Case 3:14~cr~02354-BAS Document 24 Filed 12/02/15 Page 1 of 1 ORIGINAL 1 2 3 4 5 6 UNITED STATES DISTRICT COURT 7 SOUTHERN DISTRICT OF CALIFORNIA 8 UNITED STATES OF AMERICA, 9 ORDER OF LIMITED UNSEALING OF INDICTMENT, SUPERSEDING INFORMATION, PLEA AGREEMENT, AND FOREFEITURE ADDENDUM SEAN ENRIQUE O'KEEFE, 12 Defendant . UNDER SEAL 13 14 ~------------------------------~ IT IS HEREBY ORDERED THAT: 15 (1) 16 17 18 19 20 21 '22 23 11, 26 the Indictment I Superseding Information, Plea Agreement, and Forfeiture Addendum shall be unsealed for the limited purpose of allowing them to be used as exhibits to the testimony of Defendant Sean Enrique O'.Keefe in proceedings before a Grand Jury convened by the · San Diego D_istrict Attorney's of"fice, and to further be made part of the public record at the conclusion of that proceeding as required by applicable California state rules or court order. (2} All filings and events in the case record shall be unsealed as of December 11 1 2015. IT IS SO ORDERED. ~~~[-IS' 27 DATED 28 From the date of the signing of this order until December 2015, 24 25 14CR2354-BAS Plaintiff, v. 10 11 Case No. HON~~ United States District Judge Document 23 Filed 12/02/15 Page 1 of 2 -. -~., .,,.. 1 2 3 4 5 6 7 8 9 LAURA E. DUFFY United States Attorney VALERIE H. CHU Assistant United States Attorney California Bar No. 241709 CAROLINE P . HAN Assistant United States Attorney California Bar No. 250301 FRED A. SHEPPARD Assistant United States Attorney California Bar No. 250781 Federal Office Building 880 Front Street, Room 6293 san Diego, California 92101-8893 Telephone: (619) 546 - 6750/6968/8237 Email: Valerie.chu®usdoj.gov Caroline.han®usdoj.gov Fred.sheppard®usdoj.gov :"''·· .· .. ·• ~ ·-· .. :,.~T -:~:~~=~:" 1.0 ll Attorneys for United States of America. 12 UNITED STATES DISTRICT COURT 13 14 SOUTHERN DISTRICT OP CALIFORNIA UNITED STATES OF AMERICA, Case No. 14CR2354-BAS 15 Plaintiff, 16 v. MOTION FOR LIMITED UNSEALING OF INDICTMENT, SUPERSEDING INFORMATION, PLEA AGREEMENT, AND FOREFEITURE ADDENDUM 17 SEAN ENRIQUE O'KEEFE, 18 Defendant. EX PARTE 19 20 21 22 23 24 25 26 AND UNDER SEAL COMES NOW the United States and hereby moves ·the court to unseal the following: Agreement, the and Indictment, Forfeiture Superseding Addendum, for the Information, limited Plea purpose of allowing these pleadings to be used as exhibits to the testimony of Defendant Sean Enrique 0' Keefe in proceedings pefore a Grand Jury convened by the San Diego District Attorney's Office, and to further be made part of the public record at the conclusion of that 27 28 Ce ~ C~\~. ~-tL..5 Ptu~ 14CR2354-BAS ... . Case 3:14-cr-02354-BAS Document 23 Filed 12/02/15 Page 2 of 2 1 proceeding as required by applicable Cali fornia state rules or court 2 order. 3 That proceeding should conclude no later than December 11, 2015, 4 and the United Stat~s accordingly moves to unseal the aforementioned s documents, and the case record, for all purposes as of that date. 6 RESPECFULLY SUBMITTED, 7. LAURA E • DUFFY United States Attorney 8 9 10 11 11--/ t DATEDt I c.s-· I ' 'fm~· VA ERIE H. CHU Assistant U.S. Attorney 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2 . 0~TGtNAL 54 -~ .... "t/ " 1 2 3 4 5 6 7 8 9 -sAs Document 23 Filed 12/02/15 Page 1 of 2 ..., '4 LAURA E . DUFFY United States Att orney VALERIE H. CHU Assistant United States Attorney California Bar No. 24 1709 CAROLINE P . HAN Assistant United States At torney California Bar No. 250301 FRED A. SHEPPARD Assistant United States Attorney California Bar No. 250781 Federal Office Building 880 Front Street, Room 6293 San Diego, California 92101-8893 Telephone : (619) 546- 6750/6968/8237 Email; Valerie . chu®usdoj . gov Caroline.han®usdo . ov Fred.she ard®usdo . ov 10 11 Attorneys for United States of America. 12 UNITED STATES DISTRICT COURT 13 14 SOUTHERN DISTRICT OF CALIPORNIA UNITED STATES OF AMERICA, 15 v. MOTION FOR LIMITED UNSEALING OF INDICTMENT, SUPERSEDING INFORMATION, PLEA AGREEMENT, AND FOREFEITURE ADDENDUM SEAN ENRIQUE O'KEEFE, 18 Defendant . 1.9 EX 20 21 23 24 25 26 14CR2354-BAS Plaintiff, 16 17 Case No . PARTE AND UNDER SEAL COMES NOW the united Sta tes and hereby moves the Court to unseal the following: the Indictment, Superseding Information, Plea allowing these pleadings to be used as ex hibits to the testimony of Defendant Sean Enrique 0' Keefe in proceedings before a Grand Jury convened by the San Diego District Attorney's Office, and to further be made part of the public record at the conclusion of that 27 28 Ce.! CH~- ~.5 ~u~ 14CR2354-BAS .... Case 3:14-cr-02354-BAS Document 23 Filed 12/02/15 Page 2 of 2 1 proceeding as required by applicable California state rules or court 2 order. 3 That proceeding should conclude no later than December 11, 2015, 4 and the United Stat~s accordingly moves to unseal the aforementioned s documents, and the case record, for all purposes as of that date. RESPECFULLY SUBMITTED, 6 7 LAURA E. DUFFY 8 united States Attorney 9 tJ...It fI c ) 10 DATEDl 11 ~;;~yfe -· VALERIE H. CHU Assistant u.S . Attorney 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2 .......... . .. ~- .·_! ~. . . · Case 3:14-cr-02354-BAS Document 20 Filed 11103/15 Page 1 of 1 . ,.\_ ;;;:'i·.~ ::.~.'· ;·,.?·::~...:.>~--~·:<:··':' .·....I,INIT•o·STATES DISTRICT,COURT· · . ., · ,.,. . :,··: :·.: ~·. :. . .: . · .. ·. . . ... ,~.5 ~~~i}:~(~.:~:; ::'5';.;:·::..-.:::::. ·:: .·:·:::.;-:._·... :.··,; ..·::,.,:.:·_.··soiJ:'.lt-=~:·DI~TRICT OF·c~.:.t~O..NJA :...... . ~··~- .::.. . .' ,· --- -·... ·... .· .. --.:.:-·. ..·.:·, ::,:·._: · . ~~::-,~.·.·~<·'~1!'~~~~ _·;:·:~(.. ... . ,-, ~-- · :· ,.J. ,.··.··' ·.: ,~~~ · .; ·:-~ : . · · :-. -;· :~),·:~JJ· . ;:·:~·~·V\. ·... 6:.-.V\ .{ ;.C.:1. .~ .~. ,x,:··... : . . . . . ·,':.::·;· ~ :.··.·o ··)~_.e. fe.- c~; ..., ~ ..,· : . ·'. . . . . -~ .. LJ CJ L¢1 54~ .805 · ... ) ABSTRACT OF ORDER t) Booking No. _ _ _ _ __,...,..___. ) ) . :~i~t)~(f~:;~~::~~fF-~ ;s.t~T~$:~,~~-ANDI.OR.WARDEN.N~~q.'tUT.o:./~2f>~Ul~CJ10~L:.CE~;:': -;: · . :· :· :· :,.. :; . ... ·<~:> · :. . ·:. ., Be.adlilaed that mder date of.: 1Ip· ·,._#~U!e~~ ;i~·4., . :~#~~;.:;:.<:t-·.·:,.·. ... · . · . / ..:.:> . ~· I .. . · ~~ --hwn~-~ . ,. ·.'.· ._: /: . ., ~ _, ·. . · · ·· . · · · ··: ~ . . .. . · . . :~. ~ Qe~~t pl~,ce.d:on ~upe~i~ I un_~pervlsed pro~tionlsuperviSed·l'elease•. ·,.• · -":·· ·..--: ~;7~tj~/~:!:-~:~:·, .;·: ··· ·.·:_ ·. . , ;·.·;; .:~~B!lt contlnUedo.n s~lsed I unsupervised probation/ superv~·:release..,· : ~>~~~--.. ·-:~ . ... ;t;,c~>,,··..·22 ·;•·.=~~=~rt.flNGERP,Ilit!T ~RELEASE• ]*:~:,}.:>./·:< . :. ;.·:·..., _ .~"-~~ntr~~!Jnded and ( ~~~~~;- ; <: 1 ;·~;·~·~..: ,~:::.'::_.-,: . · ·:. ·• _ ·: · bo~)...( .· ... ef!>r ·- ==~- . -~~- ... ·:: _ . . .· .: :: b()nd ~ $J)peal)'.exQn8rated•. · :. . ....... . :::,.:;...::mA~~-.peNbed .....· · I~;.J ·:;~ . .·.I : · paalad. •· , ·· . . . ... · Calle ~~~m.ls$ad, cha~es pending In case no•._ _;___;.,~--~__;.-------·· , <.. . . . , .. -.,,:.08fe~-"tt9. t)ttraleased to P~Sei'vices.fOJ ~c monltor!ng. ·. -'~:(\:,\~: ~~-. ~··----~----~--------------~~~~------------~---. .. -~· . .. . ... .. . .. . ·, . .-. :·· . - .. . .·.: .-: . . .... .. . . . . - ~ ; __, ·:;~~·--_.. ·. - _ -·· - - -~ - - ···· ·~ .. --· ; UNITED STATES D&SiiiCWAGI~E JUDGE :,~:.;?x;~:-<·.: ~~~· >;. ·,~.:.. . .. ···-:··: ·!"_· . a.:-tn/(. OR .JOAN MORRIL~L : by -- ~ ,·_ ~ : ·~.~1:- . . .. -·.· . . ::t}~~E~~·~ COP~ :. .. •" . . :.~....,_ ·..::::: _.:.~;21:;;:_.-. . Clerk cJ~ Deputy Clerk S.MICHELE ·,.: ~F: ·~~ C_d~ . -(~. 8·1.~) ·r:. ...: . · * WLCIPO: 1....7~151 i Case.3:14-cr-o·2354-BAS . ~. boc·0m~nt 1B · Filed,,-11/03/15 Page ·1 of 1 . . ,uNITED ·sr~TES ·))ISTRICr ·coURT ·: CALIFORNfA- . . . . . --.-:·s.outliERN'J)ISTJUCT:QJi'' .. : .. - ·. . : : . . . ·-_.. ~ · UNITED STATES v. '• . /' OF,AMERIC~ . .':Plain~~;- .j \:··~~~ clst,NO~ ' 14C~S4-:BAS . ': ' . . . . :' . ·: ·. ;·<.::· .· .,. :·. :...) ··:.:>·..· ·..<_:. ···:~::· ..::'.~.;. ::.. : :· :. . .·...... :.. ;. . . . ; .·.:).-<.:: ORDEk'.AND CONDI'~IONS.OFPRETRIAL J ... ·. =· :. .RELEA.s.E: :B !UL(t8 u.s.c. § 3142(c)) Aheanng was held to .diieniune jJieiriat 00o.dlti~ ·~£ t~i&ise.or·ifus .~~~j;~t'~ i8 U.S.~§ 314~. The Federal Judge SEAN ENRIQUE Q'KEJ;:FBJl) .: _·, . . : . ~: : : · .<: · Defen.·. :::.::-:·::... ..- ._.::··: ·:'·~· ...··.:;:--:::._: ·. .'. ._-._ ; : ·..·· :. · . · . . · . . _ -_ 1. restrict travel~ u ~an Pie&o CoWitY~.:.tl SO~~::l>_istri9t~f.(jtllifo~~· 0Cen1ral District of California, · I:IState ofCaliforma,. DUmted StateS; Ddo nonm.ter ·Me~CQ,Oother:. ·. · · . · · _. ._ 2. report for sUpervision tO ~~jri~.&:I-Vi~ ;Ag~y :(P~A) @s difeat:ed by 1he. usianed PSO and pay for the · reasonable costs of supervision m an aQJ.ount .deterQUn.ed byPSA·aiJ4 approved oy the court; ./ 3. not ~ssess or use.anynarcotic drug or cimtiolled·subSt.Snce;(definea in:·21 U.S:C; § 802)~ without · . -· : .,_·._':·. ~ .·~6:~l~_,W!.:''-~-,~~-:,;J-~l4Casel_~;.~. :. · · · . !JOVI e -a ·' t,uu.,........,:~~Jl · · ce:®wc '\Ul~;t'• ~-· ucJ"· ~~ . ·.~ . .....•.,.....,..W.lll e.case . · ·.. Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 1 of 23 1 2 3 4 5 6 7 8 FILED LAURA E. DUFFY United States Attorney VALERIE H. CHU Assistant Uniteq. States Attorney California Bar No. 241709 FRED SHEPPARD Assistant United States Attorney California Bar No. 250781 Federal Office Building 880 Front Street, Room 6293 San Diego, California 92101-8893 Telephone: (619) 546-6750 /. 8237 Emai 1: Valerie . chu®usdoj . gov Fred.sheppard®usdoj.gov NO'I 0 S 20\5 Attorneys for United States of America 9 10 UNITED STATES DISTRICT COURT 11 SOUTHERN DISTRICT OF CALIFORNYA 12 UNITED STATES OF AMERICA, 13 Case No. Plaintiff, v. PLEA AGREEMENT 14 15 16 14CR2354~BAS SEAN ENRIQUE O'KEEFE, Defendant. n---------------------------------~ IT 17 IS HEREBY AGREED between the plaintiff, UNITED STATES OF 18 AMERICA, through its counsel, Laura E. Duffy, United States Attorney, 19 and 20 Attorneys, 21 consent of L. George Siddell, counsel for defendant, as follows: Valerie H, Chu and Fred Sheppard, Assistant and defendant SEAN ENRIQUE O'KEEFE, United States with the advice and . 22 23 24 THE PLEA Defendant agrees to waive Indictment and plead guilty to a 25 Superseding Information charging defendant with Conspiracy to Commit 26 Honest Services Mail Fraud and Health Care Fraud, in violation of 18 27 u.s.c. § 1349, which is attached to this plea agreement as Exhibit A. 28 Plea Agreement /b Def. Initial~~· 14CR2354-BAS 1 ·~ .. Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 2 of 23 1 The Government agrees to dismiss the charges in the Indictment 2 unless 3 entered pursuant to this plea agreement is set aside for any reason. 4 Defendant expressly waives all constitutional and statutory defenses 5 to 6 agreement. the In 7 8 Defendant breaches reinstatement addition, of the plea any defendant agreement charges agrees dismissed that the the guilty pursuant provisions to of plea this the attached forfeiture addendum shall govern forfeiture in this case. 9 II 10 NATURE OF THE OFFENSE ELEMENTS EXPLAINED 11 A. 12 Defendant understands 13 or that offense to which defendant is the pleading guilty has the following elements: 1. 14 There was an agreement between two or more persons to 15 commit 16 Fraud; 2. 17 Services Mail Fraud and Health care The defendant entered into the agreement knowing of at least ,18 Honest one of its objects and intending to help accomplish it. 19 To obtain forfeiture of assets, 20 21 show 22 traceable to his participation in the conspiracy to commit mail fraud 23 and health care fraud. 24 25 that the assets constitute, or the government would have to were derived from, proceeds The elements of Honest Services Mail Fraud are as follows: . 1. The defendant devised or knowingly participated in a 26 scheme or plan to deprive a victim of his or her right 27 of honest services; 28 Plea Agreement 2 Def. Initials~14CR2354-BAS I I I Case 3_:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 3 of 23 1 2. 'The scheme or plan consists of a kickback in exchange 2 for the defendant's services. 3 express or may be The "exchange" may be implied from all the surrounding circumstances; .4 5 3. The defendant owed a fiduciary duty to the victim; 6 4. The defendant ·acted with the to intent defraud by . ' 7 depriving the victim of his or her right of honest 8 services; "9 5. The defendant's act was material; natural 11 influencing, a person's acts; and 1.2 6. The defendant ·mails 1.6 to used, or or was caused someone to carry out or to attempt it had a capable to use, of the to carry out the scheme or plan . ~4 .15 tendency inf~uence, 10 that is, The elements of Heath Care Fraud are as follows: 1. The Defendant knowingly executed, or attempted · to 17 execute, a scheme or artifice to defraud a health- care 18 benefit program, or to obtain money or property owned 19 by, or under the custody or control of, a health-care 20 bene~it 21 pretenses; representations, or promises. 22 2. program by means of false or fraudulent The false or fraudulent pretenses, representations, or promisee related to a material fact . 23 24 3. The Defendant acted willfully and intended to defraud. 25 4. The Defendant did so in connection with the delivery 26 of or payment 27 services. for health-care benefits, 28 Plea Agr eeme n t 3 Def. items, or I~itiala~ 1.4CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 4 of 23 1 B. 2 Defendant ELEMENTS UNDERSTOOD AND ADMITTED - FACT11AL BASIS has fully discussed the facts of this case with 3 defense counsel. 4 crime, and .admits that there is a factual basis for this guilty plea. 5 The following facts are true and undisputed: 6 1. Defendant has committed each of the elements of the From at least through 2011 7 conspired with doctors, 8 hospital administra·t ors 9 kickbacks in exchange July chiropractors, and for Defendant 2014 , others referring marketers, to receive clients, who 1.0 required spinal surgeries and other_ medical services, 11 to 12 would 13 through 14 ( "CWCS") . 15 2. specific medical have their the professionals. medical bills California Workers' These paid for clients primarily Compensation System As their attorney, Defendant owed a fiduciary duty to 16 his 17 Defendant would _violate his 18 his position of trust and responsibility to influence 19 his clients to accept his recommendations of medical 20 professionals, 21 Defendant . 22 3. clients. Influenced by It was a part of the · conspiracy that fiduciary duty by using which resulted .in secret kickbacks to the insured of kickbacks, through ewes, referred 24 medical 25 programs 26 Fund) , 27 surgeries, other types of surger ies, and other medi cal 28 services. bills were paid for (including the the Defendant 23 Ple a A.g1.·eement clients promise by health-care State Compensation whose benefit Insurance to particular medical professionals for spinal 4 Def . .. Case 3:14-cr-02354-BAS Document 16 Filed 11103/15 Page 5 of 23 1 4. Defendant did not inform his clients that he had been 2 offered kickbacks to induce him to refer the surgeries 3 and 4 professionals 5 fiduciary duty to them. 6 5. To other conce~l medical and the services to specific facilities, in violation illegal kickback payments medical of his from the 7 workers' compensation insurance carriers and his own 8 clients, Defendant 9 into fraudulent agreements under which he purP.orted to and his co-conspirators entered 10 provide legal services to co-conspirators to justify . 11 the kickback payments. 12 6. To conceal the illegal kickback payments from the compensation insurance carriers and his own 13 workers' 14 clients, Defendant directed co-conspirators to pay the 1'5 kickbacks in the form of compensation to employees of 16 his law firm and to misrepresent these employees as 17 working for the co-conspirator's company. 18 7. To mislead the them to pay insurance carriers 20 Defendant and Drs . R.S., L. T. and others signed false 21 and 22 that 23 kickbacks . 8. induce compensation 19 24 and workers' their claims, fraudulent statements and declarations affirming they had neither received nor offered any Pacific Hospital of Long Beach and other hospitals as 25 well 26 claims, 27 insurance carriers 29 surgeries, hospital stays and other medical services. Plea Ag r e ement as doctors involved inter alia, by mail, for 5 in the scheme to workers' submitted compensation paymen:t of the costs of Def. the Initials~~~ 14CR2~, Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 6 of 23 1, 9. The co-conspirators arranged to have . the medical 2 professionals recommend two surgeries for each patient 3 with a spinal injury - one surgery accessing the spine 4 from . ·the front 5 accessing the spine from the back of the body - 6 generate more charges to bill to the 7 10. Specifically, of the body and the second surgery ewes to insurers . Defendant conspired with Dr. R.s., Dr. 8 L.T. , Dr. J.P. and others to refer surgeries to them, 9 knowing that they would perform their surgeries at 10 Pacific Hospital of Long Beach, 11 kickbacks 12 Hospital of Long Beach . 13 11. from As part of the Michael Drobot, conspi~acy, of Pacific Drobot paid Dr. R. S. , Dr. L.T. 15 hospital, for clients referred to them by Defendant . . 12. for owner 14 16 and .others in order to receive performing surgeries at his In May 2011, Defendant's law practice issued a letter 17 to patient "T.M."s insurer advising that T.M. was now 18 electing Dr. ,R.S . as her treating physician. 19 13. From approximately June 2011 to May 2012, Drobot paid 2P kickbacks to Defendant by paying the salaries of two 21 of Defendant's employees. 22 14. In September 2011, n·efendant' s law practice issued a 23 letter to patient "T.M."s insurer advising that 24 was now electing Dr. 25 physician. 26 15. The co-conspirators L. T. did as her secondary treating not disclose the agreement to patient T.M. or to T.M.'s insurer. 27 28 Plea Agreement 6 T.M. kickback .. Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 7 of 23 1 16 . In furtherance of the conspiracy, Dr. L. T. pres.sed 2 T.M. to have the surgery performed at Pacific Hospital 3 of Long Beach instead of a hospital in La Jolla, where 4 Dr. 5 lives in San · Diego County. 6 17 . L.T. also had admitting privileges, although T.M. Drobot and Dr. L.T. submitted hundreds of thousands of 7 dollars in claims to T. M. 's insurer for the surgery 8 Dr. ·L.T. performed at Pacific Hospital of Long Beach. 9 18. In May 2012, Defendant received $40,000 in kickbacks 10 from 11 invoices issued by 12 19. Drobot, disguised on sham legal Defendant referred dozens of clients to Dr. R. S. and Dr. 14 Hospital of Long Beach, 15 from Drobot. 20. payments D~fendant. 13 16 as L. T. , Defendant for surgeries also agreed to be performed at Pacific in order to .receive kickbacks to refer clients requiring 17 surgical procedures to Dr. R.R. and Dr . K.R:, knowing 18 that 19 Hospital 20 center, 21 associated with those facilities . 22 21.. they would perform their surgeries at Alvarado in San Diego affiliated surgical kickback from persons Defendant agreed with a medical marketer to find other hospitals and surgeons 24 Defendant 25 kickbacks. 22 . its in order to receive a 23 26 or could In August 2013, refer in San Diego County surgeries in t ·o ·whom exchange f .o r Defendant met with a medical marketer 27 and others to discuss finding a hospital in San Diego 28 which would pay a kickback for the · referral of clients Plea Agreement 7 Case Document 16 Filed 11/03/15 Page 8 of 23 23. 24. 25. 26. Defendant needing surgical services. Defendant' discussed. how they would conceal the illegal kickbacks by pretending that he was an attorney for the medical marketer, so could ?hidef behind [his] attorney?client privilege.? In October and Nevember 2013, Defendant discussed with a' medical marketer and others 'the prospect of referring clients for spinal surgery and-other medical services to a specific San Diego hospital, where Dre. R.R. and K.R. practiced, in exchange for kickbacks. As of January 2014, Defendant had referred-at least 13 of his clients to Dr. R.R. and Dr. K.R., for surgeries to be performed at a specific_San Diego hospital or its surgery center. In February' 2014, Defendant received a $5,000 cash payment for referring a patient to Dr. 12.9.. and K.R., which had generated at least $200,000_in bills for a specific San Diego hOSpital. From his participation in the conspiracy; Defendant received proceeds of at .1east $300,000, which Defendant agrees is subject to forfeiture as proceeds of his offense. Without any condition or reservation Whatsoever, Defendant agrees that these facts are true and correct and may be utilized at any trial proceeding against Defendant or any other individual. gign?tnre and fendant Sean Plea Agreement (including the Government's case-in-chief), hearing or 'I'i'k Aug Q7, ique-O'Keefe Def. Initials p? 14CR2354-BAS .. Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 9 of 23 1 III 2 PENALTIES 3 4 Defendant understands pleading guilty car~ies that the crime to which defendant the following penalties: 5 A. a maximum 20 years in prison; 6 B. a maximum $250,000 fine; 7 c. a mandatory special assessment of $100 per counti and 8 D. a term of supervised understands 9 is that release failure to ·of years. 3 comply with Defendant any of the 10 conditions of supervised release may result in revocation 11 of 12· prison, upon any such revocation, all or part of 13 statutory 14 offense that resulted in such term of supervised release. E. 15 supervised release, maximum requiring term of defendant supervised to serve the release an order from the Court pursuant to 18 U.S.C. in § for the 3663A that 16 defendant make mandatory restitution to the victim(s) 17 the 18 victims(s). 19 also 20 agreement, restitution to persons other than the victim(s} 21. of the offense of conviction. F. 22 offense order, of conviction, or Defendant understands if agreed to by the the estate(s) that the parties an order of. forfeiture of any property, of Court in this of the shall plea real or personal, 23 which constitutes or is derived from proceeds traceable to 24 the offense. 2s II 26 II 27 // 2s II Plea Ag·ree ment 9 Def. Initials~~~ - · 14CR2~- Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 10 of 23 ,. 1 IV 2 DEFENDANT'S WArvER OF TRIAL RIGHTS 3 Defendant understands that this guilty plea waives the right to: 4 A. Continue to plead not guilty and require the Government to prov~ 5 the elements of the crime beyond a reasonable doubt; 6 B. A speedy and public trial by jury; 7 c. The assistance of counsel at all stages of trial; 8 D. Confront and cross-examine adverse witnesses ; 9 E. Testify and present evidence and to have witnesses testify on behalf of defendant; and, 10 11. F. Not testify or have any adverse inferences drawn from the failure to testify. 12 13 Defendant · knowingly and voluntarily wai ves any rights Clause of and 14 def enses Defendant may have under the Excessive Fines 15 Eighth Amendment to the United States Constitution to the forfeiture 16 of property in this proceeding or any related civil proceeding. 17 v 18 DEFENDANT ACKNOWLEDGES NO PRETRIAL RIGHT TO BE PROVIDED WITH IMPEACHMENT AND AFFIRMATIVE DBFENSB INFORMATION 19 20 21 the The Government represents that any information establishing . t he factual innocence of defendant known to the undersigned prosecutor in The Government will continue to provide such information establ ishi ng the factual 23 24 25 innocence of defenda nt. Def endant under stands that if thi s case proceeded to trial , the would Government be required to provide impeachment · informat ion 26 27 28 relating defendant to any informants or ot her witnesses. raised an affirmativ e defense, Plea Agr eement 10 In addition, if the Government would be Def. Initials..:5.f~-· 14CR23 54-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 11 of 23 1 ·2 required to provide information in its possession that supports such a defense. Defendant acknowledges, however, that by pleading guilty be defendant will not 4 defendant also waives s defendant agrees .not to attempt to withdraw the guilty plea or to 6 file a provided the right this information. any, and Finally, . VI 8 DEFENDANT'S REPRESENTATION THAT GUILTY PLEA IS KNOWING AND VOLUNTARY 9 11 to information, collateral attack based on the existence of this information. 7 10 this if 3 Defendant represents that: A. Defendant has had a full opportunity . to discuss all the facts and circumstances of this case with defense counsel and has a · clear understanding of the charges and the consequences ·of this plea. Defendant understands that, by pleading guilty, defendant may be giving up, and rendered ineligible to receive, valuable government benefits and civic rights, such as the right to vote, the . right to possess a firearm, the right to hold office, and. the right to serve on a jury. Defendant further understands that the conviction in this case may subject defendant to various collateral consequences, including but not limited to deportation, removal or other adverse immigration consequences ; revocation of probation, parole, or supervised release in another case; debarment from government contracting r and ·s uspension or revocation of a professional license, as well as civil and administrative liability, none of which will serve as grounds to withdraw defeqdant's guilty plea. B. No one has made any promises or offered any rewards in return for this guilty plea, other than those contained in this agreement or otherwise disclosed to the Court. c. No D. Defendant is pleading guilty because in truth and in fact defendant is guilty and for no other reason. 12 13 14 15 16 17 18 19 20 2l 22 23 24 one has threatened defendant or defendant • s induce this guilty plea. family to 25 26 27 28 Plea Agreement · 11 _s!€..0 Def. Initials 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page i2 of 23 1 VII 2 AGREEMENT L:IMI:TED TO '0. S. ATTORNBY 1 S OFFICE 3 SOUTHERN DISTRICT OP CALIFORNIA This plea agreement is limited to the United States Attorney's 4 5 6 7 8 9 Office for the Southern District of California, and cannot bind any other federal, · state or local regulatory authorities, although .t he 16 17 18 19 20 21 22 will bring this plea VIII APPLICABILITY OP SENTENCING GUIDELINES Defendant understands the sentence imposed will be based· on the 1.2 15 or defendant. 1.1. 1.4 Governm~nt administrative, agreement to the attention of other authorities if requested by the 10 13 . prosecuting, factors set further that forth in 1.8 in imposing u.s.-c. the §' 3553 (a) • sentence, the Defendant understands sentencing judge must consult the United States Sentencing Guidelines {Guidelines) and take them ·into defense account . counsel advisory, not Defendant and has understands rnandat~ry , discussed that the Guidelines the .Guidelines · and the Court may impose a are with· only· sentence more severe or less severe than otherwise applicable under the Guidelines, up to the maximum in the statute of conviction. Defendant understands further . that the sentence cannot be determined until a presentence report has been prepared by the U.S. Probation Office and both defense counsel and the Government have had an opportunity to 23 24 review and challenge the presentence report. agreement shall be construed as lim.i ting Nothing in this plea the Government 1 s duty to 25 provide complete and accurate facts to the district court and the 26 27 u.s. Probation Office. Plea l'~greement 28 12 5-te? Def. Initials 1.4CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 13 of 23 l IX 2 SENTENCE IS WITHIN SOLE DISCRETION OF JUDGB This plea agreement is made pursuant to Federal Rule of criminal 3 4 Procedure 11 (c) (1) (B). s within the sole discretion ·of the sentencing judge. · 6 has not made and will not make any representation as to what sentence 7 defendant will receive. a judge may impose the maximum sentence provided by statute, 9 also aware that 10 Likewise, 12 binding on 13 defendant r s the The Government Defendant underst ands that the sentencing and is any estimate · of the probable sentence by defense counsel is a prediction, 11 Court. Defendant understands that the sentence is not a promise, a n d is not b i nding on the the recommendation made by the Government is not court, and sentence will be. it is uncertain at this time whit Defendant also has been advised and 14 nnderstands that if the sentencing judge does not follow any of the 15 parties • sentencing recommendations, 16 right to withdraw the plea. 17 19 II II II 20 II 18 27 II II II II II II II 28 II 21 22 23 24 25 26 Plea Agr eement 13 defendant nevertheless has no Def. Initial~S:~~ 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Pag_ e 14 of 23 1 X 2 PARTIES• SENTENCING RECOMMENDATIONS SENTENCING GUIDELINE CALCULATIONS 3 A. 4 Although the parties understand that the Guidelines are only 5 advisory and just one of the factors the Court will consider under 18 6 U.S. C. 7 recommend a Characteristics/ Adjustments and Departures: 3553 (a) · in imposing a § the following Base sentence, the parties will jointly Offense Level, Specific Offense 9 2. 11 3. 4. 5. 1.2 13 7 Base Offense Level [§ 2B1.1] Loss or Gain between $200 , 000 arid $400,000 [§ 2Bl.l (b) (1) (G)] More than 50 victims [§ 2Bl.1(b) (2) {B)] sophisticated Means, 2Bl.1(b} (10) (C) Vulnerable Victims [§3A1.1] Abuse of Position of Trust [§3B1.3]. Acceptance of Responsibility [§ 3Bl.l] 1. 10 6. 7. +12 · +4 +2 +2 . +2 -~ 14 ACCEPTANCE OF RESPONSIBILITY 15 B. 16 Notwithstanding paragraph A.7 above, the Government will not be 17 obligated 18 Responsibility if 19 acceptance responsibility 20 following: 21 to of 1. recommend adj·ustment any defendant engages in including, conduct but Acceptance for inconsistent ~ot limited of with to, the Fails to truthfully admit a complete factual basis as 22 stated in the plea at the time the plea is entered, or 23 falsely 24 with, the factual basis set forth in this agreement; denies, . or makes a statement inconsistent 25 2. Falsely denies prior cri minal conduct or convictipna; 26 3. Is untruthful with the Government, the court or probation officer; 27 28 Plea Ag reemen t 14 ~- Def. Initials _"_...;.;;;;;;: 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 15 of 23 · b~eaches 1 4. Materially 2 5. Contests or assists any third party in contesting the this plea agreement in any way; or seized in connection with 3 forfeiture of property(ies) 4 this 5 defendant has agreed to forfeit as set forth in the 6 attached forfeiture addendum. 7 10 11 12 downward u.s.c. D. that defendant adjustments, 3553. § The departures will sentence criminal oppose any such reductions not set downward forth in FACTUAL BASIS" AND "RELEVANT CONDOCT 11 INFORMATION B. 11 The part~es relevant this conduct" agree that agreement under the are US~G facts true , § the o. s.c. and § as The parties defendant be sentenced that the within Government the factual basis" considered as the · nature and 3553(a} (1} .· PARTIES' RECOMMENDATIONS REGARDING CUSTODY agree 11 and may be F_. 23 24 in 1Bl. 3 circumstances of the offense under 18 28 including 4Al. 3, or sentence reductions under § 22 27 recommend NO AGREEMENT AS TO CRIMINAL HISTORY CATEGORY paragraph of 11 26 or Category. 19 25 request departures, Government and may The parties have no agreement as to defendant•s Criminal History 18 21 agree the Section X, paragraph A above . 16 20 which parties history departures under USSG 15 17 to The adjustments, 14 property ( ies) FURTHER ADjuSTMENTS AND SENTENCE REDUCTIONS INCLUDING THOSE UNDER 18 O.S.C. § 3553 additional 18 any and c. 8 9 case, advisory will recommend guideline range that as calculated by the Government pursuant to this agreement. II II Pl e a Agre e ment 15 Def. Initials .c-9..:0 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 16 of 23 G. 1 SPECIAL ASSESSMENT/FINE/RESTITUTION/FORFEITURE 2 Special Assessment . 1. 3 The parties will jointly recommend that defendant pay a special 4 assessment in the amount of' $100 . 00 to be paid forthwith at t i me of 5 sentencing . 6 of the Clerk of the District Court by bank or cashier's check or 7 money The special assessment shall be paid through the office order made payable to the uclerk, United States District a Court . " In light of the forfeiture order, 10 11 the parties do not request a fine. Restitution . 3. 12 The parties do not recommend imposition of a 13 14 Fine . 2. 9 in light of the difficulty of . determining 15 Defendant's conduct to the victims. Forfeiture. 4. . 16 17 the 18 case. attached 19 H. . 2o If forfeiture 18 USC § restitution order the loss caused by 3553A(c) (3) {B). Defendant agrees that the provisi ons of addendum shall govern forfeiture in this SUPERVISED RELEASE the court imposes ·a term of supervised release, defendant 21 agrees that he will not later seek to reduce or terminate early the 22 term of supervised release until he has served at least 2/3 of his 23 term of · supervised release 24 s pecial 25 restitution judgment. 26 II 27 II 28 II assessments, Pl ea Agreement fine , and has fully paid · and satisfied any criminal 16 forfeitu~e nef. judgment and Initial0-~e ~. 14CR2354 - BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 17 of 23 1 XI 2 DEFENDAN'l' WAIVES APPEAL AND COLLATERAL ATTACX WAIVER OF RIGHT TO APPEAL CONVICTION 3 A. 4 In exchange for the United States' concessions in this plea 5 agreement, Defendant waives, to the full extent of the law, any right 6 to appeal the conviction(s). 7 B. 8 In addition, Defendant waives, 9 any WAIVER OF RIGHT TO APPEAL SENTENCE right to appeal the sentence, the unless high end ·of the imposes a guideline range as custodial 11 calculated in paragraphs X.A and X.B above, without considerati on of any other adjustments or departur es. If 13 greater than the high end of that range, 14 sentence only, 15 appeal the sentence actually imposed. but the United States 16 c. 17 Defendant waives, 18 the court 10 · 12 sentence above to the full extent of the law, the custodial sentence is Defendant may appeal the will be to support on WAIVER OF RIGHT TO COLLATERAL ATTACK collaterally attack to the full extent of the law, any right to the conviction and/or sentence, 1.9 post-conviction collateral attack based on a 20 free except claim of for a ineffective assistance of counsel. 21 D. 22 If Defendant believes the United States' OBJECTIONS TO UNITED STATES' RECOMMENDATION recommendation is not ~t 23 in accord with this plea agreement, Defendant will object 24 of sentencing ; otherwise the objection will be deemed waived. the time 2s I I 26 II 21 II 28 Plea Agreement 17 Def. Initials~~~~ 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 18 of 23 ]. XII 2 BREACH OF THE PLEA AGREEMENT 3 A. · MATERIAL BREACH OF PLEA AGREEMENT 4 Defendant acknowledges, understands, and agrees that if 5 Defendant violates or fails to perform any of Defendant's obligations 6 under ·7 this agreement, such violation or failure . to perform will constitute a material breach of this agreement. 8 Defendant acknowledges , understands, and agr.e es further that· the 9 following non-exhaustive list of conduct by Defendant unquestionably 10 constitutes a material breach of this plea agreement: 1.1 1. Failing to plead guilty pursuant to this agreement; 12 2. Withdrawing the guilty plea or attempting to withdraw· the guilty plea; 3. Failing to fully accept responsibility as established in Section X, paragraph B, above; 15 4. Failing to appear in court; 16 5. Failing to abide by any lawful court order related to this case; 6. Appealing or collaterally attacking the sentence or conviction in violation of Section XI of this plea agreement ; or 7. Engaging in additional criminal conduct from the time of arrest until the time of sentencing . 13 14 17 18 19 20 21 B. 22 In CONSEQUENCES OF BREACH the event of Defendant Defendant's provisions, 25 obligations 26 United States 27 dismissed, promised to be dismissed, or not filed as a result of this may United States this pursue plea any able will Ag~~eement be agreement. charges 28 Plea to plea 24 under be this agreement, the not breach . of 23 and will material 18 . enforce any of its relieved of all its For including example, those that the were ~tf} Def. Initials 14CR2354-BAS Case 3 : 14-cr~02354-BAS Document 16 Filed 11/03/15 Page 19 of 23 1 agreement (Defendant agrees that any statute of limitations relating 2 to such charges is tolled as of the date of this agreement; 3 also ·waives 4 addition, the United States may move to set aside Defendant's guilty s plea. 6 United States' pursuit of remedies for Defendant's breach. any doUble Defendant jeopardy may not defense withdraw the to such D~fendant charges). gu.i lty plea based on 7 XJ:II 8 COMPLETE WAIVER OF PLEA-DISCUSSION EXCLUSION RIGHTS In 9 exchange for the United States' concessions in the this 10 agreement,· Defendant agrees that: 11 statement in this agreement; 12 under oath, 13 Judge or a District Judge); and (iii) any evidence derived from such 14 statements, 15 case-in-chief 16 prosecution of 17 and/or any other charges that the United States may pursue against 18 Defendant . 19 intelligently 20 Constitution, any statute, Federal Rule of Evidence 410, Federal Rule 21 of 22 these statements or any evidence derived from these statements should 23 be 24 aforementioned rights is effective as soon as the parties sign this 25 agreement, and is not contingent upon the Court ultimately accepting 26 Defendant's guilty plea. Criminal (ii) (i} In any statements made by Defendant, at the guilty plea hearing are admissible and at any against other (before either a Magistrate Defendant stage of in the the prosecution' s proceedings in any or action against Defendant on the current charges Additionally; waives Defendant any Procedure 11 (f)., suppressed the stipulated factual basis or are argument under and/or any other inadmissible. volunta~ily, knowingly, the United federal Defendant's States rule, waiver and of that t he .. 27 28 Plea Ag·reement 19 * Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 20 of 23 1 x:rv 2 SUBSTANTIAL ASSISTANCB 3 A. 4 prosecution 5 cooperation, if any, will be deemed "substantial," or whether it will 6 merit a downward departure from the Sentencing Guidelines. B. 7 If Defendant attempts to assist in the investigation and of others, there is no guarantee that this future If requested by the United States, Defendant agrees to be 8 interviewed again by federal and state law enforcement agents and 9 attorneys and to tell everything Defendant knows about every person 10 involved presently or in the past in the charged crimiil,al offense ("s), 11 ·as well as other violations of law. Defendant also agrees to produce 12 all documents and other evidence in Defendant ' s possession or control 13 related to these violations. c. 14 Defendant agrees not to do any undercover ~ork or tape 15 record any conversations or gather evidence unless instructed by the 16 agent assigned to Defendant. 17 criminal activity undertaken without instructions. D. 18 Defendant agrees Defendant can be prosecuted for any to provide statements under penalty of 19 perjury and to testify before any federal or state grand jury, and at 20 any 21 provide complete, 22 Defendant agrees to submit to a polygraph examinati on to test the 23 truthfulness 24 United States. 25 pretrial, E. trial, of or post-trial truthful, proceedings. Defendant will and accurate information and testimony . Defendant Is statements I As d i scussed in section XIII above, upon request by the the factual admissions 26 in this plea agreement and any statements made by Defendant at any 27 guilty plea hearing (as well as any evidence derived from them) are 28 Pl ea Agreeme n t 20 Def. Initials .G~ -·-· 14CR2354-BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 21 of 23 1 admissible 2 However, 3 with this plea agreement, it will not make use of any of Defendant's 4 statements to law enforcement in the course of cooperation and during 5 the period of post-plea cooperation in any further prosecution of 6 Defendant· for any offense, or in Defendant ' s sentencing as provided , 7 in USSG against Defendant in this and all the United States agrees that, proceedings. if Defendant fully complies If Defendant does not fully comply with this plea lBl. 8 . § future 8 agreement., all statements made by Defendant before, during, and after 9 this plea agreement, 10 statements, 11 court. 12 can be Statements F. · and any leads or evidence derived from such used against made by Defendant Defendant are and pursuant admissible to this in plea 13 agreement are not · statements "made in the course of any proceedings 14 under Rule 11 of the Federal Rules of Criminal Procedure" and are not 15 statements "made in the course of plea discussions." G. 16 If the United States Attorney's Office decides that 17 Defendant 18 date 19 agreement, 20 18 U.S.C. § 3553 and/or USSG § SKl.l. 21 starting point for any substantial assistance departure will be the 22 greater 23 Guidelines 24 United States makes a motion, the Court may reject the United States' of 2 s motion has provided additional substantial assistance after the this of and agreement, it will the file and a has motion complied for downward departure under a Defendant recommendation for this Defendant understands that the applicable mandatory minimum or range. with ple~ fully acknowledges departure and the that pre-departure even refuse to if the depart 26 downward, and Defendant would not be allowed t o withdraw Defendant's 27 guilty plea. 28 Plea Agreement 21 Def. Initials~ · 14CR2354 -BAS Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 22 of 23 H. 1 If the United States Attorney's Office decides to make a 2 substantial assistance motion, 3 of: 4 assistance; 5 United States relevant to sentencing. (1) this plea agreement; I. 6 ·7 and If (3) all Defendant it will inform the sentencing judge (2) the nature and extent of Defendant's information provides in materially the possession false, of incomplete, the or misleading testimony or information, or breaches this plea agreement 8 in any other way, 9 connection with all federal criminal violations of which it is aware, 10 as set forth in Section XII above, including a prosecution for false 11 statements, perjury, and/or obstruction of justice. The United States 12 may also pursue any other remedy for breach of the plea agreement, as 13 set forth in Section XII above. Any prosecution or sentence resulting 14 from a 15 provided by Defendant. breach <:>f the United States may XV 17 ENTIRE AGREEMENT 19 Defendant in this plea agreement may be based on information 16 18 prosecute This p _lea agreement embodies the entire agreement between the parties and supersedes any other agreement, written or oral.. 20 XVI 21 MODIFICATION OF AGREEMENT MUST BE IN WRITING 22 No modification of this plea agreement shall be effective unless 23 in writing signed by all parties. 24 // 25 // 2~ II 27 // 28 Plea Ag·J.~eement 22 Def . Initial~ 14CR2354-BAS 11 Case 3:14-cr-02354-BAS Document 16 Filed 11/03/15 Page 23 of 23 XVII: 1 DEFENDANT AND COUNSEL FULLY UNDERSTAND AGUEMENT By signing this agreement, 3 4 has read it . defendant certifies that Defendant Defendant has discussed the terms of this agreement s with defense counsel and fully -understands its meaning and effect. 6 XVIII 7 DEFENDANT SATISFIED WITH COUNSEL s 9 10 Defendant has consulted with counsel r s representation. counsel and is satisfied with This is defendant • s independent opinion, and his counsel did not advise him about what to say in this regard. 1~ 12 LAURA B. DUFFY United · States Attorney 13 14 16 17 lS g1z.&fot4 pp DAT istant 19 20 2~ DATEP 22 23 24 25 26 I . S. orney ~~?J~ Defense Counsel IN ADDITION TO THE FOREGOING PROVISIONS TO WIUCH I AGREB, I SWEAR UNDER PENALTY OF PERJURY THAT THE FACTS IN THE •FACTUAL BASIS" SECTION ABOVE ARE TRUE. j{,-1 ~ 21, 27 28 Plea. Agr e ement 23 Def. .c2?'./7 Initials,.d._~·-·· 14CR2354 - BAS ha'.Both parties Case Document 17 Filed Page-1 of 4 FILED nearer-runs ADDENDUM '1?0 PLEA schema-1' NOV 9 3 2915 United States v. SEAN ENRIQUE 5DEF Criminal Case No. 140R2354-BAS Defendant understands and agrees that this forfeiture addendum to the plea agreement will he filed with the Court at the same time as the filing of the main plea agreement. At the time of the Rule 11 plea. colloquy the Court will have Ibefore it the main. plea agreement and one or nmre addenda, and any reference during the hearing to the ?plea 'agreement" will be understood to be a reference to the main plea agreement together with these addenda. will insure. that the Court is aware of and is considering both the plea agreement and these addenda at the Rule 11 hearing. If this issue is not raised by either party at the Rule' 11 hearing, any' objection. relating to that issue ?will. be considered waived. I l, the defendant, certify that I have read the ?preceding paragraph (or it has been read to me in my native language), and that I have discussed it with my counsel and fully understand its meaning and effect. I am satisfied with counsel's representation. fee) Defendant {gas WQW Defense Coun Aoknowledgment by Defense COunsel: aim/lam Date Case 3:14-cr-02354-BAS Document 17 Filed 11/03/15 Page 2 of 4 I 2 A. Property Subject to Forfeiture . In addition to waiving Indictment and pleading guilty to an Information, as set forth in 3 Section I of the main agreement, defendant agrees to forfeit the· 4 following assets (hereinafter "Subject Assets") , which consist of 5 proceeds of a conspiracy to commit offenses, and substitute assets:· 6 • $300,000 in 7 derived from S participation in the conspiracy to commit mail fraud and 9 honest services fraud. 10 B. U.S. currency, proceeds Bases of Forfeiture . which constitutes traceable to or is Defendant's Defendant acknowledges that all 11 property covered by this agreement is subject to forfeiture as 12 proceeds 13 § to U.S.C. 18 § 981(a) (1) (C) and 28 u.s.c. · 246l(c}, and as substitute assets for property otherwise subject 14 to 15 pursuant § 16 forfeiture pursuant to 21 U.S.C. § 853(p) and 28 u.s.c. 2461 (c) • C. Immediate 17 Defendant consents Entry and of Preliminary agrees to the Order of immediate Forfeiture. entry of a 18 preliminary order of forfeiture upon entry of the guilty plea. 19 Defendant further agrees that upon entry of the preliminary order 20 of forfeiture, 21 defendant's such interests order ~n will the be considered property. final Defendant as to agrees to 22 immediately withdraw any claims to property directly or indirectly 23 related to the criminal conduct seized in connection with this case 24 in any pending administrative and civil forfeiture proceeding, and 25 consents to the forfeiture of all properties seized in connection 26 with this case to the United States. 27 any and all documents re~ested Defendant agrees to execute by the Government to facilitate or 28 complete the forfeiture. process. Defendant further agrees not to 2 Def. 's Initia Case 3:14-cr-02354-BAS Document 17 Filed 11/03/15 Page 3 of 4 ....... 1 contest or to assist any other person or entity in contesting the 2 forfeiture of the property seized in connection with this case. 3 Defendant specifically agrees to obtain from any party who has an 4 interest in the Subject Assets, including Defendant's spouse and 5 mother-in-law, any consent forms required to facilitate or complete 6 the forfeiture of the Subject Assets. 7 D. Bntry of Orders of Forfeiture and Waiver of Notice . 8 Defendant consents and agrees to the entry of orders of forfeiture 9 for such property and waives the requirements of Federal Rules of 10 Criminal 11 forfeiture Procedure in the 32.2 and charging 43 (a) regarding instrument, notice of the announcement of the 12 forfeiture at sentencing, and incorporation of the forfeiture in 13 the judgment. Defendant acknowledges that defendant understands 14 that the forfeiture of assets is part of the sentence that may be 15 imposed in this case and waives any failure by the Court to advise 16 defendant of this, pursuant to Rule 11 (b) (1) (J}, at the time the 17 Court accepts the guilty P.lea. 18 E. Waiver . of Constitutional and Statutory Challenges. 19 Defendant further agrees to waive all constitutional and statutory 20 challenges in any manner (including direct appeal, habeas corpus, 21 or any other means) to any forfeiture carried out in accordance 22 with this agreement on any grounds, including that the forfeiture 23 constitutes an excessive fine or punishment. Defendant agrees to 24 take all steps as requested by the united States to pass clear 25 title to forfeitable assets to the United States, and · to testify 26 truthfully in any judicial forfeiture proceeding . . 27 F. Agreement 28 Defendant agrees Survives Defendant; that the forfeiture 3 No Forfeiture Abatement. provisions of Def. 's this plea Initial~-·--~ .. Case 3:14-cr-02354-BAS Document 17 Filed 11/03/15 Page 4 of 4 1 agreement 2 are intended to·, and . will, defendant, notwithstanding the abatement of any underlying criminal conviction 3 after the execution of this agreement . 4 survive The forfeitability of any particular property pursuant to this agreement shall be determined 5 as if defendant had survived, and that determination shall be 6 binding upon defendant's heirs, successors · and assigns until the 7 agreed forfeiture, including any agreed money judgment amount, is 8 collected in full. 9 The defendant understands that the main plea agreement, this 10 and any other addendum embody the entire plea agreement between the 11 parties and supersedes any other plea agreement, written or oral. 12 13 FOR THE :: 16 D~ DEEFNDANT : ACKNOWLEDGMENT BY DEFENSE COUNSEL: 17 18 19 Date 20 21 FOR THE GOVERNMENT: 22 LAURA E. DUFFY United States Attorney 23 24 25 26 27 Date . VALERIE H. CHU sLze/U;~':/_ Date I I 28 4 Def . 's Initia~ ·Case 3:14-cr-02354-BAS Document 9 Filed 09/16/14 Page 1 of 1 1 2 3 4 5 6 UNITED STATES DISTRICT COURT 7 SOUTHERN DISTRICT OF CALIFORNLA 8 9 10 11 UNITED STATES OF AMERICA, Case No. Plaintiff, v. ORDER VACATING INITIAL APPEARANCE DATE SEAN ENRIQUE O'KEEFE , UNDER SEAL 12 Defendant. 13 H - - - - - - . . . ; . __ _ __ The 15 17 _ _ _ _ ____J IT IS HEREBY ORDERED THAT: 14 16 14CR2354-BAS initial appearance scheduled for September 16, and 2014, arraignment at 2:00 p.m. hearing currently be vacated. parties' joint motion and this order may be filed under seal. 18 19 IT IS SO /API>"ARED. 20 DATED 'ir~Y HON. WILLIAM V . GALLO United States Magistrate Judge 21 22 23 24 25 26 27 28 3 The Case 3:14-cr-02354-BAS Document 8 Filed 09/16/14 Page 1 of 2 1 LAURA E. DUFFY United States Attorney 2 VALERIE H. CHU Assistant United States Attorney 3 California Bar No. 241709 Federal Office Building 4 880 Front Street, Room 6293 San Diego, California 92101-8893 s Telephone: (619) 546-6750 Email: Valerie.chu®usdoj.gov 6 Attorneys for United States of America 7 UNITED STATES DISTRICT 8 SOUTHERN DISTRICT OF CALIFORNIA 9 10 UNITED STATES 13 ·14 15 OF AMERICA, Case No . 14CR2354-BAS Plaintiff, 11 12 COURT v. JOINT MOTION TO VACATE INITIAL APPEARANCE DATE SEAN ENRIQUE O'KEEFE, UNDER SEAL . Defendant . ~--------------------------~----~ COMES NOW the United States, through its attorneys Laura E. 16 Duffy, United States At: torney, and Valerie H. Chu and Fred Sheppard, 17 Assistant U.S. Attorneys, and defendant Sean Enrique 0' Keefe, 18 the advice and consent of h i s counsel, L. Ge~rge with Siddell, and jointly 19 move the Court to vacate the initial appearance and arraignment date 20 currently set on September 16, . 2014 at 2:00p.m. The reason for the 21 continuance is so that defendant may cooperate with the government in 22 23 24 its investigation of others. Defendant is represented by counsel and has received a copy of the indictment against him. He is aware of : the charges against him, 25 his right under Fed. R. Crim. P. 5 to a prompt initial appearance, 26 his right to be represented by counsel , his opportunity to secure 27 pretrial release following his initial appearance, and his right not 28 to make a statement and that any statement may be used against him at 14CR2354-BAS .. Case 3:14-cr-02354-BAS Document 8 Filed 09/16/14 Page 2 of 2 . ..,..,,, 1 his initial appearance. Understanding these rights, Defendant hereby 2 waives a 3 understands that he still retains his other rights. his · right 4 ·The 5 calendar 6 future 7 concluded. a 9 10 parties to request this matter date once Parties for prompt that the initial Defendant's further initial request Court appearance. allow appearance covert that the Government joint efforts motion and 13 14 cooperation with the government. SO STIPULATED AND AGREED. ~IL5~£~ VALERIE H. CHU Assistant u.s. Attorney DNlfEo 15 16 17 ~~l( DATED fo'' 18 19 20 SO STIPULATED AND AGREBD. 21 22 23 ~ (IV~t-tfU~) '?l~f/2-DIL\ ~ L. GEORGE SIDDELL OAT D Defense Counsel 24 25 26 have the corresponding order be filed under seal as they reference Defendant's 11 12 to and · arra.igninent at a cooperation this Defendant Cj~J_tJ /'{ DATED 27 28 2 ':., . .' . . ~ . ... ·:. . ·' , ; ;, Case 3:14-cr-02354-BAS >bocument 6 Filed 08/22/14 Page 1 of1 ·. ........... .. "'~·- ..;... : ~· ·.: . . '· ........... . ~·~)· _'_n _· - • ~MJIMiErtc/lfe(\2J':JtfcB~S · '.< ::;:p:.'. -.. . - ···' ... VS. ~(Jea.nf;tl{vt ()'leek · .. ! ~ . ~· •·· · •· ' ABSTRACTQFORDER -king No. ;~' Oj . ~~~~.:u=~~~~~;:~-~~AR~o~~~·~~· ~:,',-•. --·1 ···.····· ··· -~L~f/·~·u,e:~·enterecUhe· foUowing;·order: GASt· u~E · Pj~M__Wif: ·:: ·.· .·.-.· . ;\f ~; '' " -~hij,_~r.:c>-.- - --~~_:u-v. 1-\LCL!: _ . -- :-: :· - ~- - ~ : _·: . J . ,_, · ·•.' ._,,__·.·<·,·Defen'dant'placed•on.suPer'vlsecFi'un'SuperviSed pttibatlon lsupervisecheleaS8.··'. ···:···.:· · ·· 4j}~>\·~;;,,~~ ;.·,.-.,, ..•.•., _ lt~r-~--~; . r;--~==::~~~~~~~t~=-~~d~:i"·. :' . : .. : .. . ... .;, ·_-_: :-:-.. (~:~;? ~:· :·:. ':, . .J.lvP.Trhuru Jfsd . _.:·_-. ·~y-· -:.>'\_ . \S\'\ · ,Ht-~~~--~--~-~.--~~;_-~:_:_:--_ ),_\_ --;~~~t!~ .. . . . • •,•' . . ' ·' ·.·.· ' : . . . J~~>/: _.c~~~9.. (A~. s;u) . ;. _ ~·~ -~.:.~ . . ~- case no. ' Defendant ta ~- released to Pretrial Sei'vices for electronic mdnitoring:· · · . ·. · ..· ·. · .·X · Oth~.. ~\;~-~ :~;: ..·.• . . ... ·_:' '':·· · .· :\~::~~':~\., · .Defendant forfeited collateral. · ., -- . -~ ·r • - · tl1'~~~~K'~CO~ .;g, _,{: ;• •. · . UNITED STATES DISTRICT/MAGISTRATE JUDGE · . OR JOHN MORRILi by . . ,....,... _ S.TWEEDLE .,, .,::· · · ·. .. .Clerk . Deputy Clerk ·--~~~ - · · .. . · . .:. . · 7~1.61 • . *QaQP0:1.... -~---- . .· ~- . .· ..:.. · ·· ~ - :- . .. \ Case 3:14-cr-02354-BAS Document 5 Filed 08/22/14 Page 1 of 1 AO 83 (Rev. 06109) Summons in a Criminal Case UNITED STATES DISTRICT COURT for the Southern District of California United States of America ) ) ) v. ) SEAN ENRIQUE O'KEEFE Case No. 14CR2354-BAS ) ) ) Defendant SUMMONS IN A CRIMINAL CASE YOU ARE SUMMONED to appear before the United States district court at the time, date, and place set forth below to answer to one or more offenses or violations based on the following docwnent filed with the court: rW Indictment D Superseding Indictment D Probation Violation Petition CJ Information 0 Superseding Information 0 Supervised Release Violation Petition LJ Violation Notice l EDWARD SCHWARTZ FEDERAL COURTHOUSE Pace: 221 WEST BROADWAY SAN DIEGO, CA 92101 0 Order of Court Courtroom No.: 2A Date and Time: 09/16/2014 j.;8(1'pm . This offense lS briefly described as follows: 'b.- Mail Fraud, in violation of Title 18, United States Code, Section 1341 Date: · nam title I declare under penalty of peJjury that I have: 0 Executed and returned this summons 0 Complaint 0 Returned this summons unexecuted Date: Server's signature Printed m1me and title Case 3:14-cr-02354-BAS Document 4 Fi~~~~}f\J~l1 of 1 l 14 AUG22 Afi 9: 54 2 3. 4 5 6 7 UNITED STATES DISTRICT COURT 8 SOUTHERN DISTRICT OF CALIFORNIA 9 UNITED .STATES OF AMERICA, 10 Case No. 14CR2354-BAS Plaintiff, v. 12 ORDER CANCELING ARREST WARRANT SEAN ENRIQUE O'KEEFE, 13 Defendant. 14a-------------------------------~ IT IS HERRBY ORDERED THAT: 15 The arrest warrant for Sean Enrique O'Keefe on August 20, 2014 16 17 -, is cancelled, and that a Summons be issued for Defendant to appear ~:oO ..... for initial appearance and arraignment on September 16, .2014, at ~ 18 19 m p. . V\1\...,.itQ-, OrJ..vI ~ )..., _ _._,_~ ~tHo .fa k AI~J ,_lv .r~J~ l,..vt.(r-- 20 21 IT IS sp Op.DERED. 22 DATED r- uttl/ .f I HON. WILLIAM V. GALLO United States Magistrate Judge 23 24 25 26 27 28 2 'liT·- Case 3:14-cr-02354-BAS cf~IGTNAIL 08122/14 Page 1 of 1 1 ~ LAURA E. DUFFY t . .... r:·L.l · - -- l>' United St ates Attorney 2 3 4 5 6 VALERIE H. CHU Assistant United States Attorney California Bar No. 241709 Federal Office Building sao Front Street, Room 6293 san Diego, California 92101-8893 Telephone : {619} 546- 6750 Email: Valerie.chu®usdoj.gov Attorneys for United States of America 7 8 UNITED STATES DISTRICT COURT 9 SOUTHERN DISTRICT OF CALIFORNIA lP UN·I TED STATES OF AMERICA, 11 Case No . Plaintiff, I v, MOTION TO WITHDRAW ARREST WAaRANT 12 13 14 SEAN ENRIQUE 0' KEEFE, Defendant . ~------------------------------~ 15 · 16 ·l4CR2354-BAS COMES NOW the United States and respectfully requests, pursuant to Federal Rule of Criminal Procedure 17 of an unexecuted warrant, 18 summons, 19 .20, 20 summons 2014 and Rule 9, ~~4), permitting the canceling permitting the issuance of a that this Court cancel the arrest warrant issued on August for Defendant Sean for Defendant to Enrique O'Keefe, appear for initial 2:cPjJ- 21 arrangement on September 16, 2014 at~ and instead issue a ...... ~. - appearance and ~ p.m. 22 RESPECFULLY SUBMITTED, 23 LAURA E. · DUFFY United states Attorney ~CHU~ Assistant U.S . Attorney 27 28 14CR2354-BAS 3