in United
States v. Leppo, supra 634 F.2d at 103-05. There the court also had a stay
application before it. The district court had rejected a motion to dismiss,
asserted on double jeopardy and other grounds, as dilatory and frivolous and
ordered the case to remain on the trial calendar. After considering the factors to
be balanced, the Third Circuit denied a stay, stating (id. at 105):
14
15
See also United States v. Bizzard, 674 F.2d 1382, 1385-86 (11th Cir.); United
States v. Grabinski, 674 F.2d 677, 679 (8th Cir.); United States v. Lanci, 669
F.2d 391, 394 (6th Cir.), cert. denied, --- U.S. ----, 102 S.Ct. 2960, 73 L.Ed.2d
1350.
16
Here the district court's order denying abatement analyzes in detail the merits
of the double jeopardy pleas. The court recognized the right of immediate
appeal under Abney and also the problem of divestiture of jurisdiction
attempted as a dilatory tactic. The court noted that the defendants here had been
tried and sentenced in the Northern District of Oklahoma on the charges
outlined above; that the defendants urged the adoption of the "same
transaction" and "totality of the circumstances" test set forth in United States v.
Tercero, 580 F.2d 312 (8th Cir.) and adopted in United States v. Jabara, 644
F.2d 574 (6th Cir.).
17
The trial court's order cited our opinion in United States v. Puckett, 692 F.2d
663 (10th Cir.1982), in which we declined to adopt that test, adhering to the
"same evidence" test. See Blockburger v. United States, 284 U.S. 299, 52 S.Ct.
180, 76 L.Ed. 306 reaffirmed in Illinois v. Vitale, 447 U.S. 410, 100 S.Ct. 2260,
65 L.Ed.2d 228 and Brown v. Ohio, 432 U.S. 161, 97 S.Ct. 2221, 53 L.Ed.2d
187. See also United States v. Zwego, 657 F.2d 248, 251 (10th Cir.), cert.
denied, 455 U.S. 919, 102 S.Ct. 1275, 71 L.Ed.2d 460; United States v.
Martinez, 562 F.2d 633, 637 (10th Cir.); Robbins v. United States, 476 F.2d 26,
32 (10th Cir.). The district court concluded that the double jeopardy test is not
unsettled in this Circuit and that the claims of defendants relying on different
theories were frivolous.
18
We are satisfied that the district court has made a substantial statement of
reasons for the finding and conclusion that the double jeopardy claim of
defendants is frivolous in these circumstances. We do not, of course, decide the
merits of these Abney appeals, in which that finding may be reviewed.
Nevertheless, balancing the interests which we must, we are persuaded that on
the showing before us, we should deny the stay as was done in the Leppo case.
19
IT IS SO ORDERED.
The convictions of the defendants in the Northern District case are on appeal
before this court in Nos. 80-1425, 1433 and 1435