United States v. Holguin

UNITED STATES OF AMERICA, Plaintiff-Appellee, v. ENRIQUE HOLGUTN, AKA Rick, AKA Ricky, AKA Slick, Defendant-Appellant.

UNITED STATES OF AMERICA, Plaintiff-Appellee, v. EMANUEL HIGUERA, AKA Blanco, Defendant-Appellant.

UNITED STATES OF AMERICA, Plaintiff-Appellee, v. DONALD GOULET, AKA Wacky, Defendant-Appellant.

Nos. 19-50158, 19-50169, 19-50173

United States Court of Appeals, Ninth Circuit

October 13, 2022

Argued and Submitted December 6, 2021 Pasadena, California

Appeal from the United States District Court Nos 2:16-cr-00390-RGK-34, 2:16-cr-00390-RGK-26 2:16-cr-00390-RGK-10 for the Central District of California R. Gary Klausner, District Judge, Presiding

Gail Ivens (argued), Gail Ivens Attorney at Law, King City California; Tony F. Farmani (argued), Rancho Santa Fe California; and David J. Kaloyanides (argued), Chino, California; for Defendants-Appellants.

Victoria A. Degtyareva (argued), Carol A. Chen, Kathy Yu, Lindsay M. Bailey, and Chelsea Norell, Assistant United States Attorneys; Bram M. Alden, Assistant United States Attorney, Acting Chief, Criminal Appeals Section; Tracy L. Wilkison, Acting United States Attorney; United States Attorney's Office, Los Angeles, California; for Plaintiff-Appellee.

Before: Marsha S. Berzon, Carlos T. Bea, and Jacqueline H. Nguyen, Circuit Judges.

SUMMARY ^[*]

Criminal Law

The panel affirmed three appellants' convictions on charges arising from criminal activity on behalf of Canta Ranas, a multi-generational street gang based in Whittier, California, with ties to the Mexican Mafia criminal organization, in a case in which appellants raised numerous challenges to the government's use of expert witnesses.

Appellants argued that the district court erred in denying their request for a Daubert hearing. Because the district court enjoys broad latitude with regard to how to determine reliability, the panel could not say that its failure to hold a hearing in this case was an abuse of discretion. The panel wrote that it would, however, have been prudent to hold such a hearing, or employ other procedures such as focused voir dire, because district courts must make explicit findings that the government's expert testimony was reliable. Here, the district court permitted the government's experts to testify without making any findings; indeed, prior to trial, the record was not sufficient to support a reliability finding. The panel therefore held that the district court abused its discretion by failing to make any findings that the experts' testimony was reliable. The panel wrote that the lack of such findings, however, does not warrant a reversal of appellants' convictions. Because the trial record shows that the government's expert witnesses had sufficient relevant experience and gave adequate explanations for their interpretations of letters and phone calls, the district court's error was harmless.

Appellants challenged the district court's handling of one expert's dual-role testimony-i.e., his testifying in both lay and expert capacities. The panel wrote that the defense's requested instruction specifically addressing undue deference may have further clarified the officer's distinct roles, but the district court did not abuse its discretion in declining to give the requested instruction. Reviewing appellants' other contentions regarding the dual-role instructions for plain error, the panel held that, given the safeguards that the district court employed, reversal is not warranted.

Reviewing for plain error appellants' argument that the officer's lay opinion testimony was admitted without proper foundation, the panel wrote that any disconnect between the officer's general foundational testimony and his specific opinions was not sufficient to warrant sua sponte intervention. The panel wrote that appellants' argument that the officer's lay opinion was based on hearsay is better understood as a variation of their challenge to the foundation for his lay opinions; and this was not plain error.

The panel addressed other issues in a concurrently filed memorandum disposition.

Judge Berzon concurred in part and dissented in part. She would hold that the district court must conduct a Daubert hearing or voir dire to assess the reliability of a police officer, detective, or other law enforcement expert who seeks to testify based on experience alone, rather than on scientific methodology. She disagreed with the majority's assessment of Rene Enriquez's expert testimony as to appellant Holguin's communications. She agreed that the district court abdicated its gatekeeping role by admitting Enriquez's testimony that Holguin sought to establish a "mesa" in Chino State Prison, but could not agree with the majority's conclusion that this error was rendered harmless by record evidence showing that Enriquez's testimony was reliable as to that testimony. She would therefore reverse Holguin's RICO conspiracy conviction.

OPINION

NGUYEN, CIRCUIT JUDGE

Enrique Holguin, Emanuel Higuera, and Donald Goulet appeal their convictions on charges arising from criminal activity on behalf of Canta Ranas, a multi-generational street gang based in Whittier, California, with ties to the Mexican Mafia criminal organization. Appellants were charged in a sweeping indictment along with dozens of other individuals associated with Canta Ranas.^[1]

Following a jury trial, appellants were convicted of conspiracy in violation of the Racketeer Influenced and Corrupt Organizations Act ("RICO"), 18 U.S.C. § 1962(d). The jury also found Goulet and Higuera guilty of drug trafficking conspiracy, 21 U.S.C. § 846, but acquitted Holguin of the same charge. Additionally, Holguin was convicted of assault under the Violent Crimes in Aid of Racketeering Activity ("VICAR") statute, 18 U.S.C. § 1959(a)(6), Goulet was convicted of money laundering conspiracy, 18 U.S.C. § 1956(h), and Higuera was convicted of possession with intent to distribute at least five grams of methamphetamine, 21 U.S.C. § 841(a)(1), (b)(1)(B)(viii).

On appeal, appellants raise numerous challenges to the government's use of three expert witnesses, who collectively played a central role in the government's case.^[2] Appellants challenge the district court's admission of expert testimony and its handling of one expert's dual-role testimony. We have jurisdiction under 28 U.S.C. § 1291, and we affirm.

Because the district court enjoys "broad latitude" with regard to "how to determine reliability," Kumho Tire Co. v. Carmichael, 526 U.S. 137, 142 (1999) (emphasis removed), we cannot say that its failure to hold a hearing in this case was an abuse of discretion. Yet it would have been prudent to hold such a hearing, or employ other procedures such as focused voir dire, because district courts must make explicit findings that the government's expert testimony was reliable. See, e.g., United States v. Valencia-Lopez, 971 F.3d 891, 899 (9th Cir. 2020); United States v. Ruvalcaba-Garcia, 923 F.3d 1183, 1190 (9th Cir. 2019). Here, the district court permitted the government's experts to testify without making any findings; indeed, prior to trial, the record was not sufficient to support a reliability finding. We therefore hold that the district court abused its discretion by failing to make any findings that the experts' testimony was reliable. The lack of such findings, however, does not warrant a reversal of appellants' convictions. Because the trial record shows that the government's expert witnesses had sufficient relevant experience and gave adequate explanations for their interpretations of letters and phone calls, the district court's error was harmless.

We have previously addressed the government's common use of law enforcement professionals as dual-role witnesses, and we explained the risks of such testimony. See United States v. Torralba-Mendia, 784 F.3d 652, 658 (9th Cir. 2015) (collecting cases). Dual-role testimony can give an officer "unmerited credibility," blunt cross-examination, confuse jurors, and encourage testimony without proper foundation. Id. While the district court implemented several safeguards to mitigate those risks, they were amplified by confusing instructions and admission of lay opinion resting on limited foundation. However, these issues largely were not objected to at trial, and they do not amount to plain error.

I. Background

Prior to trial, appellants filed several motions in limine concerning the government's proposed expert testimony and requested a Daubert hearing. The district court denied the request for a Daubert hearing, tentatively denied the motions in limine, and allowed the expert testimony without explanation. At the pre-trial conference, when ruling on motions in limine, the district court did not mention reliability and did not clearly address these aspects of the motions.

At trial, the government called three expert witnesses. Officer Robert Rodriguez, lead case agent for the Whittier Police Department, provided background information about Canta Ranas and explained how the gang operates.

Officer Rodriguez testified that Canta Ranas had about 140 members active in the Santa Fe Springs and Whittier areas. He explained that the gang generates revenue through criminal activity - primarily drug trafficking. Younger gang members sell drugs "fronted" to them by gang leaders. Officer Rodriguez also explained that Canta Ranas collects taxes both from their own membership and from the surrounding community. Revenue generally goes to Canta Ranas's leader, an incarcerated Mexican Mafia member named David Gavaldon.

Officer Rodriguez then transitioned into lay testimony, describing investigative activities he conducted, explaining the meaning of gang language and monikers, and characterizing the roles that...