United States v. David A. Ruzzano

247 F.3d 688, 87 A.F.T.R.2d (RIA) 1561, 2001 U.S. App. LEXIS 5993, 2001 WL 355727
CourtCourt of Appeals for the Seventh Circuit
DecidedApril 4, 2001
Docket99-4033
StatusPublished
Cited by49 cases

This text of 247 F.3d 688 (United States v. David A. Ruzzano) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh 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. David A. Ruzzano, 247 F.3d 688, 87 A.F.T.R.2d (RIA) 1561, 2001 U.S. App. LEXIS 5993, 2001 WL 355727 (7th Cir. 2001).

Opinion

KANNE, Circuit Judge.

On August 9, 1984, a grand jury in the Northern District of Illinois returned a sixteen count indictment against David A. Ruzzano. Counts fifteen and sixteen, at issue here, charged Ruzzano with tax evasion in violation of 26 U.S.C. § 7201 in the amount of $813,000 and $236,000 for the years of 1979 and 1980 respectively. The indictment was the result of an investigation into Ruzzano’s participation in an oil swindle in which he allegedly promised investors substantial profits on investments in oil producing corporations that did not actually produce oil. At the time of the indictment, Ruzzano was not present in the United States, and his location abroad was unknown.

Ruzzano, who left the country in 1980, claims that he first learned of the criminal charges pending against him in 1985 when he entered the American Embassy in the Netherlands to renew his passport. At the request of the United States, Dutch authorities provisionally arrested Ruzzano, but they later released him on bond pending extradition. By the time U.S. Marshals had arrived to bring Ruzzano back to the United States, he had disappeared. Ruzzano’s whereabouts remained unknown until he was discovered in the French Caribbean on St. Martin in 1995. The French detained him for six months, but he was never arrested. After his release from French custody, Ruzzano’s whereabouts again became unknown to U.S. authorities until three years later when Ruzzano presented himself to the American Embassy in Lisbon, Portugal. He told the authorities there that he wanted to clear up the criminal charges pending against him. Eight months later — nearly fifteen years after he was indicted — Ruzzano was extradited to the United States.

Upon his return to the United States, Ruzzano entered an agreement with the government in which he pleaded guilty to two counts of tax evasion. In the plea agreement, Ruzzano acknowledged that he wilfully and knowingly attempted to evade the income tax due and owing to the United States of America by keeping improper records, failing to report income derived from a substantial number of cash transactions, and by failing to file income tax returns with the Internal Revenue Service for the calendar years of 1979 and 1980.

District Court Judge Suzanne B. Conlon conducted a guidelines-type sentencing hearing although none was required inasmuch as this was to be a pre-guidelines sentence. Before sentencing, both Ruzza-no and the government submitted their own versions of Ruzzano’s offense. Ruzza-no also submitted a position paper for sentencing in which he asked the court to consider the fact that he ultimately turned himself in. The position paper also took issue with a number of the government’s characterizations of his actions. In the position paper, Ruzzano claimed that he never intended to defraud anyone. Instead, he contended that his legal troubles were the result of “dreamy expectations and reckless bookkeeping.” The position paper also disputed the government’s characterization of Ruzzano’s initial departure from the United States as an attempt to evade the law. Although he did not deny that “he was a fugitive from justice *693 for many years,” Ruzzano maintained that he initially left the country not to evade the authorities but solely to avoid the effects of the recently enacted windfall profits tax. In support of this assertion, the position paper pointed out that no criminal charges were pending against Ruzzano when he left the country.

At sentencing, Ruzzano’s counsel repeated many of the same arguments made in the position paper. Ruzzano’s attorneys emphasized the fact that Ruzzano, while once a fugitive, did ultimately decide to turn himself in and accept responsibility for his actions. Counsel also asked the court to take into account certain mitigating factors including contriteness, exemplary military service, chronic health problems, and time spent in “horrifying conditions” in a Portuguese prison. In response, the government argued that Ruz-zano’s attempts to avoid apprehension should aggravate his sentence. Noting that he would be sentenced under the pre-guidelines sentencing regime in which defendants serve less of their sentence than under the guidelines, the government recommended that Ruzzano be sentenced to the maximum term of imprisonment — five years per count. The district court agreed. The court stated that the fact that Ruzzano ultimately turned himself in to the authorities some fifteen years after he was indicted was not enough to show acceptance of responsibility. Consistent with the government’s recommendation, the district court then imposed the maximum allowable sentence: five years for each count, the terms to run consecutively, for a total of ten years imprisonment.

Ruzzano raises three issues on appeal. First, he claims that the district judge should have recused herself pursuant to 28 U.S.C. §§ 455(a) and 455(b)(3). Next, Ruzzano contends that his counsel failed to provide effective assistance at sentencing. Lastly, he claims that the district court abused its discretion in sentencing by overlooking evidence of remorse, contrition, acceptance of responsibility, and other mitigating factors.

I. Analysis

A § Jp55 Claims

Ruzzano argues that Judge Conlon should have recused herself from his case pursuant to 28 U.S.C. §§ 455(a) and 455(b)(3). His claim, never presented to Judge Conlon and raised for the first time on appeal, is based on the fact that Judge Conlon served as an Assistant United States’ Attorney (AUSA) in the U.S. Attorney’s Office for the Northern District of Illinois at the same time that Ruzzano was indicted by a grand jury in that district. At the outset, we note that we do not know whether Judge Conlon played any role in or was even aware of Ruzzano’s indictment during her time in the U.S. Attorney’s Office. While it is undisputed that her name does not appear on any of the documents related to the case, Ruzzano argues that Judge Conlon may have provided assistance or expressed an opinion about his case to a fellow AUSA.

Ruzzano sent a Freedom of Information Act (FOIA) request to the Department of Justice asking for information relating to Judge Conlon’s involvement with his case, but he did not receive a response. Although the government’s failure to respond to the FOIA request does concern us, we find it highly unlikely that the U.S. Attorney’s Office keeps a record of every time one AUSA sticks his head into another AUSA’s office to ask her a question about a pending case. Almost certainly, the sole person who knows whether Judge Conlon may have expressed an opinion on the merits of the defendant’s case is Judge Conlon herself. Had Ruzzano raised this issue in the district court, we would now *694 have the benefit of Judge Conlon’s response.

1. Ruzzano’s § í55(a) Claim.

28 U.S.C.

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Bluebook (online)
247 F.3d 688, 87 A.F.T.R.2d (RIA) 1561, 2001 U.S. App. LEXIS 5993, 2001 WL 355727, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-david-a-ruzzano-ca7-2001.