aller a Dieu

In 1939 and 1940, petitioners Kotteakos, Lekacos, Regenbogen and other defendants obtained loans insured by the Federal Housing Administration by submitting applications through Simon Brown, president of the Brownie Lumber Company, that contained false statements about the purpose of the loans, property ownership, purchase prices, and financial details. Brown prepared the applications, received the loan proceeds from lending institutions, paid the sellers, and divided the difference with the defendants who had procured each application. Each petitioner or small group of defendants dealt exclusively with Brown on distinct transactions and had no knowledge of or connection to the activities of any other group. The indictment named thirty-two defendants and charged them with one conspiracy to defraud the United States by making false statements and representations to the Federal Housing Administration for the purpose of obtaining credit. Nineteen defendants were brought to trial, and the jury acquitted seven, disagreed as to four, and convicted the remaining twelve petitioners. The Government's evidence established at least eight separate and independent groups of defendants, each acting independently with Brown as the sole common link and without any agreement or communication among the groups. Brown pleaded guilty and testified at trial. No evidence showed that any defendant knew of or participated in the transactions of defendants outside his own group. The trial court instructed the jury that the indictment charged a single conspiracy, that the jury must find each defendant was a member of that conspiracy to convict, and that the acts or statements of any conspirator could be considered against all defendants once membership was established. The court did not instruct the jury that it could convict only upon finding the single conspiracy charged or that it must keep evidence of separate transactions separate. The Circuit Court of Appeals affirmed the convictions, recognizing that the proof showed multiple conspiracies rather than the single conspiracy alleged but concluding that the variance and instructional error were not prejudicial. The Supreme Court granted certiorari because of the importance of the issues for the administration of criminal justice in the federal courts.

In March 1973, three adult male respondents and a sixteen-year-old girl were traveling in a Chevrolet on the New York State Thruway when the car was stopped for speeding. Police observed two loaded handguns weighing approximately six pounds in an open handbag on the front floor or seat beside the girl, who admitted the bag belonged to her. A machinegun and heroin were discovered in the trunk after it was pried open. The four were tried together in Ulster County Court for possession of the handguns and trunk items. The trial judge instructed the jury regarding the statutory presumption that the presence of firearms in the automobile constituted evidence of possession by all occupants. The jury found the three adult males guilty of handgun possession but acquitted everyone of the trunk charges. The convictions were affirmed by the Appellate Division without opinion. The New York Court of Appeals also affirmed. The respondents sought federal habeas corpus relief in the Southern District of New York. The district court granted the writ on the ground that the presumption could not support the convictions on these facts. The Second Circuit affirmed the grant of the writ, though on the basis that the statute was unconstitutional on its face. The Supreme Court granted certiorari to consider the procedural and substantive issues raised by the lower federal courts' decisions.