United States v. Thomas P. Richardson

I. INDICTMENT IN NO. 76-2125

Before us is the appeal of defendant Richardson of his conviction in No. 76-2125, (indictment for violation of Security Exchange Commission’s charges) on six of the 46 counts of an indictment charging conspiracy, fraud in the sale of securities, filing a false financial statement with an agency of the United States Government, and wire fraud. Four other defendants were indicted with him, on one or more counts of the above mentioned crimes. All four co-defendants at one time or another prior to trial had entered pleas of guilty to one or more counts of this indictment. Appellant did not plead guilty, but pursuant to an agreement between the Government and Richardson, the Government proceeded to trial on six counts of the indictment. (The others were dismissed by stipulation.) Gov.Ex. 168(1) was the stipulation admitted into evidence which constituted the Government’s case-in-chief.

Appearing in the margin is the description in the Government’s Brief of appellant’s conduct, which was undisputed at the trial and is undisputed on this appeal. This information was first voluntarily brought to the attention of the S.E.C. on 4/15/75 by co-defendant Thomas,…