United States v. Sampson
United States v. Sampson
Opinion
On July 24, 2015, following a jury trial in the United States District Court for the Eastern District of New York (Irizarry,
C.J.
), Defendant-Appellant John Sampson ("Sampson") was convicted of one count of obstruction of justice, in violation of
BACKGROUND
I. Factual Background 1
Sampson began serving in the New York State Senate in 1997, representing the 19th Senate District in Brooklyn. Until his expulsion from the Senate in 2015, Sampson was seen as a political "powerhouse." See Alan Feuer, John Sampson, Once a State Senate Powerhouse, Sentenced to Prison , N.Y. Times, Jan. 19, 2017, at A20. He served as leader of the Democratic Conference of the Senate from June 2009 to December 2012, and Minority Leader of the Senate from January 2011 to December 2012.
Sampson was also licensed to practice law in New York State. As described in more detail in this case's companion appeal, United States v. Sampson , No. 15-2869-cr (2d Cir. 2018), Justices of the New York State Supreme Court periodically appointed Sampson to serve as a referee in foreclosure actions for properties located in Brooklyn. The government argued at trial that over time, Sampson embezzled hundreds of thousands of dollars from various foreclosure escrow accounts that he oversaw as a referee.
In July 2006, Sampson asked Edul Ahmad ("Ahmad"), a Queens businessman, to lend him $188,500 so that he could replace funds he had embezzled before the authorities could discover they were missing. Ahmad agreed to lend Sampson the money. Sampson failed to repay Ahmad. After realizing that Sampson would not repay the loan, Ahmad asked Sampson to use his position in the New York State Senate to provide Ahmad with special favors. Sampson subsequently intervened with New York State regulatory agencies conducting reviews of Ahmad's business, lobbied for Ahmad to receive potentially lucrative brokerships from national financial institutions, and introduced legislation that would have benefited Ahmad as the owner of a minority-owned business.
In July 2011, Federal Bureau of Investigation ("FBI") agents arrested Ahmad for mortgage fraud, and the United States Attorney's Office for the Eastern District of New York ("the USAO") commenced its prosecution of Ahmad. After Ahmad was released on bail, he met with Sampson "multiple times." App'x at 109. Sampson told Ahmad that Sampson "had a friend that he had gone to school with" who worked in the USAO, "and that he would reach out to this individual and try to get some information as to the strength of [the USAO's] case," including the names of individuals who might testify against Ahmad should Ahmad choose to go to trial.
Sampson contacted Samuel Noel ("Noel"), who, at the time, served as a supervisory paralegal at the USAO. Sampson provided Noel with the names of four potential witnesses in Ahmad's case: Leesa Shapiro, Glenn Hirsch, Roger Khan ("Khan"), and Premaj Hansraj ("Hansraj"). Noel understood that Sampson was asking him to conduct an improper search of the USAO's non-public database and determine who was planning to testify at Ahmad's trial. Noel knew that it was a crime for him to provide Sampson with this non-public information.
Nonetheless, after speaking with Sampson, Noel used his government account to run the names of Ahmad, Sampson, and the relevant witnesses through the Public Access to Electronic Records ("PACER") database. Noel understood at the time that he was forbidden from using PACER for such non-work-related purposes. Next, Noel looked up the names of Ahmad, Sampson, and the relevant witnesses in the Legal Information Office Network System ("LIONS"), a nonpublic USAO database with confidential information. 2 Noel found results for Ahmad, Khan, and Hansraj, but not for the others. Noel later told Sampson that he did not see his name or come across other relevant information in the LIONS database.
Noel also contacted two nonsupervisory USAO paralegals, one working on Ahmad's case and the other working in the USAO's public integrity section. During a closed-door meeting, Noel told the paralegal working on Ahmad's case to inform him of information regarding the case, including if she learned that witnesses were speaking
about Sampson. During another closed-door meeting in his office, Noel directed the paralegal working in the public integrity section to inform him if she came across any of the named witnesses mentioning Sampson. On November 22, 2011, Sampson assured Ahmad that Sampson was "on top of" Noel, and that Noel was "doing the best he can" to find out information on Ahmad's case.
Ahmad also informed Sampson that the FBI had approached Qayaam Farrouq ("Farrouq"), one of Ahmad's co-conspirators in the mortgage fraud. Ahmad told Sampson that he was worried that Farrouq would cooperate with the government. Ahmad therefore suggested that Sampson provide Farrouq with an attorney who would betray attorney-client confidentiality and provide them with information about whether Farrouq would cooperate. Sampson arranged for an attorney to represent Farrouq, instructing Ahmad not to have contact with the attorney directly, but that Sampson himself would communicate with the attorney about Farrouq.
Sampson followed a similar tack after the government arrested Nazir Gurmohamed ("Gurmohamed"), one of Ahmad's other co-conspirators. Sampson suggested that he and Ahmad obtain an attorney for Gurmohamed who would breach privilege and inform them if Gurmohamed began cooperating with the government. During the meeting with Ahmad at which this conversation took place, Sampson talked to Farrouq's attorney on the phone and solicited information about Farrouq and Gurmohamed's arraignments and bail hearings. As for obtaining a lawyer for Gurmohamed, Sampson instructed Ahmad to pay the attorney in cash so there would be no "money trail."
Sampson also attempted to hire a private investigator, Warren Flagg ("Flagg"), a former FBI agent who worked with the USAO while in that role. Sampson hoped that Flagg could exploit his ties with the USAO to extract information regarding the case against Ahmad. During a meeting, Flagg told Ahmad that it would be illegal for him to secure confidential information about the USAO's potential cooperating witnesses.
See
Despite Sampson's efforts, Ahmad began to cooperate with the government in November 2011. Sampson and Ahmad met again in February 2012. In preparation for the meeting, pursuant to instructions from law enforcement, Ahmad copied a page from his check register that showed the $188,500 he had transferred to Sampson. During the meeting, Ahmad showed Sampson the copy, informed him that it was responsive to a government subpoena, and asked what he should do. Sampson instructed Ahmad not to produce the check register and to lie to the government about its-and the loan's-existence. Sampson then took the copy from Ahmad; he did not return it.
On July 27, 2012, two FBI agents-Ken Hosey ("Agent Hosey") and Erin Zacher ("Agent Zacher")-interviewed Sampson and questioned him about the check register page. Sampson claimed not to recall anything about the $188,500 payment that Ahmad had provided him. Agent Hosey
then showed Sampson a photocopy of Ahmad's check register page. Sampson told Hosey that the document "didn't ring a bell" and that "he didn't have a recollection from it."
In the same interview, the agents questioned Sampson about his ownership interest in a Brooklyn liquor store. Sampson had previously failed to disclose this interest when submitting a liquor license application to the New York State Liquor Authority. Responding to FBI questioning, however, Sampson admitted he did have the ownership interest. He claimed that his four business partners in the store awarded him the interest as payment for performing certain legal work, but Sampson failed to identify what work he did. He also denied asking one of his Senate staffers to help with a matter related to the store.
At the conclusion of the interview, Hosey informed Sampson that he believed Sampson was lying and that it was a felony to lie to federal agents. Sampson responded, "[n]ot everything I told you was false." Trial Transcript ("T.") 2109.
II. Procedural History
On April 29, 2013, a grand jury in the United States District Court for the Eastern District of New York returned an indictment against Sampson that contained nine criminal counts. On March 17, 2015, a grand jury returned a fifth superseding indictment, which contained eleven counts.
3
Counts 1 and 2 concerned Sampson's alleged embezzlements from the escrow accounts that he oversaw as a referee.
4
Count 3 charged Sampson with conspiracy to obstruct justice, in violation of
A jury trial commenced on June 22, 2015. On July 24, 2015, the jury found Sampson guilty as to Counts 4, 9, and 11. In other words, the jury concluded that Sampson personally obstructed justice in the mortgage fraud investigation and made false statements to Agents Hosey and Zacher regarding his knowledge of the check register page and his use of Senate staff to benefit the liquor store.
On September 14, 2015, Sampson moved for judgments of acquittal on Counts 4 and 9 (but not Count 11) pursuant to Federal Rule of Criminal Procedure 29.
See
United States v. Sampson
, No. 13-cr-269 (DLI),
In addition, on July 5, 2016, Sampson moved for a new trial due to the Supreme Court's decision in
McDonnell v. United States
, --- U.S. ----,
On January 18, 2017, the district court sentenced Sampson to five years of imprisonment on each of the three counts, with the sentences to run concurrently, followed by three years of supervised release. The district court entered judgment on January 27, 2017, and Sampson timely appealed. Sampson is presently serving his sentence.
DISCUSSION
I
Sampson first argues that the government's theory of obstruction under
Because Sampson's argument raises questions of law, our review is
de novo
.
See
United States v. Holcombe
,
A. Overview of
Section 1503(a) of Title 18 criminalizes,
inter alia
, endeavoring to intimidate, threaten, or injure court officers, commissioners, and jurors. It also contains a residual or "omnibus" clause.
See, e.g.
,
United States v. Aguilar
,
to convict for obstruction of justice under the omnibus clause of section 1503, the government must establish (1) that there is a pending judicial or grand jury proceeding constituting the administration of justice, (2) that the defendant knew or had notice of the proceeding, and (3) that the defendant acted with the wrongful intent or improper purpose to influence the judicial or grand jury proceeding, whether or not the defendant is successful in doing so-that is, "that the defendant corruptly intended to impede the administration of that judicial proceeding."
United States v. Quattrone
,
Before 1982, § 1503 also explicitly criminalized endeavoring to intimidate, threaten, or injure witnesses.
See
Hernandez
,
In Sampson's case, the government's theory of culpability under § 1503(a) was as follows: Sampson committed the
actus reus
of "endeavor[ing] to influence, obstruct, or impede, the due administration of justice" when he acted to acquire confidential information about witnesses in Ahmad's case.
Sampson
2016,
Standing in the way of this commonsense conclusion, Sampson insists, are our decisions in
Hernandez
and
Masterpol
.
Hernandez
involved a defendant who threatened a witness in an effort to coerce him into handing over documentary evidence.
Hernandez
,
We expanded on this reasoning in
Masterpol
. The defendant in
Masterpol
was charged under § 1503 for approaching witnesses in his own case and successfully urging them to recant their testimony.
Masterpol
,
Sampson argues that
Hernandez
and
Masterpol,
properly applied, mandate reversing his § 1503 conviction for endeavoring to witness tamper. We disagree. As noted above,
Hernandez
and
Masterpol
involved intimidating and threatening a witness, and corruptly persuading witnesses to recant their testimony. We decline today to extend the reasoning of
Hernandez
and
Masterpol
to bar any other sort of obstructive witness-related conduct from being prosecuted under § 1503.
See, e.g.
,
Mar. Ins. Co. v. Emery Air Freight Corp.
,
Two considerations undergird our decision today. First, it is undisputed that § 1503(a) proscribed endeavors to witness tamper before the Victim and Witness Protection Act amended it. And as
Hernandez
itself recognized, the goal of the Victim and Witness Protection Act was to "
strengthen
existing legal protections for victims and witnesses of federal crimes."
Hernandez
,
(concluding that an attempt must include "something more than mere preparation" (quoting
United States v. Farhane
,
Second, and perhaps more importantly, we are currently the only federal court of appeals to suggest that § 1503(a) 's omnibus clause does not proscribe endeavors to obstruct justice that involve potential witness tampering.
See
Bruno
,
These two considerations, taken together, lead us to conclude that Hernandez and Masterpol should not be extended beyond the precise situations that our Court confronted in those cases. 11 Thus, Hernandez and Masterpol bar the government from prosecuting an individual under § 1503(a) for intimidating and threatening witnesses or corruptly persuading witnesses to recant their testimony. They do not, however, bar the government from prosecuting an individual under § 1503(a) for an inchoate endeavor to witness tamper. We therefore affirm Sampson's § 1503(a) conviction.
II
Sampson next argues that even assuming § 1503(a) properly applies, his conviction on Count 4 still must be vacated because the district court failed to instruct the jury properly. In addition to charging Sampson as a principal under § 1503(a), the government charged, in the alternative, that by encouraging Noel to search through the USAO's classified database for information on witnesses in Ahmad's case, Sampson "willfully caused" Noel to violate § 1503(a), thereby rendering Sampson liable as an aider and abettor. 12 Sampson contends that the district court failed to instruct the jury properly as to the mens rea necessary for him to have aided and abetted a violation of § 1503(a). The parties dispute whether we should review this alleged error de novo or for "plain error." We need not decide the point, however, because even assuming de novo review applies, we conclude that vacatur is not warranted.
Under our
de novo
review standard, "[t]o secure reversal based on a flawed jury instruction, a defendant must demonstrate both error and ensuing prejudice."
United States v. Quinones
,
Here, the district court's aiding and abetting instruction reads as follows:
In addition to charging the defendant as a principal, the government has charged the defendant under [an] alternate theory that even if the defendant did not commit the crime charged in Count [Four], the defendant willfully caused another person to physically commit the crime. Thus, you may find that the defendant acted as an aider and abettor if you find that the government has proven beyond a reasonable doubt that he knowingly, willfully and corruptly caused another person to obstruct justice, as I just defined it. ...
What does the term "willfully caused" mean? It does not mean that the defendant himself need have physically committed the crime, or supervised, or participated in the actual criminal conduct charged in the indictment. The meaning of the term "willfully caused" can be found in the answers to the following questions:
[1] Did the defendant in or about and between July 2011 and July 2012 know that there was a federal proceeding pending before a federal judge or a court; that is the federal prosecution of Edul Ahmad, in the United States District Court of the Eastern District of New York?
[2] Did the defendant intentionally cause another person to obstruct, impede, or influence or corruptly endeavor to obstruct, impede or influence the federal prosecution of Edul Ahmad by obtaining nonpublic information contained in the government's files or computer databases?
If the jury is unanimously persuaded beyond a reasonable doubt that the answer to both of these questions is yes, then the defendant is an aider and abettor and is guilty of Count [Four], just as if he had actually committed [the underlying crime].
Supp. App'x at 26-28 (emphasis added).
Under our case law, § 2(b) aiding and abetting offenses consist of both an
actus reus
and a
mens rea
. The
actus reus
is that the defendant caused another person to commit the requisite act.
United States v. Whab
,
Sampson points to the district court's instruction that Sampson would be liable under § 2(b) if the following two facts were true: (1) Sampson knew about Ahmad's pending federal prosecution, and (2) Sampson "intentionally cause[d] [Noel] to ... obstruct, impede, or influence or corruptly endeavor to obstruct, impede, or influence" that prosecution. Supp. App'x at 27. The judge had also explained in an earlier instruction that "[b]efore [the jury] can find that the defendant acted intentionally, [it] must be satisfied beyond a reasonable doubt that the defendant acted deliberately and purposefully." T. 2465.
Sampson correctly notes that in this portion of the instruction, the district court did not explicitly affirm that Sampson needed to have acted "corruptly,"
i.e.
, with "a specific intent to obstruct a federal judicial or grand jury proceeding,"
Schwarz
,
Moreover, even as to the portion of the instruction on which Sampson focuses his attention, the district court charged that Sampson needed to have "
intentionally
cause[d]" Noel to endeavor to obstruct justice. Supp. App'x at 27 (emphasis added). As noted above, the district court had previously told the jury that a person acts "intentionally" when he acts "deliberately and purposefully." T. 2465. Thus, the district court effectively told the jury that Sampson must have
deliberately and purposefully
"cause[d] [Noel] to ... obstruct, impede, or influence or corruptly endeavor to obstruct, impede, or influence" Ahmed's prosecution. Supp. App'x at 27. This instruction is sufficiently near to the precise words preferred by Sampson-
i.e.
, that Sampson needed to have acted with "a specific intent to obstruct" Ahmed's prosecution-that we are unable to discern how the jury could have been misled. That is especially so when this language is properly placed in the context of the instruction's earlier admonition that Sampson may be liable under an aiding and abetting theory if the government proved "that he knowingly, willfully, and
corruptly
caused another person to obstruct justice."
III
Sampson next challenges his conviction on Count 9 for providing a false statement to federal officials in violation of
Q: [W]hat was the defendant's response when you asked him if he had seen the check register page before?
A: When I asked him if he had seen it before, he said he had not.
Q: Did [Sampson] appear to you to have any problem understanding your question regarding whether he'd seen this check register page before?
A: No. In fact, he said - his quotes were it didn't ring a bell, and he didn't have a recollection from it.
Q: Did he ask for any clarification regarding the question you asked about the check register page?
A: He said if he could check his files or there was more information, he may be able to recall.
Sampson first argues that his statement to Agent Hosey was literally correct, and therefore cannot be the basis for a § 1001(a)(2) conviction. Specifically, Sampson contends that Agent Hosey asked him if he recognized the FBI's photocopy of the check register page, which Sampson had indeed never seen. Sampson therefore argues that his response to Agent Hosey, although misleading, was literally true. But even assuming arguendo that a literally truthful statement cannot be the basis for a § 1001 charge, 14 Sampson's argument is without merit.
At the start, Agent Hosey did not testify as to the exact phrasing of his question, so the record is not clear whether Agent Hosey in fact asked, "Have you seen this document before?" But even assuming
arguendo
that he did, there was nothing "true"-literally or otherwise-about Sampson's response. Sampson did not simply answer Agent Hosey's question with a "no." According to Agent Hosey, "his quotes were
it didn't ring a bell
, and
he didn't have a recollection from it
."
The jury thus had more than an ample basis on which to conclude that Sampson's response to Agent Hosey's question was false.
See
United States v. Garavito-Garcia,
Sampson next contends that the evidence was insufficient to show that he intended to deceive Agent Hosey and his colleague, Agent Zacher. The district court instructed the jury that a statement or representation is "false or fictitious" under § 1001(a)(2)"if it was untrue when made, and known at the time to be untrue, by the person making it or causing it to be made." T. 2499. It further instructed that a statement or representation is "fraudulent" under § 1001(a)(2)"if it was untrue when made and was made, or caused to be made, with the intent to deceive the government agency to which it was submitted."
Finally, Sampson maintains that Agent Hosey's question was "fundamentally ambiguous,"
see, e.g.
,
United States v. Lighte
,
IV
Sampson next challenges his conviction on Count 11, contending that the district court erred in refusing to admit certain evidence, and in refusing to allow Sampson's attorney to ask a question of Agent Hosey during cross-examination. Count 11 charged Sampson with violating § 1001(a)(2) by telling Agents Hosey and Zacher that he never asked his Senate staffer to help with the liquor store's tax issues. At trial, the government elicited testimony from Agent Hosey as to how Sampson responded when questioned about whether he "had asked the Senate staff[er] to assist" the business partner "regarding the liquor store." App'x at 782. Agent Hosey responded that Sampson "stated he had not and said that he would not put pressure on his staff to make that kind of inquiry." Id .
During cross-examination, Sampson sought to introduce notes taken by Agent Zacher during the interview. Sampson offered the notes for two purposes: (1) to demonstrate that Sampson's statement that "he had not" asked the Senate staffer for assistance concerning the liquor store did not appear in the notes, which cast doubt on whether Sampson made this statement, and (2) to show that the structure of Agent Hosey's interview may have confused Sampson, and perhaps caused him to provide a false statement unintentionally. The government objected, asserting that the notes were hearsay. The judge sustained the government's objection. Sampson argues on appeal that the district court erred in refusing to admit the notes.
In addition, and also on cross-examination of Agent Hosey, Sampson's attorney attempted to ask him, "Isn't it a fact that John Sampson did not deny that he had asked his staff to assist?" Id. at 797. The government objected, and the judge sustained the objection. Sampson's attorney did not rephrase the question, but simply moved onto another topic. Sampson argues that the district court erred in refusing to allow his attorney to ask this question, and that the district court's evidentiary rulings also violated his Confrontation Clause rights.
"We review evidentiary rulings, including a trial court's decision to limit the scope of cross-examination, for abuse of discretion."
United States v. White
,
We conclude that the district court did not abuse its discretion-or violate the Confrontation Clause-in either of its evidentiary rulings. First, Agent Zacher's notes were hearsay not shown to fall within any exception, and were therefore inadmissible under Federal Rule of Evidence 802. Sampson offered Agent Zacher's notes to prove the truth of their contents- i.e. , he was offering them as an accurate reflection of what occurred during his interview with the FBI. This was improper. The district court explicitly allowed Sampson to raise the relevant information by cross-examining Agent Hosey without admitting the notes. See App'x at 799 ("You can ask [Agent Hosey about the structure of the interview] in a completely different way that doesn't violate my ruling [that the notes are inadmissible]. [']Did you ask him questions about various topics?['] [']Did you return to various topics after asking other questions?['] [']Yes or no?['] That's it, and you've got your point, and move on."). 16 Moreover, Sampson could have called and examined Agent Zacher herself, if Sampson had so wished. Agent Zacher's notes, however, were inadmissible hearsay. The district court did not abuse its discretion in refusing to allow Sampson to introduce them. 17
Second, the district court did not violate Sampson's Confrontation Clause rights by sustaining the government's objection to Sampson's question. As noted above, a district court can, consistent with the Confrontation Clause, impose reasonable limits on cross-examination to prevent "harassment, prejudice, confusion, and waste."
Ulbricht
,
V
Next, Sampson argues that it was unfairly prejudicial for the district court to admit evidence that Sampson had allegedly engaged in bribery. The government sought a pretrial ruling that it could introduce evidence that Sampson had engaged in political favors for Ahmad once Sampson made clear that he would not repay the money he had borrowed. The district court allowed the government to present this evidence at trial for (at least) two different purposes.
See
United States v. Sampson
, No. 13-CR-269 S-5 DLI,
On appeal, Sampson challenges the admission of the evidence directly to prove Counts 5 and 6, which involved Sampson's alleged efforts to prevent law enforcement agents from learning of information relating to the commission of a "federal offense." Under the government's theory at trial, the relevant "federal offense" under § 1512(b)(3) was Sampson's alleged violation of the federal bribery statute,
We disagree. "Under Rule 403, so long as the district court has conscientiously balanced the proffered evidence's probative value with the risk for prejudice, its conclusion will be disturbed only if it is arbitrary or irrational."
United States v. Awadallah
,
Of course, the district court needed to weigh the probative value of this evidence against the danger that it would inflame the jury, or that the jury would be inclined to "declar[e] guilt on a ground different from ... the offense charged,"
Old Chief v. United States
,
VI
Finally, Sampson challenges the reasonableness of his sentence. As noted above, the district court sentenced Sampson to 60 months of imprisonment on Counts 4, 9, and 11, with each sentence to be served concurrently. "We review sentences 'under a deferential abuse-of-discretion standard.' "
United States v. Young
,
Sampson challenges his sentence on four grounds. First, Sampson argues that the district court improperly imposed an additional 16-level enhancement to his offense level per U.S.S.G. §§ 2X3.1 and 2B1.1(b). Second, he claims that the district court erred in imposing an "abuse of public trust" enhancement under U.S.S.G. § 3B1.3. Third, he insists that the district court failed to provide an adequate justification for varying upward from the Guidelines sentencing range of 37 to 46 months. Finally, he contends that his sentence creates "unwarranted disparities." Br. for Def.-Appellant at 61. We reject all four of Sampson's arguments.
A. The 16-Level Enhancement
Section 2J1.2(c) of the Sentencing Guidelines instructs that if an individual commits an offense that involves obstructing a criminal investigation or prosecution, the sentencing court should apply § 2X3.1, the Guideline for "accessory after the fact." U.S.S.G. § 2J1.2(c) (2016). Pursuant to § 2X3.1(a)(1), except in circumstances not applicable here, an individual's base offense level should be six levels lower than the offense level for the underlying offense. Application Note 1 to § 2X3.1 explains that the sentencing court should "[a]pply the base offense level [for the underlying offense] plus any applicable special offense characteristics that were known, or reasonably should have been known, by the defendant."
Because Sampson was convicted of endeavoring to obstruct Ahmad's criminal prosecution for mortgage fraud, the district court referred to § 2B1.1-the Guideline for "fraud and deceit"-to calculate what the offense level might have been for Ahmad's underlying mortgage fraud. Section 2B1.1(b)(1) imposes a "special offense characteristic" enhancement for fraud, depending on the amount of the loss, see Application Note 3(A). Under § 2B1.1(b)(1)(I), if the intended or actual loss caused by the fraud was for more than $1.5 million, the sentencing court should increase the defendant's sentence by 16 levels. Read in conjunction with Application Note 1 to § 2X3.1, then, the district court should have imposed this 16-level sentence enhancement only if Sampson "kn[ew], or reasonably should have ... known" that Ahmad had committed fraud, and that this fraud was for a sum greater than $1.5 million. At sentencing, the district court concluded, "based on the evidence that was adduced at trial and the inferences that could be drawn from it," that Sampson either knew or should have known that Ahmad was engaging in a fraud of this scale-to wit, approximately $3 million. App'x at 1114-15.
Sampson argues that "[t]here [was] no factual basis" for the district court "to conclude that Sampson knew or should have known Ahmad committed fraud, let alone a fraud" over the requisite $1.5 million threshold. Br. for Def.-Appellant 51. Because Sampson is challenging the district court's factual findings on this issue, we may vacate only if the district court committed clear error.
See
Ulbricht
,
Here, there was no "clear error" in the district court's determination that Sampson knew (or reasonably should have known) about Ahmad's mortgage fraud, as well as its value. First and foremost, the evidence suggests that Sampson was aware that New York State regulators were investigating Ahmad's business, and he knew that Ahmad had received inquiries from these regulators concerning forged signatures on some of Ahmad's documents. Sampson even advised Ahmad to submit an affidavit denying that Ahmad knew about the forged signatures, and told him that he "should let Prem [Ahmad's business partner] take the blame on this," since "Prem didn't have anything to lose." App'x at 197. Furthermore, during a recorded conversation, Sampson strongly implied that he understood that Ahmad was committing fraud, and told Ahmad that he needed to use different language when conversing with him in the future so that Sampson would have plausible deniability. See Gov't App'x at 76-77 ("[AHMAD:] '[F]or example, Nazir, he bought houses for me. Steve bought houses for me.' ... [SAMPSON:] 'He didn't buy houses, no, no, no, Ed, he did not buy houses for you. You and Nazir, you're an investor [ sic ]. Nobody bought houses for you. You got to get that mindset out. Nobody bought houses for you."). In addition, during his recorded conversation with Flagg, Sampson expressed familiarity with the government's publicly filed indictment in Ahmad's case, which alleged that Ahmad's fraud was worth over $50 million. Given the evidence that Sampson knew of Ahmad's wealth, and that he knew Ahmad was engaging in fraud to augment this wealth, we do not believe that it was "clear error" for the district court to conclude that, at the very least, Sampson "should have known" that Ahmad was defrauding individuals in an amount greater than $1.5 million.
B. The Abuse of Public Trust Enhancement
Section § 3B1.3 of the Guidelines instructs that if the defendant "abused a position of public or private trust, or used a special skill, in a manner that significantly facilitated the commission or concealment of the offense," the sentencing court should increase the defendant's sentence by two levels. The district court held that this enhancement was warranted because "a lot of what [Sampson] did actually involved his status as an attorney." App'x at 1115.
"The determination of whether a defendant utilized a position of trust or special skill in a manner that significantly facilitated the commission or concealment of the offense is a question of fact reviewed for clear error."
United States v. Thorn
,
C. Upward Deviation
A sentencing court "has broad latitude to impose either a Guidelines sentence or a non-Guidelines sentence."
Ulbricht
,
In Sampson's case, the district court provided ample justification for its upward deviation, in a statement that spans nine full pages of the sentencing transcript.
See
App'x at 1151-60. Among other things, the district court considered: (1) Sampson's embezzlement, which the district court believed was time-barred from prosecution but could nonetheless factor into the analysis as pertaining to
Sampson's "history";
18
(2) the fact that Sampson breached both the trust of the New York State Bar and the New York State Supreme Court; (3) Sampson's failure to observe his suspension from the Bar even after his conviction and while he was awaiting sentencing; and (4) Sampson's abuse of his role as a state senator to obstruct regulatory investigations of Ahmad's businesses. The district court ultimately concluded that "[t]here has to be a sense that we give to the public that we are going to safeguard the integrity of our system. ... That we will hold our public officials to a higher standard, that we will hold our attorneys to a higher standard."
D. Unwarranted Disparities
Finally, Sampson argues that there is an unwarranted disparity between his sentence and the sentence of former New York State Senator Dean Skelos ("Skelos"), who-in a completely unrelated case-was convicted on eight corruption counts.
19
This argument is meritless. "Although 'the need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct' is a factor district courts must consider" under
CONCLUSION
For the foregoing reasons, we AFFIRM the district court's January 27, 2017 judgment of conviction.
Because Sampson is appealing a judgment of conviction entered after a jury trial, unless otherwise noted, the factual background presented here is drawn from the evidence presented at trial and is described in the light most favorable to the government.
See
United States v. Silver
,
Noel testified that he looked up Sampson's name "[t]o see if he might have been a target, to see if he was being investigated." App'x at 745.
The grand jury later returned a sixth superseding indictment, under which Sampson was tried. Sampson's judgment of conviction, however, refers to the substantive counts of the fifth superseding indictment. Sampson concedes that the two indictments contain identical counts apart from the two embezzlement counts that, as noted below, the district court dismissed pretrial. Sampson's brief on appeal therefore cites exclusively to the fifth superseding indictment, and for the sake of consistency, we will as well.
The district court later dismissed those counts as time-barred. In this case's companion appeal, we vacated the district court's decision and reinstated the two counts. See United States v. Sampson , No. 15-2869-cr (2d Cir. 2018).
The district court's opinion refers to these counts as Counts 2, 7, and 9, which is how they are referenced in the sixth superseding indictment.
See, e.g.
,
United States v. Davis
,
In the context of § 1503(a), an "endeavor" is simply "act[ing] with the wrongful intent or improper purpose to influence [a] judicial or grand jury proceeding," and doing so in a manner that has the "natural and probable effect of" succeeding.
United States v. Quattrone
,
The government did not allege that Sampson actually tampered with any witness other than Ahmad. He was later acquitted of the witness tampering charge.
The government deliberately chose not to charge Sampson for "attempted witness tampering" under § 1512"in light of the remoteness of [Sampson's] actus reus from [actual] witness tampering." Br. for Appellee at 23.
Masterpol
's dicta suggesting that "to the extent a gap" exists between § 1503 and § 1512, "the proper remedy is not for the courts to distort the plain language of [the statute] but for Congress to enact legislation to close the gap,"
Given this disposition, we leave to another day the question of whether our decisions in Hernandez and Masterpol should be overruled by our en banc Court.
Pursuant to
We have suggested as much in dicta but have not squarely decided it in a precedential opinion.
See
United States v. Mandanici
,
We will assume
arguendo
, and without deciding, that the standards applicable to perjury under
Sampson contends that the district court failed to provide him with this opportunity in practice, but the record shows that Agent Hosey agreed during cross-examination that the interview "went from one area of discussion ... to another area and returned back to previous areas of discussion," and that the discussions of the liquor store and tax matters were separated by other topics. See App'x at 800-01.
We similarly conclude that the district court did not violate Sampson's Confrontation Clause rights by refusing to admit Agent Zacher's notes; as noted above, Sampson was perfectly free to call Agent Zacher to the stand and question her directly.
See, e.g.
,
Delaware v. Fensterer
,
As noted above, in United States v. Sampson , No. 15-2869-cr (2d Cir. 2018), we vacated the district court's dismissal of the embezzlement counts and reinstated both counts.
This Court vacated Skelos's judgment of conviction on September 26, 2017 and remanded for further proceedings in light of the Supreme Court's decision in
McDonnell
.
See
United States v. Skelos
,
Reference
- Full Case Name
- UNITED STATES of America, Appellee, v. John SAMPSON, Defendant-Appellant.
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- 54 cases
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- Published