Opinion ID: 783310
Heading Depth: 2
Heading Rank: 1

Heading: Failure to Prove a Single Enterprise Resulting in Improper Joinder.

Text: 50 The Racketeer Influenced and Corrupt Organizations Act makes it 51 unlawful for any person employed by or associated with any enterprise engaged in, or the activities of which affect, interstate or foreign commerce, to conduct or participate, directly or indirectly, the conduct of such enterprise's affairs through a pattern of racketeering activity or collection of unlawful debt. 52 18 U.S.C. § 1962(c). RICO also criminalizes a conspiracy to do any of these unlawful acts. 18 U.S.C. § 1962(d). To establish a § 1962(c) RICO violation, the government must prove the following four elements: (1) the existence of an enterprise affecting interstate commerce; (2) that the defendant was employed by or associated with the enterprise; (3) that the defendant participated in, either directly or indirectly, in the conduct or the affairs of the enterprise; and (4) that he or she participated through a pattern of racketeering activity. United States v. Console, 13 F.3d 641, 652-653 (3d Cir. 1993). 53 RICO defines an enterprise as any individual, partnership, corporation, association, or other legal entity, and any union or group or individuals associated in fact although not a legal entity. 18 U.S.C. § 1961(4). The Supreme Court has explained that an enterprise is an entity separate and apart from the pattern of activity in which it engages, and that its existence is proven by evidence of an ongoing organization, formal or informal, and by evidence that the various associates function as a continuing unit. United States v. Turkette, 452 U.S. 576, 583, 101 S.Ct. 2524, 69 L.Ed.2d 246 (1981). In United States v. Riccobene, 709 F.2d 214, 222 (3d Cir.1983), overruled on other grounds by Griffin v. United States, 502 U.S. 46, 112 S.Ct. 466, 116 L.Ed.2d 371 (1991) 54 we construed Turkette to require proof of each of the three sub-elements referred to by the Court in this passage, thus requiring the Government to prove: (1) that the enterprise is an ongoing organization with some sort of framework for making or carrying out decisions; (2) that the various associates function as a continuing unit; and (3) that the enterprise be separate and apart from the pattern of activity in which it engages. 55 United States v. Pelullo, 964 F.2d 193, 211 (3d Cir.1992) (citing Riccobene, 709 F.2d at 221-224). These three issues are questions of fact which, in the first instance, must be resolved by the jury. Riccobene, at 222. [A]lthough the proof used to establish the existence of an enterprise and a pattern of racketeering may in particular cases coalesce, proof of a pattern of racketeering activity does not necessarily establish the existence of an enterprise. United States v. Console, 13 F.3d at 650 (citation and internal quotations omitted). Nevertheless, in the appropriate case, the enterprise can be inferred from proof of the pattern. Id. at 650 n. 5 (citation omitted). 56 Irizarry claims that the government improperly joined for trial separate unrelated crimes since it failed to prove the existence of a single ongoing criminal enterprise. Irizarry's Br. at 31. He argues that the government join[ed] in one trial a number of separate crimes allegedly committed by [him] over the course of many years and involving many different unrelated individuals. Id. at 43. He claims that, since the government failed to prove the existence of a single enterprise, the joinder of separate crimes and coconspiracies into one criminal trial was inherently unfair, and a new trial is required on all of the counts of conviction. Id. at 44. 57 Irizarry's argument conflates two related but distinct legal claims. He conflates the issue of joinder under Fed.R.Crim.P. 8 with the issue of whether the government proved the existence of a single RICO enterprise. Nevertheless, in an overabundance of caution, we will address the claim he is actually raising as two separate claims, one based on Fed.R.Crim.P. 8, and one based on whether the government proved the existence of a single RICO enterprise. 58 (i). Improper Joinder. 59 To the extent that Irizarry is arguing that there was an improper joinder, his argument is without merit. 3 Federal Rule of Criminal Procedure 8 governs joinder of offenses and joinder of defendants. It states: 60 (a) Joinder of Offenses. The indictment or information may charge a defendant in separate counts with 2 or more offenses if the offenses charged — whether felonies or misdemeanors or both — are of the same or similar character, or are based on the same act or transaction, or are connected with or constitute parts of a common scheme or plan. 61 (b) Joinder of Defendants. The indictment or information may charge 2 or more defendants if they are alleged to have participated in the same act or transaction, or in the same series of acts or transactions, constituting an offense or offenses. The defendants may be charged in one or more counts together or separately. All defendants need not be charged in each count. 62 Fed.R.Crim.P. 8(a), (b). We make an independent determination as to whether or not there was an improper joinder of counts under Rule 8. United States v. Somers, 496 F.2d 723, 729 (3d Cir.1974). If we determine that counts were improperly joined, we must undertake a harmless error analysis to see if prejudice resulted. United States v. McGill, 964 F.2d 222, 241 (3d Cir.1992). Our inquiry into whether offenses or defendants were properly joined focuses upon the indictment, not upon the proof that was subsequently produced at trial. Id. 63 Irizarry's focus on Rule 8(b) at first appears misguided because Rule 8(b) authorizes joinder of defendants and Irizarry is actually challenging the joinder of allegedly unrelated offenses. Therefore, the plain language of Rule 8 suggests that he must rest his claim of misjoinder on Rule 8(a). However, we have held that Rule 8(a) dealing with the joinder of offenses, applies only to prosecutions involving a single defendant and that in a multi-defendant case such as this, the tests for joinder of counts and defendants is merged in Rule 8(b). United States v. Somers, 496 F.2d at 729 n. 8. Moreover, most courts have held that Rule 8(b) applies exclusively to issues of joinder of multiple defendants and that Rule 8(a) applies only in cases involving a single defendant charged with multiple offenses. See United States v. Eufrasio, 935 F.2d 553, 570 (3d Cir.1991) (citing United States v. Kopituk, 690 F.2d 1289, 1312 (11th Cir.1982)). Therefore, Irizarry's reliance on Rule 8(b) is proper. 4 64 Count One, the RICO conspiracy count, charged that Durso, Irizarry and others, known and unknown, including members and associates of an international criminal organization known as, La Cosa Nostra, constituted an enterprise whose principal purpose was to earn money through the commission of various crimes including murder, arson, robbery, cocaine distribution and the extortionate collection of debts. Count One also charged that Durso, Irizarry and others conspired to commit at least two of thirteen racketeering predicates described in Count Two. Count One also described a cocaine distribution trade headed by Durso in which Irizarry was responsible for purchasing cocaine and delivering it to Durso and in which Irizarry conspired with Bakhoury to sell a quantity of cocaine. 65 Count Two, the RICO substantive count, charged that Irizarry, being employed by and associated with the enterprise, participated in the affairs of the enterprise through a pattern of racketeering activity which consisted of: the conspiracy, attempt and murder of Giancarlo Ravasi (racketeering act one); the murder of Joseph Marmora (racketeering act two); the murder of Antonio Pavone (racketeering act three); the murder of Kyle Veale (racketeering act four); conspiracy to commit arson and the arson of a vehicle (racketeering act five); conspiracy to commit armed robbery of an armored car (racketeering act six); extortionate debt collection (racketeering act seven); attempted robbery and robbery of a delicatessen (racketeering act eight); cocaine distribution conspiracy (racketeering act nine); conspiracy to collect debts by means of extortion (racketeering act ten); conspiracy to commit arson and arson of a residence located at 214 Belvidere Avenue, Jersey City (racketeering act eleven); conspiracy to commit arson and arson of a residence located at 293 Sherman Avenue, Jersey City (racketeering act twelve); and the murder of Jose Ruiz (racketeering act thirteen). 66 Count Three charged Durso, Irizarry and Bakhoury with conspiracy to distribute and possess with intent to distribute 500 grams or more of cocaine. Count Four charged Durso and Irizarry with conspiracy to collect debts by extortionate means. Count Five charged Durso and Irizarry with conspiracy to commit arson and arson affecting interstate commerce. Count Six charged Durso and Irizarry with the murder of Jose Ruiz in aid of racketeering. Count Seven charged Irizarry with the use of a firearm in a crime of violence, i.e., the murder of Ruiz. 67 This case is unique in that Irizarry, a defendant in a multiple defendant RICO prosecution, is challenging the joinder of offenses and not his joinder with other RICO defendants. Nevertheless, we believe that the analysis in cases where we have upheld the joinder of RICO defendants is helpful to our inquiry. For example, in Eufrasio, three defendants, Santo Idone, Mario Eufrasio and Gary Iacona were found guilty of RICO violations (both substantive and conspiracy), attempted extortion, and illegal gambling. 935 F.2d at 557. Eufrasio's and Iacona's RICO liability was predicated on attempted extortion, illegal video poker machine gambling and collecting unlawful debts. However, Idone's RICO liability was predicated on attempted extortion and on a separate murder conspiracy that did not involve Eufrasio or Iacona. Id. at 558. 68 Eufrasio and Iacona argued that their joinder as defendants with Idone violated Rule 8(b) because they were not connected with, or even aware of, the murder conspiracy predicate charged against Idone. Their joinder with him allegedly prejudiced them because the murder charged against Idone infected the entire trial with evidence of uncharged Mafia crimes and the murder conspiracy itself. Id. at 566. They also alleged that the joinder exposed the jury to evidence of numerous mob murders and attempted murders related to [Idone's] murder conspiracy and [a] ... mob war that had nothing to do with them. Id. at 567. In rejecting this claim, we noted: 69 Rule 8(b) provides substantial leeway to prosecutors who would join racketeering defendants in a single trial. The rule permits joinder of defendants charged with participating in the same racketeering enterprise or conspiracy, even when different defendants are charged with different acts, so long as indictments indicate all the acts charged against each joined defendant (even separately charged substantive counts) are charged as racketeering predicates or as acts undertaken in furtherance of, or in association with a commonly charged RICO enterprise or conspiracy. United States v. Dickens, 695 F.2d 765, 778-79 (3d Cir.1982), cert. denied, 460 U.S. 1092, 103 S.Ct. 1792 (1983). [J]oinder ... of a conspiracy count and substantive counts arising out of the conspiracy [is permitted], since the claim of conspiracy provides a common link, and demonstrates the existence of a common scheme or plan. United States v. Somers, 496 F.2d 723, 729-730 (3d Cir.) (emphasis in Somers, quoting Wright and Miller, Federal Practice and Procedure § 144), cert. denied, 419 U.S. 832, 95 S.Ct. 56 (1974). 70 935 F.2d at 567. Moreover, we agreed with the view of the Court of Appeals for the Second Circuit announced in United States v. Friedman, 854 F.2d 535 (2nd Cir.1988). 5 There, the court held that a RICO conspiracy charge provides the required link to which we referred in United States v. Somers. Eufrasio, 935 F.2d at 567. 71 After reviewing the indictment in that context, we concluded that the strictures of joinder set forth in Rule 8(b) had not been violated by charging Idone with the murder conspiracy predicate, but not charging Eufrasio and Iacone because, consistent with the law of joinder in RICO cases, all the criminal acts charged against each defendant, including the murder conspiracy implicating Idone, were undertaken in furtherance of a single, commonly charged racketeering enterprise and conspiracy. Id. 72 Applying the Eufrasio rationale here, we conclude that the superceding indictment did not improperly join separate, unrelated crimes allegedly committed by Irizarry. Rather, he was charged with a RICO substantive violation and a RICO conspiracy violation, and all of the criminal acts charged against him in the superceding indictment were charged either as predicates for the racketeering charge, or as acts undertaken in furtherance of a commonly charged RICO enterprise. Therefore, the second superseding indictment satisfies the same act or transaction requirement of Rule 8(b). 73 Moreover, Rule 8(b) permits the joinder of RICO and non-RICO counts in one indictment where the offenses charged in the non-RICO counts are also charged as racketeering predicates in the RICO counts. Eufrasio, 935 F.2d at 570. That is precisely what the second superseding indictment does. The non-RICO counts, i.e., Counts Three, Four, Five, Six and Seven, charged Irizarry with violations of the same criminal acts charged as racketeering predicates in the RICO counts, Counts One and Two. The same evidence needed to prove the racketeering predicates in the RICO counts also prove the charges in the non-RICO counts. Consequently, all of the criminal conduct charged against Irizarry constituted a series of related acts in furtherance of the commonly charged RICO enterprise and conspiracy, and there was no misjoinder of separate, unrelated offenses. 74 (ii). Government's Failure to Prove the Existence of a Single, Ongoing Criminal Enterprise. 75 Irizarry claims that the government initially posited a larger RICO enterprise whose leader and chief lieutenants were organized crime figures. However, according to Irizarry, the government abandoned the original enterprise theory during the trial and argued that the enterprise consisted of Durso, Irizarry and underling crew members when the government realized it could not prove the enterprise it had charged in the indictment. 76 In pre-trial proceedings, Irizarry moved to dismiss the indictment or, in the alternative, to sever the counts of the indictment. The motion was based upon Irizarry's claim that the government was alleging a number of separate, unrelated crimes and conspiracies that were not a single enterprise. He also requested that the government proffer the structure and hierarchy of the alleged enterprise. Although the district court denied Irizarry's motions, during oral argument the government agreed to supply Irizarry's defense counsel with a list of co-conspirators. Accordingly, several days before the trial, the government gave counsel a list of forty-four co-conspirators. Irizarry claims that the forty-four co-conspirators were individuals the government intended to prove were members of the RICO enterprise. The government's list included co-conspirators Massimo Ranieri, Anthony Rotolo and Rocco Errico. Ranieri, Rotolo and Errico are allegedly involved with organized crime. Looney testified Durso told him that Ranieri was a made member of the Mafia. App. at 3000-01. Another of the government's witnesses, Anthony Persichetti, testified that Ranieri was a high ranking member of the Lucchese crime family and an associate of the Gambino crime family. App. at 3330, 3337. However, McGuiness testified that Durso told him that Ranieri was a high ranking member of the Gambino crime family and was heir apparent to the Sicilian wing of the Gambino crime family. App. at 3166, 3167. Irizarry claims that Rotolo and Errico work for Joseph Pepe LaScala, who is allegedly a member of the Genovese crime family. Irizarry's Br. at 36. LaScala appears on the list of co-conspirators the government tendered to Irizarry. 77 Irizarry argues that the government went to trial under the theory that Ranieri was the head of the enterprise and that Rotolo and Errico were high ranking members. As proof of that claim, Irizarry points to the government's opening statement: 78 Many witnesses will get up here and say Durso was Elvis' boss. Elvis worked for Durso and the evidence is going to show past criminal jobs came down often through Durso to Elvis Irizarry. 79