FEDERAL ELECTION COMMISSION WASH41NION. DC 20463 THIS IS THE IEGINNIM OF MI.R # DATE FILMED CAER*MA - "filzE9- CAMERA NO@
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FEDERAL ELECTION COMMISSIONWASH41NION. DC 20463
THIS IS THE IEGINNIM OF MI.R #
DATE FILMED
CAER*MA -
"filzE9- CAMERA NO@
771-jT1, 7707'
FEDERAL ELECTION COMMISSIONWASHINCTON, D.C. 20463
10 August 1987
M4MORANDUM
LAWRENCE M. NOBIACTING GENERW7
THROUGH:
FROM:
SUBJECT:
JOHN C. SUSTAFF DIRE
C~JOHN D. GIBSS;ASSISTANT ST FF DIRECTORREPORTS AN YSIS DIVISION
REFERRAL OF CHRIS DODD FOR SENATE
Chris Dodd for Senate ("the Committee") has accepted and insome instances refunded apparent excessive contributions fromindividuals and political committees totalling $36,559.33($17,609.33 for 1985 and $18,950 for 1986).
TOs
Schedules A of the Committee's reports disclosecontributions designated in three manners. Contributionsdesignated as "0-869 are contributions designated for the 1986senatorial convention. Contributions designated as "General-86Nare contributions designated for the 1986 general election.Contributions designated as OR-86" are contributions that theCommittee indicates that it is refunding.
Schedule B discloses electiondesignations for the refunds; however, in some instances theseelection designations do not match the election designationsdisclosed on Schedule A. In these instances, RAD has assumedthat the refund was made for the apparent excessive contributiondisclosed on Schedule A.
If you have any questions regarding this referral, pleasecontact Pat Sheppard at 376-2480.
Attachment
II
REPORTS ANALYSIS REFERRAL
TO
OFFICE OF GENERAL COUNSEL
DATE: 10 August 1987
ANALYST: Pat Sheppard
1. COs4ITTEE: Chris Dodd for Senate(C0009 1017)Frank N. Zullo, Treasurer346 Congdon StreetMiddletown, CT 06457
II. RELEVANT STATUTE: 2 U.S.C. S441a(f)
III. BACKGROUND:
Receipt of Excessive Contributions
The 1985-86 Reports of Chris Dodd for Senate ("theCommittee") disclosed the receipt of apparent excessivecontributions totalling $36,559.33. The excessive amountswere received from thirty-three (33) individuals, ten (10)political committees, and one (1) non-registered politicalparty committee. These apparent excessive contributionswere disclosed on the 1985 Mid-Year and Year End Reports,,the 1986 April Quarterly, July Quarterly, October Quarterly,12 Day Pre-General, 30 Day Post-General and Year EndReports. Of the total apparent excessive amount, theCommittee has refunded to date a total of $18,550.Presented below is a summary of the apparent excessivecontributions received, the notices sent, and the responsesreceived. For specific details, please refer to theattached chart and its supporting documentation. The chartis an alphabetical listing of individuals and politicalcommittees apparently contributing in excess of the limits.This includes contributions for which the Committee has beennotified and contributions for which the Committee has notreceived notification, as these were identified during thepreparation of this referral.
A. Possible Violations Discovered During Initial Review
1) 1985 Mid-Year Report
Review of the Committee's report disclosed apparentexcessive contributions totalling $4,000 from three (3)individuals. The Committee's report disclosed a full
CHRIS DODD FOR SENATEREPORTS ANALYSIS OGC REFERRALPAGE 2
refund to one individual ($1,000). Schedule D of theCommittee's report disclosed a $1,000 debt owed for acontribution refund to one (1) of the individuals,Charlotte Ford. A Request for Additional Information("RFAI") was sent to the Co ittee on October 8, 3985(Attachment 2). The RFAI noted the receipt of theapparent excessive contributions and requested theCommittee to refund the remaining amounts in excess ofthe $1,000 per election limit. In addition, the letternoted the possibility of further Commission actionconcerning the acceptance of excessive contributions.No response was received and therefore a Second Noticewas sent on October 31, 1985 (Attachment 3). TheCommittee responded in a letter received November 6,1985 (Attachment 4). The Couiittee stated in the letterthat refunds had been made to two individuals, and thata refund would be made to the third individual. TheCommittee's 1985 Year End Report disclosed the refunds.
2) 1986 April Quarterly Report
Review of the Committee's report disclosed apparentexcessive contributions totalling $3,525 from five (5)individuals. Schedule D of the Committee's reportdisclosed $3,025 in debts owed for contribution refundsto f ive (5) of the individuals. An RFAI was sent to theCommittee on May 27,, 1986 (Attachment 5) . The RFAInoted the receipt and partial refund of the apparentexcessive contributions and requested the Committee torefund the remaining amounts in excess of the $1,000 perelection limit. In addition, the letter noted thepossibility of further Commission action concerning theacceptance of excessive contributions. No response wasreceived and therefore a Second Notice was sent on June19, 1986 (Attachment 6). On June 25, 1986,r theCommittee responded by letter acknowledging the receiptof the apparent excessive contributions and noted thatthe appropriate refunds had been made (Attachment 7).The Committee's 1986 July Quarterly Report disclosedthat $3,025 of the refunds were made on April 30 andJune 30, 1986. To date, the Committee has rnot refunded,reattributed, or redesignated the remaining $500 inadditional apparent excessive contributions.
3) 1986 Amended July Quarterly Report
Review of the Committee's report disclosed apparentexcessive contributions totalling $3,725 from seven (7)individuals. Schedule D of the Committee's reportdisclosed $2,625 in debts owed for contribution refundsto three (3) of the individuals. An RFAI was sent to
CRIS DODD FOR SENATEWEORTS ANALYSIS OGC REFERRAL
PAGE 3
the Committee on August 19, 1986 (Attachment 8). TheRFAI noted the receipt of the apparent excessivecontributions and requested the Committee to refund theamount in excess of the $1,000 per election limit. Inaddition, the letter noted the possibility of furtherCommission action concerning the acceptance of excessivecontributions. On August 25,, 1986 the Committee wassent a letter notifying them that the Committee hadfiled tvo consecutive reports disclosing the receipt ofexcessive contributions and advised the Committee tocheck their procedures for screening contributions andmake any necessary adjustments (Attachment 9). Inaddition,, the notice advised the Committee that shouldanother report be filed disclosing the receipt of anyexcessive contributions, legal enforcement action mightbe taken by the Commission. on September 9, 1986, theCommittee responded by letter acknowledging the receiptof the excessive amounts, noting that the appropriaterefunds were made and correcting primary and general
Ccoding errors (Attachment 10). The Committee's 1986October Quarterly Report disclosed that $3,375 of therefunds were made between July 15 and September 30,1986. To date, the Committee has not refunded,reattributed or redesignated the remaining $350 in
g~. additional apparent excessive contributions.
C 4) 1986 October Quarterly Report
V3 Review of the Committee's report disclosed anapparent excessive contribution totalling $1,000 fromone (1) individual. An RFAI was sent to the Committeeon December 2, 1986 (Attachment 11). The RFAI noted thereceipt of the apparent excessive contribution and
or requested the Committee to refund the amount in excessof the $1,000 per election limit. In addition, theletter noted the possibility of further Commissionaction concerning the acceptance of excessivecontributions. No response was received and therefore aSecond Notice was sent on December 23, 1986 (Attachment12). An Amended 1986 October Quarterly Report, that wassent by certified mail and received on December 29,1986, did not address the apparent excessivecontribution. The Committee inadequately responded in aletter on January 12, 1987 (Attachment 13). To date,the Committee has not refunded the contribution.
5) 1986 30 Day Post-General Report
Review of the Committee's report disclosed anapparent excessive contribution totalling $2,000 from anon-registered political party committee (Democratic
CRI8 DODD FOR SNATEEBPORTS ANALYSIS OGC RBFERRAL
PAGE 4
Town Committee of West Hartford). An RFAI was sent tothe Committee on December 23, 1986 (Attachment 14). TheRFAI noted the receipt of the apparent excessivecontribution and requested the Committee to refund theamount in excess of the $1,000 per election limit. Inaddition, the letter noted the possibility of furtherCommission action concerning the acceptance of excessivecontributions. The Committee inadequately responded ina letter on January 12, 1987 (Attachment 15). A SecondNotice was sent on January 15, 1987 (Attachment 16). OnFebruary 5, 1987, the Committee responded in a letterstating that they had placed the excessive amount intoan escrow account pending completion of their review(Attachment 17). On June 4, 1987, the Committeeresponded in a letter stating that the excessive amountwould be reflected as a debt on the 1986 Year End Report(Attachment 18). To date, the Committee has notrefunded the contribution.
C
c
IV. OTHER PENDING MATTERS INITIATED BY RAD:
None.
PAGE 1 OF 6
APfARENT LXCESSIVK CONTRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
Cosgrove, Daniel
#me y, Robert x.
Ford, Charlotte
Freedman, Roger
,olding, Samuel Y.
Goodwin, Dorothy C.
, Steven A.
Grossman, Richard A.
Harrison, Pauline L.
Hartley Jr., James 9.
$ $0/2,000
1,100/ 900
1,000/ 2,000
1,300/ 500
1,500/ 1,000
1,700/ 1,500
2,000/ 2,000
1,500/ 1,000
0/ 1,250
1,125/ 2,500
38, 123
21, 39, 66
22, 40, 65,
41, 67
11, 42, 87,
6, 22, 31,68, 100
31, 43
12, 23, 69
3, 44
101, 111,117, 128,131
$ 0/$ 900 - 10/31/86100 - 10/31/86
1oo/
$ 0/$ 100**- 11/04/86
0 - 04/08/85
0/ 1,000*- 05/30/85
300/
1,000/ 0 - 07/30/85
0 - 08/15/85
500*/ 0 - 03/31/86
700/ 0 - 12/05/850/ 500*- 06/04/86
1,000*/1,000*- 06/26/85
500/
500/ 0 - 06/30/86
0/ 500 - 09/05/86
2,000/ 0 - 10/17/85
0 - 11/22/85
0/ 250 - 06/18/85
125*/ 0 - 05/09/860/ 1,500*- 12/09/86
125/0 - 07/15/860/ 1,500"*-01/02/87
.S I L zOfOt b
Pages
126
110
116
116132
PAGE 2 OF 6
APPARENT EXCESSIVE CONTRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
Kenney, Chris
Janen, rank
Kornreich, Nathev R.
Lacey, John R.
j ose, Rose Bove
'4tohardt, Clifton
Levin, Jay Z.
Levine, Rarold
Libassi, Frank Peter
$2,250/$2,000
2,250/ 875
2,130/ 770
750/ 1,250
1,500/ 200
1,125.33/ 250
1,500/ 600
1,250/
1,263/ 350
27, 70,102
88,
13, 89, 98
14, 24, 32,45, 90, 98
5, 46, 71,91, 98
15, 19, 112,117, 122
24, 47, 72
16, 25, 33,47, 103,113, 117, 122
5, 72
17, 33, 48,
$1,000/$ 0 - 08/15/850/ 1,000 - 03/31/86
250*/ 0 - 06/30/86
125/ 0 - 12/13/831,125*/ 0 - 01/31/86
230/ 0 - 05/31/85900*/ 0 - 03/31/86
0/0/
500/
125*- 03/31/86125- 03/31/86
0 - 04/30/86
$ 0/52,000 - 09/05/86
1,125/
900/
116
0 - 04/30/86 110
0 - 06/30/86 110
125**/ 0 - 04/30/86
0/ 600 - 10/15/86
110
123
125.33/ 0 - 06/26/85
100/250/150/
250/
13/250/
06/12/8506/30/8607/18/86
150 - 09/11/86250 - 10/15/86
116123
0 - 12/04/85
0 - 06/05/850 - 08/07/85
r~u
Pages
PAGE 3 OF 6
APPARENT EXCESSIVE CONTRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
Liston, Gary $2,000/$ 48, 74 $1,000/s 0 - 12/04/85
*rber, K. Philip
Mallow, Rarvey N.
Marcus, Edward L.
Palumbo, Dominic
in, Miles L.
1,250/
1,300/ 850
0/ 1,750
2,100/ 700
2,000/ 2,000
1, 18, 48
5, 18, 49,92, 98
50, 75, 93,
26, 51, 76,94, 99, 111
34, 52, 104,111, 117
250/ 0 - 06/10/85
150/ 0 - 06/12/85150*/ 0 - 03/31/86
0/ 375*- 03/31/860/ 375*- 03/03/86
300/300 /500*/
0 - 06/17/850 - 12/31/850 - 03/31/86
0/2,000*- 04/17/86
$ 150**/ 0 - 04/30/86
375**/ 0 - 04/30/86
300/ 0 - 03/21/86500**/ 0 - 04/30/86
o/ 2,000 - 09/05/86
Iaepka, Fred
Izepka, Peter
2,000/
2,000/ 1,000
7, 52
7, 52
1,000/ 0 - 01/02/85
1,000*/ 0 - 01/02/85 1,000/ 0 - 03/14/85
Shapiro, Max M.
Stack, Geoffrey L.
1,125/
1,500/ 1,000
28, 35, 77
36, 53, 101,111, 117
125 / 0 - 07/10/85
500*/ 0 - 05/09/86 500/ 0 - 07/15/86
t'~U I ~
Pages
110
110
97110
116
116
PAGE 4 OF 6
APPARENT EXCESSIVE CONTRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
Storch, Herbert
ubin, Abraham
ipea~164" Ldis
$ 0/$3,250
1,500/
2,100/ 2,000
9, 95, 105,114
1, 54
36, 78, 106
0/$I,000 -0/ 250*-0/ 1,000"-
500 /
100/ 01,000/ 0
0/ 1,000
03/31/8606/30/8607/18/86
$ 0/ 1,000 - 09/05/86250/ 0 - 09/30/86
0 - 06/26/85
09/21/8408/07/8506/30/86
100/ 0 - 02/01/851,000**/ 0 - 09/23/85
bitlfe, Thee 1,100/ 900 8, 55, 79,107
loo*/ 0 - 06/18/86
F $ U ! 5'LO- 0 , U 6 b
Pagas
116116
PAGE 5 OF 6
APPA EXCESSIVE COITRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
APSGIg P.E.O.P.L.E.(CO011114)
• munication Workersof America (C0O02089)
Democratic Town Comitteeof West Rartford
anaie PAC(C008116)
.ndependent Insurancei A4rte of America(OW22343)
.Coldr.aoo Govl/(0o0126647)
Life Underwriters PLC(00005249)
$6,000/$4,500
6,000/ 1,000
0/ 3,000
0/ 1,200
3,000/ 6,000
5,000/ 166
4,000/ 6,000
2, 56, 80,
29 569 80,125
2, 57, 80
124, 127
115, 118
4, 20, 61,83
19, 37, 58,96
4, 20, 29,59, 82
$ 500/$ 0 - 10/09/85500/ 0 - 11/04/86
1,000/
$ 0/$ 500** - 12/01/86 130
0 - 09/11/85
0/ 2,000*- 10/31/86
0/ 200 - 10/09/86
0/ 1,000 - 09/13/85
166/
0/ 200 - 12/11/86
0 - 06/10/85
0/ 1,000 - 12/31/85
.11 Did not qualify as a multi-candidate cmmmittee until 6/30/85.
9 S U I ,#C 0 U 6 b
Pages
130
PAGE 6 OF 6
APPARENT EXCESSIVZ CONTRIBUTIONS RECEIVED BY CHRIS DODD FOR SENATE
(Apparent excessive amounts addressed in notices to the Committee have been asterisked.)
Total ContributionsIndividual Convention/General Pages
Excessive AmountsConvention/General - Date Amount Refunded - Date
NACSAPAC(CO0039578)
$5,500/$1,000 20, 60, 83,108, 119
$ 500/$ 0 - 04/23/86
Srelli Cable Corp. PAC(000176156)
0/ 2,000 129 0/ 1,000 - 12/30/86
$efarers PAC(000004325)
.Wabiksgton PAC(0013560)
6,500/
2,000/ 5,100
2, 62, 84 1,500/
10, 30, 63,109, 120
0 - 12/31/85
0/ 100 - 10/09/86
L adU .dLO ,V0 t V
Pages
Chri Dodd for Senate
Supporting Docuentation for the Chart
1981 Mid-Year Report Pages 1 - 2
1982 Mid-Year Report Pages 3 - 4
1983 Mid-Year Report Pages 5 - 10
1983 Year End Report Pages 11 - 20
1984 Mid-Year Report Pages 21 - 30
1984 Year End Report Pages 31 - 37
1985 Mid-Year Report Pages 38 - 65
1985 Year End Report Pages 66 - 86
1986 April Quarterly Report Pages 87 - 99
1986 July Quarterly Report Pages 100 - 111
1986 October Quarterly Report Pages 112 - 117
1986 12 Day Pre-General Report Pages 118 - 122
1986 30 Day Post-General Report Pages 123 - 127
1986 Year End Report Pages 128 - 131
1987 Mid-Year Report Page 132
-U,', 1991 Mid Year ReportPage of J3U U A a. S
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1983 Mid Year ReportPage of
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CHRIS BM Vw . M;,, wo
John ftL~22 dW.mo UhI IWest Hartfeord, CT Ol00
6/21/83 1,000.00
mert 0Am
g a C .A0em s 1/12/83 500.00
im:a A-~mg
Mr. Hurold lavime17018 iles INACleveland, OH 44128 m at 250.00
aetiu wo50.000
w~o I ft FW
A P " Um A0 wam deAllen 1lutensky707 Bloomfield AvemnuBloomfield, CT 06002
118008 P0i a ftwa
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Mr. Harvey N. Nollove28 allove DriveNew London, CT 06320
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0. I*lMm% O AW Wd E WIflJohn I. Lacey143 Bellview AvenueSouthington, CT 06189. .. 00 e~.,i m dytoI~wv o
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4 prstdant 4/29/83
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1983 Mid Year ReportPage k. of j~
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Mr. Julius Paris781 Beta DriveSuite D
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Mr. 0=el D. Polso2241 St. Clair AvSmdCleveland, ON 44114
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Rom O; a MU on
Dorothy C. od a447 kuna loadStorrs, CT 062"
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Mr. Andrew Rosenfeld2121 South Green RoadSouth Euclid, ON 44121
P. puusid0666 oH a s12M ir. Ronald Rosenfeld2121 South Green RoadSouth Euclid, ON 44121
II0 tiwh :
Mr. Martin Rosskam2211 Ric'mond RoadBeachwood, OH 44122
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SCHEDULE A rninmmuwu
1983 Mid Year ReportPaqe of
CHRIS I)DO mm
M. Stale R
19100 South Park,Shaker Helahtso O4 6
.anmemmz~o Ume. a Gem"m 250,00
Richard brmns529 ftrcLf badAvon. CT 06601
C _smr ' A_____ o-_ _ 6/21/83 1.000.00:ft a Paftw% Ad m;; 0 .= =61000 AffWN4IG
rs. Lime -tem1616 DelvooSouth Eucldo On 4121
.P: a " o il 5/12/83 19000-0.
. Fred Uep,. Builds" mm., ,
1616 Delwood Rod I
1616 Deivood toad Inc.South Euclid, OH 44121
o. a Ot,,, a I 000.00
- w@ ftf Ubf,, OM ,OW SP 00 ae ~ J ,em b-.,,K Sama ,
No S. S-vin Peter Sevin Prop. aw-m' f ,sw ,ad
16162/16/83 1,0000
S. -P - - D . . .... . . .(1 -- '-
Elliot S. Jaffoo~ mw eWestover ParkStamford, CT 0005
ftnp a .a .e m6/21"83 1,000.00
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SUM5S
L%4 -M&
NL
FE~ WUK UNISIS
SIUIE UN IF UP~EfIUI41IIS - tE)
Attachment #1Page 1 of 2
MJdIDATE/COUITTEE/DaMcIT #:2,T3. RIUMSI OF NMOFINO y ppaM Uum1 miR Vyn NSI U A Ml LOCATION
TYPlE OF FILER
DO, CHISiOIER 3 9961! lTIC PS' t IJce 1g% ELECTION in 8TUSWT1. STATEMENT OF CDIiTlE
19I STATEMENT OF C6IAE 27JAiNi 3 I I/NOTE: THIS DUDI W A FILED WITH lIE CaUISION MW. A1 -PWIIO SECTIN CYOL USITIOIL FININCIX.
AMITNY E.3TE Y I CANDII'TE NY APP I I ES I0R6 TST ELIER PERIOD1987 STATEIET OF MIMTE BMW 3 J7SEN/US/2448
2. PRINCIPAL CAIPAIIN CONWTTEE
CHRIS DODD FOR SENATE1985 MID-YEAR REPORT
MID-YEAR REPORTMID-YEAR REPORTMID-YEAR EImREQUEST FOR ADDITIONILMEST FOR AD)ITIOMAL
YEAR-EW
- MEW- mew- NmEwM
INFWTIONINFWTION 2)
YEAR-EN - S WNNENYEAR-END - AME ENTYEAR-ENI - AIODEENTYEAR-ED - S WREREST FOR ADDITIONL INFO#NTIONREGUEST FOR ADDITIONAL IWOFD9TION 2NREGEST FOR ADITIONAL INFORMTION
1966 STATEMENT OF ORGANIZATION - RO!4)MTSTATEMENT OF ORNANIZATION - APO TMISCELLANEOUS NOTICE FROM FEC48 HOUR CONTRIBUTION NOTICE48 HOUR CONTRIBUTION NOTICE48 OR CONTRIBUTION NOTICE48 HOUR CONTRIBUTION NOTICE48 HOUR CONTRIBUTION NOTICE48 HOUR CONTRIBUTION NOTICEAPRIL QUARTERLYAPRIL QUARTERLYAPRIL OUARTERLYREOIEST FOR ADDITIONAL INFREDLEST FOR ADDITIONA. INOJULY QJARTERLYJiLY QUARTERLYJLLY MARTERLY -
JULY QUARTERLYRQUEST FOR ADDITIONA IIREQUEST FOR ADITIIAL INFOOCTOBER QUARTERLYOCTOBER QUARTERLYOCTOBER QUARTERLY
~I7
615565
6159,55615,565
299,889
412,685412,685412,685
195,9245
NMENTRTIONRATION M)
SNDW
SRMTIONA6TION
AMENDMENT
ID OW191117 SENATE1A3,115 1UM38 -313345
- IJAW5 -3JM- 13M -ARM
UAW -Xm1t -3L-M
297,893 IJL8 -31DEC8- IJUL85 -31ECW
297,093 1IJ.5 -31DEC85297,93 IJL85 -31DEC85
- 1311.85 -31DEC85131.85 -31DEC85IJl.85 -31DEC85
1JUL85 -31PEC8511PR86I
25VAJ6
21OCT8624OCT8627OCT8628OT8631OCT86
5NOV8318,173 1JAN86
- 1JAN86- 1JAN
IJAN86IJAW
363, 1 1APR86362,648 IAPR86362,648 IAPR86
- I1APR86IAPR86IAPR86
442,374 IJUL86- IJUL86- IJUL86
-31PAR86-31MAR86-31MAR86-31MAR86-31MAR86-3JN36-3BJN6-3U 8-3JL.I86
-38JLUN
-3SEP86-30SEP66-38SEP86
93 M5 NU714%94 I2I|I/11675 86N8/U7/11821 SVEC/419/23
17 8SW388/38U18 BSE390/3490
136 OSESEN/U6/6383 8606E 19/12J94 86SEN/U6/14396 86SE S7/281 86FEC/419/2964 86FE/414/44392 8 4FC67/1149
10 B'EC/42/I973 86SE/7/81744 8SEN/817/38181 8 /428/54653 8SME/S/3143 86SEN/42/66263 86SE/42/13893 86SEN/042/16114 86SEN/42/21,84 86EN/045/0137
67 86SEN/011/I6225 86SEN/O12/27623 86SEN/012/2915
54 86FEC/415/416!55 86FEC/417/210073 86SEN/013/23329 86SEN/016/38%76 86E/017/38274 86SEN/819/812I 86FEC/426/9668
28 86FEC/427/430275 86EN/3/211037 86EN/050/31223 87SEN/001/4093
VIE. am.Eum MINNUiz Ir Attachment #1Page 2 of 2
hIDATE/COhIIHaiIl ENT CEITI DIIwsIBET # OF NICIFILNOFFICE UllNI P PRIIRM III 11" IIM B CJJE CATES PE LOCATION
TYPE OF FILER
ERU FOR AODITIIDLNERE FOR MOITIONL
RE"EI-M
'ST LE INFOIA TIO
PMT-E mPOST-GBPOST- EEDM FOR AO}ITIMNLEIEST FOi AMUITIONILVEAR-MNYE.M-00)
YEAR-ENDEDI FOR ADITIDK
1987 MID-YEAR REPORT
TOTAL3. AUTHORIZED fMITTEES
lIIiqnTI*IIEUIU1 -m
- m~l~ewlARL VIICE
-IUSU- mew
INFOrTIONINFORIGN aID
ANDUIWOIMATION
IJUL86
4,481 IOT8464,481 IT6464,481 IOCTM
1OCT86
273,941 16OCT86-%OCTM-16OCT86-16OCT86
273,941 16OCT86160CT86160CT86
22,947 2MSMv-2wOs
22,947 MOVM614OV86
65,053 IJAN87
6 2,411,357
-3WEB6-3MEP86
-15OCT86-15CT86-150CT86-iOCT86
-24086
-24NOV86-24OV86-24NOV8
-24NO--24NOV8-311DE86-31DEC86-311EC86-31DEC86
-3SJUNO7
6 2,341,817
3 fEC/446/1524 6FECI4W218M
45 86 94125M4 B6SENV/424285 865EN/lS/3161 86FEC/45S/2559
75 16SIEN/S 4/l3 879E/ U/6496
30 87SEN/MN/15673 87SEN/4/18357 87SEN/0/32433 86FEC/452/4324 B7FEC/454/2745
14 87SEN/04/94183 87SEN/N5/24915 87SEN/5/32373 87FEC/467/3921
2 87SEN/07/3794
1648 TOTAL PAGES
C 4. JOINT 1MRISIN6 CWITTEES AUTHORIZED BY THE CAI IGN'Tr
C All reports have been reviewedf Cash on hand as of 6/30/87 - $224,148.75
I
Debts as of 6/30/87 - $0
FEDERAL ELECTION CMISOWMSW.,@W oc am, 10
Sent N. Scully treasurer Offebtis Dodd for Senate346 songdon StreetNiddletownt CT 064S7
Identification tubOeC8 00091ni
ef erenoes Kid-Tear USpet (lAS-6/n/8s)
Dear Mr. Scully$
Irbis letter to 1 eapted by the COM siSO" O owelimir5teylon of the report(a) regeremed above. Ie rvilew COMquestions oonoerimg Gertaln i mrsen eoiUm" In threport(s). An itemisatim f2luis
-Schedule A of your report (pertinet portie at )C discloses entribstims Uhich OPS toeod the
limits set teeth Is the at* as infiftde oapolitical om1ittee other th- a U lteadidateoomittee My not make oontribmtiONS tO a iOdiSete forFederal office in eneose of $1.4" pot e*leOt . ifyou have received a oamtibutiee NbhIb ese e thelimits, the Oamission reo-mondh that r refund tothe donor the smount in eoes of 61.6W. be
Comission should be notified in weltit a e d Isnecessary. In addition, any ef hd!a an o
Line 20 of the Detailed 8inay 9090 and 8~1* ofyour next report. (2 oS.C. 11441a(a) a" (f))
The torn 'Oontribution" includes any gift#subscription. loan, advanae or deposit of 00-ey oranything of value made by any perOo for the purpose ofinfluencing any election fo Federtal ffioe.
if the contributions in question Were inOOsleIt*lY orincorrectly reported, you my Wish to subitdocumentation for the public reooed- Pl*ea Md Yourreport with the clarifying information
Although the COomission my take further legal stopsconcerning the aooeptanle of exoessive ootrleUtioinprompt action by you to ref d the enesive amountswill be taken Into conideration.
EAtt*I ent # 3Page 1 of 1
'FEDERAL ELCTION COMMISSION W-WASI""Clo. OC 3b3
october 31 LOS
sent N. Scully. TreasurerChris Dodd For Senate346 Congdon StreetMiddletown, CT 06457
Identification Numbers C00091017
Reference: Mid-Year Report (1/1/85-4/30/8S)
Dear Mr. Scully:
This letter is to inform you that as Of Octer 30# 19S5.
the Cinission has not rceaived yout eop=@* to out equst for
additional information, dated Ucter # 196S , That notice
requested information essential to full pUIiC dil6oset' Of your
Federal election financial activity aid to ensure cpiance vithprovisions of the Federal 3lection Cmpigi Act act). A
. copy of our original request is enclosed.
If no response is received vithin fifteen (15) days from the
date of this notice, the Commission my choose to initiate audit
or legal enforcement action.
If you should have any questions related to this matter.
please contact Pat Sheppard on our toll-free number (800) 424-
9530 or our local number (202) S23-404S.
Sincerely#
John D. GibsonAssistant Staff DirectorReports Analysis Division
Enclosure
! Ameded4985 Mid YearReport Attachment # 4
."*VFW
ISetnPt Aftffak&
&=a- ~te' A"naaLS Divie
Vdabdust oa DC.I
us present the f.oUoOctober I* 196.
vat VoLoer
Peter Rzepk
Miles L. ibln
Martin 3l.on
Leocard A. LmadAr
Charlotte Ford
Peter J. Callabo
StevoA OrsmberSCV " n b
-ww
~ S~t L ~pSto lo letter, dated
112 Ion 14 I0dv.gpo 7 3$ING
Ite U i .
i T .
,t.,.
7/204 'a - f ', .O - -
.181/6fe mtus"i~ deei -e- t1=1 elesa1S ~ ~ ~ft as11~16
Refun for $1.w6 us" 112615. Noedl3, Jm 30. I9s ,=a Umect.
Sefm few $160 me 713611=s se Sl3. Js m . 1965 oIo 9i-.-"
be~ w 1 93., J~n SO. IISmq4 q
817164 to AectLo s LtPC Juy lo
lo96 Uoc0tlin
ofd--esree
* ~uAp.
At44~
:1
'.r.T"i -
I ; -, At-
Attacb ntjPAge 1 of 1
FEDERAL ELECI ION COMMISSION W92WMUI4MICO. 0C am%
now me Scully, 5TroaeriotCbate go"d got 8•mate346 am I treet
liddleten. CT 06457
Identification umbers C001017
teferenoet Aprll guarterly Usport (l/l/S!-3/31/S*)
Der NW. Scullys
This letter is peemtod by the Caillneo' preliminaryo review of the report(s) ViefereNoed above. Ib review raised
quetiom ooerng certain nfomation Moetaiade In theV reportl). An itemsisatio folloms
-Soedule A of your report (pertiment Portion atte"d)-- discloses oontributions uhlcb aneaw to exceed the
limits get forth In the &at. An individual or apolitical comitt other than a [email protected] my not mse contributions to a eaedidate for
Federal office o exces of $1.000 per electia. ityou have received a contribution ubla exceeds thelimlts, the Comission reaoieado that yurefund tothe donor the amount In e aces of lw. The
Tr Comission should be notified in writing it a refund Isnecessary. In addition. any reund bed aear on
C Line 20 of the Detailed Sumary Page and Sebdule 5 of%0 your next report. (2 U.S.Co S1441a(a) i f))
Co The term "oontribution" Includes any gift.Cr subscription, loan, advance, or delit of money or
anything of value made by any person fot the purPose ofinfluencing any election for Federal office.
If the contributions In question vee Inoopletely orIncorrectly reported, you my wish to sumitdocumentation for the public record. Ple8ae amend yourreport with the clarifying information.
The Comission notes your partial refund and yourIntent to refund the excessive amounts. Altebugh theCaroission may take further legal steps oon erning theacceptance of excessive oontributions# proept action byyou to refund the excessive mounts WiL be taken intoconsideration.
-Line S of the Sum ry Page should equal Line 27 of theDetailed Sumary Page.
;JLAM
@ ~FEDERAL ELECTHO MMSOWAMW1(P' OCUMWSW
June to 1956
Uent . Scully, TreasureChris odd fog Senate345 CONedon atteetMiddletown, CT 06457
Identificatiom Numbers C0@91017
References Aprcil Quaterly Repoct (1/1/6-3/31/N)
Dear Mr. Scullys
This letter Is to inform that as of Juns e S, 196 the- Comission has not rece i vel. y response to our request for
C4 additional infocmation, dated Usa 2? 1946. tat notice- requested infornation essential to Full public disclosuCe of your
federal election financial ativity and to ensute compliance witbprovisions of the Federal Blection Ca-paign Act (the Act). Acopy of our original request is enclosed.
If no response Is received within fifteen (1S) days from the dateof this notice, the Comission may choose to initiate audit orlegal enforcement action.
• ~-, if you should have any questions related to this matter, pleasecontact Pat Sheppard on our toll-free number (800) 424-9530 orour local number (202) 376-2480.
-Sincerely.
?Jobn D. Gibsonistant Staff Director
ports Analysis Division
Knclosure
Amended 1986 AprilQuarterly Report
JK. Attachment #7Page 1 of 2
PtIDL•ON CO Ci|CUT '.45?
RE[POP'TS ANALYSTREPOQ'TS ANAL iS!S DIVIS1ON
FEVERAL ELECTIONS COM ISIONbWASHINGTOid. D.C. :0463
RCFEI;ENCE aCHRIS CCOD FOP SENATE
SESpo!SE To COFEEPONEIACE DATED lAY .. 1"UAy
EtJCLQ EL F-EASE 9IND A SUMh,"A" OF CtTRIOL"'It8tJ 6-ErL:D$ SELATED TO
m TH4E CONTF"PU D*S IDkNTIf rED I vOUF LETT10P. Ctt, r9V:r% IIIDICAICST AT ALL CF T'E FR'EP.NDS WEPE RfAPTID Itf THE AFkIt Ou.ATEF .Y REtEM*T.
AUD ALL T 4E REFLUDS HAVE IEN lADE.
WE ALSO ENCLOSE A COPY OF THE AM6VED IREPOT rICH WE HAVE FILED
C WITH T-4E SECPEAP' OF THE SENMATE.
* PLEASE CONTACT HE 1i YOU HAVE ANY OUESTIOthS OU REOUIRE ADDITIONAL
INFOFjAIT ION.
IL CC TPOLLE
Amended 1986 AprilQuarterly ReportAttachment #7Page 2 of 2
Cwts DOD& FOR 9S2NATEic0 kumbER CXV9147Rb.FC*ENCi: I VRIL S NATMP'L 100% t ~II * rFtcTC* CA00ITIONALI. N9ORIATIM OWLATED 'TO &-CLSS 6v FCCJI~d~
NAME
FAVh1OND F. DAMATOPiiAN W. DAVJISPHILLIP D. FELThANSAMUAL Y. GOLD Sf4
"ITON4 C. HOPPW4ol JAMES 1E. HUDSON
FRAdI JAASIENI.EPNAF'LD I APLAN
M4A7T94Ek 0 'PNREIC14(4 JUS"A W. L4,CEV
MIAP' " EY N. MALLOVEN EDWAP-D i.. r~wCUS- DOMINIC PAJJwMIO
RODERI PA. PIC"FKJIh G. POPHE
N JOHN SCELZA
c NGIELO TOPIASS0, JRMORWARD ". WERNERt
AflOINT06: ExCE Ss
& 2T &EreJWiEr--ftEFEf' T 0 SC.4EWDLEI Cb'*f CEFUNPDE1D PEE 1C SCP*4VILE
2)0, 1tv~~EPPvr M SC.4EDULEs rg. EpusaDEDPrEPEP 'v0-SHEL
1=5 FE9P'M0DD'FIP9 3 SC9EDLLE.:t r-EP; Et.NrtD-*EwEPCc sc.'r'utizE
110T 16--aIM E6 '0n SCb4&0.LE
,tew.0 PEFOJN4E, *;.S&&"*.:*L~staEr.--9EPE TO SCo.EAA.
.Kw:,s SIEWUNYD-fCEF TO SC4dDU.E250) RUR4ED.PEP TO sc .ED
1000 PjEP~*4V .- iF T0 SCNEDLErC'- EFIELV EEF TO SCHEDLLE
WALNGIOW. C NIbS
Is lowe
Frtank U. $ullot tcsuotCbris Dodd foC Senate346 CongdOn MteetNiddletown, CT 04S7
Idqstificatiou Numes OO6 ?7
"foem*$e Amded lu]Ly aal awtClI "egWrt wv -4/w/S) Filed
8/4/N.Dear Er. Sulloo
This letter smmetgteOmsi ri i:review of the report - -) -Beie -aqeasticam ooeomiag otAm .f a. . thereport (s)* An itemstiUe feilm,
-Scbedulo A of YOU as t (petimnt p rtiesta d)discloses, aut:ibetio aleh amoW_ S asO eed0_ thelimits got fortk in th "to As iNSivS&I cc apolitical ittes other ths a .Intigedidatcomi ttee may not make eat: tttiMi to a osedidate fogFederal office in ezoos of Sope e tthie-. I-
hare eived a etSuUe u ic easeedS theT'uteteCommission rCumd ty refw to
the doo the 0mot Is SMS If .Wo The
Cu-aissiuii should he etified is writilg If a refunad is
eacessary. in additios. y 990 sud aeart on1Ln 20 Of the Detailed gumamy Wag sa @h le SD ofyout nxt report. (2 U.S.Co 99441u5() so (9))
the term 'oost: ibstices ioledes ay gift.
subscription, loan, advooe or esit of aey orarjthing of idide c d bY any pro for the pupos ofinfUmencing any teetion fgo Federal off&e.
If the contributios ib qeSt wete isuinletell orincorrectly repocted, you may wish to sitmitdocamentatin for the publc tecord. Please Mead yourreport with the clarifiing ifomation.
Altboug the CMiosiOLs MYa tak further e step*onCcerning the ooe pt4* of emussive enrihtlios5p ampt action by you to refund the @zeSSive mousts
will. be taken into osldrtstics.
Attachment #9Page 1 of 1
FEDERAL ELECTION COMMISSIONWAGO00GIOO. Ow
PIen m. SIloe IieasoceiChris UoM ossate
Sqm 0tintMINW~seC1 0457
Ziatification nsmbo* rs 091017
MifOeRM. APCui "tOgtes (l/VS-31311SI so jely Outil(4/1/9 34/8S) Dtts
Do a1c . Bulles
"bis lottee is Cmaeino h t o C sislems ovie S ot-let tw cepocts zwq=i to %8 11" by NOW *miteos a
iewni o t me ats isdietees tha jslo "tse ISO-contrlbmtiem ONO ofNIs I t ..t.e. st leheby ation 441a of the Idecal lestim Czuigm "t.
'eu. It i reoam ieo that low pi--eis_-- for N si
, 0 € stributims be emiud ad djt ts a-s to e=pcoblUea. This omaisatln is to adVsi yOU thaNext repoct eqpIOed to be filed IV eMr 9°ittes usee -
C excessive ootrabotios, the S N =Ie F atiate lowa
efaroaent &atio.. If you meed mistsne os hare my qoesties Coesadim this
mtter, please ftel fgee to eoateat w as our tolloftee swboc.(600) 424-9530. Ny losal nmbz i (22) 376-: !I.I.
5 8imoezoly,
ILChief Author iNdO sesmRepcts Analyslo ivisieo
Amended 1986 JulyQuarterly ReportAttachment # 10
~S~i~IPage 1lof 2
Ci" 0 VsktS
~agsgSN mSCT flOatS
gal 4 , 1tb
PATREQTs VINALYVTT3 iN4%LvYlsS DIVISI
FED~~ELECTIONS ~ISION* bAS4ITON9 D.C. 20463
CHRIS DODD FOR SNATEID * COOO91t7gRESPO TO s,., - - in I1. t9Sl
* ENCL~ PLEA FIND A SISSAYV OF 1M CW.IRIUTSCNMFW 16
ExpLMT IONS LAIEDr TO IM DTIIOISNIII S El~RhWILL Ml WJI 11 HE 36 3LT OF 11S SENATE FOR THE
!COIRISrIM N4T W CI M- . PLEE T "TET IF YOU 04I
ADOITIONAL SUESTIONS R 2 VOU "ML T"T "a 36 NO6QT AlrLV
R~ESODD TO 116 t IWolo 41OU "" AD 0
*11
Cll f.ewvl
IWO.
UPI [. no.I
"MLILI
Orru to.
-momno 1. ?.J[V
planmIuWm IfLt"T
ge.m MM O.I-,Il
12 c u: I,*ll:l'. :i W& so
s. Now IMU-6 INh ="aI rm : MI. a
o:.Wo ,'.w UO NOM P N OWI K UWE:0lC Us,* aiSAM =lowm IN In -MONS ' g
sl~ow. W 9,10%
o6oo WU 13 Wl
-w -- WI0U wM I' :6~ ' 3~3
.I~ ~'W I mJ
an DO
I.
* Amended 1986 JulyQuarterly ReportAttachment #10Page 2 of 2
OWpl W i Uot N Co ii
AltISL OiTp MiMl '0 IICIII lttlllll CX1M'S'lI It FC
VAge 1of 2
FEDERAL ELECTION COMMISSION~AS414DC no 0M2 'lw
rank n. Sullo, reasurerObris Dodd for Senate34o6 odon StreetNidletown, Cr 064S?
Identification Mumbers COOM11l?
Referencet October Quarterly feport (71/06-9/30/S6)
Dear Mr. $ullot
This letter Is proWted by the C issjonls preliminaryreview of the report(s) referenced above, ne review raisedquestions conceaing certain information Contained in thereport(s). An itemization followst
-Cammission Regulations define the term "purpos' to- 1• mean a brief statement or description of Why a, disbursement was madeo 3ax les are 'dinner eXpense'o
" "'"media'. 'salary', 'polling'. 'tral, 'party fees',* ' =phone banks' " travel expenses'. 'ravel expense
reimbursement' and 'caterLng costs Unacceptabledescriptions include 'advance'. 'election day expense'.'expenses'. 'other expenss'. 'expese reimbutsement'.'miscellaneous'. toutside 8etvioe-, 'get-out-the-vote'and 'voter registration'. (11 CIS 104.3(b)(4)) Pleaseamend Schedule 5 of your report to clarify thefollowing descriptions which do not meet therequirements of the Itegulationst
Supplies, office expense, contracted services,C reimbursement
-On Schedule 3 of this report, you have itemizeddisbursements for which you have failed to include theaddress. Please amend your report to include themissing information for each of these entries. (11 CFR104.3(b) (4))
-Schedule A of your report (pertinent portion attached)discloses contributions which appear to exceed thelimits st forth in the Act. An individual or apolitical committee other than a multicandidatecomittee may not make contributions to a candidate forFederal office in excess of $1,000 per election. Ifyou have received a contribution which exceeds the
Attachment #11Page 2 of 2
limits, the Co mission recosends that you refund to
the donor the amunt in earnss of 10000. nd-Commission should be notitied in writin it a refund to
necessary. In addition, any refund ould apl ar an
Line 20 of the Detailed Smac tave and Schedule a ofyour .ext report. (2 U.S.C. (a41a(e) and (f))
The term scontribution e includes any gift.subscription, loan, advance, or deposit of money oranything of value made by any person for the purpose of
influencing any election for Federal office.
if the contributions in question were incompletely or
incorrectly reported. you may wish to submit
documentation for the public record. Please amend yourreport with the clarifying information.
The Comission notes your partial refund. Although the
04 Commission may take further legal steps concerning theacceptance of excessive contributions, prompt action by
Vyou to refund the excessive amounts will be taken into
consideration.
SNO -Line 10 of the Summary Page of your report discloses
n $1,025 in outstanding obligations. Schedule C of yourreport discloses $1,S25 in outstanding debts. Please
explain the difference and amend your report
accordingly. (11 CFR 104.3(d))
0) An amendment to your original report(s) correcting the above
problem(s) should be filed with the Secretary of the Senate. 232
Bart Senate Office Building. Washington, DC 20510 within fifteen
c (15) days of the date of this letter. If you need assistance,
please feel free to contact me on our toll-free number. (800i
"v 424-9530. My local number is (202) 376-2480.
Sincerely,
Pat SheppardSenior Reports AnalystReports Analysis Division
,# 2,* Page 1 of 1
tflItm NuLt I fOS)I90.7
eerse oftbet O1wtectj New~t (1/ /o
i.221 1o8
Down U. sum*$Iecae
1s etto Is to ate tha o Of
-546IW Osg 2t 2Met me""
snes tfn 8rolo galin "weto w) year
. iMtm. le 66457 d d aui
Ow oesf. Ow ctober lmoat ams(o ~ i bso C*te Is tolaersT withngt s" of5 asObe 22. t"
t ofsi this sott themiwei minms 10 -nitatestot lml eoimstis sate es 2 OS Wa M
m It )rom eboom hv t My 11 p e iwi of a"eplese cotht Pat hslw Ule tooL"oMt £ I) * 42
9530 0 out 8imal mbet) is easoIfrecm sr-evo ita 5l t. 15 q Ea
Sam; so 411bom&Latst lI at aIOtt
gISO~~lwt oraml ourloalamr N2 36-4
IZScloSIre
A~e L L1986OctoberiQuarterly ReportAttachment #13
MPage 1 of 1
)4 CttaowN, CaU"C"u, o1,,
es~
3ohn 0. GibsonAssistant Statf DirectorReports Analysis DivisionFederal Elections CommissionWashington, 0. D 20463
Identification Number C00091017
peference: October Quarterly Repnrt (7/1/86-9!30/86)
L qr Dear Mr. Gibson,V D In resonse to your correspondence dated December 23,198,
please be Informed that the Dodd For Senate Committee submitted
m- revised FC Reports on December ISO 1986, in accordance gith
your request of December 2, 986,. Please inform us if there
V is a problem uith the revisions and we will respond as soon
€3 as posible.
Thank you for your consideration in this matter and
please coiitact us at (203) 659-0575 if you have any Questions
o or require additional information.
Co ptroler'Dodd For Senate
a
At AIient 14Page 1 of 1
cesS. MmO ne"
wuItt in 8"5Vrl 3. Sell.........e
rs sellMieh o th ImpROMW-e em ltsimt--
-%104. Wt- 0MUduis et i IN
Maddtadu AkA
gewim of te UsgtItShr5ha'iml
msilm sat agsttel wimsw to ateimi Ia
dul 011146 Il MSDOS(:G 0144 r118181 sttihiavme mesgibutaimaiui mmmd 1IS
Litoo m er~ amm t beM. at imflSun toMsMIMSMi dies b gaer IsbimeI a mlted is
mmlttm g mt elo.o gglb mOetl oe emflb oIbMM la remsiwtf mystlm Mhoo Aft"]85 Of
Lbs2.4 1k BOll -sn -Iba " gefd_
lllmmlt mmMl be metEl ldiswtlagIfarn.d1
l m U @1 1_.,,U-t__l _ _ Oinr 0g. |mi nSakU O
16 mat eapvot (a 39. S.443Ak we
"ae term usatrilktiM imldes a" giftsesnciptlem. Jame dma. onl ccosIt Of am"i 09
11bla of Valuesa by O "cam for tb"opesoMaclagw =7 ezeotlom 1 fr eisal 01f9lo80
t" 1 Owtrlbetlm in qmstlm ge*rs 5mp~~140imrrOtl repetef agm wish to =mt
for 1k i pal aon pleasernd mreot wth 1e Owauftimg l1mforio
<boe he MMIMSM a" take far~1419"ga
rPt actlem by rg torem c1k~ emesl's mintwill be tahmm into emmsieratiame
.. *0 Day714a8t General Report.Attachment #15
ST M Y It IUI-Y ate 1 of 1
Pat SheppardSenior Reports AnalystReports Analysis Ovisionrederel Elections CommissionWashington, 0. C. 20463
Identiflcation Number C00091017
e Reference: 30 Day Post-General Report (10/16/S6-11/24/86)qr
0 Dear Ms. Sheppard,
We are In the process of preparing an smended reporto as per your request of kcebewr 23, 196. Please contact
us at (203) 659-0l575 If you have any questions or :equireadditional Informatton.
SC'?
Comptrel ler
Dodd For Senate
FIMItM ILICTIN COMMISSON m
atoamsev IS. i
Sa0titleatin Wmbee. ON0101
tOsf noet 30 Sag Vest-esmerel beqet 1lS/l4/6-41/2t4/N)near Ni. Sm1le.
thiso let tee iS te imhme gem that a et 5sew 14. 1lW?.the Co-issirn has r ent4lesegN eoi ee e mErnt ea- it tonal iafsesirn btat Sstqeae U IN. IhIinti~e
.. s et limfim eseal ta tmfl ~bI.e~ 41s1m oue geN d.YiiO5 .fete Vleeel Nl!l a _e oo81toet
coat oec acigima reqsest 11 eslass.od
efte
If ma reepsosN is seivatw mithim Ll~tes. £15) eq leo thedot. at th issettee, te CnlisiaS 5w t OOto ntiite O =itor 1efal enteOletaat actitN
Xf yo salte hsav a q0estios relateo t hlos mttte.Wlsase contat Pat Shoppari on o nlldfree ntet (OW) 424-
our loal ser (2604) 31-4s0.
Sincerely.
"itoon"Ob it
fi Assistant Staff Directos
It IM hould avt(Nr etlrlae toa1 this D mel81o
spets Analysis Divisiontnclosure
I ReportAt~q~~r&~#17
Page'l of 1
a~~~~ 00 AOA"I :S
Jenuary 30, 190?
Pat SheppardSenior Reports AnalystReports Analysis DivisionFederal Election CommisSiOnWashington, D.C. 2046)
Identification Number: C00091017
Reference: 30 Day Post-General Report (10/16/86-11/24/86)L1.
Do oear Us. Sheppard:
In accordance with your correspondance dated December 23, 1969
we have filed an ammended FEC Report for the above referenced
period.
Additionaly, we are in the process of determining the status
r of the West Hartford Democratic Committee contribution. If It
is determined that there Is a problem with the contribution
It will be refunded Immediately. It is being held In an
escrow account pending the completion of our review.
Please contact us if you have any questions or require
I additional information.
S Inc er e
7
yb ar.,lytorptroller
Dodd For Senate
Ttii
'46r End, 0nit #18
IMUN
ti. ~LPifLL Ui
Pat Shier aidy "Osr 25919
Senior Keports AnalystReports Analysis DIvISIonFederal elections Comis6e1nWashington Do. C. 20443
Identification Numbsl! COOOPIO
- Reference: Chris odd for SenateYear End Report (11/t9/!1S 12/31U)
Doear Hs. Sheppard:
Our Year End Report has been amnnded to rePrt themedia refund* which were recorded on line 149 on Schedule A.
0 The $1,500 contribution from Jme o. Hartley wa refunded.
0 Schedule 0 s$ revised to reflect this refund a8 n outstanding
obligation as of 12/31/4. Schedule 0 was also amended for
C the $3,000 refund which was shom as due to the West Hartford
1 Oemocratic Town Comttee, as this mount was reflected s
an outstanding obligation in error.
Thank you for your assistance and plesse contact s It
you have any questions or require additional Intertion.
Sncoly. S
ComtrllerChris Dodd For Senate
1985 Year End ReportPage 7jof labL
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1985 Year End ReportPage 2~of13
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1985 Year End ReportPage of _of
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120 SYLVAN RD.EW BRITAIN, CT. 06450 O12/11/ 175.00
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*ERAL ELECTION CONISSSW AL R'V'D999 z Street, 20FI463AL.L COMMISSION
Washington, D.C. 2W463 F'
FIRST GENERAL COUNSEL'S REPORT 87EC -I PH 5:01
DATE AND TIME OF TRANSMITTAL RhD Referral #87L-36BY OGC TO THE COMISSION Staff: Anne Welasenborn
SOURCE OF MUR: I N T E R N A L L Y G E N E R A T E D
RESPONDENTS: Chris Dodd for SenateFrank N. Zullo, as TreasurerChris HenneyFrank JansenMathew R. KornreichHerbert Storch
RELEVANT STATUTE: 2 U.S.C. S 441a(a) (1) (A)2 U.S.C. $ 441a(f)
INTERNAL REPORTS CHECKED: Public Records
FEDERAL AGENCIES CHECKED: None
I. GENERATION OF MATTER
The Chris Dodd for Senate Committee ("the Committee") was
referred to the Office of the General Counsel by the Reports
Analysis Division ("RAD") on August 10, 1987. (Attachment 1).
II. FACTUAL AND LEGAL ANALYSIS
A. Facts
Based upon its review of reports filed by the Committee, RAD
noted that the Committee had accepted apparently excessive
contributions from thirty-three individuals, ten political
committees and one unregistered committee totaling $37,209.33 in
1985 and 1986.1/ These contributions were disclosed on the 1985
1/ The referral from the Reports Analysis Division gave136,559.33 for the total figure; this Office and RAD now agreethat $37,209.33 is correct.
Kid-Year and Year-End Reports, and the 1986 April Quarterly, July
Quarterly, OctoberQuarterly, 12 Day Pro-General, 30 Day Post-
General and Year End Reports.
1. 1985 Mid-Year Report
The Committee's 1985 Mid-Year Report disclosed contributions
from the following individuals which, when aggregated with
earlier contributions, exceeded the contribution limitations of
$1,000 per election.
Dates of Amounts of AmountContributions Contributions Election Refunded
. Downey 4/9/84 $100 1986Convention
6/28/84 5004/6/85 500
0Charlotte Ford
Steven A. Greenberg
Pauline L. Harrison
6/28/845/30/85
7/9/84
6/26/85
7/9/846/26/85
5/5/826/18/85
$1,1-
$1,0001,000
$2,000
$1,000
1,000$2,000
$1,0001,000
$2,000
$1,000250
$1,250
1986 General $ 1,000
.986Convention
IW
Date ofRe u nd
7/3A'5
$ 1,000 10/'1785
1986 General $ 1,000 10 17 .35
1986 General
V
f Name
Cobert N
S 0- 3-
Dates ofContributions
Amounts ofContributions Election
Amount Date ofRefunded Refund
CliftonLeonhardt
M. Philip Lorber
Fred Rzepka
Oeter Rzepka
,Abraham Tembin
2/27/84
6/21/846/26/85
7/6/81
8/9/831/2/856/10/85
5/12/831/2/85
6/15/83
1/2/85
8/5/81
6/26/85
$ 667
125333.33
$ 250
350333317
$10001000$2000
$1000
10002000
$ 500
1000$1500
1986ConventionU/
1986Convention* N
* N
1986Convention
1986Convention* N
1986ConventionN N
The 1985 Mid-Year Report also disclosed the following
excessive contributions from a political action committee.
Dates ofContributions Amounts ofName Election
Amount Date ofRefunded Refund
Kaman CorporationGood GovernmentFund Federal
8/30/8312/21/846/10/85
$ 500333333
$1166
1986Convention
This committee did not achieve multicandidate status until 6/30/85.
(It later contributed an additional $3,834 for the 1986 convention,
bringing the total to $5,000.)
Name
$ 1000 3/14/85
0 -4-
2. 1985 Year-End Report
The Committee's 1985 Year-End Report disclosed the following
excessive contributions from individuals:
Name
Roger Freedman
Richard A.Grossman
Dorothy C. Godwin
jarold Levine
"Prank PeterLibassi
Gary Liston
oMax M. Shapiro
Ludvig Upenieks
Dates ofContributions
6/17/858/15/85
8/3/8311/22/85
6/21/836/22/84
12/27/8412/5/85
5/12/8312/4/85
9/12/8310/1/846/5/858/7/85
1/2/8512/4/85
4/18/846/14/84
12/27/847/10/85
unitemized9/21/848/7/85
Amounts ofContributions Election
$1000 1986300
$1300
1986U$1000500
$TM$ 50o
200300700
$ 2501000
$1250
$ 330333350250
$1263
$10001000
$2000
$ 350125350300$1125
$ 10010001000
$2100
AmountRefunded
Date ofRefund
Conventionw
Convention
1986 Convention
U II
1986
1906to
Convention
Convention
i, t
1986I,
Convention
1986 Conventioni, t
t II
1986Ut
Convention
to
$1000 2",'s35$1000 9 /23. '83
This report also disclosed excessive contributions from the
following multicandidate political action committees:
-T ATVW 7"'OU,
-5--
Name
CommunicationWorkers of America
IndependentInsurance Agentsof America
Life Underwriters
PAC
Seafarers PAC
Dates ofContributions
7/8/819/11/85
3/15/828/7/85
9/11/859/13/85
3/16/8212/31/85
7/6/816/18/859/18/85
12/31/85
Amount ofcontr 1but on.
$5000
$1000100020002000
$10005000
$1500200010002000$6500
BlectionAmount Date ofRefunded R und,
1986 ConventionU a
1986 General* U
* U
* UI
1986 Generala a
1986 Convention* U
* U
n Ul
3. 1986 April Quarterly Report
The 1986 April Quarterly Report disclosed the following
excessive contributions from individuals:
Name
C-Samuel Y. Golding
Frank Jansen
Chris Henney
Dates ofContributions
7/20/833/31/86
11/21/8312/13/831/31/86
6/28/843/31/86
Mathew R. Kornreich 7/20/836/28/845/31/853/31/86
Amount ofContr ibut ions Election
AmountRefunded
1986 Convention $500H W
1986 Convention $1125* 3,
* U
$1000500
$ 1,
$1000125
1125$2250
$10001000
$2000
$ 335665230900
$2130
1986 General $2000
1986 Convention $900* U
* U
Date ofRefund
6/30/86
4/30/86
9/5/86
6/30/86
- 6-'
NameJohR, Lacey
Dates ofContr ibut ions
5/31/863/31/863/31/86
Amounts ofContributions
87512W5!!
$125
i
Election196Genera
U IS
SI N
AmountRefunded$125
Harvey N. Mallove
Edward L. Marcus
Aminic Palumbo
4/29/8311/21/836/12/853/31/86
5/24/852/4/853/31/863/31/86
6/25/846/17/85
12/3/853/31/86
$ 500150500150*
$I0
$ 500250625375"_/
$1750
$ 300$1000
300500*
$2100
1986 Convention1 nN N
1986 General
$150
$375
1986 Convention $300N% N 500
N N
4. 1986 July Quarterly Report
The Committee's 1986 July Quarterly Report disclosed the
following excessive contributions from individuals.
Dates ofContributions
Dorothy C. Godwin 12/27/8412/5/856/4/86
James E.Hartley, Jr.
Chris Henney
Rose Bove LaRose
5/9/865/9/86
6/28/848/15,'856/30/86
7/25/834/30/86
Amounts ofContributions Election
1985n
$ 700300500
$1500
$ 875125
$1125
$10001000250
$2250
$1000500
$1500
Generalto
AmountRefunded
$500
1986 Convention $125n St
1986 Convention
1986 Convention $600N t
Date ofRe fuind
9 '5/86
7,' 15/ 86
Date ofRefundT730/86
4/30/86
4/30/86
3/21/864/30/86
Name
i 7 -
Name
Miles L. Rubin
Geoffrey L. Stack
Dates ofContributions
7/2/844/17/86
6/26/854/17/86
8/7/844/29/84
CJrudvig Upenieks 12/19/846/30/86
Amount ofContributions
$10001000$200
Election
1986so
Amount Date ofRef unded Refund
Conventiona
1986 Generala a
$1000
$1000500$100
$100010002000
1986IU
Convention
$2000
$500
1986 GeneralU U
"homas Wolff 6/30/831/3/85
6/18/86
$ 333666.67100
$1099.67
1986 Convention* 5W
The 1986 July Quarterly Report also disclosed the following
excessive contributions from a political action committee:
c. Name
N CACSAPAC
Dates of Amount ofContributions Contributions
12/13/832/14/858/7/85
10/31/854/23/86
$ 500500500
20002000$5500
ElectionAmount Date ofRefunded Refund
1986 ConventionU II
U U
U II
5. 1986 October Quarterly Report
The 1986 October Quarterly Report disclosed the following
excessive contributions from individuals:
9/5/86
7/15/86
-8-
Jay B. Levin
Herbert Storch
Dates ofContributions
8/3/8310/11/831/13/845/16/846/11/8411/5/846/12/856/30/867/18/86
6/30/833/31/866/30/867/18/86
Amount ofcontributions
0
Blect ionAmountRefunded
1986 Convention $150U -250* I,
U UI
10 U
*l U
*I e
$ 1001005050
1005o
650250150
$10
$10001000250
1000$3250
1986UI
General $1000
Date ofRefund
9/11/8610/15/86
9/5/86
* SI*
6. 1986 12-Day Pr e-General Report
The 1986 12-Day Pre-General Report disclosed the following
excessive contributions from political action committees:
Dates of Amount ofContributions ContributionsName Election
Amount Date ofRefunded Refund
CFannie PAC**
Washington PAC
9/30/8610/9/86
3/13/854/9/8610/9/86
$1000200
$1200
$40001000100
$5100
1986 General $2005t U
12/11/E
1986 GeneralN 55
7. 1986 30-Day Post-General Election Report
The Committee's 1986 30-Day Post-General Election Report
disclosed the following excessive contributions from an
individual:
Name
Daniel Cosgrove
Dates of Amount ofContributions Contributions
6/10/8510/31/8610/31/86
$1000900100*
$2000
Election
1986 Generalgo to
of of
AmountRefunded
$100
Ref uind
/4/86
Not a multi-candidate committee.
-9-
The same report disclosed the following contributions
from political action committees:
Dates of Amounts ofContributions Contributions Election
Amount Date ofRefunded Refund
AFSCMEP. E.O.P.L.E.
Demo Town**Committee ofWest Hartford
9/14/816/18/857/1/85
10/9/8511/4/86
10/31/86
$ 500100010003000500 *
$600
$3000
1986 Convention $500* U
* U
1986 General
8. 1986 Year End Report
The Committee's 1986 Year End Report disclosed the following
excessive contribution:
Dates of Amounts ofContributions Contributions Election
Amount Date ofRefunded Refund
James E. Hartley, 5/9/86I Jr. 12/9/86
$10001500*$2500
1986 General3U N
$1500 1/2/87
The same report disclosed the following excessive
contribution from a political action committee:
Dates of Amounts ofContributions Contributions Election
Amount Date ofRefunded Refund
Pirelli Cable*** 12/30/86Corp. Pac 12/30/86
$10001000
$2000
I, II
I,
D. Legal Analysis
2 U.S.C. § 441a(a) (1) (A) and (a) (2) (A) limit to $1000 the
amount which any person, including a non-multicandidate committee,
may contribute to a candidate for the U.S. Senate with respect t,
',/ Not a registered or multi-candidate committeew*/ Not a multi-candidate committee.
Name
12/1/86
Name
Name
-10-
any primary or general election, and to $5000 the amount which a
multi-candidate committee may so contribute. 2 U.S.C. S 441a(f)
prohibits federal candidates or committees from accepting
contributions in excess of the limitations of 2 U.S.C. S 441a(a).
Prior to and during the 1985-86 election period, the Commission's
regulations at 11 C.F.R. S 103.3(b) required that contributions
which could not be determined to be illegal on their face, but
which later proved to be so, were to be refunded "within a
reasonable time. 2/
In the present matter the Reports Analysis Division has
identified aggregated excessive contributions totaling $37,209.33
received by the Chris Dodd for Senate Committee from thirty-three
individuals, ten political committees and one unregistered
committees. Of this amount $3,250 was refunded by the Committee
within 60 days of receipt.
$32,959.33 remains at issue.3/ Of this latter amount
$14,300 has been refunded. This Office recommends that the
Commission find reason to believe that the Chris Dodd for Senate
Committee violated 2 U.S.C. S 441a(f).
2/ On April 8, 1987, amendments to the Commission's regulations5ecame effective, one of which at 11 C.F.R. J 103.3(b) (3)requires refunds of excessive contributions within 60 days oftheir receipt if redesignation or reattribution cannot beobtained. The contributions here at issue were received prior tothe promulgation of these amendments.
Four of the individuals contributed in excess of $2000,
with the excess not having been ref Unded within 60 days of
receipt. fhose WI aze Chris I*n4eY ($2250), Frank Jansen
($2250), Mathew Kornrieb '($2130), and Herbert Storch ($2250).
This Office therefore re nds that the Commission find reason
to believe that these four individuals violated 2 U.S.C.
S 441a(a) (1) (A).
RECOMMENDATIONS
1. Open a Matter Under Review.
2. Find reason to believe that the Chris Dodd for SenateCommittee violated 2 U.S.C. S 441a(f).
3. Find reason to believe that Chris Henney, Frank Jansen,Mathew Kornreich, and Herbert Storch violated 2 U.S.C.S 441a(a) (1) (A).
4. Send the attached letters and factual and legalanalyses.
Date a ren e M. qblDt General Counsel
AttachmentsReferral from Reports Analysis DivisionLetters and Factual and Legal Analyses (5)
FEDERAL ELECTION COMMISSIONWASINC TN ) ( .)4h
MEMORANDUM TO:
FROM:
DATE:
SUBJECT:
LAWRENCE M. NOBLEGENERAL COUNSEL
MARJORIE W. EMMONS/JOSHUA MCFADDE
NOVEMBER 18, 1987
OBJECTION TO RAD Ref. 87L-36: GENERAL COUNSEL'SMENORAN TO THE COMISSION DATED NOVEMBER 16, 1987
The above-captioned document was circulated to the
Commission on MONY, NVRR 16, 1987 AT 4:00 P.M.
Objections have been received from the Commissioners
as indicated by the name(s) checked:
Commissioner
Commissioner
Commissioner
Commissioner
Commissioner
Commissioner
Aikens
Elliott
Josefiak
McDonald
McGarry
Thomas
This matter will be placed on the Executive Session
agenda for December 1, 1987.
Please notify us who will represent your Division
before the Commission on this matter.
x
BEFORE THE FEDERAL ELECTION COMMISSION
In the Matter of )
Chris Dodd for Senate ) RAD Ref. 87L-36004404N)Frank N. Zullo, as Treasurer )Chris HenneyFrank Jansen )Mathew R. KornreichHerbert Storch )
CERTIFICATION
I, Marjorie W. Emmons, Secretary of the Federal
Election Commission, do hereby certify that on December 4,
1987, the Commission decided by a vote of 6-0 to take
V) the following actions in RAD Ref. 87L-36:
1. Open a Matter Under Review.
2. Find reason to believe that the Chris Doddfor Senate Committee violated 2 U.S.C.
Iv) S 441a(f).
3. Find reason to believe that Chris Henney, FrankJansen, Mathew Kornreich, and Herbert Storch
CD violated 2 U.S.C. § 441a(a) (1) (A).
4. Send the letters and factual and legal analyses,Cas recommended in the First General Counsel's
report signed November 30, 1987.
Commissioners Aikens, Elliott, Josefiak, McDonald,
McGarry, and Thomas voted affirmatively for the decision.
Attest:
/2 _Date Mar rie W. Emmons
Secretary of the Commission
Received in the Office of Commission Secretary:Tues., 12-1-87, 5:01Circulated on 48 hour tally basis: Wed., 12-2-87, 4:00
Deadline for vote: Fri., 12-4-87, 4:00
FEDERAL ELECTION COMMISSIONWASHINGTON, D C 20463
15 Decewber 1987
CMIFII RAIL - UIN IDC3IPT D STE)
Herbert Storch161 Main StreetWethersfield, CT
RE: MUR 2554
Dear Mr. Storch:
0 On December 4 , 1987, the Federal Election Commissionfound that there is reason to believe you violated 2 U.S.C.5 441a(a) (1) (A), a provision of the Federal Election Campaign Act
of 1971, as amended ("the Act"). The Factual and Legal Analysis,which formed a basis for the Commission's finding, is attachedfor your information.
NUnder the Act, you have an opportunity to demonstrate thatno action should be taken against you. You may submit anyfactual or legal materials that you believe are relevant to theCommission's consideration of this matter. Please submit suchmaterials to the General Counsel's Office within 15 days of yourreceipt of this letter. Where appropriate, statements should besubmitted under oath.
In the absence of any additional information demonstratingthat no further action should be taken against you, theCommission may find probable cause to believe that a violationhas occurred and proceed with conciliation.
If you are interested in pursuing pre-probable causeconciliation, you should so request in writing. See 11 C.F.R.S 111.18(d). Upon receipt of the request, the Office of theGeneral Counsel will make recommendations to the Commissioneither proposing an agreement in settlement of the matter orrecommending declining that pre-probable cause conciliation bepursued. The Office of the General Counsel may recommend thatpre-probable cause conciliation not be entered into at this timeso that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
-2-
Requests for extensions of time will not be routinelygranted. Requests must be made in writing at least five daysprior to the due date of the response and specific good causemust be demonstrated. In addition, the Office of the GeneralCounsel ordinarily will not give extensions beyond 20 days.
If you intend to be represented by counsel in this matter,please advise the Commission by completing the enclosed formstating the name, address, and telephone number of such counsel,and authorizing such counsel to receive any notifications andother communications from the Commission.
This matter will remain confidential in accordance with2 U.S.C. SS 437g(a)(4)(B) and 437g(a)(12)(A), unless you notifythe Commission in writing that you wish the investigation to bemade public.
For your information, we have attached a brief descriptionof the Commission's procedures for handling possible violations
C, of the Act. If you have any questions, please contact AnneWeissenborn, the attorney assigned to this matter, at (202) 376-
C\ 5690.
Sincerely,
Scott E. ThomasC Chairman
EnclosuresFactual and Legal AnalysisProceduresDesignation of Counsel Form
FEDERAL ELECTION COMMISSIONWASHINGTON, OC 20463
15 Deco-ater 1987
czRmTnIzI MaIL - 3T RUCUIPT RUQUESTED
Chris HenneyPutnam Park Associates99 Pratt Street, #204Hartford, CT 06103
RE: MUR 2554
Dear Mr. Henney:
On December 4 , 1987, the Federal Election Commissionfound that there is reason to believe you violated 2 U.S.C.S 441a(a) (1) (A), a provision of the Federal Election Campaign Act
CN" of 1971, as amended ("the Act"). The Factual and Legal Analysis,which formed a basis for the Commission's finding, is attachedfor your information.
Under the Act, you have an opportunity to demonstrate thatkno action should be taken against you. You may submit any
factual or legal materials that you believe are relevant to the0D Commission's consideration of this matter. Please submit such
materials to the General Counsel's Office within 15 days of yourreceipt of this letter. Where appropriate, statements should be
e" submitted under oath.
In the absence of any additional information demonstratingthat no further action should be taken against you, theCommission may find probable cause to believe that a violationhas occurred and proceed with conciliation.
If you are interested in pursuing pre-probable causeconciliation, you should so request in writing. See 11 C.F.R.S 111.18(d). Upon receipt of the request, the Office of theGeneral Counsel will make recommendations to the Commissioneither proposing an agreement in settlement of the matter orrecommending declining that pre-probable cause conciliation bepursued. The Office of the General Counsel may recommend thatpre-probable cause conciliation not be entered into at this timeso that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
-2-
Requests for extensions of time will not be routinely
granted. Requests must be made in writing at least five daysprior to the due date of the response and specific good causemust be demonstrated. In addition, the Office of the GeneralCounsel ordinarily will not give extensions beyond 20 days.
If you intend to be represented by counsel in this matter,please advise the Commission by completing the enclosed formstating the name, address, and telephone number of such counsel,and authorizing such counsel to receive any notifications andother communications from the Commission.
This matter will remain confidential in accordance with2 U.S.C. SS 437g(a)(4) (B) and 437g(a) (12)(A), unless you notifythe Commission in writing that you wish the investigation to bemade public.
For your information, we have attached a brief descriptionof the Commission's procedures for handling possible violationsof the Act. If you have any questions, please contact AnneWeissenborn, the attorney assigned to this matter, at (202) 376-5690.
Sincerely,
Scott E. ThomasChairman
EnclosuresFactual and Legal AnalysisProceduresDesignation of Counsel Form
FEDERAL ELECTION COMMISSIONWASHINGTON, D.C 20463
15 Des I 1r 1987
CErRIND NMIL - MIDUI 0319?IP RUIQUBTZD
Frank Jansen23507 OxnardWoodland Hills, CA 91364
RE: MUR 2554
Dear Mr. Jansen:
On December 4 , 1987, the Federal Election Commissionfound that there is reason to believe you violated 2 U.S.C.5 441a(a) (1) (A), a provision of the Federal Election Campaign Actof 1971, as amended ("the Act"). The Factual and Legal Analysis,which formed a basis for the Commission's finding, is attachedfor your information.
Under the Act, you have an opportunity to demonstrate thatno action should be taken against you. You may submit anyfactual or legal materials that you believe are relevant to theCommission's consideration of this matter. Please submit suchmaterials to the General Counsel's Office within 15 days of yourreceipt of this letter. Where appropriate, statements should besubmitted under oath.
In the absence of any additional information demonstratingthat no further action should be taken against you, theCommission may find probable cause to believe that a violationhas occurred and proceed with conciliation.
If you are interested in pursuing pre-probable causeconciliation, you should so request in writing. See 11 C.F.R.S 111.18(d). Upon receipt of the request, the Office of theGeneral Counsel will make recommendations to the Commissioneither proposing an agreement in settleme-nt of the matter orrecommending declining that pre-probable cause conciliation bepursued. The Office of the General Counsel may recommend thatpre-probable cause conciliation not be entered into at this time
so that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
-2-
Requests for extensions of time will not be routinelygranted. Requests must be made in writing at least five days
prior to the due date of the response and specific good causemust be demonstrated. In addition, the Office of the GeneralCounsel ordinarily will not give extensions beyond 20 days.
If you intend to be represented by counsel in this matter,please advise the Commission by completing the enclosed formstating the name, address, and telephone number of such counsel,and authorizing such counsel to receive any notifications andother communications from the Commission.
This matter will remain confidential in accordance with2 U.S.C. SS 437g(a) (4) (B) and 437g(a) (12) (A), unless you notifythe Commission in writing that you wish the investigation to bemade public.
For your information, we have attached a brief descriptionof the Commission's procedures for handling possible violationsof the Act. If you have any questions, please contact AnneWeissenborn, the attorney assigned to this matter, at (202) 376-8200.
Sincerely,
Scott E. ThomasChairman
EnclosuresFactual and Legal AnalysisProceduresDesignation of Counsel Form
FEDERAL ELECTION COMMISSIONWASHINGTON, D.C. 20463
15 EDorr 1987
czamzw VIML - IM 111111UBSIP
Mathew R. KornreichTopping RoadGreenwich, CT 06830
RE: MUR 2554
Dear Mr. Kornreich:
On D-eor 4 , 1987, the Federal Election Commissionfound that there is reason to believe you violated 2 U.S.C.S 441a(a)(1)(A), a provision of the Federal Election Campaign Actof 1971, as amended ("the Act"). The Factual and Legal Analysis,which formed a basis for the Commission's finding, is attachedfor your information.
Under the Act, you have an opportunity to demonstrate thatno action should be taken against you. You may submit anyfactual or legal materials that you believe are relevant to theCommission's consideration of this matter. Please submit suchmaterials to the General Counsel's Office within 15 days of yourreceipt of this letter. Where appropriate, statements should besubmitted under oath.
In the absence of any additional information demonstratingthat no further action should be taken against you, theCommission may find probable cause to believe that a violationhas occurred and proceed with conciliation.
If you are interested in pursuing pre-probable causeconciliation, you should so request in writing. See 11 C.F.R.S 111.18(d). Upon receipt of the request, the OffT-ce of theGeneral Counsel will make recommendations to the Commissioneither proposing an agreement in settlement of the matter orrecommending declining that pre-probable cause conciliation bepursued. The Office of the General Counsel may recommend thatpre-probable cause conciliation not be entered into at this timeso that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
-2-
Requests for extensions of time will not be routinelygranted. Requests must be made in writing at least five daysprior to the due date of the response and specific good causemust be demonstrated. In addition, the Office of the GeneralCounsel ordinarily will not give extensions beyond 20 days.
If you intend to be represented by counsel in this matter,please advise the Commission by completing the enclosed formstating the name, address, and telephone number of such counsel,and authorizing such counsel to receive any notifications andother communications from the Commission.
This matter will remain confidential in accordance with2 U.S.C. SS 437g(a)(4) (B) and 437g(a) (12)(A), unless you notifythe Commission in writing that you wish the investigation to bemade public.
For your information, we have attached a brief descriptionof the Commission's procedures for handling possible violationsof the Act. If you have any questions, please contact AnneWeissenborn, the attorney assigned to this matter, at (202) 376-5690.
Sincerely,
Scott E. ThomasChairman
EnclosuresFactual and Legal AnalysisProceduresDesignation of Counsel Form
FEDERAL ELECTION COMMISSIONWASHINGTON. .C. 203
15 Deceber 1987
frank N. Zullo, TreasurerChris Dodd for Senate346 Congdon StreetMiddletown, Connecticut 06457
RE: MUR 2554Chris Dodd for SenateFrank N. Zullo, astreasurer
Dear Mr. Zullo:
On December 4, 1987, the Federal Election Commission foundthat there is reason to believe the Chris Dodd for SenateCommittee ("Committee") and you, as treasurer, violated 2 U.S.C.S 441a(f), a provision of the Federal Election Campaign Act of1971, as amended ("the Act"). The Factual and Legal Analysis,which formed a basis for the Commission's finding, is attachedfor your information.
Under the Act, you have an opportunity to demonstrate thatno action should be taken against the Committee and you, astreasurer. You may submit any factual or legal materials thatyou believe are relevant to the Commission's consideration ofthis matter. Please submit such materials to the GeneralCounsel's Office within 15 days of your receipt of this letter.Where appropriate, statements should be submitted under oath.
In the absence of any additional information demonstratingthat no further action should be taken against the Committee and
you, as treasurer, the Commission may find probable cause tobelieve that a violation has occurred and proceed withconciliation.
If you are interested in pursuing pre-probable causeconciliation, you should so request in writing. See 11 C.F.R.
S 111.18(d). Upon receipt of the request, the Offi-ce of the
General Counsel will make recommendations to the Commissioneither proposing an agreement in settlement of the matter or
recommending declining that pre-probable cause conciliation bepursued. The Office of the General Counsel may recommend that
pre-probable cause conciliation not be entered into at this timeso that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-
probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
9 9-2-
so that it may complete its investigation of the matter.Further, the Commission will not entertain requests for pre-probable cause conciliation after briefs on probable cause havebeen mailed to the respondent.
Requests for extensions of time will not be routinelygranted. Requests must be made in writing at least five daysprior to the due date of the response and specific good causemust be demonstrated. In addition, the Office of the GeneralCounsel ordinarily will not give extensions beyond 20 days.
If you intend to be represented by counsel in this matter,please advise the Commission by completing the enclosed formstating the name, address, and telephone number of such counsel,and authorizing such counsel to receive any notifications andother communications from the Commission.
This matter will remain confidential in accordance with2 u.S.C. SS 437g (a) (4) (B) and 437g (a) (12) (A) , unless you notifythe Commission in writing that you wish the investigation to bemade public.
For your information, we have attached a brief descriptionof the Commission's procedures for handling possible violationsof the Act. If you have any questions, please contact AnneWeissenborn, the attorney assigned to this matter, at (202) 376-5690.
Si nce rely,
Scott E. ThomasChai rmn
EnclosuresFactual and Legal AnalysisProceduresDesignation of Counsel Form
RWffIVGDOIE R EA L CAD0OU N
HERBERT STORC1 8 JAN -I. PH 3:I 42161 MAIN STREET
WETHERSFIELD, CONNECTICUT 06109
December 22, 1987. -- ) r
0q:i
Mr. Scott E. ThomasChairmanFederal Election CommissionWashington, DC 20463
Dear Chairman Thomas:
Thank you for your letter of December 15, 1987 referencingMUR 2554. I am pleased to enclose three (3) letters, which Ireceived from Senator Dodd on September 16th, September 29thand October 10th, 1986.
I trust that your receipt of this information will fullysettle the matter which was addressed in your letter.
If you require any further information, please be in touchwith my Attorney, Joel F. Brenner.
The requested "Statement of Designation of Counsel" is
also enclosed.
Thank you for your courtesy in this matter.
Very truly yours,
Herbert Storch
HS:ab:PWEnclosures (4)
0.sTAmU~ OW DMh.G&,Zo or cooS
I= 2554
am O CO Joel F. Brenner, Esq.
CCu i4JR 1 U 1i
SUEUM:
1001 Connecticut Avenue, N.W.
Washington, DC 20036
202-452-0900
The above-named individual is hereby designated as my
counsel and is authorized to receive any notifications and other
communications from the Commission and to act on my behalf before
the Commission.
12/22/87Date
RESPONDENT' S NAM:
ADDRESS:
HOME PHONE:
BUSINESS PHONE:
Signature
Herbert Storch
161 Main Street
Wethersfield, CT 06109
203-529-7727
a .0 t 0
0?0 CHRISTOPHER J. DODD
P.O. Box 9238New taven, CT 06533
September 29, 1986
Mr. Herbert Storch161 Main StreetWethersfield, CT 06109
Dear Herb,
Thank you for your generous contribution to mycampaign. In order to comply with Federal ElectionCommission regulations, please sign the encloseddesignation form to insure our accurate recordkeeping. As this information is required by Federallaw to be in writing, we request that you return thisform as soon as possible in the enclosed envelope.
0D Once again, many thanks for your support.
1W S.ncerely,
C
CHRISTOPHER J. DODDUnited States Senator
CJD:pfd
enc.
PaidB i,r In (hi r .{ Dikid o a.1 x-naie . I-'.,tIk N. /i ll rc irr
* *. ~,
e
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM:___ __ __ ___ __ __
I HEREBY DESIGNATE MY CONTRIBUTION OF $ LOVO FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER A, 1986.
SIGNED:
Coreecticut Senatc*IConnecticut's Dodd'
20 74 ParK r if , ,&4;-' : C. 1 k , i ... " W, •3c,-2;,5
September 16, 1986
Herbert Storch161 Main StreetWethersfie, Connecticut 06109
Dear H
Enclosed please find a reimbursement check for $1000.00 from theDodd for Senate Campaign.
After reviewing the records, it appears that your recent contributionput you over the legal federal election campaign limitation onindividual contributions.
Many thanks for your generous suppaeM
United States Senator
Enclosure
i d' .'
4~.* )
CotrIcticut SnatorConnecticut's Dodd
October 10, 1986
Herbert Storch161 Main StreetWethersfield, Connecticut 06109
Dear Hy Zrp
Enclo d please find a reimbursement check for $250.00 fromthe Dodd for Senate Campaign.
After reviewing the records, it appears that your recent contributionput you over the legal federal election campaign limitation onindividual contributions.
Many thanks for your generous sup rt.
i ely,
United States Senator
Enclosure
TIERNEY. ZULLO. FLAHERTY AND MURPHY. P.C.8 7 DEC 23 [f1 9: 5LjATTOONEYS AT LAW
134 CAST AVENUE
POST 0o7-CC Box was
THOMAS TIERNEY
IrRANK N. ZULLO
THOMAS A. PLANERTY
• RANK W. MURPHY
REUBEN S. MIOLER
GARY LORUSSO
KENNETH A. NAPKCE*
STrVEN N. WARMN94e
ANDREW O RONDA$
HI[RDRT 6. IrEUERHAKE
CYNTHIA A. MARTIN
ELLEN L. SAYLEY
NORWALK, CONNECTICUT 06652
TELECOPmeR0 22198
December 22# 1987
lREPLY TO:
0 MERITT 7 OF ICE
101 MERRITT 7FIFTh FLOOR
NORWALK. CT 04691
(803) 0r.oo0
O EAST AVENUE OF ICE
P.O. sOx R02oNORWALK. CT oees
COUNSELTHOMAS A. KEATING. JR.
*ALSO ADMITTED IN NJ
**ALSO ADMITTED IN NY
**ALSO ADMITTED IN NY & NJ
Lawrence M. Noble, Esq.General Counsel
N 999 East StreetWashington, D. C. 20463
Re: MUR 2554Chris Dodd for SenateFrank N. Zullo, as Treasurer
40 Dear Attorney Noble:
r- Please be advised I am today in receipt of your letter of December 15,
C. 1987 in reference to the above captioned. I note that a request ismade therein that we submit all material relative to this matter toyour office within fifteen days of my receipt of your letter. Sincethe next fifteen days will involve two major holidays, namely Christ-mas and New Year's, it will be rather difficult to review the questionsraised and prepare the information requested. I therefore respectfullyrequest that a twenty day extension be granted by you relative to our
( response.
I have discussed the aforesaid with Attorney Ann Weisenborne, who hasbeen assigned to this matter. She appeared to have no objection tothe extension sought, but suggested I write directly to you requestingsame. If granted, the extension would give us until the last week inJanuary to respond. Under the circumstances this would be a morereasonable time frame within which to put a response together. Hope-fully you will concur and grant us the extension requested.
Thanking you in advance for your consideration in this matter.
All the best to you and yours during this coming Holiday Season.
Ve;y-tr-Ly yours,_
FNZ/lsgcc: Ken Scully
Stanley Israelite
N. .. M
=) -4m'
25 :Z
THE P. CHRISTOPHE'ZR HENNEY COMPANY
100 OREAT XMADOW ROAD WUTRNR SILD, CO4W"CTICUT oeo- 2353 (903) 276-229
TUZUCOPMUE (203) 563-9a9
December 24, 1987 VIA FEDERAL EXPRES
or
Mr. Lawrence M. Noble, Esq.General Counsel r"999 East StreetWashington, DC 20463 ' =-.'
Re: MUR 2554 =Chris Dodd for Senate
Dear Attorney Noble:
%' I received the letter from Chairman Thomas dated December 15, 1987 onDecember 21, 1987. In the letter a request was made for all materialregarding this matter be submitted within fifteen days of myreceiving Mr. Thomas' letter. Inasmuch as both Christmas and NewYear's Day are part of this 15 day limit and because one particularmember of my staff who has access to the material requested is onvacation, I would appreciate it if you would grant a twenty day
C extension. This will give me the necessary time to assemble allmaterial I have regarding this situation.
Please note that my address has changed to:
P. Christopher Henney100 Great Meadow RoadWethersfield, CT 06109-2355
Thank you for your attention to this matter.
Very truly ours,
P. Christ her Henney /PCH:mpl /
STA V Or DBXSXiG or C aM
oA 0r Coo asa,-r-,&7OAVV ,,qe7occ"Y /V, ,, AWt-
NAME O/,gw c,,LmaN,,ia J.- Alf .J
AJ5/?7J A/ Lc 02 c'O3(
TUEPUOUD: 3 /Z3e9
The above-named individual is hereby designated as my
counsel and is authorized to receive any notifications and other
communications from the Commission and to act on my behalf before
the Commission.
Date' Signatre
RESPONDENT'S NE: 7 0/ A , /: 8- 2 ?'
HONE PHONE: 523 -/ c 2_BUSINESS PHOM: 2 2 -d2r2- 2--
M[ATTHEW R. KORnRxIO[]HTOPPING ROAD
GRMUNWIO U, OONNUOTIOqPi|t 06880
*106FEDERAL
December 29, 1987
Federal Elections Committee999 E. Street, N.W.Washington, DC 20463 O
Re: MUR 2554
Gentlemen:
I have just received your correspondence which was forwardedhere in Florida where I am on vacation. May I kindly request220 day extension of this matter so that it can be properly Nhandled upon my return next Monday.
I will be designating William Oldaker, Esq. of Manatt, Phelps,Rothenberg & Evans of 1200 New Hampshire Avenue, N.W., Suite 200,Washington, DC 20036 as my counsel and will be sending theappropriate designations to you on Monday.
Thanking you for your courtesy I am,
ncerely,
M atthew R. Kornreich
MRK/jal
cc: William Oldaker
Stanley Israelite
bl
M'IATTHEW R. KORNEBIOHToPPING ROAD
GR(MICt-WIH. OONNUOMIOIM'T O600
RUJIVE1FEDERAL FLEC WIO CO IISItOM
MAIL ROOrI
88 JAN-5 ANDI042
HAND DELIVERED
January 4, 1988
Federal Election Commission999 E. Street, N.W.Washington, D.C. 20463
Re: MUR 2554
Gentlemen:
Further to my letter of December 29th,a copy of which is attached, enclosed pleasefind Statement of Designation of Counsel.
Thanking you for your courtesy, I am
Ver t ru ly yours,
MRK:mhAtt.
cc: William Oldaker, Esq.Mr. Stanley Israelite
con
C,.
ma CP
s-TA UU OF DMISAMIE 0W CU
HAMS Or WILI AM o LA AAe r,.
AdDDRS8: MA MA 7"7' PuLAS /_$ 7,eAdeir.6 . fV4A
/36 &t%^/ 1-br 'lj.t J,At Ao- NA.
J'vI~e. ..,.
TELEPSOMI: VV4-C 1,.J6"76 A D .C. -a-003
The above-named individual is hereby designated as my
counsel and is authorized to receive any notifications and other
communications from the Commission and to act on my behalf before
the Commission.
/ '2/264 &/4P-7Date / '
RESPONDENT' S NAME:
ADDRESS :
NONE PHONE:
BUSINESS PHONE:
Siature
C • Jw. 6 '3 I
t ~- LYY45
FEDERAL ELECTION COMMISSIONWASHINGTON. DC 20461
January 5, 1988
Frank N. Zullo, EsquireTierney, Zullo, Flahertyand Murphy, P.C.
134 East AvenueNorwalk, Connecticut 06852
RE: MUR 2554Chris Dodd for SenateFrank N. Zullo, astreasurer
Dear Mr. Zullo:
This is in response to your letter of December 22, 1987,which we received on December 28, 1987, requesting an extensionof time of twenty days within which to respond to theCommission's finding of reason to believe that the Chris Dodd forSenate Committee, and you, as treasurer, violated 2 U.S.C. S441a(f). After considering the circumstances presented in yourletter, I have granted the requested extension. Accordingly,your response will be due by close of business on Janaury 26,1987.
If you have any questions, please contact Anne A.Weissenborn, the attorney assigned to this matter, at (202) 376-5690.
Sincerely,
Lawrence M. NobleGeneral Counsel
BY: Lois G. LerAssociate General Counsel
0. 0L T& k
FEDERAL ELECTION COMMISSIONwASHINCTON, D C 204b1
January 14, 1988
Matthew R. KornreichTopping RoadGreenwich, Connecticut 06880
RE: MUR 2554
Dear Mr. Kornreich:
This is in response to your letter of December 29, 1987,which we received on January 4, 1988, requesting an extension oftime of twenty days within which to respond to the Commission'sfinding of reason to believe that you violated 2 U.S.C.S 441a(a) (1) (A). After considering the circumstances presentedin your letter, I have granted the extension. Accordingly, yourresponse will be due on or before February 2, 1988.
4 If you have any questions, please contact Anne A.__ Weissenborn, the attorney assigned to this mattter, at (202) 376-
5690.
Sincerely,
0D Lawrence M. NobleGeneral Counsel
BY: Lois G. LetterB:G Associate General Counsel
cc: William C. OldakerManatt, Phelps, Rothenberg and Evans1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
FEDERAL ELECTION COMMISSIONWASHINCTONOC 2O4bi
January 14, 1988
P. Christopher Henney100 Great Meadow RoadWethersfield, Connecticut 06880
RE: MUR 2554
Dear Mr. Henney:
This is in response to your letter of December 24, 1987,which we received on December 29, 1987, requesting an extensionof time of twenty days within which to respond to theCommission's finding of reason to believe that you violated
o 2 U.S.C. S 441a(a)(l)(A). After considering the circumstancespresented in your letter, I have granted the extension.
U1. Accordingly, your response will be due on or before January 25,1988.
If you have any questions, please contact Anne A.Weissenborn, the attorney assigned to this mattter, at (202) 376-5690.
Sincerely,
Lawrence M. NobleGeneral Counsel
BY: LoisAssociate General Counsel
cc: William C. 01dakerManatt, Phelps, Rothenberg and Evans1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
THOMAS TIERNEY
FRANK N. XULLO
THOMAS A. VLANETY
1RANK W. 4UPMly
EUseNN S. N"iLfsR
GARY LORUSSO
KENNETH A. NAS O6*
STCVgN N. WARINatOeS
ANDREW . KORNAS
;4ERSIERT 0. OPEUCRNARE
CYNTHIA A. MARTIN
ELLEN L. BAYLEY
*ALSO ADMITTED IN NOJ
"ALSO ADMITTCD IN NY
*SeALSO ADMITTCD IN NY & NJ
TIERNEY, ZULLO, FLAH(RTY AND MURPHY@ P.C.ATl0MTIys AT LAW
S4 EAST JENUEl
PST Of e I*"
NORWALK. CONNICTICUT "son
**-*70
January 12, 1988
FEER!AL E! fo1MWssIoN
SMI 9 AtIU:,29
O RPLY TO
0 WEMTY 7 OrrCC
t0# MCRITT 7rip?" FLOOR
NORWASA. CT 00SSI03) $03o7000
D CAST AVENUE OFFICE
P.O. SOX RosNONWAK. CT 06*52
COUNSEL
THOMAS A. KEATING. J1.
Lawrence M. Noble, Esq.General CounselFederal Election CommissionWashington, D. C. 20463
Re: MUR 2554Chris Dodd for SenateFrank N. Zullo, as Treasurer
Dear Mr. Noble:
I am in receipt of your letter of recent date wherein you grantan extension for a response in reference to the above captionedmatter.
Be advised, subsequent to said extension request, AttorneyWilliam Oldaker of the firm of Manott & Phelps, has been des-ignated by us as our counsel in this matter. I have accordinglyforwarded your letter of January 5, 1988 to Attorney 01daker.
Your courtesy in this regard has been appreciated.
Very truy s,/
K LLO
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Lawrence N. Noble, EsquireGeneral CounselFederal Election Coission999 E Street, N.N.Washington, D.C. 20463
Re: NUJ 2554. Matthew Kornreich
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Dear Mr. Noble:
This letter constitutes the response of Matthew Kornreich in
MUR 2554 to the Commission's reason to believe determination of
December 4, 1987. Mr. Kornreich believes that upon review of the
materials submitted with this response, your office will conclude
that no further action is warranted in this matter.
A. Introduction
The General Counsel's Factual and Legal Analysis detailed
four contributions made by Mr. Kornreich from 1983-1986 to the
Chris Dodd for Senate Committee. The basis for the Commission's
reason to believe determination that the Federal Election Campaign
Act of 1971, as amended, (hereinafter the "Act"), 2 U.S.C. S 431
et seq., may have been violated was a review by the Commission's
Reports Analysis Division which noted possible contributions in
SUITS *w*evuTq K
TuIM
extcess Of the Actis itat,4 10*0 Nt.0 Koratetcb ,ssetrts that this
submission. will ext-Ab1.sllIr" t. the commission should close this
mtter with respect to thestributions made by him.
The contributions noted by the Reports Analysis Division
follow:
Dates of Amounts ofContributions Contributions
07/20/83 $33506/24/84 665
an05/31/85 23003/31/8690
B. Contribution of 05/31/85
Because Mr. Kornreich and his wife are strong supporters of
0 Senator Dodd and desired to assist the Senator's reelection
efforts, Mr. Kornreich agreed to contribute $1,000 for the 1986
C Democratic Convention and $1,000 for the general election."/
These contributions were made at the request of the Committee, as
part of a fundraising program entitled the "Senator's Circle,"
whereby $1,000 contributions were pledged to the Convention and
another $1,000 was pledged to the general election. See attached
Designation. These contributions were duly made, beginning in
1983, though rather than making them in one lump sum, they were
made in increments.
I/ The state party in Connecticut held a Convention on July 18,1986, in lieu of a primary election for that year.
MAN~n PHLPS. ROTimN5W' Ecs VANS
Lawrence No Udble, EsquireJauary 25, 1986tige 3
Thus, by May 31, 1985, Mr. Kornreich had written checks to
the Committee totalling $1,000# which were designated by the
Committee to his Convention limit (his contributions of $335 on
07/20/83 and $665 on 06/28/84). On that date, he wrote another
check, in the amount of $230, for the Committee. Pursuant to the
agreement made some two years earlier, this check should have
been designated for the general election. In fact, Mr. Kornreich
had already written two other checks for the general election,
which the Committee had correctly noted on its FEC reports: (1)
on 06/28/84 for $335 and (2) on 12/19/84 for $335. Thus, by the
time Mr. Kornreich wrote the $230 check, the Committee had been
correctly designating his checks for the 1986 general election.
Unbeknownst to Mr. Kornreich, the 1985 check for $230 was
erroneously coded for the Convention on the Committee's FEC report,
when both Mr. Kornreich and the Committee intended that the
contribution apply to the general election.
C. Contribution of 03/31/86
All contributions attributed to Mr. Kornreich were made on a
joint account maintained by his wife and him. See attached
Declaration of Matthew Kornreich. Although Mr. Kornreich and his
wife intended that the contributions be from both of them, he was
unaware of any legal requirement that a contribution from husband
and wife on a joint account required a signature from both
contributors.
"HNATT. PHECLPS ROTHMEN G EVAN*
Lawrence N. Noble, &IsqireJanuary 25, 18
Mr. Kornreich had absolutely no intention of exceeding the
Act's limitations or of violating the law. He asserts that ho
would not have sent the $900 check in 1986, if he and his wife did
not consider all contributions made as joint contributions.
Because the Committee did not consult with him, Mr. Kornreich
took no further action concerning his contributions, but rather
considered all to be in order. However, three months subsequent
to the contribution of 03/31/86, the funds were returned to him by
the Committee without explanation.
The circumstances set forth above make clear the de minimis
nature of the $900 contribution made on March 31, 1986. This
amount was refunded immediately upon discovery by the Committee
o of what appeared to be contributions by Mr. Kornreich in excess
of $1,000. The time which elapsed, some ninety days, is wholly
reasonable, given that the contribution was returned within one
reporting period.2/
D. Conclusion
Accordingly, based on the above considerations, Matthew
Kornreich respectfully requests that your office recommend to the
?/ Because the sixty day provision of 11 CFR 5103.3(b)(3) was noteffective until April 8, 1987, Mr. Kornreich should not be heldto that standard.
Cois1i1n that At talIo n&i further action in this matter and
R*. 0 .tulY submittequ
William C. OldaerManatt, Phelps, RothenbergG Evans
3/ Alternatively, should the Commission determine not to close
Its file, Mr. Kornreich desires to resolve any outstanding issues
through conciliation prior to a determination of probable cause.
0 0
CHRIS DODD FOR SENATE -CONTRIBUTION DESIGNATION
----------------------------
As a member of the Senator's Circle, I pledged
up to $2,000 to the CHRIS DODD FOR SENATE COMMITTEE;
$1,000 of which was designated to the July 18, 1986
Convention and the balance of which was designated
for the 1986 General Election.
Matthew R. ondc
I, Natthew Kornreich *tate as follOwls
1. I am a resident of the Btate of Connecticut.
2. To the best of my recollection, in 1983, the Chris Dodd
for Senate Committee sought contributions from me in the amounts
of $1,000 for the 1986 Democratic Convention and $1,000 for the
general election.
3. Because my wife and I were desirous of helping Senator
Dodd, we decided to make the contributions from our joint account
in incremental payments over a period of three years from 1983 to
N 1986.
4. I was not aware of any legal requirement that a
contribution from my wife and me on a joint account required both
of our signatures. I had absolutely no intention of exceeding
the legal limits for contributions and had no intention of
violating the law.
el 5. To the best of my recollection, in late June or early
SJuly, 1986 the Chris Dodd for Senate Committee returned our final
contribution of $900 without explanation.
I declare under penalty of perjury that the foregoing is
true and correct.
Executed on TA W. 2.- , 1988.
a hew Kornreich
AlTeftP"S Am LAW
• * ... m. A. MID,=
January 25, 19880C~2oCO
C3 r')
Lawrence N. Noble, EsquireGeneral Counsel - r-Federal Election Comission999 3 Street, MW. WWashington, D.C. 20463 - :c
Re: NOR 2554, Chris Benney
Dear Mr. Noble:
This letter constitutes the response of Chris Henney in MUR
2554 to the Commission's reason to believe determination of
December 4, 1987. The General Counsel's Factual and Legal
Analysis detailed three contributions made by Mr. Henney from
1984 to 1986 to the Chris Dodd for Senate Committee (hereinafter
the "Committee"). The basis for the Commission's reason to believe
determination that the Federal Election Campaign Act of 1971, as
amended, (hereinafter the "Act"), 2 U.S.C. S 431 et seg., may
have been violated was a review by the Commission's Reports
Analysis Division which noted possible contributions in excess of
the Act's limitations.
WT.f? P#4t.**. RoTi#ONA
, i 25, 1 1 :.. -" :
The contributions u t by th#- ,IReports AMys8 Divi$1o0
follow:
Dates of Amounts ofContributions Conlriit ions
06/28/84 $100008/15/9S 100006/30/86
Mr. Henney does not deny making these contributions. However,
$1250 has been refunded by the Committee. One thousand dollars
was refunded on September 5# 1986, and $250 on January 12, 1988.
Mr. Henney had no intention of exceeding the Act's contribution
limits or of violating the law. Through the passage of over one
year, he simply had not recalled his earlier contribution.
Mr. Henney maintains that, since the amounts have been
refunded, the minor violation has been rectified. Accordingly,
based on the refunds, Chris Henney respectfully requests that
your office recommend to the Commission that it take no further
action in this matter and close the file with respect to him.
Alternatively, should the Commission determine not to close its
file, Mr. Henney desires to resolve any outstanding issues through
conciliation prior to a determination of probable cause.
Respemttte
William C. OldakerManatt, Phelps, Rothenberg& Evans
SWSu"0 :QO ,
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Quo*" Soo"0urn 45
January 26, 1988
Anne A. Weissenborn, EsquireOffice of the General CounselFederal Election Coimission999 E Street, N.W.Washington, D.C. 20463
Dear Anne:
Enclosed are the responses for the Chris Dodd for SenateCommittee, Matthew Kornreich and Chris Henney to the Commission'sreason to believe determinations in MUR 2554.
If you have any questions, please feel free to call.
Sincerely,
Ec F. Kleinfeld
Enclosures
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AVv*w. .̂ msv S.kP Cw m odt~.
ft*U efwo o""m almo a*"m
January 25, 1988
e
Lawrence N. Noble, EsquireGeneral CounselFederal Election Commission999 E Street, N.W.Suite 657Washington, D.C. 20463
Re: MUR 2554, Chris Dodd for Senate andFrank N. Zullo, as Treasurer
Dear Mr. Noble:
This letter constitutes the response of the Chris Dodd for
Senate Committee (hereinafter the "Committee") and Frank N. Zullo,
as Treasurer, in MUR 2554 to the Commission's reason to believe
determination of December 4, 1987. The Committee believes that
upon .:Pview of the materials submitted with this response, your
office will conclude that no further action is warranted in this
matter.
A. Introduction
The General Counsel's Factual and Legal Analysis detailed a
series of contributions received by the Committee from thirty-
three individuals and eleven political committees. The basis for
or"o=
r'
-- c-ALa) C5-
EVANS
MANATg', PHL*., POTk4tN6gt*0 & EVANS'
Lawri r NO UQ.e, ,*i*
JAknuarv-I 26
the Commission's determination that the ?ederal Blection Campaign
Act of 1971, as amended, (hereinafter the "Act") 2 U.S.C. S 431
et sea., may have been violated was a review by the Commission's
Reports Analysis Division which noted possible contributions in
excess of the limits. The Comeittee asserts that this submission
will establish that no violation of the Act occurred with respect
to nearly all of the contributions noted by RAD, thus warranting
no further action by the Commission.
B. Designations for Individual Contributors
During the six year period prior to Senator Dodd's reelection
in 1986, the Committee implemented a program to raise funds for
the course of that period which would ensure the Senator a
sufficient warchest and also would discourage potential political
opponents. As part of this program, the Committee established the
"Senator's Circle," a group of supporters of the Senator who
desired to make contributions to his re-election effort, for both
the primary and general election, within the applicable legal
limits of the Act.
Unfortunately, contributions received from these supporters
were not, in several cases, recorded accurately by the individuals
responsible for doing so. Often during the six year period,
contributors would make a contribution for the ConventionI/ and
then a subsequent contribution for the general electibn, all
L/ The state party held a Convention on July 18, 1986, in lieu ofa primary election.
4ARAm. P"CLPS, ROThtt4St* & EVAN S
Lawrence i. Noble, nequireJanuary, 2S, 1986Page 3
prior to the date of the Convention. Rather than designating the
contributions for the election which the donor so intended through
his or her pledge, contributions were mistakenly designated to the
identical election. For example, two $1,000 contributions may
have been received from an individual prior to the Convention.
yet the Committee mistakenly coded these to the general election.
As a result, the FEC reports filed by the Committee during this
V" period, for certain contributors, incorrectly reflected the intent
of those contributors, as evidenced through their pledges andCY
designation statements, that their contributions be designated
for the applicable elections within the legal limits of the law.
1. Designation Statements
o Of the contributions singled out by the Reports Analysis
VDivision, twenty were simply applied to the wrong election on the
C Committee's FEC reports. The Committee is supplying signed
designation statements, where available, evidencing the proper
election to which their contributions should have been applied.
No changes in designations are necessary; the contributors'
original designations should have been noted on the Committee's
FEC report. Attached to this letter is a chart setting forth
those contributors with the correct designations so indicated.2 /
2/ Rather than explaining each contribution in the body of thisletter, the explanatory notes contained in the attached chartsprovide specific information pertaining to the individualcontributions, and are accordingly made part of this response.
AN, OT VANS
Lavrenoe N. Noble,0 EsquireJanuary 25, 1988Page .4
Additionally, the designation statements located by the Committee
are appended thereto.
The Committee was unable to locate designation statements
for a few of the contributors who had agreed in advance to make
contributions for both the 1986 Convention and general election,
given the fact that these contributions were made over a six year
period, beginning in 1981, some seven years ago. However, no
th question has ever been raised that these individuals intended to
do anything but contribute to the Committee within the legal0.9
limits for each of the 1986 elections.
Several individuals for whom the Committee cannot locate
rdesignations have executed current statements evidencing their
0intent to contribute within the legal limits of the Act. These
Ware also attached to the contributor charts. These individuals
C were all part of the Senator's Circle; therefore, they expressly
? intended at the time they made their contributions that up to
$1000 be designated for the Convention and up to $1000 be
designated for the general election. Again, no redesignations are
necessary; the original designations were correct but merely
inaccurately noted on the Committee's FEC report.
2. The Next Upcoming Election
For certain contributions noted, the individuals
contributed to both the Convention and the general election, yet
the Committee erroneously indicated on its FEC reports that those
contributions received prior to the Convention were designated
I4ANATT, P*g~~ROTHENR44'aO 4 EA
Lawrence . Noble, 3squire.January 25, 1988
Page 5
for the general election. This was simply not the case. DeOCaUe
these individuals had not submitted designation statements with
their contributions, the first $1000 contributed was required to
be designated by the Committee to the next immediately upcoming
election.3/ The Committee was not empowered to designate these
contributions to the general election. For this reason, the
Committee's FEC reports inaccurately reflect the true designations
of these contributions; where the contributions were made prior
to July 18, 1986, they were to be designated for the Convention.
These contributions have been so designated, and, as a result, it
is evident that none of these contributors have exceeded the
legal limits.
0 C. Refunded Contributions to Individuals
Vr For a few remaining individuals, the Committee has refunded
C the contributions. Committee refunds are set forth in a separate
contributor chart with explanatory notes setting forth the amounts
and dates of the refunds. Refunds were made in the cases where the
Committee had no designation from the individual contributor and
that person had reached his or her contribution limit.
D. Political Committee Contributions
For purposes of this submission, the Committee has separated
consideration of contributions by individuals and those by
3J See 11 CFR $110.1(b)(2)(ii). "With respect to any election"means, in the case of a contribution not designated in writing bythe contributor for a particular election, the next election forthat federal office after the contribution is made.
I4ANAT, PHELPS, ROTH9NON &EVANS'.
Lawren e N. Oble, equireJanuary 25, 1988Page 6
political committees. A chart with explanatory notes has been
attached to this letter setting forth these contributions. Four
of these contributors did not have their correct designations
recorded on the Committee's FEC reports. The Committee refunded
amounts to the remaining contributors. Of these, the Committee
was unaware that three were not qualified as multicandidate
committees.
E. Conclusion
To date, the Committee has taken all necessary steps toCV
ensure that its contributions were either noted with their correct
designation or were refunded. The Committee has never intended
to violate the Act's limits, nor to receive a benefit from moneys
o to which it was not legally entitled.
IRather, the Committee has always sought to strictly comply
C with the law. During the period prior to the 1986 elections, the
01. Committee was beset with coding problems on its FEC reports which
resulted in the problems noted. However, had the original
designations been correctly reported, any remaining items received
by the Committee which may have been in violation of the law were
inadvertent and minor. Moreover, when taking into consideration
the correct designations and the refunds made, any remaining
violations truly become de minimis.
In sum, of the thirty-three individuals noted for possible
excessive contributions, for twenty persons, the Committee simply
did not note the correct designation on its FEC report. For
MANATT P,$LP8. ROT£
Lawrence N. oble EsquireJanuary 25, 1988Page 7
twelve contributors, the Committee made refunds.4/ Of the eleven
political committees noted for possible excesSive contributions,
four did not have their designations correctly noted.
Accordingly, the Chris Dodd for Senate committee respectfully
requests that the Commission take no further action in this matter
and close its file with respect to lUR 2554. Alternatively,
should the Commission determine not to close its file, the
Committee desires to resolve any outstanding issues through
conciliation prior to a determination by the Commission that
there is probable cause to believe the Act was violated.
William C' OldakerManatt, Phelps, Rothenberg& Evans
V For one contributor, James E. Hartley, the information containedin the Factual and Legal Analysis appears to be in error, sincehis two contributions of $875 and $125 equal $1000. See attachedchart.
CuaM 3xDBS IZU
Name
Coag rove,
ContributionQakDaniel 06/10/85
10/31/86
$ 900100900
El-ectic
ConventionGeneralGeneral
Note: Contribution on 6/10/85 was misdesignated; $900 wasapplicable to the next upcoming election, i.e., theconvention
Downey, Robert N. 04/09/84 $ 100 Convention06/28/84 500 Convention04/06/85 400 Convention
100 General
Note: Contribution on 4/6/85 was misdesignated; See attachedform
Freedman, Roger 06/17/85 $1000 Convention08/15/85 300 General
Note: Contribution on 8/15/85 was misdesignated; See attachedform and letter
Harrison, Pauline L. 05/05/82 $ 900 Convention100 General
06/18/85 250 General
Note: Contribution on 5/5/85 was misdesignated; $900 wasapplicable to the next upcoming election, i.e., theconvention
Jansen, Frank 11/21/83 $1000 Convention12/13/83 125 General01/31/86 1125 Refund
Note: Contribution on 12/13/83 was misdesignated; See attachedform; $125 was for general; $1125 was refunde-4/30/86
Contributioename Date
Kornreich, Matthew R.
Note:
07/20/8306/28/040S/31/8503/31/86
$ 3356S%23*900
ConventionConvention
GeneralRefunded
Contribution on 5/31/85 was nisdesignated and shouldhave been applied to the general. $900 was refunded on6/30/86. See attached form.
Lacey, John R. 05/31/85 $ 250 Convention03/31/86 875 General
Note: Contribution on 5/31/85 was misdesignated; $250 wasapplicable to the next upcoming election, i.e., theconvention
Leonhardt, Clifton 02/27/84 $ 667 Convention06/21/84 125 General06/26/85 333 Convention
Note: Contribution on 6/21/84 was misdesignated; See attachedform
Levin, Jay B. 08/03/83 $ 100 Convention10/11/83 100 Convention01/13/84 50 Convention05/16/84 50 Convention06/11/84 100 Convention11/85/84 50 Convention06/12/85 500 Convention06/12/85 150 General06/30/86 250 General07/18/86 600 General07/18/86 150 Refunded
Note: Contributions on 6/12/85, 6/30/86 and 7/18/86 weremisdesignated; See attached forms. Also, $150 wasrefunded on 9/117-6, and $250 was refunded on 10/15/86.
SPete; o
cosr btio o
£ r .:
Come4~Conyn
-. +iicoavi
70/e 25* enta
8/7/*5L iSeSt.04 See attacbea
IIon
Ion
Lorber, Philip Convention08 jR% PConvention01 ,l i~i i i 3Convention
O6/i/S 3!? General
Note: Contribution on 6/10/8 ,;as misdeslgnated. Mr. Lorberwas a member of the Senator's Circle and pledged $1000to the Convention and l$00Oto the general election.
Mallove, Harvey N. 04/29/83 $ 500 Convention11/21/83 150 Convention06/12/8S 200 Convention06/12/8S 150 General
Note: Contribution on 6/12/85 was misdesignated; $150 wasdesignated for general; See attached form
Marcus, Edward L. 05/24/85 $ 375 Convention125 General
12/04/85 250 General03/31/86 625 General
Note: Contribution on 5/24/85 was misdesignated; $375 wasapplicable to the next upcoming election, i.e., theconvention
Palumbo, Dominic 06/25/84 $ 300 Convention06/17/85 700 Convention06/17/85 300 General12/31/85 300 Refunded
Note: Contribution on 6/17/85 was misdesignated; $300 wasapplicable to general election; See attached form.Also, $300 was refunded on 3/21/U.
05/12/0301/02/65
Contribution onletter
ConventionGeneral
$1001000
1/2/85 was misdesignated; See attached
Shapiro, Max x. 04/18/64 $ 350 Convention06/14/84 125 Convention12/27/84 350 Convention07/10/85 175 Convention
125 General
Note: $125 of contribution on 7/10/85 was misdesignated andshould have been applied to general; Seae attached form
Stack, Geoffrey L. 08/07/84 $1000 Convention04/29/84 500 General
Note: Contribution of 4/29/84 was misdesignated; See attachedform
Storch, Herbert 06/30/83 $1000 Convention03/31/86 1000 General06/30/86 250 Refund07/18/86 1000 Refund
Note: Contribution of 6/30/83 was misdesignated; $1000 wasapplicable to the next upcoming election, i.e., theconvention; additionally, $1000 was refunde-'a on 9/5/86and $250 was refunded on 9/30/86
Temkin, Abraham 08/05/81 $ 500 Convention06/26/85 1000 General
Note: Contribution on 6/26/85 was misdesignated; See attachedletter
Wolff, Thomas 06/30/83 $ 333 Convention01/03/85 667.67 Convention06/18/86 100 General
Note: Contribution of 5/18/86 was misdesignated; See attachedform
Rz!Pk-,. Fred
Wbte:
Yn
A6
.A
Coutrlbltios
Ford, Charlotte 06/28/6405/30/85
Blection
GeneralRefunded
$10001000
Note: $1000 was refunded on 7/3/85
Golding, Samuel Y. 07/20/83 $1000 Convention03/31/86 500 Refunded
Note: $500 was refunded on 6/30/86
Goodwin, Dorothy C. 06/21/83 $ 500 Convention06/22/84 200 Convention12/27/84 300 Convention12/05/85 700 Refunded
Note: $500 was refunded on 9/5/86 and $200 on 1/12/88.
12/27/84 $ 700 General12/05/85 300 General06/09/86 500 Refunded
Note: $500 was refunded on 9/5/86 (A total of $1000 wasrefunded on 9/5/86)
Greenberg, Stephen A. 07/09/84 $1000 Convention
06/26/85 1000 Refunded
Note: $1000 was refunded on 10/17/87
07/09/84 $1000 General06/26/85 1000 Refunded
Note: $1000 was refunded on 10/17/87 (A total of $2000 wasrefunded on 10/17/87)
Grossman, Richard A. 08/03/83 $1000 Convention
11/22/85 500 Refunded
Note: $500 was refunded on 1/12/88
Cotribution
Henney, Chris 06/28/84
06/30/6
$100010002S0
Ziection
ConventionRefunded
Refunded
$1000 was refunded on 9/5/861/12/88
and $250 was refunded on
06/28/8403/31/86
GeneralRefunded
$1000 was refunded on 9/5/86refunded on 9/5/86)
(A total of $2000 was
LaRose, Rose Bove 07/25/83 $1000 Convention04/30/86 500 Refunded
Note: $600 was refunded on 10/15/86
Levine, Harold 05/12/83 $ 250 Convention12/04/85 750 Convention12/04/85 250 Refunded
Note: $250 was refunded on 1/12/88
Liston, Gary 12/04/84 $1000 Convention01/02/85 1000 Refunded
Note: $1000 was refunded on 1/12/88
Rubin, Miles 07/02/84 $1000 Convention
04/17/86 1000 Refunded
Note: $1000 was refunded on 9/5/86
06/26/85 $1000 General04/17/86 1000 Refunded
Note: $1000 was refunded on 9/5/86 (A total of $2000 wasrefunded on 9/5/86)
N-
Note:
Note:
$10001000
nRp
Ruepkat Peter 06/15/8301/02/85 2000
glectio •
ConventionRefunded
Note: $1000 was refunded on 3/14/85
Upenieks, Ludvig unitemized $ 100 Refunded
09/21/84 1000 Convention
Note: $100 was refunded on 2/1/85
12/19/84 $1000 General06/30/86 1000 Refunded
Note: $1000 was refunded on 1/12/88
ContribeotioDate
Hartley, James 3. 0/09/8605/09/86
Klection
ConventionConvention
$ 07S325
Items listed infeneral Counsel's Paotaal and LegalAnalysis total $1000 and are not excossive
Dens
Note:
C1?c o IVPAC W~RNTIONIS
pow
Communications Workersof America
CostributideDate
07/06/8109/11/83
Electigon
ConventionGeneral1000
No contribution was smade by CWA in 1983; probably refersto 9/11/85contribution which was intended for general.See attached form.
Independent Insurance 03/15/82 $1000 ConventionAgents of America 08/07/85 1000 General
09/11/85 2000 General09/13/85 2000 General
Note: Despite the erroneous check-off, notation on FEC reportfor 1/1/82 - 6/30/82 indicates that receipts includedconvention receipts. See attached.
Life Underwriters PAC 03/16/82 $1000 Convention12/31/85 5000 General
Note: Despite the erroneous check-off, notation on FEC reportfor 1/1/82 - 6/30/82 indicates that receipts includedconvention receipts. See attached.
Fannie PAC 09/30/86 $1000 General10/09/86 200 Refunded
Note: $200 was refunded on 12/11/86
Washington PAC 03/13/85 $4000 Convention04/09/86 1000 General10/09/86 100 General
Note: Contribution of 3/13/85 was misdesignated; the Committeereceived no designation, therefore it should be appliedto the next upcoming election, i.e., the convention. TheCommittee had a designation for74-7/86 contributionwhich was correctly designated. See attached form.
"aM
Roman CorporationGood Government Fund
ContributionRate
08/30/8312/21/8406/10/85
$ S00333333
Conventi:onConventionConvention
Note: Committee was not aware that Kaean did not qualify asmulticandidate comittee until 6/30/85
Pirelli Cable Corp. PAC 12/30/86 $1000 1992Convention
12/30/86 $1000 Refunded
Note: Committee was not aware that Pirelli has not qualifiedas multicandidate committee. $1000 was refunded on1/12/88.
NACSAPAC 12/13/83 $ 500 Convention02/14/85 500 Convention08/07/85 500 Convention10/31/85 2000 Convention04/23/86 1500 Convention04/23/86 500 Refunded
Note: $500 was refunded on 1/12/88
Seafarers' PAC 07/06/81 $1500 Convention06/18/85 2000 Convention06/18/85 1000 Convention12/31/85 2000 Refunded
in part
Note: $1500 was refunded on 1/20/88
AFSCME P.E.O.P.L.E. 09/14/81 $ 500 Convention06/18/85 1000 Convention07/01/85 1000 Convention10/09/85 3000 Convention
Note: $500 was refunded on 1/20/88
ote: $2000 was refs#4et~oi was.4tt~ndt~ak muit icndia ou tte
of west: UarttOr,: 4 {!in paot
wa not:
TO: FRANK N. ZULLO, TREASURERCHRIS 0000 FOR SENATE
FROM:. b e~
I HEREBY DESIGNATE MY CONTRIBUTION OF $ 100ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED: /
FOR THE GENERAL
7
y ., t, 47m 9w9-
CHRIS DODD FOR SENATE
CONTRIBUTION DESIGNATION
As a member of the Senator's Circle I pledged up to $2,000 toChris Dodd for Senate Committee; $1,000 of which was designated tothe July 18, 1986 Convention and the balance of which was designatedfor the 1986 General Election.
TO: FRANK N. ZULLO, TREASURERCHRIS oDD FOR SENATE
FROM: I" YXII -ic.'% rnSex
I HEREBY DESIGNATE MY CONTRIBUTION OF $JIZ,..ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
FOR THE GENERAL
~ ~c zrzn
CHRIS DODD FOR SENATE - CONTRIBUTION DESIGNATION
-----------------------------
As a member of the Senator's Circle, I pledged
up to $2,000 to the CHRIS DODD FOR SENATE COMMITTEE;
$1,000 of which was designated to the July 18, 1986
Convention and the balance of which was designated
for the 1986 General Election.
-1 ,/ ., j2
Matthew R. Kornrdich
//
FROM: -3 oh o 7
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
I HEREBY DESIGNATE MY CONTRIBUTION OF $ V- 7 ' FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: lon 4fA 1 diW
I HEREBY DESIGNATE MY CONTRIBUTION OF $ I2,"ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
SIGNED:
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM :& MION04.441-
I HEREBY DESIGNATE MY CONTRIBUTION OF $ OO FOR THE GENERALELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
TO: FRANK N. ZULLO TREASURERCHRIS DODO FOR SENATE
FROM:73- fjo/IoAAIL . 4 " L/- S//
I HEREBY DESIGNATE MY CONTRIBUTION OF $___.,.__ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
SGE
SIGNED N .
TO: FRANK N. ZULLO, TREASURERCHRIS DODO FOR SENATE
FROM 14oNotA/LWE
I HEREBY DESIGNATE MY CONTRIBUTION OF S L2ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR IHE GENERAL
SG N.
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: Pc.., L0 M.SS
I HEREBY DESIGNATE MY CONTRIBUTION OF S 250 FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER A 1986.
SIGNED: t'2 I~ &
TO: FRANK N. ZULLO, TREASURERCHRIS DODO FOR SENATE
FROM: -watALU
I HEREBY DESIGNATE MY CONTRIBUTION OF $ 116ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
SIGNED:
A). ktaJlCV6
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: jAX (a teL JIY CuS
I HEREBY DESIGNATE MY CONTRIBUTION OF $ .. ' FOR THE GENERALELECTION TO BE HELD ON NOVEMBER 4, 1986.
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: T.(a a, r.,irI r~ 0 rn
I HEREBY DESIGNATE MY CONTRIBUTION OF $ L- FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER 4, 1986.
/
SIGNED:ft -
77llml-l W*1
TO: FRANK N. ZULLO, TREASURERCHRIS ODD FOR SENATE
FROM: ,oA c'v -O
I HEREBY DESIGNATE MY CONTRIBUTION OF $ . FOR THE GENERALELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: 'Dory i c
I HEREBY DESIGNATE MY CONTRIBUTION OF $ 30o
ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
SIGNED: ?
?m I v m-k- o
25250 ROCKSIDE ROAD
BEDFORD HEIGHTS. OHIO 44146
CHRIS DODD FOR SENATECONTRIBUTION DESIGNATION
As a member of the Senator's Circle I pledged up to$2,000 to Chris Dodd for Senate Committee; $1,000of which was designated to the July 18, 1986 Conventionand the balance of which was desiqnated for the 1986General Election.
January 14, 1988FRED RZEPKA_...
TO: FRANK N. ZULLO, TREASURERCHRIS OODD FOR SENATE
FROM: -i --. S .'_-
I HEREBY DESIGNATE MY CONTRIBUTION OF $ 125-ELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
S IGNED:
TO: FRANK N. ZULLO, TREASURERCHRIS OD FOR SENATE
I HEREBY DESIGNATE MY CONTRIBUTION OFELECTION TO BE HELD ON NOVEMBER 4, 1986.
FOR THE GENERAL
SIGNED:
TO: FRANK N. ZULLO, TREASURERCHRIS DOD FOR SENATE
FROM: 4Lbyu 8+t 1
I HEREBY DESIGNATE MY CONTRIBUTION OF $ WOO- _ FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED: 1,"g
s? ,, •
January 14, 1988
Abraham Temkin144 Chestnut Hill Rd.Torrington, CT 06790
Mr. William Oldakerc/o Manett & Phelps, Attorneys at Law1200 New Hampshire Avenue N. W.Suite 200
0. Washington, D.C. 20C76
( To Whom it May Concern:
As a member of the Senator's Circle, I pledged up to
$2000.00 to the Chris Dodd for Senator campaign of which $1000.00was designated to the July 18, 1986 convention and the balance of
p. which was designated for the 1986 General Election.
Yours Truly,
9 r ha-m Temkin
'i-
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM:'4tWCt kO f
I HEREBY DESIGNATE MY CONTRIBUTION OF $_____ FOR THE GENERALELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:/ uz- ,-
FROM: -jxme S
TO: FRANK N. ZULLO, ,,AURC.CHRIS DOD FOR SENATE
I HEREBY DESIGNATE MY CONTRIBUTION OF $ IC) Q) FOR THE GENERAL
ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
i 4voe- , r t.* "A
TO: FRANK N. ZULLO, TREASURERCHRIS DODD FOR SENATE
FROM: Motleki ?A~ 4C
I HEREBY DESIGNATE MY CONTRIBUTION OF $ / CELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
R THE GENERAL
/,9w o
14EPO9O RECEIPTS AND DISSURSEM ENTs-- r an Authodrd CommItte
(Summary Page)
Chris Dod for SenateI * 076694
2670 Mi n Street 0 YES aN
City. aW4 Zi Go 0 0161 If edjm I WNas 11 Ps1i, uepenh.Glastonbury, CT 06033
4. TYPE OF REPORT
April 15 Qiartery Report
July 15 Qawely Report
October 15 Qiartorly Report
January 31 Year End Report
July 31 Mid Year Report (Non-election Year Only)
report contains activity for - 0 Primary Election
type of lemoal
election on ... in the State of
O Thirtieth day report following the General Election
on in do State of
O Termination Report*Including 1986 Senatorial Convention
6 General Election a Spoeal Election 0 Runoff Election
SUMMARY
Covering Period 1-1-82 . roug 6-30.82
Net Contributions (other than loans):
(a) Total Contri;)utions (other than loans) (from Line Ile)..........
tb) Total Contribution Refunds (from Line 20d) .................
(c) Net Contributions (other than loans) (Subtract Line 6b from 6a)...
Net Operating Expenditures:
(a) Total Operating Expenditures (from Line 17) ................
(b) Total Offsets to Operating Expenditures (from Line 14) .........
(c) Net Operating Expcnditures (Subtract Line 7b from 7a) ..........
Column AThis Pe
-I
Column BCalendar Yoa-to-te
WIS18,210.00 S 18,210.00
8,$_ 18,210.00
S 12,231.39 $ 12,231.39
$ 362.86 $ 362.86
11. 868.538. Cash on Hand at Ciose of Reportlng Pcriod (from Line 27) ........... $ 19,581 .99
9. Debts and Obligations Owed TO the Committee(Itemize all on Schedule C or Schedule D) .................... S
0. Debts and Obligations Owed BY the Committee(Itemize all on Schedule Cor Schedule 0) .................... $ 940.56
I cet~fytt~a I ave wY~Iad tis epor andto-he-bt:ofmy kowldge....blie
I cortli1 tt I have oxMM!Ined this FVPor11m to fth bile of mV knowlodpo vW bo~lfit is trUe, eorTeci end comlete.
Ker "T CL~..( !~ 4 rC4~TyPe of Print Nane of Troomurm,
11,868.53
For furthw infonatlan, 01nact;
Fejm*aW Elaciion CnmlsaionToil Free 800-424-9S30Local 202.5234068
NOTE: Srmiwlion of Isl, oroetwous, OF icofYleO inforrmatiion my subject the peinion signing this Reonpf to tie penalties of 2 U.sC. §437g
AU p rerviwoft af FEC FORM 3ad FEC FORM 3e ae emes aed heuW n o floea be umd.
I I I I ][ II :FkC FORM3 ,'8o,
1:30
This
- d ,i m l ,
M~ Twelfth day report preceding
! .,WU LE P.
A. Full lNmk Malling Add. swad ZIP Cods Nam. of employer Dow 41110014. Anount of EachHealth Insurance Political O .. I dlv.l r) uthis ,, .
Action Committee1750 K Street, N.W. J3/10/82 $1,000.00Washington, D.C. 20006 Ocpto T
Recipt For: 0 Primary VGeeralP C U3 Other (specity): Agr.gae Yearto.Oat-s1 JL O(JO0 ,B. Full Name. Miling Addri and ZIP Code Noma of Employer Q s (month. Amount of Ea.Independent Insurance Agents . day. Yea I Receipt This Peoof America, Inc. (NAPAC)
1120 19th St., N.W. Suite 503 3/15/821 $1,000.00Washinzton, D.C. 'Occupation
Receipt For: 1 Primary UGebner , PAC0 Other (specify, Aggregate ea--to-Date-S 1 000.00
C. Full Name. Mailing Address and ZIP Code I Name of Emplover Caie (-onin A%.noint of ..: cnInsurance Association of CT. (1,V. veerI R ecevtThisro
"4 PAC - Federal60 Washington St., Suite 1304 __ 5/5/82 $1,500.00
CHart ford CT ccpationReceiptr ;or: -P~m~ PACI C- ,-,er 'c p ,,,). Agreagze Year.oCa 1,I500. 00. Fuil Natmo. Faig ' A dres and ZIP Code Na're or EmpoCver Da te ('1onth, Ai ,C "t Ej-,.
American Council of Life jda, ,eaI Rcc.N-.tT,-P.:'j,9 Insurance PAC1850 K Street, N.W. _ _3/30/82 $1,000.00._Washingtnn,,__.DC_ 20o6
r'ece p: Fcor ': Primary, OGneral -PAC-CAr o ea e;.r t c .)zto -S
aul emo. Mailing Addre and ZIP Code Name of E rmAoyer Da.e fmro r.. AOur ,Municipal Securities Industry Va,, , ,,. ,-
C _ PAC490 L'enfant Plaza East, S.;. 1/8/82 $ 500.00
le.e . t 1PrinGcreral PAC,,-. ',p.,i _, ,- lee. OO .e-5 UU ro- 7
r. rull F~nrr rinJlq AddrUOi Z UIP CodeThe Nat'l Assoc. of LifeUnderwriters PAC (LUPAC)
1922 F Street, N.W.Washington, D.C. 20006
1 Oc*tFor F#: a Primaryriother (specity):
a. Fulh Name UMbam Ad *m end ZIP CodsSecurities Industry PAC190 L'enfant Plaza East,Washington, D.C. 20024
0.4ame of Emofrif or
ccuai ion-
Do-* (month,
day, year)
3/16/82
Aro,mn of E.am
RW!,0 Thi. Per 4
$1,000.00
PAC[ (FS7,,T, 11-t-Ji- UUU. T OT
homene of Frnvloyer
S.W.
Date !'rinth, Iday. veer)
Ar ount ,# I ec'.
Reeipti 7r,. I pa rl I
11/8/82 $ 500.00
f ,eceipt For: P i. er t. o PA C
' Oher (W egfV ) 0r .. o Pri ar .I e. -o P5 U U
SUBTOTAL of Recei-o T, Page :, lonoo I
TOTAL ,,, '', ., i * r. ' , ' .
6,500.00
S,500.00
II
. E ,, 6-.rL) RECEIPTS
I
i
llilil e o| IEmployq I
e 5WIIsal 'of ae'
Information copied from such RApofl or Slatrmnsa may not be sold o, uW by WW person got the 0010M of w lIoge TOlbu1oufts or 4VAmecial Purpoies, other then using the nwm nd edersN of Muy politicll Co0111 Itl to solillt contribtnIokn fram such eoauewe.
amo of Committe (In Full).CHRIS DODD FOR SENATE
!
RECEIVEDFEDERw L CILECTIO COMMiSSION
NlIA l. ROOM
68 FEB -9 PH I0:12
* T'6149 Edinburgh CourtAgoura, CA 91301
February 8, 1988
Mr. Lawrence M. NobleGeneral CounselFEDERAL ELECTION COMMISSIONWashington, D.C. 20463
Dear Mr. Lawrence:
With respect to the matter - MUR 2554 - I am respectfully requesting anextension of time so that my Attorney can look into the matter.
I am being represented by: Mr. Eric Kleinfeld, Esq.MANATT, PHELPS, ROTHENBERG & EVANS1200 New Hampshire Avenue N.W.Suite 200Washington, D.C. 20036
Thank you for your courtesy.
Very truly yours,
Frank Jan 'eK
FJ/jm
eo
-7'
!ZP
Frw-fp-m - ". ' t , -;' -"' 1 1 114Y*1;7 " 7; - - , " . I 7T- I -- - - -
777
SCN130V1 .L EQJG IL,,AtiK.,. .so.
ADDUSS:
TELEPUON:
Hnt)AT, AiELe ar g FA/W S
-O2,0 K$i,)O), 3).. 126022- ) 4+'W - L-500
The above-named individual is hereby designated as my
counsel and is authorized to receive any notifications and other
communications from the Commission and to act on my behalf before
the Commission.
Date' Siqnature /
RESPONDENT'S NAME:
ADDRESS:
HOME PHONE:
BUSINESS PHOME:
SC, i
-7,7 IF T 7-7-" V?, 7wIF CWM U NO
"~ ~
MANA'T1 PHELPS, ROTHENUIERG & EVANSA WAVY6I'WOP MNeUwA A @
ATTORN5YS AT LAW
1IOO NEW HAMPSHIRE AVNUE.0 N.W.
SUITE 800WASHINGTON, D.C. 80030
TELIPHONE I2081 403-4300
February 17, 1988
Anne Weissenborn, EsquireOffice of the General CounselFederal Election Commission999 E Street, N.W.Washington, D.C. 20463
Re: MUR 2554, Frank Jansen
Dear Anne:
Attached you will find the response of Frank Jansen to theCommission's reason to believe determination in MUR 2554.
Should you have any questions concerning this or a previousresponse, or should you require any additional information, pleasefeel free to contact me.
Sincerely,
i . Kleinfeld
88F3 10 4O:59
IIS VWT OLV SOULEADLOS AN66LEM CALfl@SA 00064
ma 3W,4000
-'9
69io -AnnCO
, 40W , I" - I-
MANATT, PHELPS, ROTHEN|CKG & EVANSA POWWOOGNMP ONOLW Pmgemiwm. 06
ATTOSNY I AT LAW
1200 NEW NAMPSNIUE AVENUI. N.W,
SUITE SOD
WASHINGTON. O.C. 3003U6l"IMl M Ows" SULWi
TELEPHONE 12O) 463-4300 LOS ONNUM CN6 000
UsS30600
February 16, 1988
Lawrence N. Noble, EsquireGeneral CounselFederal Election Commission999 E Street, N.W.Washington, D.C. 20463
Re: MUR 2554, Frank Jansen
Dear Mr. Noble:
This letter constitutes the response of Frank Jansen in MUR
2554 to the Commission's reason to believe determination of
December 4, 1987. Mr. Jansen believes that upon review of this
response, your office will conclude that no further action is
warranted in this matter.
A. Introduction
The General Counsel's Factual and legal Analysis detailed
three contributions made by Mr. Jansen from 1983 to 1986 to the
Chris Dodd for Senate Committee (hereinafter the "Committee").
The basis for the Commission's reason to believe determination
that the Federal Election Campaign Act of 1971, as amended,
(hereinafter the "Act"), 2 U.S.C. S 431 et seq., may have been
violated was a review by the Commission's Report Analysis Division
L~vrceM, Noble, Zsqwfto744,ur 16, 1988Pag
which noted possible contributions in excess of. the ActIs
limitations.
The contributions noted by the Reports Analysis Division
follow:
Date of Amount ofContribution Contribution
11/21/83 $100012/13/83 12501/31/86 1125
B. Contribution of 12/13/83
On December 13, 1983, Mr. Jansen made a contribution to the
Committee in the amount of $125. This contribution was intended
by Mr. Jansen to be applied to the 1986 general election, and he
contemporaneously executed a designation statement indicating
that. For reasons unknown to Mr. Jansen, this contribution was
not noted correctly on the Committee's report to the Commission
of receipts and disbursements for this period.
Mr. Jansen asserts that he should not be held responsible
for an error by the Committee, especially in light of the
designation statement which he signed.
C. Contribution of 1/31/86
Mr. Jansen does not deny making this contribution over two
years after his previous contributions; due to passage of time he
simply did not recall the earlier amounts. However, the full
$1,125 was refunded by the Committee on April 30, 1986.
EVANSasROTHEN
zMANATT, PH ELPS. f07p3 r EVANS
Lawrence i. voble ,rwsqireFebruary 16, 1986Page 3
Mr. Jansen stresses that he had no intention of exceeding
the Act's contribution limits or of violating the law. To his
knowledge, when the Committee discovered the problem, it
immediately refunded the contribution. The refund was made in
ninety days which is a reasonable amount of time.1 /
C. Conclusion
Accordingly, based on the designation submitted and the
refund made, Frank Jansen respectfully requests that your office
recommend to the Commission that it take no further action in
this matter and close the file with respect to him. Alternatively,
,) should the Commission determine not to close its file, Mr. Jansen
desires to resolved any outstanding issues through conciliation
oD prior to a determination of probable cause.
William C. Ol'd/aaerManatt, Phelps, Rothenberg& Evans
Enclosure
I/ Prior to April 8, 1987, the Commission regulations did notspecify what amount of time was considered reasonable forcontribution refunds.
TO: FRANK N. ZULLO TREASURERCHRIS 0000 FOR SENATE
FROM:. lrOfLI~ "VCAVVSCV%
I HEREBY DESIGNATE MY CONTRIBUTION OF S I Z.ELECTION TO BE HELD ON NOVEMBER 4, 1986.
SIGNED:
FOR THE GENERAL
I ~ znn(I
., . ; ' . ii f . ", , ' . '." ' *: ; :.....,kFUMMRA L NNIO
S11~ 0005
February 8, 1988
Anne Weissenborn, EsquireOffice of the General CouFederal Election Comissi999 Z Street, N.W.Washington, D.C. 20463
Dear Mrs. Weissenborn:
r
insel C ion ..M
Re: MUR 2554, Chris Dodd for Senate andFrank N. Zullo, as Treasurer
MEOe
This letter is to supplement the response of the Chris Doddfor Senate Committee (hereinafter the "Committee") and Frank N.Zullo, as Treasurer to the Commission's reason to believedetermination in MUR 2554.
The following fifteen designations, attached to theCommittee's original response in this matter, were obtained bythe Committee from the contributors at the time their contributionswere made:
Robert N. DowneyFrank JansenJohn R. LaceyClifton LeonhardtJay B. LevinF. Peter LibassiHarvey N. MalloveEdward MarcusDominic PalumboMax M. ShapiroGeoffrey StackHerbert StorchThomas WolffCommunications Workers of America PACWashington PAC
w w
wOAgNOt on@0. 60.. -mo
MAQATT, PHELPS, ROTHENseI*& EVANS
Anne Weissenborn, EsquireFebruary 8, 1988Page 2
Committee officials obtained contemporaneous statements ofelection designation for all contributors who intended tocontribute to both the 1986 Convention and general elections. Aswas set forth in the Committee's original response to theCommission certain of these contributors were members of theComittee's fundraising program, the Senator's Circle, as a partof which they expressly and contemporaneously agreed to contribute$1,000 to the Committee for the 1986 Convention and $1#000 forthe general election. However, at this date, the Committee isunable to locate the designation statements for all of thecontributors noted in the General Counsel's Factual and LegalAnalysis of this matter. Accordingly, the following fourcontributors have re-executed a pledge to demonstrate to theCommission that it was their intent to contribute to the Comitteewithin the legal limits of the Federal Election Campaign Act:
Roger FreedmanMatthew R. KornreichFred RzepkaAbraham Temkin
We trust that this letter will be of assistance to you.Should you desire any further information, please do not hesitateto call.
Sincere y,
William C. Oldaker
-,ON
~PEIE/ElFEOERIs.: -r,
3-F TDIM TI O -7 U Nt4: 13 4qIn the Matter of ))Chris Dodd for Senate Committee )Frank N. Sullo, as treasurer ) MUR 2554Chris Benney )Frank Jansen)Matthew R. Kornreich )Herbert Storch )
GENRAL COUUSr-'S REPORT
I. BaCKGROUND
Following referral to the Office of the General Counsel by
the Reports Analysis Division of the issues involved in this
matter, the Commission, on December 4, 1987, found reason to
believe that the Chris Dodd for Senate Committee, ("the
Committee") and Frank N. Zullo, as treasurer, had violated
2 U.S.C. S 441a(f) by accepting excessive contributions from
individuals, political committees, and an unregistered committee.
The Commission also found reason to believe that Chris Henney,
oD Frank Jansen, Matthew R. Kornreich and Herbert Storch had
violated 2 U.S.C. S 441a(a) (1) (A by making excessive
contributions to the Committee. Notifications were sent to these
respondents. l/
On January 26, 1988, this Office received responses from
counsel on behalf of the Committee, Chris Henney and Matthew
Kornreich which asked that the Commission take no further action
and close the file in this matter, or, alternatively, enter into
pre-probable cause conciliation. (Attachments 1, 2, and 3). On
-2-
February 18, 1988, this Office received a response from counsel on
behalf of Frank Jansen, which also requested that the Commission
take no further action or, alternatively, resolve the matter
through pre-probable cause conciliation. (Attachment 4). Barlier,
on December 22, 1987, Herbert Storch had responded to his
notification, designating his own counsel and providing copies of
correspondence from the Committee in 1986 concerning the
designation of one contribution and two refunds. (Attachment 5).
II. ANAkLYSIS
A. The Committee
The figure for apparently excessive contributions
contained in the First General Counsel's Report was $32,959.33. A
recalculation of the excessive contributions at issue has resulted
in the figure of $32,059 as the base from which the adjustments
discussed below should be applied. 2/
In his response counsel explains that the Committee, for
six years years prior to the 1986 reelection campaign of Senator
Christopher Dodd, undertook a program to raise funds for that
campaign. This program included establishment of the "Senator's
Circle," which was composed of individuals who pledged to
contribute to both his primary and general election campaigns.
Problems arose with the reporting of these contributions prior to
the July 18, 1986, date of the state party convention which was
held in lieu of a primary election. These problems fell into the
following categories:
2/ This recalculation includes the subtraction of $125 mistakenlyattributed to James E. Hartley, Jr. as an excessive contributionand of $1,000 apparently refunded to Herbert Storch in a timelyfashion.
tLOW
ouaml stat# tba twt-tu of tbo
contribution herwe at Issue, ftvety tram Loividuals and f4ur
from political ooatts e o desigated by the -ontributors
for a particular oleation.-but misreportd by the Commtittee,' 40
being for the other. As an example, Counsel states that an
individual night have designated one $1,000 contribution for the
Convention and one for the general election, but both were
reported as being for the general. In support of the
contributors' original intent, the Committee has produced signed
contemporaneous designation forms from ten individuals, Robert N.
Downey ($100), Clifton Leonhardt ($125.33), F. Peter Libassi
($250), Max Shapiro ($125), Frank Jansen ($125), Harvey
Mallove($150), Dominic Palumbo ($300), Geoffrey Stack ($500),
Thomas Wolff ($99.67), and Jay Levin ($500), and from
the Communication's Workers of America which show an intent to
contribute a particular amount to an election other than the one
reported. (See Attachment 1.) Application of the actual
designations eliminates 11 contributors from those which appeared
to have exceeded the limitations, and reduces the amount of
excessive contributions at issue by $3,275. 3
The Committee also has produced four designations
which generally state the contributors' intentions to give $1,000
to the Dodd campaign for the convention and $1,000 for the
general election. The forms signed by Roger Freedman and
3/ As will be discussed below, the designation received fromFrank Jansen covered only $125 of his apparent $1,250 inexcessive contributions.
Matthew R. *Oinreich are undated, while those signed by Fred..
RZepka and Abraham Temkin are dated January 14, 1988. Acordtg
to counsel all of these individuals originally signed statemnts
which can no longer be located by the Committee and all have te-
executed such pledges showing their intent to contribute within
the statutory limitation.
Because these latter four designations post-date the
contributions by such a long period of time, they do not erase
the $2,030 in excessive contributions involved; however, these
late designations should be treated as mitigating factors.
b. Automatic Designations to Next Election
Counsel argues further that in situations where
contributions were not designated for a particular election, they
should have been reported by the Committee as being for the next
election. The Committee, however, reported five undesignated
Nrcontributions received before the convention as being for the
general election, with the result that the contributors appeared
to have exceeded their limitations for that later election. The
contributions assertedly so misreported were from Pauline
Harrison, Daniel Cosgrove, John Lacey, Edward Marcus, Herbert
Storch, and Washington PAC, and totaled $2,750.
Former 11 C.F.R. S 110.1(a) (2) (ii), in effect in
1986, provided that if a contribution were not designated in
writing for a particular election, it should be considered to
have been made with respect to a primary election, caucus or
convention if made on or before the date of such election, caucus
0~? @ Lounti, Beoase the dat,, of.s *e dix
oontributions were rior to the date w h b n '00 ow, at which
Unator Dodd was a candidate, the com*tto did aisreport these-
contributions pursuant to the reguiLatitias., P-ropor repting
vOuld have reduced the amounts given by tbes4icontributors to the
general election, brought then within the contribution
limitations, and reduced the overall figure for excessive
contributions by $2,750.
c. Undocumented Contributions
With regard to the $250 in excessive contributions
from Philip Lorber, counsel argues that a $317 contribution from
this contributor on June 10, 1985 was misreported in that
Mr. Lorber was a member of the *Senator's Circle" and had pledged
$1,000 for the convention and $1,000 for the general election.
No designation by the contributor has been received, however, and
in its absence the finding of an excessive contribution stands.
The same holds true of $13 received from F. Peter Libassi over
and above the misreported $250 discussed above.
Counsel also asserts that $1,000 contributions
received from Independent Insurance Agents of America and from
Life Underwriters PAC in March, 1982 were for the convention but
misreported. The only documentation furnished in support of this
assertion is a copy of the Committee's Summary Page for the
period January 1, 1982 through June 30, 1982, which states that
the report is for activity for the general election but also
includes the 1986 Senatorial convention. This notation on the
Summary Page does not, however, address directly the intent of
-6-
the two political committees whose contributions are here at
issue. Therefore, the Commission should continue to consider the
contributions from these committees as excessive.
d. Refunds
Counsel further states that refunds have been made
to individuals and committees where no designation was received
and the contribution limitations were exceeded. These refunds
were made more than sixty days after receipt of the
contributions. According to the Committee's reports and to the
chart accompanying counsel's response, refunds totaling $21,575
have been made to sixteen individuals4-and six committees. -
Such refunds serve to mitigate the excessive contributions
involved.
In summary, it now appears that the Committee
accepted $26,034 in excessive contributions, $21,575 of which has
been refunded, $2,030 of which represents late designations, and
$2,429 of which remains to be refunded or documented as to
appropriate designations. This Office recommends that the
Commission agree to enter into conciliation prior to a finding of
probable cause to believe.
B. Matthew R. Kornreich
According to information provided by counsel and
reported by the Committee, Mr. Kornreich contributed a total of
4/ Charlotte Ford, Steven Greenberg, Peter Rzepka, RichardGrossman, Dorothy Godwin, Harold Levine, Gary Liston, LudwigUpenicks, Samuel Golding, Frank Jansen, Chris Henney, MatthewKornreich, Dominic Palumbo, Rose LaRose, Miles Rubin and HerbertStorch.
5/ Seafarers' PAC, NACSAPAC, Fannie PAC, AFSCME, DemocraticTown Committee of Hartford, and Pirelli Cable Corp. PAC.
#420908 to thek Oit*z 183,14 19 4 #.10o
vb was reported as bet .'for 0h olnvti, a" $770" forte
general eection. At.tache .to foun,011 rJO.Y * iiS. . a,
4*signation statement receate y signed b r. Mueih nd thus
not submitted with his oontributionsl this statement epresss
Mr. Kornreich's intention to contribute $.1,000 to the oonvention
and $1,000 to the general election.
According to counsel, the Committee misxeported a $230
contribution made by Mr. Kornreich as being for the convention.
As discussed above with regard to the Committee, this assertion
is supported by a designation statement submitted recently which
is intended to replace one which the Committee has been unable to
locate. Application of the $230 to the general election reduces
the apparently excessive amount of Mr. Kornreich's contributions
for the convention from $1,130 to $900 and raises his total
contributions for the general election to $1,000. Counsel also
states that Mr. Kornreich intended his contribution to be made
jointly with his wife, and that he was "unaware of any legal
requirement that a contribution from husband and wife in a joint
account required a signature from both contributors." The
Committee refunded the $900 excessive contribution approximately
ninety days after its receipt. Counsel asks that no further
action be taken as to this respondent or that the Commission
enter into pre-probable cause conciliation..
Given the evidence of misreporting with regard to the
designation of Mr. Kornreich's $230 contribution, it appears that
his actual excessive contributions totalled $900. This .f, e
recommnds that the Commission agree to 4iter into conciliation
prior to a finding of probable cause to believe.
C. Chris Henney
The Commission's finding of reason to believe as to
Chris lenney involved the making of $2,250 in contributions to
the Committee for the convention. Counsel, in his response on
behalf of Mr. Henney, states that the respondent does not deny
making the three contributions involved but *simply did not
recall his earlier contribution' when making the later. The
Committee has refunded $1,250. Counsel requests that the
Commission either take no further action or enter into pre-
probable cause conciliation.
This Office recommends that the Commission agree to
enter into conciliation prior to a finding of probable cause.
D. Frank Jansen
Mr. Jansen's apparently excessive contributions
included the $125 misreported by the Committee and thus no longer
at issue, and $1,125 refunded in April, 1986. Counsel emphasizes
that Mr. Jansen 'had no intention of exceeding the Act's
contribution limits or violating the law, and also argues that
the refund was made in ninety days and, thus, within "a
reasonable amount of time.' The Commission is requested either
to take no further action or to enter into pre-probable cause
conciliation.
'~~r ~m
"9-
This Office recommends that the Commission agree to enter
into conciliation prior to a finding of probable cause.
B. Herbert Storch
Mr. Storch's apparently excessive contributions
included an undesignated $1,000 given prior to the convention but
reported by the Committee as being for the general election; $250
given on June 30, 1986 and refunded on October 10, 1986; and
$1,000 given on July 18, 1986 and refunded in September, 1986.
Counsel for the Committee states that the latter refund was made
on September 5, 1986; however, the documentation supplied by
Mr. Storch indicates that while the check was dated September 5,
it was mailed on September 16. In either event, the second
refund was made within 60 days of the committee's receipt of the
contribution. In light of the misreporting of $1,000 by the
Committee, and the timely refund of the second $1,000,
Mr. Storch's excessive contributions still at issue total only
$250.
Given the amount of the excessive contributions here at
issue, this Office recommends that the Commission take no further
action with regard to the contributions made by Mr. Storch and
close the file as it pertains to this respondent.
III. DISCUSSION OF CONCILIATION PROVISIONS AND CIVIL PENALTY
3. Approve the attached ow WOMt .
Date -- itt 4 a Counsel
Attachments1. Responses on behalf of respondents (5)2. Conciliation agreements (4)3. Letters (5)
Staff Person: Anne Weissenborn
33701 TIE FEDERAL ELECTION COMMISSION
In the Matter of
Chris Dodd for Senate CommitteeFrank N. Zullo, as treasurerChris HenneyFrank JansenMatthew R. KornreichHerbert Storch
MUR 2554
CERTIFICATION
I, Marjorie W. Emmons, recording secretary for the
Federal Election Conmission executive session Qf March 22,
1988, do hereby certify that the Commission decided by a
vote of 5-0 to take the following actions in MUR 2554:
1. Agree to enter into conciliation prior tofindings of probable cause to believe withthe Chris Dodd for Senate Committee andFrank N. Zullo, as treasurer, and withChris Henney, and Frank Jansen.
2. Take no further action against Herbert Storchor Matthew R. Kornreich and close the filewith regard to these individuals.
(continued)
4•
Page 2Federal Election CommissionCertification for MUR 2554March 22, 1988
3. Direct the Office of the General Counsel toamend the conciliation agreements attachedto the Counsel's March 7, 1988 report toconform to the actions noted above and toprovide for the contends language as agreedduring the meeting discussion.
Commissioners Aikens, Elliott, Josefiak, McGarry, and
Thomas voted affirmatively for the decision; Commissioner
McDonald was not present at the time of the vote.
Attest: -
_ / _ 6_
U Marjorie W. EmmonsSecretary of the Commission
Date
soft/
FEDERAL ELECTION COMMISSIONWASHINGTON. D C 20463 March 30, 1988
CERIFIED MAIL - RETUR RC? WOBURN
William C. Oldaker, EsquireManatt, Phelps, Rothenbergand Evans
1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
RE: MUR 2554Chris Dodd for SenateCommitteeFrank N. Zullo, astreasurer
Dear Mr. Oldaker:
On December 4, 1987, the Federal Election Commission foundreason to believe that your clients had violated 2 U.S.C.S 441a(f). On March 22 , 1988, the Commission determined toenter into negotiations directed towards reaching a conciliationagreement in settlement of this matter prior to a finding ofprobable cause to believe.
Enclosed is a conciliation agreement that the Commission hasapproved in settlement of this matter. If your clients agreewith the provisions of the enclosed agreement, please sign andreturn it, along with the civil penalty, to the Commission. Inlight of the fact that conciliation negotiations, prior to afinding of probable cause to believe, are limited to a maximum of30 days, you should respond to this notification as soon aspossible.
If you have any questions or suggestions for changes in theagreement, or if you wish to arrange a meeting in connection witha mutually satisfactory conciliation agreement, please contact
Letter to William C. OldakerPage 2
Anne A. Weissenborn, the attorney assigned to this matter. at
(202) 376-5690.
Sincerely,
Lawrence K. NobleGeneral Counsel
BY: Lois G. IrnerAssociate General Counsel
EnclosureConciliation Agreement
FEDERAL ELECTION COMMISSIONWASHINGTON. DC. 20*3
March 30, 1988
William C. Oldaker, EsquireManatt, Phelps, Rothenbergand Evans1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
RE: MUR 2554Matthew R. Kornreich
Dear Mr. Oldaker:
On December 15, 1987, Matthew R. Kornreich was notified thatthe Federal Election Commission had found reason to believe thathe had violated 2 U.S.C. S 441a(a) (1) (A). On January 25, 1988,you submitted on his behalf a response to the Commission's reasonto believe finding.
After considering the circumstances of the matter, theCommission determined on March 22, 1988, to take no furtheraction against Mr. Kornreich, and closed its file as it pertainsto him. The file will be made part of the public record within30 days after the matter has been closed with respect to allother respondents involved. Should you wish to submit anyfactual or legal materials to appear on the public record, pleasedo so within ten days of your receipt of this letter. Suchmaterials should be sent to the Office of the General Counsel
The confidentiality provisions of 2 U.S.C. S 437g(a) (4) (B)and S 437g(a) (12) (A) remain in effect until the entire matter isclosed. The Commission will notify you when the entire file hasbeen closed.
The Commission reminds Mr. Kornreich that his making ofexcessive contributions to the Chris Dodd for Senate Committeeappears to have been a violation of 2 U.S.C. S 441a(a) (1) (A). Heshould take immediate steps to insure that this activity does notoccur in the future.
Letter to William C. OldakerPage 2
If you have any questions, please contact Anne A.Weisaenborn, the attorney assigned to this matter, at (202) 376-5690.
Sincerely,
Lawrence M. NobleGeneral Counsel
BY: Lois G. LernerAssociate General Counsel
FEDERAL ELECTION COMMISSIONWASHINCTOND.C. 20463
MZarch 30, 1988
Joel F. Brenner, EsquireStorch and Brenner1001 Connecticut Avenue, N.W.Washington, D.C. 20036
RE: MUR 2554Herbert Storch
Dear Mr. Brenner:
On December 15, 1987, Herbert Storch was notified that theFederal Election Commission had found reason to believe that hehad violated 2 U.S.C. S 441a(a) (1) (A). On December 22, 1987, hesubmitted a response to the Commission's reason to believefinding.
After considering the circumstances of the matter, theCommission determined on March 22, 1988, to take no furtheraction against Mr. Storch, and closed its file as it pertains tohim. The file will be made part of the public record within 30O days after the matter has been closed with respect to all otherrespondents involved. Should you wish to submit any factual orlegal materials to appear on the public record, please do sowithin ten days of your receipt of this letter. Such materialsshould be sent to the Office of the General Counsel.
The confidentiality provisions of 2 U.S.C. S 437g(a) (4) (B)and S 437g (a) (12) (A) remain in effect until the entire matter isclosed. The Commission will notify you when the entire file hasbeen closed.
The Commission reminds Mr. Storch that his making ofexcessive contributions to the Chris Dodd for Senate Committeeappears to have been a violation of 2 U.S.C. S 441a(a) (1) (A).He should take immediate steps to insure that this activity doesnot occur in the future.
Letter to William C. 01dakerPage 2
If you have any questions, please contact Anne A.
Weissenbotnt the attorney assigned to this matter, at (202) 376-
5690.
Sincerely,
Lawrence M. NobleGeneral Counsel
BY: Lois G. LerderAssociate General Counsel
FEDERAL ELECTION COMMISSIONWASHINGTON. (C 20461 . lrdc. 30, 1988
CERTIFIED NAIL - RETU RC3IPY ,QU=f)
William C. OldakerManatt, Phelps, Rothenbergand Evans
1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
RE: MUR 2554
Chris Henney
Dear Mr. Oldaker:
On December 4, 1987, the Federal Election Commission foundreason to believe that Chris Henney violated 2 U.S.C.S 441a(a) (1) (A). On March 22, 1988, the Commissiondetermined to enter into negotiations directed towards reaching aconciliation agreement in settlement of this matter prior to afinding of probable cause to believe.
Enclosed is a conciliation agreement that the Commission hasapproved in settlement of this matter. If your client agreeswith the provisions of the enclosed agreement, please sign andreturn it, along with the civil penalty, to the Commission. Inlight of the fact that conciliation negotiations, prior to afinding of probable cause to believe, are limited to a maximum of30 days, you should respond to this notification as soon aspossible.
If you have any questions or suggestions for changes in theagreement, or if you wish to arrange a meeting in connection witha mutually satisfactory conciliation agreement, please contact
Letter to William C. OldakerPage 2
Anne A. Weisenborn, the attorney assigned to this matter, at
(202) 376-5690.
Sincerely,
Lawrence 14. NobleGeneral Counsel
BY: Lois G. LerneAssociate General Counsel
EnclosureConciliation Agreement
FEDERAL ELECTION COMMISSIONWASHINGTON. D C. 20463 Iarh 301 1988
CERTIFIED NAIL - RETUR RECEIT m YU)1
William C. Oldaker, EsquireManatt, Phelps, Rothenbergand Evans
1200 New Hampshire Avenue, N.W.Washington, D.C. 20036
RE: MUR 2554
Frank Jansen
Dear Mr. Oldaker:
On December 4, 1987, the Federal Election Commission foundreason to believe that Frank Jansen violated 2 U.S.C.S 441a(a) (1) (A). On March 22, 1988, the Commission determined toenter into negotiations directed towards reaching a conciliationagreement in settlement of this matter prior to a finding ofprobable cause to believe.
Enclosed is a conciliation agreement that the Commission hasapproved in settlement of this matter. If your client agreeswith the provisions of the enclosed agreement, please sign andreturn it, along with the civil penalty, to the Commission. Inlight of the fact that conciliation negotiations, prior to afinding of probable cause to believe, are limited to a maximum of30 days, you should respond to this notification as soon aspossible.
If you have any questions or suggestions for changes in theagreement, or if you wish to arrange a meeting in connection witha mutually satisfactory conciliation agreement, please contact
Letter to William C. OldakerPage 2
Anne A. Weissenborn, the attorney assigned to this matter, at
(202) 376-5690.
Sincerely,
La rence 1. NobleGeneral Counsel
BY: Lois G. Lerer
Associate General Counsel
EnclosureConciliation Agreement
P4ANAT 1~ PH[LP, ROTH INU ft £ CVANSA ISUPl~q WSSMSUIm SSPNSS
ATTOMNEYS AT LAW
1800 NEW NAMPSMlSg AVEWUSR. N.W.
WAISI"N8T@N DC *4100
TgI[aI NNg WmOES 4634300 O
July 8, 1988
Anne Weissenborn, EsquireOffice of General CounselFederal Election Comission999 E Street, N.W.Washington, D.C. 20463
14Ms WU O.LWPS6 @o~uAmLOG uiegw. GWAUPWl goose
0*3545000
cc)
I-
r
me --
001
2m ci)
Re: NUR 2554, Chris Dodd for Senateand Frank N. Zullo, as Treasurer
Dear Anne:
Enclosed please find a letter which we received from theChris Dodd for Senate Committee concerning the remainingcontributions to be refunded in MUR 2554. These sums will beduly reported on the applicable FEC report.
Should you desire any additional information, please do nothesitate to contact me.
Sincerely,
Eric F. Kleinfeld
enclosure
KETM SCULLY
JMID LEOWN, ON CI T0645t7
Eric F. KleinfeldManatt, Phelps, Rothenberg & Evans June 30, 19881200 New Hampshire Avenue, N.W.Suite 200Washington, D.C. 20036
Re: Chris Doddfor Senate Committee
Dear Eric,
Please be advised that the Friends of Chris Dodd Committee,formerly known as the Chris Dodd for Senate Committee, has issuedthe following refund checks:
National Association of Life Underwritters $1,000Independent Insurance Agents of America $1,000Kamen Corporation Good Government Fund $166Philip Lober $250Peter F. Libassi $13
Please contact me if you have any questions or requireadditional information.
Sincer
Friends of Chris DoddCommittee
FRlRECEJIVED
880OCT 28 PHl12: 40
Anne Weissenborn, EsquireOffice of General CounselFederal Election Comission999 E Street, N.W.Washington, D.C. 20463
Re: MUR 2554 Chris Dodd
for Senate Committee
Dear Anne:
Enclosed, please find a signed conciliation agreement inMatter Under Review 2554.
Should you have any questions, please feel free to contact me.
Si cerely,
Prc F. Teinfeld
Enclosure
In the Matter of )
Chris Dodd for Senate Committee ) UR 4and Frank N. Sullo, Treasurer# et al. )
GURLC@Jl3L's 8 0IIz.. IMmm
Attached is a conciliation agreement which has been signed
by William C. Oldaker, the attorney for Chris Dodd for Senate
Committee, Chris Henney and Frank Jansen.
The attached agreement contains no changes from the
agreement approved by the Commission on July 26, 1988. A $5,000
check for the civil penalty has not been received.
II. RUIClUHTIfOI
1. Accept the attached conciliation agreement with ChrisDodd for Senate Committee and Frank N. Zullo, astreasurer, Chris Henney and Frank Jansen.
2. Close the file.
3. Approve the attached letter.
Lawrence 4. NobleGeneral Counsel
L4L~i7~ui1.BY: GDate l /Loisi G./LernerAssociate General Counsel
Attachments1. Conciliation Agreement2. Letter to Respondent
Staff Assigned: Sandra J. Dunham
BEFORE THE FEDERAL ELECTION COMMISSION
In the Matter of )Chris Dodd for Senate Committee ) MUR 2554and Frank N. Zullo, Treasurer, et al.
CERTIFICATION
I, Marjorie W. Enmons, Secretary of the Federal
Election Commission, do hereby certify that on November 14,
1988, the Commission decided by a vote of 6-0 to take
the following actions in MUR 2554:
1. Accept the conciliation agreement with ChrisDodd for Senate Committee and Frank N. Zullo,as treasurer, Chris Henney and Frank Jansen,as recommended in the General Counsel'sMEO report signed November 8, 1988.
2. Close the file.
3. Approve the letter, as recommended in theo General Counsel's report signed November 8,1988.
Commissioners Aikens, Elliott, Josefiak, McDonald,
tMcGarry, and Thomas voted affirmatively for the decision.
oAttest:
Date Marjorie W. Emmons(Secretary of the Commission
Received in the Office of Commission Secretary:Wed., 11-9-88, 11:45Circulated on 48 hour tally basis: Wed., 11-9-88, 4:00Deadline for vote: Mon., 11-14-88, 4:00
FEDERAL ELECTION COMMISSIONWASHINGTON, D C 20463 N 22, 1988
William C. Oldaker, EsquireNanett, Phelps, Rothenbergand Evans
1200 New Hampshire Avenue, N.W.Suite 200Washington, D.C. 20036
RE: MUR 2554Chris Dodd for Senate Committeeand Frank N. Zullo, as treasurer,et al.
Dear Mr. Oldaker:
On November 14, 1988, the Federal Electiban Commissionaccepted the signed conciliation agreement submitted on yourclients' behalf in settlement of a violation of 2 U.S.C.SS 441a(f) and 441a(a)(1) (A), provisions of the Federal ElectionCampaign Act of 1971, as amended. Accordingly, the file has beenclosed in this matter. This matter will become a part of thepublic record within 30 days. If you wish to submit any factualor legal materials to appear on the public record, please do sowithin ten days. Such materials should be sent to the Office ofthe General Counsel.
Please be advised that information derived in connectionwith any conciliation attempt will not become public without thewritten consent of the respondent and the Commission. See2 U.S.C. 5 437g(a)(4)(8). The enclosed conciliation agreement,however, will become a part of the public record.
Enclosed you will find a copy of the fully executedconciliation agreement for your files. If you have anyquestions, please contact Sandra J. Dunham, the staff memberassigned to this matter, at (202) 376-8200.
Sincerely,
Lawrence M. Noble
;GeneraC unsel
BY: s LernerAssociate General Counsel
EnclosureConciliation Agreement
B~rom Y IEM ZLUCTYIm COISZOU
In the Matter of ))Chris Dodd for Senate Committee ) KUR 2554Frank N. Zullo, Treasurer, et al. )
COCILI&TONAG333
This matter was initiated by the Federal Election Commission
("the Commission'), pursuant to information ascertained in the
normal course of carrying out its supervisory responsibilities.
The Commission found reason to believe that Respondents Chris
Dodd for Senate Committee and Frank N. Zullo, as treasurer,
violated 2 U.S.C. S 441a(f). The Commission found reason to
believe that two Respondent contributors violated 2 U.S.C.
S 441a(a) (1) (A)
NOW, THEREFORE, the Commission and the Respondents, having
participated in informal methods of conciliation, prior to a
finding of probable cause to believe, do hereby agree as follows:
I. The Commission has jurisdiction over the Respondents
and the subject matter of this proceeding, and this agreement has
the effect of an agreement entered pursuant to 2 U.S.C.
S 437g(a) (4) (A) (i).
II. Respondents have had a reasonable opportunity to
demonstrate that no action should be taken in this matter.
III. Respondents enter voluntarily into this agreement with
the Commission.
IV. The pertinent facts in this matter are as follows:
1. Respondent, Chris Dodd for Senate Committee, is a
political committee within the meaning of 2 U.S.C. S 431(4).
-2-
2. Respondent, Frank N. Zullo, :e the tr6asurer
the Chris Dodd for Senate Committee.
3. 2 U.S.C. S 441a(a) (1) (A) limits to $1,0, th
amount which individuals and political committees ma0yoontriote
to a candidate or that candidate's authorized committee pot
election campaign.
4. 2 U.S.C. S 44la(a) (2) (A) limits to $5,000 the
amount which a multi-candidate committee may contribute to a
candidate or that candidate's authorized committee per election.
5. 2 U.S.C. S 441a(f)eprohibits the authorized
committee of a candidate from accepting contributions which
exceed the limitation set forth at 2 U.S.C. SS 441a(a) (1) (A) and
441a(a) (2) (A).
6. Former 11 C.F.R. S 110.1(a) (2) (ii) and present
11 C.F.R. S 110.1(b) (2) (ii) provide that undesignated
contributions should be considered as having been made with
regard to the next election.
7. Between 1981 and 1986 Respondent Committee
reported the receipt of $32,059 in contributions which appeared
to exceed the limitations at 2 U.S.C. S 441a(a) (1) (A) and
441a(a) (2) (A).
8. Respondent Committee submitted designations or
made refunds as follows:
a. Respondent Committee has submitted
designations which it contends are contemporaneous for $3,275 of
tbesi-contributions, so Ing±tet to ontriLbuto to an electio
other than the one reported.
b. Respondent Oomittee repottd undesignated
contributions received before the state party o0nvention
totalling $2,750 as being for the general election, rather than
for the convention.
c. Respondent Committee refunded $4,725 in
contributions prior to review and notification by the
Commission's Reports Analysis Division.
d. Respondent Committee refunded $9,850 in
contributions prior to the Commission's finding in this Matter
Under Review.
e. Of the remaining $11,459, Respondent
Committee has refunded $9,429 and obtained non-contemporaneous
designations for $2,030.
9. Of the contributions listed above, the Commission
made a finding concerning only two of the individual
contributors. Between 1984 and 1986, Respondent Chris Henney
contributed $2,250 to the Committee for the 1986 Connecticut
Democratic state convention held to nominate a candidate for
election to the United States Senate. Between 1984 and 1986,
Respondent Frank Janson contributed $2,150 to the Committee for
the 1986 state convention. The convention was held in lieu of a
primary election.
• -qulu.4-m
V. Between 1981 and 1986, excessive contributions
totalling $26,034 were accepted by Respondent Committee and its
treasurer in violation of 2 U.SoC. S 441a(f). By exceeding the
$1,000 limitation on contributions for a primary election
campaign, two Respondent contributors were in violation of
2 U.S.C. S 441a(a) (1) (A).
VI. Respondents will pay a civil penalty to the Federal
Election Commission in the amount of Five Thousand Dollars
($5,000.00), pursuant to 2 U.S.C. S 437g(a) (5) (A).
VII. The Commission, on request of anyone filing a complaint
under 2 U.S.C. S 437g(a)(1) concerning the matters at issue
herein or on its own motion, may review compliance with this
agreement. If the Commission believes that this agreement or any
requirement thereof has been violated, it may institute a civil
action for relief in the United States District Court for the
District of Columbia.
VIII. This agreement shall become effective as of the date
that all parties hereto have executed same and the Commission has
approved the entire agreement.
IX. Respondents shall have no more than thirty (30) days
from the date this agreement becomes effective to comply with and
implement the requirement contained in this agreement and to so
notify the Commission.
X. This Conciliation Agreement constitutes the entire
agreement between the parties on the matters raised herein, and
--5*-
no other statement, promise, or aremnt, either wrLtten or
oral, made by either party or by agents of either party, that is
not contained in this written agreement shall be enforceable.
FOR THE COMMISSION:
Lawrence N. NobleGeneral Counsel
BY: c-6i ~Lois G. Lernr rAssociate Genaeral Counsel
Date
Date
0.
FEDERAL ELECTION COMMISSIONWASHINGTON. D.C. 20463
THIS IS THE END OF MLR #
DATE FILMED
_ERWN -
CNVERA ND.
'4..
I
FEDERAL ELECTION COMMISSIONWASHINCTON . 2")4b
R02-16-89
THE FOLLOWING MATERIAL IS BEING ADDED TO THE FILE IN
MURs's9
RECEIVED
FEVERAL ELF.CTI,"s1 rrI q :
MANATT, PHELPS, ROTHENBERG & EvW 14 PH 4:A PARThrSN, IP INCLUOING POP824IONAL, COlPORATI Ste
ATTORNeYs AT LAW
1200 NEW HAMPSHINE AVENUC. N.W.
SuITE R00
WASHINGTON. O.C. 20036
TELEPHONE 101t) 463-4300
LOS ANGOLES
11283 WEST OLYMPIC GOULEVAROLOS ANGELES. CALIFORNIA 0004
aim 3)1800
December 14, 1988
Anne Weissenborn, EsquireOffice of General CounselFederal Election Commission999 E Street, N.W.Washington, D.C. 20463
Re: MUR 2554 Chris Doddfor Senate Committee
Dear Anne:
Please find enclosed a check in the amount of $5,000 fromthe Chris Dodd for Senate Committee as payment of the civil penaltyin Matter Under Review 2554.
Should you have any questions, please feel free to contact me.
Sincerely,
EraicF. Kle nfeld
Enclosure
f(4: (,I c2
qEMORANDUM
DEBRA A. TRIMIEW
CECILIA LIEBER
TO: CECILIA LIEBER
FROM: DEBRA A. TRIMIEW
{-A COPY OF WHICH IS ATTACHED } RELATING TO
AND NAME C 1:o, 6"Itr " - oa* Cor ' -QcMUR RE. 5 5 4WAS RECNEED ON k z
. PLEASE INDICATE THE ACCOUNT INTO
WHICH IT SHOULD BE DEPOSITED:/
BUDGET CLEARING ACCOUNT
/ CIVIL PENALTIES ACCOUNT
{ 95F3875.16 }
{ 95-1099.160J }
/ OTHER
SIGNA~hR c9~. .. |DnJY DAE
-/-olR
CHECK NO. 19 94
DATE. 121 W?
l I Vo
SIGNATURE ainj
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