The Hales, a married couple, owned and operated a wholesale caviar business, Royaloff Caviar, in Tennessee and Kentucky. They utilized the roe of paddlefish (Polyodon spathula), which are large, shark-like river fish with long, flat blade-like snouts. Because paddlefish populations are declining, many states have either limited the season for catching paddlefish or banned fishing for them altogether.
The defendants, Frank and Carolyn Hale, were originally charged in an 11-count indictment with conspiracy to violate and ten substantive violations of the Lacey Act, which makes it a federal crime, under certain circumstances, to violate state fish and wildlife laws. See 16 U.S.C. § 3371-3378 (1981). After the government dismissed Counts 8 through 11, the Hales went to trial before a jury and were convicted on six of the seven remaining counts. They now appeal, contending that several of the counts on which they were convicted fail to charge an offense and that the jury instructions were faulty in at least two respects.
In claiming that Count 1 failed to state an offense, the defendants cite only to subsection (a) of the statute, arguing that prior to its amendment in 2000, the statute required merely an "application," not an actual license. Interpreted as a whole, however, it is clear that § 70-2-206 required a license for wholesale fish dealers at the time the offense in this case occurred. Although he described the language of the section as "inartful," the district judge so held. Construing the indictment "liberally in favor of sufficiency," the Court agrees with this assessment and therefore finds no deficiency with respect to the first count of the indictment.
Concerning counts 4, 5, 6, 7,each of those counts alleges that the defendants prepared records falsifying the identity and address of the seller of the paddlefish, in violation of 16 U.S.C. §§ 3372(d)(2) and 3373(d)(3)(A)(ii). Sixteen U.S.C. § 3372(d) prohibits the "mak[ing] or [submission of] any false record, account, or label for, or any false identification of any fish, wildlife, or plant which has been, or is intended to be ... transported in interstate or foreign commerce." The defendants argue that because the indictment did not allege that the allegedly false record involved a false identification of fish, it failed to allege an essential element of the offense. The statute clearly criminalizes making and submitting false records relating to fish that are sold in interstate commerce. It does not, as the defendants suggest, criminalize only the false identification of fish (i.e., passing off paddlefish caviar as sturgeon caviar).
Judgement:
As such, the judgement of the district court is affirmed.