United States v. Srecko Darnell Walker
CourtCourt of Appeals for the Sixth Circuit
Date FiledSeptember 25, 2026
Docket25-1356
JudgeRichard Allen Griffin; Joan L. Larsen; Chad A. Readler
StatusPublished
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Full Opinion
RECOMMENDED FOR PUBLICATION
Pursuant to Sixth Circuit I.O.P. 32.1(b)
File Name: 26a0273p.06
UNITED STATES COURT OF APPEALS
FOR THE SIXTH CIRCUIT
┐
UNITED STATES OF AMERICA,
│
Plaintiff-Appellee, │
> No. 25-1356
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v. │
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SRECKO DARNELL WALKER, │
Defendant-Appellant. │
┘
Appeal from the United States District Court for the Western District of Michigan at Grand Rapids.
No. 1:22-cr-00162-1—Hala Y. Jarbou, District Judge.
Argued: June 4, 2026
Decided and Filed: September 25, 2026
Before: GRIFFIN, LARSEN, and READLER, Circuit Judges.
COUNSEL
ARGUED: Melissa M. Salinas, Katherine Cleary, Sophia Poe, FEDERAL APPELLATE
LITIGATION CLINIC, Ann Arbor, Michigan, for Appellant. Austin J. Hakes, UNITED
STATES ATTORNEY’S OFFICE, Grand Rapids, Michigan, for Appellee. ON BRIEF:
Melissa M. Salinas, Katherine Cleary, Sophia Poe, FEDERAL APPELLATE LITIGATION
CLINIC, Ann Arbor, Michigan, for Appellant. Austin J. Hakes, UNITED STATES
ATTORNEY’S OFFICE, Grand Rapids, Michigan, for Appellee.
LARSEN, J., delivered the opinion of the court in which GRIFFIN and READLER, JJ.,
joined. READLER, J. (pp. 11–20), delivered a separate concurring opinion.
No. 25-1356 United States v. Walker Page 2
_________________
OPINION
_________________
LARSEN, Circuit Judge. A jury convicted Srecko Walker of three counts related to his
involvement in a drug conspiracy. Walker appeals his convictions. For the reasons stated, we
AFFIRM.
I.
Srecko Walker, Hugo Benavides, and Steven Rasic were involved in a cocaine
conspiracy. Walker ordered cocaine from a supplier near the United States-Mexico border.
Benavides, acting on the supplier’s behalf, mailed the cocaine to Walker. Walker paid Rasic, a
postal worker, to deliver the packages to stops along Rasic’s mail routes. Investigators
intercepted two of the packages and found kilograms of cocaine inside.
On October 4, 2022, law enforcement observed Angel Moulds purchasing cocaine from
Walker. Police were surveilling Walker at the time and knew that he drove a Jeep Grand
Cherokee. Electronic surveillance showed Walker driving the Jeep from a house on Wagner
Ave., owned by his girlfriend, to a parking lot. From there, officers saw Moulds walk up to
Walker’s vehicle, reach inside, and then return to her own vehicle. Walker drove away, and law
enforcement stopped Moulds; she admitted to having just bought cocaine from her dealer, whom
she called “Rico.” Police recovered the cocaine from Moulds’s vehicle. Police continued to
surveil Walker that day; they saw him leave from the Wagner Ave. house, conduct a similar
suspected drug transaction, and then return to the Wagner Ave. house.
Later that day, police obtained and executed a search warrant for the Wagner Ave. house.
Inside the house, police found cocaine and drug paraphernalia, and they recovered Walker’s cell
phone from the Jeep. Once these items were recovered, Walker admitted to selling drugs,
obtaining them from an out-of-state supplier, and sending drugs through the mail. He also
confirmed his phone number, which was the same number Moulds had used during the drug
purchase.
No. 25-1356 United States v. Walker Page 3
A grand jury charged Walker with three cocaine offenses: conspiring to distribute and to
possess with intent to distribute, distribution, and possession with intent to distribute. During a
proffer interview with the government, Walker admitted to his role in the conspiracy. He then
moved to suppress the evidence found during the search of his home. The district court denied
the motion. Walker went to trial. The jury convicted him as charged. The district court
sentenced Walker to 360 months’ imprisonment. He appeals.
II.
Suppression Motion. Walker first challenges the district court’s denial of his motion to
suppress the evidence stemming from the search of the Wagner Ave. residence. We review the
lower court’s “factual findings for clear error and its legal conclusions de novo.” United States
v. Santiago, 139 F.4th 570, 573 (6th Cir. 2025) (citation omitted). When deciding whether to
suppress evidence seized pursuant to a warrant, the district court owes “great deference” to “the
issuing judge’s probable cause determination.” United States v. Sanders, 106 F.4th 455, 461 (6th
Cir. 2024) (en banc) (citation omitted). On appeal, this court is “mindful of the deference the
district court” owed to the warrant-issuing judge. Id.
Probable cause exists when there is a “fair probability” or “reasonable grounds to
believe” that evidence of a crime or contraband will be found in a particular place. Id. (citations
omitted). “[P]robable cause is not a high bar,” so “it follows that a warrant’s validity should not
turn on whether it is supported by an actual showing of criminal activity at the targeted location.”
Id. at 462 (citation modified). Instead, we “ask whether officers” seeking the warrant “provided
direct or circumstantial support to create more than mere suspicion that contraband will be found
at the location in question.” Id. (citation modified).
When considered as a whole, the warrant affidavit here cleared the probable-cause bar.
The affidavit detailed Walker’s criminal history—including that he is “currently on Federal
probation for the charge of Narcotics sell/distribute” and that he had “three prior State of
Michigan narcotic convictions from 2007 through 2015 and one prior Federal charge of
possession with intent to distribute cocaine from 2017.” R. 35-1, Warrant Aff., PageID 63. The
affiant was aware that he left the Wagner Ave. house and traveled to the parking lot of a store
No. 25-1356 United States v. Walker Page 4
where the affiant observed a drug transaction between Walker and Moulds. The affidavit then
described the subsequent stop of Moulds, whom the affiant identified “as the female [he had]
observed make a hand-to-hand transaction” with Walker. Id. at 63. The affiant seized cocaine
from Moulds’s vehicle. Moulds named her supplier as “Rico” and provided his phone number to
the affiant. A records check verified that phone number as Walker’s. Later that same day, police
observed Walker again leave the Wagner Ave. house, get into the driver’s seat of the car with a
child, and drive to a store parking lot. There, he made contact with an unknown male for less
than thirty seconds and returned to the Wagner Ave. house. Further, the affidavit stated that
Walker was in a relationship with the owner of the Wagner Ave. house and that he was driving
the vehicle registered to the owner. The affidavit concluded that based on the affiant’s training
and experience, a search would uncover evidence of drug dealing at the Wagner Ave. residence.
Taken all together, Walker’s history of narcotics trafficking and the affiant’s observations of two
drug sales (one confirmed and one suspected), shortly after Walker left the Wagner Ave.
residence, created probable cause to believe that a search would uncover illegal contraband. See
Sanders, 106 F.4th at 462; see also United States v. Reed, 993 F.3d 441, 448 (6th Cir. 2021);
United States v. Ellison, 632 F.3d 347, 349 (6th Cir. 2011).
In response, Walker offers cases involving more robust affidavits than the one here. See
e.g., United States v. Jones, 817 F.3d 489, 490 (6th Cir. 2016); Ellison, 632 F.3d at 349. To be
sure, many cases involve affidavits containing more detail than the one at issue in this case. But
the question is not whether the officers here could have done a better job. See United States
v. Christian, 925 F.3d 305, 310 (6th Cir. 2019) (en banc); Sanders, 106 F.4th at 462–63. We ask
only if the affidavit meets the relatively low burden of establishing probable cause. Sanders,
106 F.4th at 462. The affidavit does so here.
Walker protests that the affidavit doesn’t do enough to establish probable cause to search
the Wagner Ave. house because the affidavit did not do enough either to connect evidence of
drug dealing to the residence or to demonstrate that Walker lived at the residence. But a
“practical, common sense evaluation of all of the circumstances” shows that the affidavit
contained sufficient information to search the residence. United States v. Williams, 544 F.3d
683, 686 (6th Cir. 2008) (citation modified). Walker left the Wagner Ave. house immediately
No. 25-1356 United States v. Walker Page 5
prior to the confirmed sale to Moulds. He drove “straight to” the sale point, making no stops
along the way. R. 35-1, Warrant Aff., PageID 62. He returned to the house sometime
afterwards. Later that day, he again left the Wagner Ave. house, got into the Jeep with a child,
and was surveilled driving to the suspected drug exchange with an unknown male at the store.
Afterward, he returned to the Wagner Ave. house. His girlfriend of six years owned both the
house and the Jeep. This was sufficient to suggest that evidence of drug dealing would be found
in the Wagner Ave. house and to establish probable cause to search it. See Christian, 925 F.3d at
310.
Even if the warrant affidavit didn’t establish probable cause, however, the good-faith
exception required denial of the suppression motion. See United States v. Leon, 468 U.S.
897 (1984). The exclusionary rule doesn’t “bar from admission ‘evidence seized in reasonable,
good-faith reliance on a search warrant that is subsequently held to be defective.’” Christian,
925 F.3d at 312 (quoting Leon, 468 U.S. at 905). If the warrant affidavit “here could be deemed
insufficient to establish probable cause, then this is a case in the very heartland of the Leon
exception.” Id. The affidavit is not “bare bones.” Id. An affidavit is “bare bones” if it is “so
lacking in indicia of probable cause as to make an officer’s belief in its existence objectively
unreasonable.” Id. (citation modified). Even if one could “split hairs with the affidavit in this
case, it is impossible to deny that it contains factual allegations, not just suspicions or
conclusions.” Id. at 313. “Importantly, each factual allegation, regardless of any infirmities, at
least purports to link [Walker] to drug trafficking at [the Wagner Ave. house].” Id. After all, the
officers watched Walker conduct a drug transaction immediately after leaving the residence. So,
in the alternative, the good-faith exception applies.
The district court didn’t err by denying Walker’s motion to suppress.
Proffer Statements. Walker argues that the district court erred at trial by admitting
statements from a proffer session between Walker and law enforcement.
We take “a two-step approach to deciding whether the district court properly admitted a
proffer.” United States v. Grogan, 133 F.4th 553, 558 (6th Cir. 2025). First, we review the
agreement de novo to see if it applies. Id. If it does, “we review for abuse of discretion the
No. 25-1356 United States v. Walker Page 6
district court’s evidentiary rulings admitting the proffer statements, and we will not reverse
unless an error affects a substantial right.” Id. (citation modified).
As a general matter, statements “made during plea discussions with an attorney for the
prosecuting authority” are inadmissible at trial “if the discussions did not result in a guilty plea or
they resulted in a later-withdrawn guilty plea.” Fed. R. Evid. 410(a)(4); see also Grogan,
133 F.4th at 558. A defendant can waive this provision, however, by “consent[ing] to the
government’s use of his proffer statements in court if he offers inconsistent evidence.” Grogan,
133 F.4th at 558. Here, pursuant to the proffer agreement, the government “promise[d] not to
introduce at trial or any hearing at which [Walker] is the accused[,] any statements made by
[Walker] at the proffer meeting.” R. 180-1, Proffer Agreement, PageID 611. But there was one
pertinent exception. “In the event [Walker] testifie[d] or offer[ed] evidence or arguments
materially inconsistent with the proffered information, the United States reserve[d] the right to
use the proffered information both as substantive evidence and for impeachment in all
proceedings.” Id. Walker agreed that he “underst[ood] that in such case, he waives the
protection of Rule 410(a)(4).” Id.
At the beginning of trial, the government informed the court that it believed Walker’s
opening argument contained material inconsistencies with Walker’s proffer statements.
Particularly, the government identified statements made by counsel indicating that the evidence
would not show that “Walker joined a conspiracy in this case, as he’s charged.” R. 264, Trial
Tr., PageID 1412–13. Or that Walker “possessed the cocaine with the intent to distribute it to
others.” Id. at 1413. While the government did not “object[] to the content of Defense
Counsel’s argument[s],” it believed that those arguments were “inconsistent with what Mr.
Walker himself stated during [the] proffer interview.” Id. Believing that Walker had opened the
Rule 410 door, the government indicated that it planned (with the court’s approval) to introduce
Walker’s proffer statements through witnesses.
Defense counsel responded: “We have known that if we were going to proceed to trial,
that we were going to offer one or more theories, if you will, that would be inconsistent with
what was said in the proffer.” Id. at 1416. He “concede[d] to the [c]ourt that there are some
sections of the proffer interview that are inconsistent with the opening statement.” Id. at 1417.
No. 25-1356 United States v. Walker Page 7
But, defense counsel continued, “[t]here are plenty of sections that have nothing to do with the
opening statement. And I don’t know that it opens the door to use it completely. But to the
extent that the [c]ourt would find that there are sections that are inconsistent, . . . the proffer
agreement is what it is. It says what it says.” Id. The court then said, “What I’m hearing is that
maybe there may be portions that you don’t think are inconsistent and, therefore, should not be
allowed to be brought in?” Id. Defense counsel responded, “Yes, Your Honor.” Id. The court
then asked, “So if they are relevant to or relate to this argument that you’re making that it’s not a
conspiracy but that it’s a buyer-seller relationship, don’t you agree that they would also be
relevant to come in?” Id. Defense counsel stated, “I would have to agree to that.” Id. The court
responded, “Okay. Then I’m not hearing specifically which portions potentially. But if we get
there, I assume you’ll tell me, unless you can tell me now.” Id. Defense counsel said, “I can’t.
I’d have to see what the witness intends to do.” Id. The court then swore Walker in and he
personally confirmed his agreement with this strategy. And defense counsel offered no objection
to any proffer statement later admitted at trial.
Walker waived his Rule 410 challenge. “Waiver is the intentional relinquishment or
abandonment of a known right.” United States v. Olano, 507 U.S. 725, 733 (1993) (citation
modified). Waiver “extinguish[es] an error,” and the error cannot be reviewed on appeal. Id.
(citation modified).
Defense counsel “concede[d] to the [c]ourt that there are some sections of the proffer
interview that are inconsistent with the opening statement.” R. 264, Trial Tr., PageID 1417. He
also conceded that, among those, was the opening statement’s suggestion that Walker was
involved only in a buyer-seller relationship, and not a conspiracy. Finally, he conceded that the
contrary statements in his proffer that were “relevant to or relate to this argument . . . that it’s not
a conspiracy but that it’s a buyer-seller relationship” should therefore “come in.” Id. These
concessions waived any claim that the parts of the proffer statements confessing his role in the
conspiracy were not admissible. See United States v. Fowler, 819 F.3d 298, 306 (6th Cir. 2016).
But that is the only claim Walker makes on appeal. He argues that since “[t]he opening
statement was neither evidence nor argument,” “it was therefore improper for the proffered
statements to be introduced based on alleged inconsistencies with the opening statement.”
No. 25-1356 United States v. Walker Page 8
Walker Br. at 35. But his counsel conceded that the opening statement opened the door and
rendered contrary statements admissible. He then disputes whether anything “Walker’s counsel
said during his opening statement” materially conflicted with statements in the proffer. Id. at 36.
But he points only to statements pertaining to his involvement in the conspiracy, and his counsel
conceded that such statements should “come in.” Walker’s arguments therefore are waived, and
his Rule 410 challenge fails. Fowler, 819 F.3d at 306.
Confrontation Clause. Walker next argues that the district court violated his Sixth
Amendment right to confront a witness at trial, co-defendant Rasic.
The Confrontation Clause “guarantees the right of an accused in a criminal prosecution
‘to be confronted with the witnesses against him.’” Delaware v. Van Arsdall, 475 U.S. 673,
678 (1986) (quoting U.S. Const. amend. VI). The right includes “a face-to-face meeting with
witnesses appearing before the trier of fact,” Coy v. Iowa, 487 U.S. 1012, 1016 (1988), and “an
adequate opportunity to cross-examine adverse witnesses,” United States v. Owens, 484 U.S.
554, 557 (1988); see also Crawford v. Washington, 541 U.S. 36, 53–54 (2004). Walker contends
that he had no opportunity to cross-examine Rasic.
The government called Rasic as a witness. He identified Walker as a drug dealer. But
Rasic was excused shortly thereafter because of an illness. Apparently still unwell, Rasic did not
appear in court the following day. So the parties and the court discussed what to do about
Rasic’s testimony. The government said it would defer to defense counsel regarding how to
handle the situation. Defense counsel and the court then discussed whether to put the trial on
hold until Rasic could testify or “instruct the jury that it needs to disregard everything that Mr.
Rasic said.” R. 266, Trial Tr., PageID 1861–62. Ultimately, defense counsel requested that “the
Court instruct the jury to disregard everything that Rasic said and that we move on from there.”
Id. at 1862. The government, for its part, indicated that it “would welcome” the “curative
instruction” described by defense counsel. Id. at 1863. The court again swore Walker in and he
also personally confirmed that he agreed with the proposed curative instruction. The court gave
the instruction as crafted by the parties.
No. 25-1356 United States v. Walker Page 9
Walker waived his Confrontation Clause challenge. Despite knowing that he would lose
his ability to cross-examine Rasic, Walker’s “request,” through counsel, was “that the Court
instruct the jury to disregard everything that Rasic said and that we move on from there.”
R. 266, Trial Tr., PageID 1862. Walker’s counsel proposed the limiting instruction and helped
craft its language. In so doing, Walker intentionally relinquished any rights under the
Confrontation Clause. Olano, 507 U.S. at 733.
Walker nonetheless argues that there was no waiver. He focuses on his personal response
when the court, solicitously, asked how he would like to proceed. Walker says that he could not
have waived his confrontation rights because some of his statements regarding the limiting
instruction were equivocal, such as Walker saying “[a] little bit” or “I’m pretty sure.” Reply Br.
at 24 (citing R. 266, Trial Tr., PageID 1864, 1866).
The trial court was solicitous of Walker’s views and sought his explicit buy-in.1 And
fully considering Walker’s responses, it is clear he understood. The court told Walker that one
option would be to delay the trial until Rasic could appear; alternatively, the court could instruct
the jury to disregard Rasic’s testimony. Walker said he was “comfortable with” the limiting
instruction. R. 266, Trial Tr., PageID 1865. After further discussion and questions from the
court, Walker said, “I think what you’re telling me right now is what [Rasic] said yesterday,
you’re going to tell the jurors not to pay attention to it.” Id. at 1866. The court responded,
“Completely disregard it. They’re not to take it into account at all in their deliberations.” Id. at
1866–67. Walker responded, “Okay. Yeah. I understand.” Id. at 1867. So there was no
equivocation from Walker. And there certainly was no equivocation from his counsel. Walker
waived any Confrontation Clause challenge.2
1Such solicitude may have been unnecessary. Very few trial decisions require a personal waiver on the
part of the defendant. See Taylor v. Illinois, 484 U.S. 400, 417–18 & n. 24 (1988) (noting that counsel has “full
authority to manage the conduct of [a] trial”). The Supreme Court has singled out, for example, whether the
defendant will “plead guilty, waive a jury, testify in his or her own behalf, or take an appeal.” Jones v. Barnes,
463 U.S. 745, 751 (1983). But for the vast majority of decisions, a defendant is bound by the decisions of his
counsel, and the Supreme Court has suggested that that includes whether to “forgo cross examination” of a
particular witness. Taylor, 484 U.S. at 418. We need not decide that issue here, however, because the parties have
not raised it and because Walker’s agreement was unequivocal in any event.
2Walker also argues that “[e]ven if the errors regarding the proffered statements and the unconfronted
testimony could be seen as individually harmless, their cumulative prejudicial effect rendered Mr. Walker’s trial
No. 25-1356 United States v. Walker Page 10
***
We AFFIRM.
fundamentally unfair in violation of due process.” Walker Br. at 50. There was no error so it follows that there was
no cumulative error. See United States v. Sypher, 684 F.3d 622, 628 (6th Cir. 2012).
No. 25-1356 United States v. Walker Page 11
_________________
CONCURRENCE
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READLER, Circuit Judge, concurring. During pre-trial proceedings, Srecko Walker sat
for a proffer session with the government. In conjunction with his proffer, Walker signed an
agreement that conditionally waived his right to object to the government’s use of his proffer
statements against him at all stages of trial. When Walker’s proffer did not lead to a resolution
of his prosecution, his case proceeded to trial, at which point the government invoked Walker’s
waiver agreement for purposes of admitting into evidence Walker’s proffer statements. Those
admissions effectively foreclosed the primary arguments Walker hoped to develop at trial.
Walker was found guilty on all charges.
I join in full the Court’s thoughtful opinion, including its disposition of Walker’s
challenge to the admission of his proffer statements. Walker plainly waived any argument
against their admission when his trial counsel agreed that the defense he presented had opened
the door to their use. That said, it bears noting that the waiver agreement Walker executed was
far broader than the agreement approved of in United States v. Mezzanatto, 513 U.S. 196 (1995),
which permitted the government to use a defendant’s proffer statements only for impeachment
purposes should he testify. If Walker’s case is any indicator, the proffer process has evolved
over the three decades following Mezzanatto, and dramatically so at times. Today, some
defendants are asked to sign waivers that authorize the admission of their proffer statements at
trial whenever the defendant makes an argument in tension with the government’s theory of the
case, impeachment being just one example. Whether these modern practices have the potential
to affect the proffer process in ways that could erode that process altogether deserves further
reflection.
A. To tee up that discussion, begin with some background on the role proffer statements
play in our broader criminal justice system. In essence, a proffer session is a meeting in which
the subject of an investigation or prosecution provides information to the government, up to and
often including a confession, ordinarily in hopes of securing some manner of favorable
No. 25-1356 United States v. Walker Page 12
treatment. See 23 Wright & Miller, Federal Practice and Procedure § 5348 (2d ed., Apr. 2026
update). What that treatment can look like depends in part on the timing of the proffer.
Pre-indictment, a suspect may proffer in hopes of persuading the government not to charge him.
While an indictment closes that door, it opens others. At that juncture, a defendant may turn to
proffering to enhance his odds at securing immunity, a favorable plea, or an opportunity to
cooperate. See, e.g., U.S. Sent’g Guidelines Manual § 5K1.1 (U.S. Sent’g Comm’n 2025)
(providing for a sentence below the applicable Guidelines range, upon the government’s motion,
for a defendant who provides “substantial assistance in the investigation or prosecution of
another person”); United States v. Lyle, 856 F.3d 191, 197–98 (2d Cir. 2017) (defendant
proffered after indictment “in hope of reaching a cooperation agreement”).
No matter the point in time at which the proffer occurs, one aspect typically remains the
same: The proffering individual provides the government information before knowing what, if
anything, the government will offer in return. From the government’s perspective, that feature is
easily explained. Though its investigation may give it a rough sense of what information the
proffering individual will share, the government may not have the complete picture, nor does it
know whether the proffer statement will prove credible. So it would be unusual to expect the
government to offer any relief before it has heard the defendant’s statement. See Solomon L.
Wisenberg, Queen For A Day: The Dangerous Game of Proffers, Proffer Agreements and
Proffer Letters, available at https://perma.cc/XS3D-BJXP. At the same time, the proffering
individual may well view the process with some trepidation. After all, it often involves him
sharing self-incriminating information with the government without an assurance that he will
receive anything from the government in return.
With that concern in mind, the Federal Rules of Evidence in conjunction with the Federal
Rules of Criminal Procedure afford protections to the proffering party. Federal Rule of Criminal
Procedure 11(f) instructs that the admissibility of any plea, plea discussion, or related statement
is governed by Federal Rule of Evidence 410. And Rule 410, in turn, largely declares
inadmissible as against the defendant “a statement made during plea discussions with an attorney
for the prosecuting authority[, including a confession,] if the discussions did not result in a guilty
plea.” Fed. R. Evid. 410(a)(4). As a proffer session generally occurs in connection with efforts
No. 25-1356 United States v. Walker Page 13
to negotiate a plea agreement, Rule 410 serves to protect a defendant from having admitted
against him incriminating statements made in that setting. See David Jaffe, Proffer Agreements,
60 U.S. Att’ys’ Bull. 58, 59 (Nov. 2012) (explaining Rule 410’s application to statements made
during proffer sessions); see also Robert I. Smith III, Fair Play and Criminal Justice: Drafting
Proffer Agreements in Light of Total Waiver of Rule 410, 66 S.C. L. Rev. 809, 812 (2015)
(noting that proffers commonly occur during plea negotiations before an agreement has been
reached).
To formalize the proffer process, the government customarily asks the defendant to
execute a written proffer agreement. See Jodi L. Avergun & Douglas Cohan, Explaining the
Inexplicable: The Perks and the Perils of Proffer Sessions and Best Practices for Explaining It
All to Your Client A-15 (2015). That contract—sometimes colorfully referred to as a “Queen for
a Day” agreement—governs how, if at all, the government may use the individual’s statements in
criminal proceedings. See Michael J. Engle & Adam J. Petitt, “Queen for a Day”—Assessing
the Risks and Rewards of a Proffer Agreement, 31 No. 8 Westlaw J. White-Collar Crime 2, 2
(Apr. 28, 2017). In particular, because Rule 410 otherwise restricts the government’s use of
statements made during plea negotiations, proffer agreements often specify circumstances in
which the defendant waives those protections—for example, if the defendant later offers
testimony inconsistent with his proffer. See Wright & Miller, supra, § 5348; see, e.g., United
States v. Krilich, 159 F.3d 1020, 1024 (7th Cir. 1998) (conditional waiver provided that, “should
[defendant] subsequently testify contrary to the substance of the proffer or otherwise present a
position inconsistent with the proffer, nothing shall prevent the government from using the
substance of the proffer at sentencing for any purpose, at trial for impeachment or in rebuttal
testimony, or in a prosecution for perjury”). That assurance benefits the government in that it
bars Rule 410 from being invoked to shield inconsistencies between a defendant’s proffer and his
trial testimony. See Mezzanatto, 513 U.S. at 208 (explaining that conditional waivers serve as
“reliability assurance”). It may also benefit the defendant, albeit more indirectly; executing a
Rule 410 waiver arguably makes a defendant’s offer of cooperation more credible and thus more
valuable in the first place. See Krilich, 159 F.3d at 1025 (explaining that a waiver “keep[s] the
defendant honest” and thereby “makes the proffer device more useful to the both sides”); Eric
Rasmusen, Mezzanatto and the Economics of Self-Incrimination, 19 Cardozo L. Rev. 1541,
No. 25-1356 United States v. Walker Page 14
1565–69 (1998) (explaining that Rule 410 waivers can operate as commitment devices and
incentives for truthful cooperation).
As the use of Rule 410 waivers began to take hold, the practice underwent review by the
Supreme Court in Mezzanatto. See Mezzanatto, 513 U.S. at 196. By way of background,
Mezzanatto was charged with one count of possession of methamphetamine with intent to
distribute under 21 U.S.C. § 841(a)(1). Id. at 198–99. During the course of his prosecution,
Mezzanatto offered to make a proffer to the government regarding his involvement in
methamphetamine trafficking. Id. In conjunction with his proffer, Mezzanatto agreed to a
relatively narrow Rule 410 conditional waiver: If he later testified inconsistently with his
proffer, the government could use his statements to impeach him. Id. After executing the
waiver, Mezzanatto told prosecutors that he knew the substance he possessed was
methamphetamine. Id. at 198–99. The government ultimately terminated the proffer meeting
after concluding that Mezzanatto had not been completely truthful during the session. Id. His
case proceeded to trial, where Mezzanatto took the stand and denied knowing that the package
contained methamphetamine. Id. The government impeached him with his earlier admission
made during his proffer. Id. He was later convicted of the methamphetamine offense. Id.
On appeal, Mezzanatto challenged the enforceability of his Rule 410 waiver. And, at
least initially, he found success. The Ninth Circuit reversed his conviction, holding that Rule
410’s protection against the use of plea statements could not be waived. United States
v. Mezzanatto, 998 F.2d 1452, 1454–56 (9th Cir. 1993). But Mezzanatto’s success was
fleeting—the Supreme Court later reversed the Ninth Circuit. Starting from the familiar
presumption that a defendant is entitled to waive his own rights where that waiver is knowing
and voluntary, the Supreme Court saw no reason to treat a Rule 410 waiver differently.
Mezzanatto, 513 U.S. at 200–04. And because Mezzanatto understood the consequences of his
waiver yet knowingly executed the agreement, the Supreme Court concluded, the government
was entitled to hold him to his commitment. Id. at 210–11.
How that holding would play out in practice was the subject of some speculation. In a
concurring opinion, Justice Ginsburg, joined by Justices O’Connor and Breyer, explained that
she understood the Supreme Court to hold only that Rule 410 could fairly be waived for
No. 25-1356 United States v. Walker Page 15
impeachment purposes. Id. at 211 (Ginsburg, J., concurring); see also United States v. Burch,
156 F.3d 1315, 1320 (D.C. Cir. 1998) (recognizing the narrowness of the Mezzanatto holding).
A waiver permitting the government to use proffer statements in its case-in-chief, she cautioned,
might “more severely undermine a defendant’s incentive to negotiate.” Id. But that opinion was
not shared by all. In dissent, Justice Souter, joined by Justice Stevens, predicted that the
Supreme Court’s logic would reach beyond just impeachment. Once Rule 410 was deemed
presumptively waivable, the dissenters saw no principled reason why the government could not
demand waivers permitting broader use of a defendant’s statements. See id. at 217–18 (Souter,
J., dissenting).
B.1. Three decades later, federal practice offers some examples of the trend Justice
Souter anticipated. Even six years ago, a survey of proffer agreements from 17 U.S. Attorneys’
Offices, as well as what was then known as the Fraud Section of the Criminal Division of the
Department of Justice, along with the Securities and Exchange Commission, found that none
were limited to the impeachment use approved in Mezzanatto. See Ingrid S. Martin & Michael
R. DiStefano, A Survey of Federal Proffer Agreements: The Shortcomings and Pitfalls in the
Government’s Promised Protections, Champion, Sept./Oct. 2020, at 16, 17–18. Depending upon
the jurisdiction, modern proffer waivers reach well beyond a mere impeachment waiver. See
Christopher B. Mueller & Laird C. Kirkpatrick, Federal Evidence § 4:72 (4th ed., July 2025
update) (“[T]he breadth of waivers has tended to expand in practice, just as the separate opinions
in Mezzanatto had anticipated (though there is much variation).”). They permit the government
to use a defendant’s statements to counteract contradictory evidence, inconsistent positions
advanced through cross-examination, and opening statements, among other aspects of trial. See
Richard B. Zabel & James J. Benjamin Jr., “Queen for a Day” or “Courtesan for a Day”: The
Sixth Amendment Limits to Proffer Agreements, 15 No. 9 White-Collar Crime Rep. 1, 1–3 (Oct.
2001) (describing prosecutors’ increasing use of waivers extending beyond impeachment in the
wake of Mezzanatto). Courts, in turn, have generally enforced these broad waivers, applying
them to a wide range of defense conduct. See, e.g., Lyle, 856 F.3d at 202–03 (opening
statements); United States v. Hardwick, 544 F.3d 565, 570–71 (3d Cir. 2008) (same); United
States v. Roberts, 660 F.3d 149, 157–58 (2d Cir. 2011) (documentary evidence); United States
v. Shannon, 803 F.3d 778, 783–84 (6th Cir. 2015) (cross examination).
No. 25-1356 United States v. Walker Page 16
That development is not difficult to understand as a doctrinal matter. Mezzanatto,
remember, rests on the premise that Rule 410’s protections, like fundamental constitutional
protections, may be waived. 513 U.S. at 200–01; see, e.g., United States v. Ellis, 115 F.4th 497,
500 (6th Cir. 2024) (recognizing that defendants may waive constitutional rights, including the
rights to a jury trial and against self-incrimination). And if Rule 410’s application to
impeachment is waivable, it is not obvious why a defendant may not waive Rule 410’s
protections more generally, including as to the use of a defendant’s proffer statements for
evidentiary purposes. See United States v. Mitchell, 633 F.3d 997, 1004 (10th Cir. 2011) (seeing
“no analytical distinction” between use in the government’s case-in-chief and use for
impeachment); United States v. Sylvester, 583 F.3d 285, 290–91 (5th Cir. 2009) (concluding
there is no “analytically coherent boundary” between impeachment, rebuttal, and case-in-chief
waivers).
Yet even if that extension is doctrinally consistent, it may come at a price to our criminal
justice system. Recall why the parties enter the proffer process in the first place. And consider
the relative inequalities in risk the process brings to bear. Through a proffer, a defendant offers a
candid account of what he knows in hopes of avoiding charges, securing immunity or a favorable
plea, or demonstrating his value as a cooperating witness. See Federal Criminal Practice
§ 10:97.2 (describing the role of proffers in plea and cooperation negotiations); see also Ben
Protess, Alan Feuer & Maggie Haberman, Giuliani Sat for Voluntary Interview in Jan. 6
Investigation, N.Y. Times (June 28, 2023) (describing the various reasons subjects of
investigations may proffer). At the same time, the defendant incurs sizable risk by providing the
government incriminating information before knowing whether the government will provide
anything in return. For the government, by comparison, the stakes appear to be dramatically
lower. As it hears the defendant’s account and assesses his candor and usefulness, the
government nonetheless is under no obligation to offer the defendant anything in return. See
Mezzanatto, 513 U.S. at 207; Dennis G. Terez, Substantial Reform for Substantial Assistance
Motions, 29 J. Legis. 89, 92–93 (2002) (describing the prosecution’s “almost complete
discretion” in assessing the value of a defendant’s cooperation for sentencing purposes).
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Broad proffer waivers further tip these uneven scales. In practice, they allow for the
possibility that an unsuccessful proffer will leave a defendant