In November 1959, Harold Malloy was arrested during a gambling raid in Hartford, Connecticut, on charges related to pool selling. He pleaded guilty to the misdemeanor, receiving a sentence of one year in jail and a five-hundred-dollar fine, with the jail term suspended after ninety days followed by two years of probation.
Approximately sixteen months later, Malloy was subpoenaed to appear before a referee appointed by the Superior Court of Hartford County to investigate alleged gambling and other criminal activities in the county. During the inquiry, he was questioned about the circumstances of his 1959 arrest and conviction, including the identity of his employer, who paid his fine and bondsman, the tenant of the apartment where he was arrested, and whether he knew a man named John Bergoti. Malloy refused to answer any of these questions, asserting that his responses might tend to incriminate him.
The Superior Court adjudged Malloy in contempt and ordered him committed to prison until he answered the questions. The Connecticut Supreme Court of Errors affirmed the contempt adjudication, holding that the Fifth Amendment privilege was unavailable in state proceedings and that Malloy had not properly invoked the state constitutional privilege. Malloy then sought federal habeas corpus relief in the United States District Court for the District of Connecticut, which was denied, and the Court of Appeals for the Second Circuit affirmed the dismissal.
The Supreme Court granted certiorari to consider the constitutional questions presented.
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