Case Law US v. Bertoli

US v. Bertoli

Document Cited Authorities (409) Cited in (64) Related

854 F. Supp. 975

UNITED STATES of America, Plaintiff, v. Richard O. BERTOLI, Defendant.

Cr. No. 89-218.

United States District Court, D. New Jersey.

March 30, 1994.

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John M. Fietkiewicz, Asst. U.S. Atty., and David M. Rosenfield, Sp. Asst. U.S. Atty., Office of the U.S. Atty., Newark, NJ, for the U.S.

Richard Levitt, New York City, and Albert Carilli, Franklin Lakes, NJ, for defendant Richard O. Bertoli. 

                         TABLE OF CONTENTS
Facts___________________________________________________________________  991
Discussion_______________________________________________________________1009
A.  Renewed Motion to Dismiss Counts One and Two of the Redacted Second
     Superseding Indictment ......................................................1009
     1. The Decision in Reves .....................................................1009
     2. Statute of Limitations ...................................................1013
     3. Charges of Frontrunning ..................................................1014
B.  Objections to the First Set of Cayman Islands Depositions Testimony and
     Documents....................................................................1014
     1.  Bertoli's Objections to the First Set of Cayman Islands Depositions In
          Their Entirety .........................................................1017
     2.  Bertoli's Objections to Specific Testimony From the First Set of Cayman
          Islands Depositions ....................................................1021
         a.  Deposition of Coleman ...............................................1022
         b.  Deposition of Rodney Bond ...........................................1023
         c.  Deposition of Gillooly ..............................................1025
         d.  Deposition of Duggan ................................................1025
         e.  Deposition of Sheree Ebanks .........................................1026
         f.  Depositions of Chan-A-Sue and Bechard................................1026
         g.  Deposition of Meyeroff ..............................................1026
     3.  Government's Objections to Specific Testimony From the First Set of
          Cayman Islands Depositions .............................................1026
         a.  Deposition of Coleman ...............................................1026
         b.  Deposition of Rodney Bond ...........................................1027
         c.  Deposition of Duggan ................................................1027

         d.  Deposition of Lundie ................................................1027
     4.  Bertoli's Objections to Documents From the First Set of Cayman Islands
          Depositions ............................................................1027
         a.  Documents of Greenshields ...........................................1029
         b.  Documents from the Coleman Deposition ...............................1032
         c.  Documents of Euro Bank ..............................................1033
     5.  Government's Objections to Documents from the First Set of Cayman
          Islands Depositions ....................................................1034
C.  Objections to the Second Set of Cayman Islands Depositions Testimony and
      Documents ..................................................................1035
     1.  Bertoli's Objections to Specific Testimony From the Second Set of Cayman
         Islands Depositions—Deposition of Ebanks ................................1035
     2.  Government's Objections to Specific Testimony From the Second Set of
          Cayman Islands Depositions .............................................1036
         a.  Deposition of Ebanks ................................................1036
         b.  Deposition of Burgess ...............................................1036
         c.  Deposition of Rodney Bond ...........................................1036
D.  Pre-Trial and Trial Motions and Objections by Bertoli ........................1036
     1.  Motion to Sequester Government Witnesses ................................1036
     2.  Motion to Suppress Use of Cayman Islands Documents By the Government
          Pursuant to 18 U.S.C. § 3505 ......................................1038
     3.  Motion to Turn Over Personnel Files of Government Witnesses and Agents...1039
     4.  Motion to Suppress or, in the Alternative, to Obtain Letters of Request to
          Take the Testimony of Euro Bank Personnel Ebanks and Burgess............1041
     5.  Objection to Reading of Redacted Second Superseding Indictment to Jury...1042
     6.  Motion to Question Eisenberg Regarding Charges Pending Against Him
          When He Pleaded Guilty .................................................1044
     7.  Motions for a Mistrial ..................................................1047
     8.  Objection to Admission of Cayman Islands Documents After Beginning of
          Trial ..................................................................1049
     9.  Objections to the Government's Use of Summary Charts and Demonstrative
          Charts .................................................................1049
         a.  Summary Charts ......................................................1050
         b.  Demonstrative Charts ................................................1053
         c.  Admission of Charts .................................................1054
    10.  Objections to Evidence of Other Acts: Rule 404(b) .......................1056
         a.  The 1977 Suit by Executive Securities Against Bertoli and Bertoli's
              Filing for Bankruptcy ..............................................1060
         b.  The SEC Investigation and the SEC Action ............................1063
         c.  The SEC's 1979 Bar of Bertoli from Association with Broker-Dealers ..1064
         d.  Other 404(b) Evidence ...............................................1065
             i.    Unindicted Stock Manipulation Schemes .........................1065
             ii.   The Government's Chart Evidence ...............................1066
             iii.  Berco Trust Financial Statements and Corporate Records ........1067
             iv.   The Swiss Bank Documents ......................................1067
    11.  Objection to Special Verdict Sheet ......................................1067
    12.  Objection to Hard Copy of Jury Charges and Hard Copy of Trial Transcript
          Being Submitted to Deliberating Jury ...................................1069
    13.  Objection to Submission of Jury Books to Jury ...........................1072
    14.  Objection to Subsequent Charges to Jury .................................1073
E.  Pre-Trial and Trial Motions and Objections by Government .....................1076
     1.  Motion to Preclude Bertoli From Presenting a Defense Based on Selective
          or Vindictive Prosecution or Governmental Misconduct ...................1076
     2.  Motion to Quash Bertoli's Subpoena of Government's Case Agent ...........1080
     3.  Motion to Preclude Bertoli From Presenting Any Evidence That Charges
          Were Dismissed in This Case ............................................1087
     4.  Motion to Preclude Bertoli From Introducing Evidence That Certain Government
          Witnesses Used Narcotics or Alcohol ....................................1087
F.  Post-Trial Proceedings .......................................................1089
     1.  Bertoli's Motions for a New Trial Based on Allegations of Juror Misconduct
          During Trial............................................................1089

         a.  Jury Misconduct as a Basis for Granting a New Trial .................1094
         b.  Right of Defendants to Be Present During Court's Interview of Juror
              for Misconduct .....................................................1100
             i.    Fifth Amendment Right to be Present ...........................1100
             ii.   Right to be Present Pursuant to Rule 43 .......................1101
             iii.  Right to Have Counsel Present .................................1104
         c.  The Riepe Letter ....................................................1104
     2.  Bertoli's Motion for New Trial Based on Allegations of Juror Misconduct
          During Voir Dire........................................................1108
         a.  Voir Dire ...........................................................1108
         b.  The Lawsuit against Juror Six ...............................................1109
         c.  Motion for a New Trial Based on Answers to Jury Voir Dire ...........1110
     3.  Bertoli's Motion to Recuse Court from Sentencing ........................1116
         a.  Background ..........................................................1116
         b.  28 U.S.C. § 455(a) .............................................1117
         c.  Bertoli's Plan to Force Recusal .....................................1119
         d.  Statements and Rulings of the Court .................................1120
     4.  Sentencing ..............................................................1125
         a.  Facts ...............................................................1126
             i.    Bertoli's Activities at Executive Securities ..................1126
             ii.   The Stock Manipulation Schemes ................................1128
             iii.  Obstruction of Justice ........................................1130
...

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5 cases
Document | U.S. Court of Appeals — Fourth Circuit – 1995
U.S. v. Heater
"...after the fact provision, particularly in light of 1991 modification to background commentary of section 2J1.2); United States v. Bertoli, 854 F.Supp. 975, 1145-46 (D.N.J.1994) (noting that Pierson 's refusal to apply section 2X3.1 is no longer appropriate under November 1991 Guidelines Man..."
Document | U.S. Court of Appeals — Third Circuit – 1994
U.S. v. Bertoli
"...began deliberations this afternoon." App. at 697. According to its March 28, 1994 Letter Opinion 3 (hereinafter "Opinion") and findings, 854 F.Supp. 975, the court based its determinations on its evaluation of "the demeanor and credibility of all four jurors upon questioning and from genera..."
Document | Washington Supreme Court – 2005
State v. Hacheney, No. 29965-8-II (WA 8/3/2005)
"...535 P.2d 801 (1975). 44. State v. Rivera, 108 Wn. App. 645, 652, 32 P.3d 292 (2001), review denied, 146 Wn.2d 1006 (2002). 45. 854 F. Supp. 975, 1019 (D.N.J.), vacated in part on other grounds, 40 F.3d 1384 (3d Cir. 46. 842 F.2d 5, 8 (1st Cir. 1988). 47. Hacheney also cites Lewis v. Peyton,..."
Document | U.S. District Court — District of New Jersey – 1995
US v. Giampa
"...v. Rocha, 916 F.2d 219, 234 (5th Cir.1990), cert. denied, 500 U.S. 934, 111 S.Ct. 2057, 114 L.Ed.2d 462 (1991); United States v. Bertoli, 854 F.Supp. 975, 1047 (D.N.J.1994), aff'd in part, sentencing vacated, 40 F.3d 1384 (3d Cir.1994); United States v. Crosley, 634 F.Supp. 28, 32 (E.D.Pa. ..."
Document | U.S. District Court — Northern District of Iowa – 1996
US v. Hildebrand
"...witnesses is not absolute, and may give way to "legitimate interests in the criminal trial process." Id. (citing United States v. Bertoli, 854 F.Supp. 975, 1081-82 (D.N.J.1994), aff'd in part, vac'd in part, 40 F.3d 1384 (3d However, when excluding witnesses, it is apparent that the court m..."

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5 books and journal articles
Document | Demonstrative evidence – 2018
Maps, charts, graphs and diagrams
"...the time-line before she testiied or by photographing it and showing the victim photographs during her testimony. 16 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 17 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 18 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993)...."
Document | Demonstrative evidence – 2017
Maps, Charts, Graphs and Diagrams
"...where the state asked the victim to identify body parts in the diagram by name and she identified the vaginal area. 15 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 16 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 17 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993..."
Document | Demonstrative evidence – 2021
Maps, Charts, Graphs and Diagrams
"...the time-line before she testiied or by photographing it and showing the victim photographs during her testimony. 16 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 17 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 18 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993)...."
Document | Part IV - Demonstrative Evidence – 2014
Table of Cases
"...of Cases U.S. v. Bentson , 220 Fed.Appx. 643 (2007), §8.400 U.S. v. Berg, 178 F.3d 976 (8th Cir. Mo. 1999), §7.300 U.S. v. Bertoli, 854 F.Supp. 975 (D.N.J. 1994), §42.300 U.S. v. Beverly , 369 F.3d 516 (6th Cir. Ohio 2004), §1.300 U.S. v. Bolden , 545 F.3d 609 (8th Cir., Mo., 2008), §41.200..."
Document | – 2016
Maps, Charts, Graphs and Diagrams
"...where the state asked the victim to identify body parts in the diagram by name and she identified the vaginal area. 14 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 15 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 16 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993..."

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5 books and journal articles
Document | Demonstrative evidence – 2018
Maps, charts, graphs and diagrams
"...the time-line before she testiied or by photographing it and showing the victim photographs during her testimony. 16 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 17 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 18 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993)...."
Document | Demonstrative evidence – 2017
Maps, Charts, Graphs and Diagrams
"...where the state asked the victim to identify body parts in the diagram by name and she identified the vaginal area. 15 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 16 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 17 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993..."
Document | Demonstrative evidence – 2021
Maps, Charts, Graphs and Diagrams
"...the time-line before she testiied or by photographing it and showing the victim photographs during her testimony. 16 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 17 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 18 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993)...."
Document | Part IV - Demonstrative Evidence – 2014
Table of Cases
"...of Cases U.S. v. Bentson , 220 Fed.Appx. 643 (2007), §8.400 U.S. v. Berg, 178 F.3d 976 (8th Cir. Mo. 1999), §7.300 U.S. v. Bertoli, 854 F.Supp. 975 (D.N.J. 1994), §42.300 U.S. v. Beverly , 369 F.3d 516 (6th Cir. Ohio 2004), §1.300 U.S. v. Bolden , 545 F.3d 609 (8th Cir., Mo., 2008), §41.200..."
Document | – 2016
Maps, Charts, Graphs and Diagrams
"...where the state asked the victim to identify body parts in the diagram by name and she identified the vaginal area. 14 U.S. v. Bertoli , 854 F. Supp. 975 (D.N.J. 1994). 15 Uniroyal Goodrich Tire Co. v. Martinez , 928 S.W.2d 64 (Tex. App. 1995). 16 Ladeburg v. Ray , 508 N.W.2d 694 (Iowa 1993..."

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  • Transform your legal research from hours to minutes with Vincent AI's intelligent search and analysis capabilities

  • Elevate your practice by focusing your expertise where it matters most while Vincent handles the heavy lifting

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5 cases
Document | U.S. Court of Appeals — Fourth Circuit – 1995
U.S. v. Heater
"...after the fact provision, particularly in light of 1991 modification to background commentary of section 2J1.2); United States v. Bertoli, 854 F.Supp. 975, 1145-46 (D.N.J.1994) (noting that Pierson 's refusal to apply section 2X3.1 is no longer appropriate under November 1991 Guidelines Man..."
Document | U.S. Court of Appeals — Third Circuit – 1994
U.S. v. Bertoli
"...began deliberations this afternoon." App. at 697. According to its March 28, 1994 Letter Opinion 3 (hereinafter "Opinion") and findings, 854 F.Supp. 975, the court based its determinations on its evaluation of "the demeanor and credibility of all four jurors upon questioning and from genera..."
Document | Washington Supreme Court – 2005
State v. Hacheney, No. 29965-8-II (WA 8/3/2005)
"...535 P.2d 801 (1975). 44. State v. Rivera, 108 Wn. App. 645, 652, 32 P.3d 292 (2001), review denied, 146 Wn.2d 1006 (2002). 45. 854 F. Supp. 975, 1019 (D.N.J.), vacated in part on other grounds, 40 F.3d 1384 (3d Cir. 46. 842 F.2d 5, 8 (1st Cir. 1988). 47. Hacheney also cites Lewis v. Peyton,..."
Document | U.S. District Court — District of New Jersey – 1995
US v. Giampa
"...v. Rocha, 916 F.2d 219, 234 (5th Cir.1990), cert. denied, 500 U.S. 934, 111 S.Ct. 2057, 114 L.Ed.2d 462 (1991); United States v. Bertoli, 854 F.Supp. 975, 1047 (D.N.J.1994), aff'd in part, sentencing vacated, 40 F.3d 1384 (3d Cir.1994); United States v. Crosley, 634 F.Supp. 28, 32 (E.D.Pa. ..."
Document | U.S. District Court — Northern District of Iowa – 1996
US v. Hildebrand
"...witnesses is not absolute, and may give way to "legitimate interests in the criminal trial process." Id. (citing United States v. Bertoli, 854 F.Supp. 975, 1081-82 (D.N.J.1994), aff'd in part, vac'd in part, 40 F.3d 1384 (3d However, when excluding witnesses, it is apparent that the court m..."

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