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Ray C. Ballantyne v. United States
237 F.2d 657
5th Cir.
1956
Check Treatment

*1 RIVES, Before CAMERON Judges. BROWN, Circuit Judge. RIVES, Circuit appeal judgments This is from two court, upon conviction *2 deposit slips appellant, were and the appellant received each which the handwriting. appellant’s imprisonment. made out in the of six months sentence agent Taylor that, for Mr. “As concur- testified run to The rently was second sentence corporation known last he was the Each conviction the first. money.” obey person custody of the have refusal for the was He, course, Ballantyne for requiring called of the court an or orders order explanation pro- questions an of the withdrawals. certain him to answer pounded witness before him as a “Q. language In as near the notwithstanding claim his jury, every- Ballantyne used, give Mr. thing us questions answers to the his you respect. in that he said to him. to incriminate Quoting tend I A. as near as can recall: you matter importance ruined of the ‘To tell that I would be In view being prolix, we set financially. the risk and at I leave would have to ” length appellant’s sta- at some forth town.’ setting community, in in tus Again, explanation particular in of three asked, and the questions were which the legal withdrawals, Ballantyne items of cash was Vice- procedure. The “graft.” only used one word Baleo, operating head President course, Agent Taylor reported to In due engaged Inc., corporation in construc- George Stephen, Group Supervisor of A. building of roads tion work and Intelligence Division Internal of the consisting family bridges. had a He Houston, Service, Revenue Texas, stationed at belonged child, to a one of a wife Ballantyne him had told part, to he took an active church in which graft. Mr. for the withdrawals were club, accused been had never one social that, Ballantyne’s Stephen “Mr. testified knowingly crime, as- nor had he Taylor to Mr. seemed to have statement against It with criminals. sociated relationship” in- definite with “certain background reputation that excellent brought (which) had been formation guilty appellant was of conduct Revenue our attention the Internal questionable to cause him invoke so concerning agents possible of cer- income protection of the Fifth Amendment. “investigation individuals,” and, tain an beginning controversy was The already progress.” that was Accord- of the income tax returns examination Baleo, an ingly, Ballantyne Stephen subpoenaed had in- Inc. connection an concerning testify disposition vestigation parties.” The of “some third withdrawals. testified, examining Taylor, agent, Mr. Intelligence obviously Division was cash withdrawals were numerous “There seeking recipients to ascertain the made, determine which we could not alleged prior payments Stephen Mr. gone party, have to a third under them to they investigating testified that were not they would have to be such examination Ballantyne Mr. tax At income fraud. Mr. Ballan- dividends to constructive time, Stephen same Mr. conceded the that, tyne.” withdrawals All of these' cash Baleo, payable on checks were knowledge only I “The have about City Pasadena or either the Inc. from any bribery at all the statements LaPorte, City A rela- Texas. few Ballantyne ap- Mr. made when he directly tively were cashed small checks office, peared in our and the state- being deposited to the credit without Agent ment that Internal Revenue during and, years 1951, Inc., Baleo, Taylor told me was made to him $50,000.00 1953, approximately 1952 and Ballantyne, money Mr. that the had de- from checks were withheld was graft gone payments city of- listing slips deposit posited, ficials.” checks and the cash with- amounts Ballantyne accompanied always held, in round to this ex- numbers attorney. Initially, many his The checks amination thousand dollars. so special attorney explained agent, corporation for the endorsed background and social testified that out though an had he he “that except plead he had no other Baleo, of income source could Mr. Attorney Inc. The United States Amendment, because him, then asked un- him might possibly incriminate *3 testify. “Q. right. report- law you state der All Have he Bribery “Q. make What particular public officials.” state reference law, any, ? A. did yes. ed all [******] that income? A. I have, explained to “Q. agent you any special had Have ever received the After gratuities side, any Amendment attorney Fifth the little on side that the the protect pocket payments your not did that went into Constitution crimes, the pocket, more, of state against of a disclosures hundred dollars “Well, another your there attorney replied, which were not turned over to might your incrimina- be accountant and to the best of possibility that there knowledge reported your evasion.” on for tax income tion any tax return? A. I Ballantyne to answer Not know that declined disposition the of.” questions as ground an- withdrawals, that on the Appellant was then confronted most him, might to incriminate tend swers deposit slips and checks which dis- and assigning Fourth both closed the cash withdrawals. then He engage in some Amendments, did but testify kept declined to whether he record conversations. off personal use, withheld for cash his own Ballantyne disposition it, tell “Q. or what Mr. he made of in- did What voking remarks record the Fourth you and Fifth Amend- these off ground during statement “on the sworn ments that there is a time might possibility being A. He told that it incriminate me taken? was the state- under the agents present made federal laws.” When the Unit- during Attorney require course ed States undertook to ment the — just was he him to be definite as to proceedings that what crime he prosecuted for, appellant aft- fish, weren’t that we re- small plied, there were parties. That real er the bigger pay- made had that ones other “Well, right, thing, all there is one made, and had ever he than ments that one the federal revenue men thing pretty univer- type that responsible did threaten to hold me him to ruin would sal, it that money, prosecute for all this me concerning * * * information furnish income on Well, tax evasion. graft.” any payments just just it federal the — agent pres- special Stribling, another perjury. Mr. laws of There’s ten million record con- off the ent, just remembered them. You stated that there follows: are shelf after shelf of versation books on it. know; engineer, I don’t I am an I “Q. you Bal- pos- in Mr. tell us Can lawyer.” am words, lantyne’s close as own Well, A. sible, just said? what he testify concerning He also declined to payments awere such said he interview his Agent Taylor with Internal Revenue thing; they normal usual subsequent and his ex- Washington on from made agent special amination before the Intelligence remain down, in order to Division of the Internal Rev- it was competitively business Baleo, Service. enue He admitted that necessary him to do that.” simply performed had 12 to 15 Inc. contracts Pasadena, gross ap- subpoenaed amounts next $2,000.00 grand jury $300,- varied from at Hous- which a federal pear before 000.00, September 1955. Be- and two contracts Texas, with LaPorte on ton, gave Baleo, jury, that the checks grand his business Inc. were- fore transcript transmitted to him and that he handled shown in the filed Court, depositing you of the checks. would continue to invoke Fifth' Appellant replied, Amendment.” Judge Magruder First Chief for the “I refuse to answer pointed “The Circuit well has out grounds to do so to in- Congress tend separate and has not degrade me, my criminate and and I base before a distinct offense a witness rights refusal on the of the Fifth Amend- grand any ques- to answer to refuse ment to the Constitution of the United pertinent in- tion matter under * * * Attorney States.” The United States quiry. jury must him, then told depend upon punish contu- the court *4 con- Ballantyne, witnesses. The criminal “Mr. opinion macious it is our tempt, one, contempt you of the au- it be is obey that have refused to law- thority court.” Carlson the ful and considered order of the Cir., Judge 209 F.2d Chief of the District Court Texas, the Southern District Accordingly, Attor- United States the you in that have refused to answer ney ap- reported the court that specific questions, any the or other ques- pellant had refused to answer the questions thereto, you related requested order the court tions and yesterday.” were ordered to answer request him to make answers. At the attorney, appellant’s Accordingly, the court of the on the afternoon of the hearing request postponed day, September on that the 1955, appellant same following day, September again until the court, hailed before the the proceedings be- Attorney stating at which time United States grand jury had been transcribed. fore the court: hearing very patient at After a full and Ballantyne appeared “Mr. 11:00 appellant’s counsel introduced response o’clock in to the Court’s testimony Revenue Internal order, but declined answer disclosing substantially agents, facts questions pre- and all which he had recited, already been which have viously declined to answer. court to return directed government “The therefore asks grand jury questions.1 and answer the Ballantyne charged that Mr. with succeeding Accordingly, day, on the contempt, criminal and after notice September again appellant was hearing punished that he be grand jury sworn as a witness before the contempt by imprison- such criminal questions propounded and several custody ment of the United previous to him on his examination pe- States Marshal for such definite again him, of which he re- asked each riod time as the Court see ground fused to answer on the fit, period and that such definite him, answer tend to incriminate time as the Court sees fit or be all invoking Amendment. part Ballantyne of it remitted if Mr. Attorney him, States then asked purges contempt by himself of his through you “If I went asked those obeying the lawful and considered questions same exact verbatim as are order of the Court. Well, grand jury “The under the state of Court: of the Southern District of nearly house, I believe the case more the record Texas here in this court I believe Walker, point floor, case of Brown is the on the third at 11:00 o’clock to- morning, [16 questions U.S. morrow and answer every 819], propounded the Court held that in which that have been to him and set enforcing good transcript testimony, is bound to aid in citizen forth law, testimony, body, he has no to usé his his before that which is pre privilege hearing to shield others under a matter record in this at this protecting his name. text of time. believing, why, clear, Ballantyne?” I will wit- order the “So “Is that Mr. Ballantyne, ness, appear C. before E. contempt, definite, both, setting charge or either is criminal “The is definite, place and the questions the time and

for failure to answer response fact hearing is criminal before the something I will deter- order of due and lawful present mine at that time.” Mr. Court. attorney.” here ap- hearing, appellant At the October attorney, peared re- request additional counsel. He On the quested specification hearing fol- postponed until clear of whether “a the lowing Tuesday, not, ruling not, or a fol- as to whether with the October lowing this is a civil or colloquy criminal nature as to the charge.” “Well, you replied, hearing: The court orig- present were not at the time Honor, Wilkey: I will “Mr. Your hearing. was, inal Your co-counsel de- to state for the ask the Court Attorney time District stated at that fendant and his counsel contempt pro- that this was a criminal proceeding is in the nature of a show ceeding.” Appellant’s then new counsel cause, show for the defendant recognized though stated he why not be cited cause should *5 charge under the rules notification of the contempt. punished for criminal might oral, appellant to be was entitled you Do Court: understand “The specification ques- have a clear of what that, counsel? required by specifically tions he was the Honor, I “Mr. Cornish: Your un- court to answer he re- and what answers derstand considered this would be adjourned fused make. to The court then although matter, contempt a civil hearing appellant the in order that could penalty fine or con- be either can grand jury be returned before the ? viction again precise questions asked the that right. “The Court: I That’s don’t original hearing. were asked him in the know that there is to limit as Again, appellant went before the fine, either the amount day, 4, on that October same when fine, there should be a or the amount questions all of asked him on imprisonment, if there should original hearing September 28 were imprisonment. both; It can’t be repeated, and to the material ones it has to be one or the other. declining responses made like to answer understanding My “Mr. Cornish: ground on the that the answers proceeding. is it is a civil invoking pro- incriminate him and Wilkey: Honor, “Mr. Your there of the Fifth tection Amendment. charge is some confusion here. The subsequent On his return later in the government made is one of court, day before the new contempt. criminal That is the counsel insisted that “this is a different charge which the defendant will be charge than the one we had beforehand.” Tuesday. called to answer on Attorney po The United States took the right. “The Court: All that, questions sition “there are several “Mr. Cornish: Is Your Hon- that hearing grand jury in the before the on order, or’s that it criminal is a con- September exactly ques 30 which are tempt? propounded grand jury tions before the Well, September 28, specific “The Court: I on questions in which don’t know those necessary that it is for me to de- were asked the same words you defendant,” requested termine I that now. will let to the that the argue regardless question. proceed But on court its order to answer two civil, questions.2 of whether it is criminal or of such Ballantyne, amount, gross Mr. “Q. on occasion that hibit amount of regard you interrogated $18,552.60, cash, with the were to a de- notation ‘less slip $5,000.00,’ posit Jury deposit, $13,' then identified as Grand Ex- the next tempt, granted.4 directed, As a on “Proceed which the court The court then other, then, hearing, result of entered that that the court without reference findings fact,5 again appel- prejudice its and without found disobeying bring guilty question lant him back what on the refusing today.” order or conclusion of the court occurred At orders hearing questions, appellant imposed an answer found the court findings guilty contempt.3 run Formal additional sentence six months concurrently previous formal with the sentence. fact and of law conclusions judgment and were thereafter sentence contempt, As to his conviction first Ballantyne appealed promptly entered. (1) contends: judgment from this of conviction. comply court Fed- did not Rule 14,- 1955, Procedure, Thereafter, U. eral Rules of Criminal October on S.C.A.,6 es- motion in that it did “state the Government filed an additional constituting con- sential facts for a order and criminal the criminal show cause deposit Ray Ballantyne appear ; regard “Ordered that C. and in 552.60 o’clock, slip item before dollar this Court at a. thousand 10 m. five why you thereon, October and show cause asked: Ray Ballantyne “ said held C. should not be regard thousand five dollar ‘In criminal for the reason keep item, sir, you yourself did Ray willfully, the said C. did your personal use?’ own disobey good deliberately, and not in faith question again, you asking “I am lawful considered orders your IA. refuse sir. What is answer? September on grounds to answer refusing October answer incriminate and do so that to tend questions proper *6 certain proceeding asked him in a my degrade me, the refusal on and I base Jury before the this Grand of rights the the Amendment of Fifth session, District Division now the and in Constitution of the United States. questions having previously said been ask- not, true, that at the It is is it “Q. Ray Ballantyne Sep- ed the said C. on by you the Inter- time were interviewed 28, 1955, having tember and the Court agents, you, either Revenue on this nal hearing found after on due notice and you thereto, deposit slips other similar September ques- the said you personally emphatically denied tions, them, and each of the said asked of kept on the listed the de- had posit cash items presented Ballantyne, no reasonable slips? I not correct? A. Is that danger real in of incrimination. And question the refuse to on answer * * thereof, furtherance may ground tend to incrim- that to do so Ray degrade my me, C. I base re- the witness and and “On October inate Ballantyne grand appeared rights the the Fifth Amend- before the fusal on of jury Houston, Texas, response to the the of ment Constitution subpoena orders the issued and of Court States.” September 4th, 29th and October and beyond doubt that 3. “I find a reasonable ques-. twenty thereupon to answer refused * * * Ray you, wil- C. him, propounded tions previously been which had good fully, deliberately faith and not September him 28th. asked on disobeyed of this Court in re- the order originally day witness refused On that questions fusing asked to answer certain twenty-six questions. of to answer Two proceeding you proper before the in a 30th, September these reasked on jury grand and divi- this district this of I Four and on these ruled October 4th. now in session. sion twenty-six original witness an- of questions and that said “I further find grand jury swered before the 4th, on October Ballantyne, the said of them asked of each twenty questions I but to on which question here, pre- particularly the two ruling he refused to am now answer. danger real, or real no reasonable sented twenty questions (number- text of the and incrimination. further of original Jury ed as in tran- Grand Ray C. Ballan- the said “I therefore find * * script) answers are follows: Court, contempt tyne of this in criminal Contempt 6. “Rule 42. Criminal custody hereby him to of commit Summary Disposition. “(a) A South- criminal States Marshal the United punished summarily imprisonment contempt for District of Texas ern that he period certifies saw or heard months. six a , constituting contempt “Committed.” .conduct protection privilege, charged contempt it as constitutional and describe such”, (2) appellant entitled we was are view that the constrained to lack pro- jury (3) that, specificity trial, by under technical ing court in stat Amendment, appel- harmless, the offense as tection not affect refusing ing contempt appellant’s rights was or con lant not in substantial stituting questions. deprivation process.7 answer the of due conviction, appel- As to his second Right Jury II. Trial. contentions, and also makes same lant deprived Appellant’s had been that the district court insistence that he prior appeal by to this jurisdiction jury was appellee entitled to a trial labeled afterthought”, the second as a “distinct agree. we jury the first. There barred was no for a demand required by applicable stat Sufficiency the Notice. I. ute, 18 U.S.C.A. See Adams v. 63 S. ade We record shows think the Ct. compliance Couts United quate and substantial Cir., States, 8 (6), 249 F. In 42(b) spirit [Footnote Rule deed, throughout pro the issue is raised for the time supra], each first appeal. ceeding this Unless there cons appellant’s sufficient be a counsel was right charge, jury titutional8 ly to trial in con basis for each informed tempt proceedings of this kind pertinent which has statements from other both waived, question not been court, then the his admitted virtue of hearing of the has possession each before preserved ap prior been peal. transcript review complete all any event, In jury proceedings is im basis holding, charges. posture if we material presently are correct our In this charged stated, that, being to be record, as matter appellant law, protected by knowledge questions which he of those obey Fifth Amendment in claimed his refusal under to answer had refused *7 pres- fixing the court shall enter punishment.” order actual an it committed that was contempt The order of court. ence signed shall be facts and recite the shall Compare United v. States Mine United judge by record. and entered Workers, 258, 296, 330 U.S. 67 S.Ct. Upon “(b) Disposition Hear- and Notice 677, 884; Cir., Michael, 91 L.Ed. In re 3 pro- except contempt ing. as A criminal 627, 628, 146 F.2d reversed on other (a) rule shall this vided subdivision grounds 224, 78, 326 U.S. L. 60 S.Ct. 90 prosecuted shall The notice on notice. be 30; Patterson, Ed. United States v. 2 hearing, place allow- the time and state Cir., 4; 659, 662, 219 F.2d n. Interna preparation ing time for the a reasonable Union, tional United Mine Workers of defense, shall state the essential America, States, U.S.App.D. v. United 85 constituting the criminal facts charged 149, 29, 177 F.2d C. it The no- as such. describe orally judge dissenting expressions by 8. See the given of Mr. shall be tice open Black, by presence the defend- Justice concurred in Mr. Justice court in the Douglas, States, or, application in Sacher v. United States United 343 on ant 89, attorney by 1, 20, 451, appointed 717, attorney 72 U.S. S.Ct. 96 of an L.Ed. or tending persuasion opposite purpose, an order to and as court Corthat tho Debs, 564, 594, The see In re 158 order arrest. U.S. S. or an 15 cause show by jury 900, 1092; L.Ed. Ct. Bessette 39 W. is entitled v. defendant Conkey Co., 324, Congress 326, B. an act of 194 U.S. 24 S. in which case 665, 997; Myers provides. 48 L.Ed. to admission Ct. is entitled He so States, 95, 103, 272, 44 provided If the 264 U.S. these rules. S.Ct. as to bail 577; charged disrespect 68 Michaelson v. involves L.Ed. United judge States, judge, 42, 18, is dis- 266 U.S. 45 of a S.Ct. L. criticism parte 162; presiding Grossman, qualified Ex the trial or Ed. at 267 U.S. from 87, 117, 118, hearing except con- defendant’s 45 S.Ct. L.Ed. guilt finding Upon Workers, States v. Mine verdict United United sent. 330 U.S. S.Ct. 677. requir- the order or ing orders of the court is secured to him law. If a di- questions. may him to answer the rect answer to it him- criminate self, then he must be the sole Appellant’s III. The Merits Claim what his answer would be. The to the Protection Amend- the Fifth participate court cannot with him in ment. judgment, they this because cannot decide on the effect of his answer question presented A most difficult is knowing be; without what would to rec- as ognize how far the court is bound and a disclosure of that fact an- the witness’ that his claim judges strip privi- would him of the The swers subject tend to him. incriminate lege allows, which the law adequately Vol. VIII treated in ” Wigmore he claims.’ Vol. VIII of Wigmore ed.) (3rd on Evidence § (3rd ed.) pp. Evidence seq., et where the author notes 405-406. the true was first forth Chief rule set language Aaron Burr’s Justice John Marshall in trial, This of Chief Justice Marshall Burr, consistently United Fed.Cas.No. can v. States reconciled with the Reports 243, 14,692e, present day expressions 1 Robertson’s Court’s in Hoff States, follows: man v. United “ and the liberal principles ‘When come in two conferring rule protection upon broad an other, conflict with each the court invoking privi-. accused lege against his constitutional give must them both reasonable applied self-incrimination construction, preserve só them this Court in Marcello v. both to a reasonable extent. Cir., 196 F.2d v. Poretto United principle which entitles the United States, Cir., 392.9 F.2d testimony every States citi- announcing holding In its in Hoffman zen, principle by every supra, the Court said: privileged witness is not to accuse setting “In ‘perfectly it was not himself, can neither of them be en- clear, from a careful consideration of all tirely disregarded. They are b&- case, circumstances in the preserved lieved both to be to a rea- mistaken, witness is according the an extent, sonable possibly swer[s] cannot such have tend true and of the intention the rule ency’ page to incriminate.” 341 U.S. observing rule, by exception to that page 71 S.Ct. at 819. that course which it is conceived generally courts have observed. It appel- The district court referred to pro- is this: When a agents lant’s statements to the and his *8 belongs pounded, to the testimony court jury appear- at his first any di- ance, consider and decide whether that, and held therefrom in ab- implicate it can rect answer to proof beyond sence of a reasonable doubt If witness. negative, this be decided contrary, to the the court must assume then he answer it appellant paid had all income taxes violating privilege prior without due from him.11 Such statements years During intervening 9. from Chief States, 159, Blau v. United 340 U.S. 71 decision in Aaron Marshall’s 223, Justice S.Ct. 95 L.Ed. 170. until the advent of Hoffman Burr’s case 479, emphasis 71 S.Ct. 10. It U.S. should be noted accord, ap 814, itself, and cases in Court is that of the Court departed pears in have in numerous “This, my opinion, spe- any constitutes from such construction broad stances compare, cific denial under oath privilege. See and Brown witness personally kept Walker, 591, 599-600, or received 161 U.S. S. v. corporation 819; repre- the benefit of the 644, Mason funds 40 L.Ed. v. Ct. States, United by 621, 362, such, sented ‘less cash’ L. items. As Rogers 1198; previous States, 340 v. it confirms his United statements made Ed. 344; agents to the revenue 71 S.Ct. U.S. ‘less cash’ Attorney impor- course, testimony were, an the United States extracted and setting general background or from him that he part answers tant income, reported did had of his against all determine must court which the gratui- “little not know of additional possibly have his answers could whether side, any payments pocket appellant. ties on the side tendency to incriminate your however, pocket”, his sub- that went into as a importance, Of not less Jury testimony setting, sequent background Grand before the or part such again September 30, on 4, on October ex- appellant both asserted fact that the pressly clear, cleavage possibly is not so by implication had that he though appearance pay sworn each he was as to moral scale so low in the sunk any event, Thereby, In States anew. the United graft, public officials. to bribe skillfully Attorney not, se- unwittingly not, thus his could or he shed whether general curing appellant proved claim respectability, him- from cloak innocence, preclude from him thereafter who man of bad character self a relying evading upon privilege his constitutional his income taxes not be above specific concealing attempting withdraw- conceal when confronted or extravagant Apt is lan- guilt by such a situation the Emspak claims als. guage false or his Supreme many graft. hold others who Like so purchasers or v. U.S. of votes United out as themselves bribes, may L.Ed. “To purveyors 997: con S. Ct. influence thereof, money, part to violate this would be clude otherwise or a have let the Compare oft-repeated pockets. own admonition that Court’s in his own stick ‘indulge every reason courts must Kiewel v. factual situation similar against presumption waiver of fun States, Cir., 204 able F.2d ” rights.’ constitutional damental appellant opinion, In our absolutely claims to concluded his government’s assumption, agent Internal Revenue court, the district concurred graft. As said were for we withdrawals appellant his state was concluded agent States, supra, 196 in Poretto testimony and his at ments to the page 394: F.2d at appearance, Jury would the first Grand beg effectively as wheth privilege “The constitutional at partic perfectly clear witness in each that the answers taches to the it was er possibly tendency is ular case in which he called have a to in cannot testify, appellant without reference to his for violation criminate the statutes, declarations other time or at some 26 U.S.C.A. § tax evasion the 145, I.R.C., place proceeding.”12 or in some other Clearly, agent later to the Grand lied to Cir., Neff, In In re F.2d quite possible, ap Jury, then and that 36 A.L.R.2d it was held that along of, perhaps pellant, instead privilege a waiver of the before hypothetical officialor of dishonest some through Jury carry Grand did not ficials, guilty of crime which his an subsequent trial. between As We think that that would disclose. testimony appearance swers before first possibility into considera- must taken Jury September *9 28 in the Grand which items tain tyne Jury, his income taxes tion, he told the truth while under plained keep did “Unless not hear unnamed individuals guilty or receive went, I cash withheld. must I he assume not himself did not assume that he perjury testimony, to for himself, benefit of the the witness liallan- before the Grand Legally, for years I must but oath ‘graft’. personally has in since believe unless unex- ques- paid cer- I 12. proven his v. guilty presumed,; Cir., $ See “That Steffen, D.C.Cal., fit previous he did not. 196 [*] also, of to being so, considering along perjury, F.2d innocent me Marcello v. United statements beyond 437, 445; to the unless No 103 man reasonable doubt F.Supp. contrary proven guilty. United States is assumed States, agents, 415. he is 5 prosecution ruling' cause upon appellant’s lant had no- to fear claim tion in apprehend income tax protection Amendment. evasion or the Fifth under give the answers he would refused many other Appellant’s counsel lists charge. tend incriminate him of such a appel- of which he claims statutes Appellant, reasonably himself, might apprehended introduced as his have lant agents make witnesses three Internal- need not of the We self-incrimination.13 by proved Revenue Service various them that such examination of a detailed appellant freely lawyer and his possibilities, to us had stated for it seems clear money truthfully to them that the in have was- his answers money criminally responsible his not and was retained proven him being him; agent paid by violating but was him an That as income tax laws. Baleo, city him of Inc. to true, certain officials Fifth Amendment afforded refuge employing them for he reward Baleo in dishonest con- however a haven public been, privilege nection In extends certain works. have preceding presen- guilty innocent. various well conferences as as to the Cir., appellant F.2d tation both Helton 338, therefore, lawyer are, solely judgments and his staked reliance 342. The appel- upon questions, claim that the an- with directions that reversed swered, discharged. appellant would tend to make li- lant be prosecution able to laws, -for violation of state- Reversed. possible and the claim of federal Judge (concur- CAMERON, Circuit involvement not made until in- dissenting). part ring part in validity of the former claim had been- judg- pointed I concur reversal out the federal officials. below, not in the the Court but ments of showing Judge before the District discharge reasons nor the strong fully justi- indeed and he was upon based which that action is reaching fied conclusions fact opinion, majority I remand the would announced him. do But I not think he by jury. case for jurisdiction try issues,, had the fact they think but should have been submit- I. jury. ted to a try Judge jurisdiction had If II. findings amply appellant, I are think Judge, sitting The trial as supported the- evidence. In con- law, appellant guilty hearings facts and found tempt before him the Govern- only only transcripts of acts violated not the- introduced ment order, testimony grand Court’s but federal statutes before the standing alone, statutes, g., testimony, well as state jury. e. That Vernon’s Code, 158, 160, my opinion, Penal would, Texas Arts. sustained a have finding, taking Judge appel- judgments finding by So entered the trial penalty I.R.O., 1939, requiring in- fraud under Sec. Violation Statute returns, I.R.C.1939, 293(b), 293(b). 26 U.S.C.A. Violation § See. formational 147; Perjury- False violation of the § § U.S.C.A. General U.S.C.A. Statute, § 18" Ú.S.C.A. Title Statement 1001; Statute. Conspiracy Stat- violation g., (and -'371; ute, violation 1. E. 18 U.S.C.A. 1503 and 1505 §§ U.S.C.A. § Title Cir., 1906, provisions Aider and Abet- cf. Wilder 433), originated Statute, 143 F. which statutes Title U.S.C.A. § tor Specific Abet- 2 of the § Aider and Act of March violation Code, the Internal Revenue Rev.Stat. Stat. which was § tor Statute Contempt Vio- Act 26 U.S.C.A. most of the de Sec. *10 I.R.C., Statute, Supreme Tax Sec. cisions Court have of Gift been lation 1024(a) (b), U.S. 1 of that Act is now § and Sec. 26 based. U.S.C.A. 18 1006 Conspiracy 1024(a, b); And cf. violation of 401. also the Stat § §§ C.A. Perjury Statute, ute, of Returns I.R.C. 18 U.S.C.A. and the § Verification 3809, incurring Statutes, seq. § et 26 U.S.C.A. U.S.C.A. constituting of liberty is ab- court him. It orders also “infrac- from applied history Anglo-Saxon justice tions as which law”.5 The horrent to gave man, provisions country rise however to the one constitutional in this guaranteeing right by jury lofty his vest- of his or venerated station taking succinctly “is ments, power of the Declara- summarized in have the should Independence complaint liberty tion him. of in which from another man’s deprived was made that the Colonieswere Society permitted always one ex has many cases, ‘in Trial benefits right ception, to courts limited —the by Jury’ ”.6 excep contempts. But that punish for (b) provides,7 The “The Constitution granted,2 grudgingly has tion been * * * Trial of all Crimes shall be uniformly been held down has * * “ ‘ by Jury But fresh those power adequate possible “least ’ experiences tyranny ”3 from with were not proposed.” end general guarantee, content promptly III. VI Amendments VII adopted, providing: the former prosecutions, “In all power The of that have limitations criminal shall the accused through drawn and closer been closer enjoy right speedy public a years a is clear now that * * trial, by impartial an impose contemptu- imprisonment for can [Emphasis concept added.] The of a which also a ous conduct constitutes “prosecution” criminal is broader than a only place such conduct takes crime when “trial” and the addition of the in more early presence. The decisions of in term clusive indicates a determination to Supreme disposed Court4 were the lodge by jury afford the of trial to those judge; powers in a broader but subjected prosecution any sort study history trials might imprisonm result in fine recent decisions reveals more language ent.8 The selection of the agencies dealing all hardly explain the Sixth Amendment is steady procedures in have combined upon any postulate. able other progress up- towards stricter limitations power judges punish (c) history legislation con- on The on the subject tempts and broader observance of ac- has demonstrated deliberate “ rights. ‘Congressional purpose cused’s constitutional and consistent range drastically to curtail the of conduct IV. punish which Courts could con- ”9 tempt.’ And, page, (a) the same power American Courts to Supreme pointed Court contempts, frequently out at- punish that the referred to Congress titude of and of that inherent, practice sprang from years English recent had shown a definite deter- Courts effect when the Con- “ mination to adhere the thesis: ‘The adopted. practice stitution was uniformly relegated That has any federal exercise courts broader to “the usual crim- contempt power permit charges than this would procedure” inal disobedience HI, Cir., 1955, 7. Article Section 3.Gl. Matusow v. 2. 229 F.2d 335. 8. “Criminal Case” as used States, 1956, providing person Amendment that no 3. Cammer v. United U. comj>elled against 399, 404, 456, 458. shall bo to be a witness S. 76 S.Ct. criminal case himself has been Including listed in footnote 4. those 8 of the generally every include construed sort majority opinion. proceeding taking lead liberty. Gomp person’s Holmes in the second See “The Fifth Mr. Justice 5. Amendment”, case, Gompers Pittman, R. Carter v. United ers 610-611, 693, 695, 509. S.Ct. A.B.A. Journal U.S. L.Ed. 1115. States, supra, 9. Cammer v. 350 U. States, 1942, page 404, page Adams S. at 236, 240, 63 S.Ct. *11 6;68 great procedural too guards criminal, upon inroads on safe- civil and violation based * * * Rights, order, provided of the Bill of a of court “the act or guilt thing and leave determination of to a done omitted also constitutes ” * * * jury.’ rather than a criminal offense ”. noteworthy Congress It is also re- Judiciary The of 1789 conferred Act quires prosecutions contempt that all general punish power on courts the Congress by of be or informa- indictment being language contempts, safeguards tion and trial under the usual equivalent substantial of now em- ordinary of criminal cases.18 braced in 18 401. Abuses U.S.C.A. § leading Congress (d) arose under that Act11 Supreme kept pace The has Court (foot- pass 2, Congress drawing the Act of March closer and clos- 1, supra) categories note wherein a second section er the boundaries of the of subsequently contempt prosecutions

was added which became which can be tried part of the Criminal Code and now without observance of all of the safe- guards constitutes 18 U.S.C.A. Rights, including § § of the Bill of Nye right 1505. by case this jury. The establishes that of trial discussed We Congress pur- action manifested the Matusow, supra, some those cases in relegating pose category a broad for failure of the Court be- reversed provisions offenses theretofore dealt with as con- low observe the Bill to. tempts processes Rights to the normal of crim- contempt the conduct of inal trials. trial.19 Mr. Clayton 15, 1914,12 Justice Holmes had blazed the Act of October dealing trail towards adopting as if the evolution manifested charges involving Gompers decisions,13 ordinary specif- crimes two cases, ically provided by jury Gompers persons criminal trial the second coming Supreme Court, decision.20 purview And the within the of that Act14 n prior charged declared that the decisions when with violation of court discussed in the case had been based decrees where the acts constituted also plain misreading language “a violation of criminal laws. And * * history Ever Norris-LaGuardia Act of 193215 since broad- epochal Supreme has, scope jury decision the ened further the trials in exception, Finally, passage without followed labor and added cases. strength requiring to the rule “meticu- Federal Rules of Criminal Procedure16 regard separate categories lous for those 1948,17 and the new Criminal Code of * * *, Congress, using language Clay- offenses so the in- Act, provided specifically- jury stances where has there is ton no. narrowly will prosecutions, trial in all restricted.”22 70, 73, 15. 47 Stat. now 18 U.S.C.A. §

10. 1 3692. Stat. 83. 16. Cf. Rule 42 F.R.Crim.Procedure. 11. full discussion these abuses For a history Contempt and the Statutes 401, 402, 17. 18 §§ U.S.C.A. and 3691. Nye States, see v. United 313 U.S. 18. 2 U.S.C.A. 192. § 810, 61 S.Ct. et seq. 19. The Government concedes in its brief in 738, seq. 12. 38 Stat. 15 U.S.C.A. et this case that Matusow was entitled to jury trial, attempts distinguish but Range Co., Gompers 13. Buck’s & v. Stove from case Matusow’s. 1911, 418, 492, 221 U.S. S.Ct. 55 L. Gompers 797, States, v. United Ed. Gompers States, 1914, 20. 233 U. 233 U.S. L. S. 34 S.Ct. 693. 1115. Ed. Nye supra, Appeals in Michaelson v. 14. The Court page page 61 S.Ct. at Cir., 1924, 291 F. Nye the Act was written case since stated No decided has shown purpose .any tendency af- slow unions for the down labor reverse group. fording special protection steps to that which the trend has current

669 prosecuted in the name of the V. States. opinion (a) majority does While the Moreover, strange incongruity a would right jury question not to decide the presented pro be if it should held be trial, expresses doubt as some Rights tection of Bill of should be appellant whether waived had not litigant contesting withheld from a with right request a there failure to file sovereign against its majority quo whose activities But, for. as stated specificallydirected, terms are while that States, Emspak 349 tation from protection categorically 692, vouchsafed to 198, 687, 190, 99 L.Ed. U.S. 75 S.Ct. litigant grips a private ‘indulge every at with adv 997, “the courts must ersary.24 against presumption waiver reasonable ” rights.’ of fundamental constitutional (c) pre- A situation such as is here ap Appellee does not contend that here peculiar sented makes a for trial call right jury trial, pellant waived charges by a fact-finder other arguing merits al on the than the author of the order accused though referring afterthought. to it as an charged disobeying. is Supreme What the giv appellant The never fact is that was Murchison, supra, said reject jury, accept en the or chance pages 349 136-137, U.S. at 75 S.Ct. at put to but was trial at a when his time page 625, avoiding necessity about the pleading delay in counsel was order probability even applies of bias here complete preparation that more be quotation (ib.) as does its from Offutt made. There was no waiver under established“justice satisfy appearance must princi ples.23 justice.” 11, U.S. [348 75 S.Ct. 13.] recognized It transcends (b) frailties of proviso Except at its for the end suppose brought human nature apply that a that it not does to cases arising can be prosecuted free from the or inclinations in the of the United name pique States, from natural which would would en- he entitled to a gendered by jury express 18 direct trial under the terms of refusal ac- obey freshly But, cused to an order U.S.C.A. language, identical under § him, temptation Supreme and the Court held that to strike back inevitably mandatory accompanies jury trial ruffled in a suit brought pride. name of the Doubtless such considerations are among States, States, 1924, the factors which induced Con- Michaelson United gress give 162; 18, special 42, 266 U.S. 45 S.Ct. 69 L.Ed. treatment hear- ings charges violating Nye, involve Gompers supra, and cf. both Murchison, 1955, 133, In re established. v. Unit 349 been United States U.S. 75 Workers, 258, 623, 1947, S.Ct. ed Mine L.Ed. U.S. 677, 884, S.Ct. 91 L.Ed. does conflict 23. Cf. Adams v. United 317 U.S. point with that It there statement. 269, 236, 268, 63 S.Ct. 87 L.Ed. and Buie specifically ed out the claim of 23(a), Federal Buies of Criminal Proce jury entirely was based on the dure. rejected assertion there the trial was governed by the Act. Norris-LaGuardia providing wilfully person 24. After that a advisory jury It was order, further stated that disobeying prosecut a court shall be was waived. is, ed under 3691—that trial— following develop where the act done cases further is of such character strengthen quoted principle: as to constitute also In re a criminal offense Michael, 1945, 224, 78, law, under federal state 326 U.S. 66 S.Ct. 18 U.S.C.A. § 30; provides 1947, Oliver, L.Ed. In re :(cid:127) 333 U. seq., paid S. 274 et 68 S.Ct. 92 L.Ed. “Such fine shall be to the United 682; complainant Sacher v. United States or or other dissenting page opinions party injured U.S. at constituting the aet seq., page 457, may, contempt, 14 et S.Ct. where more than one 717; States, 1954, damaged, L.Ed. Offutt v. United apportioned is so be divided or among them as the court direct *13 402 and 18 U.S.C.A. § court orders. Cf.

VI. ought dispose my opinion

In we ques- procedural appeal this finding of

tion than to reverse rather Judge tends to fact of im- a state leave the Government punish

potence detect efforts to its

crime. RELATIONS LABOR

NATIONAL Petitioner, BOARD, UNION OF OPER-

INTERNATIONAL ENGINEERS, LOCAL ATING Respondent. 12, AFL, NO.

No. 15003. Appeals Court of States Ninth Circuit.

Oct.

Rehearing Dec. Denied

Case Details

Case Name: Ray C. Ballantyne v. United States
Court Name: Court of Appeals for the Fifth Circuit
Date Published: Oct 10, 1956
Citation: 237 F.2d 657
Docket Number: 15822_1
Court Abbreviation: 5th Cir.
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