United States v. Robert L. Stephenson

921 F.2d 438, 1990 U.S. App. LEXIS 21855, 1990 WL 205104
Court of Appeals for the Second Circuit·Decided December 17, 1990·No. 400, Docket 90-1365·Published·Cited by 41 cases

Opinion

ALTIMARI, Circuit Judge:

Defendant-appellant Robert L. Stephenson appeals from an amended judgment, entered in the United States District Court for the Southern District of New York (Charles E. Stewart, Judge), imposing concurrent thirty-eight month terms of imprisonment for extorting and soliciting a bribe and making false statements to a federal agent. Judge Stewart also imposed a $100,000 fine on Stephenson. Stephenson is currently serving the sentence.

On this appeal, the defendant-appellant contends that the district court erred by applying the Sentencing Guidelines in effect at the time he was originally sentenced (“October 1988 Guidelines”), rather than applying a combination of the October 1988 Guidelines and the Guidelines in effect at the time of resentencing (“November 1989 Guidelines”). Stephenson also claims that the district court erred by upwardly departing pursuant to § 5K2 of the Sentencing Guidelines rather than pursuant to § 4A. Finally, Stephenson argues that the district court erred by failing to group count three with counts two and four under § 3D1.2 of the Guidelines. For the reasons set forth below, we vacate the judgment of the district court and remand for further proceedings.

BACKGROUND

In this Court’s disposition of defendant-appellant’s first appeal, United States v. Stephenson, 895 F.2d 867 (2d Cir.1990), the Court set forth the facts of this case in detail. Consequently, we will discuss only those facts which are relevant to this appeal.

Stephenson was formerly employed as an Export Licensing Officer at the United States Department of Commerce in Washington, D.C. His responsibilities included reviewing licensing applications from companies seeking to export high technology equipment. At trial, evidence was adduced that while he was a Department of Commerce employee, Stephenson began accepting unlawful payments from officials at C.H. International (“CHI”), a small exporting firm, in exchange for the improper issuance of export licenses. According to trial testimony, CHI paid Stephenson over *440 $100,000 in cash and merchandise to obtain the licenses.

In 1987, a representative of Zamax Co. (“Zamax”), another export company, approached CHI’s shipping manager and requested her assistance in preparing and submitting export license applications to the Department of Commerce. Upon receipt of these applications, Stephenson telephoned Ken Yeh, a Zamax vice president, and accused Zamax of intentionally understating the value of the equipment that it sought to export. After several conversations with Stephenson, Yeh became convinced that Stephenson was soliciting a bribe. Yeh informed the president of Za-max, Wilson Chang, of his suspicions. Chang then contacted the Federal Bureau of Investigation (“FBI”), which directed him to arrange a meeting with Stephenson. At this meeting, which Chang secretly recorded, the two men agreed that Chang would pay Stephenson $35,000 to “resolve the problems” with the license.

Subsequently, Stephenson began telling co-workers that Chang had offered him a bribe. On November 30, 1987 he falsely informed a Department of Commerce special agent that a Chinese businessman had attempted to bribe him, but that he had refused the offer. One day later, Stephenson told the same story to another Department of Commerce special agent, Michael Dubensky. Stephenson then enlisted the former president of CHI to call Dubensky and inform him that Chang had committed numerous export violations.

Stephenson was later arrested and charged with four separate offenses. Count one of the indictment charged him with conspiring with CHI employees to commit bribery in violation of 18 U.S.C. § 371; count two charged him with extorting $35,000 from Zamax in violation of 18 U.S.C. § 1951(b)(2); count three charged him with accepting a $35,000 bribe from Zamax in violation of 18 U.S.C. § 201(b)(2); and count four charged him with making false statements to a federal agent in violation of 18 U.S.C. § 1001. Following a jury trial, Stephenson was acquitted of count one and was found guilty of the remaining three counts.

Applying the Sentencing Guidelines then in effect, the district court determined that the proper combined adjusted offense level was 20. Pursuant to the Sentencing Guidelines, the court sentenced Stephenson to three concurrent thirty-eight month terms of imprisonment and, in addition, imposed a $100,000 fine and a $500 special assessment. On Stephenson’s initial appeal, this Court found that the district court erred by making an upward departure without articulating its rationale. Accordingly, the Court vacated the sentence and remanded the case for further proceedings. Stephenson, 895 F.2d at 878.

Prior to Stephenson’s resentencing, the November 1989 Guidelines were promulgated. The district court determined that application of the November 1989 Guidelines would result in imposition of a harsher sentence than would application of the October 1988 Guidelines. Therefore, Stephenson was resentenced on the basis of the October 1988 Guidelines. In calculating Stephenson’s offense level, the district court grouped together counts two and four, but concluded that § 3D1.2(d) of the Guidelines prohibited it from grouping counts two and three. Additionally, upon finding, by preponderance of the evidence, that Stephenson had accepted $100,000 in bribes from CHI “in connection with" the counts on which he was found guilty, the court made a two point upward departure pursuant to 18 U.S.C. § 3553(b). Joint Appendix (“J.A.”) at 115. Consequently, Stephenson was sentenced to three concurrent thirty-eight month terms of imprisonment on counts two, three and four and was fined $100,000. This appeal followed.

DISCUSSION

A. Application of the November 1989 Guidelines

Before Stephenson was resentenced, the October 1988 Guidelines, which were in effect on the date Stephenson was originally sentenced, were amended by the November 1989 Guidelines. Upon determining that application of the November

*441 1989 Guidelines would result in a three level increase in the base offense level, the district court sentenced Stephenson under the October 1988 Guidelines. J.A. at 104. See generally, Miller v. Florida, 482 U.S. 423, 430, 107 S.Ct. 2446, 2451, 96 L.Ed.2d 351 (1987); see also United States v. Suarez, 911 F.2d 1016 (5th Cir.1990); Hutchinson & Yellin, Federal Sentencing and Practice § 10.2 (1989) (“Miller

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

United States v. Robert L. Stephenson, 921 F.2d 438, 1990 U.S. App. LEXIS 21855, 1990 WL 205104 (2d Cir. 1990).

921 F.2d 438 (United States v. Robert L. Stephenson) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

Related

Bryant v. United States
S.D. New York, 2020
United States v. Jorge Ponce-Flores
900 F.3d 215 (Fifth Circuit, 2018)
United States v. Johnson
145 F. Supp. 3d 862 (D. South Dakota, 2015)
United States v. Tyrone McMillian
777 F.3d 444 (Seventh Circuit, 2015)
United States v. Martinez-Varela
531 F.3d 298 (Fourth Circuit, 2008)
United States v. Ruggiero
100 F.3d 284 (Second Circuit, 1996)
United States v. Steven Keller
58 F.3d 884 (Second Circuit, 1995)
United States v. Corrado
Third Circuit, 1995
United States v. Omar Lamont Lee
45 F.3d 428 (Fourth Circuit, 1994)
United States v. Nikki Chomakos
45 F.3d 431 (Sixth Circuit, 1994)
United States v. Gigante
39 F.3d 42 (Second Circuit, 1994)
United States v. Kenneth Terry Nelson
36 F.3d 1001 (Tenth Circuit, 1994)
United States v. Franklin D. Curry
35 F.3d 567 (Sixth Circuit, 1994)
United States v. Michael D. Milton
27 F.3d 203 (Sixth Circuit, 1994)
United States v. Charles R. Lance
23 F.3d 343 (Eleventh Circuit, 1994)
United States v. Earl J. Dudek
19 F.3d 1434 (Sixth Circuit, 1994)