NOT RECOMMENDED FOR PUBLICATION File Name: 25a0155n.06
Case No. 23-3895
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT FILED Mar 20, 2025 ) KELLY L. STEPHENS, Clerk UNITED STATES OF AMERICA, ) Plaintiff-Appellee, ) ) ON APPEAL FROM THE v. ) UNITED STATES DISTRICT ) COURT FOR THE SOUTHERN DESSALINES SEALY, ) DISTRICT OF OHIO Defendant-Appellant. ) ) OPINION
Before: MURPHY, DAVIS, and BLOOMEKATZ, Circuit Judges.
DAVIS, Circuit Judge. Dessalines Sealy represented himself at trial on charges of
conspiracy to commit mail fraud in violation of 18 U.S.C. § 1349 and conspiracy to commit
bankruptcy fraud in violation of 18 U.S.C. § 371. The jury convicted him of both crimes. He now
appeals his convictions, arguing that he did not knowingly, intelligently, and voluntarily waive his
right to counsel. We disagree and AFFIRM.
I. BACKGROUND
A federal grand jury indicted Sealy and thirteen co-defendants for conspiring in a
nationwide fraud scheme involving the use of bankruptcy filings, under the pretense of reducing
or eliminating mortgage payments, to delay foreclosures against the homes of distressed
homeowners. While Sealy initially faced charges of (1) conspiracy to commit mail and wire fraud,
(2) multiple individual counts of mail fraud and wire fraud, and (3) multiple individual counts of No. 23-3895, United States v. Sealy
bankruptcy fraud, a superseding indictment narrowed the charges to one count of conspiracy to
commit mail and wire fraud and one count of conspiracy to commit bankruptcy fraud.
At Sealy’s initial appearance and arraignment on the indictment, the magistrate judge
advised him of his right to counsel. Sealy asserted that he wanted to represent himself “as a pro
persona and sui juris.” (R. 117, PageID 612). Before allowing him to waive his right to counsel,
the magistrate judge conducted a Faretta colloquy to determine Sealy’s competence to waive his
right to counsel. See generally Faretta v. California, 422 U.S. 806 (1975). In doing so, the court
explicitly expressed its need to “make sure that [Sealy’s] waiver [was] knowing and voluntary.”
(R. 117, PageID 612).
During the Faretta colloquy, the magistrate judge asked a substantial number of the
recommended questions contained in the guidance for federal judges. Bench Book for United
States District Judges, § 1.02(C), pp 6–7 (64th ed. 2013). Specifically, the magistrate asked
whether Sealy had studied law, whether he was familiar with the governing Federal Rules of
Evidence and Federal Rules of Criminal Procedure, whether Sealy understood the charges against
him, and whether Sealy thought having a lawyer would help him better understand the nature of
the crimes and charges alleged against him. The magistrate judge also informed Sealy that the
Federal Rules of Evidence and Rules of Procedure would not be relaxed in his proceedings merely
because he opted to represent himself. And she confirmed that Sealy understood the court could
not advise him how to represent himself; confirmed that he had received a copy of the indictment;
confirmed that Sealy understood he could serve consecutive sentences if he was found guilty of
more than one crime; and informed Sealy that he could change his mind if he later decided he
wanted counsel. Sealy acknowledged the magistrate judge’s points of inquiry and advice.
-2- No. 23-3895, United States v. Sealy
Based on Sealy’s responses, the magistrate judge advised “that a trained lawyer would
defend [Sealy] far better than [he] could defend [himself].” (R. 117, PageID 621). The magistrate
judge pointed out that Sealy was “not familiar with the law” and firmly suggested that he “need[ed
the] legal assistance of someone who is well versed in the law.” (Id.). The court “strongly urge[d]”
Sealy not to represent himself. (Id. at 621). Yet, Sealy remained resolute in his decision.
Ultimately, the magistrate judge found that Sealy had knowingly, intelligently, and voluntarily
waived his right to counsel.
Sealy subsequently appeared before the district court for a motions hearing. Again, Sealy
expressed his desire to represent himself. The district court, sua sponte, began another Faretta
colloquy, but this time the inquiry was interrupted after only a few questions when Sealy
challenged the district court’s jurisdiction over his case and pursued other arguments as part of his
defense. Before the district court was sidetracked, it asked whether Sealy had any experience in
the law; whether he had ever represented himself in a court proceeding; whether Sealy had received
a copy of the indictment; whether Sealy understood the potential penalty for his alleged conduct;
and whether he understood his sentences could be served consecutively.
After hearing argument on jurisdiction, the district court again attempted to get Sealy to
accept legal counsel, suggesting that he may benefit from consulting with a lawyer. Sealy again
refused. Toward the end of the hearing, the district court again asked whether Sealy would
consider its “offer of having counsel appointed for standby counsel to assist [him] in [his] defense.”
(R. 503, PageID 3833). Sealy refused, standing by his convictions. From this abridged inquiry,
the district court also found that Sealy had knowingly, intelligently, and voluntarily waived his
right to counsel without returning to the remainder of the Faretta colloquy.
-3- No. 23-3895, United States v. Sealy
The district court revisited the issue once more during a status conference hearing months
later. In the midst of addressing several pretrial issues, the district court advised Sealy he would
be better served by having a lawyer. And on the first day of trial, the district court confirmed
Sealy’s intention to proceed pro se yet again. Sealy represented himself throughout the trial. The
jury convicted Sealy of both charges. And the district court subsequently sentenced Sealy to 60
months’ imprisonment to be followed by a three-year supervised-release period. Sealy timely
appealed.
II.
Standard of Review. We review challenges to the sufficiency of an initial Faretta inquiry
de novo. United States v. Johnson, 24 F.4th 590, 600–01 (6th Cir. 2022). The government
contends that plain-error review should apply to the extent Sealy claims he should have obtained
a second waiver assessment. We need not determine which standard applies here because Sealy’s
appeal fails under either standard.
Knowing and Voluntary Waiver. The Constitution provides that individuals facing
criminal charges have the right to counsel to defend against government accusations in court. U.S.
Const. amend VI. However, defendants can waive this right and represent themselves so long as
the waiver of counsel is knowing, intelligent, and voluntary. Iowa v. Tovar, 541 U.S. 77, 81
(2004). Once a defendant has waived the right to counsel, the district court is not obligated to
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NOT RECOMMENDED FOR PUBLICATION File Name: 25a0155n.06
Case No. 23-3895
UNITED STATES COURT OF APPEALS FOR THE SIXTH CIRCUIT FILED Mar 20, 2025 ) KELLY L. STEPHENS, Clerk UNITED STATES OF AMERICA, ) Plaintiff-Appellee, ) ) ON APPEAL FROM THE v. ) UNITED STATES DISTRICT ) COURT FOR THE SOUTHERN DESSALINES SEALY, ) DISTRICT OF OHIO Defendant-Appellant. ) ) OPINION
Before: MURPHY, DAVIS, and BLOOMEKATZ, Circuit Judges.
DAVIS, Circuit Judge. Dessalines Sealy represented himself at trial on charges of
conspiracy to commit mail fraud in violation of 18 U.S.C. § 1349 and conspiracy to commit
bankruptcy fraud in violation of 18 U.S.C. § 371. The jury convicted him of both crimes. He now
appeals his convictions, arguing that he did not knowingly, intelligently, and voluntarily waive his
right to counsel. We disagree and AFFIRM.
I. BACKGROUND
A federal grand jury indicted Sealy and thirteen co-defendants for conspiring in a
nationwide fraud scheme involving the use of bankruptcy filings, under the pretense of reducing
or eliminating mortgage payments, to delay foreclosures against the homes of distressed
homeowners. While Sealy initially faced charges of (1) conspiracy to commit mail and wire fraud,
(2) multiple individual counts of mail fraud and wire fraud, and (3) multiple individual counts of No. 23-3895, United States v. Sealy
bankruptcy fraud, a superseding indictment narrowed the charges to one count of conspiracy to
commit mail and wire fraud and one count of conspiracy to commit bankruptcy fraud.
At Sealy’s initial appearance and arraignment on the indictment, the magistrate judge
advised him of his right to counsel. Sealy asserted that he wanted to represent himself “as a pro
persona and sui juris.” (R. 117, PageID 612). Before allowing him to waive his right to counsel,
the magistrate judge conducted a Faretta colloquy to determine Sealy’s competence to waive his
right to counsel. See generally Faretta v. California, 422 U.S. 806 (1975). In doing so, the court
explicitly expressed its need to “make sure that [Sealy’s] waiver [was] knowing and voluntary.”
(R. 117, PageID 612).
During the Faretta colloquy, the magistrate judge asked a substantial number of the
recommended questions contained in the guidance for federal judges. Bench Book for United
States District Judges, § 1.02(C), pp 6–7 (64th ed. 2013). Specifically, the magistrate asked
whether Sealy had studied law, whether he was familiar with the governing Federal Rules of
Evidence and Federal Rules of Criminal Procedure, whether Sealy understood the charges against
him, and whether Sealy thought having a lawyer would help him better understand the nature of
the crimes and charges alleged against him. The magistrate judge also informed Sealy that the
Federal Rules of Evidence and Rules of Procedure would not be relaxed in his proceedings merely
because he opted to represent himself. And she confirmed that Sealy understood the court could
not advise him how to represent himself; confirmed that he had received a copy of the indictment;
confirmed that Sealy understood he could serve consecutive sentences if he was found guilty of
more than one crime; and informed Sealy that he could change his mind if he later decided he
wanted counsel. Sealy acknowledged the magistrate judge’s points of inquiry and advice.
-2- No. 23-3895, United States v. Sealy
Based on Sealy’s responses, the magistrate judge advised “that a trained lawyer would
defend [Sealy] far better than [he] could defend [himself].” (R. 117, PageID 621). The magistrate
judge pointed out that Sealy was “not familiar with the law” and firmly suggested that he “need[ed
the] legal assistance of someone who is well versed in the law.” (Id.). The court “strongly urge[d]”
Sealy not to represent himself. (Id. at 621). Yet, Sealy remained resolute in his decision.
Ultimately, the magistrate judge found that Sealy had knowingly, intelligently, and voluntarily
waived his right to counsel.
Sealy subsequently appeared before the district court for a motions hearing. Again, Sealy
expressed his desire to represent himself. The district court, sua sponte, began another Faretta
colloquy, but this time the inquiry was interrupted after only a few questions when Sealy
challenged the district court’s jurisdiction over his case and pursued other arguments as part of his
defense. Before the district court was sidetracked, it asked whether Sealy had any experience in
the law; whether he had ever represented himself in a court proceeding; whether Sealy had received
a copy of the indictment; whether Sealy understood the potential penalty for his alleged conduct;
and whether he understood his sentences could be served consecutively.
After hearing argument on jurisdiction, the district court again attempted to get Sealy to
accept legal counsel, suggesting that he may benefit from consulting with a lawyer. Sealy again
refused. Toward the end of the hearing, the district court again asked whether Sealy would
consider its “offer of having counsel appointed for standby counsel to assist [him] in [his] defense.”
(R. 503, PageID 3833). Sealy refused, standing by his convictions. From this abridged inquiry,
the district court also found that Sealy had knowingly, intelligently, and voluntarily waived his
right to counsel without returning to the remainder of the Faretta colloquy.
-3- No. 23-3895, United States v. Sealy
The district court revisited the issue once more during a status conference hearing months
later. In the midst of addressing several pretrial issues, the district court advised Sealy he would
be better served by having a lawyer. And on the first day of trial, the district court confirmed
Sealy’s intention to proceed pro se yet again. Sealy represented himself throughout the trial. The
jury convicted Sealy of both charges. And the district court subsequently sentenced Sealy to 60
months’ imprisonment to be followed by a three-year supervised-release period. Sealy timely
appealed.
II.
Standard of Review. We review challenges to the sufficiency of an initial Faretta inquiry
de novo. United States v. Johnson, 24 F.4th 590, 600–01 (6th Cir. 2022). The government
contends that plain-error review should apply to the extent Sealy claims he should have obtained
a second waiver assessment. We need not determine which standard applies here because Sealy’s
appeal fails under either standard.
Knowing and Voluntary Waiver. The Constitution provides that individuals facing
criminal charges have the right to counsel to defend against government accusations in court. U.S.
Const. amend VI. However, defendants can waive this right and represent themselves so long as
the waiver of counsel is knowing, intelligent, and voluntary. Iowa v. Tovar, 541 U.S. 77, 81
(2004). Once a defendant has waived the right to counsel, the district court is not obligated to
inquire again about the defendant’s waiver unless the defendant revokes it or there is a “substantial
change in circumstances” that suggests the court should revisit the waiver issue. United States v.
McBride, 362 F.3d 360, 367 (6th Cir. 2004) (citation omitted).
-4- No. 23-3895, United States v. Sealy
Sealy contends that he did not knowingly, intelligently, and voluntarily waive his right to
counsel because the district court did not substantially comply with Faretta. For support, he points
to the district judge’s completion of only five of fifteen recommended questions during the Faretta
colloquy, relatively mild admonishment concerning Sealy’s ignorance of the law and criminal
procedure, and failure to strongly urge Sealy to allow third-party legal representation. Sealy also
argues in the alternative that, even if the district judge did substantially comply with the
requirement, Sealy never affirmatively waived his right to counsel after receiving the abridged
Faretta warning.
Neither argument has merit. We reject Sealy’s invitation to consider the second colloquy
in a vacuum. The district court substantially complied with the Faretta colloquy. First, the
magistrate judge asked Sealy at least eleven of the fifteen recommended questions, and strongly
admonished Sealy to accept legal counsel. See United States v. Modena, 302 F.3d 626, 630-31
(6th Cir. 2002) (noting that a magistrate judge is authorized by statute to conduct a Faretta inquiry
(citing 28 U.S.C. § 636(b)(1)(A))). Having been adequately warned of the potential consequences
of moving forward pro se, Sealy refused legal representation. The magistrate judge asked Sealy
whether he was acting voluntarily and subsequently found that his waiver of counsel was knowing,
intelligent, and voluntary.
Then, at a later point in Sealy’s case, although not obligated to do so, the district judge
engaged in an additional, abridged Faretta colloquy. The court inquired whether Sealy had ever
studied law, whether he had ever represented himself in a criminal action, whether he understood
the charges against him and the potential penalties of those charges, and whether he understood
that the sentences could be served consecutively. See id. at 630–31 (noting that the district court
is not required to conduct a second waiver-of-counsel hearing even when the defendant expresses
-5- No. 23-3895, United States v. Sealy
momentary doubts about representing himself prior to trial). And on several other occasions
leading up to trial, the district court gave Sealy the option to reconsider his decision to proceed pro
se, suggesting that having a lawyer would be better. In this way, the court reiterated the dangers
of self-representation. Each time, having already been apprised of the Faretta factors during the
colloquy undertaken by the magistrate judge at his arraignment, Sealy decided to continue without
counsel. Notably, Sealy never challenged the magistrate judge’s finding that he had knowingly,
intelligently, and voluntarily waived his right to counsel. And, despite Sealy’s contention to the
contrary, the district court never set aside the magistrate judge’s finding.
These facts support our conclusion that the district court substantially complied with
Faretta. After all, substantial compliance merely requires that “the questions asked by the court
meet the objectives of the model inquiry.” United States v. Bankston, 820 F.3d 215, 225 (6th Cir.
2016). It is not dependent on “a precise accounting of the questions asked.” Id. Satisfying the
objectives of the model inquiry focuses on ensuring that the court addresses the “relevant
considerations,” including “the defendant’s familiarity with the law,” appreciation of the “dangers
of self-representation” and the “gravity of the charges.” Id. at 227 (citation omitted). At minimum,
the district court’s questions and admonitions to Sealy complemented the magistrate judge’s more
fulsome inquiry and served the objectives of the model inquiry. And regardless, the magistrate
judge’s inquiry, the adequacy of which Sealy has not challenged, independently satisfied the
Faretta requirements. In this context, Sealy did, in fact, affirmatively waive his right to counsel,
and his waiver was knowing, intelligent, and voluntary.
Nothing about the district court’s subsequent questioning undermined Sealy’s previous
waiver as knowing, intelligent, or voluntary. Sealy did not object to the determination that he
knowingly, intelligently, and voluntarily waived counsel. And he points to no substantial change
-6- No. 23-3895, United States v. Sealy
which would have obligated the court to administer a second Faretta colloquy or treat the initial
colloquy as superseded. McBride, 362 F.3d at 367. Moreover, Sealy cites no case stating that a
district court must complete the colloquy after voluntarily engaging a second time.
III. CONCLUSION
We AFFIRM.
-7-