UNITED STATES DISTRICT COURT
EASTERN
DISTRICT OF KENTUCKY
COVINGTON
CRIMINAL ACTION NO. 03-24 (JBC)
UNITED STATES OF AMERICA PLAINTIFF
V. PLEA
AGREEMENT
TIMOTHY ALDRIDGE DEFENDANT
* * * * *
1. Pursuant to Federal Rule of
Criminal Procedure 11, the Defendant will enter a guilty plea to Count 1 of the
Indictment, charging a violation of 29 U.S.C. §§ 501(c). At sentencing, the
government will move to dismiss Counts 2 through 4.
2. The essential elements are:
29 U.S.C. § 501(c):
(a) Defendant, being an officer of a labor union;
(b)
Embezzled, stole or willfully and unlawfully converted or abstracted to his own
use or use of another;
(c) Monies and funds of the labor union.
3. As to Count 1, the United States could prove the following facts
that establish the essential elements of the offense beyond a reasonable doubt,
and the Defendant admits these facts:
From approximately January, 2000,
through January, 2002, Defendant served as the President of the Florence Steel
Workers Union, Local 1 (the Union), a
local union at Mubea, Inc. (Mubea) in Florence, Kentucky. The union had an executive board
consisting of a president, vice-president, treasurer and recording secretary,
all of which are part time positions. Officers earn monthly salaries of
$200.00, $150.00, $175.00 and $100.00 respectively. Mubea manufactures spring
products for the automotive industry and ships to a variety of customers across
the United States and Canada. Defendant’s duties as President
included preparing and co-signing union checks and keeping and maintaining
union financial records. All expenditures other than officer’s salaries had to
be approved by the membership of the union at a union meeting.
During the period in question the union had 2 checking
accounts, both at the Huntington Bank. Both were opened by Aldridge and
Treasurer, Paula Burns. 2 signatures were required to negotiate checks and Aldridge
and Burns were the 2 authorized signatories. Members paid dues of $5.00 per
week through payroll deduction and Mubea sent the money to the union’s bank
account via direct deposit. The union’s monthly expenses were the officer’s
salaries, cell phone charges, legal expenses and bereavement gifts. There was
little or no occasion for union officers to travel as it is an independent
union.
From approximately February, 2000,
through January, 2002, Aldridge willfully embezzled or stole approximately
$112,525.27 in funds belonging to the union by writing union checks to himself
without union knowledge or consent. He also deposited several of these checks
into the checking account of his girlfriend. Aldridge concealed his actions by
writing false purposes in the memo sections of most of the checks and by
withholding union financial records from the new officers of the union after he
left office.
Analysis of the union’s bank
records for both checking accounts reveled the following:
During the relevant time period,
Aldridge wrote at least 52 checks naming himself as the payee. The checks
ranged in value from $75.00 to $7,200.00 and were written on both of the
union’s accounts. 34 of the checks were over $1,000.00 and no original or
back-up documentation was found justifying any of the checks in question. The
amount of the checks written totaled $135,025.50. Credits were given for various
legitimate union expenses including officer’s salaries, attorney’s fees,
transfers and cell phone charges regardless of whether original or back-up
documentation existed resulting in a total of $112,525.27 missing.
Further analysis revealed that the
transfers involved partial or split deposits of 3 of the checks in question to
the union’s other checking account. The checks and deposits were a $6,000.00
check dated 10/11/00 and a partial deposit of
$1,000.00; a $3,300.00 check dated 12/01/00 and a partial deposit of
$1,200.00 and a $4,800.00 check and a partial deposit of $3,000.00. Credits
were given for the monies deposited into union accounts. Additionally, union
checks numbered 1219, 1221, 1231, 1273 and 1283 totaling $8,200.00 were
deposited or split-deposited into a bank account belonging to Aldridge’s
girlfriend. His girlfriend would testify that Aldridge used her checking
account as his own and deposited his paychecks into it. She would further
testify that she had no idea he had put this money into her account. Analysis
also showed that many of the checks contained false purposes in the memo lines.
Officers who replaced Aldridge and others reviewed the checks and would testify
that checks which were written for leased vehicles, union jackets, investments,
computers and a Christmas party were false because the union didn’t have any of
these items or events during the relevant time period. They would also testify
that Aldridge mislead the union membership at meetings by stating that the
union’s bank balance was in the thousands when the true balance was a few
hundred dollars. The proof would show that at a membership meeting in the
summer of 2001, Aldridge told the membership that he had obtained the books
from the union’s Treasurer, Paula Burns. The proof would further show that on
numerous occasions, specifically, twice in December, 2001 and in January, 2002;
the acting President of the union, the union’s attorney and a former
Vice-President of the union requested the records from Aldridge. In all cases,
he said he would do so but did not.
Finally, during the relevant time
period, it was determined that from January, 2000 through March, 2001, the
union’s Treasurer, was embezzling money from the union as well. In March, 2001,
the Treasurer left work on disability and did not return to work. During this
time period she wrote 49 checks to herself or to cash which she endorsed
totaling $40,238.73. The last check was written on March 31, 2001, for $500.00. None of these checks were attributed to Aldridge
and none are reflected in the total loss figure of $112,254.27.
By signing this agreement
defendant admits the above facts are true. He admits that during the time
period set forth above he embezzled or stole a total of $112,525.27 from the
Florence Steel Workers Union, Local 1. He further admits that he did so
intentionally and knew that the expenditures in question were not made for the
legitimate benefit of the union. He is pleading guilty of his own free will and
admits that he knew when committing the crimes charged that his conduct was
illegal.
These facts accurately represent
the Defendant’s offense conduct and establish the essential elements of the
offense to which he is entering a plea of guilty.
4. The maximum statutory
punishment is imprisonment for Count 1 is not more than 5 years, a fine of not
more than $250,000.00, or both, and a term of supervised release of not more
than 3 years. A special assessment of $100.00 is applicable and Defendant will
pay this assessment to the U.S. District Court Clerk at the time of the entry
of the plea.
5. The United States and the Defendant recommend the
following sentencing guidelines calculations, and they may object to other
calculations. This recommendation does not bind the Court.
(a) United States Sentencing Guidelines (U.S.S.G.), November 1, 2001, manual, will determine the
Defendant’s guideline range.
(b) Pursuant to U.S.S.G. § lB1.3, the Defendant’s relevant conduct
includes $112,525.27.
(c) Pursuant to U.S.S.G. § 2B1.1 (a), the base offense level is 6 because
Defendant’s conduct involved embezzlement or theft.
(d) Pursuant to U.S.S.G. § 2B1.1 (b) (1) (E), increase the offense
level by 8 levels for amount of the loss, $112,525.27.
(e) Pursuant to U.S.S.G. § 3B1.3, increase the offense level by 2
levels for abuse of a position of trust.
6. No agreement exists about the
Defendant’s criminal history category pursuant to U.S.S.G. Chapter 4.
7. No agreement exists regarding
the application of U.S.S.G. §§ 3C1.1 and 3B1.1.
8. The Defendant will not file a
motion for a decrease in the offense level based on a mitigating role pursuant
to U.S.S.G. § 3B1.2 or a departure motion pursuant to U.S.S.G. Chapter 5, Parts
H or K.
9. The Defendant waives the right
to appeal and the right to attack collaterally the guilty plea and conviction,
and any order of restitution.
10. If the Defendant is unable to
pay a fine, a mandatory special assessment, or restitution immediately, the
Defendant will complete and sign a Form OBD-500 (Financial Statement of
Debtor), or will submit to a Deposition in Aid of Collection, or both, at times
and places that the United
States directs.
11. The Defendant agrees that an
order of restitution in the amount of $112,525.27 to the Florence Steel Workers
Union, Local 1 or the bonding or insurance company which paid for any part of
the loss is appropriate.
12. The government agrees that it
will not pursue any further charges against the Defendant for failing to appear
in this matter.
13. If the Defendant violates any
part of this Agreement, the United States
may void this Agreement and seek an indictment for any violations of federal
laws, and the Defendant waives any right to challenge the initiation of
additional federal charges.
14. This document contains the
complete and only Plea Agreement between the United States Attorney for the
Eastern District of Kentucky and the Defendant. The United States has not made any other promises
to the Defendant.
15. This Agreement does not bind
the United States Attorney’s Offices in other districts, or any other federal,
state, or local prosecuting authorities.
16. Defendant understands that he
has the following rights and that he is giving up these and other rights by
pleading guilty:
- presumption of innocence; - cross examine government
witnesses;
- trial by a jury of his peers; - remain silent and
not testify;
- present a defense; - call witnesses in his behalf
- have the charges presented to a grand jury;
Defendant also understands that by
pleading guilty he is giving up certain valuable civil rights such as the right
to vote, serve on a jury, possess a firearm or hold public office.
He agrees that he has read the
Indictment and had it explained to him and understands that by signing this
plea agreement and pleading guilty he is giving up these and any and all other
constitutional rights which have been explained to him and admitting that he is
guilty.
17. The Defendant and the
Defendant’s attorney acknowledge that the Defendant understands this Agreement,
that the Defendant’s attorney has fully explained this Agreement to the
Defendant, and that the Defendant’s entry into this Agreement is voluntary.
GREGORY F. VAN TATENHOVE
UNITED STATES ATTORNEY
Date: April 4, 2004 By:
/SIGNED/
Fred
A. Stine, V
Assistant
United States Attorney
Date: 4-2-04
/SIGNED/
Timothy Aldridge
Defendant
Date: 4/2/04
/SIGNED/
William K. Fulmer, II
Attorney for Defendant
APPROVED, this the 7th day of July
2004.
/SIGNED/_____________
Jennifer B. Coffman, Judge
United States District Court
Eastern District of Kentucky
UNITED STATES DISTRICT COURT
EASTERN District
of KENTUCKY
UNITED STATES OF AMERICA JUDGMENT IN A CRIMINAL CASE
V.
TIMOTHY ALDRIDGE Case Number: 2:03-CR-24-JBC
USM Number: 09633-032
William Fulmer
Defendant’s Attorney
THE DEFENDANT:
_X_ pleaded guilty to count(s)__1__________
□ pleaded nolo contendere to count(s)_________________
which was accepted by the court.
□ was found guilty on count(s) ______ after a plea
of not guilty.
The defendant is adjudicated guilty of these offenses:
Title & Section Nature of Offense Offense Count
29 USC §501(c) Embezzlement 01/02
1
The defendant is sentenced as provided in pages 2 through
the 6 of this judgment. The sentence is imposed pursuant to the Sentencing
Reform Act of 1984.
□ The defendant has been found not guilty on
count(s)____________
_X_ Count(s) 2–4 □ is X are dismissed on the
motion of the United
States.
It is ordered that the defendant
must notify the United
States attorney for
this district within 30 days of any change of name, residence, or mailing
address until all fines, restitution, costs, and special assessments imposed by
this judgment are fully paid. If ordered to pay restitution, the defendant must
notify the court and United
States attorney of
material changes in economic circumstances.
June 7, 2004
Date of Imposition of Judgment
/SIGNED/____________
Signature of Judge
Jennifer B.
Coffman,
U.S. District Judge
Name and Title of Judge
7/8/04
Date
IMPRISONMENT
The defendant is hereby committed
to the custody of the United States Bureau of Prisons to be imprisoned for a total
term of: 33 MONTHS.
X The court makes the following recommendations to the
Bureau of
Prisons:
That the defendant complete the 500-hour Residential
Substance Abuse Treatment Program offered through the Bureau of
Prisons, if eligible.
X The defendant is remanded to the custody of the United
States Marshal.
U The defendant shall surrender to the United States
Marshal for this district:
□ at _____________ □
a.m. □ p.m. on ________________
□ as notified by the United
States Marshal.
□ The defendant shall surrender for service of
sentence at the institution designated by the Bureau of Prisons:
□ before 2 p.m. on
□ as notified by the United
States Marshal.
□ as notified by the
Probation or Pretrial Services Office.
RETURN
I have executed this judgment as follows:
Defendant delivered on
__________________ to ________________ a_________________________ , with a
certified copy of this judgment.
________________________
UNITED STATES MARSHAL
By _____________________
DEPUTY UNITED STATES MARSHAL
SUPERVISED RELEASE
Upon release from imprisonment, the defendant shall be on
supervised release for a term of: 3 YEARS
The defendant must report to the
probation office in the district to which the defendant is released within 72
hours of release from the custody of the Bureau of Prisons.
The defendant shall not commit another federal, state or
local crime.
The defendant shall not unlawfully possess a controlled
substance. The defendant shall refrain from any unlawful use of a controlled
substance. The defendant shall submit to one drug test within 15 days of
release from imprisonment and at least two periodic drug tests thereafter, as
determined by the court.
□ The above drug testing condition is suspended, based on
the court’s determination that the defendant poses a low risk of future
substance abuse. (Check, if applicable.)
X The defendant shall not possess a firearm, destructive device,
or any other dangerous weapon. (Check, if applicable.)
□ The defendant shall cooperate in the collection of DNA as
directed by the probation officer. (Check, if applicable.)
□ The defendant shall register with the state sex offender
registration agency in the state where the defendant resides, works, or is a
student, as directed by the probation officer. (Check, if applicable.)
□ The defendant shall participate in an approved program for
domestic violence. (Check, if applicable.)
If this judgment imposes a fine or
restitution, it is a condition of supervised release that the defendant pay in
accordance with the Schedule of Payments sheet of this judgment.
The defendant must comply with the
standard conditions that have been adopted by this court as well as with any
additional conditions on the attached page.
STANDARD CONDITIONS OF SUPERVISION
1) the defendant shall not leave the judicial district without the
permission of the court or probation officer;
2) the defendant shall report to the probation officer and shall
submit a truthful and complete written report within the first five days of
each month;
3) the defendant shall answer truthfully all inquiries by the
probation officer and follow the instructions of the probation officer;
4) the defendant shall support his or her dependents and meet other
family responsibilities;
5) the defendant shall work regularly at a lawful occupation,
unless excused by the probation officer for schooling, training, or other
acceptable reasons;
6) the defendant shall notify the probation officer at least ten
days prior to any change in residence or employment;
7) the defendant shall refrain from excessive use of alcohol and
shall not purchase, possess, use, distribute, or administer any controlled
substance or any paraphernalia related to any controlled substances, except as
prescribed by a physician;
8) the defendant shall not frequent places where controlled
substances are illegally sold, used, distributed, or administered;
9) the defendant shall not associate with any persons engaged in
criminal activity and shall not associate with any person convicted of a
felony, unless granted permission to do so by the probation officer;
10) the defendant shall permit a probation officer to visit him or
her at any time at home or elsewhere and shall permit confiscation of any
contraband observed in plain view of the probation officer;
11) the defendant shall notify the probation officer within
seventy-two hours of being arrested or questioned by a law enforcement officer;
12) the defendant shall not enter into any agreement to act as an
informer or a special agent of a law enforcement agency without the permission
of the court; and
13) as directed by the probation officer, the defendant shall notify
third parties of risks that may be occasioned by the defendant’s criminal
record or personal history or characteristics and shall permit the probation
officer to make such notifications and to confirm the defendant s compliance
with such notification requirement.
SPECIAL CONDITIONS OF SUPERVISION
The defendant shall participate in a substance abuse
treatment program and shall submit to periodic drug and alcohol testing at the
direction and discretion of the probation officer during the term of
supervision. The defendant shall pay for the cost of treatment to the extent he
is able as determined by the probation officer. However, the court directs that
restitution shall be paid before payment toward drug treatment.
The defendant shall refrain from the use of alcohol.
The defendant shall provide the probation officer with
access to any requested financial information due to the nature of this crime.
The defendant shall not incur new credit charges or open
additional lines of credit without the approval of the probation officer unless
he is in compliance with the installment payment schedule.
The defendant shall pay restitution in the amount of
$112,525.27 to the Florence Steelworkers Union, Local 1. Restitution shall be
paid during the defendant’s term of incarceration in minimum quarterly
installments of $25.00. A payment schedule will be set during a hearing
following the defendant’s release from imprisonment in regards to any
outstanding balance owed upon commencement of supervision.
ACKNOWLEDGEMENT
Upon a finding of a violation of probation or supervised
release, I understand that the Court may (1) revoke supervision, (2) extend the
term of supervision, and/or (3) modify the conditions of supervision.
These conditions have been read to me. I fully understand
the conditions and have been provided a copy of them.
(Signed) _______________________________
____________________________
(Defendant)
Date
CRIMINAL
MONETARY PENALTIES
The defendant must pay the total
criminal monetary penalties under the schedule of payments on Sheet 6.
Assessment
Fine Restitution
TOTALS $100.00 $-0- $112,525.27
□ The determination of restitution is deferred until
_______. An Amended Judgment in a Criminal Case (AO 245C) will be entered after
such determination.
□ The defendant must make restitution (including community
restitution) to the following payees in the amount listed below.
If the
defendant makes a partial payment, each payee shall receive an approximately
proportioned payment, unless specified otherwise in the priority order or
percentage payment column below. However, pursuant to 18 U.S.C. § 3664(i), all
nonfederal victims must be paid before the United States is paid.
Priority
or
Name of Payee Total Loss* Restitution Ordered Percentage
Florence $112,525.27 $112,525.27
Steelworkers Union,
Local 1
c/o A. Dennis Miller
Droder & Miller Co., LPA
125 West Central Parkway
Cincinnati, Ohio 45202
TOTALS $112,525.27 $112,525.27
□ Restitution amount ordered pursuant to plea
agreement $_________
□ The defendant must pay interest on restitution and a fine
of more than $2,500, unless the restitution or fine is paid in full before the
fifteenth day after the date of the judgment, pursuant to 18 U.S.C. § 3612(f).
All of the payment options on Sheet 6 may be subject to penalties for
delinquency and default, pursuant to 18 U.S.C. § 3612(g).
X The court determined that the defendant does not have the
ability to pay interest and it is ordered that:
X the interest requirement is
waived for the □ fine
X restitution.
□
the interest requirement for the □ fine □ restitution is modified
as follows:
* Findings for the total amount of losses are required
under Chapters 109A, 110, 110A, and 113A of Title 18 for offenses committed on
or after September
13, 1994, but before
April 23, 1996.
SCHEDULE OF PAYMENTS
Having assessed the defendant’s ability to pay, payment of
the total criminal monetary penalties are due as follows:
A X Lump sum payment of $ 100.00 due immediately,
balance due
□ not later than _______________________ , or
□ in accordance □ C, □ D, □ E, or □ F
below; or
B □ Payment to begin immediately (may be
combined with □ C,
□ D, or □ F below); or
C X Payment in equal quarterly (e.g., weekly,
monthly,
quarterly) installments of $25.00 over a
period of _____
(e.g., months or years), to commence 30 days
(e.g., 30 or
60 days) after the date of this judgment; or
D □ Payment in equal _____ (e.g., weekly,
monthly, quarterly)
installments of $_____ over a period of ____
(e.g., months
or years, to commence ____ (e.g., 30 or 60
days) after
release from imprisonment to a term of
supervision; or
E □ Payment during the term of supervised
release will commence
within ____ (e.g., 30 or 60 days) after
release from
imprisonment. The court will set the payment
plan based on
an assessment of the defendant’s ability to
pay at that
time; or
F X Special instructions regarding the payment of
criminal
monetary penalties:
Payment
to be made to: U.S. District Court Clerk, P.O. Box 1073, Covington, KY 41012-1073
Restitution
shall be paid during the defendant’s term of incarceration in minimum quarterly
payments of $25.00. A payment schedule will be set during a hearing following
the defendant’s release from imprisonment in regards to any outstanding balance
owed upon commencement of supervision.
Unless the court has expressly ordered otherwise, if this
judgment imposes imprisonment, payment of criminal monetary penalties is due
during imprisonment. All criminal monetary penalties, except those payments
made through the Federal Bureau of Prisons’ Inmate Financial Responsibility
Program, are made to the clerk of the court.
The defendant shall receive credit for all payments
previously made toward any criminal monetary penalties imposed.
□ Joint and Several
Defendant
and Co-Defendant Names and Case Numbers (including defendant number), Total
Amount, Joint and Several Amount, and corresponding payee, if appropriate.
□ The defendant shall pay the cost of
prosecution.
□ The defendant shall pay the following court
cost(s):
□ The defendant shall forfeit the defendant’s interest in
the following property to the United States:
Payments shall be applied in the following order: (1)
assessment, (2) restitution principal, (3) restitution interest, (4) fine
principal, (5) fine interest, (6) community restitution, (7) penalties, and (8)
costs, including cost of prosecution and court costs.
