you sign that document?
A. Yes, I did.
Q. When was this plea agreement filed?
A. This plea agreement was filed June 12, 2009.
Q. And the plea agreement required you to plead guilty to that bill of information, correct?
A. Correct.
Q. And what was the maximum amount of jail time that you were looking at under that plea agreement?
A. Five years.
Q. Five years in prison?
A. Yes.
Q. Were you required to do anything under that plea agreement?
A. I was required to cooperate and provide truthful testimony.
Q. Looking at page 7 of the plea agreement, what does paragraph 24(a) require you to do?
A. “The defendant will provide truthful information about the subject charges and about any other criminal activity within the defendant’s knowledge to any United States agent or agency that the United States designates.”
Q. As of the time you signed that plea agreement in the summer of 2009, had you been providing entirely truthful information to the government?
A. I had not been providing truthful information to the government at that point.
An article published in the Henderson Times-News on March 3, 2010, titled “CEP Fraud Case Takes a Twist,” reported that during Noel’s trial, Alex’s father testified that Alex told him he was proud of what he did in assisting the FBI and seeing the search warrants executed. Proud? Of what could Alex have possibly been proud? How could Alex be proud, while knowing that his deceptions and diversions of assets were still in play? Can assisting in bringing a fraudster to justice serve as a source of pride, while, at the same time, one continues to be a fraudster? Could it be the pride came from the game of playing both ends from the middle?
As Alex testified succinctly, “I had worked out a plan.”
THOUGHTS, COMMENTS AND ANALYSIS
What are your impressions, to this point, with regard to this circumstance?
Exactly what do you know?
What is it that you know that you don’t know?
What questions would you ask in order to know?
What steps would you take in order to know?
POINTS TO PONDER
Compare and contrast Alex’s words from his sentencing below, to his testimony we have just read.
And it was never my intent to lose anyone’s money or divert anyone’s money or scheme anyone out of anything.
Can Alex’s statement above be reconciled with his continuing to keep assets that did not belong to him?
Can that same statement be reconciled with his continuing deception of the FBI?
Could it be that in Alex’s world, the statement and his actions were not mutually exclusive?
Explain.
What questions would you pose to Alex at this point?
CONTENT – CONTEXT APPLICATION
The owner–operator of a home building company pled guilty in federal mortgage fraud case. Eleven individuals had previously pled guilty for their involvement. Those eleven people included other builders, lawyers, a loan officer, a real estate agent, a paralegal and a notary public. In the case, involving expensive subdivisions, individuals would purchase the house from the builder at one price. The next step involved arranging for buyers for the property at a higher price. Finally, deception was involved in getting the mortgages to a higher level. The inflated prices ranged from $200,000 to $500,000.
With regard to the twelve individuals (who pled guilty) referenced in the above: how would a network of collaborating fraudsters develop?
If we were to frame the concept of fraud as a virus, how would it spread from one individual to another in order to form this network?
Could it be that others exposed to the metaphorical virus (the opportunity to participate in the scheme for personal gain) had a moral resistance to infection? If so, why are some susceptible and others resistant?
What questions would you pose to this individual?
CHAPTER SIX
HE LOOKED INTO A POOL
HE FELL IN LOVE HE WASTED AWAY
NAVIGATION POINT AND HEADING At this time, we want to back up just a bit and examine still another tributary and
A. Yes, I did.
Q. When was this plea agreement filed?
A. This plea agreement was filed June 12, 2009.
Q. And the plea agreement required you to plead guilty to that bill of information, correct?
A. Correct.
Q. And what was the maximum amount of jail time that you were looking at under that plea agreement?
A. Five years.
Q. Five years in prison?
A. Yes.
Q. Were you required to do anything under that plea agreement?
A. I was required to cooperate and provide truthful testimony.
Q. Looking at page 7 of the plea agreement, what does paragraph 24(a) require you to do?
A. “The defendant will provide truthful information about the subject charges and about any other criminal activity within the defendant’s knowledge to any United States agent or agency that the United States designates.”
Q. As of the time you signed that plea agreement in the summer of 2009, had you been providing entirely truthful information to the government?
A. I had not been providing truthful information to the government at that point.
An article published in the Henderson Times-News on March 3, 2010, titled “CEP Fraud Case Takes a Twist,” reported that during Noel’s trial, Alex’s father testified that Alex told him he was proud of what he did in assisting the FBI and seeing the search warrants executed. Proud? Of what could Alex have possibly been proud? How could Alex be proud, while knowing that his deceptions and diversions of assets were still in play? Can assisting in bringing a fraudster to justice serve as a source of pride, while, at the same time, one continues to be a fraudster? Could it be the pride came from the game of playing both ends from the middle?
As Alex testified succinctly, “I had worked out a plan.”
THOUGHTS, COMMENTS AND ANALYSIS
What are your impressions, to this point, with regard to this circumstance?
Exactly what do you know?
What is it that you know that you don’t know?
What questions would you ask in order to know?
What steps would you take in order to know?
POINTS TO PONDER
Compare and contrast Alex’s words from his sentencing below, to his testimony we have just read.
And it was never my intent to lose anyone’s money or divert anyone’s money or scheme anyone out of anything.
Can Alex’s statement above be reconciled with his continuing to keep assets that did not belong to him?
Can that same statement be reconciled with his continuing deception of the FBI?
Could it be that in Alex’s world, the statement and his actions were not mutually exclusive?
Explain.
What questions would you pose to Alex at this point?
CONTENT – CONTEXT APPLICATION
The owner–operator of a home building company pled guilty in federal mortgage fraud case. Eleven individuals had previously pled guilty for their involvement. Those eleven people included other builders, lawyers, a loan officer, a real estate agent, a paralegal and a notary public. In the case, involving expensive subdivisions, individuals would purchase the house from the builder at one price. The next step involved arranging for buyers for the property at a higher price. Finally, deception was involved in getting the mortgages to a higher level. The inflated prices ranged from $200,000 to $500,000.
With regard to the twelve individuals (who pled guilty) referenced in the above: how would a network of collaborating fraudsters develop?
If we were to frame the concept of fraud as a virus, how would it spread from one individual to another in order to form this network?
Could it be that others exposed to the metaphorical virus (the opportunity to participate in the scheme for personal gain) had a moral resistance to infection? If so, why are some susceptible and others resistant?
What questions would you pose to this individual?
CHAPTER SIX
HE LOOKED INTO A POOL
HE FELL IN LOVE HE WASTED AWAY
NAVIGATION POINT AND HEADING At this time, we want to back up just a bit and examine still another tributary and
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