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The grammar was perfect. The defendant had an impressive career, a loving family, charitable contributions, and a collection of awards. By the end, I knew everything about the person's accomplishments.
I knew considerably less about the victims, the decisions that led to the offense, or what the person had done since the government began its investigation.
Some letters contain plenty of apologies, followed by a word that can undo much of what came before it.
But.
"I'm terribly sorry for what happened, but I was under tremendous pressure."
"I accept full responsibility. However, I never intended for anyone to get hurt."
I spent three years as a federal defendant, and I did a lousy job examining some of my own decisions. I could explain my career, the pressures I faced, and everything I believed other people had done wrong. I struggled to explain how I had rationalized conduct that created victims and led to a criminal conviction.
For 17 years, I've worked with people facing federal investigations, sentencing, and prison. Most people with a budget rely on our experience and skillset to develop the narrative. Others have used our free books, videos, and articles to write their own.
What My USC Baseball Coach Taught Me About Federal Sentencing
During my junior year of high school, USC baseball coach Mike Gillespie visited my home. He was recruiting me and told me he planned to watch me play the following day.
I was thrilled, this was a big deal.
Then I went to Valley College in North Hollywood and played one of the worst games of my life.
I went 0-for-5 against future big leaguer and buddy, Jeff Suppan. I struck out three times. I also made two errors. On the way home my dad said, “son, what happened?” You would have thought I'd never played baseball before.
My best friend, Brad Fullmer, wasn't especially comforting.
"Dude, that was horrific. I told you it was a mistake to play in sleeves. It was 94 out there."
Two years later, I went to USC and played baseball for Coach Gillespie.
Coach Gillespie evaluated my entire high school career rather than one disastrous afternoon.
You may have spent decades working, raising children, helping family members, volunteering, or contributing to your community. You may have made terrible decisions over several years. You may have hurt people who trusted you.
A personal narrative gives you an opportunity to share your history, your behavior, the people affected, what you've learned, and what you've done since the case began.
Coach Gillespie had years of statistics and performances available when evaluating me. What information are you helping your lawyer assemble about your life? If you were being sentenced tomorrow would your Judge take the totality of your life into consideration?
What Is a Personal Narrative for Federal Sentencing?
A personal narrative is a letter written by someone facing a federal investigation, prosecution or sentencing.
People sometimes call it a personal letter to the judge, a sentencing narrative, or a defendant's sentencing letter. Some people call it useless.
The personal letter can help describe your background, the circumstances of your offense, your response to the case, and what you’ve built since the investigation began.
Someone who has pleaded guilty and accepted responsibility will write a different narrative than a defendant facing civil issues from the SEC or someone who was convicted at trial. Naturally, we work with people at every stage, and the narrative must reflect those differences.
The length of the narrative will vary, from roughly eight to ten pages. Still, there is no set formula. Jerry Lundergan and Branden Coluccio turned in books we helped them create at their sentencing.
I would rather read eight or eight substantive pages than three pages of carefully polished excuses and slogans Judges loathe.
Five Flaws I See in Personal Letters to Federal Sentencing Judges (all learned from some of the 1,500 sentencing hearings I have attended since 2009).
The Five FlawsFlaw 1: The Victims Become an Afterthought
This is the mistake that concerns Judges most.
A person writes about losing a business, suffering embarrassment, disappointing children, and watching lifelong relationships fall apart. Those experiences may be relevant, difficult and brutal.
Then, near the end, the person includes a sentence acknowledging that other people were hurt.
I know what it feels like to lose a career and reputation. I also know how easy it is to become absorbed in those losses.
At my own sentencing, victims had the opportunity to make their experiences known. A defendant should anticipate that the people harmed by the offense may write to the judge, attend the hearing, or speak about what happened.
Some offenses have readily identifiable victims. In other cases, identifying the people affected and explaining the harm can be more complicated (insider trading, tax crimes, medicare fraud, healthcare fraud and so on).
Repaying money may address some financial harm. It does not automatically restore trust or the shame a victim feels.
Flaw 2: The Narrative Becomes a Celebration of the Defendant
I've reviewed letters that read like applications for a lifetime achievement award.
The person graduated from an excellent university, built a company, employed hundreds of people, served on boards, and made generous donations.
I become concerned when they dominate the document.
For a defendant who has pleaded guilty, I would rather see an examination of the motivations behind the conduct and its consequences than five pages devoted to explaining why everyone has always considered the defendant extraordinary.
Your lawyer can present the arguments concerning cooperation, restitution, your role in the offense, and other relevant considerations.
I've met people in prison who regretted what they wrote to the judge. Some regretted what they didn't write.
Flaw 3: There's No Credible Plan for What Happens Next
Sometimes sentencing gets postponed for three months, six months, or longer.
People call me and ask whether the delay is good news.
My first question is, “What do you do all day?”
Some are working, looking for work, attending treatment, volunteering, studying, supporting their families, or documenting other constructive activities.
Others spend much of the day complaining about how unfairly they've been treated. It’s like they are already in prison except they're not receiving credit for the time.
A New York Client Who Couldn't Find Work
A client in New York attended Cornell University and had an impressive professional background.
Following his conviction, he struggled to find employment, including jobs well below his skillset.
He was upfront about his criminal conviction when approaching potential employers. He contacted people, pursued interviews, and reached out through professional relationships. The rejections continued.
Before meeting with his probation officer, we organized information showing where he'd applied, whom he'd contacted, and the interviews he'd pursued.
When she asked whether he was working, he explained that he hadn't been able to secure employment. He acknowledged that his behavior had hurt victims, damaged relationships, and brought serious consequences upon himself.
She asked what he'd been doing to find a job.
He showed her the records leading the probation officer to praise him for his efforts.
I like this example because even though he did not get a job, he could easily prove what he'd done, whom he'd contacted, and how he'd responded to repeated rejection.
Flaw 4: The Defendant Apologizes and Then Makes Excuses
I've worked with sophisticated people who know how to write.
Some are attorneys who have spent decades preparing briefs and analyzing complicated facts. Others have advanced degrees, successful careers, and considerable experience communicating under pressure.
You may know the facts better than anyone, but you also have years of explanations for why you made particular decisions.
Financial pressure. Pressure from a supervisor. Fear of losing a job. Loyalty to a colleague. A belief that nobody would be harmed.
I've heard defendants acknowledge wrongdoing and then spend the next several paragraphs describing why they had little choice.
A judge may reasonably wonder why thousands of other people facing similar pressures did not commit the same offense. I hear some version of this in sentencing hearings, especially if the defendant is educated with resources.
This is a hard letter to write. Well, no. It is easy to write one. Writing it properly with the right message is a different story. There is a reason a dentist does not perform his own root canal.
Flaw 5: The Defendant Tells the Judge What Sentence to Impose
“I am going to ask for probation,” I heard earlier today.
“No kidding?” I replied!
I understand why someone facing federal prison wants to explain that prison would be devastating. I mean who wants to go to prison. It may separate the person from young children, create financial hardship, or interfere with important family obligations.
If you listen to our interviews with Judges, you will learn those circumstances are relevant to sentencing.
But I've read letters in which defendants tell the judge, directly or indirectly, that they shouldn't go to prison.
A judge already knows the defendant would prefer to remain home.
The sentencing request is something to discuss carefully with your lawyer. Your attorney can develop the appropriate legal arguments and justify the requested sentence.
I encourage defendants to focus their personal narratives on points known to influence judges and other stakeholders: victims first, lessons learned/shared values, background information, plans moving forward and always addressing a concern the judge has: “How do I know you will never be here again?”
What I Told Dr. Phil About Federal Sentencing Statements
Dr. Phil asked me what defendants should communicate before federal sentencing. I explained four points we emphasize in our work: identifying with victims, demonstrating remorse through actions, explaining what they've learned, and showing why they do not intend to return to court as defendants.
Watch on YouTubeFive Ways to Improve Your Personal Narrative
Five Ways to Improve1. Examine the Harm Before Describing Your Own Losses
Before you begin writing about your career, family, or reputation, consider the people affected by the conduct.
If you stole money, what did that loss mean to the people who trusted you?
If you deceived business partners, what happened to those relationships?
If your actions damaged a company, its employees, customers, or investors, what can you actually establish about those consequences?
If you have accepted responsibility, explain what you understand about the harm and what you've done to address it.
I've read statements that acknowledge victims in a single sentence but devote pages to how the defendant has suffered.
2. Explaining, Without Excusing, the Decisions That Led to the Offense
Until I found a guide in prison, I struggled to explain my story.
I had worked at major brokerage firms and understood the securities industry. Yet when I became a defendant, I couldn't adequately describe the pressures, rationalizations, and decisions that led to my conviction.
I knew how to say that I regretted what happened. Explaining how I had allowed myself to participate in crime required considerably more work.
On March 11, 2011, I spoke at the FBI Academy after being invited by Paul Bertrand, an FBI agent involved in my case.
During that visit, we discussed aspects of my offense and my understanding of events.
By then, I had spent years writing about the decisions I made, the rationalizations and the consequences. Based on my description of my case, years later, he viewed my role differently. I remember thinking how different things would have been if I did that work, and wrote it out, before sentencing.
When developing a narrative today, I encourage people who have accepted responsibility to explain the circumstances surrounding their offense without using those circumstances to escape responsibility.
Were you afraid of losing your position? Did you begin rationalizing questionable conduct because everyone around you appeared comfortable with it? Did you tell yourself that a decision was temporary or that you could make things right later?
3. Explain What You've Learned, Using Your Own Experience
I often ask people what they've learned from their federal criminal case.
Some have excellent answers. Others begin describing how unfair the prosecution has been or how badly the investigation damaged their careers.
I ask again.
What have you learned about the motivations behind your decisions and the decisions themselves? Do you not think a Judge wants to know?
Another person might identify the moment when a business disagreement turned into deception, or when protecting a colleague became participation in misconduct.
I don't want a paragraph that could have been copied from another defendant's letter (this is a common problem, especially if someone finds Michael Santos' work; they copy his words. The difference is he lived it and they did not).
4. Describe the Work You're Doing to Make Amends
People sometimes tell me they intend to repay their victims, return to work, volunteer, or contribute to their communities.
We should discuss what they've already done.
If you've made restitution payments, there should be records. If you've participated in community service, identify the organization, activities, dates, and work completed. If you're applying for jobs, keep track of applications and interviews.
Not everyone has the financial resources to make substantial restitution payments before sentencing. Not everyone can secure employment. There may be restrictions related to supervision, professional licensing, health, or unresolved litigation.
The New York client I described earlier had an unsuccessful job search. His records nevertheless helped his probation officer understand he embraced humility, a willingness to try and start over. That is not easy, yet the effort may shift their perspective of you.
I also encourage people to document what they are reading, what they are writing, their treatment plan, family responsibilities, and more: you must build a record that you can defend over time. And it must be accurate.
5. Prove Why You Believe You Won't Return to Federal Court as a Defendant
I've heard people say, "Your Honor, I promise I'll never be back in your courtroom."
I hope they're right.
But what has changed since the conduct that brought them into court?
What decisions have they made when nobody was watching? How have they addressed the circumstances that contributed to the offense? What work have they undertaken to meet financial and family obligations? What have they done when something didn't go their way?
I think about Coach Gillespie again. Telling him I wanted to play baseball at USC wouldn't have been enough. He needed to evaluate my performance over time.
The Right Personal Narrative for the Right Reader
Michael Santos helped me understand something I've applied throughout my work with people in our community: the message should reflect the person who will receive it and the decision that person faces.
A narrative developed before a probation interview may not be identical to the letter eventually submitted at sentencing.
Six months could pass between those events. A person may complete treatment, find work, make restitution payments, or undertake additional service during that period.
When I came home from prison, the narrative I gave my probation officer included some of the material I'd written for Judge Stephen V. Wilson before sentencing. I also added what I'd completed in custody and the writing I'd done to support my request to work with people who had felony convictions. I was asking for different permissions than I had been at sentencing.
A narrative for a prison case manager may need different information again, depending on the person's work in custody and the decision being requested.
How White Collar Advice Develops Your Personal Narrative
We Begin With a Written Scope of Work
Before you hire us, we explain the work we'll perform, what you'll receive, how the process will operate, and what the engagement will cost.
We don't begin with a generic document and ask you to insert your name.
Our team works with people at different stages of federal cases. Some contact us during an investigation. Others have already pleaded guilty and are preparing for their presentence investigation or sentencing hearing.
Our Team Interviews You
A member of our mitigation team conducts a recorded Google Meet interview. Depending on your circumstances, the conversation can last several hours.
We begin with a clean slate and we ask that you’re engaged.
We ask about your family, education, career, relationships, case, and the decisions you've made since the investigation began.
For someone who has accepted responsibility, we spend time examining the crime, the people harmed, and the excuses that may have developed over the years.
If you say you were under pressure, we'll ask about that pressure. If you describe a contribution to your community, we may ask what you did, when you did it, and who can corroborate it.
Some find the process uncomfortable, others cathartic.
You Review the Initial Draft
Our process provides for an initial draft within seven days.
You should review it closely and challenge anything that doesn't sound like you or accurately reflect your circumstances.
We want your corrections. We want additional facts that help the reader understand the story. If a statement cannot be supported, we need to resolve that problem.
Sometimes people believe a longer document must be better. Others insist the letter should be two pages because they heard a judge doesn't like lengthy submissions.
I've seen personal narratives run eight to ten pages, and I've seen much shorter documents work for their intended purposes.
We Collaborate With Your Defense Attorney
Our team is not a law firm. We help develop the narrative, organize information, conduct interviews, and identify matters that deserve further attention.
Your attorney handles the legal arguments and determines how the narrative may be used.
Some defense lawyers refer people to us for help developing personal narratives.
What the New York Times Observed About Our Work
In 2022, journalist Jack Hitt wrote about White Collar Advice in The New York Times Magazine.
The article, Want to Do Less Time? A Prison Consultant Might Be Able to Help, described aspects of our work with people involved in federal cases, including Hugo Mejia and Stanley Benton, the recording artist known as Stat Quo.
Hugo's case involved a federal money-laundering prosecution related to cryptocurrency.
He spent approximately 100 hours developing his personal narrative with our team. His preparation also included work for the probation interview and continuing documentation during sentencing delays.
His presentence investigation report recommended approximately 60 months, and the government sought more than 60 months. He received a sentence of 36 months. The sentencing decision belonged to the judge and reflected many factors beyond the narrative.
Read the New York Times Magazine article.
John Spivey: Facing 70 to 87 Months
John Spivey faced an advisory federal sentencing guideline range of 70 to 87 months.
He received probation, including 12 months of home detention and 350 hours of community service.
John's case involved work completed over time, and his legal team presented the arguments at sentencing.
His narrative and related materials were part of a much larger record.
Tom Finley: Five Business Days Before Sentencing
Tom Finley was 73 years old when he contacted our team shortly before sentencing in a federal wire fraud conspiracy case.
He was a former Navy officer and tax attorney.
We had five business days.
Our team worked with him on a personal narrative, sentencing remarks, and a family character letter.
Judge David Carter imposed probation and 10 months of home confinement.
I would have preferred that Tom contact us considerably earlier. Five business days gives everyone fewer opportunities to interview, revise, and document the work.
But that was the time available.
Should I Use AI to Write My Personal Sentencing Letter?
My greater concern is accuracy.
AI can exaggerate conduct, introduce statements that don't reflect your understanding, invent details, or produce language that sounds more remorseful than the person can explain when questioned.
The person submitting the letter remains responsible for what it says.
I don't object to using technology to help organize research or improve the readability of a draft. I do object to presenting unsupported claims as facts.
How Your Personal Narrative Connects to a Release Plan and Prison Professors Profile
We've developed three related services.
Your personal narrative explains your history, the behavior and circumstances of your case, and what you've learned.
Your release plan describes the work you intend to complete, the responsibilities you have, and how you'll review your progress.
Your Prison Professors profile allows you to maintain dated records of what you've completed, including journals, book reports, educational work, and other contributions.
The New York client who documented his job search could describe that work in his narrative, identify future employment steps in his release plan, and use his Prison Professors profile to publish dated updates about what he completed.
What Does Personal Narrative Development Cost?
Schedule a Complimentary CallOur engagements vary because people have different needs and deadlines.
Before you hire our team, we'll provide a written scope explaining the interviews, drafting, revisions, responsibilities, and fee.
To discuss a potential engagement, schedule a complimentary call with our team.