U.S. District Court, Western District of N.Y. Case Summaries:

Daily Record (Rochester, NY), Oct 20, 2008

U.S. District Court, Western District of N.Y.

Competency

U.S. v. Leonardo

01-CR-6001

Judge Larimer

Background: The prosecutors in the case of Anthony F. Leonardo sought resentencing earlier in 2008 based on their contention that he breached the plea agreement by moving for downward departures not permitted by the agreement. During the time the parties were preparing for those proceedings, the defendant suffered severe head injuries while in the custody of the Bureau of Prisons. At issue before the court was Leonardo's ability to appear and assist defense counsel in the upcoming sentencing proceedings. Officials reported that, due to the defendant's injury, he is suffering from dementia.

Ruling: The court needs a complete report on the defendant's medical and mental condition since neither the government nor the defendant has filed a motion for a mental competency hearing. The report will assist the court in determining how to proceed.

John R. Parrinello for the defendant, and Charles B. Wydysh, U.S. Attorney's Office, for the United States

New York State Court of Appeals

Evidence

People v. Kozlowski

1 No. 137

Appealed from the Appellate Division

Background: The defendants are former Tyco CEO Kozlowski and CFO Mark H. Swartz. After a six-month trial, a jury convicted the defendants of 12 counts of first degree grand larceny, eight counts of first degree falsifying business records, one count of fourth degree conspiracy and one Martin Act count of securities fraud. In the appeal, they argue the admission of an attorney's testimony concerning certain facts related to a corporate internal investigation improperly conveyed to the jury an opinion regarding the defendants' guilt.

Ruling: The court finds that the testimony did not convey an opinion as to the defendants' guilt. The Appellate Division's judgment is affirmed.

John S. Martin for the appellant, and Amyjane Rettew for the respondents

Employment

Contract

Goldman v. White Plains Center for Nursing Care LLC

1 No. 140

Appealed from the Appellate Division

Background: Plaintiff Lorraine Goldman entered into a written employment agreement to become the administrative director of two skilled nursing facilities for a two-year period beginning April 1, 1990. Her status after the two-year period is the subject of the dispute. The court is deciding whether the expiration of a two-year employment contract gives rise to successive one-year implied contracts when an employee continues working for the employer without a new agreement.

Ruling: The plaintiff became an at-will employee at the end of the two-year period. The Appellate Division's judgment is affirmed.

Annette G. Hasapidis for the appellants, and Sarah C. Lichtenstein for the respondents

Sentencing

People v. Smith

2 No. 149

Appealed from the Appellate Division

Background: The defendant pleaded guilty to one count of rape in the third degree after admitting he was 31 when he engaged in sexual intercourse with the 16-year-old victim. Pursuant to the Sex Offender Registration Act, the defendant conceded the risk assessment instrument imposed 70 points, the maximum for presumptive risk level one offender status. His classification turned on whether he should receive additional points under risk factor seven on the basis that his crime "was directed at a stranger or a person with whom a relationship had been established or promoted for the primary purpose of victimization." The county court assessed 20 points under that risk factor, designating the defendant a level two sex offender, and the Appellate Division affirmed.

Ruling: The case is remanded as the county court did not adequately set forth the findings of fact and conclusions of law on which it based its decision to assess defendant 20 points under the risk factor pertaining to defendant's relationship with the victim.

James H. Miller III for the appellant, and Michael J. Miller for the respondent

Collateral Estoppel

Tydings v. Greenfield, Stein & Senior LLP

1 No. 154

Appealed from the Appellate Division

Background: Frieda Tydings brings the legal malpractice action against a law firm alleging the firm's negligence in defending a proceeding to compel an accounting caused her damage. Tydings served for several years as trustee of a grantor trust and resigned in 1997. Six years later, a petition was filed seeking an accounting. At issue is whether collateral estoppel prevents relitigation of a ruling that was an alternative basis for a trial-level decision, when an appellate court affirmed the decision without addressing that ruling.

Ruling: Collateral estoppel does not prevent relitigation of a ruling that was an alternative basis for a trial-level decision. The Appellate Division's order is affirmed.

James J. Maloney for the appellant, and Bertrand C. Sellier for the respondent