United States v. Cerceda

139 F.3d 847, 1998 U.S. App. LEXIS 7836
Court of Appeals for the Eleventh Circuit·Decided April 23, 1998·No. Nos. 94-5017, 95-4610 to 95-4613, 95-4617, 95-4618, 95-4626, 95-4628 to 95-4635, 95-4659, 95-5244, 95-5298, 95-5369, 95-5566, 96-4584, 96-5043 and 96-5067·Published·Cited by 10 cases

Opinion

PER CURIAM:

This appeal examines the point at which a district court judge being investigated by the grand jury should recuse himself in accordance with Title 28 U.S.C. § 455(a) which requires that a judge disqualify himself “in any proceeding in which his impartiality might reasonably be questioned.” Judge Michael K. Moore was questioned by FBI and IRS agents and served with a grand jury subpoena duces tecum as early as November 1992. He continued to try and sentence criminal defendants until October 1993, when he recused himself sua sponte from all criminal cases after news reports revealed he was the target of a grand jury investigation. Criminal defendants who had been tried and/or sentenced by Judge Moore between November 1992 and October 1993 moved for new trials and/or sentencing hearings on the grounds that Judge Moore should have re-cused himself when he first learned that he was being investigated. Judge William C. O’Kelley, then Chief Judge of the Northern District of Georgia, specifically assigned to hear these motions, ruled in favor of defendants, holding that Judge Moore should have recused himself in November 1992.

On appeal, the government argues Judge Moore did not abuse his discretion by not recusing when he first learned he was being investigated, and alternatively, assuming Judge Moore did err in not recusing earlier, Judge O’Kelley abused his discretion in ordering new trials and or sentencing hearings across the board rather than determining whether such action was necessary on a case-by-case basis. Based on the unique facts of this case, found by Judge O’Kelley, we affirm.

On October 11 and 13, 1993, two Miami newspapers reported that the United States Attorney’s Office in Brooklyn, New York, was investigating Judge Moore for allegedly accepting gratuities worth thousands of dollars from Central Security Systems, Inc. (CSSI) while he served as Director of the United States Marshal’s Service. On October 15, 1993, Judge Moore entered an order sua sponte recusing himself from all cases in which the United States was a party. Those cases were reassigned to other judges in the Southern District.

In early 1994, defendants in 24 consolidated cases who had been tried and/or sentenced before Judge Moore between November 11, 1992 and October 15, 1993, prior to his recusal, filed motions for new trials and/or new sentencing hearings. Those defendants argued that under Title 28, U.S.C. § 455(a), Judge Moore should have recused himself from all cases involving the United States as early as November 1992 when he was first interviewed by the agents from the FBI and IRS and served with a grand jury subpoena duces tecum.

Chief Judge O’Kelley of the Northern District of Georgia was assigned to hear the recusal motions. In orders entered on September 12, 1994, Chief Judge O’Kelley held that Judge Moore should have recused himself in November 1992 and as a prophylactic remedy ordered new trials and/or sentencing [852]*852hearings. One of these orders, in the case of United States v. Garrudo, is reported at 869 F.Supp. 1674 (S.D.Fla.1994).

The government moved for reconsideration, challenging both the court’s determination that Judge Moore should have recused himself earlier and the court’s broad-brush remedy. Judge O’Kelley conducted an evi-dentiary hearing during which Judge Moore was the sole witness subject to thorough examination and cross-examination. About one month after the evidentiary hearing, Chief Judge O’Kelley entered orders denying the government’s motion. Judge O’Kelley made additional findings of fact and reiterated his earlier conclusion that “an objective lay observer knowing all the facts on November 11, 1992, could conclude that Judge Moore’s impartiality could be compromised.” Regarding the remedy, Judge O’Kelley stood by his determination that new trial and/or sentencing hearings were required. The government filed numerous appeals in our Court challenging Judge O’Kelley’s orders. Because the cases evolved from the same set of operative facts and raised the same core substantive issue, we granted government’s motion to consolidate and have before us now 24 appeals for review.

The parties have brought to our attention a few procedural points which need to be addressed.

First,- two of the defendants, Angel Cerceda and Carlos Hernandez, moved to dismiss the government’s appeal on the ground that federal law did not grant the government the right to appeal from orders granting new sentencing hearings. The government needs specific statutory authority to appeal in a criminal ease, which authority is contained in 18 U.S.C. § 3731. See United States v. Scott, 437 U.S. 82, 84-85, 98 S.Ct. 2187, 2190-91, 57 L.Ed.2d 65 (1978) (discussing the enactment of § 3731 to provide government appeals in criminal cases). Section 3731 does not expressly provide for government appeals from orders granting new sentencing hearings. The issue, not heretofore decided by this Court, is whether section 3731, a statute that provides it should be liberally construed to effectuate its purposes, can be so construed as to authorize this appeal. For the purpose of this ease, unique on its facts, we assume without deciding that the government has statutory standing to appeal. We find this appropriate here where the jurisdictional law is uncharted, our resolution of the jurisdictional question would not affect the outcome in favor of the defendants, and the decision here reached does not develop or change the law.

Second, the timeliness of the government’s cross-appeal in the Cerceda case has been raised. We exercise our discretion to disregard any procedural irregularity under the circumstances of this case.

Third, because of the administrative handling of this case in the consolidation of eases for consideration of the decision of Judge O’Kelley to order resentencing in all cases tried before, but sentenced after, November 1992, Cerceda’s appeal from the decision not to grant a retrial of his case, tried before November 1992, has never been briefed. By separate order we are setting a briefing schedule on Cerceda’s appeal, the case to be presented to this panel upon the completion of briefing.

The Need for Recusal

The government contends that Judge O’Kelley failed to consider numerous significant and uncontroverted facts and misapplied the applicable legal standard in deciding that Judge Moore should have recused himself.

Section 455(a) states: “Any justice, judge or magistrate of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned.” 28 U.S.C. § 455(a). The standard under § 455(a) is an objective one, focusing on a hypothetical reasonable observer. The test of whether to recuse is one of objective reasonableness, that is, whether “an objective, disinterested, lay observer fully informed of the facts underlying the grounds on which recusal was sought would entertain a significant doubt about the judge’s impartiality.” United States v. Torkington, 874 F.2d 1441, 1446 (11th Cir.1989); see also Liljeberg v.

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139 F.3d 847 (Eleventh Circuit, 1998)
United States v. Cerceda
Eleventh Circuit, 1998