Court Opinion

ID: 9494733
Source: CourtListenerOpinion
Date Created: 2023-08-05 15:45:07.509321+00
Date Added: 2024-06-11T17:56:34.970302
License: Public Domain

KENNEDY, Circuit Judge,
concurring in part and dissenting in part.
I concur in all of the Court’s opinion except the holding that the district court erred in its determination that defendant occupied a position of trust under United States Sentencing Guideline § 3B1.3. Section 3B1.3 provides a two-level enhancement if a defendant “abused a position of public or private trust ... in a manner that significantly facilitated the commission or concealment of the offense.... ” The commentary' to the guidelines defines *383a position of trust as one “characterized by-professional or managerial discretion.” U.S.S.G. § 3B1.3 app n. 1. Because I believe the evidence was sufficient to find Humphrey abused a position of trust, I would affirm the district court’s imposition of the abuse of trust enhancement.
As head vault teller at Sun Trust Bank in Johnson City, Tennessee, and a twenty-year employee of the bank, defendant was responsible for receiving excess cash from ten branches of Sun Trust as well as food stamps from those branches. Excess cash, if not needed at other branches, was deposited with the Federal Reserve Bank in Nashville, Tennessee. Food stamps were also sent to the Nashville branch of the Federal Reserve Bank for redemption and a cash credit to the bank. Receipts from the Federal Reserve were returned to defendant and she was the person contacted at Johnson City Sun Trust Bank when the Federal Reserve had questions.
Defendant determined when food stamps would be sent for redemption. Her position required her to verify all monies in the vault and cash and food stamp shipments. She maintained the record of the vault’s transactions. By recording the proceeds from food stamp shipments to the Federal Reserve as cash deposits rather than food stamp redemp-tions, she was able to conceal her embezzlement for a substantial time.
In late 1995 or early 1996, the bank records showed an inventory of approximately $827,000 of food stamps. J.A. at 306. Most were no longer there, having been sent for redemption. She would also delay entering records of cash transactions with the Federal Reserve so that the bank’s records would appear to balance, although they would show a huge inventory of food stamps.
When new management directed redemption of the food stamp inventory, defendant was asked to send the backlog of food stamps “as she could.” J.A. at 307. Defendant later asked whether that directive could be modified, saying she had spoken to the auditor and was told there could be a variation. J.A. at 308. The bank operation officer, Ms. Laws, spoke to the auditor and determined that the directive to reduce the food stamp balance should be carried out. When the directive was confirmed, defendant said she was doing the best she could.
Defendant trained the other tellers who worked in the vault. She herself counted all the money. Although two signatures were required on the forms sent to the Federal Reserve, the other tellers, in accordance with defendant’s directive, merely determined if the amount entered on the various forms was the amount she had stated was in the packages. What she stated was her count of the money or food stamps. In designating defendant to train the other employees, Sun Trust was assigning her managerial duties.
Terri Love, one of the other tellers, testified that defendant told her she, Mrs. Humphrey, had to count all the money and that the other tellers could not count money in the vault. J.A. at 266-67.
In view of the totality of the evidence of defendant’s authority and position in the bank, I believe there was sufficient evidence for the court to conclude defendant had a position of trust. Until 1996, she had the discretion to decide when food stamps would be sent or retained. She had similar discretion with respect to loose change, also found to be thousands of dollars short.
Her discretion in timing the shipment of food stamps enabled her to conceal her embezzlement. She was not a fiduciary. However, the enhancement is not limited to fiduciaries. Neither was she “an ordi*384nary bank teller.” She was dealing with ten branches, their excess cash (for transmittal to the Federal Reserve), their food stamps, their excess loose coin. The bank entrusted her with responsibility to send on food stamps as she determined. She had responsibilities beyond those of ordinary tellers. Without this discretion, defendant would not have been able to execute her scheme for as long as she did.
While I agree that the decision of the district court to apply U.S.S.G. § 3B1.3 is treated as a question of law in this Circuit which we review de novo, we are reviewing to see if defendant meets the minimum necessary for application of the guideline. I believe that she did and I would uphold the district court’s decision to increase defendant’s offense level for abuse of a position of trust.