United States v. Sturtz

648 F. Supp. 817, 1986 U.S. Dist. LEXIS 17628
CourtDistrict Court, S.D. New York
DecidedNovember 17, 1986
Docket86 Cr. 403 (LLS)
StatusPublished
Cited by6 cases

This text of 648 F. Supp. 817 (United States v. Sturtz) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Sturtz, 648 F. Supp. 817, 1986 U.S. Dist. LEXIS 17628 (S.D.N.Y. 1986).

Opinion

MEMORANDUM OPINION ORDER

STANTON, District Judge.

Defendant Leonard Sturtz was indicted in May, 1986 with six counts of selling unregistered securities in violation of the Securities Act of 1933 and four counts of interstate transportation of fraudulently obtained funds in violation of 18 U.S.C. § 2314. A superseding indictment was filed in August, 1986 dropping two of the counts of the sale of unregistered securities and adding six new counts of such sales; changing the format of the sale of unregistered securities charge; adding five counts of fraud in the sale of securities; and changing the four counts of interstate transportation in violation of 18 U.S.C. § 2314 to four counts of wire fraud in violation of 18 U.S.C. § 1343. Defendant moves pursuant to (a) Fed.R.Crim.P. 12 for an order dismissing counts 1 through 6 and 11 through 16 of the superseding indictment for violation of the doctrine of spe *819 cialty; (b) Fed.R.Crim.P. 7(f) for a bill of particulars; (c) Fed.R.Crim.P. 16 for pretrial disclosure of “3500” material.

Motion to Dismiss Counts 1 through 6 and 11 through 16 of the Indictment

Defendant moves to dismiss counts 1 through 6 and 11 through 16 of the superseding indictment on the ground that these counts violate the doctrine of specialty. Defendant’s motion is denied.

The Second Circuit has defined the principle of specialty as providing that “the requisitioning state may not, without permission of the asylum state, try or punish the fugitive for any crimes committed before the extradition except the crimes for which he was extradited.” Shapiro v. Ferrandina, 478 F.2d 894, 905 (2d Cir.), cert. denied, 414 U.S. 884, 94 S.Ct. 204, 38 L.Ed.2d 133 (1973) (quoting Friedman, Lissitzyn & Pugh, International Law 493 (1969)). A fundamental concern of the doctrine is that persons who are surrendered should not be subject to indiscriminate prosecution by the receiving government, especially for political crimes. Fiocconi v. Attorney General of the United States, 462 F.2d 475, 481 (2d Cir.), cert. denied, 409 U.S. 1059, 93 S.Ct. 552, 34 L.Ed.2d 511 (1972). A superseding indictment which charges offenses of the same character as the crime for which the fugitive was extradited does not offend the doctrine. See United States v. Rossi, 545 F.2d 814, 815 (2d Cir.1976), cert. denied, 430 U.S. 907, 97 S.Ct. 1178, 51 L.Ed.2d 584 (1977); Fiocconi, 462 F.2d at 481; United States v. Paroutian, 299 F.2d 486, 490-91 (2d Cir.1962); United States v. Molina-Chacon, 627 F.Supp. 1253, 1264 (E.D.N.Y.1986). If, however, the superseding indictment adds “separate offenses,” the doctrine may be offended. See Fiocconi, 462 F.2d at 480-81.

In determining whether a separate offense has been added, this Circuit does not use a technical standard. “[T]he test whether trial is for a ‘separate offense’ should be not some technical refinement of local law, but whether the extraditing country would consider the offense actually tried ‘separate.’ ” Paroutian, 299 F.2d at 490-91. The general character of the crime for which the fugitive was extradited is used to determine whether a superseding indictment adds a separate offense. See id; Rossi, 545 F.2d at 815; Fiocconi, 462 F.2d at 481.

Counts 1 through 6 and count 11 plead additional victims of the same scheme alleged in counts 1 through 6 of the original indictment. These new counts are not separate offenses within the purview of the doctrine of specialty. Cf. Rossi, 545 F.2d at 815 (general offense of trafficking in narcotics permitted broader time frame); Molina-Chacon, 627 F.Supp. at 1264 (general heroin conspiracy permitted enlargement in number of offenses). Counts 12 through 16 in the superseding indictment charge the defendant with the same general offense for which his deportation was sought — violations of the Security Act of 1933. These counts do not constitute separate offenses for the doctrine’s purposes. Cf. Paroutian, 299 F.2d at 490-91; Fiocconi, 462 F.2d at 481.

Accordingly, it is unnecessary to reach the merits of whether the doctrine of specialty applies when a fugitive is expelled by the asylum state, because here the doctrine, even if applicable, would have no effect. Even if the doctrine applied, the superseding indictment does not add any separate offenses. Defendant’s motion to dismiss counts 1 through 6 and 11 through 16 based on the doctrine of specialty is denied.

Bill of Particulars

The defendant moves pursuant to Fed.R.Crim.P. 7(f) for a bill of particulars setting forth the details of the defendant’s alleged sale of unregistered securities, fraudulent sale of securities and wire fraud. The purpose of a bill of particulars is to supplement the allegations in the indictment when necessary to (1) enable the defendant to prepare his defense, (2) avoid unfair surprise to the defendant at trial, and (3) preclude a second prosecution for the same offense. Wong Tai v. United States, 273 U.S. 77, 82, 47 S.Ct. 300, 302, 71 *820 L.Ed. 545 (1927); United States v. Salazar, 485 F.2d 1272, 1277 (2d Cir.1973), cert. denied, 415 U.S. 985, 94 S.Ct. 1579, 39 L.Ed.2d 882 (1974). A bill of particulars is not to be used as a general discovery tool for the defense, and one should not be required merely to provide the defendant a pre-trial view of the government’s evidence and legal theories. See United States v. Gottlieb, 493 F.2d 987, 994 (2d Cir.1974); United States v. Payden, 613 F.Supp. 800, 816 (S.D.N.Y.1985); United States v. Nelson, 606 F.Supp. 1378, 1390 (S.D.N.Y.1985); United States v. Wilson, 565 F.Supp. 1416, 1438-39 (S.D.N.Y.1983); United States v.

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Bluebook (online)
648 F. Supp. 817, 1986 U.S. Dist. LEXIS 17628, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-sturtz-nysd-1986.