Lewis J. Atley, A/K/A Gary J. Semeniuk v. John F. Ault, Warden, Asp, and the State of IowaLewis J. Atley, A/K/A Gary J. Semeniuk v. John F. Ault, Warden, Asp, and the State of Iowa
Lewis J. Atley (“petitioner” or “Atley”) filed a petition for writ of habeas corpus pursuant to
I.
Petitioner was arrested in 1994 after police discovered a psilocybin mushroom-growing operation in his home. After a six-count indictment was filed against the petitioner, attorney J.E. Tobey, III (“To-bey”) was appointed to represent him. On November 16, 1994, Tobey filed a motion to withdraw, stating that he was uncomfortable representing petitioner because petitioner insisted on acting as co-counsel. The court granted the motion and appointed attorney Carroll J. Walker (“Walker”) to represent petitiоner.
On January 7,1995, petitioner requested that Walker be replaced. The court granted the request, noting: “it appears that all communication between defendant and counsel had broken down.” The court then appointed attorney Robert Weinberg (“Weinberg”) to represent petitioner. On April 21, 1995, a pretrial conference was held and trial was scheduled for June 5, 1995.
On June 1, 1995, Weinberg learned that he had been hired, effective June 15, 1995, to replace Hugh Pries (“Pries”) at the Scott County Attorney’s office. Pries handled a large number of drug сases for the county attorney’s office and had close relationships with the Quad-City Metropolitan Enforcement Group (“MEG”) officers, who were to be the principal witnesses in the case against petitioner. Weinberg immediately informed petitioner that he had accepted a job with the Scott County Attorney’s office and that he had ethical problems with his continued representation of petitioner.
On June 2, 1995, Weinberg filed a motion to withdraw as counsel of record, citing ethical and disciplinary rules, as well as constitutiоnal concerns. Petitioner subsequently filed his own motion for removal of counsel and phoned a threat to Weinberg that he would ask the Iowa Supreme Court to sanction him.
On June 5, 1995, the court heard arguments on Weinberg’s motion to withdraw. Both Weinberg and the State argued in favor of the motion:
Mr. Weinberg: I feel that there has been adequate preparation taken so that an additional — a new attorney would just clean up those items that Mr. Atley had wished to pursue prior to trial, but I think that under all the circumstances— just to be quite candid with the court, I just feel that I’m put in a very difficult position, in terms of what the canons of ethics require. .
Mr. Atley, I think, as shown from the record, is a fairly difficult person to deal with. I’ve had support with him; however, on my answering machine this morning was a — you know threat to ask the Supreme Court to take sanctions about me, which after I talked with him last night — I mean — I had no inkling about, but — you know, I got different signals from him. I just think that there’s such a breach in the attorney-client relationship that I could not be effective, and I think the outcome of this case is likely to be such that the fact of my having pursued a triаl under these circumstances would raise serious questions about whether or not any future conviction would stand, that I have — I have that concern also.
THE COURT: Does the State have anything it wishes to add?
MR. OTTESON: Yes, Your Honor.. I have reviewed Canon 5, which states a lawyer should exercise independent professional judgment on behalf of a client, have also reviewed the ethical considerations in the disciplinary rules under that canon, and I concur with Mr. Weinberg in the conclusions that he has drawn from them.
The State is in a very difficult position in this case, in raising — in making a specific statement or a specific claim,since Mr. Weinberg is going to be, in the near future, working with us. Most of the cases and opinions that have dealt with changes of employment by lawyers have opted in favor of the client being given the rights, and not deprived of them, and I think that clearly, in this case, forcing this matter to trial today would be going against the general grain of those opinions.
After hearing from both counsel, the trial court denied the motion, stating that Weinberg had been a zealous advocate to that point in his representation of petitioner and that, based on its personal acquaintance with Weinberg, the Court had no doubts that he would continue to zealously represent petitioner. The trial court further noted that court-appointed attorneys, members of the defense bar, county attorneys and part-time magistrates often switch roles and are able to do so without difficulty. With regard to the MEG officers, the trial court stated:
The MEG officers, in addition to the prosecutors and the defense bar, all get along well and understand each other’s roles, and will not be inclined to testify any differently at this trial than they would be otherwise, nor will they treat Mr. Weinberg any differently after June 15, when he changes hats.
Finally, the trial court stated that it didn’t “give a huge amount of weight” to the concerns raised by petitioner because he was on his third attorney and it appeared that petitioner was engaged in an attempt to delay the proceedings.
The trial began on June 5, 1995, and, on June 8, 1995, the jury returned guilty verdicts on all six counts. 3 Petitioner was sentenced on June 27, 1995 to a term of imprisonment of 20 years.
On January 22, 1997, the Iowa Supreme Court affirmed thе conviction. Atley petitioned for and was granted a rehearing en banc. The en banc court affirmed his conviction, with three justices dissenting.
See State v. Atley,
On July 14, 1997, petitioner filed the Petition in the instant case. The district court granted the Petition, finding that the majority opinion of the Iowa Supreme Court was an unreasonable application of clearly established federal law on two separate and independent grounds:
First,
the Iowa Supreme Court unreasonably applied the United States Supreme Court’s deci
II
Our review of petitioner’s habeas petition is limited by the Antiterrorism and Effective Death Penalty Act of 1996, which provides in relevant part:
(d) An application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a Statе court shall not be granted with respect to any claim that was adjudicated on the merits in State court proceedings unless the adjudication of the claim—
(1) resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States; or
(2) resulted in a decision that was based upon an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.
A. Clearly Established Supreme Court Precedent
The Sixth Amendment provides: “In all criminal prosecutions, the accused shall enjoy the right ... to have the Assistance of Counsel for his defense.”
In
Strickland,
the Supreme Court held that to obtain a reversal of a conviction for ineffective assistance of counsel, a petitioner must show that counsel’s performance fell below professional standards of competence, and that the deficient pеrformance prejudiced the petitioner.
Id.,
Cuyler
applies, however, only to those cases in which a defendant raises no objection to his counsel’s representation at or before trial.
See Cuyler,
In
Holloway,
the trial court appointed one public defender to represent all three defendants at the same trial.
Holloway,
Petitioner’s Sixth Amendment claim is that, when notified of the potential conflict of interest, the trial court violated its constitutional duty under
Holloway
to conduct an adequate inquiry, thus requiring an automatic reversal.
See Alley,
B. “Contrary to” or an “Unreasonable Application of’
A state court decision is an “unreasonable application of’ clearly established federal law if the “decision, evaluated objectively and on the merits, resulted in an outcome that cannot reasonably be justified under existing Supreme Court precedent.”
Long,
1. Duty to Inquire
On June 5, 1995, the state trial court heard argument from both Weinberg and the prosecutor that Weinberg could not continue to represent Atley. As the Iowa Supreme Court recognized, the representations of Weinberg and the prosecutor alerted the trial judge to the “actual or serious potential for cоnflict that might occur during the trial” and “necessitated an inquiry by the court to assess its gravity.”
Atley,
Although the record reflects that the trial court was aware of the areas in which a conflict of interest could have arisen, such knowledge alone does not satisfy the requirements of
Holloway.
Under
Holloway,
the purpose of the inquiry is to “ascertain whether the risk [is] too remote to warrant [new] counsel.”
Holloway,
We recognize that the nature of the factual inquiry required by Holloway is necessarily case-specific, and that, in some cases, no inquiry may be required because all of the relevant facts have been disclosed to the court. Holloway cannot be interpreted so broadly, however, as to condone the “inquiry” conducted by the state court in the instant case. As the record shows, Weinberg raised in only the broadest strokes his potential conflicts of interest, including the potential conflict with the MEG officers who would be testifying in the case. The рrosecution agreed that Weinberg’s change of jobs warranted substitution of new counsel. In such a situation, the trial court must do more than substitute its opinions as to the congeniality among MEG officers, prosecutors and members of the defense bar, for an actual inquiry into the factual basis of Weinberg’s motion. Stated differently, the trial court’s dialogue improperly assumed answers to questions that were never asked and were necessary to its determination of whether the alleged conflict of interest required the substitution of new counsel. Instеad of ascertaining whether Weinberg would be able to vigorously cross-examine the very people with whom he would be working closely, the trial court opined that each side would perform its roles appropriately. Given the risk, as acknowledged by the Iowa Supreme Court, for an “actual or serious potential for conflict,” the trial court failed to take adequate steps to ascertain the gravity of Weinberg’s motion. Thus, we hold that the Iowa Supreme Court’s conclusion that the trial court adequately inquired into the potential conflict of interest, evaluated objectively and on the merits, was an unreasonable application of clearly established Supreme Court precedent. 5
In reaching this decision, we reject the Iowa Supreme Court’s reliance on
United States v. Horton,
Horton,
however, is easily distinguished from the instant case on numerous grounds. Most significantly, Horton did not raise his attorney’s potential conflict of interest at trial, relying instead on a “vaguely-voiced distrust” of his counsel.
See Horton,
Horton
is also factually distinguishable from the instant case. In
Horton,
the defendant was the only individual claiming that his counsel had a conflict of interest.
Horton,
Finally, we note that the trial court’s concern that Atley was engaging in some sort of dilatory practice does not excuse its failure to adequately inquire into the nature of the alleged conflicts of interest. Although trial courts must, in general, be wary of defendants who seek dismissal of counsel as a means of delaying trial, the potential conflict of interest in the instant case was raised primarily by petitioner’s сounsel and was supported by the prosecutor. As the dissent noted in
Atley,
“[t]o ascribe to Atley a motive to delay would necessarily mean that the trial court was ascribing such a motive to Weinberg and the prosecutor as well.”
Atley,
2. Appropriate Relief
Having determined that the Iowa Supreme Court’s decision constitutes an unreasonable application of clearly established federal law, as announced by the Supreme Court in
Holloway,
we turn to petitioner’s requested habeas relief. As
Holloway
makes clear, a failure to cоnduct an adequate inquiry constitutes a violation of the Sixth Amendment right to counsel that requires reversal. This case is before us, however, on a petition for writ of habe-as corpus, not on direct appeal. Because the Supreme Court has made clear that collateral review is different from direct review,
see Brecht v. Abrahamson,
In
Brecht,
the Supreme Court held that сonstitutional trial errors would be evaluated under the harmless “beyond a reasonable doubt” standard set forth in
Chapman v. California,
As stated above,
Holloway
requires reversal where the trial court failed to discharge its duty to inquire into a known potential conflict because prejudice to the acсused is presumed.
Holloway,
In granting Atle/s petition for writ of habeas corpus, the district court stayed its exеcution for 90 days to permit the State of Iowa to make a decision whether to prosecute petitioner again, and if so, time to provide Atley a new trial. Therefore, the writ shall issue unless, within 90 days from the date of this opinion, the state has commenced proceedings to retry the petitioner.
Notes
. The HONORABLE ROBERT W. PRATT, United States District Judge for the Southern District of Iowa.
. Manufacture of a controlled substance (psi-locybin) in violation of Iowa Code section 124.401(c)(6), possession of a controlled substance with the intent to deliver (psiloсybin) in violation of section 124.401(l)(b), failure to affix a tax stamp (psilocybin) in violation of section 453B.12, possession with the intent to deliver (cannabis) in violation of section 453B.12, and possession of a controlled substance (methamphetamine) in violation of section 124.401(3).
. The court notes that both
Holloway
and
Cuyler
involved situations where the alleged conflict of interest arose due to counsel’s joint representation of co-defendants. The rule announced by these cases is not limited, however, to such situations.
See, Wood,
. Because we find that the Iowa Supreme Court’s conclusion that the trial court adequately inquired into the potential conflict of interest was an unreasonable application of clearly established federal law, we need not address the district court's determination that an actual conflict of interest existed that required the appointment of new counsel for petitioner.