Opinion ID: 563204
Heading Depth: 2
Heading Rank: 8

Heading: Sufficiency of the Evidence as to the Witness Tampering Counts

Text: 86 In Counts 11 through 16 of the indictment, appellants were charged with conspiring to influence and attempting to influence or inhibit the testimony of five grand jury witnesses in violation of 18 U.S.C. Sec. 1512(b). That title, in pertinent part, makes it illegal knowingly to use intimidation or physical force, threats, or corrupt persuasion to induce or attempt to induce or engage in misleading conduct with intent to influence, delay, or prevent the testimony of any person or cause or induce any person to withhold testimony or to withhold documents. 87 Appellants have asserted that Sec. 1512 limits conduct which may serve as the basis for prosecution to tampering by specific means such as by use or attempted use of physical force or threat or by engaging in misleading conduct toward another person, and that such conduct does not include acts which are intended to mislead the government but which fail to mislead the person to whom the act was directed, citing United States v. King, 762 F.2d 232 (2d Cir.1985), cert. denied, 475 U.S. 1018, 106 S.Ct. 1203, 89 L.Ed.2d 316 (1986). Having thus framed the legal standard, appellants then have contended that, even when viewed in a light most favorable to the government, the evidence adduced at trial was insufficient to meet that standard beyond a reasonable doubt. See Glasser v. United States, 315 U.S. 60, 80, 62 S.Ct. 457, 469, 86 L.Ed. 680 (1942). 88 The record reveals otherwise. Schmidt wrote letters dated September 23, 1988 to witnesses Myra Poplin, Margaret Stafford, and Frank Moore after he learned that each had been served with a grand jury subpoena. The letters instructed the witnesses about a purported fiduciary relationship each of them was under to FSBL and reminded them of the written instructions from FSBL not to divulge any information regarding the assets or financial affairs of the trust to any third parties. In addition to the letters, Lewis spoke with each of the three over the phone, reminding each that he or she could exercise his or her Fifth Amendment rights, advising that each should send a copy of Schmidt's September 23 letter to the Assistant United States Attorney on the investigation, and urging that each should thereafter refer any inquiries to attorney Robert Keyser. Keyser was in fact unaware of the letters or of the use of his name by Schmidt. 89 There was also substantial evidence from which the jury could infer that Dunlap and Schmidt had misled Joyce Williams and Peggy Dunlap, appellant Dunlap's sister, regarding their obligation to testify and produce documents. Williams called appellant Dunlap, her brother, after receiving her first grand jury subpoena on February 6, 1989. She failed to appear on that date. She then asked for and was given a letter conferring informal immunity dated April 6, 1989. She appeared before the grand jury on the same day but she did not bring the documents listed in the subpoena with her and refused to testify. 90 On May 22, 1989, Williams was served with another subpoena to produce documents relating to her UBO and to testify on June 7, 1989. Declining to produce the requested documents, Williams instead sent the grand jury foreperson a document entitled Answer to Subpoena/Purgation by Oath, 6 which stated that she did not have any of the requested documents, including any relating to her UBO. She had, in fact, sent all of the documents to appellant Schmidt after the investigation began. Before the grand jury, Williams testified that appellant Dunlap had told her she would not have to testify if she submitted the Purgation of Oath form. 91 On June 7, 1989, the district court ordered Williams to appear and show cause why she should not be held in contempt for failure to appear before the grand jury. Shortly thereafter, Williams received a letter from appellant Schmidt dated June 10, 1989, purportedly acknowledging receipt, on behalf of FSBL, of Williams' UBO documents in early December 1988. On August 7, 1989, the district court issued an order compelling Williams to testify. She then told appellant Dunlap she needed the documents she had sent to appellant Schmidt back before the August grand jury session. The documents were returned to her after Dunlap called Schmidt, and ultimately, were produced to the grand jury. 92 On March 29, 1989, Peggy Dunlap received a subpoena to testify in April 1989. She refused to testify and was subpoenaed to testify again in June 1989. She spoke to her brother, appellant Dunlap, and to Schmidt after receiving the second subpoena. On Schmidt's advice, Peggy Dunlap submitted a Purgation of Oath form rather than appearing before the grand jury in June. On June 7, 1989, the district court ordered Peggy Dunlap to appear and to show cause why she should not be held in contempt for failing to appear before the grand jury. Shortly thereafter, she, like Williams, received a letter from Schmidt dated June 10, 1989, purportedly acknowledging receipt, on behalf of FSBL, of documents relating to her UBO in early April 1989. The documents were returned to her and were produced to the grand jury after her brother called Schmidt. 93 Having heard such evidence, especially when the evidence is viewed in a light most favorable to the government, the jury, as rational fact-finder, could clearly have found guilt beyond a reasonable doubt.