*1 an abuse of compromise was not offer both Accordingly, we reverse
discretion. and its contrary ruling
the Tax Court’s attorneys’ fees.
concomitant award
Reversed. America,
UNITED STATES of
Appellee, DECASTRO,
Angel Defendant-
Appellant.
Docket No. 10-3773. Appeals, States Court of
United
Second Circuit. 30, 2011.
Argued: Nov.
Decided: June *2 JACOBS, Judge, HALL
Before: Chief LYNCH, Judges. Circuit JACOBS, Judge: DENNIS Chief Following stipulated a bench trial on in facts the United States District Court for the Southern District of New York (Patterson, ./.), Angel Decastro was con- transporting victed of into his state of acquired a firearm another residence 922(a)(3). in violation of 18 U.S.C. state appeals ground on the violates his Second Amend- ment and bear arms. He argues: [1] is unconstitu- tional on its face; [2] that, in combina- scheme, licensing tion with New York’s transportation on the into prohibition New of a firearm purchased York another virtually impossible made it for him handgun a for obtain self-defense. For reasons, following judgment court district is affirmed.
BACKGROUND
2002, Angel
In
Decastro moved from
run
help
step-
Florida to New York to
his
dry cleaning
July
father’s
business.
2004, an encounter
between Decastro
gang
into a
confron-
a customer escalated
tation. Police arrested Decastro and
customer,
charges
dropped.
but all
were
retaliation,
Decastro feared
police
of a New York
de-
recommendation
tective, requested
appli-
license
Depart-
cation from the
York Police
New
(“NYPD”).
ment
He did not submit an
(he maintains)
application because
he was
Cassidy,
Colleen P.
Federal Defenders
told
an NYPD desk officer that there
Inc.,
York, NY,
York,
New
for
of New
way”
application
“no
was
would
Appellant.
approved.
(Brent Wible,
Decastro,
Brian A.
S.
who was licensed
own
Jacobs
Florida,
brief),
purchased
firearms
Attorney,
States
Assistant United
Bharara,
gun
dealer on a visit there in
for Preet
United States Attor-
from
York,
pis-
February
2005: a Taurus model PT92
ney, Southern District New
Pistol”)
(the
York, NY,
“Taurus
and a
nine-
Appellee.
tol
Glock
In connection with
handgun.
ground
millimeter
miss
indictment
that the
purchase,
required
Decastro was
statute violated his Second Amendment
Alcohol,
sign Form 4473 of the Bureau of
for self-defense.
Tobacco,
Explosives.
Firearms and
On it
argued
facially
He
was
*3
falsely gave
he
Florida rather than New unconstitutional under District
Colum-
York as his state of residence. Decastro
bia v.
handgun
(2008),
left
the Glock
in Florida but
and that New
transported the Taurus Pistol home to
City’s
licensing require-
York
restrictive
York,
kept
dry-
New
where he
it at the
were
sup-
ments
tantamount to a ban.
In
cleaning
for protection.
business
port,
showing
Decastro submitted a chart
applications
pistol
that
few
for
licenses
family
dry-clean-
The Decastro
sold the
were received and
York
issued
New
2005;
ing
May
February
business in
in
City in
period
2004-2006. For resi-
2006, Decastro moved to Florida. Before
licenses,
dential-premises handgun
an av-
York,
leaving
gavé
Decastro
the Tau-
erage
applications
of 858 new
were submit-
rus Pistol to a relative in the Bronx. De-
annually
ted
average
and an
of 620 licenses
planned
castro
it back to Flor-
transport
issued;
business-premises
were
for
licens-
ida in a few months’ time.
es,
average
applications
of 59 new
were
In July
reported
a Bronx woman
annually
submitted
average
and an
of 50
to the NYPD that she had found the Tau-
licenses were issued.2
rus
in
along
Pistol
her closet
with other
The district court declined to dismiss the
belonged
items that
to her common-law
indictment.
Inferring from the NYPD
(who
Decastro).
husband
was a relative of
statistics that
high grant
there is a
rate for
police
A
yielded
search of the closet
in
City,
licenses
New York
Taurus Pistol
guns,
as well as two other
rejected
court
argument
Decastro’s
that he
handcuffs, masks, and
police
fake
shields.
effectively
§
was
forced to violate
subsequently
Decastro was
indicted for
by traveling outside the state in order to
violating
922(a)(3).
U.S.C.
That statute
secure a
for self-defense. The
(subject to certain exceptions
applica-
court did not
address Decastro’s
here1) prohibits
ble
anyone other than a
is unconstitutional on its
manufacturer,
licensed importer,
dealer or
face.
collector
transporting
from
into his state of
residence a
purchased
trial,
firearm
or obtained
At the
parties stipulated
bench
outside that state. Decastro
following
moved to dis-
facts:
1. The statute
er’s home state and the state in which the
legal
or rented
seller’s
arm in
dence, provided that
ducted in
for
state of
quired
acquired by inheritance outside the owner’s
922(a)(3)(B), (b)(3)(A),
922(a)(3)(A),
purposes,
conditions of
outside of the
owner to
residence, provided
place
person
for
her
temporary
does not
§id.
of business
[2]
home
and in
purchase
sale
922(a)(3)(B),
rifles
purchaser's
the transaction is con-
apply
use for lawful
compliance
[3]
state,
both the
or
that it is'lawful
firearms loaned
to:
shotguns
located,
state of
(b)(3)(B),
[1]
18 U.S.C.
purchas-
with the
firearms
a fire-
sport-
resi-
ac-
id.
2. The number of licenses issued for business
premises
suggests
does not affect our
issued in the
license renewals that are not considered "new
applications,”
new
any
statute,
the number of licenses issued includes
applications
transportation
§id.
in 2006 exceeded the number of
prior
922(a)(3)(C).
year they
licenses were not
or both.
-to the effective date of the
received that
analysis.
aof
were
In
firearm
applied
year,
acquired
necessarily
event,
for,
this
or
our review is
argument,
As to each
de
had never been
licensed
Decastro
Pettus,
manufacturer,
States v.
dealer or novo. See United
importer,
Cir.2002).
(2d
firearms;
collector of
through Febru
at least 2002
From
I
in New
Decastro resided
ary
Florida;
York, not
already
“a defendant has
When
specific
conduct under
been convicted
purchased
April
law,”
considering
a court
challenged
Pistol from a firearms
the Taurus
a criminal
must
facial
statute
Florida;
dealer
“
complainant’s conduct be
‘examine the
*4
in April
it
purchasing
After
analyzing
hypothetical applica
fore
other
February 2006—while
prior
but
to
”
Farhane,
tions.’ United States v.
in
York—Decastro
he resided New
Cir.2011)
127, 139(2d
(quoting
F.3d
Vill. of
willfully transported
knowingly and
Flipside
Estates v.
Es
Hoffman
Hoffman
Pistol from Florida to
the Taurus
tates, Inc.,
489, 495,
455 U.S.
York,
gave it to a resident
(1982)).
1186,
applied to omitted)). licensing But between New York state marks evidence ar- futility and federal firearms law. Decastro Decastro offers show is the licensing the restrictive gues that because hearsay po- statement of an unidentified effectively in his home state com- scheme lice desk officer who had no con- apparent get him a hand- pelled go elsewhere licensing process, nection to the gun, prevented him from exer- incompatible with the whose view cising his Second Amendment report NYPD that Decastro submitted to handgun for self-defense. showing roughly court the district 2/3 applications license dur- 3/4 argu premise The of Decastro’s period question granted. were licensing ment is that New York’s scheme Although the absolute number of defective; constitutionally ar is itself granted historically licenses has been tantamount to a chal gument is therefore small, applications so has the number of However, lenge to that scheme. because received. Decastro has adduced no evi- Decastro failed to for a license apply appli- dence that the low volume of license York, standing in New he lacks to chal *5 product futility cations is itself a of the of lenge licensing the laws the state. “As application process. the He has therefore matter, general standing a to establish to not the showing made substantial of futili- challenge allegedly an unconstitutional ty necessary apply to excuse his failure to policy, plaintiff must submit to the chal for a license New York. lenged policy.” Jackson-Bey v. Han (2d slmaier, Cir.1997); 1091, 115 F.3d Wright,
see also Allen v.
468 U.S.
B.
Bey, 115 F.3d at Bach v. Pataki cf. (2d Cir.2005) heightened scrutiny We hold that (holding 408 F.3d 82-83 appropriate only regulations as to those plaintiffs challenge to New York’s substantially burden the gun licensing laws to applicable non-resi justiciable dents was Amendment. Because despite his failure to minimally ability apply acquire for a license because he was statuto affects the firearm, rily subject ineligible for a license and therefore is not form of (We submitting application heightened scrutiny. would have been therefore need forbidding carrying scrutiny applicable “laws firearms level of not decide burden.)3 impose places as schools and do such in sensitive such to laws that buildings, imposing or laws
government
1.
the com-
qualifications
on
conditions
“A
provides:
626-27,
The Second
sale of arms.” Id. at
mercial
Militia,
necessary to
being
regulated
well
2783;
City
see also McDonald v.
S.Ct.
—
State,
right
free
security of a
-,
U.S.
Chicago,
Arms, shall
and bear
people
(2010)
(reiterating
Const,
II.
U.S.
amend.
infringed.”
not be
assurances that the decision “did
Heller’s
Heller, the Su-
In
Columbia v.
District of
regu-
longstanding
doubt on such
not cast
Amend-
held that the Second
preme Court
measures”).4 Although the Court
latory
pre-existing
“individual
ment codified
classes
expand why
not
on
these two
did
in case
carry weapons
possess
would be
the nat-
permissible,
restrictions
592, 128
at
of confrontation.”
time,
explanation
place
is that
ural
S.Ct.
significantly
may
manner restrictions
self-de-
the need for
emphasizing
a firearm for
impair
fense,
relied
the historical
Court
self-defense,
may impose
apprecia-
no
meaning
text of the
record and
rights.
burden on Second Amendment
ble
ratifica-
the time of
Second Amendment
Heller
the consti-
Throughout,
identifies
to announce
The Court declined
tion.
infirmity
District of Colum-
tutional
precise
applicable
of review
standard
terms of the burden
bia
infringe the Second Amendment
laws that
*6
fire-
ability
possess
of D.C. residents to
(by
the laws
issue
right because
at
empha-
arms for self-defense. The Court
categorically
of Columbia
the District
the
prohibited
sized that
ban
the
all
required
and
handguns,
banned
weapon
by
chosen
Ameri-
popular
“most
kept
would
inoperable)
firearms be
other
home,” Heller,
for self-defense in the
cans
the
of
“[u]nder
unconstitutional
629,
2783, that
at
128 S.Ct.
the
scrutiny
applied
that we have
standards of
“makes
to disable all firearms
mandate
rights.” Id.
to enumerated constitutional
for citizens to use them for the
impossible
628-29,
At the same
at
S.Ct. 2783
history
Amendment.”),
the
of our Nation
reh’g
“[f]ew laws
the Second
in banc
(9th
close to the
restriction of
Cir.2011);
have come
severe
664
774
granted,
F.3d
see
ban,”
at
128
the District’s
id.
Columbia,
also Heller v. District
670
of
S.Ct. 2783.
(D.C.Cir.2011) (laws
F.3d
that have
a “de minimis” effect on the
emphasized
practical
im-
The Court
bear arms
that do not “mean
abili-
pact
challenged regulation
of a
ingfully affect individual self-defense” do
ty
guns
and use
citizens
impinge
on the Second Amendment
purpose
the core lawful
self-defense.
(in
right and therefore do not
height
warrant
justified
That
emphasis
implicitly
(internal
scrutiny
quotation
ened
marks
opinion) by
history
the Amendment
omitted));
by
City Chicago,
as a
En-
Ezell v.
response measures taken
cf.
III,
(7th Cir.2011)
glish
George
kings, including
di-
(holding
F.3d
592-95,
citizenry,
sarm
id. at
see
severe
“a
burden
the core Second
by
S.Ct.
and is reinforced
Amendment
of armed self-defense
grounds
by
majority
used
to distin-
require
extremely strong
will
public-
guish
founding-era
laws cited
justification
interest
and a close fit be
majority
dissent. Thus the
distinguished
government’s
means
tween
and its
18th-century
storage
regulating
restricting activity ly
end” but that “laws
gunpowder,
excess
id.
margins
closer to the
of the Second
regu-
and the laws of colonial cities
right,
merely regu
laws that
time,
lating
place
manner
for the dis-
restrict,
rather than
late
and modest bur
(as
charge
public
of firearms
streets
may
dens on the right
easily
be more
Eve),
or on
taverns
New Year’s
id. at
Masciandaro,
justified”); United States v.
632-33,
167
is
on a
decision to termi-
showing
A
threshold
burden”
woman’s
similar
at 3036.5
e.,
scrutiny
pregnancy,
regulations
i.
trigger heightened
to
nate her
needed
“
alleged
infringe
purpose
other fundamental
or effect of
a
placing
have
‘the
right marry
The
rights.
path
in the
constitutional
obstacle
of woman
substantial
fundamental,
regula-
”)
but “reasonable
an
seeking
(quoting
abortion’
Planned
significantly interfere
that do not
tions
Casey,
Pa. v.
505 U.S.
Parenthood
Se.
into
marital
to enter
decisions
with
2791,
112
169
(7th Cir.2010)
Skoien,
right
fundamental
614 F.3d
645
substantially burden the
—
(in banc),
denied,
U.S.-,
cert.
131
obtain a firearm sufficient
self-de-
to
(2011).
1674,
CONCLUSION MANAGEMENT, INC., MARK A STAR reasons, foregoing judgment For the Corporation, Mark New York Great
of the district court is affirmed. Corporation, Corpora- A New York tion, Jimmy Zhan, Individually on HALL, Judge, concurring: Circuit Management, Behalf of Mark Star fully I concur in the result reached in Corporation, Inc. and Mark aka Great however, opinion. separately, I write Q. Zhan, Plaintiffs, Yi to enunciate how I reach the determination impose that 18 U.S.C. does not Bing Li, Bing Li, LLC, Law Offices of a substantial burden the exercise of Appellants-Cross-Appellees, right. Decastro’s Second Amendment v. Had opted Decastro utilize the lawful by acquired means which he could have a KOON HING & CHUN KEE SOY so, FACTORY, LTD., Company in New York and done A SAUCE played Organized Hong would have no role Laws of Kong, Defendant-Appellee-Cross-Ap- regulating By transaction. the same token, pellant. its by terms did not preclude Decastro from acquiring the 10-4931-cv(L), Docket Nos. handgun in question from the Florida deal- 11-16-cv(XAP). because all er that the federal statute ef- fected were minor limitations on the chan- United Court of Appeals, States through nels which that towas Circuit. shipped from Florida York. Even Argued: Feb. 2012. though acquisition is indeed often neces- sary effectuate the Second Amendment Decided: June arms, and bear limita- acquisition tions Decastro’s were those
occasioned refusal comply own requirements
with New York State’s
possessing handgun, and the federal
statute, therefore, played no demonstrable in precluding
role from purchas- a firearm in either state so as to
exercise his Second right. reasons, 922(a)(3),
For these applied, not substantially
does burden Decastro’s
Second Amendment to own a firearm defense his home and hearth. See
District Columbia
(2008).
