United States v. Alan David Harris

38 F.3d 95, 1994 WL 583994
CourtCourt of Appeals for the Second Circuit
DecidedOctober 25, 1994
Docket60, Docket 93-1624
StatusPublished
Cited by21 cases

This text of 38 F.3d 95 (United States v. Alan David Harris) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Alan David Harris, 38 F.3d 95, 1994 WL 583994 (2d Cir. 1994).

Opinion

LUMBARD, Circuit Judge:

Alan David Harris appeals from the 71 month prison sentence imposed by Judge Wexler in the Eastern District of New York after his plea of guilty to 25 counts of mail and wire fraud. Harris argues that Judge Wexler denied him due process of the law by failing (1) to rule on his sentencing applications, (2) to give early notice of ex parte letters to the court, (3) to permit cross-examination of witnesses, and (4) to maintain an impartial proceeding. Harris also claims erroneous decisions on offense level adjustments with respect to acceptance of responsibility, unusually vulnerable victims, abuse of trust or use of a special skill, and the extent of the victims’ losses. Finally, he argues ineffective assistance of counsel at sentencing. We affirm.

In 1992, the U.S. Postal Service began investigating allegations of fraud and misrep *97 resentation in connection with real estate investment partnerships Harris organized and promoted between 1987 and 1993. On December 4, 1992, Harris was arrested, and on May 7,1998, he was indicted on 40 counts of mail and wire fraud under 18 U.S.C. §§ 1341 and 1343. On June 1, he pleaded guilty to 25 of the 40 counts. He admitted to misrepresenting to investors the number of future tenants in the properties and the sums already raised, and to holding himself out as an attorney despite his disbarment in 1987. He further acknowledged his use of investors’ funds for personal purposes. In exchange for the plea and for a promise of full restitution, the remaining counts were dismissed and further investigation into the involvement of his wife and son was discontinued.

On August 7, the Probation Department issued its Presentence Report suggesting under the Sentencing Guidelines a total offense level of 18, which carries a prison term of 27 to 33 months. The base offense level was set at six. U.S.S.G. § 2Fl.l(a). Thirteen levels were added to reflect the victims’ loss of over $2,500,000, and two levels for more than minimal planning. U.S.S.G. § 2Fl.l(b)(l)(N), (2)(A). Three levels were deducted for acceptance of responsibility. U.S.S.G. § 3E1.1.

Harris’s counsel Paul Rooney objected to the total loss amount, arguing that the figures in the report for amounts invested were incorrect, and that repayments made by Harris, tax deductions that might be available to victims, and “personal loans” made to Harris should be excluded from the total. He also submitted a letter to Judge Wexler seeking a downward departure under Guidelines section 5K2.0 and a sentence at the low end of the range.

In the months following the plea, the fraud victims and their attorneys and accountants sent letters to Judge Wexler stating their feelings of betrayal and disgust as well as the financial losses they had suffered. These letters included a memorandum of law written by the attorney for investors Timothy and Michael Muir, advocating a sentence eventually adopted by Judge Wexler. The judge also received letters from Harris himself, his wife, three children, daughter-in-law, mother-in-law, housekeeper, and friends.

On August 27, the first day of sentencing, Harris and his counsel Rooney each made statements to the court asking for clemency. The government presented as witnesses victims Timothy and Michael Muir, Carlos Vasquez, and Marty Ingels, and the Muirs’ attorney. After Ingels’s lengthy and vitriolic testimony, Judge Wexler declined to hear Rooney, and instead adjourned until September 2, announcing his intention to deny the acceptance of responsibility reduction and to add points based on the vulnerability of the victims and abuse of trust or use of special skills. He also excused the witnesses from returning the next week, and made reference to the letters from the victims, at which point Rooney said that he had not seen these letters. Rooney later received copies.

On September 2, the government called Postal Inspector John La Perla and victims Edith Burghardt and Carlos Vasquez as witnesses. Harris called no witnesses. After hearing arguments concerning the contested adjustments, Judge Wexler denied the three level reduction for acceptance of responsibility, and added two levels each for vulnerable victims and for use of special skills. The total offense level was thus raised to 25, with a corresponding range of 57 to 71 months imprisonment. Judge Wexler imposed a sentence of 71 months in jail, 3 years supervised release, and a $50 mandatory assessment for each of the 25 counts.

Harris makes several due process claims. First, he faults the court for not explicitly ruling on his counsel’s application for a downward departure or for a sentence at the low end of the range. However, the district court’s exercise of discretion is generally unreviewable when it imposes a sentence within a Guideline range, United States v. Soliman, 889 F.2d 441, 443 (2d Cir.1989), or denies a downward departure, United States v. Ritchey, 949 F.2d 61, 63 (2d Cir.1991). The court need not articulate its reasons. See United States v. Lawal, 17 F.3d 560, 563 (2d Cir.1994).

Next, Harris contends that Judge Wexler received numerous letters from the *98 victims urging stiff penalties, but did not share them with defendant’s counsel. Harris’s heavy reliance on United States v. Curran, 926 F.2d 59 (1st Cir.1991), where the court afforded defendant no opportunity to challenge letters written by adverse witnesses, is misplaced. Since the proceedings were adjourned and Harris had over one week in which. to consider the letters and prepare a response, which his counsel did, Harris received adequate “notice of and an opportunity to respond to information to be considered by the sentencing court, in order that he not be sentenced on the basis of misinformation.” United States v. Copeland, 902 F.2d 1046, 1050 (2d Cir.1990) (citing Townsend v. Burke, 334 U.S. 736, 741, 68 S.Ct. 1252, 1255, 92 L.Ed. 1690 (1948)). There is no claim that the letters contained inaccuracies or that the court was misled.

Harris then objects to his lack of opportunity to cross-examine the witnesses who testified on August 27. Rooney, however, did not ask for an opportunity to cross-examine them; he merely asked for an opportunity to speak — “may I just respond briefly to some of the matters that were discussed?” — which he was later allowed on the second day of sentencing. Nor did Rooney object when Judge Wexler told the witnesses that they need not return on September 2. In any event, we find Harris’s claim without merit.

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Bluebook (online)
38 F.3d 95, 1994 WL 583994, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-alan-david-harris-ca2-1994.