United States v. Raymond Luc Levasseur, A/K/A John, Jack, Jake and George, United States v. Raymond Luc Levasseur, Etc.

846 F.2d 786, 1988 U.S. App. LEXIS 6270, 1988 WL 44927
Court of Appeals for the First Circuit·Decided May 9, 1988·No. 88-1198, 88-1284·Published·Cited by 83 cases

Opinions

SELYA, Circuit Judge.

The district court struck certain predicate acts from the Racketeer Influenced and Corrupt Organization (RICO) count, 18 U.S.C. § 1962(c), of an indictment against the defendants.1 The government has appealed. The defendants challenge appellate jurisdiction, contending that the district court order is not now appealable pursuant to 18 U.S.C. § 3731 (quoted infra in pertinent part). Beyond that, they urge that the district court’s order was appropriate. We conclude that the appeal is properly before us and that the lower court erred in applying judicial estoppel against the government. We, therefore, reverse.

I. APPELLATE JURISDICTION

The government cannot appeal in a criminal case without express statutory authorization. See, e.g., United States ¶. Martin Linen Supply Co., 430 U.S. 564, 568, 97 S.Ct. 1349, 1352, 51 L.Ed.2d 642 (1977). Section 3731 of Title 18 supplies that authorization in certain instances. It provides in pertinent part:2

In a criminal case an appeal by the United States shall lie to a court of appeals from a decision, judgment, or order of a district court dismissing an indictment or information or granting a new trial after verdict or judgment, as to any one or more counts, except that no appeal shall lie where the double jeopardy clause of the United States Constitution prohibits further prosecution.
The provisions of this section shall be liberally construed to effectuate its purposes.
(Emphasis added.)

In the present case, the district court did not strike any count in its entirety as to any of the defendants. Rather, the district court struck a number of predicate acts from the RICO count, the number of predicate acts struck varying as to each defendant.3 The particular acts struck were alleged violations of New York state arson laws.

[788] Though technically that which was struck in each case was not an entire count, the term “count” has been liberally construed to the end that the government can appeal if the expurgated material provided a “discrete basis for the imposition of criminal liability.” United States v. Sanabria, 548 F.2d 1, 5 (1st Cir.1976), rev’d on other grounds, 437 U.S. 54, 98 S.Ct. 2170, 57 L.Ed.2d 43 (1978); see also United States v. Martin, 733 F.2d 1309, 1310 (8th Cir.1984) (en banc), cert denied, 471 U.S. 1003, 105 S.Ct. 1864, 85 L.Ed.2d 158 (1985); United States v. Margiotta, 662 F.2d 131, 139-41 (2d Cir.1981) (Margiotta II); cf. United States v. Marubeni America Corp., 611 F.2d 763, 765 (9th Cir.1980) (appellate jurisdiction exists to review dismissal of portion of RICO count demanding forfeiture of income from RICO enterprise); United States v. Alberti, 568 F.2d 617, 621 (2d Cir.1977) (appellate jurisdiction exists to review dismissal of “substantial part of the indictment”). The rationale for the liberal construction is based on the legislative history of § 3731, which indicates a steadfast congressional intent to remove all statutory barriers to government appeals not otherwise barred by double jeopardy concerns. United States v. Sanabria, 548 F.2d at 5 (citing United States v. Wilson, 420 U.S. 332, 337, 95 S.Ct. 1013, 1018, 43 L.Ed.2d 232 (1975)).4 This congressional intent favoring the allowance of government appeals is furthered when appealability is not made to turn on “mere pleading technicalities, such as whether the Government happened to plead the allegations affected by the challenged ruling in a separate count or together with other allegations,” but rather on whether the district court’s action had “the practical effect of eliminating an independent basis upon which a conviction could be secured.” Margiotta II, 662 F.2d at 138-39.

The defendants, relying on United States v. Tom, 787 F.2d 65 (2d Cir.1986), argue that the predicate acts stricken from the instant indictment do not form a discrete base of criminal liability. The Tom case involved an indictment which, inter alia, included both a RICO count and a RICO conspiracy count. Id. at 67. The case involved twenty-five defendants and eighty-five alleged predicate acts of racketeering activity. Id. The district court struck three predicate acts, one each as to each of three defendants. Id. at 68. Striking of these predicate acts dismissed only a fraction of the RICO and RICO conspiracy counts. Id. at 69. The government sought to appeal immediately from the district court order, but the court of appeals concluded that appellate jurisdiction was lacking. Id. at 70-71. Since a pattern of racketeering activity requires at least two acts of racketeering activity, an allegation of only a single predicate act per defendant could not constitute a valid count. The court declined to construe the term “even more broadly to mean a fragmentary allegation that could not even arguably have been charged as a separate count.” Id. at 71.

The present case is distinguishable from Tom in that the district court in this case struck at least five predicate acts as to each defendant. Nonetheless, though the “pattern” asseveration of the Tom defendants will not work, appellees here assert that the stricken predicate acts do not form a discrete basis of criminal liability for several other and further reasons.

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United States v. Raymond Luc Levasseur, A/K/A John, Jack, Jake and George, United States v. Raymond Luc Levasseur, Etc., 846 F.2d 786, 1988 U.S. App. LEXIS 6270, 1988 WL 44927 (1st Cir. 1988).

846 F.2d 786 (United States v. Raymond Luc Levasseur, A/K/A John, Jack, Jake and George, United States v. Raymond Luc Levasseur, Etc.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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