United States v. Newton

327 F.3d 17, 2003 U.S. App. LEXIS 8070, 2003 WL 1965066
CourtCourt of Appeals for the First Circuit
DecidedApril 29, 2003
Docket02-1643
StatusPublished
Cited by41 cases

This text of 327 F.3d 17 (United States v. Newton) 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. Newton, 327 F.3d 17, 2003 U.S. App. LEXIS 8070, 2003 WL 1965066 (1st Cir. 2003).

Opinion

LIPEZ, Circuit Judge.

This appeal involves, in part, the unusual claim that the defendant Michael Newton’s retrial was barred by the Double Jeopardy Clause, U.S. Const, amend. V, because the trial judge intentionally provoked his request for a mistrial.

I. Background

Newton was indicted with Wyman Hogan, Ernest Membrino and Edward Hall on October 12, 2000, by a federal grand jury sitting in the District of New Hampshire, and charged with conspiracy to possess with intent to distribute and to distribute fifty grams or more of cocaine and cocaine base in violation of 21 U.S.C. §§ 841(a)(1), 841(b)(l)(A)(iii), and 846. The facts of the conspiracy pertain to an extensive operation of buying powder cocaine, manufacturing crack cocaine, and selling both powder and crack cocaine from a number of residences in and around the Keene, New Hampshire area. Newton was primarily charged in connection with the sale of cocaine in Keene, but outside of the residences allegedly controlled by the conspiracy’s crack cocaine distribution operation.

On January 2, 2001, prior to jury selection, co-defendant Edward Hall notified the district court that he would present a defense that would portray the co-defendants in an unfavorable light, and moved to sever his case from the other defendants. The district court denied this mo *21 tion. The other three co-defendants then moved for severance. The district court likewise denied their motion and proceeded to trial. After the jury was sworn, defendant Hall’s counsel delivered an opening statement that corroborated much of the government’s version of events. The other co-defendants renewed their request for severance and moved for a mistrial, which the district court granted. The retrial commenced on January 16, 2001, and resulted in Newton’s conviction for conspiracy to distribute more than fifty grams of crack cocaine. On May 16, 2001, Newton was sentenced to two hundred and thirty-five months’ imprisonment, to be followed by five years of supervised release. 1

Newton appeals both the conviction and the sentence, arguing that his retrial after an initial mistrial was prohibited by the Double Jeopardy Clause, U.S. Const, amend. V, that the prosecutor violated Newton’s Fifth Amendment right to remain silent by impermissibly commenting during closing argument on Newton’s failure to testify, and that the district court committed an error of law during sentencing by failing to exercise independent judgment on evidence presented pertinent to sentencing. For the reasons stated below, we affirm Newton’s conviction and decline to set aside his sentence.

II. Double Jeopardy

The Double Jeopardy Clause of the Fifth Amendment protects a defendant in a criminal proceeding against repeated prosecutions for the same offense. United States v. Dinitz, 424 U.S. 600, 606, 96 S.Ct. 1075, 47 L.Ed.2d 267 (1976). However, the Double Jeopardy Clause is not an absolute bar to successive trials. Justices of Boston Municipal Court v. Lydon, 466 U.S. 294, 308, 104 S.Ct. 1805, 80 L.Ed.2d 311 (1984). The protection embodied in the Double Jeopardy Clause is a personal defense that may be waived or foreclosed by a defendant’s voluntary actions, including a request for, or effectual consent to, a mistrial. United States v. DiPietro, 936 F.2d 6, 9 (1st Cir.1991). Thus, in this case of retrial following the declaration of a mistrial, the key question for double jeopardy purposes is whether the mistrial was declared with the defendant’s consent.

If a mistrial is declared with the defendant’s consent, she is deemed to have waived any double jeopardy claim she might otherwise have. If, on the other hand, the defendant wishes to proceed to a verdict by the jury empaneled to try her, and the court declares a mistrial over her objection, the Double Jeopardy Clause will bar the defendant’s retrial unless manifest necessity required the court to so act.

United States v. Aguilar-Aranceta, 957 F.2d 18, 22 (1st Cir.1992) (citing Dinitz, 424 U.S. at 608, 96 S.Ct. 1075). The only circumstance in which the defendant’s consent to a mistrial does not operate as a waiver of her right to claim double jeopardy is where the prosecutor or the judge intentionally provokes the defendant to request the mistrial: “the circumstances un *22 der which [ ] a defendant may invoke the bar of double jeopardy in a second effort to try him are limited to those cases in which the conduct giving rise to the successful motion for a mistrial was intended to provoke the defendant into moving for a mistrial.” Oregon v. Kennedy, 456 U.S. 667, 678, 102 S.Ct. 2083, 72 L.Ed.2d 416 (1982) (emphasis added). Here, Newton insists that the trial judge intentionally provoked his mistrial request.

A. Sequence of Events

To evaluate Newton’s claim we must examine closely the sequence of events that prompted the judge to declare a mistrial, and what transpired between the judge and Newton’s trial counsel. Defendant Hall’s counsel first raised the issue of severance immediately prior to jury selection. Based on the vague assertion of a defense strategy that would be antagonistic to the other defendants, Hall’s counsel requested that Hall be severed from the other three defendants. After requesting but failing to obtain details elucidating the proposed defense, the trial judge denied the motion. The three other defendants then made a joint motion to sever based on Hall’s request. The judge similarly denied this motion and proceeded to empanel the jury and begin the trial.

During his opening statement, Hall’s counsel characterized Hall as “a victim ... not a criminal” and claimed that Hall “was used” by his codefendants. There were no immediate objections by the other defendants to the defense outlined in Hall’s opening statement. The following morning, however, counsel for one of the other defendants noted Hall’s antagonistic defense and raised the possibility of renewing the motion to sever Hall from the trial. Newton’s counsel joined in the renewed motion. The judge reserved ruling on the motion until the afternoon.

That afternoon, during an extensive colloquy on the motion to sever, the judge explained to defense counsel his position on the motion:

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Bluebook (online)
327 F.3d 17, 2003 U.S. App. LEXIS 8070, 2003 WL 1965066, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-newton-ca1-2003.