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2009 NASAA Attorney/Investigator Training. ANALYZING EVIDENCE Randy McNeill, Deputy Director 334-242-2984, [email protected] Martin Cordell, Enforcement Attorney: 360-902-8772, [email protected]. ANALYZING EVIDENCE:. - PowerPoint PPT Presentation
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2009 NASAA Attorney/Investigator Training
ANALYZING EVIDENCE
Randy McNeill, Deputy Director
334-242-2984, [email protected]
Martin Cordell, Enforcement Attorney:
360-902-8772, [email protected]
ANALYZING EVIDENCE:
How and what you should look for in reviewing your case in making a referral or drafting a pleading.
Using evidence to tell your
story.
In evaluating the strength and weaknesses of your case or evidence, consider:
What are the violations to be proved?
What are the elements of each violation?
What evidence supports each element of the violation?
What are potential evidentiary issues or objections?
What are the potential violations?
Typical violations: Sale of Unregistered Securities
Exemptions? Unlicensed broker-dealer/salesperson Fraud
Device, Scheme, Artifice Misrepresentions Omissions Act, practice or course of business
Questions to Ask in Forming Your Theory
What type of case is this? What is the fraud? Who are the investors? What is the motivation of the
defendant/respondent?
Tell the Story
You should think of every document as a potential piece of evidence that will help you tell the story.
Key Questions
Does this piece of evidence help prove an element of the case?
Does it show relevant pattern or practice? Can it be used against me, and if so what
impact? Are there evidentiary hurdles in getting the
evidence admitted? Does it create an unnecessary appellate issue?
Evidentiary Issues
Authentication: FRE Rule 901. Best Evidence Rule: FRE Rule 1002, et seq. Hearsay: FRE Rule 802, et seq. Relevancy: FRE Rule 402 Undue Prejudice: FRE Rule 403 Other Acts: FRE Rule 404
Twelve Banker Boxes to 38 ExhibitsNumber Admit Description Witnesses
1. Letter to Circuit Clerk Morgan County Stephens
2A. Suspension Complaint Lusk
2B. Suspension Order Lusk
2C. Disbarment Complaint Lusk
2D. Disbarment Order Lusk
3A. Certified Conviction CC# Certified
3B. Certified Conviction CC# Certified
4. Bail Bond Act Self proving
5A. Certificate of Non-registration for Jailbusters Certified, Tolar
5B. Certificate of Non-registration for Butler Certified, Tolar
6. Buy/Sell Agreement Jailbusters Marshall County Roome
7. Promissory Note 1/22/03 Roome
8. Corporate Resolution Jailbusters Marshall County Roome
9. Articles of Incorporation Roome
10. Certificate of Deposit Jailbusters of Marshall County Roome
11. Business Signature Card Roome
12A-Q Marshall County Monthly Split Roome
13A-L Checks/Money Orders Roome
14. Lease Jailbusters Morgan County Roome
15. Minutes & Addendum 6/6/04 Meeting Roome
Twelve Banker Boxes to 38 Exhibits16. Termination Letter Roome
17. Notice of Default Roome
18. Buy Sell Agreement Jailbusters Cullman County Flinner
19. Promissory Note 1/27/03 Flinner
20. Corporate Resolution Flinner
21. Check #626 1/29/03 Flinner
22. Articles of Incorporation Flinner
23. Certificate of Deposit Jailbusters of Cullman County Flinner
24. Termination Letter Flinner
25. Buy Sell Agreement Jailbusters Walker County Parnell
26. Promissory Note 8/14/03 Parnell
Number Admit Description Witnesses
27. Check # 6689 8/14/03 Parnell
28. Certificate of Deposit Jailbusters of Walker County Parnell
29A-H Checks to Butler or Parallax Parnell
30. Termination Letter Parnell
31. Notice of Default Parnell
32. Withdrawal of CD Jailbusters of Marshall County Custodian, Lewis
33. Withdrawal of CD Jailbusters of Cullman County Custodian, Lewis
34. Withdrawal of CD Jailbusters of Walker County Custodian, Lewis
35A- Bank Records Custodian, Lewis
36A- Certificates of Incorporation of Butler Related Companies Certified, Lewis
37. Flowchart Butler Related Companies Lewis
38. Timeline Lewis
GUILTY!
Butler found guilty of securities fraud, faces 10 years to life Categories: Court
Huntsville TimesJamie Butler, left, confers with defense attorney John Mays of Decatur.
HUNTSVILLE, AL - A Madison County jury has found James L. "Jamie" Butler Jr. guilty of nine counts of securities fraud in the sale of several Bail Busters bail bond company franchises. Butler faces between 10 years and life in prison and will be sentenced later.
The verdict was read in open court at about 4 p.m. after a jury of 10 women and 2 men deliberated about four hours. Butler's trial lasted a week.
Butler stood impassively as visiting Circuit Judge Brian Howell of Anniston read each of the verdicts on the 11 charges against Butler. He was found not guilty of two charges involving victim Kay Roome.
Butler will be sentenced Sept. 11 under Alabama's Habitual Offenders Act. He has two prior convictions for theft.
Prosecuting Butler under securities laws was like the decision federal investigators made to prosecute Al Capone for income tax evasion. Butler was described as a career criminal who, in the words of lead prosecutor Randy McNeil of the Alabama Securities Commission, "has hurt a lot of people for a long time."
Butler's lead defense attorney Bruce Gardner expressed disappointment after the verdicts were read. Gardner said he thought the defense would prevail on more of the charges, but "I'm not sure I ever expected to win on all counts, to be brutally honest."
Summary:
In analyzing the evidence in your case, prepare a list to ensure that you cover:
Each violation to be proved,
Each element of the violation, and
Witness or documents supporting the violation of each element.
Summary:
To tell your story effectively: Determine your theory of the case, ID evidence that tells the story, Keep it simple, What are evidentiary issues? Use a sharp instrument to obtain
successul results.