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Mosley v.

Commonwealth
420 S.W.2d 679 (1967) Tommie Lou MOSLEY, Appellant, v. COMMONWEALTH of Kentucky, Appellee. Court of !!eals of "entu#$y. Novem e! "#, "$%&. 'ame( ). O*ell, 'o(ep+ ,. Ha!kin(, ---, Le.in/ton, fo! appellant. )o e!t Matt+e0(, Atty. 1en., ,avi* Mu!!ell, A((t. Atty. 1en., 2!ankfo!t, fo! appellee. WA,,-LL, Commi((ione!. Appellant 0a( convicte* of t+e c!ime of !ape an* (entence* to ten yea!(3 (e!vitu*e in t+e (tate penitentia!y. T+e (ole /!oun* fo! !eve!(al of t+e conviction i( t+at t+e t!ial cou!t e!!e* in e.clu*in/ t+e te(timony of 'ame( 1ay, a p(yc+olo/i(t, conce!nin/ t+e mental con*ition of t+e p!o(ecutin/ 0itne(( at t+e time of t+e alle/e* !ape. T+e !eco!* !eflect( t+at fo! (eve!al mont+( p!io! to May "", "$%%, t+e *ate of t+e alle/e* offen(e, 1e!al*ine E*en, t+e p!o(ecutin/ 0itne((, +a* een (tayin/ in t+e +ome of Eli+u A(+e! 0+e!e (+e 0a( employe* a( a full4time a y4(itte!. 1e!al*ine, 0+o i( 5& yea!( of a/e, te(tifie* t+at *u!in/ t+e evenin/ of May "", "$%%, t+e A(+e!( +a* left t+ei! !e(i*ence to /o o0lin/. Appellant, an ac6uaintance of 1e!al*ine an* a !elative of A(+e! ente!e* t+e A(+e! +ome fo! t+e pu!po(e of (tayin/ ove!ni/+t. 1e!al*ine (tate* t+at afte! t+e A(+e! c+il*!en 0ent to e*, appellant t!ie* 7%8# to make love to +e! an* 0+en (+e !e(i(te* +i( amo!ou( a*vance( +e fo!ci ly tie* +e! +an*( e+in* +e! ack, pu(+e* +e! *o0n on a couc+, !emove* +e! un*e!clot+in/ an* !ape* +e!. Appellant, a/e 9:, te(tifie* t+at upon +i( a!!ival at t+e A(+e! !e(i*ence 1e!al*ine info!me* +im t+at (+e 0ante* to talk 0it+ +im efo!e +e
" -mpeac+ment y Ot+e! Mean(

!eti!e*. He +a* 0aite* only a (+o!t time 0+en 1e!al*ine came ove! an* (at e(i*e +im on a couc+ 0+e!e t+ey imme*iately e/an makin/ love an* 1e!al*ine volunta!ily (u mitte* to (e.ual inte!cou!(e 0it+ +im a( (+e +a* on (eve!al p!eviou( occa(ion(. He (tate* t+at follo0in/ t+e inte!cou!(e t+ey 0ent to t+e kitc+en an* 1e!al*ine p!epa!e* a (nack fo! t+em. W+en t+ey 0e!e late! 6ue(tione* t+at ni/+t a( to t+ei! con*uct, appellant (tate* t+at muc+ to +i( (u!p!i(e 1e!al*ine claime* +e +a* !ape* +e!. Appellant u!/e( t+at t+e cou!t e!!e* in !efu(in/ to pe!mit t+e ;u!y to con(i*e!, fo! t+e pu!po(e of impeac+in/ 1e!al*ine3( c!e*i ility, t+e te(timony of ,octo! 1ay conce!nin/ 1e!al*ine3( mental con*ition. ,octo! 1ay +a( o taine* a <+ , *e/!ee in p(yc+olo/y an* +a( een licen(e* y t+e (tate of Kentucky a( a clinical p(yc+olo/i(t. =K)S >"$.#"# *efine( t+e p!actice of clinical p(yc+olo/y to inclu*e t+e a*mini(t!ation of te(t( fo! t+e pu!po(e of p(yc+olo/ical *ia/no(i(, cla((ification an* evaluation an* !eco/ni?e( (e!vice( involvin/ t+e !ee*ucation, /ui*ance o! !ea*;u(tment of t+e patient.@ He i( a mem e! of t+e Ame!ican an* Kentucky <(yc+olo/ical A((ociation( an* i( p!e(ently t+e p(yc+olo/i(t in c+a!/e of t+e 2ayette County <!o/!am, a (pecial p!o/!am at Ea(te!n State Ho(pital fo! outpatient t!eatment. ,octo! 1ay, 0+o i( in c+a!/e of t+e t!eatment of 1e!al*ine3( mental *i(o!*e!, te(tifie*, y 0ay of avo0al out of t+e p!e(ence of t+e ;u!y, t+at 1e!al*ine +a* ente!e* a (tate +o(pital fo! mental t!eatment *u!in/ Octo e! "$%". At t+at time (+e 0a( complainin/ t+at +e! fat+e! an* !ot+e!( +a* mole(te* +e! (e.ually *u!in/ +e! a*ole(cence. S+e 0a( *i(c+a!/e* f!om t+e +o(pital in 'anua!y "$%5 an* !ea*mitte* fo! t!eatment on a volunta!y a(i( *u!in/ "$%:. S+e +a( een t!eate* y ,octo! 1ay (ince Septem e! "$%9. W+ile ,octo! 1ay elieve* t+at 1e!al*ine 0a( in a (tate of !emi((ion at t+e time of t+e alle/e* !ape, it 0a( +i( opinion t+at (+e i( (c+i?op+!enic an* i( an immatu!e in*ivi*ual. S+e coul* not tole!ate f!u(t!ation, 0a( ea(ily *i(tu! e* an* +a*

a /uilt comple.. ,octo! 1ay (tate* t+at (c+i?op+!enia i( a comple. p+enomenon, t+at it i( a *i(tu! ance of e+avo!ial effect an* t+inkin/ 0+ic+ +a( not een foun* to e cau(e* o! !elate* to any p+y(ical o! o!/anic con*ition, ut it +a( a p(yc+iat!ic o!i/in, i. e. an emotional a(i(. He fu!t+e! (tate* t+at one of t+e manife(tation( of (c+i?op+!enic !eaction i( fanta(ie( an* 0+en a(ke* 0+et+e! 1e!al*ine3( fanta(ie( e.ten* to t+e a!ea of (e., +e an(0e!e*, A-n t+i( pa!ticula! ca(e t+ink it *oe(.A Since t+e Common0ealt+ !elie* upon t+e unco!!o o!ate* te(timony of 1e!al*ine to e(ta li(+ it( ca(e a/ain(t appellant, t+e p!incipal 6ue(tion at i((ue +a* !efe!ence to t+e c!e*it to e /iven to t+e te(timony of 1e!al*ine. T+e!efo!e, ,octo! 1ay3( te(timony may +ave +a* an impo!tant impact on t+e ;u!y a( it ten*e* to impeac+ 1e!al*ine3( c!e*i ility. -t i( ou! opinion t+at t+e p!offe!e* te(timony of ,octo! 1ay 0a( !elevant an* competent an* (+oul* +ave een !eceive*, not in e.tenuation of !ape, ut fo! it( ea!in/ upon t+e 6ue(tion of t+e 0ei/+t to e acco!*e* 1e!al*ine3( te(timony. 2o! t+i( !ea(on t+e cou!t (+oul* a*moni(+ t+e ;u!y t+at t+e e.pe!t te(timony (+oul* e con(i*e!e* y it only fo! t+e pu!po(e of affectin/ t+e c!e*i ility of t+i( 0itne((, if it *oe( (o. 1ene!ally a 0itne(( may e impeac+e* only a( (pecifie* in ou! )ule( of Civil <!oce*u!e =C) :>.#&@. Ho0eve!, t+e mo*e!n t!en* i( to pe!mit t+e ;u!y to con(i*e! e.pe!t te(timony in t+e fiel* of 7%8" mental *i(o!*e!( an* !ela. t+e !ule in (e. offen(e ca(e(. Balla!* v. Supe!io! Cou!t of San ,ie/o County, %: Cal.5* "9$, :$ Cal.)pt!. >#5, :"# <.5* 8>8C <eople v. Neely, >$ Cal.)pt!. 59". McCo!mick in +i( t!eati(e on Evi*ence, Section :9 at pa/e $$, o (e!ve(D A7 7 7 Natu!ally, t+e u(e of p(yc+iat!ic te(timony a( to mental *i(o!*e!( an* *efect( (u//e(t( it(elf a( a potential ai* in *ete!minin/ t+e c!e*i ility of c!ucial 0itne((e( in any kin* of liti/ation. -n one type of ca(e, namely t+at of (e. offen(e(, t+e in*i(pen(i le value of t+i( kin* of te(timony +a( een u!/e* y Wi/mo!e, an* ot+e!
5 -mpeac+ment y Ot+e! Mean(

commentato!(, an* (uc+ te(timony +a( een 0i*ely !eceive* y t+e cou!t(. 7 7 7.A Al(o (ee --- Wi/mo!e, Evi*ence, >!* E*. "$:#, Section( $5:a, $>", $>5, $>9, $$& , $$8 , 0+ic+ inclu*e( a t+o!ou/+ compen*ium (uppo!tin/ t+e vie0 of a*mittin/ in evi*ence e.pe!t te(timony. -n State v. A!m(t!on/, 5>5 N.C. &5&, %5 S.E.5* 9#, t+e impo!tance of pe!mittin/ an accu(e* to impeac+ a 0itne(( fo! t+e (tate 0a( pointe* out a( follo0(D A7 7 7 -t i( al0ay( open to a *efen*ant to c+allen/e t+e c!e*i ility of t+e 0itne((e( offe!e* y t+e p!o(ecution 0+o te(tify a/ain(t +im. 7 7 7. AW+at coul* e mo!e effective fo! t+e pu!po(e t+an to impeac+ t+e mentality o! t+e intellectual /!a(p of t+e 0itne((E -f +i( inte!e(t, ia(, in*elicate 0ay of life, in(o !iety an* /ene!al a* !eputation in t+e community may e (+o0n a( ea!in/ upon +i( un0o!t+ine(( of elief, 0+y not +i( im ecility, 0ant of un*e!(tan*in/, o! mo!onic comp!e+en(ion, 0+ic+ /o mo!e *i!ectly to t+e pointE 7 7 7.A A (imila! conclu(ion 0a( !eac+e* y t+e Fnite* State( ,i(t!ict Cou!t in Fnite* State( v. Hi((, 88 2.Supp. 99$, 0+e!ein it 0a( o (e!ve*D AT+e e.i(tence of in(anity o! mental *e!an/ement i( a*mi((i le fo! t+e pu!po(e of *i(c!e*itin/ a 0itne((. Evi*ence of in(anity i( not me!ely fo! t+e ;u*/e on t+e p!elimina!y 6ue(tion of competency, ut *oe( to t+e ;u!y to affect c!e*i ility. 7 7 7.A Al(o (ee 1ile( v. State of Ma!ylan*, >8% F.S. %%, 8& S.Ct. &$>, "& L.E*.5* &>&, 0+ic+ conce!n( it(elf 0it+ t+e p!o(ecution3( (upp!e((ion of evi*ence !elatin/ to t+e c!e*i ility of t+e p!o(ecution3( 0itne((e(. We conclu*e t+at t+e ;u!y 0a( entitle* to +ea! an* con(i*e! t+e te(timony of ,octo! 1ay an* t+at it( e.clu(ion con(titute* p!e;u*icial e!!o! in t+e ca(e. T+e ;u*/ment i( !eve!(e* 0it+ *i!ection( to /!ant appellant a ne0 t!ial. W-LL-AMS, C. '., an* E,WA), <. H-LL,

M-LL-KEN, STE-N2EL,, <ALMO)E an* OSBO)NE, ''., concu!.

5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=:@ k. A*mi((i ility of ,ecla!ation( o! A*mi((ion( of T+i!* <e!(on(. Mo(t Cite* Ca(e( Te(timony 0itne(( tol* plaintiff, (uin/ fo! alienation of 0ife3( affection(, con*uct of *efen*ant 0it+ plaintiff3( 0ife at picnic 0a( *i(/!aceful, +el* ina*mi((i le a( +ea!(ay. '2( W*tnesses 410 &..(9.1)

Sup!eme Cou!t of O!e/on. COLES v. HA)SCH. Ap!il 5, "$5$. ,epa!tment ". Appeal f!om Ci!cuit Cou!t, Multnoma+ CountyC T. E. '. ,uffy, 'u*/e. Action y Olive! '. Cole( a/ain(t C+e(te! A. Ha!(c+. 'u*/ment fo! plaintiff, an* *efen*ant appeal(. )eve!(e* an* !eman*e*. %%249 %12 -n t+i( action t+e plaintiff (ou/+t to !ecove! a ;u*/ment fo! G9#,### upon c+a!/e( t+at t+e *efen*ant +a* maliciou(ly alienate* t+e affection( of plaintiff3( 0ife y imp!ope! attention( (+o0n to +e! in t+e yea!( "$5>, "$5:, an* "$59. T+e an(0e! *enie* all of t+e(e c+a!/e(. -n t+e(e yea!( t+e plaintiff3( (i(te! 0a( t+e 0ife of *efen*ant. -n t+e fall of "$59 t+e *efen*ant in(titute* a (uit fo! a *ec!ee of *ivo!ceC %1& +i( 0ife file* a c!o((4 ill, an* on 'anua!y ">, "$5%, t+e *ec!ee 0a( a0a!*e* to +e!. 'une ", "$5%, t+e plaintiff3( 0ife left +i( +omeC 'une :t+ (+e in(titute* a (uit fo! a *ivo!ce a/ain(t +imC +e *efaulte*, an* on 'une 5>, "$5%, (+e o taine* t+e *ec!ee. May "%, "$5&, t+e *efen*ant ma!!ie* plaintiff3( fo!me! 0ife. T+e ve!*ict an* ;u*/ment 0e!e in favo! of t+e plaintiff in t+e (um of G"&,9##. T+e *efen*ant appeale*. We(t Hea*note( '1( )v*den#e 1+7 &17(2)

:"# Witne((e( :"#-I C!e*i ility an* -mpeac+ment :"#-I=,@ -ncon(i(tent Statement( y Witne(( :"#k>88 Layin/ 2oun*ation fo! <!oof of -ncon(i(tent Statement( :"#k>88=$@ Ce!tainty an* ,efinitene(( of -n6ui!y :"#k>88=$."@ k. -n 1ene!al. Mo(t Cite* Ca(e( =2o!me!ly :"#k>88=$@@ <e!mittin/ plaintiff (uin/ fo! alienation of 0ife3( affection( to impeac+ 0itne(( !elative to conve!(ation conce!nin/ con*uct of *efen*ant 0it+ plaintiff3( 0ife +el* e!!o!, in vie0 of foun*ation lai*. O)S :9.%"#. '&( ,us-and and W*fe 20+ &&&(6)

5#9 Hu( an* an* Wife 5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=%@ k. A*mi((i ility of Act( o! Con*uct of T+i!* <e!(on(. Mo(t Cite* Ca(e( -n action fo! alienation of affection(, e.clu*in/ evi*ence of mi(con*uct y ot+e!( e(i*e( *efen*ant an* plaintiff3( 0ife +el* p!ope!. '4( ,us-and and W*fe 20+ &&&(4)

"9& Evi*ence "9&-H Hea!(ay "9&k>"9 Statement( y <e!(on( Ot+e! T+an <a!tie( o! Witne((e( "9&k>"& O!al Statement( "9&k>"&=5@ k. Statement( in 1ene!al. Mo(t Cite* Ca(e( ,us-and and W*fe 20+ 5#9 Hu( an* an* Wife &&&(4)

5#9 Hu( an* an* Wife 5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=:@ k. A*mi((i ility of ,ecla!ation( o! A*mi((ion( of T+i!* <e!(on(. Mo(t Cite* Ca(e( -n action fo! alienation of 0ife3( affection(, e.clu*in/ te(timony a( to intention of *efen*ant3( fo!me! 0ife to !etu!n to (tate +el* p!ope!. '+( ,us-and and W*fe 20+ &&&(2)

5#9 Hu( an* an* Wife 5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=5@ k. A*mi((i ility of Evi*ence in 1ene!al. Mo(t Cite* Ca(e(

> -mpeac+ment y Ot+e! Mean(

-n action fo! alienation of 0ife3( affection(, evi*ence !elatin/ to *efen*ant3( *ivo!ce (uit (+oul* +ave een e.clu*e*. '6( )v*den#e 1+7 &17(2)

,us-and and W*fe 20+

&&&(&)

"9& Evi*ence "9&-H Hea!(ay "9&k>"9 Statement( y <e!(on( Ot+e! T+an <a!tie( o! Witne((e( "9&k>"& O!al Statement( "9&k>"&=5@ k. Statement( in 1ene!al. Mo(t Cite* Ca(e( -n action fo! alienation of affection(, te(timony of plaintiff t+at 0ife (ai* (+e came y (t!eet ca! to (+op 0+e!e +e 0o!ke* +el* ina*mi((i le a( +ea!(ay. '7( ,us-and and W*fe 20+ &&&(&)

5#9 Hu( an* an* Wife 5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=>@ k. A*mi((i ility of ,ecla!ation( o! A*mi((ion( of Hu( an* o! Wife. Mo(t Cite* Ca(e( -n action fo! alienation of affection(, evi*ence of *ecla!ation( of *e(e!tin/ (pou(e +el* ina*mi((i le a( +ea!(ay. B. 1. Skula(on an* A. E. Cla!k, ot+ of <o!tlan* =Cla!k, Skula(on J Cla!k, of <o!tlan*, on t+e !ief@, fo! appellant. L. E. Sc+mitt, of <o!tlan* =C. C. Stout an* B!a*ley A. E0e!(, ot+ of <o!tlan*, on t+e !ief@, fo! !e(pon*ent. )OSSMAN, '. =afte! (tatin/ t+e fact( a( a ove@. T+e *efen*ant p!e(ent( fo! ou! *i(po(al (eve!al a((i/nment( of e!!o!. We (+all fi!(t con(i*e! t+e one 0+ic+ i( a(e* upon t+e en*eavo! of t+e plaintiff to impeac+ t+e te(timony of one 'ame( A. T+omp(on, 0+o 0a( one of t+e *efen*ant3( p!incipal 0itne((e(. -n o!*e! to ette! un*e!(tan* t+e (ituation p!e(ente* y t+i( a((i/nment of e!!o!, it (eem( *e(i!a le to (tate t+e follo0in/ un*i(pute* fact(D W+ile t+e pa!tie( 0e!e ma!!ie* to t+ei! fo!me! 0ive(, t+e t0o couple( elon/e* to t+e (ame (ocial /!oupC t+ey f!e6uently met at ca!* pa!tie(, *ance(, an* ot+e! (ocial *ive!(ion(, an* f!e6uently vi(ite* ack an* fo!t+. T+e plaintiff conten*e* t+at at (ome time in "$5> +e notice* t+at t+e *efen*ant 0a( *evelopin/ a p!open(ity fo! 0!e(tlin/ 0it+ t+e plaintiff3( 0ife, an* en/a/in/ in ot+e! (imila! play 0it+ +e!. -t 0a( +i( contention t+at t+i( p!open(ity %14 of t+e *efen*ant *i* not a ate 0it+ t+e pa((in/ of time, ut t+at it /!e0 mo!e p!onounce*, an* t+e plaintiff conten*e* t+at it con(titute* one of t+e mean( 0+ic+ t+e *efen*ant employe* fo! 0innin/ t+e affection( of t+e plaintiff3( 0ife. T+i( (eem( to e a !at+e! unu(ual met+o* of love makin/, yet if cu!!ent !epo!t( a!e !elia le, it i( not t+e fi!(t in(tance 0+e!e a cici( eo +a( *elve* into t+e *i(tant (tone a/e an* !ou/+t fo!t+ a (ome0+at !ou/+ an* uncout+ met+o* of en*ea!ment, 0+ic+ %%2+0 0ell (e!ve* +i( pu!po(e, an* !ou/+t a out t+e *e(i!e* !e(ult. Be t+i( a( it may, it 0ill (uffice to (ay t+at muc+ time 0a( con(ume* in t+e t!ial cou!t in takin/ te(timony conce!nin/ t+e(e 0!e(tlin/ an* (imila! encounte!( an* t+e e.tent to 0+ic+ ot+e! mem e!( of t+e pa!tie( pa!ticipate* in t+emC t+e!e 0a( al(o te(timony, not all in +a!mony, +o0eve!, conce!nin/ t+e plaintiff3( p!ote(t( a/ain(t t+e activitie( alon/ t+e(e line( of +i( 0ife an* t+e *efen*ant an* t+e latte!3( !eplie( an* !e;oin*e!( t+e!eto. K"L A( 0e +ave (ai*, one of t+e *efen*ant3( p!incipal 0itne((e( 0a( a M!. 'ame( A. T+omp(on. T+e latte! an*

5#9 Hu( an* an* Wife 5#9H Enticin/ an* Alienatin/ 5#9k>>> Evi*ence 5#9k>>>=>@ k. A*mi((i ility of ,ecla!ation( o! A*mi((ion( of Hu( an* o! Wife. Mo(t Cite* Ca(e( Evi*ence of conve!(ation et0een plaintiff (uin/ fo! alienation of 0ife3( affection( an* 0ife, !elatin/ to *ivi(ion of p!ope!ty, +el* ina*mi((i le a( ve! al act(. '.( /r*v*le0ed Commun*#at*ons and Conf*dent*al*ty &11, .1 >""H <!ivile/e* Communication( an* Confi*entiality >""H-- 2amily <!ivile/e( >""H--=B@ Spou(al <!ivile/e >""Hk8" k. Communication( T+!ou/+ o! in <!e(ence o! Hea!in/ of Ot+e!(C Communication( 0it+ T+i!* <a!tie(. Mo(t Cite* Ca(e( =2o!me!ly :"#k"$>@ Communication( et0een +u( an* an* 0ife in p!e(ence of t+i!* pa!tie( a!e not p!ivile/e*. O)S ::.#:#. '9( /r*v*le0ed Commun*#at*ons and Conf*dent*al*ty &11, .4 >""H <!ivile/e* Communication( an* Confi*entiality >""H-- 2amily <!ivile/e( >""H--=B@ Spou(al <!ivile/e >""Hk8: k. <e!(on( Entitle* to A((e!t <!ivile/e. Mo(t Cite* Ca(e( =2o!me!ly :"#k5"&@ -n action fo! alienation of affection( of 0ife (u (e6uently 0e**e* to *efen*ant, *efen*ant cannot claim p!ivile/e 0+e!e plaintiff te(tifie* a( to communication( ma*e to +im y fo!me! 0ife. O)S ::.#:#. : -mpeac+ment y Ot+e! Mean(

+i( 0ife 0e!e mem e!( of t+i( (ocial /!oup. Hi( te(timony, appa!ently impo!tant to t+e *efen*ant, cove!e* t+e(e 0!e(tlin/ encounte!(, t+e (ocial *ive!(ion( of t+e /!oup, an* t+e !elation(+ip et0een t+e *efen*ant an* M!(. Cole(, plaintiff3( fo!me! 0ife. -f +i( te(timony 0a( accepte* a( t!ut+ful y t+e ;u!y, t+e *efen*ant3( con*uct to0a!*( M!(. Cole( 0a( t+e (ame a( +i( con*uct to0a!*( ot+e! 0omen f!ien*(, an* 0a( p!ope! an* +a!mle((. Appa!ently not+in/ *evelope* upon c!o((4e.amination 0+ic+ o viou(ly *i(c!e*ite* t+i( 0itne((C ut, upon !e uttal, t+e plaintiff 0a( pe!mitte* ove! o ;ection to te(tify %1+ t+at, Mat t+e time - 0a( in t+e /a!a/e 0+e!e +e 0o!k(,N T+omp(on tol* +im t+at at a picnic +el* on t+e ank( of t+e <u**in/ !ive! t+e con*uct of t+e *efen*ant an* M!(. Cole( to0a!*( eac+ ot+e! 0a( *i(/!aceful. Befo!e *efen*ant3( o ;ection 0a( !ule* upon, plaintiff3( coun(el (tate* t+at t+e pu!po(e of t+e contemplate* an(0e! 0a( to M/o to t+e c!e*i ility of T+omp(on.N T+e o ;ection( of t+e *efen*ant to t+e 6ue(tion(, 0+ic+ elicite* t+e a ove an(0e!, 0e!e (pecific an* 0e!e !eite!ate*C t+ey 0e!e to t+e effect t+at, if t+e plaintiff (ou/+t t+i( info!mation to (u (tantiate t+e c+a!/e( of +i( complaint, t+e in6ui!y 0a( in violation of t+e +ea!(ay evi*ence !uleD T+at if t+e plaintiff (ou/+t t+e an(0e! fo! t+e pu!po(e of impeac+in/ T+omp(on, +e +a* not lai* t+e p!ope! foun*ation y makin/ a (imila! in6ui!y of T+omp(on accompanie* 0it+ t+e *etail( of time, place, an* pe!(on( p!e(ent. T+e me!it( of t+e fi!(t alte!native of t+e o ;ection a!e (o (elf4evi*ent, Wi/mo!e on Ev. =5* E*.@ O "#"8C Smit(on v. S. <. Co., >& O!. &:, %# <. $#&, t+at 0e *eem it nece((a!y to (et fo!t+ ou! con(i*e!ation only of t+e (econ* p+a(e of t+e o ;ection. Section 8%:, O!. L., p!ovi*e(D MA 0itne(( may al(o e impeac+e* y evi*ence t+at +e +a( ma*e, at ot+e! time(, (tatement( incon(i(tent 0it+ +i( p!e(ent te(timonyC ut efo!e t+i( can e *one, t+e (tatement( mu(t e !elate* to +im, 0it+ t+e ci!cum(tance( of time(, place(, an* pe!(on( p!e(entC an* +e (+all e a(ke* 0+et+e! +e +a( ma*e (uc+ (tatement(, an* if (o, allo0e* to e.plain t+em. -f t+e (tatement( e in 0!itin/, t+ey (+all e (+o0n to t+e 0itne(( efo!e any 6ue(tion i( put to +im conce!nin/ t+em.N %16 -t i( nece((a!y, t+e!efo!e, to e.amine t+e in6ui!ie( p!opoun*e* to T+omp(on an* *ete!mine 0+et+e! a (imila! 6ue(tion 0a( put to +im 0+ic+ complie* 0it+ t+i( (tatuto!y !ule. <au(in/ fo! a moment, it i( 0o!t+ 0+ile to o (e!ve t+at t+i( !e6ui!ement *oe( not invoke an i*le ce!emony, ut i( inten*e* to (e!ve a u(eful pu!po(e. Eve!y 0itne((, 0+o(e te(timony i( (+o0n in conflict 0it+ a p!eviou( (tatement ma*e y +im, i( not nece((a!ily !eveale* t+e!e y a( a *i(+one(t pe!(onC t+e impeac+ment, in many in(tance(, may uncove! only a faulty memo!y in t+e *i(c!e*ite* 0itne((. T+e !e6ui!ement t+at t+e i*entifyin/ ci!cum(tance( of time, place, t+o(e p!e(ent, an* t+e (tatement t+at t+e 0itne(( t+en ma*e (+all e !elate* to

+im, i( foun*e* upon t+e e.pe!ience, 0+ic+ f!e6uently p!e(ent( it(elf in t+e cou!t!oom, t+at a 0itne((, 0+o +a( (toutly *enie* +avin/ ma*e an alle/e* (tatement, may finally lu(+in/ly an* apolo/etically a*mit it, 0+en t+e 6ue(tione! t+!o0( into a((ociation 0it+ it i*entifyin/ ci!cum(tance(. -t i( a common o (e!vation t+at a((ociate* i*ea(, a( t+ey a!e !elate*, one afte! anot+e!, not inf!e6uently (uccee* in uptu!nin/ a fact 0+ic+ p!eviou(ly +a* *efie* all effo!t( of !ecollection. An* (o t+i( !ule of evi*ence i( inten*e* to !eveal not only t+e *i(+one(t 0itne((, ut i( al(o inten*e* to affo!* all 0itne((e( ample oppo!tunity to !ecall a fact efo!e t+ey may e a((aile* a( *i(+one(t. T+e !e6ui!ement al(o ten*( to !e*uce to t+e minimum a confu(ion of i((ue( y eliminatin/ unnece((a!y impeac+ment(. Wi/. on Ev. =5* E*.@ O "#"$. K5L App!oac+in/ t+e (tatuto!y !e6ui!ement t+u( !oa*ly a( one inten*e* to (e!ve a p!actical, u(eful en*, let u( (ee 0+at t+e !eco!* p!e(ent(. On *i!ect %17 e.amination T+omp(on 0a( a(ke* conce!nin/ a conve!(ation +e +a* +a* 0it+ t+e plaintiff at t+e By ee Avenue 1a!a/e. T+e 0itne(( (tate* t+at t+e conve!(ation occu!!e* (o lon/ a/o t+at +i( !ecollection +a* ecome (ome0+at va/ue, ut +e !ecalle* t+at at t+at time t+e plaintiff (ai* t+at +i( 0ife 0a( /oin/ to /et a *ivo!ce. No fu!t+e! 6ue(tion( 0e!e a(ke* +im on *i!ect e.amination conce!nin/ t+at conve!(ation. T+e time of t+i( conve!(ation 0a( not fi.e*, no! 0e!e t+o(e p!e(ent mentione*, an* +e 0a( a(ke* not+in/ conce!nin/ t+e <u**in/ !ive! inci*ent. On c!o((4e.amination +e 0a( a(ke* 0+et+e! +e !ecalle* Mtalkin/ to M!. Cole( a out t+at t!ip to t+e <u**in/ !ive!.N He !eplie* in t+e ne/ative. T+i( 0a( t+e only foun*ation lai* fo! t+e impeac+in/ 6ue(tionC 0e elieve it 0a( in(ufficient. -t may e t+at T+omp(on 0a( unt!ut+ful, ut efo!e t+e plaintiff coul* avail +im(elf of (uc+ an a!/ument +e (+oul* +ave p!epa!e* t+e nece((a!y p!emi(e y (u mittin/ to T+omp(on t+e alle/e* (tatement accompanie* y t+e i*entifyin/%%2+1 ci!cum(tance(. Since t+i( 0a( not *one, e!!o! 0a( committe* 0+en t+e impeac+in/ 0itne(( 0a( pe!mitte* to an(0e!. K>L T+e *efen*ant a((i/n( e!!o! p!e*icate* upon t+e !efu(al of t+e cou!t to pe!mit +im to (+o0 t+at ot+e!( in t+ei! (ocial /!oup en/a/e* in (imila! act( of 0!e(tlin/, an* t+at none ma*e complaint. W+ile t+e pu!po(e to 0+ic+ t+e *efen*ant e.pecte* to put t+e an(0e! i( not clea! to u(, yet, appa!ently, +e planne* to (+o0 t+e!e y t+at +e +a* complie* 0it+ t+at *u iou( co*e of con*uct 0+ic+ i( in*icate* y t+e fo!mula, MW+en in )ome *o a( t+e )oman( *o,N an* t+at t+e!efo!e +i( !epeate* act( of !ou/+in/ t+e plaintiff3( 0ife coul* not con(titute t+e foun*ation of %1. an action of t+i( c+a!acte!. To u( it (eem( t+at t+e in;ection of (uc+ in6ui!ie( into t+e ca(e 0oul* +ave !ou/+t t+e ;u!y ut little p!ofit. An o!*ina!y ;u!o! can !ea*ily *ete!mine, 0it+out (uc+ a((i(tance, t+e p!o a le !e(ult of a man 0!e(tlin/ 0it+ anot+e!3( 0ife, !ollin/ upon

9 -mpeac+ment y Ot+e! Mean(

+e! on t+e floo!, tea!in/ +e! clot+e(, an* en/a/in/ in (imila! act( of uffoone!y. -f t+e !i/+t o! 0!on/ of (uc+ con*uct i( not appa!ent to +im, +e 0oul* e incapa le of *e!ivin/ any a((i(tance f!om te(timony 0+ic+ 0oul* inevita ly in;ect into t+e ca(e an a**itional i((ue t+!ou/+ affi!mance( on t+e one (i*e an* *enial( on t+e ot+e!. -f t+i( evi*ence 0a( a*mi((i le, 0e a((ume t+at (imila! te(timony 0oul* like0i(e e a*mi((i le a( to t+e va!iou( ot+e! act( of mi(con*uct alle/e* y t+e plaintiff a/ain(t t+e *efen*ant. No e!!o! 0a( committe* 0+en t+i( evi*ence 0a( e.clu*e*. K:L Fpon c!o((4e.amination of t+e *efen*ant, t+e plaintiff 0a( pe!mitte* to in6ui!e ove! t+e *efen*ant3( o ;ection a( to 0+at t+e latte!3( fo!me! 0ife +a* tol* +im a out +e! intention to !etu!n to O!e/on. T+e plaintiff (tate* +i( pu!po(e a( follo0(D M- am /oin/ to u(e t+i( a( an impeac+in/ 6ue(tion.N But t+e *ifficulty t+at lie( in t+e 0ay of u(in/ t+e an(0e! fo! t+at pu!po(e i( t+at t+e in6ui!y 0a( upon a collate!al matte!. We a!e tol* t+at t+e te(t of collate!alne(( i(D MCoul* t+e fact, a( to 0+ic+ t+e p!io! (elf4 cont!a*iction i( p!e*icate* +ave een (+o0n in evi*ence fo! any pu!po(e in*epen*ently of t+e (elf4cont!a*ictionEN Wi/. on Ev. =5* E*.@ O "#5#. -f t+e plaintiff (ou/+t t+i( info!mation me!ely fo! t+e pu!po(e of catc+in/ t+e *efen*ant in an unt!ut+, t+e o ;ection (+oul* +ave een (u(taine*. %19 K9L T+e plaintiff 0a( pe!mitte*, ove! t+e *efen*ant3( o ;ection(, to !ea* in evi*ence an affi*avit (i/ne* y t+e *efen*ant 0+ic+ ave!!e* t+e nonp!e(ence in O!e/on of +i( 0ifeC t+i( 0a( employe* a( t+e a(i( fo! pu lication of (ummon( in t+e latte!3( (uit fo! a *ivo!ce. T+e plaintiff conten*( t+at t+i( evi*ence (+o0e* t+at t+e *efen*ant 0a( plannin/ to /et !i* of +i( 0ife (o a( to e in a po(ition to ma!!y t+e plaintiff3( 0ife. T+e complaint alle/e*, an* t+e an(0e! a*mitte*, t+at p!io! to 'anua!y, "$5%, t+e *efen*ant 0a( ma!!ie* to plaintiff3( (i(te!, an* t+at in t+at mont+ +i( 0ife o taine* a *ivo!ce f!om +im upon a c!o((4complaint in a (uit file* y +im. -n6ui!ie( into t+e int!icacie( of t+at (uit, afte! t+e a ove, e.p!e(( a/!eement a( to t+e *efen*ant3( mat!imonial (tatu(, 0oul* me!ely impo!t into t+i( ca(e an unnece((a!y collate!al i((ue. We elieve t+at t+e o ;ection (+oul* +ave een (u(taine*. K%L -t i( ne.t conten*e* t+at un*e! t+e (em lance of offe!in/ te(timony to p!ove t+e (tate of feelin/ et0een t+e plaintiff an* +i( fo!me! 0ife, +e 0a( pe!mitte* to te(tify to matte!( ina*mi((i le fo! t+at pu!po(e, ut 0+ic+ +e employe* to t+e *i(a*vanta/e of t+e *efen*ant in va!iou( pa!ticula!(. One of t+e(e piece( of evi*ence a!o(e out of an in(tance 0+en M!(. Cole( came to t+e (+op 0+e!e t+e plaintiff 0a( employe*. T+e latte! in6ui!e* of +e! 0+et+e! (+e came y (t!eet ca! o! y automo ile. He 0a( pe!mitte*, ove! o ;ection(, to te(tify t+at (+e !eplie* t+at (+e +a* come y t+e (t!eet ca! an* not y automo ile. -t 0ill e

!ea*ily o (e!ve* t+at M!(. Cole(3 !eply, a( !elate* y t+e plaintiff, +a* no ten*ency to (+o0 t+at (tate of feelin/ et0een +u( an* an* 0ife. -n fact, t+e plaintiff *oe( not (eem to claim t+at it %20 po((e((e( any (uc+ 6uality, ut a!/ue( t+at t+i( evi*ence 0a( ve!y impo!tant, Ma( it (+o0( t+at t+e appellant !ou/+t plaintiff3( 0ife ove! to t+e (+op an* +e kept at a (afe *i(tance.N -t i( o viou( t+at t+e +ea!(ay evi*ence !ule 0a( violate* 0+en t+e (tatement 0a( u(e* fo! t+i( pu!po(e. K&L We (+all mention one mo!e piece of t+i( type of evi*ence an* t+en con(i*e! t+e application of t+e ve! al act *oct!ine. 'une "(t, M!(. Cole( left t+e plaintiff3( +omeC t+e!eafte! +e en*eavo!e* to pe!(ua*e +e! to !etu!nC 0+en +i( effo!t( p!ove* f!uitle((, +e con(ulte* an atto!ney (o a( to a!!an/e fo! a *ivo!ce (uit on e+alf of +i( 0ife. At a out t+i( time M!(. Cole( an* t+e plaintiff +el* a confe!ence conce!nin/ t+e a*;u(tment of t+ei! p!ope!ty !i/+t(. Ove! t+e *efen*ant3( o ;ection(, t+e plaintiff 0a( pe!mitte* to na!!ate 0+at occu!!e* at t+i( confe!ence a( follo0(D MA. ,u!in/ t+e time et0een t+e (epa!ation an* t+e *ivo!ce, 0+ile t+e pape!( 0e!e ein/ *!a0e* up 0e /ot to talkin/ one ni/+t a out t+e place t+at 0e o0ne*. We o0ne* it ;ointly to/et+e!. An* - a(ke* +e! +o0 muc+ (+e fi/u!e* 0a( +e!(. S+e (ay(, 0ell, (+e *i*n3t kno0. - (ay(, PWell, if (ell t+e place an* pay off 0+at - o0e, *octo! ill( an* (o on,Q - (ai*, Pt+e!e 0ill e a out G&##.## left.Q - (ay(, PHo0 muc+ of t+at *o you t+ink you a!e entitle* toEQ Well, (+e (ay(, P- *on3t kno0.Q S+e (ay(, PAll - 0ant i( enou/+ to live on fo! a out (i. mont+(3 an* - (ay(, PWell, - 0ill tell you 0+at - 0ill *o,Q - (ay(, P- 0ill /ive you five +un*!e* *olla!(.Q But - (ay(, P- cannot pay you all at once, - 0ill pay you (o muc+ a mont+CQ - (ay(, PWill %%2+2 fifty a mont+ e enou/+Q440+ic+ - +a* al!ea*y a/!ee* to pay +e! fifteen *olla!( a mont+ fo! t+e c+il*44an* - (ay(, PT+at 0ill make you (i.ty4five a mont+.Q - (ay(, PWill t+at e enou/+EQ %21 S+e (ai*, PYe(,Q (+e coul* /et alon/ ve!y nicely on t+at fo! a out (i. mont+(.33 An* (till late! +e 0a( pe!mitte* to a** t+at +e *i(c+a!/e* t+e in(tallment payment( fait+fully mont+ y mont+. All of t+i( evi*ence 0a( !eceive* fo! t+e pu!po(e of (+o0in/ M;u(t 0+at attitu*e o! f!ame of min* t+e pa!tie( 0e!e in in t+i( matte!, o! t+e f!ame of min* t+e plaintiff3( fo!me! 0ife 0a( in to0a!*( t+e *efen*ant.N -n <u/(ley v. Smyt+, $8 O!. ::8, "$: <. %8%, t+e a*mi((i ility of ve! al act( to p!ove t+e (tate of feelin/ of one to anot+e! i( ca!efully e.plaine* in an e.+au(tive opinion 0!itten y fo!me! 'u(tice Ha!!i(. We 6uoteD M7 7 7 T+e *oct!ine 0+ic+ (anction( t+e a*mi((ion of ve! al utte!ance( con(titute( an e.ception to t+e +ea!(ay !ule !at+e! t+an a violation of it. T+e e.ception a!i(e( out of t+e ultimate fact, 0+ic+ i( *i(clo(e* in t+e final analy(i(, t+at t+e utte!ance i( in t!ut+ a natu!al an* (pontaneou( ve! al

% -mpeac+ment y Ot+e! Mean(

manife(tation of an emotion, ;u(t a( a facial e.p!e((ion o! a /e(tu!e i( t+e 0o!*le(( manife(tation of an emotionC an* it matte!( not 0+et+e! 0e call t+e vocal utte!ance a ve! al act o! a pa!t of t+e !e( /e(tR o! o!i/inal evi*ence, fo! it i( 0it+in t+e kno0le*/e of all pe!(on( t+at a vocal utte!ance may e in*icative of t+e feelin/ t+at in(pi!e* it ;u(t a( a (u**enly flu(+e* c+eck may e in*icative of (+ame o! (u!p!i(e, o! ;u(t a( (+atte!e* ne!ve( o! t!em lin/ +an*( o! a 0+itene* face may e t+e natu!al an* uncont!olla le manife(tation( of fea!. 7 7 7 W+en, t+e!efo!e, t+e (tate of a pe!(on3( min* i( t+e (u ;ect of in6ui!y, it i( ofttime( competent to con(i*e! ve! al utte!ance( ma*e y t+at pe!(on.N -n )oe(ne! v. ,a!!a+, %9 Kan. 9$$, &# <. 9$&, t+e cou!t 0ell e.p!e((e* t+e !ule t+u(D %22 M7 7 7 W+en t+e in6ui!y involve( t+e e.i(tence of a o*ily o! mental (tate, t+e *ecla!ation( of t+e pa!ty, 0+en un*e! t+e influence of t+e p+y(ical o! mental feelin/ in 6ue(tion, an* *i(clo(in/ +i( (u ;ection to it, a!e not +ea!(ay, ut a!e o!i/inal evi*ence. 7 7 7N We fail to un*e!(tan* +o0 t+e *ecla!ation( ma*e y t+e one to t+e ot+e! conce!nin/ t+ei! p!ope!ty !i/+t(, 0+ile t+ey 0e!e confe!!in/ upon t+at (u ;ect, coul* e (ai* to con(titute t+e natu!al an* (pontaneou( ve! al manife(tation( of emotion. T+e plaintiff +a* p!eviou(ly *etecte* a coolin/ off of +i( 0ife3( affection(C on p!io! occa(ion( t+e t0o +a* *i(cu((e* (ome u!*en(ome *e t( 0+ic+ +a* !ecently een incu!!e*. W+en it (eeme* nece((a!y to employ an atto!ney fo! t+e *ivo!ce (uit, t+ei! financial con*ition a/ain 0a( mentione*, an* it( un(ati(facto!y con*ition cau(e* t+e plaintiff to employ an atto!ney 0+om +e elieve* 0oul* e fai! to ot+, !at+e! t+an fo! eac+ to (ecu!e an in*ivi*ual atto!ney. Fn*e! t+e(e con*ition(, 0e elieve it i( evi*ent t+at 0+en t+e t0o finally met to *ivi*e t+ei! (mall e(tate, t+e a!te!in/ ack an* fo!t+ *i* not con(i(t of (pontaneou( *ecla!ation( !evealin/ affection o! it( a (ence, ut t+at t+ei! p!opo(al( an* counte! p!opo(al( 0e!e t+e p!o*uct of calculation, *eli e!ation, an* !eflection. Suc+ *ecla!ation( *o not +ave t+ei! p!omptin/( in t+e emotion( of t+e +ea!t, no! in t+e !anco! of t+e (pleen, ut fin* t+ei! inception in t+e u(ine(( acumen of t+e pa!tie(. Suc+ ein/ t+ei! natu!e, t+e(e *ecla!ation( 0e!e not a*mi((i le a( ve! al act(. K8L W+ile upon t+e (tan* a( a 0itne(( in +i( o0n e+alf, t+e plaintiff 0a( pe!mitte* to te(tify to nume!ou( communication( ma*e to +im y +i( 0ife. T+i( evi*ence al(o 0a( offe!e* to (+o0 t+at +i( 0ife +a* affection fo! +im, an* t+at it 0a( finally alienate* a( %2& a !e(ult of t+e *efen*ant3( 0!on/ful con*uct. We +ave al!ea*y con(i*e!e* an* *i(po(e* of t0o of t+e(e communication(. T+e (eve!al !emainin/ one( (eem to come un*e! t+e ve! al act *oct!ine, an* 0e!e mate!ial an* !elevant to t+e i((ue efo!e t+e

cou!t. Befo!e con(i*e!in/ t+e *efen*ant3( p!e(ent o ;ection( to t+i( line of evi*ence, 0e (+all a** to it anot+e! piece of evi*ence of (ome0+at (imila! c+a!acte!, to 0+ic+ t+e *efen*ant make( like o ;ectionD T+e plaintiff calle* a( a 0itne(( in +i( e+alf M!. 2!ank Motte!, t+e atto!ney 0+o con*ucte* t+e (uit fo! t+e *ivo!ce. He te(tifie* to communication( ma*e to +im y M!(. Cole(, to t+e effect t+at (+e 0a( in(i(tant upon a *i((olution of t+e ma!!ia/e cont!act an* coul* not e pe!(ua*e* to !etu!n to +e! +u( an*. Su (tantially all of t+i( evi*ence 0a( !eceive* 0it+out o ;ection. No0 fo! t+e fi!(t time t+e *efen*ant conten*( t+at t+e lo0e! cou!t (+oul* +ave e.clu*e* t+i( evi*ence a( p!ivile/e* communication. He a!/ue( t+at it( !eception 0a( violative of (ection &>>, O!. L., an* t+at it 0a( t+e *uty of t+e ci!cuit cou!t to +ave !e;ecte* it upon it( o0n initiative. Some of M!(. Cole(3 (tatement(, !elate* y t+e plaintiff a( a 0itne((, 0e!e ma*e 0+en ot+e!( 0e!e p!e(entC one communication took place ove! t+e telep+one 0i!e(. -n <u/(ley v. Smyt+, (up!a, t+i( cou!t +el* t+at t+e /ene!al effect of (ection &>>, O!. L., i( to p!ivile/e all communication( et0een +u( an* an* 0ife, ut pointe* outD M-t i( /ene!ally +el* t+at communication( ma*e in t+e p!e(ence of t+i!* pe!(on( a!e not p!ivile/e*. 7 7 7N See, to (imila! effect, Wi/mo!e on Ev. =5* E*.@ O 5>>$, an* 58 ). C. L., Witne((e(, O ""&. Hence 0e conclu*e t+at t+e communication( ma*e in t+e p!e(ence of t+i!* pa!tie( 0e!e not p!ivile/e*. But t+e p!o lem !emain( 0+et+e! %24 t+e !eception of t+e plaintiff3( te(timony a( to communication( ma*e to +im y +i( 0ife 0a( !eve!(i le %%2+& e!!o! 0+en no one inte!po(e* t+e o ;ection of p!ivile/e. To (u(tain +i( contention t+at e!!o! availa le to t+e *efen*ant 0a( t+u( committe*, t+e *efen*ant call( to ou! attention t+e fou! O!e/on ca(e( of B!yant v. ,uke+a!t, "#% O!. >9$, 5"# <. :9:C <u/(ley v. Smyt+, (up!aC Lon/ v. Lan*e!, "# O!. "&9C Sitton v. <ey!ee, ""& O!. "#&, 5:" <. %5, 5:5 <. """5. -n t+e fi!(t of t+e(e ca(e( t+e p!ope! o ;ection +a* een inte!po(e*C in t+e (econ*, a !ulin/ of t+e cou!t +a* een o taine*C 0+ile in t+e t+i!*, t+i( cou!t in (u(tainin/ t+e lo0e! cou!t3( !ulin/ p!e(ume*, in t+e a (ence of anyt+in/ to t+e cont!a!y, t+at t+e po((e((o! of t+e p!ivile/e /ave +i( con(ent 0+en t+e communication 0a( !eveale* y t+e 0itne((. T+e fou!t+ of t+e(e ca(e( 0e elieve contain( not+in/ +elpful to a (olution of ou! p!e(ent p!o lem. -t i( t!ue t+at t+e fi!(t t+!ee ca(e( contain o ite! *icta, o! ;u(tify infe!ence( 0+ic+ len* (ome (uppo!t to t+e *efen*ant3( contention(. T+e *efen*ant al(o call( to ou! attention t+e follo0in/ aut+o!itie(D Hump+!ey v. <ope, " Cal. App. >&:, 85 <. 55>C O3B!ien v. Ne0 En/lan*, etc., Co., "#$ Kan. ">8, "$5 <. ""##C Ho*/e( v. Mullikin, " Blan*. =M*.@ 9#>C Weil v. Weil, "9" App. ,iv. %55, ">% N. Y. S. "$#C -n !e C!avat+, 98 Mi(c. )ep. "9:, ""# N. Y. S. :%5C Hu ell v. 1!ant, >$ Mic+. %:"C Leuc+t v. Leuc+t, "5$ Ky. &##, ""5 S. W. 8:9, "># Am. St. )ep. :8%C :# Cyc. 5>$:, 5>$9.

& -mpeac+ment y Ot+e! Mean(

We +ave ca!efully !ea* all of t+e(e ca(e(. Wit+out un*e!takin/ to (et fo!t+ an e.ten*e* !evie0 of t+em, 0e (+all content ou!(elve( 0it+ t+e o (e!vation t+at Ho*/e( v. Mullikin an* -n !e C!avat+ *o not (eem to len* (i/nificance to *efen*ant3( contention. %2+ -n O3B!ien v. Ne0 En/lan*, etc., Co., t+e atto!ney40itne((, in t+e a (ence of +i( client, invoke* t+e p!ivile/eC t+i( 0a( +el* (ufficient to e.clu*e +i( te(timony. -n Weil v. Weil, t+e p!ivile/e 0a( t+at of t+e *efen*ant, 0+ic+ i( in ma!ke* cont!a(t to t+at of ou! ca(e, 0+e!e t+e *efen*ant i( not t+e eneficia!y of t+e p!ivile/e. A (ome0+at (imila! con*ition 0a( p!e(ent in Hu ell v. 1!ant. T+e !ea(onin/ of t+e cou!t( in t+e(e t0o ca(e, +o0eve!, (eem( to len* colo! to *efen*ant3( a!/ument. -n Hump+!ey v. <ope t+e /ene!al o ;ection 0a( +el* (ufficient to invoke t+e p!ivile/e. W+ile it i( t!ue t+at o ite! *icta in (ome of t+e(e ca(e( (uppo!t *efen*ant3( contention, yet none of t+e *eci(ion( a!e (6ua!ely in point. W+ile 0e +ave not con*ucte* an e.+au(tive (ea!c+ into t+e aut+o!itie(, 0e +ave neve!t+ele(( foun* t+e follo0in/ 0+ic+ a!e cont!a!y to t+e *efen*ant3( contentionD )uc+ v. State, """ O+io St. 98#, ":% N. E. %&C No!!i( v. Ste0a!t3( Hei!(, "#9 N. C. :99, "# S. E. $"5, "8 Am. St. )ep. $"&C <a!k+u!(t v. Be!*ell, ""# N. Y. >8%, "8 N. E. "5>, % Am. St. )ep. >8:C <ie!(on v. <eople, &$ N. Y. :5:, >9 Am. )ep. 95:C <eople v. C+a*0ick, : Cal. App. %>, 8& <. >8:, >8$C Hunte! v. State, "# Okl. App ""$, ">: <. "">:, L. ). A. "$"9A, 9%:, Ann. Ca(. "$"%A, %"5C Ben(on v. Mo!/an, 9# Mic+. &$, ": N. W. &#9C Walke! v. 2iel*( =Te.. Com. App.@ 5:& S. W. 5&5. We e(pecially call attention to Co+en v. F. S., 5": 2. 5> =$t+ Ci!., t+e ca(e +avin/ a!i(en in t+i( (tate@. Believin/, a( 0e *o, t+at t+e !e(ult i( mo!e likely to p!ove (ati(facto!y if 0e e.amine t+e p!inciple( of la0 0+ic+ un*e!lie t+e (ituation t+an to me!ely cite aut+o!ity, 0e (+all un*e!take a !ief e.amination in t+at !e(pect. %26 -t 0oul* (eem clea! t+at un*e! ou! (tatute =(ection &>>, O!. L.@ t+e p!ivile/e of +avin/ t+e communication 0it++el* f!om t+e 0itne(( (tan* 0a( t+at of 0ifeC (+e (u (e6uently ecame a 0itne(( in e+alf of t+e *efen*ant, an* te(tifie* to many communication( ma*e y t+e plaintiff to +e!. ,u!in/ t+e p!e(entation of t+e plaintiff3( te(timony, t+e 0ife ma*e no o ;ection to t+e !evealment of +e! p!eviou( communication(. Ou! (tatute i( p!efi.e* 0it+ t+e *ecla!ationD MT+e!e a!e pa!ticula! !elation( in 0+ic+ it i( t+e policy of t+e la0 to encou!a/e confi*ence, an* to p!e(e!ve it inviolate.N -t t+en (pecifie( communication et0een +u( an* an* 0ife a( one of t+em, an* p!ovi*e(D MA +u( an* (+all not e e.amine* fo! o! a/ain(t +i( 0ife 0it+out +e! con(ent, no! a 0ife fo! o! a/ain(t +e! +u( an* 0it+out +i( con(entC no! can eit+e!, *u!in/ t+e ma!!ia/e o! afte!0a!*(, e, 0it+out t+e con(ent 8 -mpeac+ment y Ot+e! Mean(

of t+e ot+e!, e.amine* a( to any communication ma*e y one to t+e ot+e! *u!in/ t+e ma!!ia/eC ut t+e e.ception *oe( not apply to a civil action, (uit, o! p!ocee*in/, y one a/ain(t t+e ot+e!, no! to a c!iminal action o! p!ocee*in/ fo! a c!ime committe* y one a/ain(t t+e ot+e!.N K$L We may e pa!*one* fo! o (e!vin/ t+at it i( *ifficult to un*e!(tan* +o0 t+e policy of t+e la0 i( facilitate* y clo(in/ t+e mout+ of eit+e! (pou(e in an action of t+i( kin*, 0+e!e an int!u*e! i( c+a!/e* 0it+ +avin/ *i(!upte* t+at 0+ic+ i( t+e ve!y foun*ation of t+e (tate, t+e +ome. -t 0oul* (eem !at+e! a( t+ou/+ t+e policy of t+e la0 (+oul* *eman* t+e 0i*e(t po((i le in6ui!y into (uc+ c+a!/e(. T+e plaintiff an* M!(. Cole( a!e no lon/e! +u( an* an* 0ifeC t+e latte! +a( no0 ecome 0e**e* to t+e *efen*ant. Ce!tainly t+e!e can e no po((i ility of an in;u!y to t+e !elation( e.i(tin/ et0een t+e plaintiff an* +i( %27 fo!me! 0ife 0+en t+ei! communication( a!e pu li(+e* f!om t+e 0itne(( (tan*. W+ile +u( an* an* 0ife a!e livin/ to/et+e! +appily, neit+e! i( likely to !epo(e a /!eate! confi*ence in t+e ot+e! t+!ou/+ an a((u!ance t+at in t+e event of an action of t+i( c+a!acte! t+ei! communication( cannot e !eveale*. Hence t+e *efen*ant3( o ;ection i( *evoi* of !ea(on. We elieve al(o t+at it fin*( no (uppo!t in t+e 0ell4 e(ta li(+e* p!inciple( of la0, fo! t+e follo0in/ !ea(on(D -f t+e p!ivile/e of (ec!ecy i( t+e !i/+t of t+e %%2+4 *efen*ant, t+en it 0oul* (eem clea! t+at +e lo(t +i( oppo!tunity of a((i/nin/ e!!o! y failin/ to o ;ect 0+en t+e communication( 0e!e pu li(+e* f!om t+e 0itne(( (tan*. -t i( only y takin/ t+e po(ition t+at t+e p!ivile/e elon/e* to M!(. Cole(, 0+o 0a( not a pa!ty, t+at +e can avoi* t+e con(e6uence( of failu!e to o ;ect. But if +e a((ume( t+e attitu*e t+at t+e p!ivile/e elon/e* to +i( p!e(ent 0ife, +e i( !ou/+t face to face 0it+ t+e fact t+at (uc+ p!ivile/e( a!e pe!(onal. State e. !el. Heat+ v. K!aft, "8 O!. 99#, 5> <. %%>C Wi/. on Ev. =5* E*.@ O 5"$%. T+e p!o ative value of a *ecla!ation p!eviou(ly ma*e i( neit+e! inc!ea(e* no! *imini(+e* y /!antin/ to (ome one a p!ivile/e to e.clu*e it f!om t+e 0itne(( (tan*. T+e p!ivile/e i( not a(e* on any notion t+at t+e communication i( unt!ut+ful, o! 0oul* lack me!it a( evi*ence. W+et+e! +e e.e!ci(e( t+e p!ivile/e o! *oe( not, 0+et+e! t+e cou!t !ule( p!ope!ly o! imp!ope!ly upon t+e claim of p!ivile/e, t+e !elevancy, me!it, an* mate!iality of t+e *ecla!ation !emain( t+e (ame. -t i( t!ue t+at a !i/+t of t+e p!ivile/e* *ecla!ant +a( een violate* 0+en t+e cou!t fail( to p!otect it, an* t+at amen*( (+oul* e ma*e in (ome manne!C ut 0e fail to un*e!(tan* +o0 !e*!e(( 0ill e !ou/+t to t+at pa!ty 0+en a ;u*/ment et0een t+e t0o ot+e!( i( !eve!(e* ecau(e %2. of t+at e!!oneou( !ulin/. We 6uote f!om Wi/mo!e on Ev. =5* E*.@ O 5"$%, a( follo0(D MAn imp!ope! !ulin/ y t+e Cou!t, upon a 6ue(tion of p!ivile/e, cannot e e.cepte* to y t+e pa!ty a( an e!!o! ;u(tifyin/ an appeal an* a ne0 t!ial, if t+e !ulin/ *enie( t+e p!ivile/e an* compel( t+e 0itne(( to te(tify. By +ypot+e(i(, t+e p!ivile/e *oe( not e.i(t fo! t+e enefit of t+e pa!ty no! fo! t+e (ake of t+e ette! a(ce!tainment of t+e

t!ut+ of +i( cau(e. T+e offe!e* te(timony i( !elevant, an* i(, in all ot+e! !e(pect( t+an t+e p!ivile/e, a*mi((i le. T+e a*mi((ion of it, y *enyin/ t+e p!ivile/e, +a( not int!o*uce* mate!ial 0+ic+ in any 0ay !en*e!( le(( t!u(t0o!t+y t+e fin*in/ of t+e ve!*ictC on t+e cont!a!y, only t+e e.clu(ion of it coul* +ave een an o (tacle to t+e a(ce!tainment of t+e t!ut+. T+e only inte!e(t in;u!e* i( t+at of t+e 0itne(( +im(elf, 0+o +a( een fo!ce* to comply 0it+ a (uppo(e* *uty, 0+ic+ a( et0een +im(elf an* t+e State *i* not e.i(tC +i( !eme*y 0a( to !efu(e to o ey, an* to appeal fo! vin*ication if t+e Cou!t +a* attempte* imp!ope!ly to u(e compul(o!y p!oce(( of contempt. T+i( vie0 +a( een accepte* y (ome Cou!t(. But t+e oppo(ite vie0 natu!ally po((e((e( att!action fo! t+o(e Cou!t(44an* t+ey a!e in t+e ma;o!ity440+o cannot eva*e t+e An/lo4 No!man in(tinct to look upon liti/ation a( a le/ali?e* (po!t, of o!t+o*o. !e(pecta ility, 0it+ +i/+ (take(, t+e /ame to e con*ucte* acco!*in/ to (t!ict !ule( un*e! ;u*icial (upe!vi(ion, an* to e 0on o! lo(t acco!*in/ a( t+e(e !ule( a!e o (e!ve* o! *i(!e/a!*e* =ante, OO 5", "8:9@. 2!om t+i( point of vie0, plainly, t+e t!ial Cou!t3( e!!oneou( *enial of p!ivile/e i( a p!ope! (u ;ect fo! e.ception an* fo!m( Ppe! (eQ a !ea(on fo! puttin/ t+e oppo(in/ pa!ty, i!!e(pective of t+e t!ut+ of t+e cau(e, to t+e *elay, e.pen(e, an* !i(k of a ne0 t!ial. Fpon t+e (po!tin/ t+eo!y of liti/ation t+e!e i( no e(cape f!om t+i( conclu(ionC t+ou/+ it i( impo((i le to !eac+ t+at conclu(ion upon any ot+e! t+eo!y. T+e (po!tin/ t+eo!y maintain( t+u( fa! t+e uppe! +an*, an* y mo(t Cou!t( t+e %29 pa!ty i( to4*ay allo0e* t+e !i/+t to e.cept to a !ulin/ e!!oneou(ly *enyin/ a p!ivile/e.N Ou! *eci(ion in State e. !el. Heat+ v. K!aft, (up!a, t+at t+e p!ivile/e i( pe!(onal i( in +a!mony 0it+ t+e !ea(onin/ of ,ean Wi/mo!e. T+e (pi!it of ou! (tatuto!y la0 like0i(e contemplate( t+e application of p!inciple( analo/ou( to t+o(e 6uote*. Section 8&#, O!. L., in (peakin/ of t+e p!ivile/e( a/ain(t (elf4c!imination an* *e/!a*ation, p!ovi*e(D MT+i( p!ivile/e i( t+e p!ivile/e of t+e 0itne((, an* t+e o ;ection cannot e ma*e y a pa!ty o! +i( atto!ney.N Suc+ ein/ t+e (ituation, 0e elieve t+e *eci(ion in T+!a(+e! v. State, $5 Ne . ""#, ">8 N. W. "5#, Ann. Ca(. "$">E, 885, i( +elpful. T+e *efen*ant 0a( c+a!/e* 0it+ t+e c!ime of !ape. T+e /i!l 0a( *ea* a( t+e !e(ult of effo!t( to p!o*uce an a o!tion. To e(ta li(+ t+e *efen*ant3( /uilt, t+e (tate offe!e* t+e te(timony of t+e p+y(ician( 0+o +a* atten*e* t+e /i!l. We 6uote f!om t+e *eci(ionD MT+ei! te(timony 0a( o ;ecte* to on t+e /!oun* t+at it violate* t+e la0 of p!ivile/e* communication(. T+e contention i( p!o a ly a(e* on t+e p!ovi(ion( of (ection( >>> an* >>: of t+e Civil Co*e, 0+ic+ p!o+i it t+e *i(clo(u!e of confi*ential communication( to a p+y(ician, etc. T+e p+y(ician( te(tifie* to t+e p+y(ical fact( *i(cove!e* y t+em in t+ei! t!eatment of t+e *ece*ent, an* a( to t+ei! cou!(e of t!eatment. We +a* neve! un*e!(too* t+at t+e !ule e.ten*e* (o fa! a( i( claime* y *efen*ant. T+e te(timony +a* no !efe!ence to +im, an* t+e!e 0a( not+in/ fo! +im to $ -mpeac+ment y Ot+e! Mean(

0aive. T+e p!o+i ition( of t+e (ection 0e!e not in +i( Pfavo!.Q So fa! a( 0e a!e a0a!e, t+e p!ovi(ion( of t+e (ection +ave neve! een +el* to apply to ca(e( of t+i( kin*, no aut+o!itie( (o +ol*in/ a!e cite*. Communication( et0een patient an* p+y(ician 0e!e not p!ivile/e* at common la0, ut *epen* alone upon t+e (tatute. -t %&0 i( to e applie* only a( et0een t+em, an* i( fo! t+e p!otection of t+e patient.N -n ,avenpo!t v. State, ":> Mi((. "5", "#8 So. :>>, :9 A. L. ). ">:8, t+e *efen*ant +a* een foun* /uilty of man(lau/+te!C +e a((i/ne* e!!o! a(e* upon t+e a*mi((ion of t+e te(timony of p+y(ician( 0+o +a* atten*e* t+e *ecea(e* afte! t+e infliction of t+e 0oun*. T+e (tatute p!ovi*e*D MAll communication( ma*e to a p+y(ician o! (u!/eon y a patient un*e! +i( c+a!/e o! y one (eekin/ p!ofe((ional a*vice, a!e +e!e y *ecla!e* to e p!ivile/e*, an* (uc+ p+y(ician o! (u!/eon (+all not e !e6ui!e* to *i(clo(e t+e (ame in any le/al %%2++ p!ocee*in/, e.cept at t+e in(tance of t+e patient.N T+e p!evailin/ opinion +el*D M-n ot+e! 0o!*(, t+e *efen*ant in t+e p!e(ent ca(e +a* no kin* of !i/+t( /!o0in/ out of t+e (tatute. -t 0a( not fo! +im to e +ea!* upon it. A( to +im, t+e evi*ence 0a( competent an* a*mi((i le, an* no !i/+t of +i( 0a( violate* y t+e a*mi((ion of t+e evi*ence.N -n Lin*(ey v. <eople, %% Colo. >:>, "8" <. 9>", "% A. L. ). "59#, one Be!t+a W!i/+t +a* een c+a!/e* 0it+ +omici*e, an* t+i( *efen*ant 0a( calle* a( a 0itne(( to *i(c!e*it t+e te(timony of Neal W!i/+t, +e! (on. T+e *efen*ant claime* t+at t+e communication +a* een ma*e to +im a( a pu lic official an* t+at it 0a( t+e!efo!e p!ivile/e*. 2!om t+e p!evailin/ opinion 0e 6uoteD M-f t+e p!ivile/e e.i(te* at all, it e.i(te* fo! t+e p!otection of Neal W!i/+t44not fo! t+e enefit of plaintiff in e!!o!, o! t+e *efen*ant, Be!t+a W!i/+t. 7 7 7 -t 0a( a p!ivile/e 0+ic+ +a* to e claime* y Neal W!i/+t o! (ome one fo! +im. -f it coul* e claime* y +im it coul* e 0aive* y +im an* +e +a* e.p!e((ly 0aive* it. -t +a( een (ai* t+at t+e p!ope! pe!(on to claim o! 0aive t+e p!ivile/e a( to a mino! i( t+e natu!al /ua!*ian of (uc+ mino!44in t+i( ca(e %&1 +i( mot+e!. State v. ,epoi(te!, 5" Nev. "#&, 59 <. "###. Be!t+a W!i/+t (at in cou!t 0it+ +e! coun(el at t+e time of t+e t!ial an* attempte* to claim t+e p!ivile/e a( a *efen*ant, 0+ic+ 0a( clea!ly not +e! !i/+t. S+e ma*e no attempt to make t+e claim a( natu!al /ua!*ian of +e! (on, an* y +e! (ilence (+e 0aive* it.N We elieve t+at like0i(e in t+e ca(e efo!e u( t+e p!ivile/e 0a( in favo! of t+e plaintiff an* +i( fo!me! 0ife, an* *i* not conce!n t+e *efen*ant. No e!!o! affectin/ +im 0a( committe* 0+en t+e p!ivile/e* communication( 0e!e !eveale*. Fpon t+e ne0 t!ial, 0+ic+ 0ill e nece((itate* y !ea(on of t+e e!!o!( p!eviou(ly mentione*, t+e cou!t mu(t e.clu*e t+e(e p!ivile/e* communication( if t+e po((e((o! of t+e p!ivile/e invite( (uc+ actionC any cou!t may ve!y p!ope!ly e.clu*e p!ivile/e* communication( upon it( o0n

motion, 0+en it appea!( t+at a 0itne(( i( a out to te(tify to (ome p!otecte* fact 0it+out a 0aive! of t+e p!ivile/e +avin/ een ma*e. "# Enc. of Ev. 5##. T+e fo!e/oin/ 0ill al(o (uffice to *i(po(e of t+e contention( !e/a!*in/ t+e te(timony of M!. Motte!. T+e *efen*ant a!/ue( in +i( !ief alle/e* e!!o!( p!e*icate* upon t+e *enial of +i( motion( fo! a non(uit an* a *i!ecte* ve!*ict. We +ave ca!efully !ea* t+e te(timony cove!in/ ove! 9## pa/e(. We *eem it unnece((a!y to (et fo!t+ a !evie0 of t+e evi*ence. T+e cou!t *i* not e!! 0+en t+e(e motion( 0e!e *enie*. We +ave ca!efully con(i*e!e* all ot+e! a((i/nment( of e!!o!. Believin/ t+at upon a ne0 t!ial t+e (ituation( 0+ic+ con(titute t+e a(i( fo! t+e(e a((i/nment( a!e not likely to p!e(ent t+em(elve(, 0e *o not *eem it nece((a!y to comment upon t+em. )eve!(e* an* !eman*e*. BELT, B)OWN, an* )AN,, ''., concu!.

" Afte! a ;u!y t!ial, appellant( Stanley Be!man an* +i( company, Me*ical T+e!apy Science(, -nc. =AMe*ical T+e!apyA@, 0e!e convicte* of +avin/ file* fal(e claim( to o tain Me*ica!e payment( *u!in/ t+e pe!io* of "$&"4"$&%, an* of +avin/ con(pi!e* to *o t+e (ame alon/ 0it+ unin*icte* co4con(pi!ato!(, inclu*in/ one Ba! a!a )u((ell, fo!me!ly a t!u(te* employee an* pe!(onal intimate of Be!man. Be!man 0a( al(o convicte* of pe!;u!y in connection 0it+ t+e /!an* ;u!y3( inve(ti/ation of Me*ica!e a u(e(. 5 T+e p!oof of Be!man3( f!au* can e !iefly (tate*. Be!man3( me*ical e6uipment (upply company, Me*ical T+e!apy, 0a( a Connecticut company, 0+ic+ +a* a !anc+, )e(pi!ato!y Specialtie(, t+at ope!ate* out of Ne0 Yo!k. Fn*e! t+e Me*ica!e p!o/!am, Me*ical T+e!apy 0a( to e !eim u!(e*, ultimately y t+e ,epa!tment of Healt+, E*ucation an* Welfa!e, fo! a ce!tain pe!centa/e of t+e co(t of (upplie( to Me*ica!e patient(. Ho0eve!, !eim u!(a le co(t( va!y f!om one in(u!ance ca!!ie! to anot+e!, an* t+e place f!om 0+ic+ t+e (e!vice i( !en*e!e* *ete!mine( 0+ic+ ca!!ie! i( to pay, an* 0+ic+ ca!!ie!3( payment (c+e*ule i( to apply. Fn*e! t+e !ule(, if Be!man3( Connecticut company (upplie* e6uipment to a Connecticut Me*ica!e patient, t+e claim (+oul* +ave een (u mitte* to t+e Connecticut in(u!ance ca!!ie!, not to t+e Ne0 Yo!k ca!!ie!. At t!ial, Be!man 0a( (+o0n to +ave *evi(e* a (c+eme to 0!on/fully o tain payment( f!om ot+ t+e Connecticut an* Ne0 Yo!k ca!!ie!(. A(i*e f!om *ou le illin/ t+e t0o companie( fo! t+e (ame patient(, Be!man3( f!au* al(o con(i(te* of claimin/ fo! mo!e e.pen(ive e6uipment t+an +a* actually een p!ovi*e* to patient( an* illin/ fo! (upplie( neit+e! *elive!e* no! nee*e* y t+e patient(. > On appeal, Be!man claim( e!!o! 0it+ !e(pect to t+e con(pi!acy an* pe!;u!y count(, an* +e a!/ue( t+at t+e t!ial cou!t e!!e* in pe!mittin/ t+e 1ove!nment to p!e(ent c+a!acte! evi*ence in it( !e uttal ca(e to (uppo!t Ba! a!a )u((ell3( c!e*i ility. -. : Wit+ !e(pect to t+e pe!;u!y count, t+ou/+ Be!man a*mit( +avin/ een info!me* t+at +e 0a( t+e Ata!/etA of t+e /!an* ;u!y inve(ti/ation, +e a!/ue( t+at t+e A((i(tant Fnite* State( Atto!ney 0+o con*ucte* t+e p!ocee*in/( faile* to (ufficiently info!m +im of t+e (u (tantive natu!e of t+e in6ui!y. T+i( a!/ument o!*e!( on t+e f!ivolou(. Be!man 0a( info!me* t+at t+e inve(ti/ation involve* po((i le a u(e of t+e Me*ica!e p!o/!am, an* t+at +e coul* con(ult 0it+ an atto!ney out(i*e of t+e /!an* ;u!y !oom if +e +a* any 6ue(tion(. We *o not elieve +im (o un(op+i(ticate* t+at +e 0a( mi(le* in any 0ay y t+e A((i(tant3( failu!e to *i(cu(( eac+ (tatuto!y p!ovi(ion ein/ con(i*e!e* y t+e /!an* ;u!y, a( Be!man (eem( to claim t+e A((i(tant (+oul* +ave *one. Be!man3( pe!;u!y count i( in all !e(pect( p!ope!.

98> 2.5* >% 95 A.L.).2e*. :>", > 2e*. ). Evi*. Se!v. 95$ FN-TE, STATES of Ame!ica, <laintiff4Appellee, v. ME,-CAL THE)A<Y SC-ENCES, -NC., an* Stanley Be!man, ,efen*ant(4Appellant(. No. $5&, ,ocket &84"#:$. Fnite* State( Cou!t of Appeal(, Secon* Ci!cuit. A!/ue* May 5, "$&8. ,eci*e* Au/. 5, "$&8. 1eo!/e E. Wil(on, A((t. F. S. Atty. S. ,. N. Y., Ne0 Yo!k City =)o e!t B. 2i(ke, '!., F. S. Atty., )ic+a!* ,. Wein e!/, A((t. F. S. Atty., Ne0 Yo!k City, of coun(el@, fo! plaintiff4appellee. Malcolm S. Tau , Ne0 Yo!k City =No!man '. Mo!*kof(ky, Ne0 Yo!k City, of coun(el@, fo! *efen*ant(4appellant(. Befo!e MOO)E, OAKES an* 1F)2E-N, Ci!cuit 'u*/e(. MOO)E, Ci!cuit 'u*/eD

"# -mpeac+ment y Ot+e! Mean(

--. 9 A( to t+e con(pi!acy, Be!man3( claim i( t+at t+e!e 0a( in(ufficient evi*ence to (uppo!t t+e conviction on t+at count. He conten*( t+at no Aa/!eementA 0a( p!ove* t+at ot+ )u((ell an* t+e ot+e! alle/e* co4con(pi!ato!, anot+e! employee of Me*ical T+e!apy 0+o al(o te(tifie* a/ain(t Be!man, te(tifie* only t+at t+ey +a* kno0in/ly (u mitte* fal(e claim( afte! +avin/ een A*i!ecte*A y Be!man to commit t+o(e act( 0+ic+ 0e!e alle/e* to +ave een a pa!t of t+e con(pi!acy. We t+ink t+at t+e 6ue(tion 0a( p!ope!ly efo!e t+e ;u!y, 0+ic+ fai!ly infe!!e* t+e e.i(tence of an a/!eement et0een )u((ell an* Be!man. T+e la0 *oe( not !e6ui!e p!oof of a fo!mal a/!eement, an* t+e p!oof in t+i( ca(e of conve!(ation( !e/a!*in/, -nte! alia, illin/ p!actice( an* in(u!ance !ule( p!ovi*e* ample ci!cum(tantial evi*ence f!om 0+ic+ an a/!eement coul* +ave een foun*. Bot+ Be!man an* )u((ell, 0+o (upe!vi(e* muc+ of t+e illin/, +a* een !iefe* a( to Me*ica!e policy an* t+e in(u!ance ca!!ie!(3 !ate(, !ule(, an* !e/ulation(. )u((ell3( te(timony p!ovi*e* evi*ence t+at (+e an* Be!man +a* *i(cu((e* t+e !ule( an* t+e A6ue(tiona leA p!actice( on many occa(ion(. Bot+ kne0 t+at t+e !e(ult of t+ei! in*epen*ent p!actice( 0oul* e to o tain Me*ica!e fun*( t+at, un*e! t+e !ule(, (+oul* not +ave een fo!t+comin/. 1ivin/ *ue 0ei/+t to t+e ;u!y3( !i/+t to evaluate t+e evi*ence efo!e t+em, t+e ;u!y 0a( entitle* to infe! f!om t+e action( of )u((ell an* Be!man t+at t+e t0o (+a!e* an un*e!(tan*in/ to *ef!au* t+e Me*ica!e (y(tem. See, e. /., Fnite* State( v. Tymin(ki, :"8 2.5* "#%#, "#%5 =5* Ci!. "$%$@, Ce!t. *enie*, >$& F.S. "#&9, $# S.Ct. "95>, 59 L.E*.5* 8"# ="$&#@. ---. % Be!man *oe( not c+allen/e t+e (ufficiency of t+e evi*ence a( to t+e (u (tantive count(. )at+e!, +i( final claim i( t+at +i( conviction( (+oul* e !eve!(e* ecau(e e!!o! 0a( committe* 0+en, ove! *efen(e o ;ection, t+e t!ial ;u*/e pe!mitte* t+e 1ove!nment to p!e(ent c+a!acte! 0itne((e( to ol(te! )u((ell3( c!e*i ility. Be!man claim( t+at a ne0 t!ial i( !e6ui!e* in vie0 of t+e fact t+at )u((ell3( c!e*i ility 0a( c!ucial un*e! t+e *efen(e t+eo!y of t+e ca(e -. e., t+at it 0a( )u((ell alone 0+o +a* pe!pet!ate* t+e f!au*(. & )ule %#8=a@" of t+e 2e*e!al )ule( of Evi*ence p!ovi*e( t+at c+a!acte! evi*ence may e u(e* to (uppo!t a 0itne((, ut limit( it( u(e (o t+at Aevi*ence of t!ut+ful c+a!acte! i( a*mi((i le only afte! t+e c+a!acte! of t+e 0itne(( fo! t!ut+fulne(( +a( een attacke* y opinion o! !eputation evi*ence o! ot+e!0i(e.A Be!man3( claim i( t+at t+e foun*ation fo! c+a!acte! evi*ence 0a( not p!e(ent in t+i( ca(e ecau(e )u((ell3( c+a!acte! fo! t!ut+fulne(( +a* not een attacke* 0it+in t+e meanin/ of t+e )ule. He a!/ue( t+at c!o(( e.amination elicite* only matte!( of )u((ell3( ia( in favo! of t+e 1ove!nment an* a/ain(t Be!man an* t+at, in any event, t+e 1ove!nment it(elf initially !ou/+t "" -mpeac+ment y Ot+e! Mean(

to t+e ;u!y3( attention, on it( *i!ect e.amination of )u((ell, t+e fact( t+at (+e +a* +a* t0o p!io! conviction( an* t+at (+e +a* een accu(e* y Be!man of +avin/ em e??le* money f!om Me*ical T+e!apy. Be!man conten*( t+at t+e 1ove!nment (+oul* not t+e!eafte! +ave een allo0e* to ol(te! +e! c!e*i ility 0+en t+e *efen(e c!o(( e.amine* only a( to matte!( !ou/+t out on *i!ect. 8 T+e 1ove!nment3( a!/ument i( t+at, in 6ue(tionin/ )u((ell on *i!ect a( to +e! p!io! conviction(, t+e p!o(ecuto! 0a( only anticipatin/ *efen(e impeac+ment, a( it +a* t+e !i/+t to *o, (o t+at t+e ;u!y 0oul* not /ain t+e imp!e((ion t+at t+e 1ove!nment 0a( attemptin/ to +i*e info!mation f!om t+em. Fnite* State( v. Sta((i, 9:: 2.5* 9&$, 98> =5* Ci!. "$&%@, Ce!t. *enie*, :># F.S. $#&, $& S.Ct. ""&%, 9" L.E*.5* 985 ="$&&@C Fnite* State( v. )ot+man, :%> 2.5* :88, :$# =5* Ci!.@, Ce!t. *enie*, :#$ F.S. $9%, $> S.Ct. 5$", >: L.E*.5* 5>" ="$&5@. Becau(e )u((ell3( t!ut+fulne(( 0a( Aattacke*A on c!o(( e.amination, t+e 1ove!nment a!/ue( t+at )ule %#8=a@ y it( te!m( pe!mit( it t+e u(e of c+a!acte! evi*ence, not0it+(tan*in/ it( o0n elicitation of )u((ell3( ack/!oun*.5 Alt+ou/+ t+e i((ue i( a clo(e one, 0e elieve t+at t+e *eci(ion to pe!mit t+e evi*ence in 6ue(tion 0a( one 0it+in t+e t!ial ;u*/e3( *i(c!etion. $ A( to t+e point t+at t+e 1ove!nment fi!(t elicite* t+e impeac+in/ fact(, 0e a/!ee t+at t+e 1ove!nment +a* t+e !i/+t to p!ocee* a( it *i*. )ule %#8 it(elf contain( no limitation t+at p!eclu*e( a pa!ty f!om offe!in/ c+a!acte! evi*ence un*e! ci!cum(tance( 0+e!e it anticipate( impeac+mentC !at+e!, t+e event t+at t!i//e!( t+e applica ility of t+e )ule i( an AattackA on t+e 0itne((3 ve!acity. W+ile un*e! t+e 2e*e!al )ule(, a pa!ty May impeac+ +i( o0n 0itne((, 2e*.).Evi*. %#&, t+e!e i( a va(t *iffe!ence et0een puttin/ t+at 0itne((3 ve!acity in i((ue y elicitin/ t+e impeac+in/ fact( an* me!ely !evealin/ t+e 0itne((3 ack/!oun*. -n*ee*, even in ;u!i(*iction( 0+e!e a pa!ty may not *i(c!e*it +i( o0n 0itne((, it +a( een +el* t+at t+e fact of p!io! conviction( may e !ou/+t out on *i!ect e.amination fo! non4impeac+ment pu!po(e(. A( (tate* y t+e Ne0 Yo!k Cou!t of Appeal(, "# AT+e la0 *oe( not limit a pa!ty to 0itne((e( of /oo* c+a!acte!, no! *oe( it compel a pa!ty to conceal t+e a* !eco!* of +i( 0itne((e( f!om t+e ;u!y, to +ave it afte!0a!*( !eveale* y t+e oppo(in/ pa!ty 0it+ tellin/ effect. Suc+ a !ule 0oul* e unfai! alike to t+e pa!ty callin/ t+e 0itne(( an* t+e ;u!y. . . . =W@+en a *i(!eputa le 0itne(( i( calle* an* f!ankly p!e(ente* to t+e ;u!y a( (uc+, t+e pa!ty callin/ +im !ep!e(ent( +im fo! t+e occa(ion an* t+e pu!po(e( of t+e t!ial a( 0o!t+y of elief.A <eople v. Min(ky, 55& N.Y. $:, $8, "5: N.E. "5%, "5& ="$"$@. "" See al(o )ic+a!*(on, Evi*ence, O 9#$ =<!ince "#t+ e*.@. "5 W+ile 0e *o not t+ink t+at )ule %#8=a@ (+oul* make

(uppo!tin/ c+a!acte! evi*ence availa le to a pa!ty 0+o elicit( impeac+ment mate!ial on *i!ect e.amination fo! impeac+in/ pu!po(e(, 0e *o elieve t+at, 0+en t+e teno! of t+e *i!ect e.amination *oe( not (u//e(t an AattackA on ve!acity, an* 0+en c!o(( e.amination Can e c+a!acte!i?e* a( (uc+ an attack, t+e t!ial ;u*/e (+oul* !etain t+e *i(c!etion to pe!mit t+e u(e of c+a!acte! 0itne((e(. Hi( p!o.imity to t+e (ituation allo0( +im to make t+e *ete!mination of 0+en, an* y 0+om, an attack i( ma*e. We!e t+e !ule to e ot+e!0i(e, a pa!ty 0oul* +ave to c+oo(e et0een !evealin/, on *i!ect, t+e ack/!oun* of a 0itne(( an* it( !i/+t to u(e c+a!acte! evi*ence if t+e 0itne((3 ve!acity i( (u (e6uently impu/ne*. "> -n t+e in(tant ca(e, t+e 1ove!nment3( *i!ect 6ue(tionin/ of )u((ell 0a( !ief an* to t+e point. S+e 0a( (imply a(ke* 0+et+e!, 0+en (+e left Me*ical T+e!apy to e(ta li(+ a u(ine(( 0+ic+ 0a( in competition 0it+ Be!man3(, (+e +a* taken patient( f!om Be!man3( ope!ationC (+e an(0e!e* in t+e ne/ative. T+i( 6ue(tionin/ cove!e* a out one pa/e. =See, T!. "##>@. T+e p!o(ecuto! al(o elicite* t+e fact t+at, nea! t+e en* of )u((ell3( employment 0it+ Be!man, at a time 0+en !elation( et0een t+e t0o 0e!e (t!aine*, Be!man +a* accu(e* )u((ell of takin/ G&# f!om +im, an* t+at (+e +a* *enie* t+e c+a!/e =claimin/, in fact, t+at Be!man +a* o0e* +e! an* +e! +u( an* fo! pa(t loan(@, ut +a* !epai* t+e money to avoi* any fu!t+e! p!o lem. =T!. "#"9@. 2inally, (+e a*mitte* +e! t0o p!io! conviction( fo! o tainin/ amp+etamine( y f!au*ulent p!actice(, ut e.plaine* t+at (+e +a* committe* t+e act( at a time 0+en (+e +a* een a**icte* to t+e *!u/ fo! 0ei/+t cont!ol pu!po(e( an* t+at (+e +a* (ou/+t +elp afte! +e! (econ* conviction. Even t+i( inte!c+an/e cove!e* only five pa/e( of t!an(c!ipt. =T!. "#"%4"#5#@. At lea(t on t+e a(i( of t+e col* !eco!* efo!e u(, it appea!( t+at, in a ve!y !eal (en(e, t+e 1ove!nment *i* not put )u((ell3( ve!acity in i((ue. T+u(, t+ou/+ 0e elieve t+at t+e t!ial ;u*/e (+oul* !etain *i(c!etion to *i(allo0 t+e u(e of c+a!acte! evi*ence un*e! ci!cum(tance( (uc+ a( t+i(, 0e t+ink +e mu(t al(o e pe!mitte* to allo0 it 0+en, (u (e6uent to t+e !evelation of a 0itne((3 p!o lem( on *i!ect, t+e opponent paint( t+e 0itne(( 0it+ mo!e accu(ato!y (t!oke( e(pecially 0+e!e, a( +e!e, 0!on/*oin/ 0+ic+ implicate( ve!acity i( alle/e* an* *enie*. ": -n t+i( ca(e, +o0eve!, Be!man a!/ue( t+at +i( coun(el *i* not open t+e *oo! to c+a!acte! evi*ence ecau(e +i( c!o(( e.amination of )u((ell *i* not con(titute an Aattack on ve!acityA. We conclu*e, +o0eve!, t+at 'u*/e Ca!te! coul* +ave p!ope!ly c+a!acte!i?e* t+e *efen(e3( t!eatment of )u((ell a( an attack 0it+in t+e meanin/ of )ule %#8=a@. "9 -n t+i( ca(e, c!o(( e.amination of )u((ell inclu*e* (+a!p 6ue(tionin/ a out +e! p!io! conviction(, 0+ic+ 0e!e p!e*icate* on activitie( c+a!acte!i?e* a( f!au*ulent. W+en (uc+ conviction( a!e u(e* fo! impeac+ment pu!po(e(, a( "5 -mpeac+ment y Ot+e! Mean(

t+ey 0e!e on c!o(( e.amination +e!e, 0e t+ink t+at t+e *oo! i( opene* to evi*ence in (uppo!t of t!ut+fulne((.> See > Wein(tein J Be!/e!, Evi*ence < %#8=#8@, at %#84:" ="$&&@C A*vi(o!y Committee Note to )ule %#8=a@C McCo!mick, Evi*ence < :$C : Wi/mo!e, Evi*ence OO ""#%4""#&. "% )u((ell3( c+a!acte! 0a( al(o attacke* y A(pecific actA evi*ence, to 0it, alle/ation( t+at (+e +a* em e??le* money an* (tolen patient( f!om Be!man3( company. W+ile Be!man a!/ue( t+at (uc+ evi*ence, ecau(e it involve* +e! effo!t( to (et up a competin/ u(ine((, o!e (olely on +e! ia( a/ain(t +im, an*, a( (uc+, *i* not con(titute an attack on c+a!acte!, See Wein(tein J Be!/e!, Sup!a, at %#84:5C : Wi/mo!e, Sup!a, O ""#&, 0e *o not t+ink t+at t+e implication( 0e!e (o limite*. A( note* y t+e commentato!(, evi*ence of ia( can take many fo!m(. See McCo!mick, Evi*ence O :#. Some type( of ia(, fo! e.ample ia( (temmin/ f!om a !elation(+ip 0it+ a pa!ty, *o not nece((a!ily involve any i((ue !elatin/ to t+e mo!al c+a!acte! of t+e 0itne((, ut (u//e(t only t+at t+e 0itne((3 te(timony may pe!+ap( un0ittin/ly e (lante* fo! !ea(on( un!elate* to /ene!al p!open(ity fo! unt!ut+fulne((. A( (uc+, c+a!acte! evi*ence i( not !elevant to meet (uc+ an attack. On t+e ot+e! +an*, alle/e* pa!tiality a(e* on +o(tility o! (elf4inte!e(t may a((ume /!eate! (i/nificance if it i( (ou/+t to e p!oven y con*uct !i(in/ to t+e level of co!!uption. T+e commentato!( a/!ee t+at A=e@vi*ence of co!!upt con*uct on t+e pa!t of a 0itne(( (+oul* e !e/a!*e* a( an attack on +i( t!ut+fulne(( 0a!!antin/ (uppo!tive evi*ence . . . .A: > Wein(tein J Be!/e!, Sup!a, at %#84:5, Citin/ McCo!mick, Evi*ence O :$, at "#& ="$9:@. Ce!tainly, t+e em e??lement an* t+eft of 0+ic+ )u((ell 0a( accu(e* can e (ai* to fall 0it+in t+e cate/o!y of co!!upt con*uct, 0it+in t+e contemplation of )ule %#8=a@.9 See Wein(tein J Be!/e!, Sup!a, < %#8=#9@ an* aut+o!itie( t+e!ein *i(cu((e*. 2u!t+e!mo!e, )u((ell con(i(tently *enie* t+e la!ceny t+at 0a( a(c!i e* to +e! y t+e *efen(e attack.% Fn*e! (uc+ a ci!cum(tance, t+e commentato!( a/ain a/!ee t+at A!e+a ilitatin/ evi*ence (+oul* e allo0e* in t+e ;u*/e3( *i(c!etion if +e fin*( t+e 0itne((3 *enial +a( not e!a(e* t+e ;u!y3( *ou t(A. Wein(tein J Be!/e!, Sup!a, at %#84:" :5, citin/ t+e a/!eement of Wi/mo!e an* McCo!mick on t+i( point. "& We t+ink, in (um, t+at t+e *eci(ion to pe!mit t+e c+a!acte! evi*ence mu(t e affi!me* on t+e fact(. We emp+a(i?e, +o0eve!, t+at *i(c!etion in t+i( a!ea mu(t e e.e!ci(e* 0it+ ci!cum(pection (o t+at t+e ;u!y3( attention i( not *ive!te* f!om t+e main i((ue( to e t!ie*. -t i( not eve!y c!o(( e.amination t+at (+oul* t!i//e! t+e aut+o!ity of )ule %#8=a@3( p!ovi(ion fo! (uppo!tin/ c+a!acte! evi*ence. Ho0eve!, (ince t+e attack in t+i( ca(e 0ent even eyon* c!o(( e.amination, an* (ince Be!man3( /uilt 0a( e(ta li(+e* not only y )u((ell3( te(timony, ut al(o y ample (uppo!tin/ evi*ence, ot+ *ocumenta!y an* in t+e fo!m of te(timony f!om t+e Blue C!o(( (peciali(t an* f!om

ot+e! employee( of Me*ical T+e!apy, 0e affi!m. "8 'u*/ment affi!me*.

Cou!t of Appeal( of Ma!ylan*. NEWTON v. STATE. 1o. 11. ,ec. :, "$5:. Appeal f!om C!iminal Cou!t of Baltimo!e CityC C+a!le( 2. Stein, 'u*/e. MTo e officially !epo!te*.N Emo!y M. Ne0ton 0a( convicte* of c!iminal con(pi!acy to *ef!au* t+e e.i(tin/ an* p!o(pective cu(tome!( of common4la0 t!u(t ope!atin/ M lin* pool(,N an* +e appeal(. )eve!(e* an* !eman*e*. <a!ke, '., *i((entin/. We(t Hea*note( Cons!*ra#y 91 4+

$"-- C!iminal )e(pon(i ility $"--=B@ <!o(ecution $"k:: Evi*ence $"k:9 k. A*mi((i ility in 1ene!al. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant en/a/e* in ope!atin/ lin* pool( y makin/ an* pu li(+in/ fal(e (tatement a( to +i( financial con*ition, evi*ence t+at involunta!y petition in ank!uptcy +a* een file* a/ain(t *efen*ant +el* a*mi((i le. Cons!*ra#y 91 4+

$" Con(pi!acy $"-- C!iminal )e(pon(i ility $"--=B@ <!o(ecution $"k:: Evi*ence $"k:9 k. A*mi((i ility in 1ene!al. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool( y makin/ an* pu li(+in/ fal(e (tatement a( to +i( financial con*ition, evi*ence a( to pu lication in ne0(pape! of a!ticle c+allen/in/ ope!ato!( of lin* pool( to (u mit t+ei! ook( to an au*ito! fo! e.amination +el* a*mi((i le. Cons!*ra#y 91 4+

$" Con(pi!acy $"-- C!iminal )e(pon(i ility $"--=B@ <!o(ecution $"k:: Evi*ence $"k:9 k. A*mi((i ility in 1ene!al. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool(, in 0+ic+ it 0a( claime* t+at cocon(pi!ato!( a( pu lic accountant( /ave fictitiou( value to ce!tain (tock in makin/ au*it of *efen*ant3( u(ine((, evi*ence a( to t+e natu!e of t+e co!po!ation3( u(ine((, t+e value of it( p!ope!ty, an* t+e p!ice at 0+ic+ it( (tock +a* (ol*, +el* a*mi((i le to (+o0 actual ma!ket value of (uc+ (tock, t+ou/+ it 0a( not li(te*, an* t+ou/+ cocon(pi!ato!(3 lette! to *efen*ant, alle/e* to +ave een p!epa!e* an* pu li(+e* pu!(uant to con(pi!acy, (tate* t+at *efen*ant ou/+t an* (ol* Mli(te* (ecu!itie(N in la!/e volume, an* t+at invento!y of (ecu!itie( Mat t+e ma!ketN (+o0e* (u (tantial (u!plu( ove! o li/ation(. Cons!*ra#y 91 $" Con(pi!acy "> -mpeac+ment y Ot+e! Mean( 4+

$" Con(pi!acy $"-- C!iminal )e(pon(i ility $"--=B@ <!o(ecution $"k:: Evi*ence $"k:9 k. A*mi((i ility in 1ene!al. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool( y makin/ an* pu li(+in/ fal(e (tatement a( to financial con*ition, cocon(pi!ato!, 0+o 0a( alle/e* to +ave place* fal(e value on (tock, an* 0+o +a* te(tifie* a( to offe! to pu!c+a(e (tock, (+oul* +ave een pe!mitte* to (tate any ci!cum(tance, of 0+ic+ +e +a* kno0le*/e, affectin/ t+e value of t+e offe!. Cr*m*nal 2aw 110 121

""# C!iminal La0 ""#-H Ienue ""#-H=B@ C+an/e of Ienue ""#k"5" k. ,i(c!etion of Cou!t. Mo(t Cite* Ca(e( T+e t!ial an* conviction of coin*ictee( efo!e t+!ee ;u*/e( of t+e Sup!eme enc+ of a city *i* not entitle *efen*ant to !emoval a( a matte! of cou!(e on t+eo!y t+at +e coul* not +ave a fai! an* impa!tial t!ial in (uc+ cou!t efo!e any ;u*/e o! ;u!yC t+e 6ue(tion ein/ *i(c!etiona!y 0it+ t+e

t!ial cou!t. Cr*m*nal 2aw 110 &96(2)

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=-@ Competency in 1ene!al ""#k>$% Evi*ence A*mi((i le y )ea(on of A*mi((ion of Simila! Evi*ence of A*ve!(e <a!ty ""#k>$%=5@ k. A*mi((ion of W+ole Conve!(ation, T!an(action, o! -n(t!ument Becau(e of A*mi((ion of <a!t o! )efe!ence T+e!eto. Mo(t Cite* Ca(e( ,efen*ant, ove! 0+o(e o ;ection cou!t +a* a*mitte* pa!t of *ocument, 0a( entitle* to a*mi((ion of enti!e in(t!ument in evi*ence. Cr*m*nal 2aw 110 400(.)

Ca(e( =2o!me!ly ""#k:::@ T+e me!e (tatement t+at lette!( offe!e* in evi*ence 0e!e Mo taine* y coun(el fo! t+e (tate f!om t+e t!u(tee in ank!uptcyN of *efen*ant +el* in(ufficient aut+entication of lette!( in a (ence of (+o0in/ of 0+e!e t!u(tee o taine* t+e lette!( an* p!oof a( to (i/natu!e(. Cr*m*nal 2aw 110 4+0

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--='@ Be(t an* Secon*a!y Evi*ence ""#k>$$ )eco!* o! Ot+e! W!itin/ a( Be(t Evi*ence ""#k:## -n 1ene!al ""#k:##=8@ k. Book( of Account. Mo(t Cite* Ca(e( E.pe!t accountant3( te(timony, /ivin/ (umma!y of content( of ook( of account in evi*ence, +el* a*mi((i le. Cr*m*nal 2aw 110 42&(6)

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=)@ Opinion Evi*ence ""#k::$ Witne((e( in 1ene!al ""#k:9# k. Matte!( ,i!ectly in -((ue. Mo(t Cite* Ca(e( Sue(tion to pu lic accountant a( to 0+et+e! +e foun* in makin/ au*it 0+et+e! all !eceipt( 0e!e p!ope!ly an* fai!ly accounte* fo! on t+e ook( +el* o ;ectiona le a( callin/ fo! opinion of 0itne(( on matte! of la0. Cr*m*nal 2aw 110 4+0

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=O@ Act( an* ,ecla!ation( of Con(pi!ato!( an* Co*efen*ant( ""#k:5> 2u!t+e!ance o! E.ecution of Common <u!po(e ""#k:5>=%@ k. Act( an* ,ecla!ation( Not in 2u!t+e!ance of Common <u!po(e. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool( y fictitiou( (tatement a( to *efen*ant3( con*ition y cocon(pi!ato!( pu!po!tin/ to +ave een ma*e pu!(uant to an au*it, lette!( et0een cocon(pi!ato! an* t+i!* pe!(on(, +avin/ no !efe!ence to t+e alle/e* con(pi!acy, +el* not a*mi((i le a( a/ain(t *efen*ant. 444.1. ""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=<@ ,ocumenta!y Evi*ence ""#k::: Aut+entication an* 2oun*ation ""#k:::."8 k. Lette!( an* Note(. Mo(t Cite* ": -mpeac+ment y Ot+e! Mean(

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=)@ Opinion Evi*ence ""#k::$ Witne((e( in 1ene!al ""#k:9# k. Matte!( ,i!ectly in -((ue. Mo(t Cite* Ca(e( Sue(tion to pu lic accountant a( to 0+et+e! t+e ook( of company ein/ au*ite* (+o0e* t+at it coul* meet Mall o li/ation( an* cont!act( a( ofN ce!tain *ate +el* o ;ectiona le a( callin/ fo! con(t!uction y 0itne(( of t+e o li/ation( an* cont!act( of t+e company, in vie0 of i((ue a( to con(t!uction of cont!act. Cr*m*nal 2aw 110 4+0

""# C!iminal La0 ""#HI-- Evi*ence ""#HI--=)@ Opinion Evi*ence ""#k::$ Witne((e( in 1ene!al ""#k:9# k. Matte!( ,i!ectly in -((ue. Mo(t Cite* Ca(e( W+e!e t+e con(t!uction of a cont!act 0a( mate!ial on 6ue(tion of /uilt o! innocence of *efen*ant, t+e a*mi((ion of te(timony involvin/ 0+ic+ of t0o o! mo!e po((i le con(t!uction( of t+e cont!act 0e!e co!!ect +el* !eve!(i le e!!o!C matte! ein/ fo! ;u!y. Cr*m*nal 2aw 110 ""# C!iminal La0 ""#HH T!ial 6+6(+)

""#HH=B@ Cou!(e an* Con*uct of T!ial in 1ene!al ""#k%9: )ema!k( an* Con*uct of 'u*/e ""#k%9% Comment( on Evi*ence o! Witne((e( ""#k%9%=9@ k. E.p!e((ion( Affectin/ C!e*i ility of Witne((e(. Mo(t Cite* Ca(e( Cou!t3( !ema!k to 0itne(( t+at Myou kno0 ette! t+an t+at,N afte! 0itne(( +a* te(tifie* a( an accountant a( to p!ofit( (+o0n y ook(, +el* e!!o!, in t+at it con(titute* a *i!ect !eflection upon t+e c!e*i ility of a 0itne((. Cr*m*nal 2aw 110 6+6(+)

-n p!o(ecution fo! con(pi!acy, (tate3( atto!ney3( !ema!k( !efe!!in/ to te(timony /iven *u!in/ p!eviou( t!ial of co4 con(pi!ato! +el* not !eve!(i le e!!o!, in vie0 of action of cou!t, in (t!ikin/ out !ema!k( an* failu!e to a(k fo! fu!t+e! action. Cr*m*nal 2aw 110 7&4

""# C!iminal La0 ""#HH T!ial ""#HH=B@ Cou!(e an* Con*uct of T!ial in 1ene!al ""#k%9: )ema!k( an* Con*uct of 'u*/e ""#k%9% Comment( on Evi*ence o! Witne((e( ""#k%9%=9@ k. E.p!e((ion( Affectin/ C!e*i ility of Witne((e(. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool( y makin/ an* pu li(+in/ fal(e (tatement a( to con*ition of u(ine((, (tatement of cou!t t+at cou!t M0oul* e ve!y (o!!y to t+ink t+at t+e Cou!t of Appeal( 0oul* make any (uc+ fooli(+ *eci(ionN a( to +ol* t+at te!m M(ecu!itie(N inclu*e* note( *ue, afte! 0itne(( +a* t!eate* (uc+ note( a( (ecu!itie( in te(tifyin/ a( to con*ition of u(ine(( +el* p!e;u*icial e!!o!. 20.9 ""# C!iminal La0 ""#HHH- Coun(el ""#HHH-=2@ A!/ument( an* Statement( y Coun(el ""#k5#88 Matte!( Not Su(taine* y Evi*ence ""#k5#8$ k. -n 1ene!al. Mo(t Cite* Ca(e( =2o!me!ly ""#k&"$="@@ -n p!o(ecution fo! con(pi!acy, !ema!k( of (tate3( atto!ney !efe!!in/ to te(timony /iven *u!in/ p!io! t!ial of co4 con(pi!ato! +el* imp!ope!. 2199 ""# C!iminal La0 ""#HHH- Coun(el ""#HHH-=2@ A!/ument( an* Statement( y Coun(el ""#k5"$" Action of Cou!t in )e(pon(e to Comment( o! Con*uct ""#k5"$$ k. Matte!( Not Su(taine* y Evi*ence. Mo(t Cite* Ca(e( =2o!me!ly ""#k&>#=&@@

""# C!iminal La0 ""#HH T!ial ""#HH=2@ <!ovince of Cou!t an* 'u!y in 1ene!al ""#k&>> Sue(tion( of La0 o! of 2act ""#k&>: k. -n 1ene!al. Mo(t Cite* Ca(e( 'u!y a!e ;u*/e( of la0 a( 0ell a( fact( in c!iminal ca(e. Cr*m*nal 2aw 110 742(1)

""# C!iminal La0 ""#HH T!ial ""#HH=2@ <!ovince of Cou!t an* 'u!y in 1ene!al ""#k&>> Sue(tion( of La0 o! of 2act ""#k&:5 C!e*i ility of Witne((e( ""#k&:5="@ k. -n 1ene!al. Mo(t Cite* Ca(e( T+e c!e*i ility of 0itne((e( i( fo! t+e ;u!y. Cr*m*nal 2aw 110 11+0

""# C!iminal La0 ""#HH-I )evie0 ""#HH-I=N@ ,i(c!etion of Lo0e! Cou!t ""#k""9# k. C+an/e of Ienue. Mo(t Cite* Ca(e( Action of cou!t, on (u//e(tion an* affi*avit fo! !emoval ecau(e of p!eviou( t!ial an* conviction of coin*ictee( efo!e (ame ;u*/e(, 0ill not e *i(tu! e* on appeal in a (ence of (+o0in/ of a u(e of *i(c!etion. Cr*m*nal 2aw 110 1166.22(+)

""# C!iminal La0 ""#HH-I )evie0 ""#HH-I=S@ Ha!mle(( an* )eve!(i le E!!o! ""#k""%%.9 Con*uct of T!ial in 1ene!al ""#k""%%.55 )ema!k( an* Con*uct of 'u*/e ""#k""%%.55=:@ Comment( on Evi*ence o! Witne((e( ""#k""%%.55=9@ k. E.amination of Witne((e(. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy to *ef!au* cu(tome!( of *efen*ant ope!atin/ lin* pool(, in 0+ic+ it 0a( claime* t+at cocon(pi!ato!(, pu!(uant to con(pi!acy, +a* ma*e fal(e au*it of *efen*ant3( ook(, cou!t3( !ema!k t+at Myou kno0 ette! t+an t+atN to accountant 0+o +a* te(tifie* a( to p!ofit( (+o0n y t+e ook( +el* p!e;u*icial e!!o!.

"9 -mpeac+ment y Ot+e! Mean(

Cr*m*nal 2aw 110

1170.+(1)

''.'o+n ,. Nock an* Al e!t S. '. O0en(, Baltimo!e, fo! appellant.

ot+ of

""# C!iminal La0 ""#HH-I )evie0 ""#HH-I=S@ Ha!mle(( an* )eve!(i le E!!o! ""#k""&#.9 Witne((e( ""#k""&#.9="@ k. -n 1ene!al. Mo(t Cite* Ca(e( =2o!me!ly ""#k""&#"T5="@@ E.clu(ion of evi*ence +el* not !eve!(i le e!!o!, in vie0 of a* fo!m of 6ue(tion. W*tnesses 410 &+0

)o0lan* K. A*am(, ,eputy State3( Atty., an* Eu/ene A. E*/ett, A((t. State3( Atty., ot+ of Baltimo!e =He! e!t ). O3Cono!, State3( Atty., of Baltimo!e, on t+e !ief@, fo! t+e State. O22FTT, '. T+e appellant in t+i( ca(e 0a( t!ie* an* convicte* in t+e c!iminal cou!t of Baltimo!e city of a c!iminal con(pi!acy fo! 0+ic+ +e +a* een in*icte* ;ointly 0it+ William A. 1ille(pie an* Ha!ol* ). ,ickey, '!., an* f!om t+e ;u*/ment on t+e ve!*ict in t+at ca(e +e +a( taken t+i( appeal. ,emu!!e!( to t+e in*ictment file* y eac+ *efen*ant 0e!e ove!!ule*, an* 1ille(pie an* ,ickey 0e!e t!ie* efo!e t+e cou!t, an* convicte* on 'une 5>, "$5>. On Septem e! 5:, "$5>, Ne0ton file* a (u//e(tion an* affi*avit fo! !emoval 0+ic+ 0a( al(o ove!!ule*. He t+en plea*e* not /uilty, an* 0a( t!ie* y a ;u!y 0it+ t+e !e(ult (tate* a ove. T+e !eco!* contain( 89 e.ception(, 8: of 0+ic+ !elate to !ema!k( ma*e y t+e cou!t an* y t+e (tate3( atto!ney *u!in/ t+e p!o/!e(( of t+e t!ial, an* to !ulin/( of t+e cou!t upon 6ue(tion( of evi*ence, an* t+e(e !ulin/(, to/et+e! 0it+ t+e action of t+e cou!t on t+e *emu!!e! to t+e in*ictment an* it( action upon t+e (u//e(tion an* affi*avit fo! !emoval, 0e a!e no0 a(ke* to !evie0. T+e fact( mate!ial to a con(i*e!ation of t+e 6ue(tion( efo!e u( a!e (ufficiently (et out in t+e ca(e( of 1ille(pie v. State an* ,ickey v. State =M*.@ "5& A. &5&, *eci*e* at t+i( te!m, an* nee* not e !e(tate* +e!e. No! in vie0 of 0+at 0e (ai* in t+o(e ca(e( i( it nece((a!y to !efe! fu!t+e! to t+e cou!t3( action on t+e *emu!!e! to t+e in*ictment t+an to (ay t+at in ou! opinion it 0a( p!ope!ly ove!!ule*. Of t+e ot+e! 6ue(tion( p!e(ente* y t+e appeal t+e fi!(t in natu!al o!*e! i( t+e p!op!iety of t+e cou!t3( action on t+e (u//e(tion an* affi*avit fo! !emoval. T+at (u//e(tion 0a( a(e* upon t+e t+eo!y t+at, (ince 1ille(pie an* ,ickey +a* een t!ie* an* convicte* y t+!ee ;u*/e( of t+e (up!eme enc+ of Baltimo!e city of t+e (ame c!ime 0it+ 0+ic+ Ne0ton i( c+a!/e* in t+i( ca(e, any ;u!y in Baltimo!e city 0oul* inevita ly e affecte* y t+at fact, an* t+at no ;u!y coul* e impanele* in t+at ci!cuit M0+ic+ 0oul* +ave t+e cou!a/e to ove!!i*e t+e conclu(ion( !eac+e* y t+e(e ;u*/e( an* *ete!mine t+e la0 an* t+e fact of t+i( ca(e a( y t+e Con(titution of t+i( (tate t+ey a!e empo0e!e* to *o.N Evi*ence taken in connection 0it+ t+e (u//e(tion (+o0e* t+at t+e opinion of t+e t+!ee ;u*/e( 0+o (at in t+e 1ille(pie an* ,ickey ca(e( 0a( pu li(+e* in t+e *aily pape!( of

:"# Witne((e( :"#-I C!e*i ility an* -mpeac+ment :"#-I=B@ C+a!acte! an* Con*uct of Witne(( :"#k>:8 C!o((4E.amination fo! <u!po(e of -mpeac+ment :"#k>9# k. Accu(ation o! Conviction of C!ime. Mo(t Cite* Ca(e( -n p!o(ecution fo! con(pi!acy, c!o((4e.amination of cocon(pi!ato! a( to 0+et+e! +e +a* not /iven t+e (ame te(timony at t!ial at 0+ic+ +e +a* een convicte* fo! (ame con(pi!acy +el* imp!ope!. W*tnesses 410 &+0

:"# Witne((e( :"#-I C!e*i ility an* -mpeac+ment :"#-I=B@ C+a!acte! an* Con*uct of Witne(( :"#k>:8 C!o((4E.amination fo! <u!po(e of -mpeac+ment :"#k>9# k. Accu(ation o! Conviction of C!ime. Mo(t Cite* Ca(e( -n impeac+ment of 0itne(( y (+o0in/ p!eviou( conviction of c!ime, coun(el (+oul* a(k 0itne(( t+e 6ue(tion *i!ectly, an* not y in*i!ect 6ue(tion, a( to 0+et+e! +e +a* not /iven (ame te(timony *u!in/ p!eviou( t!ial at 0+ic+ +e +a* een convicte*. 3ury 2&0 97(1)

5># 'u!y 5>#I Competency of 'u!o!(, C+allen/e(, an* O ;ection( 5>#k$& Bia( an* <!e;u*ice 5>#k$&="@ k. -n 1ene!al. Mo(t Cite* Ca(e( A *efen*ant +a( t+e a (olute an* un6ualifie* !i/+t to +ave +i( ca(e +ea!* efo!e a fai! an* impa!tial ;u!y. %12+ A!/ue* efo!e BOY,, C. '., an* <ATT-SON, F)NE), A,K-NS, O22FTT, ,-11ES, an* <A)KE, "% -mpeac+ment y Ot+e! Mean(

Baltimo!e city. At t+e conclu(ion of t+at evi*ence t+e cou!t ove!!ule* t+e (u//e(tion fo! !emoval, an* a ;u*/e 0+o +a* not pa!ticipate*%126 at t+e t!ial of 1ille(pie an* ,ickey 0a( a((i/ne* to t!y t+e ca(e. T+at eve!y one c+a!/e* 0it+ a c!ime a/ain(t t+e la0( of t+i( (tate +a( t+e a (olute an* un6ualifie* !i/+t to +ave +i( ca(e +ea!* y a fai! an* impa!tial ;u!y i( not to e *ou te*, an* t+at t+at !i/+t i( one of t+e mo(t valua le p!ivile/e( /ua!antee* to t+e citi?en y t+e Con(titution of t+i( (tate i( not to e 6ue(tione*. T+at it 0oul* e *enie* y !e6ui!in/ (uc+ a pe!(on to (u mit +i( ca(e to a ;u!y 0+ic+ felt con(t!aine* to *eci*e it in acco!*ance 0it+ t+e ;u*/ment of (ome ot+e! t!i unal o! fo! any !ea(on e.cept 0+at 0a( foun* in t+e la0 an* t+e fact( of t+e ca(e efo!e t+em i( ;u(t a( clea!. Suc+ a p!oce*u!e 0oul* e /+a(tly mocke!y of t+e la0, fo! o viou(ly no ;u!y coul* e !e/a!*e* a( fai! o! impa!tial 0+ic+, efo!e it +a* +ea!* t+e evi*ence, felt oun* y t+e *eci(ion of (ome ot+e! t!i unal to convict t+e *efen*ant. But 0e fin* no (uc+ con*ition in t+i( ca(e. -f t+e t!ave!(e!3( contention i( (oun*, t+en in nea!ly eve!y ca(e in 0+ic+ t0o o! mo!e pe!(on( a!e ;ointly in*icte* fo! t+e (ame ;oint offen(e, an* 0+e!e t+e!e i( a (eve!ance fo! any !ea(on, an* one of t+e *efen*ant( +a( een t!ie* an* convicte*, t+e unt!ie* ca(e a/ain(t t+e ot+e!( mu(t e !emove* a( a matte! of cou!(e, ecau(e all t+e ;u*/e( an* all pe!(on( eli/i le fo! ;u!y (e!vice in t+at ;u!i(*iction 0oul* e (o muc+ affecte* y t+e conviction in t+e fi!(t ca(e t+at t+ey 0oul* e una le to fai!ly an* impa!tially t!y t+e ot+e! ca(e(. Suc+ a contention in ou! opinion /oe( too fa!. We *o not t+ink t+at t+e fact t+at t0o pe!(on( ;ointly in*icte* 0it+ +im fo! t+e (ame con(pi!acy 0e!e convicte* of t+at c!ime y t+!ee ;u*/e( of t+e (up!eme enc+ of Baltimo!e city compel( t+e conclu(ion t+at t+e t!ave!(e! in t+i( ca(e coul* not (ecu!e a fai! an* impa!tial ;u!y in t+at city, an* 0e coul* not t+e!efo!e (ay t+at t+e t!ial cou!t in ove!!ulin/ t+i( (u//e(tion a u(e* t+e *i(c!etion !epo(e* in it, fo!, a(i*e f!om t+e fact t+at 1ille(pie an* ,ickey 0e!e (o convicte* y t+e t+!ee ;u*/e( of t+e (up!eme enc+ of Baltimo!e city, an* (uc+ infe!ence a( mi/+t e *!a0n f!om t+at fact, t+e!e 0a( no te(timony !elatin/ to t+e 6ue(tion at all. We cannot a((ume a( a matte! of la0, a( 0e a!e a(ke* to *o, t+at eit+e! ;u*/e( o! ;u!o!( 0ill e influence* y con(i*e!ation( 0+ic+ un*e! t+ei! official oat+( t+ey a!e oun* to *i(!e/a!*, an* t+e (tatement( ma*e y t+e ;u!o!( in t+i( ca(e ten* to confi!m t+at vie0. T+o(e (tatement( 0e!e not, it i( t!ue, ma*e in connection 0it+ t+e (u//e(tion, ut neve!t+ele(( t+ey illu(t!ate t+e *an/e! of a! it!a!ily app!ovin/ (uc+ a p!opo(ition a( t+at em o*ie* in t+e *efen*ant3( contention. Befo!e +e 0a( (0o!n in t+i( ca(e eve!y ;u!o! on t+e panel e.p!e((ly *enie* t+at +e 0oul* e influence* in !en*e!in/ +i( ve!*ict a( to Ne0ton y t+e ve!*ict of t+e t+!ee ;u*/e(, an* (tate* affi!matively

t+at +i( ve!*ict 0oul* e a(e* (olely upon t+e la0 an* t+e evi*ence uninfluence* y t+e action of t+e t+!ee ;u*/e( in t+e ca(e a/ain(t 1ille(pie an* ,ickey. T+e (u//e(tion 0a( a**!e((e* to t+e (oun* ;u*icial *i(c!etion of t+e t!ial cou!t, an*, in t+e a (ence of anyt+in/ in t+e !eco!* (+o0in/ an a u(e of t+at *i(c!etion, 0e 0oul* not e ;u(tifie* in !eve!(in/ t+at cou!t3( action upon it = Alle!( v. State, ":: M*. &9, "5: A. >$$@, an* it i( t+e!efo!e affi!me*. T+i( !in/( u( to t+e 6ue(tion( p!e(ente* in t+e e.ception( !elatin/ to t+e cou!t3( !ulin/( on 6ue(tion( of evi*ence, an* to ce!tain !ema!k( ma*e y t+e ;u*/e 0+o p!e(i*e* at t+e t!ial an* y t+e (tate3( atto!ney in t+e p!e(ence of t+e ;u!y *u!in/ t+e t!ial. Befo!e con(i*e!in/ t+e(e e.ception( in *etail, 0e 0ill !efe! !iefly to t+e i((ue( in t+e ca(e mate!ial to t+e 6ue(tion( !ai(e* y t+e(e e.ception(. 1ille(pie an* ,ickey +a* au*ite* t+e ook( of t+e Fnion 2inance Company, an* a( a !e(ult of t+ei! e.amination a lette! (i/ne* MWilliam A. 1ille(pie J Co.N 0a( a**!e((e* to t+e Fnion 2inance Company, in 0+ic+ t+e 0!ite! (tate*D MWe fin* you! company to e (olvent an* capa le of meetin/ all o li/ation( an* cont!act( ente!e* into 0it+ you! client(. We fu!t+e! ce!tify t+at you! company pu!c+a(e( an* (ell( li(te* (ecu!itie( in la!/e volume, an* you! invento!y of (ecu!itie( at t+e ma!ket at t+e clo(e of u(ine(( Au/u(t "9, "$55, (+o0( a (u (tantial (u!plu( ove! an* a ove you! o li/ation(.N T+e (tate c+a!/e* in t+e in*ictment t+at t+o(e (tatement( 0e!e fal(e, (o t+at t+e i((ue( 0e!eD ="@ Wa( t+e Fnion 2inance Company (olvent an* capa le of meetin/ all o li/ation( an* cont!act( ente!e* into 0it+ it( client(C =5@ *i* it uy an* (ell li(te* (ecu!itie( in la!/e volumeC an* =>@ *i* it( invento!y of (ecu!itie( Mat t+e ma!ketN at clo(e of u(ine(( Au/u(t "9, "$55, (+o0 a (u (tantial (u!plu( ove! an* a ove it( o li/ation(. T+e!e 0e!e, of cou!(e, ot+e! i((ue(, (uc+ a( t+e e.i(tence of an intent to c+eat an* *ef!au*. an* 0+et+e! t+e!e 0a( a confe*e!ation a( c+a!/e* in t+e in*ictment, ut t+o(e 0e +ave name* 0e!e t+e cont!ollin/ cont!ove!te* i((ue( in t+e ca(e. -n connection 0it+ t+e fi!(t an* t+i!* i((ue( muc+ of t+e te(timony offe!e* !elate* to t+e value of t+e common (tock of t+e Califo!nia Oil Minin/ Co!po!ation. -t +a* een ou/+t at 5# cent( a (+a!e, ut 1ille(pie an* ,ickey, !elyin/ upon a lette! f!om t+e <!u*ential Secu!itie( Co!po!ation offe!in/ 9# cent( a (+a!e fo! it, value* it at t+at p!ice. T+e (tate3( t+eo!y 0a( t+at t+at lette! 0a( a collu(ive *evice 0!itten fo! t+e pu!po(e of /ivin/ a fictitiou( value to t+e (tock, an* t+at t+e (tock +a* no (uc+ value. 'ame( H. Ha!!in/ton, an employU of )e*mon* J Co.

"& -mpeac+ment y Ot+e! Mean(

!oke!(, te(tifyin/ fo! t+e (tate, (ai* t+at t+e t!u(t +a* ou/+t in all t+!ou/+ t+at company li(te* (ecu!itie( amountin/ to G>"8,>5:.9:, an* it appea!e* f!om ot+e! 0itne((e( t+at it( e6uity in t+e un(ol* alance of t+o(e (ecu!itie( in t+e +an*( of )e*mon* %127 J Co. 0it+ it( ot+e! a((et( 0a( (ufficient to cove! t+e *epo(it( ma*e y cu(tome!( of t+e t!u(t 0+ic+ +a* not een 0it+*!a0n, amountin/ to G"#&,&9#, if t+e oil (tock 0a( !eally 0o!t+ 9# cent( a (+a!e, an* t+e 'ockey Clu (tock 0o!t+ t+e p!ice pai* fo! it, an* if money 0it+*!a0n y Ne0ton f!om t+e fun*, amountin/ to G9,:9#.#5, 0a( p!ope!ly t!eate* a( an account !eceiva le *ue t+e t!u(t, an* if an item of G"5,8$9.59 pai* to (olicito!( a( commi((ion( fo! u(ine(( 0a( p!ope!ly t!eate* a( o!/ani?ation e.pen(e an* an a((et. Ha!lan 'o+n(on, an e.pe!t accountant, te(tifyin/ fo! t+e (tate, (ai* t+at on Au/u(t "9t+, valuin/ t+e oil (tock at co(t, t+e lia ilitie( of t+e t!u(t e.cee*e* it( a((et( y G5",$99.%&. But, if t+at (tock +a* app!eciate* ># cent( a (+a!e in value, it 0oul* +ave een 0o!t+ G:",:## mo!e t+an t+e valuation place* upon it y t+at 0itne((. -t i( appa!ent, t+e!efo!e, t+at t+e value of t+e oil (tock 0a( of vital impo!tance to t+e *efen*ant, ecau(e, if it 0a( actually 0o!t+ t+e p!ice at 0+ic+ it 0a( value* in t+e 1ille(pie au*it, t+e t!u(t 0a( (olvent acco!*in/ to t+e au*it of t+e (tate3( o0n e.pe!t. T+e only te(timony offe!e* y t+e (tate a( to t+e value of t+i( (tock 0a( t+at of t+e 0itne(( 'o+n(on !efe!!e* to a ove, 0+o in +i( au*it place* it at co(t ecau(e +e +a* no i*ea 0+at it( value 0a(, an* 0+o (ai* t+at +e coul* not lea!n it f!om t+e !oke!( +e con(ulte*, ecau(e it 0a( an unli(te* (tockC t+at i(, it 0a( not li(te* on any (tock e.c+an/e. 2o! t+e pu!po(e of (+o0in/ it( value, t+e *efen*ant attempte* to p!ove y competent 0itne((e( t+e natu!e of it( u(ine((, t+e value of it( p!ope!ty, t+e p!ice at 0+ic+ it( (tock (ol*, an* t+e !ea(on( 0+y it( (tock coul* +ave een 0o!t+ 9# cent( a (+a!e on Au/u(t "9t+ an* only 5# cent( a (+a!e 0+en pu!c+a(e* a out a mont+ efo!e, in a (e!ie( of 6ue(tion( 0+ic+ a!e involve* in e.ception( num e!e* 9" to 9$ an* %: to &#. Be!na!* Makeove!, 0+o appea!e* to e a !e(pon(i le u(ine(( man of Baltimo!e, afte! te(tifyin/ t+at +e 0a( t+e p!e(i*ent of t+e oil company, 0a( a(ke* to /ive it( +i(to!y, t+e natu!e of it( u(ine((, t+e p!ice at 0+ic+ it +a* *i(po(e* of it( (tock p!io! to Au/u(t "9, "$55, 0+et+e! p!io! to t+at *ate any of it( (tock +a* een (ol*, 0+et+e! on t+at *ate 9# cent( a (+a!e 0a( a fai! valuation of it( (tock, 0+et+e! +e 0a( familia! 0it+ it( affai!(, 0+et+e! +e +a* (een it( p!ope!ty an* 0+et+e! it 0a( a /oin/ conce!n. )o e!t I. W+ite, a *i!ecto! of t+e oil company, o0nin/ >%,### (+a!e( of it( (tock, afte! te(tifyin/ t+at +e +a* +ea!* of a /!eat many (ale( of it( (tock et0een 'une "%t+ an* Au/u(t "9t+, 0a( a(ke* 0+et+e! it 0a( 0o!t+ 9# cent( a (+a!e on Au/u(t "9, "$55C 0+at c+an/e( took place in t+e oil company et0een 'une "%t+ an* Au/u(t "9t+ 0it+ 0+ic+ +e 0a( familia! 0+ic+ coul* +ave affecte* t+e value of t+e (tockC 0+at a**itional money 0a( put into t+e co!po!ationC +o0 muc+ money, to +i( kno0le*/e, +a* een "8 -mpeac+ment y Ot+e! Mean(

e.pen*e* up to Au/u(t "9t+ in *evelopin/ it( u(ine((, an* 0+et+e! t+e!e 0a( any *iffe!ence et0een t+e value of t+e (tock on 'une "%t+ an* it( value on Au/u(t "9t+. None of t+e(e 6ue(tion( 0a( allo0e*, an*, 0+ile (ome of t+e info!mation (ou/+t to e elicite* y t+em 0a( afte!0a!*( a*mitte*, in ou! opinion t+e!e 0a( in;u!iou( e!!o! in t+e !ulin/( of t+e cou!t a( to t+e 6ue(tion( involve* in (eve!al of t+e(e e.ception(. Some of t+e 6ue(tion( 0e!e lea*in/, an* 0e!e fo! t+at !ea(on o ;ectiona le, ut ot+e!( 0+ic+ t+e cou!t !efu(e* to allo0 0e!e in p!ope! fo!m an* !elevant to t+e i((ue( in t+e ca(e. -n*ee*, it i( !at+e! *ifficult to (ee upon 0+at t+eo!y t+e o ;ection to t+em 0a( (u(taine*. T+e contention of t+e (tate appea!( to e t+at no evi*ence a( to t+e value of t+e (tock 0a( !elevant at all ecau(e it 0a( unli(te* (tock an* ip(o facto +a* no ma!ket, an* t+at, +avin/ p!ove* t+at it 0a( unli(te*, t+e!e a!o(e an i!!e utta le p!e(umption t+at it +a* no value Mat t+e ma!ket,N ecau(e in t+e 1ille(pie lette! t+e 0!ite! ce!tifie* t+at t+e (ecu!itie( o0ne* y t+e t!u(t Mat t+e ma!ketN e.cee*e* it( lia ilitie(. But t+at po(ition i( untena le fo! (eve!al !ea(on(D 2i!(t, ecau(e it i( c+a!/e* in t+e in*ictment t+at t+e (tatement in t+e lette! t+at t+e t!u(t 0a( (olvent an* capa le of meetin/ all o li/ation( ente!e* into 0it+ it( client( 0a( fal(e. O viou(ly, t+e *efen*ant 0a( entitle* to meet t+at c+a!/e, if +e coul*, y (+o0in/ t+at t+e ma!ket value of t+e t!u(t3( a((et( *i* ena le it to meet t+o(e o li/ation(. An*, if t+e!e 0a( no (uc+ cu!!ent open ma!ket fo! t+e oil (tock fo!min/ pa!t of it( a((et( a( t+e!e 0oul* e fo! a li(te* (tock, it 0a( pe!mi((i le to !e(o!t to (uc+ evi*ence a( 0oul* ten* to (+o0 it( actual value a( !eflectin/ upon it( ma!ket value. Secon*, ecau(e even in connection 0it+ t+e a(ce!tainment of it( value at t+e ma!ket it 0a( pe!mi((i le to (+o0 t+e natu!e an* c+a!acte! of t+e p!ope!ty to 0+ic+ (uc+ value !elate*, an* t+at te!m *i* not a( a matte! of la0 ca!!y t+e implication t+at t+e (ecu!itie( !efe!!e* to 0e!e li(te* o! t+at t+ey +a* an imme*iate ma!ketC an*, t+i!*, t+e te!m Mat t+e ma!ketN in t+e ca(e of an unli(te* (tock *i* not nece((a!ily mean t+at t+e ma!ket !efe!!e* to meant t+e (tock e.c+an/e ma!ket, o! *aily 6uotation(, fo! it coul* not e a((ume* a( a matte! of la0 t+at ecau(e it 0a( unli(te* it +a* no ma!ket value, (ince p!ope!ty may +ave a ma!ket value, t+ou/+ it i( not flui* an* cannot e in(tantly e.c+an/e*. T+e e.p!e((ion Mat t+e ma!ket,N a( u(e* in t+e lette!, po(tulate( t0o t+in/(D ="@ t+at t+e!e i( a ma!ket fo! t+e (ecu!itie(, an* =5@ t+at in t+at ma!ket t+ey +a* t+e value /iven t+em. Applie* to an unli(te* (tock, in o!*ina!y u(a/e t+e te!m 0oul* natu!ally e un*e!(too* to mean t+e p!ice fo! 0+ic+ t+e (tock coul* e (ol* t+!ou/+ t+e e.e!ci(e of !ea(ona le *ili/ence %12. an* 0it+in a !ea(ona le time y an o0ne! 0+o *e(i!e* ut 0a( not compelle* to (ell it. An* 0+en it i( con(i*e!e* t+at in t+e ce!tificate( of *epo(it /iven t+e *epo(ito!( t+ey 0e!e notifie* t+at t+e money *epo(ite* y t+em 0a( to e u(e* fo! pa!ticipation in M(yn*icate(, pool(, etc.,N it cannot e a((ume* a( a matte! of la0 t+at t+e 0o!*( Myou! invento!y

of (ecu!itie( at t+e ma!ket e.cee*( you! lia ilitie(N a( u(e* in t+e lette! 0a( e6uivalent to (ayin/ Myou +ave li(te* (ecu!itie( 0+ic+ at t+e ma!ket e.cee* you! lia ilitie(,N o! t+at t+ey meant anyt+in/ mo!e t+an (ayin/ Mt+e ma!ket value of you! (ecu!itie( i( in e.ce(( of you! lia ilitie(,N an* t+at i( t+e con(t!uction /iven it y t+e (tate in it( !ief. An*, 0+ile t+e te!m Mvalue at t+e ma!ketN ca!!ie( t+e implication t+at t+e!e i( a ma!ket, it *oe( not nece((a!ily mean an in(tant o! imme*iate ma!ket in 0+ic+ t+at p!ice may e +a*, ut t+at t+e t+in/ po((e((e( (uc+ 6ualitie( t+at it may y t+e e.e!ci(e of o!*ina!y *ili/ence e (ol* at t+at p!ice. On t+e pa!t of t+e (tate t+e only affi!mative an* *i!ect te(timony conce!nin/ t+e value of t+e oil (tock 0a( t+at of M!. 'o+n(on, 0+o, afte! +avin/ (ai* t+at +e con(ulte* t0o !oke!a/e fi!m( a( to t+e value of t+e (tock(, (umma!i?e* t+e !e(ult of +i( inve(ti/ation( a( follo0(D M-n makin/ t+e (tatement t+at t+e Fnion 2inance Company 0a( in(olvent - 0a( /ove!ne* enti!ely y t+e amount of t+e a((et( an* t+e amount of t+e lia ilitie(. - *o not kno0 0+at t+e Califo!nia Oil Minin/ (tock 0a( 0o!t+ on Au/u(t "9t+. - coul* not fin* t+e value an* - (tate* it at co(t. Su ;ect to t+e e.amination of t+e Califo!nia Oil Minin/ (tock an* t+e Me.ican 'ockey Clu (tock it mi/+t ve!y 0ell e t+at t+e Fnion 2inance Company 0a( enti!ely (olvent on Au/u(t "9t+.N Fn*e! (uc+ ci!cum(tance( it 0a( pe!mi((i le to (+o0 t+at t+e (tock *i* +ave a ma!ket value, even t+ou/+ it 0a( not a li(te* (tock, t+!ou/+ (uc+ te(timony a( t+at offe!e* y t+e *efen*ant( an* !efe!!e* to in t+e(e e.ception(. -n 55 C. '. "8%, it i( (ai*D MW+e!e co!po!ate (tock i( not li(te* on any e.c+an/e an* +a( no !e/ula! ma!ket value, evi*ence of t+e value of t+e a((et( of t+e co!po!ation an* it( in*e te*ne((, lia ilitie(, o! in(olvency i( a*mi((i le to (+o0 t+e value of t+e (tockC o! (uc+ value may e *ete!mine* y a(ce!tainin/ t+e natu!e, amount, an* pe!manency of t+e u(ine(( *one y t+e co!po!ationC t+e *ivi*en*( pai*, t+e cont!ol of t+e (tock, t+e mana/ement, t+e ma!ket fo! a!ticle( (ol*, if t+e u(ine(( i( a comme!cial one, an* ot+e! ci!cum(tance( of like natu!e le/itimately ea!in/ upon t+e 6ue(tion( of value an* income.N T+e(e p!inciple(, 0e t+ink, a!e /ene!ally !eco/ni?e* a( (oun*, an* +ave een applie* to an infinite va!iety of fact( an* ci!cum(tance(. -n 'one( on Evi*ence, pa!. "%$, it i( (ai*D MT+e ma!ket p!ice of a commo*ity i( a conclu(ion 0+ic+ i(

la!/ely ma*e up of p!e(umption( an* may al0ay( e p!ove* y t+e opinion( of 0itne((e( a(e* of nece((ity, in pa!t, at lea(t, on +ea!(ay. -f t+e!e i( no ma!ket, t+en t+e actual value may e p!ove*, a(, fo! in(tance, y 0+at it i( (ol* fo! in a ona fi*e t!an(action. W+e!e an a!ticle in 6ue(tion +a( a ma!ket value, (uc+ value i( u(ually taken a( t+e actual value of (uc+ a!ticle. T+e p!oof of value i( /ene!ally y t+e ;u*/ment o! opinion of 0itne((e(. -f t+e a!ticle +a( no ma!ket value, it( value may e (+o0n y p!oof of (uc+ element( o! fact( affectin/ t+e 6ue(tion a( may e.i(t. )ecou!(e may e +a* to t+e item( of co(t an* it( utility an* u(e.N An* to t+e (ame effect i( Mye!( v. State, ">& M*. :$", ""> A. $#C Wo!*( an* <+!a(e(, Secon* Se!ie(, MMa!ket Ialue.N -t i( (ai* in Mil0aukee T!u(t Co. v. City of Mil0aukee, "9" Wi(. 55:, ">8 N. W. &#$D MT+e 0o!* PvalueQ (tan*( fo! one of t+e mo(t *ifficult an* elu(ive mental concept(, an* t+e a(ce!tainment of 0+at i( calle* Pma!ket valueQ in a ca(e 0+e!e t+e!e i( no open ma!ket !eco!*in/ nume!ou( t!an(action( of (ale o! a!te! an* !e(pon*in/ automatically to t+e !elative 6uantitie( of *eman* an* (upply i( (till mo!e *ifficult. 7 7 7 2o! t+e(e !ea(on( in all in6ui!ie( !elatin/ to value, 0+e!e t+e!e i( no kno0n, !e/ula!, an* continuou( ma!ket (uc+ a( e.i(t( in t+e e.c+an/e( o! (uc+ a( e.i(t( /ene!ally fo! con(umption of /oo*(, a 0i*e !an/e of inve(ti/ation i( pe!mitte*, an* t+e !ule( /ove!nin/ t+e a*mi((ion of evi*ence a!e li e!al. 7 7 7N Applyin/ t+e(e p!inciple( to t+e fact( of t+i( ca(e in ou! opinion, t+e 6ue(tion( involve* in e.ception( 9" to 98, inclu(ive, an* in t+e (i.ty4fift+ an* (i.ty4(event+ e.ception( (+oul* +ave een allo0e*. We fin* no e!!o! in t+e !ulin/( a( to t+e !emainin/ 6ue(tion( involve* in t+i( (e!ie( of e.ception( ecau(e of t+ei! fo!m. Ha!lan 'o+n(on, a pu lic accountant on t+e (taff of Ha(kin( J Sell(, p!o*uce* on e+alf of t+e (tate, te(tifie* t+at +e +a* e.amine* t+e ook( an* pape!( of t+e Fnion 2inance Company an* Emo!y M. Ne0ton, an* /ave in (ome *etail t+e !e(ult( of +i( e.amination of t+e ook( of account, (tock, invento!ie(, etc., ut *i* not te(tify a( to t+e te!m( of any cont!act( et0een t+e t!u(t an* it( client(. He 0a( t+en a(ke* t+i( 6ue(tionD MTell t+e cou!t an* t+e ;u!y 0+et+e! t+e ook( of Ne0ton, t!a*in/ a( t+e Fnion 2inance Company, (+o0e* t+at company to e capa le of meetin/ all o li/ation( an* cont!act( a( of Au/u(t "9, "$55.N T+e 0itne(( 0a( allo0e* ove! o ;ection to an(0e! t+i( 6ue(tion, an* (ai*D

"$ -mpeac+ment y Ot+e! Mean(

M- 0oul* (ay no. T+e ook( of t+e Fnion 2inance Company (+o0 t+at t+ey 0e!e not capa le of meetin/ t+ei! lia ilitie( on Au/u(t "9t+. Acco!*in/ to t+e(e ook( foun* a *iffe!ence o! a lo(( of G5",$99.%$.N %129 T+i( !ulin/ i( t+e (u ;ect of t+e t0enty4(event+ e.ception. Allen O. Ste+l, an accountant in 1ille(pie3( employ, offe!e* a( a 0itne(( fo! t+e *efen*ant, afte! te(tifyin/ t+at +e +a* e.amine* t+e o!i/inal au*it an* alance (+eet, t+e 0o!kin/ au*it an* t+e ook( on 0+ic+ t+ey 0e!e a(e*, an* afte! te(tifyin/ conce!nin/ va!iou( item( in t+e au*it, 0a( a(ke*D M,i* you fin* in t+e makin/ of t+at au*it 0+et+e! o! not all of t+e !eceipt( of Ne0ton 0e!e p!ope!ly an* fai!ly accounte* fo! on +i( ook(EN An o ;ection to t+at 6ue(tion 0a( (u(taine* ecau(e it (u mitte* a 6ue(tion of la0 to t+e 0itne((, an* 0e fin* no !eve!(i le e!!o! in t+at !ulin/ 0+ic+ i( t+e (u ;ect of t+e (eventy4(econ* e.ception. But manife(tly, if t+e 6ue(tion a(ke* Ste+l 0a( o ;ectiona le ecau(e it a(ke* t+e 0itne((3 opinion on a matte! of la0, t+e 6ue(tion a(ke* 'o+n(on, 0+ic+ 0a( allo0e*, 0a( (till mo!e o ;ectiona le fo! t+at !ea(on, fo! 0+e!ea( t+e 6ue(tion a(ke* Ste+l only (ou/+t +i( opinion upon t+e co!!ect p!actice in accountancy, t+at a(ke* 'o+n(on a(ke* +im to con(t!ue Mall t+e o li/ation( an* cont!act(N of t+e t!u(t. T+e only cont!act in evi*ence et0een t+e t!u(t an* it( client( p!ovi*e* in pa!t, t+at44 MT+e Fnion 2inance Company i( to !eceive t+i!ty pe! centum f!om t+i( account an* t+e (ai* VVVVVV to !eceive (eventy pe! centum of mont+ly *i( u!(ement(. -t i( al(o un*e!(too* t+at t+e (ai* VVVVVV can 0it+*!a0 all o! any pa!t of VVVVVV account upon (i.ty *ay(3 0!itten notice to t+e Fnion 2inance Company.N ,u!in/ t+e t!ial of t+e ca(e it *evelope* t+at *iffe!ent con(t!uction( +a* een place* upon t+at lan/ua/e. T+at of t+e (tate appea!e* to e t+at un*e! it t+e t!u(t 0a( o li/e* to !etu!n upon *eman* to t+e *epo(ito! t+e amount of +i( *epo(it intact, an* t+at i( t+e t+eo!y upon 0+ic+ t+e accountant( fo! t+e (tate an* t+e *efen(e acte* in makin/ up t+ei! au*it(. Ne0ton, on t+e ot+e! +an*, con(t!ue* it to mean t+at +e 0a( only o li/e* to !etu!n to t+e *epo(ito! &# pe! cent. of +i( *epo(it, an* t+at t+e !emainin/ ># pe! cent. 0a( to e !etaine* fo! ope!atin/ e.pen(e( inclu*in/ compen(ation to +im. An* t+e!e 0a( a t+i!* po((i le t+eo!y. -n t+e cont!act !efe!!e* to t+e t!u(t *i* not un*e!take to !etu!n t+e 0+ole *epo(it, ut t+e Maccount.N

T+e t!u(t +a* no e.i(tence a(i*e f!om t+e *epo(it(. To/et+e! t+ey con(titute* a pool 0+ic+ 0a( t+e Mt!u(t.N A(i*e f!om t+em it +a* no !e(ou!ce( o! !evenue e.cept po((i le p!ofit( acc!uin/ f!om t+e manipulation of t+e *epo(it(. -f t+e!e 0e!e p!ofit(, natu!ally t+e e.pen(e( 0oul* e pai* f!om t+emC if t+e!e 0e!e lo((e( e.cee*in/ t+e p!ofit(, an* t+e t!u(t 0a( not entitle* to !etain ># pe! cent. fo! ope!ation, nece((a!ily t+ey 0it+ t+e e.pen(e( 0oul* fall on t+e *epo(ito!( in p!opo!tion to t+e amount of t+ei! !e(pective *epo(it(, an* in t+at ca(e t+e MaccountN of (uc+ *epo(ito! 0oul* !ep!e(ent +i( enti!e *epo(it, le(( +i( (+a!e of t+e lo((e( an* e.pen(e( incu!!e* 0+il(t it 0a( a pa!t of t+e pool. W+ic+, if any, of t+e(e con(t!uction( 0a( co!!ect 0a( a matte! of la0 to e pa((e* upon y t+e ;u!y, 0+o 0e!e, un*e! t+e Con(titution of t+i( (tate, ;u*/e( of t+e la0 a( 0ell a( of t+e fact. T+e cou!t it(elf coul* not +ave in(t!ucte* t+e ;u!y a( to t+e con(t!uction of t+e cont!act 0it+out 0a!nin/ t+em t+at t+ey 0e!e not oun* to accept it( con(t!uction, an* a fo!tio!i no 0itne(( 0a( p!ivile/e* to *o (o. -n W+eele! v. State, :5 M*. 9%>, t+e appellant +a* een convicte* of keepin/ a /amin/ ta le. -n t+e t!ial of t+at ca(e t+e *efen*ant a(ke* a 0itne(( 0+et+e! +e M+a* any kno0le*/e of t+e t!ave!(e! keepin/ o! +avin/ kept a /amin/ ta le, o! of +i( keepin/ o! +avin/ kept any !oom o! place fo! /am lin/,N etc. An o ;ection to t+e 6ue(tion 0a( (u(taine*, an* in pa((in/ upon t+at !ulin/ t+i( cou!t (ai*, (peakin/ t+!ou/+ 'u*/e AlveyD MTo +ave an(0e!e* t+e 6ue(tion a( p!opo(e* to e a(ke* it 0oul* +ave !e6ui!e* of t+e 0itne(( to fo!m a conclu(ion a( to t+e matte! of in6ui!y t+at t+e ;u!y alone 0e!e competent to *ete!mine. He 0oul* +ave een !e6ui!e* to !e(pon* to a 6ue(tion of la0 a( 0ell a( of fact. 7 7 7 T+i( +e 0a( incompetent to *o. 7 7 7 He (+oul* +ave een a(ke* (imply +i( kno0le*/e of fact pe!tinent to t+e i((ue ;oine*, 0it+out ein/ !e6ui!e* to fo!m an opinion !e(pectin/ t+e ve!y point 0+ic+ t+e ;u!y 0e!e to *ete!mine.N See, al(o, 55 C. '. p. %>:. -n t+i( ca(e t+e 0itne(( coul* +ave een a(ke* a( to t+e amount of *epo(it( a( (+o0n y t+e ook(, an* in fact +e 0a( a(ke* a( to t+at, ut to +ave a(ke* +im to (ay 0+et+e! t+e ook( of t+e t!u(t (+o0e* it to e capa le of meetin/ all it( Mcont!act( an* o li/ation(N 0a( to !e6ui!e +im to !e(pon* to t+e ve!y in6ui!y 0+ic+ t+e ;u!y 0e!e (0o!n to an(0e!. No! can 0e *ou t t+at t+i( !ulin/ 0a( in;u!iou( 0+en it i( con(i*e!e* t+at t+e conclu(ion of t+e 0itne(( 0a( a(e* upon +i( con(t!uction of t+e cont!act 0+ic+ in effect 0ent to t+e /uilt o! innocence of t+e *efen*ant. William A. 1ille(pie, a 0itne(( fo! t+e appellant, 0a( a(ke* y t+e cou!t if t+e!e 0e!e not a *i(tinction et0een

5# -mpeac+ment y Ot+e! Mean(

ook p!ofit( an* ea!ne* p!ofit(, an* ove! o ;ection ma*e t+i( an(0e!D MWell a man coul* /et a (u!plu( in t+at 0ay. Ye(, (i!. T+e !epo!t t+at M!. ,ickey (+o0e* me (+o0e* a (u!plu( of G5>,###, 0+ic+ 0oul* in*icate t+at t+e company +a* (ome p!ofit(. A( a matte! of fact, t+e!e 0e!e pape!( (+o0in/ t+at t+ey +a* ma*e a p!ofit.N %1&0 He 0a( t+en a(ke*D MHo0 muc+,N an* (ai*D M-t mu(t +ave een t+i( G5>,###.N T+e cou!t t+en (ai*D MYou kno0 ette! t+an t+at, M! 1ille(pie.N O ;ection 0a( t+en ma*e to t+at !ema!k, an* t+e follo0in/ took placeD MBy t+e Cou!tD Well, t+at i( 0it+*!a0n, t+at comment. By M!. O0en(D But - (till take e.ception to it, an* - o ;ect to t+at comment 0+et+e! it +a( een 0it+*!a0n o! not. By t+e Cou!tD - 0ill 0it+*!a0 t+e 6ue(tion t+en, an* t+e comment (tan*(.N T+i( !ulin/ i( t+e (u ;ect of t+e fo!ty4nint+ e.ception. T+e (ame 0itne(( in t+e cou!(e of +i( e.amination +a* (ai* t+at +e +a* t!eate* note( *ue t+e t!u(t a( M(ecu!itie(.N -n +i( c!o((4e.amination +e 0a( a(ke* y t+e (tate3( atto!neyD MNo0 at t+e t!ial of you! o0n ca(e, M!. 1ille(pie, you *i* not at t+at time, *i* you, un*e!take to call t+e(e note( (ecu!itie(EN Coun(el fo! t+e *efen*ant in o ;ectin/ to t+at 6ue(tion (ai*D MNot only *oe( +e call note( (ecu!itie(, ut t+e!e a!e t+!ee *eci(ion( of t+e Cou!t of Appeal(C t+at *eci*e( t+at t+ey can e calle* (ecu!itie(.N T+e cou!t t+en (ai*D M- 0oul* e ve!y (o!!y to t+ink t+at t+e Cou!t of Appeal( 0oul* make any (uc+ fooli(+ *eci(ion a( t+at, (i!.N T+at !ema!k i( t+e (u ;ect of t+e fiftiet+ e.ception. T+e(e t0o e.ception( cannot e con(i*e!e* 0it+out !efe!ence to t+e fact al!ea*y a*ve!te* to t+at in t+i( (tate t+e ;u!y a!e ;u*/e( of t+e la0 a( 0ell a( t+e fact in c!iminal ca(e(, an* t+at it i( t+ei! e.clu(ive p!ovince to pa(( upon t+e c!e*i ility of 0itne((e( 0+o te(tify to fact( !elatin/ to i((ue( in any t!ial efo!e t+em, an* t+at t+e !i/+t to t!ial y ;u!y i( !e/a!*e* a( an actual an* (u (tantial p!ivile/e. T+e p!actice in (ome ;u!i(*iction( i( *iffe!ent, an* t+e fe*e!al cou!t( +ave come to (anction 0+at in many of t+e (tate(

0oul* e !e/a!*e* a( tantamount to a *i!ecte* ve!*ict in c!iminal ca(e(, an* in (uc+ ;u!i(*iction it may e (ai* t+at t+e cou!t *oe( pa(( upon t+e c!e*i ility of 0itne((e(. T+e ca(e of Ho!nin/ v. ,i(t!ict of Colum ia, 59: F. S. ">9, :" S. Ct. 9>, %9 L. E*. "89, illu(t!ate( t+at vie0. T+e!e t+e cou!t, in c+a!/in/ t+e ;u!y in a c!iminal ca(e, (ai*D MOf cou!(e, /entlemen, 7 7 7 - cannot tell you, in (o many 0o!*(, to fin* *efen*ant /uilty, ut 0+at - (ay amount( to t+at.N T+e cou!t, afte! (tatin/ t+at t+e fact( 0e!e un*i(pute*, (ai* in pa!t in con(i*e!in/ t+at c+a!/eD M<e!+ap( t+e!e 0a( a !e/!etta le pe!empto!ine(( of tone, ut t+e ;u!y 0e!e allo0e* t+e tec+nical !i/+t, if it can e calle* (o, to *eci*e a/ain(t t+e la0 an* t+e fact(. 7 7 7 -f t+e *efen*ant (uffe!e* any 0!on/ it 0a( pu!ely fo!mal (ince, a( 0e +ave (ai*, on t+e fact( a*mitte* t+e!e 0a( no *ou t of +i( /uilt.N T+at, +o0eve!, i( not t+e la0 in t+i( (tate. A!ticle "9, O 9, M*. Con(t., an* ca(e( cite*C > Ba/ y3( Co*e <u . 1en. La0( of Ma!ylan*C ,eem( v. State, "5& M*. %5&, $% A. 8&8. T+e !ema!k involve* in t+e fo!ty4nint+ e.ception 0a( e6uivalent to a (tatement y t+e cou!t t+at t+e 0itne(( 1ille(pie +a* te(tifie* to 0+at +e kne0 to e unt!ue, an* 0a( a *i!ect !eflection upon +i( c!e*i ility. T+at (uc+ i( it( effect i( a*mitte* y t+e (tate in it( !ief, 0+e!e t+i( f!ank ut (in/ula! (tatement i( foun*D MT+e an(0e!( of t+e 0itne(( to t+i( 6ue(tion 0e!e clea!ly eva(ive an* ce!tainly me!ite* t+e comment of t+e cou!t. -na(muc+ a( t+e only effect a comment coul* +ave +a* 0a( to affect t+e c!e*i ility of t+e 0itne(( efo!e t+e ;u!y, an* *i* not of it(elf ca(t any !eflection upon t+e t!ave!(e!, ce!tainly t+e t!ave!(e! 0a( not p!e;u*ice* t+e!e y.N -na(muc+ a( t+e t!ave!(e!3( ca(e *epen*e* upon t+e c!e*i ility of +i( 0itne((e(, it i( not ea(y to (ee +o0 anyt+in/ coul* po((i ly p!e;u*ice +im mo!e t+an a conclu(ion t+at t+ei! te(timony 0a( not c!e*i le, an* t+e!e 0a( in ou! opinion e!!o! in t+i( !ulin/. T+e!e 0a( al(o p!e;u*icial e!!o! in t+e !ulin/ involve* in t+e fiftiet+ e.ception, T+e te!m M(ecu!itie(N inclu*e( Mevi*ence of in*e te*ne((N =>9 Cyc. "5>8@, an* em !ace( ill( of e.c+an/e, on*( fo! t+e payment of money, an* p!omi((o!y note( =-*., note 9$C Wa/ne! v. Sc+e!e!, 8$ App. ,iv. 5#5, 89 N. Y. S. 8$:C ,uncan v. M*. Sav. -n(t., "# 1ill J '. >#8@, an* t+e (tatement y t+e cou!t t+at p!omi((o!y note(, 0+ic+ t+e 0itne(( in +i( au*it an* in +i( te(timony

5" -mpeac+ment y Ot+e! Mean(

+a* t!eate* a( M(ecu!itie(,N coul* not a( a matte! of la0 e (o con(i*e!e* 0a( e!!oneou(, an* to +ave ma*e t+at (tatement in t+e p!e(ence of t+e ;u!y, 0a(, 0e t+ink, in;u!iou( e!!o!. -f, a( a matte! of la0, t+ey coul* not e (o t!eate*, it follo0e* t+at in t+at !e(pect, at lea(t, t+e au*it 0a( fal(e. An*, 0+ile not a**!e((e* to t+e ;u!y, t+e !ema!k 0a( ma*e in t+ei! +ea!in/, an*, ecau(e of t+e 0+olly *i(inte!e(te* an* impa!tial po(ition occupie* y t+e ;u*/e, 0a( mo!e likely to influence t+ei! ;u*/ment t+an if it +a* come f!om any ot+e! (ou!ce, an*, 0+ile 0e +ave no *ou t t+at it 0a( an ina*ve!tence, it( effect 0a( p!e;u*icial. Coffin v. B!o0n, $: M*. 5#>, 9# A. 9%&, 99 L. ). A. &>5, 8$ Am. St. )ep. :55. He!man '. W. Wei(kopf, t+e fi!(t 0itne(( offe!e* fo! t+e (tate, p!o*uce* a num e! of lette!( Mo taine* y coun(el fo! t+e (tate f!om t+e t!u(tee in ank!uptcy of Emo!y M. Ne0ton,N 0+ic+ 0e!e, 0it+out fu!t+e! aut+entication t+an 0+at may e infe!!e* f!om t+at fact, offe!e* in evi*ence an* a*mitte* ove! o ;ection. T+at !ulin/ i( t+e (u ;ect of t+e fou!t+ e.ception. Some of t+e(e lette!( 0e!e et0een Ne0ton an* William%1&1 A. 1ille(pieC (ome et0een 1ille(pie an* E*0a!* '. McCallC (ome et0een 1ille(pie an* t+e A!c+ al* Con(oli*ate* Coal CompanyC an* (ome 0e!e not (i/ne* at all. E.cept fo! t+e fact t+at t+ey +a* een o taine* f!om Ne0ton3( t!u(tee in ank!uptcy, t+e!e 0a( no aut+entication of t+e lette!(. -t *i* not appea! 0+e!e t+e t!u(tee /ot t+em, no! 0a( t+e!e any p!oof a( to t+e (i/natu!e( to t+em 0+e!e t+e!e 0e!e (i/natu!e( at all. All of t+em 0e!e 0!itten mo!e t+an a yea! efo!e t+e alle/e* con(pi!acy, an* none of t+em containe* any !efe!ence to it. T+e t!u(tee *i* te(tify t+at +e (ecu!e* M ook( an* pape!(N of t+e Fnion 2inance Company an* Ne0ton, ut +e (ai* not+in/ to in*icate t+at t+e lette!( offe!e* in evi*ence 0e!e amon/ t+e M ook( an* pape!(N 0+ic+ +e !eceive*, o! t+at t+ey 0e!e foun* in t+e po((e((ion of Ne0ton, an*, in fact, +e 0a( not a(ke* an* *i* not te(tify a( to t+e lette!( at all. T+i( 0a( not in ou! opinion a (ufficient aut+entication. <eople v. Man/ana!o, 5"8 N. Y. $, ""5 N. E. :>8. A(i*e f!om t+e 6ue(tion of aut+entication, (eve!al of t+e(e lette!( 0e!e enti!ely i!!elevant. 2o!, 0+ile lette!( et0een Ne0ton an* 1ille(pie may +ave een !elevant to (+o0 t+ei! !elation(+ip, lette!( et0een 1ille(pie an* pe!(on( ot+e! t+an Ne0ton, +avin/ no !efe!ence to t+e alle/e* con(pi!acy, ce!tainly 0e!e not, an*, a( t+ey 0e!e all offe!e* to/et+e!, t+e!e 0a( al(o fo! t+at !ea(on e!!o! in ove!!ulin/ t+e o ;ection to t+em. T+e t+i!ty4(event+ an* t+i!ty4ei/+t+ e.ception( !elate to t+e action of t+e cou!t in pe!mittin/ ce!tain 6ue(tion( to e a(ke* in t+e c!o((4e.amination of Ha!ol* ). ,ickey, '!., a 0itne(( fo! t+e *efen(e. Afte! +avin/ te(tifie* at (ome len/t+ a( to t+e p!epa!ation of t+e 1ille(pie au*it an* t+e !e(ult of +i( e.amination of t+e !e(ou!ce( an* lia ilitie( of t+e t!u(t, +e 0a( a(ke*D

MYou te(tifie* conce!nin/ t+e(e t!an(action( in t+e ca(e of t+e (tate a/ain(t ,ickey an* t+e (tate a/ain(t 1ille(pie, /ivin/ t+en t+e (ame e.planation( t+at you +ave /iven u( +e!e, *i* you notEN He 0a( *i!ecte* ove! o ;ection to an(0e! t+at 6ue(tion, an* t+e follo0in/ collo6uy took placeD MWell, - can3t !emem e! e.actly all t+at - (ai* in t+e la(t ca(e. S. No0, *on3t (plit +ai!( 0it+ me. ,i* you te(tify in t+i( (ame 0ay in t+e t!ial of you! o0n ca(eE A. - can3t !emem e! all of t+o(e t+in/(, M!. Leac+. S. ,i*n3t you make (u (tantially t+e (ame e.planation t+en t+at you a!e makin/ +e!e no0, to4*ayE By M!. O0en(D We a!e notin/ an o ;ection an* e.ception to all t+i(. T+e Cou!tD Ye(. S. =By M!. Leac+@. -n you! o0n t!ialE A. <!actically. S. An* you 0e!e convicte* 0e!e you notE S. =By M!. Leac+@. 1o on an* an(0e! meE You 0e!e convicte* in you! t!ial efo!e 'u*/e 1o!te! an* 'u*/e Bon* an* 'u*/e Stanton, 0e!e you notEN -n an(0e! to t+e la(t 6ue(tion t+e 0itne(( !eplie* t+at +e +a* een (o convicte*. T+i( met+o* of c!o((4e.aminin/ t+e 0itne(( 0a(, in ou! opinion, +i/+ly o ;ectiona le. -f t+e pu!po(e of t+e e.amine! 0a( to impeac+ t+e c!e*i ility of t+e 0itne(( y (+o0in/ t+at +e +a* een convicte* of c!ime, +e (+oul* +ave a(ke* +im t+at 6ue(tion *i!ectly =:# Cyc. 5%#&@, o!, if +e +a* inten*e* to (+o0 t+at +e +a* in (ome ot+e! ca(e (0o!n to (tatement( cont!a!y to +i( te(timony in t+e in(tant ca(e, +e coul* +ave een a(ke* 0+et+e! +e +a* ma*e (uc+ conflictin/ (tatement(. But t+e(e 6ue(tion( +a* no (uc+ o ;ect. -n a**ition to intimi*atin/ t+e 0itne((, t+ei! only appa!ent pu!po(e 0a( to !in/ to t+e attention of t+e ;u!y t+e fact t+at +e +a* ma*e in +i( o0n ca(e 0+en +e 0a( t!ie* fo! t+e (ame c!ime, not a *iffe!ent ut t+e (ame (tatement a( t+at to 0+ic+ +e te(tifie* in t+i( ca(e, an* t+at t+e t+!ee ;u*/e( efo!e 0+om +e 0a( t!ie* *i(c!e*ite* t+at (tatement an* convicte* +im. T+e o viou( pu!po(e 0a( to in*uce t+e ;u!y to elieve t+at, a( t+e te(timony of t+e 0itne(( a( /iven efo!e t+em +a* al!ea*y een *i(c!e*ite* y t+!ee ;u*/e( (ittin/ in t+e (ame cou!t in anot+e! ca(e, t+e!efo!e t+ey (+oul* *i(c!e*it it in t+i( ca(e, a 0+olly un0a!!ante*

55 -mpeac+ment y Ot+e! Mean(

conclu(ion un(uppo!te* y any aut+o!ity 0it+ 0+ic+ 0e a!e familia!. T+e t+i!* an* fift+ e.ception( !elate to t+e action of t+e cou!t in allo0in/ t+e (tate to p!ove t+at an involunta!y petition in ank!uptcy +a* een file* a/ain(t Ne0ton on May 5>, "$55, in t+e Fnite* State( ,i(t!ict Cou!t in Baltimo!e. -n ou! ;u*/ment t+at evi*ence 0a( !elevant a( !eflectin/ upon Ne0ton3( financial con*ition (+o!tly efo!e t+e alle/e* con(pi!acy, an* 0e fin* no e!!o! in t+o(e !ulin/(. T+e (event+, ei/+t+, t0elft+, t+i!teent+, fou!teent+, fifteent+, t+i!ty4fou!t+, t+i!ty4fift+, t+i!ty4(i.t+, fo!tiet+, fo!ty4t+i!*, fo!ty4fou!t+, an* (eventy4fift+ e.ception( !elate to t+e action of t+e cou!t in pe!mittin/ t+e (tate to int!o*uce in evi*ence, ove! t+e *efen*ant3( o ;ection, evi*ence to (+o0 t+e pu lication in t+e *aily ne0(pape!( of Baltimo!e city of t+e a!ticle !efe!!e* to a( t+e M1!i(0ol* C+allen/e,N an* t+at it +a* een !ou/+t to Ne0ton3( attention. T+i( te(timony 0a(, 0e t+ink, !elevant an* p!ope!ly a*mitte*. T+e 6ue(tion 0a(, not 0+et+e! Ne0ton 0a( o li/e* to accept t+e (o4calle* c+allen/e, an* (u mit +i( ook( to an au*ito! fo! e.amination (electe* y (ome one ot+e! t+an +im(elf, ut 0+et+e! t+e !eflection ca(t upon t+e u(ine(( in 0+ic+ +e 0a( en/a/e*, y t+e a!ticle o! y +i( !efu(al to accept t+e c+allen/e (upplie* a motive o! !ea(on fo! t+e alle/e* con(pi!acy. An*, 0+ile 0e *o not mean to (ay t+at (uc+ an infe!ence (+oul* e *!a0n f!om t+o(e fact(, neve!t+ele(( it coul* e *!a0n %1&2 f!om t+em, an* t+e evi*ence 0a( t+e!efo!e mate!ial an* !elevant. T+e cou!t pe!mitte* Ha!lan 'o+n(on, an e.pe!t accountant, to /ive, ove! t+e *efen*ant3( o ;ection, t+e !e(ult of +i( e.amination of t+e ook( of account of t+e Fnion 2inance Company, an* it( action in a*mittin/ t+at evi*ence i( t+e (u ;ect of e.ception( num e!e* "& to 5:. We fin* no e!!o! in t+o(e !ulin/(. T+e ook( 0e!e in evi*ence, an* t+e te(timony of t+e 0itne(( amounte* to no mo!e t+an a (umma!y of t+ei! content( /iven to ai* t+e cou!t an* ;u!y in (ecu!in/ a co!!ect un*e!(tan*in/ of t+e ent!ie( in t+em. -t 0oul* e e.cee*in/ly *ifficult an* inconvenient, if not imp!actica le, fo! a ;u!y 0it+out (pecial t!ainin/ o! kno0le*/e to fo!m any (oun* o! intelli/ent conclu(ion f!om an e.amination of t+e voluminou( an* complicate* ent!ie( an* account( often foun* in (uc+ ook( 0it+out (uc+ a((i(tance, an*, 0+e!e t+e ook( 0+ic+ a!e t+e a(i( of t+e te(timony a!e in cou!t an* p!ope!ly p!ove*, (uc+ a p!actice i( /ene!ally app!ove*. "% C. '. %"9C Blum v. State, $: M*. >8&, 9" A. 5%, 9% L. ). A. >55. -n t+e e.amination of t+e 0itne(( ,ickey offe!e* on e+alf of t+e *efen*ant, !efe!ence 0a( ma*e to Mt+e au*it,N an* coun(el fo! t+e *efen*ant announce* t+at +e 0oul* offe! it in evi*ence. MT+e au*itN 0a( p!e(uma ly t+e 1ille(pie 5> -mpeac+ment y Ot+e! Mean(

au*it, upon 0+ic+ t+e lette! !efe!!e* to in t+e in*ictment 0a( a(e*. T+e (tate3( atto!ney (tate* t+at +e 0oul* o ;ect to it unle(( it 0e!e (+o0n t+at Ne0ton kne0 it( content(, an* in t+e cou!(e of +i( !ema!k( to t+e cou!t (ai*D MT+at lette! i( one ti((ue of mi((tatement(. One !i/+t afte! anot+e!,N an* t+en !ea* t+e lette! to t+e cou!t. T+e follo0in/ t+en occu!!e*D MBy t+e Cou!tD No0, you (ay t+at t+e fi!(t i( a mi((tatement, t+at +e ma*e an au*it of t+e ook(E By M!. Leac+D T+at i( a mi((tatement, tec+nically. By t+e Cou!tD No0, t+at i( t+e (tate3( point of vie0, ut (till can3t t+i( t!ave!(e! (+o0 t+at t+ey *i* make an au*itE By M!. Leac+D No, (i!, ecau(e - +ave t!ie* t+i( ve!y t!ave!(e! an* +ea!* +im (0ea! t+at +e *i* not.N T+at t+e(e !ema!k( on t+e pa!t of t+e (tate3( atto!ney 0e!e e.cee*in/ly imp!ope! an* calculate* to unfai!ly p!e;u*ice t+e ;u!y a/ain(t t+e *efen*ant i( (ca!cely a matte! fo! a!/ument, an* t+e cou!t (+oul* +ave 0a!ne* t+e ;u!y to *i(!e/a!* t+em. But, a( t+e !ema!k( 0e!e upon motion (t!icken out, an* a( t+e t!ave!(e!, at t+e time a(ke* fo! no ot+e! action on t+e pa!t of t+e cou!t, 0e *o not !e/a!* it( failu!e to (o 0a!n t+e ;u!y a( !eve!(i le e!!o!. William A. 1ille(pie, te(tifyin/ fo! t+e *efen*ant, (ai* t+at +e +a* een influence* in valuin/ t+e oil (tock at 9# cent( a (+a!e y a lette! of t+e <!u*ential Secu!itie( Co!po!ation, t+at +e kne0 <!u*en, an* t+ou/+t t+e offe! all !i/+t, an* f!om a Mconce!n t+at 0a( 0ell a le to take it up.N Afte! a collo6uy et0een t+e cou!t, t+e 0itne((, an* t+e (tate3( atto!ney, +e 0a( a(ke* y coun(el fo! t+e t!ave!(e!D MW+at ma*e you t+ink 0+at 0a( t+e (pecial t+in/, if it 0a( a (pecial t+in/, ope!atin/ on you! min* t+at ma*e you t+ink t+at t+e <!u*ential Secu!itie( Co!po!ation offe! 0a( a /oo* offe!EN T+e (tate o ;ecte*, an* t+e cou!t, !ulin/ on t+e o ;ection, (ai*D M- 0ill not let +im make an an(0e! if +e i( /oin/ to !efe! to <!u*en, unle(( +e 0ill (ay t+at +e 0a( un*e! t+e imp!e((ion t+at M!. <!u*en ma*e t+e offe! an* 0ill /ive t+at a( +i( !ea(on. -n t+at ca(e t+at 0ill e all !i/+t.N T+e limitation( impo(e* upon t+e 0itne(( y t+i( !ulin/ 0+ic+ i( t+e (u ;ect of t+e t0enty4nint+ e.ception, 0e!e too na!!o0. He coul* not 0ell +ave an(0e!e* t+e 6ue(tion 0it+out !efe!!in/ to <!u*en, 0+o (i/ne* t+e lette! fo! t+e co!po!ation a( it( p!e(i*ent, an* yet, if +e kne0 of any

ci!cum(tance 0+ic+ affecte* t+e value of t+e offe!, +e (+oul* +ave een pe!mitte* to (tate it, alt+ou/+ manife(tly +e coul* not ;u(tify +i( fait+ in t+e offe! of t+e co!po!ation y (+o0in/ t+e !e(pon(i ility of <!u*en. But, a( t+e 6ue(tion it(elf 0a( a* in fo!m, 0e fin* no !eve!(i le e!!o! in t+e !ulin/. ,u!in/ t+e c!o((4e.amination of t+e *efen*ant, t+e (tate 0a( pe!mitte* ove! o ;ection to offe! in evi*ence (ection 8 of t+e *ee* of t!u(t un*e! 0+ic+ t+e Fnion 2inance Company, common4la0 t!u(t, claime* to ope!ate. Afte!0a!*( t+e *efen(e offe!e* in evi*ence t+e 0+ole *ocument, ut on motion it 0a( e.clu*e*. T+e(e !ulin/( a!e t+e (u ;ect of t+e (eventy4t+i!*, ei/+tiet+, ei/+ty4fi!(t, an* ei/+ty4(econ* e.ception(. T+e pape! 0a( not !eco!*e*. T+e!e 0a( not+in/ to (+o0 t+at it +a* een !ou/+t to t+e attention of any actual o! p!o(pective ce(tui( 6ue t!u(t y pu lication o! ot+e!0i(e, an* it 0oul* not o!*ina!ily +ave een a*mi((i le, ut, ina(muc+ a( t+e cou!t +a* ove! t+e *efen*ant3( o ;ection a*mitte* pa!t of it, t+e *efen*ant 0a( entitle* to +ave t+e enti!e in(t!ument in evi*ence, an* t+e!e 0a( e!!o! in e.clu*in/ it. T+e !emainin/ e.ception( a!e not in ou! opinion of (ufficient 0ei/+t to ;u(tify a *etaile* *i(cu((ion, an* it i( (ufficient to (ay t+at, afte! a ca!eful e.amination of t+em, 0e +ave *i(cove!e* no !eve!(i le e!!o!. Becau(e of t+e e!!o!( in*icate* a ove it follo0( t+at t+e ;u*/ment appeale* f!om mu(t e !eve!(e* an* t+e ca(e !eman*e* fo! a ne0 t!ial. 'u*/ment !eve!(e* an* ca(e !eman*e* fo! a ne0 t!ial. <A)KE, '., *i((ent(.

STATE v. OSWALTNo. >%:%5. 62 Wn.2d 11. (196&) &.1 /.2d 617

4,) S4 4) 56 W S,7184519 :es!ondent9 v. :5; ) :2 5SW 249 !!ellant9 <51 2< M7C, )2 872M 19 <efendant.%
4he Su!reme Court of Wash*n0ton9 <e!artment 4wo. May 99 196&. 7rv*n0 C. /aul9 3r.9 for a!!ellant. Charles 5. Carroll and =*#tor =. ,off9 for res!ondent.

HAM-LTON, '. ,efen*ant appeal(, upon a (+o!t !eco!*, f!om a conviction of !o e!y an* fi!(t *e/!ee u!/la!y. ,u!in/ t!ial, a *efen(e of ali i 0a( int!o*uce*. E!!o! i( a((i/ne* to t+e a*mi((ion of ce!tain !e uttal te(timony, *efen*ant conten*in/ (uc+ evi*ence con(titute* impeac+ment on a collate!al matte!. T+e (+o!t !eco!* efo!e u( =te(timony of t0o 0itne((e(@ in*icate( t+at on 'uly ":, "$%", t0o a!me* men ente!e* t+e Kin/ County !e(i*ence of 2!ank L. 1oo*ell. One man (too* /ua!* ove! a num e! of people at t+e +ome. T+e ot+e! man took M!. 1oo*ell to a T!a*e0ell (to!e an* fo!ce* +im to open t+e (afe an* tu!n ove! t+e money t+e!ein. ,efen*ant 0a( i*entifie* a( one of t+e t0o men. -n p!e(entin/ +i( *efen(e of ali i, *efen*ant calle* a M!. Au/u(t A!*i(( of <o!tlan*, O!e/on. On *i!ect e.amination M!. A!*i(( te(tifie* in (u (tance t+atD +i( 0ife an* +e ope!ate* a !e(tau!ant in <o!tlan*C +e 0a( ac6uainte* 0it+ t+e *efen*ant, a( a fai!ly !e/ula! pat!on of t+e !e(tau!antC *efen*ant 0a( in t+e !e(tau!ant at

5: -mpeac+ment y Ot+e! Mean(

(uc+ time( on 'uly ":, "$%", a( to !en*e! it impo((i le, a( a p!actical matte!, fo! *efen*ant to e in Seattle at t+e time of t+e offen(e c+a!/e*C an* +e !emem e!e* t+i( occa(ion ecau(e *efen*ant +a* accompanie* a !e(tau!ant employee to 0o!k, a((i(te* in a pa!t of +e! 0o!k, an* e(co!te* +e! +ome. On c!o((4e.amination y t+e (tate, t+e follo0in/ e.c+an/e took placeD
'62 Wn.2d 120(

AS. To t+e e(t of you! kno0le*/e 0oul* you (ay O(0alt +a* een in eve!y *ay fo! t+e la(t couple of mont+( o! *i* +e mi(( occa(ional pe!io*( of t+!ee o! fou! *ay(, o! 0+at 0a( itE A. No. - t+ink +e 0a( in t+e!e eve!y *ay. - !eally t+ink +e 0a( in t+e!e eve!y *ay. S. 2o! t+e la(t couple mont+(E A. Ye(.A -n !e uttal, a police *etective 0a( pe!mitte* to te(tify, ove! *efen(e o ;ection(, a( follo0(D AS. ,i* you (ee an* talk to t+e *efen*ant M!. O(0alt on 'une "5, "$%"E A. - *i*. S. An* in 0+at city *i* you talk to +imE A. -n t+e City of Seattle. S. An* *i* you *u!in/ t+at conve!(ation a(k +im +o0 lon/ +e +a* een in t+i( city of Seattle at t+at timeE ... A. - *i*. S. An* +o0 lon/ *i* +e (tate +e +a* een in t+e City of SeattleE A. He (tate* +e +a* a!!ive* in Seattle a couple *ay( efo!e - talke* to +im. S. ,i* +e (tate 0+e!e +e +a* come f!omE A. <o!tlan*, O!e/on.A ,u!in/ collo6uy et0een t+e t!ial cou!t an* coun(el !elative to t+e a*mi((i ility of t+e *etective3( te(timony, t+e t!ial cou!t commente*D AT+e!e i( no claim y O(0alt +e 0a(n3t in Seattle, 1ilman Ka co*efen*antL claim( t+at, ut O(0alt *oe(n3t.A -t i( to t+e !e uttal te(timony of t+e police *etective t+at *efen*ant a((i/n( e!!o!. T+e (tate, in !e(pon(e, conten*( (uc+ te(timony to e a*mi((i le not only ecau(e it c+allen/e( t+e c!e*i ility of 0itne(( A!*i((, ut al(o e(ta li(+e( *efen*ant3( p!e(ence in Seattle p!epa!ato!y to t+e offen(e. K"L -t i( a 0ell !eco/ni?e* an* fi!mly e(ta li(+e* !ule in t+i( ;u!i(*iction, an* el(e0+e!e, t+at a
59 -mpeac+ment y Ot+e! Mean(

0itne(( cannot e impeac+e* upon matte!( collate!al to t+e p!incipal i((ue( ein/ t!ie*. State v. Myers, :& Wn.5* 8:#, 5$# <.5* 59>C State v. Fairfax, :5 Wn.5* &&&, 598 <.5* "5"5C State v. Gilmore, :5 Wn.5* %5:, 59& <.5* 5"9C State v. Putzell, :# Wn.5* "&:, 5:5 <.5* "8#C State v. Kritzer, 5" Wn.5* &"#, "95 <.5* $%&C O'Neil v. Crampton, "8 Wn.5* 9&$, ":# <.5* >#8C Warren v. ynes, : Wn.5* "58, "#5 <.5* %$"C State v. !o"nson, "$5 Wn. :%&, &> <.5* ">:5C State v. San#ros, "8% Wn. :>8, 98 <.5* >%5C State v. Nolon, "5$ Wn. 58:, 55: <ac. $>5C State v. Carroll, ""$ Wn. %5>, 5#% <ac. 9%>C State v. S$"uman,
'62 Wn.2d 121(

8$ Wn. $, "9> <ac. "#8:C State v. Stone, %% Wn. %59, "5# <ac. &%C State v. Carpenter, >5 Wn. 59:, &> <ac. >9&. T+e pu!po(e of t+e !ule i( a(ically t0o4fol*D ="@ avoi*ance of un*ue confu(ion of i((ue(, an* =5@ p!evention of unfai! a*vanta/e ove! a 0itne(( unp!epa!e* to an(0e! conce!nin/ matte!( un!elate* o! !emote to t+e i((ue( at +an*. State v. Fairfax, supra% > Wi/mo!e on Evi*ence =>* e*.@ O "##5, p. %9%. K5L We, in common 0it+ ot+e! ;u!i(*iction(, +ave (tate* t+e te(t of collate!alne(( to eD Coul* t+e fact, a( to 0+ic+ e!!o! i( p!e*icate*, +ave een (+o0n in evi*ence fo! any pu!po(e in*epen*ently of t+e cont!a*ictionE State v. Winters, 9: Wn.5* &#&, >:: <.5* 95%C State v. Gilmore, supra% State v. Kritzer, supra% State v. !o"nson, supra% State v. San#ros, supra. We a!e +an*icappe* y t+e limite* !eco!* efo!e u( in evaluatin/ t+e !elation(+ip of t+e cont!a*icto!y evi*ence in 6ue(tion to t+e /ene!al i((ue( p!e(ente* in t+e t!ial. K>L So fa! a( appea!( y t+i( !eco!*, t+e (ole i((ue !ai(e* y *efen*ant3( *efen(e of ali i, t+!ou/+ t+e *i!ect te(timony of 0itne(( A!*i((, 0a( 0+et+e! o! not t+e *efen*ant 0a( o! coul* +ave een in Seattle at t+e time of t+e offen(e on 'uly ":, "$%". T+e *efen*ant *i* not conten* o! (eek to p!ove y t+i( 0itne(( t+at +e +a* not een in Seattle p!io! to (uc+ *ate. T+u(, fo! pu!po(e( of

impeac+in/ t+i( 0itne((, 0+et+e! t+e *efen*ant 0a( in Seattle on a /iven occa(ion one mont+ p!io! to 'uly ":t+, 0a( i!!elevant an* collate!al. W+ile a c!o((4e.amine! i(, 0it+in t+e (oun* *i(c!etion of t+e t!ial cou!t, pe!mitte* to in6ui!e into collate!al matte!( te(tin/ t+e c!e*i ility of a 0itne((, +e *oe( (o at t+e !i(k of ein/ conclu*e* y t+e an(0e!( /iven. State v. &n#erson, :% Wn.5* 8%:, 589 <.5* 8&$. T+e (tate, +o0eve!, conten*( t+at t+e 6uote* te(timony of A!*i((, a( elicite* y it( c!o((4 e.amination, ca!!ie( 0it+ it an infe!ence t+at *efen*ant coul* not +ave een in Seattle (ufficiently in a*vance of 'uly ":, "$%", to +ave pa!ticipate* in nece((a!y plannin/ of an* p!epa!ation fo! t+e offen(e. Fpon t+e infe!ence (o e!ecte*, t+e (tate a((e!t( t+e 6ue(tione* te(timony ecome( mate!ial an* a*mi((i le
'62 Wn.2d 122(

K9L Havin/ (o conclu*e*, 0e mu(t ne.t *ete!mine 0+et+e! t+e e!!o! 0a( p!e;u*icial. State v. Moore, >9 Wn.5* "#%, 5"" <.5* "&5. -n State v. 'ritton, 5& Wn.5* >>%, >:", "&8 <.5* >:", 0e (ai*D AA +a!mle(( e!!o! i( an e!!o! 0+ic+ i( t!ivial, o! fo!mal, o! me!ely aca*emic, an* 0a( not p!e;u*icial to t+e (u (tantial !i/+t( of t+e pa!ty a((i/nin/ it, an* in no 0ay affecte* t+e final outcome of t+e ca(e.... A... AA p!e;u*icial e!!o! i( an e!!o! 0+ic+ affecte* t+e final !e(ult of t+e ca(e an* 0a( p!e;u*icial to a (u (tantial !i/+t of t+e pa!ty a((i/nin/ it....A K%L -n t+e in(tant ca(e, t+e (tate3( c+a!/e appa!ently !e(te* upon an i*entification of t+e *efen*ant y 0itne((e( at t+e (cene of t+e c!ime. T+e *efen(e appa!ently !e(te* upon ali i. T+e (tate (eemin/ly con(i*e!e* t+e te(timony
'62 Wn.2d 12&(

in*epen*ently of it( cont!a*icto!y natu!e. T+e (tate fu!t+e! (uppo!t( t+i( a!/ument y te(timony elicite* f!om t+e police *etective to t+e effect t+at *efen*ant a*mitte*, in t+e inte!vie0 of 'une "5, "$%", t+at +e +a* pu!c+a(e* (ome a*+e(ive tape. K:L A*mitte*ly, !elevant an* p!o ative evi*ence of p!epa!ation( y an accu(e* fo! t+e commi((ion of a c!ime i( a*mi((i le. State v. Stevenson, "%$ Wn. "#, "> <.5* :&. Ba(e* upon t+e limite* !eco!* efo!e u(, +o0eve!, t+e (tate3( a!/ument !e6ui!e( u( to (peculate t+at t+e *efen*ant coul* not !ea*ily commute et0een <o!tlan* an* Seattle, an* t+at +i( p!e(ence in Seattle an* ac6ui(ition of a*+e(ive tape, upon an i(olate* occa(ion app!o.imately a mont+ efo!e t+e offen(e in 6ue(tion, con(titute* (i/nificant evi*ence of plannin/ an* p!epa!ation fo! t+e offen(e in 6ue(tion, t+e pa!ticula! mec+anic( of 0+ic+ a!e un!eveale* y t+e !eco!*. T+i( 0e *ecline to *o, a (ent effo!t upon t+e pa!t of t+e (tate to o tain a mo!e complete !eco!*. )ule( on Appeal >%, :%=>@, )CW Iol #C Palin v. General Constr. Co., :9 Wn.5* &5", 5&& <.5* &#>. Fpon t+e !eco!* efo!e u(, 0e mu(t conclu*e it 0a( e!!o! to a*mit t+e 6ue(tione* te(timony.

of 0itne(( A!*i(( (ufficiently c!e*i le to !e6ui!e t+i( attack. T+e *efen*ant 0a( convicte*. -t i( *ifficult, t+e!efo!e, to cla((ify a*mi((ion of t+e te(timony in 6ue(tion t!ivial, fo!mal, aca*emic, o! +a!mle((, an* to conclu*e t+at (uc+ *i* not affect t+e outcome of t+e ca(e. T+e alte!native i( t+at it 0a( p!e;u*icial. We (o +ol*. T+e ;u*/ment i( !eve!(e* an* t+e cau(e !eman*e* fo! ne0 t!ial. OTT, C.'., ,ONWO)TH, 2-NLEY, an* HFNTE), ''., concu!. 'une 58, "$%>. <etition fo! !e+ea!in/ *enie*.

5% -mpeac+ment y Ot+e! Mean(

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