United States v. Richard Baumgartner

581 F. App'x 522
CourtCourt of Appeals for the Sixth Circuit
DecidedSeptember 24, 2014
Docket13-5580
StatusUnpublished
Cited by7 cases

This text of 581 F. App'x 522 (United States v. Richard Baumgartner) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth 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. Richard Baumgartner, 581 F. App'x 522 (6th Cir. 2014).

Opinions

BOGGS, Circuit Judge.

Defendant Richard Baumgartner, a former Tennessee Criminal Court judge, was indicted on seven counts of misprision of felony, in violation of 18 U.S.C. § 4. The federal misprision statute provides: “Whoever, having knowledge of the actual commission of a felony cognizable by a court of the United States, conceals and does not as soon as possible make known the same to some judge or other person in civil or military authority under the United States, shall be fined under this title or imprisoned not more than three years, or both.” The indictment charged that Deena Castleman and others “were participants in a conspiracy to obtain and distribute quantities of controlled substances,” that Baumgartner was aware of the conspiracy, that Baumgartner made material misrepresentations about Castleman to other individuals that effectively concealed the conspiracy, and that Baumgartner failed thereafter to notify federal authorities of the conspiracy.

The district court granted Baumgartner’s motion for judgment of acquittal with respect to Count 3 only, and the jury convicted Baumgartner of Counts 1 and 4-[525]*5257 and acquitted him of Count 2. On appeal, Baumgartner argues that his conviction was improper because his “noncommercial, private speech ... to local officials [and] private citizens” does not qualify as “concealment” under the federal statute. Appellant’s Br. at 27. He also argues that the misprision-of-a-felony statute would exceed Congress’s authority under the Commerce Clause if construed to cover his conduct; that the statute violates the First Amendment as applied to his conduct; that the evidence at trial was insufficient to support his convictions; and that the district court’s instructions to the jury were so defective that they deprived him of his right to a fair trial. We affirm Baumgartner’s conviction as to Counts 4 through 7 and reverse and vacate his conviction as to Count 1.

I

In 1992, Baumgartner became a judge on the Knox County Criminal Court, which is the state felony trial court in Tennessee. From 2000 to 2011, Baumgartner also presided over the Knox County Drug Court, which was developed as an alternative to incarceration to provide nonviolent offenders with substance-abuse treatment and job training. One of the offenders who came before him in drug court was Deena Castleman. She completed the program successfully from 2003-2005 but was back in the drug court in 2007. This time Castleman fared poorly and was terminated from the program.

In 2009, Baumgartner invited Castleman to his chambers and asked her if she could procure hydrocodone for him. Castleman said yes. Baumgartner gave her $175 for the pills, but Castleman ended up using the money to purchase drugs for herself. She was arrested for possession and incarcerated in neighboring Anderson County on May 27, 2009. Castleman wrote Baumgartner about her legal predicament, and Baumgartner called his friend and colleague, Judge Donald Elledge of the Anderson County Criminal Court and Anderson County Drug Court, to speak with him about Castleman. According to Elledge, Baumgartner said that Castleman “had been in his drug court and that he felt she would be a good drug court candidate.” This conversation forms the basis for Count 1 of the indictment. Ultimately, Castleman did not apply for the drug-court program; she pleaded guilty pursuant to a plea agreement with the prosecution and was sentenced to three years’ probation.

While Castleman was on probation, Baumgartner continued to give her money to procure pills for him. Baumgartner bought her a cellphone to facilitate the transactions. The two also became involved in a sexual relationship. Castleman at times mentioned to Baumgartner the identities of her suppliers and eventually introduced him to a supplier named Chris Gibson, with whom Baumgartner began dealing directly.

Castleman soon found herself facing criminal charges in Knox County for aggravated burglary and was scheduled for a preliminary hearing before Judge Andrew Jackson of the Knox County General Sessions Court in February 2010. Judge Jackson testified that, prior to the hearing, Baumgartner came to speak with him about Castleman:

I was on my way to court, and I was approached by Richard Baumgartner, who said he had this woman who was in drug court, was doing very well, was turning her life around, and that she picked up some new charges. He didn’t think these charges were any good and wanted me to take a look at the case.

This conversation forms the basis for Count 4 of the indictment.

[526]*526Two months later, Baumgartner tried to arrange for Castleman to stay at the YWCA’s transitional housing unit. When the YWCA housing director suspected that Castleman was on drugs, he directed that she be tested. Baumgartner tried to assist Castleman in her effort to use someone else’s urine sample. When that sample tested positive for drug use, Baumgartner called the housing director and said that Castleman had actually passed the drug test. The director did not believe Baumgartner and did not admit Castleman into the housing unit. Baumgartner’s conduct and statement form the basis for Count 5 of the indictment.

Baumgartner also lied to Tennessee Juvenile Court Magistrate Judge Stan Briggs, who issued a warrant for Castle-man’s arrest for contempt for failure to pay child support. In August 2010, Baumgartner told Briggs that he was “working with” Castleman in criminal court, and Briggs therefore vacated the arrest warrant and released Castleman on her own recognizance. Baumgartner’s conversation with Briggs forms the basis for Count 6 of the indictment.

Finally, in October 2010, Baumgartner spoke about Castleman to Jeffrey Blevins, the assistant district attorney who was prosecuting her for burglary, larceny, drug, and DUI charges, the exact nature of which is unspecified in the record. As Blevins put it, Baumgartner said that Castleman was or had been in his drug court, “what a fine drug court person she was, she was having a little bit of trouble, and that he would like me to do for her what I could. And I was somewhat surprised at that.” This conversation forms the basis for Count 7 of the indictment.

II

“Whether a criminal statute applies to the proven conduct of the defendant is an issue of statutory interpretation that we review de novo.” United States v. Miller, 734 F.3d 530, 539 (6th Cir.2013). “The language of the statute is the starting point for interpretation, and it should also be the ending point if the plain meaning of that language is clear.” Id. at 540. “However, this court also looks to the language and design of the statute as a whole in interpreting the plain meaning of statutory language.” Ibid. “Finally, we may look to the legislative history of a statute if the statutory language is unclear.” Ibid. “If the statute remains ambiguous after consideration of its plain meaning, structure, and legislative history, we apply the rule of lenity in favor of criminal defendants.” Ibid.

18 U.S.C. § 4

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581 F. App'x 522, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-richard-baumgartner-ca6-2014.