Brief - Relator - Judge Gull
Brief - Relator - Judge Gull
Brief - Relator - Judge Gull
23S-OR-00311
IN THE
INDIANA SUPREME COURT
CASE NO. ____________
1
TABLE OF CONTENTS
INTRODUCTION ............................................................................................................... 2
BACKGROUND .................................................................................................................. 5
I.E. The trial court removed Rick's chosen counsel over his
objection. ………………………………………………………………..7
II. The trial court lacked any authority to remove Rick's entire
defense team over his objection and based on a summary finding
of "gross negligence" ............................................................................... 14
CONCLUSION ................................................................................................................. 19
2
INTRODUCTION
Over five years after teens Abigail Williams and Liberty German were brutally
murdered in Delphi, police announced that they had arrested Richard (Rick) Allen
for the murders, concluding a police investigation that has captured the world’s
attention and involved thousands of tips. At his initial hearing and clad in
protective gear for his own safety, Rick told the court he would be hiring private
counsel. Rick was transported to the D.O.C. for “safekeeping,” the judge removed
himself from the case, and a special judge was appointed. [R1, 6-7, 41-42].
But a week later, Rick “[threw] himself at the mercy of the court” and requested
a public defender. [R1, 44]. Andrew Baldwin and Brad Rozzi, attorneys with a
Over the next year, Attorneys Baldwin and Rozzi zealously advocated on Rick’s
behalf: they appropriately asserted Rick’s innocence after the public release of the
probable cause affidavit; they repeatedly requested a change in the conditions of his
confinement due to the obvious effects the conditions were having on his physical
and mental health; and they prepared a trial strategy with Rick after poring
through thousands of pages of discovery to prepare his defense for a January 2024
trial.
During that time, Rick never complained to the court about his attorneys. [See
generally R1, 8-39]. On the contrary, he unequivocally stated his desire to have
Yet less than three months before trial, the court removed Attorneys Baldwin
and Rozzi as counsel, citing its extrajudicial “finding” that counsel had engaged in
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“gross negligence.” [R1, 38]. At Rick’s direction, Attorneys Baldwin and Rozzi
But at a hearing held on October 31, 2023, the court told Rick that it had “grave
concerns” about his defense team, that he was entitled to a “vigorous defense,” and
that the court “cannot and will not allow these attorneys to represent you . . . . I
Rick’s trial has been reset for a year from now, and he has been forced to start
over with new attorneys. The court’s statements about Rick’s counsel have
Rick has an original action currently pending in this Court, under Case Number
23S-OR-302, concerning the lack of public access to the court records in his case.
The lack of transparency is an important societal interest, but the issue here
BACKGROUND
On October 28, 2022, the State charged Rick with two counts of murder. [R1, 5-
6]. Officers arrested Rick and took him into custody, where he has remained ever
since. The Carroll Circuit Court ordered Rick transported to the DOC for
media about the case. [R1, 41]. After sending Rick to the DOC, the judge recused
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himself. [R1, 7]. The Honorable Frances C. Gull accepted an appointment as special
Rick requested a public defender to represent him. [R1, 44]. Attorneys Andrew
Baldwin and Brad Rozzi were appointed as Rick’s counsel. [R1, 8]. Attorney
Baldwin is one of only four Indiana attorneys certified as a Criminal Trial Specialist
with murder. Attorney Baldwin has never been disciplined or suspended. [R2, 36].
thousands of cases, including eight murder cases. Attorney Rozzi practices regularly
in Carroll County and surrounding counties. He was born and raised in adjoining
Cass County and is intimately familiar with the police officers and prosecutors
investigating and prosecuting this case. Attorney Rozzi has never been disciplined
On November 29, 2022, the charging information and probable cause affidavit in
Rick’s case were made available to the public. [R1, 11]. Attorneys Baldwin and
Rozzi issued a “press release,” which responded to the allegations contained in the
affidavit, reasserted Rick’s innocence, and indicated they would continue to share
exculpatory information with the public to the extent they were ethically permitted
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to do so. [R1, 46-48].
Later that day, the court entered a gag order prohibiting the parties from
making extra-judicial statements about the case, which was reaffirmed after a
hearing. [R1, 11, 14]. The court also entered a protective order prohibiting the
parties from divulging or granting access to the discovery material to all but certain
summary log of the evidence on a flash drive received during discovery. The log did
not contain any substantive evidence but was similar to a table of contents. [R1,
242].
On April 5, 2023, Rick moved to modify the safekeeping order, arguing that he
was unrepresented when the order was entered, that no hearing had ever been held
convicted offenders, and that WCF had a history of unequal and inhumane
treatment of its inmates. [R1, 53-61]. Rick described the conditions in which he was
being held as well as the obvious decline in his physical and mental health. [R1, 53-
57]. Rick explained the significant hardship his placement in WCF had on his
The court denied the motion, reaffirmed its prior order, and clarified that the
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D.O.C. could move Rick to accommodate his needs. [R1, 63]. Attorney Rozzi filed a
tort claim notice to preserve Rick’s right to obtain private counsel in the future to
file a civil suit relating to the conditions of his DOC confinement. [R1, 65-66].
[R1, 19, 205-12]. He and his attorneys also developed a trial strategy of seeking a
speedy trial and pursuing a defense of third-party guilt. [R1, 68-203; R2, 37]
Several months before trial, Rick filed motions to suppress evidence, a motion in
limine regarding the ballistics evidence, and a request for a hearing under Franks v.
Rick also signed a motion for speedy trial, which Rick’s attorneys planned to file
in early November to lock in the January trial date. [R2, 37]. During a telephone
conference with the court in early October 2023, Rick’s attorneys informed the court
I.E. The trial court removed Rick’s chosen counsel over his
objection.
Westerman, stopped by Baldwin’s office to visit. [R2, 34]. Westerman slipped into a
conference room where he found crime scene photos, and by his own admission
secretly photographed some of the discovery material and disseminated it. [R2, 34].
Attorney Baldwin was not aware Westerman had done this. [R1, 215].
When counsel learned the material had been disseminated, they disclosed the
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matter in an email to the court and the State on October 6. [R1, 225]. The
prosecutor responded that he had known about the leak for a day and that the State
if not criminal, conduct in secretly photographing the discovery items. [R1, 215].
Rick’s counsel informed the State and the court the following day. [R1, 215]. The
parties had a telephone conference with the court that day to discuss the matter,
and the State mentioned the issue of disqualifying counsel. [R2, 37].
A day later, counsel informed Rick of the matter, and Rick immediately and
their representation was in his “best interest.” [R1, 221]. This letter was filed with
the court on October 12, 2023 as an attachment to a letter filed by Attorney Rozzi.
[R1, 214-21].
After receiving Rick’s letter, the court notified the parties that it was scheduling
a hearing on October 19, 2023 to address “other matters which have recently
arisen,” and ordered Rick’s counsel to “cease work on Mr. Allen’s case until we meet
12:30 p.m. before the hearing to discuss what was expected at the hearing. [R1,
sanctions,” explaining the circumstances regarding the theft of discovery, the law
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authority to remove appointed counsel, and a proposed sanction in the event it was
On October 19, 2023, the judge opened the courtroom to the media and, for the
first time, authorized “one or two cameras providing pool coverage [to] be permitted
in the Court session.” [R1, 30]. The attorneys appeared in chambers without Rick
being present. [R1, 228]. During the conference, the trial court read a prepared
statement to Rick’s counsel, accusing them of “gross negligence” and citing specific
examples of their zealous advocacy as purported acts of their negligence. [R1, 241-
42].
• Filing motions to protect Rick’s health and safety, which the court believed
• Filing a tort claim notice to preserve Rick’s right to seek redress for the
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[R1, 242-43].1
The court then informed Rick’s attorneys that they had two options: (1)
Attorneys Baldwin and Rozzi met with Rick to discuss the matter. [R1, 228].
Rick disagreed that his trial counsel had engaged in any negligence, and he
reaffirmed his desire for them to remain as his counsel. [R1, 228]. Rick’s attorneys
informed the court that they believed the court had engaged in an unconstitutional
ambush of Rick and his counsel without due process. [R1, 229].
Counsel also informed the court that they believed their withdrawal was
involuntary and done under duress, since their refusal to withdraw would “publicly
disparage their representation of the accused, framing their advocacy on his behalf
as ‘gross negligence,’” and cast Rick, his attorneys, and the merits of his defense in a
negative light. [R1, 231]. Such a public statement “risked tainting the jury pool,
harming their client’s defense, undermining their professional relationship with the
client, and possibly creating an actual conflict for their continued representation.”
[R1, 231].
Faced with this dilemma, Attorney Baldwin orally moved to withdraw his
appearance, and Attorney Rozzi informed the trial court he would file a formal
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motion to withdraw his appearance at a later date. [R2, 6]. Attorney Rozzi did not
The judge entered the courtroom, went on the record without Rick or his
attorneys being present, and stated there was an “unexpected turn of events” and
that Rick’s lawyers had withdrawn from the case. [R2, 6]. The court concluded the
hearing by noting that the State “had some witnesses here that came earlier to have
the hearing, but clearly, this is outside of our control.” [R2, 7].
In a written order, the court noted that Rick’s pretrial motions were still
pending, due to the court still reviewing the exhibits submitted by counsel. [R1, 32].
Attorney Rozzi filed a notice indicating that Rick did not want him to withdraw
as counsel. [R1, 227-31]. This notice informed the court that there were “no
circumstances under Rule 1.16 of the Indiana Rules of Professional Conduct which
warrant the withdrawal of counsel,” and that everything cited by the court as
alleged “gross negligence” was the product of “ethical lawyering in the best interests
of the client[’]s defense and mental and physical well-being.” [R1, 244].
The notice also indicated that Rick was asserting his constitutional right to the
counsel of his choice and wanted counsel “to move forward with the representation
of Defendant Allen until a final disposition of this matter.” [R1, 230]. Finally, the
notice indicated that Rick was prepared to go to trial on January 8, 2024, and any
continuance of the trial beyond that date would prejudice him. [R1, 230].
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Rick, by counsel, also filed a motion seeking the special judge’s recusal. [R1, 239-
46]. The trial court ordered the clerk to remove Rick’s filings from the record
because Attorney Rozzi was no longer counsel of record. [R1, 33]. The court also
Attorney Baldwin filed a motion requesting the court reconsider her order to
remove he and Rozzi as Rick’s counsel of record. [R2, 10-11]. In the motion, Attorney
Baldwin argued that his oral motion to withdraw was involuntary, the court rules
outlining the proper procedure to withdraw as counsel were not complied with, he
and Attorney Rozzi were not disqualified and remained as counsel of record at the
time they filed a motion on Rick’s behalf for the judge’s recusal, the court lost
jurisdiction to take any further action in the case until the motion to recuse was
The day before a hearing scheduled on October 31, 2023, Attorneys Baldwin and
Rozzi entered their appearances as Allen’s retained counsel. [R2, 16-19]. In their
appearances, Baldwin and Rozzi reasserted their belief that they were improperly
removed as counsel of record, and that they were now entering their appearances as
private counsel in order to protect Allen’s constitutional rights to a fair and speedy
trial and to honor his Fourth, Fifth and Sixth Amendment Rights. [R2, 16-19].
On October 31, 2023, a hearing was held. Attorney Baldwin stated that Rick had
asked them to represent him, so they reentered their appearance. [R2, 24]. The
court asked what had changed in the 12 days since they had chosen to withdraw
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rather than be removed. [R2, 24]. Attorney Rozzi argued that their withdrawal as
court to disqualify them. [R2, 24]. He also argued that Rick had a constitutional
right to counsel of his choice, he had asserted that right, and the court had no
The State indicated it agreed with the court that Rick’s counsel were grossly
negligent. [R2, 25]. The State reiterated the examples of “negligence” the court had
The court acknowledged that Rick had chosen Attorneys Baldwin and Rozzi as
counsel, but refused to recognize them as his counsel, stating: “I have grave
concerns, Mr. Allen, about their representation of you, the previous findings by this
Court of their gross negligence. Mr. Allen, you are entitled to adequate
representation in your case, you are entitled to a vigorous defense in your case. And
this is difficult, Mr. Allen, because I know what you want, you’ve indicated that
through your attorneys, but I cannot and will not allow these attorneys to represent
you with the concerns that I’ve had, with the gross negligence that I have found.
They withdrew, rather than be found grossly negligent and be removed. I can’t do it,
Thereafter, the new attorneys requested a continuance of the January 2024 trial.
[R2, 23]. The court granted the request and set an October 2024 trial date, noting
that counsel had not yet received the discovery and were unable to estimate when
they would be ready for trial. [R2, 26-28]. The new attorneys admitted they could
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not tell the court with any certainty that they would be ready in October. [R2, 27].
The court also noted it had not completed review of the exhibits related to the
Franks motion, and that once new counsel had time to review discovery and the
pleadings, they “could either adopt those pleadings or make your own . . . .” [R2, 28].
mandamus and prohibition will be issued only where the trial court has an absolute
duty to act or refrain from acting.” State ex rel. Commons v. Pera, 987 N.E.2d 1074,
1076 (Ind. 2013). This Court routinely relies on its original jurisdiction to address
claims that attorneys have inappropriately been disqualified or that they should
have been disqualified. See, e.g., State ex rel. Meyers v. Tippecanoe County Court,
Here, trial court has an absolute duty to reinstate Attorneys Rozzi and Baldwin,
and the remedy on appeal is non-existent. The Sixth Amendment to the U.S.
Constitution provides, “In all criminal prosecutions, the accused shall enjoy the
right . . . to have the Assistance of Counsel for his defense.” The right to counsel
embraces not only the assistance of counsel but also the reasonable opportunity to
secure counsel of one's own choice. Latta v. State, 743 N.E.2d 1121, 1127 (Ind.
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severed or subject to “unwarranted interference.” Latta v. State, 743 N.E.2d 1121
protections whether the lawyer is a public defender, acting pro bono, or privately
retained. Smith, 440 P.2d at 74; Lane v. State, 80 So. 3d 280, 297 (Ala. Crim. App.
2010).
court may sever the attorney-client relationship against the client’s wishes: (1) the
lawyer is not a member of the state bar, Wheat v. United States, 486 U.S. 153, 159
(1988); or (2) the lawyer has an actual conflict of interest that will obstruct his
ability to provide effective representation. See T.C.H., 714 N.E.2d 1162 (Ind. Ct.
App. 1999).
No Indiana court has ever tolerated a trial judge removing a lawyer from a case,
over the client’s objection, based on the judge’s subjective belief the lawyer is
negligent, or even “grossly negligent.” And courts across the country regularly issue
extraordinary writs in criminal cases to reinstate defense attorneys who have been
kicked off cases for conduct the trial court found upsetting or negligent. See State v.
Huskey, 82 S.W.3d 297, 311 (Tenn. Crim. App. 2002); Smith v. Superior Ct. of Los
Angeles Cnty., 440 P.2d 65, 75 (Sup. Ct. Cal. 1968); Stearnes v. Clinton, 780 S.W.2d
216, 223 (Tex. Crim. App. 1989); Buntion v. Harmon, 827 S.W.2d 945 (Tex. Ct.
Crim. App. 1992); Finkelstein v. State, 574 So. 2d 1164, 1168 (Fla. Dist. Ct. App.
1991).
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When a court believes it possesses objective evidence to support a lawyer’s
removal, it should clearly articulate that evidence on the record and “exhaust other
Removal, if ever considered by a judge, should be an absolute last resort. And the
removal proceedings should occur at a hearing where the defendant and his chosen
counsel are provided notice and an opportunity to be heard on why the attorney-
Here, the judge acted to terminate the attorney-client relationship when she had
an absolute duty to refrain from doing so. This Court should mandate Attorneys
Rozzi and Baldwin be immediately reinstated. Attorneys Baldwin and Rozzi were
active members of and in good standing with the Indiana bar. [R2, 36]. And there is
no conflict of interest even alleged between Rick and his attorneys. The inquiry
But Attorneys Baldwin and Rozzi were removed because the trial court
disagreed with their conduct. The judge made a sua sponte summary finding in-
chambers of “gross negligence” after the State raised the issue of disqualifying
them. [R2, 37]. It is entirely unclear from the record what the court found was
“gross negligence.” The record only includes Attorney Rozzi’s recollection of the acts
mentioned by the court, because Rick has been unable to obtain a transcript of the
in-chambers proceeding.
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Nevertheless, the judge’s subjective allegations of “gross negligence” fall into two
categories: (1) a mere disagreement with zealous defense tactics, or (2) concerns
about the unintended release of evidence, which objectively had no effect on the
with-counsel claim is at its zenith when a trial court dismisses a lawyer because it
disagrees with competent advocacy. See Stearnes, 780 S.W.2d at 223. That is
Once Attorneys Rozzi and Baldwin were appointed and became Rick’s counsel,
the court lacked any authority to obstruct and sever that relationship. If the court
found their conduct upsetting or negligent it should have clearly articulated that
evidence on the record and exhausted other possible remedies before removing them
from the case, such as censure, disciplinary referral, or contempt proceedings. She
had an absolute duty to refrain from obstructing and severing the relationship,
especially where Attorneys Baldwin and Rozzi suggested a remedy in the event the
This Court should grant emergency relief and reinstate Attorneys Rozzi and
Baldwin.
violation here. Rick was pursuing a speedy trial and third-party guilt strategy. He
intended to file a speedy trial request in early November. [R2, 37]. But the judge
kicked them out of the case, rejected their appearance, and struck their pleadings.
This Court is the only court in the State that can order a speedy trial date. If it does
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not seize this opportunity now, it will forever be lost. There is no post-judgment
remedy available. The new lawyers have already indicated they will not be prepared
A new judge should also be appointed to avoid the appearance of bias that will
dispute in the proceeding.” Ind. Judicial Conduct Rule 2.11(A)(1). The commentary
to this canon provides that “[u]nder this Rule, a judge is disqualified whenever the
the specific provisions of paragraphs (A)(1) through (6) apply.” Jud. Cond. R. 2.11
cmt. [1].
Here, the judge summarily found that counsel were grossly negligent and
publicly proclaimed that she has “grave concerns about their representation.” [R2,
26]. The judge also emphatically stated she could not allow them to remain as Rick’s
For many Hoosiers this case marks the first time they have followed the
workings of an Indiana court. Yet for all rulings going forward, the public will
question the judge’s impartiality. To restore the public’s trust in the integrity of the
judicial process in this high-profile case, a new special judge should be appointed.
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CONCLUSION
To ensure that, going forward, Richard Allen receives his fundamental right to
Rozzi as court-appointed counsel, to set a trial date within 70 days from the
issuance of the writ, and to remove the special judge and appoint a new one.
Respectfully submitted,
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VERIFIED STATEMENT OF WORD COUNT
Pursuant to Rule 3(B) of the Indiana Rules of Procedure for Original Actions,
undersigned counsel certifies that the foregoing contains fewer than 4,200 words,
exclusive of the items listed in Appellate Rule 44(C), as counted by the word
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CERTIFICATE OF FILING AND SERVICE
Pursuant to Rule 2(D) of the Indiana Rules of Procedure for Original Actions,
the foregoing was electronically filed using IEFS and on November 6, 2023 was
served upon the following through IEFS and via electronic mail at the noted e-
mail address:
Theodore Rokita
Indiana Attorney General
[email protected]
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