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Welcome to White Collar Talks with Nina and Joe.
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I'm Nina Marino.
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And I'm Joe Whitley.
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And we've got a super special guest with us today.
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Joe, why don't you introduce our listeners to our guest?
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Well, I'm not no stranger to this guest, and uh I'm really pleased that we have uh a second body of the apple uh with Joseph D.
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Gregorio, who's the founder and president of Sentencing Advocacy Group, a federal sentencing strategy firm that works alongside Defense Council nationwide on pre-sentence investigation preparation and post-sentencing execution.
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Um Joseph has worked on more than 500 cases nationwide.
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Uh he is a contributor to Bloomberg Law, Bloomberg Tax, Law 360.
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He sits on the 2026 criminal practice editorial advisory board.
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Um, and his work has been featured in Business Insider and U.S.
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Weekly.
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He has completed more than 80 certifications from institutions ranging from Wharton, Yale, Duke, and Columbia.
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Um today's conversation with uh Joseph Nina is built around his article, uh The Mitigation Revolution, published this summer in the CGAS magazine.
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And I think I think I may share it with you, and also Joseph, that I've read that article now, I think three times, and uh every time I read it, I I wonder why.
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I didn't know some of the things that are in the article that Joseph wrote.
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And uh it's been a real blessing and and a good opportunity, uh whatever you want to call it, for me to have met Joseph because I can see how all of my clients coming after that have some sensing in their future will be benefited greatly by some of the advice Joseph shares.
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So let me turn it back over to you, and um and then every question Joseph says will relate back to the mitigation revolution article.
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So here we go, Nina.
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Sounds good, Joe.
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Um and Joseph.
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Um, this is easy for me.
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We both have the same name.
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So um you have a very impressive career, and you know, I joined Joe in being really just delighted to have you on our podcast.
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Um before we jump into the article itself, which I echo Joe's commentary, is pretty fantastic.
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Um I I want I want our listeners to understand, you know, what prompted you to write it?
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Like, you know, what's the backstory there?
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Uh Nina, Joe, thank you kindly for having me.
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It was uh a real honor and privilege to speak at the Southeastern White Collar Crime Institute last month, and it's an honor to continue that conversation here with the American Bar Association.
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Uh I was a licensed uh for over 20 years.
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I work as a licensed trader on Wall Street, managing clients' assets and overseeing traders on the company trading floor.
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People placed their trust in me.
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I made decisions I should not have made, decisions that violated the trust of my clients.
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I was federally charged and convicted, and I own that completely and without qualification.
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When I began preparing for sentencing, I had to confront a question that went well beyond what sentence I might receive.
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What would taking responsibility actually require of me?
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And I worked two jobs, starting to began starting to pay restitution before sentencing, and wrote a substantial personal letter backstory to the judge that my lawyer helped include in my pre-sentence report.
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I had to examine my choices and the harm that I caused and what needed to change and how I lived.
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And I don't offer my conviction as a credential.
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The foundation of my methodology is the work I undertook in response to it and what that experience taught and what that experience taught me about making accountability concrete.
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I know the federal journey from the inside, preparing for sentencing, serving time, working towards an early release and rebuilding afterwards.
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And that experience taught me that accountability has to survive the hearing.
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It has to remain visible in the decisions you make when there is no immediate benefit for making them.
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And that became the foundation of Sentencing Advocacy Group.
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Today I help people undertake that work and alongside counsel develop a record that allows others to evaluate it.
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And for me, redemption is a lifelong commitment, and helping people understand what that commitment requires and put it into practice is how this became my life's work.
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So wow, I mean, that is a story.
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Your it was your own personal experience that essentially led you to writing this incredible article.
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Um, and it's really a gift to us as white-collar criminal defense attorneys, and frankly, all criminal defense attorneys to have this sort of resource material.
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Um the
Load full transcript
article opens with the line there is a verdict rendered before the judge ever speaks.
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What do you mean by that?
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I mean that conduct starts answering important questions before the defendant reaches the courtroom.
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It gives the court something to examine when the person says, I understand the harm, or my judgment has changed.
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I studied federal judges.
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For instance, Judge Cynthia Bassant explained that she began developing a tentative sentence while reviewing the written materials before the hearing.
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Judge Brian Jackson described beginning that thinking when he received the pre-sentence report.
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So those observations resonated with me early and made the preparation, made the early preparation consequential.
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And if the court first encounters a detailed offense record and an incomplete personal record, counsel has important work to do while the information is still being assembled and evaluated.
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But tentative is the essential word.
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Judge Amit Ahmetta also explained that advocacy at the hearing could sway could sway him.
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But my practical point is that a lawyer can explain six months of changed conduct, but cannot create the six months that never happened.
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We need time to see whether the person has begun repairing harm, what he's done to make amends, addressing the causes of the conduct, and accepting meaningful oversight.
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Then the hearing becomes a place to examine that work and answer the court's questions.
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The written record and the live conversation should strengthen each other.
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The verdict language is a metaphor, and that actual sentence belongs to the judge after considering the case.
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Our responsibility is to make the factual foundation worthy of that decision.
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You mentioned that the judge uh has a tentative, right?
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When the judge comes out for sentencing, but it's a tentative.
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And and um that premise was actually confirmed at the Southeast White Color Crime Conference.
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Um, Joe and Brian, the chairs of the conference, had a fantastic panel of district court judges.
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And that's exactly what they said to the audience at the conference.
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Then um they have an idea of what they want to do, but they they are very interested as to what's going to happen in the courtroom.
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And um I I think I think that echoes and confirms what what you're saying, that um there's a lot a lot that can
be done um by the defendant that that has to get communicated by the lawyer, but um it's not the lawyer's water to carry entirely.
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And and I think uh when you write that uh that judges professionally discount advocacy, that's kind of what you're alluding to in part.
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Isn't that right?
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Um character letters, sure, they're great, but what the court really wants to hear is what have you done for me lately?
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Yes, because the offense is often described in facts while the person is described in adjectives.
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And a court may have transactions, dates, communications, and identified losses on one side and generous, devoted, and deeply sorry on the other side.
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Those descriptions may be sincere, they still need substance.
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Um, Judge Ralph Erickson said a memorable instruction tell me something your client your client did when no one was keeping score.
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Uh Judge Judge Rakoff uh here in New York similarly emphasized specific little-known good deeds over the sheer volume of letters.
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And that's a demanding standard because it asks what someone actually observed.
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A neighbor who describes years of practical help may tell the court more than a prominent person who offers general praise.
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The same discipline applies to rehabilitation.
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Enrollment establishes enrollment, um completion establishes completion, change behavior is further claimed that needs its own support.
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We also have to acknowledge timing, honestly.
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Conduct before the investigation and conduct after the arrest tells different parts of the story.
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And most importantly, humanizing someone cannot mean making the harm disappear.
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It needs to understand both what this person did and what else is true about their life.
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My point is not that character letters fail or that judges disregard advocacy.
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It's that useful advocacy gives the court something specific to evaluate.
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And the human record deserves the same factual rigor as the offense record.
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Yeah, those are very profound thoughts.
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Well said.
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Um making me think I've got a couple of sentencings coming up.
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Um, which is exactly what you're supposed to do, make us think.
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Let's uh let's pop to the PSR for a second.
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Uh you uh refer to it in your article as uh, and I quote you, the Bible of the federal system.
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Why?
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What does that mean?
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I learned its importance by watching the same document matter to different people at different stages of my own case.
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When I wrote the personal narrative to the judge, and it got attached to my pre-sentence report, and my lawyer helped get it included with my pre-sentence report.
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At sentencing, my judge referred to my work in early restitution.
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Later, when you surrender to prison around the 30-day mark, you have a very important call to team meeting where you meet your case manager for the first time and they read the PSR.
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That's all that they have in front of them.
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And after my case manager was done reading, um, she brought up how I started paying restitution before sentencing.
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Because you have to enroll in the financial responsibility program in prison if you have a restitution and they take a certain amount out of whatever you have, you know, they tell you$50 a month or 100, whatever they come up with.
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And then when I had during my transition to the halfway house to home confinement, a staff member connected the account in my personal narrative after reading my PSR about how I met my wife.
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So different people noticed different parts of the same record, and you never know what's going to stand out to a stakeholder that holds sway over your freedom.
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And that taught me how far a personal history can travel without the person being there to explain it.
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Judge Justin Quackenbush encouraged counsel to provide favorable information to probation even before the interview.
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Judge Walter Rice emphasized correcting erroneous uh statements even when they don't affect the guideline calculation, because those statements can follow the person into prison and after supervised release.
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So that makes accuracy and timing equally important.
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And assembling the records, establish a coherent chronological timeline, and prepare the person to answer truthfully, have counsel direct the submissions, protect legal rights, and review the draft for errors.
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Probation independently investigates and evaluates the information.
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The probation report that gets created from the interview, the judge relies heavily on.
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And it's the purpose is to help that process with facts, and that can be checked.
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So my own narrative included what was included was valuable in my case, attaching it as a request, it's not an automatic write.
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The the larger lesson is that the
report has a life beyond the hearing, and give its accuracy the attention that lasting influence deserves.
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We've covered a little bit of ground uh today, and uh I thought I might jump in, Nana, and ask a couple of questions of our guest.
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And uh these go this goes back to my reading the article.
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And the uh in the article, you lay out, Joseph, a five-phase framework uh from the pre-interview narrative protocol through what you call the evolving narrative.
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Uh, can you take us through what how that actually works on a real case, if you don't mind?
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The five phases organize a practical task.
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Do you connect an honest account of the person to relevant action and evidence of follow-through?
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First, the pre-the pre-interview narrative protocol.
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We work through the history, the choices, the harm.
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The steps begin taken now.
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We begin gathering records, and counsel determines what should be submitted before the interview.
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And second is taking the floor with counsel's guidance after the officers, with the officer's permission, after they're done asking you questions.
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The person explains their accountability and responsibility and their work in their own voice.
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They need to understand the account well enough to answer questions about it.
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Third is the compliance rebuild framework that I came up with after studying with the University of Pennsylvania regulatory compliance and how the DOJ holds corporations' account into these seven pillars.
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And I just said, what if we map it to a human being?
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And it's it's what enabled the conduct, what now addresses those failures in a hypothetical, let's say, financial case, independent transaction review may be relevant.
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Who performs it?
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What authority do they have?
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What happens when a concern appears?
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Fourth is the ESG framework.
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That's after studying that, it's it's environment, social responsibility, and governance.
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And I use those categories to examine the person's daily setting, responsibility they have to others, and actual oversight.
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The labels earn their place only if they produce concrete answers.
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Fifth is the evolving narrative.
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Whatever got submitted into the personal uh to the pre-sentence report, you have to update it for the sentencing memoranda and keep the record current as the
work continues, including difficulties and setbacks.
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Um, a proposal made months ago needs to be tested against what happened afterward.
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And uh Judge uh James Mahan's interview captures the underlying need.
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He said, give give the court a rehabilitation plan tailored to the individual.
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An available treatment provider, a realistic work arrangement, or functioning oversight gives counsel something more useful than an abstract promise.
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Can we explain the problem, show what addresses it, and establish whether the plan is actually being carried out?
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Um so much and so much in that uh series of comments you just made uh that are more fully developed in the article, of course, but I wanted to talk with you about another aspect of the article, if I could, Joseph, uh this uh during our interview today with you.
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And this is the verification standard uh that you talk about.
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You write that every claim change needs a date, an act, and a verifier.
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And why is why is that standard non-negotiable?
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And what happens when uh one of these three is missing, Joseph?
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A date, an act, and verifier makes a claim testable.
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Then we need a fourth question.
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What does the evidence actually establish?
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Restitution is a good example.
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Judge Neil uh Wake once said that even$25 a month is going to demonstrate a commitment to rehabilitation.
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Another judge said, I'd rather have 50 people who are going to write a character reference letter contribute$50 towards restitution.
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Judge uh Wolfe said uh he was skeptical about what repayment established about the defendant when a wealthy family supplied the money.
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Those observations just make context essential.
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A payment record can establish that money was paid.
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Understanding its significance requires knowing whose money it was, what effort it involved, what else the person has done.
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The amount alone cannot answer those questions.
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The same applies to oversight.
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If someone says they have an accountability partner, identify what and when that arrangement began, what the person reviews, and what do they do when they find a problem.
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You know, a title is not proof that supervision is functioning.
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If a piece is missing, identify the gap, seek support when it exists, and describe what remains self-reported.
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We cannot fill a missing fact with a stronger adjective.
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So the point is to make the record useful to counsel, probation, the government, and the court.
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They make they may reach different conclusions about its weight.
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They should be able to identify the underlying facts and the limits of what those facts prove.
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This is how I understand credibility.
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Make the claim precise, support it honestly, and leave the judgment to the people responsible for making it.
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Thank you very much.
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Um I wanted to talk about um some of my cases with you right now, and I'm not going to do that.
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I'm going to resist temptation because I think it's important that um people that and I think they can reach you after this podcast if they're listening.
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You know, this this there's so much more to Joseph D.
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Gregorio than we can can put into this podcast.
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But I wanted to say um I don't I think it's never too late to uh try to transition in life.
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And I think one of the things that I've seen recently, in a case I'm familiar with, is that um the individual in question who's under scrutiny uh has been uh proactive in trying to uh make whole again uh people that um uh that invested money with him and he he he he invested it poorly and in a misguided way.
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And so they there's some exposure that he has criminally.
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But anyway, timing.
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What is your thought about timing before I transition back to Nina on some other really important questions for us as lawyers?
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It is it is it should you should you with counsel, of course, you should start you should be About being preemptive because you talked about the corporate guidelines and mitigation.
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My question's a little diffuse, but I was wondering about timing.
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Well, timing matters, and it just, you know, of course, if for instance, a case I worked on that I wrote for Bloomberg last year was about how this individual was in therapy 14 months prior.
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He enrolled in college credits that he gave up on 20 years ago and completed over 20 college credits.
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But documenting it well is very, very important.
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Really, details and not broad stroking things is very important.
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And the individual really has to be willing to put up the work, put in the work and maximize every 24 hours.
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If their eyes are open for 20 hours a day and they're sleeping, let's say
four hours a night, what are you doing to maximize every day?
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Because leading into sentencing is truly to me like an hourglass.
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You flip over on your desk, and at first the sand doesn't look like it's going through.
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And the last funnel of sand goes very quickly, and before you know it, you're at sentencing, and you don't want to have any regret versus preparation.
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And it speeds up a little bit.
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It speeds up a lot, in fact.
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At first, you feel like you suspend it in time leading up to sentencing, but you don't want to say to yourself, Oh, I wish I had another few months, or I wish I had another six months.
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You don't you have to leave it all out on the table.
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And whatever you get at sentencing, you have to accept you've done what you've done, and you have to uh you have to pay for it.
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Thank you, Joseph.
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Uh Nina, I'll turn it back to you.
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Yeah, I mean, I guess what we all struggle with as attorneys is um, you know, we we don't want our client to sound scripted, we don't want the whole sentencing process to sound scripted.
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Um what's your what's your thought on that?
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How do you walk that line?
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I mean, you want to be prepared, you want to do everything, but you don't want to sound like, you know, you're shoveling a whole bunch of stuff at the judge that is all, you know, choreographed.
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The line is whether preparation improves the truthfulness and clarity of the account or creates an impression the facts can't support.
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People may need notes, practice or help organizing a difficult chronological timeline, which is very important.
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They still have to understand and own what they are saying and what they did.
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If someone can recite a paragraph that they cannot explain when the question changes, we need to return to the substance of it.
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Judge John Levy made a particularly useful distinction.
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I studied, he would not hold poor communication skills against the defendant.
00:25:03.119 --> 00:25:09.119
And an eloquent presentation could still be insincere.
00:25:09.359 --> 00:25:18.799
So that that should make us very careful about treating fluency and you know, treating fluency as evidence of change.
00:25:18.960 --> 00:25:31.599
I, you know, I want to know what the person understands about the harm, what they've done to, you know, to understand that, and whether the account holds together when someone asks an unexpected question.
00:25:32.160 --> 00:25:38.559
So mixed motives deserve an honest answer, and of course, defendants want a better outcome.
00:25:38.799 --> 00:25:41.279
And you still have to evaluate the work.
00:25:41.440 --> 00:25:43.279
Does treatment address a real need?
00:25:43.440 --> 00:25:46.640
Does oversight exercise real authority?
00:25:46.960 --> 00:25:51.359
And does repair benefit people that were harmed?
00:25:51.599 --> 00:25:54.880
There was also a question that should survive the sentencing hearing.
00:25:55.039 --> 00:25:59.839
Will the person continue doing this when no one is preparing a memoranda about it?
00:26:00.079 --> 00:26:03.599
And that is the standard I want the preparation to meet.
00:26:03.759 --> 00:26:19.200
The person communic, you know, help the person communicate that clearly, but make sure the conduct carries the weight and a compelling account should remain true when the wording changes.
00:26:21.599 --> 00:26:29.519
Yeah, it sounds like the bottom line is be truthful, be authentic, um, at the end of the day.
00:26:29.759 --> 00:26:38.240
And you raise a super important point, which is, you know, and that that's always what the judge wants to know.
00:26:38.400 --> 00:26:42.960
Is this all just for me now, or is this really who the person is going forward?
00:26:43.200 --> 00:26:52.400
And if I understand you correctly, Joseph, it absolutely must be who this is, who this is, the who the person is going forward.
00:26:52.480 --> 00:26:55.920
Because if it's not, it's just a a sham.
00:26:56.720 --> 00:27:10.400
Um Joseph, one thing tell us one thing that every attorney listening to this podcast uh should do differently.
00:27:10.799 --> 00:27:18.960
Uh after, you know, based on based on you know your knowledge and your research and what you what you bring to us here.
00:27:21.440 --> 00:27:27.920
Begin developing a theory of the sentence while there is still time to test it against the facts.
00:27:28.400 --> 00:27:37.599
Judge John Levy explained that a sentencing recommendation needs a connection to the facts in the record and and sounds reasons.
00:27:38.000 --> 00:27:47.519
Um Judge Paul Azionis emphasized that the facts tied to the statutory facts and an explanation of why a variance is justified.
00:27:47.839 --> 00:27:53.519
That means the practical task is larger than collecting favorable material.
00:27:54.079 --> 00:28:05.119
Ask what sentence is counsel requesting, why it would meet the person, why would it meet the purposes of sentencing and what evidence supports the reasoning?
00:28:05.440 --> 00:28:11.440
Then build a working chronological timeline around the questions that matter.
00:28:11.680 --> 00:28:20.640
What harm is being addressed, what has changed, who observed it, what what needs still remain, and who's going to follow through?
00:28:20.880 --> 00:28:25.519
If the financial decisions are the concern, examine the oversight.
00:28:25.759 --> 00:28:31.200
If treatment is relevant, identify the provider and the actual progress of that.
00:28:31.359 --> 00:28:42.559
If a family member depends on the client, document the responsibility and available alternatives, make a plan that the custom tailored suit that fits the case.
00:28:42.720 --> 00:28:47.279
You know, assign someone to keep the record current and review it with counsel.
00:28:47.599 --> 00:28:56.400
That may reveal that a proposed supervisor has never met with the client or that a promised job is not available.
00:28:56.640 --> 00:29:01.519
Finding that early gives the team time to address it honestly.
00:29:12.640 --> 00:29:29.680
And he said, You know, Your Honor, I would I'm going to hire him, you know, as soon as you know he's done with his sentence, and I'm this is his role, and this is, and it's like little things like that to create as many clusters of mitigation to overshadow the government's bolder version of the person.
00:29:30.319 --> 00:29:45.119
And by filling, you know, by the filing deadline, counsel should have both an organized record and a reasoned explanation of its significance, respect the court schedule and allow for meaningful review.
00:29:45.519 --> 00:29:57.759
The immediate change is is this make factual developing uh developing that factual timeline and very, very structured.
00:29:57.920 --> 00:30:03.039
A proposed sentence needs a reason, and the reason needs a record.
00:30:06.160 --> 00:30:06.799
Yeah.
00:30:07.200 --> 00:30:25.519
Um the government, you know, and certainly in the white-collar cases that Joe and I handle, the government uh spends their sentencing briefs arguing the facts of the offense, the offense conduct, and we spend our sentencing brief arguing the nature and circumstances.
00:30:25.680 --> 00:30:32.799
Not no, the government focuses on the nature and circumstances of the offense, and we focus on the history and the characteristics of the defendant.
00:30:33.119 --> 00:30:50.799
And what I'm hearing you say is sure, you can talk a lot about this person, but it's really the evidence that supports those character traits uh and those historical um experiences or events that carry the ball.
00:30:51.119 --> 00:31:02.480
Tell me what from your article, The Mitigation Revolution, which I can't emphasize enough to our listeners, they should read.
00:31:02.720 --> 00:31:05.279
Uh what's your favorite line?
00:31:05.440 --> 00:31:07.599
What's your favorite thing that you say?
00:31:11.279 --> 00:31:14.640
Uh make the record worthy of the decision.
00:31:15.599 --> 00:31:22.559
Like the line I would I I would leave listeners with is make the record worthy of the decision.
00:31:22.720 --> 00:31:25.119
That's the discipline underneath the article.
00:31:25.599 --> 00:31:27.440
Understand understand the harm.
00:31:27.680 --> 00:31:36.000
Do the work of repair and change, document it accurately, give the court a reasoned basis to evaluate the request.
00:31:37.599 --> 00:31:46.319
My own experience taught me how much it matters when people make consequential decisions that you can help them understand the person in front of them.
00:31:46.559 --> 00:31:50.079
Just give them information they can trust and use.
00:31:53.599 --> 00:32:03.920
And one more thing the principle that guides my work is to shape institutional understanding before institutions make institutional decisions.
00:32:04.240 --> 00:32:14.160
That means beginning early, making the work real and remaining answerable for it after sentencing and for the rest of your life.
00:32:17.680 --> 00:32:24.640
Sounds like in large part that's the key, the the going forward in in a lot of respects.
00:32:25.200 --> 00:32:26.319
Uh Joe?
00:32:27.119 --> 00:32:31.759
Thank you, Nina, and uh Joseph, thank you so much for today.
00:32:32.000 --> 00:32:34.799
We we learn, we always learn a lot from you.
00:32:35.039 --> 00:32:48.240
And I wanted to say one thing that jumps into my mind is many friends are have uh had the honor of being appointed to serve on the federal bench, uh, Nina the same, uh I'm sure.
00:32:48.640 --> 00:32:57.039
And what most of them tell me is the most difficult thing they do in their job is dealing with sentencing.
00:32:57.519 --> 00:33:04.240
And uh some of them actually decide that they've had enough and they decide to shorten their time on the bench.
00:33:04.400 --> 00:33:43.279
And if uh it just seems to me that this approach, uh, if more lawyers adopted it, uh, would be one way of uh triaging, if you want to use that word, this this issue of judges departing the bench or judges finding this to be the most challenging and difficult thing they do, if lawyers on both sides, prosecutors and defense counsel, uh go to the effort of presenting to the court uh this uh mosaic, if you will, picture of an individual who is being sentenced.
00:33:43.440 --> 00:34:08.320
And uh in that way, I not that uh any judges maybe lose sleep at night, but when they do when they do sentence someone to long and lengthy sentences as prescribed by the guidelines, this might be uh an avenue, if presented effectively as you describe it, for clients to um have a sentence that's somewhat mitigated.
00:34:08.480 --> 00:34:29.760
So uh anyway, I I I it's an aspect of things that we're not really taught as lawyers because um I'm I'm looking and at Nina Marino on this podcast and thinking, well, she's she's the premier advocate that I'd want to hire to represent me in a situation where I'm in some difficulty.
00:34:30.159 --> 00:34:35.519
But maybe the court's not always looking to the advocate, they're looking to the client.
00:34:35.599 --> 00:34:39.599
And so your publication really is worth reading.
00:34:39.840 --> 00:34:41.519
Nina, that's all I have.
00:34:42.719 --> 00:34:46.239
Joseph, thank you so much for being on our podcast.
00:34:46.480 --> 00:34:48.639
It's been an absolute pleasure.
00:34:49.519 --> 00:34:50.880
Thank you, Joseph.
00:34:51.440 --> 00:34:53.119
Thank you, Carmen, Nina and Joe.
00:34:53.199 --> 00:34:54.079
It's an honor to be here.
00:34:54.159 --> 00:34:55.199
Thank you so much.
00:34:56.719 --> 00:35:02.800
Well, uh you have been listening to White Collar Talks with Nina and Joe.
00:35:03.360 --> 00:35:04.960
And uh signing off.
00:35:05.119 --> 00:35:05.920
Thanks, everybody.