Libretti v. United States

516 U.S. 29, 116 S. Ct. 356, 133 L. Ed. 2d 271, 1995 U.S. LEXIS 7552
Supreme Court of the United States·Decided November 7, 1995·No. 94-7427·Published·Cited by 476 cases

Opinions

Justice O’Connor

delivered the opinion of the Court.

Petitioner Joseph Libretti pleaded guilty to engaging in a continuing criminal enterprise, in violation of 84 Stat. 1265, 21 U. S. C. §848 (1988 ed. and Supp. V), and agreed to forfeit numerous items of his property to the Government. We must decide whether Federal Rule of Criminal Procedure 11(f) requires the District Court to determine whether a factual basis exists for a stipulated asset forfeiture embodied in a plea agreement, and whether the Federal Rule of Crimi[32] nal Procedure 31(e) right to a special jury verdict on forfeiture can only be waived following specific advice from the District Court as to the existence and scope of this right and an express, written waiver.

I

In May 1992, Joseph Libretti was charged in a multicount superseding indictment with violations of various federal drug, firearms, and money-laundering laws. Included in the indictment was a count alleging that Libretti engaged in a continuing criminal enterprise (CCE), in violation of 21 U. S. C. § 848, by operating a cocaine and marijuana distribution organization in Wyoming and Colorado from 1984 to 1992. Conviction under §848 subjects a defendant to, among other penalties, “the forfeiture prescribed in section 853.”1 21 U. S. C. § 848(a). Accordingly, the indict[33] ment further alleged that the Government was entitled to forfeiture of property that was obtained from or used to facilitate Libretti’s drug offenses, including, but not limited to, various assets specified in the indictment. See Fed. Rule Crim. Proc. 7(c)(2) (“No judgment of forfeiture may be entered in a criminal proceeding unless the indictment or the information shall allege the extent of the interest or property subject to forfeiture”).

Trial began in September 1992. The Government presented testimony from 18 witnesses, including several individuals who had purchased cocaine or marijuana from Li-bretti, to establish Libretti’s involvement in the possession and distribution of considerable amounts of narcotics. The testimony also reflected Libretti’s purchase of a home, an automobile, and dozens of automatic and semiautomatic weapons during a time when he had only modest sources of legitimate income. Finally, the testimony revealed that Libretti stored large amounts of money and drugs in safety deposit boxes and storage facilities away from his home.

Following four days of testimony, Libretti and the Government entered into a plea agreement, by the terms of which Libretti agreed to plead guilty to the CCE count of the indictment (count 6). The Government in return agreed not to pursue additional charges against Libretti and to recommend that he be sentenced to the mandatory minimum of 20 years’ imprisonment. Paragraph 10 of the plea agreement provided that Libretti would

“transfer his right, title, and interest in all of his assets to the Division of Criminal Investigation of the Wyo[34] ming Attorney General including, but not limited to: all real estate; all personal property, including guns, the computer, and every other item now in the possession of the United States; all bank accounts, investments, retirement accounts, cash, cashier’s checks, travelers checks and funds of any kind.”

Two other paragraphs of the plea agreement also made reference to the contemplated forfeiture. Paragraph 2 described the maximum statutory penalty for the offense to which Li-bretti agreed to plead guilty, which included “forfeiture of all known assets as prescribed in 21 U. S. C. §853 and assets which are discovered at any later time up to $1,500,000.” In paragraph 9, Libretti agreed to “identify all assets that were used to facilitate his criminal activity” and to “provide complete financial disclosure forms requiring the listing of assets and financial interests.” Finally, Libretti acknowledged in the agreement “that by pleading guilty to Count Six of the Indictment, he waive[d] various constitutional rights, including the right to a jury trial.” It is beyond dispute that Libretti received a favorable plea agreement. The Government recommended that Libretti receive the minimum sentence for conviction under §848, and agreed to drop all other counts in the indictment. One of those counts charged Libretti with use of a firearm equipped with a silencer during the commission of a drug offense, which mandates a 30-year sentence consecutive to the term of imprisonment on the underlying drug offense. 18 U. S. C. § 924(c)(1). Li-bretti also faced a potential fine of up to $2 million. 21 U. S. C. §§ 848(a), 853(a).

At the subsequent hearing on the plea agreement, the trial judge advised Libretti of his rights, including his right to a jury trial. The court also clarified the consequences of Libretti’s plea, including the facts that a plea of guilty would mean “the end of this trial,” that “the jury [would] not. . . decide whether [he’s] guilty or not,” and that “all the property that’s described in . . . Count 6 could be forfeited to [35] the United States.” App. 87, 88. Libretti was then placed under oath. He admitted that his plea was voluntary and indicated that he had read and understood the significance of the indictment and the plea agreement, including the fact that “all of [his] property could be forfeited, the property that is owned by [him] by reason of any drug transaction.” Id., at 100. Libretti’s only question about the plea agreement pertained to paragraph 2, which provided for future forfeiture of assets up to $1,500,000. The District Court assured Libretti that future forfeiture would be limited to subsequently discovered drug-tainted assets, and that his future legitimate income would not be forfeited. Id., at 88-89. After a lengthy exchange, in which the court reviewed each subparagraph describing the violations that composed the CCE charge and Libretti acknowledged each factual allegation, the District Court found that the guilty plea was voluntary and factually based. Id., at 121.

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Libretti v. United States, 516 U.S. 29, 116 S. Ct. 356, 133 L. Ed. 2d 271, 1995 U.S. LEXIS 7552 (1995).

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