Lead Opinion
Judge F.I. PARKER dissents in part in a separate opinion.
Wayne Fabian appeals from his convictions under the Hobbs Act, primarily arguing that the government failed to show an adequate connection between his crimes and interstate commerce to support federal jurisdiction. For the reasons given below, we find the government proved the nexus to interstate commerce necessary
BACKGROUND
We review a sufficiency of the evidence challenge “in the light most favorable to the government, drawing all inferences in the government’s favor and deferring to the jury’s assessments of witnesses’ credibility.” United States v. Arena,
Fabian participated in two robberies. The first, on February 11, 2000, involved Fabian and co-conspirators Alex Taveras
The second robbery, on March 7, 2000 in Queens, involved Fabian, Taveras, Reynaldo Perez and several other men. The target was Yessenia Gomez, common law wife of Juan Montoya. Perez told Taveras and Fabian that Montoya had stolen $300,000 in drug proceeds from drug dealers in Miami, and that the money was either in Gomez’s Queens home or her mother’s house in Manhattan. Perez was a friend of Montoya since elementary school. At the time of the robbery, Montoya was in prison. Fabian and Taveras forcibly entered Gomez’s home, restrained her and her children, and searched the house for the money. When the pair could not find the cash they expected, Fabian kidnaped Gomez and headed off with her to her mother’s house to look for cash, while Taveras stayed with the children. Fabian was captured after a police chase. At trial, the government offered into evidence two certificates of conviction: one for Montoya and one for Perez. The certificates showed Montoya and Perez were arrested together in 1990 and convicted of narcotics charges. Defense counsel objected to the admission of the certificates, but the district court permitted them for the purpose of showing Fabian would have believed Perez when Perez said Montoya possessed the drug proceeds.
The jury convicted Fabian of two counts of conspiracy to commit Hobbs Act robbery in violation of 18 U.S.C. § 1951, one count of attempted Hobbs Act robbery in violation of 18 U.S.C. § 1951, and one count of brandishing a weapon during a crime of violence in violation of 18 U.S.C. § 924(c). Fabian was sentenced principally to 168 months imprisonment on each of the Hobbs Act charges, to be served concurrently; and to 84 months imprisonment on the firearms charge, to be served consecutively.
Discussion
Sufficiency of the evidence
Fabian first argues the government failed to prove his crimes affected interstate commerce, a showing necessary to support the federal court’s jurisdiction under the Hobbs Act. Our precedent permits the jurisdictional requirement of the Hobbs Act to be met by “a showing of a very slight effect on interstate commerce.” United States v. Farrish,
Fabian “bears a very heavy burden” in challenging the sufficiency of the evidence. United States v. Scarpa,
The Hobbs Act provides:
[wjhoever in any way or degree obstructs, delays, or affects commerce or the movement of any article or commodity in commerce, by robbery or extortion or attempts or conspires so to do, or commits or threatens physical violence to any person or property in furtherance of a plan or purpose to do anything in violation of this section shall be fined under this title or imprisoned ... or both.
18 U.S.C. § 1951(a).
Our precedent requires the government make only a de minimis showing to establish the necessary nexus for Hobbs Act jurisdiction. “[T]he jurisdictional requirement of the Hobbs Act may be satisfied by a showing of a very slight effect on interstate commerce. Even a potential or subtle effect on commerce will suffice.” Farrish,
We previously rejected the proposition that Lopez,
Applying the de minimis standard to the proof presented at Fabian’s trial, we find the government met its burden. Even assuming arguendo that Fabian is correct in stating Veraz was not a loan shark and there is no proof Montoya stole drug proceeds, the fact that it was impossible to carry out the planned schemes does not bar Hobbs Act liability. Clemente,
We previously held that both drug dealing and loansharking, while illegal, have an effect on interstate commerce. See United States v. Genao,
United States v. Peterson, relied on by the dissent, is inapposite here.
Here, contrary to the dissent’s contention, Fabian and his associates did not perceive the money merely as “robbery proceeds.” To the contrary, Taveras testified to a pattern of robberies of legal and illegal businesses. He noted that the illegal businesses included drug dealers and loan sharks. Id. The robbery of the Montoya residence follows this same pattern. The jury, instructed that the interstate commerce nexus would be met if the object of the robbery was drug proceeds, must have believed that Fabian and the other defendants committed this home invasion because they believed they would find a large sum of money originally derived from drug trafficking there. A robbery that specifically targets a large, discreet sum of money derived from interstate commerce affects interstate commerce. We need not rely on the depletion of assets theory in this case.
In United States v. Gallo, the Fifth Circuit found an interstate commerce nexus under the federal money laundering statute, which, like the Hobbs Act, requires that the criminal conduct affect interstate or foreign commerce.
Fabian also challenges his conviction for brandishing a firearm in violation of 18 U.S.G. § 924(c)(1), first arguing the conviction must be vacated because the predicate Hobbs Act offense charged in count three of the indictment is invalid for lack of jurisdiction. As discussed above, the government introduced sufficient proof to support the predicate Hobbs Act offense, so Fabian’s first argument fails. Fabian next argues venue in the Eastern District on the gun charge was improper because he allegedly brandished the pistol only in Bronx County, within the Southern District. However, a defendant charged under 18 U.S.C. § 924(c)(1) may be charged in any district where the underlying crime took place, “even if he did not use or carry the firearm in that district.” United States v. Saavedra,
State court certificate of disposition
Fabian next challenges the district court’s admission of the 1991 state court certificate of dispositions for Perez and Montoya. He argues admitting the certificates constitutes reversible error because the certificates went to prove the drug money was at the Gomez residence, and the connection, between a 1991 drug conviction and a 2000 drug robbery is too attenuated to be probative. The government argues it offered the certificates to show Perez, the source of information for the Gomez robbery, knew Montoya well. Thus, the government argues, “the prior joint conviction of Montoya and Perez, especially when coupled with the testimony of their long-standing friendship, made the allegation that Perez had served as a tipster for the robbery more likely .... ”
Evidentiary issues are reviewed for abuse of discretion. United States v. McDermott,
Jury charge
Fabian next attacks the district court’s jury charge, arguing it failed to require the government to , prove an adverse impact on interstate commerce. The district court charged the jury that “obtaining the proceeds of narcotics trafficking, is interstate commerce” and “loan sharking, is interstate commerce.” The district court also instructed the jury:
[T]o satisfy the interstate commerce element, you must find beyond a reasonable doubt that the defendant intended • to rob drug trafficking proceeds. You do not have to find that such proceeds actually existed but only that the defendant believed that they did. Similarly, with respect to count 3, to satisfy the interstate commerce element, you must find beyond a reasonable doubt that the defendant intended to rob loan sharking proceeds. You do not have to find that such proceeds actually existed but only that the defendant believed that they did.
As discussed above, the government need not prove an actual impact on interstate commerce. Instead, it need show only “the possibility or potential of an effect on interstate commerce,” Jones,
Preclusion of a mtness
Fabian next argues that the district court committed reversible error when it prevented Fabian from recalling Taveras during his case-in-chief. Fabian wanted to recall Taveras to solicit testimony that Taveras described Veraz as a numbers runner, rather than a loan shark, at Taveras’ plea allocution. Fabian argues this is reversible error, because it kept the jury from learning Veraz’s source of income was from something other than loan sharking. The government argues the district court properly refused to recall Tav-eras because the district court did not believe Taveras’ prior statement was inconsistent. Taveras testified in his plea allocution that Veraz was “a loan shark and a number runner,” but at trial testified only that Veraz was a loan shark. “The court is accorded broad discretion in controlling the scope and extent of cross-examination.” United States v. Rivera,
Sentencing
Finally, Fabian argues the district court failed to appreciate its power to downwardly depart at sentencing because Fabian’s conduct fell outside the heartland of conduct covered by the applicable Sentencing Guidelines. At sentencing, Fabian argued that because the victims of the robberies were involved in illegal activities, the robberies fell outside of the heartland of Hobbs Act activities and merited downward departure. The district court stated:
That’s an interesting argument. I just don’t think ... that the sentencing commission has indicated any intention to in effect say what reason, what previously clearly would have been within the heartland now in light of the federalism decisions] should be considered outside.*559 That’s really the question of jurisdiction and whether federal court should be prosecuting these cases.
As far as I’m concerned until there’s a clear decision telling me no, I’m going to follow the prior law that is properly in federal court and this is clearly contemplated by the guideline. It’s a nice argument but I am not going to accept it.
Fabian argues the record is “unclear as to the Court’s awareness of his departure power,” requiring a remand for resentenc-ing. The government argues the district court clearly considered Fabian’s argument for downward departure and rejected it.
“A district court’s discretionary refusal to depart from the Sentencing Guidelines is of course not appealable,” but a defendant may bring such an appeal if he can show the “sentencing court was under the mistaken belief it lacked the authority to depart downward.” United States v. Matthews,
Taking the sentencing colloquy as a whole, it is clear that the district court considered Fabian’s argument and rejected it. It therefore cannot be said that the district court refused to exercise its discretion. See Matthews,
Conclusion
For the reasons given above, we affirm both Fabian’s convictions and sentences.
Notes
. Taveras testified for the government at Fabian’s February 2001 trial.
. Notably, Taveras testified further that the defendants planned to pretend they were police officers investigating the Miami robbery when they presented themselves to Gomez.
Dissenting Opinion
dissenting in part.
Although I join most of the majority’s opinion, I do not believe there was sufficient evidentiary support for the Hobbs Act conviction on the counts involving the attempted theft of money from the Montoya residence which prevents me from joining the majority’s analysis of Counts One and Two. While I agree that this Court requires only a de minimis connection with interstate commerce to establish federal jurisdiction under the Hobbs Act, I cannot, on the facts before the Court, infer even such a slight commercial impact from the defendant’s involvement in the Montoya situation without extending our existing precedent beyond its logical bounds.
I.
The Hobbs Act, 18 U.S.C. § 1951 provides in pertinent part:
(a) Whoever in any way or degree obstructs, delays, or affects commerce or the movement of any article or commodity in commerce, by robbery or extortion or attempts or conspires so to do, or commits or threatens physical violence to any person or property in furtherance of a plan or purpose to do anything in*560 violation of this section shall be fined under this title or imprisoned not more than twenty years, or both.
(b) As used in this section—
(3) The term “commerce” means commerce within the District of Columbia, or any Territory or Possession of the United States; all commerce between any point in a State, Territory, Possession, or the District of Columbia and any point outside thereof; all commerce between points within the same States through any place outside such State; and all other commerce over which the United States has jurisdiction.
18 U.S.C. § 1951. As the majority clearly recognizes, this Court, while finding proof of an affect on interstate commerce critical to the establishment of federal jurisdiction in a Hobbs Act case, requires only a de minimis showing of that affect, recognizing connections to commerce even where the connections are delayed, indirect, or slight. United States v. Jamison,
The majority finds little to distinguish the attempted robbery of Montoya’s home in Queens, the conduct described in Counts One and Two, from the successful robbery of Veraz’s Bronx residence, the conduct described in Counts Three and Four. Noting that, in its view, the goal of the robbery attempt at Montoya’s residence was to obtain “drug proceeds,” the majority finds that as both drug dealing and loansharking have an effect on interstate commerce, Hobbs Act jurisdiction may attach on all four counts. While I would firmly agree with this analysis of Counts One and Two if there were any evidentiary support for the notion that the goal of the attempted robbery had been to obtain “drug proceeds,” I ■ cannot join the majority in good conscience where the evidence at trial showed the goal of the robbery was not to obtain drug proceeds at all.
II.
The majority explains that “Taveras ... testified he and Fabian intended to steal $300,000 in drug proceeds when they targeted Gomez for robbery.” The cited testimony, however, reveals no such intent. Taveras testified as follows:
Q The belief ... was that the money had been stolen by the guy, you didn’t know his name was Montoya, but Montoya had ripped off some drug guys in Florida, is that basically the understanding?
A Yes.
Q So the thieves were going to rip off another thief; is that fair to say?
A Yes.
Q You were going t[o] rip off one thief by another group of thieves, that was it?
A Yes, sir.
As the testimony shows, the intent of the robbers was not to obtain the proceeds of a drug deal as the majority’s label seems to imply, but rather to obtain the proceeds
This Court has found that the robbery of a potential purchaser of drugs depletes the assets of the purchaser and prevents completion of the drug transaction, thereby affecting interstate commerce. Jones,
Although this Court has found that interference with interstate trade in narcotics, while illegal, may impact interstate commerce, it has not made a similar finding that interference with interstate robbery is itself a basis of Hobbs Act jurisdiction. The Fifth and Sixth Circuits have found Hobbs Act jurisdiction based on the robbery of an individual’s assets only where the individual robbed is a regular actor in interstate commerce or can be specifically shown to have intended to use the funds stolen for interstate commerce, where the robbery forces the victim to deplete the assets of an interstate entity (for instance a bank) to compensate for the crime, or where the amount of money or number of people affected is so large as to have an inevitable interstate impact. See United States v. Turner,
The majority attempts to avoid these potential hurdles by citing this Court’s decision in United States v. Rosa,
III.
The majority hinges Hobbs Act jurisdiction on the defendants’ pre-attempt belief that they were about to steal “drug proceeds.” The defendants, however, expressed their belief in quite another way:
Q So the thieves were going to rip off another thief; is that fair to say?
A Yes.
Q You were going t[o] rip off one thief by another group of thieves, that was it?
A Yes, sir.
The attempted robbery in this case did not target the proceeds of a drug deal or the assets of a drug dealer. It instead targeted the money of a person the intended robbers believed to be a thief. Although the victim of the attempted robbery (Montoya) had himself potentially interfered with interstate commerce by depleting the assets of Miami drug dealers, the attempted robbery of Montoya did not further deplete the assets of Montoya’s original victims. Furthermore, as explained above, the depletion of Montoya’s assets had no independent impact on interstate commerce.
The majority calls the money targeted in the attempted robbery “drug proceeds.” Absent this misnomer, however, the majority’s analysis of Counts One and Two fails. Uncomfortable skimming over the secondary nature of the defendants’ attempted
. Taveras agreed on cross-examination that the defendants believed Montoya would be unable to take action after the robbery because he was incarcerated and that his wife, Gomez, would not alert anyone, much less seek to replace the funds, because she would be unable to account for the presence of the money.
