State v. West
2019 Ohio 4826
Ohio Ct. App.2019Background
- William Troy West pleaded guilty (May 7, 2015) to two second-degree felonies for sale of unregistered securities and fraudulent practices relating to sale of promissory notes raising >$2.2M for North Shore Energy.
- West and codefendant Catherina Schaper were represented jointly by the same defense counsel at plea and sentencing.
- Plea agreement delayed sentencing to permit restitution efforts; by sentencing (June 5, 2017) no restitution paid. Court sentenced West to concurrent six-year terms and ordered restitution.
- West directly appealed asserting counsel conflict and that sentence was improper based on inability to pay restitution; this court affirmed and the Ohio Supreme Court declined review.
- West filed a postconviction petition (July 5, 2018) alleging ineffective assistance: (1) counsel failed to investigate defenses to fraud, and (2) joint representation prevented negotiation of a more favorable plea given alleged lesser culpability.
- Trial court dismissed the petition as barred by res judicata; on appeal the appellate court affirmed, finding no competent evidence outside the record to overcome res judicata and that the claims were or could have been raised on direct appeal.
Issues
| Issue | Plaintiff's Argument (West) | Defendant's Argument (State) | Held |
|---|---|---|---|
| Whether res judicata bars West's postconviction ineffective-assistance claims | Counsel failed to investigate defenses; new evidence exists outside the record so res judicata should not apply | Claims could have been raised on direct appeal; no competent new evidence outside the record to avoid res judicata | Res judicata bars the claims; dismissal without hearing affirmed |
| Whether West presented competent, relevant, material evidence dehors the record to require an evidentiary hearing | Affidavit and assertions show counsel's failure and prejudice warrant a hearing | Affidavit does not supply new evidence contradicting the plea colloquy or prior record | No competent outside-the-record evidence; no abuse of discretion in denying a hearing |
| Whether joint representation created an actual conflict or ineffective assistance preventing a better plea | Joint representation prevented counsel from arguing West was less culpable and securing a better plea | Prior appeal resolved there was no actual conflict and rejected ineffective-assistance claim on this basis | Court held prior appeal addressed and rejected the conflict/ineffective-assistance claim; claim is barred by res judicata |
Key Cases Cited
- Strickland v. Washington, 466 U.S. 668 (U.S. 1984) (two-part test for ineffective assistance of counsel)
- State v. Perry, 10 Ohio St.2d 175 (Ohio 1967) (final judgment bars collateral attack; framework for res judicata in postconviction context)