ALVIN K. HELLERSTEIN, District Judge:
Defendant Alfredo Davis pled guilty to conspiring to commit two robberies and brandishing a firearm in connection with the robberies. Soon after I allocated him and accepted his plea, he informed his attorney that he regretted it and six months later he moved to withdraw it. I denied his motion. United States v. Davis, 906 F.Supp.2d 305 (S.D.N.Y.2012). Davis now moves for reconsideration based on a recent change of Supreme Court doctrine. See Alleyne v. United States, ___ U.S. ___, 133 S.Ct. 2151, 186 L.Ed.2d 314 (2013), overruling Harris v. United States, 536 U.S. 545, 122 S.Ct. 2406, 153 L.Ed.2d 524 (2002). By this order and opinion, I deny Davis' motion for reconsideration and to withdraw his plea.
This case involves eight gunpoint robberies of small grocery stores, known as bodegas, in the Bronx, New York, from January to March 2011. Alfredo Davis and two co-defendants, Jose Nales and Tyrone Alston, were charged with the crimes. All three have pled guilty. Nales and Alston have been sentenced.
A federal grand jury indicted Davis, Nales, and Alston, on August 8, 2011. Davis was charged with six counts: a Hobbs Act conspiracy to commit eight robberies in violation of 18 U.S.C. § 1951; committing three of the robberies, on January 7, February 26, and March 15, 2011, in violation of 18 U.S.C. §§ 1951 and 1952; and carrying firearms in furtherance of two of the robberies, on February 26 and March 15, in violation of 18 U.S.C. §§ 924(c)(1)(A)(ii), 924(c)(1)(C)(i), and 922. Co-Defendant Nales was included in the conspiracy charge, the robbery charge of February 26, and the gun charge related to that robbery. Co-Defendant Alston was included in the conspiracy charge and the January 7 robbery charge.
On April 17, 2012, Nales pled guilty to the February 26, 2011 robbery. Nales was sentenced on July 27, 2012, to sixty months in custody, followed by three years of supervised release. On July 11, 2012, Alston pled guilty to resisting arrest in violation of 18 U.S.C. § 111(a). Alston was sentenced on October 4, 2012 to time served (seven days), followed by twelve months supervised release.
Davis entered plea negotiations with the government. The government told Davis that should he proceed towards trial, the government would seek to supersede the indictment by alleging, under 18 U.S.C. § 924(c), that firearms were used in each of the eight robberies involved in the Hobbs Act conspiracy. Davis' attorney advised Davis that this could result in a mandatory sentence of at least 182 years. Davis and the government reached an agreement for Davis to plead guilty to a Hobbs Act robbery conspiracy involving only the robberies of February 26 and March 15, 2011, and one count of brandishing a firearm in connection with the Hobbs Act conspiracy. On these charges, Davis faced a Sentencing Guidelines range of 125 to 135 months imprisonment and a mandatory minimum sentence of seven years as a result of the brandishing count, 18 U.S.C. § 924(c)(1)(A). See Plea Agreement, Letter from Hon. Preet Bharara, U.S. Attorney, to Jesse Siegel, Esq., attorney for Alfredo Davis (Apr. 18, 2012).
Apr. 20, 2012, Tr. at 2:13-21. Davis answered, "Yes." Id.
I advised Davis that Jose Nales, one of his two co-defendants on the conspiracy charge and his co-defendant on the charge of robbery on February 26, 2011, had told me, at his plea allocution, that Davis did not commit the robbery of February 26, 2011:
Id. at 3:14-17. I then advised Davis that should he plead guilty, he would be giving up his motion to suppress and that therefore I would not be deciding his motion. Davis consulted with his attorney off the record. I asked, "Do you want to proceed, Mr. Davis?" Davis answered, "Yes." Id. at 4:3-19.
I asked Davis if anyone had pressured him in any way to cause him to plead guilty, Davis answered, "No." Id. at 8:18-20. Defendant expressed his satisfaction with the legal services of his attorney, Siegel. Id. at 8:12-17.
I then asked the government to describe the crimes with which Davis was charged. Id. at 11:15-16. The government stated that Davis was charged with two counts. The government described the elements of the first count, participating in a Hobbs Act robbery conspiracy as follows: "[T]here are ... two elements; first, that there was such a conspiracy or agreement and, second, that the defendant knowingly joined the conspiracy." Id. at 11:25-12:3. The government described the elements of the second count, using, carrying, and brandishing a firearm during this robbery conspiracy, as follows: "That crime has three elements; first, on or about the dates set forth in the information ... the defendant either used, carried, or possessed a firearm during the robbery conspiracy and in furtherance of that robbery. The government would also establish the defendant or a co-conspirator brandished the firearm during the robbery conspiracy." Id. at 12:10-18.
Davis testified that he understood that these were the two crimes he was charged with committing. Id. at 13:21-23. Davis admitted his guilt:
Id. at 19:15-18.
I then questioned Davis on the details of the crime to which he was pleading guilty:
Id. at 19:19-20:13.
The government then requested that I ask the Defendant to confirm that it was part of the plan that somebody would carry a gun and that the gun would be brandished. Id. at 19:15-17, 21:1-2. The Defendant confirmed these points.
Id. at 20:18-21:10. I found that Davis' plea of guilty was voluntary, that he understood the consequences of his plea, and that there was an independent basis for finding his guilt. See Fed.R. Crim.P. 11(b). I therefore accepted his plea of guilty. Apr. 20, 2012, Tr. at 21:11-17.
Later that day, Davis claims to have informed his attorney, Siegel, that he regretted his plea and wanted to withdraw it.
Siegel withdrew from representing Davis and, on October 10, 2012, Davis, represented by new counsel, moved to withdraw his guilty plea, arguing that his guilty plea was involuntary because he did not have time to sufficiently weigh his plea as a result of: (i) the Court's statements at his plea allocution that Mr. Nales had exculpated him; (ii) the duress he was under due to the government's threat to file a superseding indictment exposing him to a possible prison sentence of 182 years; and (iii) his counsel's insistence that he plead guilty. On November 29, 2012, I denied Davis' motion, concluding that Davis had not shown a fair and just reason as to why he should be allowed to withdraw his plea. See Opinion, Davis, 906 F.Supp.2d 305.
On December 13, 2012, Davis filed his first motion for reconsideration of my November 29, 2012 order and opinion. He argued that I had overlooked the time period in which he made his decision to plead guilty and the combined effect of the factors affecting his decision to plead. On December 26, 2012, I denied that motion for reconsideration, noting that "I took into consideration each factor, singly and in combination. I have reviewed my decision again, and I affirm its reasoning and conclusion." See Order Denying Motion, Dec. 26, 2012.
On June 17, 2013, the Supreme Court issued its decision in Alleyne. Four months later, on October 25, 2013, Davis filed this motion, a second motion for reconsideration, arguing that he could not have entered a guilty plea knowingly and voluntarily, since he pled guilty prior to the decision in Alleyne, and that the evidence adduced at his plea allocution did not provide a sufficient factual basis to sustain a conviction for aiding and abetting brandishing a firearm. The government opposes the motion.
Davis has not yet been sentenced.
A district court has discretion to decide whether or not to grant a motion for reconsideration. See Aczel v. Labonia, 584 F.3d 52, 61 (2d Cir.2009). "A motion for reconsideration should be granted only when the defendant identifies an intervening change of controlling law, the availability of new evidence, or the need to correct a clear error or prevent manifest injustice." Kolel Beth Yechiel Mechil of Tartikov, Inc. v. YLL Irrevocable Trust, 729 F.3d 99, 104 (2d Cir.2013) (quotation omitted). Davis' motion is based on the Supreme Court's decision in Alleyne, which was decided after Davis' plea but before he was sentenced. As discussed below, Alleyne is a change of controlling law, and thus, a ground for reconsideration. However, upon reconsideration I again deny Davis' motion to withdraw his guilty plea.
Alleyne is part of the overhaul of sentencing law wrought by the Supreme Court's decision in Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000). In Apprendi, the Supreme Court held that, other than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum is, in effect, an element of the crime that must be submitted to a jury and proved beyond a reasonable doubt. Id. at 490, 120 S.Ct. 2348. Accordingly, the Supreme Court struck down a statute authorizing a judge to impose an enhanced sentence after making a factual finding of enhanced criminality because of a "hate crime." The Supreme Court held that the statute, by providing an increased maximum penalty without an indictment alleging and a jury finding each element of the crime violated a defendant's Sixth Amendment right to a jury trial. Id. at 491-92, 120 S.Ct. 2348.
Two years later, in its 2002 decision Harris v. United States, the Supreme Court addressed the related question of whether the Sixth Amendment required that a fact leading to a mandatory minimum sentence be submitted to a jury and proved beyond a reasonable doubt. 536 U.S. 545, 122 S.Ct. 2406, 153 L.Ed.2d 524 (2002). Harris answered in the negative, holding that, once an indictment and jury had authorized the state to impose a certain maximum penalty on a defendant, it was permissible for a judge to find facts leading to the imposition of a mandatory minimum sentence, so long as that sentence did not exceed the maximum authorized penalty. Id. at 560-65, 122 S.Ct. 2406. Accordingly, the Court held that the facts leading to the imposition of a mandatory minimum sentence for brandishing a firearm in violation of 18 U.S.C. § 924(c)(1)(A) could be found by a judge rather than a jury because they were not elements of a crime and. Id. at 567-68, 122 S.Ct. 2406.
In Alleyne, the Supreme Court overruled Harris, holding that "any fact that increases the mandatory minimum [sentence] is an `element' that must be submitted
As many courts have held, Alleyne created a new constitutional right — to a jury trial on any fact that increases the mandatory minimum sentence — that did not exist under Harris. See, e.g., Simpson v. United States, 721 F.3d 875, 876 (7th Cir.2013) ("Alleyne establishes a new rule of constitutional law."). "[A] new rule for the conduct of criminal prosecutions is to be applied retroactively to all cases, state or federal, pending on direct review or not yet final." Griffith v. Kentucky, 479 U.S. 314, 328, 107 S.Ct. 708, 93 L.Ed.2d 649 (1987). "[F]inal judgment in a criminal case means sentence." United States v. Abrams, 137 F.3d 704, 707 (2d Cir.1998) (citing Berman v. United States, 302 U.S. 211, 212, 58 S.Ct. 164, 82 L.Ed. 204 (1937)). Accordingly, Alleyne's rule has retroactive effect in this case because Davis has not been sentenced.
Since Alleyne is "an intervening change of controlling law," Kolel Beth Yechiel Mechil of Tartikov, Inc., 729 F.3d at 104, I consider whether it supports granting Davis' motion to withdraw his guilty plea. "The decision to allow a guilty plea to be withdrawn is committed to the discretion of the district judge." United States v. Harrington, 354 F.3d 178, 183 (2d Cir.2004). A defendant may withdraw a guilty plea before sentencing for "any fair and just reason." Fed.R. Crim.P. 11(d)(2)(B). "The standard for withdrawing a guilty plea is stringent because society has a strong interest in the finality of guilty pleas, and allowing withdrawal of pleas not only undermines confidence in the integrity of our judicial procedures, but also increases the volume of judicial work, and delays and impairs the orderly administration of justice." United States v. Schmidt, 373 F.3d 100, 103 (2d Cir.2004) (quotation omitted).
"In determining whether there is a `fair and just reason' to grant a motion to withdraw a guilty plea prior to sentencing, a district court should consider: (1) whether the defendant has asserted his legal innocence; (2) the amount of time that has elapsed between the plea and the motion; and (3) whether the Government would be prejudiced by a withdrawal of the plea." United States v. Ramos, 98 CR. 1038(SWK), 2005 WL 120230, at *1 (S.D.N.Y. Jan. 20, 2005). "Additionally, courts should consider the circumstances
At the outset, I note that the background equities militate against the exercise of discretion in Davis' favor. "[C]oncern about the injustice that results from the conviction of an innocent person has long been at the core of our criminal justice system." Schlup v. Delo, 513 U.S. 298, 325, 115 S.Ct. 851, 130 L.Ed.2d 808 (1995). But Davis' motion to withdraw his plea is based not on his innocence, but rather on alleged procedural defects in his guilty plea. Allowing Davis to withdraw his plea over eighteen months after it was made would likely prejudice the government's ability to go to trial, as the government would need the testimony of witnesses who, since April 2012, believed that this case is over. See Apr. 20, 2012, Tr. at 17:9-17 ("The government would prove the case with testimony from the victims of the crime ... [and] some civilian witnesses....").
Davis argues that Alleyne rendered his plea defective for three reasons: because he could not have understood his right to stand trial, in violation of Fed.R. Crim.P. 11(b)(1)(C); because he could not have understood the nature of the charge against him, in violation of Fed.R. Crim.P. 11(b)(1)(G); and because he did not admit to facts establishing a factual basis for his plea, in violation of Fed.R. Crim.P. 11(b)(3).
As discussed below, while Alleyne has changed criminal procedural law, its changes do not affect this case because this Court and the government anticipated Alleyne at the plea allocution. Davis has not identified any way in which his allocution regarding the brandishing enhancement would be different if it were conducted today, instead of in April 2012. Indeed, Davis specifically pled that it was part of the plan that a gun would be brandished during the robberies he conspired to commit. Accordingly, the circumstances of this case do not support concluding that Davis has a fair and just reason for withdrawing his plea.
"[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." McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969). Federal Rule of Criminal Procedure 11(b)(1) provides that a court must advise a defendant about his rights and the nature of the crimes against him before accepting a guilty plea. Rules 11(b)(1)(C) and (G) specifically provide that the court must notify a defendant of "the right to a jury trial" and "the nature of each charge to which the defendant is pleading."
Davis argues that he did not understand the nature of the charges against him, or his right to a jury trial, because Alleyne changed the elements of the crime of brandishing a firearm and afforded him a right to a jury trial. Under Harris, which was the controlling precedent at the time of Davis' plea, whether Davis (or a co-conspirator) brandished a gun, in violation 18 U.S.C. § 924(c)(1)(A), was not an element of the crime; it was a sentencing factor, to be determined by the sentencing judge, rather than a jury. Alleyne changed that by making brandishing an element of the crime, and requiring that the government
The Second Circuit's decision in United States v. Gonzalez teaches that an intervening change in law can render a guilty plea unknowing and involuntary. 420 F.3d 111 (2d Cir.2005). Gonzalez pled guilty to a drug crime on the understanding that the drug quantity, which could lead to a mandatory minimum and increased maximum sentence, would be decided by the judge. Id. During Gonzalez' allocution, the sentencing court explicitly advised the defendant that "its own preponderance finding as to [] drug quantity was all that was necessary to impose" an increased sentence. Id. at 132, After Gonzalez' plea, the Supreme Court issued its decision in Apprendi, under which the government would have been required to prove the drug quantity beyond a reasonable doubt in front of a jury. On appeal, the Second Circuit concluded that, in light of Apprendi, Gonzalez had been misinformed of his right to a jury trial in violation of Rule 11(b)(1)(C). After reviewing the plea transcript — which indicated that Gonzalez wished to contest only the quantity of drugs he was charged with distributing and therefore pled guilty in order to concentrate his efforts on a Fatico hearing
Here, there is no indication that Davis was deprived of significant information regarding the nature of the charged crime. See Fed.R. Crim.P. 11(b)(1)(G). Unlike in Gonzalez — where the sentencing court's statement that the drug quantity would be determined by the court, not a jury, was rendered incorrect by the Supreme Court's decision in Apprendi — in this case the government and this Court anticipated the Supreme Court's decision in Alleyne and treated brandishing as an element. The information charging Davis contained the brandishing charge.
Davis maintains that the fact that this Court and the government treated brandishing as an element in anticipation of Alleyne is irrelevant, because Rule 11(b)(1) is concerned with the defendant's understanding of the charges against him. But
Similarly, there was no violation of Rule 11(b)(1)(C)'s requirement that a sentencing court notify a defendant of his right to a jury trial. During the allocution, I informed Davis of his right to have the government prove the charges against him beyond a reasonable doubt and to the unanimous satisfaction of a jury. Apr. 20, 2012 Tr. 9:5-10. Davis understood that brandishing was an element of one of the crimes he was charged with. Davis and Siegel's affidavits do not contend that Davis in fact believed, or was advised by counsel, that he was not entitled to a jury trial on the brandishing element.
Since Davis pled guilty on the understanding that he had a right to a jury trial on the brandishing offense, he is differently situated from Gonzalez who actually wanted to challenge the drug quantity, and only pled guilty because he affirmatively believed he did not have a right to a jury trial on that issue. See id. Davis did not rely on Harris' holding that the brandishing element would be decided by a judge when he entered his guilty plea: rather than asking for a Fatico hearing to contest the brandishing element, Davis simply admitted that he had aided and abetted the brandishing of a gun when he pled guilty. In sum, Davis has not shown that his plea was not knowing and voluntary.
Federal Rule of Criminal Procedure 11(b)(3) provides that, "[b]efore entering judgment on a guilty plea, the court must determine that there is a factual basis for the plea." This requirement "is designed to protect a defendant who is in the position of pleading voluntarily with an understanding of the nature of the charge but without realizing that his conduct does not actually fall within the charge." United States v. Garcia, 587 F.3d 509, 514 (2d
Davis argues that there was no factual basis for concluding that he aided and abetted the brandishing of a firearm, rendering his plea defective under Alleyne, However, while Alleyne changed the procedure governing how a violation of 18 U.S.C. § 924(c)(1)(A)(ii) is proved, it did not alter the facts needed to prove a brandishing offense. Accordingly, there is no intervening change of law justifying reconsideration of the factual basis for Davis' plea. In any event, there was a factual basis for accepting the plea.
The statute at issue, 18 U.S.C. § 924(c)(1)(A), provides in relevant part that:
Under 18 U.S.C. § 2(a), any person who "aids, abets, counsels, commands, induces or procures [the] commission" of a crime is punishable as a principal.
Davis contends that he did not admit to aiding and abetting brandishing a gun because he admitted only to knowledge that a gun would be brandished. In making this argument, he relies on the Second Circuit's decision in United States v. Medina and its progeny. 32 F.3d 40 (2d Cir. 1994). Medina held that a defendant could not be convicted under 18 U.S.C. § 924(c)(1)(A), for aiding and abetting the use of firearm "merely because he knew that a firearm would be used or carried [during a robbery] and, with that knowledge, performed an act to facilitate or encourage the robbery itself." Id. at 45.
The defendant in Medina had arranged for a robbery to take place, but was not present when it took place. Id. at 42-43. Medina learned that one of his accomplices carrying out the robbery had independently decided to carry a gun, but Medina did not plan for or encourage the use of that gun. Id. at 43, 45.
Additionally, the Medina court relied on the fact that the defendant had not planned for the firearm's use in the robbery. In United States v. Pipola, the Second Circuit distinguished Medina, holding that where the defendant had "designed the plans for two robberies and these plans, including the use of firearms, were effectuated through the acts of his co-conspirators," the defendant had aided and abetted the co-conspirators' use of the guns, by encouraging their use. 83 F.3d 556, 565 (2d Cir.1996). Like in Pipola, Davis testified that he planned the robberies and that his co-conspirators' brandishing of a gun to extract cooperation was part of their plan. Apr. 20, 2012, Tr. at 19:20-23, 20:18-23. Accordingly, Davis too encouraged the brandishing of a gun. In sum, there was a factual basis for Davis' plea.
As set forth above, the changes in law wrought by Alleyne do not present a fair and just reason for Davis to withdraw his plea. Accordingly, Davis' motion for reconsideration and to withdraw his guilty plea is denied. The Clerk shall mark the motion (Doc. No. 113) terminated. Davis will be sentenced on March 21, 2014 at 11am.
SO ORDERED.