United States v. Sheperd

27 F.4th 1075
CourtCourt of Appeals for the Fifth Circuit
DecidedMarch 8, 2022
Docket19-20073
StatusPublished
Cited by9 cases

This text of 27 F.4th 1075 (United States v. Sheperd) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth 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. Sheperd, 27 F.4th 1075 (5th Cir. 2022).

Opinion

Case: 19-20073 Document: 00516229518 Page: 1 Date Filed: 03/08/2022

United States Court of Appeals for the Fifth Circuit United States Court of Appeals Fifth Circuit

FILED March 8, 2022 No. 19-20073 Lyle W. Cayce Clerk

United States of America,

Plaintiff—Appellee,

versus

Ann Nwoko Sheperd,

Defendant—Appellant.

Appeal from the United States District Court for the Southern District of Texas USDC No. 4:16-CR-258-2

Before Smith, Willett, and Duncan, Circuit Judges. Don R. Willett, Circuit Judge: “The Sixth Amendment is the heartland of constitutional criminal procedure.” 1 One of four amendments in the Bill of Rights that guarantees basic protections to the criminally accused, 2 the Sixth Amendment enshrines a cluster of rights to ensure the fairness, accuracy, and legitimacy of “all

1 Akhil Reed Amar, Sixth Amendment First Principles, 84 Geo. L.J. 641, 641 (1996). 2 See U.S. Const. amends. IV, V, VI, VIII. Case: 19-20073 Document: 00516229518 Page: 2 Date Filed: 03/08/2022

No. 19-20073

criminal prosecutions.” 3 This case concerns the Amendment’s final clause: “Assistance of Counsel.” But “[t]his last right is a big one,” as the right to counsel, perhaps the central feature of our adversarial system, helps make real the Constitution’s other criminal procedure promises. 4 Ann Sheperd, the owner of a home-health agency, lawyered up after being indicted for Medicare fraud. But there was a tiny problem: Unbeknownst to Sheperd, her pretrial lawyer—who represented her until days before trial—also represented one of the Government’s star witnesses. Oops. Sheperd retained new counsel, was convicted (and sentenced to 30 years), and now appeals on various grounds related to her attorney’s conflict of interest. We agree with Sheperd that “Assistance of Counsel” necessarily means effective assistance, and effective assistance demands conflict-free representation. This is certainly no less true during the pretrial phase, 5 particularly today, when roughly 97.8 percent of federal criminal convictions are obtained not through a constitutionally prescribed jury trial but through plea bargaining. 6 For the reasons below, we REMAND for an evidentiary hearing on whether Sheperd’s lawyer’s conflict of interest adversely affected his representation, but reject Sheperd’s other grounds for reversal.

3 Id. amend. VI. 4 Amar, supra note 1, at 705. 5 See Anaya v. Lumpkin, 976 F.3d 545, 550 (5th Cir. 2020) (“The Sixth Amendment right to counsel extends to the plea-bargaining process, where defendants are ‘entitled to the effective assistance of competent counsel.’” (quoting Lafler v. Cooper, 566 U.S. 156, 162 (2012))). 6 U.S. Sentencing Comm’n, 2020 Sourcebook of Federal Sentencing Statistics 56 (2020), https://www.ussc.gov/sites/default/files/pdf/ research-and-publications/annual-reports-and-sourcebooks/2020/2020-Annual-Report- and-Sourcebook.pdf.

2 Case: 19-20073 Document: 00516229518 Page: 3 Date Filed: 03/08/2022

I A Ann Sheperd owned and operated a home-health agency. In June 2016, a grand jury indicted her (and several others) with conspiracy to commit healthcare fraud. Sheperd retained counsel. The district court set trial for August 2016. A month later, Sheperd replaced her counsel, and the district court declared the case “complex.” The court also pushed back the trial date about six months. The district court continued the trial three more times at the request of various defendants. Sheperd made only one of these requests. Sheperd replaced her counsel again in February 2018 with an attorney named Bassey Akpaffiong. Two months after entering his appearance as Sheperd’s counsel, Akpaffiong met with FBI agents and a federal prosecutor to discuss Sheperd’s trial. But he was not there acting on Sheperd’s behalf. Akpaffiong was there to act on another client’s behalf—Okechukwu Okpara. Akpaffiong had helped Okpara secure a plea deal related to healthcare fraud in a different district court almost a year before. So why did Okpara need Akpaffiong at the meeting? Because Okpara was Sheperd’s friend and business associate—a relationship the Government wanted to exploit by calling Okpara as a witness against Sheperd. If representing both Sheperd and Okpara at the same time sounds zany to you, then you wouldn’t be alone. The Government thought it sounded zany, too. In fact, it even pointed out to Akpaffiong that he had an obvious conflict. Akpaffiong replied that he hadn’t noticed. 7 Even so, the meeting continued since, according to Akpaffiong, “Sheperd wanted to plead guilty

7 According to Akpaffiong, the oversight came from Okpara referring to Sheperd by a different name—“Nwoko,” her middle name.

3 Case: 19-20073 Document: 00516229518 Page: 4 Date Filed: 03/08/2022

and would do so by [the next month, in] May.” Turns out, the meeting was a success . . . for Okpara. Afterward, the Government amended Okpara’s plea deal to include “5K1 consideration.” That is, in exchange for Okpara having provided the Government with “substantial assistance in the investigation or prosecution of another person who has committed an offense,” the Government agreed to permit Okpara to receive a reduced sentence. 8 Months went by. Nobody told Sheperd about Akpaffiong’s conflict. Nobody told the district court about it either. But that time was not wasted. The Government used it to bring six more counts of healthcare fraud against Sheperd. The grand jury returned a superseding indictment that charged Sheperd with all six counts. Akpaffiong, for his part, continued to receive Government-provided discovery. Not until August—with trial looming— did Akpaffiong start trying to address his conflict. He approached a former state Assistant Attorney General with experience prosecuting healthcare- fraud cases—Oyesanmi Alonge—about taking over Sheperd’s defense. Akpaffiong had worked with Alonge before, and Alonge “got involved,” in his words, on August 14. Days later, on August 20, Akpaffiong finally revealed to Sheperd his conflict and proposed solution. 9 But Sheperd felt burned. She claims her experience with Akpaffiong made her “extremely distrustful of lawyers.” Two days later, on August 22, Sheperd told Alonge not to represent her.

8 U.S. Sent’g Guidelines Manual § 5K1.1. 9 There is some disagreement on the exact date Sheperd was informed that Alonge was taking over. Sheperd told the district court that she did not hear about Akpaffiong’s conflict and Alonge taking over until August 20. But Alonge’s motion for continuance asserted that she knew the same day he first got involved in the case on August 14. If the precise date Sheperd found out about Alonge’s involvement has any relevance, we leave it to the district court to resolve this factual discrepancy on remand.

4 Case: 19-20073 Document: 00516229518 Page: 5 Date Filed: 03/08/2022

Alonge conveyed this information to the Government. The Government conveyed it to the district court. The district court set a status conference. The status conference took place on August 27, 2018. Alonge was not present. Akpaffiong assured the court that Alonge would be prepared for trial two weeks later. That same day, Sheperd changed her mind about Alonge. She agreed to let him represent her, and Akpaffiong then withdrew as counsel. A few days later Sheperd’s case was transferred to a new judge. The new judge held a pretrial conference on September 4. At the conference the judge asked the parties if they could move up the trial date. All parties represented they could not, pointing, in part, to Alonge’s recent appearance in the case. Counsel for defendants also flagged the conflict issue for the district court, but suggested that the trial could proceed so long as Okpara did not testify.

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Cite This Page — Counsel Stack

Bluebook (online)
27 F.4th 1075, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-sheperd-ca5-2022.