Federal Circuits, 1st Cir. (January 21, 1994)
Docket number: 92-1849.01A
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U.S. Code - Title 18: Crimes and Criminal Procedure - 18 USC 924 - Sec. 924. Penalties
US Code - Title 21: Food and Drugs - 21 USC 844 - Sec. 844. Penalties for simple possession
US Code - Title 21: Food and Drugs - 21 USC 841 - Sec. 841. Prohibited acts A
U.S. Supreme Court - Beck v. Ohio, 379 U.S. 89 (1964)
United States Court of AppealsFor the First CircuitNo. 92-1849UNITED STATES,Appellee,v.CATALINO TORRES-MALDONADOAND MARILYN GOTAY-COLON,Defendants, Appellants,No. 92-1850UNITED STATES,Appellee,v.HECTOR SANTIAGO-ALICEA,Defendant, Appellant,No. 92-1851UNITED STATES,Appellee,v.TEDDY LEON AYALA,Defendant, Appellant,No. 92-1852UNITED STATES,Appellee,v.OSCAR DIAZ CRUZ,Defendant, Appellant.APPEALS FROM THE UNITED STATES DISTRICT COURTFOR THE DISTRICT OF PUERTO RICO[Hon. Raymond L. Acosta, U.S. District Judge]Before Stahl, Circuit Judge, Coffin, Senior Circuit Judge, and DiClerico,* District Judge. Jose A. Fuentes Agostini with whom Dominguez & Totti was on brief for appellant Torres-Maldonada and Gotay-Colon.Ramon Garcia Garcia on brief for appellant Santiago-Alicea.Carlos R. Noriega on brief for appellant Ayala.Harry R. Segarra on brief for appellant Diaz Cruz.Kathleen A. Felton, with whom Charles E. Fitzwilliam, United States Attorney, Warren Vazquez, Assistant United States Attorney, and Nina Goodman, Department of Justice, were on brief for appellee. January 20, 1994 *Of the District of New Hampshire, sitting by designation. STAHL, Circuit Judge. Defendants-appellants challenge various aspects of their drug and firearms convictions, arguing, inter alia, that insufficient evidence supports their convictions, and that their motions for severance and for suppression of evidence were improperly denied. We reverse the firearms convictions of two defendants and affirm all other convictions. I. FACTUAL BACKGROUND AND PRIOR PROCEEDINGS For purposes of defendants' challenges to the sufficiency of the evidence, we begin by reciting the facts in the light most favorable to the government. United States v. Mena-Robles, 4 F.3d 1026, 1029 (1st Cir. 1993). Spanning a two-week period in late February and early March of 1991, a group of individuals, including defendants, occupied Rooms 310, 311 and 327 of the Carib Inn Hotel in Isla Verde, Puerto Rico. Two of the rooms were registered to false names. Soon, the activities of the occupants of all three rooms attracted the attention of hotel employees. The hotel's chief of security observed "continual" visits to occupants of all three rooms made by young people who often drove luxury cars and stayed for periods of about ten minutes. In a hotel of 225 guest rooms, the group in the three rooms received 90% of all phone calls made to the hotel. Moreover, the group paid their hotel bills in cash, using bundles of small denominations wrapped in rubber bands. On a few occasions, the occupants paid for all three of the rooms together in amounts totaling approximately $300 to $400. In addition, a "floor supervisor" in charge of maid service on defendants' floor at the hotel saw the occupants of all three rooms passing frequently among the three rooms. On March 6, 1991, the same floor supervisor observed two revolvers on top of a bureau in Room 327. She informed both the hotel's chief of security and local police, who, in turn, contacted agents of the United States Bureau of Alcohol, Tobacco and Firearms (ATF). Later that day, ATF agents and local police officers began surveillance at the Carib Inn Hotel. At approximately 11:00 p.m. on March 6, 1991 the surveilling agents observed defendants Hector Santiago-Alicea (Santiago-Alicea), Teddy Leon Ayala (Leon), Oscar Diaz Cruz (Diaz) and Frankie Nieves-Burgos (Nieves-Burgos)1 with an unidentified man in the hotel lobby. Santiago-Alicea was wearing a bulletproof jacket, and the agents noticed a bulge under the jacket which appeared to be a gun. The group proceeded from the lobby to the hotel parking lot where the 1. Nieves-Burgos, convicted below, is not a party to this appeal. unidentified individual, after opening the trunk of a car, opened a plastic bag inside the trunk and counted unidentified items inside the bag. He handed the bag to Santiago-Alicea, who then showed the contents to Leon, who gave a facial sign of approval and an affirmative nod of his head. Later that evening, a second unidentified man arrived at the hotel, made a call on the hotel's "house phone," and was met shortly thereafter in the lobby by Nieves-Burgos and another defendant, Pedro Luis Ramirez- Rivera (Ramirez-Rivera).2 After a brief conversation, Nieves-Burgos and Ramirez-Rivera went back upstairs. Shortly thereafter they reappeared with Santiago-Alicea, who then exchanged packages with the unidentified man. On March 7, 1991, the following day, Santiago- Alicea was observed waiting in the hotel parking lot, looking in all directions. A car pulled up to him and, after a brief conversation, Santiago-Alicea handed a small paper bag to its driver, received money in exchange, counted the money, put it in his pocket and returned to the hotel. On the basis of the foregoing events, ATF and local law enforcement officials obtained a search warrant for the three hotel rooms. On that same afternoon of March 7, 1991, 2. Ramirez-Rivera, convicted below, is not a party to this appeal. they executed the warrant. Upon entering Room 311, they found defendant Catalino Torres-Maldonado (Torres-Maldonado) seated on the floor talking on the phone, and his wife, defendant Marilyn Gotay-Colon (Gotay-Colon), seated on the sofa. Nieves-Burgos and Ramirez-Rivera were stretched out on separate beds in the room, clad only in underpants. Santiago-Alicea was seated on the end of one of the beds. Upon searching the room, the agents found that Gotay-Colon's purse contained cocaine in a plastic bag which was marked with a picture of a unicorn. Her purse also held approximately $400 in cash in a bundle secured by a rubber band. In a zippered, opaque tote bag on the sofa on which Gotay-Colon was seated, the agents found $2000 in cash in a bundle, again secured by a rubber band, and a loaded semiautomatic pistol. On a night table in the room, the agents found a plastic bag containing cocaine, approximately $1500 in cash, brown paper bags, and a homemade pipe used for smoking drugs. In the room's closet was the bulletproof jacket seen on Santiago-Alicea the night before. Under the bed, the agents found empty plastic bags labeled with a picture of a unicorn, along with plastic straw-and-spoon type implements typical of the sort used to cut and package drugs for re-sale. The agents also found razor blades, ordinary playing cards, and a stapler, all of which can be used to package drugs. They also found beepers and cellular telephones. Finally, the agents discovered keys to a gray Buick, which would later be searched by the agents. Rooms 310 and 327, though unoccupied at the time of the search, also contained drugs and drug-related items. Room 310 contained fifty-five packets of cocaine, again marked with a unicorn, which were found in a brown paper bag hidden in a roll-away bed or sofabed. There was also a small amount of narcotics in an ashtray and a pipe used for smoking drugs. The search of Room 327 turned up a pillowcase hidden above a "dropped ceiling" in the bathroom. It contained sixteen brown paper bags, each of which, in turn, held 100 small packets marked with the unicorn symbol and filled with cocaine. Under a sofa, the agents found a bullet that fit the semiautomatic pistol found in Room 311. Later that day, Leon and Diaz, who had been present for one of the transactions the night before, but who had not been present during the search of Room 311, arrived at the hotel. Leon exclaimed, "Oh, my god, they busted my people."3 The agents asked Leon and Diaz if they knew the occupants of Room 311. They replied in the affirmative. 3. The parties agree that the exclamation was in Spanish, not English. One report stated that the exclamation was more closely translated as "They busted the people." Nonetheless, the officer who allegedly heard the remark testified at trial that the exclamation was, "Oh, my god, they busted my people." Leon was carrying over $6700 in cash and a key to Room 310. Diaz had over $1400 in cash anda hotel receipt for Room 327. The agents subsequently searched two cars in the hotel parking lot. In the first car, a green Ford LTD, they found a loaded .357 six-shot revolver, along with a photograph of Nieves-Burgos and a parking receipt with Nieves-Burgos' fingerprint on it. The second car searched was the gray Buick, keys to which had been found in the search of Room 311. In the Buick, the agents found a loaded nine millimeter pistol, with additional ammunition and one "spent" or fired bullet cartridge. Though the Buick was not registered in Santiago-Alicea's name, the registration to the car was found in Santiago-Alicea's wallet. Defendants were tried together. Torres-Maldonado, Gotay-Colon, Santiago-Alicea, Leon, and Diaz were all convicted of conspiring to possess cocaine with intent to distribute, and of possession of cocaine with intent to distribute. See 21 U.S.C. 841(a)(1), 846.4 Gotay-Colon was also convicted of possession of cocaine based on the 4. Section 841(a)(1) states in relevant part that "it shall be unlawful for any person knowingly or intentionally . . . to manufacture, distribute, or dispense, or possess with intent to manufacture, distribute, or dispense, a controlled substance." Section 846 states, "Any person who attempts or conspires to commit any offense defined in this subchapter shall be subject to the same penalties as those prescribed for the offense, the commission of which was the object of the attempt or conspiracy." amount found in her purse. See 21 U.S.C. 844(a).5 In addition, Torres-Maldonado, Gotay-Colon and Santiago-Alicea were convicted of using a firearm during and in relation to a drug offense. See 18 U.S.C. 924(c)(1).6 Defendants raise various grounds for appeal. We address them in turn. II. DISCUSSION A. Sufficiency of the Evidence 1. Standard of Review In reviewing challenges to the sufficiency of the evidence, "[o]ur task is to review the record to determine whether the evidence and reasonable inferences therefrom, taken as a whole and in the light most favorable to the prosecution, would allow a rational jury to determine beyond a reasonable doubt that the defendants were guilty as charged." Mena-Robles, 4 F.3d at 1031. Moreover, "`[w]e do 5. Section 844(a) states, in relevant part, "It shall be unlawful for any person knowingly or intentionally to possess a controlled substance . . . ." 6. Section 924(c)(1) provides, in relevant part: Whoever, during and in relation to any crime of violence or drug trafficking crime (including a crime of violence or drug trafficking crime which provides for an enhanced punishment if committed by the use of a deadly or dangerous weapon or device) for which he may be prosecuted in a court of the United States, uses or carries a firearm, shall, in addition to the punishment provided for such crime of violence or drug trafficking crime, be sentenced to imprisonment for five years . . . . not weigh witness credibility, but resolve all credibility issues in favor of the verdict. The evidence may be entirely circumstantial and need not exclude every reasonable hypothesis of innocence; that is, the factfinder may decide among reasonable interpretations of the evidence." United States v. Cassiere, 4 F.3d 1006, 1011 (1st Cir. 1993) (quoting United States v. Batista-Polanco, 927 F.2d 14, 17 (1st Cir. 1991)). 2. Conspiracy and Possession with Intent to Distribute Torres-Maldonado and Gotay-Colon claim that the evidence at trial showed no more than their "mere presence" at the hotel. We have recently stated that "the culpability of a defendant's presence hinges upon whether the circumstances fairly imply participatory involvement. In other words, a defendant's `mere presence' argument will fail in situations where the `mere' is lacking." United States v. Echeverri, 982 F.2d 675, 678 (1st Cir. 1993). While the government's evidence against Torres-Maldonado and Gotay- Colon is less abundant than its evidence against several other defendants, it is nonetheless sufficient to support a finding of guilt beyond a reasonable doubt as to the conspiracy and possession counts. Hotel personnel testified that both Torres- Maldonado and Gotay-Colon were associated with the group that occupied Rooms 310, 311 and 327. A front desk supervisor identified Torres-Maldonado as a member of the group who had been present when cash payments were made for the three rooms, and the floor supervisor mentioned above testified that she observed Gotay-Colon passing between the three rooms. She recalled a specific instance when Gotay-Colon went to Room 327 with Santiago-Alicea. In addition, drugs and drug paraphernalia were lying in open view in Room 311 at the time of Torres- Maldonado's and Gotay-Colon's arrest. Torres-Maldonado was talking on the phone when the agents entered, allowing an inference that he and Gotay-Colon were more than mere visitors. The cocaine found in Gotay-Colon's purse, which was packaged in a bag bearing the unicorn symbol, further supports that inference. Finally, the bundle of cash, secured characteristically with a rubber band, provides further evidence linking the couple to the group in the hotel and to drug-related activity. In sum, there is sufficient record evidence from which a reasonable jury could conclude beyond a reasonable doubt that Torres-Maldonado and Gotay- Colon were guilty of both conspiracy and possession with intent to distribute the drugs found at the hotel, and that, on the basis of the drugs found in her purse, Gotay-Colon was guilty of simple possession. Even more compelling evidence, both direct and circumstantial, supports the conspiracy and possession convictions of the other defendants in this case. For example, a jury could reasonably infer that Leon, Diaz, and Santiago-Alicea were observed by ATF agents making the very drug transactions which serve as the basis for their conspiracy and possession convictions. Therefore, we conclude that sufficient evidence supports those convictions. 3. The Firearms Convictions Santiago-Alicea, Torres-Maldonado and Gotay-Colon also challenge the sufficiency of the evidence supporting their convictions under 18 U.S.C. 924(c)(1) for using a firearm during and in relation to a drug offense. a. Santiago-Alicea Santiago-Alicea was observed wearing a bullet-proof vest with a protruding bulge beneath it. So clad, he engaged in what appeared to be a drug deal in the parking lot of the Hotel Carib Inn. Using the same standard of review recited above, we conclude that a reasonable jury could have found beyond a reasonable doubt that the bulge was one of the guns found in the drug raid, and that Santiago-Alicea was "using" the gun, as that term is used in section 924(c)(1), during and in relation to a drug offense. Accordingly, we affirm his conviction. b. Torres-Maldonado and Gotay-Colon While there are several possible grounds upon which section 924(c)(1) liability may rest, the evidence against Torres-Maldonado and Gotay-Colon is insufficient to support a section 924(c)(1) conviction under any applicable theory. (1) Pinkerton Liability We begin by noting that, although members of a conspiracy may be held liable for substantive crimes committed by a coconspirator in furtherance of the conspiracy, see, e.g., Pinkerton v. United States, 328 U.S. 640, 646-47 (1946); United States v. Barker Steel Co., 985 F.2d 1123, 1128-29 (1st Cir. 1993), the jury in this case was not so instructed.7 On appeal, we will not infer either that the jury found guilt based on a theory upon which it was not instructed, or that the jury would have found guilt had it been given a Pinkerton instruction. See United States v. Labat, 905 F.2d 18, 23 (2d Cir. 1990) (citing Nye & Nissen v. United States, 336 U.S. 613, 618 (1949)); United States v. Raffone, 693 F.2d 1343, 1346 (11th Cir. 1982) (similar), cert. denied,
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