UNITED STATES of America, v. Frank SERAFINI; United States of America, v. Frank Serafini

233 F.3d 758
CourtCourt of Appeals for the Third Circuit
DecidedDecember 1, 2000
Docket99-3994, 00-3005
StatusPublished
Cited by151 cases

This text of 233 F.3d 758 (UNITED STATES of America, v. Frank SERAFINI; United States of America, v. Frank Serafini) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
UNITED STATES of America, v. Frank SERAFINI; United States of America, v. Frank Serafini, 233 F.3d 758 (3d Cir. 2000).

Opinions

OPINION OF THE COURT

RENDELL, Circuit Judge.

In this appeal, Frank Serafini challenges his conviction and sentence for one count of perjury in violation of 18 U.S.C. § 1623 (1994).1 Serafini, a popular state legislator in northeastern Pennsylvania, was convicted based on his false testimony before a federal grand jury; the grand jury was investigating a scheme wherein corporate political contributions were funneled through third-party conduits in violation of federal election laws. In his grand jury testimony, Serafini had denied that he was reimbursed for a contribution he had made to Senator Bob Dole’s presidential campaign. In seeking to overturn his conviction, Serafini maintains on appeal that (1) the prosecutor’s questioning before the grand jury was insufficiently precise to support a perjury conviction; (2) the District Court was wrong to strike only one aspect of Serafini’s indictment, but should instead have dismissed the indictment in full; (3) the government’s purported failure to disclose during discovery that its key witness had been re-immunized violated Serafini’s due process rights; (4) the District Court erred in several evidentiary rulings, most notably in admitting a digital recording of Serafini’s grand jury testimony and in admitting documentary evidence and live testimony concerning other people’s participation in the scheme; and (5) the government’s evidence was legally insufficient to support a conviction. Serafini also challenges his ten-month split sentence,2 arguing that the District Court had [763]*763no basis for a three-level enhancement for “substantial interference with the administration of justice.” See U.S.S.G. § 2J1.3(b)(2).3 The government cross-appeals Serafmi’s sentence, contesting both the fact and the extent of the District Court’s three-level downward departure for exceptional civic or charitable contributions pursuant to U.S.S.G. § 5H1.11. The government also challenges the District Court’s recommendation as to where Ser-afim’s sentence should be served, arguing that the facility recommended is not a proper location for “imprisonment” under the Sentencing Guidelines.

We conclude that Serafini received a fair trial in all respects and will affirm his conviction. We further conclude that the District Court’s enhancement and downward departure were not an abuse of its discretion, but that its confinement recommendation was subject to question. We will nonetheless affirm Serafim’s sentence.

I. Facts and Procedural History4

Serafini was subpoenaed to testify before a grand jury that was investigating possible violations of the Federal Election Campaign Act (FECA), 2 U.S.C. §§ 431-456.5 The principal targets of the probe were Renato Mariani, president of Empire Sanitary Landfill, Inc. (Empire), and Serafini’s nephew, Michael Serafini. The apparent violations were that Michael Serafini6 and his secretary had solicited numerous employees, business associates, and family members to make $1,000 contributions to Senator Bob Dole’s presidential campaign, and that Michael reimbursed them for these contributions;7 the resulting transactions between Michael and these “conduits” therefore allegedly violated FECA. See 2 U.S.C. § 441f (“No person shall make a contribution in the name of another person or knowingly permit his name to be used to effect such a contribution....”).

Serafini allegedly had a close and longstanding connection with Michael and with Empire, a landfill located in Pennsylvania. At the time of the events in question, approximately 80 to 90 percent of the waste dumped at Empire originated from out of state, see A. at 1737-38, but legislation was pending in the United States Senate that would have prohibited or restricted the importation of out-of-state waste, see A. at 1784. Empire lobbied Senator Dole, the Senate majority leader, to alter or block this legislation. See A. at 1798-1804. Serafini had both personal and financial connections to Empire: his nephew Michael was Empire’s second-in-command, and Serafini was himself a 50 percent owner of a family partnership that had sold Empire the land on which it operated and that received a $1.50 royalty for each ton of waste disposed at Empire. See A. at 1711, 1897, 2484, 2798, 3442-46, [764]*7643606. Serafini’s landfill royalty income formed the vast majority of his total income; his annual royalties in 1995-97 ranged from slightly over $800,000 to nearly $1.1 million. See A. at 1322, 1324, 1326. Serafini allegedly played a role in Empire’s lobbying activities; he wrote a letter in 1986 to the former U.S. Attorney requesting investigation of a Congressman whom Serafini claimed was “holding up a permit” for Empire, see A. at 3439, and he also joined Michael and other Empire officials on a lobbying trip to Washington, D.C. in 1995, see A. at 1644-46.

Serafini was called before the grand jury to answer questions about Michael’s having solicited Serafini for a $1,000 contribution and allegedly having reimbursed him for that contribution. When he first appeared before the grand jury, Serafini invoked his Fifth Amendment rights and was excused. See A. at 226-27. The government then sought and received an order immunizing Serafini so that the government could compel his testimony before the grand jury; the resulting subpoena ordered him to produce “[a]ll documents relative to political contributions you were reimbursed for.” A. at 234. During Ser-afini’s appearance before the grand jury, the Assistant U.S. Attorney informed him that he could be prosecuted if he provided false testimony. See A. at 326. Although Serafini did acknowledge that Michael had solicited and obtained from him a $1,000 contribution to Dole, see A. at 339, he denied that a $2,000 check given to him by Michael that same week was in part a reimbursement for that contribution. Instead, Serafim maintained that the $2,000 probably represented Michael’s reimbursing Serafini for payments that Serafini made to a mechanic who had fixed Michael’s Porsche.8 The following excerpts from Serafini’s grand jury testimony formed the predicate for his subsequent indictment for perjury:9

Statement 1:

Q: And did you bring any documents pursuant to the subpoena that required your appearance here today?
A: I don’t have the documents, I don’t have documents with me but the subpoena, because the subpoena didn’t require any. The way I read the subpoena, I have a copy of it, all documents relative to political contributions you were reimbursed for, and I was not reimbursed for any contributions.

A. at 327-28 (emphasis added).

Statement 2:

Q: Well, then why wouldn’t he reimburse you for your Dole contribution under the same rationale?
A: Because I wanted to contribute to Bob Dole.
Q: And you didn’t want to fix his car? A: Not necessarily—

Free access — add to your briefcase to read the full text and ask questions with AI

Related

United States v. Kyle Paine
Third Circuit, 2023
United States v. Jermaine Turner
659 F. App'x 100 (Third Circuit, 2016)
United States v. Gordon McDonald
654 F. App'x 118 (Third Circuit, 2016)
United States v. Joseph Ragnoli
646 F. App'x 189 (Third Circuit, 2016)
United States v. Kenneth Schneider
801 F.3d 186 (Third Circuit, 2015)
United States v. Satiek Duncan
615 F. App'x 726 (Third Circuit, 2015)
United States v. Matthew Kolodesh
787 F.3d 224 (Third Circuit, 2015)
United States v. Ramel Moten
617 F. App'x 186 (Third Circuit, 2015)
United States v. Jose Montalban
604 F. App'x 100 (Third Circuit, 2015)
United States v. George Georgiou
777 F.3d 125 (Third Circuit, 2015)
United States v. Anthony Spence
562 F. App'x 101 (Third Circuit, 2014)
United States v. Mikel Jones
544 F. App'x 87 (Third Circuit, 2013)
United States v. John Chaffo, Jr.
452 F. App'x 154 (Third Circuit, 2011)
United States v. Fumo
655 F.3d 288 (Third Circuit, 2011)
United States v. George Oyakhire
431 F. App'x 126 (Third Circuit, 2011)

Cite This Page — Counsel Stack

Bluebook (online)
233 F.3d 758, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-of-america-v-frank-serafini-united-states-of-america-v-ca3-2000.