Update re Howard Case - The ENRON Fraud
Update re Howard Case - The ENRON Fraud
Update re Howard Case - The ENRON Fraud
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iJ<br />
U.S. Department of Justice<br />
Criminal Division<br />
Washington, D.C. 20530<br />
June 10, 2009<br />
VIA FAX at (619-231-7423) and EMAIL at P<br />
G. Paul Howes, Esqui<strong>re</strong><br />
Coughlin Stoia Rudman & Robbins LLP<br />
655 West Broadway, Suite 1900<br />
San Diego, California 92101<br />
Re: United States v. Kevin <strong>Howard</strong>, Cr. H-03-93-03<br />
Dear Mr. Howes:<br />
On June 1, 2009, defendant Kevin <strong>Howard</strong>, former chief financial officer and vice<br />
p<strong>re</strong>sident of finance for Enron Broadband Services (EBS), ente<strong>re</strong>d a guilty plea to one count of<br />
falsifying Enron's books and <strong>re</strong>cords, in violation of Title 15, United States Code, Sections<br />
78m(b)(2)(A), 78m(b)(5) and 78ff).<br />
Pursuant to the terms of the plea ag<strong>re</strong>ement, <strong>Howard</strong> faces a maximum sentence of<br />
up to twelve months of home detention at sentencing. A sentencing hearing is scheduled for<br />
November 2, 2009 at 9:30 a.m. befo<strong>re</strong> Judge Vanessa D. Gilmo<strong>re</strong> in Courtroom 9A, United<br />
States Courthouse, located at 515 Rusk Avenue, Houston, Texas.<br />
If you believe you we<strong>re</strong> a victim in U S. v. Kevin <strong>Howard</strong>, you have a right to submit a<br />
Victim Impact Statement in the form of a letter befo<strong>re</strong> sentencing to explain how the crimes<br />
affected you and/or your family. Victim Impact includes physical, emotional and/or financial<br />
loss. If you elect to make a submission, please complete the enclosed Victim Impact Statement<br />
Form and mail it to: United States Probation Office, Attn: Gail Winkler, Supervising U.S.<br />
Probation Officer, US P.O. Box 61207, Houston, TX 77208-1207, no later than August 4, 2009.<br />
<strong>Update</strong>d information on this case and other Enron-<strong>re</strong>lated cases is available on the<br />
Criminal Division's Victim Witness webpage at: http://www.usdoj.gov/criminallvns/index.html.
We app<strong>re</strong>ciate your continued assistance in providing notice of case events to members<br />
of the sha<strong>re</strong>holders' class action lawsuit captioned Newby et al. v. Enron Corp., et al.,<br />
No. 11-01-3624.<br />
Enclosu<strong>re</strong>s<br />
(1) Plea Ag<strong>re</strong>ement - June 1, 2009<br />
(2) Victim Impact Statement Form<br />
2
<strong>Case</strong> 4:03cr00093 Document 1596 FHed in TXSD on 06/01/2009 Page 1 of 13<br />
l\ fill: I U IT DII11rTCORf<br />
i" 1J IRk I EXAS<br />
.Ut)LSiU\ U1\ ISIO/,<br />
1"dTl D F\T1 ()1 \\1IRTCA §<br />
§<br />
§<br />
§<br />
LL\ 1 IIU\\ \RD. §<br />
§<br />
I)Fenda §<br />
Cr No, H-O3-9 "<br />
\<br />
] he United States of America by and h n i1 tcven A. Tyr<strong>re</strong>ll. Chief of the <strong>Fraud</strong><br />
I Criminal Divis on, Uni d e: Dep fJustice, and ,fIhiI E. Lopez and<br />
1. ua N. Perkins, Trial Attorneys, end the Defendant, K n I d, by and thti ik<br />
eouJ. Rrv 3. Pollac pursuant to Rule 1 l(e)(l)(C) of the Federal Rules of Criminal<br />
Proccdui . state that they have ente<strong>re</strong>d into an ag<strong>re</strong>ement, the terms and conditions of which a<strong>re</strong><br />
as Ibilows:<br />
I he Dc tcuda at' grc. uient<br />
Ilie '_P : 10 p1 s;<br />
Indictment chir'iag hdi n ith f1fin' t wd rLI n it1 15, United States<br />
Code, Scn La(b)(2)(A, ' t.d off, T1 )11::, by this plea, ag<strong>re</strong>es<br />
that he i. rw 'ti ;senrial to the i:kHunt<br />
charged ith Suerscding indictment p: o<br />
tu auiy or proven beyond a <strong>re</strong>asonable<br />
doubi<br />
2. t ott' L L': ati a nensation of any son,<br />
I of 13
<strong>Case</strong> 4:03cr00093 Document 1596 FUed in TXSD on 06/01/2009 Page 2 of 13<br />
di<strong>re</strong>ctly or indi<strong>re</strong>ctly. fo:' the dissemination through books, articles, speeches, interviews, or any<br />
'i:neans, of information iriine his work at huron or the tition or prosecution of<br />
any civil or ct case :eiirtt him. <strong>The</strong> Defendant further aiecc :nt to ethe<strong>re</strong>, ic cent any<br />
aeration vi' compensation <strong>re</strong>sulting from his emploent at huron.<br />
3. <strong>The</strong> Defbndant ag<strong>re</strong>es that this Plea Ag<strong>re</strong>ement hinds only the riminat Di\ noon<br />
of the US. Deparment nf Justice and the Defendan:: It bac rot bind at<strong>re</strong> U:bted Si Attorney<br />
or any other Uk icion of the Deprrnucni ni Jiice<br />
Punishment !ang&'<br />
4. <strong>The</strong> statetory niavnnuni peinikv icr a nLtion of Title 15, United States Code,<br />
78m(b)(2)(A), 78m(b)(5) and 78ff, is imprisonment for a term of not mo<strong>re</strong> than ten<br />
years and a fine of not mo<strong>re</strong> than $1,000,000 or twice the gross pecuniary gain to the Defendant<br />
or loss to the victim(s'. o hiehever is g<strong>re</strong>ater. Title 15, United States Code, Section 78ff; Title<br />
18, Unitek S:ac Code, Sections 3S71(b)(1) and (d). ;nd:ticnaiv, tue Defendant may <strong>re</strong>ceive a<br />
term of nope:vi:cd <strong>re</strong>lease after imprisonment of up ic th<strong>re</strong>e years. Title 18. United Si:Oes Ccdu.,<br />
Section 3583b. <strong>The</strong> IT elDodaro ackno\vledees and undecrands that shouV he violate the<br />
conditions of supervised <strong>re</strong>lease which may be imposed as part of his sentence, then the<br />
Defendant may hr iiopr coned for an additional term of up to two years, without c<strong>re</strong>dit her time<br />
al<strong>re</strong>ady served an the tern of supervised teiotrc prior to such violation. Title 18, United Sta:es<br />
Code, Section 35$3(e)(3). <strong>The</strong> Defhndarit understands that he cannot have the imposition or<br />
execution of the sentence suspended, nor is he eligible for piroic.<br />
Page 2 of 13
<strong>Case</strong> 4:03cr00093 Document 1596 FHed in TXSD on 06/01/2009 Page 3 of 13<br />
I<br />
n d atory Special Assessment<br />
5 a' L e ute ode SeCtion 3013a)(2)(A), ImmCdlatCl)<br />
awr he Dc it to thc (!erh 2the United D tt Ci a special<br />
assessment in the amount of one hund<strong>re</strong>d dollars ($ 11)0.00). <strong>The</strong> payment will be by<br />
check or money order payable to the Clerk of the Uwrd Suates District Court, do Distii:<br />
Clerk's Office, P.O. Bo 61010. Texas 7720, Aniion: Finance.<br />
\\jver ()1. \ j))ca I<br />
6. <strong>The</strong> Deftndant is .. t Title 18, United States Code, Section 3742, afThds a<br />
Defendant the right to anpeal the itcn imposed. Additionally, the Defendant i airthat<br />
Tu c 2, Uncd tw<br />
ode. itin 2255 affords the riht n contest or c2ftLi°aRy athLd" a<br />
after the Con\tr:,n or nence has become final. 11 th Cou<br />
ccpN the<br />
PL eHl rth tciiCS th Dc!cu1Ln1 thin the ag<strong>re</strong>echupon ntecint<br />
forth a p .eriphl2, )cfendant 1gcL to a the right to appc:ii the tcae Hft i or<br />
the marmer in which '.aa determined, and the Defendant waives the right to contest his<br />
conviction or sentence by means of any postconviction proceeding.<br />
7. in ag<strong>re</strong>eing to these waivers, the Defendant is awa<strong>re</strong> that a sentence has not yet<br />
been determined by the Court. <strong>The</strong> DJnhutt k also awa<strong>re</strong> that any promise, i<br />
prc;ctt1ttion, or<br />
estimate of the ptbL c:ttr aina unJ.a tft: iriCifl Cuideiinc; trtr he may<br />
<strong>re</strong>ceived frcm hi the Unitci Ste;, or the Prohatien (Tt'iie is a p<strong>re</strong>diction, not a<br />
promise, and is nct hincing on the Unitch gattes. the Probat RiM )lh,e, or the Court. other than as<br />
provided in p'rMph <strong>The</strong> Del<br />
rr:nt IiulJ r understands nd 1ria thMt he Sentc: rig<br />
Gihd:i a<strong>re</strong> 1tcMtR,lv rio' ftr'' to thri '''J Booker, i25 S. Ct. 738<br />
f 13
<strong>Case</strong> 4;03cr00093 Document 1596 Filed in TXSD on 06/0112009 Page 4 of 13<br />
(205\ icording1y, ti'e Deferdnt understands that, although the Court must consult the<br />
i1'fl ,, :jd&1jie5 and r'e ic to icin ien sentence i:eceUnt, the<br />
Let k not bwci t fine; eS fleele jU nC fld iS nOt r ui<strong>re</strong>d sceiee the<br />
D:Uant within the cate ited ui ewe rwee I lowever, if Court acccpt this Plea<br />
Abuement, the Court is bouLld by h nw:me crovision in pw'agraph 12.<br />
8. <strong>The</strong> DefHeie : ew awl wwes that all waivers contained in<br />
a<strong>re</strong> ie exel " the co ewwcie made by iic Uw wd eww in this Plea Ag:wcut. if<br />
the Deker 'eriructs his artorney to tile a notice of appeal of his seutcuce or af his comeiction,<br />
or ifihe i)efcudant instincts his attorney to file any other postconviceoe<br />
needwo twtuig<br />
en iei inn eenwrwe, the 1 cede en understand hen the United Seew v eciflc<br />
pw iec entlen Def:nder' e nh ens in this PUn ceiwend ofene DefendetI'S<br />
appee iu conteOon or sentence and of the Defende s rriit Ic e y pcet con h<br />
proccewnw attacking his conviction or sentence.<br />
<strong>The</strong> United States' \crccrnents<br />
9. if the Dc dorr complies fully with all ofbis I, ; under this Plea<br />
A<strong>re</strong>ment, the United 4ews ag<strong>re</strong>es to dismiss the olenuning cuna of the Sixth Supersedinu<br />
cc wd any r iri:nu indictments at the tin:e of sentencing and en <strong>re</strong>commend :thet<br />
Defea ii ic uentenced within the ag<strong>re</strong>ed upon sentu<strong>re</strong> 11d ran <strong>re</strong>t fbrth in parafrah 12.<br />
United Siates onWuivcr of Appeal<br />
10. <strong>The</strong> United Steen c<strong>re</strong>w the rigdi en eany out its <strong>re</strong>ronsibilities under<br />
dcimw urtcneing. Specifudle die United States <strong>re</strong>serves th<br />
(a) in h we en crdn tee ihee ni en. inJrdii e iLielce lie aid any<br />
lace 4 of 13
<strong>Case</strong> 4:03cr00093 Document 1596 Filed in TXSD on 06/01/2009 Page 5 of 13<br />
f ,vc,i jye,ive d ?cs, to the atntk n nc Probation Office in connection with that<br />
'sepurdtc1 ofr p YL• Cl;<br />
(b) to set forh or hrc<br />
tcdcinc L. S •dlcr J i rcm. i:c:<br />
(e of facic.; or facts in 1ccdcc ith the Defendant's<br />
i:ic1 1 :c it:i ( tLe;<br />
(dl IL c'hling cc iczciie. accordance with LLS,S.G. Section<br />
2 iJ tIe 18, Uct J Sc L dc, cticn 3553(a) and<br />
(C) to j lci cc'cc i'd or thc cnrcr hich it \se'rccJ<br />
ni h,c tic C rt DcCcknt dN,JC F c't feith<br />
V:1 12<br />
Sentence Determination<br />
11. <strong>The</strong> ndcn ac. tLtt thc c]icc'e will be inipoco Uer ihdcration of<br />
thc :ic (uid. ij:-, iich <strong>re</strong> only advisory, as well as the provisions of Title 18, United<br />
State C. Section 3553(a). <strong>The</strong> United States and th Derc t tg<strong>re</strong>e that the arp blc<br />
Sentencing Guidelines range exceeds the ag<strong>re</strong>edupon sentc . range contained parcc aph 12,<br />
12. Pursuant to Rule I 1(c)(I)(C') of the FcJcJ RL efCriminrl It ,ccdi<br />
S d ll'C Dafcji. c'rcc 'hct a a wtthin the rc:c f412 ;:iai<br />
c ur some cc cbc :i u1erco is th df a disposition ofthc cc.<br />
<strong>The</strong> Del iJa that, if the C urt <strong>re</strong>jects the Pled dlccnieni. ifte Court must hI<br />
j:ciL die te Court ric die P1u \diccic a.' e lu )cd1dac pcraali<br />
i L.: Cue 'a I teu.' I te I' Ic the Pita \c 'cun ca eIe a c Ut- 'd j,t the<br />
or'crtamty to wilhdrtc 'die plea, and (iii) advise the DefLudarl pc1 tiP'; i if the plea is <strong>re</strong>t<br />
1 a, the Cu di' - of the case less lavorably tc id Ihe ciu 11 an the l'lee<br />
i-i F.. C] t<br />
Page 5 of 13
<strong>Case</strong> 4:03cr00093 Document 1596 Filed in TXSD on 06/01/2009 Page 6 of 13<br />
IUfhts at Trial<br />
13. <strong>The</strong> De ncci: iopi cci ihc C tn he is satiCcc } cotomevs have<br />
ncnc. IhU DcihioLiiit dcriJn4L nt h: entci inn iiic Plea<br />
\ni0 c ndcc<br />
)i iC. I icent. <strong>The</strong> Defendant<br />
ici Jcct tho ic oi ntidini nuindo mu<br />
) if the Du duct ccud ii p1cc cfnot gui'ty to the charges. tIm i)nfomcni<br />
would h p trial i t c i Ti trial<br />
ma) I t without a y j I L P r t'i United<br />
nd thu cion<br />
(b)<br />
At c thL tL. [:nituHlnns would mc ud ic p mont v. imoscos mcd othcr<br />
c dcncc' unoinc I )ci undauc. I fccdcnt v odd hnvo ftc opoomini ttv to<br />
ntmod o:isscnnd mis onmov o uId ho cIloood to cmm,arnine<br />
in thu )ctdninct could, hut would Pot Pc <strong>re</strong>quod to. prc5cn!<br />
1 1 oIl S 1l 4 1 i I ill t t C<br />
flo dci t wouLd nt uppucs m ointm k he could wqn<strong>re</strong> th u jidunco thoth<br />
the suhp cnn powcr of the cod t,<br />
(c) At trici. ho 1 ho on Woo con ci cclv on c prh'ilcpo 'ncimct cchincr inmiiinh on cod<br />
1 no I ii o il oi 1 I or to<br />
,t<br />
W Wi mc D 'là t dc ud ) 0 1 1 tu 0 on Ii OWfl<br />
bLnmth.<br />
Factiuni Bnsis for Guih\ Plea<br />
14. <strong>The</strong> lWicw to plead guihu ocuc he in fact uihy of the offoise<br />
charged ii . nont 5 cW tho SWSJS Supcrcwhng ladici cicuc. If this case wero 0 proceed to timal, the<br />
United So: would pmve each element of that oh cno bovoud cusinulmlc doubt. <strong>The</strong><br />
Ioioudci ctntnnd ct the Unitod Stm w 1'u'oudm: tostimony and mccl cccl<br />
ci mu mm m em dnimw 0 onir! conimlcti thu k cc np facts:<br />
(a)<br />
Ac ci brA coin tulic Wow ft'cndnrit, Kevin liwocid, throupli his<br />
parlopunoc In thu Ito':: Cccit' irnimiuction, which c loccd on [)ncccihc' 22,<br />
200) mw 0 iii Li c o i ,ctl I n I cmi 10K<br />
Page 6 of 13
<strong>Case</strong> 4:03cr-00093 Document 1596 FHed in TXSD on 06/01/2009 Page 7 of 13<br />
-cr'Jirin 2001) ti' he f tiuifed, iii t I: 0K did flO n..rictc rd<br />
in iC J1c i1nl, 1ic rd innt' "-H<br />
1. Ic, Lr'tcd 'n- CL-. :iit-n<br />
7$n1b (A, iO)( n I<br />
(b) i '-n ii ' "1 cr i' Oic'n cci H'.i headq fticd in T--;-Hn<br />
n-in ni n'i i if r1tc cr<br />
\- tcn-J c -i.-. I ni( \<br />
d'' lljni T1', H 1 I I I<br />
'' ii ll -t1lCiitn md 'Fi fl<br />
n n:ni iL "liRd.<br />
L:iilninl nnnic n mcd nJi n hiL:iss opmn, Arthur Andersen<br />
a I nr-:H u .H-nc-. tant duninc thc <strong>re</strong>levant time period.<br />
(c) \c ni :1:t co iH cc Ui Ji t )ifl lm'n flinIIv iniicd d ir 'n<br />
:o.i'ncd services I hH i tin iibIt H nc .c nt cc he nc<br />
1cIirv Skili:cn 1cr-Id lIini cHc i.\icic Iflcc-c :IiincI to<br />
hc iuiic i 111111 1mI\ Cl Inn 11111 it (Ulil ml c\u C Hem<br />
cr2 :Hitm. 11: II' kiIlin ciLd j''tEBS<br />
n nLI 'no i -1 Y ) ni hoc,<br />
(d) II ' . UJ- On C ICI mci-il dfterr nrd Vice Pr innit rift n-ceee tit<br />
i-i iiioulmcjt tcc mm ,HH, I Imnnrd nc <strong>re</strong>spontb1n h-n ,,LPLY nu all<br />
ct- mf:iuctmircl cc ti-Il ;nc1ons it EBS.<br />
-<br />
(e) 1* fr-jr ii<br />
l,nHi cl 2-moO, LLS Imi tiLd to 'nImtjC aim 'i<br />
'c\cminc nH n Icc ol -i.n 7ublidy H-cLned eami:t H t.<br />
I mo nmc d mt1'cm- :ml I'I mt 1 1 ien dinw th:c iH-cnt<br />
m m- 'iij CI -i U :n-i-ctinu. I I i ' u Id r I dc' ini 'icmccd<br />
till :m U mdc cnn-in. \\ lien I U-. mmd dii mcI hcltc' c dc iii- liii c ci TS to<br />
men m C.Cii i ncct UjH n fl'Jcm brIm mIt 1'1hilaklY it<br />
lj'mninI 1mr:m nid nil. it LB iht I-B ncc ii mlimn-<br />
(f) Din :'g this Sinun umcn Lame, EBS w ' ttL-niptiH In in nch a - nico mon<br />
tcn'mnd ('VUl) ho--in-c- cc coin ml I.-[Ld \ iii humnc nn o 20 \cn'<br />
l_I nmJ I o Jmntcr. :nici I LI -. tie ij the hudnf<br />
In Il r I,<br />
- '-, l-c I- 1 il-ic COT;le,cm.<br />
TIm .1 i Ictimpi I lnImc',Itc c nm lis sufficier i :n the p<strong>re</strong>vi- cUt /<br />
nim mimn- CI cii mnc, -, 'cm cc <strong>Howard</strong> asknd c mmio EB to ci mien I]<br />
Rime dcc 'cvmcni i ee ifEBS could rncu'ntnn tiIim.Ic ccrcnm ;<br />
the ci ccineot ti the foi: cucoer of 2000. iIoU mnnl anT m hmc LBS<br />
7 of 13
<strong>Case</strong> 4:03-cr00093 Document 1596 FHed in TXSD on 06/01/2009 Page 8 of 13<br />
Sn rjad a tr action Vt: a ject Rnt a aart" i' itn'ed to<br />
"an J/ t': a tt(H .1 a: tji:r: ra'n and •:ah flow tiaui 11a<br />
a J nera ra: ti auai t.. r ci Utj a<br />
h) In oider for EBS to legitinratal oyra 'a futu<strong>re</strong> canal. from the<br />
},khiajet aeaiciit. (1 \'1na'aan tt tat I ad li: (1 fcrtn<br />
ii anlara ii1 n LiI',R tan a that un a aniv 'a tda jaint<br />
in<br />
tv. a U nint antarL: a a ::II Ia:tniu 01 ii niarra .eJo1nt<br />
tia<strong>re</strong> \ ate rat tI a ala o inc iflI t ai could tIc ha is o :o fill the<br />
ea'nir ,;: tcad,<br />
i) As r caca: 20 aL B'- id nt yer tia: in outside party for the joint<br />
ye u': ni :1': a:inn' ap I1U Uaa.l a itatarl a 'aica, ceautitly,<br />
in 2t))(, I I i' and and HF ar I L app''hna nCuI' aii,tTI<br />
V )D tea in' 1 ic: a iapav :n: i in Ucu a lan, Ut a 'n and 'd tira<br />
sa :: s ra at aL ha 1 n( uha \aOllIJ ha \v:l I :t: to ha LBS's jo: it \ aIitUr'a<br />
latin: : dat LB aould inact its ea1fliI target for the year 2)0h,<br />
(j) Thou':! ad 1 .:'ni'in ' I Id and and others at iit, Cu.:<br />
Ufl(f':H ad that ii 'ui,Id na iUat In i,at:II in any wai It ''tap inn<br />
in U' act 13':: ala it as I' 13a s ra vat it arc railer. Indeed, nuia' ' told<br />
by 1 iv. id ann ihi tait act! :aa' tuti &'tIr transaction Cask s ad be<br />
pad! ha [non. In addtiun. I ii arC dinad nCuhe that LBS 'a aat.si as a<br />
shot tat a narticipant in tha junt otn This suited nCuhe, :s 1 Ia',', rd<br />
k.riau iiat aCud: was cash poor a 1': tilH and coulci a t rCk t: i r p its<br />
moan a a ('Hit S nan<strong>re</strong> for tha I 'i: 'an:, HOwiid tad nthe:' a LIdS<br />
:rit 'acd til 'iii: I i v,'n anna ',i atange for lit nbc Iii ha Ini,dh' out of<br />
the taint rat'',,: b iliad pitt: ti: ca 'tcxt quartan lIo\\ irJ c"platned to<br />
nCn a 1:1 ( '1:i1":,ttoii Iii "IC Ult S clitiliL i':a" o'i'ica<br />
men at t:i a:' I:1 iv thC ,trtra<br />
(k) nCuae, canci to pIa:na I ii i and hopian a a:utc OS position a: ii atidor for<br />
7dm a i rn:t a i"rcd ti thejoiti nantuts' jai'tncrbased on tic sche:,<br />
a h Howaid 'ad others, that i :, ,It t ot rat<br />
nil'; nd would ha I e in the next qaai n<br />
(1) P : I ra aln',rt alfinad . tract 'bar 22, 7 aid I IS s ibsca' cnth' sold<br />
i:tar:slti IC ,i,t scuLL : Il'aI, .tt!\nat,t'ci'a<br />
na L : i: a ,r:'i,ra a an 'inn iL,'ndC a' ti ii:: [at quarter<br />
of2OUO, l'r'jaa: Is:::, I'': a,. 'sled [i37 t leant tI: pilji,,, 'Sat! H'' ,inij a<br />
l.ssgoalprcC' tiy'ra by"iIin: a; tin 1s, 'tract va i'pO'I in<br />
I 'mw's 10K fo 'ic year 2000.<br />
i.e: 8of13
<strong>Case</strong> 4:03cr00093 Document 1596 Fifed in TXSD on 06101/2009 Page 9 of 13<br />
(ni) Prc tn i: cic of Proec. ft:c chcrt. F1ov d kcn ti.r \ncrzen<br />
c:cI\ Hct lye ag 1 1 BS : 1 .CflCH 1 Cd W1H<br />
t ir .t hadk. 1LC c H 1CC cHIt<br />
Cti1 cc in ihc (i t cL:ftr of 20 1 cR1 .nJ oci d prc 1HIR.ly<br />
• :dwi± cI uh: [1 ird irlhcr i H lIH \ndcN:1I i'c1 with<br />
Li ac: 1111cc H ic iiC:1 -:cn& . H: iusc ic: ci uCube as a<br />
t•cJpjr1iI:1 ii .i r JI1cJ icinain in djmt eniwe indciinitely,<br />
(II) I cc c d L Icc, il;ully failed to inform ci cr ccuse<br />
AI:rcn ic T1R c IHI CCCbL capectatRi \V:R. till iN 1HfliCi CCII<br />
inC C lift ''Hi '\..N [U:ci\ H lCL thRIll f' I i icc. LHI/.: Cd IilIif s in<br />
thC IR1I iu.rtcr Hid t Hi 1 NpcCic1 1C cHi iic fIN I :nturc cc I cr HeN<br />
quc ici 1 ir md u1dcc.rN1 tiN ; l.iCHcfl cwcd U •cc KtcN iicrcrcd H<br />
th:ir HirlI 'i fthc tr iurc of PoiccL i.hcaii and NS':hi1ity to<br />
<strong>re</strong>co.i I/c c:iings.<br />
(o) SimilcU':, kNard knowingly and willfclle •liilcr i ilci i nCube prior to<br />
th Icc. tic p linsaction that he Irid lccrncd tiN i c could not be<br />
tHit LC ii tic lUst quarter as cri1t:iali' :cccH H tie time, <strong>Howard</strong><br />
H•. riri ic. .t •'t impoaitt tcct lot nCuhe, ycl H d others at LBS<br />
tall 111 lc.ckc.c it IC UNIV.<br />
(p) A- , cUlt ci Ilol. crl'l lii i<strong>re</strong> ic. disclose CI•1IcT:H1 Läcts to both n(uhe and<br />
\iidi eii I lo'd mdi ccl c.icci tc H ikcl rcorded as rd cnhi<br />
cim fscm ProjN t 1c.H'. cCc,irt, in that J nrc ' books tird <strong>re</strong>cIcH<br />
ilrons 111K icr tic cci 2000, fa:lcd fcluimIcK c.i: iii ly<br />
r ml. :. im icasonahi: d:tdl, tH :c. c1mc.s a do po ii: 1 tic :c.c f<br />
q) by :id u d:iiOc1< the 'v nn in viclation of Title 15, United States Code,<br />
Sectic:il itn(by()(A\ ,4(•:I) .10 " f.<br />
B<strong>re</strong>ach n f P1cc \ ccc m ccl<br />
15, lithe fltfcrdmt should fail in any way to fulfill ccmplcicH ,Ul of'ic<br />
oh! •Hn WI ci his P? A.<strong>re</strong>ement, the I 'nited States will he <strong>re</strong>lec H from its<br />
hr •r ci: i<br />
e Plc Hr,'ctii: :,tid tc. Dc'i art N olc:l md : ltcnce will stand<br />
N i limI has b<strong>re</strong>ached aa\ im c Hi ii of this Plea Ag<strong>re</strong>ement shall he<br />
deteimmed solely ly the United States tF ommdm 11i: Frud S'cti ci<br />
'fthe Ct Hut! Division<br />
of 13
<strong>Case</strong> 4:03-cr-00093 Document 1596 Fied n TXSD on 06/01/2009 Page 10 of 13<br />
Dcpartnientc svhose uiiirt fl tit flnl.<br />
I (I<br />
i11 fliifflilcflt \' fi<br />
16. <strong>The</strong> Drfd rcc ii pect to all iii I 1.e Sixth<br />
d 1ndietinen ab :J action. as well a all i1 1 ii in this<br />
is not a iTfl. party" neaning of the Hyde<br />
617, PL 105-1 19 (Nov. 26. ih not file an ci nn ur it law.<br />
CompI&<br />
\trtcuicnt<br />
I 7 T1u.<br />
tta Pka A'<strong>re</strong>ernent, inJudii the attached addLuduir f<br />
1)efendant and his attornc , u ti't the complete Plea \u nnt betv un United<br />
i)efendant, and his counsel. No promises or rc<strong>re</strong>r:. 1fluins have bce, ime by<br />
td states except as set forth writing m this P1e u rment, Thc Defendn<br />
tat no th<strong>re</strong>ats rr '<strong>re</strong>n n,_1•<br />
ftt him a1 th i<br />
f<strong>re</strong>ely and vol.r.r h bc:uir I<br />
[REMAINDER OF PAGE INTENTIONALLY LEFT BI ANK}<br />
I 0ofl3
<strong>Case</strong> 4:03cr00093 Document 1596 Filed in TXSD on 06/01/2009 Page 11 of 13<br />
18, A: modification of this Plea Arinont must be in ::n and signed by all<br />
Filed at Flouston, Texas. on June 7, 2009.<br />
) /<br />
1/<br />
K/iu fl,4" 1<br />
p$r. '<br />
Subscribed and sworn to befo<strong>re</strong> me on June (,2009.<br />
M!LTIAEL N. MILBY<br />
uciUEL: STATESDIiruCTCL.TkK<br />
By:<br />
_____<br />
Dep ty Unitod Diric Clerk<br />
APPROVED:<br />
STEVJ'4 \. Ti iLLLL<br />
Lrii: Dj. ion<br />
itd Dooo o<br />
By:<br />
Jonatbn I. Lopez<br />
Seni' Anarney<br />
Lor \.<br />
Tri: I i\ tn oy<br />
fl I )y tO<br />
/ //<br />
E duia/i<br />
Barry Il:cL. Fsq.<br />
fr dx flcdJuft<br />
UOcO L1: 1<br />
Whti !)(<br />
LW: T- 46<br />
Fax: 2(i):40152<br />
\,llts, *\.<br />
11 ofi3
<strong>Case</strong> 4:03cr00093 Document 1596 Fed in TXSD on 06/01/2009 Page 12 of 13<br />
UNITED STA1 ES OF A\l ER1C.\ §<br />
IN TILE UNIIL 1) STVFFS DISTRICT COURT<br />
SOULDI R\ DI'IRICTO1 TF\\<br />
Il(ftSTGN !) \IS1O<br />
§<br />
§ Cr. No. HO393 (Gilmo<strong>re</strong>. 3.)<br />
§<br />
K[\1\ R)\VAR1), §<br />
§§<br />
PLEA ACRFEi [NT ADDENDUM<br />
I have fdly evpkined ts Lk.kiot his rights with <strong>re</strong>spect to the Sixth<br />
S sp dms. 1cIeiç ipel udn Count 5. 1 have <strong>re</strong>viewed the i' suns ofth 1nt!<br />
H I fully and cdrfidv explained to the Defendaot de<br />
provisions i hec Guidelines whes isy apply in this case. I have also explained to the<br />
Defeidant that iee Sentencing GuideIne s<strong>re</strong> only advisory. Further, 1 have ca<strong>re</strong>fully<br />
<strong>re</strong>v : cd e. par: of this Plee Ae<strong>re</strong>ement the I )cldiidnet. To my ku ledne. the<br />
Det::init decji In enten eto tnis Flea Ag<strong>re</strong>ement is an informed and voluntary one.<br />
- __ ______<br />
iPff\ hUnch, i:co, Date<br />
AHrney for the Deheden<br />
P 'ofi3
<strong>Case</strong> 4:03cr4J0093 Document 1596 Filed in TXSD on 06/01/2009 Page 13 of 13<br />
p i: \T;R1F'\ L'\I<br />
JT1 jth TV lt1 1:'<br />
the SIXth SupcrI'' HcrncnL i ding<br />
IIV !(.nid ii ht- jtl r<br />
5, agais uie. My tLumc hi iH<br />
c nnd and I un .:nd iIi rp to the provisions ofthe iit<br />
1FUI i U1d1 j ppiy i my case. I have <strong>re</strong>ad ad LL'rcftli ed<br />
every pari ilfilis Pc mnt th u it:rney. ! ucrd this k1e Ar rncit and I<br />
voIuntuii: cc nn.<br />
P:c 3ofi3
UNITED STATES v<br />
<strong>Case</strong> Number:<br />
VICTIM NAME:<br />
INDIVIDUAL VICTIM IMPACT STATEMENT/FINANCIAL CRIME<br />
How have you and members of your family been affected by this crime?<br />
Please continue this statement on an additional sheet of paper if you wish.<br />
Have you or members of your family <strong>re</strong>ceived counseling as a <strong>re</strong>sult of this crime? Please explain.<br />
Have you filed a civil suit against the defendant? If yes, please list the case name, court location, and<br />
docket number.
VICTIM IMPACT STATEMENT FINANCIAL CRIME PAGE 2<br />
Do you <strong>re</strong>late to people diffe<strong>re</strong>ntly since the crime? Please explain.<br />
How has the crimes affected you and your family's lifestyle? Please explain.<br />
Has the crime affected your family's livelihood? Please explain.<br />
Have you experienced any of the following <strong>re</strong>actions to the crime:<br />
PLEASE REALIZE THESE ARE NORMAL REACTIONS TO A TRAUMATIC EVENT OR SITUATION.<br />
- Anger -<br />
Anxiety -<br />
Fear - Grief - Guilt - Numb - Chronic Fatigue<br />
-<br />
Sleep Loss -<br />
Nightma<strong>re</strong>s -<br />
Appetite Change - Unsafe -<br />
Uncontrolled Crying<br />
-<br />
Trouble Concentrating -<br />
Repeated Memory of Crime -<br />
Dep<strong>re</strong>ssion<br />
Please describe any other <strong>re</strong>actions to the crime committed.<br />
Do you feel the defendant is or will be a th<strong>re</strong>at to you, your family or the community?<br />
Yes - No Please explain.<br />
What else would you like the Judge to know about the defendant, or your situation as a <strong>re</strong>sult of<br />
the crime.<br />
If a victim consents, the Court may also make <strong>re</strong>stitution in services in lieu of money, or make<br />
<strong>re</strong>stitution to a person or organization designated by a victim. If you a<strong>re</strong> inte<strong>re</strong>sted in this option,<br />
please explain.
CONFIDENTIAL<br />
United States v.<br />
<strong>Case</strong> Number:<br />
<strong>The</strong> add<strong>re</strong>ss and telephone contact information provided below will only be provided to the<br />
p<strong>re</strong>sentence probation officer, and the United States Attorney's Office, unless a court order<br />
signed by the Judge authorizes the <strong>re</strong>lease of this page to the Court and attorney for the<br />
defendant.<br />
Printed Name:<br />
Signatu<strong>re</strong>:<br />
Add<strong>re</strong>ss<br />
Phone: (hm)_____________ (wk)_________________<br />
fax:<br />
e-mail: