United States v. Caballero

277 F.3d 1235, 58 Fed. R. Serv. 1171, 2002 U.S. App. LEXIS 952, 2002 WL 89906
CourtCourt of Appeals for the Tenth Circuit
DecidedJanuary 24, 2002
Docket00-4201, 00-4203
StatusPublished
Cited by97 cases

This text of 277 F.3d 1235 (United States v. Caballero) 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. Caballero, 277 F.3d 1235, 58 Fed. R. Serv. 1171, 2002 U.S. App. LEXIS 952, 2002 WL 89906 (10th Cir. 2002).

Opinion

PAUL KELLY, Jr., Circuit Judge.

Following a jury trial, Defendants Appellants Leonardo and Flor Caballero were convicted of conspiracy in violation of 18 U.S.C. §§ 2, 371, mail fraud in violation of 18 U.S.C. §§ 2, 1341, wire fraud in violation of 18 U.S.C. §§ 2, 1343, and interstate transportation of a victim of a scheme to defraud in violation of 18 U.S.C. §§ 2, 2314. 1 The district court sentenced Mr. and Mrs. Caballero to terms of imprisonment of 120 months and 78 months respectively, each followed by three years’ of supervised release. Because the cases involve similar facts and defendants raise many of the same arguments on appeal, we granted the defendants’ motion to consolidate and they have filed a joint brief. The Caballeros raise numerous issues on appeal, the bulk of which fall under the umbrella of prosecutorial misconduct. Specifically, they allege that the government 1) knowingly deported a witness with potentially exculpatory information, 2) introduced evidence at variance with the indictment, 3) knowingly elicited false testimony from a government witness, 4) improperly referred to evidence previously ruled inadmissible, 5) attempted to elicit improper character evidence, 6) failed to provide timely reports and summaries of expert testimony, and 7) made an assortment of other comments that defendants claim constitute a pattern of misconduct. The Caballeros argue that even if no single instance of alleged misconduct warrants reversal of their convictions, cumulative error does. Finally, the Caballeros argue that their immigrant victims were not “vulnerable victims,” and that the district court erred when it applied a four-step “vulnerable victims” sentence enhancement.

Background

Appellants Leonardo and Flor Caballero, husband and wife, owned and operated a business, Caballeros, Inc., from their home and various office sites in Florida. Between 1996 and 1999, the Caballeros ran an immigration service scheme to defraud immigrants seeking permanent legal resi *1241 dence in the United States. Through “referral agents” scattered across the nation, the Caballeros promised the victims immigration and legal expertise, government connections, expedited processing, and, ultimately, receipt of legal residency papers-most commonly “green cards.” The Caballeros instructed their “clients” to undergo medical testing, background screening, and travel to Miami for interviews-all at the victims’ significant personal expense. Meanwhile, the Caballeros collected fees for their “services” rendered and the clients never received the promised papers. At this point, the Caballeros would become inaccessible. Clients, most of whom were in the United States illegally, who tried to contact Caballeros, Inc., received, at best, a litany of excuses and imaginary reasons for the delay, and at worst, no answer at all.

The government outlined the Caballeros’ scheme over the course of a two and a half week trial. The strong case against the Caballeros rested in part on sixteen victim-witnesses, incriminating statements made by Mr. Caballero to various law enforcement officials, client records, and financial documents recovered from Caballeros, Inc.

I. Prosecutorial Misconduct

The common theme in the majority of the Caballeros’ claims on appeal is that prosecutors engaged in misconduct that violated not only the professional duties of their office, but also the defendants’ right to due process. The Caballeros claim that individually and in sum, these violations require reversal of their convictions.

A. The Deportation of Manuel Silva

The Caballeros contend that their indictment should be dismissed because the government deprived them of material exculpatory evidence when it deported Manuel Feliciano Silva in February 1999.

The Sixth Amendment guarantees a criminal defendant “compulsory process for obtaining witnesses in his favor.” U.S. Const, amend. VI. In United States v. Valenzuela-Bernal, 458 U.S. 858, 102 S.Ct. 3440, 73 L.Ed.2d 1193 (1982), the United States Supreme Court held that when a witness has been deported prior to a criminal trial, the defendant can demonstrate a denial of the right to due process and compulsory process if he makes “a plausible showing that the testimony of the deported witnesses would have been material and favorable to his defense, in ways not merely cumulative to the testimony of available witnesses.” 458 U.S. at 873, 102 S.Ct. 3440. Further, “sanctions will be warranted for deportation of alien witnesses only if there is a reasonable likelihood that the testimony could have affected the judgment of the trier of fact.” Id. at 873-74, 102 S.Ct. 3440. To obtain an order dismissing their indictment, the Caballeros must show more than “the mere potential for favorable testimony.” United States v. Iribe-Perez, 129 F.3d 1167, 1173 (10th Cir.1997). It is not enough that the Caballeros merely point to any conceivable benefit from Silva’s testimony. Valenzuela-Bernal, 458 U.S. at 867, 102 S.Ct. 3440. They must instead describe a benefit so great, its absence affected the outcome of the trial.

But the Caballeros only allege that by examining Silva, they could have shown jurors that Silva was a “polished con artist with a long history of ... swindling strangers ... [and] duping and deceiving innocent business partners.” Aplts. Reply Br. at 3. The Caballeros contend that a firsthand assessment of Silva’s “demeanor and character” would have lead jurors to conclude that Silva was the criminal mastermind who duped the Caballeros into participating in his criminal schemes. Id.

*1242 Beyond this, the Caballeros offer no inkling of exonerating facts that Silva’s testimony might have unearthed. Even assuming Silva made the unlikely decision not to invoke his Fifth Amendment privilege and remain silent, nothing in his potential testimony as described would reduce the culpability of the Caballeros. We acknowledge the difficulty in describing would-be testimony of absent witnesses, but the required showing is not eliminated entirely just because the Caballeros lacked access to Silva. Though we do not require detailed descriptions of what has been lost, the Caballeros must still make a “plausible showing” that the lost testimony was material and favorable. Valenzuela-Bernal, 458 U.S. at 873, 102 S.Ct. 3440. While the Caballeros suggest some vague benefit from Mr. Silva’s presence on the stand, they offer no adequate “explanation of how [Silva’s] testimony would have been favorable and material.” Id. at 872, 102 S.Ct. 3440.

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Bluebook (online)
277 F.3d 1235, 58 Fed. R. Serv. 1171, 2002 U.S. App. LEXIS 952, 2002 WL 89906, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-caballero-ca10-2002.