United States v. Paul Johnson, 413 F. App'x 151

Paul Johnson procured over $15 million from hundreds of investors in private stock offerings between 1997 and 2000.
Johnson misused more than $5.5 million for his personal use as LEDS operated, then dissolved in 2000.
After LEDS’ dissolution, Johnson steered LEDS investors into LWL and Pony Express by share conversions or exchanges and additional investments.
Johnson used LWL to fund a third business, Pony Express, which he operated and looted until his 2002 arrest.
The district court sentenced Johnson under the November 2001 Guidelines after related offenses.
Johnson challenges (1) guideline version/guidelines choice under Ex Post Facto, and (2) imprisonment under 15 U.S.C. § 78ff(a) for securities fraud.

Issue	Plaintiff's Argument	Defendant's Argument	Held
Ex Post Facto—correct guideline period used	Johnson argues earlier guidelines should apply.	Government argues November 2001 guidelines apply due to last act date.	No Ex Post Facto violation; November 2001 guidelines properly used.
Imprisonment under 78ff(a) for securities fraud	Johnson contends imprisonment violates § 78ff(a).	District court properly sentenced within § 78ff(a) and lack of knowledge defense evaluated.	Imprisonment upheld; lack of knowledge defense considered but does not negate offense.
Apprendi and knowledge findings at sentencing	Apprendi requires jury findings on knowledge to increase penalty.	Nonimprisonment defense is not an element; Apprendi not triggered.	Apprendi not required; knowledge defense is a partial defense affecting imprisonment, not an element.

United States v. Bailey, 123 F.3d 1381 (11th Cir. 1997) (one-book rule; use latest Guidelines for related acts)
United States v. Tarallo, 380 F.3d 1174 (9th Cir. 2004) (nonimprisonment defense is a partial affirmative defense, not an element)
United States v. Deleveaux, 205 F.3d 1292 (11th Cir. 2000) (affirmative defense that does not negate an element may shift burden)