Kugler v. Helfant Helfant v. Kugler 8212 80 74 8212 277

• Citation: 44 L.Ed.2d 15,421 U.S. 117,95 S.Ct. 1524
• Decision Date: 28 April 1975
• Docket Number: Nos. 74,s. 74
• Parties: George F. KUGLER, Jr., etc., et al., Petitioners, v. Edwin H. HELFANT. Edwin H. HELFANT, Petitioner, v. George F. KUGLER, Jr., etc., et al. —80 and 74—277
• Court: United States Supreme Court

421 U.S. 117

95 S.Ct. 1524

44 L.Ed.2d 15

George F. KUGLER, Jr., etc., et al., Petitioners,

v Edwin H. HELFANT.

Edwin H. HELFANT, Petitioner,

v. George F. KUGLER, Jr., etc., et al.

Nos. 74—80 and 74—277.

Argued March 25, 1975.

Decided April 28, 1975.

Rehearings Denied June 9, 1975.

See 421 U.S. 1017, 95 S.Ct. 2425, 2426.

Syllabus.

One Helfant, who was a Municipal Court judge and a member of the New Jersey bar, brought this action in District Court permanently to enjoin the State Attorney General and other officials from proceeding with the prosecution of an indictment of Helfant, which had grown out of grand jury testimony that he had given as a result of assertedly collusive coercion by a State Deputy Attorney General and members of the New Jersey Supreme Court, whose significant involvement allegedly made it impossible for Helfant to receive a fair trial in the New Jersey state courts. The District Court issued an order dismissing the complaint, on the basis of Younger v. Harris, 401 U.S. 37, 91 S.Ct. 746, 27 L.Ed.2d 669, which held that unless 'extraordinary circumstances' exist in which irreparable injury can be shown even in the absence of bad faith and harassment, a federal court must not intervene by way of granting injunctive or declaratory relief against a state criminal prosecution. The Court of Appeals, though holding that a permanent injunction of the state criminal prosecution would be inappropriate, reversed the order and remanded the case for an evidentiary hearing on Helfant's coercion charge and for entry of a declaratory judgment, based upon that hearing, on the question whether his grand jury testimony was admissible in the state criminal trial. Helfant claims that fedeal judicial intervention is warranted under Younger's 'extraordinary circumstances' exception because of the assertedly coercive involvement of the members of the New Jersey Supreme Court, who have formidable supervisory and administrative powers over the state court system. Held:

1. Helfant's claim that he cannot obtain a fair hearing in the state courts is without merit, and the facts he alleges do not bring this matter within any exception to the Younger rule so as to warrant the granting of injunctive relief against the state criminal prosecution. Pp. 123-129.

(a) The New Jersey judicial system safeguards a defendant like Helfant against denial of due process of law in the state trial or appellate process by providing that a defendant can disqualify a particular judge from participating in his case, mandating disqualification of an appellate judge whose participation might reasonably lead counsel to believe he was biased, and providing for temporary assignment of substitute Justices where a Supreme Court quorum is lacking. Pp. 126-128.

(b) Four of the six members (including the then Chief Justice) of the New Jersey Supreme Court who participated in the alleged coercion are no longer on that court, and of the two remaining members only one was active in the conduct complained of. P. 128.

(c) The Chief Justice is the administrative head of the New Jersey court system, and the incumbent played no part in the allegedly coercive conduct. P. 128.

2. Federal courts should refuse to intervene in state criminal proceedings to suppress the use of evidence even when claimed to have been unlawfully obtained, Stefanelli v. Minard, 342 U.S. 117, 72 S.Ct. 118, 96 L.Ed. 138; Perez v. Ledesma, 401 U.S. 82, 91 S.Ct. 674, 27 L.Ed.2d 701, and the declaratory judgment procedure ordered by the Court of Appeals would contravene the basic policy against federal interference with state prosecutions as much as would the granting of the injunctive relief sought by Helfant. Pp. 129-131.

3 Cir., 500 F.2d 1188, vacated and remanded.

David S. Baime, East Orange, N.J., for petitioners.

Marvin D. Perskie, Wildwood, N.J., for respondent.

Mr. Justice STEWART delivered the opinion of the Court.

Edwin H. Helfant brought this action in Federal District Court to enjoin the Attorney General of New Jersey and other New Jersey officials from proceeding with the prosecution of an indictment pending against him in that State.¹ His complaint alleged that he had been coerced into testifying before a state grand jury by the concerted action of a State Deputy Attorney General and members of the New Jersey Supreme Court, and that the indictment, charging him with obstruction of justice and false swearing, had grown out of that coerced testimony. His complaint further alleged that the significant role played by the members of the New Jersey Supreme Court in coercing his testimony made it impossible for him to receive a fair trial in the state-court system.

The District Court dismissed the complaint on the ground that the principles of Younger v. Harris, 401 U.S. 37, 91 S.Ct. 746, 27 L.Ed.2d 669, precluded federal intervention in the state criminal proceeding. A three-judge panel of the Court of Appeals for the Third Circuit reversed that order and remanded the case to the District Court for a hearing on the merits of Helfant's request for a permanent injunction. 484 F.2d 1277. Upon petition of the defendant state officials (hereinafter the State), the Court of Appeals then set the case for an en banc rehearing. The full Court of Appeals held that a permanent injunction against the state criminal prosecution would be inappropriate, but, with three judges dissenting, nonetheless reversed the trial court's order of dismissal. The Court of Appeals remanded the case for the purpose of an evidentiary hearing in the District Court on Helfant's charge that his grand jury testimony had been coerced, and for the entry of a declaratory judgment, based upon that hearing, on the question whether Helfant's grand jury testimony should be admitted into evidence at the state criminal trial. The District Court was directed to enjoin further proceedings in the state criminal prosecution pending entry of its declaratory judgment. 3 Cir., 500 F.2d 1188.

The State filed a petition for a writ of certiorari, seeking review of the Court of Appeals' remand to the District Court for an evidentiary hearing and declaratory judgment on the issue of coercion. Helfant filed a cross-petition for a writ of certiorari, challenging the Court of Appeals' decision that permanent injunctive relief was not warranted. We granted both petitions to consider the propriety of federal-court intervention in pending state criminal proceedings in the circumstances of this case. 419 U.S. 1019, 95 S.Ct. 492, 42 L.Ed.2d 292.

I

Helfant was a Municipal Court Judge and a member of the New Jersey bar. He was subpoenaed to appear on October 18, 1972, before a state grand jury. There he was advised that he was a target of the grand jury's investigation into an episode allegedly involving corruption of the process of state criminal justice. Upon the advice of counsel, he invoked his constitutional privilege against compulsory self-incrimination and refused to testify before the grand jury. He was again subpoenaed to appear before the grand jury on November 8, 1972. On November 6, 1972, he received a telephone call from the Administrative Director of the New Jersey Courts requesting him to come to the conference room of the Justices of the New Jersey Supreme Court on the morning of November 8 just before his scheduled grand jury appearance.² He complied with this request.

In his federal complaint, Helfant alleged that at that meeting he was interrogated by the Chief Justice and other members of the Supreme Court concerning the subject matter of the grand jury investigation, including matters not then public, and was also sharply questioned about the propriety of a Municipal Judge's invoking the privilege against compulsory self-incrimination before a grand jury. The complaint further alleged that the Justices' questions were based on grand jury minutes that had been provided them by the Deputy Attorney General who was conducting the grand jury investigation, and who had been present in the conference room of the Supreme Court both before and after Helfant's interview.

The federal complaint went on to allege that as a result of this questioning Helfant, 'fearing not only the loss of Judgeship, but for his accreditation as a member of the bar as well,' indicated to the Justices that he would waive his privilege and testify in full before the grand jury. After leaving the conference room, Helfant did testify before the grand jury, denying any improper involvement in the episode under investigation. Some two months later the grand jury returned an indictment charging Helfant with conspiracy to obstruct justice, obstruction of justice, compounding a felony, and with four counts of false swearing.

The federal complaint finally alleged that federal injunctive relief was necessary because it would be im- possible for Helfant to receive a fair trial in the New Jersey state courts:

'As a result of the intrusion by the Deputy Attorney General and the disclosure to the Supreme Court of factual matters involved in a Grand Jury investigation during pendency of that investigation, and because of the intrustion of the New Jersey Supreme Court into the Grand Jury investigation and the communication between the Supreme Court of New Jersey and the Deputy Attorney General conducting the Grand Jury investigation, the plaintiff herein is made to suffer great, immediate, substantial and irreparable harm in that he must attempt to defend criminal charges brought in a State in which there has been prejudicial collusion directly affecting plaintiff, whether intentional or inadvertent between the Judicial and Executive branches of the New Jersey State government. Plaintiff is being made to defend criminal charges which have been obtained inter alia, as a result of that collusion, and the deprivation of plaintiff's constitutional rights by not too subtle cooperative coercion on the part of the defendants. Furthermore, in the event...