Ramirez v. United States
Ramirez v. United States
Opinion of the Court
OPINION AND ORDER
I. INTRODUCTION
Juan and Luis Ramirez (“Petitioners”) bring these habeas corpus motions, pursuant to section 2255 of Title 28 of the United States Code (“section 2255”), to .vacate, set aside, or correct their sentences. After a seven week jury trial, Petitioners were convicted of crimes relating to racketeering, narcotics trafficking, robbery, assault, kidnaping, murder, interstate transportation of stolen property, and the use and possession of firearms.
In 2003, Petitioners and a third defendant, Shirley Calcano, appealed their respective convictions and sentences. The Second Circuit rejected the appeals and affirmed their convictions and sentences in United States v. Martinez
Petitioners’ expansive motions raised a number of issues. In the interest of judicial economy, Judge Ellis treated the pro se motions together with counsel’s motions because of their common legal issues. In their pro se motions, Petitioners alleged that: (1) the charges against them in Counts 2, 13 and 15 of the Indictment are duplicative and in violation of the double jeopardy clause;
The section 2255 motions prepared by Petitioners’ counsel allege that Petitioners were both denied effective assistance of counsel at trial because their trial counsel: (1) failed to object to an allegedly defective jury charge for an essential VICAR element; (2) failed to object to improper venue; (3) failed to object to a defective indictment; and (4) failed to challenge proof of the racketeering enterprise.
In addition to the joint motions, both Petitioners filed pro se motions. Juan Ramirez contended that his appellate counsel was ineffective for failing to file a Crawford brief after Martinez was' reconsidered, and that the venue allegation for Count 8 was insufficient.
In his thorough and thoughtful R & R, Judge Ellis addressed all of Petitioners’ allegations and concluded that their section 2255 motions should be denied. Through counsel, Petitioners filed joint objections to the R & R, specifically disputing Judge Ellis’s conclusions that: (1) the jury charge on the fourth VICAR element of Counts 4, 5, and 8 was not flawed; (2) venue in the Southern District of New York was proper for Count 12; (3) the Superseding Indictment was not defective and Petitioners’ constructive amendment claim is meritless; (4) trial counsel’s defense strategy was constitutionally adequate; and (5) Juan Ramirez’s ineffective assistance of appellate counsel claim is
For the following reasons, I adopt Judge Ellis’s recommendations for all of Petitioners’ claims save one. Juan Ramirez, who was denied counsel at a critical stage of his appeal, shall have his appeal reinstated so that the Second Circuit can reach the merits of his Crawford objection. All other claims for both Petitioners are denied.
II. LEGAL STANDARDS
A. Review of Magistrate’s Report and Recommendations
District courts must “make a de novo determination ... of any portion of the magistrate judge’s [R & R] to which specific written objection has been made.”
B. Section 2255
“Collateral attack on a final judgment in a criminal case is generally available under [section] 2255 only for a constitutional error, a lack of jurisdiction in the sentencing court, or an error of law or fact that constitutes ‘a fundamental defect which inherently results in a complete miscarriage of justice.’ ”
III. DISCUSSION
A. Unchallenged Recommendations
Petitioners did not object to a number of Judge Ellis’s recommendations. These include: (1) that Counts 2, 13, and 15 did not violate the double jeopardy clause; (2) that the life sentences for Count 15 did not violate Petitioners’ Fifth Amendment Due
B. Objections that Require Review for Clear Error
The first and third of Petitioners’ five joint objections to the R & R “[did] not cite specific portions of the R & R to which [they] object[ ],” nor “explain why [Judge Ellis’s] legal analysis is faulty or incorrect with regard to any particular issue.”
C. Objections that Require De Novo Review
Petitioners raised three objections to the R & R with enough specificity to require de novo review. They argue that Judge Ellis: (1) did not engage in a proper reconstruction of circumstances in his determination of the reasonableness of trial counsel’s strategy, (2) misapplied the law governing venue for Count 12, and (3) used an incorrect legal standard in determining the merits of Juan Ramirez’s claim for ineffective assistance of appellate counsel.
1. Trial Counsel’s Strategy
Petitioners’ various convictions all stem from their affiliation with a sprawling criminal institution called the “165th Street Organization” (“the Organization”).
At trial, the Government provided evidence of Petitioners’ guilt through the testimony of numerous witnesses — law enforcement, civilians, and cooperating members of the Organization.
Petitioners’ trial counsel pursued a strategy of discrediting the Government’s
“[T]he right to be represented by counsel is among the most fundamental of rights,”
“In any case presenting an ineffectiveness claim, the performance inquiry [for the first Strickland prong] must be whether counsel’s assistance was reasonable considering all the circumstances.”
[a] fair assessment of attorney performance requires that every effort be made to eliminate the distorting effects of hindsight, to reconstruct the circumstances of counsel’s challenged conduct, and to evaluate the conduct from counsel’s perspective at the time.... [A] court must indulge a strong presumption that counsel’s conduct falls within the wide range of reasonable professional assistance; that is, the defendant must overcome the presumption that, under the circumstances, the challenged action “might be considered sound trial strategy”30
In their objections, Petitioners argue that Judge Ellis did not engage in any reconstruction of the trial’s circumstances, and that his evaluation of the reasonableness of counsel’s trial strategy was speculative, untethered to any factual record and, therefore, arbitrary.
In United States v. Nersesian, the Second Circuit held that a reasonable trial strategy cannot form the basis of an inef
I find that both decisions were reasonable. In every criminal case, counsel’s actions are accorded a “strong presumption” of reasonableness,
Second, when considering the circumstances of counsel’s conduct and evaluating the decision from counsel’s perspective, I agree with Judge Ellis that the decision to forego cross-examination of Government witnesses on the existence of the criminal enterprise was objectively reasonable. Counsel was facing “overwhelming evidence of the racketeering enterprise adduced at trial,”
Given that both decisions were objectively reasonable, I find no deficiency in trial counsel’s performance to justify a claim of ineffective assistance. Accordingly, I agree with Judge Ellis and adopt his
2. Venue for Count 12
A number of charges against Petitioners stem from the robbery, kidnaping, and murder of drug courier Francisco Soto.
Count 12 charged Petitioners with violating the Hobbs Act, which criminalizes, inter alia, any act that “obstructs, delays, or affects commerce or the movement of any article or commodity in commerce [] by robbery.”
In the Second Circuit, venue is proper where the crime had, one, “substantial contacts” with the district, and two, involved “some activity in the situs district.”
The Hobbs Act does not merely criminalize robbery; it criminalizes obstructing or delaying interstate commerce by robbery. Accordingly, under the Hobbs Act, the venue requirement that “some activity [take place] in the situs district”
The facts plainly support venue in the Southern District of New York, as the robbery affected interstate commerce here and had substantial contacts with this district. First, I agree with Judge Ellis that the robbery affected interstate commerce in this district because Petitioners divided and sold the stolen cocaine in the Bronx after transporting it over state lines.
Second, the “substantial contact” factors set forth in United States v. Reed also favor venue here.
For the preceding reasons, I agree with Judge Ellis that venue for Count 12 was proper, and Petitioners’ trial counsel were not ineffective for failing to raise an objection to it. Accordingly, I adopt the recommendation in the R & R that this claim be denied.
3. Ineffective Appellate Counsel
After trial, Petitioners and a third defendant, Shirley Calcano, appealed their convictions, which the Second Circuit affirmed in United States v. Martinez. However, Petitioners got another bite at the apple in July 2004, when the Second Circuit recalled its Martinez decision in recognition of an “exceptional circumstance[ ]”:
Luis Ramirez and Shirley Calcano filed Crawford briefs with the Circuit panel, but Juan Ramirez did not. Three months pri- or to the Circuit recalling its Mandate in July 2004, Juan Ramirez’s appellate counsel, Charles Lavine, ceased representing him.
Juan argues that the above facts establish that he was deprived of his Sixth Amendment right to counsel.
I disagree with Judge Ellis’s conclusion that Strickland governs this matter. The same day that the Supreme Court issued Strickland, it also issued United States v. Cronic,
[t]he crucial premise on which the Strickland formula rests — that counsel was in fact assisting the accused during the proceedings and should be strongly presumed to have made tactical judgments “within the wide range of professional assistance” — is totally inapplicable*670 when counsel was absent from the proceedings and unavailable to make any tactical judgments whatsoever.70
Cases involving the absence of counsel are instead governed by Cronic, which “identified three situations implicating the right to counsel that involved circumstances ‘so likely to prejudice the accused that the cost of litigating their effect in a particular case is unjustified.’”
The difference between the first and second Cronic exceptions is important. As the Supreme Court held in Bell v. Cone, in order to fall into the second exception, “the attorney’s failure must be complete.... Here, [in contrast] respondent’s argument is not that his counsel failed to oppose the prosecution throughout the[] proceeding as a whole, but that his counsel failed to do so at specific points.”
However, it is the first, not the second, Cronic exception that is at issue in this case. The exception for a complete denial of counsel does not require counsel’s absence throughout the entire trial. Rather, “[t]he presumption that counsel’s assistance is essential requires us to conclude that a trial is unfair if the accused is denied counsel at a critical stage of his trial.”
To determine if a particular stage of a proceeding is critical, courts must “analyze whether potential substantial prejudice to defendant’s rights inheres in the particular confrontation and the ability of counsel to help avoid that prejudice.”
Potential substantial prejudice to Juan Ramirez inhered in the proceedings that followed the Second Circuit’s recall of its Mandate. “[A] panel will ordinarily recall its mandate only in exceptional circumstances.”
Actual assistance by counsel would have avoided that forfeiture. A responsive counselor would have filed a Crawford brief prior to the deadline, preventing Juan Ramirez from defaulting on the issue. Further, the appellate process itself “require[s] careful advocacy to ensure that rights are not forgone and that substantial legal and factual arguments are not inadvertently passed over.”
Because Juan Ramirez was denied the assistance of counsel at a critical stage of his appellate proceeding, his section 2255
D. Luis Ramirez’s Pro Se Objections
Luis Ramirez has unsuccessfully-attempted to obtain records detailing “the grand jury’s life-line, including the beginning date and the end date of the grand jury’s session; and [] the dates of each superseding indictment.”
Luis considers the responses stonewalling and evidence of forged indictments against him.
Neither Judge Ellis nor the Government dispute that “a court cannot permit a defendant to be tried on charges that are not made in [an] indictment against him.”
Luis objected to a lack of legal citations in Judge Ellis’s recommendation on this issue, but the dispute at bottom is a factual one, not a legal one: whether Luis demonstrated anything beyond conjecture that should concern the Court about the possibility of constitutional violations in his trial and conviction resulting from an invalid indictment. Because I find his original motion and subsequent objections to be mere speculation, I agree with Judge Ellis that his prosecutorial misconduct claim
IV. CONCLUSION
For the foregoing reasons, Juan Ramirez’s motion to have his appeal reinstated is granted and all of Petitioners’ other motions are denied [05 Civ. 4179, Doc. 1; 07 Civ. 459, Doc. 1]. Because Petitioners have failed to make a substantial showing that they were denied a constitutional right in any of their denied motions,
SO ORDERED.
. Their convictions included violations of the Racketeering Influenced and Corrupt Organizations Act ("RICO”), the Violent Crimes in Aid of Racketeering Statute ("VICAR”), and the Hobbs Act.
. These included assault, interstate travel in aid of racketeering, conspiracy to rob and robbery, kidnaping, interstate transportation of stolen goods, use of a firearm, and unlawful possession of a firearm.
. 83 Fed.Appx. 384 (2d Cir. 2003), vacated in part by Calcano v. United States, 543 U.S. 801, 125 S.Ct. 135, 160 L.Ed.2d 2 (2004).
. 541 U.S. 36, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004).
. See 8/15/05 Summary Order ("8/15 Order"), Ex. D to Declaration of Assistant U.S. Attorney Michael D. Lockard. Juan Ramirez was not party to that appeal, a fact discussed in further detail below.
. These actions were originally before Judge Robert Carter. They were reassigned to this Court in November 2009 upon his retirement. The following January, I referred the case to Ronald Ellis, the designated Magistrate Judge. Petitioners filed their joint motions in 2010 pursuant to an Order from Judge Ellis.
. Count 2 charged Petitioners with conspiracy to violate RICO; Count 13, conspiracy to commit robbery of narcotics or the proceeds of narcotics sales in violation of the Hobbs Act; Count 15, conspiracy to violate the narcotics laws of the United States by distributing and possessing with intent to distribute five kilograms or more of mixtures and substances containing detectable amounts of cocaine. See Report and Recommendation ("R & R”) at 18.
. Count 8 charged him with assault in aid of racketeering.
. See generally Joint Objections of Petitioners to Report and Recommendations of Magistrate Judge (“Joint Objections”).
. See generally Petitioner's Objections to the Magistrate Judge's Report and Recommendation.
. Fed.R.Civ.P. 72(b); see also 28 U.S.C. § 636(b)(1)(C) ("A judge of the court shall make a de novo determination of those portions of the report or specified proposed findings or recommendations to which objection is made.”).
. Edwards v. Fischer, 414 F.Supp.2d 342, 346-47 (S.D.N.Y. 2006) (quoting Vega v. Artuz, No. 97 Civ. 3775, 2002 WL 31174466, at *1 (S.D.N.Y. Sept. 30, 2002)).
. Greene v. WCI Holdings Corp., 956 F.Supp. 509, 513 (S.D.N.Y. 1997), aff'd, 136 F.3d 313 (2d Cir. 1998).
. United States v. Bokun, 73 F.3d 8, 12 (2d Cir. 1995) (quoting Hill v. United States, 368 U.S. 424, 428, 82 S.Ct. 468, 7 L.Ed.2d 417 (1962)). Accord Johnson v. United States, 313 F.3d 815, 817 (2d Cir. 2002) (ineffective assistance of counsel claims arise under the Sixth Amendment and as such are generally available as a claim of constitutional error).
. Woodard v. United States, No. 04 Civ. 9695, 2005 WL 2978678, at *2 (S.D.N.Y. Nov. 7, 2005).
. Petitioners also moved to dismiss all of their other convictions because of prejudicial spillover from these allegedly invalid convictions. Because the convictions are in fact valid, there can be no prejudicial spillover from them. I therefore am likewise denying the spillover claim.
. Jackson v. Morgenthau, No. 07 Civ. 2757, 2009 WL 1514373, at *1 (S.D.N.Y. May 28, 2009).
. See Joint Objections at 8-10, 15-16, 18-21.
. Between 1992 and 1998, Juan Ramirez was the leader of, and Luis Ramirez was a member of, the Organization. See R & R at 3.
. See id.
. See id.
. See id.
. The Government also showed that Juan Ramirez stored cocaine, guns, car theft tools, and police gear in his home to supply the Organization’s members in their illegal activities. See id. at 15.
. See 18 U.S.C. § 1961(4) (" 'enterprise’ includes any individual, partnership, corporation, association, or other legal entity, and any union or group of individuals associated in fact although not a legal entity”).
. Penson v. Ohio, 488 U.S. 75, 84, 109 S.Ct. 346, 102 L.Ed.2d 300 (1988).
. 466 U.S. 668, 686, 104 S.Ct. 2052, 80 L.Ed.2d 674(1984).
. See id. at 687, 104 S.Ct. 2052.
. Id. at 687-88, 104 S.Ct. 2052. The Court further required “that counsel's representation [falls] below an objective standard of reasonableness.”
. Id. at 689, 104 S.Ct. 2052.
. Id. (quoting Michel v. Louisiana, 350 U.S. 91, 101, 76 S.Ct. 158, 100 L.Ed. 83 (1955)).
. See Joint Objections at 15.
. See 824 F.2d 1294, 1321 (2d Cir. 1987).
. Id.
. Strickland, 466 U.S. at 688, 104 S.Ct. 2052.
. See R & R at 16 n. 11.
. See United States v. Luciano, 158 F.3d 655, 660 (2d Cir. 1998) ("The decision not to call a particular witness is typically a question of trial strategy that appellate courts are ill-suited to second-guess.”).
. R & R at 15.
. See id. n. 10.
. Strickland, 466 U.S. at 688, 104 S.Ct. 2052.
. Luciano, 158 F.3d at 660.
. See 98 CR. 438, Doc. 129 (“Superseding Indictment”), at 5-6, 15-17.
. See R& Rat 10.
. See id.
. See ¿d. at 10-11.
. 18 U.S.C. § 1951.
. United States v. Royer, 549 F.3d 886, 895 (2d Cir. 2008).
. United States v. Reed, 773 F.2d 477, 481 (2d Cir. 1985).
. Royer, 549 F.3d at 895.
. United States v. Stephenson, 895 F.2d 867, 875 (2d Cir. 1990) (emphasis added).
. See R & R at 10.
. Royer, 549 F.3d at 895.
.See 773 F.2d at 481.
. Fine v. Bellefonte Underwriters Ins. Co., 758 F.2d 50, 53 (2d Cir. 1985).
. 7/20/04 Order, Ex. 1 to Affirmation of Jesse Siegel, Counsel to Juan Ramirez ("Siegel Aff.”), at 12 (citing Mancuso v. Herbert, 166 F.3d 97, 100 (2d Cir. 1999)).
. See 541 U.S. at 53-54, 124 S.Ct. 1354 ("The historical record also supports a second proposition: that the Framers would not have allowed admission of testimonial statements of a witness who did not appear at trial unless he was unavailable to testify, and the defendant had had a prior opportunity for cross-examination. The text of the Sixth Amendment does not suggest any open-ended exceptions from the confrontation requirement.”).
. See 11/12/04 Letter from Lavine to Juan Ramirez, Ex. 2 to Siegel Aff. ("As I had advised you in my letter of April 30, 2004, my services ended when the Supreme Court denied our petition for certiorari.”).
. See 7/26/05 Order, Ex. 1 to Siegel Aff., at 18 (granting motion to be relieved as of August 1, 2005).
. See, e.g., 1/4/05 Letter from Ralph Obas, Deputy Clerk to the Second Circuit, to Lavine, Ex. 3 to Siegel Aff. (forwarding Juan Ramirez's pro se submission to Lavine "because [Juan Ramirez] is represented by you as counsel in this appeal”).
. 11/16/04 Order, Ex. 1 to Siegel Affirmation, at 16.
. See Joint Objections at 19-20.
. See id. at 21.
. See id.
. R & R at 25. Judge Ellis contrasted the assistance Lavine gave Ramirez with the nearly total lack of assistance in Jenkins v. Coombe, 821 F.2d 158, 161 (2d Cir. 1987) (counsel filed cursory five-page brief on appeal); Tippins v. Walker, 77 F.3d 682, 686 (2d Cir. 1996) (counsel slept through trial); and Castellanos v. United States, 26 F.3d 717, 720 (7th Cir. 1994) (counsel failed to honor defendant's instruction to file a notice of appeal).
. R & R at 25 (citing Smith v. Robbins, 528 U.S. 259, 285, 120 S.Ct. 746, 145 L.Ed.2d 756 (2000)).
. See R & R at 26-26. The Second Circuit recognized the use of plea allocutions as a Crawford error, but still upheld the convictions because the error did not affect the appellants’ substantial rights under a plain error standard of review. The Circuit reviewed for plain error because neither Luis Ramirez nor Shirley Calcano preserved the claims at trial. See 8/15 Order.
. See R & R at 26-28.
. 466 U.S. 648, 104 S.Ct. 2039, 80 L.Ed.2d 657 (1984).
. See Bell v. Cone, 535 U.S. 685, 695-96, 122 S.Ct. 1843, 152 L.Ed.2d 914 (2002) (describing Cronic as creating three exceptions to Strickland and affirming the continued relevance of both cases in evaluating assistance of counsel).
. Id. at 695, 104 S.Ct. 2052.
. Siverson v. O’Leary, 764 F.2d 1208, 1216 (7th Cir. 1985) (quoting Strickland, 466 U.S. at 690, 104 S.Ct. 2052) (citation omitted).
. Bell, 535 U.S. at 695, 122 S.Ct. 1843 (quoting Cronic, 466 U.S. at 658-59, 104 S.Ct. 2039). Accord Van v. Jones, 475 F.3d 292, 304 (6th Cir. 2007) ("Strickland set forth the Court’s two-part inquiry into ineffective assistance of counsel, requiring that a petitioner show both ineffectiveness and prejudice. Cronic specified circumstances of alleged ineffective assistance of counsel understood by the Court to require no showing of prejudice. Chief among these was the absence of counsel at a critical stage. Strickland’s prejudice analysis covered all other circumstances.”).
. See Cronic, 466 U.S. at 659-62, 104 S.Ct. 2039. For an example of the third exception, see Powell v. Alabama, 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158 (1932). Powell concerned the highly public, racially-charged trials of a number of African-American boys accused of raping two white girls on a train as it transited Alabama. None of the defendants were from Alabama, and instead of giving them opportunity to get in touch with their family to arrange for counsel, the trial court appointed “all the members of the bar for the purpose of arraigning the defendants and then of course [the Court] anticipated [the local bar would] continue to help [defendants] if no counsel appear[ed].” Powell, at 53, 53 S.Ct. 55. The trial court then allowed a Tennessee lawyer who had very little knowledge of the facts of the case or local rules and procedure to take over as counsel, with the aid of the local bar. The Powell Court held that "such designation of counsel as was attempted was either so indefinite or so close upon the trial as to amount to a denial of effective and substantial aid in that regard.” Id.
. Bell, 535 U.S. at 697, 122 S.Ct. 1843.
. See R & R at 25.
. Cronic, 466 U.S. at 659, 104 S.Ct. 2039. Accord Coleman v. Alabama, 399 U.S. 1, 7, 90 S.Ct. 1999, 26 L.Ed.2d 387 (1970) ("This Court has held that a person accused of crime 'requires the guiding hand of counsel at every step in the proceedings against him.’ ”) (quoting Powell, 287 U.S. at 69, 53 S.Ct. 55).
. Penson, 488 U.S. at 88, 109 S.Ct. 346 (citation omitted).
. Coleman, 399 U.S. at 7, 90 S.Ct. 1999.
. Van, 475 F.3d at 313. The Sixth Circuit recognized in Van the curious fact that determining whether a stage is critical requires a “derivative prejudice analysis [very similar] to the proscribed one.” The key difference is analyzing potential prejudice, which goes to the qualities of the proceeding itself, rather than actual prejudice, which is fact-specific.
. Fine, 758 F.2d at 53.
. 7/20/04 Order.
. Penson, 488 U.S. at 85, 109 S.Ct. 346.
. See Government’s Response to Petitioners' Objections to the R & R at 22-23, arguing that the forfeiture was harmless because filing a Crawford brief "would have been a futile exercise.”
. Though I am cognizant of the fact that Luis Ramirez and Shirley Calcano both lost their Crawford appeals, I also note that Juan Ramirez "is entitled to a single-minded advocacy for which the mere possibility of a coincidence of interest with a represented codefendant is an inadequate proxy.” Penson, 488 U.S. at 86-87, 109 S.Ct. 346.
. United States v. Ash, 413 U.S. 300, 309, 93 S.Ct. 2568, 37 L.Ed.2d 619 (1973).
. In an 3/3/10 Order, I directed the Clerk of the Court to reject any pro se motions by Luis Ramirez, and instructed Luis Ramirez to "either stop filing pro se motions or decline the appointment of counsel.” Nonetheless, Luis filed pro se objections to Judge Ellis’s R & R. In light of the 3/3/10 Order, I need not consider these objections, but in the interest of a thorough resolution of this matter, I will do so.
. Proposed Pro Se Submission of Luis Ramirez ("L.R. Motion”), Ex. B to Joint Objections, at 2.
. See id. at 1-2.
. See id. at 2.
. See id.
. See id.
. Luis Ramirez also sees evidence of prosecutorial misconduct in what he views as suspicious numbering of the indictments. See id. at 3. I am satisfied with the explanation that the EOUSA provided to Luis, that the indictment was "amended several times to add defendants, drop defendants who plead guilty, amend charges, etc.” See L.R. Motion at 3.
. Stirone v. United States, 361 U.S. 212, 217, 80 S.Ct. 270, 4 L.Ed.2d 252 (1960).
. See 28 U.S.C. § 2253(c)(2); see also Lucidore v. New York State Div. of Parole, 209 F.3d 107, 112 (2d Cir. 2000) (holding that a substantial showing exists where (i) the issues involved in the case are debatable among jurists of reason, (ii) a court could resolve the issues in a different manner, or (iii) the questions are adequate to deserve encouragement to proceed further).
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