United States v. Ballard

713 F. App'x 748
CourtCourt of Appeals for the Tenth Circuit
DecidedNovember 1, 2017
Docket16-3274
StatusUnpublished

This text of 713 F. App'x 748 (United States v. Ballard) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth 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. Ballard, 713 F. App'x 748 (10th Cir. 2017).

Opinion

ORDER AND JUDGMENT *

Scott M. Matheson, Jr. Circuit Judge

Richard Ballard appeals an order requiring payment of restitution to victims of his wire fraud offense. Exercising jurisdiction under § 1291, we hold that his plea agreement contains an enforceable waiver of appellate rights. Accordingly, we dismiss this appeal.

I. BACKGROUND

Mr. Ballard pled guilty to committing wire fraud in violation of 18 U.S.C. § 1343 by diverting investor funds to his personal use. In his plea agreement, he waived his right to appeal his sentence, including any order of restitution imposed by the court. 1 The district court sentenced him to 27 months in prison and ordered him to pay restitution of $415,477.11 to 11 victims who had submitted victim impact statements. 2 Despite his appeal waiver, Mr. Ballard filed this appeal challenging his restitution order as excessive. He argues the district court erred by including in the restitution calculation (1) losses suffered by three individuals he claims were not victims of the offense, and (2) salary payments to his son he claims were not losses.

II. DISCUSSION

A. Jurisdiction

The Government argues we lack subject matter jurisdiction over this appeal due to 18 U.S.C. § 3742(a), which provides that a defendant may appeal an otherwise final sentence if the sentence: (1) “was imposed in violation of law,” (2) “was imposed as a result of an incorrect application of the sentencing guidelines,” (3) is greater than the term of imprisonment under the applicable guidelines range, or (4) “was imposed for an offense for which there is no sentencing guideline and is plainly unreasonable.” 18 U.S.C. § 3742(a). But we need not rely on § 3742(a) to establish jurisdiction here. The district court’s entry of a sentence constitutes a final order, thereby establishing subject matter jurisdiction under 28 U.S.C. § 1291. United States v. Hahn, 359 F.3d 1315, 1320 (10th Cir. 2004) (en banc); see 28 U.S.C. § 1291 (providing that courts of appeals have subject matter jurisdiction over final orders of district courts).

The Government also suggests we lack jurisdiction due to 18 U.S.C. § 3742(c), which limits when a defendant who entered a Rule 11(c)(1)(C) plea agreement that included a “specific sentence” may appeal. 3 But the plea agreement here only included “restitution as determined by the court” rather than a specific amount of restitution. ROA, Vbl. 1 at 28. Section 3742(c) is thus inapplicable. In any event, as explained above, we derive our jurisdiction from § 1291. See Hahn, 359 F.3d at 1320.

B. Appellate Waiver

The primary question is whether to enforce Mr. Ballard’s appeal waiver and dismiss his challenge to the restitution order. In this section, we provide legal background on the Mandatory Victims Restitution Act (“MVRA”) and this court’s Hahn framework for determining when to enforce appellate waivers. We then apply Hahn and conclude that Mr. Ballard’s waiver bars this appeal.

1. Legal Background

a. The Mandatory Victims Restitution Act

Federal courts lack inherent authority to order restitution and may do so only when authorized by statute, such as the MVRA. United States v. Gordon, 480 F.3d 1205, 1210 (10th Cir. 2007). The MVRA requires courts to order restitution if the offense of conviction “involves as an element a scheme, conspiracy or pattern of criminal activity.” 18 U.S.C. § 3663A(a)(2). Wire fraud includes as an element a scheme to defraud. United States v. Daniel, 749 F.3d 608, 613 (7th Cir. 2014); see also 18 U.S.C. § 1343.

The maximum amount of restitution permitted under the MVRA is “the full amount of each victim’s losses as determined by the court.” 18 U.S.C. § 3664(f)(1)(A); see also Gordon, 480 F.3d at 1211 (providing that the MVRA authorizes restitution to cover victims’ “loss[es] resulting from the count to which [the defendant] pled guilty”) (citing Hughey v. United States, 495 U.S. 411, 420, 110 S.Ct. 1979, 109 L.Ed.2d 408 (1990)); United States v. James, 564 F.3d 1237, 1246 (10th Cir. 2009) (stating that courts determine restitution based on victims’ “actual loss”). “Restitution must not unjustly enrich crime victims or provide them a windfall.” United States v. Ferdman, 779 F.3d 1129, 1132 (10th Cir. 2015).

In calculating loss under the MVRA, the court is not required to use absolute precision. United States v. Gallant, 537 F.3d 1202, 1252 (10th Cir. 2008). “A sentencing court may resolve restitution uncertainties with a view towards achieving fairness to the victim, so long as it still makes a reasonable determination of appropriate restitution rooted in a calculation of actual loss.” Id. (quotations omitted). Although the statute permits some imprecision, a restitution order that exceeds the maximum amount—i.e., the victims’ actual loss—is unlawful under the MVRA. See Gordon, 480 F.3d at 1210.

.b. Hahn’s three-part framework

Under Hahn, we will enforce an appeal waiver if (1) “the disputed appeal falls within the scope of the waiver of appellate rights,” (2) “the defendant knowingly and voluntarily waived his appellate rights,” and (3) “enforcing the waiver would [not] result in a miscarriage of justice.” 359 F.3d at 1325. One of the situations we identified as a miscarriage of justice is “where the sentence exceeds the statutory maximum.” Id. at 1327 (quotations omitted). Enforcing an unlawful restitution order “constitute^] a miscarriage of justice because [the order] is beyond the remedy authorized by the statute.” Gordon, 480 F.3d at 1212.,

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Related

Hughey v. United States
495 U.S. 411 (Supreme Court, 1990)
United States v. Hahn
359 F.3d 1315 (Tenth Circuit, 2004)
United States v. Gallant
537 F.3d 1202 (Tenth Circuit, 2008)
United States v. James
564 F.3d 1237 (Tenth Circuit, 2009)
United States v. Margaret Ann Gordon
480 F.3d 1205 (Tenth Circuit, 2007)
United States v. Marvin Daniel Hudson
483 F.3d 707 (Tenth Circuit, 2007)
United States v. Ehizele Seignious
757 F.3d 155 (Fourth Circuit, 2014)
United States v. Felix Daniel
749 F.3d 608 (Seventh Circuit, 2014)
United States v. Ferdman
779 F.3d 1129 (Tenth Circuit, 2015)

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713 F. App'x 748, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-ballard-ca10-2017.