Lead Opinion
Partial Concurrence and Partial Dissent by Judge BEA.
OPINION
Steven Yamashiro appeals his conviction and sentence for wire fraud and money laundering. We affirm his conviction, but vacate his sentence as a result of structural error and rémand for resentencing before a different judge.
I. Factual Background
From December 2005 to December 2007, Steven Yamashiro, a registered investment ' advisor and securities agent, engaged in a scheme to defraud his clients. The scheme involved more than ten victims and more than $3.5 million. Yamashiro was charged with eight counts of wire fraud in violation of 18 U.S.C. § 1343, two counts of money laundering in violation of 18 U.S.C. § 1957, and two asset forfeiture claims pursuant to 18 U.S.C. §§ 981(a)(1)(C) and 982. On December 27, 2011, Yamashiro pleaded guilty to two counts of wire fraud (Counts 1 & 6) and one count of money laundering (Count 10). Yamashiro waived
The Probation Office calculated a total offense level of 26 and a criminal history category of I, resulting in a Sentencing Guidelines range of 63-78 months of imprisonment. The Probation Office recommended a low-end sentence of 63 months.
On September 17, 2012, the day scheduled for sentencing, Yamashiro requested a substitution of counsel. The district court granted the motion, set a new date for sentencing, and released Yamashiro’s original counsel from further representation. Although Yamashiro’s newly substituted counsel had not yet arrived in court, the court agreed to listen to allocution from the victim witnesses who were in attendance so that. their travel to court would not be in vain. The court requested Yamashiro’s original counsel who had just been released to stay for the victim allocution until Yamashiro’s newly substituted counsel arrived, but advised him that he did not have to do anything.
Glenn Hale, the first victim witness, described his relationship of trust with Ya-mashiro, and the devastating consequences the fraud had on his life. He requested that the court impose the maximum penalty. After Hale completed his allocution, Yamashiro’s new counsel arrived in court and was present during the allocution of the next five victim witnesses.
Three months later, at the start of the second phase of the sentencing hearing, the district court denied defense counsel’s letter request for withdrawal of the plea. The court heard additional allocution from victim witnesses, and then sentenced Ya-mashiro to 63 months on each of the three counts, to run consecutively, for a total sentence of 189 months in prison and restitution of $3,911,457.
II. Jurisdiction
This Court has jurisdiction under 28 U.S.C. § 1291.
III. Discussion
A. Denial of Counsel
Yamashiro contends that the district court committed plain error when it allowed victim allocution to proceed without counsel present. Yamashiro did not object to this alleged error before the trial court. Accordingly, we review for plain error. Fed.R.Crim.P. 52(b).
In United States v. Olano,
(1) there must be an error or defect ... that has not been ... affirmatively waived by the appellant (2) the legal error must be clear or obvious, rather than subject to reasonable dispute; (3) the error must havé affected the appellant’s substantial rights; and (4) if the above three prongs are satisfied, the court of appeals has the discretion to remedy the error ... if the error seriously affects the fairness, integrity or public reputation of judicial proceedings.
United States v. Mageno,
The alleged error in this case concerns the denial of the right to counsel. The Sixth Amendment right to counsel attaches at all critical stages of a criminal prosecution. Hovey v. Ayers,
While conceding that sentencing is a critical phase and that victim Hale’s allocution occurred during a sentencing hearing, the government nevertheless contends that victim allocution is not a critical stage because crime victims have a nearly unfettered right to be heard at sentencing under the Crime Victims’ Rights Act (“CVRA”), 18 U.S.C. § 3771(a)(4), and are not subject to cross-examination Or other “trial-like confrontations.”
“[T]he essence of a ‘critical stage’ is not its formal resemblance to a trial, but the adversary nature of the proceeding, combined with the possibility that a defendant will be prejudiced in some significant way by the absence of counsel.” Leonti,
There is also a possibility of significant prejudice if counsel is not present to hear what was said, how it was said, and how it was received by the court. This case provides a particularly clear illustration of the critical nature of victim allocution. Hale’s testimony was compelling, and the trial court readily acknowledged that he was influenced by the victims’ allocution because it increased his understanding of the human impact of Yamashiro’s conduct.
Yamashiro’s Sixth Amendment right to counsel was violated by the court’s decision to proceed with victim allocution in the absence of trial counsel during a portion of Yamashiro’s critical sentencing stage. The denial of counsel is error that is not subject to reasonable dispute, and Yamashiro did not affirmatively waive his right to counsel at this critical stage. Accordingly, this clear and obvious error satisfies the first two prongs of the Olano plain-error test.
The government argues that even if the proceeding violated Yamashiro’s right to counsel, any violation was trivial, and amounts to harmless error in light of the fact that only one victim spoke, his allocution was not subject to cross-examination, his statement was recorded, and he appeared again at the continuation of Yama-shiro’s sentencing.
Most trial errors are subject to harmless-error analysis. However, certain errors fall within the class of “structural defects in the constitution of the trial mechanism” that “defy analysis by ‘harmless-error’ standards.” Arizona v. Fulminante,
Yamashiro was not represented by anyone when the allocution phase of his .sentencing proceeding began. His counsel had been dismissed, and his new counsel had not yet arrived. We have held that the denial of the right to counsel at sentencing is structural error. Robinson v. Ignacio,
We conclude that the denial of counsel during a portion of the allocution phase of the sentencing proceeding was structural error, that the error was complete when the right to counsel was denied, and that no additional showing of prejudice was required.
In most cases, the requirement of the plain error test that an error “affect substantial rights” means that the error must have been prejudicial, i.e., that it must have affected the outcome of the district court proceedings. United States v. Gadson,
B. Motion to Withdraw Guilty Plea
Yamashiro contends that the district court abused its discretion by failing to rule on his motion to withdraw his guilty plea. He accordingly requests that his conviction be reversed and remanded for consideration of the motion.
Contrary to Yamashiro’s argument, the district court did deny his motion to withdraw his guilty plea. Denial of that motion was not error. “The decision whether to permit the withdrawal of a plea ‘is solely within the discretion of the district court.’ ” United States v. Showalter,
A defendant may withdraw a plea of guilty before sentencing if “the defendant can show a fair and just reason for requesting the withdrawal.” Fed.
The district court did not abuse its discretion in denying Yamashi-ro’s motion to withdraw his guilty plea. Yamashiro’s testimony during the plea hearing directly contradicted his contention that he did not enter his plea voluntarily and knowingly. “Statements made by a defendant during a guilty plea hearing carry a strong presumption of veracity in subsequent proceedings attacking the plea.” United States v. Ross,
C. Reassignment
Yamashiro requests that on remand his case be reassigned to a different district judge for resentencing.
“ ‘Although we generally remand for resentencing to the original district judge, we remand to a different judge if there are unusual circumstances.’ ” United States v. Rivera,
(1) whether the original judge would reasonably be expected upon remand to have substantial difficulty in putting out of his or her mind previously expressed views or findings determined to be erroneous or based on evidence that must be rejected, (2) whether reassignment is advisable to preserve the appearance of justice, and (3) whether reassignment would entail waste and duplication out of proportion to any gain in preserving appearance of fairness.
Id. (quoting Quack,
Because the trial court committed structural error by proceeding with victim allocution while defense counsel was not present, and because the victim’s statements were highly significant in the judge’s sentencing consideration, reassignment is advisable to preserve the appearance of justice. See United States v. Noushfar,
Because of the unusual circumstances in this case, we will remand with instructions that this case be reassigned tó a different judge for resentencing.
IV. Conclusion
'We affirm Yamashiro’s conviction, vacate his sentence for structural error, and remand with instructions that this case be reassigned to a different judge for resen-tencing.
CONVICTION AFFIRMED, SENTENCE VACATED and REMANDED.
Notes
. In United States v. Walters,
Concurrence Opinion
concurring in part and dissenting in part:
I agree with the majority that we should affirm the district court’s decision to deny Steven Yamashiro’s' motion to withdraw his guilty plea. But I disagree that the district court committed “plain error” when it permitted one victim to allocute without Yamashiro’s preferred counsel present.
The standard of review matters. We must apply plain-error review when, as here, there was no objection lodged in the district court to the claimed error. See Puckett v. United States,
I.
We “cannot properly evaluate a case [under plain-error review] except by viewing such a claim against the entire record.” Young,
Yamashiro pleaded guilty in December 2011 to two counts of wire fraud and one count of money laundering arising out of his sham investment scheme. At the commencement of the sentencing hearing on September 17, 2012, Yamashiro’s counsel, Mark Hathaway, for the first time notified the court that Yamashiro no longer wanted Hathaway to represent him.
Before court adjourned, the prosecutor asked if the victims could allocute. The district judge agreed: “I do not want this to be a wasted trip for any of the victims. Let’s do this. I would like to hear from as many as wish to speak.” The district judge then excused Hathaway. After the government noted it may be improper to permit the victims to allocute without counsel present, the district court decided in an “exercise of caution” to have Hathaway remain with Yamashiro during the allocutions. The district judge told Hathaway, “You don’t have, to do anything. I just want to have a full house here while we listen to the victims.” The first victim, Glenn Hale, took the stand and explained how Yamashiro duped him and his wife into investing with Yamashiro, the effect the lost investments had on his life and marriage, and his wish that Yamashiro be imprisoned. Conway arrived after Hale’s allocution. The district court then excused Hathaway, who conferred with Conway off the record before exiting the courtroom. Conway did not seek a recess for purposes of conferring with his client, Yamashiro, with respect to Hale’s allocution. Conway did not ask for a read-back of Hale’s allo-cution. The remaining victims allocuted with Conway present. However, instead of sentencing Yamashiro, the district court continued the sentencing hearing to give Conway the opportunity to get up to speed on the case.
The continued sentencing hearing was ultimately held three months later. During that time, Conway could have ordered and reviewed a transcript of Hale’s allocution, though apparently he did not do so.
Neither Hathaway nor Conway ever filed a motion to strike Hale’s first allocution or otherwise objected to that allocution. We therefore review for plain error. Puckett,
The majority flatly states that Yamashi-ro satisfies the fourth element in a single line: “We are also satisfied that the denial of counsel seriously affected the fairness, integrity or public reputation of the judicial proceedings.” I cannot agree for several reasons. To start, it is not even clear the district court denied Yamashiro his right to counsel during Hale’s allocution because Hathaway remained with Yama-shiro during that allocution. To that end, the district court found Yamashiro’s request to change counsel from Hathaway to Conway was a “delaying tactic” that was “solely for the purpose of creating a continuance and causing an inconvenience to the parties, to the victims and to the court.” Because of that finding, it is likely the district court would not have erred if it denied Yamashiro’s request for new counsel and proceeded immediately to sentencing with Hathaway as counsel. “The Sixth Amendment grants criminal defendants a qualified constitutional right to hire counsel of their choice but the right is qualified in that it may be abridged to serve some ‘compelling purpose.’ ” United States v. Walters,
Unfortunately, the record is unclear on whether the district court granted Yama-shiro’s motion immediately, and relieved Hathaway permanently, or waited to grant the motion and to relieve Hathaway until Conway arrived. The district judge stated, “I have the substitution, and I will sign it. I am going to relieve [Hathaway] as
Further, there is nothing Conway could have done to alter Hale’s allocution had he been present because defense counsel has virtually no role to play during victim allo-cutions. The Crimes’ Victim Rights Act (“CVRA”) gives victims the “right to be reasonably heard at any public proceeding in the district court involving ... sentencing.” Kenna v. U.S. Dist. Court for C.D. Cal.,
Finally, though Conway missed Hale’s allocution, he had plenty of time to learn the substance of that allocution prior to sentencing. After the remaining victims allocuted in Conway’s presence, the district court continued the sentencing, which ultimately occurred three months later. During that delay, Conway could have ordered and reviewed a transcript of Hale’s allocution and incorporated its substance into his sentencing argument. True, Con
III.
In view of the facts of this case, I cannot see how the alleged error “ ‘seriously affects the fairness, integrity or public reputation of judicial proceedings.’ ” Puckett,
I do not mean to imply the deprivation of counsel is a minor violation; it isn’t minor. But we should correct errors on plain-error review “solely in those circumstances in which a miscarriage of justice would otherwise result.” Young,
I respectfully dissent.
. Notwithstanding Yamashiro and his new counsel, Jack Conway, had consented to the substitution a week earlier.
. During oral argument, Yamashiro's appellate counsel stated Conway could have obtained a transcript of Hale’s allocution but did not do so.
. We have held the third prong is similar to the harmless-error analysis and is satisfied when, as here, the alleged error is structural. See United States v. Collins,
. The district judge did tell Hathaway, "You don’t have to do anything.” But the court’s statement was likely a recognition that defense counsel has no meaningful role to play while a victim allocutes, as I explain below, rather than a formal statement that Hathaway was not to continue serving as Yamashiro’s counsel. Indeed, when Conway arrived, the district court likewise instructed him to “sit and listen.”
. I note that in similar circumstances we have found there was no error at all. See United States v. Rice,
Though not directly on point, the rule in Rice is relevant here. Yamashiro contends his right to counsel was violated at the first hearing because Hale allocuted without Conway present. But the district judge continued the hearing, which permitted Conway to review Hale’s allocution before the judge sentenced Yamashiro. Then, Hale allocuted a second time, this time before Conway. Conway was therefore able to incorporate Hale’s first allocution into his sentencing argument just as if he were present at that allocution. In effect, the "district court reset the game clock”; Yamashiro was placed "in the same situation as would have obtained had” the court waited for Conway to arrive prior to Hale's first allocution. Rice,
