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Cases citing this case: Supreme Court
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U.S. Supreme Court
BURTON v. U S, 202 U.S. 344 (1906)
202 U.S. 344
JOSEPH RALPH BURTON, Plff. in Err.,
v.
UNITED STATES.
No. 539.
Argued April 3, 4, 1906.
Decided May 21, 1906.
[202 U.S. 344, 345]
Messrs. John F. Dillon, B. P. Waggener, F. W. Lehmann,
Harry Hubbard, W. H. Rossington, W. K. Haynes, and W. P. Hackney for
plaintiff in error.
[202 U.S. 344, 355]
Assistant Attorney General Robb for defendant in error.
[202 U.S. 344, 358]
Mr. Justice Harlan delivered the opinion of the court:
This criminal prosecution is founded upon the following sections of
the Revised Statutes:
'Sec. 3929 (U. S. Comp. Stat. 1901, p. 2686). The Postmaster
General may, upon evidence satisfactory to him that any person or
company is engaged in conducting any lottery, gift enterprise, or
scheme for the distribution of money, or of any real or personal
property by lot, chance, or drawing of any kind, or that any person
or company is conducting any other scheme or device for obtaining
money or property of any kind through the mails by means of false or
fraudulent pretenses, representations, or promises, instruct
postmasters at any postoffice at which registered letters arrive
directed to any such person or company, . . . whether such agent or
representative is acting as an individual or as a firm, bank,
corporation, or association of any kind, to return all such
[202 U.S. 344, 359]
registered letters to the postmaster at the office at
which they were originally mailed with the word 'fraudulent' plainly
written or stamped upon the outside thereof; and all such letters so
returned to such postmasters shall be by them returned to the
writers thereof, under such regulations as the Postmaster General
may prescribe. . . .' By the act of March 2d, 1895, chap. 191, this
section was extended and made applicable to all letters or other
matter sent by mail.' 28 Stat. at L. 963, 964, U. S. Comp. Stat.
1901, pp. 3178, 2688
'Sec. 4041. The Postmaster General may, upon evidence
satisfactory to him that any person or company is engaged in
conducting any lottery, gift enterprise, or scheme for the
distribution of money or of any real or personal property by lot,
chance, or drawing of any kind, or that any person or company is
conducting any other scheme for obtaining money or property of any
kind through the mails by means of false or fraudulent pretenses,
representations, or promises, forbid the payment by any postmaster
to said person or company of any postal money orders drawn to his or
its order or in his or its favor, or to the agent of any such person
or company, whether such agent is acting as an individual or as a
firm, bank, corporation, or association of any kind, and may provide
by regulation for the return to the remitters of the sums named in
such money orders. . . .' 26 Stat. at L. 466, chap. 908, U. S. Comp.
Stat. 1901, p. 2749.
'Sec. 1782 (U. S. Comp. Stat. 1901, p. 1212). No Senator,
Representative, or Delegate, after his election and during his
continuance in office, and no head of a department, or other officer
or clerk in the employ of the government, shall receive or agree to
receive any compensation whatever, directly or indirectly, for any
services rendered, or to be rendered, to any person, either by
himself or another, in relation to any proceeding, contract, claim,
controversy, charge, accusation, arrest, or other matter or thing in
which the United States is a party, or directly or indirectly
interested, before any department, court-martial, bureau, officer,
or any civil, military, or naval commission whatever. Every person
offending against this section shall be deemed guilty of a mis-
[202 U.S. 344, 360]
demeanor, and shall be imprisoned not more than two
years, and fined not more than ten thousand dollars, and shall,
moreover, by conviction therefor, be rendered forever thereafter
incapable of holding any office of honor, trust, or profit under the
government of the United States.' 13 Stat. at L. 123, chap. 119.
The plaintiff in error was indicted in the district court of the
United States for the eastern district of Missouri for a violation of
1782, the offense being alleged to have been committed at St. Louis.
The accused was found guilty, and, on writ of error, the judgment was
reversed by this court, and a new trial ordered, upon the ground,
among others, that, according to the facts disclosed in that case, the
offense charged was not committed in the state of Missouri, where the
accused was tried.
196 U.S. 283 , 49 L. ed. 482, 25 Sup. Ct. Rep. 243.
Subsequently, the defendant was tried under a new indictment (the
present one) charging him with certain violations of 1782. The
indictment contained eight counts. Stating the case now only in a
general way, the first, second, fourth, sixth, and eighth counts
charged, in substance, that the defendant, a Senator of the United
States, had agreed to receive compensation, namely, the sum of $2,500,
for services to be rendered by him for the Rialto Grain & Securities
Company, a corporation ( to be hereafter called the Rialto Company),
in relation to a proceeding, matter, and thing, in which the United
States was interested, before the Postoffice Department, those counts
differing only as to the nature of the interest which the United
States had in such proceeding, matter, and thing; some of the counts
alleging that the United States was directly, others that it was
indirectly, interested in such proceeding, matter, and thing. The
third, fifth, and seventh counts charged that the defendant did
receive compensation to the amount of $500 for the services alleged to
have been so rendered by him, those three counts differing only as to
the nature of the interest, whether direct or indirect, which the
United States had in the alleged proceeding, matter, and thing before
the Postoffice Department.
[202 U.S. 344, 361] The defendant demurred
to each count. The government, at that stage of the prosecution,
dismissed the indictment as to the fourth and fifth counts and the
court overruled the demurrer as to all the other counts. The accused
filed a plea in bar to the third and seventh counts. To that plea the
government filed an answer, to which we will advert hereafter. A
demurrer to that answer was overruled, and, defendant declining to
plead further, the plea in bar was denied. He was then arraigned,
tried, and found guilty on the first, second, third, sixth, seventh,
and eighth counts. No judgment or sentence was pronounced on the
first, second, and eighth counts, because they covered the transaction
and offense mentioned in the sixth count. And as the third count
covered the transaction and offense embraced by the seventh count, no
judgment or sentence was pronounced on it.
On the sixth count the defendant was sentenced to be imprisoned for
six months in the county jail and to pay a fine of $2,000; on the
seventh, to be imprisoned for six months in the county jail and fined
$500. It was declared or recited in the judgment on each of those
counts that the accused, by his conviction, 'is rendered forever
hereafter incapable of holding any office of honor, trust, or profit
under the government of the United States.'
It will be well to bring out fully the allegations of the two
counts upon which the sentences were based. They will show the nature
of the proceeding, matter, or thing before the Postoffice Department,
in respect of which the defendant was indicted.
The sixth count alleged that on the 18th day of November, 1902, the
defendant was a Senator of the United States from the state of Kansas,
having been theretofore elected for a term of six years, expiring on
the 4th day of March, 1907, and the Rialto Company was a corporation
engaged in the business of buying, selling, and dealing in grain and
securities, having its principal offices at the city of St. Louis,
Missouri; that before and on the above day there was pending before
[202 U.S. 344, 362]
the Postoffice Department of the United States, and before
the then Postmaster General of the said United States, a certain
proceeding in which the United States was then indirectly interested,
for determining the question whether that corporation was engaged in
conducting a scheme for obtaining money through the mails of the said
United States, by means of false and fraudulent pretenses,
representations, and promises, made by the said corporation, and
whether the said Postmaster General should instruct the postmaster at
the postoffice at St. Louis, the same then being a postoffice at which
registered letters were then arriving, directed to the said
corporation, to return all such letters to the postmasters at the
several postoffices at which they were or should thereafter be
originally mailed, with the word 'fraudulent' plainly written or
stamped upon the outside thereof, to be by such postmasters returned
to the writers thereof under the regulations of the said Postoffice
Department, and in the same manner to dispose of all other letters and
matter sent by mail to the said postoffice directed to the said
corporation, 'all of which the said Postmaster General might then have
lawfully done, upon evidence satisfactory to him that the said
corporation was engaged in conducting such a scheme to defraud as that
in this count mentioned; and, further, that before and on the day in
this count first aforesaid the facts pertaining to the questions in
this count mentioned were under investigation by the said Postoffice
Department and the said Postmaster General and, on that day, were
still undetermined by the said Postmaster General. And the grand
jurors aforesaid, upon their oath aforesaid, do further present that
the said Joseph Ralph Burton, Senator, as in this count of this
indictment aforesaid, on the said 18th day of November, in the year of
our Lord nineteen hundred and two, after his said election as such
Senator, and during his continuance in office as such Senator, at St.
Louis, aforesaid, in the division and district aforesaid, then well
knowing the proceedings in this count mentioned, in which the United
States was then indirectly interested, to be,
[202 U.S. 344, 363]
as it then still was, pending as last aforesaid, before the
said Postoffice Department and the said Postmaster General, and
undetermined by the said Postmaster General, and then well knowing the
character of that proceeding, and that the said United States was then
indirectly interested in the same proceeding as last aforesaid, and
then well knowing all the premises in this count set forth, unlawfully
did agree with the said Rialto Grain & Securities Company, corporation
as aforesaid, by and through its officers, agents, and attorneys, to
receive directly from that corporation, through its officers, agents,
and attorneys, certain other compensation, to wit, the sum of $2,500,
lawful money of the said United States, for certain services to be
rendered by him, the said Joseph Ralph Burton, to the said
corporation, in relation to the last-mentioned proceeding, in which
the said United States was then indirectly interested as aforesaid,
before the said Postoffice Department and before the said Postmaster
General, while the same proceeding was and should still be pending
before the said Postoffice Department and the said Postmaster General,
and still undetermined by the said Postmaster General, and after his,
the said Joseph Ralph Burton's, said election as such Senator, and
during his continuance in office as such Senator,-that is to say,
services consisting of his, the said Joseph Ralph Burton's, appearing
before the said Postoffice Department and before the said Postmaster
General, the Chief Postoffice Inspector, and the Assistant Attorney
General for said Postoffice Department, and other officers of said
Postoffice Department, as an agent of, and attorney for, the said
corporation, and obtaining information for said corporation concerning
said proceeding in this count mentioned, in which the United States
was then indirectly interested, and by the influence of his presence
and of his office as such Senator, and by statements, representations,
and persuasion, inducing the said Postmaster General to believe that
the said corporation was not conducting any such scheme to defraud as
that last above mentioned, and to
[202 U.S. 344, 364] put a stop to any
further investigation of the questions in this count mentioned by the
said Postoffice Department and by the said Postmaster General, and to
refrain from determining the same adversely to the interests of the
said corporation, and from instructing the said postmaster at the said
postoffice at St. Louis aforesaid to return the registered letters,
and other letters and matter sent by mail aforesaid to the postmasters
at the postoffices at which they were or should thereafter be
originally mailed as aforesaid, with the word 'fraudulent' plainly
written or stamped upon the outside thereof, as aforesaid, to be by
such postmasters returned to the writers thereof as aforesaid, and
also from forbidding the payment to the said corporation, by the said
postmaster at the postoffice at St. Louis aforesaid, of postal money
orders drawn to its order, or in its favor. And so the grand jurors
aforesaid, upon their oath aforesaid, do say that the said Joseph
Ralph Burton, at the time and place, and in manner and form in this
count of this indictment aforesaid, unlawfully did offend against 1782
of the Revised Statutes of the said United States, against the peace
and dignity of the said United States.'
The seventh count alleged 'that on the said 26th day of March, in
the year of our Lord nineteen hundred and three, the said Joseph Ralph
Burton, then still being a Senator of the said United States for the
said state of Kansas, as in the sixth count of this indictment set
forth, and having, after his election as such Senator, and during his
continuance in office, to wit, on divers days between the said 18th
day of November, in the year of our Lord nineteen hundred and two, and
the said 26th day of March, in the year of our Lord nineteen hundred
and three, rendered the services in the said sixth count described, to
the corporation in that count mentioned, before the Postmaster General
of the said United States and before the said Postoffice Department,
and the same having been, as he, the said Joseph Ralph Burton, when so
rendering the same, well knew, services in relation to the
[202 U.S. 344, 365]
proceeding described in the said sixth count, in which the
said United States was indirectly interested, pending, as he, the said
Joseph Ralph Burton also well knew, before the said Postoffice
Department and Postmaster General, unlawfully did, after his said
election and during his continuance in office, at St. Louis aforesaid,
in the said eastern division of the said eastern district of Missouri,
receive directly from the said corporation, through its officers,
agents, and attorneys, certain compensation for the same services,
that is to say $500; he, the said Joseph Ralph Burton, when so
receiving such compensation for the said services, well knowing the
same to have been services in relation to a proceeding pending before
a department and before an officer of the government of the said
United States, and well knowing the said proceeding to have been a
proceeding in which the said United States was indirectly interested,
and one pending before the said Postoffice Department and Postmaster
General, and undetermined by the said Postmaster General, as in the
said sixth count is more fully set forth: against the peace and
dignity of the said United States, and contrary to the form of the
statute of the same in such case made and provided.'
Motions for new trial and in arrest of judgment having been denied
the case was brought here upon writ of error.
1. The first question to be considered is whether 1782 is
repugnant to the Constitution of the United States. This question has
been the subject of extended discussion by counsel. But we cannot
doubt the authority of Congress by legislation to make it an offense
against the United States for a senator, after his election and during
his continuance in office, to agree to receive or to receive
compensation for services to be rendered or rendered to any person,
before a department of the government, in relation to a proceeding,
matter, or thing in which the United States is a party or directly or
indirectly interested.
The principle that underlies 1782 is not wholly new in our
legislative history. For instance, by the act of March 3d,
[202 U.S. 344, 366]
1863 (12 Stat. at L. 765, chap. 92, Rev. Stat. 1058, U. S.
Comp. Stat. 1901, p. 731), it was declared that members of Congress
shall not practise in the court of claims. Later, Congress by statute
declared that no member of, or delegate to, Congress, shall, directly
or indirectly, himself or by any other person in trust for him, or for
his use or benefit, or on his account, undertake, execute, hold, or
enjoy, in whole or in part, any contract or agreement made or entered
into in behalf of the United States, by any officer or person
authorized to make contracts on behalf of the United States; and every
person violating this section was to be deemed guilty of a
misdemeanor, and fined $3,000. Rev. Stat. 3739, U. S. Comp. Stat.
1901, p. 2508.
Counsel for the accused insists that 1782 is in conflict with the
fundamental idea of the Federal system; namely, that the government is
one 'of limited powers, with duties and restrictions imposed, and no
authority is lodged anywhere to change those duties or restrictions,
except the power reserved by the people.' The proposition here stated
is certainly not to be disputed; for it is settled doctrine, as
declared by Chief Justice Marshall, and often repeated by this court,
that 'the government, then, of the United States, can claim no powers
which are not granted to it by the Constitution, and the powers
actually granted must be such as are expressly given or given by
necessary implication.' Martin v. Hunter, 1 Wheat. 304, 343, 4 L. ed.
97, 107. We do not, however, perceive that there has been in the
statute before us any departure from that salutary doctrine.
It is said that the statute interferes, or, by its necessary
operation, will interfere, with the legitimate authority of the Senate
over its members, in that a judgment of conviction under it may
exclude a Senator from the Senate before his constitutional term
expires; whereas, under the Constitution, a Senator is elected to
serve a specified number of years, and the Senate is made by that
instrument the sole judge of the qualifications of its members, and,
with the concurrence of two thirds, may expel a Senator from that
body. In our judgment
[202 U.S. 344, 367] there in no necessary connection
between the conviction of a Senator of a public offense prescribed by
statute and the authority of the Senate in the particulars named.
While the framers of the Constitution intended that each department
should keep within its appointed sphere of public action, it was never
contemplated that the authority of the Senate to admit to a seat in
its body one who had been duly elected as a Senator, or its power to
expel him after being admitted, should, in any degree, limit or
restrict the authority of Congress to enact such statutes, not
forbidden by the Constitution, as the public interests required for
carrying into effect the powers granted to it. In order to promote the
efficiency of the public service and enforce integrity in the conduct
of such public affairs as are committed to the several departments,
Congress, having a choice of means, may prescribe such regulations to
those ends as its wisdom may suggest, if they be not forbidden by the
fundamental law. It possesses the entire legislative authority of the
United States. By the provision in the Constitution that 'all
legislative powers herein granted shall be vested in a Congress of the
United States,' it is meant that Congress-keeping within the limits of
its powers and observing the restrictions imposed by the
Constitution-may, in its discretion, enact any statute appropriate to
accomplish the objects for which the national government was
established. A statute like the one before us has direct relation to
those objects, and can be executed without in any degree impinging
upon the rightful authority of the Senate over its members or
interfering with the discharge of the legitimate duties of a Senator.
The proper discharge of those duties does not require a Senator to
appear before an executive department in order to enforce his
particular views, or the views of others, in respect of matters
committed to that department for determination. He may often do so
without impropriety, and, so far as existing law is concerned, may do
so whenever he chooses, provided he neither agrees to receive nor
receives compensation for such services. Congress, when passing this
statute, knew, as, indeed,
[202 U.S. 344, 368] everybody may know,
that executive officers are apt, and not unnaturally, to attach great,
sometimes, perhaps, undue, weight to the wishes of Senators and
Representatives. Evidently the statute has for its main object to
secure the integrity of executive action against undue influence upon
the part of members of that branch of the government, whose favor may
have much to do with the appointment to, or retention in, public
position of those whose official action it is sought to control or
direct. The evils attending such a situation are apparent and are
increased when those seeking to influence executive officers are
spurred to action by hopes of pecuniary reward. There can be no reason
why the government may not, by legislation, protect each department
against such evils, indeed, against everything from whatever source it
proceeds, that tends or may tend to corruption or inefficiency in the
management of public affairs. A Senator cannot claim immunity from
legislation directed to that end, simply because he is a member of a
body which does not owe its existence to Congress, and with whose
constitutional functions there can be no interference. If that which
is enacted in the form of a statute is within the general sphere of
legitimate legislative, as distinguished from executive and judicial,
action, and not forbidden by the Constitution, it is the supreme law
of the land,-supreme over all in public stations as well as over all
the people. 'No man in this country,' this court has said, 'is so high
that he is above the law. No officer of the law may set that law at
defiance with impunity. All the officers of the government, from the
highest to the lowest, are creatures of the law, and are bound to obey
it.' United States v. Lee,
106 U.S. 196, 220 , 27 S. L. ed. 171, 181, 1 Sup. Ct. Rep. 240.
Nothing in the relations existing between a Senator, Representative,
or Delegate in Congress and the public matters with which, under the
Constitution, they are respectively connected from time to time, can
exempt them from the rule of conduct prescribed by 1782. The
enforcement of that rule will not impair or disturb those relations or
cripple the power of Senators, Representatives, or Delegates to meet
all rightful [202 U.S.
344, 369] or appropriate demands made upon them as public
servants.
Allusion has been made to that part of the judgment declaring that
the accused, by his conviction, 'is rendered forever hereafter
incapable of holding any office of honor, trust, or profit under the
government of the United States.' That judgment, it is argued, in
inconsistent with the constitutional rights of a Senator to hold his
place for the full term for which he was elected, and operates of its
own force to exclude a convicted Senator from the Senate, although
that body alone has the power to expel its members. We answer that the
above words, in the concluding part of the judgment of conviction, do
nothing more than declare or recite what, in the opinion of the trial
court, is the legal effect attending or following a conviction under
the statute. They might well have been omitted from the judgment. By
its own force, without the aid of such words in the judgment, the
statute makes one convicted under it incapable forever thereafter of
holding any office of honor, trust, or profit under the government of
the United States. But the final judgment of conviction did not
operate, ipso facto, to vacate the seat of the convicted Senator, nor
compel the Senate to expel him or to regard him as expelled by force
alone of the judgment. The seat into which he was originally inducted
as a Senator from Kansas could only become vacant by his death, or by
expiration of his term of office, or by some direct action on the part
of the Senate in the exercise of its constitutional powers. This must
be so for the further reason that the declaration in 1782, that anyone
convicted under its provisions shall be incapable of holding any
office of honor, trust, or profit 'under the government of the United
States,' refers only to offices created by, or existing under the
direct authority of, the national government, as organized under the
Constitution, and not to offices the appointments to which are made by
the states, acting separately, albeit proceeding, in respect of such
appointments, under the sanction of that instrument. While the Senate,
as a branch of the legislative department,
[202 U.S. 344, 370]
owes its existence to the Constitution, and participates in
passing laws that concern the entire country, its members are chosen
by state legislatures, and cannot properly be said to hold their
places 'under the government of the United States.'
We are of opinion that 1782 does not, by its necessary operation,
impinge upon the authority or powers of the Senate of the United
States, nor interfere with the legitimate functions, privileges, or
rights of Senators.
2. It is next contended that the indictment does not present
the case of a proceeding, matter, or thing in which, within the
meaning of the statute, the United States was a party or interested,
nor adequately state the facts constituting the offense. These
objections are, we think, without merit. Our reading of the statute
and the indictment leads to the opposite conclusion.
The statute makes it an offense for a Senator, after his election,
and during his continuance in office, to receive or agree to receive
compensation, in any form, from any person, in relation to a
proceeding, matter, or thing before a department, in which the United
States is a party, or directly or indirectly interested. The scope of
the statute is, in our judgment, most manifest, and the nature of the
offense denounced cannot well be made clearer than it has been made by
the words used to express the legislative intent. The business in
respect of which the accused is charged to have both agreed to
receive, and to have received, compensation, was plainly a proceeding
or matter in which the United States was interested. That such
proceeding or matter involved the pecuniary interests of the
defendant's client is not denied. That it also involved the use of the
property as well as postal facilities furnished by the United States
for carrying and transporting mail matter must also be admitted. What
the Postoffice Department aimed to do in the execution of the acts of
Congress and the regulations established under those acts was to
protect the mails of the United States from being used, in violation
of law, to promote schemes for obtaining money and property by means
of false and fraudulent pretenses, representations, and promises. That
[202 U.S. 344, 371]
statute has its sanction in the power of the United States,
by legislation, to designate what may be carried in the mails and what
must be excluded therefrom; such designation and exclusion to be,
however, consistent with the rights of the people as reserved by the
Constitution. Ex parte Jackson,
96 U.S. 727, 732 , 24 S. L. ed. 877, 879; Re Rapier,
143 U.S. 110 , 36 L. ed. 93, 12 Sup. Ct. Rep. 374; American School
of Magnetic Healing v. McAnnulty,
187 U.S. 94 , 47 L. ed. 90, 23 Sup. Ct. Rep. 33; Public Clearing
House v. Coyne,
194 U.S. 498, 508 , 47 S. L. ed. 1093, 1098, 24 Sup. Ct. Rep. 789.
In the proceeding, matter, and thing before the department, with which
the defendant was connected as an attorney for a corporation
immediately concerned in the result, the Postmaster General
represented the United States, and, in the discharge of his official
duties, sought to enforce a law of the United States. The United
States was the real party in interest on one side, while the Rialto
Company was the real party in interest on the other side. If the
Postmaster General did not represent the United States, whom did he
represent? The word 'interested' has different meanings, as can be
readily ascertained by examining books and the adjudged cases. 4 Words
& Phrases Judicially Defined, 3692; Stroud's Judicial Dictionary, 399.
But its meaning here is to be ascertained by considering the
subject-matter of the statute in which the word appears. And it is, we
think, a mistake to say that the United States was not interested,
directly or indirectly, in protecting its property, that is, its mails
and postal facilities, against improper and illegal use, and in the
enforcement, through the agency of one of its departments, of a
statute regulating such use. It would give too narrow an
interpretation to the statute to hold that the United States was not
interested, directly or indirectly, in a proceeding in the department
having such objects in view. It is true the business before the
Postoffice Department in which the Rialto Company was concerned did
not assume the form of a suit in which there were parties according to
the technical rules of pleading. But it was, nevertheless, in a
substantial sense, a proceeding, matter, or thing before an executive
department, in which both the United States and the Rialto Company
were interested. [202
U.S. 344, 372] It is said that, within the meaning of the
statute, the United States is not interested in any proceeding or
matter pending before an executive department, unless it has a direct
moneyed or pecuniary interest in the result. Under this view,
Senators, Representatives, and Delegates in Congress who are members
of the bar may regularly practise their profession for compensation
before the executive departments in proceedings which, if not directly
involving the pecuniary interests of the United States, yet involve
substantial pecuniary interests for their clients as well as the
enforcement of the laws of the United States, enacted for the
protection of the rights of the public. Such a view rests upon an
interpretation of the statute which is wholly inadmissible. In our
opinion, 1782 excludes the possibility of such a condition of things,
and makes it illegal for Senators, Representatives, or Delegates to
receive, or agree to receive, compensation for such services. We may
add that the judgment in Burton v. United States,
196 U.S. 283 , 49 L. ed. 482, 25 Sup. Ct. Rep. 243, proceeded upon
the ground that the case then made- and the present case, as to the
facts, is much stronger against the defendant-was embraced by the
statute.
It is equally true that the accused was informed with reasonable
certainty by the indictment of the nature and cause of the accusation
against him,-the two counts hereinbefore given at large, and upon
which sentences were pronounced, being as full as any of the others.
The averments of the indictment were sufficient to enable the
defendant to prepare his defense, and, in the event of scquittal or
conviction, the judgment could have been pleaded in bar of a second
prosecution for the same offense. The accused was not entitled to
more, nor could he demand that all the special or particular means
employed in the commission of the offense should be more fully set out
in the indictment. The words of the indictment directly, and without
ambiguity, disclosed all the elements essential to the commission of
the offense charged, and, therefore, within the meaning of the
Constitution, and according to the rules of pleading, the defendant
was informed of the nature and cause of the
[202 U.S. 344, 373]
accusation against him. United States v. Simmons,
96 U.S. 361, 362 , 24 S. L. ed. 820; United States v. Carll,
105 U.S. 611 , 26 L. ed. 1135; Blitz v. United States,
153 U.S. 308, 315 , 38 S. L. ed. 725, 727, 14 Sup. Ct. Rep. 924.
3. It is insisted, however, that the court below erred in
not directing the jury to acquit the defendant; in other words, that
the evidence in support of the indictment was so meager that the jury
could not properly have found him guilty of any offense. We cannot
assent to this view. There was, beyond question, evidence tending to
establish on one side the defendant's guilt of the charges preferred
against him; on the other side, his innocence of those charges. It
will serve no useful purpose to set out all the testimony. It is
sufficient to say that the whole evidence has been subjected to the
most careful scrutiny, and our conclusion is that the trial court was
not authorized to take the case from the jury and direct a verdict of
not guilty. That course could not have been pursued consistently with
the principles that underlie the system of trial by jury. The case was
pre-eminently one for the determination of a jury. It was for the jury
to pass upon the facts; and, as there was sufficient evidence to go to
the jury, this court will not weigh the facts, and determine the guilt
or innocence of the accused by the mere preponderance of evidence, but
will limit its decision to questions of law. In its charge to the jury
the circuit court held the scales of justice in even balance, saying
all that was necessary to guard the rights of the accused. Nothing
seems to have been omitted that ought to have been said nor anything
said that was not entirely appropriate. Upon the general question of
guilt or innocence, and as to the rules by which the jury should be
guided in their consideration of the case, the circuit court, in
substance, said that the indictment was not evidence in any sense, but
only an accusation which it was incumbent upon the government to
sustain by proof establishing guilt beyond a reasonable doubt; that
the presumption of law was that he was innocent of the accusation as a
whole and as to every material element of it, and that such
presumption abided with him from the beginning to the end of
[202 U.S. 344, 374]
the trial, and required, at the hands of the jury, an
acquittal, unless a careful, intelligent, fair consideration of the
whole evidence, attended by the presumption of innocence, produced in
the mind, beyond a reasonable doubt, the conviction that the defendant
was guilty; and that they, the jury, were the sole judges of the
credibility of the witnesses and of the weight to be attached to their
testimony.
The circuit court was equally direct and impartial in what it said
in relation to the particular issues of fact raised by the indictment
and evidence. After explaining the nature of the proceeding before the
Postoffice Department, in respect of which, the indictment alleged,
the defendant acted as counsel for the Rialto Company, for
compensation received and to be received, and after referring, with
some fullness, to the specific charges in the several counts, the
court called attention to the questions that were common to all the
counts. It said to the jury: 'Was the defendant a Senator of the
United States for the state of Kansas during the times covered by the
transactions under investigation? It is admitted that he was, and
therefore you will have no difficulty in determining that. Was the
Rialto Grain & Securities Company an existing corporation carrying on
business of the character described during the times covered by the
transactions under investigation? There was proof that it was, and no
proof to the contrary, so you will have no difficulty with that. Was a
proceeding pending before the Postoffice Department from November
18th, 1902, to March 26th, 1903, to determine whether or not a fraud
order should be issued against that company? If the evidence shows
that the officers of the Postoffice Department, at the instance of
private individuals or otherwise, had, before that time, set on foot
an inquiry to determine whether or not satisfactory evidence existed
that the Rialto Grain & Securities Company was engaged in conducting a
scheme or device for obtaining money through the mails by means of
false or fraudulent pretenses, representations, or promises, as
charged in the indictment; and if the evidence further shows that that
inquiry had [202 U.S.
344, 375] not been concluded, and was, during the period
named, in the charge of any of the officers of the Postoffice
Department then charged with the performance of any duty in respect of
such inquiry,-then I charge you that there was such a pending
proceeding before the Postoffice Department, as described in the
indictment, and is referred to in the statutes before mentioned; and
also that it was a proceeding in which the United States was both
directly and indirectly interested.'
It then called the attention of the jury to the particular counts
charging the defendant with having agreed with the Rialto Company to
receive a stated compensation for services to be rendered in the
proceeding before named. Touching those counts, the court said: 'Did
he make such an agreement? That he made an agreement of some character
to act as counsel for that company for a stated compensation is
conceded. The real question is whether that agreement included, among
other matters in relation to which he was to serve the company, the
proceeding in the Postoffice Department before named. Upon that
question the evidence is conflicting, and it is your duty to weigh the
evidence and determine the truth. If, among other things, it was
intended by the defendant and the Rialto Grain & Securities Company in
making the agreement that he would, in part consideration for the
compensation he was to receive, appear as agent or attorney of such
company before the Postoffice Department, or any of its officers
charged with any duty or having any authority over such fraud order
proceeding, for the purpose or with the intent of influencing or
obtaining action on their part favorable to such company in said
proceeding, whether by way of stopping the investigation or ultimately
preventing the issuance of a fraud order,-then I charge you that the
agreement of the defendant was violative of the statute; otherwise it
was not. The offense prescribed in the statute consists in the
agreement to receive compensation for the rendition of such services.
The mere agreement to render the services is not an offense. It is the
agreement to receive compensation for the rendering of them
[202 U.S. 344, 376]
which constitutes the offense. It should be carefully
observed that the actual rendition of services is not a necessary
element of this offense. The offense is complete and the defendant's
guilt is established if the evidence shows that he made an agreement
to render such services for compensation.'
Coming then to the questions referring exclusively to the counts
charging defendant with having received from the Rialto Company
compensation for services rendered by him to it, the court said to the
jury: 'Did he render any service for the Rialto Grain & Securities
Company before the Postoffice Department in the proceeding named? On
that question I charge you that if he appeared as agent or attorney of
such company before the Postoffice Department, or any of its officers
charged with any duty or having any authority over such fraud order
proceeding, for the purpose or with the intent of influencing or
obtaining action on their part favorable to such company in said
proceeding, and did then, by any statement or representation
respecting the business in which that company was engaged, or the
manner in which it was conducting such business, endeavor to obtain
any action favorable to such company on the part of the Postoffice
Department, or any of its officers, in such fraud order proceeding,
then he rendered service for said company within th meaning of the
statute. And I further charge you that if he appeared as agent or
attorney of such company before the Postoffice Department, or any of
its officers charged with any duty or having any authority over such
fraud order proceeding, for the purpose or with the intent of
influencing them in respect of their action in said proceeding, and
did then arrange with the Department, or any of its officers, that a
hearing should be had in respect of such matter, and then also assured
the Department, or any of its officers, that it was the purpose of
said company to comply strictly with the law, and then also arranged
that no action should be taken against said company in said proceeding
without his being first notified thereof, that would constitute
services within the meaning of the statute. Did he, at St. Louis,
[202 U.S. 344, 377]
Missouri, on the 26th day of March, 1903, receive from the
Rialto Grain & Securities Company any payment of money as compensation
for such services?' Here the court gave instructions, seven in number,
asked by the defendant. They were not objected to by the government
and need not be set out.
4. Another point made by defendant is that he could not
legally be indicted for two separate offenses, one for agreeing to
receive compensation in violation of the statute, and the other for
receiving such compensation. This is an erroneous interpretation of
the statute, and does violence to its words. It was certainly
competent for Congress to make the agreement to receive, as well as
the receiving of, the forbidden compensation, separate, distinct
offenses. The statute, in apt words, expresses that thought by saying:
'No Senator . . . shall receive or agree to receive any compensation
whatever, directly or indirectly, for any services rendered or to be
rendered,' etc. There might be an agreement to receive compensation
for services to be rendered without any compensation ever being in
fact made, and yet that agreement would be covered by the statute as
an offense. Or, compensation might be received for the forbidden
services without any previous agreement, and yet the statute would be
violated. In this case, the subject-matter of the sixth count, which
charged an agreement to receive $2,500, was more extensive than that
charged in the seventh count, which alleged the receipt of $500. But
Congress intended to place its condemnation upon each distinct,
separate part of every transaction coming within the mischiefs
intended to be reached and remedied. Therefore an agreement to receive
compensation was made an offense. So the receiving of compensation in
violation of the statute, whether pursuant to a previous agreement or
not, was made another and separate offense. There is, in our judgment,
no escape from this interpretation consistently with the established
rule that the intention of the legislature must govern in the
interpretation of a statute. 'It is the legislature, not
[202 U.S. 344, 378]
the court, which is to define a crime, and ordain its
punishment.' United States v. Wiltberger, 5 Wheat. 76, 95, 5 L. ed.
37, 42; H. Hackfield & Co. v. United States,
197 U.S. 442, 450 , 49 S. L. ed. 826, 829, 25 Sup. Ct. Rep. 456.
5. The defendant invokes the protection of that clause of
the Constitution of the United States which declares that no person
'shall be subject for the same offense to be twice put in jeopardy of
life or limb.' The question arose in this way:
The first and second counts of the indictment in the former case
charged that the defendant, in violation of the statute, and on March
26th, 1903, unlawfully, knowingly, wilfully, and corruptly took,
accepted, and received $500 'from the Rialto Grain & Securities
Company,' for services rendered in its behalf in a matter before the
Postoffice Department in which the United States was interested. Those
two counts differed only as to the interest, whether direct or
indirect, of the United States in that matter. The third count in the
former indictment charged that on March 26th, 1903, the defendant
unlawfully, knowingly, wilfully, and corruptly took, accepted, and
received $500 'from one W. D. Mahaney' (described as an officer and
employee of the Rialto Company), as compensation for services rendered
by defendant to that company in a matter before the Postoffice
Department in which the United States was directly interested. The
jury in the former case convicted the defendant on the first and
second counts and acquitted him on the third count; in other words,
they found, in effect, that he received money from the company, but
not from Mahaney. Upon writ of error sued out by defendant this court
reversed the judgment and sent the case back with directions for a new
trial. Whether that reversal, upon defendant's own writ of error, had
the effect, within the principle of Trono v. United States (recently
decided)
199 U.S. 521 , 50 L. ed. --, 26 Sup. Ct. Rep. 121, to take from
him the benefit of his acquittal on the third count in the former
case, we need not decide. It may be assumed, for the purposes of this
discussion, that it did not.
The defendant pleaded the judgment of acquittal on the third count
in the former indictment in bar of this prosecution
[202 U.S. 344, 379]
as based on the third and seventh counts in the present
indictment. In its answer to that plea the government alleged that,
while the third and seventh counts of the present indictment are
identical in legal effect with counts one and two of the former
indictment, 'the offense charged against the defendant in said counts
three and seven of the indictment herein is not identical in legal
effect with said count three of said original indictment.' The
defendant, as we have seen, demurred to the answer. The demurrer
having been overruled, and the defendant declining to plead further,
the plea in bar was overruled and denied.
As no issue was taken upon the answer, by replication, the question
presented is whether, upon the face of the record, as matter of law
simply, the offense charged in the third and seventh counts of the
present indictment is the same as that charged in the third count of
the former indictment. This question must be answered in the negative,
unless the charge, in the present indictment, that the money in
question was received by the defendant 'from the Rialto Grain &
Securities Company,' is the same, in law, as the charge, in the former
indictment, that he received it 'from one W. D. Mahaney,' mentioned as
an officer and employee of the Rialto Grain & Securities Company. We
could not so hold, for the reason that the two charges do not
necessarily import, in law, the same thing. The only support for the
contrary view is found in the words, added after Mahaney's name,
describing him to be an officer and employee of the Rialto Company.
But those words are to be taken only as descriptive of the person, or
as identifying the person from whom, it was charged, the defendant, in
fact, received the money. It was not alleged in the former indictment
that Mahaney paid the money to the defendant in behalf of, or by
direction of, the company. This distinction was manifestly in the mind
of the jury in the former case; for, while they found the defendant
guilty of having received forbidden compensation from the company,
they found him not guilty of having received such compensation from
Mahaney. [202 U.S. 344,
380] The defendant may have received such compensation
from Mahaney, but it may not have been paid by direction of the
company. So, in a legal sense, it may have been received from the
company, although paid by the hands of Mahaney. It cannot be held
otherwise, as matter of law, upon the face of the two indictments,
apart from any evidence. And there was no evidence in support of the
plea or in refutation of the answer. The defendant simply demurred to
the answer, thereby admitting its averments of fact; and, without a
replication, and without any evidence, rested his defense of former
jeopardy upon the face of the two indictments. As the effect of the
reversal of the judgment in the former case was to set aside the
judgment of conviction on the first and second counts of the original
indictment, the way was opened for another trial on those counts. But
the government elected not to proceed under that indictment, but to
have a new one embodying the same charge as to the $500 that was made
in the former case. Its right to adopt that course cannot be
questioned. In our judgment, the defendant cannot plead his acquittal
upon the charge of having received forbidden compensation from Mahaney
in bar of a prosecution upon the charge of having received such
compensation from the company. A plea of autrefois acquit must be upon
a prosecution for the same identical offense. 4 Bl. Com. 336. It must
appear that the offense charged, using the words of Chief Justice
Shaw, 'was the same in law and in fact. The plea will be vicious if
the offenses charged in the two indictments be perfectly distinct in
point of law, however nearly they may be connected in fact.' Com. v.
Roby, 12 Pick. 502. Looking, as we must, only at the face of the
original and the present indictments, the two charges must be regarded
as separate and distinct. The plea of former jeopardy in this case
presents a technical defense, and cannot be allowed for the reason
that the offense of which the defendant was heretofore acquitted does
not plainly appear, as matter of law, upon the face of the record, to
be identical with the one of which he has been convicted in this case.
[202 U.S. 344, 381]
If, at the trial below, under the present indictment, proof
had been made that the $500 was paid by Mahaney, and that he was an
officer and employee of the Rialto Company,-if the proof had gone no
farther,-the jury would not have been authorized to find that the
money was received from the company; whereas, the same proof would
have sustained the charge in the third count of the original
indictment. This shows that the two charges were not identical, in
law, and that the same evidence would not have sustained each. It is
well settled that 'the jeopardy is not the same when the two
indictments are so diverse as to preclude the same evidence from
sustaining both.' 1 Bishop, Crim. Law, 1051; Wilson v. State, 24 Conn.
57, 63, 64. For these reasons we hold that the court below properly
sustained the answer to the plea, and, the defendant not pleading
further, the plea in bar was properly overruled and denied.
6. An important point remains to be considered. It relates
to the jurisdiction of the court below to try the defendant for the
crime alleged.
The Constitution requires that the trial of all crimes against the
United States shall be held in the state and the district where such
crimes shall have been committed. Const. art. 3, 2, 6th Amendment. The
contention of the accused is that, in no view of the evidence, can he
be said to have committed any offense in the state of Missouri;
consequently, the Federal court, holden at St. Louis, was without
jurisdiction, under the Constitution, to try him. The contention of
the government is that the alleged offense was committed at St. Louis,
and that it was proper to try the defendant in the district embracing
that city.
The circuit court thus instructed the jury: 'If there was an
agreement on the part of the defendant to receive compensation for
services to be rendered by him in such a fraud order proceeding, was
the agreement made within the jurisdiction of this court? In other
words, was it made in St. Louis, Missouri? Upon this question I charge
you that if such an agreement was
[202 U.S. 344, 382] negotiated or
tentatively effected at some other place, but with the understanding
on the part of the defendant that it should be communicated to the
Rialto Grain & Securities Company at St. Louis, Missouri, to be there
accepted or ratified by that company before it should become
effective, and if thereafter, in pursuance of such understanding, the
proposed or tentative agreement was communicated to the Rialto Grain &
Securities Company at St. Louis, Missouri, and was there accepted and
ratified by that company without any change in its terms, then the
agreement was made at St. Louis, Missouri, and within the jurisdiction
of this court. The fact that the defendant was notified of such
acceptance or ratification by telegram or letter sent to him at
Washington would not alter this result, if the circumstances under
which the negotiations were had and the tentative agreement was made
were such that it can be reasonably inferred that he contemplated and
assented to notice of the acceptance of his proposition being
communicated to him through that medium.'
The jury found that the alleged agreement was consummated, that is,
completed, at St. Louis. This finding was clearly justified by the
evidence. There was proof that on the 17th day of November, 1902, the
general counsel of the Rialto Company-while he and the accused were in
Illinois, traveling together from St. Louis to Chicago-explained to
the latter the affairs and condition of the company, and invited the
defendant to become counsel with him for the company; that, as the
result of that conference and invitation, the defendant, being in
Illinois at the time, proposed or offered to become such counsel on
the basis of an employment for not less than five months at a monthly
salary of $500; that he was then informed that only the company could
conclude an arrangement as to compensation; that he contemplated, at
the time, that his offer as to employment and compensation would be
submitted for him to the company at St. Louis; that, upon the return
of the company's counsel to St. Louis, on the morning of November
18th, 1902, he at once communicated to the
[202 U.S. 344, 383]
Rialto Company at that city, the above offer or proposal of
the defendant; that the company promptly accepted the offer, of which
fact the defendant was immediately informed by telegram of November
18th, 1902, sent from St. Louis, and addressed to him at Washington,
by the representative of the company; that such acceptance was
confirmed by a letter written and duly mailed at St. Louis on the same
day, in which letter counsel, speaking for the company, said: 'I hope
you received my message to the effect that this company accepts your
terms to act as counsel at a salary of $500 per month, and service to
begin immediately, that is, of this date, November 18, 1902;' that
under date of November 20th, 1902, by letter addressed to the Rialto
counsel at St. Louis, the defendant acknowledged receipt by due course
of mail of the above letter of November 18th, and stated that he had
called that morning at the Department, on behalf of the company, and
had found that two complaints had been filed there against it, which
had been sent out on November 7th for investigation; that the letter
last referred to thus concluded: 'I have arranged with the Department
to be advised in case any complaints are made against your company,
and have arranged for a hearing if any hearing should become
necessary. I have assured the Department that it is the purpose of
your company to comply strictly with the law, and that it is your
desire to remain at all times in perfect harmony with the Department.
No action of any kind will be taken against you without my first being
notified, and every opportunity for a full explanation or hearing will
be had. In return, if agreeable, you may make remittance for my first
month's pay.'
The evidence further tended to show that during the five months
following the acceptance of his offer at St. Louis, the defendant
acted as counsel for the Rialto Company before the Postoffice
Department when requested or when it was necessary, and received from
the company a salary of $500 per month for his services to it,-the
salary for each of the first four months being paid by the company's
check, drawn at [202
U.S. 344, 384] St. Louis upon a St. Louis bank, and made
payable to the defendant's order, which check was sent from St. Louis
to the defendant at Washington. The last month's salary of $500 was
paid in cash to defendant at St. Louis, in the company's office, on
March 26th, 1903, on which date, with his own consent he was
discharged as the company's attorney, his services being no longer
required. The evidence also tended to show that during the whole
period of the defendant's employment and service as the company's
attorney he relied or counted upon the acceptance of his offer on the
18th day of November, 1902, as evidencing an agreement then concluded
between him and the company in respect of compensation. He received
the letter of November 18th by due course of mail, and does not deny
having received the telegram previously sent to him, the same day, on
the same subject. Nothing was said or done by him during the whole
period of his service as the company's counsel that was inconsistent
with the agreement established by the evidence. All that he did, said,
or wrote was consistent with the idea that he regarded the acceptance
at St. Louis, of his offer, as completing the agreement between him
and the company. From the time of such acceptance he was entitled, so
far as the agreement was concerned, to demand, and he in fact
received, the stipulated salary.
In view of the evidence and of all the circumstances, was the jury
warranted in finding that the alleged agreement was concluded at St.
Louis? Manifestly so, we think. Although this is a criminal
prosecution, that question must be determined by the principles
recognized in the general law of contracts as to the time when an
agreement between parties takes effect and becomes binding upon them.
It is to be taken as settled law, both in this country and in England,
in cases of contracts between parties distant from each other, but
communicating in modes recognized in commercial business, that, when
an offer is made by one person to another, the minds of the parties
meet and a contract is to be deemed concluded, when the offer is
accepted in reasonable time, either by tele-
[202 U.S. 344, 385]
gram, duly sent in the ordinary way, or by letter, duly
posted to the proposer, provided either be done before the offer is
withdrawn, to the knowledge of, or upon notice to, the other party. A
leading authority on the general subject is Tayloe v. Merchants' F.
Ins. Co. 9 How. 390, 399, 400, 13 L. ed. 187, 190, 191. It appeared in
that case that a fire insurance company made an offer by mail to
insure property upon certain terms. The offer was accepted in a letter
promptly mailed to the proper address of the company. The inquiry
arose as to the time when the contract of insurance was to be deemed
completed. This court held that, according to the settled principles
of law governing contracts entered into by correspondence between
parties distant from each other, the contract became complete when the
letter accepting the offered terms was mailed, the offer not having
been then withdrawn. The court said: 'We are of opinion that an offer
under the circumstances stated, prescribing the terms of insurance, is
intended, and is to be deemed, a valid undertaking on the part of the
company, that they will be bound, according to the terms tendered, if
an answer is transmitted in due course of mail, accepting them; and
that it cannot be withdrawn, unless the withdrawal reaches the party
to whom it is addressed before his letter of reply announcing the
acceptance has been transmitted.'
In Patrick v. Bowman,
149 U.S. 411, 424 , 37 S. L. ed. 790, 794, 13 Sup. Ct. Rep. 811,
866, the court, referring to the Tayloe Case, again held that when an
offer is made and accepted by the posting of a letter of acceptance,
the contract is complete according to the terms of the offer.
Kent says: 'In creating the contract, the negotiation may be
conducted by letter, as is very common in mercantile transactions; and
the contract is complete when the answer containing the acceptance of
a distinct proposition is despatched by mail or otherwise, provided it
be done with due diligence, after the receipt of the letter containing
the proposal, and before any intimation is received that the offer is
withdrawn. Putting the answer by letter in the mail containing the
acceptance, and thus placing it beyond the control of the party, is
[202 U.S. 344, 386]
valid as a constructive notice of acceptance. An offer by
letter, or by special agent, is an authority revocable in itself, but
not to be revoked without notice to the party receiving it, and never
after it has been executed by an acceptance. There would be no
certainty in making contracts through the medium of the mail, if the
rule were otherwise.' 2 Kent, Com. 477.
The authorities to the same effect are too numerous to be cited,
but we refer particularly to Vassar v. Camp, 11 N. Y. 441, 445;
Mactier v. Frith, 6 Wend. 103, 21 Am. Dec. 262; Adams v. Lindsell, 1
Barn. & Ald. 681; Re Imperial Land Co. L. R. 7 Ch. 587; Household Fire
& Carriage Acci. Ins. Co. v. Grant, L. R. 4 Exch. Div. 218; Perry v.
Mt. Hope Iron Co. 15 R. I. 380, 381, 2 Am. St. Rep. 902, 5 Atl. 632;
Wheat v. Cross, 31 Md. 103, 1 Am. Rep. 28; Averill v. Hedge, 12 Conn.
424; Chiles v. Nelson, 7 Dana, 281; Washburn v. Fletcher, 42 Wis. 152;
Minnesota Linseed Oil Co. v. Collier White Lead Co. 4 Dill. 434, Fed.
Cas. No. 9,635; Maclay v. Harvey, 32 Am. Rep. 40 note and authorities
cited (90 Ill. 525); Levy v. Cohen, 4 Ga. 1, 13; Falls v. Gaither, 9
Port. (Ala.) 605, 612; 2 Redf. Railways, 338, 339; Pom. Contr. 95; 1
Parsons, Contr. 9th ed. 483; 2 Parsons, Contr. 257, note; Metcalf,
Contr. 17; Thompson, Electricity, 425-478; Scott & J. Telegraphs, 295
et seq.; Addison, Contr. 16, 17. Whether the acceptance by the Rialto
Company of the defendant's offer is to be regarded as effectively made
by the telegram duly sent to him, or only when the letter addressed to
him by the Rialto counsel was duly mailed at St. Louis, or in both
ways, in any event, the acceptance promptly and adequately occurred on
the 18th of November, 1902, at St. Louis, on which day and at which
place it is to be deemed that the minds of the parties met, the
agreement becoming complete the moment of the acceptance of
defendant's offer, without the necessity of formal notice to the
company that Burton had received information of its acceptance of his
offer.
But this, the defendant insists, is not enough to show that
[202 U.S. 344, 387]
the alleged offense was committed at St. Louis. Counsel would
seem to contend that the physical absence of the accused from St.
Louis, when the offer was received by the company and when the
agreement was concluded, rendered it impossible that he could have
committed the alleged offense at that city. In substance, the
contention is that an individual could not, in law or within the
meaning of the Constitution, commit a crime within a state in which he
is not physically present at the time the crime is committed.
The constitutional requirement is that the crime shall be tried in
the state and district where committed; not necessarily in the state
or district where the party committing it happened to be at the time.
This distinction was brought out and recognized in Re palliser (Palliser
v. United States)
136 U.S. 257, 265 , 34 S. L. ed. 514, 517, 10 Sup. Ct. Rep. 1034.
Palliser was indicted in the district court of the United States for
the district of Connecticut for violating certain statutes relating to
the disposal of postage stamps, and forbidding postmasters not only to
dispose of postage stamps in the payment of debts or in the purchase
of commodities, or to pledge them, but also to sell or dispose of them
except for cash. By letter written and mailed at New York and
addressed to a postmaster in Connecticut, Palliser made to that
officer an offer of contract which could not have been accepted by the
latter without violating the above statutes. This court held that the
offer in Palliser's letter was a tender of a contract with the intent
to induce the postmaster to sell postage stamps for credit, in
violation of his duty, and that the case, therefore, came within 5451
of the Revised Statutes (U. S. Comp. Stat. 1901, p. 3680), providing
that 'every person who promises, offers, or gives, or causes or
procures to be promised, offered, or given, any money or other thing
of value, or makes or tenders any contract, undertaking, obligation,
gratuity, or security for the payment of money, or for the delivery or
conveyance of anything of value to any officer of the United States, .
. . with intent to influence him to commit or aid in committing, or to
collude in or allow any fraud, or make opportunity for the commission
of any fraud on the United States,
[202 U.S. 344, 388] or to induce him to do
or omit to do any act in violation of his lawful duty, shall be
punished' by fine and imprisonment.
The question arose whether Palliser, who did not go into
Connecticut, could be punished in that state for the offense alleged
against him. This court, speaking by Mr. Justice Gray, said: 'The
petitioner relies on those provisions of the Constitution of the
United States which declare that in all criminal prosecutions the
accused shall have the right to be tried by an impartial jury of the
state and district wherein the crime shall have been conmmitted. Art.
3, 2; Amendments, art. 6. But the right thereby secured is not a right
to be tried in the district where the accused resides, or even in the
district in which he is personally at the time of committing the
crime, but in the district 'wherein the crime shall have been
committed.' . . . When a crime is committed partly in one district and
partly in another, it must, in order to prevent an absolute failure of
justice, be tried in either district, or in that one which the
legislature may designate; and Congress has accordingly provided, that
'when any offense against the United States is begun in one judicial
district and completed in any other it shall be deemed to have been
committed in either, and may be dealt with, inquired of, tried,
determined, and punished in either district, in the same manner and as
if it had been actually and wholly committed therein.' Rev. Stat. 731,
U. S. Comp. Stat. 1901, p. 585.' In that case the court said it was
universally admitted that when a shot fired in one jursidiction
strikes a person in another jurisdiction, the offender may be tried
where the shot takes effect.
If the sending by the defendant to the Rialto Company from Chicago
to St. Louis of the offer above referred to was the beginning of
negotiations for an agreement in violation of 1782, the agreement
between the parties was completed at the time of the acceptance of the
defendant's offer at St. Louis on November 18th, 1902. Then the
offense was committed, and it was committed at St. Louis,
notwithstanding the defendant was not personally present in Missouri
when his offer was accepted and the agreement was completed.
[202 U.S. 344, 389]
The principle announced in Palliser's case was reaffirmed in
Horner v. United States,
143 U.S. 207 , 36 L. ed. 126, 12 Sup. Ct. Rep. 407, in which it
was held that the district court of the United States in Illinois had
jurisdiction to try one charged with having violated the statute
relating to the sending of lottery matter in the mails, in that he had
unlawfully caused to be delivered to a certain person in that district
lottery circulars conveyed by mail in a sealed letter that he had
deposited in the mail at New York, addressed to and to be delivered to
such person in Illinois. The fact that the accused was in New York
when the lottery circulars were mailed, and not personally present in
Illinois when the offense was completed by the delivery there of the
lottery circulars to the person to whom they were sent, was held to be
immaterial, and not to defeat the jurisdiction of the Federal court in
Illinois to try the accused.
It cannot be maintained, according to the adjudged cases, that the
personal absence of the defendant Burton from St. Louis, at the time
his offer was accepted, and when the agreement between him and the
company was completed and became binding, as between the parties,
deprived the Federal court there of jurisdiction. He sent his offer to
St. Louis with the intent that it should be there accepted and
consummated. Having been completed at that city in conformity with the
intention of both parties, an offense was, in the eye of the law,
committed there; and when the court below assumed jurisdiction of this
case it did not offend the constitutional requirement that a crime
against the United States shall be tried in the state and district
where it was committed.
Other questions were discussed by counsel, but we have alluded to
all involving the substantial rights of the accused that are mentioned
in their briefs of points and authorities, and which we deem it
necessary to notice.
Mr. Justice McKenna concurs in the judgment based on the count
charging the receipt of forbidden compensation, but does not concur in
the judgment on the count charging simply an agreement to receive
compensation. He is of opinion that
[202 U.S. 344, 390] the agreement to
receive and the receipt of compensation constitute, under the
circumstances of this case, but one offense.
Judgment affirmed.
Mr. Justice Brewer, dissenting:
A conviction of plaintiff in error on an indictment charging
substantially the same offenses as are charged in the present case was
reversed by this court.
196 U.S. 283 , 49 L. ed. 482, 25 Sup. Ct. Rep. 243. In the opinion
then filed it was stated that four Justices of this court ( the writer
of this being among the number) were of the opinion that the matters
charged against the defendant were not made offenses by the statute
under which the indictment was found. Nothing was said in that opinion
in respect to this matter beyond the simple statement of the
conclusions of the several Justices. As one of the four, I think the
importance of the case justifies me in stating the reasons which led
to that conclusion, and which induces belief that the present
conviction is wrongful.
The statute (Rev. Stat. 1782, U. S. Comp. Stat. 1901, p. 1212)
forbids a Senator or other official of the government to 'receive or
agree to receive any compensation whatever, directly or indirectly,
for any services rendered, or to be rendered, to any person, either by
himself or another, in relation to any proceeding, contract, claim,
controversy, charge, accusation, arrest, or other matter or thing in
which the United States is a party, or directly or indirectly
interested, before any department, courtmartial, bureau, officer, or
any civil, military, or naval commission whatever.' It was charged in
the indictment that there was pending in the Postoffice Department a
proceeding to inquire whether the Rialto Grain & Securities Company
was conducting a scheme for obtaining money by false pretenses through
the mails of the United States, and whether a fraud order, as it is
called, should be issued against said company, and that the defendant,
as a Senator of the United States, unlawfully agreed to
[202 U.S. 344, 391]
receive from the said corporation compensation for services
rendered by him in relation to such proceeding before that Department.
It was not charged that the United States was a party to the
proceeding, nor that it would either make or lose any money or
property, whatever might be the result, but only that it was directly
and indirectly interested. The question is therefore distinctly
presented whether a proceeding in one of the departments of the
government, in which it does not appear that the United States is
pecuniarly interested in the result, will neither make nor lose by the
issue of the proceeding, whatever it may be, is one in which it is
'directly or indirectly interested.' Unless the statute, by clear
intendment, includes the transaction, any extension beyond its meaning
so as to include the transaction would be, under the elementary rule
governing the interpretation of criminal statutes, simply judicial
legislation, as it would be, by judicial construction, making that a
crime which Congress has not so made, and thereupon imposing
punishment. United States v. Wiltberger, 5 Wheat. 77, 5 L. ed. 37;
Sarlls v. United States,
152 U.S. 570 , 38 L. ed. 556, 14 Sup. Ct. Rep. 720;United States
v. Harris,
177 U.S. 305 , 44 L. ed. 780, 20 Sup. Ct. Rep. 609. There is a
certain broad sense in which the word 'interest' is sometimes used,
which describes the relation which the government has to the acts of
all its officials, to all proceedings in courts or in departments,
and, indeed, to the conduct of all its citizens. It is interested in
seeing justice and righteousness obtain everywhere. It is interested
in seeing that no wrongful conduct shall prevail. But so is every
official and every citizen interested. It is not an interest which
separates and distinguishes the government from the citizens, but it
is that interest which all have, whether government or citizens, in
the orderly and just management of affairs, in honorable and right
living. It is that interest which a father or head of a family has in
the good conduct of all the members of his family. But the word
'interest' as found in the law books refers to pecuniary profit and
loss, and that Congress used the word 'interested' in its common legal
acceptation is as clear and certain as anything can be.
[202 U.S. 344, 392]
It is well to inquire in the first place whether the word
'interest' or 'interested' has a settled legal meaning. A leading case
is that of Northampton v. Smith, 11 Met. 390, in which was involved
the construction of a statute of Massachusetts which provided that,
when a judge of probate was interested in any case within his
jurisdiction, the case should be transferred to the most ancient
adjoining county. The probate judge transferred the case on the ground
that he was one of the inhabitants of the town of Amherst, and that
there were in the will which was offered for probate many bequests to
charitable purposes for the benefit of persons described as dwelling
in the eight towns enumerated, of which Amherst was one. Mr. Chief
Justice, Shaw, delivering the opinion of the court, said (p. 394):
'If the term 'interest' were used in the loose sense it sometimes
is, consisting in a strong and sincere desire to promote all
enterprises for the advancement of learning, philanthropy, and
general charity, or a similar interest, with all good men, to
repress and put down pernicious and mischievous schemes, no man
could be found fit to be intrusted with the administration of
justice; for no man can be exempt from such interests.'
And again (p. 395):
'2. It must be a pecuniary or proprietary interest, a relation by
which, as a debtor or creditor, an heir or legatee, or otherwise, he
will gain or lose something by the result of the proceedings, in
contradistinction to an interest of feeling, or sympathy or bias,
which would disqualify a juror. Smith v. Bradstreet, 16 Pick. 264.
'3. It must be certain, and not merely possible or contingent.
Hawes v. Humphrey, 9 Pick. 350, 20 Am. Dec. 481; Wilbraham v.
Hampden County, 11 Pick. 322, Danvers v. Essex County, 2 Metc. 185.
It must be direct and personal, though such a personal interest may
result from a relation which the judge holds as the member of a
town, parish, or other corporation,
[202 U.S. 344, 393] where it is not
otherwise provided by law, if such corporation has a pecuniary or
proprietary interest in the proceedings.
'It may be, and probably is, very true, as the human mind is
constituted, that an interest in a question or subject-matter,
arising from feeling and sympathy, may be more efficacious in
influencing the judgment than even a pecuniary interest; but an
interest of such a character would be too vague to serve as a test
by which to decide so important a question as that of jurisdiction;
it would not be capable of precise averment, demonstration, and
proof; not visible, tangible, or susceptible of being put in issue
and tried; and therefore not certain enough to afford a practical
rule of action.'
In McGrath v. People, 100 Ill. 464, it was held that:
'The state is not 'interested, as a party or otherwise,' in a
proceeding in the nature of a quo warranto to try the title of a
person to an office into which it was alleged he had intruded, in
any such sense as would give to the supreme court jurisdiction to
hear an appeal in such a proceeding directly from the trial court,
under 88 of the practice act. The interest which the state must have
in a cause, within the meaning of this section, in order to entitle
either party to bring it directly to the supreme court from the
trial court, is a substantial interest,-as, a monetary interest.'
In Evans v. Eaton, 7 Wheat. 356, 5 L. ed. 472, a patent case, the
question was whether a certain witness was competent, the alleged
objection being that he was interested, because he might use the
alleged invention if the patent was adjudged void, and Mr. Justice
Story, speaking for the court, said (p. 425, L. ed. p. 489):
'The special notice in this case asserts matter which, if true,
and found specially by the jury, might authorize the court to
adjudge the patent void; and it is supposed that this constitutes
such an interest in Frederick in the event of the cause that he is
thereby rendered incompetent. But, in this respect, Frederick stands
in the same situation as every other person in the community. If the
patent is declared void, the in-
[202 U.S. 344, 394] vention may be used
by the whole community, and all persons may be said to have an
interest in making it public property. But this results from a
general principle of law, that party can take nothing by a void
patent; and, so far as such an interest goes, we think it is to the
credit, and not to the competency, of the witness.'
In State v. Sutton, 74 Vt. 12, 52 Atl. 116, the case and the ruling
is disclosed by the following quotation from the opinion:
'This is an indictment under 5072 of the Vermont statutes, for
defaming this court and a judgment thereof, and the judges of the
court as to said judgment. It is objected that Judge Watson, who sat
below, was disqualified by reason of interest in the event of the
cause or matter, for that he is one of the judges alleged to have
been defamed. It is a pecuniary interest that disqualifies, and
Judge Watson is no more interested in this case in that respect than
he is in every other criminal case that he tries, and that interest
is too small for the law's notice. State v. Batchelder, 6 Vt. 479.
It is said that a judge defamed would be deeply interested to have
the respondent convicted, not only that he might be severely
punished, but also for the aid it might afford him in the
prosecution and maintenance of a civil action for damages. But such
an interest does not disqualify.'
In Foreman v. Marianna, 43 Ark. 324, it was held that a judge who
was a taxpayer in a town was not disqualified from sitting in a case
relating to the annexation of certain territory to the town, the court
saying (p. 329):
'A general interest in a public proceeding, which a judge feels
in common with a mass of citizens, does not disqualify. If it did,
we might chance to have to go out of the state at times for a judge.
The 'interest' which disqualifies a judge under the Constitution is
not the kind of interest which one feels in public proceedings or
public measures. It must be a pecuniary or property interest, or one
affecting his individual rights, and the liability or pecuniary gain
or relief to the judge must occur upon the event of the suit, not
result re- [202 U.S.
344, 395] motely, in the future, from the general
operation of laws and government upon the status fixed by the
decision.'
In Taylor v. Highway Comrs. 88 Ill. 526, the question was who had
the right to appeal from the decision of the commissioners of highways
in laying out a new road or vacating an old one, and the court said:
'The word 'interested' must receive a reasonable construction,
such as will, on the one hand, protect those who have a direct and
substantial interest in the matter, and, on the other hand, protect
the commissioners missioners of highways from unnecessary litigation
in defending their action as such, at the suit of persons who may
imagine they have an interest, when in fact they have no such
interest as was contemplated by the legislature. Every citizen of a
county, in one sense, has an interest in the public highways. So,
too, it may be said, and properly, that every citizen of the state
has an interest in the highways in the different counties of the
state. If, therefore, the language of the statute is to be
interpreted literally, an appeal might be taken by any citizen of
the state. But we apprehend it was not the intention of the
legislature that the word 'interested' should receive such a liberal
construction. It was, doubtless, intended to give the right of
appeal to those persons who had a direct and pecuniary interest, not
shared by the public at large,-such as owned land adjoining the new
road laid out or the old one vacated.'
In Chicago, B. & Q. R. Co. v. Kellogg, 54 Neb. 138, 74 N. W. 403,
in deciding whether a trial judge was disqualified, this was the
ruling:
"A judge . . . is disqualified from acting as such . . . in any
case wherein he is . . . interested.' But the word 'interested,'
found in this section of the statute, probably means pecuniarily
interested, ested, or at least it means that a judge, to be
disqualified from hearing a case, must be in such a situation with
reference to it or the parties that he will gain or lose something
by the result of the action on trial. It is not claimed that Judge
Beall will gain or lose anything from the result of
[202 U.S. 344, 396]
this action. It is not pretended that he has any
pecuniary interest in the matter. The argument seems to be that,
because he rendered the law judgment, he would naturally be desirous
that the same should be sustained, and that, therefore, his
inclination would be to defeat this suit. It can never be presumed
that a judge will permit his desires or inclinations to control his
decision in any manner, and that he tried the case and rendered the
judgment which is sought to be vacated by this action does not
render him interested and disqualified, within the meaning of said
section of the statute.'
See also Com. v. O'Neil, 6 Gray, 343; Sauls v. Freeman, 24 Fla.
209, 12 Am. St. Rep. 190, 4 So. 525; Bowman's Case 67 Mo. 146.
In Bouvier's Law Dictionary, vol. 1, p. 651, 'interest' is defined:
'The benefit which a person has in the matter about to be decided
and which is in issue between the parties. By the term 'benefit' is
here understood some pecuniary or other advantage, which, if
obtained, would increase the witness's estate, or some loss which
would decrease it.'
In Black's Law Dictionary the definition is (p. 636):
'A relation to the matter in controversy, or to the issue of the
suit, in the nature of a prospective gain or loss, which actually
does, or presumably might, create a bias or prejudice in the mind,
inclining the person to favor one side or the other.'
If the word 'interested' was not used in this section in this
ordinary legal sense, the words 'in which the United States is a party
or directly or indirectly interested' are surplusage, because, in
respect to every proceeding before a department or other tribunal, the
United States as parens patrioe has an interest, in what Chief Justice
Shaw calls the 'loose' sense of the term. Indeed, what significance is
there in inserting the words from 'contract' to 'interested,'
inclusive, unless some distinct limitation was intended? If the
language was 'in relation to any proceeding before any department,
court-martial,' etc., it would express the intent to exclude
[202 U.S. 344, 397]
Senators from appearance for compensation in any and all
matters before the departments. Inserting the clause above referred to
obviously means a limitation, and no other limitation is suggested
except that which limits it to matters in which the government is
pecuniarly interested. Neither do the words 'or any other matter or
thing' enlarge the scope of the prohibition so as to take in matters
of a different nature. The rule of construction regarding the effect
of such words when following an enumeration of subjects is that they
are to be held as meaning any other matter or thing of a like or
similar nature to those already named, so that all subjects of that
kind may be included, and none escape by reason of not being specially
named. They do not open the statute to all kinds of matters or things
not of the same nature as those already named. Otherwise there would
be no sense in the prior enumeration. Hermance v. Ulster County, 71 N.
Y. 481; People v. New York & M. B. R. Co. 84 N. Y. 565; Thames & M.
Marine Ins. Co. v. Hamilton, L. R. 12 App. Cas. 484.
Doubtless the government is charged with the supervision of the
action of all its officials, but that supervision does not, of itself,
create a pecuniary interest. This court has a supervising control of
the lower Federal judicial tribunals. We are interested in seeing that
full justice is done in all cases therein. But that duty of
supervision and review creates no pecuniary interest, and does not
disqualify a single one of us from participating in the consideration
of this case.
If it be said that the government is pecuniarily interested in the
postage the amount of which might be affected by the issue of a fraud
order, it is enough to say that there is no proof of any such
interest. Further, postage is received in payment for services
rendered in transportation . If no services are rendered no postage is
received. The issue of a fraud order does not put a stop to the
carrying of letters. It simply stops the delivery. It may be that when
knowledge of the issue of a fraud order becomes widespread, the number
of letters may be [202
U.S. 344, 398] diminished, but, as heretofore said,
diminishing the amount of mail matter diminishes likewise the cost
thereof. The government is no more interested in an increase or
diminution of the amounts received by railroad and other carriers for
transporting the mails, or those received by stamp contractors for the
manufacture of stamps, than it is in the fees received by marshals,
clerks, and other officers for services rendered to individuals. In
any event, opposing a fraud order would not, in the language of the
chairman of the House Committee on the Judiciary, hereinafter quoted,
be a suit against the government.
Again, the history of the passage of the bill which culminated in
this statute emphasizes the views already expressed. The bill was
introduced into the Senate December 23, 1863, by Senator Wade. As
prepared, it forbade the appearance of a Senator or member of the
House of Representatives in any court as well as department, etc. On
February 10, 1864, the Committee on the Judiciary reported in favor of
striking out the following words (p. 555):
'No member of the Senate or of the House of Representatives of
the United States shall, during his continuance in office, hereafter
appear or act as counsel, attorney, or agent in any cause or
proceeding, civil or criminal, in any court-civil, criminal,
military, or naval-or before any commission, in which the United
States is a party or directly or indirectly interested, or receive
any compensation of any kind, directly or indirectly, for services
of any description rendered by himself or another in relation to any
such cause or proceeding;'-and they were stricken out.
On page 561 is this statement by Senator Trumbull, the chairman of
the committee:
'This is not a bill to prevent attorneys from practising in
courts of law, but it is a bill to prevent Representatives and
Senators in Congress and officers of the government, who are paid
for their services, from receiving a compensation for advocating
claims in the departments and before the bureaus
[202 U.S. 344, 399]
of the government, and before courts-martial. That is
the particular question that is pending.'
On p. 2773 in the proceedings of the House it appears:
'Mr. Wilson, from the Committee on the Judiciary, reported back
Senate bill No. 28, relating to members of Congress, heads of
departments, and other officers of the government. The bill was
read. It prescribes penalties for members of Congress, heads of
departments, or other officers engaging as attorneys or counselors
in suits against the government. The bill was ordered to a third
reading; and was accordingly read the third time and passed.'
While much weight must not be given to the declarations of
individual Senators, those which are embodied in the reports of the
chairmen of the judiciary committees are certainly entitled to
consideration, and they show clearly that the intent of Congress in
this enactment was to prevent Senators and other officials of the
government from receiving compensation for assisting in the
prosecution of claims against the government. It would be the height
of absurdity to suppose anyone believed that a Senator should be
debarred from the right of appearing in any court in cases in which
the government is without a pecuniary interest, and yet, that was the
scope of the bill as originally presented, if the present construction
of the statute is sustained.
Further, while it may be true that executive officers are apt to
give undue weight to the wishes of Senators, yet, there is nothing in
this statute to prevent a Senator from exerting all his influence over
them. He may prosecute any claims in behalf of his constituents or
others, even though the government is directly and largely pecuniarily
interested. He may appear in any matter or proceeding pending before
one of the departments, and there is nothing in the statute to
prohibit it. The only restriction is that he must himself have no
pecuniary interest in the matter. The denunciation is against his
receiving, or agreeing to receive, compensation for his services. Is
it not reasonable to believe that, if pecuniary interest on his
[202 U.S. 344, 400]
part is the only bar to his action, a like pecuniary interest
on the part of the government is that interest on the other side
intended by the statute?
It is said the language of the section is 'directly or indirectly
interested,' but that does not change the fact that the Government
must be interested; and interested, as I have shown, refers to some
pecuniary interest. It is directly interested when, as the result of
the proceeding, it may make or lose some of its property, as, where a
claim is prosecuted in the department for a tract of land, or for the
allowance of a contract to a higher rather than to a lower bidder. It
is indirectly interested when the effect of the ruling may result in
pecuniary loss to the government in some other case to be thereafter
presented to the department. It may be that, in a pending case, the
government is guaranteed against loss, and yet, if a certain ruling is
established as the ruling of the department, it may affect future
cases in which there is no such indemnity to the government, and in
those cases it would be indirectly interested. But whatever the line
of demarcation between 'direct' and 'indirect' results, the statute is
clear that the government must be 'interested.'
Other matters of moment have been discussed by counsel, but as this
is fundamental, and upon it rests the whole prosecution, I have
preferred to express my views on this matter alone. It seems clear to
my mind that the construction now given writes into the statute an
offense which Congress never placed there. It is a criminal case, and,
in such a case above all, judicial legislation is to be deprecated.
I am authorized to say that Mr. Justice White and Mr. Justice
Peckham concur in these views.
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