When the Lawyer Messes Up, Should the Defendant Suffer the Consequences?

This is the question posed by a criminal procedure case the Supreme Court recently agreed to hear.  In Puckett v. United States (lower court decision at 505 F.3d 377), the prosecutor and defendant entered into a plea agreement: in return for Puckett’s guilty plea, the prosecutor agreed to support Puckett’s request for a sentence reduction based on acceptance of responsibility.  When sentencing occurred, however, the prosecutor actually argued against acceptance, and the district court judge denied the requested reduction.  On appeal, both sides agreed the prosecutor had breached the plea deal, but did not agree on whether Puckett was entitled to withdraw his guilty plea (the typical remedy for a breach).  The problem was that Puckett’s lawyer neglected to argue at sentencing that there had been a breach.  As a result of this forfeiture, the Fifth Circuit reviewed Puckett’s breach claim using the “plain error” standard, which required Puckett to show that the breach actually affected the sentence he received–a difficult burden in most cases because it is hard to know for sure the extent to which a sentencing judge is influenced by a prosecutor’s argument.  Absent the lawyer’s neglect, Puckett would have been entitled to relief without showing prejudice under Santobello v. New York, 404 U.S. 257 (1971).

In the Supreme Court, the parties will argue about whether Puckett and others like him should be penalized through plain error review when their lawyers fail to object at sentencing to the breach of a plea agreement.  As a general matter, I do not care for the “gotcha” games that appellate courts play through forfeiture and plain error doctrines.  I appreciate the judicial economy concerns that are used to justify the requirement that lawyers make all objections to trial court proceedings in a timely fashion, but the stakes are too high in criminal cases to hold clients strictly accountable for their lawyers’ mistakes–especially considering that most criminal defendants cannot afford to pick their own lawyers and are stuck with whomever is appointed to represent them.  I might feel differently in cases in which there is some good reason to think the lawyer intentionally held back on an objection or argument for tactical reasons.  But such cases are rare.  I hope, then, that the Supreme Court make clear in Puckett that breach-of-plea-agreement claims are not subject to plain error review.

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Imagining the Reasonable Jury

As has already been noted here, Dan Kahan dropped by the law school earlier this week and gave three fascinating presentations to the law school community. One, which Michael commented on earlier, was on his paper (co-authored with David Hoffman and Donald Braman) criticizing the Supreme Court’s decision in Scott v. Harris, entitled “Whose Eyes are You Going to Believe? Scott v. Harris and the Perils of Cognitive Illiberalism.”

In brief, Kahan and his co-authors argue that the Supreme Court went awry in Scott by refusing to credit the views of “an identifiable subcommunity” as being within the realm of those held by “reasonable jurors.” This refusal to credit such beliefs with reasonableness, they argue, is potentially destructive of the legitimacy of the justice system.

It’s a fascinating argument, backed by a novel empirical approach to assessing the views of “reasonable jurors” in a use of force case like Scott. But I’m left with a question about the theory, and a question about Scott: Today, I want to focus on the theory: How are judges to tell when the views of “an identifiable subcommunity” are at issue, making summary judgement less appropriate? Monday, I’ll focus on Scott: I’m not certain that the Scott holding is as Kahan et al. describe it, which way may mute their concern.

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Priorities for the Next President: Securities Regulation

The current crisis our nation faces on Wall Street and in the broader economy will be the primary focus of the next President. The crisis is complex, with many facets, and any solution will be equally complex. Issues such as the effectiveness of regulatory oversight versus deregulation, the transparency of specific types of financial transactions and market actors under current law, and the proper accounting rules to ensure an accurate depiction of a banking institution’s financial health will all be part of the debate over how to resolve the present crisis and how to prevent a future recurrence. However, my advice to the next President is that he should not overlook the beneficial role that private civil lawsuits under the securities laws can play in deterring risky market behavior.

Much has been made of the greed and speculative fervor that gripped the investment professionals on Wall Street. Clearly bets were being made with borrowed money that risked the very existence of institutions that are necessary to preserve the liquidity of capital in our markets. Expanding the oversight of the Treasury Department, increasing the transparency of transactions that involve derivatives and hedge funds, and re-examining accounting rules may all be necessary components of a plan to avoid such risk-taking in the future, but they will not be sufficient in and of themselves. From personal experience in the boardroom, I can vouch that nothing deters executive approval of speculative investment strategies as much as the prospect of a potential civil lawsuit if the deal goes sour.

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