Lead Opinion
Petitioner José Enrique Alberni appeals from the order denying his petition for a writ of habeas corpus filed pursuant to 28 U.S.C. § 2254. Mr. Alberni was convicted of Second Degree Murder With Use of a Deadly Weapon in Nevada state court. He argues that his Fourteenth Amendment due process rights were violated by the introduction of character evidence at his trial and that his Sixth Amendment right to conflict-free counsel was violated by his trial counsel’s cross-examination of a prosecution witness who had been his attorney’s client. The Nevada Supreme Court’s conclusion that Mr. Alberni’s right to due process was not violated was not contrary to and did not involve an unreasonable application of federal law. We vacate and remand for an evidentiary hearing to determine whether Mr. Alberni’s right to conflict-free counsel was violated.
I
We first consider whether Mr. Alberni’s due process rights were violated by the introduction of propensity evidence at his trial.
A
On Christmas Day, 1994, Mr. Alberni shot and killed his friend Dennis McElroy. At trial, Mr. Alberni claimed that the shooting was accidental. The jury was persuaded that it was deliberate and con
During the trial, the prosecutor introduced evidence of Mr. Alberni’s past violent actions and explosive temper and relied heavily on that evidence in his closing argument. In his direct appeal to the Nevada Supreme Court, Mr. Alberni argued that the admission of the propensity evidence and the prosecutor’s argument violated his right to due process. The Nevada Supreme Court concluded, without an explanation of its rationale, that no constitutional error had occurred. The Nevada Supreme Court determined that a photograph of Mr. Alberni with a gun was relevant to show Mr. Alberni’s familiarity with guns, in order to rebut his claim that the shooting was accidental. As to the other evidence of bad acts, it held that the admission of such evidence was harmless in “light of the overwhelming evidence of Alberni’s guilt.” The Nevada Supreme Court also concluded, without analysis, that the prosecutor did not engage in misconduct in alluding to the prior acts evidence in his argument to the jury. '
B
Mr. Aberni argues that the introduction of the propensity evidence, and the prosecutor’s comments on that evidence, violated his due process rights under the Fourteenth Amendment. A district court’s decision to grant or deny a petition for habeas corpus 'is reviewed de novo. Daniels v. Woodford,
Under the Anti-terrorism and Effective Death Penalty Act (“AEDPA”), a state prisoner is entitled to relief under § 2254 regarding a claim adjudicated on the merits in state court if the decision of the state’s highest court either is contrary to or involves an unreasonable application of clearly established federal law, as determined by the Supreme Court of the United States. Williams v. Taylor,
In Garceau v. Woodford,
Lacking any Supreme Court authority directly on point, Mr. Alberni relies exclusively on cases we decided prior to the enactment of AEDPA to support his contention that the propensity evidence offered in his case violated due process. See, e.g., Garceau,
Mr. Alberni argues that even though the Supreme Court has never explicitly held that the introduction of propensity evidence may violate due process, we may apply the “general governing principles to the case at hand.” Robinson v. Ignacio, 360 F-3d 1044, 1056-57 (9th Cir.2004). The Supreme Court has established a general principle that evidence that “is so extremely unfair that its admission violates fundamental conceptions of justice” may violate due process. Dowling v. United States,
In Robinson, the trial court granted the defendant’s request to represent himself at trial after extensive canvassing on the issue.
We are mindful that every circuit, in cases decided prior to the enactment of AEDPA, has acknowledged, at least implicitly, that the improper introduction of evidence may violate due process if it renders a trial fundamentally unfair. See Jervis v. Hall,
Nevertheless, this case is distinguishable from Robinson. In this case, the Supreme Court expressly reserved consideration of the issue at hand in Estelle. In Robinson, the Supreme Court had not made such a reservation. See Robinson,
II
Next we consider whether Mr. Alberni’s right to conflict-free counsel was violated.
A
Sean Flamm was a former client of James Buchanan, Mr. Alberni’s trial counsel. Mr. Buchanan objected to cross-examining a former client.
Mr. Flamm’s name first came up during the State’s cross-examination of Mr. Alberni. The State asked:
Q Do you know a person by the name of Sean Flamm?
A Yes, sir.
Q Were you ever involved in an accident with Mr. Flamm?
A Yes, sir. As a matter of fact, they came to shoot me and Dennis McElroy saved my life that day.
Q Did you ever strike Mr. Flamm?
A Yes, sir, I did.
Q What did you strike him with?
A My hand.
Q There wasn’t a gun involved in that incident?
A They had it and we took it from him. Dennis took it from him when the dude cocked it to shoot me. Dennis rushed him, took the gun, and took it.
Q Was that an incident over money?
A No.
Q Are you sure?
A Yes, sir.
On redirect, Mr. Alberni testified in detail concerning the events that led up to the altercation with Mr. Flamm. He testified that one evening, while he was staying in a hotel room, he gave Mr. Flamm a quarter ounce of drugs and a knife. Mr. Flamm left the hotel room and was subsequently searched by police. The police found the drugs. Mr. Alberni testified that Mr. Flamm told the police he had gotten the drugs from Mr. Alberni. Mr. Flamm returned to the hotel room a short time later, insisted that he be let in, and asked for money for gas. Mr. Alberni’s girlfriend gave him a few dollars.
Immediately after Mr. Flamm left, the police arrived at Mr. Alberni’s door. Mr. Alberni consented for the police to search the hotel room, and the police found drugs. Mr. Alberni was arrested. He testified that the police told him that Mr. Flamm had turned him in. Mr. Alberni agreed to assist the police with a controlled buy. He testified that he did not actually help the police as he promised.
Mr. Alberni began to tell his and Mr. Flamm’s mutual acquaintances that Mr. Flamm was a “rat” and that Mr. Flamm had “snitched” on him. Mr. Flamm, hearing that Mr. Alberni was making these statements, threatened to fight with Mr. Alberni. Mr. Alberni responded, “Bring it on.” Eventually Mr. Flamm and Mr. Alberni spoke on the phone and exchanged hostile words. Mr. Alberni testified:
“He was telling me, ‘You piece of shit, you know, fuck you. What are you saying I’m a rat. You got some paperwork on me?’ That’s street talk, you got something to prove, something on paper. I don’t have any paperwork. I’m not going to the cops. You ratted on somebody. That’s why you are violent. He got a parole violator. He got outthrough some lawyer and I don’t know, one thing led to another.”
With goading from Mr. Alberni, Mr. Flamm came to the apartment where Mr. Alberni was staying. Mr. Flamm was accompanied by David Lum. Mr. Lum had a gun. According to Mr. Alberni, Mr. Flamm rushed through the door when Mr.
McElroy opened it. Mr. Flamm made threatening gestures and remarks. Mr. Alberni hit Mr. Flamm. Mr. McElroy grabbed the gun from Mr. Lum. Mr. McElroy hit and kicked Mr. Lum. Mr. Alberni hit him as well. Mr. Alberni testified that Mr. McElroy saved his life.
On recross examination by the prosecutor, the following exchange occurred:
Q Dennis isn’t here to backup your story, is he?
A No, he ain’t.
Q What happened to Dennis?
A He’s dead.
Q Who shot him?
A Accidentally, me.
Q Who shot him?
A Me.
After the defense rested, the State called Mr. Flamm as a rebuttal witness. Mr. Flamm testified that he went to see Mr. Alberni because he owed Mr. Alberni approximately $300. Mr. Flamm had owed Mr. Alberni the money for some time and was not able to pay. He did not remember if anyone besides Mr. Alberni was at the apartment. Mr. Flamm explained:
I walked in [the apartment] to confront him because he was telling some girl that he wanted to talk to me. I went up there to go talk to him and to see what was going on. He was turned around and when I went to go approach him, he turned around with the butt of his gun and hit me right upside my eye right here. At that time I fell down and I don’t remember what happened then.
Mr. Flamm denied making any offensive gestures to Mr. Alberni. He denied that Mr. Alberni had ever threatened him in connection with the debt.
Mr. Buchanan had previously represented Mr. Flamm on drug charges for which Mr. Flamm pled guilty and was placed on probation. He represented Mr. Flamm a second time in connection with his arrest at the motel after Mr. Alberni gave him drugs — the arrest about which Mr. Alberni testified. As a result of the arrest at the motel, Mr. Flamm’s probation was modified to include boot camp. When Mr. Flamm failed to complete boot camp, his deferred sentence of imprisonment was imposed. By the time Mr. Flamm testified, he was on parole.
Mr. Buchanan refused to cross-examine Mr. Flamm, stating, “I won’t ask him any questions. No questions.” He explained: “I just don’t wish to cross examine one of my clients. I will ask no questions.”
The trial court began to question Mr. Flamm about Mr. Buchanan’s representation of him. The court established that although Mr. Buchanan’s representation of Mr. Flamm was not connected with the shooting of Mr. McElroy, it was connected with the altercation between Mr. Flamm and Mr. Alberni. The court did not ask Mr. Flamm for details regarding how the two matters were related.
The trial court then sought a waiver of the conflict from Mr. Flamm, but not Mr. Alberni. The court asked Mr. Flamm: “So you waive any conflict of interest that you might have by virtue of him representing both Mr. Alberni on this case and yourself in the matter for which you stand on probation?” To this Mr. Flamm responded: “None.”
Although the court insisted that Mr. Flamm had “waived his right to have [Mr. Buchanan] maintain his confidence,” the court never explicitly asked Mr. Flamm
Mr. Buchanan protested: “I don’t know whether a client can waive an ethical breach of a confidential relationship.” The trial court responded that there was “no ethics involved once he waived the conflict and his right to have you retain his confidence.” The court stated, “as a matter of law, in my opinion, and I hereby absolve you of any possible conflict of interest and the issue that is before the Court, the Court, as a matter of law, rules that you have no ethical issue with cross examining the witness because he has waived his right to have you maintain his confidence.” Mr. Buchanan responded, “All right. I’ll accept that.”
Mr. Buchanan proceeded to cross-examine Mr. Flamm. He did not impeach Mr. Flamm with his prior felony conviction. He did not impeach Mr. Flamm based on the fact that he violated his probation when he accepted drugs from Mr. Alberni. He did not impeach Mr. Flamm with the inconsistencies in his testimony. He did not impeach Mr. Flamm by pointing out the inconsistencies between his and Mr. Alberni’s testimony. Although he did ask him whether he had heard Mr. Alberni had called him a rat, he did not press Mr. Flamm on whether he was angered by that. He did not question Mr. Flamm regarding who started the altercation. He did not press Mr. Flamm when he contended he did not remember Mr. McElroy being present. He did not ask Mr. Flamm about Mr. Alberni’s claim that he hit him with his hand, not with a gun. Regarding Mr. Flamm’s claim that he went to see Mr. Alberni because he owed him money, the following exchange occurred:
Q You went there with the express intent of confronting Mr. Alberni in regard to things he was saying about you?
A No, because I owed him money.
Q Okay. Well—
A We went there to talk about money.
Q Well, if you owe somebody money, you don’t go look somebody up, do you?
A When it comes to him, yeah.
Mr. Buchanan: Nothing further.
The cross-examination took up only three pages of transcript.
Mr. Alberni contended on direct appeal in state court that the cross-examination violated his Sixth Amendment right to conflict-free counsel. The Nevada Supreme Court concluded that no conflict existed, and to the extent one did exist, the trial court’s questioning alleviated it. The district court concluded in the § 2254 proceedings that “the jury had already been informed that Flamm had been involved in selling drugs with Alberni; thus, the defense stood to gain little by asking Flamm about his felony drug conviction.” Accordingly, the district court held that Mr. Buchanan’s performance was not adversely affected by the conflict.
B
“The Sixth Amendment right to counsel includes a correlative right to representation free from conflicts of interest.” Lewis v. Mayle,
In several cases in which the Supreme Court has defined the right to conflict-free counsel, the defense attorney actively and concurrently represented conflicting interests. Mickens v. Taylor,
(“[W]e have used ‘conflict of interest’ to mean a division of loyalties that affected counsel’s performance.”).
When counsel objects to potentially conflicted representation, the trial court has an opportunity to eliminate the possibility of an impact on counsel’s performance through seeking a waiver from the defendant, appointing separate counsel, or taking adequate “steps to ascertain whether the risk [is] too remote to warrant separate counsel.” Holloway,
[T]his Court has concluded that the assistance of counsel is among those ‘constitutional rights so basic to a fair trial that their infraction can never be treated as harmless error.’ Accordingly, when a defendant is deprived of the presence and assistance of his attorney, either throughout the prosecution or during a critical stage in, at least, the prosecution of a capital offense, reversal is automatic.
That an attorney representing multiple defendants with conflicting interests is physically present at pre-trial proceedings, during trial, and at sentencing does not warrant departure from this general rule. Joint representation of conflicting interests is suspect because of what it tends to prevent the attorney from doing.
Id. at 489-90,
However, this authority does not guide our inquiry under these circumstances. Rather, we are bound to consider Supreme Court precedent, which holds that an actual conflict is defined by its effect on counsel, not by whether there is a “mere theoretical division of loyalties.” Mickens,
In Partin, after concluding that the waiver of attorney-client privilege had eliminated the potential for an adverse effect on counsel’s performance, the court went on to consider whether counsel’s performance was in fact adversely affected. Partin,
We are nevertheless unconvinced by Mr. Alberni’s argument that because he objected to the cross-examination of Mr. Flamm and the trial court’s inquiry was insufficient, no further showing of an actual conflict is needed. In Holloivay, it was unnecessary for the defendant to demonstrate
It is therefore necessary for Mr. Alberni to demonstrate that an actual conflict of interest existed. That is, he must show that Mr. Buchanan’s performance was adversely affected. It is not clear from its opinion that the Nevada Supreme Court based its holding that there was no actual conflict of interest solely on the fact that Mr. Buchanan no longer represented Mr. Flamm, and therefore was not “actively representing conflicting interests.”' See, e.g., Bragg v. Galaza,
The present record is insufficient to determine whether an actual conflict of interest existed. Mr. Buchanan failed to impeach Mr. Flamm with his prior conviction, his probation status, and on multiple points of his testimony. These omissions appear to be critical in light of the impact they could have on the jury’s perception of Mr. Alberni’s credibility and his propensity for violence. Mr. Flamm was called as a rebuttal witness to impeach Mr. Alberni. When the only evidence supporting Mr. Alberni’s claim that the shooting was accidental was his own testimony, it was critical that the jury find him credible. However, the failure to question Mr. Flamm regarding his prior conviction, his probation status, and his inconsistent testimony is not necessarily attributable to a conflict. A link between deficient performance and the conflict of interest must be shown. See Lewis,
We conclude that an evidentiary hearing is necessary to resolve this issue. A petitioner is entitled to an evidentiary hearing if he (1) alleges facts, which, if proven, would entitle him to relief; and (2) show that he did not receive a full and fair hearing in state court either at trial or in a collateral proceeding. Karis v. Calderon,
Mr. Alberni did not receive a full and fair hearing on this question in state court. The conflict was presented to the Nevada Supreme Court on direct appeal. Accordingly, the Nevada Supreme Court was limited to a review of the trial record. It did not have the benefit of Mr, Buchanan’s testimony regarding the tactical reasons, if any, behind his limited cross-examination. Its conclusion that there was no actual conflict of interest rested on an incomplete record.
Mr. Alberni’s postconviction petition was denied without an evidentiary hearing. The Nevada District Court reasoned that no hearing was necessary because the claim of a conflict was a “naked allegation.” On appeal from the decision of the Nevada District Court, the Nevada Supreme Court did not address the denial of an evidentiary hearing. In his state post-conviction proceedings, Mr. Alberni requested appointment of counsel to represent him. His request was denied. Because Mr. Alberni sought counsel and it was denied, he has not neglected his rights. See Bragg,
Should the evidentiary hearing demonstrate that Mr. Buchanan’s performance was adversely affected, the question remains whether prejudice will be presumed, or whether Mr. Alberni must demonstrate, under Strickland v. Washington,
. In Mickens, the Court concluded that in cases of concurrent conflicts, only an adverse effect on the attorney’s performance must be shown in order to obtain relief. In other words, after an actual conflict is demonstrated, relief must be afforded regardless of prejudice. However, the Court
In Lewis, a case we decided after AED-PA was enacted, we concluded that an attorney’s former representation of a prosecution witness resulted in an actual conflict of interest that impacted his representation. Lewis,
CONCLUSION
We vacate the decision of the district court regarding the conflict of interest claim with instructions that an evidentiary hearing be conducted on the question whether “some effect on counsel’s handling of particular aspects of the trial was likely” due to the potential conflict. See Lockhari,
AFFIRMED IN PART; VACATED AND REMANDED IN PART.
Notes
. The Supreme Court has denied certiorari at least four times on the issue presented in this case and reserved in Estelle. See, e.g., Hawkins v. California,
. Mr. Alberni also claims his due process rights were violated on the theory that the prosecution engaged in misconduct by commenting on the propensity evidence. The prosecutor’s comments on the evidence did not violate clearly established Supreme Court precedent.
Concurrence Opinion
concurring in part and dissenting in part:
I concur in Part I of the opinion. I write separately because it is important to underscore that the Supreme Court’s decision to pass on a question, even expressly, is not automatically the death knell for habeas relief. I dissent as to Part II because the attorney conflict issue here involves successive representation and Alberni is required to establish prejudice under Strickland v. Washington,
I. AEDPA RELIEF MAY BE AVAILABLE FOR RESERVED ISSUES
I concur in Part I of the opinion, with the understanding that the Supreme Court’s reservation of a specific question, expressly or otherwise, does not, in itself, preclude habeas review under the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”), 28 U.S.C. § 2254. In these situations, federal courts may still test the state court decision against clearly established underlying constitutional principles, as laid out by the Supreme Court. Ferrizz v. Giurbino,
The question then is whether the Supreme Court has “ ‘broken sufficient legal ground to establish [the] asked-for constitutional principle, [because] the lower federal courts cannot themselves establish such a principle with clarity sufficient to satisfy the AEDPA bar.’” Ferrizz,
Given the current posture of Supreme Court precedent, I concur that the Nevada Supreme Court did not violate AEDPA in deciding this claim. Although the most general standard of due process is not sufficient to meet the clearly established federal law requirement for propensity evidence, we must be mindful that when there is applicable and clearly established federal law in Supreme Court precedent, it should be applied on habeas review, even if the Supreme Court expressly declined to decide the specific issue. Robinson v. Ignacio,
II. STRICKLAND PREJUDICE IS REQUIRED FOR ASUCCESSIVE REPRESENTATION CLAIM
I respectfully dissent as to Part II of the opinion. The majority, relying on state court and circuit precedent, improperly relieves Alberni’s burden to show Strickland prejudice for his Sixth Amendment successive representation claim. Strickland remains the binding precedent for successive representation claims, and no clearly established Supreme Court precedent has imported a presumption of prejudice. Mickens,
In Strickland, the Supreme Court established that “[a]n error by counsel, even if professionally unreasonable, does not warrant setting aside the judgment of a criminal proceeding if the error had no effect on the judgment.... [A]ny deficiencies in counsel’s performance must be prejudicial to the defense in order to constitute ineffective assistance under the Constitution.”
The question, then, is whether any Supreme Court precedent supports an extension of Sullivan outside concurrent representation into successive representation. In the time between Strickland and the Nevada Supreme Court’s decision, the United States Supreme Court did not indicate a move from the confines of Strickland. And then, just a few years ago, the Court made it abundantly clear in Mickens that a presumption of prejudice is completely unsupported in successive representation cases. In Mickens, the Court chastised the Courts of Appeals that had improperly presumed prejudice in a variety of attorney conflict situations outside the concurrent representation context, including cases involving “counsel’s obligations to former clients.”
Put another way, Mickens pointedly counsels that a state court conviction may not be reversed on federal habeas review upon a mere showing of an actual conflict in a successive representation case— Strickland prejudice is and has always been required by the Supreme Court regardless of what circuit or state court precedent might say. See Earp v. Ornosky
The question of prejudice may be easily resolved on this record. Significantly, the Nevada Supreme Court held that there was overwhelming evidence of Alberni’s guilt, and that this overwhelming evidence rendered harmless propensity evidence of violence admitted against Alberni. The court’s finding is not unreasonable and a review of the record supports the same conclusion for the alleged conflict. Consequently, even if there were deficient performance by Alberni’s counsel, it was harmless error because, in light of the overwhelming evidence of guilt, there was no reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.
Instead of acknowledging the lack of prejudice, the majority proposes to remand for a hearing on the conflict. To what avail? If there is a conflict, then Alberni will still be required to demonstrate prejudice; it cannot be presumed. If he cannot establish prejudice, what is the point of a remand? Apparently the majority mistakenly believes that prejudice may be presumed. In doing so, the majority improperly relies on the state court decision and circuit precedent.
The Nevada Supreme Court denied Alberni’s successive representation claim under the Sixth Amendment on the ground that Alberni did not establish an actual conflict. In doing so, the Nevada court presumed prejudice from the alleged conflict. Relying on state law, the Nevada Supreme ■ Court quoted its case Clark v. State,
Even though this presumption is at odds with Strickland, we may affirm a habeas denial on any ground supported by the record, even if the reasoning differs from that of the lower court. Garcia v. Bunnell,
The majority seizes upon the state court’s ill-advised presumption, reasoning that “[t]he question whether prejudice must be shown in cases of successive representation is one that the Supreme Court specifically left open in Mickens.” Majority Op. at 9191. Contrary to the majority’s reasoning, for AEDPA purposes, Strickland prejudice is not an “open question” in successive representation cases. The Supreme Court unambiguously advised that its precedent does not support such an application. Mickens,
The majority further errs by relying on circuit court precedent to circumvent the Strickland prejudice requirement, pointing to Lewis v. Mayle — a Ninth Circuit postAEDPA successive representation case— where the court stated, without discussion, that if a petitioner can show “ ‘an actual conflict of interest [that] adversely affected his lawyer’s performance’ .... [he] need not show prejudice to the outcome of the trial.”
We may not reverse the Nevada Supreme Court’s decision under reasoning that violates the Supreme Court’s dictate. See Cooperwood,
Contrary to controlling Supreme Court precedent, the majority incorrectly adopts a presumption of prejudice in a successive representation case, citing the Nevada Supreme Court and circuit precedent. See § 2254(a) & (d)(1). I would not order an evidentiary hearing because even if there were an actual conflict from the successive representation, it would be harmless in light of the overwhelming evidence of Alberni’s guilt and the absence of Strickland prejudice. I would therefore affirm the state court’s denial of Alberni’s Sixth Amendment claim.
. Circuit precedent is, of course, helpful in our determinations under AEDPA, but it is not binding on the states. SeeEarp,
