United States v. Denard Neal
2015 U.S. App. LEXIS 460
| 9th Cir. | 2015Background
- While incarcerated in 2010, Denard Neal prepared packets containing "Security Agreement Commercial Lien" forms and UCC-1 financing statements claiming sums owed by 14 USP-Atwater employees and instructing his mother how to file them to get the employees fired.
- The packet included a cover letter to Neal’s mother with filing instructions and a letter purporting to give "Actual and Constructive Notice" to a DOJ official. Neal admitted creating and attempting to file the documents in an FBI interview.
- Neal was charged with 14 counts under 18 U.S.C. § 1521 (filing, attempting to file, or conspiring to file false liens/encumbrances against federal officers/employees). He proceeded pro se after a Faretta colloquy.
- At trial Neal conceded authorship but argued the listed collateral ("oath of offices" and related bonds) was not the employees’ real or personal property and thus not covered by § 1521; jury convicted on all counts.
- District court sentenced Neal to 87 months on each count (concurrent to each other, consecutive to any undischarged term). On appeal Neal challenged sufficiency of the evidence, competency/validity of his Faretta waiver, Sentencing Guideline enhancements, and alleged errors in the presentence report.
Issues
| Issue | Neal's Argument | Government's Argument | Held |
|---|---|---|---|
| Sufficiency of evidence under § 1521 (meaning of "real or personal property") | Collateral Neal listed (oath of office and bonds) is not real or personal property, so § 1521 not violated | § 1521 targets documents of the sort used to create liens/encumbrances; validity or legal sufficiency of collateral is irrelevant | Affirmed: statute covers filings of the sort that could create false liens; evidence supported conviction on plain-error review |
| Competency / Faretta waiver | Neal was incompetent; court should have sua sponte ordered a competency hearing and disallowed self‑representation | Medical records and courtroom conduct did not raise a genuine doubt; Faretta colloquy was adequate | No plain error: medical and behavioral evidence insufficient; waiver was knowing, voluntary, intelligent |
| Sentencing — application of USSG §2A6.1(b)(2)(B) multiple‑lien enhancement | Enhancement applies only when multiple liens target the same victim; its use here double counts harms already addressed by multiple‑count grouping | §2A6.1(b)(2)(B) applies when offense involved more than two false liens; application notes permit considering prior and concurrent conduct and multiple victims; enhancement addresses removal burden, not incremental punishment | No plain error: enhancement properly applied and serves a distinct purpose from §3D1.4 multiple‑count grouping |
| Sentence affected by inaccurate presentence report | Incorrect aggregation of prior sentences led to a longer current sentence | Record does not show court or probation relied on the incorrect aggregate months; sentencing followed Guidelines and ordered consecutive to undischarged term | No plain error: no evidence the error affected sentencing outcome |
Key Cases Cited
- Jackson v. Virginia, 443 U.S. 307 (standard for sufficiency of the evidence)
- Faretta v. California, 422 U.S. 806 (right to self‑representation)
- BedRoc Ltd., LLC v. United States, 541 U.S. 176 (statutory interpretation begins with text)
- Ron Pair Enters., Inc. v. United States, 489 U.S. 235 (statutory terms given ordinary meaning)
- United States v. Reed, 668 F.3d 978 (§ 1521 triggered by filing false or fictitious lien regardless of legal sufficiency)
- United States v. Garza, 751 F.3d 1130 (when competency hearing sua sponte required)
- Indiana v. Edwards, 554 U.S. 164 (competency to stand trial vs. to self‑represent)
- United States v. Smith, 719 F.3d 1120 (cumulative application of distinct Guidelines provisions permissible)