UNITED STATES OF AMERICA v. DAVID ROTHENBERG
No. 17-12349
IN THE UNITED STATES COURT OF APPEALS FOR THE ELEVENTH CIRCUIT
May 8, 2019
D.C. Docket No. 0:16-cr-60054-WJZ-1
Appeal from the United States District Court for the Southern District of Florida
(May 8, 2019)
Before ED CARNES, Chief Judge, and ROSENBAUM and HULL, Circuit Judges.
HULL, Circuit Judge:
After his guilty plea to possession of child pornography, David Rothenberg appeals from the district court‘s restitution order requiring him to pay a total of
On appeal, Rothenberg argues that: (1) the district court‘s restitution order is flawed as to all of the victims because it failed to calculate and then disaggregate the victim‘s losses caused by the initial abuser, distributors, and other possessors from those caused by Rothenberg himself; and (2) as to eight of the victims, the restitution award is not supported by competent evidence. After review, and with the benefit of oral argument, we conclude that the district court was not required to calculate and disaggregate the victim‘s losses in the manner Rothenberg suggests and that reliable evidence supports the restitution awards as to eight victims, but not as to one victim. We thus affirm the restitution amounts as to eight victims and vacate and remand as to one victim.
I. INDICTMENT AND GUILTY PLEA
Defendant Rothenberg used to be a lawyer, a fact he told an undercover officer in an internet chatroom called “daddaughtersex.” Rothenberg also sent the
In 2016, a grand jury charged Rothenberg with: (1) four counts of distribution of child pornography, in violation of
On appeal, Rothenberg does not challenge his guilty plea or sentence. Rather, Rothenberg challenges only the district court‘s restitution order granting a total of $142,600 to nine victims, which consists of: (1) $10,000 to Sierra;
II. RESTITUTION PROCEEDINGS
After sentencing, the district court considered restitution requests pursuant to
Eventually the government submitted restitution requests on behalf of ten victims, all of whom were identified in at least one of the images of child pornography from Rothenberg‘s computer. One of the victims, “Angela,” later withdrew her request, leaving nine requests at issue for the hearing.
A. Pre-Hearing Memoranda
Prior to the restitution hearing, both parties submitted lengthy memoranda addressing (1) how the restitution determination should be made, and (2) what the award should be for each victim. The government and Rothenberg agreed that the Supreme Court‘s decision in Paroline v. United States, 572 U.S. 434, 134 S. Ct. 1710 (2014), governed how the restitution awards should be made, established a proximate cause requirement, and set forth a variety of factors for district courts to consider in determining the proper amount of restitution. Under Paroline‘s proximate causation requirement, a defendant should pay restitution “in an amount that comports with the defendant‘s relative role in the causal process that underlies the victim‘s general losses.” Paroline, 572 U.S. at 458, 134 S. Ct. at 1727.
But the parties disagreed about how exactly to apply the Paroline factors and how to calculate and determine that amount. The government recognized that, under Paroline, the district court must impose restitution in an amount that reflects the particular defendant‘s relative role in the continuing traffic in the child pornography images of the victim. The government proposed that the district court make that calculation by using a variation of what is known as the “1/n method,” whereby the court would divide the total amount of each victim‘s losses by the number of defendants, across multiple prosecutions, who had been ordered to pay restitution to the victim. The government submitted that this method would
Rothenberg argued, by contrast, that the starting point should be “apportionment between the original abuser of the child, versus the distributor, and later, possessor of the pornography,” which Rothenberg referred to as “disaggregation.” Rothenberg asserted that this disaggregation requires two steps: first, the district court must separate the harm caused by the original abuser from that caused by later distributors and possessors; and second, the district court must separate the harm caused by the defendant from that caused by other distributors or possessors.
Below, we detail for each victim (1) the victim‘s restitution request and supporting evidence, (2) the government‘s position, and then (3) Rothenberg‘s position.
B. Sierra
Sierra submitted a restitution request for $10,000. In support of her request, Sierra submitted a medical letter from Dr. Sharon W. Cooper, a forensic pediatrician, based on her December 2015 evaluation of Sierra. Dr. Cooper explained that victims of child pornography can experience physical, emotional, and spiritual issues as a result of their online exploitation, including immunological
With respect to Sierra specifically, Dr. Cooper stated that Sierra‘s medical evaluation showed she suffered from worsening insomnia, attention deficit hyperactivity disorder (“ADHD“), depression, suicidal ideation, PTSD, and mood lability. Dr. Cooper noted that, despite being on five different medications, Sierra‘s condition remained unstable and she recently required emergency treatment for suicidality. Dr. Cooper opined that “[t]he ongoing presence of trafficking in images [of Sierra] on the Internet constitutes a significant aspect of psychological maltreatment that will add on to the initial adversities” caused by the original abuse. Based on Sierra‘s past medical history, the documented adversities faced by victims of child sexual abuse and child pornography offenses, and Sierra‘s present medical symptoms, Dr. Cooper estimated a total cost of $661,453.00 for Sierra‘s future medical care.
Sierra‘s counsel also submitted a declaration of attorney‘s fees, indicating Sierra had incurred nearly $5,000 in attorney‘s fees in connection with this case.
Rothenberg opposed Sierra‘s restitution request. Rothenberg noted that he possessed only one image of Sierra1 and that the requested restitution amount was more than double the average of Sierra‘s prior awards ($4,000). Rothenberg argued that Sierra‘s restitution materials made no attempt at disaggregation and that the government provided no information to demonstrate the relative amount of Sierra‘s harm caused by his conduct.
C. Jane
Jane submitted a restitution request for $3,000. In support of her request, Jane submitted a victim impact statement, a psychological report, and an economic report. In her victim impact statement, Jane specifically described how the online trade in her child pornography images had affected and would continue to affect her. Jane explained: “Knowing people are watching what happened gives me a mix of anxiety, sadness, anger and it disgusts me. . . . If it wasn‘t out there, I wouldn‘t be as fearful as I am now.” Jane elaborated that the circulation of her
Jane‘s psychological evaluation was performed by Dr. Jennifer Clark in December 2014 “to determine the psychological effects of her continuous revictimization in the form of Internet pornographic images and videos of her being exchanged and viewed.” Dr. Clark opined that the online trade in Jane‘s images was currently impacting her, causing her great fear and anxiety and leaving her feeling unsafe and vulnerable. Dr. Clark observed that the trade in Jane‘s images would continue to impact her in the future by exacerbating her “deep sense of mistrust in others” from the original abuse and hindering her healing and recovery process. Dr. Clark explained: “[Jane‘s] awareness of the ongoing presence and distribution of [her] images will remain an ever present trigger to memories of what happened and a source of fear for her safety, and thus, ongoing psychological distress. Therefore, Jane will require therapy throughout her life. . . . Given that much of Jane‘s distress manifests in somatic symptoms and physiological distress, she likely will also seek and need significant medical attention in the future.”
The government agreed that Jane‘s $3,000 restitution request was appropriate. The government noted that seven other defendants had been ordered to pay restitution to Jane. Three of those seven defendants were ordered to pay $1,000, two were ordered to pay $2,500, one was ordered to pay $3,000, and one was ordered to pay $500.
Rothenberg disputed Jane‘s requested amount and argued that a restitution amount of $800 would be appropriate. Rothenberg noted that he possessed four images of Jane and that the average award to Jane from the prior cases was $1,642. Rothenberg acknowledged that Jane‘s restitution materials were “the best of all provided to attempt disaggregation,” but argued his possession did not warrant a $3,000 award when compared with other defendants. Specifically, Rothenberg noted that one of the prior cases with a $1,000 restitution order involved distribution, and three of the other cases involved receipt of Jane‘s images.
D. Pia
Pia submitted a restitution request for $5,000. In support of her request, Pia submitted an interim impact statement from Dr. Marsha Hedrick, who conducted a forensic psychological evaluation of Pia, a declaration of attorney‘s fees, and a
The government concurred in Pia‘s $5,000 restitution request. The government did not have information on any other defendants that were ordered to pay restitution to Pia, but Pia‘s counsel advised one other defendant was ordered to pay restitution.
Rothenberg disputed Pia‘s requested amount and instead proposed a restitution award of $1,100. Rothenberg contended there was “no real attempt at
E. Mya
Mya submitted a restitution request of $5,000. In support of her request, Mya‘s counsel submitted a restitution cover letter and declarations from both of her attorneys. Mya‘s counsel represented that they were still awaiting the results of Mya‘s psychological evaluation, but that other similarly situated child pornography victims they had represented had psychological treatment costs exceeding $100,000. Mya‘s counsel stated that Mya was aware of the existence of her images on the internet and “the knowledge that others have witnessed and even enjoyed [her] abuse is extremely upsetting to [her].” Counsel further represented that Mya was distrustful of other people and was at risk of being stalked or victimized by individuals who had seen her images online. Counsel also represented that they had expended $2,077.44 thus far in representing Mya and two other victims in the same series (one of whom was victim Pia, discussed above), and anticipated total legal costs of $30,000 for those three victims.
Rothenberg argued there was no sufficient basis for awarding any restitution to Mya given the lack of information regarding her future medical costs. Rothenberg also noted that he made an offer to Mya‘s counsel to pay the $500 amount the government sought, but that offer was rejected.
F. Sarah
Sarah submitted a restitution request of $25,000. In support of her request, Sarah submitted, among other things, a cover letter, a victim impact statement, a 2014 psychological evaluation by Dr. Randall Green, and an economic report. In the cover letter, Sarah‘s counsel represented that her requested restitution amount of $25,000 would be “less than 1%” of her total losses and that 327 other defendants were ordered to pay restitution to Sarah.
In her victim impact statement, Sarah explained that she worried that people who had seen her images online would “come after” her and try to victimize her in the same way her original abuser had. Sarah elaborated: “Every time someone else
In his psychological evaluation, Dr. Green assessed “the impact and injuries caused by the discovery and daily awareness that multiple individuals are viewing images of sexual crimes being perpetrated against [Sarah] as a child.” As part of his assessment, Dr. Green interviewed Sarah and also performed various psychological tests. Based on these sources of information, Dr. Green opined that “the discovery of multiple downloaders and distributors of her images effectively exponentially multiplied in [Sarah‘s] mind the number of sick and dangerous males ‘out there’ who might . . . do her harm.” Dr. Green explained that Sarah‘s knowledge of the dissemination of her child pornography images online caused her daily psychological damage in the form of fear “that has reached a paranoid-like level of intensity.” Dr. Green determined that Sarah required “extensive and intensive therapy” for the trauma caused by both the original abuse and the continuing traffic in her images. Dr. Green estimated the costs of Sarah‘s future psychiatric care were between $265,710 and $303,150.
The government did not concur in Sarah‘s $25,000 restitution request and instead requested an award of $7,895 based on its 1/n calculation method. The government also provided a list of 155 prior restitution awards to Sarah, which ranged from $0 at the low end to $51,500 at the high end.
Rothenberg opposed Sarah‘s restitution request. Rothenberg cited three other cases involving Sarah in which the government presented the same restitution evidence and the courts found the government failed to establish proximate cause. Rothenberg argued that the government provided no evidence to disaggregate the harm proximately caused by his possession of six images of Sarah from that caused by the other defendants in the list it had provided.
G. Vicky
Vicky submitted a restitution request of $10,000. In support of her request, Vicky submitted several victim impact statements, several psychological reports from Dr. Green, an economic report, and a statement of attorney‘s fees. In her victim impact statements, Vicky described the effects of the ongoing distribution of the images of her sexual abuse as a child, including feelings of fear and paranoia, nightmares, and panic attacks. In a 2014 psychological status report,
The economic report estimated Vicky‘s net lost wages over the course of her lifetime to be $828,150. Vicky‘s counsel represented that Vicky had incurred attorney‘s fees and costs of $92,371.96.
The government did not concur in Vicky‘s $10,000 request and instead requested an award of $1,283 using its 1/n method. The government provided a list of 659 other restitution awards to Vicky, which ranged from approximately $24 at the low end to $1 million at the high end.
Rothenberg opposed Vicky‘s restitution request for the same reasons he opposed Sarah‘s request, noting that other courts had denied restitution requests based on the same evidence and that the government failed to disaggregate. Rothenberg also noted that he possessed only one image of Vicky and that the average post-Paroline restitution award to Vicky was $3,632.
H. Amy
Amy submitted a restitution request of $25,000. In support of her request, Amy provided a victim impact statement, several psychological evaluations from Dr. Joyanna Silberg, and an economic report. In her victim impact statement, Amy stated that she “live[s] in constant fear that someone will see [her] pictures and recognize [her].” Amy expressed feelings of powerlessness related to the traffic in the images of her sexual abuse as a child because “the crime has never really stopped and will never really stop.” Amy explained that she experienced fear, shame, and humiliation at the thought of her friends and other people she encounters discovering her images online.
In a December 2014 report, Dr. Silberg opined that although Amy had made strides as a result of an intensive treatment plan initiated in 2012, ongoing issues related to PTSD remained. Dr. Silberg explained that Amy continued to experience flashbacks and nightmares, as well as “fear about the internet and shame associated with the ongoing viewing of her picture.” Dr. Silberg concluded that Amy “continues to suffer from the ongoing effects of her victimization from child abuse and from the continued use of her image by child pornography traders, viewers, and abusers,” and recommended continued psychological treatment and monitoring. Amy‘s economic report estimated her net lost wages as $2,855,173, and her future counseling costs as $512,681.
Rothenberg opposed Amy‘s restitution request. Rothenberg noted that he possessed only one image of Amy and that the average post-Paroline restitution award to her was $3,891. Rothenberg asserted that the government‘s list of prior restitution orders was inaccurate as to some of the awards and argued that the government made no attempt to disaggregate his conduct from that of other defendants.
I. Jenny
Jenny submitted a restitution request of $42,600. In support of her request, Jenny submitted a victim impact statement and a cover letter from her counsel. In her victim impact statement, Jenny stated that she worried about the images of her sexual abuse that were “out there” and feared being recognized in public. Jenny expressed a strong desire to forget the abuse she had suffered but explained that “[w]ith the pictures still out there I can‘t.”
In their cover letter, Jenny‘s counsel represented that this was Jenny‘s seventh restitution request. Counsel stated that they were still in the process of obtaining expert reports for Jenny, but asserted that “such formal reports” were not
The government did not concur in Jenny‘s $42,600 restitution request and instead requested a restitution award of $2,000. The government emphasized that Rothenberg possessed 34 images and one video of Jenny but noted the lack of documentation to support Jenny‘s restitution request. The government pointed out that one other defendant was ordered to pay restitution to Jenny in the amount of $7,500.
Rothenberg likewise noted the lack of evidence supporting Jenny‘s $42,600 restitution request. Nevertheless, based on the number of images of Jenny he possessed, Rothenberg agreed that the government‘s requested amount of $2,000 was reasonable.
J. Casseaopeia
Casseaopeia submitted a restitution request of $25,000. In support of her request, Casseaopeia provided a victim impact statement, a psychological report from Dr. Joyce Vesper, and an economic assessment. In her victim impact
In her September 2015 psychological report, Dr. Vesper described her clinical interview with Casseaopeia and the psychological tests she administered. From these assessments, Dr. Vesper concluded that Casseaopeia was “tortured by constant memories of childhood sexual abuse” and experienced “constant head chatter, graphic flashbacks, [and] panic attacks that are so overwhelming they feel like heart attacks.” Dr. Vesper described Casseaopeia as living “in constant fear that the people viewing the pornographic films and pictures of her” online would capture her and subject her to the same abuse all over again. Dr. Vesper opined that “[w]ithout the appropriate psychotherapy to address [her] dissociation, depersonalization, derealization, amnesia, anxiety and depression,” Casseaopeia would continue to experience flashbacks, nightmares, and depression. Dr. Vesper recommended intensive psychotherapy for Casseaopeia. In a supplemental report,
The economic assessment estimated Casseaopeia had economic damages totaling $1,078,159, including $748,438 in lost earning capacity and $329,721 in future medical expenses.
The government requested a slightly lower restitution award of $21,563 for Casseaopeia, which was calculated using the 1/n method. The government noted that 49 other defendants were ordered to pay restitution to Casseaopeia and submitted a list of those prior awards. Those prior awards ranged from $0 at the low end to $50,000 at the high end.
Rothenberg opposed Casseaopeia’s restitution request. Rothenberg noted that he possessed only two images of Casseaopeia and that the average restitution award to her was $3,974. Rothenberg argued that, like many of the other requests, the government did not differentiate between the harm he caused and that caused by other perpetrators. Rothenberg contended that Dr. Vesper’s report primarily dealt with effects of the original abuse rather than the traffic in Casseaopeia’s images.
K. Restitution Hearing
On November 18, 2016, the district court held a restitution hearing. At the restitution hearing, the government submitted the evidence on which its restitution requests were based, all of which was admitted into evidence.2 That evidence consisted of 891 pages of exhibits submitted by the victims and charts prepared by the government listing each victim’s prior restitution awards in other federal cases. The exhibits included the declarations, psychological evaluations, letters, and other evidence referenced in the government’s restitution requests. Rothenberg noted, at the outset of the hearing, that he agreed with the government’s requested award of $2,000 to Jenny and therefore did not offer any argument as to that award. The remaining requests were disputed, and the parties essentially reiterated the arguments raised in their prior memoranda as to those victims.
III. COURT’S RESTITUTION ORDER
Six months later, on May 9, 2017, the district court issued its restitution order. After outlining in detail Paroline’s framework (and expressing some frustration with its inexactitude), the district court analyzed each victim’s restitution request. As a preliminary matter, the district court stated that, with
Turning to the specific awards, the district court determined that Sierra’s $10,000 request was reasonable. The district court found that: (1) Rothenberg possessed one image of Sierra; (2) a small number of criminal defendants had paid restitution to Sierra; (3) Sierra’s current mental health condition was severe; and (4) Sierra’s projected costs of care exceeded $600,000. The district court found “in consideration of her large amount of total costs, the small number of contributing offenders, and a request for a proportion of these costs proximately caused and to be paid by [Rothenberg], who neither created nor distributed her image, that $10,000 is a reasonable request under the Paroline analysis and factors.”
Next, the district court determined that Jane’s $3,000 request was reasonable. The district court found that: (1) Rothenberg possessed four images of
The district court then determined that Pia’s $5,000 request was reasonable. The district court found that: (1) Rothenberg possessed 14 images of Pia; (2) there was no evidence regarding the number of other criminal defendants ordered to pay restitution to Pia, though Pia’s counsel indicated that one other defendant was so ordered; and (3) Pia’s estimated therapy costs over the next 20 years totaled $81,900. The district court found “in consideration of her total costs, the fact that she has only received restitution from one other defendant, the large number of images possessed by [Rothenberg] of [Pia], and a request for a proportion of these costs to be paid by [Rothenberg], who neither created nor distributed her images, that $5,000 is a reasonable request under the Paroline analysis and factors.”
As to Sarah, the district court determined that an award of $20,000—$5,000 less than Sarah’s requested amount—was reasonable. The district court explained that: (1) Rothenberg possessed six images of Sarah; (2) over 150 criminal defendants were ordered to pay restitution to Sarah; (3) Sarah’s victim impact statement explicitly addressed how the existence of her images on the internet affected her, thereby isolating the harm caused by possession of her images from that caused by the original abuse; and (4) Sarah’s estimated cost of psychiatric care was nearly $300,000. The district court found, “in consideration of the amount of costs, the fact that many other offenders have been required to pay restitution to [Sarah]—which in the case of Sarah, the Court finds contributes to a finding that
In a similar vein, the district court determined that for Vicky, $9,000—$1,000 less than Vicky’s requested $10,000 amount—was a reasonable award. The district court found that: (1) Rothenberg possessed one image of Vicky; (2) more than 600, and possibly more than 800, other criminal defendants were ordered to pay restitution to Vicky; (3) Vicky’s victim impact statement specifically addressed how the online traffic in her images affected her and explained the distinct harm caused by possessors and distributors of her images; and (4) Vicky’s predicted therapy costs exceeded $100,000. The district court found “in consideration of the amount of costs, the fact that many other offenders have been required to pay restitution to [Vicky]—which in the case of Vicky, the Court finds contributes to a finding that the request is reasonable and acknowledged by many other courts—and a request for a proportion of these costs proximately caused and to be paid by [Rothenberg], who neither created nor distributed her image, that $9,000 is an appropriate amount under the Paroline analysis and factors.”
Regarding Jenny, the district court acknowledged that both the government and Rothenberg agreed that $2,000 was an appropriate amount, but that Jenny requested $42,600. The district court determined that Jenny’s requested amount was reasonable. The district court emphasized that (1) Rothenberg possessed 34 images and one video of Jenny, and (2) only one other defendant had paid
Lastly, as to Casseaopeia, the district court determined that her requested award of $25,000 was reasonable, even though the government requested only $21,563. The district court found that: (1) Rothenberg possessed two images of Casseaopeia; (2) more than 50 criminal defendants were ordered to pay her restitution; and (3) her projected costs of care exceeded $300,000. Considering “her costs, the number of contributing offenders, and a request for a proportion of these costs proximately caused and to be paid by [Rothenberg], who neither created nor distributed her image,” the district court found that “$25,000 is a reasonable request under the Paroline analysis and factors.”
In total, the district court ordered Rothenberg to pay $142,600 in restitution, to be apportioned to the nine victims in the amounts set out above. On appeal, Rothenberg argues that the district court erred as to all nine restitution awards. We
IV. 18 U.S.C. § 2259
Congress has mandated that district courts award restitution to victims of certain federal crimes, including child pornography possession. See
(A) medical services relating to physical, psychiatric, or psychological care;
(B) physical and occupational therapy or rehabilitation;
(C) necessary transportation, temporary housing, and child care expenses;
(D) lost income;
(E) attorneys’ fees, as well as other costs incurred; and
(F) any other losses suffered by the victim as a proximate result of the offense.
“The burden of demonstrating the amount of the loss sustained by a victim as a result of the offense shall be on the attorney for the Government.”
V. SUPREME COURT’S PAROLINE DECISION
Like this case, Paroline involved a possessor of child pornography images in wide circulation on the internet. In Paroline, the defendant was a possessor and not a distributor or the initial abuser. See 572 U.S. at 439, 134 S. Ct. at 1716. The Supreme Court grappled with the question of what causal relationship must be established between a defendant possessor’s conduct and a victim’s losses for purposes of determining the right to, and the amount of, restitution under
The difficulty, the Supreme Court explained, comes in applying that causation requirement in a particular child pornography case. Id. 449, 134 S. Ct. at 1722. This is so because of the “somewhat atypical causal process underlying the losses [a child pornography] victim claims.” Id. The Supreme Court reasoned that it may be “simple enough” for a victim to prove the aggregate losses that stem from the ongoing traffic in her images as a whole. Id. Importantly, the Supreme Court observed that it is more difficult to determine “the full amount” of those general losses, if any, that are the proximate result of the offense conduct of a particular defendant who is one of thousands who have possessed and will in the future possess the victim’s images but who has no other connection to the victim. Id.
Therefore, in child pornography possession offenses, the Paroline Court recognized that it would be virtually impossible to show that the defendant possessor was a but-for cause of any particular portion of the victim’s losses “where the defendant is an anonymous possessor of images in wide circulation on the Internet.” Id. 450-51, 134 S. Ct. at 1722-23. Nevertheless, the Supreme Court observed that “[w]hile it is not possible to identify a discrete, readily definable incremental loss [a defendant possessor] caused, it is indisputable that [the defendant possessor] was a part of the overall phenomenon that caused [the victim’s] general losses.” Id. 456-57, 134 S. Ct. at 1726. And it would undermine the purposes of § 2259 to deny restitution in cases involving possessors of child pornography. Id. 456-58, 134 S. Ct. at 1726-27.
