Opinion ID: 166091
Heading Depth: 1
Heading Rank: 2

Heading: sufficiency of the evidence challenge to the conspiracy to violate rico conviction

Text: 11 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. 12 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). 13 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. 14 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
15 The jury concluded that Mr. Smith participated in the affairs of KMD, which it further found to be an enterprise under RICO. On appeal, Mr. Smith does not deny his involvement with the gang but simply argues that the Government failed to prove that KMD was an enterprise. 16 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. 17 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). 18 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. 19 Mr. Smith does not challenge the first element on appeal; thus we do not consider it. We turn now to the second and third elements.
20 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. 21 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. 22
23 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. 24 The Government presented substantial evidence to the jury on this point. In 1992, when Mr. Smith was incarcerated at the Decker Lake Youth Detention Center, he formed KMD. Seeking to keep the gang organized and tight-knit, Mr. Smith modeled KMD after the Gangster Disciples, one of the largest and most powerful street gangs in the United States. Mr. Smith adopted many of the Gangster Disciples' symbols for KMD. Both, for example, use the name Disciples; and both use a six-pointed star, a pitchfork, and a crown to represent membership. In addition, the two founders of the Gangster Disciples were known as King Barksdale and King Hoover, and, after founding KMD, Mr. Smith adopted the name King Seagram. 25 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. 26 KMD held weekly meetings, even when some members were incarcerated. When Mr. Smith was not incarcerated, he personally conducted the meetings outside prison. When Mr. Smith was incarcerated, he conducted meetings inside prison and the highest-ranking non-incarcerated KMD member would conduct the meetings outside prison. KMD members were required to attend these meetings. Roll call was taken at each meeting and a member who missed a meeting was deemed to have committed a violation. Mr. Smith decided the appropriate punishment for a violation, which would often require the member to be beaten by other KMD members. Mr. Smith also established rules for conducting the meetings, such as requiring a secretary to take notes. Mr. Smith's girlfriend, Melissa Chacon, often acted as secretary. Meetings centered on the status of KMD, concerns of KMD members in prison, financial problems of KMD members, conflicts with rival gangs, and plans to obtain money for the benefit of members and their families. Mr. Smith often issued directives at meetings. 27 Even during the time Mr. Smith was incarcerated, he remained the leader of KMD. While in prison, he would call Ms. Chacon regularly and give her orders such as when to call a meeting, what issues needed to be discussed, and what he wanted members to do. Ms. Chacon would then relay these orders to other KMD members, who followed them without question. 28 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.
29 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). 30 Mr. Smith does not argue that any of the seven predicate acts found by the jury—specifically, three acts of conspiring to commit murder, one act of conspiracy to commit arson, one act of murder, and two acts of conspiracy to commit robbery—are not predicate acts under § 1961(1). Indeed, § 1961(1) defines racketeering activity as any act or threat involving murder,... arson, [or] robbery ... which is chargeable under State law and punishable by imprisonment for more than one year. 18 U.S.C. § 1961(1). Instead, Mr. Smith contends that there is no pattern to the acts. We disagree.
31 Predicate acts are related if they have the same or similar purposes, results, participants, victims, or methods of commission, or otherwise are interrelated by distinguishing characteristics and are not isolated events. H.J., 492 U.S. at 240, 109 S.Ct. 2893 (internal quotation omitted). Mr. Smith argues that there is insufficient evidence to find the acts related because the actors only acted out of personal reasons, not because KMD wished to retaliate against other gangs as urged by the Government. We reject Mr. Smith's argument because a jury could have concluded that at least the first five predicate acts were related insofar as they had a similar purpose. In other words, there was sufficient evidence showing that all five crimes were violent acts of retaliation committed by KMD members against rival gangs (or people believed to be members of rival gangs) for the purpose of maintaining KMD's reputation. 32 The first predicate act involves conspiracy to commit murder and attempted murder of a rival gang member in December 1992. On appeal, Mr. Smith contends that the shooters in this instance were retaliating for personal reasons. The Government, however, put on the following contradictory testimony: After a KMD member was assaulted by a rival gang, Mr. Smith held a meeting and told other KMD members that they needed to retaliate. Mr. Land and Mr. Flores were at the meeting. Mr. Smith gave the two men a handgun, told them he wanted the retaliation to take place at one of the rival gang's homes and drove them there, dropping them off about a block away from the target. Mr. Land and Mr. Flores walked up to the house and fired five shots inside. Flying glass hit a child and a sixteen-year-old girl was shot. Mr. Land and Mr. Flores then ran back to the car where Mr. Smith was waiting for them. This testimony constitutes sufficient evidence for a reasonable jury to find that this crime was done by KMD as an act of retaliation. 33 The second predicate act concerns another conspiracy to commit murder and attempted murder of rival gang members in May 1993. Here, Mr. Smith argues that the shooting was only a spontaneous fit of temper, not an act of retaliation by KMD. Again, however, the Government submitted substantial evidence that the conduct was retaliatory in nature. The Ponchito Crip Gang (PCG), one of KMD's rivals, was moving into KMD territory. Mr. Smith told KMD members that PCG could not be allowed to do so and should be driven out of the area. On May 19, 1993, a PCG member named Adan Ramirez was standing outside his home with his friend Roman Mendoza. The home was considered to be in KMD territory, but on the sidewalk in front of the home someone had written PCG. Mr. Smith, along with other KMD members dressed in KMD's signature color of purple, walked past the house several times staring at Mr. Ramirez and Mr. Mendoza. Mr. Mendoza made an obscene hand gesture toward the KMD members, after which two KMD members ran after Mr. Ramirez and Mr. Mendoza with shotguns. The KMD members fired at the men but only struck the house. Again, a reasonable jury could conclude that this was an act of retaliation by KMD. 34 The next predicate act involves yet a third conspiracy to commit murder and attempted murder of a rival gang member— this time, in February 1994. Mr. Smith contends that this act was an instance of personal revenge unrelated to membership in KMD. Again, the Government offered contrary evidence. In early 1994, fifteen members of the rival Park Village Compton Crips (PVCC) severely beat several KMD members, including Bryan Caldwell and Mr. Pantelakis. Mr. Caldwell and Mr. Pantelakis knew that if they did not retaliate, KMD and its members would lose prestige with other gangs and incarcerated KMD members would similarly lose prestige in prison. Therefore, the two men borrowed a shotgun and planned to retaliate on February 4, 1994. Mr. Caldwell was supposed to pick up Mr. Pantelakis at his home after which the two intended to search for a PVCC member to shoot. Mr. Pantelakis, however, got tired of waiting for Mr. Caldwell and decided to take the bus. At this time, Mr. Pantelakis was under police surveillance in connection with a burglary, and a warrant for his arrest had already been issued. Police officers who had been watching Mr. Pantelakis saw him board the bus, stopped it, arrested Mr. Pantelakis, and seized a gun. Mr. Pantelakis then told the police that he was on his way to shoot someone in retaliation for a beating that had occurred the week before. While no witness testified that this predicate act took place because Mr. Pantelakis felt constrained by the KMD bible, which requires retaliation, the jury could have inferred simply from the bible's existence that any failure to retaliate for an attack on a KMD member would have damaged KMD's reputation and invited future attacks due to KMD's perceived weakness. 35 The fourth predicate act references a conspiracy to commit arson and attempted arson in February 1996. The Government presented the following evidence: On February 15, 1996, members of the rival Avenues gang shot KMD member Davin Trujillo. He was paralyzed by the attack. Mr. Lopez and Mr. Carter, who were with Mr. Trujillo when he was shot, identified the shooter as Adam Archuleta. At this time, Mr. Smith was in the Utah State Prison. 36 That night and over the next few days, Mr. Smith called Ms. Chacon from prison to discuss the shooting. These phone conversations were recorded by the Utah State Prison and submitted into evidence. In those phone calls, Mr. Smith instructed Ms. Chacon to tell Mr. Lopez, Mr. Flores, and Mr. Carter that they needed to retaliate against the Avenues. Mr. Smith said that he wanted the three KMD members and Ms. Chacon to spend the night in the same house. Ms. Chacon was to wake the KMD members at 5:30 A.M. the next day, February 16, and the three men were to break into a home belonging to Avenues members and shoot members of the rival gang at approximately 6:00 A.M. They were to use Mr. Smith's nine-millimeter handgun and Ms. Chacon's .380 Beretta, and they were to leave the guns about a block away after the shooting. 37 The next day, however, no retaliation took place. Mr. Smith told Ms. Chacon that if Mr. Lopez, Mr. Flores, and Mr. Carter did not retaliate, then they would be cancelled (i.e., kicked out of KMD). Ms. Chacon, the three men, and two members of an associate gang then met to discuss retaliation against the Avenues. They decided to firebomb a house they believed to be occupied by Mr. Archuleta. On February 18, the men filled some beer bottles with gasoline and stuck pieces of rags in them as wicks. They lit the bottles on fire and threw them into the house. The gang members, however, were mistaken about the home's occupants. The family living there had no connection to the Avenues. 38 Mr. Smith argues on appeal that the disconnect between the shooting he ordered and the firebombing that was committed proves a lack of relatedness. This argument, however, is without merit because— even by Mr. Smith's account—the firebombing was related to KMD's desire to retaliate against a rival gang. 39 The fifth predicate act references a conspiracy to murder a rival gang member and the commission of a murder in February 1996. These crimes represent KMD's continued attempt to retaliate against the Avenues. Three days after the firebombing, Mr. Smith again spoke with Mr. Lopez, Mr. Flores, and Mr. Carter while they were at Ms. Chacon's house. Angered with their actions, Mr. Smith again threatened to cancel those KMD members. Mr. Carter and Mr. Lopez begged for another chance. Mr. Smith outlined the same plan he had in mind originally: the three were to break into an Avenues home and shoot its occupants at 6:00 A.M. the following morning. On February 22, the three KMD members drove to the house where they believed Mr. Archuleta lived. Seeing an open window and a man sleeping on the floor a few feet beside it, Mr. Flores stuck a 12-gauge shotgun through the window and shot the man twice in the head. The man, Joey Miera, was killed by the shots. Mr. Miera, however, was neither a member of, nor associated with, the Avenues. On appeal, Mr. Smith does not argue that this murder is unrelated to any other predicate act. 40 Based upon this record, a reasonable jury could conclude that all five crimes were violent acts of retaliation committed by KMD members against rival gangs (or people believed to be members of rival gangs) for the purpose of maintaining KMD's reputation, which were conducted upon Mr. Smith's direct or indirect orders. Therefore, we conclude there was sufficient evidence for the jury to determine that at least these five predicate acts were related.
41 Predicate acts must also amount to or pose a threat of continued criminal activity in order to establish a pattern of racketeering activity. H.J., 492 U.S. at 239, 109 S.Ct. 2893. `Continuity' is both a closed—and open-ended concept, referring either to a closed period of repeated conduct, or to past conduct that by its nature projects into the future with a threat of repetition. Id. at 241, 109 S.Ct. 2893. Proving continuity may be done in several ways; there is no bright-line rule. Id. Indeed, whether this requirement is met depends on the specific facts of each case. Id. at 242, 109 S.Ct. 2893. 42 We look to two especially relevant factors when performing continuity analyses. Resolution Trust Corp. v. Stone, 998 F.2d 1534, 1543 (10th Cir.1993). First, we consider the duration of the related predicate acts. Id. Related predicate acts that span only a few weeks or months, and that do not pose a future threat of criminal conduct, do not meet this test. H.J., 492 U.S. at 242, 109 S.Ct. 2893. Second, we consider the extensiveness of the RICO enterprise's scheme. Resolution Trust Corp., 998 F.2d at 1543. The extensiveness of the enterprise's scheme is determined by considering several sub-factors: the number of victims, the number of the racketeering acts, the variety of racketeering acts, whether the injuries caused were distinct, the complexity and size of the scheme, and the nature or character of the enterprise or unlawful activity. Id. at 1543-44 (internal citations omitted). 43 Mr. Smith simply argues, without discussing Resolution Trust, that the evidence at trial did not support a finding that there was an ongoing threat of criminal activity. But this type of continuity— the open-ended variety—is not the only type of continuous activity recognized by both this Court and the Supreme Court. The continuity requirement may also be found when there is a closed period of related conduct; in that case, there need not be a threat of future activity. Therefore, based on an analysis of the Resolution Trust factors, we conclude that there was sufficient evidence for the jury to find that at least the first five predicate acts demonstrated a period of closed-ended continuity. Because we previously concluded that there was sufficient evidence for the jury to find that at least the first five predicate acts were related, the Government presented sufficient evidence for a jury to find a pattern of racketeering activity under RICO. 44
45 Next, Mr. Smith asserts that there is insufficient evidence of a nexus between KMD and the predicate acts. In a RICO prosecution, the Government must prove a relationship between the racketeering activity and the enterprise. United States v. Killip, 819 F.2d 1542, 1549 (10th Cir.1987). A nexus between the racketeering activity and the enterprise is established when there is a relation between the predicate offenses and the affairs of the enterprise. Id. In this case, the requisite relationship may be proved by demonstrating that KMD facilitated the commission of the predicate acts. See id. 46 Mr. Smith argues, as he also does with respect to the relatedness element above, that each person who committed a predicate act did so for personal reasons unrelated to his membership in KMD. As we previously explained, there was sufficient evidence for the jury to conclude that each of the first five predicate acts were acts of retaliation ordered, directly or indirectly, by Mr. Smith in his capacity as leader of KMD. That evidence, therefore, is also sufficient to establish a nexus between the predicate acts and KMD.
47 Section 1962(d) prohibits a person from conspiring to violate § 1962(c). The conspiracy element of § 1962(d) requires the Government to demonstrate only that the defendant knew about and agreed to facilitate the commission of—rather than personally committed or agreed to commit—at least two of the predicate acts constituting a pattern of racketeering activity that were proven at trial. See Salinas, 522 U.S. at 66, 118 S.Ct. 469. In this case, the jury found seven predicate acts, each of which was committed by a member of KMD other than Mr. Smith, and we concluded that at least the first five constituted a pattern of racketeering activity: two shootings at the homes of rival gang members, the attempted shooting of a rival gang member by Mr. Pantelakis, the firebombing, and the murder of Mr. Miera. Therefore, to decide whether there was sufficient evidence to convict Mr. Smith of conspiring to violate § 1962(c), we must first determine whether there was sufficient evidence for a jury to find that Mr. Smith knew about and agreed to facilitate the commission of at least two of those five predicate acts. 48 There is no question that Mr. Smith ordered the murder of Mr. Miera, as he admits to it. Mr. Smith argues, however, that the most the Government proved at trial was that he knew about the remaining predicate acts, as opposed to proving that he agreed to facilitate their commission. We disagree. 49 There was sufficient evidence that Mr. Smith agreed to facilitate the commission of all five predicate acts. With respect to the first predicate act, the walk-up shooting, testimony at trial established that Mr. Smith ordered the shooting, chose the target of the shooting, supplied the gun, and drove the shooters to the location of the target. As to the second predicate act, there was evidence that Mr. Smith indicated at a KMD meeting that the rival gang needed to be driven from KMD's neighborhood. The retaliation in the fourth predicate, like the murder of Mr. Miera, was expressly ordered by Mr. Smith. While he had wanted a shooting, rather than a firebombing, to be the type of retaliation, there is no question that he had ordered some type of violent retaliation. The fact that the event that ultimately took place— throwing gasoline-filled beer bottles and lit rags into a house—was somewhat different than what he had originally ordered, entering the house and shooting its occupants, does not undermine the jury's conclusion that he agreed that a retaliatory act should occur. 50 Finally, with respect to the third predicate act, the attempted shooting of a rival PVCC member by Mr. Pantelakis, the Government did not offer direct evidence of an express agreement by Mr. Smith. A conspiratorial agreement, however, need not be express so long as its existence can plausibly be inferred from the defendant['s] words and actions and the interdependence of activities and persons involved. United States v. Cianci, 378 F.3d 71, 90 (1st Cir.2004) (internal quotations omitted). Here, the Government established that KMD routinely retaliated against rival gang members for acts of violence committed against its own members, that Mr. Smith often expressly ordered acts of retaliation, and that the purpose of retaliating was to maintain the reputation of KMD which in turn protected individual members. Although Mr. Smith was incarcerated when Mr. Pantelakis was arrested with the shotgun, there was sufficient evidence for the jury to find that Mr. Smith had a tacit agreement between himself and members of KMD that they would retaliate in response to attacks on KMD members. Therefore, we conclude that the Government presented sufficient evidence that Mr. Smith agreed to facilitate the first five predicate acts.