SUSAN WEBBER WRIGHT, District Judge.
Before the Court are two motions-one filed through counsel and one filed pro se—of defendant James Bruce Morris to vacate, set aside, or correct sentence pursuant to 28 U.S.C. § 2255 [doc.#'s 125, 129]. The government has responded in opposition to Morris's motions and Morris, through counsel and pro se, has replied to the government's response. For the reasons that follow, the Court denies both of Morris's § 2255 motions.
James Morris and his wife, Karen Sue Morris, were charged, either individually or jointly, in a superseding indictment with 44 counts of fraudulent behavior involving theft of government funds from the Veterans Administration (VA) and Social Security Administration (SSA), 18 U.S.C. §§ 641, 2; conspiracy to defraud the government, 18 U.S.C. § 371; concealment of a material fact as to SSA funds, 42 U.S.C. § 408(a)(4); obtaining Title IV funds (i.e., Department of Education (DOED) Pell Grants) by fraud and false statements, 20 U.S.C. § 1097(a), 18 U.S.C. § 2; filing false tax returns, 26 U.S.C. § 7206(1), 18 U.S.C. § 2; and causing another to file a false tax return, 26 U.S.C. § 7206(2), 18 U.S.C. § 2. Defendants were tried jointly and convicted by a jury of all 44 counts.
Defendants appealed their convictions and sentences to the United States Court of Appeals for the Eighth Circuit.
On August 26, 2013, James Morris, through his appellate counsel, filed a petition for rehearing by the panel, arguing, inter alia, that his sentence is unconstitutional under the United States Supreme Court's recent decisions in Alleyne v. United States, 570 U.S. ___, 133 S.Ct. 2151 (2013) (decided June 17, 2013), and Peugh v. United States, 569 U.S. ___, 133 S.Ct. 2072 (2013) (decided June 10, 2013).
On January 30, 2014, Morris, again through his appellate counsel, filed the § 2255 motion [doc.#125] now before the Court. Subsequently, on March 21, 2014, Morris filed his pro se § 2255 motion [doc.#129] accompanied by an addendum [doc.#130].
The Court first addresses Morris's § 2255 motion filed through his appellate counsel. Morris essentially argues that his sentencing was rendered unconstitutional under Alleyne and Peugh by the application of judge-found facts in determining his sentence and by failing to determine his offense level using the edition of the Sentencing Guidelines that was most favorable to him as measured at the time of the offense or sentencing.
In Alleyne, the Supreme Court held that the Sixth Amendment of the U.S. Constitution requires a jury to find beyond a reasonable doubt any fact that increases a mandatory sentence. 133 S.Ct. at 2162-63. In Peugh, the Supreme Court held that a violation of the Ex Post Facto Clause of the Constitution of the United States occurs "when a defendant is sentenced under Guidelines promulgated after he committed his criminal acts and the new version provides a higher applicable Guidelines sentencing range than the version in place at the time of the offense." 133 S.Ct. at 2078.
The Court denies Morris's counseled § 2255 motion asserting Alleyne and Peugh claims as Morris raised those claims in a petition for rehearing following the Eighth Circuit's opinion on his direct appeal and that petition was denied by the Eighth Circuit. The mandate issued in Morris's direct appeal one week later. By denying Morris's petition for rehearing, the Eighth Circuit obviously rejected Morris's Alleyne and Peugh claims. It is well settled that claims that were raised and decided on direct appeal cannot be relitigated on a motion pursuant to § 2255. United States v. Lee, 715 F.3d 215, 224 (8
Even assuming Morris's Alleyne and Peugh claims were not decided on direct appeal and are properly before the Court, those claims fail on the merits.
Morris's argument under Peugh that the Court failed to determine his offense level using the edition of the Sentencing Guidelines that was most favorable to him as measured at the time of the offense or sentencing is likewise without merit. Morris's Presentence Investigation Report was prepared using the 2010 edition of the Sentencing Guidelines. Although Morris does not specify which offense of conviction was determined using an edition of the Sentencing Guidelines that allegedly violated the Ex Post Facto Clause, Morris has not seriously disputed the government's contention that only Count 3 of the superseding indictment, which alleged that Morris committed theft of VA funds from August 1986 through March 2010, is potentially impacted by Peugh and that other than Count 3, no provision of the Sentencing Guidelines has changed to the detriment of the Morris since publication of the 2001 edition of the Sentencing Guidelines.
The Court agrees with the government that the 2010 edition of the Sentencing Guidelines was properly applied to calculate Morris's offense level with respect to Count 3 (and the other Counts as well). Although Morris began his criminal course of conduct as stated in Count 3 during a time when the base offense level and the loss adjustment were lower, Morris continued the course of conduct in the same way during a time when the higher levels applied. The Eighth Circuit has noted that "with conspiracy and other continuing offenses it is the completion date of the offense that controls the version of the Sentencing Guidelines to be applied." United States v. Cooper, 35 F.3d 1248, 1251 (8
The Court now turns to Morris's pro se § 2255 filings. As an initial matter, the government objects to the Court's consideration of Morris's pro se filings as he is represented by counsel with respect to the initial § 2255 motion. Although the government is correct that "[t]here is no constitutional or statutory right to simultaneously proceed pro se and with benefit of counsel," United States v. Agofsky, 20 F.3d 866, 872 (8
This Court generally does not consider pro se filings from a party represented by counsel. In this instance, however, the Court will consider Morris's pro se § 2255 filings given that this is a collateral proceeding and Morris raises ineffective assistance claims against his appellate counsel.
Morris's pro se filings are somewhat disjointed but it appears Morris is raising the following issues: (1) his charges should have been dismissed based on the applicable statute of limitations; (2) he should have been faced with civil liabilities regarding the conduct for which he was convicted rather than facing criminal prosecution; and (3) trial and appellate counsel were ineffective for (i) failing to move to dismiss the charges against him because they violated the statute of limitations; (ii) not seeking severance of the fraud and tax counts; (iii) failing to investigate and argue the differing standards for assessing disability under the VA and SSA schemes which would have led to him facing civil liabilities regarding the conduct for which he was convicted rather than facing criminal prosecution; (iv) failing to challenge the Court's alleged failure to properly apply the version of the Sentencing Guidelines in effect at the time of his offense; and (v) failing to challenge the Court's alleged failure to distinguish between the loss calculation and restitution amount for purposes of determining his applicable sentencing guideline range.
Turning first to Morris's statute of limitations argument, the Court notes as an initial matter that Morris failed to raise a statute of limitations defense before trial. Because the statute of limitations is an affirmative defense and not jurisdictional, the issue is now waived. United States v. Soriano-Hernandez, 310 F.3d 1099, 1103-04 (8
Even if not waived, Morris's statute of limitations defense fails on the merits. Morris and his wife were first charged via the original 60-count indictment filed on April 7, 2010, and were charged via the superseding 44-count indictment filed on February 2, 2011. Noting that there is a five year statute of limitations for the crimes under 18 U.S.C. §§ 371, 641, 20 U.S.C. § 1097(a), and 42 U.S.C. § 408(a)(4), and a six year statute of limitations for the crimes under 26 U.S.C. § 7206(1) and (2), Morris argues that every count in the superseding indictment is predicated on acts that occurred outside the applicable statute of limitations and that the government thus lacked jurisdiction to criminally prosecute him.
The Court first notes that "a superseding indictment filed while the original indictment is validly pending relates back to the time of filing of the original indictment if it does not substantially broaden or amend the original charges." United States v. Gomez, 38 F.3d 1031, 1036 n.8 (8
Counts 1 and 3 of the superseding indictment charge a violation of 18 U.S.C. § 641 that continued until March 2010. Count 2 of the superseding indictment charges a violation of 42 U.S.C. § 408(a)(4) that also continued until March 2010. "Statutes of limitations normally begin to run when the crime is complete," Toussie v. United States, 397 U.S. 112, 115 (1970), and each of the crimes charged in Counts 1-3 of the superseding indictment involved the regular, ongoing and active theft and concealment of SSA and VA funds during the entire period of time alleged. These crimes thus were continuing offenses (as the Court already noted with respect to Count 3). Cf. United States v. Turner, No. 4:13-cr-00227-01-BRW, 2014 WL 641768, *1 (E.D. Ark. Feb. 18, 2014) (defendant charged with stealing over $50,000 from SSA from August 2003 through March 2012 in violation of 18 U.S.C. § 641; court found the nature of the alleged offense—stealing SSI benefits by misrepresenting material facts on an application—was a continuing offense and "the statute-of-limitations clock started ticking at the conclusion of the alleged offense—not the commencement of it."); United States v. Thompkins, Criminal No. 1:08CR65, 2008 WL 3200629, *1 (N.D.N.C. Aug. 05, 2008) (defendant was charged in a two-count indictment with embezzling Social Security payments made to her deceased mother to which she knew she was not entitled in violation of 18 U.S.C. § 641, and concealing the death of her mother from the SSA in order to continue receiving her mother's Social Security payments in violation of 42 U.S.C. § 408(a)(4); court held that eleven years of concealment and receiving SSA checks was a continuing offense and "prosecution of such offense is not barred by the statute of limitations."). "`[I]n the case of a `continuing offense,' the crime is not exhausted for purposes of the statute of limitations as long as the proscribed course of conduct continues.'" United States v. Jacob, 781 F.2d 643, 648 (8
Count 4 of the superseding indictment charges Morris with conspiracy to defraud the government (DOED and the IRS) in violation of 18 U.S.C. § 371. The superseding indictment alleges that the conspiracy began in 2003 and ended in May 2007. The ending date of the conspiracy is within the five-year period of limitations of the original and superseding indictment. See United States v. Mueller, 661 F.3d 338, 347 (8
Counts 5-9 of the superseding indictment charge Morris with obtaining Title IV funds by fraud and false statements in violation of 20 U.S.C. § 1097(a) from the following dates: Count 5—February 2005-May 2005; Count 6—January 2006-October 2006; Count 7—January 2006-October 2006; Count 8—May 2007; and Count 9—May 2007. Count 5 charges a violation with a completion date that is within the five-year period of limitations of the original indictment and Counts 6-9 charge violations with completion dates that are within the five-year period of limitations of the original and superseding indictment. Therefore, there is no statute of limitations violation with respect to Counts 5-9 of the superseding indictment.
Count 10 of the superseding indictment charges a tax violation of 26 U.S.C. § 7206(1) that occurred in August 2004. This date is within the six-year period of limitations applicable to the Title 26 offenses charged in the original indictment. Therefore, there is no statute of limitations violation with respect to Count 10 of the superseding indictment.
Counts 11-15, 17-19, 21-22, 24, 27, and 30-44 of the superseding indictment charge tax violations of 26 U.S.C. § 7206(1) and (2). Count 17 charges a violation that occurred in January 2005, which is within the six-year period of limitations of the original indictment, and Counts 11-15, 18-19, 21-22, 24, 27, and 30-44 charge violations that occurred no earlier than May 2005, which is within the six-year period of limitations of the original and superseding indictment. Therefore, there is no statute of limitations violation with respect to Counts 11-15, 17-19, 21-22, 24, 27, and 30-44 of the superseding indictment.
Morris next argues that he should have been faced with civil liabilities regarding the conduct for which he was convicted rather than facing criminal prosecution.
In Henderson, the defendant was convicted of wire fraud, concealment from the SSA, and making false statements to the SSA. 416 F.3d at 690. The defendant sought and received SSDI benefits claiming an inability to work as a result of a car accident and yet competed in and won beauty pageants (including making over 200 appearances as Mrs. Minnesota), traveled internationally, worked for her husband's business, operated two businesses out of her home, and had numerous cosmetic consultations, never alerting her doctors to any serious medical conditions. Id. On appeal, the defendant argued that her case should have been deferred to SSA because SSDI eligibility is a complicated, regulatory issue requiring agency expertise. Id. at 691. In rejecting this argument, the Eighth Circuit noted that the jury was not asked to measure defendant's eligibility against SSA's regulations, but to decide whether she misrepresented or omitted material facts to SSA. Id. The Eighth Circuit pointed out that defendant "cit[ed] no statute or precedent that entitles a defendant to an administrative resolution before a criminal prosecution (even if the defendant might obtain a favorable agency decision)" and that "a district court certainly has jurisdiction of a prosecution for social security fraud," noting that "[d]espite SSA's comprehensive regulatory scheme, Congress explicitly made it a crime to conceal material facts from, or make false representations, to SSA." Id. (citing 42 U.S.C. § 408(a)(3), (4)).
Here, the jury in Morris's case was not asked to measure eligibility or standard of care against the various agencies' regulations, but to decide whether he violated certain criminal statutes. Like the defendant in Henderson, Morris cites no statute or precedent that entitles a defendant to an administrative resolution before a criminal prosecution and the Court finds that it was within the province of the government to prosecute the crimes of which Morris was charged, despite the regulatory scheme of the involved agencies.
The Court now turns to Morris's ineffective assistance claims against trial and appellate counsel. To succeed on a claim of ineffective assistance of trial counsel, a defendant must prove 1) his attorney's performance was so deficient as to fall outside the range of reasonable professional assistance, and 2) he suffered such prejudice stemming from the deficient performance there is a reasonable probability that the proceeding would have had a different result. Morelos v. United States, 709 F.3d 1246, 1249-50 (8
Morris first argues that trial and appellate counsel were ineffective for not moving to dismiss the indictment on grounds it violated the statute of limitations. This argument is without merit as the Court has already determined that none of the charges of which Morris was convicted violated the applicable statute of limitations.
Morris next argues that trial and appellate counsel were ineffective for not seeking severance of the fraud and tax counts "where the proof was such that a jury could not be expected to compartmentalize the evidence as it related to the complicated and confusingly separate charges in the indictment." This argument is without merit as Morris's severance argument was considered and rejected by the Eighth Circuit on direct appeal. Morris, 723 F.3d at 941. Regardless, the Federal Rules of Criminal Procedure permit separate offenses to be joined for trial when the offenses are "of the same or similar character, ... or are connected with or constitute parts of a common scheme or plan," Fed.R.Crim.P. 8(a), and the Eighth Circuit has already determined that the charges of which Morris and his wife were indicted were "for a series of related fraudulent actions and were alleged to have participated in a cooperative scheme to defraud various federal agencies." Morris, 723 F.3d at 941. Morris has not in any way shown that the jury was unable to consider each offense separately and that he was prejudiced by the joinder of offenses. See Fed.R.Crim.P. 14(a) ("If the joinder of offenses or defendants in an indictment, an information, or a consolidation for trial appears to prejudice a defendant or the government, the court may order separate trials of counts, sever the defendants' trials, or provide any other relief that justice requires"); United States v. Wilkens, 742 F.3d 354, 358 (8
Morris next argues that counsel failed to investigate and argue the differing standards for assessing disability under the VA and SSA schemes which would have led to him facing civil liabilities regarding the conduct for which he was convicted rather than facing criminal prosecution. This argument is without merit as the Court has already found that it was within the province of the government to prosecute the crimes of which Morris was charged, despite the regulatory scheme of the involved agencies.
Morris next argues that counsel were ineffective for not challenging the Court's alleged failure to properly apply the version of the Sentencing Guidelines in effect at the time of his offense. This argument is without merit as the Court has already determined that application of the 2010 version of the Sentencing Guidelines to Morris's crimes was permissible under the Sentencing Guidelines and did not violate the Ex Post Facto Clause.
Finally, Morris argues that counsel were ineffective for not challenging the Court's alleged failure to distinguish between the loss calculation and restitution amount for purposes of determining his applicable sentencing guideline range. This argument is without merit as the Court determined the actual loss to the victim agencies and did not include any amount in excess of the actual loss as part of the basis for calculating the applicable sentencing guideline range or for determining the appropriate order of restitution.
One final matter concerns whether a certificate of appealability should issue. In order to appeal an adverse decision on a § 2255 motion, a movant must first obtain a certificate of appealability. 28 U.S.C. § 2253(c)(1)(B)). District courts customarily address this issue contemporaneously with the order on the motion. Ervin v. United States, Civ. No. 6:13-cv-5103, Crim. No. 6:11-cr-5046, 2014 WL 856526, *6 (W.D. Mo. March 5, 2014) (citation omitted).
To obtain a certificate of appealability on claims for § 2255 relief, a movant must make "a substantial showing of the denial of a Constitutional right." 28 U.S.C. § 2253(c)(2). A substantial showing is a showing that the issues are debatable among reasonable jurists, a court could resolve the issues differently, or the issues deserve further proceedings. Carson v. Director of the Iowa Dept. of Correctional Services, 150 F.3d 973, 975 (8
For the foregoing reasons, the Court denies James Bruce Morris's motions [doc.#'s 125, 129] to vacate, set aside, or correct sentence pursuant to 28 U.S.C. § 2255. The Court declines to issue a certificate of appealability.
IT IS SO ORDERED.