United States v. Mitchell

633 F.3d 997, 84 Fed. R. Serv. 782, 2011 U.S. App. LEXIS 2113, 2011 WL 322371
CourtCourt of Appeals for the Tenth Circuit
DecidedFebruary 3, 2011
Docket09-4141
StatusPublished
Cited by26 cases

This text of 633 F.3d 997 (United States v. Mitchell) 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. Mitchell, 633 F.3d 997, 84 Fed. R. Serv. 782, 2011 U.S. App. LEXIS 2113, 2011 WL 322371 (10th Cir. 2011).

Opinion

TYMKOVICH, Circuit Judge.

At Dino Mitchell’s conspiracy trial, the government introduced evidence of his withdrawn guilty plea in its case-in-chief, including statements from his plea agreement and plea colloquy. Ordinarily a defendant’s withdrawn guilty plea or his statements during plea discussions are inadmissible under Federal Rule of Evidence 410. But in this case Mitchell executed a plea agreement that waived his right to Rule 410’s protections. When he later withdrew from the plea agreement and went to trial, the district court allowed the statements to be admitted. He now argues on appeal that he did not enter into the plea agreement voluntarily and that the district court erred in allowing him to withdraw from the plea agreement without also barring the use of his incriminating statements at trial.

We agree with the district court on both issues. Mitchell voluntarily entered into the plea agreement and waived Rule 410’s protections. Under Supreme Court precedent, United States v. Mezzanatto, 513 U.S. 196, 115 S.Ct. 797, 130 L.Ed.2d 697 (1995), the government is entitled to use plea statements during its case-in-chief at trial. Exercising jurisdiction under 28 U.S.C. § 1291, we AFFIRM.

*999 I. Background

Dino Mitchell and several co-conspirators were indicted on one count of conspiracy to transport stolen securities in violation of 18 U.S.C. §§ 371 and 2314. Mitchell’s co-conspirators pleaded guilty to the charge pursuant to plea agreements with the government, but Mitchell refused and planned to go to trial. But on the day Mitchell’s trial was set to begin, he entered into a plea agreement with the government and pleaded guilty.

The plea agreement set forth facts supporting the elements of the conspiracy charge and contained assurances Mitchell was aware of the constitutional and statutory rights he was waiving by pleading guilty. Specifically, Mitchell agreed that

if I withdraw my plea of guilty, I shall assert no claim under the United States Constitution, any statute, Rule 410 of the Federal Rules of Evidence, Rule 11(f) of the Federal Rules of Criminal Procedure, or any other federal rule, that the defendant’s statements pursuant to this agreement, or any leads derived therefrom, should be suppressed or are inadmissible at any trial, hearing, or other proceeding.

R., Vol. 1, p. 33. The agreement required the government to recommend the low end of the sentencing guidelines range but recognized the sentence was ultimately within the discretion of the court, in accordance with 18 U.S.C. § 3553(a). During the plea colloquy, Mitchell affirmed he was not threatened or coerced into pleading guilty.

After the plea was entered, Mitchell obtained new counsel and filed a motion to withdraw his guilty plea. The motion claimed Mitchell had a “fair and just reason,” Fed.R.Crim.P. 11(d)(2)(B), to withdraw his plea, referencing the factors set forth by this court in United States v. Yazzie, 407 F.3d 1139, 1142 (10th Cir.2005) (en banc). Most prominently, Mitchell contended his plea was not knowing and voluntary because his previous counsel had pressured him into pleading guilty. The government opposed the motion, and the district court denied it, finding the “Rule 11 colloquy here clearly demonstrates that [Mitchell] entered his plea knowingly and voluntarily.” R., Vol. 1, p. 77.

Roughly one week later, Mitchell filed a motion to reconsider. He submitted with the motion two letters written by his previous counsel as evidence of their deteriorating relationship. One letter was addressed to Mitchell’s brother and encouraged him to convince Mitchell to accept the plea deal. Counsel stated, “I can no longer talk to Dino, if only because he won’t listen to me because I won’t say what he wants to hear.” R., Vol. 1, p. 92. The other letter was written directly to Mitchell and discussed trial strategy as well as the prison sentence Mitchell likely would receive with, and without, accepting the plea agreement. Finally, counsel opined, “Dino, you would be a fool not to take this plea offer!!” R., Vol. 1, p. 95.

Based on these letters, the district court granted Mitchell’s motion to withdraw his guilty plea. While concluding the advice to plead guilty was no doubt sound, the district court expressed concern about the possible “undue influence” exerted by Mitchell’s counsel, especially “considering Defendant’s lack of reading skills, lack of education, and general lack of understanding of the legal system.” R., Vol. 1, pp. 118-19 (footnotes omitted). But even with these concerns, the district court nonetheless found Mitchell’s plea to have been knowing and voluntary. Acknowledging this was “an extremely close case,” the court determined Mitchell’s constitutional right to a jury trial weighed in favor of granting his motion to withdraw his guilty plea. Id. at 119-20.

*1000 Before trial began, the government filed a motion in limine regarding the admissibility of statements Mitchell made in connection with his guilty plea. The government sought to admit these statements not merely as rebuttal evidence, but also in its case-in-chief. In support of its motion, the government cited Mitchell’s waiver of the Rule 410 protections in his plea agreement that allowed his statements to be used against him in the event he withdrew his guilty plea. Mitchell opposed the motion, claiming admission of these statements would be more prejudicial than probative, in violation of Rule 403. After considering these arguments, the district court granted the motion and concluded the Supreme Court’s reasoning that Rule 410 waivers permit admission of impeachment evidence, see United States v. Mezzanatto, 513 U.S. 196, 115 S.Ct. 797, 130 L.Ed.2d 697 (1995), extended to permit the government to use Mitchell’s plea statements in its case-in-chief. The court also rejected Mitchell’s Rule 403 argument on the basis the plea statements’ highly probative value was not substantially outweighed by any prejudice.

Evidence of Mitchell’s guilty plea, including statements from the plea agreement and plea colloquy, was used extensively in the government’s case-in-chief. In the government’s opening statement, it told the jury Mitchell had admitted under oath the charged offense.

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Bluebook (online)
633 F.3d 997, 84 Fed. R. Serv. 782, 2011 U.S. App. LEXIS 2113, 2011 WL 322371, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-mitchell-ca10-2011.