TERMED

U.S. District Court
District of Hawaii (Hawaii)
CRIMINAL DOCKET FOR CASE #: 1:04-cr-00340-DAE-2


Case title: USA v. Mashima, et al

Date Filed: 09/09/2004
Date Terminated: 10/03/2005

Assigned to: JUDGE DAVID ALAN EZRA

Defendant (2)
Thermal Engineering Corporation
TERMINATED: 10/03/2005
represented byStephen P. Pingree
1930 Village Center Circle #3-439
Las Vegas, NV 89134-6245
702 882-2666
Fax: 808 356-8189
TERMINATED: 10/03/2005
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Designation: Retained

Pending Counts

Disposition
26:7206B.F FRAUD AND FALSE STATEMENTS to the Internal Revenue Service - CT 5, 6, 7, 8
(5-8)
SENTENCE: PROBATION: 3 YEARS, as to each of Counts 5 through 8, with all such terms to run concurrently CONDITIONS: 1. Defendant shall observe the standard conditions of probation. 2. Defendant shall not commit any federal, state, or local crimes. 3. Defendant shall provide the Probation Office with access to any requested financial information.Special Assessment: $1600.00. FINE: $100,000.00: 10/05/2005 4. That the fine of $100,000.00 is due within THIRTY(30) DAYS of sentencing.

Highest Offense Level (Opening)
Felony

Terminated Counts

Disposition
None

Highest Offense Level (Terminated)
None

Complaints

Disposition
None


Plaintiff
USA represented byJ. Michael Seabright
Office of the United States Attorney
Prince Kuhio Federal Building
300 Ala Moana Blvd Ste 6100
Honolulu, HI 96850
541-2850
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Michael Purpura
Carlsmith Ball LLP Honolulu
American Savings Bank Tower
1001 Bishop St Ste 2200
Honolulu, HI 96813
523-2500
Fax: 523-0842
Email: mpurpura@carlsmith.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Date Filed #Docket Text
09/09/2004EP: INDICTMENT by USA Counts filed against Ken I. Mashima (1) count(s) 1-4, Thermal Engineering (2) count(s) 5-8; PS ordered ( Laura Savo ) by Mag Judge Leslie E. Kobayashi (bbb) (Entered: 09/10/2004)
09/10/2004PS issued as to Thermal Engineering ; arraignment set for 10:30 9/20/04 for Thermal Engineering before Mag Judge Leslie E. Kobayashi (bbb) (Entered: 09/10/2004)
09/20/2004REQUEST for Discovery by plaintiff USA (bbb) (Entered: 09/23/2004)
09/20/2004EP: MINUTES: Initial Appearance; A & P as to the Indictment - Defendant present, not in custody. Atty David W. Hall made a special appearance for Defendant (01) Ken I. Mashima. Mainland counsel to appear at a later time. Charges received. Defendants waive public reading of the Indictment. Pleas of Not Guilty entered. Jury Selection/Trial set for 9:00 11/16/04, SOM. Final Pretrial Conference set for 10:00 10/18/04, KSC. Defendant's Motions due 10/4/04. Government's Response due 10/18/04. No Motion to Detain filed. Bail Hearing - No objections to the USPTS Report. Parties submit. Court Orders that Defendant (01) Ken I. Mashima be released on an unsecured bond in the amount of $50,000 under the following conditions: (7b) Comply with pretrial services supervision, and abide by all conditions of release as directed by Pretrial Services. (7g2) Do not apply for/obtain a passport. Turn over passport to Pretrial Services or AUSA at any time upon request for inspection. (7h2) Travel is restricted to State of Hawaii. Foreign travel for business purposes only as approved by Pretrial Services. (7s1) You are prohibited from owning, possessing, or controlling any firearm or ammunition. Immediately surrender all firearms and ammunition to an agent approved by Pretrial Services. (8n) Provide Pretrial Services with any and all requested financial information regarding your financial status including, but not limited to: employment and all sources of income, bank accounts, assets and liabilities, and investments. You are required to sign and execute an Authorization to Release Financial Information as requested by Pretrial Services. In addition to the Special Conditions of Release as specified above, you are subject to the following conditions: You shall not commit any offense in violation of federal, state, or local law while on release in this case. You shall appear at all proceedings as required and shall surrender for service of any sentence imposed as directed. Defendant referred to the US Marshals' Office, Clerk's Office and U.S. Pretrial Services Office for processing.; Ken I. Mashima, Thermal Engineering, USA Attorney J. Michael Seabright, David W. Hall, Stephen P. Pingree present ( Ct Rptr: C7 10:42-10:49) by Judge E. Kobayashi (bbb) (Entered: 09/23/2004)
09/21/2004PS executed on 9/10/04 as to Thermal Engineering: RRR 09/13/2004 (bbb) (Entered: 09/23/2004)
09/23/2004  FILING FEE PAID in the amount of $ 225.00, receipt # 225259 (bbb) (Entered: 10/01/2004)
09/24/200410 NOTICE of hearing setting hearing on Jury Selection/Trial set for 11/16/04 @ 9:00 a.m. SOM is continued to 1/11/05 @ 9:00 a.m. SOM. Final Pretrial Conference set for 10/18/04 @ 10:00 a.m. KSC is continued to 12/13/04 @ 10:00 a.m. LEK. Motions 11/29/04. Response 12/13/04. Notified: Michael Purpura AUSA thru Mr. Pingree, (01) Steven Toscher thru Mr. Pingree and (02) Stephen Pingree. Mr. Toscher to prepare the stipulation to continue and to exclude time. (bbb) (Entered: 09/29/2004)
09/30/200411 APPLICATION for attorney Steven Toscher to appear pro hac vice by defendant Ken I. Mashima - referred to Mag Judge Leslie E. Kobayashi (bbb) (Entered: 10/01/2004)
10/04/200412 STIPULATION regarding continuance of trial and motion dates and excludable time period under speedy trial act; [proposed] findings and order by Judge Susan O. Mollway ; jury trial set for 9:00 1/11/05 for Ken I. Mashima, for Thermal Engineering ; pretrial conference set for 10:00 12/13/04 Ken I. Mashima, for Thermal Engineering , time excluded between 09/29/2004 thru 01/11/2005 (bbb) (Entered: 10/05/2004)
10/04/200413 STIPULATION and order permitting travel by defendant Ken I. Mashima by Mag Judge Leslie E. Kobayashi re [7-1] to modify conditions of release to travel to California and Nevada from 10/12/2004 thru 10/18/2004 (bbb) Modified on 10/05/2004 (Entered: 10/05/2004)
10/05/200414 DECLARATION of Stephen P. Pingree by defendant Thermal Engineering re [11-1] (bbb) (Entered: 10/06/2004)
10/06/200415 ORDER re: application of attorney Steven Toscher to appear and participate pro hac vice by Mag Judge Leslie E. Kobayashi [11-1] by defendant Ken I. Mashima (bbb) (Entered: 10/08/2004)
10/22/200417 ORDER re: application of Edward M. Robbins, Jr. to appear and participate pro hace vice by Mag Judge Kevin S. Chang [16-1], [16-2] by defendant Ken Mashima (bbb) (Entered: 10/22/2004)
11/18/200418 Second STIPULATION and order permitting travel by defendant Ken I. Mashima by Mag Judge Barry M. Kurren [7-1] to modify conditions of release as follows: deft be allowed to travel to Philadelphia for a vacation from 11/18/2004 thru 11/23/2004 (bbb) (Entered: 11/22/2004)
11/23/200419 NOTICE of hearing setting hearing on Final Pretrial Conference set for 12/13/04 @ 10:00 a.m. LEK is continued to 12/20/04 @ 10:00 a.m. LEK. Notified: Michael Purpura AUSA, (01) Steven Toscher through Mr. Pingree, and (02) Stephen Pingree. for Ken I. Mashima and Thermal Engineering (bbb) (Entered: 11/24/2004)
11/24/200421 Notice of hearing of defendants Ken I. Mashima and Thermal Engineering's joint Motion for bill of particulars; defendants Ken I. Mashima and Thermal Engineering's JOINT MOTION for bill of particulars ; memorandum of law in support of motion; certificate of service - Motion hearing set for 2:00 12/14/2004 LEK (bbb) (Entered: 11/24/2004)
11/24/200422 Notice of Motion and JOINT MOTION to compel government to timely comply with Rule 16 regarding its expert witness(es) by defendant Ken I. Mashima, defendant Thermal Engineering ; memorandum of law in support of motion; declaration of Richard McClellan; exhibits a-d; certificate of service - Motion hearing set for 12/14/04 @ 2 LEK (eps) (Entered: 11/29/2004)
11/24/200423 Notice of Motion and JOINT MOTION for production of Brady and Giglio material by defendant Ken I. Mashima, defendant Thermal Engineering ; memorandum of law in support of motion; exhibits a and b; certificate of service - Motion hearing set for 12/14/04 @ 2 LEK (eps) (Entered: 11/29/2004)
12/07/200426 Government's MEMORANDUM in opposition to defendants' motion to dismiss indictment [20-1]; certificate of service (bbb) (Entered: 12/10/2004)
12/08/200424 Government's MEMORANDUM in opposition to defendants' motion for bill of particulars [21-1]; production of Brady and Giglio material [23-1]; motion to compel government to timely comply with Rule 16 regarding its expert witness(es) [22-1]; and certificate of service (bbb) (Entered: 12/08/2004)
12/09/200425 JOINT REPLY by defendants Ken I. Mashima and Thermal Engineering to Government's memorandum in opposition to defendants' motion to dismiss the indictment [26-1]; certificate of service (bbb) Modified on 12/10/2004 (Entered: 12/10/2004)
12/10/200427 Defendants Ken I. Mashima and Thermal Engineering Corporation's JOINT REPLY to the Government's oppsotion to defendants' motion for a Bill of particulars; production of Brady and Giglio material; and to compel Government to timely comply with Rule 16 regarding its expert witness(es) [24-1]; exhibit e; certificate of service (bbb) (Entered: 12/10/2004)
12/13/200428 EP: MINUTES: Defendants Ken I. Mashima and Thermal Engineering Corporation's Joint Motion to Dismiss Indictment Under Rule 12(b)(2) Fed.R.Crim.Proc. For Failure to State a Claim - Defendant (01) Ken I. Mashima present. Arguments. Defendants Ken I. Mashima and Thermal Engineering Corporation's Joint Motion to Dismiss Indictment Under Rule 12(b)(2) Fed.R.Crim.Proc. For Failure to State a Claim - taken under advisement. Court to issue a written ruling within 10 days. [20-1] ; Ken I. Mashima, Thermal Engineering, USA Attorney Michael Purpura, Derek Tubania -IRS, Edward Robbins, Stephen P. Pingree present ( Ct Rptr: Debra Chun) by Judge Susan O. Mollway (bbb) (Entered: 12/17/2004)
12/14/200429 EP: MINUTES: Defendant (01) Ken I. Mashima present, not in custody. Defendant (01) Ken I. Mashima and (02) Thermal Engineering Corporation's Joint Motion for Bill of Particulars; Defendant (01) Ken I. Mashima and (02) Thermal Engineering Corporation's Joint Motion to Timely Comply with Rule 16 Regarding It's Expert Witness(es); Defendant (01) Ken I. Mashima and (02) Thermal Engineering Corporation's Joint Motion to Compel Brady and Giglio Material - Arguments heard. Motions taken under Advisement. Court to issue Order. [21-1], [23-1], [22-1]; Ken I. Mashima, Thermal Engineering, USA Attorney Michael M. Purpura, Stephen P. Pingree present ( Ct Rptr: C7 2:05-2:45) by Judge Leslie E. Kobayashi (bbb) (Entered: 12/17/2004)
12/14/200430 ORDER denying motion to dismiss indictment [20-1] by Judge Susan O. Mollway (cc: all counsel) (bbb) (Entered: 12/17/2004)
12/16/200431 EO: COURT ORDER: Order Denying Defendants' Joint Motion for A Bill of Particulars, and Denying In Part And Granting in Part Defendants' Joint Motion for Production of Brady and Giglio Material, and Defendants' Joint Motion to Compel Government to Timely Comply With Rule 16 Regarding Its Expert Witness(es), filed November 24, 2004. On November 24, 2004, Defendants Ken I. Mashima and Thermal Engineering Corporation (collectively "Defendants") jointly filed their Motion for A Bill of Particulars ("Bill of Particulars Motion"), Motion for Production of Brady and Giglio Material ("Brady and Giglio Motion"), and Motion to Compel Government to Timely Comply with Rule 16 Regarding Its Expert Witness(es) ("Expert Witness Motion"). The United States of America ("Government") filed its opposition memorandum on December 8, 2004, and Defendants jointly filed their reply memorandum on December 10, 3004. These matters came on for hearing on December 14, 2004. Michael M. Purpura, Assistant United States Attorney, appeared on behalf of the Government and Stephen P. Pingree, Esq., and Edward M. Robbins, Jr., Esq., appeared on behalf of Defendants. Defendant Ken I. Mashima was also present.After careful consideration of the motions, supporting and opposing memoranda, arguments by counsel and pertinent case law, this Court DENIES IN PART and GRANTS IN PART the motions as set forth below. In the Bill of Particulars Motion, Defendants argue that they "are entitled to know each and every component of the compensation of officers' that the government contends is false on the corporation income tax returns, including its precise amount and source, and . . . to know the government's legal theory and/or theories that . . . allows the government to recharacterize officer compensation payments into political contributions." (Defs.' Mot. at 3-4.) The Government, however, counters that Defendants have been "charged in a detailed Indictment, containing a clear description of the charges." (Gov.'s Mem. in Opp'n at 2-3.) Further, the Government contends that "thousands of pages of discovery" have been provided to Defendants and its counsel has spoken with defense counsel "on multiple occasions . . . leaving no doubt that counsel fully understands the nature of the charges and the Government's theory." (Id. at 2.) The functions of a bill of particulars are: "to inform the defendant of the nature of the charge against him with sufficient precision to enable him to prepare for trial, to avoid or minimize the danger of surprise at the time of trial, and to enable him to plead his acquittal or conviction in bar of another prosecution for the same offense when the indictment itself is too vague, and indefinite for such purposes.'" United States v. Giese, 597 F.2d 1170, 1180 (9th Cir.) (quoting United States v. Birmley, 529 F.2d 103, 108 (6th Cir. 1976)), cert. denied, 444 U.S. 979 (1979). Generally, a bill of particulars is appropriate only when a defendant can "demonstrate surprise, prejudice, or an increased risk of double jeopardy stemming from the alleged shortcomings of the indictment." United States v. Burt, 765 F.2d 1364, 1367 (9th Cir. 1985); see also Fed. R. Crim. P. 7(f). In sum, "[a] defendant is not entitled to know all the evidence the government intends to produce but only the theory of the government's case. He is not entitled to know the content of the testimony of each of the government witnesses before trial." U.S. v. Ryland, 806 F.2d 941, 942 (9th Cir. 1986) (citing Giese, 597 F.2d at 1180). Here, the Court finds that the indictment, coupled with the discovery provided and counsel's explanation of the Government's theory during oral argument, sufficiently provide Defendants with the theory of the Government's case and, therefore, DENIES the Bill of Particulars Motion. In the Brady and Giglio Motion, Defendants point out that "the Government first negotiated with, and later obtained immunity orders for four corporate officers of Defendant TEC." (Defs.' Mot. at 8) (emphasis in the original.) Defendants seek an order compelling the Government "to produce all materials bearing on negotiations prior to and including immunity negotiations . . . and all material submitted to the Court in connection with the immunity orders." (Id.) In support of their request, Defendants argue that production of these materials is mandated by Giglio v. United States, 405 U.S. 150 (1972). Similarly, Defendants seek an order compelling "materials that would tend to impeach its witnesses as to veracity and accuracy" and "negative exculpatory' materials . . . . that tend to show the corporation did not act in a culpable manner." (Defs.' Mot. at 9.) The Government's response is succinct. It merely states that it "is somewhat puzzled by the nature of the defendants' motion for production of Brady and Giglio materials," and that it is aware of its obligations to produce exculpatory and impeachment evidence. (Gov.'s Mem. in Opp'n at 6.) Defendants are certainly entitled to exculpatory evidence. See Brady v. Maryland, 373 U.S. 83, 87 (1963) (due process requires the prosecution to produce evidence favorable to an accused upon request where the evidence is material either to guilt or to punishment). Likewise, Defendants are entitled to impeachment information, such as pleas or immunity agreements, consideration or promises of consideration for testimony, information bearing on the credibility of a government witness, and records of criminal conviction or pending criminal charges pertaining to any anticipated witness in the Government's case in chief. See Giglio v. United States, 405 U.S. 150 (1972). The Government does not dispute these obligations, and has agreed to "comply with its obligations and the Order of the Court at all times." (Defs.' Mem. in Opp'n at 6.) To the extent that there is exculpatory evidence, the Brady and Giglio Motion is GRANTED and the Government is hereby ordered to produce the evidence immediately, if it has not already done so. To the extent that there is impeachment evidence, a pretrial deadline by which the prosecution must disclose such material is ordinarily ordered by the Court. To the extent that Defendants seek a different deadline for the production of Giglio material, the Brady and Giglio Motion is DENIED. In the event that there is evidence which is both impeachment and exculpatory evidence, the Brady and Giglio Motion is GRANTED and the Government is hereby ordered to produce the evidence immediately, if it has not already done so. See United States v. Beckford, 962 F. Supp. 780, 786 (E.D. Va. 1997) (citing United States v. Bagley, 473 U.S. 667 (1985)) ("The Supreme Court repeatedly has made clear that evidence favorable to an accused' under Brady consists of both exculpatory evidence and impeachment evidence."). In oral argument, Defendants raised, for the first time, the issue of an in camera review of the applications for immunity. Given the Court's ruling, e.g., that Brady material must be produced immediately, and Giglio material shall be produced at the appropriate deadline prior to trial, an in camera review is unwarranted. In all other respects, the Brady and Giglio Motion is hereby DENIED. In the Expert Witness Motion, Defendants point to their Rule 16 request for expert witness material which requests, in pertinent part, "the witness' opinions, the bases and reasons for those opinions, and said witness' qualifications." (Defs.' Mot. at 2) (quoting Ex. A, Stephen P. Pingree, Esq.'s Letter of 9/20/04 at 2.) While Defendants acknowledge that the Government has responded to this request by stating that it "has not determined whether to call any expert witness to testify," Defendants argue that the response is entirely non-compliant. (Id. at 3) (quoting Ex. B, Michael A. Purpura, Esq.'s Letter of 9/29/04 at 3.) Defendants argue that Fed. R. Evid. 701 requires the Government to disclose its expert witnesses, including any "summary" witness "in a timely manner or be precluded from offering any such testimony at trial." (Defs.' Mot. at 9.) The Government counters by pointing to Rule 16(a)(1)(G) and argues that a "summary" witness is specifically exempt from the type of disclosures required when the Government calls a witness to offer opinion testimony. The Court agrees.Fed. R. Crim. P. 16(a)(1)(G) provides, in pertinent part, that "the government must give to the defendant a written summary of any testimony that the government intends to use under Rules 702, 703, or 705 of the Federal Rules of Evidence during its case-in-chief." Here, the Government represents that it intends to use a "summary" witness: [T]he Government likely will have a revenue agent of the Internal Revenue Service testify as a summary witness based on the evidence adduced at trial. This witness will observe the trial and perform computations based on both the documentary evidence and testimony that is received. The summary witness will listen to this testimony and, at the conclusion of the case, offer computations regarding the specific transactions at issue. (Gov.'s Mem. in Opp'n at 8.) Rule 701 specifically permits lay witnesses to offer opinion testimony: If the witness is not testifying as an expert, the witness' testimony in the form of opinions or inferences is limited to those opinions or inferences which are (a) rationally based on the perception of the witness, (b) helpful to a clear understanding of the witness' testimony or the determination of a fact in issue, and (c) not based on scientific, technical, or other specialized knowledge within the scope of Rule 702. Fed. R. Evid. 701. Thus, if the revenue agent limits his or her trial testimony to opinions based on the witness' perception, for instance, observations at trial, and mathematical calculations, then the disclosure requirements for an expert witness under Rule 16(a)(1)(G) are not triggered. If, however, the revenue agent's testimony involves opinions calling for expertise or specialized knowledge, such as whether certain deductions are permissible under the law or whether Defendants' actions were consistent with a tax evasion "scheme," then the testimony would be governed by Fed. R. Evid. 702 and the Government is obligated to make the requisite expert disclosures. See Rule 701 advisory committee notes, 2000 amendments ("The court in Brown noted that a lay witness with experience could testify that a substance appeared to be blood, but that a witness would have to qualify as an expert before he could testify that bruising around the eyes is indicative of skull trauma. This is the kind of distinction made by the amendment to this Rule.")(citing State v. Brown, 836 S.W.2d 530, 549 (1992)). See also United States v. Figueroa-Lopez, 25 F.3d 1241, 1246 (9th Cir. 1997) (law enforcement agents not permitted to testify as lay witnesses where testimony involved opinion that defendant's conduct was consistent with that of a drug trafficker). Defendants' Expert Witness Motion is therefore DENIED WITHOUT PREJUDICE to any party's ability to seek a motion in limine or any evidentiary ruling by the trial court. IT IS SO ORDERED. Cc: all counsel by Mag Judge Leslie E. Kobayashi [21-1], [23-1], [22-1] (bbb) Modified on 12/17/2004 (Entered: 12/17/2004)
12/20/200432 EP: MINUTES: CRIMINAL FINAL PRETRIAL CONFERENCE held. Defendant (01) Ken I. Mashima not present, presence waived. Attys Edward M. Robbins and Steven M. Toscher participated by phone. Jury Trial before Judge Susan Oki Mollway on January 11, 2005 at 9:00.a.m.. Representations by counsel on trial time: The United States: 4 to 5 day(s) Defendants (01) Ken I. Mashima and (02) Thermal Engineering Corporation: 1 day(s). Fed. R. Crim. P. 16(a) (1) (C) (E) disclosures made as to Defendants: (01) Ken I. Mashima and (02) Thermal Engineering Corporation1. Fed. R. Evid. 404(b) : N/A 2. a. Motions in Limine filed and served by :December 22, 2004. United States: 3 to 5 Motions, Defendants: 5 Motions. b. Memoranda in opposition to motions in limine filed and served by: December 27, 2004. 3. Brady and Giglio Material by: December 22, 2004 4. a. Jury Instructions exchanged by December 22, 2004. d. Filings required by 4(b) & (c) by: December 29, 2004. 5. Witness Lists per stipulation by January 4, 2005. 6. Exhibits a. Parties will exchange exhibits. b. Original exhibits tabbed and in folders/binders, copy in folders/binders. 7. Stipulations: In writing and filed by December 29, 2004. 8. Voir Dire Questions: In writing by December 29, 2004. 9. Trial Briefs: by December 29, 2004. 10. Jencks Disclosures by the Friday before trial (January 7, 2005). 11. Other Matters: A copy of the CR Final Pretrial Conference Order mailed to all parties. 12. N/A; Ken I. Mashima, Thermal Engineering, USA Attorney Michael M. Purpura, Edward M. Robbins, Steven Toscher, Stephen P. Pingree present ( Ct Rptr: C7 10:27-10:35) by Judge E. Kobayashi (bbb) (Entered: 12/22/2004)
12/20/200433 Third STIPULATION and order permitting travel by defendant Ken I. Mashima; exhibit a by Mag Judge Leslie E. Kobayashi [7-1] to modify conditions of release: deft to be allowed to travel outside the jurisdiction of Hawaii to Portland and Clackamas Oregon from 12/26/2004 thru 12/31/2004 (bbb) (Entered: 12/22/2004)
12/21/200434 STIPULATION and order by Judge Susan O. Mollway to amend briefing schedule for motions in limine - 12/30/04; opposition - 1/5/05 (gab) (Entered: 12/23/2004)
12/22/200435 Report of Final Pretrial Conference, Minutes and Order as to Ken I. Mashima, Thermal Engineering by Mag Judge Leslie E. Kobayashi (gab) (Entered: 12/23/2004)
12/22/200436 NOTICE of hearing setting hearing on Final Pretrial conference and motions in limine are set for 2:00 1/6/05 for Ken I. Mashima, for Thermal Engineering before Judge Susan Oki Mollway (gab) (Entered: 12/23/2004)
12/23/2004  TRANSCRIPT of Proceedings - December 13, 2004 - ORIG - ( Debra Kekuna Chun ) - pp 26 ;as to Ken I. Mashima, Thermal Engineering, USA (sm) (Entered: 12/28/2004)
12/27/200437 Government's SUBMISSION of original signature(s) to stipulation and order to amend briefing schedule for motions in limine [34-1] filed December 21, 2004 (bbb) (Entered: 12/28/2004)
12/29/200438 Defendants Ken I. Mashima and Thermal Engineering Corporation's PROPOSED supplemental Voir Dire questions; certificate of service (bbb) (Entered: 01/03/2005)
12/29/200439 Defendants Ken I. Mashima and Thermal Engineering Corporation's JOINT PROPOSED SPECIAL JURY Instructions; certificate of service (bbb) (Entered: 01/03/2005)
12/29/200440 Defendants Ken I. Mashima and Thermal Engineering Corporation's TRIAL Memorandum; certificate of service (bbb) (Entered: 01/03/2005)
12/29/200441 Defendants Ken I. Mashima and Thermal Engineering Corporation's Notice of hearing Motion and MOTION in limine re Government's use of expert testimony about the law and about defendants' intent, memorandum of points and authorities ; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/29/200442 Defendants Ken I. Mashima and Thermal Engineering Corporation's Notice of hearin gof motion and MOTION in limine re evidence of violations of campaign spending laws ; memorandum of points and authorities; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/29/200443 Defendants Ken I. Mashima and Thermal Engineering Corporation's Notice of hearing Motion and MOTION in limine re Government's use of expert testimony ; memorandum of points and authorities; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/29/200444 JOINT proposed JURY Instructions; certificate of service by plaintiff USA (bbb) (Entered: 01/03/2005)
12/29/200445 Government's TRIAL Brief; certificate of service as to defendants (01) Ken I Mashima and (02) Thermal Engineering Corp, (bbb) (Entered: 01/03/2005)
12/29/200446 Government's proposed JURY Instructions; certificate of service (bbb) (Entered: 01/03/2005)
12/29/200447 Government's PROPOSED Voir Dire questions; certificate of service (bbb) (Entered: 01/03/2005)
12/29/200448 Government's OBJECTIONS to defendant's proposed jury instructions [39-1]; certificate of service (bbb) (Entered: 01/03/2005)
12/30/200449 Notice of Government's Motion; MOTION in limine to preclude arguments concerning TEC's alleged practice of paying year-end bonuses to lower its taxable income as to Ken I. Mashima, Thermal Engineering ; certificate of serice - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/30/200450 Notice of Government's Motion; MOTION in limine to allow leading questions of certain witnesses as to Ken I. Mashima, Thermal Engineering ; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/30/200451 Notice of Government's Motion; MOTION in limine to preclude arguments concerning the excess payment of taxes by TEC officers as to Ken I. Mashima, Thermal Engineering ; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/30/200452 Notice of Government's Motion; MOTION in limine to preclude evidence concerning the outcome of the related state proceedings as to Ken I. Mashima, Thermal Engineering ; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
12/30/200453 Notice of Government's Motion; MOTION in limine to preclude expert testimony as to Ken I. Mashima, Thermal Engineering ; exhibit a; certificate of service - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/03/2005)
01/03/200554 MOTION to compel testimony by USA as to Ken I. Mashima, Thermal Engineering ; exhibit a; Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/05/2005)
01/03/200555 MOTION to compel testimony by USA as to Ken I. Mashima, Thermal Engineering ; exhibit a - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/05/2005)
01/03/200556 MOTION to compel testimony by USA as to Ken I. Mashima, Thermal Engineering ; exhibit a - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/05/2005)
01/03/200557 MOTION to compel testimony by USA as to Ken I. Mashima, Thermal Engineering ; exhibit a - Motion hearing set for 2:00 01/06/2005 SOM (bbb) (Entered: 01/05/2005)
01/04/200558 ORDER compelling testimony of Peter Schubert by Judge Susan O. Mollway (bbb) (Entered: 01/06/2005)
01/04/200559 ORDER compelling testimony of Kevin Mitsuo Machida by Judge Susan O. Mollway (bbb) (Entered: 01/06/2005)
01/04/200560 ORDER compelling testimony of Lisa Haunani Oxentine by Judge Susan O. Mollway (bbb) (Entered: 01/06/2005)
01/04/200561 ORDER compelling testimony of Bruce Nobuo Omori (bbb) (Entered: 01/06/2005)
01/04/200562 Defendants Ken I. Mashima and Thermal Engineering's OBJECTIONS to Government's proposed juryt instructions [46-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200563 Defendants Ken I. Mashima and Thermal Engineering's JOINT OPPOSITION to plaintiff's motion in limine to preclude arguments concerning the excess payment of taxes by TEC officers [51-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200564 Defendants Ken I. Mashima and Thermal Engineering's JOINT OPPOSITION to plaintiff's motion in limine to preclude arguments concerning TEC's alleged practice of paying year-end bonuses to lower its taxable income [49-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200565 s Ken I. Mashima and Thermal Engineering'S JOINT OPPOSITION to plaintiff's motion in lime to allow leading questions of certain witnesses [50-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200566 Defendants Ken I. Mashima and Thermal Engineering Corporation's OPPOSITION to Government's motion in limine to preclude evidence concerning the outcome of the related state proceedings [52-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200567 Defendants Ken I. Mashima and Thermal Engineering Corporation's OPPOSITION to plaintiff's motion in limine to preclude expert testimony [53-1]; certificate of service (bbb) (Entered: 01/06/2005)
01/04/200568 Defendants Ken I. Mashima and Thermal Engineering Corporation's JOINT DISCLOSURE pursuant to Rule 16(b)(1)(C); certificate of service (bbb) (Entered: 01/06/2005)
01/04/200569 WITNESS list; certificate of service by defendants Ken I. Mashima and Thermal Engineering Corporation (bbb) (Entered: 01/06/2005)
01/04/200570 Government's WITNESS list; certificate of service (bbb) (Entered: 01/06/2005)
01/05/200571 Government's MEMORANDUM in opposition to defendants' motion in limine; certificate of service [43-1], [42-1], [41-1] (bbb) (Entered: 01/06/2005)
01/06/200572 EP: MINUTES: Defendant (01) Ken I. Mashima present.Defendant (02) Thermal Engineering Corporation - Paul Fukunaga, corporate designee officer, present. Arguments. Defendants Ken I. Mashima and Thermal Engineering Coporation's Motion in Limine Re: Government's use of Expert Testimony - Denied. Defendants Ken I. Mashima and Thermal Engineering Corporation's Motion in Limine Re: Evidence of Violations of Campaign Spending Laws - Denied. Defendants Ken I. Mashima and Thermal Engineering Corporation's Motion in Limine Re: Government use of Expert Testimony about the Law and about Defendants' Intent - Granted without objection. Government's Motion In Limine to Allow Leading Questions of Certain Witnesses - Denied without prejudice to being renewed. Government's Motion in Limine to Preclude Arguments Concerning the Excess Payments of Taxes by TEC Officers - Denied. Government's Motion in Limine to Preclude Evidence Concerning the Outcome of the Related State Proceedings - Granted in part and Denied in part. Government's Motion in Limine to Preclude Expert Testimony - Denied. Government's Motion in Limine to Preclude Arguments concerning TEC's Alleged Practice of Paying Year-End Bonuses to Lower its Taxable income - Denied. Pretrial Conference - Trial estimate: Government - 3 - 4 Days; Defendants 1 Day. Opening statements - Government: 30 - 45 minutes; Defendant (01): 20 - 30 minutes; Defendant (02): 15 - 20 minutes. No written order will be issued. Parties may order the transcript from the court reporter. [53-1], [52-1], [51-1], [50-1], [49-1], [43-1], [42-1], [41-1]; Ken I. Mashima, Thermal Engineering, USA Attorney Michael Purpura, Lawrence Tong, Edward M. Robbins, Steven Toscher, Stephen P. Pingree present ( Ct Rptr: Debra Chun) by Judge Susan O. Mollway (bbb) (Entered: 01/07/2005)
01/07/200573 EP: MINUTES: Telephone Conference - held in Chambers. Defendants not present, and their presences are waived for purposes of this hearing. Court discloses her personal relationship with a potential witness listed on defendants' witness list (Patricia McHenry). Discussion held. Parties informed the Court that there is no recusal issue. 1:15 p.m. - Further Telephone Conference - held in Chambers. Further discussion held. Defense counsel to contact the witnesses' attorneys and then to contact the government's counsel. Further conference continued to 3:30 p.m. 3:55 p.m. - Further discussion held re: the possibility of Ms. McHenry being called as government's rebuttal witness. Court recuses itself over defendants' objection. Order of recusal to be filed and this case will be re-assigned to another Judge. ; Ken I. Mashima, Thermal Engineering, USA Attorney J. Michael Seabright, Michael Purpura, Lawrence Tong, Edward M. Robbins, Steven Toscher, Stephen P. Pingree all parties present by phone ( Ct Rptr: Cynthia Fazio) by Judge Susan O. Mollway (bbb) (Entered: 01/10/2005)
01/07/200574 ORDER of recusal by Judge Susan O. Mollway case reassigned to Judge David A. Ezra (cc: all counsel) (bbb) (Entered: 01/10/2005)
01/07/200575 EO: MINUTES: Status Conference. Status Conference held. Further Status Conference set for 1/10/2005 @900amDAE. ; status hearing set for 9:00 1/10/05 for Ken I. Mashima, for Thermal Engineering by Judge David A. Ezra (bbb) (Entered: 01/10/2005)
01/07/200576 EO: MINUTES: Status Conference set for 01/10/2005 09:00:00 AM before DAE ; status hearing set for 9:00 1/10/05 for Ken I. Mashima, for Thermal Engineering by Judge David A. Ezra (bbb) (Entered: 01/10/2005)
01/10/200577 EP: MINUTES: Status Conference. Status Conference held. Trial date continued from 1/11/2005 to 6/21/2005. The Court finds that the ends of justice served by such an action outweigh the best interest of the public and the defendant in a speedy trial. The Court order that the period from 1/11/2005 to and including 6/21/2005 be excluded from computation under the Speedy Trial Act as a failure to grant the continuance would unreasonably deny counsel for the defendant reasonable time necessary for effective preparation, taking into account the exercise of due diligence. Mr. Purpura to prepare order. Defendant to notify Pretrial Services 5 days before traveling out of state. cc: PTS; Ken I. Mashima, Thermal Engineering, USA Attorney Michael Purpura, Edward M. Robbins, Steven Stephen P. Pingree present ( Ct Rptr: Cynthia Fazio) by Judge David A. Ezra (bbb) Modified on 01/12/2005 (Entered: 01/12/2005)
01/11/200578 ORDER continuing trial and excluding time; certificate of service by Judge David A. Ezra ; jury trial set for 9:00 6/21/05 for Ken I. Mashima, for Thermal Engineering , time excluded between 01/11/2005 thru 06/21/2005 by USA (bbb) (Entered: 01/12/2005)
01/31/2005  TRANSCRIPT of Proceedings - 01/06/2005 - ORIG - ( Debra Chun ) - pp 59 ;as to Ken I. Mashima, Thermal Engineering (bbb) (Entered: 01/31/2005)
04/26/200579 NOTICE of hearing setting hearing on motion to withdraw not guilty plea and to plead anew set for 3:30 5/9/05 for Thermal Engineering before Judge Leslie E. Kobayashi (gab) (Entered: 04/27/2005)
05/06/200580 NOTICE of hearing setting hearing on RE: CR NO. 04-00340DAE USA vs. (02) THERMAL ENGINEERING CORPORATION Motion for Withdrawal of Not Guilty Plea and To Plead Anew set for 3:30 5/9/05 is moved up to 10:00 5/9/05, LEK AUSA, Michael M. Purpura Deft's Atty, Stephen P. Pingree (eps) (Entered: 05/09/2005)
05/09/200581 CONSENT to Rule 11 plea in a felony case before a United States Magistrate Judge as to Thermal Engineering (gs) (Entered: 05/09/2005)
05/09/200582 EP: MINUTES: Motion for withdrawal of Not Guilty plea and to plead anew - Representative of Deft Corporation, Paul S. Fukunaga, Vice-President present, not in custody; Representative of Defendant Corporation sworn, questioned by the Court. Consent to Rule 11 Plea In a Felony Case Before United States Magistrate, signatures verified and filed. Memorandum of Plea Agreement, signatures verified and filed. Court informs Representative of Defendant Corporation of sentencing guidelines, possible departure from sentencing guidelines, possible penalties, supervised release, limited rights to appeal, etc. Plea of Guilty as to Counts 5 through 8 of the Indictment entered by the Representative of Defendant Corporation. R&R signed, with 10 days to object. Pre-Sentence report ordered from USPO ; SENTENCING to Counts 5 through 8 of the Indictment set for 3:00 p.m. 1/17/06 before Judge David Alan Ezra ; Thermal Engineering, USA Attorney Michael Purpura, Stephen P. Pingree present (Ct Rptr: C7; 10:00-10:25) by Judge Kobayashi (gs) (Entered: 05/09/2005)
05/09/200583 MEMORANDUM of Plea Agreement as to Thermal Engineering (gs) (Entered: 05/09/2005)
05/09/200584 Report and Recommendation concerning Plea of Guilty as to Thermal Engineering (gs) (Entered: 05/09/2005)
06/01/200585 Acceptance of Plea of Guilty, Adjudication of Guilt and Notice of Sentencing as to Thermal Engineering by Judge David A. Ezra (bbb) (Entered: 06/03/2005)
07/13/200586 Government's SENTENCING Statement; certificate of service as to Thermal Engineering (bbb) (Entered: 07/14/2005)
07/14/200587 Defendant Thermal Engineering's SENTENCING Statement; certificate of service (SEALED) (bbb) (Entered: 07/15/2005)
08/04/200588 SENTENCING memorandum of Thermal Engineering Corporation; exhibits a and b; certificate of service (SEALED) (bbb) (Entered: 08/08/2005)
08/16/200589 United States' MEMORANDUM in opposition to Defendant Thermal Engineering Corporation's sentencing statement [87-1]; certificate of service (SEALED) (bbb) (Entered: 08/17/2005)
09/07/200590 NOTICE of hearing setting hearing on ; sentencing date has been changed from 1/17/2006 to 9:45 10/3/05 for Thermal Engineering before Judge David Alan Ezra (gab) (Entered: 09/08/2005)
09/13/200591 STIPULATION to advance sentencing hearing; order by Judge David A. Ezra ; sentencing hearing set for 9:45 10/3/05 for Thermal Engineering (bbb) (Entered: 09/14/2005)
09/15/200592 CERTIFICATE of service by defendant Thermal Engineering (gs) (Entered: 09/16/2005)
10/03/200594 EP: MINUTES: Sentencing to Counts 5 through 8 of the Indictment as to Defendant (02)Thermal Engineering Corporation[Paul S. Fukunaga, Vice President] Defendant (02)Thermal Engineering Corporation[Paul S. Fukunaga, Vice President] present, not in custody. The Memorandum Plea Agreement is accepted. Presentence Report adopted. Sentencing recommendations heard. Allocution by Defendant (02)Thermal Engineering Corporation[Paul S. Fukunaga, Vice President] sentencing hearing held on 10/3/05 , sentencing Thermal Engineering (2) count(s) 5-8. PROBATION: 3 YEARS, as to each of Counts 5 through 8, with all such terms to run concurrently CONDITIONS: 1. Defendant shall observe the standard conditions of probation. 2. Defendant shall not commit any federal, state, or local crimes. 3. Defendant shall provide the Probation Office with access to any requested financial information.Special Assessment: $1600.00. FINE: $100,000.00 , Defendant advised of his right to appeal. case terminated ; Thermal Engineering, USA Attorney Michael Purpura, Stephen P. Pingree, Roy Kawamoto-USPO present ( Ct Rptr: Cythia T. Fazio) by Judge David A. Ezra (bbb) (Entered: 10/04/2005)
10/05/200595 EO: MINUTES: Sentencing to Counts 5 through 8 of the Indictment as to Defendant (02)Thermal Engineering Corporation[Paul S. Fukunaga, Vice President] The following condition is added: [94-4] amended sentence Thermal Engineering (2) count(s) 5-8.: 10/05/2005 4. That the fine of $100,000.00 is due within THIRTY(30) DAYS of sentencing. as to Thermal Engineering by Judge David A. Ezra (bbb) (Entered: 10/06/2005)
10/14/200596 JUDGMENT and Commitment as to Thermal Engineering by Judge David A. Ezra (cc: all counsel) (bbb) Additional attachment(s) added on 8/4/2006 (tbf, ). (Entered: 10/14/2005)
11/02/200597 PRESENTENCE Report on Thermal Engineering (original sealed and held in probation office). (bbb) (Entered: 11/02/2005)
11/02/200598 SENTENCING RECOMMENDATION as to Thermal Engineering (original sealed and held in probation office) (bbb) (Entered: 11/02/2005)
10/03/200899 PROBATION FORM 34-Termination of Supervised Release/Probation as to Thermal Engineering Corporation. Signed on 10/2/2008 by JUDGE J. MICHAEL SEABRIGHT for JUDGE DAVID ALAN EZRA. (afc) (Entered: 10/03/2008)