Source: https://law.justia.com/cases/federal/appellate-courts/F2/742/1335/212796/
Timestamp: 2020-02-17 23:59:23
Document Index: 40488912

Matched Legal Cases: ['§ 1962', '§ 1961', '§ 2510', '§ 2516', '§ 2518', '§ 952', '§ 848', '§ 801', '§ 846', '§ 848', '§ 841', '§ 2', '§ 841', '§ 952', '§ 952']

United States of America, Plaintiff-appellee, v. Antonio E. Bascaro, Patrick M. Waldrop, Russell Hobson, Iii,manuel Eric Villanueva, Gustavo J. Fernandez,manuel W. James, Defendants-appellants.united States of America, Plaintiff-appellant, Cross-appellee, v. Manuel W. James, Defendant-appellee, Cross-appellant, 742 F.2d 1335 (11th Cir. 1984) :: Justia
Justia › US Law › Case Law › Federal Courts › Courts of Appeals › Eleventh Circuit › 1984 › United States of America, Plaintiff-appellee, v. Antonio E. Bascaro, Patrick M. Waldrop, Russell Hob...
United States of America, Plaintiff-appellee, v. Antonio E. Bascaro, Patrick M. Waldrop, Russell Hobson, Iii,manuel Eric Villanueva, Gustavo J. Fernandez,manuel W. James, Defendants-appellants.united States of America, Plaintiff-appellant, Cross-appellee, v. Manuel W. James, Defendant-appellee, Cross-appellant, 742 F.2d 1335 (11th Cir. 1984)
US Court of Appeals for the Eleventh Circuit - 742 F.2d 1335 (11th Cir. 1984) Oct. 1, 1984. Rehearings and Rehearings En Banc Denied in No. 82-5547 Dec.6, 1984
James was convicted on one count only--conspiracy to possess marijuana with intent to distribute.2 All other defendants were found guilty of conspiracy to violate the Racketeering Influenced and Corrupt Organizations Act (RICO)3 ; completed RICO substantive offenses4 ; conspiracy to import marijuana5 ; possession of marijuana with intent to distribute6 (Bascaro--four counts; Villanueva, Fernandez and Waldrop--two counts; Hobson--one count); and with the exception of Bascaro, conspiracy to possess marijuana with intent to distribute.7 In addition, Bascaro and Villanueva were convicted of engaging in a continuing criminal enterprise8 and interstate travel in aid of racketeering enterprises,9 and Hobson and Waldrop were convicted of importing marijuana.10
The Racketeering Influenced and Corrupt Organizations Act (RICO), 18 U.S.C. § 1962, makes it unlawful to conduct or participate in the conduct of an enterprise affecting interstate commerce, through a pattern of racketeering activity, and also makes it a crime to conspire to do so. Racketeering activity is defined in terms of a laundry list of offenses, including "the felonious manufacture, importation, receiving, concealment, buying, selling, or otherwise dealing in narcotic or other dangerous drugs, punishable under any law of the United States." 18 U.S.C. § 1961(1) (D) (emphasis supplied).
Evidence discovered post-trial, calling into question the existence of probable cause for a search conducted by law enforcement officers, is properly considered by the district court in a motion for a new trial pursuant to Fed.R.Crim.Pro. 33. See, e.g., United States v. VanMaanen, 547 F.2d 50, 52-53 (8th Cir. 1976). Rule 33 provides, however, that where, as here, such a motion is filed with the district court during the pendency of an appeal, the motion may be denied but may not be granted without first having the case remanded by the court of appeals. United States v. Fuentes-Lozano, 580 F.2d 724 (5th Cir. 1978); see generally C. Wright, Federal Practice and Procedure Sec. 557 (1982).
438 U.S. 154, 171-72, 98 S. Ct. 2674, 2684-85, 57 L. Ed. 2d 667 (1978) (footnote omitted) (emphasis supplied).
The first question to be answered is whether federal or state law governs a federal district court's ruling in a federal drug conspiracy case on the sufficiency of a wiretap application approved by a state court and submitted by a state law enforcement agent. Both the United States and the state of Florida have enacted wiretap authorization statutes. See 18 U.S.C. § 2510 et seq.; FSA Secs. 934.01 et seq. Title 18 U.S.C. § 2516(2) provides in pertinent part:
(emphasis supplied). Two courts of appeals have expressly held that the federal statute requires federal courts to defer to state law on the question of the validity of wiretap orders obtained in state court by state law enforcement agents, to the extent that state requirements are the more rigorous. United States v. McNulty, 729 F.2d 1243, 1264 (10th Cir. 1984) (en banc); United States v. Marion, 535 F.2d 697 (2d Cir. 1976). In United States v. Nelligan, our court tacitly approved "the Second Circuit's conclusion that state law governs the validity of state warrants issued by state courts" as an exception to "the general rule that federal law governs the admissibility of wiretap evidence in federal criminal cases." 573 F.2d 251, 254 (5th Cir. 1978). We agree with the interpretation given the statute by our brethren in the Second and Tenth Circuits, and therefore make explicit what was only implicit in Nelligan: that the requirements of state and federal law govern a federal district court's determination of the validity of wiretap warrants obtained by state law enforcement officers in state courts.
As previously noted, the state circuit court approved Agent Dobson's applications to amend the original January 5 wiretap authorization order, on the basis of affidavits that incorporated by reference the January 5 order and stated that an amendment to that order was necessary because the subject of the wiretap had changed his telephone number. The appellants do not suggest that this procedure would run afoul of federal law, but contend that it did violate the more rigorous Florida requirements. In support of their position, appellants have brought to our attention two Florida court of appeals decisions applying the state wiretap statute, and invalidating wiretap order amendment applications that incorporated by reference documents from the original application. Bagley v. State, 397 So. 2d 1036 (Fla.App.1981); Wilson v. State, 377 So. 2d 237 (Fla.App.1979).
In both Wilson and Bagley, the original wiretap applications submitted by the state were sufficient in all respects and were properly approved. Among the requirements satisfied, was that the applicant furnish "a full and complete statement as to whether or not other investigative procedures have been tried and failed or why they reasonably appear to be unlikely to succeed if tried or to be too dangerous"--a requirement common to the Florida and federal statutes. Sec. 934.09(1) (c), Fla.Stats.; 18 U.S.C. § 2518(1) (c). Before the thirty-day time period on the original orders had run, the subjects of the wiretaps in Bagley and Wilson changed residence and telephone number, forcing the state to return to court with applications to amend the existing orders. In neither amendment application did the state reassert that other investigative procedures continued to be too dangerous or unlikely to succeed. Rather, they simply incorporated by reference statements to that effect from the original application.
The Florida courts of appeals held that the amendment applications were insufficient. The rationale for that conclusion, implicit in both opinions, is that when a suspect changes residence, the circumstances that previously made other investigative procedures dangerous or unlikely to succeed may no longer exist, thus requiring the state to assert new facts in its amendment application demonstrating that conventional investigative techniques continue to be dangerous or ineffective. As the Bagley court observed: "In the original application for wiretap, the affiant declared that it was difficult to surveil Bagley's residence because there were no positions the affiant could sit without being detected. The amendment makes no reference at all to the success or failure of the surveillance techniques employed at the new location. The amendment also fails to state why routine methods of surveillance could not be used at the new location." 397 So. 2d at 1038.
Against this background, the indictment here meets the test of specificity. Count II recites the essential elements of the offense charged against Sanes-Saavedra--knowingly conspiring to import a schedule I controlled substance into the United States, in violation of 21 U.S.C. §§ 952(a) and 963. It identified his alleged co-conspirators as well as the particular controlled substance. (citation omitted). The indictment also correctly set forth the time span of the conspiracy: from June 1, 1981 until the date of the indictment (November 24, 1981). (citations omitted). It further described the locale of the alleged conspiracy, at least partially, with the allegation that the criminal activity took place "in the Northern District of Florida and elsewhere." Taken as a whole, these allegations adequately set forth the offense charged.
Rules 43 and 44 of the Federal Rules of Criminal Procedure embody a criminal defendant's rights under the sixth amendment to the United States Constitution to be present and to be represented by counsel at every stage of the proceedings against him, including the impaneling of the jury. Fed. R. Crim. P. 43(a), 44(a); Illinois v. Allen, 397 U.S. 337, 338, 90 S. Ct. 1057, 1058, 25 L. Ed. 2d 353 (1970); United States v. Chrisco, 493 F.2d 232 (8th Cir. 1974). Those rights necessarily extend to that phase of the jury selection process involving the exercise of peremptory strikes. Chrisco, 493 F.2d at 236-37.
Appellants further challenge the sufficiency of the voir dire because of the trial court's failure to inquire into potential juror prejudice against the defendants in light of the large quantity of marijuana involved. As noted earlier, during the pretrial conference the defendants were invited to submit questions for the court to ask prospective jurors; a total of 129 questions were later submitted. Not one of those proposed questions asked whether the jurors would be affected by the quantity of drugs involved in the case. We are satisfied that the general inquiry into the jurors' opinions respecting drug offenses was sufficient to disclose relevant prejudices, and that it was well within the trial court's discretion not to pursue the matter further with additional questions concerning the jurors' attitudes toward the quantity of marijuana at issue--especially in light of the fact that the defendants never requested that such a question be posed. United States v. Eastwood, 489 F.2d 818, 819-20 (5th Cir. 1973) (general questions posed by the district court pertaining to juror bias sufficed for specific questions proposed by defendant but rejected by the court); United States v. Desmarais, 531 F.2d 632, 634 n. 4 (1st Cir. 1976) (failure of defendant to request that specific questions be asked was relevant to a determination that the trial court did not abuse its discretion in failing to ask such questions).
The other communications undertaken on the 25th are somewhat more troubling. It is certainly true that preferable procedure would have been for the court to have informed counsel of communications from the jury and to afford them an opportunity to be heard before written responses were returned. United States v. McDuffie, 542 F.2d 236, 241 (5th Cir. 1976). Nevertheless, counsel's failure to object to the ex parte communications at the time they were revealed may have operated as a waiver. Moreover, courts have universally held that where wholly innocuous inquiries of the sort at issue here are responded to by the court without first consulting counsel, any error thereby committed is nonprejudicial. United States v. Reynolds, 489 F.2d 4, 7-8 (6th Cir. 1973); United States v. Stone, 452 F.2d 42, 48-49 (8th Cir. 1971); United States v. Goodman, 457 F.2d 68, 72-73 (9th Cir. 1972); United States v. Freed, 460 F.2d 75, 78-79 (10th Cir. 1972). As the Fifth Circuit noted in United States v. Breedlove, 576 F.2d 57, 60 (5th Cir. 1978), "when the judge's answer to the jury's inquiry was distinctly responsive to the question, it clearly stated the law, and no prejudice is shown, the error is harmless." See also United States v. McDuffie, 542 F.2d 236, 241 (5th Cir. 1976). In this case, the court's answers were distinctly responsive to the jury's questions, and as such were at most harmless error.13 Separate Issues
Assuming the United States Attorney's behavior amounted to misconduct, the "remedies should be tailored to the injury suffered ...." United States v. Morrison, [449 U.S. 361, 364, 101 S. Ct. 665, 668], 66 L. Ed. 2d 564, 568 (1981).... Fernandez complain(s) of two injuries. One is that the United States Attorney's actions poisoned their relationship with their lawyer. That complaint is mooted by their lawyer's disqualification. The other is that through his conversations with them the United States Attorney gained evidence and leads to even more evidence. The United States Attorney quite properly states he does not intend to introduce in his case in chief any evidence given him in the meetings and that the conversations were not used to obtain evidence. Even if, as defendants allege, evidence were procured through the conversations, the prejudice can be cured by suppression of the evidence.
On appeal, Fernandez acknowledges that the Supreme Court's unanimous decision in United States v. Morrison explicitly held that absent demonstrable prejudice, dismissal of an indictment for violation of a defendant's sixth amendment rights is unnecessary. 101 S. Ct. 665, 449 U.S. 361, 66 L. Ed. 2d 564 (1981). Inexplicably, however, Fernandez does not challenge the district court's conclusion that the potential for prejudice could be eliminated by means stopping short of dismissal, but instead is content to argue that the government's conduct requires per se dismissal. In effect, the appellant invites us to overrule Supreme Court precedent. We decline.
The agreement negotiated by the United States Attorney, wherein Fernandez was to barter his right to counsel in return for his freedom, constituted a coerced rather than voluntary waiver of the appellant's sixth amendment rights, and as such was wholly improper. See Brewer v. Williams, 430 U.S. 387, 97 S. Ct. 1232, 51 L. Ed. 2d 424 (1977). Nevertheless, we are in complete agreement with the district court that suppression of information obtained from Fernandez in defense counsel's absence assured that the government's misconduct would not prejudice the appellant in any way. Fernandez is unable to point to any evidence admitted at trial that was secured as a result of the improper interview. Accordingly, we affirm its ruling.
Under 21 U.S.C. § 848, a person who engages in a continuing criminal enterprise shall be sentenced to a term of imprisonment of ten years to life. A person is considered to have engaged in a continuing criminal enterprise if he violates any provision of 21 U.S.C. §§ 801 et seq. governing drug abuse prevention and control, in the course of a continuing series of like violations undertaken in concert with five or more other persons "with respect to whom such person occupies a position of organizer, a supervisory position, or any other position of management," as a result of which that person obtains substantial income or resources. Villanueva challenges his conviction under this statute, on the grounds that the evidence was insufficient to demonstrate that he was an organizer or supervisor of the enterprise. Viewing the record in the light most favorable to the government, we conclude that the evidence was sufficient to support Villanueva's conviction.
In affirming Villanueva's continuing criminal enterprise conviction, we must simultaneously vacate his convictions on counts three and five for conspiracy to import and conspiracy to possess with intent to distribute marijuana, on double jeopardy grounds. The conspiracy provisions of the Controlled Substances and Controlled Substances Import and Export Acts proscribe conspiracy to commit any of the offenses defined in those acts. 21 U.S.C. §§ 846; 963. Similarly, the crime of continuing criminal enterprise, as defined in the Controlled Substances Act and construed by the Supreme Court in Jeffers v. United States, 432 U.S. 137, 97 S. Ct. 2207, 53 L. Ed. 2d 168 (1977), includes as one of its elements a conspiracy to violate the provisions of the Controlled Substances or Controlled Substances Import and Export Acts. 21 U.S.C. § 848(b). In other words, one cannot be guilty of continuing criminal enterprise without also being guilty of conspiracy--the latter is a lesser included offense of the former. Jeffers; United States v. Michel, 588 F.2d 986, 1001 (5th Cir. 1979); United States v. Graziano, 710 F.2d 691, 699 (11th Cir. 1983). Where, as here, a defendant is convicted of engaging in a continuing criminal enterprise as well as the lesser included offenses of conspiracy to import and conspiracy to possess with intent to distribute marijuana, the proper remedy is to vacate both the convictions and sentences of the lesser included conspiracy offenses. Graziano, 710 F.2d at 699.
It is settled that the existence of a simple buyer-seller relationship alone does not furnish the requisite evidence of a conspiratorial agreement. United States v. Braico, 422 F.2d 543 (7th Cir. 1970); United States v. Watson, 594 F.2d 1330, 1337 (10th Cir. 1979); United States v. Torres, 503 F.2d 1120, 1123 (2d Cir. 1974). It is equally well settled, however, that where a buyer knowingly assumes a role instrumental to the success of the conspiracy, the jury may properly infer that he is a member in it. United States v. Apollo, 476 F.2d 156, 162 (5th Cir. 1973) (finding it unnecessary "to define precisely how limited purchases, in number or size, may be in such 'mere purchases' cases and still permit the intent to participate in an unlawful conspiracy to be inferred," because "in the present case, there was direct proof of a continuing relationship between Apollo and Cocroft, a known conspirator, which resulted on at least two occasions in the witting transfer of company marijuana to Apollo"); United States v. Hess, 691 F.2d 984, 988 (11th Cir. 1982) (while a fence does not automatically become a conspirator by purchasing stolen property, fences are necessary to the success of a hijacking conspiracy, and a fence who holds himself out as a place to dispose of stolen goods is a conspirator).
A district court's refusal to deliver a defendant's requested instruction will constitute reversible error "if and only if the requested instruction (1) is correct, (2) is not substantially covered by other instructions which were delivered, and (3) deals with some point in the trial so 'vital' that the failure to give the requested instruction seriously impaired the defendant's ability to defend." United States v. Stone, 702 F.2d 1333, 1339 (11th Cir. 1983). We are satisfied that the requested instruction was substantially covered by other instructions delivered. The only difference between the "theory of defense" instruction requested and the instruction given was that the instruction given defined the enterprise in terms of its participants and purpose instead of its organizers, which for reasons given above is not a difference so vital as to impair the defendants' ability to defend under the instruction delivered.
The gist of Hobson and Waldrop's contention with respect to the possession and importation counts is that they never had constructive or actual possession of the marijuana, nor were they physically responsible for the importation. Hobson candidly acknowledges that to the extent he is linked to a conspiracy to possess or import, he may be found guilty of the completed acts of possession and importation notwithstanding that he did not physically commit them. Pinkerton v. United States, 328 U.S. 640, 66 S. Ct. 1180, 90 L. Ed. 1489 (1946). He points out, however, that before a defendant may be convicted of substantive offenses on the basis of acts committed by his co-conspirators, a jury instruction outlining that basis for liability must be given. United States v. Monaco, 702 F.2d 860, 881 (11th Cir. 1983). Inexplicably, the government did not request and the district court did not deliver a Pinkerton -type instruction. The court did, however, instruct the jury that a defendant would properly be found guilty of a substantive offense were he to aid or abet another in its commission.
Trevino and Gonzalez were charged in this count under 21 U.S.C. § 841(a) (1) (1976), making illegal any possession of a controlled substance with intent to distribute, and 18 U.S.C. § 2 (1970), providing that "whoever ... aids, abets, counsels, commands, induces or procures" the commission of a federal crime is punishable as a principal for the violation itself. To aid or abet another in the commission of a crime within the meaning of the statute requires that the defendant "in some sort associate himself with the venture, that he participate in it as something that he wishes to bring about, that he seek by his action to make it succeed."
The only issue raised by Bascaro that merits discussion and that was not considered previously as a common issue, is his double jeopardy claim.16 The government appears to acknowledge that Bascaro was previously tried and convicted of conspiracy to possess marijuana with intent to distribute in connection with a smuggling venture undertaken by the enterprise/conspiracy being prosecuted in the instant case. If true, this state of affairs would raise a question as to the validity of Bascaro's subsequent continuing criminal enterprise conviction and possibly his RICO conspiracy conviction in this case. See United States v. Phillips, 664 F.2d 971, 1015 n. 64 (5th Cir. Unit B 1981); see generally id. at 1004-1015. We do not, however, reach the merits of Bascaro's double jeopardy claim. The issue is raised for the first time on appeal; Bascaro's double jeopardy defense was thus waived by his failure to assert it at trial. Grogan v. United States, 394 F.2d 287, 289 (5th Cir. 1967).
Bascaro's motion for a bill of particulars, and his assignment of error to the court's refusal to grant that motion, relates to a different and less troubling double jeopardy claim. The function of a bill of particulars is to provide a defendant with information about the details of the charge against him if this is necessary to the preparation of his defense, and to avoid prejudicial surprise at the trial. United States v. Diecidue, 603 F.2d 535 (5th Cir. 1979); see also C. Wright, Federal Practice and Procedure Sec. 129. A bill of particulars has been held to be appropriate where necessary to permit the defendant to plead double jeopardy in the event of a subsequent prosecution of the same offense. United States v. Gorel, 622 F.2d 100, 104 (5th Cir. 1979). The thrust of Bascaro's argument is that his activities in connection with the smuggling episode for which he had been previously convicted were not listed among the overt acts of the enterprise in the instant indictment, yet were used to convict him again here. He asserts that a bill of particulars would have revealed as much, but that as a consequence of the denial of his motion for a bill of particulars, Bascaro was unprepared to lodge a double jeopardy objection.
21 U.S.C. §§ 841(a); 846
21 U.S.C. §§ 952(a); 963
18 U.S.C. § 952(a)