United States v. Rivas-Lopez
2012 U.S. App. LEXIS 7845
5th Cir.2012Background
- Rivas was convicted by a jury of multiple counts including conspiracy to commit hostage taking, hostage taking, and aiding and abetting illegal-alien harboring and transportation for commercial gain.
- A probation officer initially assigned offense level 32 but rejected a 6-level ransom enhancement, resulting in an ultimate PSR offense level of 36 (Guidelines range 188–235 months) and a district court sentence of 188 months.
- Rivas claimed ineffective assistance of counsel under §2255, arguing counsel overestimated sentencing exposure under a proposed plea, causing him to reject the deal and go to trial.
- The district court denied the §2255 motion without an evidentiary hearing, concluding counsel’s estimate was not deficient or prejudicial.
- The Fifth Circuit vacated the district court’s ruling and remanded for an evidentiary hearing to determine deficiency and prejudice with respect to counsel’s plea-related sentencing advice.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether counsel’s sentencing estimation was deficient and prejudicial | Rivas contends counsel overestimated exposure, causing rejection of a favorable plea. | Government argues counsel’s estimate was reasonable and not prejudicial given the record. | Remanded for an evidentiary hearing on both deficiency and prejudice. |
| Whether the district court should have held an evidentiary hearing | A hearing is required to resolve conflicting accounts and determine relief. | Record review suffices to resolve the claim without a hearing. | Remand for evidentiary hearing consistent with the opinion. |
Key Cases Cited
- Strickland v. Washington, 466 U.S. 668 (U.S. 1984) (standard for ineffective assistance)
- Grammas v. United States, 376 F.3d 433 (5th Cir. 2004) (remand for evidentiary hearing on prejudice)
- Herrera v. United States, 412 F.3d 577 (5th Cir. 2005) (remanding for evidentiary hearing on effectiveness)
- Lafler v. Cooper, 566 U.S. 156 (U.S. 2012) (Sixth Amendment right extends to plea offers that lapse)
- Missouri v. Frye, 566 U.S. 139 (U.S. 2012) (prejudice from ineffective assistance in plea bargaining)