United States v. Dominique Johnson
Opinion
*196
Dominique Johnson was convicted of crimes related to his participation in a string of bank robberies and sentenced to 835 months' imprisonment. After we affirmed his conviction, Johnson filed a petition for writ of certiorari. The Supreme Court granted the petition, vacated our judgment, and remanded for reconsideration in light of
Alleyne v. United States
,
I.
During the late spring and summer of 2009, Dominique Johnson participated in five bank robberies in the Philadelphia area. In early May, Johnson committed the first robbery by himself, carrying a BB gun. In late May, he committed the second robbery, again carrying a BB gun, but this time assisted by two others: Gregory Lawrence and Jerry Taylor.
In June, Johnson bought a .40 caliber Glock pistol. Johnson, Lawrence, and Taylor discussed another bank robbery, with the plan being that Taylor would commit the robbery using Johnson's newly-acquired pistol. Johnson and Lawrence advised Taylor on how to commit the robbery.
In early July, the three friends (joined by a fourth who served as the getaway driver) executed their plan and committed the third robbery. Johnson served as the lookout while Taylor ran into the bank and demanded money. During the robbery, Taylor pointed his gun at one teller and hit another teller with it. In mid-July, the same group committed the fourth robbery in the same fashion: Taylor robbed the bank while brandishing the pistol, and Johnson served as the lookout.
After that, Lawrence and Taylor decided not to participate in any more robberies. Johnson recruited two others, Amin Dancy and Christopher Montague, to commit a fifth robbery at the end of July. As before, Johnson served as the lookout, and someone else (this time Dancy) went into the bank and demanded money while brandishing Johnson's pistol.
The FBI investigated the robberies and eventually arrested Johnson. A jury convicted him of two counts of conspiracy to commit armed bank robbery,
For the first count of using a firearm during a crime of violence, the District Court imposed a sentence of seven years pursuant to
Johnson appealed, and we affirmed his convictions and sentence in a non-precedential opinion.
United States v. Johnson
,
On remand, we granted Johnson's motion to proceed
pro se
and he filed a brief raising numerous points of error, including that his § 924(c) sentences should be vacated under
Alleyne
. In its response, the Government relied heavily on our post-
Alleyne
opinion,
United States v. Lewis
,
II. 1
A. Alleyne Arguments
Johnson argues that the District Court committed Alleyne errors by not submitting to the jury the question of brandishing or the question of whether two of the three § 924(c) convictions were second or subsequent convictions.
To explain the significance of
Alleyne
, we begin with
Apprendi v. New Jersey
,
The jury "indicated on the verdict form that Alleyne had used or carried a firearm during and in relation to a crime of violence, but did not indicate a finding that the firearm was brandished."
1. Brandishing
Here, the issue of brandishing was not submitted to the jury, but determined by the judge at sentencing. The seven-year mandatory minimum for brandishing,
a. Trial Error Versus Sentencing Error
Sentencing error occurs when a defendant is charged with and convicted of one crime, but sentenced for another. According to the plurality opinion, that happened in
Lewis
: the defendant was charged with using or carrying a firearm in relation to a crime of violence in violation of § 924(c) generally, but the judge sentenced him for brandishing in violation of § 924(c)(a)(A)(ii) specifically.
Lewis
,
Trial error, by contrast, occurs when the defendant is charged with, convicted of, and sentenced for a crime, but one of the elements of that crime is not submitted to the jury. That occurred in
United States v. Vazquez
: the defendant was charged with conspiracy to possess and distribute more than five kilograms of cocaine, the jury was not instructed to make factual findings regarding the amount of drugs, and the defendant was sentenced based on drug quantities the judge found at sentencing.
*199
Here, determining whether the
Alleyne
error was trial or sentencing error requires a close reading of the indictment. Johnson was convicted of using or carrying a firearm without a jury finding of brandishing, but he was sentenced for brandishing. If the indictment charged brandishing, there was trial error.
Vazquez
,
The indictment count at issue, Count Five, charged Johnson with aiding and abetting a violation of
The rules provide that "[a] count may incorporate by reference an allegation made in another count." Fed. R. Crim. P. 7(c)(1). Therefore, brandishing was charged in the indictment, which distinguishes this case from
Lewis
. The
Lewis
indictment implied brandishing without using the word: it alleged that the defendants "burst through the front door ... armed with handguns and a shotgun, announced a robbery, forced customers and employees to the floor, threatened to shoot them, herded the victims into the basement and again forced them onto the floor, and stole money, wallets and cell phones."
Because Johnson was charged with and sentenced for brandishing, but the element of brandishing was not submitted to the jury, the
Alleyne
error was trial error.
See
Vazquez
,
b. Standard Of Review
The standard of review is determined by the fact that Johnson relies on Supreme Court case law issued during his direct appeal. "[T]he general rule ... is that an appellate court must apply the law in effect at the time it renders its decision."
Henderson v. United States
,
Under the plain error standard, an appellate court may exercise its discretion to correct (1) an error (2) that was plain-i.e., "clear or obvious, rather than subject to reasonable dispute"-and (3) that "affected the appellant's substantial rights"-i.e., there is "a reasonable probability" that it affected the outcome of the proceedings.
United States v. Marcus
,
c. Application Of The Standard Of Review To The Error
A court's failure to instruct on an element listed in the indictment is not plain error if we determine that it is "clear beyond a reasonable doubt that a rational jury" would have found the element in question "absent the error."
Lewis
,
The first two plain-error factors are necessarily met-i.e., there is an error that is plain-where, as here, a District Court's ruling contravenes a later-issued Supreme Court opinion.
See
Johnson
,
Because the first three plain-error prongs are not all met, we need not reach the fourth.
Marcus
,
Johnson points to the
Lewis
plurality opinion, which says that "[t]he motivating principle behind
Apprendi
and
Alleyne
is that judges must not decide facts that change the mandatory maximum or minimum; juries must do so. If we affirm because the evidence is overwhelming, then we are performing the very task that
Apprendi
and
Alleyne
instruct judges not to perform."
2. Second Or Subsequent Conviction
Johnson argues that the District Court committed a second
Alleyne
error because it did not ask the jury to determine whether two of his three § 924(c) convictions were second or subsequent convictions, but nevertheless imposed mandatory twenty-five year minimum sentences for "second or subsequent conviction[s]" under
This was not error. The fact of a second or subsequent conviction is not an element of the offense and therefore need not be submitted to the jury.
Almendarez-Torres v. United States
,
Moreover, the language of
Apprendi
forecloses Johnson's argument. Its key holding is that "
[o]ther than the fact of a prior conviction
, any fact that increases the penalty for a crime ... must be submitted to a jury...."
B. Arguments Based On Other Supreme Court Cases
Besides his
Alleyne
arguments, Johnson makes arguments based on Supreme Court cases that were issued during the pendency of his appeal:
Rosemond v. United States
,
The Government wisely refrains from making a frontal attack on the settled proposition that "[w]hen a decision of [the Supreme] Court results in a 'new rule,' that rule applies to all criminal cases still pending on direct review."
Schriro
,
At oral argument, the Government was unable to explain how its proposed rule could co-exist with
Schriro
, and indeed, co-existence is impossible. Supreme Court decisions apply to "all criminal cases still pending on direct review,"
Schriro
,
The Government's proposed rule is not only inconsistent with controlling precedent, it is unworkable. Lawyers cannot be required to advance arguments in opening appellate briefs that are contingent on a possible future change in the law.
See
Johnson
,
The Government's other contention-that the Johnson and Rosemond arguments are outside the scope of the remand order-is also unsuccessful. The Supreme Court's order remanding this case to us does not speak to issues other than Alleyne , and we will not interpret it as wiping away, sub silentio , the well-established rule of Schriro . 6 Therefore, we will consider Johnson's arguments based on case law issued during the pendency of his appeal.
1. Bank Robbery Is A Crime Of Violence
Three of Johnson's convictions were for violations of § 924(c), which prohibits
*203
brandishing a firearm "during and in relation to any crime of violence."
To determine whether § 2113(d) bank robbery is a crime of violence, we employ the categorical approach, which "requires us to compare the elements of the statute under which the defendant was convicted to the [ § 924(c) ] definition of 'crime of violence.' "
United States v. Wilson
,
Turning to the statutory definition at issue here, a "crime of violence" is a felony offense:
(A) [that] has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or
(B) that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense.
In
Johnson
, the Supreme Court considered the residual clause of a different portion of § 924 -the Armed Career Criminal Act, § 924(e)-that defines "violent felony" to include felonies that "otherwise involve[ ] conduct that presents a serious potential risk of physical injury to another."
Johnson argues that the § 924(c) residual clause is essentially the same as the ACCA residual clause, and therefore, the § 924(c) residual clause is also void for vagueness. However, as Johnson recognizes, our agreement on this point would not be enough to vacate his convictions. A crime is a "crime of violence" if it meets either the elements clause or the residual clause. Therefore, in order to reach Johnson's residual-clause argument, we would need to agree with him that § 2113(d) bank robbery is not a crime of violence under the elements clause.
Johnson focuses on § 2113(a), and specifically the fact that it proscribes bank robbery "by force and violence, or by intimidation."
Moreover, even if Johnson's sole focus on § 2113(a) were analytically sound, it would be unavailing. We recently held that § 2113(a) bank robbery by intimidation-the least culpable conduct contemplated in subsection (a)-is a "crime of violence" under a clause in the Sentencing Guidelines that is worded "nearly identically" to the § 924(c) elements clause.
Wilson
,
We held that "[u]narmed bank robbery by intimidation clearly does involve the 'threatened use of physical force against the person of another.' "
Wilson
,
Wilson forecloses Johnson's argument that bank robbery is not crime of violence under the § 924(c)(3) elements clause. Therefore, we do not reach the question of whether the residual clause is void for vagueness.
2. The Aiding And Abetting Instruction Did Not Amount To Plain Error
Johnson argues that his aiding and abetting convictions should be vacated because the jury instruction on aiding and abetting violated Rosemond , 134 S.Ct. at 1243. We conclude that any such error does not survive plain error review.
In order to aid and abet a § 924(c) offense (brandishing of a firearm), the defendant must know beforehand that a gun will be used. Rosemond , 134 S.Ct. at 1249. 7 The Supreme Court ruled that a defendant like Johnson, who actively participates in a crime, "has the intent needed to aid and abet a § 924(c) violation when he knows that one of his confederates will carry a gun." Id. The "defendant's knowledge of a firearm must be advance knowledge" because that "enables him to make the relevant legal (and indeed, moral) choice." Id. With advance knowledge, a defendant can try to persuade his confederates to alter the plan, or he can withdraw from it. Id. Becoming aware of the gun as the crime is unfolding is not enough: the defendant "may already have completed his acts of assistance; or even if not, he may at that *205 late point have no realistic opportunity to quit the crime." Id.
Here, the jury was instructed that "[t]he second element of aiding and abetting is that the defendant ... knew that the offense charged was going to be committed or was being committed by the principal." Supp. App. 1444 (emphasis added). Therefore, the jury could have convicted Johnson either on the basis that he knew the gun "was going to be" brandished, or that it "was being" brandished. See id. The second alternative-that Johnson was aware of the brandishing only as it occurred-is erroneous under Rosemond .
Johnson argues that the aiding and abetting instruction was also erroneous as applied to his bank robbery convictions. Although Johnson does not articulate his logic, we infer that it goes as follows. A § 924(c) violation consists of a predicate act (a crime of violence) and the use or carrying of a firearm. Similarly, a § 2113(d) violation consists of a predicate act (bank robbery) and the use of a dangerous weapon. Arguably, therefore, because the two statutes are similar in structure, the Rosemond advance knowledge requirement applies to § 2113(d) as well.
Stated this way, Johnson's reading of
Rosemond
has an appealing consistency. However, we need not decide whether
Rosemond
extends beyond § 924(c) because the plain-error standard is not met with regard to either the § 924(c) or § 2113(d) convictions. Although the first two factors-error that is plain,
see
Johnson
,
The overwhelming and uncontroverted evidence showing Johnson's foreknowledge of his confederates' use of the weapon begins with his first solo bank robbery. There, Johnson brandished what appeared to be a pistol (actually a BB gun), at one point putting it to the head of one of the tellers. Later, Johnson described the first bank robbery to Lawrence, who wanted to commit a bank robbery too, because he needed money. The two men planned and executed the second robbery together. As they were driving to the bank, Johnson gave Lawrence the same BB gun Johnson had used during the first robbery. When Lawrence entered the bank, he immediately pulled the gun from his pocket, jumped up on the bank counter, and demanded money.
Lawrence testified that he, Johnson, and Taylor planned the third robbery and that Taylor was to go in the bank, hop over the counter, and get the money while carrying a gun-this time, the real gun that Johnson had bought. The getaway driver also testified that the plan was for Taylor to use the gun. Taylor executed the robbery as planned. During the robbery, he pointed the gun at a teller's head.
The same group of individuals then planned the fourth robbery. The morning of the robbery, Johnson got his gun and brought it to where the friends met up. During the robbery, Taylor held the gun to a teller's head.
For the fifth robbery, Amin Dancy was to be the stickup man, so Johnson gave *206 him the gun. Dancy carried the gun into the bank, and during the robbery, he put the gun to a teller's ribs.
At trial, Johnson admitted the essential facts of the five bank robberies, but argued that he was not the ringleader and that the cooperating witnesses' testimony lacked credibility. He did not present any evidence that would contradict the ample evidence showing that he helped plan each robbery, that the plan for each robbery included using and brandishing a gun, and that he provided the gun for each robbery. We therefore conclude that the third required factor of the plain-error analysis is not present: even if the jury had been instructed that Johnson needed to know in advance that the gun would be brandished, there is not a reasonable probability that it would have acquitted Johnson of the aiding and abetting charges.
See
Vazquez
,
C. Johnson's Pro Se Arguments
The history of Johnson's representation on appeal is recounted above. See Section I., supra . To recap: Johnson was represented and lost his appeal; the Supreme Court granted his pro se petition for certiorari and issued its "grant, vacate, and remand" order; Johnson proceeded pro se with our permission and filed a brief; we appointed a new attorney to represent him; and the new attorney filed a brief as well. Thus, on remand from the Supreme Court, we have before us both pro se and counseled briefs.
The Government argues that we should not address the arguments in Johnson's pro se brief because they were not presented in his opening brief ( i.e. , the one filed before the Supreme Court remanded the case to us). The Government also argues that addressing Johnson's pro se arguments would violate our rule forbidding pro se filings by represented parties.
The rule against hybrid representation forbids a party to file a
pro se
brief supplementing his counseled brief.
United States v. Turner
,
The rule requiring appellants to raise all arguments in their opening briefs "yields in 'extraordinary circumstances.' "
United States v. Andrews
,
Given that Johnson requested to proceed
pro se
because of his prior counsel's failure to raise issues he believed meritorious, there is some excuse for the waiver under the first factor. Under the second factor, there is no prejudice to the Government because it filed a responsive brief addressing the
pro se
arguments it now says we should ignore. The third factor, miscarriage of justice, is "somewhat similar to the 'plain error' rule, which allows appellate courts to correct an error" if it "affected the defendant's substantial rights and 'seriously affect[ed] the fairness, integrity or public reputation of judicial proceedings.' "
Andrews
,
1. Double Jeopardy Under Diaz
Johnson argues that one of his convictions for brandishing a firearm under § 924(c) violates the Double Jeopardy clause under
United States v. Diaz
,
In
Diaz
, we held that the Double Jeopardy Clause requires each § 924(c) conviction to be tied to a separate predicate offense.
The first two prongs of the plain error standard are met: there is error that was plain, as the Government agrees. However, the third prong is not met-the error did not affect Johnson's substantial rights.
See
Marcus
,
Even if the first three prongs of the plain error test were met, we would not
*208
exercise our discretion to reverse because the error does not affect the fairness and integrity of the proceedings.
See
Marcus
,
2. FBI Agent's Alleged Perjury
Johnson argues that the only witness at the suppression hearing, FBI Agent Donald Asper, committed perjury, and asks us to remand for an evidentiary hearing on this topic. We have carefully reviewed Johnson's lengthy argument, as well as Agent Asper's testimony, and there is no need for an evidentiary hearing.
Agent Asper testified that a witness to one of the robberies observed the license plate number of the getaway car, a silver Buick. The getaway car was registered to a man named William Childs, whom Agent Asper found and interviewed. Childs provided Asper with an abundance of information. Among other things: Childs told Agent Asper that Johnson bought the Buick and asked Childs to register it in Childs' name; he identified photos of Taylor, Lawrence, and Johnson; and he said that Taylor, Lawrence, and Johnson had been involved in bank robberies and had told Childs to take the heat for the car. Agent Asper then set up surveillance to find Lawrence. The surveillance was doubly successful, locating not only Lawrence, but also Johnson, who was in the silver Buick at the time. Agents arrested both men. A few hours later-unrelated to the arrest-a witness to one of the robberies identified Johnson in a photo array.
Johnson contends there was no probable cause to arrest him, but instead of a traditional Fourth Amendment argument, he attacks Agent Asper's honesty on the witness stand. In doing so, Johnson ignores every fact except that the photo identification took place after his arrest. The judge's ruling at the evidentiary hearing puts this issue to rest:
Mr. Johnson, I say some of this for your benefit, sir, because I can appreciate your thinking, honestly, because you're thinking, you know, but they didn't have the ID until later.... And I think here with the ... getaway car, Mr. Johnson's connection to that car, ownership of the car, Mr. Childs' report to the Special Agent as to Mr. Johnson's comments, ... Mr. Childs picking out Mr. Johnson ..., Mr. Johnson being in the car when they go to arrest Mr. Lawrence, and then Mr. Johnson getting out of the car and together they go into the house, I think when you put all of that together ... I do think that there is ample probable cause for the arrest of Mr. Johnson ... before the ID....
Supp. App. 44-45. Johnson's self-serving version of the facts does not undermine Agent Asper's testimony. That testimony, which we have only partially recounted, outlines how the investigation unfolded and why the agents had probable cause to arrest Johnson.
3. Tenth Amendment
Johnson argues that "if a search warrant was required then the 10th Amendment requires the Department of Justice to obtain subject matter jurisdiction because the administration of criminal justice under our federal system has rested with the States."
Pro Se
Supp. Br. 26. However, Johnson cites only Fourth Amendment case law, and cites no authorities to support his reading of the Tenth Amendment. We note that "[t]he FBI is authorized 'to detect and prosecute crimes against the United States.' "
United States v. Rodgers
,
*209 4. Sufficiency Of Aiding And Abetting Evidence
Johnson argues that the trial evidence was insufficient to support his aiding and abetting convictions. However, we determined-in the initial phase of this appeal, before the Supreme Court's "grant, vacate, and remand" order-that the evidence was sufficient.
Johnson
,
There are no extraordinary circumstances. We have already explained, in our discussion of
Rosemond
, that overwhelming and uncontroverted evidence showed Johnson's prior knowledge that the gun would be used in the bank robberies.
See
Section III.B.2.,
supra
. Viewed in the light most favorable to the Government, that same evidence permitted a rational trier of fact to convict Johnson of aiding and abetting.
See
United States v. Caraballo-Rodriguez
,
5. Effect On Interstate Commerce
Johnson argues that the indictment needed to allege, and the jury needed to find, that his crimes affected interstate commerce. He relies on
Bond v. United States
,
6. Motion In Limine
Johnson argues that the District Court violated his constitutional rights by granting a motion in limine that would have allowed the Government to rebut Johnson's testimony (if he had testified) with evidence of his statements to investigators. Johnson clearly feels that this ruling constrained his defense. However, the authorities he cites do not show error. For example,
Sullivan v. Louisiana
,
*210 7. "Interlocking" Errors
Johnson argues that the District Court committed five interlocking, reversible errors. We address these in turn.
First, Johnson argues that he was prevented from testifying because he feared for his family and was assaulted in pretrial detention. However, the facts he relies on either are outside the record or constitute a continuation of his self-serving (and unsupported) version of events.
Second, Johnson argues that the District Court should have severed the first, second, and fifth robberies and tried each one individually. Joinder was appropriate, however, because the five bank robberies were a "series of acts or transactions." Fed. R. Crim. P. 8(b) ;
see
United States v. Irizarry
,
Third, Johnson attacks the testimony of FBI agents and a cooperating witness. Johnson declares that Agent Shute relied on inaccurate data when testifying about cell site analysis, but he never hints at what the inaccuracies were. He argues that Agent Banis, who presented call detail records, had no independent evidence that Johnson's cell phone number was really his. However, Agent Banis testified that Lawrence and Johnson's sister identified the number as Johnson's. Finally, Johnson argues that Lawrence offered improper expert testimony about the meaning of a phone call between Johnson and Amin Dancy. Such testimony offered by a cooperating witness is lay opinion testimony, not expert testimony.
See
United States v. Anderskow
,
Fourth, Johnson argues that certain evidence-video, pictures, and bank teller testimony - was cumulative and should not have been admitted under Federal Rule of Evidence 403. However, evidence about what took place inside the banks does not fail the Rule 403 balancing test merely because Johnson was the lookout, while his confederates-not Johnson himself-went into the banks. Nor is it needlessly cumulative to present evidence of the predicate crimes that Johnson conspired to commit and then aided and abetted.
Fifth, Johnson argues that the cumulative weight of the errors rendered his trial unfair. This argument fails because his other assignments of error fail.
III.
For the reasons stated above, we will affirm.
The District Court had jurisdiction under
We have sometimes referred to this second type of error as "trial and sentencing" error, reflecting the fact that two "inextricably intertwined" errors occurred-at trial (failing to charge the jury with a required element) and at sentencing (imposing a sentence based on an element not found by the jury).
Vazquez
,
The Supreme Court's coincidentally-captioned 1997 Johnson decision did not involve the defendant in this case.
The Supreme Court's 2015 Johnson decision is another coincidentally-captioned case that did not involve the defendant in this case.
The mandate was issued once in error, but recalled because Johnson had filed a timely petition for rehearing. It was later issued again, but was once again recalled in light of the Supreme Court's order granting certiorari, vacating, and remanding.
The Government cites cases ruling that issues outside the scope of a "grant, vacate, and remand" order cannot be addressed. Only one appears to involve arguments based on cases issued during the pendency of the appeal.
See
United States v. Duarte-Juarez
,
Section 924(c) penalizes using or carrying, brandishing, or discharging a gun in relation to either a "crime of violence" or a "drug trafficking crime."
If we were to reach the fourth plain-error factor, we would not exercise our discretion to remedy the error. Where the jury is not instructed on an element of a crime, but the evidence of that element is overwhelming and uncontroverted, the error does not "seriously affect[ ] the fairness, integrity or public reputation" of the proceedings.
Vazquez
,
According to the Government, none of Johnson's pro se arguments were raised at trial, which means the plain error standard applies. We will address the standard of review as follows. For the double jeopardy argument, which is colorable, we will explicitly apply the plain-error test. For the remaining pro se arguments, we will simply explain why each asserted error was not an error at all-and, thus, why the argument fails, regardless of the standard of review.
Reference
- Full Case Name
- UNITED STATES of America v. Dominique JOHNSON, Appellant
- Cited By
- 54 cases
- Status
- Published