What If the Judge Pressured You Into a Plea Deal?

A federal judge is not allowed to take part in plea negotiations, the back-and-forth between the defense and the prosecutor over a deal to plead guilty. In United States v. Iazzetta, No. 16-50489 (9th Cir. Nov. 16, 2018) (unpublished), the Ninth Circuit threw out a sentence because the judge broke this rule, even though the defendant had signed an appeal waiver as part of his deal.

What role can a judge play in plea talks?

None. Federal judges have long been required to stay out of plea talks, which take place only between the prosecutor and the defense (or the defendant, if he has no lawyer). Federal Rule of Criminal Procedure 11(c)(1) says: "An attorney for the government and the defendant's attorney, or the defendant when proceeding pro se, may discuss and reach a plea agreement. The court must not participate in these discussions."

Many federal judges have very busy dockets and understandably want cases to settle quickly. That can tempt some judges to step in. But a judge who pushes a defendant toward a deal puts heavy pressure on someone who knows that same judge will decide the sentence.

Plea Negotiations

What happened in Iazzetta

Thomas Iazzetta pleaded guilty to three counts of illegally getting information from a protected computer. He got six months in prison and was ordered to pay $2.8 million in restitution (money paid back to victims).

Mr. Iazzetta did not want to accept the government's way of figuring the victims' losses. Judge David O. Carter of the Central District of California stepped into the talks and told him he would reject the whole plea deal unless he agreed to the government's loss number. Mr. Iazzetta then agreed.

His plea deal included an appeal waiver, a promise not to appeal. But at sentencing, the judge told him he could appeal and confirmed he understood. The government did not object.

What the appeals court decided

• The appeal could go forward. Because the judge told him he could appeal and the government did not object, the Ninth Circuit would not enforce the waiver.
• The judge broke Rule 11. The government admitted the judge should not have conditioned the deal on the loss agreement.
• The sentence was thrown out. Both the loss calculation under the guidelines and the restitution order relied on that agreement. The court found a "reasonable probability" the outcome would have been different. It vacated the sentence and restitution order and sent the case back for the judge to figure the loss without the agreement.

Why this matters

A judge cannot pressure you into a plea deal or into agreeing to specific terms, no matter how much the judge wants to clear the docket. If the judge threatened to reject a deal unless you accepted certain terms, and your sentence was based on those terms, you may have grounds to be resentenced.

An appeal waiver may not end the story either. In the Ninth Circuit, if the judge tells you at sentencing that you can appeal and the government does not object, the waiver may not be enforced. Rules on this differ between circuits, so even if you signed a plea deal, you may still have a chance to appeal.

Move quickly. In a federal criminal case, the notice of appeal generally must be filed within 14 days after the judgment is entered (Federal Rule of Appellate Procedure 4(b)(1)(A)). If you think the judge meddled in your plea talks, write down what was said and when, and talk to a lawyer before that deadline passes.

Facing a federal sentence? Book a consultation to talk it through with Brandon Sample.