UNITED STATES OF AMERICA, Appellee, v. JOSE PEÑA, ALSO KNOWN AS CHELO, Defendant-Appellant, RAFAEL FRANCISCO, ALSO KNOWN AS 67, OMAR FLORES, JOSE SANCHEZ-FERNANDEZ, ALSO KNOWN AS EDDIE, ELYN REYNOSO, ALSO KNOWN AS BB, VLADIMIR DELACRUZ, ALSO KNOWN AS VLADI, HECTOR RAYMOND PEÑA, ALSO KNOWN AS C.O. MONTANA, Defendants.
Docket No. 20-4192
UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT
Decided: December 13, 2022
August Term, 2021 (Argued: March 10, 2022)
Before: SACK, LOHIER, AND NARDINI, Circuit Judges.
Defendant-appellant Jose Peña was charged in the United States District Court for the Southern District of New York in five counts of an eight-count indictment in connection with the killings of Jose Suarez and Juan Carmona. Counts Four, Five, and Six charged Peña with conspiring to commit, and committing, murder for hire in violation of
In response to intervening Supreme Court precedent, Peña filed a motion pursuant to
YUANCHUNG LEE, Federal Defenders of New York, Inc., New York, NY, for Defendant-Appellant;
SAMUEL P. ROTHSCHILD (Karl Metzner, on the brief), Assistant United States Attorneys, for Audrey Strauss, United States Attorney for the Southern District of New York, New York, NY, for Appellee.
Defendant-appellant Jose Peña was charged in the United States District Court for the Southern District of New York in five counts of an eight-count indictment in connection with the killings of Jose Suarez and Juan Carmona. Counts Four, Five, and Six charged Peña with conspiring to commit, and committing, murder for hire punishable by life imprisonment under
In response to intervening Supreme Court precedent, Peña filed a motion pursuant to
BACKGROUND
A. Factual Background
On April 15, 2013, a Southern District grand jury returned an eight-count indictment against Jose Peña and two others, including Peña‘s brother. Peña was charged in five of the eight counts. Count Four charged him with conspiracy to commit murder for hire in violation of
Trial began on October 15, 2013. At trial, the government proffered evidence that Peña and his brother disguised themselves as police officers; used those disguises to stop and kidnap Suarez and Carmona on June 25, 1997; fatally shot them; and set fire to their bodies. The government‘s case included, among other evidence, the testimony of more than two dozen witnesses; ballistics reports; crime-scene evidence including video surveillance and handcuffs used in the disguise; and a gun recovered from Peña‘s brother, Hector.
The district court‘s instruction to the jury on Count Four included the statement: “[Y]ou may find the defendants guilty of the crime of conspiring to commit a murder for hire even if no murder for hire was actually committed. Conspiracy is a crime, even if the conspiracy was not successful. Substantive murder for hire is also charged in Counts Two, Five and Six, as you know.” Jose Peña App‘x 44, Excerpts of Jury Trial dated October 28, 2013. That portion of the instruction was erroneous. While the jury was not required to find that a victim of the crime died in order to convict Peña for violating
Similarly, the district court erroneously instructed the jury regarding Counts Five and Six, stating that: “The government does not have to prove that the murder was committed or even that it was attempted. It must prove that the travel in interstate or foreign commerce or the use of the facility of interstate or foreign commerce was done with the intent to further or facilitate the commission of the murder.” Jose Peña App‘x 44, Excerpts of Jury Trial dated October 28, 2013. Again, the instruction was erroneous inasmuch as the jury was indeed required to find that death resulted to subject Peña to the maximum punishment for these offenses. See
Trial concluded on October 29, 2013. The jury convicted Peña on all five counts against him.
On December 19, 2014, the district court held Peña‘s sentencing hearing. The Presentence
Procedural History
Peña appealed to this Court, which affirmed the district court‘s judgment in 2016. See United States v. Francisco, 642 F. App‘x 40, 45-46 (2d Cir. 2016) (summary order). Later that same year, Peña moved pursuant to
In February 2020, Peña moved in this Court for permission to file another
The government consented to the vacatur of Peña‘s convictions on Counts Seven and Eight, agreeing that those convictions could not stand after Davis. On July 6, 2020, the district court granted Peña‘s motion to vacate Counts Seven and Eight. However, the court decided that a full resentencing was not warranted “[b]ecause vacatur of Counts Seven and Eight will not affect Peña‘s other convictions, each of which carries a mandatory term of life imprisonment.” Jose Peña App‘x 68, Order dated July 6, 2020. The district court amended the judgment to reflect concurrent sentences of life imprisonment on Counts Four, Five, and Six.
Peña moved for reconsideration. He argued that de novo resentencing was mandatory, citing United States v. Rigas, 583 F.3d 108, 115–16 (2d Cir. 2009). He also argued that, because the court erroneously failed to instruct the jury to determine whether death resulted from the murder-for-hire conspiracy described in the three
On December 17, 2020, the district court denied Peña‘s motion for reconsideration. It reasoned that the “rule requiring de novo resentencing” is “expressly limited to instances in which a conviction was overturned on direct appeal” and “does not apply in the Section 2255 context.” Jose Peña App‘x 94, Decision and Order dated December 17, 2020. The court also rejected Peña‘s argument that—because of the deficient jury instructions for Counts Four, Five, and Six—Peña could be sentenced to no more than ten years on each count, stating that “in convicting Peña of Counts Seven and Eight, the jury necessarily found that Peña was a substantial factor in causing the victim‘s death and also that the victim was in fact murdered, i.e., that death resulted.” Id. at 96 (internal quotation marks omitted).
Peña timely appealed.
DISCUSSION
I. De Novo Resentencing Was Not Mandatory
Section 2255 grants district courts the discretion to choose among four remedies when reviewing a sentence that was not authorized by law or is otherwise open to collateral attack. See
Peña relies on our decisions in United States v. Quintieri, 306 F.3d 1217 (2d Cir. 2002), and Rigas to argue that the district court was required to conduct a de novo resentencing. In Quintieri, we noted that “resentencing usually should be de novo when a Court of Appeals reverses one or more convictions and remands for resentencing.” 306 F.3d at 1228 (emphasis in original). In Rigas, we observed that Quintieri “created a ‘default rule’ that de novo resentencing is required where a conviction is reversed in part on appeal,” 583 F.3d at 115 (citation omitted), and underscored that this rule is “not a guideline,” id. at 117.
But both Quintieri and Rigas were decided in the context of direct appeals, not collateral challenges pursuant to
District courts in this Circuit have come to a similar conclusion. For example, in United States v. Medunjanin, No. 10-cr-0019 (BMC), 2020 WL 5912323 (E.D.N.Y. Oct. 6, 2020), the
We have held that judges have discretion with respect to resentencing in the
The government argues that every circuit to analyze this issue has held that de novo resentencing is not required in this context. That appears to be correct.
A recent opinion of the Sixth Circuit is instructive. In United States v. Augustin, 16 F.4th 227 (6th Cir. 2021), cert. denied, 142 S. Ct. 1458 (mem.) (2022), a defendant was convicted on eight counts of an indictment, including a conviction under
Augustin argued on appeal that the district court should instead have resentenced him. Augustin, 16 F.4th at 231. The Sixth Circuit noted that resentencing is “akin to ‘beginning the sentencing process anew‘” and requires a full sentencing hearing. Id. at 232 (citation omitted). A sentence correction, on the other hand, is appropriate when “it simply vacates ‘unlawful convictions (and accompanying sentences)’ without choosing to reevaluate
At oral argument, Peña conceded that no other circuit has held that de novo resentencing is required in the
854 F.3d 39, 49 (D.C. Cir. 2017) (“The district court was required to do no more, for Section 2255(b) accords it discretion in choosing from among four remedies, ‘as may appear appropriate.‘“). We find our sister circuits’ reasoning to be persuasive. We conclude that
II. The District Court Did Not Abuse Its Discretion
Peña argues that even if a district court is not required to conduct a de novo resentencing in the
First, Peña‘s argument regarding his
the same as the procedurally defaulted argument that the sentences he received on Counts Four, Five, and Six were unlawful because he was charged on erroneous jury instructions. See id. at 9 (“[T]he court mistakenly believed that resentencing was pointless because it would be required to reimpose the same life sentences on the
Second, even if Peña were allowed to raise his challenges to his sentences on Counts Four, Five, and Six in this
Peña‘s sentences for those convictions may not exceed 10 years on each count. Counts Four, Five, and Six charged Peña with conspiracy to commit murder for hire, and murder for hire, in violation of
Peña is correct that the district court should have instructed the jury it needed to determine whether death was a result of the conduct alleged in Counts Four, Five, and Six. Under Alleyne v. United States, 570 U.S. 99 (2013), and Apprendi v. New Jersey, 530 U.S. 466 (2000), any fact, other than a prior conviction, that triggers statutory mandatory minimums and maximums must be found by a jury or admitted by the defendant. See Alleyne, 570 U.S. at 103
But the district court‘s error was harmless. Alleyne and Apprendi errors are subject to harmless-error analysis. See United States v. Confredo, 528 F.3d 143, 156 (2d Cir. 2008); United States v. Friedman, 300 F.3d 111, 127 (2d Cir. 2002). “In undertaking a harmless-error analysis, we must determine whether it appears beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.” Friedman, 300 F.3d at 128 (internal quotation marks and citation omitted); see also Neder v. United States, 527 U.S. 1, 17 (1999) (“[W]here a reviewing court concludes beyond a reasonable doubt that the omitted element was uncontested and supported by overwhelming evidence, such that the jury verdict would have been the same absent the error, the erroneous instruction is properly found to be harmless.“).
There is overwhelming evidence that the jury would have found that death was the result of the conduct alleged in Counts Four, Five, and Six had it received proper instructions. As an initial matter, Peña‘s murder-for-hire conspiracy did result in the deaths of Suarez and Carmona, and the jury heard evidence of this fact at trial. The jury also convicted Peña of use of a firearm to commit murder in violation of
Peña objects to our inquiry into what the jury would have found had it received proper instructions, but he bases his objection largely on cases where the indictment failed to allege an element of the offense. See, e.g., United States v. Lang, 732 F.3d 1246, 1249 (11th Cir. 2013) (“We cannot combine the allegations from separate counts to allege what the indictment itself does not.“); see also United States v. Thomas, 274 F.3d 655, 667-69 (2d Cir. 2001) (en banc) (district court erred in sentencing defendant based on its own finding that the defendant‘s crime involved a specific drug quantity when the indictment did not allege any specific drug quantity and the jury did not make a finding on this issue). There was no such indictment error here: Counts Four, Five, and Six of the indictment did allege that Peña‘s murder-for-hire conspiracy resulted in death. And even if that allegation had been omitted, our case law makes clear that the mistaken omission of an element from an indictment is amenable to harmless-error analysis. See United States v. Confredo, 528 F.3d 143, 156 (2d Cir. 2008) (“[A]n Apprendi violation concerning an omission from an indictment is not noticeable as
Having concluded that Peña‘s challenges to his
CONCLUSION
We have considered Peña‘s remaining arguments on appeal and conclude that they are without merit. For the reasons explained above, we AFFIRM the district court‘s July 6, 2020 amended judgment and December 17, 2020 order.
SACK
CIRCUIT JUDGE
