United States v. Wampler

624 F.3d 1330, 2010 WL 4615159
CourtCourt of Appeals for the Tenth Circuit
DecidedNovember 16, 2010
Docket09-6229, 09-6230, 09-6231
StatusPublished
Cited by38 cases

This text of 624 F.3d 1330 (United States v. Wampler) 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. Wampler, 624 F.3d 1330, 2010 WL 4615159 (10th Cir. 2010).

Opinion

GORSUCH, Circuit Judge.

The defendants argue that an unconsummated plea agreement between their former corporate employer and the government bars their current prosecution and upcoming trial. Despite this, the district court held the defendants must stand trial. So unless we hear their appeal now, the defendants worry, their “right not to be tried” under the terms of the plea agreement will be lost forever. But whatever else the plea agreement may do, one thing it doesn’t do is confer jurisdiction on this court to entertain an interlocutory appeal. Generally, a defendant must await a final judgment in the district court before pursuing an appeal. To overcome this rule and secure interlocutory review of a collateral order based on a claimed “right not to be tried,” some constitutional or statutory provision must grant him or her that right. Where, as here, no such provision is in play, we must, as usual, defer review of the defendants’ arguments until after their trial, should it happen to result in a final judgment of conviction.

I

The genesis of this case lies in another, earlier proceeding and some sense of that first proceeding is helpful to understand the one now before us.

It all began when the government targeted McSha Properties, Inc. and certain of its employees in a criminal investigation. According to the government, the company; its founder, Larry Shaver; and four other principals, Michael Wampler, Lewis Colbert, Michael McClure, and Steven Jones, used falsified construction invoices to inflate the costs of the company’s low-income housing projects. On the basis of these false invoices, the government alleged, the company secured loans from financial institutions and tax credits from the federal government far in excess of what its projects merited — all while the individuals pocketed a small fortune.

As the investigation progressed, the two sides began plea negotiations. In the hope of inducing the government to focus its attention on the company rather than on them, Mr. Shaver voluntarily relinquished his controlling voting proxies in the company and agreed to resign as Chairman and CEO; Mr. Colbert asked to have his CPA *1333 license placed in retirement status; and Mr. Wampler resigned as an officer and director of the company. All these efforts seemed to pay off. The negotiations culminated in a proposed plea agreement, pursuant to which McSha agreed to plead guilty to a two-count information charging it with wire fraud and money laundering; in return, the government agreed not to prosecute any of the individuals who ran McSha.

The agreement, however, soon derailed. When the company petitioned the district court to enter a plea of guilty, the court questioned whether the plea agreement unjustly let the company’s principals off the hook. Ultimately, the court announced pursuant to Fed.R.Crim.P. 11(c)(3)(A) that it would not approve the agreement for that reason. McSha then withdrew its plea and the district court entered an order dismissing the matter without prejudice.

At first, the company sought to appeal the district court’s decision refusing to accept its plea agreement, but it later withdrew the appeal. And behind that lies another small story. By this time, Mr. Shaver had relinquished control of the company, so Mr. Jones and Mr. McClure controlled its operations. When the government offered that pair immunity from future prosecution if they caused McSha to dismiss the appeal, they readily agreed.

And that brings us now to the case before us. This case began when, after the appeal’s dismissal and taking up the district court’s suggestion, the government filed an indictment against Messrs. Shaver, Wampler, and Colbert charging them with various crimes. To the indictment, the defendants replied with a motion to dismiss. In their motion, the defendants raised three arguments, all focused on the implications of the earlier, failed plea deal. First, the defendants argued, the terms of the failed plea agreement between McSha and the government barred their indictment; the old plea agreement, they reminded the district court, included a promise that they would not be prosecuted. Second, the defendants contended that the district court effectively and improperly coerced the government into filing the indictment against them, implicating separation of powers concerns. Third and finally, the defendants said, the indictment was motivated, at least in part, by a desire to retaliate against them for allowing the company to appeal the district court’s rejection of the plea agreement — that is, before Mr. Jones and Mr. McClure were induced to withdraw the appeal. The government’s desire to retaliate against them, the defendants submitted, improperly trenched upon their First Amendment rights. Finding none of these arguments persuasive, the district court denied the defendants’ motion to dismiss and it is this ruling the defendants now wish to appeal.

II

The first question we must ask in this and any appeal is whether we have jurisdiction to entertain it. The question is especially pressing where, as here, everyone in the case admits that the only thing being appealed is a non-final or interlocutory order denying a motion to dismiss. Under 28 U.S.C. § 1291, Congress has afforded the courts of appeals jurisdiction over “final decisions of the district courts.” Usually, this means litigants must await a final judgment terminating their case before pursuing an appeal. Mohawk Indus. v. Carpenter, — U.S. -, 130 S.Ct. 599, 605, 175 L.Ed.2d 458 (2009). So it would appear that the defendants’ arguments in their motion to dismiss should be taken up only after their trial and only if it happens to result in a final judgment of conviction. If the district court erred in denying the motion to dismiss, we can say so and undo any conviction then.

*1334 Of course, the defendants do not want to wait until after trial. They want their appeal heard now. And, they note, in Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 69 S.Ct. 1221, 93 L.Ed. 1528 (1949), the Supreme Court long ago held that, as a “practical” matter, some interlocutory orders can qualify as “final decisions” within the meaning of § 1291 because, while they don’t conclusively resolve the litigation, they do conclusively resolve important questions separate from the merits. Id. at 546-47, 69 S.Ct. 1221. In our case, the defendants claim that all three of their arguments may be pursued now, before trial, under Cohen’s terms. This is because, they explain, each of their arguments is collateral to the question of their guilt or innocence on the charges against them and each involves a “right not to be tried” granted by the plea agreement — a right that will be lost if review is deferred until after a final judgment.

To evaluate the defendants’ assertion and our jurisdiction to entertain this appeal, we first outline Cohen’s

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

Related

Frias v. Hernandez
142 F.4th 803 (Fifth Circuit, 2025)
Fiorisce v. Colorado Technical University
130 F.4th 811 (Tenth Circuit, 2025)
Menocal v. GEO Group
Tenth Circuit, 2024
Mohamed v. Jones
100 F.4th 1214 (Tenth Circuit, 2024)
Tucker v. Faith Bible Chapel Int'l.
36 F.4th 1021 (Tenth Circuit, 2022)
United States v. Brune
991 F.3d 652 (Fifth Circuit, 2021)
United States v. Perea
977 F.3d 1297 (Tenth Circuit, 2020)
Winn v. Cook
945 F.3d 1253 (Tenth Circuit, 2019)
United States v. Dermen
Tenth Circuit, 2019
Kell v. Benzon
925 F.3d 448 (Tenth Circuit, 2019)
United States v. Aaron Schock
Seventh Circuit, 2018
United States v. Arterbury
322 F. Supp. 3d 1195 (N.D. Oklahoma, 2018)
United States v. Morales
682 F. App'x 690 (Tenth Circuit, 2017)
General Steel Domestic Sales, L.L.C. v. Chumley
840 F.3d 1178 (Tenth Circuit, 2016)
Perry, Ex Parte James Richard "Rick"
483 S.W.3d 884 (Court of Criminal Appeals of Texas, 2016)
Miller v. Basic Research, LLC
750 F.3d 1173 (Tenth Circuit, 2014)
United States v. Tucker
745 F.3d 1054 (Tenth Circuit, 2014)

Cite This Page — Counsel Stack

Bluebook (online)
624 F.3d 1330, 2010 WL 4615159, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-wampler-ca10-2010.