Information(s) and Complaint(s)

Charges/Verdict/Appeal/Sentencing

Court: Judge Ricardo M. Urbina - Washington, D.C.

Guilty: one count of wire fraud relating to $5,000 illegal campaign contribution scheme and two counts of Federal Election Campaign Act (AFECA@) violations resulting from $4,000 in illegal campaign contributions to Henry Espy for Congress.

Sentence 1/30/98: $150,000 fine; 2 years probation with special condition: write & distribute a monograph describing criminal provisions of federal laws governing corporate campaign contributions

Presidential Pardon 1/20/01

Court: Judge Thomas Penfield Jackson - Washington, D.C.

Defendant=s First Appeal filed: 10/29/96; Defendant=s motions to stay trial and expedite appeal filed 10/29/96; Government=s motion to dismiss appeal and opposition to motion to stay proceedings filed 11/1/96; granted 11/7/96; Defense motion for stay pending rehearing en banc filed 11/8/96; denied 11/12/96, mandate to issue immediately

Defendant=s Appeal to D.C. Circuit filed on 6/30/99; Government's motion to dismiss filed on 7/20/99; granted 8/19/99; petition for rehearing/en banc denied 11/9/99

Court: Judge Thomas Penfield Jackson - Washington, D.C.

Defendant=s First Appeal filed: 10/29/96; Defendant=s motions to stay trial and expedite appeal filed 10/29/96; Government=s motion to dismiss appeal and opposition to motion to stay proceedings filed 11/1/96; granted 11/7/96; Defense motion for stay pending rehearing en banc filed 11/8/96; denied 11/12/96, mandate to issue immediately

Defendant=s Appeal to D.C. Circuit filed on 6/30/99; Government's motion to dismiss filed 7/20/99; granted 8/19/99; petition for rehearing/en banc denied 11/9/99

Presidential Pardon 1/20/01

Court: Judge Thomas Penfield Jackson - Washington, D.C.

Charges dismissed pursuant to Govt.=s motion 3/8/99

Court: Judge Gladys Kessler - Washington, D.C.

Guilty: one count of conspiracy to defraud Federal Election Commission (AFEC@) resulting from $46,000 in illegal campaign contributions to Henry Espy for Congress and one count violation of Foreign Corrupt Practices Act resulting from falsification of corporate books and records to conceal the illegal campaign contributions.

Sentence 1/21/97: $2,000,000 fine, $400 special assessment

Court: Judge Gladys Kessler - Washington, D.C.

Dismissed by Court Pretrial: two counts of falsifying books and records, ten counts of false statements to the SEC, one count of security fraud, two counts of false statements to auditors.

Court: Judge Gladys Kessler - Washington, D.C.

Dismissed by Court Pretrial: two counts of falsifying books and records, ten counts of false statements to the SEC, one count of security fraud, two counts of false statements to auditors.

Court: Judge Ricardo M. Urbina - Washington, D.C.

Opinion issued 3/20/98: affirmed 2 mail fraud counts and 5 illegal campaign contribution counts, reversed gratuities count conviction for improper jury instruction and remanded for new trial and resentencing; 138 F.3d 961 [full text at ACourt Opinions and Briefs,@ oic.gov]

Supreme Court granted Government=s petition for certiorari on 11/2/98

Supreme Court opinion issued 4/12/99: affirmed Circuit Court=s reversal of gratuity conviction; ___U.S.___, 119 S. Ct. 1402 [full text at ACourt Opinions and Briefs,@ oic.gov]

Defendant=s Second Appeal to D.C. Circuit filed: 11/8/99; Government=s motion to expedite appeal filed: 12/16/99; granted: 1/4/00; Oral Argument: 4/10/00; Opinion issued 5/23/00: affirming court=s order denying interest on judgment refund; Defense petition for panel rehearing filed 6/9/00; denied 7/13/00 [see 25, infra]

Court: Judge Edith Brown Clement - New Orleans, LA.

Opinion issued 9/30/98: affirmed convictions, affirmed sentence; 157 F.3d 347 [full text at ACourt Opinions and Briefs,@ oic.gov]

Presidential Pardon 1/20/01

Court: Judge Edith Brown Clement - New Orleans, LA.

Opinion issued 9/30/98: affirmed convictions, affirmed sentence; 157 F.3d 347 [full text at ACourt Opinions and Briefs,@ oic.gov]

Presidential Pardon 1/20/01

Indictment: 7/9/96 Transferred on Defendant=s motion from New Orleans: 11/6/96

Court: Judge L.T. Senter, Jr. - Oxford, MS

Sentence 5/14/97: consolidated with no. 9, supra

Presidential Pardon 1/20/01

Indictment: 7/9/96 Transferred on Defendant=s motion from New Orleans: 11/6/96

Court: Judge L.T. Senter, Jr. - Oxford, MS

Sentence 5/14/97: 3 years probation;$200 special assessment

Indictment: 7/9/96 Transferred on Defendant=s motion from New Orleans: 11/6/96

Court: Judge L.T. Senter, Jr. - Oxford, MS

Sentence 5/14/97: $10,000 fine and 5 years probation to terminate immediately upon payment of the fine; $50 special assessment.

Transferred on Defendant=s motion from New Orleans: 11/6/96

Court: Judge L.T. Senter, Jr. - Oxford, MS.

Judgment of Acquittal pursuant to defense Rule 29 motion 3/4/97: one count of conspiracy of making false statements to a federally insured bank to induce and extend repayment deadline on $75,000 Henry Espy for Congress loan, and making false statements to the FEC to conceal $46,000 in illegal campaign contributions to Henry Espy for Congress, and; five counts of false statements to a federally insured bank.

Court: Judge James Robertson - Washington, D.C.

Guilty: two counts of false statements to government agents concealing knowledge of (1) gratuities worth $1,119 given to Secretary Espy and others, (2) scholarship to Secretary Espy=s girlfriend and (3) nature of his relationship with Secretary Espy and girlfriend.

Reindicted see 22, infra.

Court: Judge Thelton E. Henderson - San Francisco, CA

Severed by Court Pretrial 4/2/97: nine counts of wire fraud to be tried subsequent to the gratuities case; Dismissed by Court Pretrial 4/2/97: two counts of false statements to FBI; Government=s appeal filed 4/11/97; motion to expedite appeal filed 4/29/97; Appeal dismissed pursuant to plea agreement 8/27/98

Guilty: one count of providing gratuities worth $7,600 to Secretary Espy and others. Hung jury: one count of providing gratuity worth $3,100 to Secretary Espy=s girlfriend.

Sentence 7/27/98: 18 months probation; $3000 fine; $100 special assessment; 100 hours of community service; Probation terminated early over Government=s objections: 9/2/99

Presidential Pardon 1/20/01

Court: Judge William H. Barbour, Jr. - Jackson, MS

Not guilty: three counts of perjury before a Federal Grand Jury concealing the circumstances surrounding the change in a Mississippi state USDA regulation in 1993.

Court: Judge Royce C. Lamberth - Washington, D.C.

Guilty: three counts of false statements to government agencies to conceal receipt of $22,025 from prohibited sources while serving as Secretary Espy=s Chief of Staff.

Defendant=s Petition to Supreme Court filed 6/28/99; denied 10/4/99

Presidential Pardon 1/20/01

Court: Judge Thomas A. Flannery - Washington, D.C.

Fine 7/29/97: $1,050,000; additional compliance and practice procedures implemented by Smith Barney

Court: Judge Ricardo M. Urbina - Washington, D.C.

Opinion and order issued 12/23/97: granting defense motion to dismiss four counts of the Indictment; Government=s Appeal to D.C. Circuit filed on 1/12/98; Opinion issued 6/16/98: Affirmed dismissal of one count of false statements to President=s Chief of Staff and White House Counsel and reversed trial court reinstating three counts of accepting illegal gifts under Meat Inspection Act; 145 F 3d 1365 [full text at ACourt Opinions and Briefs,@ oic.gov]

Judgment of Acquittal pursuant to defense Rule 29 motion 11/24/98: three counts of deprivation of honest services by wire fraud, one count of deprivation of honest services by mail fraud, three counts of illegal gratuities, one count of Travel Act, and part of one count of false statements to USDA-OIG

Court: Judge Ricardo M. Urbina - Washington, D.C.

Sentence 12/29/97: $4,000,000 fine; $2,000,000 costs of investigation; 4 years probation; Corporate Compliance Agreement; cooperation with investigation and prosecutions

Court: Judge James Robertson - Washington, D.C.

Guilty: two counts of false statements to government agents concealing knowledge of (1) gratuities worth $1,119 given to Secretary Espy and others, (2) scholarship to Secretary Espy=s girlfriend and (3) nature of his relationship with Secretary Espy and girlfriend. (Same as 15, supra).

Sentence 11/2/98: $5000 fine; $100 special assessment

Presidential Pardon 1/20/01

Court: Judge James Robertson - Washington, D.C.

Verdict Set Aside by court on 9/21/98 on defendant=s judgment of acquittal motion.

Opinion issued 7/23/99: Reversed judge=s acquittal on Meat Inspection Act count, affirmed judge=s acquittal on gratuities count and remanded to trial court for sentencing.

Opinion issued 6/27/00: reversed judge=s granting of new trial, reinstated the jury verdict on the Meat Inspection Act count and remanded the case for sentencing

D.C. Circuit granted Schaffer's petition for rehearing en banc 11/22/00

Presidential Pardon 1/20/01

Court: Judge James Robertson - Washington, D.C.

$100,000 fine; $20,000 costs of investigation; Corporate Compliance Agreement; education program, write & distribute a monograph describing criminal provisions of federal laws governing corporate campaign contributions

Respondent or Defendant and Instrument

Agency, Charges and OIC Role

Disposition

Conciliation Agreement: 1/8/98

Federal Election Commission -- found reason to believe that AFLAC willfully made 4 - $1,000 illegal corporate and conduit contributions to Henry Espy's campaign debt retirement; OIC investigated and obtained AFLAC's consent to FEC jurisdiction and agreement to pay $80,000 penalty.

Civil penalty: $80,000

unsealed 3/26/98

Guilty of conspiracy, 11 counts of aiding and abetting misapplication of bank funds, and 5 counts aiding and abetting making false entries on bank records.

51 months imprisonment; 5 years supervised release; $842,621 restitution

Conciliation Agreement: 8/3/98

Federal Election Commission -- found reason to believe that Sun-Land knowingly and willfully made illegal corporate and conduit contributions in 1992 and 1993 by paying stipends to non-management directors for political contributions; OIC investigated and referred to Department of Justice (see below).

Civil penalty: $80,000

Court: Wayne D. Brazil (Magistrate) - Oakland, CA

Department of Justice -- 2 count Information in the Northern District of California charging illegal conduit contributions in violation of FECA using stipends paid to non-management directors totaling $16,000 in 1992 and $21,000 in 1993; Sun-Land Asuggested@ contributions in 1992 to Bush-Quayle >92 Primary Committee Inc. and in 1993 to Campaign America.

Fine 8/26/98: $400,000

Court: William Barbour, James Sumner - Jackson, MS

Office of Inspector General - 12 count indictment in the Southern District of Mississippi charging conspiracy to defraud the Farm Service Agency of the USDA (AFSA@), false statements, conversion of government property, bribery, all in relation to crop subsidy loans granted by the FSA

Sentence:
01/19/01

Two years imprisonment