Anthony Rozelle Banks v. Dan M. Reynolds, Warden, Oklahoma State Penitentiary, McAlester Oklahoma Susan B. Loving, Attorney General of Oklahoma, 54 F.3d 1508, 10th Cir. (1995)
Anthony Rozelle Banks v. Dan M. Reynolds, Warden, Oklahoma State Penitentiary, McAlester Oklahoma Susan B. Loving, Attorney General of Oklahoma, 54 F.3d 1508, 10th Cir. (1995)
Anthony Rozelle Banks v. Dan M. Reynolds, Warden, Oklahoma State Penitentiary, McAlester Oklahoma Susan B. Loving, Attorney General of Oklahoma, 54 F.3d 1508, 10th Cir. (1995)
3d 1508
Sandra D. Howard, Asst. Atty. Gen. (Susan B. Loving, Atty. Gen., with
her on the brief), Oklahoma City, OK, for appellants.
James T. Priest, McKinney, Stringer & Webster, P.C., Oklahoma City,
OK, for appellee.
Before MOORE, ANDERSON, and BALDOCK, Circuit Judges.
STEPHEN H. ANDERSON, Circuit Judge.
Anthony Rozelle Banks was convicted of first-degree murder for the 1978
shooting of David Fremin, and he presently is incarcerated at the Oklahoma
State Penitentiary under a sentence of death. Mr. Banks filed this, his first
federal habeas corpus petition, raising twenty-seven claims. The district court
entered judgment in favor of Mr. Banks on three of these claims: (1) that the
prosecution had suppressed exculpatory evidence in violation of Brady v.
Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963); (2) that Mr.
Banks received ineffective assistance from his trial counsel; and (3) that he
received ineffective assistance from his appellate counsel.1 The court ordered
that Mr. Banks was to be retried within 120 days or the writ of habeas corpus
would issue. The State has appealed.2
After careful review of the record in this case, we hold that the prosecution's
failure to disclose material exculpatory evidence to the defense rendered the
On April 11, 1978, David Fremin, the night clerk at a Git-N-Go convenience
store in Tulsa, Oklahoma, was shot and killed during an armed robbery.
Approximately one week later, a preliminary information was filed against
Terrence Wallace Dean, and he was arrested for the crime. Two witnesses,
William Gullick and Thomas Landsaw, identified Dean, through a
photographic lineup, as having been in the store just prior to the murder.3
On May 31, 1978, the charges against Dean were dropped and an indictment
was obtained against another man, Norman Lee Hicks. Hicks' name had been
inserted as the payee on one of the money orders taken in the Git-N-Go
robbery. At the preliminary hearing, Gullick and Landsaw both testified that
they had misidentified Dean as the individual they had seen in the store the
morning of the murder, and that it had in fact been Hicks whom they had
witnessed.4 In addition, Wayne Conn testified that Hicks had confessed the
crime to him while the two were in jail together. Following the preliminary
hearing, Hicks was bound over for trial on the first-degree murder charge.
Several months later, however, the State amended the indictment to possession
of a forged instrument and dropped the first-degree murder charge. Hicks pled
guilty to the forgery charge. Throughout the proceedings, Hicks was
represented by Leslie Earl, an attorney with the Tulsa County Public Defender's
Office.
On November 7, 1979, eighteen months after the crime, while in the Tulsa
County jail on an unrelated charge, Anthony Banks gave a recorded statement
to a Tulsa County assistant district attorney, Ron Shaffer, implicating Billy
James McClure as the individual who had murdered David Fremin.5 During the
course of this statement, Mr. Banks acknowledged his own presence at the
scene of the crime, but denied any involvement in the robbery or the murder.
Two days later, Anthony's brother, Walter Thomas Banks, also gave a statement
to the district attorney's office implicating McClure. The State filed murder
charges against McClure on November 14, 1979.
The information was amended on July 29, 1980, to include charges against
Anthony and Walter Banks, as codefendants in the Fremin murder. On
September 9, 1980, following a preliminary hearing, Anthony and Walter
Banks were bound over for trial. The court granted a demurrer with respect to
McClure, however, finding insufficient evidence to bind him over. R.Vol. II,
The Tulsa County Public Defender's Office had been appointed to represent
both Anthony and Walter Banks. However, because of a conflict of interest, the
office withdrew as counsel to Walter. He was represented at trial by Howard
Sell, a private Tulsa attorney. Anthony Banks was represented by Leslie Earl,
the same public defender who previously had represented Norman Hicks on the
Fremin murder charge.
During pretrial discovery, defense counsel sought from the Tulsa County
District Attorney's Office and the Tulsa Police Department any materials
"which could reasonably affect the determination of the Defendant's guilt or
innocence ... whether or not the State feels the material is exculpatory in
nature." R.Vol. II, Motion to Produce (Sept. 12, 1980) at 1. At a motion
hearing, in response to defense counsel's inquiry as to whether all exculpatory
or mitigating evidence had been turned over, the prosecuting attorney
responded, "I do not know of anything in my file that would mitigate
punishment that they [defense counsel] don't already have." R.Vol. II, Motion
Hearing (Feb. 9, 1981) at 8.
10
Anthony and Walter Banks were tried in February 1981. The following
evidence was presented at trial:(1) Traci Banks, who had been Anthony Banks'
girlfriend at the time of the murder6 and who had been living with him at
Walter's apartment, testified that at approximately 3:00 a.m. on the morning of
April 11, 1978, Anthony, Walter, and a friend, Val Gene Hicks,7 had left the
apartment to "go do something" at the Git-N-Go store on 64th and Peoria.
R.Vol. II, Trial Tr. at 126. She testified that Anthony and Walter returned at
approximately 5:00 a.m. and that Anthony had with him a small brown box
containing paper money, coins, food stamps, money orders, and a wallet
belonging to David Fremin. Id. at 128-29. She testified that she took note of Mr.
Fremin's age, twenty-one, because he "had just had a birthday in February." Id.
at 140.
11
Ms. Banks testified that Anthony told her he and Walter had robbed the Git-N-
11
Ms. Banks testified that Anthony told her he and Walter had robbed the Git-NGo. According to her account, Walter kept watch outside while Anthony went
in, robbed the store, and shot Mr. Fremin. She testified that Anthony told her he
shot Fremin because he wanted to avoid being identified. Id. at 130-31. Finally,
Traci testified that Anthony and Walter left at approximately 5:30 a.m. to go to
"the north side" in order to dispose of the brown box, money orders, and wallet.
Id. at 131-32.
12
(2) Walter Banks testified that he and Anthony had left the apartment at
approximately 2:00 a.m. in order to take Val Gene Hicks to his apartment. He
disputed Ms. Banks' testimony that he and Anthony had discussed going to the
Git-N-Go store, however. Walter testified that after the two men dropped Hicks
off at his apartment, Anthony told him that he intended to "make some kind of
hustle," which Walter took to mean steal some money. Id. at 275, 298. Walter
claimed that he did not want to be involved and that he, therefore, had Anthony
drop him off at his girlfriend's apartment.8 According to Walter, Anthony
returned approximately thirty minutes later, at which time the two of them
returned to Walter's apartment. Although he testified that he observed a brown
paper sack and a tray in the back seat of the car, Walter claimed he and
Anthony did not discuss the items or where Anthony had obtained them. Walter
stated that upon return to the apartment, he observed Traci and Anthony
counting money. Again, however, Walter claimed that he made no inquiry
regarding the money.
13
(3) Robert Yerton, a fingerprint expert, testified that eighteen latent prints had
been lifted from the crime scene. Of those, one palm print, lifted from the
counter at the convenience store, was identified as belonging to Anthony
Banks.
14
(4) Anthony Banks testified in his own behalf, relating the same story he
previously had told police. He testified that at approximately 2:15 a.m. on the
morning of April 11, he and Walter took Val Gene Hicks home. Afterwards,
they stopped at the Git-N-Go, a store that Anthony claimed he frequented, in
order to get some beer and a sandwich. He claimed that as he stood at the
counter talking to Fremin, whom he had known for some time, Billy McClure
entered the store carrying a handgun and motioned for Anthony and Walter to
leave.9 He testified that as they were exiting the store, they heard a gunshot.
McClure then came out of the store carrying the cash drawer and forced the
Banks brothers, at gunpoint, to drive him to north Tulsa, where McClure got
out and the Banks brothers drove on. Anthony testified that a few days later, as
he and Walter cleaned out the car, they found some money orders, apparently
left by McClure, which Anthony took to Norman Hicks. Hicks was going to
pass the money orders and split the proceeds with Anthony.
15
Following eight hours of deliberation, the jury found both Anthony and Walter
guilty of first-degree murder. During the penalty phase of the trial, the jury
found three statutory aggravating factors against Anthony Banks: (1) he had
previously been convicted of a violent felony involving the use or threat of
violence to the person; (2) the murder was committed for the purpose of
avoiding or preventing a lawful arrest or prosecution; and (3) the existence of a
probability that he would commit criminal acts of violence that would
constitute a continuing threat to society. R.Vol. II, Trial Tr. at 448-49. The jury
fixed punishment for Anthony Banks at death. The jury fixed punishment for
Walter Banks at life imprisonment.
16
On direct appeal, both Anthony and Walter were represented by Steve Lowery,
an attorney with the Tulsa County Public Defender's Office. Mr. Banks'
conviction was affirmed. Banks v. State, 701 P.2d 418 (Okla.Crim.App.1985).
Mr. Banks then filed his first application for post-conviction relief in state
court, still represented by Mr. Lowery. The court denied post-conviction relief,
and the court of criminal appeals affirmed. Banks v. State, No. PC-86-765
(Okla.Crim.App.1989).
17
In 1989, Mr. Banks, represented by Jim T. Priest, his current counsel, moved to
strike the first application for post-conviction relief. He also filed a second
amended application for post-conviction relief, raising twenty-nine claims. For
the first time, Mr. Banks claimed that the prosecution had withheld exculpatory
information in violation of Brady, and that he had received ineffective
assistance from his trial counsel. Mr. Banks claimed that his failure to raise
these claims on direct appeal was due to ineffective assistance of appellate
counsel.
18
The state district court denied both his motion to strike and his application for
post-conviction relief. The court of criminal appeals affirmed, Banks v. State,
810 P.2d 1286 (Okla.Crim.App.1991), concluding that Mr. Banks had failed to
establish adequate cause for his failure to raise nineteen of his claims on direct
appeal or in his first application for post conviction relief.10 The court
specifically addressed Mr. Banks' contention that ineffective assistance of
appellate counsel had "caused" his default, finding that Mr. Lowery provided
constitutionally effective assistance on direct appeal. Id. at 1297.
19
Having exhausted his state court remedies, 11 Mr. Banks filed the instant
petition for a writ of habeas corpus. The federal district court held an
evidentiary hearing on Mr. Banks' ineffective assistance of counsel claims and
the Brady claim. Among those testifying on Mr. Banks' behalf were Leslie Earl
and Frank McCarthy, Mr. Banks' trial counsel; Jonnie O'Neal, another attorney
in the public defender's office at the time of Mr. Banks' trial; and Don Ed
Payne, a former district attorney who testified as an expert on attorney
ineffectiveness. Jerry Truster, the prosecuting attorney in Mr. Banks' case,
testified for the State.
20
Mr. Earl testified that at the time he represented Anthony Banks, he had no
recollection of his prior representation of Norman Lee Hicks. Mr. McCarthy
and Mr. O'Neal also testified that they had no knowledge of the Dean/Hicks
information at the time of the Banks trial. All three testified that, given the
work load of each public defender at the time (350-400 cases per attorney per
year), it would not have been unusual for an attorney in the public defender's
office to have forgotten the name of a person he or she previously had
represented at a preliminary hearing.
21
The district court found that, at the time of the Banks trial, Mr. Earl did not
have any knowledge of his prior representation of Norman Lee Hicks, nor was
it reasonable to expect that he would have remembered representing Hicks. The
court concluded that exculpatory evidence had been suppressed by the
prosecution in violation of Brady. The court also concluded that Mr. Banks
received ineffective assistance from both his trial and appellate counsel and that
his claims were not procedurally barred. Accordingly, the court ordered the
writ of habeas corpus to issue unless the State retried Mr. Banks within 120
days.
DISCUSSION
22
The State initially argues that the district court erred in reaching the merits of
Mr. Banks' Brady and ineffective assistance of trial counsel claims because,
according to the State, these claims are procedurally barred. As to Mr. Banks'
substantive claims, the State argues that the prosecution did not have a duty
under Brady to disclose the Dean/Hicks information because Mr. Banks'
counsel either knew, or should have known, about the evidence. The State
claims, in any event, that the evidence was not "material" under Brady. With
respect to the ineffective assistance claims, the State argues that, in analyzing
counsel's effectiveness, the district court failed to properly apply the standard
established under Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80
L.Ed.2d 674 (1984). We address each of these issues in turn.
I. Procedural Bar
23
The State argues that Mr. Banks' Brady and ineffectiveness claims are
procedurally barred because he failed to raise these issues on direct appeal.
Thus, according to the State, these issues "can only be considered on habeas
review if Petitioner demonstrates cause and prejudice for his failure to raise the
issue[s]." Appellant's Br. at 33.
24
In Coleman v. Thompson, 501 U.S. 722, 111 S.Ct. 2546, 115 L.Ed.2d 640
(1991), the Supreme Court made it explicit that
25 all cases in which a state prisoner has defaulted his federal claims in state court
[i]n
pursuant to an independent and adequate state procedural rule, federal habeas review
of the claims is barred unless the prisoner can demonstrate cause for the default and
actual prejudice as a result of the alleged violation of federal law, or demonstrate that
failure to consider the claims will result in a fundamental miscarriage of justice.
26
27
Under Oklahoma law, "[m]atters which have or could have been raised on
direct appeal but were not will not be considered in post-conviction
proceedings." Fisher v. State, 845 P.2d 1272, 1274 (Okla.Crim.App.1992). In
this case, the Oklahoma Court of Criminal Appeals held that by failing to raise
his Brady and ineffectiveness claims on direct appeal, Mr. Banks waived
collateral review of those issues. Banks v. State, 810 P.2d 1286, 1289 n. 2,
1297 (Okla.Crim.App.1991). Thus, the procedural bar applied by the court of
criminal appeals clearly was an "independent" state ground as it was the
exclusive basis for the state court's holding. See Brecheen v. Reynolds, 41 F.3d
1343, 1363 (10th Cir.1994); Steele v. Young, 11 F.3d 1518, 1521 (10th
Cir.1993). We need not decide whether the procedural bar was "adequate,"12
however, because we hold that Mr. Banks has, in any event, established "cause"
for any procedural default and he has demonstrated actual "prejudice" as a
result. See United States v. Cook, 45 F.3d 388, 392-96 (10th Cir.1995).
28
A habeas petitioner may establish cause for his procedural default by showing
that he received ineffective assistance of counsel in violation of the Sixth
Amendment. Murray v. Carrier, 477 U.S. 478, 488-89, 106 S.Ct. 2639, 264546, 91 L.Ed.2d 397 (1986); Cook, 45 F.3d at 392; see Hardiman v. Reynolds,
971 F.2d 500, 505-06 (10th Cir.1992).
29
of the Strickland analysis present mixed questions of law and fact which we
review de novo. Brecheen, 41 F.3d at 1365-66.
30
When a habeas petitioner alleges that his counsel was ineffective for failing to
raise an issue on appeal, we examine the merits of the omitted issue. Cook, 45
F.3d at 392-93; Dixon, 1 F.3d at 1083. Failure to raise an issue that is without
merit "does not constitute constitutionally ineffective assistance of counsel," id.
at 1083 n. 5, because the Sixth Amendment does not require an attorney to raise
every nonfrivolous issue on appeal. See Jones v. Barnes, 463 U.S. 745, 751,
103 S.Ct. 3308, 3312-13, 77 L.Ed.2d 987 (1983). Thus, counsel frequently will
"winnow out" weaker claims in order to focus effectively on those more likely
to prevail. Smith v. Murray, 477 U.S. 527, 536, 106 S.Ct. 2661, 2667, 91
L.Ed.2d 434 (1986); see Tapia v. Tansy, 926 F.2d 1554, 1564 (10th Cir.), cert.
denied, 502 U.S. 835, 112 S.Ct. 115, 116 L.Ed.2d 84 (1991). However, "an
appellate advocate may deliver deficient performance and prejudice a defendant
by omitting a 'dead-bang winner,' even though counsel may have presented
strong but unsuccessful claims on appeal." Cook, 45 F.3d at 394-95 (citing
Page v. United States, 884 F.2d 300, 302 (7th Cir.1989)). 13
31
In this case, Mr. Banks' appellate counsel failed to raise either the Brady claim
or the ineffective assistance of trial counsel claim on direct appeal.14 These
were not frivolous or weak claims amenable to being winnowed out of an
otherwise strong brief. They were clearly meritorious.15
32
Mr. Lowery argued on direct appeal that Leslie Earl's prior representation of
Norman Hicks presented a conflict of interest. See Banks v. State, 810 P.2d
1286, 1295 (Okla.Crim.App.1991). Thus, Mr. Lowery obviously was aware
that Norman Hicks had been arrested for the Fremin murder and bound over for
trial. Furthermore, the fact that Mr. Earl requested, but did not receive from the
prosecution, any information relating to Hicks' arrest and bind over was
"obvious from the trial record."16 Cook, 45 F.3d at 394-95. Thus, viewed "
'from the perspective of counsel at the time,' " Brecheen, 41 F.3d at 1365
(quoting Porter v. Singletary, 14 F.3d 554, 558 (11th Cir.1994), cert. denied, --U.S. ----, 115 S.Ct. 532, 130 L.Ed.2d 435 (1994)), it is clear that Mr. Lowery
had available to him all information necessary to raise the Brady and ineffective
assistance claims on direct appeal. By failing to do so, his representation of Mr.
Banks fell below "an objective standard of reasonableness." Id.; see Osborn v.
Schillinger, 861 F.2d 612, 625 (10th Cir.1988).
33
Having determined that Mr. Lowery's performance was deficient, we now must
consider whether Mr. Banks has shown prejudice as a result. Mr. Banks bears
the burden of establishing that "there is a reasonable probability that, but for
counsel's unprofessional errors, the result of the proceeding would have been
different. A reasonable probability is a probability sufficient to undermine
confidence in the outcome." Strickland, 466 U.S. at 694, 104 S.Ct. at 2068;
Brecheen, 41 F.3d at 1365; Stafford v. Saffle, 34 F.3d 1557, 1564 (10th
Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 1830, 131 L.Ed.2d 751 (1995).
34
In Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), the
Supreme Court held that "the suppression by the prosecution of evidence
favorable to an accused upon request violates due process where the evidence is
material either to guilt or to punishment, irrespective of the good faith or bad
faith of the prosecution." Id. at 87, 83 S.Ct. at 1196-97; see Kyles v. Whitley, -- U.S. ----, ----, 115 S.Ct. 1555, 1564, 131 L.Ed.2d 490 (1995); United States v.
Bagley, 473 U.S. 667, 674, 105 S.Ct. 3375, 3379, 87 L.Ed.2d 481 (1985);
United States v. Robinson, 39 F.3d 1115, 1118 (10th Cir.1994); Bowen v.
Maynard, 799 F.2d 593, 602 (10th Cir.), cert. denied, 479 U.S. 962, 107 S.Ct.
458, 93 L.Ed.2d 404 (1986).
36
In order to establish a Brady violation, a habeas petitioner must show that: (1)
the prosecution suppressed evidence; (2) the evidence was favorable to the
accused; and (3) the evidence was material to the defense. Fero v. Kerby, 39
F.3d 1462, 1472 (10th Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 2278, 132
L.Ed.2d 282 (1995); United States v. DeLuna, 10 F.3d 1529, 1534 (10th
Cir.1993). Whether the government was required to disclose certain evidence
under Brady is a mixed question of law and fact which we review de novo.
United States v. Hughes, 33 F.3d 1248, 1251 (10th Cir.1994); Ballinger v.
Kerby, 3 F.3d 1371, 1375 (10th Cir.1993).
37
In reviewing Mr. Banks' Brady claim, we must bear in mind that the primary
consideration under Brady is fairness. Thus, we "should affirm the federal
district court only if 'the omission deprived the defendant of a fair trial.' "
Ballinger, 3 F.3d at 1377 (Kelly, J., dissenting) (quoting Agurs, 427 U.S. at
108, 96 S.Ct. at 2399).
38
In this case, the State readily admits that it did not disclose the Dean/Hicks
information to the defense. However, the State maintains that Brady only
requires the prosecution to disclose information which is otherwise unknown to
the defendant.17 Because Mr. Banks' trial counsel knew or should have known
that Dean and Hicks previously had been arrested for the crime, the State
maintains that the prosecution had no obligation to turn over the Dean/Hicks
information. We disagree.
39
Whether the defense knows or should know about evidence in the possession of
the prosecution certainly will bear on whether there has been a Brady violation.
Obviously, if the defense already has a particular piece of evidence, the
prosecution's disclosure of that evidence would, in many cases, be cumulative
and the withheld evidence would not be material. See Mustread v. Gilmore, 966
F.2d 1148, 1152 (7th Cir.1992); Hughes v. Hopper, 629 F.2d 1036, 1040 (5th
Cir.1980), cert. denied, 450 U.S. 933, 101 S.Ct. 1396, 67 L.Ed.2d 367 (1981).
40
However, the prosecution's obligation to turn over the evidence in the first
instance stands independent of the defendant's knowledge. Simply stated, "[i]f
the prosecution possesses evidence that, in the context of a particular case is
obviously exculpatory, then it has an obligation to disclose it to defense counsel
whether a general request is made or whether no request is made." Smith v.
Secretary of N.M. Dep't of Corrections, 50 F.3d 801, 826 (10th Cir.1995); see
Bagley, 473 U.S. at 682, 105 S.Ct. at 3383-84 (Blackmun, J.); id. at 685, 105
S.Ct. at 3385 (White, J.). In this case, the fact that defense counsel "knew or
should have known" about the Dean/Hicks information, therefore, is irrelevant
to whether the prosecution had an obligation to disclose the information. The
only relevant inquiry is whether the information was "exculpatory."18
41
The prosecution is not required under Brady to "make a complete and detailed
accounting to the defense of all police investigatory work on a case," Moore v.
Illinois, 408 U.S. 786, 795, 92 S.Ct. 2562, 2568, 33 L.Ed.2d 706 (1972), nor
must the prosecutor "disclose possible theories of the defense to a defendant."
United States v. Comosona, 848 F.2d 1110, 1115 (10th Cir.1988). It must only
disclose exculpatory evidence. The exculpatory nature of particular evidence,
however, "can seldom be predicted accurately until the entire record is
complete." Agurs, 427 U.S. at 108, 96 S.Ct. at 2399.
42
43
This is not a close case. The State maintains that the Dean/Hicks evidence was
not disclosed to Mr. Banks' defense counsel because it was not exculpatory.21
The prosecution, however, had information that at least three men had been
arrested for the crime that Mr. Banks was charged with having committed; two
eye witnesses had reported seeing two black males in the store just prior to the
crime, and both witnesses positively identified Norman Lee Hicks as one of
these men; a third witness reported seeing three black males in the store shortly
before the crime--a fact contradictory to the prosecution's theory that Mr.
Banks entered the store alone; and Wayne Conn testified that Hicks had
confessed the crime to him. This evidence would clearly tend to suggest that
Mr. Banks was not the perpetrator of the crime. Thus, it was exculpatory22 and
the prosecution was obliged to disclose the information to the defense.
44
Even were we to adopt the State's position, that the prosecution has no duty to
disclose information which the defense knows or reasonably should know
about, we would still conclude that, in this case, the prosecution breached its
duty under Brady. The district court specifically found that Leslie Earl did not
have knowledge of his prior representation of Hicks at the time he represented
Mr. Banks. R.Vol. I, Doc. 39 at 8-9. The court further found that, given the
work load of the public defender's office, it was not unreasonable that Mr. Earl
did not remember his prior representation. Id. at 9. Absent clear error, we
accept the district court's findings of fact. Thomas v. Kerby, 44 F.3d 884, 886
(10th Cir.1995). Finding no error in this case, we accept the court's finding that
Mr. Earl neither knew nor should have known about the withheld evidence. In
short, the prosecution breached its obligation to disclose exculpatory evidence
to the defense. We now consider whether the withheld evidence was material.
45
46
47
Our materiality review does not include speculation. "The mere possibility that
evidence is exculpatory does not satisfy the constitutional materiality standard."
United States v. Fleming, 19 F.3d 1325, 1331 (10th Cir.), cert. denied --- U.S. ---, 115 S.Ct. 93, 130 L.Ed.2d 44 (1994); Ballinger, 3 F.3d at 1377 (Kelly, J.,
dissenting); see also Agurs, 427 U.S. at 109-10, 96 S.Ct. at 2400-01. However,
we do recognize that evidence in the hands of a competent defense attorney
may be used "to uncover other leads and defense theories." Bowen, 799 F.2d at
612. Thus, we may draw reasonable inferences as to what those other lines of
defense may have been.
48
In this case, while the testimony of Walter Banks and the latent palm print
lifted from the Git-N-Go counter are corroborative, the State's case against
Anthony Banks stands or falls on the testimony of his ex-wife, Traci Banks.
She testified that he confessed the crime to her and she witnessed him counting
the money taken in the robbery. This was, by far, the most damning evidence
against Anthony Banks.
49
50
While Ms. Banks was the key prosecution witness, Walter Banks also testified.
Although his testimony was consistent with that of Traci Banks, the story that
he recited to the jury was the fourth one he had told. Upon being brought into
the Tulsa Police Department for questioning, he told investigators that he knew
nothing of the Fremin murders. After being informed that he had failed a
polygraph test, however, he changed that story, relating the same story that
Anthony had told two days earlier. However, upon the officers' suggestion that
his version was implausible, Walter changed his story yet again. R.Vol. II,
Trial Tr. at 285-86. He gave a statement, which was recorded, stating that Billy
McClure had been with him and with Anthony throughout the morning. He
stated that he and Anthony had gone into the Git-N-Go to purchase food and
beer while McClure waited in the car. To their surprise, McClure came into the
store with a gun, robbed the store, and shot Fremin. He then had the Banks
brothers drop him off in north Tulsa. R.Vol. II, Recorded Statement of Walter
Banks (Nov. 9, 1979). Finally, Walter gave a fourth version. Facing a possible
death sentence, he testified at trial that his brother dropped him off and
appeared later with the fruits of the robbery. See R.Vol. II, Trial Tr. at 283-87.
According to Walter, however, the two brothers never discussed the crime, nor
did Walter ever inquire as to where the money came from, nor did he receive
any of the money. R.Vol. II, Trial Tr. at 276-82.
51
The State also introduced the latent palm print lifted from the crime scene and
identified as belonging to Mr. Banks. 26 The print had been lifted from the
check-out counter of the store. The record does not reveal whether the prints of
Norman Lee Hicks were compared to the eighteen lifted from the crime
scene. 27
52
In short, the evidence against Anthony Banks was not overwhelming and it
rested primarily on the shoulders of Traci Banks. Mr. Banks' defense was that
Billy McClure had committed the crime. His only rebuttal to the State's case
was his own incredible testimony that his prison acquaintance, Billy McClure,
whom he had not seen in over a year, suddenly appeared out of the night,
robbed the store, killed Mr. Fremin, car-jacked Anthony and Walter Banks, and
then disappeared again into the darkness. However, Mr. McCarthy testified at
the federal hearing that, had the defense had the Dean/Hicks information, Mr.
Banks would not have testified at all.28 R.Vol. III at 29. Instead, the defense
would have been that Norman Hicks committed the crime. Id. Significant
evidence supports such a theory.
53
54
Additional support for the theory that Hicks committed the crime is found in
the testimony of Hicks' jail mate, Wayne Conn. Mr. Conn testified at Hicks'
preliminary hearing that Hicks told him
55 him and two of his partners were out smoking and taking some Qualudin and
that
that they came upon this Convenience Store, this Quick Trip31 out on Sheridan
...
56
...
57
58
[T]he best I can remember, he said that him and another guy entered the store,
and then they left because of this youngster 32 who came out and then they went
back, they went inside and one stayed outside and this other guy was in the
store and that this kid that got shot he freaked and they grabbed the money and
the money orders.
59
R.Vol. II, Hicks Prelim. at 58. This testimony, that at least two and perhaps
three individuals had entered the store, would have been consistent with that of
Landsaw, Gullick, and Ganner.
60
The State introduced no physical evidence linking Anthony Banks to the fruits
of the crime. However, the money orders taken in the Git-N-Go robbery had
been recovered bearing the name of Norman Lee Hicks. Handwriting analysis
positively identified Hicks as the person who signed the money orders and he
ultimately pled guilty to possession of a forged instrument. Undoubtedly, taken
in combination with four witnesses who placed Norman Hicks at the crime
scene, this evidence would have been highly significant.
61
Medical testimony established that Mr. Fremin died as the result of a .22 caliber
gunshot wound to the head. R.Vol. II, Trial Tr. at 65-67. At trial, the State did
not introduce a murder weapon or the results of any ballistics testing. However,
approximately eight months after David Fremin was shot with a .22 caliber
weapon, but prior to Anthony Banks' arrest, Norman Lee Hicks pled nolo
contendere to first-degree manslaughter in the shooting death of Billie Ray
Cochran.33 This evidence, had it been presented to the Banks jury,34 may have
been viewed as linking Norman Hicks to the murder of David Fremin, casting
further doubt on the guilt of Anthony Banks.
62
63
Our task is considerably more narrow. The test is "whether we can be confident
63
Our task is considerably more narrow. The test is "whether we can be confident
that the jury would have returned the same verdict had the Brady violation not
occurred." Bartholomew v. Wood, 34 F.3d 870, 874 (9th Cir.1994), petition for
cert. filed, 63 U.S.L.W. 3644 (Feb. 14, 1995) (No. 94-1419); see Kyles, --- U.S.
----, ----, 115 S.Ct. 1555, 1574 ("[T]he question is not whether the State would
have had a case to go to the jury if it had disclosed the favorable evidence, but
whether we can be confident that the jury's verdict would have been the
same."). Admittedly, on the dispositive point, this is a close case. However, the
four witnesses whose testimony would have implicated Norman Hicks, the
physical evidence linking him to the crime, and the relative strength of the
State's case against Anthony Banks, suggest the reasonable probability that the
wrong man is to be executed.
64
"Our duty to search for constitutional error with painstaking care is never more
exacting than it is in a capital case." Burger v. Kemp, 483 U.S. 776, 785, 107
S.Ct. 3114, 3121, 97 L.Ed.2d 638 (1987); see Kyles, --- U.S. at ----, 115 S.Ct. at
1559-60. In this case, the State's suppression of exculpatory evidence deprived
Mr. Banks of a fair trial and it has undermined our confidence in the jury's
verdict and sentence. See id. at ----, 115 S.Ct. at 1565. Accordingly, we hold
that the prosecution's failure to comply with the mandate of Brady v. Maryland
and to disclose material exculpatory evidence violated Mr. Banks'
constitutional right to due process.
65
Because the withheld evidence was exculpatory and material under Brady, the
prosecution's failure to disclose it was harmful as a matter of law. See Agurs,
427 U.S. at 112, 96 S.Ct. at 2402. Thus, "there is no need for further harmlesserror review." Kyles, --- U.S. at ----, 115 S.Ct. at 1566; cf. O'Neal v. McAninch,
--- U.S. ----, 115 S.Ct. 992, 130 L.Ed.2d 947 (1995); Lockhart v. Fretwell, --U.S. ----, ---- - ---- n. 2, 113 S.Ct. 838, 842-43 n. 2, 122 L.Ed.2d 180 (1993).
66
Our disposition of this case on the Brady issue makes consideration of Mr.
Banks' second proposition, that he received ineffective assistance from his trial
counsel, unnecessary. We therefore do not address the issue.
67
The district court properly granted the petition for a writ of habeas corpus. The
judgment of the district court is AFFIRMED. The stay previously entered in
this case shall remain in effect until further order of the district court.
Because the court disposed of Mr. Banks' petition on these grounds, the court
did not reach most of the remaining claims. The court did, however, address his
contention that Oklahoma's "continuing threat" aggravating factor is facially
The district court granted the State's motion to stay the judgment "pending the
resolution of this matter on appeal." See R.Vol. I, Doc. 41
Mr. Landsaw testified that he was in the store at approximately 2:45 a.m. and
Mr. Gullick testified to having been in the store a few minutes later. R.Vol. II,
Hicks Prelim. at 5, 28. A silent alarm, activated by the removal of the last bill
from the cash register, was received by the Tulsa police at approximately 2:52
a.m. R.Vol. II, Trial Tr. at 8
Mr. Banks testified that the reason he came forward with the information was
because "it's common knowledge in the jail system that if you have some
knowledge of a crime that some deals can be made if you testify in another
case; you can get leniency on what you are arrested for." R.Vol. II, Trial Tr. at
194-95
Traci and Anthony subsequently were married. At the time of trial, however,
they were divorced
This apartment was approximately six blocks from Walter's apartment. Walter's
girlfriend, Becky, was not at her apartment however. She was asleep at Walter's
apartment. R.Vol. II, Trial Tr. at 275-76
Anthony testified that he knew McClure from prison, but that he had not seen
him in over a year. R.Vol. II, Trial Tr. at 189-91
10
The court of criminal appeals held that most of the claims, including Mr.
Banks' Brady claim and his ineffective assistance of counsel claim, were barred
because they were not raised on direct appeal. Banks v. State, 810 P.2d 1286,
1289, 1297 (Okla.Crim.App.1981). The court held that Mr. Banks' incomplete
appellate record claim normally should be raised in the first application for
post-conviction relief. The court noted, however, that "in this case where
appellate counsel also filed the first application for post-conviction relief, we
find that it is unreasonable to impose the waiver doctrine." Id. at 1289 n. 2
11
"A habeas petitioner who has defaulted his federal claims in state court meets
the technical requirements for exhaustion; there are no state remedies any
longer 'available' to him." Coleman v. Thompson, 501 U.S. 722, 732, 111 S.Ct.
2546, 2555, 115 L.Ed.2d 640 (1991)
12
The test for adequacy is whether the Oklahoma courts' "actual application of
the particular procedural default rule to all 'similar' claims has been evenhanded
'in the vast majority' of cases," Andrews v. Deland, 943 F.2d 1162, 1191 (10th
Cir.1991), cert. denied, 502 U.S. 1110, 112 S.Ct. 1213, 117 L.Ed.2d 451
(1992); that is, whether the rule has been "strictly or regularly followed."
Brecheen, 41 F.3d at 1353; see Klein v. Neal, 45 F.3d 1395, 1397 (10th
Cir.1995)
13
While we have not defined the phrase "dead-bang winner" with precision, we
have concluded that it is an issue which is obvious from the trial record and one
which probably would have resulted in a reversal on appeal. Cook, 45 F.3d at
394-95
14
Mr. Banks has framed his Brady and ineffective assistance arguments before
this court in the alternative. He argues that the State withheld exculpatory
evidence in violation of Brady. Alternatively, he argues that if the State did not
withhold the evidence, then his trial counsel was ineffective for failing to use
the evidence in his defense. Under either analysis, our final inquiry is the same:
has our confidence in the outcome been undermined? See Strickland, 466 U.S.
at 694, 104 S.Ct. at 2068 (ineffective assistance of counsel); United States v.
Agurs, 427 U.S. 97, 104, 96 S.Ct. 2392, 2397-98, 49 L.Ed.2d 342 (1976)
(Brady violation)
15
16
Mr. Earl had requested any information "which could reasonably affect the
determination of the Defendant's guilt or innocence," R.Vol. II, Motion to
Produce (Sept. 12, 1980) at 1. While the prosecution's obligation to disclose
exculpatory evidence is not dependent upon the defendant's request, United
States v. Bagley, 473 U.S. 667, 682, 105 S.Ct. 3375, 3383-84, 87 L.Ed.2d 481
(1985), Mr. Earl's request obviously was broad enough to encompass the Hicks
information
17
See Castleberry v. Crisp, 414 F.Supp. 945, 948 (N.D.Okla.1976); see also
United States v. Meros, 866 F.2d 1304, 1308 (11th Cir.), cert. denied, 493 U.S.
932, 110 S.Ct. 322, 107 L.Ed.2d 312 (1989). In Meros, the Eleventh Circuit
established the rule that the prosecution has no obligation to turn over that
evidence which the defense either possess or could obtain with reasonable
diligence. Id
18
The second Brady factor, whether the withheld evidence was "favorable" to the
defense, is frequently cast as whether the evidence was "exculpatory." We
consider these terms interchangeable. See Smith, 50 F.3d at 825-26 n. 37
19
20
"[A] prosecutor anxious about tacking too close to the wind will disclose a
favorable piece of evidence. This is as it should be." Kyles v. Whitley, --- U.S. ---, ----, 115 S.Ct. 1555, 1568, 131 L.Ed.2d 490 (1995) (citations omitted)
21
According to the State, the evidence was not exculpatory because the murder
charge against Norman Hicks had been dropped. R.Vol. IV at 193-94. Based on
an assistant prosecuting attorney's "assumption" that Norman Hicks was not
involved in the Fremin murder, id. at 194, and the prosecutor's belief that he
had "the right defendant" in Anthony Banks, the decision was made that the
Dean/Hicks information was not exculpatory and, therefore, not subject to
disclosure. Id
22
The State has steadfastly maintained that the information was not exculpatory
and, therefore, not subject to disclosure. However, at oral argument, counsel for
the State acknowledged that "if it were me, I would have turned it over. There
is no doubt, I would have turned it over." It is well settled that "when the
lawyer responds, he or she speaks for the client." Taylor v. Illinois, 484 U.S.
400, 418, 108 S.Ct. 646, 658, 98 L.Ed.2d 798 (1988). Thus, notwithstanding
the State's vigorous argument to the contrary, counsel's response demonstrates
something less than certitude on the subject
23
24
At trial, Russell Estes, the Tulsa area supervisor for Git-N-Go stores, testified
that $91.44 in food stamps had been taken in the robbery. R.Vol. II, Trial Tr. at
47
25
Although she initially denied any knowledge of the reward, upon further
questioning she admitted that she was aware of the reward. R.Vol. II, Trial Tr.
at 135
26
27
The file marked "Norman Lee Hicks," and included as part of the appellate
record, contains a copy of a fingerprint card dated May 20, 1976. R.Vol. II,
Hicks File. We presume these fingerprints would have been available for
comparison to the prints lifted from the Fremin crime scene
28
Mr. Banks' recorded statement was introduced into evidence during the
prosecution's case-in-chief through Ron Shaffer, Chief Prosecutor for the Tulsa
County District Attorney's Office. R.Vol. II, Trial Tr. at 166. The State argues
that a defense based on evidence that Hicks or Dean committed the crime
would have been wholly inconsistent with Mr. Banks' recorded statement.
While this is true, Mr. McCarthy testified at the federal hearing that he would
have reconciled Mr. Banks' inconsistent statement implicating McClure as "an
attempt to get some slack cut on a prior robbery." R.Vol. III at 46
29
At oral argument, the State represented that these two witnesses had recanted
their identification of Hicks. However, we have been unable to locate support
for this proposition in the record. Accordingly, we disregard it
30
Traci Banks testified that Anthony went into the store while "Walter stayed
outside and watched." R.Vol. II, Trial Tr. at 130
31
From the frequent references in the record to the "Quick Trip," we take it that
the Git-N-Go franchise is also known as Quick Trip
32
Thomas Landsaw was eighteen at the time, William Gullick was sixteen.
R.Vol. II, Hicks Prelim. at 6, 26
33
A reading of the record suggests that Hicks used a small caliber handgun in the
Cochran shooting. R.Vol. II, Hicks Prelim. (Nos. 78-3299, 78-3298). The
precise caliber of weapon used, however, is not discernible from the record
before us
34
Phillip, 948 F.2d 241, 249-50 (6th Cir.1991) cert. denied, 504 U.S. 930, 112
S.Ct. 1994, 118 L.Ed.2d 590 (1992); see also Trujillo v. Sullivan, 815 F.2d 597,
612 n. 8, 613 (10th Cir.), cert. denied, 484 U.S. 929, 108 S.Ct. 296, 98 L.Ed.2d
256 (1987). The State did not argue below, nor has it argued to this court, that
the testimony of the witnesses, evidence relating to Hicks' manslaughter and
forgery convictions, and evidence relating to the weapon used would not have
been admissible at trial. In the absence of any argument to the contrary,
therefore, we accept Mr. Banks' premise that this evidence would have been
admissible