United States v. David M. Shaw

David Shaw appeals from the district court’s order vacating Shaw’s guilty plea over his objection and claim of vindictive prosecution. The issues presented are: (1) whether the district court’s pretrial order is appealable as a “final decision” within the meaning of 28 U.S.C. § 1291 ; and (2) whether the government’s moving to vacate Shaw’s guilty plea after he moved to arrest judgment under F.R.Crim.P. 34 constitutes vindictive prosecution. We hold in the affirmative as to both issues.

I.

In August, 1979, the government informed Shaw that he was a target of an investigation into bid-rigging, bribery, kickbacks, and a conspiracy relating to the awarding of contracts by the Federal Reserve Bank of San Francisco, Los Angeles branch. The government proposed a plea agreement whereby Shaw would receive leniency in exchange for submitting to interviews by investigators, testifying before the grand jury, and testifying at the trials of others who might be indicted. Attorneys for Shaw and the government negotiated the terms of the plea agreement in a series of meetings held between August 1979 and January 1980. On January 31,1980, Shaw’s attorneys received a letter from the government…