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No. 10796841
United States Court of Appeals for the Ninth Circuit
United States v. Ruiz
No. 10796841 · Decided February 20, 2026
No. 10796841·Ninth Circuit · 2026·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
February 20, 2026
Citation
No. 10796841
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
UNITED STATES OF AMERICA, No. 24-386
D.C. No.
Plaintiff - Appellee,
3:23-cr-01331-
GPC-1
v.
ALEX RUIZ, AMENDED
OPINION
Defendant - Appellant.
Appeal from the United States District Court
for the Southern District of California
Gonzalo P. Curiel, District Judge, Presiding
Argued and Submitted October 21, 2025
Pasadena, California
Filed January 7, 2026
Amended February 20, 2026
Before: Ryan D. Nelson and Lawrence VanDyke, Circuit
Judges, and Douglas Russell Cole, District Judge.*
Opinion by Judge Cole
*
The Honorable Douglas Russell Cole, United States District Judge for
the Southern District of Ohio, sitting by designation.
2 USA V. RUIZ
SUMMARY**
Criminal Law
The panel affirmed Alex Ruiz’s conviction for
transporting illegal aliens in violation of 8 U.S.C. § 1324, in
a case in which Ruiz argued that the district court abused its
discretion in admitting into evidence a previous conviction
he received for the same crime.
The panel held that the district court did not abuse its
discretion in admitting the prior conviction under Fed. R.
Evid. 404(b), as that conviction satisfied each prong of the
test for admission: it tended to prove the material point of
knowledge; two years is not too remote in time; the
stipulation and redacted documents provided sufficient
evidence of the prior bad act; and, to the extent similarity is
needed, the prior crime was sufficiently similar to the
offense charged.
Noting that the record shows that the district court
implicitly considered the balancing test required by Fed. R.
Evid. 403, the panel held that the district court did not abuse
its discretion in performing this balancing and that any
resulting prejudice did not substantially outweigh the
probative value of the prior conviction.
Because Ruiz did not raise in the district court his
arguments that admitting the prior conviction violated both
due process and the Sixth Amendment, the panel reviewed
**
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
USA V. RUIZ 3
the constitutional challenge for plain error, which Ruiz did
not show.
COUNSEL
Peter Horn (argued), Eric Olah, and Shivanjali A. Sewak,
Assistant United States Attorneys; Daniel E. Zipp, Assistant
United States Attorney, Chief, Appellate Section, Criminal
Division; Adam Gordon, United States Attorney; Office of
the United States Attorney, United States Department of
Justice, San Diego, California; for Plaintiff-Appellee.
Benjamin P. Lechman (argued), Law Offices of Benjamin P.
Lechman Esq., Los Angeles, California, for Defendant-
Appellant.
OPINION
COLE, District Judge:
Defendant-Appellant Alex Ruiz appeals, on evidentiary
grounds, his conviction for transporting illegal aliens in
violation of 8 U.S.C. § 1324. Specifically, he argues that the
district court abused its discretion in admitting into evidence
at his current trial a previous conviction he received for that
same crime. According to Ruiz, doing so violated both
Federal Rule of Evidence 404(b) and the Constitution.
Neither argument works. Because evidence of the prior
conviction satisfies this court’s four-part test for
admissibility under Rule 404(b), the district court did not
4 USA V. RUIZ
abuse its discretion in admitting it. And Ruiz forfeited his
constitutional argument by failing to present it below, so we
review that issue for plain error, which Ruiz cannot show.
Thus, we affirm the district court.
I. Background
On June 10, 2023, Border Patrol Agents Ordoñez-Nuñez
and Guzman were driving in separate unmarked vehicles
along State Route (SR) 94 around Campo, California, less
than two miles from the United States-Mexico border. The
agents noticed an older, white Honda Civic driving ten miles
below the speed limit and weaving “in and out of lanes”
along the highway. Agent Ordoñez-Nuñez grew suspicious
of the vehicle because the driver and passenger kept looking
at him through the window and side mirror, and the car was
“sitting very low on the rear axle” as if it carried extra weight
in the back seat or trunk. After following the Civic for 15–
20 minutes, Agent Ordoñez-Nuñez ran a records check on
it—the search included the vehicle’s travel patterns, whether
it had gone through any immigration checkpoints, and where
it was registered. He learned the car was registered in La
Mesa, over fifty miles away, and had no history of traveling
in the area or through any checkpoints. Based on these
results, the agent “requested for a marked Border Patrol unit
to initiate a vehicle stop.”
Shortly after, Agent Mallon drove up in a marked car,
turned on the car’s lights and sirens, and attempted to pull
over the Civic. The car, however, did not stop; rather, it
continued at the same speed down the road. At that point,
the agents decided to deploy a vehicle immobilization
device, otherwise known as a spike strip. But the Civic
swerved around it. After that, a supervisor instructed the
agents other than Agent Guzman, who had not turned on his
USA V. RUIZ 5
lights or siren, to discontinue their pursuit. But, while Agent
Guzman continued following the Civic, he soon lost sight of
it for “approximately a minute or two.” When he next saw
the car, the Civic was “pulling back onto the road . . . two
tires on pavement, two tires on dirt,” and four people were
ten or fifteen yards off the roadway, running away. Agent
Guzman immediately reported a “bailout” on his radio.
A few minutes later, officers deployed a second spike
strip. This time, the Civic hit it and soon came to a stop.
Agents approached the vehicle and arrested Ruiz.
Agent Mallon, meanwhile, searched the area where the
“bailout” occurred and found shoe prints. The shoe prints
led him 50 yards away from the highway to a tree in which
four people were hiding. The four individuals were not U.S.
citizens and did not have valid immigration documents, so
Agent Mallon arrested all of them.
II. Procedural History
The government charged Ruiz with three counts of
Transportation of Certain Aliens and Aiding and Abetting,
in violation of 8 U.S.C. § 1324(a)(1)(A)(ii) and (v)(II).1 To
convict on the transportation charge, the government needed
to prove: (1) the individuals named in the information were
aliens, (2) those individuals were not lawfully in the United
States, (3) “the defendant knew or acted in reckless disregard
of the fact that the person specified in the count was not
lawfully in the United States,” and (4) “the defendant
knowingly transported or moved the person specified in the
count to help him remain in the United States illegally.” The
1
Ruiz was charged with one count for each person who was traveling in
his car. Jose Manuel Gomez Perez, the fourth person in his car, was
charged as a co-defendant, so he was not included as one of the counts.
6 USA V. RUIZ
parties stipulated that the three people named in the
information were aliens in the United States illegally,
satisfying the first two elements. The government’s burden
at trial thus boiled down to proving Ruiz had the requisite
knowledge as to both prongs three and four.2
A. Ruiz’s Prior Conviction
Ruiz had pleaded guilty in an earlier case to transporting
an alien in violation of 8 U.S.C. § 1324, although supposedly
under a different subsection.3 That charge arose from Ruiz
driving two minor females through a California port of entry
and using false documents in early 2022. He pleaded guilty
to the offense on August 19, 2022.
In the run-up to the trial, the government indicated its
intent to introduce the earlier conviction, so Ruiz moved in
limine to preclude that. But at a pre-trial hearing on the
motions in limine, the district court ruled the conviction
could come in under Federal Rule of Evidence 404(b) “to the
extent that it would support the idea that Mr. Ruiz had
2
Ruiz argues that the “only issue in dispute” was whether it was his Civic
(as opposed to some other white car also traveling down the road at that
same time) that was transporting the individuals. But while the defense
limited its arguments to that issue, the government still had to prove
Ruiz’s knowledge, which is an element of the offense; therefore,
knowledge was also at issue. United States v. Ramirez-Jiminez, 967 F.2d
1321, 1325–26 (9th Cir. 1992). Defendant’s counsel acknowledged this
at the motion in limine hearing, where he stated, “This is a straight-up
knowledge and intent case.”
3
Defendant’s counsel stated at the motion in limine hearing that the two
offenses required different elements as they are different subsections of
§ 1324. The appellate brief, however, states that Ruiz was convicted of
8 U.S.C. § 1324(a)(1)(A)(ii) in the current case, and that he pleaded
guilty to a violation of 8 U.S.C. § 1324(a)(1)(A)(ii). Thus, the offenses
were for violations of the same subsection requiring the same elements.
USA V. RUIZ 7
knowledge that the individuals that he was transporting were
indeed undocumented individuals and that he had engaged
in a plan to transport them within the United States.”4 Based
on that ruling, the parties agreed to redact certain prejudicial
facts, such as that the prior case involved female minors and
false documents.
During the trial itself, the government raised the prior
conviction several times, which the court almost always
immediately followed with a limiting instruction. The
government first mentioned it in its opening argument, at
which time the district court instructed the jury that the
conviction could bear on “questions of knowledge and
motive,” but that the jury should not consider it as evidence
that the defendant has a bad character or propensity to
commit crimes. Next, on day two, the government read into
evidence a stipulation that Ruiz had pleaded guilty to
transporting an alien in 2022. In connection with reading
that stipulation, the government also introduced and
published redacted copies of Ruiz’s plea agreement, the
transcript of the change of plea hearing, and the judgment.
Once again, the district court gave a long limiting instruction
to only consider the prior conviction to decide: “one,
whether the defendant had the knowledge or intent necessary
to commit the crimes charged in the information in this case;
and, two, whether the defendant did not commit the acts for
which he is on trial by accident or by mistake.” The
government also published the above-mentioned documents
to the jury during Agent Guzman’s testimony.
At the close of trial, the district court again instructed the
jury to only consider the prior conviction for questions of
4
The district court also admitted the prior conviction under FRE 609,
but this is irrelevant because Ruiz did not testify.
8 USA V. RUIZ
“the defendant’s intent, knowledge, absence of mistake, or
absence of accident and for no other purpose.” He
specifically instructed the jury that it “may not consider this
evidence as evidence of guilt of the crime for which the
defendant is now on trial.” In its closing, the government
highlighted how the prior conviction showed a lack of
mistake or accident. The defense, by contrast, argued that
there are “important differences” between the prior and
instant case, and that it can only be used for limited purposes,
but “there’s really only one reason that that is in evidence”—
i.e., the government wanted the jury to use it for illicit
propensity purposes to conclude Ruiz was guilty of once
again engaging in the same type of conduct. Beyond that,
the district court elected not to allow the redacted documents
to go back with the jury during deliberations in order to limit
any “undue emphasis.”
B. The Government’s Other Evidence at Trial
Apart from the prior conviction, the government
presented substantial evidence about Ruiz’s conduct that
formed the basis for the current charges. Agents Ordoñez-
Nuñez, Haynes, Mallon, and Guzman all testified. Three of
the four identified Ruiz as the vehicle driver. The jury also
watched body-worn camera footage and saw portions of the
second spike strip, the Civic coming to a rest, and the driver
(Ruiz) exiting the car. It also saw screenshots from Agent
Mallon’s body-worn camera depicting the four people in the
tree.
Perhaps the “star witness” was Jose Manuel Gomez
Perez, one of the individuals in the car and Ruiz’s one-time
co-defendant. Gomez had pleaded guilty the week before
Ruiz’s trial. Gomez testified at Ruiz’s trial that Gomez was
a foot guide for the group, leading them from Mexico into
USA V. RUIZ 9
the United States. Gomez further testified that he used
WhatsApp to coordinate with others the group’s entry into
the United States. In that regard, he testified he was
instructed to wait for what he described as a “white car” and
a “Honda” to pick up the group. While Gomez could not
identify the driver, he testified that the driver: (1) called
Gomez by his nickname, “Chiapas”; (2) told the group to
bend down in the vehicle because they were getting caught;
and (3) finally told them to “get out” on the side of the road
before they hid in the tree. The government argued that these
statements showed that the Honda driver (who the
government argued was Ruiz) did not randomly pick up
passengers along the road, but instead had been sent to
collect the specific group of illegal aliens and transport them
further into the United States.
Agent Guzman also testified that another member of the
group, Miguel, sent his coordinates in the WhatsApp group
text conversation referenced above. The government then
introduced into evidence a map showing that these
coordinates were not far from where Border Patrol agents
started following Ruiz and finally stopped him.
The defense did not offer any evidence.
After closings, the jury began deliberating at 1:00 pm. It
returned a verdict at 2:17 p.m. The jury convicted Ruiz on
all three counts. The district court sentenced Ruiz to thirty-
three months of imprisonment and three years of supervised
release.
STANDARD OF REVIEW
We review de novo whether the challenged evidence
falls within the scope of “other crimes” evidence for Rule
404(b) purposes. United States v. Soliman, 813 F.2d 277,
10 USA V. RUIZ
278 (9th Cir. 1987). If the evidence does not fall within that
scope (e.g., if the alleged “other crime” is “inextricably
intertwined” with the current charge such that it is not really
a separate offense), the analysis ends, and Rule 404(b) does
not prevent admission. Id. at 279. If, on the other hand, the
evidence is properly characterized as “other crimes”
evidence, then we review for abuse of discretion the district
court’s decision to admit the evidence under Rule 404(b)(2).
United States v. Ramirez-Robles, 386 F.3d 1234, 1242 (9th
Cir. 2004).
If Rule 404(b) does not preclude admission, we
separately consider, under Rule 403, whether any unfair
prejudice arising from admitting the evidence substantially
outweighs its probative value. United States v. Chea, 231
F.3d 531, 534 (9th Cir. 2000). We review that determination
for abuse of discretion. United States v. Flores-Blanco, 623
F.3d 912, 919 (9th Cir. 2010).
ANALYSIS
I. Rule 404(b) did not bar admission of Ruiz’s prior
conviction.
Rule 404(b) prohibits using evidence of a previous crime
“to prove a person’s character in order to show that on a
particular occasion the person acted in accordance with the
character.” Fed. R. Evid. 404(b)(1). Such evidence is
admissible, however, to prove “another purpose,” including
“motive, opportunity, intent, preparation, plan, knowledge,
identity, absence of mistake, or lack of accident.” Fed. R.
Evid. 404(b)(2) (emphases added). We have developed a
four-part test to decide when a prior bad act is admissible:
“(1) the evidence tends to prove a material point; (2) the
other act is not too remote in time; (3) the evidence is
sufficient to support a finding that defendant committed the
USA V. RUIZ 11
other act; and (4) (in certain cases) the act is similar to the
offense charged.” United States v. Romero, 282 F.3d 683,
688 (9th Cir. 2002). The prior conviction satisfies all four
prongs.
A. The prior conviction proved a material point.
The first element of the four-part test to determine
admissibility asks whether “the evidence tends to prove a
material point.” Id. To convict Ruiz, the government
needed to prove that he knew the individuals at issue were
not lawfully in the United States, and that he knowingly
transported them to help them remain in the United States
illegally. 8 U.S.C. § 1324(a)(1)(A)(ii); see supra Procedural
History. Thus, Ruiz’s knowledge was a material element the
government needed to prove. Ramirez-Jiminez, 967 F.2d at
1325–26.
We have repeatedly affirmed using prior stops, arrests,
and convictions for transporting aliens to help show the same
defendant’s knowledge in later cases. See, e.g., United
States v. Holley, 493 F.2d 581, 584 (9th Cir. 1974) (prior
stop was relevant because “knowledge was a critical issue”);
United States v. Espinoza, 578 F.2d 224, 227–28 (9th Cir.
1978) (prior act and pending charges were admissible where
“central issue . . . was the knowledge and intent”); United
States v. Winn, 767 F.2d 527, 529–30 (9th Cir. 1985) (prior
conviction “shows that appellant had knowledge of the
smuggling operation”); Flores-Blanco, 623 F.3d at 919 n.4
(testimony of prior involvement tended to prove knowledge,
intent, and plan).
United States v. Longoria is particularly instructive. 624
F.2d 66, 68–69 (9th Cir. 1980). There, Border Patrol agents
followed a taxicab driver, Longoria, near the Mexican border
when he appeared to have illegal aliens in his car. Id. at 68.
12 USA V. RUIZ
Agents then stopped and arrested Longoria. Id. At trial, the
central issue was whether Longoria knew the people in his
cab were illegal aliens. To prove that element, the
government introduced evidence of a prior conviction for
transporting illegal aliens, in which Longoria had likewise
driven aliens from the border to a motel. Id. at 68–69. Much
like here, Longoria appealed, challenging the trial court’s
admission of that prior conviction on Rule 404(b) grounds.
Id. at 69. But we rejected that argument, holding that
“evidence of a prior similar offense is highly relevant and
admissible to show the requisite knowledge, criminal intent,
and lack of innocent purpose.” Id.
Just as in Longoria, the main element the government
needed to prove at trial here was whether Ruiz knew he was
transporting illegal aliens. The district court admitted the
prior conviction to prove such knowledge, a material
element. See Holley, 493 F.2d at 584; Longoria, 624 F.2d at
69.
The government in its closing argument also argued that
the prior conviction proved a lack of accident or mistake.
That is a permissible purpose, as well. Under Longoria, the
government can use prior convictions to prove “lack of
innocent purpose.” 624 F.2d at 69. Specifically, the
evidence provided a basis for the jury to conclude that Ruiz
was not involved by mistake.
At bottom, the government needed to show that Ruiz was
not a random driver who happened to pick up hitchhikers
who happened to be illegal aliens. The prior conviction
tended to prove that material fact.
USA V. RUIZ 13
B. The prior conviction was not too remote in time.
The second element to determine admissibility of prior
bad acts is whether the alleged bad act is too remote in time.
Romero, 282 F.3d at 688. Here, the earlier illegal conduct—
transporting aliens—occurred in February 2022, and Ruiz
was convicted of that crime on August 19, 2022. His
conviction for the instant offense, meanwhile, occurred on
October 18, 2023, so the complete timeline is less than two
years. That falls well within durations we have approved.
United States v. Spillone, 879 F.2d 514, 519 (9th Cir. 1989)
(affirming admission of conviction from more than ten years
before trial); United States v. Johnson, 132 F.3d 1279, 1283
(9th Cir. 1997) (finding prior bad acts from thirteen years
before were admissible).
C. There is sufficient evidence that the prior crime
occurred.
The third element is whether there is sufficient evidence
that the earlier bad act actually happened. Romero, 282 F.3d
at 688. This prong imposes a “low threshold.” Id. This
court has held that a defendant’s conviction for the prior
offense more than satisfies it. United States v. Arambula-
Ruiz, 987 F.2d 599, 603 (9th Cir. 1993) (“[T]he fact that [the
defendant] was convicted of the prior drug offense is
sufficient proof that the defendant committed the prior act.”).
Not only was Ruiz convicted of the offense of transporting
aliens, but he stipulated that he had pleaded guilty to it. In
other words, he admitted he had committed the crime. That
easily satisfies the third prong.
14 USA V. RUIZ
D. To the extent similarity is needed, the prior
conviction is similar to the offense charged.
The fourth element asks whether the prior bad act is
sufficiently similar to the instant offense, but this element
only applies “in certain cases.” Romero, 282 F.3d at 688.
For example, a prior conviction need not be a similar offense
if offered to prove knowledge, “as long as the prior act was
one which would tend to make the existence of the
defendant’s knowledge more probable than it would be
without the evidence.” Ramirez-Jiminez, 967 F.2d at 1326;
but see United States v. Mayans, 17 F.3d 1174, 1181 (9th
Cir. 1994) (stating the last element of the four-part test as
“(4) (in cases where knowledge and intent are at issue) the
act is similar to the offense charged” (citation omitted)). By
contrast, if the evidence is offered to prove “identity, modus
operandi, or absence of mistake or accident,” then similarity
is required. Ramirez-Jiminez, 967 F.2d at 1326 (quoting
United States v. Bailleaux, 685 F.2d 1105, 1110 n.1 (9th Cir.
1982)). “The reason for this is that similarity, like proximity
in time, is not a prerequisite having independent force, but
rather a factor pertinent to rational appraisal of the probative
value of the evidence in relation to the purpose for which it
is being offered.” Id.
Here, the district court initially admitted the evidence “to
the extent that it would support the idea that Mr. Ruiz had
knowledge that the individuals he was transporting were
indeed undocumented individuals,” an account on which
similarity is perhaps not required. At trial though, the
purposes expanded to include motive, intent, and lack of
accident or mistake, which can impose a similarity
requirement.
USA V. RUIZ 15
Ultimately, though, it matters little whether this prong
applies, as it is satisfied. But why that is so merits some
additional explanation. At a high level, of course, both this
case and the earlier conviction involve transporting illegal
aliens in violation of § 1324, with Ruiz acting as the driver
in Southern California. So on that telling, they seem similar.
But viewed with more granularity, differences emerge. For
example, Ruiz was apprehended at different places; in the
earlier case, he was arrested at a California port of entry,
while here agents stopped him on a rural road several miles
into the United States. And the nature of the offense was
arguably different. Before he had transported two female
minors and did not attempt to conceal them, instead he
attempted to use false documents. Here, he concealed four
adult men and told them to “get out” after Border Patrol first
attempted to stop him.5
So it matters how we go about assessing similarity. One
approach this court has used in answering that question is to
compare the magnitude of the differences in the crimes in
the current case to the differences that this court has
approved as “similar” in past cases. See, e.g., United States
v. Herrera-Medina, 609 F.2d 376, 380 (9th Cir. 1979)
(finding that the prior arrests and offense charged there were
sufficiently similar because they were more similar than the
prior acts at issue in Espinoza and Holley, cases in which this
court had upheld admissibility of prior bad acts evidence).
Applying that framework, Ruiz’s current crime and his past
conviction are similar.
5
Defense counsel also argued below that another difference is that Ruiz
pleaded guilty in the prior case and was “willing to admit where he’s
wrong,” but in this case, he did not. But this is not a difference in the
circumstances of the offense or factual basis for his arrest in that case.
16 USA V. RUIZ
For example, in Holley, we upheld admission of Holley’s
prior arrest for transporting illegal aliens to prove Holley’s
knowledge that his taxicab passengers in the current case
were illegal aliens. 493 F.2d at 584. In both cases, Holley
was the driver, but, much like here, the specific details
varied—“the number, age, sex, and attire” of the aliens was
different. Id. at 585 (Hufstedler, J., dissenting). Further, in
the earlier case, Holley picked up the couple near his garage
in his private car. Id. But in the later case, he picked up four
men in his taxicab after receiving a radio call from the
company dispatcher. Id. Despite these differences, we held
that the district court did not abuse its discretion in admitting
the prior arrest as “prior similar conduct.” Id. at 584.
Similarly, in Espinoza, we upheld admission of Border
Patrol agents’ testimony about their previous surveillance of
the defendants before the arrest leading to the case at trial.
578 F.2d at 226–28. Earlier, Border Patrol agents had
observed the defendants in their truck pull next to a van, and
that van was later found with 27 aliens inside. Id. at 226–27.
The conduct at issue at trial, by contrast, involved an illegal
alien calling one defendant, that defendant picking him up
from a gas station, driving him to the defendant’s house, and
the other defendant arriving at the house and picking up the
illegal alien, where Border Patrol agents then stopped them.
Id. As we described in a later case, “the defendants in
[Espinoza] had not, in the prior incident, picked up illegal
aliens. The most that a jury could have inferred was that they
had arranged to have another person pick up the aliens.”
Herrera-Medina, 609 F.2d at 380. Despite these differences,
we found the acts sufficiently similar to allow admission
under Rule 404(b). Espinoza, 578 F.2d at 228.
The details here are more similar than in Espinoza.
There, as noted, the defendants had been the drivers one
USA V. RUIZ 17
time, but only arranged a pick-up the other. 578 F.2d at 226–
28. Here, Ruiz acted as the driver in both the cases. True,
the number, sex, and age of the immigrants differed, but
Holley rejected the idea that this prevents a finding of
similarity. 493 F.2d at 585 (Hufstedler, J., dissenting).
Further, both offenses occurred in the same region along the
border in Southern California. Thus, the prior conviction is
sufficiently similar to the instant offense to support
admissibility.
In sum, the prior conviction satisfies each prong of the
test for Rule 404(b)—it tended to prove the material point of
knowledge, two years is not too remote in time, the
stipulation and redacted documents provided sufficient
evidence of the prior bad act, and the prior crime was
sufficiently similar to the offense charged. Therefore, the
district court did not abuse its discretion in admitting the
prior conviction under Rule 404(b).
The Defendant urges a different result, arguing that the
prior conviction was inadmissible for failure to meet the
third prong of the Rule 404(b) test—whether there was
sufficient evidence the prior bad act had occurred. See
United States v. Bailey, 696 F.3d 794, 799 (9th Cir. 2012);
United States v. Wells, 879 F.3d 900, 914 (9th Cir. 2018). It
is true that, in Bailey, we held that the district court had erred
in admitting a prior civil SEC complaint in a later action as
evidence that the prior offense had occurred. 696 F.3d at
799. Specifically, we held that when the sole evidence that
a prior bad act occurred is a complaint, that does not satisfy
the third prong of the admissibility test. But that is because
a complaint includes only allegations, not proof. Id. Here,
by contrast, Ruiz pleaded guilty to, and was convicted of, the
prior offense. That more than suffices to show the offense
occurred.
18 USA V. RUIZ
Ruiz’s brief does not even meaningfully argue otherwise.
While Ruiz characterizes his challenge as directed at the
third element, Ruiz, based on Bailey, really contests the
similarity element—prong four. As he puts it in his brief,
“the bare fact of a prior § 1324 conviction does not establish
that he committed an act like the one charged here.”
(Emphasis added). That fails for the above-noted reasons
relating to prong four.
Wells does not help him either. 879 F.3d 900. There, the
district court first admitted expert testimony regarding a
criminal “profile,” and the government then argued the
defendant’s characteristics fit that profile. Id. at 914. But
the use of “profile” testimony raises questions under Rule
404(a)(1), so the analysis on that front is entirely irrelevant
to the Rule 404(b) challenge here. Id. at 920–21. To be sure,
the district court also had admitted various other prior bad
acts that formed the basis for the profile testimony, which
did bring Rule 404(b) into play. But much of the analysis of
that issue was limited to whether the evidence was even
subject to Rule 404(b) in light of the inextricably intertwined
exception. Id. at 925. The scope of that exception is
irrelevant here, though, as no party raised, nor did the district
court rely on, this exception in determining admissibility.
And beyond that, Wells affirmed admitting most of the prior
bad acts, except for one conviction, to prove motive under
Rule 404(b). Id. at 929. Specifically, the government used
the prior bad acts to explain why the defendant wanted to
murder his coworkers—i.e., classic motive evidence. Id.
Here, by contrast, while the district court mentioned the prior
conviction could be used to prove “knowledge and motive,”
the government did not use Ruiz’s conviction to argue
motive, but only to argue that he knew that the individuals
USA V. RUIZ 19
were in the United States illegally. Therefore, Wells is not
instructive here.
In sum, the district court did not abuse its discretion in
admitting the prior conviction under Rule 404(b).
II. Ruiz’s prior conviction should not be excluded under
Rule 403.
Because there was no error under Rule 404(b), we must
consider whether admitting the prior conviction complies
with Rule 403’s balancing test. “If the evidence meets [the
four-part] test under Rule 404(b), ‘the [district] court must
then decide whether the probative value is substantially
outweighed by the prejudicial impact under Rule 403.’”
Chea, 231 F.3d at 534 (quoting United States v. Nelson, 173
F.3d 1094, 1107 (9th Cir. 1998)). But, even if a district court
does not explicitly mention Rule 403, we “will uphold
admission of the evidence when it is clear from the record
that the court implicitly made the necessary finding.”
Ramirez-Jiminez, 967 F.2d at 1326.
The record shows that the district court implicitly
considered the balancing question. At the motion in limine
hearing, Ruiz argued that certain facts about the prior
conviction (i.e., that it involved minor females and false
documents) were overly prejudicial and, at minimum,
needed to be redacted. The district court agreed that those
facts would be overly prejudicial and “wouldn’t move the
ball up the field,” so the prior conviction should be
“sanitized.” The government agreed to redact the
documents. Additionally, the district court did not allow
testimony from the agent involved in the prior conviction
because it would be unnecessary on top of the guilty plea and
other documents. Furthermore, the district court did not let
the documents go back with the jury along with the other
20 USA V. RUIZ
exhibits because it would give “undue emphasis” to the
conviction. Taken together, this conduct shows that, even
though the district court may not have explicitly mentioned
Rule 403, it weighed the probative value and unfair prejudice
in deciding how to allow the government to introduce the
evidence.
Relatedly, the district court did not abuse its discretion
in performing this balancing. Rule 403 directs the court to
exclude evidence “if its probative value is substantially
outweighed by a danger of . . . unfair prejudice.” Fed. R.
Evid. 403. Specifically, the prejudice must be unfair,
meaning it has “an undue tendency to suggest decision on an
improper basis, commonly, though not necessarily, an
emotional one.” Old Chief v. United States, 519 U.S. 172,
180 (1997). The probative value in a knowledge case, on the
other hand, is “measured by its tendency to make the
existence of [Ruiz’s] knowledge or intent more probable
than it would be without the evidence.” Ramirez-Jiminez,
967 F.2d at 1327.
Ruiz’s prior conviction for transporting illegal aliens
makes it more probable that he had knowledge that the
individuals in his car were present illegally and that he
knowingly transported them to help them remain in the
United States. This prior conviction is unlikely to create an
emotional or otherwise unfairly prejudicial response,
especially since the parties redacted the facts concerning
female minors and false birth certificates. “Rather, it is
prejudicial only to the extent that it tends to prove the fact
justifying its admission, namely that appellant had
knowledge of his cargo of illegal aliens.” Id. In other words,
it is fairly, not unfairly, prejudicial. Beyond that, the district
court gave repeated limiting instructions about the proper
purpose of the prior conviction each time the government
USA V. RUIZ 21
raised it, further minimizing any risk of unfair prejudice.
Flores-Blanco, 623 F.3d at 920. Accordingly, we hold that
any risk of unfair prejudice did not substantially outweigh
the probative value of the prior conviction, meaning the
district court did not abuse its discretion at this step in
admitting the prior conviction.
III. Ruiz did not raise the constitutional question in the
lower court, so we review for plain error, which
Ruiz has not shown.
Separately, Ruiz argues that admitting the prior
conviction violated both due process and his Sixth
Amendment right to a fair trial. Ruiz, however, did not raise
these constitutional issues below. Accordingly, we review
for plain error. See United States v. Perez, 116 F.3d 840,
846 (9th Cir. 1997) (en banc); United States v. Depue, 912
F.3d 1227, 1232 (9th Circ. 2019) (en banc).
Ruiz has not shown that the district court plainly erred
under either the due process clause or the Sixth Amendment
in admitting the prior acts evidence. He only argues that a
court violates those constitutional provisions by admitting
such evidence purely for propensity purposes. As he states
it, “propensity evidence is constitutionally inadmissible.”
And he acknowledges that the Supreme Court has twice held
that admission of prior acts evidence does not violate due
process where it is not offered as general propensity
evidence. See Dowling v. United States, 493 U.S. 342, 353–
54 (1990) (no due process violation where evidence “was at
least circumstantially valuable in proving petitioner’s guilt”
for reasons apart from propensity); Spencer v. Tex., 385 U.S.
554, 556 (1967) (upholding habitual offender statute that
required state to introduce proof of prior conviction to
establish enhancement, subject to limiting instruction that
22 USA V. RUIZ
“such matters were not to be taken into account in assessing
the defendant’s guilt or innocence under the current
indictment”).
As described above, the United States did not rely on the
prior acts evidence as propensity evidence. Rather, it used
the evidence to prove Ruiz’s knowledge. Moreover, as
noted, the probative value of the evidence in establishing that
knowledge was not substantially outweighed by any unfair
prejudice.
In sum, the factual predicate for Ruiz’s argument (that
the evidence came in solely for propensity purposes) is
wrong. Accordingly, Ruiz fails to establish that the trial
court committed constitutional plain error in admitting that
evidence. And, because the evidence was not admitted for
propensity purposes, we need not, and thus do not, decide
whether admitting evidence purely for such purposes would
violate the Constitution. See Dobbs v. Jackson Women’s
Health Org., 597 U.S. 215, 348 (2022) (Roberts, C.J.,
concurring) (“If it is not necessary to decide more to dispose
of a case, then it is necessary not to decide more.” (emphasis
original)).
CONCLUSION
For the foregoing reasons, we affirm the judgment of the
district court.
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
02Curiel, District Judge, Presiding Argued and Submitted October 21, 2025 Pasadena, California Filed January 7, 2026 Amended February 20, 2026 Before: Ryan D.
03Nelson and Lawrence VanDyke, Circuit Judges, and Douglas Russell Cole, District Judge.* Opinion by Judge Cole * The Honorable Douglas Russell Cole, United States District Judge for the Southern District of Ohio, sitting by designation.
04RUIZ SUMMARY** Criminal Law The panel affirmed Alex Ruiz’s conviction for transporting illegal aliens in violation of 8 U.S.C.
Frequently Asked Questions
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT UNITED STATES OF AMERICA, No.
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