State v. Stringham

2001 UT App 13, 17 P.3d 1153, 412 Utah Adv. Rep. 39, 2001 Utah App. LEXIS 3
CourtCourt of Appeals of Utah
DecidedJanuary 11, 2001
Docket990630-CA
StatusPublished
Cited by22 cases

This text of 2001 UT App 13 (State v. Stringham) is published on Counsel Stack Legal Research, covering Court of Appeals of Utah primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Stringham, 2001 UT App 13, 17 P.3d 1153, 412 Utah Adv. Rep. 39, 2001 Utah App. LEXIS 3 (Utah Ct. App. 2001).

Opinion

OPINION

THORNE, Judge:

1 1 Defendants Robert Stringham and Gale Stringham appeal from convictions for Communications Fraud, a second degree felony, in violation of Utah Code Ann. § 76-10-1801 (1990), and Racketeering, a second degree felony, in violation of Utah Code Ann. § 76-10-1608 (1990). We affirm.

*1155 BACKGROUND

12 In the fall of 1992, defendants organized Utah Treatment and Addiction Health Services (UTAHS) to provide drug abuse and domestic violence counseling. Defendant Robert Stringham conducted UTAHS's business operations, which included the accounting and billing practices. Defendant Gale Stringham also participated in the control and direction of UTAHS's operations, as well as instructed UTAHS's employees on billing procedures. In addition to overseeing the daily operations of UTAHS, defendants also performed counseling services. Mr. String-ham was a certified alcohol and drug counsel- or, but he was not licensed by the State. Ms. Stringham possessed a Ph.D. in psychology, but she was also not licensed by the State. 1

T3 In December of 1992, UTAHS hired Dr. Charles Walton, a licensed physician, to co-facilitate a domestic violence group on Wednesday nights with Carolyn Edwards. 2 Dr. Walton also occasionally consulted with UTAHS patients to determine whether they needed prescriptions to deal with problems of depression or alcohol abuse. Dr. Walton did not participate in any other groups or supervise any other UTAHS employees.

T4 To facilitate his billing, Dr. Walton provided Mr. Stringham with a signature stamp. Dr. Walton requested that the signature stamp be used solely for billing his patients. Despite Dr. Walton's request, virtually all of the health insurance forms coming out of UTAHS's Salt Lake office bore Dr. Walton's signature stamp, showing Dr. Walton as the treating or supervising physician. Dr. Walton's signature stamp was also used, without his knowledge, to endorse insurance checks received by UTAHS for patients whose treatment Dr. Walton neither conducted nor supervised.

15 Defendant Robert Stringham was charged with thirteen counts of communications fraud and one count of racketeering. Defendant Gale Stringham was charged with five counts of communications fraud and one count of racketeering. Before trial, defendants' counsel and the State discussed a potential plea agreement. The plea agreement, however, was never finalized between the parties, nor was it submitted to the trial court for approval. Four days before trial, defendants filed a motion to enforce the proposed plea agreement. The trial court denied the motion.

T6 At trial, the State called more than a dozen witnesses, the majority of whom were UTAHS patients, who testified that Dr. Walton had not provided the services they received. The State also produced the insurance forms for these patients, which bore Dr. Walton's signature stamp and showed him as the treating or supervising physician.

T7 At the conclusion of the State's case, defendants filed a motion to dismiss the case against Ms. Stringham, alleging insufficient evidence to present the case to the jury. The trial court denied the motion.

T8 At the end of trial, defendants asked the trial court to include a "good faith" instruction pertaining to the communications fraud charges. Defendants' request was consistent with their argument that UTAHS's billing procedures conformed to industry practice. Defendants claimed they were not aware of any impropriety in UTAHS's billing procedures until Ms. Stringham read an article in The Utah Psychologist that stated, regarding billing practices, " 'common wisdom' dictates that if service is being performed by a psychological assistant, intern, or other unlicensed person, it is necessary to clearly indicate who actually provided the service." Dr. Chris K. Wehl, Imsurance News, The Utah Psychologist, Suramer 1994 (v. 4 no. 10), at TV 15-16 (citation omitted) {emphasis added).

T9 The trial court denied defendants' request, explaining that

I don't think that the good-faith instruction is a correct statement of the law. The reason I think that is because the mental *1156 state is clearly set forth in the statute. I think it's possible for an individual to be in good faith but, nevertheless, reckless within the meaning of the statute. And I'm concerned about creating a confusion between those two.

Defendants were convicted as charged. This appeal followed.

ISSUES AND STANDARD OF REVIEW

110 Defendants raise three arguments on appeal. First, defendants argue the trial court erred by not enforcing a tentative plea agreement between defendants and the State. A trial court's ruling regarding the enforceability of a plea agreement is a question of law. See State v. Patience, 944 P.2d 381, 384 (Utah Ct.App.1997) (stating "whether the State is entitled to rescind the plea agreement, [is al question| ] of law"). " 'We review questions of law for correctness, according no deference to the trial court's conclusions." Id. at 884-85 (quoting State v. Yates, 918 P.2d 136, 188 (Utah Ct.App.1996)).

111 Next, defendants argue the trial court erred by refusing to include defendants' good faith defense instruction regarding the communications fraud counts to the jury. "'"Whether the trial court's refusal to give a proposed jury instruction constitutes error is a question of law, which we may review for correctness.""'" State v. Widdison, 2000 UT App 185, ¶ 52, 4 P.3d 100 (quoting State v. Hamilton, 827 P.2d 232, 238 (Utah 1992) (citation omitted)).

112 Finally, defendants argue that (1) the State's evidence against Gale String-ham was insufficient to warrant submission to the jury; and (2) alternatively, the State's evidence against Ms. Stringham was insufficient to sustain a conviction. "We review for correctness the trial court's conclusion that the evidence established a prima facie case," and thus, warrants submission to the jury. State v. Kihlstrom, 1999 UT App 289, ¶ 8, 988 P.2d 949, cert. denied, 4 P.3d 1289 (Utah 2000). Further, "'[wle will reverse a jury verdict only when ... we find that "the evidence to support the verdict was completely lacking or was so slight and unconvincing as to make the verdict plainly unreasonable and unjust.""'" State v. Silva, 2000 UT App 292, ¶ 13, 13 P.3d 604 (quoting State v. Rudolph, 2000 UT App 155, ¶ 22, 3 P.3d 192 (citation omitted)).

ANALYSIS

A. The Tentative Plea Agreement

113 Defendants argue the trial court erred by failing to enforce a tentative plea agreement between defendants and the State. We disagree. Defendants, relying upon principles of contract law, seek specific performance of the tentative plea agreement.

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Cite This Page — Counsel Stack

Bluebook (online)
2001 UT App 13, 17 P.3d 1153, 412 Utah Adv. Rep. 39, 2001 Utah App. LEXIS 3, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-stringham-utahctapp-2001.