JOSEPH F. BIANCO, District Judge:
In July 2008, a federal jury found Steven Meszaros (hereinafter, "Meszaros") guilty of wire fraud and conspiracy to commit wire fraud. On April 22, 2009, this Court sentenced Meszaros to a prison term of 151 months. Meszaros, who remains incarcerated, moved pursuant to 28 U.S.C. § 2255 to vacate, correct, or set aside his sentence. This Court ordered an evidentiary hearing on the limited issue of whether Meszaros received effective assistance of counsel as to advice he was given by his trial attorneys, Stephen Scaring (hereinafter, "Scaring") and Matthew Brissenden (hereinafter, "Brissenden"), with respect to plea offers made by the government. The evidentiary hearing took place over two days on February 22 and March 14, 2016.
For the reasons stated below, Meszaros's Section 2255 petition is denied in its entirety. In particular, Meszaros claimed the following in his Section 2255 petition: (1) he was under the mistaken belief throughout from his attorneys that his maximum statutory sentencing exposure was 60 months in jail (see Meszaros Mot. to Vacate ¶ 21, ECF No. 1 (14-cv-1076)
Having conducted an evidentiary hearing, including an assessment of the credibility of the witnesses, the Court makes several findings with respect to Meszaros's claims. First, the Court finds that the following sworn statements by Meszaros are false: (1) that he believed throughout the case, until sentencing, that his maximum statutory exposure was five years; (2) that a potential 51- to 63-month plea offer made in connection with the Superseding Indictment was not communicated to him; and (3) that the government's Guidelines assessment of 235 to 293 months in jail, if he were to be convicted at trial, was not communicated to him during a reverse
The Court bases these findings on the overwhelming credible evidence presented by the government at the evidentiary hearing including, inter alia, the following: (1) the credible testimony by Meszaros's first attorney, Steven Brill (hereinafter, "Brill"), who testified that he told Meszaros that he faced in excess of ten years imprisonment if the government filed a Superseding Indictment charging him with both the first fraud Meszaros perpetrated between 1999 and 2001 using a company called Nexus Asset Management, L.L.C. and its successor, Livestreet, L.L.C. (hereinafter, referred to as the "Nexis/Livestreet fraud") and the second fraud committed by Meszaros between 2003 and 2007 using a company called the Penta-Cycle Group (hereinafter, referred to as the "Penta-Cycle fraud") (Brill's testimony is supported by a contemporaneously-recorded note, which indicated, under a heading titled, "explained to client," that, if a Superseding Indictment were returned, Meszaros would be exposed to over ten years in jail (see Resp't's Ex.
The Court also finds that defense counsel adequately advised Meszaros regarding whether or not he should plead guilty. In particular, through the meetings with the government and independent discussions between Meszaros and his defense counsel, Meszaros was certainly aware of (1) the strength of the evidence against him; and
Finally, the Court finds that, even if Meszaros had received all the factual information and legal advice that he now claims was lacking, he would not have admitted his guilt and accepted a plea offer of 51 to 63 months. The Court finds credible Scaring and Brissenden's testimony that Meszaros has adamantly maintained his innocence and would not even consider a guilty plea. That testimony aligns with this Court's observations of Meszaros's demeanor throughout this case, including at trial and sentencing. In fact, at the evidentiary hearing, when asked whether he would have accepted a plea of 51 to 63 months if he knew he faced a sentence of 253 to 293 months, Meszaros responded, "I would have had no choice." (Hr. Tr. 95.) That response is consistent with the Court's finding that, even to this day, Meszaros does not believe he committed a crime and could never have allocated to doing so. Thus, the Court concludes that, even if defense counsel explicitly and strongly recommended that he take a plea offer of 51 to 63 months and even knowing that he faced a potential sentence of 253 to 293 months under the Guidelines (which the Court finds was communicated by the Government to Meszaros), there is no reasonable likelihood that Meszaros would have accepted a guilty plea and acknowledged his guilt under the particular circumstances of this case.
Accordingly, having failed to demonstrate either ineffective performance or prejudice, Meszaros's Section 2255 petition is denied in its entirety on the merits.
Meszaros was arrested in March 2006 in connection with his involvement between 1999 and 2001 in the Nexis/Livestreet fraud. Shortly after the arrest, Meszaros was indicted on charges of wire fraud and conspiracy to commit wire fraud. Meszaros retained Brill to represent him. (Hr. Tr. 7:22-24.)
In January 2007, Brill attended a reverse proffer meeting with AUSA Bode and Investigator Cox. (Hr. Tr. 100:18-101:7.) Meszaros asserts that he did not attend this meeting (Hr. Tr. 224:1-6), though AUSA Bode and Investigator Cox both testified that Meszaros was there (Hr. Tr. 236:10-13; 245:4-14); Brill believed, but was not certain, that Meszaros was present (Hr. Tr. 101:1-10). However, the parties agree that during the reverse proffer, the government offered Meszaros a plea agreement, whereby he would plead guilty to the Nexus/Livestreet fraud in exchange for a two-year sentence and restitution of approximately $300,000.
At some point after the reverse proffer, Brill prepared a document titled "Meszaros Plea Offer (as of March 29)." (See Resp't's Ex. 3.) It contains two headings: first, "plea to mail fraud," and second, "explained to client." (Id.) Under the first heading, Brill outlines the calculation of the 24- to 30-month Guidelines range for the Nexus/Livestreet fraud (e.g. "Money Amount = +4," "Special Skill = +2"). (Id.) Under the "explained to client" heading, Brill makes reference to the anticipated Superseding Indictment and writes "may be detained if superced[ing] indictment" and "exposed to over 10 years." (Id.)
Meszaros decided to replace Brill and, in or around April 2007, he met with, and ultimately agreed to retain, Scaring. (Hr. Tr. 16:12-16; Movant's Ex. G.) Scaring's associate, Brissenden, was also to assist in the case. (Hr. Tr. 142:13-18.)
In May 2007, Brissenden and Meszaros attended the reverse proffer session with the government. (Hr. Tr. 173:20-174:1.) During this meeting, AUSA Bode outlined the government's evidence against Meszaros in connection with the Nexus/Livestreet fraud and reiterated its two-year plea offer. (See Hr. Tr. 177-79, 233.) The government also discussed its ongoing investigation into the Penta-Cycle fraud. (See generally Hr. Tr. 177-79.)
Both AUSA Bode and Brissenden prepared notes in connection with the reverse proffer. (See Resp't's Exs. 4, 6.) AUSA Bode's document was prepared in advance of, and then presented during, the meeting. (See Hr. Tr. 248-49.) The document is titled "Guidelines" and is divided into two columns, one labeled "Trial" and one labeled "Plea." (See Hr. Tr. 248-50; Resp't's Ex. 6.) In the respective columns, AUSA Bode lists the various Guidelines elements (e.g. loss amount, use of sophisticated means, abuse of trust) and calculates the corresponding Guidelines range. (See id.) Under the "Trial" heading, he calculates a Guidelines range of 235 to 293 months. (See id.) In the plea column, his total is 51 to 63 months. (See id.)
After the meeting, Brissenden compiled his notes from the reverse proffer and his conversations with Meszaros into a memorandum for Scaring. (Resp't's Ex. 4; Hr. Tr. 174:20-24.) The memorandum reports that, at the meeting "[w]e discussed the current indictment and allegations relating to the potential superseding indictment." (Resp't's Ex. 4.) The document is broken into five sections: in the first section, Brissenden describes the evidence presented by the government during the reverse proffer concerning the Nexus/Livestreet fraud; in the second section, Brissenden provides Meszaros's "rebuttal" to the government's evidence. (See Hr. Tr. 177.) The third and fourth sections provide the same information, but as it relates to the Penta-Cycle fraud. (Id.) The final section of the memorandum is titled "Proposed Disposition." (Resp't's Ex. 4.) It states "[AUSA] Bode [c]laims that if he throws everything at [Meszaros], based on a loss amount of more than 2.5 million, [Meszaros] could end up with a Guideline calculation of 38 (253
On May 31, 2007, the Grand Jury returned a Superseding Indictment charging Meszaros in seven counts. See United States v. Meszaros, No. 06-CR-0290 JFB/ARL, 2008 WL 5113425, at *1 (E.D.N.Y. Nov. 25, 2008). Counts One and Two pertained to his involvement with the Nexus/Livestreet fraud; Counts Three through Six related to the Penta-Cycle fraud, and Count Seven alleged that Meszaros committed the conduct in Counts Three through Six while on bail. Meszaros, 2008 WL 5113425, at *1.
In June 2007, after the Superseding Indictment was returned, the government moved to revoke Meszaros's bail, arguing in a letter to this Court that Meszaros was a likely flight risk because his Guidelines range under the Superseding Indictment was 235 to 293 months. (See Movant's Ex. B.) Meszaros's attorneys submitted a reply letter, in which they characterized the government's assertion that Meszaros would be sentenced to 235 to 293 months as "absurd" given the circumstances and pointed out that the government had recently proposed to resolve both frauds with a plea agreement whereby Meszaros would serve only 51 to 63 months. (See Movant's Ex. C.) The letter also noted that Meszaros had "declined the Government's plea offers and ha[d] strongly maintained his innocence." (Id.) Meszaros claims that he never saw either letter. (See Hr. Tr. 70.)
Meszaros was allowed to remain on bail, and he set about preparing his defense. He visited his attorneys' office regularly to review evidence and discuss his case. (Hr. Tr. 162:23-163:9.) Scaring and Brissenden also started to prepare for trial; however, as they reviewed the evidence, they began to have concerns about Meszaros's defense. (Hr. Tr. 186:2-14.) They testified that they endeavored to convey their misgivings to Meszaros, but he appeared unaffected. (Hr. Tr. 186:9-14.) Accordingly, they testified, they therefore convened a meeting with Meszaros and his wife, who was paying for his defense, for the purpose of presenting the weaknesses in the case to both of them, with the hope that Ms. Meszaros might be able to reason with her husband. (Hr. Tr. 186:11-187:7.) Meszaros denies that such a meeting with his wife transpired. (Hr. Tr. 229:7-15.)
Meszaros did not accept a plea and proceeded to trial, where the jury found him guilty on Counts One through Six. After the verdict was announced, AUSA Bode moved in open court, in Meszaros's presence, that Meszaros be held in custody until sentencing, noting that "the defendant's Guidelines are quite high.... [M]y recollection ... [is that they] are in the neighborhood of 15 years." (Resp't's Ex. 9.)
Shortly after the trial, in a letter dated July 10, 2008, Scaring wrote to Ms. Meszaros regarding her husband's sentencing. (Movant's Ex. A.) He stated "[a]s you know, the government is going to be arguing for a sentence in the fifteen (15) year range"; he added, however, "I do not believe that the sentence Steve will receive
Several months later, Brissenden received a copy of Meszaros's pre-sentence report ("PSR"). The PSR recommended a sentence of 220 months. (Decl. of Steven Meszaros ("Decl.") ¶ 13, ECF No. 1-1 (14-cv-1076).) On April 22, 2009, this Court sentenced Meszaros to 151 months in prison. (Decl. ¶ 16.)
Meszaros appealed his conviction to the Second Circuit; he claimed certain errors regarding the Court's rulings during trial and its Sentencing Guidelines calculations, including denial of severance, failure to consider childhood history for downward departure, and that the sentence given on Count Two exceeded the statutory maximum. His appeal did not challenge the efficacy of his representation. The Second Circuit held that the sentence on Count Two exceeded the statutory maximum and remanded for resentencing on this Count, but affirmed the remainder of the judgment. Meszaros was resentenced in February 2011. (ECF Nos. 207, 208 (06-cr-503).) Although his sentence on Count Two was reduced, his total sentence remained 151 months, based on the sentences imposed for the other Counts.
On February 18, 2014, Meszaros, proceeding pro se, filed the current motion pursuant to 28 U.S.C. § 2255 to vacate his sentence based on ineffective assistance of counsel. Specifically, Meszaros alleged that, in the fall of 2006 and again at the reverse proffer in May 2007, the government made him an offer whereby he could plead guilty to the Nexus/Livestreet fraud and serve a two-year sentence, and the government would allow the Penta-Cycle fraud to be resolved civilly.
The government opposed Meszaros's motion on April 11, 2014 and argued that Meszaros was well-aware of his sentencing exposure and pointed to the parties' correspondence from June 2007 concerning the revocation of Meszaros's bail, which referenced Meszaros's maximum sentence under the Guidelines. (Resp't's Opp'n to Mot. to Vacate ("Opp'n") 31, ECF. No. 216 (06-cr-503).) Specifically, the government noted that its letter from June 1 specifically mentioned that Meszaros could face a sentence of 235 to 293 months, and that the response submitted on behalf of Meszaros, while characterizing such a sentence as "absurd" based on the circumstances of the case, recognized that this range was the government's calculation. (Id.) Additionally,
Meszaros submitted his reply on May 19, 2014. He contended that Scaring and Brissenden had never informed him about either the 51- to 63-month plea offer or his maximum sentence under the Guidelines of 235 to 293 months, and that the government's Opposition was the first time he had been made aware of this information. (Reply Mem. ("Reply") ¶¶ 26-27, ECF No. 7 (14-cv-1076).) He acknowledged that both Guidelines ranges were contained in the June 2007 correspondence concerning his bail revocation, but he alleged that he never saw either letter. (Reply ¶¶ 22-23.) Meszaros asserted that Scaring and Brissenden's failure to inform him about the 51- to 63-month plea offer, as well as his maximum sentencing exposure of 235 to 293 months, prevented him from making an informed decision about whether to proceed to trial and plainly qualified as ineffective assistance of counsel. Additionally, he refuted the government's position that a two-year plea had not been offered by providing a declaration from Brill, in which Brill attested that the government made such an offer. (Decl. of Steven Brill ¶ 3, ECF No. 7 (14-cv-1076).)
On April 21, 2015, this Court granted Meszaros's request for a hearing, concluding that "Meszaros has presented a plausible Sixth Amendment claim, and there are disputed facts beyond the record that need to be resolved at an evidentiary hearing." (ECF No. 11 (14-cv-1076).) Specifically, this Court found that "an evidentiary hearing is warranted, both to determine whether counsel's performance was deficient and whether Meszaros actually would have consented to a plea agreement." (Id.) The Court's April 21 Order also directed that Meszaros be appointed counsel to represent him during the hearing. (Id.)
The Court conducted the hearing over two days on February 22 and March 14, 2016 and heard testimony from Ms. Meszaros, Meszaros, Brill, Scaring, Brissenden, Investigator Cox, and AUSA Bode. Meszaros was represented at the hearing by Gary Schoer, Esq. The testimony is summarized in relevant part below.
Ms. Meszaros testified that, in the fall of 2006, Brill informed her and her husband that the government had made a plea offer with a two-year sentence. (See Hr. Tr. 8.) Although they discussed the offer with Brill at the time, they had been advised to seek a second opinion on the plea from another attorney, so they reached out to Scaring. (See Hr. Tr. 10.) They retained Scaring in April 2007. (Movant's Ex. G.)
She stated that she was invited to attend a meeting with her husband, Scaring, and Brissenden on April 27, 2007. (See Hr. Tr. 12.) She testified that Scaring started the meeting by informing her that her husband was "facing significant accusations" and "a significant amount of time." (Hr. Tr. 12:16-19.) The group then proceeded to review some of the "difficult" evidence against her husband. (See Hr. Tr. 12-13.) After this exercise, Ms. Meszaros testified that she asked Scaring, "You think we can win this?", to which he allegedly replied, "Yes." (Hr. Tr. 13:12-13.) She then supposedly asked Scaring, "What's the worst case scenario?", to which he allegedly replied, "Five years." (Hr. Tr. 13:19-22.) She testified that this advice "had all the impact in the world" on the couple's decision to try the case rather than take the plea. (See Hr. Tr. 15:22-16:19.)
It was her understanding that the same two-year plea was offered again during the
She testified that she did receive Scaring's July 10, 2008 letter in which he advised that the government would likely seek a sentence of fifteen years. (See Hr. Tr. 28.) The Court asked Ms. Meszaros why, if she had been repeatedly assured that her husband's maximum exposure was five years, she did not come to the Court and complain that she had been misled about her husband's potential sentence after Scaring's letter informed her that he might face as many as fifteen years. (See Hr. Tr. 48.) She replied that "at the end of the day, your Honor, when you're up against this, you don't think anybody is going to believe anything that you are saying. At the end of the day, I was in a contentious relationship with my own attorney." (Hr. Tr. 48:20-49:4.)
She conceded that her husband had continued to assert his innocence. (See Hr. Tr. 35:17-20 ("Q: In all your conversations, up to and including today, [your husband] asserted his innocence? A: He asserted his innocence, and we paid an attorney to guide us accordingly.").)
Meszaros took the stand after his wife. He testified that in the fall of 2006, Brill relayed to him a two-year plea offer from the government in exchange for pleading guilty to the Nexus/Livestreet fraud. (Hr. Tr. 55:23-56:4.) In his moving papers, he also takes the position that, in conjunction with this offer, the government agreed to permit the Penta-Cycle fraud to be resolved civilly. (Decl. ¶ 3.) He further stated that, after his conversation with Brill, it was his understanding that his maximum exposure in connection with the Nexus/Livestreet charges was five years. (Hr. Tr. 56:8-11.) However, he also admitted that as revelations about the Penta-Cycle fraud crystalized, "the conversation veered from five years to potentially more," though he did not recall any specifics. (Hr. Tr. 56:15-23.)
Meszaros testified that he was advised to seek a second opinion on the merits of the plea offer and so he went to Scaring. (See Hr. Tr. 57.) During their initial meeting, Scaring purportedly stated that the two-year offer was "not a good offer" because, if convicted, Meszaros would likely only be subject to a sentence of three to five years. (See Hr. Tr. 58.)
Meszaros also testified regarding the reverse proffer conducted on May 2, 2007. In particular, he stated that, at the end of the meeting, AUSA Bode "repeated his offer of the two-year offer ... [a]nd added that he would allow ... the [Penta-Cycle] situation to play out in civil court." (See Hr. Tr. 64.)
Meszaros stated that immediately following the meeting, he and Brissenden walked to the parking lot to discuss what had transpired. (See Hr. Tr. 65.) Brissenden purportedly told him not to worry and that the government was just trying to scare him into taking a plea, an assessment which Scaring allegedly confirmed when the pair called him. (Id.) Meszaros reiterated that neither the government's proposed Guidelines range of 235 to 293 months, nor the 51- to 63-month plea offer, were discussed at the meeting. (Hr. Tr. 234:18-25.)
Meszaros denied seeing either the government's June 1, 2007 letter that referenced the maximum Guidelines sentence of 235 to 293 months or the June 4 letter, submitted on his behalf, which referenced the 51- to 63-month offer and acknowledged the government's calculation of the Guidelines range. (See Hr. Tr. 225-26.)
Meszaros asserted that Scaring repeatedly assured him that his maximum sentencing exposure was five years. (See Hr. Tr. 79.) In fact, Meszaros maintains that he did not become aware that his exposure significantly exceeded five years until Brissenden advised him that the PSR recommended a sentence of 220 months. (See Hr. Tr. 83; Decl. ¶ 13.)
Finally, Meszaros again asserted that, if he had known that he faced a potential sentence of 235 to 293 months, or even his sentence of 151 months, he would have accepted the government's plea offer. (Hr. Tr. 79:25-80:15.)
Brill testified that he attended a reverse proffer session with the government in January 2007, at which time Meszaros had only been charged in connection with the Nexus/Livestreet fraud and, therefore, faced a maximum exposure of ten years. (Hr. Tr. 101:23-102:8.)
Brill also discussed the notes he prepared after this meeting, titled "Meszaros Plea Offer (as of March 29)." (Resp't's Ex. 3.) He acknowledged that in the section of the notes under the heading "explained to client," he had written that if a Superseding Indictment were returned, Meszaros would be subject to a sentence of more than ten years (see Hr. Tr. 109), and testified that he would not have placed this note in that section if he had not discussed it with Meszaros (see Hr. Tr. 109-110).
According to Scaring, Meszaros came to him, not for a second opinion on the plea offer, but because "he wanted to go to trial because he said that he didn't do anything wrong.... He came to us because he did not want to take a plea and wanted to go to trial.... He never, ever said to us that he had committed any crime." (Hr. Tr. 143:19-144:4; see also Hr. Tr. 146:23-24 ("[H]e was coming to us to try the case, not to negotiate a plea....").)
Scaring recalled discussing the two-year plea deal after the reverse proffer.
Scaring testified that he did not have a specific recollection of discussing the June 2007 bail letters with Meszaros, but said that he and Brissenden typically would not submit a bail letter without first discussing it with the client. (See Hr. Tr. 138-39.)
Scaring also testified that he never told Meszaros that it was not possible for him to receive a sentence of greater than five years. (Hr. Tr. 132:11-14.) Likewise, he denied ever telling Ms. Meszaros that the "worst case scenario is five years." (Hr. Tr. 149:6-9.) He explained "[i]t was never an issue as to whether or not [Meszaros] faced less than five years." (Hr. Tr. 165:16-17.)
Brissenden testified that he attended the May 2007 reverse proffer along with Meszaros and that he had "no doubt" that the government's calculated Guidelines range of 235 to 293 months was discussed (Hr. Tr. 188:18-25), as well as both the 24- to 30-month and the 51- to 63-month plea offers (Hr. Tr. 179, 180:19-22).
Brissenden also testified that Meszaros continued to profess his innocence and never gave any indication that he wanted to plea. (See, e.g., Hr. Tr. 181:22-182:2, 187:9-10, 197:5-9, 205:11-14 ("Q: Did you have any negotiations with the government at that point with respect to a plea? A. No, because there was never the slightest inclination in the part of our client to go down that road.").) He described Meszaros as adamant that he wanted to go to trial, even in the face of damaging evidence. (See, e.g., Hr. Tr. 186:5-11 ("[I was] assessing th[e] discovery ... [and] grew more concerned about our prospects for trial. And then there were conversations with Mr. Meszaros. He was adamant that he still wanted to go to trial."), 187.) Brissenden did not believe that Meszaros was grasping the strength of the case against him, despite "multiple conversations" about weaknesses in his defense. (See Hr. Tr. 186-87.) Brissenden testified that he and Scaring therefore invited Ms. Meszaros to attend one of their meetings with Meszaros, hoping that, if they presented the problematic evidence to her, she could help "drive home the idea that [it] was going to be a difficult trial to win at" (Hr. Tr. 186:15-18), and help him see that "there was a very serious risk that he was going to be convicted if he insisted on taking this case to trial" (Hr. Tr. 201:5-7).
However, Brissenden testified that the meeting did not have the "desired effect"; he explained: "Mr. Meszaros was adamant in maintaining his innocence all along. I don't think that meeting changed anything in that regard. He was always a strong proponent of taking the case to trial." (See Hr. Tr. 186-87.)
Brissenden testified that he was sure that he had discussions with Meszaros about the government's Guidelines calculation, including in the context of explaining how the Guidelines operated, though he could not recall "word-for-word" any of the discussions. (Hr. Tr. 194:21-195:10.) He also testified that "we had the backdrop of the government's Guideline calculation in forming the discussion that we were having. So we were aware of what the government was advocating for a Guideline sentence if he should be convicted at trial." (Hr. Tr. 201:12-16.)
Finally, the Court asked Brissenden whether, when he spoke with Meszaros after the release of the PSR, which recommended a sentence of 220 months, Meszaros expressed shock or disbelief about this figure, in light of the fact that Meszaros contends that prior to that point he believed that his exposure was no more than five years. (See Hr. Tr. 211-12.) Brissenden responded that Meszaros was upset, but did not seem shocked. (Hr. Tr. 211:23-212:12.)
Investigator Cox testified that he attended the January 18, 2007 reverse proffer and that Meszaros was present as well. (Hr. Tr. 236:10-13.) He recalled discussing the Guidelines calculations for both the Nexus/Livestreet fraud by itself, and what the Guidelines range would look like in the event that charges were added for the Penta-Cycle fraud. (Hr. Tr. 237:20-23.) In fact, he testified that he specifically recalled looking at Meszaros and telling him that his exposure if sentenced for both frauds could exceed seventeen years. (Hr. Tr. 238:10-13, 243:5-8.) He attributed the specificity of this recollection to the fact that seventeen years was a long sentence in a white-collar case. (Hr. Tr. 238:14-16.)
Finally, AUSA Bode took the stand. He likewise testified that Meszaros attended the January 18, 2007 proffer and that Meszaros was informed that the government was investigating the Penta-Cycle fraud and that a Superseding Indictment would result in a Guidelines range in excess of ten years. (See Hr. Tr. 245, 246:23-24.) He testified that he prepared notes for his personal use during the proffer that stated that the Guidelines range accompanying a Superseding Indictment would be "
AUSA Bode also provided testimony regarding the May 2, 2007 reverse proffer. He stated that both the 51- to 63-month plea agreement and the 235- to 293-month maximum Guidelines range were discussed. (See Hr. Tr. 250.) He testified that both ranges were explicitly calculated in the notes he presented during the meeting and that he went through these calculations with Meszaros "step-by-step."
Based on the evidence in the record, the parties' written submissions, and the testimony elicited during the evidentiary hearing, including an assessment of the credibility of the witnesses, the Court makes the following findings of fact:
Although Meszaros asserts in his reply submission that he did not become aware of the government's 51- to 63-month plea offer until the government submitted its opposition to the instant petition in April 2014, the Court concludes that Meszaros was informed about the offer during the May 2, 2007 reverse proffer. AUSA Bode and Brissenden both credibly testified that this offer was explicitly discussed during this meeting. Their testimony is corroborated by their contemporaneous notes. (See Resp't's Exs. 4, 6); see also United States v. Nunez-Polanco, 20 F.Supp.3d 473, 480 (S.D.N.Y.2014) (relying on circumstantial evidence, including attorney's notes, to conclude that a plea offer had been communicated to the defendant). Brissenden's memorandum states that the government offered Meszaros a plea deal that would allow him to plead to both frauds with a recommended sentence of 51 to 63 months (Resp't's Ex. 4); his statement is consistent with AUSA Bode's notes, which include a calculation of a 51- to 63-month Guidelines range in the section of the document regarding pleas (Resp't's Ex. 6). Further, this plea offer was mentioned in Scaring's June 2007 letter to the Court on the issue of Meszaros's bail. (Movant's Ex. C ("[T]he Government ha[s] recently proposed a disposition whereby the Defendant would plead to (sic) guilty to both the Nexus/Livestreet and Penta-Cycle allegations in return for a sentence in the range of 51 to 63 months.").) Though Meszaros maintains that he did not see this letter, its reference to the plea agreement is consistent with the position that the agreement was discussed during the May 2007 meeting, at which Meszaros was unquestionably present.
Second, the Court rejects Meszaros's contention that Scaring repeatedly assured him that his maximum exposure would not exceed five years.
Scaring credibly denies representing that Meszaros's maximum exposure would not exceed five years. (Hr. Tr. 132:11-14 ("Q: Did you ever tell Steven Meszaros that it was not possible for him to receive a sentence of greater than five years? A: No.").) Scaring testified that he knew that the two counts related to the Nexus/Livestreet fraud each carried a five-year sentence (Hr. Tr. 142:24-143:1); thus, it is implausible that he would have represented that Meszaros's maximum exposure was only five years after the Superseding Indictment was returned incorporating the Penta-Cycle fraud, which involved more victims and a greater loss amount.
Separately, the record does not support the conclusion that Meszaros actually believed that his maximum exposure was five years. Meszaros testified that he knew that he faced a five-year sentence solely for the counts related to the Nexus/Livestreet fraud (Hr. Tr. 56:8-11), and (as with Scaring) it is not credible that he did not believe that his sentence exposure would not increase if he were convicted of the Penta-Cycle fraud as well. In fact, Meszaros admitted as much, acknowledging that as his responsibility for the Penta-Cycle fraud came into focus, "the conversation veered from five years to potentially more." (Hr. Tr. 56:15-23.) Furthermore, Brill's notes indicate that he informed Meszaros that, if a Superseding Indictment were issued, Meszaros would be "exposed to over 10 years." (Resp't's Ex. 3.) Investigator Cox even testified that he had a specific recollection of looking at Meszaros and informing him that his exposure could exceed seventeen years. (Hr. Tr. 238:12-13.)
The record further evidences that Meszaros was made aware of his actual maximum sentencing exposure. Both AUSA Bode and Brissenden credibly testified that, during the reverse proffer on May 2, 2007, Meszaros was advised that he would face a Guidelines sentence of 235 to 293 months under the anticipated Superseding Indictment. (Hr. Tr. 182 (Brissenden), 248-50 (AUSA Bode).) Their testimony is also substantiated by their respective, contemporaneously-prepared notes regarding the proffer, which both make reference to the 235- to 293-month Guidelines range. (See Resp't's Exs. 4 (Brissenden writes: "[AUSA] Bode [c]laims that if he throws everything at [Meszaros], ... [Meszaros] could end up with a Guideline calculation of 38 (2[35]-293 mos.)."), 6.) In addition, the government's June 2007 bail letter and Scaring's response both make reference to the 235- to 293-month range. Again, while Meszaros claims he did not see this correspondence at the time it was filed, the reference to the Guidelines range supports the conclusion that it was discussed during the reverse proffer, in Meszaros's presence.
Pursuant to 28 U.S.C. § 2255, a prisoner sentenced in federal court may "move the court which imposed the sentence to vacate, set aside or correct the sentence" when the petitioner claims "that the sentence was imposed in violation of the Constitution or laws of the United States, or that the court was without jurisdiction to impose such sentence, or that the sentence was in excess of the maximum authorized by law, or is otherwise subject to collateral attack." 28 U.S.C. § 2255(a). With respect to ineffective assistance of counsel claims under Section 2255, the Supreme Court has stated that "in most cases a motion brought under § 2255 is preferable to direct appeal for deciding claims of ineffective-assistance." Massaro v. United States, 538 U.S. 500, 504, 123 S.Ct. 1690, 155 L.Ed.2d 714 (2003).
Under the standard promulgated in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), a defendant is required to demonstrate two elements in order to state a successful claim for ineffective assistance of counsel: (1) "counsel's representation fell below an objective standard of reasonableness," id. at 688, 104 S.Ct. 2052, and (2) "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different," id. at 694, 104 S.Ct. 2052.
With respect to Strickland's performance prong, "[c]onstitutionally effective counsel embraces a `wide range of professionally competent assistance,' and `counsel is strongly presumed to have rendered adequate assistance and made all significant decisions in the exercise of reasonable professional judgment.'" Greiner v. Wells, 417 F.3d 305, 319 (2d Cir.2005) (quoting Strickland, 466 U.S. at 690, 104 S.Ct. 2052). The performance inquiry examines the reasonableness of counsel's actions under all circumstances, keeping in mind that a "`fair assessment of attorney performance requires that every effort be made to eliminate the distorting effects of hindsight.'" Id. (quoting Rompilla v. Beard, 545 U.S. 374, 408, 125 S.Ct. 2456, 162 L.Ed.2d 360 (2005)). In assessing performance, a court "must apply a `heavy measure of deference to counsel's judgments.'" Id. (quoting Strickland, 466 U.S. at 691, 104 S.Ct. 2052).
In the context of plea negotiations, "counsel has the duty to communicate formal offers from the prosecution to accept a plea on terms and conditions that may be favorable to the accused." Missouri v. Frye, 566 U.S. 133, 132 S.Ct. 1399, 1408, 182 L.Ed.2d 379 (2012). Additionally, "defense counsel `must give the client the benefit of counsel's professional advice on this crucial decision' of whether to plead guilty." Purdy v. United States, 208 F.3d 41, 44 (2d Cir.2000) (quoting Boria v. Keane, 99 F.3d 492, 497 (2d Cir.1996)). As part of this advice, an attorney "should usually inform the defendant of the strengths and weaknesses of the case against him, as well as the alternative sentences to which he will most likely be exposed." Purdy, 208 F.3d at 45. There is no per se rule that defense counsel must always expressly advise the defendant whether to take a plea offer. Id. at 48. "[T]he ultimate decision whether to plead guilty must be made by the defendant," and a "lawyer must take care not to coerce a client into either accepting or rejecting a plea offer." Id. at 45
In recognition of the challenge of "steer[ing] a course between the Scylla of inadequate advice and the Charybdis of coercing a plea," there is a "wide range" of what qualifies as reasonable advice pertaining to the acceptance or rejection of a plea offer. See id. The Second Circuit has advised that:
Id.
The second prong of the Strickland standard focuses on prejudice to the petitioner. Strickland, 466 U.S. at 694, 104 S.Ct. 2052. A petitioner is required to show that there is "a reasonable probability
"To show prejudice from ineffective assistance of counsel where a plea offer has lapsed or been rejected because of counsel's deficient performance, defendants must demonstrate a reasonable probability they would have accepted the earlier plea offer had they been afforded effective assistance of counsel." Frye, 132 S.Ct. at 1409. Although, the Court "need not accept petitioners' self-serving, post-conviction statements that [they] would have pleaded guilty if properly advised," Dodakian v. United States, No. 14-CV-01188(AJN)(SN), 2015 WL 11144511, at *14 (S.D.N.Y. Aug. 14, 2015), report and recommendation adopted, No. 14-CV-1188(AJN), 2016 WL 3866581 (S.D.N.Y. July 12, 2016); Shi Yong Wei v. United States, No. 11 CIV. 6961 RMB, 2013 WL 980151, at *5 (S.D.N.Y. Mar. 12, 2013) (citing U.S. v. Gordon, 156 F.3d 376, 378, 380-81 (2d Cir.1998)), petitioners may establish that they would have accepted a plea by providing a credible sworn statement to that effect that is supported by objective evidence. Vargas v. United States, 951 F.Supp.2d 531, 550 (S.D.N.Y. 2013). Objective evidence may come in the form of a "significant disparity" between the sentence recommended in the plea offer and the sentence imposed after a conviction at trial.
As described above, the Strickland standard requires a defendant to demonstrate that his counsel's performance was deficient. In this regard, Meszaros argues that his attorneys (a) failed to communicate the 51- to 63-month plea offer; (b) failed to advise him of his maximum sentencing exposure under the Superseding Indictment; and (c) failed to advise him on the issue of whether to proceed to trial or to enter a guilty plea.
As explained above, a defendant must be advised of plea offers made by the government and of his maximum sentencing exposure. See Frye, 132 S.Ct. at 1408 (holding that "counsel has the duty to communicate formal offers from the prosecution"); Gordon, 156 F.3d at 380 (finding representation deficient where defense counsel grossly underestimated defendant's maximum sentencing exposure). The Court concluded above that Meszaros was made aware of the government's two plea offers and of his maximum sentencing exposure.
As noted above, defense counsel must provide his client with professional advice on the crucial decision of whether to plead guilty and can "generally discharge [this] obligation by informing the defendant of (1) the strength of the case against him or her and (2) the possible sentence of incarceration that may be imposed after a guilty plea as compared to a guilty verdict." Daley v. Lee, No. 10-CV-6065 NGG, 2012 WL 2577472, at *11 (E.D.N.Y. July 3, 2012) (citing Purdy, 208 F.3d at 45).
The record reflects that Scaring and Brissenden advised Meszaros about the weaknesses in his case and the strength of the government's evidence. Brissenden credibly testified that "it was certainly conveyed to Mr. Meszaros that it was going to be problematic taking this case to trial." (Hr. Tr. 205:20-23.) Even Meszaros admits that he and Scaring "would sit an hour, two hours sometimes, and basically go over positives in our trial strategy, or what we're going to present, potential pitfalls, so on and so forth." (Hr. Tr. 76:6-9.) In fact, both attorneys credibly testified regarding the meeting that they convened with Meszaros and his wife expressly for the purpose of "la[ying] out the case ... and all the problems with the case."
Furthermore, Meszaros admits that he sat through the reverse proffer in May 2007, at which the government provided a detailed and extensive outline of the case against him. (See, e.g., Resp't's Ex. 4); see Ortiz v. United States, 2015 WL 5613182, at *3 (S.D.N.Y. Sept. 24, 2015) (defendant could not show that attorney failed to provide effective assistance of counsel where defendant was advised of nature and strength of government's evidence against him during reverse proffer session).
Finally, Meszaros is a sophisticated defendant, and the record reflects that he actively participated in his defense and strategized frequently with his attorneys. (See, e.g., Hr. Tr. 162-163.) Scaring credibly testified that Meszaros came to the office "a lot," because he "was reviewing all of the evidence," and that they discussed the case during each visit. (Id.) Between his frequent conversations and strategy sessions with his attorneys, the presentation of evidence at the reverse proffer, and his own review of the evidence,
Meszaros was also aware of the different sentences to which he could be exposed. Meszaros was present at the reverse proffer in May 2007 when the various sentencing alternatives — the two possible plea agreements and Meszaros's exposure of 235 to 293 months under the Guidelines — were discussed. (See, e.g., Resp't's Exs. 4, 6.) Both Brissenden and AUSA Bode's notes from the meeting clearly indicate that these topics were addressed. (See id.)
The attorneys also credibly testified regarding their discussions with Meszaros concerning the Guidelines and sentencing. Brissenden stated that "there was definitely a discussion about how the Guidelines worked. There were discussions about the Court's discretion to go above or below the Guidelines.... [A]nd certainly in the context of discussing these numbers, we would have gone through the Guidelines calculation [provided by the government]." (Hr. Tr. 195:4-10.) Brissenden further stated that "we had the backdrop of the Government's Guideline calculation in forming the discussion we were having. So we were aware [that] the Government was advocating a Guideline sentence if he should be convicted at trial." (Hr. Tr. 201:8-16.) Scaring also credibly testified that, as they got closer to trial, he also talked "generally" about the fact that Meszaros would face "significant" jail time if he were convicted at trial.
Nevertheless, Meszaros argues that his attorneys "failed to adequately advise him, and to provide to him the benefit of their professional advice, on the crucial question of whether to proceed to trial or to plead guilty." (See Movant's Post Hearing Mem. 1, ECF No. 242 (06-cr-503).) Counsel is not per se required to make an explicit recommendation on whether the client should accept a plea.
When asked whether he advised Meszaros that "based on the problematic nature of the evidence that it would be in [Meszaros's] best interest to take a plea," Brissenden credibly testified, "Yes. I think that's fair to say. I don't know that we used that phrase, but I — certainly that was what we were trying to convey to Mr. Meszaros." (Hr. Tr. 205:2-7.) Scaring also provided the following credible testimony:
(Hr. Tr. 158:9-159:4.)
Although this testimony indicates that there may have been limited attention paid to the question of a plea agreement,
"[T]he law affords counsel broad discretion in choosing `how best to advise a client in order to avoid, on the one hand, failing to give advice and, on the other, coercing a plea.'" Colotti, 2012 WL 1122972, at *14 (quoting Purdy, 208 F.3d at 45). Moreover, "[c]counsel rendering advice in this critical area may take into account ... whether the defendant has maintained his innocence." Purdy, 208 F.3d at 45. Here, Meszaros consistently professed his innocence and expressed no interest in pleading guilty. Accordingly, his attorneys were mindful not to pressure him to plead guilty, but provided the required advice concerning the weaknesses in his defense and his maximum sentencing exposure. Thus, the Court cannot say that his counsel was ineffective. See Rivera v. United States, No. 10-CR-316 (KBF), 2016 WL 1064605, at *6 (S.D.N.Y. Mar. 14, 2016) (counsel provided effective advice by "informing the defendant of the terms of the plea offer, the strengths and weaknesses in the case against him, and the alternative sentences to which he would most likely be exposed"); Mitchell v. Rock, No. 11-CV-2642 JG, 2013 WL 4041545, at *19 (E.D.N.Y. Aug. 9, 2013) (upholding decision that counsel had performed effectively, despite the defendant's argument that counsel failed to give his professional opinion on whether plea should be accepted, by "touch[ing] upon critical factors a defendant must consider when weighing such a decision, including his minimum and maximum
Based on the evidence, "it appears the problem in this case was not that [Meszaros's] counsel was unreasonable but that [Meszaros] either misconstrued or ignored [their] advice." Ramos, 2007 WL 3071185, at *2. Finally, even if Meszaros's attorneys' performance had been inadequate, his ineffective assistance claim would nevertheless fail because, as described below, he cannot show he was prejudiced by the allegedly deficient representation.
As noted above, "[t]o show prejudice from ineffective assistance of counsel where a plea offer has lapsed or been rejected because of counsel's deficient performance, defendants must demonstrate a reasonable probability they would have accepted the earlier plea offer had they been afforded effective assistance of counsel." Frye, 132 S.Ct. at 1409.
As proof that he would have accepted the plea offer had he known or been adequately counseled about it, Meszaros points to the disparity between the 51- to 63-month sentence in the plea offer and his 151-month sentence (as well as his 235- to 293-month Guidelines range), and argues that he never would have turned down a five-year plea offer in the face of a twelve-year sentence.
It is true that the sentence offered in the plea is significantly less than the sentence imposed,
First, Meszaros has consistently and unequivocally asserted his innocence. Scaring and Brissenden repeatedly asserted that Meszaros genuinely believed that he was innocent and was not receptive to evidence to the contrary. Scaring credibly testified that, "[Meszaros] never, ever said to us that he had committed any crime" (Hr. Tr. 144:2-4), and that "Mr. Meszaros was adamant in maintaining his innocence, despite what we viewed as problematic evidence" (Hr. Tr. 186:24-187:1). Scaring further recalled that they attempted to confront Meszaros with issues or discrepancies with the evidence, but that it was "very difficult because [Meszaros] was not buying anything. He would spin the evidence. He had a view of what his defense was. He believed it." (Hr. Tr. 129:7-10.) Meszaros's intransigence on this topic undermines his attempt to argue that he would have accepted a plea. See, e.g., Shi Yong Wei, 2013 WL 980151, at *5 (rejecting the petitioner's contention that he would have accepted a plea offer, as it was "squarely contradicted" by his attorney's testimony that his client was "`adamant ... that he would not plead guilty'"); Vargas, 951 F.Supp.2d at 550, 553 ("[The defendant's] claim of prejudice is further undermined by the fact that he asserted his innocence through his trial and sentencing, and continued to proclaim innocence at the evidentiary hearing."); Muyet, 2009 WL 2568430, at *5 (concluding that defendant had not shown prejudice where the record contained "no indication that [the defendant] would have admitted guilt, as he maintained his innocence throughout the trial," even though defendant submitted an affidavit swearing that he would have accepted a twenty-year plea offer had counsel properly informed him that his sentence exposure if convicted was eight life sentences plus 130 years); Kagan v. United States, No. 02 CIV. 3886(DLC), 2003 WL 21991585, at *4 (S.D.N.Y. Aug. 20, 2003) (defendant's inability to indicate an "`unequivocal willingness to plead guilty'" was incompatible with his suggestion that he would have pleaded guilty (quoting United States v. Feyrer, 333 F.3d 110, 120 (2d Cir.2003))); Gluzman v. United States, 124 F.Supp.2d 171, 177 (S.D.N.Y.2000) (observing that "it is difficult to see how [the defendant] could pleaded (sic) guilty since her persistent claims of innocence would have rendered highly problematic her ability adequately to allocate").
In fact, even during the evidentiary hearing, conducted in part for Meszaros to establish that he would have accepted a guilty plea, Meszaros would not admit that he was guilty, allowing only that he "would have had no choice" but to plead guilty if he had known that he would be sentenced to 151 months.
Relatedly, Meszaros was adamant that he wanted to go to trial and expressed no interest in taking a plea, even when encouraged by his attorneys, confronted with damaging evidence, and despite the fact that he knew he faced a significant sentence if convicted at trial. As Brissenden credibly noted, "we were trying to sort of pressure him all along to consider taking a plea[,] [b]ut those conversations didn't really go anywhere" (see Hr. Tr. 206:3-6), and "there was never the slightest inclination on the part of our client to go down that road" (Hr. Tr. 205:11-14). He further credibly testified that, even after the meeting with Ms. Meszaros, where he and Scaring attempted to lay out all of the damaging evidence, Meszaros still remained committed to trying the case. (See Hr. Tr. 187.) Scaring credibly explained that "[w]e never got to the point where there was ever any discussion about taking a plea. Mr. Meszaros never would allow it. He didn't want to take a plea, period. So that wasn't our primary focus." (Hr. Tr. 161:24-162:2.) Meszaros's apparent resolve to try his case further weakens the credibility of his assertion that he would have accepted a deal. See, e.g., Pierre v. United States, No. 06-cv-1573(NGG), 2008 WL 3992152, at *8 (E.D.N.Y. Aug. 22, 2008) (concluding that petitioner had not shown that he would have pleaded guilty where he insisted on going to trial, even after being warned of his sentencing exposure after conviction); Mickens, 2005 WL 2038589, at *5 (relying, in part, on attorney's testimony that his client was not interested in taking a plea in concluding that client would not have accepted plea offer if he had been properly advised), aff'd, 257 Fed.Appx. 461 (2d Cir.2007); United States v. Crisci, No. 00 CR. 253 (DC), 2003 WL 22845669, at *3 (S.D.N.Y. Dec. 1, 2003) (refusing to credit defendant's assertion that he would have accepted guilty plea where he was insistent on going to trial and was adamant that he was innocent), aff'd, 108 Fed.Appx. 25 (2d Cir.2004); United States v. Peterson, 233 F.Supp.2d 475, 493 (E.D.N.Y.2002) (defendant could not prove that he would have accepted a plea offer involving incarceration where he was "resolved to go to trial," despite the fact that he was aware of the weaknesses in his defense and his potentially significant sentence upon conviction); see also Herzog v. United States, 38 Fed. Appx. 672, 675 (2d Cir.2002) (holding that district court's conclusion that defendant would not have accepted plea offer was not clearly erroneous where defendant, inter alia, never showed any inclination toward accepting a plea); Miller v. McNeil, No. 09-60566-CIV, 2010 WL 2639591, at *7 (S.D.Fla. May 7, 2010) (defendant could not establish prejudice under Strickland in light of his statement indicating his intent to go to trial and the absence of any objective evidence indicating a desire to plead guilty), report and recommendation adopted, No. 09-60566-CIV-COHN, 2010 WL 2613320 (S.D.Fla. June 29, 2010).
Having observed Meszaros during the trial and evidentiary hearing and, in light of the attorneys' credible testimony, the Court concludes that Meszaros was unable or unwilling to accept that he was guilty. The Court does not credit his assertion that he would have accepted the government's plea offers and, therefore, concludes that he has failed to establish prejudice.
Because Meszaros has not satisfied his burden to show that his counsel was ineffective or that he suffered prejudice as a result of any allegedly deficient advice, his
For the foregoing reasons, Meszaros's motion to vacate his conviction under Section 2255 is denied. The Clerk of the Court is requested to enter judgment and close the case.
SO ORDERED.
In contrast to the attorney in Boria who provided his client no advice on how to deal with the offered plea bargain, id. at 498, here, counsel expressly advised Meszaros on the strength of the government's case. See Purdy, 208 F.3d at 47 (distinguishing Boria on the same grounds); Ramos v. United States, No. 01CR217SCR, 2007 WL 3071185, at *3 (S.D.N.Y. Oct. 18, 2007) (same). Additionally, unlike the defendant in Boria, for whom it would have been "suicidal" to proceed to trial (he was apprehended during a "buy and bust"), the same was not true for Meszaros, given the complexity of the facts and law and that the outcome at trial would depend in large part on the jury finding the cooperating defendants' testimony credible. See Mazique v. Ercole, No. 06-CV-1723 (NGG), 2008 WL 2884370, at *11 (E.D.N.Y. July 23, 2008) (distinguishing Boria where the "evidence was not so overwhelming that a victory at trial was completely unrealistic"). Finally, it is not clear that the client in Boria actually maintained that he was innocent (or merely opposed pleading guilty because he did not want to be embarrassed in front of his children); however, Meszaros's attorneys testified that Meszaros was not interested in a plea agreement because he claimed he was not guilty. See Berry v. Ercole, No. 06 CIV. 6957 (DLC), 2009 WL 1321906, at *12 (S.D.N.Y. May 12, 2009) (counsel was not ineffective for failing to advise the defendant that he should plead guilty where the defendant adamantly denied his guilt and had been informed of the risk of conviction and his sentencing exposure), aff'd, 391 Fed.Appx. 87 (2d Cir.2010).