UNITED STATES
v.
OPPENHEIMER ET AL.

U.S. | 1916-12-04
No. 412
242 U.S. 85 Supreme Court of the United States (1916) Negative Treatment
Also reported at: 61 L. Ed. 161 · 37 S. Ct. 68 · 1916 U.S. LEXIS 1531 · SCDB 1916-023
Cited by 341 cases

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Synopsis

Oppenheimer and others were indicted for conspiracy to conceal assets from a bankruptcy trustee and raised a statute of limitations defense through a motion to quash. The Supreme Court affirmed that res judicata principles apply in criminal cases, holding that a judgment in favor of a defendant on a statute of limitations plea bars subsequent prosecution for the same offense, even when the defendant was never put in jeopardy before a jury. The Court established that the protection against double jeopardy extends beyond the Fifth Amendment's specific language to encompass the broader principle that a final adjudication on substantive legal grounds is conclusive in later prosecutions.


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Opinion of the Court
Mr. Justice Holmes

Mr. Justice Holmes delivered the opinion of the court.

The defendant in error and others were indicted for a conspiracy to conceal assets from a trustee in bankruptcy. Act of July 1, 1898, c. 541, § 29; 30 Stat. 544, 554. The. defendant Oppenheirner set up a previous adjudication upon a former indictment for the same offence that it was barred by the one-year statute of limitations in the bankruptcy act for offences against that act, § 29d; an adjudication since held to be wrong in another case. United States v. Rabinowich, 238 U. S. 78. This defence was presented in four forms entitled respectively, demurrer, motion to quash, plea in abatement, and plea in bar. After motion by the Government that the defendant be required to elect which of the four he would stand upon he withdrew the last-mentioned two, and subsequently the court granted what-was styled the motion to quash, ordered the. indictment quashed and discharged the defendant without day. The Government brings this writ of .error treating the so-called motion to quash as a plea in bar, which in substance it was. United States v. Barber, 219 U. S. 72, 78.

The defendant objects that the statute giving a writ of error to the United States “From the decision or judgment sustaining a special plea in. bar, when the defendant has not been put in jeopardy,” Act of March 2, 1907, c. 2564, 34 Stat. 1246, is limited like the earlier clauses to judgments based on the invalidity or construction of the statute upon which the indictment is founded!. But that limitation expressed in each of the two preceding paragraphs of the statute is not repeated here. The language used in United States v. Keitel, 211 U. S. 370, 399, had reference only to the construction of the indictment and to its sufficiency upon matters not involving a statute, in cases brought up by the United States under the earlier clauses of the Act. That quoted from United States v. Kissel, 218 U. S. 601, so far as material also meant that the sufficiency of the indictment would not be considered here upon a writ of error to the allowance of a plea in bar. In view of our opinion upon the merits we do not discuss the preliminary objections at greater length.

Upon the merits the proposition of ,the Government is that the doctrine of res judicata does no,t exist for criminal cases except in the modified form of the Fifth Amendment that a persón shall not be subject for the same offence to be twice put'in jeopardy of life or limb.; and the conclusion is drawn that a decision upon a plea in bar cannot prevent a second trial when the defendant never has been in jeopardy in the sense of being before a. jury upon the facts of the offence charged. It seems that the mere statement of the position should be its own answer. It cannot be that the safeguards of the person, so often and so rightly mentioned with solemn reverence, are less than those that protect from a liability in debt. It cannot .be that a judgment of acquittal on the ground of the statute of'limitations is less a protection against a second trial than'a judgment upon the ground of innocence, or dhát such a judgment is any more effective when entered after a verdict than if entered by the Government’s consent Uef oré a jury is empaneled; or that it is conclusive ;if éhteféd upon the general issue, United States v. Kissel, 218 U. S. 601, 610, but if upon a special plea of tfie statufe, permits the defendant to' be prosecuted again. We do not suppose'that it would be doubted that a judgment upon a demurrer to the merits would be a bar to a second indictment in the same words. Iowa v. Fields, 106 Iowa, 406. Wharton, Crim. Pl. & Pr., 9th ed., § 406.

Of course the quashing of a bad indictment is no bar to a prosecution upon a good one, but a judgment for the defendant upon the ground that the prosecution is barred goes to his liability as matter of substantive law. and one judgment that he is free as matter of substantive law is as good as another. A plea of the statute of limitations is a plea to the merits, United States v. Barber, 219 U. S. 72, 78, and however the issue was raised in the former case, after judgment upon it, it could not be reopened in a later prosecution. We may adopt in its application to this case the statement of a judge of great experience in the criminal law: “Where a criminal charge has been adjudicated upon by a court having jurisdiction to hear and determine it, that adjudication, whether it takes the form of an acquittal or conviction, is final as to the matter so adjudicated upon, and may be pleaded in bar to any subsequent prosecution for the same offence. . . . In this respect the criminal law is in unison with that which prevails in civil proceedings.” Hawkins, J., in The Queen v. Miles, 24 Q. B. D. 423, 431. The finality of a previous adjudication as to the matters determined by it, is the ground of decision in Commonwealth v. Evans, 101 Massachusetts, 25, the criminal and the civil law agreeing., as Mr. Justice Hawkins says. Commonwealth v. Ellis, 160 Massachusetts, 165. Brittain v. Kinnaird, 1 Brod. & B. 432. Seemingly the same view was taken in Frank v. Mangum, 237 U. S. 309, 334, as it was also in Coffey v. United States, 116 U. S. 436, 445.

The safeguard provided by the Constitution against the gravest abuses has tended to give the impression that when it did not apply in terms, there was no other principle that could. But the Fifth Amendment was not intended to do away with what in the civil law is a fundamental principle of justice (Jeter v. Hewitt, 22 How. 352, 364), in order, when a man once has been acquitted on the merits, to enable the Government to prosecute him a second time.

Judgment affirmed.


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Citator

Cited By (94 total)

  • Suiero v. State, 248 So. 2d 219 (Fla. 4th DCA 1971)
    …Fla.Jur., Criminal Law, § 199, p. 227; 21 Am.Jur.2d, Criminal Law, § 176, citing People v. Jackson, 20 N.Y.2d 440, 285 N.Y.S.2d 8, 231 N. E.2d 722, cert. den. 391 U.S. 928, 88 S.Ct. 1815, 20 L.Ed.2d 668. See also United States v. Oppenheimer, 1916, 242 U.S. 85, 37 S.Ct. 68, 61 L.Ed. 161, 3 A.L.R. 516. The second contention raised by the appellant and properly before this court for consideration is that the trial court below erred in failing to suppress certain evidence in possession of the state. Appella…
  • Eagle v. State, 249 So. 2d 460 (Fla. 1st DCA 1971)
    …e same parties in any future lawsuit. Although first developed in civil litigation, collateral estoppel has been an established rule of federal criminal law at least since this Court’s decision more than 50 years ago in United States v. Oppenheimer, 242 U.S. 85, 37 S.Ct. 68, 61 L.Ed. 161. * * * “The federal decisions have made clear that the rule of collateral estoppel in criminal cases is not to be applied with the hypertechnical and archaic approach of a 19th century pleading book, but with realism and…
  • State v. Freund, 626 So. 2d 1043 (Fla. 4th DCA 1993)
    …t which results in a [*1045] final decision of a court of competent jurisdiction. (Footnotes omitted). Collateral estoppel,1 although applied primarily in civil cases, has long been established in federal criminal law. United States v. Oppenheimer, 242 U.S. 85, 37 S.Ct. 68, 61 L.Ed. 161 (1916). The fact that the issue involved was decided in a prior civil action, rather than criminal, does not prevent collateral estoppel from applying to a subsequent criminal prosecution. Yates v. United States, 354 U.S.…

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