United States Court of Appeals
For the First Circuit
Nos. 07-2129, 07-2130
UNITED STATES OF AMERICA,
Appellee,
v.
CRISTIAN AYALA-GARCÍA,
JOSÉ LUIS ALICEA-COTTO,
Defendants, Appellants.
APPEALS FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF PUERTO RICO
[Hon. Jay A. García Gregory, U.S. District Judge]
Before
Boudin, Hansen,* and Lipez, Circuit Judges.
Robert Millán for appellant Ayala-García.
Jorge E. Rivera-Ortíz for appellant Alicea-Cotto.
George A. Massucco La Taif, with whom Rosa Emilia Rodriguez-
Velez, United States Attorney, Nelson Pérez-Sosa, Assistant
United States Attorney, Chief, Appellate Division, and Luke Cass,
Assistant United States Attorney, were on brief, for appellee.
July 24, 2009
*
Of the Eighth Circuit, sitting by designation.
LIPEZ, Circuit Judge. Appellant José Luis Alicea-Cotto
appeals his conviction on drug distribution and firearms charges,
and appellant Cristian Ayala-García appeals his conviction on a
single firearms charge stemming from the same incident. Both men
claim that the evidence presented at their joint trial was
insufficient to support their convictions and that statements made
by the prosecutor during rebuttal, including a suggestion that the
defendants were planning to gun down dozens of innocent
individuals, unfairly prejudiced the jury against them. After a
close review of the record and relevant caselaw, we agree that
Alicea-Cotto's conviction on one firearms count must be reversed
due to insufficient evidence and that the prosecutor's improper
remarks "so poisoned the well that a new trial is required" for
both defendants on the remaining counts. United States v. Manning,
23 F.3d 570, 574 (1st Cir. 1994) (citations and quotation marks
omitted).
I.
The charges against defendants Alicea-Cotto and Ayala-
García arose from events that took place at the Sabana Abajo
housing project in Carolina, Puerto Rico, on May 25, 2006. At
trial, the prosecution and defense witnesses offered starkly
different accounts of what occurred. Although we take the facts in
the light most favorable to the government in assessing the
defendants' sufficiency claims, see United States v. Angulo-
-2-
Hernández, 565 F.3d 2, 7 (1st Cir. 2009), the prosecutorial
misconduct claim obliges us to consider as well the defendants'
contrary view of the events in question. We first recite the facts
as the jury could have found them.
The incident began when two undercover Puerto Rico police
officers, Luis Vega López ("Vega") and José M. Sánchez Santiago
("Sánchez"), were ordered to investigate a drug point on the south
side of the Sabana Abajo housing project. As they drove onto the
grounds of the project, they noticed the defendants and another
man, Benny Alvarado-Arroyo ("Alvarado"),1 standing next to a Nissan
Pathfinder Armada sport utility vehicle ("SUV") whose rear hatch
door was open. From a distance of about sixty feet, both officers
saw Alicea-Cotto hand a pistol to Alvarado, who put the gun in his
waistband and covered it with his shirt. Alvarado then handed
money to Alicea-Cotto, ostensibly paying for the firearm. Ayala-
García stood nearby, watching the transaction.
Vega and Sánchez exited their vehicle, approached the
defendants, and identified themselves as police officers.
Approximately twelve feet away from the defendants, four men were
sitting on a set of steps near a dumpster watching the activity.
Vega testified that he arrested Alicea-Cotto and seized the cash
from his hand. Sánchez arrested Alvarado and Ayala-García.
1
Although jointly tried with Alicea-Cotto and Ayala-García,
Alvarado is not an appellant in this consolidated appeal.
-3-
Sánchez seized a pistol from Ayala-Garcia, along with a loaded
magazine, and also took the handgun from Alvarado's waistband. The
weapon recovered from Ayala-García was a loaded 9mm Ruger pistol
with an obliterated serial number; the weapon in Alvarado's
waistband was a Smith & Wesson 9mm pistol that had been reported
stolen to the Puerto Rico Police Department in 1998.
Looking into the open rear of the SUV, which Alicea-Cotto
said belonged to him, Vega saw the tip of a rifle sticking out from
under a t-shirt. He removed the shirt to reveal an AK-47 assault
rifle, which was loaded with thirty-one bullets. Vega then looked
inside the driver's side door, which also was open, and saw a
transparent plastic bag on the floor in front of the passenger
seat. The bag contained $1,068 in cash and assorted narcotics:
ninety plastic cylinders of crack cocaine (totaling 10.8 grams),
forty-four small plastic bags of cocaine (totaling 10 grams),
fifty-six aluminum wrappers of heroin (totaling three grams), and
a single small plastic bag containing 1.2 grams of marijuana.
Backup Puerto Rico police officers had arrived as the
arrests were taking place, and additional officers arrived shortly
thereafter – bringing the total number at the scene to at least
ten. In addition to the appellants and Alvarado, the four men who
had been sitting on the steps also were arrested. The defendants
were driven in a police vehicle, along with the drugs and guns, to
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the narcotics division in Carolina, Puerto Rico, and the SUV also
was brought there by Vega, Sánchez and a third officer.
Alicea-Cotto was indicted on six counts stemming from the
May 25 incident: aiding and abetting possession of a stolen firearm
(the Smith & Wesson 9mm pistol), in violation of 18 U.S.C.
§§ 922(j) and 2 (Count One); aiding and abetting unlawful
possession of heroin, cocaine base, cocaine and marijuana, with the
intent to distribute the drugs, in violation of 21 U.S.C. §§
841(a)(1) and 18 U.S.C. § 2 (Counts Three, Four, Five and Six); and
knowing possession of firearms (the pistol and the AK-47 rifle) in
furtherance of a drug trafficking crime, in violation of 18 U.S.C.
§§ 924(c)(1)(A)(i) (Count Seven). Ayala-García was charged in
Count Two with knowing possession of a firearm with an obliterated
serial number (the Ruger pistol), in violation of 18 U.S.C. §
922(k). Although Ayala-García originally was charged with Alicea-
Cotto on the drug counts (Three through Six), the district court
later granted the government's motion to dismiss those counts
against him.
At the seven-day trial, the defense claimed that the
government's case was fabricated. Six eyewitnesses – two men who
were arrested with appellants and four residents of the housing
project who were in the area or saw the activity from their windows
– testified that the defendants were among the men sitting on the
steps when the officers entered the housing project. The officers
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immediately proceeded to search each of the men, but found nothing.
Several of the officers then went to search a nearby wooded area
and emerged with a large, black, duffle-type bag. Some witnesses
said they heard an officer yell "bingo!" when the bag was removed
from the brush.
According to the defense witnesses, all seven men who had
been sitting on the steps were arrested and placed in a police van.
Alicea-Cotto was the last to be brought to the van because the
officers took him first to the Nissan Armada and kept him there
while they searched the vehicle. The officers found only some
money in the SUV. The arrested men were then all transported to
the drug division in Carolina. The two men in that group who
appeared as defense witnesses, Luis Geraldo Cruz-Ortiz and Joan
Ojeda, testified that they saw officers take the weapons that were
displayed at appellants' trial out of the black bag at the police
station, and Cruz-Ortiz said that he also saw the drugs removed
from the bag. Cruz-Ortiz, Ojeda and the two others who were not
charged were released at about midnight.
Testimony from one or more of the defense witnesses
contradicted, or varied from, the officers' testimony in several
other significant respects: (1) the witnesses reported that all
doors on the SUV were closed when the officers arrived, and the
officers opened them; (2) one officer was heard to say "[t]here is
nothing here" after the officers searched Alicea-Cotto's vehicle;
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and (3) the witnesses saw no firearms transaction take place
between Alicea-Cotto and Alvarado, and they saw no weapons at all
in the defendants' possession. During the government's
presentation of rebuttal evidence, one of the backup officers,
Ender Meléndez, testified that no black bag was ever recovered at
the scene.
In the government's rebuttal argument, the prosecutor
made the following remarks that the government concedes were
improper:
Ladies and gentlemen of the jury, those
(indicating) are bullets from an AK-47 assault
rifle. There are 31 of those bullets that were
in this gun, ready to go on May 25th. Thirty-
one potential lives were saved on May 25th,
2006. And for that, the district of Puerto
Rico should be thankful, 31 lives were saved.
The prosecutor made a number of other comments that defendants
challenge as improper, including urging the jury to look at the
size of the bullets and asserting that Alicea-Cotto was "armed for
a war that goes on every day in public housing projects around
Puerto Rico."2
2
That statement was included in the following passage from
the prosecutor's lengthy rebuttal:
And, ladies and gentlemen of the jury, when I first
looked at this case and thought of all of the ironic
situations, isn't it ironic that this car that was owned
by José Luis Alicea Cotta was an Armada? Isn't that just
ironic?
Because that's exactly what it was. It was an
Armada. He was armed. He was armed for a war that goes
on every day in public housing projects around Puerto
-7-
Defendants moved for a mistrial based on the prosecutor's
remarks. In denying the motions, the district court stated that it
would instruct the jury to judge the defendants "only on the
evidence that has been presented, not on those comments." The
court also rejected defendants' motions for a judgment of acquittal
under Federal Rule of Criminal Procedure 29.
Alicea-Cotto was found guilty on the two firearms charges
(Counts One and Seven) and three drug charges (Counts Three through
Five), but not guilty on the marijuana distribution crime alleged
in Count Six. Ayala-García was found guilty on the only charge
remaining against him, Count Two, which alleged the unlawful
possession of a firearm with an obliterated serial number.3
Alicea-Cotto was subsequently sentenced to a term of sixty-three
months on Counts One, Three, Four and Five, to be served
concurrently, and a consecutive sixty-month term on Count Seven.
Ayala-García was sentenced to time served.
On appeal, defendants Ayala-García and Alicea-Cotto argue
that their convictions must be overturned, and judgments of
acquittal entered, because the evidence presented by the government
Rico, around the United States, in every jurisdiction, in
every district, poor people, rich people, fat people,
tall people, hungry people, they face this reality every
day.
3
The third defendant, Alvarado, was found guilty along with
Alicea-Cotto on Count One, charging unlawful possession of a stolen
firearm.
-8-
failed to establish the elements of the offenses charged beyond a
reasonable doubt. Alternatively, they claim a right to a new trial
because portions of the government's closing argument were
inflammatory and highly prejudicial, tainting the jury's
deliberations and thus denying defendants a fair verdict based on
the evidence.
II.
Appellants argue that the evidence was insufficient to
support their convictions because the record equally supports a
finding of guilt and a finding of innocence – necessarily giving
rise to a reasonable doubt that invalidates their convictions.
This contention, which is based on the witnesses' conflicting
testimony about what occurred on May 25, misses the mark. The
government's evidence is not insufficient simply because the
defense presented a competing scenario through its own witnesses.
Where an evidentiary conflict turns on witness credibility, the
jury decides whom to believe. United States v. Thomas, 467 F.3d
49, 55 (1st Cir. 2006) ("It is . . . within the unique province of
the jury to sift through conflicting evidence, assess the
credibility of the witnesses, and find facts."). A judgment of
acquittal based on equally viable prosecution and defense theories
is required only where the evidence is in equipoise, or nearly so,
even when viewed in the government's favor. See United States v.
Woodward, 149 F.3d 46, 57 (1st Cir. 1998) ("[A]n appellate court
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must reverse a conviction on the grounds of evidentiary
insufficiency where an equal or nearly equal theory of guilt[] and
a theory of innocence is supported by the evidence viewed in the
light most favorable to the verdict." (quotation marks and
citations omitted; alterations in original; emphasis added)).
This is not such a case. As we shall explain, the
evidence viewed through the proper lens allows a finding of guilt
beyond a reasonable doubt on all but one of the crimes charged
against the defendants, and the one failure of proof is unrelated
to the witnesses' dueling testimony. In evaluating the record, we
apply the de novo standard of review and "draw all reasonable
evidentiary inferences in harmony with the verdict and resolve all
issues of credibility in the light most favorable to the
government." United States v. Sherman, 551 F.3d 45, 49 (1st Cir.
2008) (quotation marks and citation omitted).
A. Ayala-García's Sufficiency Claim
Ayala-García was convicted only on Count Two, which
charged him with knowing possession of a firearm with an
obliterated serial number, in violation of 18 U.S.C. § 922(k). He
emphasizes that the defense witnesses "were not impeached by the
prosecution at trial" and further argues that the verdict resulted
from factors other than the credibility of the witnesses, including
the prosecutor's inflammatory statements during the rebuttal
portion of the closing argument.
-10-
Whether or not the defense witnesses were explicitly
impeached is of no consequence to our inquiry. As we have
explained, the jury was free to choose which of the two conflicting
accounts of the events to believe, so long as the evidence viewed
in the government's favor is adequate to establish guilt beyond a
reasonable doubt. See United States v. Scott, 564 F.3d 34, 39-40
(1st Cir. 2009). Whether prosecutorial misconduct tainted the
jury's consideration of the evidence is a question we will address
in Section III. Here, therefore, we consider only whether the
evidence adduced by the government allowed a rational jury to find
beyond a reasonable doubt that Ayala-García violated section
922(k).
To establish Ayala-García's guilt, the government needed
to prove that (1) he possessed the firearm, (2) the gun had moved
through interstate commerce, and (3) he had actual knowledge of the
obliterated serial number. United States v. Sánchez-Badillo, 540
F.3d 24, 31-32 (1st Cir. 2008). The possession prong was directly
established through the testimony of Officers Vega and Sánchez.
Vega testified that he saw a gun in Ayala-García's pocket, and
Sánchez testified that he recovered the pistol from Ayala-García at
the time of his arrest. To satisfy the interstate commerce
element, the government elicited testimony that the gun had been
manufactured in Prescott, Arizona. This was sufficient. See
United States v. Teleguz, 492 F.3d 80, 87 (1st Cir. 2007) (holding
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that the interstate nexus element is met with evidence that the
firearms "necessarily had crossed state or foreign lines because
they were originally manufactured in other states or countries").
Finally, Ayala-García's knowledge of the obliterated serial number
was circumstantially established by his possession of the firearm.
See Sánchez-Badillo, 540 F.3d at 32.
Accordingly, we reject Ayala-García's sufficiency claim.
B. Alicea-Cotto's Sufficiency Claims
Alicea-Cotto asserts that the evidence was insufficient
to establish his guilt on any of the five charges for which he was
convicted.4 In support of this claim, he primarily relies on
discrepancies in the testimony of the government's witnesses and
emphasizes differences between testimony presented by Officers Vega
and Sánchez at trial and their testimony at an earlier suppression
hearing.5 He appears to claim, in effect, that these
inconsistencies foreclosed a finding of guilt beyond a reasonable
doubt.
4
As noted supra, Alicea-Cotto was charged with aiding and
abetting the unlawful possession of a stolen firearm (Count One);
aiding and abetting unlawful possession of heroin, cocaine base,
cocaine and marijuana, with the intent to distribute the drugs
(Counts Three through Six); and knowing possession of firearms in
furtherance of a drug trafficking crime (Count Seven). He was
acquitted on Count Six, the marijuana charge.
5
Alicea-Cotto highlights, for example, Sánchez's testimony
about when he first saw the drugs that were found in the SUV and
Vega's testimony about which officers were in the SUV when it was
transported from the housing project to the police station.
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This contention is unavailing. We previously have
observed that "[e]vidence does not become legally insufficient
merely because of some inconsistencies in witnesses' testimony."
United States v. Rodriguez, 457 F.3d 109, 119 (1st Cir. 2006). The
question we must answer is whether the jury's verdict is supported
by "a plausible rendition" of the evidence taken as a whole,
United States v. Lopez-Lopez, 282 F.3d 1, 19 (1st Cir. 2002),
keeping in mind that credibility issues must be resolved in favor
of the government. See Angulo-Hernández, 565 F.3d at 7 ("We do
not atomize our analysis. We consider the evidence in its
totality, not in isolation, and the government need not negate
every theory of innocence.") (quotation marks and citations
omitted).
We therefore proceed to consider whether a rational jury
could have concluded that the government proved each element of the
crimes charged against Alicea-Cotto beyond a reasonable doubt.
1. The Drug Counts: Possession of Narcotics with Intent
to Distribute (Counts Three, Four and Five)
To prove that Alicea-Cotto possessed controlled
substances for purposes of section 841(a)(1), it was sufficient for
the government to show that he had constructive possession of the
drugs, i.e., that he exercised "dominion and control over [the]
area where [the] narcotics [were] found." United States v. Gobbi,
471 F.3d 302, 309 (1st Cir. 2006) (quotation marks and citation
-13-
omitted); see also United States v. García-Carrasquillo, 483 F.3d
124, 130 (1st Cir. 2007). Officer Vega testified that he found the
transparent bag containing the drugs in plain view on the floor of
the Nissan Armada. Alicea-Cotto acknowledged that the vehicle
belonged to him, and he was standing beside the SUV moments before
Vega discovered the drugs. His ownership of, and proximity to, the
vehicle permitted the jury to infer that Alicea-Cotto had "dominion
and control" over the location where the drugs were found and,
consequently, to find that he constructively possessed the
narcotics. See, e.g., United States v. Johnson, 470 F.3d 1234,
1238 (8th Cir. 2006) ("To prove constructive possession, the
Government must show that [defendant] had knowledge and ownership,
dominion, or control over the contraband itself, or dominion over
the vehicle in which the contraband [was] concealed.") (quotation
marks and citation omitted); United States v. Olivo-Infante, 938
F.2d 1406, 1411 (1st Cir. 1991) (holding that jury could reasonably
infer defendant's constructive possession of cocaine that was found
in his car).
The record also supports the jury's finding that Alicea-
Cotto intended to distribute the drugs. We have held that a large
amount and individual packaging of drugs is sufficient to
demonstrate an intent to distribute for purposes of section
841(a)(1). See García-Carrisquillo, 483 F.3d at 130 n.12. Here,
the packaging alone was strong circumstantial evidence that the
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drugs were intended for distribution. Officer Vega testified that
the plastic bag he found in the SUV contained ninety plastic
cylinders of cocaine base, forty-four plastic bags of cocaine and
fifty-six aluminum wrappings of heroin. The jury reasonably could
infer from the number of separate packages – 190 – that the
cocaine, cocaine base and heroin were intended for distribution
rather than for personal consumption. See, e.g., United States v.
Gentry, 555 F.3d 659, 667 (8th Cir. 2009) ("[T]he fact that the
methamphetamine in the bag was further subdivided into seven Ziploc
baggies[] supports a finding of intent to distribute.").6 The
large amount of cash in the plastic bag with the drugs reinforced
that inference.
Sufficient evidence therefore supported Alicea-Cotto's
convictions on Counts Three, Four and Five charging possession with
intent to distribute cocaine, cocaine base and heroin.
2. Aiding and Abetting Possession of a Stolen Firearm in
violation of 18 U.S.C. §§ 922(j) and 2 (Count One)
Alicea-Cotto was charged under section 922(j) with
possession of the Smith & Wesson 9mm pistol that was recovered from
Alvarado's waistband. To prove guilt under that provision, the
government needed to establish that Alicea-Cotto possessed the gun
6
The jury, by contrast, rejected the marijuana distribution
count. Only one small plastic bag of marijuana, weighing 1.2
grams, was in the larger transparent bag that contained all of the
drugs.
-15-
"knowing or having reasonable cause to believe" it was stolen. 18
U.S.C. § 922(j). Possession of the weapon was established through
the testimony of Officers Vega and Sánchez, who reported seeing
Alicea-Cotto hand the gun to Alvarado and receive money in
exchange. The government also elicited evidence that the gun was
reported stolen to the Puerto Rico Police Department in 1998.7
Alicea-Cotto claims, however, that the government failed
to adduce evidence showing that he knew, or had reason to believe,
that the gun was stolen. In its brief, the government cites no
evidence of such knowledge. Instead, the government asserts that
"there was never any evidence Alicea-Cotto legally purchased the
gun or registered it in his name" and argues that the jury could
rationally infer that he knew the gun did not belong to him. At
trial, the government conceded in closing argument the lack of
direct evidence of Alicea-Cotto's and Alvarado's scienter, and then
focused its argument on what Alvarado – the purchaser of the gun –
must have known:
I ask you, Thursday afternoon, 4:30 in
the afternoon, broad daylight, kids running
around, in a public housing project a man buys
a weapon from another man. He doesn't get a
receipt, he doesn't get a license, doesn't
fulfill any of the requirements that he would
otherwise have to do if he went to a gun
store.
7
The government met the statute's interstate commerce element
with expert testimony that the gun was manufactured in Springfield,
Massachusetts, and necessarily traveled in interstate commerce to
reach Puerto Rico.
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What can he presume – what can he know
about that weapon? And what, being a
reasonable tryer[sic] of fact, should you, the
jury, circumstantially infer? What is a
common-sense inference from that transaction?
The common sense inference from that
transaction, ladies and gentlemen, is that he
knew it was stolen. Why else would he go and
buy a gun in a housing project? Why didn't he
go to the store? Why didn't he get a receipt?
Why didn't he take a class and get the
license, and go to the armory and practice
shooting? Why didn't he do any of that? Why?
Because he was buying a Saturday night
special. He was buying a gun he knew, or
should have known, was stolen.
The government made a similar argument when responding to
Alicea-Cotto's and Alvarado's motions for acquittal on Count One,
arguing to the district court that the purchase of the firearm "for
cash in broad daylight in a public housing project[]
circumstantially creates the inference that it was a stolen
weapon." Alvarado's counsel challenged that assertion – asking if
"every transaction that occurs in a public housing project is
illegal just because it's in a public housing project" – and the
prosecutor replied, "[e]very weapons transaction, yes, Your Honor.
. . . [I]t is unlawful to sell weapons." Pressed to identify the
evidence before the jury on Alvarado's knowledge, the prosecutor
stated:
The evidence is your client bought a gun in a
housing project, for several hundred dollars,
from a vehicle with an AK47 sticking out the
back, from a guy who had drugs in the front.
And is that illegal? Yes.
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Although the government may be correct that the evidence
permitted the jury to conclude that the weapons transaction was
unlawful,8 we see no evidence to support the particular finding of
knowledge required to support a conviction under section 922(j),
i.e., that Alicea-Cotto knew, or had reason to believe, that the
weapon he sold to Alvarado had been stolen. The government's
argument about the suspicious circumstances would equally apply if
Alicea-Cotto had been unlawfully reselling a firearm that an
associate had legitimately acquired. Indeed, the government on
appeal does not even attempt to support the jury's finding on
Alicea-Cotto's scienter with citations to the record, and instead
reverses the burden of proof by asserting that Alicea-Cotto offered
no evidence that he was the gun's lawful owner.
The cases cited by the government in support of its
position are easily distinguishable. In United States v. Iron
Eyes, 367 F.3d 781, 783 (8th Cir. 2004), the defendant was found
carrying two rifles outside the home from which the weapons had
just been stolen. In United States v. McBane, 433 F.3d 344, 349
8
We need not delve into whether the sale would in fact have
been illegal if the gun had not been stolen. We note, however,
that during argument on the motion for acquittal defense counsel
emphasized the absence of evidence that "buying a weapon in broad
daylight on the street is even illegal," and stated that, "[i]n
many states buying a weapon at a flea market on the street is
absolutely legal with no documentation." He continued: "This jury
has heard nothing to make a transaction of cash for a weapon with
a serial number on it illegal or wrong or whether that weapon [was]
stolen."
-18-
(3d Cir. 2005), the jury was read an admission from the defendant
stating that he knew the gun had been taken from its rightful
owner. In another Eighth Circuit case involving section 922(j),
United States v. Provost, 237 F.3d 934, 937 (8th Cir. 2001), the
defendant was present when a companion stole three rifles from a
house, and he participated in conversations about how to sell the
guns for cash. By contrast, in United States v. Mobley, 956 F.2d
450 (3d Cir. 1992), the government conceded that it could not have
proven the scienter element of section 922(j), id. at 460 & n.1
(Mansmann, J., dissenting), even though the defendant admitted
purchasing the gun at issue from a drug dealer, id. at 451.
To affirm the stolen weapon conviction on the record
before us would be, in effect, to read the scienter requirement out
of the statute. We decline to do so, and we therefore reverse the
judgment of guilt against Alicea-Cotto on Count One.
3. Possession of a Firearm in Furtherance of a Drug
Trafficking Crime (Count Seven)
Alicea-Cotto's challenge to his conviction on the section
924(c) charge focuses solely on inconsistencies and gaps in the
officers' testimony. Among other points, he notes that (1) the t-
shirt that supposedly covered the AK-47 in the back of the SUV was
never produced, (2) Vega originally gave an incorrect serial number
for that weapon, and (3) Sánchez admitted in cross-examination that
he saw the rifle for the first time at police headquarters even
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though it supposedly was visible through the open rear door of the
SUV. All of these contentions, however, concern the believability
of the officers' testimony, a matter outside our inquiry. Alicea-
Cotto does not argue that the evidence presented – if believed –
was insufficient to establish that he possessed the rifle in
furtherance of a drug trafficking offense, and any such argument is
therefore waived. United States v. Marsh, 561 F.3d 81, 83 n.4 (1st
Cir. 2009) (noting that an argument not briefed on appeal is deemed
waived).9
The argument would, in any event, be futile. We already
have determined that the jury reasonably could infer Alicea-Cotto's
constructive possession of the drugs found in his vehicle, and the
same possession analysis applies to the AK-47. We also have upheld
the jury's finding of guilt on the drug trafficking charges. The
government additionally needed to demonstrate "some sufficient
nexus between the firearm and the drug trafficking offense."
United States v. Robinson, 473 F.3d 387, 399 (1st Cir. 2007); see
also Sherman, 551 F.3d at 49. Among the relevant factors are
"whether the firearm was loaded, whether the firearm was easily
accessible, the proximity of the firearm to the drugs, and the
surrounding circumstances." Robinson, 473 F.3d at 400; see also
9
The indictment charged possession of both the Smith & Wesson
pistol and the AK-47 rifle under Count Seven. For convenience, we
address only possession of the rifle, which is sufficient to
support the conviction.
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United States v. Rogers, 556 F.3d 1130, 1140 (10th Cir. 2009) ("The
intent to possess the weapon to further the drug trafficking crime
is generally proven through circumstantial evidence . . .").
The facts here provide ample circumstantial support for
the jury's finding that Alicea-Cotto possessed the AK-47 to further
his drug trafficking activities. The loaded AK-47 was found in the
vehicle with the drugs, where it was easily accessible and, indeed,
partially in plain view. See Robinson, 473 F.3d at 399 (observing
that "a sufficient nexus is more readily found in cases where the
firearm is in plain view and accessible to the defendant").
Although no drug transaction was observed, the jury could
rationally infer that the gun was in the back of the SUV to protect
the ongoing drug-trafficking activity reflected by the drugs and
money up front. Our observation in United States v. Garner, 338
F.3d 78 (1st Cir. 2003), is equally apt here:
When guns and drugs are found together and a
defendant has been convicted of possession
with intent to distribute, the gun, whether
kept for protection from robbery of drug-sale
proceeds, or to enforce payment for drugs, may
reasonably be considered to be possessed "in
furtherance of" an ongoing drug-trafficking
crime.
Id. at 81. We therefore reject Alicea-Cotto's sufficiency claim
with respect to Count Seven.
III.
Both appellants contend that improper statements made by
the prosecutor during the rebuttal portion of his closing argument
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were so prejudicial that a new trial is required. When defendants
contemporaneously object to challenged comments, as the government
acknowledges occurred here, we review de novo whether the remarks
amounted to prosecutorial misconduct. United States v. Vázquez-
Botet, 532 F.3d 37, 57 (1st Cir. 2008). If we conclude that
misconduct occurred, we then "ask whether the prosecutor's behavior
'so poisoned the well' that the defendant[s] must be given a new
trial." Id. at 56 (quoting Manning, 23 F.3d at 573); United
States v. Vázquez-Rivera, 407 F.3d 476, 486 (1st Cir. 2005)
(observing that reversal is warranted only if prosecutor's remarks
"have likely affected the trial's outcome") (quotation marks and
citation omitted). The district court's decision on whether to
grant a new trial is reviewed for abuse of discretion. Robinson,
473 F.3d at 393.
A. Were the Prosecutor's Remarks Improper?
It is well established that "it is improper to
'needlessly arouse the emotions of the jury.'" Robinson, 473 F.3d
at 397 (quoting United States v. Pirovolos, 844 F.2d 415, 425 (7th
Cir. 1988)). We have held that misconduct occurs when a prosecutor
"interject[s] issues having no bearing on the defendant's guilt or
innocence and improperly appeal[s] to the jury to act in ways other
than as dispassionate arbiters of the facts." United States v.
Mooney, 315 F.3d 54, 59 (1st Cir. 2002) (finding misconduct where
prosecutor's remarks during the opening statement "contrast[ed] the
-22-
jurors' sense of community safety with the armed robbery" at
issue); United States v. Whiting, 28 F.3d 1296, 1302 (1st Cir.
1994) (finding misconduct where prosecutor noted defendant's harm
to "the kids of Roxbury" and exhorted jury during rebuttal argument
to find guilt to protect "other kids" from guns, drugs and
violence); Arrieta-Agressot v. United States, 3 F.3d 525, 527 (1st
Cir. 1993) (finding closing argument inflammatory and impermissible
where prosecutor urged jury to consider the case "as a battle in
the war against drugs, and the defendants as enemy soldiers")
(citing similar cases). Even unintentional misrepresentations of
the record can constitute misconduct under certain circumstances.
See United States v. Azubike, 504 F.3d 30, 38 (1st Cir. 2007).
Appellants contend that the prosecutor committed
misconduct because the rebuttal argument contained multiple
statements that were either inaccurate, highly inflammatory, or
both. They specifically cite the following comments:
• Ladies and gentlemen of the jury, those
(indicating) are bullets from an AK-47 assault
rifle. There are 31 of those bullets that were
in this gun, ready to go on May 25th. Thirty-
one potential lives were saved on May 25th,
2006. And for that, the district of Puerto
Rico should be thankful, 31 lives were saved.
• Do you see the size of these things? Do
you see the size of these bullets? You can
take them back with you. You can look at
them.
• The problem today is there [are] too many
people living in public housing projects that
are willing to look the other way and not take
-23-
responsibility for what happened or protect
people that need to be here in court and
prosecuted . . . because they're afraid for
their lives . . .
• How can you reconcile looking the other
way? . . . It should offend the sense of
justice, ladies and gentlemen of the jury.
• . . . [I]sn't it ironic that this car that
was owned by Jose Luis Alicea Cotto was an
Armada? Isn't that just ironic?
Because that's exactly what it was. It
was an Armada. He was armed. He was armed
for a war that goes on every day in public
housing projects around Puerto Rico, around
the United States, in every jurisdiction, in
every district, poor people, rich people, fat
people, tall people, hungry people, they face
this reality every day.
• And on behalf of the United States and the
District of Puerto Rico, I charge you to do
your job, find the Defendants guilty.
We have no difficulty concluding that portions of the
prosecutor's remarks crossed the bounds of proper argument.
Nothing in the record justified the statement that "31 lives were
saved." Invoking the thirty-one bullets in that way, while also
urging the jurors to consider their size, could have served no
purpose other than to inflame the jury's passions by depicting the
defendants as dangerous men who needed to be put away for a long
time. Indeed, the government explicitly concedes that the "31
lives" remark was improper. In addition, the prosecutor's comment
that Alicea-Cotto was "armed for a war that goes on every day in
public housing projects" is reminiscent of language we deemed
improper in Arrieta-Agressot, which described the defendants as
-24-
enemy soldiers in "a battle in the war against drugs." See also
United States v. Sepulveda, 15 F.3d 1161, 1189 (1st Cir. 1993)
("[W]e deplore frank appeals to passion of the sort typified by
'war on drugs' rhetoric . . ."). Also disturbing is the
prosecutor's admonition to the jury to "do your job, find the
Defendants guilty." See United States v. Young, 470 U.S. 1, 18
(1985) (finding that a prosecutor erred in urging a jury to "do its
job"); United States v. Andújar-Basco, 488 F.3d 549, 561 (1st Cir.
2007) (noting government's concession that exhorting the jury to do
"your duty" was improper); United States v. Mandelbaum, 803 F.2d
42, 44 (1st Cir. 1986) ("There should be no suggestion that a jury
has a duty to decide one way or the other; such an appeal is
designed to stir passion and can only distract a jury from its
actual duty: impartiality.").10
The government argues that certain of the challenged
statements were proper and that the summation as a whole must be
viewed in the context of defense counsel's closing, which included
comments about crime in public housing projects11 and an assertion
10
Defendants did not explicitly object at trial to the "do
your job" language. Since the defendant did not make a
contemporaneous objection, we apply the demanding plain error
standard, and it is far from clear that the "do your job" language,
although inappropriate, would warrant reversal on its own. Still,
we give it weight for its cumulative effect when combined with the
other statements suggesting violence.
11
Ayala-García's lawyer told the jury: "You have no family
from a low income housing project, but it seems to me that the
prosecution is trying to make you believe that everything that
-25-
that the police officers who testified were "bordering on
perjury."12 Although acknowledging that "two wrongs do not make a
right," the government urges us to consider that its rebuttal was
a response to defense counsel's own "incendiary rhetoric."
Our cases establish that some leeway is appropriate when
the government's challenged comments may fairly be seen as a
response to comparable remarks by defense counsel. See, e.g.,
United States v. Skerret-Ortega, 529 F.3d 33, 40 (1st Cir. 2008)
("The Government's response to statements made by defendant's
counsel cannot and should not be viewed the same way as statements
made by the Government without provocation."); United States v.
Hansen, 434 F.3d 92, 102 (1st Cir. 2006) (noting that "we
'typically cede prosecutors some latitude in responding to defense
counsel's allegations of fabrication'" (quoting United States v.
Perez-Ruiz, 353 F.3d 1, 10 (1st Cir. 2003))); Sepulveda, 15 F.3d at
1189 ("Courts should allow prosecutors greater leeway in rebuttal
happens there is a crime so you'd have to find them guilty beyond
a reasonable doubt because they live in a low income housing
project."
12
Among other remarks suggesting that the government's case
was fabricated, Alvarado's lawyer stated: "[F]rom your own
knowledge of the Puerto Rican culture, what's going on in the
streets of Puerto Rico today and you're[sic} having lived here,
there are police officers who are ready, willing and able to
cuadro, to square their cases. That's what happened here, that's
what happened here." He also urged the jurors to "have the courage
. . . to throw this case out . . . because it's no good," and to
let the police officers know that "if you're coming here, you
better come with the truth because we're not going to believe you
if you lie."
-26-
when the defense has itself breached the standards for proper
summation."). The latitude afforded prosecutors is not, however,
boundless. We have "warned prosecutors that 'there are limits to
the extent that we will permit fighting fire with fire.'"
Sepúlveda, 15 F.3d at 1189 n.24 (quoting United States v. Mejia-
Lozano, 829 F.2d 268, 274 (1st Cir. 1987)).
Even if some of the challenged statements could be viewed
in context as understandable, or even appropriate, there is no
sugar-coating the prosecutor's wholly unjustified and inflammatory
reference to the potential loss of thirty-one lives. The
prosecutor's emphasis on the size of the bullets added fuel to the
fire. At a minimum, those statements constituted misconduct.
Moreover, we cannot isolate them from other statements that, in
context, crossed over the line of proper rebuttal. Of particular
concern is the prosecutor's assertion that Alicea-Cotto was engaged
in a war at the public housing project. That comment further
magnified the threat of violence evoked by the "31 lives" and
bullet remarks. See United States v. Potter, 463 F.3d 9, 24 (1st
Cir. 2006) (noting that defendants "fairly argue that we should
consider [an] improper comment not alone but together with any
other significant errors in the prosecutor's closing"); Mejia-
Lozano, 829 F.2d at 274 n.4 (considering whether "cumulative effect
of missteps in the prosecutor's closing argument could conceivably
have skewed the balance").
-27-
We thus move to the next step of our inquiry, determining
whether the prosecutor's improper comments "so poisoned the well
that the trial's outcome was likely affected." Mejia-Lozano, 829
F.2d at 274.
B. Did the Improper Remarks Result in Prejudice Requiring a New
Trial?
We weigh several factors in determining whether a new
trial is warranted based on the prosecutor's improper remarks,
including: "the severity of the misconduct; whether it was
deliberate or accidental; the context in which it occurred; whether
the judge gave any curative instructions and their likely effect;
and the strength of the evidence against the defendant." Mooney,
315 F.3d at 60. See also Azubike, 504 F.3d at 39; Robinson, 473
F.3d at 398.
The plainly improper comment about saving thirty-one
lives suggested to the jurors that the defendants were potential
killers who would have murdered thirty-one individuals if they had
not been arrested. As we previously have observed, "[i]t is hard
enough for a jury to remain dispassionate and objective amidst the
tensions and turmoil of a criminal trial," Arrieta-Agressot, 3 F.3d
at 527, and the dramatic assertion that dozens of lives were at
risk that day burdened the defendants with accusations far more
potent than the charges on which they were being tried. Indeed,
the jury could have gleaned from that emphatic statement that the
-28-
prosecutors knew something about the defendants' intentions beyond
what had been revealed at trial. The prejudicial impact of that
rhetoric was inescapably severe.
Although the insinuation that the defendants intended a
mass killing was not repeated, the remark was immediately followed
by the prosecutor's entreaty that the jurors look at the size of
the bullets and his observation that "too many people living in
public housing projects" shirk their responsibility for violent
crime by looking the other way. These comments effectively told
the jurors that they needed to assume the responsibility – refused
by others – for preventing violence with such horrific weapons.
The prosecutor continued his summation by properly reviewing
conflicts in the evidence, urging the jurors to reject the
"incredible" testimony of the defense witnesses, but then again
resorted to highly charged rhetoric – accusing Alicea-Cotto of
being armed for the "war that goes on every day in public housing
projects . . . in every jurisdiction." After asking the jurors to
use their common sense to review the evidence, the prosecutor
concluded by telling them to "do your job, find the Defendants
guilty."
We cannot say that the harm from the "31 lives" and
bullet comments was defused by the remainder of the prosecutor's
rebuttal argument. To the contrary, the prosecutor's subsequent
use of other language that we have previously condemned – in
-29-
particular, the imagery of a war on crime and the jury's duty to
convict – combined to create the message that the jurors must take
responsibility for fighting back against violent crime by
convicting these highly dangerous individuals. Moreover, the
rebuttal context increased the likelihood of prejudice because the
improper remarks were among "the last words spoken to the jury by
the trial attorneys." Manning, 23 F.3d at 575; see also Azubike,
504 F.3d at 39 (noting that "prejudicial statements made during
closing argument 'militate in favor of reversal'") (quoting
Manning, 23 F.3d 570 at 575); cf. Mooney, 315 F.3d at 60 ("The
comments occurred during opening arguments, not during summation
where the last words the jury hears have significant potential to
cause prejudice.").
Immediately following the rebuttal argument, Alicea-
Cotto's counsel requested an instruction advising the jurors to
disregard "the prejudicial remarks made as to residents of public
housing projects." The court responded with this statement to the
jury:
What you stated is pure argument, which the
jury is not going to take into account. It is
only the evidence that the jury heard here
with respect to those witnesses, the physical
objects, as well as the exhibits, okay?
Remember, I want this very clear, this
is pure argument. Okay, and whatever has been
said, you know, it's simply to try to persuade
you. But you are the sole judges of the
facts, okay?
-30-
Following a break in the proceedings, but before the jury returned,
appellants moved for a mistrial based on the various statements
described above. Alicea-Cotto's counsel specifically targeted the
"31 lives" statement, arguing that "it is very prejudicial since
him telling the jurors that they saved 31 lives implicates that
these three young men are murderers and if they had not caught
them, which is his argument, they would have murdered 31 people."13
In denying the motion, the court again assured defense
counsel that it would instruct the jury to focus solely on the
evidence and to "disregard anything that has any derogatory
reference to housing projects or anything that may be happening
there." The court did refer to the rebuttal argument in its charge
to the jury, but did not address the "31 lives" statement in
particular:
And you have heard me say every single
day that it's only the evidence that counts in
this case, not arguments of counsel, not
statements by counsel, not objections by
counsel, not questions by counsel. And you
heard arguments by counsel here at the end of
this case, you know, and there were some
13
The government accepts that the motion for mistrial
presented a sufficiently contemporaneous objection to the
prosecutor's remarks to warrant de novo review, and we have
proceeded accordingly. We previously have found objections to
prosecutorial arguments timely when they were made during sidebars
that followed the prosecutor's rebuttal. See Azubike, 504 F.3d at
39 n.9; Mandelbaum, 803 F.2d at 44 n.1. More recently, we noted
that "[o]ur recent decisions have reserved the issue of precisely
when objections must be made to closing statements to preserve the
objection for ordinary review," suggesting that the rule might
appropriately vary with the circumstances. Potter, 463 F.3d at 23.
-31-
references made to public housing projects and
whatnot, and you are not to take that into
account, okay?
It's only the evidence presented,
witnesses that testify here, okay, the
exhibits that are presented and the physical
objects.
Now, so that means that you must decide
the case solely on the evidence before you and
according to the law. You will recall that
you took an oath, promising to do so at the
beginning of the case.
The court also gave the standard instructions telling the jurors
that they had a duty to base their verdict "solely upon the
evidence, without prejudice or sympathy," and that "statements and
arguments of counsel are not evidence."
We have at times found the district court's standard
instruction, advising jurors that arguments of counsel are not
evidence, adequate to dispel any prejudice from improper remarks.
See, e.g., Mooney, 315 F.3d at 60; Arrieta-Agressot, 3 F.3d at 529.
Here, the district court additionally gave specific attention to
the closing argument, reminding the jurors that the "references
made to public housing projects and whatnot" should not be taken
into account. The court's instruction, however, was too mild for
the circumstances and thus an inadequate antidote for the
misconduct. It made no reference to the prosecutor's inaccurate
and inflammatory comments about the thirty-one lives and the size
of the bullets – which the court simply labeled as "whatnot."14 The
14
The court also made no comment about the third unequivocally
improper statement – urging the jurors to "do your job" – but, as
-32-
remarks here called for an instruction explicitly directing the
jury to disregard the improper comments. See, e.g., Potter, 463
F.3d at 23 (describing trial court's instruction to the jury
pointing out the problematic language and telling the jury to
"disregard those comments completely"); Mooney, 315 F.3d at 59
(noting trial court's specific reference to the prosecutor's
improper remarks about community safety as part of curative
instruction advising the jury that "'[t]hat simply is not an
appropriate issue'"). Moreover, our observation in Arrieta-
Agressot also applies here:
[T]he danger was not so much that the jury
would consider the prosecutor's statements to
be "evidence." Rather, the threat was that
the prosecutor's remarks would excite the
jury, invite a partisan response, and distract
its attention from the only issue properly
presented by this case: whether the evidence
established the [defendants'] guilt beyond a
reasonable doubt.
3 F.3d at 529-30.
The nature of the evidence raises further doubts about
the efficacy of the court's instruction. Witness credibility was
central to this case. Although we concluded in Section II that the
evidence was sufficient to find appellants guilty on all but one of
the counts of conviction, the question here is whether the
prosecutor's remarks influenced the jurors' credibility assessment.
noted, see supra note 10, that language was not called to its
attention.
-33-
See Azubike, 504 F.3d at 41 ("[T]he fact that there was sufficient
evidence to convict does not mean that the jury would have
convicted absent the prosecutor's improper remarks."); Arrieta-
Agressot, 3 F.3d at 528 ("The jury may well have decided the issues
in favor of the government, but that jury decision may itself be
tainted by the improper remarks."). Appellants attempted to
persuade the jury that inconsistent testimony given by the
government's witnesses undermined the prosecution's case, and the
government responded in kind by accusing the defense witnesses of
lying. During their deliberations, the jurors requested the
testimony of Officer Sánchez – indicating some uncertainty about
the evidence – but were told to rely on their own recollection of
what he had said. In this context, particularly given the direct
conflict in the government's and defendant's evidence, and the
prosecutor's hyperbole about the defendants' violent conduct, we
lack "fair assurance" that the result would have been the same
absent the improper statements. United States v. Meserve, 271 F.3d
314, 329 (1st Cir. 2001) (quoting Kotteakos v. United States, 328
U.S. 750, 765 (1946)).15
15
The government describes the evidence against Ayala-García
and Alicea-Cotto as overwhelming, which would diminish the
likelihood of prejudice from the prosecutor's remarks. See, e.g.,
Young, 470 U.S. at 19-20 ("Not a single witness supported
respondent's asserted defense . . . "); Mooney, 315 F.3d at 60;
Mejia-Lozano, 829 F.2d at 274. The evidence may be seen as one-
sided in the government's favor, however, only if we accept the
government's own assessment of credibility and reject out-of-hand
the testimony presented by the defendants' eyewitnesses.
-34-
The government argues that Alicea-Cotto's acquittal on
Count Six, the marijuana conspiracy charge, shows that the jury was
able to follow the district court's instructions and
dispassionately weigh the evidence presented. The government reads
too much into that verdict. Only a single, small plastic bag of
marijuana was found in Alicea-Cotto's vehicle; acquittal on the
marijuana distribution charge was thus unremarkable. Indeed, the
jury's guilty verdict on the stolen weapon charge is arguably more
telling. The finding that Alicea-Cotto had reason to know that the
Smith & Wesson pistol was stolen – in the absence of any evidence
of that fact – supports appellants' argument that the prosecutorial
misconduct tainted the jury's deliberations.16
The government's witnesses were not, however, untarnished.
During cross-examination, defense counsel aggressively questioned
Sánchez about when he saw the drugs. At the suppression hearing,
Sánchez had said he first saw them at the police station. At
trial, he reported seeing them in the SUV. When asked "which time
were you telling the truth," he explained that he first saw the
drugs displayed at the station, but had seen the bag containing the
drugs in the car.
Counsel similarly challenged Officer Vega on his testimony
about who drove the SUV from the housing project to the narcotics
division. At trial, Vega stated that he was in the vehicle with
Sánchez and another officer, although he had testified at the
suppression hearing that he could not remember who accompanied
Sánchez.
On this record, we cannot say that the government's case was
so overwhelming that guilty verdicts were inevitable.
16
The Supreme Court in Young, in concluding that a
prosecutor's improper rebuttal argument did not compromise the
jury's deliberations, observed that the jury had acquitted the
defendant of the most serious charge he faced. Young, 470 U.S. at
18 n.15.
-35-
Finally, we are again troubled that the tradition of
improper closing arguments persists among some prosecutors in the
United States Attorney's Office in Puerto Rico. We have repeatedly
admonished that office for similar misconduct and urged the office
to "redouble its efforts to educate its attorneys about the ground
rules for closing arguments." Andújar-Basco, 488 F.3d at 561 n.5;
see also United States v. Martínez-Medina, 279 F.3d 105, 128 & n.12
(1st Cir. 2002) (Torruella, J., concurring) (collecting cases).
In sum, our review of the circumstances persuades us that
the improper comments "so poisoned the well that the trial's
outcome was likely affected," Mejia-Lozano, 829 F.2d at 274, and
that, consequently, a new trial is warranted. Accordingly, we
vacate Ayala-García's conviction on Count Two and Alicea-Cotto's
convictions on Counts Three through Five and Seven, and remand for
a new trial on those counts. As discussed in Section II, we
reverse Alicea-Cotto's conviction on Count One.
Reversed in part, vacated in part, and remanded for
further proceedings.
So ordered.
- Concurring Opinions Follow -
-36-
BOUDIN, Circuit Judge, concurring. Motions for a new
trial in criminal cases, based on improper remarks by the
prosecutor in closing, are often an uphill effort. The government,
unlike defense counsel, can pursue strong cases and pass on weak
ones, and so many of its cases are strong: eye-witness testimony by
eye-witnesses, audio or video tape, and co-conspirators who turn up
as prosecution witnesses confront defendants who, often hindered by
prior criminal records, chose not to take the stand.
Prosecutors do sometimes make statements that judges find
impermissible. Yet the variables are numerous and work against
easy rules of thumb: statements may be improper for different
reasons and in varying degrees; they may be fine in some contexts
and not in others (e.g., depending on the trial evidence);
provocation or fair response may mitigate or excuse; corrective
instructions may or may not be given and, if given, vary in their
force; and judges also vary in what they think allowable comment.
Complicating the equation is the requirement of harm: if
no objection was made, the defense must show (among other things)
that an objectionable statement caused prejudice.17 This is a
demanding requirement which, along with other Olano factors, United
States v. Olano, 507 U.S. 725 (1993), explains why admonitions are
17
See United States v. Vazquez-Botet, 532 F.3d 37, 56 (1st
Cir. 2008) (asking whether misconduct "'so poisoned the well' that
the defendant must be given a new trial." (quoting Manning, 23 F.3d
at 574); United States v. Laboy-Delgado, 84 F.3d 22, 29 (1st Cir.
1996).
-37-
not uncommon but reversals--where no objection was made, are
comparatively rare. And, if objection was made, the government can
argue that it was harmless--a much tougher showing, to be sure (see
note 19, below); but sometimes the impropriety is marginal and
curative instructions may have lessened the impact.
Only where bad faith is shown is the need for harm
sometimes disregarded.18 But finding bad faith is not easy: trials
raise the emotional level and much in closing argument is
spontaneous. Further, a court may be reluctant to reverse a
reliable conviction because, in Cardozo's famous phrase, "the
constable has blundered." Cf. United States v. Auch, 187 F.3d
125, 133 (1st Cir. 1999) (noting Supreme Court's "admonition
against letting the guilty go to punish prosecutorial
misconduct.").
The present case, quite unusual, combines an undisputedly
improper and significant remark, with a defense case that is
forceful and well developed. The statement that "[t]hirty one
potential lives were saved" can be understood (even if not so
intended) as a claim that the defendants were out to kill people,
which was neither the charge nor the subject of any evidence. The
government concedes the remark was improper. How far other remarks
18
Compare United States v. Potter, 463 F.3d 9, 22-25 (1st Cir.
2006), and United States v. Mejia-Lozano, 829 F.2d 268, 274 (1st
Cir. 1987), with United States v. Mooney, 315 F.3d 54, 60 (1st Cir.
2002).
-38-
standing alone were improper can be and is disputed, but several of
them, given the quoted statement, tended to emphasize its thrust.
Prosecutors have said worse things, but a timely
objection was made so the question is whether the government can
show that the remark was harmless. Very often, in a case like this
one, there would be unquestioned police testimony that they caught
the defendants with guns and drugs and cash, and there would be
nothing from the defense side except silence. In that situation,
a prosecutor's overstatement rarely looks like it had any effect;
and a new trial, given such evidence, appears a waste of time.
This case is different. Six witnesses, at least four of
whom had nothing specific to do with the defendants, testified that
the police had fabricated the alleged seizure: that they had not
taken the guns and drugs from the defendants or their vehicles, had
searched the defendants but found nothing, had disappeared into the
woods and returned with a bag and (according to two witnesses) had
at the police station taken weapons and drugs from the bag. Other
defense evidence is described in the decision.
This does not show that the defendants were bound to be
acquitted. The witnesses from the housing project may have been
friends of the defendants, hostile to the police or subject to
intimidation. But given the objection and substantial impropriety
of the main comment, the government had to show that the remark or
remarks could not have affected the result, that is to say, (since
-39-
the jury's mind cannot be read), that the chances are extremely low
that the outcome was affected.19
Here, the government cannot meet this burden. As in
United States v. Azubike, 504 F.3d 30, 42 (1st Cir. 2007), where a
new trial was required, "the evidence was close and the
misstatement went to a central issue . . ." Bad faith is not an
issue and the defense took liberties of its own asking the jury to
rely on unsupported factual claims. But in a case with a
substantial defense, the prosecutor's emotional and unsupported
reference to potential mass murders is enough for a new trial.
19
E.g., United States v. Lizardo, 445 F.3d 73, 87-88 (1st Cir.
2006), cert. denied 549 U.S. 1007 (2006)("any possible prejudice
was relatively insignificant"); See Potter, 463 F.3d at 24 (no
"substantial chance--let alone a likelihood--of changing the
outcome").
-40-
HANSEN, Circuit Judge, concurring. I fully concur in
parts I and II of the court’s opinion, and, principally for the
reasons expressed in Judge Boudin’s separate concurrence, I concur
in the result reached in Part III. I also concur in the court’s
judgment.
-41-