United States v. Lopez

356 F.3d 463, 2004 WL 170592
Court of Appeals for the Second Circuit·Decided January 29, 2004·No. No. 02-1609·Published·Cited by 12 cases

Opinion

PER CURIAM.

Jesus Rivera, Jr. has twice been indicted for conspiracy to possess with the intent to distribute cocaine in the Western District of New York, and has twice pleaded guilty. He appeals from the second conviction on the ground that it violated his right not to be placed twice in jeopardy for the same offense. We agree that the Double Jeopardy Clause was violated and vacate the judgment of conviction.

BACKGROUND

On April 21, 1995, Jesus Rivera, Jr. was charged in a three-count indictment with conspiring to possess with the intent to distribute and to distribute five kilograms or more of a substance containing cocaine. Specifically, Count I of the indictment charged that between April 7, 1995, and April 11, 1995, Mr. Rivera conspired with co-conspirators Eleazer Lopez, Lamont Richie and others, known and unknown, in the Western District of New York and elsewhere, “to possess with intent to distribute, and to distribute, 5 kilograms or more of a mixture or substance containing cocaine, a Schedule II controlled sub[465]*465stance, in violation of Title 21, United States Code, Sections 841(a)(1) and 841(b)(1)(A); all in violation of Title 21, United States Code, Section 846.” Indictment, dated April 21, 1995, at 1-2. Count II charged that on April 11,1995, the same named individuals attempted to possess with the intent to distribute 5 kilograms or more of a mixture or substance containing cocaine, the object of the conspiracy charged in Count I. Count III charged them with violating 21 U.S.C. § 843(b) and 18 U.S.C. § 2 by using the mail to facilitate acts constituting felonies set forth in Counts I and II.

In May of 1997, a superseding information was filed with respect to Count I of the 1995 indictment. The superseding information narrowed the time frame of the charged conspiracy and lessened the amount of cocaine involved, eliminating the ten-year mandatory minimum sentence that otherwise would have been applicable. 21 U.S.C. § 841(b)(1)(A). The information read as follows:

On or about April 11, 1995, at Buffalo, New York, in the Western District of New York and elsewhere, the defendant, Jesus Rivera, JR., did knowingly, willfully and unlawfully combine, conspire and agree with Lamont Richie, Eleazer Lopez and others, known and unknown, to commit offenses against the United States, that is, to possess with intent to distribute, and to distribute 500 grams or more of a mixture or substance containing cocaine, a Schedule II controlled substance, in violation of Title 21, United States Code, Sections 841(a)(1) and 841(b)(1)(B); all in violation of Title 21, United States Code, Section 846.

Superseding Information, dated May 13, 1997.

On May 16, 1997, defendant pleaded guilty to the one-count superseding information in United States District Court for the Western District of New York before Judge Arcara. The plea agreement set forth the following factual basis for the plea:

On or about April 11, 1995, at Buffalo, New York, in the Western District of New York, the defendant, Jesus Rivera, Jr., did knowingly, willfully and unlawfully combine, conspire and agree together with LaMOnt RiChie, Eleazer Lopez and others, known and unknown, to possess with intent to distribute and to distribute 6 kilograms of cocaine, a Schedule II controlled substance.

Plea Agreement, dated May 16, 1997, at 3. Mr. Rivera conceded that he had received the approximately six kilograms of cocaine from a source in Puerto Rico and intended to distribute it in the Buffalo region. On August 21, 1997, Judge Arcara sentenced him to a term of imprisonment for a period of 90 months, supervised release for five years, and a special assessment of $50. While the superseding information charged that he had conspired to possess as little as 500 grams or more of cocaine, based on his admission of relevant conduct and consistent with the original indictment, Mr. Rivera was sentenced pursuant to the United States Sentencing Guidelines as if he had conspired to possess 5-15 kilograms of cocaine. Mr. Rivera surrendered to the Bureau of Prisons on October 17,1997.

Nine months later, on July 16, 1998, a newly empaneled grand jury issued a mul-ti-count indictment against Mr. Rivera and eight alleged co-conspirators, initiating the charge upon which this appeal is taken. The indictment was based on an investigation that preceded the plea of guilty on May 16, 1997. A superseding indictment was returned on February 25,1999.

The superseding indictment contains 41 separate counts and names ten defendants. Count 1 states:

[466]*466Between on or about the 1st day of April, 1993, and on or about the 30th day of June, 1997, in the Western District of New York and elsewhere, the defendants, Jesus R. RiveRA, JR., a/k/a Junito, Eleazer Lopez a/k/a “LaChe”, RiChard Sotero a/k/a Richie, Alexis Flores a/k/a Alex, Jose Martinez a/k/a J.J., David Santiago, J.B. Aviles, Clifton A. Jaok-son a/k/a Pooh, Miguel Bobe a/k/a Mike and Ricicy James Nioholopolous, did knowingly, willfully and unlawfully combine, conspire and agree together and with others, known and unknown, to commit offenses against the United States, that is, to possess with intent to distribute and distribute 5 kilograms or more of a mixture or substance containing cocaine, a Schedule II controlled substance, in violation of Title 21, United States Code, Sections 841(a)(1) and 841(b)(1)(A); all in violation of Title 21, United States Code, Section 846.

Superseding Indictment, dated February 25,1999, at 2.

On June 21, 2001, Mr. Rivera filed a motion to dismiss the superseding indictment based on the Double Jeopardy Clause. He argued that “the conspiracy to which [he] pleaded guilty in the 1995 case and the conspiracy charged in [the second] case is not just similar, it’s the exact same.” Tr. of proceedings, dated March 1, 2002, at 12. Indeed, he argued:

The only difference objectively is time. By the time the government submitted evidence to the grand jury in 1998, it simply knew more about this case. It knew more people. It knew more sources. It knew more information. The 1995 case was the beginning of the conspiracy, the part the government knew early on. The 1998 case [is] just the rest of the story, the same story, that single conspiracy.

Id. at 12-13. Judge Elfvin heard oral argument on defendant’s double jeopardy motion on March 1, 2002, but did not make a final determination on defendant’s motion at that time. Rather, he deemed the matter submitted and proceeded to set a date for jury selection to begin.

When the parties reconvened to begin jury selection, the Assistant United States Attorney reminded Judge Elfvin of the pending motion. Judge Elfvin responded: “As far as double jeopardy, there is, ’of course, the other case that was on before Judge Arcara. I can only say that, as far as this jury is concerned, there will be nothing that will be adduced as evidence which would constitute double jeopardy. I will have to take that step by step as we go [a]long.” Tr. of motion decision and plea, dated June 10, 2002, at 2-3. Later he explained further: “I had decided there is not double jeopardy[.

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United States v. Lopez, 356 F.3d 463, 2004 WL 170592 (2d Cir. 2004).

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