SEYMOUR, Circuit Judge.
Robert G. Weeks pled guilty to conspiracy to commit securities fraud. He now argues his guilty plea was not knowing and voluntary and was the result of ineffective assistance of counsel. We consolidated his direct appeal with the appeal from the district court's denial of his § 2255 petition. We affirm Mr. Weeks' conviction on his direct appeal, but we reverse the dismissal of his § 2255 petition.
This appeal reaches us in an unusual posture. In 2002, Mr. Weeks pled guilty to conspiracy to commit securities fraud. He agreed to cooperate with the government and to testify against his co-defendants. Four years later, Mr. Weeks was sentenced to a year and a day in prison, and was ordered to pay a fine of $51,643.25.
A year after sentencing, Mr. Weeks filed a timely pro se motion under 28 U.S.C. § 2255 to vacate his conviction, raising a claim of ineffective assistance of counsel on six grounds. The district court denied relief on five of the grounds, but granted an evidentiary hearing on Mr. Weeks' claim that his counsel was ineffective for refusing his request to file a direct appeal from his conviction.
The district court appointed counsel for Mr. Weeks prior to the evidentiary hearing. Counsel filed a motion to expand the issues in Mr. Weeks' 2255 motion and/or to reconsider the court's denial of Mr. Weeks' ineffective assistance claim on the five other grounds. The district court denied the motion. After holding an evidentiary hearing on the one remaining claim, the court found Mr. Weeks' trial counsel ineffective for failing to file a direct appeal. The court entered an amended judgment of conviction to restore Mr. Weeks' right to appeal his conviction.
Mr. Weeks filed a direct appeal. He also appealed the district court's denial of the remainder of his § 2255 ineffective assistance claims without an evidentiary hearing, as well as the denial of his motion to amend the petition. We consolidated the appeals, and we granted a certificate of appealability to Mr. Weeks on the denial of his § 2255 petition. We now consider both of his appeals.
The criminal charges against Mr. Weeks and his co-defendants arose from the unregistered sale of stocks issued by Mr. Weeks' corporation, Pan World Minerals International, Inc., while he was president and CEO. Mr. Weeks pled guilty to violating 18 U.S.C. § 371, by participating in a conspiracy to commit securities fraud.
Because the plea colloquy plays a central role in Mr. Weeks' direct and collateral appeals, we provide relevant parts of the colloquy with minimal editing. The district court first confirmed that Mr. Weeks had read and understood the indictment:
Rec., vol. IV at 32-33 (emphasis added).
After Mr. Weeks waived his right to have the indictment read aloud, the district court asked the United States to recite the charges against him:
Id. at 33-34 (emphasis added). After Mr. Weeks spoke with his counsel, Mr. James Barber, Mr. Barber explained Mr. Weeks' concern:
Id. 34-35 (emphasis added).
The court confirmed that Mr. Weeks understood the charge and proceeded. As the colloquy continued, Mr. Weeks affirmed that he had read and understood the plea agreement and had discussed it with Mr. Barber. Later, the court asked Mr. Weeks to explain what actions made him guilty of the conspiracy charge:
Id. at 42-45 (emphasis added).
At the court's request, the government then summarized the evidence that would have been used against Mr. Weeks if there had been a trial.
The court asked both the prosecutor and defense counsel whether they believed that an adequate basis for the plea had been established. Both attorneys agreed that it had. After the court advised Mr. Weeks of his rights, Mr. Weeks pled guilty and agreed that he was pleading guilty "voluntarily and of [his] own free will." Id. at 51. Four years later, Mr. Weeks was sentenced to a year and a day in prison, and ordered to pay a fine of $51,643.25.
Mr. Weeks now asserts that his guilty plea was not knowing and voluntary. In his pro se § 2255 motion, he articulated an ineffective assistance of counsel claim based generally on six grounds for relief: (1) failure to meet and confer with the defendant in a meaningful manner; (2) failure to conduct meaningful due diligence and discovery; (3) failure to inform the petitioner regarding the superseding indictment; (4) failure to file a motion to dismiss; (5) fraud on the court; and (6) failure to file an appeal. As supporting facts, Mr. Weeks asserted that Mr. Barber had never met with him to review, discuss, or analyze the 160,000 pages of documents involved in the case. Mr. Barber did not review or even organize the vast quantity of documents underlying the claims against Mr. Weeks. Mr. Barber failed to prepare for pre-trial hearings and never conferred with, counseled, or prepared Mr. Weeks for these pre-trial hearings. Mr. Barber never deposed or conducted interviews with possible witnesses. Mr. Barber did not advise Mr. Weeks of the second superseding indictment before his arraignment or explain the importance and effect of that indictment's addition of a conspiracy charge. Mr. Weeks then asserted:
Supp. Rec., vol. II at 32-33.
Mr. Weeks said he "struggled mightily at his plea and sentencing hearings in his colloquy and allocution before the Court," id. at 33, and that he "never admitted to `willfully and knowingly' committing the crime of conspiracy," id. He further asserted that shortly after sentencing, he demanded that Mr. Barber "retract his guilty plea or appeal his conviction." Id. at 35. Mr. Barber refused, and represented to Mr. Weeks that he could not retract his guilty plea. He also incorrectly told Mr. Weeks that he had waived his right to appeal his conviction.
We first address Mr. Weeks' direct appeal.
The government responds that the district court was "diligent in ensuring that Weeks fully understood the elements of the offense to which he was pleading guilty," and that Mr. Weeks admitted the essential elements of the offense. Aple. Br. at 20. The government also argues that even if Mr. Weeks did not admit to committing the crime, his plea was nonetheless valid as an Alford plea. See North Carolina v. Alford, 400 U.S. 25, 37, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970) (holding that a guilty plea accompanied by protestations of innocence is valid when the "defendant intelligently concludes that his interests require entry of a guilty plea and the record before the judge contains strong evidence of actual guilt").
Mr. Weeks did not move to withdraw his guilty plea before he was sentenced, and he never objected on the basis that his plea was not knowing and voluntary. In fact, he told the district court the contrary during his plea colloquy by stating that he understood the charge and was voluntarily entering his guilty plea. "Whether a guilty plea was entered knowingly and intelligently is generally a question of law subject to de novo review." United States v. Vidal, 561 F.3d 1113, 1118 (10th Cir.2009). But where, as here, the defendant did not raise the objection below, we review for plain error. Id.; see also United States v. Vonn, 535 U.S. 55, 59, 122 S.Ct. 1043, 152 L.Ed.2d 90 (2002). "Plain error occurs when there is (1) error, (2) that is plain, which (3) affects the defendant's substantial rights, and which (4) seriously affects the fairness, integrity, or public reputation of judicial proceedings." United States v. Landeros-Lopez, 615 F.3d 1260, 1263 (10th Cir.2010) (internal quotation marks omitted). An error is "plain" if it is clear or obvious under current, well-settled law. United States v. Olano, 507 U.S. 725, 734, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993); United States v. Edgar, 348 F.3d 867, 871 (10th Cir.2003). We "apply the plain error rule less rigidly when reviewing a potential constitutional error, such as accepting a plea that is not knowing and intelligent." Vidal, 561 F.3d at 1119 (citation and internal quotation marks omitted).
"[B]ecause a guilty plea is an admission of all the elements of a formal criminal charge, it cannot be truly voluntary unless the defendant possesses an understanding of the law in relation to the facts." United States v. Gigot, 147 F.3d 1193, 1198 (10th Cir.1998) (quoting McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969)) (internal quotation marks omitted). If the defendant does not have any real understanding of the nature of the crime charged, then the plea cannot be a "`deliberate' choice between `available alternatives.'" Id. at 1199; see also Hicks v. Franklin, 546 F.3d 1279, 1284 (10th Cir.2008) ("The defendant receives `real notice' of the charge when he has been informed of both the nature of the charge to which he is pleading guilty and its elements.").
"Rule 11 of the Federal Rules of Criminal Procedure `is designed to assist the district judge in making the constitutionally required determination that a defendant's guilty plea is truly voluntary.'" Gigot, 147 F.3d at 1197 (quoting McCarthy, 394 U.S. at 465, 89 S.Ct. 1166). Before a district court may accept a guilty plea, it must "determine that the defendant understands ... the nature of each charge to which the defendant is pleading." Fed.R.Crim.P. 11(b)(1). Rule 11 also requires a district court to "determine that there is a factual basis for the plea" before it enters judgment on a guilty plea. Fed.R.Crim.P. 11(b)(3). "This rule is intended `to ensure the accuracy of the plea
The transcript of the plea colloquy reflects that the district court carefully followed the Rule 11 procedures. Nevertheless, Mr. Weeks contends he pled guilty without actually understanding the true nature of the crime of conspiracy. He asserts that he never actually admitted to agreeing with his alleged coconspirators to violate securities laws, as opposed to finding out the illegality of the activities after the fact.
As we have noted above, a guilty plea cannot "be voluntary in the sense that it constituted an intelligent admission that he committed the offense unless the defendant received real notice of the true nature of the charge against him...." Henderson v. Morgan, 426 U.S. 637, 645, 96 S.Ct. 2253, 49 L.Ed.2d 108 (1976) (internal quotation marks omitted). In order to establish an involuntary plea under Henderson, Mr. Weeks must: "(1) show that the [intent] element was a critical element of [the charge]; (2) overcome the presumption that his attorney explained this element to him at some other time prior to his guilty plea; and (3) demonstrate that, prior to his guilty plea, he did not receive notice of this element from any other source." Allen v. Mullin, 368 F.3d 1220, 1241 (10th Cir. 2004) (alteration in original) (internal quotation marks omitted).
The problem for Mr. Weeks is the high hurdle of the plain error test. From a review of the plea colloquy, it is not "obvious," as required by the plain error test, that Mr. Weeks misunderstood, and thereby failed to admit to, the charges against him; the court, his counsel, and the prosecutor all provided further explanations of the charge in response to his assertion in the plea colloquy that he did not "knowingly" allow the stock of his company to be sold offshore in violation of the law. See Rec., vol. IV at 42-48. The plea colloquy is sufficiently confusing that, even after multiple readings, it is difficult to determine whether Mr. Weeks understood and admitted to all of the essential elements of conspiracy.
Several facts in particular convince us that any error is not plain. After the government stated the elements of the conspiracy, Mr. Weeks informed the court that he had read and understood both the indictment and the plea agreement.
At the end of the colloquy, Mr. Weeks pled guilty to the conspiracy charge without any further claim that he did not knowingly violate the law. Furthermore, four years passed between Mr. Weeks' guilty plea and sentencing, during which time Mr. Weeks raised no concerns about the validity of his guilty plea. Under these circumstances, it is neither obvious nor plain that Mr. Weeks' plea was involuntary. Accordingly, we affirm Mr. Weeks' conviction.
In Mr. Weeks' collateral attack, he contends the district court erred in denying his § 2255 petition without holding an evidentiary hearing because his pro se petition raised issues regarding the ineffective assistance of his trial counsel which, if true, would entitle him to relief.
"Unless the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief, the court shall ... grant a prompt hearing thereon, determine the issues and make findings of fact and conclusions of law with respect thereto...." 28 U.S.C. § 2255(b). Accordingly, "[r]eview in a section 2255 habeas action entails a two-step inquiry: (1) whether the defendant is entitled to relief if his allegations are proved; and (2) whether the district court abused its discretion by refusing to grant an evidentiary hearing." United States v. Whalen, 976 F.2d 1346, 1348 (10th Cir.1992).
We first consider whether Mr. Weeks has articulated facts which, if proven, would entitle him to relief. When a habeas petitioner challenges his guilty plea on the ground that he was denied his Sixth Amendment right to effective assistance of counsel, he must satisfy two criteria to show entitlement to relief. First, he must show that his counsel's representation "fell below an objective standard of reasonableness." Strickland v. Washington, 466 U.S. 668, 688, 104 S.Ct. 2052, 80 L.Ed.2d 674
"Where, as here, the defendant is represented by counsel during the plea process and enters his plea upon the advice of counsel, the voluntariness of the plea depends on whether counsel's advice was within the range of competence demanded of attorneys in criminal cases." Id. at 56, 106 S.Ct. 366 (internal quotation marks omitted). In Henderson v. Morgan, 426 U.S. 637, 96 S.Ct. 2253, 49 L.Ed.2d 108 (1976), the Supreme Court "clearly established the rule that a defendant must receive notice of all critical elements of the charge to which he pleads guilty." Hicks v. Franklin, 546 F.3d 1279, 1284 (10th Cir.2008) (discussing Henderson). Thus, an individual may bring an ineffective assistance of counsel claim based on the argument that he lacked notice of the elements of the crime:
Miller v. Champion, 161 F.3d 1249, 1255 (10th Cir.1998).
To establish that his plea was involuntary under Henderson and that his counsel's advice was outside the range of competence demanded of attorneys in criminal cases, Mr. Weeks must "(1) show that the [intent] element was a critical element of [the charge]; (2) overcome the presumption that his attorney explained this element to him at some other time prior to his guilty plea; and (3) demonstrate that, prior to his guilty plea, he did not receive notice of this element from any other source." Id.; see also Henderson, 426 U.S. at 646-47, 96 S.Ct. 2253. "As to the second requirement, we will not indulge the presumption unless there is factual basis in the record to support it." Allen, 368 F.3d at 1241 (citing Miller, 161 F.3d at 1255).
If the facts Mr. Weeks alleged in his petition are true, then he has made a credible claim that his plea was involuntary because of his attorney's ineffectiveness. First, Mr. Weeks alleges he did not understand the elements of conspiracy. According to the petition, Mr. Weeks' counsel failed to properly advise Mr. Weeks of the charges in the second superseding indictment. As a result, he did not understand that his lack of intent to commit a crime, i.e., his lack of knowledge of the illegality of the activities to which he had agreed, provided a valid defense to the conspiracy charge. Supp. Rec., vol. II at 28-29.
As to the second requirement of Miller, there is a factual basis in the record to support a presumption that Mr. Barber properly explained the elements of conspiracy to Mr. Weeks. During the plea colloquy, Mr. Weeks confirmed he had fully discussed the charge against him with Mr. Barber and was fully satisfied with Mr. Barber's counsel, advice, and representation. But Mr. Weeks' petition alleges adequate facts which, if proved, would overcome this presumption. Mr. Weeks' petition asserts that his attorney inadequately counseled and advised him on the second superseding indictment (which added the conspiracy count), and that as a result he did not "understand the relative meaning and import of a superseding indictment and its securities fraud and conspiracy charges" until during his imprisonment. Supp. Rec., vol. II at 28.
Mr. Weeks' statements during the plea colloquy appear to lend some support to his claim that Mr. Barber failed to properly explain to him the meaning of the elements of conspiracy. After the charges against Mr. Weeks were read aloud, he asked to consult with his lawyer, suggesting he had questions about the charge. Moreover, Mr. Weeks' description of his own conduct suggests he may have misunderstood the elements of conspiracy. When the court asked him to describe "what you did that you believe makes you guilty of the conspiracy charge," he replied, "I allowed the stock of a public company to be issued to two individuals who took it offshore and broke the laws of the United States." Rec., vol. IV at 41. But Mr. Weeks immediately denied having done this "knowingly," and explained instead that he "was a party to it." Id. "[W]here a defendant affirmatively indicates to the court that he does not understand a critical element of the charge against him, the presumption that a defendant has been sufficiently notified by defense counsel of what he is being asked to admit will typically be unwarranted." Hicks, 546 F.3d at 1285.
Third, although Mr. Weeks was informed generally of the elements of conspiracy during the plea colloquy, the facts he alleges, if proved, could show he did not receive true notice of the nature of the crime from a source other than his attorney. "In the ordinary case, a correct statement of the law from the trial judge will assuage any doubts that a defendant has not received notice of the nature of the charges against him." Id. For a defendant to have true notice of the elements of a crime, however, he or she must not only hear a recitation of the elements, but must also understand their meaning. See, e.g., Gigot, 147 F.3d at 1198 ("[B]ecause a
After Mr. Weeks denied acting "knowingly," the district court expressed concern about Mr. Weeks' statement. It then said, "I think, as Mr. Walz [the prosecutor] indicated, that part of the conspiracy element — one of the elements is that the activities were done knowingly." Rec., vol. IV at 42 (emphasis added). That statement did not expressly inform Mr. Weeks he had to know the activities violated the securities law when he agreed to them — only that he had to knowingly agree to the activities. The court asked Mr. Barber to try to clear matters up. Clarity was not necessarily the result of Mr. Barber's questioning. He asked Mr. Weeks about his knowledge of the "activities," that is, his conduct and that of the other defendants. Mr. Weeks admitted he knew that large numbers of Pan World shares were being sold in the market place and that they were not registered. But Mr. Barber then said, "Now these large amounts of shares were therefore sold, were they not, in reliance on purported exemptions from registration?" Id. at 43. To which Mr. Weeks responded, "That's correct." Id. Mr. Barber followed up by getting Mr. Weeks to agree that, "In fact, you are convinced now that ... there was a violation of the Securities Act of 1933." Id. (emphasis added). Mr. Barber then declared, "I believe that is adequate." Id. However, an admission by Mr. Weeks that he knew about the "activities" of his co-conspirators when they were occurring, and that he now knows those activities violated the law, is not definitively an admission he knew at the time he agreed to the activities that they were illegal. And according to Mr. Weeks' petition, he never admitted to "knowingly" violating the law.
At the plea hearing, the prosecutor described in great detail the activities of Mr. Weeks' co-conspirators in marketing shares of Pan World in return for "undisclosed compensation," that Mr. Weeks' wife received a payment of $3,000 from a company owned by one of the co-conspirators, that a man in California was paid to recommend that people buy the stock, that Mr. Weeks appeared in television infomercials with the man, and that a company in the West Indies controlled by Mr. Weeks' co-conspirators received 106 million shares of company stock, and that profits from these stock sales were funneled back into the company. Id. at 45-47. The prosecutor then concluded by stating:
Id. at 47-48. Thereafter, the following occurred:
Id. at 48. But Mr. Weeks was not specifically asked if he knew at the times these activities were occurring they violated the securities laws. And although Mr. Weeks' statements indicate he was part of an agreement to sell the unregistered shares overseas, arguably none of his statements indicate he knew this activity was illegal. In fact, Mr. Weeks also said that the shares of stock were sold "in reliance on purported exemptions from registration." Id. at 43. Thus, the record does not expressly contradict Mr. Weeks' allegation in his petition that he "never admitted to `willfully and knowingly' committing the crime of conspiracy." Supp. Rec., vol. II at 33.
Mr. Weeks has also alleged facts that would rebut the presumption that he was informed of the nature of the charge against him when he was provided a copy of the indictment. See Bousley, 523 U.S. at 618, 118 S.Ct. 1604. Although the second superseding indictment included the elements of conspiracy, nothing in the charge itself necessarily contradicts Mr. Weeks' alleged misunderstanding of the law.
To satisfy the second prong, Mr. Weeks "must show that there is a reasonable probability that, but for counsel's errors, he would not have pleaded guilty and would have insisted on going to trial." Hill, 474 U.S. at 59, 106 S.Ct. 366.
The government correctly points out that a district court is not required to conduct an evidentiary hearing when a petitioner's allegations merely contradict his earlier sworn statements. Hedman v. United States, 527 F.2d 20, 21 (10th Cir.1975) (per curiam). "Solemn declarations in open court carry a strong presumption of verity. The subsequent presentation of conclusory allegations unsupported by specifics is subject to summary dismissal, as are contentions that in the face of the record are wholly incredible." Blackledge v. Allison, 431 U.S. 63, 74, 97 S.Ct. 1621, 52 L.Ed.2d 136 (1977). Accordingly, the "truth and accuracy" of a defendant's statements during the Rule 11 proceeding "should be regarded as conclusive in the absence of a believable, valid reason justifying a departure from the apparent truth of his Rule 11 statements." Hedman, 527 F.2d at 22.
The government relies on Hedman to contend that Mr. Weeks' ineffective assistance claims are undermined by his own sworn statements during the plea colloquy and in his written statement in advance of plea. Mr. Weeks stated under oath during the plea colloquy that he had fully discussed the charge against him with Mr. Barber and was fully satisfied with Mr. Barber's counsel, advice, and representation. He also swore in his written statement that he was satisfied with his lawyer and had discussed the case as much as he wished to. According to the government, these statements are conclusive and refute any argument that Mr. Barber's representation was inadequate.
These facts are not dispositive, however, because Mr. Weeks' habeas petition is not based on mere conclusory assertions that contradict earlier statements made under oath. Mr. Weeks provides a valid reason, if believed, for now claiming his representation was inadequate, and his claim is not contradicted by evidence in the record. As discussed above, Mr. Weeks' apparent confusion during the plea colloquy arguably gives some support to his claim that counsel was inadequate in preparing for trial and in preparing Mr. Weeks for the plea hearing. According to Mr. Weeks, he believed at the time that Mr. Barber's representation was adequate because he was unaware he had been misinformed of the elements of conspiracy to commit securities fraud. But now that he understands the true nature of the crime, he alleges, he realizes his counsel misinformed him. Mr.
Reviewing Mr. Weeks' pro se petition liberally, as we must, we conclude the district court abused its discretion when it denied Mr. Weeks' claim that Mr. Barber had provided ineffective assistance of counsel in relation to the plea agreement without permitting further development of the record. It bears emphasis, of course, that we are not deciding the merits of Mr. Weeks' petition. We recite the plea colloquy and Mr. Weeks' allegations in detail only to underscore that Mr. Weeks has made a claim which, if believed, would entitle him to habeas relief. Accordingly, an evidentiary hearing is necessary to determine if Mr. Weeks' allegations are, in fact, true. We therefore vacate the district court's order denying in part Mr. Weeks' § 2255 motion. The matter is remanded for an evidentiary hearing and a new determination based thereon.
In sum, we