Lead Opinion
Rudolph Stanko appeals his convictions for two counts of possessing firearms and ammunition by a prohibited person, in violation of 18 U.S.C. § 922(g)(1). On appeal, Stanko’s primary argument is that the district court
I. BACKGROUND
In 1984, Cattle King Packing Co., Inc. and Stanko, an officer and shareholder of the corporation, were convicted after a jury trial of multiple counts of violating the FMIA, 21 U.S.C. § 601 et seq., and of conspiracy to violate the FMIA, 18 U.S.C. § 371. United States v. Cattle King Packing Co.,
Ten years later, Stanko sought a declaratory judgment that he was not prohibited from possessing firearms under § 922(g)(1) because his conviction fell within the § 921(a)(20)(A) exclusion. After the United States District Court for the District of Montana denied relief on the merits, the Ninth Circuit Court of Appeals reversed with instructions to dismiss the case for lack of standing. Stanko v. United States, No. 95-35289,
In 2005, a federal grand jury for the District of Nebraska returned an indictment charging Stanko with one count of possession of firearms by a prohibited person and one count of possession of ammunition by a prohibited person, both in
It shall be unlawful for any person- — who has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year ... to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any firearm or ammunition....
18 U.S.C. § 922(g)(1). Both counts cited Stanko’s FMIA convictions to establish his prohibited person status.
After a pretrial hearing on Stanko’s motion to dismiss the indictment, the district court concluded that Stanko’s FMIA conviction did not fall within the § 921(a)(20)(A) exclusion, which states in relevant part:
The term “crime punishable by imprisonment for a term exceeding one year” does not include — (A) any Federal or State offenses pertaining to antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices.
18 U.S.C. § 921(a)(20)(A). The district court reasoned that: (1) the exclusion was “directed towards illegal restraints of trade, monopolies, and anti-competitive forces in the marketplace,” not towards fraud-related convictions such as Stanko’s; (2) for the “similar offenses” language to apply, the offense must be similar in nature to antitrust, restraint of trade, or unfair trade practices, and must also relate to regulation of business practices; and (3) the FMIA conviction did not depend on its effect on consumers or on competition. The district court summarized by saying, “Although in some respect the allegations ... could be considered unfair trade practices, the gravamen of these charges are issues of food and drug safety and fraud, not unfair trade practices.” At trial and over Stanko’s objections, the district court declined Stanko’s request to instruct the jury on the exclusion and denied his motion for judgment of acquittal. The jury found Stanko guilty on both counts, and the district court sentenced him to 72 months in prison.
In addition to his substantive § 921(a)(20)(A) argument, Stanko contends on appeal that the indictment was fatally defective because it did not include the § 921(a)(20)(A) exclusion as an element of the charged offense and because the district court erred in treating his § 921(a)(20)(A) argument as a question of law for the court rather than one of fact for the jury.
II. DISCUSSION
Stanko raised his challenges to the indictment and to the district court’s refusal to submit the § 921(a)(20)(A) exclusion issue to the jury in his motions to dismiss the indictment and for judgment of acquittal. We review de novo the district court’s denial of a motion to dismiss the indictment, United States v. Postley,
An indictment “is legally sufficient on its face if it contains all of the elements of the offense charged, fairly in-
Likewise, we conclude that whether Stanko’s predicate FMIA convictions qualified under the § 921(a)(20)(A) exclusion was a question of law for the court rather than one of fact for the jury. The definitional nature of the § 921(a)(20) exclusions places the responsibility on the court to determine as a matter of law whether the prior conviction qualifies as a “crime punishable by imprisonment for a term exceeding one year” under § 922(g)(1). Bartelho,
We now turn to the substantive question of whether the district court correctly concluded that Stanko’s FMIA convictions do not fall within the § 921(a)(20)(A) exclusion, a question of first impression in this circuit. This court “applfies] de novo review to ... questions of federal law involving statutory interpretation.” United States v. Bach,
In examining the meaning of a statute, our inquiry begins with the statute’s plain language. United States v. Cacioppo,
We do not agree with Stanko’s broad interpretation of the business practices clause. First, “[qualifying words or clauses refer to the next preceding antecedent except when evident sense and meaning require a different construction.” United States v. Friedrich, 402 F.3d 842, 845 (8th Cir.), cert. denied,
Only three courts have analyzed whether an offense qualifies under the § 921(a)(20)(A) exclusion. Each of these courts has focused on whether the statute of conviction constitutes the type of offense enumerated in § 921(a)(20)(A), as evidenced by the primary purpose of the criminal statute and the elements the Government must prove for conviction under it. In Dreher v. United States, after recounting the elements of the statute of conviction, the court held that convictions for mail fraud and conspiracy to commit mail fraud did not qualify under the exclusion “[bjecause violations of §§ 371 & 1341 in no way depend on whether they have an effect upon competition.”
Significantly, the focus on the purpose and elements of the statute of conviction in these cases endures notwithstanding the possibility that the defendant’s criminal conduct may also have incidentally hampered competition or had negative economic effects on consumers. For example, the Dreher court specifically rejected the argument that because Dreher’s activities had destroyed the competitive billing process and injured his competitors, his offense should qualify under the § 921(a)(20)(A) exclusion. Dreher,
We also agree with the Dreher and Meldish courts that implicit in the term
Stanko argues that violating the FMIA is an unfair trade practice as a matter of clearly established law because one of the FMIA’s main purposes is to protect the market from unfair competition and because the activities underlying his FMIA conviction harmed competition. He also argues that mislabeling products and committing business fraud constitute unfair trade practices by definition and that the FMIA must be an unfair-trade-practices law because it has preempted all state unfair-trade-practices laws.
We disagree with Stanko’s characterization of the primary purpose of the FMIA as well as his reliance on the potential incidental adverse effects on competition and consumers resulting from his FMIA violations. It is true that the statement of congressional findings at 21 U.S.C. § 602 includes concerns about the effects of unwholesome meat on competition and markets. These concerns, however, are subordinate to the FMIA’s primary public-health purpose of protecting consumers from unsafe meat: “It is essential in the public interest that the health and welfare of consumers be protected by assuring that meat and meat food products distributed to them are wholesome, not adulterat
Even more significantly, none of the provisions of the FMIA require the Government to prove an effect on competition or consumers as an element of the offense. More specifically, none of the provisions under which Stanko was convicted required the Government to prove such effects. See 21 U.S.C. §§ 605 (requiring inspection of meat products), 610 (prohibiting adulteration or misbranding of meat products), and 611 (prohibiting mislabeling). Instead, Stanko’s mislabeling, mis-branding, adulteration of meat, and deliberate avoidance of inspection alone ran afoul of the FMIA, independent of the incidental effects those actions may have had on competition or consumers.
An instructive contrast to the FMIA is the Packers and Stockyards Act (PSA), 7 U.S.C. § 192. Meatpackers run afoul of the PSA for such offenses as engaging in unfair, unjustly discriminatory or deceptive practices; apportioning supplies if such apportionment has the effect of restraining commerce or of creating a monopoly; and engaging in any course of business for the purpose or with the effect of manipulating or controlling prices. 7 U.S.C. § 192(a), (c), (e). In comparing the PSA with the FMIA, the Sixth Circuit Court of Appeals has noted that “the statutes have quite different purposes. The FMIA is a public health statute, aimed at ‘preventing the use in commerce of meat and meat food products which are adulterated.’ ” D & W Food Centers, Inc. v. Block,
Having determined that the primary purpose of the FMIA is to protect public health and that the elements of Stanko’s FMIA offenses of conviction do not involve an economic effect on competition or consumers, we find Stanko’s additional arguments unavailing as well. That Stanko’s acts involved fraud and mislabeling does not transform an FMIA offense into an unfair-trade-practices offense or an offense similar to the enumerated offenses, notwithstanding the fact that fraudulent conduct and mislabeling may be present in many unfair-trade-practices statutes.
Therefore we conclude, based on the primary purpose of the FMIA and the
III. CONCLUSION
Accordingly, we hold that Stanko’s FMIA' convictions do not fall within § 921(a)(20)(A) exclusion and, as a result, that he was a prohibited person under § 922(g)(1). We therefore affirm his convictions.
Notes
. The Honorable Joseph Bataillon, Chief Judge, United States District Court
. On appeal, in addition to his counseled briefs, Stanko has filed two pro se “Petition[s] for Great Writ of Habeas Corpus” in which he advances additional arguments as to why his convictions should be overturned. We construe these filings as supplemental pro se briefs and decline to address them. See United States v. Peck,
. We also necessarily conclude that Stanko’s Sixth Amendment right to a trial by jury was not violated by the district court's refusal to instruct the jury on the § 921(a)(20)(A) exclusion. Stanko's reliance on United States v. Gaudin,
. Until a 1986 amendment to the statute, § 921(a)(20)(A) read "or similar offenses relating to the regulation of business practices as the Secretary may by regulation designate.” 18 U.S.C. 921 (a)(20)(A) (1968), amended by Pub.L. No. 99-308 (1986) (emphasis added). Our research has not revealed any offense so designated by the Secretary under this prior version, nor any indication of Congress's rationale for deleting that language.
. Even if we were to find ambiguity in the language of § 921(a)(20)(A), as suggested by Stanko, the application of the established maxim of statutory construction ejusdem gen-eris would also support our interpretation. Ejusdem generis provides that "[wjhere general words follow specific words in a statutory enumeration, the general words are construed to embrace only objects similar in nature to those objects enumerated by the preceding specific words.” Circuit City Stores, Inc., v. Adams,
In addition, Stanko's argument that any ambiguity in the statute requires resolution in his favor under the rule of lenity misinterprets the reach of that rule. See Bernitt v. Martinez,
. An “intent to defraud" is not required for conviction under the FMIA. When an intent to defraud is present, as in Stanko's convictions, the potential criminal punishment for the violation increases. See 21 U.S.C. § 676(a) (any violation of any provision of the FMIA subjects a person to imprisonment "for not more than one year, or a fine of not more than $1,000, or both such imprisonment and fine; but if such violation involves intent to defraud ... such person ... shall be subject to imprisonment for not more than three years or a fine of not more than $10,000, or both....”).
Dissenting Opinion
dissenting.
It is ordinarily unlawful for anyone “who has been convicted in any court of, a crime publishable by imprisonment for a term exceeding one year” to possess a firearm or ammunition which has traveled in interstate commerce, 18 U.S.C. § 922(g)(1), but the congressional enactment before us exempts certain individuals who commit business crimes, 18 U.S.C. § 921(a)(20)(A). The exemption from the bar to gun ownership applies to persons convicted of “antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices];.]” 18 U.S.C. § 921(a)(20)(A) (emphasis added). Thus a person who has committed a felony may still own a gun if that person’s felony relates to certain business crimes.
The majority speculates that Congress, on passing this legislation, excluded only a limited subset of business crimes, and that the Stanko’s Federal Meat Inspection Act (“FMIA”) offenses, 21 U.S.C. § 601 et seq., are not “unfair trade practices” crimes or “similar offenses” within the scope of the exemption. The Gun Control Act of 1968 originally required the Secretary to designate the “similar offenses” that were within the scope of the exemption, 18 U.S.C. § 921(a)(20) (Supp.V.1969). The 1986 Firearms Owners’ Protection Act, Pub.L. No. 99-308, 100 Stat. 449 (1986), however, eliminated the Secretary’s role and left the courts to determine which business offenses are similar to antitrust violations, unfair trade practices, and restraints of trade.
A court’s task of interpreting the exemption is complicated by the lack of Congressional commentary on § 921(a)(20)(A). Most recently, when Congress amended the Gun Control Act by enacting the Firearms Owners’ Protection Act, the bill’s sponsor, Senator James McClure, explained:
[T]his bill [the Firearms Owners’ Protection Act] has been painstakingly crafted to focus law enforcement on the kinds of Federal firearms law violations most likely to contribute to violent firearms crime.... We must compel the enforcing agency to, stop harassing honest people and to direct their efforts at the violent criminals who give all gun owners a bad name.
131 Cong. Rec. S23 (daily ed. Jan 3, 1985) (statement of Sen. McClure).
The statement seems to limit the prohibition on gun ownership only to “those who have demonstrated that ‘they may not be trusted to possess a firearm without becoming a threat to society.’ ” Scarborough v. United States,
Congress, by enacting § 921(a)(20)(A), has deemed criminals who commit a-subset of business crimes outside the definition of those who “may not be trusted,” but it has done little to outline the contours of that subset. The parties here have not sug
The result of Congress’s abdication is a criminal statute that is impermissibly vague. See Kolender v. Lawson,
But here the vagueness of statute goes beyond, for example, the uncertainty inherent in defining a “violent felony” for purposes of 18 U.S.C. § 924(e)(2)(B) (codifying in part the Armed Career Criminal Act), see James v. United States, — U.S. -, n. 6,
The “similar offenses” clause of § 921(a)(20)(A) is crucial to this appeal. If, as the majority notes, this court is to obey a fundamental tenet of statutory interpretation, the clause must contemplate some crimes or be relegated to “mere sur-plusage.” See Potter v. United States,
The complete absence of Congressional guidance and scarcity of federal precedent leaves the meaning of the similar offenses clause unconstitutionally vague, and thus the class of individuals who may possess a firearm without the threat of prosecution is in part undefined. All persons, including those like Stanko, enjoy the right to live under a system of laws in which “a penal statute define[s] the criminal offense with sufficient definiteness that ordinary people can understand what conduct is prohibited and in a manner that does not encourage arbitrary and discriminatory enforcement.” Kolender,
The similar offenses clause of § 921(a)(20)(A) could be read as the majority determines, or otherwise, as contended by Stanko. Either is a plausible interpretation of the text. Stanko should not be convicted under a statute that is so uncertain as to its meaning, and therefore I respectfully dissent.
. The majority includes United States v. Meldish,
. Stanko attempted but failed to get a final adjudication of his rights in a noncriminal setting. He sought a declaratory judgment that his FMIA offense was within the scope of § 921(a)(20), which a district court denied on the merits, but the Ninth Circuit vacated the court’s order because Stanko had not, at that time, suffered a harm and thus lacked standing. See Stanko v. United States, No. 95-35289,
