Source: http://openjurist.org/413/f3d/1253/united-states-v-smith
Timestamp: 2014-03-09 04:34:07
Document Index: 409558071

Matched Legal Cases: ['§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1962', '§ 1961', '§ 1961', '§ 1961']

413 F3d 1253 United States v. Smith | OpenJurist
413 F. 3d 1253 - United States v. Smith	Home413 f3d 1253 united states v. smith
413 F3d 1253 United States v. Smith 413 F.3d 1253
UNITED STATES of America, Plaintiff-Appellee,v.Tyrese Sharod SMITH, also known as Seagram, Defendant-Appellant.
No. 03-4240.
Tyrese Sharod Smith, Florence, CO, filed a pro se brief.
Catherine Conklin (Deirdre A. Gorman, with her on the briefs), Ogden, UT, appearing for Appellant.
Diana Hagen, Assistant United States Attorney (Paul M. Warner, United States Attorney, and Robert A. Lund, Assistant United States Attorney, with her on the briefs), Office of the United States Attorney for the District of Utah, Salt Lake City, UT, appearing for Appellee.
Mr. Smith, along with five others, formed KMD while in juvenile detention at the Decker Lake Youth Detention Center in the early 1990s. The gang was modeled on the Chicago "Gangster Disciples," although the two gangs were never affiliated. Mr. Smith was the undisputed leader of KMD and often went by the self-appointed title "King Seagram" to evidence his leadership role. KMD had a formal process for initiating new members into the gang, which included sponsorship by a current member, a probationary period, completion of a "mission," and a physical initiation. KMD also had a formal hierarchy of members who were assigned ranks—Reverend, Minister, Priest, Knight, Bishop, and Rook—to identify their standing in the gang. KMD was governed by rules established by Mr. Smith, known as the KMD "bible," including the requirement to attend meetings, to maintain a code of silence, and to provide financially for other KMD members. Members who violated the rules were subject to different levels of penalties depending on the gravity of the offense. The record also indicates that KMD held regular meetings at which gang business was discussed and directives were issued by Mr. Smith, or, during times when he was in prison, the highest ranking member who was present.
Another purpose of KMD was to provide financial assistance to its members and their families. To do this, KMD distributed marijuana on the streets and also controlled the marijuana trade in the Utah State Prison. Home invasion robberies were another way KMD members made money. The gang generally targeted drug dealers' homes because a drug dealer is unlikely to call the police and because they could steal drugs as well as cash. The homes of drug dealers also frequently contained guns, which KMD would also steal and use to commit other crimes. Through drug trafficking and robberies, KMD members would contribute money to those members needing help—including the wives and children of incarcerated KMD members.
Members of KMD were constantly moving in and out of the Utah penological system. Mr. Smith, in fact, was incarcerated in 1994 for his participation in a drive-by shooting. He was paroled in October 1995, but he violated his parole two months later and was returned to state prison. He was then sentenced for the murder of Joey Miera, which was committed by KMD members upon an order that he issued while incarcerated on the drive-by shooting charge. Despite these periods of incarceration, Mr. Smith retained control of KMD, issuing rules and orders— often on a daily basis—from his prison cell.
Mr. Smith first argues that the Government's evidence at trial was insufficient to support a conviction under 18 U.S.C. § 1962(d). In evaluating the sufficiency of the evidence, we review the record de novo. United States v. Nelson, 383 F.3d 1227, 1229 (10th Cir.2004). There is sufficient evidence to uphold a conviction if a reasonable jury could find the defendant guilty beyond a reasonable doubt. Id. In making this determination, we review the direct and circumstantial evidence, along with all reasonable inferences therefrom, in the light most favorable to the Government. Id.
Mr. Smith was convicted of violating 18 U.S.C. § 1962(d), which makes it "unlawful for any person to conspire to violate" 18 U.S.C. § 1962(c). Because this conspiracy provision lacks an overt act requirement, a defendant can be convicted under § 1962(d) upon proof that the defendant knew about or agreed to facilitate the commission of acts sufficient to establish a § 1962(c) violation. See Salinas v. United States, 522 U.S. 52, 63-66, 118 S.Ct. 469, 139 L.Ed.2d 352 (1997).
In Sedima, S.P.R.L. v. Imrex Co., 473 U.S. 479, 105 S.Ct. 3275, 87 L.Ed.2d 346 (1985), the Supreme Court held that "[a] violation of § 1962(c) ... requires (1) conduct (2) of an enterprise (3) through a pattern (4) of racketeering activity." Id. at 496, 105 S.Ct. 3275 (internal note omitted).1 To clarify what conduct is necessary to prove a violation of § 1962(c), some courts have expanded this test to incorporate additional elements of the statute. See, e.g., Moss v. Morgan Stanley, Inc., 719 F.2d 5, 17 (2d Cir.1983). We adopt this approach to establishing a violation of § 1962(c), and because a defendant violates § 1962(d) by conspiring to violate § 1962(c), we hold that in order to convict a defendant for violating § 1962(d), the Government must prove beyond a reasonable doubt that the defendant: (1) by knowing about and agreeing to facilitate the commission of two or more acts (2) constituting a pattern (3) of racketeering activity (4) participates in (5) an enterprise (6) the activities of which affect interstate or foreign commerce.
With this in mind, we turn to Mr. Smith's arguments on appeal. He contends that the Government failed to present sufficient evidence: (1) of the existence of a RICO enterprise; (2) of a pattern to the racketeering activity; (3) of a nexus between the enterprise and the racketeering activity; (4) that he agreed to facilitate the commission of the racketeering activity; and (5) that the enterprise, if any, was engaged in, or its activities affected, interstate commerce.2
A RICO enterprise "includes any individual, partnership, corporation, association, or other legal entity, and any union or group of individuals associated in fact although not a legal entity." 18 U.S.C. § 1961(4). In United States v. Turkette, 452 U.S. 576, 583, 101 S.Ct. 2524, 69 L.Ed.2d 246 (1981), the Supreme Court held that a RICO enterprise "is proved by evidence of an ongoing organization, formal or informal, and by evidence that the various associates function as a continuing unit." The Court also emphasized that the concepts of an enterprise and a pattern of racketeering activity are distinct, stating that "[w]hile the proof used to establish these separate elements may in particular cases coalesce, proof of one does not necessarily establish the other." Id.
Many of our sister circuits have had occasion to flesh out the Turkette definition of "enterprise." See, e.g., United States v. Darden, 70 F.3d 1507, 1520 (8th Cir.1995). While this Court has never specifically adopted a scheme for analyzing the enterprise element of a RICO claim, in United States v. Sanders, 928 F.2d 940, 943 (10th Cir.1991), we took direction from the Third Circuit's decision in United States v. Riccobene, 709 F.2d 214, 222 (3d Cir.1983), abrogation on other grounds recognized by United States v. Vastola, 989 F.2d 1318, 1330 (3rd Cir.1993).
Guided by Sanders, we now adopt the Riccobene framework and hold that the Government establishes an enterprise when it proves three elements. First, the Government must prove the existence of "an ongoing organization with a decision-making framework or mechanism for controlling the group." Sanders, 928 F.2d at 943. See United States v. Walters, 269 F.3d 1207, 1211 (10th Cir.2001). Second, the Government must prove "that various associates function as a continuing unit." Sanders, 928 F.2d at 944. Finally, the Government must prove that the enterprise exists "separate and apart from the pattern of racketeering activity." Id.
The second element that the Government must prove to establish that KMD was an enterprise under RICO is that its "various associates function[ed] as a continuing unit." Turkette, 452 U.S. at 583, 101 S.Ct. 2524. This element may be established even if some individuals left KMD and were replaced by new members at a later date. Riccobene, 709 F.2d at 223. Thus, the central feature of this element is simply that each KMD member played a role in the gang that is both consistent with KMD's organizational structure and furthered the gang's activities. Id.
The Government presented a wealth of evidence on this point to the jury. Of particular importance, while in prison, Mr. Smith committed certain rules to writing in a "bible" that set forth the structure and bylaws of KMD. The bible recites how KMD was formed, explains how new members are initiated into the gang, gives a code of conduct, states the types of violations and punishments members would receive for breaking any "law of King Seag" (a reference to Mr. Smith), and describes the hierarchy within the gang. Testimony showed that the bible was distributed to KMD members. The Government also presented evidence that Mr. Smith held the rank of Reverend, the highest KMD rank, and that he was the undisputed leader of KMD. The Government also presented evidence that next highest rank of "Minister" included four founding members of KMD—Robert Land, Miguel Flores, Fred Edwards, and Tony Pantelakis—as well as Collin Carter, a non-founding member of KMD. Ministers were expected to teach the bible to lower-ranking members, as well as teach them how to commit crimes in order to secure more power for KMD, fostering KMD's long-term goal of being the most powerful Salt Lake City gang and protecting its members physically and financially. Given this evidence, along with other evidence of KMD's structure outlined below, we conclude that the Government presented sufficient evidence that KMD was a continuing unit.
The third element the Government must prove to establish that KMD was a RICO enterprise is that the gang existed as "an entity separate and apart from the pattern of activity in which it engages." Turkette, 452 U.S. at 583, 101 S.Ct. 2524. In other words, the "enterprise" must not be just a name for the crimes KMD members committed. See United States v. Rogers, 89 F.3d 1326, 1337 (7th Cir.1996). Therefore, to satisfy this element, "it is not necessary to show that the enterprise has some function wholly unrelated to the racketeering activity, but rather that it has an existence beyond that which is necessary merely to commit each of the acts charged as predicate racketeering offenses." Riccobene, 709 F.2d at 223-24.
There were five original members of KMD besides Mr. Smith: Mr. Land, Mr. Flores, Mr. Pantelakis, Mr. Edwards, and Jeremy Hayes. Other members were brought into the gang by a formalized process. First, a current KMD member called a "guardian angel" would vouch for and sponsor a new recruit. The guardian angel would teach the potential member about KMD and set an example of how to behave. Then, during a 67-day testing period, the recruit would be assigned a "mission" in order to prove himself. Missions were usually criminal acts of retaliation against rival gang members. Missions often included robberies, assaults, and drive-by shootings. If the potential member was either successful in his mission or silent if he was caught, he would be given a loyalty oath and then "jumped in" (i.e., beaten by other KMD members). After the physical initiation, he would be a member of KMD—subject to Mr. Smith's final approval.
Given this wealth of evidence, coupled with the evidence of the KMD bible, we easily conclude that there was sufficient evidence to prove that KMD had an existence as "an entity separate and apart from the pattern of activity in which it engages." Turkette, 452 U.S. at 583, 101 S.Ct. 2524.
Mr. Smith next asserts that the Government failed to present sufficient evidence that he engaged in a pattern of racketeering activity. Racketeering activity, which is frequently described as a "predicate act" or "predicate acts," consists of federal and state crimes identified in 18 U.S.C. § 1961(1). For a pattern of racketeering activity to exist, it is necessary that at least two predicate acts were committed within ten years of another. 18 U.S.C. § 1961(5). But a finding that two predicate acts were committed within this time frame—as is the case here—is not sufficient to establish a pattern of racketeering activity. Instead, the Supreme Court has held that the pattern element requires the Government to show that the predicate acts are (1) "related" and (2) that "they amount to or pose a threat of continued criminal activity." H.J., Inc. v. Northwestern Bell Tel. Co., 492 U.S. 229, 239, 109 S.Ct. 2893, 106 L.Ed.2d 195 (1989).