Court Opinion

ID: 9627262
Source: CourtListenerOpinion
Date Created: 2023-08-22 08:41:06.951213+00
Date Added: 2024-06-11T18:06:44.194219
License: Public Domain

SHEPHERD, Circuit Judge,
dissenting.
I dissent from the court’s holding that the theory of vicarious coconspirator criminal liability announced in Pinkerton is applicable even where, as here, the defendant is not found guilty of a separately charged conspiracy. Because I believe that the Pinkerton theory of liability is inapplicable in this case, I would not reach the issue of the sufficiency of the evidence to convict under Pinkerton.
The Pinkerton doctrine “exists to punish conspirators for crimes committed by a coconspirator that are not the object of the conspiracy itself but are foreseeable and in furtherance of the conspiracy.” United States v. Christian, 942 F.2d 363, 367 (6th Cir.1991). Pursuant to Pinkerton, “a conspirator [can] be held guilty of the substantive offense even though he did no more than join the conspiracy, provided that the substantive offense was committed in furtherance of the conspiracy and as a part of it.” Nye & Nissen v. United States, 336 U.S. 613, 618, 69 S.Ct. 766, 93 L.Ed. 919 (1949). The theory “broadens a defendant’s liability beyond the aiding and abetting charge implicit in any indictment.” United States v. Nakai, 413 F.3d 1019, 1023 (9th Cir.), cert. denied, 546 U.S. 995, 126 S.Ct. 593, 163 L.Ed.2d 494 (2005); see also United States v. Clark, 980 F.2d 1143, 1146 (8th Cir.1992) (“Aiding and abetting is an alternative charge in every count, whether implicit or explicit.”).
Although I agree that we have never directly addressed the question, in a recent case, we indicated that absent a conspiracy charge and conviction, Pinkerton liability is inapplicable. See United States v. Hayes, 391 F.3d 958, 963 (8th Cir.2004) (“In light of the conspiracy charge against Hayes, the District Court was warranted in giving [a Pinkerton coconspirator] instruction ....”); see also United States v. Richmond, 700 F.2d 1183, 1191 (8th Cir.1983) (“In accordance with well established conspiracy law, the trial court instructed the jury that if they found a defendant guilty of a conspiracy they could also find that defendant guilty of a substantive crime which was committed by his cocon-spirators pursuant to the conspiracy at the time the defendant was a member of the conspiracy.”). Furthermore, as acknowledged by the majority, in our long line of cases affirming convictions obtained under the Pinkerton theory, all of the indictments involved contained a separate conspiracy charge. See United States v. Pierce, 479 F.3d 546, 549-50 (8th Cir.2007) (Pinkerton instruction given where defendants were charged with conspiracy against the United States, filing false tax returns, mail fraud and wire fraud); United States v. Mathison, 157 F.3d 541, 551 (8th Cir.1998) (Defendants convicted of conspiracy and substantive offenses; evidence was sufficient to prove beyond a reasonable doubt the defendant’s participation in conspiracy and, “[a]s a result of this involvement, he was also properly convicted on related mail fraud and money-laundering charges.”); United States v. Davis, 154 F.3d 772, 782 (8th Cir.1998) (jury instruction approved as pursuant to Pinkerton, requiring conviction of defendant on conspiracy count in order to consider substantive counts under coconspirator theory); United States v. Comeaux, 955 F.2d 586, 591 (8th Cir.1992) (application of Pinkerton upheld where defendant was charged with conspiracy to possess with intent to distribute heroin and co*651caine, and use of a firearm in connection with a drug trafficking offense); United States v. Lucas, 932 F.2d 1210, 1220 (8th Cir.1991) (Jury instruction approved which instructed that defendant could be held “vicariously liable only if [the jury] found that a conspiracy existed, that the defendant was a member of it, that a conspirator used a firearm to assault ..., and that the defendant could ‘reasonably have foreseen’ that a firearm would be used to assault someone ‘as a necessary or natural consequence of the conspiracy.’ ”) (citation omitted); United States v. Johnson, 906 F.2d 1285, 1289 (8th Cir.1990) (Consistent with Pinkerton, “[t]he district court instructed the jury that if it found a defendant guilty of the conspiracy, it could find the defendant guilty of the substantive offense charged.... ”); United States v. Goilter, 880 F.2d 91, 92 (8th Cir.1989) (defendant convicted of conspiracy to distribute cocaine and of possession of a firearm during and in relation to a drug trafficking offense); United States v. Lombardo, 859 F.2d 1328, 1329 (8th Cir.1988) (holding that appellants cannot be guilty of Travel Act violations absent conviction for conspiracy of which those violations were part); United States v. DeLuna, 763 F.2d 897, 918 (8th Cir.1985) (overruled on other grounds) (approving a jury instruction because it correctly reflected the substance of the Pinkerton case that: “a defendant found guilty of a conspiracy may also be found guilty of substantive offenses committed by a coconspirator or co-conspirators, in furtherance of the conspiracy, at the time that defendant was a member of the conspiracy, even though that defendant did not participate in the substantive offenses or have any knowledge of them.”) (citing Pinkerton, 328 U.S. at 645-48, 66 S.Ct. 1180).
One circuit has squarely held that a conspiracy must be charged in the indictment in order for the Pinkerton theory of liability to apply, See United States v. Nakai, 413 F.3d 1019, 1023 (9th Cir.), cert. denied, 546 U.S. 995, 126 S.Ct. 593, 163 L.Ed.2d 494 (2005) (holding that it is error to use a Pinkerton instruction in a case in which the indictment does not charge conspiracy), while two circuits have implicitly adopted this position. See United States v. Walker, 142 F.3d 103, 111-12 (2d Cir.1998) (approving Pinkerton instruction which instructs jury that it must find, beyond a reasonable doubt, that the defendant is guilty of the charged conspiracy); United States v. Meester, 762 F.2d 867, 882 (11th Cir.1985) (one convicted of conspiracy is chargeable as a member of conspiracy for substantive acts committed by coconspirators).
Although the majority identifies two circuits as holding that a conspiracy need not be charged, a close examination of the Seventh Circuit case of United States v. Chairez, 33 F.3d 823, 827 (7th Cir.1994), reveals that it relies solely upon United States v. Macey, 8 F.3d 462 (7th Cir.1993), which-involved a conviction for mail fraud involving two coconspirators. Because mail fraud includes a scheme to defraud as an element, it is not surprising that members of the scheme are criminally liable for the foreseeable mail fraud committed by other members. See 18 U.S.C. § 1341; United States v. Wormick, 709 F.2d 454, 461 (7th Cir.1983) (“[CJonspiracy doctrines apply to a multi-member mail fraud scheme even if the indictment does not charge conspiracy.”); Pinkerton, 328 U.S. at 647, 66 S.Ct. 1180 (“A scheme to use the mails to defraud, which is joined in by more than -one person, is a conspiracy.”). Further, in United States v. Jackson, 627 F.2d 1198, 1216-17 & n. 36 (D.C.Cir.1980), the defendant was in fact charged with and convicted of a separate conspiracy. Similarly, Baker v. United States, 115 F.2d 533, 540 (8th Cir.1940), and Cochran v. United States, 41 F.2d 193, 199-200 (8th Cir.1930), *652cited by the majority, are also distinguishable because those cases involve charges of mail fraud.
In United States v. Thirion, 813 F.2d 146 (8th Cir.1987), we held that the district court properly gave the jury a vicarious coconspirator liability instruction notwithstanding the fact that the court was prevented by the doctrine of specialty2 from submitting a separate conspiracy count, contained in the indictment, to the jury. We further held that the defendant could be found guilty of the charged substantive offenses' under Pinkerton even though the defendant could not be convicted of the charged conspiracy. Id. at 151— 53. Although the conspiracy charge could not be submitted to the jury, the district court instructed that, in order to find the defendant guilty of a substantive count under the Pinkerton coconspirator theory, it had to find the defendant to be a cocon-spirator “as charged” in the indictment. Id. at 152 n. 6. Significantly, we cited Thirion in support of our statement in Hayes that a Pinkerton liability instruction was properly given by the district court “[i]n light of the conspiracy charge.” See Hayes, 391 F.3d at 963.
The nature of Pinkerton liability is further illustrated by our explanation in Thi-no» that, like the theory of aiding and abetting, the jury may be instructed on the Pinkerton theory of liability even though the theory is not charged in the indictment. Thirion, 813 F.2d at 151. Although the Pinkerton theory need not be charged in the indictment, Thirion supports the proposition that a separate conspiracy charge is a prerequisite to the imposition of Pinkerton liability.
Further, the Supreme Court has described Pinkerton as “narrow in its scope.” Nye & Nissen, 336 U.S. at 620, 69 S.Ct. 766. The majority’s conclusion, that Pinkerton coconspirator liability may arise under an indictment that charges only a substantive offense without conviction of a separately charged conspiracy, in my view, broadens the scope of the theory beyond that contemplated by the Supreme Court.
I conclude that our long standing treatment of this-issue remains persuasive, particularly in view of the fact that both Pinkerton and Nye & Nissen involved defendants who were charged with and convicted of conspiracy. See Pinkerton, 328 U.S. at 641, 66 S.Ct. 1180; Nye & Nissen, 336 U.S. at 615-16, 69 S.Ct. 766.3
While I agree that aiding and abetting liability is an alternative theory in every *653indictment, coconspirator liability under Pinkerton is not. As instructed by the Supreme Court, it is available under narrow circumstances. In my view, we should reaffirm that in order for Pinkerton cocon-spirator liability to attach a defendant must be charged with, and found guilty beyond a reasonable doubt of, conspiracy.
The United States elected not to charge Zackery with conspiracy to commit bank robbery. See Pinkerton, 328 U.S. at 642-43, 66 S.Ct. 1180 (substantive offense and conspiracy to commit the substantive offense, with certain exceptions, are separate and distinct offenses); Brinkley v. United States, 560 F.2d 871, 874 (8th Cir.1977) (conspiracy does not merge with the substantive offense of bank robbery). Instead, the United States sought, unsuccessfully, to prove that Zackery aided and abetted his accomplice in the possession of a firearm. The result of the government’s charging decision is that it could not proceed under the Pinkerton theory. Although Zackery was informed from a reading of the indictment that he could be found guilty of the firearms charge as an aider and abettor, the indictment provided no notice that his guilt could be premised upon his being found guilty of an uncharged conspiracy. Accordingly, Zack-ery’s conviction of carrying a firearm in furtherance of a bank robbery should be reversed.
I therefore respectfully dissent.

. "Under the doctrine of specialty a defendant may be tried only for the offense for which he was delivered up by the asylum country.” United States v. Thirion, 813 F.2d 146, 151 (8th Cir.1987); see also Leighnor v. Turner, 884 F.2d 385, 389 (8th Cir.1989) ("The rule of specialty is based on principles of international comity and is designed to guarantee the surrendering nation that the extradited individual will not be subject to indiscriminate prosecution by the receiving government.”).

. The requirement that a defendant be charged with and found guilty of conspiracy in order for vicarious Pinkerton liability for a substantive offense to be imposed is .incorporated in the model jury instructions promulgated by several sources. Committee on Pattern Jury Instructions District Judges Association Fifth Circuit, Fifth Circuit Pattern Jury Instructions (Criminal Cases) § 2.22 (2001); Committee on Pattern Criminal Jury Instructions District Judges Association Sixth Circuit, Sixth Circuit Pattern Jury Instmc-tions Criminal, § 3.10 (2005); Committee on Model Criminal Jury Instructions Within the Ninth Circuit, Ninth Circuit Manual of Model Criminal Jury Instructions, §§ 8.16 & 8.20 (2004); Criminal Pattern Jury Instruction Committee of the United States Court of Appeals for the Tenth Circuit, Tenth Circuit Criminal Pattern Jury Instructions, § 2.21 (2005); Committee on Pattern Jury Instructions of the Judicial Council of the Eleventh Circuit, Eleventh Circuit Pattern Jury Instructions Criminal, § 13.5 (2003); Kevin F. O’Malley, Jay E. Grenig, Hon. William C. Lee, Federal Jury Practice and Instructions *653Criminal, § 31.10 (5th ed.2000). We have previously cited various model jury instructions in considering the sufficiency of a criminal instruction. See United States v. Purkey, 428 F.3d 738, 754-55 (8th Cir.2005), cert. denied, — U.S. —, 127 S.Ct. 433, 166 L.Ed.2d 307 (2006). Although a Pinkerton instruction has been frequently given by the district courts and considered by this court, the Judicial Committee on Model Jury Instructions for the Eighth Circuit has not promulgated a model Pinkerton instruction. See Judicial Committee on Model Jury Instructions for the Eighth Circuit, Eighth Circuit Manual of Model Criminal Jury Instructions (2003).