US.v. Miller

(United States Third Circuit) – Sentence for conviction of securities fraud, 15 U.S.C. section 78j(b), and tax evasion, 26 U.S.C. section 7201, is affirmed where: 1) despite defendant’s failure to register as such, he was an ‘investment adviser,’ as defined by the Investment Advisers Act of 1940, 15 U.S.C. section 80b-2(a)(11), and the District Court therefore properly applied the investment advisor enhancement under U.S.S.G. section 2B1.1(b)(19)(A)(iii); 2) the Government did not breach the plea agreement; and 3) the sentence is not substantively unreasonable.