US v. Bertoli

Decision Date30 March 1994
Docket NumberCr. No. 89-218.
Citation854 F. Supp. 975
PartiesUNITED STATES of America, Plaintiff, v. Richard O. BERTOLI, Defendant.
CourtU.S. District Court — District of New Jersey
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John M. Fietkiewicz, Asst. U.S. Atty., and David M. Rosenfield, Sp. Asst. U.S. Atty., Office of the U.S. Atty., Newark, NJ, for the U.S.

Richard Levitt, New York City, and Albert Carilli, Franklin Lakes, NJ, for defendant Richard O. Bertoli.

                                         TABLE OF CONTENTS
                Facts___________________________________________________________________  991
                Discussion_______________________________________________________________1009
                A.  Renewed Motion to Dismiss Counts One and Two of the Redacted Second
                     Superseding Indictment ......................................................1009
                     1. The Decision in Reves .....................................................1009
                     2. Statute of Limitations ...................................................1013
                     3. Charges of Frontrunning ..................................................1014
                B.  Objections to the First Set of Cayman Islands Depositions Testimony and
                     Documents....................................................................1014
                     1.  Bertoli's Objections to the First Set of Cayman Islands Depositions In
                          Their Entirety .........................................................1017
                     2.  Bertoli's Objections to Specific Testimony From the First Set of Cayman
                          Islands Depositions ....................................................1021
                         a.  Deposition of Coleman ...............................................1022
                         b.  Deposition of Rodney Bond ...........................................1023
                         c.  Deposition of Gillooly ..............................................1025
                         d.  Deposition of Duggan ................................................1025
                         e.  Deposition of Sheree Ebanks .........................................1026
                         f.  Depositions of Chan-A-Sue and Bechard................................1026
                         g.  Deposition of Meyeroff ..............................................1026
                     3.  Government's Objections to Specific Testimony From the First Set of
                          Cayman Islands Depositions .............................................1026
                         a.  Deposition of Coleman ...............................................1026
                         b.  Deposition of Rodney Bond ...........................................1027
                         c.  Deposition of Duggan ................................................1027
                
                         d.  Deposition of Lundie ................................................1027
                     4.  Bertoli's Objections to Documents From the First Set of Cayman Islands
                          Depositions ............................................................1027
                         a.  Documents of Greenshields ...........................................1029
                         b.  Documents from the Coleman Deposition ...............................1032
                         c.  Documents of Euro Bank ..............................................1033
                     5.  Government's Objections to Documents from the First Set of Cayman
                          Islands Depositions ....................................................1034
                C.  Objections to the Second Set of Cayman Islands Depositions Testimony and
                      Documents ..................................................................1035
                     1.  Bertoli's Objections to Specific Testimony From the Second Set of Cayman
                         Islands Depositions—Deposition of Ebanks ................................1035
                     2.  Government's Objections to Specific Testimony From the Second Set of
                          Cayman Islands Depositions .............................................1036
                         a.  Deposition of Ebanks ................................................1036
                         b.  Deposition of Burgess ...............................................1036
                         c.  Deposition of Rodney Bond ...........................................1036
                D.  Pre-Trial and Trial Motions and Objections by Bertoli ........................1036
                     1.  Motion to Sequester Government Witnesses ................................1036
                     2.  Motion to Suppress Use of Cayman Islands Documents By the Government
                          Pursuant to 18 U.S.C. § 3505 ......................................1038
                     3.  Motion to Turn Over Personnel Files of Government Witnesses and Agents...1039
                     4.  Motion to Suppress or, in the Alternative, to Obtain Letters of Request to
                          Take the Testimony of Euro Bank Personnel Ebanks and Burgess............1041
                     5.  Objection to Reading of Redacted Second Superseding Indictment to Jury...1042
                     6.  Motion to Question Eisenberg Regarding Charges Pending Against Him
                          When He Pleaded Guilty .................................................1044
                     7.  Motions for a Mistrial ..................................................1047
                     8.  Objection to Admission of Cayman Islands Documents After Beginning of
                          Trial ..................................................................1049
                     9.  Objections to the Government's Use of Summary Charts and Demonstrative
                          Charts .................................................................1049
                         a.  Summary Charts ......................................................1050
                         b.  Demonstrative Charts ................................................1053
                         c.  Admission of Charts .................................................1054
                    10.  Objections to Evidence of Other Acts: Rule 404(b) .......................1056
                         a.  The 1977 Suit by Executive Securities Against Bertoli and Bertoli's
                              Filing for Bankruptcy ..............................................1060
                         b.  The SEC Investigation and the SEC Action ............................1063
                         c.  The SEC's 1979 Bar of Bertoli from Association with Broker-Dealers ..1064
                         d.  Other 404(b) Evidence ...............................................1065
                             i.    Unindicted Stock Manipulation Schemes .........................1065
                             ii.   The Government's Chart Evidence ...............................1066
                             iii.  Berco Trust Financial Statements and Corporate Records ........1067
                             iv.   The Swiss Bank Documents ......................................1067
                    11.  Objection to Special Verdict Sheet ......................................1067
                    12.  Objection to Hard Copy of Jury Charges and Hard Copy of Trial Transcript
                          Being Submitted to Deliberating Jury ...................................1069
                    13.  Objection to Submission of Jury Books to Jury ...........................1072
                    14.  Objection to Subsequent Charges to Jury .................................1073
                E.  Pre-Trial and Trial Motions and Objections by Government .....................1076
                     1.  Motion to Preclude Bertoli From Presenting a Defense Based on Selective
                          or Vindictive Prosecution or Governmental Misconduct ...................1076
                     2.  Motion to Quash Bertoli's Subpoena of Government's Case Agent ...........1080
                     3.  Motion to Preclude Bertoli From Presenting Any Evidence That Charges
                          Were Dismissed in This Case ............................................1087
                     4.  Motion to Preclude Bertoli From Introducing Evidence That Certain Government
                          Witnesses Used Narcotics or Alcohol ....................................1087
                F.  Post-Trial Proceedings .......................................................1089
                     1.  Bertoli's Motions for a New Trial Based on Allegations of Juror Misconduct
                          During Trial............................................................1089
                
                         a.  Jury Misconduct as a Basis for Granting a New Trial .................1094
                         b.  Right of Defendants to Be Present During Court's Interview of Juror
                              for Misconduct .....................................................1100
                             i.    Fifth Amendment Right to be Present ...........................1100
                             ii.   Right to be Present Pursuant to Rule 43 .......................1101
                             iii.  Right to Have Counsel Present .................................1104
                         c.  The Riepe Letter ....................................................1104
                     2.  Bertoli's Motion for New Trial Based on Allegations of Juror Misconduct
                          During Voir Dire........................................................1108
                         a.  Voir Dire ...........................................................1108
                         b.  The Lawsuit against Juror Six ...............................................1109
                         c.  Motion for a New Trial Based on Answers to Jury Voir Dire ...........1110
                     3.  Bertoli's Motion to Recuse Court from Sentencing ........................1116
                         a.  Background ..........................................................1116
                         b.  28 U.S.C. § 455(a) .............................................1117
                         c.  Bertoli's Plan to Force Recusal .....................................1119
                         d.  Statements and Rulings of the Court .................................1120
                     4.  Sentencing ..............................................................1125
                         a.  Facts ...............................................................1126
                             i.    Bertoli's Activities at Executive Securities ..................1126
                             ii.   The Stock Manipulation Schemes ................................1128
                             iii.  Obstruction of Justice ........................................1130
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