United States v. Wampler
624 F.3d 1330
| 10th Cir. | 2010Background
- Government investigated McSha Properties and principals for inflated invoices to obtain loans and tax credits.
- Plea negotiations led to a proposed plea: McSha would plead guilty to wire fraud and money laundering; individuals would be protected from prosecution.
- District court declined to approve the plea, finding it unjust to let principals off the hook, and dismissed McSha's plea with prejudice.
- Jones and McClure agreed to immunity from future prosecution to cause McSha to dismiss its appeal.
- Indictment was filed against Shaver, Wampler, and Colbert; defendants moved to dismiss arguing the old plea barred prosecution and raised separation-of-powers and First Amendment retaliation theories.
- District court denied the motion to dismiss, and defendants appealed to the Tenth Circuit seeking interlocutory review.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether the appeal is reviewable on an interlocutory basis under Cohen | Cohen limits interlocutory review to collateral orders with statutory/constitutional guarantees against trial. | Right not to be tried arising from the plea agreement justifies immediate review. | No jurisdiction; Cohen not satisfied; appeal dismissed. |
| Whether the plea agreement breach claim can be reviewed interlocutorily | Plea terms do not create a statutory/constitutional right against trial that warrants immediate review. | Enforcing the plea would preempt improperly reinviting the defendants to trial. | No jurisdiction; not reviewable interlocutorily. |
| Whether the separation-of-powers challenge is subject to interlocutory review | Separation-of-powers intrusion by the district court affects the case pre-trial. | Should be reviewable to correct executive overreach. | Not reviewable; not a statutory/constitutional right precluding trial. |
| Whether First Amendment retaliation/retaliation-based defense supports interlocutory review | First Amendment concerns may preclude trial and warrant immediate review. | Such defenses are resolved post-trial, not pre-trial. | Not reviewable pre-trial; post-trial review available. |
| Whether double jeopardy claims are colorable and reviewable pre-trial | Double jeopardy bars future trial and should be reviewable now. | Waived/forfeited; not colorable; not reviewable pre-trial. | No colorable basis; not reviewable; dismissed for lack of jurisdiction. |
Key Cases Cited
- Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541 (Supreme Court, 1949) (interlocutory review limited to collateral orders with guaranteed rights not to be tried)
- Midland Asphalt Corp. v. United States, 489 U.S. 794 (Supreme Court, 1989) (necessity of statutory/constitutional guarantees for early review; final judgment rule)
- Digital Equipment Corp. v. Desktop Direct, Inc., 511 U.S. 863 (Supreme Court, 1994) (stringent Cohen collateral-order test; limits on interlocutory review)
- Mohawk Indus. v. Carpenter, 130 S. Ct. 599 (Supreme Court, 2009) (authority for rulemaking approach to finality; Cohen expansion via rules)
- Eggert, 624 F.2d 973 (10th Cir., 1980) (plea agreements and interlocutory review not routinely reviewable; appellate respect for final judgments)
- United States v. Ambort, 193 F.3d 1169 (10th Cir., 1999) (First Amendment defenses reviewed post-trial; no pre-trial collateral review)
- United States v. Quaintance, 523 F.3d 1144 (10th Cir., 2008) (First Amendment and pre-trial review limitations; PHE context)
- United States v. Bolden, 353 F.3d 870 (10th Cir., 2003) (separation-of-powers issues; post-trial relief considerations)
