1. family and parenting
2. children

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
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UNITED STATES OF AMERICA,
Plaintiff,
- against -
1:09 Cr. 01077 (KMW)
ROBERT MILLER,
Defendant.
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DEFENDANT ROBERT MILLER’S
PRESENTENCE MEMORANDUM
Introduction
This memorandum is respectfully submitted to the Court on behalf of defendant Robert
Miller (“Robert”) in an effort to assist the Court in determining the appropriate sentence to be
imposed in this case. We respectfully urge the Court that, in determining the sentence to be
imposed, this Court should consider the extraordinary arc of his life, which by the accounts
below was successful, exemplary and laudable; began spiralling down into the abyss of
alcoholism and mental illness; then into the brief period of criminality that brings him before the
Court; and then up again.
Robert promptly self-reported to the U.S. Attorney’s office prior to being contacted, and
fully cooperated with law enforcement. His cooperation is set out in the Government’s
submission under U.S.S.G. § 5K1.1.
Robert had been paid $100,000 by Marc Dreier for his involvement in this case; he
promptly and willingly acceded to the forfeiture of that money, and has paid it over to the
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Government. (Govt. Letter, 6/23/10, p. 4).
On November 9, 2009, Robert waived indictment and pleaded guilty to a two count
information charging him with conspiracy to commit securities fraud and wire fraud, and
securities fraud, in violation of 18 U.S.C. § 371; 15 U.S.C. § 78j(b) and 78ff; and 17 C.F.R. §
240.10b-5.
Robert was for a time during 2009 hospitalized for mental illness and alcoholism, and has
since dedicated his life to his own rehabilitation from alcoholism, and – at minimum wage pay,
and distantly from his children – to the rehabilitation of others who are afflicted with alcoholism
and drug abuse.
The Factual Setting of Robert’s Criminal Conduct
Robert’s conduct, as set out in the Information, entailed telephone impersonation of an
official of a pension fund and an official of a hedge fund in connection with Marc Dreier’s sale of
a fictitious note. Without minimizing in any way the wrongfulness of Robert’s conduct, Robert
had been told by Dreier that the reason for the impersonations that Robert agreed to do, was the
need promptly to close the sale of the note, and the unavailability of the officials he was to
impersonate. (Robert Miller letter, Exhibit Q, pp. 6-7; see pp. 29-30, infra).
As the Government has noted, “[a]lthough the note was fictitious, Miller did not know
that it was fictitious, but he understood that he was engaging in a fraud by impersonating
someone in connection with its sale.” (Govt. Letter, 6/23/10, p. 1). No actual loss was incurred
by the victims of the conspiracy charged in the Information. (PSR, pp. 6, 18; Govt. Letter,
6/23/10, p. 2). Robert’s conduct, while criminally fraudulent, was not intended by him to create
a loss.
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Under the circumstances, we respectfully submit that the PSR’s enhancement of 22 levels
by reason of the face-value of the note (PSR, p. 7) overstates the guidelines’ loss calculation. See
United States v. Confredo, 528 F.3d 143, 149-53 (2nd Cir. 2008)(guideline loss for theft and fraud
offenses to be calculated on the basis of the defendant’s subjectively intended loss, unless the
actual loss is higher).1
Summary
We urge the Court that, in determining the sentence to be imposed, this Court should
consider Mr. Miller’s criminal involvement in this case, conduct that was at odds with the
standards by which he has led his life, in light of:
–
his fundamentally moral character and overall conduct during his life that
reflects a belief in the values of our society;
–
the aberrant nature of his criminal conduct, which occurred during a brief
period, at a low-point in his life, when he was severely impacted by
alcoholism;
–
his commitment to his family, and his devotion as a father;
–
his dedication to helping people overcome adversity, as well as his own
1
While Robert’s gain was $100,000, and his intended gain was an additional $50,000,
Application Note 3(B) to §2B1.1 provides that “[t]he court shall use the gain that resulted from
the offense as an alternative measure of loss only if there is a loss but it reasonably cannot be
determined.” United States v. Byors, 586 F.3d 222, 225-26 (2nd Cir. 2009); United States v.
Zafar, 291 Fed.Appx. 425, 429 (2nd Cir. 2008)(“the commentary to § 2B1.1 specifically approves
the use of a defendant's gains as an alternate measure of loss, albeit ‘only if there is a loss but it
reasonably cannot be determined.’ See U.S.S.G. § 2B1.1, cmt. 3(B).”)
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rehabilitation; and
–
his affirmative acceptance of personal responsibility, his remorse, his
virtually immediate self-reporting and cooperation with the government,
and his repudiation of his misdeed by promptly forfeiting the money he
received from participating in the criminal conduct in this case.
Robert’s Dedication to his Family and to the Community at Large
Robert Miller is today a 53-year-old man, and is the father of two teenage children, M.,
age 16, and Sam, age 18. Robert is a devoted father and has done everything he could to support
his ex-wife, Heidi and his children to the best of his ability. He has paid over three quarters of
his salary toward his child support obligations. He has a close and loving relationship with his
mother, the parents of his ex-wife, his sisters and his many loyal friends.
He is a spiritually religious reflective person who is always there lending encouragement,
assistance and support to his friends, family and to his community. Robert’s willingness to assist
others in their times of need has won the universal respect and loyalty of his friends,
acquaintances, colleagues and co-workers. In addition, Robert is loved by all who know him as a
man of honesty, integrity and scrupulous respect for the law. Robert is a highly respected and
well-liked person in his community. He is known for his good nature and his long years of
offering friendship, charity, advice and counsel to those around him.
Robert’s uncommon kindness along with his serious desire to atone has led him to
become involved in guiding, nurturing and motivating others afflicted with alcohol and drug
addictions. Overcoming and utilizing his own struggles, Robert is helping others transition from
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despair to hope and instilling in them a belief in their abilities to overcome addictions and mental
illness.
This is Robert’s first contact with the criminal justice system.
Enclosed letters from community members, business associates, close friends and family
who have known and closely interacted with him are a testament to his worth and value as a
person and as an inspired and inspiring contributing member of his community. He is known as
an honest and hard working person throughout his community and his business dealings.
We quote at length from these letters. They were clearly prepared with great care and
sincerity, and their essence cannot be captured in a summary.
Tom Waugh, who formerly worked for Robert, writes:
. . . I was relatively new to the securities industry when Bob hired
me and I found him to be refreshingly different from other people I
had met in the financial world in New York. Since Bob and I were
in such tight quarters, we both heard every phone call the other
made and from this I learned that Bob was an excellent analyst and
a solid negotiator who was always truthful. Having more
experience now has made me appreciate Bob's honesty even more.
I have always had an equal appreciation for Bob's respect for the
law. Bob was the most cautious person I knew when it came to
dealing with legal issues. On the first day I worked with Bob, I
remember he called our lawyer to find out the proper way we
should identify ourselves on the phone, given that we were a US
based company who was providing services for a foreign entity. He
always hired the best lawyers and accountants to vet even the most
minor things. His respect for the law always gave me comfort
because I felt secure that this was a line he would not cross.
Given this background, I can't tell you how shocked I was when I
read that Bob had plead guilty to criminal charges. He is the last
person about whom I would have ever expected to hear something
like that. After hearing this, I reached out to Bob and heard how he
had found himself at a rock bottom point in his life and made a
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terrible mistake. I was not at all surprised to hear that he turned
himself in, cooperated fully, and is working on turning his life
around. I was very happy to hear that Bob entered himself into a
rehabilitation program and has even gone further with that
commitment by becoming a therapist himself.
Bob enthusiastically agreed to speak to my high school economics
students about alcoholism and how that disease can contribute to
people making terrible mistakes. My students and many others can
learn a great deal from Bob's first hand experience of what it is like
to wrestle with your own demons and lose. It is my hope that the
court takes into account Bob's background as an honest, helpful
person who genuinely wants to contribute to the world when
considering his penalty for breaking the law. Please know that Bob
is a fundamentally good person who realizes he made a large
mistake and will make reparations for those errors. He does not
need to be in jail to learn anything more than he has already
learned or to stop him from breaking the law again.
Thank you very much for reading and considering these words.
(Exhibit A)
Daniel H. Schneider, Esq., Robert’s friend and colleague for over 30 years, writes:
. . . Mr. Miller was always a generous and compassionate person.
During our first year at law school, we lived in the same
neighborhood in Atlanta, and he would drive me to law school
every morning at approx. 7 AM , until I could afford a car of my
own. This was out of his way and took valuable time in the early
morning, but he never asked for money for gas or for any type of
compensation. We were both from working class families (he from
Skokie, IL, myself from Far Rockaway, NY) and we did not have
much in terms of discretionary income.
.... He was always honest and hardworking and volunteered his
time for the school and the [football] league. He was a good friend
to all.
...He was generous in spirit, always paying his own way and then
some. We would share whatever material goods or food we could
afford.
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I met Mr. Miller's entire family from Chicago. He was and is very
family oriented. I attended his brother's wedding in Chicago. He
came to my family's Thanksgiving in NYC, driving me in his car...
Mr. Miller was always a good father to his children, and a good
husband to his wife, Heidi. He was the prime, if not sole,
breadwinner in his family and he worked hard. But he always had
time for his children and their interests. He supported his son Sam's
musical career and I went to see Sam play at the Knitting Factory a
few years ago with Bob and with my son, Max.
I was very upset when I heard that he and his wife Heidi were
recently getting divorced. I noticed a change in Mr. Miller during
this period and realize now that he was under a lot of stress
financially and emotionally. Not that this is a defense or
justification to any crime he may have committed. But it is an
explanation. It also indicates that he is unlikely to repeat any such
behavior.
I also understand that Mr. Miller is very sorry for his actions and
regrets them dearly. He has paid restitution and is willing to
rehabilitate himself and his reputation however he can.
Mr. Miller is a very smart, loving and capable person and can
contribute positively to society if allowed to. He has recently
changed career focus and is assisting others suffering from
addictions to confront their demons in a constructive and socially
meaningful fashion.
I urge the Court to be lenient and to permit Mr. Miller to continue
to work as an addiction rehabilitation counselor as an alternative to
incarceration. By being permitted to do so, he may be able to have
his life experience serve as a powerful example to others in need of
sobriety.
(Exhibit B)
Andrew Wineburgh, Robert’s friend writes:
. . . Mr. Miller is a warm and friendly individual who is always
caring for others and showing empathy and concern for friends and
family. He has strong family values and observes his religious
beliefs and the corresponding traditions.
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During a challenging time in my life (divorce), Bob continually
proved how strong our friendship was as he would avail himself to
"listen" and "hear" my needs and let me vent my situation without
any bias or subjectivity in his remarks.
I feel that Mr. Miller is deserving of the Court's leniency and
compassion as in today's economic and financial "tsunamiesque"
times, Bob made a mistake for only one reason-an attempt to
provide for his two children and nothing else. Robert was
forthcoming in his desire to admit guilt, returned the "money",
cooperated with the authorities and continued to show his strong
moral personality characteristics by trying to "right" a mistake.
(Exhibit C)
Dan Freeman, a friend of Robert’s since 1994, writes:
. . . Our families became good friends... Bob coached baseball for
several years and took a lot of pride in this. I know that he loves
the game and really made an effort to teach the kids fundamentals
and to work together as a team. Bob always emphasized
sportsmanship over winning. Bob has always been a highly
respected and well-liked person in our community.
... Bob was always a gentleman and pleasure to be with.... I know
Bob to be a religious person and very reflective. He is also a very
charitable person.
I am aware that Bob has pleaded guilty to criminal charges. . . Bob
expressed to me his deep regret for his actions and took full
responsibility. Although Bob did not make excuses for his
behavior, I know how difficult his divorce was and that it took a
big toll on him. I also know that Bob was in financial difficulty
before he committed these crimes.
I sincerely believe that Bob is deserving of leniency of the Court.
He has so much to contribute to society and to his friends and
family. I know how much Bob loves his family and am also aware
of the toll this ordeal has taken on them. His role as a father means
everything to him and I know how concerned his son Sam is for his
father. Our sons are both graduating High School this spring and
the sooner he can get back contributing to his family, the better.
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Your compassion in the sentencing of Bob will be rewarded many
times over in the contributions that Bob makes to his family,
friends, and society.
(Exhibit D)
David Nuzzo, a close friend of Robert’s since high school, writes:
. . . I hope that my personal knowledge of Bob Miller might be of
some value as you determine an appropriate sentence in his case.
I am currently the Vice President, Chief Financial Officer and
General Counsel of SL Industries, Inc., a NYSE:AMEX listed
corporation....
Bob Miller and I were classmates in law school and have been
close friends since that time. Through the years I have seen
firsthand Bob's complete devotion to his family and his strong
work ethic. He has been very successful in the financial and
investment industry, which is a profession that demands a
reputation for honesty and integrity. He is a caring and devoted
father to his two children.
Bob's dedication to his family and career was intense and earned
him success in his profession and respect in his community.
Unfortunately, approximately four years ago, his wife abruptly
demanded a separation and divorce, which destroyed the family life
that meant everything to him. Without his family's support, Bob
increasingly neglected his career and fell into a pattern of alcohol
abuse. He eventually became unemployed and had to support two
households on his personal savings.
The crimes in this case occurred when Bob Miller was financially
desperate, drinking heavily and isolated emotionally. I am certain
he was in an unusually vulnerable state of mind when he was
solicited to commit these fraudulent acts. It was an egregious lapse
of judgment, but one that represents a terrible aberration.
I know Bob Miller is extremely remorseful and ashamed of himself
for his behavior. Since that time he has enrolled in an alcohol
abuse program, undertaken psychological counseling and started to
rebuild his life. Bob has taken full responsibility for his actions.
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The story of Bob Miller is one of an alcoholic hitting rock bottom.
I respectfully request that you weigh his personal circumstances
when imposing sentence. If given an opportunity, I know Bob will
justify a judgment for leniency and redeem himself to his family
and his community.
(Exhibit E)
Mr. Paul Clayson, a colleague and friend of Robert’s for over ten years, and a lay
clergyman who oversees over 7500 members of his Church writes:
I serve as the Chairman and CEO of a small emerging technology
company domiciled in North Carolina. In addition, I have a
background in business and finance ventures and government
service having served as a Chief of Staff to two U.S. Congressmen
and in the White House for two U.S. Presidents.
I have known Robert Miller (Bob) for over ten years. I met Bob in
New York by referral from my corporate attorney and my business
associates while raising capital for a software venture. Following
our introduction, we worked together on several projects including
raising capital for my current company which I founded in 2004.
Aside from business, Bob and I became friends.... Through the
challenges of my bipolar son and his recent divorce, we spoke
many times offering support and counsel. I believe we have come
to know each other rather intimately.
I recently learned through the media that Bob pleaded guilty to
criminal charges involving conspiring to commit and engaging in
securities fraud and wire fraud. Please accept this letter as my
reference to the Court of my knowledge of and dealings with Bob.
Further, please accept my comments as a petition to the Court for
compassion toward Bob in considering appropriate penalties for his
actions.
... I had never considered that Bob would ever be involved in any
illicit activity. In every conversation and dealing with Bob for over
a decade, he has always spoken and acted in a most ethical and
honest manner. In Bob's negotiations for legitimate, profitable
business deals, I have never experienced a single concern about
Bob's integrity, motivation, or intentions. To the contrary, Bob on
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occasion would dissuade me from involvement with some
organizations or individuals of whom he had knowledge of
questionable business practices. Bob freely introduced me to scores
of associates and acquaintances who could aid me in
accomplishment of my business pursuits. In each case, the contact
took my call or my visit simply on the mention of Bob's name
leading me to understand that his reputation was stellar and valued.
Each contact acted in a professional and admirable way toward me
and my colleagues leading me to know that Bob was surrounded by
many people with similar high ethical standards. His vast
knowledge of finance and securities have provided insight and
immeasurable help to me over the years. Bob's willingness to use
his knowledge and contacts to aid a friend without compensation
has been points of endearment and gratitude to me.
Upon second reflection of the media article, I immediate
recognized that while Bob's judgment may have briefly lapsed, it
returned quickly and strongly. The fact that Bob sought legal
counsel and presented himself freely to investigating authorities
demonstrated to me 1) his sense of right and wrong had not
diminished, perhaps only been dimmed for short season and 2) that
his desire to rectify his wrong demonstrated his lack of perpetual
criminal intent. After contacting Bob, he forthrightly admitted his
errors. I learned of his deep remorse for his actions. Those
behaviors are the Bob I have come to know. After hearing his
confessions and his explanations that he could not on advice of
counsel previously inform me as a friend of his errors, I asked to be
involved in helping him through this trial. I believe him to be
worthy of help from those who know him. Years of friendship and
charity and advice and counsel are not diminished by a mistake. I
recently traveled to visit Bob and pledge my support.
I served for several years as a lay clergy overseeing over 7500
members of our Church, including hearing many of their
confessions of misdeeds. Additionally, in my government service, I
have seen many insincere, manipulative, self important and
conniving people and many involved for proper intents. Having
numerous experiences with the unrepentant seeking favor or
absolutions without responsibility for their actions and learning to
sense and see many insincere strategies and tactics, I believe Bob
to be sincere. I believe that he accepts responsibility for his actions,
his lapse in judgment and for justifying his actions at the time of
the offense. If Bob returns to any future illicit activities, I will have
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sorely misjudged his true character. He remains a friend.
I ask for your lenience toward Bob in considering imposed
restitution for his errors. Neither Bob nor society will be well
served by locking away his talents, skills and knowledge. Perhaps
putting Bob's considerable talents to work aiding the development
of a civic or charitable venture would better serve his rehabilitation
and return to involvement in society and business. I beckon the
Court to consider such compassion.
(Exhibit F)
Mr. Richard Rosen, Chief Executive of Diagnostic, Inc., Robert’s business associate
writes:
I have taught at Harvard and I have many years of business
experience. Attached please find a copy of my resume. . . I have
known Mr. Miller since the year 2000 and have had extensive
business experience with Mr. Miller.
Mr. Miller acted as a financial advisor to one of our companies,
InterMed Advisors, Inc. This company would never have got off
the ground without Mr. Miller's diligent efforts on its behalf. Mr.
Miller was an extraordinarily able and honest man with whom I
dealt with on an almost daily basis for eight years.
I am aware that Mr. Miller has pleaded guilty in your court to
securities fraud and other felonies. I find his actions to be
surprising because at no time in his contact with me did Mr. Miller
ever suggest any illegal act. In fact, he was scrupulously concerned
with legal correctness, and as a result, insisted that we be wellrepresented by high-level experienced counsel. I do know that Mr.
Miller was in a seriously depressed state owing to a divorce, and I
can only expect that his problems in that arena caused him to
change his otherwise correct and excellent behavior. I know Mr.
Miller is a wonderful father, caring intensely for his two children
with whom he spends a great deal of time. I also know that Mr.
Miller, in his relationships with our firms and with me personally,
has been an exemplary individual. Every person that I met as a
result of Mr. Miller's introduction has always spoken highly of
him. Never has anyone suggested that Mr. Miller would even be
capable of an illegal act, let alone be willing to engage in one.
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Because Mr. Miller has had an exemplary personal record, I would
hope that the court would be as lenient as possible in sentencing
Mr. Miller. Mr. Miller is in no way a dangerous person and I
believe that these actions should be viewed as a bizarre, one-time
transgression, completely out of character with his personality.
(Exhibit G)
Robert W. Fisher, Esq., a friend of Robert’s for almost 30 years, writes:
I am a practicing attorney in Atlanta, Georgia and have been a
member of the Georgia Bar since 1982. I attended law school at
Emory University with Mr. Robert Miller (Bob) and have been
friends with him since the time we met in school. We have
attended each others weddings, become friends to each others
families and have otherwise been part of a very meaningful and
rewarding friendship since graduation, now going on 30 years...
At the outset, I fully recognize that the crimes to which Mr. Miller
has admitted guilt are serious and that his conduct in perpetrating
these crimes is not to be condoned. Having said this, and having
known Bob for as long as I have, there is no doubt in my mind that
the person that admitted guilt to these crimes is not the person I
have known all these years. Towards this end, Bob has been a loyal
and trusted friend who has always demonstrated a keen sense of
honesty and truthfulness. Until recently, Bob was married to a
beautiful wife and lived with two extraordinary children who I
have known since they were born. He was a wonderful father to his
children and a loving husband to his wife. I along with my wife
have shared numerous times with he and his family and spent
innumerable nights in his house and mine discussing world events,
politics, raising children and all the things friends talk about when
they spend quality time together. I never could have imagined that I
would be writing this letter or that Bob would have the moment of
poor judgment and weakness which clearly he had when he
committed the crimes he has admitted to. Such crimes in my view
are completely out of character with the person I know.
Over the past several years, Bob has been embroiled in a very
devastating divorce--a divorce that his wife facilitated and asked
for. The events leading up to the final separation were very
debilitating for Bob and there is no question but that it affected his
view of himself and the world around him. It certainly affected his
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relationships with his wife and his children. At the same time, and
as we all know by now, this country went through one of the worst
financial disasters in our lifetime. Bob, being in the business of
finance since he left the practice of law, was disproportionately and
adversely impacted by the downturn in the economy. Having to
support his family in such times is tough enough but having to do
so while going through a difficult divorce clearly had a serious
impact on his self worth. I know that these family and financial
issues ultimately led him to develop a serious alcohol problem, one
that I was unaware of for some time but nevertheless a problem he
eventually revealed to me. All of these issues in my view had some
role in his lapse of judgment and his moment of weakness. While
not an excuse by any means, every person has their breaking point
and I firmly believe that the confluence of these events led Bob to a
place that I could never have imagined he would be at.
Over the past year, I have spoken with Bob on a regular basis and
have visited with him as well. In my view, he understands that his
conduct was unacceptable and that the crimes he committed are
not to be excused. He is in my view trying to put his life back
together one step at a time. Towards this end, Bob is a recovering
alcoholic and has been regularly attending AA meetings for 8
months or longer. He has been completely sober during that time.
In addition, and due to Bob's inability to find a job in New York,
Bob has accepted employment with a treatment facility for people
with substance abuses in California. I have spoken with him often
since his move. He misses his children terribly, and he misses his
friends as well, but most importantly, he is clearly committed to
rehabilitating his life. I have told him that those that care for him
will always be there for him as long as he continues to push
himself towards a better place in life. He seems like he is starting
to believe that.
As indicated, I have known Bob for almost 30 years. I am
convinced he understands the seriousness of what he has done and
is extremely remorseful. What is also clear to me is that the ruins
of his life and the guilt and embarrassment of what he has done
will be with him forever. He knows he did wrong and is
committed to putting his life back on track. He is a good man who
during a difficult time in his life lost his true sense of judgment.
None of us have a crystal ball, but having known Bob for as long
as I have, I am convinced that he has the strength, will and
conviction to successfully turn his life around. And, although I am
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not a Judge nor do I sit in judgment of what he has done, I see no
good that can come from incarcerating him in prison. While I
understand that he must in some way pay his debt to society, I hope
there would be a more constructive option for Bob to accomplish
this task. As such, I ask your honor and this Court to see the man
behind the crimes for which he has admitted guilt and where
possible and appropriate, have leniency and compassion for him at
his sentencing hearing.
(Exhibit H)
Mr. Jay Nadel, a consultant who knows Robert for over ten years, writes:
Our town is a small town. People in our town are very aware of
who is a contributing member of our community. Robert Miller has
clearly been a contributing member of our town. He has always
lent a hand to his neighbors. He has participated actively by
volunteering his time and efforts in the children's athletic league
activities. He has been actively involved in raising money for the
fight against breast cancer by donating his time for the entire
community's fundraising efforts. In addition to this, he has been an
obviously devoted father to his son and daughter.
As noted above, Robert Miller has clearly violated the law.
Because of the high regard in which he is held in our community,
this was a shock. This has been an isolated singular incident in the
life of an otherwise very good person. My family and I feel that
Robert is deserving of the Court's leniency and compassion in his
sentencing and would respectively request that you provide this to
the greatest extent within your power.
(Exhibit I)
Mr. Richard Schneider, a long time friend of Robert who recently passed away, wrote:
. . . [I] spent 5 years practicing law in Chicago and Los Angeles
before transitioning to Wall Street in 1985. Most recently, I was a
Managing Director at Highbridge Capital in New York where I
managed a $3 billion portfolio (approx.) over a period of 14 years.
In 2007, I retired from Highbridge Capital to pursue other interests.
I am aware that Mr. Miller has pled guilty to criminal charges
involving conspiring to commit securities fraud and wire fraud, and
engaging in securities fraud. In fact, my wife and I were in the
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courtroom when he entered his plea. I feel I am uniquely qualified
to speak to the character of Mr. Miller given the breadth of
experience I have had with him over the years.
Bob and I met in 1975 while undergraduates at the University of
Illinois. He pledged the same fraternity that I was in. I was his
‘pledge father’ and we became instant friends. He too was from
Chicago and we had so many things in common. Mr. Miller and I
have stayed close friends over the years. Bob loved working at the
SEC because he truly enjoyed helping to purify the market. Bob
worked at Merrill Lynch while I was at PaineWebber. We were in
the same line of business and someone whose opinion I valued.
Over the years, we have shared many personal moments, too. Bob
and I were groomsmen in each other’s weddings. In 1994, Bob
was the only friend who flew to Chicago, no questions asked, for
my father’s funeral to support me. He would always be there for
you. Mr. Miller and I lost touch while he was going through
difficult times in his marriage and in his business and personal life.
In 2005, after his divorce, circumstances brought us together again
and our friendship picked up exactly where we had left off.
At the beginning of 2008, I was diagnosed with a malignant brain
tumor. Since my diagnosis, Bob’s true colors have shown through.
He’s been an incredibly supportive friend and has gone out of his
way to be there for me during this difficult journey. He’s visited
with me and was a great listener. He is and always will be a
special part of our family.
I feel strongly that Mr. Miller deserves leniency and compassion
from the court. He has embarked on a new life in California and
he is really dedicated to starting his life anew. I am confident that
Bob cares deeply about his legacy. He is a dedicated father and I
know it would be painful to him if he were unable to turn his life
around. I am confident he will succeed in doing so.
(Exhibit J)
Robert’s Commitment to Recovery and Rehabilitation
Robert’s commitment and dedication to recovery and rehabilitation has been rigorous.
He attends AA meetings and therapy sessions religiously, for his own rehabilitation; he also uses
his example of failure during that fateful time when he assisted Marc Dreier in committing a
16
crime, to guide others to the right path, counseling others who have hit rock bottom to find the
strength to lift themselves up and out of the depths of addiction and crime.
Mr. David Sheehan, who attends AA meetings with Robert at least 3-4 times per week,
writes:
I am writing in support of the sense of decency, determination to
right wrongs, and humbled character of Robert Miller who is
scheduled to appear before you having entered a plea of guilty to
criminal charges involving conspiring to commit and engage in
securities and wire fraud.
...I have come to know Bob's soul.
Let me identify myself as a 23 year, 2 month, and ten day
recovering member of Alcoholics Anonymous - having had the
enormous good fortune of not having had a drink of alcohol since
October 30, 1986. During these 23 plus years I have found it best
to attend AA meetings on an average of a minimum of 4-5 days a
week ... over 5,000 meetings.
In this number of meetings I have both shared and listened to the
hearts and souls of perhaps more than 25,000 recovering men and
women, young, old, rich, poor, of hundreds of religious and nonreligious beliefs. And I have seen both people who make it and
people who don't.
While not scientific, I can with conscience observe that there are
three characteristics that seem to separate those who recover and
live productive and giving lives from those who do not. These are:
• Bone marrow honesty
• Immersion in the program of AA
• Reaching out to help others who have or are floundering.
It is in this capacity that I stand tall for Bob Miller. I attend AA
meetings with him at least 3-4 times per week and have watched
him speak with grace, fortitude, and genuine serenity from his soul
and heart about the new path he is on. A new path far far afield
from his prior life - a long fall from his former days in Washington
and New York.
17
He is now within days of a full year of sobriety which is a hallmark
of those who continue to lead a sober life.
A new path in which he acknowledges the serious mistakes he
made near the end of his active alcoholism and extends his hand,
heart, and time to those who are lost in the downward spiral of
addiction to alcohol and drugs.
While it may, in fact is an overused phrase, Bob has seen the light
of the errors of his ways and is acting on daily basis to bring to the
society of addicts redemption for his actions in a live saving role of
helping others find recovery.
I add my request for leniency toward him in your judgment of an
appropriate sentence for his crimes. He sought and gained
employment in a local recovery center here in Orange County and,
as a new employee often serves the overnight shift in answering
calls from others seeking help. And he does that with a spirit of joy
and deep satisfaction. He is on the right path now, if you can, allow
him to continue on this new road of decency.
(Exhibit K)
Mr. Michael Cohan, Program Administrator of Spencer Recovery Centers, and Robert’s
Supervisor, writes:
. . .Spencer Recovery Centers, Inc. (SRC), [] is a group of residential
alcohol and drug treatment centers located in California and Florida.
Over five months ago, Mr. Miller joined our team at SRC in Laguna
Beach, California. Mr. Miller works as an intake counselor in our
intake department. That department receives as many as 300 calls per
day and of these 300 calls, the average number of people who are
eligible for treatment is only two people per day. This means that over
250 callers are not able to enter our facility. However, as a help line,
it is the requirement of an intake counselor to educate ALL callers on
the treatment process and take the appropriate time to provide viable
sources so that each person in crisis, is given alternative suggestions
to getting help.
Mr. Miller has done an exceptional job in carrying out this service.
While his job involves an element of sales strategy, it also allows Mr.
18
Miller the opportunity to share his experience, strength and hope so
that callers can be given encouragement to keep seeking necessary
treatment.
Mr. Miller flew to California for an interview with me back in
October of 2009 and within three weeks had sold all his belongings
and transferred to California. His genuine passion for recovery and
his sincere professionalism allowed him to adjust quickly to the
demands of the position and he has become a valuable addition to our
staff. He immediately began making progress with callers, largely due
to his own personal experience; however, his gentle yet serious
approach to callers was impactful as well.
I personally hold Mr. Miller in my highest regard based on his
character and the regard that he has held himself to at SRC. His path
of recovery continues to help many people. He recently celebrated 13
months of continuous sobriety, and is a regular attendee at a local AA
meeting held every Saturday morning that I also attend. Mr. Miller
shares openly and candidly about his personal challenges and the
program principles he applies to confront those challenges. I
personally have witnessed his spiritual growth in the time he has been
here as evidenced by his willingness to assist others in and out of the
program in their times of need.
Your Honor, it is my sincere wish that you will show him leniency so
that he will be able to continue to help others who are seeking to
overcome their addictions. Should Your Honor deem it suitable, I
would personally undertake the responsibility of supervising Mr.
Miller in his continuing employment and residence at the recovery
center as an alternative to other punishment. If you require any further
information please feel free to contact me. Otherwise, know that I feel
Mr. Miller is without any reservation deserving of the Court's
leniency and compassion.
(Exhibit L)
Rodney Robinson, M.A., C.A.C., Program and Clinical Director of Ocean Hills Recovery
writes:
This letter is to inform you of the status of Robert Miller. Robert has
participated and completed all of the recommendations, activities and
requirements of our 30-day residential alcohol and drug treatment
program at Ocean Hills Recovery. He was at our facility
19
continuously from February 13, 2009 until March 21, 2009. Robert
followed all house rules and complied with all of our random drug
and alcohol tests. Our tests are administered at least once a week.
All of Robert’s drug and alcohol tests produced negative results.
Robert was a model resident, always going above and beyond what
was required of him and we did not have any problems with him of
any kind. Robert’s program at Ocean Hills Recovery consisted of
group counseling five days a week, one on one chemical dependency
counseling at least once a week, doing a house chore daily, attending
14 meetings of Alcoholics Anonymous per week and working the
twelve steps with a sponsor.
I have a personal knowledge of Robert’s program participation and
performance at Ocean Hills Recovery and I am very impressed with
his willingness to follow direction and do something for himself that
has changed his life. I have full confidence in Robert’s commitment
to his recovery and recommend that he continue to be supported in his
current efforts and activities which encourage his sobriety. He will
continue to go to AA meetings and work with his sponsor. He has
also agreed participate in Ocean Hills Recovery’s weekly alumni
meetings in order to give back to the program that helped him. Please
contact me with any questions or concerns.
No further treatment is required. I recommend that Robert Miller be
supported in his current recovery practices.
(Exhibit M) (emphasis in original)
Robert’s Love, Commitment and Dedication to His Family
Robert’s dedication to being the strength and support of his family, despite his own
coetaneous suffering, was a trait he learned early on in his youth. Robert became the good,
strong, admirable one for his mother and sisters, and then for his wife and children. When
Robert’s family life fell apart, his entire life fell apart. His sense of self and solid strength of
character spiraled into a black abyss, culminating in the criminal conduct charged in this case.
Robert’s immediate acknowledgement of his wrongdoing, his honesty and acceptance of
responsibility for his actions became the driving force toward his true recovery and rehabilitation.
20
Barbara and Harry Meyer, the parents of Robert’s ex-wife, who still consider him a son,
write:
Robert (Bob) Miller was married to our daughter for 19 years, and is
the father of our two wonderful grandchildren, M., age 16, and Sam,
age 18, and as such we have known Bob for approximately 23 years,
including several years before they were married. We lived only a
few miles apart and thus we saw each other often. Bob is Jewish, and
we Christian, and we celebrated all of the holiday's together - joyous
times!
. . . We grew to know him, know him well, and to love him.
Additionally at other then family functions, we met many of his
friends and business associates. It was obvious he was well liked and
respected in business as well as in the town that he lived in. He is a
loyal, caring friend and gave his help and care wherever he could. In
return he is beloved by his friends both old and new. Being family,
we were on the inside looking out and we saw him in all matter of
situations. He adores his children and spent a great deal of time with
them, not only having fun, but more importantly instilling a sense of
decent behavior in them. He was a good husband to our daughter for
a very long time. He was home every night when not away on
business. He did not stray and went out of his way to do special things
for her and with her. It was a good marriage for a long time, which
included the usual ups and downs, but the pluses far outweighed the
negatives.
It is most difficult to square this view of Bob with the fact that he
committed the offenses that he pleaded guilty to in court; that is
criminal charges involving conspiring to commit securities fraud and
wire fraud, and engaging in security fraud. We were in court, and
know from his own words what he did-there was no excuse-and we
believe that he is so heartily sorry and has so many regrets. We
believe this was a singular mistake made during a very difficult time
in his life.
Bob comes from a very troubled father with serious rage problems,
his separation from our daughter, alcoholism, loss of gainful
employment and general anxiety, and ultimate divorce buried him,
but these things do not reflect how he has lived his life in total. He is
a very good and caring man and is so sorry for what he has done. We
love Bob and consider him a son.
21
Bob is now transitioning his life to help others struggling with
alcoholism and addiction and that we feel he would be of better
service to the community continuing in that role, rather than being
incarcerated. As such, we request and pray that in your determination
of his sentence you be lenient and merciful.
If you have any questions, or we can be of any help, please contact
us.
(Exhibit N)
Claudia Miller, Robert’s sister, writes:
. . . I am proud to say that I am the older sister of Robert Lee Miller.
Even though we grew up under the same roof, I probably was a
typical sibling in that I was more aware and concerned with the
factors that shaped my early years and not too cognizant of what
might have shaped my brother's. However, I did note that my
brother's scholastic achievements, civic involvements at school and
admission to Emory Law School in Atlanta after completing his
undergraduate work at the University of Illinois in ChampaignUrbana, was the result of hard and dedicated attention to his studies
and a keen interest in others. I observed the friends he made during
his high school and college years and throughout law school and note
that many of these friendships continue to this day. Only a man of
integrity and good nature can achieve and maintain such longstanding
relationships. Indeed, to me, he seemed an enviable pillar of academic
achievement and, later, financial achievement when he went on to
form his own business.
It was not until the past year, during 2009, that I realized my brother's
life had not been the picture of ease I had envisioned. When he
contacted my mother and me in February of 2009 to tell us he had
checked himself into a rehabilitation center in Southern California,
the news shook me to the core. The pillar of strength I had once
known had seemed to crumble overnight. My mother and I spent a
weekend at the rehab center and by the end of that weekend, I
discovered a quality in my brother I had never known existed before
which won my admiration. It was his ability to be brutally honest with
himself in acknowledging that he was an alcoholic. By having taken
that necessary first step to change his life he exhibited a strength that
22
was stronger than all his previous financial and material
achievements.
Love and longing for a family replaced previous superficial goals.
Many people travel the entire road of their lives without the courage
to look at themselves truthfully, no matter how large or small a list of
their faults may be. My brother was and is able to do that and
continues to grow by viewing himself and the world around him in
full candor.
I am aware that my brother pleaded guilty to criminal charges
involving conspiring to commit securities fraud and wire fraud and
engaging in securities fraud. As he later informed me, he voluntarily
came forward in December 2008 to confess to his crimes and in
November 2009 pled guilty and took full and complete responsibility
for what he did.
My brother's life is presently immersed in rehabilitating himself and
carrying the message of rehabilitation and hope to others. In turning
sober, he has gained a wonderful sense of spirituality, the light of
which shines in his soul and reaches out to others on a daily basis, not
only to friends and family, but to those who need it most - the addicts
who are as he once was, groping for light in their spiritual darkness.
Your Honor, I ask you to consider allowing Robert Miller to continue
to carry that message of hope to those whom he is currently working
and striving for - the addicts and alcoholics whose lives can be
bettered by having my brother continue his work at the treatment
facility.
Thank you for allowing the opportunity to address Your Honor.
(Exhibit O)
Ann Miller, Robert’s mother, writes:
I am the very proud mother of Robert Lee Miller.
My son Bob was a very well-behaved child, a delight to raise. . .
Early one morning in February, this past year, a phone call from Bob
left me emotionally frozen. He had entered himself into an
alcohol/drug rehabilitation facility in California. I and my daughter
23
departed for California shortly thereafter. Gone was the robust
individual I knew. Appearing before me was a shadow of my son,
depressed, nervous, ashamed of what he had done to himself and to
his children who he loved dearly and missed so much.
Before we left the facility, Bob confided in us that in addition to his
alcohol addiction, during the month of December, 2008, he
voluntarily came forward to the US Attorney in New York and
confessed completely to his involvement in the crime. Leaving him
that afternoon was a very sad farewell. My daughter and I both vowed
that we would never abandon him and would always be there for him.
When he returned to New Jersey, [after pleading guilty to criminal
charges in 2009,] my greatest fear was that he would return to
drinking after having admitting to a crime and fearing for the future
of his relationship with his children.
I was happily proven wrong. Instead, Bob was most diligent about
attending AA meetings not only on a daily basis, but very often he
attended three meetings a day. In addition he has won the attention of
other AA groups who have invited him to deliver motivational
addresses. Many attendees have approached him to tell him how he
has inspired them.
I have never been as proud of my son as I am now. His success story
has yet to be written at this juncture in his life. It is not in the
monetary wealth he might accumulate, but rather how many lost and
forlorn people who have reached the nadirs of their lives and need to
be nurtured by his articulate, motivational and caring nature to help
them find their way out of the dark. I truly believe that this fateful
move to the rehab center he is now working in was brought about by
his own awakening from within.
In view of the foregoing, Your Honor, I ask you to consider allowing
my son, Robert Miller to continue to give motivation, courage and
hope to so many who are in dire need of the help and guidance he can
give them from his work wherever it might be.
(Exhibit P)
Robert Miller writes:
I write this to you less than a month before I will stand before you for
24
my sentencing. I am living in constant fear of the outcome as I fear
that I will be sentenced to prison for the commission of my crimes.
The thoughts that occur to me about that are being away from my son
and daughter for a period of time when each needs me most - my son
is very fragile right now and my daughter is so confused about life
that I fear she will end up making very stupid mistakes with drugs and
boys while I am away. I will get into each in a bit.
I am so sorry for the stupid acts I committed. I take full and complete
responsibility for it. I have no excuse, only explanation that I hope
will allow you to see me as a whole person not just one who could
care less about what he did. In many respects I began the commission
of my crimes early on. I was a man who was blessed with just about
everything - a family that loved me and was proud of my
achievements.
Lingering deep beneath the surface was a person who had unresolved
hurt and anger. I grew up in a home dominated by a raging father who
beat me and was verbally abusive to all. I found myself acting as the
family ‘hero’ who learned early how to protect all from his wrath but
at the expense of first having to shoulder that responsibility as a proxy
father then having to act as an imposter to the world - pretending that
my family life was normal for fear that I would be revealed as being
less than those peers around me.
The strain was much, and I found my escape early on in athletics,
alcohol and staying away from home as much as possible. My father's
rage was even more fueled by his financial worries - he was always
complaining about creditors and we lived a very simple life in
contrast to others. I watched his frustration grow into anger then rage
and that was when he would act out on Mom, my brother, sisters and
me. I couldn’t wait to leave for college to escape the burden of having
to keep up the facade of being the brother protector, substitute father
and popular Bob to all.
I continued to fill the ever growing emotional void and alienation
from my true feelings by achieving good grades, getting accepted to
law school and getting on outwardly with my life. I wanted so hard to
be successful in contrast to what my father had been. I worked hard
and landed good jobs, but my life was consumed with drinking and
I spent a lot of time trying to cover up my hangovers and pain. I
didn’t know how to handle a relationship properly with a woman, as
I felt unworthy of another's love. I spent my social time working out
25
and running to the bars with my friends, all of whom drank and did
drugs. Drugs were an item for me in college and law school, but I
never depended on them to soothe me the way I depended on booze.
Upon landing in NYC in 1986 I met on 75th and Broadway coming
out of a cab the woman who would become my wife. Beautiful, kind,
smart and pure. I fell in love with her the moment I laid eyes on her.
She loved me so. We spent endless hours together, jogging, traveling,
talking, hugging and developing an intimacy I had never experienced
before. She converted to Judaism, which I didn’t ask her to do, but
she wanted to as she claimed she always had felt closer to Judaism
than her own Lutheranism. She came from a solid middle class
background, with a highly intelligent kind, engineer father, a tough as
nails Mom, who eventually became my very close dear friend (and
substitute mother) and extended family that gathered in Vermont in
the country for holidays, enjoying real conversation without anger or
rage. I felt saved from my past.
We married in Vermont and by then I was seemingly on my way to
being the provider I wanted to be. We got involved in the local
synagogue and she established friendships for us as a couple. After 4
serial miscarriages my son, Sam was born. I was so proud! I had a
son who I would love and reason with. Smart, great looking,
incredibly musically talented. My lovely daughter M. followed a year
and a half later. How gorgeous. What a kind, smart gentle soul. How
sensitive. Schooling started and I was the proud father who raced
home to help with homework and play with them, rolling around on
the floor, cuddling, loving and being the Dad I always wanted to be present in the moment. I vowed I would never raise my voice or hit
my kids. I never have. I was asked to yell at my son by my wife and
I did a few times, but I resented doing that. Even to this day I refuse
to do that, opting instead to reason with them in the dialectic manner
I was taught in law school.
I became little league coach, chauffeur, gymnastics, dance and piano
spectator. I dropped them off at Sunday Hebrew school. I picked them
up. I became a gardener, planting every tree and bush in our large
garden. My wife and I tended to our flower garden. We traveled with
the kids to exotic destinations, and I especially recall new years eves,
watching Marx brothers movies with my daughter, laughing well into
the new year day.
As they got older I became more and more involved in making my
26
career work for our immediate and longer term benefit. I started
feeling the stresses of keeping it all together. Worries crept in about
failing and losing it all. I didn’t want to be looked at as a failure, but
I had a dark feeling that I would become my Dad. I viewed him as the
frustrated angry financially strapped abusive vulgar man and I had to
keep up working hard to achieve more, get more and keep up a good
front. Eating at me was the omnipresent fear of failure.
Tennis Tuesdays became replaced with business dinners and drinks.
I began afternoon drinking in 2001 and continued drinking heavily
thru Dec 14, 2002, when my wife kicked me out for abusing alcohol
and being continuously rude to her and my in laws. I left, went into
AA and she invited me back into the home 5 days later. I stuck with
AA for the rest of the time I was married, but I never got the heart of
the program. I wasn’t drinking, but I did not turn over my will to my
higher power nor did I work on developing spirituality.
As a result, I was a “dry drunk,” not drinking but exhibiting alcoholic
behavior such as anger, rage and arguments with my wife over many
many family issues. I became mean and contemptuous. We carried on
most of the time in a very loving way, but I knew that I had deep rage
due to my fears of not producing enough to provide long term security
and my fears of imminent failure. We traveled, we worshiped
together, we entertained, we threw parties, we developed our
children’s mores and interests. But by September 2005, the week my
son started 8th grade, my wife woke up one morning and proclaimed
she fell out of love with me and wanted me out.
I left deeply saddened, shocked and intensely hurt. I cried for days. I
was chosen as the one to tell the kids about the separation “for their
benefit” so that the arguing would cease and the home would be more
peaceful. I did it with a lump in my throat. I stayed dry but began
going to fewer AA meetings and quit calling my sponsor at a time I
needed him most. I was too embarrassed that my marriage was in
shambles and my family life was destroyed. My ego could not
tolerate my telling my sponsor that this - in the here and the now happening to the Great Bob.
My wife insisted I move into NYC from the suburbs and took an apt
near CPW so that my kids would have fun in NYC instead of my
wish to be nearer to them, so I would see them more often than the
agreed two nights per week. My kids and I would walk around my
new neighborhood as wounded creatures while I tried to keep up their
27
spirits by telling them this was all for the better. I didn’t believe it and
dreamed and wished and hoped and prayed for a miraculous
reconciliation. I wanted to feel the love vibration we once had in that
beautiful comfortable home that my son’s Bris was in, my daughter
graced and my wife made so comfy and whole. I wanted to transform
into a calm collected Dad and husband who would never be enraged
again. I would not be fearful one day I told myself, if she would take
me back.
But the weeks ensued and after the High Holidays (where I sat
without wife in temple for first time in 18 years). I could not take the
sadness anymore and the loneliness of returning to an empty
apartment. So 6 weeks after the breakup I drank until I was absolutely
drunk. Pass out drunk. Blackout drunk. And the vicious drunk cycle
slowly crept back in, fueled by my anger over the loss of my life as I
wished it would be, by seeing the kids having to adapt to a new life
without Dad’s presence around the home (I was a great Dad—I was
known as the upbeat guy who had loads of energy around his kids,
cracking jokes, creating adventures, being a positive force for them)
and by isolating in my apt when I wasn’t out drowning my sadness.
That first year of separation acquainted me with another side of my
wife - she started going out during school nights partying with her
friends who were also separated, leaving the kids home alone til 2 am
sometimes. My attempts to quell my son’s concern was met with
forceful anger by my wife who insisted she have her own private life
and that the kids were ok home alone. My mother in law, with whom
I share a very close confidential relationship (ironically closer than
she has with her own daughter), and I would speak frequently about
how appalled we were that the kids were being mothered by someone
we did not recognize.
The point of all this is that over the ensuing two years, she started a
new selfish lifestyle which eventually wound up creating a
relationship with a man who is now her live in boyfriend. The
relationship was promoted to the detriment of my son, who was so
badly hurt by having to witness certain indiscreet sexual activities,
noises and disruptions in the home. How many times I would drop the
kids off after being with me and I would stop at the local bar near my
apt immediately after getting to the city and drown myself over the
pain. I was living with an unrequited love coupled with the anger and
seething rage of an alcoholic pained over the loss of his life and
witnessing his kids being affected deeply by it. My daughter started
28
to suppress her feelings, appearing numb and deeply conflicted with
her loyalty towards her Mom.
I did my best to continue working for two households during this
period, but my ambition suffered, overcome by my wondering why
am I working so hard to keep her lifestyle with him exactly like what
I had had with her. I was angered to come back home to pick up the
kids and see him effectively living in the home we had literally built,
amongst all the beautiful items we had selected together, using my
shower, sleeping in my bed, having dinner at my kitchen table and
enjoying the fruits of all my labor. She had selected a man who had
been making his baby with his wife while he started an affair with my
wife, and left his wife to move into my marital home just after his
daughter was born. My blood boiled. My son was deeply angered. I
used booze to suppress all the anger and kept working and providing
and paying.
I took a job in late spring 2007 to bring in a salary while we prepared
for the divorce and to smooth out the income that had been sporadic
from doing consulting assignments. I moved to a cheaper apt; she and
the kids remained in the home even though the burden of carrying
two homes was enormous and I was running a constant monthly
deficit which was offset by savings used to pay for the budget
shortfall. She wanted to keep the kids in the same lifestyle as long as
possible but I knew it would come to an end and I continued to shake
in fear knowing I could not keep it up. My drinking and inattention
lost that job in 2007 at year’s end. 2008 began with my continued
drinking, albeit I introduced myself to morning drinking in February
as I moved to an even cheaper apt. Isolation crept in more. I had a few
consulting assignments that carried us through June, but the capital
markets’ demise began to affect all, and soon enough all my clients
decided to eliminate me as an expense item. Coinciding with the loss
of my last client in June was the arrival of the divorce complaint. I
was destroyed. Emotionally, physically and economically. I reacted
to it by drinking throughout the day. 3 beers in morning, 3 martinis at
“lunch” and the nights when I was not seeing the kids drinks all night
to pass out.
In August we sold my beloved home. I had to witness the loss of my
pride and sweat while she left with her boyfriend on vacation. I
walked that property with my son the last time and cried. Went to
closing and gave her a disproportional amount of the proceeds as
agreed. Her monthly budget would continue to come out of my
29
savings as the markets collapsed and my now hugely excessive
drinking caused me to pay for all only out of my savings. The autumn
came and I moved finally out to NJ ostensibly to be physically closer
to the kids but truly because I was running out of money and couldn’t
afford NYC anymore. I took my fear based drinking to new levels: by
October my typical day was: “come to” at 2 am, roll around in bed for
3 hours, frequently contemplate suicide—the manner and means by
which I would actually do it, arise with serious shakes at 6 am,
vomiting, visine, begin drinking Smirnoff Orange (a pint) plus a six
pack of Budweiser tall boys by 9 am, smoke cigarettes, off to the
liquor store to pick up a 12 pack of bud talls and two more pints of
Smirnoff orange, drink at home til noon, go to Italian restaurant bar
to sit at counter and drink white wine til 2 pm and have a bowl of
pasta (my only meal of day every day for 5 months) and then home to
pass out til 430, at which time I would awaken, walk over to the
Crown Plaza hotel nearby, and drink vodka with cherry juice til 630
pm then go home, lay on couch and pass out. Every day. Watch
markets demise on TV. Make excuses to not see kids. Isolate in apt.
No relationships. Fear constantly.
It was in this context that in mid-November 2008 I was at the Crown
Plaza bar when I received a call from Marc Dreier, with whom I had
not had any contact in over two years (with the exception of a brief,
30 second call in early 2007 checking on a much earlier unrelated
investment matter). He sounded upbeat and asked me how I was. I
told him how lousy things were for me. He explained to me that he
could help with that, that I could make $100,000 for making a quick
phone call impersonating someone. He invited me to come to his
office in the morning if I were interested. I was drunk and then called
my mother in law to ask her advice. She told me not to do it. I then
called my wife, and her response was “Bob, you’ve got a guardian
angel on your shoulder. We need the money. Do it.” I called Dreier
back and said I would be there.
Please let me be careful here: I am not saying I went forward because
my ex wife encouraged me to do so. I take full responsibility for my
actions. I am simply trying to give you full color as to my mindset
going into this. I limited myself to three very early vodkas and then
drove into NYC to meet with him. He explained to me that he was
brokering a 44 million dollar bond deal at a price discount between
a market motivated seller and a hedge fund buyer, who liked the
credit, but was interested in getting a discussion with a representative
of the note’s guarantor, Ontario Teacher’s Pension Plan.
30
He said he had been trying to get this fellow on the phone and he had
been unavailable for a couple of days and the sale of the note had to
be completed asap. Dreier said it was a call where I would
impersonate the fellow by basically answering questions relating to
the circumstances that gave rise to their guarantee, and a brief
explanation of my supposed position at Teacher’s.
I came back later that day to rehearse the call, and then left his office
and went first to Bruno’s bar down the block on 58th street for some
calming wine and then back to Crown Plaza for more vodka before
going to sleep. The next day I made the call. It was how he described
it. He congratulated me telling me he stood to make a huge fee for
brokering it and that I would get my $100,000 the next day, which I
did. Thanksgiving came next and I was invited to my wife and kids’
with her family and her boyfriend. I rejoiced with her over getting
money so that I could “keep us all afloat.” I got seriously drunk.
Dreier called on Friday after Thanksgiving, asking me if I would
come into the office to assist in one more call. I told him I could. He
then said he had another hedge fund interested in purchasing the note
as the transaction from the phone call didn’t close yet. So I was
prepared to do the same call, but instead he asked me to impersonate
this time the managing director of an Icelandic hedge fund who was
the seller of the note, which I did. During the call, which was brief,
and “I” explained the reasons for liquidating the fund’s assets. Dreier
had told me this fellow was traveling in Dubai on business and was
unreachable that day and the buyer insisted on hearing from him prior
to making the purchase. I did the call and was promised an additional
$50,000 for it. On the following Monday I received a call from Dreier
saying the buyer wanted a follow up call late afternoon regarding the
company’s organizational structure, which he provided to me over the
phone. I was in a drunken state at about 3 pm, but quickly showered,
drove into NYC and made that call. He claimed I was coherent on the
call, but I knew better. He told me I would get the wire tomorrow
(Tuesday) and he would meet for drinks around 730 to discuss my
employment with him as a manager of his new distressed bond fund.
He told me he would be in Stamford CT all day so most likely
unreachable til we meet up.
In the morning I called his office twice to check on the wire as it
hadn’t been received. The third time I called I was at the bar well into
my drunken afternoon when I was informed that he had been arrested
for impersonation. I almost died right there. I proceeded to drink
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myself silly that day, avoiding all outside contact except my wife and
mother in law. The arrest a few days later regarding his Ponzi scheme
caught me completely by surprise and I was sitting at the bar
watching CNBC in horror. Surreal.
I drank for several days without doing anything else. After finding an
attorney I went to see him (having the regular morning vodkas) and
told him all. We then went right away into the U.S. Attorney’s office,
and cooperated with the authorities and told all.
I was so depressed and upset with myself. I ruined what ever I had left
of this lousy life. I was despondent. I couldn’t tell anyone anything.
I got formally divorced. So I continued my 24/7 drinking. And I
began having severe abdominal and prostate pains. I went to doctors,
drunk. I was told my liver enzymes were highly elevated. In the midst
of a very sad depressing long drinking binge following the liver news
I found a detox and rehab center in San Clemente CA and poured my
heart out to the unknown person on the other end of the phone. I got
on a plane and began my journey back.
I spent 35 days out there, gaining sobriety and beginning my trek
towards an alcohol and drug free life. I started becoming aware of my
problems and how they affected my drinking behavior. I started
seeing people again. Got deeply involved in AA locally; took
commitments; spoke at meetings, befriended others in need; started
getting into a spiritual lifestyle mode. Saw and loved my kids. And
they loved seeing a sober dad.
June came and I was doing all I could to try to find work, but work
wasn’t around. The markets had created unemployment. I was unable
to find even a dishwashing job. I deeply feared the outcome of the
criminal investigation and began obsessing over the future. I checked
into Four Winds psych wards and St. Claires afterwards for a total of
12 days in June 2009. I needed to understand why I was so depressed
even though I wasn’t drinking. I began taking new antidepressants
and antianxiety drugs.
I was offered an opportunity in September to fly out to Laguna Beach
and interview for a consulting job as well as meet the head of a rehab
group. I went out and did so and received the job offers. I went back
to NJ to prepare for the move and I was informed I would be formally
charged and I was to prepare for my guilty pleas, which I did.
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The next day after the plea I went out to Laguna, where I have been
since. The consulting job didn’t last long as the economy hit his
business as well, but the job in rehab has been going very well. I work
all day (and overnights sometimes too) talking with those in need of
treatment, from all addictions. I share my experience strength and
hope and patiently and lovingly try to get them to do what I have
done. I attend many different AA meetings and have lived most of the
time in a twin bed with a roomate in a sober living home. I have a few
new friends out here, My sponsor moved to California from NJ so we
get together to do the step work. I miss my kids.
I send home 80 per cent of my income to my ex wife for child support
(I make $8 an hour plus some small incentives from intake). When I
lost my free living arrangement, I moved into a home under
construction, alone, sleeping on a mattress on a bare floor and doing
heavy construction work (jackhammering, concrete work, demolition)
on my off hours from the rehab center in order to get free housing so
I could keep sending nearly all I make home to my ex-wife. I am
trying my best to keep providing something while really immersing
myself in the rehab job. I am well thought of at work as sober with a
solid program, hard worker, supporter of co-workers, and being
groomed to be an interventionist, a coveted job. In fact on May 3rd I
went on my first intervention, getting a 48 year old isolating meth
addict to come into treatment.
I now live back in the sober living house, in a small room, in a home
shared by 5 others. A long way from the days of home ownership,
travel, fine dining, family. I long for the day when I can be near my
kids and lead a purposeful life. I want to show them a Dad that has
weathered a tough circumstance that he brought on by himself and
has come through spiritually and is present for the love and care of his
kids. I would hope that I could continue to help people get treatment
and learn how to overcome addiction before their lives are taken by
this insidious disease. In April this disease came close to me- my
close friend from NYC, Brian Fiore, leaped to his death from atop the
Parker Meridien Hotel. I had seen him a few weeks before in
California. He seemed happy but told me he was using drugs and
drinking excessively. I wish I could have gotten through to him. I
miss him.
Your honor, my journey in sobriety is taking me to new emotional
levels. The court appointed psychologist, Dr Fick, has opened me up
to deal with my child oriented problems and how rage influenced my
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alcoholism and my personality development as the hero imposter
engaged in self-sabotage. I have learned that I needed full and
complete failure in order to rebuild properly. I so desperately want to
stay on this road to recovery and want to be there for others who are
pursuing it as well. What if I were able to stop just one person whose
addiction was leading him to commit a crime?
More than anything else, your Honor, I want to be a Dad. I want to
have my dear son and daughter truly get to know sober Dad and have
the benefit of me being around for them. I want to be there so they
don’t have to go through what I did to find themselves.
(Exhibit Q)
Sentencing Considerations
The factors that inform sentencing are set out in 18 U.S.C. § 3553(a):
The court shall impose a sentence sufficient, but not greater than
necessary, to comply with the purposes set forth in paragraph (2)
of this subsection. The court, in determining the particular sentence
to be imposed, shall consider(1) the nature and circumstances of the offense and the history and
characteristics of the defendant;
(2) the need for the sentence imposed(A) to reflect the seriousness of the offense, to promote respect for
the law, and to provide just punishment for the offense;
(B) to afford adequate deterrence to criminal conduct;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational
training, medical care, or other correctional treatment in the most
effective manner;
(3) the kinds of sentences available;
(4) the kinds of sentence and the sentencing range established [and
recommended by the Sentencing Guidelines] . . .
(5) any pertinent policy statement ... issued by the Sentencing Commission . . .
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(6) the need to avoid unwarranted sentence disparities among defendants
with similar records who have been found guilty of similar conduct;
and
(7) the need to provide restitution to any victims of the offense.
(emphasis added)
The Court’s overarching statutory mandate is to impose the minimum sentence sufficient
to serve the purposes of sentencing. Kimbrough v. United States, 552 U.S. 85, 90, 111 (2007).
The Supreme Court has emphasized that district courts should not presume that a sentence within
the applicable guidelines range is reasonable. See Nelson v. United States, 129 S. Ct. 890, 892
(2009); Rita v. United States, 551 U.S. 338, 351 (2007); Gall v. United States, 552 U.S. 38, 50
(2007). Rather, as the Supreme Court has explained, the guidelines are now just “one factor
among several courts must consider in determining an appropriate sentence.” Kimbrough v.
United States, supra, 552 U.S. at 90.
Robert made a grave error when he committed a crime, but the consequence of that error,
we respectfully submit, should be leavened by recognition of his admission of guilt, his prompt
self-reporting of his crime and cooperation with the Government, his prompt forfeiture to the
Government of the money he received for his criminal conduct, and his sincere commitment to
rehabilitate himself, and others.
We respectfully submit that a favorable exercise of this Court’s discretion is warranted in
this case. Mr. Miller is revealed in the enclosed letters as a man who was raised with integrity,
who has tried mightily and generously to help people and do good for the people around him in a
way that has stressed decency and commitment to good deeds. As Judge Rakoff noted in United
States v. Adelson, 441 F.Supp.2d 506, 513-14 (S.D.N.Y. 2006), “surely, if ever a man is to
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receive credit for the good he has done, and his immediate misconduct assessed in the context of
his overall life hitherto, it should be at the moment of his sentencing, when his very future hangs
in the balance. This elementary principle of weighing the good with the bad, which is basic to all
the great religions, moral philosophies, and systems of justice, was plainly part of what Congress
had in mind when it directed courts to consider, as a necessary sentencing factor, ‘the history and
characteristics of the defendant.’” 441 F.Supp.2d at 513-14. See also, United States v. Serafini.
233 F. 3d 758, 773-74 (3rd Cir. 2000), where “several constituents and friends described
situations in which Serafini extended himself to them in unique and meaningful ways during
times of serious need.” The district court had found and given substantial weight to the fact that
the defendant's acts “weren’t acts of just giving money, they were acts of giving time, of giving
one’s self,” and disclosed the defendant to be “an exceptionally giving person.”
Robert has now devoted his working and personal life to the assistance of others who
have similarly become devoured by alcoholism and addiction. He has eschewed the financial
world for social service, and has dedicated himself to the rehabilitation of himself and others.
Even pre-Booker, the Second Circuit had noted that “[s]ince rehabilitation may not be a
basis for incarceration but must be considered as a basis for sentencing, Congress must have
anticipated that sentencing judges would use their authority, in appropriate cases, to reduce a
defendant's sentence to permit him to continue his rehabilitation in the most effective manner.”
United States v. Maier, 975 F.2d 944, 947 (2d Cir.1992)(quoting 18 U.S.C. § 3561); United
States v. Rosado, 254 F.Supp.2d 316, 320-21 (S.D.N.Y. 2003).
Robert’s circumstance invokes a District Court’s analysis that was noted with approval by
the Supreme Court in the seminal case of Gall v. United States, supra, 552 U.S. at 44-45:
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Any term of imprisonment in this case would be counter effective
by depriving society of the contributions of the Defendant who, the
Court has found, understands the consequences of his criminal
conduct and is doing everything in his power to forge a new life.
The Defendant's post-offense conduct indicates neither that he will
return to criminal behavior nor that the Defendant is a danger to
society. In fact, the Defendant's post-offense conduct was not
motivated by a desire to please the Court or any other
governmental agency, but was the pre-Indictment product of the
Defendant's own desire to lead a better life.
See also, United States v. Hawkins, 380 F.Supp.2d 143, 165 (E.D.N.Y. 2005), aff'd, 228 Fed.
App'x 107 (2d Cir.2007)(“Rehabilitation should not now be destroyed by wanton and unthinking
application of mechanical rules for imprisonment.”); United States v. Davis, 2008 WL 2329290
(S.D.N.Y. June 05, 2008).
Robert’s good deeds warrant significant consideration; they have involved hands-on,
unpublicized gifts of compassion and help to others in need. They surely reflect his innate
nature. His good deeds permeate his personal life; they spread the warmth of good will in everincreasing circles, and make one pause in thanks for the decency of which human beings are
capable. He has significantly demonstrated his contrition, his desire to atone, his forging a new
path in life and his abnegation of criminal conduct.
Conclusion
We respectfully urge the Court to exercise its discretion in Robert’s favor. He is a decent
man, who has devoted his life unstintingly to his family, his children and to the welfare of others
and has literally changed the course of many people’s lives. Robert struggles hard to earn an
honest living and to be a good influence and role model to his community.
We do not intend to minimize the gravity of this case. But Robert’s repentance and
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remorse effectively remove the possibility that he would again engage in anything even remotely
resembling criminal conduct.
In the unhappy circumstances of Robert’s case, a sentence not involving incarceration
would most certainly vindicate the needs of society while at the same time permit him to be able
to continue the important work of counseling in a drug and alcohol rehabilitation facility, provide
for his family and be there for so many others who have come to depend upon him for his
support.
We ask this Court to view Robert in the most favorable light possible -- as a man who
erred, but who is not evil; as a man who admittedly has done wrong, but who has amassed an
extraordinary history of good deeds to his fellow man and has done, and is doing, much that is
right. We urge the Court to be as lenient and merciful as possible.
Dated: June 29, 2010
New York, New York
Respectfully submitted,
___________/s/__________________
Jacob Laufer (JL-2846)
Shulamis Peltz (SP-4331)
JACOB LAUFER, P.C.
Attorneys for Defendant Robert Miller
65 Broadway, Suite 1005
New York, New York 10006
(212) 422-8500
cc:
A.U.S.A. Jonathan Streeter (Via ECF)
Dawn Doino, U.S. Probation Officer (Via e-mail)
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