CARLOS GOMEZ, Petitioner-Appellant, v. UNITED STATES OF AMERICA, Respondent-Appellee.
No. 21-2632
United States Court of Appeals for the Second Circuit
November 21, 2023
KEARSE, PARK, and MENASHI, Circuit Judges.
AUGUST TERM 2022.
Petitioner-Appellant Carlos Gomez appeals from the denial of his successive
Sarah Kunstler, Law Offices of Sarah Kunstler, Brooklyn, NY, for Petitioner-Appellant.
Brandon D. Harper, Hagan Scotten, Assistant United States Attorneys, for Damian Williams, United States Attorney for the Southern District of New York, New York, NY, for Respondent-Appellee.
MENASHI, Circuit Judge:
Petitioner-Appellant Carlos Gomez, currently incarcerated, appeals from the denial of his successive
The district court denied the motion. United States v. Gomez, No. 97-CR-696, 2021 WL 3617206 (S.D.N.Y. Aug. 16, 2021). It determined that Gomez‘s
We conclude that a conviction for intentional murder under New York law, even when the conviction is based on a Pinkerton theory, is a categorical crime of violence that can support a
BACKGROUND
In the 1980s and 1990s, Gomez founded and led the Westchester Avenue Crew, a Bronx-based heroin and cocaine distribution enterprise. Gomez was arrested in 1997 and was ultimately indicted on fifteen counts.
The superseding indictment charged Gomez with racketeering in violation of
I
At trial, the government presented evidence that Gomez personally ordered the killing of Santiago, provided the .38 caliber firearm used in the crime, and paid several thousand dollars to the person who carried out the killing. The government argued that Gomez ordered the murder in retaliation for the murder of one of Gomez‘s relatives, which Gomez believed may have been a failed attempt on his own life.
In instructing the jury on the racketeering count and its predicate acts, the district court explained the elements of second-degree murder under New York law.
The district court then explained that, in order to find Gomez guilty of violating
The district court instructed the jury on Pinkerton liability as follows:
If, in light of my instructions, you find beyond a reasonable doubt that the defendant was a member of the conspiracy charged in the indictment, for example, the conspiracy to murder [Santiago], then you may also, but you are not required to, find him guilty of the corresponding substantive crime charged, in this example, the murder of [Santiago] and the use and carrying of a firearm during and in relation to the conspiracy to murder and murder of [Santiago].
Id. The district court then explained that Pinkerton liability required findings that the substantive offense was committed by members of the conspiracy pursuant to a common plan or understanding and that the offense was reasonably foreseeable.
The jury convicted Gomez on four counts: racketeering (Count One), racketeering conspiracy (Count Two), using or carrying a firearm during a crime of violence (Count Ten), and narcotics conspiracy (Count Fifteen). As to racketeering, the jury found that both the murder of Santiago and the conspiracy to commit the murder had been proven. Add. 32. The jury convicted Gomez on the
Pursuant to the then-mandatory Sentencing Guidelines, the district court sentenced Gomez to three concurrent life sentences—for racketeering, racketeering conspiracy, and narcotics conspiracy—followed by a consecutive sixty-month sentence for the
II
The jury convicted Gomez in September 1999 and he was sentenced in July 2000. In December 2001, we affirmed the judgment
In 2021, we granted Gomez leave to file a successive
After the appeal was submitted, we ordered the appointment of counsel for Gomez and instructed the parties to address (1) whether the district court‘s instruction on Pinkerton liability affected the validity of Gomez‘s
DISCUSSION
A federal inmate may move the district court to “vacate, set aside or correct” a sentence if “the sentence was imposed in violation of the Constitution or laws of the United States ... or [the sentence] is otherwise subject to collateral attack.”
I
We first consider the government‘s arguments for not reaching the merits based on the concurrent sentence doctrine, procedural default, and harmless error. We are unable to avoid reaching the merits on any of these bases.
A
The concurrent sentence doctrine is “a rule of judicial convenience” that “allows courts, in their discretion, to avoid reaching the merits of a claim altogether in the presence of identical concurrent sentences since a ruling in the defendant‘s favor would not reduce the time served or otherwise prejudice him in any way.” Kassir v. United States, 3 F.4th 556, 561 (2d Cir. 2021) (internal quotation marks and footnote omitted). In addition, we have discretion to apply the doctrine in the context of challenged consecutive sentences when (1) the collateral challenge will have no effect on the time the defendant must remain in custody and (2) the unreviewed conviction will not yield additional adverse collateral consequences. Al-‘Owhali v. United States, 36 F.4th 461, 467 (2d Cir. 2022).
Gomez is currently serving three concurrent terms of life imprisonment for three separate counts, to be followed by a sixty-month sentence for the
The government argues that we should decline to consider the merits of Gomez‘s challenge based on the concurrent sentence doctrine because Gomez is serving multiple unchallenged life sentences. Gomez responds that if his challenge were successful, “it is possible, even probable, that [he] would receive a sentence of less
We cannot conclude that Gomez‘s “collateral challenge will have no effect on the time [he] must remain in custody.” Al-‘Owhali, 36 F.4th at 467. If his challenge were successful, the district court would have “discretion to select the appropriate relief from a menu of options,” which may include resentencing for sentences given when the Guidelines were mandatory. United States v. Peña, 58 F.4th 613, 619 (2d Cir. 2023); see United States v. Augustin, 16 F.4th 227, 232 (6th Cir. 2021) (“Resentencing may also be necessary if a court must exercise significant discretion in ways it was not called upon to do at the initial sentencing. For instance, if the court vacates a mandatory-minimum sentence and then is able to consider the statutory sentencing factors for the first time.“) (internal quotation marks and citation omitted). We decline to avoid the merits of Gomez‘s challenge based on the concurrent sentence doctrine.
B
The government next argues that Gomez‘s challenge is procedurally defaulted. “Where a defendant has procedurally defaulted a claim by failing to raise it on direct review, the claim may be raised in habeas only if the defendant can first demonstrate either cause and actual prejudice, or that he is actually innocent.” Bousley v. United States, 523 U.S. 614, 622 (1998) (internal quotation marks and citations omitted).
In this case, however, the government did not raise procedural default in the district court and therefore that defense is either waived or forfeited. Appellee‘s Supp. Br. 11 (acknowledging that the government has forfeited the procedural default defense); see United States v. Canady, 126 F.3d 352, 360 (2d Cir. 1997) (“[B]ecause the government failed to raise its procedural default defense in the district court, it is precluded from doing so now.“); Cone v. Bell, 556 U.S. 449, 486 n.6 (2009) (Alito, J. concurring) (“Unlike exhaustion, procedural default may be waived if it is not raised as a defense.“). We decline to avoid reaching the merits of Gomez‘s challenge on the basis of procedural default.
C
We also cannot conclude, assuming the district court erred, that any error was harmless. “[I]n the context of a
II
Gomez argues that his
A
In Davis, the Supreme Court held the residual clause to be unconstitutionally vague. See 139 S. Ct. at 2336. As a result, a
To determine whether a predicate crime satisfies the elements clause, courts “employ what has come to be known as the ‘categorical approach.‘” United States v. Hill, 890 F.3d 51, 55 (2d Cir. 2018) (quoting Taylor v. United States, 495 U.S. 575, 600 (1990)). The categorical approach requires a court to identify “the minimum conduct necessary for a conviction of the predicate offense ... and then to consider whether such conduct amounts to a crime of violence under
For a racketeering offense, we consider whether the racketeering offense is itself based on a predicate act that qualifies as a crime of violence. A racketeering offense is a “crime of violence when the defendant is charged under a predicate that is a crime of violence but [it is] not a crime of violence when the RICO charge is based on non-violent predicates.” United States v. Laurent, 33 F.4th 63, 88 (2d Cir. 2022). “If one of the two racketeering acts required for a substantive RICO violation conforms to the definition of a crime of violence,” then the “RICO violation ... qualif[ies] as a crime of violence.” Id. at 88.3
B
Gomez argues that his
We disagree. The jury returned a verdict indicating that it found that both the murder of and the conspiracy to murder Santiago had been proven beyond a reasonable doubt. Add. 32. Accordingly, the racketeering conviction is for a crime of violence because one of its predicates—murder under New York law—qualifies as a crime of violence. See Laurent, 33 F.4th at 88. Moreover, Gomez‘s
Gomez argues that the district court‘s instruction on Pinkerton liability alters this analysis and renders his
We again disagree. In Pinkerton, the Supreme Court held that a criminal defendant may be liable for a substantive offense—apart from a conspiracy charge—based on the actions of the defendant‘s co-conspirators. A Pinkerton instruction “informs the jury that it may find a defendant guilty of a substantive offense that he did not personally commit if it was committed by a coconspirator in furtherance of the conspiracy, and if commission of that offense was a reasonably foreseeable consequence of the conspiratorial agreement.” United States v. McCoy, 995 F.3d 32, 63 (2d Cir. 2021), judgment vacated on other grounds, 142 S. Ct. 2863 (2022). The Pinkerton theory of liability deems the defendant to have performed the acts of his co-conspirators. “[S]o long as the partnership in crime continues, the partners act for each other in carrying it forward. It is settled that ‘an overt act of one partner may be the act of all.‘” Pinkerton, 328 U.S. at 646 (quoting United States v. Kissel, 218 U.S. 601, 608 (1910)).
Because under a Pinkerton theory the defendant is convicted of the substantive offense—not of conspiring to commit the offense—he has committed a crime of violence if the substantive offense is a crime of violence. For this reason, every circuit to address the issue has held that
We agree with those circuits. Indeed, in summary orders, we have already reached the same conclusion. We have explained that Pinkerton liability does not “somehow transform [a] conviction for substantive bank robbery into one for bank robbery conspiracy, implicating the residual-clause concerns explored in Davis,” United States v. Blanco, 811 F. App‘x 696, 701 n.2 (2d Cir. 2020), and that a “conviction under Pinkerton or an aiding-and-abetting theory simply does not transform a substantive crime of murder into a murder conspiracy,” Sessa v. United States, No. 20-2691, 2022 WL 1179901, at *2 (2d Cir. Apr. 21, 2022). And we have articulated the closely related conclusion that aiding and abetting a crime of violence suffices for a
We see no reason for a different conclusion here. Even if the jury found Gomez guilty of murder based on a Pinkerton theory, Gomez‘s
Applying the modified categorical approach, we identify the minimum criminal
We have previously held that, in New York, “second-degree murder is categorically a crime of violence under
Second-degree murder under New York law is categorically a crime of violence because the “knowing or intentional causation of bodily injury necessarily involves the use of physical force.” United States v. Castleman, 572 U.S. 157, 169 (2014); see also United States v. Scott, 990 F.3d 94, 100 (2d Cir. 2021) (explaining that it would be “illogical” to conclude that second-degree murder under
Even if the jury found Gomez to have committed second-degree murder on a Pinkerton theory, the law deems him to have committed the acts of his co-conspirators. Accordingly, his racketeering conviction is for a crime of violence and his
CONCLUSION
We conclude that Gomez‘s conviction for use or carrying of a firearm in relation to a crime of violence, in violation of
KEARSE, PARK, and MENASHI
CIRCUIT JUDGES
