United States v. Edward Isaacs, United States v. Edward Isaacs

14 F.3d 106
CourtCourt of Appeals for the First Circuit
DecidedJuly 18, 1994
Docket92-2068, 92-2129
StatusPublished
Cited by20 cases

This text of 14 F.3d 106 (United States v. Edward Isaacs, United States v. Edward Isaacs) is published on Counsel Stack Legal Research, covering Court of Appeals for the First 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. Edward Isaacs, United States v. Edward Isaacs, 14 F.3d 106 (1st Cir. 1994).

Opinions

OAKES, Senior Circuit Judge.

This case consists of cross appeals from a judgment of the United States District Court for the District of Massachusetts, Rya W. Zobel, Judge. The Government appeals both the decision of the court to entertain a collateral challenge to the constitutionality of a prior conviction at sentencing and the decision of the court that the prior conviction was constitutionally invalid. The defendant, Edward Isaacs, appeals his conviction on the basis that the district court improperly allowed into evidence an indictment against his father and cousins and improperly allowed him to be cross-examined concerning his knowledge of his relatives’ alleged loansharking enterprise. For the reasons below, we reverse the district court’s decision that it had the power to review the constitutionality of Isaacs’ prior conviction and affirm its decision to admit the indictment against his father into evidence and to allow him to be questioned about the activities of his relatives.

BACKGROUND

Isaacs was convicted of one count of conspiracy and one count of using extortionate means to attempt to collect a loan, in violation of 18 U.S.C. §§ 2 and 894(a) (1988). According to the Government, racketeering and loansharking was something of a family business. Isaacs got involved in the “business” after his father, Leonard, was indicted, placed under house arrest, and developed health problems. Isaacs’ conviction is based on his dealings with one of his father’s alleged loansharking victims, Robert Ayala. Ayala had borrowed $2,500 from Leonard in November of 1990 and had been making weekly interest payments of $100 (for an interest rate of 208% per year). Isaacs contacted Ayala in July of 1991, after Ayala had stopped making payments, to pressure Ayala to pay off the entire loan. Ayala eventually sought help from the authorities and agreed to help record conversations with Isaacs.

Isaacs was tried before a jury and convicted. The Government’s evidence included several recordings of conversations that supported the allegations of extortion. In addition, there was proof that Isaacs broke into Ayala’s home and threatened Ayala with a pistol in front of his three small children. At sentencing, the district court increased Isaacs’ offense level under the United States Sentencing Guidelines (the “Sentencing Guidelines” or “Guidelines” or “U.S.S.G”) by two points for perjury and intimidation of a witness and then refused Isaacs’ request for a downward departure based on his history of abuse at the hands of his father. However, the court allowed Isaacs to challenge a 1980 burglary conviction1 that would have [108]*108resulted in his being classified as a career offender, instead of receiving a Criminal History Category of III. Isaacs argued that he had not received effective assistance of counsel in his earlier case because his attorney did not object to having the ease transferred from juvenile to adult court at a certification hearing. The district court found that Isaacs had demonstrated by a preponderance of the evidence that his prior conviction was unconstitutional and refused to consider either the conviction or the underlying conduct as a basis for changing Isaacs’ Criminal History Category. As a result, Isaacs faced 97 to 121 months imprisonment rather than 210 to 262 months and was sentenced to 108 months.

DISCUSSION

This case raises three issues. First, we consider whether U.S.S.G. § 4A1.2 gives a sentencing court discretion to allow a defendant to challenge the constitutional validity of a prior conviction that is being used to enhance his or her Criminal History Category. Second, we address the question whether Isaacs had a constitutional right to challenge his prior conviction at sentencing. Finally, we evaluate Isaacs’ contention that the district court committed reversible error in admitting evidence of his relatives’ alleged criminal behavior.

I. The Government’s Appeal

A. Section UAl.% of the Sentencing Guidelines

The Government contends that the Sentencing Guidelines do not provide a sentencing court independent authority to permit a collateral challenge to the constitutionality of a prior conviction where the prior conviction is being used to compute a defendant’s Criminal History Category. We agree. The dispute over this issue concerns Comment 6 to § 4A1.2, and, in particular, a 1990 amendment to the Guidelines that altered Comment 6 and added a background note to the comment section.

Prior to the 1990 amendment, Comment 6 to § 4A1.2 of the Guidelines stated:

Invalid Convictions. Sentences resulting from convictions that have been reversed or vacated because of errors of law, or because of subsequently-discovered evidence exonerating the defendant, are not to be counted. Any other sentence resulting in a valid conviction is to be counted in the criminal history score. Convictions which the defendant shows to have been constitutionally invalid may not be counted in the criminal history score. Also, if to count an uncounseled misdemeanor conviction would result in the imposition of a sentence of imprisonment under circumstances that would violate the United States Constitution, then such conviction shall not be counted in the criminal history score. Nonetheless, any conviction that is not counted in the criminal history score may be considered pursuant to § 4A1.3 if it provides reliable evidence of past criminal activity.

U.S.S.G. § 4A1.2, comment (n. 6) (Nov. 1, 1989) (second emphasis added). The courts which interpreted this Comment uniformly found that the Guidelines authorized or required the constitutional review of prior convictions at sentencing. See, e.g., United States v. Mims, 928 F.2d 310, 312 (9th Cir.1991); United States v. Edwards, 911 F.2d 1031, 1035 (5th Cir.1990); United States v. Jones, 907 F.2d 456, 460-69 (4th Cir.1990), cert. denied, 498 U.S. 1029, 111 S.Ct. 683, 112 L.Ed.2d 675 (1991).

However, the Sentencing Commission amended the comment section for § 4A1.2 in 1990, thereby reopening the question whether the Guidelines provide district courts with independent authority to review the constitutionality of prior convictions. Cf. Stinson v. United States, — U.S. -, 113 S.Ct. 1913, 123 L.Ed.2d 598 (1993) (Interpretive commentary in Guidelines is binding authority for federal courts even when contrary to prior judicial interpretation of Guidelines). Comment 6 to § 4A1.2 as thus amended provides:

Reversed, Vacated, or Invalidated Convictions. Sentences resulting from convictions that have been reversed or vacated because of errors of law, or because of [109]*109subsequently-discovered evidence exonerating the defendant, are not to be counted. Also, sentences resulting from convictions that a defendant shows to have been previously ruled constitutionally invalid are not to be counted.

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Bluebook (online)
14 F.3d 106, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-edward-isaacs-united-states-v-edward-isaacs-ca1-1994.