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United States v. Savino Braxton, 4th Cir. (2015)
United States v. Savino Braxton, 4th Cir. (2015)
No. 13-4491
Appeal from the United States District Court for the District of
Maryland, at Baltimore.
Richard D. Bennett, District Judge.
(1:09-cr-00478-RDB-1)
Argued:
Decided:
months,
Savino
Braxton
(Braxton)
insisted
on
On what
would
Braxton
have
reversed
Because
been
course
the
the
first
and
day
accepted
district
court
of
the
trial,
however,
governments
impermissibly
plea
participated
offer.
in
the
I.
Braxton
was
charged
with
possession
with
intent
to
841(a)
(2012).
Ordinarily,
this
charge
carries
21 U.S.C.
prior
felony
information,
effectively
doubling
the
See id.; 21
plea
with
his
Tuminelli
(Tuminelli).
expressed
concern
that
court-appointed
During
if
Braxton
those
did
counsel,
Arcangelo
discussions,
not
plead
Tuminelli
guilty,
the
J.A. 36-37.
During a hearing
on
The
November
19,
government
2012,
indeed
Tuminellis
filed
fears
prior
were
felony
That
had
received
and
rejected
plea
agreement
formally
J.A. 237.
new
counsel
or,
in
the
both
requests.
First,
alternative,
that
he
be
district
court
found
that
J.A. 240.
J.A.
252.
Although
Braxtons
requests
for
new
counsel
and
self-
disagreed
about
whether
Braxton
should
that
he
was
guilty
of
possessing
accept
the
Although Braxton
with
intent
to
drugs.
J.A. 253.
into
this
dispute,
the
district
court
repeatedly
J.A. 265.
courts
own
choosing
words,
to
scenario,
Braxton
go to
the
was
trial.
district
hurting
[his]
J.A. 267. 2
court
found
Given
In the
interest
the
Braxtons
by
sentencing
position
J.A. 272.
J.A. 276.
Thirty
result
just
over
dispute
over
drug
quantity.
J.A. 277.
district
court
explained
that
it
had
been
J.A. 284.
285.
Satisfied,
J.A. 285.
the
district
court
accepted
Braxtons
been involuntary.
J.A. 329.
II.
A.
Under Federal Rule of Criminal Procedure 11(c)(1), [a]n
attorney for the government and the defendants attorney . . .
may discuss and reach a plea agreement.
expressly
prohibited
discussions.
intended
to
Id.
eliminate
from
This
the
participat[ing]
prohibition,
added
previously
common
in
in
these
1974,
practice
was
of
133
S.
Ct.
2139,
2146
(2013)
(quoting
Advisory
812, 815 (4th Cir. 2014) (quoting United States v. Bradley, 455
F.3d 453, 460 (4th Cir. 2006)).
Id.
And
recently
had
occasion
to
apply
these
principles
in
In that
defendants]
best
interests
and
strongly
suggest[ing]
Id. at 816.
occurred just five days before the defendant changed his mind
about going to trial and executed a plea agreement, we found
that
there
was
reasonable
probability
that,
but
for
the
error, he would not have entered the plea, and that the error
had therefore affected his substantial rights.
Id. at 817-18
plea
discussions,
our
refusal
to
notice
the
error
would
Olano, 507 U.S. 725, 736 (1993); Bradley, 455 F.3d at 463).
the
basis
of
these
findings,
we
concluded
that
On
the
district
Id. at 821-22.
Because
as
in
Sanya,
doubtlessly
the
district
well-intentioned,
court
made
that
repeated
nevertheless
Braxton
pleaded
would
guilty.
receive
See
id.
more
at
favorable
816.
The
sentence
district
if
court,
he
for
of
emphasizing
for
Braxton
that
the
judge
who
was
counseling him to accept a plea was the same judge who would be
sentencing
him,
increasing
the
risk
that
Braxton
would
feel
by
the
court,
or
comments
made
only
after
plea
States v. Cannady, 283 F.3d 641, 644 (4th Cir. 2002) (finding no
error where district courts comments were made after the plea
agreement had been executed).
constitute
judicial
participation
in
plea
discussions,
and
As
participation
we
We
held
in
plea
discussions
Sanya,
the
against
Id.
clearly
see
also
prohibits
Bradley,
455
F.3d
court
from
in
Sanya
guides
longstanding,
judicial
the
817;
is
rule
and
at
in
at
460
(Rule
participating
11(c)(1)
in
plea
negotiations.).
Our
reasoning
our
analysis
of
the
In this
error
led
him
to
enter
the
plea. 4
Sanya,
774
F.3d
at
817
As in Sanya, our
lunch
recess
that
followed
the
district
courts
that
Braxton
reconsidered
his
long
held
position
and
plea
follow[s]
soon
likely to be prejudicial).
after
error,
the
error
is
more
participation
seriously
affect[s]
proceedings.
463).
in
the
plea
discussions
fairness
and
almost
integrity
inevitably
of
judicial
As in
as
States
a
v.
neutral
arbiter
Baker,
489
of
F.3d
justice,
366,
375
id.
(quoting
(D.C.
Cir.
United
2007)),
Accordingly, and
government
does
not
question
our
holding
in
Sanya,
12
1.
The government argues that no error can have occurred in
this case because Braxton stated during his Rule 11 colloquy
that his plea was given voluntarily.
We disagree.
The very
negotiation
is
inherently
coercive,
creating
an
to
preside
over
his
trial
and
determine
his
sentence.
that
his
plea
was
voluntary,
made
in
response
to
the
colloquy
itself,
the
district
court
Even
continued
to
advocate against exercise of the right to trial and for the plea
agreement,
sharing
with
Braxton
its
concern
over
your
by
failing
to
plead
guilty,
J.A.
285.
Braxtons
statement that his plea was freely given came directly on the
heels of these judicial exhortations, and we cannot be confident
that it was not itself a product of the Rule 11(c)(1) error in
this case.
behalf
of
plea
raise[s]
the
possibility,
if
only
in
the
upon
the
advantages
of
the
plea
agreement
and
to
the
represent
meaning
of
himself
was
Faretta
v.
knowing
and
California,
intelligent
422
U.S.
806
(1975),
as
well
as
to
ensure
that
the
plea
was
effectively
We
disagree.
In
this
case,
at
least,
the
governments
argument
is
the
district
court
first
memorialized
the
governments
At the very
to
Braxton.
government
Braxton
described
understood
rejected.
J.A.
the
the
234.
After
offer,
and
terms
of
Tuminelli
the
the
court
plea
agreed,
ensured
agreement
the
that
he
had
The
J.A.
238.
Similarly,
the
Faretta
issue
was
promptly
and
fully
When
It went on,
however,
to
by
ensuring
that
proceeding
undertake
Braxton
without
the
was
counsel
colloquy
aware
and
contemplated
of
the
risk
highlighting
Faretta,
inherent
specifically
in
the
J.A. 251.
And
then the court resolved the Faretta issue in its entirety and in
no
uncertain
terms,
denying
Braxtons
seated
now.
representation.
So
Ive
have
noted
your
motion
analysis.
for
self-
denied
the
motion
Clearly
for
the
selfmain
J.A.
255.
In short, it was only after it had recorded the rejected
plea offer and denied the Faretta motion for self-representation
that the district court engaged in the conduct that is the basis
of the Rule 11(c)(1) issue here.
nor Faretta can distinguish this case from Sanya or excuse what
otherwise would be Rule 11 error.
In any event, and regardless of the timing, Faretta and
Frye would not justify the comments made here.
In Faretta, the
should
be
made
representing
aware
himself
of
at
the
dangers
trial.
422
and
U.S.
disadvantages
at
835
of
(internal
of
applied
equal
with
proceeding
force
to
if
trial
Braxton
at
all,
had
gone
and
would
have
to
trial
with
representation as without.
stating
favorably
that
[Braxton]
government
go
he
to
urges,
was
not
trial)
(emphasis
something
more
inclined
added).
than
the
towards
Even
if,
standard
having
as
the
Faretta
17
contrary
to
the
governments
suggestion,
does
Frye
do
not
obligate
or
permit
judges
to
give
advice
to
There is no
And the
18
by
memorializing
the
offer
on
the
record
at
the
III.
We have full confidence that the district court acted only
with the best of intentions, seeking a just resolution to the
serious charge that Braxton faced.
to
recognize
this
error
would
seriously
undermine
sentence
proceedings.
and
Although
guilty
we
plea,
have
no
and
remand
doubt
that
for
the
further
original
follow
our
usual
practice
and
direct
that
the
case
be
19