Case Document 16 Filed 04/21/14 Page 1 of 19IN THE UNITED STATES DISTRICT COURTFOR THE SOUTHERN DISTRICT OF ALABAMASOUTHERN DIVISIONUNITED STATES OF AMERICACRIMINAL NO. JOSEPH NGUI MWAU NDOLOPLEA REEMENTThe defendant, JOSEPH NGUI MWAU NDOLO, represented by his counsel, and theUnited States of America have reached a plea agreement in this case, pursuant to Rule 11 of theFederal Rules of Criminal Procedure, the terms and conditions of which are as follows:R193 1 QE flf? DEFENDANT1. The defendant understands his rights as follows:a. To be represented by an attorney;b. To plead not guilty;c. To have a trial by an impartial jury;d. To confront and cross-examine witnesses and to call witnesses andproduce other evidence in his defense; ande. To not be compelled to incriminate himself.WAIVER QF BLGE I ANQ PLEA OF 2. The defendant waives rights through e, listed above, and pleads guilty to CountsOne, Two and Three of the Information, charging a violation of Title 21, UnitedStates Code, Section 84l(a)(l), unlawful dispensing of a controlled substance.Case Document 16 Filed 04/21/14 Page 2 of 19The defendant understands that the statements he makes under oath in the plea ofguilty must be completely truthful and that he can be prosecuted for making falsestatements or perjury, or receive a perjury enhancement at sentencing, for anyfalse statements he makes intentionally in this plea of guilty.The defendant expects the Court to rely upon his statements here and his responseto any questions that he may be asked during the guilty plea hearing.The defendant is not under the in?uence of alcohol, drugs, or narcotics. He iscertain that he is in full possession of his senses and is mentally competent tounderstand this Plea Agreement and the guilty plea hearing which will follow.The defendant has had the bene?t of legal counsel in negotiating this PleaAgreement. He has discussed the facts of the case with his attorney, and hisattorney has explained to the defendant the essential legal elements of the criminalcharge which has been brought against him. The defendant?s attorney has alsoexplained to the defendant his understanding of the United States? evidence andthe law as it relates to the facts of his offense.The defendant understands that the United States has the burden of proving eachof the legal elements of the criminal charge beyond a reasonable doubt. Thedefendant and his counsel have discussed possible defenses to the charge. Thedefendant believes that his attorney has represented him faithfully, skillfully, anddiligently, and he is completely satis?ed with the legal advice of his attorney.A separate docmnent, entitled Factual Resume, will be submitted to the Court asevidence at the guilty plea hearing. The Factual Resume is incorporated by10.11.Case 1:14-cr-00075-WS Document 16 Filed 04/21/14 Page 3 of 19reference into this Plea Agreement. The defendant and the United States agreethat the Factual Resume is true and correct. Alterations to the Plea Agreement orFactual Resume initialed only by the defendant and his counsel are not part of thisagreement and are not agreed to by the United States.This plea of guilty is freely and voluntarily made and is not the result of force,threats, promises, or representations, apart from those representations set forth inthis Plea Agreement. There have been no promises from anyone as to theparticular sentence that the Court will impose. The defendant is pleading guiltybecause he is guilty.The defendant also knowingly and voluntarily waives all rights, whether asserteddirectly or through a representative, to receive from the United States aftersentencing any ?irther records, reports, or documents pertaining to theinvestigation or prosecution of this matter. This waiver includes, but is notlimited to, rights under the Freedom of Information Act and the Privacy Act of1974.NALTYThe maximum penalty the Court could impose as to Counts One, Two and Threeof the Information is:a. Twenty (20) years imprisonment;b. A fine not to exceed $1,000,000;c. A term of supervised release of three (3) years, which would follow anyterm of imprisonment. If the defendant violates the conditions of12.13.14.Case Document 16 Filed 04/21/14 Page 4 of 19supervised release, he could be imprisoned for the entire term ofsupervised release; d. A mandatory special assessment of $300.00; ande. Such restitution as may be ordered by the Court.SEN 1 ENQINGThe Court will impose the sentence in this case. The United States SentencingGuidelines are advisory and do not bind the Court. The defendant has reviewedthe application of the Guidelines with his attorney and understands that no onecan predict with certainty what the sentencing range will be in this case until aftera pre-sentence investigation has been completed and the Court has ruled on theresults of that investigation. The defendant understands that at sentencing, theCourt may not necessarily sentence the defendant in accordance with the Guidelines. The defendant understands that he will not be allowed to withdrawhis guilty plea if the advisory guideline range is higher than expected, or if theCourt departs or varies from the advisory guideline range.The defendant understands that this Plea Agreement does not create any right tobe sentenced in accordance with the Sentencing Guidelines, or below or withinany particular guideline range, and fully understands that determination of thesentencing range or guideline level, or the actual sentence imposed, is solely thediscretion of the Court.The United States will provide all relevant sentencing information to theProbation Office for purposes of the pre-sentence investigation. Relevant415.16.17.18.19.Case Document 16 Filed 04/21/14 Page 5 of 19sentencing information includes, but is not limited to, all facts and circumstancesof this case and information concerning the defendant?s conduct and background.Both the defendant and the United States are free to allocute fully at the time ofsentencing.The defendant agrees to tender $300.00 to the U.S. District Court Clerk insatisfaction of the mandatory special assessment in this case. The United Statesreserves the right to withdraw any favorable recommendations it may agree towithin this document if the defendant fails to pay the special assessment prior toor at the time of his sentencing.Pursuant to 18 U.S.C. 3556 and restitution is mandatory. Thedefendant agrees to make full restitution in an amount to be determined by theCourt at sentencing.O?j EITUREThe defendant agrees to confess the forfeiture to the United States of allproperties which represent proceeds of his criminal activities or which facilitatedany aspect of these illegal activities.FINANCIAL OBLIGATIONSThe Defendant expressly authorizes the U.S. Attorney?s Office to obtain a creditreport in order to evaluate the Defendant?s ability to satisfy any ?nancial obligation imposed by the Court. In order to facilitate the collection of ?nancialobligations to be imposed in connection with this prosecution, the Defendant20.21.22.Case Document 16 Page6of 19agrees to disclose fully all assets in which the Defendant has any interest or overwhich the Defendant exercises control, directly or indirectly, including those heldby a spouse, nominee or other third party.UNIT STA OBL ATIONSThe United States will not bring any additional charges against the defendantrelated to the facts underlying the Infonnation and will move to dismiss anyremaining charges against the defendant once sentence is imposed in this case.This agreement is limited to the United States Attomey?s Of?ce for the SouthemDistrict of Alabama and does not bind any other federal, state, or localprosecuting authorities.The United States will recommend to the Court that the defendant be sentenced atthe low end of the advisory sentencing guideline range as determined by theCourt.Al ELICATIQN QF USSG 551.1 FEQ, QEM. P, 35The defendant understands and agrees that he has no right to cooperate, and thatthe decision whether to allow him to cooperate is reserved solely to the UnitedStates in the exercise of its discretion. If the United States agrees to allow thedefendant to cooperate, and if the defendant agrees to cooperate, the followingterms and conditions apply:a. The defendant shall fully, completely, and truthfully respond to allquestions put to him by law enforcement authorities regarding theunderlying facts of the offense(s) with which he is charged, as well as theCase Document 16 Filed 04/21/14 Page 7 of 19underlying facts of any criminal offense(s), state or federal, of which hehas information or knowledge.b. The defendant acknowledges that he understands that he shall providetruthful and complete information regarding any offense about which hehas knowledge or information regardless of whether law enforcementauthorities question him speci?cally about any such offense. Thisprovision requires the defendant to divulge all information available tohim even when law enforcement authorities do not know about thedefendant?s involvement, knowledge or information relating to anyparticular offense. This requirement extends to any and all persons aboutwhom the defendant has such knowledge or information.c. The defendant agrees to cooperate completely with all law enforcementauthorities in any matters to which his cooperation may be deemedrelevant by any law enforcement authority. The defendant agrees to ?illycomply with all instructions from law enforcement authorities regardingthe specific assistance he shall provide. This includes, but is not limitedto, consenting to monitored and/or recorded telephone conversations,_participating in undercover operations, testifying completely and truthfullybefore any grand jury, at any pre-trial proceeding, during any trial, andany post?trial proceeding.d. If the United States deems it necessary, the defendant may be required totake a polygraph examination(s) which will be administered by aCase 1:14-cr-00075-WS Document 16 Filed 04/21/14 Page 8 of 19government polygrapher. The defendant agrees that the results of anypolygraph examination may be used by the United States in its evaluationof whether there has been substantial assistance, and are admissible atsentencing to rebut an assertion by the defendant of bad faith orunconstitutional motive on the part of the United States.e. The defendant agrees to turn over to the United States any and alldocuments, tapes and other tangible objects which are in his possession orunder his control and which are relevant to his participation in andknowledge of criminal activities, regardless of whether it relates to thecharged offense. This obligation is a continuing one and includesmaterials that the defendant may acquire, obtain or have access to a?er theexecution of this agreement.f. The defendant also agrees to identify the assets of any other person whichwere obtained through or facilitated the defendant?s illegal activities or theillegal activities of another.g. If the defendant provides ?ill, complete, truth?il and substantialcooperation to the United States, which results in substantial assistance tothe United States in the investigation or prosecution of another criminaloffense, a decision speci?cally reserved by the United States in theexercise of its sole discretion, then the United States agrees to move for adownward departure in accordance with Section 5K1 .1 of the UnitedStates Sentencing Guidelines or Rule 35 of the Federal Rules of CriminalCase 1:14-or-00075-WS Document 16 Filed 04/21/14 Page 9 of 19Procedure, whichever the United States deems applicable. The UnitedStates speci?cally reserves the right to make the decision relating to theextent of any such departure request made under this agreement basedupon its evaluation of the nature and extent of the defendant?s cooperation.The defendant understands that the United States will make norepresentation or promise with regard to the exact amount of reduction, ifany, the United States might make in the event that it determines that thedefendant has provided substantial assistance. The defendant understandsthat a mere interview with law enforcement authorities does not constitutesubstantial assistance. The defendant also understands that, should heprovide untruthful information to the United States at any time, or fail todisclose material facts to the United States at any time, or commits a newcriminal offense, the United States will not make a motion for downwarddeparture. If the defendant?s effort to cooperate with the United Statesdoes not amount to substantial assistance as determined solely by theUnited States, the United States agrees to recommend that the defendantreceive a sentence at the low end of the advisory guideline range.h. The United States and the defendant agree that any breach of thisagreement by the defendant, including but not limited to committing a newoffense, failing to cooperate, intentionally withholding information, givingfalse information, committing perjtu'y, failing to identify assets obtainedby him from his illegal activities or obtained by others associated with himCase Document 16 Filed 04/21/14 Page 10 of 19or of which he has knowledge, re?ising to take a polygraph examination,failing a polygraph examination, or refusing to testify before the grandjury or at any judicial proceeding, would:(1)(2)permit the United States to reinstate and proceed withprosecution on any other charges arising from the mattersunderlying the Information; andpermit the United States to initiate and proceed with theprosecution on any other charges arising from a breach ofthis agreement. The United States will not be limited, inany respect, in the use it may make against the defendant ofany information provided by the defendant during hisbreached cooperation. Such breach will constitute a waiverof any claim the defendant could make under the UnitedStates Constitution, the Federal Rules of Evidence, theFederal Rules of Criminal Procedure, or any statute or caselaw by which the defendant seeks to suppress the use ofsuch information or any evidence derived from suchinformation.i. Nothing in this agreement shall protect the defendant in any way fromprosecution for any offense committed after the date of this agreement,including perjury, false declaration, false statement, and obstruction ofjustice, should the defendant commit any of these offenses during his10Case Document 16 Filed 04/21/14 Page 11 of 1923.cooperation. The defendant acknowledges and agrees that the informationthat he discloses to the United States pursuant to this agreement may beused against him in any such prosecution.j. The United States and the defendant agree that the defendant will continuehis cooperation even after he is sentenced in the instant matter. His failureto continue his cooperation will constitute a breach of this agreement, andthe defendant agrees that under such conditions, the United States will befree to reinstate the charges and the prosecution of the charges in theInformation, which are to be dismissed in accordance with this agreement.Under these circumstances, the defendant expressly waives any rights hemay have under the statute of limitations and the speedy trial provisions. WAIVER OF RIGHT TO WMVER QF COLLA1 Egg As part of the bargained-for exchange represented in this plea agreement, andsubject to the limited exceptions below, the defendant knowingly and voluntarilywaives the right to ?le any direct appeal or any collateral attack, including amotion to vacate, set aside, or correct sentence under 28 U.S.C. 2255.Accordingly, the defendant will not challenge his guilty plea, conviction, or sentence in any district court or appellate court proceedings.a. EXCEPTIONS. The defendant reserves the right to timely?le a direct appeal challenging:llCase Document 16 Filed 04/21/14 Page 12 of 1924.25.26.27.(1) any sentence imposed in excess of the statutorymaximum;(2) any sentence which constitutes an upward departureor variance from the advisory guideline range.The defendant also reserves the right to claim ineffective assistance ofcounsel in a direct appeal or 2255 motion.If the United States ?les a notice of appeal and such appeal is authorized by theSolicitor General, the defendant is released from the appellate waiver.The defendant further reserves the right to timely move the district court for anamended sentence under 18 U.S.C. 3582 in the event of a ?lture retroactiveamendment to the Sentencing Guidelines which would affect the sentence.If the defendant receives a sentence within or below the advisory guideline range,this plea agreement shall serve as the defendant?s express directive to defensecounsel to timely ?le a ?Notice of Non-Appeal? following sentencing, signed bythe defendant.VIQLATLQN OF AGREEMENTThe defendant understands that if he breaches any provision of this PleaAgreement, the United States will be free from any obligations imposed by thisagreement, but all provisions of the agreement remain enforceable against thedefendant. In the exercise of its discretion, the United States will be free toprosecute the defendant on any charges of which it has knowledge. In such event,12Case Document 16 Filed 04/21/14 Page 13 of 19the defendant agrees not to assert any objections to prosecution that he might haveunder the Sixth Amendment and/or Speedy Trial Act.28. In addition, if the defendant is released from detention prior to sentencing, heunderstands that the United States will no longer be bound by this agreement if heviolates any condition of his release prior to sentencing or prior to serving hissentence after it is imposed.ENTI AG EMEN .29. This document is the complete statement of the agreement between the defendantand the United States and may not be altered unless done so in writing and signedby all the parties.Respectfully submitted,KENYEN R. BROWNUNI I I STATES A ORNBYDate: 4'22/" Date: IJo . Cherry? 1As tant United States ttomeyChief, Criminal DivisionI have consulted with my counsel and fully understand all my rights with respect to theoffense charged in the Information pending against me. I have read this Plea Agreement and13Case Document 16 Filed 04/21/14 Page 14 of 19carefully reviewed every part of it with my attorney. I understand this agreement, and Ivoluntarily agree to it. I hereby stipulate that the Factual Resume, incorporated herein, is trueand accurate in every respect, and that had the matter proceeded to trial, the United States couldhave proved the same beyond a reasonable doubt. Josep Ngui Mwau NdoloDefendantI am the attorney for the defendant. I have fully explained his rights to him with respectto the offense(s) charged in the Information in this matter. I have carefully reviewed every partof this Plea Agreement with him. To my knowledge, his decision to enter into this agreement isan infonned and voluntary one. I have carefully reviewed the Factual Resume, incorporatedherein, with the defendant and to my knowledge, his decision to stipulate to the facts is aninformed, intelligent and voluntary one.Attorney for Defendantl4Case Document 16 Filed 04/21/14 Page 15 of 19IN THE UNITED STATES DISTRICT COURTFOR THE SOUTHERN DISTRICT OF ALABAMASOUTHERN DIVISIONUNITED STATES OF AMERICAv. CRIMINAL NO.JOSEPH NGUI MWAU NDOLOFACTUAL The defendant, JOSEPH NGUI MWAU NDOLO, admits the allegations of CountsOne, Two and Three of the Information.NT JOSEPH NGUI MWAU NDOLO understands that in order to prove a violation of Title21, United States Code, Section 84l(a)(l as charged in Counts One, Two and Three of theInformation, the United States must prove:First: The defendant knowingly and intentionally dispensed oxycodone, aschedule II controlled substance; andSecond: Such dispensing was outside of the usual course of professional practiceand without a legitimate medical purpose.OFFENSE The defendant, JOSEPH NGUI MWAU NDOLO, admits in open court and under oaththat the following statement is true and correct and constitutes evidence in this case. Thisstatement of facts is provided solely to assist the Court in determining whether a factual basisexists for JOSEPH NGUI MWAU plea of guilty. The statement of facts does notcontain each and every fact known to JOSEPH NGUI MWAU NDOLO and to the UnitedStates conceming the defendant?s involvement in the charges set forth in the plea agreement.Case Document 16 Filed 04/21/14 Page 16 of 19Ndolo is a physician specializing in internal medicine. He received his medical license in1997. Ndolo managed and supervised a private clinic, Premier Internal Medicine, P.C., 310 N.Greeno Rd., Fairhope, AL 36532 in the Southern District of Alabama, Southern Division. Ndolopracticed medicine at this clinic, where his wife and several other employees worked and wherehe saw patients and wrote them prescriptions. Patients often had their prescriptions filled atvarious pharmacies in the Southern District of Alabama.From 2008 - 2013, Ndolo ran a ?pill mill? at Premier Internal Medicine where he wrotevisiting patients excessive, medically unjusti?able prescriptions for schedules II controlledsubstances. Many pills were schedule II and schedule controlled substances. Some patientsreferred to Ndolo?s clinic as a ?candy store? for drugs. In return for writing prescriptions, Ndolosolicited sex, sexual communications, money and various favors from his patients.Throughout his pill mill scheme, Ndolo frequently failed to properly treat his patients.He, for example, routinely neglected to conduct basic patient physical examinations. WhenNdolo did conduct examinations, they were often perfunctory and incomplete. Ndolo?sprescriptions often had no basis in internal medicine, his specialty, or in any accepted science.For example, many of Ndolo?s prescriptions contained identical, boilerplate language that he hadcopied from one prescription to another.Ndolo acted with carelessness and abused the authority of his position as a physician andthe trust of his patients. In one instance, a patient stole Ndolo?s prescription pad and, as a non-physician, forged herself prescriptions. Ndolo knew these facts and yet kept the individual as apatient. At other times, Ndolo sometimes showed up at his clinic and treated patients whileinebriated. Moreover, Ndolo knew several of his patients were addicted to controlled substancesCase Document 16 Filed 04/21/14 Page 17 of 19and, despite this knowledge, continued to unlaw?rlly dispense them controlled substances. Inone instance, Ndolo characterized his patients as addicts, idiots and stupid. Fully aware of theaddictions of some of his patients, Ndolo took advantage of them through means such as sexualacts and communications. He led certain drug addicted patients to believe the quality of hismedical care would increase if they ?irted around him.Ndolo?s pill mill operations were outside of the usual course of professional practice andwithout a legitimate medical purpose. Ndolo?s actions posed a danger to the safety of hispatients and the community at large. He maintained and managed his clinic for the purpose ofunlawfully dispensing controlled substances and furthering his pill mill scheme.The amount of controlled substances involved in the offenses of conviction and relevantconduct for which Ndolo is accountable is provided below. Ndolo knowingly and intentionallydispensed the below controlled substances in ?rrtherance of his unlawful pill mill operation:Such dispensing was outside of the usual course of professional practice and without a legitimatemedical purpose.Sc le Pill Otv Cogveggiog Weiggt (Mary 3333} 10/13/2010 Oxycontin 80 mg 11 60 32.16 Kg09/07/2010 Oxycontin 80 mg II 60 32.16 Kg08/ 12/2010 Oxycontin 80 mg 11 60 32.16 Kg07/14/2010 Oxycontin 80 mg II 60 32.16 Kg06/10/2010 Oxycontin 80 mg II 60 32.16 Kg06/12/2012 Oxycontin 40 mg II 90 24.12 Kg05/15/2012 Oxycontin 40 mg II 90 24.12 Kg04/17/2012 Oxycontin 40 mg 11 90 24.12 Kg03/20/2012 Oxycontin 40 mg 11 90 24.12 Kg02/23/2012 Oxycontin 40 mg II 90 24.12 Kg01/24/2012 Oxycontin 40 mg 11 90 24.12 Kg12/27/2011 Oxycontin 40 mg 11 90 24.12 Kg11/28/2011 Oxycontin 40 mg 11 90 24.12 Kg09/27/2011 Oxycontin 40 mg 11 90 24.12 Kg08/29/2011 Oxycontin 40 mg II 90 24.12 KgCase Document 16 Filed 04/21/14 Page 18 of 1907/29/201 1Oxycontin 40 mg90 24.12 Kg426.12 _lggDate:Date:Date:Date:AGREED TO AND SIGNED.Respectfully submitted,KENYEN R. BROWNUNITED STATES ATTO States Attorney10 . Cherry Assi United States Att meyChief, Criminal DivisionJoseph N?ui Mwau NdoloDefendant . Eec?Attorney for Defendant.5 Case Document 16 Filed 04/21/14 Page v,-1 -9 1.5a--uh 1 3 -.-.. ?Aw? I ?owns -.