United States v. Cecil Anthony Dortch ( 2012 )


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  •                  Case: 10-14772         Date Filed: 09/11/2012    Page: 1 of 21
    [PUBLISH]
    IN THE UNITED STATES COURT OF APPEALS
    FOR THE ELEVENTH CIRCUIT
    ________________________
    No. 10-14772
    ________________________
    D.C. Docket No. 3:10-cr-00055-MCR-MD-1
    UNITED STATES OF AMERICA,
    llllllllllllllllllllllllllllllllllllllllPlaintiff - Appellee,
    versus
    CECIL ANTHONY DORTCH,
    llllllllllllllllllllllllllllllllllllllllDefendant - Appellant.
    ________________________
    Appeal from the United States District Court
    for the Northern District of Florida
    ________________________
    (September 11, 2012)
    Before TJOFLAT and PRYOR, Circuit Judges, and HUCK,* District Judge.
    PRYOR, Circuit Judge:
    *
    Honorable Paul C. Huck, United States District Court for the Southern District of
    Florida, sitting by designation.
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    The key issue in this appeal is whether the district court committed plain
    error by constructively amending an indictment that charged possession of two
    specific kinds of firearms, a Taurus .45 pistol and an Arminius revolver, by
    instructing the jury that it could find the defendant guilty of the charges if the
    government proved beyond a reasonable doubt that he possessed “a firearm.”
    Cecil Anthony Dortch appeals his convictions for being a felon in possession of a
    firearm, 
    18 U.S.C. § 922
    (g)(1); possession of marijuana with intent to distribute,
    
    21 U.S.C. § 841
    (a)(1), (b)(1)(D); and possession of a firearm in connection with a
    drug trafficking offense, 
    18 U.S.C. § 924
    (c)(1). Dortch presents three arguments:
    (1) that the district court erred when it submitted an unredacted indictment that
    contained references to several of his previous convictions to the jury; (2) that the
    district court constructively amended the indictment when it instructed the jury
    that it could convict Dortch of the firearm charges if it found that he possessed any
    firearm instead of the specific firearms named in the indictment; and (3) that the
    district court abused its discretion when it refused to admit evidence of a judgment
    of acquittal on related state charges. All of Dortch’s arguments lack merit. Any
    error in submitting the unredacted indictment to the jury was harmless; the district
    court did not plainly err in its instructions to the jury; and Dortch’s acquittal on
    state charges was inadmissible hearsay. We affirm Dortch’s convictions.
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    I. BACKGROUND
    The indictment charged Dortch with three offenses. Count one charged that
    Dortch, “having previously been convicted of crimes punishable by a term of
    imprisonment exceeding one year, . . . did knowingly possess firearms, that is, a
    Taurus, Model PT45. .45 caliber pistol and an Arminius revolver [that] had
    previously been transported in interstate and foreign commerce.” Count one also
    alleged eight of Dortch’s prior felony convictions: (1) a 1975 conviction for
    possession of heroin, (2) a 1984 conviction for possession of marijuana, (3) a 1987
    conviction for possession of marijuana with intent to sell, (4) a 1987 conviction
    for failure to appear, (5) a 1988 conviction for escape, (6) a 1995 conviction for
    possession of cocaine, (7) a 2001 conviction for possession of cocaine, and (8) a
    2003 conviction for possession of cocaine. Count two charged that Dortch “on or
    about April 17, 2009, . . . did knowingly and intentionally possess with intent to
    distribute a controlled substance . . . and that this offense involved a mixture and
    substance containing a detectable amount of marajuana [sic].” Count three
    charged that Dortch “on or about April 17, 2009, . . . during and in relation to a
    drug trafficking crime for which he may be prosecuted in a court of the United
    States, that is, possess with intent to distribute marijuana, as charged in Count
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    Two of [the] Indictment, did knowingly use, carry and possess in furtherance
    thereof, firearms, that is, a Taurus, Model PT45. . 45 caliber pistol and an
    Arminius revolver . . . .”
    At trial, the district court refused to admit into evidence five of the felony
    convictions because they were either too old or too prejudicial. The district court
    allowed the government to introduce evidence of the three convictions for
    possession of cocaine from 1995, 2001, and 2003. Dortch stipulated that he was a
    convicted felon, and the government presented testimony that Dortch had not had
    his right to carry a firearm restored.
    The government presented evidence that the Police Department in
    Pensacola, Florida, executed a search warrant at a home containing drugs, tools
    used for drug distribution, and items that belonged to Dortch. After the police
    secured the residence, a drug dog entered the house and alerted several times.
    The front bedroom contained men’s clothing, a scale wedged at the end of the bed,
    a fire safe that contained $8,275 under the bed, six boxes of sandwich bags, a bag
    of marijuana wrapped in a blanket on top of the bed, mail addressed to Dortch, a
    digital scale in a chest of drawers, a second bag of marijuana in a dresser, a can
    that contained cocaine powder, a container of loose marijuana on top of the bed, a
    third scale in a container, a bottle used to dilute cocaine, cups from Walmart, and a
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    fourth scale. An agent with the Drug Enforcement Administration testified that
    the quantity of drugs, the scales, and other items found in the front bedroom were
    consistent with drug distribution, not mere drug use. A fingerprint analyst
    testified that he discovered a fingerprint that belonged to Dortch on one of the
    scales.
    Police officers testified that they found firearms in the bedroom and in other
    locations in the house. One officer testified that he found the Taurus pistol and a
    loaded magazine inside a Girl Scout cookie box in the bedroom. Another officer
    testified that he found the Arminius revolver in a set of plastic drawers in the
    bedroom. An agent with the Bureau of Alcohol, Tobacco, Firearms and
    Explosives testified that the two firearms found in the bedroom had traveled in
    interstate commerce. A crime scene analyst testified that he swabbed both
    firearms for DNA, and a crime laboratory analyst testified that there was a 1 in 860
    million probability that the DNA found on one of the guns from the front bedroom
    was not from Dortch. Another police officer testified that he confiscated a rifle
    from a common area of the residence and a rifle from the back yard of the
    residence.
    The government presented evidence that Dortch conducted drug sales and
    stored drugs in a van that he parked in front of the residence. Leonard Milanesi,
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    one of Dortch’s acquaintances, testified that he witnessed a friend buy powder
    cocaine from Dortch. Milanesi stated that he had personally purchased Lortab and
    powder cocaine from Dortch. The purchases occurred at the house that was the
    subject of the search warrant. Milanesi testified that he had purchased drugs from
    Dortch four or five times. Dortch either sold the drugs through the fence or from a
    van parked in front of the residence. Milanesi also testified that he had made a
    controlled buy from Dortch for the police. A police officer testified that he had
    found marijuana and cocaine in a white van in front of the residence that was
    registered to and owned by Dortch.
    The government presented evidence that Dortch lived in the bedroom where
    the two handguns, drugs, and drug distribution materials were found. After
    Dortch was arrested, he admitted to Agent Allen Davis of the Bureau of Alcohol,
    Tobacco, Firearms and Explosives that he lived in the bedroom. Selina Bell,
    Dortch’s sister, testified that the residence had been owned by their late mother.
    Bell testified that the first floor front bedroom belonged to Dortch, and she stated
    that no one used the front bedroom except Dortch and Ebony Norris, whom Bell
    described as Dortch’s “lady friend.” Bell testified that all of the men’s clothing in
    the room belonged to Dortch.
    Dortch neither testified nor presented any evidence in his defense.
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    Although Dortch attempted to introduce evidence that he had been acquitted of
    state charges related to the execution of the search warrant, the district court ruled
    that the judgments of acquittal were inadmissible.
    The district court held a charge conference. The government submitted a
    memorandum to the district court regarding proposed jury instructions in which it
    recommended that the district court give to the jury the pattern jury instructions
    for each of the charges without modification. After reviewing the jury
    instructions, Dortch made no objection. The district court asked Dortch if he
    would need to review the instructions again with the district court. Dortch stated,
    “I don’t think so, Your Honor.”
    When the district court instructed the jury about the firearms charges, it did
    not mention a specific kind of firearm. The district court instructed the jury as
    follows about the charge of possession of a generic firearm:
    It’s a Federal crime for anyone who has been convicted of a felony
    offense to possess a firearm in or affecting interstate or foreign commerce.
    The Defendant can be found guilty of this crime only if all the
    following facts are proved beyond a reasonable doubt:
    (1) the Defendant knowingly possessed a firearm in or affecting
    interstate or foreign commerce; and
    (2) before possessing the firearm, the Defendant had been convicted
    of a felony; that is, a crime punishable by imprisonment for more than one
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    year.
    And the district court instructed the jury as follows about the charge of
    possession of a generic firearm in furtherance of drug trafficking:
    It’s a separate Federal crime for anyone to use a firearm in relation to,
    carry a firearm during and in relation to, or possess a firearm in
    furtherance of a drug-trafficking crime.
    The Defendant can be found guilty of this crime only if all the
    following facts are proved beyond a reasonable doubt:
    (1) the Defendant committed the drug-trafficking crime charged in
    Count two of the indictment;
    (2) the Defendant knowingly used, carried, or possessed a firearm;
    and
    (3) the Defendant used or carried the firearm during and in relation to,
    or possessed the firearm in furtherance of the drug-trafficking crime.
    The district court also gave several general instructions, and it instructed the
    jury that “[t]he indictment or formal charge against any Defendant is not evidence
    of guilt. Indeed, every Defendant is presumed by the law to be innocent.” The
    district court also instructed the jury about the permissible uses of evidence of
    prior bad acts, under Federal Rule of Evidence 404(b).
    The district court also provided a written copy of the instructions to the jury
    for use during their deliberation, and the district court provided a copy of the
    unredacted indictment to the jury. The district court was unaware that the copy of
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    the indictment that it provided to the jury was unredacted and contained references
    to the five previous felony convictions that the district court had ruled
    inadmissible. One of those felony convictions was a 1987 conviction for
    possession of marijuana with intent to sell that was virtually identical to count two
    of the indictment.
    The jury convicted Dortch on all three counts. Soon after the jury returned
    its verdict, the clerk of court entered a copy of the jury instructions into the record.
    After the government notified the district court that the unredacted copy of the
    indictment had been provided to the jury, Dortch filed a pro se “motion for
    mistrial,” in which he argued that his substantial rights had been prejudiced. The
    government responded that his substantial rights were unaffected because
    overwhelming evidence established his guilt at trial.
    The district court denied the motion. The district court stated that, because
    of the limiting instructions and the overwhelming evidence of guilt, any error that
    might have occurred had no substantial influence on the outcome of the trial. The
    district court sentenced Dortch to 155 months imprisonment, and Dortch timely
    appealed.
    II. STANDARDS OF REVIEW
    Several standards of review govern this appeal. We review the denial of a
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    motion for a new trial based on the submission of extrinsic material to the jury for
    abuse of discretion. United States v. Siegelman, 
    640 F.3d 1159
    , 1184 (11th Cir.
    2011). If an error was not preserved, we review for plain error. United States v.
    Lejarde-Rada, 
    319 F.3d 1288
    , 1290 (11th Cir. 2003). We review the evidentiary
    rulings of the district court for abuse of discretion. United States v. Augustin, 
    661 F.3d 1105
    , 1123 (11th Cir. 2011).
    III. DISCUSSION
    We divide our discussion into three parts. First, we address Dortch’s
    argument that the district court abused its discretion when it denied his motion for
    a new trial about the unredacted indictment. Second, we address Dortch’s
    argument that the district court committed a per se reversible error by
    constructively amending his indictment. Third, we address Dortch’s argument that
    the district court abused its discretion when it prevented Dortch from introducing
    judgments of acquittal from related state charges.
    A. The District Court Did Not Abuse Its Discretion When It Denied Dortch’s
    Motion for a New Trial.
    Dortch argues that he suffered substantial prejudice when the district court
    submitted to the jury an unredacted copy of the indictment that referenced several
    of his previously undisclosed felony convictions. The government concedes that
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    the district court erred when it submitted the unredacted copy of the indictment to
    the jury, but contends that the error was harmless because there was overwhelming
    evidence of Dortch’s guilt and the district court instructed the jury that the
    indictment was not evidence of Dortch’s guilt.
    “When jurors consider extrinsic evidence, a new trial is required if the
    evidence poses a reasonable possibility of prejudice to the defendant.” United
    States v. Perkins, 
    748 F.2d 1519
    , 1533 (11th Cir. 1984). “A defendant who
    alleges denial of [the right to an impartial jury] resulting from juror exposure to
    extraneous information has the burden of making a colorable showing that the
    exposure has, in fact, occurred.” Siegelman, 640 F.3d at 1182. “If the defendant
    does so, prejudice to the defendant is presumed and the burden shifts to the
    government to show ‘that the jurors’ consideration of extrinsic evidence was
    harmless to the defendant.’” Id. (quoting United States v. Ronda, 
    455 F.3d 1273
    ,
    1299 (11th Cir. 2006)). “If the district court concludes the exposure to the
    extrinsic evidence was harmless to the defendant, on appeal, we review this
    conclusion for an abuse of discretion.” 
    Id.
     “In doing so, we look at all the
    circumstances and we consider: (1) the nature of the extrinsic evidence; (2) the
    manner in which it reached the jury; (3) the factual findings in the district court
    and the manner of the court’s inquiry into the juror issues; and, (4) the strength of
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    the government’s case.” 
    Id.
    The government presented an overwhelming case that Dortch possessed a
    firearm as a convicted felon. Dortch stipulated that he was a convicted felon and
    the government presented evidence that the handguns found in the front bedroom
    had traveled in interstate or foreign commerce. The handguns were found in a
    room that contained Dortch’s clothes and mail addressed to him. One of the
    handguns had Dortch’s DNA on it, and a DNA expert testified that the DNA
    matched Dortch’s to a 1 in 860 million probability. Dortch’s sister testified that
    Dortch lived in the bedroom, and Dortch told a DEA agent that he lived in the
    room. In the light of the compelling physical DNA evidence, the testimony of
    Dortch’s sister, and Dortch’s admission that he lived in the room, the government
    presented an overwhelming case that Dortch possessed a handgun near the date
    alleged in the indictment.
    The government also presented a strong case that Dortch possessed
    marijuana with intent to distribute it. Dortch admitted that he lived in the room
    where the marijuana was found, and his sister testified that he lived in the room.
    His clothes and mail addressed to him were found in the room. Items consistent
    with drug distribution, such as sandwich bags and two scales, were found in the
    room. One of the scales had Dortch’s fingerprint on it. Milanesi testified that he
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    purchased Lortab and cocaine from Dortch at the residence, and law enforcement
    officers found marijuana and cocaine in Dortch’s van, which was parked in front
    of the residence.
    In addition, the district court instructed the jury both orally and in writing
    that the indictment, which alleged Dortch’s five previously excluded convictions,
    was not evidence that could be considered to determine Dortch’s guilt. We
    presume that the jury followed these instructions. See United States v. Brazel, 
    102 F.3d 1120
    , 1145 (11th Cir. 1997). In the light of the written and oral instructions
    by the district court to the jury that the indictment was not evidence of guilt and
    the strength of the evidence against Dortch, any error in the submission of the
    unredacted indictment to the jury was harmless.
    Dortch’s reliance on United States v. Coleman, 
    552 F.3d 853
     (D.C. Cir.
    2009), is unavailing. In that decision, the District of Columbia Circuit ruled that a
    defendant convicted of being a felon in possession of a firearm established plain
    error where the district court read to the jury venire during voir dire an unredacted
    indictment that contained the defendant’s previous conviction for assault with a
    deadly weapon, the defendant had offered to stipulate that he was a convicted
    felon, and the evidence against the defendant was weak. 
    Id.
     at 859–60. As the
    District of Columbia Circuit explained, the dispute in the evidence regarding
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    possession boiled down to the word of the defendant against the word of a police
    officer who had changed his story several times. 
    Id. at 860
    . In contrast with the
    weak case against the defendant in Coleman, the evidence against Dortch was
    strong.
    B. Even if We Assume that the District Court Constructively Amended the
    Indictment, Dortch Cannot Establish that the Error Was Plain.
    The Fifth Amendment to the United States Constitution provides that “[n]o
    person shall be held to answer for a capital, or otherwise infamous crime, unless
    on a presentment or indictment of a Grand Jury . . . .” A fundamental principle
    stemming from the Fifth Amendment is that a defendant can be convicted only for
    a crime charged in the indictment. United States v. Figueroa, 
    666 F.2d 1375
    , 1379
    (11th Cir. 1982). An indictment is constructively amended “when the essential
    elements of the offense contained in the indictment are altered to broaden the
    possible bases for conviction beyond what is contained in the indictment.” United
    States v. Keller, 
    916 F.2d 628
    , 634 (11th Cir. 1990).
    Dortch argues that the district court constructively amended his indictment
    because the district court failed to instruct the jury that it could convict Dortch of
    the charges of possession only if it found beyond a reasonable doubt that Dortch
    possessed the two specific firearms described in counts one and two of the
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    indictment. The indictment charged Dortch with possessing “firearms, that is, a
    Taurus, Model PT45. .45 caliber pistol and an Arminius revolver,” and at trial the
    government introduced evidence about four firearms, the two handguns found in
    the front bedroom and the two rifles found elsewhere in the residence. But the
    district court instructed the jury that it could convict Dortch if it found that he
    possessed “a firearm.” Dortch argues that a constructive amendment amounts to a
    per se reversible error.
    The government argues that no constructive amendment occurred, and that
    Dortch invited any error or, alternatively, that there was no plain error. The
    government maintains that, under review for plain error, any error did not affect
    Dortch’s substantial rights nor seriously affect the fairness, integrity, or public
    reputation of his judicial proceedings.
    Dortch did not invite any error concerning the jury instructions. “[W]hen a
    party agrees with a court’s proposed instructions, the doctrine of invited error
    applies, meaning that review is waived even if plain error would result.” United
    States v. Frank, 
    599 F.3d 1221
    , 1240 (11th Cir. 2010). The parties do not dispute
    that Dortch did not object to the proposed jury instructions, but failing to object
    does not trigger the doctrine of invited error. The district court asked Dortch if he
    would need to review the instructions again with the district court at a later time,
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    and Dortch stated, “I don’t think so, Your Honor.” In the light of Dortch’s
    ambiguous statement to the district court, the doctrine of invited error does not
    apply. We instead review for plain error.
    We need not address whether a constructive amendment amounts to a per se
    reversible error when the defendant fails to object at trial because, even if we
    assume that the district court erred, the error was not plain. Under the plain-error
    standard, we will not correct an error raised for the first time on appeal unless
    there is an error that is plain; that affects substantial rights; and that seriously
    affects the fairness, integrity, or public reputation of judicial proceedings. United
    States v. Langford, 
    647 F.3d 1309
    , 1325 n.11 (11th Cir. 2011). “For a plain error
    to have occurred, the error must be one that is obvious and is clear under current
    law.” United States v. Carruth, 
    528 F.3d 845
    , 846 n.1 (11th Cir. 2008). An error
    is not obvious and clear when “[n]o Supreme Court decision squarely supports”
    the defendant’s argument, “other circuits . . . are split” regarding the resolution of
    the defendant’s argument, and “we have never resolved the issue.” See United
    States v. Humphrey, 
    164 F.3d 585
    , 588 (11th Cir. 1999).
    No Supreme Court precedent or precedent of this Court squarely supports
    Dortch’s argument. Dortch fails to cite any controlling authority that a district
    court constructively amends an indictment that alleges possession of particular
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    firearms by instructing the jury that it may convict for possession of any firearm.
    And our sister circuits are split regarding whether a district court constructively
    amends an indictment in this circumstance. In United States v. Leichtnam, 
    948 F.2d 370
     (7th Cir. 1991), the Seventh Circuit ruled that an indictment that charged
    the defendant with “knowingly us[ing] and carry[ing] a firearm: to wit, a
    Mossberg rifle” was constructively amended when the district court instructed the
    jury that it could convict the defendant if it found that he knowingly used “a
    firearm,” 
    id. at 379
     (alterations added), but at least three other circuits have
    disagreed with the Seventh Circuit. For example, in United States v. McIntosh, 
    23 F.3d 1454
     (8th Cir. 1994), the Eighth Circuit ruled that an indictment that charged
    the defendant with using an “Arminius Western Star .357 magnum revolver” was
    not constructively amended when the district court instructed the jury that it could
    convict on the basis of any firearm because “the specific type of firearm is not an
    element of the offense.” 
    Id. at 1457
    . In United States v. Hamilton, 
    992 F.2d 1126
    (10th Cir. 1993), the Tenth Circuit ruled that “the government merely had to
    produce evidence at trial from which the jury could find beyond a reasonable
    doubt that Defendant had used a firearm during the robbery and was not required
    to prove that the firearm was a .38 caliber revolver,” as alleged in the indictment.
    
    Id. at 1130
    . And in United States v. Robison, 
    904 F.2d 365
     (6th Cir. 1990), the
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    Sixth Circuit ruled that “the specific type of firearm used or possessed by the
    conspirator is not an essential element of the crime.” 
    Id. at 369
    .
    Contrary to the argument of the government, our decision in United States
    v. Williams, 
    334 F.3d 1228
     (11th Cir. 2003), does not resolve this issue. Our
    decision in Williams was limited to the underlying facts of that appeal: the
    defendant argued that his sentence could not be enhanced for discharging a
    firearm that was not described in the indictment. The defendant was charged with
    violating section 924(c)(1)(A) when he used or carried “a firearm, that is a
    handgun” during the commission of a robbery of a credit union and when he
    “aid[ed] and abet[ted] the using and carrying of a firearm, that is, a handgun.” 
    Id. at 1231
    . The defendant was convicted and the district court applied the ten-year
    mandatory minimum found in section 924(c)(1)(A)(iii), which states that if “the
    firearm is discharged” during the underlying crime, the defendant must be
    sentenced to not less than ten years. 
    Id.
     The district court applied the ten-year
    mandatory minimum because one of the accomplices of the defendant discharged
    an AK-47 during the robbery. 
    Id.
     at 1230–31. Although the defendant did not
    challenge his conviction on appeal, he challenged his sentence on the ground that
    the indictment was fatally flawed for specifying that his accomplice had used and
    carried a handgun, as opposed to the AK-47 that the accomplice had discharged.
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    Id. at 1231
    . We ruled that the inclusion of the term “a handgun” was “mere
    surplusage” because “[t]he United States Supreme Court [had] recently made clear
    [in Harris v. United States, 
    536 U.S. 545
    , 
    122 S. Ct. 2406
     (2002)] that 
    18 U.S.C. § 924
    (c)(1)(A) does not specify elements of a crime which must be charged in an
    indictment.” Williams, 
    334 F.3d at 1231
    . Section 924(c)(1)(A) makes it a crime
    to possess a firearm in furtherance of a crime of violence or a drug trafficking
    crime. The elements of that crime are stated in the opening paragraph of the
    statute and must be alleged in an indictment, under the Fifth Amendment, for the
    government to secure a conviction. Because the Supreme Court ruled in Harris
    that brandishing and discharging are sentencing elements that do not need to be
    alleged in the indictment, the district court could enhance the sentence because a
    firearm other than the one alleged in the indictment was discharged during a crime
    of violence or a drug trafficking crime. We expressed no opinion in Williams
    whether a district court constructively amends an indictment involving charges of
    possession of firearms when the indictment describes particular firearms, but the
    district court instructs the jury that it may convict based on evidence of possession
    of any firearm.
    In the absence of any controlling precedent about this issue, “we conclude
    [that] the district court’s alleged error is not ‘obvious’ or ‘clear under current
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    law.’” Humphrey, 
    164 F.3d at 588
    . “Without a ‘plain’ error, we lack authority to
    reverse the district court.” 
    Id.
     (citing United States v. Olano, 
    507 U.S. 725
    , 734,
    
    113 S. Ct. 1770
    , 1777 (1993). Dortch’s argument fails.
    C. Dortch’s Judgment of Acquittal Was Inadmissible.
    Dortch argues that the district court abused its discretion when it ruled that
    Dortch was not allowed to introduce evidence that he was acquitted of state
    charges brought against him in connection with Milanesi’s controlled purchase of
    Lortabs from Dortch. Dortch reasons that, because the government introduced
    evidence relating to the controlled purchase, he should have been permitted to
    introduce evidence that he was acquitted of charges based on that conduct. We
    disagree.
    “Judgments of acquittal are hearsay.” United States v. Irvin, 
    787 F.2d 1506
    ,
    1516 (11th Cir. 1986). “Unlike judgments of conviction, which may be admitted
    under Rule 803(22) of the Federal Rules of Evidence for some purposes, and used
    for impeachment under Rule 609, judgments of acquittal are not covered by an
    exception to the rule against admission of hearsay.” 
    Id.
     at 1516–17 (citing Fed.
    R. Evid. 801 & 802). Obviously, the district court did not abuse its discretion
    when it excluded inadmissible evidence.
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    IV. CONCLUSION
    We AFFIRM Dortch’s convictions.
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