Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 1 of 10 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF GEORGIA SAVANNAH DIVISION

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1 a / Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 1 of 10 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF GEORGIA SAVANNAH DIVISION minimum mandatory No 5K1.1 No 35(b)No Appeal Waiver No Forfeiture Yes Corporate Plea Yes UNITED STATES OF AMERICA CR cd c_i) DIAMOND CASINO CRUISE, LLC SUMMARY OF PLEA AGREEMENT ij 1uiFU JULIE M. WADE, ESQ. ASSISTANT U.S. ATTORNEYS: JEFFREY J. BUERSTATTE JENNIFER G. SOLAR1 STATUTE CHARGED: 18 U.S.C Conducting Illegal Gambling Business CHARGE PLEADING TO: 18 U.S.C Conducting Illegal Gambling Business PENALTIES: 18 U.S.C Conducting Illegal Gambling Business - A fine of not more than $ Probation for not more than five (5) years. - Special assessment of $100. ELEMENTS OF THE OFFENSE: 18 U.S.C Conducting Illegal Gambling Business First: At least five people, including the Defendant, knowingly conducted, financed, managed, supervised, directed, or owned all or part of a gambling business; Second: the gambling business violated the laws of Georgia; and Third: the gambling business was in substantially continuous operation for at least 30 days or had gross revenue of at least $2,000 on any single day.

2 Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 2 of 10 SUMMARY OF GOVERNMENT'S PROMISES: The government agrees: 1. Not to prosecute any principal owners of the Defendant herein, including Alvin Shuman, for any offense related to the Superseding Indictment in this case; 2. Not to seek forfeiture of any amount over $$980,000.00, as further identified in the Forfeiture Allegation of the Superseding Indictment; 3. That it will move for dismissal of Civil Case Number CV , United States v. $986,042.87; and 4. In lieu of the forfeiture agreed upon, to recommend that no fine be imposed. SUMMARY OF DEFENDANT'S PROMISES: The Defendant agrees: 1. To plead guilty to the offense charged in the Superseding Indictment; 2. That the Defendant and principal owners of Defendant will forfeit $980,000.00, as identified in the Forfeiture Allegation in the Superseding Indicted, and to take all necessary steps to pass clear title of said property to the United States. PLEA AGREEMENT Karl I. Knoche, Assistant United States Attorney, Jeffrey J. Buerstatte, Assistant United States Attorney, and Jennifer G. Solari, Assistant United States Attorney, and Julie M. Wade, Esq., attorney for the defendant, pursuant to the provisions of Rule 11(c), Federal Rules of Criminal Procedure, as amended, have, with the authorization of the undersigned defendant, heretofore entered into discussions with a view towards reaching a pretrial conclusion of the charge pending in the Superseding Indictment referenced herein; and a Plea Agreement has been reached by said parties in the following respects: 2

3 Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 3 of 10 GOVERNMENT'S OBLIGATIONS 1. Upon entering a plea of guilty by the Defendant to the offense charged in Count One of the Superseding Indictment, the attorneys for the government will do the following: a. The government will not prosecute any principal owners of Defendant herein, including Alvin Shuman, for any acts giving rise or related to the Superseding Indictment referenced herein. b. The government agrees not to seek forfeiture of any amount over $980,000.00, as further identified in the Forfeiture Allegation of the Superseding Indictment. c. The government agrees that it will move for dismissal of Civil Case Number CV , United States v. $986, d. In lieu of the forfeiture agreed upon herein, the government will recommend that no fine be imposed. 2. The government reserves the right to inform the Court and the U. S. Probation Office of all facts pertinent to the sentencing process, including all relevant information concerning the Defendant and its background, and to respond to any questions from the Court and the Probation Office and to any misstatements of fact or law. The government will inform the Defendant and defense counsel of all information provided to the probation office at the time it is provided to that office. DEFENDANT'S OBLIGATIONS Indictment. 3. The Defendant agrees to plead guilty to Count One of the Superseding 3

4 ha Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 4 of Forfeiture a. The Defendant and principal owners of Defendant agree to forfeit the sum of $980,000.00, said sum constituting or derived from proceeds the Defendant and Defendant's principals obtained directly or indirectly as a result of the Title 18 violation alleged in the Superseding Indictment, and as such is subject to forfeiture to the United States of America. b. By this agreement, the Defendant and principals of Defendant agree to forfeit all interests in the property described above and to take whatever steps are necessary to pass clear title to the United States. These steps include but are not limited to surrender of title, the signing of a consent order or decree, a stipulation of facts regarding the transfer and basis for the forfeiture and signing any other documents necessary to effectuate such transfer. The above property is forfeited to the United States pursuant to the provisions of Title 21, United States Code, Section 853. The Defendant stipulates that forfeiture of the above-referenced property is not constitutionally excessive and is justified in light of the offense for which the Defendant will be convicted upon entry of a guilty plea pursuant to this Plea Agreement. 5. If the Defendant has failed or should fail in any way to fulfill completely its obligations under this agreement then the government will be released from its commitment to honor all of its obligations to Defendant. Thus, if the Defendant should fail to fulfill its obligation under this agreement, the government will be free to prosecute the Defendant for all violations of federal criminal law which it has committed; and to recommend a maximum sentence. The parties agree to submit to the court, to be decided by a preponderance of the evidence standard, the question of whether Defendant has breached this Agreement. 4

5 Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 5 of ) REPRESENTATIONS OF THE DEFENDANT MADE TO THE COURT 6. The Defendant, before entering a plea of guilty to Count One of the Superseding Indictment provided for herein by said Plea Agreement, advises the Court that: a. The discussions between the attorneys for the government and the attorney for the Defendant towards reaching an agreed plea in this case have taken place with the Defendant's authorization and consent. b. The Defendant understands the nature of the charges to which the plea to Count One of the Superseding Indictment is offered, that is, that the Defendant, through the acts of its agents/crew on board the vessel MN Diamond Royale, did commit the offense identified in Count One of the Superseding Indictment, that is to say, a violation of Title 18, United States Code, Sections 2 and Factual Basis c. The Defendant further understands that the nature of the charges to which the plea is offered involves proof as to Count One of the Superseding Indictment, as follows: COUNT ONE From an unknown date, but at least beginning in or about July 2010, up to and including on or about November 14, 2011, in Chatham County, in the Southern District of Georgia, and elsewhere, Defendant Diamond Casino Cruise, LLC, aided and abetted by and acting through its agents Defendants Gregory L. Sicilia, Jeffrey M. Thompson, and John H. Sternberg, did conduct, finance, manage, supervise, direct and own all or part of an illegal gambling business involving a gambling casino vessel, which gambling business was a violation of Georgia law, that is, a violation of O.C.G.A ; and which involved five or more persons 5

6 2 IQ Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 6 of 10 who conducted, financed, managed, supervised, directed and owned all or part of said illegal gambling business, and which remained in substantially continuous operation for a period in excess of thirty days, and had a gross revenue of more than $2,000 in any single day. All done in violation of Title 18, United States Code, Section FORFEITURE ALLEGATION Upon conviction of the violation alleged in Count One of this indictment, Defendant Diamond Casino Cruise, LLC, shall forfeit to the United States of America, pursuant to Title 18, United States Code, Section 981(a)(1)(C), and Title 28, United States Code, Section 2461(c), cash proceeds of the offense charged in Count One, in the amount of $980,000.00, seized in November d. The Defendant understands that Defendant has a right to be represented by an attorney at every stage of the proceedings against Defendant herein and is represented by the Defendant's undersigned attorney. e. The Defendant understands that Defendant has the right to plead not guilty and has the right to be tried by a jury and, at a trial thereof, has the right to the assistance of counsel, the right to confront and cross-examine witnesses against Defendant, and the right to call witnesses in Defendant's own behalf, and that if the Defendant enters a plea of guilty herein, there will not be a further trial of any kind and that by the entry of such a plea, the Defendant waives the right to a trial by jury or to a trial before the Court. f. The Defendant further understands and advises the Court that the Plea Agreement as set forth herein and the plea to be entered by the Defendant as a result thereof is voluntary on the Defendant's part and is not the result of any force or threats. The Defendant further advises the Court that the Plea Agreement set forth 6

7 Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 7 of 10 a herein is the result of prior discussions between the attorneys for the government and the attorney for the Defendant, all conducted with the Defendant's authorization, knowledge and consent. g. The Defendant further advises the Court that the Defendant's understanding of this Plea Agreement is as set forth in this document. h. The Defendant further advises the Court that it is understood that the Court is not a party to this agreement and that the government can only make recommendations which are not binding on the Court, and that the Defendant understands that after the entry of the guilty plea, the Defendant has no absolute right to withdraw the plea. Thus, the Court is free to impose any sentence authorized by statute, including probation for not more than five (5) years, a fine of not more than $500,000, and a special assessment of $100. The Defendant also understands that in accordance with United States v. Booker, the district court, while not bound to apply the federal sentencing guidelines, must consult those guidelines and take them into account to formulate a reasonable sentence. L The Defendant further advises the Court that the Defendant understands and has been advised that evidence of a plea of guilty, later withdrawn or an offer to plead guilty to the offense charged in Count One of the Superseding Indictment herein, or of statements made in connection with and relevant to said plea or offer to plead, shall not be admissible in any civil or criminal proceedings against the Defendant. However, the Defendant does understand that evidence of a statement made in connection with and relevant to a plea of guilty, later withdrawn, or an offer to plead guilty to the offense charged in Count One of the Superseding Indictment herein, is admissible in a criminal proceeding for perjury or false statement when the statement 7

8 bi Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 8 of 10 was made by an agent for the Defendant under oath, on the court record, and in the presence of counsel. j. The Defendant understands that the U. S. Probation Office will prepare a presentence investigation report for the Court. The U. S. Probation Office will consider Defendant's conduct relevant to the acts committed by the Defendant, including the offense to which Defendant is pleading. The offense level and criminal history category determined by the U. S. Probation Office and the Court may differ from that projected by Defendant's counsel or attorneys for the government. In the event the Court determines Defendant's offense level or criminal history category to be higher than Defendant anticipated, Defendant will nonetheless have no absolute right to withdraw Defendant's plea. 7. In addition to the foregoing provisions to which Defendant agrees, Defendant's agent agrees that there is a factual basis for its plea and that Defendant's attorney has acted competently and in the Defendant's best interests during her representation of Defendant. The Defendant understands that in entering a plea of guilty, the Court may ask questions about the offense to which the plea is entered. The Defendant understands that the Defendant's agent will be under oath and on the record in answering those questions, and that the Defendant's answers may later be used against the Defendant in a criminal prosecution for perjury or false statements if those answers are not truthful. 8. The undersigned attorneys for the government and for the Defendant represent to the Court that the foregoing Plea Agreement is the agreement of the parties that has been reached pursuant to the Plea Agreement procedure provided for in Rule 11, Federal Rules of Criminal Procedure, as amended. The attorney for the Defendant further advises the Court that the Defendant has been advised of the nature of the charge to which the foregoing described plea is to be offered, and that the 8

9 -- Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 9 of 10 Defendant has been advised of the Defendant's right to plead not guilty and to be tried by a jury on all issues herein; of the maximum possible penalty provided by law; that by the entering of a plea of guilty as aforesaid, the Defendant waives the right to be tried by a jury or by the Court, waives the right to confront and cross-examine witnesses against Defendant; and that if the Defendant pleads guilty, there will not be a further trial of any kind. This _ day of February, EDWARD J. TARVER UNITED STATES ATTORNEY Karl I. Knoche Assistant United States Attorney Deputy Chief, Criminal Division,J erstatte Assistant United States Attorney Julie M. Wade, Esq. Attorney for Defendant 4ennIfr G. Solari As.srtant United States Attorney I have read the foregoing Plea Agreement, consisting of 9 pages, understand the same, and the matters and facts set forth therein accurately and correctly state the representations that have been made to me and accurately set forth the conditions of the Plea Agreement that has been reached. For ndw 0 a-e~~.,?-- / Q I I _-~ Date 9

10 a Case 4:12-cr WTM-GRS Document 153 Filed 06/17/13 Page 10 of 10 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF GEORGIA SAVANNAH DIVISION UNITED STATES OF AMERICA V. CR DIAMOND CASINO CRUISE, LLC ORDER The aforesaid Plea Agreement, having been considered by the Court in conjunction with the interrogation by the Court of the Defendant and the Defendant's attorney at a hearing on the Defendant's motion to change his plea and the Court finding that the plea of guilty is made freely, voluntarily and knowingly, it is thereupon, ORDERED that the plea of guilty by Defendant be, and it is, hereby accepted and the foregoing Plea Agreement be, and it is, hereby ratified and confirmed. This day of,2013. Hon. William T. Moore, JrL" Judge United States District Court Southern District of Georgia