MEMORANDUM OPINION AND ORDER
Guy T. Fisher (“Fisher”) and Elmer T. Morris (“Morris”), federal prisoners serving sentences dated January 12, 1984 for narcotics violations, respectively petition, pursuant to 28 U.S.C. § 2255, to vacate portions of the judgment on their sentences. Fisher’s petition, dated May 5, 1997, will be granted only to the extent that his conviction on Count One of the Indictment pursuant to 21 U.S.C. § 846 for conspiracy to distribute narcotics will be vacated. Fisher’s petition will in all other respects be denied. Morris’ petition, dated May 23, 1997, will be denied in its. entirety.
Frank Alphonso James (“James”), a federal prisoner serving a sentence dated January 12, 1984 for narcotics violations, who was tried together with Fisher and Morris, separately petitions. pursuant to 28 U.S.C. § 2255 to vacate portions of the judgment on his sentence or, in the alternative, to be re-sentenced. J'ames’ petition, dated April 24, 1997, will be granted only to the extent that his conviction on Count One of the Indictment pursuant to 21 U.S.C. § 846 for conspiracy to distribute narcotics will be vacated. James’ petition will, in all other respects, be denied.
Background
On November 21,1983, Petitioners, together with their'five co-defendants, were convicted of a variety of offenses arising from them respective roles in the distribution of large quantities of illegal drugs in the New York City area over an eleven year period. Petitioners were associated in an extensive narcotics enterprise called the “Council,” a governing body of drug dealérs that purchased and sold pure heroin, as well as cocaine, PCP and marijuana. Each Council member had his own narcotics business, employing subordinates to dilute and distribute the narcotics within his particular territory. Over the course of its violent history, the Council was responsible for eight murders of suspected informants.
James and Fisher were active and prominent Council members. In fact, James was the organizing force behind the Council’s formation in 1973. Morris, a former Tuckahoe, New York police officer, was not a member of the Council, but was responsible for providing the Council with information about suspected police informants and other assistance. Like their co-defendants, Fisher, James and Morris were convicted on all but one of the Counts in which they were named.
Fisher was convicted of the following: conspiracy to violate narcotics laws in violation of 21 U.S.C. § 846, for which no sentence was imposed; operating a continuing narcotics enterprise (“CCE”) in violation of 21 U.S.C. § 848, for which he was sentenced to life imprisonment without parole and ordered to pay a $100,000 fine; possession with intent to distribute' and distributing heroin in violation of 21 U.S.C. §§ 812, 841(a)(1), 841(b)(1)(A), for which he was sentenced to fifteen years imprisonment, to run concurrent with the CCE sentence, and ordered to pay a $25,000 fine; conspiracy to violate the racketeering laws in violation of 18 U.S.C. § 1962(d), for which he was sentenced to twenty years imprisonment, to run consecutive to the sentences imposed on the other Counts, and ordered to pay a $12,500 fine; and a substantive RICO crime in violation of 18 U.S.C. § 1962(e), for which he was sentenced to twenty years imprisonment, to run consecutive to the sentences imposed on the
Morris was convicted of the following: conspiracy to violate narcotics laws in violation of 21 U.S.C. § 846, for which he was sentenced to fifteen years imprisonment and ordered to pay a $25,000 fine; possession with intent to distribute and distributing heroin in violation of 21 U.S.C. §§ 812, 841(a)(1), 841(b)(1)(A), for which he was sentenced to fifteen years imprisonment, to run concurrent with the narcotics conspiracy sentence, and ordered to pay a $25,000 fine; unlawfully carrying a firearm during the commission of a felony in violation of 18 U.S.C. '§ 924(c)(2), for which he was sentenced to one year of imprisonment, consecutive to the sentences imposed on the other Counts; conspiracy to violate the racketeering laws in violation of 18 U.S.C. § 1962(d), for which he was sentenced fifteen years imprisonment, to run consecutive to the other sentences imposed, and ordered to pay a $12,500 fine; and a substantive RICO crime in violation of 18 U.S.C. § 1962(c), for which he was sentenced to twenty years imprisonment, to run consecutive to the sentences imposed on the other Counts, and ordered to pay a $12,500 -fine. Morris was found not guilty of 18 U’.S .C. § 241, conspiracy to murder government witnesses.
James was convicted of the following: conspiracy to violate narcotics laws in violation of 21 U.S.C. § 846, for which no senténce was imposed; operating a continuing narcotics enterprise (“CCE”) in violation of 21 U.S.C. § 848, for which he was sentenced to life imprisonment without parole and ordered to pay a $75,000 fine; possession with intent to distribute and distributing heroin in- violation of 21 U.S.C. §§ 812, 841(a)(1), 841(b)(1)(A), for which he was sentenced to fifteen years imprisonment, to run concurrent with the CCE sentence, and ordered to pay a $25,000 fine; possession of cocaine in violation of 21 U.S.C. §§ 812, 844 for which he was sentenced to one year imprisonment; to run concurrent with the CCE sentence, and ordered to pay a $5,000 fine; receipt of a firearm by a felon in violation of 21 U.S.C. § 844 and 18 U.S.C. § 922(h), (2)--for which he was sentenced to five years imprisonment, to run consecutive to the sentences imposed on the other Counts, and ordered to pay a $5,000 fine; conspiracy to violate the racketeering laws in violation of 18 U.S.C. § 1962(d), for which he was sentenced to fifteen years imprisonment, to run consecutive to the sentences imposed on the other Counts,' and ordered to pay a $12,500 fine; and a substantive RICO crime in violation of 18 U.S.C. § 1962(c), for which he was sentenced to twenty years imprisonment, to run consecutive to the sentences imposed on the other Counts, and ordered to pay a $12,500 finé. James was found not guilty of 18 U.S.C. § 241, conspiracy to murder 'government witnesses.
James, Fisher and Morris appealed their convictions and the convictions were unanimously affirmed.
United States v. Thomas,
Discussion
Fisher and Morris
Fisher’s and Morris’ arguments in support of their petitions are as follows. First, Fisher argues that in light of the Supreme Court’s decision in Rutledge, one of his two convictions, the § 846 (conspiracy) conviction or the § 848 (CCE) conviction, must be vá-cated; Fisher sets forth various theories by which the Supreme Court directive'that one of these sentences be vacated may benefit him. 1 Second, Fisher argues that all of his convictions must be vacated, and that a new trial must be granted, because hearsay testimony introduced by the government under Rule 804(b)(3) was inadmissible. Third, Fisher asserts that he has discovered new evidence which demonstrates that he did not sell heroin.
The Double Jeopardy Clause of the Fifth Amendment guarantees that no person “shall ... be subject for the same offence to be twice put in jeopardy of life or limb.” U.S. Const, amend. V. The Supreme Court has held that the Double Jeopardy Clause consists of the following three separate constitutional protections: 1) protection against a second prosecution for the same offense after conviction; 2), protection against a second prosecution for the same offense after acquittal; and 3) protection against multiple punishments for the same offense.
North Carolina v. Pearce,
It is common for multiple charges to arise from the same act or series of acts. However, courts may not impose a greater punishment than was intended by the legislature, and it is presumed that if multiple statutory provisions proscribe the “same offense,” a legislature did not intend to,impose multiple punishments for the offense.
Rutledge,
1. Fisher’s Narcotics Conspiracy Conviction.
At the time of Fisher’s sentencing, this Court applied the
Blockburger
test to Fisher’s narcotics conspiracy and CCE convictions. As the Court was aware at that time, “ § 846 is a lesser included offense of § 848 in the purest form.”
United States v. Young,
By not imposing any sentence on the narcotics conspiracy conviction, the Court followed the former practice in this Circuit in cases where a defendant was convicted of both § 846 and § 848. The former practice was to “combine the conviction for the lesser offense with the conviction on the greater offense, leaving the defendant convicted of two .offenses but punished for only one.”
United States v. Miller,
In
Rutledge,
however, the Supreme Court prohibited this practice. The Court held that where a petitioner was sentenced to concurrent life sentences under both § 846 and § 848, one of the convictions must be vacated to avoid multiple punishments.
Rutledge, 517 U.S.
at 306,
In
United States v. Rosario,
Fisher argues that, of the two convictions imposed upon him here, it is the CCE conviction that must be vacated. He asserts that, because CCE was charged as the second Count in the indictment, his conviction thereon after the entry of his conspiracy conviction amounted to a subsequent conviction for the same offense. However, Fisher’s claim seeks protection against a second prosecution for the same offense after a conviction has already been entered. This type of Double Jeopardy protection is not at issue in this case, as it was in
United States v. Dixon,
Alternatively, Fisher suggests that the defendant should be entitled to choose which of the sentences he would like to have- vacated. Fisher would elect to vacate the CCE conviction, for which he was sentenced to life imprisonment, rather than the narcotics conspiracy conviction, for which no sentence was imposed. No legitimate support for this suggestion is found.
Fisher’s conviction under 21 U.S.C. § 846 for conspiring to distribute narcotics will be vacated. His sentence for operating a continuing narcotics enterprise (“CCE”) in violation of 21 U.S.C. § 848 remains intact.
2. Fisher’s RICO Enterprise Conviction.
Fisher argues that
Rutledge
also requires vacatur of his conviction for conspiracy to violate the racketeering laws in violation of 18 U.S.C. § 1962(d), for which he was sentenced to twenty years imprisonment. However, RICO conspiracy is neither the same offense as CCE nor a lesser included offense of CCE. Offenses based on the same facts are not the “same” offenses for Double Jeopardy purposes if proof of each requires proof of some element that the other does not.
Blockburger,
A Section 1962(d) conspiracy requires proof of the existence of an “enterprise” engaged in a “pattern of racketeering activity”; a Section 846 conspiracy does not. Section 846 requires proof of a narcotics related conspiracy; a RICO conspiracy charge is satisfied by proof of an agreement to commit a felony; no proof of conspiracy to commit narcotics violations is necessary. Thus, each offense requires proof of a fact that the other does not, and the Blockburger test is satisfied.
United States v. Thomas,
3. Fisher’s Continuing Criminal Enterprise Conviction
Next, Fisher argues that vacatur of his conspiracy conviction renders his CCE conviction invalid because the CCE Count
Previously, the Second Circuit had observed that, with respect to the “continuing series of violations” required by the CCE statute,
there is a consensus of authority that to establish a “series” the government must prove at least three felony violations. This does not necessarily mean, however, that the government must obtain convictions on a minimum of three felony violations to establish a continuing criminal enterprise. On a number of occasions, this court has affirmed § 848 convictions where the government apparently did not indict the defendant on three of the eligible predicate felonies in addition to the § 848 Count, or indicted the defendant on three or more of the eligible predicate felonies in addition to the § 848 Count but ultimately obtained convictions on two or less of them.
United States v. Young,
4. Re-sentencing.
Fisher assumes that vacatur of his conspiracy conviction requires re-sentencing on the
remaining
Counts because the sentences imposed on those Counts might have been affected by his conviction on the conspiracy Count.
See United States v. Alvarez,
B. Hearsay Testimony.
Fisher asserts that his convictions on all Counts must be vacated and that he must be granted a new trial because improper evidence was admitted at trial. At trial, the Government introduced an out-of-court statement made by one Ronald Spencer (“Spencer”) to one detective Vincent Palazzato (“Pa-lazzato”), in which Spencer identified Fisher as the person who had sold him one and one half grams of heroin. Fisher did not object to the admission of this evidence at trial or on direct appeal. He now claims that Mr. Palazzato’s testimony consisted of inadmissible hearsay.
It is well settled that “[a] § 2255 petition may not be used as a substitute for direct appeal.”
Marone v. United States,
In an attempt to demonstrate “cause,” Fisher points to the Supreme Court decision in
Williamson v. United States,
Although
Williamson
might have provided a further basis for Fisher’s objection to the hearsay at trial, then extant Second Circuit law provided ample basis for such an objection. Spencer’s statements inculpating Fish
In an alternative attempt to overcome the “cause” hurdle, Fisher alleges that his trial and/or appellate counsel rendered ineffective assistance in failing to address the hearsay issue. However, even assuming that Fisher’s counsel’s performance in failing to object to the admission of Palazzato’s testimony at trial and on appeal fell below “an objective standard of reasonableness,” Fisher has not shown that “but for counsel’s [alleged] unprofessional errors, the result of the proceeding would have been different.”
See Strickland v. Washington,
. C. New Evidence.
Lastly, Fisher asserts that he has newly discovered evidence demonstrating that he did not sell the heroin and submits two documents with his petition in support of his claim of innocence. One is an affidavit by Henry Hyman, a federal prisoner, who claims that Spencer told him in 1981 that Spencer deliberately lied when he told federal authorities that Fisher had sold him heroin. The other document is a request by Fisher to Dr. Attila Toth (“Toth”) to release medical records which purport to document a visit by Fisher to Toth on the day Fisher sold heroin to Spencer.
With respect to the Hyman affidavit, the Second Circuit has cautioned that claims of witness recantation are to be viewed with “utmost suspicion.”
United States v. DiPaolo,
The Court takes a dim view of this purported recantation. However, even if the Court were to accept the Hyman affidavit as true, there would be no basis for the Court to conclude that the “jury might have reached a different conclusion” concerning Fisher’s guilt had Spencer’s statements not been introduced.
United States ex rel. Sostre v. Festa,
As to Fisher’s affidavit requesting records of a visit allegedly made to Toth on the day he sold heroin to Spencer, the Court finds this submission to be irrelevant.
James’ arguments in support of his petition are as follows. First, James also argues that, in light of the Supreme Court’s decision in
Rutledge v. United States,
A. James’ Narcotics Conspiracy Conviction.
For the reasons noted above with respect to Petitioner Fisher, James’ conviction under 21 U.S.C. § 846 for conspiring to distribute narcotics will be vacated. His sentence for operating a continuing narcotics enterprise (“CCE”) in violation of 21 U.S.C. § 848 remains intact.
B. James’ Other Claims.
Once again, the Petitioner is attempting to raise claims that were not raised at trial or on direct appeal.. Therefore, it must be shown that there is “cause” excusing the procedural default and that there was' actual prejudice which resulted from the error.
Napoli v. United States,
C. Ineffective Assistance of Counsel.
James asserts that his counsel rendered ineffective assistance in that a) he failed to obtain all of the records from the previous trial of an accomplice witness, Nicky Barnes; b) failed to object to the jury instructions on the CCE Count; and c) failed to secure more time for James to review the Presentence Report and the Government’s sentencing memorandum. To prevail on these claims, James must demonstrate that his counsel’s alleged errors caused his representation to fall below “an objective standard of reasonableness” and that “but for counsel’s unprofessional errors, the result of the proceeding would have been different.”
See Strickland v. Washington,
To satisfy the first prong of
Strickland,
a defendant must show that his counsel “made errors so serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant by the Sixth Amendment.”
Id.
at 687,
With respect to counsel’s failure to secure all of the records from the previous trial of Nicky Barnes, trial counsel sought the production of the records of the Barnes investigation and trial, but the Court denied his request. With respect to counsel’s failure to object to the jury instructions on the CCE Count, James has'not shown that the Court’s instruction was in any way improper; thus, failure to object to such instructions cannot be deemed attorney error. With respect to counsel’s failure to secure more time for James to review the Presentence Report and the Government’s sentencing memorandum, the record of the proceedings make clear
Even if the Court were to find that James’ counsel’s actions fell below an objective standard of reasonableness, James has not demonstrated that, but for counsel’s purported errors, the outcome of the trial would have been any different.
See Strickland,
James’ claim of ineffective assistance of counsel is therefore without merit.
Conclusion
Fisher’s and James’ petitions pursuant to 28 U.S.C. § 2255 are hereby granted only to the extent that their convictions for conspiracy to distribute narcotics in violation of 21 U.S.C. § 846 are vacated from the Judgment. Fisher’s and James’ petition are in all other respects denied. Morris’ petition pursuant to 28 U.S.C.. § 2255 is hereby denied in its entirety.
So Ordered
Notes
. Morris was not convicted of violating § 848. Fisher’s Double Jeopardy arguments are therefore not relevant to him.
