throbber
USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 1 of 35
`
`
`
`
`
`[PUBLISH]
`
`In the
`United States Court of Appeals
`For the Eleventh Circuit
`
`
`
`
`
`
`
`____________________
`
`No. 19-13838
`
`____________________
`
`
`UNITED STATES OF AMERICA,
`
`versus
`PHILIP ESFORMES,
`
`
` Plaintiff-Appellee,
`
` Defendant-Appellant.
`
`
`____________________
`
`Appeal from the United States District Court
`for the Southern District of Florida
`D.C. Docket No. 1:16-cr-20549-RNS-1
`____________________
`
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 2 of 35
`
`2
`
`Opinion of the Court
`
`19-13838
`
`____________________
`
`No. 19-14874
`____________________
`
`
`UNITED STATES OF AMERICA,
`
`versus
`PHILIP ESFORMES,
`
`
` Plaintiff-Appellee,
`
` Defendant-Appellant.
`
`
`____________________
`
`Appeal from the United States District Court
`for the Southern District of Florida
`D.C. Docket No. 1:16-cr-20549-RNS-1
`____________________
`
`Before WILLIAM PRYOR, Chief Judge, JILL PRYOR, and GRANT, Cir-
`cuit Judges.
`WILLIAM PRYOR, Chief Judge:
`Philip Esformes challenges his convictions of healthcare
`fraud, illegal kickbacks, and money laundering and the related res-
`titution award and forfeiture judgment. After Esformes filed this
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 3 of 35
`
`19-13838
`
`Opinion of the Court
`
`3
`
`appeal, President Trump commuted his sentence of imprisonment
`and rendered any challenge to it moot. In his remaining challenges,
`Esformes argues that his indictment should have been dismissed
`because of prosecutorial misconduct, that the district court errone-
`ously admitted expert opinion testimony against him, that the ad-
`missible evidence against him was insufficient to sustain his convic-
`tions, and that the restitution award and forfeiture judgment
`should be vacated. We affirm.
`I. BACKGROUND
`Philip Esformes owned and operated the “Esformes Net-
`work”—several medical facilities in Miami-Dade County, Florida.
`The Network included “skilled nursing facilities,” residential med-
`ical facilities that provided services performed by nurses, such as
`physical therapy or the operation of sensitive medical devices.
`Medicare or Medicaid will pay for a stay at a skilled nursing facility
`only if the patient receives medical certification that the admission
`is necessary and if the patient spent at least three days in an acute-
`care hospital immediately before admission.
`After a grand jury indicted two of his associates, Gabriel and
`Guillermo Delgado, Esformes entered into a joint-defense agree-
`ment with the Delgados. The government later added a drug
`charge to Guillermo Delgado’s indictment that threatened a signif-
`icantly higher term of imprisonment. Esformes then “offered to
`pay a significant sum of money to [Guillermo] Delgado so that he
`could flee the United States and avoid prosecution in the United
`States.” The Delgados signed a sealed plea agreement, began
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 4 of 35
`
`4
`
`Opinion of the Court
`
`19-13838
`
`recording their conversations with Esformes, and passed along to
`the government multiple recordings, including some that involved
`conversations between Esformes and his attorneys.
`
`The following year, an indictment charged that Esformes
`
`and others conspired to use the Network to defraud Medicare and
`Medicaid of millions of dollars. The indictment alleged that Es-
`formes bribed doctors at local hospitals to refer patients to his
`skilled nursing facilities who did not need that care and that his
`Network provided unnecessary and expensive medical services to
`those patients and fraudulently inflated bills with services that the
`facilities did not provide. It further alleged that the conspirators
`split their ill-gotten gains with referring doctors and bribed state
`officials to gain advance notice of otherwise random inspections.
`And it alleged that they laundered the proceeds of their crimes by
`various means,
`including paying “[f]emale [c]ompanion[s,]”
`providing “limousine services” to Esformes, and bribing a Univer-
`sity of Pennsylvania basketball coach to aid the admission of Es-
`formes’s son.
`
`The Federal Bureau of Investigation promptly executed a
`search warrant for Esformes’s Eden Gardens medical facility to
`“seiz[e] . . . business records related to the health-care fraud inves-
`tigation of Esformes.” The government knew beforehand that
`Norman Ginsparg, an Illinois-licensed attorney who worked with
`Esformes, had an office at Eden Gardens. And a member of Es-
`formes’s defense team warned the agents that there were privi-
`leged materials at Eden Gardens.
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 5 of 35
`
`19-13838
`
`Opinion of the Court
`
`5
`
`The government established a “taint protocol” to identify
`privileged documents found in the search and to keep the prosecu-
`tion team from seeing them. It chose agents who were not other-
`wise involved in the investigation to conduct the search. But these
`measures failed.
`As the government now admits, “the agents conducting the
`search did not receive sufficient instructions on how to treat or
`identify potentially privileged materials[,]” and they passed on to
`the prosecution team a substantial portion—at least a hundred—of
`the privileged documents.
`The prosecution team started to review the Eden Gardens
`materials before prosecutors confirmed that the materials were not
`privileged and before Esformes received copies of the seized docu-
`ments. No prosecutor raised any privilege concerns until over four
`months after the Eden Gardens search, when Assistant United
`States Attorney Elizabeth Young received the scanned version of
`the documents and encountered a memorandum with a law firm’s
`header at the top. But at that point because of other disputes with
`Esformes’s counsel, Young had known about potential privilege is-
`sues for more than a month. And as the district court pointed out,
`when she encountered the obviously privileged document in De-
`cember, she did not consult with either Esformes’s defense team or
`the district court.
`The prosecutors not only reviewed privileged documents
`but also tried to use them against Esformes before trial on two oc-
`casions. First, the government presented privileged documents to
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 6 of 35
`
`6
`
`Opinion of the Court
`
`19-13838
`
`Norman Ginsparg, one of Esformes’s alleged co-conspirators, in an
`unsuccessful attempt to convince him to cooperate with the gov-
`ernment. And second, prosecutors interviewed one of Ginsparg’s
`assistants about the same privileged documents at length to deter-
`mine whether they incriminated Esformes. As the district court
`found, the prosecutors’ “myopic view of Ginsparg as a criminal and
`not an attorney skewed their reaction to, and blurred their ability
`to see, the potential for privilege” in these documents.
`Esformes moved to dismiss the indictment and to disqualify
`Young and other prosecutors due to their violations of his attorney-
`client and attorney work-product privileges. A magistrate judge
`found prosecutorial misconduct and even a bad-faith “attempt[] to
`obfuscate the record” of that misconduct. The magistrate judge ac-
`cordingly recommended suppressing the fruits of these intrusions
`on privilege. But the magistrate judge recommended that the dis-
`trict court reject Esformes’s request to dismiss the indictment or to
`disqualify members of the prosecution team. The magistrate judge
`reasoned that after the privileged materials were suppressed, Es-
`formes would not be further prejudiced: the recordings of privi-
`leged communications were evidence primarily for a count of the
`indictment that had been dismissed; no charges resulted from the
`privileged documents seized at Eden Gardens; and no privileged
`materials would be introduced at trial to prejudice Esformes. The
`district court found that the conversations between the Delgados
`and Esformes were not privileged and modified the suppression or-
`der to cover only the conversations between Esformes and his
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 7 of 35
`
`19-13838
`
`Opinion of the Court
`
`7
`
`attorneys, but the district court otherwise adopted the magistrate
`judge’s proposed remedies and rationale.
`Although the district court agreed with the magistrate judge
`that the prosecutors committed misconduct, it rejected the magis-
`trate judge’s finding of bad faith and dishonesty. During a hearing
`on the magistrate judge’s report and recommendation, the district
`court granted three prosecutors leave to be represented by private
`counsel to urge the district court to reverse those findings. The dis-
`trict court “f[ound] that it [was] unnecessary to adopt the Magis-
`trate Judge’s credibility determinations” and criticisms of the pros-
`ecution team’s “‘attempts to obfuscate the record,’ . . . particularly
`given the adverse consequences of such findings to the careers of
`the prosecutors.” Those credibility assessments played no role in
`the magistrate judge’s determination of the proper remedy; only
`the prejudice to Esformes mattered. But the district court still af-
`firmatively rejected the magistrate judge’s findings. The district
`court accepted the prosecutors’ explanation that they were con-
`fused, not mendacious, about the scope of Esformes’s invocations
`of privilege. It found it implausible that a prosecution team that
`tried, however incompetently, to maintain privilege protections
`would take the risk of fabricating a justification for its actions after
`the fact.
`
`At Esformes’s two-month trial, prosecutors presented three
`types of evidence material to this appeal. First, Esformes’s co-con-
`spirators, including Gabriel Delgado, testified about the conspir-
`acy, its means, and their roles in it. Second, the prosecutors
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 8 of 35
`
`8
`
`Opinion of the Court
`
`19-13838
`
`presented summary testimony from Michael Petron, who identi-
`fied various transactions in Esformes’s financial records as bribes,
`kickbacks, and efforts to conceal illegal proceeds. Third, Dr. David
`Cifu testified as an expert witness to explain how skilled nursing
`facilities work; what type of patients are suitable for stays in them;
`and how Medicare and Medicaid treat stays in skilled nursing facil-
`ities.
`
`Dr. Cifu serves as the Chairman of the Department of Phys-
`ical Medicine and Rehabilitation and as the Executive Director of
`the Center for Rehabilitation Sciences and Engineering at Virginia
`Commonwealth University. He has decades of experience with
`skilled nursing facilities. Dr. Cifu explained the “continuum of ser-
`vices” between acute-care hospitalization and less intense forms of
`care, such as skilled nursing facilities, and he reviewed hypothetical
`case studies of skilled-nursing-facility patients.
`Dr. Cifu testified that ordinarily, young, able-bodied psychi-
`atric patients are poor fits for skilled nursing facilities. He testified
`that, in his thirty years of experience, he did not remember a single
`patient “who just had behavioral issues who was in a [skilled nurs-
`ing facility].” He similarly could not recall a single patient at the
`five skilled nursing facilities at which he had worked who was ad-
`mitted from a psychiatric hospital. Prosecutors used this testimony
`to support their argument that Esformes’s patients who were ad-
`mitted to skilled nursing facilities for psychiatric reasons had been
`admitted for illegitimate reasons in violation of Medicare and Med-
`icaid guidelines.
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 9 of 35
`
`19-13838
`
`Opinion of the Court
`
`9
`
`After it allowed Dr. Cifu to testify, the district court admit-
`ted his expert opinions over Esformes’s objection under Daubert v.
`Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993). The dis-
`trict court evaluated Dr. Cifu’s qualifications, methodology, and
`helpfulness to the jury, see FED. R. EVID. 702, and found him qual-
`ified to inform the jury about care in skilled nursing facilities and
`the criteria for entering them “based upon his education, training,
`and experience.” It acknowledged that Dr. Cifu “didn’t do any test-
`ing” to support his conclusions but still found his testimony reliable
`because “some people by education and training can give testi-
`mony in an area” despite not relying on precise scientific methods.
`And it found that “his testimony was helpful to the jury in under-
`standing the relationship between how [skilled nursing facilities]
`work, how patients come in and out of [skilled nursing facilities],
`[and] what types of treatment are generally required in a [skilled
`nursing facility]” and that it “help[ed] them understand the rela-
`tionship between the Medicare rules and regulations and guide-
`lines as they pertain to [skilled nursing facilities] and other rehabil-
`itation facilities.” The district court also overruled Esformes’s ob-
`jection that the pretrial disclosures about Dr. Cifu were insufficient
`or misleading. It remarked that “there might be a case somewhere
`where defense has received more information about [an expert wit-
`ness] before a trial, but I haven’t seen one in my career.”
`Esformes contended that Dr. Cifu was not qualified to testify
`about whether psychiatric patients are commonly or properly ad-
`mitted to skilled nursing facilities. Dr. Cifu admitted on cross-
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 10 of 35
`
`10
`
`Opinion of the Court
`
`19-13838
`
`examination that he was not familiar with the procedures required
`by Florida law that were supposed to guarantee that no one enter
`a skilled nursing facility without medical necessity. See Fla. Admin.
`Code Ann. r. 59G-1.040. The district court rejected Esformes’s ar-
`guments, but it instructed the jury that “under appropriate circum-
`stances psychiatric patients are eligible for coverage for skilled
`nursing facility services under both Medicare and Medicaid.”
`
`The jury convicted Esformes on 20 counts. Esformes was
`convicted of one count of conspiracy to defraud the United States
`and to pay and receive healthcare kickbacks, two counts of receiv-
`ing kickbacks, four counts of paying kickbacks, one count of con-
`spiracy to commit money laundering, nine counts of money laun-
`dering, one count of conspiracy to commit federal program brib-
`ery, one count of conspiracy to commit federal program bribery
`and honest services wire fraud, and one count of obstruction of jus-
`tice. The jury failed to reach a verdict with respect to the six re-
`maining counts, and the government has stated that it intends to
`retry Esformes on those counts.
`The district court sentenced Esformes to 240 months of im-
`prisonment and three years of supervised release. It also awarded
`approximately $5.5 million in restitution payments based on its
`“highly conservative estimate” of the federal government’s loss
`owing to Esformes’s crimes and the estimated costs of his impris-
`onment and supervised release. The district court derived the loss
`figure—the same figure it used for the purpose of calculating Es-
`formes’s prison sentence—from defense counsel’s suggestion that
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 11 of 35
`
`19-13838
`
`Opinion of the Court
`
`11
`
`only one percent of the services for which Esformes billed Medi-
`care and Medicaid were skilled nursing facility services to non-el-
`derly psychiatric patients. The district court also ordered that Es-
`formes forfeit $38.7 million because it calculated that sum of
`money was “equal in value to the property traceable to the prop-
`erty involved in [Esformes’s] money laundering offenses.” See 18
`U.S.C. § 982(a)(1). That figure came from the summary witness,
`Petron, who estimated that Esformes personally profited that
`much from the Esformes Network. In a special verdict, the jury had
`previously found some of Esformes’s specific pieces of property—
`worth much less than $38.7 million—to be forfeitable. See FED. R.
`CRIM. P. 32.2(b)(5).
`
`After Esformes filed his appeal, then-President Donald
`Trump commuted Esformes’s term of imprisonment to time
`served but “le[ft] intact and in effect the remaining three-year term
`of supervised release with all its conditions, the unpaid balance of
`his . . . restitution obligation, if any, and all other components of
`the sentence.” The Bureau of Prisons released Esformes from cus-
`tody, and we allowed the parties to file supplemental briefs to “dis-
`cuss[] the impact, if any, of the presidential commutation of [Es-
`formes’s] sentence on this appeal.”
`II. STANDARDS OF REVIEW
`We decide jurisdictional issues de novo. United States v.
`Lopez, 562 F.3d 1309, 1311 (11th Cir. 2009). We review decisions
`not to dismiss an indictment and to admit expert opinion testimony
`for abuse of discretion. United States v. Davis, 708 F.3d 1216, 1221
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 12 of 35
`
`12
`
`Opinion of the Court
`
`19-13838
`
`(11th Cir. 2013); United States v. Frazier, 387 F.3d 1244, 1258 (11th
`Cir. 2004) (en banc). “A district court abuses its discretion when it
`applies an incorrect legal standard, relies on clearly erroneous fac-
`tual findings, or commits a clear error of judgment.” United States
`v. $70,670.00 in U.S. Currency, 929 F.3d 1293, 1300 (11th Cir. 2019).
`We review a denial of a motion for acquittal for insufficient evi-
`dence de novo, “view[ing] the evidence in the light most favorable
`to the government.” United States v. Almanzar, 634 F.3d 1214,
`1221 (11th Cir. 2011). Finally, when reviewing the restitution
`award and forfeiture judgment, we review factual findings for clear
`error and questions of law de novo. United States v. Edwards, 728
`F.3d 1286, 1291 (11th Cir. 2013); United States v. Kennedy, 201 F.3d
`1324, 1329 (11th Cir. 2000).
`III. DISCUSSION
`We divide our discussion into five parts. First, we explain
`that the presidential commutation renders Esformes’s appeal of his
`prison sentence moot but does not otherwise affect his appeal. Sec-
`ond, we explain that the district court did not abuse its discretion
`when it declined to dismiss the indictment or to disqualify the pros-
`ecutors due to misconduct. Third, we affirm the admission of Dr.
`Cifu’s expert-opinion testimony. Fourth, we affirm the restitution
`amount as not clearly erroneous. And fifth, we hold that there was
`sufficient evidence for the jury to convict Esformes of money laun-
`dering and that the forfeiture judgment based on money launder-
`ing was lawfully calculated.
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 13 of 35
`
`19-13838
`
`Opinion of the Court
`
`13
`
`A. The Commutation of Esformes’s Prison Sentence Renders His
`Appeal of that Sentence Moot.
`Esformes contends that the commutation of his prison sen-
`tence renders his appeal of that sentence moot, bars retrial if this
`Court vacates any of his convictions, and “bars any attempt to fur-
`ther prosecute [him] on [c]ount [o]ne, the hung count” of conspir-
`acy to commit healthcare fraud and wire fraud. We agree—as does
`the government—with his first contention, and we need not ad-
`dress the second because we are not vacating any of his convic-
`tions. So, we need only address his last argument.
`
`Esformes argues that the President’s grant of clemency bars
`further prosecution on at least count one, on which the jury failed
`to reach a verdict. Esformes interprets the clemency warrant as “in-
`tended to end [his] incarceration, precluding any further prosecu-
`tion for the conduct at issue in this case.” Because count one is an
`indictment for the same conduct as the counts of conviction, he
`argues that a new trial on that count would violate the terms of the
`clemency warrant, the Double Jeopardy Clause, and his due pro-
`cess right to be free from vindictive prosecution.
`We cannot reach the merits of this argument because the
`hung counts were not the basis of a final judgment. With limited
`exceptions not relevant here, we review only final judgments. 28
`U.S.C. § 1291. “Final judgment in a criminal case means sentence.
`The sentence is the judgment.” Berman v. United States, 302 U.S.
`211, 212 (1937); see also United States v. Tovar-Rico, 61 F.3d 1529,
`1536 (11th Cir. 1995); United States v. Kaufmann, 951 F.2d 793, 794
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 14 of 35
`
`14
`
`Opinion of the Court
`
`19-13838
`
`(7th Cir. 1992) (“The judgment is obviously not final as to counts
`of the indictment which remain outstanding.”). The hung counts
`against Esformes were not part of the basis of his sentence, so they
`are not part of any judgment we have jurisdiction to review.
`B. The District Court Properly Declined to Dismiss the Indict-
`ment or Disqualify the Prosecution Team.
`The parties agree that prosecutors engaged in misconduct,
`
`but Esformes argues that the district court should have either dis-
`missed the indictment or disqualified the prosecutors instead of
`only suppressing the improperly obtained evidence. The govern-
`ment contends that Esformes failed to prove “demonstrable preju-
`dice” from the intrusion on his privilege when the suppression or-
`ders are considered, so dismissal of the indictment or disqualifica-
`tion of the prosecution team would have been improper. We agree
`with the government.
`
`“Federal courts possess the power and duty to dismiss fed-
`eral indictments obtained in violation of the Constitution or laws
`of the United States[,]” United States v. Pabian, 704 F.2d 1533, 1536
`(11th Cir. 1983), but “absent demonstrable prejudice, dismissal [is]
`plainly inappropriate as a remedy” for the violation of attorney-cli-
`ent privilege. United States v. Ofshe, 817 F.2d 1508, 1515 (11th Cir.
`1987). Without demonstrable prejudice, dismissal of an indictment
`is inappropriate “in the case of even the most egregious prosecuto-
`rial misconduct . . . .” United States v. Merlino, 595 F.2d 1016, 1018
`(5th Cir. 1979) (discussing a violation of Brady v. Maryland, 373
`U.S. 83 (1963)). Instead, the remedy should ordinarily be limited to
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 15 of 35
`
`19-13838
`
`Opinion of the Court
`
`15
`
`preventing the prosecution from using illegally obtained evidence
`against the defendant. Cf. United States v. Morrison, 449 U.S. 361,
`364–65 (1981).
`
`Esformes and his supporting amici curiae suggest that we
`should presume prejudice here. Esformes invokes our sister cir-
`cuit’s burden-shifting approach to assess prejudice: the Ninth Cir-
`cuit requires that the government make an affirmative showing of
`harmlessness if the prosecutors deliberately violated a defendant’s
`privilege and obtained information about the defendant’s trial strat-
`egy. See United States v. Danielson, 325 F.3d 1054, 1072 (9th Cir.
`2003). But Esformes did not explain why we should adopt this
`novel approach in his opening brief, and even if we considered his
`arguments or those of his amici, his suggested approach would be
`foreclosed by precedent.
`
`Our Court has explained that the prejudice that can warrant
`a dismissal of indictment must be “demonstrable,” not presumed
`based on a constitutional violation. Ofshe, 817 F.2d at 1515. As our
`predecessor circuit stated, “there is no per se rule requiring dismis-
`sal of the indictment as the sanction for the intrusion into the attor-
`ney-client relationship by government agents.” United States v.
`Melvin, 650 F.2d 641, 643 (5th Cir. Unit B Jul. 1981).
`
`Esformes has not even attempted to satisfy his burden of
`proving prejudice. The district court applied the correct legal stand-
`ard and found that the privilege violations did not prejudice Es-
`formes because the privileged materials did not serve as either the
`basis for the charges against him or the evidence admitted at trial.
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 16 of 35
`
`16
`
`Opinion of the Court
`
`19-13838
`
`Nor did the privilege violations provide the government with any
`strategic advantage. Esformes has not sought to establish that this
`finding is clearly erroneous. Esformes also argues that the admitted
`recordings of his conversations with the Delgados were privileged,
`but we agree with the district court that these conversations were
`not privileged because they were not between an attorney and his
`client.
`Esformes also challenges the decision to reject the magis-
`trate judge’s finding that the prosecutors acted in bad faith, but we
`decline to address this issue because it does not affect the outcome
`of this appeal. The district court explained that, even if it had ac-
`cepted the magistrate judge’s finding of bad faith, that finding
`would not have affected its choice of remedy. Because we affirm
`the finding of no prejudice, the issue of bad faith likewise cannot
`affect our disposition of this appeal.
`C. Assistant United States Attorney Young Did Not Have a Con-
`flict of Interest.
`Esformes also argues that prosecutor Elizabeth Young “had
`multiple conflicts of interest that should have disqualified her as a
`matter of law . . . .” He argues that she should have been disquali-
`fied because she “inject[ed] her personal interest in opposition to
`Esformes’[s] motions to dismiss or disqualify” and impermissibly
`served as both a witness and an advocate in the disqualification pro-
`ceedings. We reject these arguments.
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 17 of 35
`
`19-13838
`
`Opinion of the Court
`
`17
`
`1. Young Was Not an “Interested Prosecutor.”
`“[F]ederal prosecutors are prohibited from representing the
`
`[g]overnment in any matter in which they, their family, or their
`business associates have any interest.” Young v. United States ex
`rel. Vuitton et Fils S.A., 481 U.S. 787, 803 (1987) (citing 18 U.S.C.
`§ 208(a)). The decision in Young “establish[ed] a categorical rule
`against the appointment of an interested prosecutor”: such an ap-
`pointment is treated as a structural error not subject to harmless-
`error analysis. Id. at 814 (plurality opinion); see also United States
`v. Siegelman, 786 F.3d 1322, 1329 (11th Cir. 2015).
`
`Esformes argues that Young was “interested” because she
`had a personal, professional interest in having the magistrate
`judge’s finding of bad faith reversed. Young was represented by
`outside counsel at the disqualification hearing, and her counsel em-
`phasized that “the findings as recommended by the magistrate
`[would] have serious ramifications to Ms. Young professionally.”
`According to Esformes, Young “put her self-interest at the center
`of this controversy[,]” and the district court wrongly took that per-
`sonal interest into account when it specifically cited “the adverse
`consequences of [the magistrate judge’s credibility] findings to the
`careers of the prosecutors.” Because Young had a “dominant role
`in Esformes’[s] prosecution[,]” Esformes maintains that her conflict
`of interest is enough to require vacatur of his convictions. We dis-
`agree.
`Young’s professional interest in avoiding sanctions from the
`district court did not disqualify her as an “interested prosecutor.”
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 18 of 35
`
`18
`
`Opinion of the Court
`
`19-13838
`
`Every advocate has a personal, professional interest in the success
`of his matters. And every attorney has a strong personal interest in
`avoiding sanctions by a court, formal or not, because of their po-
`tential impact on an attorney’s career. We recognized the magni-
`tude of this interest in United States v. Shaygan, in which we held
`that it was a violation of prosecutors’ due process rights for a court
`to publicly reprimand them without notice and an opportunity to
`be heard, including the benefit of personal legal representation. 652
`F.3d 1297, 1317–18 (11th Cir. 2011). Young exercised the rights we
`recognized in Shaygan to challenge a sanction against her. A pros-
`ecutor who exercises her constitutional right to protect her profes-
`sional reputation does not disqualify herself from further proceed-
`ings by that same act. If self-defense of that sort were enough to
`require recusal, any accused could disqualify his prosecutors by ac-
`cusing them of misconduct.
`
`2. Young Did Not Violate the Advocate-Witness Rule.
`Esformes also argues that Young violated the rule that advo-
`
`cates may not testify in a case when she participated in the hearing
`on the motion to disqualify her, see United States v. Hosford, 782
`F.2d 936, 938 (11th Cir. 1986), but this challenge also fails. Even if
`it were error for Young to have testified at the hearing before the
`magistrate judge, Esformes invited that error when he called her to
`the stand, and he cannot complain about it now. See United States
`v. Ross, 131 F.3d 970, 988 (11th Cir. 1997). But apart from the in-
`vited-error bar, we would reject Esformes’s argument because
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 19 of 35
`
`19-13838
`
`Opinion of the Court
`
`19
`
`Young was not a “witness” in the sense governed by the advocate-
`witness rule.
`Esformes’s objection misunderstands the advocate-witness
`rule. That rule responds to the concern that “the prestige or prom-
`inence of a government prosecutor’s office will artificially enhance
`his credibility as a witness” or that “the performance of dual roles
`by a prosecutor might create confusion on the part of the trier of
`fact as to whether the prosecutor is speaking in the capacity of an
`advocate or of a witness . . . .” Hosford, 782 F.2d at 938–39 (quoting
`United States v. Johnston, 690 F.2d 638, 643 (7th Cir. 1982)). The
`classic case involves an advocate testifying against the defendant at
`trial. See, e.g., Walker v. Davis, 840 F.2d 834, 836 (11th Cir. 1988)
`(“[The prosecutor and the defendant] were the only two witnesses
`to give testimony concerning [the defendant’s] alleged confes-
`sion.”) Young was not testifying to the jury about the charges in
`the case but was instead testifying to a magistrate judge about her
`own investigatory work. She was not serving as both an advocate
`and a witness in the way that the traditional rule envisions, and so
`her actions were consistent with the rule’s requirements.
`
`D. The District Court Properly Admitted Dr. Cifu and Denied Es-
`formes’s Motion for Acquittal.
`Esformes argues that the district court abused its discretion
`
`when it admitted Dr. Cifu’s expert testimony and that this error
`entitles him to acquittal or vacatur “on the counts involving
`healthcare services, including [c]ount [o]ne which resulted in a
`hung-jury.” As we explained above, we lack jurisdiction to consider
`
`

`

`USCA11 Case: 19-13838 Document: 118-1 Date Filed: 01/06/2023 Page: 20 of 35
`
`20
`
`Opinion of the Court
`
`19-13838
`
`his arguments with respect to count one. We reject his other argu-
`ments because the district court did not abuse its discretion when
`it admitted Dr. Cifu’s testimony.
`
`Esformes challenges the admission of Dr. Cifu’s testimony
`on three grounds. First, he argues that Dr. Cifu’s testimony differed
`so greatly from the government’s pretrial disclosures that it should
`not have been allowed. Second, he argues that the district court
`erred by deferring its Daubert ruling until after Dr. Cifu testified.
`And third, he argues that the district court did not properly apply
`the Daubert factors when it admitted Dr. Cifu’s testimony.
`
`Esformes offers a skeletal argument, similar to his two ob-
`jections before the district court, that “the substance of [Dr.] Cifu’s
`trial testimony differed materially from the government’s pretrial
`disclosures.” But aside from a bare citation to the disclosures, Es-
`formes does not support his assertion. “We have long held that an
`appellant abandons a claim when he either makes only passing ref-
`erences to it or raises it in a perfunctory manner without support-
`ing arguments and authority.” Sapuppo v. Allstate Floridian Ins.
`Co., 739 F.3d 678, 681 (11th Cir. 2014). So we decline to address the
`merits of this contention.
`
`Esformes’s next argument is that “the district court faile

This document is available on Docket Alarm but you must sign up to view it.


Or .

Accessing this document will incur an additional charge of $.

After purchase, you can access this document again without charge.

Accept $ Charge
throbber

Still Working On It

This document is taking longer than usual to download. This can happen if we need to contact the court directly to obtain the document and their servers are running slowly.

Give it another minute or two to complete, and then try the refresh button.

throbber

A few More Minutes ... Still Working

It can take up to 5 minutes for us to download a document if the court servers are running slowly.

Thank you for your continued patience.

This document could not be displayed.

We could not find this document within its docket. Please go back to the docket page and check the link. If that does not work, go back to the docket and refresh it to pull the newest information.

Your account does not support viewing this document.

You need a Paid Account to view this document. Click here to change your account type.

Your account does not support viewing this document.

Set your membership status to view this document.

With a Docket Alarm membership, you'll get a whole lot more, including:

  • Up-to-date information for this case.
  • Email alerts whenever there is an update.
  • Full text search for other cases.
  • Get email alerts whenever a new case matches your search.

Become a Member

One Moment Please

The filing “” is large (MB) and is being downloaded.

Please refresh this page in a few minutes to see if the filing has been downloaded. The filing will also be emailed to you when the download completes.

Your document is on its way!

If you do not receive the document in five minutes, contact support at support@docketalarm.com.

Sealed Document

We are unable to display this document, it may be under a court ordered seal.

If you have proper credentials to access the file, you may proceed directly to the court's system using your government issued username and password.


Access Government Site

We are redirecting you
to a mobile optimized page.





Document Unreadable or Corrupt

Refresh this Document
Go to the Docket

We are unable to display this document.

Refresh this Document
Go to the Docket