State v. Hadley

288 N.W.2d 37, 205 Neb. 412, 1980 Neb. LEXIS 736
CourtNebraska Supreme Court
DecidedJanuary 29, 1980
Docket42721, 42720
StatusPublished
Cited by2 cases

This text of 288 N.W.2d 37 (State v. Hadley) is published on Counsel Stack Legal Research, covering Nebraska Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Hadley, 288 N.W.2d 37, 205 Neb. 412, 1980 Neb. LEXIS 736 (Neb. 1980).

Opinion

Krivosha, C. J.

The following actions were tried separately in the District Court for Dodge County, Nebraska, but for purposes of appeal were consolidated. They are identical in all material respects and therefore will be considered here as one.

These matters come before the court on appeal from a conviction for violations of the Securities Act of Nebraska. The appellant, Art Hadley, pleaded guilty to 20 counts of violating sections 8-1102 and 8-1117, R. R. S. 1943, and the appellant, Connie Marker, pleaded guilty to 5 counts of violation of the same sections. Each individual violation was, under the statute in effect at the time of the acts in question, punishable by a fine of not more than $5,000 or imprisonment for not more than 3 years, or by both such fine and imprisonment. The trial court sentenced the appellant Hadley to a term of 1 to 3 years in the Nebraska Penal and Correctional Complex on each of 20 counts, to run concurrently, and the appellant Marker to 1 year imprisonment in the Nebraska Center for Women on each of 5 counts, said terms to run concurrently. We have carefully *413 reviewed the record and believe the judgment of the trial court was in each instance correct and should be affirmed.

The evidence is virtually without dispute. The appellants and each of them engaged in an admitted scheme to sell to residents of the State of Nebraska unregistered securities in a project called “Camelot Cultivars.” The plan contemplated the planting and cultivating of walnut trees, including spraying, fertilizing, and irrigating them.. While the evidence discloses that some of the trees were planted, the evidence further discloses that the man who was to take care of the trees was never paid by the appellants to do the necessary work. Further, the evidence discloses that the project had little or no chance of success, that the appellants knew the project had little or no chance of success, and more importantly, that the interests in the project, which were securities, were not registered with the Department of Banking of the State of Nebraska as required by law.

The evidence further discloses that the appellants and each of them collected from investors some $55,000, of which more than $40,000 went directly into the pockets of the appellants. All the money invested was lost by the investors.

The evidence further discloses that at the very outset of this project the appellants were advised by their attorney of the need to register the securities, and later in 1977 appellants had a meeting with Mr. Barry Lake who was in charge of the securities division of the Nebraska Department of Banking. They -were advised at that time that they were selling an unregistered security, were requested to withdraw the offering, tender back the money collected, and register the securities in accordance with law. Notwithstanding that warning from the Department of Banking and the offer to permit the appellants to correct the situation, appellants continued to sell the *414 securities without making any efforts to comply with the securities law or to make the investors whole.

Appellants assign three errors: (1) They maintain the trial court abused its discretion and erred in sentencing the appellants to an excessive term of imprisonment; (2) they maintain the trial court erred in relying upon a presentence report which was presented in an incomplete and prejudicial form; and (3) they maintain the trial court erred in considering testimony presented at the sentencing where insufficient notice that such testimony would be offered had been given to the appellants. For reasons which we will more fully explain hereinafter, the assignments are wholly without merit.

On March 26, 1979, the appellants appeared before the court with counsel of their choice and after careful inquiry by the court as to the consequences, voluntarily entered pleas of guilty to the various charges. The appellants appeared again in District Court on April 5, 1979, with their attorney, at which time the State offered evidence concerning the crimes as part of the sentencing procedure.

At that hearing on April 5, 1979, and without objection, the State was permitted to introduce evidence concerning the background and history of the offenses for which the appellants had previously entered pleas of guilty. At the conclusion of the evidence, the court asked appellants’ counsel whether he had “anything at this time * * * or later?” Counsel replied, “Nothing now.” The record further reflects that counsel at no time requested a continuance nor asked for an opportunity to cross-examine the witnesses called by the State. Nor did the appellants request additional time in order to produce any additional or countervailing evidence.

The parties again appeared before the court some 14 days later on April 19, 1979. The record indicates that no effort was made by appellants’ counsel to produce any additional evidence prior to sentencing. *415 In making this observation, we do not intend in any manner to be critical of appellants’ counsel, who was other than present counsel, but simply point out that if in fact there was some evidence which the appellants believed could be introduced, adequate opportunity was given them to do so. At the sentencing hearing on April 19, 1979, the court inquired of appellants’ then counsel as to whether he. had received a copy of the presentence report. He indicated that he had seen a copy of the report. The court then said, “Are there any changes, corrections or additions that should be made at this time?” Counsel responded, “No, not that I can think of.” The report, in both cases, recommended that probation not be granted and that each appellant be incarcerated for some period of time.

With regard to the appellants’ contention that the trial court erred in relying on the presentence report which was presented in an incomplete and prejudicial form, the evidence simply does not support that claim. Appellants were given every opportunity to correct or amend the presentence report and to present any evidence they desired. They chose not to do so. The only contentions made by appellants at the time of sentencing was a claim that if given an opportunity and placed on probation they would make restitution. There was no evidence, however, to support that claim. No plan was offered nor had any efforts been made by the appellants to make restitution voluntarily, though adequate time existed had they intended to do so. Moreover, the presentence report indicated that the appellant Hadley was presently employed at a job paying $115 per week and was delinquent in the payment of child support to the children of his first marriage. The court had no reason to rely on or believe that a sentence of probation would result in restitution being made. Likewise, no evidence was offered on behalf of the appellant Marker as to how or in what *416 manner restitution might be made. The appellants had every opportunity to present a plan or such other evidence as they desired to indicate how and in what manner restitution would be accomplished. They simply failed to do so. There is no evidence to support the claim that the presentence report was either incomplete or prejudicial.

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Cite This Page — Counsel Stack

Bluebook (online)
288 N.W.2d 37, 205 Neb. 412, 1980 Neb. LEXIS 736, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-hadley-neb-1980.