COMMONWEALTH vs. BERNARDO NADAL-GINARD.

LAURENCE, J. The defendant, Bernardo Nadal-Ginard, was indicted on twenty-two counts of larceny of over $250 in violation of G. L. c. 266, s. 30. [Note 1] The alleged larcenies all occurred in 1992 in the course of the defendant's activities as president of the Boston Children's Heart Foundation (BCHF), which is the incorporated cardiology department of Children's Hospital Medical Center, and involved the alleged misuse by the defendant of BCHF funds.

A jury found the defendant guilty of twelve counts of larceny. The trial judge declared a mistrial on the remaining ten counts, after the jury failed to reach a verdict thereon. [Note 2] After being sentenced to a term of imprisonment, [Note 3] the defendant obtained a stay of execution of sentence from a single justice of this court pending the disposition of his appeal. In this appeal, the defendant attacks numerous of the trial judge's actions, principally the judge's submitting to the jury (over his motions for a required finding), and instructing the jury on, the theory of his alleged larceny by false pretenses (which he argues was not supported by the evidence at trial). Related to that claimed error is his assertion that the judge failed to give a specific unanimity instruction. We agree with the Commonwealth that neither those contentions nor his

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other assigned errors [Note 4] warrant disturbance of the guilty verdicts. We therefore affirm his convictions.

Despite the voluminous evidence and the intricate nature of the defendant's challenged transactions, the essence of both the facts and the main legal issue before us is not complex. There is no question that the jury could have fairly inferred from the evidence that certain BCHF checks were drawn, by or at the direction of the defendant, by which BCHF funds either ended up in the defendant's personal account or were used to pay the defendant's personal obligations. [Note 5] The

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defendant's main argument is that while the Commonwealth's evidence, if believed, might have supported findings that he embezzled the BCHF funds represented by the several checks at issue, the judge erroneously allowed the jury to find that he could have obtained those funds, or their benefit, as the result of larceny by false pretenses. That, he argues, was legally impossible because of his "rightful possession" of all BCHF monies by virtue of his office as president. If he stole, it was by embezzlement, not larceny by false pretenses.

In other words, he contends, the only evidence of his culpability was that he may have misappropriated BCHF funds by one means that was properly charged and adequately proved at trial (embezzlement); but the jury were improperly allowed to consider that he may also have done so by another means (false pretenses) not so charged or proved. He thus relies on the unexceptionable principles that a defendant charged with one offense cannot be convicted upon proof of another; and that when a jury returns a general verdict after being allowed to consider a theory of guilt without foundation in the evidence, as well as a theory supported by the evidence, a defendant's conviction must be reversed because it is impossible to determine whether the jury may have convicted him of an offense the Commonwealth failed to prove. [Note 6]

The defendant is not, however, entitled to that reliance. We

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note initially that while the defendant did object to the judge's stated intention to instruct the jury on the theory of larceny by false pretenses as well as the theory of larceny by embezzlement, [Note 7] his objection at that time was not (as he now argues) to the lack of trial evidence to support the former theory. It was, rather, addressed to the supposed failure of the indictments and the Commonwealth's bills of particulars specifically to include the words "larceny by false pretenses." The judge correctly concluded that the indictments and bills of particulars adequately afforded the defendant reasonable knowledge of the nature and grounds of each offense charged. She therefore properly rejected the supposed defect on the clear authority of G. L. c. 277, s. 41, as well as Commonwealth v. King, 202 Mass. 379, 387-389 (1909); Commonwealth v. Leland, 311 Mass. 447, 448 (1942); Commonwealth v. Corcoran, 348 Mass. 437, 440-442 (1965); and Commonwealth v. Kenneally, 10 Mass. App. Ct. 162, 176 n.4 (1980).

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General Laws c. 277, s. 41, forecloses the defendant from successfully arguing, as in times past, that the manner of theft described in the charging document differed from the illegal technique actually proved. The statute explicitly permits convictions to be supported by evidence that the defendant's theft was committed in any manner condemned by the law. [Note 8] Here, the indictments read in conjunction with the bills of particulars provided the defendant with all the essential facts with respect to the specific BCHF property he was charged with misappropriating, as well as when, where and how. Those documents also alerted the defendant, by reference to G. L. c. 266, s. 30, to the Commonwealth's intent to apply any or all theories of statutory larceny to those essential facts as proved. See Commonwealth v. Kiernan, 348 Mass. 29, 3334, cert. denied, 380 U.s. 913 (1964). [Note 9]

Since the defendant failed to preserve at trial the central issue he presses here, he may be deemed to have waived this argument. [Note 10] Nonetheless, it is appropriate to exercise our authority to review issues presented for the first time on appeal under the "substantial risk of a miscarriage of justice"

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standard, see Commonwealth v. Freeman, 352 Mass. 556, 563-564 (1967), since the defendant effectively claims that the jury verdict may have been based upon insufficient evidence. See Commonwealth v. McGovern, 397 Mass. 863, 867-868 (1986). There was no error here, much less any substantial risk of a miscarriage of justice. See Commonwealth v. Torres, 420 Mass. 479, 482-483 (1995).

The defendant's challenge to the propriety of an instruction on larceny by false pretenses fails for several reasons. First, it is premised on a misapprehension as to his position as president. As noted earlier, without advancing any authority whatsoever, he pronounces that he had "rightful possession" of all BCHF funds, including the diverted and converted BCHF checks, "by virtue of his position and office." Thus, he already possessed them and could not have obtained them by false pretenses or misrepresentation. Therefore, he argues, he could not be guilty of "larceny by false pretenses [because it] 'differs from embezzlement . . . [where] the property is fraudulently appropriated by a person having rightful possession, whereas in obtaining money by false pretenses the property is acquired in the first instance by the false pretense.'"

It should be enough to refute the defendant's argument simply to restate the clear words of the statute (see supra at note 1): "Whoever steals [etc.] . . . the property of another . . . whether such property is or is not in his possession at the time ...." See Commonwealth v. Chavis, 415 Mass. 703, 708 (1993) ("Where the legislative purpose is expressed in clear statutory language, we must construe the statute in accordance with its terms . . ."). The plain purpose of the statute (G. L. c. 266, s. 30) merging the former discrete theft offenses was to prevent culpable defendants from escaping punishment because of the subtle distinctions that had been judicially developed, often by accident of history, among the several crimes. See Commonwealth v. Ryan, 155 Mass. 523, 527-530 (1892); Commonwealth v. King, 202 Mass. at 388389; Commonwealth v. Corcoran, 348 Mass. at 440-441. Given this unmistakable legislative intent, it should be of no material consequence where "possession" technically lay, so long as the evidence enabled the jury to find -- as they did here -- that the defendant either "fraudulently converted" to his personal use property (here BCHF funds) subject to his control by virtue of his (here conceded) position of "trust or

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confidence," see Commonwealth v. Hays, 80 Gray 62, 63-65 (1859); or knowingly induced another to part with property (here BCHF checks and the underlying funds they represented), the benefit of which he ultimately obtained, as a result of the other's reliance on his misrepresentations (here as to the supposed proper corporate purpose of the checks). See Commonwealth v. Leonard, 352 Mass. 636, 644-645 (1967). See also supra at note 5.

Moreover, the factual situation regarding the "possession" and control of BCHF's funds was not as clear-cut as the defendant would have it, but rather was sufficiently muddy and conflicting to justify the submission to the jury on alternative theories of culpability. On the one hand, the defendant's assertion of automatic "possession" of all BCHF funds by virtue of his presidency is mere ipse dixit. No Massachusetts authority for this proposition is cited or, to our knowledge, exists. To the contrary, as a matter of general corporate law, it is the treasurer, not the president, who is the only proper officer with inherent possessory custody of corporate funds, in the absence of a by-law or directors' resolution to the contrary. See Merchants Natl. Bank of Gardiner v. Citizens' Gas & Light Co., 159 Mass. 505, 506-508 (1893); New Hampshire Natl. Bank v. Garage and Factory Equip. Co., 267 Mass. 483, 486-487 (1929); Lydia E. Pinkham Med. Co. v. Gove, 303 Mass. 1, 9 (1939); Cox, Hazen & O'Neal, Corporations s. 8.10 (1995). [Note 11]

The by-laws of BCHF did not, contrary to the defendant's assumption, alter, but rather confirmed, that basic principle. The president was indeed denominated the chief executive officer, with general power of supervision and control over corporate affairs and the expenditure of corporate funds. It was the treasurer, however, not the president, who was expressly given "general charge of the financial affairs of [BCHF]" and, more explicitly, entrusted with the "care and custody of all funds of [BCHF] except as the Directors may otherwise provide."

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The original BCHF treasurer, Donald C. Filer, retired sometime prior to the improprieties charged in the indictments. The situation thereafter is unclear regarding who subsequently may have served as, or in the capacity of, treasurer with lawful custody and control of the BCHF funds. Although no corporate resolutions in this regard appear in the record, it may well be that the defendant had in some fashion received directorial recognition or authorization as successor treasurer. [Note 12]

On the other hand, any such authorization was not exclusive. The administrator of the department of cardiology, Jacqueline Yarian Harris -- who was not a corporate officer -- at some point received the authority (presumably from the directors, since the BCHF by-laws conferred check signing authority only upon the president or treasurer) to sign BCHF checks up to $50,000 herself. Checks above that amount required the signatures of both the treasurer and the president. All of the BCHF checks covered by the counts on which the jury returned verdicts of guilty were for amounts under $50,000 and were signed or prepared by Ms. Harris upon the defendant's oral directions -- which the evidence established to have been false or misleading -- as to their purpose and destination. [Note 13] At least two of the BCHF checks included in the indictments, but as to which the jury were unable to reach a verdict, [Note 14] were prepared and signed by the defendant himself.

Thus, the jury were confronted with a confusing factual sit-

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uation regarding the defendant's status and rights vis-a-vis BCHF's funds. From the circumstances in evidence, they might reasonably have found that, with respect to some or all of the checks at issue, the defendant did not have the unequivocal authority he now claims for himself -- he may have been acting in his role as president, but may also have done so as successor to the treasurer, or possibly in a dual capacity. The jury could, therefore, have reasonably inferred (a) that by means of some of the checks, the defendant converted for his own purposes BCHF moneys with which he had been entrusted in his fiduciary capacity as de facto or de jure custodian of the corporate funds; as well as (b) that by means of other checks, the defendant diverted BCHF funds, not in his lawful custody but subject to his direction, to be withdrawn from the corporation upon his misstatements as to their intended corporate use and then appropriated them as his own or directed their use for his personal purposes. The task of resolving the factual conflicts, inconsistencies, and uncertainties in this regard was properly consigned by the judge to the jury. See Commonwealth v. Latimore, 378 Mass. 671, 678-679 (1979); Commonwealth v. Ruci, 409 Mass. 94, 97 (1991); Commonwealth v. Rossi, 15 Mass. App. Ct. 950, 952 (1983); Commonwealth v. Hastings, 22 Mass. App. Ct. 930, 931 (1986).

On the facts presented, therefore, there was no error in the judge's challenged instruction, so there is no issue whether there might have been a miscarriage of justice. A properly instructed jury could rationally conclude that the Commonwealth's proof was adequate to support both the charge of larceny by false pretenses and the charge of larceny by embezzlement. See Commonwealth v. King, 202 Mass. at 390-392; Commonwealth v. Corcoran, 348 Mass. at 442. Cf. Commonwealth v. Tuckerman, 76 Gray 173, 201-204 (1857); Commonwealth v. Langley, 169 Mass. 89, 95-96 (1897); Commonwealth v. Leland, 311 Mass. at 452. [Note 15]

The jury here were properly instructed on the theories of

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larceny submitted to them. [Note 16] They were also properly instructed on the need for unanimity of verdict, contrary to the defendant's related argument that the judge erroneously failed to clarify for the jury that they were required to be unanimous as to the underlying theory of larceny where the evidence supported more than one theory of culpability. The defendant further claims in that regard that the judge's failure to give a specific unanimity instruction -- which he did not request -- created a substantial risk of a miscarriage of justice. Since his argument is premised on the supposed "absence of sufficient evidence" upon which a jury could base a finding of guilt with respect to larceny by false pretenses, it fails for the reasons set forth above. [Note 17]

In any event, the judge's instructions did in fact inform the

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jury that they were separately to consider each theory of culpability and to agree unanimously on a theory, as well as on the Commonwealth's proof of all necessary elements of the offense under that theory, as to each count of the indictment. Under the circumstances of this case -- where there was evidence to support a finding of larceny by either or both theories of culpability -- no substantial risk of miscarriage of justice could have been occasioned by the judge's general unanimity instruction. See Commonwealth v. Sylvester, 400 Mass. 334, 340 (1987); Commonwealth v. Keevan, 400 Mass. 557, 567 (1987). [Note 18] Read as a whole, as we must, see Commonwealth v. Ferreira, 417 Mass. 592, 595 (1994), the judge's instructions were such that no reasonable juror could have been confused or misled as to his or her obligations in passing upon the issue of the defendant's guilt or innocence under either theory on each count. [Note 19]

The Commonwealth has sufficiently responded to and refuted the defendant's additional assignments of error, and we need not discuss them further. We do, however, pause to mention the defendant's motion to strike the Commonwealth's brief, or particular "offending passages" thereof, for alleged

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"repeated and flagrant" violations of various appellate procedural rules. Although the Commonwealth did include in its discussion of the factual and procedural history of the case references to mistried counts on which the jury could not reach verdicts along with the guilty verdict counts, such an intermixture neither confused the panel nor prejudiced it against the defendant. The Commonwealth's introductory, argumentative paragraph, summarizing the defendant's defalcations and malversations but containing no specific record citations, was indeed a technical misstep, but the court was not misled by its rhetorical purpose or its content, which was properly supported elsewhere throughout the Commonwealth's brief. The Commonwealth's "spin" on the trial testimony was not a "total distort[ion]," as the defendant contends, but rather permissible adversary advocacy. To the extent the Commonwealth referred to matters outside the trial record, such matters would be and certainly were disregarded by the panel. Even more than with a jury, a "certain measure of . . . sophistication in sorting out excessive [or improper] claims on both sides may fairly be assumed" by the parties on the part of an appellate tribunal. Cf. Commonwealth v. Yesilciman, 406 Mass. 736, 746 (1990). The defendant's motion to strike is denied.

Judgments affirmed.