United States v. Brown , 86 F. App'x 749 ( 2004 )


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  •                                                        United States Court of Appeals
    Fifth Circuit
    F I L E D
    IN THE UNITED STATES COURT OF APPEALS        February 11, 2004
    FOR THE FIFTH CIRCUIT             Charles R. Fulbruge III
    Clerk
    _____________________
    No. 02-30021
    _____________________
    UNITED STATES OF AMERICA
    Plaintiff - Appellee
    v.
    TIMOTHY D BROWN
    Defendant - Appellant
    *****************************************************************
    _____________________
    No. 02-30459
    _____________________
    UNITED STATES OF AMERICA
    Plaintiff - Appellee
    v.
    TIMOTHY D BROWN; CHRISTOPHER MICHAEL BROWN
    Defendants - Appellants
    *****************************************************************
    _____________________
    No. 02-30514
    _____________________
    UNITED STATES OF AMERICA
    Plaintiff - Appellee
    v.
    KENNETH WAYNE PEARSON; TIMOTHY D BROWN;
    CHRISTOPHER MICHAEL BROWN
    Defendants - Appellants
    *****************************************************************
    _____________________
    No. 03-30375
    _____________________
    UNITED STATES OF AMERICA
    Plaintiff - Appellee
    v.
    TIMOTHY D BROWN; ET AL
    Defendants
    BETTY L S BROWN; TONGULA VEAL
    Claimants - Appellants
    _________________________________________________________________
    Appeals from the United States District Court
    for the Western District of Louisiana
    No. 01-CR-10012-1
    _________________________________________________________________
    Before KING, Chief Judge, and JONES and SMITH, Circuit Judges.
    PER CURIAM:*
    *
    Pursuant to 5TH CIR. R. 47.5, the court has determined
    that this opinion should not be published and is not precedent
    except under the limited circumstances set forth in 5TH CIR. R.
    47.5.4.
    2
    The defendants were convicted by a jury on various offenses
    related to their participation in a major drug distribution
    enterprise.    The indictment also included two criminal forfeiture
    counts, and after trial the district court ordered the subject
    property forfeited to the United States.      The three criminal
    defendants, together with two claimants to the forfeited
    property, now appeal.    For the following reasons, we affirm.
    I. GENERAL BACKGROUND
    These consolidated appeals arise out of the criminal trial
    of Timothy D. Brown, his brother Christopher Michael Brown, and
    Kenneth Wayne Pearson in the Western District of Louisiana.
    Count 1 of the thirteen-count indictment charged all three men
    with participation in a major drug distribution conspiracy
    stretching from 1993 to 1999 and encompassing parts of Louisiana
    and Texas.    Other counts of the indictment charged the men with
    distributing various amounts of crack cocaine on several discrete
    occasions, charged Timothy Brown with money laundering offenses,
    and sought the forfeiture of assets connected to the substantive
    offenses.    Pearson was represented by counsel, but the Browns
    represented themselves at trial.       After seven days of trial, the
    jury found the defendants guilty on all charges, and the trial
    judge later found for the government on the forfeiture counts.
    The Browns were each sentenced to life imprisonment, plus
    additional sentences running concurrently.      Pearson, who was
    3
    charged only on the conspiracy count and one drug distribution
    count, received a sentence of 336 months.
    All three defendants appeal their convictions.    Consolidated
    with these appeals is the appeal of Betty L. S. Brown and Tongula
    Veal, who unsuccessfully filed innocent-owner claims on some of
    the forfeited property.   Timothy Brown, Betty Brown, and Tongula
    Veal are pro se on appeal.   Facts relevant to each of the various
    appellants are set forth separately below.
    II. CHRISTOPHER BROWN
    Christopher Brown’s sole issue on appeal is whether he
    validly waived his right to the assistance of counsel at trial.
    We review this question de novo.     United States v. Joseph, 
    333 F.3d 587
    , 589 (5th Cir.), cert. denied, 
    124 S. Ct. 446
    (2003).
    A.   Relevant facts
    At his arraignment on June 7, 2001, Christopher Brown was
    represented by his own retained attorney, Dele Adebamiji.    A
    month later, the government filed a motion to disqualify
    Adebamiji on the ground that he had represented one of the
    government’s cooperating witnesses in a drug prosecution stemming
    from the same investigation that eventually led to Brown’s
    indictment.   The magistrate judge recommended that Adebamiji be
    disqualified and that the defendant be ordered to retain new
    counsel within twenty days of the ruling.    The district judge
    adopted this recommendation on September 21, 2001.
    4
    The defendant appeared before the magistrate judge on
    November 7 without a lawyer and said that he was unaware that he
    had been ordered to obtain new counsel.    The magistrate judge
    told him that he could apply for court-appointed counsel if he
    could no longer afford his own.    The magistrate judge then
    ordered Brown to inform the court, within twenty days, of whether
    he had obtained new counsel or instead intended to represent
    himself.
    The defendant appeared in court again on December 13.      He
    informed the magistrate judge that he wished to file a motion to
    proceed pro se.     The motion stated that Adebamiji had been
    “unjustly disqualified” and that any court-appointed lawyer would
    be “working with the government and not in the defendant’s best
    interest.”   Brown reiterated this suspicion in open court.     The
    magistrate judge told him that a court-appointed lawyer would be
    chosen by the public defender’s office, which was separate from
    the prosecution, but Brown repeated that he did not want a court-
    appointed lawyer.
    The magistrate judge then engaged Brown in a lengthy
    colloquy in which the court inquired into Brown’s mental health
    and education,1 explained the charges and possible sentences
    Brown would face, told him about the many advantages a lawyer
    could offer, and warned that Brown would be held to the same
    1
    Brown said that he had graduated from high school and
    claimed to have attended a semester of college. He said that he
    could read and write “very well” and had no mental problems.
    5
    rules as other parties.   Brown admitted at one point during the
    exchange that he did not know what “voir dire” meant.       The
    magistrate judge asked if Brown was interested in having stand-by
    counsel appointed, but Brown said that he was not.    After
    recommending to Brown once more that he not represent himself,
    the magistrate judge stated that he felt Brown had made a
    knowing, intelligent, and voluntary decision waive his right to
    counsel.
    After resolving a few pretrial motions filed by Christopher
    and his brother Timothy, who was also proceeding pro se, the case
    proceeded to trial on January 15.2    While Christopher’s
    performance was certainly inferior to that of a skilled lawyer,
    he was not passive.   He made a brief opening statement at the
    beginning of the trial, and most of the government’s witnesses
    were cross-examined by both Browns, though Timothy’s cross-
    examinations were generally longer.    Some of Christopher’s cross-
    examinations seriously damaged his own case: for instance, he
    elicited testimony that implicated the Browns in a killing and
    other crimes about which the jury would not otherwise have
    learned.   The Browns called over a dozen witnesses in their case,
    with most of the direct examinations being performed by Timothy.3
    In his own testimony during the defense’s case, Christopher made
    2
    This opinion will at points refer to the defendants by
    their first names when useful to prevent confusion.
    3
    Pearson, who was represented by counsel, did not call
    any witnesses.
    6
    statements about past run-ins with the police that opened the
    door to cross-examination on numerous prior arrests.    Christopher
    delivered a closing argument, but he may have cut his argument
    short in the mistaken belief that his brother would be able to
    use any leftover time.
    On appeal, Christopher Brown is now represented by appointed
    counsel.
    B.   Analysis
    The Sixth Amendment gives a criminal defendant the right to
    conduct his or her own defense, so long as the accused’s waiver
    of the right to counsel is knowing and intelligent.     Faretta v.
    California, 
    422 U.S. 806
    , 835-36 (1975).    For a defendant who
    will stand trial, this court has required the trial court to
    engage in a colloquy with the accused in which the judge warns of
    the dangers of self-representation.     See United States v. Davis,
    
    269 F.3d 514
    , 518-19 (5th Cir. 2001).    In assessing whether the
    accused has made a knowing and intelligent waiver, the court must
    consider all of the circumstances of the individual case,
    including
    the defendant’s age and education, and other background,
    experience, and conduct. The court must ensure that the
    waiver is not the result of coercion or mistreatment of
    the defendant, and must be satisfied that the accused
    understands the nature of the charges, the consequences
    of the proceedings, and the practical meaning of the
    right he is waiving.
    
    Id. at 518
    (quoting United States v. Martin, 
    790 F.2d 1215
    , 1218
    (5th Cir. 1986)).
    7
    In this case, the magistrate judge engaged in a colloquy
    with the defendant of the type required by our precedents.     The
    magistrate judge told Brown about the charges that he faced,
    about the possible sentences, and about the disadvantages of
    self-representation.     The magistrate judge determined that the
    defendant was mentally competent and had graduated from high
    school.   During the exchange, the defendant repeatedly indicated
    that he understood the magistrate judge’s warnings, and he
    unequivocally stated that he wished to represent himself.
    While Brown does not dispute that the magistrate judge gave
    him numerous warnings and engaged him in a colloquy that might
    ordinarily suffice to demonstrate the validity of his decision to
    proceed pro se, he contends that his situation possesses several
    special features that distinguish it from the usual case.     First,
    he contends that his inability to understand why the government
    disqualified his chosen lawyer, together with his suspicions
    about appointed counsel, effectively coerced him into
    representing himself.4    Second, he argues that his lack of basic
    legal skills shows that his waiver was not knowing and
    4
    Brown points in particular to the following exchange,
    which occurred in a pretrial hearing concerning whether the
    government had provided proper discovery:
    TIMOTHY BROWN:      I wasn’t provided a copy [of the court’s
    discovery order].
    THE COURT:          Well, your lawyer was, Mr. Brown.
    CHRISTOPHER BROWN: You fired my lawyer.
    THE COURT:          I sure did.
    Although not reproduced in Brown’s brief, the magistrate judge
    followed up one line later with, “And for good cause . . .”
    8
    intelligent.   Third, he points out that some courts have found
    that the absence of stand-by counsel undermines the validity of a
    waiver; if stand-by counsel had been available, he contends, the
    stand-by lawyer might have averted some of his more serious
    mistakes and could have prevented him from relying too heavily on
    his co-defendant brother Timothy, who was more culpable.    Upon
    consideration, these contentions do not persuade us that the
    district court erred.
    Regarding the first argument, it is true that Brown may well
    have thought that self-representation was the only way to ensure
    a zealous defense, given the disqualification of his first lawyer
    and his mistrust of court-appointed counsel.   Brown does not
    contend that Adebamiji’s disqualification was improper, however,
    and he has not directed us to any cases establishing that a
    defendant’s suspicion of court-appointed counsel makes his waiver
    of the right to counsel into the product of “coercion.”    In fact,
    the courts not infrequently encounter defendants who object to
    court-appointed counsel based on the erroneous belief that such
    an attorney would be in league with the prosecution.     See, e.g.,
    Wise v. Bowersox, 
    136 F.3d 1197
    , 1202 (8th Cir. 1998).     The
    magistrate judge tried to explain that an appointed lawyer would
    be a public defender or a private lawyer not associated with the
    prosecution, but Brown persisted in his rejection of appointed
    counsel.   While Brown’s suspicions were to our mind ill-founded,
    there is no suggestion here that Brown’s suspicions were the
    9
    product of any sort of mental incompetence.    Given Brown’s
    repeated assertions of his desire to represent himself, it would
    have been more coercive, and possibly violative of Faretta, if
    the trial judge had rejected Brown’s decision and compelled him
    to accept the services of an unwanted appointed attorney. “To
    force a lawyer on a defendant can only lead him to believe that
    the law contrives against him.”     
    Faretta, 422 U.S. at 834
    .
    Brown’s dismal performance at trial, recounted in some
    detail in his appellate brief, reveals quite glaringly that his
    trial would almost certainly have proceeded better had he been
    represented by a proper lawyer.    Nevertheless, this does not mean
    that he was unable to make a knowing and intelligent waiver.       It
    is instructive that the trial judge in Faretta had refused to let
    the defendant represent himself because the defendant gave
    unsatisfactory answers to the judge’s questions concerning the
    hearsay rule and voir dire procedures.     
    Id. at 808-10
    & n.3.
    The Supreme Court, however, was uninterested in “how well or
    poorly Faretta had mastered the intricacies of” those rules,
    concluding that “technical legal knowledge, as such, [is] not
    relevant to an assessment of his knowing exercise of the right to
    defend himself.”   
    Id. at 836.
       Brown was a poor lawyer, but a
    defendant who has chosen self-representation cannot thereafter
    claim that the quality of his or her own defense amounts to a
    denial of effective assistance of counsel.     
    Id. at 834
    n.46.
    10
    Brown asserts that his waiver of the right to counsel was
    suspect because he often relied on his brother Timothy.    Timothy
    was alleged to be the head of the drug ring and was therefore
    more culpable than Christopher.    Because of the two defendants’
    potentially conflicting interests, joint representation might
    have been inappropriate, if undertaken by an actual attorney.
    But any impropriety arising out of Timothy’s participation in
    Christopher’s case would simply go to the effectiveness of
    Christopher’s defense.   As stated above, that type of claim is
    not available to defendants who proceed pro se at trial.
    Brown is correct that some of the more disastrous aspects of
    his trial performance might have been averted if stand-by counsel
    had been appointed.   Stand-by counsel can be appointed even over
    the defendant’s objection.     McKaskle v. Wiggins, 
    465 U.S. 168
    ,
    184 (1984).   Some courts have indicated, as Brown points out,
    that the availability of stand-by counsel is a factor to be
    considered in determining whether the defendant’s waiver was
    knowing and intelligent.     See United States v. Sandles, 
    23 F.3d 1121
    , 1128 (7th Cir. 1994); Strozier v. Newsome, 
    871 F.2d 995
    ,
    998 (11th Cir. 1989).    While this circuit has recognized that
    appointment of stand-by counsel is the “preferred practice,”
    McQueen v. Blackburn, 
    755 F.2d 1174
    , 1178 (5th Cir. 1985), we
    have not explicitly considered it as a factor that can undermine
    the validity of a waiver.    Further, the Constitution does not
    require the appointment of stand-by counsel even when it is
    11
    requested, 
    id. at 1178;
    see also United States v. Bova, 
    350 F.3d 224
    , 226-27 (1st Cir. 2003), and here Brown explicitly refused
    it.
    In sum, having considered all of the relevant circumstances,
    we conclude that Christopher Brown’s waiver of the right to
    counsel was valid under our precedents.
    III. TIMOTHY BROWN
    Timothy Brown raises a number of points of error and also
    joins in those raised by his co-defendants.
    A.    Pre-indictment and post-indictment delay
    Brown alleges constitutional and statutory violations
    traceable to pre-indictment and post-indictment delay.   In
    particular, he argues first that the government violated his
    right to due process by waiting until 2001 to indict him for a
    conspiracy that stretched back to 1993.   Brown asserts that
    because the government delayed for so long, several alibi
    witnesses could not be located, two trial witnesses could no
    longer remember events from 1995 that presumably would have been
    helpful to Brown’s case, and pieces of exculpatory evidence
    (namely security tapes and financial records) have been lost.
    Brown also argues that the government violated the Speedy
    Trial Act and the Sixth Amendment through post-indictment delay.
    Brown points out that he was indicted and made his initial court
    appearance in May 2001 but was not tried until January 15,
    12
    2002——a period that far exceeds the Act’s usual seventy-day
    limit.
    Both of these arguments were raised and rejected in the
    district court.    We review the district court’s legal conclusions
    de novo and its factual determinations for clear error.    United
    States v. Bieganowski, 
    313 F.3d 264
    , 281 (5th Cir. 2002), cert.
    denied, 
    123 S. Ct. 1956
    (2003).
    1.     Due process/pre-indictment delay
    Pre-indictment delay can in some cases deprive a defendant
    of due process of law.    See United States v. Lovasco, 
    431 U.S. 783
    (1977).    This court set out the required showing to establish
    such a claim in United States v. Crouch, 
    84 F.3d 1497
    , 1514 (5th
    Cir. 1996) (en banc):
    [F]or preindictment delay to violate the due process
    clause it must not only cause the accused substantial,
    actual prejudice, but the delay must also have been
    intentionally undertaken by the government for the
    purpose of gaining some tactical advantage over the
    accused in the contemplated prosecution or for some other
    impermissible, bad faith purpose.
    Under Crouch, then, the claim has two essential components: the
    delay must cause prejudice and it must have been undertaken for
    an improper purpose.    The defendant bears the burden of proving
    both.    United States v. Amuny, 
    767 F.2d 1113
    , 1119-20 (5th Cir.
    1985).
    Regarding the first prong, we have held that “[v]ague
    assertions of lost witnesses, faded memories, or misplaced
    documents are insufficient” to demonstrate actual prejudice.       
    Id. 13 at
    1515 (quoting United States v. Beszborn, 
    21 F.3d 62
    , 67 (5th
    Cir. 1994) (alteration in original)).    In his appellate brief,
    Brown does name specific persons and pieces of evidence that he
    claims were lost.    Even if those assertions were sufficiently
    substantiated, however, at no point in Brown’s submissions to
    this court or the district court has come close to satisfying
    Crouch’s second prong.   Brown has accused the government of
    tactical delay, but he has never offered any elaboration or
    evidentiary substantiation for his bare assertion.     We cannot
    presume that a delay was undertaken for improper reasons, and
    prosecutors are not constitutionally required to bring charges as
    soon as they have enough proof to convict, especially in wide-
    ranging investigations involving multiple defendants.     See
    
    Lovasco, 431 U.S. at 792-95
    .    “[T]o prosecute a defendant
    following investigative delay does not deprive him of due
    process, even if his defense might have been somewhat prejudiced
    by the lapse of time.”    
    Id. at 796.
    2.     Speedy Trial Act
    Under the federal Speedy Trial Act, a criminal defendant’s
    trial “shall commence within seventy days from” the date of the
    indictment or the defendant’s initial court appearance, whichever
    is later.    18 U.S.C. § 3161(c)(1) (2000).   The seventy-day limit
    is, however, subject to a list of exemptions, including the time
    that elapses between the filing of a motion and the hearing on
    that motion as well as a period (not to exceed thirty days)
    14
    during which a matter is under advisement by the district court.
    
    Id. § 3161(h)(1).
    The vast majority of the 229 days between Brown’s initial
    appearance and his trial were excludable by reason of the
    pendency of various motions, many of which were filed by Brown
    himself.    Based on our review of the district court’s docket
    sheet, it appears that 38 nonexcludable days elapsed, a figure
    comfortably within the statutory limit.
    3.   Sixth Amendment
    Brown also appears to assert that the post-indictment delay
    violated his constitutional, as opposed to statutory, right to a
    speedy trial.    As a recent decision observed, “[i]t will be the
    unusual case . . . where the time limits under the Speedy Trial
    Act have been satisfied but the right to a speedy trial under the
    Sixth Amendment has been violated.”     
    Bieganowski, 313 F.3d at 284
    .    In evaluating the constitutional claim, we consider four
    factors: (1) the length of the delay, (2) the reason for the
    delay, (3) the defendant’s diligence in asserting his Sixth
    Amendment right, and (4) prejudice to the defendant resulting
    from the delay.     United States v. Cardona, 
    302 F.3d 494
    , 496 (5th
    Cir. 2002) (citing Barker v. Wingo, 
    407 U.S. 514
    , 530-33 (1972)).
    We generally need not consider factors two, three, and four if
    the delay is less than a year.     United States v. Bergfeld, 
    280 F.3d 486
    , 488 (5th Cir. 2002).    Here, Brown was indicted and
    initially appeared in May 2001 and was tried beginning in January
    15
    2002.   Even were this a sufficient delay to trigger the right,
    the delay was attributable to the complexity of the case and the
    numerous pretrial motions, many of which were filed by Brown.
    This claim is accordingly without merit.
    B.   Jurisdictional challenges
    Brown contends that the federal government is without
    jurisdiction to criminalize his conduct because the federal
    government lacks a general police power.    According to Brown, the
    federal government’s power to regulate private conduct is largely
    limited to activities that occur on federal property.    Brown is
    correct that the federal government lacks a general police power,
    but his argument overlooks the Commerce Clause, which permits
    Congress to punish the drug offenses charged here on the ground
    that they affect interstate commerce, even without proving that
    the particular acts at issue affected interstate commerce.     See,
    e.g., United States v. Lopez, 
    459 F.2d 949
    , 950-53 (5th Cir.
    1972) (holding that 21 U.S.C. §§ 841 and 846 are constitutional).
    The Supreme Court’s recent federalism decisions have not changed
    this result.     See United States v. Brown, 
    276 F.3d 211
    , 214-15
    (6th Cir. 2002); United States v. Kallestad, 
    236 F.3d 225
    , 230 &
    n.29 (5th Cir. 2000).
    Brown also argues that the district court never established
    its jurisdiction over the case, but this argument is likewise
    without merit.    The court had jurisdiction by virtue of 18 U.S.C.
    § 3231, which confers jurisdiction over “all offenses against the
    16
    laws of the United States.”    The indictment charged Brown with
    such offenses.    The underlying drug statutes do not include
    elements that require the government to prove jurisdictional
    facts, such as a connection with interstate commerce.
    C.   Waiver of right to counsel
    In addition to raising issues of his own, Timothy Brown
    joins in the arguments raised by his co-defendants.      These shared
    claims fail for the same reasons discussed elsewhere in this
    opinion.    The only shared issue that requires separate comment as
    applied to Timothy Brown is the issue whether he made a valid
    waiver of his right to counsel.
    Timothy Brown appeared at his arraignment in June 2001
    represented by retained counsel.       Over the course of the next few
    months, his lawyer filed several motions related to discovery and
    scheduling.    In September 2001, Brown filed a motion to proceed
    pro se, and his lawyer filed a motion to be removed as counsel of
    record.    At the time, trial was scheduled for January 2002.
    Brown appeared before the magistrate judge on October 25,
    2001, for a hearing on his motion to proceed pro se, as well as
    hearings on other motions he had filed.       The magistrate judge
    noted that he had previously determined that Brown did not
    financially qualify for appointment of counsel.      The magistrate
    judge told Brown that defendants have the constitutional right to
    represent themselves, but that the magistrate judge had to ensure
    that Brown was making a knowing and intelligent decision to do
    17
    so.   At this point Brown stated that he eventually planned to
    hire a new attorney, but that he wished to represent himself in
    the meantime.   The magistrate judge offered to postpone the
    hearing on Brown’s several pending motions until he hired a new
    lawyer, but Brown said that he wanted to argue the motions
    himself.   The magistrate judge warned Brown that while there was
    no deadline for Brown to hire a new lawyer, he should “do that
    immediately if you’re going to do it.”
    Recognizing that Brown might still hire a lawyer to
    represent him at trial, the magistrate judge nonetheless engaged
    Brown in a full colloquy very similar to that described earlier
    with respect to his brother Christopher.   When asked about his
    education, Brown claimed to have graduated from college (although
    the pretrial services report indicated that there was no record
    of him attending college).   Brown also said that he had
    represented himself before, winning two out of three cases.    The
    magistrate judge told Brown that stand-by counsel would not be
    provided because Brown did not financially qualify for any court-
    appointed attorney.   The magistrate judge concluded by telling
    Brown to inform the court if and when he hired a new lawyer.
    Brown filed a number of pretrial motions and argued them to
    the court.   He showed an understanding of basic criminal
    procedure and terminology; for example, he complained that the
    government had failed to turn over Brady and Jencks material.
    18
    Brown never hired a new lawyer or asked to do so but instead
    represented himself throughout the trial.
    Timothy’s colloquy with the magistrate judge was
    substantially the same as Christopher’s colloquy, and it likewise
    satisfies the applicable standards.   The factors that complicated
    the analysis of Christopher’s case are not present with respect
    to Timothy.   His waiver of the right to counsel was a fortiori
    valid.
    D.   Other issues
    Brown additionally alludes to some dozen purported defects
    in his trial, devoting a sentence or two to each of them.   These
    same complaints were raised in the district court.   Even allowing
    for the liberality with which we construe pro se briefs, see,
    e.g., United States v. Glinsey, 
    209 F.3d 386
    , 392 n.4 (5th Cir.
    2000), some of these claims are presented too obscurely to permit
    a proper evaluation.5   To the extent that we can evaluate the
    arguments, none of them presents reversible error based on the
    record before us.   We make the following observations regarding
    what appear to be the three strongest arguments that are fairly
    discernable from the briefs and the record.
    5
    Brown’s brief asserts, for instance, that the
    government held a press conference that generated prejudicial
    pretrial publicity. The allegedly offending statements and news
    reports are not part of the record, however, so it is impossible
    for us to evaluate Brown’s claim. Similarly, while Brown
    complains that the government failed to make required discovery,
    his appellate brief does not identify which items used at trial
    should have been disclosed or mount any argument as to those
    items.
    19
    First, Brown asserts that the prosecutor misrepresented the
    testimony of Bertha Woodfox, a cooperating witness.   During
    closing arguments, the prosecutor said that Woodfox testified
    that she had seen Brown with drugs.   Brown made a contemporaneous
    objection to that characterization of the evidence, which was
    overruled.   Having examined Woodfox’s testimony, it appears that
    Woodfox in fact testified on cross-examination that she had never
    actually seen either of the Browns with drugs.    Nonetheless,
    Woodfox did testify that she arranged drug deals for the Browns
    and transported money for them, and other witnesses testified
    that they purchased drugs from the Browns.   Given those
    circumstances, the prosecutor’s misstatement in no way casts
    doubt on the correctness of the verdict.   Since the remarks did
    not have such an effect, there is no basis for reversal.    See
    United States v. Kelley, 
    981 F.2d 1464
    , 1473 (5th Cir. 1993).
    Second, Brown contends that one of the jurors was biased
    against him, as reflected in a racist letter to the editor that
    appeared in the local paper.   The court held a hearing at which
    the juror and a newspaper employee testified, and the court
    determined that there was clear and convincing evidence that the
    juror was not the author of the letter.    This finding of fact is
    not clearly erroneous.
    Third, Brown argues that the government acted in bad faith
    in putting on the testimony of Chadrick McNeal, who (according to
    Brown) became a police informant in order to get revenge against
    20
    Brown.    On direct examination, the government elicited testimony
    that McNeal was a paid informant.     On cross-examination,
    Pearson’s lawyer and the Browns inquired in some detail into
    McNeal’s motives for becoming an informant.     We see no
    prosecutorial misconduct in presenting the testimony.       It is
    within the jury’s province to make determinations regarding the
    credibility of witnesses, and the jury was entitled to discount
    McNeal’s testimony if it so chose.
    IV. KENNETH PEARSON
    A.   Giglio/Napue violation
    Pearson’s first argument on appeal is that the government
    deprived him of his right to due process when it allowed its
    witnesses to materially misrepresent the terms of their plea
    agreements.   We review this matter de novo.6
    1.    Relevant facts
    The government’s case featured dozens of witnesses,
    including fifteen cooperating felons.     Pearson asserts that nine
    of those cooperating witnesses misrepresented the terms of their
    plea agreements with the U.S. Attorney’s Office.     The nine
    written plea agreements differ in various ways; all but one of
    them, however, refer to the possibility of “substantial
    6
    Pearson argues that de novo review rather than plain
    error review is proper even though the matter was not raised
    below. The government concedes this point, so we exercise de
    novo review.
    21
    assistance” sentence departures.7    These agreements carefully
    state that the government makes no “promises” regarding sentence
    reductions.   The agreements were made available to the defense at
    trial.
    The government began the direct examination of most (but not
    all) of its cooperating witnesses by eliciting testimony that the
    witness had pleaded guilty and agreed to testify as part of his
    plea agreement.   In some cases the direct examination did not
    reveal that the witness could receive a reduced sentence for
    testifying.   In a few cases the only question related to the
    issue of the witness’s reasons for testifying was a question
    whether the witness had been “promised anything for testifying,”
    which the witnesses answered “no.”    The government asked other
    witnesses more open-ended questions about their understanding of
    whether they would receive anything for their testimony; these
    witnesses all said that “no promises” had been made, but some of
    them did mention the possibility or hope of receiving more
    lenient sentences.   On cross-examination, much of which was
    conducted by the Brown brothers, the nature of the witnesses’
    plea agreements was explored in some detail.    Most of the
    7
    Earl Veal’s plea agreement does not contain any
    provisions referring to cooperation or substantial assistance.
    We note that while the plea agreements are attached as an
    appendix to the government’s appellate brief, only one of them
    was put into the record in the district court. Nonetheless, as
    both sides seem content to proceed on this basis, we shall assume
    that the attachments to the government’s brief are accurate
    representations of the cooperating witnesses’ plea agreements.
    22
    witnesses admitted that they hoped to receive reduced sentences
    for testifying.
    Pearson’s brief discusses in some detail the testimony of
    each of the nine witnesses who, to various degrees, allegedly
    misrepresented the nature of their federal plea agreements, but
    only three of those nine witnesses provided testimony that
    incriminated Pearson (as opposed to his co-defendants).   We will
    therefore summarize in relevant part the testimony of those three
    witnesses.
    The first of them, Sedrick Jackson, provided rather weak
    testimony against Pearson.   Jackson assumed that Pearson bought
    crack from the Browns because he saw Pearson leave the Browns’
    store (which operated as a front for the drug enterprise) with
    the same kind of bag in which Jackson received his crack.    He
    also testified that Timothy Brown told him that Pearson sometimes
    caused problems by not paying all of the money that he was
    supposed to pay.   Earlier, at the beginning of the direct
    examination, the government had elicited testimony that Jackson
    had agreed to cooperate and that “[i]t’s a possibility that I may
    get a downward departure, but nothing was promised to me, as long
    as I give substantial assistance.”   The prosecutor asked Jackson
    if he knew who would make the final decision on whether his
    sentence would be reduced, and Jackson said he believed it was
    the judge.
    23
    Thurston Washington’s testimony began with an admission that
    he had entered into a plea agreement.     When the prosecutor asked
    him about his understanding of his agreement, he stated that he
    would probably get the maximum if he did not testify.     When asked
    whether the judge had the final say on his sentence, he said yes.
    Washington then proceeded to testify that he sold crack for the
    Browns for about a year.     He also testified that he saw Pearson
    with crack and that Pearson told him that it came from the
    Browns.
    The third witness who both incriminated Pearson and
    allegedly misrepresented his federal plea agreement was Derrick
    Ross, who testified that he bought crack from Pearson nine or ten
    times.     The direct examination of Ross spans only a few
    transcript pages, and the only reference to his status as a
    cooperating witness was the question, “Has anyone promised you
    anything to get you [to] testify today?”     Ross answered, “No,
    sir.”     That he was testifying pursuant to a plea agreement was
    therefore not revealed on direct examination (though it was
    explored on cross-examination).
    Several other felons also incriminated Pearson, but he does
    not argue on appeal that the government misrepresented any plea
    agreement they might have had.     At the close of the case, the
    jury instructions warned the jury to be especially careful in
    evaluating the credibility of cooperating witnesses.
    2.      Analysis
    24
    The Due Process Clause forbids the government from knowingly
    using or failing to correct false testimony, including testimony
    about the nature or existence of a cooperating witness’s plea
    agreement.     Giglio v. United States, 
    405 U.S. 150
    , 153-54 (1972);
    Napue v. Illinois, 
    360 U.S. 264
    , 269 (1959); Unites States v.
    Mason, 
    293 F.3d 826
    , 828 (5th Cir. 2002).    To prove a violation,
    the criminal defendant must show that (1) a witness testified
    falsely, (2) the government knew that the testimony was false,
    and (3) the testimony was material.     
    Mason, 293 F.3d at 828
    .
    Testimony is “material” in this context, and thus a new trial is
    required, “if the false testimony could . . . in any reasonable
    likelihood have affected the judgment of the jury.”     
    Giglio, 405 U.S. at 154
    (internal quotation marks omitted and alteration in
    original); see also Barrientes v. Johnson, 
    221 F.3d 741
    , 753 (5th
    Cir. 2000).8
    Pearson’s argument on appeal posits two distinct ways in
    which the government allegedly misled the jury.    The first
    relates to the terms of the written plea agreements themselves.
    The cooperating witnesses’ plea agreements are carefully crafted
    to state that the government may, but is not required to, file a
    8
    The government’s brief contends that the standard for
    materiality is whether there is a “reasonable probability that
    the result would have been different,” which in turn means “a
    probability sufficient to undermine confidence in the outcome.”
    Pearson is correct, however, that Giglio’s “any reasonable
    likelihood” language imposes a somewhat lower burden. See
    
    Barrientes, 221 F.3d at 756
    (comparing the different
    formulations). In any event, the difference between the
    formulations is irrelevant in this case.
    25
    motion for a substantial assistance sentence departure or
    reduction; the agreements also warn that the sentencing judge
    ultimately sets the sentence.   Pearson claims that the written
    agreements themselves misrepresent the true bargain struck with
    the witnesses, since cooperating witnesses virtually always
    receive the anticipated reductions, as did the cooperating
    witnesses in this case.   The carefully crafted hedges and
    qualifications in the agreements, according to Pearson, merely
    allow the government to deny what is in reality a straightforward
    promise of leniency in exchange for favorable testimony.
    Leaving aside the asserted defects in the written agreements
    themselves, Pearson also argues that the government’s examination
    of the witnesses gave a misleading impression of their reasons
    for testifying.   Most of the witnesses (but not Ross) said on
    direct examination that they were testifying as required under a
    plea agreement, but they also testified in lockstep that they had
    not been “promised” anything for their testimony.   Pearson claims
    that this way of answering the question——often suggested by the
    prosecutor’s arguably leading questions——gave the jury a mistaken
    impression of what the witnesses really stood to gain by
    testifying against Pearson and his associates.
    We have little difficulty in rejecting the first part of
    Pearson’s argument, namely that the language of the plea
    agreements themselves misstates the true deal between the
    government and the cooperating defendant.   As the government
    26
    explains, the careful “no promises” language of the written plea
    agreements is itself a response to cases holding that agreements
    without such hedges strip the government of its discretion over
    whether to request a downward departure.     See, e.g., United
    States v. Watson, 
    988 F.2d 544
    , 548, 551-53 (5th Cir. 1993);
    United States v. Melton, 
    930 F.2d 1096
    , 1098-99 (5th Cir. 1991);
    see also United States v. Garcia-Bonilla, 
    11 F.3d 45
    , 46-47 (5th
    Cir. 1993) (contrasting such agreements with an agreement, like
    the ones here, that reserves the government’s discretion).       The
    language reserving the government’s discretion is therefore both
    appropriate and accurate, even though the government regularly
    requests a downward departure when a defendant renders
    substantial assistance.
    Pearson’s second type of argument, namely that the
    government allowed the witnesses to misrepresent their plea
    agreements, is stronger.   To be sure, we would not require the
    prosecution to pound away at the credibility of its own
    cooperating witness by exploring all of the witness’s motives to
    curry favor with the government.     The testimony of witness Ross
    is quite troubling, however, because the only question remotely
    touching on that subject was a question whether he had been
    promised anything to testify, which Ross answered in the
    negative.   This tended to convey an improper and misleading
    impression that Ross was wholly disinterested.     See United States
    v. Barham, 
    595 F.2d 231
    , 239-41 (5th Cir. 1979) (criticizing a
    27
    similar style of questioning).   His plea agreement stated that
    the government may, but was not required to, file a motion for a
    downward departure if Ross gave substantial assistance; the
    agreement explicitly stated that no promises were made in that
    regard.   To that extent, Ross’s statement that he had been
    promised nothing was at least technically accurate.   The
    agreement does state, however, that “the United States will
    advise the Court of any assistance provided by the Defendant.”
    Thus, although Ross certainly was not promised a downward
    departure, or even a motion for one, he was at least promised
    something.   To that extent, his testimony on direct was not only
    misleading but false as well, if only in a relatively small way.9
    Ross’s testimony differs from the testimony of witnesses Jackson
    and Washington, whose testimony on direct examination was
    technically accurate and did not misleadingly suggest that they
    were wholly disinterested.
    9
    Similarly false was witness Christopher Larry’s
    negative response to the question whether he had been promised
    anything for testifying. But unlike the case with Ross, Larry’s
    direct testimony at least revealed that he was testifying
    pursuant to a plea agreement. His plea agreement said that the
    government would inform the court of any assistance and would
    consider filing a motion to reduce his sentence. Larry’s plea
    agreement was explored in some detail on cross-examination, and
    it was put into evidence. Also false was a statement made during
    cross-examination by witness Darnell Atkins, who admitted on
    direct examination that he was cooperating pursuant to a plea
    agreement but then stated at one point during cross-examination
    that the government would not even consider a sentence reduction
    if he cooperated. Larry and Atkins did not offer testimony
    against Pearson, only against the Browns.
    28
    The existence and terms of Ross’s plea agreement were
    explored in some detail on cross-examination.    To be sure, this
    does not excuse the government from its affirmative duty not to
    let its witnesses testify falsely; it is not the defendant’s job
    to correct the testimony.     
    Mason, 293 F.3d at 829
    ; United States
    v. Sanfilippo, 
    564 F.2d 176
    , 178 (5th Cir. 1977).    Nonetheless,
    since there is no Giglio violation unless the testimony was
    material——i.e., unless it could “in any reasonable likelihood
    have affected the judgment of the jury”——revelations on cross-
    examination can dispel any incorrect impression given to the jury
    by the testimony on direct.    It is therefore relevant that
    Pearson’s lawyer elicited that Ross had a plea agreement and that
    he could receive a sentence reduction for substantial assistance.
    Indeed, the motives of all nine of the cooperating witnesses
    highlighted in Pearson’s brief were explored in some detail in
    cross-examination.   (For those witnesses who did not testify
    against Pearson, this cross-examination was conducted by the
    Browns, who were very persistent in this regard.)    Thus, whatever
    the shortcomings in the direct examinations, the overall effect
    of the testimony was not materially misleading to the jury.
    A significant feature of Giglio and Napue is that in those
    cases the prosecution’s case hinged largely on the testimony of a
    single witness whose arrangement with the government was hidden
    from the jury.   Since the key witnesses in those cases testified
    falsely as to their agreements with the government, the jury’s
    29
    verdict was thrown into doubt.   Here, there was testimony against
    Pearson from at least seven witnesses.    Pearson’s claims of
    misrepresentation are directed at only three of them, and we have
    concluded that cross-examination repaired the defects in the
    direct examinations.   Pearson correctly points out that almost
    all of the evidence against him came from convicted felons and
    paid informants, but this was a matter for the jury to weigh.      It
    is clear that the jury, through a combination of the trial
    testimony and its own common sense, realized that all of the
    cooperating witnesses had substantial motives to curry favor with
    the prosecution.   These witnesses’ motives were brought to the
    jurors’ attention again in the jury instructions, in which the
    judge warned the jury to take special care when evaluating the
    credibility of cooperating witnesses.    In sum, while there was
    some false testimony offered in this case, we are convinced that
    there is no reasonable likelihood that it procured Pearson’s
    conviction.10
    B.   Apprendi issues
    Pearson raises two arguments based on the reasoning of the
    Supreme Court’s decision in Apprendi v. New Jersey, 
    530 U.S. 466
    (2000).   First, he argues that the drug quantity used to
    determine his sentence must be found by a jury rather than by the
    10
    We are even more convinced of this conclusion regarding
    Timothy Brown, who adopts Pearson’s arguments on this issue.
    Although there was some testimony against Brown that we would
    fault, 
    see supra
    note 9, the case against Brown was overwhelming
    and included testimony from people other than cooperating felons.
    30
    sentencing judge, even though the sentence Pearson received was
    below the statutory maximum.    Second, he contends that 21 U.S.C.
    § 841(b) is unconstitutional.    Pearson raises these arguments
    here, as he did at trial,11 solely to preserve the issues for
    possible further review; he admits that both arguments are
    foreclosed by circuit precedent.      See, e.g., United States v.
    McIntosh, 
    280 F.3d 479
    , 484 (5th Cir. 2002) (“[N]o Apprendi
    violation occurs where a fact used in sentencing that was not
    alleged in an indictment and proved to a jury does not increase
    the sentence beyond the statutory maximum.”); United States v.
    Slaughter, 
    238 F.3d 580
    , 582 (5th Cir. 2001) (rejecting a
    constitutional challenge to 21 U.S.C. § 841(b)).
    V. FORFEITURE ISSUES
    Betty Brown is the Brown brothers’ mother, and Tongula Veal
    is Timothy’s common-law wife.    Their appeal challenges the
    forfeiture of some of the property connected to the Browns’ drug
    enterprise.    To the extent that their argument involves the
    construction and constitutionality of the relevant federal
    statutes, our review is de novo.      United States v. Perez-Macias,
    
    335 F.3d 421
    , 425 (5th Cir.), cert. denied, 
    124 S. Ct. 495
    (2003); United States v. Rasco, 
    123 F.3d 222
    , 226 (5th Cir.
    1997).    To the extent that they would have the district court
    excuse an untimely filing or permit an amended claim, our review
    11
    Timothy Brown, who joins in the Apprendi arguments, did
    not raise them in the district court.
    31
    is for abuse of discretion.     Cf. S.W. Bell Tel. Co. v. El Paso,
    
    346 F.3d 541
    , 546 (5th Cir. 2003); Coburn Supply Co. v. Kohler
    Co., 
    342 F.3d 372
    , 376 (5th Cir. 2003).
    A.   Relevant facts
    The indictment included criminal forfeiture counts under 21
    U.S.C. § 853 (criminal forfeiture of proceeds of drug crimes) and
    18 U.S.C. § 982 (criminal forfeiture of property related to,
    inter alia, money laundering offenses).       After considering the
    jury’s verdict and the evidence at trial, the district judge
    found in the government’s favor on the forfeiture counts on
    January 25, 2002.     An initial order of forfeiture——encompassing
    $800,000 in cash, two parcels of real property, and three
    cars——was entered on February 4.       The court’s order further
    provided that any third parties claiming an interest in the
    property must file a petition within thirty days of the date of
    the final published notice of forfeiture or the date that the
    party received actual notice, whichever came earlier.       A notice
    of the order of forfeiture was sent to Betty Brown by certified
    mail on February 6, and she received it on February 8.       Notice of
    the order of forfeiture was also published in the local newspaper
    three times, beginning on February 15 and ending on March 1.
    On February 27, Brown and Veal filed separate innocent-owner
    petitions on behalf of BLSB, Inc. and WWTO, Inc., respectively.
    BLSB’s filing concerned one of the parcels of real property and
    two cars; WWTO’s filing concerned one car.       The petitions claimed
    32
    that the corporations were the “100% lawful owner[s]” of the
    subject property.    Each woman signed her petition on the
    corporation’s behalf as “President and Sole shareholder.”    The
    district court, in an order dated March 5, refused to entertain
    these petitions on the grounds that a corporation can only appear
    through a licensed attorney.     See S.W. Express Co. v. ICC, 
    670 F.2d 53
    , 55-56 (5th Cir. 1982).    On March 14, Brown and Veal
    jointly filed a document styled “Request for Extension of Time to
    Employ Counsel.”    On March 19, the district judge entered a
    handwritten order stating, in full: “No order is required for the
    corporations to engage the services of an attorney.”
    Brown and Veal filed new innocent-owner petitions over seven
    months later, on October 30, but this time in their individual
    capacities.     The women claimed to be the “100% lawful owner[s]”
    of the subject property and stated that, “Property was acquired
    lawfully through corporation owned solely by claimant and all
    interest in property is vested [in] claimant.”    The petitions
    were accompanied by certificates of dissolution for BLSB and
    WWTO, also dated October 30.     The government responded to the new
    petitions and, on March 24, 2002, the district court denied
    Brown’s and Veal’s October 30 petitions as untimely, since they
    were filed well over thirty days after notice of the forfeiture.
    B.   Analysis
    Proceeding pro se on appeal, Brown and Veal argue that the
    October 30 filings, in which the women asserted claims to the
    33
    property as individuals, operated as “amendments” to their
    corporations’ timely February 27 filings.   The later filings
    therefore relate back to the earlier date and are thus also
    timely, they contend.
    According to the applicable forfeiture statute, a person
    claiming a legal interest in property that has been ordered
    forfeited “may, within thirty days of the final publication of
    notice or his receipt of notice . . . whichever is earlier,
    petition the court for a hearing” to adjudicate the claim.     21
    U.S.C. § 853(n)(2) (2000).12   After the court rules on any
    petitions, or if no such petitions are filed within the thirty-
    day period, the government gains clear title to the property.
    
    Id. § 853(n)(7).
      For Betty Brown, who received individual notice
    of the forfeiture order, the thirty-day period began on February
    8; for Veal, the period began on March 1.   The appellants’
    October 30 notices are therefore well outside the thirty-day
    period provided in the statute.
    It is true that the corporations’ February 27 filings were
    within the statutory period, but there does not appear to be any
    authority supporting the argument that the October 30 petitions
    should be considered “amendments” that relate back to the earlier
    filing date.   The October 30 filings had nothing to “amend”
    12
    Only one of the indictment’s two forfeiture counts
    arose under 21 U.S.C. § 853. The other forfeiture count arose
    under 18 U.S.C. § 982, but it is likewise governed by the
    procedures of 21 U.S.C. § 853. See 18 U.S.C. § 982(b)(1) (2000).
    34
    inasmuch as the original filings were so defective that the court
    refused to consider them.   Cf. Kansa Reins. Co. v. Cong. Mortgage
    Corp. of Tex., 
    20 F.3d 1362
    , 1367 (5th Cir. 1994) (explaining, in
    a case involving Federal Rule of Civil Procedure 15, that “in
    order for an amended pleading to relate back for statute of
    limitations purposes, there must be a previous pleading to which
    the amendment dates back” (internal quotation marks omitted)).
    Brown and Veal contend that were advised by an attorney to
    file the original innocent-owner claims in the names of their
    corporations.   While it may be within the discretion of the
    district court to look past an untimely filing when there is
    excusable neglect - a matter as to which we express no opinion -
    here over seven months passed from the court’s order rejecting
    the corporate filings until the filing of the new petitions.    The
    district court did not err in denying the claims as untimely.
    In addition to arguing that their innocent-owner petitions
    were timely, Brown and Veal also contend that forfeiture of the
    subject assets is unconstitutional because the federal government
    lacks a general police power.   This argument is without merit.
    Since the Commerce Clause gives Congress the authority to punish
    drug conspiracies such as the one involved in this case, 
    see supra
    III.B, Congress can also enact forfeiture statutes as a
    necessary and proper means of effectuating that Commerce Clause
    power.   U.S. CONST. art. I, § 8, cl. 18; United States v. Curtis,
    
    965 F.2d 610
    , 616 (8th Cir. 1992).
    35
    VI. CONCLUSION
    For the foregoing reasons, we AFFIRM the convictions and
    sentences of Christopher Brown, Timothy Brown, and Kenneth
    Pearson.   We also AFFIRM the district court’s denial of Betty
    Brown’s and Tongula Veal’s innocent-owner claims.
    36
    

Document Info

Docket Number: 02-30021, 02-30459, 02-30514, 03-30375

Citation Numbers: 86 F. App'x 749

Judges: Jones, King, Per Curiam, Smith

Filed Date: 2/11/2004

Precedential Status: Non-Precedential

Modified Date: 8/1/2023

Authorities (40)

United States v. Bova , 350 F.3d 224 ( 2003 )

Eddie James Strozier v. Lanson Newsome, Warden , 871 F.2d 995 ( 1989 )

United States v. David M. Martin , 790 F.2d 1215 ( 1986 )

United States v. Arthur C. Bieganowski, M.D., Richard J. ... , 313 F.3d 264 ( 2002 )

United States v. Michael Watson, United States of America v.... , 988 F.2d 544 ( 1993 )

United States v. James Harrison Barham, A/K/A Robert Myers , 595 F.2d 231 ( 1979 )

United States v. Juan Alberto Cardona, Also Known as Juancho , 302 F.3d 494 ( 2002 )

United States v. Bergfeld , 280 F.3d 486 ( 2002 )

United States v. Daniel Michael Kelley , 981 F.2d 1464 ( 1993 )

United States v. Mason , 293 F.3d 826 ( 2002 )

United States v. Slaughter , 238 F.3d 580 ( 2001 )

United States v. McIntosh , 280 F.3d 479 ( 2002 )

United States v. Perez-Macias , 335 F.3d 421 ( 2003 )

United States v. Mikal Habeeb Amuny, A/K/A James Anderson, ... , 767 F.2d 1113 ( 1985 )

Coburn Supply Company Inc. v. Kohler Co. , 342 F.3d 372 ( 2003 )

southwestern-bell-telephone-company-v-city-of-el-paso-el-paso-county , 346 F.3d 541 ( 2003 )

United States v. Jimmy Lee Rasco Marcus A. Milton , 123 F.3d 222 ( 1997 )

United States v. Garcia-Bonilla , 11 F.3d 45 ( 1993 )

United States v. Joseph James Sanfilippo , 564 F.2d 176 ( 1977 )

United States v. Davis , 269 F.3d 514 ( 2001 )

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