United States v. Paul D. Wood

36 F.3d 945, 1994 U.S. App. LEXIS 26593, 1994 WL 514068
CourtCourt of Appeals for the Tenth Circuit
DecidedSeptember 22, 1994
Docket93-2210
StatusPublished
Cited by13 cases

This text of 36 F.3d 945 (United States v. Paul D. Wood) 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. Paul D. Wood, 36 F.3d 945, 1994 U.S. App. LEXIS 26593, 1994 WL 514068 (10th Cir. 1994).

Opinion

McKAY, Circuit Judge.

At the time of the events that gave rise to this action, Defendant-Appellee (“Defendant”) was an employee with Blaze Construction Company, a wholly owned Indian corporation that is active in seeking contracts with the Navajo Tribe. In an indictment returned *946 June 15, 1990, the government alleged that Defendant made an illegal transfer of a sports car to a third person who was under investigation by the FBI, and then lied to the FBI concerning the transfer during an interview. Rather than seeking an indictment for the illegal transfer itself, however, the government instead prosecuted Defendant for the statements he made to the FBI concerning the transfer. Specifically, Defendant was indicted for making false statements to a federal agency, in violation of 18 U.S.C. § 1001, and obstruction of justice, in violation of 18 U.S.C. § 1503.

The indictment for false statements and obstruction of justice came to trial on August 27, 1990. At the close of the government’s case, the district court dismissed the obstruction of justice count as insufficient to state an offense insofar as it did not specifically allege the statements by which Defendant had endeavored to obstruct justice. On September 5, 1990, Defendant was convicted of the false statements offense. On December 18, 1990, the district court granted Defendant’s motion for a new trial based on the presence in the jury room of an easel containing the prosecutor’s notes. The court subsequently denied Defendant’s motion for a judgment of acquittal on the false statements count.

Defendant appealed the denial of his motion for judgment of acquittal, and the government appealed the grant of a new trial and the dismissal of the obstruction of justice charge. This court affirmed the grant of a new trial, reversed the dismissal of the obstruction of justice charge, and remanded for further proceedings. United States v. Wood, 958 F.2d 963 (10th Cir.1992). While the government was preparing to retry Defendant on the same indictment without the addition of any new charges, Defendant moved to dismiss the indictment on the theory that the pertinent statutes did not reach his alleged conduct. On August 10,1992, the district court granted Defendant’s motion and dismissed the entire indictment with prejudice. The government then promptly appealed the dismissal of the indictment and filed a new indictment — the indictment at issue in this case — charging Defendant with corruptly giving a bribe or gratuity to an agent of an Indian tribal government, in violation of 18 U.S.C. § 666(a)(2). This indictment arose from the same transfer of a sports car that gave rise to the original indictment for making false statements and obstructing justice. On October 29, 1992, Defendant filed a motion to dismiss the new indictment for vindictive prosecution. After an initial hearing, the district court granted Defendant’s motion, and on June 23, 1993, the district court entered an order dismissing the new indictment with prejudice. This appeal followed.

Provided that the district court applied the appropriate legal principles, the Tenth Circuit views vindictive prosecution claims as mixed questions of law and fact and reviews a district court’s resolution of these issues under the clearly erroneous standard. United States v. Raymer, 941 F.2d 1031, 1039 n. 4 (10th Cir.1991). To succeed in a vindictive prosecution claim, a Defendant has the burden of establishing “either (1) actual vindictiveness, or (2) a realistic likelihood of vindictiveness which will give rise to a presumption of vindictiveness.” Raymer, 941 F.2d at 1040. Thereafter, the burden shifts to the prosecution to justify its charging decisions with “legitimate, articulable, objective reasons.” Id. The district court found and the parties agree that Defendant has not demonstrated actual vindictiveness; therefore, our review is limited to whether the district court erred when it found that the circumstances were such that a realistic likelihood of vindictiveness existed, and that the government did not successfully rebut the presumption that consequently arose.

Considering all of the facts and all inferences therefrom in the light most favorable to the prevailing party below, in this case the Defendant, see United States v. Preciado, 966 F.2d 596, 597 (10th Cir.1992), we cannot conclude that the district court’s finding that a reasonable likelihood of vindictiveness existed was clearly erroneous. A change in a charging decision made after an initial trial, as was the charging decision in this case, is much more likely to be improperly motivated than is a pre-trial decision. United States v. Goodwin, 457 U.S. 368, 381, 102 S.Ct. 2485, 2493, 73 L.Ed.2d 74 (1982). *947 Not only was the decision to reindict Defendant on a new charge made after his initial trial was complete, it was made more than two years after his trial, it was not based on any new evidence or change in circumstances, and it was made soon after Defendant exercised a legal right to the government’s disadvantage. Furthermore, the indictments in this case did not arise out of separate events, cf. United States v. Partyka, 561 F.2d 118, 124 (8th Cir.1977), cert. denied, 434 U.S. 1037, 98 S.Ct. 773, 54 L.Ed.2d 785 (1978), and were not split up for any rational reason related to management or efficiency. Cf. United States v. Cardall, 885 F.2d 656, 666 (10th Cir.1989); United States v. Esposito, 968 F.2d 300, 306 (3rd Cir.1992). Under the circumstances, the government’s decision to reindict Defendant on a new charge was inherently suspect, and therefore, the district court did not err when it held that a reasonable likelihood of vindictiveness existed.

As previously stated, once it is found that a reasonable likelihood of vindictiveness existed, a presumption of vindictiveness arises which the government must overcome by demonstrating legitimate, objective, and ar-ticulable reasons for its conduct. We agree with the district court that the government has failed to overcome this presumption. As the district court found, the government has not provided any rational explanation for why it brought the bribery charge only after Defendant exercised his legal rights to the government’s detriment. Instead, the government’s primary argument in trying to overcome the presumption centers on language in the Fifth Circuit case of United States v. Krezdorn,

Free access — add to your briefcase to read the full text and ask questions with AI

Related

United States v. Michel
District of Columbia, 2022
United States v. Rodella
59 F. Supp. 3d 1331 (D. New Mexico, 2014)
United States v. Mitchell
558 F. App'x 831 (Tenth Circuit, 2014)
United States v. Safavian
644 F. Supp. 2d 1 (District of Columbia, 2009)
United States v. Tobin
598 F. Supp. 2d 125 (D. Maine, 2009)
State v. Potts
181 S.W.3d 228 (Missouri Court of Appeals, 2005)
United States v. Neha
376 F. Supp. 2d 1230 (D. New Mexico, 2005)
United States v. Thomas
410 F.3d 1235 (Tenth Circuit, 2005)
State v. Bonisisio
964 P.2d 1222 (Court of Appeals of Washington, 1998)
United States v. Luis A. Perez
79 F.3d 79 (Seventh Circuit, 1996)
United States v. Ailsworth
873 F. Supp. 1450 (D. Kansas, 1994)
United States v. William H. Wall
37 F.3d 1443 (Tenth Circuit, 1994)

Cite This Page — Counsel Stack

Bluebook (online)
36 F.3d 945, 1994 U.S. App. LEXIS 26593, 1994 WL 514068, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-paul-d-wood-ca10-1994.