United States v. Allick

274 F. App'x 128
CourtCourt of Appeals for the Third Circuit
DecidedApril 15, 2008
DocketNos. 07-4288 to 07-4290, 07-4292, 07-4313 to 07-4315, 07-4321, 07-4346, 07-4371, 07-4396, 07-4711
StatusPublished
Cited by2 cases

This text of 274 F. App'x 128 (United States v. Allick) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Allick, 274 F. App'x 128 (3d Cir. 2008).

Opinion

OPINION OF THE COURT

RENDELL, Circuit Judge.

The procedural history of the case is complicated, involving numerous motions and multiple orders before two district court judges. It has dragged on for almost three years now, yet no final judgment is in sight. The present appeal primarily challenges the denial of defendants’ motions to dismiss two indictments based on double jeopardy. While we would like to reach some resolution as to whether mistrial was properly granted, the record before us does not allow us to do so. For the reasons that follow, we will vacate and remand to the District Court for an evi-dentiary hearing.

I. Facts and Procedural History

In 2005, appellants Shango Alliek, Jamaal Maragh, Carolyn Urgent, Marcelino Garcia, Isaiah Fawkes, Christopher Alfred, and Jamaal Young, along with nine other co-defendants, were indicted for conspiracy to commit money laundering in violation of 18 U.S.C. § 1956(a) and (h) (the “2005 [130]*130indictment”).1 Appellants Garcia and Fawkes were also charged with a drug trafficking conspiracy in violation of 21 U.S.C. §§ 841(a)(1) and 846. Of the nine other co-defendants, four entered guilty pleas, two were dismissed pre-trial, one was a fugitive, and two others were tried with appellants (one was acquitted pursuant to Rule 29 and the other was dismissed post-trial).

A jury trial over which Judge Finch presided ran from January 31, 2006 to February 17, 2006. It involved nine days of testimony from fifteen government witnesses and two days of closing arguments. Following closing arguments on February 17th, the jury began deliberations but was dismissed mid-day for the holiday weekend. The jury continued deliberations on February 21, 2006 and, during deliberations on February 22nd, sent three notes to the judge, each requesting additional evidence or a re-reading of instructions.2 After receiving each note, the judge consulted with counsel on the record and in open court before responding to the jury’s requests. On February 24, 2006, the jury sent a fourth and final note to the judge. It stated: “after considerable deliberation we the jurors of this case are presently in a deadlock. We await for further instructions or information regarding this case.” (App. 26).

Judge Finch then met with the government and some defense counsel in his chambers. It is unclear how long the meeting lasted, but it may have been as brief as ten minutes. The meeting was not recorded. There is much debate over whether this was a formal conference and whether defense counsel were permitted to make arguments. No appearances were entered. Maragh’s counsel was not present at the meeting because she was outside the building trying to reach her client by cell phone to ensure his appearance in court. She could not remain in the courthouse due to a policy prohibiting cell phones in the building, but had informed a law clerk that she would be outside if needed.

Following the in-chambers conference, the Court recessed for lunch. After the recess, the judge requested that the bailiff call in the jury. He then addressed the jury in open court and asked the jury foreperson “[wjhether or not this note, with respect to your inability to reach a verdict, applies to all defendants and all charges?” (App. 28). The foreperson responded, “Yes, it applies to all defendants.” The judge did not address the other jurors but, rather, said, “Very well. Counsel, there being nothing else, I will declare a mistrial.” (App. 28). He then thanked the jury and adjourned court.

The next Monday, February 27, 2006, Allick filed an appeal of the order, which other defendants also subsequently filed. We dismissed those appeals for lack of jurisdiction on October 4, 2006. On October 16, 2006, Judge Finch then scheduled a retrial date of February 5, 2007, which was rescheduled several times. On April 3, 2007 and June 13, 2007, respectively, Allick and Garcia, joined by Maragh, Young, and Urgent, filed motions to dismiss the 2005 indictment based on double jeopardy.

[131]*131On June 14, 2007, a Grand Jury returned another indictment against appellants (the “2007 indictment”) that included the counts of the 2005 indictment (money laundering conspiracy and drug conspiracy) but added substantive counts of money laundering. Given the 2007 indictment, the government moved to dismiss the 2005 indictment without prejudice. On June 21, 2007, Urgent and Maragh, joined by Young and Fawkes, filed an opposition to the government’s motion to dismiss, upon which the District Court never ruled. Motions to dismiss the 2007 indictment based on double jeopardy were also filed by Urgent, Allick, and Garcia, joined by Young and Maragh.

On September 5, 2007, Judge Finch held a hearing on the pending motions to dismiss both the 2005 and 2007 indictments. At the hearing, the remaining appellants joined in the motions to dismiss. On the record, Maragh’s counsel noted that she had been absent from the in-chambers meeting and could not comment on what had occurred therein. Government counsel attempted to offer former defense counsel as a witness as to the in-chambers proceeding and/or a proffer of facts, but the judge indicated that he was ready to rule without the government’s evidence.

Following the hearing, Judge Finch issued an order to dismiss the 2005 indictment based on double jeopardy. The Order indicated as the ground for dismissal that the “Court improvidently ordered a mistrial in that it did not comply with Rule 26.3 of the Federal Rules of Criminal Procedure” and noted that “[tjhere is no indication on the record that the Court adhered to this rule.” (App. 172). In a separate order issued that same day, Judge Finch recused himself from the 2007 case, leaving the motions to dismiss the 2007 indictment undecided.

On September 19, 2007, the government filed a motion to reconsider the dismissal of the 2005 case. The government argued that the judge should have permitted it to present witnesses, accepted its proffer, or taken judicial notice as to the in-chambers conference. Also, because Judge Finch was a witness to what had transpired in chambers, the government contended that he should have recused himself rather than decide the issue. In conjunction with its motion, the government filed a motion to admit proffer. In the proffer, the government set forth allegations with respect to the in-chambers meeting and events immediately thereafter. Namely, the government alleged that: “[t]he lawyers discussed the notes amongst themselves in the judge’s presence”; “[a]t the conclusion of the conference, which lasted at least ten (10) minutes, the court announced that it would have to declare a mistrial. No one stated any objection to the court’s announced intent”; “[pjrior to the entry of the jury into the Courtroom, all counsels were well aware that the Court intended to declare a mistrial”; and “[a]t no time on February 24, 2006 did any counsel object to, or question, the mistrial declaration or the Court’s intent to declare a mistrial.” (App. 179-80). Both Urgent and Maragh filed oppositions to the proffer.

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Related

United States v. Isaiah Fawkes
510 F. App'x 183 (Third Circuit, 2013)
United States v. Allick
386 F. App'x 100 (Third Circuit, 2010)

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Bluebook (online)
274 F. App'x 128, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-allick-ca3-2008.