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United States v. Carpenter

United States Court of Appeals, First Circuit

March 30, 2015

UNITED STATES OF AMERICA, Appellee,
v.
DANIEL E. CARPENTER, Defendant, Appellant

As Amended April 8, 2015.

Page 600

[Copyrighted Material Omitted]

Page 601

[Copyrighted Material Omitted]

Page 602

APPEAL FROM THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF MASSACHUSETTS. Hon. George A. O'Toole, Jr., U.S. District Judge.

Martin G. Weinberg, with whom Kimberly Homan was on brief, for appellant.

Christopher J. Smith, Attorney, Appellate Section, Criminal Division, with whom Carmen M. Ortiz, United States Attorney, District of Massachusetts, Lesley R. Caldwell, Assistant Attorney General, Criminal Division, Kelly Begg Lawrence, Assistant United States Attorney, District of Massachusetts, and Sung-Hee Suh, Deputy Assistant Attorney General, Criminal Division, were on brief, for appellee.

Before Torruella, Howard, and Kayatta, Circuit Judges.

OPINION

Page 603

KAYATTA, Circuit Judge.

We opine for the third time on the United States' prosecution of Daniel Carpenter for mail and wire fraud in connection with his mishandling of client escrow funds. In 2007, we affirmed a district court order setting aside a jury verdict of guilty in favor of a new trial. United States v. Carpenter, 494 F.3d 13 (1st Cir. 2007). In 2013, after a second jury also found Carpenter guilty, we reversed a district court order setting aside that verdict, and remanded for sentencing. United States v. Carpenter, 736 F.3d 619 (1st Cir. 2013). Now, post-sentencing, we consider Carpenter's direct appeal in which he argues, among other things, that the lengthy duration of this criminal proceeding violated his constitutional and statutory speedy trial rights. For the following reasons, we affirm the judgment of the district court on all grounds.

I. Background

Our 2013 opinion details the acts for which Carpenter stands convicted. In a nutshell, he told clients he would hold their money in escrow accounts for which the client would pay a fixed fee and which would cautiously generate returns of either three or six percent; then (unbeknownst to his clients) he invested the money in high-risk, high-return stock options, hoping to generate excess returns to keep for himself. His option trading fared poorly, and he lost nine million dollars in client funds. At trial, he argued unsuccessfully that he never promised that the client funds would be safe, and that he did not intend ...


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