United States v. Le
Opinion
Defendant Cheng Le stands convicted after a jury trial in the United States District Court for the Southern District of New York (Alison J. Nathan,
Judge
) of three crimes: (1) attempting to acquire the lethal biological toxin ricin in violation of the Biological Weapons Anti-Terrorism Act of 1989 (the "Biological Weapons Act"), Pub. L. No. 101-298,
For reasons explained herein, we conclude that Le's counseled arguments fail on the merits. Le's pro se ineffective assistance claim is more properly the subject of collateral review and, thus, we decline to address it on direct appeal. Accordingly, we affirm the judgment of conviction on all counts. 1
*107 BACKGROUND
I. The Prosecution Case
A. Le Orders Ricin on the Dark Net
Over the course of several weeks in December 2014, defendant Le, a self-styled broker of luxury goods between the United States and China, repeatedly accessed a "Dark Net" marketplace in an attempt to acquire ricin, a biological toxin derived from the seeds of the castor oil plant. Ricin is lethal in even small doses when ingested, injected, or simply inhaled. It has no known antidote and is generally undetectable in autopsies.
The "Dark Net" is an area of the internet accessible only through anonymization software that obscures users' internet protocol addresses and filters their traffic through a series of worldwide nodes. Such software makes it difficult, even for law enforcement officials, to identify Dark Net users or their locations. Dark Net users adopt monikers to interact anonymously with one another in various formats, including online marketplaces. Dark Net marketplaces operate similarly to ordinary internet marketplaces ( e.g. , eBay), in that vendors list items for sale and exchange messages with potential buyers to negotiate and effectuate transactions. In Dark Net marketplaces, however, communications between vendors and buyers are usually encrypted, and transactions overwhelmingly involve contraband.
Le's first Dark Net communication about ricin occurred on December 3, 2014, when, using the moniker "WhenInDoubt," he initiated contact with a vendor operating under the moniker "Dark_Mart" and asked: "Any ways[,] this might sound blunt but do you sell ricin?" Trial Tr. at 51-52. Le explained that he had seen several Dark Net listings suggesting that Dark_Mart had ricin in stock. What Le did not then know was that Dark_Mart was an online identity assumed by Mark Walker, an online covert employee of the Federal Bureau of Investigation.
Between December 3 and 22, 2014, Le exchanged more than two dozen encrypted messages with Walker in which Le held himself out as a broker acting on behalf of persons interested in acquiring ricin. Le stated that he was seeking a source of "good quality" ricin "ASAP" and that he "already had buyers lining up" for the product. Id. at 55. Le stated that "three to five lethal doses would be enough," adding that a client might want Walker's "professional opinion" on "how death would end up looking ... under forensic examination." Id. at 59. Le would subsequently describe the client's intended victim as a middle-aged, 200-pound male.
Le specifically solicited Walker's advice about administering ricin both by injection and ingestion. As to the former, Le queried whether "kill[ing]" a target with a ricin injection while he was hospitalized would avoid suspicion because "hospitalized people already have needles in them." Id. at 61-62. Later, after confirming with Walker that ricin had no antidote and did not appear in autopsies, Le described a plan for ricin's ingestion through "capsules," "pills," or "tablets" "disguise[d] as medicine." Id. at 67. A single ricin pill could be added to "a bottle of normal pills" that looked "identical," so that when "the target *108 takes the medicine every day, sooner or later he'd ingest that poisonous pill and die." Id. Thus, Le observed, "[e]ven if there is a murder investigation, they won't find any more toxin"; the plan was "100 percent risk-free." Id.
Le told Walker that "simple and easy death pills" would "become best sellers." Id. Indeed, he declared that "it is death itself we're selling here, and the more risk-free, the more efficient we can make it, the better." Id. at 68. Toward that end, Le said he would be "trying out new" ricin delivery "methods in the future." Id.
B. Le Orders Ricin in the Name Daniel Chunn and Arranges for Delivery by Mail
Following these exchanges, on December 18, 2014, Le-now using the moniker "fnufnu"-placed an order with Walker for "one bottle of [vitamin] pills with one poisonous pill in there." Id. at 74. 2 Le instructed Walker to add an ultraviolet chemical to the ricin pill so that it could be identified by blacklight. Le also ordered some "extra loose powder/liquid ricin"-"[e]nough to poison some small animals will be good"-so that he could "test something out." Id. Le agreed to pay for the order with the equivalent of $300 in Bitcoin, 3 and directed Walker to make delivery by mail addressed to "Daniel Chunn" at a Manhattan location.
Daniel Chunn is, in fact, the name of a Texas resident who had lost his wallet in March 2013 and reported identity theft to the authorities in the summer of that year. Chunn had never been in New York and had no familiarity with Le, the Dark Net, or the monikers "WhenInDoubt" and "fnufnu."
C. The Controlled Delivery to Le
Investigation revealed that the Manhattan delivery address Le provided to Walker belonged to a UPS store, and that Le picked up mail from a post office box at that location. After surveilling Le visiting the UPS store, FBI agents prepared for a controlled delivery of the December 18 ricin order to that location. The package, which was sent via the United States Postal Service, contained a vitamin bottle that substituted a sham ricin pill for the ordered toxin, as well as a vial of sham ricin powder hidden inside a flashlight.
On December 23, 2014, FBI agents watched Le enter the UPS store. As observed on other occasions, he was wearing latex gloves. At the store, Le retrieved the controlled delivery package, opened it, discarded the shipping material, and carried the contents back to his nearby apartment. Soon after Le returned to his apartment, FBI agents entered the premises pursuant to a search warrant and arrested Le. In the ensuing search of Le's apartment, agents recovered the controlled-delivery pill bottle-now opened-containing the sham ricin pill, as well as the flashlight containing the vial of sham ricin powder. They also seized a quantity of castor seeds that had not been part of the delivery. The agents took photographs of Le's laptop computer, which showed that the device *109 was then logged into Le's personal email account as well as to the Dark Net accounts for WhenInDoubt and fnufnu.
II. The Defense Case
Testifying in his own defense, Le denied any knowledge that ricin was being sent to him, and stated that a shipping associate, whom he identified as "Michael Lin," had used the laptop computer photographed by agents at the time of Le's arrest.
III. Conviction
On August 27, 2015, a jury found Le guilty on all three counts charged. On March 8, 2016, the district court sentenced Le to a total of 192 months' ( i.e. , 16 years') incarceration to be followed by five years' supervised release, and imposed a $300 special assessment. This timely appeal followed.
DISCUSSION
I. Biological Weapons Act Challenges
A. Standard of Review
Le argues that his conviction must be vacated because (1) principles of federalism do not permit the Biological Weapons Act to be construed to reach his "purely local" criminal conduct,
Bond v. United
States,
Le acknowledges that he did not raise these arguments before the district court. Thus, we review only for plain error.
See
Fed. R. Crim. P. 52(b) ;
United States v. Rybicki
,
To demonstrate plain error, Le must show (1) error that (2) is clear or obvious under current law; (3) affects his substantial rights, which generally means affects the outcome of the district court proceedings; and (4) seriously affects the fairness, integrity, or public reputation of judicial proceedings.
See
United States v. Marcus
,
B. The Biological Weapons Act
To explain, we begin with a brief discussion of the challenged statute. In enacting the Biological Weapons Act, Congress identified two purposes: "(1) [to] implement the Biological Weapons Convention, an international agreement unanimously ratified by the United States Senate in 1974 and signed by more than 100 other nations"; and "(2) [to] protect the United States against the threat of biological terrorism."
In furtherance of its stated statutory purposes, the Biological Weapons Act criminalizes certain conduct. We highlight the language most pertinent to Le's conviction.
Whoever knowingly develops, produces, stockpiles, transfers, acquires , retains, or possesses any biological agent, toxin , or delivery system for use as a weapon , or knowingly assists a foreign state or any organization to do so, or attempts , threatens, or conspires to do the same , shall be fined under this title or imprisoned for life or any term of years, or both. There is extraterritorial Federal jurisdiction over an offense under this section committed by or against a national of the United States.
the toxic material or product of plants, animals, microorganisms (including, but not limited to, bacteria, viruses, fungi, rickettsiae or protozoa), or infectious substances, or a recombinant or synthesized molecule, whatever their origin and method of production, [including]
(A) any poisonous substance or biological product that may be engineered as a result of biotechnology produced by a living organism; or
(B) any poisonous isomer or biological product, homolog, or derivative of such a substance[.]
The statute defines the phrase "for use as a weapon" to "include[ ] the development, production, transfer, acquisition, retention, or possession of any biological agent, toxin, or delivery system for other than prophylactic, protective, bona fide research, or other peaceful purposes."
C. The Federalism Challenge
Le nevertheless argues that principles of federalism do not permit the statute to support his conviction here because his attempted acquisition of ricin was in furtherance of a single murder, effectively a common law crime entrusted by federalism to local law enforcement. Le maintains that this conclusion is compelled by
Bond v. United States
,
1. Bond v. United States
As the Supreme Court itself recognized,
Bond
is an "unusual," even "curious," case.
While most prosecutions under the Chemical Weapons Act have concerned "terrorist plots or the possession of extremely dangerous substances with the potential to cause severe harm to many people,"
Bond v. United States
,
In holding that the Chemical Weapons Act did not reach such a "common law assault," the Supreme Court ruled that the statute "must be read consistent with principles of federalism inherent in our constitutional structure," specifically, the principle "leaving the prosecution of purely local crimes to the States" in the absence of a "clear indication" of contrary congressional intent.
Holding that the ambiguity should be resolved by reference to "basic principles of federalism," the Supreme Court considered the "natural meaning of 'chemical weapon,' " which "takes account of both the particular chemicals that the defendant used and the circumstances in which she used them."
In so ruling, the Court was careful to note that an "exceptional convergence of factors" compelled its decision.
2. Le Does Not Stand Convicted of Purely Local Conduct so as To Require Construction of the Biological Weapons Act According to Principles of Federalism
Le argues that the statutory definition of a "biological ... toxin ... for use as a weapon" ("biological weapon") in the Biological Weapons Act, like the statutory definition of a "chemical weapon" in the Chemical Weapons Act, is so broad that it can reach purely local criminal conduct. Thus, he maintains that here, as in Bond , federalism requires a clear statutory indication that Congress meant federal law to reach such conduct before it can be so applied. Because there is no such indication in the Biological Weapons Act, Le submits that his federal conviction cannot stand.
The argument fails at the first step of analysis. Even if the statutory definition of "biological weapon" might be construed to reach a purely local crime in some cases, thereby raising federalism concerns akin to those in
Bond
, Le's conduct was no local crime. Le argues that his conduct only facilitated common law murder. But that does not aptly characterize the conduct for which he stands convicted. What Le did to violate the Biological Weapons Act was to use the internet, routinely recognized by this court as an instrumentality of interstate commerce,
see
United States v. Konn
,
Maintaining the integrity of the Postal Service is certainly a "matter of particular federal concern."
Smith v. United States
,
Regulating the instrumentalities of interstate commerce is also a matter of strong federal interest,
see
United States v. Lopez
,
Le's observation that the
Bond
defendant also acquired proscribed materials on the internet and through the mail,
see
Bond v. United States
,
Thus, Le's acquisition of ricin through instrumentalities of interstate commerce is not akin to the purely local assault in Bond and presents no need for us to construe the Biological Weapons Act according to principles of federalism.
3. Le's Conduct Falls Within the Biological Weapons Act Even When Construed According to Principles of Federalism
In any event, applying federalism principles of construction to the Biological Weapons Act affords Le no relief from conviction. Application of such principles in
Bond
resulted in the Supreme Court construing the term "chemical weapon" according
*114
to its "natural meaning" rather than its "improbably broad ... statutory definition."
Bond v. United States
,
The type of biological toxin at issue, ricin, is "extremely deadly,"
United States v. Baker
,
Thus, we can confidently conclude that
Bond's
hypothetical "educated user of English,"
Bond v. United States
,
In urging otherwise, Le observes that at the second, use step of the analysis,
Bond
recognized a "weapon" to "connote[ ] [a]n instrument of offensive or defensive combat."
First, we do not understand
Bond
to hold that
each
of the two factors-type and use-properly considered in identifying the natural meaning of a chemical (or biological) weapon must equally belie a purely local interest. Rather, the factors
*115
are properly considered together to determine if, on balance, the substance in question is naturally understood as a chemical (or biological) weapon. Where, as here, the type of toxin at issue is particularly deadly, serves no other purpose than to kill, and "pose[s] a severe threat to public health and safety,"
Second, and in any event, the record does not support Le's narrow characterization of his conduct as limited to supplying a single customer targeting a single victim. In his Dark Net exchanges, Le stated that he had "buyers lining up" for ricin and expected "simple and easy [ricin] death pills" to become "best sellers." Trial Tr. at 55, 67. Thus, the circumstances of acquisition in this case are reasonably understood not as an attempt to facilitate a single murder, but as the first step in establishing a ricin distribution network to sell "death itself." Id. at 67-68. Far from being a purely local matter, such conduct falls well within the "core concerns" of the treaty informing the Biological Weapons Act. See Biological Weapons Convention, supra , 1015 U.N.T.S. at 164-67 (prohibiting "development, production, stockpiling, [or] acquisition"- i.e. , proliferation-of biological toxins within and between states).
Third,
Bond
does not hold that federalism limits the natural meaning of "weapon" to a combat instrument.
Bond
observed that the use of something as a weapon "
typically
" carries that connotation,
Bond v. United States
,
*116
Fourth, even if federalism principles of construction required the terms "chemical weapon" and "biological weapon" to connote a combat instrument,
Bond
itself signals that the term "combat" is not to be construed so narrowly as to exclude "assassination, terrorism, and acts with the potential to cause mass suffering."
Bond v. United States
,
In sum, Le cannot show any federalism error, let alone plain error, that requires vacatur of his conviction. His conduct-attempting to acquire ricin over the internet and using a false identity to have the Postal Service deliver the toxin to him-manifests no purely local crime as in
Bond v. United States
, but conduct of primarily federal concern. In any event, when we consider the type of biological toxin here
*117
at issue, together with the circumstances under which Le proposed to acquire and then distribute it, we conclude that Le's conduct falls comfortably not only within the statutory definition of a "biological ... toxin ... for use as a weapon,"
D. Constitutional Challenge
Le argues that, even if his conduct falls within the criminal provision of the Biological Weapons Act,
see
*118
The Supreme Court has construed the Commerce Clause to authorize Congress's regulation of three categories of activity: (1) "the use of the channels of interstate commerce"; (2) "the instrumentalities of interstate commerce, or persons or things in interstate commerce"; and (3) "those activities that substantially affect interstate commerce."
Taylor v. United States
, --- U.S. ----,
Le argues that the activities regulated by § 175(a) -the development, production, stockpiling, transfer, acquisition, retention, or possession of biological weapons-are not inherently economic in nature. In support, he cites
United States v. Morrison
,
There, the Supreme Court rejected a constitutional challenge to the Controlled Substances Act ("CSA"),
see
As this citation indicates, and as we here conclude, § 175(a), like the CSA, regulates quintessentially economic activity: the development, production, stockpiling, transfer, acquisition, and retention of biological toxins, fungible commodities for which an interstate market exists.
See
The same conclusion obtains for Le's as-applied challenge because the conduct supporting his conviction was undeniably commercial. The object of his actions was to buy ricin on the black market in order to sell it to clients "lining up" for the toxic commodity. Trial Tr. at 55, 67-68. Toward this commercial end, Le knowingly employed an instrumentality of interstate commerce, the internet, first, to locate a ricin supplier and, then, to order and pay for the toxin. Also, he arranged for his ricin order to be delivered to him through another instrumentality of interstate commerce, the United States Postal Service. These activities, informing both the supply and demand sides of the market for biological toxins, are plainly within Congress's Commerce Clause authority to proscribe.
See
Gonzales v. Raich
,
In urging otherwise, Le faults Congress for enacting § 175(a) without particularized legislative findings of a relationship between biological weapons and interstate commerce. While such findings can sometimes be "helpful," their "absence" does not necessarily "call into question Congress' authority to legislate."
Nor is a different conclusion warranted by the fact that the jury was not asked to make a nexus finding between Le's conduct and interstate commerce. Were such proof required, the trial record overwhelmingly provides it, as we have just detailed.
See
Neder v. United States
,
Accordingly, because Congress's enactment of § 175(a) fell within its Commerce Clause authority, Le's constitutional challenge *120 to that statute, both facial and as-applied, fails, warranting no relief from conviction.
II. Ineffective Assistance of Counsel
While Le's appeal was being pursued by his trial counsel, and prior to the appointment of current appellate counsel, Le filed a pro se brief with this court arguing that (1) counsel had provided constitutionally ineffective assistance at trial, and (2) both the district court and this court erred in allowing trial counsel to represent Le on appeal. With trial counsel now relieved and new appellate counsel appointed, it is not clear if Le is pursuing his ineffectiveness claim on direct appeal. In a supplemental pro se brief, he states that he "has not, as of yet, asked this Court to hear this issue." Dkt. No. 154 at 4.
We need not ask Le to clarify his position because his quoted statement appears to recognize our "general[ ] disinclin[ation] to resolve ineffective assistance claims on direct review."
United States v. Gaskin
,
CONCLUSION
To summarize, we conclude as follows:
1. Le's federalism challenge to his conviction fails because
(a) the conduct for which he stands convicted under18 U.S.C. § 175 (a), the attempted acquisition of a biological toxin over the internet and through the mails, by contrast to the simple assault conduct in Bond v. United States ,572 U.S. 844 ,134 S.Ct. 2077 ,189 L.Ed.2d 1 (2014), on which he relies, is no purely local crime, and, therefore, federalism principles of construction need not be applied to narrow § 175(a)'s reach; and
(b) even when the federalism principles of construction identified in Bond are applied here, Le's conduct warrants federal prosecution because of the deadly type of toxin he sought to acquire, the particular suitability of that toxin for assassination and terror, and Le's indifference to its use.
2. Le's constitutional challenge to his conviction fails because the Commerce Clause authorizes both Congress's enactment of
3. We do not review Le's claim of ineffective assistance of trial counsel on this direct appeal; any such claim is properly pursued in the first instance through a habeas corpus proceeding.
Accordingly, the judgment of conviction is AFFIRMED .
Insofar as Le raises still new equal protection and sufficiency challenges to conviction in a reply brief filed after the government responded to his initial submission, we deem those arguments abandoned and do not address them here.
See
United States v. George
,
"WhenInDoubt" was the moniker for Le's vendor account, and the Dark Net marketplace through which he and Walker were dealing did not allow vendor accounts to purchase items from other vendor accounts. Thus, Le placed this order through his buyer account with the moniker "fnufnu."
Bitcoin is a digital currency that is decentralized and pseudonymous, permitting online vendors and customers to maintain their anonymity by transferring the currency directly between their Bitcoin accounts, which contain no identifying information about either user.
See
United States v. Ulbricht
,
The Chemical Weapons Act implements the Convention on the Prohibition of the Development, Production, Stockpiling, and Use of Chemical Weapons and on Their Destruction (the "Chemical Weapons Convention"),
opened for signature
Jan. 13, 1993, S. Treaty Doc. No. 103-21, 1974 U.N.T.S. 317 (entered into force Apr. 29, 1997), which
Bond
describes as "a treaty about chemical warfare and terrorism,"
It is by no means evident that the impact of Le's ricin trafficking would be intrastate. Le testified that the clients for his reshipping services are in China.
Insofar as Le argues that Congress exceeded its Commerce Clause authority in enacting the Biological Weapons Act, we explain in Section I.D, infra , why that argument fails on the merits.
A microgram equals one millionth of a gram; a milligram equals one thousandth of a gram.
The conclusion finds further support in the fact that ricin is undetectable on autopsy. This allows the toxin to kill while frustrating local law enforcement efforts even to detect that a crime has been committed, let alone to prosecute its perpetration. This heightens the federal interest in controlling the toxin's acquisition.
A strong showing at the second, use step of analysis may also suffice to recognize that a not-necessarily-deadly substance is naturally understood as a chemical (or biological) weapon in the context employed.
See
Bond v. United States
,
In 1978, a Bulgarian dissident was assassinated in London by an assailant using an umbrella tip to inject him with ricin. See Dana A. Shea & Frank Gottron, Congressional Research Service, Ricin: Technical Background and Potential Role in Terrorism, CRS No. 21383, at 3 (Apr. 17, 2013). In 1994, anti-government militia members in Minnesota were convicted under the Biological Weapons Act of possessing ricin, which they intended to use to assassinate local and federal law enforcement officials. See Jeanne Guillemin, Biological Weapons: From the Invention of State-Sponsored Programs to Contemporary Bioterrorism 158 (2005). Letters containing ricin have been mailed to various government officials, including Presidents George W. Bush and Barack Obama. See Shea & Gottron, supra , at 3; Lisa B. McDermott, Reuters, "Texas Actress Sentenced to 18 Years for Ricin-Laced Letter to Obama" (July 16, 2014), available at https://www.reuters.com/article/us-usa-crime-ricin/texas-actress-sentenced-to-18-years-for-ricin-laced-letter-to-obama-idUSKBN0FL2AI20140716; Therese Apel, Reuters, "Mississippi Man Gets 25 Years for Sending Ricin Letter to Obama" (May 19, 2014), available at https://www.reuters.com/article/us-usa-ricin-mississippi/mississippi-man-gets-25-years-for-sending-ricin-letter-to-obama-idUSBREA4 I0QE20140519. International authorities have also foiled terrorist plots to develop and use ricin. See David Brennan, Newsweek, "Jihadist Made Ricin with Web-Bought Castor Bean Seeds, Police Say," (June 14, 2018), available at https://www.newsweek.com/jihadist-made-ricin-web-bought-castor-bean-seeds-police-say-977244; Alan Blinder, N.Y. Times, "Two in Ricin Terrorism Plot Are Each Sentenced to 10 Years in Prison" (Nov. 14, 2014), available at https://www.nytimes.com/2014/11/15/us/ricin-terrorism-plot-sentencing.html.
As Le observes, at one point in
Bond
, the government "explicitly disavowed" the Commerce Clause as a source of congressional authority for enactment of the Chemical Weapons Act,
Facial challenges are "generally disfavored,"
Dickerson v. Napolitano
,
While acknowledging precedent permitting regulation of all three categories of activity under the Commerce Clause, Justice Scalia thought that Congress's power over the third category derived from the Necessary and Proper Clause.
See
Gonzales v. Raich
,
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. Cheng LE, AKA William Lee, AKA Daniel Chunn, AKA Steven Phanatasio, Defendant-Appellant.
- Cited By
- 22 cases
- Status
- Published