Federal Circuits, Fifth Circuit (February 04, 1980)
Docket number: 78-5748
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U.S. Code - Title 18: Crimes and Criminal Procedure - 18 USC 2 - Sec. 2. Principals
US Code - Title 21: Food and Drugs - 21 USC 846 - Sec. 846. Attempt and conspiracy
US Code - Title 21: Food and Drugs - 21 USC 841 - Sec. 841. Prohibited acts A
U.S. Supreme Court - Rakas v. Illinois, 439 U.S. 128 (1978)
U.S. Supreme Court - United States v. Agurs, 427 U.S. 97 (1976)
U.S. Court of Appeals for the Fifth Circuit - USA vs. Pacheco-Maldonado (5th Cir. 1996)
U.S. Court of Appeals for the Fourth Circuit - Diaz v. Moore (4th Cir. 1998)
U.S. Court of Appeals for the Eighth Circuit - United States of America, Appellee, v. Colin Brooks Anderson, A/K/a Colin Taylor, Appellant. United States of America, Appellee, v. Kathryn Anderson, A/K/a Kathy A. Alfonsi, and Kathy'S Kranes and Construction Co., Inc., Appellants. United States of America, Appellee, v. Larry Vincent Nurre, Appellant. United States of America, Appellee, v. Richard Carl Lundin, Appellant. United States of America, Appellee, v. Lundin Construction Co., Inc., A/K/a Lundin Construction, Appellant. United States of America, Appellee, v. Donald Richard Showalter, Appellant., 879 F.2d 369 (8th Cir. 1989) Appellee, v. Colin Brooks Anderson, A/K/a Colin Taylor, Appellant. United States of America, Appellee, v. Kathryn Anderson, A/K/a Kathy A. Alfonsi, and Kathy'S Kranes and Construction Co., Inc., Appellants. United States of America, Appellee, v. Larry Vincent Nurre, Appellant. United States of America, Appellee, v. Richard Carl Lundin, Appellant. United States of America, Appellee, v. Lundin Construction Co., Inc., A/K/a Lundin Construction, Appellant. United States of America, Appellee, v. Donald Richard Showalter, Appellant.
Walter E. Gwinn, Miami, Fla., for Palenzuela.
Michael J. Osman, Miami, Fla., for Morejon-Pacheco.Robert A. Spiegel, Coral Gables, Fla., Richard J. Essen, Miami, Fla., for Aguiar.Bruce A. Zimet, Asst. U. S. Atty., Miami, Fla., for plaintiff-appellee.Appeals from the United States District Court For the Southern District of Florida.Before AINSWORTH, VANCE and ANDERSON, Circuit Judges.VANCE, Circuit Judge:These appeals arise out of a federal prosecution of Jorge Palenzuela, Virgen Palenzuela, Luis Aguiar, Julio Morejon-Pacheco and others1 for offenses relating to their alleged involvement in the illegal trafficking of cocaine. After a jury trial in federal district court, Aguiar, Morejon and Jorge Palenzuela were convicted of conspiracy to distribute cocaine, 21 U.S.C. 846. Aguiar and Morejon were also convicted for distributing cocaine, Id. § 841(a)(1) and 18 U.S.C. 2. Morejon additionally was convicted of possession with intent to distribute cocaine, 21 U.S.C. 841(a)(1),2 and of the knowing use of a communications facility in the commission of a narcotic-related felony, Id. § 843(b). The case of Virgen Palenzuela, charged with conspiracy to distribute cocaine and with possession with the intent to distribute cocaine, Id. §§ 841(a)(1), 846, was severed from that of her co-defendants. Her appeal is from the denial of her motion for dismissal on double jeopardy grounds. For reasons stated below, the challenges to the trial judge's rulings are for the most part without merit. We reverse, however, the district court's decision denying Jorge Palenzuela's motion for acquittal based on the insufficiency of the evidence to sustain his conspiracy conviction.I. FactsIn early April 1977, Agent Norman Jezzeny of the Nevada district of the Drug Enforcement Administration and Agent Jorge Fonte of the State of Nevada Division of Investigation of Narcotics began an investigation into drug trafficking in Las Vegas, Nevada. Acting in their undercover capacity, they contacted Jose Aleman in Las Vegas, introducing themselves as "men in the drug business," and subsequently expressed their interest in a drug deal. Aleman mentioned that he knew a man in Key West, Florida, that might be able to help them, and that he might arrange a meeting with this man.Fonte and Jezzeny flew to Florida on April 26, 1977, to meet Luis Aguiar, the person introduced by Aleman. They met the next day in Key West. Because Jezzeny does not speak Spanish, Fonte translated the conversation, as he continued to do on subsequent occasions. The agents asked Aguiar about the availability of a regular supply of significant quantities of cocaine. Aguiar had none, but promised to look into some contacts for the agents. Nothing else came of this meeting, and the agents returned to Las Vegas.They returned to Miami in June and July to meet with Aguiar. The three agreed that, if an initial transaction for cocaine culminated successfully, the agents would begin purchasing a regular monthly supply of cocaine. Apparently realizing that alone he could not provide the agents the amounts of cocaine sought, Aguiar began seeking alternative sources of the illicit drug.3 At their July 15 meeting, therefore, Aguiar introduced the agents to Rene Benitez, and Aguiar told Benitez of his difficulties in procuring cocaine for the agents and asked Benitez for assistance. Benitez, in turn, brought the agents and Aguiar to Julio Morejon-Pacheco. Morejon showed Fonte and Jezzeny samples of various lots of cocaine and attempted to secure the ten kilograms of cocaine they sought. The agents, Morejon and Benitez held further discussions in subsequent days to settle the price ($380,000) and mode of exchange.Morejon, with Benitez and the agents present, made several telephone calls on July 17, 1977, to set up the cocaine transaction. In two of these calls, Morejon spoke with individuals whom he addressed as "Mami" and "Pepi."4 After these calls, they discussed a $25,000 deposit to hold the ten kilograms of cocaine until the next day. Saying that Aguiar wanted this transaction to go through, Benitez offered to guarantee the $25,000 deposit.After a number of changes in the plans for the transaction, Benitez and Morejon told Jezzeny on the day of the transaction, July 18, that they had two safe houses. Morejon and Jezzeny would go to one house to view and inspect the cocaine, while Benitez and Fonte proceeded to the second safe house, where another man would help count the purchase money brought by Fonte. When all parties were satisfied, Fonte was to leave the money at the counting house, and Jezzeny would take the cocaine with him from the other safe house.Jezzeny went with Morejon to the home of Jorge and Virgen Palenzuela (husband and wife). Jorge was not at home.5 Virgen took the men to the bedroom, where she produced and displayed five and onehalf (of the ten) kilograms of cocaine to Jezzeny. He weighed the cocaine on a triple-beam scale that was on Mrs. Palenzuela's dresser and performed several field tests. She then offered to give Jezzeny an extra pound of cocaine, which she obtained from a drawer in her bathroom, if he was dissatisfied with the quality of the ten kilograms.6 The three then waited for the call from the second safe house. On the way to the "counting" house, the location of which was unknown to Fonte, Fonte mistakenly arrested Benitez, searched him and removed a piece of paper with an address written on it. Fonte proceeded to the address and knocked on the door. Mrs. Ortega, who is Mrs. Palenzuela's mother and the house's owner, opened the door.A few moments earlier, Jorge Palenzuela had called Morejon. They spoke in Spanish, and Morejon then reported to the others that they were "not there yet" (referring to Benitez and Fonte). The telephone conversation between Morejon and Jorge resumed until Jorge said "They're here," handed the telephone to Fonte and left the room. Fonte then told Morejon that the deal was off and to meet him with Jezzeny at a certain location.7 Morejon told the others that something was wrong.On hearing this news, Mrs. Palenzuela picked up the box containing the five and one-half kilograms of cocaine, and told Jezzeny that "I'm going to give it back to the people who own it. They have to take it someplace where it's safe." She took the box to the front of the house and gave it to Mrs. Torres, who left the house. The bonus pound remained in the house.Shortly thereafter, Jezzeny and Morejon arrived at the designated location and met Fonte. Morejon was then arrested. Jezzeny, Fonte, other DEA agents and several uniformed police officers in six or seven police cars proceeded to the Palenzuela home. When they arrived, approximately twenty-five minutes after Jezzeny and Morejon had left, the police and agents found the Palenzuelas outside. Mr. Palenzuela was playing with the children, and Mrs. Palenzuela was talking with neighbors and Luis Triana. They immediately arrested Mr. and Mrs. Palenzuela and Mr. Triana. None of the defendants or neighbors offered any resistance nor were any of them armed. The agents next, without consent, entered the house and conducted a search of the premises that lasted about twenty minutes. The agents took the defendants through each room as they searched it. They found the pound of cocaine and $26,000 in the bathroom adjoining the bedroom. The arrests and search were both warrantless.The trial of Virgen Palenzuela, Jorge Palenzuela, Aguiar, Benitez, Morejon, Gonzalez and Basilia commenced on September 25, 1978, before a jury in the Southern District of Florida. Following the completion of the government's case, Virgen Palenzuela informed the court that she had elected to testify. Some of her co-defendants moved for a mistrial or severance of their cases. She was cross-examined by government counsel and by counsel for Morejon.8 At the completion of her testimony, her counsel informed the court of his intent to comment during closing argument on Morejon's failure to testify. All defendants, except Virgen, renewed the motions for a mistrial or severance.The court, however, severed the trial of Mrs. Palenzuela and proceeded with the trial against the remaining defendants. Mrs. Palenzuela did not object, although she had not moved for the severance. The remaining defendants were convicted by the jury.II. Severance of Virgen Palenzuela and Double Jeopardy BarOn appeal Virgen Palenzuela argues that the trial court improperly denied her motion to dismiss the indictment. She contends that she was wrongly severed from the trial of her six co-defendants and that a retrial would violate her constitutional protection against double jeopardy. We disagree.Once jeopardy attaches, as it did for Virgen Palenzuela when the jury was sworn to try this case, Illinois v. Somerville, 410 U.S. 458, 467-68, 93 S.Ct. 1066, 35 L.Ed.2d 425 (1973), a criminal defendant normally will not lose the opportunity to seek a favorable verdict from the jury and will not be required to stand trial a second time, Arizona v. Washington, 434 U.S. 497, 503, 504, 98 S.Ct. 824, 829-30, 54 L.Ed.2d 717 (1978); Wade v. Hunter, 336 U.S. 684, 688-90, 69 S.Ct. 834, 93 L.Ed. 974 (1949). An exception to this rule is made if the defendant consents to a retrial, United States v. Kessler, 530 F.2d 1246, 1255 (5th Cir. 1976) or if a retrial before a new jury is mandated by some form of manifest necessity, United States v. Kin Ping Cheung, 485 F.2d 689, 690-91 (5th Cir. 1973). E. g., Wade v. Hunter, 336 U.S. at 690-92, 69 S.Ct. 834 (witness temporarily unavailable during war); Simmons v. United States, 142 U.S. 148, 12 S.Ct. 171, 35 L.Ed. 968 (1891) (juror prejudice); United States v. Alford, 516 F.2d 941, 947-49 (5th Cir. 1975) (mere convenience not enough).In De Luna v. United States, 308 F.2d 140 (5th Cir. 1962), we held that the fifth amendment requires severance if a defendant exercises his privilege against self-incrimination and a co-defendant's attorney will make prejudicial comments about his privileged silence. Id. at 154. All parties to this action agree that Virgen's decision to testify and her attorney's proper decision to draw the jury's attention to her co-defendants' silence would penalize the fifth amendment privilege of her co-defendants and would create the sort of incompatibility between their defenses that under De Luna requires a severance. We believe that severance, and hence retrial, of Virgen's case was justified by the manifest necessity of protecting the fifth amendment rights of the other defendants under De Luna and did not violate the double jeopardy protection of Virgen.The parties disagree, however, as to Who should have been severed. Contrary to Virgen's assertion, De Luna does not provide a rigid answer to this question. In light of the principles of Arizona v. Washington, once a severance is found to be warranted by manifest necessity, the trial court has sound discretion over who is to be retained and who is to be severed. See 434 U.S. at 506, 98 S.Ct. at 830 n. 18, 832-34 (1978).The trial court did not abuse its discretion in ordering Virgen's retrial. Cf. United States v. Alford, 516 F.2d at 947-49 (improperly considering convenience); United States v. Kin Ping Cheung, 485 F.2d at 691-92 (must consider alternatives to mistrial and must not facilitate the potential for prosecutorial misconduct). The fact that Virgen was the only defendant not seeking a severance, although she did not object to the severance, is simply one of many factors that properly entered the district court's decision. That fact is not, however, dispositive. In light of the district court's thoughtful and scrupulous consideration, we affirm the decision to sever Virgen and to order her retrial. See Arizona v. Washington, 434 U.S. at 514-516, 98 S.Ct. at 835-36.III. Nonseverance of Jorge PalenzuelaAs previously noted, severance was necessary below. Aguiar and Morejon argue, however, that the trial court's severance of Virgen Palenzuela alone was error because Jorge remained a defendant in their case and Jorge's lawyer, who represented both Palenzuelas, retained a duty to comment on Morejon's failure to testify. This argument fails because it rests on the fallacious theory that Jorge's defense, like his wife's, was antagonistic to the defenses of Aguiar and Morejon.A trial court has a duty to sever the trials of co-defendants with mutually antagonistic defenses to preserve their rights to a fair trial. De Luna resists the situation in which one defendant's counsel properly wishes to contrast his client's testimony with the silence of a co-defendant, who does not want to have his fifth amendment right not to testify abridged.There is no antagonism between the defenses of Jorge and of his co-defendants. Jorge's defense built primarily on his wife's testimony, See note 8 Supra is that he did not participate in the cocaine deal and that he was incensed by and expressly repudiated his wife's activities and her decision to allow the transaction to take place at their home. That defense of ignorance and then anger differs markedly from his wife's defense that she had some idea of what was going on and that she had agreed to do a favor for Morejon. Thus Jorge and Virgen were not alter egos each to the other. Although Virgen's defense is antagonistic to that of Morejon and Aguiar, Jorge's defense cannot be similarly characterized. No evidence in the record supports the contention of Morejon and Aguiar that their defenses were antagonistic to Jorge's defense.The trial court's decision concerning severance is discretionary, absent a showing of unfairness resulting from the presence of mutually antagonistic defenses, which Morejon and Aguiar have not established. A decision not to sever will not be disturbed, unless the trial court abused its discretion or some prejudice resulted from trying the defendants together. United States v. Swanson, 572 F.2d 523, 528 (5th Cir.), Cert. denied,Try vLex for FREE for 3 days
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