A historical plea in which a defendant denies nothing and thereby subjects himself to a default judgment.
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6
Nolo Plea Excluded in Civil Suit
After indictment for securities fraud, the adviser entered a nolo contendere plea. When the investor later sued the fund in civil court, the fund sought to introduce the plea as an admission. The court excluded the evidence because nient dedire pleas receive the same protection as withdrawn guilty pleas under the evidence rules.
Aggregate Plea Requires Consent
Defense counsel represented five protestors charged with misdemeanors. The prosecutor offered an all-or-nothing deal requiring every defendant to enter a nolo contendere plea. Counsel presented the package without separate meetings or individualized warnings about differing immigration consequences, violating the rule against aggregated nolo agreements absent informed written consent from each client.
Indicted in New Hampshire for embezzlement, the bursar was arrested in Vermont and filed a written statement seeking to enter a nolo contendere plea there. The New Hampshire prosecutor refused written approval. The Vermont court denied transfer because both districts' prosecutors must consent before a nient dedire plea can be taken in the transferee district.
Conviction Judgment Admitted but Not Nolo
In a later civil suit, the plaintiff offered a prior criminal judgment entered after a nolo contendere plea to prove essential facts. The court excluded the judgment because the evidence rule permits final convictions only when entered after trial or a guilty plea, not after a nient dedire plea.
Voluntary Nolo Plea Upheld
Facing the death penalty, the defendant considered pleading nolo contendere to avoid trial. After the court personally addressed him and confirmed the plea was knowing and voluntary, the plea was accepted and later upheld against collateral attack.
Brady v. United States397 U.S. 742 (1970)
In 1959, petitioner Brady was charged with kidnapping in violation of 18 U.S.C. § 1201(a). The indictment charged that the victim of the kidnapping was not liberated unharmed, so Brady faced a maximum penalty of death if the jury recommended it. Represented by competent counsel throughout, Brady first elected to plead not guilty. He made no serious attempt to reduce the possibility of a death penalty by waiving a jury trial because the trial judge was unwilling to try the case without a jury. Upon learning that his codefendant, who had confessed to the authorities, would plead guilty and be available to testify against him, Brady changed his plea to guilty.
The trial judge twice questioned Brady as to the voluntariness of his plea before accepting it. Brady was sentenced to fifty years' imprisonment, later reduced to thirty years. In 1967, Brady sought relief under 28 U.S.C. § 2255, claiming that his plea of guilty was not voluntarily given because the statute operated to coerce his plea, because his counsel exerted impermissible pressure upon him, and because his plea was induced by representations with respect to reduction of sentence and clemency. He also alleged that the trial judge had not fully complied with Rule 11 of the Federal Rules of Criminal Procedure.
After a hearing, the District Court for the District of New Mexico denied relief. The District Court found that Brady's counsel did not put impermissible pressure on him to plead guilty and that no representations were made with respect to a reduced sentence or clemency. The court determined that Brady decided to plead guilty when he learned that his codefendant was going to plead guilty. The court concluded that the plea was voluntarily and knowingly made.
The Court of Appeals for the Tenth Circuit affirmed, determining that the District Court's findings were supported by substantial evidence and specifically approving the finding that Brady's plea of guilty was voluntary. The Supreme Court granted certiorari to consider the claim that the Court of Appeals was in error in not reaching a contrary result on the authority of United States v. Jackson.
During plea negotiations the defendant made incriminating statements. He later waived the usual bar on using those statements at trial. The court enforced the waiver, holding that the protection for nolo-related discussions is a default rule subject to party agreement.
United States v. Mezzanatto513 U.S. 196 (1995)
On August 1, 1991, San Diego Narcotics Task Force agents arrested Gordon Shuster after discovering a methamphetamine laboratory at his residence in Rainbow, California. Shuster agreed to cooperate with the agents. He placed a call to respondent Gordon Mezzanatto's pager a few hours later. When Mezzanatto returned the call, Shuster told him that a friend wanted to purchase a pound of methamphetamine for $13,000. Shuster arranged to meet Mezzanatto later that day.
At the meeting, Shuster introduced an undercover officer as his friend. Mezzanatto produced a brown paper package containing approximately one pound of methamphetamine from his car. He also presented a glass pipe containing methamphetamine residue and asked the officer if he wanted to take a hit. The officer gave a prearranged arrest signal after leaving the car to retrieve the money. Mezzanatto was arrested and charged with possession of methamphetamine with intent to distribute in violation of 21 U.S.C. § 841(a)(1).
On October 17, 1991, Mezzanatto and his attorney asked to meet with the prosecutor to discuss cooperating with the Government. At the beginning of the meeting, the prosecutor stated that Mezzanatto would have to agree that any statements made could be used to impeach contradictory testimony at trial if the case proceeded that far. Mezzanatto conferred with counsel and agreed to proceed under those terms. He then admitted knowing the package contained methamphetamine while claiming he had dealt only in ounce quantities and had not visited Shuster's residence for at least a week.
The Government confronted Mezzanatto with surveillance evidence showing his car on Shuster's property the day before the arrest. It terminated the meeting for failure to provide completely truthful information. Mezzanatto was later tried on the charge. He took the stand in his own defense. He testified that he thought Shuster used the laboratory to manufacture plastic explosives for the CIA and that he did not know the package contained methamphetamine.
Over defense objection, the prosecutor cross-examined Mezzanatto about inconsistent statements from the October 17 meeting. The prosecutor called an attending agent to recount those statements. The jury found Mezzanatto guilty. The District Court sentenced him to 170 months in prison. A Ninth Circuit panel reversed over Chief Judge Wallace's dissent in 998 F. 2d 1452 (1993). The Supreme Court granted certiorari because the decision conflicted with the Seventh Circuit's ruling in United States v. Dortch, 5 F. 3d 1056 (1993).
What does a nolo contendere plea historically represent?
It represents the Law French plea of nient dedire, by which a defendant denies nothing and accepts the consequences of a default judgment without admitting guilt.
Why does Federal Rule of Evidence 410 treat nolo contendere pleas like withdrawn guilty pleas?
The rule excludes nolo pleas to encourage resolution of criminal cases without forcing an admission of guilt that could later prejudice the defendant in civil or criminal proceedings.
When may a lawyer participate in an aggregate nolo contendere agreement?
A lawyer may participate only after obtaining informed written consent from each client that discloses the existence, nature, and interdependencies of all pleas involved.
What must occur before a federal prosecution may be transferred for a nolo contendere plea?
The defendant must file a written statement requesting the plea and waiving trial in the original district, and both United States attorneys must approve the transfer in writing.
May a final judgment entered on a nolo contendere plea be used to prove essential facts in a later case?
No. Federal Rule of Evidence 803(22) permits such use only for judgments entered after trial or a guilty plea, not after a nolo contendere plea.
539 U.S. 558 (2003)
…the Texas Constitution. Tex. Const., Art. 1, § 3a. Those contentions were rejected. The petitioners, having entered a plea of nolo contendere , were each fined $200 and assessed court costs of $141.25. App. to Pet. for Cert. 107a-110a. The Court of Appeals for the Texas Fourteenth District considered the petitioners' federal…