United States v. Lowe ( 2023 )

Appellate Case: 22-3209 Document: 010110961034 Date Filed: 11/30/2023 Page: 1
FILED
United States Court of Appeals
UNITED STATES COURT OF APPEALS Tenth Circuit
FOR THE TENTH CIRCUIT November 30, 2023
_________________________________
Christopher M. Wolpert
Clerk of Court
UNITED STATES OF AMERICA,
Plaintiff - Appellee,
No. 22-3209
v. (D.C. No. 6:20-CR-10066-JWB-2)
(D. Kan.)
GARY A. LOWE, JR.,
Defendant - Appellant.
_________________________________
ORDER AND JUDGMENT *
_________________________________
Before MATHESON, BRISCOE, and EID, Circuit Judges.
_________________________________
Gary A. Lowe, Jr., pled guilty to one count of possession with intent to
distribute heroin and one count of being a felon in possession of a firearm. Before
sentencing, Mr. Lowe moved to recuse the judge, who denied the motion and
imposed a 210-month prison sentence. Mr. Lowe appeals the calculation of his
sentence and the denial of his recusal motion.
*
After examining the briefs and appellate record, this panel has determined
unanimously to honor the parties’ request for a decision on the briefs without oral
argument. See Fed. R. App. P. 34(f); 10th Cir. R. 34.1(G). The case is therefore
submitted without oral argument. This order and judgment is not binding precedent,
except under the doctrines of law of the case, res judicata, and collateral estoppel. It may
be cited, however, for its persuasive value consistent with Fed. R. App. P. 32.1 and
10th Cir. R. 32.1.
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The Government argues we should dismiss based on the appeal waiver in
Mr. Lowe’s plea agreement. It also argues Mr. Lowe’s appeal fails on the merits.
Exercising jurisdiction under 28 U.S.C. § 1291, we dismiss Mr. Lowe’s appeal
of his sentence by enforcing the appeal waiver. We affirm the denial of his recusal
motion.
I. BACKGROUND
A. Indictment
A grand jury indicted Mr. Lowe on five drug- and gun-related charges. He pled
guilty to possession with intent to distribute a mixture or substance containing a
detectable amount of heroin, in violation of 21 U.S.C. § 841(a) (Count 2), and to
being a felon in possession of a firearm, in violation of 18 U.S.C. § 922(g)(1)
(Count 5). The Government dismissed the remaining counts.
B. Changes of Counsel
A succession of five attorneys represented Mr. Lowe. Even while represented,
he routinely attempted to proceed pro se.
His second attorney moved to withdraw. At a hearing on that motion, the district
court 1 permitted Mr. Lowe to speak for himself. He argued the indictment was unfair
and flawed. The judge told him twice not to argue and denied the motion to
withdraw.
1
We refer to the district court and the district judge interchangeably.
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Several weeks later, a third attorney entered an appearance. Within a few
months, the third attorney moved to withdraw. At a hearing on that withdrawal
motion, Mr. Lowe repeatedly interrupted the judge, who told him to stop and to sit
down. The judge then granted the motion to withdraw. The court later granted a
motion for the second attorney to withdraw and appointed a fourth attorney.
Five months after appointment of the fourth attorney, Mr. Lowe filed a motion
claiming ineffective assistance of counsel. The fourth attorney moved to withdraw.
At the hearing on these motions, the judge noted, “Mr. Lowe, you and I have had a
couple of hearings together,” and after Mr. Lowe attempted to interrupt, the judge
continued, “I’m going to start this one off by making sure you understand the ground
rules . . . . You and I are going to address one another respectfully,” and “[a]t the
appropriate times I’m going to give you an opportunity to speak and explain your
position,” but “we’re not going to talk over one another.” ROA, Vol. 1 at 128. The
judge added, “Ultimately, however, this is my courtroom and so when I talk,
everyone else stops talking. Somebody’s got to be in charge and around here, that’s
me; just one of the perks of the job.” Id.Later at the hearing, when Mr. Lowe spoke out of turn, the judge told him to
stop until after his counsel had been heard. The judge let Mr. Lowe present his
argument and then denied both Mr. Lowe’s motion for a new attorney and the fourth
attorney’s motion to withdraw.
A few months later at another hearing, Mr. Lowe “made an oral motion to
appear pro se,” and his fourth attorney “made a[] [renewed] oral motion to
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withdraw.” Id. at 12-13. Mr. Lowe later withdrew his motion, and the court denied
the attorney’s motion. Mr. Lowe then “informed the court he would like an
opportunity to retain a[] [fifth] attorney and requested a continuance of the [] trial
date.” Id. at 13. The judge then contacted Mr. Lowe’s proposed fifth attorney, who
confirmed he was willing to represent Mr. Lowe. The judge appointed the fifth
attorney to the Criminal Justice Act panel and substituted him for the fourth attorney.
The judge also permitted the fifth attorney to refile several stricken motions that
Mr. Lowe had filed pro se.
C. Guilty Plea and Motion to Withdraw
While represented by the fifth attorney, Mr. Lowe pled guilty to Counts 2 and
5 under a written plea agreement. The agreement included an appeal waiver that
prevented Mr. Lowe from challenging “any matter in connection with th[e]
prosecution, his conviction, or the components of the sentence.” Id. at 345-46.
Before sentencing, Mr. Lowe moved pro se to withdraw his plea based on
ineffective assistance of counsel. At a September 15, 2022 hearing to consider the
matter, Mr. Lowe’s fifth attorney told the court that “Mr. Lowe ha[d] not authorized
[him] to do anything at this stage.” ROA, Vol. 3 at 34. The court permitted
Mr. Lowe to present his motion. When Mr. Lowe challenged the judge’s “failure to
[] advise” him about the plea, the judge read “a rough transcript of the plea hearing.”
Id. at 38. During this reading, Mr. Lowe repeatedly interrupted the judge, who told
him, “Don’t interrupt me,” id., and, “Will you quit interrupting me? When I talk you
stop talking,” id. at 39. The judge and Mr. Lowe then had the following exchange:
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THE COURT: Don’t talk to [the prosecutor].
THE DEFENDANT: Well, I’m talking to the Court.
THE COURT: Well, then don’t look at [the prosecutor].
THE DEFENDANT: I can’t look around?
THE COURT: Don’t you get smart with me. I haven’t
finished sentencing you yet. I will be the one who will be
sentencing you. You want to sit here and poke me in the
eye, see what happens.
THE DEFENDANT: I already know what’s going to
happen.
THE COURT: You don’t know anything that is going to
happen, Mr. -- listen to me. I have no desire to grind you
up. I’m not going to give you 30 years. I know that right
here and now. I am going to give you a reasonable and
just sentence once I review the presentence report and go
through the sentencing process. I have got nothing against
you, but I’m telling you you’re quite foolish to come in
here antagonizing the person who is going to sentence you.
That’s not a very wise litigation strategy. Now, what else
do you have to say?
Id. at 45. Later in the hearing, the colloquy escalated:
THE DEFENDANT: It doesn’t matter what you
explained, once this man told me that --
THE COURT: Quit interrupting me.
THE DEFENDANT: -- it didn’t --
THE COURT: This hearing is over.
THE DEFENDANT: All right, this man does this, I told
you, I knew this.
THE COURT: Get this man out of here.
THE DEFENDANT: I told you --
THE COURT: You’ll get a written order; we’re done.
This hearing is over.
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THE DEFENDANT: . . . You didn’t do nothing but be
bias [sic] to [sic] me through this whole proceeding.
Id. at 58.
The court denied Mr. Lowe’s motion to withdraw his plea.
D. Motion to Recuse
After the district court denied Mr. Lowe’s motion to withdraw his guilty plea,
he filed a pro se motion to recuse the judge. In the motion, Mr. Lowe argued he was
not receiving “fair and impartial hearings,” ROA, Vol. 1 at 399, and that the judge
was biased against him and was “hostile and harbor[ed] an aversion” toward him, id.
at 406. Mr. Lowe cited 28 U.S.C. § 455 and Tenth Circuit case law regarding
judicial recusal. Id. at 398-99; id. at 408 (citing United States v. Pearson, 203 F.3d
1243 (10th Cir. 2000); United States v. Nickl, 427 F.3d 1286 (10th Cir. 2005)). He
also filed a pro se affidavit in support of his motion to recuse.
At a hearing on the motion, Mr. Lowe’s counsel said he could not argue on
Mr. Lowe’s behalf because he was not authorized to do so. ROA, Vol. 3 at 67 (“I
don’t feel like I can argue this motion, Your Honor. But I think Mr. Lowe . . . would
like to argue [it] . . . .”). The judge did not permit Mr. Lowe to argue the motion
himself. Without hearing argument, the judge rejected Mr. Lowe’s motion, stating:
I went through that process [hearing the pro se guilty plea
withdrawal motion] until Mr. Lowe he became so
disruptive that I had him remove[d] from the Court and
ultimately issued a written ruling on that matter [the guilty
plea withdrawal]. . . . I think overall any objective person
looking at that record would conclude that I have bent over
backwards to accommodate this defendant who has been
undoubtedly the most obstructive and difficult defendant to
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deal with in any criminal case that I have had since coming
on the bench. . . . There is just no basis whatsoever for any
objective person to believe that I am biased, prejudiced, or
have any sort of favoritism toward the Government. I
reject that and I have made my record on it. So that
motion is denied.
Id. at 77.
E. Sentencing
The district court proceeded to sentencing. When Mr. Lowe was arrested,
police had found drugs and currency at his home. The Presentence Investigation
Report (“PSR”) had converted the amount of currency found at Mr. Lowe’s residence
to drug weight based on a dollars per pound ratio and added that calculated drug
weight to the weight of actual drugs found at his residence. Mr. Lowe objected,
arguing the drug quantity in the report differed from the “factual basis in the plea
agreement.” ROA, Vol. 1 at 418. The court rejected Mr. Lowe’s argument, noting
that calculating drug weight based on the factual basis in the plea is “not what is
contemplated under the [U.S. Sentencing] [G]uidelines and the plea specifically
contemplates relevant conduct” like related currency. ROA, Vol. 3 at 125.
The court sentenced Mr. Lowe to 210 months in prison on Count 2 and
120 months on Count 5, to run concurrently. He also received three years of
supervised release for each count, to run concurrently.
F. Appeal and Motion to Enforce Appeal Waiver
Mr. Lowe timely appealed. The Government moved to enforce Mr. Lowe’s
appeal waiver and to dismiss the appeal. Following briefing on the issue, we denied
the motion without prejudice to the Government’s raising the issue in its brief.
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Although Mr. Lowe’s docketing statement expressed his intent to raise four
issues on appeal, he has only raised two in his opening brief: (1) whether the district
judge abused his discretion in declining to recuse, and (2) whether the district court
erred in determining the converted drug quantity based on the PSR. Aplt. Br.
at 14, 25.
The Government raised the appeal waiver issue in its response brief, arguing
we should enforce the waiver as to both issues and dismiss the appeal. Aplee. Br.
at 20. It alternatively argued we should affirm on the merits. Mr. Lowe did not file a
reply.
II. DISCUSSION
We enforce the appeal waiver on Mr. Lowe’s sentencing claim but exercise
our discretion to address the recusal issue on the merits.
A. Legal Background
“We review de novo the enforceability of a defendant’s appeal waiver in a plea
agreement.” United States v. Gross, 44 F.4th 1298, 1301 (10th Cir. 2022).
In deciding whether to enforce the waiver, we ask: “(1) whether the disputed
appeal falls within the scope of the waiver of appellate rights; (2) whether the
defendant knowingly and voluntarily waived his appellate rights; and (3) whether
enforcing the waiver would result in a miscarriage of justice.” United States v. Hahn,
359 F.3d 1315, 1325 (10th Cir. 2004) (en banc) (per curiam).
We determine whether the appeal waiver bars each argument presented on
appeal. See, e.g., Gross, 44 F.4th at 1302-03 (holding two issues fell within appeal
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waiver and “dismiss[ing] [the defendant’s] appeal insofar as [his] arguments” bore on
those issues); United States v. Novosel, 481 F.3d 1288, 1294-95 (10th Cir. 2007)
(analyzing separately whether the appeal waiver covered ineffective assistance of
counsel and factual basis for guilty plea).
Because appeal waivers do not affect our jurisdiction, Hahn, 359 F.3d at 1324,
we may “bypass resolution” of an appeal waiver issue and reach the merits, United
States v. Garcia-Ramirez, 778 F.3d 856, 857 (10th Cir. 2015). We do so here on the
recusal issue because: “(1) the waiver issue [i]s relatively complex, (2) the
government ha[s] briefed the merits, and (3) [Mr. Lowe’s] appellate argument clearly
fail[s].” Id. (citing United States v. Black, 773 F.3d 1113, 1115 n.2 (10th Cir. 2014)).
B. Application
Sentencing
Mr. Lowe alleges procedural error in the district court’s drug-quantity
calculation used for sentencing. See United States v. Williams, 48 F.4th 1125, 1128
(10th Cir. 2022) (explaining that a challenge to a drug-quantity calculation is
procedural). Analyzing the three Hahn factors, we enforce Mr. Lowe’s appeal waiver
on his sentencing challenge.
a. Scope
Even “strictly constru[ing]” the language of Mr. Lowe’s appeal waiver, United
States v. Anderson, 374 F.3d 955, 957 (10th Cir. 2004) (quotations omitted), his
procedural reasonableness challenge falls within the waiver’s scope. His appeal
waiver reads:
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The defendant knowingly and voluntarily waives any right
to appeal or collaterally attack any matter in connection
with this prosecution, his conviction, or the components of
the sentence . . . . The defendant also waives any right to
challenge his sentence, or the manner in which it was
determined, or otherwise attempt to modify or change his
sentence, in any collateral attack, including, but not limited
to, a motion brought under 28 U.S.C. § 2255 (except as
limited by United States v. Cockerham, 237 F.3d 1179,
1187 (10th Cir. 2001)), or a motion brought under Federal
Rule of Civil Procedure 60(b). In other words, the
defendant waives the right to appeal the sentence imposed
in this case, except to the extent, if any, the Court departs
or varies upwards from the sentencing Guideline range that
the Court determines to be applicable. . . .
Notwithstanding the forgoing [sic] waivers, the parties
understand that the defendant in no way waives any
subsequent claims with regards to ineffective assistance of
counsel or prosecutorial misconduct.
ROA, Vol. 1 at 345-46. Mr. Lowe thus waived the “right to appeal . . . the
components of his sentence,” “any right to challenge his sentence, or the manner in
which it was determined,” and “the right to appeal the sentence imposed,” except in a
situation not relevant here (upward departure or variance from the Guidelines range).
Id. In Gross, we enforced an appeal waiver under nearly identical language: the
defendant “waived the right to appeal his ‘sentence as imposed by the Court,
including . . . the manner in which the sentence is determined.’” 44 F.4th at 1301
(alterations in original). Mr. Lowe’s sentence challenge falls within the scope of his
appeal waiver.
b. Knowing and voluntary
Mr. Lowe has not argued his appeal waiver was not knowing and voluntary.
In his response to the Government’s motion to enforce the plea waiver, he argued
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only that he did not knowingly and voluntarily waive his “constitutional right to an
unbiased judge” or “his right to assert ineffective assistance of counsel.” See
Doc. 10977154 at 13-14. As noted, Mr. Lowe has not replied to the Government’s
renewed motion to enforce the appeal waiver. He thus has not shown the appeal
waiver was not knowing and voluntary. See Anderson, 374 F.3d at 958-59.
c. Miscarriage of justice
Enforcement of the waiver will not result in a miscarriage of justice. A
defendant may show a miscarriage of justice “[1] where the district court relied on an
impermissible factor such as race, [2] where ineffective assistance of counsel in
connection with the negotiation of the waiver renders the waiver invalid, [3] where
the sentence exceeds the statutory maximum, or [4] where the waiver is otherwise
unlawful.” Hahn, 359 F.3d at 1327 (alterations in original) (quotations omitted).
Mr. Lowe has not done so.
First, no evidence shows that Mr. Lowe’s race or a similar impermissible
factor affected his sentence.
Second, Mr. Lowe argued in his response to the motion to enforce the appeal
waiver that he could claim ineffective assistance of counsel in connection with the
negotiation of his plea agreement. See Doc. 10977154 at 15-17. But the record
shows otherwise.
In one of his pro se motions in district court, Mr. Lowe argued ineffective
assistance because he entered into the plea agreement “pur[e]ly based on the stern
advice of [his] attorney.” ROA, Vol. 1 at 349. He claimed that “[t]he plea was given
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to [him] the morning of [his] trial, and in the course of 10 minutes [his] attorn[e]y
briefly tried to explain it to [him],” and that “[n]ever, not once did [the attorney] tell
[Mr. Lowe] . . . about the maximum sentence that [he] could receive.” Id. at 349-50.
But the district court found Mr. Lowe’s claims to be “contradicted by the record.”
Id. at 390.
The Government offered the plea to Mr. Lowe more than six months before his
trial date, amended it once, and then re-extended it to him four months before the
trial. Id. at 292-93. The Government also told the court that Mr. Lowe’s fourth and
fifth attorneys had both reviewed the plea agreement with him. Id. at 293. Mr. Lowe
admitted to the court that he understood the appeal waiver would “generally giv[e] up
[his] right to challenge th[e] prosecution, [his] conviction, or [his] sentence in this
case.” Id. at 314-15. And he admitted that the plea agreement was “read by [him] or
at least read to [him] word for word” and that he and his fifth attorney “had time to
review and discuss all the documents or other evidence produced by the
Government.” Id. at 307.
In this court, Mr. Lowe argued in his response to the Government’s motion to
enforce the appeal waiver that “a full record was not developed” on this issue.
Doc. 10977154 at 16. But given the record before us, nothing indicates Mr. Lowe
received ineffective assistance in the negotiation of the waiver.
Third, Mr. Lowe’s sentence does not exceed the statutory maximum. The
statutory maximum for his drug offense alone without enhancements for prior
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offenses was 20 years. 21 U.S.C. § 841(b)(1)(C). Mr. Lowe was sentenced to
210 months (17.5 years) in prison. ROA, Vol. 1 at 442.
Fourth, we see no reason, and Mr. Lowe has not provided one, why the waiver
would be otherwise unlawful.
* * * *
We enforce Mr. Lowe’s appeal waiver and dismiss his appeal on the
sentencing issue.
Recusal
Rather than address whether Mr. Lowe’s motion to recuse is within the scope
of his appeal waiver, we exercise our discretion to address it on the merits. See
Garcia-Ramirez, 778 F.3d at 857.
Mr. Lowe contends the district court judge erred in denying his motion to
recuse because (1) based on the hearing on his motion to withdraw his guilty plea, “a
reasonable person would harbor doubts about the judge’s impartiality,” requiring
recusal under 28 U.S.C. § 455; and (2) the judge was required to ask another judge to
decide the motion under 28 U.S.C. § 144. Aplt. Br. at 16.
a. Partiality
We review the “denial of a motion to disqualify a judge for abuse of
discretion.” Burke v. Regalado, 935 F.3d 960, 1052 (10th Cir. 2019). “Under this
standard, we will not reverse unless the [judge] has made an arbitrary, capricious,
whimsical, or manifestly unreasonable judgment.” Id. (quotations omitted).
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“Section 455(a) requires disqualification for the appearance of impartiality,
§ 455(b)(1) for actual partiality.” Id. at 1053; see also Liteky v. United States, 510
U.S. 540, 552-53 & n.2 (1994). Section 455(a) provides that “[a]ny justice, judge, or
magistrate judge of the United States shall disqualify himself in any proceeding in
which his impartiality might reasonably be questioned.” And § 455(b) lists specific
grounds for disqualification, including “[w]here [the judge] has a personal bias or
prejudice concerning a party.” 28 U.S.C. § 455(b)(1). Mr. Lowe invokes both
§ 455(a) and § 455(b)(1). Aplt. Br. at 13. 2
Both arguments fail. Mr. Lowe has not shown any judicial bias or partiality.
The Supreme Court has held that “expressions of impatience, dissatisfaction,
annoyance, and even anger,” do “[n]ot establish[] bias or partiality.” Liteky, 510 U.S.
at 555-56. “A judge’s ordinary efforts at courtroom administration—even a stern and
short-tempered judge’s ordinary efforts at courtroom administration—remain
immune” from challenge under § 455. Id. at 556.
At the September 15 hearing, the judge employed “ordinary efforts at
courtroom administration,” id., particularly in light of Mr. Lowe’s lack of decorum
throughout the proceedings and his self-described “impulsive[ness],” ROA, Vol. 3 at
2
The Government appears to assert that Mr. Lowe made only a § 455(a)
argument and not one under § 455(b)(1). See Aplee. Br. at 39-40. We think
arguments under both are preserved. Although Mr. Lowe’s motion concerned a
“violation of 28 U.S.C. [§] 455(a),” ROA, Vol. 1 at 398, the judge also addressed
whether he should recuse under (b)(1), ROA, Vol. 3 at 68. We may “reach issues
that were either pressed by the appellant before, or passed upon by, the lower court.”
Tesone v. Empire Mktg. Strategies, 942 F.3d 979, 992 (10th Cir. 2019) (quotations
omitted).
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43. Mr. Lowe argues the statement “Don’t you get smart with me. I haven’t finished
sentencing you yet,” is “objectively, [] a threat.” Aplt. Br. at 21. We disagree,
especially in light of the judge’s immediate statement to the contrary: “I have no
desire to grind you up. I’m not going to give you 30 years. I know that right here
and now. I am going to give you a reasonable and just sentence once I review the
presentence report and go through the sentencing process.” ROA, Vol. 3 at 45.
Mr. Lowe also takes issue with the district judge’s statements at earlier
hearings. See Aplt. Br. at 16-18. Those statements—such as, “Somebody’s got to be
in charge and around here, that’s me; just one of the perks of the job,” ROA Vol. 1 at
128, and, “Quit interrupting me,” ROA, Vol. 3 at 58—are at most “expressions of
impatience, dissatisfaction, annoyance, and even anger” made while attempting to
maintain decorum in the courtroom, Liteky, 510 U.S. at 555-56. Even though the
judge said Mr. Lowe was “undoubtedly the most obstructive and difficult defendant
to deal with in any criminal case that [he] ha[d] had since coming on the bench,”
ROA, Vol. 3 at 77, the judge showed no bias against Mr. Lowe nor partiality toward
the Government.
We see no abuse of discretion in the judge’s denial of Mr. Lowe’s motion.
b. Decision by another judge
Mr. Lowe argues on appeal that another judge should have decided his recusal
motion. Aplt. Br. at 15, 16. But he did not raise this issue in district court, nor did
the judge address it. Mr. Lowe thus forfeited this argument, and he has not argued
plain error on appeal. “When an appellant fails to preserve an issue and also fails to
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make a plain-error argument on appeal, we ordinarily deem the issue waived (rather
than merely forfeited) and decline to review the issue at all . . . .” United States v.
Leffler, 942 F.3d 1192, 1196 (10th Cir. 2019). We will not review the issue in these
circumstances.
III. CONCLUSION
We dismiss the appeal as to Mr. Lowe’s sentencing issue and affirm the
district court’s denial of his motion to recuse the district judge.
Entered for the Court
Scott M. Matheson, Jr.
Circuit Judge
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