Opinion · Supreme Court of the United States

McAlister v. Henkel

McAlister v. Henkel, 201 U.S. 90 (1906)

Type: Opinion
Court: Supreme Court of the United States
Jurisdiction: Federal
Date: 1906-03-12
Topic: general

Mr. Justice Brown delivered the opinion of the court. This case involves many of the questions already passed upon in the opinion in Hale v. Henkel, differing from that case, however, in two important particulars: First, in the fact that there was a complaint and charge made on behalf of the United States against the American Tobacco Company and the Imperial Tobacco Company under the so-called Sherman Act, and, second, that the subpoena pointed out the particular writings sought for (three agreements), giving, in each case the date, the names of *91 the parties, and, in one instance, a suggestion of the contents. The witness McAlister, who was secretary and a director of the American Tobacco Company, refused to. answer or produce the documents for practically the same reasons assigned by the appellant Hale, demanding to be advised what the suit or proceeding was, and to be furnished with a copy of the proposed indictment.

Citator

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Cited by: 40 opinions

Headnotes

Constitutional Law — Fifth Amendment Privilege Against Self-Incrimination The immunity provided by the Fifth Amendment against self-incrimination is personal to the witness and may not be invoked by a witness to avoid testifying on the ground of the privilege of another person or of a corporation; the privilege belongs to the witness himself, not to the party on trial. 201 U.S. at 91
Constitutional Law — Fifth Amendment Privilege Against Self-Incrimination (Corporate Officers) An officer of a corporation cannot set up the privilege of the corporation as a ground for refusing to testify or to produce the corporation's books and records. 201 U.S. at 91

McALISTERv. HENKEL,201 U.S. 90(1906)

26 S.Ct. 385

McALISTERv. HENKEL.

APPEAL FROM THE CIRCUIT COURT OF THE UNITED STATES FOR THE SOUTHERN DISTRICT

OF NEW YORK.

No. 341.

Argued January 4, 5, 1906.

Decided March 12, 1906.

Halev.Henkel, ante, p. 43, followed, as to the inquisitorial powers of the Federal grand jury and the extent of privilege and immunity of a witness under the Fifth Amendment.

THE facts are stated in the opinion.

Mr. De Lancey Nicoll, with whomMr. Junius ParkerandMr.John D. Lindsay, were on the brief, for appellant.¹Mr. Henry W. Taft, Special Assistant to the Attorney General, with whomThe Attorney GeneralandMr. Felix H.Levy, Special Assistant to the Attorney General, were on the brief, for the United States.¹

MR. JUSTICE BROWN delivered the opinion of the court.

This case involves many of the questions already passed upon in the opinion inHalev.Henkel, differing from that case, however, in two important particulars: First, in the fact that there was a complaint and charge made on behalf of the United States against the American Tobacco Company and the Imperial Tobacco Company under the so-called Sherman Act, and, second, that the subpoena pointed out the particular writings sought for (three agreements), giving in each case the date, the names ofPage 91the parties, and, in one instance, a suggestion of the contents.

The witness McAlister, who was secretary and a director of the American Tobacco Company, refused to answer or produce the documents for practically the same reasons assigned by the appellant Hale, demanding to be advised what the suit or proceeding was, and to be furnished with a copy of the proposed indictment. A copy of one of the agreements with three English companies and certified by the Consul General of the United States is contained in the record.

For reasons already partly set forth, we think that the immunity provided by the Fifth Amendment against self-incrimination is personal to the witness himself, and that he cannot set up the privilege of another person or of a corporation as an excuse for a refusal to answer — in other words, the privilege is that of the witness himself, and not that of the party on trial. The authorities are practically uniform on this point.Commonwealthv.Shaw, 4 Cush. 594;Statev.Wentworth,65 Me. 234,241;Ex parte Reynolds, 15 Cox Criminal Cases, 108, 115. InNew York Life Insurance Co. v.People,195 Ill. 430, the privilege was claimed by a corporation, but the agent of an insurance company was permitted to testify, in a suit for the recovery of a statutory penalty, to facts showing the performance by the corporation of the act prohibited. Indeed, the authorities are numerous to the effect that an officer of a corporation cannot set up the privilege of a corporation as against his testimony or the production of their books.

The questions are the same as those involved in theHalecase, without the objectionable feature of the subpoena, and the order of the Circuit Court is, therefore,AffirmedPage 92

Page 90 See abstracts of argument inHalev.Henkel, ante, p. 43, argued simultaneously herewith. ↩