United States v. Barone

781 F. Supp. 1072, 1991 U.S. Dist. LEXIS 18309, 1991 WL 280390
CourtDistrict Court, E.D. Pennsylvania
DecidedDecember 13, 1991
DocketCr. 89-309-01
StatusPublished
Cited by7 cases

This text of 781 F. Supp. 1072 (United States v. Barone) is published on Counsel Stack Legal Research, covering District Court, E.D. Pennsylvania primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Barone, 781 F. Supp. 1072, 1991 U.S. Dist. LEXIS 18309, 1991 WL 280390 (E.D. Pa. 1991).

Opinion

*1073 MEMORANDUM AND ORDER

SHAPIRO, District Judge.

This court has conducted a factfinding inquiry at the request of the defendant into *1074 whether the government breached its plea agreement with the defendant, Richard Barone, and, if so, to what remedy the defendant is entitled at this time.

The court’s inquiry concerned the circumstances surrounding the defendant’s plea agreement to federal charges, his testimony in federal court, and his subsequent indictment by the State of New Jersey on prior unrelated offenses. The hearings were initiated by the court after statements by the defendant implying that he was being tried in the State of New Jersey for crimes for which he was immunized by the federal government.

Counsel was appointed by the court for the investigation and presentation of the defendant’s claim. The court conducted an in camera review of the file of the Federal Bureau of Investigation and called the investigative agents as witnesses. The defendant was afforded the opportunity to call witnesses in support of his claim.

After reviewing post-hearing submissions from defendant and the government, the Court makes the following findings and conclusions.

FINDINGS OF FACT

1. Richard Barone entered a plea of guilty to two counts of the indictment, pursuant to a written and signed plea agreement, on November 3, 1989.

2. Under the agreement, Mr. Barone promised, inter alia, “to be fully debriefed concerning his knowledge of, and participation in, the offense charged in this indictment, and any other crimes about which he has knowledge.” Para. 6(b)(1).

3. Under the agreement, Mr. Barone also promised “to testify as a witness ... at any ... trials when called upon to do so by the Government.” Para. 6(b)(2).

4. Under the agreement, inter alia, the government of the United States promised to “provide Mr. Barone with the opportunity to apply for admission to the federal witness protection program.” Para. 6(c)(2)(c).

5. By implication, the government promised in connection with its obligation under Para. 6(c)(2)(c) of the agreement not to do anything that would cause Mr. Bar-one to lose the benefit of the Witness Protection Program if he were admitted into it.

6. Under this agreement, the government of the United States also promised to “bring no additional charges against the defendant for criminal conduct related to activity which he has disclosed during proffer sessions with federal agents prior to the entry of his guilty pleas.” Para. 6(c)(2)(e).

7. By implication, the government promised in connection with its obligation under Para. 6(c)(2)(e) not to do anything that would cause additional charges to be brought against Mr. Barone by other authorities on the basis of matters he disclosed during any pre-plea proffer and not to facilitate the successful prosecution of such charges.

8. A proffer session was held on or about November 2, 1989, the day trial began against co-defendants Mssrs. Barone and Merlino, and prior to the entry of Mr. Barone’s guilty plea in this case. Agent Rochon of the FBI took notes on a yellow legal pad; however, the notes retained in the FBI’s case file do not include information about the crimes that Mr. Barone disclosed that evening other than that for which he was currently on trial. However, the communication from Rochon in connection with the proffer to ascertain Barone’s eligibility for the witness protection program stated that Barone would provide information, inter alia, about the Junior Black Mafia. The authorization to offer Barone an opportunity to apply for the witness protection program specifically referred to his giving information about crimes other than the subject of the guilty plea. A memo to file by Agent Rochon also stated:

AUSA GOLDMAN said additional interviews will be conducted of BARON [sic] in the future concerning this matter and a debriefing will also take place of BARON concerning his knowledge of La Cosa Nostra (LCN) gambling activities, false auto accident claims, and influencing of players for the Philadelphia hock *1075 ey FLYERS team by himself and MERLINO.
Based on the above request of GOLDMAN, no FD-302 will be prepared of the 11/2/89, interview of BARON and the interview log, interview notes, and FD-395 will be placed in a 1-A envelope.

9. In the proffer session, Mr. Barone disclosed prior criminal activities, including his involvement with Pamela Jo Costello in the June, 1986 theft from the Golden Nugget Casino and in the November, 1985 theft from Harrah’s (Trump Casino/Hotel).

10. Prior to November, 1989, both Bar-one and Costello had been identified as suspects in the 1985 and 1986 casino thefts, but the investigation by New Jersey authorities appears to have been dormant.

11. The otherwise unexplained reactivation of the New Jersey investigation of the casino thefts followed shortly after the time of Mr. Barone’s debriefings by the FBI, and preceded his public testimony.

12. While Mr. Barone’s guilty plea and cooperation with the government were publicly disclosed in court proceedings and in the press prior to his trial testimony, neither referred to Mr. Barone’s involvement in the casino thefts.

13. At the time of signing the agreement and entering his guilty plea, Mr. Bar-one did not understand that the terms of the plea agreement did not afford him immunity, in the legal sense, from prosecution for other offenses disclosed.

14. Harvey Sernovitz, Esquire, Mr. Bar-one’s retained attorney at the time, did not explain to Mr. Barone the distinctions between a non-prosecution agreement and a grant of immunity. Further, Mr. Sernovitz never considered Mr. Barone’s risk of prosecution by the State of New Jersey as a result of his disclosures.

15. In connection with ascertaining the voluntariness of Mr. Barone’s plea, this court did not determine that he understood the significance and limitations of the non-prosecution aspect of the plea agreement in any of the respects that have since become a problem. N.T. (Nov. 3, 1989), at 16. While the court discussed the provisions of the plea agreement with Mr. Barone, the court was not informed of the casino thefts and did not discuss possible state prosecution with him.

16. The FBI agents in Philadelphia who were privy to Mr. Barone’s disclosures kept their fellow agents in southern New Jersey informed of the case developments. As a matter of FBI practice, neither in-person contacts nor telephone calls during which such information could have been disclosed are routinely recorded or filed, therefore, the absence of any note of a particular disclosure is not probative as to any dissemination of information revealed in a proffer session.

17. Through his contacts at the Linwood, New Jersey, FBI office, retired FBI agent Jack Tuttle, Director of Surveillance for Bally’s Grand casino, successor to the Golden Nugget, made clear his interest in the Barone case and made inquiries about the federal prosecution from the time of Mr.

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Cite This Page — Counsel Stack

Bluebook (online)
781 F. Supp. 1072, 1991 U.S. Dist. LEXIS 18309, 1991 WL 280390, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-barone-paed-1991.