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CT. Ex. 1
UNITED STATES DISTRICT COURT
The United States of America and the defendant ADRIAN SCOTT-JONES ("SCOTT-JONES") hereby enter into the following plea agreement ("Agreement") pursuant to Rule 11(c)(1)(B) of the Federal Rules of Criminal Procedure ("Fed. R. Crim. P.").
AGREEMENT TO PLEAD GUILTY
1. SCOTT-JONES agrees to waive indictment pursuant to Fed. R. Crim. P. 7(b), and plead guilty to each count of a three-count Information, in the form attached, in the United States District Court for the Southern District of New York, in which SCOTT-JONES is charged with two counts of violating 18 U.S.C. § 371, each in connection with a conspiracy with a different provider to defraud municipal issuers, the United States and the Internal Revenue Service, from at least as early as September 2001 until at least November 2006 in Count One, and from at least as early as August 1999 until at least November 2006 in Count Two; and one count of violating 18 U.S.C. § 1343, in connection with using a wire transfer in furtherance of a scheme to defraud municipal issuers on or about June 30, 2006.
2. SCOTT-JONES will continue to cooperate fully and truthfully with the United States in the prosecution of this case, the conduct of the current federal investigation of violations of federal antitrust and related criminal laws involving investment agreements or other municipal finance contracts, as well as any other federal investigation resulting therefrom, and any litigation or other proceedings arising or resulting from any such investigation to which the United States is a party (collectively referred to herein as "Federal Proceeding"). The ongoing, full, and truthful cooperation of SCOTT-JONES shall include, but not be limited to:
3. SCOTT-JONES agrees that any assistance he may provide to federal criminal investigators in connection with any Federal Proceeding shall be pursuant to the specific instructions and control of the Antitrust Division and those federal criminal investigators.
4. Subject to the full, truthful, and continuing cooperation of SCOTT-JONES, as described in Paragraph 2 of this Agreement, and upon the Court's acceptance of the guilty pleas called for by this Agreement, SCOTT-JONES will not be further prosecuted criminally by the Antitrust Division of the Department of Justice, and with respect to tax crimes, by the Tax Division of the Department of Justice, for crimes committed prior to the date of this Agreement arising from the following activity (to the extent that SCOTT-JONES has disclosed his participation in such criminal activity to the United States as of the date of this Agreement): participating in any conspiracy or scheme to defraud municipal issuers or the Internal Revenue Service, from at least as early as August 1999 until at least November 2006. This Agreement does not provide any protection against prosecution for any crimes arising from the activity except as set forth above. The non-prosecution terms of this paragraph do not apply to civil matters of any kind or crimes of violence.
5. SCOTT-JONES understands that he may be subject to administrative action (including removal from the United States) by the United States Immigration and Customs Enforcement of the United States Department of Homeland Security ("ICE"), based upon the conviction resulting from this Plea Agreement, and that this Plea Agreement in no way controls whatever action, if any, ICE may take. However, the United States agrees that, if administrative proceedings are instituted against SCOTT-JONES, it will advise ICE of the fact, manner, and extent of SCOTT-JONES's cooperation with the United States. Subject to the full and continuing cooperation of SCOTT-JONES, as described in paragraph 2 of this Plea Agreement, the Antitrust Division of the United States Department of Justice, in order to obtain SCOTT-JONES's promised cooperation and assistance, further agrees to recommend that ICE not institute removal proceedings during the period of his cooperation and, if proceedings are ultimately instituted, when appropriate, recommend that ICE grant deferred action status to SCOTT-JONES.
6. It is understood that this Agreement does not bind any other federal agency or local prosecuting authority or administrative agency other than the Antitrust Division of the United States Department of Justice, or to the extent set forth in paragraph 4, the Tax Division of the United States Department of Justice. However, if requested, the Antitrust Division will bring the fact, manner and extent of the cooperation of SCOTT-JONES to the attention of other prosecuting, administrative, and other agencies as a matter for such agencies to consider as appropriate.
POSSIBLE MAXIMUM SENTENCE
7. SCOTT-JONES understands that the statutory maximum penalty which may be imposed against him upon conviction for each violation of Title 18, Section 371 charged in Counts One and Two is:
8. In addition, SCOTT-JONES understands that:
9. In addition, SCOTT-JONES understands that the statutory maximum penalty which may be imposed against him upon conviction for a violation of Title 18, Section 1343 charged in Count Three is:
10. In addition, SCOTT-JONES understands that:
11. SCOTT-JONES understands that the sentence to be imposed on him is within the sole discretion of the sentencing judge. It is understood that the Sentencing Guidelines are not binding on the Court. SCOTT-JONES acknowledges that his entry of guilty pleas to the charged offenses authorizes the sentencing court to impose any sentence, up to and including the statutory maximum sentence. The United States cannot and does not make any promises or representations as to what sentence SCOTT-JONES will receive. However, the United States will inform the Probation Office and the Court of (a) this Agreement; (b) the nature and extent of SCOTT-JONES's activities with respect to this case, and all other activities of SCOTT-JONES which the United States deems relevant to sentencing; and (c) the timeliness, nature, extent and significance of SCOTT-JONES's cooperation with the United States. In so doing, the United States may use any information it deems relevant, including information provided by SCOTT-JONES both prior and subsequent to the signing of this Agreement. The United States reserves the right to make any statement to the Court or the Probation Office concerning the nature of the offenses charged in the attached Information, the participation of SCOTT-JONES therein, and any other facts or circumstances that it deems relevant. The United States also reserves the right to comment on or to correct any representation made by or on behalf of SCOTT-JONES, and to supply any other information that the Court may require.
12. If the United States determines that SCOTT-JONES has provided substantial assistance in any Federal Proceeding, and has otherwise fully complied with all of the terms of this Agreement, it will file a motion, pursuant to U.S.S.G. § 5K1.1, advising the sentencing judge of all relevant facts pertaining to that determination and requesting the Court to sentence SCOTT-JONES in light of the factors set forth in U.S.S.G. § 5K1.1(a)(1)-(5), and thus enabling the Court, in its discretion, to impose a sentence below the applicable Sentencing Guidelines ranges for incarceration and fine. The United States and SCOTT-JONESare free to recommend or argue for any specific sentence to the Court.
13. SCOTT-JONES understands that this Agreement does not in any way affect or limit the right of the United States to respond to and take positions on post-sentencing motions or requests for information that relate to reduction or modification of sentence.
14. SCOTT-JONES acknowledges that the decision whether he has provided substantial assistance in any Federal Proceeding is within the sole discretion of the United States. It is understood that should the United States determine that SCOTT-JONES has not provided substantial assistance in any Federal Proceeding, such a determination will release the United States from any obligation to file a motion pursuant to U.S.S.G. § 5K1.1, but will not entitle SCOTT-JONES to withdraw his guilty pleas once they have been entered. SCOTT-JONES further understands that whether or not the United States files its motions pursuant to U.S.S.G. § 5K1.1, the sentence to be imposed on him remains within the sole discretion of the sentencing judge.
15. It is understood that should the United States determine in good faith, subsequent to the filing of a motion pursuant to U.S.S.G. § 5K1.1 of the Sentencing Guidelines, that SCOTT-JONES has violated any provision of this Agreement, the Antitrust Division shall have the right to withdraw such motion.
16. SCOTT-JONES understands and agrees that should the conviction following his pleas of guilty pursuant to this Agreement be vacated for any reason, then any prosecution that is not time-barred by the applicable statute of limitations on the date of the signing of this Agreement may be commenced or reinstated against him, notwithstanding the expiration of the statute of limitations between the signing of this Agreement and the commencement or reinstatement of such prosecution. It is the intent of this Agreement to waive all defenses based on the statute of limitations with respect to any prosecution that is not time-barred on the date that this Agreement is signed.
REPRESENTATION BY COUNSEL
17. SCOTT-JONES has reviewed all legal and factual aspects of this case with his attorney and is fully satisfied with his attorney's legal representation. SCOTT-JONES has thoroughly reviewed this Agreement with his attorney and has received satisfactory explanations from his attorney concerning each paragraph of this Agreement, and alternatives available to SCOTT-JONES other than entering into this Agreement. After conferring with his attorney and considering all available alternatives, SCOTT-JONES has made a knowing and voluntary decision to enter into this Agreement.
18. SCOTT-JONES hereby acknowledges that he has accepted this Agreement and decided to plead guilty because he is in fact guilty. By entering pleas of guilty, SCOTT-JONES waives any and all right to withdraw his pleas or to attack his conviction, either on direct appeal or collaterally, on the ground that the United States has failed to produce any discovery material, Jencks Act material, exculpatory material pursuant to Brady v. Maryland, 373 U.S. 83 (1963), other than information establishing the factual innocence of SCOTT-JONES, and impeachment material pursuant to Giglio v. United States, 405 U.S. 150 (1972), that have not already been produced as of the date of the signing of this Agreement.
19. SCOTT-JONES's decision to enter into this Agreement and to tender pleas of guilty is freely and voluntarily made and is not the result of force, threats, assurances, promises, or representations other than the representations contained in this Agreement. The United States has made no promises or representations to SCOTT-JONES as to whether the Court will accept or reject any recommendations made pursuant to this Agreement.
VIOLATION OF PLEA AGREEMENT
20. SCOTT-JONES agrees that should the United States determine in good faith that SCOTT-JONES has given false, misleading, or incomplete information or testimony, or that SCOTT-JONES has failed in any other way to fulfill any of the obligations set out in this Agreement, the United States shall notify counsel for SCOTT-JONES in writing by personal or overnight delivery or facsimile transmission of its intention to void any of its obligations under this Agreement (except its obligations under this paragraph), and SCOTT-JONES will be subject to prosecution for any federal criminal violation of which the United States has knowledge, including but not limited to the substantive offenses relating to the investigation resulting in this Agreement. It is the intent of this Agreement to waive all defenses based on the statute of limitations with respect to any prosecution that is not time-barred on the date that this Agreement is signed.
21. If SCOTT-JONES violates any provision of this Agreement, he agrees that any documents, statements, information, testimony or evidence provided by him, whether before or after the execution of this Agreement, and any leads derived therefrom, shall be admissible in evidence in any and all criminal proceedings hereafter brought against SCOTT-JONES, and that he will not assert a claim under the United States Constitution, any statute, Rule 410 of the Federal Rules of Evidence, or any other federal rule, that such evidence, or any leads therefrom, should be suppressed.
ENTIRETY OF AGREEMENT
22. This Agreement constitutes the entire agreement between and among the United States and SCOTT-JONES concerning the disposition of the charges contained in the attached Information. The United States has made no other promises to or agreements with SCOTT-JONES. This Agreement cannot be modified other than in a writing signed by the parties.