United States v. Dazey

403 F.3d 1147 (10th Cir. 2005)

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Nature of the Case

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Facts

Wealth-Mart promised investors very high returns within a few months. Because Wealth-Mart invested in instruments representing obligations of major world banks the investors' principal was guaranteed. Wealth-Mart solicited over 14 million dollars in investments at investment seminars. It was a scam. Eventually, Ds were indicted and tried. P offered testimony from several people who attended Wealth-Mart's Colorado seminars. Some of these investors took notes. The government offered, as exhibits, the seminar notes of three such investors. P offered testimony from several people who attended Wealth-Mart's Colorado seminars. Some of these investors took notes. The government offered, as exhibits, the seminar notes of three such investors. The district court admitted the notes over Ds' objection. D objected to the foundation. The then asked the witness, 'Did you make these notes contemporaneously with the events that occurred?' The witness responded affirmatively, and the judge permitted the witness to continue testifying about the notes and also admitted the notes as an exhibit. P’s examination took the form of a running commentary. The prosecutor points to a particular phrase in the notes and asks what it means, and the witness explains the notation and elaborates on what Ds said on that topic. In many instances the notes were illegible. The witnesses retained some independent memory of what was said, and none of the witnesses actually stated that he or she could not recollect any particular aspect of the seminars. Ds were convicted and appealed.