United States v. Carl Ulm — Plea Agreement, District of South Carolina (Entry Number 37)

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A plea agreement (general provisions) in United States of America v. Carl Ulm, Criminal No: 2:22-cr-00994-BHH, in the District Court of the United States for the District of South Carolina, Charleston Division, filed June 22, 2023 as Entry Number 37. The Defendant agrees to plead guilty to Count One of the Indictment, which charges wire fraud, a violation of 18 U.S.C. § 1343, with a stated penalty of imprisonment for no more than 20 years, a fine of $250,000 and a special assessment of $100. The agreement also covers restitution, cooperation and forfeiture, including a proceeds forfeiture judgment of a minimum of approximately $204,132.50, and a waiver of the right to contest the conviction or sentence, with stated exceptions.

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 1 of 8

IN THE DISTRICT COURT OF THE UNITED STATES
FOR THE DISTRICT OF SOUTH CAROLINA
CHARLESTON DIVISION

UNITED STATES OF AMERICA Criminal No: 2:22-cr-00994-BHH

Vv.
PLEA AGREEMENT

CARL ULM

General Provisions

This PLEA AGREEMENT is made this \) day of July, 2023, between the United

States of America, as represented by United States Attorney ADAIR F. BOROUGHS, Assistant

United States Attorney Amy F. Bower the Defendant, CARL ULM, and Defendant’s attorney,

Lionel Lofton,

IN CONSIDERATION of the mutual promises made herein, the parties agree as follows:

1. The Defendant agrees to plead guilty to Count One of the Indictment now pending, which

charges wire fraud, a violation of 18 U.S.C. § 1343.

In order to sustain its burden of proof, the Government is required to prove the following:

Count 1

A. Defendant devised or intended to devise a scheme to defraud or to obtain money or
property by means of false or fraudulent pretenses, representations, or promises that

were material; and

B. For the purposes of executing the scheme, the Defendant transmitted or caused to
be transmitted by means of wire, radio, or television communication in interstate or

foreign commerce any writings, signs, signals, pictures, or sounds,

The penalty for this offense is:

Imprisonment for no more than 20 years, fine of $250,000, supervised release for not more

than three years, and a special assessment of $100.

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 2 of 8

The Defendant understands and agrees that monetary penalties [i.e., special assessments,
restitution, fines and other payments required under the sentence] imposed by the Court
are due and payable immediately and subject to enforcement by the United States as civil
judgments, pursuant to 18 U.S.C. § 3613. In the event the Court imposes a schedule for
payment of restitution, the Defendant also understands that payments made in accordance
with installment schedules set by the Court are minimum payments only and do not
preclude the Government from seeking to enforce the judgment against other assets of the
Defendant at any time, as provided in 18 U.S.C. §§ 3612, 3613 and 3664(m). The
Defendant further agrees to enter into the Bureau of Prisons Inmate Financial Repayment
Program if sentenced to a term of incarceration with an unsatisfied monetary penalty. The
Defendant further understands that any monetary penalty imposed is not dischargeable in
bankruptcy.

A. Special Assessment: Pursuant to 18 U.S.C. §3013, the Defendant must pay
a special assessment of $100.00 for each felony count for which he is
convicted. This special assessment must be paid at or before the time of the
guilty plea hearing or during participation in the Bureau of Prisons Inmate
Financial Repayment Program if this plea results in incarceration.

B. Restitution: The Defendant agrees to make full restitution under 18 U.S.C.
§ 3556 in an amount to be determined by the Court at the time of sentencing,
which amount is not limited to the count(s) to which the Defendant pled
guilty, but will include restitution to each and every identifiable victim who
may have been harmed by his scheme or pattern of criminal activity,
pursuant to 18 U.S.C. § 3663. The Defendant agrees to cooperate fully with
the Government in identifying ail victims. Upon demand, the Defendant
shall submit a personal financial statement under oath and submit to
interviews by the government and the U.S. Probation Office regarding the
Defendant's capacity to satisfy any fines or restitution. The Defendant
expressly authorizes the U.S. Attorney's Office to immediately obtain a
credit report on the Defendant in order to evaluate the Defendant's ability to
satisfy any financial obligation imposed by the Court. The Defendant
understands that the Defendant has a continuing obligation to pay in full as
soon as possible any financial obligation imposed by the Court.

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 3 of 8

C. Fines: The Defendant understands that the Court may impose a fine
pursuant to 18 U.S.C. §§ 3571 and 3572.

Defendant understands that if Defendant is not a United States citizen, the felony
conviction in this case may subject Defendant to removal, also known as deportation,
which may, under some circumstances, be mandatory. The court cannot, and Defendant’s
attorney also may not be able to, advise Defendant fully regarding the immigration
consequences of the felony conviction in this case. Defendant understands that by entering
a guilty plea defendant waives any claim that unexpected immigration consequences may
render Defendant’s guilty plea invalid.

The Defendant understands that the obligations of the Government within the Plea
Agreement are expressly contingent upon the Defendant’s abiding by federal and state laws
and complying with any bond executed in this case. In the event that the Defendant fails
to comply with any of the provisions of this Agreement, either express or implied, the
Government will have the right, at its sole election, to void all of its obligations under this
Agreement and the Defendant will not have any right to withdraw his/her plea of guilty to
the offense(s) enumerated herein.

Cooperation and Forfeiture

The Defendant agrees to be fully truthful and forthright with federal, state and local law
enforcement agencies by providing full, complete and truthful information about all
criminal activities about which he/she has knowledge. The Defendant must provide full,
complete and truthful debriefings about these unlawful activities and must fully disclose
and provide truthful information to the Government including any books, papers, or
documents or any other items of evidentiary value to the investigation. The Defendant

must also testify fully and truthfully before any grand juries and at any trials or other

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 4 of 8

proceedings if called upon to do so by the Government, subject to prosecution for perjury
for not testifying truthfully. The failure of the Defendant to be fully truthful and forthright
at any stage will, at the sole election of the Government, cause the obligations of the
Government within this Agreement to become null and void. Further, it is expressly agreed
that if the obligations of the Government within this Agreement become null and void due
to the lack of truthfulness on the part of the Defendant, the Defendant understands that:

A. the Defendant will not be permitted to withdraw his/her plea of guilty to the
offenses described above;

B. all additional charges known to the Government may be filed in the
appropriate district;

C, the Government will argue for a maximum sentence for the offense to which
the Defendant has pleaded guilty; and

D. the Government will use any and all information and testimony provided by
the Defendant pursuant to this Agreement, or any prior proffer agreements,
in the prosecution of the Defendant of all charges.

The Defendant agrees to submit to such polygraph examinations as may be requested by
the Government and agrees that any such examinations shall be performed by a polygraph
examiner selected by the Government. Defendant further agrees that his/her refusal to take
or his/her failure to pass any such polygraph examination to the Government’s satisfaction
will result, at the Government’s sole discretion, in the obligations of the Government within
the Agreement becoming null and void.

Provided the Defendant cooperates pursuant to the provisions of this Plea Agreement, and
that cooperation is deemed by the Government as providing substantial assistance in the
investigation or prosecution of another person, the Government agrees to move the Court

for a downward departure or reduction of sentence pursuant to United States Sentencing

Commission Guidelines § 5K1.1, 18 U.S.C. § 3553(e) or Federal Rule of Criminal

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 5 of 8

Procedure 35(b). Any such motion by the Government is not binding upon the Court, and
should the Court deny the motion, the Defendant will have no right to withdraw his/her
plea.

The Defendant agrees to voluntarily surrender to, and not to contest the forfeiture of any
and all assets and property, or portions thereof, which are subject to forfeiture pursuant to
any provision of law, including but not limited to, property in the possession or control of
the Defendant or Defendant’s nominees. Specifically, the Defendant agrees to voluntarily
surrender, and not contest the forfeiture of property identified in the Indictment, and any
forfeiture Bill of Particulars.

Proceeds/Forfeiture Judgment:

A sum of money equal to all proceeds the Defendant obtained, directly
or indirectly, from the offense charged in the Indictment, that is, a
minimum of approximately $204,132.50 in United States currency, and
all interest and proceeds traceable thereto, and/or such sum that equals
all property which constitutes or is derived from proceeds traceable to
his violation of 18 U.S.C. § 1343.

With regard to each and every asset listed in the Indictment or seized in a related
investigation or administrative, state, or local action, the Defendant stipulates and agrees:

The Defendant agrees and consents to the forfeiture of these assets pursuant to any
federal criminal, civil judicial or administrative forfeiture action. The Defendant also
hereby agrees to waive all constitutional, statutory and procedural challenges in any
manner (including direct appeal, habeas corpus, or any other means) to any forfeiture
catried out in accordance with this Plea Agreement on any grounds, including that the
forfeiture described herein constitutes an excessive fine, was not properly noticed in
the charging instrument, addressed by the Court at the time of the guilty plea,
announced at sentencing, or incorporated into the judgment.

To its forfeiture herein, if necessary as substitute property under 21 U.S.C. § 853(p), as
made applicable by 18 U.S.C. § 982(b)(1) or any other statute, or in a separate

administrative or civil judicial proceeding.

That the Defendant has or had a possessory interest or other legal interest in each item
or property.

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2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 6 of 8

To assist the United States in the recovery of all assets by (i) taking whatever steps are
necessary or requested by the United States to pass clear title to the United States; (ii)
preventing the disbursement of any moneys and sale of any property or assets; (iii) not
encumbering or transferring any real estate after the Defendant’s signing of this Plea
Agreement; and (iv) directing all financial institutions to turn over and surrender to the
United States all funds and records regarding accounts listed in any document signed
by the Defendant pursuant to this plea agreement, as criminal proceeds or substitute

property.

The Defendant waives all rights to notice of forfeiture under Rule 32.2 and of any other
action or proceeding regarding such assets. The Defendant consents and waives all
tights to compliance by the United States with any applicable deadlines under 18
U.S.C. § 983(a). Any related administrative claim filed by the Defendant is hereby
withdrawn.

Pursuant to Rule 32.2(b)(4), the Defendant agrees that the preliminary order of
forfeiture will satisfy the notice requirement and will be final as to the Defendant at the
time it is entered. In the event the forfeiture is omitted from the judgment, the
Defendant agrees that the forfeiture order may be incorporated into the written
judgment at any time pursuant to Rule 36.

If the United States discovers that the Defendant has not fully disclosed all assets, the
United States may seek forfeiture of any subsequently-discovered assets, and the
Defendant agrees to the immediate forfeiture of any such assets.

The Defendant further agrees to make a full and complete disclosure of all assets over
which Defendant exercises control and those which are held or controlled by nominees.
The Defendant agrees that Federal Rule of Criminal Procedure 11 and § 1B1.8 of the
United States Sentencing Commission Guidelines will not protect from forfeiture,
assets disclosed by the Defendant as part of his/her cooperation. The Defendant further
agrees to submit to a polygraph examination on the issue of assets if it is deemed
necessary by the United States.

The Defendant agrees to waive any double jeopardy claims the Defendant may have as
a result of a forfeiture proceeding against any of these properties as provided for by this
Plea Agreement and agrees to waive any claims that the forfeiture described herein
constitutes an excessive fine.

Forfeiture of the Defendant’s assets shall not be treated as satisfaction of any fine,
restitution, cost of imprisonment, or any other penalty the Court may impose upon the
Defendant in addition to forfeiture. The United States may use the value of forfeited
property for restitution, but is not required to do so,

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10.

2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 7 of 8

Merger and Other Provisions

The Defendant represents to the court that he/she has met with his/her attorney on a
sufficient number of occasions and for a sufficient period of time to discuss the Defendant’s
case and receive advice; that the Defendant has been truthful with his/her attorney and
related all information of which the Defendant is aware pertaining to the case; that the
Defendant and his attorney have discussed possible defenses, if any, to the charges in the
Indictment including the existence of any exculpatory or favorable evidence or witnesses,
discussed the Defendant’s right to a public trial by jury or by the Court, the right to the
assistance of counsel throughout the proceedings, the right to call witnesses in the
Defendant’s behalf and compel their attendance at trial by subpoena, the right to confront
and cross-examine the Government’s witnesses, the Defendant’s right to testify in his own
behalf, or to remain silent and have no adverse inferences drawn from his/her silence; and
that the Defendant, with the advice of counsel, has weighed the relative benefits of a trial
by jury or by the Court versus a plea of guilty pursuant to this Agreement, and has entered
this Agreement as a matter of the Defendant’s free and voluntary choice, and not as a result
of pressure or intimidation by any person.

The Defendant is aware that 18 U.S.C. § 3742 and 28 U.S.C. § 2255 afford every defendant
certain rights to contest a conviction and/or sentence. Acknowledging those rights, the
Defendant, in exchange for the concessions made by the Government in this Plea
Agreement, waives the right to contest either the conviction or the sentence in any direct
appeal or other post-conviction action, including any proceedings under 28 U.S.C, § 2255.
This waiver does not apply to claims of ineffective assistance of counsel, prosecutorial

misconduct, or future changes in the law that affect the Defendant’s sentence. This

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11.

12.

2:22-cr-00994-BHH Date Filed 06/22/23 Entry Number 37 Page 8 of 8

agreement does not affect the rights or obligations of the Government as set forth in 18
U.S.C. § 3742(b). Nor does it limit the Government in its comments in or responses to any
post-sentencing matters.

The Defendant waives all rights, whether asserted directly or by a representative, to request
or receive from any department or agency of the United States any records pertaining to
the investigation or prosecution of this case, including without limitation any records that
may be sought under the Freedom of Information Act, 5 U.S.C. § 552, or the Privacy Act
of 1974, 5 U.S.C. § 552a.

The parties hereby agree that this Plea Agreement contains the entire agreement of the
parties; that this Agreement supersedes all prior promises, representations and statements
of the parties; that this Agreement shall not be binding on any party until the Defendant
tenders a plea of guilty to the court having jurisdiction over this matter; that this Agreement
may be modified only in writing signed by all parties; and that any and all other promises,
representations and statements, whether made prior to, contemporaneous with or after this

Agreement, are null and void.

Date !

ADAIR F. BOROUGHS
UNITED STATES ATTORNEY

Date Arty‘F. Bowét (Fed. ID #411784)

Assistant United States Attorney

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