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Full text of "Confirmation hearings on federal appointments : hearings before the Committee on the Judiciary, United States Senate, One Hundred Third Congress, first session on confirmations of appointees to the federal judiciary"

GOVDOC ■ - / 

Y4.J89/2: . g ^^^ io3-l03l, Pt. 3 

2T!!!!J^FIRMATION HEARINGS 
TWTEDERAL APPOINTMENTS 



HEAKINGS 

BEFORE THE 

COMMITTEE ON THE JUDICIARY 
UNITED STATES SENATE 

ONE HUNDRED THIRD CONGRESS 

SECOND SESSION 

ON 

CONFIRMATIONS OF APPOINTEES TO THE FEDERAL JUDICIARY 



MARCH 25; APRIL 21, 22, 29; MAY 12 AND 25, 1994 



Part 3 



Serial No. J-103-28 



Printed for the use of the Committee on the Judiciary 



U.S. GPO 




MAR I 51996 




nEPOSlfORY DOC 



/£5/<>A 



S. Hrg. 103-1031, Pt. 3 

CONHRMATION HEARINGS 
ON FEDERAL APPOINTMENTS 



HEARINGS 

BEFORE THE 

COMMITTEE ON THE JUDICIARY 
UNITED STATES SENATE 

ONE HUNDRED THIRD CONGRESS 

SECOND SESSION 

ON 

CONFIRMATIONS OF APPOINTEES TO THE FEDERAL JUDICIARY 



MARCH 25; APRIL 21, 22, 29; MAY 12 AND 25, 1994 



Parts 



Serial No. J-103-28 



Printed for the use of the Committee on the Judiciary 

bOSTON PUBLIC LIBf^ArtY ^^ 

GOVERNMENT DOCUMENTS DEPARTMENT 

."'ECEIVED 




FEB 2 4 2000 







20-487 



U.S. GOVERNMENT PRINTING OFFICE 
WASHINGTON : 1996 



For sale by the U.S. Government Printing Office 
Superintendent of Documents, Congressional Sales Office, Washington, DC 20402 
ISBN 0-16-052259-5 



COMMITTEE ON THE JUDICIARY 
JOSEPH R. BIDEN, Jr., Delaware, Chairman 



EDWARD M. KENNEDY, Massachusetts 
HOWARD M. METZENBAUM, Ohio 
DENNIS DeCONCINI, Arizona 
PATRICK J. LEAHY, Vermont 
HOWELL HEFLIN, Alabama 
PAUL SIMON, IlUnois 
HERBERT KOHL, Wisconsin 
DIANNE FEINSTEIN, CaUfomia 



ORRIN G. HATCH, Utah 
STROM THURMOND, South Carolina 
ALAN K. SIMPSON, Wyoming 
CHARLES E. GRASSLEY, Iowa 
ARLEN SPECTER, Pennsylvania 
HANK BROWN, Colorado 
WILLIAM S. COHEN, Maine 
LARRY PRESSLER, South Dakota 



CAROL MOSELEY-BRAUN, IlUnois 

Cynthia C. Hogan, Chief Counsel 

Catherine M. Russell, Staff Director 

Mark R. Disler, Minority Staff Director 

Sharon Prost, Minority Chief Counsel 



(II) 



,^,/^eU Of J8US MOTSOc 

I 



/ 



CONTENTS 



HEARING DATES 

Page 

Friday, March 25, 1994 ,^1 

Thursday, April 21, 1994 105 

Friday, April 22, 1994 377 

Friday, April 29, 1994 511 

Thursday, May 12, 1994 665 

Wednesday, May 25, 1994 923 

FRIDAY, MARCH 25, 1994 
Statements of Committee Members 

Moseley-Braun, Hon. Carol 1 

Simon, Hon. Paul 10 

Introduction of Nominees 

Feinstein, Hon. Dianne 2 

Hutchison, Hon. Kay Bailey 11 

Brooks, Hon. Jack 11 

de la Garza, Hon. E (prepared statement) 12 

Moseley-Braun, Hon. Carol 12 

Testimony of Nominees 

Audrey Collins, Los Angeles, CA, to be U.S. District Judge for the Central 

District of California 4 

Questioning by: 

Senator Moseley-Braun 4 

Qp»-jof Qj" SoGctcr 

Fortunate Benavides, Austin, TX, to be U.S. Circuit Judge for the Fifth 

Circuit 15 

Questioning by: 

Senator Simon 15 

Scnstor SoGctcr -^^ 

Ruben Castillo, Chicago, IL, to be U.S. District Judge for the Northern 

District of Illinois 18 

Questioning by: 

Senator Simon 1° 

Alphabetical List and Materl^l Submitted 

Benavides, Fortunate: 

Testimony 15 

Questionnaire 53 

Castillo, Ruben: 

Testimony 18 

Questionnaire 81 

Collins, Audrey: 

Testimony 4 

Questionnaire 21 

(III) 



IV 

Page 
Simon, Hon. Paul: 

Letter from J. Eugene Balloun, Law Offices of Shook, Hardy & Bacon, 
P.C, Overland Park, KS, Mar. 1, 1994 17 

THURSDAY, APRIL 21, 1994 

Statement of Committee Member 

Kohl, Hon. Herbert 105 

Introduction of Nominees 

Pell, Hon. Claiborne 107 

Chafee, Hon. John 107 

Nunn, Hon. Sam 108 

Coverdell, Hon. Paul 110 

Lewis, Hon. John 110 

Glenn, Hon. John 112 

Metzenbaum, Hon. Howard M 112 

Johnston, Hon. J. Bennett 113 

Prepared statement 113 

Breaux, Hon. John B 114 

Jefferson, Hon. William J 115 

Fields, Hon. Cleo 116 

Testimony of Nominees 

Carl E. Stewart, Shreveport, LA, to be U.S. Circuit Judge for the Fifth 

Circuit 117 

Questioning by: 

Senator Kohl 117 

Senator Thurmond 119 

James Carr, Toledo, OH, to be U.S. District Judge for the Northern District 

of Ohio 120 

Questioning by: 

Senator Kohl 120 

Senator Thurmond 122 

Clarence Cooper, Atlanta, GA, to be U.S. District Judge for the Northern 

District of Georgia 123 

Questioning by: 

Senator Kohl 124 

Senator Thurmond 125 

Frank M. Hull, Atlanta, GA, to be U.S. District Judge for the Northern 

District of Georgia 127 

Questioning by: 

Senator Kohl 127 

Senator Thurmond 128 

Mary M. Lisi, Providence, RI, to be U.S. District Judge for the District 

of Rhode Island 129 

Questioning by: 

Senator Kohl 130 

Senator Thurmond 131 

W. Louis Sands, Macon, GA, to be U.S. District Judge for the Middle District 

of Georgia 132 

Questioning by: 

Senator Kohl 132 

Senator Thurmond 134 

Ai.piiABETiCAL List and Material Submitted 

Carr, James: 

Testimony 120 

Questionnaire 167 

Cooper, Clarence: 

Testimony 123 

Questionnaire 220 



V 

Page 

Hull, Frank M.: 

Testimony 127 

Questionnaire 251 

Kohl, Hon. Herbert: 

Letter to Hon. Joseph Biden, U.S. Senate, Washington, DC, from the 

Law Firm of Fortunato & Tarro, Warwick, RI, Mar. 15, 1994 106 

Letter from E. Michael McCann, district attorney. Office of District Attor- 
ney, Milwaukee County, Milwaukee, WI, Apr. 18, 1994 120 

Lisi, Mary M.; 

Testimony 129 

Questionnaire 301 

Sands, W. Louis: 

Testimony 132 

Questionnaire 332 

Stewart, Carl E.: 

Testimony 117 

Questionnaire 137 

FRIDAY, APRIL 22, 1994 
Statements of Committee Members 

Feinstein, Hon. Dianne 377 

Hatch, Hon. Orrin (prepared statement) 377 

Introduction of Nominees 

Moynihan, Hon. Daniel Patrick (prepared statement) 378 

Norton, Hon. Eleanor Holmes 378 

Feinstein, Hon. Dianne 379 

Testimony of Nominee 

Michael R. Bromwich, to be Inspector General, U.S. Department of Justice 380 

Questioning by: 

Senator Feinstein 381 

Alphabetical List and Material Submitted 

Bromwich, Michael R.: 

Testimony 380 

Questionnaire 384 

Feinstein, Hon. Dianne: 

Letters in support of Michael R. Bromwich from: 

1. Law enforcement — U.S. Attorneys Office for the Southern District 
of New York: 

Rudolph W. Giuliani, Mar. 10, 1994 454 

Stuart E. Abrams, Feb. 10, 1994 455 

Bruce A. Baird, Feb. 23, 1994 457 

Charles M. Carberry, Feb. 24, 1994 458 

John K. Carroll, Feb. 22, 1994 459 

Alan M. Cohen, Mar. 7, 1994 460 

Denise Cote, Feb. 16, 1994 462 

Rhea Kemble Dignam, Feb. 14, 1994 464 

Jess Fardella, Feb. 11, 1994 466 

Maria T. Galeno, Feb. 23, 1994 468 

Helen Gredd, Mar. 28, 1994 470 

Howard E. Heiss, Feb. 18, 1994 471 

Mark R. Hellerer, Feb. 14, 1994 472 

Annmarie Levins, Feb. 24, 1994 474 

Edward J.M. Little, Feb. 22, 1994 476 

Roanne L. Mann, Feb. 15, 1994 477 

Aaron R. Marcu, Feb. 22, 1994 479 

Shirah Neiman, Mar. 1, 1994 481 

Benito Romano, Feb. 23, 1994 482 

Peter J. Romatowski, Feb. 11, 1994 483 

BartM. Schwartz, Feb. 14, 1994 485 



VI 

Page 
Feinstein, Hon. Dianne — Continued 

Letters in support of Michael R. Bromwich from — Continued 

1. Law enforcement — U.S. Attorney's Office for the Southern District 
of New York — Continued 

Linda C. Severin, Mar. 7, 1994 487 

Paul Shechtman, Feb. 15, 1994 489 

2. Iran-Contra Counsels: 

Richard W. Beckler, Feb. 17, 1994 491 

David P. Doherty, Mar. 14, 1994 492 

Earl C. Dudley, Jr., Mar. 2, 1994 493 

Leonard Garment, Feb. 14, 1994 495 

Thomas C. Green, Feb. 22, 1994 496 

N. Richard Janis, Feb. 15, 1994 497 

3. Federal judges: 

Robert L. Carter, Feb. 18, 1994 499 

Morris E. Lasker, Feb. 16, 1994 501 

Stanley Sporkin, Feb. 14, 1994 503 

4. Other Government officials: 

Kenneth I. Juster, Feb. 14, 1994 505 

Terry F. Lenzner, Feb. 21, 1994 506 

Herbert J. Stem, Feb. 14, 1994 507 

Geoffrey S. Stewart, Feb. 25, 1994 508 

Dan K. Webb, Feb. 17, 1994 510 

FRIDAY, APRIL 29, 1994 

Statement of Committee Member 

Metzenbaum, Hon. Howard M 511 

Introduction of Nominees 

Glenn, Hon. John 511 

Mo)Tiihan, Hon. Daniel Patrick 512 

D'Amato, Hon. Alfonse M. (prepared statement) 513 

Boren, Hon. David L 513 

de Lugo, Hon. Ron 515 

Prepared statement 517 

Hodge, Hon. Derek M 518 

Hodge, Hon. Verne 521 

Testimony of Nominees 

Robert Henry, Oklahoma City, OK, to be U.S. Circuit Judge for the Tenth 

Circuit 522 

Questioning by: 

Senator Metzenbaum 522 

Deborah Batts, New York, NY, to be U.S. District Judge for the Southern 

District of New York 524 

Questioning by: 

Senator Metzenbaum 524 

Raymond Finch, Kingshill, St. Croix, VI, to be U.S. District Judge for the 

District of the Virgin Islands 527 

Questioning by: 

Senator Metzenbaum 527 

Solomon Oliver, Jr., Cleveland Heights, OH, to be U.S. District Judge for 

the Northern District of Ohio 531 

Questioning by: 

Senator Metzenbaum o<jO 

Al.PHABETICAL LiST AND MATERIAL SUBMITTED 

Batts, Deborah: 

Testimony 524 

Questionnaire 581 

Finch, Raymond: 

Testimony 527 



VII 

Page 

Finch, Rajmiond — Continued 

Questionnaire 607 

Henry, Robert: 

Testimony ^^-^ 

Questionnaire 535 

Hodge, Derek M.: 

List of visiting U.S. district court judges to the U.S. Virgin Islands, 

1989-94 519 

OUver, Solomon, Jr.: 

Testimony 531 

Questionnaire 631 

THURSDAY, MAY 12, 1994 

Statement of Committee Member 

Heflin, Hon. Howell 665 

Introduction of Nominees 

Boren, Hon. David L 665 

Nickles, Hon. Don 667 

Wofford, Hon. Harris 668 

Specter, Hon. Arlen 669 

Norton, Hon. Eleanor Holmes 670 

Hutchison, Hon. Kay Bailey 671 

Brooks, Hon. Jack 672 

Andrews, Hon. Michael A 673 

Prepared statement 673 

Testimony of Nominees 

Theodore McKee, of Pennsylvania, to be U.S. Circuit Judge for the Third 

Circuit 674 

Questioning by: 

Senator Heflin 675 

Billy Michael Burrage, of Oklahoma, to be U.S. District Judge for the North- 
em, Eastern, and Western Districts of Oklahoma 677 

Questioning by: 

Senator Heflin 677 

Vanessa Gilmore, of Texas, to be U.S. District Judge for the Southern District 

of Texas 679 

Questioning by: 

Senator Heflin 679 

Terry C. Kern, of Oklahoma, to be U.S. District Judge for the Northern 

District of Oklahoma 681 

Questioning by: 

Senator Heflin 681 

Gladys Kessler, of the District of Columbia, to be U.S. District Judge for 

the District of Columbia 683 

Questioning by: 

Senator Heflin 684 

Emmet Sullivan, of the District of Columbia, to be U.S. District Judge for 

the District of Columbia 686 

Questioning by: 

Senator Heflin _686 

Alphabetical List and Material Submitted 

Burrage, Billy Michael: 

Testimony 677 

Questionnaire 724 

Gilmore, Vanessa: 

Testimony 679 

Questionnaire 764 

Kern, Terry C: 

Testimony 681 



VIII 

Kern, Terry C. — Continued 

Questionnaire 797 

Kessler Gladys: 

Testimony 683 

Questionnaire 833 

McKee, Theodore: 

Testimony 674 

Questionnaire 688 

Sullivan, Emmet: 

Testimony 686 

Questionnaire 888 

By-Laws of Lawyers' Club of Washington, Nov. 8, 1974, amended 

May 20, 1982 (section 5) 918 

WEDNESDAY, MAY 25, 1994 

Statement of Committee Member 

DeConcini, Hon. Dennis 923 

Introduction of Nominees 

Sarbanes, Hon. Paul S 924 

Hutchison, Hon. Kay Bailey 925 

Brooks, Hon. Jack 926 

Mikulski, Hon. Barbara 926 

Levin, Hon. Carl 927 

Riegle, Hon. Donald W., Jr. (prepared statement) 928 

Conyers, Hon. John, Jr 929 

Collins, Hon. Barbara-Rose 930 

Norton, Hon. Eleanor Holmes 931 

Boxer, Hon. Barbara 932 

Simpson, Hon. Alan K 933 

Wise, Hon. Robert E., Jr 935 

Testimony of Nominees 

Diana G. Motz, Baltimore, MD, to be U.S. Circuit Judge for the Fourth 

Circuit 936 

Questioning by: 

Senator DeConcini 936 

Senator Simpson 938 

Robert Manley Parker, Tyler, TX, to be U.S. Circuit Judge for the Fifth 

Circuit 936 

Questioning by: 

Senator DeConcini 937 

Senator Simpson 941 

Ricardo M. Urbina, Washington, DC, to be U.S. District Judge for the District 

of Columbia 943 

Questioning by: 

Senator DeConcini 942 

Senator Simpson 951 

Richard A. Paez, Los Angeles, CA, to be U.S. District Judge for the Central 

District of California 943 

Questioning by: 

Senator DeConcini 942 

Senator Simpson 951 

Denise Page Hood, Detroit, MI, to be U.S. District Judge for the Eastern 

District of Michigan 944 

Questioning by: 

Senator DeConcini 942 

Senator Simpson 951 

Paul L. Friedman, Washington, DC, to be U.S. District Judge for the District 

of Columbia 944 

Questioning by: 

Senator DeConcini 942 

Senator Simpson 950 



IX V 

Page 
William F. Downes, Casper, WY, to be U.S. District Judge for the District 

of Wyoming r 945 

Questioning by: 

Senator DeConcini ^.T:..; 942 

Senator Simpson 952 

Alphabetical List and Material Submitted 

DeConcini, Hon. Dennis: 

Letter in support of Mr. Downes from Mike Sullivan, Governor, and 
Kathy Karpan, secretary of state. State of Wyoming, Office of the 
Governor, Cheyenne, WY, May 25, 1994 949 

Downes, William F.: 

Testimony 945 

Questionnaire 1226 

Letter to Chairman Biden in response to Senator Metzenbaum's written 

questions, Casper, WY, June 7, 1994 1290 

Friedman, Paul L.: 

Testimony 944 

Questionnaire 1138 

Hood, Denise Page: 

Testimony 944 

Questionnaire 1113 

Motz, Diana G.: 

Testimony 936 

Questionnaire 955 

Paez, Richard A.: 

Testimony 943 

Questionnaire 1075 

Parker, Robert Manley: 

Testimony 936 

Questionnaire 1004 

Urbina, Ricardo M.: 

Testimony 943 

Questionnaire 1039 

ALPHABETICAL LIST OF NOMINEES FOR FEDERAL APPOINTMENTS 

Batts, Deborah, New York, NY, to be U.S. District Judge for the Southern 
District of New York 524 

Benavides, Fortunato, Austin, TX, to be U.S. Circuit Judge for the Fifth 
Circuit 15 

Bromwich, Michael R., to be Inspector General, U.S. Department of Justice .... 380 

Burrage, Billy Michael, of Oklahoma, to be U.S. District Judge for the North- 
ern, Eastern, and Western Districts of Oklahoma 677 

Carr, James, Toledo, OH, to be U.S. District Judge for the Northern District 

of Ohio 120 

Castillo, Ruben, Chicago, IL, to be U.S. District Judge for the Northern 

District of Illinois 18 

Collins, Audrey, Los Angeles, CA, to be U.S. District Judge for the Central 

District of California 4 

Cooper, Clarence, Atlanta, GA, to be U.S. District Judge for the Northern 
District of Georgia 123 

Downes, WiUiam F., Casper, WY, to be U.S. District Judge for the District 
of Wyoming 945 

Finch, Raymond, Kingshill, St. Croix, VI, to be U.S. District Judge for the 

District of the Virgin Islands 527 

Friedman, Paul L., Washington, DC, to be U.S. District Judge for the District 

of Columbia 944 

Gilmore, Vanessa, of Texas, to be U.S. District Judge for the Southern Dis- 
trict of Texas 679 

Henry, Robert, Oklahoma City, OK, to be U.S. Circuit Judge for the Tenth 

Circuit 522 

Hood, Denise Page, Detroit, MI, to be U.S. District Judge for the Eastern 

District of Michigan 944 

Hull, Frank M., Atlanta, GA, to be U.S. District Judge for the Northern 
District of Georgia 127 



\ X 

r Page 

Kern, Terry C, of Oklahoma, to be U.S. District Judge for the Northern 

District of Oklahoma 681 

Kessler, Gladys, of the District of Colujnb^a, to be U.S. District Judge for 

the District of Columbia .<:: 683 

Lisi, Mary M., Providence, RI, to be U.S. District Judge for the Northern 

District of Rhode Island 129 

McKee, Theodore, of Pennsylvania, to be U.S. Circuit Judge for the Third 

Circuit 674 

Motz, Diana G., Baltimore, MD, to be U.S. Circuit Judge for the Fourth 

Circuit 936 

Oliver, Solomon, Jr., Cleveland Heights, OH, to be U.S. District Judge for 

the Northern District of Ohio 531 

Paez, Richard A., Los Angeles, CA, to be U.S. District Judge for the Central 

District of California 943 

Parker, Robert Manley, Tyler, TX, to be U.S. Circuit Judge for the Fifth 

Circuit 936 

Sands, W. Louis, Macon, GA, to be U.S. District Judge for the Middle District 

of Georgia 132 

Stewart, Carl E., Shreveport, LA, to be U.S. Circuit Judge for the Fifth 

Circuit 117 

Sullivan, Emmet, of the District of Columbia, to be U.S. District Judge 

for the District of Columbia 686 

Urbina, Ricardo M., Washington, DC, to be U.S. District Judge for the Dis- 
trict of Columbia 943 



NOMINATIONS OF AUDREY COLLINS, TO BE 
U.S. DISTRICT JUDGE; FORTUNATO BENA- 
VIDES, TO BE U.S. CIRCUIT JUDGE; AND 
RUBEN CASTILLO, TO BE U.S. DISTRICT 
JUDGE 



FRroAY, MARCH 25, 1994 

U.S. Senate, 
Committee on the Judiciary, 

Washington, DC. 

The committee met, pursuant to notice, at 10:44 a.m., in room 
SD-226, Dirksen Senate Office Building, Hon. Carol Moseley- 
Braun presiding. 

Also present: Senators Simon, Feinstein, and Specter. 

OPENING STATEMENT OF SENATOR MOSELEY-BRAUN 

Senator Moseley-Braun [presiding]. Ladies and gentlemen, I 
want to first thank you for coming this morning. The purpose of 
this hearing is the confirmation of Ms. Audrey Collins, Mr. Ruben 
Castillo, and Mr. Fortunato Benavides. So we have three judicial 
nominees to be heard this morning, and we will start first with Ms. 
Collins in Hght of the fact that Senator Feinstein has joined us. 

Just by way of explanation for those of you who have not been 
through this process as friends or family of the nominees, the Con- 
stitution of the United States in article II, section 2, in describing 
Presidential power, says that the President of the United States 
has the authority to appoint judges. There are a number of other 
appointments that he is authorized obviously to make in this sec- 
tion, but then it says that he shall have the power, by and with 
the advice and consent of the Senate, to make treaties and appoint- 
ments. 

So we are here as representatives of the Senate in a hearing of 
the Senate Judiciary Committee to actually provide our advice and 
consent on the nominations as made. Most of the nominees have 
been through an already exhaustive process with the Department 
of Justice, with the administration, and sometimes back in their 
home States, but this is kind of the last leg and that is the good 
news for everyone. 

After this hearing, should the committee vote to recommend the 
nominations, then there is a vote of the full Senate and, in all like- 
lihood, I am trusting and hoping with all of you that there are no 
glitches between today and that final vote. But that is the section 
of the Constitution that gives us the authority and the power to do 
what we are doing today, and I am looking forward to chairing as 

(1) 



much of this hearing as possible. Senator Simon is actually the 
chair. He is right now on the Senate floor in the middle of an 
amendment debate. 

So, with that, as is customary, we will hear first from the Sen- 
ators who wish to introduce nominees to the committee. Before we 
do start, again, each nominee has completed a detailed question- 
naire on his or her qualifications, experiences, finances, and philos- 
ophy. The portions of the questionnaires available to the public will 
be printed in the record of this hearing. We will also keep the 
record open for a limited time just in case members of the commit- 
tee would like to submit written questions. 

With that, I would like to call Ms. Audrey Collins and Senator 
Feinstein to introduce her to the committee. 

The Senator from California. 

STATEMENT OF HON. DIANNE FEINSTEIN, A U.S. SENATOR 
FROM THE STATE OF CALIFORNIA 

Senator Feinstein. Thank you very much. Madam Chairman. I 
am very pleased to be here today and to introduce to you Audrey 
Collins. She is an extremely qualified Los Angeles district attorney 
whom I recommended for appointment to the District Court for the 
Central District of California. 

Audrey Collins is 1 of only 3 assistant district attorneys in the 
Los Angeles department of 900 attorneys. That is the largest de- 
partment in America and she holds the third highest position in 
that department. 

Her academic credentials have prepared her well for a distin- 
guished legal career. Having won and maintained a 4-year aca- 
demic scholarship to Howard University, from which she graduated 
Phi Beta Kappa, Ms. Collins spent 7 years as a teacher in Wash- 
ington, DC, Indiana, Colorado, and then moved to Los Angeles. 

Deciding to pursue a career in law, she entered UCLA Law 
School in 1974. Upon graduating, she soon joined the Los Angeles 
County district attorney's office, where she has established a strong 
reputation among her colleagues and supervisors. 

When I was interviewing candidates for the post, I called District 
Attorney Gil Garcetti to ask about Audrey's record in the depart- 
ment. He gave her an unqualified, enthusiastic endorsement, and 
said that the DA's loss would be the region's gain with Audrey 
serving on the bench. 

For the purpose of this introduction, I would like to focus my re- 
marks on her 16-year career in the DA's office, a career that has 
been marked by a string of promotions. From 1978 to 1987, the 
nominee was deputy DA. In this capacity, she served from 1980 to 
1983 when she worked in the consumer and environmental protec- 
tion division, where she appeared in civil court frequently. 

From 1983 to 1985, she served as grand jury legal advisor, where 
she assisted the grand jurors in their role of civil oversight of the 
county government. During this time, the grand jury heard some 
of the most complex cases ever handled by the district attorney's 
office, the Twilight Zone case and the McMartin Preschool Molesta- 
tion case. 

For 9 years during her tenure as deputy DA, she appeared in 
criminal courts regularly. With the exception of her work in the 



consumer and environmental protection division and as grand jury 
adviser, the nominee focused solely on criminal cases and her 
record is quite impressive. 

She was sole counsel and successfully tried more thgin 200 cases 
to a verdict. These cases included misdemeanor jury trials, mis- 
demeanor and felony juvenile adjudications, and felony adult court 
and jury trials. The nominee estimates that 90 percent of her cases 
were tried before a jury. This type of experience is invaluable as 
a judge carefully weighs the facts. 

Among her many cases during this period, was, in 1986, People 
V. Larry Charles McKiever. This is where the defendant had fire 
jumped into a victim's car, forced her from the car, stole her wallet 
and drove away, leaving her behind. The defendant was arrested 
2 days later while driving the victim's car and charged with kid- 
napping and robbery. He was found guilty on all charges and sen- 
tenced to State prison for life and a 5-year enhancement for prior 
conviction. 

Senator Moseley-Braun. I am sorry. Senator. Not being from 
California, what is "fire jumped"? 

Senator Feinstein. I am sorry; fired and jumped; in other words, 
started and jumped. 

Senator Moseley-Braun. I am sorry. I thought this was a term 
of art with which I was not familiar. 

Senator Feinstein. No, no, no. 

In 1986, in People v. Anthony Carl Rogers, the defendant cor- 
nered the victim, demanded money, £ind struck her in the face 
twice when she was too slow in giving him the money. The jury 
found him guilty of robbery and he was sentenced to 5 years in 
State prison. 

There are other cases, as well, and I won't go into them now. 
What I want to say that I think is very interesting about this nomi- 
nee is when she was in school she originally believed she would 
work for defend£ints. She was an intern in the district attorney's 
office and, in this internship, encountered victims really for the 
first time and realized how many of them were people of color. So 
she came to identify with victims. 

As part of that, I think in your questioning you will see she has 
got a rather interesting approach. In her civic life, she has gone out 
of her way to support victims and their rights, to work with them, 
to console them, to help them. As she just said to me when we were 
informally discussing her record, she said, you know, I have always 
viewed that my job as a prosecutor wasn't really just to get a con- 
viction; it was to find out what actually happened and what the 
truth was and to be fair in that regard. I think that commends her 
well for the Federal bench. 

Madam Chairman, I recommend to you with great support, inter- 
est, and eagerness the nomination of Audrey Collins. 

Thank you. 

Senator Moseley-Braun. Thank you very much. Senator Fein- 
stein. 

Ms. Collins, it is now your turn. If you would stand, please, to 
take the oath? Do you swear that the testimony that you give in 
this proceeding shall be the truth, the whole truth, and nothing but 
the truth, so help you God? 



Ms. Collins. I do. 

Senator Moseley-Braun. Ms. Collins, if any members of your 
family are with us today, please feel free to introduce them at this 
point. 

TESTIMONY OF AUDREY COLLINS, LOS ANGELES, CA, TO BE 
U.S. DISTRICT JUDGE FOR THE CENTRAL DISTRICT OF CALI- 
FORNIA 

Ms. Collins. Thank you. I would like to introduce to the commit- 
tee my husband, Tim Collins, who has been my supportive partner 
for over 26 years. I could not be here today without him. I would 
also like to introduce my son, Tim, Jr., who is now a second-year 
law student at Yale, and I am very proud of him. Unfortunately, 
my daughter, Rachel, could not be here because she just finished 
starring in the school play and that caused her to miss some school 
work and I just didn't feel that she could afford to miss any more, 
but we are also very proud of her. 

Senator Moseley-Braun. Thank you. If you have an opening 
statement to make. 

Ms. Collins. No, other than to thank Senator Feinstein for rec- 
ommending my name to the President and to thank this committee 
for scheduling the hearing in such a prompt, expeditious way. 

questioning by senator MOSELEY-BRAUN 

Senator Moseley-Braun. Well, Ms. Collins, I have, on behalf of 
the committee, a few questions for you. There has been a great deal 
of attention paid to the Federal courts' increased caseloads and the 
resulting problem of docket backlog. This backlog, of course, has 
had an adverse effect on litigants before the court and, as Senator 
Feinstein pointed out in her eloquent statement regarding your 
concern for victims, has had an adverse effect on victims and peo- 
ple who are seeking justice. 

So the question I have for you is. If confirmed, what steps will 
you take to ensure that your docket progresses at as quick a pace 
as is fair and reasonable? 

Ms. Collins. Your question certainly points out an increasing 
problem nationwide, and I know, in the Central District of Califor- 
nia. In my reading and preparation, I came across an interesting 
statistic. In 1988, 64 percent of the available trial time was used 
for civil trials, but in the first 9 months of 1993 that figure of 64 
percent had dropped to only 42 percent of the available trial time 
was used for civil cases. 

This is an extremely serious problem because it goes to the very 
heart of the system and possible denial of access of litigants to the 
central district. I hope that my experience, both as a prosecutor 
and as a manager in the DA's office, will be of assistance if I 
should be confirmed, because as a manager, of course, I have had 
experience managing diverse bureaus, all of which have competing 
and different demands and needs, and one of the things that I have 
learned to do is to prioritize and to set timetables and goals. 

Specifically, I think it is important for a Federal district court 
judge— in addition to all of the other talents which she or he must 
possess, it is important for that person to be an active manager, 
and one of the things that I would do, and I have already begun 



discussing this with Chief Judge Byrne, is to very early delve into 
the caseload which I would inherit, learn those cases and become 
actively involved in managing them. 

This would include such things as setting firm dates for discov- 
ery, for pretrial settlement conferences and for trial dates, and, of 
course, they would have to be realistic depending on the complexity 
of the case, but to set firm dates and then stick to those. I would 
also, as everyone in the central district does now, have mandatory 
pre trial settlement conferences, and this is a policy in the central 
district. 

In addition to the mandatory pretrial settlement conferences 
which are in court, I would hope to hold frequent telephonic con- 
ferences, and this is one of the new methods that is being employed 
in order to assist attorneys in focusing early on the issues that still 
divide them and focusing their attention on how they can narrow 
those issues. So I would also do that. 

Another step that is being taken within the central district is for 
the district court judges to go to the chief judge, when necessary, 
and ask him to assign complex civil or criminal cases to visiting or 
senior judges. I would do that. In addition, I would hope to work 
very closely with the magistrates. I understand we have excellent 
magistrates in the centr^ district. I have already met with some 
of them, and I would hope to work closely with them so that they 
could be of assistance especially with discovery and nondispositive 
motions in the complex cases. 

Senator Moseley-Braun. If confirmed to the Federal bench, you 
will face a docket that includes a heavy criminal caseload, as well 
as constitutional, employment, and civil rights cases. Certainly, you 
have a great deal of experience in criminal matters, but what steps 
do you plan to take to familiarize yourself with those areas of the 
law in which you may have less experience? 

Ms. Collins. First, I have been fortunate in that for about the 
past year as assistant district attorney one of my duties has been 
to be the top manager in our office in the area of personnel, and 
this includes such issues as working with the Americans With Dis- 
abilities Act and also working with employees who are being dis- 
ciplined, or the recommendation is that they be disciplined, and I 
make the ultimate decision as to whether they will be disciplined. 
I also deal with all issues of harassment that come through the dis- 
trict attorney's office. So, fortunately, I have begun familiarizing 
myself already with the law relating to the Americans With Dis- 
abilities Act, harassment, and other employment issues. 

Since being nominated, I have also begun studying the other 
areas which you mentioned, specifically civil rights law and con- 
stitutional law. I have also visited already with Chief Judge Byrne, 
who has been very helpful in discussing with me caseload and case 
procedures. 

I have received materials from the Federal Judicial Center and 
I am reviewing those, including some videotapes, which are excel- 
lent, on topics such as jurisdiction and evidence. I have obtained 
the Federal Rules of Civil Procedure and Criminal Procedure and 
Evidence, and I am studying those. So I do believe with those 
steps, plus the excellent orientation I received yesterday from the 
administrative office and my plans to attend a week-long video pro- 



gram presented by the Federal Judicial Center, I will be in good 
shape to be up to speed if I should be fortunate enough to be con- 
firmed. 

Senator Moseley-Braun. What would you do if faced with a 
ninth circuit precedent that controlled a matter before you but with 
which you personally disagreed? 

Ms. Collins. Senator, I have a full understanding that, if con- 
firmed, it would be my obligation to follow precedent, whether that 
be a U.S. Supreme Court or a ninth circuit case, and I would have 
absolutely no difficulty in following the doctrine of stare decisis and 
following precedent, no matter what my personal opinion might be. 

Senator Moseley-Braun. Since graduating from law school, you 
have worked at the Los Angeles district attorney's office first as a 
litigator and then as an administrator. You have also been involved 
in a number of professional organizations and have a record of 
doing pro bono assistance in the community at large. In what way 
do you feel these experiences have prepared you to serve as a Fed- 
eral district court judge? 

Ms. Collins. That is an interesting question because I feel I 
have learned different things and I have gained different skills 
from each of those experiences and opportunities, although there is 
some overlap. As a prosecutor — and all of my litigation is in the 
area of prosecution — as a prosecutor, of course, first of all, I have 
learned criminal law, criminal procedure, and evidence, and as I 
have begun my study of Federal criminal law and evidence, I am 
happy to be reminded how similar the Federal and the California 
statutes are. So, that certainly has been a good preparation for me, 
should I be confirmed. 

I have also learned, of course, how the system works, and al- 
though there are some differences between the State and the Fed- 
eral system, I think that much of this will be transferrable. I have 
learned how to try a case and I think, if confirmed, it is very help- 
ful as you see a case unfolding before you for you to see if there 
are any problems ahead that you might recognize and be able to 
help the attorneys to solve. 

More importantly — and I think I have an idea, as I said, of how 
the system works — over 90 percent of the cases, criminal or civil, 
never go to trial. They are settled, and it is important to under- 
stand that actually that is a fairly cooperative process between the 
prosecution and the defense, and the judge sometimes is involved — 
sometimes in the State system is involved, sometimes is not. But 
it is important to have an understanding of how all the elements 
of the criminal justice system have to work together to make the 
system work, and I will bring that experience to bear if I am fortu- 
nate enough to be confirmed. 

One very important thing that I bring is something that the Sen- 
ator mentioned in her remarks, and that is a sensitivity to all of 
the parties in the system. I think I was certainly well aware from 
law school of the rights of the defendant and of how respectful the 
system is of those, but it wasn't until I joined the district attorney's 
office as a summer law clerk that I became sensitized to then needs 
of the victims. I have worked with that throughout my career, first 
in the courtroom in making sure the courtroom was a comfortable, 
accessible place for victims, who were often elderly, often people of 



color and who really appreciated and enjoyed working with some- 
one who was sensitive and accommodating to their needs. 

As an administrator, I have continued this work because I have 
been the administrator in charge of the victims and witnesses as- 
sistance program which serves that same purpose by making vic- 
tims feel comfortable, by providing financial assistance to victims 
who have been injured, and there is nothing, I think, more impor- 
tant that I have done in my career than to be sensitive to, and ac- 
commodating to, and helping the victims of crime. 

But probably the most important thing that I have learned and 
that I would bring to the Federal bench, if confirmed, is something 
else that the Senator mentioned, and it is my knowledge that the 
most important thing a prosecutor does is not to obtain convictions. 
It is to look for truth and to do justice. Much of the time, after ex- 
amining a case, I felt that I did justice by seeking a conviction, but 
there were certainly times when I thought that the only way to do 
justice was to dismiss all or part of the case, and that core value, 
that core thing that I do as a prosecutor to seek justice is, I think, 
the same core value that a Federal district court judge has. I, as 
a district court judge, would be there to do justice. So those are the 
things that I would take from my career as a prosecutor or litiga- 
tor. 

On the administrative side — I mean, there, I think, is an admin- 
istrator in any position. It is a big-picture type of job, and there I 
got an idea not just what happens in one courtroom or even in one 
courthouse, but what is going on in the entire district attorney's of- 
fice, what is going on in the entire criminal justice system, and 
even to some extent, as I have struggled with budget, what is going 
on in all of Los Angeles County. 

I have had to learn to prioritize, to have timetables for all of the 
bureaus that I work with, to work with personnel, to work with 
needs for space, to work with budget, especially in Los Angeles 
County where we simply don't have enough budget dollars to go 
around, and I have had to work with the board of supervisors to 
try to, as an advocate, seek sufficient funding for the district attor- 
ney's office. 

I think, again, all of these management skills would be 

transferrable to the Federal bench not only in managing the docket 

problems that we talked about, but hopefully, if I were there for 

a while and got my feet wet, maybe even helping the court overall 

and contributing with such issues as budget and space that go on. 

The third area which you talked about, which is my work with 
pro bono or professional organizations — that has been so important 
to me, whether it is going out to a law school and speaking to the 
black law students group, whether it is working with the black po- 
lice officers association, meeting with gang members in South 
Central, which I have been doing recently, or whether it is speak- 
ing to California women lawyers on gender bias or my work with 
the Committee of Bar Examiners, as well as the other bar that I 
have done, because I feel I have gotten so much out of that. I have 
felt that I have contributed to the community, I have contributed 
to the bar, and not only have I contributed, but I have gotten some- 
thing out of that, too, and that is balance, and also coUegiality. 



8 

I think, if confirmed and I become a Federal court judge, it is 
still important to have balance. It is important to give something 
back to the community and to the bench and bar, and the 
collegiality aspect is extremely important, too, because the bench 
can be very isolating, I believe, based on everything I have heard. 
And it is important to get out there and meet people that you 
wouldn't necessarily have met otherwise, and through my work 
with bar associations I have met people well outside not only the 
district attorney's office, but outside criminal justice. I have met 
civil lawyers through the Committee of Bar Examiners. I have even 
met wonderful public members who aren't lawyers, but people who 
are giving up their own time from their busy careers — and some of 
them are college professors, retired military officers, and here they 
are contributing to the legal profession. What a wonderful example 
they have set, and meeting these people has been enriching, too, 
and continuing this tjrpe of experience, I think, would help to make 
me a more balanced and keep me a balanced individual. 

Senator Moseley-Braun. We have been joined by Senator Spec- 
ter. I have concluded my questions. 

Senator Simon, have you any questions? 

Senator Simon. I do not. I apologize for getting here late. I want 
to thank my colleague for starting the hearing here. I had an 
amendment on the floor, which I am pleased was accepted on the 
floor, so I had to get here late. I apologize to the nominee. I don't 
have any questions at this point. 

Ms. Collins. Thank you. I am just pleased, and congratulations 
on your success on the floor. 

Senator SiMON. Thank you. 

Senator Moseley-Braun. Senator Specter. 

QUESTIONING BY SENATOR SPECTER 

Senator Specter. Why do you want to be a Federal judge? 

Ms. Collins. Being a Federal judge, I believe, would offer me the 
best opportunity I can think of to serve the residents of the central 
district, which is a seven-county district, very diverse, and I have 
been in public service ever since I became a lawyer, starting with 
legal services, which I worked for for several months, and then 
coming to the district attorney's office for the past 16 years. I feel 
that I have made real contributions there, but that going to the 
Federal district court, if confirmed, would allow me to contribute 
even more to the residents who live in this entire area. 

It is an opportunity for service that I think will hopefully allow 
me to continue to open up and bring more access to the courts, 
which is something that I was discussing earlier in the sense of vic- 
tims' rights, making the courts more open £ind accessible to victims. 
And I think that one of my strengths is that I am good with people, 
I am a people person, and that as a Federal district court judge I 
can assist with making the courts more accessible, and I think that 
will also help in resolving the docket problems. 

As I said, I think that I will be a good manager and that I will 
be able to easily assume the problems inherent in a crowded docket 
and be able to assist with that as the courts are faced with crimi- 
nal and civil issues that are really central to our Nation's future. 

Senator SPECTER. I note that you were born in Chester, PA. 



Ms. Collins. Yes, I was, and then I lived in Yeadon for many, 
many years. 

Senator Specter. When did you leave Pennsylvania? 

Ms. Collins. When I went to college, that is really when I left, 
although, of course, I continued to go home for holidays and vaca- 
tions, and then when I got married right after graduating from col- 
lege, I did not go back to live in Pennsylvania an3rmore. But, you 
know, I still miss Pennsylvania, Senator, and the seasons. I truly 
do. I love California, but the sameness of the terrain and the sea- 
sons often msike me miss Pennsylvania, although I gather from my 
mother, who still lives in Lansdowne, that this was a real tough 
winter. 

Senator Specter. It was. You have served for a long time as a 
deputy district attorney in Los Angeles. What sort of work did you 
do there? 

Ms. Collins. I was privileged to have a great variety of assign- 
ments. Due to the size of 

Senator Specter. Did you try cases? 

Ms. Collins. Oh, yes. 

Senator SPECTER. Murder cases? 

Ms. Collins. Yes. I also was privileged to be in our one civil divi- 
sion, which was consumer and environment. 

Senator SPECTER. Do you think it is realistic to have mandatory 
life sentences, three strikes and you are out? 

Ms. Collins. Well, the legislature has now, as you know, of 
course, passed that. It is still also on the ballot in November. We 
will see — when you say realistic, I don't know if you are thinking 
of the cost aspect of building new prisons. 

Senator Specter. What I am thinking about is whether we will, 
in fact, get life sentences. My own view, after having experience as 
a district attorney, is that justice needs to be individualized and 
that whatever you say by way of mandating judges or the system, 
the system and judges find a way not to follow the mandate if they 
feel it is unfair. 

What I have been advocating since I was elected in 1980 is to 
try to get realistic rehabilitation for juveniles, first offenders and 
second offenders — literacy training and job training — so that they 
have a chance. I think that if they fail after a conviction and come 
back a second time and have rehabilitation opportunities and fail 
and come back on a third offense for violent crime, at that juncture 
it is realistic to get a judge to impose a life sentence. But absent 
that, I think three strikes and you are out is hollow rhetoric, and 
we can mandate all we like, but it will not happen. 

I would be interested in your experience, since I note you were 
in the district attorney's office for some 16 years. You outrank me 
by a couple of years. What do you think? 

Ms. Collins. I guess it is really too soon to say. I can tell you 
that originally our district attorney, Gil Garcetti, favored a three- 
strikes bill that was somewhat more narrowly drawn than the ver- 
sion that ultimately passed. But now that that is the law, the ver- 
sion that passed, of course, the district attorney's office is commit- 
ted to and, in fact, will vigorously enforce it. I think, only having 
been in law for a couple of weeks, it is too soon to say. 



10 

The bill itself, as I understand it — and I have only looked at it 
slightly — really removes most of the discretion that judges would 
otherwise have. Even the second strike is double the normal term, 
and the third strike, which need not be for a serious or violent fel- 
ony, then does mandate, as you have stated, life without possibility 
of parole. 

The district attorney's office, of course, too, is mandated to, and 
will, not only file, but file prior felony convictions as required. So 
I would anticipate, and I kiiow that there will be legal challenges 
to this. It is my understanding that the defense bar is already 
planning to, if they have not already, file such challenges. So I sup- 
pose it is 

Senator Specter. They will probably come right into Federal 
court, your Federal court. 

Ms. Collins. It is even conceivable that that could be before me, 
yes, if I am confirmed. 

Senator Specter. Thank you very much. Thank you, Mr. Chair- 
man, or Madam Chairmsin, whoever is the chairman. 

Senator Moseley-Braun. Well, almost the chairman, just for a 
few more seconds. 

Thank you very much. Again, this is the last leg of a long process 
for you and we are all delighted to see such a stellar nominee com- 
ing out of California, but then we would expect nothing less of Sen- 
ator Feinstein. Thank you very much, Ms. Collins. 

Ms. Collins. Thank you, and it has been a pleasure every step 
along the way, and certainly including today. It is an honor. Thank 
you very much. 

Senator Moseley-Braun. Thank you. 

We will now call Ruben Castillo. 

Senator SiMON. Well, before we call Mr. Castillo, since Senator 
Hutchison and Congressman Jack Brooks are here, why don't we 
let them introduce their candidate, and then we will call on Mr. 
Castillo. 

Senator Moseley-Braun. Since seniority still has a role to play 
in this legislative body. Senator Simon is the senior Member from 
Illinois and the senior member on this committee, so I am going 
to pass the gavel on to him. 

OPENING STATEMENT OF SENATOR SIMON 

Senator Simon [presiding]. Well, I thank you very much. 

We welcome the nominee from the State of Texas, and I don't 
know if either of you has a preference 

Mr. Brooks. I think we ought to let the distinguished junior 
Senator from Texas, the lovely lady from La Margue in my district, 
though she be a Republican, introduce first. 

Senator Simon. Senator Hutchison, be careful when Jack Brooks 
praises you. I have learned that over the years. [Laughter.] 

Mr. Brooks. Now, Paul, don't give her all that. Just let her go 
on and talk, will you? 

Senator SiMON. All right. We are pleased to have you here for 
any statement you may make. 



11 

STATEMENT OF HON. KAY BAILEY HUTCHISON, A U.S. 
SENATOR FROM THE STATE OF TEXAS 

Senator Hutchison. Thank you, Mr. Chairman. I will say that 
I appreciate the deference of the dean of the Texas delegation in 
Congress. I thought that Ms. Moseley-Braun made a very good 
point about seniority, and we are very proud to have Jack Brooks 
as the dean. He has represented the district I grew up in for all 
of my life, so we have known each other for a long time. 

It is my pleasure to be here to introduce you to Pete Benavides. 
I have known Pete for a long time. He is the law partner now of 
a very good friend of mine, who is also one of the members of my 
judicigil advisory committee, Morris Atlas. I was very surprised that 
Mr. Benavides decided to go back into the judiciary. He has a long 
record of distinguished service as a judge in Hidalgo County, as a 
State district judge there, and also served on the State Court of Ap- 
peals and the Texas Court of Criminal Appeals. 

So he has been in public service all his life and just went into 
private practice, and I asked him why he decided to take the oath 
of poverty once again and go back into the judiciary, but I am very 
pleased that he did because I think he will serve well on the fifth 
circuit and I am very proud to be here to support him. 

Senator Simon. Thank you very much. 

It is a pleasure to welcome Jack Brooks, who is a genuine public 
servant and, in addition, an enjoyable guy to be with and work 
with. I served with him 10 years in the House. When you refer to 
him as the dean of your delegation, I remember Wright Patman. 
Things have changed now that you are the dean over there. 

Senator HUTCHISON. Does that make you feel old, Mr. Chairman? 

Senator Simon. Dean, we welcome you. 

STATEMENT OF HON. JACK BROOKS, A REPRESENTATIVE IN 
CONGRESS FROM THE STATE OF TEXAS 

Representative Brooks. Thank you very much. Senator. I am de- 
lighted to be here to introduce Fortunato "Pete" Benavides, a nomi- 
nee for the U.S. Court of Appeals for the Fifth Circuit, to my long- 
time colleagues in the Senate. 

Judge Benavides has had a notable career in the Texas judicial 
system, during which he authored more than 500 judicial opinions 
in both criminal and civil cases. He has been praised by both the 
prosecutors and the defense attorneys for his work, and he is 
known for his compassion and fair-mindedness. 

He was bom and educated in Texas. Judge Benavides is dedi- 
cated to serving the community outside the courtroom as well. This 
commitment is highlighted by his establishment, when he was a 
county judge, of a center for troubled teenagers. In other words, he 
was an early believer in alternative correction, particularly for 
young offenders. 

I believe that Judge Benavides is well prepared for a position on 
the U.S. Court of Appeals and will do an excellent job on the fifth 
circuit in New Orleans. His experience will serve this country well. 
I would recommend him to you. 

Senator SiMON. We thank you. We have a statement also that we 
will enter in the record from Congressman de la Garza regarding 
you, Judge. 



12 

[The prepared statement of Mr. de la Garza follows:] 

Prepared Statement of E (Kika) de la Garza, a Representative in Congress 

From the State of Texas 

Mr. Chairman, it is very unfortunate that I cannot be present today to introduce 
the Honorable Fortunate "Pete" Benavides who has been nominated by the Presi- 
dent for the position of Circuit Judge for the 5th Circuit in Texas. The reason for 
my absence is the death of a close and longtime friend which has necessitated my 
returning to Texas. Were it not for that I would be with you this morning. 

Judge Benavides is someone I have known for many, many years. I think very 
highly of him and hold him in the highest regard. I am also fiilly acquainted with 
his work. He has had a very distinguished career. Not only is he thoroughly quali- 
fied but he has an extiaordinary knowledge which makes him an ideal candidate 
for this position. 

There are many accolades I could bestow on Judge Benavides but I think his 
record speaks for itself. To that I can only add he is truly exceptional. I am proud 
to know him and to call him my friend. 

Thank you. 

Senator SiMON. Judge, we will call on Mr. Castillo and then we 
will ask you back — ^you are not going to get off that easily here, 
Judge, 

Judge Benavides. I understand. 

Senator SiMON. But do you have members of your family you 
would like to introduce here, or friends? 

Judge Benavides. My family wasn't able to come up here. I do 
have a cousin that is a doctor at George Washington University 
that drove across town, Minerva Gorena, my first cousin, originally 
from Edinburg, TX. 

Senator SiMON. We welcome you here. 

Senator Specter. Chairman Brooks, I said to Senator Simon, 
will Chairman Brooks stand for questions? We don't often see you 
at a witness table over here. 

Mr. Brooks. With a clear conscience, it is no problem. 

Senator Specter. I am sorry. I didn't hear you. 

Mr. Brooks. I say if you have a clear conscience, it is no worry, 
no problem. 

Senator Specter. Well, I presume you mean your conscience, not 
mine. [Laughter.] 

It is a pleasure to see you here, and I will not try any questions 
for fear of the response. 

It is nice to see you. Senator Hutchison. 

Mr. Brooks. Give your wife our best. 

Senator Specter. Thank you. 

Senator SiMON. We thank you both. Judge, we will excuse you 
temporarily. 

Judge Benavides. Before they leave, I would like to thank the 
Senator and the Congressman for being here and introducing me. 

Senator Simon. You are under good auspices. 

Mr. Castillo, if you can go up there, we are going to hear from 
my colleague. Senator Carol Moseley-Braun here first. 

STATEMENT OF HON. CAROL MOSELEY-BRAUN, A U.S. 
SENATOR FROM THE STATE OF U^LINOIS 

Senator Moseley-Braun. Thank you very much, Mr. Chairman. 
I am proud to be here today to introduce Mr. Ruben Castillo, the 
nominee for U.S. district court judge for the Northern District of 
Illinois. I am even prouder to be able to say that I was able to play 



13 

a part in selecting this outstanding nominee, and for that I am 
eternally grateful to you, Senator Simon. We have, as you know, 
a judicial merit selection commission back in Illinois that you es- 
tablished, and you were gracious enough to allow me to play a co- 
equal part in that process and I am mindful of it and grateful to 
you for that. 

When Mr. Castillo is confirmed by the U.S. Senate, and I am cer- 
tain that he will be, he will become the first Latino Federal judge 
in the State of Illinois. The son of immigrant parents — his father, 
Ruben, Sr., emigrated from Mexico; his mother. Carmen, from 
Puerto Rico — ^Ruben Castillo embodies the American dream. He is 
the first member of his family to finish college, and it was his par- 
ents who encouraged him to pursue higher education and instilled 
in him a love of learning that led him to Loyola University in Chi- 
cago. 

It was then that he had his first experience with the law, work- 
ing nights as a clerk in Cook County Circuit Court to put himself 
through school. After graduation from Loyola, Mr. Castillo went on 
to Northwestern University School of Law, one of the finest law 
schools in the country. I must say there are people on the south 
side of Chicago at the University of Chicago who argue that a little 
bit, but nonetheless Northwestern is certainly one of the finest law 
schools in the country. We are blessed to have a multitude of riches 
in that regard in Chicago. 

Ruben Castillo started his career in the law with the firm of Jen- 
ner & Block which, as you know, is one of the largest, most pres- 
tigious firms in Chicago, and in the country indeed, leaving after 
5 years there to become assistant U.S. attorney, prosecuting crimi- 
nal cases. His involvement, in fact, one case, prosecuting a drug 
kingpin, resulted in a contract being placed on his life and he and 
his family were forced to receive 24-hour police protection for a 
time. Happily, that threat was resolved with no physical harm to 
him or to his family. 

Mr. Castillo left the U.S. attorney's office in 1988 to serve as di- 
rector and regional counsel for the Mexican American Legal De- 
fense and Education Fund, known as MALDEF. Under his leader- 
ship, MALDEF filed and won a suit challenging the congressional 
districts drawn up after the 1990 census. That lawsuit was success- 
ful and it resulted in the first majority Hispanic district to be cre- 
ated in Illinois, and that, of course, led to the election of Luis 
Guttierez, the State's first Latino Congressman. Mr. Castillo head- 
ed MALDEF until 1991, when he left to become the first Latino 
partner at the prestigious Chicago law firm of Kirkland & Ellis. 

I don't want to take up too much of the committee's time in this 
regard, but before I conclude I would like to mention just a few of 
the charitable activities that Mr. Castillo has devoted himself to 
over the years. He is a member of the advisory boards of the Chil- 
dren and Family Justice Center of Northwestern University, the 
Chicago Legal Clinic, and Business and Professional People for the 
Public Interest. He was appointed by Mayor Daly to serve on a 
blue ribbon panel to recommend revisions to Chicago's minority 
and female set-aside programs, and he is a member of the North- 
ern District Court's Civil Justice Reform Act Advisory Group. He 
has been awarded the Chicago Bar Association's Maurice Weigle 



Award for outstanding service to the legal profession, the Attorney 
of the Year Award from MALDEF, and the Community Service 
Award by the Latin American Police Association. 

Of course, Mr. Chairman, our merit selection committee highly 
recommended him. His respect for the law and commitment to pub- 
lic service and integrity are noteworthy and were the basis for their 
recommendation to us. I am delighted to introduce him to the com- 
mittee and to make this nomination. 

I believe, as you are well aware, Mr. Chairman, that Ruben 
Castillo is an outstanding attorney, one who brings to the bench a 
rich history of involvement in the field of public interest law, and 
I am proud to introduce him to the committee today and hope that 
the Senate will act quickly on his nomination so that he may be 
confirmed. 

Thank you. 

Senator Simon. Thank you. Senator Moseley-Braun. Let me just 
add, in the process we had 138 lawyers who applied for the 3 va- 
cancies. The commission recommended 10 out of 138. You are talk- 
ing about some quality people there. Senator Moseley-Braun and I 
interviewed all 10 and made the 3 recommendations. 

Not only did you make a good impression on us personally in our 
interview, but in informal conversations I had with people, and I 
am sure Senator Moseley-Braun had the same experience, people 
spoke very highly of you and I was pleased to join my colleague in 
sending the recommendation to the Justice Department and the 
White House. 

I think you have members of your family here with you. Would 
you like to introduce them, Mr. Castillo, and any other friends that 
you may have here? 

Mr. Castillo. Yes, I would. Thank you. Senator. First, I would 
like to introduce my wife and life partner, Sylvia Mojica-Castillo; 
my daughter, Francisca Castillo; my son, Roberto Castillo; my fa- 
ther, Ruben Castillo; my mother. Carmen Castillo; my mother-in- 
law, Ramona Mojica; my father-in-law, Felix Mojica; my sister-in- 
law. Ester Rodriguez. And I have two good friends, Martin Castro, 
who is president of the Mexican American Lawyers Association, 
and a former trial partner and colleague of mine from the Justice 
Department, Mary Harkenreiter. 

Thank you. 

Senator SiMON. Well, we are very happy to have all of them here, 
and I might add that one of your guests is a brother of a staff 
member of mine, which you probably are aware of. 

I do have a serious question for those two young people. Are you 
skipping school today? [Laughter.] 

Mr. Castillo. They refuse to answer that question on the advice 
of their counsel. [Laughter.] 

Senator Simon. All right. Well, we thank you. 

If I could ask both Judge Benavides and Mr. Castillo, if you could 
stand and raise your right hands? Do you swear to tell the truth, 
the whole truth and nothing but the truth, so help you God? 

Judge Benavides. I do. 

Mr. Castillo. I do. 

Senator SiMON. Under our usual procedure, we would take Judge 
Benavides first, but are you leaving now? 



15 

Senator Moseley-Braun. Thank you, Mr. Chairman. I have to 
leave, and in light of the fact that we have already asked the ques- 
tions that would be put to Mr. Castillo, I unfortunately will not be 
able to put questions to Mr. Benavides. But at the same time, we 
have a very busy Senate schedule and I have to get back. 

Senator SiMON. All right. 

Senator Moseley-Braun. But I know it is being left in great 
hands. 

Senator SiMON. In that event, I will follow precedent, and the 
nominee for the higher court gets precedence over the district 
judge, I have to tell you. 

Mr. Castillo. I completely understand. Senator. 

Senator SiMON. You will get used to that. [Laughter.] 

Judge, we are very pleased to have you here as a nominee. I 
have looked through your background. I note that, among other 
things, you belong to a group in Corpus Christi called the Mus- 
tangs. Tell me about the Mustangs. I assume this is not an organi- 
zation that discriminates or would in any way disqualify you from 
serving on the court of appeals. 

TESTIMONY OF FORTUNATO BENAVTOES, AUSTIN, TX, TO BE 
U.S. CIRCUIT JUDGE FOR THE FIFTH CIRCUIT 

Judge Benavides. No. I think there are some that might come 
from the name Mustangs, and I can assure you that you needn't 
worry about that. Actually, the Mustangs of Corpus Christi, to 
which I formerly belonged, is a very loose service association. I did 
not apply for that position, but you just get asked to join a club 
or an association of people that get together, donate food, cook food 
and serve food for non-profit educational or charitable organiza- 
tions. It owns no facilities, no clubs, no swimming pools, no res- 
taurants or dining halls or anything of that nature. 

QUESTIONING BY SENATOR SIMON 

Senator SiMON. All right. My staff has just handed me a note 
that we are going to have a roUcall vote in about 15 minutes, so 
I am going to be very brief. That may be a break for both you and 
Mr. Castillo here. 

Let me ask the question that Senator Specter asked the previous 
nominee. Why do you want to become a Federal judge? 

Judge Benavides. That is a very good question. Senator. I have 
had the good fortune and the honor to have served on various 
courts in the State of Texas — county court, district court, court of 
appeals, and then on the State's highest court, the court of last re- 
sort in criminal matters. I enjoyed the work. I feel competent in 
doing that work, and it also provides an avenue for a deep sense 
of feeling or commitment that I have toward serving my people, my 
community and my country, and it provides just a fantastic avenue 
by which I can fulfill that drive or desire, whatever one might call 
that. 

Senator SiMON. I just received a letter from a Federal judge in 
the Central District in Illinois, Judge Harold Baker, who said that 
he was going to request to go on senior status, and he says that 
as I look for his successor I ought to be looking for someone who, 



16 

among other things, is sensitive to those less fortunate. I couldn't 
agree more. That is one of the things that is important. 

Obviously, the law has to be applied regardless, but that sen- 
sitivity does make a difference in the kind of judge you are, wheth- 
er it is on the court of appeals or a district judge. What in your 
background suggests that you have that sensitivity? 

Judge Benavides. Well, we can start probably with my father, 
who was bom in Mexico and came to this country to work and 
fought in World War II and was wounded. It makes it very difficult 
to forget your roots when you are still so close to the ground. I have 
worked with juveniles, devoted much of my time to working with 
children. I have had support in my campaigns from ethnic organi- 
zations, from women's organizations. 

I am from south Texas, Senator Simon, the deep part of south 
Texas, and it is a very political area. It is over 80 percent Hispanic 
and politics plays a great part in daily lives. People read the papers 
and know who their politicians are and know what the issues are, 
and there is always — ^you grow up with the idea of don't forget who 
you are, and I don't think that I have forgotten who I am. I don't 
think that I can ever forget who I am or where I come from and 
the roots that I have. 

Senator SiMON. Senator Specter? 

QUESTIONING BY SENATOR SPECTER 

Senator Specter. You had been a State court judge? 

Judge Benavides. Yes, Senator. 

Senator SPECTER. And why did you leave that position? 

Judge Benavides. Well, if you are talking about the last State 
court position, I did not make that decision, Senator. The people of 
the State of Texas made that decision when I was on the court of 
criminal appeals and I lost a statewide race. 

Senator Specter. That probably speaks to your credit. [Laugh- 
ter.] 

Senator Simon I don't think has lost as many elections as I have, 
so he really wouldn't understand it as well as I do. 

Senator SiMON: Well, I have experienced that, too. 

Senator Specter. That sounds like a solo loss, the way he said 
it. 

I do not know the details of your judicial service. How long were 
you on the State bench? 

Judge Benavides. Senator, I was — a little over 15 years. I served 
at every level. I was a county court at law judge, which is a trial 
court judge for misdemeanors. 

Senator SPECTER. From 1981 to 1984? 

Judge Benavides. Right. Then I was a district court judge, which 
is the highest trial court bench, civil and criminal, and then I was 
on the court of appeals in Corpus Christi, which was a direct appel- 
late court for civil and criminal cases, for approximately 6V2 years, 
and then the court of criminal appeals for almost 2 years, which 
was a 

Senator Specter. Is that the one that you stood for election and 
lost? 

Judge Benavides. Yes. That is a court of last resort in criminal 
cases. 



17 

Senator SPECTER. Well, I have seen your electoral process in 
Texas and I have wondered about it. The Pennsylvania Supreme 
Court has been a source of national and international wonderment 
as to what goes on in our court. I hope some day we can take State 
court judges out of elective politics. 

The fifth circuit certainly is a prestigious and very, very impor- 
tant court. With a very limited number of grants of cert, the courts 
of appeals have realistically become the court of last resort on mat- 
ters of enormous importance. 

I received a letter from a high school classmate of mine, an attor- 
ney in Kansas, Gene Balloun, which I would like to make part of 
the record, Mr. Chairman. 

Senator Simon. It will be entered in the record. 

[The letter referred to follows:] 

Law Offices, 
Shook, Hardy & Bacon P.C, 
Overland Park, KS, March 1, 1994. 

Hon. Arlen Specter, 
U.S. Senate, 
Washington, DC. 

Dear Arlen: The Senate Judiciary Committee will soon be considering the nomi- 
nation of F.P. (Pete) Benavides for appointment as a judge of the Court of Appeals 
for the Fifth Ciroiit. I would like to give my wholehearted endorsement to Judge 
Benavides, and iirge you to support his appointment. 

I did not know Judge Benavides until this past year. However, we have both been 
representing defendants in some extremely complicated litigation in Texas. As a re- 
sult of these encounters, I have had an opportunity to observe his Utigation skills, 
demeanor and judgment. 

In my opinion. Judge Benavides will make an outstanding appellate judge. He is 
well qualified by virtue of his extensive judicial experience. More importantly, he 
has the character and temperament to make an outstanding judicial officer. 

Judge Benavides did not ask me to write this letter. I called him and offered to 
do so, since I have been so impressed with his abilities. 

Many thanks for your consideration. 
Sincerely, 

J. Eugene Balloun. 

Senator Specter. Gene has worked with you on a case where 
you were working on the same case representing defendants. He 
described it as complex litigation, and Gene Balloun is an outstand- 
ing man. He and I went to Russell High School together and I was 
salutatorian. Do you know what that is? 

Judge Benavides. I understand you made some pretty good 
grades. Senator. 

Senator Specter. Well, salutatorian is second, and I only men- 
tion it because Balloun was valedictorian, which is first. So my last 
question for you is what kind of a lawyer is Gene Balloun? [Laugh- 
ter.] 

You don't have to answer that. 

Judge Benavides. He is an excellent lawyer. 

Senator Specter. Thank you very much. Thank you, IVIr. Chair- 
man. 

Senator SiMON. Your appearance here evoked the information we 
did not have until this point — that Arlen Specter was salutatorian 
of his high school class. [Laughter.] 

Senator Specter. I don't ordinarily like to admit that, but to fin- 
ish second to Balloun is not too bad. 



18 

Judge Benavides. I will tell him that you said that. We are still 
involved in that litigation, by the way. 

Senator SiMON. We wish you the very best, judge. Thank you 
very much. 

Judge Benavides. Thank you. 

Senator SiMON. Mr. Castillo? First, I want to mention, Mr. 
Castillo, the American Bar Association's Standing Committee on 
the Federal Judiciary unanimously gave you a "well qualified" rec- 
ommendation, which is — and I don't mean this disrespectfully to 
any other nominees — ^but it is exceptional for us to receive that, 
and that is to your credit. 

Let me ask the question that Senator Specter asked. Why do you 
want to become a Federal judge? 

TESTIMONY OF RUBEN CASTILLO, CHICAGO, EL, TO BE U.S. 
DISTRICT JUDGE FOR THE NORTHERN DISTRICT OF ILLINOIS 

Mr. Castillo. Well, Senator, in my career I have had the privi- 
lege of serving various clients from all walks of life, from some of 
the corporate 100 organizations to individuals who had literally no 
assets, and I have always enjoyed the role of being the advocate for 
those clients, but I really came to a conclusion that I would like 
to have only one client from now on, and that client being justice, 
per se, and that is why I want to be a Federal district court judge. 

I believe that given the variety of litigation assignments and ex- 
periences that I have had that that is the best place for me to serve 
the country at this point, and I really enjoyed public service from 
my 4 years as an assistant U.S. attorney in Chicago. 

QUESTIONING BY SENATOR SIMON 

Senator SiMON. You served on a group called the Civil Justice 
Reform Act Advisory Group. 

Mr. Castillo. That is correct, sir. 

Senator SiMON. I just read the Wall Street Journal reported on 
a case. I know nothing other than the Wall Street Journal article 
about this case and I don't mean to comment on the case other 
than just to ask a question about what they say. There was a 
woman named Irene Geschke who filed a civil lawsuit in the Fed- 
eral court in the Northern District in lUinois in 1979. That case 
has been continued now for 15 years. Nine scheduled trial dates 
have come and gone; 530 motions, hearings, memorandums, and 
orders have occurred. 

Do we face a special problem in the Northern District of Illinois? 
What can we do, and what more specifically can you do as a dis- 
trict judge to see that justice is served? For justice to be served also 
means it sometimes has to be expedited; you can't have cases going 
on for 15 years. 

Mr. Castillo. I agree. I am not familiar with that particular 
case, but from my work with the Civil Justice Reform Act Commit- 
tee in the northern district, we found overall that the court was 
functioning pretty well. However, the court has a huge docket, as 
you well know. There are over 400 cases per every judge in the 
Northern District of Illinois. 

What can we do? Our group basically concluded that we need our 
judges to become managers of cases, that they have to have effec- 



19 

tive docket control systems so that a case as you describe — that 
type of situation becomes an anomaly and just doesn't recur. 
Judges need to know the status of all of their cases and need to 
set orders that expedite discovery and lead to a quick resolution of 
the case, and identify a case as a potential trial or as a case that 
might be resolved somewhat short of a trial. 

So what we basically concluded, without getting into all the spe- 
cifics of our recommendations, is we want our trial judges to be ac- 
tive managers and to get involved in litigation early on; call the 
parties in and find out exactly why it was that a complaint was 
filed in Federal district court, determine whether or not there is 
adequate jurisdiction, and determine where the case is going. Is 
this a case that can be resolved short of trial, or if there is going 
to be a trial, let us talk about realistic dates to get to that point. 

Senator SiMON. Do you think you are a good manager? 

Mr. Castillo. I think I am, based on my experiences at 
MALDEF and my experiences right now in my firm. I have to man- 
age a number of cases, a number of people. I like to be very hands- 
on, and I think those attributes will serve me well if I am con- 
firmed by the Senate. 

Senator Simon. If your son or daughter were to ask you what 
makes a good judge, how would you respond? 

Mr. Castillo. Well, I would start out with the word "p^itience," 
first, and, second, hard work. And, third, courtesy and civility to 
litigants, I think, is especially important. I think every judge 
should treat the litigants in their courtroom and the attorneys the 
way that he or she would want to be treated if they were appearing 
before that judge. I think it is very important that when a litigant 
leaves a judge's courtroom, whether or not they win or lose that 
case, they feel that they received a fair shake on that day. 

Senator SiMON. Senator Specter? 

Senator Specter. Picking up for just a moment on your comment 
about courtesy, when Senator Thurmond is not able to attend a 
nominations hearing, I often ask nominees a question that he 
asked in one of the first hearings I attended back in 1982. There 
were two Pennsylvanians up for U.S. district court and Senator 
Thurmond said, do you promise to be courteous, in his Southern ac- 
cent. 

I thought to myself, what a meaningless question that is. What 
is anybody going to say if you ask them, do you promise to be cour- 
teous? Both nominees said yes, and then Senator Thurmond said, 
because the more power a person has, the more courteous that per- 
son should be. 

I will expect the record to reflect the effort at Senator Thur- 
mond's dialect. [Laughter.] 

I have come to regard that as the wisest thing I have heard in 
14 years that I have been here, not that there is much competition 
around here for the wisest comment that I have heard. We were 
in session yesterday until 3:30 a.m. and last night until 10. We 
might not qualify for a position on any bench an5rwhere. 

But Senator Thurmond's comment was very, very profound, and 
I believe that judges, especially judges with life tenure, tend to for- 
get that very fast. There is a leveling influence if you have to run 
for election, and I am not suggesting that we change the Constitu- 



20 

tion to have Federal judges run every 6 years and have Senators 
sit for Hfe, but this issue of courtesy is really important, really im- 
portant. 

I am unhappy with some of the stories I have heard about some 
of the people whom Senator Heinz and I recommended. People will 
be watching you and the word will get around, so that being cour- 
teous is a very, very, very high calling. Understanding the Securi- 
ties Act and the antitrust implications and the rule against per- 
petuities and the difference between a shifting use and a springing 
use are hard to do, but being courteous is something that you can 
do, but it takes a lot of concentration. 

Mr. Castillo. I completely agree. Senator. I think my mother, 
who is here, has taught me the fundamental rule of treating every- 
one like you would want yourself to be treated. I think she would 
be the first one to remind me if she saw something going on that 
didn't stick to that rule. 

Senator Specter. OK, but she won't be with you all the time. 
[Laughter.] 

Mr. Castillo. No, but she is in spirit. 

Senator Specter. You are lucky to have her. 

Thank you, Mr. Chairman. Thank you. Gk)od luck. 

Mr. Castillo. Thank you, Senator. 

Senator Simon. We thank you. 

Our hearing stands adjourned. 

[Whereupon, at 11:47 a.m., the committee was adjourned.] 

[Submissions for the record follow:] 



21 

SUBMISSIONS FOR THE RECORD 



UNITED STATES SENATE 
COMMITTEE ON THE JUDLCIARY 

\ 
QUESTIONNAIRE FOR JUDICIAL NOMINEES 

I. BIOGRAPHICAL IK70RMATI0M (PUBLIC) 

1. Full name (include any former names used). 

Audrey B. Collins 

Maiden neune Audrey Anne Brodie 

2. Address: List current place of residence and office address. 

Current residence: 
Beverly Hills, CA 

Work address: 

Office of the Los Angeles County District Attorney 

18-201 Criminal Courts Building 

210 West Temple Street 

Los Angeles, CA 90012 

3. Date and place of birth. 

June 12, 1945 
Chester, PA. 

4. Marital Status. List spouse's occupation, employer's name 
and business address. 

Married to Timothy R. Collins since June 30, 1967. 

Spouse's occupation: Dentist 

Spouse's Present Employer and business address: (8/1990 - 

present) 
Los Angeles County Department of Health Services 
Dr. Ruth Temple Health Center 
3834 South Western Avenue 
Los Angeles, CA 90062 



22 



5. Education ; List each college and law school you have 
attended, including dates of attendance, degrees received, 
and dates degrees were granted. 

Howard University, Washington, D.C. 

9/63-6/67 

B.A, in Political Science (1967) 

American University, Washington, D.C. 

9/67-1/69 

M.A. in Government and Public Administration (1969) 

U.C.L.A. Law School, Los Angeles, CA 

9/74-6/77 

Juris Doctor (1977) 

6. BTn plQvment Record : List (by year) all business or 
professional corporations, companies, firms, or other 
enterprises, partnerships, institutions and organizations, 
nonprofit or otherwise, including firms, with which you were 
connected as an officer, director, partner, proprietor, or 
employee since graduation from college. 

Summer Clerk, Agency for International Development, 

Washington, D.C. 7/67-8/67; 

Teacher, Dunbar High School, Washington, D.C. School System, 

1/69-6/69; 

Substitute teacher, Vigo County, Indiana School System, 

9/69-6/70; 

Assistant Director, Manual High School-University of 

Northern Colorado Model Cities Project, Denver, Colorado, 

9/70-9/71; 

Substitute teacher at John Adams Junior High School, Los 

Angeles Unified School District, 5/72-6/72; 

Director, Norman Topping Student Aid Fund, University of 

Southern California, 9/72-8/74; 

Assistant Attorney, Legal Aid Foundation of Los Angeles, 

10/77-1/78; 

Deputy District Attorney (Now Assistant District Attorney) , 

Los Angeles County District Attorney's Office, 1/78-present. 

As part of my current position as Assistant District 
Attorney, I have responsibilities for the Bureau of Crime 
Prevention and Youth Services. In this connection, I am an 
officer with the following non-profit foundations organized 
recently to seek possible private funding for our community 
outreach efforts: 

Advisor, Special Assistance to Victims in Emergency (SAVE), 
a non-profit foundation of the Los Angeles County District 
Attorney's Office, 1992-93. 



23 



Secretary, Los Angeles County District Attorney's Foundation 
(non-profit), 1993. 

President, Los Angeles County District Attorney's Crime 
Prevention Foundation (non-profit), 1993. 

Military Service ; Have you had any military service? If 
so, give particulars, including the dates, branch of 
service, rank or rate, serial number and type of discharge 
received. 

No. 



8- Honors a nd Awards ; List any scholarships, fellowships, 

honorary degrees, and honorary society memberships that you 
believe would be of interest to the Committee. 

Honors ; 

Langston Bar Association Lawyer of the Year, 1988 

Honoree, Howard University Alumni Club of Southern 

California, 1989 

Woman of the Year, Howard University, 1967 

Who's Who in American Colleges & Universities, 1967 

Academic Distinctions: 

Order of the Coif, 1977 

Phi Beta Kappa, 1967 

Dean's List, Howard University (1963-67) 

Dean's List, American University (1968-1/69) 

Four-year Academic Scholarship, Howard University, 1963-67 

9' Bar Associations; List all bar associations, legal or 

judicial-related committees or conferences of which you are 
or have been a member and give the titles and dates of any 
offices which you have held in such groups. 

Current Bar Associations & Professional S ocieties : 

State Bar Committee of Bar Examiners since June, 1991; 
Chair, Sub-Committee on Moral Character, 1992-93; Co-Chair, 
Sub-Committee on Moral Character, 1993-94 

Black Women Lawyers of Los Angeles County 

Trustee, Langston Bar Association of Los Angeles 

National Bar Association 

California Women Lawyers 

3 



24 



Women Lawyers of Los Angeles 

Los Angeles County Bar Association 

Los Angeles County Bar Judiciary Committee, 1985-present 

California District Attorneys' Association 

The following are significant oast chairmanships and 
memberships on Bar committees, professional societies or 
commissions; 

Deputy General Counsel, Office of the Special Advisor to the 
Los Angeles Police Department Board of Commissioners, 
(Hebster-Williiuns Commission) , appointed to investigate the 
L.A.P.D. response to the April, 1992 civil disorders in Los 
Angeles, 1992 

Los Angeles County Bar Board of Trustees, 1989-91 

- Member, Los Angeles County Bar Judicial Appointments 
Committee, 1988-91 

Member, Los Angeles County Bar Litigation Section, Inn of 
Court, 1990-91 

Chair, Executive Committee, State Bar Criminal Law Section, 
1987-88; Advisor to the Executive Committee, 1988-90 

Member, Executive Committee, Los Angeles County Bar 
Association Delegation to the State Bar Annual Meeting, 
1986-89 

Chair, Los Angeles County Bar Criminal Justice Section, 
1986-87 
»« 

President, Association of Los Angeles County Deputy District 
Attorneys , 1984 

10. Other Memberships ; List all organizations to which you 
belong that are active in lobbying before public bodies. 
Please list all other organizations to which you belong. 

I believe the following organizations to which I belong 
lobby before the California State Legislature; 
State Bar of California (mandatory bar association) ; Los 
Angeles County Bar Association; California District 
Attorneys Association; California Women Lawyers; Women 
Lawyers of Los Angeles; National Bar Association; Parent- 
Teacher Association. To the best of my knowledge, I do not 



26 



belong to any other orqanizations, with the exception of the 
additional Bar associations listed in the response to /9. 

11. Court Admission ; List all coiurts in which you have been 
admitted to practice, with dates of admission and lapses if 
any such memberships lapsed. Please explain the reason for 
any lapse of membership. Give the same information for 
administrative bodies which require special admission to 
practice. 

California Bar, 12/1977 

United States District Court, Central District of 

California, 4/20/1982 

12. Published Writings ; List the titles, publishers, and dates 
of books, articles, reports, or other published material you 
have written or edited. Please supply one copy of all 
published material not readily available to the Committee. 
Also, please supply a copy of all speeches by you on issues 
involving constitutional law or legal policy. If there were 
press reports about the speech, and they are readily 
available to you, please supply them. 

I am enclosing three articles which I wrote in 1987, 1988, 
and 1990, respectively, for newsletters published by the 
State Bar of California. Two were written in 1987 and 1988 
for Criminal Law News in my capacity as Chair of the State 
Bar Criminal Law Section. The third article appeared in the 
August, 1990 issue of The Minority Lawyer , published by the 
State Bar's Ethnic Minority Relations Committee. 

13. Health ; What is the present state of your health? List the 
date of your last physical examination. 

Excellent. My most recent physical examination was on 
August 6, 1993. 

14. Judicial Office ; State (chronologically) any judicial 
offices you have held, whether such position was elected or 
appointed, and a description of the jurisdiction of each 
such court. 

None. 

15. Citations ; If you are or have been a judge, provide: (1) 
citations for the ten most significant opinions you have 
written; (2) a short summary of and citations for all 



26 



appellate opinions where yoiir decisions were reversed or 
where your judgment was affirmed with significant criticism 
of your substantive or procedural rulings; and (3) citations 
for significant opinions on federal or state constitutional 
issues, together with the citation to appellate court 
rulings on such opinions. If any of the opinions listed 
were not officially reported, please provide copies of the 
opinions. 

Not applicable. 

16. Public Office ; State (chronologically) any public offices 
you have held, other than judicial offices, including the 
terms of service and whether such positions were elected or 
appointed. State (chronologically) any unsuccessful 
candidacies for elective public office. 

I 2UD a member of the California State Bar Committee of Bar 
Examiners, a position to which I was appointed by the State 
Bar Board of Governors. 

In 1992, I was also appointed as a Deputy General Counsel to 
the Office of the Special Advisor to the Los Angeles Police 
Department (LAPD) Board of Commissioners (Webster-Williams 
Commission) , appointed to ascertain the nature of the Los 
Angeles Police Department's response to the April, 1992 
civil unrest in Los Angeles. The Commission interviewed 
over 400 people, conducted a telephone survey, and held 
meetings to assist in its determination of the effectiveness 
of the LAPD's level of preparation. I was one of four 
Deputy Counsel supervising an attorney team of la%ryers whose 
responsibility was to conduct interviews of LAPD personnel. 
In addition to describing and assessing the LAPD's response 
to the civil unrest, the Commission made recommendations 
designed to assist both the LAPD and the entire City of Los 
Angeles in efforts to improve emergency preparedness. In 
brief, the Commission recommended that the LAPD strengthen 
its emphasis upon basic patrol duties, that the LAPD and Los 
Angeles City as a whole pay increased attention to emergency 
response planning and training, and that the emergency 
operations center and communications systems for the LAPD 
and the City of Los Angeles be modernized. 

17. Legal Career ; 

a. Describe chronologically your law practice and 

experience after graduation from law school including: 



27 



1. Whether you served as clerk to a judge, and if so 
the name of the judge, the court, and the dates of 
the period you were a clerk: 

No clerkship. 

2. Whether you practiced alone, and if so, the 
addresses and dates: 

No solo practice. 

3. The dates, names and addresses of law firms or 
offices, companies or governmental agencies with 
which you have been connected, and the nature of 
your connection with each: 

1) Legal Aid Foundation of Los Angeles (UiFLA) 
9/77-12/77 ' 

Administrative address: 
1550 West Eighth Street 
Los Angeles, CA 90017 

Assistant Attorney (Agency's title for a law 
school graduate who has not been sworn in as 
an attorney) 

2) Los Angeles County District Attorney's Office 
1/78 to present 

210 West Temple Street, Los Angeles, CA 90012 
1/78-6/87: Deputy District Attorney 
6/87-10/88: Head Deputy, Torrance Branch 

Office 
10/88-12/92: Assistant Director, Bureaus of 

Central Operations and Special 

Operations 
12/92-present: Assistant District Attorney, 
one of three highest ranking administrators 
in an office of approximately 900 deputy 
district attorneys. 

b. 1. What has been the general character of your law 
practice, dividing it into periods with dates if 
Its character has changed over the years? 

I practiced criminal law as a deputy district 
attorney in court until June, 1987. I served in 
preliminary hearing, misdemeanor and juvenile 
prosecution units. I also negotiated cases in the 
Consumer and Environment Protection Division from 
July, 1980 until April, 1983. I was the Grand 
Jury Legal Advisor for two years from April, 1983 
to June, 1985. My next assignment was as a 



28 



calendar deputy in the Central Operations Division 
fron July, 1985 to June, 1987. 

From June, 1987 until October, 1988, I was the 
Head Deputy of the Torrance Branch office of the 
District Attorney's Office. I was an Assistant 
Director with oversight of criminal law divisions 
froB October, 1988 until December 7, 1992. As a 
Head Deputy I approved charging decisions and 
dispositions in major cases in the Torrance Branch 
of the District Attorney's office. As an 
Assistant Director, I participated in broader 
policy-medcing issues, although I still made 
decisions as to the filing, scope of, and 
disposition of, major cases in the criminal 
bureau . 

Since December 7, 1992, I have been the third 
highest administrator and the highest ranking 
woman of color in the Los Angeles County District 
Attorney's office, which is the largest local 
prosecutorial office in the nation with 
approximately 900 attorneys. Although the 
District Attorney's office is predominantly a 
criminal law office, I am cxirrently supervising 
child support policies and procedures in the 
Bureau of Family Support. I also oversee the 
Bureau of Management and Budget and the Bureau of 
Crime Prevention and Youth Services. 

In addition, I have responsibility for all 
Employee Relations decisions within the 
department. This includes oversight of 
disciplinary matters and departmental 
implementation of the Americans with Disabilities 
Act. I conduct Skelly hearings f Skellv v. State 
Personnel Bd. (1975) 15 Cal.3d 194) in 
disciplinary matters involving deputy district 
attorneys, and make litigation decisions on 
matters before the Los Angeles County Civil 
Service Commission. 

2. Describe your typical former clients, and mention 
the areas, if any, in which you have specialized. 

Since being sworn in as an attorney in December, 
1977, I have represented one client — the People of 
the State of California. As described above, I 
have specialized in criminal law. Of particular 
interest were my assignments to the Consumer and 
Environment Protection Division, and am Legal 
Advisor to the Los Angeles County Grand Jury. I 

8 



29 



c. 



have been in increasingly responsible managenent 
positions since June, 1987, and am now one of two 
Assistant District Attorneys. 

Did you appear in court frequently, occasionally, 
or not at all? If the frequency of your 
appearances in court varied, describe each such 
variance, giving dates. 

As stated above in 17.b.l., I appeared in criminal 
courts on a regular basis from January, 1978 until 
June, 1987 (when I beceuae the Head Deputy of the 
Torrance Branch) with the exception of the 
following periods: 

7/80-4/83: Assignment to Consumer and Environment 
Protection Division. (I appeared in civil court 
infrequently, and then often before a Commissioner 
who accepted stipulated judgments.) 

4/83-6/85: Advisor to the Los Angeles County 
Grand Jury. 

Vfhat percentage of these appearances was in: 

(a) federal courts; 

(b) state courts of record; 

(c) other courts. 

My appearances were in state courts of record 
100% of the time. 

What percentage of your litigation was: 

(a) civil 

(b) criminal 



My litigation was 100% civil from July, 1980 
through April, 1983, consisting of lawsuits 
brought under California Business and 
Professions Code Sections 17200 (unfair 
business practices) and 17500 (false 
advertising) . 

From January, 1978 through June, 1980 and 
from April, 1983 through June, 1987, my 
litigation was 100% criminal. 

State the number of cases in courts of record you 
tried to verdict or judgment (rather than 
settled) , indicating whether you were sole 
counsel, chief counsel, or associate counsel. 



30 



I estimate that I tried approximately 200 criminal 
cases to verdict, including misdemeanor jury 
trials, misdemeanor and felony juvenile 
adjudications (all of which are Superior Court 
non-jury trials) , and felony adult court and jury 
trials. I was sole counsel in all criminal cases. 

5. What percentage of these trials was: 

(a) jury 

(b) non-jury. 

Of my Superior Court adult trials, I estimate that 
90% were jury and 10% non-jviry trials. All 
juvenile court adjudications (estimating five per 
week for nine months) were non-jury Superior Court 
matters. To the best of my knowledge, my 
misdemeanor trials were jury trials. 

18. Litigation ; Describe the ten most significant litigated 

matters which you personally handled. Give the citations, 
if the cases were reported, and the docket number and date 
if unreported. Give a capsule summary of the substance of 
each case. Identify the party or parties whom you 
represented; describe in detail the nature of your 
participation in the litigation and the final disposition of 
the case. Also state as to each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge or 
judges before whom the case was litigated; and 

(c) the individual name, addresses, and telephone numbers of 
co-counsel and of principal counsel for each of the other 
parties. 

As a criminal trial lawyer, I gained invaluable experience 
by litigating and resolving the variety of cases that are 
part of the daily case load in the do*mtown criminal courts. 
Although these were not high-publicity cases, I consider my 
experience as a calendar deputy and regular trial deputy to 
be among my most valuable assignments. 

In each of the eight criminal lawsuits listed below, I was 
the trial attorney for the Los Angeles County District 
Attorney's Office, representing the People of the State of 
California. I was co-counsel in the civil lawsuits listed 
as cases 9 and 10. All eases were litigated in the Los 
Angeles County Superior Court. 

1. People v. Michael Ivevs 
Case Number: A772038 
Charge: P.C. 211 (Robbery) 
Judge: The Honorable Philip F. Jones (retired) 

10 



31 



Defense Attorney: John Martinez, Office of the Public 

Defender, Rio Hondo Office, 11234 
East Valley Blvd., El Monte, CA 
91731; (818) 575-4174 

Date of Verdict: January 24, 1986 

Facts of case : The victim was walking in an alley 
behind a downtown hotel when he was approached and 
beaten by three individuals, one of whom was the 
defendant. The defendant took the victim's wallet. 
Two witnesses from the hotel came to the aid of the 
victim and held the defendant for police. The other 
two assailants escaped. 

The jury convicted the defendant of robbery. He was 
sentenced to three years in State Prison. 

2. People V. Cecil Turner 
Case Number: A772155 
Charge: 3 counts P.C. 245(a) 

(Assault by means of force likely to produce great 
bodily injury and with a weapon.) 
Judge: The Honorable Charles Older (retired) 
Defense Attorney: James Goldstein 

6454 Van Nuys Blvd., Van Nuys, CA 91401; 
(818) 785-5553 
Date of Verdict: February 12, 1986 

Facts of case : The defendant was charged with three 
counts of assault with a deadly weapon against the 
three victims, who were brothers. The three brothers, 
young men in their 20' s, testified that the defendant 
pulled two ki .ves on one brother, and that all three 
brothers eventually disarmed the defendant. One 
brother was cut on his hand. However, the defendant 
himself sustained fairly serious injuries, including 
torn tendons on one arm. The victims never admitted 
that they had inflicted these wounds on the defendant, 
despite the presence of medical records. 

The jury found the defendant not guilty. 

3. People V. Cornelius Fredericks Banks 
Case Number: A769521 

Charge: P.C. 245(a) 

(Assault by means of force likely to produce great 
bodily injury and with a deadly weapon.) An 
enhancement of great bodily injury was also 
charged . 

Judge: The Honorable Robert Altman 

Defense Attorney: Albert E. Hopkins 



11 



32 



1324 Wlerfleld Dr., Pasadena, CA 91105; (818) 
931-1567 
Date of Verdict: April 23, 1986 

Facts of Case ; In July, 1985, the victim was walking 
with a girlfriend when the defendant, her estranged 
boyfriend, approached her and allegedly slashed her 
face with a knife. The victims 's credibility was 
successfully attacked on several major issues during 
the trial. The jury returned a not guilty verdict. 

People V. Larrv Charles McKiever 

Case Number: A781270 

Charge: P.C. 290(b), 211; V.C. 10851 

(Kidnapping for robbery, robbery, taking an 
automobile without the owner's consent.) 

Judge: The Honorable Paul Boland 

Defense Attorney: George S. Clark 

880 West 1st Street, Los Angeles, CA 90012; 
(213) 617-8128 

Date of Verdict: August 1, 1986 

Facts of case : The defendant, along with another 
suspect, jumped into the car driven by the 40-year-old 
female victim. They forced her to drive from dovmtown 
Los Angeles to South Central Los Angeles, where they 
forced her from her car, took her wallet and her car, 
and left her. The defendant was arrested driving the 
victim's car two days later. 

The jury found the defendant guilty of all charges. He 
was sentenced to State Prise for life and to a five 
year enhancement for a prior conviction. 

People V. Anthony Carl Roger; 
Case Number: A782730 
Charge: P.C. 211 (Robbery) 

Enhancement charging ue<. of a knife was also 

filed. 
Judge: The Honorable Miriam Vogel 
Defense Attorney: Edward N. Mizrahi 

Mizrahi & Geffen, ^930 La Cienega Blvd., 
#519, Inglewood, O 90301; (310) 216-0660 
Date of Verdict: August 18, 1986 

Facts of Case ; The defendant, acting with a juvenile 
co-suspect, cornered the victim, a mother out with her 
baby and her young daughter. The defendant allegedly 
brandished a knife and demanded money. He struck the 
victim twice in the face when she was too slow in 
giving him money. 



12 



SB 



The jury found the defendant guilty of robbery. It did 
not return the enhancement. The defendant was 
sentenced to five years In State Prison. 

6. People V. Jeffrey Forest Huahea 
Case Number: A779204 
Charge: P.C. 187 (Murder) 

It was also alleged that the defendant personally 
used a firearm. 
Judge: Commissioner Ronald Hauptman 
Defense Attorney: Albert DeBlanc 

DeBlanc & Alexander, 5750 Wilshire Blvd., 
/555, Los Angeles, CA 90036; (213) 965-0949 
Date of Verdict: January 29, 1987 

Facts of case; At 2:00 a.m. one morning, the victim 
and his friend drove in the friend's car to an area 
where they had heard they could purchase cocaine. A 
group of several people, including the defendant, 
flagged them down. After some preliminary discussions 
over the price of the cocaine, the defendant fired 
several shots into the car at the victim, who was in 
the passenger seat, and his friend. The victim was 
shot five times. Although his friend drove straight to 
a hospital, the victim died from multiple gunshot 
wounds. The People presented eyewitness testimony 
which placed the defendant at the scene with a weapon. 

The jury returned a verdict of second degree murder. 
The defendant was sentenced to State Prison for 15 
years to life plus 2 years for the enhancement alleging 
use of a gun. 

7. People V. Horace Butler 
Case Number: A781930 
Charge: 1-3 counts H.S. 11352 (Sale of cocaine) 

2 - H.S. 11379.6 (a) (Manufacture of a 

controlled substance other than P.C. P. 
Judge: The Honorable Robert Roberson 
Defense Attorney: Herbert Barish 

1007 So. Central, /208, Glendale, CA 91204; 

(818) 242-7400 
Date of Verdict: March 17, 1987 

Facts of c^g^i The defendant was charged with three 
counts of sale of cocaine to an undercover officer in 
1986. The undercover officer also watched the 
defendant process a piece of rock cocaine. The jury 
found the defendant guilty on all four counts. He was 
sentenced to four years in State Prison, which was 
suspended, and to probation and county jail. 



13 



34 



8. People V. Julv T. Dv 
Case Number: A 781903 

Charge: 1 coiint P.C. 487.1 (Grand theft of personal 

property . 

9 counts I.e. 556(a)(4) (Preparing fraudulent 

insurance claims) 
Judge: The Honorable Charles Older (retired) 
Defense Attorney: Donald R. Schindler 

Combell, Ack & Driscoll, P.O. Box 1065, 

Placerville, CA 95667; (916) 622-2992 
Date of Verdict: April 8, 1987 

r^tcta of case ; This was a fairly complicated insurance 
fraud case. The total loss suffered by the insurance 
company was approximately $26,000.00. The defendant, a 
medical doctor and surgeon, applied for a disability 
Insurance policy in 1976 in Indiana. He then moved to 
California, where he had both a private practice and, 
eventually, full-time employment with the Los Angeles 
County Department of Health Services. In 1984, the 
defendant became infected with hepatitis and was in 
fact for a time unable to do surgery because of the 
danger of contaminating patients. Subsequently, the 
defendant contacted his insurance company. The 
insurance company knew the defendant had a private 
practice. However, he never disclosed to the insurance 
company that he was an employee of the Los Angeles 
County Department of Health Services. 

The defendant submitted monthly claims for full 
disability and collected monthly payments without 
revealing that he was working as a full-time employee 
of the Department of Health Services. 

The jury convicted the defendant of all ten counts. He 
was sentenced to three years probation and payment of 
full restitution plus applicable fines and assessments. 

9. People of the Stat P- of California vs. Southern 
California Edison 

Case Number: C372982 

Charge: Civil prosecution for violation of Business 
and Professions Code Section 17200. 

Judge Approving Stipulated Judgment: Judge Pro Tempore 
Clinton Rodda 

Co-Counsel: Deputy District Attorney, now Head 
Deputy, John F. Lynch, Santa Monica 
Branch Office, 1725 Main St., Santa 
Monica, CA 90401, (310) 458-5341. 

Defense Attorney: Mark E. Mikulka 

So. Calif. Edison Co., 2244 Walnut Grove 
Avenue, Rosemead, CA 91770; 

14 



35 



(818) 302-3272 
Date of Stipulated Judgment: June 30, 1981 

Facts of case : This was a non-litigated but 
significant civil case which resulted in a Stipulated 
Final Judgment. As a civil litigator in the Consumer 
and Environment Protection Division, I was one of two 
attorneys assigned to a 1981 civil prosecution against 
Southern California Edison (SCE) , which provides 
electricity for Southern California. 

SCE used transformers which contained polychlorinated 
biphenyl ("PCB") , a substance regulated as a hazardous 
waste under Health and Safety Code Sections 21500 et 
sea . The PCBs were contained primarily in 
transformers, which occasionally ruptured or leaked, 
resulting in accidental spills of PCB. SCE failed to 
clean up the spills in accordance with the Health and 
Safety Code sections governing the handling and 
disposal of hazardous waste. In addition, SCE 
transported the material from the spills to hazardous 
waste facilities; however, SCE did not register as a 
hauler of hazardous waste as required by the Health and 
Safety Code Section. The District Attorney's office 
alleged that both SCE's failure to effectively clean 
the PCB spills and its failure to register as a 
hazardous waste hauler constituted unlawful business 
practices in violation of Business and Professions Code 
Section 17200. 

Several months of negotiations with SCE culminated in 
the June 30, 1981 filing of a Complaint and Stipulated 
Final Judgment which contained the largest civil 
judgment and costs ($85,400) negotiated to that date by 
the Consumer and Environment Division. The Attorney 
General joined in the Judgment, but all case 
negotiations were handled by DDA Lynch and me. The 
Final Judgment also contained an injunction which 
required Southern California Edison to notify the State 
Department of Health Services by the end of the first 
business day following the spill, to notify customers 
near the spill within twenty-four hours after the 
spill, and to clean up every spill site in accordance 
with all federal standards and further orders from the 
State Department of Health Services. 

10. People of the State of California vs. Giorgio. Inc. 
Case Number: L.A. Superior Court C412556 
Charge: Civil prosecution for violation of Business t 

Professions Code Section 17200. 
Judge Approving Stipulated Judgment: Judge Pro Tempore 

Bertrand D. Mouron 

15 



36 



Co-Counsel: DDA (now Head Deputy) John F. Lynch, 
1725 Main Street, Santa Monica, CA 
90401; (310) 458-5341. 
Defense Counsel: David Birnbaum (then with Gibson, 

Dunn & Crutcher) ; University of CA, 
Berkeley, Office of General 
Counsel, 291 Boa It Hall, Berkeley, 
CA 94720-2499; (510) 987-9725 
Date of Stipulated Judgment: Nay 28, 1982 

Facts of case ; Following service of simultaneous 
search warrants at several Beverly Hills shops, DDA 
John Lynch and I alleged unfair business practices 
under Business fc Professions Code Section 17200 against 
several Beverly Hills retail stores which sold 
pocketbooks, belts, and other items made from 
endangered species in violation of California Penal 
Code Section 653 (o). Negotiations resulted in the 
filing of Stipulated Final Judgments as to all the 
retailers. One such judgment was reached with Giorgio, 
Incorporated, which paid $7,000 in civil penalties and 
costs and was subject to an injunction requiring 
compliance with Penal Code Section 653 (o). 

19. Legal Activities : Describe the most significant legal 
activities you have pursued, including significant 
litigation which did not progress to trial or legal matters 
that did not involve litigation. Describe the nature of 
your participation in this question. Please omit any 
information protected by the attorney-client privilege 
(unless the privilege has been waived.) 

The most significant legal activities which I have pursued 
include my criminal trial work, my civil litigation in 
consumer and environment protection, my assignment as the 
Legal Advisor to the Grand Jury, and the legal activities in 
which I have been involved since becoming Assistant Director 
and now Assistant District Attorney. 

As a civil litigator in the Consumer and Environment 
Protection Division, I gained valuable civil pre-trial 
litigation and negotiating experience with cases in the 
consumer and environmental protection area. One of the 
consumer protection cases I handled was People v. La 
Victoria Foods. Inc. . Los Angeles Superior Court C355633. 
This was a negotiated Final Judgment including $40,000 in 
civil penalties and costs against La Victoria Foods, a local 
manufacturer of salsas and sauces, for unfair business 
practices under Business and Professions Code Section 17200. 
The violations arose from unsanitary conditions at La 



16 



37 



victoria's food processing plant in violation of the Health 
and Safety Code. 

During ay tern as Grand Jury Legal Advisor, the Grand Jury 
heard some of the most coaplex cases ever handled by the Los 
Angeles County District Attorney's Office, including the 
Twilight Zone case and the McNartin Pre-school nolestation 
case. I also had the opportunity to assist the grand jurors 
in their role of civil oversight of County government. 

As an administrator, I have been involved in a number of 
significant legal activities. While serving as a Head 
Deputy and Assistant Director in three criminal bureaus, I 
had the opportunity to make filing decisions and case 
disposition decisions on the most significant cases within 
those bureaus. 

As Assistant District Attorney since December, 1992, I have 
recently been involved in assisting with budget negotiations 
during what is arguably the most challenging fiscal year in 
Los Angeles County's history. Although this is not a legal 
activity, I have gained invaluable administrative experience 
as well as an understanding of the budgeting process in a 
county government larger than most states. Similarly, I 
supervise the Bureau of Family Support, with its separate 
staff of attorneys and support staff, and its separate 
budget and complex relationships with the federal and state 
government . 

Perhaps of most recent importance was my service as a Deputy 
General Counsel on the Webster-Williams Commission appointed 
to investigate the Los Angeles Police Department (LAPD) 
response to the April, 1992 civil disorders. Our Commission 
worked during the entire summer of 1992 to review the LAPD's 
reaction to the civil uiurest. I was one of four Deputy 
Counsel in charge of an attorney team which interviewed over 
200 LAPD officers, ranging from patrol officers to the then 
Deputy Chief for the Commission. 

In addition to describing and assessing the LAPD's response 
to the civil unrest, the Commission made recommendations 
designed to assist both the LAPD and the entire City of Los 
Angeles in efforts to improve emergency preparedness. In 
brief, the Commission recommended that the LAPD strengthen 
its emphasis upon basic patrol duties, that the LAPD and Los 
Angeles City as a whole pay increased attention to emergency 
response planning and training, and that the emergency 
operations center and communications systems for the LAPD 
and the City of Los Angeles be modernized. 

I am a member of the State Bar Committee of Bar Examiners, 
and have been the Chair of the Subcommittee on Moral 

17 



38 



Character for the past year. Our Subcomnittee conducts 
voluntary interviews of applicants whose backgrounds have 
raised issues which must be resolved before their admission 
to the Bar. This work has proved to be of significant value 
to the State Bar and has been personally rewarding for me. 



18 



39 



ZI. rZHAHCIAL DATA AMD COVFLICT Ot ZMTKRKST (PUBLIC) 

List sources, amounts and dates of all anticipated receipts 
from deferred income arrangements, stock, options, 
uncompleted contracts and other futvire benefits which you 
expect to derive from previous business relationships, 
professional services, firm memberships, former employers, 
clients, or customers. Please describe the arrangements you 
have made to be compensated in the future for any financial 
or business interest. 

When I reach retirement age, I will receive retirement 
income from the Los Angeles County Employees Retirement 
Association (LACERA) and the County of Los Angeles Savings 
Plan (assuming that I remain in those plans) . 
Alternatively, I may "roll-over" my retirement funds into an 
Individual Retirement Account (IRA) within 180 days of 
terminating my employment with the County. I will also 
continue to receive interest income, dividends, and capital 
gain distributions as indicated on my Form AO-10. 

Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the categories 
of litigation and financial arrangements that are likely to 
present potential conf licts-of-interest during yoiir initial 
service in the position to which you have been nominated. 

I would immediately disclose to all litigants the 
potentially conflicting ownership of stocks, bonds, or 
mutual funds, as well as my prior employment with Los 
Angeles County and membership in the Los Angeles County 
Employees Retirement Association (LACERA) and the County of 
Los Angeles Savings Plan (assximing that I remain in those 
plans) . I would indicate whether I considered the 
particular holding to constitute a conflict of interest, and 
would remove myself from any involvement with the case if I 
concluded that either an actual conflict or the appearance 
of a conflict of interest existed. 

I do not anticipate any other sources of potential conflict. 
I will, of course, follow all canons of the Code of Judicial 
Conduct in reference to any potential conflict of interest. 

Do you have any plans, commitments, or agreements to pursue 
outside employment, with or without compensation, during 
your service with the court? If so, explain. 

No. 

19 



40 



4. List sources and amounts of all income received during the 
calendar year preceding your nomination and for the current 
calendar year, including all salaries, fees, dividends, 
interest, gifts, rents, royalties, patents, honoraria, and 
other items exceeding $500 or more. (If you prefer to do 
so, copies of the financial disclosvire report, required by 
the Ethics in Government Act of 1978, may be substituted 
here . ) 

Please see Form AO-10 for sources and amounts of all income 
called for in this question. 

5. Please complete the attached financial net worth statement 
in detail (add schedules as called for) . 

Please see attached. 

6. Have you ever held a position or played a role in a 
political campaign? If so, please identify the particulars 
of the campaign, including the candidate, dates of the 
campaign, your title and responsibilities. 

No. 



20 



41 



FINANCIAL DISCLOSURE REPORT 



Raport Raqulrvd try thm itliic* 
Rafor« Act of 1989, Pub. L. Ko. 
101-194, Movwmbmx 30, 1969 
(S U.S.C.A. App. 6, fSlOl-112) 



1. P«rBO£) Raporclng (L«at 



flzvt, OLlddla loitlal) 



Collins, Audrey B. 



2. Coiu-t or Orgaolzstloa 

United States District Court/ 
Central District of Californi 



3. Oat* of Raport 



1/29/94 



4. Tltla (Artlcla III judgas Indlcata actlva or 

•aaior atatua; Naglatrata judgaa lodlcata 
fall- or part-tiaa) 



Nominee, district court 



Raport Typa ( chack approprlata typa) 

Y Hoialnatlon, Data 1 /?7/94 
Initial Annual Final 



6. Raportlng Parlod 

1/93-1/94 



7. Cbaabara or of flea Addraaa 

L.A. Cbinty District Attctney's Otfioe 

18-333 QrijTiiral GDurts Bailing 

210 ;^5t Triple Street 



e. On uia baala of tba laforaatlon coatalnad in ttala Raport, It 
la. In ay opinion. In coopllanca wltii appllcabla lawa and 
ragulatlona 



Raviawlng Officar Slgnatura 



IMPORTANT NOTES: 77k instructions accompanying this form must be fallowed. Complete all putt, 
efaeddng the NONE box for each sectloo where you have no reportable information. S^ on last poge. 



I. POSITIONS. (Reporting iodividual only, see pp. 7-8 of Instniaions.) 

POSITION NAME OF ORGANIZATION/ENTITY 



□ 



NONE (Ho reportAbla poaltlooa] 



&'^i-a-;Tn- rHf^Hrr Ar^^mpy 



I/TK flncppiss mmr^f IMstrict Attctney 



Pc^icfenr. 



L.A. CtaL T TEv Di3txict Attomg/'s OrinE Prevgiticn Rxrt^tion(nor>-ctD£it)/I993-9 4 



Secrgtarv 



L.A. Oxnt?/ Oistrict Attctng/'s Ftainfeticn (non-crofit), 1993-^ 



II. AGREEMENTS. (Reponmg individual only, see p. 8-9 of Instructions.) 
DATE PARTIES AND TERMS 



(ontirrBd at VIII.) 



Q 



NONE (No raporxable agrasaanta) 



NON-INVESTMENT INCOME. (Reponing individual and spouse; see pp. 9-12 of Instructions.) 



n 



DATE 
(Honoraria only) 



SOURCE AND TYPE 



NONE (Ro reportable non-invsatawnt incoDe) 



nqQ?U..A. mnrYrH.:!t-Hr1- ai-1-nmpy Vg Offi np f.qpin 

(1993) L.A.Cbmtv District Attomg/'s Cffioe (self) 

(1994) L.k.Cnnty rH.gM-ifT Arfnmpy'.g nffirp t<=c^yf\ 

(1997-941 r..A. Cnr*y n=^ . nf Hm1i-h .qFrvimR i;^ajpp) 
(1993) Qxy U.S.A. -Oil royalty (camtnity |-ti4.a.L y) 



GROSS INCOME 
(youis, not spouse's) 



S 106.812 



$U4,'S2 



$ 9,400(ao:rax. ) 

s 



256 



42 



FINANCIAL DISCLOSURE REPORT (confd) 



I of FsTBOD toporxiog 



QpllirB/ Audrey B. 



Data of Raport 



iy29/19*i 



IV. REIMBURSEMENTS and GIFTS - transportation, lodging, food, entertainment. 



Oncludes those u> spouse and dependent children: use the parenthetlcals '(S)" and 'pC)' to Indicate nfotUHt 
iclmbuncments and gifts receiYed by spouse and dependent children, respectively. See pp.Li-15 of InitrDciloas.) 



n 



SOURCE 



DESCRIPTION 



NONE (Ho aucn nporubl* r«l»Mir n — n t» or glfu) 



■ BBIBt 



V OTHER GIFTS, (includes those to spouse and dencodent children; use the parenthetlcals '(S)' u 
Indicate other gifts received by spouse and dependent children, respectively. See pp.l5-li of 



D 



SOURCE 
NONE (HO aucb r«porul>l< «1CC«1 



DESCRIPTION 



and '(PCr *» 
InslnM'hnit ) 

VALUE 



FYgTTf 



VI. LIABILITIES. Oncludes those of spouse and dependent chlldrtn; indicate where appUcable, person responsible 



for liability by usine the parenthetical -(S)' for separate liability of spouse, "(J)" for joint liability of reporting 
individual and spouse, and "(DC)" for liability of a dependent child, ^ee pp.lfr-18 oflnstructions.) 



D 



CREDITOR 



NONE do r«parusi« liusiiitlM) 



DESCRIPTION 



VALUE CODE* 



n-rT«^^n^ >- Hirf^cr- nSiral-im '^TT^arpnral LCSD m-hnrTTMT fTI T i flFrt IrTT I ffT 



26-VEar old sji at V!;ale Law Sctcol 



VALOB OODia: J * S15.000 or !■•• K 
a - 3230,001 U> ]JOD,000 o 



113,001 to S30,000 

isoo.ooi to $1,000,000 



1, - (30,001 to S100,000 
P . Mor* ttiMM (1,000,000 



(100,001 ts (250,000 



43 



FINANCIAL DISCLOSURE REPORT (cont'd) 



I of Parson Raportlng 



CblliJTS> Audpgy B. 



Data of Raport 

1/29A9*] 



VII. INVESTMENTS and TRJSTS - income, value, transactions, (includes those or spoa« 

and depeadcnt chUdrcD; sec pp. 18-27 of Instructions.) 



A. 

(iocludlD^ tniac aetata) 

Xndloata, wbaxv mmXScahlm, owoar of 
ch* §»««t by usijig til* p«r*QU)«uc«l 
"(J)" for lilnt omarvblp of raoort- 
lAO lD4lviaaal «fi(j apcou, -(Sl^for 
MMxata on«r«lilp by •pou«*. *<I>C)' 
for owuArsAlp by aopaodast coilo. 

Plao* *IX)* atur a^cli <a>M 
•XHipc froM prior discloauro. 


during 

raporting 

parlod 


C. 

Oroaa valoa 

at and of 

raportlng 

pariod 


0. 
TrafiaaotloDa during rvporttsg pariod 


(1) 

«at., 
Coda^ 


-ST: 


(1) 

(J-P) 


(J) 

Valua 
Hatbod, 

Coda^ 
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NONE (DO roportail. 
iacoa*. assota, or 










EXEMPT 








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tat.#134-950196-3,134-100506-l 


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1 XDCO«a/Cala Cod«*t A-Sl,000 or lost fi-Sl,001 to C2,5O0 C-S2,501 to 5,000 D-55,001 to $15,000 
(«•• Col. Bl t D4) E-S15,001 to S50,00C F-< 0,001 tr $100,000 G-S100,001 to SI. 000, 000 H-Horo than $1,000,000 


J Valua coaui J-5i5,oo4 or laaa n-s.sIdSi to 556,444 i,.j58,641 to Si64,4oo M-S164,66i ti S5S6;ao« 

taa* col. Cl t D3) !l-$250,001 to $500,000 -^''00,001 tc $1,000,000 P-Hore tjian SI, 000,000 


] Vain. Mathod Codaa: g-Appralaal l.-c.t'(r.al aitite fmiy) S-Haaaaaaant ' ' f-CaakAUrkai 
(Saa Coi. C2) U-Boo« Valua tiar u-BatUutad 



44 



FINANCIAL DISCLOSURE REPORT (confd) 



I of P«r»OD Raportlag 



CXllinR. AitVw R, 



Dat« of Baport 



VIII. ADDITIONAL INFORMATION or EXPLANATIONS, (indiate pan of Report.) 



I. ttaBiticTs(caTtiru33) 



Ajviaor, Stedal Assistaije to VictinB in Elrergercy (SftVE' (nm-prDfit fou-tfatiai of L.A. Oxnty Dlaxlct flaxcney'3 

QEfioE, 1992-93 
Ttustee, Larpstm E&r Aaaxdanim of Lob Angeles, 1993 . 



vn(oantinuBd) 



il, Iteidgce, LC6 AnqeleB, Ca. 



This residaoevos pu xhased in 1971 foe $29,000(oo6t. ) ttaue^^r, that cbes not reflect its true value tatey. 
I believe the currait nartet valiE to be approDciiTBtely $aX),C10O-S220,00O. (ttote: Tine asseaaed value of the 



hjTE is lower than nartet valu° ir<=rar=c, r^l ifccnia's Pcoxsiticn i:- has frcgm the ffpq^''^ 'J^lig nPnnwK 
cured sinoe the 1970's. 1 . 



IX. CERTIFICATION. 



In compliance with the provisions of 28 U.S.C. § 455 and of Adviic^ Opinion No. 57 of the Advisory Committee on 
Judicial Activities, and to the best of my knowledge at the time after rc.onable inquiry, 1 did not perform any adjudicatory 
function in any litigation during the period covered by this report in wh I, my spouse, or my minor or dependent children 
had a financial interest, as defined in Canon 3C(3)(c), in the outcome i iuch litigation. 

I ceni^ that all information given above (including information pen- mg to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to the best of my knowledge ac belief, and that any information not reported was 
withheld because it met applicable statutory provisions permitting non-du ,;losure. 

I further certify that earned income from outside employment and hcporaria and the acceptance of gifts which have been 
reported are in compliance with the provisions of 5 U.S.C.A app. 7, 5 .'^' et. seq., 5 U.S.C S 7353 and Judicial Conference 
regulations. 

Signature uL-^ R) (A^ Date JJiarv 29, 19»> 

NOTE ANY INDIVIDUAL WHO KNOWINGLY AND WU^FULLY FALSIFIES OR FAILS TO FILE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.CA. Ar:-'. 6, § 104, AND 18 U.S.C S 1001.) 



FILING INSTRUCTIONS: 

Mail signed original and 3 additional copies to: Judicis Ethics Comminee 

Admir:bmtlve Office of Uie 

Un;..'4 Sutes Courts 
Washii.gton, DC 20544 



45 



FINANCIAL STATEMENT 



NET WORTH 



Provide a complete, current financial net worth statement which itemizes in detail all 
assets (including accounts, real estate, securities, trusts, investments, and other 
financial holdings), all liabilities (including debts, mortgages, loans, and other financial 
obligations) of yourself, your spouse, and other immediate members of your household. 



ASSETS 



LIABILITIES 



Cash on hand and in banks 

U.S. Govt, securities-add schedule 

Listed securities-add schedule 
Unlisted securities-add schedule 
Accounts and Notes receivable 

Due from relatives and friends 

Due from others 

Doubtful 



$20,601 Notes payable to banks- 
secured 
Notes payable to banks- 
unsecured 
$80,534 Notes payable to relatives 

Notes payable to others 








Real estate owned-add schedule 
Real estate mortgages receivable 
Autos and other personal property 

Cash value-life insurance 

Other assets-itemized on schedule 



$655,000 Accounts and bills due 

Unpaid income tax 
$131,000 Other unpaid tax and 
interest 
Real estate mortgage 
payable-add schedule 
$53,510 Other mortgages and other 
liens payable 







11,802 



46 



Other debts-itemize 



TotaJ assets 



CONTINGENT LIABILITIES 

As endorser, comaker or guarantor $18,230 

On leases or contracts 

Legal Claims 

Provision for federal income tax 
Other special debt 



$940,645 


Total liabilities 


$11,802 




Net worth 


$928,843 




Total liabilities and 


$940,645 




net worth 






GENERAL 






INFORMATION 




$18,230 


Are any assets pledged? 
(Add schedule) 


No 





Are you defendant in any 
suits or legal actions? 


No 





Have you ever taken 
bankruptcy? 


No 

















47 

FINANCIAL STATEMENT 

NET WORTH 
SCHEDULE 



USTED SECURITIES 

1. Charles Schwab 

Roche Holding A.G. 

Schwab Money Market Fund 

2. A.G. Edwards 

Centennial Government Trust 

3. Charles Schwab IRA-Audrey B. Collins 

Cable & Wireless Spon ADRF 

Hong Kong Tele, Ltd. 

Merck & Co., Inc. 

NovaCare 

Vestar 

Schwab Money Market Fund 

4. Charles Schwab IRA-Timothy R. Collins (spouse) 

Cable & Wireless Spon ADRF 

Hong Kong Tele, Ltd. 

Merck & Co., Inc. 

NovaCare 

Vestar 

Schwab Money Market Fund 

TOTAL 



CASH/MARKET VALUE 



$ 8,160 
10,343 



$16,351 



4,800 
6,225 
3,438 
3,050 
1,250 
4,065 



4,800 
6,225 
3,438 
3,050 
1,250 
4,089 

$80,534 



REAL ESTATE OWNED 

1. Residence 

Current Market Value (approximate) 

2. Residential Property 
Los Angeles, CA 

Current Market Value (approximate) 



TOTAL 



$455,000 

$200,000 
$655,000 



48 



OTHER ASSETS 

Mutual Funds: 

Dodge & Cox Balanced Fund $4,138 

Monetta Fund, Inc $278 

T. Rowe Price New Asia Fund $4,821 

Lindner Fund, Inc $376 

Janus Venture Fund, Inc $3,373 

Wasatch Growth Fund $663 

Scudder Short Term Bond Fund..$7,000 
Benham GNMA Income Fund $32,861 



TOTAL $53,510 



49 



III. OEHERAL (PUBLIC) 



An ethical consideration under Canon 2 of the American Bar 
Association calls for "every lawyer, regardless of 
professional prominence or professional workload, to find 
some time to participate in serving the disadvantaged." 
Describe what you have done to fulfill these 
responsibilities, listing specific instances and the amount 
of time devoted to each. 

Because of the limitations placed upon Los Angeles County 
attorneys by the County Charter, I have not participated in 
pro bono activities. Los Angeles County Charter Section 55 
states: "The District Attorney, Public Defender, County 
Counsel and their deputies shall not engage in any private 
law practice, and they shall devote all their time and 
attention during business hours to the duties of their 
respective offices." 

In 1989 I represented the District Attorney's Office on Safe 
Harbors, a project sponsored by the South Central Organizing 
Committee (SCOC) , United Neighborhoods Organization (UNO) , 
and East Valley Organization (EVO) to promote the safety of 
our residents, especially children, in streets and parks. 
We sought, but did not receive, federal funding in 1989. 

I am the only woman and the only prosecutor joining the Los 
Angeles Black Peace Officers Association (BPOA) in meeting 
with African-American gang members in South Central Los 
Angeles. The original purpose of the meetings was to 
promote communication and understanding between law 
enforcement and members of gangs in South Central Los 
Angeles. A new objective is to find meaningful employment 
for interested former gang members. These meetings are not 
held during office hours. 

In other community-related activities, I spoke at the Drive- 
By Agony March sponsored by the mother of two murdered sons 
on April 24, 1993, at the Criminal Courts Building, and at 
the Interfaith Coalition to Heal L.A. meeting on March 25, 
1993 at Holman Methodist Church. 



The American Bar Association's Commentary to its Code of 
Judicial Conduct states that it is inappropriate for a judge 
to hold membership in any organization that invidiously 
discriminates on the basis of race, sex, or religion. Do 
you currently belong, or have you belonged, to any 
organization which discriminates — through either formal 
membership requirements or the practical implementation of 

21 



50 



membership policies? If so, list, with dates of membership. 
What have you done to try to change these policies? 

I have not belonged to any such organization, to the best of 
my knowledge. However, from 1965-67 I was active in my 
college sorority, Alpha Kappa Alpha. Its membership 
consisted of only women. I do not )cnow whether its By-laws 
then, or now, restricted membership to women. I have not 
been a financial member since 1967. 



Is there a selection commission in your jurisdiction to 
recommend candidates for nomination to the federal courts? 
If so, did it recommend your nomination? Please describe 
your experience in the entire judicial selection process, 
from beginning to end (including the circumstances which led 
to your nomination and interviews in which you 
participated) . 

To the best of my )cnowledge, there is not an independent 
selection commission in my jurisdiction to recommend 
candidates for nomination to the federal courts. However, I 
was interviewed by Senator Dianne Feinstein's Judicial 
Advisory Committee for the Central District of California. 
I also requested that Women Lawyers of Los Angeles evaluate 
■e through their judicial recommendation process. The 
organization evaluated me as "Exceptionally Well Qualified." 

Senator Feinstein's Judicial Advisory Committee for the 
Central District of California interviewed me in April, 
1993. I was subsequently interviewed by Senator Feinstein 
in her San Francisco office. Senator Feinstein's State 
Director, Kam Kuwata, was also present during the interview. 

I have subsequently had telephone conversations with 
officials from the Department of Justice, and have met with 
representatives from the Federal Bureau of Investigation and 
the American Bar Association. 



Has anyone involved in the process of selecting you as a 
judicial nominee discussed with you any specific case, legal 
issue or question in a manner that could reasonably be 
interpreted as asking how you would rule on such case, 
issue, or question? If so, please explain fully. 

No. 



Please discuss your views on the following criticism 
involving "judicial activism." 



22 



51 



The role of the Federal judiciary within the Federal 
government, and within society generally, has become the 
siibject of increasing controversy in recent years. It has 
become the target of both popular and academic criticism 
that alleges that the judicial branch has usurped many of 
the prerogatives of other branches and levels of government. 

Some of the characteristics of this "judicial activism" have 
been said to include: 

a. A tendency by the judiciary toward problem-solution 
rather than grievance-resolution; 

b. A tendency by the judiciary to employ the individual 
plaintiff as a vehicle for the imposition of far- 
reaching orders extending to broad classes of 
individuals; 

c. A tendency by the judiciary to impose broad affirmative 
duties upon governments and society; 

d. A tendency by the judiciary toward loosening 
jurisdictional requirements such as standing and 
ripeness; and 

e. A tendency by the judiciary to impose itself upon other 
institutions in the manner of an administrator with 
continuing oversight responsibilities. 

Criticism of "judicial activism" within the Federal 
judiciary has been the subject of increasing controversy in 
recent years. Although some of this criticism may be well- 
founded, based upon decisions which appear to impose far- 
reaching orders, much of this criticism may also be based 
upon disagreements ^ith either individual rulinga or the 
legislative decisiorf to increase the court's jurisdiction in 
the area of Constitutional civil rights. 

Because of the authority and discretion vested in the 
federal district courts, it is especially critical that a 
district court judge recognize the appropriate 
Constitutional limitations upon the courts and follow 
existing law as applied to the facts before the court. If 
it appears to the public that federal jurists rule upon 
their personal and political views rather than the rule of 
law, public confidence in the judiciary as an independent 
branch of the federal government will be diminished. In 
becoming a federal district court judge, I would consider it 
my duty to put aside any personal biases and beliefs and 
apply the relevant law to the facts before the court. 



23 



52 



An awareness of and willingness to follow the concepts 
discussed below, which all relate to the limited 
jurisdiction of the federal court, should curtail any 
legitiaate criticism of the courts based upon "judicial 
activism." With the courts confronted with an increasing 
case load, including an expanding percentage of criminal 
cases which must be tried within statutory time limits, the 
federal courts must be mindful of the need for caution in 
issuing rulings which would require ongoing monitoring or 
review of other governmental institutions. 

If confirmed as a federal district court judge, I would be 
mindful of the jurisdictional limitations inherent in the 
federal court system and would adhere to the following 
jurisdictional precepts and limitations to avoid criticism 
of the court: 

Federal courts are courts of limited jurisdiction under 
Article III, Section 2 of the Constitution. They can 
adjudicate only those cases which the Constitution and 
Congress authorize them to adjudicate. The Constitution 
also limits the federal judicial power to designated "cases" 
and "controversies." This helps to assure that the courts 
do not intrude into areas committed to the other branches of 
government. The doctrine of standing, which examines 
whether the plaintiff has a redressable injury subject to 
the court's jurisdiction, is an essential element of the 
case-or-controversy requirement of Article III. 

Lower courts are bound by the principal of stare decisis, 
which is defined as meaning "to abide by, or adhere to, 
decided cases." Black's La w Dictionary 1406 (6th ed. 1990). 
It may be understood as the obligation to follow judicial 
precedents to allow continuity and reliability in the law. 
It is obviously the role of district courts to abide by the 
rulings of appellate courts under this doctrine. 

In summary, I have no agenda, and no preconception as to how 
I would rale upon any factual scenario or legal issue other 
than to apply the law as it stands to the facts at hand. As 
a federal district court judge, I would seek to be fair, to 
provide access to the judicial system, and to do justice 
under the Constitution and laws of the United States. 



24 



53 



QUESTIONNAIRE FOR JUDICIAL NOMINATION 
UNITED STATES SENATE COMMITTEE ON THE JUDICIARY 



I. BIOGRAPHICAL INFORMATION (PUBUC) 

1 . Full name (include any former names used.) 

Fortunato Pedro Benavides (also referred to as Pete Benavides) 

2. Address: List current place of residence and office address(es). 

OFFICE: 818 Pecan 

McAllen, Texas 78501 

HOME: 4246 Westlake Drive 

Austin, Texas 78746 

3. Date and place of birth. 

February 3, 1947; Mission, Texas 



Marital Status (including maiden name of wife, or husband's name): List spouse's 
occupation, employer's name and business address(es). 

Augusta Camilla (Zapffe) Benavides; nurse; Seton Home Care; 4200 North 
Lamar, Austin, Texas 78756 



Education: List each college and law school you have attended, including dates 
of attendance, degrees received, and dates degrees were granted. 

a. University of Houston (1965-1968), Houston. Texas; Received a 
Bachelor of Business Administration Degree (BBA) - 1968 



54 



b. Bates College of Law at the University of Houston (1968-1972), 
University of Houston Law Center, Houston, Texas; Received Doctor of 
Jurisprudence (JD) - 1972 



Employment Record: Ust (by year) all business or professional corporations, 
companies, firms, or other enterprises, partnerships, institutions and organizations, 
nonprofit or otherwise, including firms, with which you were connected as an 
officer, director, partner, proprietor, or employee since graduation from college. 

a. 1972-1974: Associate, Rankin, Kern & Martinez (now Mullins and 
Rankin, Inc.); McAllen, Texas 

b. 1974: Partner, Cisneros, Beery & Benavides; fvlcAllen, Texas 

c. 1975: Partner, Cisneros, Brown & Benavides; fwlcAllen, Texas 

d. 1976: Partner, Cisneros & Benavides; McAllen, Texas 

e. 1977: Sole Proprietor, Fortunate P. Benavides, Attorney at Law; 
McAllen, Texas 

f. 1977-1979: Judge, Hidalgo County Court-at-Law #2; Edinburg, 
Texas 

g. 1980: Proprietor, Fortunate P. Benavides, Attorney at Law; McAllen, 
Texas 

h. 1981-1984: Judge, 92nd District Court of Hidalgo County. Texas; 
Edinburg, Texas 

i. 1984-1991: Justice, 13th Court of Appeals; Corpus Christi, Texas 

j. 1991-1992: Judge, Texas Court of Criminal Appeals; Austin, Texas 

k. 1993: Visiting Judge to courts in Texas; by assignment of Thomas 
R. Phillips, Chief Justice of the Supreme Court of Texas 

I. November 1993-Present: Partner, Atlas & Hall, LLP.; McAllen, 

Texas 



55 



Military Service: Have you had any military service? If so, give particulars, 
including the dates, branch of service, rank or rate, serial number and type of 
discharge received. 

No 



8. Honors and Awards: List any scholarships, fellowships, honorary degrees, and 
honorary society memberships that you believe would be of interest to the 
Committee. 

a. Appointed to the Texas Juvenile Probation Commission in 1983; 
Austin, Texas; Resolution and plaque for service to the youth of Texas and 
to the Commission, received 1990 

b. Plaque in honor of contributions to the Hispanic Women of Texas, 
presented by the Hispanic Women's Network of Texas, Corpus Christi, 
Texas 

c. Certificate of Appreciation from St. Edward's University, Austin, 
Texas; for contributions in migrant education 

d. The American Bar Association at its 1992 annual convention 
recognized me and awarded to me a certificate as an outstanding minority 
jurist. 



9. Bar Associations: List all bar associations, legal or judicial-related committees or 
conferences of which you are or have been a member and give the titles and dates 
of any offices which you have held in such groups. 

a Member: State Bar of Texas, Austin, Texas; Member of District 12b 
Grievance Committee; 1977-1982 

b. Member: Hidalgo County Bar Association, Edinburg, Texas; Director 
1978, 1979. 1980; President 1980-1981 term 

c. Member: San Patricio County Bar Association, Sinton, Texas 

d. Member: Travis County Bar Association, Austin, Texas; Member 
1991-1993 



S6 



e. Former Member: Corpus Christ! Bar Association, Corpus Christi, 
Texas 

f. Member: American Bar Association 

g. Member: Hispanic National Bar Association, Melville, New York 



10. Other Memberships: List all organizations to which you belong that are active in 
lobbying before public bodies. Please list all other organizations to which you 
belong. 

Organizations to which I belong active in lobbying are the American Bar 
Association and the Hispanic National Bar Association. Other organizations 
to which I have belonged are as follows: 

a. Texas Center for the Judiciary, Inc. (non-profit organization providing 
continuing education and training for the Texas Judiciary), Austin, Texas; 
Member, Board of Directors 1990-1992 

b. St. Michael's Episcopal Church, Austin, Texas; 1992 to present 

c. St. Andrew's Episcopal Church. Corpus Christi, Texas; 1985-1991 

d. St. Matthew's Episcopal Church, Edinburg, Texas; 1981-1985; Vestry 
Member 1984 

e. Hidalgo County Easter Seals Society for Adult and Crippled Children, 
McAllen, Texas; Board of Directors 1980-1984 

f. Mustangs of Corpus Christi, Corpus Christi, Texas; a community 
service organization; Member 1990-1991; Honorary member 1992 

g. Mexican American Demoaats of Texas, 1990-1992 



1 1 . Court Admission: List all courts in which you have been admitted to practice, with 
dates of admission and lapses if any such memberships lapsed. Please explain 
the reason for any lapse of membership. Give the same information for 
administrative bodies which require special admission to practice. 

a. All Courts of the State of Texas: Admitted April 20, 1972; good 



« 



standing 



b. United States Court of Appeals for the Fifth Circuit: Admitted March 
27. 1975. On October 1, 1981. the Circuit was split The new Fifth Circuit 
required reapplicatlon. However, since I was a Texas District Court Judge 
at the time and the laws of Texas would not allow me to appear or plead in 
court while a judge, I did not reapply. 

c. United States District Court for the Southern District of Texas- 
Admitted January 12. 1973. In 1985 the judges of the Southern District 
determined that admission or licenses should not be renewed and required 
reapplicatlon. Because I was a justice on the Texas Court of Appeals and 
could not under Texas law plead or appear in court, I did not renew my 
admission or license in the District Court. I did not resume the practice of 
law until October 1993, and I was readmitted to practice on November 1, 



12. Published Writing* ; ; Ust the titles, publishers, and dates of books, articles reports 
or other published material you have written or edited. Please supply one codv 
of all published material not readily available to the Committee. Also, please 
supply a copy of all speeches by you on issues involving constitutional law or legal 
policy. If there were press reports about the speech, and they are readily available 
to you. please supply them. 

a. 'Recent Significant Decisions of the Texas Court of Criminal Appeals 
(1990-1991 Term);' published in workbook form for the Texas District and 
County Attomey's Association 1991 Annual Criminal Law Update 
September 25-27, 1991, Galveston, Texas. The paper was updated' 
delivered and published in materials for the Texas Criminal Defense Lawyers 
Assoaation, Practice Skills Course, January 16-17, 1992, El Paso Texas 
Additionally, it was part of the course materials published for the Hispanic 
National Bar Association 1991 meeting, San Antonto, Texas. 

?, u "^'"'^'0"«;" published by the State Bar of Texas in material for the 
17th Annual Advanced Criminal Law Course, August 5-9, 1991. Austin 
Texas. Scott Young was the co-author. The paper was an update of the 
materials prepared by Michael McCormick. Presiding Judge of the Texas 
Court of Cnminal Appeals, and Carroll Wilborn. Jr.. Judge of the 344th 
Judiaal District Court. Mr Young was responsible for nearly all of the work 
on the updated paper; I provided editing, suggested additional topics and 
cases, and orally presented the paper. 



58 



c. Texas Appellate Procedure-Briefs and Arguments on Appeal.' The 
paper outlined the appellate procedure rules in Texas with respect to briefs 
and arguments in civil and criminal cases. The article was prepared and 
reproduced for the Abilene Bar Association meeting of January 3, 1992. It 
was not published. 

d. 'A Countdown of Cases.' A paper on the ten most significant 
criminal cases decided by the Texas Court of Criminal Appeals in 1991. 
The paper was delivered at the Texas Criminal Defense Lawyers 
Association's Practice Skills Course in Corpus Christi. Texas, and is a part 
of the Skills Course materials. 



13. Health: What is the present state of your health? List the date of your last 
physical examination. 

Good; September 20. 1993 



14. Judicial Office: State (chronologically) any judicial offices you have held, whether 
such position was elected or appointed, and a description of the jurisdiction of 
each such court. 

a. Judge, Hidalgo County Court at Law #2, Edinburg, Texas; August 
1977-December 1979; appointed 1977 by Hidalgo County Commissioners 
Court; elected to full term November 1978. Jurisdiction over probate 
matters, civil case over lesser amounts, eminent domain proceedings, 
proceedings under mental health code and jailable misdemeanors. 

b. Judge, 92nd Judicial District Court of Hidalgo County, Texas; January 
1981-1984; elected in 1980 for 4-year term. Jurisdiction over felony trials, 
official misconduct cases, civil cases involving greatest amounts in 
controversy and suits involving titJe to realty as well as mandamus and 
prohibition. 

c. Justice, Thirteenth Court of Appeals; November 1984-April 1991; 
appointed by Governor Mark White in 1984; elected in 1986 for unexpired 
term and in 1988 for full term. The court has jurisdiction over appeals from 
trial courts of record as well as mandamus and prohibition matters. 

d. Judge, Texas Court of Criminal Appeals; April 1991-January 1993; 
appointed by Governor Ann W. Richards in 1991. It is the court of last 

6 



59 



resort in criminal matters. It exercises discretionary authority over decisions 
of the courts of appeal. It also has jurisdiction over post-conviction writs of 
habeas corpus and prohibition and mandamus action. 



1 5. CitgtiQns; if you are or have been a judge, provide: (1 ) citations for the ten most 
significant opinions you have written; (2) a short summary of and citations for all 
appellate opinions where your decisions were reversed or where your judgment 
was affirmed with significant criticism of your substantive or procedural rulings- and 
(3) citations for significant opinions on federal or state constitutioral issues 
together with the citation to appellate court rulings on such opinions. If any of the 
opinions listed were not officially reported, please provide copies of the opinions. 

(1) a. NancyJohnsonv. Del Mar DistributJng Co., Inc.; 776 SW 2d 768 (Tex 
App--Corpus Christi, 1989) 

b. State National Bank v. Academia, Inc., et al\ 802 SW 2d 282 CTex 
App-Corpus Christi, 1990) 

c. Benjamin Trapnell v. Honorable Jack E. Hunter, 758 SW 2d 426 (Tex 
App-Corpus Christi, 1990) 

d. Thomas v. State of Texas; 821 SW 2d 618 (Tex Crim App, 1991) 

e. Unscomb v. State of Texas; 829 SW 2d 164 (Tex Crim App. 1992) 

f. Garcia v. State of Texas; 829 SW 2d 796 (Tex Crim App. 1992) 

g. National Union Fire Insurance v. Valero Energy Corp • 777 SW 2d 501 
(Tex App-Corpus Christi. 1989) 

h. Estate of Herman Scott v. Victoria County; 778 SW 2d 585 fTex Add- 
Corpus Christi, 1989) 

i. McNamara v. Freedom Newspapers, Inc. ; 802 SW 2d 901 fTex Add- 
Corpus Christi. 1991) ^^ 

j. Physicians and Surgeons General v. George Koblizek et ux; 752 SW 
2d 657 (Tex App-Corpus Christi, 1988) 

(2) a Scurlock Oil Co. v. Smithwick; 724 SW 2d 1 (Tex 1986) 

The case involved a wrongful death action in which there were multiple 
defendants. During the trial a settlement agreement from another case 



60 



involving the same defendants was improperly introduced in evidence. 
Writing for the 13th Court of Appeals, I had held that the complaint on 
appeal had been waived when the complaining party had used the 
agreement for its own purposes. Additionally, I held that even if the 
complaint was not waived, the error was not reversible error. Accordingly, 
the final judgment in favor of the plaintiff was affirmed. The Supreme Court 
of Texas reversed the Court of Appeals holding that the complaint had not 
been waived and that the prejudicial effect of the improperly admitted 
evidence required a reversal of the case, and remanded for a new trial. 

b. Southern Pacific Transportation Co. v. Luna; 724 SW 2d 383 (Tex, 
1987) 

The action was for damages sustained at a railroad crossing collision. At 
trial, the plaintiffs obtained a judgment in their favor based upon a jury 
verdict. On appeal, I found that the jury finding that the failure of the 
company to issue sfsecial restrictions was a proximate cause of the collision 
fatality conflicted with the jury finding that the speed the train was travelling 
at the time of the accident was not negligent. Accordingly, the Court of 
Appeals reversed the trial court judgment. The Supreme Court of Texas 
reversed the Court of Appeals tiecause it found that the two jury findings 
could reasonably be construed in such a manner as to be reconciled in 
favor of the judgment rendered on the jury verdict 

c. Leeco Gas & Oil Co. v. Smithwick; 736 SW 2d 629 fTex, 1987) 
The case involved the condemnation by a government unit of a possibility 
of reverter and the damages recoverable by the owner of the reversionary 
interest. The trial court allowed the condemnation and awarded nominal 
damages. On appeal to the 13th Court of Appeals, and writing for the 
Court, I upheld the condemnation against an attack that the government 
unit was estopped to condemn a reversionary interest retained when the 
government unit acquired the land by gift from its grantor (the condemnee 
in the condemnation action). Additionally, I ruled that under Texas law, the 
condemnee was entitled to receive only nominal damages for the taking of 
his reversionary interest. The Supreme Court of Texas agreed that the 
government unit was not estopped to condemn the reversionary interest; 
however, the Supreme Court announced a new rule in Texas cases by 
which compensation for condemnation of a reversionary interest is to be 
computed when the government entity is a grantee in a gift deed. 
Accordingly, the case was reversed and remanded to the trial court for a 
determination of the compensation to be paid under the new rule. 

d. Estate of Hanau v. Hanau; 730 SW 2d 666 (Tex, 1987) 

The case involved the characterization and distribution of property under a 
will. The trial court held that properties acquired by the deceased and his 



61 



spouse while domiciled in a common law state (Illinois) was community 
property. Writing for the 13th Court of Appeals, I reversed the trial court by 
holding that the property retained the character it had at the time of Its 
acquisition and was not community property. I rejected the contention that 
the probate code or the new rule announced in Cameron v. Cameron 
allowed the trial court to reclassify the character of the property. 
Additionally, I found that certain securities were not sufficientiy segregated 
and traced to separate property so as to rebut the presumption of being 
community property. The Supreme Court of Texas affirmed my judgment 
as to the general characterization of the property. However, the Judgment 
was reversed in part because the Supreme Court found the evidence was 
sufficient to destroy the statutory presumption that the securities were 
community property. 

e. Dukes v. Migura; 770 SW 2d 568 (Tex, 1989) 
The case involves a suit to recover a debt and to foreclose a lien. The 
plaintiff. Delphine Migura, in a prior suit had sought a divorce claiming that 
she had a common law man-iage with Mr. Migura During the pendency of 
that previous suit, Joy Dukes was ceremoniously married to Mr. Migura 
Mr. Migura died shortfy thereafter. After the death, Delphine Migura 
amended her petition to a daim against the executrix of Mr. Migura's estate, 
claiming a reimbursement from the community estate based upon her 
common law marriage daim. The executoix and Delphine Migura agreed to 
a judgment that declared the existence of the common law maniage; 
divided the community property between Delphine and the estate, and 
established a lien of $25,000 to satisfy Delphine's daim of reimbursement 
against real property Mr. Migura had devised to Joy Dukes. Joy Dukes was 
not a party to this previous proceeding. Delphine then brought this action 
for the $25,000 debt and foredose of lien on the real property devised to 
Joy. The trial court granted Delphine judgment for foredosure of the debt 
and foredosure of the lien. Writing for the 13th Court of AppeaJs, I reversed 
the trial court, holding that since Joy was not a part of the action that 
created a lien on her property, the agreed judgment sought to be enforced 
was void as to Joy Dukes. The Supreme Court reversed the judgment of 
the Court of Appeals, holding that an action to enforce a lien does not 
involve titie to realty and Joy Dukes was not a necessary party to the prior 
suit The judgment of the trial court was reinstated. 

f. State V. Moreno; 807 SW 2d 327 (Tex Crim App, 1991) 
The case involves the question whether the State of Texas had the statutory 
right to appeal a trial court's order dismissing an information. The trial court 
had sustained a motion to quash that complained of the specificity of the 
Information but had refused to sign an order speciflcaify dismissing the 
case. Writing for the 13th Court of Appeals, I affimned the toial court, based 

9 



62 



on the applicable statutory provision and previous Texas case law on that 
issue. The Texas Court of Criminal Appeals reversed based on the 
construction of a similar federal rule and determined that the quashing of 
the indictment effectively terminated the prosecution; and accordingly 
determined that the State had the right to appeal the granting of a motion 
to quash. 

g. Rodriguez v. State; 804 SW 2d 516 (Tex Grim App, 1991) 
This case involves the question of vi^ether it is the State or an accused who 
has the burden to show diligence in prosecuting a motion to revoke 
probation. The motion to revoke was filed and the arrest warrant was 
issued before the expiration of the defendant's probationary period. 
However, the arrest warrant was executed and the hearing on the state's 
motion was heard after the probationary period had expired. I affirmed the 
trial court, holding that the timely filing of the motion and issuance of the 
warrant gave the trial court jurisdiction over the proceeding and it was 
incumbent upon the defendant to develop and carry the burden on the 
issue of the State's failure to use due diligence. The Texas Court of 
Criminal Appeals reversed, holding that once the issue of due diligence was 
raised, the State had the burden of proof on the issue and having failed to 
meet its burden, the trial court was without jurisdiction to revoke the 
defendant's probation. 

h. Williams v. State; 851 SW 2d 282 (Tex Crim App. 1983) 
This case involves the question of which party has the burden to produce 
evidence and the burden of persuasion on the exception to the punishment 
provided for the offense of aggravated kidnapping (V.T.C.A. Penal Code, 
section 20.046). The defendant was convicted of aggravated kidnapping 
and aggravated sexual assault and assessed a life sentence for each 
offense. Writing for the 13th Court of Appeals, I affirmed the trial court 
judgment and sentence for aggravated sexual assault and reversed the 
aggravated kidnapping conviction, finding egregious error in the trial court's 
improperly instructing the jury with respect to the provisions of section 
20.046. In a case of first impression, the Court of Appeals' opinion placed 
the burden of production and persuasion on the State. TTie Court of 
Criminal Appeals agreed that the instruction given the jury was in error but 
did not believe the error to be egregious. Egregious error is necessary in 
Texas to reverse a conviction in a criminal case where the error is in the 
charging instrument and no objection is made in the trial court The Court 
of Criminal Appeals also determined that the burden of production was on 
the accused, not the State, but it did agree that the burden of persuasion 
was on the State. Finding no egregious error, the opinion of the Court of 
Appeals was reversed as to the aggravated kidnapping case and affirmed 
as to the aggravated sexual assault case. 

10 



63 



(3) See list of citations attached for opinions touching federal or state 
constitutional issues. 



16. Public Office: State (chronologically) any public offices you have held, other than 
judicial offices, including the terms of service and whether such positions were 
elected or appointed. State (chronologically) any unsuccessful candidacies for 
elective public office. 

a. 1983-1989, Commissioner, Texas Juvenile Probation Com.nission; 
appointment by Governor Mark White 

b. I was unsuccessful in seeking election for a full term to the Texas 
Court of Criminal Appeals in the general election held November of 1992. 



17. Legal Career: 

a. Describe chronologically your law practice and experience after graduation 
from law school including: 

1. whether you served as clerk to a judge, and if so, the name of the 
judge, the court, and the dates of the period you were a clerk; 

I did not serve as a clerk to a judge. 

2. whether you practiced alone and, if so, the addresses and dates; 

(a) 1977: Sole Practice of Law; 1011 Pecan Street, McAllen, 
Texas 78501 

(b) 1980: Sole Practice of Law and of Counsel to Yzaguirre, 
Chapa & Trevino; 821 Nolana, McAllen, Texas 78504 

3. the dates, names and addresses of law firms or offices, companies 
or governmental agencies with which you have been connected, and the 
nature of your connection with each; 

(a) 1972-1974: Associate, Rankin, Kern & Martinez (now Mullins 
& Rankin, Inc.); 804 Pecan Street, McAllen, Texas 78501 

(b) 1974: Partner, Cisneros, Beery & Benavides; W. Erie Street, 

11 



64 



McAllen, Texas 78501 

(c) 1975: Partner, Cisneros, Brown & Benavides; 1011 Pecan 
Street, McAllen, Texas 78501 

(d) 1976: Partner. Cisneros & Benavides; 1011 Pecan Street. 
McAllen, Texas 78501 

(e) 1977-1979: Judge, Hidalgo County Court at Law #2; Hidalgo 
County Courthouse, Edinburg, Texas 78539 

(f) 1981-1984: Judge. 92nd District Court of Hidalgo County, 
Texas; Hidalgo County Courthouse, Edinburg, Texas 78539 

(g) 1983-1989: Commissioner. Texas Juvenile Probation 
Commission; 2015 South IH 35, Austin, Texas 78741 

(h) 1984-April 1991 : Justice, Thirteenth Court of Appeals; Tenth 
Roor, Nueces County Courthouse, Corpus Christi, Texas 78401 

(!) May 1991 -December 1992: Judge, Texas Court of Criminal 
Appeals; Supreme Court Building, Austin, Texas 78711 

0) 1993: Visiting Judge, by appointment of Thomas R. Phillips, 
Chief Justice of the Supreme Court of Texas 

(k) November 1993-present: Partner, Atlas & Hall. LLP.; 818 
Pecan, PC Box 3725, McAllen, Texas 78502-3725 

1. What has been the general character of your law practice, dividing 
it into periods with dates if its character has changed over the years? 

During the first two years of practice, approximately 80% of 
my work was devoted to civil litigation. Approximately 10% of my 
work was devoted to criminal matters in the State and federal courts, 
and the remaining 10% was devoted to work for the city of McAllen. 
city of Mission, and to serving as general counsel for the Pharr, San 
Juan, Alamo Independent School District. Beginning in the summer 
of 1974. and until 1977 and in the year 1980, the percentage of 
criminal work in the State and federal courts increased to 
approximately 45% of my caseload. During this time, approximately 
45% of my work included civil law and civil litigation and 10% was 
devoted to representing the Pharr, San Juan, Alamo Independent 
School District and serving as trial counsel for the Hidalgo County 

12 



65 



Child Welfare Agency (now the Department of Human Resources, 
Child Protection Sen/ices, Hidalgo County Unit). 

2. Descritje your typical former dients and mention the areas, if any, in 
which you have specialized. 

Because my practice was varied and in tioth the civil and 
criminal law areas, I do not have a truly typical client. I participated 
in land disputes, family law matters, tort defense, tort prosecution, 
election contests, contract disputes, proljate disputes, school law 
matters, etc... Many of my clients were also charged with crimes, a 
number of whom were indigent. During the first two years of practice 
my clients were more likely to be a middle- to upper-income 
businessman, professional person, or corporate client whose case 
had been assigned to me by one of the senior partners at Rankin, 
Kern & Martinez. After leaving that law firm, my clients more likely 
were lower- to middle-income with family law or contractual law 
problems. I represented the Phan*. San Juan, Alamo Independent 
School District as general and trial counsel almost continuously 
throughout my period in private practice. 

1 . Did you appear in court frequently, occasionally, or not at all? If the 
frequency of your appearances in court varied, describe each such 
variance, giving dates. 

Frequently 

2. What percentage of these appearances was in: 

(a) federal courts 

(b) state courts of record 

(c) other courts 



3. What percentage of your litigation was: 

(a) Civil 

(b) Criminal 

4. State the number of cases in courts of record you tried to verdict or 

13 



1972-1974 


3% 


1974-1977, 1980 


30% 


1972-1974 


93% 


1974-1977, 1980 


70% 


1972-1974 


4% 


1974-1977, 1980 


0% 


1972-1974. 


85% 


1974-1977, 1980: 


50% 


1972-1974: 


15% 


1974-1977, 1980: 


50% 



66 



judgment (rather than settled), indicating whether you were sole counsel, 
chief counsel, or associate counsel. 

Sole Counsel 28 

Chief Counsel 4 

Associate Counsel 30 

5. What percentage of these trials was: 

(a) jury 34% 

(b) non-jury 66% 



18. LJti gation: Describe the ten most significant litigated matters which you personally 
handled. Give the citations, if the cases were reported, and the docket number 
and date if unreported. Give a capsule summary of the substance of each case. 
Identify the party or parties whom you represented; describe in detail the nature 
of your participation in the litigation and the final disposition of the case. Also state 
as to each case: 

a. the date of representation; 

b. the name of the court and the name of the judge or judges before whom 
the case was litigated; and 

(c) the individual name, addresses, and telephone numbers of co-counsel and 
of principal counsel for each of the other parties. 

1. USA V. Bamiro Gonzalez, 559 F 2d 1271 (5th Cir, 1977). In 1976. 1 
assisted my law partner, Joe A. Cisneros, at trial. I appealed the conviction 
and secured reversal in 1977. The case was tried to a jury before Judge 
Owen D. Cox, Jr. (deceased) and, on appeal, was heard before Judges 
Thornberry, Ainsworth, and Roney. 

The accused was charged with conspiracy with intent to distribute 
marijuana. The prosecution's case depended on the testimony of an 
alleged co-conspirator who refused to testify at trial. His grand jury 
testimony was used at trial to secure a conviction at trial. I undertook the 
appeal and wrote the appellate brief. On appeal, I was able to show that 
the statements of the co-conspirator were not against his interest, nor did 
they have an equivalent guarantee of trustworthiness. The testimony did 
not qualify as an exceptbn to the hearsay rule. 

Co-counsel at trial: Joe A Cisneros, 3827 North 10th Street, McAllen, 
Texas; (512) 282-1883 

Opposing counsel at trial: George A. Kelt, Assistant US Attorney, Suite 900, 
440 Louisiana Street Houston. Texas 77002; (713) 238-9519 

14 



67 



Opposing counsel on appeal: Mary L Sinderson, former Assistant US 
Attorney, Houston, Texas 

2. State V. Jesus Cruz, #0-611 in the 139th District Oourt of Hidalgo 
Oounty, Texas. The judge was Fidencio M. Guerra, Jr. and the trial was 
January 10-14, 1977. 

I represented, as sole counsel, the accused who was charged with 
aggravated assault on a peace officer. The accused turned down an offer 
to plead to a misdemeanor assault charge, insisting that he had acted in 
self-defense. My investigation revealed that the alleged victim, a peace 
officer, had sexual relations with a girl who was with the accused at the time 
of the alleged offense. The accused had been an MP in Vietnam and the 
alleged victim had to be hospitalized from a blow delivered by the accused. 
The jury believed the accused. I understand that one of the police officers 
was reprimanded and/or excused as a result of the matters revealed at triall 
Opposing counsel: Joe A. Conners, Assistant District Attorney (now in 
private practice, 804 Pecan Street, McAllen, TX 78502 [512-687-6217]) 

3. State V. Elias Juarez, #B-765 in the 93rd District Court of Hidalgo 
Oounty, Texas. Tried in 1977, the trial judge was Magus F. Smith, Jr. 
(deceased). 

In the aftermath of a well-publicized murder trial in Hidalgo Oounty, Texas, 
the accused was charged with tampering with a v^ntness. Mr. Juarez, a 
former investigator with the Hidalgo Oounty Sheriffs Office, had been hired 
as an investigator by an attorney for the accused murderer. I understand 
that Mr. Juarez was so adept at his work that he was able to locate and 
interview a number of witnesses even before the local police authorities. 
Although the State was successful in the murder prosecution (I was not an 
attorney in the murder case), it nonetheless sought and obtained an 
indictinent against Mr. Juarez for jury tampering. I was sole counsel for Mr. 
Juarez and tried the case before a jury, which acquitted my client 
Opposing counsel: Rdencio M. Guerra, Jr., now Judge of the 370th Disti-ict 
Oourt, Hidalgo Oounty Oourthouse, 100 North Olosner, Edinburg, Texas 
78539; (210) 318-2280 

4. Garcia v. Pharr, Sa/j Juan, Alamo Independent School District 
(PSJA), Oase No. 1 1073, 1390i Distiict Oourt, Hidalgo Oounty, Texas. Tried 
and disposed of on motion January 10, 1974. The toial judge was Meriin 
Johnson. The case is reported at 512 SW 2d 636. 

I was sole counsel for PSJA. Mr. Garda filed suit alleging violation of his 
civil rights when he was discharged as a teacher for running for office in 
violation of school policy. After discovery, I secured a judgment dismissing 
the case on the basis, among others, that he could not bring suit because 
he had not exhausted his administrative remedies. The case was appealed 

15 



68 



and the judgment was affirmed. 

Opposing counsel: Filemon B. Vela, now US District Judge, Federal 

Courthouse, 500 East 10th Street, Brownsville, Texas 78520; (210) 548-2500 

5. Sanchez v. Brandt, No. D-473, 20eth District Court of Hidalgo 
County, Texas. Tried in the spring of 1977, judgment was signed July 1, 
1977. The judge was Joe B. Evins, Hidalgo County Courthouse, Edinburg, 
Texas. 

I was sole counsel for Brandt, who had sold rural property by contract of 
sale to Sanchez. Mr. Sanchez lived in Illinois and had another residence in 
Mission, Texas. Brandt sought to declare forfeiture and Sanchez claimed 
a violation of a Texas statute dealing with notice of default and forfeiture on 
property on which the vendee resides. The jury found for Mr. Sanchez. 
The trial court nevertheless granted a judgment non obstante veredicto on 
the basis that the statute did not apply to unimproved rural property on 
which the vendee did not actually live or occupy. Unfortunately for Mr. 
Brandt, the case was reversed on appeal, and the appeal is reported at 567 
SW 2d 254. 

Opposing counsel: George Powell, 5921 North 23rd, McAllen, Texas 78501 ; 
(210) 686-2413 

6. Estate of Zamora v. Rodriguez, 517 SW 2d 838 (Tex App-Corpus 
Christi, 1975). The judge was Walter Kelly, Hidalgo County Court at Law. 
I was sole counsel for Mrs. Rodriguez, who was the subject of eviction 
proceedings brought by the Zamora Estate. I undertook the case after the 
justice court had ordered her eviction. I filed an appeal, which was 
dismissed as untimely by the County Court at Law judge. I undertook a 
pro-bono appeal and the Court of Appeals reversed the County Court at 
Law and reinstated the forcible detainer action in the County Court. 
Opposing counsel: Ralph Vidaurri, P.O. Box 787, 1221 South 14th, 
Edinburg, Texas 78540; (512) 383-2467 



19. Legal Activities: Describe the most significant legal activities you have pursued, 
including significant litigation which did not progress to trial or legal matters that 
did not involve litigation. Describe the nature of your participation in this question, 
please omit any information protected by the attorney-client privilege (unless the 
privilege has been waived). 

While a District Judge in Hidalgo County, I took on responsibility for 
establishing a residential facility for juvenile offenders. I was able to acquire 
commitments from the commissioners' court for a facility, funding from the 
State of Texas, and the county for equipment, improvement of facilities and 

16 



69 



the operation of the facility. In addition, I had to secure permission from the 
City of Weslaco. The Ramiro Guerra Youth Center is still operating with 
room for 52 male juveniles. In addition, I am assured that efforts are being 
taken by the local authorities now in charge to expand the facility to house 
young female offenders. 



II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 



List sources, amounts and dates of all anticipated receipts from deferred income 
arrangements, stock, options, uncompleted contracts and other future benefits 
which you expect to derive from previous business relationships, professional 
services, firm memberships, former employers, clients, or customers. Please 
describe the arrangements you have made to be compensated in the future for 
any financial or business interest. 

None, except for retirement benefits due me from the Texas 
Employees Retirement System. The amounts due are dependent on 
whether I draw benefits upon realizing the age of 55 or 60 years. Because 
I served continuously for over 12 years, I should receive 50% of the amount 
then paid to a judge on the Texas Court of Criminal Appeals tf I retire at age 
55, and 60% of such amount if I retire at age 60 (the annual pay of a judge 
on the Texas Court of Criminal Appeals is preserrtly in the neighborhood of 
$90,300.00). Additionally, I own a 1/3rd undivided interest in 10 acres of 
land in Hidalgo County with two individuals. I expect that, upon the sale of 
the land, I will recover 1/3rd of the proceeds. 



2. Explain how you will resolve any potential conflict of interest, including the 
procedure you will follow in determining these areas of concern. Identify the 
categories of litigation and financial arrangements that are likely to present potential 
conflicts of interest during your initial service in the position to which you have 
been nominated. 

Lawyers of cases on appeal should disclose names of all lawyers 
and parties with an interest in a case so that a justice can determine 
vtrhether he has a financial interest in the case, or a family or financial 

17 



70 



interest with a party. In addition, the issues in the case should be examined 
to determine whether the resolution of the issues will likely affect the 
financial interest of the justice. If an examination reveals a conflict or 
appearance of impropriety, I would voluntarily recuse myself. In addition, 
I would adhere to the Canons of the Code of Conduct for Judges and abide 
by the directives and advisory opinions of the Committee on the Codes of 
Conduct I am aware of no areas of litigation that would be likely to present 
themselves which would create a conflict of interest by my initial service. 

Do you have any plans, commitments, or agreements to pursue outside 
employment, with cr without compensation, during your sen/ice with the court? 
If so, explain. 

No 



List sources and amounts of all income received during the calendar year 
preceding your nomination and for the current calendar year, including all salaries, 
fees, dividends, interest, gifts, rents, royalties, patents, honoraria, and other items 
exceeding $500 or more. (If you prefer to do so, copies of the financial disclosure 
report, required by the Ethics in Government Act of 1978, may be substituted 
here.) 

1993 SOURCES OF PERSONAL INCOME 



State of Texas 

a. Court of Criminal Appeals 

b. Services as Visiting Judge 
Nueces County, Texas 

El Paso County, Texas 

Bexar County, Texas 

Bee County, Texas 

San Patricio County, Texas 

Brooks County, Texas 

Atlas & Hall, McAllen, Texas 

Texas Commerce Bank, Austin 



8,282.38 


Salary 


41,881.45 


Salary and per diem 


613.27 


Supplemental pay and 




expenses for Visiting Judge 


1,998.59 


Same as above 


1,079.58 


Same as above 


823.44 


Same as above 


887.72 


Same as above 


665.28 


Same as above 


36,833.00 


Salary 


682.93 


Interest 



1994 SOURCES OF PERSONAL INCOME 



Atlas & Hall, McAllen, Texas 28,666.64 Salary 



18 



71 



Please complete the attached financial net worth statement in detail (Add 
schedules as called for). 

Attached. 



Have you ever held a position or played a role in a political campaign? If so, 
please identify the particulars of the campaign, including the candidate, dates of 
the campaign, your title and responsibilities. 

I have not, except for my own campaigns as a candidate for office as 
follows: 

a. 1978: I ran unopposed for Judge of the Hidalgo County Court at 
Law No. 2. 

b. 1980: I ran and secured the Democratic party nomination for Judge 
of the 92nd District Court of Hidalgo County, Texas against two opponents. 
I ran unopposed in the 1980 general election. 

c. 1988: I ran unopposed for a full term as a justice on the 13th Court 
of Appeals of Texas. 

d. 1992: I ran for a full term on the Texas Court of Criminal Appeals. 
I was unopposed in the Democratic party primary, but I was defeated at the 
November general election. 



III. GENERAL (PUBUC) 

1. An ethical consideration under Canon 2 of the American Bar Association's Code 
of Professional Responsibility calls for "every lawyer, regardless of professional 
prominence or professional workload, to find some time to participate in serving 
the disadvantaged." Describe what you have done to fulfill these responsibilities, 
listing specific instances and the amount of time devoted to each. 

a. I appealed a case pro-bono {Estate of Zamora v. Rodriguez, 51 7 SW 
2d 838 (Tex App, 13th District 74) for a woman who was being removed 
from her residence. The time spent on this appeal was three days. 

19 



72 



b. I served as a director of the Easter Seals Society for adults and 
crippled children in McAllen, Texas. I attended monthly meetings and 
helped advise the organization is its policies and practices. I spent four 
years with this organization. 

c. i appeared in dvil cases while as lawyer on numerous occasions pro- 
bono and accepted State court appointments to represent indigents 
accused of crimes. 



The American Bar Association's Commentary to its Code of Judicial Conduct 
states that it is inappropriate for a judge to hold membership in any organization 
that invidiously discriminates on the basis of race, sex. or religion. Do you 
currently belong, or have you belonged, to any organization which discriminates - 
- through either formal membership requirements or the practical implementation 
of membership policies? If so, list, with dates of memljership. What have you 
done to try to change these policies? 

I am not presently a member of any such organization. At the 
University of Houston from 1965 to 1968, I was a memt>er of a college- 
sanctioned national sodal fraternity: Phi Sigma Kappa. Only males were 
allowed membership and I have not made any effort to change the policies. 
Additionally, in 1990 1 was invited and joined a voluntary service organization 
in Corpus Christi, Texas, known as the Mustangs of Corpus Christi. 
Although I am not familiar with its rules or by-laws, there were no female 
members. The sole activity of the organization was to donate food, cook 
the barbecue, and serve the food and barbecue at fund-raising dinners held 
on behalf of charitable, civic, and educational groups or organizations. It 
did not solicit money or sell tickets, but simply donated, cooked, and 
served. I made no effort to change the policy if indeed one exists. I left the 
organization in 1991 when I moved to Austin and I was listed as an 
honorary member in 1992. 



3. Is there a selection commission in your jurisdiction to recommend candkjates for 
nomination to the federal courts? If so, did it recommend your nominatksn? 
Please descrilje your experience in the entire judicial selection process, from 
beginning to end (including the circumstances which led to your nominatkxi and 
interviews in which you participated). 

I am not aware of the existence of a selection committee in Texas for 
nomination to the U.S. Court of Appeals for the Fifth Circuit. Around mkj- 
August of 1993, 1 received an inquiry from a friend as to whether I would be 
interested in a position on the Fifth Circuit. On Thursday, September 9. 

20 



73 



1993. I received a call from the White House Counsel's office. I was 
advised that the President was considering my appointment to the Frfth 
Circuit and that certain forms would be sent to me. in November of 1993, 
I was interviewed by Ron Wain, an Assistant Counsel to the President, and 
also by Bernard Nussbaum, the White House Counsel, and other members 
of the President's staff. I have submitted information to and have been 
interviewed by the Federal Bureau of Investigation and the American Bar 
Association. I have also submitted information to the U.S. Department of 
Justice. 



4. Has anyone involved in the process of selecting you as a judicial nominee 
discussed with you any specific case, legal issue or question in a manner that 
could reasonably be interpreted as asking hovy you would rule on such case, issue 
or question? If so, please explain fully. 

No 



5. Please discuss your views on the foilowi ig criticism involving "judicial activism." 

The role of the Federal judiciary within \re Federal government, and within society 
generally, has become the subject of increasing controversy in recent years. It has 
become the target of both popular an;;l academic criticism that alleges that the 
judicial branch has usurped many of th(j prerogatives of other branches and levels 
of government. 

Some of the characteristics of this "jutlicial activism" have been said to include: 

a. a tendency by the judiciary towiird problem-solution rather than grievance- 
resolution; 

b. a tendency by the judiciary to employ the individual plaintiff as a vehicle for 
the imposition of far-reaching orders extending to broad classes of individuals; 

c. a tendency by the judiciary to impose broad, affirmative duties upon 
governments and society; 

d. a tendency by the judiciary toward loosening jurisdictional requirements 
such as standing and ripeness; and 

e. a tendency by the judiciary to impose itself upon other institutions in the 
manner of an administrator with continuing oversight responsibilities. 



21 



74 



It is the function of the courts to resolve disputes arising between 
parties to litigation. Certainty a problem must exist in order for there to be 
a dispute. However, the courts should be careful to resolve issues 
according to law and with an understanding of the respective role of the 
executive and legislative branches. Courts should be aware of the 
differences between their own desire and beliefs and those required by the 
laws of the legislature and the Constitution. If not, the courts jeopardize 
representative government. The cornerstone of our way of life is 
democracy, not judicial oligarchy. 

The judiciary she jld resolve the issues and controversy between the 
parties to litigation (and not others not a part of the proceedings). 
However, because precedent is (and should be) an important and well- 
established component of our law. It follows that rulings will tend to extend 
to and effect others not a part of the case. The reliance on precedent 
provides a stability and predictability necessary to the civil, criminal, 
contract, and commercial law. People need to know what the rules are and 
expect others to follow them. Courts must insist on maintaining the integrity 
of their orders by being able to enforce their decisions, but should exercise 
care that an individual in not denied his day in court. 

When the government or society has a broad, affirmative duty 
imposed by the Constitution or by lawful legislative statutes, the judge must 
declare that duty when called upon in a proper case. The imposition of 
such duties when they ariseshould come from the law. A court is 
cowardly if it does not enforce the law. A court usurps its role in our 
constitutional democracy when it imposes any duty, broad or narrow, not 
required by law or necessary to carry out the law. 

I believe traditional rules for ripenesand standing are necessary to 
Insure that the proper parties with an existing dispute come before the court 
and so that the courts may avoid injecting themselves into our system as 
the arbiters of emerging policy. Courts are not well suited to be 
administrators. The judicial and executive branches should, for the most 
part, be afforded an opportunity to correct problems. Only when an 
individual or institution is recalcitrant or unwilling to perform its legal duties, 
should the court as a last resort, and then only for the shortest period to 
insure lawful compliance, undertake the administration of an institution. 
Even then, such should not be a general administration, but only measures 
necessary to effectively protect the rights established by the Constitution 
and by Congress. 



22 



75 



ATTACHMEMT RELATED TO PART I. IHQDIRY 15(3) 

Texas Cases, 691-B54 S.W.2d 

Results only 
Query: ju (benavides) t constitution! 



Docunentt 



CITATION 



COURT/ YEAR 



TITLE 



853 S.W.2d 527 (Tex.Cr.App. 1992) 

848 S.W.2d 126 (Tex.Cr.App. 1992) 

843 S.W.2d 586 (Tex.Cr.App. 1992) 

834 S.W.2d 357 (Tex.Cr.App. 1992) 

831 S.H.2d 331 (Tex.Cr.App. 1992) 

829 S.W.2d 164 (Tex.Cr.App. 1992) 

829 S.W.2d 191 (Tex.Cr.App. 1992) 

829 S.W.2d 796 (Tex.Cr.App. 1992) 

828 S.W.2d 1 (Tex.Cr.App. 1992) 

823 S.W.2d 284 (Tex.Cr.App. 1991) 

823 S.W.2d 660 (Tex.Cr.App. 1992) 

821 S.W.2d 616 (Tex.Cr.App. 1991) 

819 S.W.2d 806 (Tex.Cr.App. 1991) 

817 S.W.2d 64 (Tex.Cr.App. 1991) 

817 S.W.2d 77 (Tex.Cr.App. 1991) 

815 S.W.2d 560 (Tex.Cr.App. 1991) 

815 S.W.2d 656 (Tex.Cr.App. 1991) 

807 S.W.2d 8 ( Tex. App. -Corpus Christi 

807 S.W.2d 878 (Tex. App. -Corpus Christi 

806 S.H.2d 900 (Tex. App. -Corpue Christi 

803 S.W.2d 808 (Tax. App. -Corpus Christi 

802 S.W.2d 386 (Tex. App. -Corpus Christi 

802 S.W.2d 901 (Tex. App. -Corpue Christi 

801 S.W.2d 12 (Tex. App. -Corpus Christi 

800 S.W.2d 320 (Tex. App. -Corpus Christi 

797 S.W.2d 243 (Tex. App. -Corpus Christi 

797 S.W.2d 272 (Tex. App. -Corpus Christi 

791 S.W.2d 226 (Tex. App. -Corpus Christi 

789 S.H.2d 688 (Tex. App. -Corpus Christi 

785 S.W.2d 426 (Tex. App. -Corpus Christi 

780 S.W.2d 497 (Tex. App. -Corpus Christi 

779 S.W.2d 83 (Tex. App. -Corpus Christi 

779 S.W.2d 884 (Tex. App. -Corpus Christi 

778 S.W.2d 585 (Tex. App. -Corpus Christi 

774 S.W.2d 771 (Tex. App. -Corpus Christi 

772 S.W.2d 271 (Tex. App. -Corpus Christi 

771 S.W.2d 573 (Tex. App. -Corpus Christi 

769 S.w.2d 661 (Tex. App. -Corpus Christi 

768 S.W.2d 755 (Tex. App. -Corpus Christi 

767 S.W.2d 197 (Tex. App. -Corpus Christi 

764 S.W.2d 846 (Tex. App. -Corpus Christi 

764 S.W.2d 903 (Tex. App. -Corpus Christi 

763 S.w.2d 38 (Tex. App. -Corpus Christi 

761 S.W.2d 549 (Tex. App. -Corpus Christi 

760 S.W.2d 681 (Tex. App. -Corpus Christi 

760 S.W.2d 778 (Tex. App. -Corpus Christi 

752 S.W.2d 734 (Tex. App. -Corpus Christi 

750 S.H.2d 906 (Tex. App. -Corpus Christi 

738 S.W.2d 378 (Tex. App. -Corpue Christi 

736 S.W.2d 134 (Tex. App. -Corpus Christi 



Johnson v. State 

Nelson V. state 

Chavez v. State 

Arcila V. State 

Draughon v. State 

Linsconb v. State 

Fuller V. State 

Garcia v. State 

Phynes v. State 

Ex parte Bower 

Greenwood v. State 

Thomas v. State 

Hernandez v. State 

State V. EngelJcing 

Ex parte McGee 

Lewis V. State 

Ellason V. State 

Castillo V. State 

Burns v. State 

Estate of Hanau, In re 

Olson V. Central Power and. . 

Poindexter v. State 

McNanara v. Freedom Newspa.. 

£x parte Haskin 

State By and Through Matto. . 

Smith V. State 

Lopez V. State 

Villegas v. State 

wisenbarger v. Gonzales Wa. . 

Trapnell v. Hunter 

Martin v. State 

City of Robstown v. Barrera 

Rodriguez v. State 

Estate of Scott v. Victor i.. 

Hargrove v. State 

State V. Benavides 

Fishman v. State 

State v. Moreno 

Southwestern Bell Telephon. . 

King v. Bauer 

Burns v. State 

Gunther v. State 

state V. Brady 

McKinney v. State 

Guerra v. State 

Hosey v. State 

Reyes v. State 

Garcia Rodriguez v. State 

Roe v. State 

Town of South Padre Island.. 



76 



Texas Cases, 691-854 S.W.2d 

Results only 
Query: ju(benavideE) i constitution! 



Docur.ents 



CITATION 



COURT/ YEAR 



TITLE 



716 
716 
707 
706 
704 
703 
698 
697 
697 
697 



,W.2d 
.W.2d 
,H.2d 
.W.2d 
.W.2d 
,H.2d 
,W.2d 
.W.2d 
,W.2d 



693 S 



2d 
2d 



578 
615 
171 
717 
397 
708 
435 
702 
753 
774 
528 



(Tex.App. 
(Tex.App. 
(Tex.App. 
{Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 



-Corpus Christi 
-Corpus Christi 
13 Oist. 1986) 
13 Dist. 1986) 
13 Dist. 1985) 
13 Dist. 1985) 
13 Dist. 1985) 
13 Dist. 1985) 
13 Di3t. 198j) 
13 Dist. 1985) 
13 Dist. 1985) 



, . Corpus Christi Taxpayer's ... 
, . Leeco Gas ( Oil Co. v. Nue... 

Esterline v. State 

Chase V. State 

Chaires v. State 

Wyatt V. General Motors Corp. 

Vista Chevrolet, Inc. v. B 

Dill V. state 

A. Wolfson's Sons, Inc. v.... 

Sattervhite v. State 

Botello V. state 



Texas Cases, 481-690 S.H.2d 

Results only 
Query: ju(benavides) ( constitution! 



Documents 



CITATION 



COURT/ YEAR 



TITLE 



688 S.W.2d 631 (Tex.App. 13 Dist. 1985) 
687 S.W.2d 114 (Tex.App. 13 Dist. 1985) 



Sinast V. state 
Jones V. State 



77 

ATTACHMENT RELATED TO PART II, INQUIRY 5 

FINANCIAL STATEMENT 
NET WORTH 



Fortunato P. Benavides (includes spouse and dependent children) 
463-84-2221 



ASSETS 

Cash on hand and in banks $ 66,91 1.66 

US Government securities-add schedule 0.00 

Listed securities-add schedule 0.00 

Unlisted securities-add schedule 
Accounts and notes receivable: 0.00 

Due from relatives and friends 

Due from others 

Doubtful 
Real estate owned-add schedule-see Schedule A 322,701.08 

Real estate mortgages receivable 0.00 

Autos and other personal property 54,000.00 

Cash value-life insurance 15,107.00 

Other assets-itemize: 

Spouse beneficiary of trusts; trustee is 

Rrst Union National Bank of Rorida* 1,840,121.82 

Horses 11.000.00 



Total Assets $2,309,841.56 



CONTINGENT LlABIUTIES 

As endorser, comaker or guarantor 0.00 

On leases or contracts 773.00 

Legal Claims 0.00 

Provision for Federal Income Tax 12,300.00 

Other special debt 0.00 



UABIUTIES 

Notes payable to banks-secured 0.00 

Notes payable to banks-unsecured 0.00 

Notes payable to relatives 0.00 



78 



Notes payable to others 0.00 

Accounts and bills due 6,690.08 

Unpaid income tax 0.00 

Other unpaid tax and interest 0.00 

Real estate mortgages payable-add schedule-see Schedule C 177,710.97 

Chattel mortgages and other liens payable 6,600.00 

Other debts-itemize: 0.00 



Total liabilities $ 204,074.05 

Net Worth $2,105,767.51 

Total Labilities and net worth $2,309,841.56 



General Information 

Are any assets pledged? (Add schedule.) No 

Are you defendant in any suits or legal actions? No 

Have you ever taken bankruptcy? No 



* Value of five separate trusts based on market value of each trust x (times) spouse's 
percentage of net income interest in each trust; value of separate annuity trust based 
on present value of monthly annuity during spouse's lifetime. 



79 



SCHEDULE A 



Real Estate Interests owned by self, spouse, and Immediate members of family: 



1. 1/7 owner interest in 0.62 acres, Hidalgo, TX $ 571.08 

2. 1/3 owner Interest in 2 lots and improvement. 

Crow Wing County, MN 30,000.00 

3. .000831 royalty interest in land in Hidalgo County, TX 50.00 

4. 0091 non-part/royatty interest on 50 acres 

in Starr County, TX 80.00 

5. 1/3 owner 10 rural acres in Hidalgo County, TX, 

John Sharp Subdivision 33,000.00 

6. 1/8 owner interest of portion of Section 34, 

Township 135, Range 29, Crow Wing County, MN 10,000.00 

7. owner, homestead, lot and house, Austin, TX 249.000.00 

Total Real Estate $322,701.08 



SCHEDULE B 



Specific identification of liabilities in excess of $1 ,000: 



1. Real estate mortgage with Banc One Mortgage $177,710.97 

2. Chattel mortgage: Valley Financial Service 

of Phoenix, AZ, security is spouse's truck 6,600.00 

3. MasterCard (2 accounts) 3.150.00 



Total Uabilities $187,460.97 



80 



SCHEDULE C 



One real estate mortgage secured by home in Austin, Texas 



Payee: 
Date of Note: 
Original Amount: 
Term: 
Payments: 
Balance: 



Banc One Mortgage 

November 1991 

$180,000.CX) 

30 years 

Monthly principal and interest of $1,422.03 

$177,710.97 



81 



RUBEH CASTILLO 

CANDIDATE FOR THE 

NORTHERN DISTRICT 

OF ILLINOIS 

UNITED STATES SENATE 

QUESTIONNAIRE FOR JUDICIAL NOMINEES 

BIOGRAPHICAL INFORMATION (PUBLIC) 

1. Full name (Include any former names used.) 
ANSWER: Ruben Castillo 

2. Address: List current place of residence and 
office address (es). 

ANSWER: Kirkland & Ellis 

200 East Randolph Drive 

Suite 5900 

Chicago, Illinois 60601 

Home Address: 

6015 North Kilpatrick Avenue 

Chicago, Illinois 60646 

3. Date and place of birth. 

ANSWER: August 12, 1954 — Chicago, Illinois 

4. Marital Status (include maiden name of wife, or 
husband's name). List spouse's occupation, 
employer's name and business address(es). 

ANSWER: Married to Sylvia Mojica Castillo on 

August 12, 1978. She is employed as a social 
worker/therapist by Tom Leo and Associates, 
1530 West Wellington, Chicago, Illinois 
60657. 

5. Education : List each college and law school you 
have attended, including dates of attendance, 
degrees received, and dates degrees were granted. 

ANSWER: Loyola University, Chicago, Illinois — 1972 
to 1976 — B.A. Political Science (6/76) 

Northwestern University School of Law, 
Chicago, Illinois — 1976 to June, 1979 J.D. 
(6/79) 

6. Employment Record : List (by year) all business or 
professional corporations, companies, firms, or 



82 



other enterprises, partnerships, institutions and 
organizations, nonprofit or otherwise, including 
firms, with which you were connected as an 
officer, director, partner, proprietor, or 
employee since graduation from college. 

ANSWER: 1974-1979 — Deputy Clerk, Circuit Court of 
Cook County, assigned to Night Arraignment 
Court 

1979-1984 — Associate Attorney, Jenner & 
Block 

1984-1988 — Assistant United States 
Attorney, Northern District of Illinois 

1988-1991 — Regional Counsel, Mexican 
American Legal Defense and Educational Fund 
("MALDEF") 

1991- to present — Partner, Kirkland & Ellis 

1988 to present — Adjunct Professor of Trial 
Advocacy, Northwestern University School of 
Law 

7. Military Service : Have you had any military 
service? If so, give particulars, including the 
dates, branch of service, rank or rate, serial 
number and type of discharge received. 

ANSWER: None. 

8. Honors and Awards ; List any scholarships, 
fellowships, honorary degrees, and honorary 
society memberships that you believe would be of 
interest to the Committee. 

ANSWER; Recipient of Meritorious Service Award by the 
Illinois State Bar Association for pro bono 
work on behalf of indigent criminal 
defendants, June, 1983; Recipient of FBI 
Commendations for outstanding work as a 
Federal Prosecutor (March and November, 
1986) ; Recipient of Award from the United 
States Customs Service for aggressive and 
diligent prosecution of a currency and heroin 
smuggling operation (1987); Recipient of 
Certificate of Appreciation from Drug 
Enforcement Administration for outstanding 



- 2 - 



83 



contributions in the field of drug law 
enforcement (1988) ; Recipient of United 
States Secret Service Certificate of 
Appreciation for superior contributions to 
service's law enforcement responsibilities 
(1988); Recipient of the Maurice Weigle Award 
awarded by the Chicago Bar Foundation in 
recognition of outstanding service to the 
Legal Profession and Organized Bar during 
1989; Selected one of ten outstanding young 
citizens by Chicago Jaycee Organization, 
1989; Selected in 1990 for "40 Under 40" 
Honor by Crain's Chicago Business Magazine; 
Selected Attorney of the Year in 1990 by 
Mexican American Lawyers Association; Awarded 
Community Service Award by Latin American 
Police Association, 1989; Recipient of 
Distinguished Alumni Citation from Loyola 
University in October, 1992; Public Service 
Award by Federal Bar Association, October, 
1993. 

9. Bar Associations ; List all bar associations, 
legal or judicial-related committees or 
conferences of which you are or have been a member 
and give the titles and dates of any offices which 
you have held in such groups. 

ANSWER: Vice President, Chicago Council of Lawyers, 
1991-1993 

Member of Board of Governors, Chicago Council 
of Lawyers, 1988-1991 

Member, Latin American Bar Association, 
1980 to present 

Member, American Bar Association, 1979 to 
present 

Board Member, Chicago Bar Foundation, 1991 to 
present 

Member, Civil Justice Reform Act Advisory 
Group of the United States District Court for 
the Northern District of Illinois (1991 to 
1993) 



- 3 - 



84 



Member of Advisory Board of Children and 
Family Justice Center Northwestern University 
Legal Clinic (1992 to the present) 

Appointed by the Illinois Supreme Court to 
the Special Commission on Administration of 
Justice (Member of the Judicial Selection 
Task Force) (1991 to 1993). 

10. Other Memberships : List all organizations to 
which you belong that are active in lobbying before public 
bodies. Please list all other organizations to which you belong. 

ANSWER: Former member of Board of Directors of the 
Business and Professional People for the 
Public Interest (BPI) ; Former Board Member, 
Chicago Legal Clinic; Current Board Member, 
Alumni Association of Northwestern University 
School of Law; Appointed in 1990 to the 
Visiting Committee of Northwestern University 
School of Law. 

11. Court Admission : List all courts in which you 
have been admitted to practice, with dates of 
admission and lapses if any such memberships 
lapsed. Please explain the reason for any lapse 
of membership. Give the same information for 
administrative bodies which require special 
admission to practice. 

ANSWER: Illinois Supreme Court — 1979 

United States District Court, Northern 
District of Illinois — 1979 

United States Court of Appeals for the 
Seventh Circuit — 1984 



12. Published Writings : List the titles, publishers, 
and dates of books, articles, reports, or other 
published material you have written or edited. 
Please supply one copy of all published material 
not readily available to the Committee. Also, 
please supply a copy of all speeches by you on 
issues involving constitutional law or legal 
policy. If there were press reports about the 
speech, and they are readily available to you, 
please supply them. 



- 4 - 



85 



ANSWER: Note, "Fifth Amendment - Confession and the 

Right to Counsel," 68 Journal of Criminal Law 
and Criminology 517 (1977) Comment, "The Use 
of Civil Liability To Aid Crime Victims, "70 
Journal of Criminal Law a nd Criminology 57 
(1979) . Copies of these articles are 
attached at Tab 1. 

13. Health : What is the present state of your 

health? List the date of your last physical 
examination. 

ANSWER: Good. September 20, 1993 

14. Judicial Office ; State (chronologically) any 
judicial offices you have held, whether such 
position was elected or appointed, and a 
description of the jurisdiction of each such 
court. 

ANSWER: Appointed as Court Special Master in Northern 
District of Illinois, 1990 to 1991, and as 
Court Monitor, 1992 to 1993 by United States 
District Court Judge James B. Zagel (Northern 
District of Illinois) in Burgos, et al. v. 
Ryder, et al. . No. 75 C 3974. My work 
involved monitoring and reporting on the 
ongoing efforts of the Illinois Department of 
Children and Family Services to comply with a 
1977 court decree which requires the 
department to provide bilingual child welfare 
services to clients whose primary language is 
Spanish. 

15. Citations ; If you are or have been a judge, 
provide; (1) citations for the ten most 
significant opinions you have written; (2) a short 
summary of and citations for all appellate 
opinions where your decisions were reversed or 
where your judgment was affirmed with significant 
criticism of your substantive or procedural 
rulings; and (3) citations for significant 
opinions on federal or state constitutional 
issues, together with the citation to appellate 
court rulings on such opinions. If any of the 
opinions listed were not officially reported, 
please provide copies of the opinions. 

ANSWER: I have not written any judicial opinions. 



- 5 - 



86 



16. Public Office ; State (chronologically) any public 
offices you have held, other than judicial 
offices, including the terms of service and 
whether such positions were elected or appointed. 
State (chronologically) any unsuccessful 
candidacies for elective public office. 

ANSWER: Appointed by Mayor Daley in May of 1989 to 
serve on a three member blue ribbon panel 
which recommended revisions to the City's 
Minority and Female Purchasing Set-Aside 
Program . 

Appointed by Mayor Daley in April of 1992 to 
serve on a nine member City of Chicago Gaming 
Commission which reviewed the desirability 
and feasibility of developing a single-site 
casino, hotel, and family entertainment 
complex in or near Downtown Chicago. (Chair 
of the Legal/Regulatory Committee) . 

17. Legal Career ; 

a. Describe chronologically your law practice 
and experience after graduation from law 
school including; 

(1) whether you served as clerk to a judge, 
and if so, the name of the judge, the 
court, and the dates of the period you 
were a clerk; 

(2) whether you practiced alone, and if so, 
the addresses and dates; 

(3) the dates, names and addresses of law 
firms or offices, companies or 
governmental agencies with which you 
have been connected, and the nature of 
your connection with each; 

b. (1) What has been the general character of 

your law practice, dividing it into 
periods with dates if its character has 
changed over the years? 

(2) Describe your typical former clients, 

and mention the areas, if any, in which 
you have specialized. 



- 6 - 



87 



c. (1) Did you appear in court frequently, 
occasionally, or not at all? If the 
frequency of your appearances in court 
varied, describe each such variance, 
giving dates. 

(2) What percentage of these appearances was 
in: 

(a) federal courts; J 

(b) state courts of record; 

(c) other courts. 

(3) What percentage of your litigation was: 

(a) civil; 

(b) criminal. 

(4) State the number of cases in courts of 
record you tried to verdict or judgment 
(rather than settled) , indicating 
whether you were sole counsel, chief 
counsel, or associate counsel. 

(5) What percentage of these trials was: 

(a) jury; 

(b) non-jury. 

ANSWER: I did not serve as a traditional federal 
law clerk. In order to finance my college 
and law school education I served as a state 
clerk to a Cook County local arraignment 
court which held sessions at night. 

From June, 1979 to April, 1984, I worked 
as an associate attorney with the law firm of 
Jenner & Block located at One IBM Plaza in 
Chicago, Illinois 60611. During this time 
period my legal practice consisted primarily 
of general civil and criminal litigation. My 
typical clients included both individuals and 
corporations. I also participated in various 
civil rights and criminal law litigation 
matters on a pro bono basis. During my 
litigation practice at Jenner I split my 
appearances evenly between federal and state 
court, and spent 80% of my time on civil 
litigation and the remaining 20% on criminal 
litigation. 



- 7 - 



88 



In April of 1984 I accepted an 
appointment as an Assistant United States 
Attorney in the Northern District of 
Illinois. I worked at the United State's 
Attorney's Office located at 219 South 
Dearborn Street, Suite 1200, Chicago, 
Illinois 60602. > rom April of 1984 through 
April of 1988 my : ractice consisted 
exclusively of tht investigation, preparation 
and trial of federal criminal prosecutions. 
My only client during this time period was 
the United States During this time period I 
served as lead pr secutor in over twenty-five 
trials, which inc uded more than twenty jury 
trials. 

In April of 988 I became the Director 
and Regional Coun. el of the Chicago Office of 
the Mexican American Legal Defense and 
Educational Fund ("MALDEF"), which was 
located at 542 South Dearborn Street, 
Suite 750, Chicago, Illinois 60605. From 
April of 1988 to April of 1991 I supervised 
and participated in various federal class 
action litigation on behalf of Hispanic 
clients. During this time period I solely 
practiced civil litigation and primarily 
handled employment discrimination, voting 
rights, education and immigration cases. 
Ninety percent of my court appearances were 
in federal court. 

In May of 1991 I became a partner at my 
present law firm of Kirkland & Ellis in 
Chicago. I presently work at Kirkland 's 
office at 200 East Randolph Drive, Chicago, 
Illinois 60601. My practice consists of both 
civil (40%) and criminal defense litigation 
(60%). My typical clients are large Chicago 
based corporations. I have also continued to 
represent individual clients on both a pro 
bono and paid basis. Ninety percent of my 
court appearances are in federal court. 

I have tried over thirty cases to 
verdict or judgment as both chief and sole 
counsel. Ninety percent of these cases were 
jury trial cases. 



89 



I have never practiced alone during my 
legal career. 

18. Litigation ; Describe the ten most significant 
litigated matters which you personally handled. 
Give the citations, if the cases were reported, 
and the docket number and date if unreported. 
Give a capsule summary of the substance of each 
case. Identify the party or parties whom you 
represented; describe in detail the nature of your 
participation in the litigation and the final 
disposition of the case. Also state as to each 
case: 

a. the date of representation; 

b. the name of the court and the name of the 
judge or judges before whom the case was 
litigated; and 

c. the individual name, addresses, and telephone 
numbers of co-counsel and of principal 
counsel for each of the other parties. 

AKSWER: 1. Shy, et al. v. Navistar . Case No. 
C-3-92-333 (Judge Rice, W.D. Ohio, 
1992) . This EKISA class action case 
involved numerous novel litigation 
issues as well as complicated tax and 
federal securities issues, and proceeded 
on a parallel basis in two separate 
federal districts. I was one of the 
main attorneys for Navistar throughout 
this litigation. My primary co-counsel 
were Emily Nicklin and Michael Kerr, 
Kirkland & Ellis, 200 East Randolph 
Drive, Chicago, Illinois (312) 861-2000. 
My opponents were represented by Daniel 
Sherrick, Associate General Counsel 
International Union, United Automobile, 
Aerospace and Agricultural Implement 
Workers of America, 8000 East Jefferson, 
Detroit, Michigan 48214, Tel. No. (313) 
926-5216, and Julia Penny Clark, 
Bredhoff & Kaiser, 1000 Connecticut 
Ave., N.W., Suite 1300, Washington, D.C. 
20036, Tel. No. (202) 833-9340. This 
case was settled in 1993 and the class 
settlement was approved by Judge Rice in 
July of 1993. 



- 9 



90 



Hastert v. Board of Elections. 777 F. 
Supp. 634 (Judges Conlon, Norgle and 
Kanne, N.D. 111. 1991). This Illinois 
congressional redistricting case led to 
the creation of Chicago's first Hispanic 
congressional district. I was the 
senior litigation attorney for Hispanic 
interests in this case. My co-counsel 
on this case were Arturo Jauregui, 
Mexican American Legal Defense and 
Educational Fund, 542 South Dearborn 
Street, Chicago, Illinois 60605 (312) 
427-9363, and Judson H. Miner, Davis, 
Miner, Barnhill, 14 West Erie Street, 
Chicago, Illinois 60610, Tel. No. (312) 
751-1170. The Republican interests in 
this case were represented by Ty Fahner 
of Mayer, Brown & Piatt, 190 South 
La Salle Street, Chicago, Illinois 
60603, Tel. No. (312) 782-0600, and the 
Democratic interests were represented by 
William J. Harte, 111 West Washington 
Street, Suit€ 1100, Chicago, Illinois 
60602, Tel. No. (312) 726-5015 

Ortiz V. Fainnan. et al. . 88-7509 (N.D. 
111. Judge Duff). I was appointed as 
lead trial counsel to represent a 
prisoner in a complex prisoner rights 
case. This trial ended in one of the 
largest individual jury awards to 
plaintiff — $758,000. On December 29, 
1993 Judge Duff granted the defendants' 
motion for a new trial. Thereafter, the 
case was tentatively settled pursuant to 
a confidential settlement agreement. 
The defendants were represented by 
Assistant Attorney General Roger P. 
Flahaven, 100 West Randolph Street, 13th 
Floor, Chicago, Illinois 60601, Tel. No. 
(312) 814-3650 and Assistant Attorney 
General Patricia A. Marshall, 100 West 
Randolph Street, 13th Floor, Chicago, 
Illinois 60601, Tel. No. (312) 814-5195. 

Hernandez v. Woodward . 714 F. Supp. 1963 
(Judge Duff, N.D. 111. 1989). This 
federal voting rights class action 
successfully challenged restrictive 
deputy voter registrar practices which 



- 10 - 



91 



adversely affected the voter 
registration of Hispanic voters. I 
served as chief counsel for plaintiffs 
in this case which was successfully 
settled after the entry of an agreed 
temporary restraining order. My co- 
counsel on this case was Arturo 
Jauregui, Mexican American Legal Defense 
and Educational Fund, 542 South Dearborn 
Street, Chicago, Illinois 60605 (312) 
427-9363. The defendants were 
represented by Stuart D. Gordon, 30 
North La Salle Street, Suite 2040, 
Chicago, Illinois 60602, Tel. Nos. (309) 
759-0800; (312) 541-0707. 

5. Ridge v. Verity, et al. . 715 F. Supp, 
1308 (Judge Standish, W.D. Pa.). I 
argued on behalf of Hispanic interests 
in this complex multi-party action which 
challenged the inclusion of undocumented 
persons in the 1990 census. The parties 
are listed in the published opinion. 
(See Attachment 2) The defendants were 
represented by Sandra M. Schraibman, 
Thomas Peebles and Susan Korytkowski , 
Attorneys, U.S. Department of Justice, 
Civil Division, Room 3744, 10th & 
Pennsylvania Avenue, Washington, D.C. 
20530, Tel. No. (202) 514-2000. 

6. U.S. V. Bentlev. Deoan. Josten & Yuna . 
No. 85 CR 267. After this month long 
jury trial before Judge PlunJcett (N.D. 
111.) convictions were returned against 
all defendants in this commodities case, 
including the first successful 
prosecutions of lower level salesmen. I 
served as one of the chief prosecutors 
in this case. My co-counsel on this 
case was former federal prosecutor James 
R. Ferguson who is presently with the 
law firm of Sonnenschein, Nath & 
Rosenthal, 800 Sears Tower, Chicago, 
Illinois 60606 (312) 876-3188. I 
received a commendation from the FBI for 
my work on this case. The defendants 
were represented by David P. Schippers, 
Schippers & Gilbert, 79 West Monroe 
Street, Suite 400, Chicago,. Illinois 



- 11 - 



92 



60603, Tel. No. (312) 263-1200 and 
Martin S. Agran, Agran & Agran Ltd., 105 
West Madison Street, Suite 700, Chicago, 
Illinois 60602, Tel. No. (312) 236-2434. 

United St ates v. Centracchio & Saleni. 
Nos. 84 CR 2678, 84 CR 2773 (N.D. 111.). 
This was a three week bank fraud 
prosecution involving the Broadway 
National Bank which I successfully tried 
along with now Judge Suzanne Conlbn 
(Northern District of Illinois, Tel. No. 
(312) 435-5595). This jury trial was 
tried before Judge Shadur. The 
defendants were represented by Frank 
Oliver, current address and telephone 
number is unknown, and Gerald M. 
Werksman, 343 South Dearborn Street, 
Suite 1510, Chicago, Illinois 60604, 
Tel. No. (312) 372-5196. 

United States v. Cosentino & Patterson . 

86 CR 359 (N.D. 111., Judge Marvin 
Aspen) . This was an insurance fraud 
trial in which I served as one of the 
lead prosecutors. My co-counsel was 
former Assistant United States Attorney 
Dan DuPree who is presently employed as 
an attorney at the Brunswick 
Corporation, One North Field Court, Lake 
Forest, Illinois 60045-4811, Tel. No. 
(708) 735-4700. The appeal is reported 
at 869 F.2d 301 (7th Cir. 1989). I 
received a commendation from the FBI for 
my work on this case. The defendants 
were represented by Jerome Rotenberg, 
Rosenfeld, Rotenberg, Hafron & Shapiro, 
Chicago, Illinois, Tel. No. (312) 372- 
6058. 

United States v. Dr. Bernard Lerner . 

87 CR 268 (N.D. 111., Judge Marvin 
Aspen) . This was a two week jury trial 
in which I served as one of the lead 
prosecutors which successfully 
prosecuted the fraudulent prescription 
activities by a doctor who was on the 
staff of Northwestern Memorial Hospital. 
My co-counsel was Phillip A. Turner, a 
former federal prosecutor, -who is 



- 12 - 



93 



currently a partner at Turner, Latz « 
OlBStead, 200 West Madison Street, 
Suite 440, Chicago, Illinois 60606, Tel. 
No. (312) 899-0900. The defendant was 
represented by Julius Lucius Echeles, 
300 North State Street, Suite 4428, 
Chicago, Illinois 60610, Tel. No. (312) 
782-0711. 

10- United States v. OriamDo. et a1 , ^ No. 88 
CR 319 (N.D. 111., Judge Harry 
Leinenweber) . This was a one week 
narcotics jury trial which I 
successfully tried by myself in 1988. 
The defendants were represented by 
Dennis Cooley, 155 North Michigan 
Avenue, Suite 716, Chicago, Illinois 
60601, Tel. No. (312) 565-1966, and 
Stuart V. Goldberg, 180 North La Salle 
Street, Suite 1925, Chicago, 
Illinois 60601, Tel. No. (312) 
327-9400. 

^5- Legal Activities: Describe the most significant 
legal activities you have pursued, including 
significant litigation which did not progress to 
trial or legal matters that did not involve 
litigation. Describe the nature of your 
participation in this question, please omit any 
information protected by the attorney-client 
privilege (unless the privilege has been waived) . 

ANSWER: Throughout my career I have devoted myself to 
improving my skills as a trial attorney. I 
have taught Trial Practice at Northwestern 
University School of Law as an adjunct 
professor for the last five years (1989-1994) 
and I have also served as an instructor at 
the National Institute of Trial Advocacy 
("NITA") during the same time period. 

During the last two years I have devoted 
considerable time and effort to improving the 
local court systems by serving as the Vice 
President of the Chicago Council of La%iryers 
and by my service on the Civil Justice Reform 
Act Advisory Group for the Northern District 
of Illinois, the Illinois Supreme Court's 
Special Commission on Administration of 
Justice, and the Advisory Board of the 



- 13 - 



94 



Children and Family Justice Center of the 
Northwestern University Legal Clinic. 
I have also attempted to maintain an active 
community involvement throughout my career as 
indicated by my service on several boards of 
legal services organizations as well as my 
service on several civic commissions. 

II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 

1. List sources, amounts and dates of all anticipated 
receipts from deferred income arrangements, stock, 
options, uncompleted contracts and other future 
benefits which you expect to derive from previous 
business relationships, professional services, 
firm memberships, former employers, clients, or 
customers . Please describe the arrangements you 
have made to be compensated in the future for any 
financial or business interest. 

ANSWER: None. 

2. Explain how you will resolve any potential 
conflict of interest, including the procedure you 
will follow in determining these areas of concern. 
Identify the categories of litigation and 
financial arrangements that are likely to present 
potential conf licts-of-interest during your 
initial service in the position to which you have 
been nominated. 

ANSWER: I plan to strictly follow the Code of Conduct 
for United States Judges. The only potential 
conflicts of interests that I can perceive 
are related to personal friendships rather 
than financial arrangements. I will 
automatically excuse myself from hearing any 
matters in which the parties are represented 
by my personal friends. In addition, because 
of my close prior association with NALDEF I 
do not believe it would be appropriate for me 
to preside over any litigation filed by 
MALDEF in the Northern District of Illinois. 

3. Do you have any plans, commitments, or agreements 
to pursue outside employment, with or without 
compensation, during your service with the court? 
If so, explain. 



- 14 



95 



ANSWER: With the permission of the Chief Judge of the 
Northern District of Illinois and in 
compliance with the Code of Conduct for 
United States Judges, I plan to continue my 
service as an Adjunct Professor of Trial 
Advocacy at Northwestern University School of 
Law. My compensation agreement with 
Northwestern is $2,000 per year as indicated 
m the attached Financial Disclosure Report. 
(Tab 3) . 

4. List sources and amounts of all income received 

during the calendar year preceding your nomination 
and for the current calendar year, including all 
salaries, fees, dividends, interest, gifts, rents, 
royalties, patents, honoraria, and other items 
exceeding $500 or more (If you prefer to do so, 
copies of the financial disclosure report, 
required by the Ethics in Government Act of 1978 
may be substituted here.) ' 

ANSWER: See attached Financial Disclosure Reoort 
(Tab 3) . ^ ' 

5. Please complete the attached financial net worth 
statement in detail (Add schedules as called for) . 

ANSWER: See Attached Schedule, (Tab 4). 

6. Have you ever held a position or played a role in 
a political campaign? If so, please identify the 
particulars of the campaign, including the 
candidate, dates of the campaign, your title and 
responsibilities . 

ANSWER: I have not played an active role in any 
political campaign. I have served on 
Political Lawyers Committees for U.S. Senator 
Carol Mosley-Braun; State Senator Jesus 
Garcia and State Senator Miguel del Valle. 



III. GENERAL (PUBLIC) 



An ethical consideration under Canon 2 of the 
American Bar Association's Code of Professional 
Responsibility calls for "every lawyer, regardless 
of professional prominence or professional 
workload, to find some time to participate in 
serving the disadvantaged." Describe what you 
have done to fulfill these responsibilities. 



- 15 - 



96 



listing specific instances and the amount of time 
devoted to each. 

ANSWER: Throughout my legal career I have worked on 

significant pro bono litigation and worked on 
various efforts at improving the legal system 
for the disadvantaged. At Jenner & Block I 
worked on several federal civil rights cases 
as well as a pro bono murder case. At 
Kirkland & Ellis I worked on a prisoner 
rights trial and a congressional 
redistricting trial on a pro bono basis. 

During my tenure at the Mexican American 
Legal Defense and Educational Fund and 
throughout my service on various boards and 
commissions, such as the Chicago Legal Clinic 
and the Chicago Bar Foundation, I have sought 
to ensure that the legal system became more 
accessible to the disadvantaged. 

I estimate that I have spent well in excess 
of 300 hours per year on pro bono matters. 

2. The American Bar Association's Commentary to its 
Code of Judicial Conduct states that it is 
inappropriate for a judge to hold membership in 
any organization that invidiously discriminates on 
the basis of race, sex, or religion. Do you 
currently belong, or have you belonged, to any 
organization which discriminates — through either 
formal membership requirements or the practical 
implementation of membership policies? If so, 
list, with dates of membership. What you have 
done to try to change these policies? 

ANSWER: I am not and have never been a member of any 
organization of this type. 

3. Is there a selection commission in your 
jurisdiction to recommend candidates for 
nomination to the federal courts? If so, did it 
recommend your nomination? Please describe your 
experience in the entire judicial selection 
process, from beginning to end (including the 
circumstances which led to your nomination and 
interviews in which you participated) . 

ANSWER: Beginning March of 1993 I submitted a formal 
application with a 26 member Merit Selection 



16 - 



97 



Commission which was named by Senators Sinon 
and Carol Mosley Braun. The application form 
was similar to this form. Thereafter, I was 
one of forty-six candidates (out of 130 
applicants) that was formally interviewed by 
the full Commission. In July of 1993 my name 
was among the names of ten finalists that 
were submitted to the Senators by the 
Commission. After all ten finalists were 
interviewed by the Senators I was informed 
that the Senators had recommended my 
nomination, along with two other names, for 
the three vacancies which currently exist in 
the Northern District of Illinois. 
Thereafter, I was subjected to further 
evaluations by the local bar associations in 
Chicago. I was found qualified to serve as a 
federal judge by the Chicago Council of 
Lawyers and the Chicago Bar Association. I 
was found highly qualified by the Illinois 
State Bar Association. During the last five 
months I have been the subject of further 
evaluations by the Department of Justice, the 
Federal Bureau of Investigation and the 
American Bar Association. I was formally 
interviewed on one occasion during each of 
these investigations. After the completion 
of these three investigations I was formally 
nominated by the President for consideration 
by the Senate. 

Has anyone involved in the process of selecting 
you as a judicial nominee discussed with you any 
specific case, legal issue or question in a manner 
that could reasonably be interpreted as asking how 
you would rule on such case, issue, or question? 
If so, please explain fully. 



ANSWER: No. 



Please discuss your views on the following 
criticism involving "judicial activism." 

The role of the Federal judiciary within the 
Federal government, and within society generally, 
has become the subject of increasing controversy 
in recent years. It has become the target of both 
popular and academic criticism that alleges that 
the judicial branch has usurped many of the 
prerogatives of other branches and levels of 



17 - 



98 



government. Some of the characteristics of this 
"judicial activism" have been said to include: 

a. A tendency by the judiciary toward problem- 
solution rather than grievance-resolution; 

b. A tendency by the judiciary to employ the 
individual plaintiff as a vehicle for the 
imposition of far-reaching orders extending 
to broad classes of individuals; 

c. A tendency by the judiciary to impose broad, 
affirmative duties upon governments and 
society; 

d. A tendency by the judiciary toward loosening 
jurisdictional requirements such as standing 
and ripeness; and 

e. A tendency by the judiciary to impose itself 
upon other institutions in the manner of an 
administrator with continuing oversight 
responsibilities . 

ANSWER: Our country was designed to have a three 

branch form of government. The role of the 
judiciary should be to apply (not create) the 
law to the facts presented by a specific case 
or controversy. It is a fundamental mistake 
for the judiciary to attempt to promulgate 
new laws or duties because such activities 
would usurp the role of the legislative 
branch of government. By the same token, 
most legal oversight responsibilities are 
properly the role of the executive branch of 
government and should not be the 
responsibility of the judiciary. The 
jurisdictional requirements are vital and 
important to the proper functioning of the 
federal judiciary and help to ensure that the 
proper cases and controversies are decided by 
the judicial branch of government. 



- 18 - 



99 



FINANCIAL DISCLOSURE REPORT KHRKsHjOrrnT""-- 

(9 u.a.c.A. *pp. t, itioi-iui 



1. r«r»OD R*portlDg (Last oab«, tlrat, aiddl* loltla.i 
Castillo, Ruben 


2. Court or Orgaolsatloa 

United States District Court 
Northern District of Illinois 


]. Data of aaport 

2/1/9A 


4. Tltl* (Artlcla XII 3udg«* Indlcat* activa or 

aanlor atatua; Haglatxata iudaaa lodlcata 
full- or fxl-tiMi) 

Active Status 


S. Haport Typa {chacic appropriate typa) 
X aoKlaatloo. Data 1/2//-A 
Initial Anooal Final 


6. ftapoxllDg Parlod 

1/1/93-2/1/94 


7. Cbaabaxa or Of flea Mdraaa 

200 East Randolph Drive 

Suite 5900 

Chicago, Illinois 60601 


e. on tlia baala of tjia loforsatlon cootaload Id thla Kaport, It 
la, la vy oplnloD, Id co^llanca wlUi applleabla lawa and 
x«gulatloaa 

KavlavlDg offlcar slonatura 


IMPORTANT NOTES: The iAstrucaons accompanying this form must be followed. Complete ali parts, 
cfaeddng the NONE box for each section where you have no reportable iDformatlon. lign on last page. 



I. POSITIONS. (Reporting indmdual on]y, sec pp. 7-8 of Isstniaioos.) 

POSITION NA.MB OF ORGANIZATION.^NTITY 



n 



NONE (No raportal)la poaltlooa] 

Partner 

Board Member 
Board Member 



Kirkland I. Ellis (5/91 to Present) 



Business and Professional People fo r Public Interest 

(1591-7/53) 

Chicago Legal Clinic (1991-7/93) 



II. AGREEMENTS. (Reponmg individual only; sec p 8-9 of Instrunions.) 
DATE PARTIES AND TERMS 



NONE (Ho raportabla agraaaaata) 



III. NON-INVESTMENT INCOME, (f.eponing individual and spouse; see pp. 9-12 of Instructions.) 



SOURCE AND TYPE 



D 



(Honoraria only) 

NONE (lo raportabla aoD-lDvaataact loc -aa) 



R. Castillo 

1 

R. Castillo 



R. Castillo 



(S) 



Kirkland 


& Ellis 


(1992) 


- Law 


Firm 


Partner 


Kirkland 


& Ellis 


(1993) 


- Law 


Firm 


Partner 


Northwestern University 


School 


of 


Law (1994) 


Afljunct 
Tom Leo 


rro: essor 

& Associates (1992) Social 


Therapist 



(S) 



Tom Leo i Associates (1993) Social Therapist 



GROSS INCOME 
(yours, not spouse'*) 



S 190.000 
$ 215.000 
$ 2,000 

$ 

$ 



100 



FINANCIAL DISCLOSURE REPORT (cont'd) 



■ ■■• of PftTBoa Itoportloo 

Ruben Castillo 



o«t« of 
2/1/94 



IV. REIMBURSEMENTS and GIFTS - transportat on, lodging, food, entertainment. 



(Includes those to spouse and dependent children; use the pt rcnthctlcals '(S)' and '(DC)' to Indicate reportabk 
rclmburKDients and gifts received by spouse ana dependec children, respectively. See pp.13-15 of Insimctlaoa.) 

SOURCE DESCRimN 

^ I NONE (lo aucb rvportabl* rvlaburs^oti or gifts) 



E 



V. OTHER GIPTS. (includes those lo spouse and dependent children; use the parenthetlcals *(S)' and '(DC)* to 
Indicate other gifts received by spouse and oepcndent children, respectively. Sec pp.1^16 of Instmfittooa.) 



□ 



SOURCE 



NONE (lo sueb taporubl* gltto 



DESCRIPTION 



VAUJP 



Vi. LIABILITIES. 



(Includes those of spouse and dependeot chii .^n; Indicate where applicable, person rcspooflMc 

.,: — .u.. .L..*: — I '/c^' r„_ ... !;„■, .,, «r r-^.,^.. -/T.- for joint UabLlity of —•«-*<"- 

18 oilnstructioos.) 



for liabUit> by usinj the parenthetical "(S)' for separate lial »\ of spouse, '(J)" for joint liability of reporting 
Individual aoo spouse, and '(DC)' for liability of a dcpcndeni child. See pp.lfr-'" ' ' 



□ 



CREDITOR 
NONE do raporublo llabllStloa) 



DE-S^RIPTION 



VALUE CODE* 



J • tSS.OOO or laai 

■ - J2SD,001 vo SSOO.OOO 



a • lis, 001 ts tso.oDO 

O - 1500.001 to si. 000, 000 






1 to 1100,000 
Jiu tl, 000, 000 



M • 1100,001 ts UM.OOO 



101 



FINANCIAL DISCLOSURE REPORT (cont'd) 



■tta* of P«r*oo teporting 

Ruben Castillo 



D«t« of 

2/1/9A 



VII. INVESTMENTS and TRUSTS - income, value, transactions. (lociudu those or 

and dcpeodcDt children; icc pp. lft-27 of Instructions.) 



DMcrisUsa of Aw*ta 
(Iscla2Ia« cnac mmu) 

X»dlo«t«, vb«r« AppUc»bl«, einwr of 
t&« ••••i by ualA^ i£* p&r«BtJi«uc«l 

■ iTlft LtB pHoC SGclSuT*. 




at «ad or 


Tr«B««ctloBa during r«partJj>g parlod 


(1) 


(3) 

'ST: 


(!) 






I( sot aoapt tzcm 4tielooi>z« | 


Hon til' 


Va lotto 




IOM(|lr ot 


NONE lao r«port«tl» 
Iwpr— , «•••(•. or 




















1 

1st Nationwide Bank - IRA 


A 


Int. 


J 


T 


None 










2 

Illinois College Bonds 


A 


Int. 


J 


T 


None 










3 

1st Nationwide Bank - IRA(s) 


A 


Int. 


J 


T 


None 










« Putnam U.S. Govt. Income - 
IRA Rollover Plan(s) 


A 


Int. 


J 


T 


Buy 


1/1/9 


3 J 


A 


Putnam Investme 


5 
























* 




















7 




















• 




















• 




















SO 




















11 




















12 




















13 




















14 




















IS 




















It 








































11 




























































> H**^'?^; Co<l»«i »-S1.001) or loot l-Sl.OOl to 12,500 C-$2,501 to 5,000 O-»S,O01 to 915.000 
• AT* 1 •, " * "' I-Sli-OOl to 550,000 r-S5D.O01 to 5100, OOD 0-5100,00) to 51.000,000 B-Horo than 51,000.000 


2 ^.lu. coo... J.}ll,tM or I..; i!.!i5;661 to 554,655 U-h5,t51 to iVii.bti, iPJlM,841 il iSSilSdt — 

(»•• Col. CI i 031 »-5250,OOl to 5500,000 0-5500,001 to 51.000.000 P-Mor« th.n 51,000.000 


] v.lo. Mtiioa CoOm: 6.*ppr.l..l »-Co.t (r«tl .Itit. inly) 5>A»..>p.i.t* ' *-i«.b;il.rk«l 
(••• Col. ai U-loot Valuo v-otter ■•Sstlutv) 



102 



I FINANCIAL DISCLOSURE REPORT (coDl'd) 



Haas of PvraoD Kaportlog 

Ruben Castillo 



Dat« of 

2/1/94 



VIII. ADDITIONAL INFORMATION or EXPLANATIONS, (todict. p.rt of Report.) 

1. With respect to Part I, I have served since 1991 as a Board of Director of the 

Chicago Bar Foundation, a charitable arm of our local Bar Association. 

2. mth respect to item 5 in Part 111, I began teaching a trial practice course 

at Northwestern University School of Law in January of 199A as an Adjunct Professor. 
My teaching responsibilities will be completed in June of 1994. 



IX. CERTIFICATION. 

In compliance with the provisions of 28 U.S.C. § 455 and of Advisory Opinion No. 57 of the Advisory Comminee on 
Judicial Aaivities, and to the best of my knowledge at the time after reasonable inquiry, I did not perform any adjudicaioiy 
funnion in any litigation during the period covered by this repon in which I, my spouse, or my minor or dependent children 
had a financial interest, as defined in Canon 3C(3)(c), in the outcome of such litigation. 

I cenify that all information given above (including information pertaining to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to the best of my knowledge and belief, and that any infonnaiioo not reported was 
withheld because it met applicable statutory provisions permitting non-disclosure 

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been 
reported are in compliance with the provisions of 5 U.S.C.A. app 7, § 501 et. seq., 5 U.S.C § 7353 and Judicial ConfercDoe 
regulations. 




Signature A^Z^-^ ( (f-^-Z^/fi^^ Due J>. ' /- ^y 



NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.CA. APP. 6, { 104, AND 18 MS.C fi 1001.) 



FILING INSTRUCTIONS: 

Man signed original and 3 additional copies to: Judicial Ethics Comminee 

Administrative Office of the 

United Suies Courts 
Washington, DC 20544 



103 



ATTACHMENT FOUR 
RNANOAL STATEMENT 



NET WORTH 



RUBEN CASTILLO 



Provide I complete, current n/iinclal net worth suumeni which iterruui In deuJ 
tU usru (Including \>kr± acc«unu, rul estate, securities, trusu, investmenu, u^d other fin^c-Ul 
ho1di/igs) all liabUidei (Including debts, mortgiges, loins, ud other fininclil obligationt) of 
yoiirvel/, your spouse, and other l/runediit* members of youx household. 



ASSETS 




UAiiLrnz4 




Cuh en hu\i iiil ir buiij 


V, 


(X^ 




NoLu fM/»b;< IS b*nij-Mair«d 








U.S. Covtmsfnt fcunia-tid 








Holu f lytklc le itfia-tinitevU 








Lined KOilitici-tdi Khidull 








NoUi pt/tblj le r«:ui«« 








UrUJlttd »«ci»ii:ci--»i4 Kbtdjit 








Noui piytbk i« eikui 








Acxounli Lftd relet rtocivible; 








AceounU ind billi du« 


1^, 


fd 


Dvj« frvm r«!itirti &rd fricndj 








Un; lid {nconv* lu 








CS;« from olhe/l 








OlSt/ iifiptid lu ind irUrtil 








Doubtful 








Ret] tiUK n,(r-4nu piytb.'c-aSd 

»chtda]. -Pt-.^Scv.-n. (i-S.OrA^f 


IW, 


000 




Kc*) C4U1C ownc4-t4d >ch«^U 


:j^o. 


6(X} 




Ctiud owrimci and ot>i*r li«iu pty. 
tbU 








XtA) <iuK wor^tnti ttct'iMttU 








Olhef d£b(j-i'.«(iuu-- 








Auloc ifid etfitr jKnaoC froperly 


1^', 


COL 












Cuh viJje-L/« i/Mu;4rc« 


'Z, 


ODO 












Oihtr »Aj;b-r.«nui«: 
















StTt^e (^ollc-sc ftovJi^ 


2.0 


COO 






. : 




Te-(\ Acco^.-.r^ 


2^, 


<23d 










" 










ToUJ UtklliiiM 


IJQ 


(YT, 


~ 










Net Wottt 


153, 




~ 


Tout A.u<u 


^^^,. 


0(?0 




Tou] L'tbiliiSu ml net ««rlk 


V» 


rvj^ 


^^ 


CO.vnNCENT UABnJTIES 


None 






GENERAL INFOJLMATION 






■* 


Aj toiottu, fcomiier or gviuuilor 








Are 4ny uk'j plaSjed? (Add Khed- 
uk.) 


MO 






Od Ituct or oontracli 








Aft you defeodtnl ir. tr.y luiu or lc|t] 
tfb'oiuT 


(OO 






Vtfi Otlmt 








Hiv« yw CM uitB btftbvpiey? 


MO 




■* 


Proviiion for FedenJ IrKomt T« 














■• 


Otfxr ipuU] debt 


y 


p^ 


===»= 








; 




6^jL^ 



^'^^-^^3 



Persona] residence mortgage is held by Oak Trust 
Savings Bank (Chicago, Illinois) 



NOMINATIONS OF CARL E. STEWART, TO BE 
U.S. CIRCUIT JUDGE; JAMES CARR, CLAR- 
ENCE COOPER, FRANK M. HULL, MARY M. 
LISI, AND W. LOUIS SANDS, TO BE U.S. DIS- 
TRICT JUDGES 



THURSDAY, APRIL 21, 1994 

U.S. Senate, 
Committee on the Judiciary, 

Washington, DC. 

The committee met, pursuant to notice, at 2:38 p.m., in room 
SD-106, Dirksen Senate Office Building, Hon. Herbert Kohl presid- 
ing. 

Also present: Senators Metzenbaum and Thurmond. 

OPENING STATEMENT OF SENATOR KOHL 

Senator Kohl. This hearing will come to order. This afternoon, 
the Judiciary Committee will conduct a hearing on the following ju- 
dicial nominees: Judge Carl Stewart to be Circuit Court Judge for 
the Fifth Circuit Court of Appeals; Judge James Carr to be District 
Court Judge for the Northern District of Ohio; Judge Clarence Coo- 
per to be District Court Judge for the Northern District of Georgia; 
Judge Frank Hull to be District Court Judge for the Northern Dis- 
trict of Georgia; Mary Lisi to be District Court Judge for the Dis- 
trict of Rhode Island; and Judge Louis Sands to be District Court 
Judge for the Middle District of Georgia. 

As is customary, we will hear first from Senators and Represent- 
atives who wish to introduce nominees to the committee, but before 
we turn to them let me state for the record that each nominee has 
completed a detailed questionnaire on his or her qualifications, ex- 
perience, finances and philosophy. The portions of the question- 
naire available to the public will be printed in the record of this 
hearing. 

I understand that we have received a letter concerning the nomi- 
nation of Mary Lisi from Stephen Fortunato, so we will make that 
part of the record. 

[The letter referred to follows:] 



(105) 



106 

The Law Firm of 

FORTUNATO & TaRRO, 
Warwick, RI, March 15, 1994. 

Hon. Joseph Biden, 
U.S. Senate, 
Washington, DC. 

Dear Senator Biden: On March 14, 1994, I received a call from Cathy Poston, 
Esq., Chief Nominations Counsel, who indicated that I should direct a letter to you 
in light of your poUcy of generally not having live testimony on nominations to the 
Federal Bench. 

I am opposed to the nomination of Mary Lisi to the United States District Court 
for the District of Rhode Island because she has absolutely no experience as a trial 
lawyer. Based upon my own frequent practice in the United States District Court 
over the past twenty-three (23) years, as well as discussions about the matter with 
professional colleagues, I believe I can safely state that Mary Lisi has not handled 
any matters in the United States District Court. It also appears that she has never 
been involved as counsel in a jury trial — or in any significant non-jury matters in 
any court for that matter. 

I believe she has had some experience as a court-appointed advocate for children 
in Family Court matters, but this role bespeaks more of social work rather than a 
trial attorneys position. As you are aware, proceedings involving juveniles are in no 
way as formal and rigorous as matters that come before a federal trial court. 

At the present time, Ms. Lisi is Chief Counsel for the Supreme Court, handling 
disciphnary matters involving complaints against attorneys. Again, the forum is in 
no way a formal one regarding procedures and matters of evidence. 

In short, Mary Lisi has no meaningful trial experience whatsoever, and she has 
not gained experience elsewhere to equip her for the federal trial coxirt. Frankly, 
other than trial experience, I do not see how anyone can become qualified to sit as 
a United States District Court judge. This, in my opinion, is somewhat different 
from a nominee for an appellate position, where a distinguished career of teaching 
and scholarship could qualify one for the United States Court of Appeals or even 
the Supreme Court of the United States. 

I understand from Ms. Poston that this letter will be circvdated to other members 
of the Committee, and for this I am grateful. 

It is my hope that members of the Committee will raise this question directly in 
its inquiry of Ms. Lisi and in its deUberations. The people of Rhode Island who seek 
relief in the Federal Cotirts — or who must defend themselves against claims in that 
forum — deserve to have their matters adjudicated by someone who has significant 
experience with the Federal Rules of Evidence and Procedure as well as at least 
some of the important and complex statutes that are regularly disputed in the Fed- 
eral Courts. 

I thank you for your attention to this. 
Very truly yours, 

Stephen J. Fortunato, Jr. 

P.S. I should add that when this position became available, it was the consensus 
of the legal community and the public at large that it would be fitting for a woman 
to be appointed because no woman has previously served on this Court in Rhode 
Island. I can assure you that in Rhode Island there are a number of qualified 
women, many of whom have distinguished records as federal litigators and some of 
whom are presently sitting members of the Rhode Island judiciary. 

Senator KOHL. We will keep the record open for a limited time 
for any other submissions to the committee and in case members 
of the committee would like to submit written questions. Of course, 
we will place in the record the full introductory statements of home 
State Senators. 

We have a number of very distinguished Senators with us today, 
and so we are going to begin with them. Before we do, though, let 
me make one point. We have six nominees, but not too much time 
this afternoon, and so we need to complete the hearing today in 
order to go to markup next week. Therefore, to the extent that in- 
troductions can be somewhat abbreviated, it would be appreciated 
by everybody. 



107 

First, on behalf of Ms. Lisi, we have Senator Chafee and Senator 
Claiborne Pell here today, and we will have that introduction first. 
Senator Pell. 

STATEMENT OF HON. CLAIBORNE PELL, A U.S. SENATOR 
FROM THE STATE OF RHODE ISLAND 

Senator Pell. Thank you very much, indeed. Senator Kohl. 
Members of the committee, it is with very real pleasure that I am 
here to introduce to you Mary Lisi of my State of Rhode Island for 
the position of district court judge. 

I am very pleased by this nomination and proud to be part of it. 
I am confident that following your review of her qualifications, you 
will agree that President Clinton made a wise, appropriate choice 
for the vacancy on the Federal bench in my State. 

I recommended Mary Lisi to President Clinton because I consid- 
ered her a person of exemplary talent, sterling character, and very 
real compassion, whose legal career has been distinguished by high 
professional competence and by her most judicial temperament and 
demeanor. 

Mary Lisi is a native Rhode Islander. She received her under- 
graduate degree from the University of Rhode Island, her law de- 
gree from Temple. In her legal career, she has served in private 
practice, as a public defender, and as a court-appointed special ad- 
vocate for children and juveniles in our State's juvenile system. 

In recommending Mary Lisi to President Clinton, I realized that 
her distinguished, accomplished legal career was quite different in 
character from those of many other nominees, but I believe strong- 
ly that her experiences, though different from the traditional, were 
equally as important and would bring to the bench a diversity of 
background. In short, I believe strongly that Mary Lisi has the nec- 
essary skills, knowledge, and temperament. 

I would also note that this is an historic day for the Federal judi- 
ciary in my State. If confirmed, Mary Lisi will become the first 
woman to become a Federal judge in Rhode Island. It is hard to 
believe it has taken over 200 years for us to come to this point, but 
I am glad we finally have. 

As we achieve greater diversity in the makeup in our Federal ju- 
diciary, it is imperative that we not sacrifice the integrity and qual- 
ity of our court system, and that is why I am so proud of this nomi- 
nation, which will add a great deal to the Federal bench. 

I thank you for this opportunity, Senator Kohl. 

Senator Kohl. Thank you, Senator Pell. 

Senator Chafee. 

STATEMENT OF HON. JOHN CHAFEE, A U.S. SENATOR FROM 
THE STATE OF RHODE ISLAND 

Senator Chafee, Thank you very much, Mr. Chairman. First, I 
am delighted to join with Senator Pell in welcoming Ms. Lisi to the 
Hill and introducing her to this committee. 

In our State, Mr. Chairman, we take great pride in the Rhode 
Island members of the Federal judiciary. At the district court level, 
we have Judges Laqueux and Torres and retired Judges Pettine 
and Boyle. Judge Selya serves with distinction on the first circuit. 



108 

and each of these judges are truly outstanding individuals and 
have served our Nation extremely well. 

I am confident that Mary Lisi will bring added luster to this no- 
table group, and I am very pleased to recommend her to you for 
the position of U.S. district judge for Rhode Island. She has got an 
impressive resume that details a career devoted to public service. 
She spent the greater part of the 1980's working in the courts to 
protect the rights and well-being of abused or neglected children in 
our State. 

Since 1988, she has worked to ensure the integrity of our court 
system by serving on the Supreme Court Disciplinary Board. I also 
would note that in the last 2 years, Mary Lisi gave of her time by 
serving on a very important commission we had to investigate the 
failure of some of our credit unions, and this was an extremely dif- 
ficult job that took untold number of hours and she carried herself 
off with great distinction. 

So, in sum, Mr. Chairman, the committee has before it this nomi- 
nee whose professional life has truly been dedicated to serving our 
community and the interests of justice and fairness. So it is with 
enthusiasm that I recommend her to you, Mr. Chairman. 

Senator KOHL. Thank you very much, Senator Chafee and Sen- 
ator Pell. 

Ms. Lisi, we will come back to you in a few minutes. 

We have three nominees from the State of Georgia. They are rep- 
resented here today by Senator Nunn and Senator Coverdell, and 
I don't know if Congressman Lewis here. We will take those nomi- 
nees, Senator Nunn, as you wish for their introductions. We have 
three nominees. How would you like to introduce them today? 

STATEMENT OF HON. SAM NUNN, A U.S. SENATOR FROM THE 

STATE OF GEORGIA 

Senator Nunn. Thank you very much, Mr. Chairman. On behalf 
of Senator Coverdell and myseLf — and he will add whatever re- 
marks he would like to make, but I believe I am speaking on behalf 
of both of us because we have discussed this — it is my honor and 
pleasure to introduce to the committee today three of President 
Clinton's nominees to the Federal district court seats in the State 
of Georgia. 

All of them are judges, outstanding judges: Judge Clarence Coo- 
per, Judge Frank Hull, and Judge Louis Sands. They already have 
made £in outstanding record on the bench and, of course, we are 
very proud of the diversity they represent, but I can assure the 
members of this committee that they were selected because they 
are outstanding individuals, and I believe will make outstanding 
Federal judges. I am just going to say a few words about each of 
them. 

Judge Cooper currently serves on the Georgia Court of Appeals. 
He was appointed by Gov. Joe Frank Harris to that position in 
1990. He was returned by the voters of Georgia to that position in 
1992. Prior to joining the court of appeals, Judge Cooper was on 
the Fulton County Superior Court and on the Atlanta Municipal 
Court, so he has had very significant judicial experience. He also 
served as assistant district attorney in Atlanta. 



109 

Judge Cooper has distinguished himself in his military service 
and his education. From 1968 to 1970, Judge Cooper served in the 
U.S. Army and received a Bronze Star for his tour of duty in Viet- 
nam. He is a graduate of Clark College, the John F. Kennedy 
School of Grovernment, and the Massachusetts Institute of Tech- 
nology Community Fellows Program. After beginning his legal edu- 
cation at Howard University School of Law in 1964, Judge Cooper 
transferred to Emory University in Atlanta, and as an Emory grad- 
uate myself, I am very proud to say, that he graduated from Emory 
with a juris doctor degree in 1967. 

Judge Frank Hull was appointed to the Atlanta Judicial Circuit 
in 1990. Judge Hull was returned by the voters in 1992. Before 
joining the superior court, Judge Hull served 6 years on the Fulton 
County State Court. She has had an outstanding record in both of 
those positions. 

Judge Hull is a graduate of Randolph-Macon Women's College 
and a cum laude graduate of Emory University Law School. In 
1973, Judge Hull served a clerkship with Judge Elbert Tuttle, then 
judge of the fifth circuit court of appeals. From 1974 to 1984, she 
worked for the firm of Powell, Goldstein, Frazer & Murphy as a 
trial attorney handling a broad range of cases in the Federal and 
State courts. 

Judge Hull is a longtime participant in a large number of legal 
and civic concerns. She has been very active in the Atlanta project, 
an effort by former President Carter to address in a comprehensive 
manner the problems of crime, health, and education that are 
found in the Atlanta area, and indeed in most of the cities of our 
country. She has done a tremendous amount of work in counseling, 
job placement, drug and alcohol rehabilitation, and other endeavors 
so important in the whole judicial system. 

Judge Louis Sands currently sits on the superior court of the 
Macon judicial circuit, a position to which he was appointed by 
Gov. Zell Miller in 1991. Between 1975 and 1987, Judge Sands was 
an assistant district attorney for the Macon circuit and an assist- 
ant U.S. attorney for the Middle District of Georgia. He was the 
senior assistant U.S. attorney in the middle district for 8 years. 

During his tenure in the U.S. attorney's office and the district at- 
torney's office. Judge Sands developed a strong record in handling 
complex criminal and civil cases. He has a background in child sup- 
port enforcement and has served on several State task forces deal- 
ing with family violence, gender equality, and substance abuse. 
Judge Sands spends much of his spare time working with our 
young people in Georgia. In fact, Mr. Chairman, these are all peo- 
ple of diff'erent backgrounds, but they have a common denominator, 
and that is their dedication to the young people and to the family 
and their concern about family breakup in our State and in our Na- 
tion. 

Judge Sands is a graduate of Mercer University and the Mercer 
University Walter F. George School of Law. He is an active mem- 
ber of the Macon community, helping to lead the Adopt-a-Role 
Model Program that matches local professionals with high-school- 
age children in mentoring relationships. He is also very active in 
the Stewart Chapel African Methodist Episcopal Church. When 
Judge Sands is approved by this committee and the Senate, I be- 



110 

lieve he will be an asset to the Federal bench, just as he has been 
at the State level. 

All of these are outstanding individuals, Mr. Chairman and Sen- 
ator Thurmond. I interviewed these people extensively and the oth- 
ers who were contenders for these jobs. We had an unusual number 
of well qualified applicants. These people were outstanding, and I 
think they will do an excellent job for our State and Nation. I com- 
mend them to you. Senator Thurmond, the committee, and to the 
Senate. 

Senator KoHL. We thank you, Senator Nunn, 

Senator Coverdell. 

STATEMENT OF HON. PAUL COVERDELL, A U.S. SENATOR 
FROM THE STATE OF GEORGIA 

Senator CovERDELL. Mr. Chairman, I want to echo the remarks 
given by Senator Nunn, and also publicly thank him for the co- 
operation extended to our office in the process by which he meas- 
ured the applicants for these high posts. 

All of these individuals are distinguished citizens of our State. 
They have demonstrated academic proficiencies. They have dem- 
onstrated a community spirit so necessary in the work for which 
they will soon be challenged. They have professionally impeccable 
records. The President has selected, along with Senator Nunn and 
his office, three very distinguished Georgians very suitable to serve 
their Nation and this President. 

Senator KoHL. Thank you very much. 

Senator Nunn. Mr. Chairman, I see that Congressman John 
Lewis is here. I am very proud that he could join us today. I know 
he knows these individuals very well. 

Senator KoHL. Very good. Thank you. Senator Nunn and Senator 
Coverdell. 

Representative Lewis. 

STATEMENT OF HON. JOHN LEWIS, A REPRESENTATIVE IN 
CONGRESS FROM THE STATE OF GEORGIA 

Representative Lewis. Thank you very much, Mr. Chairman, 
Senator Thurmond. I am very pleased to be here to join with Sen- 
ator Nunn and Senator Coverdell in introducing Judges Hull, Coo- 
per, and Sands to you. 

This is indeed a very special occasion for the people in the State 
of Georgia and for our Nation. The nomination of these three 
judges to the Federal bench tends to demonstrate the distance we 
have come as a nation and as a people. It reflects this administra- 
tion's and your commitment to diversity on the Federal bench. It 
also reflects this administration's and your commitment to the 
highest quality Federal judiciary. 

Judge Hull, Judge Cooper, and Judge Sands are all held in ex- 
treme high regard for their excellent judicial temperament, fair- 
ness, and hard work. All three are highly respected by their peers 
in the State of Georgia. 

There is a lot I could say about Judge Frank Mays Hull, about 
how she graduated cum laude from Emory University Law School 
and about how she was one of the first women appointed to the 



Ill 

Fulton County State Court, twice reelected to the court, and then 
elevated to the Fulton County Superior Court in 1990. 

But as Senator Nunn stated so well, what I most want to say is 
that Judge Frank Hull was Elbert Tuttle's law clerk. Judge Tuttle 
is 97 years old now. He served 38 years on the U.S. Court of Ap- 
peals for the Fifth and Eleventh Circuits. We all know Judge 
Tuttle. Judge Tuttle's fairness and firmness and his fair and firm 
leadership as chief judge of the Federal appeals court of the South 
helped to change the face of the South. Judge Frank Hull learned 
from Judge Tuttle. She was part of his team. 

Judge Clarence Cooper is currently a member of the Georgia 
Court of Appeals. He was appointed to that position in 1990 and 
just a few months later won a statewide election to that position. 
Judge Cooper's career in the law has been long and impressive. 
Upon graduation from Clark College, Judge Cooper entered How- 
ard University School of Law. After 1 year, he came home to At- 
lanta to study at Emory University Law School. He graduated from 
the Emory University School of Law in 1967. 

In 1967, after serving as Fulton Count^s first black assistant 
district attorney, Clarence Cooper was appointed to the Atlanta 
Municipal Court. He took a leave from the court in 1976 to pursue 
his master's in public administration at Harvard University. In 
1980, Judge Cooper was elected to the Fulton County Superior 
Court. While there, he presided over the very high-profile missing 
and murdered children case. On a personal note, let me say that 
I know Judge Clarence Cooper, and I know him very well. We are 
fortunate to have someone of his caliber with his commitment and 
dedication to public service. 

Now, let us look at Judge W. Louis Sands. He is from what we 
call middle Georgia — I guess Senator Nunn's home area, Macon, 
GA. I don't know him as well as I do the others, but I know his 
reputation and his excellent reputation for hard work and a very 
high standard of ethics. 

Judge Sands went to Mercer University and the Walter F. 
George School of Law. While in law school, he worked as chief legal 
assistant to the district attorney, and while in law school Louis 
Sands served in the Army Reserve. He resigned from the reserves 
in 1978 at the rank of captain. 

Following graduation from law school, Louis Sands spent 3 years 
as assistant district attorney. In 1978, he was appointed assistant 
U.S. attorney for the Middle District of Georgia. In 1987, he formed 
his own firm, Mathis, Sands, Jordan & Adams, operating two of- 
fices, one in Millersville and the other one in Macon. 

Judge Sands brings to the Federal bench the very valuable per- 
spective of a person that has spent long hours on the other side of 
the bench, both as a Federal and State prosecutor and as a private 
lawyer with a very diverse litigation practice. Mr. Chairman and 
Senator Thurmond, I am pleased and proud to see him before you 
today for your confirmation of his nomination to the Federal dis- 
trict court. 

I cannot emphasize how lucky and how blessed we are to have 
these three outstanding Georgians. Their elevation to the Federal 
court is good news for Georgia and it is good news for America. 

Thank you, Mr, Chairman. Thank you. Senator Thurmond. 



112 

Senator KOHL. We thank you, Representative Lewis, and Senator 
Nunn, Senator Coverdell. We will get back to your nominees in due 
time. Thank you very much. 

We have now James Carr from Ohio, to be introduced by the 
Senators from Ohio, Senator Glenn and Senator Metzenbaum. 

Senator Glenn. 

STATEMENT OF HON. JOHN GLENN, A U.S. SENATOR FROM 

THE STATE OF OHIO 

Senator Glenn. Thank you Mr. Chairman and Senator Thur- 
mond. Mr. Chairman and members of the committee, it is truly a 
privilege to be here today to introduce to you Magistrate James 
Carr. I want to welcome Magistrate Carr's family — his wife, Eileen; 
his daughters, Maureen, Megan, Darrah, and Caitlin; as well as his 
brother Tom. And his father, Edmund, flew in from Michigan to be 
here today. 

This is a day we have been looking forward to for a very long 
time, but I think there is only one person who has been looking for- 
ward to this day more than Jim, and that is Judge Potter back in 
Toledo, who took senior status in August 1992, but has been faith- 
fully coming in every day with a full caseload waiting for a new 
judge to be appointed. Finally, that day has come and I can't think 
of a more qualified person than Magistrate Carr to take the job. 

Jim Carr has literally been in difect training to be a Federal 
judge since 1979 when he was named a Federal magistrate in To- 
ledo. Prior to that time, Jim enjoyed a distinguished and diverse 
legal career in private practice, as a prosecutor, as a legal aid law- 
yer, and as a professor of law. He has published extensively, and 
not only in English. In fact. Magistrate Carr has published more 
German law review articles than most German lawyers could ever 
hope to publish. I think this provides sufficient evidence that he is 
a real student of the law on a wide, wide scale. 

I could go on and on, but I am not the one you want to hear from 
today. Just let me add that Magistrate Carr is exactly the kind of 
individual we need on the Federal bench. I believe he has the per- 
fect blend of skills and experience to take on what is truly an awe- 
some responsibility. 

So I respectfully urge the committee to favorably review his nom- 
ination. I am glad to give Magistrate Carr my highest rec- 
ommendation; I know he will do a great job. 

Thank you, Mr. Chairman. 

Senator KOHL. We thank you, Senator Glenn. 

Senator Metzenbaum. 

STATEMENT OF HON. HOWARD M. METZENBAUM, A U.S. 
SENATOR FROM THE STATE OF OHIO 

Senator Metzenbaum. Mr. Chairman, in a certain way this is an 
unusual nomination for me, and I think maybe for John Glenn as 
well. I never met Magistrate Carr before the question of an opening 
came up. I never heard of him. I never knew of him politically, I 
never knew him socially, but suddenly there converged upon us 
Senators an overwhelming outpouring of support for this man who 
had been a magistrate for 15 years and many people said was 



113 

doing all the work that a judge should and could be doing, and 
with no exception. 

His reputation is impeccable. The lawyers of the community and 
the people of the community all say that Magistrate Carr is truly 
the person for the position, and I am just very proud to be sitting 
here with Senator Glenn and urging his confirmation. I have no 
doubt in my mind that he will make an excellent jurist. 

John has already told you of some of his background, some of his 
writings, some of the work that he has done in the past. I can only 
say to you that this is a man whom I am sure will make a superb 
jurist and I am very pleased to be here recommending him to you. 

Senator Kohl. Well, we thank you very much, Senator Metzen- 
baum and Senator Glenn, and we will get back to you. Magistrate 
Carr. 

We have now with us the two Senators from Louisiana, Senator 
Johnston and Senator Breaux. We appreciate your patience in in- 
troducing Carl Stewart. 

STATEMENT OF HON. J. BENNETT JOHNSTON, A U.S. SENATOR 
FROM THE STATE OF LOUISIANA 

Senator Johnston. Mr. Chairman and Senator Thurmond, it is 
a great personal pleasure for me to introduce to the committee 
Judge Carl Stewart, who is the President's nominee to be judge for 
the U.S. Fifth Circuit Court of Appeals. 

It is a pleasure, first, because Carl Stewart is an old friend, 
along with his family. By the way, I would like to introduce his 
family. His wife and his son are here, if you would stand up. His 
brother is here, and he also has a lot of friends who are with him 
for this historic occasion. 

Second, it is a great pleasure because he is highly qualified. 
Third, it is a great pleasure because he is the first African-Amer- 
ican ever to be nominated to the U.S. Fifth Circuit Court of Ap- 
peals as it is presently structured. 

Mr. Chairman, there is a great deal that I could say, and I have 
a statement which I would like to put in the record which details 
his many, many qualifications. I would only like to make one point, 
and that is that he has been an elected district judge and court of 
appeals judge in a predominately white city; he has been elected. 

The Shreveport Journal, one of our newspapers there, did a sur- 
vey of judges not too long ago. Let me tell you that the Shreveport 
Journal stated that Judge Stewart "nearly swept the ratings. He 
was a splendid judge, excellent in every respect, has been praised 
for his judicial economy and fine judicial manner." I think that ar- 
ticle in the Shreveport Journal says it all. 

It is with a great deal of pride that I recommend to you Judge 
Carl Stewart. 

[The prepared statement of Senator Johnston follows:] 

Prepared Statement of Senator J. Bennett Johnston 

Mr. Chairman and members of the committee. I am very pleased to appeeir before 
the committee today for the purpose of introducing to you Carl Edmond Stewart of 
Shreveport, Louisiana, nominee to the United States Court of Appeals for the Fifth 
Circuit. 

It is most fitting that an individual of Mr. Stewart's high standards and eminent 
qualifications be nominated for this very important position. 



114 

As a teenager in the 1960s, Carl Stewart witnessed the civil rights struggle of the 
era and saw how the legal system could be used to bring about positive social 
change. He was inspired by what he saw and decided to dedicate his life to helping 
people through the legal system. 

Carl Stewart comes to the committee with impressive credentials, having served 
since 1991 on the Second Circuit Court of Appeals in the State of Louisiana. Mr. 
Stewart is a 1974 graduate of the Loyola University School of Law in New Orleans. 

Mr. Stewart has a distinguished career in law and public service. He has served 
as a district judge in the First Judicial District Court, Division D, for the State of 
Louisiana, in addition to working as an assistant United States Attorney for the 
Western District of Louisiana and a special assistant to the District Attorney in 
Shreveport, Louisiana. 

Among the professional organizations to which Mr. Stewart holds membership are 
the American Bar Association and Judicial Administration Division; the National 
Bar Association and Judicial Council; the Louisiana State Bar Association, where 
he is a member of the bench bar liaison committee; the Harry V. Booth Chapter 
of the American Inns of Court in Shreveport, where he is a charter member; the 
Black Lawyers Association of Shreveport-Bossier; and the Louisiana Conference of 
Court of Appeals Judges. 

Mr. Stewart has been widely praised for his judicial performance. In a survey of 
judges, the Shreveport Journal declared that he "nearly swe[pt] the ratings." Mr. 
Stewart has been described as "a splendid judge, excellent in every respect" and has 
been praised for his "judicial economy" and "fine judicial manner," being "careful to 
treat all parties with the same attitude and concern." 

It is important to note that Judge Stewart has also served with distinction in a 
wide variety of responsible positions outside the legal profession. He has been very 
active in his community as a member of the board of directors for the Caddo-Bossier 
Community Council, the Boys Club of Shreveport-Bossier, the Hap House 
MultidisabiUty Work Center, GoodAvill Industries of Northwest Louisiana, the Salva- 
tion Army Advisory Board, the Northwest Louisiana Sickle Cell Anemia Foundation, 
the Northwest Louisiana Family Crisis Center, the Shreveport Opera, the Shreve- 
port-Bossier Metropolitan YMCA, the American Red Cross, the Northwest Louisiana 
Biomedical Research Foundation, and the Shreveport Chamber of Commerce. 

Judge Stewart has been honored with awards from the Boys Scouts of America 
and the Carver Branch YMCA. The Louisiana Chapter of the Jaycees named him 
the Louisiana outstanding black man of the year and he received the black man of 
the year award from Southern University's Shreveport-Bossier Afro-American Soci- 
ety. 

Judge Stewart frequently addresses student and professional groups, emphasizing 
the importance of educational achievement and community service and the need for 
African-American role models in business and public service. He is also a lay leader 
of the Louisiana United Methodist Conference. 

I have known Carl Stewart for several years and have found him to be profes- 
sional and competent as a lawyer and community leader. Moreover, I am confident 
he possesses the necessary judicial temperament to serve on the United States 
Court of Appeals for the Fifth Circuit. 

In sum, I believe that Mr. Stewart possesses the integrity, appropriate demeanor 
and aptitude for legal scholarship that will enable him to serve well and with dis- 
tinction if he is confirmed. 

Mr. Chairman, Carl Edmond Stewart is imminently qualified to serve as a judge 
to the United States Fifth Circuit Court of Appeals and I strongly urge the commit- 
tee act favorably on his nomination. 

Senator KOHL. Thank you, Senator Johnston. 
Senator Breaux. 

STATEMENT OF HON. JOHN B. BREAUX, A U.S. SENATOR FROM 

THE STATE OF LOUISIANA 

Senator Breaux. Thank you very much, Mr. Chairman and Sen- 
ator Thurmond. Thank you for letting our delegation appear to rec- 
ommend Judge Carl Stewart. 

I think our colleague, Bennett Johnston, was right on target. 
This is a very historic day. I mean. Judge Stewart will be the first 
African-American to be appointed to the fifth circuit court of ap- 
peals, as it is presently constituted, and you all know what an his- 



115 

toric circuit that has been in the area of human rights and civil 
rights for all Americans. So it really is with a great deal of pride 
that we are able to present Judge Stewart. 

He really comes as a person who is not here just because of his 
race. He is here because of the great background as a professional 
jurist that he brings to this court. He has a degree in psychology, 
which I think is always very helpful in these areas, and very im- 
portant. This man has served as a captain in the U.S. Army in the 
Judge Advocate General's Corps, so he brings a degree of experi- 
ence about the Military Code of Justice which I think is also very 
helpful. 

In addition, as our colleague, Bennett Johnston, said, I really 
think that to get to the circuit court, experience in the lower courts 
is very important. I think it is very difficult just to pick up someone 
who is a practicing attorney and make them a circuit court judge 
because they haven't had that experience of sitting in a courtroom 
in a day-to-day environment and hearing people who are real peo- 
ple with real problems come before them. 

Judge Carl Stewart has done that. As I said, he has been an 
elected district court judge in Louisiana, an elected court of appeals 
judge in Louisiana. He has been an assistant U.S. attorney. This 
man has, by experience, by training, by background and education, 
the credentials to make the type of judge that this Congress will 
be very impressed with and all of America can be very proud of. 
I recommend him to you. 

Senator Kohl. We thank you. Senator Breaux. 

We also have two Members of the House of Representatives here 
with us. Representative William Jefferson and Representative Cleo 
Fields. 

Representative Jefferson. 

STATEMENT OF HON. WILLIAM J. JEFFERSON, A REPRESENT- 
ATIVE IN CONGRESS FROM THE STATE OF LOUISIANA 

Representative Jefferson. Thank you, Mr. Chairman and mem- 
bers of the committee. I am honored and pleased to be here today 
with Senators Johnston and Breaux, and with my House colleague, 
Congressman Fields, in presenting Judge Carl Stewart to this com- 
mittee. 

I believe that Judge Stewart will be an excellent addition to the 
New Orleans Fifi;h Circuit Court of Appeals, located in the area 
that I represent, and I applaud our Senators and President Clinton 
for his nomination. 

As the Senators have said, this is truly a historic day for this 
committee, for the people of Louisiana, and indeed for our country. 
As has been said, when confirmed. Judge Stewart will be the first 
African- American to ever sit on the fifth circuit court of appeals. 
The fifth circuit has been in the forefront of many areas of law, 
from admiralty law to contracts law to constitutional law to em- 
ployment law and natural resource law, but its most prominent de- 
cisions have been in the area of civil rights law advances because, 
unfortunately, the Southern States over which the fifth circuit has 
had jurisdiction, have been all too fertile a ground for the fostering 
of civil rights claims. 



116 

Judge Stewart's nomination completes the circle of opportunity 
for African-Americans, from being shut out of the system as liti- 
gants to having rights established through court decisions and stat- 
utes to bring their claims and now to have Judge Stewart to give 
this area of the law, and others, meaning borne out of peculiar ex- 
perience. 

The fifth circuit court of appeals has always had a long list of 
outstanding jurists to serve on it. Judge Robert Ainsworth; Judge 
Elbert Tuttle; Judge Robert Brown; Judge Alvin Rubin, for whom 
I was privileged to clerk; and Judge Minor Wisdom, who continues 
to serve as a senior judge, are among just a few of the outstanding 
jurists who have served on this court. Judge Stewart will serve, I 
believe, in this grand tradition. 

Mr. Chairman, Judge Stewart is from a unique family, as Sen- 
ator Johnston has said. He and his wife are the proud parents of 
three children, and he has two brothers who are also judges — 
Judge James Stewart of the Shreveport, LA, First Judicial District 
Court and Capt. Richard Stewart, Jr., a military judge with the 
U.S. Naval Pacific Fleet in San Diego, CA. 

From the beginning, Judge Stewart's public judicial life has been 
marked for success. He has been singled out by his colleagues as 
an outstanding district court judge, and on the court of appeals he 
has always been spoken of only in the highest terms as hard- 
working, knowledgeable, decisive, competent, efficient, and fair. 
Yes, Judge Stewart will bring diversity to the court of appeals, but 
he will ^so bring a wealth of legal experience to the fifth circuit. 

For these reasons, I strongly urge this committee to recommend 
Judge Carl Stewart to the full Senate for confirmation to the U.S. 
Court of Appeals for the Fifth Circuit. Mr. Chairman, I appreciate 
the opportunity to appear before you this afternoon and I thank the 
committee for its time. 

Senator Kohl. We thank you. Congressman Jefferson. 

Congressman Fields. 

STATEMENT OF HON. CLEO FIELDS, A REPRESENTATIVE IN 
CONGRESS FROM THE STATE OF LOUISIANA 

Representative Fields. Thank you, Mr. Chairman, Senator Thur- 
mond, and my colleagues from Louisiana. It is a pleasure to be 
here to speak on behalf of Judge Stewart who lives in my district 
and for whom I have a great deal of respect. But one of the dis- 
advantages I have, Mr. Chairman, is whenever you come last, most 
of the things that you wanted to say have already been said. Let 
me just say that if Judge Stewart was before the court today, he 
would simply say, after these three statements, "Your Honors, I 
rest my case." 

Judge Stewart graduated from Booker T. Washington High 
School with honors and from Dillard University in Louisiana 
magna cum laude in 1971, Mr. Chairman. He graduated from Loy- 
ola Law School in 1974. He practiced military law, served as assist- 
ant attorney general, then served as an assistant attorney vvith the 
district attorney's office in Louisiana. He practiced extensively in 
private practice as well, so he brings a vast amount of experience 
to the bench. He was elected and reelected as district court judge 
and then was elected to Louisiana's Second Court of Appeals. 



117 

He is a member of many organizations, not only in the State of 
Louisiana, but throughout this entire Nation. He was a past board 
member of the Shreveport Chamber of Commerce, and also a board 
member of the American Red Cross. He has served on many com- 
munity organization boards. I think the most unique part of his 
credentials is his hard work to help young people within the 
Shreveport community. 

Mr. Chairman and Mr. Thurmond, Shreveport is a community 
where a lot of our young people turn to drugs and alcohol. Judge 
Stewart is out there every Saturday working with young people to 
keep them from turning to drugs and alcohol. He has a program 
within the Shreveport community that I am very proud of, and I 
don't think you could find a better person to confirm for the court. 
So, finally, I can sum it up by saying: This man is fair, but he is 
also firm. 

Senator KOHL. Well, we thank you very much, Mr. Fields, Sen- 
ators, and Congressman. 

We are going to begin with Judge Stewart. Judge Stewart, you 
have been nominated to be circuit court judge for the Fifth Circuit 
Court of Appeals. Would you please raise your right hand? 

Do you swear that the testimony you shall give in this proceed- 
ing shall be the truth, the whole truth and nothing but the truth, 
so help you Grod? 

Judge Stewart. I do. 

Senator Kohl. Judge Stewart, if you have any members of your 
family — and I know you have them with you — we would be happy 
to have you introduce them to us at this time. 

TESTIMONY OF CARL E. STEWART, SHREVEPORT, LA, TO BE 
U.S. CIRCUIT JUDGE FOR THE FIFTH CIRCUIT 

Judge Stewart. Thank you. Senator. I will be brief As men- 
tioned, I am very proud to have my family with me — my father, 
Richard G. Stewart, Sr., if my dad would stand; he is a retired let- 
ter carrier. My mother is deceased. My father is here; my older 
brother, Richard G. Stewart, Jr., who is a captain in the U.S. Navy. 
My wife, Jo Ann, is present here. One of my children, our baby 
child, Kyle, is present. Our older two children are in school and 
could not be here with us. 

My nephew, James T. White, is present, also, and I have a host 
of friends and supporters and staff that are here that I am ex- 
tremely proud to have come and support me, and briefly if they will 
just stand? 

[The persons stood.] 

Senator KOHL. All right, that is great. We welcome you all here 
today. 

Judge Stewart. Thank you. 

QUESTIONING BY SENATOR KOHL 

Senator Kohl. I have just a couple of questions and then I will 
turn it over to Senator Thurmond. 

Judge Stewart, if you are confirmed as an appellate judge, at 
some point you may be faced with applying a Supreme Court prece- 
dent with which you do not personally agree. Would you consider 
yourself to be bound by such precedent? 



118 

Judge Stewart, Yes, sir; absolutely, Senator. 

Senator KOHL. You will also be faced with cases involving issues 
on which the Supreme Court has not ruled. In many of those cases, 
however, you will have decisions from the fifth circuit on which to 
rely. Under what circumstances, if any, do you believe an appellate 
judge should overturn precedent within his or her own circuit? 

Judge Stewart. Senator, in the circumstance where the Su- 
preme Court has not ruled, I would be bound by the law of the cir- 
cuit, in this case the fifth circuit, to follow that law as binding 
precedent on me as one of three in a panel. If there was reason to 
believe that precedent should be overturned, that would only occur 
in a situation where the en banc court decided to reverse the law 
in that circuit. Otherwise, I would be bound to follow the law of the 
circuit. 

Senator KOHL. Judge Stewart, rule 11 of the Federal Rules of 
Civil Procedure allows judges to impose sanctions against lawyers 
or parties who file frivolous lawsuits. Recently, there has been 
much debate over the courts' increased willingness to punish liti- 
gants under rule 11. Some lawyers argue that the rule, as applied, 
sometimes chills creative arguments in developing areas of the law, 
such as civil rights. As the chief judge of the New York Court of 
Appeals has put it: "Today's frivolity may be tomorrow's prece- 
dent." 

What do you think of these concerns, and how might you respond 
to them on the court of appeals? 

Judge Stewart. Senator, I am aware of the discussion and de- 
bate over the imposition of rule 11 sanctions. Like many rules, it 
requires a balancing test, that which certainly is measured by the 
need to control litigation and ensure that only those cases which 
are justiciable should be within our courts. The Federal courts are 
courts of limited jurisdiction and limited time, and those cases 
should be handled. 

On the other hand, in a burgeoning era of litigation, there are 
a lot of different lawsuits that are brought and I think that rule 
11 should be applied reasonably and only in those circumstances 
where it absolutely is required to be imposed. 

Senator KoHL. Finally, an issue currently before the pro bono 
legal community is whether work for the disadvantaged should be 
a mandatory or voluntary requirement for lawyers. We see that be- 
cause of your judicial role, you have provided nonlegal pro bono 
services in the past, including your time with the Boy Scouts and 
your positions on the boards of youth service organizations. 

In your view, do you think pro bono work should be a mandatory 
or a voluntary requirement for lawyers? 

Judge Stewart. Senator, mandatory pro bono would probably 
produce more lawyers doing pro bono work. However, a compelling 
argument can be made that by providing incentives for lawyers to 
do it voluntarily will also bring about more lawyers, but they will 
gain greater satisfaction from doing it because they want to do it. 
Lawyers tend to not want to be mandated to do things, and so a 
great argument can be made that mandatory pro bono should be 
a case of last resort. 

Senator Kohl. I thank you. 

Senator Thurmond. 



119 

QUESTIONING BY SENATOR THURMOND 

Senator Thurmond. Thank you, Mr. Chairman. Judge, we are 
glad to have you with us. 

Judge Stew^t. Thank you, sir. 

Senator Thurmond. Thomas Jefferson remarked shortly after 
the ratification of the Constitution these words, "Our nation's par- 
ticular security is the possession of a written Constitution. Let us 
not make it a blank paper by construction." What do you think he 
meant by that warning, "Let us not make it a blank paper by con- 
struction?" 

Judge Stewart. I am not absolutely sure. Senator, what he 
meant, other than to mean that judges in applying the Constitution 
should look to its words and look to apply it in situations narrowly 
where a constitutional issue is raised and not merely in situations 
where there may be some other statutory basis or some other Fed- 
eral common law upon which to decide a controversy. 

Senator Thurmond. The way some judges have construed the 
Constitution appears unreasonable, £ind I do think we have got to 
be careful how we construe the Constitution. All we have got to 
do — it is written very plainly — is follow the Constitution. 

Now, I think judicial temperament is a very important quality of 
a judge. I have seen some Federal judges yell at lawyers, jurors, 
witnesses, and that is inexcusable. The more power you have, the 
more humble a person ought to be. A judge has all the power, even 
over life and death, and therefore I think he ought to be very hum- 
ble. How do you feel about that? 

Judge Stewart. I would agree with you. Senator. I have always 
believed that a judge, whether elected or appointed, is a public 
servant and that he or she should accord himself to lawyers and 
litigants with that in mind and should exercise only the amount of 
power necessary in order to allow litigants to resolve their dif- 
ferences in the courtroom. 

I have been very proud of an ability to hopefully have people 
leave my courtrooms feeling that they got a fair shake even if they 
disagreed with the outcome, but to feel that the atmosphere of the 
courtroom was a fair one. 

Senator Thurmond. You have a fine record and I wish you well 
on the bench. 

Judge Stewart. Thank you, sir. 

Senator Thurmond. Thank you, Mr. Chairman. 

Senator KOHL. We thank you very much, and you are excused. 

Judge Stewart. Thank you, Mr. Chairman. 

Senator KOHL. Our next nominee is Judge James Carr, who has 
been nominated to be district judge for the Northern District of 
Ohio. 

Judge Carr, would you raise your right hand? Do you swear that 
the testimony you shall give in this proceeding shall be the truth, 
the whole truth and nothing but the truth, so help you God? 

Judge Carr. I do. 

Senator Kohl. Thank you, sir. You may sit down, and we would 
be happy to be introduced to members of your family if they are 
here with you. 



120 

TESTIMONY OF JAMES CARR, TOLEDO, OH, TO BE U.S. 
DISTRICT JUDGE FOR THE NORTHERN DISTRICT OF OHIO 

Judge Carr. With me today, and it is a great honor for me and 
it is a thrill for me for them to share in this honor, are, first, my 
father, Edmund Carr, who is in his 82d year. At age 65, after retir- 
ing from a successful career, he went to law school and he is still 
an active and productive member of our family and society. 

After him, I would like to introduce my wife, who is a part of ev- 
erything I have ever done and ever been, and she, of course, is the 
mother of our four daughters, Maureen, Megan, Darrah, and 
Caitlin. I am happy, as well, to have my brother, and my brother- 
in-law and my sister-in-law and their children, and several other 
people. 

Senator KOHL. Well, we are happy to have you all with us here. 

Judge Carr. Thank you. 

Senator Kohl. Before I ask you a question, I would like to men- 
tion to you and people here today that Judge Carr comes highly 
recommended by my very good friend, for whom I have the highest 
regard, E. Michael McCann, the Milwaukee County district attor- 
ney. I have a wonderful letter in your behalf from District Attorney 
McCann and I will put it in the record at this point. 

Judge Carr. Thank you. 

[The letter referred to follows:] 

Office of Dsitrict Attorney, 

Milwaukee County, 
Milwaukee, WI, April 18, 1994. 
Senator Herb Kohl, 
Hart Senate Office Building, 
Washington, DC. 

Dear Senator Kohl: I understand that the appointment of James G. Carr to the 
Federal District Court for the Northern District of Ohio will be before the Senate 
Judiciary Committee on Thvu^day, April 21, 1994. Mr. Carr would be a truly excel- 
lent judge and I urge the committee to confirm his appointment. 

Mr. Carr and I have served together for several years on the Board of Directors 
of the Nationad Pretrial Services Resource Center, a not-for-profit corporation which 
addresses the array of problems in the pretrial portion of the criminal justice sys- 
tem. From my personal observations, I know Mr. Carr is a man possessing sound 
judgement and a strong work ethic. 

First as a law teacher and then as a federal magistrate, James Carr has consist- 
ently demonstrated superior legal scholarship. His opinion as a magistrate in United 
States V. Steven Wayne Yee, case No. 3:89 CR 0720, Northern District of Ohio, West- 
em Division, is the finest legal evaluation of DNA, in my estimate, that has been 
written. 

I have taken the liberty of attaching a copy of Magistrate Carr's resume. His ex- 
perience and publications further highlight his outstanding qualifications for the 
federal judiciary. 

James G. Carr is a man concerned with justice. He is felicitously graced with pa- 
tience, common sense, unimpeachable integrity and a very fine mind. 

I keenly recommend his confirmation and would be delighted if you see fit to in- 
clude this letter in the hearing materials. 
Sincerely yours, 

E. Michael McCann, 

District Attorney. 

QUESTIONING BY SENATOR KOHL 

Senator KoHL. Judge Carr, you have served as a Federal mag- 
istrate for 15 years. In many respects, you have performed duties 
similar to those of a Federal district court judge. If you are con- 



121 

firmed, how do you foresee your responsibilities changing on a day- 
to-day basis from those exercised now as a U.S. magistrate? 

Judge Carr. The principal change will be that I will be respon- 
sible for the trial and also taking guilty pleas in felony cases and, 
of course, sentencing in felony cases. Other than that, in terms of 
my daily routine, I foresee practically nothing changing, except the 
workload getting even bigger. 

Senator KOHL. From your broad experience as a magistrate, can 
you offer any suggestions to us on how to improve magistrates' cur- 
rent role in the judicial system? 

Judge Carr. I think quite candidly, Senator, that if all judges, 
all district judges, could treat and assign the responsibilities to the 
magistrates in the way that I have been treated for almost 15 
years by the judges in our court, that would probably be a substan- 
tial enhancement of the role that magistrates play. I have been ex- 
tremely fortunate to work closely and well and be treated as a peer 
by outstanding district judges. 

Senator KOHL. I understand. Judge, that early in your legal ca- 
reer you were a staff attorney with the Cook County Legal Assist- 
ance Foundation. As part of your daily caseload, you represented 
almost exclusively poor and disadvantaged clients. What role, if 
any, and how, do you think a judge has in ensuring that the poor 
and disadvantaged have access to the legal system? 

Judge Carr. Well, of course, I think that there should be no im- 
pediment to anyone coming into court. I routinely sign petitions to 
proceed pro se and in forma pauperis. I perhaps should mention 
that, at my suggestion, the Toledo Bar Association about 2 years 
ago proposed to the district court of our district a procedure for de- 
veloping a fund so that attorneys who take on pro bono cases for 
indigent civil plaintiffs and civil defendants would be able to be re- 
imbursed or have a modest amount of money paid to them to com- 
pensate them for direct out-of-pocket costs. We had no such fund 
of that sort in our court. 

I will only say that, if confirmed, I hope to recall that proposal 
to the attention of my colleagues and to take speedy action on it. 
I think that perhaps one of the great instances of unfairness in our 
system is the inability of civil plaintiffs and defendants to obtain 
counsel who will represent them faithfully and competently. 

Senator KoHL. A last question before I turn it over to Senator 
Thurmond. Mandatory minimum sentences have been the subject 
of much debate. In fact, yesterday at a hearing that I chaired, two 
Federal circuit court judges criticized mandatory minimums, and 
one of my colleagues called them a "rule of thumb rather than a 
rule of reason." 

As a Federal judge, what would you do if faced with a situation 
where you vvere called upon to impose a sentence that you felt was 
too harsh either because of a mandatory minimum or because it 
was called for by the sentencing guidelines? What would you do in 
that case? 

Judge Carr. I would be required to impose the sentence that was 
required by law. 

Senator KOHL. How do you feel about mandatory minimums? 

Judge Carr. I think that they are troublesome in a couple of re- 
spects. One is that they can have a tendency to undercut the effect 



122 

of the sentencing guidelines and the Sentencing Commission. Sec- 
ond, they make it extremely difficult, if not impossible, to treat sep- 
arate cases and individusds separately when those persons are con- 
victed of the same statutory offense. 

Senator KOHL. All right, thank you. 

Senator Thurmond. 

QUESTIONING BY SENATOR THURMOND 

Senator THURMOND. Thank you, Mr. Chairman. We frequently 
hear the argument that courts act in response to various social 
problems because the legislature has failed to act on its own. How 
would you respond to this defense of an activist judiciary? 

Judge Carr. I don't think it is much of a defense at all. I don't 
think it is a position that can be asserted at all. I think that the 
court — the last thing any court should be doing is acting either in 
response to its perception of some social problem or its personal 
view or outlook as to how things ought to be. We are constrained 
by the law, beginning with the Constitution, the statutes and the 
precedent and the rules that have been adopted to guide us in our 
procedure, and that is the only place we can look in performing our 
duties. 

Senator Thurmond. Judge, someone called my attention to a 
speech you made in 1990 to the New Probation and Pre-Trial 
Chiefs Conference. It is alleged that you stated, 'The past couple 
of years have encompassed the most thoroughgoing change in 
penalogical philosophy in our country's history — a shift from reha- 
bilitation to prolonged and thoroughgoing incapacitation." This ar- 
ticle says you claimed that in making this shift, Congress has 
manifested an approach that probably can best be described as 
gulag syndrome. 

Would you tell us what you meant by that? 

Judge Carr. What I meant by that. Senator, was that as a result 
of sentencing reform, principally mandatory minimum sentences, 
we have many people, often quite young, people in their early 20's, 
charged with very serious offenses, but, as a result of the Federal 
sentencing structure, find themselves confronted with very long 
terms of incarceration, including life imprisonment. 

And what I meant by that was that we have substituted what 
historically had been an intent or a desire to undertake to rehabili- 
tate people, particularly younger persons charged with serious of- 
fenses and convicted of very serious offenses, and instead have 
adopted an approach that in many respects sends them away, inca- 
pacitates them and obviously protects society in that regard, while 
at the other hand turning our back to a fair extent on the rehabili- 
tative efforts. 

Senator Thurmond. Do you continue to believe that Congress' 
approach to sentencing can best be described as the gulag S3ni- 
drome? 

Judge Carr. I think that when one adopts particularly manda- 
tory minimum sentences that mandate in all instances extremely 
long or very long periods of incarceration, up to and including life 
terms when you start multiplying sentences — I think that that, al- 
though a very strong statement, is one observation. Let me make 
clear, however, as I said to Senator Kohl — and this is obviously 



123 

something anyone in this position, anybody contemplating the 
honor of being confirmed by the Senate, considers, and I have abso- 
lutely no doubt whatsoever that when called upon to do so, I will 
apply the sentencing guidelines and the mandatory minimums 
faithfully and in full accordance with the law and as required by 
Congress. 

Senator Thurmond. Was your purpose in making this statement 
to criticize the Congress, or what was your purpose? 

Judge Carr. My purpose may have been to criticize the Con- 
gress. I think it was more to express concern about the displace- 
ment of rehabilitation as a paramount penalogical goal. 

Senator Thurmond. At the time you made this statement, you 
were a Federal magistrate? 

Judge Carr. Yes, sir. 

Senator Thurmond. Do you believe that persons are being held 
in U.S. prisons solely because of their political views? 

Judge Carr. No, sir, absolutely not, under no circumstance, and 
if that is an interpretation of that phrase or statement, that is ob- 
viously incorrect in terms of my expression. 

Senator Thurmond. That is all, Mr. Chairman. 

Senator KoHL. We thank you. Senator Thurmond, and we excuse 
you. Judge Carr. 

Judge Carr. Thank you. Senator Kohl. 

Senator KOHL. We now have Judge Clarence Cooper. Judge Coo- 
per has been nominated to be district court judge for the Northern 
District of Georgia. 

Judge Cooper, would you please raise your right hand? Do you 
swear that the testimony you shall give in this proceeding shall be 
the truth, the whole truth and nothing but the truth, so help you 
God? 

Judge Cooper. I do. 

Senator KOHL. We thank you, sir. Be seated. If you have any 
members of your family with you, we would be delighted in getting 
to know them. 

TESTIMONY OF CLARENCE COOPER, ATLANTA, GA, TO BE U.S. 
DISTRICT JUDGE FOR THE NORTHERN DISTRICT OF GEORGIA 

Judge Cooper. Thank you. Mr. Chairman, Senator Thurmond, I 
would like to introduce members of my family at this time, and I 
do want them to stand since they are seated in the rear of this au- 
dience. 

My wife, Shirley, will you please stand? My mother. Hazel Coo- 
per; my mother-in-law, Ms. Lillie Mae Elder; my daughter, Jennae 
Cooper; and my son, Corey Clarence Cooper. I have two family 
members seated up front, to my left. Emmanuel and Pamela 
Payton, will you both stand? 

[The persons stood.] 

Senator KOHL. Well, we are delighted to have you all here with 
us today. 

Judge Cooper, in 1981 and 1982, you presided over the highly 
publicized trial of Wayne Williams, the man who was found guilty 
of murdering 2 of the 28 young blacks who were killed in Atlanta. 
Citing potential harm to the city's children, you at that time re- 
fused to allow television cameras in the courtroom during that 



124 

trial. Having cameras in the courtroom sometimes requires a bal- 
ance between the value of a free press and the interest in having 
justice rendered fairly and without distortion. 

Do you, sir, believe that TV cameras should ever be permitted in 
Federal courtrooms? 

Judge Cooper. I am a proponent of cameras in the courtroom, 
and despite the ruling that I entered in that case, I personally felt 
that maybe the case should have been televised, but I received so 
many letters from psychiatrists, mental health experts, and child 
psychologists who suggested that probably the case shouldn't be 
aired simply because so many children had experienced traumatic 
psychological and emotional problems. 

And I don't know whether or not you are aware of it. Senator, 
but I did hold a hearing on that issue as to whether or not it 
should be televised. During that evidentiary hearing, I heard from 
mental health experts, psychologists, psychiatrists, social workers, 
and other people from other disciplines, and all of them, except one 
person, felt that the case should not be aired because of the trauma 
that these kids experienced, and they felt that if it were televised, 
then these traumas would recur. So I acted on what was in the 
record, and the decision was one with which both parties agreed. 

QUESTIONING BY SENATOR KOHL 

Senator KoHL. So I would take it, as a Federal judge, if it were 
permissible, you would allow cameras in your courtroom? 

Judge Cooper. I think it brings about a greater understanding 
on the part of the public as to what we do, particularly when it 
comes to the civil process because it is so complicated and cum- 
bersome, and I think many people fmd that more of a mystery than 
they do the criminal process. So I think it would be something that 
the public could benefit from, were they able to see a civil trial in 
Federal court from time to time. 

Senator KoHL. In the past few years, there has been a growth 
in the use of secrecy orders in product liability, malpractice, and 
environmental cases. Critics of this trend claim that those orders 
prevent the public from learning about very serious threats to pub- 
lic health and safety. 

During your years in private practice, I know you had broad ex- 
perience in civil litigation. Judge Cooper, how should a judge who 
hears a request to make documents in such cases confidential bal- 
ance the public's right to know against a litigant's right to privacy? 

Judge Cooper. Senator, that is a very difficult task to undertake, 
as you know. It requires much of a judge and, of course, I did han- 
dle several cases involving that issue. The judge has to do a bal- 
ancing act; he has to weigh the interests of both sides, the public's 
right to know as opposed to the litigant's right to keep certain mat- 
ters confidential and private. 

Some of these matters are very sensitive matters and some may 
involve people not directly or indirectly a part of the lawsuit, but 
may affect them adversely. Also, a judge should be guided by some 
of the parameters he may consider and how the law has been 
evolving in this area in terms of his ultimate decision. But I think 
his decision should be a reasoned one and it should be based on 



125 

not only what is in the best interests of the public, but also the 
rights of the litigants. 

Just remember, these are private litigants who themselves some- 
times agree that maybe certain matters should be kept secret not 
only to protect themselves, but to protect other people. 

Senator KoHL. Well, let me ask you this. I have introduced legis- 
lation that would prohibit judges from allowing confidentiality or- 
ders when the information sought to be made secret relates to pub- 
lic health and safety. It would prohibit confidential orders when we 
are talking about public health and safety. 

Yesterday, we held a hearing on this measure, but opponents of 
the bill made the following argument, and I think you mentioned 
it just a minute ago, that the civil justice system is about settling 
private disputes between parties and not necessarily protecting the 
public interest. How do you 

Judge Cooper. Don't misunderstand me. That is one of the con- 
siderations one must make in balancing the various interests. 

Senator KOHL. Well, how do you feel about a law that would say 
when public health and safety is involved, a judge cannot allow a 
secrecy order? 

Judge Cooper. Senator, I don't want to prejudge what might be 
before me as a Federal district court judge, and that very issue 
might arise and I don't want to commit myself at this time. I can 
only say that I would balance the competing interests and make a 
decision that I think would be fair to the parties involved, but I 
don't want to commit myself to a position at this time. 

Senator KoHL. All right, very good. You should be running for of- 
fice. [Laughter.] 

Senator Thurmond. 

QUESTIONING BY SENATOR THURMOND 

Senator Thurmond. Thank you, Mr. Chairman. I believe you 
were in the Army 2 years in the Judge Advocate General's Corps? 

Judge Cooper. Yes, I was. 

Senator Thurmond. I guess you found that an interesting experi- 
ence. 

Judge Cooper, Quite interesting. 

Senator Thurmond. What was your rank there? 

Judge Cooper. I was an E-6, a specialist E-6, when I came out 
of service after my 2-year stint — ^E-6. 

Senator Thurmond. You served as a Fulton Superior Court judge 
and on the Georgia Court of Appeals, also — 10 years on the Fulton 
court, and you are still on the court of appeals, is that right? 

Judge Cooper. Yes. I presently serve on the Georgia Court of 
Appeals, where I have been for the last 4 years. Prior to that, I was 
on the Fulton Superior Court bench 9 years. 

Senator Thurmond. Which type work do you like the best? 

Judge Cooper. Well, I am willing to return to the trenches. I 
think I found that much more exciting than the work that I do as 
an appellate court judge, although I really enjoy my appellate court 
work, but I do miss tremendously being a part of that whole proc- 
ess that we call the jury trial system. So I would love to return to 
that. 



126 

Senator Thurmond. Do you see any difficulty in transferring 
from that type of work 

Judge Cooper. Having been on the bench for 18 years — I am 
sorry, Senator; go ahead. 

Senator Thurmond. You didn't let me get through. 

Judge Cooper, OK, that is right. I am sorry. 

Senator Thurmond. Do you see any difference in the work you 
did then and the work you will do now as a judge of the Northern 
District of Georgia? 

Judge Cooper, The only difference would be the kinds of cases 
that I would be exposed and handling, were I confirmed and be- 
came a Federal district court judge, but I think the skills are basi- 
cally the same. I have been at judging for now 18 years, having 
served as a city judge, a county judge, and now on the State appel- 
late court. So I have been able to acquire certain skills over the 
years that should aid me in this transition. 

But there are areas of the Federal law that I have never been 
exposed to — title VII cases, antitrust cases, tax cases, patent rights 
cases, and other cases of this nature, and those are cases that I am 
looking forward to if confirmed by the Senate. 

Senator Thurmond. How would you handle an instance in which 
counsel for one of the parties in your court was obviously not a 
skilled litigator and not prepared to adequately represent the inter- 
ests of his or her client? 

Judge Cooper. That is a very difficult question, I have been con- 
fronted with that on several occasions, and I understand that, you 
know, as a judge I must respect the wishes of one of the parties 
as to whom he or she wants as his or her attorney. That issue is 
even more pronounced in criminal matters than civil matters, but 
I respect the issues of the parties as to whom they want to des- 
ignate as their lawyers and I try not to interfere, although from 
time to time a judge may do some things to help the case along. 
But that is something that a judge is very uncomfortable with 
when there is a mismatch in court. One of the parties to the litiga- 
tion has an incompetent lawyer and the other side has a very com- 
petent lawyer, and so you have to live with those results, regret- 
tably. 

Senator Thurmond. Under the Constitution, we have three 
branches of government. The legislative branch, the Congress, 
makes the law. The executive branch, headed by the President, ad- 
ministers the law. The judicial branch, headed by the Supreme 
Court, interprets the law. 

Now, we have found that in some cases some of the judges, if 
they didn't like the law, f^lt they had a right to modify it and use 
their own opinions. How do you feel about that? 

Judge Cooper. Well, I think it would be wrong for a judge to ig- 
nore precedent, stare decisis, to usurp the power of the legislative 
branch of government. Judges are not there to make law. We are 
there to interpret and apply law. 

Senator Thurmond. Some call it judicial activism, taking to their 
power something they don't have. Your job as a judge is to inter- 
pret the law and not make the law. 

Judge Cooper. I understand that. 

Senator Thurmond. Do you agree with that? 



; 127 

Judge Cooper. Wholeheartedly. 

Senator Thurmond. That is all. Thank you. 

Judge Cooper. Thank you. 

Senator KoHL. We thank you, Judge Cooper, and you are ex- 
cused. 

Judge Cooper. Thank you. 

Senator KOHL. Our next nominee is Judge Frank M. Hull. She 
has been nominated to be district court judge for the Northern Dis- 
trict of Georgia. 

Judge Hull, will you raise your right hand? Do you swear that 
the testimony you shall give in this proceeding shall be the truth, 
the whole truth and nothing but the truth, so help you God? 

Judge Hull. I do. 

Senator KoHL. Thank you, Judge Hull. If you would like to intro- 
duce any members of your family, we would be delighted to meet 
them. 

TESTIMONY OF FRANK M. HULL, ATLANTA, GA, TO BE U.S. 
DISTRICT JUDGE FOR THE NORTHERN DISTRICT OF GEORGIA 

Judge Hull. Thank you. First, Senator Kohl, I would like to 
thank you for chairing the hearing on this busy afternoon for you, 
and I would like to thank Senator Thurmond for your presence on 
this busy afternoon for you. 

At this time, joining me are my family members from Georgia: 
my husband, Tony Aeck; my two children, Richard Hull Aeck, and 
our daughter, Molly Hull Aeck; my mother, another Frank— she is 
Frank Mays Pride; my uncle, Inman Mays; my sister, Carol Hull 
Palmer; my brother, James Meriwether Hull; a close family friend, 
Ms. Wilma Hudson; a cousin, Katherine, Mays; another close fam- 
ily friend, Terry Adamson, from Washington, DC, who was my law 
school classmate 20 years ago; two other close family friends, Mark 
Eaton and Brooksie Koopman; my cousin, Richard Sullivan. 

I have my secretary of 12 years, Darlene Buchanan, who is here. 
I have my current law clerk, Diana Willis, and I am proud to have 
two former law clerks, Theresa Gilstrap and Renata Turner, here 
with me today. 

Senator KOHL. Well, we are delighted to have such a consider- 
able entourage. [Laughter.] 

Judge Hull. And I appreciate your allowing me to introduce all 
of them. 

QUESTIONING BY SENATOR KOHL 

Senator KOHL. Well, we thank you. This hearing was originally 
scheduled for a smaller room, and I went to that room before and 
it was empty and they told me to come down here to this larger 
room. Now, I know why. 

Judge Hull, much of your experience has been in State court. If 
confirmed, you will face a docket that includes a heavier caseload 
of constitutional, employment, and civil rights cases. What steps do 
you plan to take to familiarize yourself with those areas of the law 
with which you may lack experience at the present time? 

Judge Hull. There would be a number of steps I would follow. 
First, on the district court, if I am confirmed, that I would be join- 
ing, several of the judges have an in-house training program for 



128 \ 

the other judges. Our chief judge has already informed Judge Coo- 
per and me, if we were confirmed, that would be occurring over the 
next 4 months. 

I would also take advantage of the materials that have already 
been sent to all of us from the Federal Judicial Center, as well as 
the various orientation programs that you have the opportunity to 
attend as a Federal judge, if confirmed. 

Senator KoHL. Very good. Judge Hull, I understand that Atlanta 
has something called the Atlanta Project, which is designed to at- 
tack poverty at its roots by dividing Atlanta and surrounding coun- 
ties into cluster communities and employing coordinators to guide 
local residents in seeking ways to enhance their quality of life. 

In October 1993, you piloted an effort in the Washington Cluster 
in which residents became voluntary probation officers and coun- 
selors for first-time nonviolent offenders. Could you tell us how suc- 
cessful that program was and did it, in fact, spread to other parts 
of the city, as was originally hoped? 

Judge Hull. The Atlanta Project wants to undertake any new 
program as a pilot for at least 2 years, so it has not spread yet be- 
cause they want to work out all of the problems in the program, 
so it has not spread and, frankly, it is too early to tell. However, 
we have a neighboring jurisdiction that has used such a program, 
Cobb County, and it has been extremely successful there. 

Senator Kohl. Judge Hull, Congress is contemplating legislation 
aimed at reducing overcrowding in Federal courts by allowing Fed- 
eral judges to assign some of their smaller cases to court-appointed 
arbitrators. Now, many judges and lawyers have expressed con- 
cerns about this approach. They say that it infringes upon the 
rights of citizens to a jury trial. What do you think about this? Do 
you have any thoughts to offer us? 

Judge Hull. In Fulton County, we have had an arbitration pro- 
gram for 10 years that I have used very frequently as a trial judge, 
and this has been our experience. The arbitration program has 
three court-appointed arbitrators from lawyers and other citizens 
who volunteer to serve or who are paid if they do not volunteer. 

We assign a case to arbitration at a very early phase in the case. 
It is nonbinding arbitration; that is, the decision is nonbinding, but 
it is binding that you must attend the arbitration. Lawyers are 
given 1 to 2 hours to present their side. The arbitrators make a de- 
cision, and then if someone is dissatisfied, they have 30 days in 
which to simply write a letter, no cost, and say I want my jury 
trial. That program has been extremely successful. 

In Atlanta, we are assigned 1,800 new cases. In fact, my Federal 
court caseload will be less considerably in terms of number of cases 
than my current State caseload. We have found arbitration — 50 
percent of the cases settle before they even go to the arbitration be- 
cause they were going to settle anjrway. Another 25 percent settle 
within 3 months after the arbitration. I favor it in a nonbinding ar- 
bitration matter. 

Senator Kohl. I thank you. That is a very good answer. 

Senator Thurmond, 

QUESTIONING BY SENATOR THURMOND 

Senator Thurmond. Thank you, Mr. Chairman. 



129 

I notice you were bom in Augusta, GA. 

Judge Hull. Yes, and I have — all my relatives here are mostly 
bom in Augusta, too. Senator. 

Senator Thurmond. I live at Aiken, just 17 miles from Augusta. 
I had two brothers that were obstetricians at Augusta, Dr. William 
Thurmond and Dr. Greorge Thurmond. 

Judge Hull. And I know of them, sir, and you may have known 
of my grandfather, Jim Hull, from Augusta, many years ago. 

Senator Thurmond. You don't anticipate any difficulty in chang- 
ing to a new type job as a Federal judge from what you are doing 
now, do you? 

Judge Hull. No, sir, I do not. 

Senator Thurmond. Do you believe that a judge should assume 
direct control over complex issues and cases in order to avoid 
delays in effective management of such cases? 

Judge Hull. Yes, sir, I do. In fact, 100 years ago you could just 
hear the case and decide it. Today, you have an equally important 
role to be a hands-on case manager because of the explosion in liti- 
gation. Particularly with my State court caseload, I have done that 
through a number of techniques, which I would be glad to expound 
upon if you would like, already for the last 10 years as a trial 
judge, sir. 

Senator Thurmond. What do you believe will be the most re- 
warding aspect of serving as a Federal judge? 

Judge Hull. The same rewarding aspect I have had for 10 years 
as a trial judge, attempting to help litigants resolve disputes in a 
peaceful, orderly fashion earlier than later. 

Senator Thurmond. I don't think I have any further questions. 
I wish you well on the bench. 

Judge Hull. Thank you. Senator. 

Senator KOHL. We thank you. Judge Hull. 

Judge Hull. Thank you, Senator Kohl. 

Senator KOHL. Our next nominee is Mary Lisi, who has been 
nominated to be district court judge for the District of Rhode Is- 
land. 

Ms. Lisi, if you would raise your right hand, do you swear that 
the testimony you shall give in this proceeding shall be the truth, 
the whole truth and nothing but the truth, so help you God? 

Ms. LiSL I do. 

Senator KOHL. We thank you. You may be seated, and if you 
have any members of your family here, we would love to meet 
them. 

TESTIMONY OF MARY M. LISI, PROVIDENCE, RI, TO BE U.S. 
DISTRICT JUDGE FOR THE DISTRICT OF RHODE ISLAND 

Ms. LiSL I do. I am very happy to say that my husband, Stephen 
Reid, is here with our two children, Jonathan, who is 13, and Jef- 
frey, who celebrated his 10th birthday 2 days ago, along with my 
mother-in-law, Eleanor Reid. I have some friends here, also, from 
the State of Rhode Island — Jason Zaborsky, who is a student at 
American University, and also Beth Bailey and her husband, Bob 
Bailey. 



130 

QUESTIONING BY SENATOR KOHL 

Senator KOHL. Well, we are delighted to have you all here today. 

Ms. Lisi, your questionnaire indicates that you have served as an 
assistant public defender, as a child advocate, and most recently as 
chief disciplinary counsel. If confirmed, how do you plan to make 
the transition from advocate to impartial arbiter? 

Ms. Lisi. I have already begun to think along those lines. Sen- 
ator Kohl, in terms of the kinds of studying that I will need to do 
to bring myself up to speed, and also to start thinking of myself 
less as a proponent of a particular position, but rather as an arbi- 
ter of disputes. 

Senator Kohl. All right. Why do you want this job? 

Ms. Lisi. Senator, my entire professional career has been dedi- 
cated to public service. It is something that I enjoy. It is something 
that I have given a great deal of my personal energies to because 
I receive so much back in the way of satisfaction. I can think of 
no higher honor and no higher aspiration for a practicing attorney 
than to serve as a Federal court judge. 

Senator Kohl. Recently, there has been a growing concern about 
violent juvenile crime at both the State and Federal levels, as you 
know. In part, as a response, we have begun to see a trend to open 
more juvenile records, as adult records already are. As a one-time 
public defender, what do you think about this trend? 

Ms. Lisi. I can only tell you my own experiences in the juvenile 
area, which are now somewhat aged because I have been out of 
that system for several years. I can tell you that when I started 
as a public defender in 1977 in the juvenile division, we were deal- 
ing with children who were committing the kinds of offenses that 
one would almost expect to see in the juvenile courts. But by the 
time I ended my tenure with the public defender's office, we were 
seeing children coming in at much younger ages committing much 
more serious offenses. 

I think that what you are suggesting as far as looking at those 
records is very important in order for us to understand how we can 
work with those individuals who have committed crimes as adults 
and what kinds of services or incarceration may be necessary in 
order to protect the public from them. 

Senator KOHL. You pointed to the fact, and I alluded to it also, 
that we have an increasingly serious problem with juvenile crime 
in our society. What has happened in our society? What has devel- 
oped over the last decade or two so that we confront this today as 
we do? 

Ms. Lisi. Senator Kohl, one of the things I did as a public de- 
fender in representing those indigent offenders was to go back and 
find out who they were, and I was astounded when I read their 
case files which, in our family court, included not only the offenses 
for which they were before the court, but also the cases of abuse 
which had been brought before the court when they were much, 
much younger. 

That is when I changed and began to work as an advocate on be- 
half of abused and neglected children because I firmly believe that 
the only way, or perhaps the most successful way that we can work 
with juvenile offenders is to reach them when they are much 



131 

younger and to reach that family unit before it becomes so dysfunc- 
tional that any amount of services will not have success. 

Senator KOHL. Are you saying that perhaps, in your opinion, the 
major cause of some of these problems in our society is dysfunc- 
tional family units, as opposed and contrasted with a generation or 
two ago? 

Ms. Lisi. I believe so, sir, yes. 

Senator Kohl. All right. Ms. Lisi, what would you do when faced 
with a first circuit precedent that controlled a matter before you 
but with which you personally disagreed? 

Ms. Lisi. I think I am bound to set aside any personal feelings 
I have about that precedent and I am bound to apply it. 

Senator KOHL, I thank you. 

Senator Thurmond. 

QUESTIONING BY SENATOR THURMOND 

Senator Thurmond. Thank you, Mr. Chairman. 

I notice from your resume you are with the Rhode Island Su- 
preme Court. Now, as I understand it, you are not on the court, 
but you are counsel to the court, is that correct? 

Ms. Lisi. I am the chief disciplinary counsel for the supreme 
court. 

Senator Thurmond. You have not been a judge? 

Ms. Lisi. No, sir. 

Senator Thurmond. You don't anticipate any trouble in the tran- 
sition to being a judge, do you? 

Ms. Lisi. No, sir, I do not. 

Senator Thurmond. The phrase "judicial activism" is often used 
to describe the tendency of judges to make decisions on issues that 
are not properly within the scope of their authority. What does the 
phrase "judicial activism" mean to you? 

Ms. Lisi. I think. Senator Thurmond, that the description that 
was provided to us in the questionnaire probably most aptly de- 
scribes what judicial activism is, and if you have my questionnaire 
in front of you, you know that my feeling is that a Federal court 
judge is bound by the parameters of article III and the acts of this 
Congress. 

Senator Thurmond. Sometimes, judges don't agree with the law 
in some respects, and you can understand that, and they attempt 
to assert their own opinions. How do you feel about that? Congress 
is the one that has to change the law and not the judges. Are you 
in accord with that? 

Ms. Lisi. I am, sir. 

Senator Thurmond. Thank you. I wish you well on the bench. 

Ms. Lisi. Thank you very much. 

Senator KOHL. Thank you, Senator Thurmond. Thank you very 
much, Ms. Lisi. 

Our final nominee today is Judge Louis Sands. He has been nom- 
inated to be district court judge for the Middle District of Georgia. 

Judge Sands, if you would raise your right hand, do you swear 
that the testimony you shall give in this proceeding shall be the 
truth, the whole truth and nothing but the truth, so help you Gk)d? 

Judge Sands. I do. 



132 

Senator KoHL. Thank you, sir. We would be delighted to meet 
members of your family if they are with you. 

TESTIMONY OF W. LOUIS SANDS, MACON, GA, TO BE U.S. 
DISTRICT JUDGE FOR THE MIDDLE DISTRICT OF GEORGIA 

Judge Sands. Thank you very much, Senator. First of all, I have 
with me my wife, Carla Heath Sands, and she is holding our 
youngest, Billye Louise Sands, who, for the benefit of the decorum 
of this body, it is probably best that she is asleep now. I also have 
my daughter, Angela Sands, who will be a student at Georgetown 
University Law School later this year, and my son. Walker Louis 
Sands; my mother-in-law, Ms. Martha Johnson; my law clerk, Vic- 
toria Spear; and also a family friend, Tina Valdecanas. 

Thank you very much, Senator. 

QUESTIONING BY SENATOR KOHL 

Senator KOHL. Well, we thank you all for coming here today. It 
is a pleasure to have you. 

Judge Sands, in recent years much has been said about Federal 
courts' increasing caseloads and the resulting problem of docket 
backlog. This backlog has had an adverse effect on the litigants be- 
fore the court, who have been forced to suffer at least some, if not 
significant delay in the resolution of their claims. 

If confirmed, what steps would you take to ensure that your 
docket progresses as quickly as possible? 

Judge Sands. Well, Senator, that, of course, has been a very 
great difficulty not only for the Federal courts, but it has been a 
challenge for the State courts, such as the one that I serve on, and 
it is a problem we constantly look at. I would expect to do the same 
on the Federal bench, if confirmed, as I have tried to do as a State 
court judge; that is, to look first to any means that may have al- 
ready been set up or may have been suggested by others, but I be- 
lieve, for the Federal courts, one has to make good use of the mag- 
istrates. In the circuit where I live, we happen to have some very 
able magistrates. 

Also, there is some discussion about other means, such as arbi- 
tration or matters through which litigants can be referred. But I 
believe it is a matter that has to be constantly reviewed, any of 
those types of suggestions. One of the first things that I would do, 
of course, would be to consult with the persons already on our local 
bench, but I would be open to any suggestions and again would use 
those type of reviews and new techniques that we would come up 
with, as we have done on the State bench. 

Senator KOHL. All right. I would like to ask you a question I 
asked one of the previous nominees, and that is about court secrecy 
orders. As you know, there is a growing tendency to allow court se- 
crecy orders to stand. I have a bill which would make a judge, by 
requirement, not allow any court secrecy agreement that endangers 
public health and safety. In other words, if there is a defective 
automobile, of which there may be 5 or 10,000 defective auto- 
mobiles, and one person has an accident and comes to court and 
is prepared to accept a settlement, provided it is kept secret, that 
person would not be allowed to do it. The judge would have to rule 
that there is a public health and safety issue. There may be 10,000, 



133 

or 20,000, or 30,000 people who need to know about this defective 
automobile, so we cannot allow this judgment to be made secret. 
How do you feel about that? 

Judge Sands. Well, Senator, I am not specifically familiar with 
what you are referring to, the bill that you are referring to, but I 
think I understand to what you refer by your description. 

Senator KoHL. I tried to explain it, yes. 

Judge Sands. Yes; by your description, I do understand. 

Senator KOHL. Right. 

Judge Sands. First of all, I understand that there is a very dif- 
ficult balancing to take place by what you suggest. I believe, of 
course, that the courts are public. They are provided for us to have 
litigation there so that anyone who wishes to observe may do so. 
But I am also aware, on the other hand, that there are certain 
matters that are so strictly private, some things as we have had 
in the past in criminal cases that are maybe an endangerment. So 
I believe, on the other hand, or the other side, there are matters 
that might need to be considered closed, possibly. 

Senator KoHL. Well, now, there is the opportunity today for a 
judge — ^no requirement, but the opportunity today for a judge to set 
aside any secret arrangement if, in his judgment or her judgment, 
it violates public health and safety. What would you do in the case 
of a defective automobile that had caused a death and the plaintiff 
was offered a considerable settlement, provided that he was willing 
to keep it secret, and he was willing to do it and the defendant 
wanted to do it, and you had, as you would have, the opportunity, 
but not the requirement, to set that secrecy order aside in the in- 
terests of the larger public health and safety of our country? What 
would you do? 

Judge Sands. Senator, first of all, of course, I would not like to 
right here prejudge how I would do it in that particular case, but 
I certainly would listen to all of the facts, take into consideration 
all of the circumstances on both sides of the case, as I have tried 
to do in all cases in the past, and make a decision which I believed 
was fair and consistent with the public interest, as well as to abide 
fully with whatever law did apply. 

Senator KOHL. Finally, do you believe that pro bono work is a 
good thing in our society, a necessary thing in our society? Do you 
think we ought to make it, second, obligatory on the part of law- 
yers, particularly young lawyers as they are coming up in their 
communities? 

Judge Sands. I think it is very important to our society that law- 
yers provide service pro bono. I had the honor and privilege of 
being the president of our local bar, and at various times in our 
court to this day as new lawyers come aboard, we have a short 
ceremony where they come before the bench and I have tried to 
emphasize on each of those occasions to the new lawyers how im- 
portant it is not only to exercise the privilege of earning a living 
by practicing law, but also to return something to the community, 
to give something back. So I have tried to do it in that manner. 

I believe somehow, if we were to make it absolutely mandatory, 
though, I think it would take away the very voluntary nature of 
it. I believe it would be something that should definitely be encour- 
aged, but I doubt that we would get the full benefit of it if we made 



134 

it strictly mandatory, but definitely something we should encourage 

fully. 

Senator KOHL. I thank you very much. 
Senator Thurmond. 

QUESTIONING BY SENATOR THURMOND 

Senator THURMOND. Thank you. 

I notice you graduated from the Walter George School of Law in 
Macon, GA. 

Judge Sands. I did, sir. 

Senator Thurmond. I spoke there several years ago. I don't 
guess you were a student at that time, were you? 

Judge Sands. I was a student there. Senator, from 1971 to 1974. 

Senator Thurmond. I have forgotten now what year I spoke 
there, but I 

Judge Sands. I would have seen you. Senator. I don't believe I 
was there at that time because certainly I would have attended. 

Senator Thurmond. I was very much impressed with that school, 
though. I think it is a good school. 

Judge Sands. Thank you very much. 

Senator Thurmond. The American Bar Association in consider- 
ing judges for the Supreme Court especially consider, first, integ- 
rity. Have you ever been arrested for any crime? 

Judge Sands. No, I have not. Senator, fortunately. 

Senator Thurmond. They consider judicial temperament. You 
heard me talk a few moments ago about temperament of a judge, 
that he ought to always be courteous and be calm and control him- 
self Do you agree with that? 

Judge Sands. Yes, I do, Senator. It is very important. I believe, 
as you stated, the greater the power a person has, the more hum- 
bleness they should show. 

Senator Thurmond. That is right. The other thing was profes- 
sionalism. I think you have the professionalism here. Having grad- 
uated from the Walter F. George School of Law, your education 
qualifies you there. You have had considerable experience in var- 
ious ways. I notice you were with the Army Reserve in the Signal 
Corps. 

Judge Sands. Yes, I was. 

Senator Thurmond. What was your rank then? 

Judge Sands. I was commissioned when I graduated from college 
as a second lieutenant and I later attained the rank of first lieuten- 
ant when I went into active duty, and at the time I resigned my 
commission I was at the rank of captain. 
Senator Thurmond. Do you still hold that rank? 
Judge Sands. No; I resigned the commission several years ago. 

Senator 

Senator THURMOND. I see. 

Judge Sands [continuing]. After completing my required service 

time. 

Senator Thurmond. I notice you are a superior court judge in 

Georgia. 
Judge Sands. That is correct, sir. 



135 

Senator Thurmond. I was a circuit court judge in South Caro- 
lina. I believe that is the same kind of judge, the highest trial court 
in the State. 

Judge Sands. It is, yes, sir. 

Senator Thurmond. We call them circuit courts and you call 
them superior courts, I believe. In New York, they call them supe- 
rior courts, too. 

Now, this will be a trial court you are going on here, the district 
court, so it will be similar type work. It will just be in the Federal 
court rather than the State court. 

Judge Sands. Yes, sir. 

Senator Thurmond. So you don't anticipate any trouble there in 
making that transition, do you? 

Judge Sands. I do not. Senator. 

Senator Thurmond. I think you have got a good record. I wish 
you well on the bench. 

Judge Sands. Thank you very much. 

Senator Thurmond. I wanted to mention one more thing to you. 
I want to note for the record that you are a member of a club, the 
Homosophian Civic Club of Macon. 

Judge Sands. Yes, I am, sir. 

Senator Thurmond. At least as of 2 months ago, it had never 
had a female member in its history, had it? 

Judge Sands. That is correct, I believe. Senator. 

Senator Thurmond. I just wanted to add that you are hardly 
unique in this respect. Many of the Clinton judicial nominees have 
had similar club issues, but I must observe that in the days when 
the Republicans controlled the Senate and were making nomina- 
tions, there would have been an objection to them because they be- 
longed to a club that didn't have minorities or didn't have women. 
But you are not responsible for that, are you? 

Judge Sands. I am not. In fact. Senator, there is a woman mem- 
ber of the club and I believe I was one of the persons who encour- 
aged that membership. 

Senator Thurmond. I think some of the Democrats went too far 
in raising a point about these memberships in clubs, so long as 
they are fair and just. Anyway, I just wanted to make the point 
there that I hope there won't be a double standard when Repub- 
licans get back in control and it will be the same standard as the 
Democrats use. 

Judge Sands. Yes, sir. 

Senator Thurmond. Thank you very much. 

Senator KOHL. All right. Well, that is not going to be very soon. 
[Laughter,] 

But I wanted to say this, and I was going to say this before you 
made your remarks. I am really honored to be sitting on the same 
panel with you, and I think everybody here today feels very special 
about having you in our presence. 

Senator Thurmond. Thank you. Well, I want to commend you for 
presiding over these hearings. You do it quickly, you do it effi- 
ciently, and we save a lot of time. Some of these presiding officers 
take too long. You do a good job. [Laughter.] 

Senator KOHL. Judge Sands? 



136 

Judge Sands. Senator, not to extend these hearings, but I would 
be remiss if I failed to mention a law professor. When Senator 
Thurmond mentioned Mercer's Walter F. George School of Law — 
I have the great fortune of having a professor here who was for- 
merly of that school, Ms. Leah F. Chanin, who is also present, and 
I would like for her to stand. 

[Ms. Chanin stood.] 

Senator Kohl. Thank you very much. 

We thank you all for being here today. 

Senator Thurmond. I would like to shake hands with you nomi- 
nees, if you will come around here in just a minute as I come down 
there before we leave. 

Senator KOHL. All right. These hearings are closed. 

[Whereupon, at 4:03 p.m., the committee was adjourned.] 

[Submissions for the record follow:] 



137 



SUBMISSIONS FOR THE RECORD 



I. BIOGRAPHICAL INFORMATION (PUBLIC) 

1. Full name (include any former names used.) 
Carl Edmond Stewart 



Address: List current place of residence and office 
address(es) . 

Home: 6805 Snowmass Street 

Shreveport, Louisiana 1'. 119 

Office: 430 Fannin Street 

Shreveport, Louisiana 71101 



Date and place of birth. 

January 2, 1950 
Shreveport, Louisiana 



Marital Status (include maiden name of wife, or husband's 
name). List spouse's occupation, employer's name and 
business address(es). 

Spouse: Jo Ann Southall Stewart 

Drug Intervention Coordinator 

Caddo Parish School Board 

1961 Midway Street 

Shreveport, Louisiana 71130-2000 



Education : List each college and law school you have 
attended, including dates of attendance, degrees received 
and dates degrees were granted. 

Loyola University School of Law, New Orleans, Louisiana 
September 1971 - May 1974 
Juris Doctor of Law Degree, 1974 

Dillard University, New Orleans, Louisiana 
September 1967 - May 1971 
Bachelor of Arts Degree in Psychology 
Magna Cum Laude, 1971 



- CES 1 - 



138 



5. Rmplovment- Record : List (by year) all business or 
professional corporations, companies, firms, or other 
enterprises, partnerships, institutions and organizations, 
nonprofit or otherwise, including firms, with which you 
were connected as an officer, director, partner, 
proprietor, or employee since graduation from college. 

Part-time Initial Action Unit, Nighttime Claims Handler, 

Allstate Insurance Company, Metairie, Louisiana, 
1972-1974 

Trial Defense Counsel and Legal Assistance Attorney, 

Office of the Staff Judge Advocate, United States 
Army, Fort Sam Houston, Texas, 1974-1977 

Associate Attorney, Piper & Brown Law Firm, Shreveport, 
Louisiana, October 1977-January 1978 

Staff Attorney, Louisiana Attorney General's Office, 
Shreveport, Louisiana, January 1978-April 1979 

Assistant United States Attorney, Western District of 
Louisiana, Shreveport, Louisiana, April 1979- 
November 1983 

Partner, Stewart & Dixon, A Professional Law Corporation, 
November 1983-April 1985 

Special Assistant District Attorney and Assistant 
Shreveport City Prosecutor, 1983-1985 

Adjunct Instructor, Louisiana State University-Shreveport, 
College of Business, Department of Management and 
Marketing, Spring 1982-Spring 1985 

District Judge, First Judicial District Court, Division D, 
State of Louisiana, April 1985-February 1991 

Judge, Second Circuit Court of Appeal, State of Louisiana, 
February 1991-Present 

7. Military Service : Have you had any military service? If 
so, give particulars, including the dates, branch of 
service, rank or rate, serial number and type of discharge 
received. 

Yes. 

October 1974 - October 1977 

Captain, U.S. Array Judge Advocate General's Corps 

Fort Sam Houston, Texas 

437-86-7477 

Honorable Discharge 



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8. Honors and Awards : List any scholarships, fellowships, 
honorary degrees, and honorary society memberships that you 
believe would be of interest to the Committee. 

Charter Member and Team Leader, Harry V. Booth Chapter, 
American Inns of Court, Shreveport, Louisiana 

9. Bar Associations ; List all bar associations, legal or 
judicial-related committees or conferences of which you are 
or have been a member and give the titles and dates of any 
offices which you have held in such groups. The following 
memberships are current: 

The American Bar Association and Judicial Administration 
Division 

The National Bar Association and Judicial Council 

The Louisiana State Bar Association 

The Harry V. Booth Chapter, American Inns of Court, 
Shreveport, Louisiana (Charter Member) 

The Black Lawyers Association of Shreveport-Bossier 

The Louisiana Conference of Court of Appeal Judges 

The Louisiana State Bar Association Bench/Bar Liaison 
Committee 

10. Other Memberships : List all organizations to which you 

belong that are active in lobbying before public bodies. 

None. 

Please list all other organizations to which you belong. 

FORMER BOARD OF DIRECTOR MEMBERSHIPS 

Caddo-Bossier Community Council, 1981-1985 

Carver Branch YMCA, 1981-1987 

HAP House Multi-Disability Work Center, 1981-1987 

Boys Club of Shreveport-Bossier, 1982-1985 



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Goodwill Industries of Horthwest Louisiana, 1983-1987 

Salvation Army Advisory Board, 1983-1986 

Northwest Louisiana Sickle Cell Anemia Foundation, 1985-1987 

Northwest Louisiana Family Crisis Center, 1986-1987 

KDAQ Public Radio Station Community Advisory Board, 1986-1987 

Shreveport Opera, 1986-1988 

Shreveport-Bossier Metropolitan YMCA, 1985-1989 

American Red Cross, 1987-1989 

Northwest Louisiana Biomedical Research Foundation 
(Charter Officer), 1985-1988 

Shreveport Chamber of Commerce, 1985-1988 

MEMBERSHIPS IN CIVIC AND COMMUNITY ORGANIZATIONS 

Shreveport Chamber of Commerce-Leadership Council, (Chairman, 
1985-1986) 

National Association for the Advancement of Colored People, 
1988-Present 

Louisiana State Dniversity-Shreveport Chancellor's Advisory 
Board, 1983-1989, (Chairman, 1988-1989) 

Ark-La-Tex Ambassadors Club, 1990-Present 

Shreveport Chamber of Commerce, Military Affairs Council, 
1992-Present 

Omega Psi Phi Fraternity, Inc., Rho Omega Chapter, (Basileus, 
1983-1985) 

Omega Psi Phi Fraternity, Inc., Rho Omega Chapter, Achievement 
Week Committee (Chairman, 1992-1994) 

Dillard University, Friends of Louisiana Association of 
Independent Colleges and Universities, New Orleans, 
Louisiana, (Representative, 1988-1989) 

Dillard University Alumni Association, New Orleans, Louisiana 
(Parliamentarian, 1992) 

Loyola University School of Law Visiting Committee, 
New Orleans, Louisiana, 1988-1989 

YMCA Black Achievers Program Steering Committee, 1990 

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BOARD MEMBERSHIPS 

National Member at Large, Boy Scouts of America, National 
Council, 1986-Present 

Norwela Council Boy Scouts of America, (Treasurer, 1987-1988, 
Vice President for Membership 1990-1993, Council President 
1993-Present) 

National Member, Urban Field Services Committee, Boy Scouts of 
America, Dallas, Texas, 1992-Present 

Lighthouse Educational Enrichment Program, 1987-Present 

Advisory Board, Links Inc., Project LEAD High Expectations, 
1992-Present 

Volunteers of America of Northwest Louisiana, 1991-Present 

Dovmtown Shreveport Development Corporation, 1990-Present 

Grambling State University, Dr. Martin Luther King, Jr. 

Criminal Justice Center, Grambling, Louisiana, 1992-Present 

Trustee, Centenary College of Louisiana, Shreveport, Louisiana, 
1992-Present 



Court Admission . List all courts in which you have been 
admitted to practice, with dates of admission and lapses if any 
such memberships lapsed. Please explain the reason for any 
lapse of membership. Give the same information for 
administration bodies which require special admission to 
practice. 

The Supreme Court of the State of Louisiana 
October 2, 1974 

The United States Court of Military Appeals 
December 13, 1974 

The United States District Court for the Western District of 
Louisiana 

January 3, 1978 

The United States Fifth Circuit Court of Appeals 
February 2, 1979 

The United States Supreme Court 
June 30, 1980 



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12. Published Writings : List the titles, publishers, and dates of 
books, articles, reports, or other published material you have 
written or edited. Please supply one copy of all published 
material not readily available to the Committee. Also, please 
supply a copy of all speeches by you on issues involving 
constitutional law or legal policy. If there were press 
reports about the speech, and they are readily available to 
you, please supply them. 

None. 

13. Health : What is the present state of your health? List 
the date of your last physical examination. 

Good. September 30, 1993. 

14. Judicial Office : State (chronologically) any judicial 
offices you have held, whether such position was elected 
or appointed, and a description of the jurisdiction of 
each such court. 

Elected District Judge, First Judicial District 
Court, Division D, State of Louisiana, April 22, 
1985-February 15, 1991. The district court 
encompasses Caddo Parish (county) and is a general 
jurisdiction court for all civil and criminal cases 
except municipal traffic offenses and juvenile cases. 

Elected Judge, Second Circuit Court of Appeal, State 
of Louisiana, February 15, 1991-Present. The Second 
Circuit is one of five intermediate appellate courts 
in Louisiana and consists of nine judges. Pursuant to 
the Louisiana Constitution, a court of appeal has 
appellate jurisdiction of (1) all civil matters, 
including direct review of administrative agency 
determinations of workers* compensation matters, (2) 
all matters appealed from family and juvenile courts, 
and (3) all criminal cases triaJ le by a jury except in 
capital cases where a penalty of death has actually 
been imposed. It has supervisory jurisdiction over 
cases which arise within its circuit. 

15. Citations : If you are or have been a judge, provide: (1) 
citations for the ten most significant opinions you have 
written; (2) a short summary of and citations for all 
appellate opinions where your decisions were reversed or 
where your judgment was affirmed with significant 
criticism of your substantive or procedural rulings; and 
(3) citations for significant opinions on federal or state 
constitutional issues, together with the citation to 
appellate court rulings on such opinions. If any of the 
opinions listed were not officially reported, please 
provide copies of the opinions. 

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(1) citations for the ten most significant opinions you 
have written: 

Ten Most Significant Opinions 

1. McCrary v. Park South Properties. Inc. . trial court 
opinion attached; affirmed on appeal, 560 So. 2d 38 (La. 
App. 2d Cir, 1990), writ denied, 563 So. 2d 1156 (La. 1990). 

2. State V. Lobato . 588 So. 2d 1378 (La. App. 2d Cir. 1991), 
affirmed, 603 So. 2d 739 (La. 1992). 

3. Aldredoe v. Whitney . 591 So. 2d 1201 (La. App. 2d Cir. 
1991). 

4. Howard v. Howard . 580 So. 2d 696 (La. App. 2d Cir. 1991). 

5. Coffin V. The Board of Supervisors of Louisiana State 
University Agricultural & Mechanical College . 620 So. 2d 
1354 (La. App. 2d Cir. 1993). 

6. State V. Gay . 616 So. 2d 1290 (La. App. 2d Cir. 1993). 

7. Atkins v. Atkins . 623 So. 2d 239 (La. App. 2d Cir. 1993). 

8. In Ret JWR & RKR . 607 So. 2d 634 (La. App. 2d Cir. 1992), 
writ denied, 607 So. 2d 571 (La. 1992). 

9- First Downtown Development Corp. v. Cimochowski . 613 So. 2d 
671 (La. App. 2d Cir. 1993), writ denied, 615 So. 2d 340 
(La. 1993). 

10. Soderouist v. Kramer . 595 So. 2d 825 (La. App. 2d Cir. 
1992). 

(2) a short summary of and citations for all appellate 
opinions where your decisions were reversed or where your 
judgment was affirmed with significant criticism of your 
substantive or procedural rulings: 

1. 

Massev V. G.B. Coolev Hospital For Retarded Citizens . 593 
So. 2d 460 (La. App. 2d Cir. 1992), set aside/remanded 616 
So. 2d 1242 (La. 1993). Plaintiff petitioned for damages 
against his employer alleging that he was wrongfully 
terminated and that the employer made defamatory 
statements about him during the grievance procedure after 
termination. Defendants filed an exception of no cause of 
action. The trial court maintained the exception as to 
allegations of wrongful termination of employment and 



CES 7 



144 



intentional infliction of emotional distress, but 
overruled the exception and found a cause of action for 
defamation. The court of appeal affirmed. The Louisiana 
Supreme Court set aside the judgments of the lower courts 
and remanded the case to the trial court to reconsider the 
exception in light of its recent detailed analysis of 
whether a court may render a judgment which partially 
maintains an exception of no cause of action when the 
judgment adjudicates less than all of the claims asserted 
against the excepting party. 



White V. West Carroll Hospital . 598 So. 2d 1134, (La. 
App. 2d Cir. 1992), vacated 613 So. 2d 150 (La. 1992). 
Presented with whether the court of appeal may consider a 
prior suit which was not introduced into evidence at a 
prescription hearing, the appellate court found that the 
prior suit was not part of the appellate record and 
refused to supplement the record on appeal or to grant 
plaintiffs' request to remand the case to the trial court 
to supplement the record. The Louisiana Supreme Court 
found that the court of appeal was correct in refusing to 
supplement the record on appeal, but found it appropriate 
to remand the case to the trial court to include evidence 
of the prior suit and to reexamine the issue of 
prescription in light of the prior suit. Accordingly, the 
Louisiana Supreme Court vacated and set aside the judgment 
of the court of appeal which affirmed the trial court's 
grant of the exception of prescription, and remanded the 
case to the trial court for further proceedings. 



Taylor v. Giddens . 607 So. 2d 878 (La. App. 2d Cir. 
1992), affirmed in part, reversed in part, and remanded, 
618 So. 2d 834 (La. 1993). The court of appeal determined 
that the language of LSA-R.S. 9:5628, Louisiana's medical 
malpractice prescription statute, is unambiguous and 
provides no exception for wrongful death and/or survival 
actions which arise from medical malpractice. The 
Louisiana Supreme Court determined that a wrongful death 
action is separate and distinct from a malpractice action 
and, thus, is not governed by LSA-R.S. 9:5628. However, 
the survival action is controlled by the prescriptive 
periods set forth in LSA-R.S. 9:5628. Therefore, the 
judgment which sustained the peremptory exceptions of 
prescription was affirmed as to the survival action and 
reversed as to the wrongful death accion, and the case was 
remanded for further proceedings. 



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4. 

State V. Atkins . 607 So. 2d 875 (La. App. 2d Cir. 
1992), remanded, 613 So. 2d 164 (La. 1993), on remand 621 
So. 2d 656 (La. App. 2d Cir. 1993). The district attorney 
obtained bond forfeiture judgments against a bondsman and 
seized funds from the bondsman's savings account. The 
bondsman petitioned to nullify the bond forfeiture 
judgments, asserting that the state failed to give him 
proper notices of appearance dates and of the forfeiture 
judgments. The trial court found that all notices were 
properly sent, and the court of appeal affirmed. The 
Louisiana Supreme Court criticized the court of appeal's 
reference in dicta to a statute which became effective 
after the bond forfeitures occurred, and remanded the case 
to the appellate court for reconsideration. On remand, 
the court of appeal again affirmed the trial court 
judgment. 

5. 

State V. Otis . 586 So. 2d 595, (La. App. 2d Cir. 1991), 
writ granted in part and remanded, 589 So. 2d 487 (La. 
1991), on remand, 592 So. 2d 1 (La. App. 2d Cir. 1991). 
Defendant appealed his convictions for one count of 
manslaughter and two counts of atteirpted manslaughter. He 
also appealed his sentences, as an habitual offender, to 
25 years hard labor on the manslaughter conviction and 12 
1/2 years hard labor on each of the attempted manslaughter 
convictions, all of which were to run concurrently. The 
court of appeal affirmed defendant's convictions and 
sentences. The Louisiana Supreme Court granted writs, in 
part, and remanded the case for the 
appellate court to reconsider defendant's claim of 
ezcessiveness of sentence because defendant was sentenced 
as a multiple offender on all three counts, despite the 
fact that his convictions were entered on the same day and 
involved offenses committed in a single criminal act or 
episode. On remand, the court of cppeal determined that 
the three convictions must be considered as one 
conviction, for the purposes of enhancement under the 
habitual offender bill, because they arose from a single 
criminal episode. Accordingly, the sentences were vacated 
and the case remanded to the trial court for resentencing 
on all three convictions, with adjudication and sentencing 
as a habitual offender on only one of the convictions. 

(3) citations for significant opinions on federal or state 
constitutional issues, together with the citation to 
appellate court rulings on such opinions. 

Hot applicable. 



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146 



16. Public Office ; State (chronologically) any public offices 
you have held, other than judicial offices, including the 
terms of service and whether such positions were elected or 
appointed. State (chronologically) any unsuccessful 
candidacies for elective public office. 

None. 



17. Legal Career ; 

a. Describe chronologically your la/ practice and experience 
after graduation from law school including: 

1. whether you served as clerk to a judge, and if so, 
the name of the judge, the court, and the dates of 
the period you were a clerk; 

Ho. 

2. whether you practiced alone, and if so, the addresses 
and dates; 

No. 

3. the dates, names and addresses of law firms or 
offices, companies or governmental agencies with 
which you have been connected, and the nature of your 
connection with each; 

October 1974-Octob2r 1977 

1 served as a Captain in the U.S. Army Judge Advocate 
General's Corps immediately after my admission to the 
Louisiana Bar. My duty assignment was as a Trial 
Defense Attorney and Legal Assistance Officer, Office 
of the Staff Judge Advocate, Headquarters, Fort Sam 
Houston, Texas. 

October 1977-January 1978 

Upon discharge from the U.S. Army, I returned home to 
Shreveport, Louisiana where I worked as an associate 
attorney in the two-person law firm of Piper and 
Brown, Attorneys at Law. 

January 1978-April 1979 

I served as a staff attorney in the Shreveport, 
Louisiana office of Louisiana Attorney General William 
J. Guste, Jr. 



CES 10 - 



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April 1979-Noveniber 1983 

U.S. Attorney J. Ransdell Keene hired me as an 
Assistant U.S. Attorney for the Western District of 
Louisiana initially to work in the civil section. I 
remained an Assistant United States Attorney when 
Joseph S. Cage, Jr. succeeded Mr. Keene as United 
States Attorney for the Western District of Louisiana. 

November 1983-April 1985 

Upon leaving the U.S. Attorney's Office, I went into 
private practice in a two-person law firm named 
Stewart and Dixon, A Professional Law Corporation 
located in Shreveport, Louisiana. I simultaneously 
held a part-time position as an Assistant City 
Attorney for the City of Shreveport and a Special 
Assistant District Attorney. 

b. 1. What has been the general character of your law 
practice, dividing it into periods with dates if 
its character has changed over the years? 

October 1974-October 1977 

I was part of a nine-person military law office. 
As Trial Defense Attorney, I achieved success on 
behalf of my soldier clients in several 
courts-martial proceedings. In numerous other 
cases, quick and thorough pretrial preparation 
enabled me to secure nonjudicial punishments for my 
clients in lieu of court-martial. In my capacity 
as a Legal Assistance Officer, I organized and 
administered the Hospital Legal Assistance Program 
at Brooke Army Medical Center, Fort Sam Houston. 
As a result of my work as a judge advocate, I 
received the Department of the Army, Array 
Commendation Medal on October 11, 1977. 

October 1977-January 1978 

I assisted both Piper and Brown in the preparation 
of general civil litigation files. I left the firm 
along with several support staff during the law 
firm's reduction of overhead costs. 

January 1978-April 1979 

The Attorney General's Office is located in 
Shreveport, Louisiana and was staffed by one 
Assistant Attorney General, A. Mills McCawley, a 
secretary, and myself. My general duties were to 
draft Attorney General opinions, do legal research, 
and assist Mr. McCawley in the preparation and 
trial of cases within the Shreveport area. I left 
the Louisiana Attorney General's Office to accept a 
higher paying position. 

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148 



April 1979-Noveniber 1983 

I handled cases under the Federal Tort Claims Act, 
as well as other federal statutes and under the 
Code of Federal Regulations. In 1980, I moved to 
the criminal section and prosecuted cases ranging 
from the Migratory Bird Treaty Act to 
administrative agency cases for food stamp 
violations, social security benefits violations, 
etc. Cases I handled from grand jury indictments 
to jury trial encompassed vote buying in federal 
elections, fraudulent flood claims against the 
Federal Emergency Management Agency, embezzlements, 
bank robberies, loan sharking, and tax fraud and 
criminal civil rights violations. I also 
participated in voting rights and school 
desegregation cases brought by the Justice 
Department. 

November 1983-April 1985 

My law partner was Edward Dixon. We employed one 
secretary and one receptionist. As a small firm, 
we handled primarily general civil matters with 
little litigation. Both designations enabled me to 
prosecute Driving While Intoxicated cases for the 
city under state law. Additionally, I prosecuted 
misdemeanors and miscellaneous traffic offenses. 

Our law firm dissolved and my part-time prosecution 
work ended upon my election as a judge on March 30, 
1985. I took ray oath of office on April 22, 1985. 



Describe your typical former clients, and mention the 
areas, if any, in which you have specialized. 

See answers to 17b(l) above. 



Did you appear in court frequently, occasionally, or 
not at all? If the frequency of your appearances in 
court varied, describe each such variance, giving dates. 

Except during ray private practice years, I appeared in 
state and federal courts on i, regular basis. 

(See answers to 17b(l) above). 

What percentage of these appearances was in: 
a. federal courts; 1974-1977; 1979-1983 (100%) 



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149 



b. state courts of record; 1978; 1984-1985 (99%) 

c. other courts. 

3. What percentage of your litigation was: 

a. civil; 

1974-1977 (0%); 1978-1983 (10%); 1984-1985 (1%) 

b. criminal. 

1974-1977 (100%); 1979-1983 (90%); 1984-1985 (99%) 

4. State the number of cases in courts of record you 
tried to verdict or judgmen; (rather than settled), 
indicating whether you were sole counsel, chief 
counsel, or associate counsel. 

Military practice - 25 - sole counsel 

Private practice - 3 - sole counsel 

City and State government - 120 - sole counsel 
Federal government practice - 100 - (85%) sole counsel 

(15%) associate counsel 

5. What percentage of these trials was: 

(a) jury; 15% 

(b) non-jury. 85% 

Litigation ; Describe the ten most significant litigated 
matters which you personally handled. Give the citations, if 
the cases were reported, and the docket number and date if 
unreported. Give a capsule summary of the substance of each 
case. Identify the party or parties whom you represented; 
describe in detail the nature of your participation in the 
litigation and the final disposition of the case. Also state 
as to each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge or 
judges before whom the case was litigated; and 

(c) The individual name, addres-.es, and telephone numbers 
of co-counsel and of principal counsel for each of the 
other parties. 



CES 13 - 



150 



The ten most significant cases I personally litigated all 
occurred during my tenure as an Assistant United States 
Attorney for the Western District of Louisiana. 

1. 

United States v. Robert Dwiaht Hance . No. 83-50024-08, Western 
District of Louisiana. Jury trial was held in November 1983 
before the Honorable Tom Stagg. Counsel for the Defendant: 
Mr. Neil Martin Trichel, 610 Marshall Street, Suite 630, 
Shreveport, Louisiana 71101, (318) 424-1441 

Summary: Filing of fraudulent tax return . 

Representing the United States, I handled Mr. Nance's jury 
trial as the last of ten cases in which inmates at Wade 
Correctional Center located in Homer, Louisiana, had filed 
fraudulent federal income tax returns. The inmates filed 
returns claiming they had earned wages during the preceding 
year and were entitled to receive refunds from the United 
States government. Refunds were, in fact, received by the 
inmates via the fraudulent use of social security numbers and 
addresses. Nine of the ten defendants pled guilty prior to 
trial, but Mr. Nance, the purported ringleader, was tried and 
convicted by a jury on the indictment charging him with filing 
a fraudulent tax return. 

My role included the following: Coordinating the field 
investigation with the FBI; preparing and examining witnesses 
for the grand jury; preparing the grand jury indictment and 
presenting it to the grand jury; responding to pre-trial 
motions; handling pre-trial proceedings and hearings; preparing 
lay and expert witnesses for trial; conducting the trial from 
opening argument, through the return of the jury verdict, to 
sentencing. 

Significance : 

The case was significant because it represented the 
curtailment of a substantial scheme of defrauding money from 
the government, not only by persons who had not earned any 
income but by inmates who were incarcerated on other charges. 
These fraudulent returns and the prosecution impacted greatly 
on the finances of the United States. Mr. Nance was convicted 
and sentenced to a period of hard labor to run consecutively 
with the time he was serving in the state penitentiary. 



United States v. Wavmon Fortenberry . No. 82-30017, Western 
District of Louisiana, Monroe Division. Jury trial was held 
during 1982-1983 before the Honora ale Nauman S. Scott, then 
Chief Judge of the Western District of Louisiana. Counsel for 
the Defendant: Mr. Robert McLeod, 1900 North 18th Street, 
Suite 610, Monroe, Louisiana 71207, (318) 325-7000. 
Co-Counsel for the United States, Department of Justice 
Attorneys Ross Connealy and Criselda Ortiz. 

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151 



Summary: Criminal Civil Rights Violation . 

I represented the United States as co-counsel in this case 
against Mr. Fortenberry, who was Warden of the East Carroll 
Parish Prison. The factual basis for the criminal civil rights 
violation was that two young black men, inmates at the prison, 
were left in a metal box over an extended period of time and, 
due to extreme heat and dehydration, died in the metal box. 
Both the victims in the case were under 20 years of age. After 
a multi-day trial, the jury acquitted the defendant. 

As co-counsel, I served as local contact for the 
Washington, D.C. Justice Department lead counsel. I examined 
the grand jury witnesses and assisted in preparing the grand 
jury indictment. During the trial, I prepared and examined Dr. 
George W. McCormick, III, a forensic pathologist, who testified 
as an expert witness. 

Significance ; 

The case is significant because of the extreme neglect 
which led to deaths of two young men while in the custody of a 
state official. The impact of the trial on the community, as 
well as the deterrent effect on others responsible for the care 
of prisoners, was significant. For my participation in this 
trial, I received a letter of commendation from the United 
States Department of Justice. 



3. 

United States v. Melvin Banks a/k/a Niohttrain . No. 

82-50031-01, Western District of Louisiana, Shreveport 
Division. Jury trial was held during 1982-1983 before the 
Honorable Henry A. Politz, now Chief Judge of the Fifth 
Circuit, United States Court of Appeals, who was then sitting 
as a District Court Judge. Counsel for Defendant: Mr. Richard 
Schmidt, appointed counsel, then of the law firm, Lunn, Irion, 
Smitherroan, et al. Attorney Schmidt is now a United States 
Bankruptcy Judge, 501 Government Plaza Building, 400 Mann 
Street, Corpus Cristi, Texas 78401, (501) 888-3482. 

Summary: Federal Loan Sharking . 

I represented the United States in its prosecution of Mr. 
Banks under a federal loan sharking statute for his heinous and 
prolonged activities of exacting exorbitant interest rates 
under the threat and perpetration of violence upon persons who 
had borrowed small amounts of money. The victims were all 
members of Ledbetter Heights, a low income neighborhood in the 
City of Shreveport. The trial of Mr. Banks occurred after 
taking a number of guilty pleas of r.everal persons involved in 
the same and similar conduct end, after extensive FBI 
surveillance and investigation. The jury convicted Mr. Banks 
and he was sentenced to a jail term. 



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152 



My role included the following: Coordinating surveillance 
operations with the FBI; preparing and examining witnesses for 
the grand jury; preparing the grand jury indictment and 
presenting it to the grand jury; responding to pre-trial 
motions; handling pre-trial proceedings and hearings; preparing 
lay and expert witnesses for trial; conducting the trial from 
opening argument, through the return of the jury verdict, to 
sentencing. 

Significance : 

The incarceration of Mr. Banks removed a substantial threat 
to the community, particularly in the lives of the elderly and 
poor people who he intimidated. 



United States v. E.B. Malmav , No. 80-50031, Western District of 
Louisiana, United States v. Malmav . (on appeal) 671 F.2d 869 
(5th Cir. 1982). 

and 

5. 

United States v. Alfice Brumlev . No. 80-50029, Western District 
of Louisiana. Litigated during 1980-1981 before the Honorable 
Tom Stagg. Counsel for both Defendants: Mr. John R. Nartzell, 
338 Lafayette Street, New Orleans, Louisiana 70130, (504) 
581-9065. Co-Counsel for the United States: Mr. A. M. Stroud, 
then First Assistant United States Attorney, who is now with 
the law firm Blanchard, Walker, O'Quin & Roberts, Post Office 
Drawer 1126, Shreveport, Louisiana 71163, (318) 221-6858. 

Summary: Payment of voters in an election . 

Mr. Malmay was an elected school board member, and Mr. 
Brumley was an incumbent sheriff, in Sabine Parish of 
Louisiana. Each was indicted for paying voters in an election 
in which federal candidates were on the ballot. In connection 
with the public integrity section o:'! the Justice Department, I 
participated as co-counsel in the prosecutions of Mr. Malmay 
and Mr. Brumley. Mr. Brumley plead guilty to a misdemeanor and 
is still the sheriff for Sabine Parish. Due to pretrial 
publicity in the Sabine Parish area, Mr. Malmay's trial was 
held in Shreveport. Mr. Malmay was convicted by a jury but, 
due to his age and station in the community, he was not given a 
jail term. 

My participation as co-counsel included extensive 
coordination of pre-indictment investigation with the FBI and 
review of FBI 302 reports. I accompanied FBI agents during 
witness interrogation. I examined grand jury witnesses and 
assisted lead counsel, Mr. Stroud, in all other pre-trial 
proceedings. I examined witnesses aid did the closing argument 
during the trial of Mr. Malmay. 

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153 



Significance ; 

These convictions were the culmination of an extensive 
investigation by the FBI which had resulted in a number of 
guilty pleas of lower level haulers and payers. The conviction 
of Mr. Malmay served as a great deterrent to vote buying and 
other voter irregularities in the Sabine Parish area and other 
parts of the state. The conviction of a higher-up official 
served to bestow a confidence in the electoral system in the 
area impacted. 



6. 

United States v. Charles Bentlev . Nos. 83-30008 and 85-50040, 
Western District of Louisiana, Alexandria Division. Litigated 
before the Honorable Nauman S. Scott, then Chief Judge of the 
Western District of Louisiana. Counsel for the Defendant: Mr. 
Ralph Capitelli, 600 Julia Street, New Orleans, Louisiana 
70130, (504) 582-2425. 

Summary: Embezzlement . 

Representing the United States, I handled Mr. Bentley's 
prosecution and guilty plea after an extensive grand jury 
investigation which showed that he had embezzled more than $6 
million from the Bastrop Federal Savings and Loan Association 
where he was an officer and employee. Mr. Bentley had an 
excessive gambling habit which was the cause of his extensive 
thefts from the Savings and Loan Association. Because he was a 
relative of one of the senior employees, he was able to conceal 
this embezzlement for an extended period of time. Mr. Bentley 
pled guilty. 

My role included coordinating the field investigation with 
the FBI and examining numerous financial records and gambling 
paraphernalia. I presented evidence to the grand jury which 
culminated in Mr. Bentley's indictment. I represented the 
government in plea negotiations which resulted in Mr. Bentley's 
guilty plea to five counts of embezzlement, each count in the 
amount of approximately $1 million. 

Significance ; 

One of the larger embezzlement cases prosecuted in 
Louisiana at that time, this $6 million embezzlement served to 
cause the ultimate demise of the Bastrop Federal Savings and 
Loan Association. 



United States v. Hugh Lemoine . No. 81-50011, Western District 
of Louisiana, Shreveport Division. Jury trial was held during 
1981-1982 before the Honorable Tom Stagg. Counsel for 
Defendant: Mr. H. F. Sockrider, Jr., 327 Crockett Street, 
Shreveport, Louisiana 71101, (318) Z21-5503. 



- CES 17 - 



154 



Summary: Receipt and sale of stolen merchandise . 

Mr. Lemoine was a Shreveport policeman who was charged by 
indictment with knowingly receiving and reselling major 
appliances which he knew, or should have knotm, had been 
highjacked from an eighteen-wheeler truck during the interstate 
transport of the merchandise. After multiple days of trial, 
the jury acquitted Mr. Lemoine. 

My role included the following: Coordinating the field 
investigation with the FBI; preparing and examining witnesses 
for the grand jury; preparing the grand jury indictment and 
presenting it to the grand jury; responding to pre-trial 
motions; handling pre-trial proceedings and hearings; preparing 
lay and expert witnesses for trial; conducting the trial from 
opening argument, through the return of the jury verdict. 

Significance : 

Notwithstanding the acquittal, the case culminated an 
extensive investigation involving receipt and sale of stolen 
merchandise that had been located in interstate commerce. The 
guilty pleas which preceded the Lemoine trial, as well as the 
trial itself, served to deter other highjacking and receipt and 
purchase of stolen items from Shreveport area truck stops and 
other locations. 



8. 

United States v. Warren J. Lacomb . Ho. 83-10011-01, Western 
District of Louisiana. Jury trial was held during 1983-1984 
before the Honorable Rauman S. Scott. Counsel for the 
Defendant: Mr. Michael Johnson, now a judge on the 12th 
Judicial District Court, Avoyelles Parish Courthouse, 
Marksville, Louisiana 71351, (318) 253-9418 

and 

9. 

United States v. Mitchell Laprairie . Ho. 82-10024-01, Western 
District of Louisiana. Counsel for Defendant: J. Michael 
Small, One Center Court, Suite 201, Alexandria, Louisiana 
71309, (318) 487-8963. 

Summary: Fraudulent flood claims . 

Lacomb and Laprairie were companion cases to Verna 
Disselle . No. 83-10012-01, Louis Foster . Ho. 84-10016-01, and 
Thomas Simpson . I represented the United States in these cases 
in which, after an extensive grand jury investigation, each 
defendant was indicted for filing fraudulent flood claims with 
the Federal Emergency Management Agency. A scheme was 
protracted with Thomas Simpson, the agent for General 



- CES 18 - 



155 



Adjustment Bureau which handled £lood claims as a lower level 
adjuster for FEMA. Lacomb was the owner of several properties 
regarding which he submitted claims. Lacomb also consorted 
with other defendants to file claims on his behalf in an effort 
to recover money from the United States Government on 
properties which either (1) were not owned by him, or (2) were 
owned by him but which had not been affected by any flood. 

In developing and prosecuting these cases, I accompanied 
the lead FBI investigator to view the situs of many of the 
fraudulent claims. I presented to the grand jury the evidence 
which had been developed by the FBI, prepared indictments, and 
negotiated plea agreements. I coordinated with the FBI a 
method by which guilty pleas were obtained from lower-level 
participants in exchange for information and testimony about 
higher-level participants. The procedure used extended the 
investigation but resulted in the indictment of Lacomb, who had 
submitted a large number of fraudulent claims. 

Significance : 

The impact of these cases is that, cumulatively, they 
involved a loss to the United States Government of over 
$169,000. 



10. 

Beryl N. Jpngg v. Caddo Parish School Board . Civil No. 

11055-S. Western District of Louisiana. Litigated in 1981 
before United States District Judge Tom Stagg in the Shreveport 
Division. Counsel for Caddo Parish School Board: Mr. Fred 
Sutherland, 400 Travis Street, 1103 Beck Building, Shreveport, 
Louisiana 71101, (318) 226-9001. Co-Counsel for Jones: then 
United States Attorney J. Ransdell Keene, whose current address 
is Post Office Box 3097 1040 Kings Highway, Shreveport, 
Louisiana 71133-3097 (318) 221-5770; then First Assistant 
United States Attorney Frances O. An.en, who now resides at 754 
Dudley Drive, Shreveport, Louisiana 71104, (318) 868-9953; and 
Justice Department Attorneys Nathaniel Douglas and Brian 
Hefernan. 

Summar y: Desegregation . 

Jones is the primary school desegregation case in Caddo 
Parish. When first filed in the 1960 's, it challenged the 
separate but unequal school system in the parish. Vestiges of 
the case remained in 1981 when the Caddo Parish School System 
sought unitary status. As an Assistant United States Attorney, 
I worked with the above referenced co-counsel in fashioning a 
Consent Decree. 

My participation in this case included numerous discussions 
with government expert witnesses, school board members, and 
others, as well as negotiations wi-rh counsel for the school 
board. I collaborated with co-counr,el and opposing counsel to 
assess the impact, upon various segments of the community, of 
both the proposed and final language of the Consent Decree 

- CES 19 - 



156 



The negotiations are described as follows in Jones v . Caddo 
Parish School Board . 735 F.2d 923, 931 (5th Cir. 1984): 

[T]he United States and the Board entered into 
widely publicized settlement negotiations lasting 
nearly a year, which led up to the execution of the 
Consent Decree in Nay 1981. Numerous public meetings 
(twenty-eight are listed in the papers filed by the 
Board below) were held throughout the community, 
principally in February, March and April 1981, to 
inform the citizens about various desegregation 
approaches and to obtain community input. 
Representatives of the Justice Department met with 
black civic leaders, and also received input form 
black citizen and parent groups. 

Significance : 

The Consent Decree is signed by me as one of the 
attorneys and still governs the Caddo Parish School system 
today. 

19. Legal Activities ; Describe the most significant legal 
activities you have pursued, including significant 
litigation which did not progress to trial or legal matters 
that did not involve litigation. Describe the nature of 
your participation in this question, please omit any 
information protected by the attorney-client privilege 
(unless the privilege has been waived.) 

In addition to the cases previously described in 
Number 18 above in which I was involved in the litigation, 
cases which I presided over as a trial judge stand out in 
my career. The range of judicial decisions I have made 
include issues of child custody, paternity, probate and 
successions, trusts, personal injury, worker's 
compensation, personal and commercial property interests, 
business organization disputes, misdemeanors to murders, 
rapes, robberies, and drug offense. The close contact I 
have had with litigants, lawyers, jurors and fellow judges 
has made ray respect for the value of the rule of law 
greater than ever. Having served as a trial judge, I feel 
well equipped to handle appellate review on a high volume 
basis. 



- CES 20 



157 



II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 



List sources, amounts and dates of all anticipated 
receipts from deferred income arrangements, stock, 
options, uncompleted contracts and other future benefits 
which you expect to derive from previous business 
relationships, professional services, firm memberships, 
former employers, clients, or customers. Please describe 
the arrangements you have made to be compensated in the 
future for any financial or business interest. 

None. 



Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the 
categories of litigation and financial arrangements that 
are likely to present potential conf licts-of-interest 
during your initial service in the position to which you 
have been nominated. 

I am unaware of any conflicts of interest that might 
occur based on any past or present financial arrangements 
I have. I also do not know of any types of litigation 
which might cause me to have a conflict of interest. 
Nonetheless, I have read the Code of Conduct for United 
States Judges and fully intend to follow it whenever I 
should encounter a potential or actual conflict of 
interest. I would recuse myself from considering any case 
in which a conflict of interest exists. ' 



Do you have any plans, commitments, or agreements to 
pursue outside employment, with or without compensation, 
during your service with the court? If so, explain. 

Ho. 



List sources and amounts of all income received during the 
calendar year preceding your nomination and for the 
current calendar year, including all salaries, fees, 
dividends, interest, gifts, rents, royalties, patents, 
honoraria, and other items exceeding $500 or more (If you 
prefer to do so, copies of the financial disclosure 
report, required by the Ethics in Government Act of 1978, 
may be substituted here.) 

See Attached Form AO-IO Financial Disclosure Report. 



- CES 21 - 



158 



FINANCIAL DISCLOSURE REPORT 



toport Raqolfvd by tbm ItUea 
R«fO£V jure of 1989. Pub. L. Ho. 
101-194. Novaabu 10. 1989 
(S U.S.C.il. Jlpp. 6, SSlOl-112) 



1. PvrsoD Raportlog (L4at oana. first, alddlc InttlaT ) 



Stewart, Carl E. 



2. Court or OrganlzAtloo 

U.S. Court of Appeals 
Fifth Circuit 



1. D«ta of Rftport 



January 20 , 



99 



4. Tltla (imicla XIX judges indlCAt* sctlva or 

■•nlor Bt«tua; Kaglstrat* judgaa Indicata 
full- or pATX-tloa) 

Circuit Judge (full-time) 



i. Raport Xypa (chack approprlata cypa) 
,, Hoalnatlon, Data 
X Initial 



Annual 



Final 



6. Xaportlag Parlod 



January 1, 1993 to 
December 31, 199: 



7. Chmmbmrm or otflc* Aoarmmm 

U.S. Courthouse 
600 Camp Street 
New Orleans, Louisiana 70130 



8. oa tbo baala oC tbo laforvatloo conralnod la tbla Msport. It 
la. lA By opinion, in coapllanca wltb appllcabla l«w« and 
cafolntiona 



llaviawlag Offlc«r aignator* 



IMPORTANT NOTES: The inimictions accompanying this form must be followed. Complete all parts, 
cfaeddng the NONE box for each section where you have no reportable information. Sign on last poge. 



1. POSITIONS. (Reporting individual only, see pp. 7-8 of Instructions.) 

POSITION NAME OF ORGANIZATION/ENTITY 



D 



NONE (Ho raporcnbla positional 

Director 

Trustee 



Volunteers of America of Northwest Louisiana 

Norwela Council , Boy Scouts of America 

Centenary College, Shreveport, Louisiana 



II. AGREEMENTS. (Reporting individual only, see p. 8-9 of Instructions.) 
DATE PARTIES AND TERMS 



NONE (Ho Tsportabls agn 



III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 9-12 of Instructions.) 



n 



DATE 
(Honoraria only) 



SOURCE AND TYPE 



NONE (Mo r«portabla noo-lnvnTMiit In 



T.niii<;iana fSrafP TuHi ri ary CTiidi ri a1 Salary') 



(S )Caddo Parish School Board (Salary) 



r<;^c;rhiimpprr Mpdiral Cpnl-pr CSalaryl 



GROSS INCOME 
(yours, act spouse's) 



S «q nnn 

$ 

$ 

$ 

s 



159 



FINANCIAL DISCLOSURE REPORT (cont'd) 



Has* at PersoQ Reporting 

Carl E. Stewart 



DaXm of Raport 

January 20 . L9 



"■ "^^a^i'",?^"^"'^^ ^"^ °'"'S - iraispottation, lodging, food, entertainment 

SOURCE DESCRIPTION 

I I NONE (Ho ■neh MpoTMBlo roJjnbiir««iD«it. or glfti) 

E^iEtlE^: KXFMPT 



V. OTHER GIFTS. (Indudes those to spouse and dependent children; use the i>arenthetlcals V<n' .nd -mrr f„ 
rndtat^other g^s received by spouse and STpenden. cS^i^^^^^^!^'^J% Tlns^So^ 

n 



r InslmctloQa.) 
SOURCE DESCRIPTION V/iLVE 

NONE (No ■ucJl raportAblo gl£t«) 



1 



EXEMPT EXEMPT 



s. 

s. 

s 



^'- ^'^g'liili^,. ^"^f.%^^L'^Tsrtr''J^^^^'-„^^^^^^ 



£s» ^^-^ «C;^Slf S35SiE 



or reporting 



Instructions.) 
"^™"^°'* DESCRIPTION VALUE CODE* 

A I NONE (Do zapoRabl* llaDlllUu) 



s 



"^°»"= r.|Ho?2S.°L^n;o,oco y.llliZ.'Vll'.lllo.o J : S^;°?i^%l?SSo?SSo « -'-.""«. -.00. 



160 



FINANCIAL DISCLOSURE REPORT (cont'd) 



HonM of Par«on Raporrlng 

Carl E. Stewart 



Data oC Repozt 



January 20, 1 19^ 



VII. INVESTMENTS and TRUSTS - income, value, transactions, (includes those of spouse 

and dependent children; see pp. 18-27 of Instructions.) 



Daaorlptioa oC Aaa«t« 
(locludLsg xnmt uammXMi 

Zndlo«t«, wbarw appllcahla, ownar of 
tba #»aat by uaijig cEa parancbatJ.cal 


durlna 


c. 

9roas valaa 

at and of 

raportlng 

period 


D. 
Tranaaotlona during repoRlsg p«rlod 


inn indlviaual and spcrasa, "(S) for 
MDsrata ownarstiXp by spouaa. *<DC}" 
Cor pwnarmAXp by gapawlant ealld. 

?1mo» "<Z)* atzmr aaeh mmmmt. 
mxmmpz cxoB prior dlacioaura. 


(1) 


(2) 

^: 

raac or 

Inc.r 


(1) 


(2) 

Valua 
MatJtod« 

coda' 


^ 


It not axaapt. Croa dlscloaura | 


bvy^aaU., 

nargar, 
radasp- 
tlon) 


Hontfa' 

Day 


(3) 

Valua, 
Coda' 


(«) 

Gain, 

coda' 

C»-a) 


IdaoUiy o£ 
bnyar/aallar 
(It prlvata 
traasaouon) 


NONE (Ro rapoTUbla 
y Inrn— , aasaca, or 
A tranaactlona ) 




















1 
























2 
























3 




















< 




















5 




















6 




















■) 




















• 




















9 




















10 




















11 
























12 




















13 




















14 




















15 




















1( 




















17 




















la 




















19 




















20 




















I iBooiM/Caln Codaai »-«l,000 or lasa B-Jl,00l to S2,500 C-S2,501 to 5,000 0-S5,001 to $15,000 
fsaa col. Bl I D») E-S15,001 to SSO.OOO F-J50,001 to SIOO.OOO C-S100,0Ol to SI, 000, 000 B-Mora tn.o $1,000,000 


(Saa Col CI t D31 R-$250,D01 to $500,000 O-S500,00J to 51,000,000 P-Mora than SI. 000, 000 


1 Valoa Hatnod Codaat Q-Appraiaal R-Coat (real astato only) S-Ataaaaaant T-Caab/Harkat 
(Saa col. C2) U-BooK Valua V-otBar w-Batljutad 



161 



FINANCIAL DISCLOSURE REPORT (conl'd) 



NuM Of Parson R«porxlog 

Carl E. Stewart 



Data of Rapozt 



January 20 , ! 99 



VIII. ADDITIONAL INFORMATION or EXPLANATIONS, (indicate pait of Report.) 



IX. CERTIFICATION. 



Id compliance with the provisions of 28 U.S.C § 4SS and of Advisoiy Opinion No. 57 of the Advisory Committee on 
Judicial Activities, and to the best of my knowledge at the time after reasonable inquiiy, I did not perform any adjudicatoiy 
function in any litigation during the period covered by this report in which I, my spouse, or my minor or dependent children 
had a financial interest, as defined in Canon 3C(3)(c), in the outcome of such litigation. 

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to the best of my Imowledge and belief, and that any information not reported was 
withheld because it met applicable statutory provisions permitting non-disclosure. 

1 funher certify that earned income from outside employment and honoraria and the acceptance of gifts which have been 
reported are in compliance with the provisions of 5 U.S.CA. app. 7, § SOI et seq., S U.S.C S 7353 and Judicial Conference 
regulations. 



Signature 




Dale.Tamiarv 20. 1994 



NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FTLE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.CA. APP. 6, § 1(M, AND 18 U.S.C § lOOL) 











FILING INSTRUCTIONS: 


Mafl 


signed 


original 


and 3 additional 


copies to: 


Judicial Ethics Committee 
Administrative Office of the 

United Slates Courts 
Washington, DC 20544 



162 



5. Please complete the attached financial net worth statement 
in detail (Add schedules as called for). 

See Attached. 

6. Have you ever held a position or played a role in a 
political campaign? If so, please identify the 
particulars of the campaign, including the candidate, 
dates of the campaign, your title and responsibilities. 

None other than my own election campaign for Louisiana 
State District Judge on March 30, 1985 in Shreveport, 
Louisiana. 



- CES 22 



163 



NET WORTH 



February 23. 1994 



Judge Carl E. Stewart 

Provide t complete, current nnancial net wonh jutement which itcmiMJ In detiil 
til aisf ti (Including bink iccounti. real esuie, jecuriticj, trusts, investments, and other financiil 
holdmgs) all liabilities (bdudbig debts, mortgages, loans, and other financial obligations) of 
youn^Ii". your spouse, and other Immediate member? of your householi 





ASSETS 


UABn-rnES 




Cub on kuid uii in btnki 


'5,200. 


00 




Sole* peyible to b«nl3-«»ai'e<l 




1 




U.S. Covuniscnt Mcurida-tdd 
tchedul* 








Nolu ptytbli <0 btnb-uniccu.n^ 










Lirttd >ccuntiu-*dd schrduli 








NoUi ptytbU 10 relilivei 










UnlJilsd Kcwit!ci"wU ichxljl* 








Nolei ptyibk Id olbert 










Account! ind noui rtotlviblc 








AecounU tod billt dua 










Dm« frDin rclilires uid friuidi 








Unpaid Income tix 










Put from otheri 








Other onpeid in ind inttrtd 




1 




Doubtful 








Rfil tiuu na(t{ite( ptytblc-idd 
•che^Iult 


145 


000. 


Ot 




ReU e4Ulc awned.-tdd schedule 


165,00 


).0( 




Chuiel owiimet and other lieni piy. 
abU 


2 


766. 


Ot 




Xul ciLile morHiiej rectivtble 








Oiher debu-ileiniu.' 










Autot »«d other penoo*: property 


55,00 


).0( 




installment accounts/ 


32 


.0 0^ 


0( 




Cuh V4]ue-U|( insu.'uic« 


6,08 


L.0( 




credit cards 








Ovher uitu-iuraiie: 












1 


Toro Hills time share 


7.50 


0.0 


1 




/ 


1 


JoAnn Stewart - IRA 


10,000 


.00 








1 




Certificate of Deposit 


5 ,000 


.00 




Total liabOitiM 


179, 


^66. DO 


La. State Emo'ee Retiremt. 


7 1 ,'iy7 


.00 




NetWoitt 


145, [512. [)0 




ToUl Aiuls $ - 


25,27? 


.00 




Total liabnUu and rtel erarlh 


325, 


278. bo 




CO.NILVGEM llABiLllliLa 








CENXRAL INFORMATION 










As eodorter, eomaier or |utrulor 








Art any aueu ple<i(c4? (Add ichai. 
vie.) 


NO 








On leuei oi oontjicti 








Are you defcadant ir. ar,y (uiu or le(al 
tciioniT 


NO 








Legd Otlnu 








Have you er»er takao bankrwpte) J 


NO 








Pioviuon for FcdertJ Incomt Tax 


















Other ipefUJ debt 

















164 



III. GENERAL (PUBLIC) 



An ethical consideration under Canon 2 of the American Bar 
Association's Code of Professional Responsibility calls 
for "every lawyer, regardless of professional prominence 
or professional workload, to find some time to participate 
in serving the disadvantage." Describe what you have done 
to fulfill these responsibilities, listing specific 
instances and the amount of time devcted to each. 

Since 1985, I have served on panels for the Hugh 
O'Brien Youth Leadership Program, Mock Trial judge. 
People's Law School participant, and Shreveport Bar 
Association Pro Bono Project speaker. As a trial judge, I 
regularly invited school kids to visit my courtroom in 
order to give them a real impression of the impact of the 
law in our society. During breaks, I have introduced 
court staff to kids and answered questions for them. As 
an appellate judge, I have hosted at risk black kids from 
an after school program to my chambers and the courtroom. 
In addition to my youth services oriented board 
memberships, I make 10-15 school appearances per year for 
speeches, panels, etc. I devote an average of two hours 
per work day to youth and disadvantaged youth programs and 
activities. 



The American Bar Association's Commentary to its Code of 
Judicial Conduct states that it is inappropriate for a 
judge to hold membership in any organization that 
invidiously discriminates on the basis of race, sex, or 
religion. Do you currently belong, or have you belonged, 
to any organization which discriminates--through either 
formal membership requirements or the practical 
implementation of membership policies? If so, list, with 
dates of membership. What you have done to try to change 
these policies? 

None. 



3. Is there a selection commission in your jurisdiction to 
recommend candidates for nomination to the federal 
courts? NO. If so, did it recommend your nomination? 
Please describe your experience ir the entire judicial 
selection process, from beginning zo end (including the 
circumstances which led to your nomination and interviews 
in which you participated) . 

I was recommended for nomination to the federal court 
by Louisiana's two U.S. Senators J. Bennett Johnston 
and John Breaux. Thereafter, I was called by White 
House Counsel Bernard Nussbaum about their 
recommendation and I affirmatively acknowledged my 

- CES 23 - 



165 



desire to serve on the federal bench. I submitted 
answers to a set of questionnaires provided by the 
White House Counsel's Office and was later interviewed 
in Shreveport by the FBI and a representative of the 
American Bar Association Standing Committee on the 
Federal Judiciary. I was interviewed in Washington, 
D.C. by the White House Counsel and members of his 
staff. On January 27, 1994, the White House Counsel 
notified me by telephone that President Clinton had 
nominated me to serve as a judge on the U.S. Fifth 
Circuit Court of Appeals. 

Has anyone involved in the process of selecting you as a 
judicial nominee discussed with you any specific case, 
legal issue or question in a manner that could reasonably 
be interpreted as asking how you would rule on such case, 
issue, or question? If so, please explain fully. 

No. 



Please discuss your views on the following criticism 
involving "judicial activism." 

The role of the Federal judiciary within the Federal 
government, and within society generally, has become the 
subject of increasing controversy in recent years. It has 
become the target of both popular and academic criticism 
that alleges that the judicial branch has usurped many of 
the prerogatives of other branches and levels of 
government. 



Some of the characteristics of this "judicial activism" 
have been said to include" 

a. A tendency by the judiciary toward problem- 
solution rather than grievance-resolution; 

b. A tendency by the judiciary to employ the 
individual plaintiff as a vehicle for the 
imposition of far-reaching orders extending to 
broad classes of individuals, 

c. A tendency by the judiciary to impose broad, 
affirmative duties upon governments and society; 

d. A tendency by the judiciary toward loosening 
jurisdictional requirements such as standing and 
ripeness; and 



- CES 24 - 



166 



e. A tendency by the judiciary to impose itself upon 
other institutions in the manner of an 
administrator with continuing oversight 
responsibilities. 

I believe in and respect the equality of the three 
branches of government created by the U.S. 
Constitution. As a separate branch of government, the 
federal judiciary's powers should be exercised 
sparingly and in a manner which resolves the 
litigation along the narrowest basis possible. Where 
issues before a court can more appropriately be 
resolved pursuant to the powers of the legislative or 
executive branches, the court should defer to the 
other branches. 

I believe that the doctrine of judicial precedent 
plays a valuable role in maintaining stability in the 
law. I am familiar with the use of judicial precedent 
as part of the judicial decision making process. I 
have found it to play an important part in helping a 
court render sound legal rulings on the issues 
presented by the litigants. 



CES 25 - 



167 

I. BIOGRAPHICAL INFORMATION (PUBLIC) 

1. Full name (include any former names used.) 
James Gray Carr 

2. Address: List current place of residence and office 
address (es) . 

Residence: 4525 Wedgewood Court 
Toledo, Ohio 43615 

Office: 318 United States Courthouse 
1716 Spielbusch Avenue 
Toledo, Ohio 43624 

3. a. Date and place of birth 

November 14, 1940 Boston, Massachusetts 

4. Marital Status (include maiden name of wife, or husband's 
name). List spouse's occupation, employer's name and business 
address (es) . 

Eileen M. Carr (Glynn) 

Associate Professor 
College of Education 
University of Toledo 
2801 West Bancroft Street 
Toledo, Ohio 43606 

5. Education ; List each college and law school you have attended, 
including dates of attendance, degrees received, and dates 
degrees were granted. 

Kenyon College 1958-62 A.B. 1962 
Univ. of Freiburg 1962-63 no degree 
Harvard Law School 1963-66 LL.B. 1966 

6. Employment Record : List (by year) all business or professional 
corporations, companies, firms, or other enterprises, 
partnerships, institutions and organizations, nonprofit and 
otherwise, including firms, with which you were connected as 
an officer, director, partner, proprietor, or employee since 
graduation from college. 



168 



Gardner, Carton, Douglas, 

Chilgren & Waud 
[now: Gardner, Carton & Douglas] 
321 N. Clark St. 
Chicago, Illinois 60610 

Gardner, Carton, Douglas, 

Chilgren & Waud 
[Gardner, Carton & Douglas] 
321 N. Clark St. 
Chicago, Illinois 60610 

Cook County Legal Assistance Fndtn 1968-70 

1146 Westgate St. Staff Attorney 

Oak Park, Illinois 60301 



Summer, 1965 
Summer Associate 



1966-68 
Associate 



Chicago-Kent IIT College of Law 
3300 South Federal St. 
Chicago, Illinois 60609 

Loyola University College of Law 
820 North Michigan Ave. 
Chicago, Illinois 60611 



Fall, 1969 
Adjunct Professor 



Spring, 1970 
Adjunct Professor 



College of Law 
University of Toledo 
2801 W. Bancroft St. 
Toledo, Ohio 43606 



1970-79 
Professor 



Lucas County Prosecutor 
Lucas County Courthouse 
Toledo, Ohio 43624 

Child Abuse Prevention Center 
[now: Family & Child Abuse 

Prevention Center] 
One Stranahan Square 
Toledo, Ohio 43606 



1972-73 

Part-time Asst . Prosecutor 



1974-79 
Board Member 



United States Courts 
318 U.S. Courthouse 
1716 Spielbusch Ave. 
Toledo, Ohio 43624 



1979 to date 

United States Magistrate 



Pretrial Services Resource Center 
1325 G Street, N.W. 
Washington D.C. 20005 



1991 to date 
Board Member 



169 



Military Service ; Have you had any military service? If so, 
give particulars, including the dates, branch of service, rank 
or rate, serial nxunber and type of discharge received. 

None 

Honors and Awards ; List any scholarships, fellowships, 
honorary degrees, and honorary society meiaberships that you 
believe would be of interest to the Conunittee. 

Baker Scholarship Kenyon College 

Phi Beta Kappa Kenyon College 

German Academic Exchange Fellow- Univ. of Freiburg 
ship and Fulbright Travel Grant Freiburg, Germany 

1962-63 ■ 

Fulbright Research Fellowship Law Faculty 

University of Bonn 
Bonn, Germany 
1977-78 

Bar Associations ; List all bar associations, legal or 
judicial-related committees or conferences of which you are or 
have been a member and give the titles and dates of any 
offices which you have held in such groups. 

a. Bar Associations 

Chicago Bar Association 1966-70 

Chicago Council of Lawyers 1967-70 

Ohio State Bar Association mid 1970s 

American Bar Association mid 1970s, 1993 to date 

Federal Bar Association mid 1970s 

Toledo Bar Association 1971 to date 

b. Judicial-Related Committees 

Committee on Rules of Criminal Procedure and Evidence 
American Bar Association 1994 

Committee on Criminal Law 

Judicial Conference of the United States 1986-92 



170 



U.S. District Court, N.D. Ohio 

Differentiated Case Management Oversight Coram. 1991 to date 

Administrative Office of the United States Courts 
Probation and Pretrial Services Case Management and 
Statistics Umbrella Group 1993 

Ohio Supreme Court, Civil Rules Subcommittee 

on Juvenile Rules (Co-reporter) 1971-72 

10. Other Memberships ; List all organizations to which you belong 
that are active in lobbying before public bodies. Please list 
all other organizations to which you belong. 

a. Lobbying Organizations: none. 

b. Other organizations: 

Pretrial Services Resource Center 1991 to date 

Board Member 

Toledo, Lake Erie & Western Railway 1993 to date 

& Museum 

Maritime Heritage Society 1988 to date 

Great Lakes Historical Society 1979 to date 

Maumee Valley Historical Society 1983 to date 

Toledo Museum of Art 1978 to date 

WGTE-TV/FM 1979 to date 

History Group 1986 to date 

Notre Dame Academy Booster Club 1993 to date 

11. Court Admission ; List all courts in which you have been 
admitted to practice, with dates of admission and lapses if 
any such memberships lapsed. Please explain the reason for any 
lapse of membership. Give the same information for 
administrative bodies which require special admission to 
practice. 

Illinois Supreme Court November 29, 1966 

U.S. District Court 

Northern District of Illinois December 16, 1966 



171 



U.S. District Court 

Northern District of Ohio July 13, 1970 

Ohio Supreme Court March 6, 1972 

United States Supreme Court June 23, 1980 

12. Published Writings ; List the titles, publishers, and dates of 
books, articles, reports, or other published material you have 
written or edited. Please supply one copy of all published 
material not readily available to the Committee. Also, please 
supply a copy of all speeches by you on issues involving 
constitutional law or legal policy. If there were press 
reports about the speech, and they are readily available to 
you, please supply them. 

a . Books 

Criminal Procedure Handbook Clark Boardman Callahan 
(Annual book-length survey of 
all reported federal criminal 
cases) 1984 - 1993 

The Law of Electronic Surveillance Clark Boardman Callahan 
(treatise) 1976 (1st ed.) 

1985 (2ded., supplemented 
semi-annually) 

2 Anderson's Ohio Family Law: Juvenile 

Law & Procedure Anderson Pub. Co. 

(treatise; co-author) 1975 (1st ed.) 

1989 (2ded., supplemented 
annually) 

Juvenile Law and Its Processes Michie Bobbs Merrill 
(casebook; co-author) 1980 (1st ed.) 

1989 (2d ed. ) 

Criminal Law Review Clark Boardman Callahan 

(annual anthology of law 1979 - 1993 
review articles; editor) 

b. Reports 

Report of the National Commission Gov't Printing Office 
for the Review of Federal and 197 6 
State Laws Relating to Wiretapping 
and Electronic Surveillance 



172 



American Bar Association Standards Little Brown 
for Criminal Justice, Standards 1980 
Relating to Electronic Surveillance 

c. Articles 

1 . Law Reviews 

Book Review, Cases and Materials on Law and Poverty 
84 Harv. L. Rev. 262 (1970) 

Juries for Juveniles; Solving the Dilemma 

2 Loyola L. Rev. 1 (1971) 

Grading Clinic Students 

26 J. Leg. Ed. 223 (1974) 

The Impact of the Double Jeopardy Clause on Juvenile 
Court Proceedings 

6 U. Tol. L. Rev. 1 (1976) 

Wiretapping in West Germany 

29 Am. J. Comp. Law 607 (1981) 

Polizeiliches Abhoren in den Vereinigten Staaten 
und in der Bundesrepublik Deutschland: Rechtslage 
und Praxis [original and translated versions submitted] 
1979 Montasschrift fur Kriminologie 65 

Das Abhoren von Rechtsanwalten in der USA [original and 
translated versions submitted] 

1979 Zeitschrift fur Rechtspolitik 244 

Die Kontrolle der Nachrichtendienste in den USA [original and 
translated versions submitted] 

1979 Zeitschrift fur Rechtspolitik 20 

2. Other Law-Related Journals 

A Habeas Corpus Primer for State Court 
Defense Attorneys 

3 Criminal Law Journal of Ohio 189 (1991) 

Sentencing Reform and Pretrial Release 

5 Federal Sentencing Reporter 220 (1993) 

Bailbondsmen and the Federal Courts 
57 Federal Probation 9 (1993) 



173 



3. Newsletters 

The following articles appeared in the Search and Seizure Law 
Report, published by Clark Boardman: 

Use of Oral Testimony to Supplement an Incomplete Affidavit 
(April, 1974) 

Electronic Beepers (April, 1977) 

Suppression of Electronic Surveillance Evidence (Dec, 1977) 

Interspousal Wiretapping (Nov., 1978) 

Dalia v. U.S. and Smith v. Maryland: Surveillance Outside 
Scope of Title III (Aug., 1979) 

Payton v. New York: Arrest Warrant Required for Arrest in 
Suspect's Home (June, 1980) 

Searches for Business Records, Books and Similar Documents 
(Feb., 1981) 

Michigan v. Summers: Detentions Permitted While Search Warrant 
is Executed (Aug., 1981) 

An Overview of Recent Developments in Fourth Amendment Law 
(March, 1982) 

Nighttime Searches (Dec, 1982) 

Overview of Recent Developments in Fourth Amendment Law 
(March-April, 1984) 

Electronic Surveillance by Consent Under State Law 
(Nov., 1984) 

Overview of Recent Developments in Fourth Amendment Law 
(March, 1985) 

Overview of Recent Supreme Court Decisions on the Fourth 
Amendment (Sept., 1986) 

Privacy of Electronic Communications Under Title III 
(March-April, 1987) 

The Supreme Court's 1987-88 Fourth, Fifth, and Sixth 
Amendment Cases (July, 1988) 

Warrantless Searches of Inbound Mail From Foreign Countries 
(March-April, 1989) 



174 



An Overview of the Supreme Court's Fourth and Fifth 
Amendment Decisions in the 1988-89 Term (Nov., 1989) 

d. Speeches 



During the past twenty years, I have given numerous speeches, 
most of which have been presented to lawyers or judges. Most 
of these speeches, talks, or seminars have involved either 
civil practice and procedure, criminal law, or criminal 
procedure, and many have discussed constitutional or legal 
policy issues. 

It is usually not my practice to write out my speeches; I 
talk, rather, from notes and other materials which I normally 
discard afterwards. Thus, except for the first two items, I do 
not have copies of any speeches to submit. A brief summary of 
the topic and content of the other speeches of which I still 
have some record is, however, submitted. 

Criminal Defense Attorneys of Michigan: "Unconventional Search 
Warrants and Orders," Nov. 6, 1993 

Federal Judicial Ctr., Training Seminar for Probation and 
Pretrial Services Officers, "Remarks to New Probation and 
Pretrial Chiefs Conference," May 4, 1990 

Toledo Women's Bar Ass'n, "Amendments to the Federal Rules and 
Local Practice," Jan. 19, 1994 

This was talk about recent eimendments to the Rules of 
Civil Procedure and a description of our District's 
Differentiated Case Management Program. 

Columbus Bar Ass'n, "Ethical Issues for Litigators," Dec. 16, 
1993 

I was a member of a continuing legal education (CLE) 
panel, along with an Ohio Supreme Court Justice and two 
practicing attorneys. A series of scenarios presenting 
ethical issues in civil cases was discussed informally. 

Toledo Bar Ass'n, "District Court Local Rules," Dec. 14, 1993 

This was an overview for a CLE program of our Local Civil 
Rules and their implementation. 

Toledo Bar Ass'n, "What Every State Court Attorney Must Know 
About Federal Habeas Corpus," Oct. 8, 199 3 

I summarized the general content of my materials, "A 
Habeas Corpus Primer for State Court Defense Attorneys" 
[copy submitted under S12.C.2) for a CLE program. 

8 



175 



Ohio State Bar Ass'n, "Trial Practice From the Bench," Oct. 6, 
1993 

1 was a CLE panelist along with two or three state court 
judges; we informally discussed practices and procedures 
in our courts . 

Toledo Bar Ass'n, Alternative Dispute Resolution, Sept. 22, 
1993 

This was a CLE discussion, along with some role playing 
by me and two attorneys and a commentator, of various 
types of alternative dispute resolution techniques. 

Toledo Bar Ass'n, "What Every State Court Attorney Must Know 
About Federal Habeas Corpus," Feb. 26, 1993 

I summarized the general content of my materials, "A 
Habeas Corpus Primer for State Court Defense Attorneys" 
[copy submitted under S12.C.2] for a CLE program. 

Columbus Bar Ass'n, "Handling the SOB Litigator," Dec. 17, 
1992 

I was a panelist for a CLE program along with a state 
court trial judge and two practicing attorneys; we 
responded to scenarios raising issues re. handling 
conflicts eunong counsel. 

Ohio Ass'n of Criminal Defense Attorneys: "Protecting the 
Right to Federal Review While You are Still in State 
Court, " Feb. 28, 1992 

I summarized the general content of my materials, "A 
Habeas Corpus Primer for State Court Defense Attorneys" 
[copy submitted under $12. c. 2] for a CLE progrcun. 

Toledo Bar Ass'n, "What Every State Court Attorney Must Know 
About Federal Habeas Corpus," Oct. 4, 1991 

I summarized the general content of my materials, "A 
Habeas Corpus Primer for State Court Defense Attorneys" 
[copy submitted under S12.C.2] for a CLE program. 

Toledo Bar Ass'n, "Rule 11 Review," March 5, 1991 

I discussed Rule 11 of the Federal Rules of Civil 
Procedure and its application locally for a CLE progreun. 



176 



Toledo, Bar Ass'n, "Federal Sentencing," Nov. 26, 1990 

This was a CLE prograin, which I moderated, discussing 
practices under the Federal Sentencing Guidelines. 

Ohio Auto Theft Investigators' Ass'n, "Principles of Search 
and Seizure," Sept. 13, 1990 

This was a speech for insurance company employees and law 
enforcement officers about basic Fourth Amendment 
doctrines . 

American CLE Seminars, "Search and Seizure," May 22, 1990 

This was an overview of recent developments in the law of 
search and seizure for a CLE seminar. 

Ohio Judicial College, "Ohio's Electronic Surveillance Law," 
May 21, 1987 

This was a description of Ohio's newly enacted electronic 
surveillance statute and its federal counterpart for an 
Ohio appellate judge's seminar. 

Ohio Academy of Trial Lawyers, "Federal Habeas Corpus Relief," 
Feb. 13, 1987 

I discussed general principles of federal habeas corpus 
for a criminal defense attorneys' CLE program. 

13. Health ; What is the present state of your health? List the 
date of your last physical examination. 

a. Health ; excellent 

b. Date of Last Physical Examination ; February 11, 1993 

14. Judicial Office ; State (chronologically) any judicial offices 
you have held, whether such position was elected or ap(>ointed, 
and a description of the jurisdiction of each such court. 

United States Magistrate 

Northern District of Ohio 1979 to date 

Appointed by the District Judges 

Federal Court with general trial jurisdiction 

15. Citations ; If you are or have been a judge, provide; (1) 
citations for the ten most significant opinions you have 
written; (2) a short summary of and citations for all 
appellate opinions where your decisions were reversed or where 

10 



177 



your judgment was affirmed with significant criticism of your 
substantive or procedural rulings; and (3) citations for your 
significant opinions on federal and state constitutional 
issues, together with the citation of appellate court rulings 
on such opinions. If any of the opinions listed were not 
officially reported, please provide copies of the opinions. 

a. Ten Most Significant Decisions 

Central Residents Council, Inc. v. Lucas Metropolitan 
Housing Authority . No. C85-7610 (Dec. 14, 1989). 

In this opinion, I concluded that the plaintiffs were 
prevailing parties and that they were entitled to 
attorneys' fees. The important aspect of this decision 
was my discussion of standards for review of petitions 
for attorneys' fees filed by prevailing counsel in civil 
rights cases, and, as well, evaluation of the role of the 
court in such circumstances . My approach was adopted by 
Judge Potter. 

Cheetwood v. Roberts . No. 3:90CV7432 (Jan. 15, 1993) 

This is a Securities and RICO case in which I concluded 
that the plaintiffs had failed to file their complaint 
within the period of limitations. The case, which has 
settled, raised interesting allegations of fraud and 
other wrongdoing involving the sale of shares in real 
estate developments. 

In re Grand Jury Investigation Art Materials Industry . 
No. Misc. 81-61 (Nov. 16, 1981). 

I rejected claims by state attorneys general that they 
were entitled to access to federal anti-trust grand jury 
materials. An appeal was dismissed voluntarily. At the 
time that this opinion was written, there was 
considerable interest, particularly on the part of 
counsel for public institutions that desired to pursue 
anti-trust civil claims after investigation by a federal 
grand jury, in the issues that it discusses. The position 
that I took was later adopted in another case by the 
Supreme Court . 

Kreimes v. Dep't of the Treasury , No. C 79-264 (Nov. 9. 
1983). 

This was a suit by taxpayers to recover taxes that had 
been paid following disallowance of a catastrophic loss 
deduction. After return of a verdict in favor of the 
plaintiffs, they sought an award of fees under the Equal 
Access to Justice Act. I granted their request. My 

11 



178 



decision was affirmed by the Sixth Circuit. This was one 
of the first decisions construing and applying the Equal 
Access to Justice Act. 

Seilon v. Lamb . No C83-314 (July 27, 1983). 

This was a securities case in which I concluded after 
lengthy proceedings that a violation of applicable 
securities laws had occurred and recommended appropriate 
relief. The case involved complex securities law issues. 
Judge Potter affirmed my decision. An appeal was 
dismissed voluntarily. 

Sharp V. Owens Corning Fiberqlas , No. 80-450 (Oct. 20, 
1983, Aug. 2, 1984). 

This was a class action employment discrimination case. 
These decisions involve unusual issues that arose after 
the defendants had filed a motion to remove the class 
representatives. The motion to remove class 
representatives was filed after the lawyer for the 
plaintiff class had sued three of the class 
representatives in state court for non-payment of 
litigation costs. 

Following a hearing, I ruled that the representatives 
should be removed, the lawyer should be disqualified as 
class counsel, and the remaining class representatives 
should undertake to secure new counsel independent of 
counsel who had been disqualified. Judge Walinski upheld 
that ruling. 

Thereafter, the defendants challenged the compliance of 
the remaining class representatives with the directive 
that they secure counsel for the class independent of the 
attorney who had been disqualified as class counsel. I 
concluded that the remaining class representatives had 
not obtained counsel who were independent of the former 
class counsel, and I recommended that class certification 
be denied. This ruling was also upheld by Judge Walinski. 
A subsequent appeal was dismissed voluntarily. 

Both of my decisions resulted from unusual circumstances 
that had no duplicate in any decision that I was able to 
locate. 

The attorney whose removal I ordered later sued me and 
filed judicial misconduct complaints against me and Judge 
Walinski. Those matters are discussed in my answers to 
Questions 9 and 10 in Section IV. 



12 



179 



Shellhanuner v. Lewallan . No. C82-689 (Nov. 22, 1983). 

This was a case brought under the Fair Housing Act in 
which the plaintiffs, a husband and wife, claimed that 
their tenancy had been terminated by the landlord after 
the wif3 had refused to engage in sexual activities with 
him. I was the first judicial officer to hold that sexual 
harassment of the sort alleged in the complaint 
constituted unlawful discrimination on the basis of 
gender under that statute. The Sixth Circuit upheld the 
outcome of this case on appeal. 

United States v. Yee , 129 F.R.D. 629 (N.D. Ohio 1990). 
United States v. Yee . 134 F.R.D. 161 (N.D. Ohio 1990), 
aff'd sub nom. United States v. Bonds . F.3d (6th 
Cir. 1993) (Slip Op. Nos . 91-3608/3609/3610, Dec. 15, 
1993) 

The government in this case undertook to obtain approval 
to use DNA evidence. This case involved the first 
extensive challenge in a federal court to such evidence, 
and the record that I developed during five weeks of 
hearings has been used in state and federal courts 
throughout the country in ruling on the admissibility of 
DNA evidence . 

In the first decision, I granted the defendants' request 
for extensive prehearing discovery. That decision, which 
was not appealed by the government to the District Judge, 
was the first instance in which a DNA laboratory was 
required to divulge substantial information about its 
procedures . 

In the second decision, I held that DNA evidence obtained 
by the F.B.I. 's protocol and procedures met standards of 
admissibility. That decision, which is the most extensive 
reported examination of the admissibility of DNA 
evidence, was affirmed by the Sixth Circuit in United 
States V. Bonds . F.2d (6th Cir. 1993)(Slip. 
Op., No. 91-3608/3609/3610, Dec. 15, 1993). 

Women's Pavilion. Inc. v. Moriaritv . No. 91CV7250 (April 
6, 1992, April 8, 1992) . 

This case involved a suit by a local abortion clinic 
against anti-abortionists who had, according to the 
complaint, interfered unlawfully with the clinic's 
legitimate operations. 

In the first decision I held that the clinic and its 
physician did not have to disclose the identities of the 
clinic's patients. This decision involved important 

13 



180 



questions of privilege and discovery in the context of 
this and similar cases. 

In the second decision I held that an individual 
plaintiff: a) could sue the defendants under RICO (though 
her pleading in this case was deficient), b) could not 
maintain claims of trespass and interference with her 
employment contract, and c) could assert an assault 
claim. 

In addition, the second decision also held that a 
corporate plaintiff: a) could not bring an assault and 
battery claim, b) could proceed to trial on its 
interference with contract claim, c) sue on behalf of its 
patients, staff, and employees, and d) maintain its RICO 
claim against the defendants without alleging economic 
harm. 

Judge Potter rejected my ruling as to the RICO claim and 
dismissed the case (remanding the state claims back to 
state court) . The approach taken in my decision on the 
use of RICO by abortion clinics conforms to the Supreme 
Court's subsequent decision in National Organization for 
Women v. Scheidler . U.S. , 114 S.Ct. 
(1994) . 

In re John W. Young v. Endsley . No. C86-7903 (May 2, 
1988), rev ' d , 872 F.2d 176 (6th Cir. 1989) 

In this case I held that a statutory limitation on the 
liability of shipowners was not applicable to the owners 
of pleasure boats. My decision was reversed by the Sixth 
Circuit. The case is significant because it addresses the 
issue of whether persons injured in boating accidents 
involving pleasure craft can recover damages in excess of 
the value (which is often quite low) of the boat and its 
goods . 

b. Reversals by the Court of Appeals 

D. Ct. No. Caption and Summary 
Ct . App . No . 

77-372 Hand v. Central Transport, Inc. 

84-3850 

This was an antitrust case in which I 
recommended that summary judgment be granted 
in the defendant's favor; that recommendation 
was upheld by the District Judge. 

The court of appeals reversed. Hand v. Central 
Transport . 779 F.2d 8 (6th Cir. 1985). The 

14 



181 



court held that the proper standard had been 
applied, but that evidence submitted by the 
plaintiff in his objections to the District 
Judge should have been taken into account. 

78-174 Heid v. Secretary of H.H .S. 
83-3747 

This was a social security disability case in 
which I entered an order denying benefits to 
the plaintiff. 

The court of appeals remanded to the Secretary 
for further consideration in light of a 
statute that required such result for cases 
pending in the federal courts as of Sept. 19, 
1984 (my decision had been entered on Sept. 
14, 1983). 

1^'^^ Lowe V. Chem-Trol Chemical Co.. Inc. 

This was an action under the Vietnam Era 
Veterans Readjustment Act in which I 
recommended that summary judgment be entered 
for the plaintiffs; that recommendation was 
upheld by the District Judge. 

The court of appeals reversed. Raypole v. 
Chem-Tro l Chemical Co.. Inc. . ^ 754 F.2d 169 
(6th Cir. 1985). Noting that the case was one 
of first impression, the appellate court held 
that contributions that I concluded had been 
required under the Act had not been mandated 
by the Act. 

l^'ll"^ Ravpole v. Chemi-trol Chemical Co.. inc. 
84-3041 ' 

This is a companion case to the preceding 
case. 

79-328 Philips v. Secretary of H.H.S. 
8 1—3130 

This is a social security case in which I 
recommended that benefits not be awarded; the 
District Judge upheld that recommendation. 

The court of appeals held that substantial 
evidence did not support the Secretary's 
decision to deny benefits. 



15 



182 



79-493 
80-3764 



81-63 
82-3329 



Linton v. Perini 

This was a habeas corpus case in which I 
reconunended that relief be denied; that 
reconunendation was upheld by the District 
Judge . 

The court of appeals, Linton v. Perini . 656 
F.2d 207 (6th Cir. 1981), held that, 
regardless of the absence of prejudice to the 
defendant, the petitioner's Sixth Amendment 
right to counsel had been denied when a 
continuance by newly retained counsel had been 
denied, and trial had conunenced ten days after 
that lawyer had first appeared. 

Smith V. Perini 

This was a habeas corpus case in which I 
recommended dismissal on the basis that the 
petitioner had failed to exhaust his state 
court remedies and that, in any event, his 
claims were without merit. My recommendation 
was adopted by the District Judge. 

The court of appeals, agreeing that exhaustion 
had not occurred, ordered that the case be 
dismissed for want of exhaustion without 
prejudice to the petitioner to relitigate the 
merits of his claims once exhaustion had been 
accomplished. Between the filing of my Report 
and Recommendation and the court of appeal's 
reversal, the Supreme Court had held in Rose 
V. Lundy . 455 U.S. 509 (1982), that where a 
petition contains unexhausted claims, it must 
be dismissed without consideration of the 
merits . 



81-436 

84-3777 

86-3421 



Nichols V. Perini 

This was a habeas corpus case in which I twice 
recommended that relief be granted on the 
basis that the petitioner had not been 
informed adequately about the sentencing 
consequences of a plea of guilty. 

My first Report and Recommendation, which had 
been adopted by the District Judge, was 
reversed on the basis that I had 
misinterpreted the applicable sentencing 
statute. The case was remanded, and I again 

16 



183 



found that the petitioner had not understood 
the sentencing consequences. That decision was 
upheld by the District Judge 

The court of appeals reversed. Nichols v. 
Perini, 818 F.2d 554 {6th Cir. 1987). The 
court held that I had failed to take into 
account factual findings by the Ohio courts In 
their review of the petitioner's claims. 

81-499 Hurst v. Schweiker 

83-3066 

This was a social security case in which I 
recommended denial of benefits and the 
recommendation was adopted by the District 
Judge . 

The court of appeals. Hurst v. Schweiker , 725 
F.2d 53 (6th Cir. 1984), held that substantial 
evidence did not support the denial of 
benefits . 

81-594 Billings v. Bharmota 

84-3453 

This was a prisoner civil rights case in which 
I recommended that the defendant's motion for 
summary judgment be denied. That 
recommendation was upheld by the District 
Judge . 

The court of appeals reversed on the basis 
that the defendant's conduct had not shown 
deliberate indifference to the plaintiff's 
medical needs . 

81-604 Bell & Beckwith v. USA 

83-3582 

This was an interpleader action brought by a 
stock broker to resolve the ownership of funds 
in its custody. The parties consented to my 
jurisdiction, and, following a pretrial 
conference, I entered an order directing 
disbursement of the funds . 

The court of appeals reversed. Bell & Beckwith 
V. United States . 766 F.2d 910 (6th Cir. 
1985), on the basis that there had been no 
federal question jurisdictional basis for 
entertaining the interpleader action. 



17 



184 



81-774 Riverview Investments v. Ottawa County 
84-3445 Community Improvement Corp. 

This was a civil rights and antitrust case in 
which the plainti££, a landowner who had an 
agreement with a shopping center for 
development of his property, claimed that the 
defendants' refusal to issue industrial 
revenue bonds (such issuance being a condition 
of the plaintiff's agreement with the shopping 
center) violated the civil rights act and 
antitrust laws. I recommended summary judgment 
in defendants' favor, and that reconmiendation 
was approved by the District Judge. 

The court of appeals held that the decision 
regarding the civil rights -claim had been 
correct; it remanded on the antitrust claim 
for further development of the record in light 
of intervening Supreme Court decisions. 
Riverview Investments. Inc. v. Ottawa County 
Improvement Corp. . 769 F.2d 324 (6th Cir. 
1985) . 

82-10 Hazelwood v. Bharmota 

83-3347 

83-3202 This was a medical malpractice case in which I 
recommended that summary judgment be granted 
to the defendants because the plaintiff failed 
to file the complaint within the applicable 
limitations period. The recommendation was 
adopted by the District Judge . 

The court of appeals vacated and remanded for 
further consideration in light of an 
intervening decision by the Ohio Supreme 
Court . 

82-208 Oqlebay Norton Co. v. CSX Corp. 

85-3093 

85-3069 This was an action brought by a shipowner 
against the operator of a dock, in which the 
plaintiff sought indemnification from the 
dockowner after a seaman's claim against the 
shipping company had been settled. The parties 
consented to my jurisdiction, and I entered 
judgment after a nonjury trial denying the 
indemnity claim but awarding contribution. 

The court of appeals held that I had 
misapplied the legal standard applicable to 
the plaintiff's indemnity claim. 

18 



185 



82-528 Franchinni v. Secretary of H.H.S. 

84-3176 

This was a social security disability case in 
which I recommended denying benefits to the 
plaintiff. The District Court upheld my 
recommendation . 

On appeal, the court of appeals remanded to 
the Secretary for further consideration in 
light of a statute that required such result 
for cases pending in the federal courts as of 
Sept. 19, 1984 (my decision had been entered 
on Nov. 22, 1983) . 

82-876 Faust v. Heckler 

83-3919 

This was a social security case in which I 
ordered that benefits be denied. 

On appeal, the court of appeals remanded to 
the Secretary for further consideration in 
light of a statute that required such result 
for cases pending in the federal courts as of 
Sept. 19, 1984 (my decision had been entered 
on Oct. 25, 1983). 

CR83-129 USA v. Bell 

84-3534 

This was a criminal case in which I 
recommended that the defendant's motion to 
suppress be granted. The basis for that 
recommendation was a finding that an F.B.I, 
agent had not had an adequate basis for 
frisking the defendant. My recommendation was 
upheld by the District Judge. 

The court of appeals reversed, United States 
V. Bell . 762 F.2d 495 (6th Cir. 1985), on the 
basis that the agent had had a sufficient 
cause for the frisk. 

83-238 Leal v. Perini 

84-3873 

87-3014 This was a habeas corpus case in which I twice 
recommended that relief be granted to the 
petitioner on the basis that the prosecution 
had improperly withheld material evidence to 
which the petitioner had been entitled (a 
taped conversation, a prior inconsistent 
statement by the state's principal witness, 
and lie detector results indicating 
untruthfulness on the part of that witness). 

19 



186 



Each of my recommendations was upheld by the 
District Judge. 

In its first decision, the court of appeals 
remanded for further consideration in light of 
an intervening Supreme Court decision. On 
remand, I again recommended granting relief, 
and the recommendation was approved by the 
District Judge. 

In its second decision, the court of appeals 
held that the evidence that had been 
%nrongfully withheld had not been material to 
the petitioner's conviction. The petitioner 
has subsequently received a governor's 
commutation. 

83-266 Steinoraber v. Heckler 
84-3348 

This was a social security case in which I 

ordered denial of benefits. 

The court of appeals remanded to the Secretary 
for further consideration in light of evidence 
that the plaintiff had undergone back surgery 
following entry of my decision and while the 
case was pending before the appellate court. 

83-536 Tiernev v. City of Toledo 

85-3016 

85-3290 This was a civil rights case brought by a 

88-4047 officer against the City of Toledo and its 
Police Patrolmens' Union, in which the 
plaintiff alleged that the "fair share" 
agreement between the City and Union violated 
his First Amendment rights due to inadequate 
procedures for ensuring that the plaintiff's 
contribution was spent solely for collective 
bargaining purposes . 

The parties consented to my jurisdiction. 

Following an injunction hearing, I held that 

the union's procedures met constitutional 
standards . 

The court of appeals upheld that decision. 
Tiernev v. City of Toledo . 785 F.2d 310 (6th 
Cir.), vacated . 475 U.S. 1115 (1986). 
Thereafter, following an intervening Supreme 
Court decision, the appellate court's decision 
was vacated, and it remanded the case to me 
for further proceedings. 

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Following further proceedings, I ruled that 
the union's revised procedures met 
constitutional requirements . 

That decision was reversed by the Sixth 
Circuit, Tierney v. City of Toledo . 824 P. 2d 
1497 {6th Cir. 1987), on the basis that the 
procedures that I had approved were not 
sufficient to protect the plaintiff's First 
Amendment rights. 

Thereafter, I again found the union's plan, as 
further revised, to be acceptable. In 
addition, I rejected the plaintiff's demand 
for extensive access to the union's books and 
records . 

That decision was affirmed in part and 
reversed in part by the Sixth Circuit in 
Tiernev v. City of Toledo . 917 F.2d 927 (6th 
Cir. 1990), with the court directing further 
proceedings relative as to whether the audit 
procedures were adequate to verify 
expenditures and requiring me to order the 
union to make specific disclosures concerning 
its income and expenditures. 

83-536 Central States Southeast and Southwest Area 
84-3869 Pension Fund v. Transservice Systems. Inc. 

This was an action brought by a pension fund 
to collect contributions from the defendant, 
who was the former employer of a beneficiary 
of the fund. Following a nonjury trial (the 
parties having consented to my jurisdiction), 
I held in favor of the plaintiff. 

The court of appeals remanded for further 
consideration with regard to an issue that it 
concluded I had not adequately considered and 
for further clarification of my original 
decision. 

85-730 Wallace v. Hubbard 
84-3274 

This was a pro se prisoner civil rights case 
alleging inadequate medical treatment; the 
only named defendant was the warden. I 
recommended that the defendant's dismissal 
motion be granted; that recommendation was 
adopted by the District Judge. 



21 



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The court of appeals reversed on the basis 
that the plaintiff should be given time in 
which to undertake to amend his complaint to 
state more clearly the parties against whom he 
was seeking relief. 

83-854 Akbar v. Seiter 

84-3052 

This was a pro se prisoner civil rights case 
in which the plaintiff claimed that 
regulations regarding clothing violated his 
First Amendment rights . I recommended that the 
complaint be dismissed on the basis of res 
judicata, and that recommendation was upheld 
by the District Judge. 

The court of appeals affirmed in part and 
reversed in part, with the- reversal being 
based on the determination that some of 
plaintiff's claims had not been resolved in 
his earlier litigation. 

83-1084 Ward v. Secretary of H.H.S. 

85-3703 

This was a social security case in which I 
recommended that benefits be denied, and that 
recommendation was upheld by the District 
Judge . 

The court of appeals affirmed in part and 
vacated and remanded for the purpose of 
consideration of decisions by that court that 
had been rendered after the date of my Report 
and Recommendation. 

84-7016 Brown v. Seiter 

84-3420 

This was a pro se prisoner civil rights case, 
in which I recommended dismissal, and that 
recommendation was upheld by the District 
Judge . 

The court of appeals affirmed in part and 

reversed in part on the basis that the 

complaint adequately stated a cause of action 
as to one of the defendants. 

84-7124 McLaughlin v. Excel Wire & Cable Co. 

85-3258 

This was an age discrimination case in which I 
recommended that summary judgment be granted 
for the defendant. I concluded that plaintiff 
had not filed his administrative complaint 

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within the requisite period and an election of 
remedies precluding other claims had occurred. 
That recommendation was upheld by the District 
Judge . 

The court of appeals reversed, holding that 
equitable tolling had extended the period for 
filing and no election of remedies had 
occurred . 

84-7388 Crawford v. Secretary of H.H.S. 

86-3562 

This was a social security case in which the 
parties consented to my jurisdiction and in 
which I denied benefits. 

The court of appeals held that substantial 
evidence had not supported the Secretary's 
denial of benefits. 

84-7623 Hoffman v. Glidden 

86-3738 

This was an employment discrimination case 
that was referred to me for Special Master 
hearing. I recommended that defendant's motion 
for summary judgment be granted, and that 
recommendation was adopted by the District 
Judge . 

The court of appeals reversed on the basis 
that there was a genuine dispute of material 
fact concerning the alleged pretextuality ot 
the defendant's reasons for its actions. 

84-7758 Berry v. Secretary of H.H.S. 

86-3491 

This was a social security case in which the 
parties consented to my jurisdiction and I 
ruled that benefits be denied. 

The court of appeals reversed on the basis 
that the Secretary's decision to deny benefits 
was not supported by substantial evidence. 

84-7777 Brown v. Secretary of H.H.S. 

86-3886 

This was a social security case in which I 
recommended that benefits be denied, and that 
recommendation was upheld by the District 
Judge . 



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The court of appeals reversed on the basis 
that the Secretary's decision to deny benefits 
was not supported by substantial evidence. 

84-8054 Canderm. Inc. v. Elder Pharmaceuticals. Inc. 

87-3352 

This was a breach of contract and tortious 
interference with contractual relations case 
in which the parties consented to my 
jurisdiction. Prior to trial (which resulted 
in a verdict for the plaintiff), I dismissed 
plaintiff's claims as to one defendant and its 
punitive damages claim; those rulings were 
upheld by the court of appeals . I also had 
ruled prior to trial that the defendant had 
not been entitled to advance a particular 
defense. 

That ruling was reversed on appeal on the 
basis that there were material disputes of 
fact requiring determination of by the jury. 
Canderm. Inc. v. Elder Pharmaceutical. Inc. . 
862 F.2d 597 (6th Cir. 1988). 

84-8088 Hardin v. Secretary of H.H.S. 

85-3967 

This was a social security case in which the 
parties had consented to my jurisdiction and I 
ordered that benefits be awarded. 

The court of appeals remanded on the basis of 
an intervening decision by that court. 

85-7464 In re Bell & Beckwith 

87-3006 

This was an action brought by the trustee of a 
bankrupt stock brokerage to recoup funds paid 
to an attorney who had been retained by the 
firm's principal after the principal's fraud 
had been uncovered. The parties consented to 
my jurisdiction. Following trial, I found that 
the attorney had neither known nor had reason 
to know that the funds that he had been paid 
at the outset of his representation of the 
principal were proceeds of the fraud. 

The court of appeals reversed, holding that 
the attorney had been under a duty of incpiiry 
and thus was chargeable with knowledge that 
the funds he had received had derived from the 
fraud. In re Bell & Beckwith . 838 F.2d 844 
(6th Cir. 1988) . 

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86-7903 
88-3483 



87-7684 
89-3750 
89-3777 



89-7031 
90-3371 



90CV7617 
92-3821 



Ends lev v. Young 

This was an admiralty case in which the 
parties consented to my jurisdiction. I 
granted summary judgment in favor of a party 
injured by an explosion on a pleasure boat. 
That judgment was limited to the issue of 
liability: I held that a statutory limitation 
of a vessel owner's liability was not 
applicable to the owners of pleasure boats. 

The court of appeals, reversed, holding that 
the statutory limitation of liability was 
applicable to commercial ships and pleasure 
craft alike. In re John Young . 872 F.2d 176 
(6th Cir. 1989) . 

Rodriguez v. Frankenmuth Mutual Ins. Co. 

This was a diversity case in which, following 
trial and return of a jury verdict in favor of 
the plaintiff, I entered judgment 
notwithstanding the verdict in favor of the 
defendant. I held that there had been a 
failure of proof as to proximate cause and 
damages . 

The court of appeals reversed, holding that 
adequate evidence supported the jury's 
verdict. 

Simpson v. Diversitech General. Inc. 

This was an employment discrimination case in 
which the parties consented to my 
jurisdiction. Following trial, I entered 
judgment for the defendant on the basis that 
defendant had met its burden of proof in a 
"mixed motives" case that its decisions would 
have been the same without regard to the 
racial animus of one of its employees. 

The court of appeals held that the defendant 
had not met that burden. 

Fifth Third Bank v. Dziersk. et al . 

This was a diversity case in which I granted 
summary judgment in favor of the plaintiff, 
which claimed that the defendant bank had 
wrongfully accepted deposit of a check from 
the plaintiff payable to two individuals 

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192 



without the signature of one of the 
individuals having been subscribed to the 
check. 

The court of appeals reversed, holding that I 
had erred when I declined to permit the 
defendant bank to assert a contributory 
negligence defense. 

I am aware of no decision by the court of appeals in 
which, though my decisions were affirmed, the court was 
significantly critical of my substantive or procedural 
rulings. 

Significant Federal or State Constitutional Decisions 

In re Affidavit for Issuance of Multiple Search Warrants . 
No. 85-7070M (Dec. 5, 1985). 

In this case an individual whose property had been seized 
claimed that its continued retention by the government 
constituted a violation of due process. I rejected his 
claim, but directed the government to proceed with a 
forfeiture proceeding by a date certain. There was no 
appeal. The case was significant because it raised 
interesting issues of the ability of the state to hold 
seized property without proceeding promptly with further 
investigation and return of criminal charges . 

Barnett v. Bell . No. C 80-563 (July 2, 1986). 

Plaintiffs in this case contended that the conditions at 
the Hancock County Jail violated the Eighth Amendment. I 
concluded that the conditions were not constitutionally 
defective and that the plaintiffs were not entitled to 
relief. Judge Potter upheld my ruling. An appeal was 
voluntarily dismissed. The significance of the case 
related to its institutional reform aspects. 

Culp V. City of Toledo . No. C 88-7760 (July 30, 1990). 

This was a suit by a dismissed employee of the City of 
Toledo, who claimed that the Federal Constitution and 
state law had been violated by the means by which he had 
been terminated. I rejected many of his claims, but also 
concluded that his right to due process had been 
violated. Following my ruling, the case was settled. The 
case was significant because it involved an 
interpretation in light of the due process clause of a 
provision of the City charter requiring that terminations 
be based on cause. 



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Doe V. City of Toledo . C 81-772 (March 20, 1986). 

This case involved an application by a television station 
to disclose the name of a plaintiff who had been 
permitted to proceed anonymously with a civil claim to 
recover funds that had been seized by a police officer. 
I held that such disclosure should occur. There was no 
appeal. The significance of the case resulted from the 
conflict between the media's right of access and the 
individual's right of privacy where no criminal charges 
were pending. 

Downton v. Perini . 511 F. Supp. 258 (N.D. Ohio 1981). 

This was a case of first impression in any federal court. 
I held that an attorney's threat to withdraw from further 
representing his client in a capital murder case unless 
the client accepted his recommendation to plead guilty 
led to an involuntary plea and denial of the right to 
counsel. My recommendation that habeas relief be granted 
was upheld. An appeal was dismissed voluntarily. 

Glover v. McMackin . No. 3:90CV7232 (Sept. 18, 1990, 
July 23, 1992) . 

This was a habeas corpus case in which I concluded that 
the defendant's conviction violated the double jeopardy 
clause of the Fifth Amendment. The Sixth Circuit remanded 
for further evidence. Glover v. McMackin . 950 F.2d 1236 
(6th Cir. 1990). After taking further evidence, I again 
concluded that the double jeopardy clause had been 
violated, and recommended that relief be granted. Judge 
Potter upheld my ruling. There was no appeal. The case 
involved a significant issue under the double jeopardy 
clause. 

Hernandez v. County of Seneca . No. C 82-475 (July 20, 
1983) . 

This was a civil rights case challenging the conditions 
of confinement at the Seneca County Jail. Following an 
injunction hearing, I concluded that the conditions with 
regard to danger of and from fire justified granting 
injunctive relief. There was no appeal. The case was 
important because it involved important issues under the 
Eighth Amendment and resulted, somewhat unusually, in a 
order directing that a county jail be closed, rather then 
rehabilitated or reconstructed to conform to 
constitutional requirements. 

Tierney v. City of Toledo . No. C83-430 (Aug. 2, 1984; 
Dec. 11, 1984; March 26, 1985; April 27, 1988; Nov. 8, 

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1988). Court of Appeals, Tiernev v. City of Toledo . (No. 
85-3016 & 85-3290), Jan. 14, 1986; 824 F.2d 1497 (6th 
Cir. 1987); 917 F.2d 927 (6th Cir. 1990). 

This is a series of opinions involving a challenge to the 
union's agency fee rebate procedure. I initially held 
that the procedures afforded appropriate constitutional 
protection to the First Amendment interests of the 
plaintiffs. That decision was affirmed in an unpublished 
opinion on appeal by the Sixth Circuit. 

Thereafter, the Supreme Court decided Chicago Teachers 
Union v. Hudson . 475 U.S. 252 (1986). That Court also 
vacated the Sixth Circuit's affirmance and remanded for 
further consideration in light of Hudson . When the case 
returned to me, I found the changes that had been 
instituted in the union's plan were - adequate . That 
decision was reversed by the Sixth Circuit. Tierney v. 
City of Toledo . 824 F.2d 1497 (6th Cir. 1987). 

After that decision, I again found the plan, as amended, 
acceptable. In addition, I rejected the plaintiff's 
demand for extensive access to the union's books and 
records. This decision was reversed in part and affirmed 
in part by the Sixth Circuit. Tierney v. City of Toledo . 
917 F.2d 927 (6th Cir. 1990). Thereafter the parties 
negotiated a settlement. 

This series of opinions was significant because they 
involved important and, at the time they were decided, 
unsettled issues under the First Amendment about the 
constitutionality of "fair share" programs and related 
procedural questions. 



In addition to the foregoing decisions, the following 
were cases raising constitutional issues in which my 
decisions were reversed by the Court of Appeals. 
Summaries of these decisions appear in §15. b. and copies 
of the opinions are included with the other materials 
submitted with regard to that section. 

Brown V. Seiter . No. C84-7016 

Billings v. Bharmota . No. C81-594 

Leal V. Perini . No. C83-238 

Linton v. Perini . No. C79-493 

Nichols V. Perini . No. 81-436 

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195 



Riverview Investments v. Ottawa County CommunitY 
Improvement Corp. . No. C84-3445 

USA V. Bell . No. CR83-129 

16. Public Office ; State (chronologically) any public offices you 
have held, other than judicial offices, including the terms of 
service and whether such positions were elected or appointed. 
State (chronologically) any unsuccessful candidacies for 
elective public office. 

Lucas County Mental Health Board 1981-87 
Board Member (appointed) 

Lucas County Children Services Board 1987-92 
Board Member (appointed) 

Childrens' Trust Fund 1986-92 

Board Member (appointed) 

Juvenile Justice Advisory Board 

Board Member (appointed) 1990-92 

I have never been a candidate for elective public 
office. 

17 . Legal Career ; 

a. Describe chronologically your legal career after 
graduation from law school including; 

1. whether you served as a clerk to a judge, and if so, 
the name of the judge, the court, and the dates of 
the period you were a clerk; 

I did not serve as a clerk to a judge. 

2. whether you practiced alone, and if so, the 
addresses and dates; 

While a law professor at the University of Toledo 
(1970-79), I participated in three cases in the 
Lucas County, Ohio, Juvenile Court. In two of these 
cases I was appointed by the court to represent 
parents of children alleged to have been abused or 
neglected. In the third case I represented 
grandparents seeking to visit with and obtain 
custody of their grandchildren. 

In 1978 and 1979 I consulted in two cases with 
lawyers defending clients in criminal cases 



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196 



involving electronic surveillance by the 
government. This work was done at home. 

Other than these matters, I do not recall any other 
instances in which I engaged in the practice of law 
on my own. 

the dates, names and addresses of law firms or 
offices, companies or governmental agencies with 
which you have been connected, and the nature of 
your connection with each; 

Gardner, Carton, Douglas, Chilgren & Waud 
[now: Gardner, Carton & Douglas] 
321 N. Clark St. Associate 

Chicago, Illinois 60610 1966-68 

Cook County Legal Assistance Fndtn. 

1146 Westgate St. Staff Attorney 

Oak Park, Illinois 60301 1968-70 

Church Foundation of Greater Chicago 

112 East Chestnut St. Volunteer Atty. 

Chicago, Illinois 60611 1966-70 

Lucas County Prosecutor's Office 

Lucas County Courthouse Asst. Prosecutor 

Toledo, Ohio 43624 1972-73 



1. What has been the general character of your law 
practice, dividing it into periods with dates of 
its character has changed over the years? 

While employed as an associate with Gardner, Carton, 
Douglas, Chilgren & Waud in Chicago (1966-68), I worked 
with most, if not all of the partners and associates on 
a broad range of matters. The work encompassed personal 
injury defense, contract and commercial law, corporate 
matters, securities underwriting, real estate, probate, 
and taxation. 

From 1968-70, I was a staff attorney with the Cook County 
Legal Assistance Foundation, assigned to the agency's 
Evanston, Illinois, office. During that time, I 
represented poor clients in housing, consumer, welfare, 
and juvenile law matters. 

Beginning shortly after my employment with Gardner, 
Carton, Douglas, Chilgren & Waud, and continuing until we 
moved from Chicago in 1970, I was a volunteer legal aid 
attorney with the Church Foundation of Greater Chicago. 

30 



197 



I worked one night a month interviewing clients in a 
neighborhood office located in a church basement. Where 
appropriate, I thereafter either represented those 
clients or referred them to other counsel. This work 
encompassed housing, consumer, and welfare matters. 

For a period of about ten months while I was teaching at 
the University of Toledo, I served on a part-time basis 
as an Assistant Lucas County Prosecutor in charge of the 
Juvenile Court docket. 

2. Describe your typical former clients, and mention the 
areas, if any, in which you have specialized. 

The clients at Gardner, Carton, Douglas, Chilgren & Waud 
were primarily companies located or doing business in the 
Chicago area. The firm's clients were those typical of a 
moderate sized large city law firm. I had no specialty 
while working there. 

The clients whom I represented as a Staff Attorney with 
the Cook County Legal Assistance Foundation (and, as 
well, as a volunteer with the Church Federation) were 
poor people who otherwise would not have had counsel. 
During my second year with the Foundation, I handled all 
of the juvenile court cases in the office, and developed 
a degree of specialization in that area. 

During my time with the Lucas County Prosecutor's Office, 
I, along with student interns authorized to practice 
under Ohio's student practice rule, represented the state 
in delinquency and nondelinquency matters. This called 
for expertise in criminal law and procedure. Juvenile 
law, and juvenile court procedure. 

c. 1. Did you appear in court frequency, occasionally, or 
not at all? 

While working with Gardner, Carton, Douglas, Chilgren & 
Waud, I appeared in court occasionally. Those appearances 
were limited to pretrial motions and pretrial 
conferences, and occurred principally in the Circuit 
Court (i.e., general trial court). 

When working with the Cook County Legal Assistance 
Foundation, I appeared in a large number of courts, 
including federal district court, the Cook County Circuit 
Court and municipal courts in Chicago and its suburbs. I 
would be in court several times weekly. 

Though I attended court while teaching at the Law School 
of the University of Toledo, I rarely participated in 

31 



198 



proceedings. Instead, I would supervise students enrolled 
in the Law School's criminal law clinical progreun. 

During the approximately ten month period that I worked 
part-time as an Assistant County Prosecutor, I would be 
in juvenile court two or three times a week, usually for 
an hour or two on each occasion. 

2. Nhat percentage of these appearances was in: 

(a) federal courts: 5% 

(b) state courts of record: 95% 

(c) other courts 0% 

3. What percentage of your litigation was: 

(a) civil: '90% 

(b) criminal: 10% 

4. State the approximate number of cases in courts of 
record you tried to verdict or judgment (rather 
than settled), indicating whether you were sole 
counsel, chief counsel, or associate counsel. 

With Gardner, Carton, Douglas, Chilgren & Waud, I 
tried no cases to verdict or judgment. 

With the Cook County Legal Assistance Foundation, I 
tried approximately twenty cases to verdict or 
judgment. I was sole counsel in these cases. 

While a part-time Assistant County Prosecutor, I 
tried approximately ten cases to verdict or 
judgment. 

5. What percentage of these trials was: 

(a) jury; 0% 

(b) non-jury 100% 

18. Litigation ; Describe the ten most significant litigated 

matters which you personally handled. Give the citations, if 
the cases were reported, and the docket number and date if 
unreported. Give a capsule summary of the substance of each 
case. Identify the party or parties whom you represented; 
describe briefly the nature of your participation in the 
litigation and the final disposition of the case. 

While a legal aid attorney, I asserted successfully a defense 
of unconscionability against collection agencies in a couple 
of cases. At the time, this was a relatively novel legal issue 

32 



199 



which was being asserted principally by legal aid lawyers. The 
cases were thereafter dismissed. I was sole counsel. 

In several juvenile cases as a legal aid attorney I raised 
issues relating to pretrial discovery and the right to jury 
trial. Either the discovery motions would be overruled or 
discovery would be forthcoming informally without a ruling. 
The demands for trial by jury were overruled. I was sole 
counsel . 

With the Chief Attorney and other lawyers in our legal aid 
office, I represented a group of Black Northwestern University 
students who were subjected to disciplinary proceedings that 
might have led to their expulsion. As a result of our efforts, 
due process procedures were developed and implemented. I do 
not recall the outcome of those proceedings, though I believe 
the students were not severely disciplined. ' 

While a law professor at the University of Toledo I was 
appointed in two cases by the Lucas County, Ohio, Juvenile 
Court to represent parents of children alleged to have been 
abused or neglected. In those cases I encouraged the court to 
use an innovative procedural mechanism to work toward 
restoration of custody to the parents under controlled 
circumstances. In another case I successfully asserted the 
right of grandparents to visit with grandchildren who had been 
left with a child welfare agency by their parents; in due 
course and over the objection of the agency, which sought to 
place the children in separate foster homes, the grandparents 
were permitted to adopt the children. 

None of these matters resulted in reported decisions. I have 
no recollection of the ncunes of the cases or individual 
parties. The following, however, are attorneys with whom I 
worked while practicing as an attorney in the Chicago area. 
Except for the lawyers with whom I worked at Gardner, Carton 
& Douglas, I have indicated their relationship to me as of 
that time. 

Robert K. Downs (Volunteer, Church Federation) 
Downs & Downs, P.C. 708 848-0700 

1010 Lake Street #620 
Oak Park, Illinois 60301 

Robert G. Freeman (Associate, Cook Co. Legal Asst. Fndtn. ) 

125 Longs Peak Drive 303 823-6622 

P.O. Box 1126 

Lyons, Colorado 80540 



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200 



Hon. Marvin Gavin (Exec. Dir., 
Circuit Court of Cook County 
16501 South Kedzie 
Markham, Illinois 60426 

Hon. Curtis Heaston (Exec. Dir. 
Circuit Court of Cook County 
Richard J. Daley Center 
Chicago, Illinois 60602 



Cook Co. Legal Asst. Fndtn.) 
708 210-4606 



Cook Co. Legal Asst. Fndtn.) 
312 443-4337 



Hon. Leo E. Holt (Supervisor, Cook Co. Legal Asst, 
Circuit Court of Cook County 708 210-4220 
16501 South Kedzie 
Markhajn, Illinois 60426 



Fndtn . ) 



312 644-3000 



William L. Morrison 
Gardner, Carton & Douglas 
Quaker Tower, Suite 3400 
321 North Clark St. 
Chicago, Illinois 60610-4795 

Prof. Sheldon H. Nahmod (Associate, Cook Co. Legal Asst.) 

Chicago Kent College of Law 312 906-5261 

Illinois Institute of Technology 

565 West Adams St. 

Chicago, Illinois 60661-3691 



312 644-3000 



John F. Notz 
Gardner, Carton & Douglas 
Quaker Tower, Suite 3400 
321 North Clark St. 
Chicago, Illinois 60610-4795 

Maria Ann Skirnick (Associate, Cook Co. Legal Asst.) 
19 Rockwood Road West 516 365-7186 

Plandome, New York 11030 



312 644-3000 



Joe A. Sutherland 
Gardner, Carton & Douglas 
Quaker Tower, Suite 3400 
321 North Clark St. 
Chicago, Illinois 60610-4795 

19 • Legal Activities ; Describe the most significant legal 

activities you have pursued, including significant litigation 
which did not progress to trial or legal matters that did not 
involve litigation. Describe the nature of your participation. 
In this question, please omit any information protected by the 
attorney-client privilege (unless the privilege has been 
waived) . 



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I believe that my most significant contributions have been 
made while a law teacher, judicial officer, and legal writer, 
rather than during my four years as a practicing attorney. 

Certainly my most extensive experience with litigation has 
come during the fourteen years that I have been serving as 
United States Magistrate. Throughout my time of service, I 
have been responsible for all social security and habeas 
corpus cases. For the first several years over 100 social 
security cases and more than 60 habeas corpus cases were filed 
annually. Recently, there has been some decline in the number 
of filings in these categories, especially in the social 
security cases. For the past five years there have been 
between 40 and 70 social security cases filed annually. For 
the past three years, there have been about 45 habeas cases 
filed annually. 

In addition, for several years, I was responsible for initial 
hearing and determination of all pretrial motions in all civil 
rights cases; approximately 130 cases in this category were 
filed annually during that period. For several years, these 
cases generated a substantial volume of motions that were 
referred to me. The extent of my work in this area has 
diminished in the past few years, due to the appointment of a 
pro se law clerk who prepares opinions in prisoner civil 
rights cases, a decline in some years in the number of filings 
in the other civil rights categories, and an increase of my 
own trial docket and a decrease in the District Judge's 
dockets . 

Throughout my tenure, I have also had a large number and 
variety of matters referred to me in other types of civil 
litigation. Among these have been anti-trust, securities, 
personal injury and product liability, contract, commercial 
cases, and patent. I estimate that I have handled the pretrial 
motion work in a dozen or more cases annually from these 
categories; several of those cases involved extensive pretrial 
motion practice. 

Since shortly after being appointed, I have been responsible 
for initial hearing and determination of all pretrial matters 
in all criminal cases, of which about 90 are filed annually. 
I empanel and supervise the grand juries, issue warrants, 
conduct detention hearings, hold hearings on motions to 
suppress, adjudicate motions to dismiss and for discovery, and 
handle any other pretrial matters in criminal cases. The 
volume and complexity of pretrial motion work in this area of 
the docket has increased in the past few years as the 
government has filed several multi-defendant, multi-count drug 
cases . 



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Finally, my o%m civil docket has expanded steadily throughout 
my time of service as Magistrate, as lawyers have consented to 
have me be substituted for the District Judge. I have had 
extensive civil jury and nonjury trial experience, and my 
consent docket is presently about 130 cases. This is eibout a 
half to a third the size of the docket of some of the active 
District Judges in our District. 



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II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 



List sources, amounts and dates of all anticipated receipts 
from deferred income arrangements stock options, uncompleted 
contracts and other future benefits which you expect to derive 
from previous business relationships, professional services, 
firm memberships, former employers, clients, or customers. 
Please describe the arrangements you have made to be 
compensated in the future for any financial or business 
interest. 

I have been contributing to the Judicial Retirement System 
since 1989. The benefits of this annuity program will be 
forfeited upon retirement under 28 U.S.C. S371(a), relating to 
Article III judges. 

I am a participant in the Thrift Savings Plan contributing 
five percent of my salary. I plan to continue doing so, and to 
withdraw the funds on retirement. 

While at the University of Toledo I participated in the State 
Teachers Retirement System. I will receive an annuity of 
$1,700 per month from that program on reaching age 65. 

I have an annuity that I purchased while a law professor at 
the University of Toledo with the Aetna Life Insurance 
Company. The present account value is $6,900. I anticipate 
receiving the benefits at age 65. 

Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the categories of 
litigation and financial arrangements that are likely to 
present potential conf licts-of-interest during your initial 
service in the position to which you have been nominated. 

The only potential area of conflict of which I am aware would 
arise. in cases in which the University of Toledo (my wife's 
employer) is a party. I have recused and will continue to 
recuse myself from cases involving the University. 

I anticipate no potential conflicts of interest with regard to 
my finances, and I will adhere to the requirements of the Code 
of Judicial Conduct concerning any conflicts of interest. 

Do you have any plans, commitments, or agreements to pursue 
outside employment, with or without compensation, during your 
service with the court? If so explain. 



37 



204 



I expect to do the writing for the law publishers (Clarlc 
Boardman Callahan and Anderson Publishing Company) that I have 
done in the past. I expect, accordingly, to update my 
treatises. The Law of Electronic Surveillance (Clark Boardman 
Callahan) and 2 Andersons Ohio Family Law; Juvenile Court 
Practice and Procedure , vnrite the annual Criminal Procedure 
Handbook, and edit the Criminal Law Review anthology of law 
review articles. 

List sources and amounts of all income received during the 
calendar year preceding your nomination and for the current 
calendar year, including all salaries, fees, dividends, 
interest, gifts, rents, royalties, patents, honoraria, and 
other items exceeding $500 or more (If you prefer to do so, 
copies of the financial disclosure report, required by the 
Ethics in Government Act of 1978, may be substituted here.) 

See attached Financial Disclosure Report. 

Please complete the attached financial net worth statement in 
detail (Add schedules as called for) . 

Net Worth Statement Attached. 

Have you ever held a position or played a role in a political 
campaign? If so, please identify the particulars of the 
campaign, including the candidate, dates of the campaign, your 
title and responsibilities. 

No. 



38 



205 



NEmTORTH 
James G. Carr ss*323-32-7729 Eileen M. Carr ss#112-34-1666 

Provide a co.-npicu, CLincni fj-.i-ncii] ncl worOi suiicmcni which iurrJics Ln ccliU 
rOJ cjscii (LocludLis b^^"^ zctouni:, real csw.i, Stcuridcs, trusts, uivcstnicnLS. t-id oih.cr H-iyicid 
holdings) tli liabUidcs (L^cluding dcbu, mor.jagcs, loans, lad oihir fijiincii] cbligstions) of 
youj^cL', you: spouse, wd oihcr immtdjji: mcmbin of youi household. 



ASSITS 1 


U."^ n_! J ;^5 


= 


Iijh en ti-ii i.i^ in biri: 


11 


00(| 00 


Notu pA)fii!t 10 ti.-\i:-iicu.-'ri 


1 


U.S. Govtri=5cr,l jf<Mrli = --ti,i 








Kolij piyLble L) ti.-03 -^iru ec-u.-td 




Lir^ jc^ui/^Ow-^di ichrdulc 


636 


60( 


00 


Nol;s piyibb 13 njiova 








Uriilid K;curi;ici--ul:i jcfccij'e 






^ Nolrj payable Ld clbt-i 








Arccu,-i'j L-.d noui rt^ivjblc: 








A^co'xnLs t-id bDli due 








I>ue torr. /di'Jvei l-id fcSt-idj 








Unpiid ir^iont Lu 






Dvc torn o-^.t-'i 








CX>>i-' cr_::ijd \xx ini inUrrs: 






Dowb:;.! 








7.eJ ciU'^ n^c-^ijts piy»i;c-iii 


58 000 00 


4525 Wedgewood, Toledo, Ohid 


226 


000 


00 


CK-vZii (nc,-;-Ljij s.-.i ouS-: Ijerj p:v. 
iV.i 








F.£-0 ciU',^ :-cr^:7t^ rc^':;vii!i; 








0\>cr cUVj-licnb^: debit in 


5 


000 DO 


Aulo: !.-■{; c'J-.c: p-.r^ccz: F-Tr-err/ 


65 


000 


00 


checking account 








C-S viJot-L/c l-.:-2.-'_",ci 


1 000 


00 










C>>>.c: i_LJ : 1; - i -r rzli-: : 














1 












1 












1 


1 7o'-J Libij.-i 


63 000 


00 


1 1 




1 Kc; Vcr-i 


876 600 


09 


ToL;I/.iKLj 1 939 60(1 00 


1 TcLl! licaiic- t-J fKi t-D.-i 


939 


600 


QO 


contd;cent u.k£ruij.i3 


1 


1 


CEKZPJlL I>7CRMJ>.TI0N 








^c......,c..^::c.^...: 








u^c) no 








C-.h.c=c-c=r.^^U 








A-'t yo-J iiCccd:.-.! i.'. ;.-.y tuiy c: !::i> 

i^ca^i? no 








t.;JCl-: 






K:Yt ycu cvc uJ-^: li.-irup<c-_,?"° 








Pre-.;:;;-. J-;: F^-..-J 1--.- -.- Vi- | 


1 1 








C:--:::.r=ub; cc;: 


i-.-=. 


_J_ 




1 








206 



Listed Securities 

James G. Carr 
Eileen M. Carr 



Bonds /Description (Jt. Ownership) 

Ohio St Bldg Auth St, 6.50%, issued 9/90 53,863 

matures 9/1/S6 

Massillon Oh City Sch Dist, 6.50%, 55,193 

issued 2/90, matures 12/97 

Ohio St Liquor Profits, 6.80%, issued 6/89 27,751 
matures 3/1/98 

Ohio St Higher Edl 6.70%, issued 6/90 561168 

matures 5/1/99 

Cincinnati Oh New Pub Hsg Auth, 6.00%, 51,000 

issued 6/68, matures 7/1/99 

Westerville Oh MNV Pk, 6.20% 54,916 

issued 6/91, matures 9/15/99 

Ohio St Wtr Dev Auth Rev, 6.00%, 16,417 

issued 10/78, matures 9/1/2000 

Cleveland Ohio Ser A Rfdg AMBAC 112,564 

6.30% issued 5/91, matures 10/1/2001 

TOTAL 427,820 



Mutual Funds fJT^ 

Fidelity Advisor Ecfuity 33,537 

Fidelity Advisor Income 32,678 

Merrill Lynch Int'l Equity Fund Class B 25,714 

Merrill Lynch Global Allocation Fund Class B 24,613 

Merrill Lynch Developing Capital Markets Fund 10,593 

Merrill Lynch Latin America Fund Class B 11,080 

ML Capital Fund Class B 33,818 

TOTAL 172,033 



Mutual Funds (James SEP) 

Merrill Lynch Fund for Tomorrow Class B 7,366 

Thompson Opportunity Fund Class B 5,313 

Merrill Lynch Basic Value Fund Class B 5,292 

TOTAL 17,971 



207 



Mutual Funds (Eileen IRA) 

Merrill Lynch Fund for Tomorrow Class B 

Thompson Opportunity Fund Class B 

TOTAL 



CMA Ohio Municipal Money Fund 

Real E state Mortgages Payable 

cno^®^"^""-'-^^'^ condominium located ai: 

608 Broad Avenue South 

Naples, Florida 

current balance $ 38,500 



3,849 
3,095 

6,944 
11,871 



208 



NET-WORTH 
Maureen Carr 

PioviJc : ccniy'.c'.;, cuncr.i TLii.'^ciil r.ct worJi sL<i;mcnl which i'^rrjics Lt ccLiiJ 
ai) iiicM (Lncl'JcUns \)is± zccounii. real csuic, securities, trusLs, invcsQmcnLs, £-'■,0 ct>,tr fLninciaJ 
holdlnss) tU lizbiiidcs (L'-.cljdinB dcbis, rnonEsscs, loinj, zjd oOi:r fLTijicii] cbligicons) of 
youJxL', youi spouse, 2.id oLhcr immidiii: members of you: hcuschold 



Cijh en ts-nd l:i^ in buri: 



U.S. Covt.-^;=«nl »cr>in: = - 



Llr^ x.-,;:Hdii-»di j;tirf-jle 



■Uniitid tcciri:ici-tdi yciidjlc 



A:=^i:.-.'j t-ii noui rejc'ivibic: 



D-Jc torr. idi'Jvti L-d t-it-.ii 



r>.'f tom o-*^t.'» 



Do-^Vc^Jl 



F.cJ cjLlI: o»-ti-tid !C>-.£-; 



;tJ f.u;; n-C.-^Jri: I-:-.vi;-: 



At.;! L-.d clhc; p-.ns::; J.-vr-^^y 



Ci;SviJ:>:-U.'« 1-. ;■-•-- - 



CO i: 



rc-.i Mitia 



co.vrrscE!-'! ix'^a-rms 



(_ 

> T, 



Ulit! C- cn^i^'-: 



CIlL- 









LLKsasriLi 



67 



800 



00 



KoUj fwyiblc lA tinjc - tirw''cd 



KoUj piyi^U td ti.'Oa -c/u cc-.L~t^ 



>to'-:i piyi^U 13 rtjiiivo 



I ^ Ko1:j Fiytbls 13 olijc-; 



At^ccunli U^i tOii <5-j3 



I Unpijd L'-ior-.t uj; 



O^^- lL'-.:^(i Ul i.'vi inUmt 



121500 00 






CKf— il c-.crjuij and oLS^r Uerj p:v. 



CX>,i: d:i<i-;!;rdi:: 



I Tclj Uii;::!;:! 



Kc. Yi'c.-i 



80 300 



'00 



8fl. 



laod 00 lj!iiH±rii-t:l2!L: 



I 80 boo ;00 



CEKXSAL rvFCRM.'.TION 



v:}() no 



A.'t you dcrciii.-l ir, i,-,y lulu c: l::ti 
Hive ycM r<c- li''.j: li.-ir\;r<c-.? '^•° 



1 



209 



Maureen M. Carr 

Mutual Funds Mkt. Value 

Government Income Securities Inc. 30,837 

Thompson Opportunity Fund Class B 24,223 

TOTAL 55,060 

CMA Money Fund 12,710 



210 



NET~WORTH 



Megan Carr 

Provide z cc:-o!c'.c, cuircr.i TL-.i-Tcial ml wonh sLiicmcnl which iLcrr^iics Lt ccHi) 
?JJ aisr.15 (Inci'-'ding bi-^i zccoun'^, rti] ts'Ji'c, stcuricics, CrosLs, LivcstiTicnLs, zi\6 oihitr fLi^uiciil 
holdings) Ell liabUJDcs ('ir.cl-jdinE dcbu. monsascs, loins, lad oih-r fLTi^nci^l cblisacons) of 
yo-dn-clf, youx spouse, End oihcr Ltuntdijii memb:n of your household. 



/.SSITS 



Zi^>i en tA.1- -i4 i^ bwOti 



U.S. Covt.-::ZJer.l lecw.: 



Lir.=i tcicHo'u-wld jitirfuOc 



U.-jJilid ncirilici--tdi Ki:i;!c 



n'j L-.d nout rMeivjo;c: 



I>J« £r:r-. ich'jvci i-'d titj-.d; 



I\-t tr- c--'i^-> 



r<u^.^..i 



F.cii cJl^ c--td-.i-; 



7.1.0 i -.-.^'.-. rr-C.-.-z.^ i:;:;-.v:--.: 



CSt, vi!>t-l;.'c i-.:-.: 






Tc— 1 /■J.W.J 



I m;n TTTT.; 



10 



!OO0 



00 



81 



200 



00 



NoUu p^yiilc Lo ti.-LC - iicrec 



It'olu pijiblt Is ti.-\fa -CA3 ccM.*id 



h'oV;! piyi^U U) rtjiiva 



KoUJ paytble l3 ol^t.1 



/.:xo'i.-iU Uni bDlj du5 



Unpiid lr»i3r-.c Ux 



O-Si.- i:.-.,:^ii uj; i.-,5 L-'.;.-:-.', 



r.cJ till'.: Kcr^iju pty>i;c-ii£ 






C>.>^: d;^^-:u:7i.^: 



12| 50 



(j OC 



'T 



103 






700i 



00 



7c^ liiliiijti 



Kf. v.'c.--: 



fl_aa 



T:t! liiilliiii ir>i f>:l i-cri 



GENTSja rvr C^^M-^TION 




I 103 |.700 |00 



^;) no 



C- bii:: c-c:r.tK:L: 



' L:;0 Cliir 



A.-: ye.; <?.; fcii.-.! l-. ^-y r.;!'.; c: i::i^ 
K-.ve ycu OC- U.v_.: li.-irj;<r,? "° 



C S : •;-:- 



211 



Megan A. Carr 

Mutual Funds Mkt. Value 

Government Income Securities Inc. 19,866 

Thompson Opportunity Fund Class B 27,651 

Thompson Target Fund 29,974 

TOTAL 7744915,255 

CBA Money Fund 3,754 



212 



NETTTORTH 



Darrah Carr 



Prcvidc 2 co:p.ph:z, currcr.i fuiincijJ ntl wcrOi sLiicmcni which i'^rrji^s Ln cc'^ 
Eil lisr.Ls (Lncl'jdlng bi/ii icccur.-^, rtil csLiii, stcuridcs, trusu, invcstmcni^, cs,t c'J-.cr fLnyiciiJ 
r,c;di-igs) ell lizbllidcs ('Locljclins dcbj, mongascs, loinj, lad oihtr fLnir.ciii cblijiuons) of 
youn^lT, your ypo-osc, a.nd other immtdjiii m:mbtrs of your household. 



ass: 



U.^5ILJTiL; 



C:.:h en hir.d S-'i^ in bu-JLJ 
U.S. Gov£.':i=>"il ieiV.-;; = - 



. Ll.''.c::i ^cJKL':Dci-^4id ichrdjlc 



10 Uo-q 00 



06 



Kolu p*yii>?c lo bAAJs - ii^nrcti 



KoLu piyL^ilc l3 b-i.-iki-v.'ucc-jL.*;^ 



500 00 KoU! piyi^b L> nlidvc 



• U.-JJlU/S KC-.ri;ic>--tA! xitdj!; 



ArccwT'j t.-.d ncL£i rcciiivjoic: 



I>jc frsr-, jcli'Jvcs xr.d LSc*.— 



D'j: £r;-~ o,.=.'i 



I>oi.':-J-l 



r.eJ c:li.; <:--.-^-^ii sc>.-.i:'.= 



^tJ eiUL: irc.-'.rilii lEsivi:.; 



/.•;.;: I.-C c'.-.e: pif^c::. fr. 



C1.--1 M.'.>:-lL'e i.-.:u.-i.-i: 



OOm: i^:-- 



7cU) A.'J^U 



1 , Ko:;: psyib'.c t) olicT 



>.:^'inU t.-:! bOil d-j 



Ur.pijd L'.ia:nt Ixx 



ChSc- L-.iiid Ui i.->i i/^U.'r;t 



cov7T.'ce;kt u-'^arms 



2 000 



98 



00 



y.tij ciU'j rrcrj;ijt5 piyjilc-:^ 



x-'.tJuJo 



C^.trc^ (ncr;i£ej xid olVr lii.-j piv. 



0^£; (Ui-:j-;unil 



50d 00 



^J Li^^L!! 



?.-c: Vc:i 



I 98 I 500 



_op 

'00 



7c'.i! L':ilIi-_- «.-vJ ncl ---r 



I 98 I 500 too 



CENTRAL r^TCRM.'i.TlON 



: t=ic:si--, co.T.rj;:: cr rji.-i^".2.- 



,!.-t :.r/ i;^'j p!c!j-u:? (Adi k 
>j£) no 



L- biit: c- cc-Sic'ji 



l.c:i.'CliL-J 



L:i=rj7 no 



£ :-r z-<-iz\i-:::Ui^^l.^-zy ^^ 



V.--1C y.i c-fC li'-: ti.-:cvv:~' '"■° 









1_J— L 



213 



Eileen M. Carr, Custodian 
Darrah E. Carr 

Mutual Funds Mkt. Value 

Government Income Securities Inc. 16,973 

Thompson Opportunity Fund Class B 33,776 

Thompson Target Fund 29,974 

TOTAL 80,723 

CBA Money Fund 5,754 



214 



NET-V«ORTH 

Caitlin Carr . 

Provide 2 complc'.c, cuircr.l ru-.-iciil nal worOi sLiiimcnl which i'xrrJics b dtlii! 

rJ\ eisr.is (unci 'J ding birJ: iccounu, rta) tsuie, stcuridcs, trusls, uivcsoncnii, Jjid ol^,c^ fu-.jjicijJ 

holdings) eH liabiiiocs (L-.d-jdi/ig ckbu, mongascs, loins, md oihtr finincizj cbbgjcons) of 

YOun<L'', your rDoust, ^-^6 oihcr Lnvnciiiii mcmbtrs of you,' hcuschold. 



SSITS 



lijh en tJ-"i^ ~fi in b^"j-: 



U.S. Gcvtriirjcnl icc\;r.-ti--*^i- 



Llr^ tMJ^HozLj-tii jchrtlclr 



Urj4'.-J K:ciri:ici--iid ycicdj'^ 



; tnd noui nccivioi:: 



D-Jt t=n-. jdi'Jrt: Lri tii.-.t: 



D-JC fcvm o'J-.i:i 



I>;v;;:f-1 



F.ti! c:Ll;c c--T.eJ--t-:- 



?.tJ c-.U'i irc-^iri: i = ::vj.-.: 



AtL:; L-i cL-.er pir-io:;. prrr-: 



Ci;Svi;;^-U/c {^sc/;.^- 



o:-.: 



7oUl A-<i!Lj 



covn?-;cENT Liksiimzs 



/_s c=d=::^', cc.T.Xk't.' cr r.-i 



Cl; Uiic! c- Knti:^ 



'_;rj C!iL-rs 









LLKSaJTIL: 



10 !000! 



00 



83 



900100 



Nolr.j p*ytb!e Ui b^-Jc - u-r,:/cd 



KoLij piyiile to ti.'xi^ -v/u eo^-t^ 



>iO'j:i piyi^U L3 rt-iavc 



1 



Nolc: piytb!: 13 olitr: 



/.tco'X-iU t.id tUla d'ja 



1 Unpiid iftZJC-i Ui 



I OJ-,'-- C'.pjjd Ui l.-,i L-^l 



F.ti3 ciU'^ n=-^ijM piyii:c-idc 



Ch!j::-J c-.r 



s.-^(i olV: Ijirj pi 



O^r.; cU^^j-lUru2^: 



5O0 00 



94 



ToLJ liiiUJ:;;! 



I J.'c'.Vcri 



4001 00 1 ■J''^'^ liiiJi:-- l-J ncl --xr,i 



CEKXRAJLI>7CR-M.'lT10N 



v:!;) no 



I ! Kive yc>- r'c; liV_.; t i.-ir-,' ;< c-^ ' " ° 




215 



Eileen M. Carr, Custodian 
Caitlin E. Carr 

Mutual Funds Mkt. Value 

Government Income Securities, Inc. 15,987 

Thompson Opportunity Fund Class B 19,593 

Thompson Target Fund 43,041 

TOTAL 78,621 

CBA Money Fund 5,222 



216 

III, GENERAL (PUBLIC) 



An ethical consideration under Canon 2 of the American Bar 
Association's Code of Professional Responsibility calls for 
"every lawyer, regardless of professional prominence or 
professional workload, to find some time to participate in 
serving the disadvantaged." Describe what you have done to 
fulfill these responsibilities, listing specific instances and 
the amount of time devoted to each. 

For more than three years I was a volunteer attorney working 
with a legal aid program developed and implemented by the 
Church Federation of Greater Chicago. This work, which I began 
while employed with the law firm, encouraged me to become 
employed as a legal aid attorney with the Cc3ok County Legal 
Assistance Foundation. After working for about a year in an 
office in Englewood on Chicago's South Side, I sat up and 
helped to staff an office sponsored by our parish in Rogers 
Park, in Northeast Chicago. 

While a law professor at the University of Toledo, my 
principal areas of responsibility were the Law School's 
criminal law clinical programs. In addition to a defender and 
prosecutor component, I developed a consumer protection 
clinical program. This program enhanced considerably the 
ability of the City of Toledo's Consumer Protection Agency to 
enforce ordinances and statutes intended to protect consumers. 

In addition, I implemented a program through the University's 
financial aid office whereby financially needy students were 
placed in law-related positions with governmental agencies and 
offices in our area. This program enabled many students who 
either would not have received financial aid or who would not 
have received law-related experience to gain those benefits. 

I was one of the founders in 1974 of the Toledo Area Center 
for the Prevention of Child Abuse and Neglect, which 
ultimately became the Fcimily and Child Abuse Prevention 
Center. I served on that board until 1981. In addition, I 
served on the Lucas County Mental Health Board, Lucas County 
Children Services Board, and Lucas County Childrens Trust 
Fund. The time expended on these activities was, I estimate, 
about six hours monthly as a general rule, and more on 
occasion. 

The American Bar Association's Commentary to its Code of 
Judicial Conduct states that it is inappropriate for a judge 
tu hold membership in any organization that invidiously 
discriminates on the basis of race, sex, or religion. Do you 
currently belong, or have you belonged, to any organization 

39 



217 



which discriminates — through either formal membership 
requirements or the practical implementation of membership 
policies? If so, list, with dates of membership. What have 
you done to try to change these policies? 

I belong to no organizations that discriminate. 

While a college student, I was a member of a fraternity that 
denied admission to a Jewish student on the basis of the 
refusal of a single member to vote for his admission. I, along 
with all the other members, wanted him to become a member, 
argued unsuccessfully against that refusal, and voted in favor 
of his admission. 

Is there a selection commission in your jurisdiction to 
recommend candidates for nomination to the federal courts? If 
so, did it recommend your nomination? Please describe your 
experience in the entire judicial selection process, from 
beginning to end (including the circumstances which led to 
your nomination and interviews in which you participated) . 

The Toledo Bar Association interviewed candidates for the 
federal bench in May, 1993, and I was recommended for 
appointment . 

I was contacted by the Bar Association, and submitted a resume 
and was scheduled for an interview. That was the extent of the 
Bar Association's process. 

My efforts to secure a nomination began in late Summer, 1993, 
when I expressed my desire to be nominated and asked the 
support of local Democratic political leaders. Thereafter I 
informed some attorneys of my interest. In addition, I spoke 
with several other persons in Toledo and elsewhere about my 
desire to be nominated. When asked by anyone with whom I spoke 
as to what they could do, I told them that they could write 
letters (without sending copies to me) to our Senators and 
otherwise speak favorably about me and my qualifications. As 
a result of these efforts and, I believe, my performance as a 
Magistrate Judge, I was interviewed by senatorial staff 
members and our Senators. After they recommended that I be 
nominated, I was interviewed by representatives of the Office 
of Policy Development of the Justice Department, investigated 
by the F.B.I. , and interviewed by a representative of the 
American Bar Association. 



40 



218 



Has anyone involved in the process of selecting you as a 
judicial nominee discussed with you any specific case, legal 
issue or question in a manner that could reasonably be 
interpreted as asking how you would rule on such case, issue, 
or question? If so, please explain fully. 

No 

Please discuss your views on the following criticism involving 
"judicial activism." 

The role of the Federal judiciary within the Federal 
government, and within society generally, has become the 
subject of increasing controversy in recent years. It has 
become the target of both popular and academic criticism that 
alleges that the judicial branch has usurped many of the 
prerogatives of other branches and levels of 'government . 

Some of the characteristics of this "judicial activism" have 
been said to include; 

a. A tendency by the judiciary toward problem-solution 

rather than grievance-resolution; 

b. A tendency by the judiciary to employ the plaintiff 
as a vehicle for the imposition of far-reaching 
orders extending to broad classes of individuals; 

c. A tendency by the judiciary to impose broad 
affirmative duties upon governments and society; 

d. A tendency by the judiciary toward loosening 
jurisdictional requirements such as standing and 
ripeness; and 

e. A tendency by the judiciary to impose itself upon 
other institutions in the manner of an 
administrator with continuing oversight 
responsibilities . 

I believe that judicial power should be exercised with 
restraint, but that it should also be exercised effectively 
when required by the Constitution and laws of the United 
States . 

A judge must give the parties a full and fair hearing, seek to 
ascertain the facts from the evidence, and apply the law as 
best it can be discerned. A Judge is to implement the law, 
and, in doing so, to refrain from imposing personal 
preferences or political or policy choices. 



41 



219 



A judge's primary responsibility is not merely to decide 
disputes, but to end them. He or she is most likely to 
accomplish that objective by maintaining not only the 
appearance but preserving the actuality of impartiality, 
trying to make clear to the litigants and their counsel that 
their case is as important to him or her as it is to them, and 
sending the parties from the courtroom with a sense that they 
could receive no more fair or attentive hearing anywhere else. 
If the judge is able to do so, the unsuccessful litigant is 
more likely to accept the outcome, leave off the distraction 
and disruption of litigation, and begin to restore his or her 
life to more useful and productive pursuits . 

Judicial authority is most appropriately viewed as 
restrictive, rather than aggressive. Correction of 
constitutional deficiency is generally limited to directing 
that such deficiency be remedied by those .responsible for 
causing the constitutional problem. The executive and 
legislative branches are primarily responsible for 
accomplishing compliance with constitutional and legal 
obligations. The role of the judiciary is in general 
supplementary — to assist by prohibiting, when such is 
necessary — but not to usurp or supplant the authority and 
responsibility of the other branches of government. 

My view that judicial power is to be exercised with restraint 
reflects my understanding of the duty of the judiciary under 
the Constitution. It reflects as well a perception that 
excessive judicial entanglement in the activities of other 
institutions impairs not only those institutions, but can 
adversely affect the judiciary as well. Such adverse effects 
include diversion of scarce judicial resources from other 
matters for which the judiciary is responsible and a 
diminution of public respect for the judiciary as a neutral 
arbiter of disputes. 



42 



220 



I. BIOGRAPHICAL INFORMATION (PUBLIC) 

Full name (include any former names used.) 

CLARENCE COOPER 

Address: List current place of residence and office 
address (es) . 

Office Address: Georgia Court of Appeals 

4 08 State Judicial Building 
Atlanta, Georgia 30334 

Home Address: 3203 Kingsdale Drive, S.W. 

Atlanta, Georgia 30311 

Date and place of birth. 

May 5, 1942; Decatur (DeKalb County) Georgia 

Marital Status (include maiden name of wife, or husband's 
name) . List spouse's occupation, employer's name and 
business address (es). 

Date of Marriage: November 24, 1973 

Wife's Maiden Name: Shirley Mae Elder 

Occupation: Food Services Coordinator (Nutritionist) 

School Nutrition Program 

Fulton County School System 

5270 Northfield Blvd. 

College Park, Georgia 30349 

Education: List each college and law school you have 
attended, including dates of attendance, degrees 
received, and dates degrees were granted. 

Harvard University 

John F. Kennedy School of Government 

Cambridge, Massachusetts 

Degree: Master's In Public Administration 

Year: June 1978 

Massachusetts Institute of Technology 

Community Fellow Program 

Department of Urban Studies & Planning 

Degree: Diploma 

Year: June 1978 



221 



National College of the State Judiciary 
School for Judges 
Reno, Nevada 
Degree: Diploma 
Year: 1977 & 1981 

Leadership Georgia 
Leadership Training Program 
Atlanta, Georgia 
Degree: Certificate 
Year: 1976 

Leadership Atlanta 
Leadership Training Program 
Atlanta, Georgia 
Degree: Certificate 
Year: 1975 

Howard University School of Law 

Washington, D.C. 20059 

Dates attended: 1964 - 1965 

Reason for leaving: Transferred to Emory University to 

integrate its law school in 1965 

Emory University School of Law 
1380 Oxford Rd. , N.E. 
Atlanta, Georgia 30322 
Degree: Juris Doctor (1967) 
Year: 1965 - 1967 

Clark College (N/K/A Clark Atlanta University) 
James P. Brawley & Fair 
Atlanta, Georgia 30314 
Degree : B . A . H i story 
Year: 1960-1964 

Employment Record: List (by year) all business or 
professional corporations, companies, firms, or other 
enterprises, partnerships, institutions and organizations, 
nonprofit or otherwise, including firms, with which you were 
connected as an officer, director, partner, proprietor, or 
employee since graduation from college. 

From 12/9/85 to 12/2/88, I served on the board of 
directors of the International Friendship Force, which is 
a non-profit organization that promotes peace and good will 
among people of the world through cultural exchanges which 
allow foreigners and Americans to visit with one another as 
hosts and guests in their respective countries. 



222 



In 1990, I becaine a member of the board of directors of the 
Atlanta Convention & Visitors Bureau, a non-profit organiza- 
tion whose primary responsibility is to market the City of 
Atlanta in such a way that tourists and conventions are 
attracted to the City. Because I am a sitting judge, my 
participation is limited and I do not participate in any 
fundraising activities, nor do I allow my name to be used 
in connection with any marketing strategy. 

I serve on the board of directors of the Metropolitan 
Atlanta Community Foundation, having been appointed to the 
board in 1990. This is a philanthropic organization whose 
primary objective is to fund community-based programs that 
will address various community needs and have a positive 
impact on the social and economic conditions of a particular 
community. Through small grants, we are able to promote the 
general welfare of many neighborhoods and communities. 

In 1993, I agreed to serve on the board of directors of the 
Georgia Health Decisions, which is a non-profit organization 
whose board represents a cross-section of the state on 
various health issues. This organization is now in the 
process of gathering data on how Georgians view their health 
care system and how Georgians prioritize their health needs. 

Fulltime Employment ; 

Georgia Court of Appeals 1990-Present 

Fulton Superior Court 1980-1990 

The City of Atlanta Municipal Court 1975-1980 

Fulton County District Attorney's Office 1968-1975 

Atlanta Legal Aid Society 1967-1968 

7. Military Service: Have you had any military service? If 
so, give particulars, including the dates, branch of 
service, rank or rate, serial number and type of discharge 
received. 

Yes 

U.S. Army 

1968 to 1970 

E-6; Serial # US 53 457 468 

Honorable Discharge 

8. Honors and Awards; List any scholarships, fellowships, 
honorary degrees, and honorary society memberships that you 
believe would be of interest to the Committee. 

Omega Man of the Year Award, 1991 (Highest award given by 
Omega Psi Phi Fraternity) 



223 



Al Thompson Award for Community Service, 100% Wrong Club, 
1989 

Thurgood Marshall Award, Outstanding Jurist, NAACP, 1988 

Community Fellows Program, M.I.T., 1978 

One of the Most Outstanding Men of America, 1974 

Bronze Star, U.S. Army, 1970 (for tour of duty in Vietnam) 

Certificate (or letter) of Commendation, U.S. Army, 1968 

National Defense Service Medal, U.S. Army 

Good Conduct Medal, U.S. Army 

Vietnam Service Medal, U.S. Army 

Vietnam Company Medal, U.S. Army 

Man of the Year, Clark College, 1982 

Most Studious, Clark College, 1964 

Bicentennial Panel, 1987 

9. Bar Associations; List all bar associations, legal or 
judicial-related committees or conferences of which you are 
or have been a member and give the titles and dates of any 
offices which you have held in such groups. 

Lawyers Club of Atlanta State Bar of Georgia 

Federal Bar Association Atlanta Bar Association 

National Bar Association Gate City Bar Association 

American Bar Association Old Warhorse Lawyer's Club 
Supreme Court Commission on 

Racial & Ethnic Bias in the 

Court System 

10. Other Memberships; List all organizations to which you 
belong that are active in lobbying before public bodies. 
Please list all other organizations to which you belong. 

Butler Street Y.M.C.A. 

Atlanta Urban League 

The Friendship Force International 

The Atlanta Branch NAACP (Active in Lobbying) 

The Atlanta Convention & Visitors Bureau 

Metropolitan Atlanta Community Foundation 

Georgia Alliance for Children (Active in Lobbying) 

Omega Psi Phi Fraternity 



224 



Kappa Boule (Sigma Pi Phi Fraternity) 
100 Black Men of Atlanta 
Georgia Health Decisions 

11. Court Admission: List all courts in which you have been 
admitted to practice, with dates of admission and lapses if 
any such memberships lapsed. Please explain the reason for 
any lapse of membership. Give the same information for 
administrative bodies which require special admission to 
practice. 

Superior Courts of Georgia, 1967 

State Courts of Georgia, 1967 

Georgia Court of Appeals, 1967 

Georgia Supreme Court, 1967 

U. S. District Court of the Northern District of 

Georgia, 1967 

12. Published Writings ; List the titles, publishers, and dates 
of books, articles, reports, or other published material you 
have written or edited. Please supply one copy of all 
published material not readily available to the Committee. 
Also, please supply a copy of all speeches by you on issues 
involving constitutional law or legal policy. If there were 
press reports about the speech, and they are readily 
available to you, please supply them. 

"The Judiciary and Its Budget," Massachusetts Institute 
of Technology, Community Fellows Program, 1978 
(See Attachment lA) 

The Atlanta Fulton County Juvenile Justice Commission 
Report, 1986 (I chaired the commission and was responsible 
for the content of the report) (See Attachment IB) 

"A Judge ' s Remarks to New Bar Admittees , " YLS News , 
February 1989, pp. 2 and 3. (See Attachment IC) 

Note: Z have not given any speeches or written any articles 
involving constitutional law or legal policy. 

13. Health : What is the present state of your health? List the 
date of your last physical examination. 

My health is good. 

June, 1993 (date of last physical) 

14. Judicial Office : State (chronologically) any judicial 
offices you have held, whether such position was elected or 
appointed, and a description of the jurisdiction of each 
such court. 



225 



city of Atlanta Municipal Court/ 1975-80 (appointed) 

The City Municipal Court of the City of Atlanta has 

jurisdiction over all cases involving the violation 

of municipal ordinances and also has jurisdiction to hold 
preliminary hearings. 

Fulton Superior Court/ 1980-1990 (elected) 

The Superior Courts of Georgia exercise original, exclusive 
and/or concurrent jurisdiction in all civil and criminal 
cases granted to them by the constitution and laws of 
Georgia. They also exercise the power of a court of equity 
and have appellate jurisdiction in some instances. 

Georgia Court of Appeals/ 1990-Present 

The Court of Appeals is a court of review and exercises 
appellate and certiorari jurisdiction in all cases not 
reserved to the Supreme Court or conferred on other 
courts by law. The decisions of the Court of Appeals 
insofar as not in conflict with those of the Supreme 
Court shall bind all courts except the Supreme Court 
as precedents. 

*The following percentages reflect my trial court experience as 
well as my appellate court experience: 

What percentage of your litigation was: 

Civil 70% 
Criminal 30% 

PERCENTAGE OF CASES PRESIDED OVER 

Number Role 

Jury Trials 200 (est.) (62.5%) Trial Judge 
Bench Trials 120 (est.) (37.5%) Trial Judge 
Appeals Court * 1,080 (est.) Appellate Judge 

♦Opinions 



15. Citations: If you are or have been a judge, provide: 

(1) citations for the ten most significant opinions you have 
written: (If published, give name of case and citations) 

(2) a short summary of and citations for all appellate 
opinions where your decisions were reversed or where your 
judgment was affirmed with significant criticism of your 
substantive or procedural rulings; and (3) citations for 



226 



significant opinions on federal or state constitutional 
issues, together with the citation to appellate court 
rulings on such opinions. If any of the opinions listed 
were not officially reported, please provide copies of the 
opinions. 

Note; See Attachment 2A for citations for ten most 
significant opinions written and Attachment 2B. a short summary 
and citations for opinions reversed or where judgment was 
affirmed with significant criticism. As to (3) . I have not, 
during my tenure on the Georgia Court of Appeals, handled any 
federal or constitutional issues inasmuch as these issues are 
reserved exclusively for the Georgia Supreme Court. 

16. Public Office ; State (chronologically) any public office 
you have held, other than judicial offices, including the 
terms of service and whether such positions were elected or 
appointed. State (chronologically) any unsuccessful 
candidacies for elective public office. 

I have held no other public office, other than judicial. 
In 1973, I was an unsuccessful candidate for seat on the 
Fulton County Commission. 

17. Legal Career ; Note: See explanation below 

a. Describe chronologically your law practice and 
experience after graduation from law school 
including: 

1. whether you served as clerk to a judge, 
and if so, the name of the judge, the 
court, and the dates of the period you 
were a clerk; 

2. whether you practiced alone, and if so, 
the addresses and dates; 

3. the dates, names and addresses of law firms 
or offices, companies or governmental 
agencies with which you have been connected, 
and the nature of your connection with each; 

EXPLANATION: Chronological description of law practice 
experience 

After finishing law school, I was actively engaged in 

the practice of law between 1967 and 1975, and occupied the 

following positions: 

Assistant District Attorney 
Fulton County (1968 -1975) 



227 



Fulton County District Attorney's Office 
13 6 Pryor Street, S.W. 
Atlanta, Georgia 30303 

While employed as an assistant district attorney, I was 
drafted into the U.S. Army and was subsequently granted a 
military leave by the District Attorney to fulfill my 
military obligation. 

Law Clerk, JAGC Office 
U.S. Army (1968-1970) 
Department of Army 
Washington, D.C. 

While serving my country as a GI in Vietnam it was my job to 
process claims for and against the U.S. Army. 

Attorney 

Atlanta Legal Aid Society (1967) 

151 Spring Street 

Atlanta, Georgia 30335 

During my employment with the Atlanta Legal Aid Society, 
I represented poor people who could not afford to hire 
private counsel to represent them in litigated civil 
disputes. 

b. 1. What has been the general character of your law 

practice, dividing it into periods with dates if 
its character has changed over the years? 

As an Assistant District Attorney, I was in charge 
of two departments: Automobile Condemnations and 
Uniform Reciprocal Enforcement of Child Support. 

2. Describe your typical former clients, and mention 
the areas, if any, in which you have specialized. 

I represented poor people as a legal aid attorney. 
As an Assistant District Attorney, I represented 
the State of Georgia. (Prior to becoming a judge, 
I had always worked in the public sector.) 

c. 1. Did you appear in court frequently, occasionally, 

or not at all? If the frequency of your 
appearances in court varied, describe each such 
variance, giving dates. 

I appeared in court from time-to-time in my 
capacity as both a prosecutor (1968-75) and an 
attorney for legal aid (1967) representing 
indigents. 

8 



228 



2. What percentage of these appearances was in: 

(a) FEDERAL COURT 1% 

(b) STATE COURTS 96% 

(c) OTHER COURTS (Juvenile Court) 3% 

3. What percentage of your litigation was: 

(a) civil; 95% 

(b) criminal. 5% 

4. State the number of cases in courts of record 
you tried to verdict or judgment (rather than 
settled) , indicating whether you were sole 
counsel, chief counsel, or associate counsel. 

CRIMINAL - Approx. 15 cases (sole counsel) 
CIVIL - Approx. 15 cases (sole counsel) 

5. What percentage of these trials was: 

(a) jury; 1% 

(b) non-jury. 99% 

18. Litigation: Describe the ten most significant litigated 
matters which you personally handled. Give the citations, 
if the cases were reported, and the docket number and date 
if unreported. Give a capsule summary of the substance of 
each case. Identify the party or parties whom you 
represented; describe in detail the nature of your 
participation in the litigation and the final disposition of 
the case. Also state as to each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge or 
judges before whom the case was litigated; and 

(c) The individual name, addresses, and telephone numbers 
of co-counsel and of principal counsel for each of the 
other parties. 

(See Attachment 3) 

19. Legal Activities: Describe the most significant legal 
activities you have pursued, including significant 
litigation which did not progress to trial or legal matters 
that did not involve litigation. Describe the nature of 
your participation in this question, please omit any 
information protected by the attorney-client privilege 
(unless the privilege has been waived.) 



229 



In the case of Charlotte Buckner. individually and as 
natural mother of Tameka Buckner. deceased and Kina 
Buckner. deceased v. Brown Transport (companion cases: 
Fulton Superior Court civil action nos. D-29931, 
D-29932, and D-29933) a wrongful death action, I was 
instrumental in getting the parties to settle a complicated 
case (involving the application of Alabama law) that would 
have taken quite a while to try. My involvement in the case 
came at the request of counsel, who felt too much was at 
stake for both parties. The case settled for four million 
dollars. 

I currently co-chair the Georgia Supreme Court Commission on 
Racial & Ethnic Bias in the Court System. The commission is 
now conducting public hearings throughout the state in an 
effort to ascertain whether or not the problem (be it actual 
or perceptual) is systemic in nature. After the commission 
concludes its fact-finding mission, it will submit a written 
report to the Supreme Court of Georgia with recommendations. 



10 



/ 



230 



II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 

List sources, amounts and dates of all anticipated receipts 
from deferred income arrangements, stock, options, 
uncompleted contracts and other future benefits which you 
expect to derive from previous business relationships, 
professional services, firm memberships, former employers, 
clients, or customers. Please describe the arrangements 
you have made to be compensated in the future for any 
financial or business interest. 

While serving as a Superior Court Judge in Fulton County, 
I participated in the county's deferred compensation 
plan for several years. My participation in the plan 
automatically terminated when I was appointed to fill a 
vacancy on the Georgia Court of Appeals. I allowed the 
sum of money that had been deferred to remain with the 
investor until the year 2002, at which time the amount 
deferred will be returned to me in periodic monthly 
payments over a period of time. 

As an Appellate Court Judge, I now particpate in the 
State of Georgia's deferred compensation plan. My 
participation will terminate when I leave the Georgia Court 
of Appeals for the federal bench. At that time I plan 
to make the same arrangements with the State investor 
as I did with the County investor. That is to say, 
I will allow whatever sum has accumulated to remain 
with the investor until the year 2002. 

I also own shares of stock in the Coca Cola Company, 
Toys R Us, Home Depot and CEMAX. Should cases 
be assigned to me involving any or all of the above 
companies, I shall make it known to the parties an 
recuse myself from presiding over such cases. In the 
alternative I may decide to sell my stock. 

Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the 
categories of litigation and financial arrangements 
that are likely to present potential conf licts-of- 
interest during your initial service in the position 
to which you have been nominated. 

Should cases be assigned to my division of court involving 
any or all of the aforementioned companies, I shall make 
it known to the parties and ask to be recused from the 
case. I intend to follow the guidelines of the Code 
of Judicial Conduct as it relates to conflicts. 



11 



231 



I can foresee the possibility of one of the companies in 
' which I have a financial interest becoming a party to a 
ivil lawsuit assigned to my division of court; and if 
such were to occur, I would resolve the conflict or 
potential conflict in the manner described above. 

3. Do you have any plans, commitments, or agreements to pursue 
outside employment, with or without compensation, during 
your service with the court? If so, explain. 

No 

4. List sources and amounts of all income received during the 
calendar year preceding your nomination and for the current 
calendar year, including all salaries, fees, dividends, 
interest, gifts, rents, royalties, patents, honoraria, and 
other items exceeding $500 or more (If you prefer to do so, 
copies of the financial disclosure report, required by the 
Ethics in Government Act of 1978, may be subtituted here.) 

See attached Financial Disclosure Report. 

5. Please complete the attached financial net worth statement 
in detail (Add schedules as called for) 

(See Attachment 4) 

6. Have you ever held a position or played a role in a 
political campaign? If so, please identify the 
particulars of the campaign, including the candidate, 
dates of the ampaign, your title and responsibilities. 

No, I have never held a position nor played a role in 
a political campaign. However, while in law school, I 
did distribute campaign literature for Representative 
William Alexander, who was seeking re-election to his 
House seat in the Georgia General Assembly in 1966. 
Mr. Alexander is now a Fulton Superior Court judge. 
My role was so minor that I doubt if he will remember. 



12 



232 



III. GENERAL (PUBLIC) 

An ethical consideration under Canon 2 of the American Bar 
Association's Code of Professional Responsibility calls for 
"every lawyer, regardless of professional prominence or 
professional workload, to find some time to particiapte in 
serving the disadvantaged." Describe what you have done to 
fulfill these responsibilities, listing specific instances 
and the amount of time devoted to each. 

As a judge, I cannot engage in pro bono legal work. 
However, I do represent the Georgia Court of Appeals 
on the State Bar ' s Pro Bono Committee and have given 
speeches encouraging lawyers to become more invovled 
in pro bono cases. 

I also serve on the Advisory Committee for the 
International Friendship Force. The Friendship Force 
promotes international exchanges between and among people 
from different parts of the world. (One might say that the 
Friendship Force serves as an unofficial ambassador for 
this country.) 

The American Bar Association's Commentary to its Code of 
Judicial Conduct states that it is inappropriate for a 
judge to hold membership in any organization that 
invidiously discriminates on the basis of race, sex, or 
religion. Do you currently belong, or have you belonged, 
to any organization which discriminates — through either 
formal membership requirements or the practical imple- 
mentation of membership policies? If so, list, with 
dates of membership. What have you done to try to 
change these policies? 

No 

Is there a selection commission in your jurisdiction to 
recommend candidates for nomination to the federal courts? 
If so, did it recommend your nomination? Please describe 
your experience in the entire judicial selection process, 
from beginning to end (including the circumstances which 
led to your nomination and interviews in which you 
participated) . 

Yes 

Shortly after President Clinton took office, I was told that 
two federal district court judges in Atlanta, Marvin Shoob 
and Richard Freeman, had taken Senior Judges status, thereby 
creating two judicial vacancies that were to be filled by 
presidential appointment. 



13 



/ 

/ 



1 



233 



Because I had been a judge for over 17 years and had always 
wanted to become a federal judge, I immediately wrote 
Senator Sam Nunn and expressed a desire to fill one of the 
two vacancies in the Atlanta area. Senator Nunn, in a 
letter to me, stated that a judicial screening committee 
would be created to interview applicants who were 
interested in federal judgeships and that the screening 
committee would contact me. After the committee was 
created, the committee, in response to my letter to Senator 
Nunn, sent me a questionnaire to be executed and returned to 
Senator Nunn and the members of the screening committee. 
I executed the questionnaire and mailed copies of my 
responses to Senator Nunn and the nine member Judicial 
Screening Committee. 

Several weeks later, I was contacted by a member of the 
judicial screening committee and told when and where to 
report for my interview with the committee. I was 
interviewed by the nine-member committee for approximately 
one hour. My interview was thorough but friendly, and each 
member questioned me relative to my qualifications to serve 
as a federal district court judge. 

A few weeks after my initial interview, I received a 
telephone call from an aide in Senator Nunn's office to 
schedule a personal confidential interview. My interveiw 
with Senator Nunn lasted at least 4 5 minutes to and an hour. 
We discussed my qualifications, my views on judicial 
activism and a host of other law related issues. At the end 
of the interview Senator Nunn told me that I would be 
hearing from his office soon. 

Several weeks following my interview with Senator Nunn, 
he telephoned me at my residence and told me that he had 
decided to recommend me for appointment to fill one of 
the two vacancies on the federal district court bench in 
Atlanta and that he wanted my permission to recommend 
my name to the President of the United States. I, of 
course, was elated and gladly told him he had my 
permission to refer my name to the President. 

Since my interview with Senator Nunn, I have undergone 
background investigations conducted by the Department of 
Justice, the Federal Bureau of Investigation and the 
American Bar Association. Besides being personally 
interviewed, I have executed questionnaires and submitted 
documents pertinent to the information sought by each of 
these agencies. 

4 . Has anyone involved in the process of selecting you as a 

judicial nominee discussed with you any specific case, legal 
issue or question in a manner that could reasonably be 

14 



234 



interpreted as asking how you would rule on such case, 
issue, or question? If so, please explain fully. 

No 

5. Please discuss your views on the following criticism 
involving "judicial activism." 

The role of the Federal judiciary within the Federal 
government, and within society generally, has become the 
subject of increasing controversy in recent years. It has 
become the target of both popular and academic criticism 
that alleges that the judicial branch has usurped many of 
the perogatives of other branches and levels of government. 

Some of the characteristics of this "judicial activism: have 
been said to include: 

a. A tendency by the judiciary toward problem solving 
rather than grievance-resolution; 

b. A tendency by the judiciary to employ the individual 
plaintiff as a vehicle for the imposition of far- 
reaching orders extended to broad classes of 
individuals; 

c. A tendency by the judiciary to impose broad, 
affirmative duties upon governments and society; 

d. A tendency by the judiciary toward loosening 
jurisictional requirements such as standing and 
ripeness; and 

e. A tendency by the judiciary to impose itself upon 
other institutions int he manner of an administrator 
with continuing oversight responsibilities. 

If one were to define the role of a judge in 
our system of government, one would first 
refer to the concept of separation of powers 
in the United States Constitution. This 
concept not only clearly defines the role of 
the judiciary, but it also vividly defines 
what roles the other two branches of the 
government are to play. The judicial branch 
in conjunction with the legislative and 
executive branches of our government play a 
vital role in the administration of justice. 



15 



235 



Quite simply, a judge must interpret and 
apply the laws enacted by the legislative 
branch. A judge should not use his/her 
judicial position to enact laws since the 
enactment of laws is exclusively reserved to 
another branch of government. Nor should a 
judge execute laws since that function is 
exclusively reposed in the executive branch 
of government. Where the law is not clear, a 
judge should seek to determine the 
legislative intent as to the particular area 
of the law involved and guard against 
imposing his or her own personal view. 
Therefore, the concept of separation of 
powers as well as our system of checks and 
balances clearly delineates the respective 
roles of each branch of government. These 
roles should not overlap but complement one 
another. 

In short, it is the judge's responsibility to 
ensure not only a fair and impartial hearing, 
but also a hearing in a dignified, orderly 
manner. 

Once a judge clearly understands his/her role 
in the administration of justice, he/she must 
then focus on the legal issue (s) in cases 
before him/her. Before he/she can act in a 
judicial manner, he/she must ascertain 
whether or not the parties have standing and 
that the legal issue is ripe for resolution. 
He/she must then ascertain whether or not 
there exists precedent to guide him/her in 
his/her decision. Once he/she has done this, 
he/she must render a decision based upon the 
law. 



16 



236 



ATTACHMENT 2A 
(In response to question 15) 

CITATIONS TO TEN MOST SIGNIFICANT CASES 



1. Macon Telegraph Publishing Co. v. Tatuin . 208 Ga. App. Ill, 430 
S.E.2d 18 (1993) 

2. J & A Pipeline Co. v. DeKalb County . 208 Ga. App. 123, 430 S.E.2d 
13 (1993) 

3. Dorsev V. State . 206 Ga. App. 709, 426 S.E.2d 224 (1992) 

4. Weeks V. State . 206 Ga. App. 431, 425 S.E.2d 421 (1992) 

5. Circle H Development. Inc. v. Woodstock . 206 Ga. App. 473, 425 S.E. 
2d 891 (1992) 

6. Restina v. Crawford . 205 Ga. App. 887, 424 S.E. 2d 79 (1992) 

7. Shepard v. Federal Land Bank of Columbia . 205 Ga. App. 254, 421 
S.E. 2d 763 (1992) 

8. Agan v. State . 203 Ga. App. 363, 417 S.E. 2d 156 (1992) 

9. In re Jones . 198 Ga. App. 228, 401 S.E. 2d 278 (1990) 
10. Mapp V. State . 197 Ga. App. 7, 397 S.E. 2d 476 (1990) 



237 

ATTAC«MENT 2 B 
(In response to question 15) 

CASES REVERSED OR AFFIRMED WITH SIGNIFICANT CRITICISM 

1. Fountain v. Atlanta Casualty Co. . 200 Ga. App. 643, 409 S.E.2d 239 
(1991) , reversed in Atlanta Casualty Co. v. Fountain . 262 Ga. 16, 413 
S.E.2d 450 (1992) . ^ 

The Supreme Court reversed our opinion holding that the insurance 
company's declaratory judgment action was inappropriate because the 
petition for declaratory judgment did not disclose why the insurance 
company needed direction from the court. The Supreme Court reasoned 
that the insurance company had adequately demonstrated a need for a 
legal judgment that would control its future action. 

2. CSX Transportation. Inc. v. Levant . 200 Ga. App. 856, 410 S.E.2d 
299 (1991) , reversed in CSX Transportation. Inc. v. Levant . 262 Ga. 313, 
417 S.E.2d 320 (1992) . 

In this appeal of a personal injury action brought under the 
Federal Employer's Liability Act (FELA) , we upheld the jury's award of 
one million dollars to the plaintiff. The Supreme Court reversed, 
finding that the jury's award was excessive and that the jury must have 
been awarding punitive damages which are not allowed in FELA actions. 

3. Nelson V. Felton Pearson Co. . 195 Ga. App. 92, 392 S.E.2d 274 
(1990) , reversed in Felton Pearson Co. v. Nelson . 260 Ga. 513, 397 
S.E.2d 431) (1990) . 

The Supreme Court reversed our construction of OCGA 34-9-105 (b) , 
which sets forth the procedure for appealing a decision of the State 



238 



Board of Worker's Compensation. The Supreme Court construed the statute 
differently, noting that its construction was consistent with the policy 
of the statute in promoting a speedy resolution of worker's compensation 
cases . 

4. Baxlev Veneer & Clete Co. v. Maddox . 198 Ga. App. 235, 401 S.E.2d 
282 (1990) , reversed in Baxlev Veneer & Clete Co. v. Maddox . 261 Ga. 
309, 404 8.E.2d 554 (1991). 

On appeal, we held that there was evidence from which a jury 
could determine that there had been part performance of an oral contract 
such as to remove the contract from the operation of the statute of 
frauds. Consequently, we affirmed the trial court's denial of 
defendant's motion for directed verdict. The Supreme Court disagreed 
and reversed, finding that the evidence was not sufficient to reach the 
jury. 

5. Bliqe V. State . 205 Ga. App. 133, 421 S.E. 2d 547 (1992), reversed 
in Bliqe v. State . 263 Ga. 244, 430 S.E. 2d 761 (1993). 

The Supreme Court affirmed our decision which upheld the 
defendant's conviction. However, the Supreme Court disapproved our 
decision to the extent that it suggested that the State could comment 
on the defendant's failure to call an expert witness without laying the 
proper foundation. 

6. Findley v. Davis et al. . 202 Ga. App. 332, 414 S.E. 2d 317 (1991), 
reversed in Davis et al. v. Findley . 262 Ga. 612, 422 S.E. 2d 859 (1992). 



239 



On appeal, we held that plaintiff's allegation that defendant 
charged excessive fees for legal services in violation of the Code of 
Professional Responsibility was sufficient to sustain a claim for legal 
malpractice. The Supreme Court reversed, finding that a violation of 
the Code of Professional Responsibility alone could not establish a 
basis for a legal malpractice action. 

7. Corim. Inc. v. Belvin et al. . 202 Ga. App. 396, 414 S.E.2d 491 
(1991) , reversed in Crossroads Bank of Ga. et al. v. Corim. Inc. . 262 
Ga. 364, 418 S.E.Zd 601 (1992). 

The Supreme Court reversed our determination that a properly 
recorded judgment lien had priority over a perfected purchase money 
security interest. The Supreme Court construed two ambiguous statutes 
differently, holding that the general scheme of the UCC reflected a 
preference for purchase money security interests and that a judgment 
lienholder should not be equated with a lien creditor. 

8. Hummel v. Gainesville Radiology Group. P. C. . 205 Ga. App. 157, 421 
S.E.2d 333 (1992), reversed in Gainesville Radiolocrv Group. P. C. v. 
Hummel . 263 Ga. 91, 428 8.E.2d 786 (1993). 

The Supreme Court reversed our determination that a grossly 
inattentive juror's failure to answer a material question during voir 
dire was tantamount to giving an untruthful answer and could not be 
considered harmless error. The Supreme Court held that no new trials 
will be granted under such circumstances unless the movant can 
demonstrate that a juror failed to honestly answer a material question 



240 



on voir dire and that a correct response would have provided a valid 
basis for a challenge for cause. 

9. York Rite Bodies of Freemasonry of Savannah v. Bd. of Equalization 
of Chatham Countv . 202 Ga. App. 487, 414 S.E.2d 749 (1991), reversed in 
York Rite Bodies of FreemaBonry v. Bd. of Equalization of nhatihw 
Countv . 261 6a. 558, 408 S.E.2d 699 (1991). 

In part of our opinion, we held that the properties of two 
masonic organizations were not entitled to the ad valorem tax exemption 
allowed for public charities because the properties were used as meeting 
places. The Supreme Court reversed holding that the fact that the 
properties were used as meeting places did not preclude their use froa 
being exclusively devoted to charitable purposes. 

10. McDaniel v. Hendricks . 195 Ga. App. 252, 393 S.E.2d 4 (1990), 
reversed in McDaniel v. Hendricks . 260 Ga. 857, 401 8.E.2d 260 (1991). 

In this medical malpractice action, we held that the plaintiff's 
expert affidavit was based on a local standard of care and was 
insufficient to withstand the defendant -physician ' s motion for summary 
judgment. The Supreme Court reversed, relying on favorable inferences 
which could be drawn from the expert affidavit. 



241 



ATTACHMENT 3 



Attachment #3 (Response to Question #18) 

TRIAL EXPERIENCE DURING THE TIME I WAS EMPLOYED AS AN ATTORNEY 
WITH ATLANTA LEGAL AID AND THE FULTON COUNTY DISTRICT ATTORNEY'S 
OFFICE: 

NOTE: Since there are no computerized or verifible records 

readily available, tbe following cases represent my best 
recollection of tbe facts and data surrounding each. 

In tbe Interest of James Butler, et al. (Juvenile Delinauentsl ; 

In 1967, while employed as a legal services attorney, I 
represented three juveniles who had been charged with burglary. 
There defense prior to and during the trial was that they were 
somewhere else, not necessarily together, on the day of the 
burglary. Even though their alibi defense was somewhat weak, the 
juvenile court judge had not alternative but to dismiss the case 
because the eye witness, a neighbor, who claimed to have seen 
them enter the home of the elderly victim could not give a 
positive identification at trial. Realizing the weakness in my 
clients' alibi defense, I noted that the eye witness, because of 
age and infirmity was not absolutely sure of whom she saw and the 
time at which she witnessed the incident. My cross examination 
of the eye witness regarding the identity of the youngsters she 
saw was very effective. 

Date of Trial: 1967 (Summer) 

Court & Judge: Judge Elmo Holt, Fulton County Juvenile Court 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 

Emma Thomas v. Department of Family i Children Services : 

In this case, there was a regulation of the Department of Family 
and Children Services known as "the substitute father rule." In 
essence, this rule required social workers to make random calls 
at the home of mothers who were receiving Aid to Dependent 
Children benefits and if they found a man in the house then the 
man would be declared to be a "substitute father" and the 
children's welfare benefits would be automatically terminated. 
This rule was first challenged in the Superior Court of Fulton 
County and later in the U. S. District Court in the Middle 
District of Georgia. We were able to obtain temporary injunctive 
relief, thereby temporarily enjoining the enforcement of the 
"substitute father rule." Thereafter, the Department of Family 
and Children Services was permanently enjoined by a three-judge 
panel. 

Date of Trial: Unknown 



242 



Court & Judge ; 



Co-Counsel : 



Defense Counsel: 



Judge Durwood Pye, Fulton Superior Court; 
Three Judge Panel Judge Boodle, Judge Griffin 
Bell and Judge Elliott 

William Skinner (Lead Counsel) 
Suite 485 One West Court Sq. 
Decatur, Georgia 30030 
(404) 377-0466 

Unknovm 



Clara Jones' Welfare Case ; (An Administrative Hearing) 

In early 1968, I represented a young woman before the Fulton 
County Welfare Board. The young woman's public assistance had 
been terminated prior to a hearing on the issues of whether or 
not a substitute father had been rooming and boarding with her. 
(The woman had four children and they were literally starving.) 
I argued that termination of public assistance in the absence of 
a hearing was in violation of the "due process clause" of the 
U.S. Constitution. Several days after the hearing, the Welfare 
Department reinstated public assistance to her. 



Date of Trial: 
Court & Judge : 
Co-Counsel: 



1968 

Administrative Law Judge 

Sole Counsel 



Defense Counsel: 



Unknown 



State v« Robert Tucker; Rape Case 

Defendant raped victim in the presence of her two grandchildren, 
ages 8 and 9. Although both children testified to facts that 
would indicate rape, the jury (which deliberated eight hours) 
returned a verdict of not guilty. I was very upset over the fact 
that the jury did not believe the two children who were credible 
witnesses. The jurors (some of whom were questioned after the 
trial) found it difficult to believe that the defendant, who was 
young, attractive, well-dressed, would want to rape a woman who 
was much older and unattractive. Because of the above two 
factors, the jury felt that the sexual encounter was consensual. 
This was my first and only capital felony case. 



Date of Trial: 
Court & Judge: 
Co-Counsel: 
Defense Counsel: 



Two-day trial; occurred in 1971 or 72 

Judge Elmo Holt, Fulton Superior Court 

Sole Counsel 

Attorney Billy L. Spruell 
4840 Roswell Road., N.E. 
Atlanta, Georgia 30342-2635 

(404)257-0777 



243 



Rachael Kendricks v. Soc i al Security Administration ; 

While working as an Assistant District Attorney, I obtained 
permission to assist my cousin, Rachael Kendricks, now deceased 
in preparing her case for argument before the Social Security ' 

tl :^ Although I do not recall the exact details of her problem 
with the Social Security Administration, I do know that she had 
been denied certain benefits to which she was entitled by virtue 
of her medical condition (poor health) . She won her case and the 
benefits denied or terminated were reinstated. 

Date of Trial: 1971 (approx.) 

Court & Judge: Hearing Officer 

Co-Counsel: Co-Counsel Unknown 

Defense Counsel: Unknown 

State V. Fred T homas: Habitual Traffic Violator act 

Defendant had been found guilty of numerous traffic violations 
including several DUI's. Under the above Act, which is designed 
to remove habitual traffic offenders from the streets, the 
defendant was found to be a habitual violator and his drivina 

arauiinnhrrfH-''^rv'*^'^ ^°'' ^^^^ ^^^ i'^^'^^' ^ overcame thl 
argument that this Act was expost facto . This conviction was 
among the first in Georgia under this Act. 

Date of Trial: Unknown 

Court & Judge: Presiding Judge, Fulton Superior Court 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 

State V. T. Krunkleton : Uniform Reciprocal Enforcement of 

BUppOlTt 

Petition of support was filed against defendant in a New York 
ltTt^/^"' ^°^!^ ^"^ petition here and a hearing on parentage 
rtvK K f ^"''^ defendant denied that he was the father of twins 
Although twins were born out of wedlock, there was evidence iSich 
tituTt"" th^t the defendant provided the mother of tie ?wtns 
with a home and paid the entire hospital bill. Later, the 
defendant signed the twins' birth certificate. Defendant was 
found to be the father. This was a "hotly" contested case 

Date of Trial: Unknown 



244 



Court & Judge: Presiding Judge, Fulton Superior Court 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 

State V. Charles McLeod; Automobile Condemnation 

Defendant sought to recover his auto, which had been impounded 
for a drug violation while his son had possession of it. In 
order to substantiate impoundment, I had to connect defendant 
with offense by showing that he had knowledge of the illegal use. 

Date of Trial: Unknown 

Court & Judge: Presiding Judge, Fulton Superior Court 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 

Mary Doe's Petition of Support : (URESA Case) 

A Michigan woman, who claimed that her ex-husband was a member of 
the "Dixie Mafia," filed a petition for child support under the 
Uniform Reciprocal Enforcement of Support Act against her former 
spouse who had fled to Atlanta, Georgia, to escape his child 
support obligation. When the sheriff attempted to serve him with 
the petition of support at the address which she had given, the 
sheriff discovered that the ex-husband was not a resident at that 
address. When told by the Michigan court that the sheriff was 
unable to serve her former husband at the address provided, the 
woman started making long distance telephone calls to my office, 
claiming that we were either afraid to serve him or that we were 
being paid to protect him because of his alleged ties to the 
"Dixie Mafia". Despite misgivings about our sincere efforts to 
serve her ex-husband, she continued to send us information — 
including his photo — concerning his whereabouts and various 
aliases he might be using. After service was made on him 
sometime later, he absconded after being placed under order to 
make his child support payments. 

Date of Trial: Unknown 

Court & Judge: Presiding Judge, Fulton Superior Court 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 

In the Interest of: Several Juveniles ; (Cannot recall names) 

In 1973, while assigned to Fulton Juvenile Court as a prosecutor, 
I prosecuted several juveniles who had been charged with 



245 



shoplifting at a downtown department store. I can't remember 
what items they were accused of taking, but the items were 
inexpensive and collectively did not exceed $100 in value. The 
juveniles, together with their attorney, argued that they had not 
left the store at the time they were stopped by the store's 
security guard. They claimed that they were going to pay for the 
items prior to leaving the store. However, the evidence showed 
that the items taken were concealed and stashed under their 
clothes and were not openly visible in their hands as they went 
about the store. Each boy was found delinquent and each was 
placed on supervised probation. 

Date of Trial: 1973 (approx.) 

Court & Judge: Judge John S. Langford or Judge Tom Dillon 

Co-Counsel: Sole Counsel 

Defense Counsel: Unknown 



246 



ATTORNEYS WHO APPEARED BEFORE ME DURING MY TENURE ON THE FULTON 
SUPERIOR COURT BENCH: fui^iuN 

Hunter S. Allen, Jr. 
Allen & Peters 
1360 Peachtree St., N.E. 
Suite 1700 

Atlanta, Georgia 30309-3200 
(404) 874-1700 

Attorney Marvin S. Arrington 

Arrington & Hollowell 

191 Peachtree St., N.E. 

Suite 3550 

Atlanta, Georgia 30303 

(404) 658-9900 

Attorney James E. Butler, Jr. 
Butler, Wooten, Overby & Cheeley 
P. O. Box 2766 
Columbus, Georgia 30902 
(706) 322-1990 

Attorney Robert Goldstucker 

Nail, Miller, Owens Hocutt & Howard 

Suite 200 

66 Luckie St. , N. W. 

Atlanta, Georgia 30303 

(404) 522-0707 

Attorney G. Conley Ingram 

Alston & Bird 

One Atlantic Ctr. 

1201 W. Peachtree St., N.E. 

Atlanta, Georgia 30309 

(404) 881-7000 

Attorney Paul Kilpatrick, Jr. 

Pope, McGlamry, Kilpatrick & Morrison 

720 Broadway 

Columbus, Georgia 31901 

(706) 324-0050 

Attorney Charles T. Lester, Jr. 

Sutherland, Asbill & Brennon 

999 Peachtree St., N.E. 

Suite 2300 

Atlanta, Georgia 30309 

(404) 853-8000 

Attorney Jack Mallard 
30 Waddell St. 
Marietta, Georgia 30061 
(404) 528-3087 



247 



Attorney Charles Neal Pope 

Pope, McGlamry, Kilpatrick & Morrison 

72 Broadway 

Columbus, Georgia 31901 

(706) 324-0050 

Attorney Daniel S. Reinhardt 

Troutman Sanders 

600 Peachtree St., N. E. 

Suite 5200 

Atlanta, Georgia 30308 

(404) 885-3206 



Attorney Richard Sinkfield 

Rogers & Hardin 

229 Peachtree St., N.E. 

2700 Cain Tower 

Atlanta, Georgia 30303-1637 

(404) 522-4700 

Attorney Bernard Taylor 
Alston & Bird 
One Atlantic Ctr. 
1201 W. Peachtree St. 
Atlanta, Georgia 30309 
(404) 881-7288 
(404) 572-4600 



248 



ATTACHMENT 4 

nNANC3AJL STATEMEhrr 
KET WORTH 



Provide i complete, current flnindal net worth lutemeni which iterrvKi In dct 
alJ t5$f IS (Including b»nk Jccounu. rtil tjuie, jecuritiej, tnjslj, invcstmenu. and other fmiftc. 
holdings) all UabUitics (bdudlng debts. tT\ortg»gcj. loans, and other rmincul obUgationi) 
yo\in<\!, yout spouse, and other Invnediat* mcmberj of your household. 



ASSETS 




UMUSULS 




~r 

Cuh on lu\i ifi^ ifl bw\lu 


>s.n?d 


33 




tioUA p«y»b;c to Unla-i*c»i;»d 


16,439 


5C 


U.S. Covtrmscnt taainin-tii 
»che<3ul« US SAVINGS E BOIDS 


150 


00 




Nolu ptjrtblt to b4nla-UAi(cu.*»d 




00 


Linrd K«uncic4--»(U KhnJult 


73^853 


30 




NffUi pt/tVU to rtlio've* 




00 


VniltU^ KCiffit!c»"KU Kiedjl* 




00 




Noui piytbtc to eihcn 




m 


Atxou/iU tni noi*« rt«'>viWe; 








AMOunii i/>4 btUi du« 


4.980 


ffS 


D\»« from iilitirti ifld fritftdi 




00 




Unpild Itcomt UX 




00 


Due from oOiui 




00. 




Ol>>c/ onptjd Ux trti intm <t 




CD' 


Doubtftil 




00 




Rtil (itiU mart{i(M piyt^Ic-idd 

K>l»dlll* 


56,319 


88 


F.e»l mUU ovntd.-»<]d iche/Jj'.e 


122,600 


00 




Chuie] p>or(tt|e< ind other b'tni piy- 






R^ tiuie mort|«|ei roctivitlt 




00 




Other dcbU-iKnuM: 






Autot »J^d other penoo«I profoiy 


38.450 


00 




tetropolitan Life-Loan 


^97 


30 


Cuh viJue-L/« iniu:t;<c« 


6^854 


86 




Howard Barron, C.P.A. 


465 


00 


h ■■ 

OOier Uitls-i'^ralit; 








Georqia Alliance, far 
Oiildrfin tpiedq^ 


600 


OC 


Deferred CcsiiDensation 


89,499 


47 




Professional and Other 
Dues 


625 


C( 


Tax Shelter Annuity 


69,062 


48 










1 IRA(s) 


10, 974 


17 




T0t4j tilbHiliM 


32, 527 5' 










Net Worfli 


153, 941. : 


Tout AistU 


436,468 67 




Tot*l b'tbOidu tM net *^tlS ^ 


36, 468. ( 


B CO.vmNCENT UABIUTIES 








CENXIUL INF0R.MATION 






A5 eodoricT, tcmtku or {uuioior 




00 




Are kny aiM'j tUtaitit (Add icKed- 






Od Uuei or contrwlf 




00 




A/t you dcfcedvit ir. u.y tuiu o( l(|tj 
itdorwt No 






Vtfi Otlrn* 




00 




H«vt you ever uUoV)»nbvp<e>7 No 






Provlilon for FedcnJ Incomi Tm 




00 










0»>xf tpteUl debt 




00 











249 



INVESTMENTS 

U.S. Savings Bonds (Series E) $150.00 

Government Securities 



I. Campaign Account 

Bonds $10,428 

Mutual Funds 21,340 Listed Securities 

II. IRA Accounts: 9,205 

2,769 (spouse) 

III. Personal Investments Listed Securities 

Stock : 

Coca Cola - 300 shares 6 42.50/share 
CEMAX - 100 shares § 41. 00/ share 
Home Depot - 300 shares § 36.25/share 
Toys R Us - 300 shares § 35.25/share 
First Southern Bank - 100 shares @ 5.00/share 

IV. Money Market $800 Listed Securities 

V. Bank Accounts 

Wachovia 

Investment $ 133.59 

Checking: 672.08 

Citizens Trust Bank 

Time Deposit $ 7,779.08 

Fulton County School System Credit Union (spouse) 
Checking: $13,539 
Savings: 198 

VI. Value of Real Estate 

(Personal Residence): $122,600.00 

VII. Deferred Compensation /Tax Shelter 

Fulton County Deferred Compensation Plan $56,488.88 
State of Georgia Deferred Compensation Plan $33,010.59 
Tax Shelter Annuity (Travelers) $69,062.49 

VIII. Value of Vehicles 

1988 Mazda $6,900 
1991 Ford Explorer 13,550 



250 



IX. Insurance (Cash Value) 



Allmerica Financial $3,287.60 
Metropolitan Life 3,567.26 
(Loan Amt. $2,897.31) 

X. Value of Personal Property 

Mink Coat $10,000 

Jewelry 3,000 

Computer & Printer 3,000 
Cameras & video Equipment 2 , 000 



LIABILITIES 
Loans 

A. Metropolitan Insurance $2,987.31 

B. Mortgage balance First Union Bank 

56,319.88 
(9/22/93) 

C. First Union Bank Equity Account 

16,439.50 



251 



UNITED STATES SENATE 

COMMITTEE ON THE JUDICIARY 

QUESTIONNAIRE FOR JUDICIAL NOMINEES 

I. BIOGRAPHICAL INFORMATION PUBLIC) 

1. Full name (include any former names used). 
Frank Mays Hull 

2. Address: List current place of residence and onice address(es). 

Residence: 3452 Woodhaven Road, NW 

Atlanta, Georgia 30305 

Office: Judge Frank M Hull 

Superior Coun of Fulton County 
Atlanta Judicial Circuit 
T4705 Fulton County Judicial Center 
185 Central Avenue, SW 
Atlanta, Georgia 30305 

3. Date and place of birth. 

December 9, 1948 - Augusta. Richmond County, Georgia. 

4. Marital Status (include maiden name of wife, or husband's name). List spouse's 
occupation, employer's name and business address(es). 



Date of marriage: 
Spouse: 
Occupation: 
Employer: 



April 16, 1977 

Mr. Antonin Aeck ("Tony") 

Architect 

Lord, Aeck & Sargent. Inc., an architectural firm 

400 Colony Square, Suite 300 

1201 Peachtree Street, NE 

Atlanta, Georgia 30361-6303 



252 



Education : List each college and law school you have attended, including dates of 
attendance, degrees received, and dates degrees were granted. 

1973. J.D., cum laude, Emory University School of Law, Atlanta, Georgia; attended 
1970-1973 



6. 



1970, B.A., Randolph-Macon Woman's College, Lynchburg, Virginia; attended 1966- 
1968 for freshman and sophomore years, and 1969-1970 for senior year. 

University of Reading, Reading, England; attended September 1968-July 1969 as part of 
Junior Year Abroad Program of Randolph-Macon Woman's College. 

Employment Record : List (by year) all business or professional corporations, 
companies, firms, or other enterprises, partnerships, institutions and organizations, 
nonprofit or otherwise, including firms, with which you were connected as an 
ofHcer, director, partner, proprietor, or employee since graduation from college. 



August 1990-Present: 



Judge, Superior Court of Fulton County 
Atlanta Judicial Circuit 
Atlanta, Georgia 



November 1984- 
August 1990: 

1974-1984: 



Judge, State Court of Fulton County 
Atlanta, Georgia 

From 1974-1980 I was an associate; in 1980 
I became the first female partner in a law 
firm of 150 anomeys. 
Powell. Goldstein, Frazer & Murphy 
Atlanta, Georgia 



1973-1974: 



Sununer 1972: 



Summer 1971: 



Law Cleric 

Judge Elbert P. Tuttle 

United States Court of Appeals 

for the Fifth Circuit 
Atlanta, Georgia 

Summer Associate after second year of law school with 
firm of Powell, Goldstein, Frazer & Murphy 
Atlanta, Georgia 

Summer Associate after first year of law school with firm 
of Bumside, Dye & Miller 
Augusta, Georgia 



-2- 



253 



Military Service : Have you had any military service? If so, give particulars, 
including the dates, branch of service, rank or rate, serial number and type of 
discharge received. 

No. 

Honors and Awards : List any scholarships, fellowships, honorary degrees, and 
honorary society memberships that you believe would be of interest to the 
Committee. 

Emory School of Law 

1973: J.D. cum laude Emory University School of Law 

1973: Order of the Coif (academic honor society) 

1973: Wall Street Journal Award (to one senior for overall achievement) 

1973: Who's Who in American Colleges and Universities 

1973: National Fellow, American Association of University Women 

1972-1973: Notes/Comments Editor, Journal of Public law (now Emory Law 

Review) 
1971: M. P. Laughlin Writing Award (to one freshman) 

Bar Associations : List all bar associations, legal or judicial-related committees or 
conferences of which you are or have been a member and give the titles and dates 
of any offices which you have held in such groups. 

1. 1992-Present: State of Georgia Commission on Family Violence, Atlanta, 
Georgia (appointed by Governor Zcll Miller) 

a) 1992-Present: Chair, Subcommittee to esublish Family Violence Task 
Forces in Georgia's 45 judicial circuits 

2. 1973-Present: Member, Sute Bar of Georgia. Atlanu, Georgia 

a) 1991-Present: Member. Sute Bar of Georgia Bench & Bar Committee (to 
improve interaction between Bench and Bar) 

b) 1990-Present: Member. Sute Bar of Georgia Correctional Facilities and 
Services Conunittee (promotes/oversees "BASICS" program offering 
employment workshops for inmates prior to release) 

c) 1988-1991: Member. Sute Bar of Georgia Conunittee on Women and 
Minorities in the Profession 

d) 1 99 1 - 1 993 : Executive Committee , Georgia Sute-Federal Judicial Council, 
Atlanu, Georgia 

3. 1990-Present: Member, Council of Superior Court Judges, Sute of Georgia, 
Atlanu, Georgia 

a) 1990-1993: Chair. Gender/Racial/Ethnic Fairness Committee 

b) 1991-1993: Member, Uniform Rules Committee 



254 



4. 1984-1990: Member, Council of State Coun Judges, State of Georgia, Atlanta, 
Georgia 

a) 1987-1990: Member, Uniform Rules Comminee 

b) 1987-1990: Member, Program Committee 

5. 1974-Present: Member, American Bar Association, Chicago, Illinois 

a) 1978-1985: Vice-Chairman, ABA's Fidelity and Surety Law Committee 
(fidelity/surety bonds for contractors/financial institutions) 

b) 1979-1982: Financial Secretary and Long Range Planning Committee, 
ABA's Tort and Insurance Practice Section 

c) 1981-1985: Editorial Staff, The Construction Lawyer , published by 
ABA's Forum Committee on Construction Industry 

d) 1983-1985: Chairman, Contract Documents Division, ABA's Forum 
Comminee on Construction Industry 

6. 1992-Present: Fellow, American Bar Foundation, Chicago, Illinois 

7. 1974-Present: Member, Atlanta Bar Association, Atlanta, Georgia 

a) 1977-1979: Board of Directors, Atlanta Council of Younger Lawyers 

b) 1977-1979: Chairman, ACYL Northern District of Georgia Casenotes 
Committee (prepared summary of unreported decisions in United States 
District Coun for Northern District of Georgia) 

8. 1984-Present: Member, Gate City Bar Association, South Fulton Bar 
Association. North Fulton Bar Association, and Georgia Association of Black 
Women Attorneys, Atlanta, Georgia 

9. 1985-Presem: Member, National Center for Sute Courts, Williamsburg, Virginia 

10. 1985-Present: Member, American Judicature Society, Chicago, Illinois 
a) 1990- Present: National Board of Directors 

11. 1988-Present: Member, National Association of Women Judges, Washington, 
DC. 

12. 1975-Present: Member, Georgia Association of Women Lawyers, Atlanta, 
Georgia 

13. 1988-1991: Member, Sute of Georgia Commission on Gender Bias in Judicial 
System, Atlanta. Georgia (appointed by Chief Justice of Georgia Supreme Court) 
a) 1988-1991: Chair, Domestic Violence Subcommittee 

14. 1988-1991 : Board of Directors, Atlanu Volunteer Lawyers Foundation, Atlanta, 
Georgia (recruits pro bono attorneys and provides pro bono representation to low 
income clients; funded by court filing fee) 

15. 1984-Present: Member. Lawyers Club of Atlanta, Atlanta. Georgia 



255 



16. 1991-Present: Member, Bleckley American Inn of Coun, Atlanta, Georgia 
a) 1992-Present: Executive Comminee 

17. 1991: Visiting Judge. Georgia Supreme Court, for one case where sitting 
Justice had to recuse. See York Rite Bodies of Freemasonry of Savannah- 
Georgia, et al. V Board of Equalization of Chatham County . 261 Ga. 558, 408 
S.E.2d 699 (1991). 

10. Other Memberships : List all organizations to which you belong that are active in 
lobbying before public bodies. Please list all other organizations to which you 
belong. 

I do not belong to any organizations that are active in lobbying before public bodies. 

All other organizations to which I belong are: 

1986-Present Member, Leadership Atlanta. Inc., Atlanta. Georgia 

1992-1993 Selection Committee for Applicants for 1993-1994 Class 
1988-1989 Co-Chair for Criminal Justice Program Committee 
1986-1987 Class of Leadership Atlanu 

1976-1979 Board of Directors. Metro Atlanta Mediation Center, Inc. (operates The 
Bridge, a non-profit family counseling center) 

1979-Present Member, Cathedral of St. Philip. Atlanta, Georgia 
1983-1991 Sunday School teacher 
1990-1992 Outreach Committee (awards grants) 
1988-1991 Sunday School teacher in outreach program at Emmaus 

House. Capitol Avenue, Atlanta, Georgia 
1985-1989 Assistant Den Leader, Den 5, Troop 74, Boy Scouts 

of America troop at the Cathedral 

Present member: Atlanta Women's Network, Speech School Guild. Atlanta Bounical 
Garden, High Museum of Art, Randolph-Macon Woman's College Alumni Association- 
Atlanta Chapter. (I do not recall the exact dates I joined each organization but have been 
a member for over five years.) 

11. Court Admission : List all courts in which you have been admitted to practice, with 
dates of admission and lapses if any such memberships lapsed. Please explain the 
reason for any lapse of memberships. Give the same information for administrative 
bodies which require special admission to practice. 

1973 United States Court of Appeals for the Fifth Circuit 

1974 United Sutes District Court for Northern District of Georgia, Georgia Supreme 
Court. Georgia Coun of Appeals, and Superior Court of Fulton County 

1977 United States Supreme Court 

1982 United States Coun of Appeals for the Eleventh Circuit 



-5- 



256 



12. Published Writings : List the titles, publishers, and dates of books, articles, reports, 
or other published material you have written or edited. Please supply one copy of 
all published material not readily available to the Committee. Also, please supply 
a copy of all speeches by you on issues involving constitutional law or legal policy. 
If there were press reports about the speech, and they are readily available to you, 
please supply them. 

"Pyramid Marketing Plans and Consumer Protection: State and Federal Regulations", 
21 Journal of Public Law 445 (1972) (now Emory Law Review) 

"Civil Procedure-Application of Long-Arm Statute to Foreign Corporation", 8 Georgia 
State Bar Journal 414 (1972) 

"Bankruptcy of Principal: Reclamation and Other Common Problems Facing the 
Principal and Its Surety", 12 Forum 200 (1976) (Topic of paper for TIPS at ABA's 1976 
Annual Meeting in Atlanta; The Forum is a legal periodical published by the ABA's Tort 
and Insurance Practice Section - "TIPS") 

"Surety's Liability for Attorneys' Fees and Coun Costs Under Fidelity Bonds", 14 
Forum 634 (1979) (Topic of paper and speech for TIPS at ABA's 1978 Annual Meeting 
in New York) 

"The ABC's of Unidentifiable Employee Coverage", 15 Forum 948 (1980) (Topic of 
paper and speech for TIPS at ABA's Mid-Winter Meeting in New York) 

13. Health : What is the present state of your health? 
Excellent. 

List the date of your last physical examination. 

May 18, 1993. 

14. Judicial Office : State (chronologically) any judicial unices you have held, whether 
such position was elected or appointed, and a description of the jurisdiction of each 
such court. 

Current judicial office : August 1990-Present 
Judge, Superior Court of Fulton County 
Atlanu Judicial Circuit 
Atlanu. Georgia 

Governor Joe Frank Harris appointed me to this Court in 1990. I was re-elected in 
November, 1992 for a four-year term (1993-1997). This is a general jurisdiction State 
trial court with jurisdiction over felony criminal cases, all civil cases both at law and in 
equity, and all divorce cases. There is no limitation on the jurisdiction. 



257 



Preyjous judicial office : November 1984-August 1990: 
Judge, State Coun of Fulton County 
Atlanta, Georgia 

Governor Joe Frank Harris appointed me to this Court in 1984 I was re-elected in 1986 
and again in 1990. This is a limited jurisdiction trial court with jurisdiction over 
misdemeanor criminal cases and all civil cases except divorces, claims in equity, and 
cases involving title to real property. 

In summary, 1 have been re-elected as a State trial judge three times (in 1986, 1990, and 
1992), and have never been an unsuccessful candidate in a judicial election. 

For nine years as a trial judge on two trial courts, I have handled (a) over 2,500 felony 
criminal cases on Superior Court and over 5,000 misdemeanor criminal cases on State 
Court, and (b) over 3,000 civil cases in Superior and Slate Courts. I have presided over 
at least 200 jurj' trials. 300 bench trials, and thousands of criminal pleas and non-jury 
motions in civil and criminal cases. 

15. Citations : If you are or have been a judge, provide: 

(1) citations for the ten most significant opinions you have written; (2) a short 
summary of and citations for all appellate opinions where your decisions wen 
reversed or where your judgment was affirmed with significant criticism of your 
substantive or procedural rulings; and (3) citations for significant opinions on federal 
or state constitutional issues, together with the citation to appellate court on such 
opinions; If any of the opinions listed were not officially reported, please provide 
copies of the opinions. 

(1) Copies and citations of ten significant opinions are attached as Exhibit 2. 

(2) To the best of my knowledge, no appellate opinions have affirmed my decisions 
with significant criticism. A summary of appellate opinions where my decisions 
were reversed is attached in Exhibit 3. 

(3) Ciutions for significant opinions on federal or state constitutional issues are 
included and identified in Exhibit 2. 

16. Public Office : State (chronologically) any public offices you have held, other than 
judicial ofTices, including the terms of service and whether such positions were 
elected or appointed. State (chronologically) any unsuccessful candidacies for 
elective public office. 

I have not held any elected public office other than the judicial offices outlined in 
question 14 above. 1 have been appointed to several State Commissions: 

1992-Present: State of Georgia Commission on Family Violence, Atlanta, 
Georgia (appointed by Governor Zeli Miller) 

a) 1992-Present: Chair, Subcomminee to establish Family Violence Task 

. . Forces in Georgia's 45 judicial circuits 

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258 



1988-1991: Member, State of Georgia Commission on Gender Bias in Judicial 
System, Atlanta, Georgia (appointed by Chief Justice of Georgia Supreme Court) 
a) 1988-1991: Chair, Domestic Violence Subcommittee 

17. Leyal Career : 

a. Describe chronologically your law practice and experience after graduation 
from law school including: 

1. whether you served as clerk to a judge, and if so, the name of the 
judge, the court, and the dates of the period you were a clerk; 

1973-1974 Law Cleric 

Judge Elbert P. Tuttle 

United States Court of Appeals for the Fifth Circuit 

Atlanta, Georgia 30303 

2. whether you practiced alone, and if so, the addresses and dates; 
I have not practiced alone. 

3. the dates, names and addresses of law firms or offices, companies or 
governmental agencies with which you have been connected, and the 
nature of your connection with each; 

1974-1984 From 1974-1980 I was an associate; in 1980 I became the 
first female panner in a law firm of ISO attorneys. 
Powell, Goldstein, Frazer & Murphy 
Sixteenth Floor 
191 Peachtree Street, NE 
Atlanta. Georgia 30303 
(404) 572-6600 

Sununer 1972 Summer Associate after second year of law school 
Powell, Goldstein, Frazer & Murphy 
Sixteenth Floor 
191 Peachtree Street, NE 
Atlanta, Georgia 30303 
(404) 572-6600 

Summer 1971 Sununer Associate after first year of law school 
Bumside, Dye & Miller 
Augusta, Georgia 
(This law firm no longer exists.) 



259 



b. 1. What has been the general character of your law practice, dividing it 
into period with dates if its character has changed over the years? 

In my prior law practice for 10 years with Powell. Goldstein. Frazer & 
Murphy. I had a general trial practice and worked on over 200 cases in 
federal and state courts, which involved a broad range of areas such as- 
contracts, banking, loans, civil rights, all areas of the UCC, construction 
law, federal copyright infringement, insurance, real estate, suret> and 
guaranty relationships, employee dishonesty, creditors' rights, employment 
and age discrimination, materialmen's liens, subrogation, fidelity bonds, 
performance and payment bonds, professional malpractice, receiverships, 
personal injury, divorce, contracts, torts, equity, executor/administrator 
bonds, and fiduciary relationships. 

2. Describe your typical former clients, and mention the areas, if any, in 
which you have specialized. 

I specialized in civil litigation and represented a broad spectrum of clients 
in a wide range of cases. Here are a few examples: 

1) In both state and federal courts, I represented numerous 
businesses, banks, commercial lenders, and bank customers in 
cases involving real esute transactions, the Uniform Commercial 
Code, loans, and/or other banking transactiqas. 

2) A federally insured state bank in Georgia failed in 1976. I 
represented the Federal Deposit Insurance Corporation in at least 
24 lawsuits in federal and sute courts regarding die receivership 
and the assets/liabilities of that insolvent state bank. 

3) With funding from the National Education Association, I 
represented in federal courts (a) plaintiff teachers in actions against 
local school boards for racial discrimination in faculty employment 
and (b) a plaintiff teacher in an action against a local school board 
for age discrimination in faculty employment. 

4) A significant pan of my law practice involved construction 
contract litigation and arbitration. I represented owners, 
contractors, subcontractors, and suret>' companies in numerous 
construction contract claims, litigation, and arbitration, especially 
involving performance and payment bonds. 

5) In federal court. I handled at least a dozen copyright infringement 
cases for Broadcast Music, Inc. as a plaintiff. 



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260 



6) Insurance companies issue fidelity bonds to banks and businesses 
insuring for losses caused by employee dishonesty. I represented 
numerous insured businesses and insurance companies in 
prosecuting and defeixling commercial fidelity bond cases. 

c. 1. Did you appear in court frequently, occasionally, or not at all? If the 
frequency of your appearances in court varied, describe each such 
variance, giving dates. 

I appeared in court frequently. 

2. What percentage of these appearances was in: 

(a) federal courts: 50% in law practice 

(b) state courts of record: 50% in law practice 

(c) other courts: not applicable 

3. What percentage of your litigation was: 

(a) civil: 100% in law practice 

(b) criminal: 1 handled several pro bono criminal cases in law 
practice. 

4. State the number of cases in courts of record you tried to verdict or 
judgment (rather than settled), indicating whether you were sole 
counsel, chief counsel, or associate counsel. 

Approximately fifteen. In the first three years of law practice, 1 was 
generally associate counsel under the supervision of a partner. In the last 
seven years of law practice, I generally was lead counsel on the cases I 
handled. 

5. What percentage of these trials was: 

(a) jury: 15% 

(b) non-jury: 85% 

18. Litigation : Describe the ten most significant litigated matters which you personally 
handled. Give the citations, if the cases were reported, and the docket number and 
date if unreported. Give a capsule summary of the substance of each case. Identify 
the party or parties whom you represented; describe in detail the nature of your 
participation in the litigation and the final disposition of the case. Also state as to 
each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge or judges before whom the 
case was litigated; and 

(c) the individual name, addresses, and telephone numbers of co-counsel and of 
principal counsel for each of the other parties. 



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261 



The following is a summary of ten significant cases which I personally handled whOe 
with Powell, Goldstein, Frazer & Murphy. 

While other attorneys at this firm may be listed in the pleadings, I was the attorney whh 
primary responsibility for the work in these cases. I personally handled all ooun 
appearances in all of the cases listed below, whether at trial, at oral argument, on appeal, 
or at any court hearings on motions. I also personally drafted the pleadings and briefe 
filed in these cases and personally conducted the discovery in these cases. 



1. 



Fred E. Rizk. et al . v. James H. Jones, and others as trustees of Firet 
Commerce Realty Investors. 148 Ga. App. 473, 251 S.E.2d 360 (1978), afTd . 
243 Ga. 545, 255 S.E.2d 19 (1979) 

Plaintiff borrowers sued my lender client, First Commerce Realty Invesnrs 
("FCRI"). a Louisiana REIT, for $2 million in damages for breach <rf a 
development loan for 300 acres in Gwinnett County, Georgia. My client FCRI 
counterclaimed for over $3 million in already past due debt under the i»m«i 
acquisition loan. 

The trial court granted summary judgment to my client FCRI on its counterclasms 
against the plaintiff borrowers, which was affirmed on direct appeal. After the 
appeal, the main Complaint by the plaintiff was still left to be tried. The case 
was senled for an immediate payment of $2.5 million from the plaintiff bornnven 
to my client FCRI. 



Trial Court : 

Judge Reid Merritt* 

Superior Court of Gwinnen County 

Lawrenceville, Georgia 

♦Judge Merrin is now in private 

practice: 

PO Box 686 

368 South Perry Street 

Lawrenceville, (jeorgia 30245 

(404) %3-9933 

Counsel for opposing parties : 

Counsel for plaintiffs in trial court: 

Mr. Robert W. Beynart 

Mr. David K. Whatley 

Smith, Cohen, Ringel, Kohier & Manin* 

Atlanta, Georgia 



Appellate Court : 

The Honorable Julian Webb*» 
Georgia Coun of Appeals 
Atlanta, Georgia 

**Judge Webb is now in private 

practice: 

118 West Second Street 

P.O. Box 277 

Donalsonville, Georgia 31745-0277 

(912) 524-2456 



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*Both attorneys are now with different law firms: 



Mr. Robert W. Beynart 
Smith, Gambrell & Russell 
Suite 3100 Promenade II 
1230 Peachtree Street. N.E. 
Atlanta, Georgia 30309-3592 
(404) 815-3500 

Counsel for plaintiffs' ap peal: 

Mr. A. Felton Jenkins, Jr. 

King & Spalding 

42nd Floor 

191 Peachtree Street, N.E. 

Atlanta, Georgia 30303-1740 

(404) 572-4600 



Mr. David K. Whatley 
Fortson & White 
3(X) Atlanta Financial Center 
3333 Peachtree Road, N.E. 
Atlanta, Georgia 30326-1042 
(404) 239-1900 



2. Receivership action of In re Hamilton Bank and Trust Company . Civil Action 
No. C-24035 (Fulton Superior Ct., 1976-79). 

The Department of Banking and Finance of the State of Georgia took possession 
of the insolvent state bank and petitioned the court to appoint the FDIC as 
receiver. 1 represented the FDIC as receiver. When FDIC is appointed receiver 
of a bank, it has two options: (1) to sell the assets/liabilities of the failed bank 
to an ongoing bank or (2) to proceed with a straight liquidation. This closed sute 
bank's liabilities (i c, customer deposits) far exceeded its assets (i.e., loan 
portfolio). 

The FDIC as receiver (1) sold for over $22 million in cash the loans in default 
to FDIC in its corporate capacity as insurer and (2) sold for over $33 million to 
the National Bank of Georgia the liabilities (i.e., customer deposits) with an 
offsetting amount of good assets (i.e., good loans plus the $22 million cash from 
FDIC in its corporate capacity as insurer). This allowed the ongoing bank to take 
over the customer deposits without any interruption in service and with customers 
receiving 100% of their deposits. The FDIC in its corporate capacity as insurer 
then proceeded to collect the loans in default in an attempt to recoup its cash 
payment of over $22 million made to faciliute the sale of liabilities to the 
ongoing bank. 

I also represented the FDIC as receiver in the receiver's ongoing reports to the 
trial court on the sutus and resolution of the receivership. 



Court : 

Judge John S Langford 
Superior Court of Fulton County 
Atlanta Judicial Circuit 
185 Central Avenue. S.W. 
Atlanta, Georgia 30303 
(404) 730-4305 



Counsel for opposing party: 

The insolvent stale bank did not 
employ counsel to oppose the 
receivership. Since all depositors 
received 100% of their deposits, they 
did not oppose the actions of the 
FDIC as receiver. 



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263 



I also represented the FDIC in its corporate capacity as insurer in at least 24 
lawsuits in state and federal courts to collect the various delinquent loans 
purchased from FDIC as receiver of the state bank. For example, see FDIC v. 
Jones . 161 Ga. App. 867, 291 S.E.2d 70 (1982); FDIC v. West . 149 Ga. App. 
342, 254 S.E.2d 392; affid- 244 Ga 396, 260 S.E.2d 89 (1979). 

Federal Deposit Insurance Corporation v. Fidelity and Deposit Companv of 
Maryland v. Thomas M. Hutcheson. et al. . Civil Action File No. C77-1762A 
(U.S.D.Ct., N.D.Ga. 1977-79) 

FDIC in its corporate capacity as insurer sued to collect money owed under a 
fidelity bond for losses caused by dishonesty of employees of a closed state bank. 
The FDIC in its corporate capacity as insurer purchased the rights of the closed 
state bank under the fidelit)' bond. The case involved myriad issues, such as the 
authorization of the dual capacities of the FDIC under federal statutes and 
decisional law. especially 12 USCA § 1823, subject matter jurisdiction issues 
under 12 USCA § 1819 and 28 USCA § 1345; whether the superior equities 
doctrine and other law precluded third party complaint against the directors of the 
closed state bank and numerous other discovery and procedural issues. The case 
was ultimately settled. 

Court : Counsel for opposing party : 

Senior Judge Albert J. Henderson* Mr. John W Hinchey 

United States Court of Appeals Phillips, Hinchey & Reid** 

for the Eleventh Circuit Atlanu, Georgia 

56 Forsyth Street, N W. 
Atlanta, Georgia 30303 
(404) 331-6816 

*Judge Henderson presided over this **Mr. Hinchey is now with 

case as a Judge on the United States another law firm: 

District Court for the Northern Mr. John W. Hinchey 

District of Georgia. King & Spalding 

42nd Floor 

191 Peachtree Street, N.E. 

Atlanta, Georgia 30303-1740 

(404) 572-4600 

Hllson. et al. v. Washington County Board of Education, et al. . Civil Action 
No. 2449 (L.S.D.Ct.,M.D.Ga. 1977-79). 

With funding from the National Education Association, I represented the plaintiff 
teachers in this class action against this school board for racial discrimination in 
faculty employment. The class was certified, and the liability issue was tried 
before Judge Owens. After my clients prevailed on the liability issue, the school 
board reinstated the teachers but still refused to pay damages and back pay 
requested by certain teachers. I then began trying the individual teacher's damage 
claims. After recovering damages in the first teacher" s damage trial, the school 

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264 



board settled the remaining damage claims, 
recovered by my client. 



Half of my attomeys' fees were also 



Court : 

Chief Judge Wilbur D. Owens. 
United States District Court 
Middle District of Georgia 
Macon Division 
P. O. Box 65 
Macon, Georgia 31202 
(912) 752-3491 



Counsel for opposing parties : 

Jr. The Honorable Thomas A. Hutcheson* 
State Court of Washington County 
P.O. Box 621 

Sandersville. Georgia 31082-0621 
(912)552-6911 

"Judge Hutcheson handled this case 
while in private practice. 

The Honorable Denmark Groover. Jr. 

Groover & Childs 

P. O. Box 898 

Macon. Georgia 31202-0898 

(912) 745^712 



5. Thelma Davis v. Griffin Spalding County Board of Education . 445 F.Supp. 
1048 (U.S.D.Ct.,N.D.Ga. 1975) 

With funding from the National Education Association. I represented the plaintiff 
Thelma Davis in her claim against the local school board for age discrimination 
in faculty employment and for impermissibly enacting a 65 mandatory retirement 
age when the mandatory sute retirement system allowed teachers to retire as late 
as age 70. Plaintiff Davis was employed continuously as a classroom teacher for 
21 years but was not rehired solely because of her age. The sute law provided 
for mandatory retirement of public school teachers at age 70. but the local school 
board, after allowing plaintiff to teach for three years past age 65, passed a new 
mandatory retiremeni at age 65. Plaintiff had criticized the defendant's school 
policies, worked for the defeat of a local school bond referendum as unnecessary, 
and worked with the NEA to change teachers' contracts. 

The trial court granted my client's motion for summary judgment based on the 
pendent state law claim that the local school board was not authorized to enact the 
mandatory retirement age of 65 because the state's public policy prevailed over 
the local school board's right to set a lower mandatory retirement age. The trial 
court also awarded back pay to my client, plaintiff Thelma Davis, fuiding the 
defendant local school board had not timely raised the defense of lack of capacity 
to be sued, that the consent to be sued waived governmental immunity, and that 
the local school board had sufTicient local resources to pay a judgment for back 
pay without transgressmg state law authorizing use of state funds for educational 
purposes only. 



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265 



Court 

Senior Judge Alben J. Henderson* 
United States Court of Appeals 

for the Eleventh Circuit 
56 Forsyth Street, N.W. 
Atlanta. Georgia 30303 
(404) 331-6816 



Counsel for opposing partv : 

Mr. Dow N. Kirkpatrick, II 
Alston & Bird 
One Atlantic Center 
1201 W. Peachtree Street 
Atlanta. Georgia 30309-3424 
(404) 881-7346 



6. 



*Judge Henderson presided over this 
case as a Judge on the United States 
District Court for the Northern 
District of Georgia. 

The Travelers Indemnity Company v. A. M. Pullen & Co. . 161 Ga. App. 
784, 289 S.E.2d 792 (1982) (cert, denied) 



I represented the plaintiff Travelers, which issued surety bonds for a construction 
contractor based on financial statements cenified by defendant Pullen, an 
accounting firm The contractor became bankrupt and defaulted on various 
projects My client Travelers sued Pullen for over $30 million in damages for 
negligence, breach of contract and fraud in preparation and cenification of the 
financial statements The trial coun granted summary judgment to defendant 
Pullen. finding that plaintiff Travelers was a third party not in privity and 
Travelers could not sue Pullen. 



As a matter of law the appellate court reversed and held that my client Travelers 
as a third party could sue Pullen. After 1 obtained the reversal on appeal and 
Travelers' right to sue, my client Travelers received a substantial settlement from 
defendant Pullen which is protected by a non-disclosure agreement. 



Trial Court : 

Chief Judge William W Daniel 
Superior Coun of Fulton County 
Atlanta Judicial Circuit 
185 Central Avenue, S.W. 
Atlanu, Georgia 30303 
(404) 730-4318 



A ppellate Court : 

The Honorable A. W. Birdsong, Jr. 
Georgia Court of Appeals 
412 State Judicial Building 
40 Capitol Square, S.W. 
Atlanta, Georgia 30334 
(404) 656-3454 



Counsel for opposing party : 

Mr. George B. Haley, Jr. 

Mr. Richard R. Cheatham 

Kilpatrick & Cody 

1100 Peachtree Street 

Suite 2800 

Atlanta. Georgia 30309-4530 

(404) 815-6370 



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266 



Phoenix Insurance Co.. et al. v. Aetna Casualty & Surety Co. . 144 Ga. App. 
555, 241 S.E.2d 445 (1978). 

I represented the defendant Aetna in a complicated insurance, reinsurance and 
fidelity bond dispute. The trial court granted summary judgment against my 
client Aetna for over $1 million. I handled the appeal and that summary 
judgment was reversed in toto in 1978. The case was ultimately dismissed 
against Aetna. When the case was refiled by the same plaintiff in 1983, I moved 
for summary judgment on behalf of Aetna based on certain statute of limitation 
defejises, and the plaintiff voluntarily dismissed its case with prejudice in July 
1984. 



Trial Court : 

Judge Claude Shaw (deceased) 
Superior Coun of Fulton County 
Atlanta Judicial Circuit 



A ppellate Court : 

The Honorable A. W. Birdsong, Jr. 
Georgia Court of Appeals 
412 Sute Judicial Building 
40 Capitol Avenue, S.W. 
Atlanta. Georgia 30334 
(404) 656-3454 



Counsel for opposing party : 

The Honorable Sam F. Lowe. Jr. (deceased) 
Atlanta, Georgia 

Presidential Ltd. v. Highlands Insurance Co. v. Beale Roofing and GAF 
Corooration , Civil Action File No. C77-120A (U.S.D.Ct.,N.D.Ga. 1977-79). 

The plaintiff Presidential Ltd. entered into a construction contract with PC. 
Dinkins for construction of a hotel. The defendant Highlands Insurance 
Company, as surety, issued performance and payment bonds on behalf of the 
contractor Dinkins who later defaulted under his construction contract. I 
represented the plaintiff Presidential Ltd. in this lawsuit to collect over $800,000 
under the bonds due to Dinkins' breach of his construction contract. 

My client's damages resulted from myriad construction defects, unpaid 
materialmen/ subcontractors, and delay in completion of the hotel The defendant 
surety filed a third party complaint against the roof subcontractor and the 
manufacturer of the roofing materials. My client plaintiff Presidential Ltd. 
recovered $640,000 in settlement after extensive litigation. 



Court : 

Judge Robert L. Vining, Jr. 
United States District Court 
Northern District of Georgia 
P. O Box 6226 
Rome, Georgia 30162-6226 
(706) 291-5671 



Counsel for opposing party : 

For defendant Highlands Insurance Company 
Mr John W Hinchey* 
Mr. Albert E. Phillips** 
Phillips, Hinchey & Reid 
Atlanta, Georgia 



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267 



Both attornevs are now with different law firms: 



•Mr. John W Hinchey 

King & Spalding 

42nd Floor 

191 Peachtree Street. N E. 

AUanu, Georgia 30303-1740 

(404) 572-4600 



**Mr. Albert E. Phillips 
Phillips & Reid 
1200 Harris Tower 
233 Peachtree Street. N.E. 
Atlanta, Georgia 30303 
(404) 659-6000 



For defendant GAF Corporation For defendant Beale Roofing Company 



Mr. John A. Chandler 
Sutherland, Asbill & Brennan 
999 Peachtree Street, N.E. 
Suite 2300 

Atlanu. Georgia 30309-3964 
(404) 853-8029 



Mr. Stephen M. Phillips 
Hendrick, Spanos & Phillips, P.C. 
1410 Peachtree Center Tower 
230 Peachtree Street. N.E. 
Atlanta, Georgia 30303 
(404) 522-1410 



The Fidelity & Guaranty Company of New York v. The First National Bank 
of Atlanta . Civil Action No. C80-1416A (U.S.D.Ct.N.D.Ga. 1980-82) 

Aetna Casualty & Surety Company hired me to defend Aetna's insured. The First 
National Bank of Atlanta, which had paid over $1 million in forged checks An 
employee of General Foods Corporation forged checks drawn on General Foods' 
checking account at the First National Bank of Atlanta General Foods recovered 
its losses from its surety. The Fidelity & Guaranty Company of New York, under 
a fidelity bond covering employee dishonesty. General Foods assigned to the 
surety all claims against third parties based on the forged checks. Thereafter, the 
surety. Fidelity <t Guaranty Company of New York, sued the First National Bank 
of Atlanta for paying the checks bearing a forged drawer signature. 

The bank's defenses were, inter alia . (1) that General Foods' negligence 
substantially contributed to the making of the forged checks, thereby barring 
recovery under the Uniform Commercial Code as adopted in Georgia in 
O.C.G A § 109A-3-406 and (2) that General Foods failed to give the bank notice 
of the unauthorized checks within 60 days after the bank statements were made 
available, thereby precluding General Foods from assening unauthorized 
signatures against the bank as provided in the UCC as adopted in Georgia in 
O.C.G.A. § 109A^-406. The case was ultimately settled. 



Court : 

Judge Roben L Vining, Jr. 
United States District Court 
Northern District of Georgia 
P O. Box 6226 
Rome, Georgia 30162-6226 
(706)291 5671 



Counsel for opposing party : 

Mr John W Hinchey* 
Mr Alben E Phillips** 
Phillips, Hinchey & Reid 
Atlanu, Georgia 



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268 



10. 



Both attorneys are now with different law firms: 

*Mr. John W. Hinchey •*Mr. Albert E. Phillips 

King & Spalding Phillips & Reid 

42nd Floor 1200 Harris Tower 

191 Peachtree Street. N.E. 233 Peachtree Street. N.E. 

Atlanu. Georgia 30303-1740 Atlanu. Georgia 30303 

(404) 572-4600 (404) 659-6000 

Chrysler Credit Corporation v. Southlake Dodge. Inc. and Paul F. Fusillo . 
Civil Action File No. C75-434 (U.S.D.Ct.,N.D.Ga. 1983-84). 



The plaintiff Chrysler Credit made a loan to Southlake Dodge, a car dealership, 
which my client Paul Fusillo guaranteed. In 1974, the plaintiff Chrysler Credit 
received a summary judgment for $217,928.51 on the loan against the defendants. 
The defendants' original counsel never responded to plaintiffs motion. As the 
motion was unopposed, judgment was entered. After the judgment was entered, 
Chrysler Credit took possession of all collateral for the loan and sold the vehicles, 
equipment, accounts receivable, and all assets of the car dealership. For nine 
years, Chrysler Credit took no action and the judgment became dormant. 

Nine years later, in 1984, Chrysler Credit sought to revive the 1974 judgment and 
seek a deficiency from my client defendant Fusillo. In 1984 1 was retained to 
defend Mr. Fusillo in connection with the revival and deficiency motions. 
Defendant Fusillo contended the judgment already was satisfied not only in fact 
but also by virtue of an accord and satisfaction. Alternatively, defendant Fusillo 
asserted that Georgia law presumes the collateral equals the debt because Chrysler 
Credit could not show its sale of the collateral was commercially reasonable under 
O.C.G.A. § 11-9-504. There were numerous other defenses. Ultimately, the 
Court denied Chrysler Credit's motion to seek a deficiency, and my client Fusillo 
prevailed as a matter of law. 



Court : 

Senior Judge Charles A. Moye. 
United Sutes District Court 
Northern District of Georgia 
2342 U.S. Courthouse 
75 Spring Street. S.W. 
Atlanta. Georgia 30303 
(404) 331-4559 



Counsel for opposing party : 

Jr. Mr. Gregory J Digel 

Branch. Pike, Ganz & O'Callaghan 
15th Floor, Two Midtown Plaza 
1360 Peachtree Street, N.E. 
Atlanu. Georgia 30309-3507 
(404) 898-8000 



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269 

19. Legal Activities: Describe the most significant legal activities you have pursued, 
including significant litigation which did not progress to trial or legal matters tkat 
did not involve litigation. Describe the nature of your participation in this question, 
please omit any information protected by the attorney-client privilege (anless the 
privilege has been waived). 

The vast majority of my law practice was civil litigation involving over 200 lawsuits in 
federal and state courts, as outlined in questions 17 and 18 above. 

In addition to handling many lawsuits in federal and state trial courts, my law practice 
also involved: (a) construction contract cases before the American Arbitration 
Association; (b) construction contract claim negotiations where disputes arose between 
parties dunng the course of construction on a project; (c) investigation of claims for and 
against insurance companies, rendering written opinions as to coverage, and negotiatiflg 
settlements. 

My legal activities also included extensive involvement and leadership roles in local, state 
and national bar associations and activities, as outlined in question 9 above. 

Finally, I have served on many committees. State commissions, and the boards of ajn- 
profit organizations, all of which seek to improve the civil and criminal justice system, 
as also outlined in questions 9 and 16 above. 



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270 



II. FINANCIAL DATA AND CONFLICT OF INTEREST rPUBLIC) 

1. List sources, amounts and dates of all anticipated receipts from deferred income 
arrangements, stock, options, uncompleted contracts and other future benefits which 
you expect to derive from previous business relationships, professional services, Tu-m 
memberships, former employers, clients, or customers. Please describe the 
arrangements you have made to be compensated in the future for any flnancial or 
business interest. 

If confirmed, I will resign from my present position as Judge of the Superior Court of 
Fulton County and will withdraw all funds in my State of Georgia and Fulton County 
retirement plans and transfer these funds to my existing, personal IRA account. I will 
have no continuing financial interest in any pension or retirement plan or otherwise as 
a result of any current or prior employment. 

I have no financial or business relationships to sever or for which to be compensated. 

2. Explain how you will resolve any potential conflict of interest, including the 
procedure you will follow in determining these areas of concern. Identify the 
categories of litigation and fmancial arrangements that are likely to present potential 
conflicts-of-interest during your initial service in the positions to which you have 
been nominated. 

I will follow all guidelines and standards of the Code of Judicial Conduct for United 
States District Court Judges. Among other procedures, I will not preside over any 
matter, or hear the case of any party, which presents a conflict of interest, a potential 
conflict of interest, or the app>earance of a conflict of interest. 

I am not aware of any categories of litigation or flnancial arrangements which will 
present potential conflicts of interest during my service, except as follows: 

(a) I have not had a financial interest in my prior law firm of Powell, Goldstein, 
Frazer & Murphy since 1984. However, to avoid even the appearaiKe of a 
conflict, I. as a Sute trial judge for nine years, have not presided over cases 
where my former law firm represents a party. I plan to continue that practice as 
a federal Judge. 

(b) My husband has an interest in ceruin limited businesses and real esute outlined 
in our flnancial sutements in Exhibit 5. Of course, I would not preside over any 
matter involving my husband's businesses or real esute. 

3. Do you have any plans, commitments, or agreements to pursue outside employment, 
with or without compensation, during your servke with the court? If so, explain. 

None. 



-20- 



271 



List sources and amounts of all income received during the calendar year preceding 
your nomination and for the current calendar year, including all salaries, fees, 
dividends, interest, gifts, rents, royalties, patents, honoraria, and other items 
exceeding $500 or more. (If you prefer to do so, copies of the financial disclosure 
report, required by the Ethics in Government Act of 1978, may be substituted here.) 

A copy of the financial disclosure repon, required by the Ethics in Government Act of 
1978, is attached as Exhibit 4. 

Please complete the attached financial net worth statement in detail (Add schedules 
as called for). 

See Exhibit 5. 

Have you ever held a position or played a role in a political campaign? If so, please 
identify the particulars of the campaign, including the candidate, dates of the 
campaign, your title and responsibilities. 

No. 



-21- 



272 



m. GENERAL fPUBLlO 

1. An ethical consideration under Canon 2 of the American Bar Association's Code of 
Professional Responsibility calls for "ever>' lawyer, regardless of professional 
prominence or professional workload, to find some time to participate in serving the 
disadvantaged." Describe what you have done to fulfill these responsibilities, listing 
specific instances and the amount of time devoted to each. 

In my law practice, I handled several pro bono civil and criminal cases as an attorney. 
As a lawyer, I participated in Atlanta Legal Aid's Saturday volunteer lawyer program 
where private attorneys staffed the Atlanta Legal Aid office on Saturday and accepted 
four to five clients per Saturday. 

During 1988-1991, I served on the Board of Directors of the Atlanu Volunteer Lawyers 
FouiKlation ("AVLF"), which recruits attorneys to handle pro bono civil cases in Fulton 
County and provides pro bono attorneys to over 1,000 low income clients in Fulton 
County, Georgia. 

During 1990-1992, 1 served on the Outreach Committee of my church which awards over 
$100,000 in grants to numerous non-profit organizations assisting the disadvantaged. 

During 1988-1991 , 1 volunteered as a Sunday School teacher for elemenury school age 
children at Emmaus House, serving children from poor inner-city families. 

During 1976-1979 1 served on the Board of Directors of Metro Atlanta Mediation Center. 
Inc. , which operates The Bridge, a non-profit family counseling center providing services 
to low income families. 

During 1990 to the present, I have served as a member of the State Bar of Georgia 
Correctional Facilities and Services Committee which, inter alia , promotes and oversees 
the "BASICS" program offering employment workshops for inmates prior to release. 

2. The American Bar Association's commentary to its Code of Judicial Conduct states 
that it is inappropriate for a judge to hold membership in any organization that 
invidiously discriminates on the basis of race, sex, or religion. Do you currently 
belong, or have you belonged, to any organization which discriminates - through 
either formal membership requirements or the practical implementation of 
membership policies? If so, list, with dates of membership. What have you done 
to try to change these policies? 

No. 



-22- 



273 



Is there a selection commission in your jurisdiction to recommend candidates for 
nomination to the federal courts? If so, did it recommend your nomination? Please 
describe your experience in the entire judicial selection process, from beginning to 
end (including the circumstances which led to your nomination and interviews in 
which you participated). 

Senator Sam Nunn of Georgia established a Judicial Selection Advisory Committee with 
nine members, which was chaired by Atlanta lawyer Gordon Giffin of the firm of Long, 
Aldridge & Norman. All interested persons were invited to apply. All applicants 
completed an extensive questionnaire and submitted writing samples by May, 1993. All 
applicants were interviewed by the entire Judicial Selection Advisory Committee in June, 
1993. Thereafter, Senator Nunn personally interviewed numerous candidates for the two 
vacancies on the United Slates District Court for the Northern District of Georgia. 
Senator Nunn subsequently recommended me as a candidate for one vacancy to President 
Bill Clinton Subsequently, I completed questionnaires for the Department of Justice, 
the Federal Bureau of Investigation, and the American Bar Association. I was 
interviewed in person by official representatives of the Department of Justice, the Federal 
Bureau of Investigation, and the American Bar Association. 

Has anyone involved in the process of selecting you as a judicial nominee discussed 
with you any specific case, legal issue or question in a manner that could reasonably 
be interpreted as asking how you would rule on such case, issue, or question? If so, 
please explain fully. 

No. 

Please discuss your views on the following criticism involving "judicial activism". 

The role of the Federal judiciary within the Federal government, and within society 
generally, has become the subject of increasing controversy in recent years. It has 
become the target of both popular and academic criticism that alleges that the 
judicial branch has usurped many of the prerogatives of other branches and levels 
of government. 

Some of the characteristics of this "judicial activism" have been said to include: 

a. A tendency by the judiciary toward problem-solution rather than grievance- 
resolution; 

b. A tendency by the judiciary' to employ the individual plaintiff as a vehicle for 
the imposition of far-reaching orders extending to broad classes of 
individuals; 

c. A tendency by the judiciary to impose broad, affirmative duties upon 
governments and society; 

d. A tendency by the judiciary toward loosening jurisdictional requirements 
such as standing and ripeness; and 

-23- 



274 



e. A tendency by the judiciary to impose itself upon other institutions in the 
manner of an administrator with continuing oversight responsibilities. 

Federal trial judges should, and generally do, decide individual cases based on the 
relevant facts and applicable law, resolve only the grievance before them, and do not 
employ an individual plaintiff as a vehicle for the imposition of far-reaching orders 
extending to a broad class of individuals or institutions. In fact, various elements 
combine to limit the role of the Federal judiciary. For example. Federal trial courts have 
specific, limited jurisdiction as to what cases may be heard and decided. Standing and 
ripeness requirements further limit what Federal trial courts can hear and decide. In 
addition. Federal trial judges are bound by a large body of judicial precedent, plus 
legislative enacunents significantly controlling the cases and issues to be decided. 



-24- 



275 



FINANCIAL DISCLOSURE REPORT KHnKsiHlS"- 

{5 U.S.C.A. App. 6, tS101-X12) 



1. r«raoe ttaportlsg (Laat ammm, tlrst, middl* lnlt.l«lj 



HULL. FRANK MAYS 



2. Court or Organization 



United Stales District Court 
for Northern District of Georgia 



3. Dat* of Haport 

Feb. 10, 1994 



4. Tltl* [Xrtlcla III ^udgaa Indlcat* activ* or 

aanlor atatua; Haglatxata ludgaa indlcata 
lull- or part-tlsaj 

United States District Court Judge - Active 



Report ryp« (cnacK apprppflata 5Xp«) 

Noalnatlon, Data „ ' 

Initial Annual Final 



6. ftaportlog Parlod 

1/1/93 - 12/31/93 
1/1/94 - 2/10/94 



7. Cb«ab«r* or Of fie* Xddx*«a 

Judge. Fulion Superior Court 
Atlanu Judicial Circuii 
185 Ctnu^al Ave. SW., Room T4705 
Atlanta Georgia 30303 



8. On ui* baalB of tbo InforsAtloB conlainad Id tlila Raport. It 
la, in ay opinloD, In coapllanca wltb appllcablo lawa and 
ragulatlona 



Raviawlny Offlcar SlgnaLura 



IMPORTANT NOTES: The instrucaons accompanying this form must be followed. Complete all parts, 
cbeddng the NONE box Tor each section where you have no I'eportable infonnation. Sign on last page 



I. POSITIONS. (Reporting individual only; see pp. 7-8 of Instructions.) 

POSITION NAME OF ORGANIZATION/ENTITY 

I NONE (No raporubla poaltloaa) 

Director. Board of Directors 



American Judicature Society. Chicago, Illinois 



Member 



State of Georgia Commission on Family Violence 



II, AGREEMENTS. (Reponing individual only, see p. 8-9 of Instructions.) 
DATE PARTIES AND TERMS 



H 



NONE (Ho raportablo agr««aanta) 



NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 9-12 of Instructions.) 



DATE 
(Honoraria only) 



SOURCE AND TYPE 



1 I NONE (Ho raportabla aon-lnvaat«a&t Incoaa) 

' 1/1/93 - 1/31/94 



Slate of Georgia. Superior Courts of Georgia 

(Judees Salan') 



1/1/93 - 1/31/94 



1/1 '93 - 1/3 r94 



Board of Comnussioners of Fulton Count>' 
fliirige's Salary ' 



GROSS INCOME 
(yours, not spouse's) 



70.948.28 (1993) 
$ 6.112.00(1994) 

29.933 74 (1993) 
$ 2.550 00 (I9')4) 



Lord. Aeck &. Sareeni. Inc (Architecis Salar>) 



EXHIBIT 4 



276 



FINANCIAL DISCLOSURE REPORT (cont'd) 



> of P«rBDn Importing 

HULL. FRANK MAYS 



tfXM of ftspart 

Feb. 10. 1994 



IV. REIMBURSEMENTS and GIFTS - transportation, lodging, food, entertainment. 



(Indodcs those to spouse and dependent children: use the parentheticals "(S)' and '(DC)' to indlalc rcporlabie 
reimbunemeots and gifts received by spouse and dependent children, mpectively. Sec pp.13-15 of Initmctioaa.) 

SOURCE DESCRIPTION 
NONE lao aocb r*porx«tol* r«labara«aaj)t« or gifts) 
Mnt applirahlf imHyr Swtinn in?rh'> 



n 



OTHER GIFTS, (includes those to spouse and dependent children; use the parentheticals '(S)* aod '(DC)* to 
indicate other gifts received by spouse and dependent children, respectively. See pp.15-16 of Instructioas.) 



D 



SOURCE 



NONE (Mo aoeta raporxabl* glfla) 



DESCRIPTION 



VALUE 



Not applicable under Section 102(h) 



VI. LIABILITIES, (includes those of spouse and dependent children; indicate where applicable, person respoosible 
for liability by using the parenthetical *(S)' for separate liabilit> of spouse, *(J)'/orjoiiit liability of reportiiit 



' liability by using the parenthetical *(S)' for separate liabilir> of spouse, *(J)' for jo 
individual ana spouse, and '(DC)* for liability of a dependent child, ^ee pp.lfr'18 orlnstructioos.) 



H 



CREDITOR 
NONE (ao r»perubl> llatillltlM) 



DESCRIPTION 



VALUE CODE* 



VAua ooou: 



J • $13,000 or !■•• 

a - s2So,ooi u ssoo.ooo 



a • sis, 001 to sso,ooo 

O • (900,001 to SI, 000, 000 



SSO.OOl to sioo.ooo 
Hoto UlAS $1,000,000 



SlOO.OCl ts (IM.OOO 



277 



FINANCIAL DISCLOSURE REPORT (cont'd) 



Naift« of P«r«on Rsportlng 

HULL. FRANK MAYS 



Date o; Raporx 

Februan' 10. 1994 



VII. INVESTMENTS and TRUSTS -- income, value, transactions. 

and dependent children; see pp. 18-27 of Instructions.) 



(Includes those of spouse 





p««crlptlon of AAflac* 
(iacludins tru*t MMt*) 

IndicAta, wb*r« appllc«blB, own*r of 
th« a*p«i DY UBUia Uia par»ntrt«UC«l 
•(J)" for iolnt ovn»ritilp of raport- 
Ing individual auc aoouae, "(S) for 
aapaxar* o»^aralilp by ■pouaa, '(DC)" 
for own^ranip by oapendant cblld. 

Placa *(X)* afc«r oach aaaat 
•xaapt froai prior dlacloaur*. 


Incoee 

djrlng 

reporting 

period 


c. 

Croas valoe 

at end of 

reporting 

period 


D. 
Traoaactlona during reporting period 




ID 

Alt., 
(k-B) 


12) 

rent or 
lot.) 


(1) 

Valoe:, 
COOe' 
(J-P) 


12) 

Value 

Method^ 
Code' 
(O-W) 


bijiih, 

BftTcei:, 

r«d*«inp" 

tlon) 


i; not axenpt iroa di*=lo»ur« | 




ille: 
Hon to- 
Day 


!3) 

Value, 
code^ 
(J-P) 


(♦) 

code' 
(»-B) 


'5) 
Ideatlty of 
bayer/aelier 
(11 private 
traDaaetloo] 




NO?^ (No raportabla 
Incona, aaaeta, or 
rranaactlonat 






















^ Real Esuie-:<-15: Woodhavcn RJ .NW 
Allanl.n Fiilinr- Tniinn GA 




None 


N 


W 














^25^ Real Esiaie-37 S[one> Creek 
Hilrtin Heart B-a'j((>n C^^ . SC 


D 


Rem 


M 


W 














^ Undev Real Esiale-:: acres 
Hen^^ Cr\ GA 




None 


L 


W 














'stocks/Bonds r IR.^ accnuni 


B 


Div/lnl, 
CG 


L 


T 














^Fulion Cr> Reiiremeni Plan 




None 


K 


T 














^Superior Ct JuL!|;t's Reuremtrni Plan 




None 


J 


T 














' Real F.stateLii] partner 
Pine« od Ltd . Dekalh Cr\. GA 




None 


J 


W 












(S) 


^25% stock in archiiectural firm 
l^rd Aeck A: Sari^ent. Inc 


No 
tha: 


le other 
sala^^' 


N 


u 












(S) 


*401fK) Retircmeni Plan &. Trust* 
I ord Aeck &. Sarcenl, In: 


E 


Div/bt/ 
CG 





T 












(S) 


'%locks/Bonds in IRA accounl 
Smith Ramr\ Shearscn 


B 


Div/lni 


K 


T 












(S) 


'^eal EsuieSlock in Co-Op Parking. 

Inr Alljni.T Fiilinn Cn G^ 


D 


D.v M 


W 














(S) 


"■^eal Esiaie-Ltd Paruier 

P^Tirhtree *;r ' iil Afiann Ci ^ 




None 


K 


w 












(S) 


^^cal E5Uic-::nO W Wcslev Rd 




None 


K 


w 












(S) 


'^5% Real Esiaie. 37 Sicine> Creek 

Hilmn Hrif' R-jiifor. rr\ SC 


D 


Rem 


M 


» 












(D 


:j^locks/Bonds, RH.A's (»o accls* 
Smith n^m-j Shear^nn 


E 


Div/lnt/ 
CG 


N 


T 












(D 


r^'Slocks/Bonds. MHA'.s accl* 


C 


DivAni; 
CG 


K 


T 












(D 


:5'Rcal Esiaie 




None 


M 


w 












(D 


:^h.57c Real E<;iaic-37 Sinn-> Creek 

Uilinn U^tM R/'atifiirf Cn ^(' 


D 


Rent 


M 


w 












(D 


:^\e2\ Esuie-:200 V.' Wesle> Rd 




None 


L 


w 














20 






















I Inc»»a/Caln Cod»»: *»S1,DOO or in* B>S1,001 to 52,500 C-52,501 to 5,000 D«$5,001 to SIS, 000 
(See Cc;. B: t D41 E-S15.001 I.O 550,000 F-S50,001 to SIOO.OOO C-S100,001 to 51,000,000 B-Morp thac Sl.OOO.OtK) 




5 Value Cooea: J-SlS.OOC or leaa K.SlS.OOl to SlO.OOO L-S50,001 to 5100,000 H-SIOO.OOI to 5250,000 
[See Col. CI 1 031 l»-S250,rol to 5500,000 0-5500,001 to 51. 000. 000 P-Wore -Ibt. 51.000.000 




3 Valne Heuiod Codea: Q-Ap?ralaal R-Coat (real estate only) S-Aaaeaament T-C«Bb/M*rket 
(See Col. C2) U-Book Value v-otber w-Eatiaat«d 



'Sc; auached Iim nf smck'-'hond'^ 



278 



FINANCIAL DISCLOSURE REPORT (cfflDI'd) 



• of Parson Raporting 

HULL. FRANK MAYS 



D«ts Of luport 

Feb. 10, 1994 



VIII. ADDITIONAL INFORMATION or EXPLANATIONS, (indicate part of Report.) 

As a current Judge of the Superior Court of Fulion County. Georgia. I participate in retirement plans with the Sute of 
Georgia and Fulton County listed in items VII (5) and (6). Upon becoming a United States District Court Judge. I will 
resign my present judgeship, withdraw those retirement funds, and transfer them to my IRA account in item Vn (4). 



IX. CERTIFICATION. 

Id compliance with the provisions of 28 U.S.C. § 455 and of Advisory Opinion No. 57 of the Advisory Committee on 
Judicial Activities, and to the best of my knowledge at tbe time after reasonable inquiry. I did not perform any adjudicatory 
function in any litigation during tbe period covered by this report in which I. my spouse, or my minor or dependent children 
had a financial interest, as defined in Canon 3C(3)(c). in tbe outcome of such litigation. 

I certify tbal all information given above (including information pertaining to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to tbe best of my knowledge and belief, and that any information not reported was 
withheld because it met applicable statutory provisions permitting non-disclosure. 

I further certify that earned income from outside employment and honoraria and the accepunce of gifts which have been 
reported are in compUance with tbe provisions of 5 U.S.CA. app. 7. § 501 et. seq.. 5 U.S.C § 7353 and Judicial Conference 
regulations. 



Signature , 



" ^ .fi^ ^Tiy hfiuf 



Date 



10^ 1994 



NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.CA. APP. 6, { 104, AND 18 U.S.C i 1001.) 



■'■■"'■d .:'■' ?^' ■:--^'::'^' . 


■ . <■ ; -i?.. 


FIUNO INSTRUCTIONS: 




Mail signed original and 3 additional copies to: Jodidal Ethic Committee 




AdministiatWc Otfioe of the 




United Sutes Courts 




Washington. DC 20544 


-■• ;'^'; 



279 




IN THE SUPERIOR COURT OF FULTON CCUNTY 
STATE OF GEORCU 



n/n 



A /ykiyLyQ 




V7i/Au\ 



CIVIL ACTION FILE NO. J^O^W^J 




ORDER 

The above case coming en for hearing, afcer 
having been published ^i provided by law, and.no appearance 
having been made, the same is distai^sed for want of prose- 
cution without prejrraice. / y 



This /'y day of 



y 



.^^^^njP y . 1988. 



/t 



JUDGE CLARENCE COOPER /^ 
Fulton Superior Court, A.J.C. 



EXHIBIT 6 



280 



IN THE SUPERIOR COURT OF FULTON COUNTY f//77r7r~-- 
STATE OF GEORGIA 



JERRY LARRY COLLIER, 
Petitioner, 

V. 

DAVID C. EVANS, LANS ON 
NEWSOME, NEAL B. CHILDERS , 
and THE HONORABLE FRANK 
M. HALL, 

Respondents . 



CIVIL ACTION 
NO. E-07920 




ORDER 



This matter came on before this Court on February 25, 1993, 
for oral argument on Petitioner's request for mandeunus relief. 

The gravamen of Petitioner's assertion was that the 
agreement that he entered into in Civil Action No. D-76039 was 
invalid and should be set aside. Counsel for the Respondents 
denied there was any impropriety in the agreement, but agreed 
to vacate the judgment in said case if the Petitioner would 
return the $750.00 earlier paid to him and to a trial by jury. 
Petitioner agreed to do so and, hence. Petitioner's request tor 
mandeunus relief is denied as moot. 

It is hereby ORDKRKD that the Petitioner has until 
* March 31, 1993, to return to the State Law Department the sum 
of $750.00 which was tendered to him in settlement of Civil 
Action No. D-76039. No extensions of time shall be given to 
the Petitioner to return the money. If the money is returned 



281 

in a timely fashion, Civil Action No. D-76039 can be re-opened. 
m the event the Petitioner fails to return the money to the 
State Law Department by March 31, 1993, the matter will be set 

for further hearing. 

This order is based upon an offer made by the Respondents in 

open Court on February 25, 19?'3- 

So ordered, this^>^h day of March, 1993. 




282 



IK THE UNITED STATES DISTRICT COURT 

FOR THE NORTHERN DISTRICT OF GEORGIA 

ATIANTA DIVISION 



JEFFREY MILLS 

vs. 
HONORABLE FRANK M. HULL 




l:92-CV-1463-RCr 



O R D E B 

This action is before the court on plaintiff's various notions 
[il7-l] I#18-l] [120-1] and Ii21-1),' and defendant Judge Frank M. 
Hull's motion for reconsideration [125-1] or, in the alternative, 
for summary judgment [t25-2]. All motions are unopposed.' 
p^gkground 

Plaintiff, proceeding pro se . alleges that Judge Hull declared 
plaintiff incompetent and ordered him institutionalized in 
violation of his constitutional rights. Judge Hull, asserting the 
doctrine of judicial immunity, moved to dismiss plaintiff's action. 
This court denied Judge Hull's motion in light of plaintiff's pro 
se status, plaintiff's broad allegations of wrongdoing, and the 
very nigh standard for succeeding on a motion to dismiss. See 
Order of April 16, 1993 [April Order], at 1-3. 



^Each of plaintiff's motions attempts to complain of 
wrongdoing by Judge Hull. However, the motions recite 
incomprehensible and/or irrelevant information without requesting 
relief. 

^Failure to file a response shall indicate that there is no 
opposition to the motion. LR 220-l(b), NDCa. 



283 



Discussion 

Judge Hull requests that the court reconsider its April Order 
and grant the notion to dismiss. The court finds a grant of 
summary judgment a more appropriate alternative. Under Fed. K. 
Civ. P. 56, the court should grant a notion for sununary judgaent 
where "there is no genuine issue as to any material fact and . . . 
the moving party is entitled to judgment as a matter of law." The 
movant carries her burden by showing the court that there is "an 
absence of evidence to support the nonmoving party's case." 
Celotex co rn, v. Catrett . 477 U.S. 317, 325, 106 S. Ct. 2548, 2554 
(1986) . 

The evidence submitted indicates that after plaintiff vas 
arrested for violating the Georgia Controlled Substances Act, his 
case was assigned to Judge Hull. Affidavit of Judge Frank M. Hull, 
at 1 2-4. Based on plaintiff's indigence, Judge Hull appointed a 
lawyer to represent plaintiff. Id. at J 5. Plaintiff's appointed 
counsel requested a forensic services examination to determine 
plaintiff's mental state. Id. Judge Hull ordered that 
examination. Id. The evidence also shows that Judge Hull 
performed only judicial actions with regard to plaintiff. Id. «t 
8. Plaintiff has offered nothing to indicate that Judge Hull acted 
outside of her official capacity or that Judge Hull acted outside 
her jurisdiction. 

"Judicial immunity is an absolute immunity; it applies even 
where a judge acts maliciously." Harris v. Deveaux. 780 F.2d 911, 
914 (11th Cir. 1986). A judge is entitled to such immunity 



284 



provided: (1) the judge dealt with the plaintiff in a judicial 
capacity, and (2) the judge did not act "in the *clcar absence of 
all jurisdiction.'" Id. (quoting Stuwp v. Soartatian . 435 U.S. 349, 
357, 9B S. Ct. 1099, 1105 (1978)). 

1. Judicial Capacity 

Judge Hull's affidavit indicates: (1) that Judge Hull 
performed a typical judicial function in ordering plaintiff to 
undergo a mental exaoination; (2) that Judge Hull acted in open 
court; (3) that she ordered the evaluation because plaintiff's 
criminal case was pending before her; and (4) that the actions of 
which plaintiff complains arose directly from plaintiff's visit to 
Judge Hull in Judge Hull's official capacity. Plaintiff has 
offered no evidence to the contrary. Thus, defendant has 
established that she acted in her judicial capacity. 

2. Jurisdiction 

This court can find that Judge Hull acted in the clear absence 
of all jurisdiction only "if [Judge Hull] completely lack[ed) 
subject matter jurisdiction." Harris . 780 F.2d at 916 (citing 
Dvkes V. Hosemann . 776 F.2d 942 (11th Cir. 1985) (en banc)). It is 
undisputed that Judge Hull acted within her jurisdiction when she 
granted plaintiff's criminal counsel's request for a mental 
evaluation of plaintiff. 

Therefore, the court finds that Judge Hull is entitled to 
judicial immunity and, correspondingly, grants Judge Hull's motion 
for summary judgment. 



285 



Accordingly, plaintiff's various notions which atteapt to 
assert wrongdoing, but which raguest no relief [fl7-I] [118-1] 
[#20-1] and [121-1] are DENIED. Defendant Judge Frank M. Hull's 
motion to reconsider [#25-1] is DENIED as MOOT, and her alternative 
notion for sumaary judgment [#25-2] is GRANTED. The Clerk is 
DIRECTED to dismiss this action as to Judge Frank Hull. 



SO ORDERED 



, this t^\ day of June, 1993. 




/^^^U^ 




:HAR£> C. FREE 
Sf NIOR UNITED STATES DISTRICT JUDGE 



- - 'S93 



286 






UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF GEORGIA 

ATLANTA DIVISION 



lARRY BRANT SARGEANT 
vs. 

FULTON COUNTY, FULTON COUNTY 
JAIL PERSONNEL, FULTON COUNTY 
MORMONS 



FILED IN' CLERKS CFFii 
u.sar. A-v 

JUL051S9C 




CIVIL NO. 1:90-CV-1181-ODE 



9RPEP 



This civil rights action is before the court for a 
frivolity determination pursuant to 28 U.S.C. S1915(d). 

This case purportedly arose after Fulton County police 
officers arrested Plaintiff and seized his car on March 23, 
1990.' Plaintiff, acting pro se, claims this arrest was made 
without a warrant or probable cause and therefore constitutes an 
unlawful search and seizure. Plaintiff also alleges that he was 
attacked, apparently just prior to his arrest, by elders of the 
Mormon Church, who were not arrested. In his initial complaint. 
Plaintiff, a self -described "Holy Profit of God, since 1962 and 
the President of the Church of Jesus Christ of Latter Day Saints 
since 1951," seeks one billion dollars in real damages and one 
billion dollars in punitive damages. 

In an amended complaint. Plaintiff further alleges that 
at 11:00 A.M. on March 23, 1990, he was booked into the Fulton 
County Jail and confined with a large number of inmates in a 



'plaintiff apparently is presently incarcerated at the 
Fulton County Jail in Atlanta, Georgia. 



287 



small holding cell. Plaintiff claims he became ill from the 
smoke. He asserts he begged the guards for relief and around 
midnight he was taken to another room, where he did not receive 
treatment for his vomiting condition, which was caused by a 
bleeding ulcer. Plaintiff states that he was forced to wait in 
the room until the guards finished their card game at 2:00 A.M. 
As relief. Plaintiff requests that the Defendant jail personnel 
each be fined in the amount of $1000.00 and imprisoned for one 
year. 

In his additional amended complaint. Plaintiff asserts 
that the Defendant Mormons evaded paying income taxes. He 
requests that this court sentence them to serve life imprisonment 
at Fort Levenworth and order them "hung on the Haliyards [sic] 
of the U.S.S. Constitution and towed out off Plymouth Rock, seven 
miles and Drawn and Quartered and Fed to the Fish, by the 
Destroying Angel of God, the Holy Ghost and Holy Angel, known as 
the Lion of the Tribe of Judah." 

On June 1, 1990, Plaintiff filed an additional 
complaint alleging that he was brought to court on May 7, 1990, 
but not permitted to appear and that he was appointed a public 
defender after he pleaded not guilty. He asseirts that a 
Magistrate set his bail at $800.00, but was told that it had been 
increased to $2,800.00. Plaintiff alleges that he was brought 
to court on June 1, 1990. He claims that Judge Frank Hull 
offered to release him on time served under a plea of guilty. 
Plaintiff further avers that Judge Hull found him incompetent to 



288 



stand trial and ordered hin sent to St. Regis Medical Center for 
thirty days. As relief. Plaintiff requests that the court fine 
Judge Hull $10,000 for violating his constitutional rights. 

Under 28 U.S.C. S191S(d), the court is authorized to 
dismiss an in forma pauperis complaint "if satisfied that the 
action is frivolous or malicious." Neitzke v. williains . 490 U.S. 
, 109 S. ct. 1829 (1989). Where the legal theory or factual 

contentions asserted in the complaint lack an arguable basis, a I 

I 
claim is frivolous. Id. Having read and considered Plaintiff's ' 

complaints, the court finds them frivolous. ; 

Under the circumstances stated in the complaints, the ' 
venerable common law tenet of judicial immunity applies. Tmbi^^r j 
v. Pachtman . 424 U.S. 423 n. 20 (1976). Insofar as the complaint | 
may seek review of any determinations of a superior or municipal | 
court of the State of Georgia, in this procedural posture, the 
court lacks subject matter jurisdiction. This court possesseB 
"no power whatsoever to sit in direct review of state court 
decisions." District of Coluinbia Court of Appeals v. Feldman. 
460 U.S. 462 (1983) (quoting Atlantic Coastline Railroad Co. v. 
Leeowotive Engineers . 398 U.S. 281 (1970)). 

As to the claims against the Fulton County Jail 
personnel. Plaintiff has chosen an inappropriate forum in which 
to seek the relief he requests. However, construing the pro ■• 
complaint in the broadest possible light, it contains facts which 
arguably may state a claim, such that dismissal at this stage of 
the proceedings would be inappropriate. Neitzke at 1829 



289 



(standard under 28 U.S.C. SX9I5(d} not co-equal to Fed. R. Civ. P. 

12(b)(6)). 

As to the tax related allegations against the un-naaed 
Horaon elders, Plaintiff lac)cs standing to pursue that clain. 
£££ Valley Forae College v. Americans Dnited. 454 O.S. 464 

(1982). Insofar as the complaint could possibly be construed to 
assert any other claims against these Defendants, because 
Plaintiff does not allege that these individuals are state actors 
or provide any basis for diversity jurisdiction, the court 
declines to exercise jurisdiction. 

Accordingly, Plaintiff's claims against Judge Hull and 
the Mormon elders are DISMISSED as frivolous pursuant to 28 
U.S.C. s 1915(d) . The claims against Fulton County and the Fulton 
County Jail may proceed. 

The Clerk is DIRECTED to forward .sufficient United 

»■- -. 

States Marshal Service forms and summons foms to Plaintiff. 
Upon receipt. Plaintiff is hereby ORDERED to complete the tons 
and return them to the Clerk within thirty (30) day* from the 
entry date of this order so that process may be served on 
Defendants. This action shall proceed no further until these 
forms are returned. A failure to timely comply with this order 
will result in a dismissal of this action pursuant to L.R. 230- 
3. Should Plaintiff fail to so comply, the Cler)c is DIRECTED to 
resubmit this case to the Magistrate after the aforementioned 
time. 



290 



Plaintiff is further DIRECTED to serve upon Defendants 

or their counsel a copy of every additional pleading or other 

docuaent he files in this aatter. He shall include with each 

filing a certificate stating the date on which he Bailed an 

accurate copy of that document to Defendants or their counsel. 

This court shrll disregard any papers Bubnitted which have not | 

I 
been properly filed with the ClerJc or do not include the I 

certificate of service. Plaintiff is DIRECTED to keep the court | 

i 
and Defendants informed of his current address at all times 

during the pendency of this action. 

SO ORDERED, this 5~ day of July, 1990. 



ORINDA D. EVANS ..-•-- 

UNITED STATES DISTRICT Judge 

. ■: i 






SJ 



.0 



291 





FINANCIAL STATEMENT 

Frank M Hull* 




ASSETS 




LIABILITIES 1 


Cash on hand and in banks 

U.S Govemmenl secunlies 

Usied secunties 

Uolisied secuniies 

Accouou and notes receivable: 

Due from relatives, friends, others 

Real estate owned 
100% interest in pnmar> residence 
3452 Woodhaven Road, N.W S450.000 
Atlanta, Georgia 

25% interesi in vacaiion/renial home 

37 Stoney Creek Road $ 50.000 

Hilton Head Island, SC 

Interesi in Pinewood Ltd. P'ship 
apanmeni complex $ 10.000 
Dekalb Count) . Georgia 

lOOS inieresi in 22 acres 

undeveloped propeny 

Henry County, Georgia S 65.000 

Real estate mortgages receivable 

Autos and other personal propeny 
1989 Ford Taurus 5,000 
1986 Chevrolet Suburban 2.000 
An. jewelry, furniture 35.000 

Cash value - life insurance 

Other assets - itemize; 
IRA account (statemeni attached) 
Fulton County Retirement Plan 
Superior Coun Judges Retirement Plan 
Total assets 


$ 3.324 


Notes payable to banks - secured 


S 





Notes payable to banks - unsecured 








Notes payable to relatives 
Notes payable to others 














Accounts and bills due 








Unpaid income tax 





575,000 


Other unpaid tax and inlerest 
Real estate mortgages payable 

Chattel mongages and other liens payable 
Other debts - itemize: 





30.000 
11.000 















42,000 



















55,660 






38.889 


Total liabilities 


$41,000 


6.373 


Net worth 


$680,246 


$721,246 


Total liabilities and net worth 


1721,246 


CONTINGENT LIABILITIES 


GENERAL INFORMATION | 




As endorser, comaker or guarantor 


None 


Are any assets pledged? (Add schedule) 


No 


On leases or conirarts | 


None 


Are you defendant in any suits or legal actions? 


No 


Legal Claims 


None 


Have you ever taken bankruptcy? 


No 


Provision for Federal Income Tax 


None 






Other special debi 


None 


1 



'These are assets in name oj frank M Hut', and do not include assets in name of husband Antonm Aeck ('Tony')- See separate Fuuutcial Staumeni oj 
husband attached hereto- 



EXHIBIT 5 



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FINANCIAL STATEMENT 

Antonin Aeck* 



ASSETS 




LIABILITIES 




Cish on band and in banks 

U.S. Covemmeni securities 

Usied secuniies 

1 Unlisied secunties ■ 25% siock in 
Lord. Aeck & Sargent, Inc. 

Accounu and notes receivable: 

Due from relatives, friends, otben 

Real estate owned 
33VS% interest in two acre 
residential lot $ 40.000 

Peactatree South Ltd - owns 

parking lot, Atlanta. Georgia S 26.000 

Co-op Parking. Inc owns 

parking lot. Atlanta. Georgia SI02.000 

25% interest in vacation/rental home 
1 37 Sione> Creek Road S 50.000 
1 Hihon Head Island. SC 

Real estate mortgages receivable 

Autos and other personal propeny 

1985 Mercedes $ 7.500 

1986 Chevrolei Suburban 2.000 
Alt, jewelry, furniture 35,000 

Cash value - life insurance 

Olber assets itemize: 

IRA account (statement attached) 

401(k) Retirement Plan & Trust 
(staiemeni attached) 

Total assets 


$ 5.000 


Notes payable to banks - secured 


% 





Notes payable to banks - unsecured 








Notes payable to lelaiives 





223.344 


Notes payable to others 








Accounu and bills due 








Unpaid income tax 





218.000 


Other unpaid tax and interest 
Real estate mortgages payable 
Chattel mongages and other liens payable 
Other debts - itemize: 





11,000 













44,500 

















36.369 






501.586 


Total liabilities 


S ll.OOO 




Net wofih 


$1,017,799 


Si. 028.799 


Total liabilities and net worth 


$1,028,799 


CONTINGENT LIABILfTlES | 


GENERAL INFORMATION 




As endorser, comaker oi guarantor 

On leases or contracts 

Legal Claims 

Provision for Federal Income Tax 


None 


Arc any assets pledged? (Add schedule) 


No 


None 


Arc you defendant in^any suits or legal actions? 


No 


None 


Have you" ever taken bankruptcy? 


No 


None 






Other special debt 


None 







Frank M Hull aiiached hereto 



EXHIBIT 5 



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296 



FINANCIAL STATEMENT 

Richard Hull Aeck 
(Minor Child) 



ASSETS 


LIABILITIES 




Cash on hand and in banlu 

U.S. Govemmeni securities 

Listed securities 

Unlisted securities 

Accounu and notes receivable: 

Due from relatives, friends, others 

Real estate owned 
Thirty acres undeveloped propeny 
in Highlands. North Carolina S 60.000 

2S% interest in vacation/rental home 

37 Sioney Creek Road $ 50,000 

Hilton Head Island. SC 

33V4% interest in two acre 

residential lot $ 40.000 

Real estate mortgages receivable 
Autos and other personal propeny 

Cash value - life insurance 
Other asseu - itemize: 
Trust account (staiemeni attached) 

Guardianship account (statement attached) 
Total assets 


$ 1.500 


Notes payable to banks - secured 

Notes payable to banks - unsecured 

Notes payable to relatives 

Notes payable to others 

Accounts and bills due 

Unpaid income tax 

Other unpaid tax and interest 

Real estate tnortgages payable 

Chattel mongages and other liens payable 

Other debts - itemize: 


i 




1 " 







500 































150.000 







































36.319 




275.248 


Total liabilities 


S 






Net worth 


$463,567 




$ 463.567 


Total liabilities and net worth 


$463,567 




1 CONTINGENT LIABILITIES 




GENERAL INFORMATION 






As endorser, comaker or guarantor 

On leases or contracts 

Legal Claims 

Provision for Federal Income Ta;t 

Other special debt 


None 


Are any assets pledged? (Add schedule) 


No 




None 


Arc you defendant in any suits or legal actions? 


No 




None 


Have you ever taken bankruptcy? 


No 




None 








None 









EXHIBIT 5 



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299 



FINANCIAL STATEMENT 

Molly Hull Aeck 
(Minor Child) 



ASSETS 




LIABILITIES 1 


Cash on band and in banks 

U.S. Govemmeni securiiies 

Listed securiiies 

Unlisted securities 

Accounts and notes receivable: 

Due from relaiives. friends, others 

Real estate owned 
Thirt) acres undeveloped property 
in Highlands, North Carolina S 60.000 

33V4% interest in two acre 

residential lot in 

Atlanu. Georgia S 40,000 

Real estate mongages receivable 
Aulos and other personal property 

Cash value - life insurance 
Other assets - itemize: 
Trust account (statemeni attached) 

Total assets 


$ 500 


Notes payable to banks - secured 


$ 


500 


Notes payable to banks - unsecured 








Notes payable to relatives 








Notes payable to others 








Accounts and bills due 








Unpaid income tax 





100.000 


Other unpaid tax and interest 

Real estate mongages payable 

Chattel mongages and other liens payable 

Other debts - itemize: 







































45,184 








Total liabilities 


$ 




Nei worth 


S146.184 


$146,184 


Total liabilities and net worth 


SI46.I84 


CONTINGENT LIABILITIES 




GENERAL INFORMATION 


As endorser, comaker or guarantor 

On leases or contracts 

Legal Claims 

Provision for Federal Income Tax 

Other special debt 


None 


Are any assets pledged? (Add schedule) 


No 


None 


Are you defendait in any suits or legal actions? 


No 


None 


Have you ever taken bankruptcy? 


No 


None 






None 







EXHIBIT 5 



300 



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301 



UNITED STATES SENATE 
Committee On The Judiciary 
Washington, DC 20510-0275 



I. BIOGRAPHICAL INFORMATION (PUBLIC) 

Full name (include any former names used.) 
Mary Mona Lisi 

Address: List current place of residence and office 
address(es) . 

Home : 

355 Stone Ridge Drive 
East Greenwich, RI 02818 

Office: 

Office of Disciplinary Counsel 
Fogarty Judicial Annex 
24 Weybosset Street 
Providence, RI 02903 

Date and place of birth. 

September 4, 1950 
Providence, RI 

Martial Status (include maiden name of wife, or 
husband's name). List spouse's occupation, employer's 
name and business address(es). 

Married. 

Stephen J. Reid, Jr., Attorney 

Blish & Cavanagh 

Commerce Center 

30 Exchange Terrace 

Providence, RI 02903 

Education: List each college and law school you have 
attended, including dates of attendance, degrees 
received, and dates degrees were granted. 

University of Rhode Island 

Kingston, Rhode Island 

September, 1968 - June, 1972 B.A. 1972 



302 



University of Rhode Island 
Kingston, Rhode Island 
September, 1973 - August, 1974 

Course work in Master's Program. 

No degree awarded; I left to attend 

law school 



6. 



Temple University School of Law 

Philadelphia, Pennsylvania 

August, 1974 - May, 1977 J.D. 



1977 



National College for Criminal Defense 

University of Houston 

Houston, Texas 

May, 1980 - June, 1980 

Certificate of Completion Trial Practice I 

6/80 

Employment Record: List (by year) all business or 
professional corporations, companies, firms, or other 
enterprises, partnership, s institutions and 
organizations, nonprofit or otherwise, including 
firms, with which you were connected as an officer, 
director, partner, proprietor, or employee since 
graduation from college. 



9/72-6/73 



6/73-8/73 



8/73-8/74 



9/74-5/76 



9/75-5/76 



Prout Memorial High School 
Wakefield, Rhode Island 
History Teacher 

Scholastic International 
New York City, New York 
Tour Chaperone 

University of Rhode Island 
Kingston, Rhode Island 
Hall Director 

University of Pennsylvania 
Veterinary Hospital 
Philadelphia, Pennsylvania 
Receptionist 

Professor Jerome Sloan 
Temple University School of Law 
Philadelphia, Pennsylvania 
Law Clerk 



5/76-8/76 



US Attorney 

Providence, Rhode Island 

Law Clerk 



303 



9/76-5/77 



9/11-10/11 



10/77-7/81 



8/81-10/82 



8/81-10/82 



10/82-12/87 



1/88-10/90 



10/90-present 



US Attorney 

Philadelphia, Pennsylvania 

Law Clerk 

RI Hospital Trust Bank 
Providence, Rhode Island 
Paralegal 

Rhode Island Public Defender 
Providence, Rhode Island 
Assistant Public Defender 

Office of the Child Advocate 
Providence, Rhode Island 
Assistant Child Advocate 

Private Law Practice 
Providence, Rhode Island 

Office of the Court Appointed Special 

Advocate 
Rhode Island Family Court 
Providence, Rhode Island 
Director 

Office of Disciplinary Counsel 
Rhode Island Supreme Court 
Providence, Rhode Island 
Deputy Disciplinary Counsel 

Office of Disciplinary Counsel 
Rhode Island Supreme Court 
Providence, Rhode Island 
Chief Disciplinary Counsel 



Military Service: Have you had any military service? 
If so, give particulars, including the dates, branch 
of service, rank or rate, serial number and type of 
discharge received. 

No. 

Honors and Awards: List any scholarships, 
fellowships, honorary degrees, and honorary society 
memberships that you believe would be of interest to 
the Committee. 

1986 Named one of the "Providence 350" in recognition 
of my activities as a children's rights advocate 

1987 Recipient of the "Meritorious Service to the 
Children of America Award" from the National Counsel 
of Juvenile and Family Court Judges 



304 



9. Bar Associations: List all bar associations, legal or 
judicial-related committees or conferences of which 
you are or have been a member and give the titles and 
dates of any offices which you have held in such 
groups. 

American Bar Association 

Rhode Island Bar Association 

Rhode Island Women's Bar Association 

(Vice President 1988) 
Rhode Island Women Lawyers Association 

(President 1981) 
National Court Appointed Special Advocate Association 

(Treasurer 1984-86; President 1986-88; Board Member 
1988-1992) 
National Organization of Bar Counsel 

10. Other Memberships: List all organizations to which 
you belong that are active in lobbying before public 
bodies . 

Urban League of Rhode Island 

Please list all other organizations to which you 
belong. 

None 

11. Court Admission: List all courts in which you have 
been admitted to practice, with dates of admission and 
lapses if any such memberships lapsed. Please explain 
the reason for any lapse of membership. Give the sae 
information for administrative bodies which require 
special admission to practice. 

Rhode Island* admitted 10/12/77 

United States District Court, Rhode Island 

admitted 11/8/77 

Massachusetts* admitted 6/9/78 

•Please note I am listed as voluntary inactive since I 
am prohibited from practicing law outside the office 
of Disciplinary Counsel. 

12. Published Writings: List the titles, publishers, and 
dates of books, articles, reports, or other published 
material you have written or edited. Please supply 
one copy of all published material not readily 
available to the Committee. Also, please supply a 
copy of all speeches by you on issues involving 
constitutional law or legal policy. If there were 
press reports about the speech, and they are readily 
available to you, please supply them. 

None. 



« 



305 



13. Health: What is the present state of your health? 
List the date of your last physical examination. 

Excellent 
January, 1993 

14. Judicial Office: State (chronologically) any judicial 
offices you have held, whether such position was 
elected or appointed, and a description of the 
jurisdiction of each such court. 

None. 

15. Citations: If you are or have been a judge, provide: 
(1) citations for the ten most significant opinions 
you have written; (2) a short summary of and citations 
for all appellate opinions where your decisions were 
reversed or where your judgment was affirmed with 
significant criticism of your substantive or 
procedural rulings; and (3) citations for significant 
opinions on federal or state constitutional issues, 
together with the citation to appellate court rulings 
on such opinions. If any of the opinions listed were 
not officially reported, please provide copies of the 
opinions . 

N/A 

L6. Public Office: State (chronologically) any public 
offices you have held, other than judicial offices, 
including the terms of service and whether such 
positions were elected or appointed. State 
(chronologically) any unsuccessful candidacies for 
elective public office. 

Yes. In February, 1991, I was appointed by Governor 
Bruce Sundlun to serve on the Select Commission to 
Investigate the Failure of RISDIC ("Commission"). The 
Commission was created by an act of the RI 
Legislature. Its purpose was to investigate the 
failure of the private insurer of credit union and 
bank deposits which result din the closure of 45 
financial institutions by the Governor. The 
Commission had subpoena power, held confidential 
investigative depositions, and televised public 
hearings. I served on the Commission from February, 
1991 until December, 1992 when we issued our final 
report. I served on the Commission without 
compensation. 



306 



17. Legal Career: 



b. 



Describe chronologically your law practice and 
experience after graduation from law school 
including: 

1. whether you served as clerk to a judge, and if 
so, the name of the judge, the court, and the 
dates of the period you were a clerk; No 

2. whether you practiced alone, and if so, the 
addresses and dates; 

3. the dates, names and addresses of law firms or 
offices, companies or governmental agencies 
with which you have been connected, and the 
nature of your connection with each; 

1. What has been the general character of your 
law practice, dividing it into periods with 
dates if its character has changed over the 
years? 

2. Describe your typical former clients, and 
mention the areas, if any in which you have 
specialized. 



October, 1977 - July, 1981 



Rhode Island Public 

Defender 
100 North Main Street 
Providence, RI 02903 



From October, 1977 to March, 1980, I was an Assistant 
Public Defender assigned to the Juvenile Division. I 
represented indigent juvenile offenders in delinquency 
actions and indigent adult offenders charged with 
civil child abuse and neglect. From March, 1980 to 
July, 1981, I was supervising attorney of the Juvenile 
Division. In addition to maintaining a full caseload, 
I supervised four attorneys, two clerical workers, and 
an investigator. 

August, 1981 - October, 1982 Assistant Child 

Advocate (part-time) 
Office of the Child 

Advocate 
260 West Exchange Street 
Providence, RI 

I was responsible for reviewing placements of children 
in the care of the Department for Children and Their 
Families, and representing the Child Advocate before 
the Family Court. I left the Child Advocate's office 
when I was appointed Director of the CASA program. 



307 



August, 1981 - October, 1982 Private Practice 

My practice consisted primarily of guardianships in 
domestic relations cases before the Family Court. 

Office Address: 
27 Prudence Avenue 
Providence, RI 

October, 1982 - December, 1987 Director 

Court Appointed 

Special Advocate 

Program 
Rhode Island Family 

Court 
One Dorrance Plaza 
Providence, RI 02903 

I had full administrative responsibility for the CASA 
Program. I supervised a staff of five attorneys, 
three social workers, three coordinators, and four 
secretaries. I also recruited and trained more than 
200 volunteer CASAs who together with our professional 
staff represented the best interests of abused and 
neglected children before the Family Court. I 
maintained a case load which required frequent 
appearances before the Rhode Island Family Court. 

January, 1988 - October, 1990 Deputy Disciplinary 

Counsel 
Rhode Island Supreme 

Court 
250 Benefit Street 
Providence, RI 02903 

I was responsible for the investigation and 
presentation of complaints to the Disciplinary Board. 
I also prosecuted several formal matters before the 
Board. In September, 1989, upon the resignation of 
former Judge Fuyat, and at the direction of the Chief 
Justice, I conducted the investigation of Judge 
Fuyat 's borrowing money from attorneys who appeared 
before him. I drafted the petitions for formal 
disciplinary action, prepared memoranda, and tried 
each of the 30 cases presented to the Disciplinary 
Board and the Rhode Island Supreme Court. 



308 



October, 1990 - present Chief Disciplinary 

Counsel 
RI Supreme Court 
24 Weybosset Street 
Providence, RI 02903 

I have full administrative responsibility for the 
Office of Disciplinary Counsel. I supervise four 
attorneys, a confidential investigator, and four 
secretaries. I continue to try formal disciplinary 
matters before the Board and to present cases before 
the Supreme Court. 

c. 1. Did you appear in court frequently, 

occasionally, or not at all? If the frequency 
of your appearances in court varied, describe 
each such variance, giving dates. 

Frequently 

2. What percentage of these appearances was in: 

(a) federal courts 
0% 

(b) state courts of record; 
100% 

(c) other courts 
0% 

3. What percentage of your litigation was: 

(a) civil 

1977-81 30% 
1981-present 100% 



(b) criminal 
1977-81 



70% 



309 



4. State the number of cases in courts of record 
you tried to verdict or judgment (rather than 
settled), indicating whether you were sole 
counsel, chief counsel, or associate counsel. 

From October, 1977 through July, 1981, I 
served as an Assistant Public Defender. My 
caseload included status offenses, 
misdemeanors, felonies, and civil child abuse 
and neglect cases. I conservatively estimate 
that I tried at least 100 cases to conclusion, 
including a first degree murder case. With 
the exception of the murder trial, I was sole 
counsel. 

From October, 1982 through December, 1987, I 
represented abused and neglected children in 
trials and review hearings before the RI 
Family Court. My representation in those 
cases was as a guardian ad litem. In that 
capacity, I participated fully in trial, 
conducting direct and cross-examination of 
witnesses. Again, in this capacity I 
conservatively estimate having participated in 
at least 50 trials as sole counsel. 

From 1988 to the present, I have tried 
approximately 40 attorney discipline cases 
before the Rhode Island Supreme Court 
Disciplinary Board. (Board) The Board is an 
administrative adjudicative body. Contested 
matters are tried in accordance with the 
Board's Rules of Procedure and the Rhode 
Island Rules of Evidence. In addition, I 
appear before the Rhode Island Supreme Court 
on a regular basis at disciplinary show cause 
hearings . 

5. What percentage of these trials was: 

(a) jury 
0% 

(b) non-jury 
100% 



310 



18. Litigation: Describe the ten most significant 

litigated matters which you personally handled. Give 
the citations, if the cases were reported, and the 
docket number and date if unreported. Give a capsule 
summary of the substance of each case. Identify the 
party or parties whom you represented; describe in 
detail the nature of your participation in the 
litigation and the final disposition of the case. 
Also state as to each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge 
or judges before whom the case was litigated; and 

(c) The individual name, addresses, and telephone 
numbers of co-counsel and of principal counsel 
for each of the other parties. 

1) Carter v. Kritz 560 A2d 360 (RI 1989) 

Kritz is an attorney misconduct case. The case is 
significant because it is the first case in RI brought 
against an attorney for sexual misconduct with his 
clients. I prosecuted this case for the office of 
Disciplinary counsel. I interviewed each of the 
victims and prepared them to testify. On the day of 
the hearing, Mr. Kritz admitted all factual 
allegations and rule violations. The Board found that 
Mr. Kritz had used his position as an attorney to take 
advantage of his clients and recommended that he be 
suspended from the practice of law for not less than 
one year. The Supreme Court concurred. 

Dates of trial: 11/8/88; 1/18/89; 3/6/89 

Judge: This case was tried before a three-member 
panel of the RI Supreme Court Disciplinary 
Board. The panel members were: Marifrances 
McGinn, Esquire, Robert Kilmarx, Esquire, and 
N. Jameson Chace, Esq. 

Co-counsel: None 

Respondent's counsel: William A. Dimitri, Jr., Esq. 

733 Douglas Avenue 
Providence, RI 02908 
(401) 273-9092 



10 



311 



2) Carter v. Peotrowski 568 A2d 1032 (RI 1990) 

Upon my appointment as Deputy Disciplinary Counsel, I 
was assigned to conduct an investigation of Mr. 
Peotrowski 's fitness to practice law in conjunction 
with his Petition for Reinstatement. Mr. Peotrowski 
had been disbarred in 1982 and had served a prison 
term for obtaining money under false pretenses and 
forgery. My investigation revealed that Mr. 
Peotrowski had, since his disbarment, engaged in the 
unlawful practice of law, had used the name of a 
fictitious or deceased person who was purported to 
have given him powers of attorney in connection with 
several petitions filed in the Courts, and he had 
misrepresented facts to the courts. I presented all 
of this information to the Board during a three day 
trial. In addition, I tried three other petitions 
alleging misconduct which had remained in a pending 
status since the order of disbarment entered. The 
Board found that Mr. Peotrowski 's readmission would be 
detrimental to the integrity of the bar and to the 
public interest. In its recommendation to the Court, 
the Board advised that not only should the Petition 
for reinstatement be denied, but that Mr. Peotrowski 
never be allowed to practice law again. The Court 
denied the Petition for Reinstatement. 

This case is significant because it sets forth the 
standard for readmission after disbarment. As a 
result of my work on this case, I developed a 
Reinstatement Protocol for the office of Disciplinary 
Counsel. The Protocol is used in every reinstatement 
case to insure a thorough, uniform investigation and 
report. 

Dates of trial: 3/16/89; 4/5/89; 4/20/89 

Disciplinary Board Members: Ralph P. Semonoff 

(deceased) 
N. Jameson Chace, Esq. 
James V. Aukerman, Esq. 

Co-counsel: None 

Respondent's Counsel: John H. Ruginski, Jr., Esq. 

1 Park Row 

Providence, RI 02903 
(401) 272-7966 



11 



312 



3) Lisi V. Hines 610 A2d 113 (RI 1992) 

This is an attorney discipline case. Mr. Hines was 
under suspension at the time of the trial of this 
matter. In this case, Mr. Hines had failed to turned 
over to his client $10,000 which he was holding in 
escrow. Mr. Hines admitted that he had converted the 
money to his own use. Mr. Hines did make restitution 
prior to the trial. I argued that the proper sanction 
should be disbarment, especially in view of the fact 
that Mr. Hines was currently under suspension for two 
other findings of misconduct. The Board and the court 
agreed. Mr. Hines remains disbarred. 

Dates of trial: 7/16/91 

Disciplinary Board Members: Carol A. Zangari, Esq. 

Diane Finkle, Esq. 
R. Kelly Sheridan, Esq. 



Co-counsel: None 



Respondent's Counsel: Mr. Hines was pro se . Current 

address and phone number are 
unknown. 



12 



313 



4) In Re Crystal. J oshua and Jacqueline A. 448 A2d 1226 
(RI 1982) 

This case was a civil child dependency case based on 
the mother's psychiatric condition. The trial Judge 
found no evidence of abuse or neglect but did find 
that the children were dependent. The basis of the 
Judge's finding was that the mother had had a history 
of mental disorder and that there was a great 
possibility that she would have another psychotic 
episode. A psychiatrist testified that the mother 
could not adequately care for her children while she 
experienced such episodes. 

I represented the mother in this case. The trial 
Judge found that there was a "strong possibility" that 
the children would suffer physical and mental harm if 
returned to the mother even though he agreed that the 
mother had made progress, that she was trying to 
improve the situation, and that she had enlisted the 
assistance of her own father to care for the children. 

On appeal, the Supreme court affirmed the trial 
Judge's finding. This case refined the standard in 
dependency cases of what constitutes evidence that the 
child is "likely to suffer physical and/or emotional 
harm. " 

Dates of trial: July, 1980 

Judge and Court: Hon. Robert G. Crouchley, RI Family 

Court (Ret.) 

Co-Counsel: None 

Counsel for the State: Thomas M. Bohan 

Department for Children Youth & 

Family 
610 Mount Pleasant Avenue 
Providence, RI 
(401) 457-4718 



13 



314 



5) Tn Re Francis J 456 A2d 1174 (RI 1983) 

Francis was 17 years old at the time she was charged 
with first degree murder. Because of her age, she was 
tried in the RI Family Court as a juvenile. Francis 
was alleged to have stabbed to death a woman outside 
the door of Francis' apartment. Francis gave a 
statement to the police admitting that she had stabbed 
the decedent. At trial, Francis testified that 
another person stabbed the woman and that individual 
had asked Francis to assume responsibility because she 
would be treated less harshly as a juvenile than the 
other person would be as an adult. 

The trial Judge did not find Francis credible. He 
adjudicated her delinquent by reason of an act that 
would have constituted murder if committed by an 
adult. Francis was sentenced to the Training School 
until her 21st birthday. 

A significant issue we raised in this case was whether 
Francis' confession should be suppressed on the 
grounds that she had not had an opportunity to consult 
with her mother in private before giving her statement 
to the police. The Supreme Court held that the 
confession was admissible and denied the appeal. 

I and another assistant public defender worked on this 
case. During trial, I conducted the direct 
examination of Francis. 

Date of trial: 10/79 

Judge and Court: Hon. Edward P. Gallogly (Ret) 

RI Family Court 

Co-counsel: John E. Farley, Esq. 

Assistant Attorney General 
72 Pine Street 
Providence, RI 02903 
(401) 277-2424 

Prosecutor: Edward DiPippo 

422 Broadway 
Providence, RI 
(401) 861-5500 



14 



315 



The following five cases were tried separately before the 
RI Supreme Court Disciplinary Board and presented 
separately before the RI Supreme Court. The Court opinion 
consolidates them along with several others that I also 
tried under the caption Lisi v. Several Attorneys 596 A2d 
313 (RI 1991) . I had been assigned full responsibility for 
investigation, preparation of charges of formal 
disciplinary action, trial, memoranda, and presentation to 
the RI Supreme Court of the matters reported in Lisi v. 
Several Attorneys . These were cases of first impression in 
Rhode Island. The Court found that the attorneys had 
prejudiced the administration of justice by loaning money 
to a Family Court Judge before whom they appeared. The 
Judge was removed from the bench and disbarred before the 
trials of these matters took place. 

6) In the Matter of Gordon & Levitt . See Lisi v. Several 
Attorneys . 596 A2d 313 (RT 1991) Gordon and Levitt 
were partners in a law firm. Gordon practiced before 
the RI Family Court on a regular basis. From 10/88 to 
7/89, he was attorney of record and trial counsel in 
seventeen domestic relations cases which appeared on 
the calendar of then Family Court Judge Fuyat. 
Included among those seventeen cases was a hotly 
contested matter, the trial of which took 24 days. 
One of the issues before the Judge was Gordon's 
petition for attorneys' fees totalling approximately 
$120,000. Five days before the trial started, Gordon 
met privately with the Judge and agreed to give the 
Judge a $4,000 check drawn on his firm client's 
account in exchange for the Judge's post-dated check. 
While the trial was in progress, the Judge asked 
Gordon if his firm would represent Fuyat with regard 
to a pending refinance of the Judge's home. Gordon 
agreed and directed the Judge to call his partner, 
Levitt. Levitt spoke with the Judge and agreed to 
represent him. A few days later, however, the Judge 
called to say that the financing had been delayed. 
The Judge inquired if Levitt could arrange a "bridge 
loan". Levitt then arranged a loan of $20,000, using 
funds of a real estate business in which he, Gordon, 
and other non-attorneys were partners. Levitt was 
aware of Gordon's trial before Fuyat and the petition 
for attorneys* fees. Neither Gordon or Levitt 
informed opposing counsel of their financial dealings 
with the Judge. The Judge was removed from the bench 
prior to rendering a decision in the case. 

I prosecuted this case for the Office of Disciplinary 
Counsel. Mr. Gordon was suspended for a period of one 
year. Mr. Levitt was suspended for period of six 
months. 

Trial dates: 1/8/91 

15 



316 



Disciplinary Board Members: 



Hon. William C. Hillman 

(now U.S. Bankruptcy Court 

Boston) 

Lester Salter, Esq. 

E. Rowland Bowen, Esq. 



Respondent's counsel: Gordon ; 



John A. Tramonti, Jr. 
808 Hospital Trust Bldg, 
Providence, RI 02903 
(401) 751-5433 



Levitt ; Stephen J. Fortuanto 
The Summit East 
Suite #310 

300 Centerville Road 
Warwick, RI 02886 
(401) 737-7200 

7) In the Matter of Chace & Forte See Lisi vs. Several 



Attorneys . 596 A2d 
before a specially 
Disciplinary Board 
assigned by the RI 
served as a member 



313 (RI 1991) This case was tried 
constituted panel of former 
members. The special panel was 
Supreme Court because Mr. Chace had 
and as Chairman of the Disciplinary 
Board during the investigation and at the time of the 
commission of the acts under investigation by the 
office of Disciplinary Counsel Judge Forte is and was 
at the time of the hearing a Family Court Judge. He 
had previously been Chace 's law partner. 

Prior to Forte's appointment to the bench, he was 
responsible for the firm's domestic relations 
practice. While he had cases pending before Fuyat, he 
agreed to arrange a loan for the Judge. The source of 
the loan was Chace' s family business. Neither Chace 
nor Forte advised opposing counsel of the loan. 
Shortly after arranging the loan. Forte agreed to make 
an investment with Fuyat in a real estate venture. 
Forte gave Fuyat a check for $20,000 as his share in 
the purported investment. Again, Forte did not advise 
opposing counsel of this arrangement. 



Chace was suspended for a period of 30 days 
was publicly censured. 



Forte 



Dates of trial 



11/2/90 



Disciplinary Board Members: 



Co-counsel 



None 



Hon. William C. Hillman 

(now U.S. Bankruptcy Court 

Boston) 

Lester H. Salter, Esq. 

Charles H. Anderson, Esq. 



16 



Respondent's counsel 



317 



Joseph A. Kelly, Esq. 
155 South Main Street 
Providence, RI 02903 
(401) 331-7272 



8) In the Matter of Toro . See LJSi vs . Several 

Attorneys . 596 A2d 313 (RI 1991) Mr. Toro made three 

five thousand dollar loans to former Judge Fuyat 

between 10/87 and 12/88. Throughout that period of 
time, Toro continued to appear before the Judge, but 

he never advised opposing counsel of his loans to the 
Judge. 

Mr. Toro was publicly censured. 

Date of trial: 10/30/90 



Disciplinary Board Members 



Hon. 


Edward 


C. 


Clifton 


(now 


Judge, 


RI 


District 


Cour 


t) 






Mari 


f ranees 


McGinn, Esq. 


Mari 


lyn Shannon-McConaghy, 


Es 


q. 







Co-counsel : 



None 



Respondent's counsel: 



9) 



Joseph A. Kelly, Esq. 
155 South Main Street 
Providence, RI 02903 
(401) 331-7272 



In the Matter of Comolli . See Ljgi vjSt Several 
Attorneys . 596 A2d 313 (RI 1991) Mr. Comolli made 
three loans to former Judge Fuyat totalling $15,000. 
The first loan was made in the Judge's chambers at the 
conclusion of several matters Mr. Comolli had handled 
for the Bureau of Family Support. Mr. Comolli 
admitted that at the time he made that loan he could 
foresee that he would appear before Fuyat on a 
contested matter at some point in the future. Even 
though Mr. Comolli had been told by a senior partner 
that the first loan was "incorrect", Mr. Comolli made 
two more loans. 

Mr. Comolli was suspended for 30 days. 

Date of trial: 11/15/90 

Disciplinary Board Members: Ralph P. Semonoff 

(deceased) 

Carol A. Zangari, Esq. 
E. Howland Bowen, Esq. 

Co-counsel: None 



17 



318 



Respondent's counsel: Thomas J. Liguori, Esq. 

P.O. Box 1277 
855 Beach Street 
Westerly, RI 02891 
(401) 596-7751 

10) In the Matter of Newman . See Lisi vs. Several 

Attorneys . 596 A2d 313 (RI 1991) Mr. Nevnnan made an 
$8,500 loan to Judge Fuyat which was never repaid. 
During the time the loan remained outstanding, Mr. 
Newman had approximately 80 cases on Judge Fuyat 's 
calendar. Mr. Newman never asked the Judge for 
repayment nor did he advise opposing counsel of his 
loan to the Judge. 

Mr. Newman was publicly censured. 

Date of trial: 10/18/90 

Disciplinary Board Members: George Salem, Esq. 

E. Howland Bowen, Esq. 
Carol A. Zangari, Esq. 

Co-counsel: None 

Respondent's counsel: Thomas J. Liguori, Esq. 

P.O. Box 1277 
855 Beach Street 
Westerly, RI 02891 
(401) 596-7751 

19. Legal Activities: Describe the most significant legal 
activities you have pursued, including significant 
litigation which did not progress to trial or legal 
matters that did not involve litigation. Describe the 
nature of your participation in this question, please 
omit any information protected by the attorney-client 
privilege (unless the privilege has been waived.) 

In 1992, the RI Supreme Court voted to adopt the 
recommendations of the RI Supreme Court Ethics Task 
Force as those recommendations related to attorney 
disciplinary procedure. I appeared before the Task 
Force and the Court to advocate adoption of most of 
the ABA'S McKay Commission recommendations. The Court 
did promulgate new rules which bring Rhode Island in 
substantial conformity with the recommendations of the 
ABA. In particular, the rules now require the 
participation of non-attorney members of the 
Disciplinary Board and publication of formal charges 
of misconduct upon a finding of probable cause by the 
Board. I drafted the rule amendments at the request 
of the Court. 



18 



319 

II. FINANCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 



List sources, amounts and dates of all anticipated 
receipts from deferred income arrangements, stock, 
options, uncompleted contracts and other future 
benefits which you expect to derive from previous 
business relationships, professional services, firm 
memberships, former employers, clients, or customers. 
Please describe the arrangement you have made to be 
compensated in the future for any financial or 
business interest. 

Rhode Island State Employers Retirement Fund $47,197 
Lincoln National Life Insurance Company Deferred 

Compensation $11,757 

The amounts reported represent my contribution to the 
funds . 

I intend to remove the funds from the Rhode Island 
State Employees Retirement Fund upon my resignation 
from state service. Those funds will be re-invested 
in a qualified retirement plan. 

I do not anticipate receipt of the Lincoln National 
funds until retirement. 

Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the 
categories of litigation and financial arrangements 
that are likely to present potential 
conf licts-of-interest during your initial service in 
the position to which you have been nominated. 

I will recuse myself from any involvement in matters 
where my husband's law firm has any interest and/or 
participation. 

I intend to follow the mandates of the Code of 
Judicial Conduct in any situation likely to present 
any potential conflict of interest. 

Do you have any plans, commitments, or agreements to 
pursue outside employment, with or without 
compensation, during your service with the court? If 
so, explain. 

No. 



19 



320 



List sources and amounts of all income received during 
the calendar year preceding your nomination and for 
the current calendar year, including all salaries, 
fees, dividends, interest, gifts, rents, royalties, 
patents, honoraria, and other items exceeding $500 or 
more (If you prefer to do so, copies of the financial 
disclosure report, required by the Ethics in 
Government Act of 1978, may be substituted here.) 

Copy of Financial Disclosure Report attached. 

Please complete the attached financial net worth 
statement in detail (Add schedules as called for). 

Attached 

Have you ever held a position or played a role in a 
political campaign? If so, please identify the 
particulars of the campaign, including the candidate, 
dates of the campaign, your title and responsibilities 

No 



20 



321 

III. GENERAL (PUBLIC) 



An ethical consideration under Canon 2 of the American 
Bar Association's Code of Professional Responsibility 
calls for "every lawyer, regardless of professional 
prominence or professional workload, to find some time 
to participate in serving the disadvantaged." 
Describe what you have done to fulfill these 
responsibilities, listing specific instances and the 
amount of time devoted to each. 

While still in law school, I volunteered with the 
Defender Association of Philadelphia to work with 
indigent juvenile offenders. 

In 1984, I was elected Treasurer of the National Court 
Appointed Special Advocate Association. After serving 
two years as Treasurer, I was elected to a two year 
term as President. I went on to serve four more years 
as a director of the Association. The National CASA 
Association is a non-profit membership organization 
dedicated to providing abused and neglected children 
with trained volunteer advocates in the Juvenile and 
Family Courts throughout the United States. The 
Association has been recognized by the White House 
(1986 recipient of the "President's Volunteer 
Recognition Award") and child advocacy organizations 
for the excellent work it does. As an officer and 
director of the Association, I participated in setting 
policy and direction and represented the Association 
at numerous national and local conferences. I 
continue to donate time to the Association on an as 
needed basis. 

From 1987 to 1990, I served as a member of the Board 
of Directors of the Urban League of Rhode Island. 

From 1988 to 1991, I served as a Volunteer Judge in 
the Mock Trial Competition for junior and senior high 
schools sponsored by the Rhode Island Legal/Education 
Partnership. 

From 1989 to 1991, I served as a member of the Board 
of Directors of the Ocean State Adoption Resource 
Exchange. 

In addition to the volunteer activities listed above, 
my entire professional career has been dedicated to 
public service. 



21 



322 



The American Bar Association's Commentary to its Code 
of Judicial Conduct states that it is inapproprate for 
a judge to hold membership in any organization that 
invidiously discriminates on the basis of race, sex, 
or religion. Do you currently belong, or have you 
belonged, to any organization which discriminates — 
through either formal membership requirements or the 
practical implementation of membership policies? If 
so, list, with dates of membership. What you have 
done to try to change these policies? 

From 1989 to August, 1993, my husband and I held a 
family membership at Potowomut Golf Club in East 
Greenwich, RI . The club does not restrict or exclude 
membership on the basis of race, sex, or religion; 
however, there were rules and policies which 
disparately affected female members. Specifically, 
women were excluded from one of the grille rooms and 
women had restricted access to tee times. Prior to my 
resignation in August, 1993, the club had taken 
several steps to address and remedy the situation. 

In June of 1993, I wrote to the Board of Governors 
urging them to take action to eliminate the 
discriminatory policies described above. In July of 
1993, I appeared before the Board and reiterated my 
objection to those policies and asked that the Board 
adopt the recommendations to eliminate inequitites in 
membership which had been developed by the Long Range 
Planning Committee. In August of 1993, my husband and 
I resigned from the club. 

Shortly after our resignation from membership, the 
Board adopted a resolution to open the grille room to 
all members. The Board also voted to recommend to the 
membership that changes be made in the club by-laws to 
eliminate gender based access to tee times. The 
membership ratified those by-laws changes at the 
annual meeting held on January 27, 1994. 

Is there a selection commission in your jurisdiction 
to recommend candidates for nomination to the federal 
courts? If so, did it recommend your nomination? 
Please describe your experience in the entire judicial 
selection process, from beginning to end (including 
the circumstances which led to your nomination and 
interviews in which you participated) . 

There is no selection commission in my jurisdiction. 
In March, 1993, I wrote to Senator Claiborne Pell to 
express my interest in appointment to the U.S. 
District Court. I met with Senator Pell and his 
staff. We discussed my educational background, trial 
experience, and administrative experiences. I had a 
second interview with Senator Pell and his staff where 

22 



323 



we discussed my qualifications in greater detail. I 
provided Senator Pell with the names of individuals 
who are knowledgeable about my legal ability and my 
integrity. 

After Senator Pell recommended my nomination to the 
President, I was interviewed by agents of the FBI and 
staff from the United States Department of Justice. I 
was also interviewed by members of the ABA Standing 
Committee on the Federal Judiciary. 

Has anyone involved in the process of selecting you as 
a judicial nominee discussed with you any specific 
case, legal issue or question in a manner that could 
reasonably be interpreted as asking how you would rule 
on such case, issue, or question? If so, please 
explain fully. 

No. 

Please discuss your views on the following criticism 
involving "judicial activism." 

The role of the Federal judiciary within the Federal 
government, and within society generally, has become 
the subject of increasing controversy in recent 
years. It has become the target of both popular and 
academic criticism that alleges that the judicial 
branch has usurped many of the prerogatives of other 
branches and levels of government. 

Some of the characteristics of this "judicial 
activism" have been said to include: 

a. A tendency by the judiciary toward 
problem-solution rather than grievance-resolution; 

b. A tendency by the judiciary to employ the 
individual plaintiff as a vehicle for the 
imposition of far-reaching orders extending to 
broad classes of individuals; 

c. A tendency by the judiciary to impose broad 
affirmative duties upon governments and society; 

d. A tendency by the judiciary toward loosening 
jurisdictional requirements such as standing and 
ripeness; and 

e. A tendency by the judiciary to impose itself upon 
other institutions in the manner of an 
administrator with continuing oversight 
responsibilities . 



23 



324 



The federal judiciary must look to Article III of the 
United States Constitution and the acts of Congress 
for the parameters of its authority. A federal judge 
does not make law or policy. Those responsibilities 
and powers are vested in the Congress and the 
Executive Branch. The responsibility of a federal 
judge is to find facts and apply the law as enacted by 
Congress and in keeping with the interpretation of the 
law by the appellate courts. 

The judge must at the outset of litigation make 
findings as to the standing of the parties, and a 
determination as to whether there exists a concrete, 
definite, real dispute which may be redressed by an 
order of specific relief from the Court. 

A federal district court judge is ill-equipped to 
serve as an "administrator with continuing oversight 
responsibilities'*. However, the judge, in deciding an 
actual case or controversy may nonetheless affect the 
way in which those individuals who are responsible for 
the internal administration of organizations or 
institutions which may be before the court, will 
comply with the orders of the court. 



24 



325 



AFFIDAVIT 



I, Mary M. Lisi, do swear that the information provided in 
this statement is, to the best of my knowledge, true and 
accurate. 



January 31, 1994 ^^/Jn^^y /h o^/^^^V 



Mary J^.'^Lisi'^ 



Notary / 

Sharon 6. Rtzpalricfc 

Kiy Cc r.m:33.'sn &^«"k .luiy to 1995 



FINANCIAL DISCLOSURE REPORT (cont'd) 



326 



Mam of Parsoo Raportlog 

Lisi, Mary M. 



D«t« of Kaporc 

1/31/94 



IV. REIMBURSEMENTS and GIFTS - transportation, lodging, food, entertainment. 

(Includes those to spouse and dependent children; use the parentheticals '(S)" and '(DC)" to Indicate reporteUe 
reimbursements and gifts received by spouse and dependeot children, respectively. See pp.l3-lS of Instnictloai.) 

SOURCE DESCRIPTION 



n 



NONE (No aucb rapor^Abla rslAburaaasnta or gifta] 

Exenpt 



V. OTHER GIPTS. (includes those to spouse and dependent children; use the parentheticals "(S)' and "(DC)' to 
Indicate other gifts received by spouse and dependent children, respectively. See pp.15-16 of Instructions.) 

SOURCE DESCRIPTION VALUE 



n 



NONE (Mo auch rapoPtable glfta) 

Exenpt _^_ $_ 

$_ 

$_ 

$ 



VI. LIABILITIES, (includes those of spouse and dependent children; indicate where applicable, person responsible 
for liability by using the parenthetical "(S)" for separate liabilitv of spouse, "(J)" for joint liability of reporting 
individual and spouse, and "(DC)" for liability of a dependent child. See pp.16-18 of Instructions.) 

CREDITOR DESCRIPTION VALUE CODE* 

X NONE (Mo raportabla llabllltlaal 



VlkUil CODtS: J - S15.00O or laaa I • 515,001 to 150,000 L - 550,001 to 5100,000 H - 5100.001 to t»0,OOO 

R - 5250,001 to 5500,000 O - 5500,001 to 51,000,000 P - Mora thai) 51,000,000 



327 





Httas of P«raoQ Raporcing 


OMtm of toport 


FINANCIAL DISCLOSURE REPORT (conl'd) 








Lisi, Mary M. 


1/31/94 



VII. INVESTMENTS and TRUSTS - income, value, transactions, (includes those of spouse 

and dependent children; sec pp. lft-27 of Instnictioos.) 



p»»crlptXon of AAS«ta 
(iDCludLng truac UMta) 

lAdicata, ««bar« appllcabla, ownar oi 
tb« «a*«c by using Uia nsrantiia^acal 
•(J)* for iolnt ownaraSlp of raport- 
iiig ln<llvi3ual and apooaa, "(S)" for 
a«paxat« o»*TiaralLlp by apouaa, '(DC)" 
for ownarahip by Sapandaat child, 

Plaea '(X)* afrsr each a«a«t 
axopt Cros prior dlacloaux*. 


durlno 


e. 

Oroaa valQa 
at and of 


D. 
Tranaactlona during raporttog pftrlod 


CD 

Aat., 
(»-a) 


(2) 

dlv. , 

rant or 

iMt.y 


(1) 

Valna^ 
Coda' 
(J-P) 


12) 

»aliia 

Mathod-, 

Coda^ 

(Q-X) 


A. 
buy.aall, 

■argar, 

radamp- 

tlon) 


If Dol axaapc troB diacloaur* 1 


iiia:J 
Day 


(3) 
(J-P) 


(4) 

OalD, 
Coda* 

(»-a) 


Ui privsta 
traaMmtloB) 


NONE (No raportAble 
IncoB*. aaaata, or 
























' Lincoln National Life Ins, 
C>eferred Conpensation 


A 


Int 


J 


T 


Exempt 


















^ RI State Employees 
Rptirprrpnt Fiinri 


ft 


None 


K 


T 


Exempt 


















^ Fleet National Bank 
Providence. RI CD (Jl 


A 


Int 


J 


T 


Exempt 


















* Citizens Bank, Prov., RI 


a 


Jrit 


T 


T 












fii^seesufif^' p'^°yjt ^ 


A 


Int 


J 


T 


Exenpt 


















6 Nuveen Insured Municipal 
Bond Fund (J) 


A 


Div 


J 


T 


Exempt 


















' Citizens Bank, Prov., RI 


A 


Int 


J 


T 












' Citizens Bank, Prov., RI 


P 


Int 


J 


T 


Exempt 










401-K (S) 


A 


Int 


J 


T 


Exerrpt 


















10 

Target Benefit Plan (S) 


A 


Int 


K 


T 


Exempt 










11 




















" Real Estate 'See VIII 
rtiniaj piririHa ';7q,ifin 


a 


Mnnp 


K 


S 


Fxpmpt 


















" §i5igag=A§g?^*.iii^viiF 


A 


Int 


K 


T 


Exenpt 










i< 




















15 




















16 




















17 




















18 




















19 




















20 




















I IncoM/Ciln CoOat: »-Sl,000 or !••• B-S1,001 to 52,500 C-S2.501 to 5,000 0*55,001 to 515.000 
ISaa Col. Bl t Dtl E-S15,001 to 550,000 F-550.001 to 5100,000 0-5100,001 to 51,000.000 e-Hora than 51. 000, 000 


2 Valua Codaa: J-515.0CK1 or iaaa K-515,001 to 550.000 L-S50,OQ1 to 5100,000 M-5100,001 to si^0,000 
•Sfm r-ii ?' « ?"!' ^.^..c^ -^. ^ 5500.000 OS500.001 to 51,000,000 P-Mora tiian 51,000,000 


J ,a-oo .lataoo ..ooaa: Q-Appr«l»ai ft-Coat ( raal aatate only) S^Assasafflent T=Caeh/Mar)tet 
(S«a Col. C2) U-Boolc Valua v^Ottisr W-Estunatad 



328 



FINANCIAL DISCLOSURE REPORT (cont'd) 



«■• ot P*rsoQ fiaportiog 

Llsi, Mary M. 



D«ta of ■■pore 

1/31/94 



VIII. ADDITIONAL INFORMATION or EXPLANATIONS. (HxUck p«i or Report.) 

*Real Est ate - Dania. Florida. This is my father's residence. The property is held 

as a joint tenancy with hijn. 

**Citizens Bank - Savings Account. This is a joint savings account vd.th my father. 

The funds are his. 



IX. CERTIFICATION. 

In compliance with the provisions of 28 U.S.C. § 455 and of Advisory Opinion No. 57 of the Advisory Committee on 
Judicial Actrviijes, and to the best of my knowledge ai the time after reasonable inquiry, I did not perform any adjudicatory 
function in any litigation during the period covered by this report in which I, my spouse, or my minor or dependent dtiktreo 
had a financial interest, as defined in Canon 3C(3)(c), in the outcome of such litigation. 

I certify that all information given above (including information peruining to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was 
withheld because it met applicable statutory provisions permitting non-disclosuie. 

1 funher certify that earned income from outside employment and honoraria and the acceptance of gifts which have been 
reported are in compliance with the provisions of 5 U.S.C-A. app. 7, § 501 et. seq., 5 U.S.C. 5 7353 and Judicial Conference 
regulations. 



Signature 



'\ yyiyi^jA/h r7)t4^ 



Date 



^^^^v 



5IVL3U/ 



NOTE; ANY INDIVIErtJAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.CA. APP. 6. S 104. AND 18 U5.C % lOOL) 



FILING INSTRUCTIONS: 



Mail signed original and 3 additional copies to: 



Judicial Ethics Cdmminee 
Administrative Office of the 

United Slates Courts 
Washington, DC 20S44 



X 



/ 



329 



MARy-M* LISI 



FINANCIAL STATEMENT 
NET WORTH 



As Of December 31, 1993 



Pfovidi • complete. Cvrrtnl fintnciil net worth iHlwnenl which iltmliei In ddijl ill iticli (indutfir. 
lecounll. r»jl »iUt». ^^eufiiiet. Iivili. invt«lm«nl». »«* other (intncid hokJInn) (l| li«bili|it} (includin{ 
mstgij". 'M"». '"^ o">«' (injftciti ebligationi) of jroufieil. your ipouj«. mi olhtf ImmtdUto memt 
your houtthoid. 



^ 


ASSCTS 


|| UABlimCt 




C4«h en htntf «Ad In b«nkj 

Uli»4 MCwnDn — •dd tcht^ut* 
Uniir<« MCuntiM — idd *e^•dul• 
Aeccuna *i>C noln r*ciiviMi: 

O^a from rtli^v•t trtd tn'trtdi 

Ow* from o<hfr« 
Oogttful 

K K««i ntjtf mcrtiain rtctivtbT* 

Ctin vil»»« r.ft lAiurir><i 

i Caiipensation Lincoln National 


7qR7i 


MD 




1 NolM Nr«bla to 6lr<li»— t«curo4 
No<«> Mr'bia to b«nb— u^ucurW 


C 


Ol 







00 
00 

■oo 




i 


0? 




1 N«tt» pjnbl* Is olhtn 





Ol 




2800 







HI 











Accmna ir^a Mm ou* 
Unpild Ineem* Iji 

OtKor urtMld t«l trtd fntaml 

Rtal Mint metlitn payaM»— «M 

Khadulo 
Qvlttcf mortsagri an^ oartar flana 

Olht< daM»--tltmlit: 


n 






N/A 






II 







p 






Jl 




N/A 




— 


132000 


^^» 


N/A 







350000 


00 







— 


~ *^3HH 





00 







'^'raBJBi 


^BBoo 


n 


np 
















Deferre; 


11757 


IJI? 


— • 




RI St^ 


kuipioyees Ketirement Fund 


47197 


00 

-nn 




• 






Nuvee^ 


ensured Municipal Bond f\ind 


1397? 


ToUl lUbKiliM 


132000 
441066 




IRAs 




i7nq 


Ml 




Ji 




bee bcn^uje^i^tached 


. 57306A 


T«jl ntblllUn iivd htl »or»n 


() 




573066 







COKTlNStNT UASlllTltS 






CtNOUl INrORMATION 






Ax m<^aor\*r. cor^lktr or r^jtrantor 
On tuMt or cont/ictl 

PvW•ft•or^ for fwCtr^t tnccmt Tal 
OP»r l^fclil dabi 





00 




A/a artr UwQ »Ia<f|a^ (U4 KhaO- 
Ult.) 

Aro fov da(«r%darrt In «ny witi or 

l*(ti tctienti' 
Haol >ou *««r bUn bartiAipic}) 


. t^O., 









00 











00 




Yes 









06 








No 






n 


nn 










■ 







.20. 







330 

MARY M. LISI 
ASSETS 

401K 6,000.00 

Target Benefit Plan 22,400.00 
Joint Savings Account 

with Mary Lisi's father 22,000.00 
(these are my father's funds) 

* Real Estate Owned 

Residence: 355 Stone Ridge Drive 

East Greenwich, RI 02818 
(tenancy by the entirety) 
Approximate Value: $325,000.00 

59 Catcay Court 

Dania, PL 33004 

(joint tenancy with my father; 

this is his residence) 
Approximate Value: $25,000.00 

LIABILITIES 

Real Estate Mortaaaes Payable 

Citizens Mortgage Corporation 
mortgage on 355 Stone Ridge Drive 

East Greenwich, RI 02818 
Balance as of 12/31/93: Approximately $118,000.00' 



Citizens Bank Equity Mortgage 
mortgage on 355 Stone Ridge Drive 

East Greenwich, RI 02818 
Balance as of 12/31/93: Approximately $14,000.00 



331 



FINANCIAL DISCLOSURE REPORT 



Kaport ll*q\ilr«d by tbm ttlilCB 
R«Cor» Act oC 1989, Pub. L. Bo. 
101-194, lovnitMr 10, 1M9 
(5 U.S.C.A. App. 6, fSlOl-112) 



1. PaxsoQ fUporclng [Lmaz o«a*, Clrst, Klddla inltl*l] 



Lisi/ Mary M. 



2. Court or Organization 

United States District Court 
District of Rhode Island 



3. Dat« of toport 



1/31/94 



4. Tltla {Axxlcl* III judgas iDdlcats acrlva or 

••Qlor atacua; Hagiarraca judgaa Ijidlcata 
full- or parx-tlaa] 

Nominee - United States District 

Court Judge 



S. Raport Typa (cback approprlata cypa) 
X »o»lnatlon. Data 1/27/94 
X Initial Annual Pinal 



6. Raportlng Parlod 

January 1, 1993 - 
January 14, 1994 



7. Cbaabara or Offlca Addraaa 

24 Weybosset Street 
Providence, RI 02818 



8. On Uia baala of thm Information contalnad In thla Ksport, It 
la, In By opinion. In coBpllanca wltil appllcabla lawa and 
ragulatlona 



Ravlawlng Offlcar Signatura 



IMPORTANT NOTES: The insmictions accompanying this form must be followed. Complete all pafts, 
cfaeddng the NONE box for each section where you have no reportable inronnation. Si^ on last page 



I. POSITIONS. (Reporting individual only, see pp. 7-8 of Instruaions.) 

POSITION NA.ME OF ORGANIZAnON/ENTTTY 



n 



NONE (Ho raportabla poaltlooa) 

Director 



National Court Appointed Special Advocate 



Association, Seattle, Washington 



II. AGREEMENTS. (Reponing individual only; see p. 8-9 of Instnictions.) 
DATE PARTIES AND TERMS 



□ 



NONE (Ko raportabla agraaaanta) 



NON-INVESTMENT INCOME. (Reponing individual and spouse; see pp. 9-12 of Instructions.) 



n 



DATE 



SOURCE AND TYPE 



NONE [Do raportabla noo-lnvaitoaot Incooe) 



GROSS INCOME 
(youR, not spouse's). 



1992 



19S3 



1994 



1992 



1993 



State 


of 


Rhode 


Island 


- Chief 


Disciplinary 


Counsel 


State 


of 


Rhode 


Island 


- Chief 


Disciplinary 


Counsel 


State 


of 


Rhode 


Island 


- Chief Disciplinary 


Counsel 


Blish 


& 


:avanaqh - Attorney 







Blish & Cavanagh - Attorney 



$ 65,515.90 



$ 71,669.18 



$ 2,171.28 
S (s) 
$ (s) 



1994 



Blish & Cavanagh - Attorney 



(s) 



332 



I. BIOGRAPHICAL INFORMATION (PUBLIC) 

1. Full name (include any former names Used.) 

Willie Louis Sands 

2. Address: List current place of residence and office address(es). 

Home: 1657 Twin Pines Drive 

Macon, Georgia 31211 

Office: Room 310 

Bibb County Courthouse 
661 Mulberry Street 
Macon, Georgia 31201 

3. Date and place of birth. 

April 12, 1949; Bradley, Jones County, Georgia 



Marital Status (include maiden name of wife, or husband's name). List 
spouse's occupation, employer's name and business address(es). 

Married. Spouse: Karia Jonita Heath-Sands 

Occupation: Community Service Director/TV Weathercaster 
Employer: WMAZ T.V. 

P.O. Box 5008 

Macon, Georgia 31213 



Education : List each college and law school you have attended, including 
dates of attendance, degrees received, and dates degrees were granted. 

Mercer University, 9/67 - 6/71 

B.A. Degree (Double Major): (June 6, 1971) 

(a) Political Science 

(b) Music 

Walter F. George School of Law, 8/71 - 6/74 
Juris Doctor Degree (June 2, 1974) 



Employment Record : List (by year) all business or professional corporations, 



333 



companies, firms, or other enterprises, partnerships, institutions and 
organizations, nonprofit or otherwise, including firms, with which you were 
connected as an officer, director, partner, proprietor, or employee since 
graduation from college. 

6/74 to 9/74 - District Attorney's Office. Macon Judicial Circuit. Macon, 
Georgia. Chief Legal Assistant to District Attorney. 

9/74 to 12/74 - United States Army. First Lieutenant, United States Army 
Reserves. Ft. Gordon, Georgia. 

1/75 to 11 /78 - District Attorney's Office, Macon Judicial Circuit (Bibb, Peach 
and Crawford Counties, Georgia). Assistant District Attorney 
[During certain periods during my tenure as an assistant, I 
was technically an employee of the State of Georgia.] 

1 976 to Present - Steward Chapel African Methodist Episcopal Church. 
Organist/Minister of Music & Officer. 

approx. 1975 

to 1977 - Family Counseling Center. Member, Board of Directors. 

1 1 /78 to 1 2/87 - United States Department of Justice (United States Attorney's 
Office, Middle District of Georgia). Assistant United States 
Attorney 

1984 to 1991 - Investors, Ltd. Partner. (Investment partnership club) 

12/87 to 4/91 - Mathis, Sands, Jordan & Adams, P.C. Partner, Law Firm 
(Macon and Milledgeville, Georgia) 

1991 to Present- State of Georgia. Superior Court Judge. Macon Judicial 

Circuit. Macon, Georgia. 

1992 to Present - Macon Symphony Board, Director 

1993 to Present - Community Foundation of Central Georgia, Inc., Director 

1993 to Present - Bank Corporation of Georgia/First South Bank, N.A., Director 

1994 to Present - Board of Visitors, Walter F. George School of Law. Member. 



Military Service : Have you had any military service? If so, give particulars, 
including the dates, branch of service, rank or rate, serial number and type 
of discharge received. 



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Yes. I was commissioned a Second Lieutenant in the United States Army Signal 
Corps on June 6, 1 971 . While a college ROTC cadet, I performed six (6) weeks 
of basic training at Ft. Bragg, North Carolina in the Summer of 1970. After law 
school, I entered upon active duty (for training only) at the rank of 1" Lieutenant 
at Fort Gordon, Georgia from September - December, 1974. I also performed 
active duty as a reservist assigned to a regular army unit at Fort Gordon in the 
Fall of 1978. After completing reserve duty, I resigned my commission in 1980. 



8. Honors and Awards : List any scholarships, fellowships, honorary degrees, 
and honorary society memberships that you believe would be of interest to 
the Committee. 

I attended Mercer University substantially on academic scholarship 
(undergraduate school). Tapped into Scabbard and Blade Military Honor Society. 

Member of Moot Court Board of Advisors, Walter F. George School of Law. 1 973- 
74 

Graduate, Leadership Georgia, 1986 

Graduate, Leadership Macon, 1985 

Named to Outstanding Young Men of America, 1984 



9. Bar Associations : List all bar associations, legal or judicial-related 
committees or conferences of which you are or have been a member and 
give the titles and dates of any offices which you have held in such groups. 

State Bar of Georgia 

Bench & Bar Committee: 1991 -Present 

Macon Bar Association 

President: 1991-92 

President-Elect: 1990-91 

Secretary: 1989-90 

Treasurer: 1 988-89 

Law Day Chair/Co-Chair: approx. 1988 (and in a previous year) 

Court Security Committee: 1992-93 

Council of Superior Court Judges 

Uniform Rules Committee: 1992 to 1993 

Bench & Bar Committee: 1991 to Present 



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Sentence Review Panel: 1993 

Legislative Committee: 1993 to 1994 (term) 

Council Director Search Committee: 1993 

American Bar Association: 1991 to Present 

American Judicature Society: 1991 to Present 

Georgia Commission on Family Violence: 

Vice-President 1992 to Present 

Georgia Supreme Court Committee 
for Gender Equality: 1993 to Present 

Georgia Supreme Court Task Force on 
Substance Abuse: 1991 to Present 

10. Other Memberships : List all organizations to which you belong that are 
active in lobbying before public bodies. 

The Georgia Commission on Family Violence and the Georgia Supreme 
Court Committee for Gender Equality have specific charges to review and suggest 
legislation or comment on the same. In that sense each has direct contact with 
the State legislature and, therefore, indirectly, other public bodies. The Legislative 
Committee of the Council of Superior Court Judges communicates matters of 
legislative interest to the judiciary and vice-versa. 

Please list all other organizations to which you belong. 

Walter F. George School of Law Alumni Assoc. Board 

City Club of Macon' 

Alpha Phi Alpha Fraternity, Inc. (Epsilon Beta Lambda Chapter) 

Community Foundation of Ga., Inc. (Board Member) 

Mercer University's 30th Anniversary Planning Committee (commemorates 30 years of 

African-American enrollment) 
Sigma Pi Phi Fraternity (Beta Chi Boule) 
Homosophian Club 
Macon Symphony 

1 1 . Court Admission : List all courts in which you have been admitted to practice, 
with dates of admission and lapses if any such memberships lapsed. Please 
explain the reason for any lapse of membership. Give the same information 
for administrative bodies which require special admission to practice. 



'Membership Criteria information attached - See, attachment, question 10. 



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United States Supreme Court, August 8, 1980 

United States Court of Appeals for the Eleventh Circuit, October 1 981 

United States Court of Appeals for the Fifth Circuit, December 29, 1978 

United States District Court for the Middle District of Georgia, November 21 , 1978 

Supreme Court of Georgia, January 8, 1975 

Court of Appeab of Georgia, Janueiry 8, 1975 

Superior Courts of Georgia, October 28, 1 974 

United States District Court for the Southern District of Georgia {pro hac vice, 
only) May, 1990 



12. Published Writings: Ust the titles, publishers, and dates of books, articles, 
reports, or other published material you have written or edited. Please 
supply one copy of all published material not readily available to the 
Committee. Also, please supply a copy of all speeches by you on issues 
involving constitutional law or legal policy. If there were press reports about 
the speech, and they are readily available to you, please supply them. 

I have no published writings other than judicial opinions. With regard to 
speeches referencing constitutional law or legal policy, I have only made short 
talks to groups following the ABA Law Day Theme in a given year or the most 
general informational comments to school children regarding the form of our 
government without written documentation. 



13. Health : What is the present state of your health? Ust the date of your last 
physical examination. 

Very good. September 22, 1993. 



14. Judicial Office : State (chronologically) any judicial offices you have held, 
whether such position was elected or appointed, and a description of the 
jurisdiction of each such court. 

I am presently a Superior Court Judge for the State of Georgia, Macon 
Judicial Circuit. I was appointed by Governor Zell Miller and sworn in on April 30, 



337 



1991. The Superior Court is the trial court of general jurisdiction established 
under the State constitution. Its jurisdiction includes felony criminal and civil 
matters, as well as equity. The Superior Court also sits as a court of review in 
that it hears appeals from administrative bodies such as the Workers' 
Compensation Board. At the appropriate time it will be necessary to stand for 
election to remain in the position following appointment. 



15. Citations : If you are or have been a judge, provide: 

(1) Citations for the ten most significant opinions you have written;' 

I am a trial court judge. Therefore, I do not routinely write opinions in the 
usual sense of the word. However, I do make rulings which occasionally 
include a written decision or order. Ten of those which I believe are 
significant follow: 

NOTE: I have attached copies of the below listed orders and copies of 
unpublished opinions, where appropriate. 

(a) State of Georgia v. Kenneth D. Bright . Indictment No. SU90CR-368- 
4, Superior Court of Muscogee County (Specially appointed to hear 
a recusal action). Order. 

(b) Emanuel R. Solomon, M.D. v. J. Gregory Jones. M.D. , Civil Action 
No. 81989, Superior Court of Bibb County, Georgia. Findings, 
Verdict and Judgment. Affirmed: Jones v. Solomon . 207 Ga. App. 
592 (1993). 

(c) State of Georgia v. Altonio Brooks . Indictment No. 38737-02, 
Superior Court of Bibb County, Georgia. Order. 

(d) Kathryn L. Baker v. Charles R. Whalen and Vineville Tire Co. . Civil 
Action No. 79740, Supenor Court of Bibb County, Georgia. Order. 

(e) Atlantic Cotton Mills. Inc. v. Rivoli Crossing Baptist Church. Inc. and 
First Rebecca Baptist Church. Inc. . Civil Action No. 87972, Superior 
Court of Bibb County, Georgia. Order. [Judgement Reversed. 
Supreme Court of Georgia, Case No. S93A1334. November 24, 



^Since 1 am a trial judge, I am not often required to write opinions in handling the 
routine business of the Court. In fact, a very important or significant case may not require 
a written opinion , as such. Therefore, significant written opinions, as reflected here, should 
not be equated as necessarily the most significant cases handled. 



338 



1993] See , copy of opinion attached under Question 15(2), infra. 

(f) Dr. Frank W. Barr v. Dr. Margaret Barr and Margaret Barr v. Frank 
W. Barr . Civil Action Nos. 83713 and 83455, respectively. Superior 
Court of Bibb County, Georgia. Orders. 

(g) Walker, et al v. Central of Georgia Railroad . Civil Action No. 79491 , 
Superior Court of Bibb County, Georgia. Orders. 

(h) State of Georgia v. Willie James Clav . Indictment No. 40099-01. 
Superior Court of Bibb County, Georgia. Order granting Motion to 
Suppress. 

(i) Christine L. Gleason v. Melton Joe Starks . Superior Court of Bibb 
County, Georgia, Civil Action No. 87666. Order. 

(j) Lance Efrem Shelley v. Debra Gray Shelley , Civil Action No. 86977. 
Order. 



(2) A short summary of and citations for all appellate opinions where your 
decisions were reversed or where your judgment was affirmed with 
significant criticism of your substantive or procedural rulings; 

Only two decisions that I rendered have been reversed: (1 ) Glover v. Scott. 
etal. . 435 S.E.2d 250 (1993). The Georgia Court of Appeals found as error 
my affirmance of the decision of the Board of Review of Employment 
Security to deny unemployment benefits to a fired employee. (2) Atlantic 
Cotton Mills. Inc. v. Rivoli Crossing Baptist Church, Inc. and First Rebecca 
Baptist Church, Inc. , Supreme Court of Georgia, Case No. S93A1334. 
Decided: November 24, 1993. The Court agreed with my analysis and fact 
findings in a complex multi-congregational dispute regarding title to 
property, but disagreed with my conclusion that a reversionary interest had 
not been triggered by the action of the titled congregation. (Copy of 
opinion attached.) 

(3) constitutional issues, together with the citation to appellate court 
rulings on such opinions. If any of the opinions listed were not 
officially reported, please provide copies of the opinions. 

None. 

16. Public Office : State (chronologically) any public offices you have held, other 



339 



than judicial offices, including the terms of service and whether such 
positions were elected or appointed. State (chronologically) any 
unsuccessful candidacies for elective public office. 

1 . Assistant District Attorney (appointed) 

Macon Judicial Circuit 1975-78 

2. Assistant United States Attorney 

Middle District of Georgia (appointed) 1978-87 

3. Georgia Supreme Court Task Force 1991 -Present 

on Substance Abuse (appointed) 

4. Georgia Commission on Family 1992-Present 

Violence (appointed) 

5. Georgia Supreme Court Committee 1993-Present 

for Gender Equality (appointed) 

17. Legal Career : 

a. Describe chronologically your law practice and experience after 
graduation from law school including: 

1. whether you served as a clerk to a judge, and if so, the name of 
the judge, the court, and the dates of the period you were a 
clerk; 

I did not clerk for a judge. However, I did clerk for the District 
Attorney's Office for the Macon Judicial Circuit. 



2. whether you practiced alone, and if so, the addresses and 
dates; 

I did not practice alone. 



the dates, names and addresses of law firms or offices, 
companies or governmental agencies with which you have been 
connected, and the nature of your connection with each; 

6/74 to 9/74 - Chief Legal Assistant to the District Attorney. Macon 
Judicial Circuit. Bibb County Courthouse; 610 Mulberry Street; 
Macon, Georgia 31 201 . Supervised law clerks and drafted appellate 



340 



briefs. 

9/74 to 12/74 - 1" Lieutenant. Signal Corps. Active Duty for Training 
Only. United States Army Signal School. Ft. Gordon, Georgia 

1/75 to 1 1/78 - Assistant District Attorney. Macon Judicial Circuit. 

Bibb County Courthouse; 610 Mulberry Street; Macon, Georgia 

31201. 

11/78 to 12/87 - /Assistant United States Attorney for the Middle 

District of Georgia. United States Courthouse; Mulberry and Third 

Streets; Macon, Georgia 31201. 

12/87 to 4/91 - Partner. Mathis, Sands, Jordan & Adams, P.C. 
Private Practice of Law. Main Office: 425 S. Wayne Street; 
Milledgeville, Ga. 31061. Macon Address: P.O. Box 928; Macon, 
Georgia 31202. 

4/91 to Present - Judge. Superior Court. Macon Judicial Circuit. 
Bibb County Courthouse; 610 Mulberry Street; Macon, Georgia 
31201. 

What has been the general character of your law practice, 
dividing it into periods with dates if its character has changed 
over the years? 

Immediately after graduating from law school in June of 1 974, 
I continued as chief legal assistant to the District Attorney for the 
Macon Judicial Circuit, so that I might take the bar exam in July, 
1974 and because I was scheduled to enter active duty with the 
United States Army Signal School at Ft. Gordon, Georgia in the fall. 
My major responsibilities were to supervise other summer law clerks 
and interns and to serve as the chief appellate brief writer for the 
office. 

I ended my employment with the district attorney's office and 
entered active duty (Signal Officer's Basic Course) in September, 
1974. While on active duty, I received notice that I passed the 
Georgia Bar Exam. My active military course of duty ended in 
December, 1 974. Thereafter, I returned to Macon, Georgia. 

I accepted employment as an assistant district attorney for 
the Macon Judicial Circuit in January, 1975. I was the first African- 
American so appointed in the history of the circuit (and possibly the 
first in the State outside of Atlanta-Fulton County, Georgia). As an 
assistant, I prosecuted felony and related misdemeanor cases in the 
Superior Courts of Bibb, Peach and Crawford Counties. Among the 



341 



charges personally prosecuted were: Murder, lesser homicides, 
kidnapping, rape, armed robbery, burglary, and theft cases. I also 
prosecuted cases in the Juvenile Courts of the circuit, including 
allegations of delinquency, deprivation and similar actions brought 
against parents or affecting the hghts of parents and children in that 
court. 

My duties as an assistant district attorney also included 
representing the State in felony preliminary hearings, inquests, 
search warrant preparation, criminal investigations, in civil suits 
within the responsibility of the district attorney relating to public 
nuisances, and appellate brief writing. I also established and 
administered the Child Support Recovery Unit for the circuit in 1 975, 
pursuant to newly enacted federal child support enforcement 
legislation. At the time I left the district attorney's office, to accept 
appointment as an assistant United States attorney, I was the major 
crimes prosecutor and the second most senior attorney in years of 
service on the District Attorney's staff. 

I was appointed to be Assistant United States Attorney for the 
Middle District of Georgia by then-Attorney General Griffin Bell on 
November 7, 1978. I was assigned to the criminal section of the 
Macon Division (the district's largest of seven divisions). I became 
the senior attorney in that division within a year of my appointment 
and remained so throughout my tenure. 

As an assistant, I was responsible for investigating and 
prosecuting violations of federal criminal statutes and related 
regulatory rules for numerous federal agencies within my division, 
including the Federal Bureau of Investigation; the Secret Service; the 
Bureau of Alcohol, Tobacco, and Firearms; Immigration and 
Naturalization; Department of Education; Department of Commerce; 
United States Postal Service; Internal Revenue Sen/ice; etc. As an 
assistant, I was also responsible for appellate briefs and arguments 
to the United States Court of Appeals level. I practiced regularly, 
first in the United States Court of Appeals for the Fifth Circuit, and 
later in the United States Court of Appeals for the Eleventh Circuit. 

While an Assistant U. S. Attorney (from November, 1978 until 
December, 1987), I prosecuted major drug and racketeering cases, 
multi-million dollar fraud cases, tax evasion and fraud cases, threats 
against the President, illegal automatic weapons cases, agricultural 
fraud, electric power plant construction fraud, mail and wire fraud, 
bank fraud, counterfeiting, airplane hijacking, false claims, interstate 
travel violations, thefts from interstate commerce, bank robbery, etc. 



342 



In December of 1 987, I resigned my position as an assistant 
United States Attorney in order to enter private practice. Together 
with the following attorneys, I formed Mathis, Sands, Jordan & 
Adams, P.C. with offices in Macon, Georgia and Milledgeville, 
Georgia: Charles A. Mathis, Jr., D. James Jordan, and Virgil L 
Adams. 

Mathis, Sands, Jordan & Adams, P.C. was a general practice 
law firm with emphasis toward the development of a personal injury 
and related areas of practice. However, the firm continued to 
provide legal representation in State end Federal criminal cases, 
domestic relations, corporate, real estate, wills and estates, and 
cases involving civil rights throughout my tenure with the firm. 

I served as Vice President of the firm. While associated with 
the firm, I handled cases in the following areas: Federal and State 
criminal defense, personal injury, domestic relations, wills and 
estates, employment, civil rights and Federal civil forfeiture. I also 
handled a limited number of cases before administrative agencies: 
EEOC (United States Air Force, United States Postal Sen/ice, State 
of Georgia). Additionally, I handled some corporate and real estate 
matters, including matters for the City of Macon. 

I ended my relationship with Mathis, Sands, Jordan & Adams, 
P.C. (now Mathis, Jordan & Adams, P.C.) on Apnl 29, 1991. On 
April 30, 1991, I was sworn in as a Superior Court Judge for the 
Macon Judicial Circuit upon appointment by the Honorable Zell 
Miller, Governor of Georgia. 



Describe your typical former clients, and mention the areas, if 
any, in which you have specialized. 

As an assistant district attorney, I represented the State of 
Georgia, and hence, the citizens of Georgia in the prosecution of all 
levels of felony charges and related misdemeanor violations. These 
included murder, rape, armed robbery, kidnapping, aggravated 
assault, other crimes against persons and crimes against property, 
including fraud. Additionally, I represented the State in actions in 
the Juvenile Court, preliminary hearings, grand jury proceedings, 
and inquests. At the direction of the district attorney, I also, 
organized, established and administered the Child Support 
Recovery Unit which engaged in actions to establish paternity and 
to establish and enforce the payment of child support by absent 
parents. The clientele included victims of crimes from all strata in 



343 



the three-county judicial circuit which included persons from every 
facet of society from the very poor and rural communities to the very 
urban and wealthy communities. My public clientele included all of 
these. 

As an assistant United States attorney, I represented the 
citizens of the United States, predominately, in 1 8 counties of the 
70-county district. While I prosecuted a full cross-section of federal 
criminal offenses, I specialized in complex fraud, tax, and 
racketeering-related prosecutions. Additionally, I drafted and argued 
all appeals of cases I prosecuted to the Circuit Court of Appeals 
level. 

During the private practice of law, my clientele and that of the 
firm were very diverse and inclusive with regard to race, sex, and 
income levels. I represented businesses and laborers, the very 
young and the elderly. I would describe my specialty as litigation, 
while in public and private practice. 



Did you appear in court frequently, occasionally, or not at all? 
If the frequency of your appearances in court varied, describe 
each such variance, giving dates. 

I appeared in court frequently. The frequency varied as follows: 
While an assistant district attorney, I was in court virtually every day 
handling hearings and trials due to an enormous caseload. Later, 
as an Assistant United States Attorney, I was in court frequently, 
though not as often in trial, because of the typically smaller 
caseload in Federal court as compared to State court. However, the 
federal cases tried were generally far more complex. My in-court 
frequency was further reduced upon entry into private practice due 
to the reduced caseload of a private practitioner as compared to a 
public practitioner. Nonetheless, my court appearances remained 
relatively regular and frequent. 



2. What percentage of these appearances was in: 

(a) federal court; 55% 

(b) state courts of record; 44% 

(c) other courts. .5% 

[(d) administrative tribunals .5%] 

3. What percentage of your litigation was: 

(a) civil 28% 



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(b) criminal 72% 



State the number of cases in courts of record you tried to 
verdict or judgment (rather than settled), indicating whether you 
were soie counsel, chief counsel, or associate counsel. 

I conservatively estimate the toted number of cases I tried to verdict 
or judgment in courts of record at 200. I was usually chief or sole 
counsel, and on a few occasions, associate counsel. This estimate 
neither includes the countless minor and petty offenses I have tried, 
nor, matters tried before magistrate judges. 



5. What percentage of these trials was: 

(a) jury 75% 

(b) non-jury 25% 

18. Liti gation : Describe the ten most significant litigated matters which you 
personally handled. Give the citations, if the cases were reported, and the 
docket number and date if unreported. Give a capsule summary of the 
substance of each case. Identify the party or parties whom you represented; 
describe in detail the nature of your participation in the litigation and the final 
disposition of the case. Also state as to each case: 

(a) the date of representation; 

(b) the name of the court and the name of the judge or judges before 
whom the case was litigated; and 

(c) the individual name, addresses, and telephone numbers of co-counsel 
and of principal counsel for each of the other parties. 



1) United States of America v. Two Hundred. Ninety-Seven Thousand. 
Eight Hundred. Ninety-Five Dollars ($297.895.00) In United States 
Currency, The House and Lot . Civil Action No. 89-11 3-VAL 

I represented Herbert Grady Bowen, one of three individueils who 
filed a claim and answer to a forfeiture complaint. He was the owner of 
several hundred thousand dollars of cash deposited in a bank by his co- 
claimant brother, who had acted as his financial advisor. The major source 
of Bowen's cash was his share of an inheritance from his deceased 
mother, and his half of a wrongful death settlement resulting from the death 
of his son, who was struck by a tractor trailer rig. Bowen withdrew this 
lawfully deposited money from his Florida bank in the form of cash. 



345 



After keeping the money in his home under the constant fear that he 
would be robbed, Bowen decided to taJ<e the money to his brother's home 
In Georgia. Bowen was in relatively ill health and was interested in using 
the money to invest for his retirement. His brother had a background in 
personal finance and agreed to help him determine what was best. The 
brother concluded and recommended that the money should be placed in 
an annuity. However, the money needed to be deposited, but the brother 
was fearful that the word might get out in his small town that he had sacks 
of cash if he took it all to the bank at once. According to the brother, he 
understood his local banker to explain that the money could be deposited 
and not reported ("publicizad" in his mind) by the bank so long as the 
deposit was less than $10,000.00. 

Thereafter, the brother made deposits of all the money through the 
drive-in window of the bank. A bank employee, consistent with bank 
policy, reported the deposits, suspecting that money laundering was afoot. 
A joint investigation by Federal law enforcement, including the IRS, resulted 
in the money and the brother's car and house (the brother's spouse also 
had an interest in the house), being taken for forfeiture for violation of 
money laundering statutes. (28 U.S.C. §§ 1345 and 1356, and 18 U S C 
§981(a)(i)(A). 

My role in the case was that of defense attorney for Herbert Grady 
Bowen, the owner of the money. My client denied, that any of the money 
was derived from illegal sources, that he made the deposits and contended 
that he relied on his brother. He also asserted, along with his brother, that 
the brother thought that he had acted consistently with his banker's 
explanation. The government filed a civil complaint for forfeiture. All 
claimants answered in opposition to the action for forfeiture. The 
government moved for summary judgment and contended that the 
deposits were per se violations. Thus, the government argued, all the 
property sought for forfeiture, including the money, should be forfeited 
without regard to the source of the money or the parties' intent. The trial 
court denied the government's motion for summary judgement with regard 
to my client's interest in the cash. 

This case was settled by consent order of forfeiture. Its significance 
points out some potential resulting unfairness and inequity in the operation 
and effect of civil forfeiture law: if strictly enforced without regard to the 
merits; and, if the enlightened and balanced participation of a jury is 
denied. In all probability, this case settled because the government did not 
succeed in its motion for summary judgment as to my client and faced the 
real possibility that a jury would accept the defendants' explanation, 
particularly where the government could not show that the money was the 
fruit of illegal conduct or that the parties' intended to violate the law. An 
amount was forfeited to the government and the remaining funds plus 



346 



accrued interest, along with all other personal property, was returned to the 
daimants. 

Parties: The United States of America; 

Herbert Grady Bowen; 
Charles Ben Bowen. Jr.; 
M£uy Keneece Bowen. 

Co-Counsel: None 

Counsel for Charles Ben Bowen. Jr. and Mary Keneece Bowen: 

Floyd M. Buford Sr. 
Buford & Buford 
P.O. Box 4747 
Macon, Georgia 31208 
(912) 742-3605 

Opposing CounsehCharles E. Cox, Jr., A.U.S.A. 
P.O. Box U 

Macon, Georgia 31202-0076 
(912)752-3511 

Date of Disposition: April 30, 1991 

Court: United States District Court for the Middle District of 

Georgia, Valdosta Division 

Judge: Hon. Wilbur D. Owens. Jr. 



2) Ridley v. Grandison . 260 Ga 6. 389 S.E.2d 746 (1990). 

Ridley is a domestic relations case wherein the wife sued the 
husband for divorce based upon an alleged common law marriage. I was 
lead counsel for, and represented, the wife at trial and as appellee on 
appeal to the Georgia Supreme Court. 

The parties' relationship began in the State of Virginia, vtrtiich did not 
recognize common law marriages. However, the parties moved to Macon, 
Georgia and purchased a home and furnishings where they (along with the 
wife's minor son) lived for several years. The husband denied the 
existence of a common law marriage; contended that one could not have 
been formed; and, concluded that his affair with another could not be 
adulterous. 



347 



The jury found that a common law marriage did exist, set aside as 
fraudulent an earlier transfer of the marital residence by the husband to his 
father, and gave the wife alimony for a period of years. The Supreme 
Court of Georgia affirmed the judgment for the wife by a vote of four to 
three. Although the majority did not comment extensively, the dissenting 
opinions strongly criticized the common law marriage doctrine and 
suggested the need for the legislature to consider a change in the law. 
Thus, the opinion expresses the concerns of a significant minority of the 
justices of the State's highest Court on an issue which significantly touches 
on the marital rights and responsibilities of Georgians. 



Date of Trial: 



November 9, 1988 



Co-Counsel: For Mae Grandison 

Mr. Charles A. Mathis, Jr. 
Mathis, Jordan & Adams, P.C. 
425 S. Wayne Street 
Milledgeville, GA 31061-3445 
Telephone: (912) 452-9387 



Court: 



Bibb County Superior Court. Macon, Georgia 
Honorable Hal Bell, Judge 



Opposing Counsel: (1) 



For Defendant Jerome Ridley 

Mr. Eari Thomas Shaffer, Jr. 

Shaffer & Combs 

550 Liberty Savings Tower 

210 Second Street 

Macon, Georgia 31201-2738 

Telephone: (912) 746-2472 



(2) For Defendant Jerome Ridley 
Mr. Doye E. Green 
Sell & Melton 
P.O. Box 229 

Macon, Georgia 31297-2899 
Telephone: (912) 746-8521 



3) U. S. V Power Piping Company 
87-39-MAC 

Power Piping was one of numerous cases brought by the U. ^. 
Justice Department through certain U. S. Attorney's offices throughout the 
country, including the Middle District of Georgia. Civil and criminal 
investigations of a defaulted nuclear power plant construction project in the 



348 



State of Washington revealed a network of fraud perpetrgrted against power 
plant owners by certain pipe and pipe fitting companies. Victim owners 
included the Georgia Power Compeiny, which operated plants in Georgia, 
and other plants owned by companies in Weishington, Texas, Louisiana^ 
etc. I participated as the assistant United States attorney responsible for 
prosecuting fraud discovered in connection with the power plant 
construction within the Middle District of Georgia. 

The investigations and prosecutions were ceirried out by interstate 
task forces consisting of selected FBI agents, IRS agents, and Assistant 
United States Attorneys and others. I was the sole assistant assigned to 
prosecute the fraud perpetrated on Georgia Power Company at its new 
plant Sherer in Forsyth, Georgia Power Piping Company, a Pittsburgh, 
Pennsylvania corporation, was successfully prosecuted for fraudulent sales 
and installations of approximately one million, two hundred-thirty thousand 
dollars. This case, and those similar and related, disclosed the substantial 
negative impact, both financially and in lost or reduced services, on vital 
public monopolies and the communities they served. Upon conclusion of 
successful prosecution, which I handled, Defendant corporation paid 
$1 ,221 ,249.80 in restitution and weis fined a quarter of a million dollars. 

Court: United States District Court for the Middle 

District of Georgia 

Case No.: 87-39-MAC 

Judge: Honorable Wilbur D. Owens, Jr. 

Opposing Counsel: Mr. Joseph H. Davis (local counsel) 
Chambless, Higdon and Carson 
P.O. Box 246 

Macon, Georgia 31298-5399 
Telephone: (912) 745-1181 

Thomas A. Donovan 
Kilpatrick & Lockhart 
1500 Oliver Building 
Pittsburgh, PA 15222-5379 
(412) 355-6466 

Disposition Date: December 1 4, 1 987 

4) U. S. V. Lorenzo E. Lacayo. Kosta Stanojevich. Pedro Enrique Cabrera, 
and Vincents Pablo Acena 
CR-86-41-MAC(WDO) 



I 



349 



This case involved a Czech national whose specialty was arbitrage 
(large, often international financial arrangements). This C5ise also involved 
three other individuals, including two South Amehcan nationals. They were 
charged with a conspiratorial arrangement to commit bank fraud and wire 
fraud by the use of worthless cashier's checks drawn on an offshore "bank" 
located in the Republic of the Marshall Islands. I was the assistant United 
States attorney who supervised the grand jury investigaition and prosecuted 
the case after indictment. 

As background, the "bank" essentially existed on paper with only a 
mailbox in the Islands as an office. The group attempted to pass cashier 
checks at a branch of the Citizens and Southern National Bank in Macon, 
Georgia in the total amount of $1 62,523.00. Agents of the F.B.I, were able 
to arrest them in the act and confiscate the bogus checks. Jurisdiction of 
the two individuals who had ties outside of the United States was 
meiintained through a complex grand jury procedure. This procedure was 
significant because there first had to be an investigation which could 
clearly establish that the "bank" was insolvent, non-existent, or not properly 
licensed, before the fraud could be established. Several hundred thousand 
dollars of the "bank's" worthless cashier's checks had been successfully 
passed in Rorida and Virginia because legitimate banks did not discover 
their worthless nature until weeks or months after the checks had been 
fonwarded for payment. This was so because the scheme, as previously 
and successfully executed, allowed fraudulent checks to be recovered by 
the defendants or their agents and destroyed, leaving no physical 
evidence. Since, we were able to capture some major participants, recover 
the checks, and hold them long enough to complete the case investigation, 
not only were defendants successfully prosecuted in the Middle District of 
Georgia, but it became possible for other jurisdictions to prosecute them 
as well. 

Court: United States District Court for the Middle 
District of Georgia 

Judge: Honorable Wilbur D. Owens, Jr. 

Date of Disposition: August 4, 1987 

Opposing Counsel: For Lacayo: 

William J. Surowiec, P.A. 

Public Defender's Office 

1320 N.W. 14th Street 

Miami, Florida 33125 

(305) 545-1600, Ext. 3836 

(Pled Guilty to Ct. 1 on 7/22/87. Sentenced on 

10/6/87.) 



350 



For Stanojevich: 

John M. Kierman, Attomey-at-Law 

2790 Calloway Road 

Suite 100 

Miami, Florida 33165 

(Pled Guilty to Ct. 9 on 8/4/87. Sentenced 

10/6/87.) 

For Cabrera: 

Mr. William Castro, P.A. 

Suite 601 

2153 Coral Way 

Miami, Florida 33145 

(Indictment Dismissed.) 

For Acena: 

Mr. Mark Eram Frederick, P.A. 

P.O. Box 385 

Suite 1 , Destin Professional Center 

737 Highway 98 E. 

Destin, Florida 32541 

Telephone: (904) 837-2115 



5) U.S. V. Curtis Beebee 
85-20-MAC 

This Defendant was prosecuted by me, as assistant United States 
attorney, for threatening the President of the United States of America (after 
having been previously charged for similar offenses and after commitment 
for mental treatment under relevant federal law relating to criminal 
responsibility of mentally incompetent defendants). 

On this occasion the defendant was prosecuted pursuant to recently 
enacted federal legislation intended to address, more appropriately, 
defendants whose conduct was due to or mitigated by mental disesise or 
defect, etc. In prosecuting this defendant, I developed for the district the 
appropriate and necessary pleadings in order to handle the case 
consistent with the significant law chemges. I understeind that the 
procedure I developed and pleadings I prepared were shared outside the 
disthct by the Secret Service to aid in similar prosecutions as the new law 
was implemented and applied. 

Beebee was found not guilty by reason of insanity, but was 
committed to the custody of the Attorney Genereil of the United States 
because he then suffered from a mental disease within the meaning of the 



351 

applicable federal commitment statute. 

Disposition Date: 2/12/86 

Judge: Honorable Wilbur D. Owens, Jr. 

Opposing Counsel: P. Craig Davis 

Akin & Davis 



P.O. Box 14 

Macon, Georgia 31202-0014 

Telephone: (912) 742-8441 



6) U. S. V. Edward Starling 
85-16-MAC 

This case involved the prosecution of one of the most pervasive and 
dedicated mass tax return frauds prosecuted in the district by the IRS. As 
the assistant United States attorney, I directed a lengthy and complex 
grand jury investigation and the actual prosecution of all the defendants 
charged. 

Starling, with the assistance of several co-conspirators, operated a 
"mobile tax service" through much of a large area of the district. He preyed 
mainly on minority wage earners by telling them that "the 'rich' people do 
it [claim deductions falsely) all the time." By showing deductions in certain 
areas of the return, i.e., miscellaneous, losses, and contributions, etc.. 
Starling succeeded in obtaining substantial refunds which he split 50/50 
with the taxpayers, minus a preparation charge. His activities not only 
earned him several hundred thousand tax free dollars, but financially 
destroyed many of his modest and poor former clients when the scheme 
was discovered and past taxes, interest and penalties were levied against 
them by the Internal Revenue Sen/ice. 

Starling's scheme demonstrated how vulnerable the IRS was to 
fraudulent refund schemes where the perpetrator had apparent inside 
knowledge of intemal tax return review and evaluation procedures 
employed by the IRS itself. In addition to conspiracy and aiding and 
assisting in the preparation of false and fraudulent returns. Starling also 
pleaded guilty to false impersonation of an officer of the United States. 

Court: United States District Court, Middle District of Georgia 

Judge: Honorable Wilbur D. Owens, Jr. 



352 



Date of Disposition: 
Co-Counsel: None 
Opposing Counsel: 



December 18, 1985 



For Starling: 

Michael E. Bergin 

117 West Broad St, Suite 105 

Fairburn, Georgia 30213 

Telephone: (404) 964-5500 

Disposition Date: 12-18-85 

For Smith: 

W. Ashley Hawkins 

27 N. Lee Street 

P.O. Box 325 

Forsyth, Georgia 31029-0325 

Telephone: 

Disposition Date: 8/13/85 

For Linda Thompson: 

Robert C. Norman, Jr. 

Jones, Cork & Miller 

500 Trust Company Bank Building 

Macon, Georgia 31298 

Telephone: (912) 745-2821 

Charge Dismissed: 12/30/85 

For Davis: 

A. Kenneth Secret 

Secret and Associates 

Bona Allen Building, Suite 500 

133 Luckiest., N.W. 

Atlanta, Georgia 30303 

Telephone: (404) 577-2000 

Disposition Date: 8/5/85 

For Mitchell: 

Michael E, Bergin 

215 Senoia Rd. 

Fairburn, Georgia 30213-1535 

Telephone: (912) 964-5500 

Disposition Date; 12/13/85 



7) 



United States v. Willieim Carlton Lawson 



353 



84-19 MAC. 84-20 MAC & 84-21 MAC 

I supervised the investigation of these cases with several federal 
agencies. The cases involved a Middle Georgia farmer and cotton 
warehouser who had successfully defrauded a financial subsidiary of 
Citicorp of more than four million dollars through a sophisticated fraudulent 
cotton sales scheme. This was the largest such loss ever suffered by the 
subsidiary and the largest such fraud case to have been brought in the 
Middle District of Georgia up to that time. 

Additionally, Lawson was prosecuted for defrauding the United 
States Department of Agriculture. The criminal investigation, which 
followed a private civil action, required more than a year to complete and 
prepare due to the tremendous number of false documents which had to 
be traced through several cotton manufacturing companies. After having 
been confronted with a mountain of documentary evidence, Lawson 
entered a plea of guilty, and was sentenced to the Federal penitentiary. 

I was the sole assistant assigned to prosecute Lawson on all 
charges. These cases disclosed the significant potentieil, and actual, 
vulnerability of both public agencies and private financial institutions to 
fraud in the commercial agriculture area where heavy government 
subsidies are often present. The defendant was able to take advantage of 
very complex private and government financing arrangements which he 
used to maintain and conceal his fraudulent conduct and which resulted 
in total losses of over six million dollars. 



Court: United States District Court for the Middle District of Georgia 
Judge: Honorable Wilbur D. Owens, Jr. 

Co-Counsel: none 

Opposing Counsel: Charles T. Erion 
Erion & Exum 
P.O. Box 6414 
Macon, Georgia 31208-6414 
Telephone: (912) 742-0168 

Denmark Groover (Motion for Reduction of Sentence) 

Groover & Childs 

P.O. Box 898 

Macon, Georgia 31203-0898 

Telephone: (912) 745-4712 

Disposition Date: September 11,1 984 



354 



8) United Stertes v. Lynwood Fincher . 723 F.2d 862 M 1th Cir. 1984^. Case No. 
83-8037 

I prosecuted Fincher for conspiracy to manufacture and deal in 
illegally converted fireaums. Specifically, he and his co-defendants were 
prosecuted for converting approximately eighteen (18) semi-automatic 
Mack 10 pistols to fully automatic. Their purpose was to exchange the 
converted weapons for illegal drugs from Central or South American drug 
suppliers. They had learned that substantial illegal drugs could be 
obtained in exchange for automatic weapons. 

The govemment learned of the intended activities through a known 
government informant. At the request of the govemment agents 
investigating the case, the informant met with Fincher and acted as his 
conduit to contact other individuals known to be willing to participate in the 
proposed scheme. The informant was the critical link between Fincher, the 
mastermind, and the converters and suppliers of the weapons. Fincher 
was convicted upon trial and appealed. Affirmed and Held: A govemment 
informant acting on behalf of ttie govemment can be the necessary link 
between co-conspirators who are otherwise knowingly and intentionally 
involved to accomplish the illegal purpose even though all the co- 
conspirators do not personally know each other. 

Cite: U.S. v Fincher . 723 F.2d 862 (11th Cir. 1984) (No. 83-8037) 

Court: U.S. District Court for the Middle District of Georgia 

Judge: Honorable Wilbur D. Owens, Jr. 



Date of Disposition: 
Opposing Counsel: 



11/2/82 

For Fincher: 
MeU'garet C. Johnson 
1312Briarcliff Rd., N.E., #11 
Atiantci, Georgia 30306 
Telephone: (404) 659-7799 

For /Mden: 

W. Ten-ell Wingfield 

350 Second Street 

Macon, Georgia 31201 

Telephone: (912) 742-0965 

Cun-ent: Cox Enterprises, Inc. 



355 



P.O. Box 105353 
Atlanta, GA 30348-5353 
(404) 843-5844 

For Barron: 

Thomas Witcher 

Rich, Bass, Kidd & Witcher 

1 1 8 East Trinity Place 

Decatur, Georgia 30030 

(404) 371-5050 

For McDonald: 

Russell M. Boston 

Sell & Melton 

P.O. Box 163 

Macon, Georgia 31202 

Telephone: (912) 746-8521 

For Taylor: 

Tommy C. Mann 

1210 Macon Federal Tower 

Macon, Georgia 31201 

Telephone: (912) 742-3381 

For Jackson: 

Steven A. Kermish 

133 Carnegie Way, Suite 1000 

Atlanta, Georgia 30303 

(404) 525-0457 



9) United States v. Livinoston. et al 
79-00073-MAC 

This case is probably the most significant and demanding case that 
I litigated. Livingston was the subject of a federal Racketeer Influenced 
Corrupt Organization (RICO) investigation which had been underway by 
the United States Attorney's Office; the Federal Bureau of Investigation; the 
Internal Revenue Service; the Bureau of Alcohol, Tobacco, and Firearms; 
and other federal and local law enforcement agencies for several years 
prior to my appointment as an Assistant United States Attorney. Because 
of threats, intimidation and fear, all the local potential witnesses were aft-aid 
and refused to come fonward or cooperate with prosecution. The major 
defendant had a reputation for acts of violence in the protection of his 
organization from investigation and prosecution. 



356 



However, within months of my appointment, a break came in the 
case, when certain individuals incarcerated in the State of Texas indicated 
an ability and willingness to cooperate. My predecessors had either 
resigned or transferred and as a result, I became the senior attorney for the 
Macon Division eind took chcirge of the investigation, which continued for 
several more months. The difficulty with the case was the need to 
interview the newly discovered witnesses and locate corroborative 
witnesses and documentary evidence without alerting the key target. This 
target was so bold that he actually came to the United States Attorney's 
Office in Macon and challenged the United States Attorney himself and the 
investigators to "prosecute me or get off my [back]." He was confident that 
a case had not been and could not be developed against him. 

The investigation succeeded, and the tsirget eind others were 
brought to trial on charges including (but not limited to): conspiracy, 
interstate travel violations, tax violations, drug violations, and extortion. A 
conviction was obtained, and he was sentenced to the federal penitentiary. 
The investigation involved localities in Georgia, Florida, Texas, Louisiana, 
and Tennessee. Livingston was the last and toughest of a line of major 
criminal organizational heads in the Middle Georgia area to be prosecuted. 
As a result of the successful prosecution, my life (and the lives of several 
federal agents and local law enforcement officers, including the sheriff) was 
threatened. Therefore, prosecution of the case not only required a 
sophisticated and highly secret investigation, and involved complex 
evidentiary matters, but also required participants who were literally willing 
to put their lives and personal safety on the line in order to enforce the law 
and bring these defendants to justice. 

Main case affirmed on appeal without opinion (habeas corpus 
action). United States v. Livingston . 756 F.2d 884 (11th Cir. 1985). 

Plea of Guilty to related charge (Case No. 79-00071 -MAC) reversed 
at United States v. Livingston . 665 F.2d 1003 (11th Cir. 1982). 



Date of Disposition: March 18, 1980 (79-73-MAC) 

Judge: Honorable Wilbur D. Owens, Jr. 

Court: U.S. District Court, Middle District of Georgia 



Opposing Counsel: For Livingston: 



357 



Robert B. French 

Box 596 

Ft. Payne, Alabama 35967 

Telephone: (205) 845-2250 

AND 
Floyd M. Buford 
165 First Street 
Macon, Georgia 31201 
Telephone: (912) 742-3605 

AND 
Ms. Daryl Dantzler 
Attomey-at-Law 
Mercer University Law School 
Macon, Georgia 31207 
Telephone: (912) 752-2601 

For McPherson: 

O. Hale AInnand, Jr. 
389 Mulberry Street 
Macon, Georgia 31201 
Telephone: (912) 746-2237 



10) Whitehead v. Hasty. 235 Ga 331, 219 S.E.2d 443 (1975). 
Bibb County Superior Court, Civil Action No. 43280-75. 

This case was one of the first I tried as an Assistant District Attorney. 
It was an action for ctvi! injunction by the District Attorney, in his official 
capacity as attorney for the public, for the purpose of abating the operation 
of a 'massage parior" where certain sexual acts were performed by 
employees, (not including actual sexual intercourse) in the regular course 
and operation of the business. 

This establishment, and others similar, were being erected in the 
community and other areas but with substantial protest from the general 
public, businesses, and residents located near these establishments. At 
that time there were no Georgia criminal statutes which specifically dealt 
with the complained of activity, and in fact, a number of criminal cases in 
other jurisdictions had been reversed on appeal or dismissed. 



\ 



358 



I was assigned to accomplish the cessation of the conduct which 
was under complaint. Upon investigation and legal research, I determined 
that the acts could possibly be enjoined under existing and long-standing 
nuisance statutes. An injunctive action was filed, served and tried. The 
trial court found that a public nuisance existed and ordered the same 
abated. It should be noted that no attempt was made either by the 
injunctive action or the court's order to prevent the operation of a legitimate 
meissage business, but each was only directed at the sexual conduct which 
was specifically ordered adaated. However, since the operators were 
unable to carry out the admitted primary purpose of their business, it 
closed. Defendants appealed. Held: Affirmed. 

Court: Superior Court of Bibb County, Georgia 

Judge: Honorable Hal Bell 

Date of Disposition: February, 1975 

Opposing Counsel: Richard M. Nichols 

(Not now believed to be a practicing attorney) 



19. Le gal Activities : Describe the most significant legal activities you have 
pursued, including significant litigation which did not progress to trial or legal 
matters that did not invoh/e litigation. Describe the nature of your 
participation in this question, please omit any information protected by the 
attorney-client privilege (unless the privilege has been waived). 

My legal career prior to becoming a judge has empheeized the 
litigation side of practice. However, my practice experience heis been 
much broader. For example, as a clerk for the local district attorney's 
office, I was involved in extensive research and writing on behalf of the 
district attorney and his attorney staff. This included drafting appellate 
briefs. My brief writing included the first petition for writ of certiorari from 
the Court of Appeals of Georgia to the Georgia Supreme Court (Wiley v. 
State . 131 GaApp. 511, 206 S.E.2d 140 (1974) (No. 49154). An adverse 
decision of the appecils court was reversed involving a revocation of 
probation and sentence under the State's First Offender Statute (cite: 
O.C.G.A. §42-8-60 et seq.) 

In addition to my work as a felony prosecutor for the district 
attorney's office, I worked regularly in the Juvenile Court and established 
and administered a Child Support Recovery Unit in 1975, pursuant to 



359 



newly passed federal law intended to involve district attorneys' offices in 
tfie establishment of paternity and the enforcement of child support 
obligations. The major part of this activity was to interview mothers so that 
putative fathers could be identified and contacted. Contractual 
arrangements for support and affidavits of paternity were usually obtained 
without litigation. Litigation was instituted, when necessary. 

As an assistant U.S. Attorney, I was involved in numerous sensitive 
investigations directed at public corruption and racketeering organizations 
and illegal drug organizations. I also handled investigations and 
prosecutions of fraud against the government, including in the guaranteed 
loan area for the Department of Education and cases within the 
responsibility of the Department of Commerce. In carrying out these 
investigations and prosecutions, I also worked with the following law 
enforcement agencies: Federal Bureau of Investigation, Drug Enforcement 
Agency, U.S. Postal Inspector, U.S. Department of Immigrations, Internal 
Revenue Service, Secret Sen/ice, Department of Agriculture, etc., and local 
law enforcement agencies. 

In private practice I was a general practitioner, but with an emphasis 
on litigation. I represented criminal defendants in significant felony cases 
in state and federal courts by appointment of the court and on retainer. 
These cases included property and crimes against persons, bank robbery 
and drug offenses. 

I was appointed to represent a co-defendant in a federal drug 
prosecution which was reputed to be the largest and most significant to the 
district. Some defendants received sentences as great as life without 
parole. My client was acquitted by directed verdict on motion following the 
close of the government's case in chief. I was sole counsel for that 
defendant, who was, incidentally, the only defendant acquitted. 

While in private practice, I also represented a significant local 
developer in a zoning matter involving a conflict between local county and 
city ordinances with superseding federal regulations. The matter was 
resolved in my client's favor without litigation. 

Additionally, since becoming a Superior Court judge, I have also 
been involved in professionalism activities inspired and promoted by the 
Chief Justice of the Georgia Supreme Court, a member of the Commission 
on Family Violence, the Committee on Gender Equality, and the Bench and 
Bar Committee. Over the last two years, I have been a part of a drug 
abuse task force in reviewing the effects of drug abuse and addiction on 
the resources of the Court system. 



360 



II. FINANCIAL DATA AND CONFUCT OF INTEREST (PUBUC) 

List sources, amounts and dates of all anticipated receipts from deferred 
income arrangements, stock, options, uncompleted contracts and other future 
benefits which you expect to derive from previous business relationships, 
professional services, firm memberships, former employers, clients, or 
customers. Please describe the arrangements you have made to be 
compensated in the future for any financial or business interest 

If confirmed, I will resign my present position (superior court judge), 
and as a result, would receive the following in addition to any unpaid 
regular salary due me: $15,172.41, as of February, 1994. This amount 
represents my retirement account in the Superior Court Judges retirement 
fund. 



With regard to my former firm, Mathis, Sands, Jordan & Adams, now 
Mathis, Jordan & Adams, P.C, I was paid a lump sum representing my 
interest in the firm, except for cases originated by me or left as a part of 
my pending active files, but retained by the firm. By agreement of April 23, 
1991 , I am to receive 10% of the fees from those cases to the extent the 
same exceed the lump sum already received. Those cases have been 
identified and records are maintained for payment purposes as each case 
is closed. Additionally, I own a one-quarter undivided interest in the 
building and the lot on which one of the law offices is located. It is 
expected that the same will be sold to the remaining partners in the firm 
as soon as the details can be worked out. 

My relationship with my former partners is known, and neither 
will practice before me until all ties are severed and after an 
appropriate time has passed, unless the same is waived by all 
parties after full disclosure, and there exists no appearance of 
impropriety. 

As a member of the Board of Directors of Bank Corporation 
of Georgia/First South Bank, N.A., I own 100 shares of stock 
purchased at $10 per share. I will resign the Board upon 
nomination and confirmation and would, of course, recuse myself 
fi'om hearing any matters involving the corporation, affiliates, 
officers, directors or any matter relating thereto which could give rise 
to actual or an appearance of conflict. 



Explain how you will resolve any potential conflict of interest, including the 
procedure you will follow in determining these areas of concern. Identify the 



361 



categories of litigation and financial arrangements that are likely to present 
potential conflicts-of-interest during your initial service in the position to 
which you have been nominated. 

Since my financiaJ, present and former, business interests are very 
limited, I do not expect frequent conflicts, if any. As stated above, I will 
recuse myself from any cases involving a conflict, or the appearance of 
same. Since my assignment, if confirmed, will be in the Middle District of 
Georgia, Albany-Americus Division, it is unlikely that any actual conflict will 
develop with regard to my former law partners because my former firm's 
federal practice is limited in scope, and largely to the Macon Division of the 
district which is handled by two other active judges. Likewise, the above 
corporation has only one branch in the entire fourteen-county Albany- 
Americus Division, while its major corporate office is located in the Macon 
Division. However, during my initial service, I will particularly check each 
case for any evidence of conflict and take action immediately to avoid the 
same when discovered. I will follow the guidelines of the Code of Judicial 
Conduct. 

3. Do you have any plans, commitments, or agreements to pursue outside 
employment, with or without compensation, during your service with the 
court? If so, explain. 

I have decided in the best interest of the position to which I have 
been nominated, and in fairness to my present and former associations, 
that I should terminate those relationships as soon as the same can be 
properly and reasonably accomplished. However, there are two possible 
exceptions. I have been named to the Board of Visitors of the Walter F. 
George School of Law (Mercer University). I would be honored to continue 
that service, unless I am prevented by some rule or conflict which becomes 
known to me. Of course, I would resign, as so directed, if any apparent 
conflict arose and, if confirmed. Additionally, I have been invited to be a 
charter member of the Board of Directors of the University of Georgia 
Fanning Leadership Center. If confirmed, I would not accept that position 
unless approved by the appropriate authority. 

4. List sources and amounts of all income received during the calendar year 
preceding your nomination and for the current calendar year, including all 
salaries, fees, dividends, interest, gifts, rents, royalties, patents, honoraria, 
and other items exceeding $500 or more (If you prefer to do so, copies of the 
financial disclosure report, required by the Ethics in Government Act of 1978, 
may be substituted here). 

See, Financial Disclosure Form attached, dated February 14, 1994. 

5. Please complete the attached financial net worth statement in detail (Add 



362 



schedules as called for). 

COMPLETED STATEMENT AND SCHEDULES ATTACHED. 

6. Have you ever held a position or played a rule in a political campaign? If so, 
please identify the particulars of the campaign, including the candidate, dates 
of the campaign, your title and responsibilities. 

No. 



363 



III. GENERAL (PUBLIC) 

An ettiical consictoration under Canon 2 of the American Bar Association's 
Code of Professional Responsibility calls for "every lawyer, regardless of 
professional prominence or professional workload, to find some time to 
participate in serving ttie disadvantaged." DescrilM wtiat you have done to 
fulfill these responsibilities, listing specific instances and the amount of time 
devoted to each. 

I have endeavored to comply with Canon 2 of the American Bar 
Association's Code of Professional Responsibility in several different ways: 

Consistent with the Judicial Canons, I have not solicited funds, even 
for charitable purposes, since becoming a judge. However, I have 
remained involved to the extent that I could, chiefly by speaking frequently 
to elementary, secondary and college students regewding various issues 
involving and affecting youth, as well as other organizations and groups. 

I have talked regularly with young people of all ages (both in public 
and private institutions) emphasizing the importance of avoiding criminal 
activities and, hence, its consequences. I have also emphasized the 
importance of education, the establishment of appropriette goeds, 
dedication to excellence, respect for self and others and personal 
responsibility. 

I have participated in the local bar association's annual Law Day 
activities as a former Chair and while an officer of the local bar. This 
participation included establishing a federal court and courthouse tour for 
school students, and I have given brief talks regarding the year's ABA Law 
Day theme to similar and civic groups. 



While an attomey, I also handled cases for the elderiy and the 
indigent at lower rates, or under arrangements that allowed for flexible fee 
payments. 

I did not always file vouchers for representation of indigent 
defendants represented at trial and on appeal. 

I have served on the following Boards: 

Family Counseling Center - The Center provided counseling to 
indigent and disadvantaged families. The Board was very active in 
seeking funds, establishing new programs and the promotion of 
healthy relationships through a series of plays dealing with race 



364 



relations and institutional racism, death and dying, and alcohol and 
drug abuse, etc., and their effect on the family. For these plays the 
group received the Volunteer of the Year Award. I participated in 
dozens of performances and follow-up discussions which required 
a minimum of one-heilf to one and one-half hours to do. 

Boys & Girls Clubs of Macon - Included fund-raising and special 
programs to improve positive social and educationsil experiences for 
children within their communities, especially after school eind during 
the summer and holidays. I participated in several annual television 
auctions which required several hours per auction and additional 
hours and days prior to and after completion of tiie auctions. 

Kiwanis Club of Macon - Served as Chair for two summers to 
provide food for several hundred children during special summer 
camp for children with psychological problems or mental illness, etc. 
Three separate groups in one-week blocks were served each 
summer. My job was to personally coordinate the order and 
delivery of food from suppliers on a timely and scheduled basis to 
the campsite. 

Volunteer Macon - Organization actively sought volunteers from the 
community to augment agencies, etc., or organizations which 
served the elderly, youth or disadvantaged or charities. I served as 
a member of the board of directors. 

Macon Humane Society - Worked to provide and promote the 
humane treatinent of animals. I served on the board of directors. 

Macon Symphony - In addition to normal support for the orchestra 
and music in the local community, the Board has endeavored to 
make the music program available to youth, public and private 
schools and the disadvantaged. I serve on the board of directors. 

Community Foundation of Central Ga., Inc. - Newly formed 
foundation for the Middle Georgia area to attract funds to improve 
philanthropic contributions to the quality of life in the community. 
Note: I do not participate in the solicitation of funds. 

Macon Jaycees - Regulsirly put on programs for disadvantaged 
children such as magic shows, and provided food and toys to 
identified needy families. As a member, I was actively involved in 
the preparation phase of the programming, as well as the actual 
delivery of food, toys, etc., to families. 



365 



The American Bar Association's Commentary to its Code of Judicial Conduct 
states that it is inappropriate for a judge to hold membership in any 
organization that invidiously discriminates on the basis of race, sex, or 
religion. Do you currently belong, or have you belonged, to any organization 
which discriminates - through either formal membership requirements or the 
practical implementation of membership policies? If so, list, with dates of 
membership. What you have done to try to change these policies? 

In the past, I belonged to the Macon Jaycees (Junior Chamber of 
Commerce), I now understand that at some time in the past the 
organization may have enforced discriminatory membership practices. 
However, I have never supported such practices and have always 
supported open membership without regard to race, sex, religion, or 
national origin. In fact, I was one of the earliest African-American members 
of my local chapter. I also know of other minority members and believe 
the organization is now, and for many years has been, open to and has 
women members. I was a member in the 1970s. 

I am presently a member of the Homosophian Civic Club, Inc., 
which was originally a men's club. I favor the admission of women. The 
Club is open to application from women and the constitution either has 
been or is being revised to reflect same. I have personally offered to 
sponsor a woman candidate, if she follows through on her stated intention 
to apply. [See , the attached copy of a letter to me, written at my request, 
from the organization's current president] 



Is there a selection commission in your jurisdiction to recommend candidates 
for nomination to the federal courts? If so, did it recommend your 
nomination? Please describe your experience in the entire judicial selection 
process, from beginning to end (including the circumstances which led to 
your nomination and interview in which you participated.). 

Yes. My name was among others reported to Senator Sam Nunn 
as qualified for the position for which I seel< confirmation. 

Senator Nunn, the Democratic Senior Senator from Georgia, 
appointed a committee to review the qualifications of persons evidencing 
an interest in being appointed to fill FederaU judicial or U.S. attorney 
vacancies in Georgia. The committee was made up of a cross-section of 
individuals, including those from the legal and business professions. 

The committee prepared and forwarded a 65-question questionnaire 
to each person who had been recommended or who had indicated an 
interest in an appointment. The completed questionnaire was due not later 
than Friday, April 30, 1993. A copy of the completed application was 



366 



required to be sent to each of the nine (9) members of the committee, eind 
to Senator Nunn. Thereafter, each applicant was interviewed at a time 
scheduled by the committee. I submitted a timely application. 

Following the completion of interviews for each vacancy for each 
federal district, the committee provided to Senator Nunn the names of a 
number of persons whom they believed to be qualified for each position. 
Senator Nunn later personally interviewed each person referred to him by 
the committee as qualified. Thereafter, he notified his chosen 
recommendee, announced and forwarded his recommendations to 
President Clinton. In this way, I was recommended for the vacancy in the 
Middle District of Georgia, Albany-Americus Division. 

In September of 1993, 1 received from the Office of the White House 
Counsel copies of forms required to be completed, as a part of the 
nomination process following recommendation to the President. Included 
were forms for submission to the Department of Justice, the American Bar 
Association, the United States Senate, the Federal Bureau of Investigation, 
and certain financial disclosures and waivers. I completed each requested 
document and fonwarded them to the Office of the Counsel. 

Thereafter, I was contacted by an official of the Department of 
Justice who interviewed me initially by telephone. It is my understanding 
that assigned Department of Justice officials or representatives reviewed 
and verified references and followed up on my documentation and 
interviewed persons familiar with me personally and professionally. I later 
travelled to the Department of Justice where I was personally interviewed 
at length by a panel of Justice officials. 

Prior to my interview at the Department of Justice, I was personally 
interviewed by an agent of the Federal Bureau of Investigation. This 
interview was a part of my official background check carried out by the 
Bureau. The agency had previously been provided documentation which 
I had completed for use in the investigation. 

Prior to my Department of Justice interview, I was directed, by a 
Department of Justice official, to f onward my American Bar Association 
documents to the appointed ABA official. I immediately complied and was 
later personally interviewed in Atlanta, Georgia by an American Bar 
Association representative. A report was prepared by the representative 
which was later fonwarded to the Department of Justice by the ABA 
Standing Committee on Federal Judiciary. 

On February 9, 1994, 1 returned a personal call to the White House 
Counsel. During the call, I was advised that the President had earlier that 
day formally forwarded my nomination to the United States Senate as his 



f 



367 



nominee to the United States District Court for the Middle District of 
Georgia. 

On the same day, I was directed, by an officied of the Department of 
Justice, to complete the required Fineincial Disclosure Report and submit 
it to the Judicial Ethics Committee, Administrative Office of the Courts, not 
later than Monday, February 14, 1994. I complied. I was also directed to 
review and update, where necessary, the United States Senate 
Questionnaire for Judicial Nominees (the instant form) for submission as 
soon as possible in order that the Senate Judiciary Committee may 
properiy consider my nomination. 

At all times, I was wamily end respectfully treated in an atmosphere 
and environment which I felt was directed at selecting qualified candidates 
for each position. 



Has anyone involved in the process of selecting you as a judicial nominee 
discussed with you any specific case, legal issue or question in a manner 
that could reasonably be interpreted as asking how you would rule on such 
case, issue, or question? If so, please explain fully. 

No. 



Please discuss your views on the following criticism involving "Judicial 
activism.' 

The role of the Federal judiciary within the Federal government, and within 
society generally has become the subject of increasing controversy in recent 
years. It has become the target of l>oth popular and academic criticism that 
alleges that the judicial branch has usurped many of the prerogatives of 
other branches and levels of government Some of the characteristics of this 
"judicial activism* have been said to include: 

a. A tendency by the judiciary toward problem-solution rather than 
grievance-resolution; 

b. A tendency by the judiciary to employ the individual plaintiff as a 
vehicle for the imposition of far-reaching orders extending to broad 
classes of individuals; 

c. A tendency by the judiciary to impose broad, affirmative duties upon 
governments and society; 

d. A tendency by the judiciary toward loosening jurisdictional 



368 



requirements such as standing and ripeness; and 

e. A tendency by the judiciary to impose itself upon other institutions in 
the manner of an administrator with continuing oversight 
responsibilities. 



As a sitting judge, it has been my practice to refrain from public 
comment or criticism of the decisions or actions of judges. This I have 
done for two basic reasons: (1) As a judge, it is inappropriate for me to 
openly criticize the decisions and actions of fellow judges in that to do so 
would tend to give the appearance of bias or prejudice on matters in 
controversy while the same are within the breast of the courts and under 
review. (2) The overall effect of such comments could very well serve to 
reduce respect for the court and its authority. 

However, I sincerely respect and acknowledge the necessary £uid 
indispensable role of the United States Senate in reviewing and evaluating 
the qualifications of Federal judicial nominees. Therefore, I believe it 
appropriate that I comment, but that such comments be limited to only a 
discussion of my view and philosophy of judicial decision-making. 

Well-founded and reasoned judicial decisions and rulings can best 
develop where due regard is given to legal precedence and procedure. 
In turn, this regard allows for and permits the development of clearly 
defined legal issues considered in the appropriate jurisdiction as dictated 
by the Constitution, by statute or binding precedent. 

I also believe that our system of government works best, and as 
intended, when the constitutionally established separation of powers is 
recognized, acknowledged, and allowed to function. The political and 
legislative processes must be allowed to freely proceed and benefit from 
public debate and discourse. It is equally important, however, that every 
litigant have access to and the protection of our courts, consistent with the 
Constitution and with the laws enacted by the legislative body pursuant to 
and consistent with its powers under the Constitution. 

A Federal judge must, to the best of his or her ability, decide only 
those issues properly before the Court, consistent with its jurisdiction as 
conferred by Article III of the United States Constitution and the statutes 
passed by Congress that also confer additional jurisdiction. This critiC2il 
process must be carried out in a fair mcinner, based solely on the 
applicable taw and relevant facts, without favor, affection, bias or prejudice. 
This, without in any way suggesting what would be my decision on any 
issue, I promise, to do, if confirmed. 



369 



<nionr:iMri.nNCHLixnNB00KagFireBr(NUQ 

OOBTDK 



uTJ FINANCIAL DISCLOSURE REPORT 



aiymt ■■|ii1i>«1 br tha Ctblos 
amtB^ let of l<n, nb. L. lo. 
101-lM, ■cmabu 10, 1M9 
(S O.S.C.A. 1pp. 6, fflOl-lU) 



first, ■'^■lls laltlAl) 



Sands. Willie L. 
(Preferred: W. Louis Sands) 



2. Oonrt or Oi^«nlTir1n« 

Untced States District Court 
Middle District of Georgia 



1. Data of lapirt 
2/14/94 



4. Tltla (Irtlela III ]ad«« ladlcata actln or 
fall- or pirt-tliS) ^ 

United States District Court Judge 



5. aiinrT Typa (ehacfc apptoprlata CTpa) 
X_ ■o.ia.tKm. ll.t .2/9/94 

talUal laaaal rlaal 



C. l li orTl iij rarlod 

1/1/93 - 1/31/94 



T. Ckaabara or offtca litclnm 

Bibb Superior Court 

Room 310 Bibb County Courthouse 

Macon, Georgia 31201 



■. Ob tka baala of tha lafm 
la, la af oplaloa, la oa 



■atlaa mnTalnail la thla »a|iort. It 
pllaaoa wltb appllcahla lawa aad 



aaviaiflag Offlcar Slgaatara , 



^slMPORXANT JfOro&^n^^'^Mniiafara joo^^ must be fiiBowed. Complete 

, 'riifrirfm the NONE toe fcc esdi secfloo' where wm hare no tmortaUe lalbraiatioa. Sign onUm 



'X'\\ -^■f^^'^f^pMr'.^ 




I. POSITIONS. (RqKming individual only; see pp. 7-8 of Instrnctions.) 

POSITION NAME OF ORGANEATION/ENTrTY 



n 



NONE (So rapuctabla poaltlooa) 



Member 



Member 



Board of Visitors. Walter F. George School of Law fe 
Dean Search Committee & Executive Committee of Alumn: 

Mercer Dnlverslty Planning Committee for 30th Year of 
Black Enrollment 
(cont'd) 



II. AGREEMENTS. (Reporting individual only; see p. 8-9 of Instructions.) 
DATE PARTIES AND TERMS 



'I NONE (lo raportaals agi 

4/23/91 



Stock purchase agreement which provides that seller be paid the greater 

nf a lump sum nr Ifll nf all f»»g affnalTy i-pppivpH frnm rho final H<spn- 

sition of Identified cases in which seller had an interest at time of re- 

. Signarinn frnm firm ParM-gg; U. T.nnig SanHs. Spllgr. Marhi«:. .TnrHan. (. 

Adams. P. C. (formerly Mathis. Sands. Jordan & Adams. P. C). Charles A. 
Mathis. Jr.. T). .lames Jordan and Virgil Adams. Purchasers. 

III. NON-INVESTMENT INCOME. (Reporting individcal and spouse; see pp. 9-12 of Instructions.) 



n 



DATE 
(Honoraria only) 



SOURCE AND TYPE 

NONE (lo raportabla aoa-lavaataai 



1/93 - 12/93 



Superior Courts of Georgia 



I 
1/93 - 


12/93 


1 
1/93 - 


12/93 


4 

1/93 - 


12/93 



Bibb County Commissioners (county supplement) 



GROSS INCOME 
(youis, not spouse's) 



$ 72,494.03 



1 /PT - 17/93 



Crawford County Commissioners (county supplement) 
Peach County Commissioners (county supplement) 

Steward Chaoel A.M.E. Church (organist) 



S 17,250.06 


S 1,153.80 


S 3,532.86 




S 600.00 





370 



^i*,,.-^..- 



tnnASCsM- 



DISCLOSURE REPORT (cont'd) 



I o( I 



Willie L. Sands 



Dsto oC ■ ■ p o rt 
2/1A/94 



iw REIMBURSEMENTS and GIFTS - transportation, lodging, food, entertainment 

(Lodada Ihoce to cpoose and dependent chlldrcK nse the paicntbedeals '(S)' and '(DC)' to indlcMe reportalile 
rdmborscmenis and gifts recdTcd tj tpouse and d ep en d en t children, respecthciy. See pp.13-15 of Inmncllaas.) 



SOURCE 
NONE (Bo rack CTgnrtjhU rail 
"EXEMPT" 



a 



DESCRIPTION 
(tftal 

"EXDIPT" 



V. OTHER GIFTS. (Indndes thoM to cpoose and drnendmt cUUrcn; nae the paitatheticals '(S)* and *(DC)* to 
Indka lr other gifts i e c e i »e d by spoosc and oepeadent 



D 



SOURCE 

NONE (ao rack nvorubla (Ittal 
"EXEMPT" 



fWMren, tespectHc^y* See pp.i5-i6 of Instmctloaaa) 
DESCRIPTION VALUE 



"EXEMPT" 



"EXDIPT" 



VI. UABIUTIES. (Indodcs those of spouse and dependent children; faidicate where applicable, person responsibie 
for UabililT br using the parenthetical '(S)' for sepanlc Uabilitf of spouse, '(J)' for Joint liabilily of reporting 
individual and spmue, anT^(DC)* for liabiUtjr of a dependent diUd. ^ce pp.i^l8 oTInstenctioas.) 



CREDFTOR 
NONE (ao raporubla llabtlltlral 
Lincoln National Insurance Co. 



n 



DESCRIPTION 



Personal loan fron cash value of Ins. 



VALUE CODE* 



• .mun I 



a - «U,0«e or lara 

« - S3M,001 » s»oa,ooo 



o • ss«o,ooi to n.ooo.ooo 






%l,9C0,00Q 






371 



pn^ANClAl. 



DISCUSSURE REPORT (cont'd) 



Maa oC P«c«aa 9myiirttmg 

Willie L. Sands 



Outm ot lltinrt 

2/14/94 



t/ii irjVESTMENTS and TRUSTS - income, value, transactions, (indnda ttwie or 

VII- and drprndrnt cfaUdrai; see pp. IS-Z7 of lutmctiaat.) 



(CcfSfagcri 

IM lAdPiaSI «a4 ■ u aw K ^^Ci* tor 
^ «Bi^c UM pnoc u*cIosur*. 




"sis? 

VPf} 



^-. 



J valM 
at *ad ot 



Cod* 



''Craxtvao^oaa during rvportlag period 



»^ui. 



-ir; 



^roM dlacloanrm 



uoatb 



<3) 

coda' 



S5i 




n 



NONE (■. 



— af , OC 



^ 100 shares of common stock 



ig 



Bank Corporation o 



rss. 



E ] E 



M P 



Superior Court Judges Re-^ 
tlrement account (unvested) 



E C E 



M P 



T •• 



' iundlvided Interest in bdlg 
i lot - Baldwin County, Ga 



C E 



M P 



■a/Cala < 
Col. »1 t P4I 



^•$1,000 or Immm 

t-sis.oei to iso.aoo 



■•$1,001 to »,soe 

iSO.OCl to tlOO.flOO 



<:-*z,sai to s.ooo 

- ItOO.OOl tn SI 



ligiT nig*«^tr»!^?88i°°' iS3ia.arti'iggt8SS 



0-*S,001 to $15,000 



taoo Col, ci 4 Oil 
3 valao Motboo Coda*: 



J>il9,000 or 
ll-$2S0.001 to S500.OOO 
Q'Appralaal 



t.{U:Mt to IM, 

OSSOO.OOI to tl. OOP. OOP 

(•coat (raal aatato our) 



OaI 



-Hook Valua 



ifcEatlaatad 



TaCaah/MarkM 



372 




, DISCLOSURE REPORT (cont'd) 



Willie L. Saads 



Dtta sf Baiact 

2/U/9it 



y,,/ ADDITIONAL INFORMATION or EXPLANATIONS, dndiote pot or Report.) 

VI 1. - This is a loan from the cash value of one of my personal Insurance policies. A net 

cash value remains after deducting the full amount of the loan. 

VII 2. - This is the expected distribution from my retirement account upon resignation of 
my present position, if confirmed. 

3. - I am the owner of i undivided interest In the lot and building upon which one of 



the 


offices of m> 


former 


law 


firm is 


located. I expect to dls 


pose 


of 


my 


Interest 


in 


said 


property 


as 


soon 


as 


Che sane 


is reasonably practical 


for 


all 


parties. 


I 


have no 


Interest 


in 


the 


firm 


itself 


except as set out in Part 


II. 


above. 

































IX. CERTIFICATION. 

In compliance with the provisions of 28 U^.C S 455 and of Advisory Opinion No. 57 of the Advisory Committee on 
Judicial Activiiies, and to the best of my knowledge at the time after reasonable inqniiy, I did not perfbnn any adjadicatoiy 
function in any litigation during tbe period covered by this rqx>rt in which I, my spouse, or my minor or dependent children 
bad a financial interest, as defined in Canon 3C(3)(c), in the outcome of such Uligation. 

I oenily that all information given above (including information pertaining to my spouse and minor or dependent children, 
if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was 
withheld because it met applicable statutory provisions permitting non-disclosure. 

I further certify that earned income from outside employment and honoraria and the acceptance of giAs which have beeii> 
reported are in compliance with the provjsie^ of S U.S.C.A. app. 7, § 501 et seq., 5 U.S.C S 7353 and Judicial Conference 
regulations. 



Signature 




Due 



2/14/94 



NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT 
MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCnONS (5 U.S.CA. APP. 6, { 104, AND 18 VS.C. i 1001.) 



. i^>. 


'.<:.■-. . t,->^^f - -^'--i..' _^-,j,, . 


UCnONS: 






FDLINOINSTR' 






MaB agned origituil and 3 additional copies to: 


JodicSflJ Eiliics Coimniitee 
Admlnlitnillvo Offloe of the 

United States Courts 
Washingtrtn, DC 20544 





373 




• > vcflLOSOSE REPORT (cont'd) Name: Willie L. Sands 



Date: 2/14/94 



I. 


POSITIONS (cont'd) 




Member 




Member 




Member 




Member 




& Vice Fres. 




Member 




Member 




Member 


III. 


NON-INVESTMENT INC 


6. 


1/93 - 12/93 


7. 


1/93 - 12/93 


8. 


1/93 - 12/93 


9. 


1/1/93 - 1/31/94 


0. 


1/1/93 - 1/31/94 


1. 


1/1/93 - 1/31/94 


2. 


1/1/93 - 1/31/94 


3. 


1/1/93 - 1/31/94 


4. 


1/1/93 - 1/31/94 



Board of Directors, City Club of Hacon 

Board of Directors, Comsunlty Foundation of Central Georgia 

Board of Directors, First South Bank of Middle Ga./Bank Corp. 
of Ga. 

Georgia Commission on Family Violence 

Georgia Supreme Court Task Force on Substance Abuse 

Board of Directors of Macon Symphony 

Board of Directors of Midsummer Macon (term ended - 1993) 



First South Bank of Middle Ga. (Director) 



$ 4,250.00 



WMAZ-TV (Weather Caster /Community Services 

Director) (S) $26,795.10 

Robert Cummlngs d/b /a Reflections Promotion (S) $ 1,055.00 



Superior Courts of Georgia 
Crawford County Commissioners 
Peach County Commissioners 
Bibb County Commissioners 
First South Bank of Middle Ga. 
WMAZ-TV (S) 



$ 6,112.00 
$ 115.38 
$ 333.33 
$ 1,750.00 
$ 750.00 
$ 2.640.00 



374 

FINANCIAL STATEMENT 
NET WORTH i 



Provide a complete, current financial net worth statenient which itemizes in detail all assets (including b 
• cecums. m\ estate, securities, trusts, investments, and other financial holdings) all liabilities (including de 
mortgages, loans, and other financial obligations) of yourself, your spouse, and other immediate member 
your household. 



ASSETS 




UABI'JTIES 


Cjih on hsnd and In banKi 


1 A202 


80 




Notts piytbl* to banks — Mcurtd 

Not** parabi* to bank»— un»*cui»d 

Notn payibia to rtUt>v«s 

Notts payabla to othara 

Accounts and bills due 

Unpaid Incoma tax 

Othar unpaid tas and Intamt 

Raal ntata ntortsagvi payabia — add 
»ch^dula 

Chattel mortsates and olhar Ham 
pajrcbla 

Othar debts — Itemize: 
Educational loan (spouse) 


20021 


3b 




U.S. Co»»fnmtnt ••cundri — add 


1 200 


00 




1106 


1$ 






00~ 




UiJ»d veeuriBe* — »dd tch»doU 








3000 


— 


Unllrt»d Mcuf1li« — idd »d»»dul« 


1000 


UU 




14382 


97 


""• 


Account! «nd noln recatvabla: 








- 




~* 


Out (roin ralttivn and tri*ndi 


_ 






Out from o<h€re 








91811 


90 




Doubtful 










111777 


50 




8437 


82 










ftui rtUtc mortC>ff*=* r*c«lv«bU 


94^53 


75r 

85 






1 


>U/toi 4r>d olfitr p4r»onal property 


5682 


79' 




8909 








1 
















1 


unpaid salary due from 


7000 


nn 















retirement account 


15172 


41 




ToUl lUbilities 

Net Monh 

Toal liablllUei and net worth 


144443 


02 












98272 


94 i 


Toui itun 


242715 


56 




242715 


96 




CX)NnNCCt<T UABILITItS 


20 




GENERAL INFORMATION 








Ai •ndorMr, comaker or cutranlor 


769 




Are any assets pledged? (Add sched- 
ule.) Yes. 

Are you defer>dam In arry suits or 
t«S»i actlonsrYes , Child supp 

Have you vmr taken baniuvpicyr No. 


8437 


87! 


On I*ji4i or cont/icu 








jrt modi 




Lecel CUims 








icatic 


Provision lor r»d«ril 'nccm* T«i 












Ottiar ip^lil dtbt 










■ 




- 











imcHCff: nm n. nwm nnMDcanjcroFiiBBrirwQ 

ousnois 



375 



FINANCIAL STATEMENT 
NET WORTH 



SCHEDULES: 

1,) U. S. Govenunent securities - U. S. Savings Bonds 

2.) Unlisted securities - 100 shares common stock. Bank Corporation of Ga. 

3.) Real Estate Owned: 

a) house and lot, Macon, Bibb County, Georgia 

b) J undivided interest in building and lot Milledgeville, 
Baldwin County, Georgia 

4,) Real Estate Mortgages payable: 

a) home mortgage: $45,127.62 * 
equity line 32,434.28 ** 

b) i of mortgage on building & lot: $14,250.00*** 

*Flrst Union Mortgage Corporation 
**Flrst Union National Bank of Georgia 
***Century Bank i Trust 

5.) Pledged assets: 

a) 1993 Volvo (i/c/w its purchase, i.e. bank note) 

b) grand piano * 

c) some furnishings* 

♦Pledged 1/c/w Associates, First Family Financial Services, 
& Yamaha Music Finance 



NOMINATION OF MICHAEL BROMWICH, TO BE 
INSPECTOR GENERAL, U.S. DEPARTMENT 
OF JUSTICE 



FRIDAY, APRIL 22, 1994 

U.S. Senate, 
Committee on the Judiciary, 

Washington, DC. 

The committee met, pursuant to notice, at 11:04 a.m., in room 
SD-226, Dirksen Senate Office Building, Hon. Dianne Feinstein 
presiding. 

OPENING STATEMENT OF SENATOR FEINSTEIN 

Senator Feinstein. The Judiciary Committee will come to order. 
This morning, the committee will conduct a hearing on the nomina- 
tion of Michael Bromwich to be Inspector General of the Depart- 
ment of Justice. 

Let me say for the record that the nominee has completed a very 
detailed questionnaire on his qualifications, his experience, his fi- 
nances, and his philosophy. The portions of the questionnaire avail- 
able to the public will be printed in the record of this hearing. We 
will also keep the record open for a limited time just in case mem- 
bers of the committee would like to submit written questions. 

We have received dozens of letters in support of this nomination. 
We will place these letters in the record, also. 

[See letters in support of Michael R. Bromwich, p. 444.] 

Of course, we will place in the record any introductory state- 
ments. At this time, I would like to enter into the record a state- 
ment of Senator Orrin Hatch, the ranking minority member of this 
committee, and a statement by Senator Daniel Moynihan on the 
nomination of Michael Bromwich. These two statements will go 
into the record. 

[The prepared statements of Senator Hatch and Senator Moy- 
nihan follow:] 

Prepared Statement of Senator Orrin G. Hatch 

The Judiciary Committee today considers the nomination of Michael Bromwich to 
be Inspector General of the Department of Justice. 

The Inspector General's duties, as set forth in Attorney General Order 1638-92, 
dated December 11, 1992, relate essentially to allegations concerning waste, fraud, 
and abuse at the Department of Justice, or by the Department's contractors grant- 
ees or other recipients of Departmental benefits. 

Another office, the Office of Professional Responsibility (OPR), handles allegations 
of prosecutorial misconduct or unethical conduct by Department lawyers and allega- 
tions of misconduct by investigative and law enforcement personnel at the Depart- 
ment. 

(377) 



378 

In my view, keeping OPR separate from, and independent of, the Inspector Gen- 
eral's office is very important. The Attorney General should be able to turn to an 
independent office, headed by a nonpolitical, career lawyer, reporting directly to the 
Attorney General. Accordingly, I was troubled by reports that Attorney General 
Reno was considering the merger of the two offices. 

Following correspondence from myself and several of my Republican colleagues on 
the committee, I was pleased to receive an April 5, 1994, letter from Attorney Gen- 
eral Reno in which she advised me that she had "determined not to merge the [two 
offices] or in any other way to place OPR under the supervision of the IG. ' 

Attorney General Reno added, "I am convinced that the continued separation of 
the functions and responsibilities of these two components will help to ensure that 
we maintain the highest standards of professionalism within the Department." 

I construe these remarks as meaning that OPR will retain its current responsibil- 
ities as well as its status as a separate office. 

I look forward to the nominee's testimony. 

Prepared Statement of Senator Daniel Patrick Moynihan 

Mr. Chairman, it is my great pleasure to introduce Michael Bromwich to this hon- 
orable Committee. I believe he will be an outstanding Inspector General at the De- 
partment of Justice. 

Mr. Bromwich's credentials are exemplary. He spent almost ten years at Harvard 
University, graduating in Social Studies from Harvard College summa cum laude, 
receiving a Master of Public Policy Degree from the John F. Kennedy School of Gov- 
ernment, and receiving his law degree from the Harvard Law School. 

He has worked in the Criminal Division at the United States Attorney's Office in 
the Southern District of New York, served as an Associate Counsel and Special 
Counsel in the Office of Independent Counsel for the case of United States v. Oliver 
North, and was a partner in the law firm of Mayer, Brown and Piatt. Mr. Bromwich 
was the first non-New York lawyer admitted to the New York Council of Defense 
Lawyers. Although he is originally from California, New York is proud to claim him. 
He currently serves as Assistant to the Attorney General at the Department of Jus- 
tice. 

Many distinguished Americans have endorsed Mr. Bromwich. Leonard Garment 
describes him as "an able and vigorous prosecutor." New York City Mayor Giuliani 
characterizes him as "a consummate professional: fair, objective and reasonable." 

Mr. Chairman and members of the Committee, I am pleased to recommend Mi- 
chael Bromwich to you, and to urge his speedy confirmation. 

Senator Feinstein. Although I have a statement, I would like 
very much to defer and I would like to introduce Representative El- 
eanor Holmes Norton and ask you if you would care to make an 
opening statement of introduction. 

STATEMENT OF HON. ELEANOR HOLMES NORTON, A 
DELEGATE IN CONGRESS FROM THE DISTRICT OF COLUMBIA 

Delegate Norton. Thank you, Madam Chairperson. I do not 
need to tell you that the Inspector General of the Justice Depart- 
ment should be a person of unusually high integrity, great inde- 
pendence, deep experience, and keen intellect. That is a description 
of Michael Bromwich, whom I am happy to recommend to you. 
Madam Chairwoman, today. 

Michael Bromwich is a Harvard College Phi Beta Kappa. He 
then went on to Harvard's John F. Kennedy School of Government, 
where he earned his master's in public policy, and then to the Har- 
vard Law School. Mr. Bromwich has extensive and varied legal ex- 
perience of the kind that will hold him in good stead in the position 
for which the President has nominated him. 

He has had extensive experience as a U.S. attorney in the South- 
ern District of New York. He has practiced here in the firm of 
Mayer, Brown and Piatt, where he participated in complex litiga- 
tion, including white collar crime and related matters, and the su- 
pervision of internal corporate and organizational investigations. 



379 

We are proud that he took the leadership in his law firm in devel- 
oping a pro bono program for the representation of indigent defend- 
ants in the District of Columbia's Superior Court. 

Mr. Bromwich was special counsel at the Office of Independent 
Counsel during the Iran-Contra hearings. He had substantial re- 
sponsibility for key parts of that investigation. He handled the pre- 
trial proceedings for the immunized testimony of John Poindexter. 
He represented the Independent Counsel's Office in the remand 
proceedings in U.S. v. Oliver North and tried that case. 

In the District, we are particularly proud that this talented 
young man and his young family live here, although I concede that 
he was born in California and his parents are still your constitu- 
ents, Madam Chairwoman. With him here today are his wife, 
Felice; his son, Daniel, who is 7; his son, Jonah, who is 4. I am 
sorry to report that 1-year-old Kira had to be left home because of 
age. In any case, we are very, very pleased that he lives here and 
that the President has chosen to nominate him. I strongly rec- 
ommend Michael Bromwich to you. Madam Chairwoman. 

Senator Feinstein. Thank you very much. Representative Nor- 
ton, and welcome to this House. As you probably know, I am a big 
fan of yours and so I enjoy watching you in the House of Rep- 
resentatives, and I thank you very much for taking time to be here 
this morning. 

Ms. Norton. Thank you so much. 

STATEMENT OF SENATOR FEINSTEIN 

Senator Feinstein. Now, I would like, as the Senator from Cali- 
fornia, to make a few introductory remarks. I am very pleased to 
also join with Ms. Norton in introducing Michael Bromwich, a na- 
tive of California. He has been nominated by the President to serve 
as inspector general at the Department of Justice. 

The inspector general, who supervises a nationwide field struc- 
ture of more than 400 employees, is responsible for investigating 
allegations of Department of Justice employee misconduct and for 
preventing waste, fraud, and abuse in the Department's component 
operations and contracts through inspections and audits. 

I won't repeat what Ms. Norton has said, but Mr. Bromwich was 
bom in Los Angeles in 1953. He attended University Elementary 
School in Westwood and James Madison Junior High School in 
North Hollywood. He graduated from Ulysses S. Grant High School 
in North Hollywood and, as a high school student, took courses at 
UCLA. Then he went to a minor college, known as Harvard, some- 
where on the east coast. He then returned to California to work 
each summer, and as a Harvard law student he worked two sum- 
mers at the Los Angeles firm of Irell and Manella. 

His mother and father, Leo and Rose Bromwich, each emigrated 
to the United States as a teenager. His father earned a doctorate 
degree in California. This is your father, I believe. 

Mr. Bromwich. This is actually both of them. Senator, 

Senator Feinstein. Both of them earned doctorate degrees? 

Mr. Bromwich. Yes. 

Senator Feinstein. Both earned doctorate degrees in California 
and taught for many years in the California State university sys- 
tem. They have resided for more than 30 years in Van Nuys, CA. 



380 

As Ms. Norton pointed out, Mr. Bromwich is an attorney with 
considerable experience in Federal law enforcement. He is well 
qualified to serve as the inspector general at Justice. She men- 
tioned his undergraduate work at Harvard, his master's degree in 
public policy from the Harvard John F. Kennedy School of Govern- 
ment, and a law degree from Harvard. 

After 3 years in private practice, he became a Federal prosecutor 
in the Southern District of New York. He served there from 1983 
to 1986. He became chief deputy and then chief of the narcotics 
unit. You heard about his prosecution as a member of Lawrence 
Walsh's staff in the Iran-Contra investigation. Since 1989, he has 
been a partner in the Washington, DC, law firm of Mayer, Brown 
and Piatt, where he has specialized in white collar criminal defense 
work. 

Mr. Bromwich was nominated to serve as IG. The committee, I 
must say, has received numerous letters from experienced law en- 
forcement officials, and I think these letters attest to his intel- 
ligence, his professionalism, his honesty, and his nonpartisan ap- 
proach to Federal law enforcement. 

I am very pleased to welcome you, Mr. Bromwich, and would ask 
that you perhaps introduce your family directly to the committee. 

Mr. Bromwich. Thank you very much. Madam Chairperson. As 
Ms. Norton indicated, with me today is my wife, Felice Friedman, 
who is a lawyer with the Office of International Affairs of the Secu- 
rities and Exchange Commission. In the blue jacket is my son, 
Daniel, who is 7 years old and will be 8 in July. 

Senator Feinstein. Hi, Daniel. 

Mr. Bromwich. The fellow in the green shirt is my son, Jonah, 
who will be 5 next month. 

Senator FEINSTEIN. Hi, Jonah. 

Mr. Bromwich. And he may tell you May 10th is his birthday. 

Senator Feinstein. Happy birthday. 

Mr. Bromwich. In the interests of minimizing disruption to the 
hearing, we have left their 1-year-old sister, Kira, at home, but she 
will be fully briefed. [Laughter.] 

Senator Feinstein. Thank you. We will now begin. Would you 
please stand and raise your right hand? Do you swear that the tes- 
timony you will give in this proceeding will be the truth, the whole 
truth and nothing but the truth, so help you God? 

Mr. Bromwich. I do. 

Senator Feinstein. Thank you. Would you like to make an open- 
ing statement to the committee? 

TESTIMONY OF MICHAEL R. BROMWICH, TO BE INSPECTOR 
GENERAL, U.S. DEPARTMENT OF JUSTICE 

Mr. Bromwich. Just very briefly. Madam Chairperson, I want to 
express my appreciation to the Chair for holding this hearing 
today. I want to note that I am deeply honored to have been nomi- 
nated to this position by President Clinton. I look forward to work- 
ing with the Congress and with the leadership of the Department 
of Justice in being the absolute best inspector general that I can 
be. 



381 

QUESTIONING BY SENATOR FEINSTEIN 

Senator FEINSTEIN. Mr. Bromwich, your questionnaire indicates 
that while you served in the office of U.S. attorney for the Southern 
District of New York, you were deputy chief, as I stated, and then 
chief of the narcotics unit. It also states that you served as associ- 
ate counsel and special counsel for the Office of Independent Coun- 
sel on the Iran-Contra investigation. 

How do you believe that these investigations and your manage- 
ment background prepare you for this office? 

Mr. Bromwich. Madam Chairperson, I spent roughly 7 years in 
Federal law enforcement, as you pointed out, first with the U.S. at- 
torney's office in the Southern District of New York and then with 
the independent counsel responsible for investigating Iran-Contra. 
During those 7 years, I gathered substantial experience in running, 
managing, supervising complex investigations, and in my capacity 
as deputy chief and then briefly as chief of the narcotics unit, I had 
responsibility for supervising from 20 to 22 attorneys who were 
working on a large number of quite important narcotics investiga- 
tions. 

I had similar supervisory duties when I worked for Judge Walsh 
on the Iran-Contra investigation. I, for a substantial period of time, 
supervised a group of from 7 to 9 lawyers and 7 to 10 FBI and IRS 
agents in doing a fairly substantial piece of that investigation that 
included looking at whether employees of the Central Intelligence 
Agency and Department of State committed any crimes. • 

So, I believe that my experience in Federal law enforcement and 
my experience in managing people, both lawyers and investigative 
agents, qualifies me for the position of inspector general. 

Senator FEINSTEIN. Thank you very much. As you, I am sure, are 
aware, at one time Attorney General Reno was considering merging 
the Office of IG and the Office of Professional Responsibility into 
an expanded Office of Inspector General. Recently, she decided not 
to merge the two offices. That means, I take it, that the Office of 
Professional Responsibility will continue to investigate allegations 
of wrongdoing against attorneys and law enforcement agents, and 
that the Office of Inspector General will be responsible for the in- 
vestigations and audits relating to the economy and efficiency of 
the Justice Department's programs and operations, and for detect- 
ing and preventing fraud and abuse, as I have stated. 

Is this your understanding of how the functions will be divided? 

Mr. Bromwich. Yes, that is generally correct. Madam Chair- 
person. There will be responsibilities for the Office of Inspector 
General in investigating certain sorts of employee misconduct, but 
you are quite right that OPR will continue to have principal re- 
sponsibility for investigations of misconduct that relate to allega- 
tions lodged against attorneys and law enforcement agents. 

Senator FEINSTEIN. Do you believe there will be overlap, and if 
so, how would it be handled? 

Mr. Bromwich. There will undoubtedly be overlap. There may be 
cases in which lawyers and law enforcement agents are involved 
that also involve other employees of the Department of Justice, and 
I am quite hopeful that I will be able to work closely with the Of- 



382 

flee of Professional Responsibility to work cooperatively on matters 
in which we both have an interest. 

At my initiative, I met recently with Mr. Shaheen and his dep- 
uty, Mr. Rogers, who are the top two officials in the Office of Pro- 
fessional Responsibility. It is not a secret that there has been ten- 
sion in the past between OPR £ind the IG, and I am hopeful that 
we will be able to launch a new era and we will be able to mini- 
mize turf battles and maximize cooperation. 

Senator Feinstein. I think that is excellent. One of the things 
that I have been struck with is what a large department Justice 
is, with over 90,000 employees, and so I think your job is really a 
very critical and important one in the Department. 

Mr. Bromwich. I agree with you, Madam Chairperson. 

Senator Feinstein. I understand that the Office of Inspector 
General is divided into four sections — investigations, audits, inspec- 
tions, and management — each headed by an assistant inspector 
general. What will be your enforcement priorities or goals for each 
of these sections? 

Mr. Bromwich. Madam Chairperson, what the inspector general 
has done up until now, and this is what I plan to continue, is to 
try to take a look at what are the most significant high-impact, 
high-risk areas of the Department's operations, and that is not just 
restricted, as you well know, to the Department of Justice. It also 
includes the U.S. attorneys offices. It includes INS, it includes the 
Marshals Service, it includes DEA, it includes the FBI, and so 
forth. 

We are the principal sentinel to make sure that the Department 
is run as efficiently and effectively as possible, and we will con- 
tinue to target those areas that are high-risk areas where there are 
substantial public funds expended and where there is a risk that 
public moneys are wasted. That is my principal job. 

Senator Feinstein. What would you say would be your number 
one priority when you go into that office? 

Mr. Bromwich. My number one priority is, in every way that I 
possibly can, both through the investigations, audits, and inspec- 
tions functions, to promote the integrity of departmental personnel 
and departmental programs. 

Senator Feinstein. Now, it is fair to say that the Department 
that you are going to head is really the watch dog for Justice. I 
know that you are an employee at Justice, an assistant to the At- 
torney General. Do you feel you can go in and give her bad news, 
if necessary? 

Mr. Bromwich. Senator, it is my job to give her bad news, if it 
is necessary, and I have had a number of conversations, including 
recent conversations, with both the Attorney Greneral and the Dep- 
uty Attorney Generzd, and they have expressed their intention to 
give me whatever access that I need to them and to the Depart- 
ment as a whole in order to carry out the functions that I have. 

They do recognize that I have responsibilities that require me to 
be independent, and I have no indication that they expect me to 
bow in that independence and to do things that will attempt to 
curry favor with them. They understand what the function and the 
role of the inspector general must be. 



383 

Senator Feinstein. If you could have your druthers in terms of 
Justice within the area of this responsibility, 5 years down the line 
how would you like to be looked at as an inspector general? 

Mr. Bromwich. I would like in the future to be looked at as 
somebody who was a leader in the inspector general community 
throughout the executive branch of the Government, and someone 
who has left a record of doing ever5rthing within one person's and 
one organization's power to make the Department of Justice the 
most efficient, the most effective department in the Federal Gov- 
ernment, and to have increased integrity in the Department in a 
way that everyone will acknowledge. 

Senator FEINSTEIN. I will just once again put a priority of mine 
out on the table for you. I have told virtually everybody as a mem- 
ber of this committee when I have been present at one of these 
hearings that, as a Californian, a real department within Justice 
that I would like to see elevated in priority is INS, and have sub- 
mitted some legislation that could be helpful in doing that by pro- 
viding the funding. 

I would hope that as you look at waste, fraud, abuse and other 
things that you would recognize that this today is a very important 
department which has functioned as more or less a stepchild or an 
orphan within the Department for a long time, and the time has 
really come to see that it has the wherewithal to do the job that 
it should be doing. 

Mr. Bromwich, I completely agree with you. Senator. As you 
probably know, a tremendous amount of the work that is currently 
done by the inspector general focuses on INS in audits, in inspec- 
tions, in investigations, and I think that is critical to continue that 
effort and, if possible, to enhance it because there is no doubt that 
INS is an absolutely critical part of the Department of Justice. I 
recognize that. 

Senator Feinstein. Since no other Senators have come — I mean, 
this is just a wonderful way to have one of these hearings, I must 
say. 

Mr. Bromwich. It is fme for me so far. Senator. 

Senator Feinstein. Do you have any closing comments? 

Mr. Bromwich. I really don't, Senator. It has been a longer road 
than I expected from the time I was offered the job until the time 
I appeared before this committee, and I am just very much looking 
forward to moving on, if and when I am confirmed, and assuming 
the responsibilities of the Inspector General of the Department of 
Justice. 

Senator Feinstein. Well, thank you very much. I look forward to 
supporting your nomination and being able to work with you as a 
Senator. I thank you very much. 

Mr. Bromwich. Thank you very much. Senator Feinstein. 

Senator Feinstein. This hearing is adjourned. 

[Whereupon, at 11:23 a.m., the committee was adjourned.] 

[Submissions for the record follow:] 



384 



SUBMISSIONS FOR THE RECORD 



X. BIOGRAPHICAL INFORMATION (PUBLIC) 

1. Full name (including any former names used) 

Michael Ray Bromwich 

2. Address: List current place of residence and office 

addresses) 

Residence: 

3806 Military Road, N.W., Washington D.C. 20015 

Office Address: 

United States Department of Justice 
10th and Constitution Avenue, N.W. 
Rood 4121 
Washington D.C. 20530 

3. Date and place of birth. 

December 19, 1953; Los Angeles, California. 



Marital Status (include maiden name of wife or husband's 
name). List spouse's occupation, employer's name, and 
business address (es) . 

Felice B. Friedman 

Lawyer 

Securities and Exchange Commission 

Office of International Affairs 

450 Fifth Street, N.W. 

Washington D.C. 20549 



5. Education : List each college and law school you have 
attended, including dates of attendance, degrees 
received, and dates degrees were granted. 

Harvard College, 1971-76, A.B., June 1976. 



John F. Kennedy School of Government, 1977-1980, 
M.P.P., 1980. 



385 



Harvard Law School, 1976-80, J.D., 1980. 



List (by year) all business or professional 
corporations, companies, firms, or other 
enterprises, partnerships, institutions and 
organizations, non-profit or otherwise, including firms, 
with which you were connected as an officer, director, 
partner, proprietor, or employee since graduation from 
college. 



A. Summer 1976: 

Sherman Oaks Swim School 
Sherman Oaks, California 
Swim Instructor 



B. Svimmer 1977: 

Xrell i Manella 

Los Angeles, California 

Summer Law Associate 



Summer 1978: 



U.S. Department of Justice 
Washington D.C. 20530 
Special Assistant 
Summer Law Clerk (6 weeks) 



2. Irell t Manella 

Los Angeles, California 
Svimmer Law Associate (6 weeks) 



D. School Year 1978-79: 

John F. Kennedy School of Government 
Harvard University 
Cambridge, Massachusetts 
Teaching Assistant 



3 - 



386 



E. Spring 1979: 



Consultant (with Professors James Q. Wilson 
and Mark H. Moore) 
Federal Bureau of Investigation 
Washington D.C. 



Summer 1979: 

Fried, Frank, Harris, Shriver i Kampelman 
Washington D.C. 
Summer Lav Associate 



School Year 1979-80: 

John F. Kennedy School of Government 
Harvard University 
Cambridge, Massachusetts 
Teaching Assistant 



H. June 1980 - May 1983: 

Foley t Lardner 
Washington D.C. 
Associate 



May 1983 - January 1987: 

United states Attorney's Office for the 

Southern District of New York 
Mew York, New York 
Assistant United States Attorney 



January 1987 - October 1989: 

November 1989 - January 1990 (part-time) 

May 1991 - September 1991 (part-time) : 



Office of the Independent Counsel: 

Iran-contra 
Washington D.C. 
Associate Counsel (*87-'89) 
Special Counsel (part-time assignments) 



- 4 - 



387 



October 1989 - November 30, 1993; 

Mayer, Brown t Piatt 
Washington D.C. 
Partner 



December 1, 1993-present: 

Assistant to the Attorney General 
United states Department of Justice 
Washington D.C. 



Military Service : Have you had any military service? 
If so, give particulars, including the dates, branch of 
service, rank or rate, serial number and type of 
discharge received. 

No. 



Honors and Awards : List any scholarships, fellowships, 
honorary degrees, and honorary society memberships that 
you believe would be of interest to the Committee. 



Summa Cum Laude from Harvard College; Phi Beta 
Kappa . 



9. Bar Associations : List all bar associations, legal or 
judicial-related committees or conferences of which you 
are or have been a member and give the titles and dates 
of any offices which you have held in such groups. 



Member of D.C. Bar. 



B. Member of American Bar Association and 
following sections and subcommittees: 

1. Litigation Section 

(Complex Crimes Committee) 



2. Criminal Justice Section 

(White Collar Crime Committee) 



- 5 - 



388 



C. New York Council of Defense Lawyers. 

D. Criminal Justice Act Panels: 

X. U.S. District Court, District of Columbia 
2. 0.8. District Court, District of Karyland 

10. Other Memberships : List all organizations to which you 
belong that are active in lobbying before public 
bodies. Please list all other organizations to which 
you belong. 

Lobbying Organizations ; 
World Wildlife Fund 
American Automobile Association 
Friends of WETA (Public Television) 

Other Organizations ; 

Council for Excellence in Government 

United states Holocaust Memorial Museum 

Friends of the National Zoo 

Temple Sinai 

Murcta Home & School Association (DC Public 
Schools PTA) 

Harvard Law School Association 

Northwest Branch Swim Club 

11. Court Admission : List all courts in which you have 

been admitted to practice, with dates of admission and 
lapses if any such memberships lapsed. Please explain 
the reason for any lapse of membership. Give the same 
information for administrative bodies which require 
special permission to practice. 

United states Supreme Court (1989) 
- 6 - 



389 



United states Court of Appeals for the 2nd Circuit 
(1984) 



United States Court of Appeals for the O.C. 
Circuit (1989) 



United States District Court for the District of 
Columbia (1989) 



United States District Court for the District of 
Maryland (1991) 



District of Columbia Court of Appeals (1980) 
Superior Court of the District of Columbia (1980) 



12. Published Writings: List the titles, publishers, and 
dates of booJcs, articles, reports, or other published 
material you have written or edited. Please supply one 
copy of all published material not readily available to 
the Committee. Also, please supply a copy of all 
speeches by you on issues involving constitutional law 
or legal policy. If there were press reports about the 
speech, and they are readily available to you, please 
supply them. 



A. Boo)t Review, Law t Policy in International 
Business . Vol. 14:1227 (1983) 

B. Participant in panel discussion, subsequently 
published as, "Symposium Issue on the Selection 
and Function of the Modern Jury," The American 
University Law Review . Vol. 40, No. 2, Winter 
1991. 



C. "Sentencing of Organizations," in Phylis 
Skloot Bamberger, ed.. Practice Under the New 
Federal Sentencing Guidelines . Prentice-Hall Law t 
Business (1992 & 1993 Supp.) 
(co-author) . 



- 7 - 



390 



D. Participant in symposiiun, subsequently 
published as, "Iraqgate: The Making of an 
Investigation," Harper's . January 1993. 



E. "Today is the Day to Implement Compliance 
Programs," New York Law Journal . July 26, 1993. 



13. What is the present state of your health? List the 
date of your last physical examination. 

Excellent. February 1991. 



14. Public Offices : State (chronologically) any public 
offices you have held, other than judicial offices, 
including the terms of service and whether such 
positions were elected or appointed. State 
(chronologically) any unsuccessful candidacies for 
public office. 



A. Assistant United States Attorney, Southern 
District of New York (1983-87) 

1. Deputy Chief Narcotics Onit (September 
1985-December 1986) 



2. Chief, Narcotics Unit (December 1986- 
January 1987) 



B. Associate Counsel, Office of Independent 
Counsel: Iran-Contra (1987-89) 



C. Special Counsel, Office of Independent 
Counsel: Iran-Contra (December 1989-January 1990; 
May-September 1991) . 



- 8 - 



1 



391 



15. Legal Career ; 

a. Describe chronologically your law practice and 
experience after graduation from law school 
including: 

1. whether you served as a clerk to a judge, and 
if so, the name of the judge, the court, and 
the dates of the period you were a clerk; 

2. whether you practiced alone, and if so, the 
addresses and dates; 

3. the dates, names and addresses of law firms or 
offices, companies or governmental with which 
you have been connected, and the nature of 
your connection with each; 

b. 1. What has been the general character of your 

law practice dividing it into periods 
with dates if its character has changed 
over the years? 

2. Describe your typical former clients, and 

mention the areas, if any, in which you have 
specialized. 

c. 1. Did you appear in court frequently, 

occasionally, or not at all? If the frequency 
of your appearances in court varied, describe 
each such variance, giving dates. 

2. What percentage of these appearances was in: 

(a) federal courts; 

(b) state courts of record; 

(c) other courts. 

3. What percentage of your litigation was: 

(a) civil; 

(b) criminal. 

4 . State the number of cases in courts of 
record you tried to verdict or judgment 
(rather than settled) , indicating whether you 
were sole counsel, chief counsel, or associate 
counsel . 



392 



5. What percentage of these trials was: 

(a) jury; 

(b) non-jury. 



I did not clerk for a judge after I graduated from 
Harvard Law School in 1980, nor have I ever never 
practiced lav by myself. The chronology of my legal 
career is as follows: 

From June 1980 to 1983, I was an associate in the 
D.C. office of Foley ( Lardner, a lav firm based in 
Milwaukee, Wisconsin. While I worked at the firm, the 
address of the D.C. office was 1775 Pennsylvania 
Avenue, N.W., Washington, D.C, 20006.1/ During my 
time at the firm, I worked on projects involving 
litigation, regulatory enforcement, and administrative 
lav, as veil as in various other areas of the firm's 
practice. With the exception of one pro bono criminal 
appeal, my practice consisted entirely of civil 
matters. I did some legal work on behalf of a trade 
association in the oil industry and for various 
Milwaukee-based corporate clients of the firm. With 
the exception of the criminal pro bono matter referred 
to above, which I argued in the D.C. Court of Appeals, 
I made no court appearances in either state or federal 
court. 

In May 1983, I was appointed an Assistant United 
States Attorney for the Southern District of New York. 
The address of that office is One Saint Andrews Plaza, 
New York, New York, 10007. I was hired by John S. 
Martin, Jr., now a federal judge in the Southern 
District of New York, but served most of my tenure 
under Rudolph W. Giuliani, now the Mayor of New York 
City. My entire tenure was served in the Criminal 
Division and more than 95% of the matters that I 
handled while in the Office was criminal. While an 
Assistant United States Attorney, I tried approximately 
a dozen cases, ranging in length from three days to two 
months. With one exception, these trials were all 
before a jury. In all of these cases, I was lead 



1/ The firm's D.C. Office has moved to 3000 K Street, suite 
500, Washington D.C. 

- 10 - 



393 



counsel for the government. 2/ In approximately half 
of these cases, I was sole counsel for the government. 

In January 1984, after 10 months in the General 
Crimes Unit, I was transferred to the Narcotics Unit. 
In September 1985, Mr Giuliani appointed me Deputy 
Chief of the Narcotics Unit. In December 1986, shortly 
before I left the O.S. Attorney's Office, Mr. Giuliani 
appointed me Chief of the Narcotics Unit, with 
responsibility to direct and supervise the work of more 
than 2 lawyers. During the period I held these 
supervisory positions, I continued to handle my o%m 
investigations and cases. As a result, I was in court 
very frequently during my entire stay in the 0.8. 
Attorney's Office. In addition to the trials that I 
tried to verdict, I argued approximately a dozen cases 
in the U.S. Court of Appeals for the 2nd Circuit. 

In January 1987, I was appointed Associate Counsel 
by Lawrence E. Walsh, who in December 1986 was 
appointed Independent Counsel by a special division of 
the D.C. Circuit to investigate the Iran-Contra affair. 
I remained an Associate Counsel until October 1989. 
The address of the Independent Counsel was 555 13th 
Street, M.W., Suite 701W, Washington, D.C, 20004. I 
was designated by Judge Walsh as one of three members 
of the trial team in D.S. v. Oliver North , which was 
tried from January to May 1989. Shortly after the 
North case ended, I left the Office to return to 
private practice. On two occasions after my departure, 
I was appointed Special Counsel by Judge Walsh to 
handle matters relating to work that had taken place 
while I was still with the Office. Because of the 
nature of the Office, all of my work was in federal 
court and all related to criminal matters. I had no 
involvement in any aspect of the Independent Counsel's 
investigation that took place from 1988 through 1992. 
Nor did I have any role in drafting, reviewing or 
editing any aspect of the Independent Counsel's final 
report. 

From October 1989 through November 30, 1993, I was 
a partner in the D.C. office of Mayer, Brown & Piatt. 



II With one exception, I tried these cases from beginning to 
snd. The exception involved my completion of a trial begun by an 
Assistant D.S. Attorney who was arrested in mid-trial. In that 
:ase, I completed presenting the government's case, cross- 
ixamined the witnesses called during the defense case, and 
lelivered the summation. This case is further described in my 
inswer to question # 16, item # 5. 

- 11 - 



394 



The address of the firm's D.C. Office is 2000 
Pennsylvania Avenue, N.W., Suite 6500, Washington, 
D.C, 20006. I specialized in white-collar criminal 
defense and handled a wide variety of criminal matters 
and quasi-criminal matters (administrative 
investigations that are subject to referral to the 
Justice Department for criminal prosecution) , as well 
as a small number of civil litigation matters. For the 
most part, I represented individuals in grand jury 
investigations and in connection with administrative 
investigations and proceedings. In addition, I 
developed an expertise in counseling companies on 
formulating and implementing internal compliance 
programs that satisfy the requirements established by 
the United States Sentencing Commission in the 
organizational sentencing guidelines, which became 
effective in November 1991. I supervised internal and 
private investigations on behalf of various individual 
and corporate clients. I would estimate that my 
practice was approximately 80% criminal or quasi- 
criminal and 2 0% civil. 

During my four years with the firm, I tried one 
local and one federal criminal case to a jury. I also 
tried one non-jury case. I have served on the Criminal 
Justice Act panels of the U.S. District Courts for the 
District of Columbia and Maryland. I handled numerous 
criminal matters — plus one administrative and one 
civil matter — on a pro bono basis and have 
established and headed a criminal pro bono progrzun at 
my firm in which law firm attorneys represent indigent 
defendants in D.C. Superior Court. More than 75% of my 
practice was in federal court, with the remainder in 
various state and local courts. Although the frequency 
of my court appearances while a partner at Mayer, Brown 
was far less than when I was a prosecutor, I 
nevertheless had a substantial number of court 
appearances. In addition to the three cases I have 
tried, I have also conducted evidentiary hearings and 
argued various motions. 



16. Litigation ; Describe the ten most significant 

litigated matters which you personally handled. Give 
the citations, if the cases were reported, and the 
docket number and date if unreported. Give a capsule 
summary of the substance of each case. Identify the 
party or parties whom you represented; describe in 
detail the nature of your participation in the 
litigation and the final disposition of the case. Also 
state as to each case: 

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395 



(a) the date of representation; 

(b) the name of the court and the name of the judge or 
judges before whom the case was litigated; and 

(c) the individual name, addresses, and telephone 
numbers of co-counsel and of principal counsel for each 
of the other parties. 



1. Dnited States v. Anthony Bari. et al. , June- 
December 1983, Case No., 83 Cr. 462 (DNE) , in the 
Dnited States District Court for the Southern District 
of Hew York, before the Honorable David N. Edelstein, 
United States District Judge. 

The decision of the Second Circuit affirming the 
convictions of the defendants is reported at 750 F. 2d 
1169 (2d Cir. 1984) . 

I directed an investigation conducted by the 
U.S. Marshals Service in conjunction with the 
Bureau of Prisons into an attempted escape from 
the Metropolitan Correctional Center in Manhattan. 
The attempt was launched from a 9th floor 
dormitory that housed approximately fifteen 
inmates. Because no inmate succeeded in getting 
out of the dormitory and no prison official saw 
the activities of the inmates who were trying to 
escape, we had to base our case largely on the 
testimony of three inmate-witnesses who resided in 
the dormitory at the time of the attempted escape. 
Eventually, six inmates were indicted. 

After a three-week trial, in which I served 
as lead trial counsel, the jury convicted five of 
the six inmates. The convicted inmates were 
sentenced to substantial terms of imprisonment 
that were set to run consecutively to the 
substantial sentences they were serving when they 
attempted to escape. 

Opposing Counsel: Richard F. Ziegler, Esq. (Anthony 
Bari), Cleary, Gottlieb, Steen t Hamilton, One Liberty 
Plaza, New York, New York, 10006, (212) 225-2000; Frank 
Wohl, Esq. (Tyrone Faines) , Lankier, Siffert i Wohl, 
500 Fifth Avenue, 33rd Floor, New York, New York, 
10110, (212) 921-8399; and Anthony J. Ferrara, Esq. 
(Marc Manns), Polstein & Ferrara, Two Park Avenue, New 
York, New York, 10016, (212) 725-1166. 



- 13 - 



396 



2. Dnited States v. Richard Calvin Brovn. Rudolph 
Cook, et al. . Case No. 88 84 Cr. 767 (RLC) , November 
1983-April 1984, D.S. District Court for the Southern 
District of New York, before the Honorable Robert L. 
Carter, 0.8. District Judge. 

I investigated and prosecuted a case 
involving a series of armed bank robberies in 
Manhattan and the Bronx, one of which included the 
perpetrators taking a bank customer hostage during 
the robbery. Working with the New York Joint Bank 
Robbery Task Force — an entity made up of FBI 
agents and New York City police detectives — we 
determined that the robberies had been committed 
by the members of loosely-knit organization based 
in the Bronx, many of whose members had recently 
been released from prison after serving federal 
prison sentences for prior bank robberies. 

Members of the Task Force were able to obtain 
confessions from several of the persons involved 
in the robberies. We obtained guilty pleas from 
four of the defendants, negotiated cooperation 
agreements with their lawyers, and relied on their 
testimony as well as other proof to prosecute the 
two remaining defendants. After a week-long 
trial, the jury convicted both defendants on all 
of the counts in which they were charged. The 
defendants both received lengthy prison sentences. 



Opposing Counsel: Thomas Liotti, Esq. (Richard Calvin 
Brown) , Liotti and Skelos, 1001 Franklin Avenue, Suite 
300, Garden City, New York, (516) 739-3700; Susan 
Kellman, Esq. (Rudolph Cook) , 20 Vesey Street, New 
York, New York, (212) 732-7200. 



3. Dnited States v. Alberto Pacheco-Garcia . October 
1983-May 1984, Case No. SS 84 Cr. 64 (LPG), in the 
Dnited States District Court for the Southern District 
of New York, before the Honorable Lee P, Gagliardi, 
Dnited States District Judge. 

I supervised the investigation and 
prosecution in a case involving a ring of 
defendants in the Bronx and Manhattan who 
defrauded individuals and banks out of substantial 
sums of money. The defendants' fradulent scheme 
involved stealing large numbers of federal 
government checks from the mails, forging the 

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397 



signatures of the rightful recipients, opening 
bank accounts under assumed names, depositing the 
stolen checks in the bank accounts, and writing 
checks on those bank accounts before the federal 
government could determine that the checks were 
stolen. 

I coordinated the investigation conducted 
jointly by the Secret Service and the U.S. Postal 
Inspectors. By the conclusion of the 
investigation, approximately a dozen defendants 
pled guilty. The only defendant who went to trial 
was Alberto Pacheco-Garcia, who was convicted of 
conspiracy to defraud the United States and theft 
of government property. I was sole government 
counsel at trial. 

Opposing Counsel: Harry C. Batchelder, Esq. (Pacheco- 
Garcia), 123 William Street, New York, New York, 10038, 
(212) 233-1884; Roland Thau, Esq. (E. Dulac) , Federal 
Defender Services Unit of the Legal Aid Society, 52 
Duane Street, New York, New York, 10007, (212) 285- 
2830. 



4. United States v. Harold Barr. et al. . January 1984- 
June 1985, Case No. 84 Cr. 82 (MEL), in the United 
States District Court for the Southern District of New 
York, before the Honorable Morris E. Lasker, United 
States District Judge. 

The Second Circuit's decision affirming the 
convictions of the defendants convicted at trial, while 
remanding Barr's case for further proceedings before 
the District Court, is reported as United States v. 
Cohen , at 796 F. 2d 20 (1986). The District Court's 
opinion on certain pre-trial motions is reported at 605 
F. Supp. 114 (6.D.N.Y. 1985). The District Court's 
opinion, following evidentiary hearings held pursuant 
to the Second Circuit's remand, is reported at 1989 
U.S. District LEXIS 4294 (1989). 

From January 1984, when agents of the New 
York Drug Enforcement Task Force arrested three 
defendants following a large-scale cocaine 
transaction, until March 1985, when a two-month 
long trial ended with the conviction of the 
principal defendants, I directed and supervised an 
investigation of large-scale narcotics trafficking 
involving cocaine, massive amounts of marihuana, 
and various psychedelic drugs. We enlisted the 

- 15 - 



398 



cooperation and assistance of federal, state, and 
local police officials throughout the country and 
from the Royal Canadian Mounted Police. 

The lead defendant, Harold Barr, purchased 
multi-kilogram quantities of cocaine from 
Colombian nationals based in Florida and 
distributed the cocaine and the other drugs to a 
network of drug distributors in New York City. 
The members of Barr's distribution network in turn 
sold the drugs to customers from around the 
country — including Massachusetts, North 
Carolina, Michigan, and California — and from 
Canada. 

During the course of the investigation, we 
secured the cooperation of numerous co- 
conspirators, including two of Barr's top 
lieutenants, one of whom was his first cousin. In 
all, approximately twenty defendants either pled 
guilty or were convicted at trial. The lead 
defendant, Harold Barr, was convicted of 
conducting a continuing criminal enterprise and 
sentenced to a 2 0-year term of imprisonment. 3/ 

Opposing Counsel: Michael Kennedy, Esq. (Harold 
Barr), 425 Park Avenue, New York, New York, (212) 935- 
4500; Michael Washor, Esq. (Eliot Cohen), 275 Madison 
Ave., New York, New York, (212) 980-6110; Robert 
Katzberg, Esq. (Jason Steinberg), Kaplan & Katzberg, 
767 Third Avenue, 26th Floor, New York, New York, (212) 
750-3100; Barry Fallick, Esq. (Gary Nudelman) , Rochman, 
Platzer, Fallick, Rosmarin & sternheim, 666 Third 
Avenue, New York, New York, 10017, (212) 697-4090; and 
Myron Beldock, Esq. (Oona Lind) , Beldock, Levine t 
Hoffman, 99 Park Avenue, New York, New York, 10016, 
(212) 490-0400. 



5. Dnited States v. Gordon Lawson and Milan Lama. May- 
June 1985, Case No. 85 Cr. 403 (EW) , in the Onited 
States District Court for the Southern District of New 
York, before the late Honorable Edward Weinfeld, Dnited 
States District Judge; and Dnited states v. Louis . July 
1985-March 1986, Crim. No. 85 Cr. 708 (KTD) , in the 
Dnited States District Court for the Southern District 
of New York, before the Honorable Kevin Thomas Duffy. 



3/ Following my departure from the D.6. Attorney's office, 
Barr's sentence was reduced by the District Court. 

- 16 - 



399 



The Second Circuit summarily affirmed the 
convictions of the two defendants in Lawson in an 
unpublished order. The Second Circuit's affirmance of 
the Louis conviction is reported at 814 F.2d 852 
(1986) . 

These two trials involved the shipment of 
heroin from Hong Kong to New York City through 
Seattle, Washington, in March 1985. The Lawson 
case was originally handled by another Assistant 
United States Attorney, who was arrested in mid- 
trial for having stolen money and drugs — 
including the heroin exhibit relating to this case 
— from a safe in the O.S. Attorney's Office. The 
United States Attorney, Rudolph w. Giuliani, asked 
me to complete the trial on behalf of the 
government and Judge Weinfeld granted me a 
postponement of the trial over a long weekend to 
become familiar with the case and review the 
transcript of proceedings that had already taken 
place. After the weekend adjournment, I presented 
the balance of the government's case and cross- 
examined one of the defendants. Both defendants 
were convicted and sentenced to terms of 
imprisonment. The Second Circuit summarily 
affirmed their convictions. 

Following the completion of the Lawson trial, 
the investigation focused on the source of the 
heroin in Hong Kong. DEA agents based in Hong 
Kong, working together with Hong Kong customs and 
police officials, located and arrested George 
Kathovalappil Louis. Louis waived extradition and 
was transported to the O.S. in September 1985. I 
was sole trial counsel in Louis's trial. Louis 
was convicted by a jury and sentenced to a 
siibstantial prison term. The Second Circuit 
affirmed his conviction but remanded to the 
District Court for resentencing by another judge 
based on its determination that the District Court 
had sua sponte based its sentence on improper 
considerations . 

Opposing Counsel: John P. Curley, Esq. (Gordon 
Lawson) , Federal Defender Services Onit of The Legal 
Aid Society, 52 Duane Street, New York, New York, 
10007, (212) 285-2830; Louis R. Aidala, Esq. (Milan 
Lzuna), 1133 Avenue of the Americas, New York, New York, 
(212) 302-4466; and David Eames, Esq. (George Louis), 
450 Park Avenue, New York, New York, (212) 223-3000. 



- 17 - 



400 



6. Dnited States v. Delvecchio . September 1985-June 
1986, Case Mo. 86 Cr. 305 (ONE), United States District 
Court for the Southern District of New York, before the 
Honorable David N. Edelstein, United States District 
Judge . 

The decision of the U.S. Court of Appeals for the 
Second Circuit is reported at 816 F. 2d 859 (2d Cir. 

1986) . 

I was sole trial counsel for the government 
in a case involving a conspiracy by the two 
defendants and others to sell approximately 
twenty-five kilograms of high-grade heroin for 
approximately $ 2.5 million dollars. Although two 
other participants in the operation had been 
arrested in November 1982, the identity of one of 
the two defendants whom I prosecuted was not known 
until the spring of 1986 and the case against the 
other was at the time considered weak. In 
addition, one of the key witnesses in the case had 
been murdered in a gangland-style execution. 

We gathered substantial additional evidence 
to strengthen the case against the two defendants. 
Following their arrest, the two defendants were 
convicted of conspiracy to distribute heroin and 
sentenced to substantial terms of 
imprisonment. 4/ 

Opposing Counsel: David Levitt, Esq. (Richard 
Delvecchio) and the late Jack Lipson, Esq., Federal 
Defender Services Unit of the Legal Aid Society, 52 
Duane Street, New York, New York, 10007, (212) 285- 
2830; Daniel Felber, Esq. (Angelo Amen), 285 Nest 
Broadway, New York, New York, (212) 422-4600. 



7. United States v. Amen, et al. . February-December 
1986, Case No. SSS 86 Cr. 60 (RLC) , United States 
District Court for the Southern District of New York, 
before the Honorable Robert L. Carter, United States 
District Judge. 



^1 The two defendants were also convicted by the jury of 
attempting to distribute five kilograms of heroin. Their 
conviction on the attempt charge was reversed by the Second 
Circuit. 

- 18 - 



401 



The decision of the 0.8. Court of Appeals for the 
Second Circuit is reported at 831 F. 2d 373 (2d Cir. 
1987), cert, denied (as Abbamonte v. U.S .), 485 U.S. 
1021 (1988). The opinion by the District court 
disposing of the defendants' pre-trial motions is 
reported at 649 F. Supp. 974 (S.D.N.Y. 1986) .5/ 

I directed the investigation and was lead 
trial counsel in a case involving high-level 
heroin trafficking in New York and Washington, 
D.C. Relying on court-ordered wiretaps, telephone 
calls taped at FCI Lewisburg, and multiple 
undercover purchases of high-grade heroin, we were 
able to demonstrate that two federal prison 
inmates arranged substantial heroin transactions 
through their confederates outside the prison by 
means of coded telephone calls and in-person 
visits in the prison's visiting room. In the 
final days of the investigation, we executed a 
search warrant at the residence of one of the 
defendants located on Long Island, New Yor)c, and 
seized five )cilograms of high-grade heroin, eight 
kilogrzuus of high-grade cocaine, and $ 5.6 million 
in cash, which at the time was the largest cash 
seizure from an individual in DEA history. 

The principal defendants, many of whom had 
substantial organized crime connections, either 
pled guilty prior to trial, or — in the case of 
the three lead defendants — were convicted after 
a month-long trial. The lead defendant, Oreste 
Abb2unonte, Jr., one of the most notorious drug 
trafficlcers in New Yor)c City history — and whose 
exploits as a teenager were chronicled in David 
Dur)c's The Pleasant Avenue Connection — was 
convicted of conducting a continuing criminal 
narcotics enterprise and was sentenced to life in 
prison without parole at FCI Marion where he has 
limited access to telephones. Most of the 
remaining convicted defendants, including Michael 
Paradise, a close associate of Gambino family boss 
John Gotti, received prison terms ranging from 20- 
40 years. 

Opposing Counsel: Gerald L. Shargel, Esq. (Philip 
Vasta), 150 E. 58th Street, New York, New York, (212) 
486-1717; Howard L. Jacobs, Esq. (Michael Paradise), 



/ The second Circuit's decision on the pre-trial detention of 
ne of the defendants who subsequently pled guilty is reported as 
nited States v. Romano . 799 F. 2d 17 (2d Cir. 1986) . 



19 - 



402 



401 Broadway, New York, New York, (212) 431-3710; 
Martin G. Weinberg (Oreste Abbamonte, Jr.)> Oteri, 
Weinberg t Lawson, the Statler Building, 2 Park Plaza, 
Suite 905, Boston, Massachusetts, 02116 (617) 227-3700. 



8. Dnited states v. Arnold Souitieri . Grim. No. SSS 86 
Cr. 60 (RLC) , September 1985-December 1986, U.S. 
District Court for the Southern District of New York, 
before the Honorable Robert L. Carter, Dnited States 
Distz'ict Judge. 

Squitieri was a defendant in the case 
described in #7 above. Although he was originally 
one of the principal targets of the investigation, 
and although wiretaps were placed on his residence 
phones for several months, he played a limited 
role in the events that formed the core of that 
case. Squitieri was acquitted by the jury. 

Despite Squitieri *s substantial wealth, he 
claimed shortly after bis arrest that he could not 
afford to retain counsel. The Court appointed 
Squitieri a lawyer at government expense. After 
the trial was over, we sought to compel Squitieri 
to repay the government the amounts it had 
expended in providing him with trial counsel. We 
did so based on solid information that Squitieri 
was a member of the Gambino crime feunily, was a 
particularly close associate of John Gotti, and 
derived substantial profits from not only 
narcotics trafficking but other organized criminal 
activities as well. After I took Squitieri 's 
deposition and and we made a detailed submission 
to the court. Judge Carter ordered Squitieri to 
reimburse the goveriunent for the payments it made 
to Squiteri's court-appointed lawyer.^/ 

Opposing Counsel: Michael Hurwits, 299 Broadway, New 
York, New York, (212) 619-4240; Robert Kiernan, Esq., 
Hoffman and Pollok, 260 Madison Avenue, New York, New 
York, (212) 679-2900. 



9. Dnited States v. John M. Poindexter. Oliver L. 
North. Richard Secord and Albert Hakim . Cr. No. 88-080- 
01 (HHG), -02 (GAG), -03, and -04 March 1988 through 



6/ Approximately a year later, Squitieri was convicted of 
narcotics trafficking in the District of New Jersey and was 
sentenced to a lengthy term of imprisonment. 

- 20 - 



403 



January 1990, December 1989-January 1990, D.s. District 
Court for the District of Columbia, before the late 
Honorable Gerhard A. Gesell ( North ) and the Honorable 
Harold H. Greene ( Poindexter ) , 0.8. District Judges. 

I was involved in various aspects of the 
cases against Admiral Poindexter, Lt. Col. Horth, 
and Messrs. Secord and Hakim. The four defendants 
were indicted in March 1988. During the period 
March- June 1988, I participated in various pre- 
trial proceedings and argued some of the pre-trial 
motions. In June 1988, Judge Gesell granted the 
defendants' motions for severance and ordered four 
separate trials, one for each of the defendants. 

I was selected as a member of the three- 
person trial team that represented the government 
in the prosecution of Lt. Col. North. John W. 
Keker, Esg., was chief trial counsel. The charges 
against Lt. Col. North included, among others, 
making false statements to Congress, obstructing 
Congressional investigations, altering and 
destroying government documents, and accepting an 
unlawful gratuity. I examined some of the 
government's key accomplice witnesses and cross- 
examined a number of defense witnesses. Lt. Col. 
North was convicted on three counts and acquitted 
on the remaining counts by the jury. Lt. Col. 
North's convictions were reversed by the D.C. 
Circuit. Following a remand to the District 
Court, the government dropped the charges against 
him. 

The decision of the D.C. Circuit Court of Appeals 
is reported at 910 F. 2d 843 (D.C Cir. 1990), opinion 
withdrawn and superseded in part on rehearing . 920 F. 
2d (D.C. Cir. 1990), cert, denied . Ill S. Ct. (1991). 
The decisions by Judge Gesell on various pre-trial 
motions produced twenty-three reported opinions. As 
published, they are reported in clusters: 698 F. Supp. 
322 (D.D.C. 1988); 708 F. Supp. 364-40S (D.D.C. 1988- 
89) (ten separate opinions); 713 F. Supp. 1436-1455 
(D.D.C. 1989) (ten separate opinions); 716 F. Supp. 
644-656 (D.D.C. 1989) (two separate opinions) . 

Opposing Counsel: Brendan V. Sullivan, Jr., Esq., and 
Barry Simon, Esq., Williams & Connolly, 725 Twelfth Street., 
N.W., Washington D.C, 20005, (202) 434-5000. 



- 21 



404 



After the Worth case was over, and after I 
had left the Office to enter private practice, I 
represented the Independent Counsel in certain 
pre-trial proceedings in the case against Admiral 
Poindexter. The pre-trial proceedings related to: 
1) whether principal trial counsel for the 
government, Dan K. Webb and Howard M. Pearl, had 
been exposed to the immunized testimony provided 
to Congress by Admiral Poindexter in July 1987; 
and 2) whether the witnesses the government 
intended to call at Poindexter 's trial were so 
tainted through such exposure that their testimony 
should be suppressed at trial. 

Judge Greene ruled that there was no basis 
for disqualifying Messrs. Webb and Pearl from 
conducting the trial for the government. Be also 
ruled that all of the witnesses from whom he 
heard testimony during the pre-trial hearing could 
properly testify at trial, with the exception of 
certain limits being imposed on the trial 
testimony of Lt. Col. North. Admiral Poindexter' s 
convictions on five counts by a jury were reversed 
on appeal by the D.C. Circuit. I was not involved 
either in the trial of Admiral Poindexter or in 
the appeal. 

The decision of the D.C. Circuit is reported at 
951 F. 2d 369 (1991), cert, denied . 113 S. Ct. 656 
(1992). The district court's opinion on the matters in 
which I participated are reported at 727 F. Supp 1488 
(D.D.C. 1989). 

Opposing Counsel: Richard W. Beclcler, Esq., 
Fulbright & Jaworslei, 801 Pennsylvania Ave., N.W., 
Washington D.C. 20004, (202) 662-0200. 



10. United States v. Mohammad Z. Jafar . Cr. No. 91- 
123-A, April-June 1991, U.S. District Court for the 
Eastern District of Virginia, before the Honorable 
Claude Hilton, U.S. District Judge. 7/ 

I represented a 31-year-old Iraqi national 
who was prosecuted by the government on two counts 
alleging that he violated the embargo on trade 



7/ Judge Hilton presided over the trial. The pre-trial motions 
and other preliminary matters were handled by the then-chief 
judge, Albert V. Bryan, Jr. 

- 22 - 



405 



between the U.S. and Iraq following Iraq's 
invasion of Kuwait on August 2, 1990. I began the 
representation of Mr. Jafar within a week of his 
indictment in April 1991. I was lead counsel for 
all of the pre-trial proceedings and conducted all 
aspects of the trial in court from opening 
statement through summation. Judge Hilton 
dismissed one of the charges for insufficient 
evidence after the government had rested its case. 
Mr. Jafar was acquitted by the jury on the 
remaining count. Following the acqpiittal, at my 
request, the government dismissed a charge against 
Mr. Jafar *s father. 

Opposing Counsel: Assistant U.S. Attorney Vincent 
Gambale, U.S. Attorney's Office for the Eastern 
District of Virginia, llOl King street. Suite 502, 
Alexandria, Virginia 22314, (703) 706-3700. 



17. Legal Activities : Describe the most significant legal 
activities you have pursued, including significant 
litigation which did not progress to trial or legal 
matters that did not involve litigation. Describe the 
nature of your participation in this question, please 
omit any information protected by the attorney-client 
privilege (unless the privilege has been waited.) 



Over the last decade, I have had a series of jobs 
that required not only legal experience but also the 
ability to work with and supervise groups of lawyers 
and investigators. The cases described in my responses 
to question #16 — particularly items #1-4 and #7-10 — 
required me to devise investigative strategies in 
complex criminal investigations; direct and coordinate 
investigations involving law enforcement personnel from 
various federal, state, and local agencies; worlc 
closely with prosecutors in other districts; and 
supervise the preparation of complex cases for trial. 

For example, the cases described at #7 and #8 in 
question # 16 above were the result of approximately a 
year of thorough investigation in conjunction with 
agents from the New York and Washington field offices 
of the Drug Enforcement Administration (DEA) and 
lawyers from the U.S. Attorney's Office for the 
District of Columbia. The case involved 1) frequent 
consultation among the various agencies involved in the 



- 23 - 



406 



investigation; 2) the drafting and submission of 
lengthy wiretap applications based on law enforcement 
intelligence information and pviblicly available 
materials; 3) the monitoring and analysis of wiretaps 
placed on multiple phones used by people involved in 
narcotics trafficking and other organized criminal 
activity; 4) the acquisition and comprehensive review 
of tape recordings made at FCI Lewisburg of phone calls 
placed by inmates; 5) the coordination and supervision 
of large-scale undercover purchases of narcotics; 

6) the supervision of other lawyers and a tezm of 
agents in the execution of multiple search warrants 
made at the time the investigation was terminated; and 

7) the supervision of a trial team of three prosecutors 
and approximately a dozen OEA agents in preparing a 
month-long case for trial. 

In addition to these activities, I actively 
supervised a group of 2 0-25 lawyers as Deputy Chief and 
briefly as Chief of the Narcotics Unit in the Southern 
District of New York. These supervisory 
responsibilities involved frequent contacts with DEA 
supervisors and agents, members of the New York Drug 
Enforcement Task Force, members of the New York-New 
Jersey Organized Crime Drug Enforcement Task Force, 
lawyers in the Office of the New York Special Narcotics 
Prosecutor, and day-to-day supervision and management 
of the lawyers in the Narcotics Unit. 

While working in the Office of the Independent 
Counsel, I was responsible for coordinating the 
logistics of the grand jury investigation and serving 
as liaison to the 1987-88 grand jury and later to Judge 
Gesell. Beginning in the fall of 1987, I was assigned 
responsibility to head the investigative team examining 
the activities of the Department of state, the CIA, and 
the "private benefactors" assisting the Contras in 
Nicaragua. These responsibilities involved the 
supervision of 7-8 lawyers and approximately a dozen 
FBI and IRS agents. 

In private practice, I worked with court officials 
to establish and supervise a program enabling lawyers 
in my firm to take on criminal cases in D.C. Superior 
Court for indigent defendants on a pro bono basis. In 
addition, one of the substantial criminal matters on 
which I worked required me to devise an investigative 
strategy and coordinate an 18-month long investigation 
designed to uncover evidence that would support a 
motion for a new trial. 



24 



407 



II. FINAMCIAL DATA AND CONFLICT OF INTEREST (PUBLIC) 



List sources, amounts and dates of all anticipated 
receipts from deferred income arrangements, stock 
options, uncompleted contracts and other future benefits 
which you expect to derive from previous business 
relationships, professional services, firm memberships, 
former employers, clients, or customers. Please 
describe the arrangements you have made to be 
compensated in the future for any financial or business 
interest. 



On December 1, 1993, I left the law firm of Mayer, 
Brown & Piatt to begin working at the Department of 
Justice. I will receive all monies owed, including my 
capital account, which will be paid to me in a lump 
sum. The payments will be based on my portion of the 
firm's income for services provided to clients from 
January 1993 through November 30, 1993. I will receive 
no income based on any of the firm's services rendered 
to clients after November 30. 

I will retain my investments in my independently 
managed 401 (k) plan. Because I did not spend five 
years with the firm, my investments in the firm's 
mandatory savings plan have not vested and will be 
returned to me when I resign from the firm, along with 
the other monies described above. My investment share 
in the plan is reflected in the interests reported on 
pages 10 and 11 of the report submitted in response to 
question #4 below. 



Explain how you will resolve any potential conflict of 
interest, including the procedure you will follow in 
determining these areas of concern. Identify the 
categories of litigation and financial arrangements that 
are likely to present potential conf licts-of-interest 
during your initial service in the position to which you 
have been nominated. 



I will seek and follow the advice of the 
appropriate ethics officials of the Department of 
Justice before participating in any matter in which I 
or any member of my family may have a personal or 
financial interest. 

I do not foresee any categories of litigation or 
any of my family's financial arrangements that are 

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408 



likely to present conflicts of interest. With respect 
to specific conflicts that may arise in the course of 
fulfilling my duties, I will consult with the ethics 
advisors at the Department of Justice. 



3. Do you have any plans, commitments, or agreements to 
pursue outside employment, with or without compensation, 
during your service in the position to which you have 
been nominated? If so, explain. 

Mo. 

4. List sources and amounts of all income received during 
the calendar year preceding your nomination and for the 
current calendar year, including all salaries, fees, 
dividends, interest, gifts, rents, royalties, patents 
honoraria, and other items exceeding $ 500 or more. (If 
you prefer to do so, copies of the financial disclosure, 
required by the Ethics in Government Act of 1978, may be 
substituted here.) 

Please see the attached copy of my Public 
Financial Disclosure Report, 8F-278. 

5. Please complete the attached financial net worth 
statement in detail (Add schedules as called for) . 

See net worth statement and related schedules 
attached at the end of this questionnaire. The 
materials were updated to include all financial 
transactions and related matters that took place 
up through and including January 1, 1994. 

6. Have you ever held a position or played a role in a 
political campaign? If so, please identify the 
particulars of the campaign, including the candidate, 
dates of the campaign, your title and responsibilities. 

In the fall of 1992 I attended several meetings of 
a group of approximately a dozen lawyers supporting the 
Clinton-Gore ticket to assist the campaign in 
developing positions on law enforcement and criminal 
justice matters, including community policing, boot 
camps, and various other issues. I had no title and no 
responsibilities other than attending periodic 
meetings. I estimate that I spent approximately ten 
hours on this activity. 

- 26 - 



409 



III. GENERAL (PUBLIC) 



An ethical consideration under Canon 2 of the American 
Bar Association's Code of Professional Responsibility 
calls for "every lawyer, regardless of professional 
prominence or professional workload to find some time to 
participate in serving the disadvantaged." Describe 
what you have done to fulfill these responsibilities, 
listing specific instances and the amount of time 
devoted to each. 

During the approximately seven years that I have 
practiced law in the private sector, I have devoted 
substantial amounts of ny time to serving the 
disadvantaged . 

While I was at Foley t Lardner in the early 
1980 's, I represented an indigent defendant on a pro 
bono basis in the D.C. Court of Appeals. I spent 
substantial time speaking by phone with my incarcerated 
client, researching the various potential appellate 
issues, drafting the opening and reply briefs, 
consulting with partners in the firm who agreed to 
supervise my work, and arguing the case in the D.C. 
Court of Appeals. In addition to the work on this 
case, I was called upon at various times to help out on 
other pro bono projects in which the firm was involved. 

After I returned to private practice in 1989, I 
devoted a very substantial portion of my time to pro 
bono matters. I was appointed by committees of judges 
in the Onited States District Courts for the District 
of Maryland and the District of Colximbia to panels of 
lawyers deemed qualified to handle criminal cases 
involving the representation of indigent defendants. I 
took on matters on a pro bono basis in both courts. In 
addition, federal judges in the District of Columbia 
from time to time called on me to represent individual 
defendants in special circumstances, and the Federal 
Piiblic Defender's Office requested that I represent 
witnesses in grand jury investigations. Although these 
assignments were for the most part in criminal cases, I 
accepted court appointments in civil cases as well. In 
addition, I established the program — mentioned in my 
response to question #17 above -- in D.C. Superior 
Court that enabled lawyers in my firm to represent 
indigent defendants in criminal cases on a pro bono 
basis. 

Altogether, my time records for the four years I 
spent at Mayer, Brown ( Piatt reflect that I spent a 

- 27 - 



410 



total of approximately 800 hours on pro bono matters. 
This figure does not include the time spent to arrange 
for various associates in my firm to undertake pro bono 
projects and my active supervision of those projects. 

I describe below specific pro bono matters that X 
undertook on behalf of indigent clients that took 
substantial amounts of my time. 

A. In 1990, I was appointed by the U.S. District 
Court in D.C. to represent an indigent defendant 
charged with possessing with intent to distribute 
a small quantity of crack cocaine. Ultimately, my 
client entered a conditional guilty plea, 
reserving the right to appeal the District Court's 
ruling on a suppression issue. I handled all 
court proceedings in the District Court and 
supervised an associate's handling of the appeal 
in the D.C. Circuit. The D.C. Circuit's decision 
affirming the District Court's denial of the 
suppression is reported as United States v. Ramos . 
960 F. 2d 1065 (D.C. Cir. 1992). Personal time 
spent: 165 hours. 



B. From December 1990 through April 1992, on 
appointment from the U.S. District Court in D.C, 
I represented a Federal Protective Service police 
officer who had been sued in a personal injury 
action arising out of serious injuries suffered by 
the plaintiff in a high-speed chase. 

The government originally agreed to represent 
the officer but subsequently took the position 
that his involvement in the chase was not within 
the scope of his employment. We persuaded the 
Court to certify that, contrary to the 
government's position, our client had at all times 
acted within the scope of his employment. 
Accordingly, the government was substituted as the 
defendant and our client was dismissed from the 
case. We began the representation on a pro bono 
basis. The Court on more than one occasion 
requested that we file a fee petition and 
subsequently ruled that we were entitled to 
certain fees and costs. The case, Mebane v. 
Turner, is reported at 789 F. Supp. 410 (D.D.C. 
1992). The issue of attorneys' fees and costs is 
currently pending in the D.C. Circuit. Personal 
time spent: 2 05 hours. 



- 28 - 



411 



C. In 1993, in an executive branch agency other 
than the Department of Justice, I represented a 
criminal investigator charged with serious 
violations of departmental rules and threatened 
with the loss of her job. After supervising an 
extensive investigation into the factual basis for 
the threatened dismissal, ve reached a settlement 
permitting my client to voluntarily resign from 
the agency. Personal time spent: 108 hours. 



Do you currently belong, or have you belonged, to any 
organization which discriminates on the basis of race, 
sex, or religion — through either formal membership 
requirements or the practical implementation of 
membership policies? If so, list, with dates of 
membership. What have you done to try to change these 
policies? 



No. 



- 29 



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429 



FINANCIAL STATEMENT 
NET WORTH 



Provide a complete, current financial net worth statement which itemizes in detail all assets (including ban: 
accounts, real estate, securities, trusts, investments, and other financial holdings) all liabilities (including debts 
mortgages, loans, and other financial obligations) of yourself, your spouse, and other immediate members o 
your household. 



ASSETS 


UABIUTIES 


Ca<h on hind and In banks *1 


fi7.170 


-lA 


— 


Notat payabia to banks — aacurwj iQ/ 

Nota* payabia to banks— URsacurvd 

Notat payabia to ratattva* 

Nota* payabia to othan 

Accounts and bills dua Cexcludine 
items. o;i current billing cicT.e 

Raal astata mortsaget payabia — add 

aehadula (schedule H) 

Chattel mortjagei and othar Hans 
paytbia 

Othar dabts — Itamlze: 





on 


._ 


U.S. Covammant iacafrtJa»— add , 
•chadula '' 


10,187 


50 


.. 





00 


~ 


Uatad aacuritiat — add tchadula *3 
Unllrtad »acur1tia« — add ichadula 


339,315 


20 
00 


— 





00 


— 








00 
00 


— 







Accouna and notn racarmbla: 

Oua from ralatiws and friandt 





OC 










00 


— 


Dua Irom oChara 
Doubtful 






00 
00 


— 


JL 

240,810 


,1111 

98 




Raal aetata ownad — add achadula *i, 


■(7? 7q-( 


nn 








00 




Rail rtuta mortsigai racaivabla 





00 





— 


Autot and othar panonal proparty *^ 


37,075 


00 


— 





00 


~ 







on 


-^ 






















Retirement Accounts *6 


122,532 


80 


_. 










Capital Account *7 


53,50( 


00 


__ 


- 
















ToUl liabiUUas 
Nat worth 


240.810 
783,982 


98 

87 
85 
















1,024.793 


85 — 


— — 


Toul aiMts 


Total liablllUes and n«t «>orth 


1,024,793 


— 


CONTINGENT UABILmCS 








GENERAL INFORMATION 








Ai tncorur, comakar or (uanntor 





00 


— 


A/a any assati pladgaiQ (Add aehad- 
ula.) 

Art you dafendant In any tuKs or 
iagal actions; 


No 






On laasai or eontncts 





00 


— 




l.a(al Claims 





w 


— 


No 






^Tv^io', fer rtrtanl trsr—Tit T— 





nn 







Otnar tpacial dabt t 





00 


— 


Hav* you avwr tskan baniuuptcyr 


No 














« 


- 









*1 


See 


Schedule 


A 


*2 


See 


Schedule 


B 


*3 


See 


Schedule 


C 


*4 


See 


Schedule 


D 


*5 


See 


Schedule 


E 


*6 


See 


Schedule 


F 


*7 


See 


Schedule 


G 



10/ See Schedule H, footnote 4. 



430 



^ 



OWKERSHIP 

JT 

DRB 

JEB 

KAB 

FBF 

DRB 

JEB 

KAB 

NRB 

FBF 

FBF 



SCHEDULE A 
CASH ON HAND AND IN BANKS 
ACCT./FDND 

Kemper Money Market Fund 

Kemper Money Market Fund 

Kemper Money Market Fund 

Kemper Money Market Fund 

Paine Webber Money Fund 

Paine Webber Money Fund 

Paine Webber Money Fund 

Paine Webber Money Fund 

Riggs National Bank Checking Acct. 

Riggs National Bank Checking Acct. 

Riggs National Bank Savings Acct. 



MARKET VALtJE 



$ 


23,850.00 


$ 


7,291.00 


$ 


7,291.00 


$ 


301.00 


$ 


33,505.30 


s 


3,278.00 


$ 


3,185.00 


$ 


5,469.44 


$ 


2,000.00 


$ 


500.00 


$ 


700.00 



TOTAL: 



$ 87,370.74 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich" and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



I 



431 



SCHEDOLE B 



U.S. GOVERNMENT SECURITIES 



WNERSHIP SECURITY MATURITY MARKET VALUE 



BF 10,000 FFCB MTN 5/15/01 $ 10,187.50 

Callable rate: 
8.65% 



TOTAL: $ 10,187.50 



•?B = Michael R. Bromwich 

3F = Felice B. Friedman (wife) 

r = Jointly held by Michael R. Bromwich and Felice B. Friedman 

RB = Held in Trust for Daniel R. Bromwich, Age 7 

SB = Helc?, in Trust for Jonah E. Bromwich, Age 4 

\B = Held in Trust for Kira Anne Bromwich, Age 10 months 



432 



SCHEDULE C 



LISTED SECURITIES 



OWNERSHIP 



SECURITY 



WO. /TYPE 



MARKET VALUE 



I. INDIVIDUAL EQUITIES 



FBF 



FBF 



FBF 



FBF 



Avecmco Corp. 



Amoco 



Catellus Dev. 
Corp. 



500 Conumon 



2 00 Common 



Bellsouth Corp. 150 Common 



2 00 Common 



$ 9,437.50 

$ 10,600.00 

$ 8,700.00 

S 1,550.00 



FBF 



Consol . Nat. 
Gas Co. 



200 Common 



$ 9,400.00 



DRB 



Consol. Nat. 
Gas Co. 



100 Common 



$ 4,700.00 



JEB 



Consol. Nat. 
Gas Co. 



100 Common 



$ 4,700.00 



FBF 



FBF 



Dow Chemical 



Fed. Paper Bd. 



2 00 Common 



4 00 Conv. Pref, 
2.875 



$ 11,350.00 
$ 19,800.00 



FBF 



General Motors 3 00 Common 



S 16,462.50 



< 



433 



SCHEDULE C (CONT'D.) 



PAGE 2 



OWNERSHIP 



SECURITY 



NO. /TYPE 



MARKET VALUE 



FBF 



JEB 



FBF 



FBF 



DRB 



FBF 



DRB 



GTE Corp. 



GTE Corp. 



Nynex Corp. 



Nynex Corp. 



Pacif icorp. 



RJR Nabisco 
Hldgs. Corp. 



200 Common 



100 Common 



NYS Elec.& Gas 78 Common 



2 00 Common 



2 00 Common 



2 00 Common 



200 Cum Pref. 



$ 7,000.00 

$ 3,500.00 

$ 2,369.25 

$ 8,025.00 

$ 8,025,00 

$ 3,850.00 

$ 5,000.00 



JEB 



RJR Nabisco 
Hldgs. Corp. 



100 Cum. Pref. 



$ 2,500.00 



FBF 



Santa Fe Pacific 300 Common 
Corp. 



$ 6,675.00 



FBF 



Santa Fe Energy 100 Common 
Res. Inc. 



925.00 



FBF 



JEB 



Schlumberger 
Ltd. 

Schlumberger 
Ltd. 



2 00 Common 



2 00 Common 



$ 11,825.00 
$ 11,825.00 



434 



SCHEDDLE C (CONT'D.) 



PAGE 3 



OWNERSHIP 



SECURITY 



NO. /TYPE 



MARKET VALUE 



FBF 



Sierra Pacific 
Resources 



100 Common 



S 2,050.00 



JEB 



Signet Banking 
Corp. 



100 Common 



$ 3,475.00 



FBF 



FBF 



FBF 



Telef. de Mex. 



Texaco Inc. 



200 Common 



100 Common 



Time Warner Inc. 320 Common 



$ 13,500.00 
$ 6,475.00 
$ 14,160.00 



SUBTOTAL: 



$ 207,879.25 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



J 



t 435 

SCHEDDLE C (CONT'D.) PAGE 4 



II. MUNICIPAL BONDS k NOTES 

OWNERSHIP SECroiTY MATDRITY 



FBF 



JEB 



KAB 



MARKET VALUE 



FBF Arizona Cert. 3/1/03 $ 22,196.60 

of Partic. 

^^^ N.Y. State Hlth. 11/4/04 $ 5,741.00 



Wash. D.C. G.O. 6/1/09 $ 10,336.50 



DRB N.Y. St. Urb. 1/1/05 $ 15,366.00 

Corp. 

DRB Ford Capital 5/1/98 $ n, 362. 50 

BV Notes 



NY State Dorm. 5/15/05 $ 16,345.80 

Univ. Ed. 



Time Warner Inc. 4/1/17 $ 21,050.00 



SOBTOTAL: § 102,398.40 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

DRB - it\T]l S^^^*'^ Michael R. Bromwich and Felice B. Friedman 

DRB - Held in Trust for Daniel R. Bromwich, Age 7 

JEB - Held in Trust for Jonah E. Bromwich, Age 4 

KAB - Held in Trust for Kira Anne Bromwich, Age 10 months 



436 



SCHEDULE C (CONT'D.) 



PAGE S 



III. UNIT INVESTMENT TRUSTS 



OWNERSHIP 



SECURITY 



UNITS 



MARKET VALUE 



FBF 



Unit Tax Ex. 
Sec. Tr. 



10 



$ 3,980.30 



SUBTOTAL: 



$ 3,980.30 



MRB 

FBF 

JT 

ORB 

JEB 

KAB 



Michael R. Bromwich 

Felice B. Friedman (wife) „ , 

Jointly held by Michael R. Bromwich and Felice B. Friedman 

Held in Trust for Daniel R. Bromwich, Age 7 

Held in Trust for Jonah E. Bromwich, Age 4 , 

Held in Trust for Kira Anne Bromwich, Age 10 months 



437 



SCHEDULE C (CONT'D.) 



PAGE 6 



IV. MOTDAL FUNDS 



OWNERSHIP 



FBF 



FUND 



Fidelity 



SHARES 



794.901 



MARKET VAT.IIB 
$ 9,880.62 



MRB 



20th Cent. 
Ultra 



69.814 



$ 1,466.79 



MRB 



20th Cent. 
Select 



32.729 



$ 1,286.58 



MRB 



2 0th Cent. 
Vista 



147.863 



$ 1,475.67 



MRB 



Value Line 
Fund 



$ 1,474.91 



ORB 



20th Cent, 
Growth 



108.573 



$ 2,426.61 



DRB 



20th Cent. 
Select 



87.317 



$ 3,432.43 



DRB 



20th Cent. 
Vista 



362.088 



SUBTOTAL : 



LISTED SECURITIES TOTAL! 



$ 3,613.64 



$ 25,057.25 
$ 339.315.20 



MRB 

FBF 

JT 

DRB 

JEB 

KAB 



Michael R. Bromwich 

Felice B. Friedman (wife) 

Jointly held by Michael R. Bromwich and Felice B. Friedman 

Held in Trust for Daniel R. Bromwich, Age 7 

Held in Trust for Jonah E. Bromwich, Age 4 

Held in Trust for Kira Anne Bromwich, Age 10 months 



438 



SCHEDULE D 



REAL ESTATE OWNED 



OWMERSHIP LOCATION ASSESSED VALUE 



JT 3806 Military Road, N.W. S 372,793.00 

Washington D.C, 
(Personal Residence) 



TOTAL: S 372,793.00 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



439 



SCHEDULE E 
AUTOS AND OTHER PERSONAL PROPERTY 
OWNERSHIP PERSONAL PROPERTY BOOK OR MARKET VALUE 

JT 1981 Honda Civic GL $ 1,100.00 

JT 1990 Honda Accord S 10,975.00 

JT Furniture, Appliances, Books, Other $ 11,000.00 

Household Contents 



FBF Fine Arts, Silverware, China, $ 14,000.00 

Crystal, Jewelry, etc. 



SUBTOTAL: $ 37,075.00 



MRS = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



440 



SCHEDULE F 



OWMERSHIP 



RETIREMENT ACCOUNTS 
RETIREMENT INSTRUMENT/VEHICLE 



MARKET VALUE 



FBF 



FBF 



Paine Webber Retirement Money Fund 



Paine Webber IRA: 
Nynex Corp.: 100 shares 



$ 174.79 

$ 4,012.50 



FBF 



Paine Webber IRA: 
Upjohn Co.: 100 shares 



$ 2,900.00 



FBF 



Paine Webber IRA: 

Global Health Sciences: 100 shares 



$ 1,087.50 



FBF 



Paine Webber IRA: 
Signet Bank: 100 shares 



$ 3,475.00 



FBF 



FBF 



FBF 



FBF 



MRB 



401(k): U.S. Trust Short-Term Fund 



401 (k): Fidelity Puritan Fund 



401(k): Fidelity Magellan Fund 



401 (k): Fidelity Overseas Fund 



20th Century IRA 
U.S. Govt. Securities 



$ 8,045.08 

$ 7,487.90 

$ 9,644.22 

$ 4,204.36 

$ 9,872.38 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



441 



SCHEDDLE 7 (CONT'D.) PAGE 2 



OWWER8HIP RETIREMEMT IH8TROMEMT/VEHICLE MARKET VALDE 

MRB Mayer, Brown & PlattH/ $ 42,484.9512/ 

Savings Plan 



MRB 401(k): Kidder, Peabody Funds $ 31,163.73 



SUBTOTAL: $ 124,552.41 



MRB = Michael R. Bromwich 

FBF = Felice B. Friedman (wife) 

JT = Jointly held by Michael R. Bromwich and Felice B. Friedman 

DRB = Held in Trust for Daniel R. Bromwich, Age 7 

JEB = Held in Trust for Jonah E. Bromwich, Age 4 

KAB = Held in Trust for Kira Anne Bromwich, Age 10 months 



11/ This savings plan is mandatory for all Mayer, Brown & 
Piatt partners and is separate from the discretionary 4 01 (k) plan 
listed below. For both the savings plan and the 401 (k) plan, 
each partner has the choice of four investment plans, all of 
which are managed by Kidder, Peabody: 1) a money market fund; 2) 
an aggressive equity fund; 3) a conservative equity fund; and 4) 
a balanced fund. For approximately the last six months, I have 
divided both the mandatory savings and 401 (k) portions of my 
retirement plan as follows: 10% money market fund; 30% aggressive 
equity fund; 30% conservative equity fund; and 30% balanced fund. 
To my knowledge, I have never received a Kidder, Peabody 
statement for either account that itemizes the individual 
securities holdings of any of the four funds. 

12/ Because I was a member of the Mayer, Brown partnership 
on November 30, 1993, I was subject to the mandatory features of 
the firm's savings plan as well as eligible to make a voluntary 
contribution to my 401 (k) account. In order for the amounts 
contributed to the mandatory portion of the firm's savings plan 
to vest, I would need to have been with the firm as a partner for 
five years. Since I will resign from the firm after slightly 
more than four years as a partner, I will receive back as a 
"forfeiture" the amounts I contributed to the savings plan. 
These amounts will be taxable to me as ordinary income in 1994. 



442 

SCHEDOLE 6 
CAPITAL BALANCE — MAYER, BRORM t PLATT 

Permanent Capital Balance with firm $ 100,944.00 

(January 1, 1993 requirement) 

Loan balance due to The Northern Trust Company 13./ ($ 47,444.00) 

MET CAPITAL BALAMCE: $ 53,500.00 



11/ Approximately two years ago, Mayer, Brown & Piatt 
required all partners who had not yet fulfilled their capital 
contribution requirements to do so within a few months. As an 
accommodation, the firm established a loan program with The 
Northern Trust Company to extend loans to all partners who 
required financial assistance to satisfy the balance of their 
capital contributions. Mayer, Brown & Piatt has reimbursed its 
partners for the interest incurred in obtaining such loans. 



I 



443 



SCHEDDLE H 



REAL ESTATE MORTGAGES PAYABLE 



OBMERSHIP LOCATION OF PROPERTY PRINCIPAL BALAKCE 

JT 3806 Military Road, N.W. $ 240,810.98 

Washington D.C. (residence) (as of 1/1/94) 

Mortgage holder: 

Citicorp Mortgage, Inc. 
P.O. Box 790001 
St. Louis, Missouri 63179 
Loan i 0002347705 

SUBTOTAL : $ 240,810.98 



444 



LETTERS IN SUPPORT OF MICHAEL R. BROMWICH 



CONTENTS 



1. LAW ENFORCEMENT: UNITED STATES ATTORNEY'S OFFICE FOR THE 

SOUTHERN DISTRICT OF NEW YORK 



A. RUDOLPH W. GIULIANI 

• United States Attorney for the 

Southern District of New York (1983-89) 

• Associate Attorney General 

United States Department of Justice (1981-83) 

• Mayor 

New York City, New York 



STUART E. ABRAMS 

• Chief, Major Crimes Unit (1986-88) 
Chief, Appeals Unit (1985-86) 
Assistant United States Attorney for the 
Southern District of New York (1982-89) 



• Law Offices of Stuart E. Abrams 
New York, New York 



C. BRUCE A. BAIRD 

• Chief, Securities and Commodities Fraud Unit 

(1987-89) 
Deputy Chief, Criminal Division (1986-87) 
Assistant United States Attorney for the 
Southern District of New York (1980-89) 

• Special Assistant to Deputy Attorney General 

Harold Tyler (1975-76) 

• Partner 
Covington & Burling 
Washington, D.C. 

* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



445 



CHARLES M. CARBERRY 

• Chief, Securities and Commodities 

Fraud Onit (1986-87) 
Deputy Chief, Criminal Division (1985-86) 
Assistant United States Attorney for the 

Southern District of New York (1979-87) 

• Partner 

Jones, Day, Reavis t Pogue 
Kew York, New York 



JOHN K. CARROLL 

• Chief, Securities and Commodities Fraud 

Task Force (1991-92) 
Co-lead Counsel: U.S. v. Drexel Burnham 

Lambert ; U.S. v. Michael R. Milken 
Assistant United States Attorney for the 

Southern District of New York (1983-92) 

• Partner 
Rogers t Wells 
New York, New York 



F. ALAN M. COHEN 

• Chief, Securities and Commodities Fraud 

Task Force (1989-91) 
Chief, Organized Crime Unit (1989) 
Assistant United States Attorney for the 

Southern District of New York (1982-91) 

• Partner 
O'Melveny & Myers 
New York, New York 



6. DENISE L. COTE 

• Chief, Criminal Division (1991-94) 

Deputy Chief, Criminal Division (1984-85) 
Assistant United States Attorney for the 

Southern District of New York (1977-85, 

1991-'94) 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



446 



H. RHEA KEMBLE DIGNAM 



Chief, Public Corruption Unit 
Chief, Narcotics Unit (1981-86) 
Assistant United states Attorney for the 
Southern District of New York (1976-88) 

Deputy General Counsel — Litigation 
New yor)c Life Insurance Company 
New York, New York 



I. JESS T. FARDELLA 



Chief, Special Narcotics Unit (1991-92) 
Co-lead Counsel: U.S. v. Drexel Burnham 

Lambert ; U.S. v. Michael R. Milken 
Assistant United States Attorney for the 
Southern District of New York (1983-92) 

Partner 

Brobeck, Hale & Dorr, International 

New York, New York 



J. MARIA T. GALENO 



Assistant United States Attorney for the 
Southern District of New York (1985-90) 

Partner 

Christy & Veiner 

New York, New York 



* K. HELEN GREDD 

• First Deputy Chief, Criminal Division 

(1992-93) 
Chief Appellate Attorney (1991) 
Assistant United States Attorney for the 

Southern District of New York (1985-93) 

• Partner 

Lanklert, Siffert & Wohl 
New York, New York 

* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



447 



L. HOWARD E. HEISS 



Chief, Securities and Commodities Fraud 

Task Force (1992-present) 
Chief, Organized Crime Unit (1989-92) 
Deputy Chief, Criminal Division (1988-89) 
Chief, General Crimes Unit (1987-88) 
Assistant United States Attorney for the 

Southern District of New York (1983-present) 



M. MAKK HELLERER 



Chief, Major Crimes Unit (1989-92) 
Assistant United States Attorney for the 
Southern District of New York (1983-92) 

Counsel 

Winthrop & Stimson 

New York, New York 



N. ANNMARIE LEVINS 



Chief, Special Narcotics Unit (1992) 
Assistant United States Attorney for the 
Southern District of New York (1985-92) 

Assistant Professor of Law 

University of Washington School of Law 



O. EDWARD J.M. LITTLE 



Deputy Chief, Criminal Division (1988-89) 
Assistant United States Attorney for the 
Southern District of New York (1982-89) 

Partner 

Zuckerman, Spaeder, Goldstein, Taylor & Kolker 

New York, New York 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



448 



p. ROANNE L. MANN 



Deputy Chief, Criminal Division (1986) 
Chief, Appeals Unit (1983-84) 

Assistant United States Attorney for the 

Southern District of New York (1978-86) 

Partner 

Stein, Zauderer, Ellenhorn, Frischer & Sharp 

New York, New York 



AARON R. MARCU 

• Associate U.S. Attorney (1989) 
Chief, Major Crimes Unit (1988-89) 
Chief, Appeals Unit (1984-85) 
Assistant United States Attorney for the 

Southern District of New York (1983-89) 

• Partner 

Howard, Darby & Levin 
New York, New York 



R. SHIRAH NIEMAN 

• Deputy United States Attorney (1993-present) 
Senior Litigation Counsel 

Chief, Major Crimes Unit 
Assistant United States Attorney for the 
Southern District of New York (1970-93) 

• Associate Counsel 

Watergate Special Prosecution Force (1973-74) 
(on detail from the Southern District of New 
York) 



S. BENITO ROMANO 

• United States Attorney for the 

Southern District of New York (1989) 

• Associate U.S. Attorney (1987) 

* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



449 



Chief, Public Corruption Unit (1985-87) 
Chief, Appellate Onit (1984-85) 
Assistant United states Attorney for the 

Southern District of New York (1980-87) 



Partner 

Wilkie, Parr fi Gallagher 

New Yor)c, New York 



PETER ROMATOWSKI 



Chief, Securities and Commodities Fraud Unit 

(1984-86) 
Assistant United States Attorney for the 
Southern District of New York (1979-86) 

Partner 

Crowe 11 & Moring 

Washington, D.C. 



BART M. SCHWARTZ 

• Chief, Criminal Division 

Assistant United States Attorney for the 
Southern District of New York (1984-85) 

* Chairman 

Decision Strategies, Inc. 
New York, New York 



V. LINDA C. SEVERIN 

• Assistant United States Attorney for the 

Southern District of New York (1984-92) 

• Bogle s Gates 
Seattle, Washington 



«."iiic'ra\\"c:™\t\v,rvruAr". \%fr °' ^-"-^ -" '° 



450 



W. PAUL L. SHECHTMAN 

• Chief, Criminal Division (1994-present) 
Chief, Appeals Unit (1-984-8S) 

Chief, General Crimes Unit (1985-86) 
Assistant United States Attorney for the 

Southern District of New York (1981-86, 

1994-present) 

• Coxxnsel to the District Attorney (1987-94) 
Manhattan District Attorney's Office 

Mew York, New York 



2. IRAN-CONTRA COUNSEL 



A. RICHARD W. BECKLER 

• Fulbright t Jaworski 
Washington, D.C. 

• Counsel for Admiral John Poindexter 



B. DAVID P. DOHERTY 

• Senior Vice-President for Enforcement 
New York Stock Exchange (1988-present) 

• General Counsel 

Central Intelligence Agency (1986-88) 



C. EARL C. DUDLEY, JR. 

• Professor of Law 

University of Virginia School of Law 

• Counsel for Richard R. Miller 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



451 



8 

D. LEONARD GARMENT 

• Special Consultant, Assistant and Counsel to 

President Nixon (1969-74) 

• Partner 

Mudge, Rose, Guthrie, Alexander & Ferdon 
Washington D.C. 

• Counsel for Robert C. McFarlane 



E. THOMAS C. GREEN 



I 



I 



• Sidley & Austin 
Washington, D.C. 

• Counsel for Richard Secord 



F. M. RICHARD JANIS 

• Janis, Schuelke and Wechsler 
Washington, D.C. 

• Counsel for Albert Hakim 



3. FEDERAL JUDGES 



A. HONORABLE ROBERT L. CARTER 

• General Counsel (1956-68) 
Counsel (1944-56) 

NAACP 

New York, New York 

• United States District Judge for the 
Southern District of New York (1972-present) 
Appointed by President Nixon 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



452 



B. HONORABLE MORRIS E. LASKER 

• United States District Judge for the 

Southern District of New York (1968-present) 
Appointed by President Johnson 



C. HONORABLE STANLEY J. SPORKIN 

• Chief, Enforcement Division (1972-81) 
Securities and Exchange Commission 

• General Counsel (1981-85) 
Central Intelligence Agency 
Appointed by President Reagan 



United States District Judge for the 

District of Columbia (1985-present) 
Appointed by President Reagan 



OTHER FORMER GOVERNMENT OFFICIALS 



KENNETH I. JUSTER 

• Counsel to Acting Secretary of State 
Lawrence Eagleburger (1992-93) 

Counsel to Deputy Secretary of State 
Eagleburger (1989-92) 



Partner 

Arnold & Porter 

Washington, D.C. 



B. TERRY F. LENZNER 

• Assistant United States Attorney for the 
Southern District of New York (1966-69) 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



453 



10 

Director, office of Legal Services, Office of 
Economic Opportunity (1969-70) 

Assistant Chief Counsel, Senate Select 
Committee on Presidential Czunpaign Activities 
(1973-74) 

Chairman, The Investigative Group, Inc. 
Washington, D.C. 



C. HERBERT J. STERK 

• United States Attorney for the 
District of New Jersey (1970-74) 
Appointed by President Nixon 

• United States District Judge 
District of New Jersey (1974-87) 
Appointed by President Nixon 

• Partner 

Stern & Greenberg 
Roseland, New Jersey 



D. GEOFFREY S. STEWART 

• Deputy Assistant Attorney General (1983) 
Office of Legal Policy 

U.S. Department of Justice 

• Partner 

Hale and Dorr 
Washington, D.C. 



E. DAN K. WEBB 

• United States Attorney 

Northern District of Illinois (1981-85) 
Appointed by President Reagan 

• Chairman, Litigation Department 
Winston t Strawn 

Chicago, Illinois 



* This letter was not included in the packet of letters sent to 
the Judiciary Committee on February 25, 1994 



454 



Rudolph W. Giuliani 



March 10, 1994 



To Whom It May Concern: 

I write this letter of recommendation on behalf of Michael Bromwich, who I 
understand has been nominated by President Clinton to be Inspector General of the 
Department of Justice. 

I have known Michael since 1983 when I became United States Attorney for the 
Southern District of New York and Michael was serving as an Assistant United States 
Attorney in that office. Having served as Associate Attorney General, I know how 
important the Department's Inspector General can be to the operations of the Department. 
Having worked closely with Michael, I know what a superb job he would do in that position. 

Michael is a consummate professional: fair, objective and reasonable. He is 
apolitical. Indeed, I could not tell you what his politics are because they were never made 
evident in any of his actions in my office. I consider him to be a professional prosecutor of 
impeccable reputation and the highest ethical standards. 

Since I am not of the same political party as President Clinton, I hope that my 
attesting to the professionalism and independence of Michael Bromwich will remove any 
suggestion of partisanship which may have been raised in connection with this nomination. 
I commend the President for making a selection of merit and I urge you to confirm 
Michael's nomination. I know he will serve with distinction. 




• Rudolph W. Giuliani 
Mayor of New York City 



455 



Stuart E. abrams 

ATTORNEY AT LAW 

230 PARK AVENUE 
OF COUNSEL NEW YORK, NY. 10169 

SANDOR FRANKEL. P C 



12121 661 -5000 
TELEFAX (2 12)661 S007 



February 10, 1994 



To whom it may concern: 

I am writing in reference to my good friend and colleague, 
Mike Bromwich. Mike is a lawyer of the highest integrity and 
ability, and I have no hesitancy whatsoever in urgina his 
confirmation as Inspector General of the Department of Justice. 

I first became acquainted with Mike when we were both serving 
as Assistant United States Attorneys in the Southern District of 
New York. Mike and I served together in the Narcotics Unit in the 
United States Attorney's office, and my memories of Mike are of a 
hard-working prosecutor who was universally admired and respected 
by fellow prosecutors, the defense bar, and the Bench Mike 
directed the prosecution of several difficult and complex 
prosecutions, involving large-scale drug trafficking, money 
laundering, and tax evasion. Since I also served as Chief 
Appellate Attorney in the United States Attorney's office, I had 
the opportunity to review some of the appeals from convictions that 
Mike had secured, and it was clear that the cases were prosecuted 
in a manner that evidenced both a zeal for justice and concern for 
fairness . 

Later during our tenures at the United States Attorney's 
office, Mike served as Chief of the Narcotics Unit at the same time 
that I served as Chief of the Major Crimes Unit. As such, Mike and 
I were both members of the executive staff of United States 
Attorney Rudolph Giuliani, and we attended many meetings together 
at which policy decisions for the Office were discussed. Everyone 
who attended those meetings looked to Mike as someone who had sound 
judgment, who could be counted on to analyze issues on the merits, 
without considerations of extraneous factors such as politics or 
public relations. 

When Mike left the United States Attorney's office to join the 
Office of Independent Counsel, I felt confident that he would 
conduct himself in the same even-handed, yet thorough and effective 
manner, in which he had always acted as a prosecutor. My knowledge 
of Mike's work at the Office of Independent Counsel confirms that 
assessment. I briefly overlapped with Mike at the Office of 
Independent Counsel, where I served as trial counsel in the 
prosecution of Thomas Clines. In that respect, I have first-hand 
knowledge of the kind of person Mike is. 



456 



While every lawyer likes to talk about his or her successes, 
I think that perhaps the best illustration of Mike's character lies 
in the actions he took after the cases of Oliver North and John 
Poindexter were remanded by the D.C. Circuit. Mike is one of the 
only lawyers I know who has the courage and integrity always to do 
what the law requires, even if that means that a conviction will 
not stand. Mike was willing to come to the forefront and represent 
the Government when the tough decision had to be made not to pursue 
the cases further. Mike had already started in private practice at 
this time, and he did not have to take on the assignment. However, 
Mike's dedication to pviblic service is such that he does not shirk 
from doing what needs to be done, no matter how difficult or 
politically unpopular it may be. 

I am delighted that Mike is willing to leave private practice 
and return to Government to take on the difficult and important 
assignment of Inspector General. The country is well-served to 
have the dedication and talent of this honorable attorney. Please 
do not hesitate to contact me if you would like to discuss Mike 
Bromwich any further. 




SEA/aad 



457 



1201 PENNSYLVANIA AVENUE, N. W 

P. O BOX 7S6e 

WASHINGTON. IX C. 20O44 



Febniary 23, 1994 



TO KaOM XT MXr CONCXRKi. 

I am writing vith reapect to the nomination of Michael 
R. Bxxaawich to be Inspector General of the United States Depart- 
ment of <Ju8tice. I memrod with Mr. Bromwich in the United States 
Attorney's Office for the Southern District of New York during 
the Reagan administration. He wae known to me as a fine, able 
and balanced prosecutor and lanfyer, and I believe that thia was 
his reputation generally in the Office. Be rose to become head 
of the K2a-cotica Dtiit before he left. He was )cnown to me not 
only as a lawyer of ability, but also one of high professional 
ethics. Koreorer, I know of no instance in which political 
considerations or any other considerations beyond those appro- 
priate to law enforceinsnt entered into his decisionoaking. 

When I served there, the Manhattan United States 
Atton>ey'a Office had a wealth of capable lawyers and Kike 
distinguished himself in that company. I believe he is excep- 
tionally well'equii^>ed to oversee investigations of prosecutors 
and other lawyers for alleged breaches of pzt^fessional ethics. 

I should add that I am a registered Republicsm and have 
served in the United States Department of Justice as Special 
Assistant to the Deputy Attorney General under President Ford and 
as an Assistant United States Attorney, Deputy Chief of the 
Criminal Division, Chief of the Harcotlcs Unit, and Chief of the 
Seourities and Commodities Frauds Unit in the Manhattan U.S. At- 
torney's Office from 1980 to 1989 tinder Presidents Reagan and 
Bush. There has been no shortage in this administration of 
appointments made for political purposes rather than on the 
nerits, but Mr. Brooiwich is a distinguished lawyer who %fould do a 
distinguished job. 




Bruce A. Bair( 



458 



Charles M. Carbekry 

599 LEXINGTON AVENUE 
NEW YORK. NEW YORK 1O022 



February 24, 1994 



TO WHOM IT MAY CONCERK: 



This letter is written to state my knowledge of Michael 
Bromwich's character and legal ability. Currently, I am a member 
of the law firm of Jones, Day, Reavis & Pogue. For eight and a 
half years I was a federal prosecutor in New York City, where I 
was Deputy Chief of the Criminal Division and Chief of the 
Southern District of New York's Securities Fraud Unit. I have 
known Mr. Bromwich professionally for over ten years. We were 
colleagues in the United States Attorney's Office and for some 
period I had supervisory responsibilities with respect to him. 
We have had some professional contact since he went into private 
practice. 

Throughout our acquaintance I have found him to be an 
ethical, thoughtful and capable lawyer. As a prosecutor, I found 
him fair, reasoned and responsible. His decisions were based on 
the evidence collected and not on any extraneous considerations. 
He tried his cases in court and not in the newspapers. 

When he was a supervisor in the United States 
Attorney's Office in Manhattan, Mr. Bromwich impressed me with 
his diligence and leadership. His commitment to public service 
is evident from his professional service. Throughout his career 
he has displayed a maturity of judgment that has allowed him to 
correctly balance his duties as a prosecutor with his 
constitutional obligations to the accused. 



Very truly yours, 



CA 



Charles M. Carberry 



459 






\OT rOUOTTCCMTM STUCCT, «.» ^ - ._ __.^„ 






rAcaiMitx Cue>ar»-«aTa 









P«taruary 22, 1994 



To Whooi It: ffay Concern} 

I bava tMon Informed that Michael BroBvldi has been 
proposed to lead the Inspector General's Officse at the United 
Statea Department of Juatice. I write to strongly urge his 
oonf iraation . 

I have known Michael since September, 1983 when we were 
both serving as junior Assistant United States Attorneys In the 
Office of the united States Attorney for the Southern District of 
Hew Torlc. Michael and I worked closely together there for 
approrimately four years. 

Midiael was then and is now one of the finest 
prosecutors and lawyers I have ever known. He is enormously 
industrious and unooquromising in his integrity. Daring Michael's 
last year in the southern District of Mew Yozic, he supervised other 
proseoitors. From my observation of his performance of that job, 
I have complete confidence that he is veil equii^>ed to oversee 
investigations of prosecutors and other lawyers. I am fully 
confident that he will fairly and honestly perform his duties 
without regard to any iaproper external influences. I have never 
seen Michael distracted by external forces from the duties he has 
sworn on oath to uphold. 

In sun, I wholeheartedly recommend Michael to you. I 
believe that the Department of Justice would benefit greatly by his 
appointment. 

Very truly yours. 



3otm K. Carroll 



460 



riny-lourln lloor 

Oiticorp Uenter 

153 East 53rcl Streel 

New Yorlc.N.Y. 10022 -46U 



March 7, 1994 
CONFIDENTIAL 

TO WHOM IT MAY CONCERN 

Re: Michael Bromwich. Esq. 

Dear Sirs or Madam: 

I am writing this letter in support of Michael Bromwich, Esq., 
who has been nominated by President Clinton to be the Inspector 
General of the Department of Justice. I have known Michael 
Bromwich for over ten years. Although I am now in private practice 
with the law firm of O'Melveny & Myers, for nine of the last eleven 
and a half years, I worked for the Department of Justice as an 
Assistant United States Attorney for the Southern District of New 
York, serving at various times as the Chief of the Organized Crime 
Unit and as the Chief of the Securities and Commodities Frauds Task 
Force. During that period, I worked with Mike Bromwich and came 
to know him quite well. 

Michael Bromwich stands out as one of the finest lawyers to 
serve as an Assistant United States Attorney in the Southern District 
of New York. In that job, he distinguished himself in investigations 
and trials of numerous complex narcotics and other criminal cases. 
Throughout his tenure in the United States Attorney's Office, Michael 
Bromwich was known for his intellectual flair, his tenacity in pursuing 
every aspect of a case and his grace under pressure. Not surprisingly, 
these attributes earned him the respect and admiration of his 
colleagues and the agents with whom he worked. He quickly became 
the friend, confident, and trusted advisor to many prosecutors and 
agents. Ever sensitive to the legal and ethical problems confronting a 
prosecutor, Michael Bromwich was someone who was widely regarded 
as having "good judgment," a phrase that is high praise among 



461 



March 7, 1994 
Page 2 



prosecutors. Even his adversaries shared the view that Michael 
Bromwich is a superb lawyer who exercised his prosecutorial discretion 
with a sense of fairness and intellectual honesty. 

In sum, Michael Bromwich is one of those rare lawyers who 
combines intellectual and ethical qualities necessary to perform this 
most sensitive job. He will distinguish himself and the DeiJartment of 
Justice in the role of Inspector General. 



Very truly yours, 
Alan M. Cohen 



462 



Denise Cote 

315 Riverside Drive 

New York, New York 10025 



February 16, 1994 



To Whom It May Concern: 

I have known Michael Bromwich from 1983, the year he became an 
Assistant United States Attorney for the Southern District of New 
York, and write to support his confirmation as the Inspector 
General for the Department of Justice. Michael is a person of 
absolute integrity, enormous energy, and superb judgment. I 
believe he will make an outstanding Inspector General. 

Soon after Michael joined the United States Attorney's Office, 
I supervised one of his first trials. It was immediately apparent 
that Michael was going to be an exceptional Assistant. As I got to 
know him better over the next few years, this view was confirmed. 
He is intelligent, hard working, organized, analytical, 
responsible, and ethical. He also uses extremely good judgment to 
resolve difficult problems. And not least of all, he is a 
thoroughly decent human being. 

Since leaving the United States Attorney's Office in 1985, I 
have stayed in touch with Michael . I know that he became one of 
the most respected and well liked Assistants in an office of 
extraordinarily talented lawyers. As the years passed, he handled 
increasingly complex matters and was entrusted with great 
responsibility. 

It did not surprise me that Michael joined the Iran- 
Contra investigation or that he aspires to be Inspector General 
for the Justice Department. As was apparent from his days in the 
United States Attorney's Office, Michael's first love as a lawyer 
is public sei-vice. I believe that, as a nation, we are extremely 
fortunate that a person as talented as Michael is wishes to serve 
in the Government. 

I realize that the position of Inspector General requires a 
person of absolute independence and integrity. Michael is such a 
person. All of his colleagues from over the years share the same 
view of him. He is an honest, ethical, decent human being. He 



I 



463 



always understood that the only obligation of a prosecutor is to 
do justice — to do the right thing. I am confident that he would 
bring the same high standards to bear on his job as an IG. 

Very truly yours, 



Denise Cote 
(202) 514-5746 



464 



RHEA KEMBLE DIGNAM 
61 East 86lh Street, Apt. 62 

New York. New York 10028 
(O) 212-576-6446 
(H)212-34S^16 



To Whom It May Concern: 



February 14. 1994 



I write in enthusiastic support of the nomination of Michael 
Bromwich to be Ii\spector General of the Department of Justice. Having 
been an Assistant United States Attorney in the Southern District of New 
York for 12 years (from August 1976 to July 1988), I write as someone who 
cares very much about the Department of Justice and who understands the 
importance of the position of Insp>ector General. With that persp>ective, 
and having known Michael Bromwich well for more than ten years, I give 
him my highest recommendation for this position. I believe Michael's 
service will meet the highest standards of fairness and justice and be 
entirely non-partisan. 

Michael Bromwich joined the United States Attorney's Office for 
the Southern District of New York in May 1983 and was assigned to the 
General Crimes Unit, which was the entry level unit in the Criminal 
Division. Michael quickly distinguished himself as someone who 
prepared his cases particularly carefully and thoroughly, wrote beautifully, 
and had tremendous potential as a trial lawyer. 

I was Chief of that Office's Narcotics Unit at the time, and Michael 
was one of the new members of the Office whose skills came quickly to my 
attention. I was therefore delighted when in approximately January 1984 
Michael was promoted earlier than usual from the General Crimes Unit 
and assigned to the Narcotics Unit. 

In the Narcotics Unit, Michael oversaw a number of complex 
investigatiorvs and trials. He was entirely reliable, and his word was always 
good. For that reason, he was trusted not only by federal agents and police 
officers, witnesses, his colleagues and federal judges, but also by defer^e 
lawyers. He honored his commitments <ind dealt with people in an 
entirely ethical fashion. He also continued to develop as an exceptionally 
able investigator, trial lawyer and appellate advocate. Michael was also a 
pleasure to work with. This was a view shared not only by the managers 
in the office, but by his colleagues and the support staff. 

For all of these reasorxs, in September 1985 I selected Michael to be 
Deputy Chief of the Narcotics Unit In that capacity, he continued to 
handle significant investigations, trials and appeals, and demonstrated a 
flair for innovative prosecutions He also took on administrative 
responsibilities and proved himself an able manager Even as his 



465 



Rhea Kemble Dignam 
Febmaiy 14, 1994 
Page 2 



responsibilities grew and the demands on his time expanded, his 
commitment to fairness and justice was unflagging. 

When the time came after nearly five years as Chief of the Narcotics 
Unit for me to assume new responsibilities as Chief of the Public 
Corruption Urut, I strongly recommended Michael to succeed me as Chief 
of Narcotics. From having worked closely with him on a daily basis for 
nearly three years, I had complete corxfidence in his skills as a lawyer and 
prosecutor, and in his decency and moral uprightness as a person. J was 
delighted when he was chosen, in late December 1986, to be Chief of the 
Narcotics Unit. 

I am confident that Michael would serve as Inspector General of the 
Department of Justice in an entirely non-partisan fashion. He was 
appointed as an Assistant United States Attorney by United States 
Attorney John S. Martin, Jr. (now a federal judge) who was appointed by a 
Democratic President. Later, Michael also served under a Republican 
United States Attorney, Rudolph W. Giuliani, now Mayor of New York 
City. Michael served with distinction in both Administrations. 1 am a 
Republican; 1 suspect Michael is a Democrat. The happenstance of our 
political party affiliations has never affected either of us in how we 
approach a case or the administration of justice 

Wliile Michael and I have not worked together since 1987, we have 
stayed in frequent contact with each other. I respect his judgment, and 
have sought his opinion on matters affecting my own career 
development. Our friendship has also continued. Michael has a fine sense 
of humor, and is a warm, caring friend. My husband and I have been 
guests in Michael's home when we visit Washington. From personal 
observation, I can say that Michael is a devoted husband and father. He 
clearly enjoys his family, and — just as clearly — they love and appreciate 
him. 

Please feel free to contact me if 1 can answer any questions about 
Michael. I hope that his confirmation wUl occur quickly, as I am confident 
Michael can make a significant contribution to the country. We are lucky 
that a person of his talents and character has been nominated for this 
important position. 

Very truly yours, 
Rhea Kemble Dignam 




466 



JESSFARDELLA 

I30I Avenue of the Americas 

New Yoric, New York lOOIS 

an) 581-1600 



February 11, 1994 



Mayer Brown ( Piatt 

2000 Pennsylvania Avenue 

Suite C500 

WaGhington, D.C. 20006 

202-778-0620 

202-861-0473 (by facsimile) 

Attention: Mark Gitenstein, Esq. 



To Whom It May Concern: 



I write to voice my support for the nomination of Michael 
Bronwich ae Inspector General for the United States Department of 
Justice. 

Mike is both a former colleague and a good friend. I iiava 
known him cince 1983, when we both began serving as Assistant 
United States Attorneys in the Southern District of New York. Wc 
served together in that office — much of the time in the same 
units — until Mike left the office in approximately 1987 to join 
the Iran-Contra Special Prosccutor'c office. (1 left the U.S. 
Attoimey's Office in 1992 to go into private practice). 

I have the highest regard for Mike both as a lawyer and as a 
person. He is a thoroughly decent individual, affable and open, 
and is a wonderful father and husband. nc has been extremely 
effective as both a prosecutor and a defense attorney, and he ic 
an outstanding and intrepid trial lawyer. He possesses an 
unsurpassed dedication to his work, incisive intelligence, the 
highest ethical standards and on unswerving eenoc of fairness. 

Indeed, it is hard to imagine a better 'candidate for 
Inspector General. One of Kike's earliest successes as a 
prosecutor and trial lawyer came in a cacc in which prison guards 
at the Metropolitan Correctional Center here in Manhattan were 
convicted on corruption charges. Mike's respect for maintaining 



467 



February 11. 1994 
PlBCC 2 



the integrity and crcdlljility of law enforcement ensures that th 
tough but fair approach character ictlo of hie prior tenurrne I 
prosecutor will equally exemplify his command of th« sensitive 
taak of policin<j prosecutors and other governmental officials and 



And I have no doubt that Mike will fulfill the Inspector 
General's function without fear or favor, or political 
considerations. Mike is first and foremost a lawyer and a 
prosecutor. He is not -political- in any sense of the word - he 
does not wear his political views on his sleeve, nor does he 
subordinate his ethics and values to career advancement. He is 
blunt and plain-spoken, no matter who the audience or who miaht 
take offense. He has decided to return to government service 
because he truly loves to serve and to see that the right thing 

Accordingly, I ask that this letter be consldorod in 
^nD^^""^ ^''^''*' deliberations on Mike Bromwich's nomination as 
inspector General, and urge that he be swiftly confirmed in this 
position. "»i^ 

Very truly yours, 
Jess Fardella 



468 



RICHARD A. ANOCRMAN 
ROeCRT S. APPCL 
STEVEN R. BEHGER 
JAHES S. BOYNTON 
JOHN F. CAMBRIA 
ANTHONY J. CARROLL 
ARTHUR H. CHRISTY 
L- OAVIO CLARK, JR. 
RUSSELL J. OaSILVA 
RICHARD H. ESTES 
HARIA T. CALENO 
WILLIAM r. GRAY, JR. 
P. GREGORY HESS 
L. ANTHONY JOSEPH, JR. 
OAVID G. LEVERE 
JEROME H. LCWINE 
LAURENCE S. MARKOWIT2 
JON J. MASTERS 
WAYNE C. MATUS 
RICHARD SALOMON 
SALVATORC A. SANTORO 
DANIEL J. SULLIVAN 
KENNETH W. TABER 
FRANKLIN B. VELIE 
JOHN O. VIENER 
KARON WALKER 



Christy & Viener 

620 FIFTH AVENUE 

NEW YORK, NEW YORK «0020-2402 

(212) 632-S500 



fACSIMILC 
>212> eiI-S5SS 



OIRCCT DIAL NUMBCIi 
tZlZt e32- 



5581 



February 23, 1994 



To Whom It May Concern: 

I write regarding Michael R. Bromwich, who I 
understand is being considered for the position of the Justice 
Department's Inspector General. Having worked with Michael in 
the United States Attorney's Office for the Southern District 
of New York and come to value him as a friend, I wish to 
provide my unqualified endorsement of him. 

I have known Michael since approximately 1985, and 
served under him while he was Deputy Chief of the Narcotics 
Unit. I observed Michael to be a highly capable, careful and 
meticulous lawyer. He always provided thoughtful and 
insightful advice to unit members who sought his counsel. I 
would be hard pressed to think of another attorney in the 
office who was better organized or more adept at managing 
large cases. 

I also observed Michael to be a talented trial 
lavfyer. I had the pleasure of watching Michael deliver an 
opening statement to the jury in one of his cases. I was so 
impressed with his style, that I incorporated some of his 
techniques into opening statements which I later delivered. 

I know Michael to be a decent human being of the 
highest integrity. He is someone who can be trusted with the 
most delicate and sensitive matters. Indeed, Michael 
satisfies the highest professional and ethical standards of 
the practice of law. 



469 



IRISTY & ViENER 



Page 2 



February 23, 1994 



I hope the foregoing is useful and would be happy to 
provide further information if called upon to do so. 



Very truly yours. 



^ji^C^e^ 



Maria T. Galeno 





101U2S6 



470 



mclcn cncoo 
«OOCntC« C. lamklCR 
STACCv J. MoniTZ 
^OHN s. sirrc«T 

SUSAM L. SOMMCR 

FRANK M. WOML 



LaNKLER SiFFERT & WOHL 

ATTORNEYS AT LAW 

33«o Floor 

500 FirxM Avenue 

New York. N. Y. 10110-3393 

TCLCPMOMC <2I2» ©2t-e39S 
TCLCrAX 42l2t 76^0701 



■4A J OLSON 

r COuMSCl, 



RICHARO f ALBCRT 
KARL D COORCR 
DAVID C. CSSCKS 
KAThRVN J. JANMO^VSK) 

OAViD S. JOmcS 
sharon l. mccarthy 
Patricia mcOOmagh 
ChaRlCS T. SRADA 
RICHARD H. STRASSaCRC 
MARCARCT I. WATSON 



March 28, 1994 



To Whom It May Concern : 

I am writing in support of the nomination of Michael 
Bromwich as Inspector General of the United States Department of 
Justice. 

I first met Mr. Bromwich not long after I was sworn in as 
an Assistant United States Attorney in the Southern District of New 
voT-V in December 1985. Mr. Bromwich was among the senior 
D?osecutors to whom I was referred for advice and guidance in 
fu^ftlUng-'y duties as a prosecutor. Like those who suggested I 
consilt with^him, I consistently found Mr. Bromwich's counsel wise 
and his ethical standards above reproach. 

I regard Mr. Bromwich to be a superb choice as Inspector 
General and urge his speedy confirmation. 



truly yours. 




471 



HOWARD E. HEISS 

27 Barnes Road 

Ossining, New York 10562 

February 18, 1994 

To v?hon It May Concern: 

I am writing in behalf of Michael Bromwich's nomination 
for the position of Inspector General in the Department of Justice. 
I have been employed as an Assistant United States Attorney in the 
Southern District of New York since January 1984. I met Mr. 
Bromwich when I joined the United States Attorney's Office and 
worked with him on a major narcotics prosecution, which we tried 
together in 1986. I worked closely with Kr. Bromwich on that case 
for more than six months. Based on that experience, I can say that 
Mr. Bromwich is an exceptional lawyer and person. I think he will 
imake a superb Inspector General. 

Mr. Bromwich is cm outstanding lawyer. As an Assistant 

United States Attorney, he combined a powerful intellect and 

i formidable analytic skills with common sense. Mr. Bromwich excels 

: in all areas of practice: his written work is brilliant, he is an 

extraordinarily talented courtroom advocate, and a determined and 

creative investigator. 

I Mr. Bromwich is particularly suited to be the 
Department's Inspector General. His tenacity as an investigator is 
accompanied by his consistent exercise of sound judgment and a 
sense of fairness. His honesty and integrity are beyond reproach. 
In carrying out the sensitive responsibilities of Inspector 
Seneral, Mr. Bromwich will command the confidence of both the 
Department and the public, which will have in Mr. Bromwich an 
tnspector General whose decisions will be respected as well-founded 
ind fair. 



Very truly yours, 






Howard E. Heiss 



472 



1(33 COMHCCTICOT A*/CNUCN.W. 

WASHtMCTOM. OC 20036 

TclC^hOmC: 202-77596O0 

TCLCrAK:202-a33e49l 

695 East Maim Stocct 

STAMrono.CT 06904-6760 

TciX^MOMC: 203-348-2300 

TciXrA.x: 203-965-8226 

125 WonrM Avcmuc 

Palm Bcacm. FL 33480 

Tci-CMiONC: 407-6S5-7297 

TCLtfAJi; 407-833-6726 



WiNTHROP, STIMSON, PUTNAM & ROBERTS 

One Battery Park Plaza 
New York, NY I0004 - I-J90 

TcLePMONE. 212-ese-iooo 
TCLCrAX: 212-ase-isoo 

TCLCX: ezest WINSTIM 



February 14, 1994 



2 Tmwocmohtom AvtMUC 
LOMOON EC2N 2/y> Emglamo 

TClX^MOMC OII-447I-628-4 

TciXrAX Oii-447(-e3e-044) 

Rue OU TACITuftNC 42 
B-I040 B«USSCl.S. BCLCIUM 

1tLt»nOMf OII-322-230-I392 
TcitrAi OII-322-230-9288 

17-2. NiSmi'Sminbasmi 2-Cm 
HtMATO-HU, Tokyo IOS, Ja'AN 

Ttu:^MOMC:Olt-ei3-3437-97« 
TtLCTAM 011-813-3437-9261 

ZSOS M<A PACirtc FiNAHCC Ton 

CiTiSAMN Plaza 

3 Gamocn Roao. Ccmtmal, Homc V 

TciX^MOHC. OII-852-530-340 

TCirrAJi: Olt-852-530'335S 



Mark R. Hellerer 

COUNSEL 

Hi-a5«-t7e7 

TO WHOM IT MAY CONCERN: 

I am writing in support of the appointment o£. 
Michael Bromwich as head of the Office of Professional 
Responsibility of the Department of Justice. 

I have known Michael for nearly eleven years both 
as a prosecutor and as a private attorney. I worked directly 
with Michael in the United States Attorney's Office for the 
Southern District of New York for several years from 1983 
until he left the office to join the independent counsel 
investigation. During that time I was able to observe 
Michael's performance in a number of criminal cases, 
including several trials. I was also able to observe him m 
his position as deputy chief of the Narcotics Unit of the 
U.S. Attorney's office. Since that time I have had the 
opportunity to discuss legal matters with him on a number of 
occasions. 

I have found Michael to be a truly outstanding 
lawyer, possessing a keen intellect and a facility for legal 
analysis. He has also demonstrated great trial skills and an 
ability to argue persuasively both to the court and to 
jurors. Moreover, he has consistently displayed a tremendous 
sense of judgment and fairness in dealing with defendants, 
lawyers and witnesses. 

Michael is extremely well qualified to handle a 
supervisory role at the Department. He has the capacity to 
work extremely well under the most difficult and strenuous 
situations. In addition, he has a tremendous talent for 
working well with other people and for supervising their 
work. 

Further, I believe Michael to possess an extremely 
high sense of legal and personal ethics. In my experience, 
he has demonstrated a true commitment to "doing the right 
thing" in every situation, regardless of outside pressures 
and considerations. 



473 



"2~ February 14, 1994 



In short, I have no doubt that Michael will make ^ 
l7lLT"^":''"'f -^"^^'^ib^tion to maintaining the Integrity 
of the Department of Justice as Chief of the Office of 
Professional Responsibility. Indeed, I cannot imagine a 
person better qualified to hold that position. "^^^"^ ^ 

I will be pleased to elaborate further on mv 
opinions. If called upon to do so. ^ 



Very truly yours. 




Mark R. Hellerer 



474 



UNIVERSITY OF WASHINGTON 

SlAITl r. WASIIINC. ION 98105 



S(l>ool of Imw 
Condon Hull. J R- 20 



February 24, 1994 



To Whom It May Concern: 

I write to support in the strongest possible terras the 
nomination of Michael R. Bromwich for Inspector General for the 
United States Department of Justice. I have known Mike Bromwich 
since 1985, when we both were Assistant United States Attorneys in 
the Southern District of New York. He is an outstanding lawyer 
with an impeccable sense of legal ethics and professional 
responsibility. I can think of no one better qualified to serve in 
the position for which he has been nominated. 

I worked closely with Mr. Bromwich for almost a year, when I 
was assigned to the Narcotics Unit. He was the Deputy Chief of 
that Unit, and so I had daily contact with him. He was an 
excellent supervisor in all respects: careful, thoughtful, 
decisive, and open to considering all points of view. He always 
had very good advice and exercised sound legal judgment. He had 
the reputation of being a tireless and thorough investigator. He 
was universally respected by the Assistant United States Attorneys 
and law enforcement agents with whom he worked. 

I also had the very good fortune of trying a six week 
narcotics trial with Mr. Bromwich. The case. United States v. 
Vasta et al. . SSS 86 Cr. 60, involved eight defendants, numerous 
witnesses, and hundreds of exhibits. His skills as a courtroom 
lawyer were simply outstanding. He was thoroughly prepared and 
well-organized, and conducted himself in a most professional 
manner. 

Mr. Bromwich -would bring to the position of Inspector General 
his considerable skills as a lawyer, investigator, and supervisor. 
Given these skills and his utmost professionalism, he is 
particularly well-suited to the task of overseeing investigations 
of other lawyers for professional misconduct. Finally, I have 
never seen Mr. Bromwich 's conduct as a prosecutor affected in any 
manner by political or other improper considerations. 



/ 100 Nt: Gim/i/o l'nrl;wiy. SftiiiU Wa,l„„fpon 'JHIO") 1 1 AX (206) 54} - 'if>7l 



s 



475 



In sum, I give my unqualified support to Michael Bromwich 
nomination as Inspector General. Please feel free to contact me if 
I can provide any further information. 



Very truly your^ 

(^^ It l^zit.-iU '/ 
Annmarie LevirTs^ 
Assistant Professor of Law 
Telephone: (206)685-8985 




476 



WASMINCrOH 

MIAMI 

OALTIMORC 

TAMPA 



ZUCKFRMAN, Sl'AFDUlt, GOLDSTEIN, TaYIjOR & KoiJKEtt 



1114 AVCNUe OF TM£ AMERICAS 

HCW VORK, MCW YORK I003« 

(2121 '«7B-«eOO 



Fcbraiiy 22. 1994 



TClXCOPItR 
<il2l <'7»«-,l2 
¥n<ITER*S NO. 



(212) 479-6501 



Tci Whom It May Ctinccm: 

This letter is being written on behalf of Michael R. Bromwlch, whom I have 
known as a colleague and Tricnd Tor over ten years. I understand that Mr. Bmmwich has been 
iKiminaiod for the position of Inspector General of the IFoited States Department of Justiec. 
]la.scd upon my cxtcresivc profcssiional dealings with Mr. Bromwich, I am able to give him my 
enthusiastic recommendation and itutc that I believe it would be difTicult to find a more able 
candidate for Inspector General. 

Mr. Dromwich and I first became acquainted when wc served together as Federal 
proNccutoo* in the United Sniies AlUimcy's Office for the Southern District of New York under 
kudolph W. Giuliani. Mr Bromwidi initially worked under my supervision, when 1 was 
Deputy Chief (if the Narcotics Unit in the United States Attorney's Office and quickly showed 
him.sclf to be one of the most dedicated and conscientious lawcr^ in the Office. I also had ample 
<ipportunily to observe Mr. Bromwich's performance during the following years as wc both 
rotated through dirfcrcnt units in tbc Office, and I ultimately became Deputy Chief of the 
Criminal Division. Mr. Bromwich became one of the stellar lawyers in the Office, known not 
only for his iniclligenee and trial abilities but also for his judgment and highly developed sense 
of cthic<;. 1 have not known any lawyer in ray twenty years' cxpcrieocc who surpasses Mike in 
his ethical sca<(c. I have never known him to be affected by any extraneous consideration in 
making decisions on how to proceed, lie never showed himself to be the sort of prosecutor wh<i 
would be swayed by political considcratioas or self interest. Mike calkxl the shots exactly as 
he saw them with absolutely no regard for anything but justice. 

There is likewise no doubt that Mr. Bromwich has the organizational and 
leadership abilities f<»r a pasition swich as Inspector General. He is a highly of;ganizcd person 
who never hesitated to assume rc<5ponsibllity over complex arvl tin>c-consuming tasks and U* 
supervise others in a well-siruclurcd team approach. He is definitely a "can do* sort of person 
who can function in extremely complicated situations to obtain the best results. 

Oftentimes one is asked to write nxommcndatioos for associates, and (vic 
complies out of courtesy «ir obligation. This is not such a case. When I learned of his 
nomination. I could not have been more encouraged by the fact that the political process can. 
in fact, result in the nomination of someone who is not especially "political' but who ju.<it 
happem to he an ouWtanding candidate for the position. I would be more than happy to answer 
any questions about Mr. Bmmwich based upon my extensive experience with him. I look 
fiirward to hLs confirmation and appointment. ^ 




477 



Stein, Zauderer, Ellenhorn, Frischer & Sharp 



AlCMAnO T SMAft^ 
MANNT rNlSCMC* 
OAVIO M CLi.CMMO*M 
MAMA C ZAUOCMCM 
SIOMCV M STCIN 
• CMTMAMO C SCi-LlCn 
MOANNC L MAMN 

LOUIS M. SOlOMOm 

OAVtO C NACMMAN 



*5 ROCKCFELLCB PLAZA 

NEW YORK. NCW YORK lOHl 

(212) 9S6-3700 

r-AcsiMicc (2*z) vse-Aoes 



JOHN J O'COMMCLL 

«>CHAao O MARSMALI. 

0» COWMSc^ 

'CLICC J. BATLAN 

JOSt.M M rCRKANOCI 

• Cf»i c COLOMAN 

STCVCN J LCviHC 

•lA^CS MOaCAT PICOTT. jf» 

CAAOlinc S. AWCSS 

MAL S SHArTCL 



February 15, 1994 



Re: Michael Bromwich 

To Whom It May Concern: 

It is with great enthusiasm that I write in sup- 
port of the nomination of Michael R. Bromwich for Inspector 
General of the United States Department of Justice. 

I first met Michael more than ten years ago, when 
he joined the United States Attorney's Office for the 
Southern District of New York. Over the years, I got to 
know Michael on both a personal and a professional level . 
When we first met, I was Chief of Appeals and, in that 
capacity, supervised Michael's appellate work and also 
served as a sounding-board when he sought to talk through 
difficult legal issues that he encountered as a prosecutor. 

Michael quickly distinguished himself as one of 
the young "stars" of the U.S. Attorney's Office. My own 
contact with Michael confirmed that that reputation was 
amply deserved. Even at a very early stage of his career, 
he took on complex and otherwise difficult investigations 
and trials, and handled them with the ability and self- 
confidence of a seasoned lawyer. 

More importantly, Michael's thoroughness and 
intelligence were matched by his fair-mindedness and 
decency. As a prosecutor, Michael consistently sought to 
achieve the just result, without regard to any political or 
personal considerations. Simply put, Michael was surely a 
formidable prosecutor, but never an overzealous one. 

I am aware that in connection with the Oliver 
North case, the defense complained of misconduct on 
Michael's part; I am also aware that Judge Gesell rebuffed 
that challenge. As both a prosecutor and then a defense 



X 



478 



Stein. Zauderer. Ellenhorn. Frischer & Sharp 



February IS, 1994 
Page 2 



lawyer, I have seen various criminal cases in which charges 
of prosecutorial misconduct - like charges of ineffective 
assistance of counsel - were used as strategic tools by the 
defense. Absent substantiation of a charge of that nature, 
the mere fact that it was lodged (and here rejected) should 
not be permitted to destroy or blemish the reputation of an 
individual like Michael Bromwich, whose integrity is of the 
highest order. 

Respectfully submitted, 



i~4^i.^t..,.4ut^ (^ VyL-t^ 



Roanne L. Mann 
RLM/aw 



HOWARD, DARBY & LEVIN 



479 



WARREN CCA>-\V<OOI)JK STKPICEN B LANO 

WILUAM R COLUNS 

LAWRENCE A DARBY III 

JOHN P. COURARY 

HARRY C HIVES 

MICHAELS HOPKINS 

PHIUPK HOWARD 



iACK P LEVIN 
AARON R. MARCU 
SARA E MOSS 
C WILUAM PHILLIPS 
SCOTT F SMITH 
KELLY VANCE 



1330 AVENUE OKTIIK AMERICAS TELi;PIIONE 2I2«4I ,nnn 
NEW YORK. NY 10019 EAX 212 »4, ,010 



February 22, 1994 



Re: Nominat ion of Michael R. Bromwich. Esq. 



To Whom It May Concern: 

It is my privilege to write in support of the 
nomination of Michael Bromwich to be Inspector General of 
the Department of Justice. I have known Mike since May 16, 
1983, the day on which we were sworn in together as 
Assistant United States Attorneys for the Southern District 
of New York, and I can think of no lawyer in the United 
States who could serv^e better, more effectively, or with as 
much integrity as Inspector General than Mike. 

I had the honor of serving for four years with 
Mike in the Southern District of New York. I saw first-hand 
his development as a lawyer, as a public servant, and as a 
leader of others. He was a model of integrity, judgment, 
determination, and professionalism. He attacked difficult 
investigations with creativity and vigor, but with the sense 
of fairness that all prosecutors should, but do not always, 
keep uppermost in their minds in serving the cause of 
justice. To be sure, Mike's work resulted in an 
overwhelming percentage of convictions; but the defendants 
always were convicted fair and square. 

In the years that I have known and worked with 
Mike Bromwich, he has scrupulously observed the law, the 
constitutional rights of the accused, and the codes of 
ethics that govern our profession and the work of the 
federal prosecutor. I have never seen any sign that he 



480 

To Whom It May Concern 



would permit politics or any other inappropriate 
consideration to influence him in the discharge of his 
duties. I have complete confidence in his integrity, and I 
firmly believe that he would be an outstanding leader of the 
Justice Department's internal investigative unit. 

I would be pleased to answer any reader's specific 
questions or to amplify these expressions of my respect and 
admiration for Mike. 

Very truly yours. 




Aaron R. Marcu 



481 




U.S. Department of Justice 

United States Attorney 
Southern District of New York 



The Silvio J. MoUo Building 
One Saint Andrew's Piaia 
New Yort, New YoHc 10007 



March 1, 1994 



To Whom It May Concern: 

Re; Michael Broinwich 

I write to supply you with information regarding Michael 
Bromwich, who has been nominated to the position of Inspector 
General for the Department of Justice. My career has been with the 
United States Attorney's Office for the Southern District of New 
York where I have been an Assistant for almost twenty-four years, 
during which time I also served on the Watergate Special 
Prosecution Force. During these years I have seen many Assistant 
United States Attorneys pass through the office, and I can say 
without question that Michael, with whom it was my honor to serve 
from 1983-1987, was among the best and the brightest. 

Michael became an experienced trial lawyer during his 
time in our office, and was promoted to a supervisory position 
because of the universally held view that he had excellent 
judgment. The qualities of experience and sound judgment are, in 
my view, precisely what are necessary to be an effective Inspector 
General. Michael will have the experience to review the actions of 
prosecutors and others in context, and the mature judgment to 
evaluate their conduct fairly and in light of all applicable 
ethical standards. 

In sum, I have no doubt that Michael would perform the 
duties of Inspector General in an outstanding manner, and that the 
Department of Justice would be honored by his presence in that 
position. 



By: 



Very truly yours. 



shIrah neiman 

Deputy United States Attorney 
Telephone: (212) 791-0045 



482 

\viDLLKiE FARR & Gallagher 




February 23, 1994 



To Whom It May Concern 

This is Buhiaitted in ettipport of the nomination of 
Michael Bromvich to serve aa Inspector General o£ the 
D^>axtiiient of Justice. Michael and I served together as 
Assistant United States' Attorneys in the Southern District 
of New York in the Narcotics Unit of the Criminal Diviaion. 
I continued to work with Michael %rhen I moved on to the 
Appeals Unit of the Criminal Division and later when I 
served in several supervisory positions under the then 
united States Attorney, Rudolph W. Giuliani. Thus. I was 
able to observe firsthand Michael's development as a lawyer 
and his outstanding skills as a prosecutor. 

Michael handled some of the office's most 
significant and complex narcotics prosecutions and was 
frequently called upon to advise colleagues on ixivestigative 
strategies and trial tactics. One case I recall in which 
Michael was the principal Assistant involved significant 
comq>tion aiaong guards at the Metropolitan Correctiozi2d 
Center in New York. 

In all of his cases, Michael demonstrated both 
courage and extremely sound judgment. He was an outstanding 
Assistant United States Attorney and I have no doubt will 
serve with great distinction if the ptiblic is fortunate 
enough to have his services again. 

Sii^cerely^ 




ito Romano 



BS CMC SM fttwl MCAZSaBOt 

iw i,^ NT iooa-€6» wvmen 



483 



SUITC IIOO 
lOOr PENNSYLVANIA AVENUE, N.W. 
WASHINGTON. O.C. 20004-2S0S 



February 11, 1994 

To whom it may concern: 

Re: Michael Bromwich 

I served from 1979 to 1986 as an Assistant United States 
Attorney for the Southern District of New York, and as Chief of 
the Securities and Commodities Fraud Unit from 1984 to 1986. 
Since 1986 I have been a partner in a large Washington law firm. 
I have known Mike Bromwich since our overlapping tours in the 
U.S. Attorney's Office, and we have maintained our acquaintance 
here in Washington. I regard Mike Bromwich as among my best 
professional friends, although we are not close personal friends. 

Mike Bromwich would rank high on my list for any sensitive 
job in public service, for reasons that can only be explained by 
describing the most difficult experience of our tenure in the 
U.S. Attorney's Office. 

About ten years ago a fellow prosecutor developed a drug 
habit, and stole hundreds of thousands of dollars in cash and 
large quantities of narcotics held as evidence in the U.S. 
Attorney's Office safe. At the time this was discovered, this 
prosecutor had actually selected a jury in order to commence the 
trial of a heroin importation case, for which he himself had 
stolen and disposed of the narcotics evidence. 

It exaggerates only a little to say that the reaction to 
this discovery in the U.S. Attorney's Office was a collective 
nervous breakdown. There were those who were preoccupied with 
sympathy for their colleague, and others who were determined to 
see that he be made a special example. There was no one who was 
not profoundly and personally affected by this shocking breach of 
trust. 

It was Mike Bromwich, however, who was first to ask "what 
about the case?" That is, the heroin importation prosecution 
that had been left in a shambles because the prosecutor had 
stolen the drugs. As matters stood, unless the U.S. Attorney's 
Office pursued the case immediately, the charges against two 
narcotics importers would have to be dismissed for good. It was 
Mike Bromwich who stepped forward and, literally over night. 



484 



To whom it may concern 
February 11, 1994 
Page 2 

picked up the pieces and tried the case. 

The fact that both defendants were convicted says a lot 
about Mike Bromwich's lawyering skills. More important, though, 
is what that experience teaches about Mike's dedication to the 
mission, and his sense of obligation to the public service he has 
sworn to render. At a time when others were preoccupied by a 
tremendous personal shock, Mike Bromwich demonstrated a unique 
strength of character and ability to put aside outside pressures 
to see that the job got done. 

Mike Bromwich will bring to any public service this same 
resistance to outside influences and close focus on the - 
obligations of the job at hand. Years down the road, those 
responsible for his appointment and confirmation as Justice 
Department Inspector General will take great satisfaction in 
having selected him. 

If you have any questions, I can be reached at 
(202) 624-2745. 

Very truly yours. 



Peter J. Romatowski 



485 



Bart M. Schwartz 

219 EAST 49TH STREET 
NEW YORK. NEW YORK 10017 



February 14, 1994 
To Whom It May Concern: 



I am a Republican who has supported Rq)ublican 
candidates for national office. I am also proud of having supported 
others, when I knew the candidate and believed in his or her ability to" 
govern fairly and honestly. 

I am an attorney who served as chief of the Criminal 
Division under United States Attorney Rudolph W. Giuliani and served 
as Mayor Giuliani's volunteer Coordinator of the Economic Development 
Screening and Search Committee. 

When I was Chief of the Criminal Division Michael 
Bromwich was an Assistant United States Attorney who worked under 
my supervision. I had the opportunity to work with Mr. Bromwich and 
make judgments about him based upon my personal experience. 

I always found Mr. Bromwich to be a fair, ethical and 
conscientious public servant. No doubt he was a tough prosecutor who 
worked to put criminals in jail. But he always worked within the 
constitutional and ethical rules which govern a prosecutor's conduct. 
Mr. Bromwich never allowed political considerations to enter into his 
decisions. Indeed, politics were never an issue when reviewing or 
discussing cases with Mr. Bromwich. He always dealt with matters on 
the merits. 

Mr. Bromwich displayed a keen sense of fairness and 
ability to judge the conduct of others fairly and based on the facts. I am 
confident that he has the ability to judge the conduct of other prosecutors 
and individuals in the criminal justice system. He understands his ethical 
obligations, as well as the obligations of others. He has the sti^ength of 



486 



February 14, 1994 
Page 2 



character to resist reaching the "popular" result and to ensure that the 
right and correct result is achieved. Finally, I believe that he has the 
ability to train others, and influence others who will work with him, so 
that they will aspire to the same high standards Mr. Bromwich sets for 
himself. 

Without any reservation whatsoever, I endorse Mr. 
Bromwich's nomination to be Inspector General of the Dqiartment of 
Justice. 

Very truly yours. 






Bart M. Schwartz 



BMS/cg 



487 



BOGLE& Gates 



LAW OFnCES 
UNDA C. SEVERIN 



Two Union Square 

601 Union Street 

Seattle, Washington 98101-2346 

Main Office: (206) 682-5151 
Facsimile: (206) 621-2660 

Direct Dial: (206) 621-2690 



Anchorage 

Bellevue 

Olympia 

Portland 

Tacoma 

Vancouver, B.C. 

Washington, D.C. 



March 7, 1994 



To Whom It May Concern: 

r,^ ■ ^ ^-^ write in support of the nomination of Michael R 

orjustic5°^ r'^H^^'^e^ ^""""' ^°^ ^^^ ""i^-^ states Department 
of Justice I have known Mr. Bromwich since 1984, when I became 

New''?orr'"l wSrk^d ll'^^r f'^f""^ '" "^^ ^°"^^^^" Dlstrict'or 
1?9? whin T ^°f^^^,3s f federal prosecutor in that Office until 
1992 when I entered private practice in Seattle. Based on mv 
experience working with him, I believe that Mr! Bromwich is 
extremely well qualified to serve in the position ?SrShich he 
has been nominated. He combines outstanding legal abilities with 
a deep commitment to fairness and justice. acuities with 

Drosecutn/''\?f°"''T''^ fnjoyed an excellent reputation as a 
prosecutor After I joined the United States Attorney's Office 

L^^ i^-^^^'"''^'' '^''^^ ^^ ^^^ ^^"'^^"^ to whom I could turn for 
sound advice. He carefully considered the facts and the law 

poinS ITTeT'il tr^ h'"^^"^^' ^"^ ^^ ^^^ considerate o? all 
n?f?^o ■ "^.''^s highly respected by everyone in the 

a tSl lawer""'f '^"^°^' ^ " '^^^^ ^^^"^^^ ^"^ writer and as 
a trial lawyer. Moreover, he enjoyed excellent relations with 

no H^'^J^r?''^^ ^"^ "^^^ ^^" enforcement agents. In s^m he 
facet'of hirworlJ '" " thoroughly professional manner iA eJery 
as a oroseinfo^ ^f f 5^*"^"^ prosecutor. Never was his conduct 
imorooer ron^?H ^"^^^^^^ ^".^"^ ""^nner by political or other 
reproach. "^- "^^ character and integrity are above 

-hi.. c^r.^,r.f^' ^f°™"ich's many talents would enable him to serve 
Drndia?nn«7 "^J i", ^^ • P°^ition of Inspector General. His 
orodigious legal abilities and his professionalism make him 



488 



March 7, 1994 
Page 2 

particularly well-suited to the task of overseeing investigations 
of other lawyers for professional misconduct. 

Mr. Bromwich's nomination for Inspector General has my 
unqualified support. Please contact me if I can provide any 
further information. 



Very truly yours, 
BOGLE & GATES 




^^ C sj^^~ 



Linda C. Sever in 



489 




U.S. Department of Justice 

Uniied Slates Aiioniey 
Souilient District of New York 



To Whom It May Concern: 



ViC Silvio J. Mollo liuildui^ 
One Saifit Andfc*^''s I'law 
Wo.- York. Nc^- York 10007 

February 15, 1994 



I write to support the nomination of Michael Bromwich to the 
position of Inspector General for the Department of Justice. 
Michael is a superb lawyer and ethical practitioner, and is the 
right person for such an important job. 

Michael and I served together at the United States Attorney's 
Office from 1982 to 1985, and have remained friends ever since. In 
an Office that prides itself on selecting bright young lawyers to 
serve the public interest, Michael was among the very best and 
brightest. He was a tireless investigator who pursued the truth 
wherever it led. More importantly, he was as "straight a shooter" 
as one could ever wish to know. If I had a difficult call in a 
case, I sought out Michael's judgment. I was not alone in that 
regard. All of us knew that Michael would give sound advice -- 
that he was not "pro-prosecution" but "pro- justice" -- and that he 
brought no preconceived biases to the task. 

These qualities will serve the Department of Justice well if 
Michael is its Inspector General. Michael knows the enormous power 
that our system confers on prosecutors and knows that that power, 
in the wrong hands, can be abused. Of two things I am certain: 
Michael will not tolerate ethical lapses, but at the same time he 
will not criticize before carefully determining the pertinent 
facts. His touchstone will always be fairness. In short, in 
Michael, the Department will have an experienced hand -- a 
prosecutor tested in some of the most significant courtroom battles 
of our day -- and a judicious mind, who will seek to do justice in 
his every decision. 



490 



February 15, 1994 
page 2 



As a federal prosecutor and as a citizen, I applaud and 
enthusiastically support Michael Bromwich's nomination. The 
Department and the country will be fortunate to have him as 
Inspector General. 



Sincerely, 



i^iu^ 



Paul Shechtman 

Chief, Criminal Division 



491 



TCLCPmONC: 202/Ge2-O200 

TCLCX: I»7<7t 
FACSIMILE: 202/662-4e'43 

vffiTcn's oiRecT dial number: 



FULBRIGHT & JaWORSKI 
LLP. 

A REGlSTERCO LiMlTCO LtABILrTV PARTNERSHIP 

eoi Pennsylvania Avenue. N W 
Washington. DC. eooo^aeo^ 



HOUSTON 

WASHINGTON. DC 

AUSTIN 

SAN ANTONIO 

DALLAS 

NEW YORK 

LOS ANGELES 

LONDON 

ZURICH 

HONG KONG 



February 17, 1994 



CQNFIDENTIAT. 

Mark Gitenstein, Esq. 

Mayer, Brown & Piatt 

2000 Pennsylvania Avenue, NW 

Suite 6500 

Wash, D.C. 20006 



Re: Michael Bromwich 

Dear Mark: 

As counsel for John Poindexter, from time to time I had occasion to deal 
with Mike Bromwich while he was a member of the Special Prosecutor's office 
investigating the Iran-Contra matter. 

In my opinion, Mr. Bromwich always acted in a highly professional 
manner. I have also had to meet and deal with Mr. Bromwich since he left the 
Special Prosector's office, and I have found him to be an extremely principled person 
whose integrity is beyond question. 

If you need any further elaboration, I shall be pleased to provided 
additional information. 



Very truly yours, 




Richard W. Beckler 



RWB/ecf 



492 



David P. Doherty, Esq. 
295 Greenwich Street. Apt. #3A 
New York, New York 10007 
March 14. 1994 



To whom it may concern: 

Michael Bromwich headed-up the independent counsel's investigative team which 
focussed on the Central Intelligence Agency during the 1987 timeframe while I was General 
Counsel of the Agency. As a consequence, I had extensive dealings with Mr. Bromwich 
involving various investigative requests and related matters. Needless to say, much of the 
information sought involved very sensitive and highly classified information. 

I found Mr. Bromwich to be thoroughly professional in carrying out his assigned 
responsibilities. He proved to be an experienced, conscientious and very able lawyer. While 
he was aggressive in carrying out his responsibilities, he brought a sense of balance to his 
work that permitted a reasoned discussion of important issues and demonstrated a concern for 
the unnecessary disclosure of classified information. Most importantly, in my view, Mr. 
Bromwich possessed the two most important qualities of a good prosecutor, that is, good 
judgement and a respect for fairness. 

All of these qualities, I believe, would make Mr. Bromwich an outstanding Inspector 
General of the Department of Justice. 



Sincerely, 



^xfe-^^.^2^2^^^ 



493 



UNIVERSITY OF VIRGINIA 
SCHOOL OF LAW 
580 Massie Road 
Charlottesville, VA 22903-1789 

Fax 804 / 924-7536 



Earl C. Dudley, Jr. 
Associate Professor of Law 
804 I 924-8813 



March 2, 1994 



To Whom it May Concern: 

I am writing with respect to the nomination of Michael R. Bromwich to serve as 
Inspector General of the Department of Justice. My contact with Mr. Bromwich grew out of 
his service as a Deputy Independent Counsel in the Iran/Contra investigation. I represented 
Richard Miller in that investigation. Mr. Miller pled guilty to a single count of conspiracy to 
defraud the United States and testified as a government witness at the trial of Lt. Col. Oliver 
North. 

I worked closely over a period of approximately one year with Mr. Bromwich and 
others involved in the Iran/Contra investigation. I have the highest respect for his ability as a 
lawyer, his ethical standards, and his judgment. I think he would make an outstanding Inspector 
General. 

While Mr. Bromwich and I were adversaries throughout much of our professional 
intercourse, I found him to be trustworthy, reasonable, and competent. His judgments, as I 
observed them, were those of a consummate professional prosecutor acting in light of the 
evidence available to him. At no time did politics, personalities, or other extraneous or improper 
considerations appear to impinge upon his course of action. My colleagues and I negotiated a 
complex plea agreement with Mr. Bromwich and his colleagues. Throughout that process I felt 
that he was fair with me and with my client, and that he displayed a true professional's concern 
for the rights of my client. I feel the same way in hindsight. 

I also worked with Mr. Bromwich in preparing my client to testify at the North 
trial. That process confirmed my view of his professionalism and ethical standards. He never 
sought to expand my client's testimony beyond what the existing record showed or what my client 
was comfortable in stating as the truth. Because of my client's prior personal and professional 
relationship with Col. North, I made it clear that Mr. Miller intended to meet with Col. North's 
counsel in advance of the trial. Mr. Bromwich never sought either to impede or to intrude upon 
our dealings the Mr. North and his counsel. 

The job of Inspector General in the Department of Justice seems to me an 
extremely important one in light of growing complaints of abuse of office by federal prosecuting 
attorneys. There are many lawyers for whom I have great respect but whom I would nonetheless 



494 



hesitate to endorse for a job of this magnitude calling for such great delicacy of judgment I 
have no hesitation endorsing Mr. Bromwich. I fee! confident in light of our dealings in the 
Iran/Contra investigation that he possesses the skills, the integrity, and the judgment for this 
demanding position. 



Sincerely yours, \ 

Earl C. Dudley, Jr. 



I 



495 



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February 14, 1994 



To Whom It May Concern: 

This brief evaluation of Michael Bromwich is based entirely on 
my dealings with him in the retrial of Oliver North. I was counsel 
for a principal prosecution witness, Robert C. McFarlane, and took 
part in the preparatory sessions; an associate, Peter Morgan, was 
present during the trial testimony. 

In my dealings with Mr. Bromwich, he was consistently 
professional, friendly, courteous, and thorough. He was careful to 
observe the fine line between obtaining a clear idea of Mr. 
McFarlane' s testimony without undertaking to "coach" or "push" him. 
I would characterize him as an able and vigorous prosecutor who 
felt professionally and conscientiously attached to the observance 
of ethical limits in his preparatory work and, as I understood it, 
in his trial conduct. (It helped that he occasionally displayed a 
decent sense of humor. ) 

In this limited context, I am confident that he is equipped to 
supervise investigations of prosecutors for alleged breaches of 
profesional ethics. I never saw any evidence that his behavior as 
a prosecutor was affected by political considerations or other 
attitudes extraneous to the legal issues. 

I discussed this letter with my client, who authorizes me to 
say he agrees with my general opinion of Mr. Bromwich. 

I am a registered Independent; I was a registered Democrat 
before that, but with age, my political interests have become more 
eclectic than electoral. 

Sincerely, 



Leonard Garroent 



496 



S I D L E Y 8c AU S T I N 

A l*A»ITKi;*«SHII' IVri.l UlNt. l-RtlMlNSIftVAl « ONI*<»M At l»»KS 

1722 Eye SmEET, N W 
^■.,r-.^^ Washington, DC. 2000G 

ClflCACO LONDON 

Telephone 202: 73GaCX)0 

LOS ANOELES TeLEX 80-400 SINGAPORE 

NEW YORK Facsimile 202: 730-a7 1 1 tokyo 

WRITBII'S DIRBCT MUMBEK »ov»v> i;'^! 

(202) 736-8069 



February 22, 1994 



To Whom It May Concern: 

I am writing to endorse enthusiastically the nomination 
of Michael R. Bromwich to be Inspector General of the U.S. 
Department of Justice. 

I met Mr. Bromwich while representing Retired Major 
General Richard V. Secord in connection with the Iran/Contra 
investigation conducted by Independent Counsel Lawrence Walsh. 

Based on my contact with Mr. Bromwich, which has 
continued to date, I am convinced that he is extremely well 
qualified to assume the position of Inspector General. Mr. 
Bromwich possesses a keen intellect and is very experienced in 
the conduct of sensitive investigations. More importantly, he is 
a fair minded individual who will unquestionably act responsibly 
and without partisanship in the execution of his duties. He is 
an extremely well respected member of our legal community, and he 
enjoys an outstanding reputation among h^ peers. As a result, 
he is most deserving of confirmation. 




TCG/jmf 



' 



497 



LAW orFicts 
JANIS, SCHUELKE & WECHSLER 

I7^e MASSACHUSETTS AVCNUe, N W 
WASHINGTON. OC 30036 



IICHARD JANIS TclCPmOnC 

I202I eei 0600 



February 15, 1994 



To Whom It May Concern: 

I am writing on behalf of the nomination of Michael R. 
Bromwich to be Inspector General of the Department of Justice. 

I first met Mr. Bromwich in early 1987, when he was a Special 
Counsel in the Office of Independent Counsel Lawrence E. Walsh. I 
represented Albert Hakim, one of the principal targets of the 
Iran/Contra Independent Counsel investigation. Mr. Hakim 
ultimately was indicted in the central Iran/Contra case, along with 
Admiral John Poindexter, Lt . Col. Oliver North and Major General 
(Retired) Richard Secord. 

During the course of these proceedings, in which Mr. Bromwich 
and I were adversaries, I had occasion to deal with him on a 
regular basis, both before and after Mr. Hakim's indictment. Those 
contacts ranged from discussions regarding scheduling and proce- 
dural matters to meetings and arguments regarding substantive 
matters, as well as active litigation over disputed legal issues. 

Throughout my dealings with Mr. Bromwich, I found him to be 
extraordinarily capable and professional at all times. While I 
have been publicly quite vocal in my criticism of the Independent 
Counsel scheme in general, and the performance of Lawrence E. Walsh 
in particular, I have nothing but the highest personal and 
professional regard for Mr. Bromwich. I consider him to be a man 
of significant experience, exceptional temperament and unquestioned 
integrity and professionalism. As an adversary, I found him to be 
tough, but reasonable, open-minded, ethical and fair. I trusted 
him and felt that when he made a commitment or representation, I 
could take it to the bank. I might add that my personal experience 
in dealing with Mr. Bromwich turned out to be completely consistent 
with what I had been told in advance about Mr. Bromwich by mutual 
acquaintances with whom I had made inquiries. 

I think it speaks volumes that, notwithstanding the stakes 
involved in the Iran/Contra case, the contentious nature of the 
litigation and my own strongly-held negative views about the manner 
in which Mr. Walsh conducted his office, I came to have the highest 
regard and respect for Mike Bromwich and now consider him to be a 



498 



friend. I was delighted when I heard that he had been selected to 
be the Inspector General at the Department of Justice. His wealth 
of experience, unquestioned integrity, fairness and professionalism 
make him an exceptional choice. He is precisely the type of person 
that the public needs to have serving in such an important and 
responsible position. ^ 



NRJ: jkb 



Yours truly. 



N. Richard Janis 



499 



CO.%T?i^£NT«AL 



UNITED STATES DISTRICT COURT 

CHAMBCRS Of" 

JUDGE ROBERT L CARTER 

Unitco States Courthouse 

Foley Square 

NEW YORK. N. Y tOO07 



February 18, 1994 



Mark Gitenstein, Esq. 
Mayer, Brown & Piatt 
2000 Pennsylvania Avenue 
Suite 6500 
Washington, D.C. 20006 

Dear Mr. Gitenstein: 

wh^n =.= My acquaintance with Michael Bromwich dates from 1983 
when, as an Assistant United States Attorney in the Southern 
banr'^^Hn"' ''^\^°^''' he prosecuted a case before me involving 
bank robbery, with a customer being held hostage. The trial 

te™f of ^^'^ ^ "^^^ ■"^- ^'^^"•^i-h was then a young prosecuLr in 
terms of time on the job, and this could have been his first 
fb?litv r"-- "" ^^hibited first rate lawyering ski?il fnd the 
ability to vigorously seek a conviction without untoward 

anre?^?°"%'/""'- ' "^" impressed with the way he skillfully 
and efficiently prosecuted the case. i^xxiruiiy 

in a hiohi^^''^"^ r^" ^^^^''' "''■ Bromwich was before me again 
distr?hn?i^ ^''^^'' Sk^^ involving a widespread conspiracy to 
distribute heroin. The government seized $5.6 million in cash 
exoerienc^f °' the trafficking. Mr. Bromwich was now an ' 
experienced prosecutor and handled this case with great skill 
He brought home the case in a month, although a less efficient 

Onf^rthe def'^^^r" "'^'""'*^' "^^ ^''^' '°^ ^ we^k or so linger, 
been def^Lfn r'^^"''^'" ^^^^ proceeding who was acquitted hal 
been defended by court appointed counsel. Mr. Bromwich 
prosecuted him before me to require him to reimburse the 
government for the costs of his defense since his financial 
status did not warrant his having court appointed coCnsel 

Bromwich alfhoLh^T K° f"^<^her professional involvement with Mr. 
Bromwich, although I have maintained contact since then. 



500 

Mark Gitenstein, Esq. -2- Feb. 18, 1994 



Mr. Bromwich was a first rate prosecutor. He is an 
intellectually gifted and highly skilled litigator. I cannot 
make a judgment as to his administrative capabilities, but as 
insightful and intelligent as he is, and as organized as he was 
in his case presentation before me, I would think him fully 
capable of handling the oversight of the investigation of lawyers 
for alleged breaches of professional ethics. 

Mr. BroDwich never acted, in the cases before me, out 
of political consideration. Indeed, I have no idea what his 
politics are. My sense of him is of a fair minded individual, 
who is governed by the highest ethical consideration. I cannot 
imagine him doing any unethical act or taking unfair advantage of 
an individual for political or unworthy reasons when in a 
position of power. 

Sincerely, 
ROBERT L. CARTER 



501 



UNITED STATES DISTRICT COURT 

SOUTHERN DISTRICT OF NEW YORK 

UNITED STATES COURTHOUSE 

NEW YORK. NV I0007 



CHAMBERS OF 
JUOCE MORRIS E. LASKER 



February 16, 1994 



To Whom It May Concern: 

I am writing in support of the nomination of 
Michael R. Bromwich, Esq, as Inspector General of the 
United States Department of Justice. 

I have known Mr. Bromwich since 1984 when he 
first appeared before me as an Assistant United States 
Attorney prosecuting a multi-defendant narcotics 
conspiracy case known as United States v. Harold Barr. 
et al. The case was a particularly complicated one 
which required many meetings with Mr. Bromwich as 
prosecutor, and counsel. Moreover, the trial of the 
case lasted, as I recall, approximately one month and 
post-trial hearings were held upon remand as to one 
question by the United States Court of Appeals for the 
Second Circuit. 

In sum, my contact with Mr. Bromwich on a 
professional basis were carried on over a period of 
several years. Many of the meetings with him and other 
counsel took place in my Chambers in an informal 
setting. The proceedings required Mr. Bromwich as 
prosecutor to make representations to the court, submit 
affidavits and, in the instance of the post-trial 
hearing to testify as a witness. 

On the basis of this long and intimate 
exposure to Mr. Bromwich and, as a United States 
District Judge who has served since 1968, and is aware 
of the importance of the position to which Mr. Bromwich 
has been nominated, I declare without qualification 
that I consider Mr. Bromwich to be a lawyer and 
prosecutor at the highest professional level and that 
he is a man and lawyer of highest ethical standards. 



502 



In my opinion, Mr. Bromwich is intellectually and 
professionally well equipped to carry out the 
responsibilities of the Inspector General as I 
understand them, including the oversight of 
investigations of attorneys, whether prosecutors or 
not, for alleged breaches of professional ethics. 

In discharging his responsibilities in the 
litigation before me, Mr. Bromwich was never influenced 
by any consideration extrinsic to law enforcement. I 
am confident that he would discharge his duties as 
Inspector General with the same circumspection. 

I would be glad to answer any specific 
(questions that a reader of this letter might wish to 
put to me relating to Mr. Bromwich's qualifications to 
fill the position of Inspector General of the Justice 
Department. 

Very truly yours. 



/(jUj-M^ 




503 



UNITED STATES DISTRICT COURT 

FOR THE 

DISTRICT OF COLUMBIA 

WASHINGTON 2000I 



CHAMBERS OF 
TANLEY SPORKIN 

ITCO STATCS OlSTMlcr JUOCC 



February 14, 1994 



Subject: Nomination of Michael R. Bromwich 
to be Inspector General of the 
Department of Justice 



To Whom It May Concern: 

I am writing on behalf of Mr. Michael R. 
Bromwich, Esq., who was recently nominated by 
President Clinton to be Inspector General of the 
Department of Justice. I have known Mr. Bromwich 
for the past eight years. I have found him to be 
an extraordinarily bright and capable attorney who 
possesses the highest legal skills. Above all, he 
IS a person of integrity and would make an 
outstanding Inspector General. 

I first met Mr. Bromwich during his 
assignment as a member of the Office of Special 
Counsel looking into the Iran-Contra affair. 
While I found Mr. Bromwich to be a vigorous 
investigator and trial attorney, at all times he 
discharged his duties in a fair and responsible 
manner. 

I thought so much of Mr. Bromwich 's abilities 
that when he completed his Special Counsel 
responsibilities I appointed him on four occasions 
to represent indigent defendants on a Pro Bono 
basis. He accepted each of these assignments in 
the highest traditions of the legal profession. 
In each of the four appointments, he handled his 
assignments as he would a retained client. On 
these assignments, he contributed over 4 00 hours 
of outstanding legal services. Mr. Bromwich never 
submitted a voucher with respect to his criminal 
justice appointments even though he was entitled 
to compensation under the Criminal Justice Act. 



504 



According to the hours he spent on these four 
cases, Mr. Bromwich would have been entitled to 
some $30,000 in legal fees. 

I always found Mr. Bromwich to be a lawyer 
possessing outstanding legal skills. While he is 
tenacious, he has always been fair minded. 

If I can be of any further assistance, please 
let me know. 



Sincerely, 
Stanley /Sporkin 



505 



KENNETH I. JUSTER 

laOO NEW HAMPSHIRE AVENUE. N.W. 
WASHINGTON, D.C. 20000-6883 



February 14, 1994 



Re: Michael R. Bromwich 



To \-7hoia It May Concern: 

I am writing to express my views with 
regard to Michael R. Bromwich, who has been 
nominated to be the Inspector General of the 
Department of Justice. I have known Mike 
since the early 1970s, when we were 
undergraduates together at Harvard College. 
We subsequently attended Harvard Law School 
and the Kennedy School of Government together, 
and have been good friends ever since that 
time. 

I regard Mike as an excellent lawyer who 
has the highest ethical standards. He is fair 
and impartial, and a person of great integrity 
and outstanding intellect. I think he is 
well-equipped to oversee investigations of 
prosecutors and other lawyers for alleged 
breaches of professional ethics. In short, I 
admire Mike as an individual and value his 
personal friendship. 

I should note for the record that I am 
currently a partner at the law firm of Arnold 
& Porter. I previously served in the State 
Department during the Bush Administration, 
first as the Deputy and Senior Adviser to 
Deputy Secretary of State Lawrence S. 
Eagleburger, and later as the Acting Counselor 
of the Department. 



Sipci^rely, 




/Kenneth I - Juster 



506 

TERRY F. LENZNER 



February 21, 1994 



To Whom It May Concern: 

I have worked for both Republican and Democratic 
administrations as follows; Trial Attorney, Civil Rights 
Division, 1964-66; Assistant U.S. Attorney's Office, 
Southern District of New York, 1966-69; Director, Office 
of Legal Services, Office of Economic Opportunity, 
1969-1970; Assistant Chief Counsel, Senate Select 
Committee on Presidential Campaign Activities, 1973-74, 

I have known Mike Bromwich as a professional 
colleague for the last several years, having worked with 
him and his law firm on a number of cases. I can state 
without hesitation that Mike is an even-handed extremely 
competent attorney. My judgment of him is that his legal 
brilliance alone would dictate actions of only the 
highest integrity. Beyond his skills, I know Mike to be 
a person of total professionalism and I cannot imagine 
any situation where his judgment would be affected by 
anything except the merits of the matter at issue. 

Indeed, as a government employee for over ten years, 
I can imagine how intimidating it might be to have an| 
Inspector General's investigation of ones career possibly 
leading to criminal prosecution. I can only say that 
anyone — including myself — would be fortunate to have« 
Mike Bromwich conducting such an inquiry because it would 
guarantee an absolute fair impartial review protected by 
all appropriate safeguards of due process. Mike's whole 
career and character guarantees that he would never 
succumb to the greatest public or political pressure. 

I cannot imagine finding another attorney better 
qualified to serve as Inspector General of the Department 
of Justice. 



Very truly, 

Lenznefr 




507 



Stern &. Greenberg 

COUNSELORS AT LAW 



HERBERT J STERN 
STEPHEN M GREENBERG 
JEFFREY SPEISEH 
DAVID S STONE 
JOEL M SILVERSTEIN 
HOWARD O COHEN 



75 LIVINGSTON AVENUE 

ROSELAND. NEW JERSEY 07068 

aOI 53S1900 
FAX: 20I-535-9664 



February 14, 1994 



TO WHOM IT MAY CONCERN: 



To introduce myself, I am a former United States Attorney 
for the District of New Jersey, serving from 1970 to 1974, 
and a former United States District Judge for the same 
district haviny served from 1974 to 1987. 



I have known Michael R. Bromwich for approximately seven 
years. I came to know him when I was asked by Judge Walsh 
to be special outside counsel for him in order to handle 
the pretrial Kastigar motions in In the Matter of the United 
States vs. Oliver North, etals. During my service with 
Judge Walsh's office, I Ceime to know Mr. Bromwich quite 
well. Mr. Bromwich is an outstanding lawyer and a truly 
fine and dedicated prosecutor. He not only has exceptional 
legal ability but is a very fine and very ethical person 
as well. I haven't the slightest doubt that he has both 
the moral and intellectual capacity to lead other attorneys 
in investigating alleged breaches of ethics in the legal 
or other professions. 



I not only have not ever seen any evidence of Mr. Bromwich 
having been influenced by political considerations, but 
I know full well through my many contacts with him that 
he conducts himself as a professional prosecutor wholly 
separate and separated from politics. 



HJS/jp 




508 



Hale and Dorr 

CoUNSELLOkS AT LaW 

The Willard Office Building 
1455 Pennsylvania Avenue, N W , Washington, DC 20004 

202-942-8400 • FAX 202-942-8484 



February 25, 1994 



To Whom It May Concern: 

I write this letter in support of Michael Bromwich's 
Ccmdidacy as Inspector General for the Department of Justice. Mr. 
Bromwich is one of the outstanding lawyers of my generation, and 
the country is fortunate that men of his caliber are prepared to 
make personal sacrifices to enter public service. 

I am a Republican of long standing. I have been a 
registered Republican for many years, consistently voted for 
Republican candidates, contributed money and resources to 
Republican causes, and served in the Justice Department's Office 
of Legal Policy during the Reagan Administration. I am sensitive 
to issues of partisanship in the Executive branch cind, in 
particular, in the Justice Department. 

I know of no fairer or decent person than Michael 
Bromwich, and can say with confidence that he would discharge the 
duties of Inspector General aggressively and impartially. I can 
say this from personal experience. From 1987 to 1989, I was a 
member of the staff of Independent Counsel Lawrence Walsh and, for 
a time, reported to Mr. Bromwich. The assignment of the 
Independent Counsel, of course, was to investigate and, if called 
for, prosecute persons who violated the law in connection with the 
sales of arms to Iran and the provision of support to the anti- 
Sandinista forces in Nicaragua. Many judgments of the political 
branches of the government were called into C[uestion in that 
investigation, and there was the real danger that partisan biases 
could come into play. 

In those years working with Mr. Bromwich, I found him to 
be corrpletely ethical and fair in approaching such issues. He 
expressed no political views on the prosecution and refused to 
entertain partisan dialogue. He was painstaking in his regard for 
individual rights and, in fact, was the Office's leading exponent 
that the defendants should have the broadest possible access to 
the evidence we had collected. Although a zealous advocate for 
the government, he took equal pride in the fairness with which he 
treated his adversaries. By the end of the investigation, Mr. 
Bromwich was the lawyer in the Office who had won the broadest and 
unqualified respect of all who caime into contact with him, 
colleagues and adversaries alike. 



509 



February 25, 1994 



From my own years in the Justice Department, I 
understand -- and fully agree with -- the principle that those 
charged with policing the Department's conduct must be above 
partisanship and beyond reproach. I can say from personal 
experience that I have known no lawyer that better meets these 
standards than Michael Bromwich . I would urge that his candidacy 
he given every favorable, and pron^t, consideration. 

Please do not hesitate to contact me with any questions 
you might have . 



Very truly yours, 



Geof fre 




Stewart 



-2- 



510 



V^nn^STON & STRAWN 



FREDERICK M WINSTON (ieS3-t886| 
SILAS H STRAWN (1691 1946) 



DAN K. WEBB 
(312) 558-S856 



35 WEST WACKEH DRIVE 
CHICAGO. ILLINOIS 60601-9703 



(312) SS8'S600 



FACSIMILE (31?) 556 5700 

February 17, 1994 



NEW YORK OFFICE 

>'5 WATER STREET 

NEW YORK. NY 10038^86. 

(212) 269.ZSO0 



WASHINGTDN. OC OFFICE 

1«0 L STREET. NW 

WASHINGTON, OC 200(»-3SO2 

(202) 371.5700 



To Whom it May Concern: 



Michael Bromwich is among the most talented attorneys I 
have worked with in my more than 20 years as a practicing lawyer. 
He is an individual of impeccable integrity. For these reasons, I 
enthusiastically support his nomination for the position of 
Inspector General of the United States Department of Justice. 

I met Michael in 1989 when I was selected to lead the 
Government's trial team in United States v. John Poindexter . 
Michael was near the end of his tenure at the Office of Independent 
Counsel when I first became associated with that office. Shortly 
thereafter, I worked with him extensively in connection with the 
pre-trial proceedings in the Poindexter case. Michael's role in 
those proceedings was of critical importance in our obtaining a 
favorable result in the trial of the case. 

Michael's conduct throughout those proceedings 
demonstrated his considerable legal talents, wisdom and experience. 
His approach to this prosecution was consistently guided by his 
strong sense of ethics and a professionalism that reflected the 
highest traditions of the Department of Justice. I was also 
impressed with Michael's ability to handle the very sensitive 
matters involved in that case with the utmost discretion. 



In 1981, President Reagan appointed me as the United 
States Attorney for the Northern District of Illinois, a position 
in which I served until 1985. On the basis of my experiences as 
the United States Attorney and as a colleague of Michael's, I am 
confident that Michael is particularly well suited to oversee 
sensitive investigations of prosecutors, other lawyers and 
professionals for breaches of their ethical duties. Michael's 
talents as a lawyer, guided by his uncompromising ethical sense and 
unfailing discretion make him a perfect candidate for the position 
of Inspector General. 

cerely. 



d^^'^-uJdL^ 



'Dan K. Webb 



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NOMINATIONS OF ROBERT HENRY, TO BE 
U.S. CIRCUIT JUDGE; DEBORAH BATTS, RAY- 
MOND FINCH, AND SOLOMON OLIVER, TO 
BE U.S. DISTRICT JUDGES 



FRffiAY, APRIL 29, 1994 

U.S. Senate, 
Committee on the Judiciary. 

Washington, DC. 

The committee met, pursuant to notice, at 10:19 a.m., in room 
5D-226, Dirksen Senate Office Building, Hon. Howard M. Metzen- 
3aum presiding. 

OPENING STATEMENT OF SENATOR METZENBAUM 

Senator Metzenbaum. I open this hearing with an apology to all 
)f you. I apologize for being late. It is my understanding that the 
/arious Senators who are with us this morning have all agreed 
ihat, because Senator John Glenn has another commitment, we are 
joing to let him proceed first. 

Senator Glenn. 

STATEMENT OF HON. JOHN GLENN, A U.S. SENATOR FROM 

THE STATE OF OHIO 

Senator Glenn. Thank you, Mr. Chairman. I appreciate it very 
nuch. I am very happy today to introduce a man who I believe is 
?oing to be a real superstar in the Federal courts: Dean Solomon 
Dliver. I am also pleased that his wife, Louisa, and his sons, Solo- 
non and Jonathan, could be here today, along with Mr. and Mrs. 
Solomon Oliver, Sr. I would like for them to stand, if they would, 
please. 

Now, Mr. Chairman, there are also 16 brothers, sisters, in-laws, 
and other family members here today. I am not going to read all 
:heir names. Stand up, please, all of you. I think it is just great 
'or you to all be here on this occasion. 

Dean Oliver's inspiration to go into law did not come from read- 
ing books or watching Perry Mason on TV. His inspiration came 
Prom being beaten up as a young 16-year-old boy while driving 
l;hrough the Deep South on the way to a church function in Florida. 
The car young Oliver was riding in stopped at a gas station, and 
when the 16-year-old boy tried to use the only men's room there, 
a white gas station attendant assaulted him, hitting him repeat- 
sdly and shouting that Bobby Kennedy had sent young Oliver there 
to cause trouble. 

(511) 



512 

All Solomon Oliver knew at that time was that Bobby Kennedy 
was the Attorney General, and if a lawyer could instill such fear 
in a man so filled with hatred and racism, he wanted to be a law- 
yer, too. 

He did become a lawyer, and a good one. After graduating from 
New York Law School, Dean Oliver clerked for Judge William 
Hastie, the first African-American appointed to the Federal bench. 
Thankfully, Dean Oliver then came to Ohio. He joined the U.S. at- 
torney's office, serving as chief of the civil section, where he super- 
vised more than 4,000 cases, and later was the founding chief of 
appellate litigation. 

Dean Oliver currently serves as associate dean of the Cleveland- 
Marshall College of Law. He has been very active in community ac- 
tivities in the Cleveland area, including service for his church, for 
the College of Wooster, and the Cleveland chapter of the NAACP. 

Mr. Chairman and members of the committee, I could go on all 
morning about Solomon Oliver, but I am not the one you want to 
hear from today. I know Dean Oliver will serve with great distinc- 
tion on the Federal bench. And, Mr. Chairman, I know that you 
join me in this because we went together in suggesting this nomi- 
nation to the President. So I am sure you will join me in expressing 
the very highest of recommendations for Dean Oliver, and I am 
glad to be here to have a chance to introduce him this morning. 

Thank you very much for changing the order of the hearing. 

Senator Metzenbaum. Thank you very much. Senator Glenn. I 
want to tell you, you have convinced me. [Laughter.] 

Senator Moynihan, we are delighted to have you with us. 

STATEME>fT OF HON. DANIEL PATRICK MOYNIHAN, A U.S. 
SENATOR FROM THE STATE OF NEW YORK 

Senator MOYNIHAN. Thank you. May I ask Prof. Deborah Batts 
to come up here at this point? 

Mr. Chairman, Professor Batts has her mother with her today 
and some family. Perhaps you would like to introduce them. 

Senator Metzenbaum. We would love to meet them. 

Ms. Batts. My mother, Ruth Batts; my sister, Denise Batts; my 
sister, Mercedes Ellington; my daughter, Alix McCown; my son 
Jamie McCown. And I also have some friends with me: Sandy 
Farber and her son, Ben; Howard Clyman and his wife, Kathie 
Roberts. 

Senator Metzenbaum. It has got to be a very proud day for the 
entire family and friends. 

Senator Moynihan. Thank you, Mr. Chairman. And it is a very 
proud day for New Yorkers. I appear here for Senator D Amato as 
well. We have here one of our exemplary teachers and practitioners 
of the law in New York. She is a graduate of Radcliffe College and 
of the Harvard Law School. She went directly back to New York 
where she served with some distinguished firms that would be fa- 
miliar to you — Cravath, Swaine & Moore — and then in 1979 joined 
the criminal division of the U.S. attorney's office for the Southern 
District of New York. This is the court to which we respectfully rec- 
ommend her. 

After service, distinguished service, in the U.S. attorney's office, 
she became a professor of law at Fordham University, where she 



513 

teaches regularly, teaches courses in property and domestic rela- 
tions law, and is also simultaneously, and has been for the last 5 
years, 4 years, a member of the Law Revision Commission of the 
State of New York, a very dense and, to my mind, inassessable 
subject which engages them over the years. 

We are proud to recommend her, sir. She has the highest aca- 
demic credentials. Her experience in the criminal division has in- 
volved her in many things of great consequence and with great suc- 
cess, and it is our honor to present her to this honorable commit- 
tee. 

Senator Metzenbaum. Your recommendation is very meaningful 
to this committee. Senator Moynihan, and we appreciate it very 
much. We will be very pleased to go forward with the hearing in 
connection with Ms. Batts a little bit later. Thank you very much. 

Senator MOYNIHAN. Thank you, Mr. Chairman. 

[The prepared statement of Senator D'Amato follows:] 

Prepared Statement of Hon. Alfonse M. D'Amato, a U.S. Senator From the 

State of New York 

Mr. Chairman, I am honored today to present to this committee Ms. Deborah A. 
Batts, whom the President has nominated for appointment to the U.S. District 
Court, Southern District of New York. I would also like to recognize Ms. Batts' 
mother, Ruth, her children, Alix and Jamie, her sisters, Denise and Mercedes 
Ellington, and her friend Sandy Farber, and her son Ben. 

Ms. Batts comes before this committee with a comprehensive legal background. 
After graduating from Harvard Law School in 1972, she began her legal career as 
a law clerk to Judge Lawrence W. Pierce who was appointed to the U.S. District 
Court for the Southern District of New York by President Nixon, and later ap- 
pointed to the Court of Appeals by President Reagan. 

After clerking for Judge Pierce, Ms. Batts went on to an associate position with 
the firm of Cravath, Swaine and Moore in New York City, where she worked until 
1979. , ^ 

After leaving this firm, Ms. Batts became an Assistant U.S. Attorney with the 
U.S. Attorney General's OfRce in the Criminal Division. While working in the Major 
Crimes Unit of the Criminal Division, Ms. Batts tried 9 cases and served as sole 
or chief counsel on all but one during her 5 years with the office. 

Ms. Batts currently teaches law at Fordham University in New York City, where 
she has taught for the past 10 years. During her summers, Ms. Batts works with 
the city of New York Corporation Counsel Trial Advocacy Program at Fordham Uni- 
versity. 

Ms. Batts is an active member of many worthwhile organizations in her commu- 
nity and has served on such important committees as the nominating committee of 
the New York City Bar Association. 

As Ms. Batts advances in her distinguished legal career, she continues to set an 
example for all those around her. Mr. Chairman, I am confident that Deborah Batts 
will prove worthy of this committee's support. She has the experience necessary to 
undertake the tough job of a U.S. District Court Judge with the highest degree of 
competence. 

Senator METZENBAUM. Our next witness is a man who has told 
the world within the last few days that he is going back to the 
world of academia, going to leave the U.S. Senate, a long-time good 
friend of mine. We are happy to have you with us, Senator Boren. 

STATEMENT OF HON. DAVID L. BOREN, A U.S. SENATOR FROM 

THE STATE OF OKLAHOMA 

Senator BOREN. Thank you very much, Mr. Chairman. It is a 
real pleasure for me to be here this morning to present to you and 
to the members of the committee Robert Harlan Henry, who has 
been nominated by the President to be a judge of the U.S. Court 
of Appeals for the Tenth Circuit. 



514 

Before I make further remarks, I would like to ask Robert to in- 
troduce the many members of his family and friends who are with 
him today. 

Senator Metzenbaum. Please do. 

Mr. Henry. Thank you, Mr. Chairman. I would like to introduce 
my wife, Jan Ralls Henry, and my daughter, Rachel, and my son, 
Joshua; my stepsons, Scott and Daniel. My father, the late Judge 
Lloyd Harlan Henry, could not be here, but my mother, brother, 
and sister are here, if they would stand, and my niece, Meghan; 
friends, Larry and Jean Lucas, Brooks Richardson, Miles Tolbert, 
Pete and Stacia Glavas, and Jack and Lorene Akins. 

Thank you, Mr. Chairman. 

Senator Metzenbaum. Rachel, do you think your Daddy will 
make a good judge? 

[Ms. Henry nods affirmatively.] [Laughter.] 

Senator Metzenbaum. OK. 

Senator BOREN. Let me say, Mr. Chairman, I do not think I could 
add anything after the very convincing and credible testimony that 
you have just heard. I would say to my friends from Oklahoma who 
are here today: you have just seen why Chairman Metzenbaum is 
one of the most beloved figures to all the family members in the 
U.S. Senate, including my two children to whom he has shown so 
much kindness over the years. 

Senator Metzenbaum. Thank you. 

Senator BOREN. It is a real privilege and a special pleasure for 
me to be able to present Robert Henry to you. The friendship be- 
tween our two families goes back all the way to our grandparents 
who were very close friends, living in a small community together, 
where Robert's grandparents were teachers. Of course, I also knew 
his late father. Judge Henry, who was an outstanding member of 
the bench in Oklahoma, and I had the opportunity to observe Rob- 
ert beginning in his elementary school days. And when he was in 
high school and I was a college professor at a nearby school in the 
town where he grew up, I had the privilege of coaching him in the 
youth legislature in which he participated. So our friendship has 
been a very strong one and a very special one. 

He is one of the most able young people to come from our State 
in many, many years. He is currently serving as the dean of the 
Oklahoma City University School of Law. He began serving as 
dean in 1991. Before that, he was attorney general of the State of 
Oklahoma from 1986 to 1991, where he established a wonderful 
record and was one of the most respected public officials we have 
ever had. His service was recognized by very many different orga- 
nizations, including the American Indian Bar Association, which 
gave him their special recognition award for fostering positive dia- 
log between Native Americans and other Oklahomans during the 
time that he was State attorney general. 

Before that, he served in the Oklahoma State House of Rep- 
resentatives for five terms. The last four times he was reelected in 
the best way that you can be reelected — completely without opposi- 
tion. His being elected four times to the State legislature without 
opposition indicates to you the respect with which the people of his 
home community held him. 



515 

During all of this time, he served as an adjunct professor at 
Oklahoma City University and at the University of Tulsa, and from 
time to time at Oklahoma Baptist University in his hometown. He 
graduated from the University of Oklahoma School of Law and the 
University of Oklahoma as an undergraduate with high honors in 
political science in 1974. 

He was very active nationally when he was attorney general of 
the State of Oklahoma. He chaired the Agriculture and Rural Af- 
fairs Committee of the National Association of Attorneys General, 
he chaired the Constitutional Law Advisory Committee, and he 
was vice chair of the Committee on Civil Rights. He has been a 
commissioner of the National Conference of Commissioners on Uni- 
form State Laws. He was chairman of a special study commission 
that considered revision of the Oklahoma State Constitution. 

He has been a very ecumenical person. I mentioned that he has 
been an adjunct professor at Oklahoma Baptist University. He has 
also been past chairman of the board of St. Gregory's College, a 
Catholic institution in our State. And he currently serves as presi- 
dent of the Oklahoma City Chapter of the National Conference of 
Christians and Jews. 

He is a person that, through his leadership and through his per- 
sonal integrity, has really brought people together and helped to 
create a spirit of community in our State. So he brings to this as- 
signment and to the bench, a brilliant mind, and a good heart as 
well. I think that we are all blessed as a Nation when we have peo- 
ple willing to take on this kind of public service who bring with 
them that combination of qualities. 

So, Mr. Chairman, it is a real privilege for me to be able to 
present Robert Henry to you for his testimony later this morning. 

Senator Metzenbaum. That is a very strong recommendation. 
Senator Boren, and you may be certain the entire committee will 
take your recommendation into account as we consider the con- 
firmation process. 

Senator BOREN. Thank you very much, Mr. Chairman. I might 
also mention that Senator Nickles had to be away today, but he 
asked that I also convey to you and to the committee his very 
strong recommendation for the confirmation of this nominee. 

Senator Metzenbaum. Thank you very much. 

Senator BoREN. Thank you. 

Senator Metzenbaum. Now we have Representative Ron de 
Lugo, Congressman Ron de Lugo, Lt. Gov. Derek Hodge, and Jus- 
tice Verne Hodge, presiding judge of the Virgin Islands Territorial 
Court. 

Now, I want to say to all of you that I have discussed this entire 
matter with the Judiciary Committee, and no matter how great the 
nominee is, I think the Judiciary Committee would like to take a 
week down in the Virgin Islands and continue the hearings down 
there. [Laughter.] 

Please proceed. 

STATEMENT OF HON. RON de LUGO, A REPRESENTATIVE IN 
CONGRESS FROM THE U.S. VIRGIN ISLANDS 

Representative de Lugo. Mr. Chairman, thank you very much 
for this warm welcome to the committee, and I want to say that 



516 

it is a great pleasure to present our nominee to you. I think that 
we have a first here. Judge Raymond Finch has been nominated 
by three Presidents, and we checked on that, and that has never 
happened before. You have had nominees who were nominated by 
two Presidents, but this is the first one nominated by three. He is 
an outstanding judge and member of our community, and before we 
get into the recommendations, may I ask Judge Finch to recognize 
some members of his family who are here with him today. We have 
quite a number of people up here from the Virgin Islands. 

Judge Finch, I think you have some cousins with you. 

Judge Finch. Thank you, Congressman de Lugo, Mr. Chairman. 
I would like to introduce my cousin from the Virgin Islands, Mrs. 
Norman Armstrong, and her daughter, Kyra Armstrong, who is an 
attorney with the firm of Howrey & Simon. There are so many peo- 
ple here from the Virgin Islands. All I would do at this time is to 
say to everyone from the Virgin Islands in the audience to please 

stand. 

Senator Metzenbaum. I was wondering why we had such great 
attendance this morning. Now I know. We are delighted to have 
you all here, and I think it is a great testimonial to you, Judge, 
that so many came from so far to be with us this morning. 

Judge Finch. Thank you, sir. 

Representative DE LuGO. It certainly is, Mr. Chairman, because 
right now is the biggest day of Carnival in the Virgin Islands, so 
they are giving up 

Senator Metzenbaum. I am telling you, we ought to adjourn this 
hearing and hold it there. [Laughter.] 

Representative DE LuGO. Judge Finch has been nominated by 
President Carter. It came too late in his administration for the 
Senate to act. The same thing happened with the Bush administra- 
tion, and now we have the nomination of Judge Finch again be- 
cause we want to see him on that bench and so does the President. 

Senator METZENBAUM. How many years ago did President Carter 
nominate him? 

Representative DE LuGO. How many years ago was that? 

Judge Finch. I think that was in 1980. Either 1980 or 1982. His 
last year in office. 

Senator METZENBAUM. That is when there was an aircraft shot 

down? 

Judge Finch. That is correct. My nomination came immediately 
after that aircraft was shot down in the Mideast desert. 

Senator Metzenbaum. And then President Reagan also nomi- 
nated you? 

Judge Finch. President Bush. 

Senator Metzenbaum. And what happened to that? 

Judge Finch. That nomination came late in his term, and it died 
in the committee. 

Senator Metzenbaum. You have been to the mountain many 
times. [Laughter.] 

Representative DE LuGO. There was a little more to it during the 
Bush administration, but we will not go into that today. We will 
let things ride. There were two nominees put forward, and one 
nominee, you know, the Bush administration pushed it quickly, 
and our Democratic nominee they did not quite 



517 

Senator Metzenbaum. Got lost in the shuffle. 

Representative DE LuGO. Yes, got lost in the shuffle. You know 
how those things are. 

So the Clinton administration has taken care of that and gotten 
it up here, and I want to say to this committee because the nomi- 
nation just got up here a month ago that we greatly appreciate 
your moving Judge Finch forward. 

Judge Finch is an outstanding candidate, and from 1966 to 1969, 
he served with distinction in the U.S. military. He was a first lieu- 
tenant when he entered. He attained the rank of captain, and he 
was awarded the Army Commendation Medal and the Bronze Star. 

In 1976, Judge Finch, a graduate of Howard, was appointed to 
the bench of the Virgin Islands municipal court, the same court 
with which he had clerked a decade earlier. As a Virgin Islands 
territorial court judge for the past 17 years. Judge Raymond Finch 
has garnered a well-deserved reputation as a man who possesses 
excellent credentials and a wonderful judicial temperament. 

Since 1980, he has served as the administrative representative 
of the presiding judge in the St. Croix division, and the presiding 
judge is with us here today. Judge Hodge, who has come here to 
support this candidacy, as is the lieutenant governor. He super- 
vised all court personnel, and he coordinated all of the fiscal mat- 
ters of that division. 

Judge Finch's confirmation would stabilize a court which has en- 
dured a prolonged period of transition. Most importantly, as a na- 
tive Virgin Islander, Judge Finch is thoroughly knowledgeable in 
local customs and conventions and is a highly qualified, highly re- 
spected member of our judicial and social communities. 

I urge this committee to give Judge Raymond Finch's candidacy 
favorable consideration, and I would like to ask that my entire pre- 
pared statement be put in the record. 

Senator Metzenbaum. Without objection, the entire statement 
will be included in the record. 

[The prepared statement of Mr. de Lugo follows:] 

Prepared Statement of Hon. Ron de Lugo, Virgin Islands, Chairman, 
Subcommittee on Insular and International Affairs 

Mr. Chairman, members of the Senate Committee on the Judiciary. First, I want 
to personally thank Chairman Biden for responding to my handwritten note on 
March 28 and moving so expeditiously on the nomination of Judge Rajrmond Finch 
to the District Court of the Virgin Islands. 

It is with great pleasure that I introduce Judge Finch to the committee today. 

With me are the Lieutenant Governor of the Virgin Islands, the Honorable Derek 
M. Hodge, and the Presiding Judge of the Territorial Court of the Virgin Islands, 
the Honorable Verne A. Hodge. 

Both gentlemen know Judge Finch personally and will speak to his career and 
his qualifications, and they, too, will recommend this fine nominee to the committee. 

As I wrote Chairman Biden last March, the Virgin Islands has had at least one 
vacancy on the bench of the District Court since 1987, almost seven years now, and 
had two vacancies for nearly three years. The seat for which you are considering 
Judge Finch has been unfilled since 1989. 

During this entire time, visiting judges from the Third Circuit Court fiUed in. 

I want to express my appreciation to those jurists, and particularly Chief Judge 
Stanley Brotman, for their hard work and their good work in keeping the system 
functioning during those long vacancies. 

But visiting judges cannot operate the system properly for such a long period of 
time. 

Inequities must inevitably occur, as they did when, in cases for example, when 
one judge would hear a case and another judge would do the sentencing. 



518 

The result was a community left confused and with some diminished faith in the 
federal court. 

The previous administration had real problems filling these two seats on the Vir- 
gin Islands federal bench because there simply were not enough qualified Repub- 
lican jurists to assume both positions. 

After months of work, we reached a compromise with the last administration so 
that two candidates acceptable to both political parties wovild be moved in tandem. 

But the administration did not adhere to the agreement. 

One candidate was moved quickly, but the other was delayed until it was too late 
for this committee to act. 

As a result, the St. Croix community had to wait another year and a half for the 
new administration to make the second nomination. 

I sincerely hope we will never have these long vacancies on the bench again. 

Today, the nominee first proposed by President Carter in 1980 appears before the 
committee. 

It is indeed my honor to have the opportunity to familiarize this committee with 
a man who is well known to all Virgin Islanders for his judicial accomplishments 
and his contributions to our community. 

Judge Finch has dedicated nearly thirty years of his career to public service and 
a better way of life for the citizens of the Virgin Islands. 

Three decades ago, after completing his undergraduate studies at Howard Univer- 
sity, Raymond Finch served as a temporary duty marshal for the United States Jus- 
tice Department. Upon graduation from Howard University Law School, he spent 
two years as a legal assistant to the Judges of the Municipal Court of the Virgin 
Islands. 

From 1966 to 1969, Judge Finch served with distinction in the United States 
Anny — entering as a First Lieutenant and later attaining the rank of Captain. For 
his service, Judge Finch was awarded the Army Commendation Medal and the 
Bronze Star Medal. 

In 1976 Judge Finch was appointed to the bench of the Virgin Islands Municipal 
Court — the same coiut for which he had clerked a decade earlier. 

As a Virgin Islands Territorial Court Judge for the past seventeen years, Ray- 
mond Finch has garnered a well deserved reputation as a man who possesses excel- 
lent credentials and judicial temperament. 

Since 1980, he has served as the Administrative Representative of the Presiding 
Judge in the St. Croix Division, supervising all court personnel and coordinating all 
fiscal matters of the division. 

Judge Finch's confirmation wovdd stabilize a court which has endured a prolonged 
period of transition. 

Most importantly, as a native Virgin Islander, Judge Finch is thoroughly knowl- 
edgeable in local customs and conventions and is a highly-qualified, highly-respected 
member of our judicial and social communities. 

I urge this committee to give Judge Raymond Finch's candidacy its favorable con- 
sideration. 

Mr. Chairman, it is my privilege to introduce to your committee the Honorable 
Raymond L. Finch, Judge of the Territorial Court of the Virgin Islands and a nomi- 
nee for the District Court of the Virgin Islands. 

Mr. DE Lugo. And at this time, may I ask that the Chair recog- 
nize the Lieutenant Governor who has journeyed up from the Vir- 
gin Islands to support this nomination. 

Senator Metzenbaum. Happy to have you with us, Governor. If 
you have a short statement, go ahead and proceed. 

STATEMENT OF DEREK M. HODGE, LIEUTENANT GOVERNOR, 

U.S. VIRGIN ISLANDS 

Mr. Hodge. Thank you, Mr. Chairman. Ciood morning. 

Mr. Chairman, thank you for this opportunity to attest to this 
committee my support of President CHnton's appointment of Judge 
Raymond Finch to the U.S. District Court of the Virgin Islands. To- 
day's hearing ends a long struggle to advance Judge Finch to the 
Federal bench — a struggle that has spanned two decades and the 
administrations of more than one U.S. President. 



519 

I endorse Judge Raymond Finch and heartily urge this commit- 
tee to confirm him with dispatch. 

I hope that your confidence in him will match mine, because I 
know Raymond Finch from three perspectives: I know him for his 
brilliant career as a lawyer and his distinguished record as a judge 
in our local court. I know him as a fellow Virgin Islander. And I 
know him as a lifelong friend with whom I grew up. 

The modern political history of the Virgin Islands began at the 
end of the 1960's as the territory prepared for the popular election 
of its first Governor in November 1970. It was in those years also 
that our first native-born Federal judge, Almeric Leander Chris- 
tian, was appointed by President Nixon. This brilliant Crucian ju- 
rist served his people and his country with historic distinction for 
two decades as chief judge, and his presence on the bench served 
as an enduring symbol of justice, self-governance, and equality to 
all Virgin Islanders — and so it will be with Judge Finch. 

After Judge Christian's appointment, the next three appoint- 
ments to the second seat on our Federal bench were of individuals 
who, although undeniably part of our community, were not natives. 
These three men — Judge Warren Young, Judge David O'Brien, and 
our current Chief Judge Thomas Moore — each earned their ap- 
pointments because they were remarkable practitioners and schol- 
ars, because they understood the Virgin Islands and our diverse 
population, and because they chose to make our islands their home. 

They were Virgin Islanders — not by accident of birth but by 
choice. 

But for nearly 5 years, since the death of Judge O'Brien, the ter- 
ritory has been without its second permanent local judge. Many 
visiting Federal judges have filled this void at great cost to the U.S. 
Government, and for a few years — ^between Judge O'Brien's death 
and Judge Moore's appointment — even the position of chief judge 
was held by a visiting Federal jurist, U.S. District Court Judge 
Stanley S. Brotman. 

Judge Brotman made a great contribution to the Virgin Islands 
during that period, especially in the chaotic months after Hurri- 
cane Hugo devastated our homeland, and he continues to serve to 
this day. We will be forever grateful to Judge Brotman for his com- 
mitment and for his understanding in those years of transition and 
hardship. And the people of the Virgin Islands are equally appre- 
ciative of the scores of Judge Brotman's colleagues who have filled 
temporary positions on our district court. 

The list of these dedicated men and women is long, and my time, 
Mr. Chairman, is short. But with your permission, I would like to 
enter their names in the record of this proceeding with the com- 
mendation and appreciation of the people of the U.S. Virgin Is- 
lands. 

[The list follows:] 

Visiting U.S. District Court Judges to the U.S. Virgin Islands, 1989-94 

Stanley S. Brotman— Visiting Chief Judge 

Daniel H. Huyett, Jr., Edward N. Cahn, Joseph J. Faman, Ann E. Thompson, 
Clifford S. Green, Joseph L. McGlynn, Alfred M. Wolin, Lawrence W. Pierce, Ben- 
jamin F. Gibson, James L. Watson, Barbara Hackett, Leland Nielsen, Mark 
Constantino, Robert L. Carter, Wendell A. Miles, Frank Kaufman, James T. Giles, 



520 

John P. FuUam, Richard P. Conaboy, Aubrey E. Robinson, Robert F. Peckham, Ray- 
mond Broderick, William P. Gray, Morton I. Greenburg, Robert J. Kelleher, and 
Constance B. Motley. 

Mr. Hodge. Now comes the nomination of Judge Finch — and 
none too soon. 

Mr. Chairman, it is painful for me to acknowledge that our beau- 
tiful American paradise has not been immune to the same prob- 
lems of crime that afflict every U.S. locality. Although the fre- 
quency of this activity is no greater than any other American town 
with its share of unemployment, illicit drugs, recessionary econ- 
omy, idle youth, and shrinking public resources, every citizen feels 
personally the impact of every criminal incident because we are so 
small — ^three tiny islands, 140 square n^iles, 100,000 residents. 

But we are resolved to eliminate this scourge, and we have taken 
measures in the public and private sectors to win the battle. 

The criminal justice system is at the vanguard of this struggle, 
and as an integral part of that structure. Judge Finch's experiences 
as a deputy U.S. marshal, as an attorney, as a member of our Law 
Enforcement Planning Commission, as director of our Boys Club, 
as a judge of the territorial court, and as an occasional judge of the 
U.S. district court by special designation all speak eloquently to his 
fitness, his temperament, and his place in the Virgin Islands com- 
munity. 

Mr. Chairman, each of the Virgin Islands celebrates a cultural 
festival each year. On St. John, it is celebrated on the days leading 
to July 3 and 4, our local Emancipation Day and the U.S. Inde- 
pendence Day, respectively. On St. Croix, it is celebrated between 
Christmas and Three Kings' Day. And as Congressman de Lugo, 
who revived the tradition 40 years ago, can tell you and has just 
said, on St. Thomas, Carnival is being celebrated literally as we 
speak. 

In our rich culture, these celebrations recall the past, celebrate 
the present, and give us all hope for the future. From all walks of 
life, from all backgrounds, from many places of origin, our multira- 
cial, multicultural population celebrates at once our diversity and 
our commonality; our "Caribbean-ness" and our "American-ness"; 
our lifestyle and life itself. Most of all, these unique celebrations 
are the quintessential expressions of freedom — individual emanci- 
pation and the institutional freedoms and human rights only a 
country like ours can offer. 

And it is freedom I speak of when I ask you, Mr. Chairman, to 
give us this able jurist; give us this native son of our soil; give us 
Raymond Finch for our district court. 

Such a favorable decision will reaffirm our pride as Americans 
and our participation in the greatest democracy in history, and it 
will reaffirm our pride and identity as self-governing, self-judging 
Virgin Islanders. 

Thank you very much, Mr. Chairman. 

Senator Metzenbaum. Thank you very much. Governor. 

Justice Hodge, do you care to msike a statement? 



521 

STATEMENT OF HON. VERNE HODGE, PRESIDING JUDGE, 
VIRGIN ISLANDS TERRITORIAL COURT 

Judge Hodge. Mr. Chairman, I can assure you mine will be 
much briefer than that. 

Mr. Chairman, on behalf of the judges and staff of the territorial 
court, I am pleased to take this opportunity to recommend that 
your committee approve the nomination of one of our colleagues. 
Judge Raymond Finch, to the position of judge of the district court 
of the U.S. Virgin Islands. 

Judge Finch and I have served together on the territorial court 
bench since 1977, and I can, therefore, attest to his excellent per- 
formance during those 17 years. As a presiding judge of the court, 
I know that we will all regret losing his services if he is confirmed. 
But the appointment of native Virgin Islanders to Federal service 
in the Virgin Islands is such an imperative at this time that we 
strongly support his selection by President Clinton. 

While Judge Finch's qualifications by training, experience, and 
character are well documented in his file, I think you should know 
that he is a quiet, observant individual whose calm demeanor is 
complemented by his firm and decisive decisionmaking, thereby 
justifying my reference to him as one who wields an iron fist in a 
velvet glove. 

Accordingly, we recommend his confirmation, and, Mr. Chair- 
man, I have an even briefer statement that Governor Farrelly 
asked me to read briefly to you, and I have a copy of his statement. 
I would like to submit it to the committee for the record. He briefly 
states as follows: 

I wish to join many Virgin Islanders in my support of the nomination of Terri- 
torial Court Judge Raymond Finch to become the Federal District Court Judge for 
the District of the Virgin Islands. Because this position has been vacant since 1989, 
I am particularly pleased by your prompt scheduling of committee hearings on his 
nomination. I have had the privilege of nominating Judge Finch as a judge of our 
Territorial Court, and I am pleased to report that he has served in that position 
with distinction. 

It is beyond doubt, therefore, that he will continue to render outstanding service 
to the people of the Virgin Islands as a judge of the district court. Accordingly, I 
recommend that Judge Finch's nomination be given speedy confirmation by your 
committee. 

And this is signed by Alexander A. Farrelly, Ciovernor of the U.S. 
Virgin Islands. 

Thank you very much, Mr. Chairman. 

Senator Metzenbaum. Thank you very much, Judge Hodge. 

We will proceed in order. Judge Finch, if you would be good 
enough, we will call you back at a little bit later time. And I think 
we will now proceed to the nomination of Robert Henry, nominee 
to be U.S. Circuit Judge for the Tenth Circuit. 

This is a very difficult job for me, and so I thought that maybe 
Rachel and Josh might like to come up here and help me in this 
confirmation process. Rachel and Josh, would you like to come up 
here and sit while your Daddy is sitting over there? 

If they do not want to, don't embarrass them. [Laughter.] 

Mr. Henry. We think, Mr. Chairman, that my daughter will. She 
left momentarily. 

Senator Metzenbaum. OK. 



522 

Mr. Henry. One hesitates to give her another chance to say any- 
thing, but she might want to do that. 

Senator Metzenbaum. Mr. Finch, do you solemnly swear to tell 
the truth, the whole truth, and nothing but the truth, so help you 
God? 

Mr. Finch. I do. 

Senator Metzenbaum. Thank you. 

Do you care to make an opening statement? 

Mr. Henry. No, Mr. Chairman, I do not. 

Senator METZENBAUM. Dean Henry, if you are confirmed as an 
appellate judge, it is not at all unlikely that at some point you may 
be faced with applying a Supreme Court precedent with which you 
do not personally agree? Would you consider yourself bound by 
such a precedent? 

TESTIMONY OF ROBERT HENRY, OKLAHOMA CITY, OK, TO BE 
U.S. CIRCUIT JUDGE FOR THE TENTH CIRCUIT 

Mr. Henry. I believe, upon taking the oath, I am bound to follow 
precedent of the Supreme Court of the United States. 

Senator METZENBAUM. Your questionnaire indicates that you 
have served as a State representative with the Oklahoma House of 
Representatives, as a litigator in private practice, as the Attorney 
General of Oklahoma, and as the dean and professor of law at the 
Oklahoma City University School of Law. In what way do you be- 
lieve that your legislative, litigation, and academic experiences 
have prepared you for a position on the tenth circuit. 

Mr. Henry. Mr. Chairman, there are a variety of and great dif- 
ferent numbers and kinds of cases that come before the circuit 
court. My experience in the legal profession has been broad. I have 
been privileged to serve in the State legislature as an executive. 
Service in those branches has taught me and helped me under- 
stand the separation of powers, and I believe that my broad back- 
ground with the constraint I would feel from understanding how 
the other branches operate, I believe that would help me very 
much should I be privileged to be confirmed. 

Senator METZENBAUM. Rachel, would you like to come up here 
and help me in this hearing, or would you rather sit where you are, 
dear? 

[Pause.] 

Senator Metzenbaum. If you have any questions for your Dad, 
you can ask those, too. 

questioning by senator metzenbaum 

Since their inception, the Federal Sentencing Guidelines devel- 
oped by the Sentencing Commission have been the subject of de- 
bate, largely by reason of concerns about mandatory minimum sen- 
tences. What do you see as the pros and cons of mandatory sen- 
tencing? 

Mr. Henry. Well, as a judge, I would be obligated to follow the 
sentencing guidelines, and the debate has been a lengthy one. On 
the one hand, we have sought as a society to promote certainty, 
equality of sentencing. On the other hand, judges sometimes feel 
the need to look at particular circumstances where they might 



523 

want to make an adjustment based on one thing or another. That 
debate continues to rage. 

I am happy that this committee, Mr. Chairman, has had inter- 
action with the Federal judiciary to continue to discuss and mon- 
itor these developments, and I would have no problem following the 
guidelines. 

Senator Metzenbaum. What would you do if you were faced with 
a situation where you felt that the sentencing guidelines were just 
too harsh? 

Mr. Henry. Senator, I would be obligated to follow those guide- 
lines. 

Senator Metzenbaum. Your questionnaire states that as Attor- 
ney General of Oklahoma, you served as Chair of the Oklahoma 
Constitution Revision Study Commission. I understand that after 
2 years of review, the panel proposed a complete redrafting of the 
State Constitution. 

Would you care to discuss some of the significant changes in the 
Oklahoma Constitution that the commission proposed and the rea- 
sons behind those suggestions? 

Mr. Henry. Well, Mr. Chairman, Oklahoma's Constitution was a 
product of the progressive era around the turn of the century, and 
at the time it was written, it was the longest constitution ever 
penned by the hand of man. It included such wonderful things as 
the flash point of kerosene, and 

Senator Metzenbaum. The what? 

Mr. Henry [continuing]. The flash point of kerosene, and regula- 
tions for railroad passenger fares were set by constitution. Public 
officials were required by constitution to swear numerous oaths 
that they would not accept free rides on the railroads. 

Not meaning to besmirch William Jennings Bryan, who was a 
great man, he praised that constitution as being the greatest con- 
stitution ever struck off by the hand of man, greater than the Con- 
stitution of the United States. 

Well, Mr. Chairman, it was not. It was too long. It was too in- 
flexible. And we sought to vastly shorten it and mirror the majesty 
and flexibility of the U.S. Constitution. 

Senator METZENBAUM. I understand you were recently named to 
a new uniform committee to review the uniform evidence code to 
conform with Federal changes and to address new technologies not 
adequately handled by either the current Federal or uniform act. 

Would you be good enough to explain what new technologies this 
committee addressed and whether your experience has provided 
you with any insights concerning the challenges that Federal 
judges face? 

Mr. Henry. Mr. Chairman, the committee has not met yet. It 
will meet in Chicago at the Uniform Law Conference in July. The 
committee is concerned with several things that this committee has 
dealt with: videotaped depositions of witnesses, television, those 
sorts of things. And it seeks to suggest to the States that the States 
work together with the Federal Rules of Evidence so that we can, 
where uniformity is desirable, try to mirror the good work of the 
Federal Rules of Evidence. 

Senator Metzenbaum. Is there anything else that you would like 
to add. Dean Henry? 



524 

Mr. Henry. No, Mr. Chairman. 

Senator Metzenbaum. Do you solemnly swear that if you are 
confirmed as a circuit court of appeals judge that no matter how 
difficult a day is on the bench that you will be kind, considerate, 
and loving to Joshua and Rachel? [Laughter.] 

Mr. Henry. I will do everything in my power to do that. 

Senator Metzenbaum. Do you have any questions that you want 
to ask? 

She does not. OK. Thank you for coming and helping me. 

Mr. Henry. Thank you, Mr. Chairman. 

Senator Metzenbaum. Professor Batts, would you be good 
enough to come to the witness table? 

Do you solemnly swear to tell the truth, the whole truth, and 
nothing but the truth, so help you God? 

Ms. Batts. I do. 

Senator Metzenbaum. Do you have any little ones with you that 
you want 

Ms. Batts. Mr. Chairman, I am afraid to ask them to join you 
up there. [Laughter.] 

Senator Metzenbaum. Whatever your pleasure. We would be 
happy to have them if you wanted them. 

Do you have an opening statement. Professor? 

TESTIMONY OF DEBORAH BATTS, NEW YORK, NY, TO BE U.S. 
DISTRICT JUDGE FOR THE SOUTHERN DISTRICT OF NEW 
YORK 

Ms. Batts. Mr. Chairman, the only opening statement that I 
would like to make is that my twin sister, Diane Batts Morrow, 
and her husband, John Howard Morrow, and their children, Kieran 
and Evan Batts Morrow, were not able to be here today, but they 
are here with me in spirit. Thank you. 

QUESTIONING BY SENATOR METZENBAUM 

Senator METZENBAUM. We miss them, and we are glad to know 
that they are here with you in spirit. I am sure that had they been 
able to, they would have been pleased to be here on this very mo- 
mentous occasion. 

You have been a law school professor at Fordham University 
since 1984. Why do you want to switch gears at this time? 
Wouldn't the life of being a professor be more relaxing and com- 
fortable? 

Ms. Batts. Without question, Mr. Chairman, the life of a profes- 
sor, I think, has been a delightful one. I have had many wonderful 
experiences and have taught literally thousands of students 
throughout the years. 

I do feel, however, that the honor and the challenge of being a 
Federal district court judge would make leaving the life of ease of 
a professor definitely worthwhile. 

Senator Metzenbaum. Professor Batts, tell us something of your 
background. I notice you went to Radcliffe. How were you able to 
go to Radcliffe? Was it a scholarship? Was your family able to pro- 
vide? 

Ms. Batts. I was extremely lucky. My father, who unfortunately 
passed away in 1992 and, therefore, obviously is not able to be with 



525 

me today except also in spirit, was a wonderful man and a good 
provider for his family. He was a doctor, and, in fact, at the time 
I started college, he became a professor of obstetrics and gyne- 
cology, so that I was extremely lucky to have had the benefits of 
a loving father and mother, and my sisters as well. 

Senator Metzenbaum. Your Dad passed away in 1992? 

Ms. Batts. Yes. 

Senator Metzenbaum. It is a sad commentary that he could not 
be with you on such a momentous occasion. 

You also served as an assistant U.S. attorney for the Southern 
District of New York for years, and I think you took that position 
after you had been with Cravath, Swaine & Moore for 6 years. 

How did you happen to make the change from the private sector 
to the public sector, and I would guess with some financial sacrifice 
as well? 

Ms. Batts. Mr. Chairman, I think that I have had an extremely 
fortunate and lucky professional career. Every time that I have 
made a switch in career, it has always been at a point when I have 
truly enjoyed what I was doing before I made the switeh. I think, 
though, that you have wisely caught on that as my job satisfaction 
increased, my financial remuneration kept going down, so that I 
have a downwardly mobile financial spiral. This is true. 

Senator METZENBAUM. When you were in the U.S. district attor- 
ney's office, what kind of work did you do? 

Ms. Batts. I was in the criminal division, Mr. Chairman, and I 
had a variety of cases. I dealt with some international art theft 
cases, armed bank robbery, bank embezzlement, tax evasion, immi- 
gration cases, a wide variety. I did not, however, have much experi- 
ence, if any, in narcotics or in major crimes, that is, organized 
crime. 

Senator Metzenbaum. You say you have not had experience? 

Ms. Batts. I have not. 

*^enator Metzenbaum. You have written a number of public pub- 
lications and served on a number of committees that address devel- 
oping areas of family law such as family leave. Would you give us 
some idea of the thrust of those articles, please? 

Ms. Batts. Mr. Chairman, the work that I did involving family 
leave particularly was work that I did as a member of the Sex and 
Law Committee of the Bar Association of the City of New York. 
And New York State at that time had proposed some legislation 
dealing with family leave, and our committee — and I was one of the 
members of the subcommittee — worked on trying to make com- 
ments and helpful points and amendments to the suggested legisla- 
tion by New York State. 

I have written in the area as well. I wrote an article dealing with 
whether or not we should have a right to inheritance for children. 
I believe also that I still mean what I said in the first footnote of 
that article, which is that my parents should take that article very 
seriously because I did recommend that children should have a 
right to inheritance. And I also said that my children should not 
take it very seriously. [Laughter.] 

Senator Metzenbaum. If you are confirmed as a Federal district 
court judge, which I assume you will be, at some point you may be 
faced with applying a second circuit court precedent with which 



526 

you do not personally agree. Would you consider yourself bound by 
such a precedent? 

Ms. Batts. Absolutely, Mr. Chairman. As a Federal district court 
judge in the Southern District of New York, I would be absolutely 
bound by second circuit precedent. 

Senator Metzenbaum. Of course, you may also be faced with 
cases involving issues on which the second circuit has not ruled. 
Can you give us any idea of the perspective that you would bring 
to a case in which there was no precedent, no Supreme Court deci- 
sion, a matter of original issue, and how you might approach it as 
a jurist? 

Ms. Batts. Mr. Chairman, what I would attempt to do is to find 
the nearest analogous situation where there is precedent and to be 
guided by that to see if that could help me in terms of figuring out 
where to go on that new issue. But I would certainly use precedent 
as a basis for attempting to see where that precedent would lead. 

Senator Metzenbaum. Rule 11 of the Federal Rules of Civil Pro- 
cedure allows judges to impose sanctions against lawyers or parties 
who file frivolous lawsuits. Recently, there has been much debate 
over the courts' increased willingness to punish litigants under rule 
11. Some lawyers argue that the rule is being applied to chill pur- 
suit of creative arguments in developing areas of the law such as 
civil rights. 

Given your experience as a litigator whose practice has become 
more defense-oriented over the past 2 years, what do you think of 
these concerns, and how might you respond to them in the court- 
room? 

Ms. Batts. Mr. Chairman, I think that the debate is well rep- 
resented on both sides. I can see, indeed, the need initially which 
created rule 11, where people felt that the courts were being inun- 
dated with frivolous lawsuits, and I believe that there are cases 
where, indeed, the application of rule 11 sanctions are appropriate. 
But in each instance, I think that the best way of dealing with it 
would be looking at the particular facts before me. I think that, in- 
deed, yes, there could be times when there was abuse of rule 11 
and other times when application of rule 11 is totally appropriate. 
But each case would be the basis upon which to make that deter- 
mination. 

Senator Metzenbaum. I have become disturbed about the appli- 
cation of rule 11 because I could see where, in years past, and 
maybe even now, some civil rights cases, human rights cases, 
rights of minorities of all kinds, might have been looked upon 
askance by the court, and that the lawyers practicing in those 
areas might very well have felt constrained as far as going forward 
if they were going to suffer a penalty. 

Do you have any thoughts on that subject? 

Ms. Batts. Mr. Chairman, I think that there is a distinction be- 
tween novel and frivolous, and I believe that if rule 11 is appro- 
priately applied, it would restrict or inhibit frivolous lawsuits as 
opposed to individuals seeking redress for wrongs through the 
court which may not have been brought before. So hopefully, jurists 
are able to make that distinction, and I would hope that I would 
be able to do so as well. 



527 

Senator Metzenbaum. I noticed as I glanced through the cases 
in which you were involved, it appears that you were on the de- 
fense side in the main. Is that the case? 

Ms. Batts. No, Mr. Chairman. In active cases, I was the assist- 
ant U.S. attorney who was prosecuting the case on behalf of the 
U.S. Government. 

Senator METZENBAUM. I see. OK. Thank you very much, and I 
wish you well in your new endeavor. 

Ms. Batts. Thank you very much, Mr. Chairman. 

Senator METZENBAUM. Our next witness is Judge Raymond 
Finch. 

Judge, do you solemnly swear to tell the truth, the whole truth 
and nothing but the truth, so help you God? 

Judge Finch. I swear. 

Senator METZENBAUM. Do you have any young members of the 
family that you would like to have help me up here? 

Judge Finch. No, I do not. Senator. 

Senator METZENBAUM. Judge Finch, do you have an opening 
statement that you care to make? 

TESTIMONY OF RAYMOND FINCH, KINGSHILL, ST. CROIX, VI, 
TO BE U.S. DISTRICT JUDGE FOR THE DISTRICT OF THE VIR- 
GIN ISLANDS 

Judge Finch. Not per se, Mr. Chairman, except to express my 
deep appreciation for the honor of being here today. 

QUESTIONING BY SENATOR METZENBAUM 

Senator Metzenbaum. Let me ask you a question. Is the former 
Senator from Massachusetts with whom I served, is he in the Vir- 
gin Islands these days or is he in the States? I am speaking of 

Judge Finch. Is that Edward Brooke? 

Senator Metzenbaum. Ed Brooke, yes. 

Judge Finch. No; he is not in the Virgin Islands these days. Sen- 
ator. 

Senator Metzenbaum. I see. 

Judge Finch. I think he might be on the island of St. Maarten. 

Senator Metzenbaum. There has been a great deal of attention 
paid to the increased caseloads of Federal courts and the resulting 
problem of docket backlogs. Newspaper accounts state that 17.6 
percent of the civil cases in the Virgin Islands pend for 3 or more 
years and that few jurisdictions have a higher backlog. 

Now, a backlog, as you well know, has an adverse effect on the 
litigants before the court who have been forced to suffer at least 
some delay in the resolution of their claims. 

Can you tell us what you know about the reason for the backlog 
which is so high in the Virgin Islands? 

Judge Finch. The primary reason for that backlog, Mr. Chair- 
man, is because of the fact that we do not have a permanent U.S. 
district court judge assigned to the Virgin Islands, and a result of 
that, only criminal cases are heard in the U.S. district court. Civil 
cases have not been processed since 1989. 

Senator Metzenbaum. That is a real travesty. If confirmed, what 
steps will you take to ensure that the docket is caught up as quick- 
ly as possible, being both fair and reasonable? 



528 

Judge Finch. Mr. Chairman, I believe firmly that a hands-on ap- 
proach by the judge, who works very closely with the clerk of the 
court and is deeply involved in the processing of the cases, helps 
to a large extent to move cases along. I do not believe that a judge 
should sit back in his chambers and await for cases to flow to him. 
I believe that he should be actively involved in the processing of 
those cases. I have done that in the past, and it has worked. 

Senator Metzenbaum. Would you make a special effort to bring 
that backlog of cases up to a current period? 

Judge Finch. If I am confirmed, Mr. Chairman, I shall make 
that special effort. 

Senator Metzenbaum. If confirmed, at some point you could be 
faced with applying a decision of the court of appeals for the third 
circuit with which you disagree. Would you have any difficulty ap- 
plying and enforcing precedents with which you did not agree? 

Judge Finch. No, Mr. Chairman. I have absolutely no problems 
in applying precedent. 

Senator Metzenbaum. Is there any special area of the law. 
Judge Finch, which has been of particular interest to you, whether 
it is a Federal law or a Virgin Island law? Is there any particular 
area of concern or interest for you? 

Judge Finch. Yes, Mr. Chairman. I am very concerned with juve- 
nile laws, the structure of the domestic relations court, and the 
process of juvenile cases in that court. In our time, we are now ex- 
periencing an influx of minors in the courtroom for serious and not- 
so-serious offenses. And I believe that it is time that the juvenile 
courts be properly staffed, and not only with support personnel but 
with judges so as to give minors the proper guidance and direction 
which they need from the judiciary. 

Senator Metzenbaum. Do the district courts of the Virgin Is- 
lands have different kinds of cases than you might find in the 
States? 

Judge Finch. That is so. It was more so up until January of this 
year. The U.S. District Court of the Virgin Islands hears criminal 
cases to a larger extent than the U.S. district courts in the U.S. 
mainland. As of January of this year, a large part of the local 
criminal caseload was shifted to the territorial court. So now that 
is not such a big problem in the U.S. district, but still, nonetheless, 
there are those cases, those criminal cases which the district court 
may still hear. 

Senator Metzenbaum. The committee has heard from many indi- 
viduals who support the appointment of a native Virgin Islander to 
this judicial vacancy. I understand from your questionnaire that 
you were bom in the Virgin Islands, and after completing law 
school in the United States at Howard University, you returned to 
clerk for the Virgin Islands Municipal Court and then went on to 
practice with the law firm of Hodge, Sheen, Finch & Ross. 

How do you feel that your background and experiences in private 
practice and on the bench in the Virgin Islands have prepared you 
for this position? 

Judge Finch. Well, my experience in private practice was very 
general, and I did that general practice for a number of years. And 
in the municipal court and the territorial court, my experience has 
been broad-based. I have done all kinds of cases, from traffic court 



529 

through the domestic relations type cases, divorces, probates. I 
have done criminal cases, admiralty cases. So with that broad- 
based experience, I think I can bring a wealth of experience to the 
U.S. court. 

Senator Metzenbaum. In evaluating candidates for the bench, 
this committee has traditionally looked not only at the nominee's 
credentials and professional background, but also at the question 
of temperament. I have to say that good temperament and de- 
meanor are characteristics which, I think everyone would agree, 
are some of the most important qualities needed in a judge. 

I understand that since 1979 you have served on the Judicial 
Ethics Committee of the American Judges Association. Your ques- 
tionnaire states that this committee reviews cases involving allega- 
tions of past judicial misconduct. Given your background and prior 
experience on this committee, would you tell us about the role and 
significance of judicial temperament and indicate what elements of 
this temperament you consider most important? 

Judge Finch. One of the factors in temperament that I consider 
to be most important is patience, and courtesy. Particularly in the 
Virgin Islands where the tradition has been to allow litigants, not- 
withstanding the fact that they are represented by counsel, to ad- 
dress the court. And I think that I have exhibited that degree of 
patience over the years that has stood me well. 

I pride myself in not being result-oriented, and that comes, of 
course, from years on the bench, and it comes from being patient 
and listening to all of the evidence that flows from the litigants. 

Senator Metzenbaum. Thank you very much. Judge Finch, and 
I wish you well. I feel certain that the committee will look favor- 
ably on your nomination. 

Judge Finch. Thank you, Mr. Chairman. 

Senator Metzenbaum. Our last witness is of particular interest 
and concern to me since I was one of those two Senators who nomi- 
nated Dean Solomon Oliver for this position. So I am very happy 
to see you here now. 

I see some young members of your family here. Dean Oliver, 
would you care to introduce me to them and let me invite them to 
join me up here if they would like to. 

Mr. Oliver. Yes, Mr. Chairman, I would like to introduce my 
family. Senator Glenn did introduce certain members of my family, 
and he had the others stand. But because my family is so impor- 
tant to me and has been over the years, if you do not mind, I would 
like to take a little bit of time to introduce those who are here. 

Senator Metzenbaum. Take as much time as you would like. 

Mr. Oliver. You already met my wife, Louisa, but I would like 
them to stand, and they can sit down immediately, if they would 
like, after I call their names: My wife, Louisa; my son, Solomon Mi- 
chael Oliver, who is a freshman at Amherst College; my son, Jona- 
than Douglas Oliver, who is in his last year of high school and is 
trjdng to make up his mind from some good choices right now. My 
father. Rev. Solomon Oliver, Sr., and my stepmother. Queen Oliver; 
my sister, Mary O. White; my sister, Eunice O. Boswell; my broth- 
er-in-law, Alexander Boswell; my sister, Barbara O. Richards, and 
her son, Timothy; my sister, Diane O. Gibson, and her sons, John 
Gibson and Phillip Gibson, and her daughter, Sallee Nicole; my 



530 

brother, Daniel Oliver; my brother, Nathan Oliver, Sr., and his 
sons, Nathan Oliver, Jr., and William Leigh Oliver; my niece, Anita 
Winfield, and her children, Nia Winfield and Cameron Winfield. 

I would like to say that I am sorry that my other three brothers 
could not be here. They wanted to be, but they had obligations 
which kept them from being here: my brother, Leroy, my oldest 
brother; my brother, Paul, who is a lawyer and an excellent one in 
his own right; and my brother, David. 

I am also sad that my mother, Willie Lee Oliver, could not be 
here. She was so instrumental in raising all of us and giving us, 
along with my father, obviously, Reverend Oliver, their most ster- 
ling examples to us all. 

I have two CSU Cleveland-Marshall College of Law — that is 
where I teach — colleagues here. They surprised me this morning: 
Assistant Dean Louise Dempsey and Administrative Assistant Lou- 
ise Mooney. They flew down early this morning about 6 o'clock, and 
I just wanted to recognize them. 

Thank you very much for giving me the opportunity to introduce 
them. 

Senator Metzenbaum. Thank you. Now, I am going to say to all 
of the young people that you introduced — that goes up to about 21, 
I guess, including your 2 sons — you are all welcome to come up 
here and sit and listen during this hearing. If any of you wants to 
come up, just come right on up. 

There is kind of a symbolism, Mr. Oliver, in bringing the chil- 
dren up, because in the last analysis, so much of what we do re- 
lates to the future of their lives, and so much of what you would 
be doing on the court relates to children and the kind of life we all 
live. Some of us will pass on, but they have a whole future ahead 
of them, and I am very glad that you are here. 

Do you understand what this is? We are deciding, the seven of 
us, we are going to have to decide if that man, who is related to 
you, Mr. Solomon Oliver, whether or not he should be a judge. So 
when he gets done speaking, I am going to have a vote. So you pay 
close attention to what is said. OK? All right. And no speaking out 
during the questioning. I will do the questioning, and you will do 
the voting when we get done. 

Mr. Oliver, do you solemnly swear to tell the truth, the whole 
truth, and nothing but the truth, so help you God? 

Mr. Oliver. I do. 

Senator Metzenbaum. Do you have an opening statement? 

Mr. Oliver. No; I do not, Mr. Chairman. 

questioning by senator metzenbaum 

Senator Metzenbaum. You have served as a law clerk to a man 
who is unquestionably one of the most distinguish ed Federal appel- 
late judges this Nation has ever had and, in the opinion of this 
Senator, should have been on the Supreme Court. You have also 
served as an assistant U.S. attorney and as a law professor. 

How have these experiences prepared you to be a Federal district 
court judge? 



531 

TESTIMONY OF SOLOMON OLIVER, JR., CLEVELAND HEIGHTS, 
OH, TO BE U.S. DISTRICT JUDGE FOR THE NORTHERN DIS- 
TRICT OF OHIO 

Mr. Oliver. Each one of those experiences you mentioned, Mr. 
Chairman, I think has prepared me to be a Federal judge, has con- 
tributed to my preparation. I think clerking for Judge William H. 
Hastie, who, as you say, was a great judge — he was the first Afri- 
can-American judge to sit on the Federal court — was a wonderful 
experience. 

Senator Metzenbaum. He was the first African-American to sit 
as a Federal judge in this country's history? 

Mr. Oliver. That is correct. 

Senator Metzenbaum. I did not know that. 

Mr. Oliver. Initially, he sat in the Virgin Islands in the terri- 
torial court, but he was the first article III judge as well. He was 
appointed by President Truman in 1949 to the third circuit court 
of appeals. He was a man who was well trained in the law, who 
had a distinguished background when he came to the court, a won- 
derful temperament, and working under him, I not only learned 
what clerks learn about the full range of the kinds of legal issues 
that come before the court, but I think I learned how one ought to 
behave and how one ought to conduct oneself from one of the top 
people who served as a Federal judge. So that was a wonderful ex- 
perience. 

I worked in the U.S. attorney's office, and, of course, as you 
know, the United States is the litigant that comes before the Fed- 
eral court more often than any other. And so I got to work on a 
large range of cases there. I also was 

Senator Metzenbaum. Under who? 

Mr. Oliver. In the U.S. attorney's office in Cleveland when 
President Carter was the President of the United States, Jim Wil- 
liams was the U.S. attorney in our district. I was chief of the civil 
division for almost 4 years. I was chief of appellate litigation. And 
being chief of appellate litigation, I was in charge of both civil and 
criminal appeals that went before the sixth circuit. So I think that 
experience has contributed to my knowledge of Federal cases, and 
I think that has been a wonderful experience. 

I also have been teaching for the last 12 years at Cleveland-Mar- 
shall College of Law, and I teach courses that involve litigation in 
the Federal courts. I teach a course on Federal jurisdiction. I teach 
a course on Federal civil procedure and a course on child advocacy. 
These are all courses, I think, which have made me very aware of 
the Federal court system, the kinds of issues raised and the com- 
plexities that are involved in the cases that come before the court. 

Senator Metzenbaum. You indicated you have given legal advice 
to disadvantaged clients on a pro bono basis and that you have 
served on the board of a fair housing organization and the board 
of FHC Housing Corp. which backs loans made by banks for home 
repairs to persons who have poor credit. 

What role, if any, do you think a judge has in ensuring that the 
poor and disadvantaged have access to the legal system? 

Mr. Oliver. I think the judge and the legal profession itself has 
an obligation, both have an obligation to ensure the disadvantaged 
have representation. But as a judge, I think that especially in the 



532 

criminal context, there are certain laws which require that criminal 
defendants be afforded counsel. And I would try to make sure in 
choosing counsel, for example, for indigents that they have com- 
petent counsel. I think, though, that in our profession a judge can 
set the tone by serving with other members of the bar to create a 
culture where lawyers feel that it is their obligation to give to those 
who cannot afford. I think we have got to do that in our profession 
if the profession is to work properly. 

Not all persons can afford a lawyer, and yet our legal system op- 
erates on the basis of having lawyers. And so I would make it very 
clear in any capacity that I would have, as a judge and otherwise, 
that lawyers ought to give something back, that they ought to feel 
some duty to help those who are disadvantaged. 

Senator Metzenbaum. Mr. Oliver, I, just as a member of the 
public and not necessarily as a Senator, have had a great concern 
about the number of cases where I hear some individual commits 
a heinous crime or maybe a crime of securities fraud, bank fraud, 
something of the kind, well represented by counsel, winds up being 
found guilty or pleads guilty, gets 1 year or 3 years or 5 years, the 
sentence is suspended, and then is given 200 hours of community 
service, winds up really doing very little of that. If he did, it really 
did not make that much difference. 

I have concluded that it is a terrible kind of justice. You only get 
this kind of arrangement if you are represented by high-priced law- 
yers, normally. And I am just wondering about your own reaction. 
You will be dealing with some criminal cases as well as civil cases. 
What do you think of this idea of so many suspended sentences? 
Sometimes I read articles in the paper about some of the judges 
suspending sentences, and it is revolting to me. It is repulsive. 

You are going to be a judge. Give me your reaction to this treat- 
ment of defendants who have either pled guilty or been found 
guilty. 

Mr. Oliver. Senator, I could only say that if I am appointed to 
be a Federal judge, I will try to be equal in my treatment of the 
defendants who come before the court, that I will try to be even- 
handed in the way that I participate and rule on sentencing issues 
and other issues. That is really I think all I could say, is that you 
could trust that I would be fair across the board with all kinds of 
defendants from all kinds of backgrounds and all kinds of cases. 
That would be my aim. 

Senator METZENBAUM. Would you have any difficulty applying or 
enforcing precedents set by the sixth circuit even in those cases 
which you disagree with the conclusion of the sixth circuit? 

Mr. Oliver. I would have no difficulty. As a district judge, it 
would be my duty and responsibility to apply the law as it exists, 
and that law would include the laws interpreted by the sixth cir- 
cuit, and so I would have no difficulty doing that, even in the face 
of some disagreement personally. 

Senator METZENBAUM. Congress is contemplating legislation 
aimed at reducing pervasive overcrowding in Federal courts by al- 
lowing Federal judges to assign some of their smaller cases to 
court-appointed arbitrators. Some suggest that settling appropriate 
cases early would relieve some of the docket backlog. While that 



533 

may be true, some litigants would prefer their day in court even 
more than a favorable settlement. 

I know you have served on the Civil Justice Reform Act Advisory 
Group for the Northern District of Ohio since 1991, and you have 
also served as a member of a panel of Federal court mediators and 
arbitrators appointed by the judges of the Northern District of 
Ohio. 

Given your experience, what role do you think arbitration should 
have in Federal court, and what role, if any, do you intend to play 
in the settlement process? 

Mr. Oliver. As you pointed out. Senator, I have been on the 
Civil Justice Reform Act Advisory Group in the Northern District 
of Ohio, and that group recommended arbitration, mediation, and 
early neutral evaluation as ways to help reduce the backlog of 
cases in that district. We also suggested some other things. 

I think arbitration and mediation and other alternate dispute 
resolution devices can be very helpful in alleviating backlog and 
delay in the Federal system. I do not think it in any way could be 
or should be mandatory. I think if a party decides they really want 
their day in court, they should have it. 

However, I think a lot of parties now are coming to realize the 
benefits, with some explanation, the benefits of having these de- 
vices available. If I were confirmed, appointed as a judge, I would 
try to make use of those devices. As you say, I have been already 
involved by volunteering my time in our district court hearing some 
of those cases as a mediator, as an early neutral evaluator, to help 
move along some of those cases, and they have settled. So as a 
judge, I will be trying to use the lawyers who do work for free in 
the Northern District of Ohio to help evaluate some of those cases 
and move them along. 

In terms of my role in settlement as a judge, I would try to facili- 
tate it. Again, I would not strong-arm the parties, but I would meet 
with them early, and I would meet with them often, and I would 
try to encourage them to — try to help them do a realistic evaluation 
of their case and to see if we can get a meeting of the minds. Be- 
tween 90 and 95 percent of the cases in the Federal courts do set- 
tle. They are settling too late in some instances. They should settle 
much earlier. And I would be involved in trying to facilitate that. 

Senator Metzenbaum. Thank you very much, Mr. Oliver. 

Do you think that secrecy orders are sometimes overused in seal- 
ing cases, particularly those involving public health and safety? 

Mr. Oliver. I cannot really say whether they are overused or 
not. Senator, but I would say that it is important to balance kind 
of the right of citizens to know. If we are going to live in a demo- 
cratic society and people are going to make informed judgments, we 
are going to have to be as open as we can. 

However, I do realize, based on then representing parties myself 
before the court in very delicate situations, that there are some cir- 
cumstances under which there is a need to seal. So I could not say 
without the facts and circumstsinces whether a particular situation 
would be appropriate, but I would be mindful of the need to bal- 
ance the interests of the litigants in not revealing certain propri- 
etary information with that of the public and their interest in 
knowing and their right to know what is going on. 



534 

Senator Metzenbaum. Thank you very much, Mr. OUver. Now 
the final decision is about to be made. 

Do you think that he should become a judge? 

Nathan Oliver, Jr. Yes. 

Senator Metzenbaum. Yes. How do you feel? 

William Leigh Oliver. I think he should be a judge. 

Senator Metzenbaum. Do you think he would be a good judge? 
OK. 

John Oliver Gibson. Yes. 

Senator Metzenbaum. Yes? OK. How is your vote? 

Philip Gibson. Yes. 

Senator Metzenbaum. Can't hear you. 

Philip Gibson. Yes. 

Senator Metzenbaum. Yes? OK. All right. [Laughter.] 

Mr. Oliver. I was worried there for a moment. 

Senator Metzenbaum. Now we have two more. Do you think he 
will be a good judge? 

Timothy Richards. Yes. 

Senator Metzenbaum. OK. All right. And how about you, young 
lady? Yes? 

Nia Elizabeth Winfield. Yes. 

Senator Metzenbaum. Well, Mr. Oliver, on the basis of these six, 
you are a judge. 

Mr. Oliver. I would hope that the committee would be as favor- 
able, Mr. Chairman. 

Senator Metzenbaum. I will report this to the other members of 
the committee and to the U.S. Senate. I think it will make a big 
difference in their deliberations. 

Thank you very much, Mr. Oliver. 

Mr. Oliver. Thank you, Mr. Chairman. 

Senator Metzenbaum. With that, this committee stands ad- 
journed. 

[Whereupon, at 11:33 a.m., the committee was adjourned.] 

[Submissions for the record follow:] 



535 



SUBMISSIONS FOR THE RECORD 



UNITED STATES SENATE 
Conunittee on the Judiciary 
Washington, DC 20510-6275 

QUESTIONNAIRE FOR JUDICIAL NOMINEES 

I. BIOGRAPHICAL INFORMATION (PUBLIC) 

Full name (include any former names used.) 

Robert Harlan Henry 

Address: List current place of residence and office address (es). 

Home: 322 Northwest 15th Street 

Oklahoma City, Oklahoma 73103 

Office: Oklahoma City University School of Law 
Office of the Dean 
2501 North Blackwelder 
Oklahoma City, Oklahoma 7 3106 

Date and place of birth. 

April 3, 1953; Shawnee, Oklahoma 

Marital Status (include maiden name of wife, or husband's name). List 
spouse's occupation, employer's name and business address(es). 

Married 

Dr. Janice Loraine Ralls Henry (Maiden name: Baker) 

Dentist and Instructor 

University of Oklahoma College of Dentistry 

Division of Community Dentistry 

Native American Center of Excellence Consortium 

1001 Stanton L. Young Boulevard 

Oklahoma City, Oklahoma 73104 

Education : List each college and law school you have attended, 
including dates of attendance, degrees received, and dates degrees were 
granted. 

University of Oklahoma 

Norman, Oklahoma 

1971-1974 

Bachelor of Arts (with High Honors) 

May 1974 

University of Oklahoma 
College of Law 
Norman, Oklahoma 
1974-1976 
Juris Doctor 
December 1976 



* 



536 



Employment Record . List (by year) all business or professional 
corporations, companies, firms, or other enterprises, partnerships, 
institutions and organizations, nonprofit or otherwise, including 
firms, with which you were connected as an officer, director, partner, 
proprietor, or employee since graduation from college. 

June 1991 - Present 

Dean and Professor of Law 

Oklahoma City University School of Law 

2501 North Blackwelder 

Oklahoma City, Oklahoma 73106 

January 1987 - June 1991 
Attorney General of Oklahoma 
Office of Attorney General 
State Capitol 
Oklahoma City, Oklahoma 73105 

October 1983 - January 1987 

Partner 

Henry, Henry & Henry 

4419 North Bryan 

Shawnee, Oklahoma 74801 

May 1977 - October 1983 
Associate (later Partner) 
Henry, West, Sill & Combs 
231 North Broadway 
Shawnee, Oklahoma 74801 

November 1976 - Noyember 1986 
State Representative 
Oklahoma House of Representatives 
State Capitol Building 
Oklahoma City, Oklahoma 73105 

May 1976 - May 1977 
Legal Intern 
Henry, West & Sill 
231 North Broadway 
Shawnee, Oklahoma 74801 

Partnerships: 

June 93 - Present 

Henry's Antiques 

322 Northwest 15 

Oklahoma City, Oklahoma 73103 

Organizations: 

Boy Scouts of America, Last Frontier Council, Board of Directors, 

1989 - 1991 
Jasmine Moran Foundation Children's Museum, Advisory Board, 1990 - 

Present 



537 



KCSC Radio, Board of Directors, 1986-88 

League of Women Voters of Oklahoma, Member, Financial Advisory 

Committee, 1991 - Present 
National Conference of Christians and Jews, Oklahoma City Region, 

Board of Directors, 1991 - Present; currently President 
Oklahoma Nature Conservancy, Board of Directors, 1991 - Present 
Oklahoma Federation of Parents, Board of Directors, 1989 
Oklahoma Academy for State Goals, Executive Committee, 1989 - 

Present 
Oklahoma University Press, Board of Visitors, 1989 - Present 
Oklahoma Independent Colleges Foundation, Board of Directors, 1990 - 

Present 
Oklahoma Alliance against Drugs, Board Member, 1988 - 1989 
REST (Project of Downtown Outreach Committee, Inc.)/ Board of 

Directors, 1989 - 1990 
Southwest Regional Center for Drug Free Schools and Communities, 

Board Member, 1989 - 1990 
St. Gregory's College (Catholic-Benedictine), Board of Directors, 

1983 - Present; formerly Chair of the Board, 1986 - 1990 
Western History Collection of the University of Oklahoma, Board of 

Trustees, 1991 - Present 

7. Military Service ; Have you had any military service? If so, give 
particulars, including the dates, branch of service, rank or rate, 
serial number and type of discharge received. 

No 

8. Honors and Awards ; List any scholarships, fellowships, honorary 
degrees, and honorary society memberships that you believe would be of 
interest to the Committee. 

University Scholar - University of Oklahoma, 1971 

United States Senate Youth Program, William Randolph Hearst Foundation 

Scholar, 1971 
National Winner of Elk's Leadership Award (Named by United States 

Senators Ernest Hollings and Barry Goldwater) , 1971 
Legislator of the Year - Oklahoma Trial Lawyers Association, 1979 
Distinguished Service Citation - Oklahoma Baptist University Alumni 

Association, 1982 
Appreciation of Sincere Efforts for Promotion of Pakistan-American 

Friendship - Pakistan Student Association, University of Oklahoma, 

1983 
National Black Caucus of State Legislators and Oklahoma Legislative 

Black Caucus A. C. Hamlin Award, 1984 
Outstanding Young Men of America, 1986 

Annual Human Rights Award - Oklahoma Human Rights Commission, 1988 
Outstanding Assistance - Oklahoma Chapter of International Association 

of Arson Investigators, 1988 
Outstanding Comrounication and Leadership - Toastmasters, International, 

1988 
Certificate of Appreciation - Oklahoma Crime Victims Compensation 

Board, 1988 
Three Outstanding Young Oklahomans - Oklahoma Jaycees, 1988 
Outstanding Young Men of America, 1989 



538 



Recognition and Appreciation for Service - Asian-American Leadership 

Conference/Asia Society of Oklahoma, 1990 
Certificate of Appreciation - Association of Oklahoma Narcotics 

Enforcers, 1990 
Conservationist of the Year - Oklahoma Wildlife Federation, 1990 
Oklahoma Indian Bar Association Award ("For Outstanding Service to the 

Profession and for Improving Relations Among the Tribes and the 

State"), 1991 
Participant, United States Department of Justice, Federal Bureau of 

Investigation, "Addressing Violent Crime Through Community 

Involvement," October 15-18, 1991 
Farmers Union Award, 1991 
Phi Beta Kappa - Alumni membership for leadership in the study of the 

constitution of the state, 1993 
Oklahoma City Chapter of Hadassah - Myrtle Wreath Award: Contribution 

Towards the Betterment of the World in Humanitarianism, 1993 

Bar Associations ; List all bar associations, legal or judicial-related 
committees or conferences of which you are or have been a member and 
give the titles and dates of any offices which you have held in such 
groups. 

Oklahoma Bar Association, 1977 - Present 

Uniform Laws Committee, 1988 - Present 

American Bar Association, 1991 - Present 

National Conference of Commissioners on Uniform State Laws Commissioner 

for Oklahoma, 1982 - Present 

"Victims of Crime" Drafting Committee, 1989 - Present 
"Civil Forfeitures" Drafting Committee, 1991 - Present 
Study Committee on the Uniform Rules of Evidence, 1993 - 
Present 
Oklahoma County Bar Association, 1992 - Present 

Oklahoma Fellow of the American Bar Foundation, June 1992 - Present 
American Inns of Court, William J. Holloway, Jr. Inn, Master, Appointed 

by Federal District Judge Layne Phillips, 1989 - Present 
Oklahoma Trial Lawyers Association, 1993 - Present 
National Association of Attorneys General, 1987 - 1991 

Supreme Court Committee: Member, 1988-1991; Chair, 1991 

State Supreme Court Project Advisory Committee: Member, 1988 - 
1989 

State Constitutional Law Advisory Committee: Member, 1989-1991; 
Chair, 1990-1991 

Agriculture and Rural Legal Affairs Committee: Chair, 1988 - 1990 

Civil Rights Committee: Vice Chair, 1990-1991 
Phi Delta Phi, 1977 
Civil Justice Reform Act Advisory Group, United States District Court, 

Western District of Oklahoma, appointed by Chief Judge Ralph 

Thompson, 1993 to Present 
American Bar Association: United States Office of Personnel 

Management Administrative Law Judge (ALJ) Interview Panel, 1993 
Oklahoma Criminal Justice Center Board, 1981 - 1983 
Supreme Court of Oklahoma Appellate Judicial Conference; Presentation, 

1988 
Chairman, Oklahoma Constitution Revision Study Commission, appointed 

by Governor Henry Bellmon, 1988-1992 



539 



Sovereignty Symposium (Native American Legal Symposium sponsored by the 
Supreme Court of Oklahoma); Presentations, 1988, 1989, and 1990; 
Moderator, 1991 

10. Other Memberships ; List all organizations to which you belong that are 
active in lobbying before public bodies. Please list all other 
organizations to which you belong. 

The following organizations to which I belong occasionally make 
legislative recommendations: 

Oklahoma Academy for State Goals 
League of Women Voters (Advisory Member) 
American Bar Association 
Oklahoma Bar Association 

For other organizations, please see question #6: 

11. Court Admission ; List all courts in which you have been admitted to 
practice, with dates of admission and lapses if any such memberships 
lapsed. Please explain the reason for any lapse of membership. Give 
the same information for administrative bodies which require special 
admission to practice. 

United States Supreme Court 
January 12, 1987 

United States Court of Appeals for the Tenth Circuit 
December 22, 1986 

United States District Court for the Eastern District of Oklahoma 
March 20, 1987 

United states District Court for the Western District of Oklahoma 
October 27, 1993 

Oklahoma Supreme Court and all Courts in Oklahoma 
April 22, 1977 

12. Published Writings ; List the titles, publishers, and dates of books, 
articles, reports, or other published material you have written or 
edited. Please supply one copy of all published material not readily 
available to the Committee. Also, please supply a copy of all speeches 
by you on issues involving constitutional law or legal policy. If 
there were press reports about the speech, and they are readily 
available to you, please supply them. 

PUBLICATIONS: 

"The Oklahoma Powers of Appointment Act of 1977." Rarick, J., Henry, 
R. , Oklahoma Law Review . Vol. 32, pp. 787-811. (See Attachment 12 I.) 

"The Oklahoma Constitutional Revision Commission: A Call to Arms or 
the Sounding of Retreat?" Henry, R. , Oklahoma Citv University Law 
Review, Vol. 17(1), Spring 1992, pp. 177-199. (See Attachment 12 II.) 



540 



"The Constitution of the State of Oklahoma: Recommendation for 
Revision" (Report of the Oklahoma Constitution Revision Study 
Commission, Robert H. Henry, Chairman) , Oklahoma Citv University Law 
Review . Fall 1991, Volume 16(3). 

"Nations Within A Nation," Oklahoma Today . May-June, 1992, p. 35. (See 
Attachment 12 III.) 

The Office of Attorney General; Powers and Duties . Ross, Lynne, 
Editor. National Association of Attorneys General, 1988. Henry, 
Robert H., et al.. Editorial Board. 

Life and Times of Henry Bellmon . Bellmon, Henry, Council Oak 
Publishing Co., Inc., 1992. Preface by Robert H. Henry. 

Oklahoma Business Organizations; Formation and Representation . 
Faught, Irving L. , Aspen Publishers, 1990. Preface by Robert H. Henry. 
(See Attachment 12 IV.) 

Oklahoma Government; Politics, and Policies . Morgan, David, et al.. 
University of Nebraska Press, 1990. Foreword by Robert H. Henry. (See 
Attachment 12 V.) 

"A Black Hat for the Lone Ranger? The Attorney General as Defender of 
Tort Claims," The Journal of State Government . May-June, 1988, p. 112. 
(See Attachment 12 VI.) 

"Constitutional Convention Gains Support as One Answer to Economic 
Stagnation," Oklahoma Business . January, 1987, p. 27. 

"Little Giant: A Tale of Quiet Nobility," Book Review in The 
Chronicles of Oklahoma . Volume LXIX, Number One, Spring 1991. 

Then to the Rock Let Me Fly: Luther Bohanon and Judicial Activism . 
Weaver, Jace, University of Oklahoma Press, 1993. Foreword by Robert 
H. Henry. 

SPEECHES; 

Most of my speeches were delivered from notes which I did not retain. 
Those that I have texts for are attached. 

13. Health ; What is the present state of your health? List the date of 
your last physical examination. 

Excellent 
October 1993 

14. Judicial Office : State (chronologically) any judicial offices you have 
held, whether such position was elected or appointed, and a description 
of the jurisdiction of each such court. 

Not applicable 



/ 



541 



15. Citations ; If you are or have been a judge, provide: (1) citations for 
the ten most significant opinions you have written; (2) a short summary 
of and citations for all appellate opinions where your decisions were 
reversed or where your judgment was affirmed with significant criticism 
of your substantive or procedural rulings; and (3) citations for 
significant opinions on federal or state constitutional issues, 
together with the citation to appellate court rulingson such opinions. 
If any of the opinions listed were not officially reported, please 
provide copies of these opinions. 

Not applicable 

16. Public Office ; State (chronologically) any public offices you have 
held, other than judicial offices, including the terms of service and 
whether such positions were elected or appointed. State 
(chronologically) any unsuccessful candidacies for elective public 
office. 

State Representative, State of Oklahoma, 1976-1986 (5 terms, last four 
reelected without opposition) 

Attorney General of Oklahoma, 1987-1991 (reelected without opposition, 
resigned to become Dean and Professor of Law, Oklahoma City University 
School of Law) 

17. Legal Career ; 

a. Describe chronologically your law practice and experience after 
graduation from law school including: 

1. whether you served as clerk to a judge, and if so, the name of 
the judge, the court, and the dates of the period you were a 
clerk; 

Not applicable 

2. whether you practiced alone, and if so, the addresses and 
dates; 

Not applicable 

3. the dates, names and addresses of law firms or offices, 
companies or governmental agencies with which you have been 
connected, and the nature of your connection with each; 

May 1976 - May 1977 

Legal Intern 
Henry, West & Sill 
231 North Broadway 
Shawnee, Oklahoma 74801 



542 



November 1976 - N ovember 1986 

State Representative 
Oklahoma House of Representatives 
State Capitol Building 
Oklahoma City, Oklahoma 73105 

May 1977 - October 1983 

Associate (later Partner) 
Henry, West, Sill & Combs 
231 North Broadway 
Shawnee, Oklahoma 74801 

October 1983 - January 1987 

Partner 

Henry, Henry S Henry 
44 09 North Bryan 
Shawnee, Oklahoma 74801 

January 1987 - June 1991 

Attorney General of Oklahoma 
Office of Attorney General 
State Capitol 
Oklahoma City, Oklahoma 73105 

June 1991 - Present 

Dean and Professor of Law 

Oklahoma City University School of Law 

2501 North Blackwelder 

Oklahoma City, Oklahoma 73106 

b. 1. What has been the general character of your law practice, 
dividing it into periods with dates if its character has 
changed over the years? 

1976 - 1986 

In the summer of 1976 I was elected to serve in the state 
legislature. I entered the Oklahoma House of Representatives 
in January of 1977. In May of 1977, I began law practice with 
Henry, West & Sill, a small-town general practice law firm 
where I had interned. (Legislative service is "part-time" in 
Oklahoma; the legislature usually convenes in January and 
adjourns in May.) 

My law practice was very general and varied, ranging from 
probate practice to family law to criminal law. I handled 
juvenile matters, corporate organization, real estate and title 
opinions. I represented victims and defendants in criminal 



543 



matters and, in general, engaged in a very broad legal practice 
customary in small towns. My representation of clients 
included numerous appearances in courts in trials mostly non- 
jury. 

1987 - 1991 

As Attorney General of Oklahoma, a state constitutional 
officer, I represented the State of Oklahoma in both civil and 
criminal matters. In addition to involvement in and 
responsibility for administration of 50 attorneys and 40 
support personnel, I was directly involved in the management 
and oversight of some 5,500 criminal cases and 5,500 civil 
cases. I issued some 209 formal opinions of the Office of 
Attorney General. I proposed and drafted legislation. I 
worked closely with numerous state district attorneys. United 
States Attorneys, and other state, federal and local 
enforcement agencies. I argued before federal and state 
administrative agencies, testified twice before a United States 
Senate Sub-committee, reviewed and drafted appellate briefs 
filed in federal and state courts, and appeared as co-counsel 
in cases before the United States Supreme Court and the United 
States Court of Appeals for the Tenth Circuit. 

Describe your typical former clients, and mention the areas, if 
any, in which you have specialized. 

In private practice my clients included farmers, teachers, 
business persons, and firms. I worked for several charitable 
concerns, several banks, and several small businesses. I 
specialized in probate and family law. 

As Attorney General my clients included ratepayers (in utility 
regulation cases) , citizens of the State of Oklahoma and state 
agencies. I concentrated on reorganizing the state's law firm 
and expanding the Attorney General's statutory powers into 
utility and insurance rate cases (in order that the Attorney 
General could appear as an intervener for the ratepayers) ; in 
collection of student loans; in Medicaid fraud; and in drug 
abuse. I specialized to some extent in Indian law. I also 
initiated the first state-federal white collar felony trial in 
recent years. My office handled numerous other cases in the 
federal courts. 

As Dean of the School of Law at Oklahoma City University my 
primary tasks have been administration and teaching. However, 
I have on a pro bono basis consulted with the Oklahoma County 
Public Defender and several not-for-profit entities. I have 
also lectured or spoken at continuing legal education seminars 
specifically in the areas of openness in government ("Sunshine" 
Laws) and ethics. I have taught or lectured in Legislation, 
Administrative Law, and Jurisprudence. 



544 



Did you appear in court frequently, occasionally, or not at 
all? If the frequency of your appearance in court varied, 
describe each such variance, giving dates. 

I appeared in court fair