MEMORANDUM
Having conducted an evidentiary hearing to resolve issues of material fact pertaining to defendant Alexander Moskovits’ motion to vacate his judgment of conviction and sentence pursuant to 28 U.S.C. § 2255, I now conclude that Moskovits’ trial was critically infected by unconstitutional error, and that a new trial is in order.
What follows incorporates my findings of fact and conclusions of law.
I.’
On February 12, 1993, I filed an opinion holding that defendant’s § 2255 petition was not an abuse of the writ and ordering an evidentiary hearing to resolve various disputed factual issues raised by that petition.
United States v. Moskovits,
In August 1991,1 granted Moskovits’ Rule 35/§ 2255 motion and vacated Moskovits’ sentence.
See United States v. Moskovits,
At the evidentiary hearing, which took place on April 12 and 13, 1993, the defense called two witnesses: (1) Milton Grusmark, Esq., Mr. Simone’s co-counsel in the Moskovits trial, and (2) Mr. Moskovits himself. The government called one witness, Mr. Simone, and cross-examined both of the defense witnesses. What must now be decided is whether, at the evidentiary hearing in April, defendant satisfied his burden of establishing, by a preponderance of the evidence, that (1) counsel’s failure to research the validity of the Mexican conviction and counsel’s advice that the conviction would likely be used to impeach Moskovits “fell below an objective standard of reasonableness,” and (2) “the deficient performance prejudiced the defense.”
Strickland v. Washington,
II.
The Adequacy of Representation
The testimony adduced at the evidentiary hearing confirmed what Moskovits’ attorneys had indicated previously in affidavits,
see e.g.,
Defendant’s Mem. in Sup., Exh. B (Grusmark Aff.) at ¶ 4;
In ruling on defendant’s earlier challenge to his sentence, I was faced with a similar issue — whether the failure of Moskovits’ counsel to research the validity of the Mexican conviction and to file a motion contesting its validity was objectively unreasonable, when that conviction was to be used as a basis for enhancing Moskovits’ sentence. There, I concluded that Mr. Simone’s failure to investigate the validity of the Mexican conviction and failure to file a relevant motion was “not compatible with minimal pro
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fessional standards” because “an attorney has an obligation, that cannot be avoided or delegated to others, to make sure when it comes to sentencing that the ingredients asserted by the government to be essential ingredients that call for sentence enhancement of a significant nature, are well-founded.”
Moskovits,
The government, while acknowledging that counsel’s failure to research the validity of the Mexican conviction was error, offers two principal reasons why counsel’s conduct was not an unprofessional error in the special Strickland sense. First, the government points out that Moskovits, although he sensed that there was something wrong with the Mexican conviction 3 and knew before the trial that his conviction could be used against him, failed to volunteer relevant facts about the conviction that would have prompted his trial counsel to investigate those proceedings. Therefore, according to the government, “[i]t was not objectively unreasonable for trial counsel to not research the validity of the Mexican conviction when trial counsel had been given no information to suggest that a potential challenge existed.” Government’s Sup.Resp. at 6. 4
Under
Strickland,
counsel has a “duty to make reasonable investigations.”
[WJhen the facts that support a certain potential line of defense are generally known to counsel because of what the defendant has said, the need for further investigation may be considerably diminished or eliminated altogether. And when a defendant has given counsel reason to believe that pursuing certain investigations would be fruitless or even harmful, counsel’s failure to pursue those investigations may not later be challenged as unreasonable. In short, inquiry into counsel’s conversation's with the defendant may be critical to a proper assessment of counsel’s investigation decisions....
Id.
However, while an attorney is entitled to rely on the information provided to him by his client, nothing in
Strickland,
and no case cited by the government, implies that a lay defendant has an affirmative obligation to divine conceivable legal defenses and arguments and steer counsel down fruitful paths
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by identifying relevant predicate information. Rather, included in the
attorney’s
duty to make reasonable investigations is the obligation to research possible legal bases for excluding harmful evidence and to elicit from the client the facts necessary to decide whether such a legal claim is available. Similarly, “it is the duty of counsel to present to [the accused] the relevant information on which he may make an intelligent decision [as to whether or not to take the stand].”
Poe v. United States,
The government argues also that the ultimate advice to Moskovits that he not testify, even if motivated by the mistaken belief that the Mexican conviction would likely be used to impeach Moskovits, was reasonable because there were other good reasons for Moskovits not to testify. However, because we are interested in the representation that Moskovits actually received at his trial, what matters is the advice that he actually received, not
ex post
alternative rationalizations of that advice.
See Strickland,
Therefore, Moskovits has established by a preponderance of the evidence that he received unreasonably ineffective assistance of counsel at trial. We now consider whether Moskovits’ defense was prejudiced by this ineffective assistance.
III.
Prejudice
To establish prejudice under Strickland, the party asserting the ineffective assistance claim must show that
there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome.
Strickland,
*207 A. Whether Moskovits Would Have Testified But For the Defective Advice
At the evidentiary hearing, Moskovits stated that during his trial he told Mr. Grusmark and Mr. Simone that he wanted to testify. In his affidavit and again at the evidentiary hearing, Mr. Grusmark confirmed that Mos-kovits insisted on testifying on his behalf, but was advised otherwise. See Tr. 4/12/93 at 35. Mr. Simone and Mr. Grusmark stated at the hearing that their advice to Moskovits that he not testify was based solely on the fact that, if he did testify, the Mexican conviction would more than likely be used to impeach him. See Tr. 4/12/93 at 37,152. The government, in its cross-examination of Mr. Grus-mark and direct examination of Mr. Simone, attempted to elicit an acknowledgment that there were other reasons for Moskovits not to testify, such as concerns that Moskovits would not act well on the stand or would not be able to rebut any of the specific accusations against him. However, both witnesses emphasized that, as best as they could recall, these concerns did not figure into their recommendations. See, e.g., Tr. 4/12/93 at 50, 55,169-70. Moskovits, for his part, testified, as he did at his original sentencing in 1988, that he declined to take the stand only because he understood that the government wanted to, 6 and would be able to, introduce evidence of the Mexican conviction if he testified and that this admission would damage his defense. Taking into account trial counsel’s description of the advice given to Mos-kovits when he expressed an interest in testifying and my observations of Moskovits’ conduct during the trial and at various hearings since, I find credible Moskovits’ frequently-repeated and well-pedigreed suggestion that he wanted to testify, but decided not to take the stand only because of the Mexican conviction.
In sum, I am persuaded that it is at least reasonably likely that, but for the erroneous advice concerning the admissibility of the Mexican conviction, Moskovits would have exercised his right to testify in his own defense.
B. The Effect of Defendant’s Failure to Testify on the Reliability of the Trial Outcome
Because I am persuaded that Moskovits likely would have testified but for the deficient representation he received, the only question that remains is whether Moskovits has met the burden of showing that, without his testimony, the result of his trial was rendered fundamentally unfair or unreliable. As I said in the February opinion ordering an evidentiary hearing on this § 2255 petition, “[i]t seems to me a rare case in which a court can comfortably say that even though errors prevented defendant from testifying, the outcome of his trial was still fundamentally fair and the verdict not rendered suspect.”
The government’s case against Moskovits, as I saw it develop during the three-week trial in June 1988, was strong. Each of five government witnesses described at some length the nature of his or her cocaine dealings with Moskovits. However, the government’s case, marked by certain inconsistencies among the witnesses’ accounts at significant points, was not so overwhelming as to render any contrary testimony inherently implausible. At the April evidentiary hearing, Moskovits advanced a range of testimony that was material and exculpatory (i.e. if believed, would have produced a different outcome) and that, even when measured against the powerful countervailing evidence presented by the government’s witnesses at trial, the jurors reasonably could have believed — or at least accepted enough to shake their certainty in the honesty of the witnesses testifying against Moskovits.
Broadly speaking, Moskovits denied, among other things, (1) that he directed his girlfriends — who were, according to his description, independent women engaged in cocaine use and sales on their own — to (a) travel overseas and prepare shipments of cocaine into the United States or (b) engage in other drug-dealing activity; and (2) that he sold cocaine to David Savage in August 1986. The government argues that these “generalized denials” should be discredited because they are the sort of testimony rarely believed by jurors. It is true that a defendant’s barren statement that he or she did not commit a particular charged act is less likely to convince a jury than a denial accompanied by a credible, alternative version of the events in question. However, I am not persuaded that Moskovits’ denials, including those not amplified by specifics, are, as the government describes them, “incredible on their face.” Government’s Sup.Resp. at 16. First, it is important to remember that only a sample of Moskovits’ testimony could be expected and was called for at the § 2255 evi-dentiary hearing.
See
Tr. 4/12/93 at 23 (“[T]he burden would be on Mr. Moskovits to show by a preponderance of the evidence ... in broad substance what his testimony would have been. I say in broad substance. I don’t think detail is going to be central here.”). When the government complains, for instance, that Moskovits never offered specifics about how he knew about the various trips made by his ex-girlfriend Lola Fu-lin if he did not direct those trips, the gov
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ernment overlooks that Moskovits’ failure to fill out the nuances of his testimony, standing alone, does not necessarily reflect the implausibility of that testimony rather than the limited confines of a § 2255 evidentiary hearing. Second, the government’s case, lacking significant physical evidence of Moskovits’ guilt on many of the counts, depended largely on the jury’s accepting the testimony of government witnesses that Moskovits directed them to engage in cocaine distribution. In such a situation, defendant may not be able to do much more by way of specifics than deny that he exercised such dominion over the witnesses and explain his state of mind and conduct during the events in question (e.g. Moskovits’ repeated suggestion at the hearing that he did not approve of the use of cocaine, consistently tried to discourage his independent-minded girlfriends from using drugs, and that, against his advice, they went on various drug-related trips). The fact that testimony with respect to issues of intent and motive frequently can be expected to come in “barebones” form does not itself establish that such testimony is unimportant, because its significance may lie in the defendant’s taking the witness stand, looking the jurors in the eyes, and denying the government witnesses’ characterization of the events on trial.
Cf. Wright v. Estelle,
That being said, if Moskovits’ testimony consisted merely of so-called generalized denials, I would have serious reservations about ordering a new trial. However, Moskovits offered concrete, innocent explanations for a range of conduct portrayed as suspicious by the government at trial: for example, (1) Moskovits’ ripping up Ms. Heidi Coleman’s passport (Moskovits explained that he tore up her passport to protect her, see Tr. 4/13/93 at 12-13); (2) his father’s giving $2,000 to Heidi Coleman in 1983 (Moskovits explained that the gift was to allow Coleman to travel to Mexico City to visit Moskovits, not to travel to Colombia to purchase drugs, see Tr. 4/13/93 at 11); (3) Moskovits’ driving fancy cars around the University of Pennsylvania campus (Moskovits testified that those cars had been purchased with funds from his father, not with money made from selling cocaine, see Tr. 4/13/93 at 27, 107); and (4) the April 1985 incident at the Castle fraternity (Moskovits indicated that he went to the Castle fraternity to retrieve a package of cocaine at the request of his then girl-friend Tara Frayne to protect the intended recipient, Thomas Frayne (Tara Frayne’s brother)' — not with the intent to distribute that cocaine, see Tr. 4/13/93 at 73-5). Each of these pieces of testimony — although perhaps not strongly convincing — is credible in the sense that each admits that the events in question took place but offers an alternative version of the asserted or implied significance of those events. Moreover, if believed by the jury, such testimony — by explaining conduct appearing, in the face of silence, to link Moskovits with drug-related activities— might in the jury’s mind have detracted substantially from the picture painted of Mosko-vits as directing large-scale distribution of cocaine.
In sum, Moskovits gave a sample of testimony, some of which included specific explanations as to why and how the government witnesses’ testimony was inaccurate or misleading, that a jury might have believed and that has a reasonable tendency to induce reasonable doubts on the counts on which he was convicted. Evaluating whether testimony not presented at trial would have affected the outcome “is an exercise in prophecy in the subjunctive which is an extraordinarily difficult one, and one which ultimately must be recognized as not yielding to precision as the bottom line.”
United States v. Friel,
IV.
Conclusion
For the reasons recited at length above, I conclude that the failure of Moskovits’ trial counsel to research the law and facts pertaining to the Mexican conviction and counsel’s erroneous advice concerning the admissibility of that conviction denied Moskovits reasonably effective assistance of counsel. Further, Moskovits has carried his burden of demonstrating that this deficient representation, which caused him not to exercise his fundamental right to testify, resulted in prejudice, meaning that “the decision reached would reasonably likely have been different absent the errors.”
Strickland,
ORDER
For the reasons given in the accompanying Memorandum, it is hereby ORDERED and DIRECTED that defendant Alexander Mos-kovits’ motion and supplemental motion to vacate, set aside, or correct sentence pursuant to 28 U.S.C. § 2255 is GRANTED based on defendant Moskovits having received constitutionally ineffective assistance of counsel at trial, Moskovits’ conviction and sentence are vacated, and defendant Moskovits is granted a new trial.
Notes
. In his § 2255 petition, Moskovits argues also that he received ineffective assistance of counsel because (1) Mr. Simone failed to move for acquittal on certain counts purportedly brought in an improper venue; and (2) Mr. Simone failed to object to the use of allegedly perjurious testimony by a government witness. These contentions were not addressed in the government's reply or in the April 1993 evidentiary hearing, and, because Moskovits’ petition will be granted based on trial counsel's deficient research and advice regarding the admissibility of Moskovits' Mexican conviction, I need not — and do not — address the merits of these additional claims.
. Moskovits also claims that his attorneys' advice, in addition to constituting ineffective assistance of counsel, deprived him of his constitutional right to testify. In my previous opinion, I indicated that this claimed infringement of the right to testify should be viewed as a species of a claim of ineffective assistance of counsel.
See
. For instance, at the sentencing hearing, Mosko-vits complained generally about the Mexican proceedings, and specifically about his treatment while in custody, and asked the court, for purposes of sentencing enhancement, to "put [the Mexican] conviction in question marks."
See
. This argument presumably applies also to counsel’s failure to investigate the Mexican conviction during sentencing. That is to say, at the sentencing phase, Mr. Simone had been given no more information indicating that a potential challenge to the Mexican conviction existed than he had been given previous to or during the trial. Therefore, I suppose that the government, although it did not appeal the vacation of Mosko-vits’ sentence, is now asking me in effect to reconsider that portion of my previous opinion finding that Mr. Simone acted unreasonably during sentencing by failing to investigate the validity of the Mexican conviction. Regardless, for the reasons set out in the text, I am convinced that it was proper not to excuse trial counsel’s failure to act based on the fact that Moskovits did not, on his own, volunteer certain information.
. The Court recently emphasized that the
Strickland
prejudice analysis must focus not simply on whether the outcome of the trial would have been different but for the counsel's behavior, but also on whether the result of the proceeding was rendered fundamentally unfair or unreliable by counsel’s deficient performance.
See Lockhart v. Fretwell,
- U.S. -, -,
. At the April evidentiary hearing, the government acknowledged that at various points before the trial it had raised the possibility that, should Moskovits testify, he would be impeached by his prior conviction. See Tr. 4/12/93 at 135.
.
See Rock v. Arkansas,
. In this opinion, I operate on the assumption that Moskovits must demonstrate a "reasonable probability” that his trial verdict would have been different had he testified. However, it is certainly arguable that Moskovits' burden of proof on this prong of the prejudice inquiry should be softened somewhat to account for the fact that the deficient representation Moskovits received interfered with his fundamental right to testify. Courts have often presumed that errors depriving defendant of his or her right to testify affect the reliability of the result and warrant a new trial. See, e.g., United States v. Butts, 630 F.Supp. 1145, 1149 (D.Me.1986) (“[I]neffective assistance of counsel which results in a deprivation of the defendant’s right to testify transcends conventional Sixth Amendment analysis and ... prejudice is sufficiently proven, if not to be presumed from, the resulting denial of the defendant's right to testify"). Such modification of the defendant's burden of proof may be seen as in harmony with the Strickland Court’s observation that
in adjudicating a claim of actual ineffectiveness of counsel, a court should keep in mind that the principles we have stated do not establish mechanical rules. Although those principles should guide the process of decision, the ultimate focus of inquiry must be on the fundamental fairness of the proceeding whose result is challenged.
