United States v. Keith Lewis
14-4552-cr
| 2d Cir. | Dec 18, 2017Background
- Lewis pled guilty to one-count information for conspiracy to possess with intent to distribute cocaine base; plea agreement included a waiver of appeal and potential 5K1.1 cooperation-based reduction; district court sentenced Lewis to 240 months after finding a breach of the cooperation agreement; government declined to move for 5K1.1 based on alleged breach and supported its decision with the record; Lewis moved to withdraw his guilty plea alleging ineffective assistance of counsel; district court denied plea withdrawal and granted breach findings; Lewis appeals the denial and the appeal waiver enforcement
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Is the appeal waiver valid and enforceable? | Lewis argues waiver was invalid due to ineffective assistance | Waiver was knowing and voluntary and enforceable | Waiver valid and enforceable |
| Did Lewis demonstrate ineffective assistance of counsel to defeat the waiver? | Counsel provided ineffective assistance prejudicing outcome | No deficient performance or prejudice shown | No reversible ineffective-assistance claim; waiver remains enforceable |
| Was the government's denial of a § 5K1.1 downward departure proper? | Government acted in bad faith by withholding cooperation benefit | Government had reason to believe breach; not bad faith to withhold 5K1.1 | District court did not err; no bad faith; breach found, 5K1.1 not required |
| Did the district court abuse its discretion in denying plea withdrawal? | Withdrawal warranted for ineffective assistance and coercion | No fair and just reason; record supports denial | Abuse of discretion not shown; withdrawal denied |
| Should Lewis remain bound by the appeal waiver given the record? | Waiver not valid due to underlying issues | Waiver remains valid as issues lack merit | Appeal waiver enforceable; appeal dismissed |
Key Cases Cited
- United States v. Adams, 448 F.3d 492 (2d Cir. 2006) (abuse-of-discretion standard for withdrawal of guilty plea; fair and just reason required)
- In re Sims, 534 F.3d 117 (2d Cir. 2008) (abuse-of-discretion review for plea withdrawal)
- United States v. Gomez-Perez, 215 F.3d 315 (2d Cir. 2000) (knowing and voluntary waiver enforceability)
- Garcia–Santos v. United States, 273 F.3d 506 (2d Cir. 2001) (plea agreement signing and understanding waiver)
- United States v. Monzon, 359 F.3d 110 (2d Cir. 2004) (merits of ineffective-assistance claim affect enforceability of waiver)
- United States v. Brechner, 99 F.3d 96 (2d Cir. 1996) (government not required to file 5K1.1 after breach; good-faith assessment)