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United States v. Mandell

United States Court of Appeals, Second Circuit

May 16, 2014

United States of America, Appellee
v.
Ross H. Mandell, Adam Harrington, Defendants-Appellants, Stephen Shea, Arn Wilson, Robert Grabowski, Michael Passaro, Defendants

Argued May 2, 2013

Page 545

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[Copyrighted Material Omitted]

Page 547

Appeal from May 7, 2012 judgments of conviction of the United States District Court for the Southern District of New York (Crotty, J.) for conspiracy to commit securities fraud, wire fraud, and mail fraud, in violation of 18 U.S.C. § 371; securities fraud, in violation of 15 U.S.C. § § 78j(b) & 78ff, 17 C.F.R. § 240.10b-5, and 18 U.S.C. § 2; wire fraud, in violation of 18 U.S.C. § 1001; and mail fraud, in violation of 18 U.S.C. § § 1343 & 2. Defendants' principal challenge on appeal is that their convictions for securities fraud should be reversed for a lack of sufficient evidence of domestic securities transactions. Applying United States v. Vilar, 729 F.3d 62 (2d Cir. 2013), we conclude that the jury was presented with sufficient evidence of domestic transactions from which it could find the essential elements of defendants' securities fraud convictions. Accordingly, we affirm the judgments of conviction. Defendant Mandell also contends, and the government concedes, that the district court's forfeiture order should have made the defendants jointly and severally liable for forfeiture. Solely as to this issue, we vacate and remand so that the district court may amend the forfeiture order.

KATHERINE R. GOLDSTEIN, (Michael Gerber and Brent S. Wible, on the brief), Assistant U.S. Attorney, for Appellee Preet Bharara, United States Attorney for the Southern District of New York, New York, NY.

MATTHEW W. BRISSENDEN, Garden City, NY, for Defendant-Appellant Ross H. Mandell.

SCOTT J. SPLITTGERBER, (Michael F. Bachner and Howard Weiner, on the brief), Bachner & Associates, P.C., New York, NY, for Defendant-Appellant Adam Harrington.

Before: WESLEY, CARNEY, AND WALLACE,[*] Circuit Judges.

OPINION

Page 548

Per Curiam

Defendant-Appellants Ross Mandell and Adam Harrington appeal from judgments of conviction entered on May 7, 2012, in the United States District Court for the Southern District of New York (Paul A. Crotty, Judge ), following a five-week jury trial. The jury found both Mandell and Harrington guilty of all four of the counts charged against them: (1) conspiracy to commit securities fraud, wire fraud, and mail fraud, in violation of 18 U.S.C. § 371; (2) securities fraud, in violation of 15 U.S.C. § § 78j(b) & 78ff, 17 C.F.R. § 240.10b-5, and 18 U.S.C. § 2; (3) wire fraud, in violation of 18 U.S.C. § 1001; and (4) mail fraud, in violation of 18 U.S.C. § § 1343 & 2. As to Mandell, the district court imposed a term of 144 months imprisonment, and ordered him to pay forfeiture in the amount of $50 million, a $10,000 fine, and a $400 mandatory special assessment. As to Harrington, the district court imposed a term of 60 months imprisonment, and ordered him to pay forfeiture in the ...


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